{"id": "10002", "text": "2\\. Duties. During the Term, the Executive shall serve as the Chief Executive Officer , Chief Commercial Officer , President and Secretary of the Company, and shall perform the executive and administrative duties, functions and privileges incumbent with such positions and such other duties as reasonably determined and assigned by the Board of Directors of the Company (the Board), from time to time. In addition, the Executive shall serve as the Chief Executive Officer , Chief Commercial Officer and President of Valeritas Holdings, Inc., the parent of the Company. The Executive shall devote substantially all of his time, attention and skill to such duties, except for paid vacation and other excused absence periods, and shall serve the Company and its affiliates faithfully and to the best of his ability, and shall use his best efforts to promote the success of the business of the Company. The Executives employment is subject to compliance with the Companys policies, including any code of conduct, all as may be amended from time to time.", "ner": [[15, 17, "Role"], [19, 21, "Role"], [23, 23, "Role"], [25, 25, "Role"], [28, 28, "Parties"], [82, 84, "Role"], [86, 88, "Role"], [90, 90, "Role"], [92, 96, "Parties"]], "tokenized_text": ["2", "\\", ".", "Duties", ".", "During", "the", "Term", ",", "the", "Executive", "shall", "serve", "as", "the", "Chief", "Executive", "Officer", ",", "Chief", "Commercial", "Officer", ",", "President", "and", "Secretary", "of", "the", "Company", ",", "and", "shall", "perform", "the", "executive", "and", "administrative", "duties", ",", "functions", "and", "privileges", "incumbent", "with", "such", "positions", "and", "such", "other", "duties", "as", "reasonably", "determined", "and", "assigned", "by", "the", "Board", "of", "Directors", "of", "the", "Company", "(", "the", "Board", ")", ",", "from", "time", "to", "time", ".", "In", "addition", ",", "the", "Executive", "shall", "serve", "as", "the", "Chief", "Executive", "Officer", ",", "Chief", "Commercial", "Officer", "and", "President", "of", "Valeritas", "Holdings", ",", "Inc", ".", ",", "the", "parent", "of", "the", "Company", ".", "The", "Executive", "shall", "devote", "substantially", "all", "of", "his", "time", ",", "attention", "and", "skill", "to", "such", "duties", ",", "except", "for", "paid", "vacation", "and", "other", "excused", "absence", "periods", ",", "and", "shall", "serve", "the", "Company", "and", "its", "affiliates", "faithfully", "and", "to", "the", "best", "of", "his", "ability", ",", "and", "shall", "use", "his", "best", "efforts", "to", "promote", "the", "success", "of", "the", "business", "of", "the", "Company", ".", "The", "Executives", "employment", "is", "subject", "to", "compliance", "with", "the", "Companys", "policies", ",", "including", "any", "code", "of", "conduct", ",", "all", "as", "may", "be", "amended", "from", "time", "to", "time", "."]}
{"id": "10003", "text": "a. Base salary. During the Term, the Company shall pay to the Executive an annual base salary (Base salary) of at least $392,141 , less applicable and authorized deductions, subject to review annually for appropriate increases by the Board pursuant to the normal performance review policy for senior level executives. The Base salary shall be payable in accordance with the Companys payroll schedule.", "ner": [[27, 30, "Salary"]], "tokenized_text": ["a", ".", "Base", "salary", ".", "During", "the", "Term", ",", "the", "Company", "shall", "pay", "to", "the", "Executive", "an", "annual", "base", "salary", "(", "Base", "salary", ")", "of", "at", "least", "$", "392", ",", "141", ",", "less", "applicable", "and", "authorized", "deductions", ",", "subject", "to", "review", "annually", "for", "appropriate", "increases", "by", "the", "Board", "pursuant", "to", "the", "normal", "performance", "review", "policy", "for", "senior", "level", "executives", ".", "The", "Base", "salary", "shall", "be", "payable", "in", "accordance", "with", "the", "Companys", "payroll", "schedule", "."]}
{"id": "10007", "text": "i. Company Includes. For purposes of this Agreement, the Company shall include the Company, and any parent and any direct and indirect subsidiaries and affiliates (as defined in Rule 501 under the Securities Act of 1933 ).", "ner": [[33, 34, "Regulation"], [37, 40, "Act"]], "tokenized_text": ["i", ".", "Company", "Includes", ".", "For", "purposes", "of", "this", "Agreement", ",", "the", "Company", "shall", "include", "the", "Company", ",", "and", "any", "parent", "and", "any", "direct", "and", "indirect", "subsidiaries", "and", "affiliates", "(", "as", "defined", "in", "Rule", "501", "under", "the", "Securities", "Act", "of", "1933", ")", "."]}
{"id": "10009", "text": "c. jurisdiction and Service of Process. Any legal action or proceeding with respect to this Agreement shall be brought in the courts of the State of New Jersey or of the United States of America for the District of New Jersey. By execution and delivery of this Agreement, each of the parties hereto accepts for itself and in respect of its property, generally and unconditionally, the jurisdiction of the aforesaid courts. Each of the parties hereto irrevocably consents to the service of process of any of the aforesaid courts in any such action or proceeding by mailing copies thereof by certified mail, postage prepaid, to the party at its address set forth in subsection (f). THE PARTIES IRREVOCABLY WAIVE ANY RIGHT TO TRIAL BY JURY TO ALL CLAIMS HEREUNDER.", "ner": [[26, 29, "Court"], [39, 42, "Court"]], "tokenized_text": ["c", ".", "jurisdiction", "and", "Service", "of", "Process", ".", "Any", "legal", "action", "or", "proceeding", "with", "respect", "to", "this", "Agreement", "shall", "be", "brought", "in", "the", "courts", "of", "the", "State", "of", "New", "Jersey", "or", "of", "the", "United", "States", "of", "America", "for", "the", "District", "of", "New", "Jersey", ".", "By", "execution", "and", "delivery", "of", "this", "Agreement", ",", "each", "of", "the", "parties", "hereto", "accepts", "for", "itself", "and", "in", "respect", "of", "its", "property", ",", "generally", "and", "unconditionally", ",", "the", "jurisdiction", "of", "the", "aforesaid", "courts", ".", "Each", "of", "the", "parties", "hereto", "irrevocably", "consents", "to", "the", "service", "of", "process", "of", "any", "of", "the", "aforesaid", "courts", "in", "any", "such", "action", "or", "proceeding", "by", "mailing", "copies", "thereof", "by", "certified", "mail", ",", "postage", "prepaid", ",", "to", "the", "party", "at", "its", "address", "set", "forth", "in", "subsection", "(", "f", ")", ".", "THE", "PARTIES", "IRREVOCABLY", "WAIVE", "ANY", "RIGHT", "TO", "TRIAL", "BY", "JURY", "TO", "ALL", "CLAIMS", "HEREUNDER", "."]}
{"id": "10010", "text": "750 Route 202 South, Suite 600", "ner": [[0, 6, "Address"]], "tokenized_text": ["750", "Route", "202", "South", ",", "Suite", "600"]}
{"id": "10011", "text": "8 Old Bam Court", "ner": [[0, 3, "Court"]], "tokenized_text": ["8", "Old", "Bam", "Court"]}
{"id": "10013", "text": "| COMPANY: Valeritas, Inc . | By:", "ner": [[3, 6, "Parties"]], "tokenized_text": ["|", "COMPANY", ":", "Valeritas", ",", "Inc", ".", "|", "By", ":"]}
{"id": "10014", "text": "Chairman of the Board of Directors EXECUTIVE: ![vlrxexhibit1027s1image2.jpg](vlrxexhibit1027s1image2.jpg) John Timberlake", "ner": [[0, 0, "Role"], [19, 20, "Parties"]], "tokenized_text": ["Chairman", "of", "the", "Board", "of", "Directors", "EXECUTIVE", ":", "!", "[", "vlrxexhibit1027s1image2", ".", "jpg", "]", "(", "vlrxexhibit1027s1image2", ".", "jpg", ")", "John", "Timberlake"]}
{"id": "10015", "text": "SIGNATURE PAGE TO EMPLOYMENT AGREEMENT", "ner": [[3, 4, "Title"]], "tokenized_text": ["SIGNATURE", "PAGE", "TO", "EMPLOYMENT", "AGREEMENT"]}
{"id": "10017", "text": "(a) all claims for monetary damages arising under Title VII of the Civil Rights Act of 1964 (as amended), Sections 1981 through 1988 of Title 42 of the United States Code (as amended), the Age Discrimination in Employment Act of 1967 (as amended) (ADEA), the Older Workers Benefit Protection Act of 1990 (OWBPA), and the Americans with Disabilities Act of 1990 (as amended);", "ner": [[14, 18, "Act"], [33, 35, "Act"], [42, 48, "Act"], [54, 54, "Act"], [58, 64, "Act"], [66, 66, "Act"], [71, 76, "Act"]], "tokenized_text": ["(", "a", ")", "all", "claims", "for", "monetary", "damages", "arising", "under", "Title", "VII", "of", "the", "Civil", "Rights", "Act", "of", "1964", "(", "as", "amended", ")", ",", "Sections", "1981", "through", "1988", "of", "Title", "42", "of", "the", "United", "States", "Code", "(", "as", "amended", ")", ",", "the", "Age", "Discrimination", "in", "Employment", "Act", "of", "1967", "(", "as", "amended", ")", "(", "ADEA", ")", ",", "the", "Older", "Workers", "Benefit", "Protection", "Act", "of", "1990", "(", "OWBPA", ")", ",", "and", "the", "Americans", "with", "Disabilities", "Act", "of", "1990", "(", "as", "amended", ")", ";"]}
{"id": "10018", "text": "(b) any and all other claims, including but not limited to claims brought under the Rehabilitation Act , the Executive Retirement Income Security Act of 1974 (as amended), the Uniformed Services Employment and Reemployment Rights Act of 1994 , the National Labor Relations Act ( as amended), the Federal Worker Adjustment and Retraining Notification Act ( as amended), the Family and Medical Leave Act of 1993 , the Occupational Safety and Health Act ( as amended), the Equal pay Act ( as amended), the Labor Management Relations Act , New Jersey Law Against Discrimination, New Jersey Equal pay Act , New Jersey Civil Rights Law, New Jersey Conscientious Employee Protection Act , New Jersey Family Leave Act , New Jersey Wage and Hour Law, New Jersey WARN Laws, and the New Jersey Constitution;", "ner": [[18, 19, "Act"], [22, 28, "Act"], [35, 43, "Act"], [46, 49, "Act"], [56, 62, "Act"], [69, 75, "Act"], [78, 82, "Act"], [89, 91, "Act"], [98, 101, "Act"], [103, 107, "Act"], [109, 113, "Act"], [121, 126, "Act"], [128, 132, "Act"]], "tokenized_text": ["(", "b", ")", "any", "and", "all", "other", "claims", ",", "including", "but", "not", "limited", "to", "claims", "brought", "under", "the", "Rehabilitation", "Act", ",", "the", "Executive", "Retirement", "Income", "Security", "Act", "of", "1974", "(", "as", "amended", ")", ",", "the", "Uniformed", "Services", "Employment", "and", "Reemployment", "Rights", "Act", "of", "1994", ",", "the", "National", "Labor", "Relations", "Act", "(", "as", "amended", ")", ",", "the", "Federal", "Worker", "Adjustment", "and", "Retraining", "Notification", "Act", "(", "as", "amended", ")", ",", "the", "Family", "and", "Medical", "Leave", "Act", "of", "1993", ",", "the", "Occupational", "Safety", "and", "Health", "Act", "(", "as", "amended", ")", ",", "the", "Equal", "pay", "Act", "(", "as", "amended", ")", ",", "the", "Labor", "Management", "Relations", "Act", ",", "New", "Jersey", "Law", "Against", "Discrimination", ",", "New", "Jersey", "Equal", "pay", "Act", ",", "New", "Jersey", "Civil", "Rights", "Law", ",", "New", "Jersey", "Conscientious", "Employee", "Protection", "Act", ",", "New", "Jersey", "Family", "Leave", "Act", ",", "New", "Jersey", "Wage", "and", "Hour", "Law", ",", "New", "Jersey", "WARN", "Laws", ",", "and", "the", "New", "Jersey", "Constitution", ";"]}
{"id": "10019", "text": "2\\. Paragraph 1 shall not apply to any claims the Executive may have with respect to the Companys severance obligations under Section 5 of the Agreement, any rights the Executive may have with respect to outstanding equity interests in the Company, rights to indemnification under the Companys by-laws or otherwise, or any rights to recover under any director and officer liability insurance policy maintained by the Company for the benefit of the Executive in accordance with the terms of such director and officer liability insurance policy. In addition, Paragraph 1 shall in no event apply to any claims that, as a matter of applicable law, are not waivable, the Executives right to vested benefits under the written terms of the Companys 401(k) Plan, claims for unemployment or workers compensation benefits, any medical claim incurred during the Executives employment that is payable under applicable medical plans or an employer-insured liability plan, or claims arising after the date on which the Executive signs the Release and Waiver. The Executive and the Company agree that nothing in this Release and Waiver restricts or prohibits the Executive from initiating communications directly with, responding to any inquiries from, providing testimony before, providing confidential information to, reporting possible violations of law or regulation to, or from filing a claim or assisting with an investigation directly with a self-regulatory authority or a government agency or entity, including the U.S. Equal Employment Opportunity Commission (EEOC), the Department of Labor (DOL), the National Labor Relations Board (NLRB), the Department of Justice (DOJ), the Securities and Exchange Commission (SEC), the Congress, and any agency Inspector General (collectively, the Regulators), or from making other disclosures that are protected under the whistleblower provisions of state or federal law or regulation. However, the Executive is waiving the Executives right to receive any individual monetary relief resulting from such claims, regardless of whether the Executive or another party has filed them, and in the event the Executive obtains such monetary relief the Company will be entitled to an offset for the payments made pursuant to Section 5 of the Agreement, except where such limitations are prohibited as a matter of law (e.g., under the Sarbanes- Oxley Act of 2002 , 18 U.S.C.A. 1514A). The Executive does not need the prior authorization of the Company to engage in such communications with the Regulators, respond to such inquiries from the Regulators, provide confidential information or documents to the Regulators, or make any such reports or disclosures to the Regulators. The Executive is not required to notify the Company that the Executive has engaged in such communications with the Regulators.", "ner": [[416, 421, "Act"], [423, 432, "Regulation"]], "tokenized_text": ["2", "\\", ".", "Paragraph", "1", "shall", "not", "apply", "to", "any", "claims", "the", "Executive", "may", "have", "with", "respect", "to", "the", "Companys", "severance", "obligations", "under", "Section", "5", "of", "the", "Agreement", ",", "any", "rights", "the", "Executive", "may", "have", "with", "respect", "to", "outstanding", "equity", "interests", "in", "the", "Company", ",", "rights", "to", "indemnification", "under", "the", "Companys", "by-laws", "or", "otherwise", ",", "or", "any", "rights", "to", "recover", "under", "any", "director", "and", "officer", "liability", "insurance", "policy", "maintained", "by", "the", "Company", "for", "the", "benefit", "of", "the", "Executive", "in", "accordance", "with", "the", "terms", "of", "such", "director", "and", "officer", "liability", "insurance", "policy", ".", "In", "addition", ",", "Paragraph", "1", "shall", "in", "no", "event", "apply", "to", "any", "claims", "that", ",", "as", "a", "matter", "of", "applicable", "law", ",", "are", "not", "waivable", ",", "the", "Executives", "right", "to", "vested", "benefits", "under", "the", "written", "terms", "of", "the", "Companys", "401", "(", "k", ")", "Plan", ",", "claims", "for", "unemployment", "or", "workers", "compensation", "benefits", ",", "any", "medical", "claim", "incurred", "during", "the", "Executives", "employment", "that", "is", "payable", "under", "applicable", "medical", "plans", "or", "an", "employer-insured", "liability", "plan", ",", "or", "claims", "arising", "after", "the", "date", "on", "which", "the", "Executive", "signs", "the", "Release", "and", "Waiver", ".", "The", "Executive", "and", "the", "Company", "agree", "that", "nothing", "in", "this", "Release", "and", "Waiver", "restricts", "or", "prohibits", "the", "Executive", "from", "initiating", "communications", "directly", "with", ",", "responding", "to", "any", "inquiries", "from", ",", "providing", "testimony", "before", ",", "providing", "confidential", "information", "to", ",", "reporting", "possible", "violations", "of", "law", "or", "regulation", "to", ",", "or", "from", "filing", "a", "claim", "or", "assisting", "with", "an", "investigation", "directly", "with", "a", "self-regulatory", "authority", "or", "a", "government", "agency", "or", "entity", ",", "including", "the", "U", ".", "S", ".", "Equal", "Employment", "Opportunity", "Commission", "(", "EEOC", ")", ",", "the", "Department", "of", "Labor", "(", "DOL", ")", ",", "the", "National", "Labor", "Relations", "Board", "(", "NLRB", ")", ",", "the", "Department", "of", "Justice", "(", "DOJ", ")", ",", "the", "Securities", "and", "Exchange", "Commission", "(", "SEC", ")", ",", "the", "Congress", ",", "and", "any", "agency", "Inspector", "General", "(", "collectively", ",", "the", "Regulators", ")", ",", "or", "from", "making", "other", "disclosures", "that", "are", "protected", "under", "the", "whistleblower", "provisions", "of", "state", "or", "federal", "law", "or", "regulation", ".", "However", ",", "the", "Executive", "is", "waiving", "the", "Executives", "right", "to", "receive", "any", "individual", "monetary", "relief", "resulting", "from", "such", "claims", ",", "regardless", "of", "whether", "the", "Executive", "or", "another", "party", "has", "filed", "them", ",", "and", "in", "the", "event", "the", "Executive", "obtains", "such", "monetary", "relief", "the", "Company", "will", "be", "entitled", "to", "an", "offset", "for", "the", "payments", "made", "pursuant", "to", "Section", "5", "of", "the", "Agreement", ",", "except", "where", "such", "limitations", "are", "prohibited", "as", "a", "matter", "of", "law", "(", "e", ".", "g", ".", ",", "under", "the", "Sarbanes", "-", "Oxley", "Act", "of", "2002", ",", "18", "U", ".", "S", ".", "C", ".", "A", ".", "1514A", ")", ".", "The", "Executive", "does", "not", "need", "the", "prior", "authorization", "of", "the", "Company", "to", "engage", "in", "such", "communications", "with", "the", "Regulators", ",", "respond", "to", "such", "inquiries", "from", "the", "Regulators", ",", "provide", "confidential", "information", "or", "documents", "to", "the", "Regulators", ",", "or", "make", "any", "such", "reports", "or", "disclosures", "to", "the", "Regulators", ".", "The", "Executive", "is", "not", "required", "to", "notify", "the", "Company", "that", "the", "Executive", "has", "engaged", "in", "such", "communications", "with", "the", "Regulators", "."]}
{"id": "10023", "text": "1.1. Term. The initial term of the Executives employment under this Employment Agreement will commence on March 30, 2015 (the Effective Date) and end on the third anniversary of the Effective Date (the Initial Employment Period), unless terminated earlier pursuant to Section3 hereof; provided, however, that the Employment Period will automatically be extended for a one-year period on the third anniversary of the Effective Date (and on each anniversary of the Effective Date thereafter) (the Renewal Period), unless either the Executive or the Company provides the other Party with written notice at least 30 days prior to the end of the then-current Employment Period of his or its intention not to further extend the Employment Period (the Initial Employment Period and each subsequent Renewal Period, if any, shall constitute the Employment Period, unless terminated earlier pursuant to Section3 of this Employment Agreement).", "ner": [[15, 16, "Title"], [20, 23, "EffectiveDate"], [33, 34, "TerminationDate"], [68, 68, "RenewalTerm"], [162, 163, "Title"]], "tokenized_text": ["1", ".", "1", ".", "Term", ".", "The", "initial", "term", "of", "the", "Executives", "employment", "under", "this", "Employment", "Agreement", "will", "commence", "on", "March", "30", ",", "2015", "(", "the", "Effective", "Date", ")", "and", "end", "on", "the", "third", "anniversary", "of", "the", "Effective", "Date", "(", "the", "Initial", "Employment", "Period", ")", ",", "unless", "terminated", "earlier", "pursuant", "to", "Section3", "hereof", ";", "provided", ",", "however", ",", "that", "the", "Employment", "Period", "will", "automatically", "be", "extended", "for", "a", "one-year", "period", "on", "the", "third", "anniversary", "of", "the", "Effective", "Date", "(", "and", "on", "each", "anniversary", "of", "the", "Effective", "Date", "thereafter", ")", "(", "the", "Renewal", "Period", ")", ",", "unless", "either", "the", "Executive", "or", "the", "Company", "provides", "the", "other", "Party", "with", "written", "notice", "at", "least", "30", "days", "prior", "to", "the", "end", "of", "the", "then-current", "Employment", "Period", "of", "his", "or", "its", "intention", "not", "to", "further", "extend", "the", "Employment", "Period", "(", "the", "Initial", "Employment", "Period", "and", "each", "subsequent", "Renewal", "Period", ",", "if", "any", ",", "shall", "constitute", "the", "Employment", "Period", ",", "unless", "terminated", "earlier", "pursuant", "to", "Section3", "of", "this", "Employment", "Agreement", ")", "."]}
{"id": "10026", "text": "2.2. Annual Bonus. For each fiscal year ending during the Employment Period, the Executive shall be eligible for potential awards of additional compensation (the Annual Bonus) to be based upon the achievement of one or more performance goals established by senior management of the Company (the Performance Targets). The Annual Bonus shall be prorated for any partial fiscal years occurring within the Employment Period (including the 2015 fiscal year). The Executives target Annual Bonus opportunity for each fiscal year that ends during the Employment Period shall be equal to 60% of Base salary (the Target Annual Bonus Opportunity), with the actual Annual Bonus, if any, to be based on the Companys actual performance relative to the Performance Targets. The Annual Bonus, if any, shall be paid in cash within 90 days of the fiscal year end, assuming the delivery of the relevant financial statements in a timely manner, but in no event later than March15th of the year following the end of the fiscal year for which the Annual Bonus, if any, is earned; provided, that, except as set forth in Section3, the Executive must continue to be employed by the Company through the end of the applicable fiscal year.", "ner": [[102, 103, "Percentage"]], "tokenized_text": ["2", ".", "2", ".", "Annual", "Bonus", ".", "For", "each", "fiscal", "year", "ending", "during", "the", "Employment", "Period", ",", "the", "Executive", "shall", "be", "eligible", "for", "potential", "awards", "of", "additional", "compensation", "(", "the", "Annual", "Bonus", ")", "to", "be", "based", "upon", "the", "achievement", "of", "one", "or", "more", "performance", "goals", "established", "by", "senior", "management", "of", "the", "Company", "(", "the", "Performance", "Targets", ")", ".", "The", "Annual", "Bonus", "shall", "be", "prorated", "for", "any", "partial", "fiscal", "years", "occurring", "within", "the", "Employment", "Period", "(", "including", "the", "2015", "fiscal", "year", ")", ".", "The", "Executives", "target", "Annual", "Bonus", "opportunity", "for", "each", "fiscal", "year", "that", "ends", "during", "the", "Employment", "Period", "shall", "be", "equal", "to", "60", "%", "of", "Base", "salary", "(", "the", "Target", "Annual", "Bonus", "Opportunity", ")", ",", "with", "the", "actual", "Annual", "Bonus", ",", "if", "any", ",", "to", "be", "based", "on", "the", "Companys", "actual", "performance", "relative", "to", "the", "Performance", "Targets", ".", "The", "Annual", "Bonus", ",", "if", "any", ",", "shall", "be", "paid", "in", "cash", "within", "90", "days", "of", "the", "fiscal", "year", "end", ",", "assuming", "the", "delivery", "of", "the", "relevant", "financial", "statements", "in", "a", "timely", "manner", ",", "but", "in", "no", "event", "later", "than", "March15th", "of", "the", "year", "following", "the", "end", "of", "the", "fiscal", "year", "for", "which", "the", "Annual", "Bonus", ",", "if", "any", ",", "is", "earned", ";", "provided", ",", "that", ",", "except", "as", "set", "forth", "in", "Section3", ",", "the", "Executive", "must", "continue", "to", "be", "employed", "by", "the", "Company", "through", "the", "end", "of", "the", "applicable", "fiscal", "year", "."]}
{"id": "10028", "text": "4.2. Non-Competition. By and in consideration of the Companys entering into this Employment Agreement, and in further consideration of the Executives exposure to the Confidential Information of the Company Group, the Executive agrees that the Executive shall not, during the Employment Period and for one year following the Executives termination date (the Restriction Period), directly or indirectly, own, manage, operate, join, control, be employed by, or participate in the ownership, management, operation or control of, or be connected in any manner with, including, without limitation, holding any position as a stockholder, director, officer, consultant, independent contractor, employee, partner, or investor in, any Restricted Enterprise (as defined below); provided, that in no event shall ownership of one percent or less of the outstanding securities of any class of any issuer whose securities are registered under the Securities Exchange Act of 1934 , as amended, standing alone, be prohibited by this Section4.2, so long as the Executive does not have, or exercise, any rights to manage or operate the business of such issuer other than rights as a stockholder thereof. For purposes of this paragraph, Restricted Enterprise shall mean any business that is in competition with (a)the present products marketed or sold by the Company to its customers and as such products may be improved and/or modified, (b)the present services marketed, sold or provided by the Company to its customers and as such services may be improved and/or modified or (c)the products and/or services the Company develops, designs, manufactures, markets, produces or supplies in the future to its customers. In the case of each of (a), (b)and (c)above, such businesses shall include, but not be limited to, businesses that are associated with the treatment of intake water, process water or waste-water in industrial and municipal end markets through the provision of services and/or products. For the avoidance of doubt, Restricted Enterprise shall include, but not be limited to: XXXXXX.", "ner": [[16, 17, "Title"], [150, 151, "Percentage"], [170, 174, "Act"]], "tokenized_text": ["4", ".", "2", ".", "Non-Competition", ".", "By", "and", "in", "consideration", "of", "the", "Companys", "entering", "into", "this", "Employment", "Agreement", ",", "and", "in", "further", "consideration", "of", "the", "Executives", "exposure", "to", "the", "Confidential", "Information", "of", "the", "Company", "Group", ",", "the", "Executive", "agrees", "that", "the", "Executive", "shall", "not", ",", "during", "the", "Employment", "Period", "and", "for", "one", "year", "following", "the", "Executives", "termination", "date", "(", "the", "Restriction", "Period", ")", ",", "directly", "or", "indirectly", ",", "own", ",", "manage", ",", "operate", ",", "join", ",", "control", ",", "be", "employed", "by", ",", "or", "participate", "in", "the", "ownership", ",", "management", ",", "operation", "or", "control", "of", ",", "or", "be", "connected", "in", "any", "manner", "with", ",", "including", ",", "without", "limitation", ",", "holding", "any", "position", "as", "a", "stockholder", ",", "director", ",", "officer", ",", "consultant", ",", "independent", "contractor", ",", "employee", ",", "partner", ",", "or", "investor", "in", ",", "any", "Restricted", "Enterprise", "(", "as", "defined", "below", ")", ";", "provided", ",", "that", "in", "no", "event", "shall", "ownership", "of", "one", "percent", "or", "less", "of", "the", "outstanding", "securities", "of", "any", "class", "of", "any", "issuer", "whose", "securities", "are", "registered", "under", "the", "Securities", "Exchange", "Act", "of", "1934", ",", "as", "amended", ",", "standing", "alone", ",", "be", "prohibited", "by", "this", "Section4", ".", "2", ",", "so", "long", "as", "the", "Executive", "does", "not", "have", ",", "or", "exercise", ",", "any", "rights", "to", "manage", "or", "operate", "the", "business", "of", "such", "issuer", "other", "than", "rights", "as", "a", "stockholder", "thereof", ".", "For", "purposes", "of", "this", "paragraph", ",", "Restricted", "Enterprise", "shall", "mean", "any", "business", "that", "is", "in", "competition", "with", "(", "a", ")", "the", "present", "products", "marketed", "or", "sold", "by", "the", "Company", "to", "its", "customers", "and", "as", "such", "products", "may", "be", "improved", "and", "/", "or", "modified", ",", "(", "b", ")", "the", "present", "services", "marketed", ",", "sold", "or", "provided", "by", "the", "Company", "to", "its", "customers", "and", "as", "such", "services", "may", "be", "improved", "and", "/", "or", "modified", "or", "(", "c", ")", "the", "products", "and", "/", "or", "services", "the", "Company", "develops", ",", "designs", ",", "manufactures", ",", "markets", ",", "produces", "or", "supplies", "in", "the", "future", "to", "its", "customers", ".", "In", "the", "case", "of", "each", "of", "(", "a", ")", ",", "(", "b", ")", "and", "(", "c", ")", "above", ",", "such", "businesses", "shall", "include", ",", "but", "not", "be", "limited", "to", ",", "businesses", "that", "are", "associated", "with", "the", "treatment", "of", "intake", "water", ",", "process", "water", "or", "waste-water", "in", "industrial", "and", "municipal", "end", "markets", "through", "the", "provision", "of", "services", "and", "/", "or", "products", ".", "For", "the", "avoidance", "of", "doubt", ",", "Restricted", "Enterprise", "shall", "include", ",", "but", "not", "be", "limited", "to", ":", "XXXXXX", "."]}
{"id": "10031", "text": "181 Thorn Hill Road", "ner": [[0, 3, "Address"]], "tokenized_text": ["181", "Thorn", "Hill", "Road"]}
{"id": "10033", "text": "New York, NY 10004", "ner": [[0, 4, "Address"]], "tokenized_text": ["New", "York", ",", "NY", "10004"]}
{"id": "10034", "text": "If to the Executive: Benedict J. Stas , at his principal office and e-mail address at the Company (during the Employment Period), and at all times to his principal residence as reflected in the records of the Company.", "ner": [[5, 8, "Parties"]], "tokenized_text": ["If", "to", "the", "Executive", ":", "Benedict", "J", ".", "Stas", ",", "at", "his", "principal", "office", "and", "e-mail", "address", "at", "the", "Company", "(", "during", "the", "Employment", "Period", ")", ",", "and", "at", "all", "times", "to", "his", "principal", "residence", "as", "reflected", "in", "the", "records", "of", "the", "Company", "."]}
{"id": "10035", "text": "8.5. Governing Law. This Employment Agreement shall be construed and enforced in accordance with, and the laws of the State of New York hereto shall govern the rights and obligations of the parties, without giving effect to the conflicts of law principles thereof.", "ner": [[8, 9, "Title"], [24, 27, "Court"]], "tokenized_text": ["8", ".", "5", ".", "Governing", "Law", ".", "This", "Employment", "Agreement", "shall", "be", "construed", "and", "enforced", "in", "accordance", "with", ",", "and", "the", "laws", "of", "the", "State", "of", "New", "York", "hereto", "shall", "govern", "the", "rights", "and", "obligations", "of", "the", "parties", ",", "without", "giving", "effect", "to", "the", "conflicts", "of", "law", "principles", "thereof", "."]}
{"id": "10037", "text": "EVOQUA WATER TECHNOLOGIES LLC", "ner": [[0, 3, "Parties"]], "tokenized_text": ["EVOQUA", "WATER", "TECHNOLOGIES", "LLC"]}
{"id": "10038", "text": "/s/ Benedict J. Stas", "ner": [[3, 6, "Parties"]], "tokenized_text": ["/", "s", "/", "Benedict", "J", ".", "Stas"]}
{"id": "10040", "text": "4. The Executive specifically acknowledges that his acceptance of the terms of this Release is, among other things, a specific waiver of his rights, claims and causes of action under Title VII, ADEA, ADA and any state or local law or regulation in respect of discrimination of any kind; provided, however, that nothing herein shall be deemed, nor does anything contained herein purport, to be a waiver of any right or claim or cause of action which by law the Executive is not permitted to waive.", "ner": [[37, 37, "Act"], [39, 39, "Act"]], "tokenized_text": ["4", ".", "The", "Executive", "specifically", "acknowledges", "that", "his", "acceptance", "of", "the", "terms", "of", "this", "Release", "is", ",", "among", "other", "things", ",", "a", "specific", "waiver", "of", "his", "rights", ",", "claims", "and", "causes", "of", "action", "under", "Title", "VII", ",", "ADEA", ",", "ADA", "and", "any", "state", "or", "local", "law", "or", "regulation", "in", "respect", "of", "discrimination", "of", "any", "kind", ";", "provided", ",", "however", ",", "that", "nothing", "herein", "shall", "be", "deemed", ",", "nor", "does", "anything", "contained", "herein", "purport", ",", "to", "be", "a", "waiver", "of", "any", "right", "or", "claim", "or", "cause", "of", "action", "which", "by", "law", "the", "Executive", "is", "not", "permitted", "to", "waive", "."]}
{"id": "10041", "text": "15. Except for issues or matters as to which federal law is applicable, this Release shall be governed by and construed and enforced in accordance with the laws of the State of New York without giving effect to the conflicts of law principles thereof.", "ner": [[32, 35, "Court"]], "tokenized_text": ["15", ".", "Except", "for", "issues", "or", "matters", "as", "to", "which", "federal", "law", "is", "applicable", ",", "this", "Release", "shall", "be", "governed", "by", "and", "construed", "and", "enforced", "in", "accordance", "with", "the", "laws", "of", "the", "State", "of", "New", "York", "without", "giving", "effect", "to", "the", "conflicts", "of", "law", "principles", "thereof", "."]}
{"id": "10042", "text": "EVOQUA WATER TECHNOLOGIES LLC ---|---", "ner": [[0, 3, "Parties"]], "tokenized_text": ["EVOQUA", "WATER", "TECHNOLOGIES", "LLC", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "10044", "text": "This EMPLOYMENT AGREEMENT (the Agreement) is entered into on October[], 2017 , by and between OPTINOSE US,INC ., a Delaware corporation (the Company), and Keith A. Goldan (Executive).", "ner": [[1, 2, "Title"], [11, 15, "EffectiveDate"], [20, 24, "Parties"], [35, 38, "Parties"]], "tokenized_text": ["This", "EMPLOYMENT", "AGREEMENT", "(", "the", "Agreement", ")", "is", "entered", "into", "on", "October", "[", "]", ",", "2017", ",", "by", "and", "between", "OPTINOSE", "US", ",", "INC", ".", ",", "a", "Delaware", "corporation", "(", "the", "Company", ")", ",", "and", "Keith", "A", ".", "Goldan", "(", "Executive", ")", "."]}
{"id": "10046", "text": "2. Title, Duties and Responsibilities. While Executive is employed by the Company, Executive will serve as the Chief Financial Officer of OptiNose,Inc . and will report to the Chief Executive Officer of OptiNose,Inc. Executive will have such duties and responsibilities that are commensurate with Executives position and such other duties and responsibilities as are from time to time assigned to Executive by the Chief Executive Officer or the Board of Directors of the OptiNose,Inc. (the Board). While Executive is employed by the Company, Executive will devote Executives full business time, energy and skill to the performance of Executives duties and responsibilities hereunder. Executive will not be permitted to engage in other activities that interfere with Executives performance of his duties under this Agreement, conflict with the business of the Company or violate any provisions of Section8 herein. Executive shall, if requested by the Board, also serve as an officer or director of any affiliate of the Company for no additional compensation. Executives place of employment will be the Companys offices in Yardley, Pennsylvania .", "ner": [[21, 23, "Role"], [25, 28, "Parties"], [34, 36, "Role"], [38, 41, "Parties"], [72, 74, "Role"], [82, 85, "Parties"], [194, 196, "Address"]], "tokenized_text": ["2", ".", "Title", ",", "Duties", "and", "Responsibilities", ".", "While", "Executive", "is", "employed", "by", "the", "Company", ",", "Executive", "will", "serve", "as", "the", "Chief", "Financial", "Officer", "of", "OptiNose", ",", "Inc", ".", "and", "will", "report", "to", "the", "Chief", "Executive", "Officer", "of", "OptiNose", ",", "Inc", ".", "Executive", "will", "have", "such", "duties", "and", "responsibilities", "that", "are", "commensurate", "with", "Executives", "position", "and", "such", "other", "duties", "and", "responsibilities", "as", "are", "from", "time", "to", "time", "assigned", "to", "Executive", "by", "the", "Chief", "Executive", "Officer", "or", "the", "Board", "of", "Directors", "of", "the", "OptiNose", ",", "Inc", ".", "(", "the", "Board", ")", ".", "While", "Executive", "is", "employed", "by", "the", "Company", ",", "Executive", "will", "devote", "Executives", "full", "business", "time", ",", "energy", "and", "skill", "to", "the", "performance", "of", "Executives", "duties", "and", "responsibilities", "hereunder", ".", "Executive", "will", "not", "be", "permitted", "to", "engage", "in", "other", "activities", "that", "interfere", "with", "Executives", "performance", "of", "his", "duties", "under", "this", "Agreement", ",", "conflict", "with", "the", "business", "of", "the", "Company", "or", "violate", "any", "provisions", "of", "Section8", "herein", ".", "Executive", "shall", ",", "if", "requested", "by", "the", "Board", ",", "also", "serve", "as", "an", "officer", "or", "director", "of", "any", "affiliate", "of", "the", "Company", "for", "no", "additional", "compensation", ".", "Executives", "place", "of", "employment", "will", "be", "the", "Companys", "offices", "in", "Yardley", ",", "Pennsylvania", "."]}
{"id": "10047", "text": "3. Base Salary. While Executive is employed by the Company, the Company will pay Executive a base annual salary (the Base Salary) at the rate of $350,000 per year, paid in accordance with the usual payroll practices of the Company. Executives Base Salary shall be reviewed periodically for potential increases pursuant to Company review policies applicable to senior executives by the Compensation Committee of the Board (the Compensation Committee) or the Board.", "ner": [[31, 34, "Salary"]], "tokenized_text": ["3", ".", "Base", "Salary", ".", "While", "Executive", "is", "employed", "by", "the", "Company", ",", "the", "Company", "will", "pay", "Executive", "a", "base", "annual", "salary", "(", "the", "Base", "Salary", ")", "at", "the", "rate", "of", "$", "350", ",", "000", "per", "year", ",", "paid", "in", "accordance", "with", "the", "usual", "payroll", "practices", "of", "the", "Company", ".", "Executives", "Base", "Salary", "shall", "be", "reviewed", "periodically", "for", "potential", "increases", "pursuant", "to", "Company", "review", "policies", "applicable", "to", "senior", "executives", "by", "the", "Compensation", "Committee", "of", "the", "Board", "(", "the", "Compensation", "Committee", ")", "or", "the", "Board", "."]}
{"id": "10049", "text": "(ii) provided Executive and his eligible dependents timely and properly elect to continue health care coverage under the Consolidated Omnibus Reconciliation Act of 1985 ( COBRA ), continued participation by Executive and Executives eligible dependents in the standard group medical, dental and vision plans of the Company as in effect from time to time, on substantially the same terms and conditions as such benefits are provided to employees during the applicable period, and reimbursement by the Company of the monthly COBRA premium paid by Executive for him and his eligible dependents for nine (9)months or, if earlier, until the date Executive is no longer eligible to receive COBRA continuation coverage; provided, however, in the event the Company determines that such provisions would subject Executive to taxation under Section105(h)of the Internal Revenue Code of 1986, as amended (the Code), or otherwise violate any healthcare law or regulation, then, in lieu of reimbursing Executive, the Company shall pay to Executive an amount equal to the amount Executive would be required to pay for continuation of group health coverage for Executive and his eligible dependents through an election under COBRA for nine (9)months, which amount shall be paid in a lump sum at the same time payments under Section5(e)(i)commence and is intended to assist Executive with costs of health coverage, which Executive may (but is not required to) obtain through an election to continue health care coverage under COBRA ; and", "ner": [[20, 25, "Act"], [27, 27, "Act"], [86, 86, "Act"], [118, 118, "Act"], [147, 151, "Act"], [211, 211, "Act"], [274, 274, "Act"]], "tokenized_text": ["(", "ii", ")", "provided", "Executive", "and", "his", "eligible", "dependents", "timely", "and", "properly", "elect", "to", "continue", "health", "care", "coverage", "under", "the", "Consolidated", "Omnibus", "Reconciliation", "Act", "of", "1985", "(", "COBRA", ")", ",", "continued", "participation", "by", "Executive", "and", "Executives", "eligible", "dependents", "in", "the", "standard", "group", "medical", ",", "dental", "and", "vision", "plans", "of", "the", "Company", "as", "in", "effect", "from", "time", "to", "time", ",", "on", "substantially", "the", "same", "terms", "and", "conditions", "as", "such", "benefits", "are", "provided", "to", "employees", "during", "the", "applicable", "period", ",", "and", "reimbursement", "by", "the", "Company", "of", "the", "monthly", "COBRA", "premium", "paid", "by", "Executive", "for", "him", "and", "his", "eligible", "dependents", "for", "nine", "(", "9", ")", "months", "or", ",", "if", "earlier", ",", "until", "the", "date", "Executive", "is", "no", "longer", "eligible", "to", "receive", "COBRA", "continuation", "coverage", ";", "provided", ",", "however", ",", "in", "the", "event", "the", "Company", "determines", "that", "such", "provisions", "would", "subject", "Executive", "to", "taxation", "under", "Section105", "(", "h", ")", "of", "the", "Internal", "Revenue", "Code", "of", "1986", ",", "as", "amended", "(", "the", "Code", ")", ",", "or", "otherwise", "violate", "any", "healthcare", "law", "or", "regulation", ",", "then", ",", "in", "lieu", "of", "reimbursing", "Executive", ",", "the", "Company", "shall", "pay", "to", "Executive", "an", "amount", "equal", "to", "the", "amount", "Executive", "would", "be", "required", "to", "pay", "for", "continuation", "of", "group", "health", "coverage", "for", "Executive", "and", "his", "eligible", "dependents", "through", "an", "election", "under", "COBRA", "for", "nine", "(", "9", ")", "months", ",", "which", "amount", "shall", "be", "paid", "in", "a", "lump", "sum", "at", "the", "same", "time", "payments", "under", "Section5", "(", "e", ")", "(", "i", ")", "commence", "and", "is", "intended", "to", "assist", "Executive", "with", "costs", "of", "health", "coverage", ",", "which", "Executive", "may", "(", "but", "is", "not", "required", "to", ")", "obtain", "through", "an", "election", "to", "continue", "health", "care", "coverage", "under", "COBRA", ";", "and"]}
{"id": "10051", "text": "(b) Confidentiality. Executive agrees that Executive will not, directly or indirectly, use, make available, sell, disclose or otherwise communicate to any person or entity, other than in the course of Executives assigned duties hereunder and for the benefit of the Employer, either while Executive is employed by the Company hereunder or at any time thereafter, any business and technical information or trade secrets, nonpublic, proprietary or confidential information, knowledge or data relating to the Employer whether the foregoing will have been obtained by Executive during Executives employment hereunder or otherwise. The foregoing will not apply to information that (i)was known to the public prior to its disclosure to Executive; (ii)becomes generally known to the public or in the Employers industry subsequent to disclosure to Executive through no wrongful act by Executive or any of Executives representatives; or (iii)Executive is required to disclose by applicable law, regulation or legal process (provided that Executive provides the Company with prior notice of the contemplated disclosure and cooperates at the Companys cost with the Company in seeking a protective order or other appropriate protection of such information). The Company and Executive acknowledge that, notwithstanding anything to the contrary contained in this Agreement, pursuant to 18 USC 1833 (b), an individual may not be held liable under any criminal or civil federal or state trade secret law for disclosure of a trade secret: (i)made in confidence to a government official, either directly or indirectly, or to an attorney, solely for the purpose of reporting or investigating a suspected violation of law or (ii)in a complaint or other document filed in a lawsuit or other proceeding, if such filing is made under seal. The Company and Executive further acknowledge that an individual suing an employer for retaliation based on the reporting of a suspected violation of law may disclose a trade secret to his attorney and use the trade secret information in the court proceeding, so long as any document containing the trade secret is filed under seal and the individual does not disclose the trade secret except pursuant to court order.", "ner": [[232, 234, "Regulation"]], "tokenized_text": ["(", "b", ")", "Confidentiality", ".", "Executive", "agrees", "that", "Executive", "will", "not", ",", "directly", "or", "indirectly", ",", "use", ",", "make", "available", ",", "sell", ",", "disclose", "or", "otherwise", "communicate", "to", "any", "person", "or", "entity", ",", "other", "than", "in", "the", "course", "of", "Executives", "assigned", "duties", "hereunder", "and", "for", "the", "benefit", "of", "the", "Employer", ",", "either", "while", "Executive", "is", "employed", "by", "the", "Company", "hereunder", "or", "at", "any", "time", "thereafter", ",", "any", "business", "and", "technical", "information", "or", "trade", "secrets", ",", "nonpublic", ",", "proprietary", "or", "confidential", "information", ",", "knowledge", "or", "data", "relating", "to", "the", "Employer", "whether", "the", "foregoing", "will", "have", "been", "obtained", "by", "Executive", "during", "Executives", "employment", "hereunder", "or", "otherwise", ".", "The", "foregoing", "will", "not", "apply", "to", "information", "that", "(", "i", ")", "was", "known", "to", "the", "public", "prior", "to", "its", "disclosure", "to", "Executive", ";", "(", "ii", ")", "becomes", "generally", "known", "to", "the", "public", "or", "in", "the", "Employers", "industry", "subsequent", "to", "disclosure", "to", "Executive", "through", "no", "wrongful", "act", "by", "Executive", "or", "any", "of", "Executives", "representatives", ";", "or", "(", "iii", ")", "Executive", "is", "required", "to", "disclose", "by", "applicable", "law", ",", "regulation", "or", "legal", "process", "(", "provided", "that", "Executive", "provides", "the", "Company", "with", "prior", "notice", "of", "the", "contemplated", "disclosure", "and", "cooperates", "at", "the", "Companys", "cost", "with", "the", "Company", "in", "seeking", "a", "protective", "order", "or", "other", "appropriate", "protection", "of", "such", "information", ")", ".", "The", "Company", "and", "Executive", "acknowledge", "that", ",", "notwithstanding", "anything", "to", "the", "contrary", "contained", "in", "this", "Agreement", ",", "pursuant", "to", "18", "USC", "1833", "(", "b", ")", ",", "an", "individual", "may", "not", "be", "held", "liable", "under", "any", "criminal", "or", "civil", "federal", "or", "state", "trade", "secret", "law", "for", "disclosure", "of", "a", "trade", "secret", ":", "(", "i", ")", "made", "in", "confidence", "to", "a", "government", "official", ",", "either", "directly", "or", "indirectly", ",", "or", "to", "an", "attorney", ",", "solely", "for", "the", "purpose", "of", "reporting", "or", "investigating", "a", "suspected", "violation", "of", "law", "or", "(", "ii", ")", "in", "a", "complaint", "or", "other", "document", "filed", "in", "a", "lawsuit", "or", "other", "proceeding", ",", "if", "such", "filing", "is", "made", "under", "seal", ".", "The", "Company", "and", "Executive", "further", "acknowledge", "that", "an", "individual", "suing", "an", "employer", "for", "retaliation", "based", "on", "the", "reporting", "of", "a", "suspected", "violation", "of", "law", "may", "disclose", "a", "trade", "secret", "to", "his", "attorney", "and", "use", "the", "trade", "secret", "information", "in", "the", "court", "proceeding", ",", "so", "long", "as", "any", "document", "containing", "the", "trade", "secret", "is", "filed", "under", "seal", "and", "the", "individual", "does", "not", "disclose", "the", "trade", "secret", "except", "pursuant", "to", "court", "order", "."]}
{"id": "10055", "text": "(b) Each payment under this Agreement, including each installment payment, shall be considered a separate and distinct payment. For purposes of this Agreement, each payment is intended to be excepted from Section409A to the maximum extent provided as follows: (i)each payment made within the applicable 2 month period specified in Treas. Reg. 1.409A-1(b)(4)is intended to be excepted under the short-term deferral exception; (ii)post- termination medical benefits are intended to be excepted under the medical benefits exception as specified in Treas. Reg. 1.409A-1(b)(9) (v)(B); and (iii)to the extent payments are made as a result of an involuntary separation, each payment that is not otherwise excepted under the short-term deferral exception or medical benefits exception is intended to be excepted under the involuntary pay exception as specified in Treas. Reg. 1.409A-1(b)(9)(iii). With respect to payments subject to Section409A (and not excepted therefrom), if any, it is intended that each payment is paid on a permissible distribution event and at a specified time consistent with Section409A . Neither the Company nor Executive shall have the right to accelerate or defer the delivery of any such payments or benefits except to the extent specifically permitted or required by Section409A. Executive shall have no right to designate the date or any payment under this Agreement.", "ner": [[60, 66, "Regulation"], [105, 111, "Regulation"], [172, 178, "Regulation"]], "tokenized_text": ["(", "b", ")", "Each", "payment", "under", "this", "Agreement", ",", "including", "each", "installment", "payment", ",", "shall", "be", "considered", "a", "separate", "and", "distinct", "payment", ".", "For", "purposes", "of", "this", "Agreement", ",", "each", "payment", "is", "intended", "to", "be", "excepted", "from", "Section409A", "to", "the", "maximum", "extent", "provided", "as", "follows", ":", "(", "i", ")", "each", "payment", "made", "within", "the", "applicable", "2", "month", "period", "specified", "in", "Treas", ".", "Reg", ".", "1", ".", "409A-1", "(", "b", ")", "(", "4", ")", "is", "intended", "to", "be", "excepted", "under", "the", "short-term", "deferral", "exception", ";", "(", "ii", ")", "post", "-", "termination", "medical", "benefits", "are", "intended", "to", "be", "excepted", "under", "the", "medical", "benefits", "exception", "as", "specified", "in", "Treas", ".", "Reg", ".", "1", ".", "409A-1", "(", "b", ")", "(", "9", ")", "(", "v", ")", "(", "B", ")", ";", "and", "(", "iii", ")", "to", "the", "extent", "payments", "are", "made", "as", "a", "result", "of", "an", "involuntary", "separation", ",", "each", "payment", "that", "is", "not", "otherwise", "excepted", "under", "the", "short-term", "deferral", "exception", "or", "medical", "benefits", "exception", "is", "intended", "to", "be", "excepted", "under", "the", "involuntary", "pay", "exception", "as", "specified", "in", "Treas", ".", "Reg", ".", "1", ".", "409A-1", "(", "b", ")", "(", "9", ")", "(", "iii", ")", ".", "With", "respect", "to", "payments", "subject", "to", "Section409A", "(", "and", "not", "excepted", "therefrom", ")", ",", "if", "any", ",", "it", "is", "intended", "that", "each", "payment", "is", "paid", "on", "a", "permissible", "distribution", "event", "and", "at", "a", "specified", "time", "consistent", "with", "Section409A", ".", "Neither", "the", "Company", "nor", "Executive", "shall", "have", "the", "right", "to", "accelerate", "or", "defer", "the", "delivery", "of", "any", "such", "payments", "or", "benefits", "except", "to", "the", "extent", "specifically", "permitted", "or", "required", "by", "Section409A", ".", "Executive", "shall", "have", "no", "right", "to", "designate", "the", "date", "or", "any", "payment", "under", "this", "Agreement", "."]}
{"id": "10057", "text": "This RELEASE AGREEMENT (Agreement) made this [ ] day of [ ], [ ] (the Effective Date), between OptiNose US,Inc . (including its successors and assigns, the Company), and [ ] (Executive).", "ner": [[1, 2, "Title"], [24, 28, "Parties"]], "tokenized_text": ["This", "RELEASE", "AGREEMENT", "(", "Agreement", ")", "made", "this", "[", "]", "day", "of", "[", "]", ",", "[", "]", "(", "the", "Effective", "Date", ")", ",", "between", "OptiNose", "US", ",", "Inc", ".", "(", "including", "its", "successors", "and", "assigns", ",", "the", "Company", ")", ",", "and", "[", "]", "(", "Executive", ")", "."]}
{"id": "10061", "text": "This Employment Agreement (this Agreement), dated October4, 2017 , is made by and among Cedar Fair, L.P . , a publicly traded Delaware limited partnership, Cedar Fair Management , Inc . , an Ohio Corporation ( Cedar Fair Management ), Magnum Management Corporation , an Ohio corporation ( Magnum ) , and Matthew A. Ouimet (the Executive).", "ner": [[1, 2, "Title"], [9, 11, "EffectiveDate"], [18, 24, "Parties"], [33, 38, "Parties"], [49, 51, "Parties"], [61, 64, "Parties"]], "tokenized_text": ["This", "Employment", "Agreement", "(", "this", "Agreement", ")", ",", "dated", "October4", ",", "2017", ",", "is", "made", "by", "and", "among", "Cedar", "Fair", ",", "L", ".", "P", ".", ",", "a", "publicly", "traded", "Delaware", "limited", "partnership", ",", "Cedar", "Fair", "Management", ",", "Inc", ".", ",", "an", "Ohio", "Corporation", "(", "Cedar", "Fair", "Management", ")", ",", "Magnum", "Management", "Corporation", ",", "an", "Ohio", "corporation", "(", "Magnum", ")", ",", "and", "Matthew", "A", ".", "Ouimet", "(", "the", "Executive", ")", "."]}
{"id": "10065", "text": "WHEREAS, the Board has further determined that this objective can best be achieved by appointing Executive to the role of Executive Chairman of the Board ( Executive Chairman );", "ner": [[21, 22, "Role"], [27, 28, "Role"]], "tokenized_text": ["WHEREAS", ",", "the", "Board", "has", "further", "determined", "that", "this", "objective", "can", "best", "be", "achieved", "by", "appointing", "Executive", "to", "the", "role", "of", "Executive", "Chairman", "of", "the", "Board", "(", "Executive", "Chairman", ")", ";"]}
{"id": "10066", "text": "WHEREAS, the Board and Executive intend and agree that, effective January1, 2018 (the Effective Date), this Agreement shall supersede and replace all employment agreements between Executive and Cedar Fair that pre-date the Effective Date.", "ner": [[12, 14, "EffectiveDate"], [33, 34, "Parties"]], "tokenized_text": ["WHEREAS", ",", "the", "Board", "and", "Executive", "intend", "and", "agree", "that", ",", "effective", "January1", ",", "2018", "(", "the", "Effective", "Date", ")", ",", "this", "Agreement", "shall", "supersede", "and", "replace", "all", "employment", "agreements", "between", "Executive", "and", "Cedar", "Fair", "that", "pre-date", "the", "Effective", "Date", "."]}
{"id": "10069", "text": "responsibilities as Executive Chairman ; provided, that this Section2 shall not be interpreted as prohibiting Executive from (i)managing Executives personal investments (so long as such investment activities are of a passive nature), (ii)engaging in charitable or civic activities, (iii)participating on boards of directors or similar bodies of non-profit organizations, or (iv)subject to approval by the Board in its sole discretion, participating on boards of directors or similar bodies of for-profit organizations, in each case, so long as such activities in the aggregate do not (a)materially interfere with the performance of Executives duties and responsibilities hereunder, (b)create a fiduciary conflict, or (c)with respect to (ii), (iii), (iv)and (v)only, detrimentally affect the Companys reputation as reasonably determined by the Company in good faith. If requested, Executive shall also serve as an executive officer and/or member of the board of directors of any entity that directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with, Cedar Fair, L.P . (an Affiliate) without additional compensation including, and being subject to his election by Unitholders, serving as a member of the Board during the Employment Period.", "ner": [[2, 3, "Role"], [215, 221, "Parties"]], "tokenized_text": ["responsibilities", "as", "Executive", "Chairman", ";", "provided", ",", "that", "this", "Section2", "shall", "not", "be", "interpreted", "as", "prohibiting", "Executive", "from", "(", "i", ")", "managing", "Executives", "personal", "investments", "(", "so", "long", "as", "such", "investment", "activities", "are", "of", "a", "passive", "nature", ")", ",", "(", "ii", ")", "engaging", "in", "charitable", "or", "civic", "activities", ",", "(", "iii", ")", "participating", "on", "boards", "of", "directors", "or", "similar", "bodies", "of", "non-profit", "organizations", ",", "or", "(", "iv", ")", "subject", "to", "approval", "by", "the", "Board", "in", "its", "sole", "discretion", ",", "participating", "on", "boards", "of", "directors", "or", "similar", "bodies", "of", "for-profit", "organizations", ",", "in", "each", "case", ",", "so", "long", "as", "such", "activities", "in", "the", "aggregate", "do", "not", "(", "a", ")", "materially", "interfere", "with", "the", "performance", "of", "Executives", "duties", "and", "responsibilities", "hereunder", ",", "(", "b", ")", "create", "a", "fiduciary", "conflict", ",", "or", "(", "c", ")", "with", "respect", "to", "(", "ii", ")", ",", "(", "iii", ")", ",", "(", "iv", ")", "and", "(", "v", ")", "only", ",", "detrimentally", "affect", "the", "Companys", "reputation", "as", "reasonably", "determined", "by", "the", "Company", "in", "good", "faith", ".", "If", "requested", ",", "Executive", "shall", "also", "serve", "as", "an", "executive", "officer", "and", "/", "or", "member", "of", "the", "board", "of", "directors", "of", "any", "entity", "that", "directly", ",", "or", "indirectly", "through", "one", "or", "more", "intermediaries", ",", "controls", ",", "or", "is", "controlled", "by", ",", "or", "is", "under", "common", "control", "with", ",", "Cedar", "Fair", ",", "L", ".", "P", ".", "(", "an", "Affiliate", ")", "without", "additional", "compensation", "including", ",", "and", "being", "subject", "to", "his", "election", "by", "Unitholders", ",", "serving", "as", "a", "member", "of", "the", "Board", "during", "the", "Employment", "Period", "."]}
{"id": "10070", "text": "(a) In consideration of all services rendered by Executive under this Agreement, the Company shall pay Executive a base salary (the Base salary) at an annual rate of $500,000 , during the Employment Period. Executives Base salary will be reviewed from time to time but will not decrease, except in the event of an across the board reduction applicable to substantially all senior executives of the Company.", "ner": [[33, 36, "Salary"]], "tokenized_text": ["(", "a", ")", "In", "consideration", "of", "all", "services", "rendered", "by", "Executive", "under", "this", "Agreement", ",", "the", "Company", "shall", "pay", "Executive", "a", "base", "salary", "(", "the", "Base", "salary", ")", "at", "an", "annual", "rate", "of", "$", "500", ",", "000", ",", "during", "the", "Employment", "Period", ".", "Executives", "Base", "salary", "will", "be", "reviewed", "from", "time", "to", "time", "but", "will", "not", "decrease", ",", "except", "in", "the", "event", "of", "an", "across", "the", "board", "reduction", "applicable", "to", "substantially", "all", "senior", "executives", "of", "the", "Company", "."]}
{"id": "10071", "text": "A. Target Annual Cash Incentive will be 120% of Base salary ;", "ner": [[8, 9, "Percentage"]], "tokenized_text": ["A", ".", "Target", "Annual", "Cash", "Incentive", "will", "be", "120", "%", "of", "Base", "salary", ";"]}
{"id": "10075", "text": "(x) in which ten percent ( 10% )or more of whose annual revenues are derived from a Business as defined above; and", "ner": [[8, 9, "Percentage"]], "tokenized_text": ["(", "x", ")", "in", "which", "ten", "percent", "(", "10", "%", ")", "or", "more", "of", "whose", "annual", "revenues", "are", "derived", "from", "a", "Business", "as", "defined", "above", ";", "and"]}
{"id": "10076", "text": "8.5 Resignation as an Officer and Director. Upon any termination of Executives employment, Executive shall be deemed to have resigned, to the extent applicable as an officer of the Company a member of the board of directors or similar body of any of Cedar Fair, L.P .s Affiliates, and as a fiduciary of any Company benefit plan. On or immediately following the date of any termination of Executives employment, Executive shall confirm the foregoing by submitting to the Company in writing a confirmation of Executives resignation(s).", "ner": [[48, 54, "Parties"]], "tokenized_text": ["8", ".", "5", "Resignation", "as", "an", "Officer", "and", "Director", ".", "Upon", "any", "termination", "of", "Executives", "employment", ",", "Executive", "shall", "be", "deemed", "to", "have", "resigned", ",", "to", "the", "extent", "applicable", "as", "an", "officer", "of", "the", "Company", "a", "member", "of", "the", "board", "of", "directors", "or", "similar", "body", "of", "any", "of", "Cedar", "Fair", ",", "L", ".", "P", ".", "s", "Affiliates", ",", "and", "as", "a", "fiduciary", "of", "any", "Company", "benefit", "plan", ".", "On", "or", "immediately", "following", "the", "date", "of", "any", "termination", "of", "Executives", "employment", ",", "Executive", "shall", "confirm", "the", "foregoing", "by", "submitting", "to", "the", "Company", "in", "writing", "a", "confirmation", "of", "Executives", "resignation", "(", "s", ")", "."]}
{"id": "10078", "text": "Attn: General Counsel | If to Executive: | | Matthew A. Ouimet The last address shown on records of the Company", "ner": [[11, 14, "Parties"]], "tokenized_text": ["Attn", ":", "General", "Counsel", "|", "If", "to", "Executive", ":", "|", "|", "Matthew", "A", ".", "Ouimet", "The", "last", "address", "shown", "on", "records", "of", "the", "Company"]}
{"id": "10079", "text": "(a) The parties agree that this Agreement shall be interpreted to comply with or, to the extent possible, be exempt from Section409A of the Internal Revenue Code , as amended (the Code), and the regulations and guidance promulgated thereunder to the extent applicable (collectively Code Section409A), and all provisions of this Agreement shall be construed in a manner consistent with the requirements for avoiding taxes or penalties under Code Section409A. Except to the extent attributable to a breach of this Agreement by the Company, in no event whatsoever will the Company be liable for any additional tax, interest or penalties that may be imposed on Executive under Code Section409A or any damages for failing to comply with Code Section409A.", "ner": [[28, 30, "Act"], [52, 53, "Regulation"]], "tokenized_text": ["(", "a", ")", "The", "parties", "agree", "that", "this", "Agreement", "shall", "be", "interpreted", "to", "comply", "with", "or", ",", "to", "the", "extent", "possible", ",", "be", "exempt", "from", "Section409A", "of", "the", "Internal", "Revenue", "Code", ",", "as", "amended", "(", "the", "Code", ")", ",", "and", "the", "regulations", "and", "guidance", "promulgated", "thereunder", "to", "the", "extent", "applicable", "(", "collectively", "Code", "Section409A", ")", ",", "and", "all", "provisions", "of", "this", "Agreement", "shall", "be", "construed", "in", "a", "manner", "consistent", "with", "the", "requirements", "for", "avoiding", "taxes", "or", "penalties", "under", "Code", "Section409A", ".", "Except", "to", "the", "extent", "attributable", "to", "a", "breach", "of", "this", "Agreement", "by", "the", "Company", ",", "in", "no", "event", "whatsoever", "will", "the", "Company", "be", "liable", "for", "any", "additional", "tax", ",", "interest", "or", "penalties", "that", "may", "be", "imposed", "on", "Executive", "under", "Code", "Section409A", "or", "any", "damages", "for", "failing", "to", "comply", "with", "Code", "Section409A", "."]}
{"id": "10082", "text": "12.11 Governing Law. This Agreement shall be construed under and enforced in accordance with the laws of the State of Ohio , without regard to the conflicts of law provisions thereof.", "ner": [[21, 23, "Court"]], "tokenized_text": ["12", ".", "11", "Governing", "Law", ".", "This", "Agreement", "shall", "be", "construed", "under", "and", "enforced", "in", "accordance", "with", "the", "laws", "of", "the", "State", "of", "Ohio", ",", "without", "regard", "to", "the", "conflicts", "of", "law", "provisions", "thereof", "."]}
{"id": "10085", "text": "This RELEASE AGREEMENT (this Agreement) dated , 20, is made and entered into by and between Cedar Fair, L.P ., a publicly traded Delaware limited partnership, Cedar Fair Management , Inc ., an Ohio Corporation ( Cedar Fair Management ), Magnum Management Corporation , an Ohio corporation ( Magnum ) and Matthew A. Ouimet (the Employee).", "ner": [[1, 2, "Title"], [19, 25, "Parties"], [34, 39, "Parties"], [50, 52, "Parties"], [61, 64, "Parties"]], "tokenized_text": ["This", "RELEASE", "AGREEMENT", "(", "this", "Agreement", ")", "dated", ",", "20", ",", "is", "made", "and", "entered", "into", "by", "and", "between", "Cedar", "Fair", ",", "L", ".", "P", ".", ",", "a", "publicly", "traded", "Delaware", "limited", "partnership", ",", "Cedar", "Fair", "Management", ",", "Inc", ".", ",", "an", "Ohio", "Corporation", "(", "Cedar", "Fair", "Management", ")", ",", "Magnum", "Management", "Corporation", ",", "an", "Ohio", "corporation", "(", "Magnum", ")", "and", "Matthew", "A", ".", "Ouimet", "(", "the", "Employee", ")", "."]}
{"id": "10087", "text": "WHEREAS, the Employees employment with Magnum and the Company has terminated effective , 20.", "ner": [[6, 6, "Parties"]], "tokenized_text": ["WHEREAS", ",", "the", "Employees", "employment", "with", "Magnum", "and", "the", "Company", "has", "terminated", "effective", ",", "20", "."]}
{"id": "10088", "text": "NOW, THEREFORE, in consideration of the premises and mutual agreements contained herein and in the Employment Agreement , the Company and the Employee agree as follows:", "ner": [[17, 18, "Title"]], "tokenized_text": ["NOW", ",", "THEREFORE", ",", "in", "consideration", "of", "the", "premises", "and", "mutual", "agreements", "contained", "herein", "and", "in", "the", "Employment", "Agreement", ",", "the", "Company", "and", "the", "Employee", "agree", "as", "follows", ":"]}
{"id": "10092", "text": "a. Governing Law. This Agreement will be governed by, and construed in accordance with, the laws of the State of Ohio without giving effect to its conflict of laws principles.", "ner": [[22, 24, "Court"]], "tokenized_text": ["a", ".", "Governing", "Law", ".", "This", "Agreement", "will", "be", "governed", "by", ",", "and", "construed", "in", "accordance", "with", ",", "the", "laws", "of", "the", "State", "of", "Ohio", "without", "giving", "effect", "to", "its", "conflict", "of", "laws", "principles", "."]}
{"id": "10097", "text": "THIS EMPLOYMENT AGREEMENT (this Agreement) is made and entered into as of January1, 2015 (the Effective Date), by and between Bandwidth.com, Inc . (Bandwidth), a Delaware corporation with its principal place of business at 900 Main Campus Drive, Suite 500, Raleigh, North Carolina 27606 , and David Morken (Morken).", "ner": [[1, 2, "Title"], [14, 16, "EffectiveDate"], [26, 31, "Parties"], [61, 62, "Parties"]], "tokenized_text": ["THIS", "EMPLOYMENT", "AGREEMENT", "(", "this", "Agreement", ")", "is", "made", "and", "entered", "into", "as", "of", "January1", ",", "2015", "(", "the", "Effective", "Date", ")", ",", "by", "and", "between", "Bandwidth", ".", "com", ",", "Inc", ".", "(", "Bandwidth", ")", ",", "a", "Delaware", "corporation", "with", "its", "principal", "place", "of", "business", "at", "900", "Main", "Campus", "Drive", ",", "Suite", "500", ",", "Raleigh", ",", "North", "Carolina", "27606", ",", "and", "David", "Morken", "(", "Morken", ")", "."]}
{"id": "10101", "text": "3.1.1 During the Employment Period, Bandwidth will pay to Morken a salary at the initial rate of Three Hundred Seventy Five Thousand Dollars ( $375,000 ) per annum (the Base Salary). The Base Salary will be earned and paid in arrears, in equal installments, semi-monthly, or at such other interval as the Board directs, but no less often than once each month. At the beginning of each year during the Employment Period, Morken and the Board will in good faith review the Base Salary. Base Salary will be increased to mutually agreed upon levels consistent with the growth of Bandwidths business. Bandwidth shall be entitled to withhold, or cause to be withheld, any amount of federal, state, city or other withholding taxes or other amounts either required by law or authorized by Morken with respect to payments made to Morken in connection with his employment hereunder.", "ner": [[29, 32, "Salary"]], "tokenized_text": ["3", ".", "1", ".", "1", "During", "the", "Employment", "Period", ",", "Bandwidth", "will", "pay", "to", "Morken", "a", "salary", "at", "the", "initial", "rate", "of", "Three", "Hundred", "Seventy", "Five", "Thousand", "Dollars", "(", "$", "375", ",", "000", ")", "per", "annum", "(", "the", "Base", "Salary", ")", ".", "The", "Base", "Salary", "will", "be", "earned", "and", "paid", "in", "arrears", ",", "in", "equal", "installments", ",", "semi-monthly", ",", "or", "at", "such", "other", "interval", "as", "the", "Board", "directs", ",", "but", "no", "less", "often", "than", "once", "each", "month", ".", "At", "the", "beginning", "of", "each", "year", "during", "the", "Employment", "Period", ",", "Morken", "and", "the", "Board", "will", "in", "good", "faith", "review", "the", "Base", "Salary", ".", "Base", "Salary", "will", "be", "increased", "to", "mutually", "agreed", "upon", "levels", "consistent", "with", "the", "growth", "of", "Bandwidths", "business", ".", "Bandwidth", "shall", "be", "entitled", "to", "withhold", ",", "or", "cause", "to", "be", "withheld", ",", "any", "amount", "of", "federal", ",", "state", ",", "city", "or", "other", "withholding", "taxes", "or", "other", "amounts", "either", "required", "by", "law", "or", "authorized", "by", "Morken", "with", "respect", "to", "payments", "made", "to", "Morken", "in", "connection", "with", "his", "employment", "hereunder", "."]}
{"id": "10102", "text": "3.2.1 In addition to the Base Salary, Bandwidth will pay to Morken bonus compensation each year during the Employment Period of up to one hundred percent ( 100% ) of the Base Salary (the Bonus Compensation). One half of the Bonus Compensation will be based on Morken meeting individual performance objectives, and one half will be based on Bandwidth meeting its Operating Earnings target provided for in its annual Budget. The individual performance objectives will be mutually agreed by the Board and Morken at the beginning of each calendar year.", "ner": [[32, 33, "Percentage"], [45, 46, "Ratio"], [62, 63, "Ratio"]], "tokenized_text": ["3", ".", "2", ".", "1", "In", "addition", "to", "the", "Base", "Salary", ",", "Bandwidth", "will", "pay", "to", "Morken", "bonus", "compensation", "each", "year", "during", "the", "Employment", "Period", "of", "up", "to", "one", "hundred", "percent", "(", "100", "%", ")", "of", "the", "Base", "Salary", "(", "the", "Bonus", "Compensation", ")", ".", "One", "half", "of", "the", "Bonus", "Compensation", "will", "be", "based", "on", "Morken", "meeting", "individual", "performance", "objectives", ",", "and", "one", "half", "will", "be", "based", "on", "Bandwidth", "meeting", "its", "Operating", "Earnings", "target", "provided", "for", "in", "its", "annual", "Budget", ".", "The", "individual", "performance", "objectives", "will", "be", "mutually", "agreed", "by", "the", "Board", "and", "Morken", "at", "the", "beginning", "of", "each", "calendar", "year", "."]}
{"id": "10104", "text": "3.4 Severance. If Bandwidth terminates Morken other than for Cause, or Morken resigns for Good Reason, then Bandwidth will pay to Morken an amount (Severance) equal to (i)one hundred fifty percent (1 50% ) the prior years Base Salary, plus (ii)one hundred fifty percent (1 50% ) of the Bonus Compensation, determined based on achievement of target performance levels for the year of termination. Such amount, less any applicable taxes and other similar amounts, will be paid in equal installments over an eighteen (18)month period following the termination in accordance with Bandwidths standard payroll practices and procedures. After an Unapproved Change in Control, in addition to the foregoing events, Severance will also be payable if Morken terminates his employment for any reason no more than twelve (12)months after the Unapproved Change in Control. The receipt of any severance benefits provided for pursuant to this Agreement or otherwise will be dependent upon Morkens delivery to Bandwidth of an effective general release of claims in a form reasonably satisfactory to Bandwidth not later than thirty (30)days after the date of Morkens termination of employment (or such longer period as may be required by applicable law), and shall be paid or commence no later than thirty (30)days thereafter, with the first payment to include any amounts that would have been payable on payroll dates occurring after Morkens termination of employment and prior to such first payment.", "ner": [[42, 44, "Percentage"], [61, 63, "Percentage"]], "tokenized_text": ["3", ".", "4", "Severance", ".", "If", "Bandwidth", "terminates", "Morken", "other", "than", "for", "Cause", ",", "or", "Morken", "resigns", "for", "Good", "Reason", ",", "then", "Bandwidth", "will", "pay", "to", "Morken", "an", "amount", "(", "Severance", ")", "equal", "to", "(", "i", ")", "one", "hundred", "fifty", "percent", "(", "1", "50", "%", ")", "the", "prior", "years", "Base", "Salary", ",", "plus", "(", "ii", ")", "one", "hundred", "fifty", "percent", "(", "1", "50", "%", ")", "of", "the", "Bonus", "Compensation", ",", "determined", "based", "on", "achievement", "of", "target", "performance", "levels", "for", "the", "year", "of", "termination", ".", "Such", "amount", ",", "less", "any", "applicable", "taxes", "and", "other", "similar", "amounts", ",", "will", "be", "paid", "in", "equal", "installments", "over", "an", "eighteen", "(", "18", ")", "month", "period", "following", "the", "termination", "in", "accordance", "with", "Bandwidths", "standard", "payroll", "practices", "and", "procedures", ".", "After", "an", "Unapproved", "Change", "in", "Control", ",", "in", "addition", "to", "the", "foregoing", "events", ",", "Severance", "will", "also", "be", "payable", "if", "Morken", "terminates", "his", "employment", "for", "any", "reason", "no", "more", "than", "twelve", "(", "12", ")", "months", "after", "the", "Unapproved", "Change", "in", "Control", ".", "The", "receipt", "of", "any", "severance", "benefits", "provided", "for", "pursuant", "to", "this", "Agreement", "or", "otherwise", "will", "be", "dependent", "upon", "Morkens", "delivery", "to", "Bandwidth", "of", "an", "effective", "general", "release", "of", "claims", "in", "a", "form", "reasonably", "satisfactory", "to", "Bandwidth", "not", "later", "than", "thirty", "(", "30", ")", "days", "after", "the", "date", "of", "Morkens", "termination", "of", "employment", "(", "or", "such", "longer", "period", "as", "may", "be", "required", "by", "applicable", "law", ")", ",", "and", "shall", "be", "paid", "or", "commence", "no", "later", "than", "thirty", "(", "30", ")", "days", "thereafter", ",", "with", "the", "first", "payment", "to", "include", "any", "amounts", "that", "would", "have", "been", "payable", "on", "payroll", "dates", "occurring", "after", "Morkens", "termination", "of", "employment", "and", "prior", "to", "such", "first", "payment", "."]}
{"id": "10107", "text": "4.3 If at any time during the Employment Period Bandwidth (i)assigns Morken to serve in a capacity other than as Bandwidths Chief Executive Officer or assigns Morken to perform tasks inconsistent with such position, in each case, which results in a material diminution in Morkens authority, duties or responsibilities, or (ii)Bandwidth materially breaches any provision of this Agreement, then Morken may resign his employment by providing notice to Bandwidth within thirty (30)days of such event of the reasons for his resignation under this provision. Bandwidth shall have thirty (30)days following receipt of such notice to remedy and cure the alleged diminution or breach. If Bandwidth does not cure such breach, Morken shall resign his employment and such resignation will be deemed to be a termination by Bandwidth other than for Cause and/or a resignation by Morken for Good Reason. Morken can resign at any time other than for Good Reason.", "ner": [[26, 28, "Role"]], "tokenized_text": ["4", ".", "3", "If", "at", "any", "time", "during", "the", "Employment", "Period", "Bandwidth", "(", "i", ")", "assigns", "Morken", "to", "serve", "in", "a", "capacity", "other", "than", "as", "Bandwidths", "Chief", "Executive", "Officer", "or", "assigns", "Morken", "to", "perform", "tasks", "inconsistent", "with", "such", "position", ",", "in", "each", "case", ",", "which", "results", "in", "a", "material", "diminution", "in", "Morkens", "authority", ",", "duties", "or", "responsibilities", ",", "or", "(", "ii", ")", "Bandwidth", "materially", "breaches", "any", "provision", "of", "this", "Agreement", ",", "then", "Morken", "may", "resign", "his", "employment", "by", "providing", "notice", "to", "Bandwidth", "within", "thirty", "(", "30", ")", "days", "of", "such", "event", "of", "the", "reasons", "for", "his", "resignation", "under", "this", "provision", ".", "Bandwidth", "shall", "have", "thirty", "(", "30", ")", "days", "following", "receipt", "of", "such", "notice", "to", "remedy", "and", "cure", "the", "alleged", "diminution", "or", "breach", ".", "If", "Bandwidth", "does", "not", "cure", "such", "breach", ",", "Morken", "shall", "resign", "his", "employment", "and", "such", "resignation", "will", "be", "deemed", "to", "be", "a", "termination", "by", "Bandwidth", "other", "than", "for", "Cause", "and", "/", "or", "a", "resignation", "by", "Morken", "for", "Good", "Reason", ".", "Morken", "can", "resign", "at", "any", "time", "other", "than", "for", "Good", "Reason", "."]}
{"id": "10109", "text": "Approved Change in Control of Bandwidth means a Change in Control of Bandwidth of a nature that would be required to be reported in response to Item 5.01 of the Current Report on Form 8-K, as if in effect on the Effective Date, pursuant to Section13 or 15(d) of the Securities Exchange Act of 1934 , as amended (the Exchange Act ) if the transaction causing such a change will have been approved by the affirmative vote of at least a majority of the Continuing Directors.", "ner": [[57, 61, "Act"], [67, 68, "Act"]], "tokenized_text": ["Approved", "Change", "in", "Control", "of", "Bandwidth", "means", "a", "Change", "in", "Control", "of", "Bandwidth", "of", "a", "nature", "that", "would", "be", "required", "to", "be", "reported", "in", "response", "to", "Item", "5", ".", "01", "of", "the", "Current", "Report", "on", "Form", "8-K", ",", "as", "if", "in", "effect", "on", "the", "Effective", "Date", ",", "pursuant", "to", "Section13", "or", "15", "(", "d", ")", "of", "the", "Securities", "Exchange", "Act", "of", "1934", ",", "as", "amended", "(", "the", "Exchange", "Act", ")", "if", "the", "transaction", "causing", "such", "a", "change", "will", "have", "been", "approved", "by", "the", "affirmative", "vote", "of", "at", "least", "a", "majority", "of", "the", "Continuing", "Directors", "."]}
{"id": "10111", "text": "Bandwidth is then subject to the proxy rules of the Exchange Act then by approval of the proxy statement of Bandwidth in which such person is named as a nominee for director or of the inclusion of such person in such Proxy Statement as such a nominee, in any case without objection by any member of such approving majority of the then Continuing Directors to the nomination of such person or the naming of such person as a director nominee).", "ner": [[10, 11, "Act"]], "tokenized_text": ["Bandwidth", "is", "then", "subject", "to", "the", "proxy", "rules", "of", "the", "Exchange", "Act", "then", "by", "approval", "of", "the", "proxy", "statement", "of", "Bandwidth", "in", "which", "such", "person", "is", "named", "as", "a", "nominee", "for", "director", "or", "of", "the", "inclusion", "of", "such", "person", "in", "such", "Proxy", "Statement", "as", "such", "a", "nominee", ",", "in", "any", "case", "without", "objection", "by", "any", "member", "of", "such", "approving", "majority", "of", "the", "then", "Continuing", "Directors", "to", "the", "nomination", "of", "such", "person", "or", "the", "naming", "of", "such", "person", "as", "a", "director", "nominee", ")", "."]}
{"id": "10112", "text": "AMENDMENT TO EMPLOYMENT AGREEMENT", "ner": [[2, 3, "Title"]], "tokenized_text": ["AMENDMENT", "TO", "EMPLOYMENT", "AGREEMENT"]}
{"id": "10113", "text": "THIS AMENDMENT (the Amendment) is made and entered into as of the last date signed (Amendment Effective Date) by and between Bandwidth.com, Inc ., a Delaware corporation, having offices at 900 Main Campus Drive, Suite 500, Raleigh, North Carolina 27606 USA (Bandwidth), and David A. Morken (Morken).", "ner": [[25, 30, "Parties"], [58, 61, "Parties"]], "tokenized_text": ["THIS", "AMENDMENT", "(", "the", "Amendment", ")", "is", "made", "and", "entered", "into", "as", "of", "the", "last", "date", "signed", "(", "Amendment", "Effective", "Date", ")", "by", "and", "between", "Bandwidth", ".", "com", ",", "Inc", ".", ",", "a", "Delaware", "corporation", ",", "having", "offices", "at", "900", "Main", "Campus", "Drive", ",", "Suite", "500", ",", "Raleigh", ",", "North", "Carolina", "27606", "USA", "(", "Bandwidth", ")", ",", "and", "David", "A", ".", "Morken", "(", "Morken", ")", "."]}
{"id": "10116", "text": "Pursuant to the Defend Trade Secrets Act of 2016 , Morken understands that:", "ner": [[3, 8, "Act"]], "tokenized_text": ["Pursuant", "to", "the", "Defend", "Trade", "Secrets", "Act", "of", "2016", ",", "Morken", "understands", "that", ":"]}
{"id": "10120", "text": "(i) Base Salary. During the Employment Period, the Executive shall receive a base salary (the Base Salary) of $321,059 per annum. The Base Salary shall be paid by the Company at such intervals as the Company pays executive salaries generally. The Base Salary may be reviewed annually by the Board, or the Compensation Committee thereof, and may be increased in the discretion of the Board, or the Compensation Committee thereof. The term Base Salary as utilized in this Agreement shall refer to Base Salary as so increased from time to time.", "ner": [[24, 27, "Salary"]], "tokenized_text": ["(", "i", ")", "Base", "Salary", ".", "During", "the", "Employment", "Period", ",", "the", "Executive", "shall", "receive", "a", "base", "salary", "(", "the", "Base", "Salary", ")", "of", "$", "321", ",", "059", "per", "annum", ".", "The", "Base", "Salary", "shall", "be", "paid", "by", "the", "Company", "at", "such", "intervals", "as", "the", "Company", "pays", "executive", "salaries", "generally", ".", "The", "Base", "Salary", "may", "be", "reviewed", "annually", "by", "the", "Board", ",", "or", "the", "Compensation", "Committee", "thereof", ",", "and", "may", "be", "increased", "in", "the", "discretion", "of", "the", "Board", ",", "or", "the", "Compensation", "Committee", "thereof", ".", "The", "term", "Base", "Salary", "as", "utilized", "in", "this", "Agreement", "shall", "refer", "to", "Base", "Salary", "as", "so", "increased", "from", "time", "to", "time", "."]}
{"id": "10130", "text": "(d) Sarbanes-Oxley Act of 2002 . Notwithstanding anything herein to the contrary, if the Company determines, in its good faith judgment, that any transfer or deemed transfer of funds hereunder is likely to be construed as a personal loan prohibited by Section13(k) of the Exchange Act and the rules and regulations promulgated thereunder, then such transfer or deemed transfer shall not be made to the extent necessary or appropriate so as not to violate the Exchange Act and the rules and regulations promulgated thereunder.", "ner": [[3, 6, "Act"], [52, 53, "Act"], [84, 85, "Act"]], "tokenized_text": ["(", "d", ")", "Sarbanes-Oxley", "Act", "of", "2002", ".", "Notwithstanding", "anything", "herein", "to", "the", "contrary", ",", "if", "the", "Company", "determines", ",", "in", "its", "good", "faith", "judgment", ",", "that", "any", "transfer", "or", "deemed", "transfer", "of", "funds", "hereunder", "is", "likely", "to", "be", "construed", "as", "a", "personal", "loan", "prohibited", "by", "Section13", "(", "k", ")", "of", "the", "Exchange", "Act", "and", "the", "rules", "and", "regulations", "promulgated", "thereunder", ",", "then", "such", "transfer", "or", "deemed", "transfer", "shall", "not", "be", "made", "to", "the", "extent", "necessary", "or", "appropriate", "so", "as", "not", "to", "violate", "the", "Exchange", "Act", "and", "the", "rules", "and", "regulations", "promulgated", "thereunder", "."]}
{"id": "10134", "text": "IN ACCORDANCE WITH THE OLDER WORKERS BENEFIT PROTECTION ACT OF 1990 , THE UNDERSIGNED IS HEREBY ADVISED AS FOLLOWS:", "ner": [[5, 10, "Act"]], "tokenized_text": ["IN", "ACCORDANCE", "WITH", "THE", "OLDER", "WORKERS", "BENEFIT", "PROTECTION", "ACT", "OF", "1990", ",", "THE", "UNDERSIGNED", "IS", "HEREBY", "ADVISED", "AS", "FOLLOWS", ":"]}
{"id": "10135", "text": "--- Jack K. Heilbron", "ner": [[3, 6, "Parties"]], "tokenized_text": ["-", "-", "-", "Jack", "K", ".", "Heilbron"]}
{"id": "10136", "text": "FORESCOUT TECHNOLOGIES, INC. EMPLOYMENT AGREEMENT", "ner": [[0, 4, "Parties"], [5, 6, "Title"]], "tokenized_text": ["FORESCOUT", "TECHNOLOGIES", ",", "INC", ".", "EMPLOYMENT", "AGREEMENT"]}
{"id": "10137", "text": "This Employment Agreement (Agreement) is entered into by and between ForeScout Technologies, Inc. , a Delaware corporation (the Company), and Christopher Harms (Executive, and collectively referred to as the Parties) effective as of January 1, 2017 (the Effective Date).", "ner": [[1, 2, "Title"], [12, 16, "Parties"], [27, 28, "Parties"], [43, 46, "EffectiveDate"]], "tokenized_text": ["This", "Employment", "Agreement", "(", "Agreement", ")", "is", "entered", "into", "by", "and", "between", "ForeScout", "Technologies", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "the", "Company", ")", ",", "and", "Christopher", "Harms", "(", "Executive", ",", "and", "collectively", "referred", "to", "as", "the", "Parties", ")", "effective", "as", "of", "January", "1", ",", "2017", "(", "the", "Effective", "Date", ")", "."]}
{"id": "10138", "text": "WHEREAS, the Parties previously entered into an Employment Agreement dated October 9, 2013 , as amended on March 16, 2015 (the Prior Agreement).", "ner": [[8, 9, "Title"], [11, 14, "EffectiveDate"], [19, 22, "EffectiveDate"], [25, 26, "Title"]], "tokenized_text": ["WHEREAS", ",", "the", "Parties", "previously", "entered", "into", "an", "Employment", "Agreement", "dated", "October", "9", ",", "2013", ",", "as", "amended", "on", "March", "16", ",", "2015", "(", "the", "Prior", "Agreement", ")", "."]}
{"id": "10140", "text": "1.2.1 Executive Position. As of the Effective Date, Executive agrees to serve as Senior Vice President , Chief Financial Officer of the Company, under the terms of this Agreement. Executive will report directly to the Companys Chief Executive Officer ( CEO ). Executive shall render such business and professional services in the performance of Executives duties, consistent with Executives position within the Company, as will be reasonably assigned to Executive by the Board or the CEO . Executives principal place of employment will be San Jose, California.", "ner": [[19, 21, "Role"], [23, 25, "Role"], [44, 46, "Role"], [48, 48, "Role"], [86, 86, "Role"], [95, 98, "Address"]], "tokenized_text": ["1", ".", "2", ".", "1", "Executive", "Position", ".", "As", "of", "the", "Effective", "Date", ",", "Executive", "agrees", "to", "serve", "as", "Senior", "Vice", "President", ",", "Chief", "Financial", "Officer", "of", "the", "Company", ",", "under", "the", "terms", "of", "this", "Agreement", ".", "Executive", "will", "report", "directly", "to", "the", "Companys", "Chief", "Executive", "Officer", "(", "CEO", ")", ".", "Executive", "shall", "render", "such", "business", "and", "professional", "services", "in", "the", "performance", "of", "Executives", "duties", ",", "consistent", "with", "Executives", "position", "within", "the", "Company", ",", "as", "will", "be", "reasonably", "assigned", "to", "Executive", "by", "the", "Board", "or", "the", "CEO", ".", "Executives", "principal", "place", "of", "employment", "will", "be", "San", "Jose", ",", "California", "."]}
{"id": "10141", "text": "--- | | ForeScout Employment Agreement", "ner": [[5, 7, "Title"]], "tokenized_text": ["-", "-", "-", "|", "|", "ForeScout", "Employment", "Agreement"]}
{"id": "10143", "text": "2.2 Incentive compensation. During the Term, Executive shall be eligible to receive cash incentive compensation as determined by the Board or the Committee, in its sole discretion, from time to time. For the Companys 2017 fiscal year, Executives target annual incentive compensation shall be 45% of Executives Base salary , and will be awarded based on the objective and/or subjective criteria established and approved by the Board or the Committee, as applicable. The Board or Committee shall have the sole discretion to determine whether Executive has earned any bonus and, if so, the amount of such bonus.", "ner": [[52, 53, "Percentage"]], "tokenized_text": ["2", ".", "2", "Incentive", "compensation", ".", "During", "the", "Term", ",", "Executive", "shall", "be", "eligible", "to", "receive", "cash", "incentive", "compensation", "as", "determined", "by", "the", "Board", "or", "the", "Committee", ",", "in", "its", "sole", "discretion", ",", "from", "time", "to", "time", ".", "For", "the", "Companys", "2017", "fiscal", "year", ",", "Executives", "target", "annual", "incentive", "compensation", "shall", "be", "45", "%", "of", "Executives", "Base", "salary", ",", "and", "will", "be", "awarded", "based", "on", "the", "objective", "and", "/", "or", "subjective", "criteria", "established", "and", "approved", "by", "the", "Board", "or", "the", "Committee", ",", "as", "applicable", ".", "The", "Board", "or", "Committee", "shall", "have", "the", "sole", "discretion", "to", "determine", "whether", "Executive", "has", "earned", "any", "bonus", "and", ",", "if", "so", ",", "the", "amount", "of", "such", "bonus", "."]}
{"id": "10144", "text": "3.2 Disability. The Company may terminate Executives employment if Executive becomes Disabled (as defined below). Nothing in this Section 3.2 shall be construed to waive Executives rights, if any, under existing law including, without limitation, the Family and Medical Leave Act of 1993 , 29 U.S.C. 2601 et seq. and the Americans with Disabilities Act , 42 U.S.C . 12101 et seq.", "ner": [[48, 54, "Act"], [56, 63, "Regulation"], [69, 72, "Act"], [74, 81, "Regulation"]], "tokenized_text": ["3", ".", "2", "Disability", ".", "The", "Company", "may", "terminate", "Executives", "employment", "if", "Executive", "becomes", "Disabled", "(", "as", "defined", "below", ")", ".", "Nothing", "in", "this", "Section", "3", ".", "2", "shall", "be", "construed", "to", "waive", "Executives", "rights", ",", "if", "any", ",", "under", "existing", "law", "including", ",", "without", "limitation", ",", "the", "Family", "and", "Medical", "Leave", "Act", "of", "1993", ",", "29", "U", ".", "S", ".", "C", ".", "2601", "et", "seq", ".", "and", "the", "Americans", "with", "Disabilities", "Act", ",", "42", "U", ".", "S", ".", "C", ".", "12101", "et", "seq", "."]}
{"id": "10145", "text": "5.1 Cash Severance. A lump sum cash amount equal to 100% of the sum of (a) Executives Base salary; and", "ner": [[13, 14, "Percentage"]], "tokenized_text": ["5", ".", "1", "Cash", "Severance", ".", "A", "lump", "sum", "cash", "amount", "equal", "to", "100", "%", "of", "the", "sum", "of", "(", "a", ")", "Executives", "Base", "salary", ";", "and"]}
{"id": "10146", "text": "5.2 COBRA Severance. A lump sum cash amount equal to the product of 12 months, multiplied by the monthly premium pursuant to the Consolidated Omnibus Budget Reconciliation Act of 1985 , as amended ( COBRA ), that Executive would be required to pay to continue the group health coverage in effect on the Date of Termination for Executive and any of Executives eligible dependents (which amount will be based on the premium for the first month of COBRA coverage).", "ner": [[3, 3, "Act"], [27, 33, "Act"], [38, 38, "Act"], [83, 83, "Act"]], "tokenized_text": ["5", ".", "2", "COBRA", "Severance", ".", "A", "lump", "sum", "cash", "amount", "equal", "to", "the", "product", "of", "12", "months", ",", "multiplied", "by", "the", "monthly", "premium", "pursuant", "to", "the", "Consolidated", "Omnibus", "Budget", "Reconciliation", "Act", "of", "1985", ",", "as", "amended", "(", "COBRA", ")", ",", "that", "Executive", "would", "be", "required", "to", "pay", "to", "continue", "the", "group", "health", "coverage", "in", "effect", "on", "the", "Date", "of", "Termination", "for", "Executive", "and", "any", "of", "Executives", "eligible", "dependents", "(", "which", "amount", "will", "be", "based", "on", "the", "premium", "for", "the", "first", "month", "of", "COBRA", "coverage", ")", "."]}
{"id": "10148", "text": "7.2 Vesting Acceleration. 100% of the unvested portion of all Equity Awards shall immediately accelerate and become fully exercisable or non-forfeitable as of the Date of Termination. To the extent that any Equity Award was eligible to vest in full or in part based on performance, the performance component shall be deemed to have been achieved at target. If any Equity Award will not continue through assumption or substitution after the Change in Control, such award will be fully vested immediately prior to the Change in Control; and", "ner": [[6, 7, "Percentage"]], "tokenized_text": ["7", ".", "2", "Vesting", "Acceleration", ".", "100", "%", "of", "the", "unvested", "portion", "of", "all", "Equity", "Awards", "shall", "immediately", "accelerate", "and", "become", "fully", "exercisable", "or", "non-forfeitable", "as", "of", "the", "Date", "of", "Termination", ".", "To", "the", "extent", "that", "any", "Equity", "Award", "was", "eligible", "to", "vest", "in", "full", "or", "in", "part", "based", "on", "performance", ",", "the", "performance", "component", "shall", "be", "deemed", "to", "have", "been", "achieved", "at", "target", ".", "If", "any", "Equity", "Award", "will", "not", "continue", "through", "assumption", "or", "substitution", "after", "the", "Change", "in", "Control", ",", "such", "award", "will", "be", "fully", "vested", "immediately", "prior", "to", "the", "Change", "in", "Control", ";", "and"]}
{"id": "10149", "text": "(a) A change in the ownership of the Company which occurs on the date that any one person, or more than one person acting as a group (Person), acquires ownership of the stock of the Company that, with the stock held by such Person, constitutes more than 50% of the total voting power of the stock of the Company; provided, that for this Section 9.2(a), the acquisition of additional stock by any one Person, who prior to such acquisition is considered to own more than 50% of the total voting power of the stock of the Company will not be considered a Change in Control. Further, if the stockholders of the Company immediately before such change in ownership continue to retain immediately after the change in ownership, in substantially the same proportions as their ownership of shares of the Companys voting stock immediately prior to the change in ownership, direct or indirect beneficial ownership of 50% or more of the total voting power of the stock of the Company, such event shall not be considered a Change in Control under this Section 9.2(a). For this purpose, indirect beneficial ownership shall include, without limitation, an interest resulting from ownership of the voting securities of one or more corporations or other business entities which own the Company, as the case may be, either directly or through one or more subsidiary corporations or other business entities; or", "ner": [[55, 56, "Percentage"], [103, 104, "Percentage"], [178, 179, "Percentage"]], "tokenized_text": ["(", "a", ")", "A", "change", "in", "the", "ownership", "of", "the", "Company", "which", "occurs", "on", "the", "date", "that", "any", "one", "person", ",", "or", "more", "than", "one", "person", "acting", "as", "a", "group", "(", "Person", ")", ",", "acquires", "ownership", "of", "the", "stock", "of", "the", "Company", "that", ",", "with", "the", "stock", "held", "by", "such", "Person", ",", "constitutes", "more", "than", "50", "%", "of", "the", "total", "voting", "power", "of", "the", "stock", "of", "the", "Company", ";", "provided", ",", "that", "for", "this", "Section", "9", ".", "2", "(", "a", ")", ",", "the", "acquisition", "of", "additional", "stock", "by", "any", "one", "Person", ",", "who", "prior", "to", "such", "acquisition", "is", "considered", "to", "own", "more", "than", "50", "%", "of", "the", "total", "voting", "power", "of", "the", "stock", "of", "the", "Company", "will", "not", "be", "considered", "a", "Change", "in", "Control", ".", "Further", ",", "if", "the", "stockholders", "of", "the", "Company", "immediately", "before", "such", "change", "in", "ownership", "continue", "to", "retain", "immediately", "after", "the", "change", "in", "ownership", ",", "in", "substantially", "the", "same", "proportions", "as", "their", "ownership", "of", "shares", "of", "the", "Companys", "voting", "stock", "immediately", "prior", "to", "the", "change", "in", "ownership", ",", "direct", "or", "indirect", "beneficial", "ownership", "of", "50", "%", "or", "more", "of", "the", "total", "voting", "power", "of", "the", "stock", "of", "the", "Company", ",", "such", "event", "shall", "not", "be", "considered", "a", "Change", "in", "Control", "under", "this", "Section", "9", ".", "2", "(", "a", ")", ".", "For", "this", "purpose", ",", "indirect", "beneficial", "ownership", "shall", "include", ",", "without", "limitation", ",", "an", "interest", "resulting", "from", "ownership", "of", "the", "voting", "securities", "of", "one", "or", "more", "corporations", "or", "other", "business", "entities", "which", "own", "the", "Company", ",", "as", "the", "case", "may", "be", ",", "either", "directly", "or", "through", "one", "or", "more", "subsidiary", "corporations", "or", "other", "business", "entities", ";", "or"]}
{"id": "10150", "text": "(C) a Person, that owns, directly or indirectly, 50% or more of the total value or voting power of all the outstanding stock of the Company, or", "ner": [[13, 14, "Percentage"]], "tokenized_text": ["(", "C", ")", "a", "Person", ",", "that", "owns", ",", "directly", "or", "indirectly", ",", "50", "%", "or", "more", "of", "the", "total", "value", "or", "voting", "power", "of", "all", "the", "outstanding", "stock", "of", "the", "Company", ",", "or"]}
{"id": "10152", "text": "12.11 Governing Law. This Agreement shall be construed under and be governed in all respects by the laws of the State of California , without giving effect to the conflict of laws principles of such State. With respect to any disputes concerning federal law, such disputes shall be determined in accordance with the law as it would be interpreted and applied by the United States Court of Appeals for the Ninth Circuit.", "ner": [[23, 25, "Court"], [68, 76, "Court"]], "tokenized_text": ["12", ".", "11", "Governing", "Law", ".", "This", "Agreement", "shall", "be", "construed", "under", "and", "be", "governed", "in", "all", "respects", "by", "the", "laws", "of", "the", "State", "of", "California", ",", "without", "giving", "effect", "to", "the", "conflict", "of", "laws", "principles", "of", "such", "State", ".", "With", "respect", "to", "any", "disputes", "concerning", "federal", "law", ",", "such", "disputes", "shall", "be", "determined", "in", "accordance", "with", "the", "law", "as", "it", "would", "be", "interpreted", "and", "applied", "by", "the", "United", "States", "Court", "of", "Appeals", "for", "the", "Ninth", "Circuit", "."]}
{"id": "10154", "text": "/s/ Christopher Harms Date", "ner": [[3, 4, "Parties"]], "tokenized_text": ["/", "s", "/", "Christopher", "Harms", "Date"]}
{"id": "10155", "text": "Christopher Harms --- | | ForeScout Employment Agreement", "ner": [[0, 1, "Parties"], [7, 9, "Title"]], "tokenized_text": ["Christopher", "Harms", "-", "-", "-", "|", "|", "ForeScout", "Employment", "Agreement"]}
{"id": "10156", "text": "This Separation Agreement and Release (Separation Agreement) is made by and between [CLICK AND TYPE NAME] (Employee) and ForeScout Technologies, Inc. (the Company) (collectively referred to as the Parties or individually referred to as a Party).", "ner": [[1, 2, "Title"], [24, 28, "Parties"]], "tokenized_text": ["This", "Separation", "Agreement", "and", "Release", "(", "Separation", "Agreement", ")", "is", "made", "by", "and", "between", "[", "CLICK", "AND", "TYPE", "NAME", "]", "(", "Employee", ")", "and", "ForeScout", "Technologies", ",", "Inc", ".", "(", "the", "Company", ")", "(", "collectively", "referred", "to", "as", "the", "Parties", "or", "individually", "referred", "to", "as", "a", "Party", ")", "."]}
{"id": "10159", "text": "California Labor Code, the California Workers compensation Act , and the California Fair Employment and Housing Act ;< br/>", "ner": [[0, 2, "Act"], [5, 8, "Act"], [12, 17, "Act"]], "tokenized_text": ["California", "Labor", "Code", ",", "the", "California", "Workers", "compensation", "Act", ",", "and", "the", "California", "Fair", "Employment", "and", "Housing", "Act", ";", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "10162", "text": "25. No Oral Modification. This Agreement may only be amended in a writing signed by Employee and the Companys Chief Executive Officer .", "ner": [[21, 23, "Role"]], "tokenized_text": ["25", ".", "No", "Oral", "Modification", ".", "This", "Agreement", "may", "only", "be", "amended", "in", "a", "writing", "signed", "by", "Employee", "and", "the", "Companys", "Chief", "Executive", "Officer", "."]}
{"id": "10164", "text": "Employee understands the terms and consequences of this Agreement and of the releases it contains; --- | | ForeScout Employment Agreement", "ner": [[21, 23, "Title"]], "tokenized_text": ["Employee", "understands", "the", "terms", "and", "consequences", "of", "this", "Agreement", "and", "of", "the", "releases", "it", "contains", ";", "-", "-", "-", "|", "|", "ForeScout", "Employment", "Agreement"]}
{"id": "10169", "text": "improvements, developments, discoveries, ideas and trade secrets conceived, discovered, authored, invented, developed or reduced to practice by me, solely or in collaboration with others, during the period of time I am in the employ of the Company (including during my off-duty hours), or with the use of Companys equipment, supplies, facilities, or Company Confidential Information , and any copyrights, patents, trade secrets, mask work rights or other intellectual property rights relating to the foregoing, except as provided in Section 3.G below (collectively, Inventions), are the sole property of the Company. I also agree to promptly make full written disclosure to the Company of any Inventions, and to deliver and assign and hereby irrevocably assign fully to the Company all of my right, title and interest in and to Inventions. I agree that this assignment includes a present conveyance to the Company of ownership of Inventions that are not yet in existence. I further acknowledge that all original works of authorship that are made by me (solely or jointly with others) within the scope of and during the period of my employment with the Company and that are protectable by copyright are works made for hire, as that term is defined in the United States Copyright Act. I understand and agree that the decision whether or not to commercialize or market any Inventions is within the Companys sole discretion and for the Companys sole benefit, and that no royalty or other consideration will be due to me as a result of the Companys efforts to commercialize or market any such Inventions. I understand that any and all Inventions that I may work on with personnel of the Company or any of its affiliates constitute joint research between the Company or any of its affiliates, as applicable, for the purposes of 35 U.S.C. section 103 (c)(2).", "ner": [[235, 238, "Act"], [337, 345, "Regulation"]], "tokenized_text": ["improvements", ",", "developments", ",", "discoveries", ",", "ideas", "and", "trade", "secrets", "conceived", ",", "discovered", ",", "authored", ",", "invented", ",", "developed", "or", "reduced", "to", "practice", "by", "me", ",", "solely", "or", "in", "collaboration", "with", "others", ",", "during", "the", "period", "of", "time", "I", "am", "in", "the", "employ", "of", "the", "Company", "(", "including", "during", "my", "off-duty", "hours", ")", ",", "or", "with", "the", "use", "of", "Companys", "equipment", ",", "supplies", ",", "facilities", ",", "or", "Company", "Confidential", "Information", ",", "and", "any", "copyrights", ",", "patents", ",", "trade", "secrets", ",", "mask", "work", "rights", "or", "other", "intellectual", "property", "rights", "relating", "to", "the", "foregoing", ",", "except", "as", "provided", "in", "Section", "3", ".", "G", "below", "(", "collectively", ",", "Inventions", ")", ",", "are", "the", "sole", "property", "of", "the", "Company", ".", "I", "also", "agree", "to", "promptly", "make", "full", "written", "disclosure", "to", "the", "Company", "of", "any", "Inventions", ",", "and", "to", "deliver", "and", "assign", "and", "hereby", "irrevocably", "assign", "fully", "to", "the", "Company", "all", "of", "my", "right", ",", "title", "and", "interest", "in", "and", "to", "Inventions", ".", "I", "agree", "that", "this", "assignment", "includes", "a", "present", "conveyance", "to", "the", "Company", "of", "ownership", "of", "Inventions", "that", "are", "not", "yet", "in", "existence", ".", "I", "further", "acknowledge", "that", "all", "original", "works", "of", "authorship", "that", "are", "made", "by", "me", "(", "solely", "or", "jointly", "with", "others", ")", "within", "the", "scope", "of", "and", "during", "the", "period", "of", "my", "employment", "with", "the", "Company", "and", "that", "are", "protectable", "by", "copyright", "are", "works", "made", "for", "hire", ",", "as", "that", "term", "is", "defined", "in", "the", "United", "States", "Copyright", "Act", ".", "I", "understand", "and", "agree", "that", "the", "decision", "whether", "or", "not", "to", "commercialize", "or", "market", "any", "Inventions", "is", "within", "the", "Companys", "sole", "discretion", "and", "for", "the", "Companys", "sole", "benefit", ",", "and", "that", "no", "royalty", "or", "other", "consideration", "will", "be", "due", "to", "me", "as", "a", "result", "of", "the", "Companys", "efforts", "to", "commercialize", "or", "market", "any", "such", "Inventions", ".", "I", "understand", "that", "any", "and", "all", "Inventions", "that", "I", "may", "work", "on", "with", "personnel", "of", "the", "Company", "or", "any", "of", "its", "affiliates", "constitute", "joint", "research", "between", "the", "Company", "or", "any", "of", "its", "affiliates", ",", "as", "applicable", ",", "for", "the", "purposes", "of", "35", "U", ".", "S", ".", "C", ".", "section", "103", "(", "c", ")", "(", "2", ")", "."]}
{"id": "10170", "text": "A. Governing Law; Consent to Personal jurisdiction. This Agreement will be governed by the laws of the State of California without regard to Californias conflicts-of-law rules that may result in the application of the laws of any jurisdiction other than California. To the extent that any lawsuit is permitted under this Agreement, I hereby expressly consent to the personal and exclusive jurisdiction and venue of the state and federal courts located in California for any lawsuit filed against me by the Company.", "ner": [[20, 22, "Court"]], "tokenized_text": ["A", ".", "Governing", "Law", ";", "Consent", "to", "Personal", "jurisdiction", ".", "This", "Agreement", "will", "be", "governed", "by", "the", "laws", "of", "the", "State", "of", "California", "without", "regard", "to", "Californias", "conflicts-of-law", "rules", "that", "may", "result", "in", "the", "application", "of", "the", "laws", "of", "any", "jurisdiction", "other", "than", "California", ".", "To", "the", "extent", "that", "any", "lawsuit", "is", "permitted", "under", "this", "Agreement", ",", "I", "hereby", "expressly", "consent", "to", "the", "personal", "and", "exclusive", "jurisdiction", "and", "venue", "of", "the", "state", "and", "federal", "courts", "located", "in", "California", "for", "any", "lawsuit", "filed", "against", "me", "by", "the", "Company", "."]}
{"id": "10174", "text": "Name of Employee (typed or printed) --- | | ForeScout Employment Agreement", "ner": [[13, 15, "Title"]], "tokenized_text": ["Name", "of", "Employee", "(", "typed", "or", "printed", ")", "-", "-", "-", "|", "|", "ForeScout", "Employment", "Agreement"]}
{"id": "10175", "text": "This is to certify that I do not have in my possession, nor have I failed to return, any devices, records, data, notes, reports, proposals, lists, correspondence, specifications, drawings, blueprints, sketches, materials, equipment, any other documents or property, or reproductions of any and all aforementioned items belonging to ForeScout Technologies, Inc. (the Company). Notwithstanding the foregoing, I understand that I may keep a copy of the Companys employee handbook and personnel records relating to me.", "ner": [[65, 69, "Parties"]], "tokenized_text": ["This", "is", "to", "certify", "that", "I", "do", "not", "have", "in", "my", "possession", ",", "nor", "have", "I", "failed", "to", "return", ",", "any", "devices", ",", "records", ",", "data", ",", "notes", ",", "reports", ",", "proposals", ",", "lists", ",", "correspondence", ",", "specifications", ",", "drawings", ",", "blueprints", ",", "sketches", ",", "materials", ",", "equipment", ",", "any", "other", "documents", "or", "property", ",", "or", "reproductions", "of", "any", "and", "all", "aforementioned", "items", "belonging", "to", "ForeScout", "Technologies", ",", "Inc", ".", "(", "the", "Company", ")", ".", "Notwithstanding", "the", "foregoing", ",", "I", "understand", "that", "I", "may", "keep", "a", "copy", "of", "the", "Companys", "employee", "handbook", "and", "personnel", "records", "relating", "to", "me", "."]}
{"id": "10176", "text": "It is the policy of ForeScout Technologies, Inc. to conduct its affairs in strict compliance with the letter and spirit of the law and to adhere to the highest principles of business ethics. Accordingly, all officers, employees, and independent contractors must avoid activities that are in conflict, or give the appearance of being in conflict, with these principles and with the interests of the Company. The following are potentially compromising situations that must be avoided:", "ner": [[5, 9, "Parties"]], "tokenized_text": ["It", "is", "the", "policy", "of", "ForeScout", "Technologies", ",", "Inc", ".", "to", "conduct", "its", "affairs", "in", "strict", "compliance", "with", "the", "letter", "and", "spirit", "of", "the", "law", "and", "to", "adhere", "to", "the", "highest", "principles", "of", "business", "ethics", ".", "Accordingly", ",", "all", "officers", ",", "employees", ",", "and", "independent", "contractors", "must", "avoid", "activities", "that", "are", "in", "conflict", ",", "or", "give", "the", "appearance", "of", "being", "in", "conflict", ",", "with", "these", "principles", "and", "with", "the", "interests", "of", "the", "Company", ".", "The", "following", "are", "potentially", "compromising", "situations", "that", "must", "be", "avoided", ":"]}
{"id": "10181", "text": "(b) Annual Performance Bonus. Executive shall be eligible to receive an annual cash bonus (the Annual Performance Bonus), with the target amount of such Annual Performance Bonus equal to thirty percent ( 30% )of Executives Base salary in the year to which the Annual Performance Bonus relates; provided that the actual amount of the Annual Performance Bonus may be greater or less than such target amount. The amount of the Annual Performance Bonus shall be determined by the Board of Directors or an appropriate committee thereof in its sole discretion, and shall be paid to Executive no later than March15th of the calendar year immediately following the calendar year in which it was earned. Except as provided in Section4, Executive must be employed by Company on the last day of the applicable fiscal year to which the Annual Performance Bonus relates in order to be eligible for, and to be deemed as having earned, such Annual Performance Bonus. Company shall deduct from the Annual Performance Bonus all amounts required to be deducted or withheld under applicable law or under any employee benefit plan in which Executive participates.", "ner": [[38, 39, "Percentage"]], "tokenized_text": ["(", "b", ")", "Annual", "Performance", "Bonus", ".", "Executive", "shall", "be", "eligible", "to", "receive", "an", "annual", "cash", "bonus", "(", "the", "Annual", "Performance", "Bonus", ")", ",", "with", "the", "target", "amount", "of", "such", "Annual", "Performance", "Bonus", "equal", "to", "thirty", "percent", "(", "30", "%", ")", "of", "Executives", "Base", "salary", "in", "the", "year", "to", "which", "the", "Annual", "Performance", "Bonus", "relates", ";", "provided", "that", "the", "actual", "amount", "of", "the", "Annual", "Performance", "Bonus", "may", "be", "greater", "or", "less", "than", "such", "target", "amount", ".", "The", "amount", "of", "the", "Annual", "Performance", "Bonus", "shall", "be", "determined", "by", "the", "Board", "of", "Directors", "or", "an", "appropriate", "committee", "thereof", "in", "its", "sole", "discretion", ",", "and", "shall", "be", "paid", "to", "Executive", "no", "later", "than", "March15th", "of", "the", "calendar", "year", "immediately", "following", "the", "calendar", "year", "in", "which", "it", "was", "earned", ".", "Except", "as", "provided", "in", "Section4", ",", "Executive", "must", "be", "employed", "by", "Company", "on", "the", "last", "day", "of", "the", "applicable", "fiscal", "year", "to", "which", "the", "Annual", "Performance", "Bonus", "relates", "in", "order", "to", "be", "eligible", "for", ",", "and", "to", "be", "deemed", "as", "having", "earned", ",", "such", "Annual", "Performance", "Bonus", ".", "Company", "shall", "deduct", "from", "the", "Annual", "Performance", "Bonus", "all", "amounts", "required", "to", "be", "deducted", "or", "withheld", "under", "applicable", "law", "or", "under", "any", "employee", "benefit", "plan", "in", "which", "Executive", "participates", "."]}
{"id": "10184", "text": "As used herein, a Change of Control shall mean the occurrence of any of the following events: (i)Ownership. Any Person (as such term is used in Sections 13(d) and 14(d) of the Securities Exchange Act of 1934 , as amended) becomes the Beneficial Owner (as defined in Rule 13d-3 under said Act), directly or indirectly, of securities of Company representing fifty percent ( 50% )or more of the total voting power represented by Companys then outstanding voting securities (excluding for this purpose any such voting securities held by Company, or any affiliate, parent or subsidiary of Company, or by any employee benefit plan of Company) pursuant to a transaction or a series of related transactions; or (ii)Merger/Sale of Assets. (A)A merger or consolidation of Company whether or not approved by the Board, other than a merger or consolidation which would result in the voting securities of Company outstanding immediately prior thereto continuing to represent (either by remaining outstanding or by being converted into voting securities of the surviving entity or the parent of such corporation) at least fifty percent ( 50% )of the total voting power represented by the voting securities of Company or such surviving", "ner": [[45, 49, "Act"], [62, 63, "Regulation"], [81, 82, "Percentage"], [218, 219, "Percentage"]], "tokenized_text": ["As", "used", "herein", ",", "a", "Change", "of", "Control", "shall", "mean", "the", "occurrence", "of", "any", "of", "the", "following", "events", ":", "(", "i", ")", "Ownership", ".", "Any", "Person", "(", "as", "such", "term", "is", "used", "in", "Sections", "13", "(", "d", ")", "and", "14", "(", "d", ")", "of", "the", "Securities", "Exchange", "Act", "of", "1934", ",", "as", "amended", ")", "becomes", "the", "Beneficial", "Owner", "(", "as", "defined", "in", "Rule", "13d-3", "under", "said", "Act", ")", ",", "directly", "or", "indirectly", ",", "of", "securities", "of", "Company", "representing", "fifty", "percent", "(", "50", "%", ")", "or", "more", "of", "the", "total", "voting", "power", "represented", "by", "Companys", "then", "outstanding", "voting", "securities", "(", "excluding", "for", "this", "purpose", "any", "such", "voting", "securities", "held", "by", "Company", ",", "or", "any", "affiliate", ",", "parent", "or", "subsidiary", "of", "Company", ",", "or", "by", "any", "employee", "benefit", "plan", "of", "Company", ")", "pursuant", "to", "a", "transaction", "or", "a", "series", "of", "related", "transactions", ";", "or", "(", "ii", ")", "Merger", "/", "Sale", "of", "Assets", ".", "(", "A", ")", "A", "merger", "or", "consolidation", "of", "Company", "whether", "or", "not", "approved", "by", "the", "Board", ",", "other", "than", "a", "merger", "or", "consolidation", "which", "would", "result", "in", "the", "voting", "securities", "of", "Company", "outstanding", "immediately", "prior", "thereto", "continuing", "to", "represent", "(", "either", "by", "remaining", "outstanding", "or", "by", "being", "converted", "into", "voting", "securities", "of", "the", "surviving", "entity", "or", "the", "parent", "of", "such", "corporation", ")", "at", "least", "fifty", "percent", "(", "50", "%", ")", "of", "the", "total", "voting", "power", "represented", "by", "the", "voting", "securities", "of", "Company", "or", "such", "surviving"]}
{"id": "10188", "text": "1.2 WORK RESPONSIBILITIES. Subject to the terms of this Agreement, Employee is employed in the position of Chairman and Chief Executive Officer ( CEO ) of Community Bank of Texas, N.A. (Bank), and President and CEO of the Company, and shall perform the functions and responsibilities of that position. Employee may elect to semi-retire upon reaching age 62 and shall have the title of Vice Chairman of the Board of Directors (Board), at a reduced salary as determined by the Board. Additional or different duties may be assigned by the Board. Employees position, job descriptions, duties and responsibilities may be modified from time to time in the sole discretion of the Board.", "ner": [[21, 21, "Role"], [23, 25, "Role"], [27, 27, "Role"], [30, 38, "Parties"], [44, 44, "Role"], [46, 46, "Role"], [77, 78, "Role"]], "tokenized_text": ["1", ".", "2", "WORK", "RESPONSIBILITIES", ".", "Subject", "to", "the", "terms", "of", "this", "Agreement", ",", "Employee", "is", "employed", "in", "the", "position", "of", "Chairman", "and", "Chief", "Executive", "Officer", "(", "CEO", ")", "of", "Community", "Bank", "of", "Texas", ",", "N", ".", "A", ".", "(", "Bank", ")", ",", "and", "President", "and", "CEO", "of", "the", "Company", ",", "and", "shall", "perform", "the", "functions", "and", "responsibilities", "of", "that", "position", ".", "Employee", "may", "elect", "to", "semi-retire", "upon", "reaching", "age", "62", "and", "shall", "have", "the", "title", "of", "Vice", "Chairman", "of", "the", "Board", "of", "Directors", "(", "Board", ")", ",", "at", "a", "reduced", "salary", "as", "determined", "by", "the", "Board", ".", "Additional", "or", "different", "duties", "may", "be", "assigned", "by", "the", "Board", ".", "Employees", "position", ",", "job", "descriptions", ",", "duties", "and", "responsibilities", "may", "be", "modified", "from", "time", "to", "time", "in", "the", "sole", "discretion", "of", "the", "Board", "."]}
{"id": "10190", "text": "a. a change in the ownership of the capital stock of the Company whereby a corporation, person, or group acting in concert (hereinafter this Agreement shall collectively refer, to any combination of these three (a corporation, person or group acting in concert) as a Person as described in Section1 4(d)(2)of the Securities Exchange Act of 1934 , as amended (the Exchange Act ), acquires, directly or indirectly, beneficial ownership (within the meaning of RuleI 3d-3 promulgated under the Exchange Act ) of a number of shares of the Bank or the Company which constitutes fifty percent ( 50% ) or more of the combined voting power of the Banks or the Companys the outstanding capital stock then entitled to vote generally in the election of directors;", "ner": [[66, 70, "Act"], [93, 94, "Regulation"], [117, 118, "Percentage"]], "tokenized_text": ["a", ".", "a", "change", "in", "the", "ownership", "of", "the", "capital", "stock", "of", "the", "Company", "whereby", "a", "corporation", ",", "person", ",", "or", "group", "acting", "in", "concert", "(", "hereinafter", "this", "Agreement", "shall", "collectively", "refer", ",", "to", "any", "combination", "of", "these", "three", "(", "a", "corporation", ",", "person", "or", "group", "acting", "in", "concert", ")", "as", "a", "Person", "as", "described", "in", "Section1", "4", "(", "d", ")", "(", "2", ")", "of", "the", "Securities", "Exchange", "Act", "of", "1934", ",", "as", "amended", "(", "the", "Exchange", "Act", ")", ",", "acquires", ",", "directly", "or", "indirectly", ",", "beneficial", "ownership", "(", "within", "the", "meaning", "of", "RuleI", "3d-3", "promulgated", "under", "the", "Exchange", "Act", ")", "of", "a", "number", "of", "shares", "of", "the", "Bank", "or", "the", "Company", "which", "constitutes", "fifty", "percent", "(", "50", "%", ")", "or", "more", "of", "the", "combined", "voting", "power", "of", "the", "Banks", "or", "the", "Companys", "the", "outstanding", "capital", "stock", "then", "entitled", "to", "vote", "generally", "in", "the", "election", "of", "directors", ";"]}
{"id": "10193", "text": "/s/ J. Pat Parsons ---|---|---|---", "ner": [[3, 6, "Parties"]], "tokenized_text": ["/", "s", "/", "J", ".", "Pat", "Parsons", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "10194", "text": "Between CBFH,Inc. and J. Pat Parsons", "ner": [[1, 4, "Parties"], [6, 9, "Parties"]], "tokenized_text": ["Between", "CBFH", ",", "Inc", ".", "and", "J", ".", "Pat", "Parsons"]}
{"id": "10196", "text": "Five years from the date Employee signs this Agreement. Upon the completion of the first anniversary date and the completion of each anniversary date thereafter the agreement will extend for one (1)year automatically renewing for a five (5) year term, unless terminated as provided in the Employment Agreement .", "ner": [[0, 1, "TerminationDate"], [31, 35, "RenewalTerm"], [40, 44, "RenewalTerm"], [53, 54, "Title"]], "tokenized_text": ["Five", "years", "from", "the", "date", "Employee", "signs", "this", "Agreement", ".", "Upon", "the", "completion", "of", "the", "first", "anniversary", "date", "and", "the", "completion", "of", "each", "anniversary", "date", "thereafter", "the", "agreement", "will", "extend", "for", "one", "(", "1", ")", "year", "automatically", "renewing", "for", "a", "five", "(", "5", ")", "year", "term", ",", "unless", "terminated", "as", "provided", "in", "the", "Employment", "Agreement", "."]}
{"id": "10199", "text": "$100,000 per year for ten years beginning at age 65 payable to Employee, Employees designee, or his Estate. This is intended to replace the BOLI that Employee forfeited upon leaving his former employer. Employee need not remain the President and CEO to continue to participate in the deferred compensation plan, although Employee must remain employed in some capacity up to age 65 to continue to participate, provided, if Employee dies prior to age 65 while employed by the Company, his designee and/or estate shall receive the remainder of his deferred compensation.", "ner": [[0, 3, "Salary"], [45, 45, "Role"], [47, 47, "Role"]], "tokenized_text": ["$", "100", ",", "000", "per", "year", "for", "ten", "years", "beginning", "at", "age", "65", "payable", "to", "Employee", ",", "Employees", "designee", ",", "or", "his", "Estate", ".", "This", "is", "intended", "to", "replace", "the", "BOLI", "that", "Employee", "forfeited", "upon", "leaving", "his", "former", "employer", ".", "Employee", "need", "not", "remain", "the", "President", "and", "CEO", "to", "continue", "to", "participate", "in", "the", "deferred", "compensation", "plan", ",", "although", "Employee", "must", "remain", "employed", "in", "some", "capacity", "up", "to", "age", "65", "to", "continue", "to", "participate", ",", "provided", ",", "if", "Employee", "dies", "prior", "to", "age", "65", "while", "employed", "by", "the", "Company", ",", "his", "designee", "and", "/", "or", "estate", "shall", "receive", "the", "remainder", "of", "his", "deferred", "compensation", "."]}
{"id": "10202", "text": "Five years from the date Employee signs this Agreement. Upon the completion of the first anniversary date and the completion of each anniversary date thereafter the agreement will extend for one (1)year automatically renewing for a five (5) year term , unless terminated as provided in the Employment Agreement .", "ner": [[0, 1, "TerminationDate"], [31, 35, "RenewalTerm"], [40, 44, "RenewalTerm"], [53, 54, "Title"]], "tokenized_text": ["Five", "years", "from", "the", "date", "Employee", "signs", "this", "Agreement", ".", "Upon", "the", "completion", "of", "the", "first", "anniversary", "date", "and", "the", "completion", "of", "each", "anniversary", "date", "thereafter", "the", "agreement", "will", "extend", "for", "one", "(", "1", ")", "year", "automatically", "renewing", "for", "a", "five", "(", "5", ")", "year", "term", ",", "unless", "terminated", "as", "provided", "in", "the", "Employment", "Agreement", "."]}
{"id": "10204", "text": "25,000 shares with cliff vesting at five years of 100% of shares. Employee need not remain the President and CEO to continue to vest in the stock grants. Should employee die before he reaches age 65, all shares shall immediately vest and shall be transferred to his estate. Notwithstanding the foregoing, the parties agree that the Company will convey the shares to minimize tax consequences to the entire shareholder groups of the Company.", "ner": [[0, 2, "Shares"], [11, 12, "Percentage"], [21, 21, "Role"], [23, 23, "Role"]], "tokenized_text": ["25", ",", "000", "shares", "with", "cliff", "vesting", "at", "five", "years", "of", "100", "%", "of", "shares", ".", "Employee", "need", "not", "remain", "the", "President", "and", "CEO", "to", "continue", "to", "vest", "in", "the", "stock", "grants", ".", "Should", "employee", "die", "before", "he", "reaches", "age", "65", ",", "all", "shares", "shall", "immediately", "vest", "and", "shall", "be", "transferred", "to", "his", "estate", ".", "Notwithstanding", "the", "foregoing", ",", "the", "parties", "agree", "that", "the", "Company", "will", "convey", "the", "shares", "to", "minimize", "tax", "consequences", "to", "the", "entire", "shareholder", "groups", "of", "the", "Company", "."]}
{"id": "10207", "text": "WHEREAS, the Company desires to continue to employ the Executive as General Counsel and Secretary of the Company and wishes to be assured of his continued services on the terms and conditions hereinafter set forth; and", "ner": [[12, 13, "Role"]], "tokenized_text": ["WHEREAS", ",", "the", "Company", "desires", "to", "continue", "to", "employ", "the", "Executive", "as", "General", "Counsel", "and", "Secretary", "of", "the", "Company", "and", "wishes", "to", "be", "assured", "of", "his", "continued", "services", "on", "the", "terms", "and", "conditions", "hereinafter", "set", "forth", ";", "and"]}
{"id": "10208", "text": "WHEREAS, the Executive desires to continue to be employed by the Company as General Counsel and Secretary and to continue to perform and to serve the Company on the terms and conditions hereinafter set forth.", "ner": [[14, 15, "Role"]], "tokenized_text": ["WHEREAS", ",", "the", "Executive", "desires", "to", "continue", "to", "be", "employed", "by", "the", "Company", "as", "General", "Counsel", "and", "Secretary", "and", "to", "continue", "to", "perform", "and", "to", "serve", "the", "Company", "on", "the", "terms", "and", "conditions", "hereinafter", "set", "forth", "."]}
{"id": "10217", "text": "c/o AEA Investors LP", "ner": [[3, 5, "Parties"]], "tokenized_text": ["c", "/", "o", "AEA", "Investors", "LP"]}
{"id": "10218", "text": "666 Fifth Avenue, 36th FL", "ner": [[0, 5, "Address"]], "tokenized_text": ["666", "Fifth", "Avenue", ",", "36th", "FL"]}
{"id": "10222", "text": "1. In consideration of the payments and benefits to be made under the Employment Agreement, dated as of September6, 2017 (the Employment Agreement), to which Vincent Grieco (the Executive) and Evoqua Water Technologies LLC , a Delaware limited liability company (the Company) (each of the Executive and the Company, a Party and collectively, the Parties) are parties, the sufficiency of which the Executive acknowledges, the Executive, with the intention of binding himself and his heirs, executors, administrators and assigns, does hereby release, remise, acquit and forever discharge Holdings (as defined in the Employment Agreement), the Company and each of its and their subsidiaries and affiliates (the Company Affiliated Group), their present and former officers, directors, executives, shareholders, agents, attorneys, employees and employee benefit plans (and the fiduciaries thereof), and the successors, predecessors and assigns of each of the foregoing (collectively, the Company Released Parties), of and from any and all claims, actions, causes of action, complaints, charges, demands, rights, damages, debts, sums of money, accounts, financial obligations, suits, expenses, attorneys fees and liabilities of whatever kind or nature in law, equity or otherwise, whether accrued, absolute, contingent, unliquidated or otherwise and whether now known or unknown, suspected or unsuspected, which the Executive, individually or as a member of a class, now has, owns or holds, or has at any time heretofore had, owned or held, arising on or prior to the date hereof, against any Company Released Party that arises out of, or relates to, the Employment Agreement, the Executives employment with the Company or any of its subsidiaries and affiliates, or any termination of such employment, including claims (i)for severance or vacation benefits, unpaid wages, salary or incentive payments, (ii)for breach of contract, wrongful discharge, impairment of economic opportunity, defamation, intentional infliction of emotional harm or other tort, (iii)for any violation of applicable state and local labor and employment laws (including, without limitation, all laws concerning unlawful and unfair labor and employment practices) and (iv)for employment discrimination under any applicable federal, state or local statute, provision, order or regulation, and including, without limitation, any claim under Title VII of the Civil Rights Act of 1964 (Title VII), the Civil Rights Act of 1988 , the Fair Labor Standards Act, the Americans with Disabilities Act ( ADA), the Employee Retirement Income Security Act of 1974 , as amended (ERISA), the Age Discrimination in Employment Act ( ADEA), and any similar or analogous state statute, excepting only:", "ner": [[14, 15, "Title"], [20, 22, "EffectiveDate"], [31, 32, "Parties"], [38, 41, "Parties"], [456, 460, "Act"], [467, 471, "Act"], [474, 477, "Act"], [480, 483, "Act"], [489, 495, "Act"], [504, 508, "Act"]], "tokenized_text": ["1", ".", "In", "consideration", "of", "the", "payments", "and", "benefits", "to", "be", "made", "under", "the", "Employment", "Agreement", ",", "dated", "as", "of", "September6", ",", "2017", "(", "the", "Employment", "Agreement", ")", ",", "to", "which", "Vincent", "Grieco", "(", "the", "Executive", ")", "and", "Evoqua", "Water", "Technologies", "LLC", ",", "a", "Delaware", "limited", "liability", "company", "(", "the", "Company", ")", "(", "each", "of", "the", "Executive", "and", "the", "Company", ",", "a", "Party", "and", "collectively", ",", "the", "Parties", ")", "are", "parties", ",", "the", "sufficiency", "of", "which", "the", "Executive", "acknowledges", ",", "the", "Executive", ",", "with", "the", "intention", "of", "binding", "himself", "and", "his", "heirs", ",", "executors", ",", "administrators", "and", "assigns", ",", "does", "hereby", "release", ",", "remise", ",", "acquit", "and", "forever", "discharge", "Holdings", "(", "as", "defined", "in", "the", "Employment", "Agreement", ")", ",", "the", "Company", "and", "each", "of", "its", "and", "their", "subsidiaries", "and", "affiliates", "(", "the", "Company", "Affiliated", "Group", ")", ",", "their", "present", "and", "former", "officers", ",", "directors", ",", "executives", ",", "shareholders", ",", "agents", ",", "attorneys", ",", "employees", "and", "employee", "benefit", "plans", "(", "and", "the", "fiduciaries", "thereof", ")", ",", "and", "the", "successors", ",", "predecessors", "and", "assigns", "of", "each", "of", "the", "foregoing", "(", "collectively", ",", "the", "Company", "Released", "Parties", ")", ",", "of", "and", "from", "any", "and", "all", "claims", ",", "actions", ",", "causes", "of", "action", ",", "complaints", ",", "charges", ",", "demands", ",", "rights", ",", "damages", ",", "debts", ",", "sums", "of", "money", ",", "accounts", ",", "financial", "obligations", ",", "suits", ",", "expenses", ",", "attorneys", "fees", "and", "liabilities", "of", "whatever", "kind", "or", "nature", "in", "law", ",", "equity", "or", "otherwise", ",", "whether", "accrued", ",", "absolute", ",", "contingent", ",", "unliquidated", "or", "otherwise", "and", "whether", "now", "known", "or", "unknown", ",", "suspected", "or", "unsuspected", ",", "which", "the", "Executive", ",", "individually", "or", "as", "a", "member", "of", "a", "class", ",", "now", "has", ",", "owns", "or", "holds", ",", "or", "has", "at", "any", "time", "heretofore", "had", ",", "owned", "or", "held", ",", "arising", "on", "or", "prior", "to", "the", "date", "hereof", ",", "against", "any", "Company", "Released", "Party", "that", "arises", "out", "of", ",", "or", "relates", "to", ",", "the", "Employment", "Agreement", ",", "the", "Executives", "employment", "with", "the", "Company", "or", "any", "of", "its", "subsidiaries", "and", "affiliates", ",", "or", "any", "termination", "of", "such", "employment", ",", "including", "claims", "(", "i", ")", "for", "severance", "or", "vacation", "benefits", ",", "unpaid", "wages", ",", "salary", "or", "incentive", "payments", ",", "(", "ii", ")", "for", "breach", "of", "contract", ",", "wrongful", "discharge", ",", "impairment", "of", "economic", "opportunity", ",", "defamation", ",", "intentional", "infliction", "of", "emotional", "harm", "or", "other", "tort", ",", "(", "iii", ")", "for", "any", "violation", "of", "applicable", "state", "and", "local", "labor", "and", "employment", "laws", "(", "including", ",", "without", "limitation", ",", "all", "laws", "concerning", "unlawful", "and", "unfair", "labor", "and", "employment", "practices", ")", "and", "(", "iv", ")", "for", "employment", "discrimination", "under", "any", "applicable", "federal", ",", "state", "or", "local", "statute", ",", "provision", ",", "order", "or", "regulation", ",", "and", "including", ",", "without", "limitation", ",", "any", "claim", "under", "Title", "VII", "of", "the", "Civil", "Rights", "Act", "of", "1964", "(", "Title", "VII", ")", ",", "the", "Civil", "Rights", "Act", "of", "1988", ",", "the", "Fair", "Labor", "Standards", "Act", ",", "the", "Americans", "with", "Disabilities", "Act", "(", "ADA", ")", ",", "the", "Employee", "Retirement", "Income", "Security", "Act", "of", "1974", ",", "as", "amended", "(", "ERISA", ")", ",", "the", "Age", "Discrimination", "in", "Employment", "Act", "(", "ADEA", ")", ",", "and", "any", "similar", "or", "analogous", "state", "statute", ",", "excepting", "only", ":"]}
{"id": "10223", "text": "THIS EMPLOYMENT AGREEMENT (the Agreement) between Exicure, Inc. , a Delaware corporation (the Company), and David A. Giljohann , Ph.D. (the Executive) (each of the Executive and the Company, a Party, and collectively, the Parties), is entered into as of February2, 2016 \\.", "ner": [[1, 2, "Title"], [8, 11, "Parties"], [22, 30, "Parties"], [59, 61, "EffectiveDate"]], "tokenized_text": ["THIS", "EMPLOYMENT", "AGREEMENT", "(", "the", "Agreement", ")", "between", "Exicure", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "the", "Company", ")", ",", "and", "David", "A", ".", "Giljohann", ",", "Ph", ".", "D", ".", "(", "the", "Executive", ")", "(", "each", "of", "the", "Executive", "and", "the", "Company", ",", "a", "Party", ",", "and", "collectively", ",", "the", "Parties", ")", ",", "is", "entered", "into", "as", "of", "February2", ",", "2016", "\\", "."]}
{"id": "10224", "text": "WHEREAS, the Company desires to continue to employ the Executive as its President and Chief Executive Officer ;", "ner": [[13, 13, "Role"], [15, 17, "Role"]], "tokenized_text": ["WHEREAS", ",", "the", "Company", "desires", "to", "continue", "to", "employ", "the", "Executive", "as", "its", "President", "and", "Chief", "Executive", "Officer", ";"]}
{"id": "10225", "text": "WHEREAS, the Executive desires to continue to be employed by the Company as President and Chief Executive Officer and to perform his duties to the Company on the terms and conditions hereinafter set forth; and", "ner": [[14, 14, "Role"], [16, 18, "Role"]], "tokenized_text": ["WHEREAS", ",", "the", "Executive", "desires", "to", "continue", "to", "be", "employed", "by", "the", "Company", "as", "President", "and", "Chief", "Executive", "Officer", "and", "to", "perform", "his", "duties", "to", "the", "Company", "on", "the", "terms", "and", "conditions", "hereinafter", "set", "forth", ";", "and"]}
{"id": "10226", "text": "1\\. Employment. Executives employment under this Agreement shall commence on February2, 2016 (the Effective Date) and shall continue until the termination of Executives employment under this Agreement. The period from the Effective Date until the termination of Executives employment under this Agreement is referred to as the Employment Period.", "ner": [[13, 15, "TerminationDate"]], "tokenized_text": ["1", "\\", ".", "Employment", ".", "Executives", "employment", "under", "this", "Agreement", "shall", "commence", "on", "February2", ",", "2016", "(", "the", "Effective", "Date", ")", "and", "shall", "continue", "until", "the", "termination", "of", "Executives", "employment", "under", "this", "Agreement", ".", "The", "period", "from", "the", "Effective", "Date", "until", "the", "termination", "of", "Executives", "employment", "under", "this", "Agreement", "is", "referred", "to", "as", "the", "Employment", "Period", "."]}
{"id": "10228", "text": "(a) Base salary. As compensation for Executives performance of Executives duties hereunder, Executives current base salary shall remain unchanged until the closing date of the Companys initial public offering (IPO Date), upon which Executives Base salary will increase to $350,000 per year, in each case payable in accordance with the normal payroll practices of the Company, less required deductions for state and federal withholding tax, social", "ner": [[46, 49, "Salary"]], "tokenized_text": ["(", "a", ")", "Base", "salary", ".", "As", "compensation", "for", "Executives", "performance", "of", "Executives", "duties", "hereunder", ",", "Executives", "current", "base", "salary", "shall", "remain", "unchanged", "until", "the", "closing", "date", "of", "the", "Companys", "initial", "public", "offering", "(", "IPO", "Date", ")", ",", "upon", "which", "Executives", "Base", "salary", "will", "increase", "to", "$", "350", ",", "000", "per", "year", ",", "in", "each", "case", "payable", "in", "accordance", "with", "the", "normal", "payroll", "practices", "of", "the", "Company", ",", "less", "required", "deductions", "for", "state", "and", "federal", "withholding", "tax", ",", "social"]}
{"id": "10231", "text": "(iii) if the Executive timely elects to receive continued coverage under the Companys group health care plan pursuant to the Consolidated Omnibus Budget Reconciliation Act of 1985 , as amended ( COBRA ), the Company shall pay the employer portion of applicable COBRA premium payments for the Executives and, as applicable, Executives dependents, continued health coverage under such plan (as in effect or amended from time to time) (the COBRA Subsidy) until the earlier of: (1)", "ner": [[22, 28, "Act"], [33, 33, "Act"], [45, 45, "Act"], [78, 78, "Act"]], "tokenized_text": ["(", "iii", ")", "if", "the", "Executive", "timely", "elects", "to", "receive", "continued", "coverage", "under", "the", "Companys", "group", "health", "care", "plan", "pursuant", "to", "the", "Consolidated", "Omnibus", "Budget", "Reconciliation", "Act", "of", "1985", ",", "as", "amended", "(", "COBRA", ")", ",", "the", "Company", "shall", "pay", "the", "employer", "portion", "of", "applicable", "COBRA", "premium", "payments", "for", "the", "Executives", "and", ",", "as", "applicable", ",", "Executives", "dependents", ",", "continued", "health", "coverage", "under", "such", "plan", "(", "as", "in", "effect", "or", "amended", "from", "time", "to", "time", ")", "(", "the", "COBRA", "Subsidy", ")", "until", "the", "earlier", "of", ":", "(", "1", ")"]}
{"id": "10233", "text": "(ii) The consummation of a reorganization, merger or consolidation of the Company, in each case, with respect to which all or substantially all of the individuals and entities who were the respective beneficial owners of shares and voting securities of the Company immediately prior to such reorganization, merger or consolidation do not, following such reorganization, merger or consolidation, beneficially own, directly or indirectly, more than 50% of, respectively, the then outstanding shares and the combined voting power of the then outstanding voting securities entitled to vote generally in the election of directors, as the case may be, of the corporation resulting from such reorganization, merger or consolidation;", "ner": [[76, 77, "Percentage"]], "tokenized_text": ["(", "ii", ")", "The", "consummation", "of", "a", "reorganization", ",", "merger", "or", "consolidation", "of", "the", "Company", ",", "in", "each", "case", ",", "with", "respect", "to", "which", "all", "or", "substantially", "all", "of", "the", "individuals", "and", "entities", "who", "were", "the", "respective", "beneficial", "owners", "of", "shares", "and", "voting", "securities", "of", "the", "Company", "immediately", "prior", "to", "such", "reorganization", ",", "merger", "or", "consolidation", "do", "not", ",", "following", "such", "reorganization", ",", "merger", "or", "consolidation", ",", "beneficially", "own", ",", "directly", "or", "indirectly", ",", "more", "than", "50", "%", "of", ",", "respectively", ",", "the", "then", "outstanding", "shares", "and", "the", "combined", "voting", "power", "of", "the", "then", "outstanding", "voting", "securities", "entitled", "to", "vote", "generally", "in", "the", "election", "of", "directors", ",", "as", "the", "case", "may", "be", ",", "of", "the", "corporation", "resulting", "from", "such", "reorganization", ",", "merger", "or", "consolidation", ";"]}
{"id": "10235", "text": "Termination due to Disability shall mean Executives termination of employment as a result of Executive becoming incapacitated for a period of at least 180 days by accident, sickness or other circumstance that renders Executive mentally or physically incapable of performing the material duties as President and Chief Executive Officer .", "ner": [[23, 24, "TerminationDate"], [45, 45, "Role"], [47, 49, "Role"]], "tokenized_text": ["Termination", "due", "to", "Disability", "shall", "mean", "Executives", "termination", "of", "employment", "as", "a", "result", "of", "Executive", "becoming", "incapacitated", "for", "a", "period", "of", "at", "least", "180", "days", "by", "accident", ",", "sickness", "or", "other", "circumstance", "that", "renders", "Executive", "mentally", "or", "physically", "incapable", "of", "performing", "the", "material", "duties", "as", "President", "and", "Chief", "Executive", "Officer", "."]}
{"id": "10238", "text": "14\\. Code Section409A . This Agreement is intended to comply with the requirements of Section409A of the Code, and shall be interpreted and construed consistently with such intent. The payments to Executive pursuant to this Agreement are also intended to be exempt from Section409A of the Code to the maximum extent possible, under either the separation pay exemption pursuant to Treasury regulation 1.409A-1 (b)(9) (iii) or as short-term deferrals pursuant to Treasury regulation 1.409A-1 (b)(4) , and for such purposes, each payment to", "ner": [[65, 75, "Regulation"]], "tokenized_text": ["14", "\\", ".", "Code", "Section409A", ".", "This", "Agreement", "is", "intended", "to", "comply", "with", "the", "requirements", "of", "Section409A", "of", "the", "Code", ",", "and", "shall", "be", "interpreted", "and", "construed", "consistently", "with", "such", "intent", ".", "The", "payments", "to", "Executive", "pursuant", "to", "this", "Agreement", "are", "also", "intended", "to", "be", "exempt", "from", "Section409A", "of", "the", "Code", "to", "the", "maximum", "extent", "possible", ",", "under", "either", "the", "separation", "pay", "exemption", "pursuant", "to", "Treasury", "regulation", "1", ".", "409A-1", "(", "b", ")", "(", "9", ")", "(", "iii", ")", "or", "as", "short-term", "deferrals", "pursuant", "to", "Treasury", "regulation", "1", ".", "409A-1", "(", "b", ")", "(", "4", ")", ",", "and", "for", "such", "purposes", ",", "each", "payment", "to"]}
{"id": "10239", "text": "| | ---|---|--- EXICURE, INC. | By: | | /s/ Chad A. Mirkin, Ph.D. | | Name: Chad A. Mirkin, Ph.D. | | Title: Chairman of the Board of Directors DAVID A. GILJOHANN, PH.D. | By: | | /s/ David A. Giljohann , Ph.D.", "ner": [[13, 16, "Parties"], [25, 33, "Parties"], [51, 51, "Role"], [57, 65, "Parties"], [74, 82, "Parties"]], "tokenized_text": ["|", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "EXICURE", ",", "INC", ".", "|", "By", ":", "|", "|", "/", "s", "/", "Chad", "A", ".", "Mirkin", ",", "Ph", ".", "D", ".", "|", "|", "Name", ":", "Chad", "A", ".", "Mirkin", ",", "Ph", ".", "D", ".", "|", "|", "Title", ":", "Chairman", "of", "the", "Board", "of", "Directors", "DAVID", "A", ".", "GILJOHANN", ",", "PH", ".", "D", ".", "|", "By", ":", "|", "|", "/", "s", "/", "David", "A", ".", "Giljohann", ",", "Ph", ".", "D", "."]}
{"id": "10242", "text": "(b)Position and Duties. During the Term, the Executive shall serve as the Chief Executive Officer of the Company, and shall have supervision and control over and responsibility for the day-to-day business and affairs of the Company and shall have such other powers and duties as may from time to time be prescribed by the Board of Directors of the Company (the Board) or other authorized executive, provided that such duties are consistent with the Executives position or other positions that he may hold from time to time. The Executive shall devote substantially all his working time and efforts to the business and affairs of the Company. The Company will provide the Executive with indemnification protection for his role as the Chief Executive Officer to the same extent as other officers of the Company. Notwithstanding the foregoing, the Executive may serve on up to three (3)boards of directors of companies of his choice, provided the Executive will notify the Board upon joining or leaving any such board, and provided further that the Executive will not serve on more than one (1)board of directors of a publicly listed company; the Executive will have ninety (90)days after the Commencement Date to become in compliance with this sentence. The Executive may also serve on additional boards of directors, with the approval of the Board, or engage in religious, charitable or other community activities as long as such services and activities (a)are disclosed to the Board when they require a significant time commitment and (b)do not materially interfere with the Executives performance of his duties to the Company as provided in this Agreement.", "ner": [[17, 19, "Role"], [131, 133, "Role"]], "tokenized_text": ["(", "b", ")", "Position", "and", "Duties", ".", "During", "the", "Term", ",", "the", "Executive", "shall", "serve", "as", "the", "Chief", "Executive", "Officer", "of", "the", "Company", ",", "and", "shall", "have", "supervision", "and", "control", "over", "and", "responsibility", "for", "the", "day-to-day", "business", "and", "affairs", "of", "the", "Company", "and", "shall", "have", "such", "other", "powers", "and", "duties", "as", "may", "from", "time", "to", "time", "be", "prescribed", "by", "the", "Board", "of", "Directors", "of", "the", "Company", "(", "the", "Board", ")", "or", "other", "authorized", "executive", ",", "provided", "that", "such", "duties", "are", "consistent", "with", "the", "Executives", "position", "or", "other", "positions", "that", "he", "may", "hold", "from", "time", "to", "time", ".", "The", "Executive", "shall", "devote", "substantially", "all", "his", "working", "time", "and", "efforts", "to", "the", "business", "and", "affairs", "of", "the", "Company", ".", "The", "Company", "will", "provide", "the", "Executive", "with", "indemnification", "protection", "for", "his", "role", "as", "the", "Chief", "Executive", "Officer", "to", "the", "same", "extent", "as", "other", "officers", "of", "the", "Company", ".", "Notwithstanding", "the", "foregoing", ",", "the", "Executive", "may", "serve", "on", "up", "to", "three", "(", "3", ")", "boards", "of", "directors", "of", "companies", "of", "his", "choice", ",", "provided", "the", "Executive", "will", "notify", "the", "Board", "upon", "joining", "or", "leaving", "any", "such", "board", ",", "and", "provided", "further", "that", "the", "Executive", "will", "not", "serve", "on", "more", "than", "one", "(", "1", ")", "board", "of", "directors", "of", "a", "publicly", "listed", "company", ";", "the", "Executive", "will", "have", "ninety", "(", "90", ")", "days", "after", "the", "Commencement", "Date", "to", "become", "in", "compliance", "with", "this", "sentence", ".", "The", "Executive", "may", "also", "serve", "on", "additional", "boards", "of", "directors", ",", "with", "the", "approval", "of", "the", "Board", ",", "or", "engage", "in", "religious", ",", "charitable", "or", "other", "community", "activities", "as", "long", "as", "such", "services", "and", "activities", "(", "a", ")", "are", "disclosed", "to", "the", "Board", "when", "they", "require", "a", "significant", "time", "commitment", "and", "(", "b", ")", "do", "not", "materially", "interfere", "with", "the", "Executives", "performance", "of", "his", "duties", "to", "the", "Company", "as", "provided", "in", "this", "Agreement", "."]}
{"id": "10245", "text": "(c)Stock Options. Subject to final approval by the Board, on or after the Commencement Date, the Company shall grant the Executive an option to purchase a number of shares of the Companys common stock at the shares then fair market value (FMV) which equals two percent ( 2.0% ) of the Companys shares then outstanding on a fully-diluted basis, including for such purposes (i)the exercise of all vested options and warrants and the conversion of all convertible securities, and (ii)the amount of such grant (the Initial Time Based Equity Award). To the extent permitted by the tax laws, the Initial Time Based Equity Award shall be granted in the form of an incentive stock option meeting the requirements of Section422 of the Code except to the extent that the Executive directs that the option be granted in whole or in part in the form of a non-qualified stock option. To induce the Executive to become an employee of the Company, the Executive hereby agrees that, to the extent any of the Initial Time Based Equity Award is required (or elected by the Executive) to be a non-qualified stock option, then such non-qualified stock option may be granted to Executive as an as inducement grant consistent with the requirements of NASDAQ Stock Market Rule 5635(c)(4) instead of pursuant to the Companys existing stock plan. The Initial Time Based Equity Award shall be subject to the terms of and contingent upon Executives execution of a stock option award agreement(s) issued pursuant to the Companys stock plan or otherwise to the extent issued as an inducement grant, including with respect to vesting and exercisability. The Initial Time Based Equity Award shall be subject to time-based vesting for a four-year period starting on the Commencement Date, with 25% of the Initial Time Based Equity Award vesting on the one-year anniversary of the Commencement Date, and then 2.0833% of the Initial Time Based Equity Award vesting on the first day of each month after the one (1)year anniversary of the Commencement Date. : For clarity, any agreement evidencing an equity award by the Company to the Executive will be consistent with, and subject to, the terms of this Agreement.", "ner": [[55, 58, "Percentage"], [238, 245, "Regulation"], [335, 336, "Percentage"], [347, 348, "TerminationDate"], [356, 359, "Percentage"], [377, 382, "TerminationDate"]], "tokenized_text": ["(", "c", ")", "Stock", "Options", ".", "Subject", "to", "final", "approval", "by", "the", "Board", ",", "on", "or", "after", "the", "Commencement", "Date", ",", "the", "Company", "shall", "grant", "the", "Executive", "an", "option", "to", "purchase", "a", "number", "of", "shares", "of", "the", "Companys", "common", "stock", "at", "the", "shares", "then", "fair", "market", "value", "(", "FMV", ")", "which", "equals", "two", "percent", "(", "2", ".", "0", "%", ")", "of", "the", "Companys", "shares", "then", "outstanding", "on", "a", "fully-diluted", "basis", ",", "including", "for", "such", "purposes", "(", "i", ")", "the", "exercise", "of", "all", "vested", "options", "and", "warrants", "and", "the", "conversion", "of", "all", "convertible", "securities", ",", "and", "(", "ii", ")", "the", "amount", "of", "such", "grant", "(", "the", "Initial", "Time", "Based", "Equity", "Award", ")", ".", "To", "the", "extent", "permitted", "by", "the", "tax", "laws", ",", "the", "Initial", "Time", "Based", "Equity", "Award", "shall", "be", "granted", "in", "the", "form", "of", "an", "incentive", "stock", "option", "meeting", "the", "requirements", "of", "Section422", "of", "the", "Code", "except", "to", "the", "extent", "that", "the", "Executive", "directs", "that", "the", "option", "be", "granted", "in", "whole", "or", "in", "part", "in", "the", "form", "of", "a", "non-qualified", "stock", "option", ".", "To", "induce", "the", "Executive", "to", "become", "an", "employee", "of", "the", "Company", ",", "the", "Executive", "hereby", "agrees", "that", ",", "to", "the", "extent", "any", "of", "the", "Initial", "Time", "Based", "Equity", "Award", "is", "required", "(", "or", "elected", "by", "the", "Executive", ")", "to", "be", "a", "non-qualified", "stock", "option", ",", "then", "such", "non-qualified", "stock", "option", "may", "be", "granted", "to", "Executive", "as", "an", "as", "inducement", "grant", "consistent", "with", "the", "requirements", "of", "NASDAQ", "Stock", "Market", "Rule", "5635", "(", "c", ")", "(", "4", ")", "instead", "of", "pursuant", "to", "the", "Companys", "existing", "stock", "plan", ".", "The", "Initial", "Time", "Based", "Equity", "Award", "shall", "be", "subject", "to", "the", "terms", "of", "and", "contingent", "upon", "Executives", "execution", "of", "a", "stock", "option", "award", "agreement", "(", "s", ")", "issued", "pursuant", "to", "the", "Companys", "stock", "plan", "or", "otherwise", "to", "the", "extent", "issued", "as", "an", "inducement", "grant", ",", "including", "with", "respect", "to", "vesting", "and", "exercisability", ".", "The", "Initial", "Time", "Based", "Equity", "Award", "shall", "be", "subject", "to", "time-based", "vesting", "for", "a", "four-year", "period", "starting", "on", "the", "Commencement", "Date", ",", "with", "25", "%", "of", "the", "Initial", "Time", "Based", "Equity", "Award", "vesting", "on", "the", "one-year", "anniversary", "of", "the", "Commencement", "Date", ",", "and", "then", "2", ".", "0833", "%", "of", "the", "Initial", "Time", "Based", "Equity", "Award", "vesting", "on", "the", "first", "day", "of", "each", "month", "after", "the", "one", "(", "1", ")", "year", "anniversary", "of", "the", "Commencement", "Date", ".", ":", "For", "clarity", ",", "any", "agreement", "evidencing", "an", "equity", "award", "by", "the", "Company", "to", "the", "Executive", "will", "be", "consistent", "with", ",", "and", "subject", "to", ",", "the", "terms", "of", "this", "Agreement", "."]}
{"id": "10249", "text": "(ii)if the Executive was participating in the Companys group health plan immediately prior to the Date of Termination and elects COBRA health", "ner": [[23, 23, "Act"]], "tokenized_text": ["(", "ii", ")", "if", "the", "Executive", "was", "participating", "in", "the", "Companys", "group", "health", "plan", "immediately", "prior", "to", "the", "Date", "of", "Termination", "and", "elects", "COBRA", "health"]}
{"id": "10252", "text": "(i)any person, as such term is used in Sections 13(d) and 14(d) of the Securities Exchange Act of 1934 , as amended (the Act) ( other than the Company, any of its subsidiaries, or any trustee, fiduciary or other person or entity holding securities under any employee benefit plan or trust of the Company or any of its subsidiaries), together with all affiliates and associates (as such terms are defined in Rule 12b-2 under the Act) of such person, shall become the beneficial owner (as such term is defined in Rule 13d-3 under the Act), directly or indirectly, of securities of the Company representing 50percent or more of the combined voting power of the Companys then outstanding securities having the right to vote in an election of the Board (Voting Securities) (in such case other than as a result of an acquisition of securities directly from the Company); or", "ner": [[24, 28, "Act"], [89, 90, "Regulation"], [111, 112, "Regulation"], [128, 128, "Percentage"]], "tokenized_text": ["(", "i", ")", "any", "person", ",", "as", "such", "term", "is", "used", "in", "Sections", "13", "(", "d", ")", "and", "14", "(", "d", ")", "of", "the", "Securities", "Exchange", "Act", "of", "1934", ",", "as", "amended", "(", "the", "Act", ")", "(", "other", "than", "the", "Company", ",", "any", "of", "its", "subsidiaries", ",", "or", "any", "trustee", ",", "fiduciary", "or", "other", "person", "or", "entity", "holding", "securities", "under", "any", "employee", "benefit", "plan", "or", "trust", "of", "the", "Company", "or", "any", "of", "its", "subsidiaries", ")", ",", "together", "with", "all", "affiliates", "and", "associates", "(", "as", "such", "terms", "are", "defined", "in", "Rule", "12b-2", "under", "the", "Act", ")", "of", "such", "person", ",", "shall", "become", "the", "beneficial", "owner", "(", "as", "such", "term", "is", "defined", "in", "Rule", "13d-3", "under", "the", "Act", ")", ",", "directly", "or", "indirectly", ",", "of", "securities", "of", "the", "Company", "representing", "50percent", "or", "more", "of", "the", "combined", "voting", "power", "of", "the", "Companys", "then", "outstanding", "securities", "having", "the", "right", "to", "vote", "in", "an", "election", "of", "the", "Board", "(", "Voting", "Securities", ")", "(", "in", "such", "case", "other", "than", "as", "a", "result", "of", "an", "acquisition", "of", "securities", "directly", "from", "the", "Company", ")", ";", "or"]}
{"id": "10253", "text": "(iii)the consummation of (A)any consolidation or merger of the Company where the stockholders of the Company, immediately prior to the consolidation or merger, would not, immediately after the consolidation or merger, beneficially own (as such term is defined in Rule 13d-3 under the Act), directly or indirectly, shares representing in the aggregate more than 50percent of the voting shares of the Company issuing cash or securities in the consolidation or merger (or of its ultimate parent corporation, if any), or (B)any sale or other transfer (in one transaction or a series of transactions contemplated or arranged by any party as a single plan) of all or substantially all of the assets of the Company.", "ner": [[50, 51, "Regulation"], [68, 68, "Percentage"]], "tokenized_text": ["(", "iii", ")", "the", "consummation", "of", "(", "A", ")", "any", "consolidation", "or", "merger", "of", "the", "Company", "where", "the", "stockholders", "of", "the", "Company", ",", "immediately", "prior", "to", "the", "consolidation", "or", "merger", ",", "would", "not", ",", "immediately", "after", "the", "consolidation", "or", "merger", ",", "beneficially", "own", "(", "as", "such", "term", "is", "defined", "in", "Rule", "13d-3", "under", "the", "Act", ")", ",", "directly", "or", "indirectly", ",", "shares", "representing", "in", "the", "aggregate", "more", "than", "50percent", "of", "the", "voting", "shares", "of", "the", "Company", "issuing", "cash", "or", "securities", "in", "the", "consolidation", "or", "merger", "(", "or", "of", "its", "ultimate", "parent", "corporation", ",", "if", "any", ")", ",", "or", "(", "B", ")", "any", "sale", "or", "other", "transfer", "(", "in", "one", "transaction", "or", "a", "series", "of", "transactions", "contemplated", "or", "arranged", "by", "any", "party", "as", "a", "single", "plan", ")", "of", "all", "or", "substantially", "all", "of", "the", "assets", "of", "the", "Company", "."]}
{"id": "10254", "text": "9.Consent to jurisdiction. To the extent that any court action is permitted consistent with or to enforce Section8, the parties hereby consent to the jurisdiction of the Superior Court of The Commonwealth of Massachusetts and the United States District Court for the District of Massachusetts. Accordingly, with respect to any such court action, the Executive (a)submits to the personal jurisdiction of such courts; (b)consents to service of process; and (c)waives any other requirement (whether imposed by statute, rule of court, or otherwise) with respect to personal jurisdiction or service of process.", "ner": [[31, 37, "Court"], [40, 48, "Court"]], "tokenized_text": ["9", ".", "Consent", "to", "jurisdiction", ".", "To", "the", "extent", "that", "any", "court", "action", "is", "permitted", "consistent", "with", "or", "to", "enforce", "Section8", ",", "the", "parties", "hereby", "consent", "to", "the", "jurisdiction", "of", "the", "Superior", "Court", "of", "The", "Commonwealth", "of", "Massachusetts", "and", "the", "United", "States", "District", "Court", "for", "the", "District", "of", "Massachusetts", ".", "Accordingly", ",", "with", "respect", "to", "any", "such", "court", "action", ",", "the", "Executive", "(", "a", ")", "submits", "to", "the", "personal", "jurisdiction", "of", "such", "courts", ";", "(", "b", ")", "consents", "to", "service", "of", "process", ";", "and", "(", "c", ")", "waives", "any", "other", "requirement", "(", "whether", "imposed", "by", "statute", ",", "rule", "of", "court", ",", "or", "otherwise", ")", "with", "respect", "to", "personal", "jurisdiction", "or", "service", "of", "process", "."]}
{"id": "10256", "text": "| | | | ---|---|---|---|--- | | AERPIO PHARMACEUTICALS, INC. | | | | By: | |", "ner": [[25, 29, "Parties"]], "tokenized_text": ["|", "|", "|", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "|", "AERPIO", "PHARMACEUTICALS", ",", "INC", ".", "|", "|", "|", "|", "By", ":", "|", "|"]}
{"id": "10257", "text": "/s/ Stephen Hoffman | | Stephen Hoffman", "ner": [[3, 4, "Parties"]], "tokenized_text": ["/", "s", "/", "Stephen", "Hoffman", "|", "|", "Stephen", "Hoffman"]}
{"id": "10259", "text": "This Employment Agreement (Agreement) is made and entered into as of October 18, 2017 (the Effective Date), by and between MidWestOne Financial Group, Inc. (the Company) and Katie Lorenson (Executive, and together with the Company, the Parties).", "ner": [[1, 2, "Title"], [13, 16, "EffectiveDate"], [26, 31, "Parties"], [37, 38, "Parties"]], "tokenized_text": ["This", "Employment", "Agreement", "(", "Agreement", ")", "is", "made", "and", "entered", "into", "as", "of", "October", "18", ",", "2017", "(", "the", "Effective", "Date", ")", ",", "by", "and", "between", "MidWestOne", "Financial", "Group", ",", "Inc", ".", "(", "the", "Company", ")", "and", "Katie", "Lorenson", "(", "Executive", ",", "and", "together", "with", "the", "Company", ",", "the", "Parties", ")", "."]}
{"id": "10260", "text": "A.Executive is currently employed by the Company, pursuant to the terms of that certain employment agreement dated February 1, 2016 (the Prior Employment Agreement ) by and between Executive and the Company.", "ner": [[20, 23, "EffectiveDate"], [26, 28, "Title"]], "tokenized_text": ["A", ".", "Executive", "is", "currently", "employed", "by", "the", "Company", ",", "pursuant", "to", "the", "terms", "of", "that", "certain", "employment", "agreement", "dated", "February", "1", ",", "2016", "(", "the", "Prior", "Employment", "Agreement", ")", "by", "and", "between", "Executive", "and", "the", "Company", "."]}
{"id": "10262", "text": "2. Duties. During the Employment Period, Executive shall devote Executives full business time, energies and talents to serving as Senior Vice President and Chief Financial Officer of the Company, at the direction of the Companys President and Chief Executive Officer (the CEO ). Executive shall have such duties and responsibilities as may be assigned to Executive from time to time by the CEO , which duties and responsibilities shall be commensurate with Executives position, shall perform all duties assigned to Executive faithfully and efficiently, subject to the direction of the CEO and shall have such authorities and powers as are inherent to the undertakings applicable to Executives position and necessary to carry out the", "ner": [[23, 25, "Role"], [27, 29, "Role"], [42, 44, "Role"], [47, 47, "Role"], [69, 69, "Role"], [99, 99, "Role"]], "tokenized_text": ["2", ".", "Duties", ".", "During", "the", "Employment", "Period", ",", "Executive", "shall", "devote", "Executives", "full", "business", "time", ",", "energies", "and", "talents", "to", "serving", "as", "Senior", "Vice", "President", "and", "Chief", "Financial", "Officer", "of", "the", "Company", ",", "at", "the", "direction", "of", "the", "Companys", "President", "and", "Chief", "Executive", "Officer", "(", "the", "CEO", ")", ".", "Executive", "shall", "have", "such", "duties", "and", "responsibilities", "as", "may", "be", "assigned", "to", "Executive", "from", "time", "to", "time", "by", "the", "CEO", ",", "which", "duties", "and", "responsibilities", "shall", "be", "commensurate", "with", "Executives", "position", ",", "shall", "perform", "all", "duties", "assigned", "to", "Executive", "faithfully", "and", "efficiently", ",", "subject", "to", "the", "direction", "of", "the", "CEO", "and", "shall", "have", "such", "authorities", "and", "powers", "as", "are", "inherent", "to", "the", "undertakings", "applicable", "to", "Executives", "position", "and", "necessary", "to", "carry", "out", "the"]}
{"id": "10263", "text": "responsibilities and duties required of Executive hereunder. Executive shall perform the duties required by this Agreement at the Companys primary location in Golden Valley, Minnesota unless the nature of such duties requires otherwise; provided, however, that Executive shall be required to be present at the Companys headquarters in Iowa City, Iowa at such times as Executive, in her reasonable discretion, determines is necessary or advisable to faithfully and efficiently discharge the duties of her employment hereunder. Notwithstanding the foregoing provisions of this Section 2, during the Employment Period, Executive may devote reasonable time to activities other than those required under this Agreement, including activities of a charitable, educational, religious or similar nature (including professional associations) to the extent such activities do not, in the reasonable judgment of the CEO , inhibit, prohibit, interfere with or conflict with Executives duties under this Agreement or conflict in any material way with the business of the Company or an Affiliate; provided, however, that Executive shall not serve on the board of directors of any business (other than the Company or an Affiliate) or hold any other position with any business without receiving the prior written consent of the CEO .", "ner": [[23, 26, "Address"], [53, 56, "Address"], [145, 145, "Role"], [219, 219, "Role"]], "tokenized_text": ["responsibilities", "and", "duties", "required", "of", "Executive", "hereunder", ".", "Executive", "shall", "perform", "the", "duties", "required", "by", "this", "Agreement", "at", "the", "Companys", "primary", "location", "in", "Golden", "Valley", ",", "Minnesota", "unless", "the", "nature", "of", "such", "duties", "requires", "otherwise", ";", "provided", ",", "however", ",", "that", "Executive", "shall", "be", "required", "to", "be", "present", "at", "the", "Companys", "headquarters", "in", "Iowa", "City", ",", "Iowa", "at", "such", "times", "as", "Executive", ",", "in", "her", "reasonable", "discretion", ",", "determines", "is", "necessary", "or", "advisable", "to", "faithfully", "and", "efficiently", "discharge", "the", "duties", "of", "her", "employment", "hereunder", ".", "Notwithstanding", "the", "foregoing", "provisions", "of", "this", "Section", "2", ",", "during", "the", "Employment", "Period", ",", "Executive", "may", "devote", "reasonable", "time", "to", "activities", "other", "than", "those", "required", "under", "this", "Agreement", ",", "including", "activities", "of", "a", "charitable", ",", "educational", ",", "religious", "or", "similar", "nature", "(", "including", "professional", "associations", ")", "to", "the", "extent", "such", "activities", "do", "not", ",", "in", "the", "reasonable", "judgment", "of", "the", "CEO", ",", "inhibit", ",", "prohibit", ",", "interfere", "with", "or", "conflict", "with", "Executives", "duties", "under", "this", "Agreement", "or", "conflict", "in", "any", "material", "way", "with", "the", "business", "of", "the", "Company", "or", "an", "Affiliate", ";", "provided", ",", "however", ",", "that", "Executive", "shall", "not", "serve", "on", "the", "board", "of", "directors", "of", "any", "business", "(", "other", "than", "the", "Company", "or", "an", "Affiliate", ")", "or", "hold", "any", "other", "position", "with", "any", "business", "without", "receiving", "the", "prior", "written", "consent", "of", "the", "CEO", "."]}
{"id": "10264", "text": "(a) Executive shall be compensated at an annual rate of two hundred fifteen thousand dollars ( $215,000.00 ) (the Annual Base salary), which shall be payable in accordance with the normal payroll practices of the Company then in effect. Beginning on January 1, 2018 and on each anniversary of such date, Executives Annual Base salary shall be reviewed, and may be adjusted, by the Companys Board of Directors.", "ner": [[18, 23, "Salary"], [52, 55, "EffectiveDate"]], "tokenized_text": ["(", "a", ")", "Executive", "shall", "be", "compensated", "at", "an", "annual", "rate", "of", "two", "hundred", "fifteen", "thousand", "dollars", "(", "$", "215", ",", "000", ".", "00", ")", "(", "the", "Annual", "Base", "salary", ")", ",", "which", "shall", "be", "payable", "in", "accordance", "with", "the", "normal", "payroll", "practices", "of", "the", "Company", "then", "in", "effect", ".", "Beginning", "on", "January", "1", ",", "2018", "and", "on", "each", "anniversary", "of", "such", "date", ",", "Executives", "Annual", "Base", "salary", "shall", "be", "reviewed", ",", "and", "may", "be", "adjusted", ",", "by", "the", "Companys", "Board", "of", "Directors", "."]}
{"id": "10265", "text": "(b) Executive shall be eligible to receive performance-based annual incentive bonuses (each, the Incentive Bonus) from the Company for each fiscal year ending during the Employment Period. Any such Incentive Bonus shall be paid to Executive within thirty (30) days of the completion of the respective fiscal year audit by the Companys auditor, but in no event later than two and one- half (2) months after the close of each such fiscal year. Executives annual Incentive Bonus opportunity shall be equal to thirty-three and one-third percent ( 33-1/3% ) of her Annual Base salary ; provided, however, that this amount may be reduced in an amount that will not give rise to a Good Reason under this Agreement.", "ner": [[70, 72, "Ratio"], [100, 103, "Percentage"]], "tokenized_text": ["(", "b", ")", "Executive", "shall", "be", "eligible", "to", "receive", "performance-based", "annual", "incentive", "bonuses", "(", "each", ",", "the", "Incentive", "Bonus", ")", "from", "the", "Company", "for", "each", "fiscal", "year", "ending", "during", "the", "Employment", "Period", ".", "Any", "such", "Incentive", "Bonus", "shall", "be", "paid", "to", "Executive", "within", "thirty", "(", "30", ")", "days", "of", "the", "completion", "of", "the", "respective", "fiscal", "year", "audit", "by", "the", "Companys", "auditor", ",", "but", "in", "no", "event", "later", "than", "two", "and", "one", "-", "half", "(", "2", ")", "months", "after", "the", "close", "of", "each", "such", "fiscal", "year", ".", "Executives", "annual", "Incentive", "Bonus", "opportunity", "shall", "be", "equal", "to", "thirty-three", "and", "one-third", "percent", "(", "33-1", "/", "3", "%", ")", "of", "her", "Annual", "Base", "salary", ";", "provided", ",", "however", ",", "that", "this", "amount", "may", "be", "reduced", "in", "an", "amount", "that", "will", "not", "give", "rise", "to", "a", "Good", "Reason", "under", "this", "Agreement", "."]}
{"id": "10266", "text": "(ii) To the extent any portion of the Severance Amount exceeds the safe harbor amount described in Treasury Regulation 1.409A-1(b)(9) (iii)(A), Executive shall receive such portion of the Severance Amount that exceeds the safe harbor amount in a single lump sum payment payable on the first Company payroll date that occurs on or following the sixtieth (60th) day following the termination date.", "ner": [[19, 23, "Regulation"]], "tokenized_text": ["(", "ii", ")", "To", "the", "extent", "any", "portion", "of", "the", "Severance", "Amount", "exceeds", "the", "safe", "harbor", "amount", "described", "in", "Treasury", "Regulation", "1", ".", "409A-1", "(", "b", ")", "(", "9", ")", "(", "iii", ")", "(", "A", ")", ",", "Executive", "shall", "receive", "such", "portion", "of", "the", "Severance", "Amount", "that", "exceeds", "the", "safe", "harbor", "amount", "in", "a", "single", "lump", "sum", "payment", "payable", "on", "the", "first", "Company", "payroll", "date", "that", "occurs", "on", "or", "following", "the", "sixtieth", "(", "60th", ")", "day", "following", "the", "termination", "date", "."]}
{"id": "10268", "text": "(ii) Executive shall not be held criminally or civilly liable under any federal or state trade secret law for the disclosure of a trade secret that (A) is made (1) in confidence to a federal, state, or local government official, either directly or indirectly, or to an attorney, and (2) solely for the purpose of reporting or investigating a suspected violation of law; or (B) is made in a complaint or other document filed in a lawsuit or other proceeding, if such filing is made under seal. Accordingly, Executive has the right to disclose in confidence trade secrets to federal, state, and local government officials, or to an attorney, for the sole purpose of reporting or investigating a suspected violation of law. Executive also has the right to disclose trade secrets in a document filed in a lawsuit or other proceeding, but only if the filing is made under seal and protected from public disclosure. Nothing in this Agreement is intended to conflict with 18 U.S.C. 1833 (b) or create liability for disclosures of trade secrets that are expressly allowed by 18 U.S.C. 1833 (b). Nothing in this Agreement shall be construed to authorize, or limit liability for, an act that is otherwise prohibited by law, such as the unlawful access of material by unauthorized means.", "ner": [[190, 197, "Regulation"]], "tokenized_text": ["(", "ii", ")", "Executive", "shall", "not", "be", "held", "criminally", "or", "civilly", "liable", "under", "any", "federal", "or", "state", "trade", "secret", "law", "for", "the", "disclosure", "of", "a", "trade", "secret", "that", "(", "A", ")", "is", "made", "(", "1", ")", "in", "confidence", "to", "a", "federal", ",", "state", ",", "or", "local", "government", "official", ",", "either", "directly", "or", "indirectly", ",", "or", "to", "an", "attorney", ",", "and", "(", "2", ")", "solely", "for", "the", "purpose", "of", "reporting", "or", "investigating", "a", "suspected", "violation", "of", "law", ";", "or", "(", "B", ")", "is", "made", "in", "a", "complaint", "or", "other", "document", "filed", "in", "a", "lawsuit", "or", "other", "proceeding", ",", "if", "such", "filing", "is", "made", "under", "seal", ".", "Accordingly", ",", "Executive", "has", "the", "right", "to", "disclose", "in", "confidence", "trade", "secrets", "to", "federal", ",", "state", ",", "and", "local", "government", "officials", ",", "or", "to", "an", "attorney", ",", "for", "the", "sole", "purpose", "of", "reporting", "or", "investigating", "a", "suspected", "violation", "of", "law", ".", "Executive", "also", "has", "the", "right", "to", "disclose", "trade", "secrets", "in", "a", "document", "filed", "in", "a", "lawsuit", "or", "other", "proceeding", ",", "but", "only", "if", "the", "filing", "is", "made", "under", "seal", "and", "protected", "from", "public", "disclosure", ".", "Nothing", "in", "this", "Agreement", "is", "intended", "to", "conflict", "with", "18", "U", ".", "S", ".", "C", ".", "1833", "(", "b", ")", "or", "create", "liability", "for", "disclosures", "of", "trade", "secrets", "that", "are", "expressly", "allowed", "by", "18", "U", ".", "S", ".", "C", ".", "1833", "(", "b", ")", ".", "Nothing", "in", "this", "Agreement", "shall", "be", "construed", "to", "authorize", ",", "or", "limit", "liability", "for", ",", "an", "act", "that", "is", "otherwise", "prohibited", "by", "law", ",", "such", "as", "the", "unlawful", "access", "of", "material", "by", "unauthorized", "means", "."]}
{"id": "10269", "text": "(i) Engage or invest in, own, manage, operate, finance, control, participate in the ownership, management, operation or control of, be employed by, associated with or in any manner connected with, serve as a director, officer or consultant to, lend Executives name or any similar name to, lend Executives credit to or render services or advice to, in each case in the capacity that Executive provided services to the Company or any Affiliate, any person, firm, partnership, corporation or trust that owns, operates or is in the process of forming a Financial Institution with an office located, or to be located at an address identified in a filing with any regulatory authority, within the Restrictive Area; provided, however, that the ownership by Executive of shares of the capital stock of any Financial Institution, which shares are listed on a securities exchange or quoted on the National Association of Securities Dealers Automated Quotation System and which do not represent more than five (5) percent ( 5% ) of the institutions outstanding capital stock, shall not violate any terms of this Agreement;", "ner": [[187, 195, "Percentage"]], "tokenized_text": ["(", "i", ")", "Engage", "or", "invest", "in", ",", "own", ",", "manage", ",", "operate", ",", "finance", ",", "control", ",", "participate", "in", "the", "ownership", ",", "management", ",", "operation", "or", "control", "of", ",", "be", "employed", "by", ",", "associated", "with", "or", "in", "any", "manner", "connected", "with", ",", "serve", "as", "a", "director", ",", "officer", "or", "consultant", "to", ",", "lend", "Executives", "name", "or", "any", "similar", "name", "to", ",", "lend", "Executives", "credit", "to", "or", "render", "services", "or", "advice", "to", ",", "in", "each", "case", "in", "the", "capacity", "that", "Executive", "provided", "services", "to", "the", "Company", "or", "any", "Affiliate", ",", "any", "person", ",", "firm", ",", "partnership", ",", "corporation", "or", "trust", "that", "owns", ",", "operates", "or", "is", "in", "the", "process", "of", "forming", "a", "Financial", "Institution", "with", "an", "office", "located", ",", "or", "to", "be", "located", "at", "an", "address", "identified", "in", "a", "filing", "with", "any", "regulatory", "authority", ",", "within", "the", "Restrictive", "Area", ";", "provided", ",", "however", ",", "that", "the", "ownership", "by", "Executive", "of", "shares", "of", "the", "capital", "stock", "of", "any", "Financial", "Institution", ",", "which", "shares", "are", "listed", "on", "a", "securities", "exchange", "or", "quoted", "on", "the", "National", "Association", "of", "Securities", "Dealers", "Automated", "Quotation", "System", "and", "which", "do", "not", "represent", "more", "than", "five", "(", "5", ")", "percent", "(", "5", "%", ")", "of", "the", "institutions", "outstanding", "capital", "stock", ",", "shall", "not", "violate", "any", "terms", "of", "this", "Agreement", ";"]}
{"id": "10270", "text": "MidWestOne Financial Group, Inc.", "ner": [[0, 5, "Parties"]], "tokenized_text": ["MidWestOne", "Financial", "Group", ",", "Inc", "."]}
{"id": "10272", "text": "102 South Clinton Street", "ner": [[0, 3, "Address"]], "tokenized_text": ["102", "South", "Clinton", "Street"]}
{"id": "10274", "text": "10. Applicable Law. All questions concerning the construction, validity and interpretation of this Agreement and the performance of the obligations imposed by this Agreement shall be governed by the internal laws of the State of Minnesota applicable to agreements made and wholly to be performed in such state without regard to conflicts of law provisions of any jurisdiction, and any court action commenced to enforce this Agreement shall have as its sole and exclusive venue the County of Hennepin, Minnesota.", "ner": [[36, 38, "Court"], [80, 84, "Court"]], "tokenized_text": ["10", ".", "Applicable", "Law", ".", "All", "questions", "concerning", "the", "construction", ",", "validity", "and", "interpretation", "of", "this", "Agreement", "and", "the", "performance", "of", "the", "obligations", "imposed", "by", "this", "Agreement", "shall", "be", "governed", "by", "the", "internal", "laws", "of", "the", "State", "of", "Minnesota", "applicable", "to", "agreements", "made", "and", "wholly", "to", "be", "performed", "in", "such", "state", "without", "regard", "to", "conflicts", "of", "law", "provisions", "of", "any", "jurisdiction", ",", "and", "any", "court", "action", "commenced", "to", "enforce", "this", "Agreement", "shall", "have", "as", "its", "sole", "and", "exclusive", "venue", "the", "County", "of", "Hennepin", ",", "Minnesota", "."]}
{"id": "10277", "text": "(a) 1934 Act means the Securities Exchange Act of 1934 .", "ner": [[7, 11, "Act"]], "tokenized_text": ["(", "a", ")", "1934", "Act", "means", "the", "Securities", "Exchange", "Act", "of", "1934", "."]}
{"id": "10280", "text": "Notwithstanding any provision in this definition to the contrary, a Change in Control shall not be deemed to occur solely because fifty percent ( 50% ) or more of the combined voting power of the then outstanding securities of the Company are acquired by (A) a trustee or other fiduciary holding securities under one (1) or more employee benefit plans maintained for employees of the Company or an Affiliate or (B) any corporation that, immediately prior to such acquisition, is owned directly or indirectly by the shareholders in the same proportion as their ownership of stock immediately prior to such acquisition.", "ner": [[25, 26, "Percentage"]], "tokenized_text": ["Notwithstanding", "any", "provision", "in", "this", "definition", "to", "the", "contrary", ",", "a", "Change", "in", "Control", "shall", "not", "be", "deemed", "to", "occur", "solely", "because", "fifty", "percent", "(", "50", "%", ")", "or", "more", "of", "the", "combined", "voting", "power", "of", "the", "then", "outstanding", "securities", "of", "the", "Company", "are", "acquired", "by", "(", "A", ")", "a", "trustee", "or", "other", "fiduciary", "holding", "securities", "under", "one", "(", "1", ")", "or", "more", "employee", "benefit", "plans", "maintained", "for", "employees", "of", "the", "Company", "or", "an", "Affiliate", "or", "(", "B", ")", "any", "corporation", "that", ",", "immediately", "prior", "to", "such", "acquisition", ",", "is", "owned", "directly", "or", "indirectly", "by", "the", "shareholders", "in", "the", "same", "proportion", "as", "their", "ownership", "of", "stock", "immediately", "prior", "to", "such", "acquisition", "."]}
{"id": "10282", "text": "(i) Code means the I nternal Revenue Code of 1986 .", "ner": [[6, 9, "Act"]], "tokenized_text": ["(", "i", ")", "Code", "means", "the", "I", "nternal", "Revenue", "Code", "of", "1986", "."]}
{"id": "10284", "text": "IN WITNESS WHEREOF, the Parties have executed this Agreement as of the Effective Date. --- | | | | MIDWESTONE FINANCIAL GROUP, INC.", "ner": [], "tokenized_text": ["IN", "WITNESS", "WHEREOF", ",", "the", "Parties", "have", "executed", "this", "Agreement", "as", "of", "the", "Effective", "Date", ".", "-", "-", "-", "|", "|", "|", "|", "MIDWESTONE", "FINANCIAL", "GROUP", ",", "INC", "."]}
{"id": "10287", "text": "B. Executive and the Company are parties to that certain Employment Agreement , made and entered into [_______________], as amended (the Employment Agreement ).", "ner": [[11, 12, "Title"]], "tokenized_text": ["B", ".", "Executive", "and", "the", "Company", "are", "parties", "to", "that", "certain", "Employment", "Agreement", ",", "made", "and", "entered", "into", "[", "_______________", "]", ",", "as", "amended", "(", "the", "Employment", "Agreement", ")", "."]}
{"id": "10289", "text": "The United States and State of Minnesota Constitutions, | ---|--- (ii)", "ner": [[4, 6, "Court"]], "tokenized_text": ["The", "United", "States", "and", "State", "of", "Minnesota", "Constitutions", ",", "|", "-", "-", "-", "|", "-", "-", "-", "(", "ii", ")"]}
{"id": "10292", "text": "The Civil Rights Act of 1991 , | ---|--- (v)", "ner": [[0, 5, "Act"]], "tokenized_text": ["The", "Civil", "Rights", "Act", "of", "1991", ",", "|", "-", "-", "-", "|", "-", "-", "-", "(", "v", ")"]}
{"id": "10293", "text": "The Equal pay Act , | ---|--- ( vi)", "ner": [[0, 3, "Act"]], "tokenized_text": ["The", "Equal", "pay", "Act", ",", "|", "-", "-", "-", "|", "-", "-", "-", "(", "vi", ")"]}
{"id": "10295", "text": "The Age Discrimination in Employment Act ( the ADEA ), | ---|--- (viii)", "ner": [[1, 5, "Act"]], "tokenized_text": ["The", "Age", "Discrimination", "in", "Employment", "Act", "(", "the", "ADEA", ")", ",", "|", "-", "-", "-", "|", "-", "-", "-", "(", "viii", ")"]}
{"id": "10296", "text": "The Older Workers Benefit Protection Act , | ---|--- ( Older Workers Benefit Protection Act , | ---|--- (ix)", "ner": [[1, 5, "Act"]], "tokenized_text": ["The", "Older", "Workers", "Benefit", "Protection", "Act", ",", "|", "-", "-", "-", "|", "-", "-", "-", "(", "Older", "Workers", "Benefit", "Protection", "Act", ",", "|", "-", "-", "-", "|", "-", "-", "-", "(", "ix", ")"]}
{"id": "10298", "text": "The Americans with Disabilities Act , | ---|--- ( xi)", "ner": [[1, 4, "Act"]], "tokenized_text": ["The", "Americans", "with", "Disabilities", "Act", ",", "|", "-", "-", "-", "|", "-", "-", "-", "(", "xi", ")"]}
{"id": "10299", "text": "The Family and Medical Leave Act , | ---|--- ( xii)", "ner": [[1, 5, "Act"]], "tokenized_text": ["The", "Family", "and", "Medical", "Leave", "Act", ",", "|", "-", "-", "-", "|", "-", "-", "-", "(", "xii", ")"]}
{"id": "10301", "text": "The Fair Labor Standards Act , | ---|--- ( xiv)", "ner": [[0, 4, "Act"]], "tokenized_text": ["The", "Fair", "Labor", "Standards", "Act", ",", "|", "-", "-", "-", "|", "-", "-", "-", "(", "xiv", ")"]}
{"id": "10307", "text": "Executive Order 11141 , and | ---|--- (xx)", "ner": [], "tokenized_text": ["Executive", "Order", "11141", ",", "and", "|", "-", "-", "-", "|", "-", "-", "-", "(", "xx", ")"]}
{"id": "10308", "text": "(g) For relief on the basis of any alleged tort or breach of contract under the common law of the State of Minnesota or any other state, including defamation, intentional or negligent infliction of emotional distress, breach of the covenant of good faith and fair dealing, promissory estoppel, and negligence.", "ner": [[22, 24, "Court"], [52, 53, "Title"]], "tokenized_text": ["(", "g", ")", "For", "relief", "on", "the", "basis", "of", "any", "alleged", "tort", "or", "breach", "of", "contract", "under", "the", "common", "law", "of", "the", "State", "of", "Minnesota", "or", "any", "other", "state", ",", "including", "defamation", ",", "intentional", "or", "negligent", "infliction", "of", "emotional", "distress", ",", "breach", "of", "the", "covenant", "of", "good", "faith", "and", "fair", "dealing", ",", "promissory", "estoppel", ",", "and", "negligence", "."]}
{"id": "10309", "text": "Executive acknowledges that statutes exist that render null and void releases and waivers of any claims, rights, demands, liabilities, actions, and causes of action that are unknown to the releasing or waiving party at the time of execution of the release and waiver. Executive waives, surrenders, and shall forego any protection to which Executive would otherwise be entitled by virtue of the existence of any such statutes in any jurisdiction, including the State of Minnesota .", "ner": [[81, 83, "Court"]], "tokenized_text": ["Executive", "acknowledges", "that", "statutes", "exist", "that", "render", "null", "and", "void", "releases", "and", "waivers", "of", "any", "claims", ",", "rights", ",", "demands", ",", "liabilities", ",", "actions", ",", "and", "causes", "of", "action", "that", "are", "unknown", "to", "the", "releasing", "or", "waiving", "party", "at", "the", "time", "of", "execution", "of", "the", "release", "and", "waiver", ".", "Executive", "waives", ",", "surrenders", ",", "and", "shall", "forego", "any", "protection", "to", "which", "Executive", "would", "otherwise", "be", "entitled", "by", "virtue", "of", "the", "existence", "of", "any", "such", "statutes", "in", "any", "jurisdiction", ",", "including", "the", "State", "of", "Minnesota", "."]}
{"id": "10312", "text": "8. Restrictive Covenants. Section 7 of the Employment Agreement (entitled Restrictive Covenants), shall continue in full force and effect as if fully restated herein.", "ner": [[2, 3, "Title"], [9, 10, "Title"]], "tokenized_text": ["8", ".", "Restrictive", "Covenants", ".", "Section", "7", "of", "the", "Employment", "Agreement", "(", "entitled", "Restrictive", "Covenants", ")", ",", "shall", "continue", "in", "full", "force", "and", "effect", "as", "if", "fully", "restated", "herein", "."]}
{"id": "10314", "text": "IN WITNESS WHEREOF, the Parties have executed this Agreement as of dates set forth below their respective signatures below. --- | | | | | MIDWESTONE FINANCIAL GROUP, INC.", "ner": [], "tokenized_text": ["IN", "WITNESS", "WHEREOF", ",", "the", "Parties", "have", "executed", "this", "Agreement", "as", "of", "dates", "set", "forth", "below", "their", "respective", "signatures", "below", ".", "-", "-", "-", "|", "|", "|", "|", "|", "MIDWESTONE", "FINANCIAL", "GROUP", ",", "INC", "."]}
{"id": "10316", "text": "THIS EMPLOYMENT AGREEMENT (this Agreement) is hereby entered into as of October 17, 2017 , by and between Realogy Holdings Corp. (the Company) and Ryan M. Schneider (Executive) (hereinafter collectively referred to as the Parties).", "ner": [[1, 2, "Title"], [13, 16, "EffectiveDate"], [21, 24, "Parties"], [30, 33, "Parties"]], "tokenized_text": ["THIS", "EMPLOYMENT", "AGREEMENT", "(", "this", "Agreement", ")", "is", "hereby", "entered", "into", "as", "of", "October", "17", ",", "2017", ",", "by", "and", "between", "Realogy", "Holdings", "Corp", ".", "(", "the", "Company", ")", "and", "Ryan", "M", ".", "Schneider", "(", "Executive", ")", "(", "hereinafter", "collectively", "referred", "to", "as", "the", "Parties", ")", "."]}
{"id": "10318", "text": "(a) Executive shall be assigned with the duties and responsibilities of President and Chief Operating Officer , it being understood that it is anticipated that on or before December 31, 201 7 , Executive shall be appointed as Chief Executive Officer and thereafter assigned with the duties and responsibilities of such office as may reasonably be assigned to Executive from time to time by the Board of Directors of the Company (the Board). Executive shall perform such duties, undertake the responsibilities, and exercise the authorities customarily performed, undertaken and exercised by persons situated in a similar executive capacity at a similar company. In performing Executives duties hereunder, while serving as President and Chief Operating Officer , Executive shall report jointly to the Chief Executive Officer and the Board, and at such time as he is appointed as Chief Executive Officer , Executive shall report solely and directly to the Board. Within thirty (30) days after the Effective Date, the Company shall cause Executive to be appointed to the Board. When Executive is elected as a director of the Company or as a director or officer of any of the Companys Affiliates, Executive will fulfill Executives duties as such director or officer without additional compensation. During the Term, the Company shall cause Executive to be nominated to the Board and support his reelection. The Company agrees to explicitly state in its public announcement of the hiring of the Executive that the Executive is the CEO designate and that the Company anticipates that the Executive will be named as the Chief Executive Officer by December 31, 201 7 .", "ner": [[13, 13, "Role"], [15, 17, "Role"], [30, 34, "TerminationDate"], [41, 43, "Role"], [123, 125, "Role"], [133, 135, "Role"], [149, 151, "Role"], [264, 264, "Role"], [279, 281, "Role"], [283, 287, "TerminationDate"]], "tokenized_text": ["(", "a", ")", "Executive", "shall", "be", "assigned", "with", "the", "duties", "and", "responsibilities", "of", "President", "and", "Chief", "Operating", "Officer", ",", "it", "being", "understood", "that", "it", "is", "anticipated", "that", "on", "or", "before", "December", "31", ",", "201", "7", ",", "Executive", "shall", "be", "appointed", "as", "Chief", "Executive", "Officer", "and", "thereafter", "assigned", "with", "the", "duties", "and", "responsibilities", "of", "such", "office", "as", "may", "reasonably", "be", "assigned", "to", "Executive", "from", "time", "to", "time", "by", "the", "Board", "of", "Directors", "of", "the", "Company", "(", "the", "Board", ")", ".", "Executive", "shall", "perform", "such", "duties", ",", "undertake", "the", "responsibilities", ",", "and", "exercise", "the", "authorities", "customarily", "performed", ",", "undertaken", "and", "exercised", "by", "persons", "situated", "in", "a", "similar", "executive", "capacity", "at", "a", "similar", "company", ".", "In", "performing", "Executives", "duties", "hereunder", ",", "while", "serving", "as", "President", "and", "Chief", "Operating", "Officer", ",", "Executive", "shall", "report", "jointly", "to", "the", "Chief", "Executive", "Officer", "and", "the", "Board", ",", "and", "at", "such", "time", "as", "he", "is", "appointed", "as", "Chief", "Executive", "Officer", ",", "Executive", "shall", "report", "solely", "and", "directly", "to", "the", "Board", ".", "Within", "thirty", "(", "30", ")", "days", "after", "the", "Effective", "Date", ",", "the", "Company", "shall", "cause", "Executive", "to", "be", "appointed", "to", "the", "Board", ".", "When", "Executive", "is", "elected", "as", "a", "director", "of", "the", "Company", "or", "as", "a", "director", "or", "officer", "of", "any", "of", "the", "Companys", "Affiliates", ",", "Executive", "will", "fulfill", "Executives", "duties", "as", "such", "director", "or", "officer", "without", "additional", "compensation", ".", "During", "the", "Term", ",", "the", "Company", "shall", "cause", "Executive", "to", "be", "nominated", "to", "the", "Board", "and", "support", "his", "reelection", ".", "The", "Company", "agrees", "to", "explicitly", "state", "in", "its", "public", "announcement", "of", "the", "hiring", "of", "the", "Executive", "that", "the", "Executive", "is", "the", "CEO", "designate", "and", "that", "the", "Company", "anticipates", "that", "the", "Executive", "will", "be", "named", "as", "the", "Chief", "Executive", "Officer", "by", "December", "31", ",", "201", "7", "."]}
{"id": "10322", "text": "(d) Long-Term Incentive compensation. In respect of the 2018 fiscal year, Executive shall be entitled to a long-term incentive award with an aggregate grant date fair value of $7.5 million (subject to there being sufficient shares reserved under the Amended and Restated 2012 Long-Term Incentive Plan or other incentive plan approved by stockholders), but the composition and terms of the grants shall be determined by the Committee which shall be allocated across various equity vehicles and shall be generally consistent with the grants made to", "ner": [[32, 36, "Principal"]], "tokenized_text": ["(", "d", ")", "Long-Term", "Incentive", "compensation", ".", "In", "respect", "of", "the", "2018", "fiscal", "year", ",", "Executive", "shall", "be", "entitled", "to", "a", "long-term", "incentive", "award", "with", "an", "aggregate", "grant", "date", "fair", "value", "of", "$", "7", ".", "5", "million", "(", "subject", "to", "there", "being", "sufficient", "shares", "reserved", "under", "the", "Amended", "and", "Restated", "2012", "Long-Term", "Incentive", "Plan", "or", "other", "incentive", "plan", "approved", "by", "stockholders", ")", ",", "but", "the", "composition", "and", "terms", "of", "the", "grants", "shall", "be", "determined", "by", "the", "Committee", "which", "shall", "be", "allocated", "across", "various", "equity", "vehicles", "and", "shall", "be", "generally", "consistent", "with", "the", "grants", "made", "to"]}
{"id": "10323", "text": "(b) Relocation Expenses. Executive shall be entitled to Plan A Company moving expense package to relocate from his home in Washington, D.C. to New Jersey .", "ner": [[23, 28, "Address"], [30, 31, "Address"]], "tokenized_text": ["(", "b", ")", "Relocation", "Expenses", ".", "Executive", "shall", "be", "entitled", "to", "Plan", "A", "Company", "moving", "expense", "package", "to", "relocate", "from", "his", "home", "in", "Washington", ",", "D", ".", "C", ".", "to", "New", "Jersey", "."]}
{"id": "10330", "text": "Company or any of its Affiliates or pursuant to any incentive arrangement or plan offered by the Company or any of its Affiliates) shall be reduced (but not below zero) to the maximum amount which may be paid hereunder without Executive becoming subject to the Excise Tax (such reduced payments to be referred to as the payment Cap). In the event Executive receives reduced payments and benefits as a result of application of this Section 8, Executive shall have the right to designate which of the payments and benefits otherwise set forth herein (or any other agreement between the Company and Executive or any incentive arrangement or plan offered by the Company) shall be received in connection with the application of the payment Cap, subject to the following sentence. Reduction shall be made in the following order: (i) at the discretion of Executive, payments that are valued in full under Treasury Regulation Section 1.280G-1 , Q&A 24 and are not subject to Section 409A of the Code, (ii) payments that are valued in full under Treasury Regulation Section 1.280G-1 , Q&A 24 and are subject to Section 409A of the Code, with the amounts that are payable last reduced first, (iii) at the discretion of Executive, payments that are valued at less than full value under Treasury Regulation Section 1.280G-1 , Q&A 24 and are not subject to Section 409A of the Code and (iv) payments that are valued at less than full value under Treasury Regulation Section 1.280G-1 , Q&A 24 and are subject to Section 409A of the Code, with the amounts that are payable last reduced first. If the Accounting Firm determines that aggregate Covered payments should be reduced as described above, it shall promptly notify Executive and the Company to that effect. In the absence of manifest error, all determinations made by the Accounting Firm under this Section 8(a) shall be binding on Executive and the Company and shall be made as soon as reasonably practicable and in no event later than fifteen (15) days following the later of Executives date of termination of employment or the date of the transaction which causes the application of Section 280G of the Code. The Company shall bear all costs, fees and expenses of the Accounting Firm. To the extent requested by Executive, the Company shall cooperate with Executive in good faith in valuing, and the Accounting Firm shall take into account the value of, services to be provided by Executive (including Executive agreeing to refrain from performing services pursuant to a covenant not to compete) before, on or after the date of the transaction which causes the application of Section 280G of the Code such that payments in respect of such services may be considered to be reasonable compensation within the meaning of Q&A-9 and Q&A-40 to Q&A-44 of the final regulations under Section 280G of the Code and/or exempt from the definition of the term parachute payment within the meaning of Q&A-2(a) of such final regulations in accordance with Q&A-5(an) of such final regulations. If it is ultimately determined (by IRS private letter ruling or closing agreement, court decision or otherwise) that Executives Covered payments were reduced by too much or by too little in order to accomplish the purpose of this Section 8(a), Executive and the Company shall promptly cooperate to correct such underpayment or overpayment in a manner consistent with the purpose of this Section 8(a).", "ner": [[80, 81, "Regulation"], [165, 170, "Regulation"], [172, 177, "Regulation"], [183, 184, "Regulation"], [419, 420, "Regulation"]], "tokenized_text": ["Company", "or", "any", "of", "its", "Affiliates", "or", "pursuant", "to", "any", "incentive", "arrangement", "or", "plan", "offered", "by", "the", "Company", "or", "any", "of", "its", "Affiliates", ")", "shall", "be", "reduced", "(", "but", "not", "below", "zero", ")", "to", "the", "maximum", "amount", "which", "may", "be", "paid", "hereunder", "without", "Executive", "becoming", "subject", "to", "the", "Excise", "Tax", "(", "such", "reduced", "payments", "to", "be", "referred", "to", "as", "the", "payment", "Cap", ")", ".", "In", "the", "event", "Executive", "receives", "reduced", "payments", "and", "benefits", "as", "a", "result", "of", "application", "of", "this", "Section", "8", ",", "Executive", "shall", "have", "the", "right", "to", "designate", "which", "of", "the", "payments", "and", "benefits", "otherwise", "set", "forth", "herein", "(", "or", "any", "other", "agreement", "between", "the", "Company", "and", "Executive", "or", "any", "incentive", "arrangement", "or", "plan", "offered", "by", "the", "Company", ")", "shall", "be", "received", "in", "connection", "with", "the", "application", "of", "the", "payment", "Cap", ",", "subject", "to", "the", "following", "sentence", ".", "Reduction", "shall", "be", "made", "in", "the", "following", "order", ":", "(", "i", ")", "at", "the", "discretion", "of", "Executive", ",", "payments", "that", "are", "valued", "in", "full", "under", "Treasury", "Regulation", "Section", "1", ".", "280G-1", ",", "Q", "&", "amp", ";", "A", "24", "and", "are", "not", "subject", "to", "Section", "409A", "of", "the", "Code", ",", "(", "ii", ")", "payments", "that", "are", "valued", "in", "full", "under", "Treasury", "Regulation", "Section", "1", ".", "280G-1", ",", "Q", "&", "amp", ";", "A", "24", "and", "are", "subject", "to", "Section", "409A", "of", "the", "Code", ",", "with", "the", "amounts", "that", "are", "payable", "last", "reduced", "first", ",", "(", "iii", ")", "at", "the", "discretion", "of", "Executive", ",", "payments", "that", "are", "valued", "at", "less", "than", "full", "value", "under", "Treasury", "Regulation", "Section", "1", ".", "280G-1", ",", "Q", "&", "amp", ";", "A", "24", "and", "are", "not", "subject", "to", "Section", "409A", "of", "the", "Code", "and", "(", "iv", ")", "payments", "that", "are", "valued", "at", "less", "than", "full", "value", "under", "Treasury", "Regulation", "Section", "1", ".", "280G-1", ",", "Q", "&", "amp", ";", "A", "24", "and", "are", "subject", "to", "Section", "409A", "of", "the", "Code", ",", "with", "the", "amounts", "that", "are", "payable", "last", "reduced", "first", ".", "If", "the", "Accounting", "Firm", "determines", "that", "aggregate", "Covered", "payments", "should", "be", "reduced", "as", "described", "above", ",", "it", "shall", "promptly", "notify", "Executive", "and", "the", "Company", "to", "that", "effect", ".", "In", "the", "absence", "of", "manifest", "error", ",", "all", "determinations", "made", "by", "the", "Accounting", "Firm", "under", "this", "Section", "8", "(", "a", ")", "shall", "be", "binding", "on", "Executive", "and", "the", "Company", "and", "shall", "be", "made", "as", "soon", "as", "reasonably", "practicable", "and", "in", "no", "event", "later", "than", "fifteen", "(", "15", ")", "days", "following", "the", "later", "of", "Executives", "date", "of", "termination", "of", "employment", "or", "the", "date", "of", "the", "transaction", "which", "causes", "the", "application", "of", "Section", "280G", "of", "the", "Code", ".", "The", "Company", "shall", "bear", "all", "costs", ",", "fees", "and", "expenses", "of", "the", "Accounting", "Firm", ".", "To", "the", "extent", "requested", "by", "Executive", ",", "the", "Company", "shall", "cooperate", "with", "Executive", "in", "good", "faith", "in", "valuing", ",", "and", "the", "Accounting", "Firm", "shall", "take", "into", "account", "the", "value", "of", ",", "services", "to", "be", "provided", "by", "Executive", "(", "including", "Executive", "agreeing", "to", "refrain", "from", "performing", "services", "pursuant", "to", "a", "covenant", "not", "to", "compete", ")", "before", ",", "on", "or", "after", "the", "date", "of", "the", "transaction", "which", "causes", "the", "application", "of", "Section", "280G", "of", "the", "Code", "such", "that", "payments", "in", "respect", "of", "such", "services", "may", "be", "considered", "to", "be", "reasonable", "compensation", "within", "the", "meaning", "of", "Q", "&", "amp", ";", "A-9", "and", "Q", "&", "amp", ";", "A-40", "to", "Q", "&", "amp", ";", "A-44", "of", "the", "final", "regulations", "under", "Section", "280G", "of", "the", "Code", "and", "/", "or", "exempt", "from", "the", "definition", "of", "the", "term", "parachute", "payment", "within", "the", "meaning", "of", "Q", "&", "amp", ";", "A-2", "(", "a", ")", "of", "such", "final", "regulations", "in", "accordance", "with", "Q", "&", "amp", ";", "A-5", "(", "an", ")", "of", "such", "final", "regulations", ".", "If", "it", "is", "ultimately", "determined", "(", "by", "IRS", "private", "letter", "ruling", "or", "closing", "agreement", ",", "court", "decision", "or", "otherwise", ")", "that", "Executives", "Covered", "payments", "were", "reduced", "by", "too", "much", "or", "by", "too", "little", "in", "order", "to", "accomplish", "the", "purpose", "of", "this", "Section", "8", "(", "a", ")", ",", "Executive", "and", "the", "Company", "shall", "promptly", "cooperate", "to", "correct", "such", "underpayment", "or", "overpayment", "in", "a", "manner", "consistent", "with", "the", "purpose", "of", "this", "Section", "8", "(", "a", ")", "."]}
{"id": "10334", "text": "writing and shall be deemed to have been duly given when personally delivered or sent by Certified mail, return receipt requested, postage prepaid, addressed to the respective addresses last given by each Party to the other, provided that all notices to the Company shall be directed to the attention of the Companys Chief Executive Officer with a copy to the Companys General Counsel. All notices and communications shall be deemed to have been received on the date of delivery thereof or on the third business day after the mailing thereof, except that notice of change of address shall be effective only upon receipt.", "ner": [[56, 58, "Role"]], "tokenized_text": ["writing", "and", "shall", "be", "deemed", "to", "have", "been", "duly", "given", "when", "personally", "delivered", "or", "sent", "by", "Certified", "mail", ",", "return", "receipt", "requested", ",", "postage", "prepaid", ",", "addressed", "to", "the", "respective", "addresses", "last", "given", "by", "each", "Party", "to", "the", "other", ",", "provided", "that", "all", "notices", "to", "the", "Company", "shall", "be", "directed", "to", "the", "attention", "of", "the", "Companys", "Chief", "Executive", "Officer", "with", "a", "copy", "to", "the", "Companys", "General", "Counsel", ".", "All", "notices", "and", "communications", "shall", "be", "deemed", "to", "have", "been", "received", "on", "the", "date", "of", "delivery", "thereof", "or", "on", "the", "third", "business", "day", "after", "the", "mailing", "thereof", ",", "except", "that", "notice", "of", "change", "of", "address", "shall", "be", "effective", "only", "upon", "receipt", "."]}
{"id": "10337", "text": "(l) Governing Law. This Agreement shall be governed by and construed and enforced in accordance with the laws of the state of Delaware applicable to contracts executed in and to be performed entirely within such state, without giving effect to the conflict of law principles thereof.", "ner": [[23, 25, "Court"]], "tokenized_text": ["(", "l", ")", "Governing", "Law", ".", "This", "Agreement", "shall", "be", "governed", "by", "and", "construed", "and", "enforced", "in", "accordance", "with", "the", "laws", "of", "the", "state", "of", "Delaware", "applicable", "to", "contracts", "executed", "in", "and", "to", "be", "performed", "entirely", "within", "such", "state", ",", "without", "giving", "effect", "to", "the", "conflict", "of", "law", "principles", "thereof", "."]}
{"id": "10338", "text": "Executive Vice President and Chief Human Resources Officer", "ner": [[0, 2, "Role"], [4, 7, "Role"]], "tokenized_text": ["Executive", "Vice", "President", "and", "Chief", "Human", "Resources", "Officer"]}
{"id": "10340", "text": "Name: Ryan M. Schneider", "ner": [[2, 5, "PII_Ref"]], "tokenized_text": ["Name", ":", "Ryan", "M", ".", "Schneider"]}
{"id": "10341", "text": "THIS RELEASE AGREEMENT (the Release) is made by and between Ryan M. Schneider (Executive) and Realogy Holdings Corp. (the Company).", "ner": [[1, 2, "Title"], [12, 15, "Parties"], [20, 23, "Parties"]], "tokenized_text": ["THIS", "RELEASE", "AGREEMENT", "(", "the", "Release", ")", "is", "made", "by", "and", "between", "Ryan", "M", ".", "Schneider", "(", "Executive", ")", "and", "Realogy", "Holdings", "Corp", ".", "(", "the", "Company", ")", "."]}
{"id": "10342", "text": "1. For and in consideration of the payments and benefits provided in Sections [7(d)(ii), (iii), (iv) and (v)] 7(e)(ii), (iii), (iv) and (v)] of the Employment agreement between Executive and the Company dated as of October 17, 2017 (the Employment Agreement), Executive, for himself, his successors and assigns, executors and administrators, now and forever hereby releases and discharges the Company, together with all of its past and present parents, subsidiaries, and affiliates, together with each of their officers, directors, stockholders, partners, employees, agents, representatives and attorneys, and each of their subsidiaries, affiliates, estates, predecessors, successors, and assigns; provided that such release shall extend to past and present officers, directors, shareholders, partners, employees, agents, representatives and attorneys only in their capacities as such or in respect of their relationship with the Company and its affiliates (hereinafter collectively referred to as the Releasees) from any and all rights, claims, charges, actions, causes of action, complaints, sums of money, suits, debts, covenants, contracts, agreements, promises, obligations, damages, demands or liabilities of every kind whatsoever, in law or in equity, whether known or unknown, suspected or unsuspected (collectively, Claims), which Executive or Executives executors, administrators, successors or assigns ever had, now has or may hereafter claim to have by reason of any matter, cause or thing whatsoever: (i) arising from the beginning of time up to the date upon which Executive signs the Release, including but not limited to (A) any such Claims arising out of, or relating in any way to, Executives employment with the Company or any of the other Releasees, or the termination of Executives employment relationship with the Company or any of the other Releasees, and (B) any such Claims arising under any federal, local or state law, executive order, statute or regulation, including, without limitation, the Age Discrimination in Employment Act of 1967 , as amended by the Older Workers Benefit Protection Act , Title VII of the Civil Rights Act of 1964 , the Americans with Disabilities Act of 1990 , the Employee Retirement Income Security Act of 1974 , the Civil Rights Act of 1991 , the Family and Medical Leave Act of 1993 , the Fair Labor Standards Act of 1938 (but limited to the provisions prohibiting retaliation), the Equal pay Act of 1963 , and the Sarbanes-Oxley Act of 2002 , any whistleblower or retaliation claims (to the extent permitted by applicable law),and/or the applicable federal, state or local law, executive order, statute or regulation against discrimination, each as amended; (ii) arising under or relating to the Employment Agreement or breach of a contract relating to employment; or (iii) arising under or relating to any policy, agreement, understanding or promise, written or oral, formal or informal, between the Company and any of the Releasees and Executive; provided, however, that notwithstanding the foregoing, nothing contained in the Release shall in any way diminish or impair: (a) any rights Executive may have under Section [7(d)][7(e)] of this Employment Agreement, including any accrued benefits; (b) any rights Executive may have, from and after the date upon which Executive signs the Release; (c) any rights to indemnification that may exist from time to time under the Companys certificate of incorporation or bylaws, or state law or any", "ner": [[57, 58, "Title"], [67, 70, "EffectiveDate"], [73, 74, "Title"], [406, 412, "Act"], [418, 422, "Act"], [428, 432, "Act"], [435, 440, "Act"], [443, 449, "Act"], [452, 456, "Act"], [459, 465, "Act"], [468, 473, "Act"], [485, 489, "Act"], [493, 496, "Act"]], "tokenized_text": ["1", ".", "For", "and", "in", "consideration", "of", "the", "payments", "and", "benefits", "provided", "in", "Sections", "[", "7", "(", "d", ")", "(", "ii", ")", ",", "(", "iii", ")", ",", "(", "iv", ")", "and", "(", "v", ")", "]", "7", "(", "e", ")", "(", "ii", ")", ",", "(", "iii", ")", ",", "(", "iv", ")", "and", "(", "v", ")", "]", "of", "the", "Employment", "agreement", "between", "Executive", "and", "the", "Company", "dated", "as", "of", "October", "17", ",", "2017", "(", "the", "Employment", "Agreement", ")", ",", "Executive", ",", "for", "himself", ",", "his", "successors", "and", "assigns", ",", "executors", "and", "administrators", ",", "now", "and", "forever", "hereby", "releases", "and", "discharges", "the", "Company", ",", "together", "with", "all", "of", "its", "past", "and", "present", "parents", ",", "subsidiaries", ",", "and", "affiliates", ",", "together", "with", "each", "of", "their", "officers", ",", "directors", ",", "stockholders", ",", "partners", ",", "employees", ",", "agents", ",", "representatives", "and", "attorneys", ",", "and", "each", "of", "their", "subsidiaries", ",", "affiliates", ",", "estates", ",", "predecessors", ",", "successors", ",", "and", "assigns", ";", "provided", "that", "such", "release", "shall", "extend", "to", "past", "and", "present", "officers", ",", "directors", ",", "shareholders", ",", "partners", ",", "employees", ",", "agents", ",", "representatives", "and", "attorneys", "only", "in", "their", "capacities", "as", "such", "or", "in", "respect", "of", "their", "relationship", "with", "the", "Company", "and", "its", "affiliates", "(", "hereinafter", "collectively", "referred", "to", "as", "the", "Releasees", ")", "from", "any", "and", "all", "rights", ",", "claims", ",", "charges", ",", "actions", ",", "causes", "of", "action", ",", "complaints", ",", "sums", "of", "money", ",", "suits", ",", "debts", ",", "covenants", ",", "contracts", ",", "agreements", ",", "promises", ",", "obligations", ",", "damages", ",", "demands", "or", "liabilities", "of", "every", "kind", "whatsoever", ",", "in", "law", "or", "in", "equity", ",", "whether", "known", "or", "unknown", ",", "suspected", "or", "unsuspected", "(", "collectively", ",", "Claims", ")", ",", "which", "Executive", "or", "Executives", "executors", ",", "administrators", ",", "successors", "or", "assigns", "ever", "had", ",", "now", "has", "or", "may", "hereafter", "claim", "to", "have", "by", "reason", "of", "any", "matter", ",", "cause", "or", "thing", "whatsoever", ":", "(", "i", ")", "arising", "from", "the", "beginning", "of", "time", "up", "to", "the", "date", "upon", "which", "Executive", "signs", "the", "Release", ",", "including", "but", "not", "limited", "to", "(", "A", ")", "any", "such", "Claims", "arising", "out", "of", ",", "or", "relating", "in", "any", "way", "to", ",", "Executives", "employment", "with", "the", "Company", "or", "any", "of", "the", "other", "Releasees", ",", "or", "the", "termination", "of", "Executives", "employment", "relationship", "with", "the", "Company", "or", "any", "of", "the", "other", "Releasees", ",", "and", "(", "B", ")", "any", "such", "Claims", "arising", "under", "any", "federal", ",", "local", "or", "state", "law", ",", "executive", "order", ",", "statute", "or", "regulation", ",", "including", ",", "without", "limitation", ",", "the", "Age", "Discrimination", "in", "Employment", "Act", "of", "1967", ",", "as", "amended", "by", "the", "Older", "Workers", "Benefit", "Protection", "Act", ",", "Title", "VII", "of", "the", "Civil", "Rights", "Act", "of", "1964", ",", "the", "Americans", "with", "Disabilities", "Act", "of", "1990", ",", "the", "Employee", "Retirement", "Income", "Security", "Act", "of", "1974", ",", "the", "Civil", "Rights", "Act", "of", "1991", ",", "the", "Family", "and", "Medical", "Leave", "Act", "of", "1993", ",", "the", "Fair", "Labor", "Standards", "Act", "of", "1938", "(", "but", "limited", "to", "the", "provisions", "prohibiting", "retaliation", ")", ",", "the", "Equal", "pay", "Act", "of", "1963", ",", "and", "the", "Sarbanes-Oxley", "Act", "of", "2002", ",", "any", "whistleblower", "or", "retaliation", "claims", "(", "to", "the", "extent", "permitted", "by", "applicable", "law", ")", ",", "and", "/", "or", "the", "applicable", "federal", ",", "state", "or", "local", "law", ",", "executive", "order", ",", "statute", "or", "regulation", "against", "discrimination", ",", "each", "as", "amended", ";", "(", "ii", ")", "arising", "under", "or", "relating", "to", "the", "Employment", "Agreement", "or", "breach", "of", "a", "contract", "relating", "to", "employment", ";", "or", "(", "iii", ")", "arising", "under", "or", "relating", "to", "any", "policy", ",", "agreement", ",", "understanding", "or", "promise", ",", "written", "or", "oral", ",", "formal", "or", "informal", ",", "between", "the", "Company", "and", "any", "of", "the", "Releasees", "and", "Executive", ";", "provided", ",", "however", ",", "that", "notwithstanding", "the", "foregoing", ",", "nothing", "contained", "in", "the", "Release", "shall", "in", "any", "way", "diminish", "or", "impair", ":", "(", "a", ")", "any", "rights", "Executive", "may", "have", "under", "Section", "[", "7", "(", "d", ")", "]", "[", "7", "(", "e", ")", "]", "of", "this", "Employment", "Agreement", ",", "including", "any", "accrued", "benefits", ";", "(", "b", ")", "any", "rights", "Executive", "may", "have", ",", "from", "and", "after", "the", "date", "upon", "which", "Executive", "signs", "the", "Release", ";", "(", "c", ")", "any", "rights", "to", "indemnification", "that", "may", "exist", "from", "time", "to", "time", "under", "the", "Companys", "certificate", "of", "incorporation", "or", "bylaws", ",", "or", "state", "law", "or", "any"]}
{"id": "10343", "text": "7. The Release and the rights and obligations of the parties hereto shall be governed and construed in accordance with the laws of the state of Delaware . If any provision hereof is unenforceable or is held to be unenforceable, such provision shall be fully severable, and this document and its terms shall be construed and enforced as if such unenforceable provision had never comprised a part hereof, the remaining provisions hereof shall remain in full force and effect, and the court construing the provisions shall add as a part hereof a provision as similar in terms and effect to such unenforceable provision as may be enforceable, in lieu of the unenforceable provision.", "ner": [[25, 27, "Court"]], "tokenized_text": ["7", ".", "The", "Release", "and", "the", "rights", "and", "obligations", "of", "the", "parties", "hereto", "shall", "be", "governed", "and", "construed", "in", "accordance", "with", "the", "laws", "of", "the", "state", "of", "Delaware", ".", "If", "any", "provision", "hereof", "is", "unenforceable", "or", "is", "held", "to", "be", "unenforceable", ",", "such", "provision", "shall", "be", "fully", "severable", ",", "and", "this", "document", "and", "its", "terms", "shall", "be", "construed", "and", "enforced", "as", "if", "such", "unenforceable", "provision", "had", "never", "comprised", "a", "part", "hereof", ",", "the", "remaining", "provisions", "hereof", "shall", "remain", "in", "full", "force", "and", "effect", ",", "and", "the", "court", "construing", "the", "provisions", "shall", "add", "as", "a", "part", "hereof", "a", "provision", "as", "similar", "in", "terms", "and", "effect", "to", "such", "unenforceable", "provision", "as", "may", "be", "enforceable", ",", "in", "lieu", "of", "the", "unenforceable", "provision", "."]}
{"id": "10346", "text": "This Employment Agreement (Agreement) is made as of the Effective Date between Cincinnati Bell Inc. (Employer) and Shannon M. Mullen (Employee). For purposes of this Agreement, the Effective Date means October 10, 201 7 .", "ner": [[1, 2, "Title"], [14, 17, "Parties"], [22, 25, "Parties"], [40, 44, "EffectiveDate"]], "tokenized_text": ["This", "Employment", "Agreement", "(", "Agreement", ")", "is", "made", "as", "of", "the", "Effective", "Date", "between", "Cincinnati", "Bell", "Inc", ".", "(", "Employer", ")", "and", "Shannon", "M", ".", "Mullen", "(", "Employee", ")", ".", "For", "purposes", "of", "this", "Agreement", ",", "the", "Effective", "Date", "means", "October", "10", ",", "201", "7", "."]}
{"id": "10347", "text": "2. Term of Agreement. The term of this Agreement initially shall be the one year period commencing on the Effective Date. On the first anniversary of the Effective Date and on each subsequent anniversary of the Effective Date, the term of this Agreement automatically shall be extended for a period of one additional year . Notwithstanding the foregoing, the term of this Agreement is subject to termination as provided in Section 13.", "ner": [[15, 16, "RenewalTerm"], [26, 27, "TerminationDate"], [55, 57, "RenewalTerm"]], "tokenized_text": ["2", ".", "Term", "of", "Agreement", ".", "The", "term", "of", "this", "Agreement", "initially", "shall", "be", "the", "one", "year", "period", "commencing", "on", "the", "Effective", "Date", ".", "On", "the", "first", "anniversary", "of", "the", "Effective", "Date", "and", "on", "each", "subsequent", "anniversary", "of", "the", "Effective", "Date", ",", "the", "term", "of", "this", "Agreement", "automatically", "shall", "be", "extended", "for", "a", "period", "of", "one", "additional", "year", ".", "Notwithstanding", "the", "foregoing", ",", "the", "term", "of", "this", "Agreement", "is", "subject", "to", "termination", "as", "provided", "in", "Section", "13", "."]}
{"id": "10348", "text": "A. Employee will serve as Vice President and Corporate Controller for Cincinnati Bell Inc. or in such other equivalent capacity as may be designated by the Chief Executive Officer of Employer. Employee will report to the Chief Financial Officer of Employer or to such other officer as the Chief Executive Officer of Employer may direct.", "ner": [[6, 7, "Role"], [9, 10, "Role"], [28, 30, "Role"], [39, 41, "Role"], [51, 53, "Role"]], "tokenized_text": ["A", ".", "Employee", "will", "serve", "as", "Vice", "President", "and", "Corporate", "Controller", "for", "Cincinnati", "Bell", "Inc", ".", "or", "in", "such", "other", "equivalent", "capacity", "as", "may", "be", "designated", "by", "the", "Chief", "Executive", "Officer", "of", "Employer", ".", "Employee", "will", "report", "to", "the", "Chief", "Financial", "Officer", "of", "Employer", "or", "to", "such", "other", "officer", "as", "the", "Chief", "Executive", "Officer", "of", "Employer", "may", "direct", "."]}
{"id": "10352", "text": "(iv) When an amount (referred to in this Section 13.I.(iv) as the principal sum) that is payable under Section 13.D.(i), 13.D.(iv), 13.E.(i), or 13.E.(iv) within five days after the date which is six months after Employees termination of employment with Employer is paid, such payment shall also include an amount that is equal to the amount of interest that would have been earned by such principal sum for the period from the date of Employees termination of employment with Employer to the date which is six months after Employees termination of employment had such principal sum earned interest for such period at an annual rate of interest of 3.5% .", "ner": [[29, 32, "Regulation"], [45, 48, "Regulation"], [146, 149, "Percentage"]], "tokenized_text": ["(", "iv", ")", "When", "an", "amount", "(", "referred", "to", "in", "this", "Section", "13", ".", "I", ".", "(", "iv", ")", "as", "the", "principal", "sum", ")", "that", "is", "payable", "under", "Section", "13", ".", "D", ".", "(", "i", ")", ",", "13", ".", "D", ".", "(", "iv", ")", ",", "13", ".", "E", ".", "(", "i", ")", ",", "or", "13", ".", "E", ".", "(", "iv", ")", "within", "five", "days", "after", "the", "date", "which", "is", "six", "months", "after", "Employees", "termination", "of", "employment", "with", "Employer", "is", "paid", ",", "such", "payment", "shall", "also", "include", "an", "amount", "that", "is", "equal", "to", "the", "amount", "of", "interest", "that", "would", "have", "been", "earned", "by", "such", "principal", "sum", "for", "the", "period", "from", "the", "date", "of", "Employees", "termination", "of", "employment", "with", "Employer", "to", "the", "date", "which", "is", "six", "months", "after", "Employees", "termination", "of", "employment", "had", "such", "principal", "sum", "earned", "interest", "for", "such", "period", "at", "an", "annual", "rate", "of", "interest", "of", "3", ".", "5", "%", "."]}
{"id": "10354", "text": "17. Governing Law. This agreement shall be governed by the laws of the State of Ohio and, to the extent applicable, federal law.", "ner": [[15, 17, "Court"]], "tokenized_text": ["17", ".", "Governing", "Law", ".", "This", "agreement", "shall", "be", "governed", "by", "the", "laws", "of", "the", "State", "of", "Ohio", "and", ",", "to", "the", "extent", "applicable", ",", "federal", "law", "."]}
{"id": "10355", "text": "21. Confidentiality of Agreement Terms. The terms of this Agreement shall be held in strict confidence by Employee and shall not be disclosed by Employee to anyone other than Employees spouse, Employees legal counsel and Employees other advisors, unless required by law. Further, except as provided in the preceding sentence, Employee shall not reveal the existence of this Agreement or discuss its terms with any person (including but not limited to any employee of Employer or its Affiliates) without the express authorization of the President of Employer, provided that Employee shall advise any prospective new employer of the existence of Employees non-competition, confidentiality and similar obligations under this Agreement. To the extent that the terms of this Agreement have been disclosed by Employer, in a public filing or otherwise, the confidentiality requirements of this Section 21 shall no longer apply to such terms.", "ner": [[93, 93, "Role"]], "tokenized_text": ["21", ".", "Confidentiality", "of", "Agreement", "Terms", ".", "The", "terms", "of", "this", "Agreement", "shall", "be", "held", "in", "strict", "confidence", "by", "Employee", "and", "shall", "not", "be", "disclosed", "by", "Employee", "to", "anyone", "other", "than", "Employees", "spouse", ",", "Employees", "legal", "counsel", "and", "Employees", "other", "advisors", ",", "unless", "required", "by", "law", ".", "Further", ",", "except", "as", "provided", "in", "the", "preceding", "sentence", ",", "Employee", "shall", "not", "reveal", "the", "existence", "of", "this", "Agreement", "or", "discuss", "its", "terms", "with", "any", "person", "(", "including", "but", "not", "limited", "to", "any", "employee", "of", "Employer", "or", "its", "Affiliates", ")", "without", "the", "express", "authorization", "of", "the", "President", "of", "Employer", ",", "provided", "that", "Employee", "shall", "advise", "any", "prospective", "new", "employer", "of", "the", "existence", "of", "Employees", "non-competition", ",", "confidentiality", "and", "similar", "obligations", "under", "this", "Agreement", ".", "To", "the", "extent", "that", "the", "terms", "of", "this", "Agreement", "have", "been", "disclosed", "by", "Employer", ",", "in", "a", "public", "filing", "or", "otherwise", ",", "the", "confidentiality", "requirements", "of", "this", "Section", "21", "shall", "no", "longer", "apply", "to", "such", "terms", "."]}
{"id": "10356", "text": "IN WITNESS WHEREOF, the parties hereto have caused this Agreement to be duly effective as of the Effective Date first above written. --- | | CINCINNATI BELL INC .", "ner": [], "tokenized_text": ["IN", "WITNESS", "WHEREOF", ",", "the", "parties", "hereto", "have", "caused", "this", "Agreement", "to", "be", "duly", "effective", "as", "of", "the", "Effective", "Date", "first", "above", "written", ".", "-", "-", "-", "|", "|", "CINCINNATI", "BELL", "INC", "."]}
{"id": "10359", "text": "| Date: October 10, 2017", "ner": [], "tokenized_text": ["|", "Date", ":", "October", "10", ",", "2017"]}
{"id": "10360", "text": "Date: October 10, 2017", "ner": [], "tokenized_text": ["Date", ":", "October", "10", ",", "2017"]}
{"id": "10364", "text": "1.2 Duties and Location. Executive shall perform such duties as are customarily associated with the position of Chief Financial Officer and such other duties, commensurate with his position, as are assigned to Executive by the CEO and/or President, or the Companys Board of Directors (the Board). Executives primary office location shall be in the Los Angeles, California area. The Company reserves the right to reasonably require Executive to perform Executives duties at the Companys offices in Irvine, California as required for the performance of his duties and for business meetings with Company employees or representatives of third parties, and to require reasonable business travel.", "ner": [[20, 22, "Role"], [40, 40, "Role"], [44, 44, "Role"], [49, 51, "Role"], [65, 68, "Address"], [89, 91, "Address"]], "tokenized_text": ["1", ".", "2", "Duties", "and", "Location", ".", "Executive", "shall", "perform", "such", "duties", "as", "are", "customarily", "associated", "with", "the", "position", "of", "Chief", "Financial", "Officer", "and", "such", "other", "duties", ",", "commensurate", "with", "his", "position", ",", "as", "are", "assigned", "to", "Executive", "by", "the", "CEO", "and", "/", "or", "President", ",", "or", "the", "Companys", "Board", "of", "Directors", "(", "the", "Board", ")", ".", "Executives", "primary", "office", "location", "shall", "be", "in", "the", "Los", "Angeles", ",", "California", "area", ".", "The", "Company", "reserves", "the", "right", "to", "reasonably", "require", "Executive", "to", "perform", "Executives", "duties", "at", "the", "Companys", "offices", "in", "Irvine", ",", "California", "as", "required", "for", "the", "performance", "of", "his", "duties", "and", "for", "business", "meetings", "with", "Company", "employees", "or", "representatives", "of", "third", "parties", ",", "and", "to", "require", "reasonable", "business", "travel", "."]}
{"id": "10367", "text": "7.2 Termination Without Cause or Resignation for Good Reason. In the event Executives employment with the Company is terminated by the Company without Cause (and other than as a result of Executives death or Disability (as defined below)) or Executive resigns his employment for Good Reason, then provided such termination or resignation constitutes a separation from service (as defined under Treasury Regulation Section 1.409A-1 (h), without regard to any alternative definition thereunder, a Separation from Service), and provided that Executive satisfies the Release Requirement in Section 8 below, the Company shall provide Executive with the following Severance Benefits:", "ner": [[69, 74, "Regulation"]], "tokenized_text": ["7", ".", "2", "Termination", "Without", "Cause", "or", "Resignation", "for", "Good", "Reason", ".", "In", "the", "event", "Executives", "employment", "with", "the", "Company", "is", "terminated", "by", "the", "Company", "without", "Cause", "(", "and", "other", "than", "as", "a", "result", "of", "Executives", "death", "or", "Disability", "(", "as", "defined", "below", ")", ")", "or", "Executive", "resigns", "his", "employment", "for", "Good", "Reason", ",", "then", "provided", "such", "termination", "or", "resignation", "constitutes", "a", "separation", "from", "service", "(", "as", "defined", "under", "Treasury", "Regulation", "Section", "1", ".", "409A-1", "(", "h", ")", ",", "without", "regard", "to", "any", "alternative", "definition", "thereunder", ",", "a", "Separation", "from", "Service", ")", ",", "and", "provided", "that", "Executive", "satisfies", "the", "Release", "Requirement", "in", "Section", "8", "below", ",", "the", "Company", "shall", "provide", "Executive", "with", "the", "following", "Severance", "Benefits", ":"]}
{"id": "10369", "text": "10. Section 409A. It is intended that all of the severance benefits and other payments payable under this Agreement satisfy, to the greatest extent possible, the exemptions from the application of Code Section 409A provided under Treasury Regulations 1.409A-1(b)(4) , 1.409A-1(b)(5) and 1.409A-1(b)(9) , and this Agreement will be construed to the greatest extent possible as consistent with those provisions, and to the extent no so exempt, this Agreement (and any definitions hereunder) will be construed in a manner that complies with Section 409A. For purposes of Code Section 409A (including, without limitation, for purposes of Treasury Regulation Section 1.409A-2(b)(2) (iii)), Executives right to receive any installment payments under this Agreement (whether severance payments, reimbursements or otherwise) shall be treated as a right to receive a series of separate payments and, accordingly, each installment payment hereunder shall at all times be considered a separate and distinct payment. Any reference to termination or similar words shall mean a separation from service under the meaning of Code Section 409A. Notwithstanding any provision to the contrary in this Agreement, if Executive is deemed by the Company at the time of Executives Separation from Service to be a specified employee for purposes of Code Section 409A(a)(2)(B)(i), and if any of the payments upon Separation from Service set forth herein and/or under any other agreement with the Company are deemed to be deferred compensation, then to the extent delayed commencement of any portion of such payments is required in order to avoid a prohibited distribution under Code Section 409A(a)(2)(B)(i) and the related adverse taxation under Section 409A, such payments shall not be provided to Executive prior to the earliest of (i) the expiration of the six-month and one day period measured from the date of Executives Separation from Service with the Company, (ii) the date of Executives death or (iii) such earlier date as permitted under Section 409A without the imposition of adverse taxation. Upon the first business day following the expiration of such applicable Code Section 409A(a)(2)(B)(i) period, all payments deferred pursuant to this Section 10 shall be paid in a lump sum to Executive, and any remaining payments due shall be paid as otherwise provided herein or in the applicable agreement. No interest shall be due on any amounts so deferred. If any severance benefits provided under this Agreement constitutes deferred compensation under Section 409A, for purposes of determining the schedule for payment of the severance benefits, the effective date of the Release will be the sixtieth (60th) date following the Separation From Service, regardless of when the Release actually becomes effective. To the extent required to avoid accelerated taxation and/or tax penalties under Code Section 409A, amounts reimbursable to Executive under this Agreement shall be paid to Executive on or before the last day of the year following the year in which the expense was incurred, amounts shall not be subject to liquidation or exchange for another benefit, and the amount of expenses eligible for reimbursement (and in-kind benefits provided to Executive) during any one year may not effect amounts reimbursable or provided in any subsequent year. The Company makes no representation that any or all of the payments described in this Agreement will be exempt from or comply with Code Section 409A.", "ner": [[35, 37, "Regulation"], [40, 47, "Regulation"]], "tokenized_text": ["10", ".", "Section", "409A", ".", "It", "is", "intended", "that", "all", "of", "the", "severance", "benefits", "and", "other", "payments", "payable", "under", "this", "Agreement", "satisfy", ",", "to", "the", "greatest", "extent", "possible", ",", "the", "exemptions", "from", "the", "application", "of", "Code", "Section", "409A", "provided", "under", "Treasury", "Regulations", "1", ".", "409A-1", "(", "b", ")", "(", "4", ")", ",", "1", ".", "409A-1", "(", "b", ")", "(", "5", ")", "and", "1", ".", "409A-1", "(", "b", ")", "(", "9", ")", ",", "and", "this", "Agreement", "will", "be", "construed", "to", "the", "greatest", "extent", "possible", "as", "consistent", "with", "those", "provisions", ",", "and", "to", "the", "extent", "no", "so", "exempt", ",", "this", "Agreement", "(", "and", "any", "definitions", "hereunder", ")", "will", "be", "construed", "in", "a", "manner", "that", "complies", "with", "Section", "409A", ".", "For", "purposes", "of", "Code", "Section", "409A", "(", "including", ",", "without", "limitation", ",", "for", "purposes", "of", "Treasury", "Regulation", "Section", "1", ".", "409A-2", "(", "b", ")", "(", "2", ")", "(", "iii", ")", ")", ",", "Executives", "right", "to", "receive", "any", "installment", "payments", "under", "this", "Agreement", "(", "whether", "severance", "payments", ",", "reimbursements", "or", "otherwise", ")", "shall", "be", "treated", "as", "a", "right", "to", "receive", "a", "series", "of", "separate", "payments", "and", ",", "accordingly", ",", "each", "installment", "payment", "hereunder", "shall", "at", "all", "times", "be", "considered", "a", "separate", "and", "distinct", "payment", ".", "Any", "reference", "to", "termination", "or", "similar", "words", "shall", "mean", "a", "separation", "from", "service", "under", "the", "meaning", "of", "Code", "Section", "409A", ".", "Notwithstanding", "any", "provision", "to", "the", "contrary", "in", "this", "Agreement", ",", "if", "Executive", "is", "deemed", "by", "the", "Company", "at", "the", "time", "of", "Executives", "Separation", "from", "Service", "to", "be", "a", "specified", "employee", "for", "purposes", "of", "Code", "Section", "409A", "(", "a", ")", "(", "2", ")", "(", "B", ")", "(", "i", ")", ",", "and", "if", "any", "of", "the", "payments", "upon", "Separation", "from", "Service", "set", "forth", "herein", "and", "/", "or", "under", "any", "other", "agreement", "with", "the", "Company", "are", "deemed", "to", "be", "deferred", "compensation", ",", "then", "to", "the", "extent", "delayed", "commencement", "of", "any", "portion", "of", "such", "payments", "is", "required", "in", "order", "to", "avoid", "a", "prohibited", "distribution", "under", "Code", "Section", "409A", "(", "a", ")", "(", "2", ")", "(", "B", ")", "(", "i", ")", "and", "the", "related", "adverse", "taxation", "under", "Section", "409A", ",", "such", "payments", "shall", "not", "be", "provided", "to", "Executive", "prior", "to", "the", "earliest", "of", "(", "i", ")", "the", "expiration", "of", "the", "six-month", "and", "one", "day", "period", "measured", "from", "the", "date", "of", "Executives", "Separation", "from", "Service", "with", "the", "Company", ",", "(", "ii", ")", "the", "date", "of", "Executives", "death", "or", "(", "iii", ")", "such", "earlier", "date", "as", "permitted", "under", "Section", "409A", "without", "the", "imposition", "of", "adverse", "taxation", ".", "Upon", "the", "first", "business", "day", "following", "the", "expiration", "of", "such", "applicable", "Code", "Section", "409A", "(", "a", ")", "(", "2", ")", "(", "B", ")", "(", "i", ")", "period", ",", "all", "payments", "deferred", "pursuant", "to", "this", "Section", "10", "shall", "be", "paid", "in", "a", "lump", "sum", "to", "Executive", ",", "and", "any", "remaining", "payments", "due", "shall", "be", "paid", "as", "otherwise", "provided", "herein", "or", "in", "the", "applicable", "agreement", ".", "No", "interest", "shall", "be", "due", "on", "any", "amounts", "so", "deferred", ".", "If", "any", "severance", "benefits", "provided", "under", "this", "Agreement", "constitutes", "deferred", "compensation", "under", "Section", "409A", ",", "for", "purposes", "of", "determining", "the", "schedule", "for", "payment", "of", "the", "severance", "benefits", ",", "the", "effective", "date", "of", "the", "Release", "will", "be", "the", "sixtieth", "(", "60th", ")", "date", "following", "the", "Separation", "From", "Service", ",", "regardless", "of", "when", "the", "Release", "actually", "becomes", "effective", ".", "To", "the", "extent", "required", "to", "avoid", "accelerated", "taxation", "and", "/", "or", "tax", "penalties", "under", "Code", "Section", "409A", ",", "amounts", "reimbursable", "to", "Executive", "under", "this", "Agreement", "shall", "be", "paid", "to", "Executive", "on", "or", "before", "the", "last", "day", "of", "the", "year", "following", "the", "year", "in", "which", "the", "expense", "was", "incurred", ",", "amounts", "shall", "not", "be", "subject", "to", "liquidation", "or", "exchange", "for", "another", "benefit", ",", "and", "the", "amount", "of", "expenses", "eligible", "for", "reimbursement", "(", "and", "in-kind", "benefits", "provided", "to", "Executive", ")", "during", "any", "one", "year", "may", "not", "effect", "amounts", "reimbursable", "or", "provided", "in", "any", "subsequent", "year", ".", "The", "Company", "makes", "no", "representation", "that", "any", "or", "all", "of", "the", "payments", "described", "in", "this", "Agreement", "will", "be", "exempt", "from", "or", "comply", "with", "Code", "Section", "409A", "."]}
{"id": "10370", "text": "12.2 Good Reason. For purposes of this Agreement, Executive shall have Good Reason for resignation from employment with the Company if any of the following actions are taken by the Company without Executives prior written consent: (i) a reduction in Executives Base Salary, other than a reduction by less than ten percent ( 10% ) of the Executives highest Base Salary pursuant to a salary reduction program applicable generally to the Companys senior executives; (ii) a material reduction in Executives duties (including responsibilities and/or authorities) or reporting lines; (iii) a relocation of Executives principal place of employment to a place that increases Executives one-way commute by more than thirty (30) miles as compared to Executives then-current principal place of employment immediately prior to such relocation (excluding any relocation to the Companys Irvine, California office); or (iv) a material breach of this Agreement. In order for Executive to resign for Good Reason, each of the following requirements must be met: (w) Executive must provide written notice to the Companys Board within 60 days after the first occurrence of the event giving rise to Good Reason setting forth the basis for Executives resignation, (x) Executive must allow the Company at least calendar 30 days from receipt of such written notice to cure such event, (y) such event is not reasonably cured by the Company within such 30 calendar day period (the Cure Period), and (z) Executive must resign from all positions Executive then holds with the Company not later than calendar 30 days after the expiration of the Cure Period.", "ner": [[61, 62, "Percentage"], [153, 155, "Address"]], "tokenized_text": ["12", ".", "2", "Good", "Reason", ".", "For", "purposes", "of", "this", "Agreement", ",", "Executive", "shall", "have", "Good", "Reason", "for", "resignation", "from", "employment", "with", "the", "Company", "if", "any", "of", "the", "following", "actions", "are", "taken", "by", "the", "Company", "without", "Executives", "prior", "written", "consent", ":", "(", "i", ")", "a", "reduction", "in", "Executives", "Base", "Salary", ",", "other", "than", "a", "reduction", "by", "less", "than", "ten", "percent", "(", "10", "%", ")", "of", "the", "Executives", "highest", "Base", "Salary", "pursuant", "to", "a", "salary", "reduction", "program", "applicable", "generally", "to", "the", "Companys", "senior", "executives", ";", "(", "ii", ")", "a", "material", "reduction", "in", "Executives", "duties", "(", "including", "responsibilities", "and", "/", "or", "authorities", ")", "or", "reporting", "lines", ";", "(", "iii", ")", "a", "relocation", "of", "Executives", "principal", "place", "of", "employment", "to", "a", "place", "that", "increases", "Executives", "one-way", "commute", "by", "more", "than", "thirty", "(", "30", ")", "miles", "as", "compared", "to", "Executives", "then-current", "principal", "place", "of", "employment", "immediately", "prior", "to", "such", "relocation", "(", "excluding", "any", "relocation", "to", "the", "Companys", "Irvine", ",", "California", "office", ")", ";", "or", "(", "iv", ")", "a", "material", "breach", "of", "this", "Agreement", ".", "In", "order", "for", "Executive", "to", "resign", "for", "Good", "Reason", ",", "each", "of", "the", "following", "requirements", "must", "be", "met", ":", "(", "w", ")", "Executive", "must", "provide", "written", "notice", "to", "the", "Companys", "Board", "within", "60", "days", "after", "the", "first", "occurrence", "of", "the", "event", "giving", "rise", "to", "Good", "Reason", "setting", "forth", "the", "basis", "for", "Executives", "resignation", ",", "(", "x", ")", "Executive", "must", "allow", "the", "Company", "at", "least", "calendar", "30", "days", "from", "receipt", "of", "such", "written", "notice", "to", "cure", "such", "event", ",", "(", "y", ")", "such", "event", "is", "not", "reasonably", "cured", "by", "the", "Company", "within", "such", "30", "calendar", "day", "period", "(", "the", "Cure", "Period", ")", ",", "and", "(", "z", ")", "Executive", "must", "resign", "from", "all", "positions", "Executive", "then", "holds", "with", "the", "Company", "not", "later", "than", "calendar", "30", "days", "after", "the", "expiration", "of", "the", "Cure", "Period", "."]}
{"id": "10371", "text": "13. Dispute Resolution. To ensure the rapid and economical resolution of disputes that may arise in connection with Executives employment with the Company, Executive and the Company agree that any and all disputes, claims, or causes of action, in law or equity, including but not limited to statutory claims, arising from or relating to the enforcement, breach, performance, or interpretation of this Agreement, Executives employment with the Company, or the termination of Executives employment with the Company, will be resolved pursuant to the Federal Arbitration Act , 9 U.S.C. 1-16 , and to the fullest extent permitted by law, by final, binding and confidential arbitration conducted in Irvine, California by JAMS, Inc. (JAMS) or its successors by a single arbitrator. Both Executive and the Company acknowledge that by agreeing to this arbitration procedure, they each waive the right to resolve any such dispute through a trial by jury or judge or administrative proceeding. Any such arbitration proceeding will be governed by JAMS then applicable rules and procedures for employment disputes, which will be provided to Executive upon request. In any such proceeding, the arbitrator shall: (i) have the authority to compel adequate discovery for the resolution of the dispute and to award such relief as would otherwise be permitted by law;", "ner": [[97, 99, "Act"], [101, 108, "Regulation"], [128, 130, "Address"], [132, 135, "Parties"]], "tokenized_text": ["13", ".", "Dispute", "Resolution", ".", "To", "ensure", "the", "rapid", "and", "economical", "resolution", "of", "disputes", "that", "may", "arise", "in", "connection", "with", "Executives", "employment", "with", "the", "Company", ",", "Executive", "and", "the", "Company", "agree", "that", "any", "and", "all", "disputes", ",", "claims", ",", "or", "causes", "of", "action", ",", "in", "law", "or", "equity", ",", "including", "but", "not", "limited", "to", "statutory", "claims", ",", "arising", "from", "or", "relating", "to", "the", "enforcement", ",", "breach", ",", "performance", ",", "or", "interpretation", "of", "this", "Agreement", ",", "Executives", "employment", "with", "the", "Company", ",", "or", "the", "termination", "of", "Executives", "employment", "with", "the", "Company", ",", "will", "be", "resolved", "pursuant", "to", "the", "Federal", "Arbitration", "Act", ",", "9", "U", ".", "S", ".", "C", ".", "1-16", ",", "and", "to", "the", "fullest", "extent", "permitted", "by", "law", ",", "by", "final", ",", "binding", "and", "confidential", "arbitration", "conducted", "in", "Irvine", ",", "California", "by", "JAMS", ",", "Inc", ".", "(", "JAMS", ")", "or", "its", "successors", "by", "a", "single", "arbitrator", ".", "Both", "Executive", "and", "the", "Company", "acknowledge", "that", "by", "agreeing", "to", "this", "arbitration", "procedure", ",", "they", "each", "waive", "the", "right", "to", "resolve", "any", "such", "dispute", "through", "a", "trial", "by", "jury", "or", "judge", "or", "administrative", "proceeding", ".", "Any", "such", "arbitration", "proceeding", "will", "be", "governed", "by", "JAMS", "then", "applicable", "rules", "and", "procedures", "for", "employment", "disputes", ",", "which", "will", "be", "provided", "to", "Executive", "upon", "request", ".", "In", "any", "such", "proceeding", ",", "the", "arbitrator", "shall", ":", "(", "i", ")", "have", "the", "authority", "to", "compel", "adequate", "discovery", "for", "the", "resolution", "of", "the", "dispute", "and", "to", "award", "such", "relief", "as", "would", "otherwise", "be", "permitted", "by", "law", ";"]}
{"id": "10372", "text": "/s/ Kevin M. Farr", "ner": [[3, 6, "Parties"]], "tokenized_text": ["/", "s", "/", "Kevin", "M", ".", "Farr"]}
{"id": "10373", "text": "KEVIN M. FARR ---|--- -10-", "ner": [], "tokenized_text": ["KEVIN", "M", ".", "FARR", "-", "-", "-", "|", "-", "-", "-", "-", "10", "-"]}
{"id": "10375", "text": "WHEREAS, the Company desires to continue to employ the Executive as President , Products& Technologies Division of the Company and wishes to be assured of his continued services on the terms and conditions hereinafter set forth; and", "ner": [[12, 12, "Role"]], "tokenized_text": ["WHEREAS", ",", "the", "Company", "desires", "to", "continue", "to", "employ", "the", "Executive", "as", "President", ",", "Products", "&", "amp", ";", "Technologies", "Division", "of", "the", "Company", "and", "wishes", "to", "be", "assured", "of", "his", "continued", "services", "on", "the", "terms", "and", "conditions", "hereinafter", "set", "forth", ";", "and"]}
{"id": "10383", "text": "1. In consideration of the payments and benefits to be made under the Employment Agreement, dated as of September6, 2017 (the Employment Agreement), to which James M. Kohosek (the Executive) and Evoqua Water Technologies LLC , a Delaware limited liability company (the Company) (each of the Executive and the Company, a Party and collectively, the Parties) are parties, the sufficiency of which the Executive acknowledges, the Executive, with the intention of binding himself and his heirs, executors, administrators and assigns, does hereby release, remise, acquit and forever discharge Holdings (as defined in the Employment Agreement), the Company and each of its and their subsidiaries and affiliates (the Company Affiliated Group), their present and former officers, directors, executives, shareholders, agents, attorneys, employees and employee benefit plans (and the fiduciaries thereof), and the successors, predecessors and assigns of each of the foregoing (collectively, the Company Released Parties), of and from any and all claims, actions, causes of action, complaints, charges, demands, rights, damages, debts, sums of money, accounts, financial obligations, suits, expenses, attorneys fees and liabilities of whatever kind or nature in law, equity or otherwise, whether accrued, absolute, contingent, unliquidated or otherwise and whether now known or unknown, suspected or unsuspected, which the Executive, individually or as a member of a class, now has, owns or holds, or has at any time heretofore had, owned or held, arising on or prior to the date hereof, against any Company Released Party that arises out of, or relates to, the Employment Agreement, the Executives employment with the Company or any of its subsidiaries and affiliates, or any termination of such employment, including claims (i)for severance or vacation benefits, unpaid wages, salary or incentive payments, (ii)for breach of contract, wrongful discharge, impairment of economic opportunity, defamation, intentional infliction of emotional harm or other tort, (iii)for any violation of applicable state and local labor and employment laws (including, without limitation, all laws concerning unlawful and unfair labor and employment practices) and (iv)for employment discrimination under any applicable federal, state or local statute, provision, order or regulation, and including, without limitation, any claim under Title VII of the Civil Rights Act of 1964 (Title VII), the Civil Rights Act of 1988 , the Fair Labor Standards Act , the Americans with Disabilities Act ( ADA ) , the Employee Retirement Income Security Act of 1974 , as amended ( ERISA ), the Age Discrimination in Employment Act ( ADEA ) , and any similar or analogous state statute, excepting only:", "ner": [[14, 15, "Title"], [20, 22, "EffectiveDate"], [31, 34, "Parties"], [40, 43, "Parties"], [458, 462, "Act"], [469, 473, "Act"], [476, 479, "Act"], [482, 485, "Act"], [491, 497, "Act"], [506, 510, "Act"]], "tokenized_text": ["1", ".", "In", "consideration", "of", "the", "payments", "and", "benefits", "to", "be", "made", "under", "the", "Employment", "Agreement", ",", "dated", "as", "of", "September6", ",", "2017", "(", "the", "Employment", "Agreement", ")", ",", "to", "which", "James", "M", ".", "Kohosek", "(", "the", "Executive", ")", "and", "Evoqua", "Water", "Technologies", "LLC", ",", "a", "Delaware", "limited", "liability", "company", "(", "the", "Company", ")", "(", "each", "of", "the", "Executive", "and", "the", "Company", ",", "a", "Party", "and", "collectively", ",", "the", "Parties", ")", "are", "parties", ",", "the", "sufficiency", "of", "which", "the", "Executive", "acknowledges", ",", "the", "Executive", ",", "with", "the", "intention", "of", "binding", "himself", "and", "his", "heirs", ",", "executors", ",", "administrators", "and", "assigns", ",", "does", "hereby", "release", ",", "remise", ",", "acquit", "and", "forever", "discharge", "Holdings", "(", "as", "defined", "in", "the", "Employment", "Agreement", ")", ",", "the", "Company", "and", "each", "of", "its", "and", "their", "subsidiaries", "and", "affiliates", "(", "the", "Company", "Affiliated", "Group", ")", ",", "their", "present", "and", "former", "officers", ",", "directors", ",", "executives", ",", "shareholders", ",", "agents", ",", "attorneys", ",", "employees", "and", "employee", "benefit", "plans", "(", "and", "the", "fiduciaries", "thereof", ")", ",", "and", "the", "successors", ",", "predecessors", "and", "assigns", "of", "each", "of", "the", "foregoing", "(", "collectively", ",", "the", "Company", "Released", "Parties", ")", ",", "of", "and", "from", "any", "and", "all", "claims", ",", "actions", ",", "causes", "of", "action", ",", "complaints", ",", "charges", ",", "demands", ",", "rights", ",", "damages", ",", "debts", ",", "sums", "of", "money", ",", "accounts", ",", "financial", "obligations", ",", "suits", ",", "expenses", ",", "attorneys", "fees", "and", "liabilities", "of", "whatever", "kind", "or", "nature", "in", "law", ",", "equity", "or", "otherwise", ",", "whether", "accrued", ",", "absolute", ",", "contingent", ",", "unliquidated", "or", "otherwise", "and", "whether", "now", "known", "or", "unknown", ",", "suspected", "or", "unsuspected", ",", "which", "the", "Executive", ",", "individually", "or", "as", "a", "member", "of", "a", "class", ",", "now", "has", ",", "owns", "or", "holds", ",", "or", "has", "at", "any", "time", "heretofore", "had", ",", "owned", "or", "held", ",", "arising", "on", "or", "prior", "to", "the", "date", "hereof", ",", "against", "any", "Company", "Released", "Party", "that", "arises", "out", "of", ",", "or", "relates", "to", ",", "the", "Employment", "Agreement", ",", "the", "Executives", "employment", "with", "the", "Company", "or", "any", "of", "its", "subsidiaries", "and", "affiliates", ",", "or", "any", "termination", "of", "such", "employment", ",", "including", "claims", "(", "i", ")", "for", "severance", "or", "vacation", "benefits", ",", "unpaid", "wages", ",", "salary", "or", "incentive", "payments", ",", "(", "ii", ")", "for", "breach", "of", "contract", ",", "wrongful", "discharge", ",", "impairment", "of", "economic", "opportunity", ",", "defamation", ",", "intentional", "infliction", "of", "emotional", "harm", "or", "other", "tort", ",", "(", "iii", ")", "for", "any", "violation", "of", "applicable", "state", "and", "local", "labor", "and", "employment", "laws", "(", "including", ",", "without", "limitation", ",", "all", "laws", "concerning", "unlawful", "and", "unfair", "labor", "and", "employment", "practices", ")", "and", "(", "iv", ")", "for", "employment", "discrimination", "under", "any", "applicable", "federal", ",", "state", "or", "local", "statute", ",", "provision", ",", "order", "or", "regulation", ",", "and", "including", ",", "without", "limitation", ",", "any", "claim", "under", "Title", "VII", "of", "the", "Civil", "Rights", "Act", "of", "1964", "(", "Title", "VII", ")", ",", "the", "Civil", "Rights", "Act", "of", "1988", ",", "the", "Fair", "Labor", "Standards", "Act", ",", "the", "Americans", "with", "Disabilities", "Act", "(", "ADA", ")", ",", "the", "Employee", "Retirement", "Income", "Security", "Act", "of", "1974", ",", "as", "amended", "(", "ERISA", ")", ",", "the", "Age", "Discrimination", "in", "Employment", "Act", "(", "ADEA", ")", ",", "and", "any", "similar", "or", "analogous", "state", "statute", ",", "excepting", "only", ":"]}
{"id": "10386", "text": "Name: James M. Kohosek", "ner": [], "tokenized_text": ["Name", ":", "James", "M", ".", "Kohosek"]}
{"id": "10387", "text": "THIS EXECUTIVE EMPLOYMENT AGREEMENT (Agreement) is effective as of October12, 2017 (the Effective Date) by and between WatchGuard, Inc. (the Company) and Robert Vanman (the Executive). The Company and the Executive shall be referred to herein individually as a Party and collectively as the Parties.", "ner": [[2, 3, "Title"], [11, 13, "EffectiveDate"], [22, 25, "Parties"], [31, 32, "Parties"]], "tokenized_text": ["THIS", "EXECUTIVE", "EMPLOYMENT", "AGREEMENT", "(", "Agreement", ")", "is", "effective", "as", "of", "October12", ",", "2017", "(", "the", "Effective", "Date", ")", "by", "and", "between", "WatchGuard", ",", "Inc", ".", "(", "the", "Company", ")", "and", "Robert", "Vanman", "(", "the", "Executive", ")", ".", "The", "Company", "and", "the", "Executive", "shall", "be", "referred", "to", "herein", "individually", "as", "a", "Party", "and", "collectively", "as", "the", "Parties", "."]}
{"id": "10388", "text": "A. Position and Responsibilities. The Executive shall serve in the position of Chief Executive Officer ( CEO ) of the Company and shall perform services for the Company as requested or as needed to perform the Executives job. The duties of the Executive shall be those duties which can reasonably be expected to be performed by a person in such position, and while serving as CEO , the Executive shall have the authority commensurate with the position of chief executive officer of a publicly held company in the UnitedStates. The Executive shall report directly to the Companys Board of Directors (the Board) and shall take direction from the Chairman of the Board or the Chairmans designee.", "ner": [[14, 16, "Role"], [18, 18, "Role"], [69, 69, "Role"], [82, 84, "Role"], [115, 115, "Role"]], "tokenized_text": ["A", ".", "Position", "and", "Responsibilities", ".", "The", "Executive", "shall", "serve", "in", "the", "position", "of", "Chief", "Executive", "Officer", "(", "CEO", ")", "of", "the", "Company", "and", "shall", "perform", "services", "for", "the", "Company", "as", "requested", "or", "as", "needed", "to", "perform", "the", "Executives", "job", ".", "The", "duties", "of", "the", "Executive", "shall", "be", "those", "duties", "which", "can", "reasonably", "be", "expected", "to", "be", "performed", "by", "a", "person", "in", "such", "position", ",", "and", "while", "serving", "as", "CEO", ",", "the", "Executive", "shall", "have", "the", "authority", "commensurate", "with", "the", "position", "of", "chief", "executive", "officer", "of", "a", "publicly", "held", "company", "in", "the", "UnitedStates", ".", "The", "Executive", "shall", "report", "directly", "to", "the", "Companys", "Board", "of", "Directors", "(", "the", "Board", ")", "and", "shall", "take", "direction", "from", "the", "Chairman", "of", "the", "Board", "or", "the", "Chairmans", "designee", "."]}
{"id": "10389", "text": "A. Base Salary. The Company shall pay the Executive an aggregate base salary in the amount of Four Hundred Twenty Five Thousand dollars ( $425,000 ) per year (the Base Salary), prorated for any partial months of employment and less applicable withholdings. The Base Salary may be reviewed annually by the Board and may be increased (but not decreased without the Executives consent) from time to time. The Base Salary shall be payable in accordance with the Companys current payroll process and modified to be consistent with any change in the Companys policy.", "ner": [[26, 29, "Salary"]], "tokenized_text": ["A", ".", "Base", "Salary", ".", "The", "Company", "shall", "pay", "the", "Executive", "an", "aggregate", "base", "salary", "in", "the", "amount", "of", "Four", "Hundred", "Twenty", "Five", "Thousand", "dollars", "(", "$", "425", ",", "000", ")", "per", "year", "(", "the", "Base", "Salary", ")", ",", "prorated", "for", "any", "partial", "months", "of", "employment", "and", "less", "applicable", "withholdings", ".", "The", "Base", "Salary", "may", "be", "reviewed", "annually", "by", "the", "Board", "and", "may", "be", "increased", "(", "but", "not", "decreased", "without", "the", "Executives", "consent", ")", "from", "time", "to", "time", ".", "The", "Base", "Salary", "shall", "be", "payable", "in", "accordance", "with", "the", "Companys", "current", "payroll", "process", "and", "modified", "to", "be", "consistent", "with", "any", "change", "in", "the", "Companys", "policy", "."]}
{"id": "10393", "text": "(b) As CEO of the Company, the Executive has responsibility for the Companys operations throughout the United States, Canada, and worldwide and access to the highest levels of the Companys Confidential Information and business goodwill. Therefore, the Restricted Area means the United States, Canada, and any other geographical area in which the Company operates, or materially contemplated operating, during the Executives employment and for which the Executive had any responsibility or about which the Executive received Confidential Information.", "ner": [[4, 4, "Role"]], "tokenized_text": ["(", "b", ")", "As", "CEO", "of", "the", "Company", ",", "the", "Executive", "has", "responsibility", "for", "the", "Companys", "operations", "throughout", "the", "United", "States", ",", "Canada", ",", "and", "worldwide", "and", "access", "to", "the", "highest", "levels", "of", "the", "Companys", "Confidential", "Information", "and", "business", "goodwill", ".", "Therefore", ",", "the", "Restricted", "Area", "means", "the", "United", "States", ",", "Canada", ",", "and", "any", "other", "geographical", "area", "in", "which", "the", "Company", "operates", ",", "or", "materially", "contemplated", "operating", ",", "during", "the", "Executives", "employment", "and", "for", "which", "the", "Executive", "had", "any", "responsibility", "or", "about", "which", "the", "Executive", "received", "Confidential", "Information", "."]}
{"id": "10395", "text": "(ii) If the Capped Amount is greater than the Net Uncapped Amount, the Executive shall be entitled to receive or commence to receive Payments equal to the Capped Amount; or if the Net Uncapped Amount is greater than the Capped Amount the Executive shall be entitled to receive or commence to receive Payments equal to the Uncapped Payments. To arrive at the Capped Amount, cash payments shall be reduced before equity-based compensation or other non-cash compensation or benefits, in each case in reverse order beginning with payments or benefits that are to be paid the furthest in time from consummation of the transaction that is subject to Code Section280G, provided that, in the case of all the foregoing payments, compensation and benefits, all amounts that are not subject to calculation under Treas. Reg. 1.280G-1 , Q &A-24(b) or (c)shall be reduced before any amount that are subject to calculation under Treas. Reg. 1.280G-1 , Q &A-24(b) or (c)as would result in no portion of the payments, compensation or benefits being considered excess parachute payments under Code Section280G. All reductions hereunder shall also be done in a manner which complies with Code Section409A.", "ner": [[114, 115, "Regulation"], [142, 148, "Regulation"]], "tokenized_text": ["(", "ii", ")", "If", "the", "Capped", "Amount", "is", "greater", "than", "the", "Net", "Uncapped", "Amount", ",", "the", "Executive", "shall", "be", "entitled", "to", "receive", "or", "commence", "to", "receive", "Payments", "equal", "to", "the", "Capped", "Amount", ";", "or", "if", "the", "Net", "Uncapped", "Amount", "is", "greater", "than", "the", "Capped", "Amount", "the", "Executive", "shall", "be", "entitled", "to", "receive", "or", "commence", "to", "receive", "Payments", "equal", "to", "the", "Uncapped", "Payments", ".", "To", "arrive", "at", "the", "Capped", "Amount", ",", "cash", "payments", "shall", "be", "reduced", "before", "equity-based", "compensation", "or", "other", "non-cash", "compensation", "or", "benefits", ",", "in", "each", "case", "in", "reverse", "order", "beginning", "with", "payments", "or", "benefits", "that", "are", "to", "be", "paid", "the", "furthest", "in", "time", "from", "consummation", "of", "the", "transaction", "that", "is", "subject", "to", "Code", "Section280G", ",", "provided", "that", ",", "in", "the", "case", "of", "all", "the", "foregoing", "payments", ",", "compensation", "and", "benefits", ",", "all", "amounts", "that", "are", "not", "subject", "to", "calculation", "under", "Treas", ".", "Reg", ".", "1", ".", "280G-1", ",", "Q", "&", "amp", ";", "A-24", "(", "b", ")", "or", "(", "c", ")", "shall", "be", "reduced", "before", "any", "amount", "that", "are", "subject", "to", "calculation", "under", "Treas", ".", "Reg", ".", "1", ".", "280G-1", ",", "Q", "&", "amp", ";", "A-24", "(", "b", ")", "or", "(", "c", ")", "as", "would", "result", "in", "no", "portion", "of", "the", "payments", ",", "compensation", "or", "benefits", "being", "considered", "excess", "parachute", "payments", "under", "Code", "Section280G", ".", "All", "reductions", "hereunder", "shall", "also", "be", "done", "in", "a", "manner", "which", "complies", "with", "Code", "Section409A", "."]}
{"id": "10397", "text": "| | | | Robert Vanman | |", "ner": [], "tokenized_text": ["|", "|", "|", "|", "Robert", "Vanman", "|", "|"]}
{"id": "10398", "text": "This Employment Agreement (this Agreement), dated October4, 2017 , is by and between Cedar Fair, L.P . , a publicly traded Delaware limited partnership, Cedar Fair Management, Inc. , an Ohio Corporation (Cedar Fair Management), Magnum Management Corporation , an Ohio corporation (Magnum), and Richard A. Zimmerman (the Executive).", "ner": [[1, 2, "Title"], [9, 11, "EffectiveDate"], [17, 23, "Parties"], [32, 37, "Parties"], [48, 50, "Parties"], [60, 63, "Parties"]], "tokenized_text": ["This", "Employment", "Agreement", "(", "this", "Agreement", ")", ",", "dated", "October4", ",", "2017", ",", "is", "by", "and", "between", "Cedar", "Fair", ",", "L", ".", "P", ".", ",", "a", "publicly", "traded", "Delaware", "limited", "partnership", ",", "Cedar", "Fair", "Management", ",", "Inc", ".", ",", "an", "Ohio", "Corporation", "(", "Cedar", "Fair", "Management", ")", ",", "Magnum", "Management", "Corporation", ",", "an", "Ohio", "corporation", "(", "Magnum", ")", ",", "and", "Richard", "A", ".", "Zimmerman", "(", "the", "Executive", ")", "."]}
{"id": "10399", "text": "WHEREAS, The Board of Directors of Cedar Fair Management (the Board) and its Chief Executive Office r have directed Cedar Fair to enter into an employment agreement with Executive to set the terms and conditions of employment;", "ner": [[3, 5, "Parties"], [7, 9, "Parties"], [16, 19, "Role"], [28, 29, "Title"]], "tokenized_text": ["WHEREAS", ",", "The", "Board", "of", "Directors", "of", "Cedar", "Fair", "Management", "(", "the", "Board", ")", "and", "its", "Chief", "Executive", "Office", "r", "have", "directed", "Cedar", "Fair", "to", "enter", "into", "an", "employment", "agreement", "with", "Executive", "to", "set", "the", "terms", "and", "conditions", "of", "employment", ";"]}
{"id": "10401", "text": "2\\. Duties. During the Employment Period, Executive shall serve on a full-time basis and perform services in a capacity and in a manner consistent with Executives position for the Company. Executive shall have the title of President and Chief Executive Office r commencing as of the Effective Date and shall have such duties, authorities and responsibilities as are consistent with such position, and as the Board may designate from time to time while the Executive serves as the President and Chief Executive Office r of the Company. While Executive is President and Chief Executive Office r of the Company Executive will report directly to the Board; Executive shall devote substantially all of Executives business time and attention and Executives best efforts (excepting vacation time, holidays, sick days and periods of disability) to Executives employment and service with the Company; provided, that this Section2 shall not be interpreted as prohibiting Executive from (i)managing Executives personal investments (so long as such investment activities are of a passive nature), (ii)engaging in charitable or civic activities, (iii)participating on boards of directors or similar bodies of non-profit organizations, or (iv)subject to approval by the Board in its sole discretion, participating on boards of directors", "ner": [[41, 41, "Role"], [43, 46, "Role"], [87, 90, "Role"], [100, 103, "Role"]], "tokenized_text": ["2", "\\", ".", "Duties", ".", "During", "the", "Employment", "Period", ",", "Executive", "shall", "serve", "on", "a", "full-time", "basis", "and", "perform", "services", "in", "a", "capacity", "and", "in", "a", "manner", "consistent", "with", "Executives", "position", "for", "the", "Company", ".", "Executive", "shall", "have", "the", "title", "of", "President", "and", "Chief", "Executive", "Office", "r", "commencing", "as", "of", "the", "Effective", "Date", "and", "shall", "have", "such", "duties", ",", "authorities", "and", "responsibilities", "as", "are", "consistent", "with", "such", "position", ",", "and", "as", "the", "Board", "may", "designate", "from", "time", "to", "time", "while", "the", "Executive", "serves", "as", "the", "President", "and", "Chief", "Executive", "Office", "r", "of", "the", "Company", ".", "While", "Executive", "is", "President", "and", "Chief", "Executive", "Office", "r", "of", "the", "Company", "Executive", "will", "report", "directly", "to", "the", "Board", ";", "Executive", "shall", "devote", "substantially", "all", "of", "Executives", "business", "time", "and", "attention", "and", "Executives", "best", "efforts", "(", "excepting", "vacation", "time", ",", "holidays", ",", "sick", "days", "and", "periods", "of", "disability", ")", "to", "Executives", "employment", "and", "service", "with", "the", "Company", ";", "provided", ",", "that", "this", "Section2", "shall", "not", "be", "interpreted", "as", "prohibiting", "Executive", "from", "(", "i", ")", "managing", "Executives", "personal", "investments", "(", "so", "long", "as", "such", "investment", "activities", "are", "of", "a", "passive", "nature", ")", ",", "(", "ii", ")", "engaging", "in", "charitable", "or", "civic", "activities", ",", "(", "iii", ")", "participating", "on", "boards", "of", "directors", "or", "similar", "bodies", "of", "non-profit", "organizations", ",", "or", "(", "iv", ")", "subject", "to", "approval", "by", "the", "Board", "in", "its", "sole", "discretion", ",", "participating", "on", "boards", "of", "directors"]}
{"id": "10405", "text": "B. Maximum opportunity will be 172.5% of Base Salary (computed as 150% of 115% );", "ner": [[6, 9, "Percentage"], [16, 17, "Percentage"], [19, 20, "Percentage"]], "tokenized_text": ["B", ".", "Maximum", "opportunity", "will", "be", "172", ".", "5", "%", "of", "Base", "Salary", "(", "computed", "as", "150", "%", "of", "115", "%", ")", ";"]}
{"id": "10406", "text": "(b) (iii)If such termination occurs following a Disability to the extent any such termination of employment occurs pursuant to Section5.2 (Disability), monetary payments actually received by the Executive from a bona fide short-term or long-term disability plan maintained by the Company shall be used to reduce any payment made by the Company pursuant to this provision on a dollar for dollar basis; provided that: (w)the disability plan payments qualify as disability pay under Treasury Regulation Section31.3121(v)(2)-1(b)(4)(iv)(C) ; (x)such reduction does not otherwise affect the time of payment of such Base Salary or the provision of benefits; (y)the disability plan covers a substantial number of employees and, was in effect before Executive became Disabled; and (z)any subsequent amendment of such plan or any change in the benefits payable under such plan results from actions taken by an independent third party or, if taken by Cedar Fair, that they are generally applicable to a substantial number of other employees;", "ner": [[24, 26, "Regulation"], [88, 92, "Regulation"]], "tokenized_text": ["(", "b", ")", "(", "iii", ")", "If", "such", "termination", "occurs", "following", "a", "Disability", "to", "the", "extent", "any", "such", "termination", "of", "employment", "occurs", "pursuant", "to", "Section5", ".", "2", "(", "Disability", ")", ",", "monetary", "payments", "actually", "received", "by", "the", "Executive", "from", "a", "bona", "fide", "short-term", "or", "long-term", "disability", "plan", "maintained", "by", "the", "Company", "shall", "be", "used", "to", "reduce", "any", "payment", "made", "by", "the", "Company", "pursuant", "to", "this", "provision", "on", "a", "dollar", "for", "dollar", "basis", ";", "provided", "that", ":", "(", "w", ")", "the", "disability", "plan", "payments", "qualify", "as", "disability", "pay", "under", "Treasury", "Regulation", "Section31", ".", "3121", "(", "v", ")", "(", "2", ")", "-", "1", "(", "b", ")", "(", "4", ")", "(", "iv", ")", "(", "C", ")", ";", "(", "x", ")", "such", "reduction", "does", "not", "otherwise", "affect", "the", "time", "of", "payment", "of", "such", "Base", "Salary", "or", "the", "provision", "of", "benefits", ";", "(", "y", ")", "the", "disability", "plan", "covers", "a", "substantial", "number", "of", "employees", "and", ",", "was", "in", "effect", "before", "Executive", "became", "Disabled", ";", "and", "(", "z", ")", "any", "subsequent", "amendment", "of", "such", "plan", "or", "any", "change", "in", "the", "benefits", "payable", "under", "such", "plan", "results", "from", "actions", "taken", "by", "an", "independent", "third", "party", "or", ",", "if", "taken", "by", "Cedar", "Fair", ",", "that", "they", "are", "generally", "applicable", "to", "a", "substantial", "number", "of", "other", "employees", ";"]}
{"id": "10409", "text": "(b) Change in Control shall mean a change in the ownership of the Company, a change in effective control of the Company, or a change in the ownership of a substantial portion of the assets of the Company under Treasury Regulations 1.409A -3(i)(5) , or any successor provision.", "ner": [[43, 52, "Regulation"]], "tokenized_text": ["(", "b", ")", "Change", "in", "Control", "shall", "mean", "a", "change", "in", "the", "ownership", "of", "the", "Company", ",", "a", "change", "in", "effective", "control", "of", "the", "Company", ",", "or", "a", "change", "in", "the", "ownership", "of", "a", "substantial", "portion", "of", "the", "assets", "of", "the", "Company", "under", "Treasury", "Regulations", "1", ".", "409A", "-", "3", "(", "i", ")", "(", "5", ")", ",", "or", "any", "successor", "provision", "."]}
{"id": "10410", "text": "(e) Cash Compensation shall mean, with respect to any calendar year, as (i)the total salary payable in such calendar year, (ii)the target Annual Cash Incentive compensation with respect to such calendar year, notwithstanding the fact that a portion of such bonuses may be paid to the Executive by March15 of the following calendar year in compliance with the short-term deferral rule under Code Section409A (as defined in Section12.7), and (iii)respect to any multi-year cash bonuses, the amount actually paid in such calendar year. For the avoidance of doubt, the term Cash Compensation does not include payments or benefits to the Executive under any employee benefit or fringe benefit plan, program, or arrangement or awards or payments under the Cedar Fair, L.P . Amended and Restated Senior Management Long-Term Incentive Compensation Plan, the Cedar Fair, L.P . Amended and Restated 2000 Equity Incentive Plan, or the Cedar Fair, L.P . Amended and Restated Supplemental Retirement Program, as such plans, programs, or arrangements currently exist or are hereafter amended.", "ner": [[74, 75, "Regulation"], [143, 149, "Parties"], [161, 167, "Parties"], [178, 184, "Parties"]], "tokenized_text": ["(", "e", ")", "Cash", "Compensation", "shall", "mean", ",", "with", "respect", "to", "any", "calendar", "year", ",", "as", "(", "i", ")", "the", "total", "salary", "payable", "in", "such", "calendar", "year", ",", "(", "ii", ")", "the", "target", "Annual", "Cash", "Incentive", "compensation", "with", "respect", "to", "such", "calendar", "year", ",", "notwithstanding", "the", "fact", "that", "a", "portion", "of", "such", "bonuses", "may", "be", "paid", "to", "the", "Executive", "by", "March15", "of", "the", "following", "calendar", "year", "in", "compliance", "with", "the", "short-term", "deferral", "rule", "under", "Code", "Section409A", "(", "as", "defined", "in", "Section12", ".", "7", ")", ",", "and", "(", "iii", ")", "respect", "to", "any", "multi-year", "cash", "bonuses", ",", "the", "amount", "actually", "paid", "in", "such", "calendar", "year", ".", "For", "the", "avoidance", "of", "doubt", ",", "the", "term", "Cash", "Compensation", "does", "not", "include", "payments", "or", "benefits", "to", "the", "Executive", "under", "any", "employee", "benefit", "or", "fringe", "benefit", "plan", ",", "program", ",", "or", "arrangement", "or", "awards", "or", "payments", "under", "the", "Cedar", "Fair", ",", "L", ".", "P", ".", "Amended", "and", "Restated", "Senior", "Management", "Long-Term", "Incentive", "Compensation", "Plan", ",", "the", "Cedar", "Fair", ",", "L", ".", "P", ".", "Amended", "and", "Restated", "2000", "Equity", "Incentive", "Plan", ",", "or", "the", "Cedar", "Fair", ",", "L", ".", "P", ".", "Amended", "and", "Restated", "Supplemental", "Retirement", "Program", ",", "as", "such", "plans", ",", "programs", ",", "or", "arrangements", "currently", "exist", "or", "are", "hereafter", "amended", "."]}
{"id": "10411", "text": "8.5 Resignation as an Officer and Director. Upon any termination of Executives employment, Executive shall be deemed to have resigned, to the extent applicable as an officer of the Company, a member of the board of directors or similar body of any of Cedar Fair, L.P .s Affiliates and as a fiduciary of any Company benefit plan. On or immediately following the date of any termination of Executives employment, Executive shall confirm the foregoing by submitting to the Company in writing a confirmation of Executives resignation(s).", "ner": [[49, 55, "Parties"]], "tokenized_text": ["8", ".", "5", "Resignation", "as", "an", "Officer", "and", "Director", ".", "Upon", "any", "termination", "of", "Executives", "employment", ",", "Executive", "shall", "be", "deemed", "to", "have", "resigned", ",", "to", "the", "extent", "applicable", "as", "an", "officer", "of", "the", "Company", ",", "a", "member", "of", "the", "board", "of", "directors", "or", "similar", "body", "of", "any", "of", "Cedar", "Fair", ",", "L", ".", "P", ".", "s", "Affiliates", "and", "as", "a", "fiduciary", "of", "any", "Company", "benefit", "plan", ".", "On", "or", "immediately", "following", "the", "date", "of", "any", "termination", "of", "Executives", "employment", ",", "Executive", "shall", "confirm", "the", "foregoing", "by", "submitting", "to", "the", "Company", "in", "writing", "a", "confirmation", "of", "Executives", "resignation", "(", "s", ")", "."]}
{"id": "10413", "text": "12.9 Code Section280G. Anything in this Agreement to the contrary notwithstanding, Executive and Cedar Fair agree that in no event shall the present value of all payments, distributions and benefits provided to Executive or for Executives benefit pursuant to the terms of this Agreement or otherwise which constitute a parachute payment when aggregated with other payments, distributions, and benefits which constitute parachute payments, exceed two hundred ninety-nine percent ( 299% )of Executives base amount. As used herein, parachute payment has the meaning ascribed to it in Section280G(b)(2) of the Code, without regard to Code Section280G(b)(2)(A)(ii); and base amount has the meaning ascribed to it in Code Section280G and the regulations thereunder. If the present value as defined in Code Sections 280G (d)(4)and 1274(b) (2), of such aggregate parachute payments exceeds the 299% limitation set forth herein, such payments, distributions and benefits shall be reduced by Cedar Fair in accordance with the order of priority set forth below so that such reduced amount will result in no portion of the payments, distributions and benefits being subject to excise tax. Such payments, distributions and benefits will be reduced by Cedar Fair in accordance with the following order of priority (A)reduction of cash payments; (B)cancellation of accelerated vesting of unit awards; and (C)reduction of employee benefits. If acceleration of vesting of unit award compensation is to be reduced, such acceleration of vesting shall be cancelled in the reverse order of the date of grant of the Executives unit awards.", "ner": [[3, 4, "Regulation"], [17, 18, "Parties"], [40, 40, "Role"], [77, 78, "Percentage"]], "tokenized_text": ["12", ".", "9", "Code", "Section280G", ".", "Anything", "in", "this", "Agreement", "to", "the", "contrary", "notwithstanding", ",", "Executive", "and", "Cedar", "Fair", "agree", "that", "in", "no", "event", "shall", "the", "present", "value", "of", "all", "payments", ",", "distributions", "and", "benefits", "provided", "to", "Executive", "or", "for", "Executives", "benefit", "pursuant", "to", "the", "terms", "of", "this", "Agreement", "or", "otherwise", "which", "constitute", "a", "parachute", "payment", "when", "aggregated", "with", "other", "payments", ",", "distributions", ",", "and", "benefits", "which", "constitute", "parachute", "payments", ",", "exceed", "two", "hundred", "ninety-nine", "percent", "(", "299", "%", ")", "of", "Executives", "base", "amount", ".", "As", "used", "herein", ",", "parachute", "payment", "has", "the", "meaning", "ascribed", "to", "it", "in", "Section280G", "(", "b", ")", "(", "2", ")", "of", "the", "Code", ",", "without", "regard", "to", "Code", "Section280G", "(", "b", ")", "(", "2", ")", "(", "A", ")", "(", "ii", ")", ";", "and", "base", "amount", "has", "the", "meaning", "ascribed", "to", "it", "in", "Code", "Section280G", "and", "the", "regulations", "thereunder", ".", "If", "the", "present", "value", "as", "defined", "in", "Code", "Sections", "280G", "(", "d", ")", "(", "4", ")", "and", "1274", "(", "b", ")", "(", "2", ")", ",", "of", "such", "aggregate", "parachute", "payments", "exceeds", "the", "299", "%", "limitation", "set", "forth", "herein", ",", "such", "payments", ",", "distributions", "and", "benefits", "shall", "be", "reduced", "by", "Cedar", "Fair", "in", "accordance", "with", "the", "order", "of", "priority", "set", "forth", "below", "so", "that", "such", "reduced", "amount", "will", "result", "in", "no", "portion", "of", "the", "payments", ",", "distributions", "and", "benefits", "being", "subject", "to", "excise", "tax", ".", "Such", "payments", ",", "distributions", "and", "benefits", "will", "be", "reduced", "by", "Cedar", "Fair", "in", "accordance", "with", "the", "following", "order", "of", "priority", "(", "A", ")", "reduction", "of", "cash", "payments", ";", "(", "B", ")", "cancellation", "of", "accelerated", "vesting", "of", "unit", "awards", ";", "and", "(", "C", ")", "reduction", "of", "employee", "benefits", ".", "If", "acceleration", "of", "vesting", "of", "unit", "award", "compensation", "is", "to", "be", "reduced", ",", "such", "acceleration", "of", "vesting", "shall", "be", "cancelled", "in", "the", "reverse", "order", "of", "the", "date", "of", "grant", "of", "the", "Executives", "unit", "awards", "."]}
{"id": "10416", "text": "This RELEASE AGREEMENT (this Agreement) dated , , is made and entered into by and between Cedar Fair, L.P ., a publicly traded Delaware limited partnership, Cedar Fair Management, Inc. , an Ohio Corporation (Cedar Fair Management), Magnum Management Corporation , an Ohio corporation (Magnum) and (the Employee).", "ner": [[1, 2, "Title"], [18, 24, "Parties"], [33, 38, "Parties"], [49, 51, "Parties"]], "tokenized_text": ["This", "RELEASE", "AGREEMENT", "(", "this", "Agreement", ")", "dated", ",", ",", "is", "made", "and", "entered", "into", "by", "and", "between", "Cedar", "Fair", ",", "L", ".", "P", ".", ",", "a", "publicly", "traded", "Delaware", "limited", "partnership", ",", "Cedar", "Fair", "Management", ",", "Inc", ".", ",", "an", "Ohio", "Corporation", "(", "Cedar", "Fair", "Management", ")", ",", "Magnum", "Management", "Corporation", ",", "an", "Ohio", "corporation", "(", "Magnum", ")", "and", "(", "the", "Employee", ")", "."]}
{"id": "10417", "text": "a. In consideration of Employees right to receive the severance payments and benefits set forth in Sections 6.1(a), (c), (d), (f)and (h)and the last sentence of Section6.2 of the Employment Agreement , the Employee, on behalf of himself and his heirs, executors, administrators, trustees, legal representatives, successors and assigns (hereinafter collectively referred to for purposes of this Section1 as Employee), hereby agrees to irrevocably and unconditionally waive, release and forever discharge the Company and its past, present and future affiliates and related entities, parent and subsidiary corporations, divisions, shareholders, predecessors, current, former and future officers, directors, employees, trustees, fiduciaries, administrators, executives, agents, representatives, successors and assigns (collectively, the Company Released Parties) from any and all waivable claims, charges, demands, sums of money, actions, rights, promises, agreements, causes of action, obligations and liabilities of any kind or nature whatsoever, at law or in equity, whether known or unknown, existing or contingent, suspected or unsuspected, apparent or concealed, foreign or domestic (hereinafter collectively referred to as claims) which he has now or in the future may claim to have against any or all of the Company Released Parties based upon or arising out of any facts, acts, conduct, omissions, transactions, occurrences, contracts, claims, events, causes, matters or things of any conceivable kind or character existing or occurring or claimed to exist or to have occurred prior to the date of the Employees execution of this Agreement. Such claims include, without limitation, claims arising under the Age Discrimination in Employment Act, 29 U.S.C. 621 et seq.; Title VII of the Civil Rights Act of 1964 , 42 U.S.C. 2000e et seq.; the Americans with Disabilities Act of 1990 , 42 U.S.C. 12101 et seq.; the Family and Medical Leave Act of 1993 , 29 U.S.C. 2601 et seq.; the Employee Retirement Income Security Act of 1974 , 29 U.S.C. 1001 et seq.; the Equal Pay Act of 1963 , 29 U.S.C. 206 (d); Section806 of the Corporate and Criminal Fraud Accountability Act of 2002 , 18 U.S.C . 1681 et seq.; the Fair Credit Reporting Act , 15 U.S.C . 1681 et seq.; any other federal, state or local statutory laws relating to employment, discrimination in employment, termination of employment, wages, benefits or otherwise; or any other federal, state or local constitution, statute, rule, or regulation, including, but not limited to, any ordinance addressing fair employment practices; any claims for employment or reemployment by the Company", "ner": [[17, 20, "Regulation"], [50, 51, "Title"], [323, 327, "Act"], [329, 336, "Regulation"], [345, 349, "Act"], [351, 358, "Regulation"], [364, 369, "Act"], [371, 378, "Regulation"], [384, 390, "Act"], [392, 399, "Regulation"], [405, 411, "Act"], [413, 420, "Regulation"], [426, 430, "Act"], [432, 442, "Regulation"], [447, 454, "Act"], [456, 463, "Regulation"], [469, 472, "Act"], [474, 481, "Regulation"]], "tokenized_text": ["a", ".", "In", "consideration", "of", "Employees", "right", "to", "receive", "the", "severance", "payments", "and", "benefits", "set", "forth", "in", "Sections", "6", ".", "1", "(", "a", ")", ",", "(", "c", ")", ",", "(", "d", ")", ",", "(", "f", ")", "and", "(", "h", ")", "and", "the", "last", "sentence", "of", "Section6", ".", "2", "of", "the", "Employment", "Agreement", ",", "the", "Employee", ",", "on", "behalf", "of", "himself", "and", "his", "heirs", ",", "executors", ",", "administrators", ",", "trustees", ",", "legal", "representatives", ",", "successors", "and", "assigns", "(", "hereinafter", "collectively", "referred", "to", "for", "purposes", "of", "this", "Section1", "as", "Employee", ")", ",", "hereby", "agrees", "to", "irrevocably", "and", "unconditionally", "waive", ",", "release", "and", "forever", "discharge", "the", "Company", "and", "its", "past", ",", "present", "and", "future", "affiliates", "and", "related", "entities", ",", "parent", "and", "subsidiary", "corporations", ",", "divisions", ",", "shareholders", ",", "predecessors", ",", "current", ",", "former", "and", "future", "officers", ",", "directors", ",", "employees", ",", "trustees", ",", "fiduciaries", ",", "administrators", ",", "executives", ",", "agents", ",", "representatives", ",", "successors", "and", "assigns", "(", "collectively", ",", "the", "Company", "Released", "Parties", ")", "from", "any", "and", "all", "waivable", "claims", ",", "charges", ",", "demands", ",", "sums", "of", "money", ",", "actions", ",", "rights", ",", "promises", ",", "agreements", ",", "causes", "of", "action", ",", "obligations", "and", "liabilities", "of", "any", "kind", "or", "nature", "whatsoever", ",", "at", "law", "or", "in", "equity", ",", "whether", "known", "or", "unknown", ",", "existing", "or", "contingent", ",", "suspected", "or", "unsuspected", ",", "apparent", "or", "concealed", ",", "foreign", "or", "domestic", "(", "hereinafter", "collectively", "referred", "to", "as", "claims", ")", "which", "he", "has", "now", "or", "in", "the", "future", "may", "claim", "to", "have", "against", "any", "or", "all", "of", "the", "Company", "Released", "Parties", "based", "upon", "or", "arising", "out", "of", "any", "facts", ",", "acts", ",", "conduct", ",", "omissions", ",", "transactions", ",", "occurrences", ",", "contracts", ",", "claims", ",", "events", ",", "causes", ",", "matters", "or", "things", "of", "any", "conceivable", "kind", "or", "character", "existing", "or", "occurring", "or", "claimed", "to", "exist", "or", "to", "have", "occurred", "prior", "to", "the", "date", "of", "the", "Employees", "execution", "of", "this", "Agreement", ".", "Such", "claims", "include", ",", "without", "limitation", ",", "claims", "arising", "under", "the", "Age", "Discrimination", "in", "Employment", "Act", ",", "29", "U", ".", "S", ".", "C", ".", "621", "et", "seq", ".", ";", "Title", "VII", "of", "the", "Civil", "Rights", "Act", "of", "1964", ",", "42", "U", ".", "S", ".", "C", ".", "2000e", "et", "seq", ".", ";", "the", "Americans", "with", "Disabilities", "Act", "of", "1990", ",", "42", "U", ".", "S", ".", "C", ".", "12101", "et", "seq", ".", ";", "the", "Family", "and", "Medical", "Leave", "Act", "of", "1993", ",", "29", "U", ".", "S", ".", "C", ".", "2601", "et", "seq", ".", ";", "the", "Employee", "Retirement", "Income", "Security", "Act", "of", "1974", ",", "29", "U", ".", "S", ".", "C", ".", "1001", "et", "seq", ".", ";", "the", "Equal", "Pay", "Act", "of", "1963", ",", "29", "U", ".", "S", ".", "C", ".", "206", "(", "d", ")", ";", "Section806", "of", "the", "Corporate", "and", "Criminal", "Fraud", "Accountability", "Act", "of", "2002", ",", "18", "U", ".", "S", ".", "C", ".", "1681", "et", "seq", ".", ";", "the", "Fair", "Credit", "Reporting", "Act", ",", "15", "U", ".", "S", ".", "C", ".", "1681", "et", "seq", ".", ";", "any", "other", "federal", ",", "state", "or", "local", "statutory", "laws", "relating", "to", "employment", ",", "discrimination", "in", "employment", ",", "termination", "of", "employment", ",", "wages", ",", "benefits", "or", "otherwise", ";", "or", "any", "other", "federal", ",", "state", "or", "local", "constitution", ",", "statute", ",", "rule", ",", "or", "regulation", ",", "including", ",", "but", "not", "limited", "to", ",", "any", "ordinance", "addressing", "fair", "employment", "practices", ";", "any", "claims", "for", "employment", "or", "reemployment", "by", "the", "Company"]}
{"id": "10418", "text": "3\\. Acknowledgement of Waiver and Release of Claims Under ADEA .", "ner": [[11, 11, "Court"]], "tokenized_text": ["3", "\\", ".", "Acknowledgement", "of", "Waiver", "and", "Release", "of", "Claims", "Under", "ADEA", "."]}
{"id": "10419", "text": "i. the ADEA waiver and release contained in this Agreement does not apply to any rights or claims that may arise after the date he signs this Agreement;", "ner": [], "tokenized_text": ["i", ".", "the", "ADEA", "waiver", "and", "release", "contained", "in", "this", "Agreement", "does", "not", "apply", "to", "any", "rights", "or", "claims", "that", "may", "arise", "after", "the", "date", "he", "signs", "this", "Agreement", ";"]}
{"id": "10421", "text": "b. Consent to Jurisdiction. Any action by the parties hereto related to this Agreement may be instituted in any state or federal court having proper subject matter jurisdiction located within the State of Ohio , or in any other court in which jurisdiction is otherwise proper. Accordingly, the Company and the Employee irrevocably and unconditionally (a)submit to the jurisdiction of any such court and (b)waive (i)any objection to the laying of venue of any such action brought in such court and (ii)any claim that any such action brought in any such court has been brought in an inconvenient forum.", "ner": [[33, 35, "Court"], [52, 52, "Parties"]], "tokenized_text": ["b", ".", "Consent", "to", "Jurisdiction", ".", "Any", "action", "by", "the", "parties", "hereto", "related", "to", "this", "Agreement", "may", "be", "instituted", "in", "any", "state", "or", "federal", "court", "having", "proper", "subject", "matter", "jurisdiction", "located", "within", "the", "State", "of", "Ohio", ",", "or", "in", "any", "other", "court", "in", "which", "jurisdiction", "is", "otherwise", "proper", ".", "Accordingly", ",", "the", "Company", "and", "the", "Employee", "irrevocably", "and", "unconditionally", "(", "a", ")", "submit", "to", "the", "jurisdiction", "of", "any", "such", "court", "and", "(", "b", ")", "waive", "(", "i", ")", "any", "objection", "to", "the", "laying", "of", "venue", "of", "any", "such", "action", "brought", "in", "such", "court", "and", "(", "ii", ")", "any", "claim", "that", "any", "such", "action", "brought", "in", "any", "such", "court", "has", "been", "brought", "in", "an", "inconvenient", "forum", "."]}
{"id": "10423", "text": "| | ---|---|--- Cedar Fair, L.P . | | ---|---|--- | By: | | Name: | | Title: | | | | ---|---|--- Cedar Fair Management, Inc. | | ---|---|--- | By: | | Name: | | Title: | | | | ---|---|--- Magnum Management Corp. | | ---|---|--- | By: | | Name: | | Title: | | --- EMPLOYEE", "ner": [[13, 19, "Parties"], [59, 64, "Parties"], [104, 107, "Parties"]], "tokenized_text": ["|", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "Cedar", "Fair", ",", "L", ".", "P", ".", "|", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "By", ":", "|", "|", "Name", ":", "|", "|", "Title", ":", "|", "|", "|", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "Cedar", "Fair", "Management", ",", "Inc", ".", "|", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "By", ":", "|", "|", "Name", ":", "|", "|", "Title", ":", "|", "|", "|", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "Magnum", "Management", "Corp", ".", "|", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "By", ":", "|", "|", "Name", ":", "|", "|", "Title", ":", "|", "|", "-", "-", "-", "EMPLOYEE"]}
{"id": "10425", "text": "1.Position and Duties. The Executive shall serve as Chief Executive Officer of the Company reporting to the Companys Board of Directors (the Board). The Executive shall perform those services customary to that office and such other lawful duties that may be reasonably assigned to him from time to time by the Board, provided those duties are consistent with the Executives position and authority. The Executive further agrees to use his best efforts to promote the interests of the Company and to devote his full business time and energies to the business and affairs of the Company. The Board may decide in consultations with the Executive and subject to the Executives agreement, to assign the Executive throughout the term to another senior position within the Company that furthers the overall interests of the Company. Upon such a change, if it occurs, the rights and obligations as stated under this agreement will remain in full force and effect, notwithstanding the change in position and duties for the Executive.", "ner": [[11, 13, "Role"]], "tokenized_text": ["1", ".", "Position", "and", "Duties", ".", "The", "Executive", "shall", "serve", "as", "Chief", "Executive", "Officer", "of", "the", "Company", "reporting", "to", "the", "Companys", "Board", "of", "Directors", "(", "the", "Board", ")", ".", "The", "Executive", "shall", "perform", "those", "services", "customary", "to", "that", "office", "and", "such", "other", "lawful", "duties", "that", "may", "be", "reasonably", "assigned", "to", "him", "from", "time", "to", "time", "by", "the", "Board", ",", "provided", "those", "duties", "are", "consistent", "with", "the", "Executives", "position", "and", "authority", ".", "The", "Executive", "further", "agrees", "to", "use", "his", "best", "efforts", "to", "promote", "the", "interests", "of", "the", "Company", "and", "to", "devote", "his", "full", "business", "time", "and", "energies", "to", "the", "business", "and", "affairs", "of", "the", "Company", ".", "The", "Board", "may", "decide", "in", "consultations", "with", "the", "Executive", "and", "subject", "to", "the", "Executives", "agreement", ",", "to", "assign", "the", "Executive", "throughout", "the", "term", "to", "another", "senior", "position", "within", "the", "Company", "that", "furthers", "the", "overall", "interests", "of", "the", "Company", ".", "Upon", "such", "a", "change", ",", "if", "it", "occurs", ",", "the", "rights", "and", "obligations", "as", "stated", "under", "this", "agreement", "will", "remain", "in", "full", "force", "and", "effect", ",", "notwithstanding", "the", "change", "in", "position", "and", "duties", "for", "the", "Executive", "."]}
{"id": "10427", "text": "(a) Base Salary. The Executives annual base salary shall be one hundred fifty thousand dollars ( $150,000 ) from the Effective Date through April 1, 2018 , increasing thereafter to two hundred fifty thousand ( $250,000 ) dollars (together with any subsequent increases thereto as hereinafter provided, the Base Salary). The Base Salary shall be payable in accordance with the Companys normal payroll procedures in effect from time to time. The Base Salary may be increased by the Board or its compensation committee (the Committee), if any, from time to time during the Term, but shall be reviewed by the Board or the Committee, if any, at least annually.", "ner": [[19, 22, "Salary"], [29, 32, "EffectiveDate"], [42, 45, "Salary"]], "tokenized_text": ["(", "a", ")", "Base", "Salary", ".", "The", "Executives", "annual", "base", "salary", "shall", "be", "one", "hundred", "fifty", "thousand", "dollars", "(", "$", "150", ",", "000", ")", "from", "the", "Effective", "Date", "through", "April", "1", ",", "2018", ",", "increasing", "thereafter", "to", "two", "hundred", "fifty", "thousand", "(", "$", "250", ",", "000", ")", "dollars", "(", "together", "with", "any", "subsequent", "increases", "thereto", "as", "hereinafter", "provided", ",", "the", "Base", "Salary", ")", ".", "The", "Base", "Salary", "shall", "be", "payable", "in", "accordance", "with", "the", "Companys", "normal", "payroll", "procedures", "in", "effect", "from", "time", "to", "time", ".", "The", "Base", "Salary", "may", "be", "increased", "by", "the", "Board", "or", "its", "compensation", "committee", "(", "the", "Committee", ")", ",", "if", "any", ",", "from", "time", "to", "time", "during", "the", "Term", ",", "but", "shall", "be", "reviewed", "by", "the", "Board", "or", "the", "Committee", ",", "if", "any", ",", "at", "least", "annually", "."]}
{"id": "10432", "text": "(a)For the purposes of this Agreement, a Change of Control shall be deemed to have taken place if (i) any person, including a group as defined in Section 13(d)(3) of the Securities Exchange Act of 1934 , as amended, becomes the owner or beneficial owner of Company securities, after the date of this Agreement, having twenty-five percent (25%) or more of the combined voting power of the then outstanding securities of the Company that may be cast for the election of directors of the Company (other than as a result of an issuance of securities initiated by the Company, or open market purchases approved by the Board, as long as the majority of the Board approving the purchases is the majority at the time the purchases are made); or (ii) the persons who were directors of the Company before such transactions shall cease to constitute a majority of the Board of the Company, or any successor to the Company, as the direct or indirect result of or in connection with, any cash tender or exchange offer, merger or other business combination, sale of assets or contested election, or any combination of the foregoing transaction. For Change of Control purposes, if the company is a private entity, then the trigger on change of control would be the ownership, beneficially or otherwise, of a majority of the voting securities.", "ner": [[44, 48, "Act"], [74, 75, "Percentage"]], "tokenized_text": ["(", "a", ")", "For", "the", "purposes", "of", "this", "Agreement", ",", "a", "Change", "of", "Control", "shall", "be", "deemed", "to", "have", "taken", "place", "if", "(", "i", ")", "any", "person", ",", "including", "a", "group", "as", "defined", "in", "Section", "13", "(", "d", ")", "(", "3", ")", "of", "the", "Securities", "Exchange", "Act", "of", "1934", ",", "as", "amended", ",", "becomes", "the", "owner", "or", "beneficial", "owner", "of", "Company", "securities", ",", "after", "the", "date", "of", "this", "Agreement", ",", "having", "twenty-five", "percent", "(", "25", "%", ")", "or", "more", "of", "the", "combined", "voting", "power", "of", "the", "then", "outstanding", "securities", "of", "the", "Company", "that", "may", "be", "cast", "for", "the", "election", "of", "directors", "of", "the", "Company", "(", "other", "than", "as", "a", "result", "of", "an", "issuance", "of", "securities", "initiated", "by", "the", "Company", ",", "or", "open", "market", "purchases", "approved", "by", "the", "Board", ",", "as", "long", "as", "the", "majority", "of", "the", "Board", "approving", "the", "purchases", "is", "the", "majority", "at", "the", "time", "the", "purchases", "are", "made", ")", ";", "or", "(", "ii", ")", "the", "persons", "who", "were", "directors", "of", "the", "Company", "before", "such", "transactions", "shall", "cease", "to", "constitute", "a", "majority", "of", "the", "Board", "of", "the", "Company", ",", "or", "any", "successor", "to", "the", "Company", ",", "as", "the", "direct", "or", "indirect", "result", "of", "or", "in", "connection", "with", ",", "any", "cash", "tender", "or", "exchange", "offer", ",", "merger", "or", "other", "business", "combination", ",", "sale", "of", "assets", "or", "contested", "election", ",", "or", "any", "combination", "of", "the", "foregoing", "transaction", ".", "For", "Change", "of", "Control", "purposes", ",", "if", "the", "company", "is", "a", "private", "entity", ",", "then", "the", "trigger", "on", "change", "of", "control", "would", "be", "the", "ownership", ",", "beneficially", "or", "otherwise", ",", "of", "a", "majority", "of", "the", "voting", "securities", "."]}
{"id": "10436", "text": "This Employment Agreement (this Agreement) is made and entered into on September 26, 2017 , effective as of September 26, 2017 (the Effective Date) by and between AzurRx Biopharma, Inc. (the Company) and Maged Shenouda (Executive) . The Company and Executive are hereinafter collectively referred to as the Parties, and individually referred to as a Party.", "ner": [[1, 2, "Title"], [13, 16, "EffectiveDate"], [33, 37, "Parties"], [43, 44, "Parties"]], "tokenized_text": ["This", "Employment", "Agreement", "(", "this", "Agreement", ")", "is", "made", "and", "entered", "into", "on", "September", "26", ",", "2017", ",", "effective", "as", "of", "September", "26", ",", "2017", "(", "the", "Effective", "Date", ")", "by", "and", "between", "AzurRx", "Biopharma", ",", "Inc", ".", "(", "the", "Company", ")", "and", "Maged", "Shenouda", "(", "Executive", ")", ".", "The", "Company", "and", "Executive", "are", "hereinafter", "collectively", "referred", "to", "as", "the", "Parties", ",", "and", "individually", "referred", "to", "as", "a", "Party", "."]}
{"id": "10437", "text": "1.1 Title. Effective as of the Effective Date, Executives position shall be Executive Vice-President Corporate Development and Chief Financial Officer , subject to the terms and conditions set forth in this Agreement.", "ner": [[16, 17, "Role"], [21, 23, "Role"]], "tokenized_text": ["1", ".", "1", "Title", ".", "Effective", "as", "of", "the", "Effective", "Date", ",", "Executives", "position", "shall", "be", "Executive", "Vice-President", "Corporate", "Development", "and", "Chief", "Financial", "Officer", ",", "subject", "to", "the", "terms", "and", "conditions", "set", "forth", "in", "this", "Agreement", "."]}
{"id": "10438", "text": "1.2 Term. The term of this Agreement shall begin on the Effective Date and shall continue for a period of three (3) years or until it is terminated pursuant to Section 4 herein (the Term).", "ner": [[23, 27, "TerminationDate"]], "tokenized_text": ["1", ".", "2", "Term", ".", "The", "term", "of", "this", "Agreement", "shall", "begin", "on", "the", "Effective", "Date", "and", "shall", "continue", "for", "a", "period", "of", "three", "(", "3", ")", "years", "or", "until", "it", "is", "terminated", "pursuant", "to", "Section", "4", "herein", "(", "the", "Term", ")", "."]}
{"id": "10439", "text": "1.3 Duties. Executive shall have the customary powers, responsibilities and authorities of Executive Vice-President Corporate Development and Chief Financial Officer of corporations of the size, type and nature of the Company, as it exists from time to time. Executive shall report to the Companys Chief Executive Officer.", "ner": [[16, 17, "Role"], [21, 23, "Role"], [51, 53, "Role"]], "tokenized_text": ["1", ".", "3", "Duties", ".", "Executive", "shall", "have", "the", "customary", "powers", ",", "responsibilities", "and", "authorities", "of", "Executive", "Vice-President", "Corporate", "Development", "and", "Chief", "Financial", "Officer", "of", "corporations", "of", "the", "size", ",", "type", "and", "nature", "of", "the", "Company", ",", "as", "it", "exists", "from", "time", "to", "time", ".", "Executive", "shall", "report", "to", "the", "Companys", "Chief", "Executive", "Officer", "."]}
{"id": "10441", "text": "3.3 Stock Options. On the date of execution of this agreement, Executive has been granted an option to purchase 100,000 shares of Company common stock (the Option) pursuant to the Companys Amended and Restated 2014 Omnibus Equity Incentive Plan (the Plan). The Option shall have a per share exercise price equal to the closing price of such stock on NASDAQ on the trading day immediately prior to the grant date, and shall expire on the tenth anniversary of the date of execution of this Agreement. To the extent permitted by tax rules under Section 422 of the Internal Revenue Code, the Option granted hereunder shall be intended to be an incentive stock option. The Option shall vest as follows so long as the Executive is serving as either Executive Vice-President or as Chief Financial Officer at such time: (i) 75% upon acceptance of a US IND for MS1819 , and (ii) 25% upon the Company completing a Phase IIa clinical trial for MS1819 . In the event of any conflict between this Agreement and the terms of the Plan, the terms of this Agreement shall control. In addition, the Executive may elect to exercise some or all of the stock options by making a net exercise, in which case the Company shall issue to the Executive a number of shares of unencumbered common stock of the Company equal to: (x) the total number of shares underlying the portion of the stock option being exercised less (y) the number of shares whose fair market value is equal to the sum of (A) the exercise price of the stock options being exercised, plus (B) any required tax withholding amounts in respect of such exercise. In the event Executives employment is terminated under the provisions of Sections 4.5.3 or 4.5.4 hereof, all vested options will remain exercisable for a period of twelve (12) months following termination; provided, however, that those options that are exercised after 90 days following termination of employment shall no longer be eligible for treatment as Incentive Stock Options.", "ner": [[23, 25, "Shares"], [87, 88, "TerminationDate"], [106, 107, "Regulation"], [110, 112, "Act"], [143, 144, "Role"], [147, 149, "Role"], [157, 158, "Percentage"], [172, 173, "Percentage"], [330, 341, "Regulation"], [354, 360, "TerminationDate"]], "tokenized_text": ["3", ".", "3", "Stock", "Options", ".", "On", "the", "date", "of", "execution", "of", "this", "agreement", ",", "Executive", "has", "been", "granted", "an", "option", "to", "purchase", "100", ",", "000", "shares", "of", "Company", "common", "stock", "(", "the", "Option", ")", "pursuant", "to", "the", "Companys", "Amended", "and", "Restated", "2014", "Omnibus", "Equity", "Incentive", "Plan", "(", "the", "Plan", ")", ".", "The", "Option", "shall", "have", "a", "per", "share", "exercise", "price", "equal", "to", "the", "closing", "price", "of", "such", "stock", "on", "NASDAQ", "on", "the", "trading", "day", "immediately", "prior", "to", "the", "grant", "date", ",", "and", "shall", "expire", "on", "the", "tenth", "anniversary", "of", "the", "date", "of", "execution", "of", "this", "Agreement", ".", "To", "the", "extent", "permitted", "by", "tax", "rules", "under", "Section", "422", "of", "the", "Internal", "Revenue", "Code", ",", "the", "Option", "granted", "hereunder", "shall", "be", "intended", "to", "be", "an", "incentive", "stock", "option", ".", "The", "Option", "shall", "vest", "as", "follows", "so", "long", "as", "the", "Executive", "is", "serving", "as", "either", "Executive", "Vice-President", "or", "as", "Chief", "Financial", "Officer", "at", "such", "time", ":", "(", "i", ")", "75", "%", "upon", "acceptance", "of", "a", "US", "IND", "for", "MS1819", ",", "and", "(", "ii", ")", "25", "%", "upon", "the", "Company", "completing", "a", "Phase", "IIa", "clinical", "trial", "for", "MS1819", ".", "In", "the", "event", "of", "any", "conflict", "between", "this", "Agreement", "and", "the", "terms", "of", "the", "Plan", ",", "the", "terms", "of", "this", "Agreement", "shall", "control", ".", "In", "addition", ",", "the", "Executive", "may", "elect", "to", "exercise", "some", "or", "all", "of", "the", "stock", "options", "by", "making", "a", "net", "exercise", ",", "in", "which", "case", "the", "Company", "shall", "issue", "to", "the", "Executive", "a", "number", "of", "shares", "of", "unencumbered", "common", "stock", "of", "the", "Company", "equal", "to", ":", "(", "x", ")", "the", "total", "number", "of", "shares", "underlying", "the", "portion", "of", "the", "stock", "option", "being", "exercised", "less", "(", "y", ")", "the", "number", "of", "shares", "whose", "fair", "market", "value", "is", "equal", "to", "the", "sum", "of", "(", "A", ")", "the", "exercise", "price", "of", "the", "stock", "options", "being", "exercised", ",", "plus", "(", "B", ")", "any", "required", "tax", "withholding", "amounts", "in", "respect", "of", "such", "exercise", ".", "In", "the", "event", "Executives", "employment", "is", "terminated", "under", "the", "provisions", "of", "Sections", "4", ".", "5", ".", "3", "or", "4", ".", "5", ".", "4", "hereof", ",", "all", "vested", "options", "will", "remain", "exercisable", "for", "a", "period", "of", "twelve", "(", "12", ")", "months", "following", "termination", ";", "provided", ",", "however", ",", "that", "those", "options", "that", "are", "exercised", "after", "90", "days", "following", "termination", "of", "employment", "shall", "no", "longer", "be", "eligible", "for", "treatment", "as", "Incentive", "Stock", "Options", "."]}
{"id": "10443", "text": "It is intended that each installment of the Severance Benefits payments provided for in this Agreement is a separate payment for purposes of Treasury Regulation Section 1.409A-2(b)(2)(i). For the avoidance of doubt, it is intended that payments of the Severance Benefits set forth in this Agreement satisfy, to the greatest extent possible, the exemptions from the application of Section 409A provided under Treasury Regulation Sections 1.409A-1(b)(4) , 1.409A-1(b)(5) and 1.409A-1(b)(9) . However, if the Company (or, if applicable, the successor entity thereto) determines that the Severance Benefits constitute deferred compensation under Section 409A and Executive is, on the termination of service, a specified employee of the Company or any successor entity thereto, as such term is defined in Section 409A(a)(2)(B)(i) of the Code, then, solely to the extent necessary to avoid the incurrence of the adverse personal tax consequences under Section 409A, the timing of the Severance Benefit payments shall be delayed until the earlier to occur of: (i) the date that is six months and one day after Executives Separation From Service, or (ii) the date of Executives death (such applicable date, the Specified Employee Initial Payment Date), the Company (or the successor entity thereto, as applicable) shall (A) pay to Executive a lump sum amount equal to the sum of the Severance Benefit payments that Executive would otherwise have received through the Specified Employee Initial Payment Date if the commencement of the payment of the Severance Benefits had not been so delayed pursuant to this Section 4.9, and (B) commence paying the balance of the Severance Benefits in accordance with the applicable payment schedules set forth in this Agreement.", "ner": [[77, 85, "Regulation"], [114, 114, "Parties"]], "tokenized_text": ["It", "is", "intended", "that", "each", "installment", "of", "the", "Severance", "Benefits", "payments", "provided", "for", "in", "this", "Agreement", "is", "a", "separate", "payment", "for", "purposes", "of", "Treasury", "Regulation", "Section", "1", ".", "409A-2", "(", "b", ")", "(", "2", ")", "(", "i", ")", ".", "For", "the", "avoidance", "of", "doubt", ",", "it", "is", "intended", "that", "payments", "of", "the", "Severance", "Benefits", "set", "forth", "in", "this", "Agreement", "satisfy", ",", "to", "the", "greatest", "extent", "possible", ",", "the", "exemptions", "from", "the", "application", "of", "Section", "409A", "provided", "under", "Treasury", "Regulation", "Sections", "1", ".", "409A-1", "(", "b", ")", "(", "4", ")", ",", "1", ".", "409A-1", "(", "b", ")", "(", "5", ")", "and", "1", ".", "409A-1", "(", "b", ")", "(", "9", ")", ".", "However", ",", "if", "the", "Company", "(", "or", ",", "if", "applicable", ",", "the", "successor", "entity", "thereto", ")", "determines", "that", "the", "Severance", "Benefits", "constitute", "deferred", "compensation", "under", "Section", "409A", "and", "Executive", "is", ",", "on", "the", "termination", "of", "service", ",", "a", "specified", "employee", "of", "the", "Company", "or", "any", "successor", "entity", "thereto", ",", "as", "such", "term", "is", "defined", "in", "Section", "409A", "(", "a", ")", "(", "2", ")", "(", "B", ")", "(", "i", ")", "of", "the", "Code", ",", "then", ",", "solely", "to", "the", "extent", "necessary", "to", "avoid", "the", "incurrence", "of", "the", "adverse", "personal", "tax", "consequences", "under", "Section", "409A", ",", "the", "timing", "of", "the", "Severance", "Benefit", "payments", "shall", "be", "delayed", "until", "the", "earlier", "to", "occur", "of", ":", "(", "i", ")", "the", "date", "that", "is", "six", "months", "and", "one", "day", "after", "Executives", "Separation", "From", "Service", ",", "or", "(", "ii", ")", "the", "date", "of", "Executives", "death", "(", "such", "applicable", "date", ",", "the", "Specified", "Employee", "Initial", "Payment", "Date", ")", ",", "the", "Company", "(", "or", "the", "successor", "entity", "thereto", ",", "as", "applicable", ")", "shall", "(", "A", ")", "pay", "to", "Executive", "a", "lump", "sum", "amount", "equal", "to", "the", "sum", "of", "the", "Severance", "Benefit", "payments", "that", "Executive", "would", "otherwise", "have", "received", "through", "the", "Specified", "Employee", "Initial", "Payment", "Date", "if", "the", "commencement", "of", "the", "payment", "of", "the", "Severance", "Benefits", "had", "not", "been", "so", "delayed", "pursuant", "to", "this", "Section", "4", ".", "9", ",", "and", "(", "B", ")", "commence", "paying", "the", "balance", "of", "the", "Severance", "Benefits", "in", "accordance", "with", "the", "applicable", "payment", "schedules", "set", "forth", "in", "this", "Agreement", "."]}
{"id": "10448", "text": "Dated: September 26, 2017", "ner": [[2, 5, "EffectiveDate"]], "tokenized_text": ["Dated", ":", "September", "26", ",", "2017"]}
{"id": "10451", "text": "(a) any rights or claims under the Employment Agreement or any other written agreement between the Company and me, including any stock option award agreement or plan, (b) any rights or claims that may arise as a result of events occurring after the date this Release and Waiver is executed or which otherwise cannot lawfully be waived, (c) any rights to representation and/or indemnification I may have as a current or former officer , director, or employee of the Company or its subsidiaries or affiliated companies, including but not limited to any rights or claims for representation and/or indemnification I may have pursuant to the Employment Agreement , any written indemnification agreement with the Company to which I am a party or beneficiary, the charter, bylaws, or operating agreements of the Company, or under any applicable law or Company policy, including but not limited to Directors and Officers Liability Insurance policies, employment practice liability insurance policies, other insurance policies, and/or Company policies; (d) any claims for benefits under any directors and officers liability policy maintained by the Company or its subsidiaries or affiliated companies in accordance with the terms of such policy, (e) any rights or claims under any employee benefit or compensation plan or program in which I participate or participated (or was eligible to participate), (f) any rights or claims to unemployment compensation, (g) reimbursement for business expenses which are consistent with the Companys reimbursement policy, and (h) my rights under COBRA. I hereby represent and warrant that, other than the Excluded Claims, I am not aware of any claims I have or might have against any of the Released Parties that are not included in the Released Claims.", "ner": [[9, 10, "Title"], [285, 285, "Act"]], "tokenized_text": ["(", "a", ")", "any", "rights", "or", "claims", "under", "the", "Employment", "Agreement", "or", "any", "other", "written", "agreement", "between", "the", "Company", "and", "me", ",", "including", "any", "stock", "option", "award", "agreement", "or", "plan", ",", "(", "b", ")", "any", "rights", "or", "claims", "that", "may", "arise", "as", "a", "result", "of", "events", "occurring", "after", "the", "date", "this", "Release", "and", "Waiver", "is", "executed", "or", "which", "otherwise", "cannot", "lawfully", "be", "waived", ",", "(", "c", ")", "any", "rights", "to", "representation", "and", "/", "or", "indemnification", "I", "may", "have", "as", "a", "current", "or", "former", "officer", ",", "director", ",", "or", "employee", "of", "the", "Company", "or", "its", "subsidiaries", "or", "affiliated", "companies", ",", "including", "but", "not", "limited", "to", "any", "rights", "or", "claims", "for", "representation", "and", "/", "or", "indemnification", "I", "may", "have", "pursuant", "to", "the", "Employment", "Agreement", ",", "any", "written", "indemnification", "agreement", "with", "the", "Company", "to", "which", "I", "am", "a", "party", "or", "beneficiary", ",", "the", "charter", ",", "bylaws", ",", "or", "operating", "agreements", "of", "the", "Company", ",", "or", "under", "any", "applicable", "law", "or", "Company", "policy", ",", "including", "but", "not", "limited", "to", "Directors", "and", "Officers", "Liability", "Insurance", "policies", ",", "employment", "practice", "liability", "insurance", "policies", ",", "other", "insurance", "policies", ",", "and", "/", "or", "Company", "policies", ";", "(", "d", ")", "any", "claims", "for", "benefits", "under", "any", "directors", "and", "officers", "liability", "policy", "maintained", "by", "the", "Company", "or", "its", "subsidiaries", "or", "affiliated", "companies", "in", "accordance", "with", "the", "terms", "of", "such", "policy", ",", "(", "e", ")", "any", "rights", "or", "claims", "under", "any", "employee", "benefit", "or", "compensation", "plan", "or", "program", "in", "which", "I", "participate", "or", "participated", "(", "or", "was", "eligible", "to", "participate", ")", ",", "(", "f", ")", "any", "rights", "or", "claims", "to", "unemployment", "compensation", ",", "(", "g", ")", "reimbursement", "for", "business", "expenses", "which", "are", "consistent", "with", "the", "Companys", "reimbursement", "policy", ",", "and", "(", "h", ")", "my", "rights", "under", "COBRA", ".", "I", "hereby", "represent", "and", "warrant", "that", ",", "other", "than", "the", "Excluded", "Claims", ",", "I", "am", "not", "aware", "of", "any", "claims", "I", "have", "or", "might", "have", "against", "any", "of", "the", "Released", "Parties", "that", "are", "not", "included", "in", "the", "Released", "Claims", "."]}
{"id": "10452", "text": "I acknowledge that, among other rights, I am waiving and releasing any rights I may have under ADEA , that this Release and Waiver is knowing and voluntary, and that the consideration given for this Release and Waiver is in addition to anything of value to which I was already entitled as an executive of the Company. If I am 40 years of age or older upon execution of this Release and Waiver, I further acknowledge that I have been advised, as required by the Older Workers Benefit Protection Act, that: (a) the release and waiver granted herein does not relate to claims under the ADEA which may arise after this Release and Waiver is executed; (b) I should consult with an attorney prior to executing this Release and Waiver; and (c) I have twenty-one (21) days from the date of termination of my employment with the Company in which to consider this Release and Waiver (although I may choose voluntarily to execute this Release and Waiver earlier); (d) I have seven (7) days following the execution of this Release and Waiver to revoke my consent to this Release and Waiver; and (e) this Release and Waiver shall not be effective until the seven (7) day revocation period has expired without my having previously revoked this Release and Waiver.", "ner": [[91, 95, "Act"]], "tokenized_text": ["I", "acknowledge", "that", ",", "among", "other", "rights", ",", "I", "am", "waiving", "and", "releasing", "any", "rights", "I", "may", "have", "under", "ADEA", ",", "that", "this", "Release", "and", "Waiver", "is", "knowing", "and", "voluntary", ",", "and", "that", "the", "consideration", "given", "for", "this", "Release", "and", "Waiver", "is", "in", "addition", "to", "anything", "of", "value", "to", "which", "I", "was", "already", "entitled", "as", "an", "executive", "of", "the", "Company", ".", "If", "I", "am", "40", "years", "of", "age", "or", "older", "upon", "execution", "of", "this", "Release", "and", "Waiver", ",", "I", "further", "acknowledge", "that", "I", "have", "been", "advised", ",", "as", "required", "by", "the", "Older", "Workers", "Benefit", "Protection", "Act", ",", "that", ":", "(", "a", ")", "the", "release", "and", "waiver", "granted", "herein", "does", "not", "relate", "to", "claims", "under", "the", "ADEA", "which", "may", "arise", "after", "this", "Release", "and", "Waiver", "is", "executed", ";", "(", "b", ")", "I", "should", "consult", "with", "an", "attorney", "prior", "to", "executing", "this", "Release", "and", "Waiver", ";", "and", "(", "c", ")", "I", "have", "twenty-one", "(", "21", ")", "days", "from", "the", "date", "of", "termination", "of", "my", "employment", "with", "the", "Company", "in", "which", "to", "consider", "this", "Release", "and", "Waiver", "(", "although", "I", "may", "choose", "voluntarily", "to", "execute", "this", "Release", "and", "Waiver", "earlier", ")", ";", "(", "d", ")", "I", "have", "seven", "(", "7", ")", "days", "following", "the", "execution", "of", "this", "Release", "and", "Waiver", "to", "revoke", "my", "consent", "to", "this", "Release", "and", "Waiver", ";", "and", "(", "e", ")", "this", "Release", "and", "Waiver", "shall", "not", "be", "effective", "until", "the", "seven", "(", "7", ")", "day", "revocation", "period", "has", "expired", "without", "my", "having", "previously", "revoked", "this", "Release", "and", "Waiver", "."]}
{"id": "10454", "text": "AZURRX BIOPHARMA, INC. | |", "ner": [[0, 4, "Parties"]], "tokenized_text": ["AZURRX", "BIOPHARMA", ",", "INC", ".", "|", "|"]}
{"id": "10456", "text": "(a)The Company hereby employs Executive to serve as the Chief Financial Officer of the Company on the terms and conditions set forth herein. In such capacity, Executive shall have the responsibilities normally associated with such position, subject to the direction and supervision of the President and CEO of the Company and the Audit Committee of the Board of Directors (the Board) of the Company (the Audit Committee).", "ner": [[12, 14, "Role"], [50, 50, "Role"], [52, 52, "Role"]], "tokenized_text": ["(", "a", ")", "The", "Company", "hereby", "employs", "Executive", "to", "serve", "as", "the", "Chief", "Financial", "Officer", "of", "the", "Company", "on", "the", "terms", "and", "conditions", "set", "forth", "herein", ".", "In", "such", "capacity", ",", "Executive", "shall", "have", "the", "responsibilities", "normally", "associated", "with", "such", "position", ",", "subject", "to", "the", "direction", "and", "supervision", "of", "the", "President", "and", "CEO", "of", "the", "Company", "and", "the", "Audit", "Committee", "of", "the", "Board", "of", "Directors", "(", "the", "Board", ")", "of", "the", "Company", "(", "the", "Audit", "Committee", ")", "."]}
{"id": "10459", "text": "(h)Other Benefits.Upon Executives termination pursuant to Sections 3(c) or (d), and, in the event that Executive and the Company execute (and, if applicable, thereafter not revoke) the Mutual Release, the Company shall pay Executive, in lump sum, one years COBRA", "ner": [[43, 44, "Title"], [58, 58, "Act"]], "tokenized_text": ["(", "h", ")", "Other", "Benefits", ".", "Upon", "Executives", "termination", "pursuant", "to", "Sections", "3", "(", "c", ")", "or", "(", "d", ")", ",", "and", ",", "in", "the", "event", "that", "Executive", "and", "the", "Company", "execute", "(", "and", ",", "if", "applicable", ",", "thereafter", "not", "revoke", ")", "the", "Mutual", "Release", ",", "the", "Company", "shall", "pay", "Executive", ",", "in", "lump", "sum", ",", "one", "years", "COBRA"]}
{"id": "10461", "text": "(C) any person or two or more persons acting in concert shall have acquired, by contract or otherwise, control over the equity securities of the Company entitled to vote for members of the Board or equivalent governing body of the Company on a fully-diluted basis (and taking into account all such securities that such person or group has the right to acquire pursuant to any option right) representing 51% or more of the combined voting power of such securities; or", "ner": [[74, 75, "Percentage"]], "tokenized_text": ["(", "C", ")", "any", "person", "or", "two", "or", "more", "persons", "acting", "in", "concert", "shall", "have", "acquired", ",", "by", "contract", "or", "otherwise", ",", "control", "over", "the", "equity", "securities", "of", "the", "Company", "entitled", "to", "vote", "for", "members", "of", "the", "Board", "or", "equivalent", "governing", "body", "of", "the", "Company", "on", "a", "fully-diluted", "basis", "(", "and", "taking", "into", "account", "all", "such", "securities", "that", "such", "person", "or", "group", "has", "the", "right", "to", "acquire", "pursuant", "to", "any", "option", "right", ")", "representing", "51", "%", "or", "more", "of", "the", "combined", "voting", "power", "of", "such", "securities", ";", "or"]}
{"id": "10462", "text": "(D) the Company sells or transfers (other than by mortgage or pledge) all or substantially all of its properties and assets to, another person or group (as such terms are used in Sections 13(d) and 14(d) of the Exchange Act ).< br/>", "ner": [[50, 51, "Act"]], "tokenized_text": ["(", "D", ")", "the", "Company", "sells", "or", "transfers", "(", "other", "than", "by", "mortgage", "or", "pledge", ")", "all", "or", "substantially", "all", "of", "its", "properties", "and", "assets", "to", ",", "another", "person", "or", "group", "(", "as", "such", "terms", "are", "used", "in", "Sections", "13", "(", "d", ")", "and", "14", "(", "d", ")", "of", "the", "Exchange", "Act", ")", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "10463", "text": "(a)Executive covenants that during Executives employment with the Company and for a period of two (2) years following the termination of Executives employment, for any reason, Executive will not, except with the prior written consent of the President and CEO, directly or indirectly own, manage, operate, join, control, finance or participate in the ownership, management, operation, control or financing of, or be connected as an officer, director, employee, partner, principal, agent, representative, consultant or otherwise with, or use or permit his name to be used in connection with, any business or enterprise that is engaged in a Competing Enterprise, which is defined as an entity whose operations are conducted within the ski industry in North America.For the sake of clarity, real estate companies which are not owned, directly or indirectly, by an entity in the ski industry are not considered a Competing Enterprise for the purposes of this Agreement, and an entity shall not be deemed to be in the ski industry solely by virtue of developing residential or lodging facilities which may be in or near ski areas or used in whole or part by skiers. The foregoing restrictions shall not be construed to prohibit the ownership by Executive of less than five percent (5%) of any class of securities of any corporation which is engaged in any of the foregoing businesses having a class of securities registered pursuant to the Securities Exchange Act of 1934 (the Exchange Act ), provided that such ownership represents a passive investment and that neither Executive nor any group of persons including Executive in any way, either directly or indirectly, manages or exercises control of any such corporation, guarantees any of its financial obligations, otherwise takes any part in its business (other than exercising his rights as a shareholder), or seeks to do any of the foregoing.", "ner": [[45, 45, "Role"], [47, 47, "Role"], [241, 243, "Percentage"], [270, 274, "Act"]], "tokenized_text": ["(", "a", ")", "Executive", "covenants", "that", "during", "Executives", "employment", "with", "the", "Company", "and", "for", "a", "period", "of", "two", "(", "2", ")", "years", "following", "the", "termination", "of", "Executives", "employment", ",", "for", "any", "reason", ",", "Executive", "will", "not", ",", "except", "with", "the", "prior", "written", "consent", "of", "the", "President", "and", "CEO", ",", "directly", "or", "indirectly", "own", ",", "manage", ",", "operate", ",", "join", ",", "control", ",", "finance", "or", "participate", "in", "the", "ownership", ",", "management", ",", "operation", ",", "control", "or", "financing", "of", ",", "or", "be", "connected", "as", "an", "officer", ",", "director", ",", "employee", ",", "partner", ",", "principal", ",", "agent", ",", "representative", ",", "consultant", "or", "otherwise", "with", ",", "or", "use", "or", "permit", "his", "name", "to", "be", "used", "in", "connection", "with", ",", "any", "business", "or", "enterprise", "that", "is", "engaged", "in", "a", "Competing", "Enterprise", ",", "which", "is", "defined", "as", "an", "entity", "whose", "operations", "are", "conducted", "within", "the", "ski", "industry", "in", "North", "America", ".", "For", "the", "sake", "of", "clarity", ",", "real", "estate", "companies", "which", "are", "not", "owned", ",", "directly", "or", "indirectly", ",", "by", "an", "entity", "in", "the", "ski", "industry", "are", "not", "considered", "a", "Competing", "Enterprise", "for", "the", "purposes", "of", "this", "Agreement", ",", "and", "an", "entity", "shall", "not", "be", "deemed", "to", "be", "in", "the", "ski", "industry", "solely", "by", "virtue", "of", "developing", "residential", "or", "lodging", "facilities", "which", "may", "be", "in", "or", "near", "ski", "areas", "or", "used", "in", "whole", "or", "part", "by", "skiers", ".", "The", "foregoing", "restrictions", "shall", "not", "be", "construed", "to", "prohibit", "the", "ownership", "by", "Executive", "of", "less", "than", "five", "percent", "(", "5", "%", ")", "of", "any", "class", "of", "securities", "of", "any", "corporation", "which", "is", "engaged", "in", "any", "of", "the", "foregoing", "businesses", "having", "a", "class", "of", "securities", "registered", "pursuant", "to", "the", "Securities", "Exchange", "Act", "of", "1934", "(", "the", "Exchange", "Act", ")", ",", "provided", "that", "such", "ownership", "represents", "a", "passive", "investment", "and", "that", "neither", "Executive", "nor", "any", "group", "of", "persons", "including", "Executive", "in", "any", "way", ",", "either", "directly", "or", "indirectly", ",", "manages", "or", "exercises", "control", "of", "any", "such", "corporation", ",", "guarantees", "any", "of", "its", "financial", "obligations", ",", "otherwise", "takes", "any", "part", "in", "its", "business", "(", "other", "than", "exercising", "his", "rights", "as", "a", "shareholder", ")", ",", "or", "seeks", "to", "do", "any", "of", "the", "foregoing", "."]}
{"id": "10465", "text": "(b) For purposes of this Section 6(b), Company Inventions means all ideas, processes, trademarks and service marks, inventions, discoveries, and improvements to any of the foregoing, that Executive learns of, conceives, develops or creates alone or with others during Executives employment with the Company (whether or not conceived, developed or created during regular working hours) that directly or indirectly arise from or relate to:(i) the Companys business, products or services; or (ii) work performed for the Company by Executive or any other Company employee, agent or contractor; or (iii) the use of the Companys property or time; or (iv) access to the Companys Confidential Information. Executive hereby assigns to the Company Executives entire right, title and interest in all Company Inventions, which shall be the sole and exclusive property of the Company whether or not subject to patent, copyright, trademark or trade secret protection.Executive also acknowledges that all original works of authorship that are made by Executive (solely or jointly with others), within the scope of Executives employment with the Company, and that are protectable by copyright, are works made for hire, as that term is defined in the United States Copyright Act ( 17 U.S.C. . 101 , et", "ner": [[234, 237, "Act"], [239, 247, "Regulation"]], "tokenized_text": ["(", "b", ")", "For", "purposes", "of", "this", "Section", "6", "(", "b", ")", ",", "Company", "Inventions", "means", "all", "ideas", ",", "processes", ",", "trademarks", "and", "service", "marks", ",", "inventions", ",", "discoveries", ",", "and", "improvements", "to", "any", "of", "the", "foregoing", ",", "that", "Executive", "learns", "of", ",", "conceives", ",", "develops", "or", "creates", "alone", "or", "with", "others", "during", "Executives", "employment", "with", "the", "Company", "(", "whether", "or", "not", "conceived", ",", "developed", "or", "created", "during", "regular", "working", "hours", ")", "that", "directly", "or", "indirectly", "arise", "from", "or", "relate", "to", ":", "(", "i", ")", "the", "Companys", "business", ",", "products", "or", "services", ";", "or", "(", "ii", ")", "work", "performed", "for", "the", "Company", "by", "Executive", "or", "any", "other", "Company", "employee", ",", "agent", "or", "contractor", ";", "or", "(", "iii", ")", "the", "use", "of", "the", "Companys", "property", "or", "time", ";", "or", "(", "iv", ")", "access", "to", "the", "Companys", "Confidential", "Information", ".", "Executive", "hereby", "assigns", "to", "the", "Company", "Executives", "entire", "right", ",", "title", "and", "interest", "in", "all", "Company", "Inventions", ",", "which", "shall", "be", "the", "sole", "and", "exclusive", "property", "of", "the", "Company", "whether", "or", "not", "subject", "to", "patent", ",", "copyright", ",", "trademark", "or", "trade", "secret", "protection", ".", "Executive", "also", "acknowledges", "that", "all", "original", "works", "of", "authorship", "that", "are", "made", "by", "Executive", "(", "solely", "or", "jointly", "with", "others", ")", ",", "within", "the", "scope", "of", "Executives", "employment", "with", "the", "Company", ",", "and", "that", "are", "protectable", "by", "copyright", ",", "are", "works", "made", "for", "hire", ",", "as", "that", "term", "is", "defined", "in", "the", "United", "States", "Copyright", "Act", "(", "17", "U", ".", "S", ".", "C", ".", ".", "101", ",", "et"]}
{"id": "10470", "text": "Wildwood, MO 630401123 Boland Place", "ner": [[4, 5, "Address"]], "tokenized_text": ["Wildwood", ",", "MO", "630401123", "Boland", "Place"]}
{"id": "10471", "text": "St. Louis, MO 63117", "ner": [[0, 5, "Address"]], "tokenized_text": ["St", ".", "Louis", ",", "MO", "63117"]}
{"id": "10472", "text": "Wildwood, MO63025120 S. Central Ave., Ste. 1420", "ner": [], "tokenized_text": ["Wildwood", ",", "MO63025120", "S", ".", "Central", "Ave", ".", ",", "Ste", ".", "1420"]}
{"id": "10473", "text": "(a)This Agreement is intended to comply with Section409A of the Internal Revenue Code of 1986 , as amended (the Code) and related U.S. Treasury regulations or pronouncements (Section409A) and any ambiguous provision will be construed in a manner that is compliant with or exempt from the application of Section409A.Any reference to an Executives termination of employment shall mean a cessation of the employment relationship between the Executive and the Company which constitutes a separation from service as determined in accordance with Section409A .", "ner": [[10, 10, "Regulation"], [13, 17, "Act"]], "tokenized_text": ["(", "a", ")", "This", "Agreement", "is", "intended", "to", "comply", "with", "Section409A", "of", "the", "Internal", "Revenue", "Code", "of", "1986", ",", "as", "amended", "(", "the", "Code", ")", "and", "related", "U", ".", "S", ".", "Treasury", "regulations", "or", "pronouncements", "(", "Section409A", ")", "and", "any", "ambiguous", "provision", "will", "be", "construed", "in", "a", "manner", "that", "is", "compliant", "with", "or", "exempt", "from", "the", "application", "of", "Section409A", ".", "Any", "reference", "to", "an", "Executives", "termination", "of", "employment", "shall", "mean", "a", "cessation", "of", "the", "employment", "relationship", "between", "the", "Executive", "and", "the", "Company", "which", "constitutes", "a", "separation", "from", "service", "as", "determined", "in", "accordance", "with", "Section409A", "."]}
{"id": "10475", "text": "(d)You hereby certify your understanding that you may revoke this Release, as it applies to you, within seven (7) days following execution of this Release and that this Release shall not become effective or enforceable until that revocation period has expired.Any revocation should be sent, in writing, to Peak Resorts, Inc., 17409 Hidden Valley Drive, Wildwood, MO63025 , with a copy to:David L. Jones, Esq., Sandberg Phoenix & von Gontard, P.C., 120 S. Central Ave., Ste. 1420, St. Louis, Missouri 63105.You also understand that, should you revoke this Release within the seven-day period, this Release, as it applies to you, would be voided in its entirety and the sums set forth in Executive Employment Agreement would not be paid or owed to you.", "ner": [[59, 63, "Parties"], [65, 72, "Address"], [79, 85, "Parties"], [154, 156, "Title"]], "tokenized_text": ["(", "d", ")", "You", "hereby", "certify", "your", "understanding", "that", "you", "may", "revoke", "this", "Release", ",", "as", "it", "applies", "to", "you", ",", "within", "seven", "(", "7", ")", "days", "following", "execution", "of", "this", "Release", "and", "that", "this", "Release", "shall", "not", "become", "effective", "or", "enforceable", "until", "that", "revocation", "period", "has", "expired", ".", "Any", "revocation", "should", "be", "sent", ",", "in", "writing", ",", "to", "Peak", "Resorts", ",", "Inc", ".", ",", "17409", "Hidden", "Valley", "Drive", ",", "Wildwood", ",", "MO63025", ",", "with", "a", "copy", "to", ":", "David", "L", ".", "Jones", ",", "Esq", ".", ",", "Sandberg", "Phoenix", "&", "amp", ";", "von", "Gontard", ",", "P", ".", "C", ".", ",", "120", "S", ".", "Central", "Ave", ".", ",", "Ste", ".", "1420", ",", "St", ".", "Louis", ",", "Missouri", "63105", ".", "You", "also", "understand", "that", ",", "should", "you", "revoke", "this", "Release", "within", "the", "seven-day", "period", ",", "this", "Release", ",", "as", "it", "applies", "to", "you", ",", "would", "be", "voided", "in", "its", "entirety", "and", "the", "sums", "set", "forth", "in", "Executive", "Employment", "Agreement", "would", "not", "be", "paid", "or", "owed", "to", "you", "."]}
{"id": "10476", "text": "This Indemnification Agreement (Agreement) is entered into as of the 3rd day of October, 2017, by and between PEAK RESORTS, INC. , a Missouri corporation (the Corporation) and CHRISTOPHER J. BUB (Indemnitee), the Chief Financial Officer ( CFO ) of the Corporation.", "ner": [[1, 2, "Title"], [12, 17, "EffectiveDate"], [22, 26, "Parties"], [36, 39, "Parties"], [45, 47, "Role"], [49, 49, "Role"]], "tokenized_text": ["This", "Indemnification", "Agreement", "(", "Agreement", ")", "is", "entered", "into", "as", "of", "the", "3rd", "day", "of", "October", ",", "2017", ",", "by", "and", "between", "PEAK", "RESORTS", ",", "INC", ".", ",", "a", "Missouri", "corporation", "(", "the", "Corporation", ")", "and", "CHRISTOPHER", "J", ".", "BUB", "(", "Indemnitee", ")", ",", "the", "Chief", "Financial", "Officer", "(", "CFO", ")", "of", "the", "Corporation", "."]}
{"id": "10478", "text": "NOW THEREFORE, in consideration of Indemnitees service as CFO of the Corporation, the Corporation and Indemnitee hereby agree as follows:", "ner": [[9, 9, "Role"]], "tokenized_text": ["NOW", "THEREFORE", ",", "in", "consideration", "of", "Indemnitees", "service", "as", "CFO", "of", "the", "Corporation", ",", "the", "Corporation", "and", "Indemnitee", "hereby", "agree", "as", "follows", ":"]}
{"id": "10479", "text": "1. Agreement to Serve. Indemnitee agrees to continue to serve as CFO of the Corporation for so long as Indemnitee is duly appointed or until such time as Indemnitee tenders Indemnitees resignation in writing. However, this Agreement does not constitute either an employment contract or any commitment, express or implied, to cause Indemnitee to be appointed as CFO .The parties hereto adopt and incorporate the Executive Employment Agreement, dated October 3, 2017 , as if fully set forth herein. ---|---", "ner": [[13, 13, "Role"], [72, 74, "Title"], [77, 80, "EffectiveDate"]], "tokenized_text": ["1", ".", "Agreement", "to", "Serve", ".", "Indemnitee", "agrees", "to", "continue", "to", "serve", "as", "CFO", "of", "the", "Corporation", "for", "so", "long", "as", "Indemnitee", "is", "duly", "appointed", "or", "until", "such", "time", "as", "Indemnitee", "tenders", "Indemnitees", "resignation", "in", "writing", ".", "However", ",", "this", "Agreement", "does", "not", "constitute", "either", "an", "employment", "contract", "or", "any", "commitment", ",", "express", "or", "implied", ",", "to", "cause", "Indemnitee", "to", "be", "appointed", "as", "CFO", ".", "The", "parties", "hereto", "adopt", "and", "incorporate", "the", "Executive", "Employment", "Agreement", ",", "dated", "October", "3", ",", "2017", ",", "as", "if", "fully", "set", "forth", "herein", ".", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "10480", "text": "(iii) To indemnify Indemnitee for any Expenses, judgments, fines or penalties sustained in any Proceeding for an accounting of profits made from the purchase or sale by Indemnitee of securities of the Corporation pursuant to the provisions of 16(b) of the Securities Exchange Act of 1934 , the rules and regulations promulgated thereunder and amendments thereto or similar provisions of any federal, state, or local statutory law; ---|---", "ner": [[48, 52, "Act"]], "tokenized_text": ["(", "iii", ")", "To", "indemnify", "Indemnitee", "for", "any", "Expenses", ",", "judgments", ",", "fines", "or", "penalties", "sustained", "in", "any", "Proceeding", "for", "an", "accounting", "of", "profits", "made", "from", "the", "purchase", "or", "sale", "by", "Indemnitee", "of", "securities", "of", "the", "Corporation", "pursuant", "to", "the", "provisions", "of", "16", "(", "b", ")", "of", "the", "Securities", "Exchange", "Act", "of", "1934", ",", "the", "rules", "and", "regulations", "promulgated", "thereunder", "and", "amendments", "thereto", "or", "similar", "provisions", "of", "any", "federal", ",", "state", ",", "or", "local", "statutory", "law", ";", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "10482", "text": "(a) The Corporation hereby covenants and agrees that, as long as Indemnitee continues to serve as CFO of the Corporation and thereafter as long as Indemnitee may be subject to any Proceeding, the Corporation, subject to subsection (c) of this section, shall maintain in full ---|--- * * *", "ner": [[19, 19, "Role"]], "tokenized_text": ["(", "a", ")", "The", "Corporation", "hereby", "covenants", "and", "agrees", "that", ",", "as", "long", "as", "Indemnitee", "continues", "to", "serve", "as", "CFO", "of", "the", "Corporation", "and", "thereafter", "as", "long", "as", "Indemnitee", "may", "be", "subject", "to", "any", "Proceeding", ",", "the", "Corporation", ",", "subject", "to", "subsection", "(", "c", ")", "of", "this", "section", ",", "shall", "maintain", "in", "full", "-", "-", "-", "|", "-", "-", "-", "*", "*", "*"]}
{"id": "10483", "text": "(v) Any and all Expenses, judgments, fines and penalties not indemnifiable pursuant to this Agreement, the Corporations Certificate of Incorporation or Bylaws, the General Corporation and Business Law of the State of Missouri , or the laws, rules or regulations of any other jurisdiction or state or federal agency whose laws, rules or regulations may be applicable. ---|---", "ner": [[26, 26, "Title"], [36, 38, "Court"]], "tokenized_text": ["(", "v", ")", "Any", "and", "all", "Expenses", ",", "judgments", ",", "fines", "and", "penalties", "not", "indemnifiable", "pursuant", "to", "this", "Agreement", ",", "the", "Corporations", "Certificate", "of", "Incorporation", "or", "Bylaws", ",", "the", "General", "Corporation", "and", "Business", "Law", "of", "the", "State", "of", "Missouri", ",", "or", "the", "laws", ",", "rules", "or", "regulations", "of", "any", "other", "jurisdiction", "or", "state", "or", "federal", "agency", "whose", "laws", ",", "rules", "or", "regulations", "may", "be", "applicable", ".", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "10485", "text": "(d) Applicable Law. This Agreement shall be governed by, and construed and interpreted in accordance with, the law of the State of Missouri . ---|---", "ner": [[25, 27, "Court"]], "tokenized_text": ["(", "d", ")", "Applicable", "Law", ".", "This", "Agreement", "shall", "be", "governed", "by", ",", "and", "construed", "and", "interpreted", "in", "accordance", "with", ",", "the", "law", "of", "the", "State", "of", "Missouri", ".", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "10488", "text": "THIS AGREEMENT (this Agreement) is entered into as of this 6th day of October 2017 (the Effective Date), by and between MRI INTERVENTIONS, INC. , a Delaware corporation (the Company), and JOSEPH MICHAEL BURNETT (the Executive).", "ner": [[12, 16, "EffectiveDate"], [26, 30, "Parties"], [41, 43, "Parties"]], "tokenized_text": ["THIS", "AGREEMENT", "(", "this", "Agreement", ")", "is", "entered", "into", "as", "of", "this", "6th", "day", "of", "October", "2017", "(", "the", "Effective", "Date", ")", ",", "by", "and", "between", "MRI", "INTERVENTIONS", ",", "INC", ".", ",", "a", "Delaware", "corporation", "(", "the", "Company", ")", ",", "and", "JOSEPH", "MICHAEL", "BURNETT", "(", "the", "Executive", ")", "."]}
{"id": "10493", "text": "fair market value or total voting power of the stock of the Company. A change in the effective control of the Company occurs on the date on which either (i) a person, or more than one person acting as a group, acquires ownership of stock of the Company possessing 30% or more of the total voting power of the stock of the Company, taking into account all such stock acquired during the 12-month period ending on the date of the most recent acquisition, or (ii) a majority of the members of the Board is replaced during any 12-month period by directors whose appointment or election is not endorsed by a majority of the members of such Board prior to the date of the appointment or election. A change in the ownership of a substantial portion of the assets of the Company occurs on the date on which any one person, or more than one person acting as a group, other than a person or group of persons that is related to the Company, acquires assets from the Company that have a total gross fair market value equal to or more than 40% of the total gross fair market value of all of the assets of the Company immediately prior to such acquisition or acquisitions, taking into account all such assets acquired during the 12-month period ending on the date of the most recent acquisition.", "ner": [[54, 55, "Percentage"], [205, 206, "Percentage"]], "tokenized_text": ["fair", "market", "value", "or", "total", "voting", "power", "of", "the", "stock", "of", "the", "Company", ".", "A", "change", "in", "the", "effective", "control", "of", "the", "Company", "occurs", "on", "the", "date", "on", "which", "either", "(", "i", ")", "a", "person", ",", "or", "more", "than", "one", "person", "acting", "as", "a", "group", ",", "acquires", "ownership", "of", "stock", "of", "the", "Company", "possessing", "30", "%", "or", "more", "of", "the", "total", "voting", "power", "of", "the", "stock", "of", "the", "Company", ",", "taking", "into", "account", "all", "such", "stock", "acquired", "during", "the", "12-month", "period", "ending", "on", "the", "date", "of", "the", "most", "recent", "acquisition", ",", "or", "(", "ii", ")", "a", "majority", "of", "the", "members", "of", "the", "Board", "is", "replaced", "during", "any", "12-month", "period", "by", "directors", "whose", "appointment", "or", "election", "is", "not", "endorsed", "by", "a", "majority", "of", "the", "members", "of", "such", "Board", "prior", "to", "the", "date", "of", "the", "appointment", "or", "election", ".", "A", "change", "in", "the", "ownership", "of", "a", "substantial", "portion", "of", "the", "assets", "of", "the", "Company", "occurs", "on", "the", "date", "on", "which", "any", "one", "person", ",", "or", "more", "than", "one", "person", "acting", "as", "a", "group", ",", "other", "than", "a", "person", "or", "group", "of", "persons", "that", "is", "related", "to", "the", "Company", ",", "acquires", "assets", "from", "the", "Company", "that", "have", "a", "total", "gross", "fair", "market", "value", "equal", "to", "or", "more", "than", "40", "%", "of", "the", "total", "gross", "fair", "market", "value", "of", "all", "of", "the", "assets", "of", "the", "Company", "immediately", "prior", "to", "such", "acquisition", "or", "acquisitions", ",", "taking", "into", "account", "all", "such", "assets", "acquired", "during", "the", "12-month", "period", "ending", "on", "the", "date", "of", "the", "most", "recent", "acquisition", "."]}
{"id": "10495", "text": "Exchange Act means the Securities Exchange Act of 1934 , as amended.", "ner": [[0, 1, "Act"], [4, 8, "Act"]], "tokenized_text": ["Exchange", "Act", "means", "the", "Securities", "Exchange", "Act", "of", "1934", ",", "as", "amended", "."]}
{"id": "10496", "text": "Termination of Employment means the termination of the Executives employment with the Company for reasons other than death or Permanent Disability. Whether a Termination of Employment takes place is determined based on the facts and circumstances surrounding the termination of the Executives employment and whether the Company and the Executive intended for the Executive to provide significant services for the Company following such termination. A change in the Executives employment status will not be considered a Termination of Employment if the Executive continues to provide services as an employee of the Company or in any other capacity at an annual rate that is twenty percent ( 20% ) or more of the services rendered, on average, during the immediately preceding three full calendar years of employment (or, if employed less than three years, such lesser period).", "ner": [[108, 109, "Percentage"]], "tokenized_text": ["Termination", "of", "Employment", "means", "the", "termination", "of", "the", "Executives", "employment", "with", "the", "Company", "for", "reasons", "other", "than", "death", "or", "Permanent", "Disability", ".", "Whether", "a", "Termination", "of", "Employment", "takes", "place", "is", "determined", "based", "on", "the", "facts", "and", "circumstances", "surrounding", "the", "termination", "of", "the", "Executives", "employment", "and", "whether", "the", "Company", "and", "the", "Executive", "intended", "for", "the", "Executive", "to", "provide", "significant", "services", "for", "the", "Company", "following", "such", "termination", ".", "A", "change", "in", "the", "Executives", "employment", "status", "will", "not", "be", "considered", "a", "Termination", "of", "Employment", "if", "the", "Executive", "continues", "to", "provide", "services", "as", "an", "employee", "of", "the", "Company", "or", "in", "any", "other", "capacity", "at", "an", "annual", "rate", "that", "is", "twenty", "percent", "(", "20", "%", ")", "or", "more", "of", "the", "services", "rendered", ",", "on", "average", ",", "during", "the", "immediately", "preceding", "three", "full", "calendar", "years", "of", "employment", "(", "or", ",", "if", "employed", "less", "than", "three", "years", ",", "such", "lesser", "period", ")", "."]}
{"id": "10497", "text": "2.Employment; Services. The Company shall employ the Executive, and the Executive agrees to be so employed, in the capacity of the Chief Executive Officer and President as of the Start Date and through the Term as provided in Section3(a) of this Agreement. The Executive shall assume and discharge such duties and responsibilities as are commensurate with the Executives position. The Executive shall be a full-time employee of the Company and shall exert his best efforts and devote substantially all of his business time and attention to the Companys affairs and the performance of his duties hereunder.", "ner": [[27, 29, "Role"], [31, 31, "Role"]], "tokenized_text": ["2", ".", "Employment", ";", "Services", ".", "The", "Company", "shall", "employ", "the", "Executive", ",", "and", "the", "Executive", "agrees", "to", "be", "so", "employed", ",", "in", "the", "capacity", "of", "the", "Chief", "Executive", "Officer", "and", "President", "as", "of", "the", "Start", "Date", "and", "through", "the", "Term", "as", "provided", "in", "Section3", "(", "a", ")", "of", "this", "Agreement", ".", "The", "Executive", "shall", "assume", "and", "discharge", "such", "duties", "and", "responsibilities", "as", "are", "commensurate", "with", "the", "Executives", "position", ".", "The", "Executive", "shall", "be", "a", "full-time", "employee", "of", "the", "Company", "and", "shall", "exert", "his", "best", "efforts", "and", "devote", "substantially", "all", "of", "his", "business", "time", "and", "attention", "to", "the", "Companys", "affairs", "and", "the", "performance", "of", "his", "duties", "hereunder", "."]}
{"id": "10499", "text": "(a)Base Salary. During the Term, the Company shall pay the Executive for his services a Base Salary of Three Hundred Sixty Thousand Dollars ( $360,000 ) per year, to be paid in accordance with customary Company policies. The Base Salary shall be subject to increase or decrease according to policies and practices adopted by the Compensation Committee or the Board, as the case may be; provided, however, that in no event (i) shall the Base Salary for any year be decreased by more than ten percent (10%) from the immediately preceding years Base Salary, and (ii) shall the Base Salary be less than Three Hundred Sixty Thousand Dollars ( $360,000 ).", "ner": [[29, 32, "Salary"], [103, 104, "Percentage"]], "tokenized_text": ["(", "a", ")", "Base", "Salary", ".", "During", "the", "Term", ",", "the", "Company", "shall", "pay", "the", "Executive", "for", "his", "services", "a", "Base", "Salary", "of", "Three", "Hundred", "Sixty", "Thousand", "Dollars", "(", "$", "360", ",", "000", ")", "per", "year", ",", "to", "be", "paid", "in", "accordance", "with", "customary", "Company", "policies", ".", "The", "Base", "Salary", "shall", "be", "subject", "to", "increase", "or", "decrease", "according", "to", "policies", "and", "practices", "adopted", "by", "the", "Compensation", "Committee", "or", "the", "Board", ",", "as", "the", "case", "may", "be", ";", "provided", ",", "however", ",", "that", "in", "no", "event", "(", "i", ")", "shall", "the", "Base", "Salary", "for", "any", "year", "be", "decreased", "by", "more", "than", "ten", "percent", "(", "10", "%", ")", "from", "the", "immediately", "preceding", "years", "Base", "Salary", ",", "and", "(", "ii", ")", "shall", "the", "Base", "Salary", "be", "less", "than", "Three", "Hundred", "Sixty", "Thousand", "Dollars", "(", "$", "360", ",", "000", ")", "."]}
{"id": "10502", "text": "18.Applicable Law. This Agreement shall be governed and construed in accordance with the laws of the State of Delaware without giving effect to conflict of laws principles thereof.", "ner": [[19, 21, "Court"]], "tokenized_text": ["18", ".", "Applicable", "Law", ".", "This", "Agreement", "shall", "be", "governed", "and", "construed", "in", "accordance", "with", "the", "laws", "of", "the", "State", "of", "Delaware", "without", "giving", "effect", "to", "conflict", "of", "laws", "principles", "thereof", "."]}
{"id": "10504", "text": "8. Disclosure of Inventions. Employee will promptly disclose to the Company all Inventions that Employee makes, conceives, reduces to practice or creates, either alone or jointly with others, during the period of his or her employment with the Company. In addition, Employee will disclose to the Company all patent applications filed by Employee within three (3) years after termination of employment with the Company.", "ner": [], "tokenized_text": ["8", ".", "Disclosure", "of", "Inventions", ".", "Employee", "will", "promptly", "disclose", "to", "the", "Company", "all", "Inventions", "that", "Employee", "makes", ",", "conceives", ",", "reduces", "to", "practice", "or", "creates", ",", "either", "alone", "or", "jointly", "with", "others", ",", "during", "the", "period", "of", "his", "or", "her", "employment", "with", "the", "Company", ".", "In", "addition", ",", "Employee", "will", "disclose", "to", "the", "Company", "all", "patent", "applications", "filed", "by", "Employee", "within", "three", "(", "3", ")", "years", "after", "termination", "of", "employment", "with", "the", "Company", "."]}
{"id": "10507", "text": "(d)Company Product means any medical device, goods, products, product lines or services (i) that during the last one (1) year in which Employee was employed by the Company, Employee, or persons under Employees management, direction or supervision, performed research regarding, designed, developed, produced, manufactured, marketed, promoted, sold, solicited sales of, supported or serviced on behalf of the Company, or (ii) with respect to which Employee at any time received or otherwise obtained or learned Confidential Information.", "ner": [], "tokenized_text": ["(", "d", ")", "Company", "Product", "means", "any", "medical", "device", ",", "goods", ",", "products", ",", "product", "lines", "or", "services", "(", "i", ")", "that", "during", "the", "last", "one", "(", "1", ")", "year", "in", "which", "Employee", "was", "employed", "by", "the", "Company", ",", "Employee", ",", "or", "persons", "under", "Employees", "management", ",", "direction", "or", "supervision", ",", "performed", "research", "regarding", ",", "designed", ",", "developed", ",", "produced", ",", "manufactured", ",", "marketed", ",", "promoted", ",", "sold", ",", "solicited", "sales", "of", ",", "supported", "or", "serviced", "on", "behalf", "of", "the", "Company", ",", "or", "(", "ii", ")", "with", "respect", "to", "which", "Employee", "at", "any", "time", "received", "or", "otherwise", "obtained", "or", "learned", "Confidential", "Information", "."]}
{"id": "10509", "text": "6. Governing Law. This Agreement will be governed by and construed in accordance with the internal laws of the state of Delaware , without giving any effect to that states conflict of laws principles.", "ner": [[21, 23, "Court"]], "tokenized_text": ["6", ".", "Governing", "Law", ".", "This", "Agreement", "will", "be", "governed", "by", "and", "construed", "in", "accordance", "with", "the", "internal", "laws", "of", "the", "state", "of", "Delaware", ",", "without", "giving", "any", "effect", "to", "that", "states", "conflict", "of", "laws", "principles", "."]}
{"id": "10511", "text": "(b) The Stock Option shall be a non-qualified stock option. The Stock Option is not intended to be an incentive stock option under Section 422 of the Internal Revenue Code of 1986 , as amended (the Code). In order to comply with all applicable federal or state tax laws or regulations, the Company may take such action as it deems appropriate to insure that, if necessary, all applicable federal, state or other taxes are withheld or collected from the Optionee. This Agreement is not subject to, and the Stock Option is not granted under, the Companys 2013 Incentive Compensation Plan, as amended and restated (the 2013 Plan).", "ner": [[26, 27, "Regulation"], [30, 34, "Act"], [109, 112, "Title"]], "tokenized_text": ["(", "b", ")", "The", "Stock", "Option", "shall", "be", "a", "non-qualified", "stock", "option", ".", "The", "Stock", "Option", "is", "not", "intended", "to", "be", "an", "incentive", "stock", "option", "under", "Section", "422", "of", "the", "Internal", "Revenue", "Code", "of", "1986", ",", "as", "amended", "(", "the", "Code", ")", ".", "In", "order", "to", "comply", "with", "all", "applicable", "federal", "or", "state", "tax", "laws", "or", "regulations", ",", "the", "Company", "may", "take", "such", "action", "as", "it", "deems", "appropriate", "to", "insure", "that", ",", "if", "necessary", ",", "all", "applicable", "federal", ",", "state", "or", "other", "taxes", "are", "withheld", "or", "collected", "from", "the", "Optionee", ".", "This", "Agreement", "is", "not", "subject", "to", ",", "and", "the", "Stock", "Option", "is", "not", "granted", "under", ",", "the", "Companys", "2013", "Incentive", "Compensation", "Plan", ",", "as", "amended", "and", "restated", "(", "the", "2013", "Plan", ")", "."]}
{"id": "10513", "text": "As a condition to any transfer of Shares acquired upon exercise of the Stock Option, the Company may require an opinion of counsel, satisfactory to the Company, to the effect that such transfer will not be in violation of the Securities Act of 1933 , as amended, or any other applicable securities laws or that such transfer has been registered under federal and all applicable state securities laws.", "ner": [[43, 46, "Act"]], "tokenized_text": ["As", "a", "condition", "to", "any", "transfer", "of", "Shares", "acquired", "upon", "exercise", "of", "the", "Stock", "Option", ",", "the", "Company", "may", "require", "an", "opinion", "of", "counsel", ",", "satisfactory", "to", "the", "Company", ",", "to", "the", "effect", "that", "such", "transfer", "will", "not", "be", "in", "violation", "of", "the", "Securities", "Act", "of", "1933", ",", "as", "amended", ",", "or", "any", "other", "applicable", "securities", "laws", "or", "that", "such", "transfer", "has", "been", "registered", "under", "federal", "and", "all", "applicable", "state", "securities", "laws", "."]}
{"id": "10514", "text": "16.Governing Law. The validity, construction and effect of this Agreement shall be determined in accordance with the laws of the State of Delaware without giving effect to conflicts of laws principles.", "ner": [[24, 26, "Court"]], "tokenized_text": ["16", ".", "Governing", "Law", ".", "The", "validity", ",", "construction", "and", "effect", "of", "this", "Agreement", "shall", "be", "determined", "in", "accordance", "with", "the", "laws", "of", "the", "State", "of", "Delaware", "without", "giving", "effect", "to", "conflicts", "of", "laws", "principles", "."]}
{"id": "10516", "text": "THIS RESTRICTED SHARE AWARD AGREEMENT (this Agreement) is made effective as of the 7th day of November, 2017 (the Effective Date), by and between MRI INTERVENTIONS, INC. , a Delaware corporation (the Company), and JOSEPH MICHAEL BURNETT (the Grantee).", "ner": [[1, 4, "Title"], [15, 20, "EffectiveDate"], [30, 34, "Parties"], [45, 47, "Parties"]], "tokenized_text": ["THIS", "RESTRICTED", "SHARE", "AWARD", "AGREEMENT", "(", "this", "Agreement", ")", "is", "made", "effective", "as", "of", "the", "7th", "day", "of", "November", ",", "2017", "(", "the", "Effective", "Date", ")", ",", "by", "and", "between", "MRI", "INTERVENTIONS", ",", "INC", ".", ",", "a", "Delaware", "corporation", "(", "the", "Company", ")", ",", "and", "JOSEPH", "MICHAEL", "BURNETT", "(", "the", "Grantee", ")", "."]}
{"id": "10521", "text": "1\\. Term of Employment . The Company hereby agrees to employ Executive under this Agreement, and Executive hereby accepts such employment, for the Term of Employment. The Term of Employment shall commence as of the Effective Date and shall end on the second (2nd)anniversary of the Effective Date (the Initial Term) unless terminated earlier by either Party in accordance with Section7 of this Agreement; provided, that, on the second anniversary of the Effective Date and each anniversary of the Effective Date thereafter, the employment period shall be extended by one year unless, at least ninety (90)days prior to such anniversary, the Company or Employee delivers a written notice (a Notice of Non-Renewal) to the other party that the employment period shall not be so extended (the Initial Term, as from time to time extended or renewed, the Term of Employment).", "ner": [[47, 55, "TerminationDate"], [103, 104, "RenewalTerm"]], "tokenized_text": ["1", "\\", ".", "Term", "of", "Employment", ".", "The", "Company", "hereby", "agrees", "to", "employ", "Executive", "under", "this", "Agreement", ",", "and", "Executive", "hereby", "accepts", "such", "employment", ",", "for", "the", "Term", "of", "Employment", ".", "The", "Term", "of", "Employment", "shall", "commence", "as", "of", "the", "Effective", "Date", "and", "shall", "end", "on", "the", "second", "(", "2nd", ")", "anniversary", "of", "the", "Effective", "Date", "(", "the", "Initial", "Term", ")", "unless", "terminated", "earlier", "by", "either", "Party", "in", "accordance", "with", "Section7", "of", "this", "Agreement", ";", "provided", ",", "that", ",", "on", "the", "second", "anniversary", "of", "the", "Effective", "Date", "and", "each", "anniversary", "of", "the", "Effective", "Date", "thereafter", ",", "the", "employment", "period", "shall", "be", "extended", "by", "one", "year", "unless", ",", "at", "least", "ninety", "(", "90", ")", "days", "prior", "to", "such", "anniversary", ",", "the", "Company", "or", "Employee", "delivers", "a", "written", "notice", "(", "a", "Notice", "of", "Non-Renewal", ")", "to", "the", "other", "party", "that", "the", "employment", "period", "shall", "not", "be", "so", "extended", "(", "the", "Initial", "Term", ",", "as", "from", "time", "to", "time", "extended", "or", "renewed", ",", "the", "Term", "of", "Employment", ")", "."]}
{"id": "10526", "text": "5. Claw-Back. Notwithstanding any provision in this Agreement to the contrary, amounts payable hereunder shall be subject to claw-back or disgorgement, to the extent applicable, under (A)the Policies or any claw-back policy adopted by the Company, (B)the Dodd-Frank Wall Street Reform and Consumer Protection Act , as amended, and rules, regulations, and binding, published guidance thereunder, which legislation provides for the clawback and recovery of incentive compensation in the event of certain financial statement restatements and (C)the Sarbanes-Oxley Act of 2002 . If pursuant to Section10D of the Securities Exchange Act of 1934 , as amended (the Act), the Company (or any of its Subsidiaries or Affiliates) would not be eligible for continued listing, if applicable, under Section10D(a) of the Act if it (or they) did not adopt policies consistent with Section10D(b) of the Act, then, in accordance with those policies that are so required, any incentive-based compensation", "ner": [[49, 56, "Act"], [97, 100, "Act"], [108, 112, "Act"]], "tokenized_text": ["5", ".", "Claw-Back", ".", "Notwithstanding", "any", "provision", "in", "this", "Agreement", "to", "the", "contrary", ",", "amounts", "payable", "hereunder", "shall", "be", "subject", "to", "claw-back", "or", "disgorgement", ",", "to", "the", "extent", "applicable", ",", "under", "(", "A", ")", "the", "Policies", "or", "any", "claw-back", "policy", "adopted", "by", "the", "Company", ",", "(", "B", ")", "the", "Dodd-Frank", "Wall", "Street", "Reform", "and", "Consumer", "Protection", "Act", ",", "as", "amended", ",", "and", "rules", ",", "regulations", ",", "and", "binding", ",", "published", "guidance", "thereunder", ",", "which", "legislation", "provides", "for", "the", "clawback", "and", "recovery", "of", "incentive", "compensation", "in", "the", "event", "of", "certain", "financial", "statement", "restatements", "and", "(", "C", ")", "the", "Sarbanes-Oxley", "Act", "of", "2002", ".", "If", "pursuant", "to", "Section10D", "of", "the", "Securities", "Exchange", "Act", "of", "1934", ",", "as", "amended", "(", "the", "Act", ")", ",", "the", "Company", "(", "or", "any", "of", "its", "Subsidiaries", "or", "Affiliates", ")", "would", "not", "be", "eligible", "for", "continued", "listing", ",", "if", "applicable", ",", "under", "Section10D", "(", "a", ")", "of", "the", "Act", "if", "it", "(", "or", "they", ")", "did", "not", "adopt", "policies", "consistent", "with", "Section10D", "(", "b", ")", "of", "the", "Act", ",", "then", ",", "in", "accordance", "with", "those", "policies", "that", "are", "so", "required", ",", "any", "incentive-based", "compensation"]}
{"id": "10529", "text": "Subject to (1)Executives signing a separation agreement and release in the form attached hereto as Exhibit A (with such changes as may be necessary due to applicable law) (the Release) within twenty-one (21)days or forty-five (45)days, whichever period is applicable under the ADEA (as defined in Exhibit A) following the Date of Termination, and not revoking the Release within seven (7)days of signing it, and (2)Executive being available to provide consulting services as are reasonably requested by the Company during the Start-Up Period, (A)the Company will continue to pay Executives Base Salary for the period commencing on the Date of Termination and continuing until the first anniversary of the end of the Initial Term, or if the Term of Employment has been automatically extended as provided for in Section1, continuing until the first anniversary of the Termination Date (the applicable period being hereafter referred to as the Severance Period and such payments being referred to as the Severance Payments), paid as set forth in (iii)below, (B)the Company will pay Executive a Pro-Rata Bonus, to be paid at the time the Company pays annual bonuses to its similarly situated active officers (but not later than March15 of the calendar year following ---|---|---", "ner": [[8, 9, "Title"], [38, 42, "TerminationDate"], [44, 48, "TerminationDate"], [133, 134, "TerminationDate"]], "tokenized_text": ["Subject", "to", "(", "1", ")", "Executives", "signing", "a", "separation", "agreement", "and", "release", "in", "the", "form", "attached", "hereto", "as", "Exhibit", "A", "(", "with", "such", "changes", "as", "may", "be", "necessary", "due", "to", "applicable", "law", ")", "(", "the", "Release", ")", "within", "twenty-one", "(", "21", ")", "days", "or", "forty-five", "(", "45", ")", "days", ",", "whichever", "period", "is", "applicable", "under", "the", "ADEA", "(", "as", "defined", "in", "Exhibit", "A", ")", "following", "the", "Date", "of", "Termination", ",", "and", "not", "revoking", "the", "Release", "within", "seven", "(", "7", ")", "days", "of", "signing", "it", ",", "and", "(", "2", ")", "Executive", "being", "available", "to", "provide", "consulting", "services", "as", "are", "reasonably", "requested", "by", "the", "Company", "during", "the", "Start-Up", "Period", ",", "(", "A", ")", "the", "Company", "will", "continue", "to", "pay", "Executives", "Base", "Salary", "for", "the", "period", "commencing", "on", "the", "Date", "of", "Termination", "and", "continuing", "until", "the", "first", "anniversary", "of", "the", "end", "of", "the", "Initial", "Term", ",", "or", "if", "the", "Term", "of", "Employment", "has", "been", "automatically", "extended", "as", "provided", "for", "in", "Section1", ",", "continuing", "until", "the", "first", "anniversary", "of", "the", "Termination", "Date", "(", "the", "applicable", "period", "being", "hereafter", "referred", "to", "as", "the", "Severance", "Period", "and", "such", "payments", "being", "referred", "to", "as", "the", "Severance", "Payments", ")", ",", "paid", "as", "set", "forth", "in", "(", "iii", ")", "below", ",", "(", "B", ")", "the", "Company", "will", "pay", "Executive", "a", "Pro-Rata", "Bonus", ",", "to", "be", "paid", "at", "the", "time", "the", "Company", "pays", "annual", "bonuses", "to", "its", "similarly", "situated", "active", "officers", "(", "but", "not", "later", "than", "March15", "of", "the", "calendar", "year", "following", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "10530", "text": "| (iv) | Except as otherwise provided in this Agreement, and except for any vested benefits under any tax qualified pension plans of the Company and vested deferred compensation under any applicable deferred compensation plans, and continuation of health insurance benefits on the terms and to the extent required by Section4980B of the Code and Section601 of the Employee Retirement Income Security Act of 1974 , as amended (which provisions are commonly known as COBRA ), neither the Company nor Executive shall have any additional obligations under this Agreement. ---|---|---", "ner": [[54, 54, "Regulation"], [59, 59, "Regulation"], [62, 68, "Act"], [79, 79, "Act"]], "tokenized_text": ["|", "(", "iv", ")", "|", "Except", "as", "otherwise", "provided", "in", "this", "Agreement", ",", "and", "except", "for", "any", "vested", "benefits", "under", "any", "tax", "qualified", "pension", "plans", "of", "the", "Company", "and", "vested", "deferred", "compensation", "under", "any", "applicable", "deferred", "compensation", "plans", ",", "and", "continuation", "of", "health", "insurance", "benefits", "on", "the", "terms", "and", "to", "the", "extent", "required", "by", "Section4980B", "of", "the", "Code", "and", "Section601", "of", "the", "Employee", "Retirement", "Income", "Security", "Act", "of", "1974", ",", "as", "amended", "(", "which", "provisions", "are", "commonly", "known", "as", "COBRA", ")", ",", "neither", "the", "Company", "nor", "Executive", "shall", "have", "any", "additional", "obligations", "under", "this", "Agreement", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "10534", "text": "8329 W. Sunset Road", "ner": [[0, 4, "Address"]], "tokenized_text": ["8329", "W", ".", "Sunset", "Road"]}
{"id": "10536", "text": "(g) 409A Provisions. Notwithstanding anything herein to the contrary, this Agreement is intended to be interpreted and applied so that the payment of the benefits set forth herein either shall either be exempt from the requirements of Section409A of the Internal Revenue Code of 1986 , as amended (the Code), or shall comply with the requirements of such provision. Notwithstanding any provision in this Agreement or elsewhere to the contrary, if Executive is a Specified Employee, any payments or benefits due upon a termination of Executives employment under any arrangement that constitutes a deferral of compensation within the meaning of Section409A of the Code and which do not otherwise qualify under the exemptions under Treasury Regulations Section1.409A-1 (including without limitation, the short-term deferral exemption and the permitted payments under Treasury Regulations Section1.409A-1(b)(9)(iii)(A)), shall be delayed and paid or provided on the earlier of (i)the date which is six (6)months after Executives separation from service (as defined in Section409A of the Code and the regulations and other published guidance thereunder) for any reason other than death, and (ii)the date of Executives death. Notwithstanding anything in this Agreement or elsewhere to the contrary, distributions upon termination of Executives employment may only be made upon a separation from service as determined under Section409A of the Code and such date shall be the Date of Termination for purposes of this Agreement. Each payment under this Agreement or otherwise shall be treated as a separate payment for purposes of Section409A of the Code. In no event may Executive, directly or indirectly, designate the calendar year of any payment to be made under this Agreement or otherwise if such designation would constitute a deferral of compensation within the meaning of Section409A of the Code. All reimbursements and in-kind benefits provided under this Agreement shall be made or provided in accordance with the requirements of Section409A of the Code. To the extent that any reimbursements pursuant to this Agreement or otherwise are taxable to Executive, any reimbursement payment due to Executive shall be paid to Executive on or before the last day of Executives taxable year following the taxable year in which the related expense was incurred; provided, that, Executive has provided the Company written documentation of such expenses in a timely fashion and such expenses otherwise satisfy the Companys expense reimbursement policies. Reimbursements pursuant to this Agreement or otherwise are not subject to liquidation or exchange for another benefit and the amount of such reimbursements that Executive receives in one taxable year shall not affect the amount of such reimbursements that Executive receives in any other taxable year. Notwithstanding any of the foregoing to the contrary, the Company and its officers, directors, employees, agents, and representatives make no guarantee that the terms of this Agreement complies with, or is exempt from, the provisions of Code Section409A, and none of the foregoing shall have any liability for the failure of the terms of this Agreement to comply with, or be exempt from, the provisions of Code Section409A.", "ner": [[41, 41, "TerminationDate"], [44, 48, "Act"], [124, 128, "Regulation"], [531, 532, "Regulation"]], "tokenized_text": ["(", "g", ")", "409A", "Provisions", ".", "Notwithstanding", "anything", "herein", "to", "the", "contrary", ",", "this", "Agreement", "is", "intended", "to", "be", "interpreted", "and", "applied", "so", "that", "the", "payment", "of", "the", "benefits", "set", "forth", "herein", "either", "shall", "either", "be", "exempt", "from", "the", "requirements", "of", "Section409A", "of", "the", "Internal", "Revenue", "Code", "of", "1986", ",", "as", "amended", "(", "the", "Code", ")", ",", "or", "shall", "comply", "with", "the", "requirements", "of", "such", "provision", ".", "Notwithstanding", "any", "provision", "in", "this", "Agreement", "or", "elsewhere", "to", "the", "contrary", ",", "if", "Executive", "is", "a", "Specified", "Employee", ",", "any", "payments", "or", "benefits", "due", "upon", "a", "termination", "of", "Executives", "employment", "under", "any", "arrangement", "that", "constitutes", "a", "deferral", "of", "compensation", "within", "the", "meaning", "of", "Section409A", "of", "the", "Code", "and", "which", "do", "not", "otherwise", "qualify", "under", "the", "exemptions", "under", "Treasury", "Regulations", "Section1", ".", "409A-1", "(", "including", "without", "limitation", ",", "the", "short-term", "deferral", "exemption", "and", "the", "permitted", "payments", "under", "Treasury", "Regulations", "Section1", ".", "409A-1", "(", "b", ")", "(", "9", ")", "(", "iii", ")", "(", "A", ")", ")", ",", "shall", "be", "delayed", "and", "paid", "or", "provided", "on", "the", "earlier", "of", "(", "i", ")", "the", "date", "which", "is", "six", "(", "6", ")", "months", "after", "Executives", "separation", "from", "service", "(", "as", "defined", "in", "Section409A", "of", "the", "Code", "and", "the", "regulations", "and", "other", "published", "guidance", "thereunder", ")", "for", "any", "reason", "other", "than", "death", ",", "and", "(", "ii", ")", "the", "date", "of", "Executives", "death", ".", "Notwithstanding", "anything", "in", "this", "Agreement", "or", "elsewhere", "to", "the", "contrary", ",", "distributions", "upon", "termination", "of", "Executives", "employment", "may", "only", "be", "made", "upon", "a", "separation", "from", "service", "as", "determined", "under", "Section409A", "of", "the", "Code", "and", "such", "date", "shall", "be", "the", "Date", "of", "Termination", "for", "purposes", "of", "this", "Agreement", ".", "Each", "payment", "under", "this", "Agreement", "or", "otherwise", "shall", "be", "treated", "as", "a", "separate", "payment", "for", "purposes", "of", "Section409A", "of", "the", "Code", ".", "In", "no", "event", "may", "Executive", ",", "directly", "or", "indirectly", ",", "designate", "the", "calendar", "year", "of", "any", "payment", "to", "be", "made", "under", "this", "Agreement", "or", "otherwise", "if", "such", "designation", "would", "constitute", "a", "deferral", "of", "compensation", "within", "the", "meaning", "of", "Section409A", "of", "the", "Code", ".", "All", "reimbursements", "and", "in-kind", "benefits", "provided", "under", "this", "Agreement", "shall", "be", "made", "or", "provided", "in", "accordance", "with", "the", "requirements", "of", "Section409A", "of", "the", "Code", ".", "To", "the", "extent", "that", "any", "reimbursements", "pursuant", "to", "this", "Agreement", "or", "otherwise", "are", "taxable", "to", "Executive", ",", "any", "reimbursement", "payment", "due", "to", "Executive", "shall", "be", "paid", "to", "Executive", "on", "or", "before", "the", "last", "day", "of", "Executives", "taxable", "year", "following", "the", "taxable", "year", "in", "which", "the", "related", "expense", "was", "incurred", ";", "provided", ",", "that", ",", "Executive", "has", "provided", "the", "Company", "written", "documentation", "of", "such", "expenses", "in", "a", "timely", "fashion", "and", "such", "expenses", "otherwise", "satisfy", "the", "Companys", "expense", "reimbursement", "policies", ".", "Reimbursements", "pursuant", "to", "this", "Agreement", "or", "otherwise", "are", "not", "subject", "to", "liquidation", "or", "exchange", "for", "another", "benefit", "and", "the", "amount", "of", "such", "reimbursements", "that", "Executive", "receives", "in", "one", "taxable", "year", "shall", "not", "affect", "the", "amount", "of", "such", "reimbursements", "that", "Executive", "receives", "in", "any", "other", "taxable", "year", ".", "Notwithstanding", "any", "of", "the", "foregoing", "to", "the", "contrary", ",", "the", "Company", "and", "its", "officers", ",", "directors", ",", "employees", ",", "agents", ",", "and", "representatives", "make", "no", "guarantee", "that", "the", "terms", "of", "this", "Agreement", "complies", "with", ",", "or", "is", "exempt", "from", ",", "the", "provisions", "of", "Code", "Section409A", ",", "and", "none", "of", "the", "foregoing", "shall", "have", "any", "liability", "for", "the", "failure", "of", "the", "terms", "of", "this", "Agreement", "to", "comply", "with", ",", "or", "be", "exempt", "from", ",", "the", "provisions", "of", "Code", "Section409A", "."]}
{"id": "10539", "text": "In consideration of and in accordance with the , 2017 Employment Agreement by and between John Payne , (Executive) and VICI Properties Inc. , with offices at VICI Properties Inc. , 8329 W. Sunset Road , Suite 210 Las Vegas, Nevada 89113 (together with its successors and assigns, the Company) ( Employment Agreement ), of which this Exhibit A is part, Executive hereby agrees as follows. All terms not defined in this Separation Agreement and Release (Separation Agreement) shall have the same meanings as those set forth in the Employment Agreement .", "ner": [[10, 11, "Title"], [15, 16, "Parties"], [22, 25, "Parties"], [84, 85, "Title"]], "tokenized_text": ["In", "consideration", "of", "and", "in", "accordance", "with", "the", ",", "2017", "Employment", "Agreement", "by", "and", "between", "John", "Payne", ",", "(", "Executive", ")", "and", "VICI", "Properties", "Inc", ".", ",", "with", "offices", "at", "VICI", "Properties", "Inc", ".", ",", "8329", "W", ".", "Sunset", "Road", ",", "Suite", "210", "Las", "Vegas", ",", "Nevada", "89113", "(", "together", "with", "its", "successors", "and", "assigns", ",", "the", "Company", ")", "(", "Employment", "Agreement", ")", ",", "of", "which", "this", "Exhibit", "A", "is", "part", ",", "Executive", "hereby", "agrees", "as", "follows", ".", "All", "terms", "not", "defined", "in", "this", "Separation", "Agreement", "and", "Release", "(", "Separation", "Agreement", ")", "shall", "have", "the", "same", "meanings", "as", "those", "set", "forth", "in", "the", "Employment", "Agreement", "."]}
{"id": "10542", "text": "to stock options, equity awards, or other grants, awards, or warrants; claims related to any tangible or intangible property of Executive that remains with the Company; claims for retaliation, harassment or discrimination on the basis of race, color, sex, sexual orientation, national origin, ancestry, religion, age, disability, medical condition, marital status, gender identity, gender expression, or any other characteristic or criteria protected by law; any claim under Title VII of the Civil Rights Act of 1964 (Title VII, as amended), 42 U.S.C. 2000e , et seq., the Civil Rights Act of 1991 , the Civil Rights Act of 1866 , the Family and Medical Leave Act ( FMLA ), 29 U.S.C. 2601 , et seq., the Fair Labor Standards Act ( FLSA ), 29 U.S.C. 201 , et seq., the Equal Pay Act , 29 U.S.C. 206 (a) and interpretive regulations, the Americans with Disabilities Act ( ADA ), 42 U.S.C. 12101 , et seq., the Consolidated Omnibus Budget Reconciliation Act of 1986 ( COBRA ), the Occupational Safety and Health Act ( OSHA ) or any other health and/or safety laws, statutes, or regulations, the Uniformed Services Employment and Reemployment Rights Act ( USERRA ), 38 U.S.C. 4301-4333 , the Employee Retirement Income Security Act of 1974 ( ERISA ), 29 U.S.C. 301 , et seq., the Immigration Reform and Control Act of 1986 , 8 U.S.C. 1101 , et seq., or the Internal Revenue Code of 1986 , as amended, the Worker Adjustment and Retraining Notification Act ; all claims arising under the Sarbanes-Oxley Act of 2002 ( Public Law 107-204 ), including whistleblowing claims under 18 U.S.C. 1513 (e) and 1514A; the applicable state Wage and Hour Laws, and any and all other foreign, federal, state, or local laws, common law, or case law, including but not limited to all statutes, regulations, common law, and other laws in place in New Orleans, Louisiana .", "ner": [[92, 96, "Act"], [105, 112, "Regulation"], [119, 123, "Act"], [126, 130, "Act"], [133, 137, "Act"], [142, 149, "Regulation"], [156, 159, "Act"], [164, 171, "Regulation"], [178, 180, "Act"], [182, 192, "Regulation"], [198, 201, "Act"], [206, 213, "Regulation"], [220, 226, "Act"], [228, 228, "Act"], [232, 236, "Act"], [256, 262, "Act"], [267, 274, "Regulation"], [277, 283, "Act"], [285, 285, "Act"], [288, 295, "Regulation"], [302, 308, "Act"], [310, 317, "Regulation"], [325, 329, "Act"], [335, 340, "Act"], [347, 350, "Act"], [352, 354, "Regulation"], [424, 427, "Address"]], "tokenized_text": ["to", "stock", "options", ",", "equity", "awards", ",", "or", "other", "grants", ",", "awards", ",", "or", "warrants", ";", "claims", "related", "to", "any", "tangible", "or", "intangible", "property", "of", "Executive", "that", "remains", "with", "the", "Company", ";", "claims", "for", "retaliation", ",", "harassment", "or", "discrimination", "on", "the", "basis", "of", "race", ",", "color", ",", "sex", ",", "sexual", "orientation", ",", "national", "origin", ",", "ancestry", ",", "religion", ",", "age", ",", "disability", ",", "medical", "condition", ",", "marital", "status", ",", "gender", "identity", ",", "gender", "expression", ",", "or", "any", "other", "characteristic", "or", "criteria", "protected", "by", "law", ";", "any", "claim", "under", "Title", "VII", "of", "the", "Civil", "Rights", "Act", "of", "1964", "(", "Title", "VII", ",", "as", "amended", ")", ",", "42", "U", ".", "S", ".", "C", ".", "2000e", ",", "et", "seq", ".", ",", "the", "Civil", "Rights", "Act", "of", "1991", ",", "the", "Civil", "Rights", "Act", "of", "1866", ",", "the", "Family", "and", "Medical", "Leave", "Act", "(", "FMLA", ")", ",", "29", "U", ".", "S", ".", "C", ".", "2601", ",", "et", "seq", ".", ",", "the", "Fair", "Labor", "Standards", "Act", "(", "FLSA", ")", ",", "29", "U", ".", "S", ".", "C", ".", "201", ",", "et", "seq", ".", ",", "the", "Equal", "Pay", "Act", ",", "29", "U", ".", "S", ".", "C", ".", "206", "(", "a", ")", "and", "interpretive", "regulations", ",", "the", "Americans", "with", "Disabilities", "Act", "(", "ADA", ")", ",", "42", "U", ".", "S", ".", "C", ".", "12101", ",", "et", "seq", ".", ",", "the", "Consolidated", "Omnibus", "Budget", "Reconciliation", "Act", "of", "1986", "(", "COBRA", ")", ",", "the", "Occupational", "Safety", "and", "Health", "Act", "(", "OSHA", ")", "or", "any", "other", "health", "and", "/", "or", "safety", "laws", ",", "statutes", ",", "or", "regulations", ",", "the", "Uniformed", "Services", "Employment", "and", "Reemployment", "Rights", "Act", "(", "USERRA", ")", ",", "38", "U", ".", "S", ".", "C", ".", "4301-4333", ",", "the", "Employee", "Retirement", "Income", "Security", "Act", "of", "1974", "(", "ERISA", ")", ",", "29", "U", ".", "S", ".", "C", ".", "301", ",", "et", "seq", ".", ",", "the", "Immigration", "Reform", "and", "Control", "Act", "of", "1986", ",", "8", "U", ".", "S", ".", "C", ".", "1101", ",", "et", "seq", ".", ",", "or", "the", "Internal", "Revenue", "Code", "of", "1986", ",", "as", "amended", ",", "the", "Worker", "Adjustment", "and", "Retraining", "Notification", "Act", ";", "all", "claims", "arising", "under", "the", "Sarbanes-Oxley", "Act", "of", "2002", "(", "Public", "Law", "107-204", ")", ",", "including", "whistleblowing", "claims", "under", "18", "U", ".", "S", ".", "C", ".", "1513", "(", "e", ")", "and", "1514A", ";", "the", "applicable", "state", "Wage", "and", "Hour", "Laws", ",", "and", "any", "and", "all", "other", "foreign", ",", "federal", ",", "state", ",", "or", "local", "laws", ",", "common", "law", ",", "or", "case", "law", ",", "including", "but", "not", "limited", "to", "all", "statutes", ",", "regulations", ",", "common", "law", ",", "and", "other", "laws", "in", "place", "in", "New", "Orleans", ",", "Louisiana", "."]}
{"id": "10546", "text": "(b) Executive may revoke this Separation Agreement within seven (7)days of Executives signing it by delivering a written notice of such revocation to Attn: General Counsel, VICI Properties Inc. , 8329 W. Sunset Road , Suite 210 Las Vegas, Nevada 89113 , (phone): (702)407-6000, via nationally recognized overnight carrier or email. If Executive revokes this", "ner": [[7, 8, "Title"], [33, 36, "Parties"], [56, 59, "PII_Ref"]], "tokenized_text": ["(", "b", ")", "Executive", "may", "revoke", "this", "Separation", "Agreement", "within", "seven", "(", "7", ")", "days", "of", "Executives", "signing", "it", "by", "delivering", "a", "written", "notice", "of", "such", "revocation", "to", "Attn", ":", "General", "Counsel", ",", "VICI", "Properties", "Inc", ".", ",", "8329", "W", ".", "Sunset", "Road", ",", "Suite", "210", "Las", "Vegas", ",", "Nevada", "89113", ",", "(", "phone", ")", ":", "(", "702", ")", "407-6000", ",", "via", "nationally", "recognized", "overnight", "carrier", "or", "email", ".", "If", "Executive", "revokes", "this"]}
{"id": "10549", "text": "7\\. Entire Agreement. Except as otherwise specifically provided herein, this Separation Agreement constitutes the entire agreement of the Parties with respect to the subject matter hereof, contains all the covenants, promises, representations, warranties, and agreements between the Parties with respect to Executives separation from the Company and all positions therewith; provided, however, that nothing in this Agreement shall supersede the Sections in the Employment Agreement identified in Paragraph 3 (Survival) of this Separation Agreement. Any modification of this Separation Agreement will be effective only if it is in writing and signed by Executive and the Chief Executive Officer or General Counsel of the Company.", "ner": [[14, 15, "Title"], [75, 76, "Title"], [110, 112, "Role"]], "tokenized_text": ["7", "\\", ".", "Entire", "Agreement", ".", "Except", "as", "otherwise", "specifically", "provided", "herein", ",", "this", "Separation", "Agreement", "constitutes", "the", "entire", "agreement", "of", "the", "Parties", "with", "respect", "to", "the", "subject", "matter", "hereof", ",", "contains", "all", "the", "covenants", ",", "promises", ",", "representations", ",", "warranties", ",", "and", "agreements", "between", "the", "Parties", "with", "respect", "to", "Executives", "separation", "from", "the", "Company", "and", "all", "positions", "therewith", ";", "provided", ",", "however", ",", "that", "nothing", "in", "this", "Agreement", "shall", "supersede", "the", "Sections", "in", "the", "Employment", "Agreement", "identified", "in", "Paragraph", "3", "(", "Survival", ")", "of", "this", "Separation", "Agreement", ".", "Any", "modification", "of", "this", "Separation", "Agreement", "will", "be", "effective", "only", "if", "it", "is", "in", "writing", "and", "signed", "by", "Executive", "and", "the", "Chief", "Executive", "Officer", "or", "General", "Counsel", "of", "the", "Company", "."]}
{"id": "10550", "text": "John Payne | | ---|---|--- VICIPropertiesInc. | | ---|---|--- | By: | |", "ner": [[15, 16, "Parties"]], "tokenized_text": ["John", "Payne", "|", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "VICIPropertiesInc", ".", "|", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "By", ":", "|", "|"]}
{"id": "10551", "text": "This EMPLOYMENT AGREEMENT , including the Exhibits attached hereto (this AGREEMENT) is made and entered into as of this 9th day of October, 2017 , by and between InsPro Technologies Corporation , a Delaware corporation (the CORPORATION), and David M. Anderson (the EXECUTIVE). Each of the Corporation and the Executive hereinafter may be referred to individually as a PARTY or collectively as the PARTIES.", "ner": [[1, 2, "Title"], [21, 26, "EffectiveDate"], [31, 33, "Parties"], [44, 47, "Parties"]], "tokenized_text": ["This", "EMPLOYMENT", "AGREEMENT", ",", "including", "the", "Exhibits", "attached", "hereto", "(", "this", "AGREEMENT", ")", "is", "made", "and", "entered", "into", "as", "of", "this", "9th", "day", "of", "October", ",", "2017", ",", "by", "and", "between", "InsPro", "Technologies", "Corporation", ",", "a", "Delaware", "corporation", "(", "the", "CORPORATION", ")", ",", "and", "David", "M", ".", "Anderson", "(", "the", "EXECUTIVE", ")", ".", "Each", "of", "the", "Corporation", "and", "the", "Executive", "hereinafter", "may", "be", "referred", "to", "individually", "as", "a", "PARTY", "or", "collectively", "as", "the", "PARTIES", "."]}
{"id": "10553", "text": "(b)On the first regularly scheduled meeting of the Board following the Commencement Date (as defined below), the Executive shall be appointed as a member of the Board. For as long as the Executive remains the Chief Executive Officer of the Corporation, the Corporation agrees to nominate the Executive as a member of the Board at each meeting of shareholders at which Board members are to be elected. The Executive shall serve in such capacity at no additional compensation.", "ner": [[42, 44, "Role"]], "tokenized_text": ["(", "b", ")", "On", "the", "first", "regularly", "scheduled", "meeting", "of", "the", "Board", "following", "the", "Commencement", "Date", "(", "as", "defined", "below", ")", ",", "the", "Executive", "shall", "be", "appointed", "as", "a", "member", "of", "the", "Board", ".", "For", "as", "long", "as", "the", "Executive", "remains", "the", "Chief", "Executive", "Officer", "of", "the", "Corporation", ",", "the", "Corporation", "agrees", "to", "nominate", "the", "Executive", "as", "a", "member", "of", "the", "Board", "at", "each", "meeting", "of", "shareholders", "at", "which", "Board", "members", "are", "to", "be", "elected", ".", "The", "Executive", "shall", "serve", "in", "such", "capacity", "at", "no", "additional", "compensation", "."]}
{"id": "10555", "text": "(a)Base Salary. The Corporation shall pay the Executive as compensation for his services hereunder a base salary of $380,000 per annum (including any future increases in base salary, the BASE SALARY) in accordance with the Corporations normal payroll practices but in no event less frequently than on a monthly basis.", "ner": [[22, 25, "Salary"]], "tokenized_text": ["(", "a", ")", "Base", "Salary", ".", "The", "Corporation", "shall", "pay", "the", "Executive", "as", "compensation", "for", "his", "services", "hereunder", "a", "base", "salary", "of", "$", "380", ",", "000", "per", "annum", "(", "including", "any", "future", "increases", "in", "base", "salary", ",", "the", "BASE", "SALARY", ")", "in", "accordance", "with", "the", "Corporations", "normal", "payroll", "practices", "but", "in", "no", "event", "less", "frequently", "than", "on", "a", "monthly", "basis", "."]}
{"id": "10557", "text": "(i)If, during the Term, a Qualifying Sale (defined below) occurs at an Enterprise Value (defined below) in excess of $30,000,000 (the THRESHOLD), as determined by the Board, the Corporation shall grant the Executive an award of restricted shares of the same class or classes of securities as to which the Qualifying Sale relates (the RESTRICTED STOCK). Such Restricted Stock grant shall be made after the Corporation receives all requisite corporate approvals, including consent of the Board and stockholders as necessary. The number of shares of Restricted Stock that shall be granted to the Executive shall be calculated by dividing (i) 3% of the difference between the Enterprise Value at the Qualifying Sale and the Threshold, by (ii) the fair market value of an underlying share, as determined by the Board, on the grant date. For illustrative purposes only, if the Qualifying Sale is at an Enterprise Value of $40,000,000 , then the difference would be $10,000,000 , and the Executive would receive a Restricted Stock award valued at $300,000 ( 3% of $10,000,000 ) as of the date of grant. The Restricted Stock shall vest annually in three substantially equal installments, with the first installment vesting on the first anniversary of the date of grant, subject to the Executives continued employment with the Corporation through each such vesting date, provided that the Restricted Stock shall become fully vested upon a Change of Control (as defined in Exhibit B), a termination of employment by the Corporation without Cause (defined below), or a termination of employment by the Executive for Good Reason (defined below). In order to be eligible to receive the award of Restricted Stock, either (i) the Executive must be employed by the Corporation as of the grant date or (ii) the Executives employment must have been terminated by the Corporation without Cause or by the Executive for Good Reason, in either case within six months prior to the Qualifying Sale. The Restricted Stock shall be subject in all respects to the terms and conditions of a restricted stock award agreement in the form provided by the Corporation and the terms and conditions of the Health Benefits Direct Corporation 2010 Equity Compensation Plan (the EQUITY PLAN ), or on terms consistent with those set forth in the Equity Plan if the Restricted Stock cannot be granted under the Equity Plan. The Restricted Stock grant shall be subject in all cases to any securities law requirements and receipt of all Board and stockholder approvals if applicable.", "ner": [[28, 33, "Principal"], [125, 126, "Percentage"], [181, 186, "Principal"], [193, 198, "Principal"], [211, 214, "Principal"], [286, 288, "TerminationDate"], [385, 391, "TerminationDate"], [437, 438, "Title"], [451, 452, "Title"]], "tokenized_text": ["(", "i", ")", "If", ",", "during", "the", "Term", ",", "a", "Qualifying", "Sale", "(", "defined", "below", ")", "occurs", "at", "an", "Enterprise", "Value", "(", "defined", "below", ")", "in", "excess", "of", "$", "30", ",", "000", ",", "000", "(", "the", "THRESHOLD", ")", ",", "as", "determined", "by", "the", "Board", ",", "the", "Corporation", "shall", "grant", "the", "Executive", "an", "award", "of", "restricted", "shares", "of", "the", "same", "class", "or", "classes", "of", "securities", "as", "to", "which", "the", "Qualifying", "Sale", "relates", "(", "the", "RESTRICTED", "STOCK", ")", ".", "Such", "Restricted", "Stock", "grant", "shall", "be", "made", "after", "the", "Corporation", "receives", "all", "requisite", "corporate", "approvals", ",", "including", "consent", "of", "the", "Board", "and", "stockholders", "as", "necessary", ".", "The", "number", "of", "shares", "of", "Restricted", "Stock", "that", "shall", "be", "granted", "to", "the", "Executive", "shall", "be", "calculated", "by", "dividing", "(", "i", ")", "3", "%", "of", "the", "difference", "between", "the", "Enterprise", "Value", "at", "the", "Qualifying", "Sale", "and", "the", "Threshold", ",", "by", "(", "ii", ")", "the", "fair", "market", "value", "of", "an", "underlying", "share", ",", "as", "determined", "by", "the", "Board", ",", "on", "the", "grant", "date", ".", "For", "illustrative", "purposes", "only", ",", "if", "the", "Qualifying", "Sale", "is", "at", "an", "Enterprise", "Value", "of", "$", "40", ",", "000", ",", "000", ",", "then", "the", "difference", "would", "be", "$", "10", ",", "000", ",", "000", ",", "and", "the", "Executive", "would", "receive", "a", "Restricted", "Stock", "award", "valued", "at", "$", "300", ",", "000", "(", "3", "%", "of", "$", "10", ",", "000", ",", "000", ")", "as", "of", "the", "date", "of", "grant", ".", "The", "Restricted", "Stock", "shall", "vest", "annually", "in", "three", "substantially", "equal", "installments", ",", "with", "the", "first", "installment", "vesting", "on", "the", "first", "anniversary", "of", "the", "date", "of", "grant", ",", "subject", "to", "the", "Executives", "continued", "employment", "with", "the", "Corporation", "through", "each", "such", "vesting", "date", ",", "provided", "that", "the", "Restricted", "Stock", "shall", "become", "fully", "vested", "upon", "a", "Change", "of", "Control", "(", "as", "defined", "in", "Exhibit", "B", ")", ",", "a", "termination", "of", "employment", "by", "the", "Corporation", "without", "Cause", "(", "defined", "below", ")", ",", "or", "a", "termination", "of", "employment", "by", "the", "Executive", "for", "Good", "Reason", "(", "defined", "below", ")", ".", "In", "order", "to", "be", "eligible", "to", "receive", "the", "award", "of", "Restricted", "Stock", ",", "either", "(", "i", ")", "the", "Executive", "must", "be", "employed", "by", "the", "Corporation", "as", "of", "the", "grant", "date", "or", "(", "ii", ")", "the", "Executives", "employment", "must", "have", "been", "terminated", "by", "the", "Corporation", "without", "Cause", "or", "by", "the", "Executive", "for", "Good", "Reason", ",", "in", "either", "case", "within", "six", "months", "prior", "to", "the", "Qualifying", "Sale", ".", "The", "Restricted", "Stock", "shall", "be", "subject", "in", "all", "respects", "to", "the", "terms", "and", "conditions", "of", "a", "restricted", "stock", "award", "agreement", "in", "the", "form", "provided", "by", "the", "Corporation", "and", "the", "terms", "and", "conditions", "of", "the", "Health", "Benefits", "Direct", "Corporation", "2010", "Equity", "Compensation", "Plan", "(", "the", "EQUITY", "PLAN", ")", ",", "or", "on", "terms", "consistent", "with", "those", "set", "forth", "in", "the", "Equity", "Plan", "if", "the", "Restricted", "Stock", "cannot", "be", "granted", "under", "the", "Equity", "Plan", ".", "The", "Restricted", "Stock", "grant", "shall", "be", "subject", "in", "all", "cases", "to", "any", "securities", "law", "requirements", "and", "receipt", "of", "all", "Board", "and", "stockholder", "approvals", "if", "applicable", "."]}
{"id": "10558", "text": "(ii)For purposes of this Agreement, a QUALIFYING SALE shall mean a sale of Corporation securities by an existing shareholder or shareholders acting in concert (SHAREHOLDER QUALIFYING SALE), or the sale by the Corporation of newly issued securities (CORPORATION QUALIFYING SALE), in any case representing 10% or more of the fully-diluted outstanding capital stock of the Corporation; provided, however, any financing of the Corporation primarily involving existing investors in the Corporation or their affiliates shall not be a Qualifying Sale for purposes of this Agreement.", "ner": [[54, 55, "Percentage"]], "tokenized_text": ["(", "ii", ")", "For", "purposes", "of", "this", "Agreement", ",", "a", "QUALIFYING", "SALE", "shall", "mean", "a", "sale", "of", "Corporation", "securities", "by", "an", "existing", "shareholder", "or", "shareholders", "acting", "in", "concert", "(", "SHAREHOLDER", "QUALIFYING", "SALE", ")", ",", "or", "the", "sale", "by", "the", "Corporation", "of", "newly", "issued", "securities", "(", "CORPORATION", "QUALIFYING", "SALE", ")", ",", "in", "any", "case", "representing", "10", "%", "or", "more", "of", "the", "fully-diluted", "outstanding", "capital", "stock", "of", "the", "Corporation", ";", "provided", ",", "however", ",", "any", "financing", "of", "the", "Corporation", "primarily", "involving", "existing", "investors", "in", "the", "Corporation", "or", "their", "affiliates", "shall", "not", "be", "a", "Qualifying", "Sale", "for", "purposes", "of", "this", "Agreement", "."]}
{"id": "10560", "text": "(iii)during the period beginning on the termination date and ending on the earlier of (A) the date on which the Executive first becomes covered by any other equally advantageous group health plan as described in section 4980B(g)(2) of the Internal Revenue Code of 1986 , as amended (the CODE) or (B) 12-months following the termination date (the COVERAGE PERIOD), if the Executive is eligible for and timely elects to receive continued health coverage under the Corporations health plan under COBRA at a level of coverage at or below the Executives level of coverage in effect on the termination date, and the Executive pays the full monthly COBRA premium cost for such health coverage, the Corporation shall reimburse the Executive monthly an amount equal to the monthly cost of continuing coverage of the applicable benefit plans under COBRA , to the extent the Executive and the Executives dependents, as applicable, elect and qualify for such coverage (the COBRA REIMBURSEMENT). The payments under this subsection (iii) shall commence within 60 days after the termination date and the first payment shall include any payments for the period from the termination date to the first payment date. The Corporation shall reimburse the Executive under this subsection only for the portion of the Coverage Period during which the Executive continues coverage under the Corporations health plan. The Executive agrees to promptly notify the Corporation of the Executives coverage under an alternative health plan upon becoming covered by such alternative plan. The COBRA health care continuation coverage period under section 4980B of the Code shall run concurrently with the Coverage Period.", "ner": [[40, 41, "Regulation"], [50, 54, "Act"], [66, 70, "TerminationDate"], [97, 97, "Act"], [125, 125, "Act"], [156, 156, "Act"], [179, 179, "Act"], [276, 276, "Act"]], "tokenized_text": ["(", "iii", ")", "during", "the", "period", "beginning", "on", "the", "termination", "date", "and", "ending", "on", "the", "earlier", "of", "(", "A", ")", "the", "date", "on", "which", "the", "Executive", "first", "becomes", "covered", "by", "any", "other", "equally", "advantageous", "group", "health", "plan", "as", "described", "in", "section", "4980B", "(", "g", ")", "(", "2", ")", "of", "the", "Internal", "Revenue", "Code", "of", "1986", ",", "as", "amended", "(", "the", "CODE", ")", "or", "(", "B", ")", "12-months", "following", "the", "termination", "date", "(", "the", "COVERAGE", "PERIOD", ")", ",", "if", "the", "Executive", "is", "eligible", "for", "and", "timely", "elects", "to", "receive", "continued", "health", "coverage", "under", "the", "Corporations", "health", "plan", "under", "COBRA", "at", "a", "level", "of", "coverage", "at", "or", "below", "the", "Executives", "level", "of", "coverage", "in", "effect", "on", "the", "termination", "date", ",", "and", "the", "Executive", "pays", "the", "full", "monthly", "COBRA", "premium", "cost", "for", "such", "health", "coverage", ",", "the", "Corporation", "shall", "reimburse", "the", "Executive", "monthly", "an", "amount", "equal", "to", "the", "monthly", "cost", "of", "continuing", "coverage", "of", "the", "applicable", "benefit", "plans", "under", "COBRA", ",", "to", "the", "extent", "the", "Executive", "and", "the", "Executives", "dependents", ",", "as", "applicable", ",", "elect", "and", "qualify", "for", "such", "coverage", "(", "the", "COBRA", "REIMBURSEMENT", ")", ".", "The", "payments", "under", "this", "subsection", "(", "iii", ")", "shall", "commence", "within", "60", "days", "after", "the", "termination", "date", "and", "the", "first", "payment", "shall", "include", "any", "payments", "for", "the", "period", "from", "the", "termination", "date", "to", "the", "first", "payment", "date", ".", "The", "Corporation", "shall", "reimburse", "the", "Executive", "under", "this", "subsection", "only", "for", "the", "portion", "of", "the", "Coverage", "Period", "during", "which", "the", "Executive", "continues", "coverage", "under", "the", "Corporations", "health", "plan", ".", "The", "Executive", "agrees", "to", "promptly", "notify", "the", "Corporation", "of", "the", "Executives", "coverage", "under", "an", "alternative", "health", "plan", "upon", "becoming", "covered", "by", "such", "alternative", "plan", ".", "The", "COBRA", "health", "care", "continuation", "coverage", "period", "under", "section", "4980B", "of", "the", "Code", "shall", "run", "concurrently", "with", "the", "Coverage", "Period", "."]}
{"id": "10565", "text": "This Agreement sets forth the terms of your separation of employment with InsPro Technologies Corporation (the Parent) and InsPro Technologies, LLC , a Delaware limited liability company (the Company). If you understand and agree with these terms, please sign in the space provided below. If you and the Company sign below, this will be a legally binding document representing the entire agreement between you and the Company regarding the subjects it covers. We will refer to this document as the Agreement.", "ner": [[12, 14, "Parties"], [20, 23, "Parties"]], "tokenized_text": ["This", "Agreement", "sets", "forth", "the", "terms", "of", "your", "separation", "of", "employment", "with", "InsPro", "Technologies", "Corporation", "(", "the", "Parent", ")", "and", "InsPro", "Technologies", ",", "LLC", ",", "a", "Delaware", "limited", "liability", "company", "(", "the", "Company", ")", ".", "If", "you", "understand", "and", "agree", "with", "these", "terms", ",", "please", "sign", "in", "the", "space", "provided", "below", ".", "If", "you", "and", "the", "Company", "sign", "below", ",", "this", "will", "be", "a", "legally", "binding", "document", "representing", "the", "entire", "agreement", "between", "you", "and", "the", "Company", "regarding", "the", "subjects", "it", "covers", ".", "We", "will", "refer", "to", "this", "document", "as", "the", "Agreement", "."]}
{"id": "10566", "text": "Release of Claims. In exchange for the payment(s) described in the Consideration clause, you hereby waive all claims available under federal, state or local law against the Company and the directors, officers, employees, employee benefit plans and agents of the Company arising out of your employment with the Company or the termination of that employment, including but not limited to all claims arising under the Americans with Disabilities Act , the Civil Rights Act of 1991 , the Employee Retirement Income Security Act , the Equal Pay Act , the Genetic Information Non-discrimination Act , the Family and Medical Leave Act , Section 1981 of U.S.C, Title VII of the Civil Rights Act , the Pennsylvania Human Relations Act , the Pennsylvania Equal Pay Law, and the Pennsylvania Whistleblower Law, as well as wrongful termination claims, breach of contract claims, discrimination claims, harassment claims, retaliation claims, whistleblower claims (to the fullest extent they may be released under applicable law), defamation or other tort claims, and claims for attorneys fees and costs. You are not waiving your right to vested benefits under the written terms of the Company 401(k) Plan, claims for unemployment or workers compensation benefits, any medical claim incurred during your employment that is payable under applicable medical plans or an employer-insured liability plan, claims arising after the date on which you sign this Agreement, or claims that are not otherwise waivable under applicable law.", "ner": [[75, 78, "Act"], [81, 85, "Act"], [88, 92, "Act"], [95, 97, "Act"], [100, 103, "Act"], [106, 110, "Act"], [130, 133, "Act"], [136, 139, "Act"], [143, 145, "Act"]], "tokenized_text": ["Release", "of", "Claims", ".", "In", "exchange", "for", "the", "payment", "(", "s", ")", "described", "in", "the", "Consideration", "clause", ",", "you", "hereby", "waive", "all", "claims", "available", "under", "federal", ",", "state", "or", "local", "law", "against", "the", "Company", "and", "the", "directors", ",", "officers", ",", "employees", ",", "employee", "benefit", "plans", "and", "agents", "of", "the", "Company", "arising", "out", "of", "your", "employment", "with", "the", "Company", "or", "the", "termination", "of", "that", "employment", ",", "including", "but", "not", "limited", "to", "all", "claims", "arising", "under", "the", "Americans", "with", "Disabilities", "Act", ",", "the", "Civil", "Rights", "Act", "of", "1991", ",", "the", "Employee", "Retirement", "Income", "Security", "Act", ",", "the", "Equal", "Pay", "Act", ",", "the", "Genetic", "Information", "Non-discrimination", "Act", ",", "the", "Family", "and", "Medical", "Leave", "Act", ",", "Section", "1981", "of", "U", ".", "S", ".", "C", ",", "Title", "VII", "of", "the", "Civil", "Rights", "Act", ",", "the", "Pennsylvania", "Human", "Relations", "Act", ",", "the", "Pennsylvania", "Equal", "Pay", "Law", ",", "and", "the", "Pennsylvania", "Whistleblower", "Law", ",", "as", "well", "as", "wrongful", "termination", "claims", ",", "breach", "of", "contract", "claims", ",", "discrimination", "claims", ",", "harassment", "claims", ",", "retaliation", "claims", ",", "whistleblower", "claims", "(", "to", "the", "fullest", "extent", "they", "may", "be", "released", "under", "applicable", "law", ")", ",", "defamation", "or", "other", "tort", "claims", ",", "and", "claims", "for", "attorneys", "fees", "and", "costs", ".", "You", "are", "not", "waiving", "your", "right", "to", "vested", "benefits", "under", "the", "written", "terms", "of", "the", "Company", "401", "(", "k", ")", "Plan", ",", "claims", "for", "unemployment", "or", "workers", "compensation", "benefits", ",", "any", "medical", "claim", "incurred", "during", "your", "employment", "that", "is", "payable", "under", "applicable", "medical", "plans", "or", "an", "employer-insured", "liability", "plan", ",", "claims", "arising", "after", "the", "date", "on", "which", "you", "sign", "this", "Agreement", ",", "or", "claims", "that", "are", "not", "otherwise", "waivable", "under", "applicable", "law", "."]}
{"id": "10567", "text": "Addendum to General Release for Age Claims. In addition to all other claims released for the payment(s) described in the Consideration clause, you hereby waive all claims available against the Company and the directors, officers, employees, employee benefit plans and agents of the Company arising out of your employment with the Company or the termination of that employment under the Age Discrimination in Employment Act and the Older Workers Benefit Protection Act. < br/>", "ner": [[68, 72, "Act"], [75, 79, "Act"]], "tokenized_text": ["Addendum", "to", "General", "Release", "for", "Age", "Claims", ".", "In", "addition", "to", "all", "other", "claims", "released", "for", "the", "payment", "(", "s", ")", "described", "in", "the", "Consideration", "clause", ",", "you", "hereby", "waive", "all", "claims", "available", "against", "the", "Company", "and", "the", "directors", ",", "officers", ",", "employees", ",", "employee", "benefit", "plans", "and", "agents", "of", "the", "Company", "arising", "out", "of", "your", "employment", "with", "the", "Company", "or", "the", "termination", "of", "that", "employment", "under", "the", "Age", "Discrimination", "in", "Employment", "Act", "and", "the", "Older", "Workers", "Benefit", "Protection", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "10570", "text": "THIS EMPLOYMENT AGREEMENT (this Agreement) is made and entered into as of the [] day of [], 2017 , by and between Russell Nickel , a resident (Employee), and Funko, Inc. , a Delaware corporation (any of its Affiliates as may employ the Employee from time to time, and any successor(s) thereto, the Company).", "ner": [[1, 2, "Title"], [27, 28, "Parties"], [37, 40, "Parties"]], "tokenized_text": ["THIS", "EMPLOYMENT", "AGREEMENT", "(", "this", "Agreement", ")", "is", "made", "and", "entered", "into", "as", "of", "the", "[", "]", "day", "of", "[", "]", ",", "2017", ",", "by", "and", "between", "Russell", "Nickel", ",", "a", "resident", "(", "Employee", ")", ",", "and", "Funko", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "any", "of", "its", "Affiliates", "as", "may", "employ", "the", "Employee", "from", "time", "to", "time", ",", "and", "any", "successor", "(", "s", ")", "thereto", ",", "the", "Company", ")", "."]}
{"id": "10576", "text": "(b) If Employees employment is terminated pursuant to Section7.01(a) or (d)and provided that Employee shall have executed and delivered to the Company the a release of claims substantially in the form attached hereto as Exhibit A (the Release) and any period for rescission of such Release shall have expired without Employee having rescinding such Release, in addition to the Accrued Compensation, Employee shall be entitled to receive either (i)if Employee has been an employee of the Company or its affiliates for less than two years prior to the date of termination, continuation of the Base Salary for up to six (6)months from the date of termination, payable in six equal monthly installments in accordance with the Companys regular payroll practices, and reimbursement, up to a maximum of six (6)months, of the Company-paid portion of premium payments, as if Employee had remained an active employee, for any COBRA coverage Employee elects, if any; or (ii)if Employee has been an employee of the Company or its affiliates for at least two years prior to the date of termination, an amount equal to continuation of the Base Salary for up to twelve (12)months from the date of termination, payable in twelve equal monthly installments in accordance with the Companys regular payroll practices, and reimbursement, up to a maximum of twelve (12)months, of the Company-paid portion of premium payments, as if Employee had remained an active employee, for any COBRA coverage Employee elects, if any.", "ner": [[112, 113, "Salary"], [117, 121, "TerminationDate"], [176, 176, "Act"], [224, 228, "TerminationDate"], [283, 283, "Act"]], "tokenized_text": ["(", "b", ")", "If", "Employees", "employment", "is", "terminated", "pursuant", "to", "Section7", ".", "01", "(", "a", ")", "or", "(", "d", ")", "and", "provided", "that", "Employee", "shall", "have", "executed", "and", "delivered", "to", "the", "Company", "the", "a", "release", "of", "claims", "substantially", "in", "the", "form", "attached", "hereto", "as", "Exhibit", "A", "(", "the", "Release", ")", "and", "any", "period", "for", "rescission", "of", "such", "Release", "shall", "have", "expired", "without", "Employee", "having", "rescinding", "such", "Release", ",", "in", "addition", "to", "the", "Accrued", "Compensation", ",", "Employee", "shall", "be", "entitled", "to", "receive", "either", "(", "i", ")", "if", "Employee", "has", "been", "an", "employee", "of", "the", "Company", "or", "its", "affiliates", "for", "less", "than", "two", "years", "prior", "to", "the", "date", "of", "termination", ",", "continuation", "of", "the", "Base", "Salary", "for", "up", "to", "six", "(", "6", ")", "months", "from", "the", "date", "of", "termination", ",", "payable", "in", "six", "equal", "monthly", "installments", "in", "accordance", "with", "the", "Companys", "regular", "payroll", "practices", ",", "and", "reimbursement", ",", "up", "to", "a", "maximum", "of", "six", "(", "6", ")", "months", ",", "of", "the", "Company-paid", "portion", "of", "premium", "payments", ",", "as", "if", "Employee", "had", "remained", "an", "active", "employee", ",", "for", "any", "COBRA", "coverage", "Employee", "elects", ",", "if", "any", ";", "or", "(", "ii", ")", "if", "Employee", "has", "been", "an", "employee", "of", "the", "Company", "or", "its", "affiliates", "for", "at", "least", "two", "years", "prior", "to", "the", "date", "of", "termination", ",", "an", "amount", "equal", "to", "continuation", "of", "the", "Base", "Salary", "for", "up", "to", "twelve", "(", "12", ")", "months", "from", "the", "date", "of", "termination", ",", "payable", "in", "twelve", "equal", "monthly", "installments", "in", "accordance", "with", "the", "Companys", "regular", "payroll", "practices", ",", "and", "reimbursement", ",", "up", "to", "a", "maximum", "of", "twelve", "(", "12", ")", "months", ",", "of", "the", "Company-paid", "portion", "of", "premium", "payments", ",", "as", "if", "Employee", "had", "remained", "an", "active", "employee", ",", "for", "any", "COBRA", "coverage", "Employee", "elects", ",", "if", "any", "."]}
{"id": "10579", "text": "(e) Notwithstanding anything to the contrary in this Agreement, to the extent that any payments due under this Agreement as a result of the Employees termination of employment with the Company are subject to the Employees execution and delivery and non-revocation of the Release, (i)no such payments shall be made on or prior to the sixtieth (60th)day immediately following Employees date of termination (the Release Period), (ii)the Company shall deliver the Release to Employee no later than seven (7)days immediately following Employees date of termination, (iii)if, as of the Release Expiration Date, Employee has failed to execute the Release or has timely revoked his acceptance of the Release thereafter, Employee shall not be entitled to any payments or benefits otherwise conditioned on the Release, and (iv)if, as of the Release Expiration Date, Employee has executed the Release and has not revoked his acceptance of the Release thereafter, any such payments that are delayed pursuant to this Section8.06(e) shall be paid in a lump sum on the first regularly scheduled payroll date following the expiration of the Release Period, without interest. For purposes of this Section8.06(e), Release Expiration Date shall mean the date that is twenty- one (21)days following the date upon which the Company timely delivers the Release to Employee, or, in the event that Employees termination of employment is in connection with an exit incentive or other employment termination program (as such phrase is defined in the Age Discrimination in Employment Act of 1967 ), the date that is forty-five (45)days following such delivery date.", "ner": [[62, 72, "TerminationDate"], [291, 297, "Act"]], "tokenized_text": ["(", "e", ")", "Notwithstanding", "anything", "to", "the", "contrary", "in", "this", "Agreement", ",", "to", "the", "extent", "that", "any", "payments", "due", "under", "this", "Agreement", "as", "a", "result", "of", "the", "Employees", "termination", "of", "employment", "with", "the", "Company", "are", "subject", "to", "the", "Employees", "execution", "and", "delivery", "and", "non-revocation", "of", "the", "Release", ",", "(", "i", ")", "no", "such", "payments", "shall", "be", "made", "on", "or", "prior", "to", "the", "sixtieth", "(", "60th", ")", "day", "immediately", "following", "Employees", "date", "of", "termination", "(", "the", "Release", "Period", ")", ",", "(", "ii", ")", "the", "Company", "shall", "deliver", "the", "Release", "to", "Employee", "no", "later", "than", "seven", "(", "7", ")", "days", "immediately", "following", "Employees", "date", "of", "termination", ",", "(", "iii", ")", "if", ",", "as", "of", "the", "Release", "Expiration", "Date", ",", "Employee", "has", "failed", "to", "execute", "the", "Release", "or", "has", "timely", "revoked", "his", "acceptance", "of", "the", "Release", "thereafter", ",", "Employee", "shall", "not", "be", "entitled", "to", "any", "payments", "or", "benefits", "otherwise", "conditioned", "on", "the", "Release", ",", "and", "(", "iv", ")", "if", ",", "as", "of", "the", "Release", "Expiration", "Date", ",", "Employee", "has", "executed", "the", "Release", "and", "has", "not", "revoked", "his", "acceptance", "of", "the", "Release", "thereafter", ",", "any", "such", "payments", "that", "are", "delayed", "pursuant", "to", "this", "Section8", ".", "06", "(", "e", ")", "shall", "be", "paid", "in", "a", "lump", "sum", "on", "the", "first", "regularly", "scheduled", "payroll", "date", "following", "the", "expiration", "of", "the", "Release", "Period", ",", "without", "interest", ".", "For", "purposes", "of", "this", "Section8", ".", "06", "(", "e", ")", ",", "Release", "Expiration", "Date", "shall", "mean", "the", "date", "that", "is", "twenty", "-", "one", "(", "21", ")", "days", "following", "the", "date", "upon", "which", "the", "Company", "timely", "delivers", "the", "Release", "to", "Employee", ",", "or", ",", "in", "the", "event", "that", "Employees", "termination", "of", "employment", "is", "in", "connection", "with", "an", "exit", "incentive", "or", "other", "employment", "termination", "program", "(", "as", "such", "phrase", "is", "defined", "in", "the", "Age", "Discrimination", "in", "Employment", "Act", "of", "1967", ")", ",", "the", "date", "that", "is", "forty-five", "(", "45", ")", "days", "following", "such", "delivery", "date", "."]}
{"id": "10581", "text": "In exchange for the severance payments and benefits provided to me pursuant to Section7.05 and 7.06 (collectively, the Severance Benefits) of that certain Employment Agreement, dated as of [], by and among Funko, Inc. (Company) and Russell Nickel (the Employee) (the Employment Agreement), the Employee freely and voluntarily agrees to enter into and be bound by this Waiver and Release of Claims Agreement (this Release).", "ner": [[30, 31, "Title"], [42, 45, "Parties"], [50, 51, "Parties"], [80, 81, "Title"]], "tokenized_text": ["In", "exchange", "for", "the", "severance", "payments", "and", "benefits", "provided", "to", "me", "pursuant", "to", "Section7", ".", "05", "and", "7", ".", "06", "(", "collectively", ",", "the", "Severance", "Benefits", ")", "of", "that", "certain", "Employment", "Agreement", ",", "dated", "as", "of", "[", "]", ",", "by", "and", "among", "Funko", ",", "Inc", ".", "(", "Company", ")", "and", "Russell", "Nickel", "(", "the", "Employee", ")", "(", "the", "Employment", "Agreement", ")", ",", "the", "Employee", "freely", "and", "voluntarily", "agrees", "to", "enter", "into", "and", "be", "bound", "by", "this", "Waiver", "and", "Release", "of", "Claims", "Agreement", "(", "this", "Release", ")", "."]}
{"id": "10582", "text": "1\\. General Release. The Employee, on his own behalf and on behalf of his spouse, child or children (if any), heirs, personal representative, executors, administrators, successors, assigns and anyone else claiming through him (the Releasors), hereby releases and discharges forever Funko, Inc. , and its affiliates, and each of their respective past, present or future parent, affiliated, related, and subsidiary entities and each of their respective past, present or future directors, officers, employees, trustees, agents, attorneys, administrators, plans, plan administrators, insurers, equityholders, members, representatives, predecessors, successors and assigns, and all Persons acting by, through, under or in concert with them (hereinafter collectively referred to as the Released Parties), from and against all liabilities, claims, demands, liens, causes of action, charges, suits, complaints, grievances, contracts, agreements, promises, obligations, costs, losses, damages, injuries, attorneys fees and other legal responsibilities (collectively referred to as Claims), of any form whatsoever (whether or not relating to Employees employment with the Company), including, but not limited to, any claims in law, equity, contract or tort, claims under any policy, agreement, understanding or promise, written or oral, formal or informal, between the Employee and the Company or any of the other Released Parties, and any claims under the Civil Rights Act of 1866 , the Civil Rights Act of 1871 , the Civil Rights Act of 1964 , the Americans With Disabilities Act of 1990 , the Age Discrimination in Employment Act of 1967 ( ADEA ), the Sarbanes-Oxley Act of 2002 , the Securities Act of 1933 , the Securities Exchange Act of 1934 (the Exchange Act ), the Employee Retirement Income Security Act of 1974 , the Rehabilitation Act of 1973 , the Family and Medical Leave Act of 1993 , the Genetic Information Nondiscrimination Act of 2008 , the Worker Adjustment and Retraining Notification Act of 1988 , the Delaware Discrimination in Employment Act , the Delaware Persons with Disabilities Employment Protection Act , the Delaware Whistleblowers Protection Act , the Delaware Wage Payment and Collection Act , the Delaware Fair Employment Practices Act , Delawares social media law, the Washington Industrial Welfare Act , the Washington Minimum Wage Act , the Washington Wage Payment Act , the Washington Wage Rebate Act , the Washington Law Against Discrimination and the Washington Leave Law, as each may have been amended from time to time, or any other federal, state or local statute, regulation, law, rule, ordinance or constitution, or common law, whether known or unknown, unforeseen, unanticipated, unsuspected or latent, that the Employee or any of the Releasors now possess or have a right to, or have at any time heretofore owned or held, or may at any time own or hold by reason of any matter or thing arising from any cause whatsoever prior to the date of execution of this Release, and without limiting the generality of the foregoing, from all claims, demands and causes of action based upon, relating to, or arising out of: (a)the Employment Agreement; (b)the Employees employment or other relationship with any of the Released Parties or the termination thereof; and (c)the Employees status as a holder of securities of any of the Released Parties. This Release includes, but is not", "ner": [[56, 59, "Parties"], [279, 283, "Act"], [286, 290, "Act"], [293, 297, "Act"], [300, 305, "Act"], [308, 314, "Act"], [320, 323, "Act"], [326, 329, "Act"], [332, 336, "Act"], [344, 350, "Act"], [353, 356, "Act"], [359, 365, "Act"], [368, 373, "Act"], [376, 383, "Act"], [386, 390, "Act"], [393, 399, "Act"], [408, 413, "Act"], [416, 420, "Act"], [428, 431, "Act"], [434, 437, "Act"], [440, 443, "Act"], [446, 449, "Act"], [452, 455, "Act"], [599, 600, "Title"]], "tokenized_text": ["1", "\\", ".", "General", "Release", ".", "The", "Employee", ",", "on", "his", "own", "behalf", "and", "on", "behalf", "of", "his", "spouse", ",", "child", "or", "children", "(", "if", "any", ")", ",", "heirs", ",", "personal", "representative", ",", "executors", ",", "administrators", ",", "successors", ",", "assigns", "and", "anyone", "else", "claiming", "through", "him", "(", "the", "Releasors", ")", ",", "hereby", "releases", "and", "discharges", "forever", "Funko", ",", "Inc", ".", ",", "and", "its", "affiliates", ",", "and", "each", "of", "their", "respective", "past", ",", "present", "or", "future", "parent", ",", "affiliated", ",", "related", ",", "and", "subsidiary", "entities", "and", "each", "of", "their", "respective", "past", ",", "present", "or", "future", "directors", ",", "officers", ",", "employees", ",", "trustees", ",", "agents", ",", "attorneys", ",", "administrators", ",", "plans", ",", "plan", "administrators", ",", "insurers", ",", "equityholders", ",", "members", ",", "representatives", ",", "predecessors", ",", "successors", "and", "assigns", ",", "and", "all", "Persons", "acting", "by", ",", "through", ",", "under", "or", "in", "concert", "with", "them", "(", "hereinafter", "collectively", "referred", "to", "as", "the", "Released", "Parties", ")", ",", "from", "and", "against", "all", "liabilities", ",", "claims", ",", "demands", ",", "liens", ",", "causes", "of", "action", ",", "charges", ",", "suits", ",", "complaints", ",", "grievances", ",", "contracts", ",", "agreements", ",", "promises", ",", "obligations", ",", "costs", ",", "losses", ",", "damages", ",", "injuries", ",", "attorneys", "fees", "and", "other", "legal", "responsibilities", "(", "collectively", "referred", "to", "as", "Claims", ")", ",", "of", "any", "form", "whatsoever", "(", "whether", "or", "not", "relating", "to", "Employees", "employment", "with", "the", "Company", ")", ",", "including", ",", "but", "not", "limited", "to", ",", "any", "claims", "in", "law", ",", "equity", ",", "contract", "or", "tort", ",", "claims", "under", "any", "policy", ",", "agreement", ",", "understanding", "or", "promise", ",", "written", "or", "oral", ",", "formal", "or", "informal", ",", "between", "the", "Employee", "and", "the", "Company", "or", "any", "of", "the", "other", "Released", "Parties", ",", "and", "any", "claims", "under", "the", "Civil", "Rights", "Act", "of", "1866", ",", "the", "Civil", "Rights", "Act", "of", "1871", ",", "the", 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",", "the", "Delaware", "Wage", "Payment", "and", "Collection", "Act", ",", "the", "Delaware", "Fair", "Employment", "Practices", "Act", ",", "Delawares", "social", "media", "law", ",", "the", "Washington", "Industrial", "Welfare", "Act", ",", "the", "Washington", "Minimum", "Wage", "Act", ",", "the", "Washington", "Wage", "Payment", "Act", ",", "the", "Washington", "Wage", "Rebate", "Act", ",", "the", "Washington", "Law", "Against", "Discrimination", "and", "the", "Washington", "Leave", "Law", ",", "as", "each", "may", "have", "been", "amended", "from", "time", "to", "time", ",", "or", "any", "other", "federal", ",", "state", "or", "local", "statute", ",", "regulation", ",", "law", ",", "rule", ",", "ordinance", "or", "constitution", ",", "or", "common", "law", ",", "whether", "known", "or", "unknown", ",", "unforeseen", ",", "unanticipated", ",", "unsuspected", "or", "latent", ",", "that", "the", "Employee", "or", "any", "of", "the", "Releasors", "now", "possess", "or", "have", "a", "right", "to", ",", "or", "have", "at", "any", "time", "heretofore", "owned", "or", "held", ",", "or", "may", "at", "any", "time", "own", "or", "hold", "by", "reason", "of", "any", "matter", "or", "thing", "arising", "from", "any", "cause", "whatsoever", "prior", "to", "the", "date", "of", "execution", "of", "this", "Release", ",", "and", "without", "limiting", "the", "generality", "of", "the", "foregoing", ",", "from", "all", "claims", ",", "demands", "and", "causes", "of", "action", "based", "upon", ",", "relating", "to", ",", "or", "arising", "out", "of", ":", "(", "a", ")", "the", "Employment", "Agreement", ";", "(", "b", ")", "the", "Employees", "employment", "or", "other", "relationship", "with", "any", "of", "the", "Released", "Parties", "or", "the", "termination", "thereof", ";", "and", "(", "c", ")", "the", "Employees", "status", "as", "a", "holder", "of", "securities", "of", "any", "of", "the", "Released", "Parties", ".", "This", "Release", "includes", ",", "but", "is", "not"]}
{"id": "10584", "text": "7\\. ADEA Provisions. The Employee understands that this Release includes a release of claims arising under ADEA . The Employee acknowledges and agrees that he has had at least 21 days after the date of his receipt of this Release (such period, the Consideration Period) to review this Release and consider its terms before signing this Release and that the Consideration Period will not be affected or extended by any changes, whether material or immaterial, that might be made to this Release. The Employee further acknowledges and agrees that he understands that he may use as much or all of such 21-day period as he wishes before signing, and warrants that he has done so. The Employee may revoke and cancel this Release in writing at any time within seven days after his execution of this Release (such seven-day period, the Revocation Period) by providing notice of revocation to []. This Release shall not become effective and enforceable until after the expiration of the Revocation Period; after such time, if there has been no revocation, this Release shall immediately be fully effective and enforceable.", "ner": [[3, 3, "Act"]], "tokenized_text": ["7", "\\", ".", "ADEA", "Provisions", ".", "The", "Employee", "understands", "that", "this", "Release", "includes", "a", "release", "of", "claims", "arising", "under", "ADEA", ".", "The", "Employee", "acknowledges", "and", "agrees", "that", "he", "has", "had", "at", "least", "21", "days", "after", "the", "date", "of", "his", "receipt", "of", "this", "Release", "(", "such", "period", ",", "the", "Consideration", "Period", ")", "to", "review", "this", "Release", "and", "consider", "its", "terms", "before", "signing", "this", "Release", "and", "that", "the", "Consideration", "Period", "will", "not", "be", "affected", "or", "extended", "by", "any", "changes", ",", "whether", "material", "or", "immaterial", ",", "that", "might", "be", "made", "to", "this", "Release", ".", "The", "Employee", "further", "acknowledges", "and", "agrees", "that", "he", "understands", "that", "he", "may", "use", "as", "much", "or", "all", "of", "such", "21-day", "period", "as", "he", "wishes", "before", "signing", ",", "and", "warrants", "that", "he", "has", "done", "so", ".", "The", "Employee", "may", "revoke", "and", "cancel", "this", "Release", "in", "writing", "at", "any", "time", "within", "seven", "days", "after", "his", "execution", "of", "this", "Release", "(", "such", "seven-day", "period", ",", "the", "Revocation", "Period", ")", "by", "providing", "notice", "of", "revocation", "to", "[", "]", ".", "This", "Release", "shall", "not", "become", "effective", "and", "enforceable", "until", "after", "the", "expiration", "of", "the", "Revocation", "Period", ";", "after", "such", "time", ",", "if", "there", "has", "been", "no", "revocation", ",", "this", "Release", "shall", "immediately", "be", "fully", "effective", "and", "enforceable", "."]}
{"id": "10586", "text": "1.3Duties. During the term of this Agreement, the Founder shall be employed by the Employer and shall serve as Chief Operations Officer and Corporate Secretary . The Founder shall serve in such offices or positions with the Employer or any subsidiary of the Employer and such substitute or further offices or positions of substantially consistent rank and authority. The Founder shall perform such duties appropriate for a founding officer of Employer as may be assigned to him from time to time by the Employer and as described in the Employer's bylaws. The Employer shall direct, control, and supervise the duties and work of the Founder.", "ner": [[23, 25, "Role"], [27, 28, "Role"]], "tokenized_text": ["1", ".", "3Duties", ".", "During", "the", "term", "of", "this", "Agreement", ",", "the", "Founder", "shall", "be", "employed", "by", "the", "Employer", "and", "shall", "serve", "as", "Chief", "Operations", "Officer", "and", "Corporate", "Secretary", ".", "The", "Founder", "shall", "serve", "in", "such", "offices", "or", "positions", "with", "the", "Employer", "or", "any", "subsidiary", "of", "the", "Employer", "and", "such", "substitute", "or", "further", "offices", "or", "positions", "of", "substantially", "consistent", "rank", "and", "authority", ".", "The", "Founder", "shall", "perform", "such", "duties", "appropriate", "for", "a", "founding", "officer", "of", "Employer", "as", "may", "be", "assigned", "to", "him", "from", "time", "to", "time", "by", "the", "Employer", "and", "as", "described", "in", "the", "Employer", "'", "s", "bylaws", ".", "The", "Employer", "shall", "direct", ",", "control", ",", "and", "supervise", "the", "duties", "and", "work", "of", "the", "Founder", "."]}
{"id": "10588", "text": "5.1Term. Except as provided herein, the term of this Agreement shall be for a period of five (5) years commencing on the Effective Date and shall automatically renew for five (5) year periods for three consecutive terms unless terminated prior to the 90th day following the expiration of the applicable term. Notwithstanding the foregoing, this Agreement may otherwise be terminated pursuant to the terms hereof.", "ner": [[20, 24, "TerminationDate"], [35, 39, "RenewalTerm"]], "tokenized_text": ["5", ".", "1Term", ".", "Except", "as", "provided", "herein", ",", "the", "term", "of", "this", "Agreement", "shall", "be", "for", "a", "period", "of", "five", "(", "5", ")", "years", "commencing", "on", "the", "Effective", "Date", "and", "shall", "automatically", "renew", "for", "five", "(", "5", ")", "year", "periods", "for", "three", "consecutive", "terms", "unless", "terminated", "prior", "to", "the", "90th", "day", "following", "the", "expiration", "of", "the", "applicable", "term", ".", "Notwithstanding", "the", "foregoing", ",", "this", "Agreement", "may", "otherwise", "be", "terminated", "pursuant", "to", "the", "terms", "hereof", "."]}
{"id": "10595", "text": "1. Term. The Executive's employment hereunder shall be effective as of October 9, 2017 (the \"Effective Date\") and shall continue until the second anniversary thereof, unless terminated earlier pursuant to Section 5 of this Agreement; provided that, on such second anniversary of the Effective Date and each annual anniversary thereafter (such date and each annual anniversary thereof, a \"Renewal Date\"), the Agreement shall be deemed to be automatically extended, upon the same terms and conditions, for successive periods of one year , unless either party provides written notice of its intention not to extend the term of the Agreement at least 90 days' prior to the applicable Renewal Date. The period during which the Executive is employed by the Company hereunder is hereinafter referred to as the \"Employment Term.\"", "ner": [[15, 18, "EffectiveDate"], [31, 32, "TerminationDate"], [99, 100, "RenewalTerm"]], "tokenized_text": ["1", ".", "Term", ".", "The", "Executive", "'", "s", "employment", "hereunder", "shall", "be", "effective", "as", "of", "October", "9", ",", "2017", "(", "the", "\"", "Effective", "Date", "\"", ")", "and", "shall", "continue", "until", "the", "second", "anniversary", "thereof", ",", "unless", "terminated", "earlier", "pursuant", "to", "Section", "5", "of", "this", "Agreement", ";", "provided", "that", ",", "on", "such", "second", "anniversary", "of", "the", "Effective", "Date", "and", "each", "annual", "anniversary", "thereafter", "(", "such", "date", "and", "each", "annual", "anniversary", "thereof", ",", "a", "\"", "Renewal", "Date", "\"", ")", ",", "the", "Agreement", "shall", "be", "deemed", "to", "be", "automatically", "extended", ",", "upon", "the", "same", "terms", "and", "conditions", ",", "for", "successive", "periods", "of", "one", "year", ",", "unless", "either", "party", "provides", "written", "notice", "of", "its", "intention", "not", "to", "extend", "the", "term", "of", "the", "Agreement", "at", "least", "90", "days", "'", "prior", "to", "the", "applicable", "Renewal", "Date", ".", "The", "period", "during", "which", "the", "Executive", "is", "employed", "by", "the", "Company", "hereunder", "is", "hereinafter", "referred", "to", "as", "the", "\"", "Employment", "Term", ".", "\""]}
{"id": "10597", "text": "2.2 Duties. During the Employment Term, the Executive shall devote substantially all of his business time and attention to the performance of the Executive's duties hereunder and will not engage in any other business, profession, or occupation for compensation or otherwise which would conflict or interfere with the performance of such services either directly or indirectly without the prior written consent of the Board. Notwithstanding the foregoing, the Executive will be permitted to (a) with the prior written consent of the Board (which consent can be withheld by the Board in its discretion) act or serve as a director, trustee, committee member, or principal of any type of business, civic, or charitable organization as long as such activities are disclosed in writing to the Company's Chief Financial Officer or Secretary, and (b) purchase or own less than five percent ( 5% ) of the publicly traded securities of any corporation; provided that, such ownership represents a passive investment and that the Executive is not a controlling person of, or a member of a group that controls, such corporation; provided further that, the activities described in clauses (a) and (b) do not interfere with the performance of the Executive's duties and responsibilities to the Company as provided hereunder, including, but not limited to, the obligations set forth in Section 2 hereof.", "ner": [[146, 148, "Role"], [164, 165, "Percentage"]], "tokenized_text": ["2", ".", "2", "Duties", ".", "During", "the", "Employment", "Term", ",", "the", "Executive", "shall", "devote", "substantially", "all", "of", "his", "business", "time", "and", "attention", "to", "the", "performance", "of", "the", "Executive", "'", "s", "duties", "hereunder", "and", "will", "not", "engage", "in", "any", "other", "business", ",", "profession", ",", "or", "occupation", "for", "compensation", "or", "otherwise", "which", "would", "conflict", "or", "interfere", "with", "the", "performance", "of", "such", "services", "either", "directly", "or", "indirectly", "without", "the", "prior", "written", "consent", "of", "the", "Board", ".", "Notwithstanding", "the", "foregoing", ",", "the", "Executive", "will", "be", "permitted", "to", "(", "a", ")", "with", "the", "prior", "written", "consent", "of", "the", "Board", "(", "which", "consent", "can", "be", "withheld", "by", "the", "Board", "in", "its", "discretion", ")", "act", "or", "serve", "as", "a", "director", ",", "trustee", ",", "committee", "member", ",", "or", "principal", "of", "any", "type", "of", "business", ",", "civic", ",", "or", "charitable", "organization", "as", "long", "as", "such", "activities", "are", "disclosed", "in", "writing", "to", "the", "Company", "'", "s", "Chief", "Financial", "Officer", "or", "Secretary", ",", "and", "(", "b", ")", "purchase", "or", "own", "less", "than", "five", "percent", "(", "5", "%", ")", "of", "the", "publicly", "traded", "securities", "of", "any", "corporation", ";", "provided", "that", ",", "such", "ownership", "represents", "a", "passive", "investment", "and", "that", "the", "Executive", "is", "not", "a", "controlling", "person", "of", ",", "or", "a", "member", "of", "a", "group", "that", "controls", ",", "such", "corporation", ";", "provided", "further", "that", ",", "the", "activities", "described", "in", "clauses", "(", "a", ")", "and", "(", "b", ")", "do", "not", "interfere", "with", "the", "performance", "of", "the", "Executive", "'", "s", "duties", "and", "responsibilities", "to", "the", "Company", "as", "provided", "hereunder", ",", "including", ",", "but", "not", "limited", "to", ",", "the", "obligations", "set", "forth", "in", "Section", "2", "hereof", "."]}
{"id": "10598", "text": "3. Place of Performance. The principal place of Executive's employment shall be the Company's principal executive office currently located in Cincinnati, Ohio ; provided that, the Executive may be required to travel on Company business during the Employment Term.", "ner": [[26, 28, "Address"]], "tokenized_text": ["3", ".", "Place", "of", "Performance", ".", "The", "principal", "place", "of", "Executive", "'", "s", "employment", "shall", "be", "the", "Company", "'", "s", "principal", "executive", "office", "currently", "located", "in", "Cincinnati", ",", "Ohio", ";", "provided", "that", ",", "the", "Executive", "may", "be", "required", "to", "travel", "on", "Company", "business", "during", "the", "Employment", "Term", "."]}
{"id": "10603", "text": "the acquisition, directly or indirectly, of the Beneficial Ownership (within the meaning of that term as it is used in Section 13(d) of the Securities Exchange Act of 1934 , as amended) of fifty percent (50%) or more of the outstanding voting securities of the Company by any Person, entity or group. This definition shall not apply to the purchase of by underwriters in connection with a public offering of securities of the Company, or the purchase of shares of up to twenty five percent (2 5% ) of any class of securities of the Company by a tax-qualified employee stock benefit plan. ---|--- Notwithstanding the foregoing, a Change in Control shall not occur unless such transaction constitutes a change in the ownership of the Company, a change in effective control of the Company, or a change in the ownership of a substantial portion of the Company's assets under Section 409A.", "ner": [[30, 34, "Act"], [43, 44, "Percentage"], [99, 101, "Percentage"]], "tokenized_text": ["the", "acquisition", ",", "directly", "or", "indirectly", ",", "of", "the", "Beneficial", "Ownership", "(", "within", "the", "meaning", "of", "that", "term", "as", "it", "is", "used", "in", "Section", "13", "(", "d", ")", "of", "the", "Securities", "Exchange", "Act", "of", "1934", ",", "as", "amended", ")", "of", "fifty", "percent", "(", "50", "%", ")", "or", "more", "of", "the", "outstanding", "voting", "securities", "of", "the", "Company", "by", "any", "Person", ",", "entity", "or", "group", ".", "This", "definition", "shall", "not", "apply", "to", "the", "purchase", "of", "by", "underwriters", "in", "connection", "with", "a", "public", "offering", "of", "securities", "of", "the", "Company", ",", "or", "the", "purchase", "of", "shares", "of", "up", "to", "twenty", "five", "percent", "(", "2", "5", "%", ")", "of", "any", "class", "of", "securities", "of", "the", "Company", "by", "a", "tax-qualified", "employee", "stock", "benefit", "plan", ".", "-", "-", "-", "|", "-", "-", "-", "Notwithstanding", "the", "foregoing", ",", "a", "Change", "in", "Control", "shall", "not", "occur", "unless", "such", "transaction", "constitutes", "a", "change", "in", "the", "ownership", "of", "the", "Company", ",", "a", "change", "in", "effective", "control", "of", "the", "Company", ",", "or", "a", "change", "in", "the", "ownership", "of", "a", "substantial", "portion", "of", "the", "Company", "'", "s", "assets", "under", "Section", "409A", "."]}
{"id": "10607", "text": "3471 River Hills Drive", "ner": [[0, 3, "Address"]], "tokenized_text": ["3471", "River", "Hills", "Drive"]}
{"id": "10608", "text": "One East Fourth Street", "ner": [[0, 3, "Address"]], "tokenized_text": ["One", "East", "Fourth", "Street"]}
{"id": "10609", "text": "MERIDIAN BIOSCIENCE, INC. ---|--- | | By: /s/ John Kraeutler | Name: John A. Kraeutler | Title: Chairman, CEO | EXECUTIVE | ---|--- | Signature: /s/ John P. Kenny | Print Name: John P. Kenny |", "ner": [[19, 20, "Parties"], [31, 31, "Role"], [33, 33, "Role"], [35, 35, "Role"], [50, 53, "Parties"]], "tokenized_text": ["MERIDIAN", "BIOSCIENCE", ",", "INC", ".", "-", "-", "-", "|", "-", "-", "-", "|", "|", "By", ":", "/", "s", "/", "John", "Kraeutler", "|", "Name", ":", "John", "A", ".", "Kraeutler", "|", "Title", ":", "Chairman", ",", "CEO", "|", "EXECUTIVE", "|", "-", "-", "-", "|", "-", "-", "-", "|", "Signature", ":", "/", "s", "/", "John", "P", ".", "Kenny", "|", "Print", "Name", ":", "John", "P", ".", "Kenny", "|"]}
{"id": "10613", "text": "2. Title, Duties and Responsibilities. While Executive is employed by the Company, Executive will serve as the President and Chief Operating Officer of OptiNose,Inc. and will report to the Chief Executive Officer of OptiNose,Inc. Executive will have such duties and responsibilities that are commensurate with Executives position and such other duties and responsibilities as are from time to time assigned to Executive by Chief Executive Officer or the Board of Directors of the OptiNose,Inc. (the Board). While Executive is employed by the Company, Executive will devote Executives full business time, energy and skill to the performance of Executives duties and responsibilities hereunder; provided, however, that Executive will be permitted to devote a reasonable amount of time either during or after business hours to Outside Activities (as defined below), so long as such activities (i) do not prohibit or interfere with Executives performance of Executives duties under this Agreement, (ii) do not conflict with the business of the Company or violate any of the provisions of Section8 herein and (iii)are approved in advance in writing by the Chief Executive Officer of OptiNose,Inc. and the Nominating and Corporate Governance Committee (which consent shall not be unreasonably withheld). For purposes of this Agreement, Outside Activities shall include the oversight of passive investments and activities involving professional, charitable, education, religious and other organizations (including membership on boards of for-profit and non-profit organizations). Executive shall, if requested by the Board, also serve as an officer or director of any affiliate of the Company for no additional compensation. Executives place of employment will be the Companys offices in Yardley, Pennsylvania.", "ner": [[21, 21, "Role"], [23, 25, "Role"], [27, 30, "Parties"], [36, 38, "Role"], [40, 43, "Parties"], [73, 75, "Role"], [83, 86, "Parties"], [208, 210, "Role"], [212, 215, "Parties"], [310, 312, "Address"]], "tokenized_text": ["2", ".", "Title", ",", "Duties", "and", "Responsibilities", ".", "While", "Executive", "is", "employed", "by", "the", "Company", ",", "Executive", "will", "serve", "as", "the", "President", "and", "Chief", "Operating", "Officer", "of", "OptiNose", ",", "Inc", ".", "and", "will", "report", "to", "the", "Chief", "Executive", "Officer", "of", "OptiNose", ",", "Inc", ".", "Executive", "will", "have", "such", "duties", "and", "responsibilities", "that", "are", "commensurate", "with", "Executives", "position", "and", "such", "other", "duties", "and", "responsibilities", "as", "are", "from", "time", "to", "time", "assigned", "to", "Executive", "by", "Chief", "Executive", "Officer", "or", "the", "Board", "of", "Directors", "of", "the", "OptiNose", ",", "Inc", ".", "(", "the", "Board", ")", ".", "While", "Executive", "is", "employed", "by", "the", "Company", ",", "Executive", "will", "devote", "Executives", "full", "business", "time", ",", "energy", "and", "skill", "to", "the", "performance", "of", "Executives", "duties", "and", "responsibilities", "hereunder", ";", "provided", ",", "however", ",", "that", "Executive", "will", "be", "permitted", "to", "devote", "a", "reasonable", "amount", "of", "time", "either", "during", "or", "after", "business", "hours", "to", "Outside", "Activities", "(", "as", "defined", "below", ")", ",", "so", "long", "as", "such", "activities", "(", "i", ")", "do", "not", "prohibit", "or", "interfere", "with", "Executives", "performance", "of", "Executives", "duties", "under", "this", "Agreement", ",", "(", "ii", ")", "do", "not", "conflict", "with", "the", "business", "of", "the", "Company", "or", "violate", "any", "of", "the", "provisions", "of", "Section8", "herein", "and", "(", "iii", ")", "are", "approved", "in", "advance", "in", "writing", "by", "the", "Chief", "Executive", "Officer", "of", "OptiNose", ",", "Inc", ".", "and", "the", "Nominating", "and", "Corporate", "Governance", "Committee", "(", "which", "consent", "shall", "not", "be", "unreasonably", "withheld", ")", ".", "For", "purposes", "of", "this", "Agreement", ",", "Outside", "Activities", "shall", "include", "the", "oversight", "of", "passive", "investments", "and", "activities", "involving", "professional", ",", "charitable", ",", "education", ",", "religious", "and", "other", "organizations", "(", "including", "membership", "on", "boards", "of", "for-profit", "and", "non-profit", "organizations", ")", ".", "Executive", "shall", ",", "if", "requested", "by", "the", "Board", ",", "also", "serve", "as", "an", "officer", "or", "director", "of", "any", "affiliate", "of", "the", "Company", "for", "no", "additional", "compensation", ".", "Executives", "place", "of", "employment", "will", "be", "the", "Companys", "offices", "in", "Yardley", ",", "Pennsylvania", "."]}
{"id": "10614", "text": "3. Base Salary. While Executive is employed by the Company, the Company will pay Executive a base annual salary (the Base Salary) at the rate of $437,750 per year, paid in accordance with the usual payroll practices of the Company. Executives Base Salary shall be reviewed periodically for potential increases pursuant to Company review policies applicable to senior executives by the Compensation Committee of the Board (the Compensation Committee) or the Board.", "ner": [[31, 34, "Salary"]], "tokenized_text": ["3", ".", "Base", "Salary", ".", "While", "Executive", "is", "employed", "by", "the", "Company", ",", "the", "Company", "will", "pay", "Executive", "a", "base", "annual", "salary", "(", "the", "Base", "Salary", ")", "at", "the", "rate", "of", "$", "437", ",", "750", "per", "year", ",", "paid", "in", "accordance", "with", "the", "usual", "payroll", "practices", "of", "the", "Company", ".", "Executives", "Base", "Salary", "shall", "be", "reviewed", "periodically", "for", "potential", "increases", "pursuant", "to", "Company", "review", "policies", "applicable", "to", "senior", "executives", "by", "the", "Compensation", "Committee", "of", "the", "Board", "(", "the", "Compensation", "Committee", ")", "or", "the", "Board", "."]}
{"id": "10615", "text": "(a) Discretionary Bonus. Executive will be eligible to receive an annual target cash bonus of 50% Percentage× of Executives Base Salary (the Target Annual Bonus) (pro-rated for any portion of a year during which Executive is not employed by the Company) at the discretion of the Board or the Compensation Committee and contingent upon attainment of certain Company milestones and/or individual objectives as determined by the Board or the Compensation Committee. The actual annual bonus payable for any given year, if any, may be higher or lower than the Target Annual Bonus. Payment of such bonus is contingent upon continued employment with the Company at the time of payment unless otherwise specified herein or in the terms pursuant to which such bonus is granted. Executives Target Annual Bonus shall be reviewed periodically for potential increases pursuant to Company review policies applicable to senior executives by the Compensation Committee or the Board.", "ner": [[18, 19, "Percentage"]], "tokenized_text": ["(", "a", ")", "Discretionary", "Bonus", ".", "Executive", "will", "be", "eligible", "to", "receive", "an", "annual", "target", "cash", "bonus", "of", "50", "%", "Percentage", "×", "of", "Executives", "Base", "Salary", "(", "the", "Target", "Annual", "Bonus", ")", "(", "pro-rated", "for", "any", "portion", "of", "a", "year", "during", "which", "Executive", "is", "not", "employed", "by", "the", "Company", ")", "at", "the", "discretion", "of", "the", "Board", "or", "the", "Compensation", "Committee", "and", "contingent", "upon", "attainment", "of", "certain", "Company", "milestones", "and", "/", "or", "individual", "objectives", "as", "determined", "by", "the", "Board", "or", "the", "Compensation", "Committee", ".", "The", "actual", "annual", "bonus", "payable", "for", "any", "given", "year", ",", "if", "any", ",", "may", "be", "higher", "or", "lower", "than", "the", "Target", "Annual", "Bonus", ".", "Payment", "of", "such", "bonus", "is", "contingent", "upon", "continued", "employment", "with", "the", "Company", "at", "the", "time", "of", "payment", "unless", "otherwise", "specified", "herein", "or", "in", "the", "terms", "pursuant", "to", "which", "such", "bonus", "is", "granted", ".", "Executives", "Target", "Annual", "Bonus", "shall", "be", "reviewed", "periodically", "for", "potential", "increases", "pursuant", "to", "Company", "review", "policies", "applicable", "to", "senior", "executives", "by", "the", "Compensation", "Committee", "or", "the", "Board", "."]}
{"id": "10616", "text": "of a reasonable accommodation as that term is defined in the American with Disabilities Act . If Executive suffers a Disability and the Disability continues for a continuous period of more than three months, then the Company shall have the right to terminate Executives employment upon written notice to Executive, at which time all of Executives rights to compensation and benefits under Sections 3, 4 and 5 herein or otherwise shall immediately terminate, except that Executive shall be entitled to the Accrued Benefits.", "ner": [[11, 14, "Act"]], "tokenized_text": ["of", "a", "reasonable", "accommodation", "as", "that", "term", "is", "defined", "in", "the", "American", "with", "Disabilities", "Act", ".", "If", "Executive", "suffers", "a", "Disability", "and", "the", "Disability", "continues", "for", "a", "continuous", "period", "of", "more", "than", "three", "months", ",", "then", "the", "Company", "shall", "have", "the", "right", "to", "terminate", "Executives", "employment", "upon", "written", "notice", "to", "Executive", ",", "at", "which", "time", "all", "of", "Executives", "rights", "to", "compensation", "and", "benefits", "under", "Sections", "3", ",", "4", "and", "5", "herein", "or", "otherwise", "shall", "immediately", "terminate", ",", "except", "that", "Executive", "shall", "be", "entitled", "to", "the", "Accrued", "Benefits", "."]}
{"id": "10618", "text": "dependents in the standard group medical, dental and vision plans of the Company as in effect from time to time, on substantially the same terms and conditions as such benefits are provided to employees during the applicable period, and reimbursement by the Company of the monthly COBRA premium paid by Executive for him and his eligible dependents for twelve (12) months or, if earlier, until the date Executive is no longer eligible to receive COBRA continuation coverage; provided, however, in the event the Company determines that such provisions would subject Executive to taxation under Section105(h)of the Internal Revenue Code of 1986, as amended (the Code), or otherwise violate any healthcare law or regulation, then, in lieu of reimbursing Executive, the Company shall pay to Executive an amount equal to the amount Executive would be required to pay for continuation of group health coverage for Executive and his eligible dependents through an election under COBRA for twelve (12) months, which amount shall be paid in a lump sum at the same time payments under Section5(e)(i)commence and is intended to assist Executive with costs of health coverage, which Executive may (but is not required to) obtain through an election to continue health care coverage under COBRA ; and", "ner": [[49, 49, "Act"], [81, 81, "Act"], [110, 114, "Act"], [174, 174, "Act"], [237, 237, "Act"]], "tokenized_text": ["dependents", "in", "the", "standard", "group", "medical", ",", "dental", "and", "vision", "plans", "of", "the", "Company", "as", "in", "effect", "from", "time", "to", "time", ",", "on", "substantially", "the", "same", "terms", "and", "conditions", "as", "such", "benefits", "are", "provided", "to", "employees", "during", "the", "applicable", "period", ",", "and", "reimbursement", "by", "the", "Company", "of", "the", "monthly", "COBRA", "premium", "paid", "by", "Executive", "for", "him", "and", "his", "eligible", "dependents", "for", "twelve", "(", "12", ")", "months", "or", ",", "if", "earlier", ",", "until", "the", "date", "Executive", "is", "no", "longer", "eligible", "to", "receive", "COBRA", "continuation", "coverage", ";", "provided", ",", "however", ",", "in", "the", "event", "the", "Company", "determines", "that", "such", "provisions", "would", "subject", "Executive", "to", "taxation", "under", "Section105", "(", "h", ")", "of", "the", "Internal", "Revenue", "Code", "of", "1986", ",", "as", "amended", "(", "the", "Code", ")", ",", "or", "otherwise", "violate", "any", "healthcare", "law", "or", "regulation", ",", "then", ",", "in", "lieu", "of", "reimbursing", "Executive", ",", "the", "Company", "shall", "pay", "to", "Executive", "an", "amount", "equal", "to", "the", "amount", "Executive", "would", "be", "required", "to", "pay", "for", "continuation", "of", "group", "health", "coverage", "for", "Executive", "and", "his", "eligible", "dependents", "through", "an", "election", "under", "COBRA", "for", "twelve", "(", "12", ")", "months", ",", "which", "amount", "shall", "be", "paid", "in", "a", "lump", "sum", "at", "the", "same", "time", "payments", "under", "Section5", "(", "e", ")", "(", "i", ")", "commence", "and", "is", "intended", "to", "assist", "Executive", "with", "costs", "of", "health", "coverage", ",", "which", "Executive", "may", "(", "but", "is", "not", "required", "to", ")", "obtain", "through", "an", "election", "to", "continue", "health", "care", "coverage", "under", "COBRA", ";", "and"]}
{"id": "10621", "text": "disclosure and cooperates at the Companys cost with the Company in seeking a protective order or other appropriate protection of such information). The Company and Executive acknowledge that, notwithstanding anything to the contrary contained in this Agreement, pursuant to 18 USC 1833 (b), an individual may not be held liable under any criminal or civil federal or state trade secret law for disclosure of a trade secret: (i)made in confidence to a government official, either directly or indirectly, or to an attorney, solely for the purpose of reporting or investigating a suspected violation of law or (ii)in a complaint or other document filed in a lawsuit or other proceeding, if such filing is made under seal. The Company and Executive further acknowledge that an individual suing an employer for retaliation based on the reporting of a suspected violation of law may disclose a trade secret to his attorney and use the trade secret information in the court proceeding, so long as any document containing the trade secret is filed under seal and the individual does not disclose the trade secret except pursuant to court order.", "ner": [[43, 45, "Regulation"]], "tokenized_text": ["disclosure", "and", "cooperates", "at", "the", "Companys", "cost", "with", "the", "Company", "in", "seeking", "a", "protective", "order", "or", "other", "appropriate", "protection", "of", "such", "information", ")", ".", "The", "Company", "and", "Executive", "acknowledge", "that", ",", "notwithstanding", "anything", "to", "the", "contrary", "contained", "in", "this", "Agreement", ",", "pursuant", "to", "18", "USC", "1833", "(", "b", ")", ",", "an", "individual", "may", "not", "be", "held", "liable", "under", "any", "criminal", "or", "civil", "federal", "or", "state", "trade", "secret", "law", "for", "disclosure", "of", "a", "trade", "secret", ":", "(", "i", ")", "made", "in", "confidence", "to", "a", "government", "official", ",", "either", "directly", "or", "indirectly", ",", "or", "to", "an", "attorney", ",", "solely", "for", "the", "purpose", "of", "reporting", "or", "investigating", "a", "suspected", "violation", "of", "law", "or", "(", "ii", ")", "in", "a", "complaint", "or", "other", "document", "filed", "in", "a", "lawsuit", "or", "other", "proceeding", ",", "if", "such", "filing", "is", "made", "under", "seal", ".", "The", "Company", "and", "Executive", "further", "acknowledge", "that", "an", "individual", "suing", "an", "employer", "for", "retaliation", "based", "on", "the", "reporting", "of", "a", "suspected", "violation", "of", "law", "may", "disclose", "a", "trade", "secret", "to", "his", "attorney", "and", "use", "the", "trade", "secret", "information", "in", "the", "court", "proceeding", ",", "so", "long", "as", "any", "document", "containing", "the", "trade", "secret", "is", "filed", "under", "seal", "and", "the", "individual", "does", "not", "disclose", "the", "trade", "secret", "except", "pursuant", "to", "court", "order", "."]}
{"id": "10624", "text": "a. In consideration of the amounts to be paid by the Company pursuant to the Employment Agreement entered into on [Date], 2017, by and between the Company and Executive (the Employment Agreement), Executive, on behalf of himself and his heirs, executors, devisees, successors and assigns, knowingly and voluntarily releases, remises, and forever discharges the Company and its parents, subsidiaries or affiliates, together with each of their current and former principals, officers, directors, shareholders, agents, representatives and employees, and each of their heirs, executors, successors and assigns (collectively, the Releasees), from any and all debts, demands, actions, causes of action, accounts, covenants, contracts, agreements, claims, damages, omissions, promises, and any and all claims and liabilities whatsoever, of every name and nature, known or unknown, suspected or unsuspected, both in law and equity (Claims), which Executive ever had, now has, or may hereafter claim to have against the Releasees by reason of any matter or cause whatsoever arising from the beginning of time to the time he signs this Agreement (the General Release). This General Release of Claims shall apply to any Claim of any type, including, without limitation, any and all Claims of any type that Executive may have arising under the common law, under the National Labor Relations Act, Title VII of the Civil Rights Act of 1964 , the Civil Rights Act of 1991 , the Older Workers Benefit Protection Act , the Americans With Disabilities Act of 1967 , the Family and Medical Leave Act of 1993 , the Fair Labor Standards Act , the Employee Retirement Income Security Act of 1974 , the Sarbanes-Oxley Act of 2002 , each as amended, the Fair Credit Reporting Act , the Fair Credit Reporting Act , 15 U.S.C. 1681 , et seq., the Worker Adjustment and Retraining Notification Act , 29 U.S.C. 2101 , et seq., the Equal Pay Act of 1963 , claims for wrongful discharge in violation of public policy, claims under the Employment Discrimination Bureau (EDB) Pennsylvania, the Pennsylvania Family Leave Act , the Pennsylvania Workers Compensation Act , the Pennsylvania State Wage and Hour Law, the Pennsylvania Law on Equal Pay, the Pennsylvania Political Activities of Employees Law, the Pennsylvania Lie Detector Testing Law, the Pennsylvania Tobacco Use Law, the Pennsylvania Genetic Testing Law, the State of Pennsylvania Labor Relations Act , the Pennsylvania Human Rights Law, and the Pennsylvania Labor Law, claims for discrimination in violation of the Pennsylvania Human Relations Act , each as amended, and any other federal, state or local statutes, regulations, ordinances or common law, or under any policy, agreement, contract, understanding or promise, written or oral, formal or informal, between any of the Releasees and Executive and shall further apply, without limitation, to any and all Claims in connection with, related to or arising out of Executives employment relationship, or the termination of his employment, with the Company.", "ner": [[16, 17, "Title"], [262, 265, "Act"], [271, 275, "Act"], [278, 282, "Act"], [285, 289, "Act"], [292, 297, "Act"], [300, 306, "Act"], [309, 312, "Act"], [315, 321, "Act"], [324, 327, "Act"], [334, 337, "Act"], [345, 352, "Regulation"], [359, 364, "Act"], [366, 373, "Regulation"], [380, 384, "Act"], [408, 411, "Act"], [414, 417, "Act"], [428, 432, "Act"], [443, 447, "Act"], [450, 453, "Act"], [456, 459, "Act"], [462, 467, "Act"], [470, 473, "Act"], [477, 479, "Act"], [488, 491, "Act"]], "tokenized_text": ["a", ".", "In", "consideration", "of", "the", "amounts", "to", "be", "paid", "by", "the", "Company", "pursuant", "to", "the", "Employment", "Agreement", "entered", "into", "on", "[", "Date", "]", ",", "2017", ",", "by", "and", "between", "the", "Company", "and", "Executive", "(", "the", "Employment", "Agreement", ")", ",", "Executive", ",", "on", "behalf", "of", "himself", "and", "his", "heirs", ",", "executors", ",", "devisees", ",", "successors", "and", "assigns", ",", "knowingly", "and", "voluntarily", "releases", ",", "remises", ",", "and", "forever", "discharges", "the", "Company", "and", "its", "parents", ",", "subsidiaries", "or", "affiliates", ",", "together", "with", "each", "of", "their", "current", "and", "former", "principals", ",", "officers", ",", "directors", ",", "shareholders", ",", "agents", ",", "representatives", "and", "employees", ",", "and", "each", "of", "their", "heirs", ",", "executors", ",", "successors", "and", "assigns", "(", "collectively", ",", "the", "Releasees", ")", ",", "from", "any", "and", "all", "debts", ",", "demands", ",", "actions", ",", "causes", "of", "action", ",", "accounts", ",", "covenants", ",", "contracts", ",", "agreements", ",", "claims", ",", "damages", ",", "omissions", ",", "promises", ",", "and", "any", "and", "all", "claims", "and", "liabilities", "whatsoever", ",", "of", "every", "name", "and", "nature", ",", "known", "or", "unknown", ",", "suspected", "or", "unsuspected", ",", "both", "in", "law", "and", "equity", "(", "Claims", ")", ",", "which", "Executive", "ever", "had", ",", "now", "has", ",", "or", "may", "hereafter", "claim", "to", "have", "against", "the", "Releasees", "by", "reason", "of", "any", "matter", "or", "cause", "whatsoever", "arising", "from", "the", "beginning", "of", "time", "to", "the", "time", "he", "signs", "this", "Agreement", "(", "the", "General", "Release", ")", ".", "This", "General", "Release", "of", "Claims", "shall", "apply", "to", "any", "Claim", "of", "any", "type", ",", "including", ",", "without", "limitation", ",", "any", "and", "all", "Claims", "of", "any", "type", "that", "Executive", "may", "have", "arising", "under", "the", "common", "law", ",", "under", "the", "National", "Labor", "Relations", "Act", ",", "Title", "VII", "of", "the", "Civil", "Rights", "Act", "of", "1964", ",", "the", "Civil", "Rights", "Act", "of", "1991", ",", "the", "Older", "Workers", "Benefit", "Protection", "Act", ",", "the", "Americans", "With", "Disabilities", "Act", "of", "1967", ",", "the", "Family", "and", "Medical", "Leave", "Act", "of", "1993", ",", "the", "Fair", "Labor", "Standards", "Act", ",", "the", "Employee", "Retirement", "Income", "Security", "Act", "of", "1974", ",", "the", "Sarbanes-Oxley", "Act", "of", "2002", ",", "each", "as", "amended", ",", "the", "Fair", "Credit", "Reporting", "Act", ",", "the", "Fair", "Credit", "Reporting", "Act", ",", "15", "U", ".", "S", ".", "C", ".", "1681", ",", "et", "seq", ".", ",", "the", "Worker", "Adjustment", "and", "Retraining", "Notification", "Act", ",", "29", "U", ".", "S", ".", "C", ".", "2101", ",", "et", "seq", ".", ",", "the", "Equal", "Pay", "Act", "of", "1963", ",", "claims", "for", "wrongful", "discharge", "in", "violation", "of", "public", "policy", ",", "claims", "under", "the", "Employment", "Discrimination", "Bureau", "(", "EDB", ")", "Pennsylvania", ",", "the", "Pennsylvania", "Family", "Leave", "Act", ",", "the", "Pennsylvania", "Workers", "Compensation", "Act", ",", "the", "Pennsylvania", "State", "Wage", "and", "Hour", "Law", ",", "the", "Pennsylvania", "Law", "on", "Equal", "Pay", ",", "the", "Pennsylvania", "Political", "Activities", "of", "Employees", "Law", ",", "the", "Pennsylvania", "Lie", "Detector", "Testing", "Law", ",", "the", "Pennsylvania", "Tobacco", "Use", "Law", ",", "the", "Pennsylvania", "Genetic", "Testing", "Law", ",", "the", "State", "of", "Pennsylvania", "Labor", "Relations", "Act", ",", "the", "Pennsylvania", "Human", "Rights", "Law", ",", "and", "the", "Pennsylvania", "Labor", "Law", ",", "claims", "for", "discrimination", "in", "violation", "of", "the", "Pennsylvania", "Human", "Relations", "Act", ",", "each", "as", "amended", ",", "and", "any", "other", "federal", ",", "state", "or", "local", "statutes", ",", "regulations", ",", "ordinances", "or", "common", "law", ",", "or", "under", "any", "policy", ",", "agreement", ",", "contract", ",", "understanding", "or", "promise", ",", "written", "or", "oral", ",", "formal", "or", "informal", ",", "between", "any", "of", "the", "Releasees", "and", "Executive", "and", "shall", "further", "apply", ",", "without", "limitation", ",", "to", "any", "and", "all", "Claims", "in", "connection", "with", ",", "related", "to", "or", "arising", "out", "of", "Executives", "employment", "relationship", ",", "or", "the", "termination", "of", "his", "employment", ",", "with", "the", "Company", "."]}
{"id": "10625", "text": "c. In consideration of the promises of the Company set forth in the Employment Agreement, Executive hereby releases and discharges the Releasees from any and all Claims that Executive may have against the Releasees arising under the Age Discrimination Employment Act of 1967 , as amended, and the applicable rulesand regulations promulgated thereunder ( ADEA ). Executive acknowledges that he understands that the ADEA is a federal statute that prohibits discrimination on the basis of age in employment, benefits and benefit plans. Executive also understands that, by signing this Agreement, he is waiving all Claims against any and all of the Releasees.", "ner": [[14, 15, "Title"], [39, 44, "Act"]], "tokenized_text": ["c", ".", "In", "consideration", "of", "the", "promises", "of", "the", "Company", "set", "forth", "in", "the", "Employment", "Agreement", ",", "Executive", "hereby", "releases", "and", "discharges", "the", "Releasees", "from", "any", "and", "all", "Claims", "that", "Executive", "may", "have", "against", "the", "Releasees", "arising", "under", "the", "Age", "Discrimination", "Employment", "Act", "of", "1967", ",", "as", "amended", ",", "and", "the", "applicable", "rulesand", "regulations", "promulgated", "thereunder", "(", "ADEA", ")", ".", "Executive", "acknowledges", "that", "he", "understands", "that", "the", "ADEA", "is", "a", "federal", "statute", "that", "prohibits", "discrimination", "on", "the", "basis", "of", "age", "in", "employment", ",", "benefits", "and", "benefit", "plans", ".", "Executive", "also", "understands", "that", ",", "by", "signing", "this", "Agreement", ",", "he", "is", "waiving", "all", "Claims", "against", "any", "and", "all", "of", "the", "Releasees", "."]}
{"id": "10626", "text": "This Executive Employment Agreement (this Agreement) is made and entered into this 20th day of October, 2017 (the Effective Date) by and between Spero Therapeutics, Inc. , a Delaware corporation (Company), and Joel Sendek (Executive).", "ner": [[1, 3, "Title"], [14, 19, "EffectiveDate"], [28, 32, "Parties"], [42, 43, "Parties"]], "tokenized_text": ["This", "Executive", "Employment", "Agreement", "(", "this", "Agreement", ")", "is", "made", "and", "entered", "into", "this", "20th", "day", "of", "October", ",", "2017", "(", "the", "Effective", "Date", ")", "by", "and", "between", "Spero", "Therapeutics", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "Company", ")", ",", "and", "Joel", "Sendek", "(", "Executive", ")", "."]}
{"id": "10627", "text": "WHEREAS, Executive is currently employed by Company as its Chief Financial Officer , pursuant to the terms of that certain offer letter dated April21, 2017 (the Offer Letter);", "ner": [[10, 12, "Role"], [24, 26, "EffectiveDate"]], "tokenized_text": ["WHEREAS", ",", "Executive", "is", "currently", "employed", "by", "Company", "as", "its", "Chief", "Financial", "Officer", ",", "pursuant", "to", "the", "terms", "of", "that", "certain", "offer", "letter", "dated", "April21", ",", "2017", "(", "the", "Offer", "Letter", ")", ";"]}
{"id": "10630", "text": "(b) Annual Performance Bonus. Executive shall be eligible to receive an annual cash bonus (the Annual Performance Bonus), with the target amount of such Annual Performance Bonus equal to thirty percent ( 30% )of Executives Base Salary in the year to which the Annual Performance Bonus relates; provided that the actual amount of the Annual Performance Bonus may be greater or less than such target amount. The Annual Performance Bonus will be pro rated during Executives first year of employment in accordance with the number of work days during the fiscal year for which he was employed by the Company per the Companys general employment practices. The amount of the Annual Performance Bonus shall be determined by the Board of Directors or an appropriate committee thereof in its sole discretion, and shall be paid to Executive no later than March15th of the calendar year immediately following the calendar year in which it was earned. Except as provided in Section4, Executive must be employed by Company on the last day of the applicable fiscal year to which the Annual Performance Bonus relates in order to be eligible for, and to be deemed as having earned, such Annual Performance Bonus. Company shall deduct from the Annual Performance Bonus all amounts required to be deducted or withheld under applicable law or under any employee benefit plan in which Executive participates.", "ner": [[38, 39, "Percentage"]], "tokenized_text": ["(", "b", ")", "Annual", "Performance", "Bonus", ".", "Executive", "shall", "be", "eligible", "to", "receive", "an", "annual", "cash", "bonus", "(", "the", "Annual", "Performance", "Bonus", ")", ",", "with", "the", "target", "amount", "of", "such", "Annual", "Performance", "Bonus", "equal", "to", "thirty", "percent", "(", "30", "%", ")", "of", "Executives", "Base", "Salary", "in", "the", "year", "to", "which", "the", "Annual", "Performance", "Bonus", "relates", ";", "provided", "that", "the", "actual", "amount", "of", "the", "Annual", "Performance", "Bonus", "may", "be", "greater", "or", "less", "than", "such", "target", "amount", ".", "The", "Annual", "Performance", "Bonus", "will", "be", "pro", "rated", "during", "Executives", "first", "year", "of", "employment", "in", "accordance", "with", "the", "number", "of", "work", "days", "during", "the", "fiscal", "year", "for", "which", "he", "was", "employed", "by", "the", "Company", "per", "the", "Companys", "general", "employment", "practices", ".", "The", "amount", "of", "the", "Annual", "Performance", "Bonus", "shall", "be", "determined", "by", "the", "Board", "of", "Directors", "or", "an", "appropriate", "committee", "thereof", "in", "its", "sole", "discretion", ",", "and", "shall", "be", "paid", "to", "Executive", "no", "later", "than", "March15th", "of", "the", "calendar", "year", "immediately", "following", "the", "calendar", "year", "in", "which", "it", "was", "earned", ".", "Except", "as", "provided", "in", "Section4", ",", "Executive", "must", "be", "employed", "by", "Company", "on", "the", "last", "day", "of", "the", "applicable", "fiscal", "year", "to", "which", "the", "Annual", "Performance", "Bonus", "relates", "in", "order", "to", "be", "eligible", "for", ",", "and", "to", "be", "deemed", "as", "having", "earned", ",", "such", "Annual", "Performance", "Bonus", ".", "Company", "shall", "deduct", "from", "the", "Annual", "Performance", "Bonus", "all", "amounts", "required", "to", "be", "deducted", "or", "withheld", "under", "applicable", "law", "or", "under", "any", "employee", "benefit", "plan", "in", "which", "Executive", "participates", "."]}
{"id": "10631", "text": "(iii) Benefits Payments. Upon completion of appropriate forms and subject to applicable terms and conditions under the Consolidated Omnibus Budget Reconciliation Act of 1985 , as amended ( COBRA ), Company shall continue to provide Executive medical insurance coverage to the same extent that such insurance continues to be provided to similarly situated executives at the time of Executives termination with the cost of the regular premium for such benefits shared in the same relative proportion by Company and Executive as in effect on the last day of employment (the COBRA Payment), until the earlier to occur of: (i)twelve (12)months following Executives termination date, or (ii)the date Executive becomes eligible for medical benefits with another employer. Notwithstanding the foregoing, if Executives COBRA Payment would cause the applicable group health plan to be discriminatory and, therefore, result in adverse tax consequences to Executive, Company shall, in lieu of the COBRA Payment, provide Executive with an equivalent monthly cash payment, minus deduction of all amounts required to be deducted or withheld under applicable law, for any period of time Executive is eligible to receive the COBRA Payment. Executive shall bear full responsibility for applying for COBRA continuation coverage and Company shall have no obligation to provide Executive such coverage if Executive fails to elect COBRA benefits in a timely fashion.", "ner": [[20, 26, "Act"], [31, 31, "Act"], [95, 95, "Act"], [141, 141, "Act"], [172, 172, "Act"], [210, 210, "Act"], [221, 221, "Act"], [240, 240, "Act"]], "tokenized_text": ["(", "iii", ")", "Benefits", "Payments", ".", "Upon", "completion", "of", "appropriate", "forms", "and", "subject", "to", "applicable", "terms", "and", "conditions", "under", "the", "Consolidated", "Omnibus", "Budget", "Reconciliation", "Act", "of", "1985", ",", "as", "amended", "(", "COBRA", ")", ",", "Company", "shall", "continue", "to", "provide", "Executive", "medical", "insurance", "coverage", "to", "the", "same", "extent", "that", "such", "insurance", "continues", "to", "be", "provided", "to", "similarly", "situated", "executives", "at", "the", "time", "of", "Executives", "termination", "with", "the", "cost", "of", "the", "regular", "premium", "for", "such", "benefits", "shared", "in", "the", "same", "relative", "proportion", "by", "Company", "and", "Executive", "as", "in", "effect", "on", "the", "last", "day", "of", "employment", "(", "the", "COBRA", "Payment", ")", ",", "until", "the", "earlier", "to", "occur", "of", ":", "(", "i", ")", "twelve", "(", "12", ")", "months", "following", "Executives", "termination", "date", ",", "or", "(", "ii", ")", "the", "date", "Executive", "becomes", "eligible", "for", "medical", "benefits", "with", "another", "employer", ".", "Notwithstanding", "the", "foregoing", ",", "if", "Executives", "COBRA", "Payment", "would", "cause", "the", "applicable", "group", "health", "plan", "to", "be", "discriminatory", "and", ",", "therefore", ",", "result", "in", "adverse", "tax", "consequences", "to", "Executive", ",", "Company", "shall", ",", "in", "lieu", "of", "the", "COBRA", "Payment", ",", "provide", "Executive", "with", "an", "equivalent", "monthly", "cash", "payment", ",", "minus", "deduction", "of", "all", "amounts", "required", "to", "be", "deducted", "or", "withheld", "under", "applicable", "law", ",", "for", "any", "period", "of", "time", "Executive", "is", "eligible", "to", "receive", "the", "COBRA", "Payment", ".", "Executive", "shall", "bear", "full", "responsibility", "for", "applying", "for", "COBRA", "continuation", "coverage", "and", "Company", "shall", "have", "no", "obligation", "to", "provide", "Executive", "such", "coverage", "if", "Executive", "fails", "to", "elect", "COBRA", "benefits", "in", "a", "timely", "fashion", "."]}
{"id": "10632", "text": "(ii) Equity Acceleration. (A)All of Executives unvested equity awards will accelerate and vest immediately on the date of termination of Executives employment if such employment commenced at least twenty-four (24)months prior to a Change of Control, (B) 50% of Executives unvested equity awards will vest immediately on the date of termination of Executives employment if such employment commenced fewer than twenty-four (24)months but at least twelve (12)months prior to a Change of Control, and (C) 25% of Executives unvested equity awards will vest immediately on the date of termination of Executives employment if such employment commenced fewer than twelve (12)months prior to a Change of Control.", "ner": [[49, 50, "Percentage"], [97, 98, "Percentage"]], "tokenized_text": ["(", "ii", ")", "Equity", "Acceleration", ".", "(", "A", ")", "All", "of", "Executives", "unvested", "equity", "awards", "will", "accelerate", "and", "vest", "immediately", "on", "the", "date", "of", "termination", "of", "Executives", "employment", "if", "such", "employment", "commenced", "at", "least", "twenty-four", "(", "24", ")", "months", "prior", "to", "a", "Change", "of", "Control", ",", "(", "B", ")", "50", "%", "of", "Executives", "unvested", "equity", "awards", "will", "vest", "immediately", "on", "the", "date", "of", "termination", "of", "Executives", "employment", "if", "such", "employment", "commenced", "fewer", "than", "twenty-four", "(", "24", ")", "months", "but", "at", "least", "twelve", "(", "12", ")", "months", "prior", "to", "a", "Change", "of", "Control", ",", "and", "(", "C", ")", "25", "%", "of", "Executives", "unvested", "equity", "awards", "will", "vest", "immediately", "on", "the", "date", "of", "termination", "of", "Executives", "employment", "if", "such", "employment", "commenced", "fewer", "than", "twelve", "(", "12", ")", "months", "prior", "to", "a", "Change", "of", "Control", "."]}
{"id": "10635", "text": "(i) Any termination of Executives employment triggering payment of benefits under Section4 must constitute a separation from service under Section409A(a)(2)(A)(i) of the Code and Treas. Reg. 1.409A-1(h) before distribution of such benefits can commence. To the extent that the termination of Executives employment does not constitute a separation of service under Section", "ner": [[38, 44, "Regulation"]], "tokenized_text": ["(", "i", ")", "Any", "termination", "of", "Executives", "employment", "triggering", "payment", "of", "benefits", "under", "Section4", "must", "constitute", "a", "separation", "from", "service", "under", "Section409A", "(", "a", ")", "(", "2", ")", "(", "A", ")", "(", "i", ")", "of", "the", "Code", "and", "Treas", ".", "Reg", ".", "1", ".", "409A-1", "(", "h", ")", "before", "distribution", "of", "such", "benefits", "can", "commence", ".", "To", "the", "extent", "that", "the", "termination", "of", "Executives", "employment", "does", "not", "constitute", "a", "separation", "of", "service", "under", "Section"]}
{"id": "10636", "text": "409A(a)(2)(A)(i) of the Code and Treas. Reg. 1.409A-1(h) (as the result of further services that are reasonably anticipated to be provided by Executive to Company at the time Executives employment terminates), any such payments under Section4 that constitute deferred compensation under Section409A shall be delayed until after the date of a subsequent event constituting a separation of service under Section409A(a)(2)(A)(i) of the Code and Treas. Reg. 1.409A-1(h) . For purposes of clarification, this Section8(a) shall not cause any forfeiture of benefits on Executives part, but shall only act as a delay until such time as a separation from service occurs.", "ner": [[17, 23, "Regulation"], [98, 104, "Regulation"]], "tokenized_text": ["409A", "(", "a", ")", "(", "2", ")", "(", "A", ")", "(", "i", ")", "of", "the", "Code", "and", "Treas", ".", "Reg", ".", "1", ".", "409A-1", "(", "h", ")", "(", "as", "the", "result", "of", "further", "services", "that", "are", "reasonably", "anticipated", "to", "be", "provided", "by", "Executive", "to", "Company", "at", "the", "time", "Executives", "employment", "terminates", ")", ",", "any", "such", "payments", "under", "Section4", "that", "constitute", "deferred", "compensation", "under", "Section409A", "shall", "be", "delayed", "until", "after", "the", "date", "of", "a", "subsequent", "event", "constituting", "a", "separation", "of", "service", "under", "Section409A", "(", "a", ")", "(", "2", ")", "(", "A", ")", "(", "i", ")", "of", "the", "Code", "and", "Treas", ".", "Reg", ".", "1", ".", "409A-1", "(", "h", ")", ".", "For", "purposes", "of", "clarification", ",", "this", "Section8", "(", "a", ")", "shall", "not", "cause", "any", "forfeiture", "of", "benefits", "on", "Executives", "part", ",", "but", "shall", "only", "act", "as", "a", "delay", "until", "such", "time", "as", "a", "separation", "from", "service", "occurs", "."]}
{"id": "10642", "text": "(ii) provided Executive and his eligible dependents timely and properly elect to continue health care coverage under the Consolidated Omnibus Reconciliation Act of 1985 ( COBRA ), continued participation by Executive and Executives eligible dependents in the standard group medical, dental and vision plans of the Company as in effect from time to time, on substantially the same terms and conditions as such benefits are provided to employees during the applicable period, and reimbursement by the Company of the monthly COBRA premium paid by Executive for him and his eligible dependents for nine (9)months or, if earlier, until the date Executive is no longer eligible to receive COBRA continuation coverage; provided, however, in the event the Company determines that such provisions would subject Executive to taxation under Section105(h)of the Internal Revenue Code of 1986, as amended (the Code), or otherwise violate any healthcare law or regulation, then, in lieu of reimbursing Executive, the Company shall pay to Executive an amount equal to the amount Executive would be required to pay for continuation of group health coverage for Executive and his eligible dependents through an election under COBRA for nine (9)months, which amount shall be paid in a lump sum at the same time payments under Section5(e)(i)commence and is intended to", "ner": [[20, 25, "Act"], [27, 27, "Act"], [86, 86, "Act"], [118, 118, "Act"], [147, 151, "Act"], [211, 211, "Act"]], "tokenized_text": ["(", "ii", ")", "provided", "Executive", "and", "his", "eligible", "dependents", "timely", "and", "properly", "elect", "to", "continue", "health", "care", "coverage", "under", "the", "Consolidated", "Omnibus", "Reconciliation", "Act", "of", "1985", "(", "COBRA", ")", ",", "continued", "participation", "by", "Executive", "and", "Executives", "eligible", "dependents", "in", "the", "standard", "group", "medical", ",", "dental", "and", "vision", "plans", "of", "the", "Company", "as", "in", "effect", "from", "time", "to", "time", ",", "on", "substantially", "the", "same", "terms", "and", "conditions", "as", "such", "benefits", "are", "provided", "to", "employees", "during", "the", "applicable", "period", ",", "and", "reimbursement", "by", "the", "Company", "of", "the", "monthly", "COBRA", "premium", "paid", "by", "Executive", "for", "him", "and", "his", "eligible", "dependents", "for", "nine", "(", "9", ")", "months", "or", ",", "if", "earlier", ",", "until", "the", "date", "Executive", "is", "no", "longer", "eligible", "to", "receive", "COBRA", "continuation", "coverage", ";", "provided", ",", "however", ",", "in", "the", "event", "the", "Company", "determines", "that", "such", "provisions", "would", "subject", "Executive", "to", "taxation", "under", "Section105", "(", "h", ")", "of", "the", "Internal", "Revenue", "Code", "of", "1986", ",", "as", "amended", "(", "the", "Code", ")", ",", "or", "otherwise", "violate", "any", "healthcare", "law", "or", "regulation", ",", "then", ",", "in", "lieu", "of", "reimbursing", "Executive", ",", "the", "Company", "shall", "pay", "to", "Executive", "an", "amount", "equal", "to", "the", "amount", "Executive", "would", "be", "required", "to", "pay", "for", "continuation", "of", "group", "health", "coverage", "for", "Executive", "and", "his", "eligible", "dependents", "through", "an", "election", "under", "COBRA", "for", "nine", "(", "9", ")", "months", ",", "which", "amount", "shall", "be", "paid", "in", "a", "lump", "sum", "at", "the", "same", "time", "payments", "under", "Section5", "(", "e", ")", "(", "i", ")", "commence", "and", "is", "intended", "to"]}
{"id": "10645", "text": "(ii) provided Executive and his eligible dependents timely and properly elect to continue health care coverage under COBRA , continued participation by Executive and Executives eligible dependents in the standard group medical, dental and vision plans of the Company as in effect from time to time, on substantially the same terms and conditions as such benefits are provided to employees during the applicable period, and reimbursement by the Company of the monthly COBRA premium paid by Executive for him and his eligible dependents for twelve (12) months or, if earlier, until the date Executive is no longer eligible to receive COBRA continuation coverage; provided, however, in the event the Company determines that such provisions would subject Executive to taxation under Section105(h)of the Code, or otherwise violate any healthcare law or regulation, then, in lieu of reimbursing Executive, the Company shall pay to Executive the amount Executive would be required to pay for continuation of group health coverage for Executive and his eligible dependents through an", "ner": [[19, 19, "Act"], [77, 77, "Act"], [109, 109, "Act"]], "tokenized_text": ["(", "ii", ")", "provided", "Executive", "and", "his", "eligible", "dependents", "timely", "and", "properly", "elect", "to", "continue", "health", "care", "coverage", "under", "COBRA", ",", "continued", "participation", "by", "Executive", "and", "Executives", "eligible", "dependents", "in", "the", "standard", "group", "medical", ",", "dental", "and", "vision", "plans", "of", "the", "Company", "as", "in", "effect", "from", "time", "to", "time", ",", "on", "substantially", "the", "same", "terms", "and", "conditions", "as", "such", "benefits", "are", "provided", "to", "employees", "during", "the", "applicable", "period", ",", "and", "reimbursement", "by", "the", "Company", "of", "the", "monthly", "COBRA", "premium", "paid", "by", "Executive", "for", "him", "and", "his", "eligible", "dependents", "for", "twelve", "(", "12", ")", "months", "or", ",", "if", "earlier", ",", "until", "the", "date", "Executive", "is", "no", "longer", "eligible", "to", "receive", "COBRA", "continuation", "coverage", ";", "provided", ",", "however", ",", "in", "the", "event", "the", "Company", "determines", "that", "such", "provisions", "would", "subject", "Executive", "to", "taxation", "under", "Section105", "(", "h", ")", "of", "the", "Code", ",", "or", "otherwise", "violate", "any", "healthcare", "law", "or", "regulation", ",", "then", ",", "in", "lieu", "of", "reimbursing", "Executive", ",", "the", "Company", "shall", "pay", "to", "Executive", "the", "amount", "Executive", "would", "be", "required", "to", "pay", "for", "continuation", "of", "group", "health", "coverage", "for", "Executive", "and", "his", "eligible", "dependents", "through", "an"]}
{"id": "10647", "text": "(b) Each payment under this Agreement, including each installment payment, shall be considered a separate and distinct payment. For purposes of this Agreement, each payment is intended to be excepted from Section409A to the maximum extent provided as follows: (i)each payment made within the applicable 2 month period specified in Treas. Reg. 1.409A-1(b)(4)is intended to be excepted under the short-term deferral exception; (ii)post- termination medical benefits are intended to be excepted under the medical benefits exception as specified in Treas. Reg. 1.409A-1(b) (9) (v)(B); and (iii)to the extent payments are made as a result of an involuntary separation, each payment that is not otherwise excepted under the short-term deferral exception or medical benefits exception is intended to be excepted under the involuntary pay exception as specified in Treas. Reg. 1.409A-1(b)(9)(iii). With respect to payments subject to Section409A (and not excepted therefrom), if any, it is intended that each payment is paid on a permissible distribution event and at a specified time consistent with Section409A. Neither the Company nor Executive shall have the right to accelerate or defer the delivery of any such payments or benefits except to the extent specifically permitted or required", "ner": [[60, 66, "Regulation"], [105, 111, "Regulation"], [172, 178, "Regulation"]], "tokenized_text": ["(", "b", ")", "Each", "payment", "under", "this", "Agreement", ",", "including", "each", "installment", "payment", ",", "shall", "be", "considered", "a", "separate", "and", "distinct", "payment", ".", "For", "purposes", "of", "this", "Agreement", ",", "each", "payment", "is", "intended", "to", "be", "excepted", "from", "Section409A", "to", "the", "maximum", "extent", "provided", "as", "follows", ":", "(", "i", ")", "each", "payment", "made", "within", "the", "applicable", "2", "month", "period", "specified", "in", "Treas", ".", "Reg", ".", "1", ".", "409A-1", "(", "b", ")", "(", "4", ")", "is", "intended", "to", "be", "excepted", "under", "the", "short-term", "deferral", "exception", ";", "(", "ii", ")", "post", "-", "termination", "medical", "benefits", "are", "intended", "to", "be", "excepted", "under", "the", "medical", "benefits", "exception", "as", "specified", "in", "Treas", ".", "Reg", ".", "1", ".", "409A-1", "(", "b", ")", "(", "9", ")", "(", "v", ")", "(", "B", ")", ";", "and", "(", "iii", ")", "to", "the", "extent", "payments", "are", "made", "as", "a", "result", "of", "an", "involuntary", "separation", ",", "each", "payment", "that", "is", "not", "otherwise", "excepted", "under", "the", "short-term", "deferral", "exception", "or", "medical", "benefits", "exception", "is", "intended", "to", "be", "excepted", "under", "the", "involuntary", "pay", "exception", "as", "specified", "in", "Treas", ".", "Reg", ".", "1", ".", "409A-1", "(", "b", ")", "(", "9", ")", "(", "iii", ")", ".", "With", "respect", "to", "payments", "subject", "to", "Section409A", "(", "and", "not", "excepted", "therefrom", ")", ",", "if", "any", ",", "it", "is", "intended", "that", "each", "payment", "is", "paid", "on", "a", "permissible", "distribution", "event", "and", "at", "a", "specified", "time", "consistent", "with", "Section409A", ".", "Neither", "the", "Company", "nor", "Executive", "shall", "have", "the", "right", "to", "accelerate", "or", "defer", "the", "delivery", "of", "any", "such", "payments", "or", "benefits", "except", "to", "the", "extent", "specifically", "permitted", "or", "required"]}
{"id": "10648", "text": "/s/ Thomas E. Gibbs", "ner": [[3, 6, "Parties"]], "tokenized_text": ["/", "s", "/", "Thomas", "E", ".", "Gibbs"]}
{"id": "10652", "text": "WHEREAS, the Executive desires to be employed by the Company as Chief Executive Officer and to perform and to serve the Company on the terms and conditions hereinafter set forth.", "ner": [[12, 14, "Role"]], "tokenized_text": ["WHEREAS", ",", "the", "Executive", "desires", "to", "be", "employed", "by", "the", "Company", "as", "Chief", "Executive", "Officer", "and", "to", "perform", "and", "to", "serve", "the", "Company", "on", "the", "terms", "and", "conditions", "hereinafter", "set", "forth", "."]}
{"id": "10657", "text": "2.3. Initial Stock Option Grant and Equity Purchase Opportunity. As soon as practicable following the Commencement Date, (i)Holdings shall grant to the Executive an option to purchase 92,500 shares of common stock of Holdings, pursuant to the terms and conditions set forth in an option agreement between Holdings and the Executive, with such option agreement to be substantially in the form attached hereto as ExhibitA, (ii)Executive shall purchase common stock of Holdings with an aggregate purchase price of $500,000 pursuant to a subscription agreement substantially in the form attached hereto as ExhibitB, one half of the purchase price of which will be financed from the proceeds of the loan extended pursuant to the loan agreement substantially in the form attached hereto as ExhibitC.", "ner": [[35, 37, "Shares"], [55, 56, "Title"], [94, 97, "Principal"], [101, 102, "Title"], [112, 113, "Ratio"]], "tokenized_text": ["2", ".", "3", ".", "Initial", "Stock", "Option", "Grant", "and", "Equity", "Purchase", "Opportunity", ".", "As", "soon", "as", "practicable", "following", "the", "Commencement", "Date", ",", "(", "i", ")", "Holdings", "shall", "grant", "to", "the", "Executive", "an", "option", "to", "purchase", "92", ",", "500", "shares", "of", "common", "stock", "of", "Holdings", ",", "pursuant", "to", "the", "terms", "and", "conditions", "set", "forth", "in", "an", "option", "agreement", "between", "Holdings", "and", "the", "Executive", ",", "with", "such", "option", "agreement", "to", "be", "substantially", "in", "the", "form", "attached", "hereto", "as", "ExhibitA", ",", "(", "ii", ")", "Executive", "shall", "purchase", "common", "stock", "of", "Holdings", "with", "an", "aggregate", "purchase", "price", "of", "$", "500", ",", "000", "pursuant", "to", "a", "subscription", "agreement", "substantially", "in", "the", "form", "attached", "hereto", "as", "ExhibitB", ",", "one", "half", "of", "the", "purchase", "price", "of", "which", "will", "be", "financed", "from", "the", "proceeds", "of", "the", "loan", "extended", "pursuant", "to", "the", "loan", "agreement", "substantially", "in", "the", "form", "attached", "hereto", "as", "ExhibitC", "."]}
{"id": "10661", "text": "Ronald Keating , at his principal office and e-mail address at the Company (during the Employment Period), and at all times to his principal residence as reflected in the records of the Company.", "ner": [], "tokenized_text": ["Ronald", "Keating", ",", "at", "his", "principal", "office", "and", "e-mail", "address", "at", "the", "Company", "(", "during", "the", "Employment", "Period", ")", ",", "and", "at", "all", "times", "to", "his", "principal", "residence", "as", "reflected", "in", "the", "records", "of", "the", "Company", "."]}
{"id": "10662", "text": "8.11. General Interpretive Principles. The name assigned this Employment Agreement and headings of the sections, paragraphs, subparagraphs, clauses and subclauses of this Employment Agreement are for convenience of reference only and shall not in any way affect the meaning or interpretation of any of the provisions hereof. Words of inclusion shall not be construed as terms of limitation herein, so that references to include, includes and including shall not be limiting and shall be regarded as references to non-exclusive and non-characterizing illustrations. Any reference to a Sectionof the Internal Revenue Code of 1986 , as amended, shall be deemed to include any successor to such Section.", "ner": [[12, 13, "Title"], [99, 103, "Act"]], "tokenized_text": ["8", ".", "11", ".", "General", "Interpretive", "Principles", ".", "The", "name", "assigned", "this", "Employment", "Agreement", "and", "headings", "of", "the", "sections", ",", "paragraphs", ",", "subparagraphs", ",", "clauses", "and", "subclauses", "of", "this", "Employment", "Agreement", "are", "for", "convenience", "of", "reference", "only", "and", "shall", "not", "in", "any", "way", "affect", "the", "meaning", "or", "interpretation", "of", "any", "of", "the", "provisions", "hereof", ".", "Words", "of", "inclusion", "shall", "not", "be", "construed", "as", "terms", "of", "limitation", "herein", ",", "so", "that", "references", "to", "include", ",", "includes", "and", "including", "shall", "not", "be", "limiting", "and", "shall", "be", "regarded", "as", "references", "to", "non-exclusive", "and", "non-characterizing", "illustrations", ".", "Any", "reference", "to", "a", "Sectionof", "the", "Internal", "Revenue", "Code", "of", "1986", ",", "as", "amended", ",", "shall", "be", "deemed", "to", "include", "any", "successor", "to", "such", "Section", "."]}
{"id": "10663", "text": "1. In consideration of the payments and benefits to be made under the Employment Agreement, dated as of September8, 2014 (the Employment Agreement), to which Ronald Keating (the Executive) and Evoqua Water Technologies LLC , a Delaware limited liability company (the Company) (each of the Executive and the Company, a Party and collectively, the Parties) are parties, the sufficiency of which the Executive acknowledges, the Executive, with the intention of binding himself and his heirs, executors, administrators and assigns, does hereby release, remise, acquit and forever discharge Holdings (as defined in the Employment Agreement), the Company and each of its and their subsidiaries and affiliates (the Company Affiliated Group), their present and former officers, directors, executives, shareholders, agents, attorneys, employees and employee benefit plans (and the fiduciaries thereof), and the successors, predecessors and assigns of each of the foregoing (collectively, the Company Released Parties), of and from any and all claims, actions, causes of action, complaints, charges, demands, rights, damages, debts, sums of money, accounts, financial obligations, suits, expenses, attorneys fees and liabilities of whatever kind or nature in law, equity or otherwise, whether accrued, absolute, contingent, unliquidated or otherwise and whether now known or unknown, suspected or unsuspected, which the Executive, individually or as a member of a class, now has, owns or holds, or has at any time heretofore had, owned or held, arising on or prior to the date hereof, against any Company Released Party that arises out of, or relates to, the Employment Agreement, the Executives employment with the Company or any of its subsidiaries and affiliates, or any termination of such employment, including claims (i)for severance or vacation benefits, unpaid wages, salary or incentive payments, (ii)for breach of contract, wrongful discharge, impairment of economic opportunity, defamation, intentional infliction of emotional harm or other tort, (iii)for any violation of applicable state and local labor and employment laws (including, without limitation, all laws concerning unlawful and unfair labor and employment practices) and (iv)for employment discrimination under any applicable federal, state or local statute, provision, order or regulation, and including, without limitation, any claim under Title VII of the Civil Rights Act of 1964 (Title VII), the Civil Rights Act of 1988 , the Fair Labor Standards Act , the Americans with Disabilities A ct ( ADA ), the Employee Retirement Income Security Act of 1974 , as amended (ERISA), the New York Human Rights Law, the New York Executive Law, the New York Labor Law, all New York State Wage and Hour Laws, the New York Worker Adjustment and Retraining Notification Act , all New York leave laws, the New York Constitution, and any other similar or analogous federal, state or local statute, excepting only:", "ner": [[14, 15, "Title"], [20, 22, "EffectiveDate"], [31, 32, "Parties"], [38, 41, "Parties"], [456, 460, "Act"], [467, 471, "Act"], [474, 477, "Act"], [480, 484, "Act"], [490, 496, "Act"], [533, 540, "Act"]], "tokenized_text": ["1", ".", "In", "consideration", "of", "the", "payments", "and", "benefits", "to", "be", "made", "under", "the", "Employment", "Agreement", ",", "dated", "as", "of", "September8", ",", "2014", "(", "the", "Employment", "Agreement", ")", ",", "to", "which", "Ronald", "Keating", "(", "the", "Executive", ")", "and", "Evoqua", "Water", "Technologies", "LLC", ",", "a", "Delaware", "limited", "liability", "company", "(", "the", "Company", ")", "(", "each", "of", "the", "Executive", "and", "the", "Company", ",", "a", "Party", "and", "collectively", ",", "the", "Parties", ")", "are", "parties", ",", "the", "sufficiency", "of", "which", "the", "Executive", "acknowledges", ",", "the", "Executive", ",", "with", "the", "intention", "of", "binding", "himself", "and", "his", "heirs", ",", "executors", ",", "administrators", "and", "assigns", ",", "does", "hereby", "release", ",", "remise", ",", "acquit", "and", "forever", "discharge", "Holdings", "(", "as", "defined", "in", "the", "Employment", "Agreement", ")", ",", "the", "Company", "and", "each", "of", "its", "and", "their", "subsidiaries", "and", "affiliates", "(", "the", "Company", "Affiliated", "Group", ")", ",", "their", "present", "and", "former", "officers", ",", "directors", ",", "executives", ",", "shareholders", ",", "agents", ",", "attorneys", ",", "employees", "and", "employee", "benefit", "plans", "(", "and", "the", "fiduciaries", "thereof", ")", ",", "and", "the", "successors", ",", "predecessors", "and", "assigns", "of", "each", "of", "the", "foregoing", "(", "collectively", ",", "the", "Company", "Released", "Parties", ")", ",", "of", "and", "from", "any", "and", "all", "claims", ",", "actions", ",", "causes", "of", "action", ",", "complaints", ",", "charges", ",", "demands", ",", "rights", ",", "damages", ",", "debts", ",", "sums", "of", "money", ",", "accounts", ",", "financial", "obligations", ",", "suits", ",", "expenses", ",", "attorneys", "fees", "and", "liabilities", "of", "whatever", "kind", "or", "nature", "in", "law", ",", "equity", "or", "otherwise", ",", "whether", "accrued", ",", "absolute", ",", "contingent", ",", "unliquidated", "or", "otherwise", "and", "whether", "now", "known", "or", "unknown", ",", "suspected", "or", "unsuspected", ",", "which", "the", "Executive", ",", "individually", "or", "as", "a", "member", "of", "a", "class", ",", "now", "has", ",", "owns", "or", "holds", ",", "or", "has", "at", "any", "time", "heretofore", "had", ",", "owned", "or", "held", ",", "arising", "on", "or", "prior", "to", "the", "date", "hereof", ",", "against", "any", "Company", "Released", "Party", "that", "arises", "out", "of", ",", "or", "relates", "to", ",", "the", "Employment", "Agreement", ",", "the", "Executives", "employment", "with", "the", "Company", "or", "any", "of", "its", "subsidiaries", "and", "affiliates", ",", "or", "any", "termination", "of", "such", "employment", ",", "including", "claims", "(", "i", ")", "for", "severance", "or", "vacation", "benefits", ",", "unpaid", "wages", ",", "salary", "or", "incentive", "payments", ",", "(", "ii", ")", "for", "breach", "of", "contract", ",", "wrongful", "discharge", ",", "impairment", "of", "economic", "opportunity", ",", "defamation", ",", "intentional", "infliction", "of", "emotional", "harm", "or", "other", "tort", ",", "(", "iii", ")", "for", "any", "violation", "of", "applicable", "state", "and", "local", "labor", "and", "employment", "laws", "(", "including", ",", "without", "limitation", ",", "all", "laws", "concerning", "unlawful", "and", "unfair", "labor", "and", "employment", "practices", ")", "and", "(", "iv", ")", "for", "employment", "discrimination", "under", "any", "applicable", "federal", ",", "state", "or", "local", "statute", ",", "provision", ",", "order", "or", "regulation", ",", "and", "including", ",", "without", "limitation", ",", "any", "claim", "under", "Title", "VII", "of", "the", "Civil", "Rights", "Act", "of", "1964", "(", "Title", "VII", ")", ",", "the", "Civil", "Rights", "Act", "of", "1988", ",", "the", "Fair", "Labor", "Standards", "Act", ",", "the", "Americans", "with", "Disabilities", "A", "ct", "(", "ADA", ")", ",", "the", "Employee", "Retirement", "Income", "Security", "Act", "of", "1974", ",", "as", "amended", "(", "ERISA", ")", ",", "the", "New", "York", "Human", "Rights", "Law", ",", "the", "New", "York", "Executive", "Law", ",", "the", "New", "York", "Labor", "Law", ",", "all", "New", "York", "State", "Wage", "and", "Hour", "Laws", ",", "the", "New", "York", "Worker", "Adjustment", "and", "Retraining", "Notification", "Act", ",", "all", "New", "York", "leave", "laws", ",", "the", "New", "York", "Constitution", ",", "and", "any", "other", "similar", "or", "analogous", "federal", ",", "state", "or", "local", "statute", ",", "excepting", "only", ":"]}
{"id": "10665", "text": "1\\. Position and Duties. The Executive shall serve as the Chief Financial Officer of the Company, shall report to the Chief Executive Officer and shall have responsibilities and duties as may from time to time be prescribed by the Board of Directors of the Company (including any committee of the Board of Directors, the Board), commensurate with the customary scope and authority of a Chief Financial Officer . The Executive shall devote the Executives full working time and efforts to the business and affairs of the Company. Notwithstanding the foregoing, the Executive may engage in religious, charitable or other community activities as long as such activities are disclosed to the Board and do not interfere with the Executives performance of the Executives duties to the Company. Notwithstanding the foregoing or anything else contained in this Agreement to the contrary, the Executive may continue to perform such Board-approved outside professional activities as are set forth on Exhibit B attached hereto. Executive represents that Exhibit B attached hereto is a comprehensive list of all outside professional activities with which Executive is currently involved.", "ner": [[13, 15, "Role"], [24, 26, "Role"]], "tokenized_text": ["1", "\\", ".", "Position", "and", "Duties", ".", "The", "Executive", "shall", "serve", "as", "the", "Chief", "Financial", "Officer", "of", "the", "Company", ",", "shall", "report", "to", "the", "Chief", "Executive", "Officer", "and", "shall", "have", "responsibilities", "and", "duties", "as", "may", "from", "time", "to", "time", "be", "prescribed", "by", "the", "Board", "of", "Directors", "of", "the", "Company", "(", "including", "any", "committee", "of", "the", "Board", "of", "Directors", ",", "the", "Board", ")", ",", "commensurate", "with", "the", "customary", "scope", "and", "authority", "of", "a", "Chief", "Financial", "Officer", ".", "The", "Executive", "shall", "devote", "the", "Executives", "full", "working", "time", "and", "efforts", "to", "the", "business", "and", "affairs", "of", "the", "Company", ".", "Notwithstanding", "the", "foregoing", ",", "the", "Executive", "may", "engage", "in", "religious", ",", "charitable", "or", "other", "community", "activities", "as", "long", "as", "such", "activities", "are", "disclosed", "to", "the", "Board", "and", "do", "not", "interfere", "with", "the", "Executives", "performance", "of", "the", "Executives", "duties", "to", "the", "Company", ".", "Notwithstanding", "the", "foregoing", "or", "anything", "else", "contained", "in", "this", "Agreement", "to", "the", "contrary", ",", "the", "Executive", "may", "continue", "to", "perform", "such", "Board-approved", "outside", "professional", "activities", "as", "are", "set", "forth", "on", "Exhibit", "B", "attached", "hereto", ".", "Executive", "represents", "that", "Exhibit", "B", "attached", "hereto", "is", "a", "comprehensive", "list", "of", "all", "outside", "professional", "activities", "with", "which", "Executive", "is", "currently", "involved", "."]}
{"id": "10670", "text": "(iii) the amounts payable under this Section4(b) shall be paid or commence to be paid within 60 days after the Date of Termination; provided, however, that if the 60-day period begins in one calendar year and ends in a second calendar year, such payment shall be paid or commence to be paid in the second calendar year by the last day of such 60-day period; provided, further, that the initial payment shall include a catch-up payment to cover amounts retroactive to the day immediately following the Date of Termination. Each payment pursuant to this Agreement is intended to constitute a separate payment for purposes of Treasury Regulation Section1.409A-2(b)(2) .", "ner": [[40, 42, "TerminationDate"], [47, 49, "TerminationDate"], [118, 125, "Regulation"]], "tokenized_text": ["(", "iii", ")", "the", "amounts", "payable", "under", "this", "Section4", "(", "b", ")", "shall", "be", "paid", "or", "commence", "to", "be", "paid", "within", "60", "days", "after", "the", "Date", "of", "Termination", ";", "provided", ",", "however", ",", "that", "if", "the", "60-day", "period", "begins", "in", "one", "calendar", "year", "and", "ends", "in", "a", "second", "calendar", "year", ",", "such", "payment", "shall", "be", "paid", "or", "commence", "to", "be", "paid", "in", "the", "second", "calendar", "year", "by", "the", "last", "day", "of", "such", "60-day", "period", ";", "provided", ",", "further", ",", "that", "the", "initial", "payment", "shall", "include", "a", "catch-up", "payment", "to", "cover", "amounts", "retroactive", "to", "the", "day", "immediately", "following", "the", "Date", "of", "Termination", ".", "Each", "payment", "pursuant", "to", "this", "Agreement", "is", "intended", "to", "constitute", "a", "separate", "payment", "for", "purposes", "of", "Treasury", "Regulation", "Section1", ".", "409A-2", "(", "b", ")", "(", "2", ")", "."]}
{"id": "10674", "text": "than the Executive would receive if the Aggregate Payments were not subject to such reduction. In such event, the Aggregate Payments shall be reduced in the following order, in each case, in reverse chronological order beginning with the Aggregate Payments that are to be paid the furthest in time from consummation of the transaction that is subject to Section280G of the Code: (1)cash payments not subject to Section409A of the Code; (2)cash payments subject to Section409A of the Code; (3)equity-based payments and acceleration; and (4)non-cash forms of benefits; provided that in the case of all the foregoing Aggregate Payments all amounts or payments that are not subject to calculation under Treas. Reg. 1.280G-1 , Q &A-24(b) or (c)shall be reduced before any amounts that are subject to calculation under Treas. Reg. 1.280G-1 , Q &A-24(b) or (c).", "ner": [[131, 137, "Regulation"]], "tokenized_text": ["than", "the", "Executive", "would", "receive", "if", "the", "Aggregate", "Payments", "were", "not", "subject", "to", "such", "reduction", ".", "In", "such", "event", ",", "the", "Aggregate", "Payments", "shall", "be", "reduced", "in", "the", "following", "order", ",", "in", "each", "case", ",", "in", "reverse", "chronological", "order", "beginning", "with", "the", "Aggregate", "Payments", "that", "are", "to", "be", "paid", "the", "furthest", "in", "time", "from", "consummation", "of", "the", "transaction", "that", "is", "subject", "to", "Section280G", "of", "the", "Code", ":", "(", "1", ")", "cash", "payments", "not", "subject", "to", "Section409A", "of", "the", "Code", ";", "(", "2", ")", "cash", "payments", "subject", "to", "Section409A", "of", "the", "Code", ";", "(", "3", ")", "equity-based", "payments", "and", "acceleration", ";", "and", "(", "4", ")", "non-cash", "forms", "of", "benefits", ";", "provided", "that", "in", "the", "case", "of", "all", "the", "foregoing", "Aggregate", "Payments", "all", "amounts", "or", "payments", "that", "are", "not", "subject", "to", "calculation", "under", "Treas", ".", "Reg", ".", "1", ".", "280G-1", ",", "Q", "&", "amp", ";", "A-24", "(", "b", ")", "or", "(", "c", ")", "shall", "be", "reduced", "before", "any", "amounts", "that", "are", "subject", "to", "calculation", "under", "Treas", ".", "Reg", ".", "1", ".", "280G-1", ",", "Q", "&", "amp", ";", "A-24", "(", "b", ")", "or", "(", "c", ")", "."]}
{"id": "10675", "text": "(i) any person, as such term is used in Sections 13(d) and 14(d) of the Securities Exchange Act of 1934 , as amended (the Act), any of its subsidiaries, or any trustee, fiduciary or other person or entity holding securities under any employee benefit plan or trust of the Company or any of its subsidiaries), together with all affiliates and associates (as such terms are defined in Rule 12b-2 under the Act) of such person, shall become the beneficial owner (as such term is defined in Rule 13d-3 under the Act), directly or indirectly, of securities of the Company representing 50 percent or more of the combined voting power of the Companys then outstanding securities having the right to vote in an election of the Board (Voting Securities) (in such case other than as a result of an acquisition of securities directly from the Company); or", "ner": [[24, 28, "Act"], [84, 85, "Regulation"], [106, 107, "Regulation"], [123, 124, "Percentage"]], "tokenized_text": ["(", "i", ")", "any", "person", ",", "as", "such", "term", "is", "used", "in", "Sections", "13", "(", "d", ")", "and", "14", "(", "d", ")", "of", "the", "Securities", "Exchange", "Act", "of", "1934", ",", "as", "amended", "(", "the", "Act", ")", ",", "any", "of", "its", "subsidiaries", ",", "or", "any", "trustee", ",", "fiduciary", "or", "other", "person", "or", "entity", "holding", "securities", "under", "any", "employee", "benefit", "plan", "or", "trust", "of", "the", "Company", "or", "any", "of", "its", "subsidiaries", ")", ",", "together", "with", "all", "affiliates", "and", "associates", "(", "as", "such", "terms", "are", "defined", "in", "Rule", "12b-2", "under", "the", "Act", ")", "of", "such", "person", ",", "shall", "become", "the", "beneficial", "owner", "(", "as", "such", "term", "is", "defined", "in", "Rule", "13d-3", "under", "the", "Act", ")", ",", "directly", "or", "indirectly", ",", "of", "securities", "of", "the", "Company", "representing", "50", "percent", "or", "more", "of", "the", "combined", "voting", "power", "of", "the", "Companys", "then", "outstanding", "securities", "having", "the", "right", "to", "vote", "in", "an", "election", "of", "the", "Board", "(", "Voting", "Securities", ")", "(", "in", "such", "case", "other", "than", "as", "a", "result", "of", "an", "acquisition", "of", "securities", "directly", "from", "the", "Company", ")", ";", "or"]}
{"id": "10677", "text": "(f) Defend Trade Secrets Act of 2016 . The Executive understands that pursuant to the federal Defend Trade Secrets Act of 2016 , the Executive shall not be held criminally or civilly liable under any federal or state trade secret law for the disclosure of a trade secret that (a)is made (i)in confidence to a federal, state, or local government official, either directly or indirectly, or to an attorney; and (ii)solely for the purpose of reporting or investigating a suspected violation of law; or (b)is made in a complaint or other document filed in a lawsuit or other proceeding, if such filing is made under seal.", "ner": [[3, 8, "Act"]], "tokenized_text": ["(", "f", ")", "Defend", "Trade", "Secrets", "Act", "of", "2016", ".", "The", "Executive", "understands", "that", "pursuant", "to", "the", "federal", "Defend", "Trade", "Secrets", "Act", "of", "2016", ",", "the", "Executive", "shall", "not", "be", "held", "criminally", "or", "civilly", "liable", "under", "any", "federal", "or", "state", "trade", "secret", "law", "for", "the", "disclosure", "of", "a", "trade", "secret", "that", "(", "a", ")", "is", "made", "(", "i", ")", "in", "confidence", "to", "a", "federal", ",", "state", ",", "or", "local", "government", "official", ",", "either", "directly", "or", "indirectly", ",", "or", "to", "an", "attorney", ";", "and", "(", "ii", ")", "solely", "for", "the", "purpose", "of", "reporting", "or", "investigating", "a", "suspected", "violation", "of", "law", ";", "or", "(", "b", ")", "is", "made", "in", "a", "complaint", "or", "other", "document", "filed", "in", "a", "lawsuit", "or", "other", "proceeding", ",", "if", "such", "filing", "is", "made", "under", "seal", "."]}
{"id": "10680", "text": "19\\. Governing Law. This is a Massachusetts contract and shall be construed under and be governed in all respects by the laws of Massachusetts , without giving effect to the conflict of laws principles of such State.", "ner": [], "tokenized_text": ["19", "\\", ".", "Governing", "Law", ".", "This", "is", "a", "Massachusetts", "contract", "and", "shall", "be", "construed", "under", "and", "be", "governed", "in", "all", "respects", "by", "the", "laws", "of", "Massachusetts", ",", "without", "giving", "effect", "to", "the", "conflict", "of", "laws", "principles", "of", "such", "State", "."]}
{"id": "10683", "text": "It is intended that the option evidenced by this agreement shall be an incentive stock option as defined in Section422 of the Internal Revenue Code of 1986 , as amended, and any regulations promulgated thereunder (the Code). Except as otherwise indicated by the context, the term Participant, as used in this option, shall be deemed to include any person who acquires the right to exercise this option validly under its terms.", "ner": [[19, 19, "Regulation"], [22, 26, "Act"]], "tokenized_text": ["It", "is", "intended", "that", "the", "option", "evidenced", "by", "this", "agreement", "shall", "be", "an", "incentive", "stock", "option", "as", "defined", "in", "Section422", "of", "the", "Internal", "Revenue", "Code", "of", "1986", ",", "as", "amended", ",", "and", "any", "regulations", "promulgated", "thereunder", "(", "the", "Code", ")", ".", "Except", "as", "otherwise", "indicated", "by", "the", "context", ",", "the", "term", "Participant", ",", "as", "used", "in", "this", "option", ",", "shall", "be", "deemed", "to", "include", "any", "person", "who", "acquires", "the", "right", "to", "exercise", "this", "option", "validly", "under", "its", "terms", "."]}
{"id": "10684", "text": "2. | Vesting Schedule. ---|--- This option will become exercisable (vest) as to 25% of the original number of Shares on the first anniversary of the Vesting Commencement Date (as defined below) and as to an additional 2.0833% of the original number of Shares at the end of each successive month following the first anniversary of the Vesting Commencement Date until the fourth anniversary of the Vesting Commencement Date; provided that, (i)in the event of a Reorganization Event (as defined in the Plan) prior to the first anniversary of the Vesting Commencement Date, then the 25% of the original number of Shares that would otherwise have become vested on the first anniversary of the Vesting Commencement Date shall instead immediately become vested upon consummation of the Reorganization Event, with monthly vesting thereafter in equal installments for the following 36 months, and (ii)in the event the Participants employment is terminated by the Participant for Good Reason (as defined in that certain Employment Agreement , by and between the Company and the Participant, dated as of June8, 2016 (the Employment Agreement )) or by the Company Without Cause (as defined in the Employment Agreement ) within six months prior to or twelve months following a Reorganization Event, then 100% of the Shares shall be fully vested. For purposes of this Agreement, Vesting Commencement Date shall mean June20, 2016 .", "ner": [[23, 24, "Percentage"], [33, 34, "TerminationDate"], [50, 53, "Percentage"], [78, 79, "TerminationDate"], [191, 192, "Title"], [243, 244, "Percentage"], [264, 266, "TerminationDate"]], "tokenized_text": ["2", ".", "|", "Vesting", "Schedule", ".", "-", "-", "-", "|", "-", "-", "-", "This", "option", "will", "become", "exercisable", "(", "vest", ")", "as", "to", "25", "%", "of", "the", "original", "number", "of", "Shares", "on", "the", "first", "anniversary", "of", "the", "Vesting", "Commencement", "Date", "(", "as", "defined", "below", ")", "and", "as", "to", "an", "additional", "2", ".", "0833", "%", "of", "the", "original", "number", "of", "Shares", "at", "the", "end", "of", "each", "successive", "month", "following", "the", "first", "anniversary", "of", "the", "Vesting", "Commencement", "Date", "until", "the", "fourth", "anniversary", "of", "the", "Vesting", "Commencement", "Date", ";", "provided", "that", ",", "(", "i", ")", "in", "the", "event", "of", "a", "Reorganization", "Event", "(", "as", "defined", "in", "the", "Plan", ")", "prior", "to", "the", "first", "anniversary", "of", "the", "Vesting", "Commencement", "Date", ",", "then", "the", "25", "%", "of", "the", "original", "number", "of", "Shares", "that", "would", "otherwise", "have", "become", "vested", "on", "the", "first", "anniversary", "of", "the", "Vesting", "Commencement", "Date", "shall", "instead", "immediately", "become", "vested", "upon", "consummation", "of", "the", "Reorganization", "Event", ",", "with", "monthly", "vesting", "thereafter", "in", "equal", "installments", "for", "the", "following", "36", "months", ",", "and", "(", "ii", ")", "in", "the", "event", "the", "Participants", "employment", "is", "terminated", "by", "the", "Participant", "for", "Good", "Reason", "(", "as", "defined", "in", "that", "certain", "Employment", "Agreement", ",", "by", "and", "between", "the", "Company", "and", "the", "Participant", ",", "dated", "as", "of", "June8", ",", "2016", "(", "the", "Employment", "Agreement", ")", ")", "or", "by", "the", "Company", "Without", "Cause", "(", "as", "defined", "in", "the", "Employment", "Agreement", ")", "within", "six", "months", "prior", "to", "or", "twelve", "months", "following", "a", "Reorganization", "Event", ",", "then", "100", "%", "of", "the", "Shares", "shall", "be", "fully", "vested", ".", "For", "purposes", "of", "this", "Agreement", ",", "Vesting", "Commencement", "Date", "shall", "mean", "June20", ",", "2016", "."]}
{"id": "10687", "text": "The Participant agrees, in connection with the initial underwritten public offering of the Common Stock pursuant to a registration statement under the Securities Act , ( i)not to (a)offer, pledge, announce the intention to sell, sell, contract to sell, sell any option or contract to purchase, purchase any option or contract to sell, grant any option, right or warrant to purchase, or otherwise transfer or dispose of, directly or indirectly, any shares of Common Stock or any other securities of the Company or (b)enter into any swap or other agreement that transfers, in whole or in part, any of the economic consequences of ownership of shares of Common Stock or other securities of the Company, whether any transaction described in clause(a) or (b)is to be settled by delivery of securities, in cash or otherwise, during the period beginning on the date of the filing of such registration statement with the Securities and Exchange Commission and ending 180 days after the date of the final prospectus relating to the offering (plus up to an additional 34 days to the extent requested by the managing underwriters for such offering in order to address Rule 2711(f) of the National Association of Securities Dealers, Inc. or any similar successor provision), and (ii)to execute any agreement reflecting clause(i) above as may be requested by the Company or the managing underwriters at the time of such offering. The Company may impose stop- transfer instructions with respect to the shares of Common Stock or other securities subject to the foregoing restriction until the end of the lock-up period.", "ner": [[23, 24, "Act"], [223, 227, "Regulation"]], "tokenized_text": ["The", "Participant", "agrees", ",", "in", "connection", "with", "the", "initial", "underwritten", "public", "offering", "of", "the", "Common", "Stock", "pursuant", "to", "a", "registration", "statement", "under", "the", "Securities", "Act", ",", "(", "i", ")", "not", "to", "(", "a", ")", "offer", ",", "pledge", ",", "announce", "the", "intention", "to", "sell", ",", "sell", ",", "contract", "to", "sell", ",", "sell", "any", "option", "or", "contract", "to", "purchase", ",", "purchase", "any", "option", "or", "contract", "to", "sell", ",", "grant", "any", "option", ",", "right", "or", "warrant", "to", "purchase", ",", "or", "otherwise", "transfer", "or", "dispose", "of", ",", "directly", "or", "indirectly", ",", "any", "shares", "of", "Common", "Stock", "or", "any", "other", "securities", "of", "the", "Company", "or", "(", "b", ")", "enter", "into", "any", "swap", "or", "other", "agreement", "that", "transfers", ",", "in", "whole", "or", "in", "part", ",", "any", "of", "the", "economic", "consequences", "of", "ownership", "of", "shares", "of", "Common", "Stock", "or", "other", "securities", "of", "the", "Company", ",", "whether", "any", "transaction", "described", "in", "clause", "(", "a", ")", "or", "(", "b", ")", "is", "to", "be", "settled", "by", "delivery", "of", "securities", ",", "in", "cash", "or", "otherwise", ",", "during", "the", "period", "beginning", "on", "the", "date", "of", "the", "filing", "of", "such", "registration", "statement", "with", "the", "Securities", "and", "Exchange", "Commission", "and", "ending", "180", "days", "after", "the", "date", "of", "the", "final", "prospectus", "relating", "to", "the", "offering", "(", "plus", "up", "to", "an", "additional", "34", "days", "to", "the", "extent", "requested", "by", "the", "managing", "underwriters", "for", "such", "offering", "in", "order", "to", "address", "Rule", "2711", "(", "f", ")", "of", "the", "National", "Association", "of", "Securities", "Dealers", ",", "Inc", ".", "or", "any", "similar", "successor", "provision", ")", ",", "and", "(", "ii", ")", "to", "execute", "any", "agreement", "reflecting", "clause", "(", "i", ")", "above", "as", "may", "be", "requested", "by", "the", "Company", "or", "the", "managing", "underwriters", "at", "the", "time", "of", "such", "offering", ".", "The", "Company", "may", "impose", "stop", "-", "transfer", "instructions", "with", "respect", "to", "the", "shares", "of", "Common", "Stock", "or", "other", "securities", "subject", "to", "the", "foregoing", "restriction", "until", "the", "end", "of", "the", "lock-up", "period", "."]}
{"id": "10688", "text": "| | ---|---|--- ALLENA PHARMACEUTICALS, INC. | By: | |", "ner": [[13, 17, "Parties"]], "tokenized_text": ["|", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "ALLENA", "PHARMACEUTICALS", ",", "INC", ".", "|", "By", ":", "|", "|"]}
{"id": "10690", "text": "One Newton Executive Park, Suite 202", "ner": [[0, 6, "Address"]], "tokenized_text": ["One", "Newton", "Executive", "Park", ",", "Suite", "202"]}
{"id": "10691", "text": "1\\. I am purchasing the Shares for my own account for investment only, and not with a view to, or for sale in connection with, any distribution of the Shares in violation of the Securities Act of 1933 (the Securities Act ), or any rule or regulation under the Securities Act < br/>", "ner": [[39, 42, "Act"]], "tokenized_text": ["1", "\\", ".", "I", "am", "purchasing", "the", "Shares", "for", "my", "own", "account", "for", "investment", "only", ",", "and", "not", "with", "a", "view", "to", ",", "or", "for", "sale", "in", "connection", "with", ",", "any", "distribution", "of", "the", "Shares", "in", "violation", "of", "the", "Securities", "Act", "of", "1933", "(", "the", "Securities", "Act", ")", ",", "or", "any", "rule", "or", "regulation", "under", "the", "Securities", "Act", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "10693", "text": "This Agreement is made by and between Allena Pharmaceuticals, Inc. , a Delaware corporation (hereinafter referred to collectively with its subsidiaries as the Company), and Edward Wholihan (the Employee).", "ner": [[7, 11, "Parties"], [30, 31, "Parties"]], "tokenized_text": ["This", "Agreement", "is", "made", "by", "and", "between", "Allena", "Pharmaceuticals", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "hereinafter", "referred", "to", "collectively", "with", "its", "subsidiaries", "as", "the", "Company", ")", ",", "and", "Edward", "Wholihan", "(", "the", "Employee", ")", "."]}
{"id": "10695", "text": "(h) Governing Law. This Agreement shall be governed by and construed in accordance with the laws of the Commonwealth of Massachusetts (without reference to the conflicts of laws provisions thereof). Any action, suit, or other legal proceeding which is commenced to resolve any matter arising under or relating to any provision of this Agreement shall be commenced only in a court of the Commonwealth of Massachusetts (or, if appropriate, a federal court located within Massachusetts ), and the Company and the Employee each consents to the jurisdiction of such a court. THE COMPANY AND THE EMPLOYEE EACH HEREBY IRREVOCABLY WAIVE ANY RIGHT TO A TRIAL BY JURY IN ANY ACTION, SUIT OR OTHER LEGAL PROCEEDING ARISING UNDER OR RELATING TO ANY PROVISION OF THIS AGREEMENT OR YOUR EMPLOYMENT BY THE COMPANY.", "ner": [[21, 23, "Court"]], "tokenized_text": ["(", "h", ")", "Governing", "Law", ".", "This", "Agreement", "shall", "be", "governed", "by", "and", "construed", "in", "accordance", "with", "the", "laws", "of", "the", "Commonwealth", "of", "Massachusetts", "(", "without", "reference", "to", "the", "conflicts", "of", "laws", "provisions", "thereof", ")", ".", "Any", "action", ",", "suit", ",", "or", "other", "legal", "proceeding", "which", "is", "commenced", "to", "resolve", "any", "matter", "arising", "under", "or", "relating", "to", "any", "provision", "of", "this", "Agreement", "shall", "be", "commenced", "only", "in", "a", "court", "of", "the", "Commonwealth", "of", "Massachusetts", "(", "or", ",", "if", "appropriate", ",", "a", "federal", "court", "located", "within", "Massachusetts", ")", ",", "and", "the", "Company", "and", "the", "Employee", "each", "consents", "to", "the", "jurisdiction", "of", "such", "a", "court", ".", "THE", "COMPANY", "AND", "THE", "EMPLOYEE", "EACH", "HEREBY", "IRREVOCABLY", "WAIVE", "ANY", "RIGHT", "TO", "A", "TRIAL", "BY", "JURY", "IN", "ANY", "ACTION", ",", "SUIT", "OR", "OTHER", "LEGAL", "PROCEEDING", "ARISING", "UNDER", "OR", "RELATING", "TO", "ANY", "PROVISION", "OF", "THIS", "AGREEMENT", "OR", "YOUR", "EMPLOYMENT", "BY", "THE", "COMPANY", "."]}
{"id": "10699", "text": "(i) Governing Law. This Agreement shall be governed by and construed in accordance with the laws of the Commonwealth of Massachusetts (without reference to the conflicts of laws provisions thereof). Any action, suit, or other legal proceeding which is commenced to resolve any matter arising under or relating to any provision of this Agreement shall be commenced only in a court of the Commonwealth of Massachusetts (or, if appropriate, a federal Court located within Massachusetts ), and the Company and the Employee each consents to the jurisdiction of such a court. THE COMPANY AND THE EMPLOYEE EACH HEREBY IRREVOCABLY WAIVE ANY RIGHT TO A TRIAL BY JURY IN ANY ACTION, SUIT OR OTHER LEGAL PROCEEDING ARISING UNDER OR RELATING TO ANY PROVISION OF THIS AGREEMENT OR YOUR EMPLOYMENT BY THE COMPANY", "ner": [[21, 23, "Court"]], "tokenized_text": ["(", "i", ")", "Governing", "Law", ".", "This", "Agreement", "shall", "be", "governed", "by", "and", "construed", "in", "accordance", "with", "the", "laws", "of", "the", "Commonwealth", "of", "Massachusetts", "(", "without", "reference", "to", "the", "conflicts", "of", "laws", "provisions", "thereof", ")", ".", "Any", "action", ",", "suit", ",", "or", "other", "legal", "proceeding", "which", "is", "commenced", "to", "resolve", "any", "matter", "arising", "under", "or", "relating", "to", "any", "provision", "of", "this", "Agreement", "shall", "be", "commenced", "only", "in", "a", "court", "of", "the", "Commonwealth", "of", "Massachusetts", "(", "or", ",", "if", "appropriate", ",", "a", "federal", "Court", "located", "within", "Massachusetts", ")", ",", "and", "the", "Company", "and", "the", "Employee", "each", "consents", "to", "the", "jurisdiction", "of", "such", "a", "court", ".", "THE", "COMPANY", "AND", "THE", "EMPLOYEE", "EACH", "HEREBY", "IRREVOCABLY", "WAIVE", "ANY", "RIGHT", "TO", "A", "TRIAL", "BY", "JURY", "IN", "ANY", "ACTION", ",", "SUIT", "OR", "OTHER", "LEGAL", "PROCEEDING", "ARISING", "UNDER", "OR", "RELATING", "TO", "ANY", "PROVISION", "OF", "THIS", "AGREEMENT", "OR", "YOUR", "EMPLOYMENT", "BY", "THE", "COMPANY"]}
{"id": "10700", "text": "EMPLOYMENT AGREEMENT , dated as of August22, 2014 (the Employment Agreement), by and between Evoqua Water Technologies LLC , a Delaware limited liability company (the Company) and Edward N. May (the Executive) (each of the Executive and the Company, a Party, and collectively, the Parties).", "ner": [[0, 1, "Title"], [6, 8, "EffectiveDate"], [11, 12, "Title"], [18, 21, "Parties"], [33, 36, "Parties"]], "tokenized_text": ["EMPLOYMENT", "AGREEMENT", ",", "dated", "as", "of", "August22", ",", "2014", "(", "the", "Employment", "Agreement", ")", ",", "by", "and", "between", "Evoqua", "Water", "Technologies", "LLC", ",", "a", "Delaware", "limited", "liability", "company", "(", "the", "Company", ")", "and", "Edward", "N", ".", "May", "(", "the", "Executive", ")", "(", "each", "of", "the", "Executive", "and", "the", "Company", ",", "a", "Party", ",", "and", "collectively", ",", "the", "Parties", ")", "."]}
{"id": "10701", "text": "WHEREAS, the Company desires to employ the Executive as Chief Supply Chain Officer and wishes to be assured of his services on the terms and conditions hereinafter set forth; and", "ner": [[10, 13, "Role"]], "tokenized_text": ["WHEREAS", ",", "the", "Company", "desires", "to", "employ", "the", "Executive", "as", "Chief", "Supply", "Chain", "Officer", "and", "wishes", "to", "be", "assured", "of", "his", "services", "on", "the", "terms", "and", "conditions", "hereinafter", "set", "forth", ";", "and"]}
{"id": "10703", "text": "1.1. Term. The initial term of the Executives employment under this Employment Agreement will commence on September15, 2014 (the Effective Date) and end on the third anniversary of the Effective Date (the Initial Employment Period), unless terminated earlier pursuant to Section3 hereof; provided, however, that the Employment Period will automatically be extended for a one-year period on the third anniversary of the Effective Date (and on each anniversary of the Effective Date thereafter) (the Renewal Period), unless either the Executive or the Company provides the other Party with written notice at least 30 days prior to the end of the then-current Employment Period of his or its intention not to further extend the Employment Period (the Initial Employment Period and each subsequent Renewal Period, if any, shall constitute the Employment Period, unless terminated earlier pursuant to Section3 of this Employment Agreement).", "ner": [[15, 16, "Title"], [20, 22, "EffectiveDate"], [32, 33, "TerminationDate"], [67, 67, "RenewalTerm"]], "tokenized_text": ["1", ".", "1", ".", "Term", ".", "The", "initial", "term", "of", "the", "Executives", "employment", "under", "this", "Employment", "Agreement", "will", "commence", "on", "September15", ",", "2014", "(", "the", "Effective", "Date", ")", "and", "end", "on", "the", "third", "anniversary", "of", "the", "Effective", "Date", "(", "the", "Initial", "Employment", "Period", ")", ",", "unless", "terminated", "earlier", "pursuant", "to", "Section3", "hereof", ";", "provided", ",", "however", ",", "that", "the", "Employment", "Period", "will", "automatically", "be", "extended", "for", "a", "one-year", "period", "on", "the", "third", "anniversary", "of", "the", "Effective", "Date", "(", "and", "on", "each", "anniversary", "of", "the", "Effective", "Date", "thereafter", ")", "(", "the", "Renewal", "Period", ")", ",", "unless", "either", "the", "Executive", "or", "the", "Company", "provides", "the", "other", "Party", "with", "written", "notice", "at", "least", "30", "days", "prior", "to", "the", "end", "of", "the", "then-current", "Employment", "Period", "of", "his", "or", "its", "intention", "not", "to", "further", "extend", "the", "Employment", "Period", "(", "the", "Initial", "Employment", "Period", "and", "each", "subsequent", "Renewal", "Period", ",", "if", "any", ",", "shall", "constitute", "the", "Employment", "Period", ",", "unless", "terminated", "earlier", "pursuant", "to", "Section3", "of", "this", "Employment", "Agreement", ")", "."]}
{"id": "10704", "text": "1.2. Duties. During the Employment Period, the Executive shall serve as Chief Supply Chain Officer and such other positions as an officer or director of the Company and such affiliates of the Company as the Company shall determine from time to time, and shall report directly to the Chief Executive Officer (the Reporting Person) or his designee. In his position of Chief Supply Chain Officer , the Executive shall perform duties assigned to him by the Reporting Person or his designee.", "ner": [[16, 19, "Role"], [54, 56, "Role"]], "tokenized_text": ["1", ".", "2", ".", "Duties", ".", "During", "the", "Employment", "Period", ",", "the", "Executive", "shall", "serve", "as", "Chief", "Supply", "Chain", "Officer", "and", "such", "other", "positions", "as", "an", "officer", "or", "director", "of", "the", "Company", "and", "such", "affiliates", "of", "the", "Company", "as", "the", "Company", "shall", "determine", "from", "time", "to", "time", ",", "and", "shall", "report", "directly", "to", "the", "Chief", "Executive", "Officer", "(", "the", "Reporting", "Person", ")", "or", "his", "designee", ".", "In", "his", "position", "of", "Chief", "Supply", "Chain", "Officer", ",", "the", "Executive", "shall", "perform", "duties", "assigned", "to", "him", "by", "the", "Reporting", "Person", "or", "his", "designee", "."]}
{"id": "10707", "text": "2.5. Business Expenses. The Company shall pay or reimburse the Executive, upon presentation of documentation, for all commercially reasonable out-of-pocket business expenses that the Executive incurs during the Employment Period in performing his duties under this Employment Agreement and in accordance with the expense reimbursement policy of the Company as approved by the Board (or a committee thereof) and in effect from time to time. Notwithstanding anything herein to the contrary or otherwise, except to the extent any expense or reimbursement described in this Employment Agreement does not constitute a deferral of compensation within the meaning of Section409A of the Internal Revenue Code of 1986 , as amended, and the regulations and guidance thereunder (Section409A), any expense or reimbursement described in this Employment Agreement shall meet the following requirements: (i)the amount of expenses eligible for reimbursement provided to the Executive during any calendar year will not affect the amount of expenses eligible for reimbursement to the Executive in any other calendar year; (ii)the reimbursements for expenses for which the Executive is entitled to be reimbursed shall be made on or before the last day of the calendar year following the calendar year in which the applicable expense is incurred; (iii)the right to payment or reimbursement or in-kind benefits hereunder may not be liquidated or exchanged for any other benefit; and (iv)the reimbursements shall be made pursuant to objectively determinable and nondiscretionary Company policies and procedures regarding such reimbursement of expenses.", "ner": [[42, 43, "Title"], [107, 107, "Regulation"], [110, 114, "Act"]], "tokenized_text": ["2", ".", "5", ".", "Business", "Expenses", ".", "The", "Company", "shall", "pay", "or", "reimburse", "the", "Executive", ",", "upon", "presentation", "of", "documentation", ",", "for", "all", "commercially", "reasonable", "out-of-pocket", "business", "expenses", "that", "the", "Executive", "incurs", "during", "the", "Employment", "Period", "in", "performing", "his", "duties", "under", "this", "Employment", "Agreement", "and", "in", "accordance", "with", "the", "expense", "reimbursement", "policy", "of", "the", "Company", "as", "approved", "by", "the", "Board", "(", "or", "a", "committee", "thereof", ")", "and", "in", "effect", "from", "time", "to", "time", ".", "Notwithstanding", "anything", "herein", "to", "the", "contrary", "or", "otherwise", ",", "except", "to", "the", "extent", "any", "expense", "or", "reimbursement", "described", "in", "this", "Employment", "Agreement", "does", "not", "constitute", "a", "deferral", "of", "compensation", "within", "the", "meaning", "of", "Section409A", "of", "the", "Internal", "Revenue", "Code", "of", "1986", ",", "as", "amended", ",", "and", "the", "regulations", "and", "guidance", "thereunder", "(", "Section409A", ")", ",", "any", "expense", "or", "reimbursement", "described", "in", "this", "Employment", "Agreement", "shall", "meet", "the", "following", "requirements", ":", "(", "i", ")", "the", "amount", "of", "expenses", "eligible", "for", "reimbursement", "provided", "to", "the", "Executive", "during", "any", "calendar", "year", "will", "not", "affect", "the", "amount", "of", "expenses", "eligible", "for", "reimbursement", "to", "the", "Executive", "in", "any", "other", "calendar", "year", ";", "(", "ii", ")", "the", "reimbursements", "for", "expenses", "for", "which", "the", "Executive", "is", "entitled", "to", "be", "reimbursed", "shall", "be", "made", "on", "or", "before", "the", "last", "day", "of", "the", "calendar", "year", "following", "the", "calendar", "year", "in", "which", "the", "applicable", "expense", "is", "incurred", ";", "(", "iii", ")", "the", "right", "to", "payment", "or", "reimbursement", "or", "in-kind", "benefits", "hereunder", "may", "not", "be", "liquidated", "or", "exchanged", "for", "any", "other", "benefit", ";", "and", "(", "iv", ")", "the", "reimbursements", "shall", "be", "made", "pursuant", "to", "objectively", "determinable", "and", "nondiscretionary", "Company", "policies", "and", "procedures", "regarding", "such", "reimbursement", "of", "expenses", "."]}
{"id": "10708", "text": "immediately prior to the Termination Date in equal installments on the Companys regular payment dates occurring during the 6-month period beginning on the first payroll date following the date on which the Release has become effective, (B)an amount equal to 50% of the Executives Target Annual Bonus Opportunity, payable on the first payroll date following the date on which the Release has become effective and (C)a prorated portion of the Executives actual Annual Bonus, determined in accordance with Section2.2 and payable at the same time as annual bonuses are paid to other senior executives of the Company, with the prorated Annual Bonus determined by multiplying the actual Annual Bonus, if any, by a fraction, the numerator of which is the number of days the Executive is employed by the Company during the applicable year and the denominator of which is 365 ((A), (B)and (C)collectively, the Severance Amount). In addition, the Company shall, subject to the Executive electing COBRA , provide the Executive with continued medical and dental insurance coverage until the earlier of the date that is six months immediately following the Termination Date and the date upon which the Executive becomes eligible for medical and dental insurance coverage from a new employer, with such insurance coverage to be provided at the same cost to the Executive as to similarly situated executives of the Company during such period (Benefits Continuation). The Company shall also reimburse the Executive for outplacement assistance during the 6-month period beginning on the Termination Date, with any such reimbursement to be consistent with Section2.5 of this Employment Agreement and in no event shall the aggregate reimbursement of outplacement services for the Executive exceed $15,000. The Companys obligations to pay the Severance Amount, pay premiums relating to Benefits Continuation and provide outplacement assistance shall be conditioned upon: (i)the Executives continued compliance with his obligations under Section4 of this Employment Agreement and (ii)the Executives execution, delivery and non-revocation of a valid and enforceable general release of claims (the Release) substantially in the form attached hereto as ExhibitA, within 45 days after the Executives Termination Date.", "ner": [[44, 45, "Percentage"], [188, 188, "Act"], [298, 299, "Title"], [315, 318, "Salary"]], "tokenized_text": ["immediately", "prior", "to", "the", "Termination", "Date", "in", "equal", "installments", "on", "the", "Companys", "regular", "payment", "dates", "occurring", "during", "the", "6-month", "period", "beginning", "on", "the", "first", "payroll", "date", "following", "the", "date", "on", "which", "the", "Release", "has", "become", "effective", ",", "(", "B", ")", "an", "amount", "equal", "to", "50", "%", "of", "the", "Executives", "Target", "Annual", "Bonus", "Opportunity", ",", "payable", "on", "the", "first", "payroll", "date", "following", "the", "date", "on", "which", "the", "Release", "has", "become", "effective", "and", "(", "C", ")", "a", "prorated", "portion", "of", "the", "Executives", "actual", "Annual", "Bonus", ",", "determined", "in", "accordance", "with", "Section2", ".", "2", "and", "payable", "at", "the", "same", "time", "as", "annual", "bonuses", "are", "paid", "to", "other", "senior", "executives", "of", "the", "Company", ",", "with", "the", "prorated", "Annual", "Bonus", "determined", "by", "multiplying", "the", "actual", "Annual", "Bonus", ",", "if", "any", ",", "by", "a", "fraction", ",", "the", "numerator", "of", "which", "is", "the", "number", "of", "days", "the", "Executive", "is", "employed", "by", "the", "Company", "during", "the", "applicable", "year", "and", "the", "denominator", "of", "which", "is", "365", "(", "(", "A", ")", ",", "(", "B", ")", "and", "(", "C", ")", "collectively", ",", "the", "Severance", "Amount", ")", ".", "In", "addition", ",", "the", "Company", "shall", ",", "subject", "to", "the", "Executive", "electing", "COBRA", ",", "provide", "the", "Executive", "with", "continued", "medical", "and", "dental", "insurance", "coverage", "until", "the", "earlier", "of", "the", "date", "that", "is", "six", "months", "immediately", "following", "the", "Termination", "Date", "and", "the", "date", "upon", "which", "the", "Executive", "becomes", "eligible", "for", "medical", "and", "dental", "insurance", "coverage", "from", "a", "new", "employer", ",", "with", "such", "insurance", "coverage", "to", "be", "provided", "at", "the", "same", "cost", "to", "the", "Executive", "as", "to", "similarly", "situated", "executives", "of", "the", "Company", "during", "such", "period", "(", "Benefits", "Continuation", ")", ".", "The", "Company", "shall", "also", "reimburse", "the", "Executive", "for", "outplacement", "assistance", "during", "the", "6-month", "period", "beginning", "on", "the", "Termination", "Date", ",", "with", "any", "such", "reimbursement", "to", "be", "consistent", "with", "Section2", ".", "5", "of", "this", "Employment", "Agreement", "and", "in", "no", "event", "shall", "the", "aggregate", "reimbursement", "of", "outplacement", "services", "for", "the", "Executive", "exceed", "$", "15", ",", "000", ".", "The", "Companys", "obligations", "to", "pay", "the", "Severance", "Amount", ",", "pay", "premiums", "relating", "to", "Benefits", "Continuation", "and", "provide", "outplacement", "assistance", "shall", "be", "conditioned", "upon", ":", "(", "i", ")", "the", "Executives", "continued", "compliance", "with", "his", "obligations", "under", "Section4", "of", "this", "Employment", "Agreement", "and", "(", "ii", ")", "the", "Executives", "execution", ",", "delivery", "and", "non-revocation", "of", "a", "valid", "and", "enforceable", "general", "release", "of", "claims", "(", "the", "Release", ")", "substantially", "in", "the", "form", "attached", "hereto", "as", "ExhibitA", ",", "within", "45", "days", "after", "the", "Executives", "Termination", "Date", "."]}
{"id": "10709", "text": "4.2. Non-Competition. By and in consideration of the Companys entering into this Employment Agreement, and in further consideration of the Executives exposure to the Confidential Information of the Company Group, the Executive agrees that the Executive shall not, during the Employment Period and for one year following the Executives Termination Date (the Restriction Period), directly or indirectly, own, manage, operate, join, control, be employed by, or participate in the ownership, management, operation or control of, or be connected in any manner with, including, without limitation, holding any position as a stockholder, director, officer, consultant, independent contractor, employee, partner, or investor in, any Restricted Enterprise (as defined below); provided, that in no event shall ownership of one percent or less of the outstanding securities of any class of any issuer whose securities are registered under the Securities Exchange Act of 1934 , as amended, standing alone, be prohibited by this Section4.2, so long as the Executive does not have, or exercise, any rights to manage or operate the business of such issuer other than rights as a stockholder thereof. For purposes of this paragraph, Restricted Enterprise shall mean any business that is in competition with (a)the present products marketed or sold by the Company to its customers and as such products may be improved and/or modified, (b)the present services marketed, sold or provided by the Company", "ner": [[16, 17, "Title"], [150, 151, "Percentage"], [170, 174, "Act"]], "tokenized_text": ["4", ".", "2", ".", "Non-Competition", ".", "By", "and", "in", "consideration", "of", "the", "Companys", "entering", "into", "this", "Employment", "Agreement", ",", "and", "in", "further", "consideration", "of", "the", "Executives", "exposure", "to", "the", "Confidential", "Information", "of", "the", "Company", "Group", ",", "the", "Executive", "agrees", "that", "the", "Executive", "shall", "not", ",", "during", "the", "Employment", "Period", "and", "for", "one", "year", "following", "the", "Executives", "Termination", "Date", "(", "the", "Restriction", "Period", ")", ",", "directly", "or", "indirectly", ",", "own", ",", "manage", ",", "operate", ",", "join", ",", "control", ",", "be", "employed", "by", ",", "or", "participate", "in", "the", "ownership", ",", "management", ",", "operation", "or", "control", "of", ",", "or", "be", "connected", "in", "any", "manner", "with", ",", "including", ",", "without", "limitation", ",", "holding", "any", "position", "as", "a", "stockholder", ",", "director", ",", "officer", ",", "consultant", ",", "independent", "contractor", ",", "employee", ",", "partner", ",", "or", "investor", "in", ",", "any", "Restricted", "Enterprise", "(", "as", "defined", "below", ")", ";", "provided", ",", "that", "in", "no", "event", "shall", "ownership", "of", "one", "percent", "or", "less", "of", "the", "outstanding", "securities", "of", "any", "class", "of", "any", "issuer", "whose", "securities", "are", "registered", "under", "the", "Securities", "Exchange", "Act", "of", "1934", ",", "as", "amended", ",", "standing", "alone", ",", "be", "prohibited", "by", "this", "Section4", ".", "2", ",", "so", "long", "as", "the", "Executive", "does", "not", "have", ",", "or", "exercise", ",", "any", "rights", "to", "manage", "or", "operate", "the", "business", "of", "such", "issuer", "other", "than", "rights", "as", "a", "stockholder", "thereof", ".", "For", "purposes", "of", "this", "paragraph", ",", "Restricted", "Enterprise", "shall", "mean", "any", "business", "that", "is", "in", "competition", "with", "(", "a", ")", "the", "present", "products", "marketed", "or", "sold", "by", "the", "Company", "to", "its", "customers", "and", "as", "such", "products", "may", "be", "improved", "and", "/", "or", "modified", ",", "(", "b", ")", "the", "present", "services", "marketed", ",", "sold", "or", "provided", "by", "the", "Company"]}
{"id": "10711", "text": "Developments constituting a work made for hire under the U.S. Copyright Act , 17 U.S.C 101 et seq. are owned upon creation by the Company as the Executives employer. Whenever requested to do so by the Company, the Executive shall execute any and all applications, assignments or other instruments which the Company shall deem necessary to apply for and obtain trademarks, patents or copyrights of the United States or any foreign country or otherwise protect the interests of the Company Group. These obligations shall continue beyond the end of the Executives employment with the Company with respect to inventions, discoveries, improvements or copyrightable works initiated, conceived or made by the Executive while employed by the Company, and shall be binding upon the Executives employers, assigns, executors, administrators and other legal representatives. In connection with his execution of this Employment Agreement, the Executive has informed the Company in writing of any interest in any inventions or intellectual property rights that he holds as of the Effective Date. If the Company is unable for any reason, after reasonable effort, to obtain the Executives signature on any document needed in connection with the actions described in this Section4.6, the Executive hereby irrevocably designates and appoints the Company and its duly authorized officers and agents as the Executives agent and attorney in fact to act for and on the Executives behalf to execute, verify and file any such documents and to do all other lawfully permitted acts to further the purposes of this Section4.6 with the same legal force and effect as if executed by the Executive.", "ner": [[9, 14, "Act"], [16, 22, "Regulation"], [159, 160, "Title"]], "tokenized_text": ["Developments", "constituting", "a", "work", "made", "for", "hire", "under", "the", "U", ".", "S", ".", "Copyright", "Act", ",", "17", "U", ".", "S", ".", "C", "101", "et", "seq", ".", "are", "owned", "upon", "creation", "by", "the", "Company", "as", "the", "Executives", "employer", ".", "Whenever", "requested", "to", "do", "so", "by", "the", "Company", ",", "the", "Executive", "shall", "execute", "any", "and", "all", "applications", ",", "assignments", "or", "other", "instruments", "which", "the", "Company", "shall", "deem", "necessary", "to", "apply", "for", "and", "obtain", "trademarks", ",", "patents", "or", "copyrights", "of", "the", "United", "States", "or", "any", "foreign", "country", "or", "otherwise", "protect", "the", "interests", "of", "the", "Company", "Group", ".", "These", "obligations", "shall", "continue", "beyond", "the", "end", "of", "the", "Executives", "employment", "with", "the", "Company", "with", "respect", "to", "inventions", ",", "discoveries", ",", "improvements", "or", "copyrightable", "works", "initiated", ",", "conceived", "or", "made", "by", "the", "Executive", "while", "employed", "by", "the", "Company", ",", "and", "shall", "be", "binding", "upon", "the", "Executives", "employers", ",", "assigns", ",", "executors", ",", "administrators", "and", "other", "legal", "representatives", ".", "In", "connection", "with", "his", "execution", "of", "this", "Employment", "Agreement", ",", "the", "Executive", "has", "informed", "the", "Company", "in", "writing", "of", "any", "interest", "in", "any", "inventions", "or", "intellectual", "property", "rights", "that", "he", "holds", "as", "of", "the", "Effective", "Date", ".", "If", "the", "Company", "is", "unable", "for", "any", "reason", ",", "after", "reasonable", "effort", ",", "to", "obtain", "the", "Executives", "signature", "on", "any", "document", "needed", "in", "connection", "with", "the", "actions", "described", "in", "this", "Section4", ".", "6", ",", "the", "Executive", "hereby", "irrevocably", "designates", "and", "appoints", "the", "Company", "and", "its", "duly", "authorized", "officers", "and", "agents", "as", "the", "Executives", "agent", "and", "attorney", "in", "fact", "to", "act", "for", "and", "on", "the", "Executives", "behalf", "to", "execute", ",", "verify", "and", "file", "any", "such", "documents", "and", "to", "do", "all", "other", "lawfully", "permitted", "acts", "to", "further", "the", "purposes", "of", "this", "Section4", ".", "6", "with", "the", "same", "legal", "force", "and", "effect", "as", "if", "executed", "by", "the", "Executive", "."]}
{"id": "10717", "text": "THIS AMENDED AND RESTATED EXECUTIVE EMPLOYMENT AGREEMENT (Agreement) is entered into this 6th day of October, 2017 , by and between Lifeloc Technologies, Inc. (the Company), and Wayne Willkomm (Executive). Executive and the Company are referred to individually as a Party and collectively as the Parties.", "ner": [[5, 6, "Title"], [14, 19, "EffectiveDate"], [24, 28, "Parties"], [35, 36, "Parties"]], "tokenized_text": ["THIS", "AMENDED", "AND", "RESTATED", "EXECUTIVE", "EMPLOYMENT", "AGREEMENT", "(", "Agreement", ")", "is", "entered", "into", "this", "6th", "day", "of", "October", ",", "2017", ",", "by", "and", "between", "Lifeloc", "Technologies", ",", "Inc", ".", "(", "the", "Company", ")", ",", "and", "Wayne", "Willkomm", "(", "Executive", ")", ".", "Executive", "and", "the", "Company", "are", "referred", "to", "individually", "as", "a", "Party", "and", "collectively", "as", "the", "Parties", "."]}
{"id": "10718", "text": "WHEREAS, the Parties previously entered into that certain Executive Employment Agreement dated as of January 5, 2016 (the Previous Agreement), which set forth the terms and conditions for the employment relationship between Executive and the Company; and", "ner": [[9, 11, "Title"], [15, 18, "EffectiveDate"]], "tokenized_text": ["WHEREAS", ",", "the", "Parties", "previously", "entered", "into", "that", "certain", "Executive", "Employment", "Agreement", "dated", "as", "of", "January", "5", ",", "2016", "(", "the", "Previous", "Agreement", ")", ",", "which", "set", "forth", "the", "terms", "and", "conditions", "for", "the", "employment", "relationship", "between", "Executive", "and", "the", "Company", ";", "and"]}
{"id": "10721", "text": "5.1 Base Salary. The Company agrees to pay, and Executive agrees to accept, as Executives salary for all services to be rendered by Executive hereunder, a salary at an annual rate of Two Hundred Thousand Dollars ( $200,000 ) (the Base Salary), payable in installments pursuant to the Companys standard payroll practices and policies. If the term of this Agreement is extended beyond the Initial Term, the Base Salary will be increased annually to adjust for inflation, as determined by the Board.", "ner": [[43, 46, "Salary"]], "tokenized_text": ["5", ".", "1", "Base", "Salary", ".", "The", "Company", "agrees", "to", "pay", ",", "and", "Executive", "agrees", "to", "accept", ",", "as", "Executives", "salary", "for", "all", "services", "to", "be", "rendered", "by", "Executive", "hereunder", ",", "a", "salary", "at", "an", "annual", "rate", "of", "Two", "Hundred", "Thousand", "Dollars", "(", "$", "200", ",", "000", ")", "(", "the", "Base", "Salary", ")", ",", "payable", "in", "installments", "pursuant", "to", "the", "Companys", "standard", "payroll", "practices", "and", "policies", ".", "If", "the", "term", "of", "this", "Agreement", "is", "extended", "beyond", "the", "Initial", "Term", ",", "the", "Base", "Salary", "will", "be", "increased", "annually", "to", "adjust", "for", "inflation", ",", "as", "determined", "by", "the", "Board", "."]}
{"id": "10722", "text": "(a) If Executive is employed by the Company as of December 31, 2017 , Executive shall be eligible to receive a cash bonus with respect to the fiscal year ended December 31, 2017 equal to 10 percent ( 10% Percentage×) of the then-applicable Base Salary payable within 90 days of the end of the fiscal year ended December 31, 2017 , if the Companys net revenues for such fiscal year equal or exceed $12,960,000 and the Companys net income before taxes, adjusted to exclude the effect of (i) bonuses paid to officers, (ii) contract disbursements to Sandia National Labs, the U.S. Naval Research Laboratory, and such other R&D contractors as may be agreed, and (iii) stock option expense attributable to the Stock Options (as defined below) (Adjusted Net Income), exceeds $1,620,000 .", "ner": [[42, 43, "Percentage"], [81, 86, "Salary"], [166, 171, "Salary"]], "tokenized_text": ["(", "a", ")", "If", "Executive", "is", "employed", "by", "the", "Company", "as", "of", "December", "31", ",", "2017", ",", "Executive", "shall", "be", "eligible", "to", "receive", "a", "cash", "bonus", "with", "respect", "to", "the", "fiscal", "year", "ended", "December", "31", ",", "2017", "equal", "to", "10", "percent", "(", "10", "%", "Percentage", "×", ")", "of", "the", "then-applicable", "Base", "Salary", "payable", "within", "90", "days", "of", "the", "end", "of", "the", "fiscal", "year", "ended", "December", "31", ",", "2017", ",", "if", "the", "Companys", "net", "revenues", "for", "such", "fiscal", "year", "equal", "or", "exceed", "$", "12", ",", "960", ",", "000", "and", "the", "Companys", "net", "income", "before", "taxes", ",", "adjusted", "to", "exclude", "the", "effect", "of", "(", "i", ")", "bonuses", "paid", "to", "officers", ",", "(", "ii", ")", "contract", "disbursements", "to", "Sandia", "National", "Labs", ",", "the", "U", ".", "S", ".", "Naval", "Research", "Laboratory", ",", "and", "such", "other", "R", "&", "amp", ";", "D", "contractors", "as", "may", "be", "agreed", ",", "and", "(", "iii", ")", "stock", "option", "expense", "attributable", "to", "the", "Stock", "Options", "(", "as", "defined", "below", ")", "(", "Adjusted", "Net", "Income", ")", ",", "exceeds", "$", "1", ",", "620", ",", "000", "."]}
{"id": "10723", "text": "(b) If Executive is employed by the Company as of December 31, 2018 , Executive shall be eligible to receive a cash bonus with respect to the fiscal year ended December 31, 2018 equal to 10 percent ( 10% ) of the then-applicable Base Salary payable within 90 days of the end of the fiscal year ended December 31, 2017 , if the Companys net revenues for such fiscal year equal or exceed $15,552,000 and the Companys Adjusted Net Income exceeds $1,944,000 .", "ner": [[42, 43, "Percentage"], [79, 84, "Salary"], [92, 97, "Salary"]], "tokenized_text": ["(", "b", ")", "If", "Executive", "is", "employed", "by", "the", "Company", "as", "of", "December", "31", ",", "2018", ",", "Executive", "shall", "be", "eligible", "to", "receive", "a", "cash", "bonus", "with", "respect", "to", "the", "fiscal", "year", "ended", "December", "31", ",", "2018", "equal", "to", "10", "percent", "(", "10", "%", ")", "of", "the", "then-applicable", "Base", "Salary", "payable", "within", "90", "days", "of", "the", "end", "of", "the", "fiscal", "year", "ended", "December", "31", ",", "2017", ",", "if", "the", "Companys", "net", "revenues", "for", "such", "fiscal", "year", "equal", "or", "exceed", "$", "15", ",", "552", ",", "000", "and", "the", "Companys", "Adjusted", "Net", "Income", "exceeds", "$", "1", ",", "944", ",", "000", "."]}
{"id": "10725", "text": "5.3 Equity Compensation. On the Effective Date, subject to the terms of this Section 5.3, Executive shall receive options to purchase up to 50,000 shares of the Companys common stock, at an exercise price equal to the closing quote for the Companys common stock on October 1, 2017 (the Stock Options). The Stock Options shall be incentive stock options issued pursuant to the Companys 2013 Stock Option Plan (the Plan) and an award agreement to be issued thereunder. The Company and Executive hereby agree that the Stock Options granted under this Agreement shall replace the options to purchase common stock provided in the Previous Agreement, and that any options granted under the Previous Agreement shall be voluntarily forfeited by Executive as of the date hereof. The Stock Options shall be subject to the following vesting conditions:", "ner": [[30, 32, "Shares"], [55, 58, "EffectiveDate"], [120, 121, "Title"]], "tokenized_text": ["5", ".", "3", "Equity", "Compensation", ".", "On", "the", "Effective", "Date", ",", "subject", "to", "the", "terms", "of", "this", "Section", "5", ".", "3", ",", "Executive", "shall", "receive", "options", "to", "purchase", "up", "to", "50", ",", "000", "shares", "of", "the", "Companys", "common", "stock", ",", "at", "an", "exercise", "price", "equal", "to", "the", "closing", "quote", "for", "the", "Companys", "common", "stock", "on", "October", "1", ",", "2017", "(", "the", "Stock", "Options", ")", ".", "The", "Stock", "Options", "shall", "be", "incentive", "stock", "options", "issued", "pursuant", "to", "the", "Companys", "2013", "Stock", "Option", "Plan", "(", "the", "Plan", ")", "and", "an", "award", "agreement", "to", "be", "issued", "thereunder", ".", "The", "Company", "and", "Executive", "hereby", "agree", "that", "the", "Stock", "Options", "granted", "under", "this", "Agreement", "shall", "replace", "the", "options", "to", "purchase", "common", "stock", "provided", "in", "the", "Previous", "Agreement", ",", "and", "that", "any", "options", "granted", "under", "the", "Previous", "Agreement", "shall", "be", "voluntarily", "forfeited", "by", "Executive", "as", "of", "the", "date", "hereof", ".", "The", "Stock", "Options", "shall", "be", "subject", "to", "the", "following", "vesting", "conditions", ":"]}
{"id": "10726", "text": "(b) In the event the Vesting Conditions are not met in the fiscal year ending December 31, 2019 , but are met in the fiscal year ending December 31, 2020 , and this Agreement is still in effect as of December 31, 2020 , then 50% of the Stock Options will vest in full as of that date and the remaining 50% of the Stock Options will be deemed cancelled.", "ner": [[17, 20, "TerminationDate"], [30, 33, "TerminationDate"], [50, 51, "Percentage"], [67, 68, "Percentage"]], "tokenized_text": ["(", "b", ")", "In", "the", "event", "the", "Vesting", "Conditions", "are", "not", "met", "in", "the", "fiscal", "year", "ending", "December", "31", ",", "2019", ",", "but", "are", "met", "in", "the", "fiscal", "year", "ending", "December", "31", ",", "2020", ",", "and", "this", "Agreement", "is", "still", "in", "effect", "as", "of", "December", "31", ",", "2020", ",", "then", "50", "%", "of", "the", "Stock", "Options", "will", "vest", "in", "full", "as", "of", "that", "date", "and", "the", "remaining", "50", "%", "of", "the", "Stock", "Options", "will", "be", "deemed", "cancelled", "."]}
{"id": "10727", "text": "(c) In the event the Vesting Conditions are not met in either the fiscal year ending December 31, 2019 or the fiscal year ending December 31, 2020 , but are met in the fiscal year ending December 31, 2021 , and this Agreement is still in effect as of December 31, 2021 , then 25% of the Stock Options will vest in full as of that date and the remaining 75% of the Stock Options will be deemed cancelled.", "ner": [[18, 21, "TerminationDate"], [27, 30, "TerminationDate"], [40, 43, "TerminationDate"], [60, 61, "Percentage"], [77, 78, "Percentage"]], "tokenized_text": ["(", "c", ")", "In", "the", "event", "the", "Vesting", "Conditions", "are", "not", "met", "in", "either", "the", "fiscal", "year", "ending", "December", "31", ",", "2019", "or", "the", "fiscal", "year", "ending", "December", "31", ",", "2020", ",", "but", "are", "met", "in", "the", "fiscal", "year", "ending", "December", "31", ",", "2021", ",", "and", "this", "Agreement", "is", "still", "in", "effect", "as", "of", "December", "31", ",", "2021", ",", "then", "25", "%", "of", "the", "Stock", "Options", "will", "vest", "in", "full", "as", "of", "that", "date", "and", "the", "remaining", "75", "%", "of", "the", "Stock", "Options", "will", "be", "deemed", "cancelled", "."]}
{"id": "10730", "text": "12441 W 49th Ave", "ner": [[0, 3, "Address"]], "tokenized_text": ["12441", "W", "49th", "Ave"]}
{"id": "10731", "text": "Wheat Ridge, CO 80033", "ner": [[0, 4, "Address"]], "tokenized_text": ["Wheat", "Ridge", ",", "CO", "80033"]}
{"id": "10732", "text": "18. Venue and Applicable Law. This Agreement shall be interpreted and construed in accordance with the laws of the State of Colorado , without regard to its conflicts of law provisions. Venue and jurisdiction will be in the Colorado state or federal courts.", "ner": [[21, 23, "Court"]], "tokenized_text": ["18", ".", "Venue", "and", "Applicable", "Law", ".", "This", "Agreement", "shall", "be", "interpreted", "and", "construed", "in", "accordance", "with", "the", "laws", "of", "the", "State", "of", "Colorado", ",", "without", "regard", "to", "its", "conflicts", "of", "law", "provisions", ".", "Venue", "and", "jurisdiction", "will", "be", "in", "the", "Colorado", "state", "or", "federal", "courts", "."]}
{"id": "10733", "text": "20.3 Payments or benefits pursuant to this Agreement shall be treated as exempt from Section 409A to the maximum extent possible under Treasury Regulation Section 1.409A-1(b) (9)(v), and/or under any other exemption that may be applicable, and this Agreement shall be construed accordingly.", "ner": [[16, 17, "Regulation"]], "tokenized_text": ["20", ".", "3", "Payments", "or", "benefits", "pursuant", "to", "this", "Agreement", "shall", "be", "treated", "as", "exempt", "from", "Section", "409A", "to", "the", "maximum", "extent", "possible", "under", "Treasury", "Regulation", "Section", "1", ".", "409A-1", "(", "b", ")", "(", "9", ")", "(", "v", ")", ",", "and", "/", "or", "under", "any", "other", "exemption", "that", "may", "be", "applicable", ",", "and", "this", "Agreement", "shall", "be", "construed", "accordingly", "."]}
{"id": "10736", "text": "This Confidential Severance and Release Agreement (Agreement) is made between (i) Wayne Willkomm (Executive) and (ii) Lifeloc Technologies, Inc. (the Company). Executive and the Company are referred to individually as a Party and collectively as the Parties.", "ner": [[2, 5, "Title"], [15, 16, "Parties"], [24, 28, "Parties"]], "tokenized_text": ["This", "Confidential", "Severance", "and", "Release", "Agreement", "(", "Agreement", ")", "is", "made", "between", "(", "i", ")", "Wayne", "Willkomm", "(", "Executive", ")", "and", "(", "ii", ")", "Lifeloc", "Technologies", ",", "Inc", ".", "(", "the", "Company", ")", ".", "Executive", "and", "the", "Company", "are", "referred", "to", "individually", "as", "a", "Party", "and", "collectively", "as", "the", "Parties", "."]}
{"id": "10738", "text": "b. The Released Claims include, but are not limited to, those which arise out of, relate to, or are based upon: (i) Executives employment with the Company or the termination thereof; (ii) statements, acts, or omissions by the Parties whether in their individual or representative capacities; (iii) express or implied agreements between the Parties, (except as provided herein) and claims under any severance plan; (iv) any stock or stock option grant, agreement, or plan; (v) all federal, state, and municipal statutes, ordinances, and regulations, including, but not limited to, claims of discrimination based on race, color, national origin, age, sex, sexual orientation, religion, disability, veteran status, whistleblower status, public policy, or any other characteristic of Executive under the Age Discrimination in Employment Act , the Older Workers Benefit Protection Act , the Americans with Disabilities Act , the Equal Pay Act , Title VII of the Civil Rights Act of 1964 (as amended), the Employee Retirement Income Security Act of 1974 , the Rehabilitation Act of 1973 , Family and Medical Leave Act , the Worker Adjustment and Retraining Notification Act or any other federal, state, or municipal law prohibiting discrimination or termination for any reason; (vi) state and federal common law; (vii) the failure of this Agreement, or of any other employment, severance, profit sharing, bonus, equity incentive or other compensatory plan to which Executive and the Company are or were parties, to comply with, or to be operated in compliance with, Internal Revenue Code Section 409A, or any similar provision of state or local income tax; and (viii) any claim which was or could have been raised by Executive.", "ner": [[163, 167, "Act"], [170, 174, "Act"], [177, 180, "Act"], [183, 185, "Act"], [191, 195, "Act"], [202, 208, "Act"], [211, 214, "Act"], [216, 220, "Act"], [223, 228, "Act"], [307, 309, "Act"], [310, 311, "Regulation"]], "tokenized_text": ["b", ".", "The", "Released", "Claims", "include", ",", "but", "are", "not", "limited", "to", ",", "those", "which", "arise", "out", "of", ",", "relate", "to", ",", "or", "are", "based", "upon", ":", "(", "i", ")", "Executives", "employment", "with", "the", "Company", "or", "the", "termination", "thereof", ";", "(", "ii", ")", "statements", ",", "acts", ",", "or", "omissions", "by", "the", "Parties", "whether", "in", "their", "individual", "or", "representative", "capacities", ";", "(", "iii", ")", "express", "or", "implied", "agreements", "between", "the", "Parties", ",", "(", "except", "as", "provided", "herein", ")", "and", "claims", "under", "any", "severance", "plan", ";", "(", "iv", ")", "any", "stock", "or", "stock", "option", "grant", ",", "agreement", ",", "or", "plan", ";", "(", "v", ")", "all", "federal", ",", "state", ",", "and", "municipal", "statutes", ",", "ordinances", ",", "and", "regulations", ",", "including", ",", "but", "not", "limited", "to", ",", "claims", "of", "discrimination", "based", "on", "race", ",", "color", ",", "national", "origin", ",", "age", ",", "sex", ",", "sexual", "orientation", ",", "religion", ",", "disability", ",", "veteran", "status", ",", "whistleblower", "status", ",", "public", "policy", ",", "or", "any", "other", "characteristic", "of", "Executive", "under", "the", "Age", "Discrimination", "in", "Employment", "Act", ",", "the", "Older", "Workers", "Benefit", "Protection", "Act", ",", "the", "Americans", "with", "Disabilities", "Act", ",", "the", "Equal", "Pay", "Act", ",", "Title", "VII", "of", "the", "Civil", "Rights", "Act", "of", "1964", "(", "as", "amended", ")", ",", "the", "Employee", "Retirement", "Income", "Security", "Act", "of", "1974", ",", "the", "Rehabilitation", "Act", "of", "1973", ",", "Family", "and", "Medical", "Leave", "Act", ",", "the", "Worker", "Adjustment", "and", "Retraining", "Notification", "Act", "or", "any", "other", "federal", ",", "state", ",", "or", "municipal", "law", "prohibiting", "discrimination", "or", "termination", "for", "any", "reason", ";", "(", "vi", ")", "state", "and", "federal", "common", "law", ";", "(", "vii", ")", "the", "failure", "of", "this", "Agreement", ",", "or", "of", "any", "other", "employment", ",", "severance", ",", "profit", "sharing", ",", "bonus", ",", "equity", "incentive", "or", "other", "compensatory", "plan", "to", "which", "Executive", "and", "the", "Company", "are", "or", "were", "parties", ",", "to", "comply", "with", ",", "or", "to", "be", "operated", "in", "compliance", "with", ",", "Internal", "Revenue", "Code", "Section", "409A", ",", "or", "any", "similar", "provision", "of", "state", "or", "local", "income", "tax", ";", "and", "(", "viii", ")", "any", "claim", "which", "was", "or", "could", "have", "been", "raised", "by", "Executive", "."]}
{"id": "10741", "text": "| Lifeloc Technologies, Inc.", "ner": [[1, 5, "Parties"]], "tokenized_text": ["|", "Lifeloc", "Technologies", ",", "Inc", "."]}
{"id": "10746", "text": "5\\. Claw-Back. Notwithstanding any provision in this Agreement to the contrary, amounts payable hereunder shall be subject to claw-back or disgorgement, to the extent applicable, under (A)the Policies or any claw- back policy adopted by the Company, (B)the Dodd-Frank Wall Street Reform and Consumer Protection Act , as amended, and rules, regulations, and binding, published guidance thereunder, which legislation provides for the clawback and recovery of incentive compensation in the event of certain financial statement restatements and (C)the Sarbanes-Oxley Act of 2002 . If pursuant to Section 10D of the Securities Exchange Act of 1934 , as amended (the Act), the Company (or any of its Subsidiaries or Affiliates) would not be eligible for continued listing, if applicable, under Section 10D(a) of the Act if it (or they) did not adopt policies consistent with Section 10D(b) of the Act, then, in accordance with those policies that are so required, any incentive-based compensation payable to Executive under this Agreement or otherwise shall be subject to claw-back in the circumstances, to the extent, and in the manner, required by Section 10D(b)(2) of the Act, as interpreted by rules of the Securities Exchange Commission. Nothing in this provision is intended to supersede any existing or future claw-back provision adopted or amended by the Company, including, but not limited to the provision that may be set forth in the Companys equity incentive plan.", "ner": [[52, 59, "Act"], [100, 103, "Act"], [108, 109, "Regulation"], [112, 116, "Act"], [148, 152, "Regulation"], [168, 172, "Regulation"]], "tokenized_text": ["5", "\\", ".", "Claw-Back", ".", "Notwithstanding", "any", "provision", "in", "this", "Agreement", "to", "the", "contrary", ",", "amounts", "payable", "hereunder", "shall", "be", "subject", "to", "claw-back", "or", "disgorgement", ",", "to", "the", "extent", "applicable", ",", "under", "(", "A", ")", "the", "Policies", "or", "any", "claw", "-", "back", "policy", "adopted", "by", "the", "Company", ",", "(", "B", ")", "the", "Dodd-Frank", "Wall", "Street", "Reform", "and", "Consumer", "Protection", "Act", ",", "as", "amended", ",", "and", "rules", ",", "regulations", ",", "and", "binding", ",", "published", "guidance", "thereunder", ",", "which", "legislation", "provides", "for", "the", "clawback", "and", "recovery", "of", "incentive", "compensation", "in", "the", "event", "of", "certain", "financial", "statement", "restatements", "and", "(", "C", ")", "the", "Sarbanes-Oxley", "Act", "of", "2002", ".", "If", "pursuant", "to", "Section", "10D", "of", "the", "Securities", "Exchange", "Act", "of", "1934", ",", "as", "amended", "(", "the", "Act", ")", ",", "the", "Company", "(", "or", "any", "of", "its", "Subsidiaries", "or", "Affiliates", ")", "would", "not", "be", "eligible", "for", "continued", "listing", ",", "if", "applicable", ",", "under", "Section", "10D", "(", "a", ")", "of", "the", "Act", "if", "it", "(", "or", "they", ")", "did", "not", "adopt", "policies", "consistent", "with", "Section", "10D", "(", "b", ")", "of", "the", "Act", ",", "then", ",", "in", "accordance", "with", "those", "policies", "that", "are", "so", "required", ",", "any", "incentive-based", "compensation", "payable", "to", "Executive", "under", "this", "Agreement", "or", "otherwise", "shall", "be", "subject", "to", "claw-back", "in", "the", "circumstances", ",", "to", "the", "extent", ",", "and", "in", "the", "manner", ",", "required", "by", "Section", "10D", "(", "b", ")", "(", "2", ")", "of", "the", "Act", ",", "as", "interpreted", "by", "rules", "of", "the", "Securities", "Exchange", "Commission", ".", "Nothing", "in", "this", "provision", "is", "intended", "to", "supersede", "any", "existing", "or", "future", "claw-back", "provision", "adopted", "or", "amended", "by", "the", "Company", ",", "including", ",", "but", "not", "limited", "to", "the", "provision", "that", "may", "be", "set", "forth", "in", "the", "Companys", "equity", "incentive", "plan", "."]}
{"id": "10753", "text": "8329 Sunset Road, Suite 210", "ner": [[0, 5, "Address"]], "tokenized_text": ["8329", "Sunset", "Road", ",", "Suite", "210"]}
{"id": "10755", "text": "| | ---|---|--- EXECUTIVE /s/ Mary Elizabeth Higgins Mary Elizabeth Higgins VICI Properties Inc. | By: | |", "ner": [[17, 19, "Parties"]], "tokenized_text": ["|", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "EXECUTIVE", "/", "s", "/", "Mary", "Elizabeth", "Higgins", "Mary", "Elizabeth", "Higgins", "VICI", "Properties", "Inc", ".", "|", "By", ":", "|", "|"]}
{"id": "10758", "text": "tangible or intangible property of Executive that remains with the Company; claims for retaliation, harassment or discrimination on the basis of race, color, sex, sexual orientation, national origin, ancestry, religion, age, disability, medical condition, marital status, gender identity, gender expression, or any other characteristic or criteria protected by law; any claim under Title VII of the Civil Rights Act of 1964 (Title VII, as amended), 42 U.S.C. 2000e , et seq., the Civil Rights Act of 1991 , the Civil Rights Act of 1866 , the Family and Medical Leave Act ( FMLA ), 29 U.S.C. 2601 , et seq., the Fair Labor Standards Act ( FLSA ), 29 U.S.C. 201 , et seq., the Equal Pay Act , 29 U.S.C. 206 (a) and interpretive regulations, the Americans with Disabilities Act ( ADA ), 42 U.S.C. 12101 , et seq., the Consolidated Omnibus Budget Reconciliation Act of 1986 ( COBRA ), the Occupational Safety and Health Act ( OSHA ) or any other health and/or safety laws, statutes, or regulations, the Uniformed Services Employment and Reemployment Rights Act ( USERRA ), 38 U.S.C. 4301-4333 , the Employee Retirement Income Security Act of 1974 ( ERISA ), 29 U.S.C. 301 , et seq., the Immigration Reform and Control Act of 1986 , 8 U.S.C. 1101 , et seq., or the Internal Revenue Code of 1986 , as amended, the Worker Adjustment and Retraining Notification Act ; all claims arising under the Sarbanes-Oxley Act of 2002 ( Public Law 107-204 ), including whistleblowing claims under 18 U.S.C. 1513 (e) and 1514A; the applicable state Wage and Hour Laws, and any and all other foreign, federal, state, or local laws, common law, or case law, including but not limited to all statutes, regulations, common law, and other laws in place in New Orleans, Louisiana .", "ner": [[72, 76, "Act"], [85, 92, "Regulation"], [99, 103, "Act"], [106, 110, "Act"], [113, 117, "Act"], [122, 129, "Regulation"], [136, 139, "Act"], [144, 151, "Regulation"], [158, 160, "Act"], [162, 172, "Regulation"], [178, 181, "Act"], [186, 193, "Regulation"], [200, 206, "Act"], [208, 208, "Act"], [212, 216, "Act"], [236, 242, "Act"], [244, 244, "Act"], [247, 254, "Regulation"], [257, 263, "Act"], [265, 265, "Act"], [268, 275, "Regulation"], [282, 288, "Act"], [290, 297, "Regulation"], [305, 309, "Act"], [315, 320, "Act"], [327, 330, "Act"], [332, 334, "Regulation"], [404, 407, "Address"]], "tokenized_text": ["tangible", "or", "intangible", "property", "of", "Executive", "that", "remains", "with", "the", "Company", ";", "claims", "for", "retaliation", ",", "harassment", "or", "discrimination", "on", "the", "basis", "of", "race", ",", "color", ",", "sex", ",", "sexual", "orientation", ",", "national", "origin", ",", "ancestry", ",", "religion", ",", "age", ",", "disability", ",", "medical", "condition", ",", "marital", "status", ",", "gender", "identity", ",", "gender", "expression", ",", "or", "any", "other", "characteristic", "or", "criteria", "protected", "by", "law", ";", "any", "claim", "under", "Title", "VII", "of", "the", "Civil", "Rights", "Act", "of", "1964", "(", "Title", "VII", ",", "as", "amended", ")", ",", "42", "U", ".", "S", ".", "C", ".", "2000e", ",", "et", "seq", ".", ",", "the", "Civil", "Rights", "Act", "of", "1991", ",", "the", "Civil", "Rights", "Act", "of", "1866", ",", "the", "Family", "and", "Medical", "Leave", "Act", "(", "FMLA", ")", ",", "29", "U", ".", "S", ".", "C", ".", "2601", ",", "et", "seq", ".", ",", "the", "Fair", "Labor", "Standards", "Act", "(", "FLSA", ")", ",", "29", "U", ".", "S", ".", "C", ".", "201", ",", "et", "seq", ".", ",", "the", "Equal", "Pay", "Act", ",", "29", "U", ".", "S", ".", "C", ".", "206", "(", "a", ")", "and", "interpretive", "regulations", ",", "the", "Americans", "with", "Disabilities", "Act", "(", "ADA", ")", ",", "42", "U", ".", "S", ".", "C", ".", "12101", ",", "et", "seq", ".", ",", "the", "Consolidated", "Omnibus", "Budget", "Reconciliation", "Act", "of", "1986", "(", "COBRA", ")", ",", "the", "Occupational", "Safety", "and", "Health", "Act", "(", "OSHA", ")", "or", "any", "other", "health", "and", "/", "or", "safety", "laws", ",", "statutes", ",", "or", "regulations", ",", "the", "Uniformed", "Services", "Employment", "and", "Reemployment", "Rights", "Act", "(", "USERRA", ")", ",", "38", "U", ".", "S", ".", "C", ".", "4301-4333", ",", "the", "Employee", "Retirement", "Income", "Security", "Act", "of", "1974", "(", "ERISA", ")", ",", "29", "U", ".", "S", ".", "C", ".", "301", ",", "et", "seq", ".", ",", "the", "Immigration", "Reform", "and", "Control", "Act", "of", "1986", ",", "8", "U", ".", "S", ".", "C", ".", "1101", ",", "et", "seq", ".", ",", "or", "the", "Internal", "Revenue", "Code", "of", "1986", ",", "as", "amended", ",", "the", "Worker", "Adjustment", "and", "Retraining", "Notification", "Act", ";", "all", "claims", "arising", "under", "the", "Sarbanes-Oxley", "Act", "of", "2002", "(", "Public", "Law", "107-204", ")", ",", "including", "whistleblowing", "claims", "under", "18", "U", ".", "S", ".", "C", ".", "1513", "(", "e", ")", "and", "1514A", ";", "the", "applicable", "state", "Wage", "and", "Hour", "Laws", ",", "and", "any", "and", "all", "other", "foreign", ",", "federal", ",", "state", ",", "or", "local", "laws", ",", "common", "law", ",", "or", "case", "law", ",", "including", "but", "not", "limited", "to", "all", "statutes", ",", "regulations", ",", "common", "law", ",", "and", "other", "laws", "in", "place", "in", "New", "Orleans", ",", "Louisiana", "."]}
{"id": "10759", "text": "4\\. Tax Liability. Executive expressly acknowledges that neither the Company nor its attorneys have made any representations to Executive regarding the tax consequences of the consideration provided to Executive pursuant to this Separation Agreement and Section9 of the Employment Agreement . It is the intention of the parties to this Separation Agreement that no payments made under this Separation Agreement and/or Section9 of the Employment Agreement be subject to the additional tax on deferred compensation imposed by Section 409A of the Internal Revenue Code of 1986 , as amended (the Code), but Company does not guarantee that any such payment complies with or is exempt from Code Section 409A. Each payment made under this Separation Agreement or Section9 of the Employment Agreement will be treated as a separate payment for purposes of Code Section 409A and the right to a series of installment payments under this Separation Agreement is to be treated as a right to a series of separate payments.", "ner": [[35, 36, "Title"], [41, 42, "Title"], [82, 83, "Regulation"], [86, 90, "Act"], [114, 116, "Regulation"]], "tokenized_text": ["4", "\\", ".", "Tax", "Liability", ".", "Executive", "expressly", "acknowledges", "that", "neither", "the", "Company", "nor", "its", "attorneys", "have", "made", "any", "representations", "to", "Executive", "regarding", "the", "tax", "consequences", "of", "the", "consideration", "provided", "to", "Executive", "pursuant", "to", "this", "Separation", "Agreement", "and", "Section9", "of", "the", "Employment", "Agreement", ".", "It", "is", "the", "intention", "of", "the", "parties", "to", "this", "Separation", "Agreement", "that", "no", "payments", "made", "under", "this", "Separation", "Agreement", "and", "/", "or", "Section9", "of", "the", "Employment", "Agreement", "be", "subject", "to", "the", "additional", "tax", "on", "deferred", "compensation", "imposed", "by", "Section", "409A", "of", "the", "Internal", "Revenue", "Code", "of", "1986", ",", "as", "amended", "(", "the", "Code", ")", ",", "but", "Company", "does", "not", "guarantee", "that", "any", "such", "payment", "complies", "with", "or", "is", "exempt", "from", "Code", "Section", "409A", ".", "Each", "payment", "made", "under", "this", "Separation", "Agreement", "or", "Section9", "of", "the", "Employment", "Agreement", "will", "be", "treated", "as", "a", "separate", "payment", "for", "purposes", "of", "Code", "Section", "409A", "and", "the", "right", "to", "a", "series", "of", "installment", "payments", "under", "this", "Separation", "Agreement", "is", "to", "be", "treated", "as", "a", "right", "to", "a", "series", "of", "separate", "payments", "."]}
{"id": "10760", "text": "(a) Executive is entitled to consider the terms of this Separation Agreement for twenty-one (21)days before signing it. If Executive fails to execute this Separation Agreement within this twenty-one (21)day period, this Separation Agreement will be null and void and of no force or effect. To execute this Separation Agreement, Executive must sign and date the Separation Agreement below, and return a signed copy hereof to Attn: , VICI Properties Inc. , [ address], (phone):, [email address], via nationally recognized overnight carrier or email.", "ner": [[12, 13, "Title"], [82, 85, "Parties"]], "tokenized_text": ["(", "a", ")", "Executive", "is", "entitled", "to", "consider", "the", "terms", "of", "this", "Separation", "Agreement", "for", "twenty-one", "(", "21", ")", "days", "before", "signing", "it", ".", "If", "Executive", "fails", "to", "execute", "this", "Separation", "Agreement", "within", "this", "twenty-one", "(", "21", ")", "day", "period", ",", "this", "Separation", "Agreement", "will", "be", "null", "and", "void", "and", "of", "no", "force", "or", "effect", ".", "To", "execute", "this", "Separation", "Agreement", ",", "Executive", "must", "sign", "and", "date", "the", "Separation", "Agreement", "below", ",", "and", "return", "a", "signed", "copy", "hereof", "to", "Attn", ":", ",", "VICI", "Properties", "Inc", ".", ",", "[", "address", "]", ",", "(", "phone", ")", ":", ",", "[", "email", "address", "]", ",", "via", "nationally", "recognized", "overnight", "carrier", "or", "email", "."]}
{"id": "10764", "text": "This EMPLOYMENT AGREEMENT (the Agreement) is entered into on October12, 2017 , by and between OPTINOSE US,INC. , a Delaware corporation (the Company), and Michael F. Marino (Executive).", "ner": [[1, 2, "Title"], [11, 13, "EffectiveDate"], [18, 22, "Parties"], [33, 36, "Parties"]], "tokenized_text": ["This", "EMPLOYMENT", "AGREEMENT", "(", "the", "Agreement", ")", "is", "entered", "into", "on", "October12", ",", "2017", ",", "by", "and", "between", "OPTINOSE", "US", ",", "INC", ".", ",", "a", "Delaware", "corporation", "(", "the", "Company", ")", ",", "and", "Michael", "F", ".", "Marino", "(", "Executive", ")", "."]}
{"id": "10766", "text": "2. Title, Duties and Responsibilities. While Executive is employed by the Company, Executive will serve as the Chief Legal Officer and Corporate Secretary of OptiNose,Inc. and will report to the Chief Executive Officer of OptiNose,Inc. Executive will have such duties and responsibilities that are commensurate with Executives position and such other duties and responsibilities as are from time to time assigned to Executive by the Chief Executive Officer or the Board of Directors of the OptiNose,Inc. (the Board). While Executive is employed by the Company, Executive will devote Executives full business time, energy and skill to the performance of Executives duties and responsibilities hereunder. Executive will not be permitted to engage in other activities that interfere with Executives performance of his duties under this Agreement, conflict with the business of the Company or violate any provisions of Section8 herein. Executive shall, if requested by the Board, also serve as an officer or director of any affiliate of the Company for no additional compensation. Executives place of employment will be the Companys offices in Yardley, Pennsylvania .", "ner": [[21, 23, "Role"], [25, 26, "Role"], [28, 31, "Parties"], [37, 39, "Role"], [41, 44, "Parties"], [75, 77, "Role"], [85, 88, "Parties"], [197, 199, "Address"]], "tokenized_text": ["2", ".", "Title", ",", "Duties", "and", "Responsibilities", ".", "While", "Executive", "is", "employed", "by", "the", "Company", ",", "Executive", "will", "serve", "as", "the", "Chief", "Legal", "Officer", "and", "Corporate", "Secretary", "of", "OptiNose", ",", "Inc", ".", "and", "will", "report", "to", "the", "Chief", "Executive", "Officer", "of", "OptiNose", ",", "Inc", ".", "Executive", "will", "have", "such", "duties", "and", "responsibilities", "that", "are", "commensurate", "with", "Executives", "position", "and", "such", "other", "duties", "and", "responsibilities", "as", "are", "from", "time", "to", "time", "assigned", "to", "Executive", "by", "the", "Chief", "Executive", "Officer", "or", "the", "Board", "of", "Directors", "of", "the", "OptiNose", ",", "Inc", ".", "(", "the", "Board", ")", ".", "While", "Executive", "is", "employed", "by", "the", "Company", ",", "Executive", "will", "devote", "Executives", "full", "business", "time", ",", "energy", "and", "skill", "to", "the", "performance", "of", "Executives", "duties", "and", "responsibilities", "hereunder", ".", "Executive", "will", "not", "be", "permitted", "to", "engage", "in", "other", "activities", "that", "interfere", "with", "Executives", "performance", "of", "his", "duties", "under", "this", "Agreement", ",", "conflict", "with", "the", "business", "of", "the", "Company", "or", "violate", "any", "provisions", "of", "Section8", "herein", ".", "Executive", "shall", ",", "if", "requested", "by", "the", "Board", ",", "also", "serve", "as", "an", "officer", "or", "director", "of", "any", "affiliate", "of", "the", "Company", "for", "no", "additional", "compensation", ".", "Executives", "place", "of", "employment", "will", "be", "the", "Companys", "offices", "in", "Yardley", ",", "Pennsylvania", "."]}
{"id": "10767", "text": "3. Base Salary. While Executive is employed by the Company, the Company will pay Executive a base annual salary (the Base Salary) at the rate of $360,000 per year, paid in accordance with the usual payroll practices of the Company. Executives Base Salary shall be reviewed periodically for potential increases pursuant to Company review policies applicable to senior executives by the Compensation Committee of the Board (the Compensation Committee) or the Board.", "ner": [[31, 34, "Salary"]], "tokenized_text": ["3", ".", "Base", "Salary", ".", "While", "Executive", "is", "employed", "by", "the", "Company", ",", "the", "Company", "will", "pay", "Executive", "a", "base", "annual", "salary", "(", "the", "Base", "Salary", ")", "at", "the", "rate", "of", "$", "360", ",", "000", "per", "year", ",", "paid", "in", "accordance", "with", "the", "usual", "payroll", "practices", "of", "the", "Company", ".", "Executives", "Base", "Salary", "shall", "be", "reviewed", "periodically", "for", "potential", "increases", "pursuant", "to", "Company", "review", "policies", "applicable", "to", "senior", "executives", "by", "the", "Compensation", "Committee", "of", "the", "Board", "(", "the", "Compensation", "Committee", ")", "or", "the", "Board", "."]}
{"id": "10770", "text": "(i) an amount equal to 100% of Executives Base Salary at the rate in effect on the date of termination, payable in a single-lump sum cash payment on the first payroll date that occurs on or after the Release Effective Date;", "ner": [[7, 8, "Percentage"], [10, 12, "Salary"]], "tokenized_text": ["(", "i", ")", "an", "amount", "equal", "to", "100", "%", "of", "Executives", "Base", "Salary", "at", "the", "rate", "in", "effect", "on", "the", "date", "of", "termination", ",", "payable", "in", "a", "single-lump", "sum", "cash", "payment", "on", "the", "first", "payroll", "date", "that", "occurs", "on", "or", "after", "the", "Release", "Effective", "Date", ";"]}
{"id": "10773", "text": "OptiNose US Inc. Attn: Chief Executive Officer 1020 Stony Hill Road Third Floor, Suite300 Yardley, PA 19067", "ner": [[6, 8, "Role"]], "tokenized_text": ["OptiNose", "US", "Inc", ".", "Attn", ":", "Chief", "Executive", "Officer", "1020", "Stony", "Hill", "Road", "Third", "Floor", ",", "Suite300", "Yardley", ",", "PA", "19067"]}
{"id": "10775", "text": "/s/ Michael F. Marino", "ner": [[3, 6, "Parties"]], "tokenized_text": ["/", "s", "/", "Michael", "F", ".", "Marino"]}
{"id": "10776", "text": "This RELEASE AGREEMENT (Agreement) made this [ ] day of [ ], [ ] (the Effective Date), between OptiNose US,Inc. (including its successors and assigns, the Company), and [ ] (Executive).", "ner": [[1, 2, "Title"], [24, 28, "Parties"]], "tokenized_text": ["This", "RELEASE", "AGREEMENT", "(", "Agreement", ")", "made", "this", "[", "]", "day", "of", "[", "]", ",", "[", "]", "(", "the", "Effective", "Date", ")", ",", "between", "OptiNose", "US", ",", "Inc", ".", "(", "including", "its", "successors", "and", "assigns", ",", "the", "Company", ")", ",", "and", "[", "]", "(", "Executive", ")", "."]}
{"id": "10778", "text": "2. Title, Duties and Responsibilities. While Executive is employed by the Company, Executive will serve as the President and Chief Operating Officer of OptiNose,Inc. and will report to the Chief Executive Officer of OptiNose,Inc. Executive will have such duties and responsibilities that are commensurate with Executives position and such other duties and responsibilities as are from time to time assigned to Executive by Chief Executive Officer or the Board of Directors of the OptiNose,Inc. (the Board). While Executive is employed by the Company, Executive will devote Executives full business time, energy and skill to the performance of Executives duties and responsibilities hereunder; provided, however, that Executive will be permitted to devote a reasonable amount of time either during or after business hours to Outside Activities (as defined below), so long as such activities (i)do not prohibit or interfere with Executives performance of Executives duties under this Agreement, (ii)do not conflict with the business of the Company or violate any of the provisions of Section8 herein and (iii)are approved in advance in writing by the Chief Executive Officer of OptiNose,Inc. and the Nominating and Corporate Governance Committee (which consent shall not be unreasonably withheld). For purposes of this Agreement, Outside Activities shall include the oversight of passive investments and activities involving professional, charitable, education, religious and other organizations (including membership on boards of for-profit and non-profit organizations). Executive shall, if requested by the Board, also serve as an officer or director of any affiliate of the Company for no additional compensation. Executives place of employment will be the Companys offices in Yardley, Pennsylvania .", "ner": [[21, 21, "Role"], [23, 25, "Role"], [27, 30, "Parties"], [36, 38, "Role"], [40, 43, "Parties"], [73, 75, "Role"], [83, 86, "Parties"], [208, 210, "Role"], [212, 215, "Parties"], [310, 312, "Address"]], "tokenized_text": ["2", ".", "Title", ",", "Duties", "and", "Responsibilities", ".", "While", "Executive", "is", "employed", "by", "the", "Company", ",", "Executive", "will", "serve", "as", "the", "President", "and", "Chief", "Operating", "Officer", "of", "OptiNose", ",", "Inc", ".", "and", "will", "report", "to", "the", "Chief", "Executive", "Officer", "of", "OptiNose", ",", "Inc", ".", "Executive", "will", "have", "such", "duties", "and", "responsibilities", "that", "are", "commensurate", "with", "Executives", "position", "and", "such", "other", "duties", "and", "responsibilities", "as", "are", "from", "time", "to", "time", "assigned", "to", "Executive", "by", "Chief", "Executive", "Officer", "or", "the", "Board", "of", "Directors", "of", "the", "OptiNose", ",", "Inc", ".", "(", "the", "Board", ")", ".", "While", "Executive", "is", "employed", "by", "the", "Company", ",", "Executive", "will", "devote", "Executives", "full", "business", "time", ",", "energy", "and", "skill", "to", "the", "performance", "of", "Executives", "duties", "and", "responsibilities", "hereunder", ";", "provided", ",", "however", ",", "that", "Executive", "will", "be", "permitted", "to", "devote", "a", "reasonable", "amount", "of", "time", "either", "during", "or", "after", "business", "hours", "to", "Outside", "Activities", "(", "as", "defined", "below", ")", ",", "so", "long", "as", "such", "activities", "(", "i", ")", "do", "not", "prohibit", "or", "interfere", "with", "Executives", "performance", "of", "Executives", "duties", "under", "this", "Agreement", ",", "(", "ii", ")", "do", "not", "conflict", "with", "the", "business", "of", "the", "Company", "or", "violate", "any", "of", "the", "provisions", "of", "Section8", "herein", "and", "(", "iii", ")", "are", "approved", "in", "advance", "in", "writing", "by", "the", "Chief", "Executive", "Officer", "of", "OptiNose", ",", "Inc", ".", "and", "the", "Nominating", "and", "Corporate", "Governance", "Committee", "(", "which", "consent", "shall", "not", "be", "unreasonably", "withheld", ")", ".", "For", "purposes", "of", "this", "Agreement", ",", "Outside", "Activities", "shall", "include", "the", "oversight", "of", "passive", "investments", "and", "activities", "involving", "professional", ",", "charitable", ",", "education", ",", "religious", "and", "other", "organizations", "(", "including", "membership", "on", "boards", "of", "for-profit", "and", "non-profit", "organizations", ")", ".", "Executive", "shall", ",", "if", "requested", "by", "the", "Board", ",", "also", "serve", "as", "an", "officer", "or", "director", "of", "any", "affiliate", "of", "the", "Company", "for", "no", "additional", "compensation", ".", "Executives", "place", "of", "employment", "will", "be", "the", "Companys", "offices", "in", "Yardley", ",", "Pennsylvania", "."]}
{"id": "10780", "text": "(ii) provided Executive and his eligible dependents timely and properly elect to continue health care coverage under the Consolidated Omnibus Reconciliation Act of 1985 ( COBRA ), continued participation by Executive and Executives eligible dependents in the standard group medical, dental and vision plans of the Company as in effect from time to time, on substantially the same terms and conditions as such benefits are provided to employees during the applicable period, and reimbursement by the Company of the monthly COBRA premium paid by Executive for him and his eligible dependents for twelve (12) months or, if earlier, until the date Executive is no longer eligible to receive COBRA continuation coverage; provided, however, in the event the Company determines that such provisions would subject Executive to taxation under Section105(h)of the Internal Revenue Code of 1986, as amended (the Code), or otherwise violate any healthcare law or regulation, then, in lieu of reimbursing Executive, the Company shall pay to Executive an amount equal to the amount Executive would be required to pay for continuation of group health coverage for Executive and his eligible dependents through an election under COBRA for twelve (12) months, which amount shall be paid in a lump sum at the same time payments under Section5(e)(i)commence and is intended to assist Executive with costs of health coverage, which Executive may (but is not required to) obtain through an election to continue health care coverage under COBRA ; and", "ner": [[20, 25, "Act"], [27, 27, "Act"], [86, 86, "Act"], [118, 118, "Act"], [147, 151, "Act"], [211, 211, "Act"], [274, 274, "Act"]], "tokenized_text": ["(", "ii", ")", "provided", "Executive", "and", "his", "eligible", "dependents", "timely", "and", "properly", "elect", "to", "continue", "health", "care", "coverage", "under", "the", "Consolidated", "Omnibus", "Reconciliation", "Act", "of", "1985", "(", "COBRA", ")", ",", "continued", "participation", "by", "Executive", "and", "Executives", "eligible", "dependents", "in", "the", "standard", "group", "medical", ",", "dental", "and", "vision", "plans", "of", "the", "Company", "as", "in", "effect", "from", "time", "to", "time", ",", "on", "substantially", "the", "same", "terms", "and", "conditions", "as", "such", "benefits", "are", "provided", "to", "employees", "during", "the", "applicable", "period", ",", "and", "reimbursement", "by", "the", "Company", "of", "the", "monthly", "COBRA", "premium", "paid", "by", "Executive", "for", "him", "and", "his", "eligible", "dependents", "for", "twelve", "(", "12", ")", "months", "or", ",", "if", "earlier", ",", "until", "the", "date", "Executive", "is", "no", "longer", "eligible", "to", "receive", "COBRA", "continuation", "coverage", ";", "provided", ",", "however", ",", "in", "the", "event", "the", "Company", "determines", "that", "such", "provisions", "would", "subject", "Executive", "to", "taxation", "under", "Section105", "(", "h", ")", "of", "the", "Internal", "Revenue", "Code", "of", "1986", ",", "as", "amended", "(", "the", "Code", ")", ",", "or", "otherwise", "violate", "any", "healthcare", "law", "or", "regulation", ",", "then", ",", "in", "lieu", "of", "reimbursing", "Executive", ",", "the", "Company", "shall", "pay", "to", "Executive", "an", "amount", "equal", "to", "the", "amount", "Executive", "would", "be", "required", "to", "pay", "for", "continuation", "of", "group", "health", "coverage", "for", "Executive", "and", "his", "eligible", "dependents", "through", "an", "election", "under", "COBRA", "for", "twelve", "(", "12", ")", "months", ",", "which", "amount", "shall", "be", "paid", "in", "a", "lump", "sum", "at", "the", "same", "time", "payments", "under", "Section5", "(", "e", ")", "(", "i", ")", "commence", "and", "is", "intended", "to", "assist", "Executive", "with", "costs", "of", "health", "coverage", ",", "which", "Executive", "may", "(", "but", "is", "not", "required", "to", ")", "obtain", "through", "an", "election", "to", "continue", "health", "care", "coverage", "under", "COBRA", ";", "and"]}
{"id": "10781", "text": "Good Reason shall mean, without Executives prior written consent, (i)a material diminution in Executives position or duties, authority or responsibilities including, without limitation, Executive ceasing to be an executive officer (as defined under Rule3b-7 of the Securities Exchange Act of 1934 , as amended (the Exchange Act )) of a company with a class of securities registered under Section12(b)of the Exchange Act ; ( ii)the assignment to Executive of any duties materially inconsistent with the duties and responsibilities of President and Chief Operating Officer , (iii)a reduction by the Company in Executives then-current Base Salary or Executives then-current Target Annual Bonus unless the salaries and target annual bonuses for all other senior executive officers are correspondingly and proportionately reduced by not greater than 15% and such reduction continues for no more than 12 months; (iv)Executives relocation to offices of the Company that are more than fifty (50) miles from the Companys offices in Yardley, Pennsylvania ; or (v)any action or inaction that constitutes a material breach of this Agreement by the Company. In order to invoke a termination for Good Reason, Executive must deliver a written notice of the grounds for such termination within thirty (30) days of the initial existence of the event giving rise to Good Reason and the Company shall have thirty (30) days to cure the circumstances. In order to terminate Executives employment, if at all, for Good Reason, Executive must terminate employment within sixty (60) days following the end of the cure period if the circumstances giving rise to Good Reason have not been cured.", "ner": [[42, 42, "Regulation"], [45, 49, "Act"], [69, 72, "Regulation"], [96, 96, "Role"], [98, 100, "Role"], [143, 144, "Percentage"], [180, 182, "Address"], [227, 231, "TerminationDate"]], "tokenized_text": ["Good", "Reason", "shall", "mean", ",", "without", "Executives", "prior", "written", "consent", ",", "(", "i", ")", "a", "material", "diminution", "in", "Executives", "position", "or", "duties", ",", "authority", "or", "responsibilities", "including", ",", "without", "limitation", ",", "Executive", "ceasing", "to", "be", "an", "executive", "officer", "(", "as", "defined", "under", "Rule3b-7", "of", "the", "Securities", "Exchange", "Act", "of", "1934", ",", "as", "amended", "(", "the", "Exchange", "Act", ")", ")", "of", "a", "company", "with", "a", "class", "of", "securities", "registered", "under", "Section12", "(", "b", ")", "of", "the", "Exchange", "Act", ";", "(", "ii", ")", "the", "assignment", "to", "Executive", "of", "any", "duties", "materially", "inconsistent", "with", "the", "duties", "and", "responsibilities", "of", "President", "and", "Chief", "Operating", "Officer", ",", "(", "iii", ")", "a", "reduction", "by", "the", "Company", "in", "Executives", "then-current", "Base", "Salary", "or", "Executives", "then-current", "Target", "Annual", "Bonus", "unless", "the", "salaries", "and", "target", "annual", "bonuses", "for", "all", "other", "senior", "executive", "officers", "are", "correspondingly", "and", "proportionately", "reduced", "by", "not", "greater", "than", "15", "%", "and", "such", "reduction", "continues", "for", "no", "more", "than", "12", "months", ";", "(", "iv", ")", "Executives", "relocation", "to", "offices", "of", "the", "Company", "that", "are", "more", "than", "fifty", "(", "50", ")", "miles", "from", "the", "Companys", "offices", "in", "Yardley", ",", "Pennsylvania", ";", "or", "(", "v", ")", "any", "action", "or", "inaction", "that", "constitutes", "a", "material", "breach", "of", "this", "Agreement", "by", "the", "Company", ".", "In", "order", "to", "invoke", "a", "termination", "for", "Good", "Reason", ",", "Executive", "must", "deliver", "a", "written", "notice", "of", "the", "grounds", "for", "such", "termination", "within", "thirty", "(", "30", ")", "days", "of", "the", "initial", "existence", "of", "the", "event", "giving", "rise", "to", "Good", "Reason", "and", "the", "Company", "shall", "have", "thirty", "(", "30", ")", "days", "to", "cure", "the", "circumstances", ".", "In", "order", "to", "terminate", "Executives", "employment", ",", "if", "at", "all", ",", "for", "Good", "Reason", ",", "Executive", "must", "terminate", "employment", "within", "sixty", "(", "60", ")", "days", "following", "the", "end", "of", "the", "cure", "period", "if", "the", "circumstances", "giving", "rise", "to", "Good", "Reason", "have", "not", "been", "cured", "."]}
{"id": "10783", "text": "process (provided that Executive provides the Company with prior notice of the contemplated disclosure and cooperates at the Companys cost with the Company in seeking a protective order or other appropriate protection of such information). The Company and Executive acknowledge that, notwithstanding anything to the contrary contained in this Agreement, pursuant to 18 USC 1833 (b), an individual may not be held liable under any criminal or civil federal or state trade secret law for disclosure of a trade secret: (i)made in confidence to a government official, either directly or indirectly, or to an attorney, solely for the purpose of reporting or investigating a suspected violation of law or (ii)in a complaint or other document filed in a lawsuit or other proceeding, if such filing is made under seal. The Company and Executive further acknowledge that an individual suing an employer for retaliation based on the reporting of a suspected violation of law may disclose a trade secret to his attorney and use the trade secret information in the court proceeding, so long as any document containing the trade secret is filed under seal and the individual does not disclose the trade secret except pursuant to court order.", "ner": [[57, 59, "Regulation"]], "tokenized_text": ["process", "(", "provided", "that", "Executive", "provides", "the", "Company", "with", "prior", "notice", "of", "the", "contemplated", "disclosure", "and", "cooperates", "at", "the", "Companys", "cost", "with", "the", "Company", "in", "seeking", "a", "protective", "order", "or", "other", "appropriate", "protection", "of", "such", "information", ")", ".", "The", "Company", "and", "Executive", "acknowledge", "that", ",", "notwithstanding", "anything", "to", "the", "contrary", "contained", "in", "this", "Agreement", ",", "pursuant", "to", "18", "USC", "1833", "(", "b", ")", ",", "an", "individual", "may", "not", "be", "held", "liable", "under", "any", "criminal", "or", "civil", "federal", "or", "state", "trade", "secret", "law", "for", "disclosure", "of", "a", "trade", "secret", ":", "(", "i", ")", "made", "in", "confidence", "to", "a", "government", "official", ",", "either", "directly", "or", "indirectly", ",", "or", "to", "an", "attorney", ",", "solely", "for", "the", "purpose", "of", "reporting", "or", "investigating", "a", "suspected", "violation", "of", "law", "or", "(", "ii", ")", "in", "a", "complaint", "or", "other", "document", "filed", "in", "a", "lawsuit", "or", "other", "proceeding", ",", "if", "such", "filing", "is", "made", "under", "seal", ".", "The", "Company", "and", "Executive", "further", "acknowledge", "that", "an", "individual", "suing", "an", "employer", "for", "retaliation", "based", "on", "the", "reporting", "of", "a", "suspected", "violation", "of", "law", "may", "disclose", "a", "trade", "secret", "to", "his", "attorney", "and", "use", "the", "trade", "secret", "information", "in", "the", "court", "proceeding", ",", "so", "long", "as", "any", "document", "containing", "the", "trade", "secret", "is", "filed", "under", "seal", "and", "the", "individual", "does", "not", "disclose", "the", "trade", "secret", "except", "pursuant", "to", "court", "order", "."]}
{"id": "10793", "text": "(b) Annual Bonus. For each calendar year ending during the Term (beginning with the calendar year ending December 31, 2017 ), the Employee shall be eligible to receive an annual bonus (the Annual Bonus) with a target amount equal to thirty five percent ( 35% ) of the Base Salary earned by the Employee for such calendar year (the Target Annual Bonus). Notwithstanding the foregoing, for calendar year 2017, the Employee will be eligible to receive an Annual Bonus, pro-rated for the period between the Start Date and December 31, 2017 . The actual amount of each Annual Bonus will be based upon the level of achievement of the Companys corporate objectives and the Employees individual objectives, in each case, as established by the Board or the Compensation Committee (taking into account the input of the CEO with respect to the establishment of the Employees individual objectives) for the calendar year with respect to which such Annual Bonus relates. The determination of the level of achievement of the corporate objectives and the Employees individual performance objectives for a year shall be made by the Board or the Compensation Committee (taking into account the input of the CEO with respect to the establishment of the Employees individual objectives), in its reasonable discretion. Each Annual Bonus for a calendar year, to the extent earned, will be paid in a lump sum in the following calendar year, within the first 75 days of such following year. The Annual Bonus shall not be deemed earned until the date that it is paid. Accordingly, in order for the Employee to receive an Annual Bonus, the Employee must be actively employed by the Company at the time of such payment.", "ner": [[21, 24, "TerminationDate"], [52, 53, "Percentage"], [155, 155, "Role"], [218, 218, "Role"]], "tokenized_text": ["(", "b", ")", "Annual", "Bonus", ".", "For", "each", "calendar", "year", "ending", "during", "the", "Term", "(", "beginning", "with", "the", "calendar", "year", "ending", "December", "31", ",", "2017", ")", ",", "the", "Employee", "shall", "be", "eligible", "to", "receive", "an", "annual", "bonus", "(", "the", "Annual", "Bonus", ")", "with", "a", "target", "amount", "equal", "to", "thirty", "five", "percent", "(", "35", "%", ")", "of", "the", "Base", "Salary", "earned", "by", "the", "Employee", "for", "such", "calendar", "year", "(", "the", "Target", "Annual", "Bonus", ")", ".", "Notwithstanding", "the", "foregoing", ",", "for", "calendar", "year", "2017", ",", "the", "Employee", "will", "be", "eligible", "to", "receive", "an", "Annual", "Bonus", ",", "pro-rated", "for", "the", "period", "between", "the", "Start", "Date", "and", "December", "31", ",", "2017", ".", "The", "actual", "amount", "of", "each", "Annual", "Bonus", "will", "be", "based", "upon", "the", "level", "of", "achievement", "of", "the", "Companys", "corporate", "objectives", "and", "the", "Employees", "individual", "objectives", ",", "in", "each", "case", ",", "as", "established", "by", "the", "Board", "or", "the", "Compensation", "Committee", "(", "taking", "into", "account", "the", "input", "of", "the", "CEO", "with", "respect", "to", "the", "establishment", "of", "the", "Employees", "individual", "objectives", ")", "for", "the", "calendar", "year", "with", "respect", "to", "which", "such", "Annual", "Bonus", "relates", ".", "The", "determination", "of", "the", "level", "of", "achievement", "of", "the", "corporate", "objectives", "and", "the", "Employees", "individual", "performance", "objectives", "for", "a", "year", "shall", "be", "made", "by", "the", "Board", "or", "the", "Compensation", "Committee", "(", "taking", "into", "account", "the", "input", "of", "the", "CEO", "with", "respect", "to", "the", "establishment", "of", "the", "Employees", "individual", "objectives", ")", ",", "in", "its", "reasonable", "discretion", ".", "Each", "Annual", "Bonus", "for", "a", "calendar", "year", ",", "to", "the", "extent", "earned", ",", "will", "be", "paid", "in", "a", "lump", "sum", "in", "the", "following", "calendar", "year", ",", "within", "the", "first", "75", "days", "of", "such", "following", "year", ".", "The", "Annual", "Bonus", "shall", "not", "be", "deemed", "earned", "until", "the", "date", "that", "it", "is", "paid", ".", "Accordingly", ",", "in", "order", "for", "the", "Employee", "to", "receive", "an", "Annual", "Bonus", ",", "the", "Employee", "must", "be", "actively", "employed", "by", "the", "Company", "at", "the", "time", "of", "such", "payment", "."]}
{"id": "10795", "text": "Adgero Biopharmaceuticals Holdings, Inc.", "ner": [[0, 5, "Parties"]], "tokenized_text": ["Adgero", "Biopharmaceuticals", "Holdings", ",", "Inc", "."]}
{"id": "10796", "text": "4365 US Route 1 South", "ner": [[0, 4, "Address"]], "tokenized_text": ["4365", "US", "Route", "1", "South"]}
{"id": "10798", "text": "New York, New York 10020", "ner": [[0, 5, "Address"]], "tokenized_text": ["New", "York", ",", "New", "York", "10020"]}
{"id": "10803", "text": "(iii) Persons Acting as a Group. For purposes of clauses (i) and (ii) above, persons will not be considered to be acting as a group solely because they purchase or own capital stock or purchase assets of the Company at the same time. However, persons will be considered to be acting as a group if they are owners of a corporation that enters into a merger, consolidation, purchase or acquisition of assets or capital stock, or similar business transaction with the Company. If a person, including an entity, owns stock in both corporations that enter into a merger, consolidation, purchase or acquisition of assets or capital stock, or similar transaction, such shareholder is considered to be acting as a group with other shareholders in a corporation only with respect to the ownership in that corporation before the transaction giving rise to the change and not with respect to the ownership interest in the other corporation. For purposes of this paragraph, the term corporation shall have the meaning assigned such term under Treasury Regulation section 1.280G-1 , Q&A-45.", "ner": [[193, 204, "Regulation"]], "tokenized_text": ["(", "iii", ")", "Persons", "Acting", "as", "a", "Group", ".", "For", "purposes", "of", "clauses", "(", "i", ")", "and", "(", "ii", ")", "above", ",", "persons", "will", "not", "be", "considered", "to", "be", "acting", "as", "a", "group", "solely", "because", "they", "purchase", "or", "own", "capital", "stock", "or", "purchase", "assets", "of", "the", "Company", "at", "the", "same", "time", ".", "However", ",", "persons", "will", "be", "considered", "to", "be", "acting", "as", "a", "group", "if", "they", "are", "owners", "of", "a", "corporation", "that", "enters", "into", "a", "merger", ",", "consolidation", ",", "purchase", "or", "acquisition", "of", "assets", "or", "capital", "stock", ",", "or", "similar", "business", "transaction", "with", "the", "Company", ".", "If", "a", "person", ",", "including", "an", "entity", ",", "owns", "stock", "in", "both", "corporations", "that", "enter", "into", "a", "merger", ",", "consolidation", ",", "purchase", "or", "acquisition", "of", "assets", "or", "capital", "stock", ",", "or", "similar", "transaction", ",", "such", "shareholder", "is", "considered", "to", "be", "acting", "as", "a", "group", "with", "other", "shareholders", "in", "a", "corporation", "only", "with", "respect", "to", "the", "ownership", "in", "that", "corporation", "before", "the", "transaction", "giving", "rise", "to", "the", "change", "and", "not", "with", "respect", "to", "the", "ownership", "interest", "in", "the", "other", "corporation", ".", "For", "purposes", "of", "this", "paragraph", ",", "the", "term", "corporation", "shall", "have", "the", "meaning", "assigned", "such", "term", "under", "Treasury", "Regulation", "section", "1", ".", "280G-1", ",", "Q", "&", "amp", ";", "A-45", "."]}
{"id": "10806", "text": "WHEREAS, the Company desires to employ the Executive as Vice President , Strategy & Corporate Developmen t and wishes to be assured of his services on the terms and conditions hereinafter set forth; and", "ner": [[10, 11, "Role"]], "tokenized_text": ["WHEREAS", ",", "the", "Company", "desires", "to", "employ", "the", "Executive", "as", "Vice", "President", ",", "Strategy", "&", "amp", ";", "Corporate", "Developmen", "t", "and", "wishes", "to", "be", "assured", "of", "his", "services", "on", "the", "terms", "and", "conditions", "hereinafter", "set", "forth", ";", "and"]}
{"id": "10811", "text": "2.2. Annual Bonus. For each fiscal year ending during the Employment Period, the Executive shall be eligible for potential awards of additional compensation (the Annual Bonus) to be based upon the achievement of one or more performance goals established by senior management of the Company (the Performance Targets). The Annual Bonus shall be prorated for any partial fiscal years occurring within the Employment Period. The Executives target Annual Bonus opportunity for each fiscal year that ends during the Employment Period shall be equal to 50% of Base Salary (the Target Annual Bonus Opportunity), with the actual Annual Bonus, if any, to be based on the Companys actual performance relative to the Performance Targets. Notwithstanding the foregoing, Executives Annual Bonus for the 2016 fiscal year will be calculated as though he was employed for the entire fiscal year, but in no event will be less than $99,652 . The Annual Bonus, if any, shall be paid in cash within 90 days of the fiscal year end, assuming the delivery of the relevant financial statements in a timely manner, but in no event later than March15th of the year following the end of the fiscal year for which the Annual Bonus, if any, is earned; provided, that, except as set forth in Section3, the Executive must continue to be employed by the Company through the end of the applicable fiscal year.", "ner": [[95, 96, "Percentage"], [165, 168, "Salary"]], "tokenized_text": ["2", ".", "2", ".", "Annual", "Bonus", ".", "For", "each", "fiscal", "year", "ending", "during", "the", "Employment", "Period", ",", "the", "Executive", "shall", "be", "eligible", "for", "potential", "awards", "of", "additional", "compensation", "(", "the", "Annual", "Bonus", ")", "to", "be", "based", "upon", "the", "achievement", "of", "one", "or", "more", "performance", "goals", "established", "by", "senior", "management", "of", "the", "Company", "(", "the", "Performance", "Targets", ")", ".", "The", "Annual", "Bonus", "shall", "be", "prorated", "for", "any", "partial", "fiscal", "years", "occurring", "within", "the", "Employment", "Period", ".", "The", "Executives", "target", "Annual", "Bonus", "opportunity", "for", "each", "fiscal", "year", "that", "ends", "during", "the", "Employment", "Period", "shall", "be", "equal", "to", "50", "%", "of", "Base", "Salary", "(", "the", "Target", "Annual", "Bonus", "Opportunity", ")", ",", "with", "the", "actual", "Annual", "Bonus", ",", "if", "any", ",", "to", "be", "based", "on", "the", "Companys", "actual", "performance", "relative", "to", "the", "Performance", "Targets", ".", "Notwithstanding", "the", "foregoing", ",", "Executives", "Annual", "Bonus", "for", "the", "2016", "fiscal", "year", "will", "be", "calculated", "as", "though", "he", "was", "employed", "for", "the", "entire", "fiscal", "year", ",", "but", "in", "no", "event", "will", "be", "less", "than", "$", "99", ",", "652", ".", "The", "Annual", "Bonus", ",", "if", "any", ",", "shall", "be", "paid", "in", "cash", "within", "90", "days", "of", "the", "fiscal", "year", "end", ",", "assuming", "the", "delivery", "of", "the", "relevant", "financial", "statements", "in", "a", "timely", "manner", ",", "but", "in", "no", "event", "later", "than", "March15th", "of", "the", "year", "following", "the", "end", "of", "the", "fiscal", "year", "for", "which", "the", "Annual", "Bonus", ",", "if", "any", ",", "is", "earned", ";", "provided", ",", "that", ",", "except", "as", "set", "forth", "in", "Section3", ",", "the", "Executive", "must", "continue", "to", "be", "employed", "by", "the", "Company", "through", "the", "end", "of", "the", "applicable", "fiscal", "year", "."]}
{"id": "10814", "text": "4.2. Non-Competition. By and in consideration of the Companys entering into this Employment Agreement, and in further consideration of the Executives exposure to the Confidential Information of the Company Group, the Executive agrees that the Executive shall not, during the Employment Period and for one year following the Executives Termination Date (the Restriction Period), directly or indirectly, own, manage, operate, join, control, be employed by, or participate in the ownership, management, operation or control of, or be connected in any manner with, including, without limitation, holding any position as a stockholder, director, officer, consultant, independent contractor, employee, partner, or investor in, any Restricted Enterprise (as defined below); provided, that in no event shall ownership of one percent or less of the outstanding securities of any class of any issuer whose securities are registered under the Securities Exchange Act of 1934 , as amended, standing alone, be prohibited by this Section4.2, so long as the Executive does not have, or exercise, any rights to manage or operate the business of such issuer other than rights as a stockholder thereof. For purposes of this paragraph, Restricted Enterprise shall mean any business that is in competition with (a)the present products marketed or sold by the Company to its customers and as such products may be improved and/or modified, (b)the present services marketed, sold or provided by the Company to its customers and as such services may be improved and/or modified or (c)the products and/or services the Company develops, designs, manufactures, markets, produces or supplies in the future to its customers. In the case of each of (a), (b)and (c)above, such businesses shall include, but not be limited to, businesses that are associated with the treatment of intake water, process water or waste-water in industrial and municipal end markets through the provision of services and/or products. For the avoidance of doubt, Restricted Enterprise shall include, but not be limited to: XXXXXX.", "ner": [[16, 17, "Title"], [150, 151, "Percentage"], [170, 174, "Act"]], "tokenized_text": ["4", ".", "2", ".", "Non-Competition", ".", "By", "and", "in", "consideration", "of", "the", "Companys", "entering", "into", "this", "Employment", "Agreement", ",", "and", "in", "further", "consideration", "of", "the", "Executives", "exposure", "to", "the", "Confidential", "Information", "of", "the", "Company", "Group", ",", "the", "Executive", "agrees", "that", "the", "Executive", "shall", "not", ",", "during", "the", "Employment", "Period", "and", "for", "one", "year", "following", "the", "Executives", "Termination", "Date", "(", "the", "Restriction", "Period", ")", ",", "directly", "or", "indirectly", ",", "own", ",", "manage", ",", "operate", ",", "join", ",", "control", ",", "be", "employed", "by", ",", "or", "participate", "in", "the", "ownership", ",", "management", ",", "operation", "or", "control", "of", ",", "or", "be", "connected", "in", "any", "manner", "with", ",", "including", ",", "without", "limitation", ",", "holding", "any", "position", "as", "a", "stockholder", ",", "director", ",", "officer", ",", "consultant", ",", "independent", "contractor", ",", "employee", ",", "partner", ",", "or", "investor", "in", ",", "any", "Restricted", "Enterprise", "(", "as", "defined", "below", ")", ";", "provided", ",", "that", "in", "no", "event", "shall", "ownership", "of", "one", "percent", "or", "less", "of", "the", "outstanding", "securities", "of", "any", "class", "of", "any", "issuer", "whose", "securities", "are", "registered", "under", "the", "Securities", "Exchange", "Act", "of", "1934", ",", "as", "amended", ",", "standing", "alone", ",", "be", "prohibited", "by", "this", "Section4", ".", "2", ",", "so", "long", "as", "the", "Executive", "does", "not", "have", ",", "or", "exercise", ",", "any", "rights", "to", "manage", "or", "operate", "the", "business", "of", "such", "issuer", "other", "than", "rights", "as", "a", "stockholder", "thereof", ".", "For", "purposes", "of", "this", "paragraph", ",", "Restricted", "Enterprise", "shall", "mean", "any", "business", "that", "is", "in", "competition", "with", "(", "a", ")", "the", "present", "products", "marketed", "or", "sold", "by", "the", "Company", "to", "its", "customers", "and", "as", "such", "products", "may", "be", "improved", "and", "/", "or", "modified", ",", "(", "b", ")", "the", "present", "services", "marketed", ",", "sold", "or", "provided", "by", "the", "Company", "to", "its", "customers", "and", "as", "such", "services", "may", "be", "improved", "and", "/", "or", "modified", "or", "(", "c", ")", "the", "products", "and", "/", "or", "services", "the", "Company", "develops", ",", "designs", ",", "manufactures", ",", "markets", ",", "produces", "or", "supplies", "in", "the", "future", "to", "its", "customers", ".", "In", "the", "case", "of", "each", "of", "(", "a", ")", ",", "(", "b", ")", "and", "(", "c", ")", "above", ",", "such", "businesses", "shall", "include", ",", "but", "not", "be", "limited", "to", ",", "businesses", "that", "are", "associated", "with", "the", "treatment", "of", "intake", "water", ",", "process", "water", "or", "waste-water", "in", "industrial", "and", "municipal", "end", "markets", "through", "the", "provision", "of", "services", "and", "/", "or", "products", ".", "For", "the", "avoidance", "of", "doubt", ",", "Restricted", "Enterprise", "shall", "include", ",", "but", "not", "be", "limited", "to", ":", "XXXXXX", "."]}
{"id": "10818", "text": "This Employment Agreement (Agreement) is entered into by and between ForeScout Technologies, Inc. , a Delaware corporation (the Company), and Darren J. Milliken (Executive, and collectively referred to as the Parties) effective as of January 1, 2017 (the Effective Date).", "ner": [[1, 2, "Title"], [12, 16, "Parties"], [27, 30, "Parties"], [45, 48, "EffectiveDate"]], "tokenized_text": ["This", "Employment", "Agreement", "(", "Agreement", ")", "is", "entered", "into", "by", "and", "between", "ForeScout", "Technologies", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "the", "Company", ")", ",", "and", "Darren", "J", ".", "Milliken", "(", "Executive", ",", "and", "collectively", "referred", "to", "as", "the", "Parties", ")", "effective", "as", "of", "January", "1", ",", "2017", "(", "the", "Effective", "Date", ")", "."]}
{"id": "10819", "text": "WHEREAS, the Parties previously entered into an Employment Agreement dated January 29, 2014 , as amended on March 16, 2015 (the Prior Agreement).", "ner": [[8, 9, "Title"], [11, 14, "EffectiveDate"], [19, 22, "EffectiveDate"], [25, 26, "Title"]], "tokenized_text": ["WHEREAS", ",", "the", "Parties", "previously", "entered", "into", "an", "Employment", "Agreement", "dated", "January", "29", ",", "2014", ",", "as", "amended", "on", "March", "16", ",", "2015", "(", "the", "Prior", "Agreement", ")", "."]}
{"id": "10820", "text": "1.2.1 Executive Position. As of the Effective Date, Executive agrees to serve as Senior Vice President , General Counsel , Corporate Secretary & Corporate Compliance Officer of the Company, under the terms of this Agreement. Executive will report directly to the Companys Chief Executive Officer (CEO). Executive shall render such business and professional services in the performance of Executives duties, consistent with Executives position within the Company, as will be reasonably assigned to Executive by the Companys Board of Directors (Board) or the CEO. Executives principal place of employment will be San Jose, California.", "ner": [[19, 21, "Role"], [26, 27, "Role"], [31, 33, "Role"], [52, 54, "Role"], [56, 56, "Role"], [100, 100, "Role"], [109, 112, "Address"]], "tokenized_text": ["1", ".", "2", ".", "1", "Executive", "Position", ".", "As", "of", "the", "Effective", "Date", ",", "Executive", "agrees", "to", "serve", "as", "Senior", "Vice", "President", ",", "General", "Counsel", ",", "Corporate", "Secretary", "&", "amp", ";", "Corporate", "Compliance", "Officer", "of", "the", "Company", ",", "under", "the", "terms", "of", "this", "Agreement", ".", "Executive", "will", "report", "directly", "to", "the", "Companys", "Chief", "Executive", "Officer", "(", "CEO", ")", ".", "Executive", "shall", "render", "such", "business", "and", "professional", "services", "in", "the", "performance", "of", "Executives", "duties", ",", "consistent", "with", "Executives", "position", "within", "the", "Company", ",", "as", "will", "be", "reasonably", "assigned", "to", "Executive", "by", "the", "Companys", "Board", "of", "Directors", "(", "Board", ")", "or", "the", "CEO", ".", "Executives", "principal", "place", "of", "employment", "will", "be", "San", "Jose", ",", "California", "."]}
{"id": "10821", "text": "2.1 Base Salary. During the Term, Executives initial annual base salary shall be $304,000 . Executives base salary shall be reassessed and determined periodically by the Board or the Companys Compensation Committee (the Committee), as appropriate, in its sole discretion. The base salary in effect at any given time is referred to herein as Base Salary. The Base Salary shall be payable in a manner that is consistent with the Companys usual payroll practices for senior executives and will be subject to applicable tax and other required withholdings.", "ner": [[17, 20, "Salary"]], "tokenized_text": ["2", ".", "1", "Base", "Salary", ".", "During", "the", "Term", ",", "Executives", "initial", "annual", "base", "salary", "shall", "be", "$", "304", ",", "000", ".", "Executives", "base", "salary", "shall", "be", "reassessed", "and", "determined", "periodically", "by", "the", "Board", "or", "the", "Companys", "Compensation", "Committee", "(", "the", "Committee", ")", ",", "as", "appropriate", ",", "in", "its", "sole", "discretion", ".", "The", "base", "salary", "in", "effect", "at", "any", "given", "time", "is", "referred", "to", "herein", "as", "Base", "Salary", ".", "The", "Base", "Salary", "shall", "be", "payable", "in", "a", "manner", "that", "is", "consistent", "with", "the", "Companys", "usual", "payroll", "practices", "for", "senior", "executives", "and", "will", "be", "subject", "to", "applicable", "tax", "and", "other", "required", "withholdings", "."]}
{"id": "10823", "text": "3.2 Disability. The Company may terminate Executives employment if Executive becomes Disabled (as defined below). Nothing in this Section 3.2 shall be construed to waive Executives rights, if any, under existing law including, without limitation, the Family and Medical Leave Act of 1993 , 29 U.S.C. 2601 et seq. and the Americans with Disabilities Act , 42 U.S.C . 12101 et seq .", "ner": [[48, 54, "Act"], [56, 63, "Regulation"], [69, 72, "Act"], [74, 81, "Regulation"]], "tokenized_text": ["3", ".", "2", "Disability", ".", "The", "Company", "may", "terminate", "Executives", "employment", "if", "Executive", "becomes", "Disabled", "(", "as", "defined", "below", ")", ".", "Nothing", "in", "this", "Section", "3", ".", "2", "shall", "be", "construed", "to", "waive", "Executives", "rights", ",", "if", "any", ",", "under", "existing", "law", "including", ",", "without", "limitation", ",", "the", "Family", "and", "Medical", "Leave", "Act", "of", "1993", ",", "29", "U", ".", "S", ".", "C", ".", "2601", "et", "seq", ".", "and", "the", "Americans", "with", "Disabilities", "Act", ",", "42", "U", ".", "S", ".", "C", ".", "12101", "et", "seq", "."]}
{"id": "10825", "text": "of Termination for Executive and any of Executives eligible dependents (which amount will be based on the premium for the first month of COBRA coverage).", "ner": [[24, 24, "Act"]], "tokenized_text": ["of", "Termination", "for", "Executive", "and", "any", "of", "Executives", "eligible", "dependents", "(", "which", "amount", "will", "be", "based", "on", "the", "premium", "for", "the", "first", "month", "of", "COBRA", "coverage", ")", "."]}
{"id": "10826", "text": "7.1 Cash Severance. A lump sum cash amount equal to 100% of the sum of (a) Executives then-current Base Salary (or Executives Base Salary in effect immediately prior to the Change in Control, if higher) plus (b) Executives target incentive compensation, as determined under Section 2.2; and", "ner": [[13, 14, "Percentage"]], "tokenized_text": ["7", ".", "1", "Cash", "Severance", ".", "A", "lump", "sum", "cash", "amount", "equal", "to", "100", "%", "of", "the", "sum", "of", "(", "a", ")", "Executives", "then-current", "Base", "Salary", "(", "or", "Executives", "Base", "Salary", "in", "effect", "immediately", "prior", "to", "the", "Change", "in", "Control", ",", "if", "higher", ")", "plus", "(", "b", ")", "Executives", "target", "incentive", "compensation", ",", "as", "determined", "under", "Section", "2", ".", "2", ";", "and"]}
{"id": "10832", "text": "other Deferred Payments will be payable in accordance with the payment schedule applicable to each payment or benefit. Each payment and benefit payable under this Agreement is intended to constitute a separate payment under Section 1.409A-2(b)(2) of the Treasury Regulations.", "ner": [[35, 44, "Regulation"], [47, 48, "Regulation"]], "tokenized_text": ["other", "Deferred", "Payments", "will", "be", "payable", "in", "accordance", "with", "the", "payment", "schedule", "applicable", "to", "each", "payment", "or", "benefit", ".", "Each", "payment", "and", "benefit", "payable", "under", "this", "Agreement", "is", "intended", "to", "constitute", "a", "separate", "payment", "under", "Section", "1", ".", "409A-2", "(", "b", ")", "(", "2", ")", "of", "the", "Treasury", "Regulations", "."]}
{"id": "10834", "text": "12.1 Consent to Jurisdiction. To the extent that any court action is permitted consistent with this Agreement and the Confidentiality Agreement, the Parties hereby consent to the jurisdiction of the Superior Court of the State of California and the United States District Court for the District of Northern California . Accordingly, with respect to any such court action, each Party (a) submits to the personal jurisdiction of such courts; (b) consents to service of process; and (c) waives any other requirement (whether imposed by statute, rule of court, or otherwise) with respect to personal jurisdiction or service of process.", "ner": [[22, 23, "Title"], [34, 40, "Court"], [43, 52, "Court"]], "tokenized_text": ["12", ".", "1", "Consent", "to", "Jurisdiction", ".", "To", "the", "extent", "that", "any", "court", "action", "is", "permitted", "consistent", "with", "this", "Agreement", "and", "the", "Confidentiality", "Agreement", ",", "the", "Parties", "hereby", "consent", "to", "the", "jurisdiction", "of", "the", "Superior", "Court", "of", "the", "State", "of", "California", "and", "the", "United", "States", "District", "Court", "for", "the", "District", "of", "Northern", "California", ".", "Accordingly", ",", "with", "respect", "to", "any", "such", "court", "action", ",", "each", "Party", "(", "a", ")", "submits", "to", "the", "personal", "jurisdiction", "of", "such", "courts", ";", "(", "b", ")", "consents", "to", "service", "of", "process", ";", "and", "(", "c", ")", "waives", "any", "other", "requirement", "(", "whether", "imposed", "by", "statute", ",", "rule", "of", "court", ",", "or", "otherwise", ")", "with", "respect", "to", "personal", "jurisdiction", "or", "service", "of", "process", "."]}
{"id": "10835", "text": "FORESCOUT TECHNOLOGIES, INC. 7/8/2017 | 06:49 PDT", "ner": [], "tokenized_text": ["FORESCOUT", "TECHNOLOGIES", ",", "INC", ".", "7", "/", "8", "/", "2017", "|", "06", ":", "49", "PDT"]}
{"id": "10838", "text": "Darren J. Milliken --- | | ForeScout Employment Agreement", "ner": [[9, 11, "Title"]], "tokenized_text": ["Darren", "J", ".", "Milliken", "-", "-", "-", "|", "|", "ForeScout", "Employment", "Agreement"]}
{"id": "10841", "text": "language in the Confidentiality Agreement regarding Employees right to engage in Protected Activity that conflicts with, or is contrary to, this section is superseded by this Agreement. In addition, pursuant to the Defend Trade Secrets Act of 2016 , Employee is notified that an individual will not be held criminally or civilly liable under any federal or state trade secret law for the disclosure of a trade secret that (i) is made in confidence to a federal, state, or local government official (directly or indirectly) or to an attorney solely for the purpose of reporting or investigating a suspected violation of law, or (ii) is made in a complaint or other document filed in a lawsuit or other proceeding, if (and only if) such filing is made under seal. In addition, an individual who files a lawsuit for retaliation by an employer for reporting a suspected violation of law may disclose the trade secret to the individuals attorney and use the trade secret information in the court proceeding, if the individual files any document containing the trade secret under seal and does not disclose the trade secret, except pursuant to court order. Finally, nothing in this Agreement constitutes a waiver of any rights Employee may have under the Sarbanes-Oxley Act. < br/>", "ner": [[3, 4, "Title"], [36, 41, "Act"], [230, 231, "Act"]], "tokenized_text": ["language", "in", "the", "Confidentiality", "Agreement", "regarding", "Employees", "right", "to", "engage", "in", "Protected", "Activity", "that", "conflicts", "with", ",", "or", "is", "contrary", "to", ",", "this", "section", "is", "superseded", "by", "this", "Agreement", ".", "In", "addition", ",", "pursuant", "to", "the", "Defend", "Trade", "Secrets", "Act", "of", "2016", ",", "Employee", "is", "notified", "that", "an", "individual", "will", "not", "be", "held", "criminally", "or", "civilly", "liable", "under", "any", "federal", "or", "state", "trade", "secret", "law", "for", "the", "disclosure", "of", "a", "trade", "secret", "that", "(", "i", ")", "is", "made", "in", "confidence", "to", "a", "federal", ",", "state", ",", "or", "local", "government", "official", "(", "directly", "or", "indirectly", ")", "or", "to", "an", "attorney", "solely", "for", "the", "purpose", "of", "reporting", "or", "investigating", "a", "suspected", "violation", "of", "law", ",", "or", "(", "ii", ")", "is", "made", "in", "a", "complaint", "or", "other", "document", "filed", "in", "a", "lawsuit", "or", "other", "proceeding", ",", "if", "(", "and", "only", "if", ")", "such", "filing", "is", "made", "under", "seal", ".", "In", "addition", ",", "an", "individual", "who", "files", "a", "lawsuit", "for", "retaliation", "by", "an", "employer", "for", "reporting", "a", "suspected", "violation", "of", "law", "may", "disclose", "the", "trade", "secret", "to", "the", "individuals", "attorney", "and", "use", "the", "trade", "secret", "information", "in", "the", "court", "proceeding", ",", "if", "the", "individual", "files", "any", "document", "containing", "the", "trade", "secret", "under", "seal", "and", "does", "not", "disclose", "the", "trade", "secret", ",", "except", "pursuant", "to", "court", "order", ".", "Finally", ",", "nothing", "in", "this", "Agreement", "constitutes", "a", "waiver", "of", "any", "rights", "Employee", "may", "have", "under", "the", "Sarbanes-Oxley", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "10842", "text": "20. Section 409A.2 It is intended that this Agreement comply with, or be exempt from, Code Section 409A and the final regulations and official guidance thereunder (Section 409A) and any ambiguities herein will be interpreted to so comply and/or be exempt from Section 409A. Each payment and benefit to be paid or provided under this Agreement is intended to constitute a series of separate payments for purposes of Section 1.409A-2(b)(2) of the Treasury Regulations. The Company and Employee will work together in good faith to consider either (i) amendments to this Agreement; or (ii) revisions to this Agreement with respect to the payment of any awards, which are necessary or appropriate to avoid imposition of any additional tax or income recognition prior to the actual payment to Employee under Section 409A. In no event will the Releasees reimburse Employee for any taxes imposed or other costs incurred as a result of Section 409A.", "ner": [[20, 22, "Regulation"], [90, 91, "Regulation"]], "tokenized_text": ["20", ".", "Section", "409A", ".", "2", "It", "is", "intended", "that", "this", "Agreement", "comply", "with", ",", "or", "be", "exempt", "from", ",", "Code", "Section", "409A", "and", "the", "final", "regulations", "and", "official", "guidance", "thereunder", "(", "Section", "409A", ")", "and", "any", "ambiguities", "herein", "will", "be", "interpreted", "to", "so", "comply", "and", "/", "or", "be", "exempt", "from", "Section", "409A", ".", "Each", "payment", "and", "benefit", "to", "be", "paid", "or", "provided", "under", "this", "Agreement", "is", "intended", "to", "constitute", "a", "series", "of", "separate", "payments", "for", "purposes", "of", "Section", "1", ".", "409A-2", "(", "b", ")", "(", "2", ")", "of", "the", "Treasury", "Regulations", ".", "The", "Company", "and", "Employee", "will", "work", "together", "in", "good", "faith", "to", "consider", "either", "(", "i", ")", "amendments", "to", "this", "Agreement", ";", "or", "(", "ii", ")", "revisions", "to", "this", "Agreement", "with", "respect", "to", "the", "payment", "of", "any", "awards", ",", "which", "are", "necessary", "or", "appropriate", "to", "avoid", "imposition", "of", "any", "additional", "tax", "or", "income", "recognition", "prior", "to", "the", "actual", "payment", "to", "Employee", "under", "Section", "409A", ".", "In", "no", "event", "will", "the", "Releasees", "reimburse", "Employee", "for", "any", "taxes", "imposed", "or", "other", "costs", "incurred", "as", "a", "result", "of", "Section", "409A", "."]}
{"id": "10843", "text": "B. Nonuse and Nondisclosure. I agree that during and after my employment with the Company, I will hold in the strictest confidence and take all reasonable precautions to prevent any unauthorized use or disclosure of Company Confidential Information. I will not (i) use Company Confidential Information for any purpose whatsoever other than for the benefit of the Company in the course of my employment, or (ii) disclose Company Confidential Information to any third party without the prior written authorization of the President, CEO, General Counsel , or the Board of Directors of the Company. Prior to disclosure, when compelled by applicable law, I shall provide prior written notice to the President, CEO, and General Counsel of the Company (as applicable). I agree that I obtain no title to any Company Confidential Information, and that the Company retains all Confidential Information as the sole property of the Company. I understand that my unauthorized use or disclosure of Company Confidential Information during my employment may lead to disciplinary action, up to and including, immediate termination and legal action by the Company. I understand that my obligations under this Section 2.B shall continue after termination of my employment and also that nothing in this Agreement prevents me from engaging in protected activity, as described in Section 14 below.", "ner": [[90, 90, "Role"], [92, 92, "Role"], [126, 126, "Role"], [194, 195, "TerminationDate"]], "tokenized_text": ["B", ".", "Nonuse", "and", "Nondisclosure", ".", "I", "agree", "that", "during", "and", "after", "my", "employment", "with", "the", "Company", ",", "I", "will", "hold", "in", "the", "strictest", "confidence", "and", "take", "all", "reasonable", "precautions", "to", "prevent", "any", "unauthorized", "use", "or", "disclosure", "of", "Company", "Confidential", "Information", ".", "I", "will", "not", "(", "i", ")", "use", "Company", "Confidential", "Information", "for", "any", "purpose", "whatsoever", "other", "than", "for", "the", "benefit", "of", "the", "Company", "in", "the", "course", "of", "my", "employment", ",", "or", "(", "ii", ")", "disclose", "Company", "Confidential", "Information", "to", "any", "third", "party", "without", "the", "prior", "written", "authorization", "of", "the", "President", ",", "CEO", ",", "General", "Counsel", ",", "or", "the", "Board", "of", "Directors", "of", "the", "Company", ".", "Prior", "to", "disclosure", ",", "when", "compelled", "by", "applicable", "law", ",", "I", "shall", "provide", "prior", "written", "notice", "to", "the", "President", ",", "CEO", ",", "and", "General", "Counsel", "of", "the", "Company", "(", "as", "applicable", ")", ".", "I", "agree", "that", "I", "obtain", "no", "title", "to", "any", "Company", "Confidential", "Information", ",", "and", "that", "the", "Company", "retains", "all", "Confidential", "Information", "as", "the", "sole", "property", "of", "the", "Company", ".", "I", "understand", "that", "my", "unauthorized", "use", "or", "disclosure", "of", "Company", "Confidential", "Information", "during", "my", "employment", "may", "lead", "to", "disciplinary", "action", ",", "up", "to", "and", "including", ",", "immediate", "termination", "and", "legal", "action", "by", "the", "Company", ".", "I", "understand", "that", "my", "obligations", "under", "this", "Section", "2", ".", "B", "shall", "continue", "after", "termination", "of", "my", "employment", "and", "also", "that", "nothing", "in", "this", "Agreement", "prevents", "me", "from", "engaging", "in", "protected", "activity", ",", "as", "described", "in", "Section", "14", "below", "."]}
{"id": "10845", "text": "A. Governing Law; Consent to Personal Jurisdiction. This Agreement will be governed by the laws of the State of California without regard to Californias conflicts-of-law rules that may result in the application of the laws of any jurisdiction other than California. To the extent that any lawsuit is permitted under this Agreement, I hereby expressly consent to the personal and exclusive jurisdiction and venue of the state and federal courts located in California for any lawsuit filed against me by the Company.", "ner": [[20, 22, "Court"]], "tokenized_text": ["A", ".", "Governing", "Law", ";", "Consent", "to", "Personal", "Jurisdiction", ".", "This", "Agreement", "will", "be", "governed", "by", "the", "laws", "of", "the", "State", "of", "California", "without", "regard", "to", "Californias", "conflicts-of-law", "rules", "that", "may", "result", "in", "the", "application", "of", "the", "laws", "of", "any", "jurisdiction", "other", "than", "California", ".", "To", "the", "extent", "that", "any", "lawsuit", "is", "permitted", "under", "this", "Agreement", ",", "I", "hereby", "expressly", "consent", "to", "the", "personal", "and", "exclusive", "jurisdiction", "and", "venue", "of", "the", "state", "and", "federal", "courts", "located", "in", "California", "for", "any", "lawsuit", "filed", "against", "me", "by", "the", "Company", "."]}
{"id": "10849", "text": "| --- | | ForeScout Employment Agreement", "ner": [[6, 8, "Title"]], "tokenized_text": ["|", "-", "-", "-", "|", "|", "ForeScout", "Employment", "Agreement"]}
{"id": "10851", "text": "THIS EMPLOYMENT AGREEMENT (this Agreement) is made and entered into as of the [] day of [], 2017 (the Effective Date), by and between Andrew Perlmutter , a resident (Employee), and Funko, Inc. , a Delaware corporation (any of its Affiliates as may employ the Employee from time to time, and any successor(s) thereto, the Company).", "ner": [[1, 2, "Title"], [32, 33, "Parties"], [42, 45, "Parties"]], "tokenized_text": ["THIS", "EMPLOYMENT", "AGREEMENT", "(", "this", "Agreement", ")", "is", "made", "and", "entered", "into", "as", "of", "the", "[", "]", "day", "of", "[", "]", ",", "2017", "(", "the", "Effective", "Date", ")", ",", "by", "and", "between", "Andrew", "Perlmutter", ",", "a", "resident", "(", "Employee", ")", ",", "and", "Funko", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "any", "of", "its", "Affiliates", "as", "may", "employ", "the", "Employee", "from", "time", "to", "time", ",", "and", "any", "successor", "(", "s", ")", "thereto", ",", "the", "Company", ")", "."]}
{"id": "10852", "text": "2\\. Term. Unless earlier terminated pursuant to the terms of Section7 hereof, Employee shall be employed by the Company for the period commencing as of the Effective Date and ending on the third (3rd)anniversary of the Effective Date (the Initial Term), subject to automatic renewal periods for up to two additional one (1)-year periods , unless either party provides the other party with ninety (90)days advance written notice prior to the end of the Initial Term or any such renewal period, as applicable, of such partys intent not to renew (the Initial Term and any such renewal period, the Term).", "ner": [[35, 44, "TerminationDate"], [61, 66, "RenewalTerm"]], "tokenized_text": ["2", "\\", ".", "Term", ".", "Unless", "earlier", "terminated", "pursuant", "to", "the", "terms", "of", "Section7", "hereof", ",", "Employee", "shall", "be", "employed", "by", "the", "Company", "for", "the", "period", "commencing", "as", "of", "the", "Effective", "Date", "and", "ending", "on", "the", "third", "(", "3rd", ")", "anniversary", "of", "the", "Effective", "Date", "(", "the", "Initial", "Term", ")", ",", "subject", "to", "automatic", "renewal", "periods", "for", "up", "to", "two", "additional", "one", "(", "1", ")", "-", "year", "periods", ",", "unless", "either", "party", "provides", "the", "other", "party", "with", "ninety", "(", "90", ")", "days", "advance", "written", "notice", "prior", "to", "the", "end", "of", "the", "Initial", "Term", "or", "any", "such", "renewal", "period", ",", "as", "applicable", ",", "of", "such", "partys", "intent", "not", "to", "renew", "(", "the", "Initial", "Term", "and", "any", "such", "renewal", "period", ",", "the", "Term", ")", "."]}
{"id": "10853", "text": "3.01 Title. During the Term, Employee agrees to serve as the Companys President .", "ner": [[16, 16, "Role"]], "tokenized_text": ["3", ".", "01", "Title", ".", "During", "the", "Term", ",", "Employee", "agrees", "to", "serve", "as", "the", "Companys", "President", "."]}
{"id": "10854", "text": "3.02 Duties. During the Term, Employee agrees to serve the Company, and Employee will faithfully and to the best of his ability discharge the duties associated with his position and will devote his full time during business hours for the Company and to the business and affairs of the Company, its direct and indirect subsidiaries and its affiliates. Employee hereby confirms that during the Term, he will not render or perform services for any other corporation, firm, entity or person. Employee recognizes that he will be required to travel to perform certain of his duties. Employee shall report to, and be subject to the direction of, the Companys President , or if determined by the Board of Directors (the Board), the Board or the Chief Executive Officer. Notwithstanding the foregoing, Employee shall be permitted to participate in, and be involved with, such community, educational, charitable, professional, and religious organizations so long as such participation does not, in the judgment of the Board interfere with the performance of or create a potential conflict with Employees duties hereunder.", "ner": [[122, 122, "Role"], [141, 143, "Role"]], "tokenized_text": ["3", ".", "02", "Duties", ".", "During", "the", "Term", ",", "Employee", "agrees", "to", "serve", "the", "Company", ",", "and", "Employee", "will", "faithfully", "and", "to", "the", "best", "of", "his", "ability", "discharge", "the", "duties", "associated", "with", "his", "position", "and", "will", "devote", "his", "full", "time", "during", "business", "hours", "for", "the", "Company", "and", "to", "the", "business", "and", "affairs", "of", "the", "Company", ",", "its", "direct", "and", "indirect", "subsidiaries", "and", "its", "affiliates", ".", "Employee", "hereby", "confirms", "that", "during", "the", "Term", ",", "he", "will", "not", "render", "or", "perform", "services", "for", "any", "other", "corporation", ",", "firm", ",", "entity", "or", "person", ".", "Employee", "recognizes", "that", "he", "will", "be", "required", "to", "travel", "to", "perform", "certain", "of", "his", "duties", ".", "Employee", "shall", "report", "to", ",", "and", "be", "subject", "to", "the", "direction", "of", ",", "the", "Companys", "President", ",", "or", "if", "determined", "by", "the", "Board", "of", "Directors", "(", "the", "Board", ")", ",", "the", "Board", "or", "the", "Chief", "Executive", "Officer", ".", "Notwithstanding", "the", "foregoing", ",", "Employee", "shall", "be", "permitted", "to", "participate", "in", ",", "and", "be", "involved", "with", ",", "such", "community", ",", "educational", ",", "charitable", ",", "professional", ",", "and", "religious", "organizations", "so", "long", "as", "such", "participation", "does", "not", ",", "in", "the", "judgment", "of", "the", "Board", "interfere", "with", "the", "performance", "of", "or", "create", "a", "potential", "conflict", "with", "Employees", "duties", "hereunder", "."]}
{"id": "10857", "text": "4.04 Equity Awards. Following the Effective Date, the Employee shall be eligible to be issued either (i) 123,000 options to purchase ClassA Common Stock of the Company (the Options), subject to the Company undergoing an initial public offering of the Companys common stock (the IPO) on or prior to December31, 2017 , or (ii) 600 Common Units (the Profits Interests) of Funko Acquisition Holdings, LLC (the Parent), in the event the IPO does not occur for any reason on or prior to December31, 2017 . The Options will be subject to an incentive award plan, to be adopted by the Company and an award agreement. The Profits Interests will be subject to the Parents limited liability company agreement and an award agreement to be adopted thereunder. The Options or Profits Interests, as applicable, will be subject to vesting with 25% of such award vesting as of the date of grant and the remaining 75% of such award vesting ratably on the first three anniversaries of the date of grant.", "ner": [[23, 25, "Shares"], [62, 64, "EffectiveDate"], [127, 128, "Title"], [167, 168, "Percentage"], [182, 183, "Percentage"]], "tokenized_text": ["4", ".", "04", "Equity", "Awards", ".", "Following", "the", "Effective", "Date", ",", "the", "Employee", "shall", "be", "eligible", "to", "be", "issued", "either", "(", "i", ")", "123", ",", "000", "options", "to", "purchase", "ClassA", "Common", "Stock", "of", "the", "Company", "(", "the", "Options", ")", ",", "subject", "to", "the", "Company", "undergoing", "an", "initial", "public", "offering", "of", "the", "Companys", "common", "stock", "(", "the", "IPO", ")", "on", "or", "prior", "to", "December31", ",", "2017", ",", "or", "(", "ii", ")", "600", "Common", "Units", "(", "the", "Profits", "Interests", ")", "of", "Funko", "Acquisition", "Holdings", ",", "LLC", "(", "the", "Parent", ")", ",", "in", "the", "event", "the", "IPO", "does", "not", "occur", "for", "any", "reason", "on", "or", "prior", "to", "December31", ",", "2017", ".", "The", "Options", "will", "be", "subject", "to", "an", "incentive", "award", "plan", ",", "to", "be", "adopted", "by", "the", "Company", "and", "an", "award", "agreement", ".", "The", "Profits", "Interests", "will", "be", "subject", "to", "the", "Parents", "limited", "liability", "company", "agreement", "and", "an", "award", "agreement", "to", "be", "adopted", "thereunder", ".", "The", "Options", "or", "Profits", "Interests", ",", "as", "applicable", ",", "will", "be", "subject", "to", "vesting", "with", "25", "%", "of", "such", "award", "vesting", "as", "of", "the", "date", "of", "grant", "and", "the", "remaining", "75", "%", "of", "such", "award", "vesting", "ratably", "on", "the", "first", "three", "anniversaries", "of", "the", "date", "of", "grant", "."]}
{"id": "10860", "text": "Sections 13(d) and 14(d)(2) of the Securities Exchange Act of 1934 , as amended (the Exchange Act )) ( other than Funko, Inc. , any of their respective subsidiaries, ACON Equity Management, L.L.C., ACON Equity GenPar, L.L.C., any other entity owned or controlled by one or more of the managing members or managers of ACON Equity Management, L.L.C. or ACON Equity GenPar, L.L.C. (collectively, ACON), any employee benefit plan maintained by Funko, Inc. or any of their respective subsidiaries, or a person that, prior to such transaction, directly or indirectly controls, is controlled by, or is under common control with, Funko, Inc. or ACON), directly or indirectly acquires beneficial ownership (within the meaning of Rule 13d-3 under the Exchange Act ) of securities of Funko, Inc. possessing more than fifty percent (50%) of the total combined voting power of Funko, Inc. s securities outstanding immediately after such acquisition; (ii)the majority of the members of the Board are replaced during any twelve (12)month period by directors whose appointment or election is not endorsed by a majority of the Board, as applicable, prior to the date of such appointment or election; or (iii)a sale or other disposition of all or substantially all of the Companys assets in any single transaction or series of related transactions.", "ner": [[15, 19, "Act"], [171, 172, "Regulation"], [191, 192, "Percentage"]], "tokenized_text": ["Sections", "13", "(", "d", ")", "and", "14", "(", "d", ")", "(", "2", ")", "of", "the", "Securities", "Exchange", "Act", "of", "1934", ",", "as", "amended", "(", "the", "Exchange", "Act", ")", ")", "(", "other", "than", "Funko", ",", "Inc", ".", ",", "any", "of", "their", "respective", "subsidiaries", ",", "ACON", "Equity", "Management", ",", "L", ".", "L", ".", "C", ".", ",", "ACON", "Equity", "GenPar", ",", "L", ".", "L", ".", "C", ".", ",", "any", "other", "entity", "owned", "or", "controlled", "by", "one", "or", "more", "of", "the", "managing", "members", "or", "managers", "of", "ACON", "Equity", "Management", ",", "L", ".", "L", ".", "C", ".", "or", "ACON", "Equity", "GenPar", ",", "L", ".", "L", ".", "C", ".", "(", "collectively", ",", "ACON", ")", ",", "any", "employee", "benefit", "plan", "maintained", "by", "Funko", ",", "Inc", ".", "or", "any", "of", "their", "respective", "subsidiaries", ",", "or", "a", "person", "that", ",", "prior", "to", "such", "transaction", ",", "directly", "or", "indirectly", "controls", ",", "is", "controlled", "by", ",", "or", "is", "under", "common", "control", "with", ",", "Funko", ",", "Inc", ".", "or", "ACON", ")", ",", "directly", "or", "indirectly", "acquires", "beneficial", "ownership", "(", "within", "the", "meaning", "of", "Rule", "13d-3", "under", "the", "Exchange", "Act", ")", "of", "securities", "of", "Funko", ",", "Inc", ".", "possessing", "more", "than", "fifty", "percent", "(", "50", "%", ")", "of", "the", "total", "combined", "voting", "power", "of", "Funko", ",", "Inc", ".", "s", "securities", "outstanding", "immediately", "after", "such", "acquisition", ";", "(", "ii", ")", "the", "majority", "of", "the", "members", "of", "the", "Board", "are", "replaced", "during", "any", "twelve", "(", "12", ")", "month", "period", "by", "directors", "whose", "appointment", "or", "election", "is", "not", "endorsed", "by", "a", "majority", "of", "the", "Board", ",", "as", "applicable", ",", "prior", "to", "the", "date", "of", "such", "appointment", "or", "election", ";", "or", "(", "iii", ")", "a", "sale", "or", "other", "disposition", "of", "all", "or", "substantially", "all", "of", "the", "Companys", "assets", "in", "any", "single", "transaction", "or", "series", "of", "related", "transactions", "."]}
{"id": "10863", "text": "(b) Notwithstanding anything in this Agreement to the contrary, the following special rule shall apply, if and to the extent required by Section409A, in the event that (i)Employee is deemed to be a specified employee within the meaning of Section409A(a)(2) (B)(i) of the Code, (ii)amounts or benefits under this Agreement or any other program, plan or arrangement of the Company or a controlled group affiliate thereof are due or payable on account of separation from service within the meaning of Treasury Regulations Section1.409A-l(h) and (iii)Employee is employed by a public company or a controlled group affiliate thereof: no payments hereunder that are deferred compensation subject to Section409A shall be made to Employee prior to the date that is six (6)months after the date of Employees separation from service or, if earlier, Employees date of death; following any applicable six (6)month delay, all such delayed payments will be paid in a single lump sum on the earliest permissible payment date, without interest.", "ner": [[104, 108, "Regulation"]], "tokenized_text": ["(", "b", ")", "Notwithstanding", "anything", "in", "this", "Agreement", "to", "the", "contrary", ",", "the", "following", "special", "rule", "shall", "apply", ",", "if", "and", "to", "the", "extent", "required", "by", "Section409A", ",", "in", "the", "event", "that", "(", "i", ")", "Employee", "is", "deemed", "to", "be", "a", "specified", "employee", "within", "the", "meaning", "of", "Section409A", "(", "a", ")", "(", "2", ")", "(", "B", ")", "(", "i", ")", "of", "the", "Code", ",", "(", "ii", ")", "amounts", "or", "benefits", "under", "this", "Agreement", "or", "any", "other", "program", ",", "plan", "or", "arrangement", "of", "the", "Company", "or", "a", "controlled", "group", "affiliate", "thereof", "are", "due", "or", "payable", "on", "account", "of", "separation", "from", "service", "within", "the", "meaning", "of", "Treasury", "Regulations", "Section1", ".", "409A-l", "(", "h", ")", "and", "(", "iii", ")", "Employee", "is", "employed", "by", "a", "public", "company", "or", "a", "controlled", "group", "affiliate", "thereof", ":", "no", "payments", "hereunder", "that", "are", "deferred", "compensation", "subject", "to", "Section409A", "shall", "be", "made", "to", "Employee", "prior", "to", "the", "date", "that", "is", "six", "(", "6", ")", "months", "after", "the", "date", "of", "Employees", "separation", "from", "service", "or", ",", "if", "earlier", ",", "Employees", "date", "of", "death", ";", "following", "any", "applicable", "six", "(", "6", ")", "month", "delay", ",", "all", "such", "delayed", "payments", "will", "be", "paid", "in", "a", "single", "lump", "sum", "on", "the", "earliest", "permissible", "payment", "date", ",", "without", "interest", "."]}
{"id": "10867", "text": "1\\. General Release. The Employee, on his own behalf and on behalf of his spouse, child or children (if any), heirs, personal representative, executors, administrators, successors, assigns and anyone else claiming through him (the Releasors), hereby releases and discharges forever Funko, Inc. , and its affiliates, and each of their respective past, present or future parent, affiliated, related, and subsidiary entities and each of their respective past, present or future directors, officers, employees, trustees, agents, attorneys, administrators, plans, plan administrators, insurers, equityholders, members, representatives, predecessors, successors and assigns, and all Persons acting by, through, under or in concert with them (hereinafter collectively referred to as the Released Parties), from and against all liabilities, claims, demands, liens, causes of action, charges, suits, complaints, grievances, contracts, agreements, promises, obligations, costs, losses, damages, injuries, attorneys fees and other legal responsibilities (collectively referred to as Claims), of any form whatsoever (whether or not relating to Employees employment with the Company), including, but not limited to, any claims in law, equity, contract or tort, claims under any policy, agreement, understanding or promise, written or oral, formal or informal, between the Employee and the Company or any of the other Released Parties, and any claims under the Civil Rights Act of 1866 , the Civil Rights Act of 1871 , the Civil Rights Act of 1964 , the Americans With Disabilities Act of 1990 , the Age Discrimination in Employment Act of 1967 ( ADEA ), the Sarbanes-Oxley Act of 2002 , the Securities Act of 1933 , the Securities Exchange Act of 1934 (the Exchange Act ), the Employee Retirement Income Security Act of 1974 , the Rehabilitation Act of 1973 , the Family and Medical Leave Act of 1993 , the Genetic Information Nondiscrimination Act of 2008 , the Worker Adjustment and Retraining Notification Act of 1988 , the Delaware Discrimination in Employment Act , the Delaware Persons with Disabilities Employment Protection Act , the Delaware Whistleblowers Protection Act , the Delaware Wage Payment and Collection Act , the Delaware Fair Employment Practices Act , Delawares social media law, the Washington Industrial Welfare Act , the Washington Minimum Wage Act , the Washington Wage Payment Act , the Washington Wage Rebate Act , the Washington Law Against Discrimination and the Washington Leave Law, as each may have been amended from time to time, or any other federal, state or local statute, regulation, law, rule, ordinance or constitution, or common law, whether known or unknown, unforeseen, unanticipated, unsuspected or latent, that the Employee or any of the Releasors now possess or have a right to, or have at any time heretofore owned or held, or may at any time own or hold by reason of any matter or thing arising from any cause whatsoever prior to the date of execution of this Release, and without limiting the generality of the foregoing, from all claims, demands and causes of action based upon, relating to, or arising out of: (a)the Employment Agreement; (b)the Employees employment or other relationship with any of the Released Parties or the termination thereof; and (c)the Employees", "ner": [[56, 59, "Parties"], [279, 283, "Act"], [286, 290, "Act"], [293, 297, "Act"], [300, 305, "Act"], [308, 314, "Act"], [320, 323, "Act"], [326, 329, "Act"], [332, 336, "Act"], [344, 350, "Act"], [353, 356, "Act"], [359, 365, "Act"], [368, 373, "Act"], [376, 383, "Act"], [386, 390, "Act"], [393, 399, "Act"], [408, 413, "Act"], [416, 420, "Act"], [428, 431, "Act"], [434, 437, "Act"], [440, 443, "Act"], [446, 449, "Act"], [452, 455, "Act"], [599, 600, "Title"]], "tokenized_text": ["1", "\\", ".", "General", "Release", ".", "The", "Employee", ",", "on", "his", "own", "behalf", "and", "on", "behalf", "of", "his", "spouse", ",", "child", "or", "children", "(", "if", "any", ")", ",", "heirs", ",", "personal", "representative", ",", "executors", ",", "administrators", ",", "successors", ",", "assigns", "and", "anyone", "else", "claiming", "through", "him", "(", "the", "Releasors", ")", ",", "hereby", "releases", "and", "discharges", "forever", "Funko", ",", "Inc", ".", ",", "and", "its", "affiliates", ",", "and", "each", "of", "their", "respective", "past", ",", "present", "or", "future", "parent", ",", "affiliated", ",", "related", ",", "and", "subsidiary", "entities", "and", "each", "of", "their", "respective", "past", ",", "present", "or", "future", "directors", ",", "officers", ",", "employees", ",", "trustees", ",", "agents", ",", "attorneys", ",", "administrators", ",", "plans", ",", "plan", "administrators", ",", "insurers", ",", "equityholders", ",", "members", ",", "representatives", ",", "predecessors", ",", "successors", "and", "assigns", ",", "and", "all", "Persons", "acting", "by", ",", "through", ",", "under", "or", "in", "concert", "with", "them", "(", "hereinafter", "collectively", "referred", "to", "as", "the", "Released", "Parties", ")", ",", "from", "and", "against", "all", "liabilities", ",", "claims", ",", "demands", ",", "liens", ",", "causes", "of", "action", ",", "charges", ",", "suits", ",", "complaints", ",", "grievances", ",", "contracts", ",", "agreements", ",", "promises", ",", "obligations", ",", "costs", ",", "losses", ",", "damages", ",", "injuries", ",", "attorneys", "fees", "and", "other", "legal", "responsibilities", "(", "collectively", "referred", "to", "as", "Claims", ")", ",", "of", "any", "form", "whatsoever", "(", "whether", "or", "not", "relating", "to", "Employees", "employment", "with", "the", "Company", ")", ",", "including", ",", "but", "not", "limited", "to", ",", "any", "claims", "in", "law", ",", "equity", ",", "contract", "or", "tort", ",", "claims", "under", "any", "policy", ",", "agreement", ",", "understanding", "or", "promise", ",", "written", "or", "oral", ",", "formal", "or", "informal", ",", "between", "the", "Employee", "and", "the", "Company", "or", "any", "of", "the", "other", "Released", "Parties", ",", "and", "any", "claims", "under", "the", "Civil", "Rights", "Act", "of", "1866", ",", "the", "Civil", "Rights", "Act", "of", "1871", ",", "the", "Civil", "Rights", "Act", "of", "1964", ",", "the", "Americans", "With", "Disabilities", "Act", "of", "1990", ",", "the", "Age", "Discrimination", "in", "Employment", "Act", "of", "1967", "(", "ADEA", ")", ",", "the", "Sarbanes-Oxley", "Act", "of", "2002", ",", "the", "Securities", "Act", "of", "1933", ",", "the", "Securities", "Exchange", "Act", "of", "1934", "(", "the", "Exchange", "Act", ")", ",", "the", "Employee", "Retirement", "Income", "Security", "Act", "of", "1974", ",", "the", "Rehabilitation", "Act", "of", "1973", ",", "the", "Family", "and", "Medical", "Leave", "Act", "of", "1993", ",", "the", "Genetic", "Information", "Nondiscrimination", "Act", "of", "2008", ",", "the", "Worker", "Adjustment", "and", "Retraining", "Notification", "Act", "of", "1988", ",", "the", "Delaware", "Discrimination", "in", "Employment", "Act", ",", "the", "Delaware", "Persons", "with", "Disabilities", "Employment", "Protection", "Act", ",", "the", "Delaware", "Whistleblowers", "Protection", "Act", ",", "the", "Delaware", "Wage", "Payment", "and", "Collection", "Act", ",", "the", "Delaware", "Fair", "Employment", "Practices", "Act", ",", "Delawares", "social", "media", "law", ",", "the", "Washington", "Industrial", "Welfare", "Act", ",", "the", "Washington", "Minimum", "Wage", "Act", ",", "the", "Washington", "Wage", "Payment", "Act", ",", "the", "Washington", "Wage", "Rebate", "Act", ",", "the", "Washington", "Law", "Against", "Discrimination", "and", "the", "Washington", "Leave", "Law", ",", "as", "each", "may", "have", "been", "amended", "from", "time", "to", "time", ",", "or", "any", "other", "federal", ",", "state", "or", "local", "statute", ",", "regulation", ",", "law", ",", "rule", ",", "ordinance", "or", "constitution", ",", "or", "common", "law", ",", "whether", "known", "or", "unknown", ",", "unforeseen", ",", "unanticipated", ",", "unsuspected", "or", "latent", ",", "that", "the", "Employee", "or", "any", "of", "the", "Releasors", "now", "possess", "or", "have", "a", "right", "to", ",", "or", "have", "at", "any", "time", "heretofore", "owned", "or", "held", ",", "or", "may", "at", "any", "time", "own", "or", "hold", "by", "reason", "of", "any", "matter", "or", "thing", "arising", "from", "any", "cause", "whatsoever", "prior", "to", "the", "date", "of", "execution", "of", "this", "Release", ",", "and", "without", "limiting", "the", "generality", "of", "the", "foregoing", ",", "from", "all", "claims", ",", "demands", "and", "causes", "of", "action", "based", "upon", ",", "relating", "to", ",", "or", "arising", "out", "of", ":", "(", "a", ")", "the", "Employment", "Agreement", ";", "(", "b", ")", "the", "Employees", "employment", "or", "other", "relationship", "with", "any", "of", "the", "Released", "Parties", "or", "the", "termination", "thereof", ";", "and", "(", "c", ")", "the", "Employees"]}
{"id": "10874", "text": "2.1. Salary. As compensation for the performance of the Executives services hereunder, during the Employment Period, the Company shall pay to the Executive a salary at an annual rate of $340,000 payable in accordance with the Companys standard payroll policies (the Base Salary). The Base Salary will be reviewed annually and may be adjusted upward (but not downward) by the Board (or a committee thereof) in its sole discretion.", "ner": [[36, 39, "Salary"]], "tokenized_text": ["2", ".", "1", ".", "Salary", ".", "As", "compensation", "for", "the", "performance", "of", "the", "Executives", "services", "hereunder", ",", "during", "the", "Employment", "Period", ",", "the", "Company", "shall", "pay", "to", "the", "Executive", "a", "salary", "at", "an", "annual", "rate", "of", "$", "340", ",", "000", "payable", "in", "accordance", "with", "the", "Companys", "standard", "payroll", "policies", "(", "the", "Base", "Salary", ")", ".", "The", "Base", "Salary", "will", "be", "reviewed", "annually", "and", "may", "be", "adjusted", "upward", "(", "but", "not", "downward", ")", "by", "the", "Board", "(", "or", "a", "committee", "thereof", ")", "in", "its", "sole", "discretion", "."]}
{"id": "10880", "text": "New York, NY 10036", "ner": [[0, 4, "Address"]], "tokenized_text": ["New", "York", ",", "NY", "10036"]}
{"id": "10883", "text": "This General Release (this Release) is made and entered into by and between Michael J. Henricks (Executive) and BakerCorp (the Company).", "ner": [[15, 18, "Parties"], [23, 23, "Parties"]], "tokenized_text": ["This", "General", "Release", "(", "this", "Release", ")", "is", "made", "and", "entered", "into", "by", "and", "between", "Michael", "J", ".", "Henricks", "(", "Executive", ")", "and", "BakerCorp", "(", "the", "Company", ")", "."]}
{"id": "10887", "text": "Breach of Agreement. Executive agrees that in the event the Company is required to commence an action in law or equity to enforce its rights under any provision of this Release and prevails, Executive shall be liable for the reasonable attorneys fees, costs and related expenses incurred by the Company in connection with such action (other than with respect to any claim under the ADEA ). | ---|--- 12.", "ner": [[68, 68, "Court"]], "tokenized_text": ["Breach", "of", "Agreement", ".", "Executive", "agrees", "that", "in", "the", "event", "the", "Company", "is", "required", "to", "commence", "an", "action", "in", "law", "or", "equity", "to", "enforce", "its", "rights", "under", "any", "provision", "of", "this", "Release", "and", "prevails", ",", "Executive", "shall", "be", "liable", "for", "the", "reasonable", "attorneys", "fees", ",", "costs", "and", "related", "expenses", "incurred", "by", "the", "Company", "in", "connection", "with", "such", "action", "(", "other", "than", "with", "respect", "to", "any", "claim", "under", "the", "ADEA", ")", ".", "|", "-", "-", "-", "|", "-", "-", "-", "12", "."]}
{"id": "10889", "text": "Governing Law. This Release shall be governed by the internal laws of the State of Delaware , without regard to its conflict of laws principles. Each party to this Release irrevocably submits to the non-exclusive jurisdiction of any state or federal court within the state of Delaware with respect to any cause or claim arising under or relating to this Release. Each party to this Release irrevocably consents to the service of process by registered mail or personal service. | ---|--- 16.", "ner": [[14, 16, "Court"], [46, 48, "Court"]], "tokenized_text": ["Governing", "Law", ".", "This", "Release", "shall", "be", "governed", "by", "the", "internal", "laws", "of", "the", "State", "of", "Delaware", ",", "without", "regard", "to", "its", "conflict", "of", "laws", "principles", ".", "Each", "party", "to", "this", "Release", "irrevocably", "submits", "to", "the", "non-exclusive", "jurisdiction", "of", "any", "state", "or", "federal", "court", "within", "the", "state", "of", "Delaware", "with", "respect", "to", "any", "cause", "or", "claim", "arising", "under", "or", "relating", "to", "this", "Release", ".", "Each", "party", "to", "this", "Release", "irrevocably", "consents", "to", "the", "service", "of", "process", "by", "registered", "mail", "or", "personal", "service", ".", "|", "-", "-", "-", "|", "-", "-", "-", "16", "."]}
{"id": "10890", "text": "BAKERCORP INTERNATIONAL HOLDINGS, INC. 2011 EQUITY INCENTIVE PLAN", "ner": [], "tokenized_text": ["BAKERCORP", "INTERNATIONAL", "HOLDINGS", ",", "INC", ".", "2011", "EQUITY", "INCENTIVE", "PLAN"]}
{"id": "10897", "text": "12. Accredited Investor. The Optionee has completed Schedule I attached hereto indicating whether the Optionee is an accredited investor as that term is defined in Rule 501(a) of Regulation D under the Securities Act of 1933 .", "ner": [[27, 31, "Regulation"], [33, 34, "Regulation"], [37, 40, "Act"]], "tokenized_text": ["12", ".", "Accredited", "Investor", ".", "The", "Optionee", "has", "completed", "Schedule", "I", "attached", "hereto", "indicating", "whether", "the", "Optionee", "is", "an", "accredited", "investor", "as", "that", "term", "is", "defined", "in", "Rule", "501", "(", "a", ")", "of", "Regulation", "D", "under", "the", "Securities", "Act", "of", "1933", "."]}
{"id": "10902", "text": "6.Underwriter Lock-Up. The Purchaser agrees (i) to the extent requested in writing by a managing underwriter, if any, of any underwritten public offering pursuant to a registration or offering of equity securities of the Company not to sell, transfer or otherwise dispose of, including any sale pursuant to Rule 144 under the Securities Act , the Shares, or any other equity security of the Company or any security convertible into or exchangeable or exercisable for any equity security of the Company (other than as part of such underwritten public offering) during the time period reasonably requested by the managing underwriter, not to exceed one hundred eighty (180) days or such shorter period as the Company or any executive officer or director of the Company shall agree to and (ii) to the extent requested in writing by a managing underwriter of any underwritten public offering effected by the Company for its own account, not to sell the Shares or any other equity securities of the Company (other than as part of such underwritten public offering) during the time period reasonably requested by the managing underwriter, which period shall not exceed one hundred eighty (180) days or such shorter period as the Company or any executive officer or director of the Company shall agree to.", "ner": [[57, 58, "Regulation"], [61, 62, "Act"]], "tokenized_text": ["6", ".", "Underwriter", "Lock-Up", ".", "The", "Purchaser", "agrees", "(", "i", ")", "to", "the", "extent", "requested", "in", "writing", "by", "a", "managing", "underwriter", ",", "if", "any", ",", "of", "any", "underwritten", "public", "offering", "pursuant", "to", "a", "registration", "or", "offering", "of", "equity", "securities", "of", "the", "Company", "not", "to", "sell", ",", "transfer", "or", "otherwise", "dispose", "of", ",", "including", "any", "sale", "pursuant", "to", "Rule", "144", "under", "the", "Securities", "Act", ",", "the", "Shares", ",", "or", "any", "other", "equity", "security", "of", "the", "Company", "or", "any", "security", "convertible", "into", "or", "exchangeable", "or", "exercisable", "for", "any", "equity", "security", "of", "the", "Company", "(", "other", "than", "as", "part", "of", "such", "underwritten", "public", "offering", ")", "during", "the", "time", "period", "reasonably", "requested", "by", "the", "managing", "underwriter", ",", "not", "to", "exceed", "one", "hundred", "eighty", "(", "180", ")", "days", "or", "such", "shorter", "period", "as", "the", "Company", "or", "any", "executive", "officer", "or", "director", "of", "the", "Company", "shall", "agree", "to", "and", "(", "ii", ")", "to", "the", "extent", "requested", "in", "writing", "by", "a", "managing", "underwriter", "of", "any", "underwritten", "public", "offering", "effected", "by", "the", "Company", "for", "its", "own", "account", ",", "not", "to", "sell", "the", "Shares", "or", "any", "other", "equity", "securities", "of", "the", "Company", "(", "other", "than", "as", "part", "of", "such", "underwritten", "public", "offering", ")", "during", "the", "time", "period", "reasonably", "requested", "by", "the", "managing", "underwriter", ",", "which", "period", "shall", "not", "exceed", "one", "hundred", "eighty", "(", "180", ")", "days", "or", "such", "shorter", "period", "as", "the", "Company", "or", "any", "executive", "officer", "or", "director", "of", "the", "Company", "shall", "agree", "to", "."]}
{"id": "10903", "text": "This EMPLOYMENT AGREEMENT (the Agreement) is entered into on October[], 2017 , by and between OPTINOSE US,INC. , a Delaware corporation (the Company), and Michael F. Marino (Executive).", "ner": [[1, 2, "Title"], [11, 15, "EffectiveDate"], [20, 24, "Parties"], [35, 38, "Parties"]], "tokenized_text": ["This", "EMPLOYMENT", "AGREEMENT", "(", "the", "Agreement", ")", "is", "entered", "into", "on", "October", "[", "]", ",", "2017", ",", "by", "and", "between", "OPTINOSE", "US", ",", "INC", ".", ",", "a", "Delaware", "corporation", "(", "the", "Company", ")", ",", "and", "Michael", "F", ".", "Marino", "(", "Executive", ")", "."]}
{"id": "10909", "text": "(e) Notwithstanding anything in Section6(f)hereof to the contrary, in the event that Executive is entitled to the amount set forth in Section6(f)(i)as a result of a termination of Executives employment within twelve (12) months after the date of the Change in Control, and such Change in Control does not constitute a change in ownership or effective control of the Company, or in the ownership of a substantial portion of the assets of the Company, within the meaning of Section409A(a)(2)(A) (v)of the Code and its corresponding regulations, and any portion of the severance benefit payable to Executive pursuant to Section6(e)(i)is deemed to constitute deferred compensation subject to the requirements of Section409A of the Code at the time of Executives termination, then such portion that constitutes deferred compensation shall reduce the amount that is paid in a lump sum as provided in Section6(f)(i)and such deferred compensation portion shall instead be paid in substantially equal installments over the installment period as described in Section6(e)(i).", "ner": [], "tokenized_text": ["(", "e", ")", "Notwithstanding", "anything", "in", "Section6", "(", "f", ")", "hereof", "to", "the", "contrary", ",", "in", "the", "event", "that", "Executive", "is", "entitled", "to", "the", "amount", "set", "forth", "in", "Section6", "(", "f", ")", "(", "i", ")", "as", "a", "result", "of", "a", "termination", "of", "Executives", "employment", "within", "twelve", "(", "12", ")", "months", "after", "the", "date", "of", "the", "Change", "in", "Control", ",", "and", "such", "Change", "in", "Control", "does", "not", "constitute", "a", "change", "in", "ownership", "or", "effective", "control", "of", "the", "Company", ",", "or", "in", "the", "ownership", "of", "a", "substantial", "portion", "of", "the", "assets", "of", "the", "Company", ",", "within", "the", "meaning", "of", "Section409A", "(", "a", ")", "(", "2", ")", "(", "A", ")", "(", "v", ")", "of", "the", "Code", "and", "its", "corresponding", "regulations", ",", "and", "any", "portion", "of", "the", "severance", "benefit", "payable", "to", "Executive", "pursuant", "to", "Section6", "(", "e", ")", "(", "i", ")", "is", "deemed", "to", "constitute", "deferred", "compensation", "subject", "to", "the", "requirements", "of", "Section409A", "of", "the", "Code", "at", "the", "time", "of", "Executives", "termination", ",", "then", "such", "portion", "that", "constitutes", "deferred", "compensation", "shall", "reduce", "the", "amount", "that", "is", "paid", "in", "a", "lump", "sum", "as", "provided", "in", "Section6", "(", "f", ")", "(", "i", ")", "and", "such", "deferred", "compensation", "portion", "shall", "instead", "be", "paid", "in", "substantially", "equal", "installments", "over", "the", "installment", "period", "as", "described", "in", "Section6", "(", "e", ")", "(", "i", ")", "."]}
{"id": "10910", "text": "EX-10.16 4 dpdm_ex1016.htm EXECUTIVE EMPLOYMENT AGREEMENT , DATED AS OF MARCH 30, 2017 , BY AND BETWEEN THE COMPANY AND ALLAN MAYER", "ner": [[8, 9, "Title"], [14, 17, "EffectiveDate"], [25, 26, "Parties"]], "tokenized_text": ["EX-10", ".", "16", "4", "dpdm_ex1016", ".", "htm", "EXECUTIVE", "EMPLOYMENT", "AGREEMENT", ",", "DATED", "AS", "OF", "MARCH", "30", ",", "2017", ",", "BY", "AND", "BETWEEN", "THE", "COMPANY", "AND", "ALLAN", "MAYER"]}
{"id": "10911", "text": "This Executive Employment Agreement (the Agreement) is made and entered into as of March 30, 2017 by and between Allan Mayer (the Executive) and Dolphin Digital Media, Inc. , a Florida corporation (the Company).", "ner": [[1, 3, "Title"], [15, 18, "EffectiveDate"], [22, 23, "Parties"], [29, 34, "Parties"]], "tokenized_text": ["This", "Executive", "Employment", "Agreement", "(", "the", "Agreement", ")", "is", "made", "and", "entered", "into", "as", "of", "March", "30", ",", "2017", "by", "and", "between", "Allan", "Mayer", "(", "the", "Executive", ")", "and", "Dolphin", "Digital", "Media", ",", "Inc", ".", ",", "a", "Florida", "corporation", "(", "the", "Company", ")", "."]}
{"id": "10916", "text": "4.8 Executive Lock-Up Period. The Executive acknowledges and agrees that at no time from the Effective Date until the first anniversary of the Closing Date, shall the Executive Transfer or permit to be Transferred any of the shares of Common Stock, including any shares received from an Annual Stock Bonus, (the Shares), except pursuant to an effective registration statement on Form S-1 or Form S-3 promulgated under the Securities Act of 1933 , as amended (the Securities Act ) or upon exercise of put rights (the Put Rights) pursuant to the put agreement between the Executive and the Company dated the date hereof (the Put Agreement). Furthermore, the Executive acknowledges and agrees that, except pursuant to an effective registration statement on Form S-1 or Form S-3 promulgated under the Securities Act , the Executive shall not: (i) on or after the first anniversary of the Closing Date but before the second anniversary of the Closing Date, Transfer or permit to be Transferred more than 262,878 Shares (the First Period Shares); (ii) on or after the second anniversary of the Closing Date but before the third anniversary of the Closing Date, Transfer or permit to be Transferred more than 262,878 Shares plus any portion of the First Period Shares not yet Transferred. After the third anniversary of the Closing Date the Exective shall no longer be restricted under this Section 4.8 from Transferring or permitting to be Transferred any of the Executives Shares. For purposes of this Agreement, Transfer means in respect of a Person, any direct or indirect transfer, sale, assignment, gift, exchange or other transaction (other than the creation of a Lien), whether voluntary, involuntary or by operation of law, by which the legal or beneficial ownership of, or other interest in, such Person, passes from one Person to another Person, whether or not for value.", "ner": [[22, 23, "TerminationDate"], [77, 80, "Act"], [103, 104, "Title"], [117, 118, "Title"], [185, 187, "Shares"]], "tokenized_text": ["4", ".", "8", "Executive", "Lock-Up", "Period", ".", "The", "Executive", "acknowledges", "and", "agrees", "that", "at", "no", "time", "from", "the", "Effective", "Date", "until", "the", "first", "anniversary", "of", "the", "Closing", "Date", ",", "shall", "the", "Executive", "Transfer", "or", "permit", "to", "be", "Transferred", "any", "of", "the", "shares", "of", "Common", "Stock", ",", "including", "any", "shares", "received", "from", "an", "Annual", "Stock", "Bonus", ",", "(", "the", "Shares", ")", ",", "except", "pursuant", "to", "an", "effective", "registration", "statement", "on", "Form", "S-1", "or", "Form", "S-3", "promulgated", "under", "the", "Securities", "Act", "of", "1933", ",", "as", "amended", "(", "the", "Securities", "Act", ")", "or", "upon", "exercise", "of", "put", "rights", "(", "the", "Put", "Rights", ")", "pursuant", "to", "the", "put", "agreement", "between", "the", "Executive", "and", "the", "Company", "dated", "the", "date", "hereof", "(", "the", "Put", "Agreement", ")", ".", "Furthermore", ",", "the", "Executive", "acknowledges", "and", "agrees", "that", ",", "except", "pursuant", "to", "an", "effective", "registration", "statement", "on", "Form", "S-1", "or", "Form", "S-3", "promulgated", "under", "the", "Securities", "Act", ",", "the", "Executive", "shall", "not", ":", "(", "i", ")", "on", "or", "after", "the", "first", "anniversary", "of", "the", "Closing", "Date", "but", "before", "the", "second", "anniversary", "of", "the", "Closing", "Date", ",", "Transfer", "or", "permit", "to", "be", "Transferred", "more", "than", "262", ",", "878", "Shares", "(", "the", "First", "Period", "Shares", ")", ";", "(", "ii", ")", "on", "or", "after", "the", "second", "anniversary", "of", "the", "Closing", "Date", "but", "before", "the", "third", "anniversary", "of", "the", "Closing", "Date", ",", "Transfer", "or", "permit", "to", "be", "Transferred", "more", "than", "262", ",", "878", "Shares", "plus", "any", "portion", "of", "the", "First", "Period", "Shares", "not", "yet", "Transferred", ".", "After", "the", "third", "anniversary", "of", "the", "Closing", "Date", "the", "Exective", "shall", "no", "longer", "be", "restricted", "under", "this", "Section", "4", ".", "8", "from", "Transferring", "or", "permitting", "to", "be", "Transferred", "any", "of", "the", "Executives", "Shares", ".", "For", "purposes", "of", "this", "Agreement", ",", "Transfer", "means", "in", "respect", "of", "a", "Person", ",", "any", "direct", "or", "indirect", "transfer", ",", "sale", ",", "assignment", ",", "gift", ",", "exchange", "or", "other", "transaction", "(", "other", "than", "the", "creation", "of", "a", "Lien", ")", ",", "whether", "voluntary", ",", "involuntary", "or", "by", "operation", "of", "law", ",", "by", "which", "the", "legal", "or", "beneficial", "ownership", "of", ",", "or", "other", "interest", "in", ",", "such", "Person", ",", "passes", "from", "one", "Person", "to", "another", "Person", ",", "whether", "or", "not", "for", "value", "."]}
{"id": "10920", "text": "5.1 Section 83(b) Election. If the Executive properly elects, within thirty (30) days of the date of payment of an Annual Stock Bonus (the Payment Date), to include in gross income for federal income tax purposes an amount equal to the fair market value (as of the Payment Date) of the Annual Stock Bonus pursuant to Section 83(b) of the Internal Revenue Code of 1986 , as amended (the Code), the Executive shall make arrangements satisfactory to the Company to pay to the Company any federal, state or local income taxes required to be withheld with respect to the Annual Stock Bonus. If the Executive shall fail to make such tax payments as are required, the Company shall, to the extent permitted by law, have the right to deduct from any payment of any kind (including without limitation, the withholding of any shares of Common Stock that otherwise would be issued to the Executive under this Agreement) otherwise due to the Executive any federal, state or local taxes of any kind required by law to be withheld with respect to the Annual Stock Bonus.", "ner": [[77, 81, "Act"]], "tokenized_text": ["5", ".", "1", "Section", "83", "(", "b", ")", "Election", ".", "If", "the", "Executive", "properly", "elects", ",", "within", "thirty", "(", "30", ")", "days", "of", "the", "date", "of", "payment", "of", "an", "Annual", "Stock", "Bonus", "(", "the", "Payment", "Date", ")", ",", "to", "include", "in", "gross", "income", "for", "federal", "income", "tax", "purposes", "an", "amount", "equal", "to", "the", "fair", "market", "value", "(", "as", "of", "the", "Payment", "Date", ")", "of", "the", "Annual", "Stock", "Bonus", "pursuant", "to", "Section", "83", "(", "b", ")", "of", "the", "Internal", "Revenue", "Code", "of", "1986", ",", "as", "amended", "(", "the", "Code", ")", ",", "the", "Executive", "shall", "make", "arrangements", "satisfactory", "to", "the", "Company", "to", "pay", "to", "the", "Company", "any", "federal", ",", "state", "or", "local", "income", "taxes", "required", "to", "be", "withheld", "with", "respect", "to", "the", "Annual", "Stock", "Bonus", ".", "If", "the", "Executive", "shall", "fail", "to", "make", "such", "tax", "payments", "as", "are", "required", ",", "the", "Company", "shall", ",", "to", "the", "extent", "permitted", "by", "law", ",", "have", "the", "right", "to", "deduct", "from", "any", "payment", "of", "any", "kind", "(", "including", "without", "limitation", ",", "the", "withholding", "of", "any", "shares", "of", "Common", "Stock", "that", "otherwise", "would", "be", "issued", "to", "the", "Executive", "under", "this", "Agreement", ")", "otherwise", "due", "to", "the", "Executive", "any", "federal", ",", "state", "or", "local", "taxes", "of", "any", "kind", "required", "by", "law", "to", "be", "withheld", "with", "respect", "to", "the", "Annual", "Stock", "Bonus", "."]}
{"id": "10925", "text": "15. Governing Law. This Agreement shall be governed by and construed in accordance with the laws of the State of New York without reference to the conflicts of law rules thereof that may require the application of the laws of another jurisdiction.", "ner": [[20, 23, "Court"]], "tokenized_text": ["15", ".", "Governing", "Law", ".", "This", "Agreement", "shall", "be", "governed", "by", "and", "construed", "in", "accordance", "with", "the", "laws", "of", "the", "State", "of", "New", "York", "without", "reference", "to", "the", "conflicts", "of", "law", "rules", "thereof", "that", "may", "require", "the", "application", "of", "the", "laws", "of", "another", "jurisdiction", "."]}
{"id": "10927", "text": "Coral Gables, FL 33134", "ner": [[0, 4, "Address"]], "tokenized_text": ["Coral", "Gables", ",", "FL", "33134"]}
{"id": "10929", "text": "Fax No: (305) 961-5532", "ner": [[3, 6, "PII_Ref"]], "tokenized_text": ["Fax", "No", ":", "(", "305", ")", "961-5532"]}
{"id": "10932", "text": "Fax No: (212) 589-4201", "ner": [[3, 6, "PII_Ref"]], "tokenized_text": ["Fax", "No", ":", "(", "212", ")", "589-4201"]}
{"id": "10938", "text": "WHEREAS, the Executive desires to continue to be employed by the Company as President Municipal Division and to perform and to serve the Company on the terms and conditions hereinafter set forth.", "ner": [[14, 14, "Role"]], "tokenized_text": ["WHEREAS", ",", "the", "Executive", "desires", "to", "continue", "to", "be", "employed", "by", "the", "Company", "as", "President", "Municipal", "Division", "and", "to", "perform", "and", "to", "serve", "the", "Company", "on", "the", "terms", "and", "conditions", "hereinafter", "set", "forth", "."]}
{"id": "10940", "text": "1.2. Duties. During the Employment Period, the Executive shall serve as President Municipal Division of the Company and such other positions as an officer or director of the Company and such affiliates of the Company as the Company shall determine from time to time, and shall report directly to Chief Executive Officer. In his position of President Municipal Division , the Executive shall perform duties customary for the President Municipal Division of a company similar to the Companys size and nature, plus such additional duties, consistent with the foregoing, as the Chief Executive Officer or his designee may reasonably assign.", "ner": [[16, 16, "Role"], [55, 57, "Role"], [101, 103, "Role"]], "tokenized_text": ["1", ".", "2", ".", "Duties", ".", "During", "the", "Employment", "Period", ",", "the", "Executive", "shall", "serve", "as", "President", "Municipal", "Division", "of", "the", "Company", "and", "such", "other", "positions", "as", "an", "officer", "or", "director", "of", "the", "Company", "and", "such", "affiliates", "of", "the", "Company", "as", "the", "Company", "shall", "determine", "from", "time", "to", "time", ",", "and", "shall", "report", "directly", "to", "Chief", "Executive", "Officer", ".", "In", "his", "position", "of", "President", "Municipal", "Division", ",", "the", "Executive", "shall", "perform", "duties", "customary", "for", "the", "President", "Municipal", "Division", "of", "a", "company", "similar", "to", "the", "Companys", "size", "and", "nature", ",", "plus", "such", "additional", "duties", ",", "consistent", "with", "the", "foregoing", ",", "as", "the", "Chief", "Executive", "Officer", "or", "his", "designee", "may", "reasonably", "assign", "."]}
{"id": "10942", "text": "2.4. Business Expenses. The Company shall pay or reimburse the Executive, upon presentation of documentation, for all commercially reasonable out-of-pocket business expenses that the Executive incurs during the Employment Period in performing his duties under this Employment Agreement and in accordance with the expense reimbursement policy of the Company as approved by the Board (or a committee thereof) and in effect from time to time. Notwithstanding anything herein to the contrary or otherwise, except to the extent any expense or reimbursement described in this Employment Agreement does not constitute a deferral of compensation within the meaning of Section409A of the Internal Revenue Code of 1986 , as amended, and the regulations and guidance thereunder (Section409A), any expense", "ner": [[42, 43, "Title"], [107, 107, "Regulation"], [110, 114, "Act"]], "tokenized_text": ["2", ".", "4", ".", "Business", "Expenses", ".", "The", "Company", "shall", "pay", "or", "reimburse", "the", "Executive", ",", "upon", "presentation", "of", "documentation", ",", "for", "all", "commercially", "reasonable", "out-of-pocket", "business", "expenses", "that", "the", "Executive", "incurs", "during", "the", "Employment", "Period", "in", "performing", "his", "duties", "under", "this", "Employment", "Agreement", "and", "in", "accordance", "with", "the", "expense", "reimbursement", "policy", "of", "the", "Company", "as", "approved", "by", "the", "Board", "(", "or", "a", "committee", "thereof", ")", "and", "in", "effect", "from", "time", "to", "time", ".", "Notwithstanding", "anything", "herein", "to", "the", "contrary", "or", "otherwise", ",", "except", "to", "the", "extent", "any", "expense", "or", "reimbursement", "described", "in", "this", "Employment", "Agreement", "does", "not", "constitute", "a", "deferral", "of", "compensation", "within", "the", "meaning", "of", "Section409A", "of", "the", "Internal", "Revenue", "Code", "of", "1986", ",", "as", "amended", ",", "and", "the", "regulations", "and", "guidance", "thereunder", "(", "Section409A", ")", ",", "any", "expense"]}
{"id": "10943", "text": "4.2. Non-Competition. By and in consideration of the Companys entering into this Employment Agreement, and in further consideration of the Executives exposure to the Confidential Information of the Company Group, the Executive agrees that the Executive shall not, during the Employment Period and for one year following the Executives Termination Date (the Restriction Period), directly or indirectly, own, manage, operate, join, control, be employed by, or participate in the ownership, management, operation or control of, or be connected in any manner with, including, without limitation, holding any position as a stockholder, director, officer, consultant, independent contractor, employee, partner, or investor in, any Restricted Enterprise (as defined below); provided, that in no event shall ownership of one percent or less of the outstanding securities of any class of any issuer whose securities are registered under the Securities Exchange Act of 1934 , as amended, standing alone, be prohibited by this Section4.2, so long as the Executive does not have, or exercise, any rights to manage or operate the business of such issuer other than rights as a stockholder thereof. For purposes of this paragraph, Restricted Enterprise shall mean any business that is in competition with (a)the present products marketed or sold by the Company to its customers and as such products may be improved and/or modified, (b)the present services marketed, sold or provided by the Company to its customers and as such services may be improved and/or modified or (c)the products and/or services the Company develops, designs, manufactures, markets, produces or supplies in the future to its customers. In the case of each of (a), (b)and (c)above, such businesses shall include, but not be limited to, businesses that are associated with the treatment of intake water, process water or waste-water in industrial and municipal end markets through the provision of", "ner": [[16, 17, "Title"], [150, 151, "Percentage"], [170, 174, "Act"]], "tokenized_text": ["4", ".", "2", ".", "Non-Competition", ".", "By", "and", "in", "consideration", "of", "the", "Companys", "entering", "into", "this", "Employment", "Agreement", ",", "and", "in", "further", "consideration", "of", "the", "Executives", "exposure", "to", "the", "Confidential", "Information", "of", "the", "Company", "Group", ",", "the", "Executive", "agrees", "that", "the", "Executive", "shall", "not", ",", "during", "the", "Employment", "Period", "and", "for", "one", "year", "following", "the", "Executives", "Termination", "Date", "(", "the", "Restriction", "Period", ")", ",", "directly", "or", "indirectly", ",", "own", ",", "manage", ",", "operate", ",", "join", ",", "control", ",", "be", "employed", "by", ",", "or", "participate", "in", "the", "ownership", ",", "management", ",", "operation", "or", "control", "of", ",", "or", "be", "connected", "in", "any", "manner", "with", ",", "including", ",", "without", "limitation", ",", "holding", "any", "position", "as", "a", "stockholder", ",", "director", ",", "officer", ",", "consultant", ",", "independent", "contractor", ",", "employee", ",", "partner", ",", "or", "investor", "in", ",", "any", "Restricted", "Enterprise", "(", "as", "defined", "below", ")", ";", "provided", ",", "that", "in", "no", "event", "shall", "ownership", "of", "one", "percent", "or", "less", "of", "the", "outstanding", "securities", "of", "any", "class", "of", "any", "issuer", "whose", "securities", "are", "registered", "under", "the", "Securities", "Exchange", "Act", "of", "1934", ",", "as", "amended", ",", "standing", "alone", ",", "be", "prohibited", "by", "this", "Section4", ".", "2", ",", "so", "long", "as", "the", "Executive", "does", "not", "have", ",", "or", "exercise", ",", "any", "rights", "to", "manage", "or", "operate", "the", "business", "of", "such", "issuer", "other", "than", "rights", "as", "a", "stockholder", "thereof", ".", "For", "purposes", "of", "this", "paragraph", ",", "Restricted", "Enterprise", "shall", "mean", "any", "business", "that", "is", "in", "competition", "with", "(", "a", ")", "the", "present", "products", "marketed", "or", "sold", "by", "the", "Company", "to", "its", "customers", "and", "as", "such", "products", "may", "be", "improved", "and", "/", "or", "modified", ",", "(", "b", ")", "the", "present", "services", "marketed", ",", "sold", "or", "provided", "by", "the", "Company", "to", "its", "customers", "and", "as", "such", "services", "may", "be", "improved", "and", "/", "or", "modified", "or", "(", "c", ")", "the", "products", "and", "/", "or", "services", "the", "Company", "develops", ",", "designs", ",", "manufactures", ",", "markets", ",", "produces", "or", "supplies", "in", "the", "future", "to", "its", "customers", ".", "In", "the", "case", "of", "each", "of", "(", "a", ")", ",", "(", "b", ")", "and", "(", "c", ")", "above", ",", "such", "businesses", "shall", "include", ",", "but", "not", "be", "limited", "to", ",", "businesses", "that", "are", "associated", "with", "the", "treatment", "of", "intake", "water", ",", "process", "water", "or", "waste-water", "in", "industrial", "and", "municipal", "end", "markets", "through", "the", "provision", "of"]}
{"id": "10944", "text": "4.6. Proprietary Rights. The Executive shall disclose promptly to the Company any and all inventions, discoveries, and improvements (whether or not patentable or registrable under copyright or similar statutes), and all patentable or copyrightable works, initiated, conceived, discovered, reduced to practice, or made by him, either alone or in conjunction with others, during the Executives employment with the Company and related to the business or activities of the Company Group (the Developments). Except to the extent any rights in any Developments constitute a work made for hire under the U.S. Copyright Act , 17 U.S.C . 101 et seq. that are owned ab initio by a member of the Company Group, the Executive assigns and agrees to assign all of his right, title and interest in all Developments (including all intellectual property rights therein) to the Company or its nominee without further compensation, including all rights or benefits therefor, including without limitation the right to sue and recover for past and future infringement. The Executive acknowledges that any rights in any Developments constituting a work made for hire under the U.S. Copyright Act , 17 U.S.C 101 et seq. are owned upon creation by the Company as the Executives employer. Whenever requested to do so by the Company, the Executive shall execute any and all applications, assignments or other instruments which the Company shall deem necessary to apply for and obtain trademarks, patents or copyrights of the United States or any foreign country or otherwise protect the interests of the Company Group. These obligations shall continue beyond the end of the Executives employment with the Company with respect to inventions, discoveries, improvements or copyrightable works initiated, conceived or made by the Executive while employed by the Company, and shall be binding upon the Executives employers, assigns, executors, administrators and other legal representatives. In connection with his execution of this Employment Agreement, the Executive has informed the Company in writing of any interest", "ner": [[108, 113, "Act"], [115, 122, "Regulation"], [221, 227, "Regulation"], [364, 365, "Title"]], "tokenized_text": ["4", ".", "6", ".", "Proprietary", "Rights", ".", "The", "Executive", "shall", "disclose", "promptly", "to", "the", "Company", "any", "and", "all", "inventions", ",", "discoveries", ",", "and", "improvements", "(", "whether", "or", "not", "patentable", "or", "registrable", "under", "copyright", "or", "similar", "statutes", ")", ",", "and", "all", "patentable", "or", "copyrightable", "works", ",", "initiated", ",", "conceived", ",", "discovered", ",", "reduced", "to", "practice", ",", "or", "made", "by", "him", ",", "either", "alone", "or", "in", "conjunction", "with", "others", ",", "during", "the", "Executives", "employment", "with", "the", "Company", "and", "related", "to", "the", "business", "or", "activities", "of", "the", "Company", "Group", "(", "the", "Developments", ")", ".", "Except", "to", "the", "extent", "any", "rights", "in", "any", "Developments", "constitute", "a", "work", "made", "for", "hire", "under", "the", "U", ".", "S", ".", "Copyright", "Act", ",", "17", "U", ".", "S", ".", "C", ".", "101", "et", "seq", ".", "that", "are", "owned", "ab", "initio", "by", "a", "member", "of", "the", "Company", "Group", ",", "the", "Executive", "assigns", "and", "agrees", "to", "assign", "all", "of", "his", "right", ",", "title", "and", "interest", "in", "all", "Developments", "(", "including", "all", "intellectual", "property", "rights", "therein", ")", "to", "the", "Company", "or", "its", "nominee", "without", "further", "compensation", ",", "including", "all", "rights", "or", "benefits", "therefor", ",", "including", "without", "limitation", "the", "right", "to", "sue", "and", "recover", "for", "past", "and", "future", "infringement", ".", "The", "Executive", "acknowledges", "that", "any", "rights", "in", "any", "Developments", "constituting", "a", "work", "made", "for", "hire", "under", "the", "U", ".", "S", ".", "Copyright", "Act", ",", "17", "U", ".", "S", ".", "C", "101", "et", "seq", ".", "are", "owned", "upon", "creation", "by", "the", "Company", "as", "the", "Executives", "employer", ".", "Whenever", "requested", "to", "do", "so", "by", "the", "Company", ",", "the", "Executive", "shall", "execute", "any", "and", "all", "applications", ",", "assignments", "or", "other", "instruments", "which", "the", "Company", "shall", "deem", "necessary", "to", "apply", "for", "and", "obtain", "trademarks", ",", "patents", "or", "copyrights", "of", "the", "United", "States", "or", "any", "foreign", "country", "or", "otherwise", "protect", "the", "interests", "of", "the", "Company", "Group", ".", "These", "obligations", "shall", "continue", "beyond", "the", "end", "of", "the", "Executives", "employment", "with", "the", "Company", "with", "respect", "to", "inventions", ",", "discoveries", ",", "improvements", "or", "copyrightable", "works", "initiated", ",", "conceived", "or", "made", "by", "the", "Executive", "while", "employed", "by", "the", "Company", ",", "and", "shall", "be", "binding", "upon", "the", "Executives", "employers", ",", "assigns", ",", "executors", ",", "administrators", "and", "other", "legal", "representatives", ".", "In", "connection", "with", "his", "execution", "of", "this", "Employment", "Agreement", ",", "the", "Executive", "has", "informed", "the", "Company", "in", "writing", "of", "any", "interest"]}
{"id": "10949", "text": "THIS EMPLOYMENT AGREEMENT (this Agreement), dated as of July2, 2008 , between STERLING BANCORP,INC. , a Michigan corporation (the Company), STERLING BANK AND TRUST, F.S.B. , ( the Bank), and their affiliated entities (collectively Employer) with their principal offices located at One Towne Square, 17th Floor, Southfield, MI 48076 and Gary Judd , who resides at 3 Cantitoe Lane , Englewood, CO 80113 (the Executive).", "ner": [[1, 2, "Title"], [11, 13, "EffectiveDate"], [16, 20, "Parties"], [30, 40, "Parties"], [61, 71, "Address"], [73, 74, "Parties"], [79, 86, "Address"]], "tokenized_text": ["THIS", "EMPLOYMENT", "AGREEMENT", "(", "this", "Agreement", ")", ",", "dated", "as", "of", "July2", ",", "2008", ",", "between", "STERLING", "BANCORP", ",", "INC", ".", ",", "a", "Michigan", "corporation", "(", "the", "Company", ")", ",", "STERLING", "BANK", "AND", "TRUST", ",", "F", ".", "S", ".", "B", ".", ",", "(", "the", "Bank", ")", ",", "and", "their", "affiliated", "entities", "(", "collectively", "Employer", ")", "with", "their", "principal", "offices", "located", "at", "One", "Towne", "Square", ",", "17th", "Floor", ",", "Southfield", ",", "MI", "48076", "and", "Gary", "Judd", ",", "who", "resides", "at", "3", "Cantitoe", "Lane", ",", "Englewood", ",", "CO", "80113", "(", "the", "Executive", ")", "."]}
{"id": "10953", "text": "(c) The Executive will use his best efforts to perform diligently such duties as are consistent with his capacity as Chairman or such other duties as the Board and/or Board reasonably determines, including on an interim basis, the duties associated with being a Chief Executive Officer . The Executive will devote as much time as necessary per month to the performance of his responsibilities hereunder; and, the Executive may make personal investments, engage in such outside non-competitive business activities or engage in other activities for any charitable or other non-profit institution, provided that such activities do not interfere with the performance of the Executives duties hereunder.", "ner": [[22, 22, "Role"], [49, 51, "Role"]], "tokenized_text": ["(", "c", ")", "The", "Executive", "will", "use", "his", "best", "efforts", "to", "perform", "diligently", "such", "duties", "as", "are", "consistent", "with", "his", "capacity", "as", "Chairman", "or", "such", "other", "duties", "as", "the", "Board", "and", "/", "or", "Board", "reasonably", "determines", ",", "including", "on", "an", "interim", "basis", ",", "the", "duties", "associated", "with", "being", "a", "Chief", "Executive", "Officer", ".", "The", "Executive", "will", "devote", "as", "much", "time", "as", "necessary", "per", "month", "to", "the", "performance", "of", "his", "responsibilities", "hereunder", ";", "and", ",", "the", "Executive", "may", "make", "personal", "investments", ",", "engage", "in", "such", "outside", "non-competitive", "business", "activities", "or", "engage", "in", "other", "activities", "for", "any", "charitable", "or", "other", "non-profit", "institution", ",", "provided", "that", "such", "activities", "do", "not", "interfere", "with", "the", "performance", "of", "the", "Executives", "duties", "hereunder", "."]}
{"id": "10954", "text": "(d) While it is contemplated that after an initial transition and organizational period, in connection with the Executives employment, the Executive will spend no less than two (2)weeks per month at the Employers offices in San Francisco, California , it is also understood by the Parties that the Executive may need to spend more of his time at the Employers current Michigan headquarters in order to reasonably perform his responsibilities hereunder. The objective of the Parties, in connection with the Executives employment, is for the Executive to utilize his professional time and efforts, to advance the goals set forth in the Sterling Operating Model and business plan as approved by the Board and as may be amended by the Board from time to time.", "ner": [[42, 45, "Address"]], "tokenized_text": ["(", "d", ")", "While", "it", "is", "contemplated", "that", "after", "an", "initial", "transition", "and", "organizational", "period", ",", "in", "connection", "with", "the", "Executives", "employment", ",", "the", "Executive", "will", "spend", "no", "less", "than", "two", "(", "2", ")", "weeks", "per", "month", "at", "the", "Employers", "offices", "in", "San", "Francisco", ",", "California", ",", "it", "is", "also", "understood", "by", "the", "Parties", "that", "the", "Executive", "may", "need", "to", "spend", "more", "of", "his", "time", "at", "the", "Employers", "current", "Michigan", "headquarters", "in", "order", "to", "reasonably", "perform", "his", "responsibilities", "hereunder", ".", "The", "objective", "of", "the", "Parties", ",", "in", "connection", "with", "the", "Executives", "employment", ",", "is", "for", "the", "Executive", "to", "utilize", "his", "professional", "time", "and", "efforts", ",", "to", "advance", "the", "goals", "set", "forth", "in", "the", "Sterling", "Operating", "Model", "and", "business", "plan", "as", "approved", "by", "the", "Board", "and", "as", "may", "be", "amended", "by", "the", "Board", "from", "time", "to", "time", "."]}
{"id": "10955", "text": "4. Base Salary. The Executive will receive from the Bank (but, internally allocated between the Employer entities) an annual salary of Two Hundred Twenty-Five Thousand Dollars ( $225,000 ) (the Base Salary), payable in accordance with the standard practice of the Bank in the payment of salaries of its employees. The Board will review the Base Salary annually, and may, in its reasonable discretion, adjust the Base Salary.", "ner": [[32, 35, "Salary"]], "tokenized_text": ["4", ".", "Base", "Salary", ".", "The", "Executive", "will", "receive", "from", "the", "Bank", "(", "but", ",", "internally", "allocated", "between", "the", "Employer", "entities", ")", "an", "annual", "salary", "of", "Two", "Hundred", "Twenty-Five", "Thousand", "Dollars", "(", "$", "225", ",", "000", ")", "(", "the", "Base", "Salary", ")", ",", "payable", "in", "accordance", "with", "the", "standard", "practice", "of", "the", "Bank", "in", "the", "payment", "of", "salaries", "of", "its", "employees", ".", "The", "Board", "will", "review", "the", "Base", "Salary", "annually", ",", "and", "may", ",", "in", "its", "reasonable", "discretion", ",", "adjust", "the", "Base", "Salary", "."]}
{"id": "10959", "text": "15. Governing Law, Arbitration and Waiver of Jury Trial. The Parties agree, to the extent permitted by law, that they EACH HEREBY WAIVES ANY RIGHT TO A TRIAL BY JURY, and agrees not to bring any claim, proceeding or action arising out of or related to this Agreement in any tribunal or court, except as necessary to enforce the provisions of Section10 of this Agreement, mandate arbitration as provided in this section, or enforce an arbitration award rendered pursuant to this Agreement. Any and all disputes related to this Agreement or to the parties performance hereunder, including but not limited to any dispute alleging that this Agreement was obtained by misrepresentation or mistake, will be submitted for resolution into Arbitration with the American Arbitration Association (AAA), in San Francisco, California , to be conducted under then applicable commercial rulespromulgated by the AAA. Notwithstanding the above, the Employer may seek injunctive relief in a California court of competent jurisdiction, to enjoin any breach or anticipatory breach of the Executives obligations as set forth in paragraphs 8 and 9 of this Agreement, pending the outcome of an Arbitration of their dispute. The parties further agree and acknowledge that the Executive is a resident of the State of Colorado and that the Company is a resident of the State of Michigan for traditional jurisdiction and venue purposes, but they are nevertheless voluntarily agreeing to an arbitration venue and personal jurisdiction in the State of California for their mutual convenience. California law will be applied to the resolution of any dispute related to this Agreement.", "ner": [[143, 146, "Address"], [225, 227, "Court"], [237, 239, "Court"], [262, 264, "Court"]], "tokenized_text": ["15", ".", "Governing", "Law", ",", "Arbitration", "and", "Waiver", "of", "Jury", "Trial", ".", "The", "Parties", "agree", ",", "to", "the", "extent", "permitted", "by", "law", ",", "that", "they", "EACH", "HEREBY", "WAIVES", "ANY", "RIGHT", "TO", "A", "TRIAL", "BY", "JURY", ",", "and", "agrees", "not", "to", "bring", "any", "claim", ",", "proceeding", "or", "action", "arising", "out", "of", "or", "related", "to", "this", "Agreement", "in", "any", "tribunal", "or", "court", ",", "except", "as", "necessary", "to", "enforce", "the", "provisions", "of", "Section10", "of", "this", "Agreement", ",", "mandate", "arbitration", "as", "provided", "in", "this", "section", ",", "or", "enforce", "an", "arbitration", "award", "rendered", "pursuant", "to", "this", "Agreement", ".", "Any", "and", "all", "disputes", "related", "to", "this", "Agreement", "or", "to", "the", "parties", "performance", "hereunder", ",", "including", "but", "not", "limited", "to", "any", "dispute", "alleging", "that", "this", "Agreement", "was", "obtained", "by", "misrepresentation", "or", "mistake", ",", "will", "be", "submitted", "for", "resolution", "into", "Arbitration", "with", "the", "American", "Arbitration", "Association", "(", "AAA", ")", ",", "in", "San", "Francisco", ",", "California", ",", "to", "be", "conducted", "under", "then", "applicable", "commercial", "rulespromulgated", "by", "the", "AAA", ".", "Notwithstanding", "the", "above", ",", "the", "Employer", "may", "seek", "injunctive", "relief", "in", "a", "California", "court", "of", "competent", "jurisdiction", ",", "to", "enjoin", "any", "breach", "or", "anticipatory", "breach", "of", "the", "Executives", "obligations", "as", "set", "forth", "in", "paragraphs", "8", "and", "9", "of", "this", "Agreement", ",", "pending", "the", "outcome", "of", "an", "Arbitration", "of", "their", "dispute", ".", "The", "parties", "further", "agree", "and", "acknowledge", "that", "the", "Executive", "is", "a", "resident", "of", "the", "State", "of", "Colorado", "and", "that", "the", "Company", "is", "a", "resident", "of", "the", "State", "of", "Michigan", "for", "traditional", "jurisdiction", "and", "venue", "purposes", ",", "but", "they", "are", "nevertheless", "voluntarily", "agreeing", "to", "an", "arbitration", "venue", "and", "personal", "jurisdiction", "in", "the", "State", "of", "California", "for", "their", "mutual", "convenience", ".", "California", "law", "will", "be", "applied", "to", "the", "resolution", "of", "any", "dispute", "related", "to", "this", "Agreement", "."]}
{"id": "10960", "text": "20. Governing Law. This Agreement will be governed by and construed and interpreted in accordance with the laws of California , without reference to principles of conflict of laws.", "ner": [[21, 21, "Court"]], "tokenized_text": ["20", ".", "Governing", "Law", ".", "This", "Agreement", "will", "be", "governed", "by", "and", "construed", "and", "interpreted", "in", "accordance", "with", "the", "laws", "of", "California", ",", "without", "reference", "to", "principles", "of", "conflict", "of", "laws", "."]}
{"id": "10963", "text": "WHEREAS, the Bank agrees to employ Executive as its President and Chief Executive Officer , subject to the authority and direction of the Banks Board of Directors, and Executive agrees to accept such employment subject to the terms and conditions set forth herein; and", "ner": [[10, 10, "Role"], [12, 14, "Role"]], "tokenized_text": ["WHEREAS", ",", "the", "Bank", "agrees", "to", "employ", "Executive", "as", "its", "President", "and", "Chief", "Executive", "Officer", ",", "subject", "to", "the", "authority", "and", "direction", "of", "the", "Banks", "Board", "of", "Directors", ",", "and", "Executive", "agrees", "to", "accept", "such", "employment", "subject", "to", "the", "terms", "and", "conditions", "set", "forth", "herein", ";", "and"]}
{"id": "10964", "text": "During the period of his employment hereunder, Executive agrees to serve as President and Chief Executive Officer for the Bank (the \"Executive Position\"). As President and Chief Executive Officer , Executive agrees to serve under the direction of the Banks Board of Directors (Board) and to perform the usual and customary duties of the Executive Position and any specific duties as may be prescribed by the Board from time to time.", "ner": [[13, 13, "Role"], [15, 17, "Role"], [32, 34, "Role"]], "tokenized_text": ["During", "the", "period", "of", "his", "employment", "hereunder", ",", "Executive", "agrees", "to", "serve", "as", "President", "and", "Chief", "Executive", "Officer", "for", "the", "Bank", "(", "the", "\"", "Executive", "Position", "\"", ")", ".", "As", "President", "and", "Chief", "Executive", "Officer", ",", "Executive", "agrees", "to", "serve", "under", "the", "direction", "of", "the", "Banks", "Board", "of", "Directors", "(", "Board", ")", "and", "to", "perform", "the", "usual", "and", "customary", "duties", "of", "the", "Executive", "Position", "and", "any", "specific", "duties", "as", "may", "be", "prescribed", "by", "the", "Board", "from", "time", "to", "time", "."]}
{"id": "10965", "text": "(a)The Initial Term of Executives employment under this Agreement shall begin on August 29, 2017 , and shall continue until December 31, 2019 , unless terminated earlier in accordance with the terms herein. This Agreement, if still in effect, shall be reviewed annually thereafter by the Board, and may be renewed for successive one (1) year terms within the Boards sole discretion. The Executives obligations and the Banks rights under Section 10 hereof shall survive the expiration of this Agreement (including the Initial Term and any renewal terms hereof).", "ner": [[15, 18, "EffectiveDate"], [24, 27, "TerminationDate"], [62, 66, "RenewalTerm"]], "tokenized_text": ["(", "a", ")", "The", "Initial", "Term", "of", "Executives", "employment", "under", "this", "Agreement", "shall", "begin", "on", "August", "29", ",", "2017", ",", "and", "shall", "continue", "until", "December", "31", ",", "2019", ",", "unless", "terminated", "earlier", "in", "accordance", "with", "the", "terms", "herein", ".", "This", "Agreement", ",", "if", "still", "in", "effect", ",", "shall", "be", "reviewed", "annually", "thereafter", "by", "the", "Board", ",", "and", "may", "be", "renewed", "for", "successive", "one", "(", "1", ")", "year", "terms", "within", "the", "Boards", "sole", "discretion", ".", "The", "Executives", "obligations", "and", "the", "Banks", "rights", "under", "Section", "10", "hereof", "shall", "survive", "the", "expiration", "of", "this", "Agreement", "(", "including", "the", "Initial", "Term", "and", "any", "renewal", "terms", "hereof", ")", "."]}
{"id": "10969", "text": "(c)Upon the termination of Executives employment constituting a separation from service, as defined in Treasury Regulation 1.409A-1(h) , and resulting from an Event of Termination as defined in Section 4(a) or 4(b), provided that Executive has signed and delivered to the Bank a release agreement in form and substance acceptable to the Bank (Release Agreement) on or before the deadline set forth in the Release Agreement, which deadline shall not be later than 60 days after the date of Executives termination, and further provided that Executive has not revoked the Release Agreement within the deadline for revocation established by the Release Agreement, the Bank, in accordance with the time line set forth below, shall pay Executive or, in the event of his subsequent death, his beneficiary or beneficiaries, or his estate, as the case may be, as severance pay or liquidated damages (but not both), a lump sum cash amount (Termination Payment) equal to, in the case of an Event of Termination as defined in Section 4(a), one (1) times the sum of, or, in the case of an Event of Termination as defined in Section 4(b), three (3) times the sum of:", "ner": [[18, 22, "Regulation"], [59, 60, "Title"], [70, 71, "Title"], [82, 83, "Title"], [110, 111, "Title"], [120, 121, "Title"]], "tokenized_text": ["(", "c", ")", "Upon", "the", "termination", "of", "Executives", "employment", "constituting", "a", "separation", "from", "service", ",", "as", "defined", "in", "Treasury", "Regulation", "1", ".", "409A-1", "(", "h", ")", ",", "and", "resulting", "from", "an", "Event", "of", "Termination", "as", "defined", "in", "Section", "4", "(", "a", ")", "or", "4", "(", "b", ")", ",", "provided", "that", "Executive", "has", "signed", "and", "delivered", "to", "the", "Bank", "a", "release", "agreement", "in", "form", "and", "substance", "acceptable", "to", "the", "Bank", "(", "Release", "Agreement", ")", "on", "or", "before", "the", "deadline", "set", "forth", "in", "the", "Release", "Agreement", ",", "which", "deadline", "shall", "not", "be", "later", "than", "60", "days", "after", "the", "date", "of", "Executives", "termination", ",", "and", "further", "provided", "that", "Executive", "has", "not", "revoked", "the", "Release", "Agreement", "within", "the", "deadline", "for", "revocation", "established", "by", "the", "Release", "Agreement", ",", "the", "Bank", ",", "in", "accordance", "with", "the", "time", "line", "set", "forth", "below", ",", "shall", "pay", "Executive", "or", ",", "in", "the", "event", "of", "his", "subsequent", "death", ",", "his", "beneficiary", "or", "beneficiaries", ",", "or", "his", "estate", ",", "as", "the", "case", "may", "be", ",", "as", "severance", "pay", "or", "liquidated", "damages", "(", "but", "not", "both", ")", ",", "a", "lump", "sum", "cash", "amount", "(", "Termination", "Payment", ")", "equal", "to", ",", "in", "the", "case", "of", "an", "Event", "of", "Termination", "as", "defined", "in", "Section", "4", "(", "a", ")", ",", "one", "(", "1", ")", "times", "the", "sum", "of", ",", "or", ",", "in", "the", "case", "of", "an", "Event", "of", "Termination", "as", "defined", "in", "Section", "4", "(", "b", ")", ",", "three", "(", "3", ")", "times", "the", "sum", "of", ":"]}
{"id": "10970", "text": "Despite anything to the contrary in this Agreement, the Executive shall not be entitled to any severance benefits under Section 4 of this Agreement on account of employment termination unless the Executive's employment termination constitutes a separation from service, as that term is defined in Code Section 409A and Treasury Regulation 1.409A-1(h) .", "ner": [[49, 51, "Regulation"], [53, 57, "Regulation"]], "tokenized_text": ["Despite", "anything", "to", "the", "contrary", "in", "this", "Agreement", ",", "the", "Executive", "shall", "not", "be", "entitled", "to", "any", "severance", "benefits", "under", "Section", "4", "of", "this", "Agreement", "on", "account", "of", "employment", "termination", "unless", "the", "Executive", "'", "s", "employment", "termination", "constitutes", "a", "separation", "from", "service", ",", "as", "that", "term", "is", "defined", "in", "Code", "Section", "409A", "and", "Treasury", "Regulation", "1", ".", "409A-1", "(", "h", ")", "."]}
{"id": "10971", "text": "(d)Upon the termination of Executives employment constituting a separation from service, as defined in Treasury Regulation 1.409A-1(h) , and resulting from an Event of Termination as defined in Section 4(a) or 4(b), if Executive elects continuation coverage pursuant to Section 4980B(f) of the Internal Revenue Code ( COBRA ), and, additionally, if, subsequent to the expiration of COBRA coverage, Executive purchases an individual policy with coverage substantially comparable to the coverage maintained by the Bank for all employees (hereinafter, individually or collectively, Continuation Coverage), provided that Executive has timely signed and delivered the Release Agreement to the Bank as specified in Section 4(c) above, and has not thereafter revoked the Release Agreement, and further provided that neither the Bank nor any of its affiliates will incur any penalty or additional tax for failing to comply with any applicable law, the Bank shall reimburse Executive in an amount equal to the monthly premium paid by Executive for such Continuation Coverage, less any applicable tax withholdings (Continuation Coverage Reimbursement Payments) for a period not to exceed twelve (12) months following the termination of Executives employment in the case of an Event of Termination as defined in Section 4(a). In the case of an Event of Termination as defined in Section 4(b), the payment period shall not exceed thirty-six (36) months.", "ner": [[18, 22, "Regulation"], [62, 64, "Act"], [66, 66, "Act"], [80, 80, "Act"], [122, 123, "Title"], [143, 144, "Title"]], "tokenized_text": ["(", "d", ")", "Upon", "the", "termination", "of", "Executives", "employment", "constituting", "a", "separation", "from", "service", ",", "as", "defined", "in", "Treasury", "Regulation", "1", ".", "409A-1", "(", "h", ")", ",", "and", "resulting", "from", "an", "Event", "of", "Termination", "as", "defined", "in", "Section", "4", "(", "a", ")", "or", "4", "(", "b", ")", ",", "if", "Executive", "elects", "continuation", "coverage", "pursuant", "to", "Section", "4980B", "(", "f", ")", "of", "the", "Internal", "Revenue", "Code", "(", "COBRA", ")", ",", "and", ",", "additionally", ",", "if", ",", "subsequent", "to", "the", "expiration", "of", "COBRA", "coverage", ",", "Executive", "purchases", "an", "individual", "policy", "with", "coverage", "substantially", "comparable", "to", "the", "coverage", "maintained", "by", "the", "Bank", "for", "all", "employees", "(", "hereinafter", ",", "individually", "or", "collectively", ",", "Continuation", "Coverage", ")", ",", "provided", "that", "Executive", "has", "timely", "signed", "and", "delivered", "the", "Release", "Agreement", "to", "the", "Bank", "as", "specified", "in", "Section", "4", "(", "c", ")", "above", ",", "and", "has", "not", "thereafter", "revoked", "the", "Release", "Agreement", ",", "and", "further", "provided", "that", "neither", "the", "Bank", "nor", "any", "of", "its", "affiliates", "will", "incur", "any", "penalty", "or", "additional", "tax", "for", "failing", "to", "comply", "with", "any", "applicable", "law", ",", "the", "Bank", "shall", "reimburse", "Executive", "in", "an", "amount", "equal", "to", "the", "monthly", "premium", "paid", "by", "Executive", "for", "such", "Continuation", "Coverage", ",", "less", "any", "applicable", "tax", "withholdings", "(", "Continuation", "Coverage", "Reimbursement", "Payments", ")", "for", "a", "period", "not", "to", "exceed", "twelve", "(", "12", ")", "months", "following", "the", "termination", "of", "Executives", "employment", "in", "the", "case", "of", "an", "Event", "of", "Termination", "as", "defined", "in", "Section", "4", "(", "a", ")", ".", "In", "the", "case", "of", "an", "Event", "of", "Termination", "as", "defined", "in", "Section", "4", "(", "b", ")", ",", "the", "payment", "period", "shall", "not", "exceed", "thirty-six", "(", "36", ")", "months", "."]}
{"id": "10972", "text": "Notwithstanding the foregoing, if the reimbursement of Executives Continuation Coverage payments hereunder would trigger the 20% tax and interest penalties under Section 409A of the Code, then the Continuation Coverage Reimbursement Payments shall not be provided, and in lieu thereof, the Bank shall pay to the Executive a lump sum cash amount equal to the cost to the Bank if the monthly Continuation Coverage Reimbursement Payments were made, provided that doing so will not cause the Bank or any of its affiliates to incur any penalty or additional tax for failure to comply with any applicable law.", "ner": [[16, 17, "Percentage"], [23, 24, "Regulation"]], "tokenized_text": ["Notwithstanding", "the", "foregoing", ",", "if", "the", "reimbursement", "of", "Executives", "Continuation", "Coverage", "payments", "hereunder", "would", "trigger", "the", "20", "%", "tax", "and", "interest", "penalties", "under", "Section", "409A", "of", "the", "Code", ",", "then", "the", "Continuation", "Coverage", "Reimbursement", "Payments", "shall", "not", "be", "provided", ",", "and", "in", "lieu", "thereof", ",", "the", "Bank", "shall", "pay", "to", "the", "Executive", "a", "lump", "sum", "cash", "amount", "equal", "to", "the", "cost", "to", "the", "Bank", "if", "the", "monthly", "Continuation", "Coverage", "Reimbursement", "Payments", "were", "made", ",", "provided", "that", "doing", "so", "will", "not", "cause", "the", "Bank", "or", "any", "of", "its", "affiliates", "to", "incur", "any", "penalty", "or", "additional", "tax", "for", "failure", "to", "comply", "with", "any", "applicable", "law", "."]}
{"id": "10973", "text": "| (i)| Engage or participate, directly or indirectly, either as principal, agent, employee, employer, consultant, director, shareholder (except as the holder of not more than two percent of the stock of any publicly traded corporation) or in any other individual or representative capacity whatsoever, in the operation, management or ownership of any state or federally chartered financial institution engaged in a business in direct competition with the business of the Bank (or any business proposed to be conducted by the Bank at the time of such termination of employment) within any of the counties within the State of Ohio , or any counties contiguous thereto, in which the Bank is operating a branch at the time of such termination of Executives employment; or ---|---|---", "ner": [[37, 38, "Percentage"], [113, 115, "Court"]], "tokenized_text": ["|", "(", "i", ")", "|", "Engage", "or", "participate", ",", "directly", "or", "indirectly", ",", "either", "as", "principal", ",", "agent", ",", "employee", ",", "employer", ",", "consultant", ",", "director", ",", "shareholder", "(", "except", "as", "the", "holder", "of", "not", "more", "than", "two", "percent", "of", "the", "stock", "of", "any", "publicly", "traded", "corporation", ")", "or", "in", "any", "other", "individual", "or", "representative", "capacity", "whatsoever", ",", "in", "the", "operation", ",", "management", "or", "ownership", "of", "any", "state", "or", "federally", "chartered", "financial", "institution", "engaged", "in", "a", "business", "in", "direct", "competition", "with", "the", "business", "of", "the", "Bank", "(", "or", "any", "business", "proposed", "to", "be", "conducted", "by", "the", "Bank", "at", "the", "time", "of", "such", "termination", "of", "employment", ")", "within", "any", "of", "the", "counties", "within", "the", "State", "of", "Ohio", ",", "or", "any", "counties", "contiguous", "thereto", ",", "in", "which", "the", "Bank", "is", "operating", "a", "branch", "at", "the", "time", "of", "such", "termination", "of", "Executives", "employment", ";", "or", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "10974", "text": "(b)If Executive is suspended from office and/or temporarily prohibited from participating in the conduct of the Bank's affairs by a notice served under Section 8(e)(3) ( 12 U.S.C. 1818 (e)(3)) or 8(g) ( 12 U.S.C. 1818 (g)) of the Federal Deposit Insurance Act ( the \" FDI Act \"), the Bank's obligations under this contract shall be suspended as of the date of service, unless stayed by appropriate proceedings. If the charges in the notice are dismissed, the Bank may in its discretion (i) pay the Executive all or part of the compensation withheld while their contract obligations were suspended and (ii) reinstate (in whole or in part) any of the obligations which were suspended.", "ner": [[74, 77, "Act"], [81, 82, "Act"]], "tokenized_text": ["(", "b", ")", "If", "Executive", "is", "suspended", "from", "office", "and", "/", "or", "temporarily", "prohibited", "from", "participating", "in", "the", "conduct", "of", "the", "Bank", "'", "s", "affairs", "by", "a", "notice", "served", "under", "Section", "8", "(", "e", ")", "(", "3", ")", "(", "12", "U", ".", "S", ".", "C", ".", "1818", "(", "e", ")", "(", "3", ")", ")", "or", "8", "(", "g", ")", "(", "12", "U", ".", "S", ".", "C", ".", "1818", "(", "g", ")", ")", "of", "the", "Federal", "Deposit", "Insurance", "Act", "(", "the", "\"", "FDI", "Act", "\"", ")", ",", "the", "Bank", "'", "s", "obligations", "under", "this", "contract", "shall", "be", "suspended", "as", "of", "the", "date", "of", "service", ",", "unless", "stayed", "by", "appropriate", "proceedings", ".", "If", "the", "charges", "in", "the", "notice", "are", "dismissed", ",", "the", "Bank", "may", "in", "its", "discretion", "(", "i", ")", "pay", "the", "Executive", "all", "or", "part", "of", "the", "compensation", "withheld", "while", "their", "contract", "obligations", "were", "suspended", "and", "(", "ii", ")", "reinstate", "(", "in", "whole", "or", "in", "part", ")", "any", "of", "the", "obligations", "which", "were", "suspended", "."]}
{"id": "10975", "text": "(c)If Executive is removed and/or permanently prohibited from participating in the conduct of the Bank's affairs by an order issued under Section 8(e) ( 12 U.S.C. 1818 (e)) or 8(g) ( 12 U.S.C. 1818 (g)) of the FDI Act , all obligations of the Bank under this contract shall terminate as of the effective date of the order, but vested rights of the contracting parties shall not be affected.", "ner": [[34, 41, "Regulation"], [66, 67, "Act"]], "tokenized_text": ["(", "c", ")", "If", "Executive", "is", "removed", "and", "/", "or", "permanently", "prohibited", "from", "participating", "in", "the", "conduct", "of", "the", "Bank", "'", "s", "affairs", "by", "an", "order", "issued", "under", "Section", "8", "(", "e", ")", "(", "12", "U", ".", "S", ".", "C", ".", "1818", "(", "e", ")", ")", "or", "8", "(", "g", ")", "(", "12", "U", ".", "S", ".", "C", ".", "1818", "(", "g", ")", ")", "of", "the", "FDI", "Act", ",", "all", "obligations", "of", "the", "Bank", "under", "this", "contract", "shall", "terminate", "as", "of", "the", "effective", "date", "of", "the", "order", ",", "but", "vested", "rights", "of", "the", "contracting", "parties", "shall", "not", "be", "affected", "."]}
{"id": "10976", "text": "(d)If the Bank is in default as defined in Section 3(x) ( 12 U.S.C. 1813 (x)(1)) of the FDI Act , all obligations of the Bank under this contract shall terminate as of the date of default, but this paragraph shall not affect any vested rights of the contracting parties.", "ner": [[12, 13, "Regulation"], [18, 25, "Regulation"], [35, 36, "Act"]], "tokenized_text": ["(", "d", ")", "If", "the", "Bank", "is", "in", "default", "as", "defined", "in", "Section", "3", "(", "x", ")", "(", "12", "U", ".", "S", ".", "C", ".", "1813", "(", "x", ")", "(", "1", ")", ")", "of", "the", "FDI", "Act", ",", "all", "obligations", "of", "the", "Bank", "under", "this", "contract", "shall", "terminate", "as", "of", "the", "date", "of", "default", ",", "but", "this", "paragraph", "shall", "not", "affect", "any", "vested", "rights", "of", "the", "contracting", "parties", "."]}
{"id": "10977", "text": "(f) FDIC Part 359 Limitations. Despite any contrary provision in this Agreement, any payments made to Executive under this Agreement, or otherwise, shall be subject to compliance with 12 U.S.C. 1828 and FDIC Regulations 12 CFR Part 359 , Golden Parachute Indemnification Payments, and any other regulations or guidance promulgated thereunder.", "ner": [[34, 41, "Regulation"], [45, 48, "Regulation"]], "tokenized_text": ["(", "f", ")", "FDIC", "Part", "359", "Limitations", ".", "Despite", "any", "contrary", "provision", "in", "this", "Agreement", ",", "any", "payments", "made", "to", "Executive", "under", "this", "Agreement", ",", "or", "otherwise", ",", "shall", "be", "subject", "to", "compliance", "with", "12", "U", ".", "S", ".", "C", ".", "1828", "and", "FDIC", "Regulations", "12", "CFR", "Part", "359", ",", "Golden", "Parachute", "Indemnification", "Payments", ",", "and", "any", "other", "regulations", "or", "guidance", "promulgated", "thereunder", "."]}
{"id": "10979", "text": "If any compensation or benefits provided by this Agreement may result in the application of Section 409A of the Code, the Bank shall, in consultation with the Executive, modify the Agreement in the least restrictive manner necessary in order to exclude such compensation from the definition of deferred compensation within the meaning of such Section 409A of the Code or in order to comply with the provisions of Section 409A of the Code, other applicable provision(s) of the Code and/or any rules, regulations or other regulatory guidance issued under such statutory provisions and without any diminution in the value of the payments to the Executive. Any payments that qualify for the short-term deferral exception under Treasury Regulation Section 1.409A-l(b)(4) , the separation pay exception under Treasury Regulation Section 1.409A-l(b)(9)(iii) or any other exception under Section 409A of the Code will be paid under the applicable exceptions to the greatest extent possible. Each payment under this Agreement shall be treated as a separate payment for purposes of Section 409A of the Code. Anything in this Agreement to the contrary notwithstanding, if at the time of the Executives separation from service within the meaning of Section 409A of the Code, the Executive is considered a Specified Employee within the meaning of Section 409A(a)(2) (B)(i) of the Code, and if any payment that the Executive becomes entitled to under this Agreement is considered deferred compensation subject to interest, penalties and additional tax imposed pursuant to Section 409A of the Code as a result of the application of Section 409A(a)(2) (B)(i) of the Code, then no such payment shall be payable prior to the date that is the earlier of (i) six months and one day the Executives separation from service or (ii) the Executive's death.", "ner": [[15, 16, "Regulation"], [126, 134, "Regulation"]], "tokenized_text": ["If", "any", "compensation", "or", "benefits", "provided", "by", "this", "Agreement", "may", "result", "in", "the", "application", "of", "Section", "409A", "of", "the", "Code", ",", "the", "Bank", "shall", ",", "in", "consultation", "with", "the", "Executive", ",", "modify", "the", "Agreement", "in", "the", "least", "restrictive", "manner", "necessary", "in", "order", "to", "exclude", "such", "compensation", "from", "the", "definition", "of", "deferred", "compensation", "within", "the", "meaning", "of", "such", "Section", "409A", "of", "the", "Code", "or", "in", "order", "to", "comply", "with", "the", "provisions", "of", "Section", "409A", "of", "the", "Code", ",", "other", "applicable", "provision", "(", "s", ")", "of", "the", "Code", "and", "/", "or", "any", "rules", ",", "regulations", "or", "other", "regulatory", "guidance", "issued", "under", "such", "statutory", "provisions", "and", "without", "any", "diminution", "in", "the", "value", "of", "the", "payments", "to", "the", "Executive", ".", "Any", "payments", "that", "qualify", "for", "the", "short-term", "deferral", "exception", "under", "Treasury", "Regulation", "Section", "1", ".", "409A-l", "(", "b", ")", "(", "4", ")", ",", "the", "separation", "pay", "exception", "under", "Treasury", "Regulation", "Section", "1", ".", "409A-l", "(", "b", ")", "(", "9", ")", "(", "iii", ")", "or", "any", "other", "exception", "under", "Section", "409A", "of", "the", "Code", "will", "be", "paid", "under", "the", "applicable", "exceptions", "to", "the", "greatest", "extent", "possible", ".", "Each", "payment", "under", "this", "Agreement", "shall", "be", "treated", "as", "a", "separate", "payment", "for", "purposes", "of", "Section", "409A", "of", "the", "Code", ".", "Anything", "in", "this", "Agreement", "to", "the", "contrary", "notwithstanding", ",", "if", "at", "the", "time", "of", "the", "Executives", "separation", "from", "service", "within", "the", "meaning", "of", "Section", "409A", "of", "the", "Code", ",", "the", "Executive", "is", "considered", "a", "Specified", "Employee", "within", "the", "meaning", "of", "Section", "409A", "(", "a", ")", "(", "2", ")", "(", "B", ")", "(", "i", ")", "of", "the", "Code", ",", "and", "if", "any", "payment", "that", "the", "Executive", "becomes", "entitled", "to", "under", "this", "Agreement", "is", "considered", "deferred", "compensation", "subject", "to", "interest", ",", "penalties", "and", "additional", "tax", "imposed", "pursuant", "to", "Section", "409A", "of", "the", "Code", "as", "a", "result", "of", "the", "application", "of", "Section", "409A", "(", "a", ")", "(", "2", ")", "(", "B", ")", "(", "i", ")", "of", "the", "Code", ",", "then", "no", "such", "payment", "shall", "be", "payable", "prior", "to", "the", "date", "that", "is", "the", "earlier", "of", "(", "i", ")", "six", "months", "and", "one", "day", "the", "Executives", "separation", "from", "service", "or", "(", "ii", ")", "the", "Executive", "'", "s", "death", "."]}
{"id": "10980", "text": "The Bank and the Executive intend that their exercise of authority or discretion under this Agreement shall comply with Section 409A of the Internal Revenue Code of 1986 and all other applicable laws. No interpretation of this Agreement which does not satisfy the requirements of Section 409A shall be applied; instead, such provision shall be applied in a manner consistent with those requirements despite any contrary provision of this Agreement. If any provision of this Agreement would subject Executive to additional tax or interest under Section 409A, the Bank shall reform the provision, maintaining to the maximum extent practicable the original intent of the applicable provision if it can do so without incurring any additional compensation expense, tax or penalties as a result of the reformed provision. References in this Agreement to Section 409A of the Internal Revenue Code of 1986 include rules, regulations, and guidance of general application issued by the Department of the Treasury under Internal Revenue Code Section 409A.", "ner": [[19, 20, "Regulation"], [23, 27, "Act"], [144, 146, "Act"], [167, 169, "Act"], [170, 171, "Regulation"]], "tokenized_text": ["The", "Bank", "and", "the", "Executive", "intend", "that", "their", "exercise", "of", "authority", "or", "discretion", "under", "this", "Agreement", "shall", "comply", "with", "Section", "409A", "of", "the", "Internal", "Revenue", "Code", "of", "1986", "and", "all", "other", "applicable", "laws", ".", "No", "interpretation", "of", "this", "Agreement", "which", "does", "not", "satisfy", "the", "requirements", "of", "Section", "409A", "shall", "be", "applied", ";", "instead", ",", "such", "provision", "shall", "be", "applied", "in", "a", "manner", "consistent", "with", "those", "requirements", "despite", "any", "contrary", "provision", "of", "this", "Agreement", ".", "If", "any", "provision", "of", "this", "Agreement", "would", "subject", "Executive", "to", "additional", "tax", "or", "interest", "under", "Section", "409A", ",", "the", "Bank", "shall", "reform", "the", "provision", ",", "maintaining", "to", "the", "maximum", "extent", "practicable", "the", "original", "intent", "of", "the", "applicable", "provision", "if", "it", "can", "do", "so", "without", "incurring", "any", "additional", "compensation", "expense", ",", "tax", "or", "penalties", "as", "a", "result", "of", "the", "reformed", "provision", ".", "References", "in", "this", "Agreement", "to", "Section", "409A", "of", "the", "Internal", "Revenue", "Code", "of", "1986", "include", "rules", ",", "regulations", ",", "and", "guidance", "of", "general", "application", "issued", "by", "the", "Department", "of", "the", "Treasury", "under", "Internal", "Revenue", "Code", "Section", "409A", "."]}
{"id": "10981", "text": "| | | ---|---|---|--- ATTEST: | | WAYNE SAVINGS COMMUNITY BANK | | | | | | | | | /s/ Tara R. Snyder | | By: | /s/Peggy J. Schmitz Secretary | | | Peggy J. Schmitz, Chair | | | Board of Directors | | | | | | WITNESS: | | : | | | | | | | | | | /s/ David L. Lehman | | /s/ James R. VanSickle , II | | | James R. VanSickle , II", "ner": [[22, 25, "Parties"], [38, 41, "Parties"], [50, 53, "Parties"], [94, 97, "Parties"], [103, 108, "Parties"]], "tokenized_text": ["|", "|", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "ATTEST", ":", "|", "|", "WAYNE", "SAVINGS", "COMMUNITY", "BANK", "|", "|", "|", "|", "|", "|", "|", "|", "|", "/", "s", "/", "Tara", "R", ".", "Snyder", "|", "|", "By", ":", "|", "/", "s", "/", "Peggy", "J", ".", "Schmitz", "Secretary", "|", "|", "|", "Peggy", "J", ".", "Schmitz", ",", "Chair", "|", "|", "|", "Board", "of", "Directors", "|", "|", "|", "|", "|", "|", "WITNESS", ":", "|", "|", ":", "|", "|", "|", "|", "|", "|", "|", "|", "|", "|", "/", "s", "/", "David", "L", ".", "Lehman", "|", "|", "/", "s", "/", "James", "R", ".", "VanSickle", ",", "II", "|", "|", "|", "James", "R", ".", "VanSickle", ",", "II"]}
{"id": "10982", "text": "This EMPLOYMENT AGREEMENT (the Agreement) is entered into on October 12, 2017 , by and between OPTINOSE US, INC. , a Delaware corporation (the Company), and Peter K. Miller (Executive).", "ner": [[1, 2, "Title"], [11, 14, "EffectiveDate"], [19, 23, "Parties"], [34, 37, "Parties"]], "tokenized_text": ["This", "EMPLOYMENT", "AGREEMENT", "(", "the", "Agreement", ")", "is", "entered", "into", "on", "October", "12", ",", "2017", ",", "by", "and", "between", "OPTINOSE", "US", ",", "INC", ".", ",", "a", "Delaware", "corporation", "(", "the", "Company", ")", ",", "and", "Peter", "K", ".", "Miller", "(", "Executive", ")", "."]}
{"id": "10984", "text": "1. Term. Subject to the terms and provisions of this Agreement, this Agreement shall be effective upon the closing of the OptiNose, Inc. initial public offering of its common stock, and shall continue until Executives employment with the Company is terminated by the Company or by Executive. At all times, Executives employment with the Company is at-will, which means that Executives employment with the Company may be terminated at any time by the Company with or without Cause or by Executive with or without Good Reason (as each such term is defined below).", "ner": [[24, 27, "Parties"]], "tokenized_text": ["1", ".", "Term", ".", "Subject", "to", "the", "terms", "and", "provisions", "of", "this", "Agreement", ",", "this", "Agreement", "shall", "be", "effective", "upon", "the", "closing", "of", "the", "OptiNose", ",", "Inc", ".", "initial", "public", "offering", "of", "its", "common", "stock", ",", "and", "shall", "continue", "until", "Executives", "employment", "with", "the", "Company", "is", "terminated", "by", "the", "Company", "or", "by", "Executive", ".", "At", "all", "times", ",", "Executives", "employment", "with", "the", "Company", "is", "at-will", ",", "which", "means", "that", "Executives", "employment", "with", "the", "Company", "may", "be", "terminated", "at", "any", "time", "by", "the", "Company", "with", "or", "without", "Cause", "or", "by", "Executive", "with", "or", "without", "Good", "Reason", "(", "as", "each", "such", "term", "is", "defined", "below", ")", "."]}
{"id": "10985", "text": "2. Title, Duties and Responsibilities. While Executive is employed by the Company, Executive will serve as the Chief Executive Officer of OptiNose, Inc. and will report to the Board of Directors of OptiNose, Inc. Executive will have such duties and responsibilities that are commensurate with Executives position and such other duties and responsibilities as are from time to time assigned to Executive by the Board of Directors of the OptiNose, Inc. (the Board). While Executive is employed by the Company, Executive will devote Executives full business time, energy and skill to the performance of Executives duties and responsibilities hereunder; provided, however, that Executive will be permitted to: (a) act as a strategic consultant for the Walgreen Company and its affiliates, and (b) serve on the board of directors of Actua Corporation. Executive shall also be permitted to devote a reasonable amount of time either during or after business hours to Outside Activities (as defined below), so long as such activities (i) do not prohibit or interfere with Executives performance of Executives duties under this Agreement, (ii) do not conflict with the business of the Company or violate any of the provisions of Section 8 herein and (iii) are approved in advance in writing by the Nominating and Corporate Governance Committee (which consent shall not be unreasonably withheld). For purposes of this Agreement, Outside Activities shall include the oversight of passive investments and activities involving professional, charitable, education, religious and other organizations (including membership on boards of for-profit and non-profit organizations). Executive shall, if requested by the Board, also serve as an officer or director of any affiliate of", "ner": [[21, 23, "Role"], [25, 28, "Parties"], [38, 41, "Parties"], [77, 80, "Parties"], [136, 137, "Parties"], [153, 154, "Parties"]], "tokenized_text": ["2", ".", "Title", ",", "Duties", "and", "Responsibilities", ".", "While", "Executive", "is", "employed", "by", "the", "Company", ",", "Executive", "will", "serve", "as", "the", "Chief", "Executive", "Officer", "of", "OptiNose", ",", "Inc", ".", "and", "will", "report", "to", "the", "Board", "of", "Directors", "of", "OptiNose", ",", "Inc", ".", "Executive", "will", "have", "such", "duties", "and", "responsibilities", "that", "are", "commensurate", "with", "Executives", "position", "and", "such", "other", "duties", "and", "responsibilities", "as", "are", "from", "time", "to", "time", "assigned", "to", "Executive", "by", "the", "Board", "of", "Directors", "of", "the", "OptiNose", ",", "Inc", ".", "(", "the", "Board", ")", ".", "While", "Executive", "is", "employed", "by", "the", "Company", ",", "Executive", "will", "devote", "Executives", "full", "business", "time", ",", "energy", "and", "skill", "to", "the", "performance", "of", "Executives", "duties", "and", "responsibilities", "hereunder", ";", "provided", ",", "however", ",", "that", "Executive", "will", "be", "permitted", "to", ":", "(", "a", ")", "act", "as", "a", "strategic", "consultant", "for", "the", "Walgreen", "Company", "and", "its", "affiliates", ",", "and", "(", "b", ")", "serve", "on", "the", "board", "of", "directors", "of", "Actua", "Corporation", ".", "Executive", "shall", "also", "be", "permitted", "to", "devote", "a", "reasonable", "amount", "of", "time", "either", "during", "or", "after", "business", "hours", "to", "Outside", "Activities", "(", "as", "defined", "below", ")", ",", "so", "long", "as", "such", "activities", "(", "i", ")", "do", "not", "prohibit", "or", "interfere", "with", "Executives", "performance", "of", "Executives", "duties", "under", "this", "Agreement", ",", "(", "ii", ")", "do", "not", "conflict", "with", "the", "business", "of", "the", "Company", "or", "violate", "any", "of", "the", "provisions", "of", "Section", "8", "herein", "and", "(", "iii", ")", "are", "approved", "in", "advance", "in", "writing", "by", "the", "Nominating", "and", "Corporate", "Governance", "Committee", "(", "which", "consent", "shall", "not", "be", "unreasonably", "withheld", ")", ".", "For", "purposes", "of", "this", "Agreement", ",", "Outside", "Activities", "shall", "include", "the", "oversight", "of", "passive", "investments", "and", "activities", "involving", "professional", ",", "charitable", ",", "education", ",", "religious", "and", "other", "organizations", "(", "including", "membership", "on", "boards", "of", "for-profit", "and", "non-profit", "organizations", ")", ".", "Executive", "shall", ",", "if", "requested", "by", "the", "Board", ",", "also", "serve", "as", "an", "officer", "or", "director", "of", "any", "affiliate", "of"]}
{"id": "10987", "text": "(a) Discretionary Bonus. Executive will be eligible to receive an annual target cash bonus of 60% of Executives Base Salary (the Target Annual Bonus) (pro-rated for any portion of a year during which Executive is not employed by the Company) at the discretion of the Board or the Compensation Committee and contingent upon attainment of certain Company milestones and/or individual objectives as determined by the Board or the Compensation Committee. The actual annual bonus payable for any given year, if any, may be higher or lower than the Target Annual Bonus. Payment of such bonus is contingent upon continued employment with the Company at the time of payment unless otherwise specified herein or in the terms pursuant to which such bonus is granted. Executives Target Annual Bonus shall be reviewed periodically for potential increases pursuant to Company review policies applicable to senior executives by Compensation Committee or the Board.", "ner": [[18, 19, "Percentage"]], "tokenized_text": ["(", "a", ")", "Discretionary", "Bonus", ".", "Executive", "will", "be", "eligible", "to", "receive", "an", "annual", "target", "cash", "bonus", "of", "60", "%", "of", "Executives", "Base", "Salary", "(", "the", "Target", "Annual", "Bonus", ")", "(", "pro-rated", "for", "any", "portion", "of", "a", "year", "during", "which", "Executive", "is", "not", "employed", "by", "the", "Company", ")", "at", "the", "discretion", "of", "the", "Board", "or", "the", "Compensation", "Committee", "and", "contingent", "upon", "attainment", "of", "certain", "Company", "milestones", "and", "/", "or", "individual", "objectives", "as", "determined", "by", "the", "Board", "or", "the", "Compensation", "Committee", ".", "The", "actual", "annual", "bonus", "payable", "for", "any", "given", "year", ",", "if", "any", ",", "may", "be", "higher", "or", "lower", "than", "the", "Target", "Annual", "Bonus", ".", "Payment", "of", "such", "bonus", "is", "contingent", "upon", "continued", "employment", "with", "the", "Company", "at", "the", "time", "of", "payment", "unless", "otherwise", "specified", "herein", "or", "in", "the", "terms", "pursuant", "to", "which", "such", "bonus", "is", "granted", ".", "Executives", "Target", "Annual", "Bonus", "shall", "be", "reviewed", "periodically", "for", "potential", "increases", "pursuant", "to", "Company", "review", "policies", "applicable", "to", "senior", "executives", "by", "Compensation", "Committee", "or", "the", "Board", "."]}
{"id": "10989", "text": "Good Reason shall mean, without Executives prior written consent, (i) a material diminution in Executives position or duties, authority or responsibilities including, without limitation, Executive ceasing to be an executive officer (as defined under Rule 3b-7 of the Securities Exchange Act of 1934 , as amended (the Exchange Act )) of a company with a class of securities registered under Section 12(b) of the Exchange Act ; ( ii) the assignment to Executive of any duties materially inconsistent with the duties and responsibilities of Chief Executive Officer , (iii) a reduction by the Company in Executives then-current Base Salary or Executives then-current Target Annual Bonus unless the salaries and target annual bonuses for all other senior executive officers are correspondingly and proportionately reduced by not greater than 15% and such reduction continues for no more than 12 months; (iv) Executives relocation to offices of the Company that are more than fifty (50) miles from the Companys offices in Yardley, Pennsylvania; or (v) any action or inaction that constitutes a material breach of this Agreement by the Company. In order to invoke a termination for Good Reason, Executive must deliver a written notice of the grounds for such termination within thirty (30) days of the initial existence of the event giving rise to Good Reason and the Company shall have thirty (30) days to cure the circumstances. In order to terminate Executives employment, if at all, for Good Reason, Executive must terminate employment within sixty (60) days following the end of the cure period if the circumstances giving rise to Good Reason have not been cured.", "ner": [[0, 1, "Parties"], [42, 43, "Regulation"], [46, 50, "Act"], [70, 74, "Regulation"], [98, 100, "Role"], [143, 144, "Percentage"], [180, 182, "Address"], [227, 231, "TerminationDate"]], "tokenized_text": ["Good", "Reason", "shall", "mean", ",", "without", "Executives", "prior", "written", "consent", ",", "(", "i", ")", "a", "material", "diminution", "in", "Executives", "position", "or", "duties", ",", "authority", "or", "responsibilities", "including", ",", "without", "limitation", ",", "Executive", "ceasing", "to", "be", "an", "executive", "officer", "(", "as", "defined", "under", "Rule", "3b-7", "of", "the", "Securities", "Exchange", "Act", "of", "1934", ",", "as", "amended", "(", "the", "Exchange", "Act", ")", ")", "of", "a", "company", "with", "a", "class", "of", "securities", "registered", "under", "Section", "12", "(", "b", ")", "of", "the", "Exchange", "Act", ";", "(", "ii", ")", "the", "assignment", "to", "Executive", "of", "any", "duties", "materially", "inconsistent", "with", "the", "duties", "and", "responsibilities", "of", "Chief", "Executive", "Officer", ",", "(", "iii", ")", "a", "reduction", "by", "the", "Company", "in", "Executives", "then-current", "Base", "Salary", "or", "Executives", "then-current", "Target", "Annual", "Bonus", "unless", "the", "salaries", "and", "target", "annual", "bonuses", "for", "all", "other", "senior", "executive", "officers", "are", "correspondingly", "and", "proportionately", "reduced", "by", "not", "greater", "than", "15", "%", "and", "such", "reduction", "continues", "for", "no", "more", "than", "12", "months", ";", "(", "iv", ")", "Executives", "relocation", "to", "offices", "of", "the", "Company", "that", "are", "more", "than", "fifty", "(", "50", ")", "miles", "from", "the", "Companys", "offices", "in", "Yardley", ",", "Pennsylvania", ";", "or", "(", "v", ")", "any", "action", "or", "inaction", "that", "constitutes", "a", "material", "breach", "of", "this", "Agreement", "by", "the", "Company", ".", "In", "order", "to", "invoke", "a", "termination", "for", "Good", "Reason", ",", "Executive", "must", "deliver", "a", "written", "notice", "of", "the", "grounds", "for", "such", "termination", "within", "thirty", "(", "30", ")", "days", "of", "the", "initial", "existence", "of", "the", "event", "giving", "rise", "to", "Good", "Reason", "and", "the", "Company", "shall", "have", "thirty", "(", "30", ")", "days", "to", "cure", "the", "circumstances", ".", "In", "order", "to", "terminate", "Executives", "employment", ",", "if", "at", "all", ",", "for", "Good", "Reason", ",", "Executive", "must", "terminate", "employment", "within", "sixty", "(", "60", ")", "days", "following", "the", "end", "of", "the", "cure", "period", "if", "the", "circumstances", "giving", "rise", "to", "Good", "Reason", "have", "not", "been", "cured", "."]}
{"id": "10991", "text": "(ii) provided Executive and his eligible dependents timely and properly elect to continue health care coverage under COBRA , continued participation by Executive and Executives eligible dependents in the standard group medical, dental and vision plans of the Company as in effect from time to time, on substantially the same terms and conditions as such benefits are provided to employees during the applicable period, and reimbursement by the Company of the monthly COBRA premium paid by Executive for him and his eligible dependents for eighteen (18) months or, if earlier, until the date Executive is no longer eligible to receive COBRA continuation coverage; provided, however, in the event the Company determines that such provisions would subject Executive to taxation under Section 105(h) of the Code, or otherwise violate any healthcare law or regulation, then, in lieu of reimbursing Executive, the Company shall pay to Executive the amount Executive would be required to pay for continuation of group health coverage for Executive and his eligible dependents through an election under COBRA for eighteen (18) months, which amount shall be paid in a lump sum at the same time payments under Section 5(f)(i) commence and is intended to assist Executive with costs of health coverage, which Executive may (but is not required to) obtain through an election to continue health care coverage under COBRA ; and", "ner": [[19, 19, "Act"], [77, 77, "Act"], [109, 109, "Act"], [188, 188, "Act"], [211, 215, "Regulation"], [252, 252, "Act"]], "tokenized_text": ["(", "ii", ")", "provided", "Executive", "and", "his", "eligible", "dependents", "timely", "and", "properly", "elect", "to", "continue", "health", "care", "coverage", "under", "COBRA", ",", "continued", "participation", "by", "Executive", "and", "Executives", "eligible", "dependents", "in", "the", "standard", "group", "medical", ",", "dental", "and", "vision", "plans", "of", "the", "Company", "as", "in", "effect", "from", "time", "to", "time", ",", "on", "substantially", "the", "same", "terms", "and", "conditions", "as", "such", "benefits", "are", "provided", "to", "employees", "during", "the", "applicable", "period", ",", "and", "reimbursement", "by", "the", "Company", "of", "the", "monthly", "COBRA", "premium", "paid", "by", "Executive", "for", "him", "and", "his", "eligible", "dependents", "for", "eighteen", "(", "18", ")", "months", "or", ",", "if", "earlier", ",", "until", "the", "date", "Executive", "is", "no", "longer", "eligible", "to", "receive", "COBRA", "continuation", "coverage", ";", "provided", ",", "however", ",", "in", "the", "event", "the", "Company", "determines", "that", "such", "provisions", "would", "subject", "Executive", "to", "taxation", "under", "Section", "105", "(", "h", ")", "of", "the", "Code", ",", "or", "otherwise", "violate", "any", "healthcare", "law", "or", "regulation", ",", "then", ",", "in", "lieu", "of", "reimbursing", "Executive", ",", "the", "Company", "shall", "pay", "to", "Executive", "the", "amount", "Executive", "would", "be", "required", "to", "pay", "for", "continuation", "of", "group", "health", "coverage", "for", "Executive", "and", "his", "eligible", "dependents", "through", "an", "election", "under", "COBRA", "for", "eighteen", "(", "18", ")", "months", ",", "which", "amount", "shall", "be", "paid", "in", "a", "lump", "sum", "at", "the", "same", "time", "payments", "under", "Section", "5", "(", "f", ")", "(", "i", ")", "commence", "and", "is", "intended", "to", "assist", "Executive", "with", "costs", "of", "health", "coverage", ",", "which", "Executive", "may", "(", "but", "is", "not", "required", "to", ")", "obtain", "through", "an", "election", "to", "continue", "health", "care", "coverage", "under", "COBRA", ";", "and"]}
{"id": "10993", "text": "13. Governing Law. This Agreement and any other document or instrument delivered pursuant hereto, and all claims or causes of action that may be based upon, arise out of or relate to this Agreement will be governed by, and construed under and in accordance with, the internal laws of the State of Delaware , without reference to rules relating to conflicts of laws.", "ner": [[56, 58, "Court"]], "tokenized_text": ["13", ".", "Governing", "Law", ".", "This", "Agreement", "and", "any", "other", "document", "or", "instrument", "delivered", "pursuant", "hereto", ",", "and", "all", "claims", "or", "causes", "of", "action", "that", "may", "be", "based", "upon", ",", "arise", "out", "of", "or", "relate", "to", "this", "Agreement", "will", "be", "governed", "by", ",", "and", "construed", "under", "and", "in", "accordance", "with", ",", "the", "internal", "laws", "of", "the", "State", "of", "Delaware", ",", "without", "reference", "to", "rules", "relating", "to", "conflicts", "of", "laws", "."]}
{"id": "10995", "text": "(b) Each payment under this Agreement, including each installment payment, shall be considered a separate and distinct payment. For purposes of this Agreement, each payment is intended to be excepted from Section 409A to the maximum extent provided as follows: (i) each payment made within the applicable 2 month period specified in Treas. Reg. 1.409A-1(b)(4) is intended to be excepted under the short-term deferral exception; (ii) post- termination medical benefits are intended to be excepted under the medical benefits exception as specified in Treas. Reg. 1.409A-1(b)(9) (v)(B); and (iii) to the extent payments are made as a result of an involuntary separation, each payment that is not otherwise excepted under the short-term deferral exception or medical benefits exception is intended to be excepted under the involuntary pay exception as specified in Treas. Reg. 1.409A-1(b)(9)(iii). With respect to payments subject to Section 409A (and not excepted therefrom), if any, it is intended that each payment is paid on a permissible distribution event and at a specified time consistent with Section 409A. Neither the Company nor Executive shall have the right to accelerate or defer the delivery of any such payments or benefits except to the extent specifically permitted or required by Section 409A. Executive shall have no right to designate the date or any payment under this Agreement.", "ner": [[37, 38, "Regulation"], [61, 67, "Regulation"], [106, 112, "Regulation"], [173, 179, "Regulation"]], "tokenized_text": ["(", "b", ")", "Each", "payment", "under", "this", "Agreement", ",", "including", "each", "installment", "payment", ",", "shall", "be", "considered", "a", "separate", "and", "distinct", "payment", ".", "For", "purposes", "of", "this", "Agreement", ",", "each", "payment", "is", "intended", "to", "be", "excepted", "from", "Section", "409A", "to", "the", "maximum", "extent", "provided", "as", "follows", ":", "(", "i", ")", "each", "payment", "made", "within", "the", "applicable", "2", "month", "period", "specified", "in", "Treas", ".", "Reg", ".", "1", ".", "409A-1", "(", "b", ")", "(", "4", ")", "is", "intended", "to", "be", "excepted", "under", "the", "short-term", "deferral", "exception", ";", "(", "ii", ")", "post", "-", "termination", "medical", "benefits", "are", "intended", "to", "be", "excepted", "under", "the", "medical", "benefits", "exception", "as", "specified", "in", "Treas", ".", "Reg", ".", "1", ".", "409A-1", "(", "b", ")", "(", "9", ")", "(", "v", ")", "(", "B", ")", ";", "and", "(", "iii", ")", "to", "the", "extent", "payments", "are", "made", "as", "a", "result", "of", "an", "involuntary", "separation", ",", "each", "payment", "that", "is", "not", "otherwise", "excepted", "under", "the", "short-term", "deferral", "exception", "or", "medical", "benefits", "exception", "is", "intended", "to", "be", "excepted", "under", "the", "involuntary", "pay", "exception", "as", "specified", "in", "Treas", ".", "Reg", ".", "1", ".", "409A-1", "(", "b", ")", "(", "9", ")", "(", "iii", ")", ".", "With", "respect", "to", "payments", "subject", "to", "Section", "409A", "(", "and", "not", "excepted", "therefrom", ")", ",", "if", "any", ",", "it", "is", "intended", "that", "each", "payment", "is", "paid", "on", "a", "permissible", "distribution", "event", "and", "at", "a", "specified", "time", "consistent", "with", "Section", "409A", ".", "Neither", "the", "Company", "nor", "Executive", "shall", "have", "the", "right", "to", "accelerate", "or", "defer", "the", "delivery", "of", "any", "such", "payments", "or", "benefits", "except", "to", "the", "extent", "specifically", "permitted", "or", "required", "by", "Section", "409A", ".", "Executive", "shall", "have", "no", "right", "to", "designate", "the", "date", "or", "any", "payment", "under", "this", "Agreement", "."]}
{"id": "10997", "text": "/s/ Peter K. Miller", "ner": [[3, 6, "Parties"]], "tokenized_text": ["/", "s", "/", "Peter", "K", ".", "Miller"]}
{"id": "11002", "text": "WHEREAS, Executive is currently employed by Company as its Chief Operating Officer , pursuant to the terms of that certain offer letter dated February23, 2016 (the Offer Letter);", "ner": [[10, 12, "Role"], [24, 26, "EffectiveDate"]], "tokenized_text": ["WHEREAS", ",", "Executive", "is", "currently", "employed", "by", "Company", "as", "its", "Chief", "Operating", "Officer", ",", "pursuant", "to", "the", "terms", "of", "that", "certain", "offer", "letter", "dated", "February23", ",", "2016", "(", "the", "Offer", "Letter", ")", ";"]}
{"id": "11003", "text": "1\\. Roles and Duties. Subject to the terms and conditions of this Agreement, Company shall employ Executive as its Chief Operating Officer reporting to Companys Chief Executive Officer (CEO). The Executive shall have such duties and responsibilities as are reasonably determined by the Board of Directors and are consistent with the duties customarily performed by a Chief Operating Officer of a similarly situated company in the United States. Executive accepts such employment upon the terms and conditions set forth herein, and agrees to perform such duties and discharge such responsibilities to the best of Executives ability. During Executives employment, Executive shall devote all of Executives business time and energies to the business and affairs of Company. Notwithstanding the foregoing, nothing herein shall preclude Executive from (i)performing services for such other companies as Company may designate or permit; (ii)serving, with the prior written consent of the Board, which consent shall not be unreasonably withheld, as a member of the boards of directors or advisory boards (or their equivalents in the case of a non-corporate entity) of non-competing businesses or charitable, educational or civic organizations; (iii)engaging in charitable activities and community affairs; and (iv)managing Executives personal investments and affairs; provided, however, that the activities set out in clauses (i), (ii), (iii)and (iv)shall be limited by Executive so as not to materially interfere, individually or in the aggregate, with the performance of Executives duties and responsibilities hereunder.", "ner": [[23, 25, "Role"], [29, 31, "Role"], [33, 33, "Role"], [63, 65, "Role"]], "tokenized_text": ["1", "\\", ".", "Roles", "and", "Duties", ".", "Subject", "to", "the", "terms", "and", "conditions", "of", "this", "Agreement", ",", "Company", "shall", "employ", "Executive", "as", "its", "Chief", "Operating", "Officer", "reporting", "to", "Companys", "Chief", "Executive", "Officer", "(", "CEO", ")", ".", "The", "Executive", "shall", "have", "such", "duties", "and", "responsibilities", "as", "are", "reasonably", "determined", "by", "the", "Board", "of", "Directors", "and", "are", "consistent", "with", "the", "duties", "customarily", "performed", "by", "a", "Chief", "Operating", "Officer", "of", "a", "similarly", "situated", "company", "in", "the", "United", "States", ".", "Executive", "accepts", "such", "employment", "upon", "the", "terms", "and", "conditions", "set", "forth", "herein", ",", "and", "agrees", "to", "perform", "such", "duties", "and", "discharge", "such", "responsibilities", "to", "the", "best", "of", "Executives", "ability", ".", "During", "Executives", "employment", ",", "Executive", "shall", "devote", "all", "of", "Executives", "business", "time", "and", "energies", "to", "the", "business", "and", "affairs", "of", "Company", ".", "Notwithstanding", "the", "foregoing", ",", "nothing", "herein", "shall", "preclude", "Executive", "from", "(", "i", ")", "performing", "services", "for", "such", "other", "companies", "as", "Company", "may", "designate", "or", "permit", ";", "(", "ii", ")", "serving", ",", "with", "the", "prior", "written", "consent", "of", "the", "Board", ",", "which", "consent", "shall", "not", "be", "unreasonably", "withheld", ",", "as", "a", "member", "of", "the", "boards", "of", "directors", "or", "advisory", "boards", "(", "or", "their", "equivalents", "in", "the", "case", "of", "a", "non-corporate", "entity", ")", "of", "non-competing", "businesses", "or", "charitable", ",", "educational", "or", "civic", "organizations", ";", "(", "iii", ")", "engaging", "in", "charitable", "activities", "and", "community", "affairs", ";", "and", "(", "iv", ")", "managing", "Executives", "personal", "investments", "and", "affairs", ";", "provided", ",", "however", ",", "that", "the", "activities", "set", "out", "in", "clauses", "(", "i", ")", ",", "(", "ii", ")", ",", "(", "iii", ")", "and", "(", "iv", ")", "shall", "be", "limited", "by", "Executive", "so", "as", "not", "to", "materially", "interfere", ",", "individually", "or", "in", "the", "aggregate", ",", "with", "the", "performance", "of", "Executives", "duties", "and", "responsibilities", "hereunder", "."]}
{"id": "11004", "text": "| 3. | Compensation. ---|---|--- (a) Base Salary. Company shall pay Executive a base salary (the Base Salary) at the annual rate of Three Hundred Forty-Five Thousand Dollars ( $345,000 ) . The Base Salary shall be payable in substantially equal periodic installments in accordance with Companys payroll practices as in effect from time to time. Company shall deduct from each such installment all amounts required to be deducted or withheld under applicable law or under any employee benefit plan in which Executive participates. The Board or an appropriate committee thereof shall, on an annual basis, review the Base Salary, which may be adjusted upward (but not downward) at Companys discretion.", "ner": [[46, 49, "Salary"]], "tokenized_text": ["|", "3", ".", "|", "Compensation", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "(", "a", ")", "Base", "Salary", ".", "Company", "shall", "pay", "Executive", "a", "base", "salary", "(", "the", "Base", "Salary", ")", "at", "the", "annual", "rate", "of", "Three", "Hundred", "Forty-Five", "Thousand", "Dollars", "(", "$", "345", ",", "000", ")", ".", "The", "Base", "Salary", "shall", "be", "payable", "in", "substantially", "equal", "periodic", "installments", "in", "accordance", "with", "Companys", "payroll", "practices", "as", "in", "effect", "from", "time", "to", "time", ".", "Company", "shall", "deduct", "from", "each", "such", "installment", "all", "amounts", "required", "to", "be", "deducted", "or", "withheld", "under", "applicable", "law", "or", "under", "any", "employee", "benefit", "plan", "in", "which", "Executive", "participates", ".", "The", "Board", "or", "an", "appropriate", "committee", "thereof", "shall", ",", "on", "an", "annual", "basis", ",", "review", "the", "Base", "Salary", ",", "which", "may", "be", "adjusted", "upward", "(", "but", "not", "downward", ")", "at", "Companys", "discretion", "."]}
{"id": "11005", "text": "(b) Annual Performance Bonus. Executive shall be eligible to receive an annual cash bonus (the Annual Performance Bonus), with the target amount of such Annual Performance Bonus equal to thirty percent ( 30% )of Executives Base Salary in the year to which the Annual Performance Bonus relates; provided that the actual amount of the Annual Performance Bonus may be greater or less than such target amount. The amount of the Annual Performance Bonus shall be determined by the Board of Directors or an appropriate committee thereof in its sole discretion, and shall be paid to Executive no later than March15th of the calendar year immediately following the calendar year in which it was earned. Except as provided in Section4, Executive must be employed by Company on the last day of the applicable fiscal year to which the Annual Performance Bonus relates in order to be eligible for, and to be deemed as having earned, such Annual Performance Bonus. Company shall deduct from the Annual Performance Bonus all amounts required to be deducted or withheld under applicable law or under any employee benefit plan in which Executive participates.", "ner": [[38, 39, "Percentage"]], "tokenized_text": ["(", "b", ")", "Annual", "Performance", "Bonus", ".", "Executive", "shall", "be", "eligible", "to", "receive", "an", "annual", "cash", "bonus", "(", "the", "Annual", "Performance", "Bonus", ")", ",", "with", "the", "target", "amount", "of", "such", "Annual", "Performance", "Bonus", "equal", "to", "thirty", "percent", "(", "30", "%", ")", "of", "Executives", "Base", "Salary", "in", "the", "year", "to", "which", "the", "Annual", "Performance", "Bonus", "relates", ";", "provided", "that", "the", "actual", "amount", "of", "the", "Annual", "Performance", "Bonus", "may", "be", "greater", "or", "less", "than", "such", "target", "amount", ".", "The", "amount", "of", "the", "Annual", "Performance", "Bonus", "shall", "be", "determined", "by", "the", "Board", "of", "Directors", "or", "an", "appropriate", "committee", "thereof", "in", "its", "sole", "discretion", ",", "and", "shall", "be", "paid", "to", "Executive", "no", "later", "than", "March15th", "of", "the", "calendar", "year", "immediately", "following", "the", "calendar", "year", "in", "which", "it", "was", "earned", ".", "Except", "as", "provided", "in", "Section4", ",", "Executive", "must", "be", "employed", "by", "Company", "on", "the", "last", "day", "of", "the", "applicable", "fiscal", "year", "to", "which", "the", "Annual", "Performance", "Bonus", "relates", "in", "order", "to", "be", "eligible", "for", ",", "and", "to", "be", "deemed", "as", "having", "earned", ",", "such", "Annual", "Performance", "Bonus", ".", "Company", "shall", "deduct", "from", "the", "Annual", "Performance", "Bonus", "all", "amounts", "required", "to", "be", "deducted", "or", "withheld", "under", "applicable", "law", "or", "under", "any", "employee", "benefit", "plan", "in", "which", "Executive", "participates", "."]}
{"id": "11006", "text": "(ii) Equity Acceleration. (A)All of Executives unvested equity awards will accelerate and vest immediately on the date of termination of Executives employment if such employment commenced at least twenty-four (24)months prior to a Change of Control, (B)50% of Executives unvested equity awards will vest immediately on the date of termination of Executives employment if such employment commenced fewer than twenty-four (24)months but at least twelve (12)months prior to a Change of Control, and (C) 25% of Executives unvested equity awards will vest immediately on the date of termination of Executives employment if such employment commenced fewer than twelve (12)months prior to a Change of Control.", "ner": [[49, 50, "Percentage"], [97, 98, "Percentage"]], "tokenized_text": ["(", "ii", ")", "Equity", "Acceleration", ".", "(", "A", ")", "All", "of", "Executives", "unvested", "equity", "awards", "will", "accelerate", "and", "vest", "immediately", "on", "the", "date", "of", "termination", "of", "Executives", "employment", "if", "such", "employment", "commenced", "at", "least", "twenty-four", "(", "24", ")", "months", "prior", "to", "a", "Change", "of", "Control", ",", "(", "B", ")", "50", "%", "of", "Executives", "unvested", "equity", "awards", "will", "vest", "immediately", "on", "the", "date", "of", "termination", "of", "Executives", "employment", "if", "such", "employment", "commenced", "fewer", "than", "twenty-four", "(", "24", ")", "months", "but", "at", "least", "twelve", "(", "12", ")", "months", "prior", "to", "a", "Change", "of", "Control", ",", "and", "(", "C", ")", "25", "%", "of", "Executives", "unvested", "equity", "awards", "will", "vest", "immediately", "on", "the", "date", "of", "termination", "of", "Executives", "employment", "if", "such", "employment", "commenced", "fewer", "than", "twelve", "(", "12", ")", "months", "prior", "to", "a", "Change", "of", "Control", "."]}
{"id": "11008", "text": "(i) Any termination of Executives employment triggering payment of benefits under Section4 must constitute a separation from service under Section409A(a)(2)(A)(i) of the Code and Treas. Reg. 1.409A-1(h) before distribution of such benefits can commence. To the extent that the termination of Executives employment does not constitute a separation of service under Section409A(a)(2)(A)(i) of the Code and Treas. Reg. 1.409A-1(h) (as the result of further services that are reasonably anticipated to be provided by Executive to Company at the time Executives employment terminates), any such payments under Section4 that constitute deferred compensation under Section409A shall be delayed until after the date of a subsequent event constituting a separation of service under Section409A(a)(2)(A)(i) of the Code and Treas. Reg. 1.409A-1(h) . For purposes of clarification, this Section8(a) shall not cause any forfeiture of benefits on Executives part, but shall only act as a delay until such time as a separation from service occurs.", "ner": [[38, 44, "Regulation"], [90, 96, "Regulation"], [171, 177, "Regulation"]], "tokenized_text": ["(", "i", ")", "Any", "termination", "of", "Executives", "employment", "triggering", "payment", "of", "benefits", "under", "Section4", "must", "constitute", "a", "separation", "from", "service", "under", "Section409A", "(", "a", ")", "(", "2", ")", "(", "A", ")", "(", "i", ")", "of", "the", "Code", "and", "Treas", ".", "Reg", ".", "1", ".", "409A-1", "(", "h", ")", "before", "distribution", "of", "such", "benefits", "can", "commence", ".", "To", "the", "extent", "that", "the", "termination", "of", "Executives", "employment", "does", "not", "constitute", "a", "separation", "of", "service", "under", "Section409A", "(", "a", ")", "(", "2", ")", "(", "A", ")", "(", "i", ")", "of", "the", "Code", "and", "Treas", ".", "Reg", ".", "1", ".", "409A-1", "(", "h", ")", "(", "as", "the", "result", "of", "further", "services", "that", "are", "reasonably", "anticipated", "to", "be", "provided", "by", "Executive", "to", "Company", "at", "the", "time", "Executives", "employment", "terminates", ")", ",", "any", "such", "payments", "under", "Section4", "that", "constitute", "deferred", "compensation", "under", "Section409A", "shall", "be", "delayed", "until", "after", "the", "date", "of", "a", "subsequent", "event", "constituting", "a", "separation", "of", "service", "under", "Section409A", "(", "a", ")", "(", "2", ")", "(", "A", ")", "(", "i", ")", "of", "the", "Code", "and", "Treas", ".", "Reg", ".", "1", ".", "409A-1", "(", "h", ")", ".", "For", "purposes", "of", "clarification", ",", "this", "Section8", "(", "a", ")", "shall", "not", "cause", "any", "forfeiture", "of", "benefits", "on", "Executives", "part", ",", "but", "shall", "only", "act", "as", "a", "delay", "until", "such", "time", "as", "a", "separation", "from", "service", "occurs", "."]}
{"id": "11012", "text": "WHEREAS, the Executive desires to continue to be employed by the Company as President Industry Division and to perform and to serve the Company on the terms and conditions hereinafter set forth.", "ner": [[14, 14, "Role"]], "tokenized_text": ["WHEREAS", ",", "the", "Executive", "desires", "to", "continue", "to", "be", "employed", "by", "the", "Company", "as", "President", "Industry", "Division", "and", "to", "perform", "and", "to", "serve", "the", "Company", "on", "the", "terms", "and", "conditions", "hereinafter", "set", "forth", "."]}
{"id": "11013", "text": "1.2 Duties. During the Employment Period, the Executive shall serve as President Industry Division of the Company and such other positions as an officer or director of the Company and such affiliates of the Company as the Company shall determine from time to time, and shall report directly to Chief Executive Officer. In his position of President Industry Division , the Executive shall perform duties customary for the President Industry Division of a company similar to the Companys size and nature, plus such additional duties, consistent with the foregoing, as the Chief Executive Officer or his designee may reasonably assign.", "ner": [[15, 17, "Role"], [54, 56, "Role"], [100, 102, "Role"]], "tokenized_text": ["1", ".", "2", "Duties", ".", "During", "the", "Employment", "Period", ",", "the", "Executive", "shall", "serve", "as", "President", "Industry", "Division", "of", "the", "Company", "and", "such", "other", "positions", "as", "an", "officer", "or", "director", "of", "the", "Company", "and", "such", "affiliates", "of", "the", "Company", "as", "the", "Company", "shall", "determine", "from", "time", "to", "time", ",", "and", "shall", "report", "directly", "to", "Chief", "Executive", "Officer", ".", "In", "his", "position", "of", "President", "Industry", "Division", ",", "the", "Executive", "shall", "perform", "duties", "customary", "for", "the", "President", "Industry", "Division", "of", "a", "company", "similar", "to", "the", "Companys", "size", "and", "nature", ",", "plus", "such", "additional", "duties", ",", "consistent", "with", "the", "foregoing", ",", "as", "the", "Chief", "Executive", "Officer", "or", "his", "designee", "may", "reasonably", "assign", "."]}
{"id": "11014", "text": "4.2. Non-Competition. By and in consideration of the Companys entering into this Employment Agreement, and in further consideration of the Executives exposure to the Confidential Information of the Company Group, the Executive agrees that the Executive shall not, during the Employment Period and for one year following the Executives Termination Date (the Restriction Period), directly or indirectly, own, manage, operate, join, control, be employed by, or participate in the ownership, management, operation or control of, or be connected in any manner with, including, without limitation, holding any position as a stockholder, director, officer, consultant, independent contractor, employee, partner, or investor in, any Restricted Enterprise (as defined below); provided, that in no event shall ownership of one percent or less of the outstanding securities of any class of any issuer whose securities are registered under the Securities Exchange Act of 1934 , as amended, standing alone, be prohibited by this Section4.2, so long as the Executive does not have, or exercise, any rights to manage or operate the business of such issuer other than rights as a stockholder thereof. For purposes of this paragraph, Restricted Enterprise shall mean any business that is in competition with (a)the present products marketed or sold by the Company to its customers and as such products may be improved and/or modified, (b)the present services marketed, sold or provided by the Company to its customers and as such services may be improved and/or modified or (c)the products and/or services the Company develops, designs, manufactures, markets, produces or supplies in the future to its customers. In the case of each of (a), (b) and (c) above, such businesses shall include, but not be limited to, businesses that are associated with the treatment of intake water, process water or waste-water in industrial and municipal end markets through the provision of services and/or products. For the avoidance of doubt, Restricted Enterprise shall include, but not", "ner": [[16, 17, "Title"], [150, 151, "Percentage"], [170, 174, "Act"]], "tokenized_text": ["4", ".", "2", ".", "Non-Competition", ".", "By", "and", "in", "consideration", "of", "the", "Companys", "entering", "into", "this", "Employment", "Agreement", ",", "and", "in", "further", "consideration", "of", "the", "Executives", "exposure", "to", "the", "Confidential", "Information", "of", "the", "Company", "Group", ",", "the", "Executive", "agrees", "that", "the", "Executive", "shall", "not", ",", "during", "the", "Employment", "Period", "and", "for", "one", "year", "following", "the", "Executives", "Termination", "Date", "(", "the", "Restriction", "Period", ")", ",", "directly", "or", "indirectly", ",", "own", ",", "manage", ",", "operate", ",", "join", ",", "control", ",", "be", "employed", "by", ",", "or", "participate", "in", "the", "ownership", ",", "management", ",", "operation", "or", "control", "of", ",", "or", "be", "connected", "in", "any", "manner", "with", ",", "including", ",", "without", "limitation", ",", "holding", "any", "position", "as", "a", "stockholder", ",", "director", ",", "officer", ",", "consultant", ",", "independent", "contractor", ",", "employee", ",", "partner", ",", "or", "investor", "in", ",", "any", "Restricted", "Enterprise", "(", "as", "defined", "below", ")", ";", "provided", ",", "that", "in", "no", "event", "shall", "ownership", "of", "one", "percent", "or", "less", "of", "the", "outstanding", "securities", "of", "any", "class", "of", "any", "issuer", "whose", "securities", "are", "registered", "under", "the", "Securities", "Exchange", "Act", "of", "1934", ",", "as", "amended", ",", "standing", "alone", ",", "be", "prohibited", "by", "this", "Section4", ".", "2", ",", "so", "long", "as", "the", "Executive", "does", "not", "have", ",", "or", "exercise", ",", "any", "rights", "to", "manage", "or", "operate", "the", "business", "of", "such", "issuer", "other", "than", "rights", "as", "a", "stockholder", "thereof", ".", "For", "purposes", "of", "this", "paragraph", ",", "Restricted", "Enterprise", "shall", "mean", "any", "business", "that", "is", "in", "competition", "with", "(", "a", ")", "the", "present", "products", "marketed", "or", "sold", "by", "the", "Company", "to", "its", "customers", "and", "as", "such", "products", "may", "be", "improved", "and", "/", "or", "modified", ",", "(", "b", ")", "the", "present", "services", "marketed", ",", "sold", "or", "provided", "by", "the", "Company", "to", "its", "customers", "and", "as", "such", "services", "may", "be", "improved", "and", "/", "or", "modified", "or", "(", "c", ")", "the", "products", "and", "/", "or", "services", "the", "Company", "develops", ",", "designs", ",", "manufactures", ",", "markets", ",", "produces", "or", "supplies", "in", "the", "future", "to", "its", "customers", ".", "In", "the", "case", "of", "each", "of", "(", "a", ")", ",", "(", "b", ")", "and", "(", "c", ")", "above", ",", "such", "businesses", "shall", "include", ",", "but", "not", "be", "limited", "to", ",", "businesses", "that", "are", "associated", "with", "the", "treatment", "of", "intake", "water", ",", "process", "water", "or", "waste-water", "in", "industrial", "and", "municipal", "end", "markets", "through", "the", "provision", "of", "services", "and", "/", "or", "products", ".", "For", "the", "avoidance", "of", "doubt", ",", "Restricted", "Enterprise", "shall", "include", ",", "but", "not"]}
{"id": "11018", "text": "EX-10.28 3 adg_ex1028.htm EMPLOYMENT AGREEMENT , DATED OCTOBER 11, 2017, BETWEEN THE COMPANY AND JOHN LIATOS", "ner": [[7, 8, "Title"], [11, 14, "EffectiveDate"], [20, 21, "Parties"]], "tokenized_text": ["EX-10", ".", "28", "3", "adg_ex1028", ".", "htm", "EMPLOYMENT", "AGREEMENT", ",", "DATED", "OCTOBER", "11", ",", "2017", ",", "BETWEEN", "THE", "COMPANY", "AND", "JOHN", "LIATOS"]}
{"id": "11019", "text": "This EMPLOYMENT AGREEMENT (this Agreement), dated as of October 11, 2017 is by and between ADGERO BIOPHARMACEUTICALS HOLDINGS, INC. , a Delaware corporation (the Company) and John Liatos (the Employee).", "ner": [[1, 2, "Title"], [11, 14, "EffectiveDate"], [19, 24, "Parties"], [34, 35, "Parties"]], "tokenized_text": ["This", "EMPLOYMENT", "AGREEMENT", "(", "this", "Agreement", ")", ",", "dated", "as", "of", "October", "11", ",", "2017", "is", "by", "and", "between", "ADGERO", "BIOPHARMACEUTICALS", "HOLDINGS", ",", "INC", ".", ",", "a", "Delaware", "corporation", "(", "the", "Company", ")", "and", "John", "Liatos", "(", "the", "Employee", ")", "."]}
{"id": "11020", "text": "WHEREAS, the Company desires to employ the Employee as its Chief Financial Officer and the Employee desires to accept such employment, on the terms and conditions set forth in this Agreement; and", "ner": [[3, 3, "Parties"], [11, 13, "Role"], [32, 32, "Title"]], "tokenized_text": ["WHEREAS", ",", "the", "Company", "desires", "to", "employ", "the", "Employee", "as", "its", "Chief", "Financial", "Officer", "and", "the", "Employee", "desires", "to", "accept", "such", "employment", ",", "on", "the", "terms", "and", "conditions", "set", "forth", "in", "this", "Agreement", ";", "and"]}
{"id": "11022", "text": "Section 2.1. Title. The Company shall employ the Employee to render exclusive and full-time services to the Company. The Employee shall serve in the capacity of Chief Financial Officer .", "ner": [[31, 33, "Role"]], "tokenized_text": ["Section", "2", ".", "1", ".", "Title", ".", "The", "Company", "shall", "employ", "the", "Employee", "to", "render", "exclusive", "and", "full-time", "services", "to", "the", "Company", ".", "The", "Employee", "shall", "serve", "in", "the", "capacity", "of", "Chief", "Financial", "Officer", "."]}
{"id": "11025", "text": "(a) Base Salary. During the Term, the Company shall pay the Employee a base salary (the Base Salary) at the annualized rate of $275,000 , which shall be subject to customary withholdings and authorized deductions and be payable in equal installments in accordance with the Companys customary payroll practices in place from time to time. The Employees Base Salary and title shall be subject to, on an annual basis beginning in January 2018, periodic review and adjustments as the Board and/or the Compensation Committee of the Board (the Compensation Committee) shall in its/their discretion deem appropriate.", "ner": [[29, 32, "Salary"]], "tokenized_text": ["(", "a", ")", "Base", "Salary", ".", "During", "the", "Term", ",", "the", "Company", "shall", "pay", "the", "Employee", "a", "base", "salary", "(", "the", "Base", "Salary", ")", "at", "the", "annualized", "rate", "of", "$", "275", ",", "000", ",", "which", "shall", "be", "subject", "to", "customary", "withholdings", "and", "authorized", "deductions", "and", "be", "payable", "in", "equal", "installments", "in", "accordance", "with", "the", "Companys", "customary", "payroll", "practices", "in", "place", "from", "time", "to", "time", ".", "The", "Employees", "Base", "Salary", "and", "title", "shall", "be", "subject", "to", ",", "on", "an", "annual", "basis", "beginning", "in", "January", "2018", ",", "periodic", "review", "and", "adjustments", "as", "the", "Board", "and", "/", "or", "the", "Compensation", "Committee", "of", "the", "Board", "(", "the", "Compensation", "Committee", ")", "shall", "in", "its", "/", "their", "discretion", "deem", "appropriate", "."]}
{"id": "11026", "text": "(b) Annual Bonus. For each calendar year ending during the Term (beginning with the calendar year ending December 31, 2017 ), the Employee shall be eligible to receive an annual bonus (the Annual Bonus) with a target amount of up to thirty five percent ( 35% ) of the Base Salary earned by the Employee for such calendar year (the Target Annual Bonus). Notwithstanding the foregoing, for calendar year 2017, the Employee will be eligible to receive an Annual Bonus, pro-rated for the period between the Start Date and December 31, 2017 . The actual amount of each Annual Bonus will be based upon the level of achievement of the Companys corporate objectives and the Employees individual objectives, in each case, as established by the Board or the Compensation Committee (taking into account the input of the CEO with respect to the establishment of the Employees individual objectives) for the calendar year with respect to which such Annual Bonus relates. The determination of the level of achievement of the corporate objectives and the Employees individual performance objectives for a year shall be made by the Board or the Compensation Committee (taking into account the input of the CEO with respect to the establishment of the Employees individual objectives), in its reasonable discretion. Each Annual Bonus for a calendar year, to the extent earned, will be paid in a lump sum in the following calendar year, within the first 75 days of such following year. The Annual Bonus shall not be deemed earned until the date that it is paid. Accordingly, in order for the Employee to receive an Annual Bonus, the Employee must be actively employed by the Company at the time of such payment.", "ner": [[21, 24, "TerminationDate"], [53, 54, "Percentage"], [156, 156, "Role"], [219, 219, "Role"]], "tokenized_text": ["(", "b", ")", "Annual", "Bonus", ".", "For", "each", "calendar", "year", "ending", "during", "the", "Term", "(", "beginning", "with", "the", "calendar", "year", "ending", "December", "31", ",", "2017", ")", ",", "the", "Employee", "shall", "be", "eligible", "to", "receive", "an", "annual", "bonus", "(", "the", "Annual", "Bonus", ")", "with", "a", "target", "amount", "of", "up", "to", "thirty", "five", "percent", "(", "35", "%", ")", "of", "the", "Base", "Salary", "earned", "by", "the", "Employee", "for", "such", "calendar", "year", "(", "the", "Target", "Annual", "Bonus", ")", ".", "Notwithstanding", "the", "foregoing", ",", "for", "calendar", "year", "2017", ",", "the", "Employee", "will", "be", "eligible", "to", "receive", "an", "Annual", "Bonus", ",", "pro-rated", "for", "the", "period", "between", "the", "Start", "Date", "and", "December", "31", ",", "2017", ".", "The", "actual", "amount", "of", "each", "Annual", "Bonus", "will", "be", "based", "upon", "the", "level", "of", "achievement", "of", "the", "Companys", "corporate", "objectives", "and", "the", "Employees", "individual", "objectives", ",", "in", "each", "case", ",", "as", "established", "by", "the", "Board", "or", "the", "Compensation", "Committee", "(", "taking", "into", "account", "the", "input", "of", "the", "CEO", "with", "respect", "to", "the", "establishment", "of", "the", "Employees", "individual", "objectives", ")", "for", "the", "calendar", "year", "with", "respect", "to", "which", "such", "Annual", "Bonus", "relates", ".", "The", "determination", "of", "the", "level", "of", "achievement", "of", "the", "corporate", "objectives", "and", "the", "Employees", "individual", "performance", "objectives", "for", "a", "year", "shall", "be", "made", "by", "the", "Board", "or", "the", "Compensation", "Committee", "(", "taking", "into", "account", "the", "input", "of", "the", "CEO", "with", "respect", "to", "the", "establishment", "of", "the", "Employees", "individual", "objectives", ")", ",", "in", "its", "reasonable", "discretion", ".", "Each", "Annual", "Bonus", "for", "a", "calendar", "year", ",", "to", "the", "extent", "earned", ",", "will", "be", "paid", "in", "a", "lump", "sum", "in", "the", "following", "calendar", "year", ",", "within", "the", "first", "75", "days", "of", "such", "following", "year", ".", "The", "Annual", "Bonus", "shall", "not", "be", "deemed", "earned", "until", "the", "date", "that", "it", "is", "paid", ".", "Accordingly", ",", "in", "order", "for", "the", "Employee", "to", "receive", "an", "Annual", "Bonus", ",", "the", "Employee", "must", "be", "actively", "employed", "by", "the", "Company", "at", "the", "time", "of", "such", "payment", "."]}
{"id": "11027", "text": "(c) Equity Compensation. Subject to the terms of the Companys 2016 Equity Incentive Plan (the Plan) and approval of the Board or Compensation Committee, at the next regular meeting of the Board or the Compensation Committee on or following the Start Date, the Employee will be granted options to purchase up to 120,000 shares of the Companys common stock, subject to shareholder approval of an increase in the number of shares available under the Plan, on the terms and conditions determined by the Board or the Compensation Committee, with an exercise price of $5.00 per share (provided that the Board or the Compensation Committee determines that such exercise price represents no less than fair market value per share on the date of grant in accordance with the Plan). The shares subject to the option shall vest in three (3) equal annual installments, beginning on the first anniversary of the date of grant, and continuing on each of the second and third anniversaries, provided that the Employee remains employed by or remains a service provider to, the Company through each applicable vesting date. During the Term, subject to the terms and conditions established within the Plan or any successor equity compensation plan as may be in place from time to time and separate award agreements, the Employee also shall be eligible to receive from time to time stock options, stock unit awards, performance shares, performance units, incentive bonus awards, other cash-based awards and/or other stock-based awards (as permitted by the Plan), in amounts, if any, to be approved by the Board or the Compensation Committee in its discretion. Notwithstanding anything in the Plan to the contrary, if (i) the Termination Date occurs at least six (6) months after the Start Date and (ii) the Employee is terminated without Cause (as defined in Section 4.1(b)) or resigns with Good Reason (as defined in Section 4.1(c)) within twenty-four (24) months following a Change in Control (as defined in Section 5.19), in lieu of the application of Section 4.1(d)(ii), the Employee shall receive accelerated vesting of all unvested options upon the Termination Date and all of the Employees outstanding vested stock options shall remain exercisable for a period of six (6) months, measured from the Termination Date (but in no event later than the expiration date of their term); provided, however, that in the event stock options under the Plan are cancelled or otherwise terminated pursuant to the Plan in connection with such Change in Control, the Employees stock options may be cancelled or otherwise terminated, as applicable, on terms no less favorable than those provided to other similarly situated option holders. This Section 3.1(c) shall be deemed an amendment to each award agreement entered into by the Employee evidencing a grant of stock options, whether entered into prior to the Start Date or during the Term (but, in no event shall this Section 3.1(c) be deemed an amendment to any award agreement entered into after expiration of the Term).", "ner": [[59, 61, "Shares"], [105, 108, "Price"], [326, 334, "TerminationDate"], [375, 384, "TerminationDate"], [542, 543, "Title"]], "tokenized_text": ["(", "c", ")", "Equity", "Compensation", ".", "Subject", "to", "the", "terms", "of", "the", "Companys", "2016", "Equity", "Incentive", "Plan", "(", "the", "Plan", ")", "and", "approval", "of", "the", "Board", "or", "Compensation", "Committee", ",", "at", "the", "next", "regular", "meeting", "of", "the", "Board", "or", "the", "Compensation", "Committee", "on", "or", "following", "the", "Start", "Date", ",", "the", "Employee", "will", "be", "granted", "options", "to", "purchase", "up", "to", "120", ",", "000", "shares", "of", "the", "Companys", "common", "stock", ",", "subject", "to", "shareholder", "approval", "of", "an", "increase", "in", "the", "number", "of", "shares", "available", "under", "the", "Plan", ",", "on", "the", "terms", "and", "conditions", "determined", "by", "the", "Board", "or", "the", "Compensation", "Committee", ",", "with", "an", "exercise", "price", "of", "$", "5", ".", "00", "per", "share", "(", "provided", "that", "the", "Board", "or", "the", "Compensation", "Committee", "determines", "that", "such", "exercise", "price", "represents", "no", "less", "than", "fair", "market", "value", "per", "share", "on", "the", "date", "of", "grant", "in", "accordance", "with", "the", "Plan", ")", ".", "The", "shares", "subject", "to", "the", "option", "shall", "vest", "in", "three", "(", "3", ")", "equal", "annual", "installments", ",", "beginning", "on", "the", "first", "anniversary", "of", "the", "date", "of", "grant", ",", "and", "continuing", "on", "each", "of", "the", "second", "and", "third", "anniversaries", ",", "provided", "that", "the", "Employee", "remains", "employed", "by", "or", "remains", "a", "service", "provider", "to", ",", "the", "Company", "through", "each", "applicable", "vesting", "date", ".", "During", "the", "Term", ",", "subject", "to", "the", "terms", "and", "conditions", "established", "within", "the", "Plan", "or", "any", "successor", "equity", "compensation", "plan", "as", "may", "be", "in", "place", "from", "time", "to", "time", "and", "separate", "award", "agreements", ",", "the", "Employee", "also", "shall", "be", "eligible", "to", "receive", "from", "time", "to", "time", "stock", "options", ",", "stock", "unit", "awards", ",", "performance", "shares", ",", "performance", "units", ",", "incentive", "bonus", "awards", ",", "other", "cash-based", "awards", "and", "/", "or", "other", "stock-based", "awards", "(", "as", "permitted", "by", "the", "Plan", ")", ",", "in", "amounts", ",", "if", "any", ",", "to", "be", "approved", "by", "the", "Board", "or", "the", "Compensation", "Committee", "in", "its", "discretion", ".", "Notwithstanding", "anything", "in", "the", "Plan", "to", "the", "contrary", ",", "if", "(", "i", ")", "the", "Termination", "Date", "occurs", "at", "least", "six", "(", "6", ")", "months", "after", "the", "Start", "Date", "and", "(", "ii", ")", "the", "Employee", "is", "terminated", "without", "Cause", "(", "as", "defined", "in", "Section", "4", ".", "1", "(", "b", ")", ")", "or", "resigns", "with", "Good", "Reason", "(", "as", "defined", "in", "Section", "4", ".", "1", "(", "c", ")", ")", "within", "twenty-four", "(", "24", ")", "months", "following", "a", "Change", "in", "Control", "(", "as", "defined", "in", "Section", "5", ".", "19", ")", ",", "in", "lieu", "of", "the", "application", "of", "Section", "4", ".", "1", "(", "d", ")", "(", "ii", ")", ",", "the", "Employee", "shall", "receive", "accelerated", "vesting", "of", "all", "unvested", "options", "upon", "the", "Termination", "Date", "and", "all", "of", "the", "Employees", "outstanding", "vested", "stock", "options", "shall", "remain", "exercisable", "for", "a", "period", "of", "six", "(", "6", ")", "months", ",", "measured", "from", "the", "Termination", "Date", "(", "but", "in", "no", "event", "later", "than", "the", "expiration", "date", "of", "their", "term", ")", ";", "provided", ",", "however", ",", "that", "in", "the", "event", "stock", "options", "under", "the", "Plan", "are", "cancelled", "or", "otherwise", "terminated", "pursuant", "to", "the", "Plan", "in", "connection", "with", "such", "Change", "in", "Control", ",", "the", "Employees", "stock", "options", "may", "be", "cancelled", "or", "otherwise", "terminated", ",", "as", "applicable", ",", "on", "terms", "no", "less", "favorable", "than", "those", "provided", "to", "other", "similarly", "situated", "option", "holders", ".", "This", "Section", "3", ".", "1", "(", "c", ")", "shall", "be", "deemed", "an", "amendment", "to", "each", "award", "agreement", "entered", "into", "by", "the", "Employee", "evidencing", "a", "grant", "of", "stock", "options", ",", "whether", "entered", "into", "prior", "to", "the", "Start", "Date", "or", "during", "the", "Term", "(", "but", ",", "in", "no", "event", "shall", "this", "Section", "3", ".", "1", "(", "c", ")", "be", "deemed", "an", "amendment", "to", "any", "award", "agreement", "entered", "into", "after", "expiration", "of", "the", "Term", ")", "."]}
{"id": "11028", "text": "(B) if the Employee then participates in the Companys medical and/or dental plans and the Employee timely elects to continue and maintain group health plan coverage pursuant to the Consolidated Omnibus Budget Reconciliation Act of 1985 , as amended ( COBRA ), then the Company shall reimburse the Employee for the healthcare continuation payments under COBRA actually made by the Employee for the coverage period beginning on the day following the Termination Date and ending on the earlier of: (A) the three (3) month anniversary of the Termination Date; and (B) the date the Employee becomes eligible to obtain alternate healthcare coverage from a new employer (the COBRA Assistance). The Employee agrees to immediately inform the Company if he becomes eligible to obtain alternate healthcare coverage from a new employer. The Employee also agrees to remit to the Company on a monthly basis and within thirty (30) days of the date of payment, paid invoices for each such monthly COBRA premium for which he seeks reimbursement pursuant to this Section 4.1(d)(iii)(B) and such reimbursement (to the extent required pursuant to this Section 4.1(d)(iii)(B)) shall be made to the Employee within thirty (30) days following the Employees delivery to the Company of each such invoice. Notwithstanding anything set forth in this Section 4.1(d)(iii)(B), if and to the extent that the Company may not provide such COBRA Assistance without incurring tax penalties or violating any requirement of the law, the Company shall use its commercially reasonable best efforts to provide substantially similar assistance in an alternative manner provided that the cost of doing so does not exceed the cost that the Company would have incurred had the COBRA Assistance been provided in the manner described above or cause a violation of Section 409A (as defined in Section 5.16).", "ner": [[33, 39, "Act"], [44, 44, "Act"], [60, 60, "Act"], [89, 94, "TerminationDate"], [121, 121, "Act"], [179, 179, "Act"], [189, 192, "Regulation"], [283, 283, "Act"], [335, 335, "Act"], [349, 350, "Regulation"]], "tokenized_text": ["(", "B", ")", "if", "the", "Employee", "then", "participates", "in", "the", "Companys", "medical", "and", "/", "or", "dental", "plans", "and", "the", "Employee", "timely", "elects", "to", "continue", "and", "maintain", "group", "health", "plan", "coverage", "pursuant", "to", "the", "Consolidated", "Omnibus", "Budget", "Reconciliation", "Act", "of", "1985", ",", "as", "amended", "(", "COBRA", ")", ",", "then", "the", "Company", "shall", "reimburse", "the", "Employee", "for", "the", "healthcare", "continuation", "payments", "under", "COBRA", "actually", "made", "by", "the", "Employee", "for", "the", "coverage", "period", "beginning", "on", "the", "day", "following", "the", "Termination", "Date", "and", "ending", "on", "the", "earlier", "of", ":", "(", "A", ")", "the", "three", "(", "3", ")", "month", "anniversary", "of", "the", "Termination", "Date", ";", "and", "(", "B", ")", "the", "date", "the", "Employee", "becomes", "eligible", "to", "obtain", "alternate", "healthcare", "coverage", "from", "a", "new", "employer", "(", "the", "COBRA", "Assistance", ")", ".", "The", "Employee", "agrees", "to", "immediately", "inform", "the", "Company", "if", "he", "becomes", "eligible", "to", "obtain", "alternate", "healthcare", "coverage", "from", "a", "new", "employer", ".", "The", "Employee", "also", "agrees", "to", "remit", "to", "the", "Company", "on", "a", "monthly", "basis", "and", "within", "thirty", "(", "30", ")", "days", "of", "the", "date", "of", "payment", ",", "paid", "invoices", "for", "each", "such", "monthly", "COBRA", "premium", "for", "which", "he", "seeks", "reimbursement", "pursuant", "to", "this", "Section", "4", ".", "1", "(", "d", ")", "(", "iii", ")", "(", "B", ")", "and", "such", "reimbursement", "(", "to", "the", "extent", "required", "pursuant", "to", "this", "Section", "4", ".", "1", "(", "d", ")", "(", "iii", ")", "(", "B", ")", ")", "shall", "be", "made", "to", "the", "Employee", "within", "thirty", "(", "30", ")", "days", "following", "the", "Employees", "delivery", "to", "the", "Company", "of", "each", "such", "invoice", ".", "Notwithstanding", "anything", "set", "forth", "in", "this", "Section", "4", ".", "1", "(", "d", ")", "(", "iii", ")", "(", "B", ")", ",", "if", "and", "to", "the", "extent", "that", "the", "Company", "may", "not", "provide", "such", "COBRA", "Assistance", "without", "incurring", "tax", "penalties", "or", "violating", "any", "requirement", "of", "the", "law", ",", "the", "Company", "shall", "use", "its", "commercially", "reasonable", "best", "efforts", "to", "provide", "substantially", "similar", "assistance", "in", "an", "alternative", "manner", "provided", "that", "the", "cost", "of", "doing", "so", "does", "not", "exceed", "the", "cost", "that", "the", "Company", "would", "have", "incurred", "had", "the", "COBRA", "Assistance", "been", "provided", "in", "the", "manner", "described", "above", "or", "cause", "a", "violation", "of", "Section", "409A", "(", "as", "defined", "in", "Section", "5", ".", "16", ")", "."]}
{"id": "11030", "text": "Section 4.5. Post-Termination Breach. Notwithstanding anything to the contrary contained in this Agreement, the Companys obligations to provide the Severance Payments and the COBRA Assistance will immediately cease if the Employee breaches any of the provisions of the Covenants Agreement, the Release Agreement or any other agreement the Employee has with the Company.", "ner": [[28, 28, "Act"], [43, 44, "Title"], [47, 48, "Title"]], "tokenized_text": ["Section", "4", ".", "5", ".", "Post-Termination", "Breach", ".", "Notwithstanding", "anything", "to", "the", "contrary", "contained", "in", "this", "Agreement", ",", "the", "Companys", "obligations", "to", "provide", "the", "Severance", "Payments", "and", "the", "COBRA", "Assistance", "will", "immediately", "cease", "if", "the", "Employee", "breaches", "any", "of", "the", "provisions", "of", "the", "Covenants", "Agreement", ",", "the", "Release", "Agreement", "or", "any", "other", "agreement", "the", "Employee", "has", "with", "the", "Company", "."]}
{"id": "11031", "text": "Section 5.6. Governing Law; Jurisdiction. This Agreement shall be governed by, and construed in accordance with, the laws of the State of New Jersey , without regard to principles of conflicts of law. Any and all actions arising out of this Agreement or Employees employment by Company or termination therefrom shall be brought and heard in the state and federal courts of the State of New Jersey and the parties hereto hereby irrevocably submit to the exclusive jurisdiction of any such courts. THE COMPANY AND THE EMPLOYEE HEREBY WAIVE THEIR RESPECTIVE RIGHT TO TRIAL BY JURY IN ANY ACTION CONCERNING THIS AGREEMENT OR ANY AND ALL MATTERS ARISING DIRECTLY OR INDIRECTLY HEREFROM AND REPRESENT THAT THEY HAVE CONSULTED WITH COUNSEL OF THEIR CHOICE OR HAVE CHOSEN VOLUNTARILY NOT TO DO SO SPECIFICALLY WITH RESPECT TO THIS WAIVER.", "ner": [[27, 30, "Court"]], "tokenized_text": ["Section", "5", ".", "6", ".", "Governing", "Law", ";", "Jurisdiction", ".", "This", "Agreement", "shall", "be", "governed", "by", ",", "and", "construed", "in", "accordance", "with", ",", "the", "laws", "of", "the", "State", "of", "New", "Jersey", ",", "without", "regard", "to", "principles", "of", "conflicts", "of", "law", ".", "Any", "and", "all", "actions", "arising", "out", "of", "this", "Agreement", "or", "Employees", "employment", "by", "Company", "or", "termination", "therefrom", "shall", "be", "brought", "and", "heard", "in", "the", "state", "and", "federal", "courts", "of", "the", "State", "of", "New", "Jersey", "and", "the", "parties", "hereto", "hereby", "irrevocably", "submit", "to", "the", "exclusive", "jurisdiction", "of", "any", "such", "courts", ".", "THE", "COMPANY", "AND", "THE", "EMPLOYEE", "HEREBY", "WAIVE", "THEIR", "RESPECTIVE", "RIGHT", "TO", "TRIAL", "BY", "JURY", "IN", "ANY", "ACTION", "CONCERNING", "THIS", "AGREEMENT", "OR", "ANY", "AND", "ALL", "MATTERS", "ARISING", "DIRECTLY", "OR", "INDIRECTLY", "HEREFROM", "AND", "REPRESENT", "THAT", "THEY", "HAVE", "CONSULTED", "WITH", "COUNSEL", "OF", "THEIR", "CHOICE", "OR", "HAVE", "CHOSEN", "VOLUNTARILY", "NOT", "TO", "DO", "SO", "SPECIFICALLY", "WITH", "RESPECT", "TO", "THIS", "WAIVER", "."]}
{"id": "11032", "text": "/s/ John Liatos _______________", "ner": [[3, 4, "Parties"]], "tokenized_text": ["/", "s", "/", "John", "Liatos", "_______________"]}
{"id": "11033", "text": "This Employment Agreement (the Agreement) is made as of October18, 2017 , between Allena Pharmaceuticals, Inc. (the Company), and Alexey Margolin , Ph.D. (the Executive). This Agreement shall be effective as of the closing of the first underwritten public offering of the equity securities of the Company pursuant to an effective registration statement under the Securities Act of 1933 , as amended (the Effective Date). This Agreement supersedes, amends and restates in all respects any other employment agreements and offer letters between Executive and the Company, including without limitation the Employment agreement between Executive and the Company dated June19, 2014 , as amended effective July1, 2016 and June30, 2017 (collectively, the Superseded Employment Agreement s), except for the Restrictive Covenant Obligations, as defined in Section8, and (i)those certain Incentive Stock Option Agreements Granted Under 2011 Stock Incentive Plan dated as of March5, 2014;May15, 2014;December16, 2014, and March10, 2016; (ii)the Amended and Restated Restricted Stock Agreement dated September9, 2011; and (iii)the Restricted Stock Agreement Granted Under 2011 Stock Incentive Plan dated October1, 2012, each of which remain in effect.", "ner": [[1, 2, "Title"], [11, 13, "EffectiveDate"], [16, 20, "Parties"], [27, 33, "Parties"], [69, 72, "Act"], [109, 110, "Title"], [117, 119, "EffectiveDate"], [128, 130, "EffectiveDate"], [165, 168, "Act"], [172, 174, "EffectiveDate"], [185, 187, "EffectiveDate"], [196, 198, "Title"], [200, 202, "EffectiveDate"], [219, 221, "EffectiveDate"]], "tokenized_text": ["This", "Employment", "Agreement", "(", "the", "Agreement", ")", "is", "made", "as", "of", "October18", ",", "2017", ",", "between", "Allena", "Pharmaceuticals", ",", "Inc", ".", "(", "the", "Company", ")", ",", "and", "Alexey", "Margolin", ",", "Ph", ".", "D", ".", "(", "the", "Executive", ")", ".", "This", "Agreement", "shall", "be", "effective", "as", "of", "the", "closing", "of", "the", "first", "underwritten", "public", "offering", "of", "the", "equity", "securities", "of", "the", "Company", "pursuant", "to", "an", "effective", "registration", "statement", "under", "the", "Securities", "Act", "of", "1933", ",", "as", "amended", "(", "the", "Effective", "Date", ")", ".", "This", "Agreement", "supersedes", ",", "amends", "and", "restates", "in", "all", "respects", "any", "other", "employment", "agreements", "and", "offer", "letters", "between", "Executive", "and", "the", "Company", ",", "including", "without", "limitation", "the", "Employment", "agreement", "between", "Executive", "and", "the", "Company", "dated", "June19", ",", "2014", ",", "as", "amended", "effective", "July1", ",", "2016", "and", "June30", ",", "2017", "(", "collectively", ",", "the", "Superseded", "Employment", "Agreement", "s", ")", ",", "except", "for", "the", "Restrictive", "Covenant", "Obligations", ",", "as", "defined", "in", "Section8", ",", "and", "(", "i", ")", "those", "certain", "Incentive", "Stock", "Option", "Agreements", "Granted", "Under", "2011", "Stock", "Incentive", "Plan", "dated", "as", "of", "March5", ",", "2014", ";", "May15", ",", "2014", ";", "December16", ",", "2014", ",", "and", "March10", ",", "2016", ";", "(", "ii", ")", "the", "Amended", "and", "Restated", "Restricted", "Stock", "Agreement", "dated", "September9", ",", "2011", ";", "and", "(", "iii", ")", "the", "Restricted", "Stock", "Agreement", "Granted", "Under", "2011", "Stock", "Incentive", "Plan", "dated", "October1", ",", "2012", ",", "each", "of", "which", "remain", "in", "effect", "."]}
{"id": "11034", "text": "(a) Base salary. The Executives initial annual base salary rate shall be $513,200 . The Executives base salary rate shall be subject to increase by the Board or the compensation Committee of the Board (the compensation Committee) from time to time and shall not be subject to diminution except as provided in Section3(e)(i). The annual base salary in effect at any given time is referred to herein as Base salary. The Base salary shall be payable in a manner that is consistent with the Companys usual payroll practices for executives.", "ner": [[15, 18, "Salary"]], "tokenized_text": ["(", "a", ")", "Base", "salary", ".", "The", "Executives", "initial", "annual", "base", "salary", "rate", "shall", "be", "$", "513", ",", "200", ".", "The", "Executives", "base", "salary", "rate", "shall", "be", "subject", "to", "increase", "by", "the", "Board", "or", "the", "compensation", "Committee", "of", "the", "Board", "(", "the", "compensation", "Committee", ")", "from", "time", "to", "time", "and", "shall", "not", "be", "subject", "to", "diminution", "except", "as", "provided", "in", "Section3", "(", "e", ")", "(", "i", ")", ".", "The", "annual", "base", "salary", "in", "effect", "at", "any", "given", "time", "is", "referred", "to", "herein", "as", "Base", "salary", ".", "The", "Base", "salary", "shall", "be", "payable", "in", "a", "manner", "that", "is", "consistent", "with", "the", "Companys", "usual", "payroll", "practices", "for", "executives", "."]}
{"id": "11036", "text": "(c) Termination by the Company for Cause. The Company may terminate the Executives employment hereunder for Cause. For purposes of this Agreement, Cause shall mean: (i)conduct by the Executive constituting a material act of misconduct in connection with the performance of the Executives duties, including, without limitation, unlawful harassment or misappropriation of funds or property of the Company or any of its affiliates other than the occasional, customary and de minimis use of Company property for personal purposes; (ii)the commission by the Executive of (A)any felony; or (B)a misdemeanor involving moral turpitude, deceit, dishonesty or fraud; (iii)any conduct by the Executive that would reasonably be expected to result in material injury or reputational harm to the Company or its affiliates if the Executive were retained in the Executives position; (iv)continued non- performance by the Executive of substantially all of the Executives responsibilities hereunder (other than by reason of the Executives physical or mental illness, incapacity or disability) that has continued for more than 30 days following written notice of such non-performance from the Board; or (v)a breach by the Executive of Section8 or of any other Restrictive Covenant Obligation. In the event of a breach or violation of subsections (iv)or (v), if the breach or violation is curable as determined by the Board (which determination shall be conclusive), the Executive shall have no more than 30 days to cure such violation after written notice of such breach or violation by the Board (the Cause Cure Period,) provided that Executive shall not be entitled to more than one Cause Cure Period in any 12-month period .", "ner": [], "tokenized_text": ["(", "c", ")", "Termination", "by", "the", "Company", "for", "Cause", ".", "The", "Company", "may", "terminate", "the", "Executives", "employment", "hereunder", "for", "Cause", ".", "For", "purposes", "of", "this", "Agreement", ",", "Cause", "shall", "mean", ":", "(", "i", ")", "conduct", "by", "the", "Executive", "constituting", "a", "material", "act", "of", "misconduct", "in", "connection", "with", "the", "performance", "of", "the", "Executives", "duties", ",", "including", ",", "without", "limitation", ",", "unlawful", "harassment", "or", "misappropriation", "of", "funds", "or", "property", "of", "the", "Company", "or", "any", "of", "its", "affiliates", "other", "than", "the", "occasional", ",", "customary", "and", "de", "minimis", "use", "of", "Company", "property", "for", "personal", "purposes", ";", "(", "ii", ")", "the", "commission", "by", "the", "Executive", "of", "(", "A", ")", "any", "felony", ";", "or", "(", "B", ")", "a", "misdemeanor", "involving", "moral", "turpitude", ",", "deceit", ",", "dishonesty", "or", "fraud", ";", "(", "iii", ")", "any", "conduct", "by", "the", "Executive", "that", "would", "reasonably", "be", "expected", "to", "result", "in", "material", "injury", "or", "reputational", "harm", "to", "the", "Company", "or", "its", "affiliates", "if", "the", "Executive", "were", "retained", "in", "the", "Executives", "position", ";", "(", "iv", ")", "continued", "non", "-", "performance", "by", "the", "Executive", "of", "substantially", "all", "of", "the", "Executives", "responsibilities", "hereunder", "(", "other", "than", "by", "reason", "of", "the", "Executives", "physical", "or", "mental", "illness", ",", "incapacity", "or", "disability", ")", "that", "has", "continued", "for", "more", "than", "30", "days", "following", "written", "notice", "of", "such", "non-performance", "from", "the", "Board", ";", "or", "(", "v", ")", "a", "breach", "by", "the", "Executive", "of", "Section8", "or", "of", "any", "other", "Restrictive", "Covenant", "Obligation", ".", "In", "the", "event", "of", "a", "breach", "or", "violation", "of", "subsections", "(", "iv", ")", "or", "(", "v", ")", ",", "if", "the", "breach", "or", "violation", "is", "curable", "as", "determined", "by", "the", "Board", "(", "which", "determination", "shall", "be", "conclusive", ")", ",", "the", "Executive", "shall", "have", "no", "more", "than", "30", "days", "to", "cure", "such", "violation", "after", "written", "notice", "of", "such", "breach", "or", "violation", "by", "the", "Board", "(", "the", "Cause", "Cure", "Period", ",", ")", "provided", "that", "Executive", "shall", "not", "be", "entitled", "to", "more", "than", "one", "Cause", "Cure", "Period", "in", "any", "12-month", "period", "."]}
{"id": "11039", "text": "(iii) the consummation of (A)any consolidation or merger of the Company where the stockholders of the Company, immediately prior to the consolidation or merger, would not, immediately after the consolidation or merger, beneficially own (as such term is defined in Rule 13d- 3 under the Act), directly or indirectly, shares representing in the aggregate more than 50 percent of the voting shares of the Company issuing cash or securities in the consolidation or merger (or of its ultimate parent corporation, if any), or (B)any sale or other transfer (in one transaction or a series of transactions contemplated or arranged by any party as a single plan) of all or substantially all of the assets of the Company.", "ner": [[50, 53, "Regulation"], [70, 71, "Percentage"]], "tokenized_text": ["(", "iii", ")", "the", "consummation", "of", "(", "A", ")", "any", "consolidation", "or", "merger", "of", "the", "Company", "where", "the", "stockholders", "of", "the", "Company", ",", "immediately", "prior", "to", "the", "consolidation", "or", "merger", ",", "would", "not", ",", "immediately", "after", "the", "consolidation", "or", "merger", ",", "beneficially", "own", "(", "as", "such", "term", "is", "defined", "in", "Rule", "13d", "-", "3", "under", "the", "Act", ")", ",", "directly", "or", "indirectly", ",", "shares", "representing", "in", "the", "aggregate", "more", "than", "50", "percent", "of", "the", "voting", "shares", "of", "the", "Company", "issuing", "cash", "or", "securities", "in", "the", "consolidation", "or", "merger", "(", "or", "of", "its", "ultimate", "parent", "corporation", ",", "if", "any", ")", ",", "or", "(", "B", ")", "any", "sale", "or", "other", "transfer", "(", "in", "one", "transaction", "or", "a", "series", "of", "transactions", "contemplated", "or", "arranged", "by", "any", "party", "as", "a", "single", "plan", ")", "of", "all", "or", "substantially", "all", "of", "the", "assets", "of", "the", "Company", "."]}
{"id": "11041", "text": "9\\. Consent to jurisdiction; Jury Waiver. The parties hereby agree that the state and federal courts of Massachusetts shall be the exclusive jurisdiction and exclusive venue for any such court action. Accordingly, with respect to any such court action, the Executive submits to the exclusive personal jurisdiction of such courts. THE PARTIES HEREBY WAIVE ANY RIGHT TO A JURY TRIAL WITH RESPECT TO ANY SUCH COURT ACTION.", "ner": [[16, 21, "Court"]], "tokenized_text": ["9", "\\", ".", "Consent", "to", "jurisdiction", ";", "Jury", "Waiver", ".", "The", "parties", "hereby", "agree", "that", "the", "state", "and", "federal", "courts", "of", "Massachusetts", "shall", "be", "the", "exclusive", "jurisdiction", "and", "exclusive", "venue", "for", "any", "such", "court", "action", ".", "Accordingly", ",", "with", "respect", "to", "any", "such", "court", "action", ",", "the", "Executive", "submits", "to", "the", "exclusive", "personal", "jurisdiction", "of", "such", "courts", ".", "THE", "PARTIES", "HEREBY", "WAIVE", "ANY", "RIGHT", "TO", "A", "JURY", "TRIAL", "WITH", "RESPECT", "TO", "ANY", "SUCH", "COURT", "ACTION", "."]}
{"id": "11042", "text": "/s/ Edward Wholihan | | Edward Wholihan Its: | | Chief Financial Officer EXECUTIVE: /s/ Alexey Margolin Alexey Margolin , Ph.D.", "ner": [[3, 4, "Parties"], [13, 15, "Role"], [21, 22, "Parties"]], "tokenized_text": ["/", "s", "/", "Edward", "Wholihan", "|", "|", "Edward", "Wholihan", "Its", ":", "|", "|", "Chief", "Financial", "Officer", "EXECUTIVE", ":", "/", "s", "/", "Alexey", "Margolin", "Alexey", "Margolin", ",", "Ph", ".", "D", "."]}
{"id": "11044", "text": "(h) Governing Law. This Agreement shall be governed by and construed in accordance with the laws of the Commonwealth of Massachusetts (without reference to the conflicts of laws provisions thereof). Any action, suit, or other legal proceeding which is commenced to resolve any matter arising under or relating to any provision of this Agreement shall be commenced only in a court of the Commonwealth of Massachusetts (or, if appropriate, a federal court located within Massachusetts ), and the Company and the Employee each consents to the jurisdiction of such a court. THE COMPANY AND THE EMPLOYEE EACH HEREBY IRREVOCABLY WAIVE ANY RIGHT TO A TRIAL BY JURY IN ANY ACTION. SUIT OR OTHER LEGAL PROCEEDING ARISING UNDER OR RELATING TO ANY PROVISION OF THIS AGREEMENT OR YOUR EMPLOYMENT BY THE COMPANY.", "ner": [[21, 23, "Court"]], "tokenized_text": ["(", "h", ")", "Governing", "Law", ".", "This", "Agreement", "shall", "be", "governed", "by", "and", "construed", "in", "accordance", "with", "the", "laws", "of", "the", "Commonwealth", "of", "Massachusetts", "(", "without", "reference", "to", "the", "conflicts", "of", "laws", "provisions", "thereof", ")", ".", "Any", "action", ",", "suit", ",", "or", "other", "legal", "proceeding", "which", "is", "commenced", "to", "resolve", "any", "matter", "arising", "under", "or", "relating", "to", "any", "provision", "of", "this", "Agreement", "shall", "be", "commenced", "only", "in", "a", "court", "of", "the", "Commonwealth", "of", "Massachusetts", "(", "or", ",", "if", "appropriate", ",", "a", "federal", "court", "located", "within", "Massachusetts", ")", ",", "and", "the", "Company", "and", "the", "Employee", "each", "consents", "to", "the", "jurisdiction", "of", "such", "a", "court", ".", "THE", "COMPANY", "AND", "THE", "EMPLOYEE", "EACH", "HEREBY", "IRREVOCABLY", "WAIVE", "ANY", "RIGHT", "TO", "A", "TRIAL", "BY", "JURY", "IN", "ANY", "ACTION", ".", "SUIT", "OR", "OTHER", "LEGAL", "PROCEEDING", "ARISING", "UNDER", "OR", "RELATING", "TO", "ANY", "PROVISION", "OF", "THIS", "AGREEMENT", "OR", "YOUR", "EMPLOYMENT", "BY", "THE", "COMPANY", "."]}
{"id": "11045", "text": "| | | | | | ---|---|---|---|---|---|--- | | | | Allena Pharmaceuticals, Inc. | | | Date: September 8, 2011 | | | | By: | |", "ner": [[37, 41, "Parties"], [47, 50, "EffectiveDate"]], "tokenized_text": ["|", "|", "|", "|", "|", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "|", "|", "|", "Allena", "Pharmaceuticals", ",", "Inc", ".", "|", "|", "|", "Date", ":", "September", "8", ",", "2011", "|", "|", "|", "|", "By", ":", "|", "|"]}
{"id": "11047", "text": "This Agreement is made between Allena Pharmaceuticals, Inc. , a Delaware corporation (hereinafter referred to collectively with its subsidiaries as the Company), and Alexey Margolin (the Employee).", "ner": [[5, 9, "Parties"], [28, 29, "Parties"]], "tokenized_text": ["This", "Agreement", "is", "made", "between", "Allena", "Pharmaceuticals", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "hereinafter", "referred", "to", "collectively", "with", "its", "subsidiaries", "as", "the", "Company", ")", ",", "and", "Alexey", "Margolin", "(", "the", "Employee", ")", "."]}
{"id": "11048", "text": "(i) Governing Law. This Agreement shall be governed by and construed in accordance with the laws of the Commonwealth of Massachusetts (without reference to the conflicts of laws provisions thereof). Any action, suit, or other legal proceeding which is commenced to resolve any matter arising under or relating to any provision of this Agreement shall be commenced only in a court of the Commonwealth of Massachusetts (or, if appropriate, a federal court located within Massachusetts ), and the Company and the Employee each consents to the jurisdiction of such a court. THE COMPANY AND THE EMPLOYEE EACH HEREBY IRREVOCABLY WAIVE ANY RIGHT TO A TRIAL BY JURY IN ANY ACTION, SUIT OR OTHER LEGAL PROCEEDING ARISING UNDER OR RELATING TO ANY PROVISION OF THIS AGREEMENT OR YOUR EMPLOYMENT BY THE COMPANY.", "ner": [[21, 23, "Court"]], "tokenized_text": ["(", "i", ")", "Governing", "Law", ".", "This", "Agreement", "shall", "be", "governed", "by", "and", "construed", "in", "accordance", "with", "the", "laws", "of", "the", "Commonwealth", "of", "Massachusetts", "(", "without", "reference", "to", "the", "conflicts", "of", "laws", "provisions", "thereof", ")", ".", "Any", "action", ",", "suit", ",", "or", "other", "legal", "proceeding", "which", "is", "commenced", "to", "resolve", "any", "matter", "arising", "under", "or", "relating", "to", "any", "provision", "of", "this", "Agreement", "shall", "be", "commenced", "only", "in", "a", "court", "of", "the", "Commonwealth", "of", "Massachusetts", "(", "or", ",", "if", "appropriate", ",", "a", "federal", "court", "located", "within", "Massachusetts", ")", ",", "and", "the", "Company", "and", "the", "Employee", "each", "consents", "to", "the", "jurisdiction", "of", "such", "a", "court", ".", "THE", "COMPANY", "AND", "THE", "EMPLOYEE", "EACH", "HEREBY", "IRREVOCABLY", "WAIVE", "ANY", "RIGHT", "TO", "A", "TRIAL", "BY", "JURY", "IN", "ANY", "ACTION", ",", "SUIT", "OR", "OTHER", "LEGAL", "PROCEEDING", "ARISING", "UNDER", "OR", "RELATING", "TO", "ANY", "PROVISION", "OF", "THIS", "AGREEMENT", "OR", "YOUR", "EMPLOYMENT", "BY", "THE", "COMPANY", "."]}
{"id": "11050", "text": "1.2 Duties. During the Term, Executive shall be employed by the Company as Vice President , Manufacturing of the Company , and, as such, Executive shall faithfully perform for the Company the duties of said office and shall perform such other duties of an executive , managerial or administrative nature as shall be specified and designated from time to time by the Board of Directors (the Board) of the Company. Executive shall report to the Chief Executive Officer (the CEO) of the Company. Executive shall devote substantially all of his business time and effort to the performance of his duties hereunder, except that Executive may devote reasonable time and attention to civic, charitable, business or social activities so long as such activities do not interfere with Executives employment duties. Executive shall comply with the policies, standards, and regulations established from time to time by the Company.", "ner": [[17, 18, "Role"], [84, 86, "Role"], [89, 89, "Role"]], "tokenized_text": ["1", ".", "2", "Duties", ".", "During", "the", "Term", ",", "Executive", "shall", "be", "employed", "by", "the", "Company", "as", "Vice", "President", ",", "Manufacturing", "of", "the", "Company", ",", "and", ",", "as", "such", ",", "Executive", "shall", "faithfully", "perform", "for", "the", "Company", "the", "duties", "of", "said", "office", "and", "shall", "perform", "such", "other", "duties", "of", "an", "executive", ",", "managerial", "or", "administrative", "nature", "as", "shall", "be", "specified", "and", "designated", "from", "time", "to", "time", "by", "the", "Board", "of", "Directors", "(", "the", "Board", ")", "of", "the", "Company", ".", "Executive", "shall", "report", "to", "the", "Chief", "Executive", "Officer", "(", "the", "CEO", ")", "of", "the", "Company", ".", "Executive", "shall", "devote", "substantially", "all", "of", "his", "business", "time", "and", "effort", "to", "the", "performance", "of", "his", "duties", "hereunder", ",", "except", "that", "Executive", "may", "devote", "reasonable", "time", "and", "attention", "to", "civic", ",", "charitable", ",", "business", "or", "social", "activities", "so", "long", "as", "such", "activities", "do", "not", "interfere", "with", "Executives", "employment", "duties", ".", "Executive", "shall", "comply", "with", "the", "policies", ",", "standards", ",", "and", "regulations", "established", "from", "time", "to", "time", "by", "the", "Company", "."]}
{"id": "11051", "text": "4.1 Annual salary. During the Term, the Company shall pay Executive a base salary at the rate of $350,350 per annum, in accordance with the customary payroll practices of the Company applicable to senior executive s, but not less frequently than monthly. The compensation Committee (the compensation Committee) of the Board shall review Executives base salary during the Term and may increase such amount as it may deem advisable (such salary, as the same may be increased, the Annual salary). The Annual salary shall be prorated for any partial calendar year during the Term.", "ner": [[22, 25, "Salary"]], "tokenized_text": ["4", ".", "1", "Annual", "salary", ".", "During", "the", "Term", ",", "the", "Company", "shall", "pay", "Executive", "a", "base", "salary", "at", "the", "rate", "of", "$", "350", ",", "350", "per", "annum", ",", "in", "accordance", "with", "the", "customary", "payroll", "practices", "of", "the", "Company", "applicable", "to", "senior", "executive", "s", ",", "but", "not", "less", "frequently", "than", "monthly", ".", "The", "compensation", "Committee", "(", "the", "compensation", "Committee", ")", "of", "the", "Board", "shall", "review", "Executives", "base", "salary", "during", "the", "Term", "and", "may", "increase", "such", "amount", "as", "it", "may", "deem", "advisable", "(", "such", "salary", ",", "as", "the", "same", "may", "be", "increased", ",", "the", "Annual", "salary", ")", ".", "The", "Annual", "salary", "shall", "be", "prorated", "for", "any", "partial", "calendar", "year", "during", "the", "Term", "."]}
{"id": "11052", "text": "a.Annual Bonus compensation. During the Term, Executive shall be eligible to receive an annual bonus (the Annual Bonus) pursuant to the terms and conditions of the Companys annual incentive plan for executive officers (or any successor thereto). Based upon attainment of performance goals predetermined by the compensation Committee, Executive shall be entitled to an Annual Bonus payment at a target level of 50% of Executives Annual salary . The compensation Committee shall review the target annual bonus percentage during the Term and may increase such percentage as it may deem advisable (such target annual bonus, as the same may be increased, the Target Annual Bonus).", "ner": [[72, 73, "Percentage"]], "tokenized_text": ["a", ".", "Annual", "Bonus", "compensation", ".", "During", "the", "Term", ",", "Executive", "shall", "be", "eligible", "to", "receive", "an", "annual", "bonus", "(", "the", "Annual", "Bonus", ")", "pursuant", "to", "the", "terms", "and", "conditions", "of", "the", "Companys", "annual", "incentive", "plan", "for", "executive", "officers", "(", "or", "any", "successor", "thereto", ")", ".", "Based", "upon", "attainment", "of", "performance", "goals", "predetermined", "by", "the", "compensation", "Committee", ",", "Executive", "shall", "be", "entitled", "to", "an", "Annual", "Bonus", "payment", "at", "a", "target", "level", "of", "50", "%", "of", "Executives", "Annual", "salary", ".", "The", "compensation", "Committee", "shall", "review", "the", "target", "annual", "bonus", "percentage", "during", "the", "Term", "and", "may", "increase", "such", "percentage", "as", "it", "may", "deem", "advisable", "(", "such", "target", "annual", "bonus", ",", "as", "the", "same", "may", "be", "increased", ",", "the", "Target", "Annual", "Bonus", ")", "."]}
{"id": "11053", "text": "a material reduction of Executives Annual salary or Target Annual Bonus opportunity (except for across-the-board annual base salary or annual target bonus opportunity reductions affecting all senior executive s of the Company); | ---|--- ii.", "ner": [], "tokenized_text": ["a", "material", "reduction", "of", "Executives", "Annual", "salary", "or", "Target", "Annual", "Bonus", "opportunity", "(", "except", "for", "across-the-board", "annual", "base", "salary", "or", "annual", "target", "bonus", "opportunity", "reductions", "affecting", "all", "senior", "executive", "s", "of", "the", "Company", ")", ";", "|", "-", "-", "-", "|", "-", "-", "-", "ii", "."]}
{"id": "11055", "text": "the Incumbent Directors cease for any reason to constitute at least 60% of the Board; | ---|--- iii.", "ner": [[11, 12, "Percentage"]], "tokenized_text": ["the", "Incumbent", "Directors", "cease", "for", "any", "reason", "to", "constitute", "at", "least", "60", "%", "of", "the", "Board", ";", "|", "-", "-", "-", "|", "-", "-", "-", "iii", "."]}
{"id": "11059", "text": "Renewable Energy Group, Inc.", "ner": [[0, 5, "Parties"]], "tokenized_text": ["Renewable", "Energy", "Group", ",", "Inc", "."]}
{"id": "11062", "text": "This Employee Non-Competition and Confidentiality Agreement (this Agreement) is made between RENEWABLE ENERGY GROUP, INC., a Delaware corporation (the Employer), and Brad Albin (Employee).", "ner": [[1, 5, "Title"], [13, 18, "Parties"], [29, 30, "Parties"]], "tokenized_text": ["This", "Employee", "Non-Competition", "and", "Confidentiality", "Agreement", "(", "this", "Agreement", ")", "is", "made", "between", "RENEWABLE", "ENERGY", "GROUP", ",", "INC", ".", ",", "a", "Delaware", "corporation", "(", "the", "Employer", ")", ",", "and", "Brad", "Albin", "(", "Employee", ")", "."]}
{"id": "11068", "text": "(i)During the Employment Period, Executive shall serve as the Chief Financial Officer of the Employer and shall have the normal duties, responsibilities and authority implied by such position and such other duties and responsibilities as are assigned by the Chief Executive Officer and/or his or her designee.", "ner": [[13, 15, "Role"], [44, 46, "Role"]], "tokenized_text": ["(", "i", ")", "During", "the", "Employment", "Period", ",", "Executive", "shall", "serve", "as", "the", "Chief", "Financial", "Officer", "of", "the", "Employer", "and", "shall", "have", "the", "normal", "duties", ",", "responsibilities", "and", "authority", "implied", "by", "such", "position", "and", "such", "other", "duties", "and", "responsibilities", "as", "are", "assigned", "by", "the", "Chief", "Executive", "Officer", "and", "/", "or", "his", "or", "her", "designee", "."]}
{"id": "11069", "text": "(i)Salary. During the Employment Period, the Employer will pay Executive a base salary of $265,000 per annum (the Base salary). The Board may review the Base salary of Executive and may adjust the Base salary by such amount as the Board, in its sole discretion, shall deem appropriate. The term Base salary as used in this Agreement shall refer to the Base salary as it may be so adjusted.", "ner": [[19, 22, "Salary"]], "tokenized_text": ["(", "i", ")", "Salary", ".", "During", "the", "Employment", "Period", ",", "the", "Employer", "will", "pay", "Executive", "a", "base", "salary", "of", "$", "265", ",", "000", "per", "annum", "(", "the", "Base", "salary", ")", ".", "The", "Board", "may", "review", "the", "Base", "salary", "of", "Executive", "and", "may", "adjust", "the", "Base", "salary", "by", "such", "amount", "as", "the", "Board", ",", "in", "its", "sole", "discretion", ",", "shall", "deem", "appropriate", ".", "The", "term", "Base", "salary", "as", "used", "in", "this", "Agreement", "shall", "refer", "to", "the", "Base", "salary", "as", "it", "may", "be", "so", "adjusted", "."]}
{"id": "11071", "text": "twenty-four (24) months after such Separation (and with the first payment to include the first two monthly installments); provided, that if Executives employment with the Employer and its Affiliates is terminated by the Employer without Cause or by Executive for Good Reason prior to the one (1) year of the anniversary of the Effective Date, Executive shall only be entitled to Base salary continuation pursuant to Section 1(d)(i)(1) (A) for one (1) year after such termination;", "ner": [[51, 55, "TerminationDate"]], "tokenized_text": ["twenty-four", "(", "24", ")", "months", "after", "such", "Separation", "(", "and", "with", "the", "first", "payment", "to", "include", "the", "first", "two", "monthly", "installments", ")", ";", "provided", ",", "that", "if", "Executives", "employment", "with", "the", "Employer", "and", "its", "Affiliates", "is", "terminated", "by", "the", "Employer", "without", "Cause", "or", "by", "Executive", "for", "Good", "Reason", "prior", "to", "the", "one", "(", "1", ")", "year", "of", "the", "anniversary", "of", "the", "Effective", "Date", ",", "Executive", "shall", "only", "be", "entitled", "to", "Base", "salary", "continuation", "pursuant", "to", "Section", "1", "(", "d", ")", "(", "i", ")", "(", "1", ")", "(", "A", ")", "for", "one", "(", "1", ")", "year", "after", "such", "termination", ";"]}
{"id": "11074", "text": "(a)Non-Competition. Executive shall not, while Executive is employed by the Employer and for two (2) years after the date of any Separation (the Restricted Period), directly or indirectly, engage, without the prior express written consent of the Board, in any business or activity, whether as an employee, consultant, partner, principal, agent, representative, director, stockholder or in any other individual, corporate or representative capacity, or render any services or provide any advice to any business, activity, service or Person, if such business, activity, service or Person competes with the Business or could reasonably be assumed to subsequently provide products or services which would compete with the Business. In addition, Executive shall not, during the Restricted Period, assist, help or otherwise support, without the prior express written consent of the Employer, any Person, business or other activity, whether as an employee, consultant, partner, principal, agent, representative, director, stockholder or in any other individual, corporate or representative capacity, to create, commence or otherwise initiate, or to develop, enhance or otherwise further, any business or activity if such business or activity competes (or is reasonably likely to compete (as determined by the Board in its sole discretion)) with the Business. Notwithstanding the foregoing, Executive shall not be prohibited during the Restricted Period from being a passive investor where Executive owns not more than five percent (5%) of the outstanding capital stock of any publicly-held company.", "ner": [[278, 279, "Percentage"]], "tokenized_text": ["(", "a", ")", "Non-Competition", ".", "Executive", "shall", "not", ",", "while", "Executive", "is", "employed", "by", "the", "Employer", "and", "for", "two", "(", "2", ")", "years", "after", "the", "date", "of", "any", "Separation", "(", "the", "Restricted", "Period", ")", ",", "directly", "or", "indirectly", ",", "engage", ",", "without", "the", "prior", "express", "written", "consent", "of", "the", "Board", ",", "in", "any", "business", "or", "activity", ",", "whether", "as", "an", "employee", ",", "consultant", ",", "partner", ",", "principal", ",", "agent", ",", "representative", ",", "director", ",", "stockholder", "or", "in", "any", "other", "individual", ",", "corporate", "or", "representative", "capacity", ",", "or", "render", "any", "services", "or", "provide", "any", "advice", "to", "any", "business", ",", "activity", ",", "service", "or", "Person", ",", "if", "such", "business", ",", "activity", ",", "service", "or", "Person", "competes", "with", "the", "Business", "or", "could", "reasonably", "be", "assumed", "to", "subsequently", "provide", "products", "or", "services", "which", "would", "compete", "with", "the", "Business", ".", "In", "addition", ",", "Executive", "shall", "not", ",", "during", "the", "Restricted", "Period", ",", "assist", ",", "help", "or", "otherwise", "support", ",", "without", "the", "prior", "express", "written", "consent", "of", "the", "Employer", ",", "any", "Person", ",", "business", "or", "other", "activity", ",", "whether", "as", "an", "employee", ",", "consultant", ",", "partner", ",", "principal", ",", "agent", ",", "representative", ",", "director", ",", "stockholder", "or", "in", "any", "other", "individual", ",", "corporate", "or", "representative", "capacity", ",", "to", "create", ",", "commence", "or", "otherwise", "initiate", ",", "or", "to", "develop", ",", "enhance", "or", "otherwise", "further", ",", "any", "business", "or", "activity", "if", "such", "business", "or", "activity", "competes", "(", "or", "is", "reasonably", "likely", "to", "compete", "(", "as", "determined", "by", "the", "Board", "in", "its", "sole", "discretion", ")", ")", "with", "the", "Business", ".", "Notwithstanding", "the", "foregoing", ",", "Executive", "shall", "not", "be", "prohibited", "during", "the", "Restricted", "Period", "from", "being", "a", "passive", "investor", "where", "Executive", "owns", "not", "more", "than", "five", "percent", "(", "5", "%", ")", "of", "the", "outstanding", "capital", "stock", "of", "any", "publicly-held", "company", "."]}
{"id": "11076", "text": "/s/ Diane D. Reed", "ner": [[3, 6, "Parties"]], "tokenized_text": ["/", "s", "/", "Diane", "D", ".", "Reed"]}
{"id": "11077", "text": "THIS FOUNDER EMPLOYMENT AGREEMENT (this \"Agreement\") is entered into this 10th day of October, 2017 , to take effect October 1st, 2017 (the \"Effective Date\"), by and between InVESTVIEW INC . a Nevada corporation (the \"Employer\"), and Ryan Smith (the \"Founder\").", "ner": [[1, 1, "Role"], [2, 3, "Title"], [14, 19, "EffectiveDate"], [24, 27, "EffectiveDate"], [39, 41, "Parties"], [53, 54, "Parties"]], "tokenized_text": ["THIS", "FOUNDER", "EMPLOYMENT", "AGREEMENT", "(", "this", "\"", "Agreement", "\"", ")", "is", "entered", "into", "this", "10th", "day", "of", "October", ",", "2017", ",", "to", "take", "effect", "October", "1st", ",", "2017", "(", "the", "\"", "Effective", "Date", "\"", ")", ",", "by", "and", "between", "InVESTVIEW", "INC", ".", "a", "Nevada", "corporation", "(", "the", "\"", "Employer", "\"", ")", ",", "and", "Ryan", "Smith", "(", "the", "\"", "Founder", "\"", ")", "."]}
{"id": "11078", "text": "1.3Duties. During the term of this Agreement, the Founder shall be employed by the Employer and shall serve as Chief Executive Officer . The Founder shall serve in such offices or positions with the Employer or any subsidiary of the Employer and such substitute or further offices or positions of substantially consistent rank and authority. The Founder shall perform such duties appropriate for a founding officer of Employer as may be assigned to him from time to time by the Employer and as described in the Employer's bylaws. The Employer shall direct, control, and supervise the duties and work of the Founder.", "ner": [[23, 25, "Role"]], "tokenized_text": ["1", ".", "3Duties", ".", "During", "the", "term", "of", "this", "Agreement", ",", "the", "Founder", "shall", "be", "employed", "by", "the", "Employer", "and", "shall", "serve", "as", "Chief", "Executive", "Officer", ".", "The", "Founder", "shall", "serve", "in", "such", "offices", "or", "positions", "with", "the", "Employer", "or", "any", "subsidiary", "of", "the", "Employer", "and", "such", "substitute", "or", "further", "offices", "or", "positions", "of", "substantially", "consistent", "rank", "and", "authority", ".", "The", "Founder", "shall", "perform", "such", "duties", "appropriate", "for", "a", "founding", "officer", "of", "Employer", "as", "may", "be", "assigned", "to", "him", "from", "time", "to", "time", "by", "the", "Employer", "and", "as", "described", "in", "the", "Employer", "'", "s", "bylaws", ".", "The", "Employer", "shall", "direct", ",", "control", ",", "and", "supervise", "the", "duties", "and", "work", "of", "the", "Founder", "."]}
{"id": "11079", "text": "(ii)the sale, exchange, or other disposition to a single person or group of persons under common control in one transaction or series of related transactions resulting in such person or persons owning, directly or indirectly, greater than twenty-five percent (25%) of the combined voting power of the outstanding shares of the Employer's common stock;", "ner": [[47, 48, "Percentage"]], "tokenized_text": ["(", "ii", ")", "the", "sale", ",", "exchange", ",", "or", "other", "disposition", "to", "a", "single", "person", "or", "group", "of", "persons", "under", "common", "control", "in", "one", "transaction", "or", "series", "of", "related", "transactions", "resulting", "in", "such", "person", "or", "persons", "owning", ",", "directly", "or", "indirectly", ",", "greater", "than", "twenty-five", "percent", "(", "25", "%", ")", "of", "the", "combined", "voting", "power", "of", "the", "outstanding", "shares", "of", "the", "Employer", "'", "s", "common", "stock", ";"]}
{"id": "11082", "text": "| EMPLOYER: ---|--- | Address: | Investview, Inc. 12 South 400 West | | Salt Lake City, UT 84101 | | | By: | ![](tv476913_ex10-24img1.jpg) | Name: | Ryan Smith | Title: | CEO | | | By: | ![](tv476913_ex10-24img2.jpg) | Name: | Annette Raynor | Title: | COO | | Address: | FOUNDER: 1836 West Phillip Street | | Kaysville, UT 84037 | | | By: | ![](tv476913_ex10-24img1.jpg) | Name: | Ryan Smith | Title: | Founder", "ner": [[14, 17, "Parties"], [18, 21, "Address"], [24, 29, "Address"], [54, 54, "Role"], [79, 79, "Role"], [85, 85, "Role"], [87, 90, "Address"], [93, 95, "Address"]], "tokenized_text": ["|", "EMPLOYER", ":", "-", "-", "-", "|", "-", "-", "-", "|", "Address", ":", "|", "Investview", ",", "Inc", ".", "12", "South", "400", "West", "|", "|", "Salt", "Lake", "City", ",", "UT", "84101", "|", "|", "|", "By", ":", "|", "!", "[", "]", "(", "tv476913_ex10-24img1", ".", "jpg", ")", "|", "Name", ":", "|", "Ryan", "Smith", "|", "Title", ":", "|", "CEO", "|", "|", "|", "By", ":", "|", "!", "[", "]", "(", "tv476913_ex10-24img2", ".", "jpg", ")", "|", "Name", ":", "|", "Annette", "Raynor", "|", "Title", ":", "|", "COO", "|", "|", "Address", ":", "|", "FOUNDER", ":", "1836", "West", "Phillip", "Street", "|", "|", "Kaysville", ",", "UT", "84037", "|", "|", "|", "By", ":", "|", "!", "[", "]", "(", "tv476913_ex10-24img1", ".", "jpg", ")", "|", "Name", ":", "|", "Ryan", "Smith", "|", "Title", ":", "|", "Founder"]}
{"id": "11083", "text": "This Executive Employment Agreement (this Agreement) is made and entered into this 20th day of October, 2017 (the Effective Date) by and between Spero Therapeutics, Inc. , a Delaware corporation (Company), and Thomas Parr Jr. (Executive).", "ner": [[1, 3, "Title"], [14, 19, "EffectiveDate"], [28, 32, "Parties"], [42, 45, "Parties"]], "tokenized_text": ["This", "Executive", "Employment", "Agreement", "(", "this", "Agreement", ")", "is", "made", "and", "entered", "into", "this", "20th", "day", "of", "October", ",", "2017", "(", "the", "Effective", "Date", ")", "by", "and", "between", "Spero", "Therapeutics", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "Company", ")", ",", "and", "Thomas", "Parr", "Jr", ".", "(", "Executive", ")", "."]}
{"id": "11084", "text": "WHEREAS, Executive is currently employed by Company as its Chief Scientific Officer , pursuant to the terms of that certain offer letter dated April9, 2014 (the Offer Letter);", "ner": [[10, 12, "Role"], [24, 26, "EffectiveDate"]], "tokenized_text": ["WHEREAS", ",", "Executive", "is", "currently", "employed", "by", "Company", "as", "its", "Chief", "Scientific", "Officer", ",", "pursuant", "to", "the", "terms", "of", "that", "certain", "offer", "letter", "dated", "April9", ",", "2014", "(", "the", "Offer", "Letter", ")", ";"]}
{"id": "11086", "text": "| 3. | compensation. ---|---|--- (a) Base salary. Company shall pay Executive a base salary (the Base salary) at the annual rate of Two Hundred Ninety-Three Thousand One Hundred Sixty-Four Dollars ( $293,164 ) . The Base salary shall be payable in substantially equal periodic installments in accordance with Companys payroll practices as in effect from time to time. Company shall deduct from each such installment all amounts required to be deducted or withheld under applicable law or under any employee benefit plan in which Executive participates. The Board or an appropriate committee thereof shall, on an annual basis, review the Base salary, which may be adjusted upward (but not downward) at Companys discretion.", "ner": [[49, 52, "Salary"]], "tokenized_text": ["|", "3", ".", "|", "compensation", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "(", "a", ")", "Base", "salary", ".", "Company", "shall", "pay", "Executive", "a", "base", "salary", "(", "the", "Base", "salary", ")", "at", "the", "annual", "rate", "of", "Two", "Hundred", "Ninety-Three", "Thousand", "One", "Hundred", "Sixty-Four", "Dollars", "(", "$", "293", ",", "164", ")", ".", "The", "Base", "salary", "shall", "be", "payable", "in", "substantially", "equal", "periodic", "installments", "in", "accordance", "with", "Companys", "payroll", "practices", "as", "in", "effect", "from", "time", "to", "time", ".", "Company", "shall", "deduct", "from", "each", "such", "installment", "all", "amounts", "required", "to", "be", "deducted", "or", "withheld", "under", "applicable", "law", "or", "under", "any", "employee", "benefit", "plan", "in", "which", "Executive", "participates", ".", "The", "Board", "or", "an", "appropriate", "committee", "thereof", "shall", ",", "on", "an", "annual", "basis", ",", "review", "the", "Base", "salary", ",", "which", "may", "be", "adjusted", "upward", "(", "but", "not", "downward", ")", "at", "Companys", "discretion", "."]}
{"id": "11088", "text": "(iii) Benefits payments. Upon completion of appropriate forms and subject to applicable terms and conditions under the Consolidated Omnibus Budget Reconciliation Act of 1985 , as amended ( COBRA ), Company shall continue to provide Executive medical insurance coverage to the same extent that such", "ner": [[20, 26, "Act"], [31, 31, "Act"]], "tokenized_text": ["(", "iii", ")", "Benefits", "payments", ".", "Upon", "completion", "of", "appropriate", "forms", "and", "subject", "to", "applicable", "terms", "and", "conditions", "under", "the", "Consolidated", "Omnibus", "Budget", "Reconciliation", "Act", "of", "1985", ",", "as", "amended", "(", "COBRA", ")", ",", "Company", "shall", "continue", "to", "provide", "Executive", "medical", "insurance", "coverage", "to", "the", "same", "extent", "that", "such"]}
{"id": "11095", "text": "/s/ Thomas Parr Jr.", "ner": [[3, 6, "Parties"]], "tokenized_text": ["/", "s", "/", "Thomas", "Parr", "Jr", "."]}
{"id": "11096", "text": "1.1Term. The Company hereby continues to employ Executive for a term (as the same may be extended, the Term) commencing as of August 15, 2017 and continuing until August 15, 2020 , unless terminated earlier in accordance with the provisions of Section 7. On August 15 , 2020 , the Term shall automatically be extended for successive one-year periods in accordance with the terms of this Agreement (subject to termination as aforesaid) unless either party notifies the other party of non-renewal in writing, in accordance with Section 12, 90 days prior to the expiration of the initial period or any subsequent renewal period.", "ner": [[28, 31, "EffectiveDate"], [35, 38, "TerminationDate"], [66, 66, "RenewalTerm"]], "tokenized_text": ["1", ".", "1Term", ".", "The", "Company", "hereby", "continues", "to", "employ", "Executive", "for", "a", "term", "(", "as", "the", "same", "may", "be", "extended", ",", "the", "Term", ")", "commencing", "as", "of", "August", "15", ",", "2017", "and", "continuing", "until", "August", "15", ",", "2020", ",", "unless", "terminated", "earlier", "in", "accordance", "with", "the", "provisions", "of", "Section", "7", ".", "On", "August", "15", ",", "2020", ",", "the", "Term", "shall", "automatically", "be", "extended", "for", "successive", "one-year", "periods", "in", "accordance", "with", "the", "terms", "of", "this", "Agreement", "(", "subject", "to", "termination", "as", "aforesaid", ")", "unless", "either", "party", "notifies", "the", "other", "party", "of", "non-renewal", "in", "writing", ",", "in", "accordance", "with", "Section", "12", ",", "90", "days", "prior", "to", "the", "expiration", "of", "the", "initial", "period", "or", "any", "subsequent", "renewal", "period", "."]}
{"id": "11098", "text": "(a)Annual Bonus compensation. During the Term, Executive shall be eligible to receive an annual bonus (the Annual Bonus) pursuant to the terms and conditions of the Companys annual incentive plan for executive officers (or any successor thereto). Based upon attainment of performance goals predetermined by the compensation Committee, Executive shall be entitled to an Annual Bonus payment at a target level of 50% of Executives Annual salary. The compensation Committee shall review the target annual bonus percentage during the Term and may increase such percentage as it may deem advisable (such target annual bonus, as the same may be increased, the Target Annual Bonus).", "ner": [[73, 74, "Percentage"]], "tokenized_text": ["(", "a", ")", "Annual", "Bonus", "compensation", ".", "During", "the", "Term", ",", "Executive", "shall", "be", "eligible", "to", "receive", "an", "annual", "bonus", "(", "the", "Annual", "Bonus", ")", "pursuant", "to", "the", "terms", "and", "conditions", "of", "the", "Companys", "annual", "incentive", "plan", "for", "executive", "officers", "(", "or", "any", "successor", "thereto", ")", ".", "Based", "upon", "attainment", "of", "performance", "goals", "predetermined", "by", "the", "compensation", "Committee", ",", "Executive", "shall", "be", "entitled", "to", "an", "Annual", "Bonus", "payment", "at", "a", "target", "level", "of", "50", "%", "of", "Executives", "Annual", "salary", ".", "The", "compensation", "Committee", "shall", "review", "the", "target", "annual", "bonus", "percentage", "during", "the", "Term", "and", "may", "increase", "such", "percentage", "as", "it", "may", "deem", "advisable", "(", "such", "target", "annual", "bonus", ",", "as", "the", "same", "may", "be", "increased", ",", "the", "Target", "Annual", "Bonus", ")", "."]}
{"id": "11099", "text": "a cash payment equal to 100% of Executives Annual salary, payable in equal installments over a 12-month period in accordance with the Companys usual and customary payroll practices; | ---|--- D.", "ner": [[5, 6, "Percentage"]], "tokenized_text": ["a", "cash", "payment", "equal", "to", "100", "%", "of", "Executives", "Annual", "salary", ",", "payable", "in", "equal", "installments", "over", "a", "12-month", "period", "in", "accordance", "with", "the", "Companys", "usual", "and", "customary", "payroll", "practices", ";", "|", "-", "-", "-", "|", "-", "-", "-", "D", "."]}
{"id": "11104", "text": "THIS EMPLOYMENT AGREEMENT (the\"Agreement\")dated asof August 21, 2017 is entered into between Zanderr Therapeutics, Inc. , a Nevada corporation, (the \"Company\")and Todd S. Caven (\"Employee\").", "ner": [[1, 2, "Title"], [11, 14, "EffectiveDate"], [19, 23, "Parties"], [36, 39, "Parties"]], "tokenized_text": ["THIS", "EMPLOYMENT", "AGREEMENT", "(", "the", "\"", "Agreement", "\"", ")", "dated", "asof", "August", "21", ",", "2017", "is", "entered", "into", "between", "Zanderr", "Therapeutics", ",", "Inc", ".", ",", "a", "Nevada", "corporation", ",", "(", "the", "\"", "Company", "\"", ")", "and", "Todd", "S", ".", "Caven", "(", "\"", "Employee", "\"", ")", "."]}
{"id": "11109", "text": "Employee acknowledges that any Stock Paymentsissued pursuant to this Agreement that are not registered pursuant to the Securities Act of 1933 shall constitute restricted securities as that term is defined in Rule 144 promulgated under the Securities Act of 1933 , and shall contain the following restrictive legend:", "ner": [[17, 20, "Act"], [31, 32, "Regulation"]], "tokenized_text": ["Employee", "acknowledges", "that", "any", "Stock", "Paymentsissued", "pursuant", "to", "this", "Agreement", "that", "are", "not", "registered", "pursuant", "to", "the", "Securities", "Act", "of", "1933", "shall", "constitute", "restricted", "securities", "as", "that", "term", "is", "defined", "in", "Rule", "144", "promulgated", "under", "the", "Securities", "Act", "of", "1933", ",", "and", "shall", "contain", "the", "following", "restrictive", "legend", ":"]}
{"id": "11110", "text": "THESE SECURITIES HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933 , AS AMENDED (THE ACT), OR SECURITIES LAWS OF ANY STATE AND MAY NOT BE OFFERED, SOLD, ASSIGNED, PLEDGED, TRANSFERRED OR OTHERWISE DISPOSED OF IN THE ABSENCE OF AN", "ner": [[8, 11, "Act"]], "tokenized_text": ["THESE", "SECURITIES", "HAVE", "NOT", "BEEN", "REGISTERED", "UNDER", "THE", "SECURITIES", "ACT", "OF", "1933", ",", "AS", "AMENDED", "(", "THE", "ACT", ")", ",", "OR", "SECURITIES", "LAWS", "OF", "ANY", "STATE", "AND", "MAY", "NOT", "BE", "OFFERED", ",", "SOLD", ",", "ASSIGNED", ",", "PLEDGED", ",", "TRANSFERRED", "OR", "OTHERWISE", "DISPOSED", "OF", "IN", "THE", "ABSENCE", "OF", "AN"]}
{"id": "11111", "text": "The Company may register any Stock Payment pursuant to the Securities Act of 1933 , but is not obligated to do so pursuant to this Agreement.", "ner": [[10, 13, "Act"]], "tokenized_text": ["The", "Company", "may", "register", "any", "Stock", "Payment", "pursuant", "to", "the", "Securities", "Act", "of", "1933", ",", "but", "is", "not", "obligated", "to", "do", "so", "pursuant", "to", "this", "Agreement", "."]}
{"id": "11112", "text": "b. Stock Compensation. Employee acknowledges he has received 500,000 Series M Preferred shares that are fully vested and considered compensation in full for service prior to the execution of this agreement .Employee acknowledges that any Series M Shares issued prior to or pursuant to this Agreement will not be registered pursuant to the Securities Act of 1933 , shall constitute restricted securities as that term is defined in Rule 144 promulgated under the Securities Act of 1933 and shall contain the following restrictive legend:", "ner": [[10, 12, "Shares"], [58, 61, "Act"], [73, 74, "Regulation"]], "tokenized_text": ["b", ".", "Stock", "Compensation", ".", "Employee", "acknowledges", "he", "has", "received", "500", ",", "000", "Series", "M", "Preferred", "shares", "that", "are", "fully", "vested", "and", "considered", "compensation", "in", "full", "for", "service", "prior", "to", "the", "execution", "of", "this", "agreement", ".", "Employee", "acknowledges", "that", "any", "Series", "M", "Shares", "issued", "prior", "to", "or", "pursuant", "to", "this", "Agreement", "will", "not", "be", "registered", "pursuant", "to", "the", "Securities", "Act", "of", "1933", ",", "shall", "constitute", "restricted", "securities", "as", "that", "term", "is", "defined", "in", "Rule", "144", "promulgated", "under", "the", "Securities", "Act", "of", "1933", "and", "shall", "contain", "the", "following", "restrictive", "legend", ":"]}
{"id": "11120", "text": "4.1. Annual Base Salary. Beginning with the Employment Commencement Date and continuing during the Term, the Company shall pay Executive on a salary basis. Executives initial Base Salary will be in the amount of Two Hundred Eighty- Five Thousand_Dollars ( $285,000 ) on an annualized basis. The Company will review the Base Salary approximately annually during the Term to determine, at the discretion of the Company, whether the Base Salary should be adjusted and, if so, the amount of such adjustment and the time at which the adjustment should take effect. The term Base Salary as used in this Agreement shall refer to the Base Salary as in effect from time to time, including any adjustments.", "ner": [[47, 50, "Salary"]], "tokenized_text": ["4", ".", "1", ".", "Annual", "Base", "Salary", ".", "Beginning", "with", "the", "Employment", "Commencement", "Date", "and", "continuing", "during", "the", "Term", ",", "the", "Company", "shall", "pay", "Executive", "on", "a", "salary", "basis", ".", "Executives", "initial", "Base", "Salary", "will", "be", "in", "the", "amount", "of", "Two", "Hundred", "Eighty", "-", "Five", "Thousand_Dollars", "(", "$", "285", ",", "000", ")", "on", "an", "annualized", "basis", ".", "The", "Company", "will", "review", "the", "Base", "Salary", "approximately", "annually", "during", "the", "Term", "to", "determine", ",", "at", "the", "discretion", "of", "the", "Company", ",", "whether", "the", "Base", "Salary", "should", "be", "adjusted", "and", ",", "if", "so", ",", "the", "amount", "of", "such", "adjustment", "and", "the", "time", "at", "which", "the", "adjustment", "should", "take", "effect", ".", "The", "term", "Base", "Salary", "as", "used", "in", "this", "Agreement", "shall", "refer", "to", "the", "Base", "Salary", "as", "in", "effect", "from", "time", "to", "time", ",", "including", "any", "adjustments", "."]}
{"id": "11121", "text": "6.11. Separation from Service. Whenever used in this Agreement, the word terminate or termination in connection with Executive's employment shall mean a separation from service of Executive from the Company and its affiliates within the meaning of Section 409A of the Internal Revenue Code of 1986 , as amended (the Code), and Treasury Regulation Section 1.409A-1(h) , and Executive's termination date shall be the date of such separation from service.", "ner": [[44, 45, "Regulation"], [48, 52, "Act"], [62, 67, "Regulation"]], "tokenized_text": ["6", ".", "11", ".", "Separation", "from", "Service", ".", "Whenever", "used", "in", "this", "Agreement", ",", "the", "word", "terminate", "or", "termination", "in", "connection", "with", "Executive", "'", "s", "employment", "shall", "mean", "a", "separation", "from", "service", "of", "Executive", "from", "the", "Company", "and", "its", "affiliates", "within", "the", "meaning", "of", "Section", "409A", "of", "the", "Internal", "Revenue", "Code", "of", "1986", ",", "as", "amended", "(", "the", "Code", ")", ",", "and", "Treasury", "Regulation", "Section", "1", ".", "409A-1", "(", "h", ")", ",", "and", "Executive", "'", "s", "termination", "date", "shall", "be", "the", "date", "of", "such", "separation", "from", "service", "."]}
{"id": "11122", "text": "By: /s/ Brian Recatto By: /s/ Mark DeVita", "ner": [[5, 6, "Parties"], [12, 13, "Parties"]], "tokenized_text": ["By", ":", "/", "s", "/", "Brian", "Recatto", "By", ":", "/", "s", "/", "Mark", "DeVita"]}
{"id": "11123", "text": "Brian Recatto Mark DeVita", "ner": [], "tokenized_text": ["Brian", "Recatto", "Mark", "DeVita"]}
{"id": "11124", "text": "This EMPLOYMENT AGREEMENT (the Agreement) is entered into on October12, 2017 , by and between OPTINOSE US,INC. , a Delaware corporation (the Company), and Keith A. Goldan (Executive).", "ner": [[1, 2, "Title"], [11, 13, "EffectiveDate"], [18, 22, "Parties"], [33, 36, "Parties"]], "tokenized_text": ["This", "EMPLOYMENT", "AGREEMENT", "(", "the", "Agreement", ")", "is", "entered", "into", "on", "October12", ",", "2017", ",", "by", "and", "between", "OPTINOSE", "US", ",", "INC", ".", ",", "a", "Delaware", "corporation", "(", "the", "Company", ")", ",", "and", "Keith", "A", ".", "Goldan", "(", "Executive", ")", "."]}
{"id": "11126", "text": "2. Title, Duties and Responsibilities. While Executive is employed by the Company, Executive will serve as the Chief Financial Officer of OptiNose,Inc . and will report to the Chief Executive Officer of OptiNose ,Inc . Executive will have such duties and responsibilities that are commensurate with Executives position and such other duties and responsibilities as are from time to time assigned to Executive by the Chief Executive Officer or the Board of Directors of the OptiNose,Inc. (the Board). While Executive is employed by the Company, Executive will devote Executives full business time, energy and skill to the performance of Executives duties and responsibilities hereunder. Executive will not be permitted to engage in other activities that interfere with Executives performance of his duties under this Agreement, conflict with the business of the Company or violate any provisions of Section8 herein. Executive shall, if requested by the Board, also serve as an officer or director of any affiliate of the Company for no additional compensation. Executives place of employment will be the Companys offices in Yardley, Pennsylvania.", "ner": [[21, 23, "Role"], [25, 28, "Parties"], [34, 36, "Role"], [38, 41, "Parties"], [72, 74, "Role"], [82, 85, "Parties"], [194, 196, "Address"]], "tokenized_text": ["2", ".", "Title", ",", "Duties", "and", "Responsibilities", ".", "While", "Executive", "is", "employed", "by", "the", "Company", ",", "Executive", "will", "serve", "as", "the", "Chief", "Financial", "Officer", "of", "OptiNose", ",", "Inc", ".", "and", "will", "report", "to", "the", "Chief", "Executive", "Officer", "of", "OptiNose", ",", "Inc", ".", "Executive", "will", "have", "such", "duties", "and", "responsibilities", "that", "are", "commensurate", "with", "Executives", "position", "and", "such", "other", "duties", "and", "responsibilities", "as", "are", "from", "time", "to", "time", "assigned", "to", "Executive", "by", "the", "Chief", "Executive", "Officer", "or", "the", "Board", "of", "Directors", "of", "the", "OptiNose", ",", "Inc", ".", "(", "the", "Board", ")", ".", "While", "Executive", "is", "employed", "by", "the", "Company", ",", "Executive", "will", "devote", "Executives", "full", "business", "time", ",", "energy", "and", "skill", "to", "the", "performance", "of", "Executives", "duties", "and", "responsibilities", "hereunder", ".", "Executive", "will", "not", "be", "permitted", "to", "engage", "in", "other", "activities", "that", "interfere", "with", "Executives", "performance", "of", "his", "duties", "under", "this", "Agreement", ",", "conflict", "with", "the", "business", "of", "the", "Company", "or", "violate", "any", "provisions", "of", "Section8", "herein", ".", "Executive", "shall", ",", "if", "requested", "by", "the", "Board", ",", "also", "serve", "as", "an", "officer", "or", "director", "of", "any", "affiliate", "of", "the", "Company", "for", "no", "additional", "compensation", ".", "Executives", "place", "of", "employment", "will", "be", "the", "Companys", "offices", "in", "Yardley", ",", "Pennsylvania", "."]}
{"id": "11127", "text": "Company or affiliate policy or the restrictive covenants set forth in Section8 of this Agreement or any other applicable restrictive covenants between Executive and the Company or any of its affiliates), (ii)Executives failure to follow the reasonable instructions of the Chief Executive Officer or the Board (other than as a result of total or partial incapacity due to physical or mental illness), which failure, if curable, is not cured within 30 days after notice to Executive specifying in reasonable detail the nature of such breach, or, if cured, recurs within 90 business days, (iii)Executives gross negligence, willful misconduct, fraud, insubordination, acts of dishonesty or conflict of interest relating to the Company or any of its affiliates, or (iv)Executives commission of any misdemeanor which has a material impact on the affairs, business or reputation of the Company or any of its affiliates or Executives indictment for, or plea of nolo contendere to, a crime constituting a felony under the laws of the United States or any state thereof. Upon a termination of Executives employment for Cause, all of Executives rights to compensation and benefits under Sections 3, 4 and 5 of this Agreement or otherwise shall immediately terminate, except that Executive shall be entitled to the Accrued Benefits.", "ner": [[45, 47, "Role"]], "tokenized_text": ["Company", "or", "affiliate", "policy", "or", "the", "restrictive", "covenants", "set", "forth", "in", "Section8", "of", "this", "Agreement", "or", "any", "other", "applicable", "restrictive", "covenants", "between", "Executive", "and", "the", "Company", "or", "any", "of", "its", "affiliates", ")", ",", "(", "ii", ")", "Executives", "failure", "to", "follow", "the", "reasonable", "instructions", "of", "the", "Chief", "Executive", "Officer", "or", "the", "Board", "(", "other", "than", "as", "a", "result", "of", "total", "or", "partial", "incapacity", "due", "to", "physical", "or", "mental", "illness", ")", ",", "which", "failure", ",", "if", "curable", ",", "is", "not", "cured", "within", "30", "days", "after", "notice", "to", "Executive", "specifying", "in", "reasonable", "detail", "the", "nature", "of", "such", "breach", ",", "or", ",", "if", "cured", ",", "recurs", "within", "90", "business", "days", ",", "(", "iii", ")", "Executives", "gross", "negligence", ",", "willful", "misconduct", ",", "fraud", ",", "insubordination", ",", "acts", "of", "dishonesty", "or", "conflict", "of", "interest", "relating", "to", "the", "Company", "or", "any", "of", "its", "affiliates", ",", "or", "(", "iv", ")", "Executives", "commission", "of", "any", "misdemeanor", "which", "has", "a", "material", "impact", "on", "the", "affairs", ",", "business", "or", "reputation", "of", "the", "Company", "or", "any", "of", "its", "affiliates", "or", "Executives", "indictment", "for", ",", "or", "plea", "of", "nolo", "contendere", "to", ",", "a", "crime", "constituting", "a", "felony", "under", "the", "laws", "of", "the", "United", "States", "or", "any", "state", "thereof", ".", "Upon", "a", "termination", "of", "Executives", "employment", "for", "Cause", ",", "all", "of", "Executives", "rights", "to", "compensation", "and", "benefits", "under", "Sections", "3", ",", "4", "and", "5", "of", "this", "Agreement", "or", "otherwise", "shall", "immediately", "terminate", ",", "except", "that", "Executive", "shall", "be", "entitled", "to", "the", "Accrued", "Benefits", "."]}
{"id": "11128", "text": "Good Reason shall mean, without Executives prior written consent, (i)a material diminution in Executives position or duties, authority or responsibilities including, without limitation, Executive ceasing to be an executive officer (as defined under Rule3b-7 of the Securities Exchange Act of 1934 , as amended (the Exchange Act)) of a company with a class of securities registered under Section12(b)of the Exchange Act ; ( ii)the assignment to Executive of any duties materially inconsistent with the duties and responsibilities of Chief Financial Officer , (iii)a reduction by the Company in Executives then-current Base Salary or Executives then-current Target Annual Bonus unless the salaries and target annual bonuses for all other senior executive officers are correspondingly and proportionately reduced by not greater than 15% and such reduction continues for no more than 12 months ; (iv)Executives relocation to offices of the Company that are more than fifty (50) miles from the Companys offices in Yardley, Pennsylvania; or (v)any action or inaction that constitutes a material breach of this Agreement by the Company. In order to invoke a termination for Good Reason, Executive must deliver a written notice of the grounds for such termination within thirty (30) days of the initial existence of the event giving rise to Good Reason and the Company shall have thirty (30) days to cure the circumstances. In order to terminate Executives employment, if at all, for Good Reason, Executive must terminate employment within sixty (60) days following the end of the cure period if the circumstances giving rise to Good Reason have not been cured.", "ner": [[0, 1, "Parties"], [42, 42, "Regulation"], [45, 49, "Act"], [69, 72, "Regulation"], [96, 98, "Role"], [141, 142, "Percentage"], [178, 180, "Address"], [225, 229, "TerminationDate"]], "tokenized_text": ["Good", "Reason", "shall", "mean", ",", "without", "Executives", "prior", "written", "consent", ",", "(", "i", ")", "a", "material", "diminution", "in", "Executives", "position", "or", "duties", ",", "authority", "or", "responsibilities", "including", ",", "without", "limitation", ",", "Executive", "ceasing", "to", "be", "an", "executive", "officer", "(", "as", "defined", "under", "Rule3b-7", "of", "the", "Securities", "Exchange", "Act", "of", "1934", ",", "as", "amended", "(", "the", "Exchange", "Act", ")", ")", "of", "a", "company", "with", "a", "class", "of", "securities", "registered", "under", "Section12", "(", "b", ")", "of", "the", "Exchange", "Act", ";", "(", "ii", ")", "the", "assignment", "to", "Executive", "of", "any", "duties", "materially", "inconsistent", "with", "the", "duties", "and", "responsibilities", "of", "Chief", "Financial", "Officer", ",", "(", "iii", ")", "a", "reduction", "by", "the", "Company", "in", "Executives", "then-current", "Base", "Salary", "or", "Executives", "then-current", "Target", "Annual", "Bonus", "unless", "the", "salaries", "and", "target", "annual", "bonuses", "for", "all", "other", "senior", "executive", "officers", "are", "correspondingly", "and", "proportionately", "reduced", "by", "not", "greater", "than", "15", "%", "and", "such", "reduction", "continues", "for", "no", "more", "than", "12", "months", ";", "(", "iv", ")", "Executives", "relocation", "to", "offices", "of", "the", "Company", "that", "are", "more", "than", "fifty", "(", "50", ")", "miles", "from", "the", "Companys", "offices", "in", "Yardley", ",", "Pennsylvania", ";", "or", "(", "v", ")", "any", "action", "or", "inaction", "that", "constitutes", "a", "material", "breach", "of", "this", "Agreement", "by", "the", "Company", ".", "In", "order", "to", "invoke", "a", "termination", "for", "Good", "Reason", ",", "Executive", "must", "deliver", "a", "written", "notice", "of", "the", "grounds", "for", "such", "termination", "within", "thirty", "(", "30", ")", "days", "of", "the", "initial", "existence", "of", "the", "event", "giving", "rise", "to", "Good", "Reason", "and", "the", "Company", "shall", "have", "thirty", "(", "30", ")", "days", "to", "cure", "the", "circumstances", ".", "In", "order", "to", "terminate", "Executives", "employment", ",", "if", "at", "all", ",", "for", "Good", "Reason", ",", "Executive", "must", "terminate", "employment", "within", "sixty", "(", "60", ")", "days", "following", "the", "end", "of", "the", "cure", "period", "if", "the", "circumstances", "giving", "rise", "to", "Good", "Reason", "have", "not", "been", "cured", "."]}
{"id": "11132", "text": "THIS EMPLOYMENT AGREEMENT (the\"Agreement\")dated asof August 5, 2017 is entered into between Zanderr Therapeutics, Inc ., a Nevada corporation, (the \"Company\")and Harry M. Lander (\"Employee\").", "ner": [[1, 2, "Title"], [11, 14, "EffectiveDate"], [19, 23, "Parties"], [36, 39, "Parties"]], "tokenized_text": ["THIS", "EMPLOYMENT", "AGREEMENT", "(", "the", "\"", "Agreement", "\"", ")", "dated", "asof", "August", "5", ",", "2017", "is", "entered", "into", "between", "Zanderr", "Therapeutics", ",", "Inc", ".", ",", "a", "Nevada", "corporation", ",", "(", "the", "\"", "Company", "\"", ")", "and", "Harry", "M", ".", "Lander", "(", "\"", "Employee", "\"", ")", "."]}
{"id": "11133", "text": "3\\. Duties. Employee shall be granted the title of President and Chief Scientific Officer of the Company subject to the authority of the Company's Chief Executive Officer (the CEO) . Employee shall perform such duties commensurate with his office and as directed the CEO such duties to include, but not be limited to:", "ner": [[12, 12, "Role"], [14, 16, "Role"], [29, 31, "Role"], [34, 34, "Role"], [50, 50, "Role"]], "tokenized_text": ["3", "\\", ".", "Duties", ".", "Employee", "shall", "be", "granted", "the", "title", "of", "President", "and", "Chief", "Scientific", "Officer", "of", "the", "Company", "subject", "to", "the", "authority", "of", "the", "Company", "'", "s", "Chief", "Executive", "Officer", "(", "the", "CEO", ")", ".", "Employee", "shall", "perform", "such", "duties", "commensurate", "with", "his", "office", "and", "as", "directed", "the", "CEO", "such", "duties", "to", "include", ",", "but", "not", "be", "limited", "to", ":"]}
{"id": "11135", "text": "Employee acknowledges that any Series M Shares issued prior to or pursuant to this Agreement will not be registered pursuant to the Securities Act of 1933 , shall constitute restricted securities as that term is defined in Rule 144 promulgated under the Securities Act of 1933 and shall contain the following restrictive legend:", "ner": [[22, 25, "Act"], [37, 38, "Regulation"]], "tokenized_text": ["Employee", "acknowledges", "that", "any", "Series", "M", "Shares", "issued", "prior", "to", "or", "pursuant", "to", "this", "Agreement", "will", "not", "be", "registered", "pursuant", "to", "the", "Securities", "Act", "of", "1933", ",", "shall", "constitute", "restricted", "securities", "as", "that", "term", "is", "defined", "in", "Rule", "144", "promulgated", "under", "the", "Securities", "Act", "of", "1933", "and", "shall", "contain", "the", "following", "restrictive", "legend", ":"]}
{"id": "11136", "text": "The terms and conditions of this Agreement shall be governed by andconstruedinaccordancewith the laws of the Stateor California . Any action to enforce this Agreementshall be brought in thestate courtslocated in San DiegoCounty,State of California.", "ner": [[31, 36, "Court"]], "tokenized_text": ["The", "terms", "and", "conditions", "of", "this", "Agreement", "shall", "be", "governed", "by", "andconstruedinaccordancewith", "the", "laws", "of", "the", "Stateor", "California", ".", "Any", "action", "to", "enforce", "this", "Agreementshall", "be", "brought", "in", "thestate", "courtslocated", "in", "San", "DiegoCounty", ",", "State", "of", "California", "."]}
{"id": "11139", "text": "THIS EMPLOYMENT AGREEMENT (the Agreement) is entered into October 16, 2017 (the Effective Date) between Townsquare Media, Inc. , a Delaware corporation (the Company), and Stuart Rosenstein (Executive).", "ner": [[1, 2, "Title"], [10, 13, "EffectiveDate"], [20, 24, "Parties"], [35, 36, "Parties"]], "tokenized_text": ["THIS", "EMPLOYMENT", "AGREEMENT", "(", "the", "Agreement", ")", "is", "entered", "into", "October", "16", ",", "2017", "(", "the", "Effective", "Date", ")", "between", "Townsquare", "Media", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "the", "Company", ")", ",", "and", "Stuart", "Rosenstein", "(", "Executive", ")", "."]}
{"id": "11141", "text": "(a) Base Salary. During the Employment Term, Executive shall be paid an annual base salary of $750,000 (Base Salary). The Base Salary shall be payable in accordance with the Companys regular payroll practices as then in effect. During the Employment Term, the Base Salary shall be reviewed annually and is subject to increase (but not decrease, including after any increase) at the discretion of the Compensation Committee of the Board (the Committee).", "ner": [[20, 23, "Salary"]], "tokenized_text": ["(", "a", ")", "Base", "Salary", ".", "During", "the", "Employment", "Term", ",", "Executive", "shall", "be", "paid", "an", "annual", "base", "salary", "of", "$", "750", ",", "000", "(", "Base", "Salary", ")", ".", "The", "Base", "Salary", "shall", "be", "payable", "in", "accordance", "with", "the", "Companys", "regular", "payroll", "practices", "as", "then", "in", "effect", ".", "During", "the", "Employment", "Term", ",", "the", "Base", "Salary", "shall", "be", "reviewed", "annually", "and", "is", "subject", "to", "increase", "(", "but", "not", "decrease", ",", "including", "after", "any", "increase", ")", "at", "the", "discretion", "of", "the", "Compensation", "Committee", "of", "the", "Board", "(", "the", "Committee", ")", "."]}
{"id": "11143", "text": "(h) Governing Law. This Agreement shall be governed by and construed and enforced in accordance with the laws of the State of New York applicable to contracts executed in and to be performed entirely within such State, without giving effect to the conflict of law principles thereof.", "ner": [[23, 26, "Court"]], "tokenized_text": ["(", "h", ")", "Governing", "Law", ".", "This", "Agreement", "shall", "be", "governed", "by", "and", "construed", "and", "enforced", "in", "accordance", "with", "the", "laws", "of", "the", "State", "of", "New", "York", "applicable", "to", "contracts", "executed", "in", "and", "to", "be", "performed", "entirely", "within", "such", "State", ",", "without", "giving", "effect", "to", "the", "conflict", "of", "law", "principles", "thereof", "."]}
{"id": "11144", "text": "TOWNSQUARE MEDIA, INC. |", "ner": [[0, 4, "Parties"]], "tokenized_text": ["TOWNSQUARE", "MEDIA", ",", "INC", ".", "|"]}
{"id": "11148", "text": "If I elect to revoke this General Release within this seven-day period, I must inform the Company by delivering a written notice of revocation to the Company, c/o Alyssa Goldberg at 240 Greenwich Ave., Greenwich, CT 06830; or facsimile (888) 512-4761 , no later than 11:59 p.m. on the seventh calendar day after I sign this General Release. I understand that, if I elect to exercise this revocation right, this General Release shall be voided in its entirety at the election of the Company and the Company shall be relieved of all obligations to provide the applicable payments and benefits set forth in my Employment Agreement that are subject to my executing, and not revoking, this General Release. I further understand that such payments will not begin to be provided unless and until the revocation period expires without my exercising the revocation right. I may, if I wish, elect to sign this General Release prior to the expiration of the 21-day consideration period, and I agree that if I elect to do so, my election is made freely and voluntarily and after having an opportunity to consult counsel.", "ner": [[35, 43, "Address"], [47, 50, "PII_Ref"], [122, 123, "Title"]], "tokenized_text": ["If", "I", "elect", "to", "revoke", "this", "General", "Release", "within", "this", "seven-day", "period", ",", "I", "must", "inform", "the", "Company", "by", "delivering", "a", "written", "notice", "of", "revocation", "to", "the", "Company", ",", "c", "/", "o", "Alyssa", "Goldberg", "at", "240", "Greenwich", "Ave", ".", ",", "Greenwich", ",", "CT", "06830", ";", "or", "facsimile", "(", "888", ")", "512-4761", ",", "no", "later", "than", "11", ":", "59", "p", ".", "m", ".", "on", "the", "seventh", "calendar", "day", "after", "I", "sign", "this", "General", "Release", ".", "I", "understand", "that", ",", "if", "I", "elect", "to", "exercise", "this", "revocation", "right", ",", "this", "General", "Release", "shall", "be", "voided", "in", "its", "entirety", "at", "the", "election", "of", "the", "Company", "and", "the", "Company", "shall", "be", "relieved", "of", "all", "obligations", "to", "provide", "the", "applicable", "payments", "and", "benefits", "set", "forth", "in", "my", "Employment", "Agreement", "that", "are", "subject", "to", "my", "executing", ",", "and", "not", "revoking", ",", "this", "General", "Release", ".", "I", "further", "understand", "that", "such", "payments", "will", "not", "begin", "to", "be", "provided", "unless", "and", "until", "the", "revocation", "period", "expires", "without", "my", "exercising", "the", "revocation", "right", ".", "I", "may", ",", "if", "I", "wish", ",", "elect", "to", "sign", "this", "General", "Release", "prior", "to", "the", "expiration", "of", "the", "21-day", "consideration", "period", ",", "and", "I", "agree", "that", "if", "I", "elect", "to", "do", "so", ",", "my", "election", "is", "made", "freely", "and", "voluntarily", "and", "after", "having", "an", "opportunity", "to", "consult", "counsel", "."]}
{"id": "11151", "text": "1. Employment Period. The Company shall continue to employ Executive during the Employment Period and Executive shall continue to remain in the employ of the Company and to provide services during the Employment Period in accordance with the terms of this Agreement. The Employment Period shall be the period beginning on the Effective Date and ending on December 31, 2019 , unless sooner terminated as provided herein. The Employment Period shall automatically be extended for one (1) additional year beginning on January 1, 2019 and on each January 1 thereafter unless either Party notifies the other Party, by written notice delivered no later than ninety (90) days prior to such January 1, that the Employment Period shall not be extended for an additional year. Notwithstanding any provision of this Agreement to the contrary, if a Change in Control occurs during the Employment Period, this Agreement shall remain in effect for the two (2)-year period following the Change in Control and shall then terminate.", "ner": [[60, 63, "TerminationDate"], [80, 85, "RenewalTerm"], [88, 91, "TerminationDate"], [166, 177, "TerminationDate"]], "tokenized_text": ["1", ".", "Employment", "Period", ".", "The", "Company", "shall", "continue", "to", "employ", "Executive", "during", "the", "Employment", "Period", "and", "Executive", "shall", "continue", "to", "remain", "in", "the", "employ", "of", "the", "Company", "and", "to", "provide", "services", "during", "the", "Employment", "Period", "in", "accordance", "with", "the", "terms", "of", "this", "Agreement", ".", "The", "Employment", "Period", "shall", "be", "the", "period", "beginning", "on", "the", "Effective", "Date", "and", "ending", "on", "December", "31", ",", "2019", ",", "unless", "sooner", "terminated", "as", "provided", "herein", ".", "The", "Employment", "Period", "shall", "automatically", "be", "extended", "for", "one", "(", "1", ")", "additional", "year", "beginning", "on", "January", "1", ",", "2019", "and", "on", "each", "January", "1", "thereafter", "unless", "either", "Party", "notifies", "the", "other", "Party", ",", "by", "written", "notice", "delivered", "no", "later", "than", "ninety", "(", "90", ")", "days", "prior", "to", "such", "January", "1", ",", "that", "the", "Employment", "Period", "shall", "not", "be", "extended", "for", "an", "additional", "year", ".", "Notwithstanding", "any", "provision", "of", "this", "Agreement", "to", "the", "contrary", ",", "if", "a", "Change", "in", "Control", "occurs", "during", "the", "Employment", "Period", ",", "this", "Agreement", "shall", "remain", "in", "effect", "for", "the", "two", "(", "2", ")", "-", "year", "period", "following", "the", "Change", "in", "Control", "and", "shall", "then", "terminate", "."]}
{"id": "11152", "text": "2. Duties. During the Employment Period, Executive shall devote Executives full business time, energies and talents to serving as the Chief Operating Officer of the Company, at the direction of the Companys President and Chief Executive Officer (the CEO). Executive shall have such duties and responsibilities as may be assigned to Executive from time to time by the CEO, which duties and responsibilities shall be commensurate with Executives position, shall perform all duties assigned to Executive faithfully and efficiently, subject to the direction of the CEO and shall have such authorities and powers as are inherent to the undertakings applicable to Executives position and necessary to carry out the responsibilities and duties required of Executive hereunder. Executive shall perform the duties required by", "ner": [[24, 26, "Role"], [37, 37, "Role"], [39, 41, "Role"], [44, 44, "Role"], [66, 66, "Role"], [96, 96, "Role"]], "tokenized_text": ["2", ".", "Duties", ".", "During", "the", "Employment", "Period", ",", "Executive", "shall", "devote", "Executives", "full", "business", "time", ",", "energies", "and", "talents", "to", "serving", "as", "the", "Chief", "Operating", "Officer", "of", "the", "Company", ",", "at", "the", "direction", "of", "the", "Companys", "President", "and", "Chief", "Executive", "Officer", "(", "the", "CEO", ")", ".", "Executive", "shall", "have", "such", "duties", "and", "responsibilities", "as", "may", "be", "assigned", "to", "Executive", "from", "time", "to", "time", "by", "the", "CEO", ",", "which", "duties", "and", "responsibilities", "shall", "be", "commensurate", "with", "Executives", "position", ",", "shall", "perform", "all", "duties", "assigned", "to", "Executive", "faithfully", "and", "efficiently", ",", "subject", "to", "the", "direction", "of", "the", "CEO", "and", "shall", "have", "such", "authorities", "and", "powers", "as", "are", "inherent", "to", "the", "undertakings", "applicable", "to", "Executives", "position", "and", "necessary", "to", "carry", "out", "the", "responsibilities", "and", "duties", "required", "of", "Executive", "hereunder", ".", "Executive", "shall", "perform", "the", "duties", "required", "by"]}
{"id": "11153", "text": "(a) Executive shall be compensated at an annual rate of three hundred twenty thousand dollars ( $320,000.00 ) (the Annual Base Salary), which shall be payable in accordance with the normal payroll practices of the Company then in effect. Beginning on January 1, 2018 and on each anniversary of such date, Executives Annual Base Salary shall be reviewed, and may be adjusted, by the Companys Board of Directors.", "ner": [[18, 23, "Salary"], [52, 55, "EffectiveDate"]], "tokenized_text": ["(", "a", ")", "Executive", "shall", "be", "compensated", "at", "an", "annual", "rate", "of", "three", "hundred", "twenty", "thousand", "dollars", "(", "$", "320", ",", "000", ".", "00", ")", "(", "the", "Annual", "Base", "Salary", ")", ",", "which", "shall", "be", "payable", "in", "accordance", "with", "the", "normal", "payroll", "practices", "of", "the", "Company", "then", "in", "effect", ".", "Beginning", "on", "January", "1", ",", "2018", "and", "on", "each", "anniversary", "of", "such", "date", ",", "Executives", "Annual", "Base", "Salary", "shall", "be", "reviewed", ",", "and", "may", "be", "adjusted", ",", "by", "the", "Companys", "Board", "of", "Directors", "."]}
{"id": "11154", "text": "(b) Executive shall be eligible to receive performance-based annual incentive bonuses (each, the Incentive Bonus) from the Company for each fiscal year ending during the Employment Period. Any such Incentive Bonus shall be paid to Executive within thirty (30) days of the completion of the respective fiscal year audit by the Companys auditor, but in no event later than two and one- half (2) months after the close of each such fiscal year. Executives annual Incentive Bonus opportunity shall be equal to forty percent (40%) of his Annual Base Salary; provided, however, that this amount may be reduced in an amount that will not give rise to a Good Reason under this Agreement.", "ner": [[70, 72, "Ratio"], [98, 99, "Percentage"]], "tokenized_text": ["(", "b", ")", "Executive", "shall", "be", "eligible", "to", "receive", "performance-based", "annual", "incentive", "bonuses", "(", "each", ",", "the", "Incentive", "Bonus", ")", "from", "the", "Company", "for", "each", "fiscal", "year", "ending", "during", "the", "Employment", "Period", ".", "Any", "such", "Incentive", "Bonus", "shall", "be", "paid", "to", "Executive", "within", "thirty", "(", "30", ")", "days", "of", "the", "completion", "of", "the", "respective", "fiscal", "year", "audit", "by", "the", "Companys", "auditor", ",", "but", "in", "no", "event", "later", "than", "two", "and", "one", "-", "half", "(", "2", ")", "months", "after", "the", "close", "of", "each", "such", "fiscal", "year", ".", "Executives", "annual", "Incentive", "Bonus", "opportunity", "shall", "be", "equal", "to", "forty", "percent", "(", "40", "%", ")", "of", "his", "Annual", "Base", "Salary", ";", "provided", ",", "however", ",", "that", "this", "amount", "may", "be", "reduced", "in", "an", "amount", "that", "will", "not", "give", "rise", "to", "a", "Good", "Reason", "under", "this", "Agreement", "."]}
{"id": "11157", "text": "10. Applicable Law. All questions concerning the construction, validity and interpretation of this Agreement and the performance of the obligations imposed by this Agreement shall be governed by the internal laws of the State of Iowa applicable to agreements made and wholly to be performed in such state without regard to conflicts of law provisions of any jurisdiction, and any court action commenced to enforce this Agreement shall have as its sole and exclusive venue the County of Johnson, Iowa.", "ner": [[36, 38, "Court"], [80, 84, "Court"]], "tokenized_text": ["10", ".", "Applicable", "Law", ".", "All", "questions", "concerning", "the", "construction", ",", "validity", "and", "interpretation", "of", "this", "Agreement", "and", "the", "performance", "of", "the", "obligations", "imposed", "by", "this", "Agreement", "shall", "be", "governed", "by", "the", "internal", "laws", "of", "the", "State", "of", "Iowa", "applicable", "to", "agreements", "made", "and", "wholly", "to", "be", "performed", "in", "such", "state", "without", "regard", "to", "conflicts", "of", "law", "provisions", "of", "any", "jurisdiction", ",", "and", "any", "court", "action", "commenced", "to", "enforce", "this", "Agreement", "shall", "have", "as", "its", "sole", "and", "exclusive", "venue", "the", "County", "of", "Johnson", ",", "Iowa", "."]}
{"id": "11158", "text": "(i) the consummation of the acquisition by any person (as such term is defined in Section 13(d) or 14(d) of the 1934 Act ) of beneficial ownership (within the meaning of Rule 13d-3 promulgated under the 1934 Act ) of fifty percent (50%) or more of the combined voting power of the then outstanding Voting Securities of the Company; or", "ner": [[23, 27, "Regulation"], [30, 31, "Act"], [41, 42, "Regulation"], [53, 54, "Percentage"]], "tokenized_text": ["(", "i", ")", "the", "consummation", "of", "the", "acquisition", "by", "any", "person", "(", "as", "such", "term", "is", "defined", "in", "Section", "13", "(", "d", ")", "or", "14", "(", "d", ")", "of", "the", "1934", "Act", ")", "of", "beneficial", "ownership", "(", "within", "the", "meaning", "of", "Rule", "13d-3", "promulgated", "under", "the", "1934", "Act", ")", "of", "fifty", "percent", "(", "50", "%", ")", "or", "more", "of", "the", "combined", "voting", "power", "of", "the", "then", "outstanding", "Voting", "Securities", "of", "the", "Company", ";", "or"]}
{"id": "11159", "text": "(iii) the consummation by the Company of: (A) a merger or consolidation if the shareholders immediately before such merger or consolidation do not, as a result of such merger or consolidation, own, directly or indirectly, more than fifty percent (50%) of the combined voting power of the then outstanding Voting Securities of the entity resulting from such merger or consolidation in substantially the same proportion as their ownership of the combined voting power of the Voting Securities of the Company outstanding immediately before such merger or consolidation; or (B) a complete liquidation or dissolution or an agreement for the sale or other disposition of all or substantially all of the assets of the Company.", "ner": [[49, 50, "Percentage"]], "tokenized_text": ["(", "iii", ")", "the", "consummation", "by", "the", "Company", "of", ":", "(", "A", ")", "a", "merger", "or", "consolidation", "if", "the", "shareholders", "immediately", "before", "such", "merger", "or", "consolidation", "do", "not", ",", "as", "a", "result", "of", "such", "merger", "or", "consolidation", ",", "own", ",", "directly", "or", "indirectly", ",", "more", "than", "fifty", "percent", "(", "50", "%", ")", "of", "the", "combined", "voting", "power", "of", "the", "then", "outstanding", "Voting", "Securities", "of", "the", "entity", "resulting", "from", "such", "merger", "or", "consolidation", "in", "substantially", "the", "same", "proportion", "as", "their", "ownership", "of", "the", "combined", "voting", "power", "of", "the", "Voting", "Securities", "of", "the", "Company", "outstanding", "immediately", "before", "such", "merger", "or", "consolidation", ";", "or", "(", "B", ")", "a", "complete", "liquidation", "or", "dissolution", "or", "an", "agreement", "for", "the", "sale", "or", "other", "disposition", "of", "all", "or", "substantially", "all", "of", "the", "assets", "of", "the", "Company", "."]}
{"id": "11160", "text": "Notwithstanding any provision in this definition to the contrary, a Change in Control shall not be deemed to occur solely because fifty percent (50%) or more of the combined voting power of the then outstanding securities of the Company are acquired by (A) a trustee or other fiduciary holding securities under one (1) or more employee benefit plans maintained for employees of the Company or an Affiliate or (B) any corporation that, immediately prior to such acquisition, is owned directly or indirectly by the shareholders in the same proportion as their ownership of stock immediately prior to such acquisition.", "ner": [[25, 26, "Percentage"]], "tokenized_text": ["Notwithstanding", "any", "provision", "in", "this", "definition", "to", "the", "contrary", ",", "a", "Change", "in", "Control", "shall", "not", "be", "deemed", "to", "occur", "solely", "because", "fifty", "percent", "(", "50", "%", ")", "or", "more", "of", "the", "combined", "voting", "power", "of", "the", "then", "outstanding", "securities", "of", "the", "Company", "are", "acquired", "by", "(", "A", ")", "a", "trustee", "or", "other", "fiduciary", "holding", "securities", "under", "one", "(", "1", ")", "or", "more", "employee", "benefit", "plans", "maintained", "for", "employees", "of", "the", "Company", "or", "an", "Affiliate", "or", "(", "B", ")", "any", "corporation", "that", ",", "immediately", "prior", "to", "such", "acquisition", ",", "is", "owned", "directly", "or", "indirectly", "by", "the", "shareholders", "in", "the", "same", "proportion", "as", "their", "ownership", "of", "stock", "immediately", "prior", "to", "such", "acquisition", "."]}
{"id": "11163", "text": "(c) COBRA Benefits. Executive and Executives qualified beneficiaries, as applicable, shall be entitled to continuation of group health coverage following the Termination Date under the Companys group health plan, to the extent required under the Consolidated Omnibus Budget Reconciliation Act of 1986 , with Executive required to pay the same amount as Executive would pay if Executive continued in employment with the Company during such period as described in Section 4(e) of the Employment Agreement .", "ner": [[3, 3, "Act"], [41, 47, "Act"], [82, 83, "Act"]], "tokenized_text": ["(", "c", ")", "COBRA", "Benefits", ".", "Executive", "and", "Executives", "qualified", "beneficiaries", ",", "as", "applicable", ",", "shall", "be", "entitled", "to", "continuation", "of", "group", "health", "coverage", "following", "the", "Termination", "Date", "under", "the", "Companys", "group", "health", "plan", ",", "to", "the", "extent", "required", "under", "the", "Consolidated", "Omnibus", "Budget", "Reconciliation", "Act", "of", "1986", ",", "with", "Executive", "required", "to", "pay", "the", "same", "amount", "as", "Executive", "would", "pay", "if", "Executive", "continued", "in", "employment", "with", "the", "Company", "during", "such", "period", "as", "described", "in", "Section", "4", "(", "e", ")", "of", "the", "Employment", "Agreement", "."]}
{"id": "11164", "text": "The Iowa Civil Rights Act of 1965 , | ---|--- (iii)", "ner": [[1, 6, "Act"]], "tokenized_text": ["The", "Iowa", "Civil", "Rights", "Act", "of", "1965", ",", "|", "-", "-", "-", "|", "-", "-", "-", "(", "iii", ")"]}
{"id": "11166", "text": "The Civil Rights Act of 1991 , | ---|--- (vi)", "ner": [[0, 5, "Act"]], "tokenized_text": ["The", "Civil", "Rights", "Act", "of", "1991", ",", "|", "-", "-", "-", "|", "-", "-", "-", "(", "vi", ")"]}
{"id": "11167", "text": "The Equal Pay Act, | ---|--- ( vii)", "ner": [[0, 3, "Act"]], "tokenized_text": ["The", "Equal", "Pay", "Act", ",", "|", "-", "-", "-", "|", "-", "-", "-", "(", "vii", ")"]}
{"id": "11168", "text": "The Employee Retirement Income Security Act of 1974 , | ---|--- (viii)", "ner": [[1, 7, "Act"]], "tokenized_text": ["The", "Employee", "Retirement", "Income", "Security", "Act", "of", "1974", ",", "|", "-", "-", "-", "|", "-", "-", "-", "(", "viii", ")"]}
{"id": "11169", "text": "The Age Discrimination in Employment Act ( the ADEA), | ---|--- (ix)", "ner": [[1, 5, "Act"]], "tokenized_text": ["The", "Age", "Discrimination", "in", "Employment", "Act", "(", "the", "ADEA", ")", ",", "|", "-", "-", "-", "|", "-", "-", "-", "(", "ix", ")"]}
{"id": "11171", "text": "The Worker Adjustment and Retraining Notification Act , | ---|--- ( xi)", "ner": [[1, 6, "Act"]], "tokenized_text": ["The", "Worker", "Adjustment", "and", "Retraining", "Notification", "Act", ",", "|", "-", "-", "-", "|", "-", "-", "-", "(", "xi", ")"]}
{"id": "11173", "text": "The Family and Medical Leave Act , | ---|--- ( xiii)", "ner": [[1, 5, "Act"]], "tokenized_text": ["The", "Family", "and", "Medical", "Leave", "Act", ",", "|", "-", "-", "-", "|", "-", "-", "-", "(", "xiii", ")"]}
{"id": "11176", "text": "The National Labor Relations Act , | ---|--- ( xvi)", "ner": [[1, 4, "Act"]], "tokenized_text": ["The", "National", "Labor", "Relations", "Act", ",", "|", "-", "-", "-", "|", "-", "-", "-", "(", "xvi", ")"]}
{"id": "11177", "text": "The Genetic Information Nondiscrimination Act , | ---|--- ( Information Nondiscrimination Act , | ---|--- (xvii)", "ner": [[1, 4, "Act"]], "tokenized_text": ["The", "Genetic", "Information", "Nondiscrimination", "Act", ",", "|", "-", "-", "-", "|", "-", "-", "-", "(", "Information", "Nondiscrimination", "Act", ",", "|", "-", "-", "-", "|", "-", "-", "-", "(", "xvii", ")"]}
{"id": "11181", "text": "Executive Order 11141 , and | ---|--- (xxi)", "ner": [], "tokenized_text": ["Executive", "Order", "11141", ",", "and", "|", "-", "-", "-", "|", "-", "-", "-", "(", "xxi", ")"]}
{"id": "11184", "text": "12. Governing Law. This Agreement shall be governed by and construed under the laws of the State of Iowa , without regard to principles of conflict of laws (whether in the State of Iowa or any other jurisdiction) that would cause the application of the laws of any jurisdiction other than the State of Iowa .", "ner": [[18, 20, "Court"]], "tokenized_text": ["12", ".", "Governing", "Law", ".", "This", "Agreement", "shall", "be", "governed", "by", "and", "construed", "under", "the", "laws", "of", "the", "State", "of", "Iowa", ",", "without", "regard", "to", "principles", "of", "conflict", "of", "laws", "(", "whether", "in", "the", "State", "of", "Iowa", "or", "any", "other", "jurisdiction", ")", "that", "would", "cause", "the", "application", "of", "the", "laws", "of", "any", "jurisdiction", "other", "than", "the", "State", "of", "Iowa", "."]}
{"id": "11185", "text": "This EXECUTIVE EMPLOYMENT AGREEMENT (the Agreement) is made as of September 27, 2017 (the Effective Date), between ARMEAU BRANDS INC. , a Nevada corporation, (the Company) and ERDUIS SANABRIA , an individual (the Executive).", "ner": [[2, 3, "Title"], [12, 15, "EffectiveDate"], [23, 26, "Parties"], [37, 38, "Parties"]], "tokenized_text": ["This", "EXECUTIVE", "EMPLOYMENT", "AGREEMENT", "(", "the", "Agreement", ")", "is", "made", "as", "of", "September", "27", ",", "2017", "(", "the", "Effective", "Date", ")", ",", "between", "ARMEAU", "BRANDS", "INC", ".", ",", "a", "Nevada", "corporation", ",", "(", "the", "Company", ")", "and", "ERDUIS", "SANABRIA", ",", "an", "individual", "(", "the", "Executive", ")", "."]}
{"id": "11187", "text": "(a)Base Salary. The Executives annual base salary shall be one hundred fifty thousand dollars ( $150,000 ) from the Effective Date through April 1, 2018 , increasing thereafter to two hundred fifty thousand ( $250,000 ) dollars (together with any subsequent increases thereto as hereinafter provided, the Base Salary). The Base Salary shall be payable in accordance with the Companys normal payroll procedures in effect from time to time. The Base Salary may be increased by the Board or its compensation committee (the Committee), if any, from time to time during the Term, but shall be reviewed by the Board or the Committee, if any, at least annually.", "ner": [[19, 22, "Salary"], [29, 32, "EffectiveDate"], [42, 45, "Salary"]], "tokenized_text": ["(", "a", ")", "Base", "Salary", ".", "The", "Executives", "annual", "base", "salary", "shall", "be", "one", "hundred", "fifty", "thousand", "dollars", "(", "$", "150", ",", "000", ")", "from", "the", "Effective", "Date", "through", "April", "1", ",", "2018", ",", "increasing", "thereafter", "to", "two", "hundred", "fifty", "thousand", "(", "$", "250", ",", "000", ")", "dollars", "(", "together", "with", "any", "subsequent", "increases", "thereto", "as", "hereinafter", "provided", ",", "the", "Base", "Salary", ")", ".", "The", "Base", "Salary", "shall", "be", "payable", "in", "accordance", "with", "the", "Companys", "normal", "payroll", "procedures", "in", "effect", "from", "time", "to", "time", ".", "The", "Base", "Salary", "may", "be", "increased", "by", "the", "Board", "or", "its", "compensation", "committee", "(", "the", "Committee", ")", ",", "if", "any", ",", "from", "time", "to", "time", "during", "the", "Term", ",", "but", "shall", "be", "reviewed", "by", "the", "Board", "or", "the", "Committee", ",", "if", "any", ",", "at", "least", "annually", "."]}
{"id": "11190", "text": "(b)To the extent that any of the payments or benefits provided for in Section5(b) are deemed to constitute non-qualified deferred compensation benefits subject to Section 409A of the United States Internal Revenue Code (the Code), the following interpretations apply to Section 5: Any termination of the Executives employment triggering payment of benefits under Section 5(b) must constitute a separation from service under Section 409A(a)(2)(A)(i) of the Code and Treas. Reg. 1.409A-1 (h) before distribution of such benefits can commence. To the extent that the termination of the Executives employment does not constitute a separation of service under Section 409A(a)(2)(A)(i) of the Code and Treas. Reg. 1.409A-1 (h) (as the result of further services that are reasonably anticipated to be provided by the Executive to the Company or any of its parents, subsidiaries or affiliates at the time the Executives employment terminates), any benefits payable under Section 5 that constitute deferred compensation under Section 409A of the Code shall be delayed until after the date of a subsequent event constituting a separation of service under Section 409A(a)(2)(A)(i) of the Code and Treas. Reg. 1.409A- 1(h). For purposes of clarification, this Section 7(b) shall not cause any forfeiture of benefits on the Executives part, but shall only act as a delay until such time as a separation from service occurs. Further, if the Executive is a specified employee (as that term is used in Section 409A of the Code and regulations and other guidance issued thereunder) on the date his separation from service becomes effective, any benefits payable under Section 5 that constitute non-qualified deferred compensation under Section 409A of the Code shall be delayed until the earlier of (i) the business day following the six-month anniversary of the date his separation from service becomes effective, and (ii) the date of the Executives death, but only to the extent necessary to avoid such penalties under Section 409A of the Code. On the earlier of (i) the business day following the six-month anniversary of the date his separation from service becomes effective, and (ii) the Executives death, the Company shall pay the Executive in a lump sum the aggregate value of the non-qualified deferred compensation that the Company otherwise would have paid the Executive prior to that date under Section 5(b) of this Agreement. It is intended that each installment of the payments and benefits provided under Section 5(b) of this Agreement shall be treated as a separate payment for purposes of Section 409A of the Code. Neither the Company nor the Executive shall have the right to accelerate or defer the delivery of any such payments or benefits except to the extent specifically permitted or required by Section409A of the Code.", "ner": [[30, 31, "Regulation"], [34, 38, "Act"], [93, 99, "Regulation"], [147, 153, "Regulation"], [246, 254, "Regulation"], [370, 371, "EffectiveDate"]], "tokenized_text": ["(", "b", ")", "To", "the", "extent", "that", "any", "of", "the", "payments", "or", "benefits", "provided", "for", "in", "Section5", "(", "b", ")", "are", "deemed", "to", "constitute", "non-qualified", "deferred", "compensation", "benefits", "subject", "to", "Section", "409A", "of", "the", "United", "States", "Internal", "Revenue", "Code", "(", "the", "Code", ")", ",", "the", "following", "interpretations", "apply", "to", "Section", "5", ":", "Any", "termination", "of", "the", "Executives", "employment", "triggering", "payment", "of", "benefits", "under", "Section", "5", "(", "b", ")", "must", "constitute", "a", "separation", "from", "service", "under", "Section", "409A", "(", "a", ")", "(", "2", ")", "(", "A", ")", "(", "i", ")", "of", "the", "Code", "and", "Treas", ".", "Reg", ".", "1", ".", "409A-1", "(", "h", ")", "before", "distribution", "of", "such", "benefits", "can", "commence", ".", "To", "the", "extent", "that", "the", "termination", "of", "the", "Executives", "employment", "does", "not", "constitute", "a", "separation", "of", "service", "under", "Section", "409A", "(", "a", ")", "(", "2", ")", "(", "A", ")", "(", "i", ")", "of", "the", "Code", "and", "Treas", ".", "Reg", ".", "1", ".", "409A-1", "(", "h", ")", "(", "as", "the", "result", "of", "further", "services", "that", "are", "reasonably", "anticipated", "to", "be", "provided", "by", "the", "Executive", "to", "the", "Company", "or", "any", "of", "its", "parents", ",", "subsidiaries", "or", "affiliates", "at", "the", "time", "the", "Executives", "employment", "terminates", ")", ",", "any", "benefits", "payable", "under", "Section", "5", "that", "constitute", "deferred", "compensation", "under", "Section", "409A", "of", "the", "Code", "shall", "be", "delayed", "until", "after", "the", "date", "of", "a", "subsequent", "event", "constituting", "a", "separation", "of", "service", "under", "Section", "409A", "(", "a", ")", "(", "2", ")", "(", "A", ")", "(", "i", ")", "of", "the", "Code", "and", "Treas", ".", "Reg", ".", "1", ".", "409A", "-", "1", "(", "h", ")", ".", "For", "purposes", "of", "clarification", ",", "this", "Section", "7", "(", "b", ")", "shall", "not", "cause", "any", "forfeiture", "of", "benefits", "on", "the", "Executives", "part", ",", "but", "shall", "only", "act", "as", "a", "delay", "until", "such", "time", "as", "a", "separation", "from", "service", "occurs", ".", "Further", ",", "if", "the", "Executive", "is", "a", "specified", "employee", "(", "as", "that", "term", "is", "used", "in", "Section", "409A", "of", "the", "Code", "and", "regulations", "and", "other", "guidance", "issued", "thereunder", ")", "on", "the", "date", "his", "separation", "from", "service", "becomes", "effective", ",", "any", "benefits", "payable", "under", "Section", "5", "that", "constitute", "non-qualified", "deferred", "compensation", "under", "Section", "409A", "of", "the", "Code", "shall", "be", "delayed", "until", "the", "earlier", "of", "(", "i", ")", "the", "business", "day", "following", "the", "six-month", "anniversary", "of", "the", "date", "his", "separation", "from", "service", "becomes", "effective", ",", "and", "(", "ii", ")", "the", "date", "of", "the", "Executives", "death", ",", "but", "only", "to", "the", "extent", "necessary", "to", "avoid", "such", "penalties", "under", "Section", "409A", "of", "the", "Code", ".", "On", "the", "earlier", "of", "(", "i", ")", "the", "business", "day", "following", "the", "six-month", "anniversary", "of", "the", "date", "his", "separation", "from", "service", "becomes", "effective", ",", "and", "(", "ii", ")", "the", "Executives", "death", ",", "the", "Company", "shall", "pay", "the", "Executive", "in", "a", "lump", "sum", "the", "aggregate", "value", "of", "the", "non-qualified", "deferred", "compensation", "that", "the", "Company", "otherwise", "would", "have", "paid", "the", "Executive", "prior", "to", "that", "date", "under", "Section", "5", "(", "b", ")", "of", "this", "Agreement", ".", "It", "is", "intended", "that", "each", "installment", "of", "the", "payments", "and", "benefits", "provided", "under", "Section", "5", "(", "b", ")", "of", "this", "Agreement", "shall", "be", "treated", "as", "a", "separate", "payment", "for", "purposes", "of", "Section", "409A", "of", "the", "Code", ".", "Neither", "the", "Company", "nor", "the", "Executive", "shall", "have", "the", "right", "to", "accelerate", "or", "defer", "the", "delivery", "of", "any", "such", "payments", "or", "benefits", "except", "to", "the", "extent", "specifically", "permitted", "or", "required", "by", "Section409A", "of", "the", "Code", "."]}
{"id": "11192", "text": "(d)If during the remaining term hereof after the Change of Control Date (i) Executive's employment is terminated by the Company; or (ii) there shall have occurred a material reduction in Executive's compensation or employment related benefits, or a material change in Executive's status, working conditions, management responsibilities or titles, and Executive voluntarily terminates his relationship with the Company within sixty (60) days of an such occurrence, or the last in a series of occurrences, then Executive shall be entitled to receive, in addition to the compensation provided for in Section 5(b), and subject to the provisions of subsections (e) and (f) below, a lump sum payment equal to two hundred ninety-nine percent (299%) of Executive's base period income as determined under (e) below, plus an additional amount representing a gross-up of any state or federal taxes payable by Executive as a result of any such payment. Such amount will be paid to Executive within thirty (30) days after his termination of his affiliation with the Company.", "ner": [[145, 146, "Percentage"]], "tokenized_text": ["(", "d", ")", "If", "during", "the", "remaining", "term", "hereof", "after", "the", "Change", "of", "Control", "Date", "(", "i", ")", "Executive", "'", "s", "employment", "is", "terminated", "by", "the", "Company", ";", "or", "(", "ii", ")", "there", "shall", "have", "occurred", "a", "material", "reduction", "in", "Executive", "'", "s", "compensation", "or", "employment", "related", "benefits", ",", "or", "a", "material", "change", "in", "Executive", "'", "s", "status", ",", "working", "conditions", ",", "management", "responsibilities", "or", "titles", ",", "and", "Executive", "voluntarily", "terminates", "his", "relationship", "with", "the", "Company", "within", "sixty", "(", "60", ")", "days", "of", "an", "such", "occurrence", ",", "or", "the", "last", "in", "a", "series", "of", "occurrences", ",", "then", "Executive", "shall", "be", "entitled", "to", "receive", ",", "in", "addition", "to", "the", "compensation", "provided", "for", "in", "Section", "5", "(", "b", ")", ",", "and", "subject", "to", "the", "provisions", "of", "subsections", "(", "e", ")", "and", "(", "f", ")", "below", ",", "a", "lump", "sum", "payment", "equal", "to", "two", "hundred", "ninety-nine", "percent", "(", "299", "%", ")", "of", "Executive", "'", "s", "base", "period", "income", "as", "determined", "under", "(", "e", ")", "below", ",", "plus", "an", "additional", "amount", "representing", "a", "gross-up", "of", "any", "state", "or", "federal", "taxes", "payable", "by", "Executive", "as", "a", "result", "of", "any", "such", "payment", ".", "Such", "amount", "will", "be", "paid", "to", "Executive", "within", "thirty", "(", "30", ")", "days", "after", "his", "termination", "of", "his", "affiliation", "with", "the", "Company", "."]}
{"id": "11196", "text": "24.Governing Law.This is a Florida contract and shall be construed under and be governed in all respects by the laws of Florida for contracts to be performed in that state and without giving effect to the conflict of laws principles of Florida or any other state.", "ner": [], "tokenized_text": ["24", ".", "Governing", "Law", ".", "This", "is", "a", "Florida", "contract", "and", "shall", "be", "construed", "under", "and", "be", "governed", "in", "all", "respects", "by", "the", "laws", "of", "Florida", "for", "contracts", "to", "be", "performed", "in", "that", "state", "and", "without", "giving", "effect", "to", "the", "conflict", "of", "laws", "principles", "of", "Florida", "or", "any", "other", "state", "."]}
{"id": "11198", "text": "EMPLOYMENT AGREEMENT , dated as of January 20, 2016 (the Employment Agreement), by and between Evoqua Water Technologies LLC , a Delaware limited liability company (the Company) and Anthony Webster (the Executive) (each of the Executive and the Company, a Party, and collectively, the Parties).", "ner": [[0, 1, "Title"], [6, 9, "EffectiveDate"], [12, 13, "Title"], [19, 22, "Parties"], [34, 35, "Parties"]], "tokenized_text": ["EMPLOYMENT", "AGREEMENT", ",", "dated", "as", "of", "January", "20", ",", "2016", "(", "the", "Employment", "Agreement", ")", ",", "by", "and", "between", "Evoqua", "Water", "Technologies", "LLC", ",", "a", "Delaware", "limited", "liability", "company", "(", "the", "Company", ")", "and", "Anthony", "Webster", "(", "the", "Executive", ")", "(", "each", "of", "the", "Executive", "and", "the", "Company", ",", "a", "Party", ",", "and", "collectively", ",", "the", "Parties", ")", "."]}
{"id": "11201", "text": "1.1. Term. The initial term of the Executives employment under this Employment Agreement will commence on February 22, 2016 (the Effective Date) and end on the third anniversary of the Effective Date (the Initial Employment Period), unless terminated earlier pursuant to Section 3 hereof; provided, however, that the Employment Period will automatically be extended for a one-year period on the third anniversary of the Effective Date (and on each anniversary of the Effective Date thereafter) (the Renewal Period), unless either the Executive or the Company provides the other Party with written notice at least 30 days prior to the end of the then-current Employment Period of his or its intention not to further extend the Employment Period (the Initial Employment Period and each subsequent Renewal Period, if any, shall constitute the Employment Period, unless terminated earlier pursuant to Section 3 of this Employment Agreement).", "ner": [[15, 16, "Title"], [20, 23, "EffectiveDate"], [33, 34, "TerminationDate"], [69, 69, "RenewalTerm"]], "tokenized_text": ["1", ".", "1", ".", "Term", ".", "The", "initial", "term", "of", "the", "Executives", "employment", "under", "this", "Employment", "Agreement", "will", "commence", "on", "February", "22", ",", "2016", "(", "the", "Effective", "Date", ")", "and", "end", "on", "the", "third", "anniversary", "of", "the", "Effective", "Date", "(", "the", "Initial", "Employment", "Period", ")", ",", "unless", "terminated", "earlier", "pursuant", "to", "Section", "3", "hereof", ";", "provided", ",", "however", ",", "that", "the", "Employment", "Period", "will", "automatically", "be", "extended", "for", "a", "one-year", "period", "on", "the", "third", "anniversary", "of", "the", "Effective", "Date", "(", "and", "on", "each", "anniversary", "of", "the", "Effective", "Date", "thereafter", ")", "(", "the", "Renewal", "Period", ")", ",", "unless", "either", "the", "Executive", "or", "the", "Company", "provides", "the", "other", "Party", "with", "written", "notice", "at", "least", "30", "days", "prior", "to", "the", "end", "of", "the", "then-current", "Employment", "Period", "of", "his", "or", "its", "intention", "not", "to", "further", "extend", "the", "Employment", "Period", "(", "the", "Initial", "Employment", "Period", "and", "each", "subsequent", "Renewal", "Period", ",", "if", "any", ",", "shall", "constitute", "the", "Employment", "Period", ",", "unless", "terminated", "earlier", "pursuant", "to", "Section", "3", "of", "this", "Employment", "Agreement", ")", "."]}
{"id": "11203", "text": "(a) Base Salary. As compensation for the performance of the Executives services hereunder, during the Employment Period, the Company shall pay to the Executive a salary at an annual rate of $350,000 , payable in accordance with the Companys standard payroll policies (the Base Salary). The Base Salary will be reviewed annually and may be adjusted upward (but not downward) by the board of directors of the Company (the Board) (or a committee thereof) in its discretion.", "ner": [[36, 39, "Salary"]], "tokenized_text": ["(", "a", ")", "Base", "Salary", ".", "As", "compensation", "for", "the", "performance", "of", "the", "Executives", "services", "hereunder", ",", "during", "the", "Employment", "Period", ",", "the", "Company", "shall", "pay", "to", "the", "Executive", "a", "salary", "at", "an", "annual", "rate", "of", "$", "350", ",", "000", ",", "payable", "in", "accordance", "with", "the", "Companys", "standard", "payroll", "policies", "(", "the", "Base", "Salary", ")", ".", "The", "Base", "Salary", "will", "be", "reviewed", "annually", "and", "may", "be", "adjusted", "upward", "(", "but", "not", "downward", ")", "by", "the", "board", "of", "directors", "of", "the", "Company", "(", "the", "Board", ")", "(", "or", "a", "committee", "thereof", ")", "in", "its", "discretion", "."]}
{"id": "11204", "text": "(b) Annual Bonus. For each fiscal year ending during the Employment Period, the Executive shall be eligible for potential awards of additional compensation (the Annual Bonus) to be based upon the achievement of one or more performance goals established by senior management of the Company (the Performance Targets). The Annual Bonus shall be prorated for any partial fiscal years occurring within the Employment Period. The Executives target Annual Bonus opportunity for each fiscal year that ends during the Employment Period shall be equal to 50% of Base Salary (the Target Annual Bonus Opportunity), with the actual Annual Bonus, if any, to be based on the Companys actual performance relative to the Performance Targets. The Annual Bonus, if any, shall be paid in cash within 120 days of the fiscal year end, assuming the delivery of the relevant financial statements in a timely manner, but in no event later than March 15th of the year following the end of the fiscal year for which the Annual Bonus, if any, is earned; provided, that, except as set forth in Section 3, the Executive must continue to be employed by the Company through the end of the applicable fiscal year.", "ner": [[3, 4, "Salary"], [94, 95, "Percentage"]], "tokenized_text": ["(", "b", ")", "Annual", "Bonus", ".", "For", "each", "fiscal", "year", "ending", "during", "the", "Employment", "Period", ",", "the", "Executive", "shall", "be", "eligible", "for", "potential", "awards", "of", "additional", "compensation", "(", "the", "Annual", "Bonus", ")", "to", "be", "based", "upon", "the", "achievement", "of", "one", "or", "more", "performance", "goals", "established", "by", "senior", "management", "of", "the", "Company", "(", "the", "Performance", "Targets", ")", ".", "The", "Annual", "Bonus", "shall", "be", "prorated", "for", "any", "partial", "fiscal", "years", "occurring", "within", "the", "Employment", "Period", ".", "The", "Executives", "target", "Annual", "Bonus", "opportunity", "for", "each", "fiscal", "year", "that", "ends", "during", "the", "Employment", "Period", "shall", "be", "equal", "to", "50", "%", "of", "Base", "Salary", "(", "the", "Target", "Annual", "Bonus", "Opportunity", ")", ",", "with", "the", "actual", "Annual", "Bonus", ",", "if", "any", ",", "to", "be", "based", "on", "the", "Companys", "actual", "performance", "relative", "to", "the", "Performance", "Targets", ".", "The", "Annual", "Bonus", ",", "if", "any", ",", "shall", "be", "paid", "in", "cash", "within", "120", "days", "of", "the", "fiscal", "year", "end", ",", "assuming", "the", "delivery", "of", "the", "relevant", "financial", "statements", "in", "a", "timely", "manner", ",", "but", "in", "no", "event", "later", "than", "March", "15th", "of", "the", "year", "following", "the", "end", "of", "the", "fiscal", "year", "for", "which", "the", "Annual", "Bonus", ",", "if", "any", ",", "is", "earned", ";", "provided", ",", "that", ",", "except", "as", "set", "forth", "in", "Section", "3", ",", "the", "Executive", "must", "continue", "to", "be", "employed", "by", "the", "Company", "through", "the", "end", "of", "the", "applicable", "fiscal", "year", "."]}
{"id": "11209", "text": "The term of Executives employment under this Agreement shall commence on October2, 2017 (the Effective Date) and, unless earlier terminated pursuant to Section5 below, shall continue for a period ending on the date that is three (3)years following the Effective Date (the Original Term of Employment). The Original Term of Employment shall be automatically renewed for successive one (1)year terms (the Renewal Terms) unless at least one hundred twenty (120) days prior to the expiration of the Original Term of Employment or any Renewal Term, either Party notifies the other Party in writing that Executive or it is electing to terminate this Agreement at the expiration of the then current Term of Employment. Term shall mean the Original Term of Employment and all Renewal Terms. For purposes of this Agreement, except as otherwise provided herein, the phrases year during the Term or similar language shall refer to each twelve (12) month period commencing on the Effective Date or applicable anniversaries thereof.", "ner": [[11, 13, "EffectiveDate"], [40, 48, "TerminationDate"], [68, 72, "RenewalTerm"]], "tokenized_text": ["The", "term", "of", "Executives", "employment", "under", "this", "Agreement", "shall", "commence", "on", "October2", ",", "2017", "(", "the", "Effective", "Date", ")", "and", ",", "unless", "earlier", "terminated", "pursuant", "to", "Section5", "below", ",", "shall", "continue", "for", "a", "period", "ending", "on", "the", "date", "that", "is", "three", "(", "3", ")", "years", "following", "the", "Effective", "Date", "(", "the", "Original", "Term", "of", "Employment", ")", ".", "The", "Original", "Term", "of", "Employment", "shall", "be", "automatically", "renewed", "for", "successive", "one", "(", "1", ")", "year", "terms", "(", "the", "Renewal", "Terms", ")", "unless", "at", "least", "one", "hundred", "twenty", "(", "120", ")", "days", "prior", "to", "the", "expiration", "of", "the", "Original", "Term", "of", "Employment", "or", "any", "Renewal", "Term", ",", "either", "Party", "notifies", "the", "other", "Party", "in", "writing", "that", "Executive", "or", "it", "is", "electing", "to", "terminate", "this", "Agreement", "at", "the", "expiration", "of", "the", "then", "current", "Term", "of", "Employment", ".", "Term", "shall", "mean", "the", "Original", "Term", "of", "Employment", "and", "all", "Renewal", "Terms", ".", "For", "purposes", "of", "this", "Agreement", ",", "except", "as", "otherwise", "provided", "herein", ",", "the", "phrases", "year", "during", "the", "Term", "or", "similar", "language", "shall", "refer", "to", "each", "twelve", "(", "12", ")", "month", "period", "commencing", "on", "the", "Effective", "Date", "or", "applicable", "anniversaries", "thereof", "."]}
{"id": "11211", "text": "3.1 Base Salary. During the Term, as compensation for Executives services hereunder, Executive shall receive a salary at no less than the annualized rate of $1 Million Dollars ( $1,000,000 ) per year (Base Salary as may be increased from time to time), which shall be paid in accordance with the Companys normal payroll practices and procedures, less such deductions or offsets required by applicable law or otherwise authorized by Executive.", "ner": [[35, 40, "Salary"]], "tokenized_text": ["3", ".", "1", "Base", "Salary", ".", "During", "the", "Term", ",", "as", "compensation", "for", "Executives", "services", "hereunder", ",", "Executive", "shall", "receive", "a", "salary", "at", "no", "less", "than", "the", "annualized", "rate", "of", "$", "1", "Million", "Dollars", "(", "$", "1", ",", "000", ",", "000", ")", "per", "year", "(", "Base", "Salary", "as", "may", "be", "increased", "from", "time", "to", "time", ")", ",", "which", "shall", "be", "paid", "in", "accordance", "with", "the", "Companys", "normal", "payroll", "practices", "and", "procedures", ",", "less", "such", "deductions", "or", "offsets", "required", "by", "applicable", "law", "or", "otherwise", "authorized", "by", "Executive", "."]}
{"id": "11212", "text": "3.2 Annual Performance Bonus. The Executive shall participate each fiscal year during the Term in the Companys annual bonus plan as adopted and approved by the Companys Board of Directors (the Board) or the Compensation Committee of the Board (the Compensation Committee) from time to time. For the fiscal year ongoing as of the Effective Date (FY 18), Executives annual bonus opportunity pursuant to such plan shall equal one hundred seventy-five percent ( 175% ) (the Annual Target Bonus) of the Base Salary and for each subsequent year, equal to the bonus opportunity as established by the Compensation Committee of the Board but no less than one hundred seventy-five percent (175% ) of the Base Salary. For FY18 Executive will receive an Annual Performance Bonus of no less than the pro-rata portion of an Annual Target Bonus. Payment of any bonus earned shall be made in accordance with the terms of the Companys annual bonus plan as in effect for the year for which the bonus is earned.", "ner": [[65, 66, "EffectiveDate"], [79, 85, "Percentage"]], "tokenized_text": ["3", ".", "2", "Annual", "Performance", "Bonus", ".", "The", "Executive", "shall", "participate", "each", "fiscal", "year", "during", "the", "Term", "in", "the", "Companys", "annual", "bonus", "plan", "as", "adopted", "and", "approved", "by", "the", "Companys", "Board", "of", "Directors", "(", "the", "Board", ")", "or", "the", "Compensation", "Committee", "of", "the", "Board", "(", "the", "Compensation", "Committee", ")", "from", "time", "to", "time", ".", "For", "the", "fiscal", "year", "ongoing", "as", "of", "the", "Effective", "Date", "(", "FY", "18", ")", ",", "Executives", "annual", "bonus", "opportunity", "pursuant", "to", "such", "plan", "shall", "equal", "one", "hundred", "seventy-five", "percent", "(", "175", "%", ")", "(", "the", "Annual", "Target", "Bonus", ")", "of", "the", "Base", "Salary", "and", "for", "each", "subsequent", "year", ",", "equal", "to", "the", "bonus", "opportunity", "as", "established", "by", "the", "Compensation", "Committee", "of", "the", "Board", "but", "no", "less", "than", "one", "hundred", "seventy-five", "percent", "(", "175", "%", ")", "of", "the", "Base", "Salary", ".", "For", "FY18", "Executive", "will", "receive", "an", "Annual", "Performance", "Bonus", "of", "no", "less", "than", "the", "pro-rata", "portion", "of", "an", "Annual", "Target", "Bonus", ".", "Payment", "of", "any", "bonus", "earned", "shall", "be", "made", "in", "accordance", "with", "the", "terms", "of", "the", "Companys", "annual", "bonus", "plan", "as", "in", "effect", "for", "the", "year", "for", "which", "the", "bonus", "is", "earned", "."]}
{"id": "11213", "text": "3.3 Equity Awards. Executive will be eligible to participate during the Term in the Companys Long Term Incentive Plan (LTIP). Executives long term incentive factor will be based upon four hundred twenty five percent (425%) of Executives Base Salary. Therefore, on each regular grant date occurring during the Term, Executive will be granted awards under the Companys 2014 Omnibus Equity Plan or any successor plan thereto (the Equity Plan), a copy of which Equity Plan has been filed as Exhibit10.1 to the Companys current report on Form8-K filed with the Securities and Exchange Commission on June23, 2014, pursuant to the LTIP valued at four hundred twenty five percent (425%)", "ner": [[35, 39, "Percentage"], [41, 42, "Percentage"]], "tokenized_text": ["3", ".", "3", "Equity", "Awards", ".", "Executive", "will", "be", "eligible", "to", "participate", "during", "the", "Term", "in", "the", "Companys", "Long", "Term", "Incentive", "Plan", "(", "LTIP", ")", ".", "Executives", "long", "term", "incentive", "factor", "will", "be", "based", "upon", "four", "hundred", "twenty", "five", "percent", "(", "425", "%", ")", "of", "Executives", "Base", "Salary", ".", "Therefore", ",", "on", "each", "regular", "grant", "date", "occurring", "during", "the", "Term", ",", "Executive", "will", "be", "granted", "awards", "under", "the", "Companys", "2014", "Omnibus", "Equity", "Plan", "or", "any", "successor", "plan", "thereto", "(", "the", "Equity", "Plan", ")", ",", "a", "copy", "of", "which", "Equity", "Plan", "has", "been", "filed", "as", "Exhibit10", ".", "1", "to", "the", "Companys", "current", "report", "on", "Form8-K", "filed", "with", "the", "Securities", "and", "Exchange", "Commission", "on", "June23", ",", "2014", ",", "pursuant", "to", "the", "LTIP", "valued", "at", "four", "hundred", "twenty", "five", "percent", "(", "425", "%", ")"]}
{"id": "11215", "text": "4.4 Automobile Allowance. During the Term, the Company shall provide Executive with an automobile allowance of $1,000.00 per month.", "ner": [[20, 25, "Salary"]], "tokenized_text": ["4", ".", "4", "Automobile", "Allowance", ".", "During", "the", "Term", ",", "the", "Company", "shall", "provide", "Executive", "with", "an", "automobile", "allowance", "of", "$", "1", ",", "000", ".", "00", "per", "month", "."]}
{"id": "11216", "text": "4.5 Annual Legal and Financial Planning Allowance. During the Term, the Company shall provide Executive with a legal and financial planning allowance in the amount of $10,000.00 . During the first year of the original Term, the Company shall provide Executive with a legal and financial planning allowance of $20,000.00 to include legal services for review of the initial employment agreement. The provisions of Section14(b)shall apply to any payments or reimbursements made under this Section4.5.", "ner": [[30, 35, "Salary"], [59, 64, "Salary"], [73, 75, "Title"]], "tokenized_text": ["4", ".", "5", "Annual", "Legal", "and", "Financial", "Planning", "Allowance", ".", "During", "the", "Term", ",", "the", "Company", "shall", "provide", "Executive", "with", "a", "legal", "and", "financial", "planning", "allowance", "in", "the", "amount", "of", "$", "10", ",", "000", ".", "00", ".", "During", "the", "first", "year", "of", "the", "original", "Term", ",", "the", "Company", "shall", "provide", "Executive", "with", "a", "legal", "and", "financial", "planning", "allowance", "of", "$", "20", ",", "000", ".", "00", "to", "include", "legal", "services", "for", "review", "of", "the", "initial", "employment", "agreement", ".", "The", "provisions", "of", "Section14", "(", "b", ")", "shall", "apply", "to", "any", "payments", "or", "reimbursements", "made", "under", "this", "Section4", ".", "5", "."]}
{"id": "11219", "text": "Except as necessary for the Company and its subsidiaries, affiliates, strategic partners, successors or assigns or Executive to specifically enforce or enjoin a breach of this Agreement (to the extent such remedies are otherwise available), the parties agree that any and all disputes that may arise in connection with, arising out of or relating to this Agreement, or any dispute that relates in any way, in whole or in part, to Executives employment with the Company or any subsidiary, affiliate or strategic partner, the termination of that employment or any other dispute by and between the parties or their subsidiaries, affiliates, strategic partners, successors or assigns, shall be submitted to final and binding arbitration in the Commonwealth of Pennsylvania according to the National Employment Dispute Resolution Rules and procedures of the American Arbitration Association at the time in effect. This arbitration obligation extends to any and all claims that may arise by and between the parties or their subsidiaries, affiliates, strategic partners, successors or assigns, and expressly extends to, without limitation, claims or causes of action for wrongful termination, impairment of ability to compete in the open labor market, breach of an express or implied contract, breach of the covenant of good faith and fair dealing, breach of fiduciary duty, fraud, misrepresentation, defamation, slander, infliction of emotional distress, disability, loss of future earnings, and claims under the Pennsylvania Constitution, the United States Constitution, and applicable state and federal fair employment laws, federal and state equal employment opportunity laws, and federal and state labor statutes and regulations, including, but not limited to, the Civil Rights Act of 1964 , as amended, the Fair Labor Standards Act , as amended, the Americans With Disabilities Act of 1990 , as amended, the Rehabilitation Act of 1973 , as amended, the", "ner": [[132, 134, "Court"], [304, 308, "Act"], [314, 317, "Act"], [323, 328, "Act"], [334, 337, "Act"]], "tokenized_text": ["Except", "as", "necessary", "for", "the", "Company", "and", "its", "subsidiaries", ",", "affiliates", ",", "strategic", "partners", ",", "successors", "or", "assigns", "or", "Executive", "to", "specifically", "enforce", "or", "enjoin", "a", "breach", "of", "this", "Agreement", "(", "to", "the", "extent", "such", "remedies", "are", "otherwise", "available", ")", ",", "the", "parties", "agree", "that", "any", "and", "all", "disputes", "that", "may", "arise", "in", "connection", "with", ",", "arising", "out", "of", "or", "relating", "to", "this", "Agreement", ",", "or", "any", "dispute", "that", "relates", "in", "any", "way", ",", "in", "whole", "or", "in", "part", ",", "to", "Executives", "employment", "with", "the", "Company", "or", "any", "subsidiary", ",", "affiliate", "or", "strategic", "partner", ",", "the", "termination", "of", "that", "employment", "or", "any", "other", "dispute", "by", "and", "between", "the", "parties", "or", "their", "subsidiaries", ",", "affiliates", ",", "strategic", "partners", ",", "successors", "or", "assigns", ",", "shall", "be", "submitted", "to", "final", "and", "binding", "arbitration", "in", "the", "Commonwealth", "of", "Pennsylvania", "according", "to", "the", "National", "Employment", "Dispute", "Resolution", "Rules", "and", "procedures", "of", "the", "American", "Arbitration", "Association", "at", "the", "time", "in", "effect", ".", "This", "arbitration", "obligation", "extends", "to", "any", "and", "all", "claims", "that", "may", "arise", "by", "and", "between", "the", "parties", "or", "their", "subsidiaries", ",", "affiliates", ",", "strategic", "partners", ",", "successors", "or", "assigns", ",", "and", "expressly", "extends", "to", ",", "without", "limitation", ",", "claims", "or", "causes", "of", "action", "for", "wrongful", "termination", ",", "impairment", "of", "ability", "to", "compete", "in", "the", "open", "labor", "market", ",", "breach", "of", "an", "express", "or", "implied", "contract", ",", "breach", "of", "the", "covenant", "of", "good", "faith", "and", "fair", "dealing", ",", "breach", "of", "fiduciary", "duty", ",", "fraud", ",", "misrepresentation", ",", "defamation", ",", "slander", ",", "infliction", "of", "emotional", "distress", ",", "disability", ",", "loss", "of", "future", "earnings", ",", "and", "claims", "under", "the", "Pennsylvania", "Constitution", ",", "the", "United", "States", "Constitution", ",", "and", "applicable", "state", "and", "federal", "fair", "employment", "laws", ",", "federal", "and", "state", "equal", "employment", "opportunity", "laws", ",", "and", "federal", "and", "state", "labor", "statutes", "and", "regulations", ",", "including", ",", "but", "not", "limited", "to", ",", "the", "Civil", "Rights", "Act", "of", "1964", ",", "as", "amended", ",", "the", "Fair", "Labor", "Standards", "Act", ",", "as", "amended", ",", "the", "Americans", "With", "Disabilities", "Act", "of", "1990", ",", "as", "amended", ",", "the", "Rehabilitation", "Act", "of", "1973", ",", "as", "amended", ",", "the"]}
{"id": "11221", "text": "Rite Aid Corporation ---|---|---", "ner": [], "tokenized_text": ["Rite", "Aid", "Corporation", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "11223", "text": "Kermit Crawford , at Executives last address shown on the payroll records of the Company.", "ner": [[0, 1, "Address"]], "tokenized_text": ["Kermit", "Crawford", ",", "at", "Executives", "last", "address", "shown", "on", "the", "payroll", "records", "of", "the", "Company", "."]}
{"id": "11224", "text": "13.2 Governing Law. This Agreement is executed in Pennsylvania and shall be governed by and construed and enforced in accordance with the laws of the Commonwealth of Pennsylvania without giving effect to conflicts of laws principles thereof which might refer such interpretations to the laws of a different state or jurisdiction. Any court action instituted by Executive relating in any way to this Agreement shall be filed exclusively in state or federal court in the Commonwealth of Pennsylvania and Executive consents to the jurisdiction and venue of said courts in any action instituted by or on behalf of the Company against Executive.", "ner": [[28, 30, "Court"]], "tokenized_text": ["13", ".", "2", "Governing", "Law", ".", "This", "Agreement", "is", "executed", "in", "Pennsylvania", "and", "shall", "be", "governed", "by", "and", "construed", "and", "enforced", "in", "accordance", "with", "the", "laws", "of", "the", "Commonwealth", "of", "Pennsylvania", "without", "giving", "effect", "to", "conflicts", "of", "laws", "principles", "thereof", "which", "might", "refer", "such", "interpretations", "to", "the", "laws", "of", "a", "different", "state", "or", "jurisdiction", ".", "Any", "court", "action", "instituted", "by", "Executive", "relating", "in", "any", "way", "to", "this", "Agreement", "shall", "be", "filed", "exclusively", "in", "state", "or", "federal", "court", "in", "the", "Commonwealth", "of", "Pennsylvania", "and", "Executive", "consents", "to", "the", "jurisdiction", "and", "venue", "of", "said", "courts", "in", "any", "action", "instituted", "by", "or", "on", "behalf", "of", "the", "Company", "against", "Executive", "."]}
{"id": "11230", "text": "(ii) provided Executive and his eligible dependents timely and properly elect to continue health care coverage under the Consolidated Omnibus Reconciliation Act of 1985 ( COBRA ), continued participation by Executive and Executives eligible dependents in the standard group medical, dental and vision plans of the Company as in effect from time to time, on substantially the same terms and conditions as such benefits are provided to employees during the applicable period, and reimbursement by the Company of the monthly COBRA premium paid by Executive for him and his eligible dependents for nine (9)months or, if earlier, until the date Executive is no longer eligible to receive COBRA continuation coverage; provided, however, in the event the Company determines that such provisions would subject Executive to taxation under Section105(h)of the Internal Revenue Code of 1986, as amended (the Code), or otherwise violate any healthcare law or regulation, then, in lieu of reimbursing Executive, the Company shall pay to Executive an amount equal to the amount Executive would be required to pay for continuation of group health coverage for Executive and his eligible dependents through an election under COBRA for nine (9)months , which amount shall be paid in a lump sum at the same time payments under Section5(e)(i)commence and is intended to assist Executive with costs of health coverage, which Executive may (but is not required to) obtain through an election to continue health care coverage under COBRA ; and", "ner": [[20, 25, "Act"], [27, 27, "Act"], [86, 86, "Act"], [118, 118, "Act"], [147, 151, "Act"], [211, 211, "Act"], [274, 274, "Act"]], "tokenized_text": ["(", "ii", ")", "provided", "Executive", "and", "his", "eligible", "dependents", "timely", "and", "properly", "elect", "to", "continue", "health", "care", "coverage", "under", "the", "Consolidated", "Omnibus", "Reconciliation", "Act", "of", "1985", "(", "COBRA", ")", ",", "continued", "participation", "by", "Executive", "and", "Executives", "eligible", "dependents", "in", "the", "standard", "group", "medical", ",", "dental", "and", "vision", "plans", "of", "the", "Company", "as", "in", "effect", "from", "time", "to", "time", ",", "on", "substantially", "the", "same", "terms", "and", "conditions", "as", "such", "benefits", "are", "provided", "to", "employees", "during", "the", "applicable", "period", ",", "and", "reimbursement", "by", "the", "Company", "of", "the", "monthly", "COBRA", "premium", "paid", "by", "Executive", "for", "him", "and", "his", "eligible", "dependents", "for", "nine", "(", "9", ")", "months", "or", ",", "if", "earlier", ",", "until", "the", "date", "Executive", "is", "no", "longer", "eligible", "to", "receive", "COBRA", "continuation", "coverage", ";", "provided", ",", "however", ",", "in", "the", "event", "the", "Company", "determines", "that", "such", "provisions", "would", "subject", "Executive", "to", "taxation", "under", "Section105", "(", "h", ")", "of", "the", "Internal", "Revenue", "Code", "of", "1986", ",", "as", "amended", "(", "the", "Code", ")", ",", "or", "otherwise", "violate", "any", "healthcare", "law", "or", "regulation", ",", "then", ",", "in", "lieu", "of", "reimbursing", "Executive", ",", "the", "Company", "shall", "pay", "to", "Executive", "an", "amount", "equal", "to", "the", "amount", "Executive", "would", "be", "required", "to", "pay", "for", "continuation", "of", "group", "health", "coverage", "for", "Executive", "and", "his", "eligible", "dependents", "through", "an", "election", "under", "COBRA", "for", "nine", "(", "9", ")", "months", ",", "which", "amount", "shall", "be", "paid", "in", "a", "lump", "sum", "at", "the", "same", "time", "payments", "under", "Section5", "(", "e", ")", "(", "i", ")", "commence", "and", "is", "intended", "to", "assist", "Executive", "with", "costs", "of", "health", "coverage", ",", "which", "Executive", "may", "(", "but", "is", "not", "required", "to", ")", "obtain", "through", "an", "election", "to", "continue", "health", "care", "coverage", "under", "COBRA", ";", "and"]}
{"id": "11234", "text": "(b) Each payment under this Agreement, including each installment payment, shall be considered a separate and distinct payment. For purposes of this Agreement, each payment is intended to be excepted from Section409A to the maximum extent provided as follows: (i)each payment made within the applicable 2 month period specified in Treas. Reg. 1.409A-1 (b)(4)is intended to be excepted under the short-term deferral exception; (ii)post- termination medical benefits are intended to be excepted under the medical benefits exception as specified in Treas. Reg. 1.409A-1 (b)(9)(v)(B); and (iii)to the extent payments are made as a result of an involuntary separation, each payment that is not otherwise excepted under the short-term deferral exception or medical benefits exception is intended to be excepted under the involuntary pay exception as specified in Treas. Reg. 1.409A-1 (b)(9)(iii). With respect to payments subject to Section409A (and not excepted therefrom), if any, it is intended that each payment is paid on a permissible distribution event and at a specified time consistent with Section409A. Neither the Company nor Executive shall have the right to accelerate or defer the delivery of any such payments or benefits except to the extent specifically permitted or required by Section409A. Executive shall have no right to designate the date or any payment under this Agreement.", "ner": [[60, 66, "Regulation"], [105, 111, "Regulation"], [172, 178, "Regulation"]], "tokenized_text": ["(", "b", ")", "Each", "payment", "under", "this", "Agreement", ",", "including", "each", "installment", "payment", ",", "shall", "be", "considered", "a", "separate", "and", "distinct", "payment", ".", "For", "purposes", "of", "this", "Agreement", ",", "each", "payment", "is", "intended", "to", "be", "excepted", "from", "Section409A", "to", "the", "maximum", "extent", "provided", "as", "follows", ":", "(", "i", ")", "each", "payment", "made", "within", "the", "applicable", "2", "month", "period", "specified", "in", "Treas", ".", "Reg", ".", "1", ".", "409A-1", "(", "b", ")", "(", "4", ")", "is", "intended", "to", "be", "excepted", "under", "the", "short-term", "deferral", "exception", ";", "(", "ii", ")", "post", "-", "termination", "medical", "benefits", "are", "intended", "to", "be", "excepted", "under", "the", "medical", "benefits", "exception", "as", "specified", "in", "Treas", ".", "Reg", ".", "1", ".", "409A-1", "(", "b", ")", "(", "9", ")", "(", "v", ")", "(", "B", ")", ";", "and", "(", "iii", ")", "to", "the", "extent", "payments", "are", "made", "as", "a", "result", "of", "an", "involuntary", "separation", ",", "each", "payment", "that", "is", "not", "otherwise", "excepted", "under", "the", "short-term", "deferral", "exception", "or", "medical", "benefits", "exception", "is", "intended", "to", "be", "excepted", "under", "the", "involuntary", "pay", "exception", "as", "specified", "in", "Treas", ".", "Reg", ".", "1", ".", "409A-1", "(", "b", ")", "(", "9", ")", "(", "iii", ")", ".", "With", "respect", "to", "payments", "subject", "to", "Section409A", "(", "and", "not", "excepted", "therefrom", ")", ",", "if", "any", ",", "it", "is", "intended", "that", "each", "payment", "is", "paid", "on", "a", "permissible", "distribution", "event", "and", "at", "a", "specified", "time", "consistent", "with", "Section409A", ".", "Neither", "the", "Company", "nor", "Executive", "shall", "have", "the", "right", "to", "accelerate", "or", "defer", "the", "delivery", "of", "any", "such", "payments", "or", "benefits", "except", "to", "the", "extent", "specifically", "permitted", "or", "required", "by", "Section409A", ".", "Executive", "shall", "have", "no", "right", "to", "designate", "the", "date", "or", "any", "payment", "under", "this", "Agreement", "."]}
{"id": "11238", "text": "WHEREAS, as of the Effective Date (as defined below) the Company desires to employ the Executive as its Senior Vice President of Regulatory Affairs , and the Executive desires to accept such employment, on the terms and conditions set forth in this Agreement.", "ner": [[21, 23, "Role"]], "tokenized_text": ["WHEREAS", ",", "as", "of", "the", "Effective", "Date", "(", "as", "defined", "below", ")", "the", "Company", "desires", "to", "employ", "the", "Executive", "as", "its", "Senior", "Vice", "President", "of", "Regulatory", "Affairs", ",", "and", "the", "Executive", "desires", "to", "accept", "such", "employment", ",", "on", "the", "terms", "and", "conditions", "set", "forth", "in", "this", "Agreement", "."]}
{"id": "11240", "text": "2. EFFECTIVE DATE AND TERM . This Agreement shall be effective, and its term (the Term) shall commence as of October3, 2017 (the Effective Date). The Term shall continue through and until December31, 2017 (the Initial Term), unless terminated sooner as provided by this Agreement or extended by the Parties. The Term shall be automatically renewed for successive periods of one year each (each, a Renewal Term), unless either Party gives to the other written notice of intent not to renew at least ninety (90) days prior to the expiration of the Initial Term or any Renewal Term (a Notice of Non-Renewal).", "ner": [[24, 26, "EffectiveDate"], [40, 42, "TerminationDate"], [73, 74, "RenewalTerm"]], "tokenized_text": ["2", ".", "EFFECTIVE", "DATE", "AND", "TERM", ".", "This", "Agreement", "shall", "be", "effective", ",", "and", "its", "term", "(", "the", "Term", ")", "shall", "commence", "as", "of", "October3", ",", "2017", "(", "the", "Effective", "Date", ")", ".", "The", "Term", "shall", "continue", "through", "and", "until", "December31", ",", "2017", "(", "the", "Initial", "Term", ")", ",", "unless", "terminated", "sooner", "as", "provided", "by", "this", "Agreement", "or", "extended", "by", "the", "Parties", ".", "The", "Term", "shall", "be", "automatically", "renewed", "for", "successive", "periods", "of", "one", "year", "each", "(", "each", ",", "a", "Renewal", "Term", ")", ",", "unless", "either", "Party", "gives", "to", "the", "other", "written", "notice", "of", "intent", "not", "to", "renew", "at", "least", "ninety", "(", "90", ")", "days", "prior", "to", "the", "expiration", "of", "the", "Initial", "Term", "or", "any", "Renewal", "Term", "(", "a", "Notice", "of", "Non-Renewal", ")", "."]}
{"id": "11243", "text": "A. Duties. During the Term, the Executive shall hold the title of Senior Vice President of Regulatory Affairs and shall perform such duties as the Company may reasonably require and shall use her best efforts to carry into effect the directions of Company senior management. The Executive shall report to the CEO or any other officer of the Company that the CEO or the Board of Directors (the Board) shall designate from time to time. During the Term, the Executive shall be bound by, and comply fully with, all of the Companys policies and procedures in place from time to time for employees and, to the extent applicable, officers.", "ner": [[15, 17, "Role"], [55, 55, "Role"], [65, 65, "Role"], [68, 70, "Role"]], "tokenized_text": ["A", ".", "Duties", ".", "During", "the", "Term", ",", "the", "Executive", "shall", "hold", "the", "title", "of", "Senior", "Vice", "President", "of", "Regulatory", "Affairs", "and", "shall", "perform", "such", "duties", "as", "the", "Company", "may", "reasonably", "require", "and", "shall", "use", "her", "best", "efforts", "to", "carry", "into", "effect", "the", "directions", "of", "Company", "senior", "management", ".", "The", "Executive", "shall", "report", "to", "the", "CEO", "or", "any", "other", "officer", "of", "the", "Company", "that", "the", "CEO", "or", "the", "Board", "of", "Directors", "(", "the", "Board", ")", "shall", "designate", "from", "time", "to", "time", ".", "During", "the", "Term", ",", "the", "Executive", "shall", "be", "bound", "by", ",", "and", "comply", "fully", "with", ",", "all", "of", "the", "Companys", "policies", "and", "procedures", "in", "place", "from", "time", "to", "time", "for", "employees", "and", ",", "to", "the", "extent", "applicable", ",", "officers", "."]}
{"id": "11245", "text": "D. Breach. The Executive acknowledges that there may be circumstances in which her breach of any covenant set forth in this Section5 could cause substantial harm to the Company which may not be compensable by monetary damages alone, and which could potentially entitle the Company to injunctive relief. However, by acknowledging this possibility, the Executive is not agreeing to waive her right to require the Company to meet its evidentiary burdens as required by law in any cause of action brought by the Company seeking such injunctive relief. The restrictions contained in Subsection 5.C. above shall not prohibit Executive from owning (beneficially or of record) less than 5% of any class of equity or debt security issued by a publicly-held company, regardless of whether that publicly-held company is otherwise a competitor of the Company.", "ner": [[119, 120, "Percentage"]], "tokenized_text": ["D", ".", "Breach", ".", "The", "Executive", "acknowledges", "that", "there", "may", "be", "circumstances", "in", "which", "her", "breach", "of", "any", "covenant", "set", "forth", "in", "this", "Section5", "could", "cause", "substantial", "harm", "to", "the", "Company", "which", "may", "not", "be", "compensable", "by", "monetary", "damages", "alone", ",", "and", "which", "could", "potentially", "entitle", "the", "Company", "to", "injunctive", "relief", ".", "However", ",", "by", "acknowledging", "this", "possibility", ",", "the", "Executive", "is", "not", "agreeing", "to", "waive", "her", "right", "to", "require", "the", "Company", "to", "meet", "its", "evidentiary", "burdens", "as", "required", "by", "law", "in", "any", "cause", "of", "action", "brought", "by", "the", "Company", "seeking", "such", "injunctive", "relief", ".", "The", "restrictions", "contained", "in", "Subsection", "5", ".", "C", ".", "above", "shall", "not", "prohibit", "Executive", "from", "owning", "(", "beneficially", "or", "of", "record", ")", "less", "than", "5", "%", "of", "any", "class", "of", "equity", "or", "debt", "security", "issued", "by", "a", "publicly-held", "company", ",", "regardless", "of", "whether", "that", "publicly-held", "company", "is", "otherwise", "a", "competitor", "of", "the", "Company", "."]}
{"id": "11246", "text": "(3) In the event the Term is terminated pursuant to Subsection 6.B.(1)or 6.B.(2), or in the event that the Term is terminated at the end of the Initial Term or a Renewal Term in connection with the Company providing the Executive with a Notice of Non-Renewal effective in connection with the expiration of the Initial Term or a Renewal Term, the Company shall pay the Executive as a severance benefit a lump sum cash severance payment in an amount equal to 100% of the Executives then existing annual Base Salary (i.e., twelve (12) months of Base Salary) (the Severance Payment) plus Base Salary and Annual Bonus (if any) earned and accrued prior to termination. In addition, if and to the extent the Executive timely elects to continue her health insurance employee benefits pursuant to COBRA, then the Company will pay the Executive for a period of 18 months , commencing with the payroll date on or following the 63rd day after the last day of her employment with the Company, subject to the effectiveness of the Release (as defined below) a monthly amount, payable in accordance with the Companys regular payroll practices, equal to the applicable COBRA costs, subject to applicable tax withholdings (the Supplemental Payments). The Severance Payment shall be paid within 10 days following the effectiveness of the Release (as defined below); provided, however, that if necessary to comply with the restriction in Section 409A(a)(2)(B) of the Internal Revenue Code of 1986, as amended (the Code) concerning payments to specified employees, to the extent applicable, such payment shall be delayed until the first business day of the seventh month following the Executives termination of employment and separation from service (within the meaning of Section409A of the Code). Notwithstanding any provisions of the stock option plan or stock option agreement pursuant to which any stock options were granted to the Executive, the Executive shall be entitled to exercise her vested equity awards until one year from the date of termination of employment or the expiration of the stated period of the vested equity award, whichever period is the shorter.", "ner": [[98, 99, "Percentage"], [166, 166, "Act"], [234, 234, "Act"], [295, 299, "Act"], [358, 360, "Title"], [362, 364, "Title"], [389, 390, "TerminationDate"]], "tokenized_text": ["(", "3", ")", "In", "the", "event", "the", "Term", "is", "terminated", "pursuant", "to", "Subsection", "6", ".", "B", ".", "(", "1", ")", "or", "6", ".", "B", ".", "(", "2", ")", ",", "or", "in", "the", "event", "that", "the", "Term", "is", "terminated", "at", "the", "end", "of", "the", "Initial", "Term", "or", "a", "Renewal", "Term", "in", "connection", "with", "the", "Company", "providing", "the", "Executive", "with", "a", "Notice", "of", "Non-Renewal", "effective", "in", "connection", "with", "the", "expiration", "of", "the", "Initial", "Term", "or", "a", "Renewal", "Term", ",", "the", "Company", "shall", "pay", "the", "Executive", "as", "a", "severance", "benefit", "a", "lump", "sum", "cash", "severance", "payment", "in", "an", "amount", "equal", "to", "100", "%", "of", "the", "Executives", "then", "existing", "annual", "Base", "Salary", "(", "i", ".", "e", ".", ",", "twelve", "(", "12", ")", "months", "of", "Base", "Salary", ")", "(", "the", "Severance", "Payment", ")", "plus", "Base", "Salary", "and", "Annual", "Bonus", "(", "if", "any", ")", "earned", "and", "accrued", "prior", "to", "termination", ".", "In", "addition", ",", "if", "and", "to", "the", "extent", "the", "Executive", "timely", "elects", "to", "continue", "her", "health", "insurance", "employee", "benefits", "pursuant", "to", "COBRA", ",", "then", "the", "Company", "will", "pay", "the", "Executive", "for", "a", "period", "of", "18", "months", ",", "commencing", "with", "the", "payroll", "date", "on", "or", "following", "the", "63rd", "day", "after", "the", "last", "day", "of", "her", "employment", "with", "the", "Company", ",", "subject", "to", "the", "effectiveness", "of", "the", "Release", "(", "as", "defined", "below", ")", "a", "monthly", "amount", ",", "payable", "in", "accordance", "with", "the", "Companys", "regular", "payroll", "practices", ",", "equal", "to", "the", "applicable", "COBRA", "costs", ",", "subject", "to", "applicable", "tax", "withholdings", "(", "the", "Supplemental", "Payments", ")", ".", "The", "Severance", "Payment", "shall", "be", "paid", "within", "10", "days", "following", "the", "effectiveness", "of", "the", "Release", "(", "as", "defined", "below", ")", ";", "provided", ",", "however", ",", "that", "if", "necessary", "to", "comply", "with", "the", "restriction", "in", "Section", "409A", "(", "a", ")", "(", "2", ")", "(", "B", ")", "of", "the", "Internal", "Revenue", "Code", "of", "1986", ",", "as", "amended", "(", "the", "Code", ")", "concerning", "payments", "to", "specified", "employees", ",", "to", "the", "extent", "applicable", ",", "such", "payment", "shall", "be", "delayed", "until", "the", "first", "business", "day", "of", "the", "seventh", "month", "following", "the", "Executives", "termination", "of", "employment", "and", "separation", "from", "service", "(", "within", "the", "meaning", "of", "Section409A", "of", "the", "Code", ")", ".", "Notwithstanding", "any", "provisions", "of", "the", "stock", "option", "plan", "or", "stock", "option", "agreement", "pursuant", "to", "which", "any", "stock", "options", "were", "granted", "to", "the", "Executive", ",", "the", "Executive", "shall", "be", "entitled", "to", "exercise", "her", "vested", "equity", "awards", "until", "one", "year", "from", "the", "date", "of", "termination", "of", "employment", "or", "the", "expiration", "of", "the", "stated", "period", "of", "the", "vested", "equity", "award", ",", "whichever", "period", "is", "the", "shorter", "."]}
{"id": "11247", "text": "(a) An acquisition (other than directly from the Company) of any voting securities of the Company (the Voting Securities) other than in a Non- Control Acquisition (as defined below) by any Person (as the term person is used for purposes of Section13(d)or 14(d)of the Securities Exchange Act of 1934 , as amended, (the 1934 Act )) which results in such Person first attaining Beneficial Ownership (within the meaning of Rule13d-3 promulgated under the 1934 Act ) of fifty-one percent (51%) or more of the combined voting power of the Companys then outstanding Voting Securities. For purposes of the foregoing, a Non-Control Acquisition shall mean an acquisition by (i)an employee benefit plan (or a trust forming a part thereof) maintained by (x)the Company or (y)any corporation or other Person of which a majority of its voting power or its equity securities or equity interest is owned directly or indirectly by the Company (a Subsidiary), or (ii)the Company or any Subsidiary.", "ner": [[62, 66, "Act"], [73, 74, "Act"], [91, 91, "Regulation"], [102, 103, "Percentage"]], "tokenized_text": ["(", "a", ")", "An", "acquisition", "(", "other", "than", "directly", "from", "the", "Company", ")", "of", "any", "voting", "securities", "of", "the", "Company", "(", "the", "Voting", "Securities", ")", "other", "than", "in", "a", "Non", "-", "Control", "Acquisition", "(", "as", "defined", "below", ")", "by", "any", "Person", "(", "as", "the", "term", "person", "is", "used", "for", "purposes", "of", "Section13", "(", "d", ")", "or", "14", "(", "d", ")", "of", "the", "Securities", "Exchange", "Act", "of", "1934", ",", "as", "amended", ",", "(", "the", "1934", "Act", ")", ")", "which", "results", "in", "such", "Person", "first", "attaining", "Beneficial", "Ownership", "(", "within", "the", "meaning", "of", "Rule13d-3", "promulgated", "under", "the", "1934", "Act", ")", "of", "fifty-one", "percent", "(", "51", "%", ")", "or", "more", "of", "the", "combined", "voting", "power", "of", "the", "Companys", "then", "outstanding", "Voting", "Securities", ".", "For", "purposes", "of", "the", "foregoing", ",", "a", "Non-Control", "Acquisition", "shall", "mean", "an", "acquisition", "by", "(", "i", ")", "an", "employee", "benefit", "plan", "(", "or", "a", "trust", "forming", "a", "part", "thereof", ")", "maintained", "by", "(", "x", ")", "the", "Company", "or", "(", "y", ")", "any", "corporation", "or", "other", "Person", "of", "which", "a", "majority", "of", "its", "voting", "power", "or", "its", "equity", "securities", "or", "equity", "interest", "is", "owned", "directly", "or", "indirectly", "by", "the", "Company", "(", "a", "Subsidiary", ")", ",", "or", "(", "ii", ")", "the", "Company", "or", "any", "Subsidiary", "."]}
{"id": "11248", "text": "(b) The individuals who, as of the date of this Agreement, were members of the Board (the Incumbent Board) cease for any reason to constitute at least 66 2/3% of the Board; provided, however, that if the election, or a nomination for election by the Companys shareholders, of any new director was approved by a vote of at least 66 2/3% of the Incumbent Board, such new director shall be considered as a member of the Incumbent Board; provided further, however, that no individual shall be considered a member of the Incumbent Board if such individual initially assumed office as a result of either an actual or threatened Election Contest (as described in Rule14a-11 promulgated under the 1934 Act ) or other actual or threatened solicitation of the proxies or consents by or on behalf of a Person other than the Board (a Proxy Contest) including by reason of any agreement intended to avoid or settle any Election Contest or Proxy Contest; or", "ner": [[33, 37, "Percentage"], [135, 135, "Regulation"], [139, 140, "Act"]], "tokenized_text": ["(", "b", ")", "The", "individuals", "who", ",", "as", "of", "the", "date", "of", "this", "Agreement", ",", "were", "members", "of", "the", "Board", "(", "the", "Incumbent", "Board", ")", "cease", "for", "any", "reason", "to", "constitute", "at", "least", "66", "2", "/", "3", "%", "of", "the", "Board", ";", "provided", ",", "however", ",", "that", "if", "the", "election", ",", "or", "a", "nomination", "for", "election", "by", "the", "Companys", "shareholders", ",", "of", "any", "new", "director", "was", "approved", "by", "a", "vote", "of", "at", "least", "66", "2", "/", "3", "%", "of", "the", "Incumbent", "Board", ",", "such", "new", "director", "shall", "be", "considered", "as", "a", "member", "of", "the", "Incumbent", "Board", ";", "provided", "further", ",", "however", ",", "that", "no", "individual", "shall", "be", "considered", "a", "member", "of", "the", "Incumbent", "Board", "if", "such", "individual", "initially", "assumed", "office", "as", "a", "result", "of", "either", "an", "actual", "or", "threatened", "Election", "Contest", "(", "as", "described", "in", "Rule14a-11", "promulgated", "under", "the", "1934", "Act", ")", "or", "other", "actual", "or", "threatened", "solicitation", "of", "the", "proxies", "or", "consents", "by", "or", "on", "behalf", "of", "a", "Person", "other", "than", "the", "Board", "(", "a", "Proxy", "Contest", ")", "including", "by", "reason", "of", "any", "agreement", "intended", "to", "avoid", "or", "settle", "any", "Election", "Contest", "or", "Proxy", "Contest", ";", "or"]}
{"id": "11249", "text": "(c) The consummation of a transaction approved by the Companys shareholders and involving: (1)a merger, consolidation or reorganization in which the Company is a constituent corporation, unless (i)the shareholders of the Company, immediately before such merger, consolidation or reorganization, own, directly or indirectly immediately following such merger, consolidation or reorganization, at least a majority of the combined voting power of the outstanding voting securities of the corporation resulting from such merger, consolidation or reorganization (the Surviving Corporation) in substantially the same proportion as their ownership of the voting securities immediately before such merger, consolidation or reorganization, (ii)the individuals who were members of the Incumbent Board immediately prior to the execution of the agreement providing for such merger, consolidation or reorganization constitute at least a majority of the members of the board of directors of the Surviving Corporation, and (iii)no Person other than (w)the Company, (x)any Subsidiary, (y)any employee benefit plan (or any trust forming a part thereof) maintained by the Company, the Surviving Corporation or any Subsidiary, or (z)any Person who, immediately prior to such merger, consolidation or reorganization had Beneficial Ownership of fifty-one percent (51%) or more of the then outstanding Voting Securities, has Beneficial Ownership of fifty-one percent (51%) or more of the combined voting power of the Surviving Corporations then outstanding voting securities (a transaction described in clauses (i)and (ii)shall herein be referred to as a Non- Control Transaction); (2)a complete liquidation or dissolution of the Company; or (3)an agreement for the sale or other disposition of all or substantially all of the assets of the Company to any Person (other than a transfer to a Subsidiary).", "ner": [[233, 234, "Percentage"], [236, 237, "Percentage"]], "tokenized_text": ["(", "c", ")", "The", "consummation", "of", "a", "transaction", "approved", "by", "the", "Companys", "shareholders", "and", "involving", ":", "(", "1", ")", "a", "merger", ",", "consolidation", "or", "reorganization", "in", "which", "the", "Company", "is", "a", "constituent", "corporation", ",", "unless", "(", "i", ")", "the", "shareholders", "of", "the", "Company", ",", "immediately", "before", "such", "merger", ",", "consolidation", "or", "reorganization", ",", "own", ",", "directly", "or", "indirectly", "immediately", "following", "such", "merger", ",", "consolidation", "or", "reorganization", ",", "at", "least", "a", "majority", "of", "the", "combined", "voting", "power", "of", "the", "outstanding", "voting", "securities", "of", "the", "corporation", "resulting", "from", "such", "merger", ",", "consolidation", "or", "reorganization", "(", "the", "Surviving", "Corporation", ")", "in", "substantially", "the", "same", "proportion", "as", "their", "ownership", "of", "the", "voting", "securities", "immediately", "before", "such", "merger", ",", "consolidation", "or", "reorganization", ",", "(", "ii", ")", "the", "individuals", "who", "were", "members", "of", "the", "Incumbent", "Board", "immediately", "prior", "to", "the", "execution", "of", "the", "agreement", "providing", "for", "such", "merger", ",", "consolidation", "or", "reorganization", "constitute", "at", "least", "a", "majority", "of", "the", "members", "of", "the", "board", "of", "directors", "of", "the", "Surviving", "Corporation", ",", "and", "(", "iii", ")", "no", "Person", "other", "than", "(", "w", ")", "the", "Company", ",", "(", "x", ")", "any", "Subsidiary", ",", "(", "y", ")", "any", "employee", "benefit", "plan", "(", "or", "any", "trust", "forming", "a", "part", "thereof", ")", "maintained", "by", "the", "Company", ",", "the", "Surviving", "Corporation", "or", "any", "Subsidiary", ",", "or", "(", "z", ")", "any", "Person", "who", ",", "immediately", "prior", "to", "such", "merger", ",", "consolidation", "or", "reorganization", "had", "Beneficial", "Ownership", "of", "fifty-one", "percent", "(", "51", "%", ")", "or", "more", "of", "the", "then", "outstanding", "Voting", "Securities", ",", "has", "Beneficial", "Ownership", "of", "fifty-one", "percent", "(", "51", "%", ")", "or", "more", "of", "the", "combined", "voting", "power", "of", "the", "Surviving", "Corporations", "then", "outstanding", "voting", "securities", "(", "a", "transaction", "described", "in", "clauses", "(", "i", ")", "and", "(", "ii", ")", "shall", "herein", "be", "referred", "to", "as", "a", "Non", "-", "Control", "Transaction", ")", ";", "(", "2", ")", "a", "complete", "liquidation", "or", "dissolution", "of", "the", "Company", ";", "or", "(", "3", ")", "an", "agreement", "for", "the", "sale", "or", "other", "disposition", "of", "all", "or", "substantially", "all", "of", "the", "assets", "of", "the", "Company", "to", "any", "Person", "(", "other", "than", "a", "transfer", "to", "a", "Subsidiary", ")", "."]}
{"id": "11255", "text": "CELLDEX THERAPEUTICS,INC . ---|---", "ner": [], "tokenized_text": ["CELLDEX", "THERAPEUTICS", ",", "INC", ".", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "11259", "text": "2. Compensation. For the services to be provided during Executives employment with the Company, the Company shall pay to Executive a base salary at the rate of $310,000 annually (Annual Base Salary), payable in accordance with the Companys regular payroll practices. All payments shall be made after deduction of all applicable federal, state, and local income and withholding taxes. Any increases or decreases in Annual Base Salary shall not affect the other terms and conditions of this Agreement. In addition, Executive will be entitled to receive Incentive Stock Options to purchase the Companys ordinary shares of stock pursuant to the Companys 2014 Omnibus Equity Incentive Plan, a copy of which will be provided to Executive, by paying to the Company the exercise price on the dates set forth in the accompanying Incentive Stock Option Agreement.", "ner": [[30, 33, "Salary"], [148, 151, "Title"]], "tokenized_text": ["2", ".", "Compensation", ".", "For", "the", "services", "to", "be", "provided", "during", "Executives", "employment", "with", "the", "Company", ",", "the", "Company", "shall", "pay", "to", "Executive", "a", "base", "salary", "at", "the", "rate", "of", "$", "310", ",", "000", "annually", "(", "Annual", "Base", "Salary", ")", ",", "payable", "in", "accordance", "with", "the", "Companys", "regular", "payroll", "practices", ".", "All", "payments", "shall", "be", "made", "after", "deduction", "of", "all", "applicable", "federal", ",", "state", ",", "and", "local", "income", "and", "withholding", "taxes", ".", "Any", "increases", "or", "decreases", "in", "Annual", "Base", "Salary", "shall", "not", "affect", "the", "other", "terms", "and", "conditions", "of", "this", "Agreement", ".", "In", "addition", ",", "Executive", "will", "be", "entitled", "to", "receive", "Incentive", "Stock", "Options", "to", "purchase", "the", "Companys", "ordinary", "shares", "of", "stock", "pursuant", "to", "the", "Companys", "2014", "Omnibus", "Equity", "Incentive", "Plan", ",", "a", "copy", "of", "which", "will", "be", "provided", "to", "Executive", ",", "by", "paying", "to", "the", "Company", "the", "exercise", "price", "on", "the", "dates", "set", "forth", "in", "the", "accompanying", "Incentive", "Stock", "Option", "Agreement", "."]}
{"id": "11260", "text": "(ii) If Executives employment is terminated by the Company without Cause or as a result of Disability, provided that Executive executes a release in form satisfactory to the Company, the Company shall (a) pay Executive the Accrued Obligations; (b) pay Executive Annual Base Salary for three (3) months to be paid in equal installments on the Companys regular pay dates (subject to applicable withholdings and deductions); and (c) if Executive elects to continue Executives health insurance coverage, as applicable, under the Consolidated Omnibus Budget Reconciliation Act of 1985 , as amended (COBRA), the Company will pay to Executive cash payments equal to the difference between the COBRA continuation coverage premiums and the amount of premiums paid by similarly situated active employees of the Company under the Companys health insurance plans in which Executive and, if applicable, Executives family, was participating immediately prior to the Termination Date until the earlier of (1) the expiration of the six (6) months following the Termination Date, and (2)the date that Executive is eligible to receive substantially equivalent coverage and benefits from a new employer, to be paid in equal installments on the Companys regular pay dates (subject to applicable withholdings and deductions).", "ner": [[54, 58, "TerminationDate"], [99, 105, "Act"], [110, 110, "Act"], [127, 127, "Act"]], "tokenized_text": ["(", "ii", ")", "If", "Executives", "employment", "is", "terminated", "by", "the", "Company", "without", "Cause", "or", "as", "a", "result", "of", "Disability", ",", "provided", "that", "Executive", "executes", "a", "release", "in", "form", "satisfactory", "to", "the", "Company", ",", "the", "Company", "shall", "(", "a", ")", "pay", "Executive", "the", "Accrued", "Obligations", ";", "(", "b", ")", "pay", "Executive", "Annual", "Base", "Salary", "for", "three", "(", "3", ")", "months", "to", "be", "paid", "in", "equal", "installments", "on", "the", "Companys", "regular", "pay", "dates", "(", "subject", "to", "applicable", "withholdings", "and", "deductions", ")", ";", "and", "(", "c", ")", "if", "Executive", "elects", "to", "continue", "Executives", "health", "insurance", "coverage", ",", "as", "applicable", ",", "under", "the", "Consolidated", "Omnibus", "Budget", "Reconciliation", "Act", "of", "1985", ",", "as", "amended", "(", "COBRA", ")", ",", "the", "Company", "will", "pay", "to", "Executive", "cash", "payments", "equal", "to", "the", "difference", "between", "the", "COBRA", "continuation", "coverage", "premiums", "and", "the", "amount", "of", "premiums", "paid", "by", "similarly", "situated", "active", "employees", "of", "the", "Company", "under", "the", "Companys", "health", "insurance", "plans", "in", "which", "Executive", "and", ",", "if", "applicable", ",", "Executives", "family", ",", "was", "participating", "immediately", "prior", "to", "the", "Termination", "Date", "until", "the", "earlier", "of", "(", "1", ")", "the", "expiration", "of", "the", "six", "(", "6", ")", "months", "following", "the", "Termination", "Date", ",", "and", "(", "2", ")", "the", "date", "that", "Executive", "is", "eligible", "to", "receive", "substantially", "equivalent", "coverage", "and", "benefits", "from", "a", "new", "employer", ",", "to", "be", "paid", "in", "equal", "installments", "on", "the", "Companys", "regular", "pay", "dates", "(", "subject", "to", "applicable", "withholdings", "and", "deductions", ")", "."]}
{"id": "11262", "text": "9. Governing Law. This Agreement shall be governed by, and construed and enforced in accordance with, the laws of the State of Nevada , without regard to the principles thereof relating to the conflict of laws.", "ner": [[24, 26, "Court"]], "tokenized_text": ["9", ".", "Governing", "Law", ".", "This", "Agreement", "shall", "be", "governed", "by", ",", "and", "construed", "and", "enforced", "in", "accordance", "with", ",", "the", "laws", "of", "the", "State", "of", "Nevada", ",", "without", "regard", "to", "the", "principles", "thereof", "relating", "to", "the", "conflict", "of", "laws", "."]}
{"id": "11264", "text": "(d) In arbitration, the parties will have the right to conduct adequate civil discovery, bring dispositive motions, and present witnesses and evidence as needed to present their claims and defenses, and any disputes in this regard shall be resolved by the Arbitrator. However, there will be no right or authority for any dispute to be brought, heard or arbitrated as a class, collective or representative action or as a class member in any purported class, collective action or representative proceeding (Class Action Waiver). Notwithstanding any other clause contained in this Agreement, the preceding sentence shall not be severable from this Agreement in any case in which the dispute to be arbitrated is brought as a class, collective or representative action. Although Executive will not be retaliated against, disciplined or threatened with discipline as a result of Executives exercising his or her rights under Section 7 of the National Labor Relations Act by the filing of or participation in a class, collective or representative action in any forum, the Company may lawfully seek enforcement of this Agreement and the Class Action Waiver under the Federal Arbitration Act and seek dismissal of such class, collective or representative actions or claims. Notwithstanding any other clause contained in this Agreement, any claim that all or part of the Class Action Waiver is unenforceable, unconscionable, void or voidable may be determined only by a court of competent jurisdiction and not by an arbitrator.", "ner": [[92, 94, "Title"], [165, 168, "Act"], [203, 205, "Act"]], "tokenized_text": ["(", "d", ")", "In", "arbitration", ",", "the", "parties", "will", "have", "the", "right", "to", "conduct", "adequate", "civil", "discovery", ",", "bring", "dispositive", "motions", ",", "and", "present", "witnesses", "and", "evidence", "as", "needed", "to", "present", "their", "claims", "and", "defenses", ",", "and", "any", "disputes", "in", "this", "regard", "shall", "be", "resolved", "by", "the", "Arbitrator", ".", "However", ",", "there", "will", "be", "no", "right", "or", "authority", "for", "any", "dispute", "to", "be", "brought", ",", "heard", "or", "arbitrated", "as", "a", "class", ",", "collective", "or", "representative", "action", "or", "as", "a", "class", "member", "in", "any", "purported", "class", ",", "collective", "action", "or", "representative", "proceeding", "(", "Class", "Action", "Waiver", ")", ".", "Notwithstanding", "any", "other", "clause", "contained", "in", "this", "Agreement", ",", "the", "preceding", "sentence", "shall", "not", "be", "severable", "from", "this", "Agreement", "in", "any", "case", "in", "which", "the", "dispute", "to", "be", "arbitrated", "is", "brought", "as", "a", "class", ",", "collective", "or", "representative", "action", ".", "Although", "Executive", "will", "not", "be", "retaliated", "against", ",", "disciplined", "or", "threatened", "with", "discipline", "as", "a", "result", "of", "Executives", "exercising", "his", "or", "her", "rights", "under", "Section", "7", "of", "the", "National", "Labor", "Relations", "Act", "by", "the", "filing", "of", "or", "participation", "in", "a", "class", ",", "collective", "or", "representative", "action", "in", "any", "forum", ",", "the", "Company", "may", "lawfully", "seek", "enforcement", "of", "this", "Agreement", "and", "the", "Class", "Action", "Waiver", "under", "the", "Federal", "Arbitration", "Act", "and", "seek", "dismissal", "of", "such", "class", ",", "collective", "or", "representative", "actions", "or", "claims", ".", "Notwithstanding", "any", "other", "clause", "contained", "in", "this", "Agreement", ",", "any", "claim", "that", "all", "or", "part", "of", "the", "Class", "Action", "Waiver", "is", "unenforceable", ",", "unconscionable", ",", "void", "or", "voidable", "may", "be", "determined", "only", "by", "a", "court", "of", "competent", "jurisdiction", "and", "not", "by", "an", "arbitrator", "."]}
{"id": "11265", "text": "(m) Eligibility to Work. In compliance with the Immigration Reform and Control Act of 1986 , Executive must provide proof of eligibility to work in the United States by completing a Form I-9 . As part of the verification process, Executive may present a document or a combination of documents to demonstrate Executives identity and work authorization. The Form I-9 and instructions, including the lists of acceptable documents will be provided to Executive, and must be completed no later than close of business of Executives first day of employment with the Company.", "ner": [[11, 17, "Act"]], "tokenized_text": ["(", "m", ")", "Eligibility", "to", "Work", ".", "In", "compliance", "with", "the", "Immigration", "Reform", "and", "Control", "Act", "of", "1986", ",", "Executive", "must", "provide", "proof", "of", "eligibility", "to", "work", "in", "the", "United", "States", "by", "completing", "a", "Form", "I-9", ".", "As", "part", "of", "the", "verification", "process", ",", "Executive", "may", "present", "a", "document", "or", "a", "combination", "of", "documents", "to", "demonstrate", "Executives", "identity", "and", "work", "authorization", ".", "The", "Form", "I-9", "and", "instructions", ",", "including", "the", "lists", "of", "acceptable", "documents", "will", "be", "provided", "to", "Executive", ",", "and", "must", "be", "completed", "no", "later", "than", "close", "of", "business", "of", "Executives", "first", "day", "of", "employment", "with", "the", "Company", "."]}
{"id": "11266", "text": "| | ---|---|--- LIVE VENTURES INCORPORATED | | MICHAEL J. STEIN | | | | Signature: /s/ Jon Isaac | | Signature: /s/ Michael J. Stein By (printed): Jon Isaac | | By (printed): Michael J. Stein Title: President and CEO | | | |", "ner": [[13, 15, "Parties"], [18, 21, "Parties"], [31, 32, "Parties"], [40, 43, "Parties"], [64, 64, "Role"], [66, 66, "Role"]], "tokenized_text": ["|", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "LIVE", "VENTURES", "INCORPORATED", "|", "|", "MICHAEL", "J", ".", "STEIN", "|", "|", "|", "|", "Signature", ":", "/", "s", "/", "Jon", "Isaac", "|", "|", "Signature", ":", "/", "s", "/", "Michael", "J", ".", "Stein", "By", "(", "printed", ")", ":", "Jon", "Isaac", "|", "|", "By", "(", "printed", ")", ":", "Michael", "J", ".", "Stein", "Title", ":", "President", "and", "CEO", "|", "|", "|", "|"]}
{"id": "11268", "text": "WHEREAS, CBFH,Inc ., a Texas corporation (CBFH) , and VB Texas,Inc ., a Texas corporation (VBT) propose to enter into and execute that certain Agreement and Plan of Merger dated as of the date hereof (the Merger Agreement), pursuant to which VBT will merge with and into CBFH in exchange for consideration as set forth in the Agreement (the Merger) and the Employees obligations under this Agreement are effective as of the Effective Time (as defined in the Merger Agreement) of the Merger (referred to herein as the Effective Date);", "ner": [[2, 5, "Parties"], [15, 19, "Parties"], [48, 49, "Title"]], "tokenized_text": ["WHEREAS", ",", "CBFH", ",", "Inc", ".", ",", "a", "Texas", "corporation", "(", "CBFH", ")", ",", "and", "VB", "Texas", ",", "Inc", ".", ",", "a", "Texas", "corporation", "(", "VBT", ")", "propose", "to", "enter", "into", "and", "execute", "that", "certain", "Agreement", "and", "Plan", "of", "Merger", "dated", "as", "of", "the", "date", "hereof", "(", "the", "Merger", "Agreement", ")", ",", "pursuant", "to", "which", "VBT", "will", "merge", "with", "and", "into", "CBFH", "in", "exchange", "for", "consideration", "as", "set", "forth", "in", "the", "Agreement", "(", "the", "Merger", ")", "and", "the", "Employees", "obligations", "under", "this", "Agreement", "are", "effective", "as", "of", "the", "Effective", "Time", "(", "as", "defined", "in", "the", "Merger", "Agreement", ")", "of", "the", "Merger", "(", "referred", "to", "herein", "as", "the", "Effective", "Date", ")", ";"]}
{"id": "11269", "text": "1.2 Work Responsibilities. Subject to the terms of this Agreement, Employee is employed in the position of Chief Financial Officer of Community Bank of Texas , National Association (CBOT), Vista Bank Texas (the Bank) and the Company and upon the merger of CBOT and the Bank, shall be the Chief Financial Officer of the surviving bank (the Surviving Bank). Employees position, job descriptions, duties and responsibilities may be modified from time to time in the sole discretion of the Board of Directors of the Company.", "ner": [[21, 23, "Role"], [25, 28, "Parties"], [36, 38, "Parties"]], "tokenized_text": ["1", ".", "2", "Work", "Responsibilities", ".", "Subject", "to", "the", "terms", "of", "this", "Agreement", ",", "Employee", "is", "employed", "in", "the", "position", "of", "Chief", "Financial", "Officer", "of", "Community", "Bank", "of", "Texas", ",", "National", "Association", "(", "CBOT", ")", ",", "Vista", "Bank", "Texas", "(", "the", "Bank", ")", "and", "the", "Company", "and", "upon", "the", "merger", "of", "CBOT", "and", "the", "Bank", ",", "shall", "be", "the", "Chief", "Financial", "Officer", "of", "the", "surviving", "bank", "(", "the", "Surviving", "Bank", ")", ".", "Employees", "position", ",", "job", "descriptions", ",", "duties", "and", "responsibilities", "may", "be", "modified", "from", "time", "to", "time", "in", "the", "sole", "discretion", "of", "the", "Board", "of", "Directors", "of", "the", "Company", "."]}
{"id": "11270", "text": "a. a change in the ownership of the capital stock of the Company whereby a corporation, person, or group acting in concert (hereinafter this Agreement shall collectively refer, to any combination of these three (a corporation, person or group acting in concert) as a Person as described in Section14(d)(2)of the Securities Exchange Act of 1934 , as amended (the Exchange Act ), acquires, directly or indirectly, beneficial ownership (within the meaning of Rule13d-3 promulgated under the Exchange Act ) of a number of shares of CBOT, the Bank or the Surviving Bank or the Company which constitutes fifty percent (50%) or more of the combined voting power of the CBOT, the Bank or the Surviving Banks or the Companys the outstanding capital stock then entitled to vote generally in the election of directors;", "ner": [[65, 69, "Act"], [92, 92, "Regulation"], [121, 122, "Percentage"]], "tokenized_text": ["a", ".", "a", "change", "in", "the", "ownership", "of", "the", "capital", "stock", "of", "the", "Company", "whereby", "a", "corporation", ",", "person", ",", "or", "group", "acting", "in", "concert", "(", "hereinafter", "this", "Agreement", "shall", "collectively", "refer", ",", "to", "any", "combination", "of", "these", "three", "(", "a", "corporation", ",", "person", "or", "group", "acting", "in", "concert", ")", "as", "a", "Person", "as", "described", "in", "Section14", "(", "d", ")", "(", "2", ")", "of", "the", "Securities", "Exchange", "Act", "of", "1934", ",", "as", "amended", "(", "the", "Exchange", "Act", ")", ",", "acquires", ",", "directly", "or", "indirectly", ",", "beneficial", "ownership", "(", "within", "the", "meaning", "of", "Rule13d-3", "promulgated", "under", "the", "Exchange", "Act", ")", "of", "a", "number", "of", "shares", "of", "CBOT", ",", "the", "Bank", "or", "the", "Surviving", "Bank", "or", "the", "Company", "which", "constitutes", "fifty", "percent", "(", "50", "%", ")", "or", "more", "of", "the", "combined", "voting", "power", "of", "the", "CBOT", ",", "the", "Bank", "or", "the", "Surviving", "Banks", "or", "the", "Companys", "the", "outstanding", "capital", "stock", "then", "entitled", "to", "vote", "generally", "in", "the", "election", "of", "directors", ";"]}
{"id": "11271", "text": "c. a tender offer or exchange offer is made by any Person which is successfully completed and which results in such Person beneficially owning (within the meaning of Rule13d-3 promulgated under the Exchange Act ) either (1) fifty percent (50%) or more of CBOTs, the Banks, the Surviving Banks or the Companys outstanding shares of common stock or (2)shares of capital stock having fifty percent (50%) or more of the combined voting power of CBOTs, the Bank, the Surviving Banks or the Companys then outstanding capital stock (other than an offer made by the CBOT, the Bank, the Surviving Bank or the Company), and sufficient shares are acquired under the offer to cause such Person to own fifty", "ner": [[30, 30, "Regulation"], [34, 35, "Act"], [41, 42, "Percentage"], [44, 45, "Percentage"], [78, 79, "Percentage"]], "tokenized_text": ["c", ".", "a", "tender", "offer", "or", "exchange", "offer", "is", "made", "by", "any", "Person", "which", "is", "successfully", "completed", "and", "which", "results", "in", "such", "Person", "beneficially", "owning", "(", "within", "the", "meaning", "of", "Rule13d-3", "promulgated", "under", "the", "Exchange", "Act", ")", "either", "(", "1", ")", "fifty", "percent", "(", "50", "%", ")", "or", "more", "of", "CBOTs", ",", "the", "Banks", ",", "the", "Surviving", "Banks", "or", "the", "Companys", "outstanding", "shares", "of", "common", "stock", "or", "(", "2", ")", "shares", "of", "capital", "stock", "having", "fifty", "percent", "(", "50", "%", ")", "or", "more", "of", "the", "combined", "voting", "power", "of", "CBOTs", ",", "the", "Bank", ",", "the", "Surviving", "Banks", "or", "the", "Companys", "then", "outstanding", "capital", "stock", "(", "other", "than", "an", "offer", "made", "by", "the", "CBOT", ",", "the", "Bank", ",", "the", "Surviving", "Bank", "or", "the", "Company", ")", ",", "and", "sufficient", "shares", "are", "acquired", "under", "the", "offer", "to", "cause", "such", "Person", "to", "own", "fifty"]}
{"id": "11272", "text": "percent ( 50% ) or more of the voting power of CBOT, the Bank, the Surviving Bank or the Company; or", "ner": [[2, 3, "Percentage"]], "tokenized_text": ["percent", "(", "50", "%", ")", "or", "more", "of", "the", "voting", "power", "of", "CBOT", ",", "the", "Bank", ",", "the", "Surviving", "Bank", "or", "the", "Company", ";", "or"]}
{"id": "11275", "text": "[Signature Pageto Employment Agreement ]", "ner": [[3, 4, "Title"]], "tokenized_text": ["[", "Signature", "Pageto", "Employment", "Agreement", "]"]}
{"id": "11276", "text": "Between CBFH,Inc ., and Robert T. Pigott,Jr .", "ner": [[1, 4, "Parties"], [7, 13, "Parties"]], "tokenized_text": ["Between", "CBFH", ",", "Inc", ".", ",", "and", "Robert", "T", ".", "Pigott", ",", "Jr", "."]}
{"id": "11278", "text": "Employee will serve as the Chief Financial Officer of CBOT , the Bank, the Surviving Bank and the Company.", "ner": [[5, 7, "Role"], [9, 9, "Parties"]], "tokenized_text": ["Employee", "will", "serve", "as", "the", "Chief", "Financial", "Officer", "of", "CBOT", ",", "the", "Bank", ",", "the", "Surviving", "Bank", "and", "the", "Company", "."]}
{"id": "11279", "text": "$225,000 subject to annual review by the Companys Board of Directors.", "ner": [[0, 3, "Principal"]], "tokenized_text": ["$", "225", ",", "000", "subject", "to", "annual", "review", "by", "the", "Companys", "Board", "of", "Directors", "."]}
{"id": "11280", "text": "/s/ Robert T. Pigott Jr .", "ner": [[3, 8, "Parties"]], "tokenized_text": ["/", "s", "/", "Robert", "T", ".", "Pigott", "Jr", "."]}
{"id": "11283", "text": "THIS FOUNDER EMPLOYMENT AGREEMENT (this \"Agreement\") is entered into this 10th day of October, 2017 , to take effect October 1st, 2017 (the \"Effective Date\"), by and between InVESTVIEW INC . a Nevada corporation (the \"Employer\"), and Mario Romano (the \" Founder \").", "ner": [[2, 3, "Title"], [14, 19, "EffectiveDate"], [24, 27, "EffectiveDate"], [39, 41, "Parties"], [53, 54, "Parties"]], "tokenized_text": ["THIS", "FOUNDER", "EMPLOYMENT", "AGREEMENT", "(", "this", "\"", "Agreement", "\"", ")", "is", "entered", "into", "this", "10th", "day", "of", "October", ",", "2017", ",", "to", "take", "effect", "October", "1st", ",", "2017", "(", "the", "\"", "Effective", "Date", "\"", ")", ",", "by", "and", "between", "InVESTVIEW", "INC", ".", "a", "Nevada", "corporation", "(", "the", "\"", "Employer", "\"", ")", ",", "and", "Mario", "Romano", "(", "the", "\"", "Founder", "\"", ")", "."]}
{"id": "11284", "text": "1.1Nature of Employment. The Employer hereby employs the Founder , and the Founder hereby accepts employment from the Employer, upon the terms and conditions set forth herein.", "ner": [], "tokenized_text": ["1", ".", "1Nature", "of", "Employment", ".", "The", "Employer", "hereby", "employs", "the", "Founder", ",", "and", "the", "Founder", "hereby", "accepts", "employment", "from", "the", "Employer", ",", "upon", "the", "terms", "and", "conditions", "set", "forth", "herein", "."]}
{"id": "11285", "text": "1.2Full Time Services. The Founder shall devote his time, attention, and services to the business and affairs of the Employer.", "ner": [], "tokenized_text": ["1", ".", "2Full", "Time", "Services", ".", "The", "Founder", "shall", "devote", "his", "time", ",", "attention", ",", "and", "services", "to", "the", "business", "and", "affairs", "of", "the", "Employer", "."]}
{"id": "11287", "text": "2.1Compensation. For all services rendered by the Founder pursuant to this Agreement, the Employer shall compensate the Founder as follows:", "ner": [], "tokenized_text": ["2", ".", "1Compensation", ".", "For", "all", "services", "rendered", "by", "the", "Founder", "pursuant", "to", "this", "Agreement", ",", "the", "Employer", "shall", "compensate", "the", "Founder", "as", "follows", ":"]}
{"id": "11288", "text": "(b)Salary Escalation. The board of directors or the designated compensation committee shall conduct an annual review to determine whether an increase in salary is appropriate based on Employer's results of operations, increased activities or responsibilities of the Founder , or such other factors as the board of directors or the designated compensation committee thereof may deem appropriate.", "ner": [[7, 9, "Role"]], "tokenized_text": ["(", "b", ")", "Salary", "Escalation", ".", "The", "board", "of", "directors", "or", "the", "designated", "compensation", "committee", "shall", "conduct", "an", "annual", "review", "to", "determine", "whether", "an", "increase", "in", "salary", "is", "appropriate", "based", "on", "Employer", "'", "s", "results", "of", "operations", ",", "increased", "activities", "or", "responsibilities", "of", "the", "Founder", ",", "or", "such", "other", "factors", "as", "the", "board", "of", "directors", "or", "the", "designated", "compensation", "committee", "thereof", "may", "deem", "appropriate", "."]}
{"id": "11289", "text": "(c)Incentive Compensation. The Employer shall provide the Founder with additional incentive compensation in the form of cash bonuses, stock options, or other awards not less often than once each calendar year during the term of this Agreement. The amount of such bonuses shall be determined in the sole discretion of the board of directors of the Employer or the designated compensation committee thereof taking into consideration the growth and profitability of the Employer, the relative contribution by the Founder to the business of the Employer, the economy in general, and such other factors as the board of directors or designated compensation committee deems relevant.", "ner": [], "tokenized_text": ["(", "c", ")", "Incentive", "Compensation", ".", "The", "Employer", "shall", "provide", "the", "Founder", "with", "additional", "incentive", "compensation", "in", "the", "form", "of", "cash", "bonuses", ",", "stock", "options", ",", "or", "other", "awards", "not", "less", "often", "than", "once", "each", "calendar", "year", "during", "the", "term", "of", "this", "Agreement", ".", "The", "amount", "of", "such", "bonuses", "shall", "be", "determined", "in", "the", "sole", "discretion", "of", "the", "board", "of", "directors", "of", "the", "Employer", "or", "the", "designated", "compensation", "committee", "thereof", "taking", "into", "consideration", "the", "growth", "and", "profitability", "of", "the", "Employer", ",", "the", "relative", "contribution", "by", "the", "Founder", "to", "the", "business", "of", "the", "Employer", ",", "the", "economy", "in", "general", ",", "and", "such", "other", "factors", "as", "the", "board", "of", "directors", "or", "designated", "compensation", "committee", "deems", "relevant", "."]}
{"id": "11290", "text": "(d)Other Benefits. The Employer shall additionally provide to the Founder incentive, retirement, pension, profit sharing, stock option, health, medical, or other employee benefit plans that are consistent with and similar to such plans provided by the Employer to its employees generally. All costs of such plans shall be an expense of the Employer and shall be paid by the Employer.", "ner": [], "tokenized_text": ["(", "d", ")", "Other", "Benefits", ".", "The", "Employer", "shall", "additionally", "provide", "to", "the", "Founder", "incentive", ",", "retirement", ",", "pension", ",", "profit", "sharing", ",", "stock", "option", ",", "health", ",", "medical", ",", "or", "other", "employee", "benefit", "plans", "that", "are", "consistent", "with", "and", "similar", "to", "such", "plans", "provided", "by", "the", "Employer", "to", "its", "employees", "generally", ".", "All", "costs", "of", "such", "plans", "shall", "be", "an", "expense", "of", "the", "Employer", "and", "shall", "be", "paid", "by", "the", "Employer", "."]}
{"id": "11291", "text": "2.2Continuation of Compensation During Disability. If the Founder is unable to perform his services by reason of disability due to illness or incapacity for a period of more than six consecutive months , the compensation thereafter payable to him during the next succeeding consecutive three-months shall be one-half of the compensation provided for in Sections 2.1(a) and (b) hereof, and during the following consecutive three-months shall be one-fourth of the salary provided for in Sections 2.1(a) and (b); provided, however, that no such compensation shall be payable after the termination of this Agreement. During such initial six consecutive months of disability, the Founder shall be entitled to receive incentive compensation at the same annual rate as incentive compensation, if any, earned with respect to the Employer's fiscal year last preceding the date such illness or incapacity commenced. Notwithstanding the foregoing, if such illness or incapacity does not cease to exist within the 12 consecutive months provided herein, the Founder shall not be entitled to receive any further compensation from the Employer, and the Employer may thereupon terminate this Agreement. For purposes of this Agreement, the Founder is \"disabled\" when he is unable to continue his normal duties of employment by reason of a medically determined physical or mental impairment. In determining whether or not the Founder is disabled, the Employer may rely upon the opinion of any doctor or practitioner of any recognized field of medicine or psychiatric practice selected jointly by the Employer and Founder and such other evidence as the Employer deems reasonably necessary. Founder s Compensation is unaffected and will be paid in full during any length or term of disability.", "ner": [[50, 50, "Ratio"], [57, 60, "Regulation"], [78, 78, "Ratio"]], "tokenized_text": ["2", ".", "2Continuation", "of", "Compensation", "During", "Disability", ".", "If", "the", "Founder", "is", "unable", "to", "perform", "his", "services", "by", "reason", "of", "disability", "due", "to", "illness", "or", "incapacity", "for", "a", "period", "of", "more", "than", "six", "consecutive", "months", ",", "the", "compensation", "thereafter", "payable", "to", "him", "during", "the", "next", "succeeding", "consecutive", "three-months", "shall", "be", "one-half", "of", "the", "compensation", "provided", "for", "in", "Sections", "2", ".", "1", "(", "a", ")", "and", "(", "b", ")", "hereof", ",", "and", "during", "the", "following", "consecutive", "three-months", "shall", "be", "one-fourth", "of", "the", "salary", "provided", "for", "in", "Sections", "2", ".", "1", "(", "a", ")", "and", "(", "b", ")", ";", "provided", ",", "however", ",", "that", "no", "such", "compensation", "shall", "be", "payable", "after", "the", "termination", "of", "this", "Agreement", ".", "During", "such", "initial", "six", "consecutive", "months", "of", "disability", ",", "the", "Founder", "shall", "be", "entitled", "to", "receive", "incentive", "compensation", "at", "the", "same", "annual", "rate", "as", "incentive", "compensation", ",", "if", "any", ",", "earned", "with", "respect", "to", "the", "Employer", "'", "s", "fiscal", "year", "last", "preceding", "the", "date", "such", "illness", "or", "incapacity", "commenced", ".", "Notwithstanding", "the", "foregoing", ",", "if", "such", "illness", "or", "incapacity", "does", "not", "cease", "to", "exist", "within", "the", "12", "consecutive", "months", "provided", "herein", ",", "the", "Founder", "shall", "not", "be", "entitled", "to", "receive", "any", "further", "compensation", "from", "the", "Employer", ",", "and", "the", "Employer", "may", "thereupon", "terminate", "this", "Agreement", ".", "For", "purposes", "of", "this", "Agreement", ",", "the", "Founder", "is", "\"", "disabled", "\"", "when", "he", "is", "unable", "to", "continue", "his", "normal", "duties", "of", "employment", "by", "reason", "of", "a", "medically", "determined", "physical", "or", "mental", "impairment", ".", "In", "determining", "whether", "or", "not", "the", "Founder", "is", "disabled", ",", "the", "Employer", "may", "rely", "upon", "the", "opinion", "of", "any", "doctor", "or", "practitioner", "of", "any", "recognized", "field", "of", "medicine", "or", "psychiatric", "practice", "selected", "jointly", "by", "the", "Employer", "and", "Founder", "and", "such", "other", "evidence", "as", "the", "Employer", "deems", "reasonably", "necessary", ".", "Founder", "s", "Compensation", "is", "unaffected", "and", "will", "be", "paid", "in", "full", "during", "any", "length", "or", "term", "of", "disability", "."]}
{"id": "11292", "text": "2.3Vacations and Meetings. The Founder shall be entitled each year to a paid vacation of at least 4 (four) weeks and to attendance at appropriate meetings and conventions related to Employer's business of such duration and at such time as may be in accordance with the Employer's policy. Vacations shall be taken by the Founder at a time and with starting and ending dates mutually convenient to the Employer and the Founder . Vacations or portions of vacations not used in one employment year shall carry over to succeeding employment years.", "ner": [], "tokenized_text": ["2", ".", "3Vacations", "and", "Meetings", ".", "The", "Founder", "shall", "be", "entitled", "each", "year", "to", "a", "paid", "vacation", "of", "at", "least", "4", "(", "four", ")", "weeks", "and", "to", "attendance", "at", "appropriate", "meetings", "and", "conventions", "related", "to", "Employer", "'", "s", "business", "of", "such", "duration", "and", "at", "such", "time", "as", "may", "be", "in", "accordance", "with", "the", "Employer", "'", "s", "policy", ".", "Vacations", "shall", "be", "taken", "by", "the", "Founder", "at", "a", "time", "and", "with", "starting", "and", "ending", "dates", "mutually", "convenient", "to", "the", "Employer", "and", "the", "Founder", ".", "Vacations", "or", "portions", "of", "vacations", "not", "used", "in", "one", "employment", "year", "shall", "carry", "over", "to", "succeeding", "employment", "years", "."]}
{"id": "11294", "text": "3.1Definition of Confidential Information. For purposes of this Agreement, the term \"Confidential Information\" shall mean information in written, graphic, or electronic form under the care or custody of Founder as a direct or indirect consequence of or through his employment with the Employer and the special proprietary information regarding the business, methods, and operation of the Employer that is designated by the Employer as \"Limited,\" \"Private,\" or \"Confidential\" or similarly designated or for which there is any reasonable basis to believe is, or which appears to be, treated by the Employer as private, restricted, or secret, but does not include information generally available to the public or to businesses in the financial education, research, and services industry.", "ner": [], "tokenized_text": ["3", ".", "1Definition", "of", "Confidential", "Information", ".", "For", "purposes", "of", "this", "Agreement", ",", "the", "term", "\"", "Confidential", "Information", "\"", "shall", "mean", "information", "in", "written", ",", "graphic", ",", "or", "electronic", "form", "under", "the", "care", "or", "custody", "of", "Founder", "as", "a", "direct", "or", "indirect", "consequence", "of", "or", "through", "his", "employment", "with", "the", "Employer", "and", "the", "special", "proprietary", "information", "regarding", "the", "business", ",", "methods", ",", "and", "operation", "of", "the", "Employer", "that", "is", "designated", "by", "the", "Employer", "as", "\"", "Limited", ",", "\"", "\"", "Private", ",", "\"", "or", "\"", "Confidential", "\"", "or", "similarly", "designated", "or", "for", "which", "there", "is", "any", "reasonable", "basis", "to", "believe", "is", ",", "or", "which", "appears", "to", "be", ",", "treated", "by", "the", "Employer", "as", "private", ",", "restricted", ",", "or", "secret", ",", "but", "does", "not", "include", "information", "generally", "available", "to", "the", "public", "or", "to", "businesses", "in", "the", "financial", "education", ",", "research", ",", "and", "services", "industry", "."]}
{"id": "11296", "text": "3.3Covenants Regarding Confidential Information. In further consideration of the employment of the Founder by the Employer and in consideration of the compensation to be paid to the Founder during his employment, the Founder hereby agrees as follows:", "ner": [], "tokenized_text": ["3", ".", "3Covenants", "Regarding", "Confidential", "Information", ".", "In", "further", "consideration", "of", "the", "employment", "of", "the", "Founder", "by", "the", "Employer", "and", "in", "consideration", "of", "the", "compensation", "to", "be", "paid", "to", "the", "Founder", "during", "his", "employment", ",", "the", "Founder", "hereby", "agrees", "as", "follows", ":"]}
{"id": "11297", "text": "(a)Nondisclosure of Confidential Information. The Founder will not, during his employment with the Employer or at any time after termination of his employment, irrespective of the time, manner, or cause of termination, use, disclose, copy, or assist any other person or firm in the use, disclosure, or copying, of any Confidential Information.", "ner": [], "tokenized_text": ["(", "a", ")", "Nondisclosure", "of", "Confidential", "Information", ".", "The", "Founder", "will", "not", ",", "during", "his", "employment", "with", "the", "Employer", "or", "at", "any", "time", "after", "termination", "of", "his", "employment", ",", "irrespective", "of", "the", "time", ",", "manner", ",", "or", "cause", "of", "termination", ",", "use", ",", "disclose", ",", "copy", ",", "or", "assist", "any", "other", "person", "or", "firm", "in", "the", "use", ",", "disclosure", ",", "or", "copying", ",", "of", "any", "Confidential", "Information", "."]}
{"id": "11300", "text": "4.2Survival of Covenants. Subject to Article V below, in the event the Founder 's employment relationship with the Employer is terminated, with cause, the covenants contained in Article III above and the remedies provided under this Article IV shall survive for a period of one year after such termination.", "ner": [[51, 55, "TerminationDate"]], "tokenized_text": ["4", ".", "2Survival", "of", "Covenants", ".", "Subject", "to", "Article", "V", "below", ",", "in", "the", "event", "the", "Founder", "'", "s", "employment", "relationship", "with", "the", "Employer", "is", "terminated", ",", "with", "cause", ",", "the", "covenants", "contained", "in", "Article", "III", "above", "and", "the", "remedies", "provided", "under", "this", "Article", "IV", "shall", "survive", "for", "a", "period", "of", "one", "year", "after", "such", "termination", "."]}
{"id": "11301", "text": "5.2Termination. The Founder 's employment hereunder may be terminated without any breach of this Agreement only under the following circumstances:", "ner": [], "tokenized_text": ["5", ".", "2Termination", ".", "The", "Founder", "'", "s", "employment", "hereunder", "may", "be", "terminated", "without", "any", "breach", "of", "this", "Agreement", "only", "under", "the", "following", "circumstances", ":"]}
{"id": "11303", "text": "(b)Termination upon Death or Disability of the Founder . This Agreement shall terminate immediately upon the Founder 's death or upon the disability of the Founder after termination of pay as set forth in Section2.2.", "ner": [], "tokenized_text": ["(", "b", ")", "Termination", "upon", "Death", "or", "Disability", "of", "the", "Founder", ".", "This", "Agreement", "shall", "terminate", "immediately", "upon", "the", "Founder", "'", "s", "death", "or", "upon", "the", "disability", "of", "the", "Founder", "after", "termination", "of", "pay", "as", "set", "forth", "in", "Section2", ".", "2", "."]}
{"id": "11306", "text": "(d)Termination by Founder for Cause. The Founder shall have the right to terminate this Agreement in the event of (i) the Employer's intentional breach of any covenant or term of this Agreement, but only if the Employer fails to cure such breach within twenty (20) days following the receipt of notice from Founder setting forth the conditions giving rise to such breach; (ii) an assignment to the Founder of any duties inconsistent with, or a significant change in the nature or scope of, the Founder 's authorities or duties from those authorities and duties held by the Founder as of the date hereof and as increased from time to time in accordance with the terms of Section 1.3; or (iii) the failure by the Employer to obtain the assumption of the commitment to perform this Agreement by any successor corporation.", "ner": [], "tokenized_text": ["(", "d", ")", "Termination", "by", "Founder", "for", "Cause", ".", "The", "Founder", "shall", "have", "the", "right", "to", "terminate", "this", "Agreement", "in", "the", "event", "of", "(", "i", ")", "the", "Employer", "'", "s", "intentional", "breach", "of", "any", "covenant", "or", "term", "of", "this", "Agreement", ",", "but", "only", "if", "the", "Employer", "fails", "to", "cure", "such", "breach", "within", "twenty", "(", "20", ")", "days", "following", "the", "receipt", "of", "notice", "from", "Founder", "setting", "forth", "the", "conditions", "giving", "rise", "to", "such", "breach", ";", "(", "ii", ")", "an", "assignment", "to", "the", "Founder", "of", "any", "duties", "inconsistent", "with", ",", "or", "a", "significant", "change", "in", "the", "nature", "or", "scope", "of", ",", "the", "Founder", "'", "s", "authorities", "or", "duties", "from", "those", "authorities", "and", "duties", "held", "by", "the", "Founder", "as", "of", "the", "date", "hereof", "and", "as", "increased", "from", "time", "to", "time", "in", "accordance", "with", "the", "terms", "of", "Section", "1", ".", "3", ";", "or", "(", "iii", ")", "the", "failure", "by", "the", "Employer", "to", "obtain", "the", "assumption", "of", "the", "commitment", "to", "perform", "this", "Agreement", "by", "any", "successor", "corporation", "."]}
{"id": "11310", "text": "(iii)waive and automatically terminate all forfeiture restrictions governing stock or options held by the Founder , which thereupon shall be fully vested and held free from forfeiture by the Founder ; and", "ner": [], "tokenized_text": ["(", "iii", ")", "waive", "and", "automatically", "terminate", "all", "forfeiture", "restrictions", "governing", "stock", "or", "options", "held", "by", "the", "Founder", ",", "which", "thereupon", "shall", "be", "fully", "vested", "and", "held", "free", "from", "forfeiture", "by", "the", "Founder", ";", "and"]}
{"id": "11311", "text": "(iv)maintain in full force and effect, for the continued benefit of the Founder for the number of years (including partial years) remaining in the term of employment hereunder, coverage under the Employer's group health insurance plan; provided that the Founder 's continued participation is possible under the general terms and provisions of such plan. In the event that the participation of the Founder and his family in the Employer's group health plan is barred, the Employer shall reimburse the Founder the same percentage of the cost that would have been covered by the Employer under its then existing plan for the Founder 's cost of obtaining coverage with benefits substantially similar to those to which the Founder would otherwise have been entitled to receive.", "ner": [], "tokenized_text": ["(", "iv", ")", "maintain", "in", "full", "force", "and", "effect", ",", "for", "the", "continued", "benefit", "of", "the", "Founder", "for", "the", "number", "of", "years", "(", "including", "partial", "years", ")", "remaining", "in", "the", "term", "of", "employment", "hereunder", ",", "coverage", "under", "the", "Employer", "'", "s", "group", "health", "insurance", "plan", ";", "provided", "that", "the", "Founder", "'", "s", "continued", "participation", "is", "possible", "under", "the", "general", "terms", "and", "provisions", "of", "such", "plan", ".", "In", "the", "event", "that", "the", "participation", "of", "the", "Founder", "and", "his", "family", "in", "the", "Employer", "'", "s", "group", "health", "plan", "is", "barred", ",", "the", "Employer", "shall", "reimburse", "the", "Founder", "the", "same", "percentage", "of", "the", "cost", "that", "would", "have", "been", "covered", "by", "the", "Employer", "under", "its", "then", "existing", "plan", "for", "the", "Founder", "'", "s", "cost", "of", "obtaining", "coverage", "with", "benefits", "substantially", "similar", "to", "those", "to", "which", "the", "Founder", "would", "otherwise", "have", "been", "entitled", "to", "receive", "."]}
{"id": "11313", "text": "(b)Termination upon Death of the Founder . If the Founder dies during the term of this Agreement, the Employer shall pay to the estate of the Founder the following:", "ner": [], "tokenized_text": ["(", "b", ")", "Termination", "upon", "Death", "of", "the", "Founder", ".", "If", "the", "Founder", "dies", "during", "the", "term", "of", "this", "Agreement", ",", "the", "Employer", "shall", "pay", "to", "the", "estate", "of", "the", "Founder", "the", "following", ":"]}
{"id": "11315", "text": "(ii)in six equal monthly installments commencing on the first day of the month immediately following the month in which the Founder dies, an amount equal to one year's salary provided for in Section 2.1(a) and (b) of this Agreement.", "ner": [[4, 7, "Ratio"]], "tokenized_text": ["(", "ii", ")", "in", "six", "equal", "monthly", "installments", "commencing", "on", "the", "first", "day", "of", "the", "month", "immediately", "following", "the", "month", "in", "which", "the", "Founder", "dies", ",", "an", "amount", "equal", "to", "one", "year", "'", "s", "salary", "provided", "for", "in", "Section", "2", ".", "1", "(", "a", ")", "and", "(", "b", ")", "of", "this", "Agreement", "."]}
{"id": "11318", "text": "6.1Exit Interview. To insure a clear understanding of this Agreement, including the protection of the Employer's business interests, the Founder agrees, at no additional expense to the Founder , to engage in an exit interview with the Employer at a time and place designated by the Employer.", "ner": [], "tokenized_text": ["6", ".", "1Exit", "Interview", ".", "To", "insure", "a", "clear", "understanding", "of", "this", "Agreement", ",", "including", "the", "protection", "of", "the", "Employer", "'", "s", "business", "interests", ",", "the", "Founder", "agrees", ",", "at", "no", "additional", "expense", "to", "the", "Founder", ",", "to", "engage", "in", "an", "exit", "interview", "with", "the", "Employer", "at", "a", "time", "and", "place", "designated", "by", "the", "Employer", "."]}
{"id": "11320", "text": "6.3Right of Setoff. The Employer and Founder shall each be entitled, at its option and not in lieu of any other remedies to which it may be entitled, to set off any amounts due from the other or any affiliate of the other against any amount due and payable by such person or any affiliate of such person pursuant to this Agreement or otherwise.", "ner": [], "tokenized_text": ["6", ".", "3Right", "of", "Setoff", ".", "The", "Employer", "and", "Founder", "shall", "each", "be", "entitled", ",", "at", "its", "option", "and", "not", "in", "lieu", "of", "any", "other", "remedies", "to", "which", "it", "may", "be", "entitled", ",", "to", "set", "off", "any", "amounts", "due", "from", "the", "other", "or", "any", "affiliate", "of", "the", "other", "against", "any", "amount", "due", "and", "payable", "by", "such", "person", "or", "any", "affiliate", "of", "such", "person", "pursuant", "to", "this", "Agreement", "or", "otherwise", "."]}
{"id": "11322", "text": "6.6Assignment. Except to any successor or assignee of the Employer as provided in Section 6.5, neither this Agreement nor any rights or benefits hereunder may be assigned by either party hereto without the prior written consent of the other party. Neither the Founder , the Founder 's spouse, the Founder 's designated contingent beneficiary, nor their estates shall have any right to anticipate, encumber, or dispose of any payment due under this Agreement. Such payments and other rights are expressly declared nonassignable and nontransferable, except as specifically provided herein.", "ner": [], "tokenized_text": ["6", ".", "6Assignment", ".", "Except", "to", "any", "successor", "or", "assignee", "of", "the", "Employer", "as", "provided", "in", "Section", "6", ".", "5", ",", "neither", "this", "Agreement", "nor", "any", "rights", "or", "benefits", "hereunder", "may", "be", "assigned", "by", "either", "party", "hereto", "without", "the", "prior", "written", "consent", "of", "the", "other", "party", ".", "Neither", "the", "Founder", ",", "the", "Founder", "'", "s", "spouse", ",", "the", "Founder", "'", "s", "designated", "contingent", "beneficiary", ",", "nor", "their", "estates", "shall", "have", "any", "right", "to", "anticipate", ",", "encumber", ",", "or", "dispose", "of", "any", "payment", "due", "under", "this", "Agreement", ".", "Such", "payments", "and", "other", "rights", "are", "expressly", "declared", "nonassignable", "and", "nontransferable", ",", "except", "as", "specifically", "provided", "herein", "."]}
{"id": "11324", "text": "6.8Indemnification. The Employer shall indemnify the Founder and hold the Founder harmless from liability for acts or decisions made by the Founder while performing services for the Employer to the greatest extent permitted by applicable law. The Employer shall use its best efforts to obtain coverage for the Founder under any insurance policy now in force or hereafter obtained during the term of this Agreement insuring officers and directors of the Employer against such liability. The Founder agrees to indemnify and to hold the Employer harmless from any and all damages, losses, claims, liabilities, costs, or expenses arising from the Founder 's acts or omissions in violation of his duties under this Agreement which constitute fraud, gross negligence, or willful and knowing violations of the terms of this Agreement.", "ner": [], "tokenized_text": ["6", ".", "8Indemnification", ".", "The", "Employer", "shall", "indemnify", "the", "Founder", "and", "hold", "the", "Founder", "harmless", "from", "liability", "for", "acts", "or", "decisions", "made", "by", "the", "Founder", "while", "performing", "services", "for", "the", "Employer", "to", "the", "greatest", "extent", "permitted", "by", "applicable", "law", ".", "The", "Employer", "shall", "use", "its", "best", "efforts", "to", "obtain", "coverage", "for", "the", "Founder", "under", "any", "insurance", "policy", "now", "in", "force", "or", "hereafter", "obtained", "during", "the", "term", "of", "this", "Agreement", "insuring", "officers", "and", "directors", "of", "the", "Employer", "against", "such", "liability", ".", "The", "Founder", "agrees", "to", "indemnify", "and", "to", "hold", "the", "Employer", "harmless", "from", "any", "and", "all", "damages", ",", "losses", ",", "claims", ",", "liabilities", ",", "costs", ",", "or", "expenses", "arising", "from", "the", "Founder", "'", "s", "acts", "or", "omissions", "in", "violation", "of", "his", "duties", "under", "this", "Agreement", "which", "constitute", "fraud", ",", "gross", "negligence", ",", "or", "willful", "and", "knowing", "violations", "of", "the", "terms", "of", "this", "Agreement", "."]}
{"id": "11326", "text": "This Employment Agreement (the Agreement) is made and effective as of this October 4, 2017 (the Effective Date) by and between Reeds, Inc ., a Delaware corporation (Reeds or the Company), and Stefan Freeman (the Executive).", "ner": [[1, 2, "Title"], [14, 17, "EffectiveDate"], [26, 29, "Parties"], [42, 43, "Parties"]], "tokenized_text": ["This", "Employment", "Agreement", "(", "the", "Agreement", ")", "is", "made", "and", "effective", "as", "of", "this", "October", "4", ",", "2017", "(", "the", "Effective", "Date", ")", "by", "and", "between", "Reeds", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "Reeds", "or", "the", "Company", ")", ",", "and", "Stefan", "Freeman", "(", "the", "Executive", ")", "."]}
{"id": "11329", "text": "5.1 Base Salary. The Executive will be paid a base salary at the initial rate of $225,000.00 per year (the Base Salary). Base Salary shall be subject to annual review for additional increase, but not decrease, in the sole discretion of the Board. The Base Salary will be payable in equal periodic installments in accordance with Reeds customary payroll practices.", "ner": [[19, 24, "Salary"]], "tokenized_text": ["5", ".", "1", "Base", "Salary", ".", "The", "Executive", "will", "be", "paid", "a", "base", "salary", "at", "the", "initial", "rate", "of", "$", "225", ",", "000", ".", "00", "per", "year", "(", "the", "Base", "Salary", ")", ".", "Base", "Salary", "shall", "be", "subject", "to", "annual", "review", "for", "additional", "increase", ",", "but", "not", "decrease", ",", "in", "the", "sole", "discretion", "of", "the", "Board", ".", "The", "Base", "Salary", "will", "be", "payable", "in", "equal", "periodic", "installments", "in", "accordance", "with", "Reeds", "customary", "payroll", "practices", "."]}
{"id": "11332", "text": "5.6 Equity. The Executive will be entitled to participate in any equity incentive plan that may be adopted by Reeds at levels commensurate with his position as COO. Reeds will amend its existing equity incentive plan or adopt a new equity incentive plan as soon as practicable following the Effective Date and in any event during 2017 (2017 Plan). Once the plan is adopted and as soon as practicable following the Effective Date, the Executive shall receive initial equity grants at levels commensurate with his position as COO of Reeds (the Initial Equity Award). It is anticipated that the Initial Equity Award will consist of restricted stock (the Restricted Stock) and/ or stock options (the Options and together with the Restricted Stock and any additional equity or other equity based awards to the Executive, the Incentive Equity). Reeds and the Executive will consult in good faith on the structure and terms of the Incentive Equity. The Initial Equity Award, whether in the form of Restricted Stock and/ or Options (or in any other form) shall vest in two equal installments on each of the first two anniversaries of the Effective Date and to the extent awarded as Options will be granted with an exercise price equal to the fair market value of the shares subject to the Options as of the date of grant and become exercisable in two equal installments on the first two anniversaries of the Effective Date. The Executive will make an election under Section 83(b) of the Code with respect to any Restricted Stock. Vesting of all Incentive Equity (and related payment rights) shall accelerate upon any Change in Control. Change in Control for this purpose means any (i) any individual, entity or group (within the meaning of Section 13(d)(3) of the Securities Exchange Act of 1933 ) (a Person) acquires beneficial ownership, directly or indirectly (within the meaning of Rule 13d-3 promulgated under the Exchange Act ) ( a Beneficial Owner), of more than fifty percent of the combined voting power of the then issued and outstanding shares of the voting common stock of the Company (the Voting Stock), (ii) the occurrence of a merger, consolidation, reorganization, share exchange or similar corporate transaction, whether or not the Company is the surviving corporation, other than a transaction which would result in the Voting Stock outstanding immediately prior thereto continuing to represent (either by remaining outstanding or by being converted into voting securities of the surviving entity) at least fifty percent of the voting stock of the Company or such surviving entity immediately after such transaction, or (iii) the sale, transfer or disposition of all or substantially all of the business and assets of the Company to any Person. The Executive may also make equity investments in Reeds on terms that may be agreed upon by the Executive and Reeds.", "ner": [[30, 30, "Role"], [95, 95, "Role"], [337, 341, "Act"], [359, 360, "Regulation"], [376, 377, "Percentage"]], "tokenized_text": ["5", ".", "6", "Equity", ".", "The", "Executive", "will", "be", "entitled", "to", "participate", "in", "any", "equity", "incentive", "plan", "that", "may", "be", "adopted", "by", "Reeds", "at", "levels", "commensurate", "with", "his", "position", "as", "COO", ".", "Reeds", "will", "amend", "its", "existing", "equity", "incentive", "plan", "or", "adopt", "a", "new", "equity", "incentive", "plan", "as", "soon", "as", "practicable", "following", "the", "Effective", "Date", "and", "in", "any", "event", "during", "2017", "(", "2017", "Plan", ")", ".", "Once", "the", "plan", "is", "adopted", "and", "as", "soon", "as", "practicable", "following", "the", "Effective", "Date", ",", "the", "Executive", "shall", "receive", "initial", "equity", "grants", "at", "levels", "commensurate", "with", "his", "position", "as", "COO", "of", "Reeds", "(", "the", "Initial", "Equity", "Award", ")", ".", "It", "is", "anticipated", "that", "the", "Initial", "Equity", "Award", "will", "consist", "of", "restricted", "stock", "(", "the", "Restricted", "Stock", ")", "and", "/", "or", "stock", "options", "(", "the", "Options", "and", "together", "with", "the", "Restricted", "Stock", "and", "any", "additional", "equity", "or", "other", "equity", "based", "awards", "to", "the", "Executive", ",", "the", "Incentive", "Equity", ")", ".", "Reeds", "and", "the", "Executive", "will", "consult", "in", "good", "faith", "on", "the", "structure", "and", "terms", "of", "the", "Incentive", "Equity", ".", "The", "Initial", "Equity", "Award", ",", "whether", "in", "the", "form", "of", "Restricted", "Stock", "and", "/", "or", "Options", "(", "or", "in", "any", "other", "form", ")", "shall", "vest", "in", "two", "equal", "installments", "on", "each", "of", "the", "first", "two", "anniversaries", "of", "the", "Effective", "Date", "and", "to", "the", "extent", "awarded", "as", "Options", "will", "be", "granted", "with", "an", "exercise", "price", "equal", "to", "the", "fair", "market", "value", "of", "the", "shares", "subject", "to", "the", "Options", "as", "of", "the", "date", "of", "grant", "and", "become", "exercisable", "in", "two", "equal", "installments", "on", "the", "first", "two", "anniversaries", "of", "the", "Effective", "Date", ".", "The", "Executive", "will", "make", "an", "election", "under", "Section", "83", "(", "b", ")", "of", "the", "Code", "with", "respect", "to", "any", "Restricted", "Stock", ".", "Vesting", "of", "all", "Incentive", "Equity", "(", "and", "related", "payment", "rights", ")", "shall", "accelerate", "upon", "any", "Change", "in", "Control", ".", "Change", "in", "Control", "for", "this", "purpose", "means", "any", "(", "i", ")", "any", "individual", ",", "entity", "or", "group", "(", "within", "the", "meaning", "of", "Section", "13", "(", "d", ")", "(", "3", ")", "of", "the", "Securities", "Exchange", "Act", "of", "1933", ")", "(", "a", "Person", ")", "acquires", "beneficial", "ownership", ",", "directly", "or", "indirectly", "(", "within", "the", "meaning", "of", "Rule", "13d-3", "promulgated", "under", "the", "Exchange", "Act", ")", "(", "a", "Beneficial", "Owner", ")", ",", "of", "more", "than", "fifty", "percent", "of", "the", "combined", "voting", "power", "of", "the", "then", "issued", "and", "outstanding", "shares", "of", "the", "voting", "common", "stock", "of", "the", "Company", "(", "the", "Voting", "Stock", ")", ",", "(", "ii", ")", "the", "occurrence", "of", "a", "merger", ",", "consolidation", ",", "reorganization", ",", "share", "exchange", "or", "similar", "corporate", "transaction", ",", "whether", "or", "not", "the", "Company", "is", "the", "surviving", "corporation", ",", "other", "than", "a", "transaction", "which", "would", "result", "in", "the", "Voting", "Stock", "outstanding", "immediately", "prior", "thereto", "continuing", "to", "represent", "(", "either", "by", "remaining", "outstanding", "or", "by", "being", "converted", "into", "voting", "securities", "of", "the", "surviving", "entity", ")", "at", "least", "fifty", "percent", "of", "the", "voting", "stock", "of", "the", "Company", "or", "such", "surviving", "entity", "immediately", "after", "such", "transaction", ",", "or", "(", "iii", ")", "the", "sale", ",", "transfer", "or", "disposition", "of", "all", "or", "substantially", "all", "of", "the", "business", "and", "assets", "of", "the", "Company", "to", "any", "Person", ".", "The", "Executive", "may", "also", "make", "equity", "investments", "in", "Reeds", "on", "terms", "that", "may", "be", "agreed", "upon", "by", "the", "Executive", "and", "Reeds", "."]}
{"id": "11338", "text": "(a) Notwithstanding anything herein to the contrary, this Agreement is intended to be interpreted and applied so that the payment of the benefits set forth herein shall either be exempt from, or in the alternative, comply with, the requirements of Section 409A of the Internal Revenue Code of 1986, as amended (the Code), and the published guidance thereunder (Section 409A). A termination of employment shall not be deemed to have occurred for purposes of any provision of this Agreement providing for the payment of any amounts or benefits upon or following a termination of employment that are considered nonqualified deferred compensation under Section 409A unless such termination is also a separation from service within the meaning of Section 409A and, for purposes of any such provision of this Agreement, references to a termination, Termination Date, or like terms shall mean separation from service. Notwithstanding any provision of this Agreement to the contrary, if Executive is a specified employee within the meaning of Section 409A, any payments or arrangements due upon a termination of Executives employment under any arrangement that constitutes a nonqualified deferral of compensation within the meaning of Section 409A and which do not otherwise qualify under the exemptions under Treas. Regs. Section 1.409A-1 (including without limitation, the short-term deferral exemption or the permitted payments under Treas. Regs. Section 1.409A-1 (b)(9)(iii)(A)), shall be delayed and paid or provided on the earlier of (a) the date which is six months after Executives separation from service for any reason other than death, or (b) the date of Executives death. This Agreement may be amended without requiring Executives consent to the extent necessary (including retroactively) by the Company in order to preserve compliance with Section 409A. The preceding shall not be construed as a guarantee of any particular tax effect for Executives compensation and benefits and the Company does not guarantee that any compensation or benefits provided under this Agreement will satisfy the provisions of Section 409A. After any Termination Date, Executive shall have no duties or responsibilities that are inconsistent with having a separation from service within the meaning of Section 409A as of the Termination Date and, notwithstanding anything in the Agreement to the contrary, distributions upon termination of employment of nonqualified deferred compensation may only be made upon a separation from service as determined under Section 409A and such date shall be the Termination Date for purposes of this Agreement. Each payment under this Agreement or otherwise shall be treated as a separate payment for purposes of Section 409A. In no event may Executive, directly or indirectly, designate the calendar year of any payment to be made under this Agreement which constitutes a nonqualified deferral of compensation within the meaning of Section 409A and to the extent an amount is payable within a time period, the time during which such amount is paid shall be in the discretion of the Company.", "ner": [[46, 47, "Regulation"], [50, 54, "Act"], [221, 228, "Regulation"]], "tokenized_text": ["(", "a", ")", "Notwithstanding", "anything", "herein", "to", "the", "contrary", ",", "this", "Agreement", "is", "intended", "to", "be", "interpreted", "and", "applied", "so", "that", "the", "payment", "of", "the", "benefits", "set", "forth", "herein", "shall", "either", "be", "exempt", "from", ",", "or", "in", "the", "alternative", ",", "comply", "with", ",", "the", "requirements", "of", "Section", "409A", "of", "the", "Internal", "Revenue", "Code", "of", "1986", ",", "as", "amended", "(", "the", "Code", ")", ",", "and", "the", "published", "guidance", "thereunder", "(", "Section", "409A", ")", ".", "A", "termination", "of", "employment", "shall", "not", "be", "deemed", "to", "have", "occurred", "for", "purposes", "of", "any", "provision", "of", "this", "Agreement", "providing", "for", "the", "payment", "of", "any", "amounts", "or", "benefits", "upon", "or", "following", "a", "termination", "of", "employment", "that", "are", "considered", "nonqualified", "deferred", "compensation", "under", "Section", "409A", "unless", "such", "termination", "is", "also", "a", "separation", "from", "service", "within", "the", "meaning", "of", "Section", "409A", "and", ",", "for", "purposes", "of", "any", "such", "provision", "of", "this", "Agreement", ",", "references", "to", "a", "termination", ",", "Termination", "Date", ",", "or", "like", "terms", "shall", "mean", "separation", "from", "service", ".", "Notwithstanding", "any", "provision", "of", "this", "Agreement", "to", "the", "contrary", ",", "if", "Executive", "is", "a", "specified", "employee", "within", "the", "meaning", "of", "Section", "409A", ",", "any", "payments", "or", "arrangements", "due", "upon", "a", "termination", "of", "Executives", "employment", "under", "any", "arrangement", "that", "constitutes", "a", "nonqualified", "deferral", "of", "compensation", "within", "the", "meaning", "of", "Section", "409A", "and", "which", "do", "not", "otherwise", "qualify", "under", "the", "exemptions", "under", "Treas", ".", "Regs", ".", "Section", "1", ".", "409A-1", "(", "including", "without", "limitation", ",", "the", "short-term", "deferral", "exemption", "or", "the", "permitted", "payments", "under", "Treas", ".", "Regs", ".", "Section", "1", ".", "409A-1", "(", "b", ")", "(", "9", ")", "(", "iii", ")", "(", "A", ")", ")", ",", "shall", "be", "delayed", "and", "paid", "or", "provided", "on", "the", "earlier", "of", "(", "a", ")", "the", "date", "which", "is", "six", "months", "after", "Executives", "separation", "from", "service", "for", "any", "reason", "other", "than", "death", ",", "or", "(", "b", ")", "the", "date", "of", "Executives", "death", ".", "This", "Agreement", "may", "be", "amended", "without", "requiring", "Executives", "consent", "to", "the", "extent", "necessary", "(", "including", "retroactively", ")", "by", "the", "Company", "in", "order", "to", "preserve", "compliance", "with", "Section", "409A", ".", "The", "preceding", "shall", "not", "be", "construed", "as", "a", "guarantee", "of", "any", "particular", "tax", "effect", "for", "Executives", "compensation", "and", "benefits", "and", "the", "Company", "does", "not", "guarantee", "that", "any", "compensation", "or", "benefits", "provided", "under", "this", "Agreement", "will", "satisfy", "the", "provisions", "of", "Section", "409A", ".", "After", "any", "Termination", "Date", ",", "Executive", "shall", "have", "no", "duties", "or", "responsibilities", "that", "are", "inconsistent", "with", "having", "a", "separation", "from", "service", "within", "the", "meaning", "of", "Section", "409A", "as", "of", "the", "Termination", "Date", "and", ",", "notwithstanding", "anything", "in", "the", "Agreement", "to", "the", "contrary", ",", "distributions", "upon", "termination", "of", "employment", "of", "nonqualified", "deferred", "compensation", "may", "only", "be", "made", "upon", "a", "separation", "from", "service", "as", "determined", "under", "Section", "409A", "and", "such", "date", "shall", "be", "the", "Termination", "Date", "for", "purposes", "of", "this", "Agreement", ".", "Each", "payment", "under", "this", "Agreement", "or", "otherwise", "shall", "be", "treated", "as", "a", "separate", "payment", "for", "purposes", "of", "Section", "409A", ".", "In", "no", "event", "may", "Executive", ",", "directly", "or", "indirectly", ",", "designate", "the", "calendar", "year", "of", "any", "payment", "to", "be", "made", "under", "this", "Agreement", "which", "constitutes", "a", "nonqualified", "deferral", "of", "compensation", "within", "the", "meaning", "of", "Section", "409A", "and", "to", "the", "extent", "an", "amount", "is", "payable", "within", "a", "time", "period", ",", "the", "time", "during", "which", "such", "amount", "is", "paid", "shall", "be", "in", "the", "discretion", "of", "the", "Company", "."]}
{"id": "11339", "text": "| REEDS, INC . ---|--- | | | By: | /s/ Valentin Stalowir | Name: | Valentin Stalowir | Title: | Chief Executive Officer | | | | /s/ Stefan Freeman | | Stefan Freeman", "ner": [[1, 4, "Parties"], [21, 22, "Parties"], [33, 35, "Role"], [43, 44, "Parties"]], "tokenized_text": ["|", "REEDS", ",", "INC", ".", "-", "-", "-", "|", "-", "-", "-", "|", "|", "|", "By", ":", "|", "/", "s", "/", "Valentin", "Stalowir", "|", "Name", ":", "|", "Valentin", "Stalowir", "|", "Title", ":", "|", "Chief", "Executive", "Officer", "|", "|", "|", "|", "/", "s", "/", "Stefan", "Freeman", "|", "|", "Stefan", "Freeman"]}
{"id": "11341", "text": "KNOW ALL MEN BY THESE PRESENTS: That the undersigned, Stefan Freeman (Executive), on behalf of himself and his heirs, legal representatives, administrators, executors, successors and assigns, and each of them, for good and valuable consideration received as set forth in the Employment Agreement dated as of July __, 2017 (the Employment Agreement ) between Reeds, Inc ., a Delaware corporation (the Company), does hereby unconditionally, knowingly, and voluntarily release and forever discharge the Company, and its present and former related companies, subsidiaries and affiliates, and all of their present and former executives, officers, managers, directors, owners, members, shareholders, partners, employees, agents, and attorneys, including in their individual capacity, and each of its and their successors and assigns (hereinafter collectively the Released Parties), from any and all known or unknown claims, demands, actions or causes of action that now exist or may arise in the future, based upon events occurring or omissions on or before the date of the execution of this Release, including, but not limited to any and all claims whatsoever pertaining in any way to Executives employment at the Company or with any of the Released Parties or the termination of Executives employment, including, but not limited to, any claims under: (1) the Americans with Disabilities Act ; the Family and Medical Leave Act ; Title VII of the Civil Rights Act ; 42 U.S.C. Section 1981 ; the Older Workers Benefit Protection Act ; the Age Discrimination in Employment Act of 1967 , as amended (the ADEA); the Employee Retirement Income Security Act of 1974 ; the Civil Rights Act of 1866 , 1871, 1964, and 1991 ; the Rehabilitation Act of 1973 ; the Equal Pay Act of 1963 ; the Vietnam Veterans Readjustment Assistance Act of 1974 ; the Occupational Safety and Health Act ; and the Immigration Reform and Control Act of 1986 ; and any and all other federal, state, local or foreign laws, statutes, ordinances, or regulations pertaining to employment, discrimination or pay; (2) any state tort law theories under which an action could have been brought, including, but not limited to, claims of negligence, negligent supervision, training and retention or defamation; (3) any claims of alleged fraud and/or inducement, or alleged inducement to enter into this Release; (4) any and all other tort claims; (5) all claims for attorneys fees and costs; (6) all claims for physical, mental, emotional, and/or pecuniary injuries, losses and damages of every kind, including but not limited to earnings, punitive, liquidated and compensatory damages, and employee benefits; (7) any and all claims whatsoever arising under any of the Released Parties express or implied contract or under any federal, state, local, or foreign law, ordinance, or regulation, or the Constitution of any State or the United States ; (8) any and all claims whatsoever against any of the Released Parties for wages, bonuses, benefits, fringe benefits, vacation pay, or other compensation or for any damages, fees, costs, or benefits, in each case, except to the extent Executive has vested rights in any of the same; and (9) any and all claims whatsoever to reinstatement (collectively, the Released Claims); provided, however, that, notwithstanding anything to the contrary contained herein, this Release shall not cover and the Released Claims shall extend to any rights or claims, if any, of Executive (A) as a holder of equity interests in the Company, (B) to indemnification or advancement of expenses, (C) under Consolidated Omnibus Budget Reconciliation Act of 1985 , as amended, (D) under any profit-sharing and/or retirement plans or benefits in which Executive has vested rights, or (E) under Section 7 of the Employment Agreement . Executive also intends that this Release operate as a general release of any and all claims to the fullest extent permitted by law and a waiver of all unknown claims of the type being released hereunder.", "ner": [[11, 12, "Role"], [52, 53, "Title"], [67, 70, "Parties"], [254, 257, "Act"], [260, 264, "Act"], [270, 272, "Act"], [274, 282, "Regulation"], [285, 289, "Act"], [292, 298, "Act"], [308, 314, "Act"], [317, 328, "Act"], [331, 334, "Act"], [337, 341, "Act"], [344, 350, "Act"], [353, 357, "Act"], [361, 367, "Act"], [710, 716, "Act"]], "tokenized_text": ["KNOW", "ALL", "MEN", "BY", "THESE", "PRESENTS", ":", "That", "the", "undersigned", ",", "Stefan", "Freeman", "(", "Executive", ")", ",", "on", "behalf", "of", "himself", "and", "his", "heirs", ",", "legal", "representatives", ",", "administrators", ",", "executors", ",", "successors", "and", "assigns", ",", "and", "each", "of", "them", ",", "for", "good", "and", "valuable", "consideration", "received", "as", "set", "forth", "in", "the", "Employment", "Agreement", "dated", "as", "of", "July", "__", ",", "2017", "(", "the", "Employment", "Agreement", ")", "between", "Reeds", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "the", "Company", ")", ",", "does", "hereby", "unconditionally", ",", "knowingly", ",", "and", "voluntarily", "release", "and", "forever", "discharge", "the", "Company", ",", "and", "its", "present", "and", "former", "related", "companies", ",", "subsidiaries", "and", "affiliates", ",", "and", "all", "of", "their", "present", "and", "former", "executives", ",", "officers", ",", "managers", ",", "directors", ",", "owners", ",", "members", ",", "shareholders", ",", "partners", ",", "employees", ",", "agents", ",", "and", "attorneys", ",", "including", "in", "their", "individual", "capacity", ",", "and", "each", "of", "its", "and", "their", "successors", "and", "assigns", "(", "hereinafter", "collectively", "the", "Released", "Parties", ")", ",", "from", "any", "and", "all", "known", "or", "unknown", "claims", ",", "demands", ",", "actions", "or", "causes", "of", "action", "that", "now", "exist", "or", "may", "arise", "in", "the", "future", ",", "based", "upon", "events", "occurring", "or", "omissions", "on", "or", "before", "the", "date", "of", "the", "execution", "of", "this", "Release", ",", "including", ",", "but", "not", "limited", "to", "any", "and", "all", "claims", "whatsoever", "pertaining", "in", "any", "way", "to", "Executives", "employment", "at", "the", "Company", "or", "with", "any", "of", "the", "Released", "Parties", "or", "the", "termination", "of", "Executives", "employment", ",", "including", ",", "but", "not", "limited", "to", ",", "any", "claims", "under", ":", "(", "1", ")", "the", "Americans", "with", "Disabilities", "Act", ";", "the", "Family", "and", "Medical", "Leave", "Act", ";", "Title", "VII", "of", "the", "Civil", "Rights", "Act", ";", "42", "U", ".", "S", ".", "C", ".", "Section", "1981", ";", "the", "Older", "Workers", "Benefit", "Protection", "Act", ";", "the", "Age", "Discrimination", "in", "Employment", "Act", "of", "1967", ",", "as", "amended", "(", "the", "ADEA", ")", ";", "the", "Employee", "Retirement", "Income", "Security", "Act", "of", "1974", ";", "the", "Civil", "Rights", "Act", "of", "1866", ",", "1871", ",", "1964", ",", "and", "1991", ";", "the", "Rehabilitation", "Act", "of", "1973", ";", "the", "Equal", "Pay", "Act", "of", "1963", ";", "the", "Vietnam", "Veterans", "Readjustment", "Assistance", "Act", "of", "1974", ";", "the", "Occupational", "Safety", "and", "Health", "Act", ";", "and", "the", "Immigration", "Reform", "and", "Control", "Act", "of", "1986", ";", "and", "any", "and", "all", "other", "federal", ",", "state", ",", "local", "or", "foreign", "laws", ",", "statutes", ",", "ordinances", ",", "or", "regulations", "pertaining", "to", "employment", ",", "discrimination", "or", "pay", ";", "(", "2", ")", "any", "state", "tort", "law", "theories", "under", "which", "an", "action", "could", "have", "been", "brought", ",", "including", ",", "but", "not", "limited", "to", ",", "claims", "of", "negligence", ",", "negligent", "supervision", ",", "training", "and", "retention", "or", "defamation", ";", "(", "3", ")", "any", "claims", "of", "alleged", "fraud", "and", "/", "or", "inducement", ",", "or", "alleged", "inducement", "to", "enter", "into", "this", "Release", ";", "(", "4", ")", "any", "and", "all", "other", "tort", "claims", ";", "(", "5", ")", "all", "claims", "for", "attorneys", "fees", "and", "costs", ";", "(", "6", ")", "all", "claims", "for", "physical", ",", "mental", ",", "emotional", ",", "and", "/", "or", "pecuniary", "injuries", ",", "losses", "and", "damages", "of", "every", "kind", ",", "including", "but", "not", "limited", "to", "earnings", ",", "punitive", ",", "liquidated", "and", "compensatory", "damages", ",", "and", "employee", "benefits", ";", "(", "7", ")", "any", "and", "all", "claims", "whatsoever", "arising", "under", "any", "of", "the", "Released", "Parties", "express", "or", "implied", "contract", "or", "under", "any", "federal", ",", "state", ",", "local", ",", "or", "foreign", "law", ",", "ordinance", ",", "or", "regulation", ",", "or", "the", "Constitution", "of", "any", "State", "or", "the", "United", "States", ";", "(", "8", ")", "any", "and", "all", "claims", "whatsoever", "against", "any", "of", "the", "Released", "Parties", "for", "wages", ",", "bonuses", ",", "benefits", ",", "fringe", "benefits", ",", "vacation", "pay", ",", "or", "other", "compensation", "or", "for", "any", "damages", ",", "fees", ",", "costs", ",", "or", "benefits", ",", "in", "each", "case", ",", "except", "to", "the", "extent", "Executive", "has", "vested", "rights", "in", "any", "of", "the", "same", ";", "and", "(", "9", ")", "any", "and", "all", "claims", "whatsoever", "to", "reinstatement", "(", "collectively", ",", "the", "Released", "Claims", ")", ";", "provided", ",", "however", ",", "that", ",", "notwithstanding", "anything", "to", "the", "contrary", "contained", "herein", ",", "this", "Release", "shall", "not", "cover", "and", "the", "Released", "Claims", "shall", "extend", "to", "any", "rights", "or", "claims", ",", "if", "any", ",", "of", "Executive", "(", "A", ")", "as", "a", "holder", "of", "equity", "interests", "in", "the", "Company", ",", "(", "B", ")", "to", "indemnification", "or", "advancement", "of", "expenses", ",", "(", "C", ")", "under", "Consolidated", "Omnibus", "Budget", "Reconciliation", "Act", "of", "1985", ",", "as", "amended", ",", "(", "D", ")", "under", "any", "profit-sharing", "and", "/", "or", "retirement", "plans", "or", "benefits", "in", "which", "Executive", "has", "vested", "rights", ",", "or", "(", "E", ")", "under", "Section", "7", "of", "the", "Employment", "Agreement", ".", "Executive", "also", "intends", "that", "this", "Release", "operate", "as", "a", "general", "release", "of", "any", "and", "all", "claims", "to", "the", "fullest", "extent", "permitted", "by", "law", "and", "a", "waiver", "of", "all", "unknown", "claims", "of", "the", "type", "being", "released", "hereunder", "."]}
{"id": "11342", "text": "Executive represents and warrants that he has not previously filed, and to the maximum extent permitted by law agrees that he will not file, a complaint, charge, or lawsuit against any member of the Released Parties regarding any of the claims released herein. If, notwithstanding this representation and warranty, the Executive has filed or files such a complaint, charge, or lawsuit, he agrees that he shall cause such complaint, charge, or lawsuit to be dismissed with prejudice and shall pay any and all costs required in obtaining dismissal of such complaint, charge, or lawsuit, including without limitation the attorneys fees of any member of the Released Parties against whom he has filed such a complaint, charge, or lawsuit. This paragraph shall not apply, however, to a claim of age discrimination under the ADEA or to any non-waivable right to file a charge with the United States Equal Employment Opportunity Commission (the EEOC); provided, however, that if the EEOC were to pursue any claims relating to the Executives employment with Company, the Executive agrees that he shall not be entitled to recover any monetary damages or any other remedies or benefits as a result and that this Release and Section 7 of the Employment Agreement will control as the exclusive remedy and full settlement of all such claims by the Executive.", "ner": [[228, 229, "Title"]], "tokenized_text": ["Executive", "represents", "and", "warrants", "that", "he", "has", "not", "previously", "filed", ",", "and", "to", "the", "maximum", "extent", "permitted", "by", "law", "agrees", "that", "he", "will", "not", "file", ",", "a", "complaint", ",", "charge", ",", "or", "lawsuit", "against", "any", "member", "of", "the", "Released", "Parties", "regarding", "any", "of", "the", "claims", "released", "herein", ".", "If", ",", "notwithstanding", "this", "representation", "and", "warranty", ",", "the", "Executive", "has", "filed", "or", "files", "such", "a", "complaint", ",", "charge", ",", "or", "lawsuit", ",", "he", "agrees", "that", "he", "shall", "cause", "such", "complaint", ",", "charge", ",", "or", "lawsuit", "to", "be", "dismissed", "with", "prejudice", "and", "shall", "pay", "any", "and", "all", "costs", "required", "in", "obtaining", "dismissal", "of", "such", "complaint", ",", "charge", ",", "or", "lawsuit", ",", "including", "without", "limitation", "the", "attorneys", "fees", "of", "any", "member", "of", "the", "Released", "Parties", "against", "whom", "he", "has", "filed", "such", "a", "complaint", ",", "charge", ",", "or", "lawsuit", ".", "This", "paragraph", "shall", "not", "apply", ",", "however", ",", "to", "a", "claim", "of", "age", "discrimination", "under", "the", "ADEA", "or", "to", "any", "non-waivable", "right", "to", "file", "a", "charge", "with", "the", "United", "States", "Equal", "Employment", "Opportunity", "Commission", "(", "the", "EEOC", ")", ";", "provided", ",", "however", ",", "that", "if", "the", "EEOC", "were", "to", "pursue", "any", "claims", "relating", "to", "the", "Executives", "employment", "with", "Company", ",", "the", "Executive", "agrees", "that", "he", "shall", "not", "be", "entitled", "to", "recover", "any", "monetary", "damages", "or", "any", "other", "remedies", "or", "benefits", "as", "a", "result", "and", "that", "this", "Release", "and", "Section", "7", "of", "the", "Employment", "Agreement", "will", "control", "as", "the", "exclusive", "remedy", "and", "full", "settlement", "of", "all", "such", "claims", "by", "the", "Executive", "."]}
{"id": "11344", "text": "Executive is signing this Release knowingly, voluntarily and with full understanding of its terms and effects. Executive is signing this Release of his own free will without any duress, being fully informed and after due deliberation. Executive voluntarily accepts the consideration provided to him for the purpose of making full and final settlement of all claims referred to above. This Release shall be governed by and construed in accordance with the laws of the State of California .", "ner": [[79, 81, "Court"]], "tokenized_text": ["Executive", "is", "signing", "this", "Release", "knowingly", ",", "voluntarily", "and", "with", "full", "understanding", "of", "its", "terms", "and", "effects", ".", "Executive", "is", "signing", "this", "Release", "of", "his", "own", "free", "will", "without", "any", "duress", ",", "being", "fully", "informed", "and", "after", "due", "deliberation", ".", "Executive", "voluntarily", "accepts", "the", "consideration", "provided", "to", "him", "for", "the", "purpose", "of", "making", "full", "and", "final", "settlement", "of", "all", "claims", "referred", "to", "above", ".", "This", "Release", "shall", "be", "governed", "by", "and", "construed", "in", "accordance", "with", "the", "laws", "of", "the", "State", "of", "California", "."]}
{"id": "11346", "text": "THIS EXECUTIVE EMPLOYMENT AGREEMENT (Agreement) is effective as of October12, 2017 (the Effective Date) by and between WatchGuard, Inc . (the Company) and David Russell Walker (the Executive). The Company and the Executive shall be referred to herein individually as a Party and collectively as the Parties.", "ner": [[2, 3, "Title"], [11, 13, "EffectiveDate"], [22, 25, "Parties"], [31, 33, "Parties"]], "tokenized_text": ["THIS", "EXECUTIVE", "EMPLOYMENT", "AGREEMENT", "(", "Agreement", ")", "is", "effective", "as", "of", "October12", ",", "2017", "(", "the", "Effective", "Date", ")", "by", "and", "between", "WatchGuard", ",", "Inc", ".", "(", "the", "Company", ")", "and", "David", "Russell", "Walker", "(", "the", "Executive", ")", ".", "The", "Company", "and", "the", "Executive", "shall", "be", "referred", "to", "herein", "individually", "as", "a", "Party", "and", "collectively", "as", "the", "Parties", "."]}
{"id": "11349", "text": "B. Bonus. The Executive shall be eligible to participate in the Companys annual discretionary bonus plan, subject to the terms and conditions of the plan, which may be amended from time to time by the Company in its sole discretion. Under the Companys annual discretionary bonus plan, the Executive shall be eligible to receive an annual performance bonus of up to 100% of the Base Salary, less applicable taxes and withholdings (Annual Bonus), which Annual Bonus, if any, may be calculated and paid quarterly, but in any event shall be paid by the Company on or before March 15th of the year after the year to which the Annual Bonus relates. No Annual Bonus shall be payable unless the Executive is employed with the Company on the date any such Annual Bonus is paid and provided that the Executive is not working under any written notice of termination on the date the Annual Bonus is paid. The actual amount of the Annual Bonus payable each year, if any, shall be determined by the Company, in its sole discretion. The payment of an Annual Bonus with respect to a particular calendar year does not guarantee payment of an Annual Bonus in any subsequent calendar year.", "ner": [[67, 68, "Percentage"]], "tokenized_text": ["B", ".", "Bonus", ".", "The", "Executive", "shall", "be", "eligible", "to", "participate", "in", "the", "Companys", "annual", "discretionary", "bonus", "plan", ",", "subject", "to", "the", "terms", "and", "conditions", "of", "the", "plan", ",", "which", "may", "be", "amended", "from", "time", "to", "time", "by", "the", "Company", "in", "its", "sole", "discretion", ".", "Under", "the", "Companys", "annual", "discretionary", "bonus", "plan", ",", "the", "Executive", "shall", "be", "eligible", "to", "receive", "an", "annual", "performance", "bonus", "of", "up", "to", "100", "%", "of", "the", "Base", "Salary", ",", "less", "applicable", "taxes", "and", "withholdings", "(", "Annual", "Bonus", ")", ",", "which", "Annual", "Bonus", ",", "if", "any", ",", "may", "be", "calculated", "and", "paid", "quarterly", ",", "but", "in", "any", "event", "shall", "be", "paid", "by", "the", "Company", "on", "or", "before", "March", "15th", "of", "the", "year", "after", "the", "year", "to", "which", "the", "Annual", "Bonus", "relates", ".", "No", "Annual", "Bonus", "shall", "be", "payable", "unless", "the", "Executive", "is", "employed", "with", "the", "Company", "on", "the", "date", "any", "such", "Annual", "Bonus", "is", "paid", "and", "provided", "that", "the", "Executive", "is", "not", "working", "under", "any", "written", "notice", "of", "termination", "on", "the", "date", "the", "Annual", "Bonus", "is", "paid", ".", "The", "actual", "amount", "of", "the", "Annual", "Bonus", "payable", "each", "year", ",", "if", "any", ",", "shall", "be", "determined", "by", "the", "Company", ",", "in", "its", "sole", "discretion", ".", "The", "payment", "of", "an", "Annual", "Bonus", "with", "respect", "to", "a", "particular", "calendar", "year", "does", "not", "guarantee", "payment", "of", "an", "Annual", "Bonus", "in", "any", "subsequent", "calendar", "year", "."]}
{"id": "11351", "text": "(ii) Assignment of Inventions. During the Executives employment with the Company and following the termination of the Executives employment for any reason, the Executive agrees that the Executive shall promptly make full written disclosure to the Company, shall hold in trust for the sole right and benefit of the Company, and hereby assigns and shall be deemed to have assigned to the Company or its designee, all of the Executives right, title, and interest in and to any and all Inventions that have been or may be conceived, created, developed, completed, reduced to practice, or otherwise made by the Executive, solely or jointly with others, during the period of the Executives employment with the Company which (a)relate in any manner to the Companys business or actual or demonstrably anticipated research or development of the Company; (b)are suggested by, result from, or arise out of any work that the Executive may do for or on behalf of the Company; (c)result from or arise out of any Confidential Information that may have been disclosed or otherwise made available to the Executive as a result of duties assigned to the Executive by the Company; or (d)are otherwise made through the use of the time, information, equipment, facilities, supplies, or materials of the Company, even if developed, conceived, reduced to practice, or otherwise made during other than working hours (collectively referred to as Company Inventions). The Executive further acknowledges that all original works of authorship that are made by the Executive (solely or jointly with others) within the scope of the Executives employment with the Company and that are protectable by copyright are Works Made for Hire, as that term is defined in the United States Copyright Act . The Executive understands and agrees that the decision whether or not to commercialize or market any Company Inventions is within the Companys sole discretion and for the Companys sole benefit, and that no royalty will be due to the Executive as a result of the Companys efforts to commercialize or market any such Inventions.", "ner": [[328, 331, "Act"]], "tokenized_text": ["(", "ii", ")", "Assignment", "of", "Inventions", ".", "During", "the", "Executives", "employment", "with", "the", "Company", "and", "following", "the", "termination", "of", "the", "Executives", "employment", "for", "any", "reason", ",", "the", "Executive", "agrees", "that", "the", "Executive", "shall", "promptly", "make", "full", "written", "disclosure", "to", "the", "Company", ",", "shall", "hold", "in", "trust", "for", "the", "sole", "right", "and", "benefit", "of", "the", "Company", ",", "and", "hereby", "assigns", "and", "shall", "be", "deemed", "to", "have", "assigned", "to", "the", "Company", "or", "its", "designee", ",", "all", "of", "the", "Executives", "right", ",", "title", ",", "and", "interest", "in", "and", "to", "any", "and", "all", "Inventions", "that", "have", "been", "or", "may", "be", "conceived", ",", "created", ",", "developed", ",", "completed", ",", "reduced", "to", "practice", ",", "or", "otherwise", "made", "by", "the", "Executive", ",", "solely", "or", "jointly", "with", "others", ",", "during", "the", "period", "of", "the", "Executives", "employment", "with", "the", "Company", "which", "(", "a", ")", "relate", "in", "any", "manner", "to", "the", "Companys", "business", "or", "actual", "or", "demonstrably", "anticipated", "research", "or", "development", "of", "the", "Company", ";", "(", "b", ")", "are", "suggested", "by", ",", "result", "from", ",", "or", "arise", "out", "of", "any", "work", "that", "the", "Executive", "may", "do", "for", "or", "on", "behalf", "of", "the", "Company", ";", "(", "c", ")", "result", "from", "or", "arise", "out", "of", "any", "Confidential", "Information", "that", "may", "have", "been", "disclosed", "or", "otherwise", "made", "available", "to", "the", "Executive", "as", "a", "result", "of", "duties", "assigned", "to", "the", "Executive", "by", "the", "Company", ";", "or", "(", "d", ")", "are", "otherwise", "made", "through", "the", "use", "of", "the", "time", ",", "information", ",", "equipment", ",", "facilities", ",", "supplies", ",", "or", "materials", "of", "the", "Company", ",", "even", "if", "developed", ",", "conceived", ",", "reduced", "to", "practice", ",", "or", "otherwise", "made", "during", "other", "than", "working", "hours", "(", "collectively", "referred", "to", "as", "Company", "Inventions", ")", ".", "The", "Executive", "further", "acknowledges", "that", "all", "original", "works", "of", "authorship", "that", "are", "made", "by", "the", "Executive", "(", "solely", "or", "jointly", "with", "others", ")", "within", "the", "scope", "of", "the", "Executives", "employment", "with", "the", "Company", "and", "that", "are", "protectable", "by", "copyright", "are", "Works", "Made", "for", "Hire", ",", "as", "that", "term", "is", "defined", "in", "the", "United", "States", "Copyright", "Act", ".", "The", "Executive", "understands", "and", "agrees", "that", "the", "decision", "whether", "or", "not", "to", "commercialize", "or", "market", "any", "Company", "Inventions", "is", "within", "the", "Companys", "sole", "discretion", "and", "for", "the", "Companys", "sole", "benefit", ",", "and", "that", "no", "royalty", "will", "be", "due", "to", "the", "Executive", "as", "a", "result", "of", "the", "Companys", "efforts", "to", "commercialize", "or", "market", "any", "such", "Inventions", "."]}
{"id": "11352", "text": "A. Governing Law; Venue. This Agreement shall be governed by and construed under the laws of the State of Texas , without regard to any applicable conflict of law or choice of law rules. Venue of any litigation arising from this Agreement or any disputes relating to the Executives employment shall be in the United States District Court for the Northern District of Texas or a state district court of competent jurisdiction in Collin County, Texas. The Executive and the Company consent to personal jurisdiction of the United States District Court for the Northern District of Texas or a state district court of competent jurisdiction in Collin County, Texas for any dispute relating to or arising out of this Agreement or the Executives employment, and the Executive and the Company agree that the Executive and the Company shall not challenge personal or subject matter jurisdiction in such courts. The Executive waives any objection that the Executive may now or hereafter have to the venue or jurisdiction of any proceeding in such courts or that any such proceeding was brought in an inconvenient forum (and agrees not to plead or claim the same).", "ner": [[20, 22, "Court"], [58, 67, "Court"], [77, 80, "Court"]], "tokenized_text": ["A", ".", "Governing", "Law", ";", "Venue", ".", "This", "Agreement", "shall", "be", "governed", "by", "and", "construed", "under", "the", "laws", "of", "the", "State", "of", "Texas", ",", "without", "regard", "to", "any", "applicable", "conflict", "of", "law", "or", "choice", "of", "law", "rules", ".", "Venue", "of", "any", "litigation", "arising", "from", "this", "Agreement", "or", "any", "disputes", "relating", "to", "the", "Executives", "employment", "shall", "be", "in", "the", "United", "States", "District", "Court", "for", "the", "Northern", "District", "of", "Texas", "or", "a", "state", "district", "court", "of", "competent", "jurisdiction", "in", "Collin", "County", ",", "Texas", ".", "The", "Executive", "and", "the", "Company", "consent", "to", "personal", "jurisdiction", "of", "the", "United", "States", "District", "Court", "for", "the", "Northern", "District", "of", "Texas", "or", "a", "state", "district", "court", "of", "competent", "jurisdiction", "in", "Collin", "County", ",", "Texas", "for", "any", "dispute", "relating", "to", "or", "arising", "out", "of", "this", "Agreement", "or", "the", "Executives", "employment", ",", "and", "the", "Executive", "and", "the", "Company", "agree", "that", "the", "Executive", "and", "the", "Company", "shall", "not", "challenge", "personal", "or", "subject", "matter", "jurisdiction", "in", "such", "courts", ".", "The", "Executive", "waives", "any", "objection", "that", "the", "Executive", "may", "now", "or", "hereafter", "have", "to", "the", "venue", "or", "jurisdiction", "of", "any", "proceeding", "in", "such", "courts", "or", "that", "any", "such", "proceeding", "was", "brought", "in", "an", "inconvenient", "forum", "(", "and", "agrees", "not", "to", "plead", "or", "claim", "the", "same", ")", "."]}
{"id": "11355", "text": "By: /s/ Robert Vanman | | PrintedName: Robert Vanman | | Title: Chief Executive Officer | THE EXECUTIVE: | |", "ner": [[5, 6, "Parties"], [17, 19, "Role"]], "tokenized_text": ["By", ":", "/", "s", "/", "Robert", "Vanman", "|", "|", "PrintedName", ":", "Robert", "Vanman", "|", "|", "Title", ":", "Chief", "Executive", "Officer", "|", "THE", "EXECUTIVE", ":", "|", "|"]}
{"id": "11356", "text": "/s/ David Russell Walker | | David Russell Walker", "ner": [[3, 5, "Parties"]], "tokenized_text": ["/", "s", "/", "David", "Russell", "Walker", "|", "|", "David", "Russell", "Walker"]}
{"id": "11359", "text": "2\\. Duties. During the Term, Executive shall be employed by the Company as Chief Executive Officer of the Company, and, as such, Executive shall report directly to the Board of Directors of the Company (the Board). As long as Executive serves as the Chief Executive Officer of the Company, the Company shall cause the Executive to be nominated to serve on the Board, subject to the limitations of applicable law, each time that his term as a director is set to expire. Executive shall faithfully perform for the Company the duties of said office and shall perform such other duties of an executive, managerial or administrative nature as shall be specified and designated from time to time by the Board, which duties shall not be materially inconsistent with the duties performed by executives holding similar offices with comparable companies. Executive shall devote substantially all of his business time and effort to the performance of his duties hereunder, except that Executive may devote reasonable time and attention to civic, charitable, business or social activities so long as such activities do not interfere with Executives employment duties. In addition, Executive will be permitted to serve, with the prior written consent of the Board, as a member of the board of directors or advisory boards (or their equivalents, in the case of a non-corporate entity) of non-competing businesses. Executive shall comply with the policies, procedures, standards, and regulations established from time to time by the Company (the Policies). Executive shall obtain and keep in full force and effect throughout the Term all gaming licenses or approvals necessary or appropriate for Executives position. During the Term, Executive shall be based in the Companys offices in New York, NY, except for reasonably required travel on the Companys business consistent with Executives position.", "ner": [[17, 19, "Role"], [53, 55, "Role"], [317, 320, "Address"]], "tokenized_text": ["2", "\\", ".", "Duties", ".", "During", "the", "Term", ",", "Executive", "shall", "be", "employed", "by", "the", "Company", "as", "Chief", "Executive", "Officer", "of", "the", "Company", ",", "and", ",", "as", "such", ",", "Executive", "shall", "report", "directly", "to", "the", "Board", "of", "Directors", "of", "the", "Company", "(", "the", "Board", ")", ".", "As", "long", "as", "Executive", "serves", "as", "the", "Chief", "Executive", "Officer", "of", "the", "Company", ",", "the", "Company", "shall", "cause", "the", "Executive", "to", "be", "nominated", "to", "serve", "on", "the", "Board", ",", "subject", "to", "the", "limitations", "of", "applicable", "law", ",", "each", "time", "that", "his", "term", "as", "a", "director", "is", "set", "to", "expire", ".", "Executive", "shall", "faithfully", "perform", "for", "the", "Company", "the", "duties", "of", "said", "office", "and", "shall", "perform", "such", "other", "duties", "of", "an", "executive", ",", "managerial", "or", "administrative", "nature", "as", "shall", "be", "specified", "and", "designated", "from", "time", "to", "time", "by", "the", "Board", ",", "which", "duties", "shall", "not", "be", "materially", "inconsistent", "with", "the", "duties", "performed", "by", "executives", "holding", "similar", "offices", "with", "comparable", "companies", ".", "Executive", "shall", "devote", "substantially", "all", "of", "his", "business", "time", "and", "effort", "to", "the", "performance", "of", "his", "duties", "hereunder", ",", "except", "that", "Executive", "may", "devote", "reasonable", "time", "and", "attention", "to", "civic", ",", "charitable", ",", "business", "or", "social", "activities", "so", "long", "as", "such", "activities", "do", "not", "interfere", "with", "Executives", "employment", "duties", ".", "In", "addition", ",", "Executive", "will", "be", "permitted", "to", "serve", ",", "with", "the", "prior", "written", "consent", "of", "the", "Board", ",", "as", "a", "member", "of", "the", "board", "of", "directors", "or", "advisory", "boards", "(", "or", "their", "equivalents", ",", "in", "the", "case", "of", "a", "non-corporate", "entity", ")", "of", "non-competing", "businesses", ".", "Executive", "shall", "comply", "with", "the", "policies", ",", "procedures", ",", "standards", ",", "and", "regulations", "established", "from", "time", "to", "time", "by", "the", "Company", "(", "the", "Policies", ")", ".", "Executive", "shall", "obtain", "and", "keep", "in", "full", "force", "and", "effect", "throughout", "the", "Term", "all", "gaming", "licenses", "or", "approvals", "necessary", "or", "appropriate", "for", "Executives", "position", ".", "During", "the", "Term", ",", "Executive", "shall", "be", "based", "in", "the", "Companys", "offices", "in", "New", "York", ",", "NY", ",", "except", "for", "reasonably", "required", "travel", "on", "the", "Companys", "business", "consistent", "with", "Executives", "position", "."]}
{"id": "11360", "text": "3.1 Salary. For purposes of this Agreement, a Contract Year shall mean each calendar year during the Term. The Company shall pay Executive a base salary at the rate of $725,000 per annum (the Initial Annual Salary), in accordance with the customary payroll practices of the Company applicable to senior executives, but not less frequently than monthly. The Compensation Committee of the Board (the Compensation Committee) shall review Executives base salary each Contract Year and may increase such amount as it may deem advisable (such salary, as the same may be increased, the Annual Salary). The Annual Salary shall be prorated (on the basis of a 365-day year) for any partial Contract Year.", "ner": [[35, 38, "Salary"]], "tokenized_text": ["3", ".", "1", "Salary", ".", "For", "purposes", "of", "this", "Agreement", ",", "a", "Contract", "Year", "shall", "mean", "each", "calendar", "year", "during", "the", "Term", ".", "The", "Company", "shall", "pay", "Executive", "a", "base", "salary", "at", "the", "rate", "of", "$", "725", ",", "000", "per", "annum", "(", "the", "Initial", "Annual", "Salary", ")", ",", "in", "accordance", "with", "the", "customary", "payroll", "practices", "of", "the", "Company", "applicable", "to", "senior", "executives", ",", "but", "not", "less", "frequently", "than", "monthly", ".", "The", "Compensation", "Committee", "of", "the", "Board", "(", "the", "Compensation", "Committee", ")", "shall", "review", "Executives", "base", "salary", "each", "Contract", "Year", "and", "may", "increase", "such", "amount", "as", "it", "may", "deem", "advisable", "(", "such", "salary", ",", "as", "the", "same", "may", "be", "increased", ",", "the", "Annual", "Salary", ")", ".", "The", "Annual", "Salary", "shall", "be", "prorated", "(", "on", "the", "basis", "of", "a", "365-day", "year", ")", "for", "any", "partial", "Contract", "Year", "."]}
{"id": "11363", "text": "regulations, and binding, published guidance thereunder, which legislation provides for the clawback and recovery of incentive compensation in the event of certain financial statement restatements and (C)the Sarbanes-Oxley Act of 2002 . If pursuant to Section10D of the Securities Exchange Act of 1934 , as amended (the Act), the Company or any Company Affiliate (as defined below) would not be eligible for continued listing, if applicable, under Section10D(a) of the Act if it (or they) did not adopt policies consistent with Section10D(b) of the Act, then, in accordance with those policies that are so required, any incentive-based compensation payable to Executive under this Agreement or otherwise shall be subject to claw-back in the circumstances, to the extent, and in the manner, required by Section10D(b)(2) of the Act, as interpreted by rules of the Securities Exchange Commission. Nothing in this provision is intended to supersede any existing or future claw-back provision adopted or amended by the Company, including, but not limited to the provision that may be set forth in the Companys equity incentive plan. For purposes of this Agreement a Company Affiliate shall mean any individual or entity that directly or indirectly controls, is controlled by, or is under common control with the Company.", "ner": [[33, 36, "Act"], [41, 41, "Regulation"], [44, 48, "Act"], [80, 83, "Regulation"], [99, 102, "Regulation"]], "tokenized_text": ["regulations", ",", "and", "binding", ",", "published", "guidance", "thereunder", ",", "which", "legislation", "provides", "for", "the", "clawback", "and", "recovery", "of", "incentive", "compensation", "in", "the", "event", "of", "certain", "financial", "statement", "restatements", "and", "(", "C", ")", "the", "Sarbanes-Oxley", "Act", "of", "2002", ".", "If", "pursuant", "to", "Section10D", "of", "the", "Securities", "Exchange", "Act", "of", "1934", ",", "as", "amended", "(", "the", "Act", ")", ",", "the", "Company", "or", "any", "Company", "Affiliate", "(", "as", "defined", "below", ")", "would", "not", "be", "eligible", "for", "continued", "listing", ",", "if", "applicable", ",", "under", "Section10D", "(", "a", ")", "of", "the", "Act", "if", "it", "(", "or", "they", ")", "did", "not", "adopt", "policies", "consistent", "with", "Section10D", "(", "b", ")", "of", "the", "Act", ",", "then", ",", "in", "accordance", "with", "those", "policies", "that", "are", "so", "required", ",", "any", "incentive-based", "compensation", "payable", "to", "Executive", "under", "this", "Agreement", "or", "otherwise", "shall", "be", "subject", "to", "claw-back", "in", "the", "circumstances", ",", "to", "the", "extent", ",", "and", "in", "the", "manner", ",", "required", "by", "Section10D", "(", "b", ")", "(", "2", ")", "of", "the", "Act", ",", "as", "interpreted", "by", "rules", "of", "the", "Securities", "Exchange", "Commission", ".", "Nothing", "in", "this", "provision", "is", "intended", "to", "supersede", "any", "existing", "or", "future", "claw-back", "provision", "adopted", "or", "amended", "by", "the", "Company", ",", "including", ",", "but", "not", "limited", "to", "the", "provision", "that", "may", "be", "set", "forth", "in", "the", "Companys", "equity", "incentive", "plan", ".", "For", "purposes", "of", "this", "Agreement", "a", "Company", "Affiliate", "shall", "mean", "any", "individual", "or", "entity", "that", "directly", "or", "indirectly", "controls", ",", "is", "controlled", "by", ",", "or", "is", "under", "common", "control", "with", "the", "Company", "."]}
{"id": "11368", "text": "| (a) | If to the Company, to: ---|---|--- VICI Properties Inc.", "ner": [[23, 26, "Parties"]], "tokenized_text": ["|", "(", "a", ")", "|", "If", "to", "the", "Company", ",", "to", ":", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "VICI", "Properties", "Inc", "."]}
{"id": "11369", "text": "8329 W. Sunset Road, Suite 210", "ner": [[0, 7, "Address"]], "tokenized_text": ["8329", "W", ".", "Sunset", "Road", ",", "Suite", "210"]}
{"id": "11373", "text": "11\\. Governing Law. This Agreement shall be governed by and construed in accordance with the laws of the State of New York applicable to contracts to be performed therein.", "ner": [[21, 24, "Court"]], "tokenized_text": ["11", "\\", ".", "Governing", "Law", ".", "This", "Agreement", "shall", "be", "governed", "by", "and", "construed", "in", "accordance", "with", "the", "laws", "of", "the", "State", "of", "New", "York", "applicable", "to", "contracts", "to", "be", "performed", "therein", "."]}
{"id": "11375", "text": "In consideration of and in accordance with the October6, 2017 Employment Agreement by and between Edward Baltazar Pitoniak , (Executive) and VICI Properties Inc. , with offices at VICI Properties Inc. , 8329 W. Sunset Road, Suite 210 Las Vegas, Nevada 89113 (together with its successors and assigns, the Company) (Employment Agreement), of which this Exhibit A is part, Executive hereby agrees as follows. All terms not defined in this Separation Agreement and Release (Separation Agreement) shall have the same meanings as those set forth in the Employment Agreement.", "ner": [[11, 12, "Title"], [16, 18, "Parties"], [24, 27, "Parties"], [86, 87, "Title"]], "tokenized_text": ["In", "consideration", "of", "and", "in", "accordance", "with", "the", "October6", ",", "2017", "Employment", "Agreement", "by", "and", "between", "Edward", "Baltazar", "Pitoniak", ",", "(", "Executive", ")", "and", "VICI", "Properties", "Inc", ".", ",", "with", "offices", "at", "VICI", "Properties", "Inc", ".", ",", "8329", "W", ".", "Sunset", "Road", ",", "Suite", "210", "Las", "Vegas", ",", "Nevada", "89113", "(", "together", "with", "its", "successors", "and", "assigns", ",", "the", "Company", ")", "(", "Employment", "Agreement", ")", ",", "of", "which", "this", "Exhibit", "A", "is", "part", ",", "Executive", "hereby", "agrees", "as", "follows", ".", "All", "terms", "not", "defined", "in", "this", "Separation", "Agreement", "and", "Release", "(", "Separation", "Agreement", ")", "shall", "have", "the", "same", "meanings", "as", "those", "set", "forth", "in", "the", "Employment", "Agreement", "."]}
{"id": "11379", "text": "(b) Executive may revoke this Separation Agreement within seven (7)days of Executives signing it by delivering a written notice of such revocation to Attn: General Counsel, VICI Properties Inc. , 8329 W. Sunset Road, Suite 210 Las Vegas, Nevada 89113, (phone): (702) 407-6000 , via nationally recognized overnight carrier or email. If Executive revokes this Separation Agreement within seven (7)days of signing it, this Separation Agreement and the promises contained herein or in Section9 of the Employment Agreement automatically will be null and void. If Executive signs this Separation Agreement and does not revoke this Separation Agreement within seven (7)days of signing it, this Separation Agreement shall become binding, effective, and irrevocable on the eighth (8th) day after the Separation Agreement is executed by both parties (the Separation Agreement Effective Date).", "ner": [[7, 8, "Title"], [56, 59, "PII_Ref"], [98, 99, "Title"]], "tokenized_text": ["(", "b", ")", "Executive", "may", "revoke", "this", "Separation", "Agreement", "within", "seven", "(", "7", ")", "days", "of", "Executives", "signing", "it", "by", "delivering", "a", "written", "notice", "of", "such", "revocation", "to", "Attn", ":", "General", "Counsel", ",", "VICI", "Properties", "Inc", ".", ",", "8329", "W", ".", "Sunset", "Road", ",", "Suite", "210", "Las", "Vegas", ",", "Nevada", "89113", ",", "(", "phone", ")", ":", "(", "702", ")", "407-6000", ",", "via", "nationally", "recognized", "overnight", "carrier", "or", "email", ".", "If", "Executive", "revokes", "this", "Separation", "Agreement", "within", "seven", "(", "7", ")", "days", "of", "signing", "it", ",", "this", "Separation", "Agreement", "and", "the", "promises", "contained", "herein", "or", "in", "Section9", "of", "the", "Employment", "Agreement", "automatically", "will", "be", "null", "and", "void", ".", "If", "Executive", "signs", "this", "Separation", "Agreement", "and", "does", "not", "revoke", "this", "Separation", "Agreement", "within", "seven", "(", "7", ")", "days", "of", "signing", "it", ",", "this", "Separation", "Agreement", "shall", "become", "binding", ",", "effective", ",", "and", "irrevocable", "on", "the", "eighth", "(", "8th", ")", "day", "after", "the", "Separation", "Agreement", "is", "executed", "by", "both", "parties", "(", "the", "Separation", "Agreement", "Effective", "Date", ")", "."]}
{"id": "11383", "text": "WHEREAS, the Executive desires to be employed by the Company as its Chief Financial Officer and Executive Vice President and the Company wishes to employ Executive in such capacity;", "ner": [[13, 15, "Role"], [17, 19, "Role"]], "tokenized_text": ["WHEREAS", ",", "the", "Executive", "desires", "to", "be", "employed", "by", "the", "Company", "as", "its", "Chief", "Financial", "Officer", "and", "Executive", "Vice", "President", "and", "the", "Company", "wishes", "to", "employ", "Executive", "in", "such", "capacity", ";"]}
{"id": "11384", "text": "1.Employment and Duties. The Company agrees to employ and Executive agrees to serve as the Company's Chief Financial Officer and Executive Vice President . The rights, duties and responsibilities of Executive shall include the right and duty to manage the day to day financial operations of the Company and such other duties and responsibilities as are consistent with Executives position. Executive shall report to the Executive Chairman (the Chairman) and the Board of Directors of the Corporation (the Board).", "ner": [[21, 23, "Role"], [25, 27, "Role"], [72, 73, "Role"]], "tokenized_text": ["1", ".", "Employment", "and", "Duties", ".", "The", "Company", "agrees", "to", "employ", "and", "Executive", "agrees", "to", "serve", "as", "the", "Company", "'", "s", "Chief", "Financial", "Officer", "and", "Executive", "Vice", "President", ".", "The", "rights", ",", "duties", "and", "responsibilities", "of", "Executive", "shall", "include", "the", "right", "and", "duty", "to", "manage", "the", "day", "to", "day", "financial", "operations", "of", "the", "Company", "and", "such", "other", "duties", "and", "responsibilities", "as", "are", "consistent", "with", "Executives", "position", ".", "Executive", "shall", "report", "to", "the", "Executive", "Chairman", "(", "the", "Chairman", ")", "and", "the", "Board", "of", "Directors", "of", "the", "Corporation", "(", "the", "Board", ")", "."]}
{"id": "11388", "text": "a.the Company shall grant to Executive 200,000 shares of restricted common stock at no cost to Executive as a signing bonus. Fifty percent ( 50% ) of such common stock shall be immediately vested with the remainder balance vesting once Avalanche International Corporation is current with its periodic reports with the SEC; and", "ner": [[8, 10, "Shares"], [29, 30, "Percentage"]], "tokenized_text": ["a", ".", "the", "Company", "shall", "grant", "to", "Executive", "200", ",", "000", "shares", "of", "restricted", "common", "stock", "at", "no", "cost", "to", "Executive", "as", "a", "signing", "bonus", ".", "Fifty", "percent", "(", "50", "%", ")", "of", "such", "common", "stock", "shall", "be", "immediately", "vested", "with", "the", "remainder", "balance", "vesting", "once", "Avalanche", "International", "Corporation", "is", "current", "with", "its", "periodic", "reports", "with", "the", "SEC", ";", "and"]}
{"id": "11389", "text": "b.the Company shall grant to Executive an option to purchase 1,000,000 shares of the Companys common stock exercisable for a period of ten (10) years at market closing price on the Effective Date. The options shall vest ratably over 48 months beginning with the first month after the Effective Date.", "ner": [[12, 16, "Shares"], [28, 32, "TerminationDate"]], "tokenized_text": ["b", ".", "the", "Company", "shall", "grant", "to", "Executive", "an", "option", "to", "purchase", "1", ",", "000", ",", "000", "shares", "of", "the", "Companys", "common", "stock", "exercisable", "for", "a", "period", "of", "ten", "(", "10", ")", "years", "at", "market", "closing", "price", "on", "the", "Effective", "Date", ".", "The", "options", "shall", "vest", "ratably", "over", "48", "months", "beginning", "with", "the", "first", "month", "after", "the", "Effective", "Date", "."]}
{"id": "11393", "text": "(b) The Executive hereby agrees and covenants that he shall not, during the Employment Period and any Separation Period, without the prior written consent of the Company, directly or indirectly, in any capacity whatsoever, including, without limitation, as an employee, employer, consultant, principal, partner, shareholder, officer, director or any other individual or representative capacity (other than (i) as a holder of less than five percent ( 5% ) of the outstanding securities of a Company whose shares are traded on any national securities exchange or (ii) as a limited partner, passive minority interest holder in a venture capital fund, private equity fund or similar investment entity which holds or may hold an equity or equity-linked security position in portfolio companies that are directly competitive with the Companys products or services; provided however, that the Executive shall be precluded from serving as an operating partner, general partner, manager or governing board designee with respect to such portfolio companies), or whether on the Executive's own behalf or on behalf of any other person or entity or otherwise howsoever, during the Employment Period and the Separation Period and thereafter to the extent described below, within the Territory:", "ner": [[85, 86, "Percentage"]], "tokenized_text": ["(", "b", ")", "The", "Executive", "hereby", "agrees", "and", "covenants", "that", "he", "shall", "not", ",", "during", "the", "Employment", "Period", "and", "any", "Separation", "Period", ",", "without", "the", "prior", "written", "consent", "of", "the", "Company", ",", "directly", "or", "indirectly", ",", "in", "any", "capacity", "whatsoever", ",", "including", ",", "without", "limitation", ",", "as", "an", "employee", ",", "employer", ",", "consultant", ",", "principal", ",", "partner", ",", "shareholder", ",", "officer", ",", "director", "or", "any", "other", "individual", "or", "representative", "capacity", "(", "other", "than", "(", "i", ")", "as", "a", "holder", "of", "less", "than", "five", "percent", "(", "5", "%", ")", "of", "the", "outstanding", "securities", "of", "a", "Company", "whose", "shares", "are", "traded", "on", "any", "national", "securities", "exchange", "or", "(", "ii", ")", "as", "a", "limited", "partner", ",", "passive", "minority", "interest", "holder", "in", "a", "venture", "capital", "fund", ",", "private", "equity", "fund", "or", "similar", "investment", "entity", "which", "holds", "or", "may", "hold", "an", "equity", "or", "equity-linked", "security", "position", "in", "portfolio", "companies", "that", "are", "directly", "competitive", "with", "the", "Companys", "products", "or", "services", ";", "provided", "however", ",", "that", "the", "Executive", "shall", "be", "precluded", "from", "serving", "as", "an", "operating", "partner", ",", "general", "partner", ",", "manager", "or", "governing", "board", "designee", "with", "respect", "to", "such", "portfolio", "companies", ")", ",", "or", "whether", "on", "the", "Executive", "'", "s", "own", "behalf", "or", "on", "behalf", "of", "any", "other", "person", "or", "entity", "or", "otherwise", "howsoever", ",", "during", "the", "Employment", "Period", "and", "the", "Separation", "Period", "and", "thereafter", "to", "the", "extent", "described", "below", ",", "within", "the", "Territory", ":"]}
{"id": "11394", "text": "The provisions of this Agreement are intended to comply with Section 409A of the Internal Revenue Code of 1986 , as amended (the Code) and any final regulations and guidance promulgated thereunder (Section 409A) and shall be construed in a manner consistent with the requirements for avoiding taxes or penalties under Section 409A. The Company and Executive agree to work together in good faith to consider amendments to this Agreement and to take such reasonable actions which are necessary, appropriate or desirable to avoid imposition of any additional tax or income recognition prior to actual payment to Executive under Section 409A.", "ner": [[10, 11, "Regulation"], [14, 18, "Act"]], "tokenized_text": ["The", "provisions", "of", "this", "Agreement", "are", "intended", "to", "comply", "with", "Section", "409A", "of", "the", "Internal", "Revenue", "Code", "of", "1986", ",", "as", "amended", "(", "the", "Code", ")", "and", "any", "final", "regulations", "and", "guidance", "promulgated", "thereunder", "(", "Section", "409A", ")", "and", "shall", "be", "construed", "in", "a", "manner", "consistent", "with", "the", "requirements", "for", "avoiding", "taxes", "or", "penalties", "under", "Section", "409A", ".", "The", "Company", "and", "Executive", "agree", "to", "work", "together", "in", "good", "faith", "to", "consider", "amendments", "to", "this", "Agreement", "and", "to", "take", "such", "reasonable", "actions", "which", "are", "necessary", ",", "appropriate", "or", "desirable", "to", "avoid", "imposition", "of", "any", "additional", "tax", "or", "income", "recognition", "prior", "to", "actual", "payment", "to", "Executive", "under", "Section", "409A", "."]}
{"id": "11395", "text": "Each installment payable hereunder shall constitute a separate payment for purposes of Treasury Regulation Section 1.409A-2(b), including Treasury Regulation Section 1.409A-2(b)(2) (iii). Each payment that is made within the terms of the short-term deferral rule set forth in Treasury Regulation Section 1.409A-1(b)(4) is intended to meet the short-term deferral rule. Each other payment is intended to be a payment upon an involuntary termination from service and payable pursuant to Treasury Regulation Section 1.409A-1(b)(9)(iii), et. seq., to the maximum extent permitted by that regulation, with any amount that is not exempt from Code Section 409A being subject to Code Section 409A.", "ner": [[12, 20, "Regulation"], [55, 63, "Regulation"]], "tokenized_text": ["Each", "installment", "payable", "hereunder", "shall", "constitute", "a", "separate", "payment", "for", "purposes", "of", "Treasury", "Regulation", "Section", "1", ".", "409A-2", "(", "b", ")", ",", "including", "Treasury", "Regulation", "Section", "1", ".", "409A-2", "(", "b", ")", "(", "2", ")", "(", "iii", ")", ".", "Each", "payment", "that", "is", "made", "within", "the", "terms", "of", "the", "short-term", "deferral", "rule", "set", "forth", "in", "Treasury", "Regulation", "Section", "1", ".", "409A-1", "(", "b", ")", "(", "4", ")", "is", "intended", "to", "meet", "the", "short-term", "deferral", "rule", ".", "Each", "other", "payment", "is", "intended", "to", "be", "a", "payment", "upon", "an", "involuntary", "termination", "from", "service", "and", "payable", "pursuant", "to", "Treasury", "Regulation", "Section", "1", ".", "409A-1", "(", "b", ")", "(", "9", ")", "(", "iii", ")", ",", "et", ".", "seq", ".", ",", "to", "the", "maximum", "extent", "permitted", "by", "that", "regulation", ",", "with", "any", "amount", "that", "is", "not", "exempt", "from", "Code", "Section", "409A", "being", "subject", "to", "Code", "Section", "409A", "."]}
{"id": "11397", "text": "By: /s/ William Horne", "ner": [[5, 6, "Parties"]], "tokenized_text": ["By", ":", "/", "s", "/", "William", "Horne"]}
{"id": "11407", "text": "Pursuant to the terms and conditions of the Company's 2016 Omnibus Incentive Plan (the Plan) and the employment agreement by and between you and the Company dated September 28, 2017 (the Employment Agreement), you have been granted an award of restricted stock units (RSUs) as outlined below (Award) (any capitalized terms used but not defined herein shall have the definitions given to such terms in the Plan).", "ner": [[11, 14, "Title"], [21, 22, "Title"], [31, 34, "EffectiveDate"], [37, 38, "Title"]], "tokenized_text": ["Pursuant", "to", "the", "terms", "and", "conditions", "of", "the", "Company", "'", "s", "2016", "Omnibus", "Incentive", "Plan", "(", "the", "Plan", ")", "and", "the", "employment", "agreement", "by", "and", "between", "you", "and", "the", "Company", "dated", "September", "28", ",", "2017", "(", "the", "Employment", "Agreement", ")", ",", "you", "have", "been", "granted", "an", "award", "of", "restricted", "stock", "units", "(", "RSUs", ")", "as", "outlined", "below", "(", "Award", ")", "(", "any", "capitalized", "terms", "used", "but", "not", "defined", "herein", "shall", "have", "the", "definitions", "given", "to", "such", "terms", "in", "the", "Plan", ")", "."]}
{"id": "11408", "text": "Mark Thierer Grant Date: September 28, 2017 ---|--- | Number of RSUs:", "ner": [[5, 8, "EffectiveDate"]], "tokenized_text": ["Mark", "Thierer", "Grant", "Date", ":", "September", "28", ",", "2017", "-", "-", "-", "|", "-", "-", "-", "|", "Number", "of", "RSUs", ":"]}
{"id": "11411", "text": "2. Duties. During the Employment Period, Executive shall devote Executives full business time, energies and talents to serving as Executive Vice President & Chief Credit Officer of the Company, at the direction of the Companys President and Chief Executive Officer (the CEO). Executive shall have such duties and responsibilities as may be assigned to Executive from time to time by the CEO, which duties and responsibilities shall be commensurate with Executives position, shall perform all duties assigned to Executive faithfully and efficiently, subject to the direction of the CEO and shall have such authorities and powers as are inherent to the undertakings applicable to Executives position and necessary to carry out the responsibilities and duties required of Executive hereunder. Executive shall perform the duties required by", "ner": [[25, 25, "Role"], [29, 31, "Role"], [44, 46, "Role"], [49, 49, "Role"], [71, 71, "Role"], [101, 101, "Role"]], "tokenized_text": ["2", ".", "Duties", ".", "During", "the", "Employment", "Period", ",", "Executive", "shall", "devote", "Executives", "full", "business", "time", ",", "energies", "and", "talents", "to", "serving", "as", "Executive", "Vice", "President", "&", "amp", ";", "Chief", "Credit", "Officer", "of", "the", "Company", ",", "at", "the", "direction", "of", "the", "Companys", "President", "and", "Chief", "Executive", "Officer", "(", "the", "CEO", ")", ".", "Executive", "shall", "have", "such", "duties", "and", "responsibilities", "as", "may", "be", "assigned", "to", "Executive", "from", "time", "to", "time", "by", "the", "CEO", ",", "which", "duties", "and", "responsibilities", "shall", "be", "commensurate", "with", "Executives", "position", ",", "shall", "perform", "all", "duties", "assigned", "to", "Executive", "faithfully", "and", "efficiently", ",", "subject", "to", "the", "direction", "of", "the", "CEO", "and", "shall", "have", "such", "authorities", "and", "powers", "as", "are", "inherent", "to", "the", "undertakings", "applicable", "to", "Executives", "position", "and", "necessary", "to", "carry", "out", "the", "responsibilities", "and", "duties", "required", "of", "Executive", "hereunder", ".", "Executive", "shall", "perform", "the", "duties", "required", "by"]}
{"id": "11420", "text": "/s/ KENT L. JEHLE |", "ner": [[3, 6, "Parties"]], "tokenized_text": ["/", "s", "/", "KENT", "L", ".", "JEHLE", "|"]}
{"id": "11422", "text": "The Age Discrimination in Employment Act ( the ADEA ), | ---|--- (ix)", "ner": [[1, 5, "Act"]], "tokenized_text": ["The", "Age", "Discrimination", "in", "Employment", "Act", "(", "the", "ADEA", ")", ",", "|", "-", "-", "-", "|", "-", "-", "-", "(", "ix", ")"]}
{"id": "11423", "text": "(a) A covenant not to sue is a legal term that means Executive promises not to file a lawsuit in court. It is different from the Release and Waiver. Besides waiving and releasing the claims covered by Section 4 above, Executive shall never sue the Releasees in any forum for any reason covered by the Release and Waiver. Notwithstanding this covenant not to sue, Executive may bring a claim against the Company to enforce this Agreement or to challenge the validity of this Agreement under the ADEA . If Executive sues any of the Releasees in violation of this Agreement, Executive shall be liable to them for their reasonable attorneys fees and costs (including the costs of experts, evidence, and counsel) and other litigation costs incurred in defending against Executives suit. In addition, if Executive sues any of the Releasees in violation of this Agreement, the Company can require Executive to return all but a sum of $100 of the Severance Payments, which sum is, by itself, adequate consideration for the promises and covenants in this Agreement. In that event, the Company shall have no obligation to make any further Severance Payments.", "ner": [[4, 7, "Title"], [93, 93, "Court"], [172, 173, "Principal"]], "tokenized_text": ["(", "a", ")", "A", "covenant", "not", "to", "sue", "is", "a", "legal", "term", "that", "means", "Executive", "promises", "not", "to", "file", "a", "lawsuit", "in", "court", ".", "It", "is", "different", "from", "the", "Release", "and", "Waiver", ".", "Besides", "waiving", "and", "releasing", "the", "claims", "covered", "by", "Section", "4", "above", ",", "Executive", "shall", "never", "sue", "the", "Releasees", "in", "any", "forum", "for", "any", "reason", "covered", "by", "the", "Release", "and", "Waiver", ".", "Notwithstanding", "this", "covenant", "not", "to", "sue", ",", "Executive", "may", "bring", "a", "claim", "against", "the", "Company", "to", "enforce", "this", "Agreement", "or", "to", "challenge", "the", "validity", "of", "this", "Agreement", "under", "the", "ADEA", ".", "If", "Executive", "sues", "any", "of", "the", "Releasees", "in", "violation", "of", "this", "Agreement", ",", "Executive", "shall", "be", "liable", "to", "them", "for", "their", "reasonable", "attorneys", "fees", "and", "costs", "(", "including", "the", "costs", "of", "experts", ",", "evidence", ",", "and", "counsel", ")", "and", "other", "litigation", "costs", "incurred", "in", "defending", "against", "Executives", "suit", ".", "In", "addition", ",", "if", "Executive", "sues", "any", "of", "the", "Releasees", "in", "violation", "of", "this", "Agreement", ",", "the", "Company", "can", "require", "Executive", "to", "return", "all", "but", "a", "sum", "of", "$", "100", "of", "the", "Severance", "Payments", ",", "which", "sum", "is", ",", "by", "itself", ",", "adequate", "consideration", "for", "the", "promises", "and", "covenants", "in", "this", "Agreement", ".", "In", "that", "event", ",", "the", "Company", "shall", "have", "no", "obligation", "to", "make", "any", "further", "Severance", "Payments", "."]}
{"id": "11425", "text": "1\\. Position and Duties. The Executive shall serve as the President and Chief Operating Officer of the Company, shall report to the Chief Executive Officer and shall have responsibilities and duties as may from time to time be prescribed by the Board of Directors of the Company (including any committee of the Board of Directors, the Board), commensurate with the customary scope and authority of the Executives position. The Executive shall devote the Executives full working time and efforts to the business and affairs of the Company. Notwithstanding the foregoing, the Executive may engage in religious, charitable or other community activities as long as such activities are disclosed to the Board and do not interfere with the Executives performance of the Executives duties to the Company. Notwithstanding the foregoing or anything else contained in this Agreement to the contrary, the Executive may continue to perform clinical patient-care responsibilities for approximately five hours per week and such other activities as are set forth on Exhibit B attached hereto. Executive represents that Exhibit B attached hereto is a comprehensive list of all outside professional activities with which Executive is currently involved.", "ner": [[13, 13, "Role"], [15, 17, "Role"], [26, 28, "Role"]], "tokenized_text": ["1", "\\", ".", "Position", "and", "Duties", ".", "The", "Executive", "shall", "serve", "as", "the", "President", "and", "Chief", "Operating", "Officer", "of", "the", "Company", ",", "shall", "report", "to", "the", "Chief", "Executive", "Officer", "and", "shall", "have", "responsibilities", "and", "duties", "as", "may", "from", "time", "to", "time", "be", "prescribed", "by", "the", "Board", "of", "Directors", "of", "the", "Company", "(", "including", "any", "committee", "of", "the", "Board", "of", "Directors", ",", "the", "Board", ")", ",", "commensurate", "with", "the", "customary", "scope", "and", "authority", "of", "the", "Executives", "position", ".", "The", "Executive", "shall", "devote", "the", "Executives", "full", "working", "time", "and", "efforts", "to", "the", "business", "and", "affairs", "of", "the", "Company", ".", "Notwithstanding", "the", "foregoing", ",", "the", "Executive", "may", "engage", "in", "religious", ",", "charitable", "or", "other", "community", "activities", "as", "long", "as", "such", "activities", "are", "disclosed", "to", "the", "Board", "and", "do", "not", "interfere", "with", "the", "Executives", "performance", "of", "the", "Executives", "duties", "to", "the", "Company", ".", "Notwithstanding", "the", "foregoing", "or", "anything", "else", "contained", "in", "this", "Agreement", "to", "the", "contrary", ",", "the", "Executive", "may", "continue", "to", "perform", "clinical", "patient-care", "responsibilities", "for", "approximately", "five", "hours", "per", "week", "and", "such", "other", "activities", "as", "are", "set", "forth", "on", "Exhibit", "B", "attached", "hereto", ".", "Executive", "represents", "that", "Exhibit", "B", "attached", "hereto", "is", "a", "comprehensive", "list", "of", "all", "outside", "professional", "activities", "with", "which", "Executive", "is", "currently", "involved", "."]}
{"id": "11426", "text": "(a) Base Salary. The Executives initial annual base salary rate shall be $396,400 . The Executives base salary rate shall be subject to increase by the Board or the Compensation Committee of the Board (the Compensation Committee) from time to time and shall not be subject to diminution except as provided in Section3(e)(i). The annual base salary in effect at any given time is referred to herein as Base Salary. The Base Salary shall be payable in a manner that is consistent with the Companys usual payroll practices for executives.", "ner": [[15, 18, "Salary"]], "tokenized_text": ["(", "a", ")", "Base", "Salary", ".", "The", "Executives", "initial", "annual", "base", "salary", "rate", "shall", "be", "$", "396", ",", "400", ".", "The", "Executives", "base", "salary", "rate", "shall", "be", "subject", "to", "increase", "by", "the", "Board", "or", "the", "Compensation", "Committee", "of", "the", "Board", "(", "the", "Compensation", "Committee", ")", "from", "time", "to", "time", "and", "shall", "not", "be", "subject", "to", "diminution", "except", "as", "provided", "in", "Section3", "(", "e", ")", "(", "i", ")", ".", "The", "annual", "base", "salary", "in", "effect", "at", "any", "given", "time", "is", "referred", "to", "herein", "as", "Base", "Salary", ".", "The", "Base", "Salary", "shall", "be", "payable", "in", "a", "manner", "that", "is", "consistent", "with", "the", "Companys", "usual", "payroll", "practices", "for", "executives", "."]}
{"id": "11427", "text": "(b) Incentive Compensation. The Executive shall be eligible to receive annual cash incentive compensation as determined by the Board or the Compensation Committee from time to time based upon achievement of corporate goals and the Executives personal goals, in each case as adopted by the Board. The Executives initial target annual incentive compensation shall be 40 percent of the Executives annual base salary . The target annual incentive compensation in effect at any given time is referred to herein as Target Annual Cash Incentive Compensation and the actual Annual Cash Incentive Compensation with respect to any given time is the Annual Cash Incentive Compensation. To avoid doubt, whether incentive compensation is awarded, the criteria governing any incentive compensation, and the amount of any incentive compensation is in the sole discretion of the Board. Except as provided in Section5(a), to earn incentive compensation, the Executive must be employed by the Company on the last day of the calendar year to which the incentive compensation applies. Annual Cash Incentive Compensation shall be paid on or before March15th of the calendar year following the year for which the bonus was earned.", "ner": [[60, 61, "Percentage"]], "tokenized_text": ["(", "b", ")", "Incentive", "Compensation", ".", "The", "Executive", "shall", "be", "eligible", "to", "receive", "annual", "cash", "incentive", "compensation", "as", "determined", "by", "the", "Board", "or", "the", "Compensation", "Committee", "from", "time", "to", "time", "based", "upon", "achievement", "of", "corporate", "goals", "and", "the", "Executives", "personal", "goals", ",", "in", "each", "case", "as", "adopted", "by", "the", "Board", ".", "The", "Executives", "initial", "target", "annual", "incentive", "compensation", "shall", "be", "40", "percent", "of", "the", "Executives", "annual", "base", "salary", ".", "The", "target", "annual", "incentive", "compensation", "in", "effect", "at", "any", "given", "time", "is", "referred", "to", "herein", "as", "Target", "Annual", "Cash", "Incentive", "Compensation", "and", "the", "actual", "Annual", "Cash", "Incentive", "Compensation", "with", "respect", "to", "any", "given", "time", "is", "the", "Annual", "Cash", "Incentive", "Compensation", ".", "To", "avoid", "doubt", ",", "whether", "incentive", "compensation", "is", "awarded", ",", "the", "criteria", "governing", "any", "incentive", "compensation", ",", "and", "the", "amount", "of", "any", "incentive", "compensation", "is", "in", "the", "sole", "discretion", "of", "the", "Board", ".", "Except", "as", "provided", "in", "Section5", "(", "a", ")", ",", "to", "earn", "incentive", "compensation", ",", "the", "Executive", "must", "be", "employed", "by", "the", "Company", "on", "the", "last", "day", "of", "the", "calendar", "year", "to", "which", "the", "incentive", "compensation", "applies", ".", "Annual", "Cash", "Incentive", "Compensation", "shall", "be", "paid", "on", "or", "before", "March15th", "of", "the", "calendar", "year", "following", "the", "year", "for", "which", "the", "bonus", "was", "earned", "."]}
{"id": "11429", "text": "/s/ Alexey Margolin | | Alexey Margolin Its: | | Chief Executive Officer EXECUTIVE: /s/ Louis Brenner Louis Brenner , M.D.", "ner": [[3, 4, "Parties"], [13, 15, "Role"], [21, 22, "Parties"]], "tokenized_text": ["/", "s", "/", "Alexey", "Margolin", "|", "|", "Alexey", "Margolin", "Its", ":", "|", "|", "Chief", "Executive", "Officer", "EXECUTIVE", ":", "/", "s", "/", "Louis", "Brenner", "Louis", "Brenner", ",", "M", ".", "D", "."]}
{"id": "11431", "text": "This option will become exercisable (vest) as to 25% of the original number of Shares on the first anniversary of the Vesting Commencement Dale (as defined below) and as to an additional 2.0833% of the original number of Shares at the end of each successive month following the first anniversary of the Vesting Commencement Date until the fourth anniversary of the Vesting Commencement Date; provided that except as provided in Subsection B below, the Participant remains an Eligible Participant (as defined in Section3(b)) on each vesting date. For purposes of this Agreement, Vesting Commencement Date shall mean April6, 2015.", "ner": [[10, 11, "Percentage"], [20, 21, "TerminationDate"], [37, 40, "Percentage"], [65, 66, "TerminationDate"], [114, 116, "TerminationDate"]], "tokenized_text": ["This", "option", "will", "become", "exercisable", "(", "vest", ")", "as", "to", "25", "%", "of", "the", "original", "number", "of", "Shares", "on", "the", "first", "anniversary", "of", "the", "Vesting", "Commencement", "Dale", "(", "as", "defined", "below", ")", "and", "as", "to", "an", "additional", "2", ".", "0833", "%", "of", "the", "original", "number", "of", "Shares", "at", "the", "end", "of", "each", "successive", "month", "following", "the", "first", "anniversary", "of", "the", "Vesting", "Commencement", "Date", "until", "the", "fourth", "anniversary", "of", "the", "Vesting", "Commencement", "Date", ";", "provided", "that", "except", "as", "provided", "in", "Subsection", "B", "below", ",", "the", "Participant", "remains", "an", "Eligible", "Participant", "(", "as", "defined", "in", "Section3", "(", "b", ")", ")", "on", "each", "vesting", "date", ".", "For", "purposes", "of", "this", "Agreement", ",", "Vesting", "Commencement", "Date", "shall", "mean", "April6", ",", "2015", "."]}
{"id": "11432", "text": "(A) in the event (and on in the event) that a Reorganization Event (as defined in the Plan) is consummated prior to the first anniversary of the Vesting Commencement Date, then 25% of the original number of Shares that would otherwise vest on the first anniversary of the Vesting Commencement Date shall immediately vest and become available for exercise effective upon the consummation of the Reorganization Event, with monthly vesting to continue following the first anniversary of the Vesting Commencement Date as set forth and to the extent provided above;", "ner": [[29, 30, "TerminationDate"], [38, 39, "Percentage"]], "tokenized_text": ["(", "A", ")", "in", "the", "event", "(", "and", "on", "in", "the", "event", ")", "that", "a", "Reorganization", "Event", "(", "as", "defined", "in", "the", "Plan", ")", "is", "consummated", "prior", "to", "the", "first", "anniversary", "of", "the", "Vesting", "Commencement", "Date", ",", "then", "25", "%", "of", "the", "original", "number", "of", "Shares", "that", "would", "otherwise", "vest", "on", "the", "first", "anniversary", "of", "the", "Vesting", "Commencement", "Date", "shall", "immediately", "vest", "and", "become", "available", "for", "exercise", "effective", "upon", "the", "consummation", "of", "the", "Reorganization", "Event", ",", "with", "monthly", "vesting", "to", "continue", "following", "the", "first", "anniversary", "of", "the", "Vesting", "Commencement", "Date", "as", "set", "forth", "and", "to", "the", "extent", "provided", "above", ";"]}
{"id": "11433", "text": "(e) Termination for Cause. If, prior to the Final Exercise Date, the Participants employment is terminated by the Company for Cause (as defined below), the right to exercise this option shall terminate immediately upon the effective date of such termination of employment. If, prior to the Final Exercise Date, the Participant is given notice by the Company of the termination of his or her employment by the Company for Cause, and the effective date of such employment termination is subsequent to the date of delivery of such notice, the right to exercise this option shall be suspended from the time of the delivery of such notice until the earlier of (i)such time as it is determined or otherwise agreed that the Participants employment shall not be terminated for Cause as provided in such notice or (ii)the effective date of such termination of employment (in which case the right to exercise tins option shall, pursuant to the preceding sentence, terminate upon the effective date of such termination of employment). The Recipient is party to that certain employment agreement dated March17, 2015 (the Employment Agreement ) with the Company. For purposes of this option, the terms Cause and Good Reason shall have the meanings ascribed to such terms in the Employment Agreement .", "ner": [[202, 204, "EffectiveDate"], [207, 208, "Title"]], "tokenized_text": ["(", "e", ")", "Termination", "for", "Cause", ".", "If", ",", "prior", "to", "the", "Final", "Exercise", "Date", ",", "the", "Participants", "employment", "is", "terminated", "by", "the", "Company", "for", "Cause", "(", "as", "defined", "below", ")", ",", "the", "right", "to", "exercise", "this", "option", "shall", "terminate", "immediately", "upon", "the", "effective", "date", "of", "such", "termination", "of", "employment", ".", "If", ",", "prior", "to", "the", "Final", "Exercise", "Date", ",", "the", "Participant", "is", "given", "notice", "by", "the", "Company", "of", "the", "termination", "of", "his", "or", "her", "employment", "by", "the", "Company", "for", "Cause", ",", "and", "the", "effective", "date", "of", "such", "employment", "termination", "is", "subsequent", "to", "the", "date", "of", "delivery", "of", "such", "notice", ",", "the", "right", "to", "exercise", "this", "option", "shall", "be", "suspended", "from", "the", "time", "of", "the", "delivery", "of", "such", "notice", "until", "the", "earlier", "of", "(", "i", ")", "such", "time", "as", "it", "is", "determined", "or", "otherwise", "agreed", "that", "the", "Participants", "employment", "shall", "not", "be", "terminated", "for", "Cause", "as", "provided", "in", "such", "notice", "or", "(", "ii", ")", "the", "effective", "date", "of", "such", "termination", "of", "employment", "(", "in", "which", "case", "the", "right", "to", "exercise", "tins", "option", "shall", ",", "pursuant", "to", "the", "preceding", "sentence", ",", "terminate", "upon", "the", "effective", "date", "of", "such", "termination", "of", "employment", ")", ".", "The", "Recipient", "is", "party", "to", "that", "certain", "employment", "agreement", "dated", "March17", ",", "2015", "(", "the", "Employment", "Agreement", ")", "with", "the", "Company", ".", "For", "purposes", "of", "this", "option", ",", "the", "terms", "Cause", "and", "Good", "Reason", "shall", "have", "the", "meanings", "ascribed", "to", "such", "terms", "in", "the", "Employment", "Agreement", "."]}
{"id": "11435", "text": "--- PARTICIPANT: /s/ Louis Brenner * * *", "ner": [[8, 9, "Parties"]], "tokenized_text": ["-", "-", "-", "PARTICIPANT", ":", "/", "s", "/", "Louis", "Brenner", "*", "*", "*"]}
{"id": "11436", "text": "This agreement evidences the grant by Allena Pharmaceuticals, Inc. a Delaware corporation (the Company), on March10, 2016 (the Grant Date) to Lou Brenner, an employee of the Company (the Participant), of an option to purchase, in whole or in part on the terms provided herein and in the Companys 2011 Stock Incentive Plan (the Plan), a total of 320,000 shares (the Shares) of common stock, $0.001 par value per share, of the Company (Common Stock) at $0.38 per Share. Unless earlier terminated, this option shall expire at 5:00p.m ., Eastern time, on March9, 2026 (the Final Exercise Date).", "ner": [[20, 22, "TerminationDate"], [74, 76, "Shares"], [86, 89, "Price"], [103, 106, "Price"], [130, 132, "TerminationDate"]], "tokenized_text": ["This", "agreement", "evidences", "the", "grant", "by", "Allena", "Pharmaceuticals", ",", "Inc", ".", "a", "Delaware", "corporation", "(", "the", "Company", ")", ",", "on", "March10", ",", "2016", "(", "the", "Grant", "Date", ")", "to", "Lou", "Brenner", ",", "an", "employee", "of", "the", "Company", "(", "the", "Participant", ")", ",", "of", "an", "option", "to", "purchase", ",", "in", "whole", "or", "in", "part", "on", "the", "terms", "provided", "herein", "and", "in", "the", "Companys", "2011", "Stock", "Incentive", "Plan", "(", "the", "Plan", ")", ",", "a", "total", "of", "320", ",", "000", "shares", "(", "the", "Shares", ")", "of", "common", "stock", ",", "$", "0", ".", "001", "par", "value", "per", "share", ",", "of", "the", "Company", "(", "Common", "Stock", ")", "at", "$", "0", ".", "38", "per", "Share", ".", "Unless", "earlier", "terminated", ",", "this", "option", "shall", "expire", "at", "5", ":", "00p", ".", "m", ".", ",", "Eastern", "time", ",", "on", "March9", ",", "2026", "(", "the", "Final", "Exercise", "Date", ")", "."]}
{"id": "11437", "text": "This option will become exercisable (vest) as to 25% of the original number of Shares on the first anniversary of the Vesting Commencement Date (as defined below) and as to an additional 2.0833% of the original number of Shares at the end of each successive month following the first anniversary of me Vesting Commencement Date until the fourth anniversary of the Vesting Commencement Date, For purposes of this Agreement, Vesting Commencement Date shall mean December8, 2015.", "ner": [[10, 11, "Percentage"], [20, 21, "TerminationDate"], [37, 40, "Percentage"], [65, 66, "TerminationDate"], [84, 86, "TerminationDate"]], "tokenized_text": ["This", "option", "will", "become", "exercisable", "(", "vest", ")", "as", "to", "25", "%", "of", "the", "original", "number", "of", "Shares", "on", "the", "first", "anniversary", "of", "the", "Vesting", "Commencement", "Date", "(", "as", "defined", "below", ")", "and", "as", "to", "an", "additional", "2", ".", "0833", "%", "of", "the", "original", "number", "of", "Shares", "at", "the", "end", "of", "each", "successive", "month", "following", "the", "first", "anniversary", "of", "me", "Vesting", "Commencement", "Date", "until", "the", "fourth", "anniversary", "of", "the", "Vesting", "Commencement", "Date", ",", "For", "purposes", "of", "this", "Agreement", ",", "Vesting", "Commencement", "Date", "shall", "mean", "December8", ",", "2015", "."]}
{"id": "11441", "text": "I am the holder of 2 Stock Option granted to me under the Allena Pharmaceuticals, Inc. (the Company) 2011 Stock Incentive Plan on 3 for the purchase 4 shares of Common Stock of the Company at a purchase price of $5 per share.", "ner": [[44, 45, "Price"]], "tokenized_text": ["I", "am", "the", "holder", "of", "2", "Stock", "Option", "granted", "to", "me", "under", "the", "Allena", "Pharmaceuticals", ",", "Inc", ".", "(", "the", "Company", ")", "2011", "Stock", "Incentive", "Plan", "on", "3", "for", "the", "purchase", "4", "shares", "of", "Common", "Stock", "of", "the", "Company", "at", "a", "purchase", "price", "of", "$", "5", "per", "share", "."]}
{"id": "11442", "text": "1\\. I am purchasing the Shares for my own account for investment only, and not with a view to, or for sale in connection with, any distention of the Shares in violation of the Securities Act of 1933 (the Securities Act ), or any rule or regulation under the Securities Act . < br/>", "ner": [[39, 42, "Act"]], "tokenized_text": ["1", "\\", ".", "I", "am", "purchasing", "the", "Shares", "for", "my", "own", "account", "for", "investment", "only", ",", "and", "not", "with", "a", "view", "to", ",", "or", "for", "sale", "in", "connection", "with", ",", "any", "distention", "of", "the", "Shares", "in", "violation", "of", "the", "Securities", "Act", "of", "1933", "(", "the", "Securities", "Act", ")", ",", "or", "any", "rule", "or", "regulation", "under", "the", "Securities", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "11443", "text": "5\\. I understand that (i)the Shares have not been registered under the Securities Act and are restricted securities within the meaning of Rule 144 under the Securities Act , ( ii)the Shares cannot be sold, transferred or otherwise disposed of unless they are subsequently registered under the Securities Act or an exemption from registration is then available; (iii)in any event, the exemption from registration under Rule 144 will not be available for at least one year and even then will not be available unless a public market then exists for the Common Stock, adequate information concerning the Company is then available to the public, and other terms and conditions of Rule 144 are complied with: and (iv)there is now no registration statement on file with the Securities and Exchange Commission with respect to any stock of the Company and the Company has no obligation or current intention to register the Shares under the Securities Act . < br/>", "ner": [[17, 18, "Act"], [27, 28, "Regulation"]], "tokenized_text": ["5", "\\", ".", "I", "understand", "that", "(", "i", ")", "the", "Shares", "have", "not", "been", "registered", "under", "the", "Securities", "Act", "and", "are", "restricted", "securities", "within", "the", "meaning", "of", "Rule", "144", "under", "the", "Securities", "Act", ",", "(", "ii", ")", "the", "Shares", "cannot", "be", "sold", ",", "transferred", "or", "otherwise", "disposed", "of", "unless", "they", "are", "subsequently", "registered", "under", "the", "Securities", "Act", "or", "an", "exemption", "from", "registration", "is", "then", "available", ";", "(", "iii", ")", "in", "any", "event", ",", "the", "exemption", "from", "registration", "under", "Rule", "144", "will", "not", "be", "available", "for", "at", "least", "one", "year", "and", "even", "then", "will", "not", "be", "available", "unless", "a", "public", "market", "then", "exists", "for", "the", "Common", "Stock", ",", "adequate", "information", "concerning", "the", "Company", "is", "then", "available", "to", "the", "public", ",", "and", "other", "terms", "and", "conditions", "of", "Rule", "144", "are", "complied", "with", ":", "and", "(", "iv", ")", "there", "is", "now", "no", "registration", "statement", "on", "file", "with", "the", "Securities", "and", "Exchange", "Commission", "with", "respect", "to", "any", "stock", "of", "the", "Company", "and", "the", "Company", "has", "no", "obligation", "or", "current", "intention", "to", "register", "the", "Shares", "under", "the", "Securities", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "11446", "text": "(A) in the event (and only in the event) that a Reorganization Event (as defined in the Plan) is consummated prior to the first anniversary of the Vesting Commencement Date, then 25% of the original number of Shares shall immediately vest and become available for exercise effective upon the consummation of the Reorganization Event, with monthly vesting to continue following the first anniversary of the Vesting Commencement Date as set forth and to the extent provided above;", "ner": [[29, 30, "TerminationDate"], [38, 39, "Percentage"]], "tokenized_text": ["(", "A", ")", "in", "the", "event", "(", "and", "only", "in", "the", "event", ")", "that", "a", "Reorganization", "Event", "(", "as", "defined", "in", "the", "Plan", ")", "is", "consummated", "prior", "to", "the", "first", "anniversary", "of", "the", "Vesting", "Commencement", "Date", ",", "then", "25", "%", "of", "the", "original", "number", "of", "Shares", "shall", "immediately", "vest", "and", "become", "available", "for", "exercise", "effective", "upon", "the", "consummation", "of", "the", "Reorganization", "Event", ",", "with", "monthly", "vesting", "to", "continue", "following", "the", "first", "anniversary", "of", "the", "Vesting", "Commencement", "Date", "as", "set", "forth", "and", "to", "the", "extent", "provided", "above", ";"]}
{"id": "11447", "text": "The Participant agrees, in connection with the initial underwritten public offering of the Common Stock pursuant to a registration statement under the Securities Act , ( i)not to (a)offer, pledge, announce the intention to sell, sell, contract to sell, sell any option or contract to purchase, purchase any option or contract to sell, grant any option, right or warrant to purchase, or otherwise transfer or dispose of, directly or indirectly, any shares of Common Stock or any other securities of the Company or (b)enter into any swap or other agreement that transfers, in whole or in part, any of the economic consequences of ownership of shares of Common Stock or other securities of the Company, whether any transaction described in clause (a)or (b)is to be settled by delivery of securities, in cash or otherwise, during the period beginning on the date of the filing of such registration statement with the Securities and Exchange Commission and ending 180 days after the date of the final prospectus relating to the offering (plus up to an additional 34 days to the extent requested by the managing underwriters for such offering in order to address Rule 2711(f) of the National Association of Securities Dealers, Inc. or any similar successor provision), and (ii)to execute any agreement reflecting clause (i)above as may be requested by the Company or the managing underwriters at the time of such offering. The Company may impose stop- transfer instructions with respect to the shares of Common Stock or other securities subject to the foregoing restriction until the end of the lock-up period.", "ner": [[23, 24, "Act"], [223, 227, "Regulation"]], "tokenized_text": ["The", "Participant", "agrees", ",", "in", "connection", "with", "the", "initial", "underwritten", "public", "offering", "of", "the", "Common", "Stock", "pursuant", "to", "a", "registration", "statement", "under", "the", "Securities", "Act", ",", "(", "i", ")", "not", "to", "(", "a", ")", "offer", ",", "pledge", ",", "announce", "the", "intention", "to", "sell", ",", "sell", ",", "contract", "to", "sell", ",", "sell", "any", "option", "or", "contract", "to", "purchase", ",", "purchase", "any", "option", "or", "contract", "to", "sell", ",", "grant", "any", "option", ",", "right", "or", "warrant", "to", "purchase", ",", "or", "otherwise", "transfer", "or", "dispose", "of", ",", "directly", "or", "indirectly", ",", "any", "shares", "of", "Common", "Stock", "or", "any", "other", "securities", "of", "the", "Company", "or", "(", "b", ")", "enter", "into", "any", "swap", "or", "other", "agreement", "that", "transfers", ",", "in", "whole", "or", "in", "part", ",", "any", "of", "the", "economic", "consequences", "of", "ownership", "of", "shares", "of", "Common", "Stock", "or", "other", "securities", "of", "the", "Company", ",", "whether", "any", "transaction", "described", "in", "clause", "(", "a", ")", "or", "(", "b", ")", "is", "to", "be", "settled", "by", "delivery", "of", "securities", ",", "in", "cash", "or", "otherwise", ",", "during", "the", "period", "beginning", "on", "the", "date", "of", "the", "filing", "of", "such", "registration", "statement", "with", "the", "Securities", "and", "Exchange", "Commission", "and", "ending", "180", "days", "after", "the", "date", "of", "the", "final", "prospectus", "relating", "to", "the", "offering", "(", "plus", "up", "to", "an", "additional", "34", "days", "to", "the", "extent", "requested", "by", "the", "managing", "underwriters", "for", "such", "offering", "in", "order", "to", "address", "Rule", "2711", "(", "f", ")", "of", "the", "National", "Association", "of", "Securities", "Dealers", ",", "Inc", ".", "or", "any", "similar", "successor", "provision", ")", ",", "and", "(", "ii", ")", "to", "execute", "any", "agreement", "reflecting", "clause", "(", "i", ")", "above", "as", "may", "be", "requested", "by", "the", "Company", "or", "the", "managing", "underwriters", "at", "the", "time", "of", "such", "offering", ".", "The", "Company", "may", "impose", "stop", "-", "transfer", "instructions", "with", "respect", "to", "the", "shares", "of", "Common", "Stock", "or", "other", "securities", "subject", "to", "the", "foregoing", "restriction", "until", "the", "end", "of", "the", "lock-up", "period", "."]}
{"id": "11448", "text": "--- PARTICIPANT: /s/ Louis Brenner Louis Brenner * * *", "ner": [[8, 9, "Parties"]], "tokenized_text": ["-", "-", "-", "PARTICIPANT", ":", "/", "s", "/", "Louis", "Brenner", "Louis", "Brenner", "*", "*", "*"]}
{"id": "11450", "text": "1\\. I am purchasing the Shares for my own account for investment only, and not with a view to, or for sale in connection with, any distribution of the Shares in violation of the Securities Act of 1933 (the Securities Act ), or any rule or regulation under the Securities Act . < br/>", "ner": [[39, 42, "Act"]], "tokenized_text": ["1", "\\", ".", "I", "am", "purchasing", "the", "Shares", "for", "my", "own", "account", "for", "investment", "only", ",", "and", "not", "with", "a", "view", "to", ",", "or", "for", "sale", "in", "connection", "with", ",", "any", "distribution", "of", "the", "Shares", "in", "violation", "of", "the", "Securities", "Act", "of", "1933", "(", "the", "Securities", "Act", ")", ",", "or", "any", "rule", "or", "regulation", "under", "the", "Securities", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "11452", "text": "This Agreement is made by and between Allena Pharmaceuticals, Inc. , a Delaware corporation (hereinafter referred to collectively with its subsidiaries as the Company), and Louis Brenner (the Employee).", "ner": [[7, 11, "Parties"], [30, 31, "Parties"]], "tokenized_text": ["This", "Agreement", "is", "made", "by", "and", "between", "Allena", "Pharmaceuticals", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "hereinafter", "referred", "to", "collectively", "with", "its", "subsidiaries", "as", "the", "Company", ")", ",", "and", "Louis", "Brenner", "(", "the", "Employee", ")", "."]}
{"id": "11453", "text": "| | | | | | ---|---|---|---|---|---|--- | | | | Allena Pharmaceuticals, Inc. | | | Date: October 18, 2017 | | | | By: | |", "ner": [[37, 41, "Parties"], [47, 50, "EffectiveDate"]], "tokenized_text": ["|", "|", "|", "|", "|", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "|", "|", "|", "Allena", "Pharmaceuticals", ",", "Inc", ".", "|", "|", "|", "Date", ":", "October", "18", ",", "2017", "|", "|", "|", "|", "By", ":", "|", "|"]}
{"id": "11455", "text": "/s/ Louis Brenner * * *", "ner": [[3, 4, "Parties"]], "tokenized_text": ["/", "s", "/", "Louis", "Brenner", "*", "*", "*"]}
{"id": "11456", "text": "This Agreement is made between Allena Pharmaceuticals, Inc. , a Delaware corporation (hereinafter referred to collectively with its subsidiaries as the Company), with office at OneNewton Executive Park, Newton, MA 02462, and Louis Brenner (the Employee).", "ner": [[5, 9, "Parties"], [30, 37, "Address"], [40, 41, "Parties"]], "tokenized_text": ["This", "Agreement", "is", "made", "between", "Allena", "Pharmaceuticals", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "hereinafter", "referred", "to", "collectively", "with", "its", "subsidiaries", "as", "the", "Company", ")", ",", "with", "office", "at", "OneNewton", "Executive", "Park", ",", "Newton", ",", "MA", "02462", ",", "and", "Louis", "Brenner", "(", "the", "Employee", ")", "."]}
{"id": "11460", "text": "THIS AGREEMENT is entered into as of the date set forth below, by and between Village Bank and Trust Financial Corp. , a Virginia corporation (the Corporation), and William G. Foster, Jr. (the Executive) and is made effective October 1, 2017 .", "ner": [[16, 17, "Parties"], [19, 22, "Parties"], [33, 39, "Parties"], [48, 51, "EffectiveDate"]], "tokenized_text": ["THIS", "AGREEMENT", "is", "entered", "into", "as", "of", "the", "date", "set", "forth", "below", ",", "by", "and", "between", "Village", "Bank", "and", "Trust", "Financial", "Corp", ".", ",", "a", "Virginia", "corporation", "(", "the", "Corporation", ")", ",", "and", "William", "G", ".", "Foster", ",", "Jr", ".", "(", "the", "Executive", ")", "and", "is", "made", "effective", "October", "1", ",", "2017", "."]}
{"id": "11461", "text": "| 1.| EMPLOYMENT: The Corporation agrees to, and does hereby employ, the Executive, and the Executive agrees to, and does hereby accept such employment, for the period beginning on or before October 1, 2017 , and ending on September 30, 2020 , which period of employment may be extended or terminated only upon the terms and conditions hereinafter set forth. ---|---|---", "ner": [[47, 50, "TerminationDate"]], "tokenized_text": ["|", "1", ".", "|", "EMPLOYMENT", ":", "The", "Corporation", "agrees", "to", ",", "and", "does", "hereby", "employ", ",", "the", "Executive", ",", "and", "the", "Executive", "agrees", "to", ",", "and", "does", "hereby", "accept", "such", "employment", ",", "for", "the", "period", "beginning", "on", "or", "before", "October", "1", ",", "2017", ",", "and", "ending", "on", "September", "30", ",", "2020", ",", "which", "period", "of", "employment", "may", "be", "extended", "or", "terminated", "only", "upon", "the", "terms", "and", "conditions", "hereinafter", "set", "forth", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "11462", "text": "| 3.| EXECUTIVE DUTIES: The Executive agrees that, during the term of his employment under this Agreement and in his capacity of President and Chief Executive Officer , he will devote his full business time and energy to the business, affairs and interests of the Corporation and serve it diligently, to the best of his ability and in accordance with general business standards. The Executive, however, may devote reasonable time and energy to charitable and civic activities that enhance the reputation and good standing of the Executive and the Corporation in the community. The Executive shall comply with all policies, standards and regulations of the Corporation now or hereafter promulgated. The services and duties to be performed by the Executive shall be those appropriate to his office and title as currently and from time to time hereafter specified in the Corporations Bylaws or otherwise specified by the Board of Directors of the Corporation. ---|---|---", "ner": [[26, 26, "Role"], [28, 30, "Role"], [153, 153, "Title"]], "tokenized_text": ["|", "3", ".", "|", "EXECUTIVE", "DUTIES", ":", "The", "Executive", "agrees", "that", ",", "during", "the", "term", "of", "his", "employment", "under", "this", "Agreement", "and", "in", "his", "capacity", "of", "President", "and", "Chief", "Executive", "Officer", ",", "he", "will", "devote", "his", "full", "business", "time", "and", "energy", "to", "the", "business", ",", "affairs", "and", "interests", "of", "the", "Corporation", "and", "serve", "it", "diligently", ",", "to", "the", "best", "of", "his", "ability", "and", "in", "accordance", "with", "general", "business", "standards", ".", "The", "Executive", ",", "however", ",", "may", "devote", "reasonable", "time", "and", "energy", "to", "charitable", "and", "civic", "activities", "that", "enhance", "the", "reputation", "and", "good", "standing", "of", "the", "Executive", "and", "the", "Corporation", "in", "the", "community", ".", "The", "Executive", "shall", "comply", "with", "all", "policies", ",", "standards", "and", "regulations", "of", "the", "Corporation", "now", "or", "hereafter", "promulgated", ".", "The", "services", "and", "duties", "to", "be", "performed", "by", "the", "Executive", "shall", "be", "those", "appropriate", "to", "his", "office", "and", "title", "as", "currently", "and", "from", "time", "to", "time", "hereafter", "specified", "in", "the", "Corporations", "Bylaws", "or", "otherwise", "specified", "by", "the", "Board", "of", "Directors", "of", "the", "Corporation", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "11465", "text": "| 6.| ILLNESS: In the event the Executive is unable to perform the essential functions of his job, with or without reasonable accommodations, for a period of four (4) consecutive months by reason of illness or other physical or mental disability, the Corporation may terminate this Agreement without further or additional compensation being due the Executive from the Corporation pursuant to this Agreement, except benefits accrued through the date of such termination under Employee Benefit Plans of the Corporation. Executive will also be entitled to any long-term disability and other insurance or other benefits then regularly provided by the Corporation to disabled employees of senior executive status, as well as any other insurance benefits so provided, for which Executive qualifies. Notwithstanding any other provision in this Agreement, the Corporation will comply with the Americans with Disabilities Act and Family Medical Leave Act. ---|---|--- < br/>", "ner": [[32, 37, "TerminationDate"], [147, 150, "Act"], [152, 155, "Act"]], "tokenized_text": ["|", "6", ".", "|", "ILLNESS", ":", "In", "the", "event", "the", "Executive", "is", "unable", "to", "perform", "the", "essential", "functions", "of", "his", "job", ",", "with", "or", "without", "reasonable", "accommodations", ",", "for", "a", "period", "of", "four", "(", "4", ")", "consecutive", "months", "by", "reason", "of", "illness", "or", "other", "physical", "or", "mental", "disability", ",", "the", "Corporation", "may", "terminate", "this", "Agreement", "without", "further", "or", "additional", "compensation", "being", "due", "the", "Executive", "from", "the", "Corporation", "pursuant", "to", "this", "Agreement", ",", "except", "benefits", "accrued", "through", "the", "date", "of", "such", "termination", "under", "Employee", "Benefit", "Plans", "of", "the", "Corporation", ".", "Executive", "will", "also", "be", "entitled", "to", "any", "long-term", "disability", "and", "other", "insurance", "or", "other", "benefits", "then", "regularly", "provided", "by", "the", "Corporation", "to", "disabled", "employees", "of", "senior", "executive", "status", ",", "as", "well", "as", "any", "other", "insurance", "benefits", "so", "provided", ",", "for", "which", "Executive", "qualifies", ".", "Notwithstanding", "any", "other", "provision", "in", "this", "Agreement", ",", "the", "Corporation", "will", "comply", "with", "the", "Americans", "with", "Disabilities", "Act", "and", "Family", "Medical", "Leave", "Act", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "11466", "text": "| (i)| The Executive shall be paid two times the Executives Final Compensation. For purposes of this Agreement, Final Compensation means (a) the annual base salary in effect on the date of termination (or the annual base salary in effect immediately prior to a reduction in the Executives base salary in the event the Executive resigns for Good Reason based on Section 8(b)(iii) hereunder) and (b) an annual bonus amount equal to 30% of annual base salary. The payment of Final Compensation shall be made over twenty-four months in installments such that the Final Compensation payments are made at the same time as Executive would have received his base salary. ---|---|---", "ner": [[89, 90, "Percentage"], [105, 106, "TerminationDate"]], "tokenized_text": ["|", "(", "i", ")", "|", "The", "Executive", "shall", "be", "paid", "two", "times", "the", "Executives", "Final", "Compensation", ".", "For", "purposes", "of", "this", "Agreement", ",", "Final", "Compensation", "means", "(", "a", ")", "the", "annual", "base", "salary", "in", "effect", "on", "the", "date", "of", "termination", "(", "or", "the", "annual", "base", "salary", "in", "effect", "immediately", "prior", "to", "a", "reduction", "in", "the", "Executives", "base", "salary", "in", "the", "event", "the", "Executive", "resigns", "for", "Good", "Reason", "based", "on", "Section", "8", "(", "b", ")", "(", "iii", ")", "hereunder", ")", "and", "(", "b", ")", "an", "annual", "bonus", "amount", "equal", "to", "30", "%", "of", "annual", "base", "salary", ".", "The", "payment", "of", "Final", "Compensation", "shall", "be", "made", "over", "twenty-four", "months", "in", "installments", "such", "that", "the", "Final", "Compensation", "payments", "are", "made", "at", "the", "same", "time", "as", "Executive", "would", "have", "received", "his", "base", "salary", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "11467", "text": "| (iii)| If the Executive timely and properly elects continuation coverage under the Consolidated Omnibus Reconciliation Act of 1985 ( COBRA ), the Corporation shall reimburse the Executive for the difference between the monthly COBRA premium amount paid by the Executive for his and his eligible dependents group health insurance coverage and the monthly premium amount paid by similarly situated active employees of the Corporation. Such reimbursement shall be paid to the Executive by the tenth day of the month immediately following the month in which the Executive timely remits the COBRA premium payment. The Executive shall be eligible to receive such reimbursement until the earliest of: (A) twenty-four (24) months following the Executives termination; or (B) the date on which the Executive becomes eligible to receive substantially similar coverage from another employer. If Executive becomes ineligible for COBRA coverage before either of these events occur, the Corporation shall continue payments in the same amount to Executive for the remainder of the applicable time period. Notwithstanding the foregoing, if the Corporations payments under this Section 8(a)(iii) would violate the nondiscrimination rules applicable to non-grandfathered plans or would result in the imposition of penalties under applicable law, the parties agree to reform this Section 8(a)(iii) in a manner as is necessary to comply with applicable law. ---|---|---", "ner": [[16, 21, "Act"], [23, 23, "Act"], [38, 38, "Act"], [96, 96, "Act"], [153, 153, "Act"]], "tokenized_text": ["|", "(", "iii", ")", "|", "If", "the", "Executive", "timely", "and", "properly", "elects", "continuation", "coverage", "under", "the", "Consolidated", "Omnibus", "Reconciliation", "Act", "of", "1985", "(", "COBRA", ")", ",", "the", "Corporation", "shall", "reimburse", "the", "Executive", "for", "the", "difference", "between", "the", "monthly", "COBRA", "premium", "amount", "paid", "by", "the", "Executive", "for", "his", "and", "his", "eligible", "dependents", "group", "health", "insurance", "coverage", "and", "the", "monthly", "premium", "amount", "paid", "by", "similarly", "situated", "active", "employees", "of", "the", "Corporation", ".", "Such", "reimbursement", "shall", "be", "paid", "to", "the", "Executive", "by", "the", "tenth", "day", "of", "the", "month", "immediately", "following", "the", "month", "in", "which", "the", "Executive", "timely", "remits", "the", "COBRA", "premium", "payment", ".", "The", "Executive", "shall", "be", "eligible", "to", "receive", "such", "reimbursement", "until", "the", "earliest", "of", ":", "(", "A", ")", "twenty-four", "(", "24", ")", "months", "following", "the", "Executives", "termination", ";", "or", "(", "B", ")", "the", "date", "on", "which", "the", "Executive", "becomes", "eligible", "to", "receive", "substantially", "similar", "coverage", "from", "another", "employer", ".", "If", "Executive", "becomes", "ineligible", "for", "COBRA", "coverage", "before", "either", "of", "these", "events", "occur", ",", "the", "Corporation", "shall", "continue", "payments", "in", "the", "same", "amount", "to", "Executive", "for", "the", "remainder", "of", "the", "applicable", "time", "period", ".", "Notwithstanding", "the", "foregoing", ",", "if", "the", "Corporations", "payments", "under", "this", "Section", "8", "(", "a", ")", "(", "iii", ")", "would", "violate", "the", "nondiscrimination", "rules", "applicable", "to", "non-grandfathered", "plans", "or", "would", "result", "in", "the", "imposition", "of", "penalties", "under", "applicable", "law", ",", "the", "parties", "agree", "to", "reform", "this", "Section", "8", "(", "a", ")", "(", "iii", ")", "in", "a", "manner", "as", "is", "necessary", "to", "comply", "with", "applicable", "law", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "11468", "text": "| (ii)| The removal of the Executive from, or any failure to re-elect him to, the position of President and Chief Executive Officer of the Corporation or President and Chief Executive Officer of Village Bank, except in connection with a termination of his employment by the Corporation for Cause or by reason of the Executives death or disability; ---|---|---", "ner": [[23, 23, "Role"], [25, 27, "Role"], [34, 36, "Role"]], "tokenized_text": ["|", "(", "ii", ")", "|", "The", "removal", "of", "the", "Executive", "from", ",", "or", "any", "failure", "to", "re-elect", "him", "to", ",", "the", "position", "of", "President", "and", "Chief", "Executive", "Officer", "of", "the", "Corporation", "or", "President", "and", "Chief", "Executive", "Officer", "of", "Village", "Bank", ",", "except", "in", "connection", "with", "a", "termination", "of", "his", "employment", "by", "the", "Corporation", "for", "Cause", "or", "by", "reason", "of", "the", "Executives", "death", "or", "disability", ";", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "11471", "text": "| (b)| For purposes of this Agreement, a Change of Control shall mean (i) the acquisition by any person or group (as defined in Sections 13(d) and 14(d) of the Securities Exchange Act of 1934 (Exchange Act)), other than the Corporation, any subsidiary of the Corporation or any Corporations or subsidiarys employee benefit plan, directly or indirectly, as beneficial owner (as defined in Rule 13d-3 under the Exchange Act) of securities of the Corporation representing fifty percent ( 50% ) or more of either the then outstanding shares or the combined voting power of the then outstanding securities of the Corporation; (ii) either a majority of the directors of the Corporation elected at the Corporations most recent annual stockholders meeting shall have been nominated for election other than by or at the direction of the incumbent directors of the Corporation, or the incumbent directors shall cease to constitute a majority of the directors of the Corporation (the term incumbent director shall mean any director who was a director of the Corporation on January 1, 2017 and any individual who becomes a director of the Corporation subsequent to January 1, 2017 and who is elected or nominated by or at the direction of at least two-thirds of the then incumbent directors); (iii) the Corporation consummates a reorganization, merger, share exchange, consolidation or other business combination (a Reorganization) with any other person or group (as defined in Sections 13(d) and 14(d) of the Exchange Act) or affiliate thereof, other than a Reorganization that would result in the outstanding common stock of the Corporation immediately prior thereto continuing to represent, either by remaining outstanding or by being converted into common stock of the surviving entity or a parent or affiliate thereof, at least fifty percent ( 50% ) of the common stock of the Corporation or such surviving entity or a parent or affiliate thereof outstanding immediately after the Reorganization; or (iv) a plan of complete liquidation of the Corporation or an agreement for the sale or disposition by the Corporation of all or substantially all of the Corporations assets. ---|---|---", "ner": [[43, 47, "Act"], [84, 85, "Regulation"], [100, 101, "Percentage"], [343, 344, "Percentage"]], "tokenized_text": ["|", "(", "b", ")", "|", "For", "purposes", "of", "this", "Agreement", ",", "a", "Change", "of", "Control", "shall", "mean", "(", "i", ")", "the", "acquisition", "by", "any", "person", "or", "group", "(", "as", "defined", "in", "Sections", "13", "(", "d", ")", "and", "14", "(", "d", ")", "of", "the", "Securities", "Exchange", "Act", "of", "1934", "(", "Exchange", "Act", ")", ")", ",", "other", "than", "the", "Corporation", ",", "any", "subsidiary", "of", "the", "Corporation", "or", "any", "Corporations", "or", "subsidiarys", "employee", "benefit", "plan", ",", "directly", "or", "indirectly", ",", "as", "beneficial", "owner", "(", "as", "defined", "in", "Rule", "13d-3", "under", "the", "Exchange", "Act", ")", "of", "securities", "of", "the", "Corporation", "representing", "fifty", "percent", "(", "50", "%", ")", "or", "more", "of", "either", "the", "then", "outstanding", "shares", "or", "the", "combined", "voting", "power", "of", "the", "then", "outstanding", "securities", "of", "the", "Corporation", ";", "(", "ii", ")", "either", "a", "majority", "of", "the", "directors", "of", "the", "Corporation", "elected", "at", "the", "Corporations", "most", "recent", "annual", "stockholders", "meeting", "shall", "have", "been", "nominated", "for", "election", "other", "than", "by", "or", "at", "the", "direction", "of", "the", "incumbent", "directors", "of", "the", "Corporation", ",", "or", "the", "incumbent", "directors", "shall", "cease", "to", "constitute", "a", "majority", "of", "the", "directors", "of", "the", "Corporation", "(", "the", "term", "incumbent", "director", "shall", "mean", "any", "director", "who", "was", "a", "director", "of", "the", "Corporation", "on", "January", "1", ",", "2017", "and", "any", "individual", "who", "becomes", "a", "director", "of", "the", "Corporation", "subsequent", "to", "January", "1", ",", "2017", "and", "who", "is", "elected", "or", "nominated", "by", "or", "at", "the", "direction", "of", "at", "least", "two-thirds", "of", "the", "then", "incumbent", "directors", ")", ";", "(", "iii", ")", "the", "Corporation", "consummates", "a", "reorganization", ",", "merger", ",", "share", "exchange", ",", "consolidation", "or", "other", "business", "combination", "(", "a", "Reorganization", ")", "with", "any", "other", "person", "or", "group", "(", "as", "defined", "in", "Sections", "13", "(", "d", ")", "and", "14", "(", "d", ")", "of", "the", "Exchange", "Act", ")", "or", "affiliate", "thereof", ",", "other", "than", "a", "Reorganization", "that", "would", "result", "in", "the", "outstanding", "common", "stock", "of", "the", "Corporation", "immediately", "prior", "thereto", "continuing", "to", "represent", ",", "either", "by", "remaining", "outstanding", "or", "by", "being", "converted", "into", "common", "stock", "of", "the", "surviving", "entity", "or", "a", "parent", "or", "affiliate", "thereof", ",", "at", "least", "fifty", "percent", "(", "50", "%", ")", "of", "the", "common", "stock", "of", "the", "Corporation", "or", "such", "surviving", "entity", "or", "a", "parent", "or", "affiliate", "thereof", "outstanding", "immediately", "after", "the", "Reorganization", ";", "or", "(", "iv", ")", "a", "plan", "of", "complete", "liquidation", "of", "the", "Corporation", "or", "an", "agreement", "for", "the", "sale", "or", "disposition", "by", "the", "Corporation", "of", "all", "or", "substantially", "all", "of", "the", "Corporations", "assets", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "11476", "text": "| 21.| POSSIBLE REDUCTION IN PAYMENT AND BENEFITS: No amounts will be payable and no benefits will be provided under this Agreement to the extent that such payments or benefits, together with other payments or benefits under other plans, agreements or arrangements, would make the Executive liable for the payment of an excise tax under Code Section 4999 or any successor provision. The amounts otherwise payable and the benefits otherwise to be provided under this Agreement shall be reduced in a manner determined by the Corporation (by the minimum possible amount) that is consistent with the requirements of Code Section 409A until no amount payable to the Executive will be subject to such excise tax. All calculations and determinations under this Section 21 shall be made by an independent accounting firm or independent tax counsel appointed by the Corporation (the Tax Advisor) whose determinations shall be conclusive and binding on the Corporation and the Executive for all purposes. The Tax Advisor may rely on reasonable, good faith assumptions and approximations concerning the application of Code Section 280G and Code Section 4999\\. The Corporation shall bear all costs of the Tax Advisor. In the event that the payment to the Executive under Sections 8(a)(i) or 10(a)(i) is reduced in accordance with this paragraph, the length of the the noncompete and nonsolicitation periods described in Sections 11(a), 11(b) and 11(c) shall be reduced proportionally. For example and for illustrative purposes, if the payment is reduced by 50% , the noncompete and nonsolicition periods shall be reduced by 50% . ---|---|---", "ner": [[61, 63, "Regulation"], [107, 109, "Regulation"], [188, 190, "Regulation"], [253, 262, "Regulation"], [264, 267, "Regulation"], [286, 287, "Percentage"], [298, 299, "Percentage"]], "tokenized_text": ["|", "21", ".", "|", "POSSIBLE", "REDUCTION", "IN", "PAYMENT", "AND", "BENEFITS", ":", "No", "amounts", "will", "be", "payable", "and", "no", "benefits", "will", "be", "provided", "under", "this", "Agreement", "to", "the", "extent", "that", "such", "payments", "or", "benefits", ",", "together", "with", "other", "payments", "or", "benefits", "under", "other", "plans", ",", "agreements", "or", "arrangements", ",", "would", "make", "the", "Executive", "liable", "for", "the", "payment", "of", "an", "excise", "tax", "under", "Code", "Section", "4999", "or", "any", "successor", "provision", ".", "The", "amounts", "otherwise", "payable", "and", "the", "benefits", "otherwise", "to", "be", "provided", "under", "this", "Agreement", "shall", "be", "reduced", "in", "a", "manner", "determined", "by", "the", "Corporation", "(", "by", "the", "minimum", "possible", "amount", ")", "that", "is", "consistent", "with", "the", "requirements", "of", "Code", "Section", "409A", "until", "no", "amount", "payable", "to", "the", "Executive", "will", "be", "subject", "to", "such", "excise", "tax", ".", "All", "calculations", "and", "determinations", "under", "this", "Section", "21", "shall", "be", "made", "by", "an", "independent", "accounting", "firm", "or", "independent", "tax", "counsel", "appointed", "by", "the", "Corporation", "(", "the", "Tax", "Advisor", ")", "whose", "determinations", "shall", "be", "conclusive", "and", "binding", "on", "the", "Corporation", "and", "the", "Executive", "for", "all", "purposes", ".", "The", "Tax", "Advisor", "may", "rely", "on", "reasonable", ",", "good", "faith", "assumptions", "and", "approximations", "concerning", "the", "application", "of", "Code", "Section", "280G", "and", "Code", "Section", "4999", "\\", ".", "The", "Corporation", "shall", "bear", "all", "costs", "of", "the", "Tax", "Advisor", ".", "In", "the", "event", "that", "the", "payment", "to", "the", "Executive", "under", "Sections", "8", "(", "a", ")", "(", "i", ")", "or", "10", "(", "a", ")", "(", "i", ")", "is", "reduced", "in", "accordance", "with", "this", "paragraph", ",", "the", "length", "of", "the", "the", "noncompete", "and", "nonsolicitation", "periods", "described", "in", "Sections", "11", "(", "a", ")", ",", "11", "(", "b", ")", "and", "11", "(", "c", ")", "shall", "be", "reduced", "proportionally", ".", "For", "example", "and", "for", "illustrative", "purposes", ",", "if", "the", "payment", "is", "reduced", "by", "50", "%", ",", "the", "noncompete", "and", "nonsolicition", "periods", "shall", "be", "reduced", "by", "50", "%", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "11478", "text": "This Executive Employment Agreement (this Agreement) is entered into on October 10, 2017 and will be effecitve as of October 16, 2017 (Effective Date), by and between Synergy CHC Corp. , a Nevada corporation (the Company), and Jeffrey Kadanoff (the Executive).", "ner": [[1, 3, "Title"], [12, 15, "EffectiveDate"], [22, 25, "EffectiveDate"], [34, 37, "Parties"], [48, 49, "Parties"]], "tokenized_text": ["This", "Executive", "Employment", "Agreement", "(", "this", "Agreement", ")", "is", "entered", "into", "on", "October", "10", ",", "2017", "and", "will", "be", "effecitve", "as", "of", "October", "16", ",", "2017", "(", "Effective", "Date", ")", ",", "by", "and", "between", "Synergy", "CHC", "Corp", ".", ",", "a", "Nevada", "corporation", "(", "the", "Company", ")", ",", "and", "Jeffrey", "Kadanoff", "(", "the", "Executive", ")", "."]}
{"id": "11479", "text": "WHEREAS, the Company wishes to employ Executive as its Chief Financial Officer on the terms and conditions set forth in this Agreement;", "ner": [[3, 3, "Parties"], [10, 12, "Role"], [22, 22, "Title"]], "tokenized_text": ["WHEREAS", ",", "the", "Company", "wishes", "to", "employ", "Executive", "as", "its", "Chief", "Financial", "Officer", "on", "the", "terms", "and", "conditions", "set", "forth", "in", "this", "Agreement", ";"]}
{"id": "11484", "text": "(c) Annual Bonus Opportunity. Beginning with calendar year 2018, Executive will be eligible to receive an annual bonus of up to fifty percent ( 50% ) of Executives Base Salary (the Annual Bonus). The actual amount of such Annual Bonus will be determined by the Companys Board of Directors (the Board) based upon achievement of financial and other performance-related goals established in writing by the Board in consultation with Executive no later than December 31 of each calendar year during the Term. For calendar year 2017, Executive shall receive an Annual Bonus of $37,500 . For calendar year 2018, one-half of the Annual Bonus will be based upon the Companys achievement of net income measured against targets to be reasonably established by the Board in writing, and one-half of the Annual Bonus will be based upon the Companys conclusion of an equity financing resulting in proceeds of at least $10,000,000 to the Company. For each applicable year, the Board will determine on or before January 31 of the applicable year (the Determination Date), after consultation with Executive, which consultation shall take place no less than ten (10) business days before the Determination Date, the extent to which applicable Annual Bonus criteria have been met and the amount of the resulting Annual Bonus, if any. The Annual Bonus for any given year will be payable between January 1 and March 15 in the year immediately following the year in which the Annual Bonus, if any, is earned. To the extent cash bonuses to the Companys management are restricted by the Companys Amended and Restated Loan Agreement with Knight Therapeutics (Barbados) Inc. (the Loan Agreement), the Company may pay up to one-half of the Annual Bonus in Company stock as required to comply with the Loan Agreement, based on the Fair Market Value of the stock on the Determination Date, with the remainder paid in cash. As used in this Agreement, the term Fair Market Value has the meaning provided in the Companys 2014 Equity Incentive Plan (the Plan). Except as otherwise provided in Section 6(b) below, Executive must be employed by the Company on the Determination Date in order to receive the Annual Bonus for that year.", "ner": [[28, 29, "Percentage"], [105, 108, "Salary"], [115, 115, "Ratio"], [144, 144, "Ratio"], [166, 171, "Principal"], [299, 300, "Title"], [311, 312, "Title"], [321, 321, "Ratio"], [335, 336, "Title"]], "tokenized_text": ["(", "c", ")", "Annual", "Bonus", "Opportunity", ".", "Beginning", "with", "calendar", "year", "2018", ",", "Executive", "will", "be", "eligible", "to", "receive", "an", "annual", "bonus", "of", "up", "to", "fifty", "percent", "(", "50", "%", ")", "of", "Executives", "Base", "Salary", "(", "the", "Annual", "Bonus", ")", ".", "The", "actual", "amount", "of", "such", "Annual", "Bonus", "will", "be", "determined", "by", "the", "Companys", "Board", "of", "Directors", "(", "the", "Board", ")", "based", "upon", "achievement", "of", "financial", "and", "other", "performance-related", "goals", "established", "in", "writing", "by", "the", "Board", "in", "consultation", "with", "Executive", "no", "later", "than", "December", "31", "of", "each", "calendar", "year", "during", "the", "Term", ".", "For", "calendar", "year", "2017", ",", "Executive", "shall", "receive", "an", "Annual", "Bonus", "of", "$", "37", ",", "500", ".", "For", "calendar", "year", "2018", ",", "one-half", "of", "the", "Annual", "Bonus", "will", "be", "based", "upon", "the", "Companys", "achievement", "of", "net", "income", "measured", "against", "targets", "to", "be", "reasonably", "established", "by", "the", "Board", "in", "writing", ",", "and", "one-half", "of", "the", "Annual", "Bonus", "will", "be", "based", "upon", "the", "Companys", "conclusion", "of", "an", "equity", "financing", "resulting", "in", "proceeds", "of", "at", "least", "$", "10", ",", "000", ",", "000", "to", "the", "Company", ".", "For", "each", "applicable", "year", ",", "the", "Board", "will", "determine", "on", "or", "before", "January", "31", "of", "the", "applicable", "year", "(", "the", "Determination", "Date", ")", ",", "after", "consultation", "with", "Executive", ",", "which", "consultation", "shall", "take", "place", "no", "less", "than", "ten", "(", "10", ")", "business", "days", "before", "the", "Determination", "Date", ",", "the", "extent", "to", "which", "applicable", "Annual", "Bonus", "criteria", "have", "been", "met", "and", "the", "amount", "of", "the", "resulting", "Annual", "Bonus", ",", "if", "any", ".", "The", "Annual", "Bonus", "for", "any", "given", "year", "will", "be", "payable", "between", "January", "1", "and", "March", "15", "in", "the", "year", "immediately", "following", "the", "year", "in", "which", "the", "Annual", "Bonus", ",", "if", "any", ",", "is", "earned", ".", "To", "the", "extent", "cash", "bonuses", "to", "the", "Companys", "management", "are", "restricted", "by", "the", "Companys", "Amended", "and", "Restated", "Loan", "Agreement", "with", "Knight", "Therapeutics", "(", "Barbados", ")", "Inc", ".", "(", "the", "Loan", "Agreement", ")", ",", "the", "Company", "may", "pay", "up", "to", "one-half", "of", "the", "Annual", "Bonus", "in", "Company", "stock", "as", "required", "to", "comply", "with", "the", "Loan", "Agreement", ",", "based", "on", "the", "Fair", "Market", "Value", "of", "the", "stock", "on", "the", "Determination", "Date", ",", "with", "the", "remainder", "paid", "in", "cash", ".", "As", "used", "in", "this", "Agreement", ",", "the", "term", "Fair", "Market", "Value", "has", "the", "meaning", "provided", "in", "the", "Companys", "2014", "Equity", "Incentive", "Plan", "(", "the", "Plan", ")", ".", "Except", "as", "otherwise", "provided", "in", "Section", "6", "(", "b", ")", "below", ",", "Executive", "must", "be", "employed", "by", "the", "Company", "on", "the", "Determination", "Date", "in", "order", "to", "receive", "the", "Annual", "Bonus", "for", "that", "year", "."]}
{"id": "11486", "text": "(ii) Initial Stock Option Grant. The Company will grant Executive an option to purchase 1,500,000 shares of the Companys common stock (the Initial Option). The exercise price of the Initial Option will be $0.55 . The Initial Option will expire on the tenth anniversary of the grant date. The Initial Option will vest in three (3) equal annual installments on the first three anniversaries of the Start Date, provided that Executive remains employed by the Company on each such date. The Initial Option will be subject to the terms of the Plan and a related option grant agreement to be entered between Executive and the Company. The parties intend that the vesting schedule of the Initial Option shall be no less favorable than any option grant to the Companys Chief Executive Officer made during the term of this Agreement, and as such, the vesting schedule of the Initial Option will be automatically adjusted when and as necessary to implement such intent.", "ner": [[17, 21, "Shares"], [43, 46, "Price"], [55, 56, "TerminationDate"], [148, 150, "Role"]], "tokenized_text": ["(", "ii", ")", "Initial", "Stock", "Option", "Grant", ".", "The", "Company", "will", "grant", "Executive", "an", "option", "to", "purchase", "1", ",", "500", ",", "000", "shares", "of", "the", "Companys", "common", "stock", "(", "the", "Initial", "Option", ")", ".", "The", "exercise", "price", "of", "the", "Initial", "Option", "will", "be", "$", "0", ".", "55", ".", "The", "Initial", "Option", "will", "expire", "on", "the", "tenth", "anniversary", "of", "the", "grant", "date", ".", "The", "Initial", "Option", "will", "vest", "in", "three", "(", "3", ")", "equal", "annual", "installments", "on", "the", "first", "three", "anniversaries", "of", "the", "Start", "Date", ",", "provided", "that", "Executive", "remains", "employed", "by", "the", "Company", "on", "each", "such", "date", ".", "The", "Initial", "Option", "will", "be", "subject", "to", "the", "terms", "of", "the", "Plan", "and", "a", "related", "option", "grant", "agreement", "to", "be", "entered", "between", "Executive", "and", "the", "Company", ".", "The", "parties", "intend", "that", "the", "vesting", "schedule", "of", "the", "Initial", "Option", "shall", "be", "no", "less", "favorable", "than", "any", "option", "grant", "to", "the", "Companys", "Chief", "Executive", "Officer", "made", "during", "the", "term", "of", "this", "Agreement", ",", "and", "as", "such", ",", "the", "vesting", "schedule", "of", "the", "Initial", "Option", "will", "be", "automatically", "adjusted", "when", "and", "as", "necessary", "to", "implement", "such", "intent", "."]}
{"id": "11487", "text": "(iii) Future Stock Option Grants. Subject to the approval by the Board, during each calendar year of Executives employment with the Company beginning with 2018, the Company will grant to Executive an option to purchase 500,000 shares of the Companys common stock (such options collectively the Additional Options). The exercise price of each Additional Option will be the Fair Market Value of the common stock on the date each such Additional Option is granted. Each Additional Option will expire on the tenth anniversary of the date of grant of such Additional Option. The Additional Options will vest in three (3) equal annual installments on the first three anniversaries of the date of grant of such Additional Option, provided that Executive remains employed by the Company on each such date. The Additional Options will be subject to the terms of the Plan and related option grant agreements to be entered between Executive and the Company.", "ner": [[40, 42, "Shares"], [68, 70, "Price"], [92, 93, "TerminationDate"]], "tokenized_text": ["(", "iii", ")", "Future", "Stock", "Option", "Grants", ".", "Subject", "to", "the", "approval", "by", "the", "Board", ",", "during", "each", "calendar", "year", "of", "Executives", "employment", "with", "the", "Company", "beginning", "with", "2018", ",", "the", "Company", "will", "grant", "to", "Executive", "an", "option", "to", "purchase", "500", ",", "000", "shares", "of", "the", "Companys", "common", "stock", "(", "such", "options", "collectively", "the", "Additional", "Options", ")", ".", "The", "exercise", "price", "of", "each", "Additional", "Option", "will", "be", "the", "Fair", "Market", "Value", "of", "the", "common", "stock", "on", "the", "date", "each", "such", "Additional", "Option", "is", "granted", ".", "Each", "Additional", "Option", "will", "expire", "on", "the", "tenth", "anniversary", "of", "the", "date", "of", "grant", "of", "such", "Additional", "Option", ".", "The", "Additional", "Options", "will", "vest", "in", "three", "(", "3", ")", "equal", "annual", "installments", "on", "the", "first", "three", "anniversaries", "of", "the", "date", "of", "grant", "of", "such", "Additional", "Option", ",", "provided", "that", "Executive", "remains", "employed", "by", "the", "Company", "on", "each", "such", "date", ".", "The", "Additional", "Options", "will", "be", "subject", "to", "the", "terms", "of", "the", "Plan", "and", "related", "option", "grant", "agreements", "to", "be", "entered", "between", "Executive", "and", "the", "Company", "."]}
{"id": "11493", "text": "(j) Governing Law. This Agreement will be governed by the laws of the State of New York without giving effect to any choice or conflict of law principles of any jurisdiction.", "ner": [[16, 19, "Court"]], "tokenized_text": ["(", "j", ")", "Governing", "Law", ".", "This", "Agreement", "will", "be", "governed", "by", "the", "laws", "of", "the", "State", "of", "New", "York", "without", "giving", "effect", "to", "any", "choice", "or", "conflict", "of", "law", "principles", "of", "any", "jurisdiction", "."]}
{"id": "11494", "text": "EXECUTIVE: | | COMPANY: ---|---|--- | | | | Synergy CHC Corp. | | | /s/ Jeffey Kadanoff | | By: | /s/ Jack Ross Jeffrey Kadanoff | | | Jack Ross | | | Chief Executive Officer", "ner": [[21, 24, "Parties"], [31, 32, "Parties"], [41, 44, "Parties"], [53, 55, "Role"]], "tokenized_text": ["EXECUTIVE", ":", "|", "|", "COMPANY", ":", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "|", "|", "|", "Synergy", "CHC", "Corp", ".", "|", "|", "|", "/", "s", "/", "Jeffey", "Kadanoff", "|", "|", "By", ":", "|", "/", "s", "/", "Jack", "Ross", "Jeffrey", "Kadanoff", "|", "|", "|", "Jack", "Ross", "|", "|", "|", "Chief", "Executive", "Officer"]}
{"id": "11496", "text": "This Employment Agreement (this Agreement) is made as of October 9 2017 , between Joseph M. Zubretsky (the Executive) and Molina Healthcare, Inc. (the Employer).", "ner": [[1, 2, "Title"], [11, 13, "EffectiveDate"], [16, 19, "Parties"], [25, 29, "Parties"]], "tokenized_text": ["This", "Employment", "Agreement", "(", "this", "Agreement", ")", "is", "made", "as", "of", "October", "9", "2017", ",", "between", "Joseph", "M", ".", "Zubretsky", "(", "the", "Executive", ")", "and", "Molina", "Healthcare", ",", "Inc", ".", "(", "the", "Employer", ")", "."]}
{"id": "11498", "text": "2.Duties. The Executive shall work for the Employer in a full-time capacity. The Executive shall, during the term of this Agreement, have the duties, responsibilities, powers, and authority customarily associated with the positions of President and Chief Executive Officer . The Executive shall report to, and follow the direction of, the Board of Directors of the Employer (the Board). The Executive shall receive an interim appointment to the Board effective as of the Start Date and shall be nominated for reelection to the Board at the expiration of each term of office provided he is then the Chief Executive Officer of the Employer. The Executive agrees to serve as a member of the Board for each period for which he is so appointed or elected. In addition to, or in lieu of, the foregoing, the Executive also shall perform such other and related services and duties that are commensurate with his positions as may be assigned to him from time to time by the Board. The Executive shall diligently, competently, and faithfully perform all duties, and shall devote his entire business time, energy, attention, and skill to the performance of duties for the Employer or its affiliates and will use his best efforts to promote the interests of the Employer. Notwithstanding the foregoing, the Executive shall be permitted to (i) engage in charitable and community affairs, and (ii) make direct investments of any character in any non-competing business or businesses and to manage such investments (but not be involved in the day-to-day operations of any such business); provided, in each case, and in the aggregate, that such activities do not interfere with the performance of the Executives duties hereunder.", "ner": [[43, 43, "Role"], [45, 47, "Role"], [111, 113, "Role"], [315, 315, "Role"]], "tokenized_text": ["2", ".", "Duties", ".", "The", "Executive", "shall", "work", "for", "the", "Employer", "in", "a", "full-time", "capacity", ".", "The", "Executive", "shall", ",", "during", "the", "term", "of", "this", "Agreement", ",", "have", "the", "duties", ",", "responsibilities", ",", "powers", ",", "and", "authority", "customarily", "associated", "with", "the", "positions", "of", "President", "and", "Chief", "Executive", "Officer", ".", "The", "Executive", "shall", "report", "to", ",", "and", "follow", "the", "direction", "of", ",", "the", "Board", "of", "Directors", "of", "the", "Employer", "(", "the", "Board", ")", ".", "The", "Executive", "shall", "receive", "an", "interim", "appointment", "to", "the", "Board", "effective", "as", "of", "the", "Start", "Date", "and", "shall", "be", "nominated", "for", "reelection", "to", "the", "Board", "at", "the", "expiration", "of", "each", "term", "of", "office", "provided", "he", "is", "then", "the", "Chief", "Executive", "Officer", "of", "the", "Employer", ".", "The", "Executive", "agrees", "to", "serve", "as", "a", "member", "of", "the", "Board", "for", "each", "period", "for", "which", "he", "is", "so", "appointed", "or", "elected", ".", "In", "addition", "to", ",", "or", "in", "lieu", "of", ",", "the", "foregoing", ",", "the", "Executive", "also", "shall", "perform", "such", "other", "and", "related", "services", "and", "duties", "that", "are", "commensurate", "with", "his", "positions", "as", "may", "be", "assigned", "to", "him", "from", "time", "to", "time", "by", "the", "Board", ".", "The", "Executive", "shall", "diligently", ",", "competently", ",", "and", "faithfully", "perform", "all", "duties", ",", "and", "shall", "devote", "his", "entire", "business", "time", ",", "energy", ",", "attention", ",", "and", "skill", "to", "the", "performance", "of", "duties", "for", "the", "Employer", "or", "its", "affiliates", "and", "will", "use", "his", "best", "efforts", "to", "promote", "the", "interests", "of", "the", "Employer", ".", "Notwithstanding", "the", "foregoing", ",", "the", "Executive", "shall", "be", "permitted", "to", "(", "i", ")", "engage", "in", "charitable", "and", "community", "affairs", ",", "and", "(", "ii", ")", "make", "direct", "investments", "of", "any", "character", "in", "any", "non-competing", "business", "or", "businesses", "and", "to", "manage", "such", "investments", "(", "but", "not", "be", "involved", "in", "the", "day-to-day", "operations", "of", "any", "such", "business", ")", ";", "provided", ",", "in", "each", "case", ",", "and", "in", "the", "aggregate", ",", "that", "such", "activities", "do", "not", "interfere", "with", "the", "performance", "of", "the", "Executives", "duties", "hereunder", "."]}
{"id": "11500", "text": "B. The Executive shall not be eligible for a bonus for performance in calendar year in 2017. Beginning with calendar year 2018, the Executive shall be eligible to earn annual performance and/or discretionary bonuses as determined each year at the discretion of the Compensation Committee based upon goals developed each year by the Compensation Committee in consultation with the Executive. The Executive shall be entitled to participate in all bonus or incentive plans applicable to the senior executives of the Employer. For calendar year 2018 and subsequent years, the Executives target bonus shall be one hundred fifty percent ( 150% ) of the Executives Base Salary then in effect, with a maximum payout of three hundred percent (300%) of the Executives Base Salary then in effect. Bonus compensation earned and payable pursuant hereto shall be paid in non-deferred cash in the calendar year following the fiscal year for which the bonus is earned, and in no event shall such payment be made later than March 15 of such following calendar year.", "ner": [[102, 105, "Percentage"], [107, 108, "Percentage"], [124, 126, "Percentage"], [128, 129, "Percentage"]], "tokenized_text": ["B", ".", "The", "Executive", "shall", "not", "be", "eligible", "for", "a", "bonus", "for", "performance", "in", "calendar", "year", "in", "2017", ".", "Beginning", "with", "calendar", "year", "2018", ",", "the", "Executive", "shall", "be", "eligible", "to", "earn", "annual", "performance", "and", "/", "or", "discretionary", "bonuses", "as", "determined", "each", "year", "at", "the", "discretion", "of", "the", "Compensation", "Committee", "based", "upon", "goals", "developed", "each", "year", "by", "the", "Compensation", "Committee", "in", "consultation", "with", "the", "Executive", ".", "The", "Executive", "shall", "be", "entitled", "to", "participate", "in", "all", "bonus", "or", "incentive", "plans", "applicable", "to", "the", "senior", "executives", "of", "the", "Employer", ".", "For", "calendar", "year", "2018", "and", "subsequent", "years", ",", "the", "Executives", "target", "bonus", "shall", "be", "one", "hundred", "fifty", "percent", "(", "150", "%", ")", "of", "the", "Executives", "Base", "Salary", "then", "in", "effect", ",", "with", "a", "maximum", "payout", "of", "three", "hundred", "percent", "(", "300", "%", ")", "of", "the", "Executives", "Base", "Salary", "then", "in", "effect", ".", "Bonus", "compensation", "earned", "and", "payable", "pursuant", "hereto", "shall", "be", "paid", "in", "non-deferred", "cash", "in", "the", "calendar", "year", "following", "the", "fiscal", "year", "for", "which", "the", "bonus", "is", "earned", ",", "and", "in", "no", "event", "shall", "such", "payment", "be", "made", "later", "than", "March", "15", "of", "such", "following", "calendar", "year", "."]}
{"id": "11502", "text": "(1) the assignment to the Executive of any duties materially inconsistent in any respect with Paragraph 2 of this Agreement, or any other action by the Employer that results in a material diminution in the Executives title, authority, duties, responsibilities, or reporting relationships (for the sake of clarification, a Change in Control in itself shall not constitute grounds for Good Reason unless there shall also have been such assignment of such duties or such material diminution (which, for the sake of further clarification, shall include Executives having ceased to be the President and Chief Executive Officer of a publicly-traded company));", "ner": [[103, 103, "Role"], [105, 107, "Role"]], "tokenized_text": ["(", "1", ")", "the", "assignment", "to", "the", "Executive", "of", "any", "duties", "materially", "inconsistent", "in", "any", "respect", "with", "Paragraph", "2", "of", "this", "Agreement", ",", "or", "any", "other", "action", "by", "the", "Employer", "that", "results", "in", "a", "material", "diminution", "in", "the", "Executives", "title", ",", "authority", ",", "duties", ",", "responsibilities", ",", "or", "reporting", "relationships", "(", "for", "the", "sake", "of", "clarification", ",", "a", "Change", "in", "Control", "in", "itself", "shall", "not", "constitute", "grounds", "for", "Good", "Reason", "unless", "there", "shall", "also", "have", "been", "such", "assignment", "of", "such", "duties", "or", "such", "material", "diminution", "(", "which", ",", "for", "the", "sake", "of", "further", "clarification", ",", "shall", "include", "Executives", "having", "ceased", "to", "be", "the", "President", "and", "Chief", "Executive", "Officer", "of", "a", "publicly-traded", "company", ")", ")", ";"]}
{"id": "11503", "text": "mandated under the Consolidated Omnibus Budget Reconciliation Act of 1985 ( COBRA ) or required under the terms of any death, insurance, or retirement plan, program, or agreement provided by the Employer and to which the Executive is a party or in which the Executive is a participant, including, but not limited to, any short-term or long-term disability plan or program, if applicable.", "ner": [[3, 9, "Act"], [11, 11, "Act"]], "tokenized_text": ["mandated", "under", "the", "Consolidated", "Omnibus", "Budget", "Reconciliation", "Act", "of", "1985", "(", "COBRA", ")", "or", "required", "under", "the", "terms", "of", "any", "death", ",", "insurance", ",", "or", "retirement", "plan", ",", "program", ",", "or", "agreement", "provided", "by", "the", "Employer", "and", "to", "which", "the", "Executive", "is", "a", "party", "or", "in", "which", "the", "Executive", "is", "a", "participant", ",", "including", ",", "but", "not", "limited", "to", ",", "any", "short-term", "or", "long-term", "disability", "plan", "or", "program", ",", "if", "applicable", "."]}
{"id": "11504", "text": "(i)a cash payment equal to the sum of (I) one hundred fifty percent ( 150% ) of the Executives Base Salary then in effect and (II) one hundred fifty percent ( 150% ) of the Executives target annual bonus then in effect;", "ner": [[14, 17, "Percentage"], [19, 20, "Percentage"]], "tokenized_text": ["(", "i", ")", "a", "cash", "payment", "equal", "to", "the", "sum", "of", "(", "I", ")", "one", "hundred", "fifty", "percent", "(", "150", "%", ")", "of", "the", "Executives", "Base", "Salary", "then", "in", "effect", "and", "(", "II", ")", "one", "hundred", "fifty", "percent", "(", "150", "%", ")", "of", "the", "Executives", "target", "annual", "bonus", "then", "in", "effect", ";"]}
{"id": "11507", "text": "A transaction shall not constitute a Change in Control if its sole purpose is to change the state of the Employers incorporation or to create a holding company that will be owned in substantially the same proportions by the persons who held the Employers securities immediately before such transaction. Excluded Person means: (i) any person described in and satisfying the conditions of Rule 13d-1(b)(1) under the Exchange Act ; ( ii) the Employer; or (iii) an employee benefit plan (or related trust) sponsored or maintained by the Employer or its successor.", "ner": [[66, 70, "Regulation"], [76, 77, "Act"]], "tokenized_text": ["A", "transaction", "shall", "not", "constitute", "a", "Change", "in", "Control", "if", "its", "sole", "purpose", "is", "to", "change", "the", "state", "of", "the", "Employers", "incorporation", "or", "to", "create", "a", "holding", "company", "that", "will", "be", "owned", "in", "substantially", "the", "same", "proportions", "by", "the", "persons", "who", "held", "the", "Employers", "securities", "immediately", "before", "such", "transaction", ".", "Excluded", "Person", "means", ":", "(", "i", ")", "any", "person", "described", "in", "and", "satisfying", "the", "conditions", "of", "Rule", "13d-1", "(", "b", ")", "(", "1", ")", "under", "the", "Exchange", "Act", ";", "(", "ii", ")", "the", "Employer", ";", "or", "(", "iii", ")", "an", "employee", "benefit", "plan", "(", "or", "related", "trust", ")", "sponsored", "or", "maintained", "by", "the", "Employer", "or", "its", "successor", "."]}
{"id": "11508", "text": "B. Notwithstanding anything herein to the contrary, the Executive is hereby notified, in accordance with the Defend Trade Secrets Act of 2016 , that the Executive will not be held criminally or civilly liable under any federal or state trade secret law for the disclosure of a trade secret that: (a) is made (i) in confidence to a federal, state, or local government official, either directly or indirectly, or to an attorney; and (ii) solely for the purpose of reporting or investigating a suspected violation of law; or (b) is made in a complaint or other document that is filed under seal in a lawsuit or other proceeding. The Executive is further notified that if he or she files a lawsuit for retaliation by the Employer for reporting a suspected violation of law, the Executive may disclose the Employers trade secrets to his or her attorney and use the trade secret information in the court proceeding if the Executive (a) files any document containing the trade secret under seal; and (b) does not disclose the trade secret, except pursuant to court order. Further, notwithstanding anything in this Agreement to the contrary, nothing contained herein prohibits the Executive from reporting, without the prior authorization of the Employer and without notifying the Employer, possible violations of federal law or regulation to the United States Securities and Exchange Commission,", "ner": [[19, 24, "Act"]], "tokenized_text": ["B", ".", "Notwithstanding", "anything", "herein", "to", "the", "contrary", ",", "the", "Executive", "is", "hereby", "notified", ",", "in", "accordance", "with", "the", "Defend", "Trade", "Secrets", "Act", "of", "2016", ",", "that", "the", "Executive", "will", "not", "be", "held", "criminally", "or", "civilly", "liable", "under", "any", "federal", "or", "state", "trade", "secret", "law", "for", "the", "disclosure", "of", "a", "trade", "secret", "that", ":", "(", "a", ")", "is", "made", "(", "i", ")", "in", "confidence", "to", "a", "federal", ",", "state", ",", "or", "local", "government", "official", ",", "either", "directly", "or", "indirectly", ",", "or", "to", "an", "attorney", ";", "and", "(", "ii", ")", "solely", "for", "the", "purpose", "of", "reporting", "or", "investigating", "a", "suspected", "violation", "of", "law", ";", "or", "(", "b", ")", "is", "made", "in", "a", "complaint", "or", "other", "document", "that", "is", "filed", "under", "seal", "in", "a", "lawsuit", "or", "other", "proceeding", ".", "The", "Executive", "is", "further", "notified", "that", "if", "he", "or", "she", "files", "a", "lawsuit", "for", "retaliation", "by", "the", "Employer", "for", "reporting", "a", "suspected", "violation", "of", "law", ",", "the", "Executive", "may", "disclose", "the", "Employers", "trade", "secrets", "to", "his", "or", "her", "attorney", "and", "use", "the", "trade", "secret", "information", "in", "the", "court", "proceeding", "if", "the", "Executive", "(", "a", ")", "files", "any", "document", "containing", "the", "trade", "secret", "under", "seal", ";", "and", "(", "b", ")", "does", "not", "disclose", "the", "trade", "secret", ",", "except", "pursuant", "to", "court", "order", ".", "Further", ",", "notwithstanding", "anything", "in", "this", "Agreement", "to", "the", "contrary", ",", "nothing", "contained", "herein", "prohibits", "the", "Executive", "from", "reporting", ",", "without", "the", "prior", "authorization", "of", "the", "Employer", "and", "without", "notifying", "the", "Employer", ",", "possible", "violations", "of", "federal", "law", "or", "regulation", "to", "the", "United", "States", "Securities", "and", "Exchange", "Commission", ","]}
{"id": "11509", "text": "200 Oceangate, Suite 100", "ner": [[0, 4, "Address"]], "tokenized_text": ["200", "Oceangate", ",", "Suite", "100"]}
{"id": "11513", "text": "19.Arbitration. Any controversy, claim or dispute between the parties relating to the Executives employment or termination of employment, whether or not the controversy, claim or dispute arises under this Agreement, shall be resolved by arbitration in accordance with the Employment Arbitration Rules and Mediation Procedures (Rules) of the American Arbitration Association through a single arbitrator in Hartford, Connecticut selected in accordance with the Rules (except as provided in Paragraph 20). The decision of the arbitrator shall be rendered within thirty (30) days of the close of the arbitration hearing and shall include written findings of fact and conclusions of law reflecting the appropriate substantive law. Judgment upon the award rendered by the arbitrator may be entered in any court having jurisdiction thereof in the State of Connecticut . In reaching his or her decision, the arbitrator shall have no authority (a) to authorize or require the parties to engage in discovery other than document discovery (provided, however, that the arbitrator may schedule the time by which the parties must exchange copies of the exhibits that, and the names of the witnesses whom, the parties intend to present at the hearing), (b) to change or modify any provision of this Agreement, (c) to base any part of his or her decision on public policy arguments or the common law principle of constructive termination, or (d) to award punitive damages or any other damages not measured by the prevailing partys actual damages and may not make any ruling, finding or award that does not conform to this Agreement. Each party shall bear all of his, her or its own legal fees, costs and expenses of arbitration and one-half () of the costs of the arbitrator.", "ner": [[46, 48, "Regulation"], [65, 67, "Address"], [140, 142, "Court"], [313, 313, "Ratio"]], "tokenized_text": ["19", ".", "Arbitration", ".", "Any", "controversy", ",", "claim", "or", "dispute", "between", "the", "parties", "relating", "to", "the", "Executives", "employment", "or", "termination", "of", "employment", ",", "whether", "or", "not", "the", "controversy", ",", "claim", "or", "dispute", "arises", "under", "this", "Agreement", ",", "shall", "be", "resolved", "by", "arbitration", "in", "accordance", "with", "the", "Employment", "Arbitration", "Rules", "and", "Mediation", "Procedures", "(", "Rules", ")", "of", "the", "American", "Arbitration", "Association", "through", "a", "single", "arbitrator", "in", "Hartford", ",", "Connecticut", "selected", "in", "accordance", "with", "the", "Rules", "(", "except", "as", "provided", "in", "Paragraph", "20", ")", ".", "The", "decision", "of", "the", "arbitrator", "shall", "be", "rendered", "within", "thirty", "(", "30", ")", "days", "of", "the", "close", "of", "the", "arbitration", "hearing", "and", "shall", "include", "written", "findings", "of", "fact", "and", "conclusions", "of", "law", "reflecting", "the", "appropriate", "substantive", "law", ".", "Judgment", "upon", "the", "award", "rendered", "by", "the", "arbitrator", "may", "be", "entered", "in", "any", "court", "having", "jurisdiction", "thereof", "in", "the", "State", "of", "Connecticut", ".", "In", "reaching", "his", "or", "her", "decision", ",", "the", "arbitrator", "shall", "have", "no", "authority", "(", "a", ")", "to", "authorize", "or", "require", "the", "parties", "to", "engage", "in", "discovery", "other", "than", "document", "discovery", "(", "provided", ",", "however", ",", "that", "the", "arbitrator", "may", "schedule", "the", "time", "by", "which", "the", "parties", "must", "exchange", "copies", "of", "the", "exhibits", "that", ",", "and", "the", "names", "of", "the", "witnesses", "whom", ",", "the", "parties", "intend", "to", "present", "at", "the", "hearing", ")", ",", "(", "b", ")", "to", "change", "or", "modify", "any", "provision", "of", "this", "Agreement", ",", "(", "c", ")", "to", "base", "any", "part", "of", "his", "or", "her", "decision", "on", "public", "policy", "arguments", "or", "the", "common", "law", "principle", "of", "constructive", "termination", ",", "or", "(", "d", ")", "to", "award", "punitive", "damages", "or", "any", "other", "damages", "not", "measured", "by", "the", "prevailing", "partys", "actual", "damages", "and", "may", "not", "make", "any", "ruling", ",", "finding", "or", "award", "that", "does", "not", "conform", "to", "this", "Agreement", ".", "Each", "party", "shall", "bear", "all", "of", "his", ",", "her", "or", "its", "own", "legal", "fees", ",", "costs", "and", "expenses", "of", "arbitration", "and", "one-half", "(", ")", "of", "the", "costs", "of", "the", "arbitrator", "."]}
{"id": "11517", "text": "/s/ Joseph M. Zubretsky", "ner": [[3, 6, "Parties"]], "tokenized_text": ["/", "s", "/", "Joseph", "M", ".", "Zubretsky"]}
{"id": "11518", "text": "Signature Page to Zubretsky Employment Agreement", "ner": [[3, 5, "Title"]], "tokenized_text": ["Signature", "Page", "to", "Zubretsky", "Employment", "Agreement"]}
{"id": "11519", "text": "Molina Healthcare, Inc. 2011 Equity Incentive Plan", "ner": [[0, 4, "Parties"]], "tokenized_text": ["Molina", "Healthcare", ",", "Inc", ".", "2011", "Equity", "Incentive", "Plan"]}
{"id": "11520", "text": "Pursuant to the Molina Healthcare, Inc. 2011 Equity Incentive Plan (the Plan), Molina Healthcare, Inc. , a Delaware corporation (together with its successors, the Company), hereby grants to the Participant named in the Notice of Grant of Stock Option attached hereto (the Notice) an option to purchase on such dates as specified herein, all or any part of the number of shares of Stock indicated in the Notice (the Option Shares, and such shares once issued shall be referred to as the Issued Shares, each as adjusted pursuant to Section 5 hereof), at the Exercise Price specified in the Notice, subject to the terms and conditions set forth in this Stock Option Agreement, the Notice and the Plan. All capitalized terms used herein and not otherwise defined shall have the respective meanings set forth in the Notice and the Plan (as applicable).", "ner": [[130, 132, "Title"]], "tokenized_text": ["Pursuant", "to", "the", "Molina", "Healthcare", ",", "Inc", ".", "2011", "Equity", "Incentive", "Plan", "(", "the", "Plan", ")", ",", "Molina", "Healthcare", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "together", "with", "its", "successors", ",", "the", "Company", ")", ",", "hereby", "grants", "to", "the", "Participant", "named", "in", "the", "Notice", "of", "Grant", "of", "Stock", "Option", "attached", "hereto", "(", "the", "Notice", ")", "an", "option", "to", "purchase", "on", "such", "dates", "as", "specified", "herein", ",", "all", "or", "any", "part", "of", "the", "number", "of", "shares", "of", "Stock", "indicated", "in", "the", "Notice", "(", "the", "Option", "Shares", ",", "and", "such", "shares", "once", "issued", "shall", "be", "referred", "to", "as", "the", "Issued", "Shares", ",", "each", "as", "adjusted", "pursuant", "to", "Section", "5", "hereof", ")", ",", "at", "the", "Exercise", "Price", "specified", "in", "the", "Notice", ",", "subject", "to", "the", "terms", "and", "conditions", "set", "forth", "in", "this", "Stock", "Option", "Agreement", ",", "the", "Notice", "and", "the", "Plan", ".", "All", "capitalized", "terms", "used", "herein", "and", "not", "otherwise", "defined", "shall", "have", "the", "respective", "meanings", "set", "forth", "in", "the", "Notice", "and", "the", "Plan", "(", "as", "applicable", ")", "."]}
{"id": "11521", "text": "This Option is subject to all of the terms and conditions set forth in the Plan and that certain Employment Agreement , dated as of October 9, 2017 (the Employment Agreement ), by and between the Company and the Participant. Notwithstanding anything in this Option Agreement or the Notice to the contrary, to the extent of any conflict between the terms of the Plan, the Employment Agreement , this Option Agreement, and the Notice, the terms of the Plan and the Employment Agreement shall control.", "ner": [[19, 20, "Title"], [25, 28, "EffectiveDate"], [39, 39, "Parties"], [48, 49, "Title"]], "tokenized_text": ["This", "Option", "is", "subject", "to", "all", "of", "the", "terms", "and", "conditions", "set", "forth", "in", "the", "Plan", "and", "that", "certain", "Employment", "Agreement", ",", "dated", "as", "of", "October", "9", ",", "2017", "(", "the", "Employment", "Agreement", ")", ",", "by", "and", "between", "the", "Company", "and", "the", "Participant", ".", "Notwithstanding", "anything", "in", "this", "Option", "Agreement", "or", "the", "Notice", "to", "the", "contrary", ",", "to", "the", "extent", "of", "any", "conflict", "between", "the", "terms", "of", "the", "Plan", ",", "the", "Employment", "Agreement", ",", "this", "Option", "Agreement", ",", "and", "the", "Notice", ",", "the", "terms", "of", "the", "Plan", "and", "the", "Employment", "Agreement", "shall", "control", "."]}
{"id": "11525", "text": "Joseph M. Zubretsky (the Participant) has been granted an option (the Option) to purchase certain shares of Molina Healthcare, Inc. common stock, par value $0.001 per share (the Stock), pursuant to the Molina Healthcare, Inc. 2011 Equity Incentive Plan, as amended and restated to date (the Plan), and the Employment Agreement , dated as of October 9, 2017 (the Employment Agreement ), by and between Molina Healthcare, Inc. (the Company) and the Participant. For purposes of this Option and the Stock Option Agreement incorporated herein by reference (the Option Agreement), the following terms shall have the following meanings: --- | Grant Date:", "ner": [[0, 3, "Parties"], [32, 35, "Price"], [69, 70, "Title"], [108, 110, "Title"]], "tokenized_text": ["Joseph", "M", ".", "Zubretsky", "(", "the", "Participant", ")", "has", "been", "granted", "an", "option", "(", "the", "Option", ")", "to", "purchase", "certain", "shares", "of", "Molina", "Healthcare", ",", "Inc", ".", "common", "stock", ",", "par", "value", "$", "0", ".", "001", "per", "share", "(", "the", "Stock", ")", ",", "pursuant", "to", "the", "Molina", "Healthcare", ",", "Inc", ".", "2011", "Equity", "Incentive", "Plan", ",", "as", "amended", "and", "restated", "to", "date", "(", "the", "Plan", ")", ",", "and", "the", "Employment", "Agreement", ",", "dated", "as", "of", "October", "9", ",", "2017", "(", "the", "Employment", "Agreement", ")", ",", "by", "and", "between", "Molina", "Healthcare", ",", "Inc", ".", "(", "the", "Company", ")", "and", "the", "Participant", ".", "For", "purposes", "of", "this", "Option", "and", "the", "Stock", "Option", "Agreement", "incorporated", "herein", "by", "reference", "(", "the", "Option", "Agreement", ")", ",", "the", "following", "terms", "shall", "have", "the", "following", "meanings", ":", "-", "-", "-", "|", "Grant", "Date", ":"]}
{"id": "11527", "text": "By their signatures below, the Company and the Participant each agree that the Option is governed by this Notice and by the provisions of the Plan, the Option Agreement, and the Employment Agreement , all of which are attached to and made a part of this document. The Participant acknowledges receipt of copies of the Plan, the Option Agreement, and the Employment Agreement , represents that the Participant has read and is familiar with their provisions and hereby accepts the Option subject to all of their terms and conditions. This Notice may be executed in two or more counterparts, each of which shall be deemed an original, but all of which shall constitute one and the same document.", "ner": [[6, 6, "Parties"], [29, 30, "Title"], [34, 35, "Title"]], "tokenized_text": ["By", "their", "signatures", "below", ",", "the", "Company", "and", "the", "Participant", "each", "agree", "that", "the", "Option", "is", "governed", "by", "this", "Notice", "and", "by", "the", "provisions", "of", "the", "Plan", ",", "the", "Option", "Agreement", ",", "and", "the", "Employment", "Agreement", ",", "all", "of", "which", "are", "attached", "to", "and", "made", "a", "part", "of", "this", "document", ".", "The", "Participant", "acknowledges", "receipt", "of", "copies", "of", "the", "Plan", ",", "the", "Option", "Agreement", ",", "and", "the", "Employment", "Agreement", ",", "represents", "that", "the", "Participant", "has", "read", "and", "is", "familiar", "with", "their", "provisions", "and", "hereby", "accepts", "the", "Option", "subject", "to", "all", "of", "their", "terms", "and", "conditions", ".", "This", "Notice", "may", "be", "executed", "in", "two", "or", "more", "counterparts", ",", "each", "of", "which", "shall", "be", "deemed", "an", "original", ",", "but", "all", "of", "which", "shall", "constitute", "one", "and", "the", "same", "document", "."]}
{"id": "11529", "text": "Jeff D. Barlow Joseph M. Zubretsky", "ner": [], "tokenized_text": ["Jeff", "D", ".", "Barlow", "Joseph", "M", ".", "Zubretsky"]}
{"id": "11530", "text": "Molina Healthcare, Inc. 2011 Equity Incentive Plan, as amended through the Grant Date; Stock Option Agreement;", "ner": [[17, 19, "Title"]], "tokenized_text": ["Molina", "Healthcare", ",", "Inc", ".", "2011", "Equity", "Incentive", "Plan", ",", "as", "amended", "through", "the", "Grant", "Date", ";", "Stock", "Option", "Agreement", ";"]}
{"id": "11533", "text": "The Participant acknowledges and agrees that the Corporation may deliver, by electronic mail, the use of the Internet, including through the website of the agent appointed by the Committee to administer the Plan, the Corporation intranet web pages or otherwise, any information concerning the Corporation, this Award, the Plan, and any information required by the Securities Act of 1933 , as amended, and the rules and regulations promulgated thereunder. --- | | | PARTICIPANT", "ner": [[63, 66, "Act"]], "tokenized_text": ["The", "Participant", "acknowledges", "and", "agrees", "that", "the", "Corporation", "may", "deliver", ",", "by", "electronic", "mail", ",", "the", "use", "of", "the", "Internet", ",", "including", "through", "the", "website", "of", "the", "agent", "appointed", "by", "the", "Committee", "to", "administer", "the", "Plan", ",", "the", "Corporation", "intranet", "web", "pages", "or", "otherwise", ",", "any", "information", "concerning", "the", "Corporation", ",", "this", "Award", ",", "the", "Plan", ",", "and", "any", "information", "required", "by", "the", "Securities", "Act", "of", "1933", ",", "as", "amended", ",", "and", "the", "rules", "and", "regulations", "promulgated", "thereunder", ".", "-", "-", "-", "|", "|", "|", "PARTICIPANT"]}
{"id": "11534", "text": "MOLINA HEALTHCARE, INC. a Delaware corporation |", "ner": [[0, 4, "Parties"]], "tokenized_text": ["MOLINA", "HEALTHCARE", ",", "INC", ".", "a", "Delaware", "corporation", "|"]}
{"id": "11536", "text": "Cause shall have the meaning given to such term in the Employment Agreement .", "ner": [[11, 12, "Title"]], "tokenized_text": ["Cause", "shall", "have", "the", "meaning", "given", "to", "such", "term", "in", "the", "Employment", "Agreement", "."]}
{"id": "11537", "text": "Employment Agreement shall mean the Employment Agreement made as of October 9, 2017, between the Participant and the Corporation, as may be amended from time to time.", "ner": [[0, 1, "Title"], [10, 13, "EffectiveDate"], [20, 20, "Parties"]], "tokenized_text": ["Employment", "Agreement", "shall", "mean", "the", "Employment", "Agreement", "made", "as", "of", "October", "9", ",", "2017", ",", "between", "the", "Participant", "and", "the", "Corporation", ",", "as", "may", "be", "amended", "from", "time", "to", "time", "."]}
{"id": "11540", "text": "The Award and all rights of the Participant under this Agreement are subject to, and the Participant agrees to be bound by, all of the terms and conditions of the provisions of the Plan and the Employment Agreement , both of which are incorporated herein by reference. In the event of a conflict or inconsistency between the terms and conditions of this Agreement and those of the Plan and the Employment Agreement , the terms and conditions of the Plan and the Employment Agreement shall govern. The Participant acknowledges having read and understood the Plan, the Prospectus for the Plan, the Employment Agreement , and this Agreement. Unless otherwise expressly provided in other sections of this Agreement, provisions of the Plan and the Employment Agreement that confer discretionary authority on the Committee do not (and shall not be deemed to) create any rights in the Participant unless such rights are expressly set forth herein or are otherwise in the sole discretion of the Committee so conferred by appropriate action of the Committee under the Plan and the Employment Agreement after the date hereof.", "ner": [[38, 39, "Title"]], "tokenized_text": ["The", "Award", "and", "all", "rights", "of", "the", "Participant", "under", "this", "Agreement", "are", "subject", "to", ",", "and", "the", "Participant", "agrees", "to", "be", "bound", "by", ",", "all", "of", "the", "terms", "and", "conditions", "of", "the", "provisions", "of", "the", "Plan", "and", "the", "Employment", "Agreement", ",", "both", "of", "which", "are", "incorporated", "herein", "by", "reference", ".", "In", "the", "event", "of", "a", "conflict", "or", "inconsistency", "between", "the", "terms", "and", "conditions", "of", "this", "Agreement", "and", "those", "of", "the", "Plan", "and", "the", "Employment", "Agreement", ",", "the", "terms", "and", "conditions", "of", "the", "Plan", "and", "the", "Employment", "Agreement", "shall", "govern", ".", "The", "Participant", "acknowledges", "having", "read", "and", "understood", "the", "Plan", ",", "the", "Prospectus", "for", "the", "Plan", ",", "the", "Employment", "Agreement", ",", "and", "this", "Agreement", ".", "Unless", "otherwise", "expressly", "provided", "in", "other", "sections", "of", "this", "Agreement", ",", "provisions", "of", "the", "Plan", "and", "the", "Employment", "Agreement", "that", "confer", "discretionary", "authority", "on", "the", "Committee", "do", "not", "(", "and", "shall", "not", "be", "deemed", "to", ")", "create", "any", "rights", "in", "the", "Participant", "unless", "such", "rights", "are", "expressly", "set", "forth", "herein", "or", "are", "otherwise", "in", "the", "sole", "discretion", "of", "the", "Committee", "so", "conferred", "by", "appropriate", "action", "of", "the", "Committee", "under", "the", "Plan", "and", "the", "Employment", "Agreement", "after", "the", "date", "hereof", "."]}
{"id": "11541", "text": "This Agreement, the Plan, and the Employment Agreement together constitute the entire agreement and supersede all prior understandings and agreements, written or oral, of the parties hereto with respect to the subject matter hereof. The Plan and this Agreement may be amended pursuant to Section 17 of the Plan. Such amendment must be in writing and signed by the Corporation. The Corporation may, however, unilaterally waive any provision hereof in writing to the extent such waiver does not adversely affect the interests of the Participant hereunder, but no such waiver shall operate as or be construed to be a subsequent waiver of the same provision or a waiver of any other provision hereof. Notwithstanding the foregoing, if the Participant is subject to a written employment, change in control or similar agreement with the Corporation that is in effect as of the Participants Severance Date and the Participant would be entitled under the express provisions of such agreement to greater rights with respect to accelerated vesting of the Award in connection with the termination of the Participants employment in the circumstances, the provisions of such agreement shall control with respect to such vesting rights, and the corresponding provisions of this Agreement shall not apply.", "ner": [[8, 9, "Title"]], "tokenized_text": ["This", "Agreement", ",", "the", "Plan", ",", "and", "the", "Employment", "Agreement", "together", "constitute", "the", "entire", "agreement", "and", "supersede", "all", "prior", "understandings", "and", "agreements", ",", "written", "or", "oral", ",", "of", "the", "parties", "hereto", "with", "respect", "to", "the", "subject", "matter", "hereof", ".", "The", "Plan", "and", "this", "Agreement", "may", "be", "amended", "pursuant", "to", "Section", "17", "of", "the", "Plan", ".", "Such", "amendment", "must", "be", "in", "writing", "and", "signed", "by", "the", "Corporation", ".", "The", "Corporation", "may", ",", "however", ",", "unilaterally", "waive", "any", "provision", "hereof", "in", "writing", "to", "the", "extent", "such", "waiver", "does", "not", "adversely", "affect", "the", "interests", "of", "the", "Participant", "hereunder", ",", "but", "no", "such", "waiver", "shall", "operate", "as", "or", "be", "construed", "to", "be", "a", "subsequent", "waiver", "of", "the", "same", "provision", "or", "a", "waiver", "of", "any", "other", "provision", "hereof", ".", "Notwithstanding", "the", "foregoing", ",", "if", "the", "Participant", "is", "subject", "to", "a", "written", "employment", ",", "change", "in", "control", "or", "similar", "agreement", "with", "the", "Corporation", "that", "is", "in", "effect", "as", "of", "the", "Participants", "Severance", "Date", "and", "the", "Participant", "would", "be", "entitled", "under", "the", "express", "provisions", "of", "such", "agreement", "to", "greater", "rights", "with", "respect", "to", "accelerated", "vesting", "of", "the", "Award", "in", "connection", "with", "the", "termination", "of", "the", "Participants", "employment", "in", "the", "circumstances", ",", "the", "provisions", "of", "such", "agreement", "shall", "control", "with", "respect", "to", "such", "vesting", "rights", ",", "and", "the", "corresponding", "provisions", "of", "this", "Agreement", "shall", "not", "apply", "."]}
{"id": "11544", "text": "(a)No Early Vesting. Except as provided in the Employment Agreement and unless otherwise determined by the Committee in its sole discretion, in no event will any of the Shares vest prior to their respective vesting dates set forth in Section 3(a) hereof.", "ner": [[12, 13, "Title"]], "tokenized_text": ["(", "a", ")", "No", "Early", "Vesting", ".", "Except", "as", "provided", "in", "the", "Employment", "Agreement", "and", "unless", "otherwise", "determined", "by", "the", "Committee", "in", "its", "sole", "discretion", ",", "in", "no", "event", "will", "any", "of", "the", "Shares", "vest", "prior", "to", "their", "respective", "vesting", "dates", "set", "forth", "in", "Section", "3", "(", "a", ")", "hereof", "."]}
{"id": "11545", "text": "This Agreement is made under and subject to the provisions of the Plan and the Employment Agreement , and all of the provisions of the Plan and the Employment Agreement are also provisions of this Agreement. If there is a difference or conflict between the provisions of this Agreement and the provisions of the Plan and the Employment Agreement , the provisions of the Plan and the Employment Agreement will govern. By accepting this Restricted Stock Award, the Grantee confirms that the Grantee has received a copy of the Plan and the Employment Agreement , represents that the Grantee is familiar with the terms and provisions of the Plan and the Employment Agreement , and hereby accepts this Restricted Stock Award subject to all the terms and provisions of the Plan and the Employment Agreement .", "ner": [[15, 16, "Title"]], "tokenized_text": ["This", "Agreement", "is", "made", "under", "and", "subject", "to", "the", "provisions", "of", "the", "Plan", "and", "the", "Employment", "Agreement", ",", "and", "all", "of", "the", "provisions", "of", "the", "Plan", "and", "the", "Employment", "Agreement", "are", "also", "provisions", "of", "this", "Agreement", ".", "If", "there", "is", "a", "difference", "or", "conflict", "between", "the", "provisions", "of", "this", "Agreement", "and", "the", "provisions", "of", "the", "Plan", "and", "the", "Employment", "Agreement", ",", "the", "provisions", "of", "the", "Plan", "and", "the", "Employment", "Agreement", "will", "govern", ".", "By", "accepting", "this", "Restricted", "Stock", "Award", ",", "the", "Grantee", "confirms", "that", "the", "Grantee", "has", "received", "a", "copy", "of", "the", "Plan", "and", "the", "Employment", "Agreement", ",", "represents", "that", "the", "Grantee", "is", "familiar", "with", "the", "terms", "and", "provisions", "of", "the", "Plan", "and", "the", "Employment", "Agreement", ",", "and", "hereby", "accepts", "this", "Restricted", "Stock", "Award", "subject", "to", "all", "the", "terms", "and", "provisions", "of", "the", "Plan", "and", "the", "Employment", "Agreement", "."]}
{"id": "11547", "text": "With the exception of the Grantees Employment Agreement , this Agreement together with the Plan supersede any and all other prior understandings and agreements, either oral or in writing, between the parties with respect to the subject matter hereof and constitute the sole and only agreements between the parties with respect to said subject matter. All prior negotiations and agreements between the parties with respect to the subject matter hereof are merged into this Agreement. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party or by anyone acting on behalf of any party, which are not embodied in this Agreement or the Plan and that any agreement, statement or promise that is not contained in this Agreement or the Plan shall not be valid or binding or of any force or effect.", "ner": [[6, 7, "Title"]], "tokenized_text": ["With", "the", "exception", "of", "the", "Grantees", "Employment", "Agreement", ",", "this", "Agreement", "together", "with", "the", "Plan", "supersede", "any", "and", "all", "other", "prior", "understandings", "and", "agreements", ",", "either", "oral", "or", "in", "writing", ",", "between", "the", "parties", "with", "respect", "to", "the", "subject", "matter", "hereof", "and", "constitute", "the", "sole", "and", "only", "agreements", "between", "the", "parties", "with", "respect", "to", "said", "subject", "matter", ".", "All", "prior", "negotiations", "and", "agreements", "between", "the", "parties", "with", "respect", "to", "the", "subject", "matter", "hereof", "are", "merged", "into", "this", "Agreement", ".", "Each", "party", "to", "this", "Agreement", "acknowledges", "that", "no", "representations", ",", "inducements", ",", "promises", "or", "agreements", ",", "orally", "or", "otherwise", ",", "have", "been", "made", "by", "any", "party", "or", "by", "anyone", "acting", "on", "behalf", "of", "any", "party", ",", "which", "are", "not", "embodied", "in", "this", "Agreement", "or", "the", "Plan", "and", "that", "any", "agreement", ",", "statement", "or", "promise", "that", "is", "not", "contained", "in", "this", "Agreement", "or", "the", "Plan", "shall", "not", "be", "valid", "or", "binding", "or", "of", "any", "force", "or", "effect", "."]}
{"id": "11552", "text": "6. Restrictive Covenants. The Executive agrees that he will abide by the terms set forth in Paragraphs 9 and 10 of the Employment Agreement .", "ner": [[24, 25, "Title"]], "tokenized_text": ["6", ".", "Restrictive", "Covenants", ".", "The", "Executive", "agrees", "that", "he", "will", "abide", "by", "the", "terms", "set", "forth", "in", "Paragraphs", "9", "and", "10", "of", "the", "Employment", "Agreement", "."]}
{"id": "11553", "text": "diskettes, compact disks, DVDs, electronic storage devices, and personal data assistants, and the contents of all such hardware, as well as any passwords or codes or instructions needed to operate any such hardware), computer software and programs, data, materials, papers, books, files, documents, records, policies, client and customer information and lists, marketing information, design information, specifications and plans, data base information and lists, mailing lists, notes, and any other property or information that the Executive has or had relating to the Employer or any of its subsidiaries or affiliates (whether those materials are in paper, electronic or computer-stored form or in any other form or medium), and (b) all documents and other property containing, summarizing, or describing any Confidential Information (as defined in the Employment Agreement ), including all originals and copies. The Executive affirms that he has not retained any such property or information in any form, and will not give copies of such property or information or disclose their contents to any other person.", "ner": [[157, 158, "Title"]], "tokenized_text": ["diskettes", ",", "compact", "disks", ",", "DVDs", ",", "electronic", "storage", "devices", ",", "and", "personal", "data", "assistants", ",", "and", "the", "contents", "of", "all", "such", "hardware", ",", "as", "well", "as", "any", "passwords", "or", "codes", "or", "instructions", "needed", "to", "operate", "any", "such", "hardware", ")", ",", "computer", "software", "and", "programs", ",", "data", ",", "materials", ",", "papers", ",", "books", ",", "files", ",", "documents", ",", "records", ",", "policies", ",", "client", "and", "customer", "information", "and", "lists", ",", "marketing", "information", ",", "design", "information", ",", "specifications", "and", "plans", ",", "data", "base", "information", "and", "lists", ",", "mailing", "lists", ",", "notes", ",", "and", "any", "other", "property", "or", "information", "that", "the", "Executive", "has", "or", "had", "relating", "to", "the", "Employer", "or", "any", "of", "its", "subsidiaries", "or", "affiliates", "(", "whether", "those", "materials", "are", "in", "paper", ",", "electronic", "or", "computer-stored", "form", "or", "in", "any", "other", "form", "or", "medium", ")", ",", "and", "(", "b", ")", "all", "documents", "and", "other", "property", "containing", ",", "summarizing", ",", "or", "describing", "any", "Confidential", "Information", "(", "as", "defined", "in", "the", "Employment", "Agreement", ")", ",", "including", "all", "originals", "and", "copies", ".", "The", "Executive", "affirms", "that", "he", "has", "not", "retained", "any", "such", "property", "or", "information", "in", "any", "form", ",", "and", "will", "not", "give", "copies", "of", "such", "property", "or", "information", "or", "disclose", "their", "contents", "to", "any", "other", "person", "."]}
{"id": "11554", "text": "(b) this Release refers to and waives any and all rights or claims that he may have arising under the Age Discrimination in Employment Act of 1967 , as amended;", "ner": [[22, 28, "Act"]], "tokenized_text": ["(", "b", ")", "this", "Release", "refers", "to", "and", "waives", "any", "and", "all", "rights", "or", "claims", "that", "he", "may", "have", "arising", "under", "the", "Age", "Discrimination", "in", "Employment", "Act", "of", "1967", ",", "as", "amended", ";"]}
{"id": "11555", "text": "(d) Arbitration. Except as otherwise set forth in the Employment Agreement , any controversy, claim or dispute between the parties relating to or arising out of the subject matter", "ner": [[12, 13, "Title"]], "tokenized_text": ["(", "d", ")", "Arbitration", ".", "Except", "as", "otherwise", "set", "forth", "in", "the", "Employment", "Agreement", ",", "any", "controversy", ",", "claim", "or", "dispute", "between", "the", "parties", "relating", "to", "or", "arising", "out", "of", "the", "subject", "matter"]}
{"id": "11557", "text": "(e) Governing Law. This Agreement shall be governed by, and construed in accordance with, the laws of the State of Connecticut without reference to its conflict of law provisions.", "ner": [[23, 25, "Court"]], "tokenized_text": ["(", "e", ")", "Governing", "Law", ".", "This", "Agreement", "shall", "be", "governed", "by", ",", "and", "construed", "in", "accordance", "with", ",", "the", "laws", "of", "the", "State", "of", "Connecticut", "without", "reference", "to", "its", "conflict", "of", "law", "provisions", "."]}
{"id": "11559", "text": "EMPLOYMENT AGREEMENT , dated as of March14, 2016 (the Employment Agreement), by and between Evoqua Water Technologies LLC , a Delaware limited liability company (the Company) and Kenneth Rodi (the Executive) (each of the Executive and the Company, a Party, and collectively, the Parties).", "ner": [[0, 1, "Title"], [6, 8, "EffectiveDate"], [11, 12, "Title"], [18, 21, "Parties"], [33, 34, "Parties"]], "tokenized_text": ["EMPLOYMENT", "AGREEMENT", ",", "dated", "as", "of", "March14", ",", "2016", "(", "the", "Employment", "Agreement", ")", ",", "by", "and", "between", "Evoqua", "Water", "Technologies", "LLC", ",", "a", "Delaware", "limited", "liability", "company", "(", "the", "Company", ")", "and", "Kenneth", "Rodi", "(", "the", "Executive", ")", "(", "each", "of", "the", "Executive", "and", "the", "Company", ",", "a", "Party", ",", "and", "collectively", ",", "the", "Parties", ")", "."]}
{"id": "11561", "text": "WHEREAS, the Executive desires to be employed by the Company as President , Neptune-Benson and to perform and to serve the Company on the terms and conditions hereinafter set forth.", "ner": [[12, 12, "Role"]], "tokenized_text": ["WHEREAS", ",", "the", "Executive", "desires", "to", "be", "employed", "by", "the", "Company", "as", "President", ",", "Neptune-Benson", "and", "to", "perform", "and", "to", "serve", "the", "Company", "on", "the", "terms", "and", "conditions", "hereinafter", "set", "forth", "."]}
{"id": "11562", "text": "1.2. Duties. During the Employment Period, the Executive shall serve as President , Neptune-Benson and such other positions as an officer or director of the Company and such affiliates of the Company that are commensurate with the Executives position as President , Neptune-Benson as the Company shall determine from time to time, and shall report directly to the Chief Executive Officer of the Company or any designee who is a manager on the Executive Leadership Team (the Reporting Person). In his position of President , Neptune-Benson, the Executive shall perform duties that are commensurate with the Executives position as President , Neptune-Benson assigned to him by the Reporting Person.", "ner": [[16, 16, "Role"], [64, 66, "Role"]], "tokenized_text": ["1", ".", "2", ".", "Duties", ".", "During", "the", "Employment", "Period", ",", "the", "Executive", "shall", "serve", "as", "President", ",", "Neptune-Benson", "and", "such", "other", "positions", "as", "an", "officer", "or", "director", "of", "the", "Company", "and", "such", "affiliates", "of", "the", "Company", "that", "are", "commensurate", "with", "the", "Executives", "position", "as", "President", ",", "Neptune-Benson", "as", "the", "Company", "shall", "determine", "from", "time", "to", "time", ",", "and", "shall", "report", "directly", "to", "the", "Chief", "Executive", "Officer", "of", "the", "Company", "or", "any", "designee", "who", "is", "a", "manager", "on", "the", "Executive", "Leadership", "Team", "(", "the", "Reporting", "Person", ")", ".", "In", "his", "position", "of", "President", ",", "Neptune-Benson", ",", "the", "Executive", "shall", "perform", "duties", "that", "are", "commensurate", "with", "the", "Executives", "position", "as", "President", ",", "Neptune-Benson", "assigned", "to", "him", "by", "the", "Reporting", "Person", "."]}
{"id": "11565", "text": "2.2. Annual Bonus. For each fiscal year ending during the Employment Period, the Executive shall be eligible for potential awards of additional compensation (the Annual Bonus) to be based upon the achievement of one or more performance goals established by senior management of the Company (the Performance Targets), provided that (i)the Annual Bonus, if any, for the period ending on September30, 2016 shall be calculated based upon Executives 2016 Neptune-Benson bonus plan, with the performance targets defined by the 2016 Neptune-Benson business plan, through September30, 2016, delivered to Evoquas Chief Executive Officer, and (ii)the 2016 Annual Bonus payment shall be prorated to reflect such 9-month period. Beginning on October1, 2016, the Executives target Annual Bonus opportunity for each fiscal year thereafter that ends during the Employment Period shall be equal to 60% of Base Salary (the Target Annual Bonus Opportunity), with the actual Annual Bonus, if any, to be based on the Companys actual performance relative to the Performance Targets. The Annual Bonus, if any, shall be paid in cash within 90 days of the fiscal year end, assuming the delivery of the relevant financial statements in a timely manner, but in no event later than March15th of the year following the end of the fiscal year for which the Annual Bonus, if any, is earned; provided, that, except as set forth in Section3, the Executive must continue to be employed by the Company through the end of the applicable fiscal year.", "ner": [[109, 111, "Role"], [158, 159, "Percentage"]], "tokenized_text": ["2", ".", "2", ".", "Annual", "Bonus", ".", "For", "each", "fiscal", "year", "ending", "during", "the", "Employment", "Period", ",", "the", "Executive", "shall", "be", "eligible", "for", "potential", "awards", "of", "additional", "compensation", "(", "the", "Annual", "Bonus", ")", "to", "be", "based", "upon", "the", "achievement", "of", "one", "or", "more", "performance", "goals", "established", "by", "senior", "management", "of", "the", "Company", "(", "the", "Performance", "Targets", ")", ",", "provided", "that", "(", "i", ")", "the", "Annual", "Bonus", ",", "if", "any", ",", "for", "the", "period", "ending", "on", "September30", ",", "2016", "shall", "be", "calculated", "based", "upon", "Executives", "2016", "Neptune-Benson", "bonus", "plan", ",", "with", "the", "performance", "targets", "defined", "by", "the", "2016", "Neptune-Benson", "business", "plan", ",", "through", "September30", ",", "2016", ",", "delivered", "to", "Evoquas", "Chief", "Executive", "Officer", ",", "and", "(", "ii", ")", "the", "2016", "Annual", "Bonus", "payment", "shall", "be", "prorated", "to", "reflect", "such", "9-month", "period", ".", "Beginning", "on", "October1", ",", "2016", ",", "the", "Executives", "target", "Annual", "Bonus", "opportunity", "for", "each", "fiscal", "year", "thereafter", "that", "ends", "during", "the", "Employment", "Period", "shall", "be", "equal", "to", "60", "%", "of", "Base", "Salary", "(", "the", "Target", "Annual", "Bonus", "Opportunity", ")", ",", "with", "the", "actual", "Annual", "Bonus", ",", "if", "any", ",", "to", "be", "based", "on", "the", "Companys", "actual", "performance", "relative", "to", "the", "Performance", "Targets", ".", "The", "Annual", "Bonus", ",", "if", "any", ",", "shall", "be", "paid", "in", "cash", "within", "90", "days", "of", "the", "fiscal", "year", "end", ",", "assuming", "the", "delivery", "of", "the", "relevant", "financial", "statements", "in", "a", "timely", "manner", ",", "but", "in", "no", "event", "later", "than", "March15th", "of", "the", "year", "following", "the", "end", "of", "the", "fiscal", "year", "for", "which", "the", "Annual", "Bonus", ",", "if", "any", ",", "is", "earned", ";", "provided", ",", "that", ",", "except", "as", "set", "forth", "in", "Section3", ",", "the", "Executive", "must", "continue", "to", "be", "employed", "by", "the", "Company", "through", "the", "end", "of", "the", "applicable", "fiscal", "year", "."]}
{"id": "11566", "text": "2.3. Initial Stock Option Grant and Equity Purchase Opportunity. As soon as practicable following the Commencement Date, (i)Holdings shall grant to the Executive an option to purchase 10,000 shares of common stock of Holdings at an exercise price of $175.00 per share, pursuant to the terms and conditions set forth in an option agreement between Holdings and the Executive, with such option agreement to be substantially in the form attached hereto as ExhibitB, (ii)Executive shall purchase common stock of Holdings pursuant to a subscription agreement substantially in the form attached hereto as ExhibitC, and with an aggregate purchase price of an amount equal to 30% of all proceeds received by the Executive,", "ner": [[35, 37, "Shares"], [49, 52, "Price"], [66, 67, "Title"], [102, 103, "Title"], [124, 125, "Percentage"]], "tokenized_text": ["2", ".", "3", ".", "Initial", "Stock", "Option", "Grant", "and", "Equity", "Purchase", "Opportunity", ".", "As", "soon", "as", "practicable", "following", "the", "Commencement", "Date", ",", "(", "i", ")", "Holdings", "shall", "grant", "to", "the", "Executive", "an", "option", "to", "purchase", "10", ",", "000", "shares", "of", "common", "stock", "of", "Holdings", "at", "an", "exercise", "price", "of", "$", "175", ".", "00", "per", "share", ",", "pursuant", "to", "the", "terms", "and", "conditions", "set", "forth", "in", "an", "option", "agreement", "between", "Holdings", "and", "the", "Executive", ",", "with", "such", "option", "agreement", "to", "be", "substantially", "in", "the", "form", "attached", "hereto", "as", "ExhibitB", ",", "(", "ii", ")", "Executive", "shall", "purchase", "common", "stock", "of", "Holdings", "pursuant", "to", "a", "subscription", "agreement", "substantially", "in", "the", "form", "attached", "hereto", "as", "ExhibitC", ",", "and", "with", "an", "aggregate", "purchase", "price", "of", "an", "amount", "equal", "to", "30", "%", "of", "all", "proceeds", "received", "by", "the", "Executive", ","]}
{"id": "11567", "text": "on an after tax basis, as a result of the closing of the transaction contemplated by the SPA, and at a purchase price of $175.00 per share.", "ner": [[26, 29, "Price"]], "tokenized_text": ["on", "an", "after", "tax", "basis", ",", "as", "a", "result", "of", "the", "closing", "of", "the", "transaction", "contemplated", "by", "the", "SPA", ",", "and", "at", "a", "purchase", "price", "of", "$", "175", ".", "00", "per", "share", "."]}
{"id": "11569", "text": "4.2. Non-Competition. By and in consideration of the Companys entering into this Employment Agreement, and in further consideration of the Executives exposure to the Confidential Information of the Company Group, the Executive agrees that the Executive shall not, during the Employment Period and for one year following the Executives Termination Date (the Restriction Period), directly or indirectly, own, manage, operate, join, control, be employed by, or participate in the ownership, management, operation or control of, or be connected in any manner with, including, without limitation, holding any position as a stockholder, director, officer, consultant, independent contractor, employee, partner, or investor in, any Restricted Enterprise (as defined below); provided, that in no event shall ownership of one percent or less of the outstanding securities of any class of any issuer whose securities are registered under the Securities Exchange Act of 1934 , as amended, standing alone, be prohibited by this Section4.2, so long as the Executive does not have, or exercise, any rights to manage or operate the business of such issuer other than rights as a stockholder thereof. For purposes of this paragraph, Restricted Enterprise shall mean any business that is in competition with (a)the present products marketed or sold by the Company to its customers and as such products may be improved and/or modified, (b)the present services marketed, sold or provided by the Company to its customers and as such services may be improved and/or modified or (c)the products and/or services the Company develops, designs, manufactures, markets, produces or supplies in the future (through the Termination Date) to its customers. In the case of each of (a), (b)and (c)above, such businesses shall include, but not be limited to, businesses that are associated with the treatment of intake water, process water or waste-water in industrial and municipal end markets through the provision of services and/or products. For the avoidance of doubt, Restricted Enterprise shall include, but not be limited to: XXXXXX.", "ner": [[16, 17, "Title"], [150, 151, "Percentage"], [170, 174, "Act"]], "tokenized_text": ["4", ".", "2", ".", "Non-Competition", ".", "By", "and", "in", "consideration", "of", "the", "Companys", "entering", "into", "this", "Employment", "Agreement", ",", "and", "in", "further", "consideration", "of", "the", "Executives", "exposure", "to", "the", "Confidential", "Information", "of", "the", "Company", "Group", ",", "the", "Executive", "agrees", "that", "the", "Executive", "shall", "not", ",", "during", "the", "Employment", "Period", "and", "for", "one", "year", "following", "the", "Executives", "Termination", "Date", "(", "the", "Restriction", "Period", ")", ",", "directly", "or", "indirectly", ",", "own", ",", "manage", ",", "operate", ",", "join", ",", "control", ",", "be", "employed", "by", ",", "or", "participate", "in", "the", "ownership", ",", "management", ",", "operation", "or", "control", "of", ",", "or", "be", "connected", "in", "any", "manner", "with", ",", "including", ",", "without", "limitation", ",", "holding", "any", "position", "as", "a", "stockholder", ",", "director", ",", "officer", ",", "consultant", ",", "independent", "contractor", ",", "employee", ",", "partner", ",", "or", "investor", "in", ",", "any", "Restricted", "Enterprise", "(", "as", "defined", "below", ")", ";", "provided", ",", "that", "in", "no", "event", "shall", "ownership", "of", "one", "percent", "or", "less", "of", "the", "outstanding", "securities", "of", "any", "class", "of", "any", "issuer", "whose", "securities", "are", "registered", "under", "the", "Securities", "Exchange", "Act", "of", "1934", ",", "as", "amended", ",", "standing", "alone", ",", "be", "prohibited", "by", "this", "Section4", ".", "2", ",", "so", "long", "as", "the", "Executive", "does", "not", "have", ",", "or", "exercise", ",", "any", "rights", "to", "manage", "or", "operate", "the", "business", "of", "such", "issuer", "other", "than", "rights", "as", "a", "stockholder", "thereof", ".", "For", "purposes", "of", "this", "paragraph", ",", "Restricted", "Enterprise", "shall", "mean", "any", "business", "that", "is", "in", "competition", "with", "(", "a", ")", "the", "present", "products", "marketed", "or", "sold", "by", "the", "Company", "to", "its", "customers", "and", "as", "such", "products", "may", "be", "improved", "and", "/", "or", "modified", ",", "(", "b", ")", "the", "present", "services", "marketed", ",", "sold", "or", "provided", "by", "the", "Company", "to", "its", "customers", "and", "as", "such", "services", "may", "be", "improved", "and", "/", "or", "modified", "or", "(", "c", ")", "the", "products", "and", "/", "or", "services", "the", "Company", "develops", ",", "designs", ",", "manufactures", ",", "markets", ",", "produces", "or", "supplies", "in", "the", "future", "(", "through", "the", "Termination", "Date", ")", "to", "its", "customers", ".", "In", "the", "case", "of", "each", "of", "(", "a", ")", ",", "(", "b", ")", "and", "(", "c", ")", "above", ",", "such", "businesses", "shall", "include", ",", "but", "not", "be", "limited", "to", ",", "businesses", "that", "are", "associated", "with", "the", "treatment", "of", "intake", "water", ",", "process", "water", "or", "waste-water", "in", "industrial", "and", "municipal", "end", "markets", "through", "the", "provision", "of", "services", "and", "/", "or", "products", ".", "For", "the", "avoidance", "of", "doubt", ",", "Restricted", "Enterprise", "shall", "include", ",", "but", "not", "be", "limited", "to", ":", "XXXXXX", "."]}
{"id": "11570", "text": "4.6. Proprietary Rights. The Executive shall disclose promptly to the Company any and all inventions, discoveries, and improvements (whether or not patentable or registrable under copyright or similar statutes), and all patentable or copyrightable works, initiated, conceived, discovered, reduced to practice, or made by him, either alone or in conjunction with others, during the Executives employment with the Company and related to the business or activities of the Company Group (the Developments). Except to the extent any rights in any Developments constitute a work made for hire under the U.S. Copyright Act , 17 U.S.C . 101 et seq. that are owned ab initio by a member of the Company Group, the Executive assigns and agrees to assign all of his right, title and interest in all Developments (including all intellectual property rights therein) to the Company or its nominee without further compensation, including all rights or benefits therefor, including without limitation the right to sue and recover for past and future infringement. The Executive acknowledges that any rights in any Developments constituting a work made for hire under the U.S. Copyright Act , 17 U.S.C 101 et seq. are owned upon creation by the Company as the Executives employer. Whenever requested to do so by the Company, the Executive shall execute any and all applications, assignments or other instruments which the Company shall deem necessary to apply for and obtain trademarks, patents or copyrights of the United States or any foreign country or otherwise protect the interests of the Company Group. These obligations shall continue beyond the end of the Executives employment with the Company with respect to inventions, discoveries, improvements or copyrightable works initiated, conceived or made by the Executive while employed by the Company, and shall be binding upon the Executives employers, assigns, executors, administrators and other legal representatives. In connection with his execution of this Employment Agreement, the Executive has informed the Company in writing of any interest in any inventions or intellectual property rights that he holds as of the Effective Date. If the Company is unable for any reason, after reasonable effort, to obtain the Executives signature on any document needed in connection with the actions described in this Section4.6, the Executive hereby irrevocably designates and appoints the Company and its duly authorized officers and agents as the Executives agent and attorney in fact to act for and on the Executives behalf to execute, verify and file any such documents and to do all other lawfully permitted acts to further the purposes of this Section4.6 with the same legal force and effect as if executed by the Executive.", "ner": [[108, 113, "Act"], [115, 122, "Regulation"], [221, 227, "Regulation"], [364, 365, "Title"]], "tokenized_text": ["4", ".", "6", ".", "Proprietary", "Rights", ".", "The", "Executive", "shall", "disclose", "promptly", "to", "the", "Company", "any", "and", "all", "inventions", ",", "discoveries", ",", "and", "improvements", "(", "whether", "or", "not", "patentable", "or", "registrable", "under", "copyright", "or", "similar", "statutes", ")", ",", "and", "all", "patentable", "or", "copyrightable", "works", ",", "initiated", ",", "conceived", ",", "discovered", ",", "reduced", "to", "practice", ",", "or", "made", "by", "him", ",", "either", "alone", "or", "in", "conjunction", "with", "others", ",", "during", "the", "Executives", "employment", "with", "the", "Company", "and", "related", "to", "the", "business", "or", "activities", "of", "the", "Company", "Group", "(", "the", "Developments", ")", ".", "Except", "to", "the", "extent", "any", "rights", "in", "any", "Developments", "constitute", "a", "work", "made", "for", "hire", "under", "the", "U", ".", "S", ".", "Copyright", "Act", ",", "17", "U", ".", "S", ".", "C", ".", "101", "et", "seq", ".", "that", "are", "owned", "ab", "initio", "by", "a", "member", "of", "the", "Company", "Group", ",", "the", "Executive", "assigns", "and", "agrees", "to", "assign", "all", "of", "his", "right", ",", "title", "and", "interest", "in", "all", "Developments", "(", "including", "all", "intellectual", "property", "rights", "therein", ")", "to", "the", "Company", "or", "its", "nominee", "without", "further", "compensation", ",", "including", "all", "rights", "or", "benefits", "therefor", ",", "including", "without", "limitation", "the", "right", "to", "sue", "and", "recover", "for", "past", "and", "future", "infringement", ".", "The", "Executive", "acknowledges", "that", "any", "rights", "in", "any", "Developments", "constituting", "a", "work", "made", "for", "hire", "under", "the", "U", ".", "S", ".", "Copyright", "Act", ",", "17", "U", ".", "S", ".", "C", "101", "et", "seq", ".", "are", "owned", "upon", "creation", "by", "the", "Company", "as", "the", "Executives", "employer", ".", "Whenever", "requested", "to", "do", "so", "by", "the", "Company", ",", "the", "Executive", "shall", "execute", "any", "and", "all", "applications", ",", "assignments", "or", "other", "instruments", "which", "the", "Company", "shall", "deem", "necessary", "to", "apply", "for", "and", "obtain", "trademarks", ",", "patents", "or", "copyrights", "of", "the", "United", "States", "or", "any", "foreign", "country", "or", "otherwise", "protect", "the", "interests", "of", "the", "Company", "Group", ".", "These", "obligations", "shall", "continue", "beyond", "the", "end", "of", "the", "Executives", "employment", "with", "the", "Company", "with", "respect", "to", "inventions", ",", "discoveries", ",", "improvements", "or", "copyrightable", "works", "initiated", ",", "conceived", "or", "made", "by", "the", "Executive", "while", "employed", "by", "the", "Company", ",", "and", "shall", "be", "binding", "upon", "the", "Executives", "employers", ",", "assigns", ",", "executors", ",", "administrators", "and", "other", "legal", "representatives", ".", "In", "connection", "with", "his", "execution", "of", "this", "Employment", "Agreement", ",", "the", "Executive", "has", "informed", "the", "Company", "in", "writing", "of", "any", "interest", "in", "any", "inventions", "or", "intellectual", "property", "rights", "that", "he", "holds", "as", "of", "the", "Effective", "Date", ".", "If", "the", "Company", "is", "unable", "for", "any", "reason", ",", "after", "reasonable", "effort", ",", "to", "obtain", "the", "Executives", "signature", "on", "any", "document", "needed", "in", "connection", "with", "the", "actions", "described", "in", "this", "Section4", ".", "6", ",", "the", "Executive", "hereby", "irrevocably", "designates", "and", "appoints", "the", "Company", "and", "its", "duly", "authorized", "officers", "and", "agents", "as", "the", "Executives", "agent", "and", "attorney", "in", "fact", "to", "act", "for", "and", "on", "the", "Executives", "behalf", "to", "execute", ",", "verify", "and", "file", "any", "such", "documents", "and", "to", "do", "all", "other", "lawfully", "permitted", "acts", "to", "further", "the", "purposes", "of", "this", "Section4", ".", "6", "with", "the", "same", "legal", "force", "and", "effect", "as", "if", "executed", "by", "the", "Executive", "."]}
{"id": "11572", "text": "1. In consideration of the payments and benefits to be made under the Employment Agreement, dated as of March14, 2016 (the Employment Agreement), to which Kenneth Rodi (the Executive) and Evoqua Water Technologies LLC , a Delaware limited liability company (the Company) (each of the Executive and the Company, a Party and collectively, the Parties) are parties, the sufficiency of which the Executive acknowledges, the Executive, with the intention of binding himself and his heirs, executors, administrators and assigns, does hereby release, remise, acquit and forever discharge Holdings (as defined in the Employment Agreement), the Company and each of its and their subsidiaries and affiliates (the Company Affiliated Group), their present and former officers, directors, executives, shareholders, agents, attorneys, employees and employee benefit plans (and the fiduciaries thereof), and the successors, predecessors and assigns of each of the foregoing (collectively, the Company Released Parties), of and from any and all claims, actions, causes of action, complaints, charges, demands, rights, damages, debts, sums of money, accounts, financial obligations, suits, expenses, attorneys fees and liabilities of whatever kind or nature in law, equity or otherwise, whether accrued, absolute, contingent, unliquidated or otherwise and whether now known or unknown, suspected or unsuspected, which the Executive, individually or as a member of a class, now has, owns or holds, or has at any time heretofore had, owned or held, arising on or prior to the date hereof, against any Company Released Party that arises out of, or relates to, the Employment Agreement, the Executives employment with the Company or any of its subsidiaries and affiliates, or any termination of such employment, including claims (i)for severance or vacation benefits, unpaid wages, salary or incentive payments, (ii)for breach of contract, wrongful discharge, impairment of economic opportunity, defamation, intentional infliction of emotional harm or other tort, (iii)for any violation of applicable state and local labor and employment laws (including, without limitation, all laws concerning unlawful and unfair labor and employment practices) and (iv)for employment discrimination under any applicable federal, state or local statute, provision, order or regulation, and including, without limitation, any claim under Title VII of the Civil Rights Act of 1964 (Title VII), the Civil Rights Act of 1988 , the Fair Labor Standards Act , the Americans with Disabilities Act ( ADA ), the Employee Retirement Income Security Act of 1974 , as amended ( ERISA ), the Age Discrimination in Employment Act ( ADEA ), and any similar or analogous state statute, excepting only:", "ner": [[14, 15, "Title"], [20, 22, "EffectiveDate"], [31, 32, "Parties"], [38, 41, "Parties"], [456, 460, "Act"], [467, 471, "Act"], [474, 477, "Act"], [480, 483, "Act"], [489, 495, "Act"], [504, 508, "Act"]], "tokenized_text": ["1", ".", "In", "consideration", "of", "the", "payments", "and", "benefits", "to", "be", "made", "under", "the", "Employment", "Agreement", ",", "dated", "as", "of", "March14", ",", "2016", "(", "the", "Employment", "Agreement", ")", ",", "to", "which", "Kenneth", "Rodi", "(", "the", "Executive", ")", "and", "Evoqua", "Water", "Technologies", "LLC", ",", "a", "Delaware", "limited", "liability", "company", "(", "the", "Company", ")", "(", "each", "of", "the", "Executive", "and", "the", "Company", ",", "a", "Party", "and", "collectively", ",", "the", "Parties", ")", "are", "parties", ",", "the", "sufficiency", "of", "which", "the", "Executive", "acknowledges", ",", "the", "Executive", ",", "with", "the", "intention", "of", "binding", "himself", "and", "his", "heirs", ",", "executors", ",", "administrators", "and", "assigns", ",", "does", "hereby", "release", ",", "remise", ",", "acquit", "and", "forever", "discharge", "Holdings", "(", "as", "defined", "in", "the", "Employment", "Agreement", ")", ",", "the", "Company", "and", "each", "of", "its", "and", "their", "subsidiaries", "and", "affiliates", "(", "the", "Company", "Affiliated", "Group", ")", ",", "their", "present", "and", "former", "officers", ",", "directors", ",", "executives", ",", "shareholders", ",", "agents", ",", "attorneys", ",", "employees", "and", "employee", "benefit", "plans", "(", "and", "the", "fiduciaries", "thereof", ")", ",", "and", "the", "successors", ",", "predecessors", "and", "assigns", "of", "each", "of", "the", "foregoing", "(", "collectively", ",", "the", "Company", "Released", "Parties", ")", ",", "of", "and", "from", "any", "and", "all", "claims", ",", "actions", ",", "causes", "of", "action", ",", "complaints", ",", "charges", ",", "demands", ",", "rights", ",", "damages", ",", "debts", ",", "sums", "of", "money", ",", "accounts", ",", "financial", "obligations", ",", "suits", ",", "expenses", ",", "attorneys", "fees", "and", "liabilities", "of", "whatever", "kind", "or", "nature", "in", "law", ",", "equity", "or", "otherwise", ",", "whether", "accrued", ",", "absolute", ",", "contingent", ",", "unliquidated", "or", "otherwise", "and", "whether", "now", "known", "or", "unknown", ",", "suspected", "or", "unsuspected", ",", "which", "the", "Executive", ",", "individually", "or", "as", "a", "member", "of", "a", "class", ",", "now", "has", ",", "owns", "or", "holds", ",", "or", "has", "at", "any", "time", "heretofore", "had", ",", "owned", "or", "held", ",", "arising", "on", "or", "prior", "to", "the", "date", "hereof", ",", "against", "any", "Company", "Released", "Party", "that", "arises", "out", "of", ",", "or", "relates", "to", ",", "the", "Employment", "Agreement", ",", "the", "Executives", "employment", "with", "the", "Company", "or", "any", "of", "its", "subsidiaries", "and", "affiliates", ",", "or", "any", "termination", "of", "such", "employment", ",", "including", "claims", "(", "i", ")", "for", "severance", "or", "vacation", "benefits", ",", "unpaid", "wages", ",", "salary", "or", "incentive", "payments", ",", "(", "ii", ")", "for", "breach", "of", "contract", ",", "wrongful", "discharge", ",", "impairment", "of", "economic", "opportunity", ",", "defamation", ",", "intentional", "infliction", "of", "emotional", "harm", "or", "other", "tort", ",", "(", "iii", ")", "for", "any", "violation", "of", "applicable", "state", "and", "local", "labor", "and", "employment", "laws", "(", "including", ",", "without", "limitation", ",", "all", "laws", "concerning", "unlawful", "and", "unfair", "labor", "and", "employment", "practices", ")", "and", "(", "iv", ")", "for", "employment", "discrimination", "under", "any", "applicable", "federal", ",", "state", "or", "local", "statute", ",", "provision", ",", "order", "or", "regulation", ",", "and", "including", ",", "without", "limitation", ",", "any", "claim", "under", "Title", "VII", "of", "the", "Civil", "Rights", "Act", "of", "1964", "(", "Title", "VII", ")", ",", "the", "Civil", "Rights", "Act", "of", "1988", ",", "the", "Fair", "Labor", "Standards", "Act", ",", "the", "Americans", "with", "Disabilities", "Act", "(", "ADA", ")", ",", "the", "Employee", "Retirement", "Income", "Security", "Act", "of", "1974", ",", "as", "amended", "(", "ERISA", ")", ",", "the", "Age", "Discrimination", "in", "Employment", "Act", "(", "ADEA", ")", ",", "and", "any", "similar", "or", "analogous", "state", "statute", ",", "excepting", "only", ":"]}
{"id": "11577", "text": "(a) Base Salary. During the Employment Term, Executive shall be paid an annual base salary of $900,0000 (Base Salary). The Base Salary shall be payable in accordance with the Companys regular payroll practices as then in effect. During the Employment Term, the Base Salary shall be reviewed annually and is subject to increase (but not decrease, including after any increase) at the discretion of the Compensation Committee of the Board (the Committee).", "ner": [[20, 23, "Salary"]], "tokenized_text": ["(", "a", ")", "Base", "Salary", ".", "During", "the", "Employment", "Term", ",", "Executive", "shall", "be", "paid", "an", "annual", "base", "salary", "of", "$", "900", ",", "0000", "(", "Base", "Salary", ")", ".", "The", "Base", "Salary", "shall", "be", "payable", "in", "accordance", "with", "the", "Companys", "regular", "payroll", "practices", "as", "then", "in", "effect", ".", "During", "the", "Employment", "Term", ",", "the", "Base", "Salary", "shall", "be", "reviewed", "annually", "and", "is", "subject", "to", "increase", "(", "but", "not", "decrease", ",", "including", "after", "any", "increase", ")", "at", "the", "discretion", "of", "the", "Compensation", "Committee", "of", "the", "Board", "(", "the", "Committee", ")", "."]}
{"id": "11579", "text": "(5) for a period of seven (7) days following my signing of this General Release, I shall have the right to revoke the waiver of claims arising under the Age Discrimination in Employment Act. < br/>", "ner": [[34, 38, "Act"]], "tokenized_text": ["(", "5", ")", "for", "a", "period", "of", "seven", "(", "7", ")", "days", "following", "my", "signing", "of", "this", "General", "Release", ",", "I", "shall", "have", "the", "right", "to", "revoke", "the", "waiver", "of", "claims", "arising", "under", "the", "Age", "Discrimination", "in", "Employment", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "11580", "text": "THIS FOUNDER EMPLOYMENT AGREEMENT (this \"Agreement\") is entered into this 10th day of October, 2017 , to take effect October 1st, 2017 (the \"Effective Date\"), by and between InVESTVIEW INC. a Nevada corporation (the \"Employer\"), and Chad Miller (the \"Founder\").", "ner": [[1, 1, "Role"], [2, 3, "Title"], [14, 19, "EffectiveDate"], [24, 27, "EffectiveDate"], [39, 41, "Parties"], [53, 54, "Parties"]], "tokenized_text": ["THIS", "FOUNDER", "EMPLOYMENT", "AGREEMENT", "(", "this", "\"", "Agreement", "\"", ")", "is", "entered", "into", "this", "10th", "day", "of", "October", ",", "2017", ",", "to", "take", "effect", "October", "1st", ",", "2017", "(", "the", "\"", "Effective", "Date", "\"", ")", ",", "by", "and", "between", "InVESTVIEW", "INC", ".", "a", "Nevada", "corporation", "(", "the", "\"", "Employer", "\"", ")", ",", "and", "Chad", "Miller", "(", "the", "\"", "Founder", "\"", ")", "."]}
{"id": "11581", "text": "1.3Duties. During the term of this Agreement, the Founder shall be employed by the Employer and shall serve as Chief Visionary Officer . The Founder shall serve in such offices or positions with the Employer or any subsidiary of the Employer and such substitute or further offices or positions of substantially consistent rank and authority. The Founder shall perform such duties appropriate for a founding officer of Employer as may be assigned to him from time to time by the Employer and as described in the Employer's bylaws. The Employer shall direct, control, and supervise the duties and work of the Founder.", "ner": [[23, 25, "Role"]], "tokenized_text": ["1", ".", "3Duties", ".", "During", "the", "term", "of", "this", "Agreement", ",", "the", "Founder", "shall", "be", "employed", "by", "the", "Employer", "and", "shall", "serve", "as", "Chief", "Visionary", "Officer", ".", "The", "Founder", "shall", "serve", "in", "such", "offices", "or", "positions", "with", "the", "Employer", "or", "any", "subsidiary", "of", "the", "Employer", "and", "such", "substitute", "or", "further", "offices", "or", "positions", "of", "substantially", "consistent", "rank", "and", "authority", ".", "The", "Founder", "shall", "perform", "such", "duties", "appropriate", "for", "a", "founding", "officer", "of", "Employer", "as", "may", "be", "assigned", "to", "him", "from", "time", "to", "time", "by", "the", "Employer", "and", "as", "described", "in", "the", "Employer", "'", "s", "bylaws", ".", "The", "Employer", "shall", "direct", ",", "control", ",", "and", "supervise", "the", "duties", "and", "work", "of", "the", "Founder", "."]}
{"id": "11582", "text": "| EMPLOYER: ---|--- | Address: | Investview, Inc. 12 South 400 West | | Salt Lake City, UT 84101 | | | By: | ![](tv476913_ex10-26img1.jpg) | Name: | Ryan Smith | Title: | CEO | | Address: | FOUNDER: 287 N Homestead Lane | | Fruit Heights, UT 84037 | | | By: | ![](tv476913_ex10-26img2.jpg) | Name: | Chad Miller | Title: | Founder", "ner": [[14, 17, "Parties"], [18, 21, "Address"], [24, 29, "Address"], [54, 54, "Role"], [60, 60, "Role"], [62, 65, "Address"], [68, 71, "Address"]], "tokenized_text": ["|", "EMPLOYER", ":", "-", "-", "-", "|", "-", "-", "-", "|", "Address", ":", "|", "Investview", ",", "Inc", ".", "12", "South", "400", "West", "|", "|", "Salt", "Lake", "City", ",", "UT", "84101", "|", "|", "|", "By", ":", "|", "!", "[", "]", "(", "tv476913_ex10-26img1", ".", "jpg", ")", "|", "Name", ":", "|", "Ryan", "Smith", "|", "Title", ":", "|", "CEO", "|", "|", "Address", ":", "|", "FOUNDER", ":", "287", "N", "Homestead", "Lane", "|", "|", "Fruit", "Heights", ",", "UT", "84037", "|", "|", "|", "By", ":", "|", "!", "[", "]", "(", "tv476913_ex10-26img2", ".", "jpg", ")", "|", "Name", ":", "|", "Chad", "Miller", "|", "Title", ":", "|", "Founder"]}
{"id": "11585", "text": "2. Duties. During the Employment Period, Executive shall devote Executives full business time, energies and talents to serving as the President and Chief Executive Officer of the Company, at the direction of the Companys Board of Directors. Executive shall have such duties and responsibilities as may be assigned to Executive from time to time by the Companys Board of Directors, which duties and responsibilities shall be commensurate with Executives position, shall perform all duties assigned to Executive faithfully and efficiently, subject to the direction of the Companys Board of Directors and shall have such authorities and powers as are inherent to the undertakings applicable to Executives position and necessary to carry out the responsibilities and duties required of Executive hereunder. Executive shall perform", "ner": [[24, 24, "Role"], [26, 28, "Role"]], "tokenized_text": ["2", ".", "Duties", ".", "During", "the", "Employment", "Period", ",", "Executive", "shall", "devote", "Executives", "full", "business", "time", ",", "energies", "and", "talents", "to", "serving", "as", "the", "President", "and", "Chief", "Executive", "Officer", "of", "the", "Company", ",", "at", "the", "direction", "of", "the", "Companys", "Board", "of", "Directors", ".", "Executive", "shall", "have", "such", "duties", "and", "responsibilities", "as", "may", "be", "assigned", "to", "Executive", "from", "time", "to", "time", "by", "the", "Companys", "Board", "of", "Directors", ",", "which", "duties", "and", "responsibilities", "shall", "be", "commensurate", "with", "Executives", "position", ",", "shall", "perform", "all", "duties", "assigned", "to", "Executive", "faithfully", "and", "efficiently", ",", "subject", "to", "the", "direction", "of", "the", "Companys", "Board", "of", "Directors", "and", "shall", "have", "such", "authorities", "and", "powers", "as", "are", "inherent", "to", "the", "undertakings", "applicable", "to", "Executives", "position", "and", "necessary", "to", "carry", "out", "the", "responsibilities", "and", "duties", "required", "of", "Executive", "hereunder", ".", "Executive", "shall", "perform"]}
{"id": "11591", "text": "WHEREAS, the Parties previously entered into an Employment Agreement for employment beginning on April 29, 2015 (the Prior Agreement).", "ner": [[3, 3, "Parties"], [8, 9, "Title"], [14, 17, "EffectiveDate"], [20, 21, "Title"]], "tokenized_text": ["WHEREAS", ",", "the", "Parties", "previously", "entered", "into", "an", "Employment", "Agreement", "for", "employment", "beginning", "on", "April", "29", ",", "2015", "(", "the", "Prior", "Agreement", ")", "."]}
{"id": "11594", "text": "5.1 Cash Severance. A lump sum cash amount equal to 100% of the sum of (a) Executives Base Salary; and", "ner": [[13, 14, "Percentage"], [22, 24, "Salary"]], "tokenized_text": ["5", ".", "1", "Cash", "Severance", ".", "A", "lump", "sum", "cash", "amount", "equal", "to", "100", "%", "of", "the", "sum", "of", "(", "a", ")", "Executives", "Base", "Salary", ";", "and"]}
{"id": "11595", "text": "12.1 Consent to Jurisdiction. To the extent that any court action is permitted consistent with this Agreement and the Confidentiality Agreement, the Parties hereby consent to the jurisdiction of the Superior Court of the State of California and the United States District Court for the District of Northern California. Accordingly, with respect to any such court action, each Party (a) submits to the personal jurisdiction of such courts; (b) consents to service of process; and (c) waives any other requirement (whether imposed by statute, rule of court, or otherwise) with respect to personal jurisdiction or service of process.", "ner": [[22, 23, "Title"], [34, 40, "Court"], [43, 52, "Court"]], "tokenized_text": ["12", ".", "1", "Consent", "to", "Jurisdiction", ".", "To", "the", "extent", "that", "any", "court", "action", "is", "permitted", "consistent", "with", "this", "Agreement", "and", "the", "Confidentiality", "Agreement", ",", "the", "Parties", "hereby", "consent", "to", "the", "jurisdiction", "of", "the", "Superior", "Court", "of", "the", "State", "of", "California", "and", "the", "United", "States", "District", "Court", "for", "the", "District", "of", "Northern", "California", ".", "Accordingly", ",", "with", "respect", "to", "any", "such", "court", "action", ",", "each", "Party", "(", "a", ")", "submits", "to", "the", "personal", "jurisdiction", "of", "such", "courts", ";", "(", "b", ")", "consents", "to", "service", "of", "process", ";", "and", "(", "c", ")", "waives", "any", "other", "requirement", "(", "whether", "imposed", "by", "statute", ",", "rule", "of", "court", ",", "or", "otherwise", ")", "with", "respect", "to", "personal", "jurisdiction", "or", "service", "of", "process", "."]}
{"id": "11599", "text": "23. Attorneys Fees. Except with regard to a legal action challenging or seeking a determination in good faith of the validity of the waiver herein under the ADEA , in the event that either Party brings an action to enforce or effect its rights under this Agreement, the prevailing Party shall be entitled to recover its costs and", "ner": [], "tokenized_text": ["23", ".", "Attorneys", "Fees", ".", "Except", "with", "regard", "to", "a", "legal", "action", "challenging", "or", "seeking", "a", "determination", "in", "good", "faith", "of", "the", "validity", "of", "the", "waiver", "herein", "under", "the", "ADEA", ",", "in", "the", "event", "that", "either", "Party", "brings", "an", "action", "to", "enforce", "or", "effect", "its", "rights", "under", "this", "Agreement", ",", "the", "prevailing", "Party", "shall", "be", "entitled", "to", "recover", "its", "costs", "and"]}
{"id": "11600", "text": "/s/ Antonio Pedro Abreu |", "ner": [[3, 5, "Parties"]], "tokenized_text": ["/", "s", "/", "Antonio", "Pedro", "Abreu", "|"]}
{"id": "11603", "text": "(e) Section 280G. In the event that any payments or benefits otherwise payable to Executive (1) constitute parachute payments within the meaning of Section 280G of the Internal Revenue Code of 1986 , as amended (the Code), and (2) but for this Section 7(e), would be subject to the excise tax imposed by Section 4999 of the Code, then such payments and benefits shall be either (x) delivered in full, or (y) delivered as to such lesser extent that would result in no portion of such payments and benefits being subject to excise tax under Section 4999 of the Code, whichever of the foregoing amounts, taking into account the applicable federal, state and local income and employment taxes and the excise tax imposed by Section 4999 of the Code (and any equivalent state or local excise taxes), results in the receipt by Executive on an after- tax basis, of the greatest amount of benefits, notwithstanding that all or some portion of such payments and benefits may be taxable under Section 4999 of the Code. Unless the Company and Executive otherwise agree in writing, any determination required under this Section 7(e) will be made in writing by a nationally-recognized accounting firm selected jointly by the Company and Executive (the Accountants), whose determination will be conclusive and binding upon Executive and the Company for all purposes. For purposes of making the calculations required by this Section 7(e), the Accountants may make reasonable assumptions and approximations concerning applicable taxes and may rely on reasonable, good faith interpretations concerning the application of Sections 280G and 4999 of the Code. The Company and Executive agree to furnish to the Accountants such information and documents as the Accountants may reasonably request in order to make a determination under this provision. The Company will bear all costs the Accountants may reasonably incur in connection with any calculations contemplated by this provision. Any reduction in payments and/or benefits required by this provision shall occur in the following order: (1) reduction of cash payments; (2) reduction of vesting acceleration of equity awards; and (3) reduction of other benefits paid or provided to Executive. In the event that acceleration of vesting of equity awards is to be reduced, such acceleration of vesting shall be cancelled in the reverse order of the date of grant for equity awards. If two or more equity awards are granted on the same date, each award shall be reduced on a pro-rata basis. The Company and Executive agree that (A) any payments and benefits to which Executive is entitled pursuant to Section 7 are compensation for Executives compliance with the restrictive provisions of Section 10 and (B) the Company shall make reasonable efforts to mitigate the payments and benefits that would be subject to the excise tax imposed by Section 4999 of the Code and to maximize the net after-tax proceeds received by Executive; provided that such actions do not result in payment of any increased compensation to Executive, do not provide for any gross-up or indemnity for potential excise taxes and do not reduce the payments and benefits to which Executive is otherwise entitled (except as required pursuant to this Section 7(e)).", "ner": [[3, 4, "Regulation"], [32, 36, "Act"], [67, 68, "Regulation"], [301, 304, "Regulation"]], "tokenized_text": ["(", "e", ")", "Section", "280G", ".", "In", "the", "event", "that", "any", "payments", "or", "benefits", "otherwise", "payable", "to", "Executive", "(", "1", ")", "constitute", "parachute", "payments", "within", "the", "meaning", "of", "Section", "280G", "of", "the", "Internal", "Revenue", "Code", "of", "1986", ",", "as", "amended", "(", "the", "Code", ")", ",", "and", "(", "2", ")", "but", "for", "this", "Section", "7", "(", "e", ")", ",", "would", "be", "subject", "to", "the", "excise", "tax", "imposed", "by", "Section", "4999", "of", "the", "Code", ",", "then", "such", "payments", "and", "benefits", "shall", "be", "either", "(", "x", ")", "delivered", "in", "full", ",", "or", "(", "y", ")", "delivered", "as", "to", "such", "lesser", "extent", "that", "would", "result", "in", "no", "portion", "of", "such", "payments", "and", "benefits", "being", "subject", "to", "excise", "tax", "under", "Section", "4999", "of", "the", "Code", ",", "whichever", "of", "the", "foregoing", "amounts", ",", "taking", "into", "account", "the", "applicable", "federal", ",", "state", "and", "local", "income", "and", "employment", "taxes", "and", "the", "excise", "tax", "imposed", "by", "Section", "4999", "of", "the", "Code", "(", "and", "any", "equivalent", "state", "or", "local", "excise", "taxes", ")", ",", "results", "in", "the", "receipt", "by", "Executive", "on", "an", "after", "-", "tax", "basis", ",", "of", "the", "greatest", "amount", "of", "benefits", ",", "notwithstanding", "that", "all", "or", "some", "portion", "of", "such", "payments", "and", "benefits", "may", "be", "taxable", "under", "Section", "4999", "of", "the", "Code", ".", "Unless", "the", "Company", "and", "Executive", "otherwise", "agree", "in", "writing", ",", "any", "determination", "required", "under", "this", "Section", "7", "(", "e", ")", "will", "be", "made", "in", "writing", "by", "a", "nationally-recognized", "accounting", "firm", "selected", "jointly", "by", "the", "Company", "and", "Executive", "(", "the", "Accountants", ")", ",", "whose", "determination", "will", "be", "conclusive", "and", "binding", "upon", "Executive", "and", "the", "Company", "for", "all", "purposes", ".", "For", "purposes", "of", "making", "the", "calculations", "required", "by", "this", "Section", "7", "(", "e", ")", ",", "the", "Accountants", "may", "make", "reasonable", "assumptions", "and", "approximations", "concerning", "applicable", "taxes", "and", "may", "rely", "on", "reasonable", ",", "good", "faith", "interpretations", "concerning", "the", "application", "of", "Sections", "280G", "and", "4999", "of", "the", "Code", ".", "The", "Company", "and", "Executive", "agree", "to", "furnish", "to", "the", "Accountants", "such", "information", "and", "documents", "as", "the", "Accountants", "may", "reasonably", "request", "in", "order", "to", "make", "a", "determination", "under", "this", "provision", ".", "The", "Company", "will", "bear", "all", "costs", "the", "Accountants", "may", "reasonably", "incur", "in", "connection", "with", "any", "calculations", "contemplated", "by", "this", "provision", ".", "Any", "reduction", "in", "payments", "and", "/", "or", "benefits", "required", "by", "this", "provision", "shall", "occur", "in", "the", "following", "order", ":", "(", "1", ")", "reduction", "of", "cash", "payments", ";", "(", "2", ")", "reduction", "of", "vesting", "acceleration", "of", "equity", "awards", ";", "and", "(", "3", ")", "reduction", "of", "other", "benefits", "paid", "or", "provided", "to", "Executive", ".", "In", "the", "event", "that", "acceleration", "of", "vesting", "of", "equity", "awards", "is", "to", "be", "reduced", ",", "such", "acceleration", "of", "vesting", "shall", "be", "cancelled", "in", "the", "reverse", "order", "of", "the", "date", "of", "grant", "for", "equity", "awards", ".", "If", "two", "or", "more", "equity", "awards", "are", "granted", "on", "the", "same", "date", ",", "each", "award", "shall", "be", "reduced", "on", "a", "pro-rata", "basis", ".", "The", "Company", "and", "Executive", "agree", "that", "(", "A", ")", "any", "payments", "and", "benefits", "to", "which", "Executive", "is", "entitled", "pursuant", "to", "Section", "7", "are", "compensation", "for", "Executives", "compliance", "with", "the", "restrictive", "provisions", "of", "Section", "10", "and", "(", "B", ")", "the", "Company", "shall", "make", "reasonable", "efforts", "to", "mitigate", "the", "payments", "and", "benefits", "that", "would", "be", "subject", "to", "the", "excise", "tax", "imposed", "by", "Section", "4999", "of", "the", "Code", "and", "to", "maximize", "the", "net", "after-tax", "proceeds", "received", "by", "Executive", ";", "provided", "that", "such", "actions", "do", "not", "result", "in", "payment", "of", "any", "increased", "compensation", "to", "Executive", ",", "do", "not", "provide", "for", "any", "gross-up", "or", "indemnity", "for", "potential", "excise", "taxes", "and", "do", "not", "reduce", "the", "payments", "and", "benefits", "to", "which", "Executive", "is", "otherwise", "entitled", "(", "except", "as", "required", "pursuant", "to", "this", "Section", "7", "(", "e", ")", ")", "."]}
{"id": "11605", "text": "WHEREAS, Executive currently serves as the Chief Executive Officer of the Company pursuant to that certain Employment Agreement entered into between Executive and OptiNose,Inc. , dated May27, 2010 (the Existing Agreement); and", "ner": [[7, 9, "Role"], [17, 18, "Title"], [24, 27, "Parties"], [30, 32, "EffectiveDate"], [35, 36, "Title"]], "tokenized_text": ["WHEREAS", ",", "Executive", "currently", "serves", "as", "the", "Chief", "Executive", "Officer", "of", "the", "Company", "pursuant", "to", "that", "certain", "Employment", "Agreement", "entered", "into", "between", "Executive", "and", "OptiNose", ",", "Inc", ".", ",", "dated", "May27", ",", "2010", "(", "the", "Existing", "Agreement", ")", ";", "and"]}
{"id": "11606", "text": "2. Title, Duties and Responsibilities. While Executive is employed by the Company, Executive will serve as the Chief Executive Officer of OptiNose,Inc. and will report to the Board of Directors of OptiNose,Inc. Executive will have such duties and responsibilities that are commensurate with Executives position and such other duties and responsibilities as are from time to time assigned to Executive by the Board of Directors of the OptiNose,Inc. (the Board). While Executive is employed by the Company, Executive will devote Executives full business time, energy and skill to the performance of Executives duties and responsibilities hereunder; provided, however, that Executive will be permitted to: (a)act as a strategic consultant for the Walgreen Company and its affiliates, and (b)serve on the board of directors of Actua Corporation, Executive shall also be permitted todevote a reasonable amount of time either during or after business hours to Outside Activities (as defined below), so long as such activities (i) do not prohibit or interfere with Executives performance of Executives duties under this Agreement, (ii) do not conflict with the business of the Company or violate any of the provisions of Section8 herein and (iii) are approved in advance in writing by the Nominating and Corporate Governance Committee (which consent shall not be unreasonably withheld). For purposes of this Agreement, Outside Activities shall include the oversight of passive investments and activities involving professional, charitable, education, religious and other organizations (including membership on boards of for-profit and non-profit organizations). Executive shall, if requested by the Board, also serve as an officer or director of any affiliate of the Company for no additional compensation. Executives place of employment will be the Companys offices in Yardley, Pennsylvania.", "ner": [[21, 23, "Role"], [25, 28, "Parties"], [38, 41, "Parties"], [77, 80, "Parties"], [136, 137, "Parties"], [153, 154, "Parties"], [330, 332, "Address"]], "tokenized_text": ["2", ".", "Title", ",", "Duties", "and", "Responsibilities", ".", "While", "Executive", "is", "employed", "by", "the", "Company", ",", "Executive", "will", "serve", "as", "the", "Chief", "Executive", "Officer", "of", "OptiNose", ",", "Inc", ".", "and", "will", "report", "to", "the", "Board", "of", "Directors", "of", "OptiNose", ",", "Inc", ".", "Executive", "will", "have", "such", "duties", "and", "responsibilities", "that", "are", "commensurate", "with", "Executives", "position", "and", "such", "other", "duties", "and", "responsibilities", "as", "are", "from", "time", "to", "time", "assigned", "to", "Executive", "by", "the", "Board", "of", "Directors", "of", "the", "OptiNose", ",", "Inc", ".", "(", "the", "Board", ")", ".", "While", "Executive", "is", "employed", "by", "the", "Company", ",", "Executive", "will", "devote", "Executives", "full", "business", "time", ",", "energy", "and", "skill", "to", "the", "performance", "of", "Executives", "duties", "and", "responsibilities", "hereunder", ";", "provided", ",", "however", ",", "that", "Executive", "will", "be", "permitted", "to", ":", "(", "a", ")", "act", "as", "a", "strategic", "consultant", "for", "the", "Walgreen", "Company", "and", "its", "affiliates", ",", "and", "(", "b", ")", "serve", "on", "the", "board", "of", "directors", "of", "Actua", "Corporation", ",", "Executive", "shall", "also", "be", "permitted", "todevote", "a", "reasonable", "amount", "of", "time", "either", "during", "or", "after", "business", "hours", "to", "Outside", "Activities", "(", "as", "defined", "below", ")", ",", "so", "long", "as", "such", "activities", "(", "i", ")", "do", "not", "prohibit", "or", "interfere", "with", "Executives", "performance", "of", "Executives", "duties", "under", "this", "Agreement", ",", "(", "ii", ")", "do", "not", "conflict", "with", "the", "business", "of", "the", "Company", "or", "violate", "any", "of", "the", "provisions", "of", "Section8", "herein", "and", "(", "iii", ")", "are", "approved", "in", "advance", "in", "writing", "by", "the", "Nominating", "and", "Corporate", "Governance", "Committee", "(", "which", "consent", "shall", "not", "be", "unreasonably", "withheld", ")", ".", "For", "purposes", "of", "this", "Agreement", ",", "Outside", "Activities", "shall", "include", "the", "oversight", "of", "passive", "investments", "and", "activities", "involving", "professional", ",", "charitable", ",", "education", ",", "religious", "and", "other", "organizations", "(", "including", "membership", "on", "boards", "of", "for-profit", "and", "non-profit", "organizations", ")", ".", "Executive", "shall", ",", "if", "requested", "by", "the", "Board", ",", "also", "serve", "as", "an", "officer", "or", "director", "of", "any", "affiliate", "of", "the", "Company", "for", "no", "additional", "compensation", ".", "Executives", "place", "of", "employment", "will", "be", "the", "Companys", "offices", "in", "Yardley", ",", "Pennsylvania", "."]}
{"id": "11616", "text": "(i) HomeAdvisor SARs. Following the Effective Time (as defined in the Merger Agreement), (A)the stock appreciation rights corresponding to shares of HomeAdvisor,Inc. common stock (HomeAdvisor SARs) held by Executive will convert into stock appreciation rights corresponding to shares of ClassA common stock of the Company (Company SARs) with equitable adjustments to the number of shares covered and the applicable base price determined in accordance with the Employee Matters Agreement by and between IAC and the Company, (B)subject to Section3 of the Standard Terms and Conditions, the Company SARs generally will be exercisable in a manner consistent with stock appreciation rights corresponding to public company common stock, and (C)the Company SARs will otherwise have the same terms and conditions applicable to the HomeAdvisor SARs prior to the Effective Time. Notwithstanding the foregoing but subject to Section3 of the Standard Terms and Conditions (1)not more than 50% of the Company SARs received in respect of the conversion of the HomeAdvisor SARs granted on February11, 2015 shall be exercisable in any calendar year; and (2)the Company SARs received in respect of the conversion of the HomeAdvisor SARs granted on February14, 2017 shall not be exercisable before January1, 2020 , and not more than 33% of such awards may be exercised prior to December31, 2020. In the event of a termination of Executives employment prior to the lapse of any restriction on the exercise of vested Company SARs as set forth in the immediately preceding sentence, then either (x)the Company shall waive such restrictions so that such vested Company SARs can be exercised prior to the date that is (I)90days following such termination of employment, in the case of Executives termination of employment without Good Reason, (II)18months following such termination of employment, in the case of Executives termination of employment by the Company without Cause or by Executive with Good Reason, or (III)12months following such termination of employment, in the case of Executives death or Disability, or (y)at the Companys election, in the event of a termination of employment by virtue of Executives resignation without Good Reason, such vested Company SARs shall remain exercisable until the 90th day following the lapse of the restrictions related thereto; provided, however, that in no event shall any vested Company SARs remain outstanding beyond the scheduled expiration date of such Company SARs.", "ner": [[15, 16, "Title"], [82, 84, "Title"], [173, 174, "Percentage"], [191, 193, "EffectiveDate"], [221, 223, "EffectiveDate"], [237, 238, "Percentage"], [247, 249, "TerminationDate"], [334, 339, "TerminationDate"]], "tokenized_text": ["(", "i", ")", "HomeAdvisor", "SARs", ".", "Following", "the", "Effective", "Time", "(", "as", "defined", "in", "the", "Merger", "Agreement", ")", ",", "(", "A", ")", "the", "stock", "appreciation", "rights", "corresponding", "to", "shares", "of", "HomeAdvisor", ",", "Inc", ".", "common", "stock", "(", "HomeAdvisor", "SARs", ")", "held", "by", "Executive", "will", "convert", "into", "stock", "appreciation", "rights", "corresponding", "to", "shares", "of", "ClassA", "common", "stock", "of", "the", "Company", "(", "Company", "SARs", ")", "with", "equitable", "adjustments", "to", "the", "number", "of", "shares", "covered", "and", "the", "applicable", "base", "price", "determined", "in", "accordance", "with", "the", "Employee", "Matters", "Agreement", "by", "and", "between", "IAC", "and", "the", "Company", ",", "(", "B", ")", "subject", "to", "Section3", "of", "the", "Standard", "Terms", "and", "Conditions", ",", "the", "Company", "SARs", "generally", "will", "be", "exercisable", "in", "a", "manner", "consistent", "with", "stock", "appreciation", "rights", "corresponding", "to", "public", "company", "common", "stock", ",", "and", "(", "C", ")", "the", "Company", "SARs", "will", "otherwise", "have", "the", "same", "terms", "and", "conditions", "applicable", "to", "the", "HomeAdvisor", "SARs", "prior", "to", "the", "Effective", "Time", ".", "Notwithstanding", "the", "foregoing", "but", "subject", "to", "Section3", "of", "the", "Standard", "Terms", "and", "Conditions", "(", "1", ")", "not", "more", "than", "50", "%", "of", "the", "Company", "SARs", "received", "in", "respect", "of", "the", "conversion", "of", "the", "HomeAdvisor", "SARs", "granted", "on", "February11", ",", "2015", "shall", "be", "exercisable", "in", "any", "calendar", "year", ";", "and", "(", "2", ")", "the", "Company", "SARs", "received", "in", "respect", "of", "the", "conversion", "of", "the", "HomeAdvisor", "SARs", "granted", "on", "February14", ",", "2017", "shall", "not", "be", "exercisable", "before", "January1", ",", "2020", ",", "and", "not", "more", "than", "33", "%", "of", "such", "awards", "may", "be", "exercised", "prior", "to", "December31", ",", "2020", ".", "In", "the", "event", "of", "a", "termination", "of", "Executives", "employment", "prior", "to", "the", "lapse", "of", "any", "restriction", "on", "the", "exercise", "of", "vested", "Company", "SARs", "as", "set", "forth", "in", "the", "immediately", "preceding", "sentence", ",", "then", "either", "(", "x", ")", "the", "Company", "shall", "waive", "such", "restrictions", "so", "that", "such", "vested", "Company", "SARs", "can", "be", "exercised", "prior", "to", "the", "date", "that", "is", "(", "I", ")", "90days", "following", "such", "termination", "of", "employment", ",", "in", "the", "case", "of", "Executives", "termination", "of", "employment", "without", "Good", "Reason", ",", "(", "II", ")", "18months", "following", "such", "termination", "of", "employment", ",", "in", "the", "case", "of", "Executives", "termination", "of", "employment", "by", "the", "Company", "without", "Cause", "or", "by", "Executive", "with", "Good", "Reason", ",", "or", "(", "III", ")", "12months", "following", "such", "termination", "of", "employment", ",", "in", "the", "case", "of", "Executives", "death", "or", "Disability", ",", "or", "(", "y", ")", "at", "the", "Companys", "election", ",", "in", "the", "event", "of", "a", "termination", "of", "employment", "by", "virtue", "of", "Executives", "resignation", "without", "Good", "Reason", ",", "such", "vested", "Company", "SARs", "shall", "remain", "exercisable", "until", "the", "90th", "day", "following", "the", "lapse", "of", "the", "restrictions", "related", "thereto", ";", "provided", ",", "however", ",", "that", "in", "no", "event", "shall", "any", "vested", "Company", "SARs", "remain", "outstanding", "beyond", "the", "scheduled", "expiration", "date", "of", "such", "Company", "SARs", "."]}
{"id": "11617", "text": "14023 Denver West Parkway", "ner": [[0, 3, "Address"]], "tokenized_text": ["14023", "Denver", "West", "Parkway"]}
{"id": "11619", "text": "New York, NY 10011", "ner": [[0, 4, "Address"]], "tokenized_text": ["New", "York", ",", "NY", "10011"]}
{"id": "11621", "text": "ANGI Homeservices Inc. ---|---", "ner": [], "tokenized_text": ["ANGI", "Homeservices", "Inc", ".", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "11623", "text": "THIS EMPLOYMENT AGREEMENT (this Agreement) is made and entered into as of the [] day of [], 2017 , by and between Tracy Daw , a resident (Employee), and Funko, Inc. , a Delaware corporation (any of its Affiliates as may employ the Employee from time to time, and any successor(s) thereto, the Company).", "ner": [[1, 2, "Title"], [27, 28, "Parties"], [37, 40, "Parties"]], "tokenized_text": ["THIS", "EMPLOYMENT", "AGREEMENT", "(", "this", "Agreement", ")", "is", "made", "and", "entered", "into", "as", "of", "the", "[", "]", "day", "of", "[", "]", ",", "2017", ",", "by", "and", "between", "Tracy", "Daw", ",", "a", "resident", "(", "Employee", ")", ",", "and", "Funko", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "any", "of", "its", "Affiliates", "as", "may", "employ", "the", "Employee", "from", "time", "to", "time", ",", "and", "any", "successor", "(", "s", ")", "thereto", ",", "the", "Company", ")", "."]}
{"id": "11625", "text": "3.01 Title. During the Term, Employee agrees to serve as the Companys Senior Vice President, General Counsel and Secretary .", "ner": [[16, 18, "Role"], [20, 21, "Role"], [23, 23, "Role"]], "tokenized_text": ["3", ".", "01", "Title", ".", "During", "the", "Term", ",", "Employee", "agrees", "to", "serve", "as", "the", "Companys", "Senior", "Vice", "President", ",", "General", "Counsel", "and", "Secretary", "."]}
{"id": "11627", "text": "(b) Notwithstanding anything in this Agreement to the contrary, the following special rule shall apply, if and to the extent required by Section409A, in the event that (i)Employee is deemed to be a specified employee within the meaning of Section409A(a)(2)(B)(i) of the Code, (ii)amounts or benefits under this Agreement or any other program, plan or arrangement of the Company or a controlled group affiliate thereof are due or payable on account of separation from service within the meaning of Treasury Regulations Section1.409A-l(h) and (iii)Employee is employed by a public company or a controlled group affiliate thereof: no payments hereunder that are deferred compensation subject to Section409A shall be made to Employee prior to the date that is six (6)months after the date of Employees separation from service or, if earlier, Employees date of death; following any applicable six (6)month delay, all such delayed payments will be paid in a single lump sum on the earliest permissible payment date, without interest.", "ner": [[104, 108, "Regulation"]], "tokenized_text": ["(", "b", ")", "Notwithstanding", "anything", "in", "this", "Agreement", "to", "the", "contrary", ",", "the", "following", "special", "rule", "shall", "apply", ",", "if", "and", "to", "the", "extent", "required", "by", "Section409A", ",", "in", "the", "event", "that", "(", "i", ")", "Employee", "is", "deemed", "to", "be", "a", "specified", "employee", "within", "the", "meaning", "of", "Section409A", "(", "a", ")", "(", "2", ")", "(", "B", ")", "(", "i", ")", "of", "the", "Code", ",", "(", "ii", ")", "amounts", "or", "benefits", "under", "this", "Agreement", "or", "any", "other", "program", ",", "plan", "or", "arrangement", "of", "the", "Company", "or", "a", "controlled", "group", "affiliate", "thereof", "are", "due", "or", "payable", "on", "account", "of", "separation", "from", "service", "within", "the", "meaning", "of", "Treasury", "Regulations", "Section1", ".", "409A-l", "(", "h", ")", "and", "(", "iii", ")", "Employee", "is", "employed", "by", "a", "public", "company", "or", "a", "controlled", "group", "affiliate", "thereof", ":", "no", "payments", "hereunder", "that", "are", "deferred", "compensation", "subject", "to", "Section409A", "shall", "be", "made", "to", "Employee", "prior", "to", "the", "date", "that", "is", "six", "(", "6", ")", "months", "after", "the", "date", "of", "Employees", "separation", "from", "service", "or", ",", "if", "earlier", ",", "Employees", "date", "of", "death", ";", "following", "any", "applicable", "six", "(", "6", ")", "month", "delay", ",", "all", "such", "delayed", "payments", "will", "be", "paid", "in", "a", "single", "lump", "sum", "on", "the", "earliest", "permissible", "payment", "date", ",", "without", "interest", "."]}
{"id": "11630", "text": "This EXECUTIVE EMPLOYMENT AGREEMENT dated October 02, 2017 (the Effective Date) is entered by and between Quest Solution, Inc. , a company incorporated under the laws of Delaware (the Company), and Benjamin Kemper , an individual (the Executive), with reference to the following facts:", "ner": [[2, 3, "Title"], [5, 8, "EffectiveDate"], [19, 23, "Parties"], [30, 32, "Court"], [39, 40, "Parties"]], "tokenized_text": ["This", "EXECUTIVE", "EMPLOYMENT", "AGREEMENT", "dated", "October", "02", ",", "2017", "(", "the", "Effective", "Date", ")", "is", "entered", "by", "and", "between", "Quest", "Solution", ",", "Inc", ".", ",", "a", "company", "incorporated", "under", "the", "laws", "of", "Delaware", "(", "the", "Company", ")", ",", "and", "Benjamin", "Kemper", ",", "an", "individual", "(", "the", "Executive", ")", ",", "with", "reference", "to", "the", "following", "facts", ":"]}
{"id": "11634", "text": "1.4 Base Salary. The Company shall pay the Executive a base salary (the Base Salary) at the annual rate of $130,000 (U.S.), payable at such times as the Company customarily pays its other senior level executives (but in any event no less often than monthly). The Base Salary shall be subject to all state, federal and local payroll tax withholding and any other withholdings required by law. The Executives Base Salary may be increased by the Board or any party delegated by the Board. Once increased, such increased amount shall constitute the Executives Base Salary. The Company shall grant the Executive 500,000 options to purchase common stock of the Company at the closing stock price on the date prior to the date hereof. Executive shall also receive from the Company a $20,000 signing bonus in the form of two equal payments of $10,000 . The payments shall be due as follows: $10,000 upon signing this Agreement and $10,000 two weeks from the date of this Agreement respectively.", "ner": [[25, 28, "Salary"], [123, 125, "Salary"], [156, 159, "Salary"], [170, 173, "Salary"]], "tokenized_text": ["1", ".", "4", "Base", "Salary", ".", "The", "Company", "shall", "pay", "the", "Executive", "a", "base", "salary", "(", "the", "Base", "Salary", ")", "at", "the", "annual", "rate", "of", "$", "130", ",", "000", "(", "U", ".", "S", ".", ")", ",", "payable", "at", "such", "times", "as", "the", "Company", "customarily", "pays", "its", "other", "senior", "level", "executives", "(", "but", "in", "any", "event", "no", "less", "often", "than", "monthly", ")", ".", "The", "Base", "Salary", "shall", "be", "subject", "to", "all", "state", ",", "federal", "and", "local", "payroll", "tax", "withholding", "and", "any", "other", "withholdings", "required", "by", "law", ".", "The", "Executives", "Base", "Salary", "may", "be", "increased", "by", "the", "Board", "or", "any", "party", "delegated", "by", "the", "Board", ".", "Once", "increased", ",", "such", "increased", "amount", "shall", "constitute", "the", "Executives", "Base", "Salary", ".", "The", "Company", "shall", "grant", "the", "Executive", "500", ",", "000", "options", "to", "purchase", "common", "stock", "of", "the", "Company", "at", "the", "closing", "stock", "price", "on", "the", "date", "prior", "to", "the", "date", "hereof", ".", "Executive", "shall", "also", "receive", "from", "the", "Company", "a", "$", "20", ",", "000", "signing", "bonus", "in", "the", "form", "of", "two", "equal", "payments", "of", "$", "10", ",", "000", ".", "The", "payments", "shall", "be", "due", "as", "follows", ":", "$", "10", ",", "000", "upon", "signing", "this", "Agreement", "and", "$", "10", ",", "000", "two", "weeks", "from", "the", "date", "of", "this", "Agreement", "respectively", "."]}
{"id": "11635", "text": "6.5 Change In Control. For purposes of this Employment Agreement, a Change in Control shall be deemed to have occurred if (i) there shall be consummated (A) any consolidation or merger of the Company in which the Company is not the continuing or surviving corporation or pursuant to which shares of the Companys Common Stock would be converted into cash, securities or other property, other than a merger of the Company in which the holders of the Companys Common Stock immediately prior to the merger have substantially the same proportionate ownership of common stock of the surviving corporation immediately after the merger, or (B) any sale, lease, exchange or other transfer (in one transaction or a series of related transactions) of all or substantially all the assets of the Company, or (ii) the stockholders of the Company shall approve any plan or proposal for the liquidation or dissolution of the Company, or (iii) any person (as such term is used in Sections 13(d) and 14(d)(2) of the Securities Exchange Act of 1934 (the Exchange Act)), other than the Company, the Employee or any Employee benefit plan sponsored by the Company, or such person on the Effective Date hereof is a 20% or more beneficial owner, shall become the beneficial owner (within the meaning of Rule 13d-3 under the Exchange Act) of securities of the Company representing 30% or more of the combined voting power of the Companys then outstanding securities ordinarily (and apart from rights accruing in special circumstances) having the right to vote in the election of directors, as a result of a tender or exchange offer, open market purchases, privately negotiated purchases or otherwise, or (iv) at any time during a period of two consecutive years, individuals who at the beginning of such period, constituted the Board of Directors of the Company shall cease for any reason to constitute at least a majority thereof, unless the election or the nomination for election by the Companys stockholders of each new director during such two-year period was approved by a vote of at least two-thirds of the directors then still in office, who were directors at the beginning of such two-year period.", "ner": [[200, 204, "Act"], [239, 240, "Percentage"], [256, 257, "Regulation"], [269, 270, "Percentage"], [399, 399, "Percentage"]], "tokenized_text": ["6", ".", "5", "Change", "In", "Control", ".", "For", "purposes", "of", "this", "Employment", "Agreement", ",", "a", "Change", "in", "Control", "shall", "be", "deemed", "to", "have", "occurred", "if", "(", "i", ")", "there", "shall", "be", "consummated", "(", "A", ")", "any", "consolidation", "or", "merger", "of", "the", "Company", "in", "which", "the", "Company", "is", "not", "the", "continuing", "or", "surviving", "corporation", "or", "pursuant", "to", "which", "shares", "of", "the", "Companys", "Common", "Stock", "would", "be", "converted", "into", "cash", ",", "securities", "or", "other", "property", ",", "other", "than", "a", "merger", "of", "the", "Company", "in", 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"(", "the", "Exchange", "Act", ")", ")", ",", "other", "than", "the", "Company", ",", "the", "Employee", "or", "any", "Employee", "benefit", "plan", "sponsored", "by", "the", "Company", ",", "or", "such", "person", "on", "the", "Effective", "Date", "hereof", "is", "a", "20", "%", "or", "more", "beneficial", "owner", ",", "shall", "become", "the", "beneficial", "owner", "(", "within", "the", "meaning", "of", "Rule", "13d-3", "under", "the", "Exchange", "Act", ")", "of", "securities", "of", "the", "Company", "representing", "30", "%", "or", "more", "of", "the", "combined", "voting", "power", "of", "the", "Companys", "then", "outstanding", "securities", "ordinarily", "(", "and", "apart", "from", "rights", "accruing", "in", "special", "circumstances", ")", "having", "the", "right", "to", "vote", "in", "the", "election", "of", "directors", ",", "as", "a", "result", "of", "a", "tender", "or", "exchange", "offer", ",", "open", "market", "purchases", ",", "privately", "negotiated", "purchases", "or", "otherwise", ",", "or", "(", "iv", ")", "at", "any", "time", "during", "a", "period", "of", "two", "consecutive", "years", ",", "individuals", "who", "at", "the", "beginning", "of", "such", "period", ",", "constituted", "the", "Board", "of", "Directors", "of", "the", "Company", "shall", "cease", "for", "any", "reason", "to", "constitute", "at", "least", "a", "majority", "thereof", ",", "unless", "the", "election", "or", "the", "nomination", "for", "election", "by", "the", "Companys", "stockholders", "of", "each", "new", "director", "during", "such", "two-year", "period", "was", "approved", "by", "a", "vote", "of", "at", "least", "two-thirds", "of", "the", "directors", "then", "still", "in", "office", ",", "who", "were", "directors", "at", "the", "beginning", "of", "such", "two-year", "period", "."]}
{"id": "11636", "text": "9.3 Governing Law. This Agreement shall be governed by and construed in accordance with the laws of the State of Delaware .", "ner": [[21, 23, "Court"]], "tokenized_text": ["9", ".", "3", "Governing", "Law", ".", "This", "Agreement", "shall", "be", "governed", "by", "and", "construed", "in", "accordance", "with", "the", "laws", "of", "the", "State", "of", "Delaware", "."]}
{"id": "11639", "text": "THIS EMPLOYMENT AGREEMENT (Agreement) is made effective as of July 27, 2016 (the Commencement Date), by and among Metropolitan Bank Holding Corporation , a New York corporation with its principal place of business located at 99 Park Avenue, New York, New York 10016 (the Company), its wholly-owned subsidiary, Metropolitan Commercial Bank, a commercial bank with its main office also at 99 Park Avenue New York, New York 10016 (the Bank), and Mark R. DeFazio , a natural person residing at 347 Deere Park Place, Staten Island, New York 10301 (Executive).", "ner": [[1, 2, "Title"], [11, 14, "EffectiveDate"], [24, 27, "Parties"], [41, 50, "Address"], [60, 62, "Parties"], [73, 81, "Address"], [88, 91, "Parties"], [98, 108, "Address"]], "tokenized_text": ["THIS", "EMPLOYMENT", "AGREEMENT", "(", "Agreement", ")", "is", "made", "effective", "as", "of", "July", "27", ",", "2016", "(", "the", "Commencement", "Date", ")", ",", "by", "and", "among", "Metropolitan", "Bank", "Holding", "Corporation", ",", "a", "New", "York", "corporation", "with", "its", "principal", "place", "of", "business", "located", "at", "99", "Park", "Avenue", ",", "New", "York", ",", "New", "York", "10016", "(", "the", "Company", ")", ",", "its", "wholly-owned", "subsidiary", ",", "Metropolitan", "Commercial", "Bank", ",", "a", "commercial", "bank", "with", "its", "main", "office", "also", "at", "99", "Park", "Avenue", "New", "York", ",", "New", "York", "10016", "(", "the", "Bank", ")", ",", "and", "Mark", "R", ".", "DeFazio", ",", "a", "natural", "person", "residing", "at", "347", "Deere", "Park", "Place", ",", "Staten", "Island", ",", "New", "York", "10301", "(", "Executive", ")", "."]}
{"id": "11641", "text": "WHEREAS, the Board of Directors of the Company (the Companys Board) has determined that it is in the best interests of the Company that Executive continue to serve as the Companys President and Chief Executive Officer , and the Board of Directors of the Bank (the Banks Board) has determined that it is in the best interests of the Bank that Executive continue to serve as the Banks President and Chief Executive Officer , in each case pursuant to this written employment agreement, which will be the successor to, and will supersede in its entirety, Executives prior employment agreement with the Bank dated July 28, 2015, and any and all other prior agreements and understandings between Executive and either the Company or the Bank regarding Executives employment by either; and", "ner": [[34, 34, "Role"], [36, 38, "Role"], [75, 77, "Role"], [86, 87, "Title"], [111, 114, "EffectiveDate"]], "tokenized_text": ["WHEREAS", ",", "the", "Board", "of", "Directors", "of", "the", "Company", "(", "the", "Companys", "Board", ")", "has", "determined", "that", "it", "is", "in", "the", "best", "interests", "of", "the", "Company", "that", "Executive", "continue", "to", "serve", "as", "the", "Companys", "President", "and", "Chief", "Executive", "Officer", ",", "and", "the", "Board", "of", "Directors", "of", "the", "Bank", "(", "the", "Banks", "Board", ")", "has", "determined", "that", "it", "is", "in", "the", "best", "interests", "of", "the", "Bank", "that", "Executive", "continue", "to", "serve", "as", "the", "Banks", "President", "and", "Chief", "Executive", "Officer", ",", "in", "each", "case", "pursuant", "to", "this", "written", "employment", "agreement", ",", "which", "will", "be", "the", "successor", "to", ",", "and", "will", "supersede", "in", "its", "entirety", ",", "Executives", "prior", "employment", "agreement", "with", "the", "Bank", "dated", "July", "28", ",", "2015", ",", "and", "any", "and", "all", "other", "prior", "agreements", "and", "understandings", "between", "Executive", "and", "either", "the", "Company", "or", "the", "Bank", "regarding", "Executives", "employment", "by", "either", ";", "and"]}
{"id": "11642", "text": "(a)Positions. During the period of Executives employment under this Agreement, Executive agrees to serve as President and Chief Executive Officer of the Company and as President and Chief Executive Officer of the Bank.", "ner": [[20, 20, "Role"], [22, 24, "Role"], [32, 34, "Role"]], "tokenized_text": ["(", "a", ")", "Positions", ".", "During", "the", "period", "of", "Executives", "employment", "under", "this", "Agreement", ",", "Executive", "agrees", "to", "serve", "as", "President", "and", "Chief", "Executive", "Officer", "of", "the", "Company", "and", "as", "President", "and", "Chief", "Executive", "Officer", "of", "the", "Bank", "."]}
{"id": "11645", "text": "(b)Extension of Term. The Term of Executives employment under this Agreement shall be automatically extended by one day upon completion of each day of Executives employment hereunder, such that a constantly extending thirty-six (36) calendar month Term shall remain in effect hereunder, provided, however, that the Company and/or the Bank may elect at any time, for any reason or no reason, to discontinue such automatic extension, by delivery of a written notice of such discontinuation to the Executive, prepared and delivered in accordance with the provisions of Section 8(a) below (any such notice, a Non-renewal Notice), in which event the Term of Executives employment under this Agreement shall no longer be automatically extended for each day of employment hereunder, but rather shall expire on a fixed Expiration Date, such being the third anniversary of the date of the Non- renewal Notice, as specified in such notice. During the period commencing not more than sixty (60) and not less than thirty (30) days prior to each anniversary of the Commencement Date of this Agreement (each, an Anniversary Date), assuming no prior Non-renewal Notice has been delivered by the Company and/or the Bank to Executive, the Companys Board and the Banks Board will conduct a review of Executives performance, and in connection therewith, will make a determination as to whether the automatic extension of the Term of Executives employment, as described in the preceding sentence, will be permitted to continue, or alternatively, whether such automatic extension of the Term will be discontinued, such that a fixed Expiration Date will be established.", "ner": [[37, 42, "TerminationDate"], [78, 79, "RenewalTerm"], [156, 157, "TerminationDate"]], "tokenized_text": ["(", "b", ")", "Extension", "of", "Term", ".", "The", "Term", "of", "Executives", "employment", "under", "this", "Agreement", "shall", "be", "automatically", "extended", "by", "one", "day", "upon", "completion", "of", "each", "day", "of", "Executives", "employment", "hereunder", ",", "such", "that", "a", "constantly", "extending", "thirty-six", "(", "36", ")", "calendar", "month", "Term", "shall", "remain", "in", "effect", "hereunder", ",", "provided", ",", "however", ",", "that", "the", "Company", "and", "/", "or", "the", "Bank", "may", "elect", "at", "any", "time", ",", "for", "any", "reason", "or", "no", "reason", ",", "to", "discontinue", "such", "automatic", "extension", ",", "by", "delivery", "of", "a", "written", "notice", "of", "such", "discontinuation", "to", "the", "Executive", ",", "prepared", "and", "delivered", "in", "accordance", "with", "the", "provisions", "of", "Section", "8", "(", "a", ")", "below", "(", "any", "such", "notice", ",", "a", "Non-renewal", "Notice", ")", ",", "in", "which", "event", "the", "Term", "of", "Executives", "employment", "under", "this", "Agreement", "shall", "no", "longer", "be", "automatically", "extended", "for", "each", "day", "of", "employment", "hereunder", ",", "but", "rather", "shall", "expire", "on", "a", "fixed", "Expiration", "Date", ",", "such", "being", "the", "third", "anniversary", "of", "the", "date", "of", "the", "Non", "-", "renewal", "Notice", ",", "as", "specified", "in", "such", "notice", ".", "During", "the", "period", "commencing", "not", "more", "than", "sixty", "(", "60", ")", "and", "not", "less", "than", "thirty", "(", "30", ")", "days", "prior", "to", "each", "anniversary", "of", "the", "Commencement", "Date", "of", "this", "Agreement", "(", "each", ",", "an", "Anniversary", "Date", ")", ",", "assuming", "no", "prior", "Non-renewal", "Notice", "has", "been", "delivered", "by", "the", "Company", "and", "/", "or", "the", "Bank", "to", "Executive", ",", "the", "Companys", "Board", "and", "the", "Banks", "Board", "will", "conduct", "a", "review", "of", "Executives", "performance", ",", "and", "in", "connection", "therewith", ",", "will", "make", "a", "determination", "as", "to", "whether", "the", "automatic", "extension", "of", "the", "Term", "of", "Executives", "employment", ",", "as", "described", "in", "the", "preceding", "sentence", ",", "will", "be", "permitted", "to", "continue", ",", "or", "alternatively", ",", "whether", "such", "automatic", "extension", "of", "the", "Term", "will", "be", "discontinued", ",", "such", "that", "a", "fixed", "Expiration", "Date", "will", "be", "established", "."]}
{"id": "11647", "text": "The total amount paid to Executive under this Section 4(c) shall be paid in a single lump sum cash distribution made within ten (10) days following the Termination Date; provided however, if, at the Termination Date, Executive is a Specified Employee of the Company or the Bank, as defined in Treasury Regulation 1.409-1(i) , then, solely to the extent required to avoid penalties under Section 409A of the Internal Revenue Code (the Code), such payment shall be delayed until the first day of the seventh full month following the Termination Date, or ten (10) days following his earlier death. Such payment shall not be reduced in the event Executive obtains other employment following such early termination of his employment hereunder.", "ner": [[60, 67, "Regulation"], [84, 86, "Act"]], "tokenized_text": ["The", "total", "amount", "paid", "to", "Executive", "under", "this", "Section", "4", "(", "c", ")", "shall", "be", "paid", "in", "a", "single", "lump", "sum", "cash", "distribution", "made", "within", "ten", "(", "10", ")", "days", "following", "the", "Termination", "Date", ";", "provided", "however", ",", "if", ",", "at", "the", "Termination", "Date", ",", "Executive", "is", "a", "Specified", "Employee", "of", "the", "Company", "or", "the", "Bank", ",", "as", "defined", "in", "Treasury", "Regulation", "1", ".", "409-1", "(", "i", ")", ",", "then", ",", "solely", "to", "the", "extent", "required", "to", "avoid", "penalties", "under", "Section", "409A", "of", "the", "Internal", "Revenue", "Code", "(", "the", "Code", ")", ",", "such", "payment", "shall", "be", "delayed", "until", "the", "first", "day", "of", "the", "seventh", "full", "month", "following", "the", "Termination", "Date", ",", "or", "ten", "(", "10", ")", "days", "following", "his", "earlier", "death", ".", "Such", "payment", "shall", "not", "be", "reduced", "in", "the", "event", "Executive", "obtains", "other", "employment", "following", "such", "early", "termination", "of", "his", "employment", "hereunder", "."]}
{"id": "11648", "text": "(a)This Agreement shall be governed by the laws of the State of New York without regard to principles of conflicts of law of the State of New York and applicable federal law.", "ner": [[13, 16, "Court"]], "tokenized_text": ["(", "a", ")", "This", "Agreement", "shall", "be", "governed", "by", "the", "laws", "of", "the", "State", "of", "New", "York", "without", "regard", "to", "principles", "of", "conflicts", "of", "law", "of", "the", "State", "of", "New", "York", "and", "applicable", "federal", "law", "."]}
{"id": "11649", "text": "(b)Any and all disputes arising out of this Agreement shall be adjudicated by the Supreme Court of the State of New York , New York County. Furthermore , the Supreme Court of the State of New York , New York County shall exclusively have and exercise personal jurisdiction over the parties hereto concerning any and all disputes arising out of this Agreement and the parties hereto unconditionally submit to such jurisdiction and the exclusivity thereof.", "ner": [[21, 28, "Court"]], "tokenized_text": ["(", "b", ")", "Any", "and", "all", "disputes", "arising", "out", "of", "this", "Agreement", "shall", "be", "adjudicated", "by", "the", "Supreme", "Court", "of", "the", "State", "of", "New", "York", ",", "New", "York", "County", ".", "Furthermore", ",", "the", "Supreme", "Court", "of", "the", "State", "of", "New", "York", ",", "New", "York", "County", "shall", "exclusively", "have", "and", "exercise", "personal", "jurisdiction", "over", "the", "parties", "hereto", "concerning", "any", "and", "all", "disputes", "arising", "out", "of", "this", "Agreement", "and", "the", "parties", "hereto", "unconditionally", "submit", "to", "such", "jurisdiction", "and", "the", "exclusivity", "thereof", "."]}
{"id": "11650", "text": "Any payments made or benefits provided by the Company and/or the Bank to Executive pursuant to this Agreement, or otherwise, and any rights or obligations related to such payments or benefits, are subject to and conditioned upon compliance with applicable law, including but not limited to 12 U.S.C. 371c, 371c-1 and 12 C.F.R. Part 223 promulgated thereunder, and 12 U.S.C. 1828 (k) and 12 C.F.R. Part 359 promulgated thereunder.", "ner": [[52, 61, "Regulation"], [63, 71, "Regulation"], [76, 86, "Regulation"], [88, 96, "Regulation"]], "tokenized_text": ["Any", "payments", "made", "or", "benefits", "provided", "by", "the", "Company", "and", "/", "or", "the", "Bank", "to", "Executive", "pursuant", "to", "this", "Agreement", ",", "or", "otherwise", ",", "and", "any", "rights", "or", "obligations", "related", "to", "such", "payments", "or", "benefits", ",", "are", "subject", "to", "and", "conditioned", "upon", "compliance", "with", "applicable", "law", ",", "including", "but", "not", "limited", "to", "12", "U", ".", "S", ".", "C", ".", "371c", ",", "371c-1", "and", "12", "C", ".", "F", ".", "R", ".", "Part", "223", "promulgated", "thereunder", ",", "and", "12", "U", ".", "S", ".", "C", ".", "1828", "(", "k", ")", "and", "12", "C", ".", "F", ".", "R", ".", "Part", "359", "promulgated", "thereunder", "."]}
{"id": "11651", "text": "The parties intend that all provisions of this Agreement shall either be exempt from or comply with the requirements of Code Section 409A. For purposes of this Agreement, termination, termination date and terminate when used in the context of termination of employment shall mean a separation from service with the Company and its affiliates (i.e., generally an entity 50% or more of which is owned or controlled by the Company), as such term is defined in Treasury Regulation Section 1.409A-1(h) (provided, that the reasonably anticipated reduced level of bona fide services, if any, to be performed by Executive after such separation from service shall be less than 50 percent of the average level of bona fide services provided to the Company and its affiliates by Executive in the immediately preceding 36 month period). Nothing in this Agreement shall be interpreted to permit accelerated payment or further deferral of nonqualified deferred compensation, as defined in Code Section 409A, or any other payment or further deferral in violation of the requirements of Code Section 409A. Executive does not have any right to make any election regarding the time or form of payment due under this Agreement. Expenses and reimbursement of expenses will be paid by the Company and/or the Bank consistent with their generally applicable policies, and in any event no later than the end of the calendar year following the calendar year in which the expenses are incurred. With respect to reimbursements that constitute taxable income to Executive, no such reimbursements or expenses eligible for reimbursement in any calendar year shall in any way affect the expenses eligible for reimbursement in any other calendar year and Executives right to reimbursement shall not be subject to liquidation in exchange for any other benefit. No provision of this Agreement shall be operative to the extent that it will result in the imposition of the additional tax described in Code Section 409A(a)(1)(B)(i)(II) and the parties agree to revise the Agreement as necessary to comply with Code Section 409A or an exemption therefrom and fulfill the purpose of the voided provision, or to comply with any available correction program that would eliminate or mitigate potential sanctions under Code Section 409A. No provision of this Agreement shall be interpreted or construed to transfer any liability for failure to comply with the requirements of Code Section 409A from Executive or any other individual to the Company or any of its respective affiliates, employees or agents. All taxes associated with payments made to Executive pursuant to this Agreement, including any liability imposed under Code Section 409A, shall be borne by Executive.", "ner": [[20, 22, "Regulation"], [66, 67, "Percentage"], [87, 92, "Regulation"], [127, 128, "Percentage"]], "tokenized_text": ["The", "parties", "intend", "that", "all", "provisions", "of", "this", "Agreement", "shall", "either", "be", "exempt", "from", "or", "comply", "with", "the", "requirements", "of", "Code", "Section", "409A", ".", "For", "purposes", "of", "this", "Agreement", ",", "termination", ",", "termination", "date", "and", "terminate", "when", "used", "in", "the", "context", "of", "termination", "of", "employment", "shall", "mean", "a", "separation", "from", "service", "with", "the", "Company", "and", "its", "affiliates", "(", "i", ".", "e", ".", ",", "generally", "an", "entity", "50", "%", "or", "more", "of", "which", "is", "owned", "or", "controlled", "by", "the", "Company", ")", ",", "as", "such", "term", "is", "defined", "in", "Treasury", "Regulation", "Section", "1", ".", "409A-1", "(", "h", ")", "(", "provided", ",", "that", "the", "reasonably", "anticipated", "reduced", "level", "of", "bona", "fide", "services", ",", "if", "any", ",", "to", "be", "performed", "by", "Executive", "after", "such", "separation", "from", "service", "shall", "be", "less", "than", "50", "percent", "of", "the", "average", "level", "of", "bona", "fide", "services", "provided", "to", "the", "Company", "and", "its", "affiliates", "by", "Executive", "in", "the", "immediately", "preceding", "36", "month", "period", ")", ".", "Nothing", "in", "this", "Agreement", "shall", "be", "interpreted", "to", "permit", "accelerated", "payment", "or", "further", "deferral", "of", "nonqualified", "deferred", "compensation", ",", "as", "defined", "in", "Code", "Section", "409A", ",", "or", "any", "other", "payment", "or", "further", "deferral", "in", "violation", "of", "the", "requirements", "of", "Code", "Section", "409A", ".", "Executive", "does", "not", "have", "any", "right", "to", "make", "any", "election", "regarding", "the", "time", "or", "form", "of", "payment", "due", "under", "this", "Agreement", ".", "Expenses", "and", "reimbursement", "of", "expenses", "will", "be", "paid", "by", "the", "Company", "and", "/", "or", "the", "Bank", "consistent", "with", "their", "generally", "applicable", "policies", ",", "and", "in", "any", "event", "no", "later", "than", "the", "end", "of", "the", "calendar", "year", "following", "the", "calendar", "year", "in", "which", "the", "expenses", "are", "incurred", ".", "With", "respect", "to", "reimbursements", "that", "constitute", "taxable", "income", "to", "Executive", ",", "no", "such", "reimbursements", "or", "expenses", "eligible", "for", "reimbursement", "in", "any", "calendar", "year", "shall", "in", "any", "way", "affect", "the", "expenses", "eligible", "for", "reimbursement", "in", "any", "other", "calendar", "year", "and", "Executives", "right", "to", "reimbursement", "shall", "not", "be", "subject", "to", "liquidation", "in", "exchange", "for", "any", "other", "benefit", ".", "No", "provision", "of", "this", "Agreement", "shall", "be", "operative", "to", "the", "extent", "that", "it", "will", "result", "in", "the", "imposition", "of", "the", "additional", "tax", "described", "in", "Code", "Section", "409A", "(", "a", ")", "(", "1", ")", "(", "B", ")", "(", "i", ")", "(", "II", ")", "and", "the", "parties", "agree", "to", "revise", "the", "Agreement", "as", "necessary", "to", "comply", "with", "Code", "Section", "409A", "or", "an", "exemption", "therefrom", "and", "fulfill", "the", "purpose", "of", "the", "voided", "provision", ",", "or", "to", "comply", "with", "any", "available", "correction", "program", "that", "would", "eliminate", "or", "mitigate", "potential", "sanctions", "under", "Code", "Section", "409A", ".", "No", "provision", "of", "this", "Agreement", "shall", "be", "interpreted", "or", "construed", "to", "transfer", "any", "liability", "for", "failure", "to", "comply", "with", "the", "requirements", "of", "Code", "Section", "409A", "from", "Executive", "or", "any", "other", "individual", "to", "the", "Company", "or", "any", "of", "its", "respective", "affiliates", ",", "employees", "or", "agents", ".", "All", "taxes", "associated", "with", "payments", "made", "to", "Executive", "pursuant", "to", "this", "Agreement", ",", "including", "any", "liability", "imposed", "under", "Code", "Section", "409A", ",", "shall", "be", "borne", "by", "Executive", "."]}
{"id": "11653", "text": "| (iii)| The Company or the Bank sells to any one person, or more than one person acting as a group (as determined under Code Section 409A) assets of the Company or the Bank that have a total fair market value equal to more than forty percent ( 40% ) of the total gross fair market value of all of the assets of the corporation immediately before such disposition or related dispositions, where gross fair market value means the value of the assets of the corporation, or the value of the assets being disposed of, determined without regard to any liabilities associated with such assets); or ---|---|---", "ner": [[29, 31, "Regulation"], [54, 55, "Percentage"]], "tokenized_text": ["|", "(", "iii", ")", "|", "The", "Company", "or", "the", "Bank", "sells", "to", "any", "one", "person", ",", "or", "more", "than", "one", "person", "acting", "as", "a", "group", "(", "as", "determined", "under", "Code", "Section", "409A", ")", "assets", "of", "the", "Company", "or", "the", "Bank", "that", "have", "a", "total", "fair", "market", "value", "equal", "to", "more", "than", "forty", "percent", "(", "40", "%", ")", "of", "the", "total", "gross", "fair", "market", "value", "of", "all", "of", "the", "assets", "of", "the", "corporation", "immediately", "before", "such", "disposition", "or", "related", "dispositions", ",", "where", "gross", "fair", "market", "value", "means", "the", "value", "of", "the", "assets", "of", "the", "corporation", ",", "or", "the", "value", "of", "the", "assets", "being", "disposed", "of", ",", "determined", "without", "regard", "to", "any", "liabilities", "associated", "with", "such", "assets", ")", ";", "or", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "11656", "text": "This EMPLOYMENT AGREEMENT (the Agreement) is entered into as of October9, 2017 , by and between COLLECTORS UNIVERSE, INC. , a Delaware corporation (the Company), and JOSEPH J. ORLANDO (\"Executive\"), with reference to the following:", "ner": [[1, 2, "Title"], [12, 14, "EffectiveDate"], [19, 23, "Parties"], [34, 37, "Parties"]], "tokenized_text": ["This", "EMPLOYMENT", "AGREEMENT", "(", "the", "Agreement", ")", "is", "entered", "into", "as", "of", "October9", ",", "2017", ",", "by", "and", "between", "COLLECTORS", "UNIVERSE", ",", "INC", ".", ",", "a", "Delaware", "corporation", "(", "the", "Company", ")", ",", "and", "JOSEPH", "J", ".", "ORLANDO", "(", "\"", "Executive", "\"", ")", ",", "with", "reference", "to", "the", "following", ":"]}
{"id": "11657", "text": "A. Executive is currently employed by the Company as the President of its Professional Sports Authenticator and PSA/DNA Division, which authenticates and grades sports trading cards and memorabilia.", "ner": [[11, 11, "Role"]], "tokenized_text": ["A", ".", "Executive", "is", "currently", "employed", "by", "the", "Company", "as", "the", "President", "of", "its", "Professional", "Sports", "Authenticator", "and", "PSA", "/", "DNA", "Division", ",", "which", "authenticates", "and", "grades", "sports", "trading", "cards", "and", "memorabilia", "."]}
{"id": "11658", "text": "B. The Company desires to employ Executive as its Chief Executive Officer (its CEO ), commencing on October9, 2017 , and Executive desires to accept such employment on the terms and subject to the conditions set forth hereinafter in this Agreement.", "ner": [[10, 12, "Role"], [15, 15, "Role"], [20, 22, "EffectiveDate"]], "tokenized_text": ["B", ".", "The", "Company", "desires", "to", "employ", "Executive", "as", "its", "Chief", "Executive", "Officer", "(", "its", "CEO", ")", ",", "commencing", "on", "October9", ",", "2017", ",", "and", "Executive", "desires", "to", "accept", "such", "employment", "on", "the", "terms", "and", "subject", "to", "the", "conditions", "set", "forth", "hereinafter", "in", "this", "Agreement", "."]}
{"id": "11659", "text": "1.2 The terms beneficially owned or owned beneficially and beneficial ownership shall have the meanings given to such terms in Rule13d-3 under the Exchange Act , or any successor rule thereto.", "ner": [[22, 22, "Regulation"], [25, 26, "Act"]], "tokenized_text": ["1", ".", "2", "The", "terms", "beneficially", "owned", "or", "owned", "beneficially", "and", "beneficial", "ownership", "shall", "have", "the", "meanings", "given", "to", "such", "terms", "in", "Rule13d-3", "under", "the", "Exchange", "Act", ",", "or", "any", "successor", "rule", "thereto", "."]}
{"id": "11661", "text": "(h) Executives insubordination with respect to any lawful direction of the Board or Executives failure, on at least two separate occasions, to perform his material duties as Chief Executive Officer , other than due to his illness or his Disability (as defined below).", "ner": [[31, 33, "Role"]], "tokenized_text": ["(", "h", ")", "Executives", "insubordination", "with", "respect", "to", "any", "lawful", "direction", "of", "the", "Board", "or", "Executives", "failure", ",", "on", "at", "least", "two", "separate", "occasions", ",", "to", "perform", "his", "material", "duties", "as", "Chief", "Executive", "Officer", ",", "other", "than", "due", "to", "his", "illness", "or", "his", "Disability", "(", "as", "defined", "below", ")", "."]}
{"id": "11663", "text": "(ii) any sale, exchange or other transfer, including a lease (in one transaction or a series of related transactions within a period of 12 consecutive months) of all, or substantially all, of the assets of the Company, provided, however, that such sale, exchange or other transfer shall not constitute a Change in Control if (A)the Person acquiring such assets is a corporation or other entity in which the holders of the Companys Voting Securities immediately prior to such transaction will own, in the aggregate, at least 50% of the outstanding Voting Securities of the Person acquiring such assets (or of the Parent thereof, if any), immediately after consummation of such transaction, or (ii)such Person is a related person within the meaning of Treasury Regulation 1.409A-3(i)(5)(vii)(B) promulgated under the Code; or", "ner": [[103, 104, "Percentage"], [148, 152, "Regulation"]], "tokenized_text": ["(", "ii", ")", "any", "sale", ",", "exchange", "or", "other", "transfer", ",", "including", "a", "lease", "(", "in", "one", "transaction", "or", "a", "series", "of", "related", "transactions", "within", "a", "period", "of", "12", "consecutive", "months", ")", "of", "all", ",", "or", "substantially", "all", ",", "of", "the", "assets", "of", "the", "Company", ",", "provided", ",", "however", ",", "that", "such", "sale", ",", "exchange", "or", "other", "transfer", "shall", "not", "constitute", "a", "Change", "in", "Control", "if", "(", "A", ")", "the", "Person", "acquiring", "such", "assets", "is", "a", "corporation", "or", "other", "entity", "in", "which", "the", "holders", "of", "the", "Companys", "Voting", "Securities", "immediately", "prior", "to", "such", "transaction", "will", "own", ",", "in", "the", "aggregate", ",", "at", "least", "50", "%", "of", "the", "outstanding", "Voting", "Securities", "of", "the", "Person", "acquiring", "such", "assets", "(", "or", "of", "the", "Parent", "thereof", ",", "if", "any", ")", ",", "immediately", "after", "consummation", "of", "such", "transaction", ",", "or", "(", "ii", ")", "such", "Person", "is", "a", "related", "person", "within", "the", "meaning", "of", "Treasury", "Regulation", "1", ".", "409A-3", "(", "i", ")", "(", "5", ")", "(", "vii", ")", "(", "B", ")", "promulgated", "under", "the", "Code", ";", "or"]}
{"id": "11664", "text": "(b) any Person, or any group of Persons acting in concert (within the meaning of Section13(d) or Section14(d)(2) of the Exchange Act ), shall directly or indirectly acquire (other than in or as a result of a transaction described in Paragraph 1.7(a) above) beneficial ownership of securities of the Company possessing more than 50% of the total combined voting power of the Companys then outstanding securities, unless:", "ner": [[33, 34, "Act"], [55, 58, "Regulation"], [74, 75, "Percentage"]], "tokenized_text": ["(", "b", ")", "any", "Person", ",", "or", "any", "group", "of", "Persons", "acting", "in", "concert", "(", "within", "the", "meaning", "of", "Section13", "(", "d", ")", "or", "Section14", "(", "d", ")", "(", "2", ")", "of", "the", "Exchange", "Act", ")", ",", "shall", "directly", "or", "indirectly", "acquire", "(", "other", "than", "in", "or", "as", "a", "result", "of", "a", "transaction", "described", "in", "Paragraph", "1", ".", "7", "(", "a", ")", "above", ")", "beneficial", "ownership", "of", "securities", "of", "the", "Company", "possessing", "more", "than", "50", "%", "of", "the", "total", "combined", "voting", "power", "of", "the", "Companys", "then", "outstanding", "securities", ",", "unless", ":"]}
{"id": "11666", "text": "(a) For purposes of this Agreement a Change in Control within the meaning of this Section1.7 shall not be deemed to have occurred solely as the result of any acquisition of Voting Securities by the Company or any subsidiary thereof that has the effect of (i)reducing the number of the Companys outstanding Voting Securities, or (ii)increasing the beneficial ownership of the Companys Voting Securities by any Person to more than fifty percent ( 50% ) of the Companys outstanding Voting Securities; provided, however, that, if any such Person shall thereafter acquire beneficial ownership, directly or indirectly, of any additional Voting Securities of the Company (other than pursuant to a stock split, stock dividend, or similar transaction) and immediately thereafter beneficially owns more than fifty percent ( 50% ) of the then outstanding Voting Securities of the Company, then, a Change in Control shall be deemed to have occurred for purposes of this Section1.7; and", "ner": [[84, 85, "Percentage"], [148, 149, "Percentage"]], "tokenized_text": ["(", "a", ")", "For", "purposes", "of", "this", "Agreement", "a", "Change", "in", "Control", "within", "the", "meaning", "of", "this", "Section1", ".", "7", "shall", "not", "be", "deemed", "to", "have", "occurred", "solely", "as", "the", "result", "of", "any", "acquisition", "of", "Voting", "Securities", "by", "the", "Company", "or", "any", "subsidiary", "thereof", "that", "has", "the", "effect", "of", "(", "i", ")", "reducing", "the", "number", "of", "the", "Companys", "outstanding", "Voting", "Securities", ",", "or", "(", "ii", ")", "increasing", "the", "beneficial", "ownership", "of", "the", "Companys", "Voting", "Securities", "by", "any", "Person", "to", "more", "than", "fifty", "percent", "(", "50", "%", ")", "of", "the", "Companys", "outstanding", "Voting", "Securities", ";", "provided", ",", "however", ",", "that", ",", "if", "any", "such", "Person", "shall", "thereafter", "acquire", "beneficial", "ownership", ",", "directly", "or", "indirectly", ",", "of", "any", "additional", "Voting", "Securities", "of", "the", "Company", "(", "other", "than", "pursuant", "to", "a", "stock", "split", ",", "stock", "dividend", ",", "or", "similar", "transaction", ")", "and", "immediately", "thereafter", "beneficially", "owns", "more", "than", "fifty", "percent", "(", "50", "%", ")", "of", "the", "then", "outstanding", "Voting", "Securities", "of", "the", "Company", ",", "then", ",", "a", "Change", "in", "Control", "shall", "be", "deemed", "to", "have", "occurred", "for", "purposes", "of", "this", "Section1", ".", "7", ";", "and"]}
{"id": "11667", "text": "1.11 The terms IRC and Code shall each mean the Internal Revenue Code of 1986 , as amended.", "ner": [[12, 16, "Act"]], "tokenized_text": ["1", ".", "11", "The", "terms", "IRC", "and", "Code", "shall", "each", "mean", "the", "Internal", "Revenue", "Code", "of", "1986", ",", "as", "amended", "."]}
{"id": "11669", "text": "2.1 Employment of Executive. The Company hereby employs Executive as its Chief Executive Officer (the CEO ), and Executive hereby accepts such employment and agrees to serve in that position, on a full time basis, in accordance with the terms and subject to the conditions contained in this Agreement. Executive shall perform his duties and responsibilities as the Companys CEO fully, faithfully and in a diligent and timely manner throughout the term of his employment as CEO of the Company and, in his capacity as CEO , he will report to the Board.", "ner": [[14, 16, "Role"], [19, 19, "Role"], [67, 67, "Role"], [85, 85, "Role"], [95, 95, "Role"]], "tokenized_text": ["2", ".", "1", "Employment", "of", "Executive", ".", "The", "Company", "hereby", "employs", "Executive", "as", "its", "Chief", "Executive", "Officer", "(", "the", "CEO", ")", ",", "and", "Executive", "hereby", "accepts", "such", "employment", "and", "agrees", "to", "serve", "in", "that", "position", ",", "on", "a", "full", "time", "basis", ",", "in", "accordance", "with", "the", "terms", "and", "subject", "to", "the", "conditions", "contained", "in", "this", "Agreement", ".", "Executive", "shall", "perform", "his", "duties", "and", "responsibilities", "as", "the", "Companys", "CEO", "fully", ",", "faithfully", "and", "in", "a", "diligent", "and", "timely", "manner", "throughout", "the", "term", "of", "his", "employment", "as", "CEO", "of", "the", "Company", "and", ",", "in", "his", "capacity", "as", "CEO", ",", "he", "will", "report", "to", "the", "Board", "."]}
{"id": "11670", "text": "2.2 CEO Responsibilities. As the Companys CEO , Executive shall be responsible for (i)the formulation of strategic and business plans and initiatives for the Company and its subsidiaries and upon their approval by the Board, their implementation, (ii)the supervision of the senior management personnel of the Company and its subsidiaries, (iii)the financial performance and financial condition of the Company and its subsidiaries, and (iv)the accuracy and completeness of the Companys financial and public reporting, including the reports filed with the Securities and Exchange Commission, all under the oversight of the Board. Executive also shall perform such other duties as may be assigned from time to time to him by the Board, provided that such duties are commensurate with those customarily assigned to chief executive officers of public companies with revenues and market capitalizations comparable to that of the Company. Executive hereby represents and warrants that, except as may otherwise have been disclosed in writing to the Company, he is under no contractual or other commitments, written or oral (including under any non-competition, trade secret or confidentiality or similar agreements), and has no duties or responsibilities, that are inconsistent or would interfere with the performance by him, on a full time basis, of his duties as the Companys CEO . In addition, Executive represents that none of the information that he needs or will use in performing his duties as the Companys CEO was or will be obtained from any Person who employed Executive in the past as an employee or engaged Executives services as an non-employee consultant or advisor.", "ner": [[3, 3, "Role"], [9, 9, "Role"], [145, 147, "Role"], [241, 241, "Role"], [266, 266, "Role"]], "tokenized_text": ["2", ".", "2", "CEO", "Responsibilities", ".", "As", "the", "Companys", "CEO", ",", "Executive", "shall", "be", "responsible", "for", "(", "i", ")", "the", "formulation", "of", "strategic", "and", "business", "plans", "and", "initiatives", "for", "the", "Company", "and", "its", "subsidiaries", "and", "upon", "their", "approval", "by", "the", "Board", ",", "their", "implementation", ",", "(", "ii", ")", "the", "supervision", "of", "the", "senior", "management", "personnel", "of", "the", "Company", "and", "its", "subsidiaries", ",", "(", "iii", ")", "the", "financial", "performance", "and", "financial", "condition", "of", "the", "Company", "and", "its", "subsidiaries", ",", "and", "(", "iv", ")", "the", "accuracy", "and", "completeness", "of", "the", "Companys", "financial", "and", "public", "reporting", ",", "including", "the", "reports", "filed", "with", "the", "Securities", "and", "Exchange", "Commission", ",", "all", "under", "the", "oversight", "of", "the", "Board", ".", "Executive", "also", "shall", "perform", "such", "other", "duties", "as", "may", "be", "assigned", "from", "time", "to", "time", "to", "him", "by", "the", "Board", ",", "provided", "that", "such", "duties", "are", "commensurate", "with", "those", "customarily", "assigned", "to", "chief", "executive", "officers", "of", "public", "companies", "with", "revenues", "and", "market", "capitalizations", "comparable", "to", "that", "of", "the", "Company", ".", "Executive", "hereby", "represents", "and", "warrants", "that", ",", "except", "as", "may", "otherwise", "have", "been", "disclosed", "in", "writing", "to", "the", "Company", ",", "he", "is", "under", "no", "contractual", "or", "other", "commitments", ",", "written", "or", "oral", "(", "including", "under", "any", "non-competition", ",", "trade", "secret", "or", "confidentiality", "or", "similar", "agreements", ")", ",", "and", "has", "no", "duties", "or", "responsibilities", ",", "that", "are", "inconsistent", "or", "would", "interfere", "with", "the", "performance", "by", "him", ",", "on", "a", "full", "time", "basis", ",", "of", "his", "duties", "as", "the", "Companys", "CEO", ".", "In", "addition", ",", "Executive", "represents", "that", "none", "of", "the", "information", "that", "he", "needs", "or", "will", "use", "in", "performing", "his", "duties", "as", "the", "Companys", "CEO", "was", "or", "will", "be", "obtained", "from", "any", "Person", "who", "employed", "Executive", "in", "the", "past", "as", "an", "employee", "or", "engaged", "Executives", "services", "as", "an", "non-employee", "consultant", "or", "advisor", "."]}
{"id": "11672", "text": "3. Term of Employment. Unless sooner terminated as provided in Section5 or Section 6 below, the term of Executives employment with the Company as its CEO shall be one (1) year , commencing on October9, 2017 (the Commencement Date) and ending on the first anniversary thereof (the Expiration Date). If, at any time during the term of Executives employment hereunder, there is a termination of Executives employment with the Company for any reason whatsoever, including by reason of the expiration of the one-year term of Executives employment under this Agreement, and irrespective of whether such termination is by the Company or Executive, this Agreement shall terminate and shall be of no further force or effect; provided, however, that the following provisions of this Agreement shall survive the expiration or any other termination of this Agreement and the expiration or other termination of Executives employment with the Company:(i)Section1 (Certain Definitions); (ii)this Section3; (iii)Section5 (Termination of Employment); (iv)Section6 (Termination by Executive for Good Reason or Following a Change in Control); (v)Section7 (Payment Delay Provisions); (vi)Section8 (Release of Claims); and (vii)Section9 (Miscellaneous).", "ner": [[28, 28, "Role"], [31, 35, "TerminationDate"], [39, 41, "EffectiveDate"], [51, 52, "TerminationDate"]], "tokenized_text": ["3", ".", "Term", "of", "Employment", ".", "Unless", "sooner", "terminated", "as", "provided", "in", "Section5", "or", "Section", "6", "below", ",", "the", "term", "of", "Executives", "employment", "with", "the", "Company", "as", "its", "CEO", "shall", "be", "one", "(", "1", ")", "year", ",", "commencing", "on", "October9", ",", "2017", "(", "the", "Commencement", "Date", ")", "and", "ending", "on", "the", "first", "anniversary", "thereof", "(", "the", "Expiration", "Date", ")", ".", "If", ",", "at", "any", "time", "during", "the", "term", "of", "Executives", "employment", "hereunder", ",", "there", "is", "a", "termination", "of", "Executives", "employment", "with", "the", "Company", "for", "any", "reason", "whatsoever", ",", "including", "by", "reason", "of", "the", "expiration", "of", "the", "one-year", "term", "of", "Executives", "employment", "under", "this", "Agreement", ",", "and", "irrespective", "of", "whether", "such", "termination", "is", "by", "the", "Company", "or", "Executive", ",", "this", "Agreement", "shall", "terminate", "and", "shall", "be", "of", "no", "further", "force", "or", "effect", ";", "provided", ",", "however", ",", "that", "the", "following", "provisions", "of", "this", "Agreement", "shall", "survive", "the", "expiration", "or", "any", "other", "termination", "of", "this", "Agreement", "and", "the", "expiration", "or", "other", "termination", "of", "Executives", "employment", "with", "the", "Company", ":", "(", "i", ")", "Section1", "(", "Certain", "Definitions", ")", ";", "(", "ii", ")", "this", "Section3", ";", "(", "iii", ")", "Section5", "(", "Termination", "of", "Employment", ")", ";", "(", "iv", ")", "Section6", "(", "Termination", "by", "Executive", "for", "Good", "Reason", "or", "Following", "a", "Change", "in", "Control", ")", ";", "(", "v", ")", "Section7", "(", "Payment", "Delay", "Provisions", ")", ";", "(", "vi", ")", "Section8", "(", "Release", "of", "Claims", ")", ";", "and", "(", "vii", ")", "Section9", "(", "Miscellaneous", ")", "."]}
{"id": "11673", "text": "4. Compensation and Benefits. Executives compensation for all services rendered, as CEO or in any other capacity, to the Company or to any of its Affiliates shall be as follows:", "ner": [[14, 14, "Role"]], "tokenized_text": ["4", ".", "Compensation", "and", "Benefits", ".", "Executives", "compensation", "for", "all", "services", "rendered", ",", "as", "CEO", "or", "in", "any", "other", "capacity", ",", "to", "the", "Company", "or", "to", "any", "of", "its", "Affiliates", "shall", "be", "as", "follows", ":"]}
{"id": "11676", "text": "(i) Eighty percent ( 80% ) of the Bonus Opportunity will be contingent on the achievement of one or more corporate financial goals or objectives in the Companys second, third and fourth fiscal quarters ending December31, 2017, March31, 2018 and June30, 2018 , respectively, or for the nine months ended June30, 2018 , based on the Companys fiscal 2018 annual operating plan (the AOP) as previously approved by the Board of Directors, subject to such adjustments thereto as may be approved by the Compensation Committee of the Board within sixty (60) days of the Commencement Date and shall require that the Executive shall have been in the continuous service of the Company as its CEO throughout the period from the Commencement Date to and including June 30, 2018.", "ner": [[129, 129, "Role"]], "tokenized_text": ["(", "i", ")", "Eighty", "percent", "(", "80", "%", ")", "of", "the", "Bonus", "Opportunity", "will", "be", "contingent", "on", "the", "achievement", "of", "one", "or", "more", "corporate", "financial", "goals", "or", "objectives", "in", "the", "Companys", "second", ",", "third", "and", "fourth", "fiscal", "quarters", "ending", "December31", ",", "2017", ",", "March31", ",", "2018", "and", "June30", ",", "2018", ",", "respectively", ",", "or", "for", "the", "nine", "months", "ended", "June30", ",", "2018", ",", "based", "on", "the", "Companys", "fiscal", "2018", "annual", "operating", "plan", "(", "the", "AOP", ")", "as", "previously", "approved", "by", "the", "Board", "of", "Directors", ",", "subject", "to", "such", "adjustments", "thereto", "as", "may", "be", "approved", "by", "the", "Compensation", "Committee", "of", "the", "Board", "within", "sixty", "(", "60", ")", "days", "of", "the", "Commencement", "Date", "and", "shall", "require", "that", "the", "Executive", "shall", "have", "been", "in", "the", "continuous", "service", "of", "the", "Company", "as", "its", "CEO", "throughout", "the", "period", "from", "the", "Commencement", "Date", "to", "and", "including", "June", "30", ",", "2018", "."]}
{"id": "11678", "text": "(b) Executive shall be entitled to participate in any equity incentive plans or programs that are adopted by the Board of Directors or its Compensation Committee during the term of Executives employment as CEO and are generally made available to the Companys executive officers, subject to the eligibility requirements and the other terms and conditions thereof, including any performance, time or other vesting conditions; provided that it is understood and agreed that neither the Board nor its Compensation Committee shall be obligated to adopt any such incentive or bonus plans or programs.", "ner": [[35, 35, "Role"]], "tokenized_text": ["(", "b", ")", "Executive", "shall", "be", "entitled", "to", "participate", "in", "any", "equity", "incentive", "plans", "or", "programs", "that", "are", "adopted", "by", "the", "Board", "of", "Directors", "or", "its", "Compensation", "Committee", "during", "the", "term", "of", "Executives", "employment", "as", "CEO", "and", "are", "generally", "made", "available", "to", "the", "Companys", "executive", "officers", ",", "subject", "to", "the", "eligibility", "requirements", "and", "the", "other", "terms", "and", "conditions", "thereof", ",", "including", "any", "performance", ",", "time", "or", "other", "vesting", "conditions", ";", "provided", "that", "it", "is", "understood", "and", "agreed", "that", "neither", "the", "Board", "nor", "its", "Compensation", "Committee", "shall", "be", "obligated", "to", "adopt", "any", "such", "incentive", "or", "bonus", "plans", "or", "programs", "."]}
{"id": "11679", "text": "4.3 Employee Benefits. During the term of Executives employment as the Companys CEO , he will be entitled to participate in those employee benefit programs that are generally made available to full time employees of the Company, subject to the eligibility requirements thereof, including, without limitation, health insurance coverage for him and his immediate family, paid vacation which shall accrue in accordance with the Companys applicable vacation policy, and any 401K or other ERISA compliant retirement savings plans that the Company may have in effect or establish for its employees generally.", "ner": [[15, 15, "Role"]], "tokenized_text": ["4", ".", "3", "Employee", "Benefits", ".", "During", "the", "term", "of", "Executives", "employment", "as", "the", "Companys", "CEO", ",", "he", "will", "be", "entitled", "to", "participate", "in", "those", "employee", "benefit", "programs", "that", "are", "generally", "made", "available", "to", "full", "time", "employees", "of", "the", "Company", ",", "subject", "to", "the", "eligibility", "requirements", "thereof", ",", "including", ",", "without", "limitation", ",", "health", "insurance", "coverage", "for", "him", "and", "his", "immediate", "family", ",", "paid", "vacation", "which", "shall", "accrue", "in", "accordance", "with", "the", "Companys", "applicable", "vacation", "policy", ",", "and", "any", "401K", "or", "other", "ERISA", "compliant", "retirement", "savings", "plans", "that", "the", "Company", "may", "have", "in", "effect", "or", "establish", "for", "its", "employees", "generally", "."]}
{"id": "11680", "text": "(a) Salary Continuation. The Company shall continue to pay Executive (or in the case of his death, to his heirs) his salary, at the rate in effect on the date of such termination of employment, for the then remaining original term of his employment as set forth in Section3 above, but in no event for more than six(6) months following the effective date of such termination of employment (the Salary Continuation Period), with such payments (salary continuation payments) to be made by the Company to Executive (or his estate or heirs, as the case may be) in twice-monthly equal installments, less required taxes and withholdings, on the Companys regular payroll dates and in accordance with the Companys customary payroll procedures as then in effect. Each salary continuation payment shall be considered a separate payment for purposes of Section409A of the IRC, including for purposes of Treasury Regulation Section1.409A-2(b)(2)(iii) promulgated under the IRC.", "ner": [], "tokenized_text": ["(", "a", ")", "Salary", "Continuation", ".", "The", "Company", "shall", "continue", "to", "pay", "Executive", "(", "or", "in", "the", "case", "of", "his", "death", ",", "to", "his", "heirs", ")", "his", "salary", ",", "at", "the", "rate", "in", "effect", "on", "the", "date", "of", "such", "termination", "of", "employment", ",", "for", "the", "then", "remaining", "original", "term", "of", "his", "employment", "as", "set", "forth", "in", "Section3", "above", ",", "but", "in", "no", "event", "for", "more", "than", "six", "(", "6", ")", "months", "following", "the", "effective", "date", "of", "such", "termination", "of", "employment", "(", "the", "Salary", "Continuation", "Period", ")", ",", "with", "such", "payments", "(", "salary", "continuation", "payments", ")", "to", "be", "made", "by", "the", "Company", "to", "Executive", "(", "or", "his", "estate", "or", "heirs", ",", "as", "the", "case", "may", "be", ")", "in", "twice-monthly", "equal", "installments", ",", "less", "required", "taxes", "and", "withholdings", ",", "on", "the", "Companys", "regular", "payroll", "dates", "and", "in", "accordance", "with", "the", "Companys", "customary", "payroll", "procedures", "as", "then", "in", "effect", ".", "Each", "salary", "continuation", "payment", "shall", "be", "considered", "a", "separate", "payment", "for", "purposes", "of", "Section409A", "of", "the", "IRC", ",", "including", "for", "purposes", "of", "Treasury", "Regulation", "Section1", ".", "409A-2", "(", "b", ")", "(", "2", ")", "(", "iii", ")", "promulgated", "under", "the", "IRC", "."]}
{"id": "11681", "text": "(b) Continuation of Medical Insurance. Upon a timely election of the continuation coverage under COBRA , by Executive or, in the case of a termination due to his death, by his dependents who were covered dependents under the Companys group health insurance plan or program, the Company will pay one hundred percent (100%) of Executives COBRA premiums for the continuation of medical insurance coverage under the Companys group health insurance plan as in effect on the day immediately preceding the effective date of such termination without Cause or for Good Reason for the Insurance Continuation Period (the Medical Insurance Continuation Benefit). For purposes of this Section5.4(b), the term Insurance Continuation Period shall mean (i) the Salary Continuation Period (as defined above) or (ii) the period ending on the date on which Executive obtains employment with another employer that makes group health insurance available to him and his dependents, whichever is shorter. Each premium payment shall be paid when due and shall be considered a separate payment for purposes of Section 409A of the Code.", "ner": [[17, 17, "Act"], [59, 60, "Percentage"], [64, 64, "Act"]], "tokenized_text": ["(", "b", ")", "Continuation", "of", "Medical", "Insurance", ".", "Upon", "a", "timely", "election", "of", "the", "continuation", "coverage", "under", "COBRA", ",", "by", "Executive", "or", ",", "in", "the", "case", "of", "a", "termination", "due", "to", "his", "death", ",", "by", "his", "dependents", "who", "were", "covered", "dependents", "under", "the", "Companys", "group", "health", "insurance", "plan", "or", "program", ",", "the", "Company", "will", "pay", "one", "hundred", "percent", "(", "100", "%", ")", "of", "Executives", "COBRA", "premiums", "for", "the", "continuation", "of", "medical", "insurance", "coverage", "under", "the", "Companys", "group", "health", "insurance", "plan", "as", "in", "effect", "on", "the", "day", "immediately", "preceding", "the", "effective", "date", "of", "such", "termination", "without", "Cause", "or", "for", "Good", "Reason", "for", "the", "Insurance", "Continuation", "Period", "(", "the", "Medical", "Insurance", "Continuation", "Benefit", ")", ".", "For", "purposes", "of", "this", "Section5", ".", "4", "(", "b", ")", ",", "the", "term", "Insurance", "Continuation", "Period", "shall", "mean", "(", "i", ")", "the", "Salary", "Continuation", "Period", "(", "as", "defined", "above", ")", "or", "(", "ii", ")", "the", "period", "ending", "on", "the", "date", "on", "which", "Executive", "obtains", "employment", "with", "another", "employer", "that", "makes", "group", "health", "insurance", "available", "to", "him", "and", "his", "dependents", ",", "whichever", "is", "shorter", ".", "Each", "premium", "payment", "shall", "be", "paid", "when", "due", "and", "shall", "be", "considered", "a", "separate", "payment", "for", "purposes", "of", "Section", "409A", "of", "the", "Code", "."]}
{"id": "11683", "text": "(c) Medical Insurance Continuation Benefit. Upon a timely election of the continuation coverage under COBRA by Executive, the Medical Insurance Continuation Benefit for the Insurance Continuation Period as set forth in Section5.4(b) above.", "ner": [[17, 17, "Act"]], "tokenized_text": ["(", "c", ")", "Medical", "Insurance", "Continuation", "Benefit", ".", "Upon", "a", "timely", "election", "of", "the", "continuation", "coverage", "under", "COBRA", "by", "Executive", ",", "the", "Medical", "Insurance", "Continuation", "Benefit", "for", "the", "Insurance", "Continuation", "Period", "as", "set", "forth", "in", "Section5", ".", "4", "(", "b", ")", "above", "."]}
{"id": "11685", "text": "7.2 Exceptions to Payment Delay. Notwithstanding Section7.1 above, to the maximum extent permitted by applicable law, amounts payable to Executive pursuant to Section5 or Section6 shall be made in reliance upon Treasury Regulation 1.409A-1(b)(9) with respect to separation pay plans, or Treasury Regulation 1.409A-1(b)(4) with respect to short-term deferrals. Accordingly, the severance or post-termination payments provided for in Section5 and Section6 are not intended to provide for any deferral of compensation subject to Section409A of the Code to the extent that:", "ner": [[38, 45, "Regulation"]], "tokenized_text": ["7", ".", "2", "Exceptions", "to", "Payment", "Delay", ".", "Notwithstanding", "Section7", ".", "1", "above", ",", "to", "the", "maximum", "extent", "permitted", "by", "applicable", "law", ",", "amounts", "payable", "to", "Executive", "pursuant", "to", "Section5", "or", "Section6", "shall", "be", "made", "in", "reliance", "upon", "Treasury", "Regulation", "1", ".", "409A-1", "(", "b", ")", "(", "9", ")", "with", "respect", "to", "separation", "pay", "plans", ",", "or", "Treasury", "Regulation", "1", ".", "409A-1", "(", "b", ")", "(", "4", ")", "with", "respect", "to", "short-term", "deferrals", ".", "Accordingly", ",", "the", "severance", "or", "post-termination", "payments", "provided", "for", "in", "Section5", "and", "Section6", "are", "not", "intended", "to", "provide", "for", "any", "deferral", "of", "compensation", "subject", "to", "Section409A", "of", "the", "Code", "to", "the", "extent", "that", ":"]}
{"id": "11686", "text": "9.1 No Other Agreements. This Agreement, together with the Employee Confidentiality Agreement contain all of the terms and provisions relating to and governing the employment relationship between Executive and the Company and shall supersede any other prior or contemporaneous agreements or understandings (written, oral or implied) between Executive and the Company relating in any way to Executives employment as CEO of the Company.", "ner": [[13, 15, "Title"], [66, 66, "Role"]], "tokenized_text": ["9", ".", "1", "No", "Other", "Agreements", ".", "This", "Agreement", ",", "together", "with", "the", "Employee", "Confidentiality", "Agreement", "contain", "all", "of", "the", "terms", "and", "provisions", "relating", "to", "and", "governing", "the", "employment", "relationship", "between", "Executive", "and", "the", "Company", "and", "shall", "supersede", "any", "other", "prior", "or", "contemporaneous", "agreements", "or", "understandings", "(", "written", ",", "oral", "or", "implied", ")", "between", "Executive", "and", "the", "Company", "relating", "in", "any", "way", "to", "Executives", "employment", "as", "CEO", "of", "the", "Company", "."]}
{"id": "11688", "text": "(a) Arbitration. Any dispute between the parties relating to this Agreement or any agreements entered into pursuant hereto by the parties, including any controversy or dispute regarding the enforceability or the interpretation of any of the provisions hereof or thereof, or with respect to any alleged or actual non-performance by a party of its obligations hereunder or thereunder or with respect to Executives performance as the Companys CEO , shall be resolved exclusively by binding arbitration in accordance with the rules of commercial arbitration of the American Arbitration Association. Any arbitration proceeding shall be held exclusively in Orange County, California and any service of process in or in connection with any such proceeding shall be adequate if sent by certified or registered mail, postage prepaid to the address of the other party last communicated in writing by such other party to the party initiating such arbitration. The party deemed by the arbitrator to be the prevailing party in any such arbitration proceeding shall be entitled to an award obligating the other party to pay to the prevailing party the reasonable fees and disbursements of such prevailing partys attorneys, accountants and expert witnesses incurred in or in connection with any such proceeding. The determinations of the arbitrator in any such proceeding shall be final and binding on and non-appealable by the parties.", "ner": [[72, 72, "Role"], [103, 106, "Address"]], "tokenized_text": ["(", "a", ")", "Arbitration", ".", "Any", "dispute", "between", "the", "parties", "relating", "to", "this", "Agreement", "or", "any", "agreements", "entered", "into", "pursuant", "hereto", "by", "the", "parties", ",", "including", "any", "controversy", "or", "dispute", "regarding", "the", "enforceability", "or", "the", "interpretation", "of", "any", "of", "the", "provisions", "hereof", "or", "thereof", ",", "or", "with", "respect", "to", "any", "alleged", "or", "actual", "non-performance", "by", "a", "party", "of", "its", "obligations", "hereunder", "or", "thereunder", "or", "with", "respect", "to", "Executives", "performance", "as", "the", "Companys", "CEO", ",", "shall", "be", "resolved", "exclusively", "by", "binding", "arbitration", "in", "accordance", "with", "the", "rules", "of", "commercial", "arbitration", "of", "the", "American", "Arbitration", "Association", ".", "Any", "arbitration", "proceeding", "shall", "be", "held", "exclusively", "in", "Orange", "County", ",", "California", "and", "any", "service", "of", "process", "in", "or", "in", "connection", "with", "any", "such", "proceeding", "shall", "be", "adequate", "if", "sent", "by", "certified", "or", "registered", "mail", ",", "postage", "prepaid", "to", "the", "address", "of", "the", "other", "party", "last", "communicated", "in", "writing", "by", "such", "other", "party", "to", "the", "party", "initiating", "such", "arbitration", ".", "The", "party", "deemed", "by", "the", "arbitrator", "to", "be", "the", "prevailing", "party", "in", "any", "such", "arbitration", "proceeding", "shall", "be", "entitled", "to", "an", "award", "obligating", "the", "other", "party", "to", "pay", "to", "the", "prevailing", "party", "the", "reasonable", "fees", "and", "disbursements", "of", "such", "prevailing", "partys", "attorneys", ",", "accountants", "and", "expert", "witnesses", "incurred", "in", "or", "in", "connection", "with", "any", "such", "proceeding", ".", "The", "determinations", "of", "the", "arbitrator", "in", "any", "such", "proceeding", "shall", "be", "final", "and", "binding", "on", "and", "non-appealable", "by", "the", "parties", "."]}
{"id": "11690", "text": "Santa Ana, CA 92705", "ner": [], "tokenized_text": ["Santa", "Ana", ",", "CA", "92705"]}
{"id": "11691", "text": "/s/ JOSEPH J. ORLANDO", "ner": [[3, 6, "Parties"]], "tokenized_text": ["/", "s", "/", "JOSEPH", "J", ".", "ORLANDO"]}
{"id": "11692", "text": "THIS EXECUTIVE EMPLOYMENT AGREEMENT (Agreement) is effective as of October12, 2017 (the Effective Date) by and between WatchGuard, Inc. (the Company) and Stephen Coffman (the Executive). The Company and the Executive shall be referred to herein individually as a Party and collectively as the Parties.", "ner": [[2, 3, "Title"], [11, 13, "EffectiveDate"], [22, 25, "Parties"], [31, 32, "Parties"]], "tokenized_text": ["THIS", "EXECUTIVE", "EMPLOYMENT", "AGREEMENT", "(", "Agreement", ")", "is", "effective", "as", "of", "October12", ",", "2017", "(", "the", "Effective", "Date", ")", "by", "and", "between", "WatchGuard", ",", "Inc", ".", "(", "the", "Company", ")", "and", "Stephen", "Coffman", "(", "the", "Executive", ")", ".", "The", "Company", "and", "the", "Executive", "shall", "be", "referred", "to", "herein", "individually", "as", "a", "Party", "and", "collectively", "as", "the", "Parties", "."]}
{"id": "11697", "text": "THIS EMPLOYMENT AGREEMENT (this Agreement) is made and entered into as of October 9, 2017 (the Effective Date) by and between PROS, Inc. , a Delaware corporation (the Company), PROS Holdings, Inc. , a Delaware corporation (PROS Holdings), and Thomas Dziersk (the Employee). The Company and the Employee are sometimes collectively referred to herein as the Parties and individually referred to herein as a Party.", "ner": [[1, 2, "Title"], [14, 17, "EffectiveDate"], [26, 29, "Parties"], [39, 43, "Parties"], [54, 55, "Parties"]], "tokenized_text": ["THIS", "EMPLOYMENT", "AGREEMENT", "(", "this", "Agreement", ")", "is", "made", "and", "entered", "into", "as", "of", "October", "9", ",", "2017", "(", "the", "Effective", "Date", ")", "by", "and", "between", "PROS", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "the", "Company", ")", ",", "PROS", "Holdings", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "PROS", "Holdings", ")", ",", "and", "Thomas", "Dziersk", "(", "the", "Employee", ")", ".", "The", "Company", "and", "the", "Employee", "are", "sometimes", "collectively", "referred", "to", "herein", "as", "the", "Parties", "and", "individually", "referred", "to", "herein", "as", "a", "Party", "."]}
{"id": "11702", "text": "(i) a lump sum severance payment equivalent to one-hundred fifty percent ( 150% ) of the Employees then current annual Salary, less applicable withholding and deductions, payable on the first payday following the 30th day after Employees Termination Date; and", "ner": [[14, 15, "Percentage"]], "tokenized_text": ["(", "i", ")", "a", "lump", "sum", "severance", "payment", "equivalent", "to", "one-hundred", "fifty", "percent", "(", "150", "%", ")", "of", "the", "Employees", "then", "current", "annual", "Salary", ",", "less", "applicable", "withholding", "and", "deductions", ",", "payable", "on", "the", "first", "payday", "following", "the", "30th", "day", "after", "Employees", "Termination", "Date", ";", "and"]}
{"id": "11705", "text": "(a) The Parties intend for this Agreement either to satisfy the requirements of Section 409A of the Internal Revenue Code of 1986 , as amended, and all applicable guidance promulgated thereunder (Section 409A) or to be exempt from the application of Section 409A , and this Agreement shall be construed and interpreted accordingly. Any amount payable pursuant to this Agreement due to a termination of employment which constitutes a deferral of compensation within the meaning of Section 409A shall not be paid unless and until such termination constitutes a separation from service within the meaning of Section 409A. Further, to the extent an amount payable under this Agreement is intended to be exempt from Section 409A, and such exemption is conditioned upon the payment being made upon a separation from service, then such payment shall not be paid unless and until Employee has incurred a separation from service. If this Agreement either fails to satisfy the requirements of Section 409A or is not exempt from the application of Section 409A, then the Parties hereby agree to amend or to clarify this Agreement in a timely manner so that this Agreement either satisfies the requirements of Section 409A or is exempt from the application of Section 409A.", "ner": [[15, 16, "Regulation"], [19, 23, "Act"]], "tokenized_text": ["(", "a", ")", "The", "Parties", "intend", "for", "this", "Agreement", "either", "to", "satisfy", "the", "requirements", "of", "Section", "409A", "of", "the", "Internal", "Revenue", "Code", "of", "1986", ",", "as", "amended", ",", "and", "all", "applicable", "guidance", "promulgated", "thereunder", "(", "Section", "409A", ")", "or", "to", "be", "exempt", "from", "the", "application", "of", "Section", "409A", ",", "and", "this", "Agreement", "shall", "be", "construed", "and", "interpreted", "accordingly", ".", "Any", "amount", "payable", "pursuant", "to", "this", "Agreement", "due", "to", "a", "termination", "of", "employment", "which", "constitutes", "a", "deferral", "of", "compensation", "within", "the", "meaning", "of", "Section", "409A", "shall", "not", "be", "paid", "unless", "and", "until", "such", "termination", "constitutes", "a", "separation", "from", "service", "within", "the", "meaning", "of", "Section", "409A", ".", "Further", ",", "to", "the", "extent", "an", "amount", "payable", "under", "this", "Agreement", "is", "intended", "to", "be", "exempt", "from", "Section", "409A", ",", "and", "such", "exemption", "is", "conditioned", "upon", "the", "payment", "being", "made", "upon", "a", "separation", "from", "service", ",", "then", "such", "payment", "shall", "not", "be", "paid", "unless", "and", "until", "Employee", "has", "incurred", "a", "separation", "from", "service", ".", "If", "this", "Agreement", "either", "fails", "to", "satisfy", "the", "requirements", "of", "Section", "409A", "or", "is", "not", "exempt", "from", "the", "application", "of", "Section", "409A", ",", "then", "the", "Parties", "hereby", "agree", "to", "amend", "or", "to", "clarify", "this", "Agreement", "in", "a", "timely", "manner", "so", "that", "this", "Agreement", "either", "satisfies", "the", "requirements", "of", "Section", "409A", "or", "is", "exempt", "from", "the", "application", "of", "Section", "409A", "."]}
{"id": "11706", "text": "14\\. Interpretation; Venue. The Company and Employee agree that this Agreement shall be interpreted in accordance with and governed by the laws of the State of Texas , without giving effect to conflicts of law principles. The trial courts of the County of Harris, State of Texas , and the United States District Court for the Southern District of Texas are courts of competent jurisdiction, and the Parties agree to submit to the jurisdiction of those courts, as applicable", "ner": [[28, 30, "Court"], [46, 52, "Court"], [56, 65, "Court"]], "tokenized_text": ["14", "\\", ".", "Interpretation", ";", "Venue", ".", "The", "Company", "and", "Employee", "agree", "that", "this", "Agreement", "shall", "be", "interpreted", "in", "accordance", "with", "and", "governed", "by", "the", "laws", "of", "the", "State", "of", "Texas", ",", "without", "giving", "effect", "to", "conflicts", "of", "law", "principles", ".", "The", "trial", "courts", "of", "the", "County", "of", "Harris", ",", "State", "of", "Texas", ",", "and", "the", "United", "States", "District", "Court", "for", "the", "Southern", "District", "of", "Texas", "are", "courts", "of", "competent", "jurisdiction", ",", "and", "the", "Parties", "agree", "to", "submit", "to", "the", "jurisdiction", "of", "those", "courts", ",", "as", "applicable"]}
{"id": "11707", "text": "16\\. Third-Party Beneficiary. The Parties expressly acknowledge and agree that the PROS Holdings, Inc. shall be deemed to be a third-party beneficiary with respect to the terms and provisions of this Agreement and shall be entitled to enforce the terms and provisions hereof.", "ner": [[14, 18, "Title"]], "tokenized_text": ["16", "\\", ".", "Third-Party", "Beneficiary", ".", "The", "Parties", "expressly", "acknowledge", "and", "agree", "that", "the", "PROS", "Holdings", ",", "Inc", ".", "shall", "be", "deemed", "to", "be", "a", "third-party", "beneficiary", "with", "respect", "to", "the", "terms", "and", "provisions", "of", "this", "Agreement", "and", "shall", "be", "entitled", "to", "enforce", "the", "terms", "and", "provisions", "hereof", "."]}
{"id": "11708", "text": "Date: October 9, 2017", "ner": [], "tokenized_text": ["Date", ":", "October", "9", ",", "2017"]}
{"id": "11709", "text": "In consideration for the mutual promises described in that certain Employment Agreement (Employment Agreement) executed between PROS, Inc. , a Delaware corporation (the Company) and Thomas Dziersk (the Employee), the parties enter into the following General Release (General Release) and agree as follows:", "ner": [[10, 11, "Title"], [18, 21, "Parties"], [31, 32, "Parties"]], "tokenized_text": ["In", "consideration", "for", "the", "mutual", "promises", "described", "in", "that", "certain", "Employment", "Agreement", "(", "Employment", "Agreement", ")", "executed", "between", "PROS", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "the", "Company", ")", "and", "Thomas", "Dziersk", "(", "the", "Employee", ")", ",", "the", "parties", "enter", "into", "the", "following", "General", "Release", "(", "General", "Release", ")", "and", "agree", "as", "follows", ":"]}
{"id": "11710", "text": "3.1 Subject to Section 1 above, Employee unconditionally, irrevocably and absolutely releases and discharges Company, and any parent and subsidiary corporations, divisions and affiliated corporations, partnerships or other affiliated entities of Company, past and present, as well as their respective employees, officers, directors, members, managers, stockholders, partners, agents, successors and assigns (collectively, Released Parties), from all claims related in any way to the transactions or occurrences between them to date, to the fullest extent permitted by law, including, but not limited to, Employees employment with Company, the termination of Employees employment, and all other losses, liabilities, claims, charges, demands and causes of action, known or unknown, suspected or unsuspected, arising directly or indirectly out of or in any way connected with Employees employment with Company. This release is intended to have the broadest possible application and includes, but is not limited to, any tort, contract, common law, constitutional or other statutory claims, including, but not limited to alleged violations of the Texas Labor Code (including but not limited to the Texas Civil Rights Act , the Texas Payday Act , and the Texas Minimum Wage Law), the federal Fair Labor Standards Act , Title VII of the Civil Rights Act of 1964 , the Americans with Disabilities Act , the Age Discrimination in Employment Act of 1967 , as amended, and all claims for attorneys fees, costs and expenses. Employee expressly waives Employees right to recovery of any type, including damages or reinstatement, in any administrative or court action, whether state or federal, and whether brought by Employee or on Employees behalf, related in any way to the matters released herein. However, this general release is not intended to bar any claims that, by statute, may not be waived, such as claims for any challenge to the validity of Employees release of claims under the Age Discrimination in Employment Act of 1967 , as amended, as set forth in this General Release.", "ner": [[203, 205, "Act"], [213, 216, "Act"], [219, 221, "Act"], [225, 228, "Act"], [233, 236, "Act"], [242, 246, "Act"], [249, 252, "Act"], [255, 261, "Act"]], "tokenized_text": ["3", ".", "1", "Subject", "to", "Section", "1", "above", ",", "Employee", "unconditionally", ",", "irrevocably", "and", "absolutely", "releases", "and", "discharges", "Company", ",", "and", "any", "parent", "and", "subsidiary", "corporations", ",", "divisions", "and", "affiliated", "corporations", ",", "partnerships", "or", "other", "affiliated", "entities", "of", "Company", ",", "past", "and", "present", ",", "as", "well", "as", "their", "respective", "employees", ",", "officers", ",", "directors", ",", "members", ",", "managers", ",", "stockholders", ",", "partners", ",", "agents", ",", "successors", "and", "assigns", "(", "collectively", ",", "Released", "Parties", ")", ",", "from", "all", "claims", "related", "in", "any", "way", "to", "the", "transactions", "or", "occurrences", "between", "them", "to", "date", ",", "to", "the", "fullest", "extent", "permitted", "by", "law", ",", "including", ",", "but", "not", "limited", "to", ",", "Employees", "employment", "with", "Company", ",", "the", "termination", "of", "Employees", "employment", ",", "and", "all", "other", "losses", ",", "liabilities", ",", "claims", ",", "charges", ",", "demands", "and", "causes", "of", "action", ",", "known", "or", "unknown", ",", "suspected", "or", "unsuspected", ",", "arising", "directly", "or", "indirectly", "out", "of", "or", "in", "any", "way", "connected", "with", "Employees", "employment", "with", "Company", ".", "This", "release", "is", "intended", "to", "have", "the", "broadest", "possible", "application", "and", "includes", ",", "but", "is", "not", "limited", "to", ",", "any", "tort", ",", "contract", ",", "common", "law", ",", "constitutional", "or", "other", "statutory", "claims", ",", "including", ",", "but", "not", "limited", "to", "alleged", "violations", "of", "the", "Texas", "Labor", "Code", "(", "including", "but", "not", "limited", "to", "the", "Texas", "Civil", "Rights", "Act", ",", "the", "Texas", "Payday", "Act", ",", "and", "the", "Texas", "Minimum", "Wage", "Law", ")", ",", "the", "federal", "Fair", "Labor", "Standards", "Act", ",", "Title", "VII", "of", "the", "Civil", "Rights", "Act", "of", "1964", ",", "the", "Americans", "with", "Disabilities", "Act", ",", "the", "Age", "Discrimination", "in", "Employment", "Act", "of", "1967", ",", "as", "amended", ",", "and", "all", "claims", "for", "attorneys", "fees", ",", "costs", "and", "expenses", ".", "Employee", "expressly", "waives", "Employees", "right", "to", "recovery", "of", "any", "type", ",", "including", "damages", "or", "reinstatement", ",", "in", "any", "administrative", "or", "court", "action", ",", "whether", "state", "or", "federal", ",", "and", "whether", "brought", "by", "Employee", "or", "on", "Employees", "behalf", ",", "related", "in", "any", "way", "to", "the", "matters", "released", "herein", ".", "However", ",", "this", "general", "release", "is", "not", "intended", "to", "bar", "any", "claims", "that", ",", "by", "statute", ",", "may", "not", "be", "waived", ",", "such", "as", "claims", "for", "any", "challenge", "to", "the", "validity", "of", "Employees", "release", "of", "claims", "under", "the", "Age", "Discrimination", "in", "Employment", "Act", "of", "1967", ",", "as", "amended", ",", "as", "set", "forth", "in", "this", "General", "Release", "."]}
{"id": "11712", "text": "9.2 Revocation/Effective Date. This General Release shall not become effective or enforceable until the eighth day after Employee signs this General Release. In other words, Employee may revoke Employees acceptance of this General Release within seven (7) days after the date Employee signs it. Employees revocation must be in writing and received by PROS, Inc., 3100 Main Street, Suite 900, Houston, Texas 77002, by 5:00 p.m. Central Time on the seventh day in order to be effective. If Employee does not revoke acceptance within the seven (7) day period, Employees acceptance of this General Release shall become binding and enforceable on the eighth day (the Effective Date).", "ner": [[68, 78, "Address"]], "tokenized_text": ["9", ".", "2", "Revocation", "/", "Effective", "Date", ".", "This", "General", "Release", "shall", "not", "become", "effective", "or", "enforceable", "until", "the", "eighth", "day", "after", "Employee", "signs", "this", "General", "Release", ".", "In", "other", "words", ",", "Employee", "may", "revoke", "Employees", "acceptance", "of", "this", "General", "Release", "within", "seven", "(", "7", ")", "days", "after", "the", "date", "Employee", "signs", "it", ".", "Employees", "revocation", "must", "be", "in", "writing", "and", "received", "by", "PROS", ",", "Inc", ".", ",", "3100", "Main", "Street", ",", "Suite", "900", ",", "Houston", ",", "Texas", "77002", ",", "by", "5", ":", "00", "p", ".", "m", ".", "Central", "Time", "on", "the", "seventh", "day", "in", "order", "to", "be", "effective", ".", "If", "Employee", "does", "not", "revoke", "acceptance", "within", "the", "seven", "(", "7", ")", "day", "period", ",", "Employees", "acceptance", "of", "this", "General", "Release", "shall", "become", "binding", "and", "enforceable", "on", "the", "eighth", "day", "(", "the", "Effective", "Date", ")", "."]}
{"id": "11713", "text": "9.3 Preserved Rights of Employee. This General Release does not waive or release any rights or claims that Employee may have under the Age Discrimination in Employment Act that arise after the execution of this General Release. In addition, this General Release does not prohibit Employee from challenging the validity of this General Releases waiver and release of claims under the Age Discrimination in Employment Act of 1967 .", "ner": [[26, 30, "Act"], [66, 72, "Act"]], "tokenized_text": ["9", ".", "3", "Preserved", "Rights", "of", "Employee", ".", "This", "General", "Release", "does", "not", "waive", "or", "release", "any", "rights", "or", "claims", "that", "Employee", "may", "have", "under", "the", "Age", "Discrimination", "in", "Employment", "Act", "that", "arise", "after", "the", "execution", "of", "this", "General", "Release", ".", "In", "addition", ",", "this", "General", "Release", "does", "not", "prohibit", "Employee", "from", "challenging", "the", "validity", "of", "this", "General", "Releases", "waiver", "and", "release", "of", "claims", "under", "the", "Age", "Discrimination", "in", "Employment", "Act", "of", "1967", "."]}
{"id": "11714", "text": "12\\. Governing Law; Forum. The validity, interpretation and performance of this General Release shall be construed and interpreted according to the laws of the United States of America and the State of Texas without giving effect to conflicts of law principles. Employee agrees that any disputes or litigation that may arise with respect to the General Release shall be brought and prosecuted in Harris County, Texas and waives any and all objections to the location of such litigation, including but not limited to objections based on forum non conveniens. In addition, Employee irrevocably consents to the exclusive personal jurisdiction of the federal and state courts located in Harris County, Texas, as applicable, for any matter arising out of or relating to this General Release.", "ner": [[29, 32, "Court"], [35, 37, "Court"], [69, 72, "Court"]], "tokenized_text": ["12", "\\", ".", "Governing", "Law", ";", "Forum", ".", "The", "validity", ",", "interpretation", "and", "performance", "of", "this", "General", "Release", "shall", "be", "construed", "and", "interpreted", "according", "to", "the", "laws", "of", "the", "United", "States", "of", "America", "and", "the", "State", "of", "Texas", "without", "giving", "effect", "to", "conflicts", "of", "law", "principles", ".", "Employee", "agrees", "that", "any", "disputes", "or", "litigation", "that", "may", "arise", "with", "respect", "to", "the", "General", "Release", "shall", "be", "brought", "and", "prosecuted", "in", "Harris", "County", ",", "Texas", "and", "waives", "any", "and", "all", "objections", "to", "the", "location", "of", "such", "litigation", ",", "including", "but", "not", "limited", "to", "objections", "based", "on", "forum", "non", "conveniens", ".", "In", "addition", ",", "Employee", "irrevocably", "consents", "to", "the", "exclusive", "personal", "jurisdiction", "of", "the", "federal", "and", "state", "courts", "located", "in", "Harris", "County", ",", "Texas", ",", "as", "applicable", ",", "for", "any", "matter", "arising", "out", "of", "or", "relating", "to", "this", "General", "Release", "."]}
{"id": "11718", "text": "1.3 Duties. CFO shall do and perform all services, acts or things necessary or advisable to manage and conduct the business of the Company and that are normally associated with the position of Chief Financial Officer . CFO shall report to the Chief Executive Officer.", "ner": [[5, 5, "Role"], [37, 39, "Role"], [46, 48, "Role"]], "tokenized_text": ["1", ".", "3", "Duties", ".", "CFO", "shall", "do", "and", "perform", "all", "services", ",", "acts", "or", "things", "necessary", "or", "advisable", "to", "manage", "and", "conduct", "the", "business", "of", "the", "Company", "and", "that", "are", "normally", "associated", "with", "the", "position", "of", "Chief", "Financial", "Officer", ".", "CFO", "shall", "report", "to", "the", "Chief", "Executive", "Officer", "."]}
{"id": "11721", "text": "2.2 Agreement not to Participate in Companys Competitors. During CFO s employment with the Company, CFO agrees not to acquire, assume or participate in, directly or indirectly, any position, investment or interest known by CFO to be adverse or antagonistic to the Company, its business, or prospects, financial or otherwise, or in any company, person, or entity that is, directly or indirectly, in competition with the business of the Company or any of its Affiliates (as defined below). Ownership by CFO , in professionally managed funds over which CFO does not have control or discretion in investment decisions, or as a passive investment, of less than two percent ( 2% ) of the outstanding shares of capital stock of any corporation with one or more classes of its capital stock listed on a national securities exchange or publicly traded on a national securities exchange or in the over-the-counter market shall not constitute a breach of this Section. For purposes of this Agreement, Affiliate, means, with respect to any specific entity, any other entity that, directly or indirectly, through one or more intermediaries, controls, is controlled by or is under common control with such specified entity.", "ner": [[12, 12, "Role"], [130, 131, "Percentage"]], "tokenized_text": ["2", ".", "2", "Agreement", "not", "to", "Participate", "in", "Companys", "Competitors", ".", "During", "CFO", "s", "employment", "with", "the", "Company", ",", "CFO", "agrees", "not", "to", "acquire", ",", "assume", "or", "participate", "in", ",", "directly", "or", "indirectly", ",", "any", "position", ",", "investment", "or", "interest", "known", "by", "CFO", "to", "be", "adverse", "or", "antagonistic", "to", "the", "Company", ",", "its", "business", ",", "or", "prospects", ",", "financial", "or", "otherwise", ",", "or", "in", "any", "company", ",", "person", ",", "or", "entity", "that", "is", ",", "directly", "or", "indirectly", ",", "in", "competition", "with", "the", "business", "of", "the", "Company", "or", "any", "of", "its", "Affiliates", "(", "as", "defined", "below", ")", ".", "Ownership", "by", "CFO", ",", "in", "professionally", "managed", "funds", "over", "which", "CFO", "does", "not", "have", "control", "or", "discretion", "in", "investment", "decisions", ",", "or", "as", "a", "passive", "investment", ",", "of", "less", "than", "two", "percent", "(", "2", "%", ")", "of", "the", "outstanding", "shares", "of", "capital", "stock", "of", "any", "corporation", "with", "one", "or", "more", "classes", "of", "its", "capital", "stock", "listed", "on", "a", "national", "securities", "exchange", "or", "publicly", "traded", "on", "a", "national", "securities", "exchange", "or", "in", "the", "over-the-counter", "market", "shall", "not", "constitute", "a", "breach", "of", "this", "Section", ".", "For", "purposes", "of", "this", "Agreement", ",", "Affiliate", ",", "means", ",", "with", "respect", "to", "any", "specific", "entity", ",", "any", "other", "entity", "that", ",", "directly", "or", "indirectly", ",", "through", "one", "or", "more", "intermediaries", ",", "controls", ",", "is", "controlled", "by", "or", "is", "under", "common", "control", "with", "such", "specified", "entity", "."]}
{"id": "11725", "text": "3.2 Discretionary Bonus. At the sole discretion of the Board and Chief Executive Officer, promptly following each calendar year of employment CFO shall be eligible to receive a discretionary cash bonus of up to 30% of CFO s then-current base salary (the Bonus), based on CFO s achievement relative to certain performance goals (Performance Goals) to be established by the Chief Executive Officer in writing in a manner reasonably consistent with the Companys priorities. The determination of whether CFO has met the Performance Goals for any given year, and if so, the amount of any Bonus that will be paid for such year (if any), shall be determined by the Board and Chief Executive Officer in their sole and", "ner": [[14, 16, "Role"], [25, 25, "Role"], [38, 39, "Percentage"], [70, 72, "Role"], [128, 130, "Role"]], "tokenized_text": ["3", ".", "2", "Discretionary", "Bonus", ".", "At", "the", "sole", "discretion", "of", "the", "Board", "and", "Chief", "Executive", "Officer", ",", "promptly", "following", "each", "calendar", "year", "of", "employment", "CFO", "shall", "be", "eligible", "to", "receive", "a", "discretionary", "cash", "bonus", "of", "up", "to", "30", "%", "of", "CFO", "s", "then-current", "base", "salary", "(", "the", "Bonus", ")", ",", "based", "on", "CFO", "s", "achievement", "relative", "to", "certain", "performance", "goals", "(", "Performance", "Goals", ")", "to", "be", "established", "by", "the", "Chief", "Executive", "Officer", "in", "writing", "in", "a", "manner", "reasonably", "consistent", "with", "the", "Companys", "priorities", ".", "The", "determination", "of", "whether", "CFO", "has", "met", "the", "Performance", "Goals", "for", "any", "given", "year", ",", "and", "if", "so", ",", "the", "amount", "of", "any", "Bonus", "that", "will", "be", "paid", "for", "such", "year", "(", "if", "any", ")", ",", "shall", "be", "determined", "by", "the", "Board", "and", "Chief", "Executive", "Officer", "in", "their", "sole", "and"]}
{"id": "11727", "text": "3.3 Sign-On Bonus. Conditional upon the CFO initiating employment with the Company as of the Effective Date, Company agrees to pay CFO an aggregate sign- on bonus of $100,000 , of which one-half ( $50,000 ) is payable to CFO within thirty (30)days of the Effective Date, and the second half ( $50,000 ) will be payable thirty (30)days subsequent to the earlier of (i)closing of an initial public offering of the Companys stock and (ii)the six (6)month anniversary of the Effective Date.", "ner": [[9, 9, "Role"], [33, 36, "Salary"], [40, 40, "Ratio"], [42, 45, "Salary"]], "tokenized_text": ["3", ".", "3", "Sign-On", "Bonus", ".", "Conditional", "upon", "the", "CFO", "initiating", "employment", "with", "the", "Company", "as", "of", "the", "Effective", "Date", ",", "Company", "agrees", "to", "pay", "CFO", "an", "aggregate", "sign", "-", "on", "bonus", "of", "$", "100", ",", "000", ",", "of", "which", "one-half", "(", "$", "50", ",", "000", ")", "is", "payable", "to", "CFO", "within", "thirty", "(", "30", ")", "days", "of", "the", "Effective", "Date", ",", "and", "the", "second", "half", "(", "$", "50", ",", "000", ")", "will", "be", "payable", "thirty", "(", "30", ")", "days", "subsequent", "to", "the", "earlier", "of", "(", "i", ")", "closing", "of", "an", "initial", "public", "offering", "of", "the", "Companys", "stock", "and", "(", "ii", ")", "the", "six", "(", "6", ")", "month", "anniversary", "of", "the", "Effective", "Date", "."]}
{"id": "11728", "text": "3.4 Relocation. CFO in good faith intends to relocate his household to the San Diego area as soon as practical, but no later than four (4)months following the Effective Date. Until such time as CFO relocates, CFO agrees to spend at least 4 days per week at the Companys offices in San Diego, unless as otherwise approved on a week-to-week basis by the Chief Executive Officer. The Company will cover the actual and reasonable costs, including out-of-pocket relocation, commuting and related tax expense, associated with CFO s relocation to the San Diego area, up to a maximum of $40,000 , exclusive of any tax gross-up payment. CFO must remain employed by the Company through and including the date of payment of any such amounts payable under this Section3.4, and all such payments will be subject to any necessary payroll deductions and all required withholdings.", "ner": [[5, 5, "Role"], [16, 18, "Address"], [73, 75, "Role"], [113, 116, "Salary"]], "tokenized_text": ["3", ".", "4", "Relocation", ".", "CFO", "in", "good", "faith", "intends", "to", "relocate", "his", "household", "to", "the", "San", "Diego", "area", "as", "soon", "as", "practical", ",", "but", "no", "later", "than", "four", "(", "4", ")", "months", "following", "the", "Effective", "Date", ".", "Until", "such", "time", "as", "CFO", "relocates", ",", "CFO", "agrees", "to", "spend", "at", "least", "4", "days", "per", "week", "at", "the", "Companys", "offices", "in", "San", "Diego", ",", "unless", "as", "otherwise", "approved", "on", "a", "week-to-week", "basis", "by", "the", "Chief", "Executive", "Officer", ".", "The", "Company", "will", "cover", "the", "actual", "and", "reasonable", "costs", ",", "including", "out-of-pocket", "relocation", ",", "commuting", "and", "related", "tax", "expense", ",", "associated", "with", "CFO", "s", "relocation", "to", "the", "San", "Diego", "area", ",", "up", "to", "a", "maximum", "of", "$", "40", ",", "000", ",", "exclusive", "of", "any", "tax", "gross-up", "payment", ".", "CFO", "must", "remain", "employed", "by", "the", "Company", "through", "and", "including", "the", "date", "of", "payment", "of", "any", "such", "amounts", "payable", "under", "this", "Section3", ".", "4", ",", "and", "all", "such", "payments", "will", "be", "subject", "to", "any", "necessary", "payroll", "deductions", "and", "all", "required", "withholdings", "."]}
{"id": "11730", "text": "3.6 Expense Reimbursements. The Company will reimburse CFO for all reasonable business expenses CFO incurs in conducting his duties hereunder, pursuant to the Companys usual expense reimbursement policies; provided that CFO supplies the appropriate substantiation for such expenses no later than the end of the calendar month following the month in which such expenses were incurred by CFO .", "ner": [[10, 10, "Role"]], "tokenized_text": ["3", ".", "6", "Expense", "Reimbursements", ".", "The", "Company", "will", "reimburse", "CFO", "for", "all", "reasonable", "business", "expenses", "CFO", "incurs", "in", "conducting", "his", "duties", "hereunder", ",", "pursuant", "to", "the", "Companys", "usual", "expense", "reimbursement", "policies", ";", "provided", "that", "CFO", "supplies", "the", "appropriate", "substantiation", "for", "such", "expenses", "no", "later", "than", "the", "end", "of", "the", "calendar", "month", "following", "the", "month", "in", "which", "such", "expenses", "were", "incurred", "by", "CFO", "."]}
{"id": "11731", "text": "3.7 Changes to Compensation. CFO s compensation will be reviewed annually and may be changed from time to time in the Companys sole discretion.", "ner": [[7, 7, "Role"]], "tokenized_text": ["3", ".", "7", "Changes", "to", "Compensation", ".", "CFO", "s", "compensation", "will", "be", "reviewed", "annually", "and", "may", "be", "changed", "from", "time", "to", "time", "in", "the", "Companys", "sole", "discretion", "."]}
{"id": "11732", "text": "3.8 Employment Taxes. All of CFO s compensation shall be subject to customary withholding taxes and any other employment taxes as are commonly required to be collected or withheld by the Company.", "ner": [[8, 8, "Role"]], "tokenized_text": ["3", ".", "8", "Employment", "Taxes", ".", "All", "of", "CFO", "s", "compensation", "shall", "be", "subject", "to", "customary", "withholding", "taxes", "and", "any", "other", "employment", "taxes", "as", "are", "commonly", "required", "to", "be", "collected", "or", "withheld", "by", "the", "Company", "."]}
{"id": "11733", "text": "3.9 Benefits. CFO shall, in accordance with Company policy and the terms of the applicable plan documents, be eligible to participate in benefits under any benefit plan or arrangement that may be in effect from time to time and made available to the Companys senior management employees.", "ner": [[5, 5, "Role"]], "tokenized_text": ["3", ".", "9", "Benefits", ".", "CFO", "shall", ",", "in", "accordance", "with", "Company", "policy", "and", "the", "terms", "of", "the", "applicable", "plan", "documents", ",", "be", "eligible", "to", "participate", "in", "benefits", "under", "any", "benefit", "plan", "or", "arrangement", "that", "may", "be", "in", "effect", "from", "time", "to", "time", "and", "made", "available", "to", "the", "Companys", "senior", "management", "employees", "."]}
{"id": "11735", "text": "4.1 Termination by the Company. CFO s employment with the Company is at will and may be terminated by the Company at any time and for any reason, or for no reason, including, but not limited to, under the following conditions:", "ner": [[8, 8, "Role"]], "tokenized_text": ["4", ".", "1", "Termination", "by", "the", "Company", ".", "CFO", "s", "employment", "with", "the", "Company", "is", "at", "will", "and", "may", "be", "terminated", "by", "the", "Company", "at", "any", "time", "and", "for", "any", "reason", ",", "or", "for", "no", "reason", ",", "including", ",", "but", "not", "limited", "to", ",", "under", "the", "following", "conditions", ":"]}
{"id": "11736", "text": "4.1.1 Termination by the Company for Cause. The Company may terminate CFO s employment under this Agreement for Cause (as defined below) by delivery of written notice to CFO . Any notice of termination given pursuant to this section shall effect termination as of the date of the notice, or as of such other date specified in the notice.", "ner": [[16, 16, "Role"], [21, 23, "Title"]], "tokenized_text": ["4", ".", "1", ".", "1", "Termination", "by", "the", "Company", "for", "Cause", ".", "The", "Company", "may", "terminate", "CFO", "s", "employment", "under", "this", "Agreement", "for", "Cause", "(", "as", "defined", "below", ")", "by", "delivery", "of", "written", "notice", "to", "CFO", ".", "Any", "notice", "of", "termination", "given", "pursuant", "to", "this", "section", "shall", "effect", "termination", "as", "of", "the", "date", "of", "the", "notice", ",", "or", "as", "of", "such", "other", "date", "specified", "in", "the", "notice", "."]}
{"id": "11738", "text": "4.2 Termination by CFO . CFO may terminate his employment with the Company at any time and for any reason, or for no reason, upon thirty (30)days written notice to the Company.", "ner": [[5, 5, "Role"]], "tokenized_text": ["4", ".", "2", "Termination", "by", "CFO", ".", "CFO", "may", "terminate", "his", "employment", "with", "the", "Company", "at", "any", "time", "and", "for", "any", "reason", ",", "or", "for", "no", "reason", ",", "upon", "thirty", "(", "30", ")", "days", "written", "notice", "to", "the", "Company", "."]}
{"id": "11741", "text": "4.5.1 Death or Disability. If CFO s employment is terminated by death or Disability, the Company shall pay to CFO , or to CFO s heirs, CFO s accrued and unpaid base salary and accrued and unused vacation benefits earned through the date of termination at the rate in effect at the time of termination, less standard deductions and withholdings. The", "ner": [[10, 10, "Role"]], "tokenized_text": ["4", ".", "5", ".", "1", "Death", "or", "Disability", ".", "If", "CFO", "s", "employment", "is", "terminated", "by", "death", "or", "Disability", ",", "the", "Company", "shall", "pay", "to", "CFO", ",", "or", "to", "CFO", "s", "heirs", ",", "CFO", "s", "accrued", "and", "unpaid", "base", "salary", "and", "accrued", "and", "unused", "vacation", "benefits", "earned", "through", "the", "date", "of", "termination", "at", "the", "rate", "in", "effect", "at", "the", "time", "of", "termination", ",", "less", "standard", "deductions", "and", "withholdings", ".", "The"]}
{"id": "11742", "text": "Company shall thereafter have no further obligations to CFO and/or CFO s heirs under this Agreement, except as otherwise provided by law.", "ner": [[8, 8, "Role"]], "tokenized_text": ["Company", "shall", "thereafter", "have", "no", "further", "obligations", "to", "CFO", "and", "/", "or", "CFO", "s", "heirs", "under", "this", "Agreement", ",", "except", "as", "otherwise", "provided", "by", "law", "."]}
{"id": "11743", "text": "4.5.2 Termination For Cause. If the Company terminates CFO s employment for Cause, then the Company shall pay CFO s accrued and unpaid base salary and accrued and unused vacation benefits earned through the date of termination, at the rate in effect at the time of termination, less standard deductions and withholdings. The Company shall thereafter have no further obligations to CFO under this Agreement, except as otherwise provided by law.", "ner": [[13, 13, "Role"]], "tokenized_text": ["4", ".", "5", ".", "2", "Termination", "For", "Cause", ".", "If", "the", "Company", "terminates", "CFO", "s", "employment", "for", "Cause", ",", "then", "the", "Company", "shall", "pay", "CFO", "s", "accrued", "and", "unpaid", "base", "salary", "and", "accrued", "and", "unused", "vacation", "benefits", "earned", "through", "the", "date", "of", "termination", ",", "at", "the", "rate", "in", "effect", "at", "the", "time", "of", "termination", ",", "less", "standard", "deductions", "and", "withholdings", ".", "The", "Company", "shall", "thereafter", "have", "no", "further", "obligations", "to", "CFO", "under", "this", "Agreement", ",", "except", "as", "otherwise", "provided", "by", "law", "."]}
{"id": "11745", "text": "4.5.4 Termination by Company Without Cause or by CFO for Good Reason In Connection with a Change in Control. If the Company terminates CFO s employment without Cause or if CFO resigns his employment for Good Reason, in either case upon the occurrence of, or within the 13 months immediately following, the effective date of a Change in Control, the Company shall pay CFO s accrued and unpaid base salary and accrued", "ner": [[12, 12, "Role"]], "tokenized_text": ["4", ".", "5", ".", "4", "Termination", "by", "Company", "Without", "Cause", "or", "by", "CFO", "for", "Good", "Reason", "In", "Connection", "with", "a", "Change", "in", "Control", ".", "If", "the", "Company", "terminates", "CFO", "s", "employment", "without", "Cause", "or", "if", "CFO", "resigns", "his", "employment", "for", "Good", "Reason", ",", "in", "either", "case", "upon", "the", "occurrence", "of", ",", "or", "within", "the", "13", "months", "immediately", "following", ",", "the", "effective", "date", "of", "a", "Change", "in", "Control", ",", "the", "Company", "shall", "pay", "CFO", "s", "accrued", "and", "unpaid", "base", "salary", "and", "accrued"]}
{"id": "11748", "text": "4.6.2 Good Reason shall mean any of the following actions: (i)the assignment to CFO of any duties or responsibilities that results in a material diminution in CFO s function (for Section4.5.4, as in effect immediately prior to the effective date of the Change in Control); provided, however, that a change in CFO s title or reporting relationships shall not provide the basis for a voluntary termination with Good Reason; (ii)a reduction by the Company in CFO s annual base salary as in effect immediately prior to the effective date of the Change in Control; provided, however, that Good Reason shall not be deemed to have occurred in the event of a reduction in CFO s annual base salary that is pursuant to a salary reduction program affecting substantially all of the employees of the Company and that does not adversely affect CFO to a greater extent than other similarly situated employees; or (iii)a relocation of CFO s primary business office to a location more than 50 miles from the location of CFO s primary business office and which increases the CFO s commute (for Section4.5.4, as in effect immediately prior to the effective date of the Change in Control), except for required travel by CFO on the Companys business to an extent substantially consistent with CFO s business travel obligations prior to the effective date of the Change in Control; provided, that CFO may not resign for Good Reason without first providing the Company with written notice within ninety (90)days of the date of the initial existence of the condition that CFO believes constitutes Good Reason specifically identifying the acts or omissions constituting the grounds for Good Reason", "ner": [[21, 21, "Role"], [56, 58, "EffectiveDate"]], "tokenized_text": ["4", ".", "6", ".", "2", "Good", "Reason", "shall", "mean", "any", "of", "the", "following", "actions", ":", "(", "i", ")", "the", "assignment", "to", "CFO", "of", "any", "duties", "or", "responsibilities", "that", "results", "in", "a", "material", "diminution", "in", "CFO", "s", "function", "(", "for", "Section4", ".", "5", ".", "4", ",", "as", "in", "effect", "immediately", "prior", "to", "the", "effective", "date", "of", "the", "Change", "in", "Control", ")", ";", "provided", ",", "however", ",", "that", "a", "change", "in", "CFO", "s", "title", "or", "reporting", "relationships", "shall", "not", "provide", "the", "basis", "for", "a", "voluntary", "termination", "with", "Good", "Reason", ";", "(", "ii", ")", "a", "reduction", "by", "the", "Company", "in", "CFO", "s", "annual", "base", "salary", "as", "in", "effect", "immediately", "prior", "to", "the", "effective", "date", "of", "the", "Change", "in", "Control", ";", "provided", ",", "however", ",", "that", "Good", "Reason", "shall", "not", "be", "deemed", "to", "have", "occurred", "in", "the", "event", "of", "a", "reduction", "in", "CFO", "s", "annual", "base", "salary", "that", "is", "pursuant", "to", "a", "salary", "reduction", "program", "affecting", "substantially", "all", "of", "the", "employees", "of", "the", "Company", "and", "that", "does", "not", "adversely", "affect", "CFO", "to", "a", "greater", "extent", "than", "other", "similarly", "situated", "employees", ";", "or", "(", "iii", ")", "a", "relocation", "of", "CFO", "s", "primary", "business", "office", "to", "a", "location", "more", "than", "50", "miles", "from", "the", "location", "of", "CFO", "s", "primary", "business", "office", "and", "which", "increases", "the", "CFO", "s", "commute", "(", "for", "Section4", ".", "5", ".", "4", ",", "as", "in", "effect", "immediately", "prior", "to", "the", "effective", "date", "of", "the", "Change", "in", "Control", ")", ",", "except", "for", "required", "travel", "by", "CFO", "on", "the", "Companys", "business", "to", "an", "extent", "substantially", "consistent", "with", "CFO", "s", "business", "travel", "obligations", "prior", "to", "the", "effective", "date", "of", "the", "Change", "in", "Control", ";", "provided", ",", "that", "CFO", "may", "not", "resign", "for", "Good", "Reason", "without", "first", "providing", "the", "Company", "with", "written", "notice", "within", "ninety", "(", "90", ")", "days", "of", "the", "date", "of", "the", "initial", "existence", "of", "the", "condition", "that", "CFO", "believes", "constitutes", "Good", "Reason", "specifically", "identifying", "the", "acts", "or", "omissions", "constituting", "the", "grounds", "for", "Good", "Reason"]}
{"id": "11749", "text": "4.8 Parachute Payment. If any payment or benefit CFO would receive pursuant to this Agreement (Payment) would (i)constitute a Parachute Payment within the meaning of Section280G of the Internal Revenue Code of 1986, as amended (the Code), and (ii)but for this sentence, be subject to the excise tax imposed by Section4999 of the Code (the Excise Tax), then such Payment shall be equal to the Reduced Amount. The Reduced Amount shall be either (x)the largest portion of the Payment that would result in no portion of the Payment being subject to the Excise Tax or (y)the largest portion, up to and including the total of the Payment, whichever amount, after taking into account all applicable federal, state and local employment taxes, income taxes, and the Excise Tax (all computed at the highest applicable marginal rate), results in CFO s receipt, on an after-tax basis, of the greatest economic benefit notwithstanding that all or some portion of the Payment may be subject to the Excise Tax. If a reduction in payments or benefits constituting Parachute Payments is necessary so that the Payment equals the Reduced Amount, reduction shall occur in the manner that results in the greatest economic benefit for CFO . If more than one method of reduction will result in the same economic benefit, the items so reduced will be reduced pro rata.", "ner": [[11, 11, "Role"], [33, 33, "Regulation"], [36, 40, "Act"]], "tokenized_text": ["4", ".", "8", "Parachute", "Payment", ".", "If", "any", "payment", "or", "benefit", "CFO", "would", "receive", "pursuant", "to", "this", "Agreement", "(", "Payment", ")", "would", "(", "i", ")", "constitute", "a", "Parachute", "Payment", "within", "the", "meaning", "of", "Section280G", "of", "the", "Internal", "Revenue", "Code", "of", "1986", ",", "as", "amended", "(", "the", "Code", ")", ",", "and", "(", "ii", ")", "but", "for", "this", "sentence", ",", "be", "subject", "to", "the", "excise", "tax", "imposed", "by", "Section4999", "of", "the", "Code", "(", "the", "Excise", "Tax", ")", ",", "then", "such", "Payment", "shall", "be", "equal", "to", "the", "Reduced", "Amount", ".", "The", "Reduced", "Amount", "shall", "be", "either", "(", "x", ")", "the", "largest", "portion", "of", "the", "Payment", "that", "would", "result", "in", "no", "portion", "of", "the", "Payment", "being", "subject", "to", "the", "Excise", "Tax", "or", "(", "y", ")", "the", "largest", "portion", ",", "up", "to", "and", "including", "the", "total", "of", "the", "Payment", ",", "whichever", "amount", ",", "after", "taking", "into", "account", "all", "applicable", "federal", ",", "state", "and", "local", "employment", "taxes", ",", "income", "taxes", ",", "and", "the", "Excise", "Tax", "(", "all", "computed", "at", "the", "highest", "applicable", "marginal", "rate", ")", ",", "results", "in", "CFO", "s", "receipt", ",", "on", "an", "after-tax", "basis", ",", "of", "the", "greatest", "economic", "benefit", "notwithstanding", "that", "all", "or", "some", "portion", "of", "the", "Payment", "may", "be", "subject", "to", "the", "Excise", "Tax", ".", "If", "a", "reduction", "in", "payments", "or", "benefits", "constituting", "Parachute", "Payments", "is", "necessary", "so", "that", "the", "Payment", "equals", "the", "Reduced", "Amount", ",", "reduction", "shall", "occur", "in", "the", "manner", "that", "results", "in", "the", "greatest", "economic", "benefit", "for", "CFO", ".", "If", "more", "than", "one", "method", "of", "reduction", "will", "result", "in", "the", "same", "economic", "benefit", ",", "the", "items", "so", "reduced", "will", "be", "reduced", "pro", "rata", "."]}
{"id": "11750", "text": "In the event it is subsequently determined by the Internal Revenue Service that some portion of the Reduced Amount (as determined pursuant to clause (x)in the preceding paragraph) is subject to the Excise Tax, CFO agrees to promptly return to the Company a sufficient amount of the Payment so that no portion of the Reduced Amount is subject to the Excise Tax. For the avoidance of doubt, if the Reduced Amount is determined in accordance with clause (y)in the preceding paragraph, CFO will have no obligation to return any portion of the Payment pursuant to the preceding sentence.", "ner": [[40, 40, "Role"]], "tokenized_text": ["In", "the", "event", "it", "is", "subsequently", "determined", "by", "the", "Internal", "Revenue", "Service", "that", "some", "portion", "of", "the", "Reduced", "Amount", "(", "as", "determined", "pursuant", "to", "clause", "(", "x", ")", "in", "the", "preceding", "paragraph", ")", "is", "subject", "to", "the", "Excise", "Tax", ",", "CFO", "agrees", "to", "promptly", "return", "to", "the", "Company", "a", "sufficient", "amount", "of", "the", "Payment", "so", "that", "no", "portion", "of", "the", "Reduced", "Amount", "is", "subject", "to", "the", "Excise", "Tax", ".", "For", "the", "avoidance", "of", "doubt", ",", "if", "the", "Reduced", "Amount", "is", "determined", "in", "accordance", "with", "clause", "(", "y", ")", "in", "the", "preceding", "paragraph", ",", "CFO", "will", "have", "no", "obligation", "to", "return", "any", "portion", "of", "the", "Payment", "pursuant", "to", "the", "preceding", "sentence", "."]}
{"id": "11752", "text": "The Company shall use commercially reasonable efforts such that the accounting, law or consulting firm engaged to make the determinations hereunder shall provide its calculations, together with detailed supporting documentation, to CFO and the Company within 15 calendar days after the date on which CFO s right to a Payment is triggered (if requested at that time by CFO or the Company) or such other time as requested by CFO or the Company.", "ner": [[34, 34, "Role"]], "tokenized_text": ["The", "Company", "shall", "use", "commercially", "reasonable", "efforts", "such", "that", "the", "accounting", ",", "law", "or", "consulting", "firm", "engaged", "to", "make", "the", "determinations", "hereunder", "shall", "provide", "its", "calculations", ",", "together", "with", "detailed", "supporting", "documentation", ",", "to", "CFO", "and", "the", "Company", "within", "15", "calendar", "days", "after", "the", "date", "on", "which", "CFO", "s", "right", "to", "a", "Payment", "is", "triggered", "(", "if", "requested", "at", "that", "time", "by", "CFO", "or", "the", "Company", ")", "or", "such", "other", "time", "as", "requested", "by", "CFO", "or", "the", "Company", "."]}
{"id": "11755", "text": "Notwithstanding anything to the contrary set forth herein, CFO shall receive the Severance Benefits described above, if and only if CFO duly executes and returns to the Company within the applicable time period set forth therein, but in no event more than forty-five days following Separation From Service, the Release and permits the Release to become effective in accordance with its terms. Notwithstanding any other payment schedule set forth in this Agreement, none of the Severance Benefits will be paid or otherwise delivered prior to the effective date of the Release. Except to the extent that payments may be delayed until the Specified Employee Initial Payment Date pursuant to the preceding paragraph, on the first regular payroll pay day following the effective date of the Release, the Company will pay CFO the Severance Benefits CFO would otherwise have received under the Agreement on or prior to such date but for the delay in payment related to the effectiveness of the Release, with the balance of the Severance Benefits being paid as originally scheduled. All amounts payable under the Agreement will be subject to standard payroll taxes and deductions.", "ner": [[9, 9, "Role"], [76, 76, "Title"]], "tokenized_text": ["Notwithstanding", "anything", "to", "the", "contrary", "set", "forth", "herein", ",", "CFO", "shall", "receive", "the", "Severance", "Benefits", "described", "above", ",", "if", "and", "only", "if", "CFO", "duly", "executes", "and", "returns", "to", "the", "Company", "within", "the", "applicable", "time", "period", "set", "forth", "therein", ",", "but", "in", "no", "event", "more", "than", "forty-five", "days", "following", "Separation", "From", "Service", ",", "the", "Release", "and", "permits", "the", "Release", "to", "become", "effective", "in", "accordance", "with", "its", "terms", ".", "Notwithstanding", "any", "other", "payment", "schedule", "set", "forth", "in", "this", "Agreement", ",", "none", "of", "the", "Severance", "Benefits", "will", "be", "paid", "or", "otherwise", "delivered", "prior", "to", "the", "effective", "date", "of", "the", "Release", ".", "Except", "to", "the", "extent", "that", "payments", "may", "be", "delayed", "until", "the", "Specified", "Employee", "Initial", "Payment", "Date", "pursuant", "to", "the", "preceding", "paragraph", ",", "on", "the", "first", "regular", "payroll", "pay", "day", "following", "the", "effective", "date", "of", "the", "Release", ",", "the", "Company", "will", "pay", "CFO", "the", "Severance", "Benefits", "CFO", "would", "otherwise", "have", "received", "under", "the", "Agreement", "on", "or", "prior", "to", "such", "date", "but", "for", "the", "delay", "in", "payment", "related", "to", "the", "effectiveness", "of", "the", "Release", ",", "with", "the", "balance", "of", "the", "Severance", "Benefits", "being", "paid", "as", "originally", "scheduled", ".", "All", "amounts", "payable", "under", "the", "Agreement", "will", "be", "subject", "to", "standard", "payroll", "taxes", "and", "deductions", "."]}
{"id": "11757", "text": "This Agreement shall be binding upon and inure to the benefit of CFO and CFO s heirs, executors, personal representatives, assigns, administrators and legal representatives. Because of the unique and personal nature of CFO s duties under this Agreement, neither this Agreement nor any rights or obligations under this Agreement shall be assignable by CFO . This Agreement shall be binding upon and inure to the benefit of the Company and its successors, assigns and legal representatives. Any such successor of the Company will be deemed substituted for the Company under the terms of this Agreement for all purposes. For this purpose, successor means any person, firm, corporation or other business entity which at any time, whether by purchase, merger or otherwise, directly or indirectly acquires all or substantially all of the assets or business of the Company.", "ner": [[0, 1, "Title"], [12, 12, "Role"]], "tokenized_text": ["This", "Agreement", "shall", "be", "binding", "upon", "and", "inure", "to", "the", "benefit", "of", "CFO", "and", "CFO", "s", "heirs", ",", "executors", ",", "personal", "representatives", ",", "assigns", ",", "administrators", "and", "legal", "representatives", ".", "Because", "of", "the", "unique", "and", "personal", "nature", "of", "CFO", "s", "duties", "under", "this", "Agreement", ",", "neither", "this", "Agreement", "nor", "any", "rights", "or", "obligations", "under", "this", "Agreement", "shall", "be", "assignable", "by", "CFO", ".", "This", "Agreement", "shall", "be", "binding", "upon", "and", "inure", "to", "the", "benefit", "of", "the", "Company", "and", "its", "successors", ",", "assigns", "and", "legal", "representatives", ".", "Any", "such", "successor", "of", "the", "Company", "will", "be", "deemed", "substituted", "for", "the", "Company", "under", "the", "terms", "of", "this", "Agreement", "for", "all", "purposes", ".", "For", "this", "purpose", ",", "successor", "means", "any", "person", ",", "firm", ",", "corporation", "or", "other", "business", "entity", "which", "at", "any", "time", ",", "whether", "by", "purchase", ",", "merger", "or", "otherwise", ",", "directly", "or", "indirectly", "acquires", "all", "or", "substantially", "all", "of", "the", "assets", "or", "business", "of", "the", "Company", "."]}
{"id": "11758", "text": "All notices or demands of any kind required or permitted to be given by the Company or CFO under this Agreement shall be given in writing and shall be personally delivered (and receipted for) or faxed during normal business hours or mailed by certified mail, return receipt requested, postage prepaid, addressed as follows:", "ner": [[17, 17, "Role"]], "tokenized_text": ["All", "notices", "or", "demands", "of", "any", "kind", "required", "or", "permitted", "to", "be", "given", "by", "the", "Company", "or", "CFO", "under", "this", "Agreement", "shall", "be", "given", "in", "writing", "and", "shall", "be", "personally", "delivered", "(", "and", "receipted", "for", ")", "or", "faxed", "during", "normal", "business", "hours", "or", "mailed", "by", "certified", "mail", ",", "return", "receipt", "requested", ",", "postage", "prepaid", ",", "addressed", "as", "follows", ":"]}
{"id": "11759", "text": "10421 Pacific Center Court, Suite 200", "ner": [[0, 6, "Address"]], "tokenized_text": ["10421", "Pacific", "Center", "Court", ",", "Suite", "200"]}
{"id": "11761", "text": "If to CFO :", "ner": [[2, 2, "Role"]], "tokenized_text": ["If", "to", "CFO", ":"]}
{"id": "11763", "text": "This Agreement, including Exhibit A and the PIIA, contains the complete, final and exclusive agreement of the Parties relating to the terms and conditions of CFO s employment and the termination of CFO s employment, and supersedes any and all prior and/or contemporaneous oral and written employment agreements or arrangements between the Parties.", "ner": [[28, 28, "Role"]], "tokenized_text": ["This", "Agreement", ",", "including", "Exhibit", "A", "and", "the", "PIIA", ",", "contains", "the", "complete", ",", "final", "and", "exclusive", "agreement", "of", "the", "Parties", "relating", "to", "the", "terms", "and", "conditions", "of", "CFO", "s", "employment", "and", "the", "termination", "of", "CFO", "s", "employment", ",", "and", "supersedes", "any", "and", "all", "prior", "and", "/", "or", "contemporaneous", "oral", "and", "written", "employment", "agreements", "or", "arrangements", "between", "the", "Parties", "."]}
{"id": "11764", "text": "This Agreement cannot be amended or modified except by a written agreement signed by CFO and the Company.", "ner": [[14, 14, "Role"]], "tokenized_text": ["This", "Agreement", "cannot", "be", "amended", "or", "modified", "except", "by", "a", "written", "agreement", "signed", "by", "CFO", "and", "the", "Company", "."]}
{"id": "11765", "text": "The headings set forth in this Agreement are for convenience of reference only and shall not be used in interpreting this Agreement. This Agreement has been drafted by legal counsel representing the Company, but CFO has been encouraged to consult with, and has consulted with, CFO s own independent counsel and tax advisors with respect to the terms of this Agreement. The Parties acknowledge that each Party and its counsel has reviewed and revised, or had an opportunity to review and revise, this Agreement, and any rule of construction to the effect that any ambiguities are to be resolved against the drafting party shall not be employed in the interpretation of this Agreement.", "ner": [[36, 36, "Role"]], "tokenized_text": ["The", "headings", "set", "forth", "in", "this", "Agreement", "are", "for", "convenience", "of", "reference", "only", "and", "shall", "not", "be", "used", "in", "interpreting", "this", "Agreement", ".", "This", "Agreement", "has", "been", "drafted", "by", "legal", "counsel", "representing", "the", "Company", ",", "but", "CFO", "has", "been", "encouraged", "to", "consult", "with", ",", "and", "has", "consulted", "with", ",", "CFO", "s", "own", "independent", "counsel", "and", "tax", "advisors", "with", "respect", "to", "the", "terms", "of", "this", "Agreement", ".", "The", "Parties", "acknowledge", "that", "each", "Party", "and", "its", "counsel", "has", "reviewed", "and", "revised", ",", "or", "had", "an", "opportunity", "to", "review", "and", "revise", ",", "this", "Agreement", ",", "and", "any", "rule", "of", "construction", "to", "the", "effect", "that", "any", "ambiguities", "are", "to", "be", "resolved", "against", "the", "drafting", "party", "shall", "not", "be", "employed", "in", "the", "interpretation", "of", "this", "Agreement", "."]}
{"id": "11767", "text": "To ensure the rapid and economical resolution of disputes that may arise in connection with CFO s employment with the Company, CFO and the Company agree that any and all disputes, claims, or causes of action, in law or equity, arising from or relating to CFO s employment, or the termination of that employment, will be resolved, to the fullest extent permitted by law, by final, binding and confidential arbitration pursuant to both the substantive and procedural provisions of the Federal Arbitration Act in San Diego, California conducted by the Judicial Arbitration and Mediation Services/Endispute, Inc. (JAMS), or its successors, under the then current rules of JAMS for employment disputes; provided that the arbitrator shall: (a)have the authority to compel adequate discovery for the resolution of the dispute and to award such relief as would otherwise be permitted by law; and (b)issue a written arbitration decision including the arbitrators essential findings and conclusions and a statement of the award. Accordingly, CFO and the Company hereby waive any right to a jury trial. Both CFO and the Company shall be entitled to all rights and remedies that either CFO or the Company would be entitled to pursue in a court of law. The Company shall pay any JAMS filing fee and shall pay the arbitrators fee. Nothing in this Agreement is intended to prevent either CFO or the Company from obtaining injunctive relief in court to prevent irreparable harm pending the conclusion of any such arbitration. Notwithstanding the foregoing, CFO and the Company each have the right to resolve any issue or dispute involving confidential, proprietary or trade secret information, or intellectual property rights, by Court action instead of arbitration.", "ner": [[15, 15, "Role"], [90, 92, "Act"], [94, 97, "Address"]], "tokenized_text": ["To", "ensure", "the", "rapid", "and", "economical", "resolution", "of", "disputes", "that", "may", "arise", "in", "connection", "with", "CFO", "s", "employment", "with", "the", "Company", ",", "CFO", "and", "the", "Company", "agree", "that", "any", "and", "all", "disputes", ",", "claims", ",", "or", "causes", "of", "action", ",", "in", "law", "or", "equity", ",", "arising", "from", "or", "relating", "to", "CFO", "s", "employment", ",", "or", "the", "termination", "of", "that", "employment", ",", "will", "be", "resolved", ",", "to", "the", "fullest", "extent", "permitted", "by", "law", ",", "by", "final", ",", "binding", "and", "confidential", "arbitration", "pursuant", "to", "both", "the", "substantive", "and", "procedural", "provisions", "of", "the", "Federal", "Arbitration", "Act", "in", "San", "Diego", ",", "California", "conducted", "by", "the", "Judicial", "Arbitration", "and", "Mediation", "Services", "/", "Endispute", ",", "Inc", ".", "(", "JAMS", ")", ",", "or", "its", "successors", ",", "under", "the", "then", "current", "rules", "of", "JAMS", "for", "employment", "disputes", ";", "provided", "that", "the", "arbitrator", "shall", ":", "(", "a", ")", "have", "the", "authority", "to", "compel", "adequate", "discovery", "for", "the", "resolution", "of", "the", "dispute", "and", "to", "award", "such", "relief", "as", "would", "otherwise", "be", "permitted", "by", "law", ";", "and", "(", "b", ")", "issue", "a", "written", "arbitration", "decision", "including", "the", "arbitrators", "essential", "findings", "and", "conclusions", "and", "a", "statement", "of", "the", "award", ".", "Accordingly", ",", "CFO", "and", "the", "Company", "hereby", "waive", "any", "right", "to", "a", "jury", "trial", ".", "Both", "CFO", "and", "the", "Company", "shall", "be", "entitled", "to", "all", "rights", "and", "remedies", "that", "either", "CFO", "or", "the", "Company", "would", "be", "entitled", "to", "pursue", "in", "a", "court", "of", "law", ".", "The", "Company", "shall", "pay", "any", "JAMS", "filing", "fee", "and", "shall", "pay", "the", "arbitrators", "fee", ".", "Nothing", "in", "this", "Agreement", "is", "intended", "to", "prevent", "either", "CFO", "or", "the", "Company", "from", "obtaining", "injunctive", "relief", "in", "court", "to", "prevent", "irreparable", "harm", "pending", "the", "conclusion", "of", "any", "such", "arbitration", ".", "Notwithstanding", "the", "foregoing", ",", "CFO", "and", "the", "Company", "each", "have", "the", "right", "to", "resolve", "any", "issue", "or", "dispute", "involving", "confidential", ",", "proprietary", "or", "trade", "secret", "information", ",", "or", "intellectual", "property", "rights", ",", "by", "Court", "action", "instead", "of", "arbitration", "."]}
{"id": "11768", "text": "It is the understanding of both the Company and CFO that CFO shall not divulge to the Company and/or its subsidiaries any confidential information or trade secrets belonging to others, including CFO s former employers, nor shall the Company and/or its Affiliates seek to elicit from CFO any such information. Consistent with the foregoing, CFO shall not provide to the Company and/or its Affiliates, and the Company and/or its Affiliates shall not request, any documents or copies of documents containing such information.", "ner": [[9, 9, "Role"]], "tokenized_text": ["It", "is", "the", "understanding", "of", "both", "the", "Company", "and", "CFO", "that", "CFO", "shall", "not", "divulge", "to", "the", "Company", "and", "/", "or", "its", "subsidiaries", "any", "confidential", "information", "or", "trade", "secrets", "belonging", "to", "others", ",", "including", "CFO", "s", "former", "employers", ",", "nor", "shall", "the", "Company", "and", "/", "or", "its", "Affiliates", "seek", "to", "elicit", "from", "CFO", "any", "such", "information", ".", "Consistent", "with", "the", "foregoing", ",", "CFO", "shall", "not", "provide", "to", "the", "Company", "and", "/", "or", "its", "Affiliates", ",", "and", "the", "Company", "and", "/", "or", "its", "Affiliates", "shall", "not", "request", ",", "any", "documents", "or", "copies", "of", "documents", "containing", "such", "information", "."]}
{"id": "11770", "text": "| | ---|---|--- ANAPTYSBIO, INC. | By: | |", "ner": [[13, 16, "Parties"]], "tokenized_text": ["|", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "ANAPTYSBIO", ",", "INC", ".", "|", "By", ":", "|", "|"]}
{"id": "11771", "text": "/s/ Hamza Suria Its: | | President& CFO Dated: | | January8, 2017 CFO : /s/ Dominic Piscitelli DOMINIC PISCITELLI Dated: 1/8/17", "ner": [[3, 4, "Parties"], [9, 9, "Role"], [13, 13, "Role"], [26, 27, "Parties"], [32, 36, "Ratio"]], "tokenized_text": ["/", "s", "/", "Hamza", "Suria", "Its", ":", "|", "|", "President", "&", "amp", ";", "CFO", "Dated", ":", "|", "|", "January8", ",", "2017", "CFO", ":", "/", "s", "/", "Dominic", "Piscitelli", "DOMINIC", "PISCITELLI", "Dated", ":", "1", "/", "8", "/", "17"]}
{"id": "11772", "text": "[SIGNATURE PAGE TO EMPLOYMENT AGREEMENT ]", "ner": [[4, 5, "Title"]], "tokenized_text": ["[", "SIGNATURE", "PAGE", "TO", "EMPLOYMENT", "AGREEMENT", "]"]}
{"id": "11773", "text": "In consideration of the payments and other benefits set forth in the Employment Agreement effective , 201, to which this form is attached, I, Dominic Piscitelli , hereby furnish ANAPTYSBIO, INC. (the Company), with the following release and waiver (Release and Waiver).", "ner": [[12, 13, "Title"], [27, 28, "Parties"], [32, 35, "Parties"]], "tokenized_text": ["In", "consideration", "of", "the", "payments", "and", "other", "benefits", "set", "forth", "in", "the", "Employment", "Agreement", "effective", ",", "201", ",", "to", "which", "this", "form", "is", "attached", ",", "I", ",", "Dominic", "Piscitelli", ",", "hereby", "furnish", "ANAPTYSBIO", ",", "INC", ".", "(", "the", "Company", ")", ",", "with", "the", "following", "release", "and", "waiver", "(", "Release", "and", "Waiver", ")", "."]}
{"id": "11775", "text": "I acknowledge that, among other rights, I am waiving and releasing any rights I may have under ADEA , that this Release and Waiver is knowing and voluntary, and that the consideration given for this Release and Waiver is in addition to anything of value to which I was already entitled as an executive of the Company. I further acknowledge that I have been advised, as required by the Older Workers Benefit Protection Act , that: (a)the release and waiver granted herein does not relate to claims under the ADEA which may arise after this Release and Waiver is executed; (b)I should consult with an attorney prior to executing this Release and Waiver; and (c)if I am age 40 or older at the time of execution of this release, I have 21 days from the date of termination of my employment with the Company in which to consider this Release and Waiver (although I may choose voluntarily to execute this Release and Waiver earlier); and (d)if I am age 40 or older at the time of execution of this release, I have seven days following the execution of this Release and Waiver to revoke my consent to this Release and Waiver and this Release and Waiver shall not be effective until the seven day revocation period has expired without my having previously revoked this Release and Waiver.", "ner": [[74, 78, "Act"]], "tokenized_text": ["I", "acknowledge", "that", ",", "among", "other", "rights", ",", "I", "am", "waiving", "and", "releasing", "any", "rights", "I", "may", "have", "under", "ADEA", ",", "that", "this", "Release", "and", "Waiver", "is", "knowing", "and", "voluntary", ",", "and", "that", "the", "consideration", "given", "for", "this", "Release", "and", "Waiver", "is", "in", "addition", "to", "anything", "of", "value", "to", "which", "I", "was", "already", "entitled", "as", "an", "executive", "of", "the", "Company", ".", "I", "further", "acknowledge", "that", "I", "have", "been", "advised", ",", "as", "required", "by", "the", "Older", "Workers", "Benefit", "Protection", "Act", ",", "that", ":", "(", "a", ")", "the", "release", "and", "waiver", "granted", "herein", "does", "not", "relate", "to", "claims", "under", "the", "ADEA", "which", "may", "arise", "after", "this", "Release", "and", "Waiver", "is", "executed", ";", "(", "b", ")", "I", "should", "consult", "with", "an", "attorney", "prior", "to", "executing", "this", "Release", "and", "Waiver", ";", "and", "(", "c", ")", "if", "I", "am", "age", "40", "or", "older", "at", "the", "time", "of", "execution", "of", "this", "release", ",", "I", "have", "21", "days", "from", "the", "date", "of", "termination", "of", "my", "employment", "with", "the", "Company", "in", "which", "to", "consider", "this", "Release", "and", "Waiver", "(", "although", "I", "may", "choose", "voluntarily", "to", "execute", "this", "Release", "and", "Waiver", "earlier", ")", ";", "and", "(", "d", ")", "if", "I", "am", "age", "40", "or", "older", "at", "the", "time", "of", "execution", "of", "this", "release", ",", "I", "have", "seven", "days", "following", "the", "execution", "of", "this", "Release", "and", "Waiver", "to", "revoke", "my", "consent", "to", "this", "Release", "and", "Waiver", "and", "this", "Release", "and", "Waiver", "shall", "not", "be", "effective", "until", "the", "seven", "day", "revocation", "period", "has", "expired", "without", "my", "having", "previously", "revoked", "this", "Release", "and", "Waiver", "."]}
{"id": "11777", "text": "THIS EMPLOYMENT AGREEMENT (Agreement), effective as of the day of , 2017 (Effective Date), by and among Riverview Financial Corporation (the Corporation), with offices at 3901 N. Front Street, Harrisburg, PA 17110 , Riverview Bank (the Bank), with offices at 200 Front Street, PO Box B, Marysville, Pennsylvania, 17053 , and Michael J. Bibak , a Pennsylvania resident (hereinafter referred to as Executive).", "ner": [[1, 2, "Title"], [23, 25, "Parties"], [34, 42, "Address"], [45, 46, "Parties"], [70, 73, "Parties"]], "tokenized_text": ["THIS", "EMPLOYMENT", "AGREEMENT", "(", "Agreement", ")", ",", "effective", "as", "of", "the", "day", "of", ",", "2017", "(", "Effective", "Date", ")", ",", "by", "and", "among", "Riverview", "Financial", "Corporation", "(", "the", "Corporation", ")", ",", "with", "offices", "at", "3901", "N", ".", "Front", "Street", ",", "Harrisburg", ",", "PA", "17110", ",", "Riverview", "Bank", "(", "the", "Bank", ")", ",", "with", "offices", "at", "200", "Front", "Street", ",", "PO", "Box", "B", ",", "Marysville", ",", "Pennsylvania", ",", "17053", ",", "and", "Michael", "J", ".", "Bibak", ",", "a", "Pennsylvania", "resident", "(", "hereinafter", "referred", "to", "as", "Executive", ")", "."]}
{"id": "11778", "text": "The Corporation and the Bank, which is a wholly owned subsidiary of the Corporation, desire to employ Executive, and Executive desires to be employed by the Corporation and the Bank, as the Chief Operating Officer of the Corporation and the Bank. The parties wish to enter into this employment agreement to memorialize the terms and conditions of Executives employment as Chief Operating Officer .", "ner": [[36, 38, "Role"], [53, 54, "Title"], [65, 67, "Role"]], "tokenized_text": ["The", "Corporation", "and", "the", "Bank", ",", "which", "is", "a", "wholly", "owned", "subsidiary", "of", "the", "Corporation", ",", "desire", "to", "employ", "Executive", ",", "and", "Executive", "desires", "to", "be", "employed", "by", "the", "Corporation", "and", "the", "Bank", ",", "as", "the", "Chief", "Operating", "Officer", "of", "the", "Corporation", "and", "the", "Bank", ".", "The", "parties", "wish", "to", "enter", "into", "this", "employment", "agreement", "to", "memorialize", "the", "terms", "and", "conditions", "of", "Executives", "employment", "as", "Chief", "Operating", "Officer", "."]}
{"id": "11780", "text": "| 2.1. | Annual Base Salary. The Bank will compensate the Executive for the Executives services during the Term at a minimum annual base salary of $300,000 per year, effective through December31, 2018 (the Annual Base Salary), payable at the same times as salaries are payable to other executive employees. After December31, 2018 , the Bank may, from time to time, increase, and may not decrease, the Executives Annual Base Salary, and any and all such changes shall be deemed to constitute amendments to this Section to reflect the revised amount. ---|---|---", "ner": [[30, 33, "Salary"], [39, 41, "EffectiveDate"]], "tokenized_text": ["|", "2", ".", "1", ".", "|", "Annual", "Base", "Salary", ".", "The", "Bank", "will", "compensate", "the", "Executive", "for", "the", "Executives", "services", "during", "the", "Term", "at", "a", "minimum", "annual", "base", "salary", "of", "$", "300", ",", "000", "per", "year", ",", "effective", "through", "December31", ",", "2018", "(", "the", "Annual", "Base", "Salary", ")", ",", "payable", "at", "the", "same", "times", "as", "salaries", "are", "payable", "to", "other", "executive", "employees", ".", "After", "December31", ",", "2018", ",", "the", "Bank", "may", ",", "from", "time", "to", "time", ",", "increase", ",", "and", "may", "not", "decrease", ",", "the", "Executives", "Annual", "Base", "Salary", ",", "and", "any", "and", "all", "such", "changes", "shall", "be", "deemed", "to", "constitute", "amendments", "to", "this", "Section", "to", "reflect", "the", "revised", "amount", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "11781", "text": "| effective January1, 2016 . Executive specifically agrees to waive any and all right to severance pay, life insurance coverage, and medical and dental insurance as described in Section5(b) of Executives Employment Agreement with Clearfield Bank and Trust Company. Upon Executives execution of this Agreement, this Change in Control Benefits Waiver is irrevocable and may not be amended or otherwise modified without the prior written consent of the Corporation, the Bank, and the Executive. ---|---", "ner": [[2, 4, "EffectiveDate"], [36, 38, "Title"], [40, 44, "Parties"]], "tokenized_text": ["|", "effective", "January1", ",", "2016", ".", "Executive", "specifically", "agrees", "to", "waive", "any", "and", "all", "right", "to", "severance", "pay", ",", "life", "insurance", "coverage", ",", "and", "medical", "and", "dental", "insurance", "as", "described", "in", "Section5", "(", "b", ")", "of", "Executives", "Employment", "Agreement", "with", "Clearfield", "Bank", "and", "Trust", "Company", ".", "Upon", "Executives", "execution", "of", "this", "Agreement", ",", "this", "Change", "in", "Control", "Benefits", "Waiver", "is", "irrevocable", "and", "may", "not", "be", "amended", "or", "otherwise", "modified", "without", "the", "prior", "written", "consent", "of", "the", "Corporation", ",", "the", "Bank", ",", "and", "the", "Executive", ".", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "11782", "text": "| a. | be engaged, directly or indirectly, either for Executives own account or as agent, consultant, employee, partner, officer, director, proprietor, investor (except as an investor owning less than 5% of the stock of a publicly owned company) or otherwise of any person, firm, corporation or enterprise engaged in (1)the banking (including bank holding company) or financial services industry, or (2)any other activity in which the Corporation or the Bank or any of their subsidiaries are engaged during the Term in any county in which, at any time during the Term or as of the date of the Executives termination, a branch, office or other facility of the Corporation or the Bank is located, and any county contiguous thereto (Non- Competition Area); ---|---|---", "ner": [[41, 42, "Percentage"]], "tokenized_text": ["|", "a", ".", "|", "be", "engaged", ",", "directly", "or", "indirectly", ",", "either", "for", "Executives", "own", "account", "or", "as", "agent", ",", "consultant", ",", "employee", ",", "partner", ",", "officer", ",", "director", ",", "proprietor", ",", "investor", "(", "except", "as", "an", "investor", "owning", "less", "than", "5", "%", "of", "the", "stock", "of", "a", "publicly", "owned", "company", ")", "or", "otherwise", "of", "any", "person", ",", "firm", ",", "corporation", "or", "enterprise", "engaged", "in", "(", "1", ")", "the", "banking", "(", "including", "bank", "holding", "company", ")", "or", "financial", "services", "industry", ",", "or", "(", "2", ")", "any", "other", "activity", "in", "which", "the", "Corporation", "or", "the", "Bank", "or", "any", "of", "their", "subsidiaries", "are", "engaged", "during", "the", "Term", "in", "any", "county", "in", "which", ",", "at", "any", "time", "during", "the", "Term", "or", "as", "of", "the", "date", "of", "the", "Executives", "termination", ",", "a", "branch", ",", "office", "or", "other", "facility", "of", "the", "Corporation", "or", "the", "Bank", "is", "located", ",", "and", "any", "county", "contiguous", "thereto", "(", "Non", "-", "Competition", "Area", ")", ";", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "11785", "text": "| a. | Equitable Relief. The Executive acknowledges and agrees that in the event that the Executive breaches any of the covenants in Section3, the Bank and the Corporation will suffer immediate and irreparable harm and injury for which the Bank and the Corporation will have no adequate remedy at law. Accordingly, in the event that the Executive breaches any of the covenants in Section3, the Bank and the Corporation shall be absolutely entitled to obtain equitable relief, including without limitation temporary restraining orders, preliminary injunctions, permanent injunctions, and specific performance without the posting of a bond. The foregoing remedies and relief shall be cumulative and in addition to any other remedies available to the Bank and the Corporation under Pennsylvania law and the federal Defend Trade Secrets Act. ---|---|--- < br/>", "ner": [[136, 139, "Act"]], "tokenized_text": ["|", "a", ".", "|", "Equitable", "Relief", ".", "The", "Executive", "acknowledges", "and", "agrees", "that", "in", "the", "event", "that", "the", "Executive", "breaches", "any", "of", "the", "covenants", "in", "Section3", ",", "the", "Bank", "and", "the", "Corporation", "will", "suffer", "immediate", "and", "irreparable", "harm", "and", "injury", "for", "which", "the", "Bank", "and", "the", "Corporation", "will", "have", "no", "adequate", "remedy", "at", "law", ".", "Accordingly", ",", "in", "the", "event", "that", "the", "Executive", "breaches", "any", "of", "the", "covenants", "in", "Section3", ",", "the", "Bank", "and", "the", "Corporation", "shall", "be", "absolutely", "entitled", "to", "obtain", "equitable", "relief", ",", "including", "without", "limitation", "temporary", "restraining", "orders", ",", "preliminary", "injunctions", ",", "permanent", "injunctions", ",", "and", "specific", "performance", "without", "the", "posting", "of", "a", "bond", ".", "The", "foregoing", "remedies", "and", "relief", "shall", "be", "cumulative", "and", "in", "addition", "to", "any", "other", "remedies", "available", "to", "the", "Bank", "and", "the", "Corporation", "under", "Pennsylvania", "law", "and", "the", "federal", "Defend", "Trade", "Secrets", "Act", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "11787", "text": "| a. | any person (as such term is used in Sections 13(d) and 14(d)(2) of the Securities and Exchange Act of 1934 (the Exchange Act )) other than a subsidiary of Riverview or an employee benefit plan of Riverview or a subsidiary of the Bank (including a related trust), becomes the beneficial owner (as determined pursuant to Rule 13d-3 under the Exchange Act , whether or not such rule then applies to Riverview), directly or indirectly of securities of Riverview or the Bank representing more than 25% of the combined voting power of Riverviews or the Banks then outstanding securities; ---|---|---", "ner": [[28, 33, "Act"], [75, 76, "Regulation"], [106, 107, "Percentage"]], "tokenized_text": ["|", "a", ".", "|", "any", "person", "(", "as", "such", "term", "is", "used", "in", "Sections", "13", "(", "d", ")", "and", "14", "(", "d", ")", "(", "2", ")", "of", "the", "Securities", "and", "Exchange", "Act", "of", "1934", "(", "the", "Exchange", "Act", ")", ")", "other", "than", "a", "subsidiary", "of", "Riverview", "or", "an", "employee", "benefit", "plan", "of", "Riverview", "or", "a", "subsidiary", "of", "the", "Bank", "(", "including", "a", "related", "trust", ")", ",", "becomes", "the", "beneficial", "owner", "(", "as", "determined", "pursuant", "to", "Rule", "13d-3", "under", "the", "Exchange", "Act", ",", "whether", "or", "not", "such", "rule", "then", "applies", "to", "Riverview", ")", ",", "directly", "or", "indirectly", "of", "securities", "of", "Riverview", "or", "the", "Bank", "representing", "more", "than", "25", "%", "of", "the", "combined", "voting", "power", "of", "Riverviews", "or", "the", "Banks", "then", "outstanding", "securities", ";", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "11788", "text": "| c. | the occurrence of, or execution of an agreement providing for, a reorganization, merger, consolidation or similar transaction involving Riverview or the Bank, unless (A)the shareholders of Riverview immediately prior to the consummation of any such transaction will initially own securities representing at least a majority of the voting power of the surviving or resulting corporation, and (B)the directors of Riverview immediately prior to the consummation of such transaction will initially represent at least fifty percent ( 50% ) of the directors of the surviving or resulting corporation; ---|---|---", "ner": [[92, 93, "Percentage"]], "tokenized_text": ["|", "c", ".", "|", "the", "occurrence", "of", ",", "or", "execution", "of", "an", "agreement", "providing", "for", ",", "a", "reorganization", ",", "merger", ",", "consolidation", "or", "similar", "transaction", "involving", "Riverview", "or", "the", "Bank", ",", "unless", "(", "A", ")", "the", "shareholders", "of", "Riverview", "immediately", "prior", "to", "the", "consummation", "of", "any", "such", "transaction", "will", "initially", "own", "securities", "representing", "at", "least", "a", "majority", "of", "the", "voting", "power", "of", "the", "surviving", "or", "resulting", "corporation", ",", "and", "(", "B", ")", "the", "directors", "of", "Riverview", "immediately", "prior", "to", "the", "consummation", "of", "such", "transaction", "will", "initially", "represent", "at", "least", "fifty", "percent", "(", "50", "%", ")", "of", "the", "directors", "of", "the", "surviving", "or", "resulting", "corporation", ";", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "11789", "text": "| 5.1. | If, when the Executives employment terminates, the Executive is a specified employee, as defined in Code Section409A(a)(2)(B)(i) , then despite any provision of this Agreement or other plan or agreement to the contrary, the Executive will not be entitled to the payments until the earliest of (a)the date that is at least six months after the Executives separation from service, as defined in Code Section409A, for reasons other than the Executives death, (b)the date of the Executives death, or (c)any earlier date that does not result in additional tax or interest to the Executive under Code Section409A. As promptly as possible after the end of the period during which payments are delayed under this provision, the entire amount of the delayed payments shall be paid to the Executive in a single lump sum with any remaining payments to commence in accordance with the terms of this Agreement or other applicable plan or agreement. ---|---|---", "ner": [[24, 25, "Regulation"]], "tokenized_text": ["|", "5", ".", "1", ".", "|", "If", ",", "when", "the", "Executives", "employment", "terminates", ",", "the", "Executive", "is", "a", "specified", "employee", ",", "as", "defined", "in", "Code", "Section409A", "(", "a", ")", "(", "2", ")", "(", "B", ")", "(", "i", ")", ",", "then", "despite", "any", "provision", "of", "this", "Agreement", "or", "other", "plan", "or", "agreement", "to", "the", "contrary", ",", "the", "Executive", "will", "not", "be", "entitled", "to", "the", "payments", "until", "the", "earliest", "of", "(", "a", ")", "the", "date", "that", "is", "at", "least", "six", "months", "after", "the", "Executives", "separation", "from", "service", ",", "as", "defined", "in", "Code", "Section409A", ",", "for", "reasons", "other", "than", "the", "Executives", "death", ",", "(", "b", ")", "the", "date", "of", "the", "Executives", "death", ",", "or", "(", "c", ")", "any", "earlier", "date", "that", "does", "not", "result", "in", "additional", "tax", "or", "interest", "to", "the", "Executive", "under", "Code", "Section409A", ".", "As", "promptly", "as", "possible", "after", "the", "end", "of", "the", "period", "during", "which", "payments", "are", "delayed", "under", "this", "provision", ",", "the", "entire", "amount", "of", "the", "delayed", "payments", "shall", "be", "paid", "to", "the", "Executive", "in", "a", "single", "lump", "sum", "with", "any", "remaining", "payments", "to", "commence", "in", "accordance", "with", "the", "terms", "of", "this", "Agreement", "or", "other", "applicable", "plan", "or", "agreement", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "11790", "text": "| 5.2. | Any payments made pursuant to this Agreement, to the extent of payments made from the date of termination through March 15th of the calendar year following such date, are intended to constitute separate payments for purposes of Treas. Reg. 1.409A-2(b)(2) and this payable pursuant to the short-term deferral rule set forth in Treas. Reg. 1.409A-1(b)(4) ; to the extent such payments are made following said March 15th, they are intended to constitute separate payments for purposes of Treas. Reg. 1.409A-2(b)(2) made upon an involuntary termination from service and payable pursuant to Treas. Reg. 1.409A-1(b)(9)(iii) , to the maximum extent permitted by said provision. ---|---|---", "ner": [[26, 27, "TerminationDate"], [45, 54, "Regulation"], [70, 79, "Regulation"], [130, 136, "Regulation"]], "tokenized_text": ["|", "5", ".", "2", ".", "|", "Any", "payments", "made", "pursuant", "to", "this", "Agreement", ",", "to", "the", "extent", "of", "payments", "made", "from", "the", "date", "of", "termination", "through", "March", "15th", "of", "the", "calendar", "year", "following", "such", "date", ",", "are", "intended", "to", "constitute", "separate", "payments", "for", "purposes", "of", "Treas", ".", "Reg", ".", "1", ".", "409A-2", "(", "b", ")", "(", "2", ")", "and", "this", "payable", "pursuant", "to", "the", "short-term", "deferral", "rule", "set", "forth", "in", "Treas", ".", "Reg", ".", "1", ".", "409A-1", "(", "b", ")", "(", "4", ")", ";", "to", "the", "extent", "such", "payments", "are", "made", "following", "said", "March", "15th", ",", "they", "are", "intended", "to", "constitute", "separate", "payments", "for", "purposes", "of", "Treas", ".", "Reg", ".", "1", ".", "409A-2", "(", "b", ")", "(", "2", ")", "made", "upon", "an", "involuntary", "termination", "from", "service", "and", "payable", "pursuant", "to", "Treas", ".", "Reg", ".", "1", ".", "409A-1", "(", "b", ")", "(", "9", ")", "(", "iii", ")", ",", "to", "the", "maximum", "extent", "permitted", "by", "said", "provision", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "11791", "text": "| 6.5. | Applicable Law. This Agreement shall be governed in all respects and be interpreted by and under the laws of the Commonwealth of Pennsylvania , except to the extent that such law may be preempted by applicable federal law, in which event this Agreement shall be governed and interpreted by and under federal law. ---|---|---", "ner": [[27, 29, "Court"]], "tokenized_text": ["|", "6", ".", "5", ".", "|", "Applicable", "Law", ".", "This", "Agreement", "shall", "be", "governed", "in", "all", "respects", "and", "be", "interpreted", "by", "and", "under", "the", "laws", "of", "the", "Commonwealth", "of", "Pennsylvania", ",", "except", "to", "the", "extent", "that", "such", "law", "may", "be", "preempted", "by", "applicable", "federal", "law", ",", "in", "which", "event", "this", "Agreement", "shall", "be", "governed", "and", "interpreted", "by", "and", "under", "federal", "law", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "11792", "text": "| validity, scope and enforcement of the restrictive covenants and non- disclosure provisions which are governed in Section3), are to be submitted for resolution, in the city where the Corporations primary office is located, to the American Arbitration Association (the Association) in accordance with the Associations National Rulesfor the Resolution of Employment Disputes or other applicable rulesthen in effect (Rules). The Bank or the Executive may initiate an arbitration proceeding at any time by giving notice to the other in accordance with the Rules. The Bank and the Executive may, as a matter of right, mutually agree on the appointment of a particular arbitrator from the Associations pool. The arbitrator shall not be bound by the rulesof evidence and procedure of the courts of the Commonwealth of Pennsylvania but shall be bound by the substantive law applicable to this Agreement. The decision of the arbitrator, absent fraud, duress, incompetence or gross and obvious error of fact, shall be final and binding upon the parties and shall be enforceable in courts of proper jurisdiction. Following written notice of a request for arbitration, the Bank and the Executive shall be entitled to an injunction restraining all further proceedings in any pending or subsequently filed litigation concerning this Agreement. ---|--- [Signature Page Follows]", "ner": [[140, 142, "Court"]], "tokenized_text": ["|", "validity", ",", "scope", "and", "enforcement", "of", "the", "restrictive", "covenants", "and", "non", "-", "disclosure", "provisions", "which", "are", "governed", "in", "Section3", ")", ",", "are", "to", "be", "submitted", "for", "resolution", ",", "in", "the", "city", "where", "the", "Corporations", "primary", "office", "is", "located", ",", "to", "the", "American", "Arbitration", "Association", "(", "the", "Association", ")", "in", "accordance", "with", "the", "Associations", "National", "Rulesfor", "the", "Resolution", "of", "Employment", "Disputes", "or", "other", "applicable", "rulesthen", "in", "effect", "(", "Rules", ")", ".", "The", "Bank", "or", "the", "Executive", "may", "initiate", "an", "arbitration", "proceeding", "at", "any", "time", "by", "giving", "notice", "to", "the", "other", "in", "accordance", "with", "the", "Rules", ".", "The", "Bank", "and", "the", "Executive", "may", ",", "as", "a", "matter", "of", "right", ",", "mutually", "agree", "on", "the", "appointment", "of", "a", "particular", "arbitrator", "from", "the", "Associations", "pool", ".", "The", "arbitrator", "shall", "not", "be", "bound", "by", "the", "rulesof", "evidence", "and", "procedure", "of", "the", "courts", "of", "the", "Commonwealth", "of", "Pennsylvania", "but", "shall", "be", "bound", "by", "the", "substantive", "law", "applicable", "to", "this", "Agreement", ".", "The", "decision", "of", "the", "arbitrator", ",", "absent", "fraud", ",", "duress", ",", "incompetence", "or", "gross", "and", "obvious", "error", "of", "fact", ",", "shall", "be", "final", "and", "binding", "upon", "the", "parties", "and", "shall", "be", "enforceable", "in", "courts", "of", "proper", "jurisdiction", ".", "Following", "written", "notice", "of", "a", "request", "for", "arbitration", ",", "the", "Bank", "and", "the", "Executive", "shall", "be", "entitled", "to", "an", "injunction", "restraining", "all", "further", "proceedings", "in", "any", "pending", "or", "subsequently", "filed", "litigation", "concerning", "this", "Agreement", ".", "-", "-", "-", "|", "-", "-", "-", "[", "Signature", "Page", "Follows", "]"]}
{"id": "11794", "text": "| | | | | | Riverview Bank | | |", "ner": [[6, 7, "Parties"]], "tokenized_text": ["|", "|", "|", "|", "|", "|", "Riverview", "Bank", "|", "|", "|"]}
{"id": "11795", "text": "This Employment Agreement (Agreement) is made and entered into as of October 18, 2017 (the Effective Date), by and between MidWestOne Financial Group, Inc. (the Company) and James M. Cantrell (Executive, and together with the Company, the Parties).", "ner": [[1, 2, "Title"], [13, 16, "EffectiveDate"], [26, 31, "Parties"], [37, 40, "Parties"]], "tokenized_text": ["This", "Employment", "Agreement", "(", "Agreement", ")", "is", "made", "and", "entered", "into", "as", "of", "October", "18", ",", "2017", "(", "the", "Effective", "Date", ")", ",", "by", "and", "between", "MidWestOne", "Financial", "Group", ",", "Inc", ".", "(", "the", "Company", ")", "and", "James", "M", ".", "Cantrell", "(", "Executive", ",", "and", "together", "with", "the", "Company", ",", "the", "Parties", ")", "."]}
{"id": "11798", "text": "the duties required by this Agreement at the Companys Iowa City, Iowa headquarters unless the nature of such duties requires otherwise. Notwithstanding the foregoing provisions of this Section 2, during the Employment Period, Executive may devote reasonable time to activities other than those required under this Agreement, including activities of a charitable, educational, religious or similar nature (including professional associations) to the extent such activities do not, in the reasonable judgment of the CEO, inhibit, prohibit, interfere with or conflict with Executives duties under this Agreement or conflict in any material way with the business of the Company or an Affiliate; provided, however, that Executive shall not serve on the board of directors of any business (other than the Company or an Affiliate) or hold any other position with any business without receiving the prior written consent of the CEO.", "ner": [[9, 12, "Address"], [83, 83, "Role"], [157, 157, "Role"]], "tokenized_text": ["the", "duties", "required", "by", "this", "Agreement", "at", "the", "Companys", "Iowa", "City", ",", "Iowa", "headquarters", "unless", "the", "nature", "of", "such", "duties", "requires", "otherwise", ".", "Notwithstanding", "the", "foregoing", "provisions", "of", "this", "Section", "2", ",", "during", "the", "Employment", "Period", ",", "Executive", "may", "devote", "reasonable", "time", "to", "activities", "other", "than", "those", "required", "under", "this", "Agreement", ",", "including", "activities", "of", "a", "charitable", ",", "educational", ",", "religious", "or", "similar", "nature", "(", "including", "professional", "associations", ")", "to", "the", "extent", "such", "activities", "do", "not", ",", "in", "the", "reasonable", "judgment", "of", "the", "CEO", ",", "inhibit", ",", "prohibit", ",", "interfere", "with", "or", "conflict", "with", "Executives", "duties", "under", "this", "Agreement", "or", "conflict", "in", "any", "material", "way", "with", "the", "business", "of", "the", "Company", "or", "an", "Affiliate", ";", "provided", ",", "however", ",", "that", "Executive", "shall", "not", "serve", "on", "the", "board", "of", "directors", "of", "any", "business", "(", "other", "than", "the", "Company", "or", "an", "Affiliate", ")", "or", "hold", "any", "other", "position", "with", "any", "business", "without", "receiving", "the", "prior", "written", "consent", "of", "the", "CEO", "."]}
{"id": "11801", "text": "/s/ JAMES M. CANTRELL |", "ner": [[3, 6, "Parties"]], "tokenized_text": ["/", "s", "/", "JAMES", "M", ".", "CANTRELL", "|"]}
{"id": "11804", "text": "EX-10.1 2 f8k10 2017 ex10-1_legacyedu.htm EMPLOYMENT AGREEMENT DATED OCTOBER 18, 2017 BY AND BETWEEN LEGACY EDUCATION ALLIANCE, INC. AND IAIN EDWARDS", "ner": [[4, 4, "PII_Ref"], [9, 10, "Title"], [12, 15, "EffectiveDate"], [19, 24, "Parties"], [26, 27, "Parties"]], "tokenized_text": ["EX-10", ".", "1", "2", "f8k10", "2017", "ex10-1_legacyedu", ".", "htm", "EMPLOYMENT", "AGREEMENT", "DATED", "OCTOBER", "18", ",", "2017", "BY", "AND", "BETWEEN", "LEGACY", "EDUCATION", "ALLIANCE", ",", "INC", ".", "AND", "IAIN", "EDWARDS"]}
{"id": "11806", "text": "WHEREAS, the Executive is currently employed as the Companys Chief Operating Officer and is expected to make major contributions to the short- and long- term profitability, growth and financial strength of the Company;", "ner": [[10, 12, "Role"]], "tokenized_text": ["WHEREAS", ",", "the", "Executive", "is", "currently", "employed", "as", "the", "Companys", "Chief", "Operating", "Officer", "and", "is", "expected", "to", "make", "major", "contributions", "to", "the", "short", "-", "and", "long", "-", "term", "profitability", ",", "growth", "and", "financial", "strength", "of", "the", "Company", ";"]}
{"id": "11807", "text": "The Company employs the Executive and the Executive serves the Company as Chief Operating Officer or in such other role of equivalent status as the Chief Executive Officer (CEO) may reasonably decide.", "ner": [[12, 14, "Role"], [25, 27, "Role"], [29, 29, "Role"]], "tokenized_text": ["The", "Company", "employs", "the", "Executive", "and", "the", "Executive", "serves", "the", "Company", "as", "Chief", "Operating", "Officer", "or", "in", "such", "other", "role", "of", "equivalent", "status", "as", "the", "Chief", "Executive", "Officer", "(", "CEO", ")", "may", "reasonably", "decide", "."]}
{"id": "11809", "text": "9.1| Executive shall be eligible to receive an annual non-equity incentive bonus (Annual Incentive compensation) and other long term incentive compensation, all of which are intended to comply with Section 162(m) of the U.S. Internal Revenue Code of 1986 , as amended (the Code), under such executive bonus plans and long term incentive plans as may be established by the compensation Committee of the Board [or, in the absence of a compensation Committee, then a committee of the Board of Directors comprised of not less than two independent directors (in either event, the Independent Director Committee)] in its sole discretion from time to time, subject to the terms and conditions of such plans. The Annual Incentive compensation will be based on the achievement of Company and individual performance goals to be established by the compensation Committee, with annual target incentive bonuses of not less than 50% of the Base Annual salary . ---|---", "ner": [[42, 50, "Act"], [170, 171, "Percentage"]], "tokenized_text": ["9", ".", "1", "|", "Executive", "shall", "be", "eligible", "to", "receive", "an", "annual", "non-equity", "incentive", "bonus", "(", "Annual", "Incentive", "compensation", ")", "and", "other", "long", "term", "incentive", "compensation", ",", "all", "of", "which", "are", "intended", "to", "comply", "with", "Section", "162", "(", "m", ")", "of", "the", "U", ".", "S", ".", "Internal", "Revenue", "Code", "of", "1986", ",", "as", "amended", "(", "the", "Code", ")", ",", "under", "such", "executive", "bonus", "plans", "and", "long", "term", "incentive", "plans", "as", "may", "be", "established", "by", "the", "compensation", "Committee", "of", "the", "Board", "[", "or", ",", "in", "the", "absence", "of", "a", "compensation", "Committee", ",", "then", "a", "committee", "of", "the", "Board", "of", "Directors", "comprised", "of", "not", "less", "than", "two", "independent", "directors", "(", "in", "either", "event", ",", "the", "Independent", "Director", "Committee", ")", "]", "in", "its", "sole", "discretion", "from", "time", "to", "time", ",", "subject", "to", "the", "terms", "and", "conditions", "of", "such", "plans", ".", "The", "Annual", "Incentive", "compensation", "will", "be", "based", "on", "the", "achievement", "of", "Company", "and", "individual", "performance", "goals", "to", "be", "established", "by", "the", "compensation", "Committee", ",", "with", "annual", "target", "incentive", "bonuses", "of", "not", "less", "than", "50", "%", "of", "the", "Base", "Annual", "salary", ".", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "11810", "text": "The Company will comply with the employer pension duties in accordance with Part 1 of the Pensions Act 2008 .", "ner": [[16, 18, "Act"]], "tokenized_text": ["The", "Company", "will", "comply", "with", "the", "employer", "pension", "duties", "in", "accordance", "with", "Part", "1", "of", "the", "Pensions", "Act", "2008", "."]}
{"id": "11811", "text": "13.3| On termination of the Employment, the Executive will be paid in lieu of accrued but untaken holiday. The amount of the payment in lieu is calculated on the basis that each day of paid holiday is equivalent to 1/260th of the salary. If the Executive has taken more days paid holiday than his accrued entitlement, the Company may deduct the appropriate amount for such excess holiday from any payments due to the Executive. For this purpose each day of paid holiday is calculated on the basis that it is equivalent to 1/260th of the salary. ---|---", "ner": [[44, 46, "Ratio"]], "tokenized_text": ["13", ".", "3", "|", "On", "termination", "of", "the", "Employment", ",", "the", "Executive", "will", "be", "paid", "in", "lieu", "of", "accrued", "but", "untaken", "holiday", ".", "The", "amount", "of", "the", "payment", "in", "lieu", "is", "calculated", "on", "the", "basis", "that", "each", "day", "of", "paid", "holiday", "is", "equivalent", "to", "1", "/", "260th", "of", "the", "salary", ".", "If", "the", "Executive", "has", "taken", "more", "days", "paid", "holiday", "than", "his", "accrued", "entitlement", ",", "the", "Company", "may", "deduct", "the", "appropriate", "amount", "for", "such", "excess", "holiday", "from", "any", "payments", "due", "to", "the", "Executive", ".", "For", "this", "purpose", "each", "day", "of", "paid", "holiday", "is", "calculated", "on", "the", "basis", "that", "it", "is", "equivalent", "to", "1", "/", "260th", "of", "the", "salary", ".", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "11812", "text": "15.9| Sums that are payable under Clauses 15.3, 15.5 or 15.8 that are not timely paid shall accrue interest at the lesser of the English statutory rate or 8% per annum. In addition, in any action or proceeding to collect such sums, the obligation to pay attorneys fees shall be governed by the English Rule (i.e., loser pays). ---|---", "ner": [[10, 16, "Regulation"], [18, 20, "Regulation"], [38, 39, "Percentage"], [67, 68, "Regulation"]], "tokenized_text": ["15", ".", "9", "|", "Sums", "that", "are", "payable", "under", "Clauses", "15", ".", "3", ",", "15", ".", "5", "or", "15", ".", "8", "that", "are", "not", "timely", "paid", "shall", "accrue", "interest", "at", "the", "lesser", "of", "the", "English", "statutory", "rate", "or", "8", "%", "per", "annum", ".", "In", "addition", ",", "in", "any", "action", "or", "proceeding", "to", "collect", "such", "sums", ",", "the", "obligation", "to", "pay", "attorneys", "fees", "shall", "be", "governed", "by", "the", "English", "Rule", "(", "i", ".", "e", ".", ",", "loser", "pays", ")", ".", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "11814", "text": "| ---|---|--- | | Name of witness: | | | | Signature of witness: | | | | Address: | | | | Occupation: | | | | Signed as a deed by Anthony C Humpage, A director, for and on behalf of Legacy Education Alliance, Inc.", "ner": [[47, 49, "Parties"], [59, 64, "Parties"]], "tokenized_text": ["|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "|", "Name", "of", "witness", ":", "|", "|", "|", "|", "Signature", "of", "witness", ":", "|", "|", "|", "|", "Address", ":", "|", "|", "|", "|", "Occupation", ":", "|", "|", "|", "|", "Signed", "as", "a", "deed", "by", "Anthony", "C", "Humpage", ",", "A", "director", ",", "for", "and", "on", "behalf", "of", "Legacy", "Education", "Alliance", ",", "Inc", "."]}
{"id": "11823", "text": "| | Milestone 1: cash bonus of $50,000 and grant of 50,000 stock options, fully vested with an exercise price of $1 per share upon the Employers SEC Form S-1 being declared effective by the SEC; and ---|---|---", "ner": [[8, 8, "Principal"], [9, 11, "Shares"], [28, 29, "Price"]], "tokenized_text": ["|", "|", "Milestone", "1", ":", "cash", "bonus", "of", "$", "50", ",", "000", "and", "grant", "of", "50", ",", "000", "stock", "options", ",", "fully", "vested", "with", "an", "exercise", "price", "of", "$", "1", "per", "share", "upon", "the", "Employers", "SEC", "Form", "S-1", "being", "declared", "effective", "by", "the", "SEC", ";", "and", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "11824", "text": "| | Milestone 2: cash bonus of $50,000 and grant of 50,000 stock options, fully vested with an exercise price of $1 per share upon successful up-listing to NASDAQ, provided however, in the event the Company's planned up-listing process is delayed solely by market conditions or other factors beyond the Employee's control, which results in the up-listing to NASDAQ not being completed by June 30, 2018, the Employee shall instead receive a cash bonus of $30,000 and grant of 35,000 stock options, fully vested with an exercise price of $1 per share. ---|---|---", "ner": [[8, 8, "Principal"], [9, 11, "Shares"], [28, 29, "Price"], [92, 95, "Principal"], [99, 101, "Shares"]], "tokenized_text": ["|", "|", "Milestone", "2", ":", "cash", "bonus", "of", "$", "50", ",", "000", "and", "grant", "of", "50", ",", "000", "stock", "options", ",", "fully", "vested", "with", "an", "exercise", "price", "of", "$", "1", "per", "share", "upon", "successful", "up-listing", "to", "NASDAQ", ",", "provided", "however", ",", "in", "the", "event", "the", "Company", "'", "s", "planned", "up-listing", "process", "is", "delayed", "solely", "by", "market", "conditions", "or", "other", "factors", "beyond", "the", "Employee", "'", "s", "control", ",", "which", "results", "in", "the", "up-listing", "to", "NASDAQ", "not", "being", "completed", "by", "June", "30", ",", "2018", ",", "the", "Employee", "shall", "instead", "receive", "a", "cash", "bonus", "of", "$", "30", ",", "000", "and", "grant", "of", "35", ",", "000", "stock", "options", ",", "fully", "vested", "with", "an", "exercise", "price", "of", "$", "1", "per", "share", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "11825", "text": "4.3.This Agreement shall be governed in all respects by the laws of the State of New York , excluding any conflict-of-law rule or principle that might refer to the laws of another State or country.", "ner": [[17, 20, "Court"]], "tokenized_text": ["4", ".", "3", ".", "This", "Agreement", "shall", "be", "governed", "in", "all", "respects", "by", "the", "laws", "of", "the", "State", "of", "New", "York", ",", "excluding", "any", "conflict-of-law", "rule", "or", "principle", "that", "might", "refer", "to", "the", "laws", "of", "another", "State", "or", "country", "."]}
{"id": "11828", "text": "(a) Subject to the terms and conditions hereinafter set forth, the Company hereby employs Executive as its president and chief executive officer during the Employment Term, as hereinafter defined, with a starting date of October 2, 2017 (the Effective Date). As president and chief executive officer of the Company, Executive shall have the duties and responsibilities associated with the president and chief executive officer of a public corporation. In addition, Executive will assist the Company in identifying and hiring a management and executive team. Executive shall report to the Companys board of directors (the Board). Executive shall also perform such other duties and responsibilities as may be determined by the Board, as long as such duties and responsibilities are consistent with those of the president and chief executive officer.", "ner": [[20, 20, "Role"], [22, 24, "Role"], [39, 42, "EffectiveDate"]], "tokenized_text": ["(", "a", ")", "Subject", "to", "the", "terms", "and", "conditions", "hereinafter", "set", "forth", ",", "the", "Company", "hereby", "employs", "Executive", "as", "its", "president", "and", "chief", "executive", "officer", "during", "the", "Employment", "Term", ",", "as", "hereinafter", "defined", ",", "with", "a", "starting", "date", "of", "October", "2", ",", "2017", "(", "the", "Effective", "Date", ")", ".", "As", "president", "and", "chief", "executive", "officer", "of", "the", "Company", ",", "Executive", "shall", "have", "the", "duties", "and", "responsibilities", "associated", "with", "the", "president", "and", "chief", "executive", "officer", "of", "a", "public", "corporation", ".", "In", "addition", ",", "Executive", "will", "assist", "the", "Company", "in", "identifying", "and", "hiring", "a", "management", "and", "executive", "team", ".", "Executive", "shall", "report", "to", "the", "Companys", "board", "of", "directors", "(", "the", "Board", ")", ".", "Executive", "shall", "also", "perform", "such", "other", "duties", "and", "responsibilities", "as", "may", "be", "determined", "by", "the", "Board", ",", "as", "long", "as", "such", "duties", "and", "responsibilities", "are", "consistent", "with", "those", "of", "the", "president", "and", "chief", "executive", "officer", "."]}
{"id": "11829", "text": "(c) The Employment Term shall mean the period commencing on the Effective Date and continuing for a period of thirty-six (36) months from such date, unless terminated earlier pursuant to Section 5 of this Agreement.", "ner": [[21, 25, "TerminationDate"]], "tokenized_text": ["(", "c", ")", "The", "Employment", "Term", "shall", "mean", "the", "period", "commencing", "on", "the", "Effective", "Date", "and", "continuing", "for", "a", "period", "of", "thirty-six", "(", "36", ")", "months", "from", "such", "date", ",", "unless", "terminated", "earlier", "pursuant", "to", "Section", "5", "of", "this", "Agreement", "."]}
{"id": "11832", "text": "(A) 80,000 shares shall vest in full and be issued as a signing bonus on the Effective Date;", "ner": [[3, 5, "Shares"]], "tokenized_text": ["(", "A", ")", "80", ",", "000", "shares", "shall", "vest", "in", "full", "and", "be", "issued", "as", "a", "signing", "bonus", "on", "the", "Effective", "Date", ";"]}
{"id": "11837", "text": "(III) 150,000 shares upon the filing of the Companys annual report on Form 10-K reflecting a minimum of $20,000,000 in revenues; and", "ner": [[3, 5, "Shares"], [22, 27, "Principal"]], "tokenized_text": ["(", "III", ")", "150", ",", "000", "shares", "upon", "the", "filing", "of", "the", "Companys", "annual", "report", "on", "Form", "10-K", "reflecting", "a", "minimum", "of", "$", "20", ",", "000", ",", "000", "in", "revenues", ";", "and"]}
{"id": "11838", "text": "(IV) 150,000 shares upon the filing of the Companys annual report on Form 10-K reflecting a minimum of $0.10 Earnings Per Share increase after tax.", "ner": [[3, 5, "Shares"]], "tokenized_text": ["(", "IV", ")", "150", ",", "000", "shares", "upon", "the", "filing", "of", "the", "Companys", "annual", "report", "on", "Form", "10-K", "reflecting", "a", "minimum", "of", "$", "0", ".", "10", "Earnings", "Per", "Share", "increase", "after", "tax", "."]}
{"id": "11841", "text": "(iv) engage in any business in the United States whether as an officer, director, consultant, partner, guarantor, principal, agent, employee, advisor or in any manner, which directly competes with the business of the Company as it is engaged in at the time of the termination of this Agreement, unless, at the time of such termination or thereafter during the period that the Executive is bound by the provisions of this Section 7, the Company ceases to be engaged in such activity, provided, however, that nothing in this Section 7 shall be construed to prohibit the Executive from owning an interest of not more than five ( 5% ) percent of any public company engaged in such activities.", "ner": [[121, 126, "Percentage"]], "tokenized_text": ["(", "iv", ")", "engage", "in", "any", "business", "in", "the", "United", "States", "whether", "as", "an", "officer", ",", "director", ",", "consultant", ",", "partner", ",", "guarantor", ",", "principal", ",", "agent", ",", "employee", ",", "advisor", "or", "in", "any", "manner", ",", "which", "directly", "competes", "with", "the", "business", "of", "the", "Company", "as", "it", "is", "engaged", "in", "at", "the", "time", "of", "the", "termination", "of", "this", "Agreement", ",", "unless", ",", "at", "the", "time", "of", "such", "termination", "or", "thereafter", "during", "the", "period", "that", "the", "Executive", "is", "bound", "by", "the", "provisions", "of", "this", "Section", "7", ",", "the", "Company", "ceases", "to", "be", "engaged", "in", "such", "activity", ",", "provided", ",", "however", ",", "that", "nothing", "in", "this", "Section", "7", "shall", "be", "construed", "to", "prohibit", "the", "Executive", "from", "owning", "an", "interest", "of", "not", "more", "than", "five", "(", "5", "%", ")", "percent", "of", "any", "public", "company", "engaged", "in", "such", "activities", "."]}
{"id": "11845", "text": "THIS EMPLOYMENT AGREEMENT (Agreement) is made by and between LEE ENTERPRISES, INCORPORATED , a Delaware corporation (the Company) and _________________ (the Executive), effective as of ____________, _____.", "ner": [[1, 2, "Title"], [11, 14, "Parties"]], "tokenized_text": ["THIS", "EMPLOYMENT", "AGREEMENT", "(", "Agreement", ")", "is", "made", "by", "and", "between", "LEE", "ENTERPRISES", ",", "INCORPORATED", ",", "a", "Delaware", "corporation", "(", "the", "Company", ")", "and", "_________________", "(", "the", "Executive", ")", ",", "effective", "as", "of", "____________", ",", "_____", "."]}
{"id": "11846", "text": "(c) Common Stock shall mean the common stock, par value $0.01 per share, of the Company.", "ner": [[13, 16, "Price"]], "tokenized_text": ["(", "c", ")", "Common", "Stock", "shall", "mean", "the", "common", "stock", ",", "par", "value", "$", "0", ".", "01", "per", "share", ",", "of", "the", "Company", "."]}
{"id": "11850", "text": "12. Miscellaneous. (a) This Agreement shall be governed by and construed in accordance with the laws of the State of Iowa , without reference to principles of conflict of laws. The captions of this Agreement are not part of the provisions hereof and shall have no force or effect. This Agreement may not be amended or modified otherwise than by a written agreement executed by the parties hereto or their respective successors and legal representatives.", "ner": [[22, 24, "Court"]], "tokenized_text": ["12", ".", "Miscellaneous", ".", "(", "a", ")", "This", "Agreement", "shall", "be", "governed", "by", "and", "construed", "in", "accordance", "with", "the", "laws", "of", "the", "State", "of", "Iowa", ",", "without", "reference", "to", "principles", "of", "conflict", "of", "laws", ".", "The", "captions", "of", "this", "Agreement", "are", "not", "part", "of", "the", "provisions", "hereof", "and", "shall", "have", "no", "force", "or", "effect", ".", "This", "Agreement", "may", "not", "be", "amended", "or", "modified", "otherwise", "than", "by", "a", "written", "agreement", "executed", "by", "the", "parties", "hereto", "or", "their", "respective", "successors", "and", "legal", "representatives", "."]}
{"id": "11853", "text": "LEE ENTERPRISES, INCORPORATED | | | | | | | | | |", "ner": [[0, 3, "Parties"]], "tokenized_text": ["LEE", "ENTERPRISES", ",", "INCORPORATED", "|", "|", "|", "|", "|", "|", "|", "|", "|", "|"]}
{"id": "11860", "text": "(iii) Annual Equity or Equity-Based Incentive Awards. Commencing in 2017, and continuing during each subsequent calendar year of the Employment Period, the Executive shall be eligible to receive an annual equity award (the Annual LTIP Award), which shall be awarded each year during the Employment Period by the Compensation Committee based upon its evaluation of such performance measures and objectives as may be established by the Compensation Committee from time to time. The Annual LTIP Award shall be a long-term equity or equity-based incentive award with an aggregate grant value (with respect to the portion of the Annual LTIP Award that is subject to performance metrics, based on the achievement of the applicable performance metrics that cause the award to vest at the level of 100% , and without taking into account the probability of the award vesting at that level on the date of grant) on the date of grant equal to TWO MILLION SIX HUNDRED TWENTY-FIVE THOUSAND AND 00/100 DOLLARS ($2,625,000.00 ) , with the number of shares of the Companys common stock, par value $0.01 per share (the Common Stock) subject to such Annual LTIP Award determined by dividing the aggregate grant value by the closing price per share of the Common Stock on a nationally recognized exchange or as otherwise provided for in the Incentive Plan on the date of grant, which shall be awarded each year upon the achievement of certain performance goals established by the Compensation Committee for such year. The determination as to whether the performance goals have been achieved shall be made in the sole discretion of the Compensation Committee and, to the extent Section162(m)of the Code, is applicable, and shall be consistent with and subject to the requirements set forth in Section162(m)of the Code. The Annual LTIP Award shall be granted to the Executive at the same time that other senior executives of the Company are granted their annual equity or equity-based incentive awards but in no event later than March15 following the end of the fiscal year to which such Annual LTIP Award relates. Fifty percent ( 50% ) of each Annual LTIP Award granted to the Executive shall provide for pro rata time vesting over five years in accordance with the terms of the applicable award agreement (the Time Vesting LTIP Award, which, for the avoidance of doubt, shall not include the Initial LTIP Award, as defined below) and the other fifty percent ( 50% ) of such award shall provide for performance-based vesting (the Performance Vesting LTIP Award). All Annual LTIP Awards shall be subject to the terms and conditions of the Incentive Plan and any applicable award agreements thereunder. For purposes of this Agreement, Incentive Plan shall mean The Howard Hughes Corporation Amended and Restated 2010 Incentive Plan, as in effect from time to time (and any successor plan thereto).", "ner": [[136, 137, "Percentage"], [178, 185, "Principal"], [201, 204, "Price"], [388, 389, "Percentage"], [391, 392, "Percentage"], [456, 457, "Percentage"]], "tokenized_text": ["(", "iii", ")", "Annual", "Equity", "or", "Equity-Based", "Incentive", "Awards", ".", "Commencing", "in", "2017", ",", "and", "continuing", "during", "each", "subsequent", "calendar", "year", "of", "the", "Employment", "Period", ",", "the", "Executive", "shall", "be", "eligible", "to", "receive", "an", "annual", "equity", "award", "(", "the", "Annual", "LTIP", "Award", ")", ",", "which", "shall", "be", "awarded", "each", "year", "during", "the", "Employment", "Period", "by", "the", "Compensation", "Committee", "based", "upon", "its", "evaluation", "of", "such", "performance", "measures", "and", "objectives", "as", "may", "be", "established", "by", "the", "Compensation", "Committee", "from", "time", "to", "time", ".", "The", "Annual", "LTIP", "Award", "shall", "be", "a", "long-term", "equity", "or", "equity-based", "incentive", "award", "with", "an", "aggregate", "grant", "value", "(", "with", "respect", "to", "the", "portion", "of", "the", "Annual", "LTIP", "Award", "that", "is", "subject", "to", "performance", "metrics", ",", "based", "on", "the", "achievement", "of", "the", "applicable", "performance", "metrics", "that", "cause", "the", "award", "to", "vest", "at", "the", "level", "of", "100", "%", ",", "and", "without", "taking", "into", "account", "the", "probability", "of", "the", "award", "vesting", "at", "that", "level", "on", "the", "date", "of", "grant", ")", "on", "the", "date", "of", "grant", "equal", "to", "TWO", "MILLION", "SIX", "HUNDRED", "TWENTY-FIVE", "THOUSAND", "AND", "00", "/", "100", "DOLLARS", "(", "$", "2", ",", "625", ",", "000", ".", "00", ")", ",", "with", "the", "number", "of", "shares", "of", "the", "Companys", "common", "stock", ",", "par", "value", "$", "0", ".", "01", "per", "share", "(", "the", "Common", "Stock", ")", "subject", "to", "such", "Annual", "LTIP", "Award", "determined", "by", "dividing", "the", "aggregate", "grant", "value", "by", "the", "closing", "price", "per", "share", "of", "the", "Common", "Stock", "on", "a", "nationally", "recognized", "exchange", "or", "as", "otherwise", "provided", "for", "in", "the", "Incentive", "Plan", "on", "the", "date", "of", "grant", ",", "which", "shall", "be", "awarded", "each", "year", "upon", "the", "achievement", "of", "certain", "performance", "goals", "established", "by", "the", "Compensation", "Committee", "for", "such", "year", ".", "The", "determination", "as", "to", "whether", "the", "performance", "goals", "have", "been", "achieved", "shall", "be", "made", "in", "the", "sole", "discretion", "of", "the", "Compensation", "Committee", "and", ",", "to", "the", "extent", "Section162", "(", "m", ")", "of", "the", "Code", ",", "is", "applicable", ",", "and", "shall", "be", "consistent", "with", "and", "subject", "to", "the", "requirements", "set", "forth", "in", "Section162", "(", "m", ")", "of", "the", "Code", ".", "The", "Annual", "LTIP", "Award", "shall", "be", "granted", "to", "the", "Executive", "at", "the", "same", "time", "that", "other", "senior", "executives", "of", "the", "Company", "are", "granted", "their", "annual", "equity", "or", "equity-based", "incentive", "awards", "but", "in", "no", "event", "later", "than", "March15", "following", "the", "end", "of", "the", "fiscal", "year", "to", "which", "such", "Annual", "LTIP", "Award", "relates", ".", "Fifty", "percent", "(", "50", "%", ")", "of", "each", "Annual", "LTIP", "Award", "granted", "to", "the", "Executive", "shall", "provide", "for", "pro", "rata", "time", "vesting", "over", "five", "years", "in", "accordance", "with", "the", "terms", "of", "the", "applicable", "award", "agreement", "(", "the", "Time", "Vesting", "LTIP", "Award", ",", "which", ",", "for", "the", "avoidance", "of", "doubt", ",", "shall", "not", "include", "the", "Initial", "LTIP", "Award", ",", "as", "defined", "below", ")", "and", "the", "other", "fifty", "percent", "(", "50", "%", ")", "of", "such", "award", "shall", "provide", "for", "performance-based", "vesting", "(", "the", "Performance", "Vesting", "LTIP", "Award", ")", ".", "All", "Annual", "LTIP", "Awards", "shall", "be", "subject", "to", "the", "terms", "and", "conditions", "of", "the", "Incentive", "Plan", "and", "any", "applicable", "award", "agreements", "thereunder", ".", "For", "purposes", "of", "this", "Agreement", ",", "Incentive", "Plan", "shall", "mean", "The", "Howard", "Hughes", "Corporation", "Amended", "and", "Restated", "2010", "Incentive", "Plan", ",", "as", "in", "effect", "from", "time", "to", "time", "(", "and", "any", "successor", "plan", "thereto", ")", "."]}
{"id": "11861", "text": "award (the Initial LTIP Award) equal to FIVE MILLION AND 00/100 DOLLARS ($5,000,000.00) of Common Stock. The number of shares of Common Stock shall be determined by dividing $5,000,000.00 by the closing price per share on the Effective Date. Fifty percent ( 50% ) of the Initial LTIP Award shall fully vest and become non-forfeitable on the fifth (5th) anniversary of the grant date of such award (the First Vesting Tranche), and the remaining fifty percent (50%) of the Initial LTIP Award shall fully vest and become non-forfeitable on the tenth (10th) anniversary of such grant date (the Second Vesting Tranche), in each case, subject to the Executive continuing to be an employee of the Company through each vesting date. The Initial LTIP Award shall be subject to the terms and conditions of the Incentive Plan and The Howard Hughes Corporation Restricted Stock Agreement, substantially in the form attached hereto as ExhibitA.", "ner": [[17, 24, "Principal"], [64, 65, "Percentage"], [105, 106, "Percentage"]], "tokenized_text": ["award", "(", "the", "Initial", "LTIP", "Award", ")", "equal", "to", "FIVE", "MILLION", "AND", "00", "/", "100", "DOLLARS", "(", "$", "5", ",", "000", ",", "000", ".", "00", ")", "of", "Common", "Stock", ".", "The", "number", "of", "shares", "of", "Common", "Stock", "shall", "be", "determined", "by", "dividing", "$", "5", ",", "000", ",", "000", ".", "00", "by", "the", "closing", "price", "per", "share", "on", "the", "Effective", "Date", ".", "Fifty", "percent", "(", "50", "%", ")", "of", "the", "Initial", "LTIP", "Award", "shall", "fully", "vest", "and", "become", "non-forfeitable", "on", "the", "fifth", "(", "5th", ")", "anniversary", "of", "the", "grant", "date", "of", "such", "award", "(", "the", "First", "Vesting", "Tranche", ")", ",", "and", "the", "remaining", "fifty", "percent", "(", "50", "%", ")", "of", "the", "Initial", "LTIP", "Award", "shall", "fully", "vest", "and", "become", "non-forfeitable", "on", "the", "tenth", "(", "10th", ")", "anniversary", "of", "such", "grant", "date", "(", "the", "Second", "Vesting", "Tranche", ")", ",", "in", "each", "case", ",", "subject", "to", "the", "Executive", "continuing", "to", "be", "an", "employee", "of", "the", "Company", "through", "each", "vesting", "date", ".", "The", "Initial", "LTIP", "Award", "shall", "be", "subject", "to", "the", "terms", "and", "conditions", "of", "the", "Incentive", "Plan", "and", "The", "Howard", "Hughes", "Corporation", "Restricted", "Stock", "Agreement", ",", "substantially", "in", "the", "form", "attached", "hereto", "as", "ExhibitA", "."]}
{"id": "11864", "text": "(b) Non-Renewal. If the Executives employment is terminated based on the Company electing to not renew or extend the Employment Period on the tenth (10th) anniversary , or any subsequent anniversary, of the Effective Date, the Company shall have no further obligations to the Executive except as follows:", "ner": [[26, 30, "TerminationDate"]], "tokenized_text": ["(", "b", ")", "Non-Renewal", ".", "If", "the", "Executives", "employment", "is", "terminated", "based", "on", "the", "Company", "electing", "to", "not", "renew", "or", "extend", "the", "Employment", "Period", "on", "the", "tenth", "(", "10th", ")", "anniversary", ",", "or", "any", "subsequent", "anniversary", ",", "of", "the", "Effective", "Date", ",", "the", "Company", "shall", "have", "no", "further", "obligations", "to", "the", "Executive", "except", "as", "follows", ":"]}
{"id": "11865", "text": "(b) Confidential Information. The Executive hereby acknowledges that, as an employee of the Company, he will be making use of, acquiring and adding to confidential information of a special and unique nature and value relating to the Company and its Affiliates and their strategic plan and financial operations. The Executive further recognizes and acknowledges that all confidential information is the exclusive property of the Company and its Affiliates, is material and confidential, and is critical to the successful conduct of the business of the Company and its Affiliates. Accordingly, the Executive hereby covenants and agrees that he will use confidential information for the benefit of the Company and its Affiliates only and shall not at any time, directly or indirectly, during the term of this Agreement and thereafter divulge, reveal or communicate any confidential information to any person, firm, corporation or entity whatsoever, or use any confidential information for his own benefit or for the benefit of others. Notwithstanding the foregoing, the Executive shall be authorized to disclose confidential information (i)as may be required by law or legal process after providing the Company with prior written notice and an opportunity to respond to such disclosure (unless such notice is prohibited by law), or (ii)with the prior written consent of the Company. Notwithstanding anything to the contrary in this Agreement, the Executive shall not be prohibited from: (i)filing and, as provided for under Section21F of the Securities Exchange Act of 1934 , as amended (the Exchange Act ) maintaining the confidentiality of a claim with a government agency that is responsible for enforcing a law; (ii)providing confidential information to the extent required by law or legal process or permitted by Section21F of the", "ner": [[267, 267, "Regulation"], [270, 274, "Act"]], "tokenized_text": ["(", "b", ")", "Confidential", "Information", ".", "The", "Executive", "hereby", "acknowledges", "that", ",", "as", "an", "employee", "of", "the", "Company", ",", "he", "will", "be", "making", "use", "of", ",", "acquiring", "and", "adding", "to", "confidential", "information", "of", "a", "special", "and", "unique", "nature", "and", "value", "relating", "to", "the", "Company", "and", "its", "Affiliates", "and", "their", "strategic", "plan", "and", "financial", "operations", ".", "The", "Executive", "further", "recognizes", "and", "acknowledges", "that", "all", "confidential", "information", "is", "the", "exclusive", "property", "of", "the", "Company", "and", "its", "Affiliates", ",", "is", "material", "and", "confidential", ",", "and", "is", "critical", "to", "the", "successful", "conduct", "of", "the", "business", "of", "the", "Company", "and", "its", "Affiliates", ".", "Accordingly", ",", "the", "Executive", "hereby", "covenants", "and", "agrees", "that", "he", "will", "use", "confidential", "information", "for", "the", "benefit", "of", "the", "Company", "and", "its", "Affiliates", "only", "and", "shall", "not", "at", "any", "time", ",", "directly", "or", "indirectly", ",", "during", "the", "term", "of", "this", "Agreement", "and", "thereafter", "divulge", ",", "reveal", "or", "communicate", "any", "confidential", "information", "to", "any", "person", ",", "firm", ",", "corporation", "or", "entity", "whatsoever", ",", "or", "use", "any", "confidential", "information", "for", "his", "own", "benefit", "or", "for", "the", "benefit", "of", "others", ".", "Notwithstanding", "the", "foregoing", ",", "the", "Executive", "shall", "be", "authorized", "to", "disclose", "confidential", "information", "(", "i", ")", "as", "may", "be", "required", "by", "law", "or", "legal", "process", "after", "providing", "the", "Company", "with", "prior", "written", "notice", "and", "an", "opportunity", "to", "respond", "to", "such", "disclosure", "(", "unless", "such", "notice", "is", "prohibited", "by", "law", ")", ",", "or", "(", "ii", ")", "with", "the", "prior", "written", "consent", "of", "the", "Company", ".", "Notwithstanding", "anything", "to", "the", "contrary", "in", "this", "Agreement", ",", "the", "Executive", "shall", "not", "be", "prohibited", "from", ":", "(", "i", ")", "filing", "and", ",", "as", "provided", "for", "under", "Section21F", "of", "the", "Securities", "Exchange", "Act", "of", "1934", ",", "as", "amended", "(", "the", "Exchange", "Act", ")", "maintaining", "the", "confidentiality", "of", "a", "claim", "with", "a", "government", "agency", "that", "is", "responsible", "for", "enforcing", "a", "law", ";", "(", "ii", ")", "providing", "confidential", "information", "to", "the", "extent", "required", "by", "law", "or", "legal", "process", "or", "permitted", "by", "Section21F", "of", "the"]}
{"id": "11866", "text": "Exchange Act ; ( iii)cooperating, participating or assisting in any government or regulatory entity investigation or proceeding; or (iv) receiving an award for information provided to any government agency that is responsible for enforcing the law.", "ner": [[0, 1, "Act"]], "tokenized_text": ["Exchange", "Act", ";", "(", "iii", ")", "cooperating", ",", "participating", "or", "assisting", "in", "any", "government", "or", "regulatory", "entity", "investigation", "or", "proceeding", ";", "or", "(", "iv", ")", "receiving", "an", "award", "for", "information", "provided", "to", "any", "government", "agency", "that", "is", "responsible", "for", "enforcing", "the", "law", "."]}
{"id": "11868", "text": "Keith Clouse Clouse Dunn LLP 1201 Elm Street, Suite5200 Dallas, Texas 75270< br/>", "ner": [[5, 13, "Address"]], "tokenized_text": ["Keith", "Clouse", "Clouse", "Dunn", "LLP", "1201", "Elm", "Street", ",", "Suite5200", "Dallas", ",", "Texas", "75270", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "11869", "text": "The Howard Hughes Corporation One Galleria Tower 13355 Noel Road, Suite950 Dallas, Texas 75240 Attention: Office of the General Counsel", "ner": [[4, 15, "Address"]], "tokenized_text": ["The", "Howard", "Hughes", "Corporation", "One", "Galleria", "Tower", "13355", "Noel", "Road", ",", "Suite950", "Dallas", ",", "Texas", "75240", "Attention", ":", "Office", "of", "the", "General", "Counsel"]}
{"id": "11870", "text": "William A. Ackman, Chairman of the Board 888 Seventh Avenue, 42nd Floor New York, NY 10019< br/>", "ner": [[0, 3, "Role"], [5, 5, "Role"], [9, 19, "Address"]], "tokenized_text": ["William", "A", ".", "Ackman", ",", "Chairman", "of", "the", "Board", "888", "Seventh", "Avenue", ",", "42nd", "Floor", "New", "York", ",", "NY", "10019", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "11871", "text": "(e) Compliance with Dodd-Frank. All payments under this Agreement, if and to the extent they are subject to the Dodd-Frank Wall Street Reform and Consumer Protection Act ( the Dodd-Frank Act ), shall be subject to any incentive compensation policy established from time to time by the Company to comply with the Dodd-Frank Act . The Executive acknowledges and agrees that the Company may from time to time establish incentive compensation policies that may apply to this Agreement and the awards contemplated hereunder.", "ner": [[23, 30, "Act"], [33, 34, "Act"]], "tokenized_text": ["(", "e", ")", "Compliance", "with", "Dodd-Frank", ".", "All", "payments", "under", "this", "Agreement", ",", "if", "and", "to", "the", "extent", "they", "are", "subject", "to", "the", "Dodd-Frank", "Wall", "Street", "Reform", "and", "Consumer", "Protection", "Act", "(", "the", "Dodd-Frank", "Act", ")", ",", "shall", "be", "subject", "to", "any", "incentive", "compensation", "policy", "established", "from", "time", "to", "time", "by", "the", "Company", "to", "comply", "with", "the", "Dodd-Frank", "Act", ".", "The", "Executive", "acknowledges", "and", "agrees", "that", "the", "Company", "may", "from", "time", "to", "time", "establish", "incentive", "compensation", "policies", "that", "may", "apply", "to", "this", "Agreement", "and", "the", "awards", "contemplated", "hereunder", "."]}
{"id": "11873", "text": "WHEREAS, Grant Herlitz (the Grantee) is an employee of The Howard Hughes Corporation (and its successors, the Company);", "ner": [[2, 3, "Parties"], [12, 15, "Parties"]], "tokenized_text": ["WHEREAS", ",", "Grant", "Herlitz", "(", "the", "Grantee", ")", "is", "an", "employee", "of", "The", "Howard", "Hughes", "Corporation", "(", "and", "its", "successors", ",", "the", "Company", ")", ";"]}
{"id": "11874", "text": "WHEREAS, the grant of Restricted Stock was authorized by the Compensation Committee of the Board of Directors of the Company (the Compensation Committee) on October2, 2017 ;", "ner": [[27, 29, "EffectiveDate"]], "tokenized_text": ["WHEREAS", ",", "the", "grant", "of", "Restricted", "Stock", "was", "authorized", "by", "the", "Compensation", "Committee", "of", "the", "Board", "of", "Directors", "of", "the", "Company", "(", "the", "Compensation", "Committee", ")", "on", "October2", ",", "2017", ";"]}
{"id": "11879", "text": "7. Amendments. Any amendment to the Plan shall be deemed to be an amendment to this Agreement to the extent that the amendment is applicable hereto; provided, however, that no amendment shall adversely affect the rights of Grantee under this Agreement without Grantees consent; further, provided, that Grantees consent shall not be required to an amendment that is deemed necessary by the Company to ensure compliance with Section409A of the Code or the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 or any regulations promulgated thereunder, including as a result of the implementation of any recoupment policy the Company adopts to comply with the requirements set forth in the Dodd-Frank Act. < br/>", "ner": [[75, 75, "Regulation"], [81, 90, "Act"], [120, 121, "Act"]], "tokenized_text": ["7", ".", "Amendments", ".", "Any", "amendment", "to", "the", "Plan", "shall", "be", "deemed", "to", "be", "an", "amendment", "to", "this", "Agreement", "to", "the", "extent", "that", "the", "amendment", "is", "applicable", "hereto", ";", "provided", ",", "however", ",", "that", "no", "amendment", "shall", "adversely", "affect", "the", "rights", "of", "Grantee", "under", "this", "Agreement", "without", "Grantees", "consent", ";", "further", ",", "provided", ",", "that", "Grantees", "consent", "shall", "not", "be", "required", "to", "an", "amendment", "that", "is", "deemed", "necessary", "by", "the", "Company", "to", "ensure", "compliance", "with", "Section409A", "of", "the", "Code", "or", "the", "Dodd-Frank", "Wall", "Street", "Reform", "and", "Consumer", "Protection", "Act", "of", "2010", "or", "any", "regulations", "promulgated", "thereunder", ",", "including", "as", "a", "result", "of", "the", "implementation", "of", "any", "recoupment", "policy", "the", "Company", "adopts", "to", "comply", "with", "the", "requirements", "set", "forth", "in", "the", "Dodd-Frank", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "11881", "text": "THE HOWARD HUGHES CORPORATION, a Delaware corporation (the Corporation), is pleased to award and grant you the opportunity to purchase a Warrant (the Warrant) to purchase shares of the Corporations authorized common stock, par value $0.01 per share, subject to the terms and conditions set forth in this Warrant Grant Agreement (this Agreement). The grant of the Warrant is specifically conditioned upon the execution by you of this Agreement. The Date of Grant of the Warrant, the number of shares issuable upon exercise of the Warrant (the Warrant Shares), and the Exercise Price per share are stated above. The Purchase Price shall be paid to the Corporation no later than five (5)business days following the Date of Grant and if not so paid this Agreement shall terminate without further action. This Agreement is not governed by The Howard Hughes Corporation Amended and Restated 2010 Incentive Plan.", "ner": [[42, 45, "Price"], [59, 61, "Title"]], "tokenized_text": ["THE", "HOWARD", "HUGHES", "CORPORATION", ",", "a", "Delaware", "corporation", "(", "the", "Corporation", ")", ",", "is", "pleased", "to", "award", "and", "grant", "you", "the", "opportunity", "to", "purchase", "a", "Warrant", "(", "the", "Warrant", ")", "to", "purchase", "shares", "of", "the", "Corporations", "authorized", "common", "stock", ",", "par", "value", "$", "0", ".", "01", "per", "share", ",", "subject", "to", "the", "terms", "and", "conditions", "set", "forth", "in", "this", "Warrant", "Grant", "Agreement", "(", "this", "Agreement", ")", ".", "The", "grant", "of", "the", "Warrant", "is", "specifically", "conditioned", "upon", "the", "execution", "by", "you", "of", "this", "Agreement", ".", "The", "Date", "of", "Grant", "of", "the", "Warrant", ",", "the", "number", "of", "shares", "issuable", "upon", "exercise", "of", "the", "Warrant", "(", "the", "Warrant", "Shares", ")", ",", "and", "the", "Exercise", "Price", "per", "share", "are", "stated", "above", ".", "The", "Purchase", "Price", "shall", "be", "paid", "to", "the", "Corporation", "no", "later", "than", "five", "(", "5", ")", "business", "days", "following", "the", "Date", "of", "Grant", "and", "if", "not", "so", "paid", "this", "Agreement", "shall", "terminate", "without", "further", "action", ".", "This", "Agreement", "is", "not", "governed", "by", "The", "Howard", "Hughes", "Corporation", "Amended", "and", "Restated", "2010", "Incentive", "Plan", "."]}
{"id": "11884", "text": "(vii) willful and continued failure to substantially perform your duties under the Employment Agreement (other than such failure resulting from your incapacity due to physical or mental illness);", "ner": [[14, 15, "Title"]], "tokenized_text": ["(", "vii", ")", "willful", "and", "continued", "failure", "to", "substantially", "perform", "your", "duties", "under", "the", "Employment", "Agreement", "(", "other", "than", "such", "failure", "resulting", "from", "your", "incapacity", "due", "to", "physical", "or", "mental", "illness", ")", ";"]}
{"id": "11885", "text": "(i) A change in the ownership of the Corporation which shall occur on the date that any one person, or more than one person acting as a group, excluding Pershing Square Management, L.P. and its Affiliates (as defined under the Securities Act of 1933 ), acquires ownership of stock in the Corporation that, together with stock held by such person or group, constitutes more than 50% of the total fair market value or total voting power of the stock of the Corporation; however, if any one person or more than one person acting as a group, is considered to own more than 50% of the total fair market value or total voting power of the stock of the Corporation, the acquisition of additional stock by the same person or persons will not be considered a change in the ownership of the Corporation (or to cause a change in the effective control of the Corporation", "ner": [[49, 52, "Act"], [77, 78, "Percentage"], [118, 119, "Percentage"]], "tokenized_text": ["(", "i", ")", "A", "change", "in", "the", "ownership", "of", "the", "Corporation", "which", "shall", "occur", "on", "the", "date", "that", "any", "one", "person", ",", "or", "more", "than", "one", "person", "acting", "as", "a", "group", ",", "excluding", "Pershing", "Square", "Management", ",", "L", ".", "P", ".", "and", "its", "Affiliates", "(", "as", "defined", "under", "the", "Securities", "Act", "of", "1933", ")", ",", "acquires", "ownership", "of", "stock", "in", "the", "Corporation", "that", ",", "together", "with", "stock", "held", "by", "such", "person", "or", "group", ",", "constitutes", "more", "than", "50", "%", "of", "the", "total", "fair", "market", "value", "or", "total", "voting", "power", "of", "the", "stock", "of", "the", "Corporation", ";", "however", ",", "if", "any", "one", "person", "or", "more", "than", "one", "person", "acting", "as", "a", "group", ",", "is", "considered", "to", "own", "more", "than", "50", "%", "of", "the", "total", "fair", "market", "value", "or", "total", "voting", "power", "of", "the", "stock", "of", "the", "Corporation", ",", "the", "acquisition", "of", "additional", "stock", "by", "the", "same", "person", "or", "persons", "will", "not", "be", "considered", "a", "change", "in", "the", "ownership", "of", "the", "Corporation", "(", "or", "to", "cause", "a", "change", "in", "the", "effective", "control", "of", "the", "Corporation"]}
{"id": "11886", "text": "(i) Employment Agreement means the employment agreement, if any, between the Corporation and Grant Herlitz that is in effect on the date in question.", "ner": [[3, 4, "Title"], [7, 8, "Title"], [17, 18, "Parties"]], "tokenized_text": ["(", "i", ")", "Employment", "Agreement", "means", "the", "employment", "agreement", ",", "if", "any", ",", "between", "the", "Corporation", "and", "Grant", "Herlitz", "that", "is", "in", "effect", "on", "the", "date", "in", "question", "."]}
{"id": "11887", "text": "(j) Exchange Act means the Securities Exchange Act of 1934 .", "ner": [[3, 4, "Act"], [7, 11, "Act"]], "tokenized_text": ["(", "j", ")", "Exchange", "Act", "means", "the", "Securities", "Exchange", "Act", "of", "1934", "."]}
{"id": "11888", "text": "(iv) any other action or inaction that constitutes a material breach by the Corporation of the Employment Agreement ;", "ner": [[18, 19, "Title"]], "tokenized_text": ["(", "iv", ")", "any", "other", "action", "or", "inaction", "that", "constitutes", "a", "material", "breach", "by", "the", "Corporation", "of", "the", "Employment", "Agreement", ";"]}
{"id": "11889", "text": "16. Exchange Act Compliance. The Board of Directors shall take all steps necessary to ensure that the purchase and exercise of the Warrant are exempt from Section16(b)of the Exchange Act .< br/>", "ner": [[2, 3, "Act"], [7, 9, "Role"], [28, 31, "Regulation"], [34, 35, "Act"]], "tokenized_text": ["16", ".", "Exchange", "Act", "Compliance", ".", "The", "Board", "of", "Directors", "shall", "take", "all", "steps", "necessary", "to", "ensure", "that", "the", "purchase", "and", "exercise", "of", "the", "Warrant", "are", "exempt", "from", "Section16", "(", "b", ")", "of", "the", "Exchange", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "11891", "text": "24. Governing Law. All questions arising with respect to the provisions of this Agreement shall be determined by application of the laws of the State of Delaware except to the extent Delaware law is preempted by federal law.", "ner": [[26, 28, "Court"]], "tokenized_text": ["24", ".", "Governing", "Law", ".", "All", "questions", "arising", "with", "respect", "to", "the", "provisions", "of", "this", "Agreement", "shall", "be", "determined", "by", "application", "of", "the", "laws", "of", "the", "State", "of", "Delaware", "except", "to", "the", "extent", "Delaware", "law", "is", "preempted", "by", "federal", "law", "."]}
{"id": "11894", "text": "NOW THEREFORE, in consideration of certain payments and benefits under the Employment Agreement , Executive and the Company agree as follows:", "ner": [[12, 13, "Title"], [15, 15, "Parties"], [18, 18, "Parties"]], "tokenized_text": ["NOW", "THEREFORE", ",", "in", "consideration", "of", "certain", "payments", "and", "benefits", "under", "the", "Employment", "Agreement", ",", "Executive", "and", "the", "Company", "agree", "as", "follows", ":"]}
{"id": "11895", "text": "1. Executive expressly waives and releases the Company, its affiliates and related entities, parent corporations and subsidiaries, and all current and former directors, administrators, supervisors, managers, agents, officers, partners, stockholders, attorneys, insurers and employees of the Company and its affiliates, related entities, parent corporations and subsidiaries, and their successors and assigns (the Company Released Entities), from any and all claims, actions and causes of action, at law or in equity, known or unknown, including, without limitation, those directly or indirectly relating to or connected with Executives employment with the Company or termination of such employment, including but not limited to any and all claims under the Texas Commission on Human Rights Act , the Texas Payday Act , the Employee Retirement Income Security Act of 1974 , Title VII of the Civil Rights Act of 1964 , the Age Discrimination in Employment Act , the Americans with Disabilities Act , as such Acts have been amended, and all other forms of employment discrimination whether under federal, state or local statute or ordinance, wrongful termination, retaliatory discharge, breach of express, implied, or oral contract, interference with contractual relations, defamation, intentional infliction of emotional distress and any other tort or contract claim under common law of any state or for attorneys fees, based on any act, transaction, circumstance or event arising up to and including the date of Executives execution of this Release; provided, however, that (i)nothing herein shall limit or impede Executives right to file or pursue an administrative charge with, or participate in, any investigation before the Equal Employment Opportunity Commission, or any similar local, state or federal agency, or to file a claim for unemployment compensation benefits, and/or any causes of action which by law Executive may not legally waive, (ii)Executive does not release the Company Released Entities from any rights and/or claims (a)Executive may have that arise after the date Executive signs this Release, (b)that by law cannot be waived by private agreement, (c)to enforce the Employment Agreement in accordance with its terms (including the severance provisions set forth in the Employment Agreement ), subject to the terms of this Release or (d)to enforce this Release. Executive agrees, however, that if Executive or anyone acting on Executives behalf, brings any action concerning or related to any cause of action or liability released in this Release, Executive waives any right to, and will not accept, any payments, monies, damages, or other relief, awarded in connection therewith. Notwithstanding anything to", "ner": [[132, 137, "Act"], [140, 142, "Act"], [145, 151, "Act"], [157, 161, "Act"], [164, 168, "Act"], [171, 174, "Act"], [304, 307, "Court"], [398, 399, "Title"]], "tokenized_text": ["1", ".", "Executive", "expressly", "waives", "and", "releases", "the", "Company", ",", "its", "affiliates", "and", "related", "entities", ",", "parent", "corporations", "and", "subsidiaries", ",", "and", "all", "current", "and", "former", "directors", ",", "administrators", ",", "supervisors", ",", "managers", ",", "agents", ",", "officers", ",", "partners", ",", "stockholders", ",", "attorneys", ",", "insurers", "and", "employees", "of", "the", "Company", "and", "its", "affiliates", ",", "related", "entities", ",", "parent", "corporations", "and", "subsidiaries", ",", "and", "their", "successors", "and", "assigns", "(", "the", "Company", "Released", "Entities", ")", ",", "from", "any", "and", "all", "claims", ",", "actions", "and", "causes", "of", "action", ",", "at", "law", "or", "in", "equity", ",", "known", "or", "unknown", ",", "including", ",", "without", "limitation", ",", "those", "directly", "or", "indirectly", "relating", "to", "or", "connected", "with", "Executives", "employment", "with", "the", "Company", "or", "termination", "of", "such", "employment", ",", "including", "but", "not", "limited", "to", "any", "and", "all", "claims", "under", "the", "Texas", "Commission", "on", "Human", "Rights", "Act", ",", "the", "Texas", "Payday", "Act", ",", "the", "Employee", "Retirement", "Income", "Security", "Act", "of", "1974", ",", "Title", "VII", "of", "the", "Civil", "Rights", "Act", "of", "1964", ",", "the", "Age", "Discrimination", "in", "Employment", "Act", ",", "the", "Americans", "with", "Disabilities", "Act", ",", "as", "such", "Acts", "have", "been", "amended", ",", "and", "all", "other", "forms", "of", "employment", "discrimination", "whether", "under", "federal", ",", "state", "or", "local", "statute", "or", "ordinance", ",", "wrongful", "termination", ",", "retaliatory", "discharge", ",", "breach", "of", "express", ",", "implied", ",", "or", "oral", "contract", ",", "interference", "with", "contractual", "relations", ",", "defamation", ",", "intentional", "infliction", "of", "emotional", "distress", "and", "any", "other", "tort", "or", "contract", "claim", "under", "common", "law", "of", "any", "state", "or", "for", "attorneys", "fees", ",", "based", "on", "any", "act", ",", "transaction", ",", "circumstance", "or", "event", "arising", "up", "to", "and", "including", "the", "date", "of", "Executives", "execution", "of", "this", "Release", ";", "provided", ",", "however", ",", "that", "(", "i", ")", "nothing", "herein", "shall", "limit", "or", "impede", "Executives", "right", "to", "file", "or", "pursue", "an", "administrative", "charge", "with", ",", "or", "participate", "in", ",", "any", "investigation", "before", "the", "Equal", "Employment", "Opportunity", "Commission", ",", "or", "any", "similar", "local", ",", "state", "or", "federal", "agency", ",", "or", "to", "file", "a", "claim", "for", "unemployment", "compensation", "benefits", ",", "and", "/", "or", "any", "causes", "of", "action", "which", "by", "law", "Executive", "may", "not", "legally", "waive", ",", "(", "ii", ")", "Executive", "does", "not", "release", "the", "Company", "Released", "Entities", "from", "any", "rights", "and", "/", "or", "claims", "(", "a", ")", "Executive", "may", "have", "that", "arise", "after", "the", "date", "Executive", "signs", "this", "Release", ",", "(", "b", ")", "that", "by", "law", "cannot", "be", "waived", "by", "private", "agreement", ",", "(", "c", ")", "to", "enforce", "the", "Employment", "Agreement", "in", "accordance", "with", "its", "terms", "(", "including", "the", "severance", "provisions", "set", "forth", "in", "the", "Employment", "Agreement", ")", ",", "subject", "to", "the", "terms", "of", "this", "Release", "or", "(", "d", ")", "to", "enforce", "this", "Release", ".", "Executive", "agrees", ",", "however", ",", "that", "if", "Executive", "or", "anyone", "acting", "on", "Executives", "behalf", ",", "brings", "any", "action", "concerning", "or", "related", "to", "any", "cause", "of", "action", "or", "liability", "released", "in", "this", "Release", ",", "Executive", "waives", "any", "right", "to", ",", "and", "will", "not", "accept", ",", "any", "payments", ",", "monies", ",", "damages", ",", "or", "other", "relief", ",", "awarded", "in", "connection", "therewith", ".", "Notwithstanding", "anything", "to"]}
{"id": "11899", "text": "date that Executive signs this Release; (c)rights or claims that may arise under the Age Discrimination in Employment Act or otherwise after the date that Executive signs this Release; or (d)any right to indemnification or directors and officers liability insurance coverage to with Executive is otherwise entitled in accordance with the Employment Agreement .", "ner": [[18, 22, "Act"], [59, 60, "Title"]], "tokenized_text": ["date", "that", "Executive", "signs", "this", "Release", ";", "(", "c", ")", "rights", "or", "claims", "that", "may", "arise", "under", "the", "Age", "Discrimination", "in", "Employment", "Act", "or", "otherwise", "after", "the", "date", "that", "Executive", "signs", "this", "Release", ";", "or", "(", "d", ")", "any", "right", "to", "indemnification", "or", "directors", "and", "officers", "liability", "insurance", "coverage", "to", "with", "Executive", "is", "otherwise", "entitled", "in", "accordance", "with", "the", "Employment", "Agreement", "."]}
{"id": "11903", "text": "(c) Equity Awards. Executive shall be eligible to receive incentive awards pursuant to the terms of the Banks Executive Long Term Incentive Plan and the Holding Companys 2008 Equity Incentive Plan, and any successor plans thereto. On the Effective Date, Executive shall be granted (1) Four Thousand ( 4,000 ) Restricted Stock shares pursuant to the terms of a Restricted Stock Agreement and (2) Eight Thousand ( 8,000 ) stock options (Options) in the Holding Company pursuant to the terms of a Stock Option Agreement.", "ner": [[53, 54, "Shares"], [56, 58, "Shares"], [69, 71, "Title"], [79, 81, "Shares"], [98, 100, "Title"]], "tokenized_text": ["(", "c", ")", "Equity", "Awards", ".", "Executive", "shall", "be", "eligible", "to", "receive", "incentive", "awards", "pursuant", "to", "the", "terms", "of", "the", "Banks", "Executive", "Long", "Term", "Incentive", "Plan", "and", "the", "Holding", "Companys", "2008", "Equity", "Incentive", "Plan", ",", "and", "any", "successor", "plans", "thereto", ".", "On", "the", "Effective", "Date", ",", "Executive", "shall", "be", "granted", "(", "1", ")", "Four", "Thousand", "(", "4", ",", "000", ")", "Restricted", "Stock", "shares", "pursuant", "to", "the", "terms", "of", "a", "Restricted", "Stock", "Agreement", "and", "(", "2", ")", "Eight", "Thousand", "(", "8", ",", "000", ")", "stock", "options", "(", "Options", ")", "in", "the", "Holding", "Company", "pursuant", "to", "the", "terms", "of", "a", "Stock", "Option", "Agreement", "."]}
{"id": "11908", "text": "iv. If a notice served under section 8(e)(3) or (g)(l) of the FDIA ( 12 U.S.C. 1818 (e)(3) or (g)(l)) suspends and/or temporarily prohibits the Executive from participating in the conduct of the Bank's affairs, the Bank's obligations under this Agreement shall be suspended as of the date of such service unless stayed by appropriate proceedings. If the charges in the notice are dismissed, the Bank may in its discretion [a] pay the Executive all or part of the compensation withheld while its contract obligations were suspended, and/or [b] reinstate (in whole or in part) any of its obligations which were suspended.", "ner": [[24, 24, "Act"], [26, 33, "Regulation"]], "tokenized_text": ["iv", ".", "If", "a", "notice", "served", "under", "section", "8", "(", "e", ")", "(", "3", ")", "or", "(", "g", ")", "(", "l", ")", "of", "the", "FDIA", "(", "12", "U", ".", "S", ".", "C", ".", "1818", "(", "e", ")", "(", "3", ")", "or", "(", "g", ")", "(", "l", ")", ")", "suspends", "and", "/", "or", "temporarily", "prohibits", "the", "Executive", "from", "participating", "in", "the", "conduct", "of", "the", "Bank", "'", "s", "affairs", ",", "the", "Bank", "'", "s", "obligations", "under", "this", "Agreement", "shall", "be", "suspended", "as", "of", "the", "date", "of", "such", "service", "unless", "stayed", "by", "appropriate", "proceedings", ".", "If", "the", "charges", "in", "the", "notice", "are", "dismissed", ",", "the", "Bank", "may", "in", "its", "discretion", "[", "a", "]", "pay", "the", "Executive", "all", "or", "part", "of", "the", "compensation", "withheld", "while", "its", "contract", "obligations", "were", "suspended", ",", "and", "/", "or", "[", "b", "]", "reinstate", "(", "in", "whole", "or", "in", "part", ")", "any", "of", "its", "obligations", "which", "were", "suspended", "."]}
{"id": "11910", "text": "provided that Executive or his spouse or dependents elect continuation coverage under a group health plan of the Company pursuant to the requirements of Section 4980B of the Code, as amended, and any similar applicable law, ( COBRA ), continued participation in the Companys medical and dental plans with monthly premiums to be paid by the Company", "ner": [[24, 25, "Regulation"], [40, 40, "Act"]], "tokenized_text": ["provided", "that", "Executive", "or", "his", "spouse", "or", "dependents", "elect", "continuation", "coverage", "under", "a", "group", "health", "plan", "of", "the", "Company", "pursuant", "to", "the", "requirements", "of", "Section", "4980B", "of", "the", "Code", ",", "as", "amended", ",", "and", "any", "similar", "applicable", "law", ",", "(", "COBRA", ")", ",", "continued", "participation", "in", "the", "Companys", "medical", "and", "dental", "plans", "with", "monthly", "premiums", "to", "be", "paid", "by", "the", "Company"]}
{"id": "11911", "text": "until the earlier of (A) Executives eligibility for coverage under another employers group health plan, (B) termination of Executives or his spouses or dependents rights to continuation coverage under COBRA , or (C) six (6) months following the termination of Executives employment with the Company. Executive agrees and acknowledges that the period of coverage under such plans shall run concurrently with such plans obligations to provide continuation coverage pursuant to COBRA , and that this subsection shall not limit such plans obligations to provide continuation coverage under COBRA .", "ner": [[34, 34, "Act"], [80, 80, "Act"], [97, 97, "Act"]], "tokenized_text": ["until", "the", "earlier", "of", "(", "A", ")", "Executives", "eligibility", "for", "coverage", "under", "another", "employers", "group", "health", "plan", ",", "(", "B", ")", "termination", "of", "Executives", "or", "his", "spouses", "or", "dependents", "rights", "to", "continuation", "coverage", "under", "COBRA", ",", "or", "(", "C", ")", "six", "(", "6", ")", "months", "following", "the", "termination", "of", "Executives", "employment", "with", "the", "Company", ".", "Executive", "agrees", "and", "acknowledges", "that", "the", "period", "of", "coverage", "under", "such", "plans", "shall", "run", "concurrently", "with", "such", "plans", "obligations", "to", "provide", "continuation", "coverage", "pursuant", "to", "COBRA", ",", "and", "that", "this", "subsection", "shall", "not", "limit", "such", "plans", "obligations", "to", "provide", "continuation", "coverage", "under", "COBRA", "."]}
{"id": "11913", "text": "provided that Executive or his spouse or dependents elect continuation coverage under a group health plan of the Company pursuant to the requirements of Section 4980B of the Code, as amended, and any similar applicable law, ( COBRA ), continued participation in the Companys medical and dental plans with monthly premiums to be paid by the Company until the earlier of (A) Executives eligibility for coverage under another employers group health plan, (B) termination of Executives or his spouses or dependents rights to continuation coverage under COBRA , or (C) fifteen (15) months following the termination of Executives employment with the Company. Executive agrees and acknowledges that the period of coverage under such plans shall run concurrently with such plans obligations to provide continuation coverage pursuant to COBRA , and that this subsection shall not limit such plans obligations to provide continuation coverage under COBRA .", "ner": [[24, 25, "Regulation"], [40, 40, "Act"], [95, 95, "Act"], [141, 141, "Act"], [158, 158, "Act"]], "tokenized_text": ["provided", "that", "Executive", "or", "his", "spouse", "or", "dependents", "elect", "continuation", "coverage", "under", "a", "group", "health", "plan", "of", "the", "Company", "pursuant", "to", "the", "requirements", "of", "Section", "4980B", "of", "the", "Code", ",", "as", "amended", ",", "and", "any", "similar", "applicable", "law", ",", "(", "COBRA", ")", ",", "continued", "participation", "in", "the", "Companys", "medical", "and", "dental", "plans", "with", "monthly", "premiums", "to", "be", "paid", "by", "the", "Company", "until", "the", "earlier", "of", "(", "A", ")", "Executives", "eligibility", "for", "coverage", "under", "another", "employers", "group", "health", "plan", ",", "(", "B", ")", "termination", "of", "Executives", "or", "his", "spouses", "or", "dependents", "rights", "to", "continuation", "coverage", "under", "COBRA", ",", "or", "(", "C", ")", "fifteen", "(", "15", ")", "months", "following", "the", "termination", "of", "Executives", "employment", "with", "the", "Company", ".", "Executive", "agrees", "and", "acknowledges", "that", "the", "period", "of", "coverage", "under", "such", "plans", "shall", "run", "concurrently", "with", "such", "plans", "obligations", "to", "provide", "continuation", "coverage", "pursuant", "to", "COBRA", ",", "and", "that", "this", "subsection", "shall", "not", "limit", "such", "plans", "obligations", "to", "provide", "continuation", "coverage", "under", "COBRA", "."]}
{"id": "11914", "text": "16680 32nd Avenue N.", "ner": [[0, 4, "Address"]], "tokenized_text": ["16680", "32nd", "Avenue", "N", "."]}
{"id": "11918", "text": "James S. Broucek By:", "ner": [], "tokenized_text": ["James", "S", ".", "Broucek", "By", ":"]}
{"id": "11920", "text": "This Agreement (the Agreement), dated as of November 10, 2015 , is by and between Turnpoint Medical Devices, Inc. (the Company) and John R. Toedtman (the Executive).", "ner": [[10, 13, "EffectiveDate"], [19, 24, "Parties"], [30, 33, "Parties"]], "tokenized_text": ["This", "Agreement", "(", "the", "Agreement", ")", ",", "dated", "as", "of", "November", "10", ",", "2015", ",", "is", "by", "and", "between", "Turnpoint", "Medical", "Devices", ",", "Inc", ".", "(", "the", "Company", ")", "and", "John", "R", ".", "Toedtman", "(", "the", "Executive", ")", "."]}
{"id": "11921", "text": "1.Effective Date; Term. This Agreement shall become effective on November 10, 2015 (the Effective Date).", "ner": [[13, 16, "EffectiveDate"]], "tokenized_text": ["1", ".", "Effective", "Date", ";", "Term", ".", "This", "Agreement", "shall", "become", "effective", "on", "November", "10", ",", "2015", "(", "the", "Effective", "Date", ")", "."]}
{"id": "11923", "text": "2.Duties. The Executive shall serve as the Chairman and Chief Executive Officer (CEO) of the Company and shall have such duties of an executive nature as the Board shall determine from time to time which are customary and appropriate for the position of President and Chief Executive Officer, and for companies of similar size. The Executive will report to the Board of Directors.", "ner": [[10, 10, "Role"], [12, 14, "Role"], [16, 16, "Role"], [48, 48, "Role"], [50, 52, "Role"]], "tokenized_text": ["2", ".", "Duties", ".", "The", "Executive", "shall", "serve", "as", "the", "Chairman", "and", "Chief", "Executive", "Officer", "(", "CEO", ")", "of", "the", "Company", "and", "shall", "have", "such", "duties", "of", "an", "executive", "nature", "as", "the", "Board", "shall", "determine", "from", "time", "to", "time", "which", "are", "customary", "and", "appropriate", "for", "the", "position", "of", "President", "and", "Chief", "Executive", "Officer", ",", "and", "for", "companies", "of", "similar", "size", ".", "The", "Executive", "will", "report", "to", "the", "Board", "of", "Directors", "."]}
{"id": "11924", "text": "(a)Base Salary. The Executive will receive a salary at the rate of $240,000 annually (the Base Salary), payable in equal increments pursuant to the Companys normal payroll practices. The Board shall, in good faith, review the amount of the Executives Base Salary and Bonus target on an annual basis. The amount of the Base Salary may not be decreased at any time.", "ner": [[16, 19, "Salary"]], "tokenized_text": ["(", "a", ")", "Base", "Salary", ".", "The", "Executive", "will", "receive", "a", "salary", "at", "the", "rate", "of", "$", "240", ",", "000", "annually", "(", "the", "Base", "Salary", ")", ",", "payable", "in", "equal", "increments", "pursuant", "to", "the", "Companys", "normal", "payroll", "practices", ".", "The", "Board", "shall", ",", "in", "good", "faith", ",", "review", "the", "amount", "of", "the", "Executives", "Base", "Salary", "and", "Bonus", "target", "on", "an", "annual", "basis", ".", "The", "amount", "of", "the", "Base", "Salary", "may", "not", "be", "decreased", "at", "any", "time", "."]}
{"id": "11926", "text": "(d)Initial Options Award. The Board or any committee of the Board (the Committee) appointed to administer the Companys Equity Incentive Plan, as may be amended from time to time (the Stock Plan) shall award Executive as of the Effective Date, options to purchase shares of the Companys common stock, $0.01 par value per share,, having an exercise price equal to the common stocks fair market value as determined by the Board or Committee as of the Effective Date, which options shall be subject to certain restrictions (the Initial Options Award). Such exercise price shall be no higher than the $ 1.50 per share price established in the most recent fair market evaluation. The Initial Options Award shall vest in four (4) equal amounts, starting with 25% of the Initial Option Award vesting upon the signing of this agreement, and 25% upon each of the first, second and third anniversaries of the Effective Date, provided that Executive is employed on each vesting date. The Initial Options Award shall be granted pursuant to and shall be subject to all of the terms and conditions imposed upon such awards granted under the Stock Plan and shall be evidenced by an Incentive Stock Option Agreement in the form approved by the Board or Committee. As a condition to receiving the Initial Options Award, Executive shall if requested, execute and deliver a letter in a form approved by the Companys underwriters agreeing not to sell any shares of Company common stock during a customary period following the completion of an initial public offering of the Companys common stock.", "ner": [[60, 63, "Price"], [119, 122, "Price"], [151, 152, "Percentage"], [229, 232, "Title"]], "tokenized_text": ["(", "d", ")", "Initial", "Options", "Award", ".", "The", "Board", "or", "any", "committee", "of", "the", "Board", "(", "the", "Committee", ")", "appointed", "to", "administer", "the", "Companys", "Equity", "Incentive", "Plan", ",", "as", "may", "be", "amended", "from", "time", "to", "time", "(", "the", "Stock", "Plan", ")", "shall", "award", "Executive", "as", "of", "the", "Effective", "Date", ",", "options", "to", "purchase", "shares", "of", "the", "Companys", "common", "stock", ",", "$", "0", ".", "01", "par", "value", "per", "share", ",", ",", "having", "an", "exercise", "price", "equal", "to", "the", "common", "stocks", "fair", "market", "value", "as", "determined", "by", "the", "Board", "or", "Committee", "as", "of", "the", "Effective", "Date", ",", "which", "options", "shall", "be", "subject", "to", "certain", "restrictions", "(", "the", "Initial", "Options", "Award", ")", ".", "Such", "exercise", "price", "shall", "be", "no", "higher", "than", "the", "$", "1", ".", "50", "per", "share", "price", "established", "in", "the", "most", "recent", "fair", "market", "evaluation", ".", "The", "Initial", "Options", "Award", "shall", "vest", "in", "four", "(", "4", ")", "equal", "amounts", ",", "starting", "with", "25", "%", "of", "the", "Initial", "Option", "Award", "vesting", "upon", "the", "signing", "of", "this", "agreement", ",", "and", "25", "%", "upon", "each", "of", "the", "first", ",", "second", "and", "third", "anniversaries", "of", "the", "Effective", "Date", ",", "provided", "that", "Executive", "is", "employed", "on", "each", "vesting", "date", ".", "The", "Initial", "Options", "Award", "shall", "be", "granted", "pursuant", "to", "and", "shall", "be", "subject", "to", "all", "of", "the", "terms", "and", "conditions", "imposed", "upon", "such", "awards", "granted", "under", "the", "Stock", "Plan", "and", "shall", "be", "evidenced", "by", "an", "Incentive", "Stock", "Option", "Agreement", "in", "the", "form", "approved", "by", "the", "Board", "or", "Committee", ".", "As", "a", "condition", "to", "receiving", "the", "Initial", "Options", "Award", ",", "Executive", "shall", "if", "requested", ",", "execute", "and", "deliver", "a", "letter", "in", "a", "form", "approved", "by", "the", "Companys", "underwriters", "agreeing", "not", "to", "sell", "any", "shares", "of", "Company", "common", "stock", "during", "a", "customary", "period", "following", "the", "completion", "of", "an", "initial", "public", "offering", "of", "the", "Companys", "common", "stock", "."]}
{"id": "11931", "text": "13.Notices. All notices, demands or other communications hereunder shall be in writing and shall be deemed to have been duly given if delivered in person, by e-mail or fax, by United States mail, certified or registered with return receipt requested, or by a nationally recognized overnight courier service, or otherwise actually delivered: (a) if to the Executive, to the address set forth on the signature page hereof; (b) if to the Company, Chairman, Turnpoint Medical Devices, Inc. , 150 Allen Road, Suite 305, Basking Ridge, NJ 07920 , with copies (which shall not constitute notice) to CEO, Turnpoint Medical Devices, Inc. 150 Allen Road, Suite 305, Basking Ridge, NJ 07920 ; or (c) or at such other address as may have been furnished by such person in writing to the other parties. Any such notice, demand or communication shall be deemed given on the date given, if delivered in person, e-mailed or faxed, on the date received, if given by registered or certified mail, return receipt requested or given by overnight delivery service, or three days after the date mailed, if otherwise given by first class mail, postage prepaid.", "ner": [[89, 89, "Role"], [98, 109, "Address"], [121, 121, "Role"]], "tokenized_text": ["13", ".", "Notices", ".", "All", "notices", ",", "demands", "or", "other", "communications", "hereunder", "shall", "be", "in", "writing", "and", "shall", "be", "deemed", "to", "have", "been", "duly", "given", "if", "delivered", "in", "person", ",", "by", "e-mail", "or", "fax", ",", "by", "United", "States", "mail", ",", "certified", "or", "registered", "with", "return", "receipt", "requested", ",", "or", "by", "a", "nationally", "recognized", "overnight", "courier", "service", ",", "or", "otherwise", "actually", "delivered", ":", "(", "a", ")", "if", "to", "the", "Executive", ",", "to", "the", "address", "set", "forth", "on", "the", "signature", "page", "hereof", ";", "(", "b", ")", "if", "to", "the", "Company", ",", "Chairman", ",", "Turnpoint", "Medical", "Devices", ",", "Inc", ".", ",", "150", "Allen", "Road", ",", "Suite", "305", ",", "Basking", "Ridge", ",", "NJ", "07920", ",", "with", "copies", "(", "which", "shall", "not", "constitute", "notice", ")", "to", "CEO", ",", "Turnpoint", "Medical", "Devices", ",", "Inc", ".", "150", "Allen", "Road", ",", "Suite", "305", ",", "Basking", "Ridge", ",", "NJ", "07920", ";", "or", "(", "c", ")", "or", "at", "such", "other", "address", "as", "may", "have", "been", "furnished", "by", "such", "person", "in", "writing", "to", "the", "other", "parties", ".", "Any", "such", "notice", ",", "demand", "or", "communication", "shall", "be", "deemed", "given", "on", "the", "date", "given", ",", "if", "delivered", "in", "person", ",", "e-mailed", "or", "faxed", ",", "on", "the", "date", "received", ",", "if", "given", "by", "registered", "or", "certified", "mail", ",", "return", "receipt", "requested", "or", "given", "by", "overnight", "delivery", "service", ",", "or", "three", "days", "after", "the", "date", "mailed", ",", "if", "otherwise", "given", "by", "first", "class", "mail", ",", "postage", "prepaid", "."]}
{"id": "11932", "text": "16.Governing Law; Consent to Jurisdiction. This Agreement shall be governed by and construed in accordance with the internal laws of the State of Delaware , without regard to its choice of law provisions. Any proceeding arising out of or relating to this Agreement shall be brought in the courts of the State of Delaware , or, if it has or can acquire jurisdiction, in the United States District Court for the District of Delaware. This provision may be filed with any court as written evidence of the knowing and voluntary irrevocable agreement between parties to waive any objections to jurisdiction, venue or convenience of forum.", "ner": [[25, 27, "Court"], [78, 80, "Court"]], "tokenized_text": ["16", ".", "Governing", "Law", ";", "Consent", "to", "Jurisdiction", ".", "This", "Agreement", "shall", "be", "governed", "by", "and", "construed", "in", "accordance", "with", "the", "internal", "laws", "of", "the", "State", "of", "Delaware", ",", "without", "regard", "to", "its", "choice", "of", "law", "provisions", ".", "Any", "proceeding", "arising", "out", "of", "or", "relating", "to", "this", "Agreement", "shall", "be", "brought", "in", "the", "courts", "of", "the", "State", "of", "Delaware", ",", "or", ",", "if", "it", "has", "or", "can", "acquire", "jurisdiction", ",", "in", "the", "United", "States", "District", "Court", "for", "the", "District", "of", "Delaware", ".", "This", "provision", "may", "be", "filed", "with", "any", "court", "as", "written", "evidence", "of", "the", "knowing", "and", "voluntary", "irrevocable", "agreement", "between", "parties", "to", "waive", "any", "objections", "to", "jurisdiction", ",", "venue", "or", "convenience", "of", "forum", "."]}
{"id": "11934", "text": "between Turnpoint Medical Devices, Inc. and John R. Toedtman", "ner": [[1, 6, "Parties"], [8, 11, "Parties"]], "tokenized_text": ["between", "Turnpoint", "Medical", "Devices", ",", "Inc", ".", "and", "John", "R", ".", "Toedtman"]}
{"id": "11936", "text": "This Employment Agreement (this Agreement) is made as of the 16th day of March, 2017 , by and between Exactus Inc (the Company) and Kelley Wendt (the Employee) and in light of the following circumstances:", "ner": [[1, 2, "Title"], [12, 17, "EffectiveDate"], [22, 23, "Parties"], [29, 30, "Parties"]], "tokenized_text": ["This", "Employment", "Agreement", "(", "this", "Agreement", ")", "is", "made", "as", "of", "the", "16th", "day", "of", "March", ",", "2017", ",", "by", "and", "between", "Exactus", "Inc", "(", "the", "Company", ")", "and", "Kelley", "Wendt", "(", "the", "Employee", ")", "and", "in", "light", "of", "the", "following", "circumstances", ":"]}
{"id": "11937", "text": "WHEREAS, Employee became a full time employee of the Company effective as of February 1, 2017 (the Effective Date); and", "ner": [[14, 17, "EffectiveDate"]], "tokenized_text": ["WHEREAS", ",", "Employee", "became", "a", "full", "time", "employee", "of", "the", "Company", "effective", "as", "of", "February", "1", ",", "2017", "(", "the", "Effective", "Date", ")", ";", "and"]}
{"id": "11940", "text": "(b) During the Employment Period, Employee shall devote her best efforts and her full business time and attention (except for permitted vacation periods and reasonable periods of illness or other incapacity) to the business and affairs of the Company. Employee shall perform her duties, responsibilities and functions to the Company hereunder to the best of her abilities in a diligent, trustworthy, professional and efficient manner and shall comply with the Companys policies and procedures now in effect or as they may be revised or amended from time to time in the Companys discretion. During the Employment Period, Employee shall not serve as an employee, officer, director, manager, trustee or the equivalent of, or otherwise perform services for compensation for, any entity other than the Company without the prior written consent of the Company, which consent may be given or withheld in the Companys sole discretion. Notwithstanding the foregoing, Employee shall be permitted to continue to perform financial consulting services to Employees pre-existing clients for whom she had provided significant financial consulting services at any time in the two (2) years preceding the Effective Date (the Pre-Existing Clients), provided, and only for so long as, such services for the Pre-Existing Clients do not raise or present a conflict-of- interest, or the reasonable appearance thereof, or otherwise interfere with her employment hereunder, in each case as determined by the Company at its discretion. Nothing contained in this Agreement shall prohibit Employee from serving as an officer or director of, or otherwise participating in, purely educational, welfare, social, religious and civic organizations, in each case so long as such activities do not interfere with Employees employment hereunder.", "ner": [], "tokenized_text": ["(", "b", ")", "During", "the", "Employment", "Period", ",", "Employee", "shall", "devote", "her", "best", "efforts", "and", "her", "full", "business", "time", "and", "attention", "(", "except", "for", "permitted", "vacation", "periods", "and", "reasonable", "periods", "of", "illness", "or", "other", "incapacity", ")", "to", "the", "business", "and", "affairs", "of", "the", "Company", ".", "Employee", "shall", "perform", "her", "duties", ",", "responsibilities", "and", "functions", "to", "the", "Company", "hereunder", "to", "the", "best", "of", "her", "abilities", "in", "a", "diligent", ",", "trustworthy", ",", "professional", "and", "efficient", "manner", "and", "shall", "comply", "with", "the", "Companys", "policies", "and", "procedures", "now", "in", "effect", "or", "as", "they", "may", "be", "revised", "or", "amended", "from", "time", "to", "time", "in", "the", "Companys", "discretion", ".", "During", "the", "Employment", "Period", ",", "Employee", "shall", "not", "serve", "as", "an", "employee", ",", "officer", ",", "director", ",", "manager", ",", "trustee", "or", "the", "equivalent", "of", ",", "or", "otherwise", "perform", "services", "for", "compensation", "for", ",", "any", "entity", "other", "than", "the", "Company", "without", "the", "prior", "written", "consent", "of", "the", "Company", ",", "which", "consent", "may", "be", "given", "or", "withheld", "in", "the", "Companys", "sole", "discretion", ".", "Notwithstanding", "the", "foregoing", ",", "Employee", "shall", "be", "permitted", "to", "continue", "to", "perform", "financial", "consulting", "services", "to", "Employees", "pre-existing", "clients", "for", "whom", "she", "had", "provided", "significant", "financial", "consulting", "services", "at", "any", "time", "in", "the", "two", "(", "2", ")", "years", "preceding", "the", "Effective", "Date", "(", "the", "Pre-Existing", "Clients", ")", ",", "provided", ",", "and", "only", "for", "so", "long", "as", ",", "such", "services", "for", "the", "Pre-Existing", "Clients", "do", "not", "raise", "or", "present", "a", "conflict-of", "-", "interest", ",", "or", "the", "reasonable", "appearance", "thereof", ",", "or", "otherwise", "interfere", "with", "her", "employment", "hereunder", ",", "in", "each", "case", "as", "determined", "by", "the", "Company", "at", "its", "discretion", ".", "Nothing", "contained", "in", "this", "Agreement", "shall", "prohibit", "Employee", "from", "serving", "as", "an", "officer", "or", "director", "of", ",", "or", "otherwise", "participating", "in", ",", "purely", "educational", ",", "welfare", ",", "social", ",", "religious", "and", "civic", "organizations", ",", "in", "each", "case", "so", "long", "as", "such", "activities", "do", "not", "interfere", "with", "Employees", "employment", "hereunder", "."]}
{"id": "11942", "text": "4870 Sadler Rd suite 300", "ner": [[0, 4, "Address"]], "tokenized_text": ["4870", "Sadler", "Rd", "suite", "300"]}
{"id": "11943", "text": "Glen Allen VA 23060", "ner": [[0, 3, "Address"]], "tokenized_text": ["Glen", "Allen", "VA", "23060"]}
{"id": "11945", "text": "THIS EMPLOYMENT AGREEMENT (this \"Agreement\") by and between SUMMER ENERGY HOLDINGS, INC. , a Nevada corporation (\"Employer\"), and Neil M. Leibman (\"Employee\" and, together with Employer, the \"Parties\") is entered into and made effective as of January 1, 2017 (the \"Effective Date\").", "ner": [[1, 2, "Title"], [12, 17, "Parties"], [29, 32, "Parties"], [56, 59, "EffectiveDate"]], "tokenized_text": ["THIS", "EMPLOYMENT", "AGREEMENT", "(", "this", "\"", "Agreement", "\"", ")", "by", "and", "between", "SUMMER", "ENERGY", "HOLDINGS", ",", "INC", ".", ",", "a", "Nevada", "corporation", "(", "\"", "Employer", "\"", ")", ",", "and", "Neil", "M", ".", "Leibman", "(", "\"", "Employee", "\"", "and", ",", "together", "with", "Employer", ",", "the", "\"", "Parties", "\"", ")", "is", "entered", "into", "and", "made", "effective", "as", "of", "January", "1", ",", "2017", "(", "the", "\"", "Effective", "Date", "\"", ")", "."]}
{"id": "11946", "text": "(a) Term. Subject to the terms and conditions of this Agreement, Employer agrees to employ Employee, and Employee agrees to be employed by Employer as of the Effective Date pursuant to the terms herein for a period of two (2) years .", "ner": [[15, 15, "Parties"], [43, 47, "TerminationDate"]], "tokenized_text": ["(", "a", ")", "Term", ".", "Subject", "to", "the", "terms", "and", "conditions", "of", "this", "Agreement", ",", "Employer", "agrees", "to", "employ", "Employee", ",", "and", "Employee", "agrees", "to", "be", "employed", "by", "Employer", "as", "of", "the", "Effective", "Date", "pursuant", "to", "the", "terms", "herein", "for", "a", "period", "of", "two", "(", "2", ")", "years", "."]}
{"id": "11950", "text": "800 Bering Drive, Suite 260", "ner": [[0, 5, "Address"]], "tokenized_text": ["800", "Bering", "Drive", ",", "Suite", "260"]}
{"id": "11953", "text": "(d) Choice of Law. This Agreement shall be governed by the laws of the State of Texas without regard to its choice of law rules.", "ner": [[17, 19, "Court"]], "tokenized_text": ["(", "d", ")", "Choice", "of", "Law", ".", "This", "Agreement", "shall", "be", "governed", "by", "the", "laws", "of", "the", "State", "of", "Texas", "without", "regard", "to", "its", "choice", "of", "law", "rules", "."]}
{"id": "11954", "text": "(h) Compliance with Section 409A. This Agreement is intended to comply with Section 409A of Internal Revenue Code of 1986 , as amended (\"Section 409A\"), to the extent applicable. Notwithstanding any provision herein to the contrary, this Agreement shall be interpreted, operated and administered consistent with this intent. Each separate installment under this Agreement shall be treated as a separate payment for purposes of determining whether such payment is subject to or exempt from compliance with the requirements of Section 409A. In addition, in the event that Employee is a \"specified employee\" within the meaning of Section 409A (as determined in accordance with the methodology established by Employer as in effect on the date of termination of Employee's employment hereunder), any payment or benefits hereunder that are nonqualified deferred compensation subject to the requirements of Section 409A shall be provided to Employee no earlier than six (6) months after the date of Employee's \"separation from service\" within the meaning of Section 409A.", "ner": [[5, 6, "Regulation"], [18, 22, "Act"]], "tokenized_text": ["(", "h", ")", "Compliance", "with", "Section", "409A", ".", "This", "Agreement", "is", "intended", "to", "comply", "with", "Section", "409A", "of", "Internal", "Revenue", "Code", "of", "1986", ",", "as", "amended", "(", "\"", "Section", "409A", "\"", ")", ",", "to", "the", "extent", "applicable", ".", "Notwithstanding", "any", "provision", "herein", "to", "the", "contrary", ",", "this", "Agreement", "shall", "be", "interpreted", ",", "operated", "and", "administered", "consistent", "with", "this", "intent", ".", "Each", "separate", "installment", "under", "this", "Agreement", "shall", "be", "treated", "as", "a", "separate", "payment", "for", "purposes", "of", "determining", "whether", "such", "payment", "is", "subject", "to", "or", "exempt", "from", "compliance", "with", "the", "requirements", "of", "Section", "409A", ".", "In", "addition", ",", "in", "the", "event", "that", "Employee", "is", "a", "\"", "specified", "employee", "\"", "within", "the", "meaning", "of", "Section", "409A", "(", "as", "determined", "in", "accordance", "with", "the", "methodology", "established", "by", "Employer", "as", "in", "effect", "on", "the", "date", "of", "termination", "of", "Employee", "'", "s", "employment", "hereunder", ")", ",", "any", "payment", "or", "benefits", "hereunder", "that", "are", "nonqualified", "deferred", "compensation", "subject", "to", "the", "requirements", "of", "Section", "409A", "shall", "be", "provided", "to", "Employee", "no", "earlier", "than", "six", "(", "6", ")", "months", "after", "the", "date", "of", "Employee", "'", "s", "\"", "separation", "from", "service", "\"", "within", "the", "meaning", "of", "Section", "409A", "."]}
{"id": "11955", "text": "/s/ Neil M. Leibman Neil M. Leibman", "ner": [[3, 6, "Parties"]], "tokenized_text": ["/", "s", "/", "Neil", "M", ".", "Leibman", "Neil", "M", ".", "Leibman"]}
{"id": "11956", "text": "Employee: Neil M. Leibman", "ner": [], "tokenized_text": ["Employee", ":", "Neil", "M", ".", "Leibman"]}
{"id": "11959", "text": "This EMPLOYMENT AGREEMENT (this Agreement) is entered into effective as of January 1st, 2017 (the Effective Date) by and between Naturalnano, Inc. a Nevada corporation (the Company) and DANIEL STELCER (the Executive) under the following terms and conditions:", "ner": [[1, 2, "Title"], [13, 16, "EffectiveDate"], [25, 28, "Parties"], [37, 38, "Parties"]], "tokenized_text": ["This", "EMPLOYMENT", "AGREEMENT", "(", "this", "Agreement", ")", "is", "entered", "into", "effective", "as", "of", "January", "1st", ",", "2017", "(", "the", "Effective", "Date", ")", "by", "and", "between", "Naturalnano", ",", "Inc", ".", "a", "Nevada", "corporation", "(", "the", "Company", ")", "and", "DANIEL", "STELCER", "(", "the", "Executive", ")", "under", "the", "following", "terms", "and", "conditions", ":"]}
{"id": "11961", "text": "2.1The term of this Agreement (the Term) shall be for a period commencing on the Effective Date of this Agreement and shall continue for a period of twenty-four (24) months from the date thereof, unless sooner terminated as provided in Paragraph 6. This two (2) year period, as the same may be extended or terminated pursuant hereto, is hereinafter referred to as the Term.", "ner": [[31, 35, "TerminationDate"], [51, 55, "RenewalTerm"]], "tokenized_text": ["2", ".", "1The", "term", "of", "this", "Agreement", "(", "the", "Term", ")", "shall", "be", "for", "a", "period", "commencing", "on", "the", "Effective", "Date", "of", "this", "Agreement", "and", "shall", "continue", "for", "a", "period", "of", "twenty-four", "(", "24", ")", "months", "from", "the", "date", "thereof", ",", "unless", "sooner", "terminated", "as", "provided", "in", "Paragraph", "6", ".", "This", "two", "(", "2", ")", "year", "period", ",", "as", "the", "same", "may", "be", "extended", "or", "terminated", "pursuant", "hereto", ",", "is", "hereinafter", "referred", "to", "as", "the", "Term", "."]}
{"id": "11962", "text": "3.1For all services rendered by Executive under this Agreement, the Company shall pay Executive a base salary of One Hundred Twenty Thousand and 00/100 Dollars ( $120,000.00 ) per annum in equal bi-monthly installments or 26 pay periods per year. (the Base Salary). The amount of the Base Salary shall be reviewed on an annual basis by the Compensation Committee of the Company. No such change shall in any way abrogate, alter, terminate or otherwise effect the other terms of this Agreement.", "ner": [[31, 36, "Salary"]], "tokenized_text": ["3", ".", "1For", "all", "services", "rendered", "by", "Executive", "under", "this", "Agreement", ",", "the", "Company", "shall", "pay", "Executive", "a", "base", "salary", "of", "One", "Hundred", "Twenty", "Thousand", "and", "00", "/", "100", "Dollars", "(", "$", "120", ",", "000", ".", "00", ")", "per", "annum", "in", "equal", "bi-monthly", "installments", "or", "26", "pay", "periods", "per", "year", ".", "(", "the", "Base", "Salary", ")", ".", "The", "amount", "of", "the", "Base", "Salary", "shall", "be", "reviewed", "on", "an", "annual", "basis", "by", "the", "Compensation", "Committee", "of", "the", "Company", ".", "No", "such", "change", "shall", "in", "any", "way", "abrogate", ",", "alter", ",", "terminate", "or", "otherwise", "effect", "the", "other", "terms", "of", "this", "Agreement", "."]}
{"id": "11963", "text": "4.2During the Term of this Agreement, Executive shall serve as the Secretary and Chief Operating Officer of the Company and in such other capacity as determined by the Board of Directors. In the performance of all of his responsibilities hereunder, Executive shall be subject to all of the Companys policies, rules, and regulations applicable to its employees of comparable status and shall report directly to, and shall be subject to, the direction and control of the Board of Directors and shall perform such duties as shall be assigned to him by the Board of Directors. In performing such duties, Executive will be subject to and abide by, and will use his best efforts to cause other employees of the Company to be subject to and abide by, all policies and procedures developed by the Companys Executive Officers, Board of Directors or its Executive Committee.", "ner": [[16, 18, "Role"]], "tokenized_text": ["4", ".", "2During", "the", "Term", "of", "this", "Agreement", ",", "Executive", "shall", "serve", "as", "the", "Secretary", "and", "Chief", "Operating", "Officer", "of", "the", "Company", "and", "in", "such", "other", "capacity", "as", "determined", "by", "the", "Board", "of", "Directors", ".", "In", "the", "performance", "of", "all", "of", "his", "responsibilities", "hereunder", ",", "Executive", "shall", "be", "subject", "to", "all", "of", "the", "Companys", "policies", ",", "rules", ",", "and", "regulations", "applicable", "to", "its", "employees", "of", "comparable", "status", "and", "shall", "report", "directly", "to", ",", "and", "shall", "be", "subject", "to", ",", "the", "direction", "and", "control", "of", "the", "Board", "of", "Directors", "and", "shall", "perform", "such", "duties", "as", "shall", "be", "assigned", "to", "him", "by", "the", "Board", "of", "Directors", ".", "In", "performing", "such", "duties", ",", "Executive", "will", "be", "subject", "to", "and", "abide", "by", ",", "and", "will", "use", "his", "best", "efforts", "to", "cause", "other", "employees", "of", "the", "Company", "to", "be", "subject", "to", "and", "abide", "by", ",", "all", "policies", "and", "procedures", "developed", "by", "the", "Companys", "Executive", "Officers", ",", "Board", "of", "Directors", "or", "its", "Executive", "Committee", "."]}
{"id": "11965", "text": "This Agreement will be governed by and construed in accordance with the laws of the State of Florida .", "ner": [[15, 17, "Court"]], "tokenized_text": ["This", "Agreement", "will", "be", "governed", "by", "and", "construed", "in", "accordance", "with", "the", "laws", "of", "the", "State", "of", "Florida", "."]}
{"id": "11966", "text": "THE COMPANY: | NATURALNANO, INC. | ---|---|--- | | | | By: | /s/ | | Name: | Colm Wrynn | | Its: | President | | | | | /s/ | | DANIEL STELCER |", "ner": [[4, 7, "Parties"], [35, 36, "Role"], [42, 42, "Role"], [53, 54, "Parties"]], "tokenized_text": ["THE", "COMPANY", ":", "|", "NATURALNANO", ",", "INC", ".", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "|", "|", "|", "By", ":", "|", "/", "s", "/", "|", "|", "Name", ":", "|", "Colm", "Wrynn", "|", "|", "Its", ":", "|", "President", "|", "|", "|", "|", "|", "/", "s", "/", "|", "|", "DANIEL", "STELCER", "|"]}
{"id": "11967", "text": "This EMPLOYMENT AGREEMENT (this Agreement), dated as of March7, 2017 , by and between DRIL-QUIP, INC. a Delaware corporation (the Company), and JERRY M. BROOKS (the Executive) shall become effective as of March13, 2017 (the Effective Date).", "ner": [[1, 2, "Title"], [11, 13, "EffectiveDate"], [18, 21, "Parties"], [31, 34, "Parties"], [44, 46, "EffectiveDate"]], "tokenized_text": ["This", "EMPLOYMENT", "AGREEMENT", "(", "this", "Agreement", ")", ",", "dated", "as", "of", "March7", ",", "2017", ",", "by", "and", "between", "DRIL-QUIP", ",", "INC", ".", "a", "Delaware", "corporation", "(", "the", "Company", ")", ",", "and", "JERRY", "M", ".", "BROOKS", "(", "the", "Executive", ")", "shall", "become", "effective", "as", "of", "March13", ",", "2017", "(", "the", "Effective", "Date", ")", "."]}
{"id": "11968", "text": "WHEREAS, the Executive is employed as the Companys Vice President of Finance and Chief Financial Officer ; and", "ner": [[9, 12, "Role"], [14, 16, "Role"]], "tokenized_text": ["WHEREAS", ",", "the", "Executive", "is", "employed", "as", "the", "Companys", "Vice", "President", "of", "Finance", "and", "Chief", "Financial", "Officer", ";", "and"]}
{"id": "11969", "text": "WHEREAS, the Company and the Executive desire to continue the Executives employment with the Company in the position of Vice President of Investor Relations of the Company on the terms set forth herein.", "ner": [[20, 21, "Role"]], "tokenized_text": ["WHEREAS", ",", "the", "Company", "and", "the", "Executive", "desire", "to", "continue", "the", "Executives", "employment", "with", "the", "Company", "in", "the", "position", "of", "Vice", "President", "of", "Investor", "Relations", "of", "the", "Company", "on", "the", "terms", "set", "forth", "herein", "."]}
{"id": "11970", "text": "2.Term. The employment of the Executive by the Company under this Agreement shall commence as of the Effective Date and continue until the first anniversary of the Effective Date (the Term) and this Agreement shall terminate as of the last day of the Term (the Expiration Date). Following the Expiration Date, the Executive may continue his employment with the Company as an at will employee in the position set forth in Paragraph 3 and/or such other position as assigned by the Company. For the avoidance of doubt, the expiration of this Agreement shall not result in the Executives termination of employment.", "ner": [[26, 27, "TerminationDate"]], "tokenized_text": ["2", ".", "Term", ".", "The", "employment", "of", "the", "Executive", "by", "the", "Company", "under", "this", "Agreement", "shall", "commence", "as", "of", "the", "Effective", "Date", "and", "continue", "until", "the", "first", "anniversary", "of", "the", "Effective", "Date", "(", "the", "Term", ")", "and", "this", "Agreement", "shall", "terminate", "as", "of", "the", "last", "day", "of", "the", "Term", "(", "the", "Expiration", "Date", ")", ".", "Following", "the", "Expiration", "Date", ",", "the", "Executive", "may", "continue", "his", "employment", "with", "the", "Company", "as", "an", "at", "will", "employee", "in", "the", "position", "set", "forth", "in", "Paragraph", "3", "and", "/", "or", "such", "other", "position", "as", "assigned", "by", "the", "Company", ".", "For", "the", "avoidance", "of", "doubt", ",", "the", "expiration", "of", "this", "Agreement", "shall", "not", "result", "in", "the", "Executives", "termination", "of", "employment", "."]}
{"id": "11973", "text": "(v)Effective as of the Termination Date and unless otherwise provided in the terms of the award agreement under which a Compensatory Award (as defined below) was granted, the Company shall provide for (a)the immediate vesting, settlement and exercisability of, and termination of any restrictions on sale or transfer (other than any such restriction arising by operation of law) with respect to, each and every stock option, restricted stock award, restricted stock unit award and other equity-based award and performance award (with such performance awards vesting at target level) (each, a Compensatory Award) that is outstanding as of a time immediately prior to the Termination Date and (b)the extension of the term during which each and every Compensatory Award may be exercised by the Executive until the earlier of (x)the first anniversary of the Termination Date or (y)the date upon which the right to exercise any Compensatory Award would have expired if the Executive had continued to be employed by the Company under the terms of this Agreement until the Expiration Date.", "ner": [[18, 19, "Title"]], "tokenized_text": ["(", "v", ")", "Effective", "as", "of", "the", "Termination", "Date", "and", "unless", "otherwise", "provided", "in", "the", "terms", "of", "the", "award", "agreement", "under", "which", "a", "Compensatory", "Award", "(", "as", "defined", "below", ")", "was", "granted", ",", "the", "Company", "shall", "provide", "for", "(", "a", ")", "the", "immediate", "vesting", ",", "settlement", "and", "exercisability", "of", ",", "and", "termination", "of", "any", "restrictions", "on", "sale", "or", "transfer", "(", "other", "than", "any", "such", "restriction", "arising", "by", "operation", "of", "law", ")", "with", "respect", "to", ",", "each", "and", "every", "stock", "option", ",", "restricted", "stock", "award", ",", "restricted", "stock", "unit", "award", "and", "other", "equity-based", "award", "and", "performance", "award", "(", "with", "such", "performance", "awards", "vesting", "at", "target", "level", ")", "(", "each", ",", "a", "Compensatory", "Award", ")", "that", "is", "outstanding", "as", "of", "a", "time", "immediately", "prior", "to", "the", "Termination", "Date", "and", "(", "b", ")", "the", "extension", "of", "the", "term", "during", "which", "each", "and", "every", "Compensatory", "Award", "may", "be", "exercised", "by", "the", "Executive", "until", "the", "earlier", "of", "(", "x", ")", "the", "first", "anniversary", "of", "the", "Termination", "Date", "or", "(", "y", ")", "the", "date", "upon", "which", "the", "right", "to", "exercise", "any", "Compensatory", "Award", "would", "have", "expired", "if", "the", "Executive", "had", "continued", "to", "be", "employed", "by", "the", "Company", "under", "the", "terms", "of", "this", "Agreement", "until", "the", "Expiration", "Date", "."]}
{"id": "11974", "text": "(vi)Until the earlier of (a)his receipt of equivalent coverage and benefits under the plans and programs of a subsequent employer (such coverage and benefits to be determined on a coverage-by-coverage or benefit-by-benefit basis) or (b)two years after the Executives Termination Date, the Executive and his eligible dependents shall continue to be covered by all medical, vision and dental benefit plans maintained by the Company under which the Executive was covered immediately prior to Executives Termination Date at the same active employee premium cost as a similarly situated active employee; provided, however, that such coverage shall not continue in the event the Company would be subject to any excise tax under Section 4980D of the Code or other penalty or liability pursuant to the provisions of the Patient Protection and Affordable Care Act of 2010 (as amended from time to time), and in lieu of providing the coverage described above, the Company shall instead pay to the Executive a fully taxable monthly cash payment in an amount such that, after payment by the Executive of all taxes on such payment, the Executive retains an amount equal to the Companys portion of the applicable premiums for such month, with such monthly payment being made on the last day of each month for the remainder of such two-year period; provided, further, that such benefits provided during the two-year period shall run concurrent with the health continuation coverage period mandated by Section 4980B of the Code.", "ner": [[126, 127, "Regulation"], [142, 149, "Act"]], "tokenized_text": ["(", "vi", ")", "Until", "the", "earlier", "of", "(", "a", ")", "his", "receipt", "of", "equivalent", "coverage", "and", "benefits", "under", "the", "plans", "and", "programs", "of", "a", "subsequent", "employer", "(", "such", "coverage", "and", "benefits", "to", "be", "determined", "on", "a", "coverage-by-coverage", "or", "benefit-by-benefit", "basis", ")", "or", "(", "b", ")", "two", "years", "after", "the", "Executives", "Termination", "Date", ",", "the", "Executive", "and", "his", "eligible", "dependents", "shall", "continue", "to", "be", "covered", "by", "all", "medical", ",", "vision", "and", "dental", "benefit", "plans", "maintained", "by", "the", "Company", "under", "which", "the", "Executive", "was", "covered", "immediately", "prior", "to", "Executives", "Termination", "Date", "at", "the", "same", "active", "employee", "premium", "cost", "as", "a", "similarly", "situated", "active", "employee", ";", "provided", ",", "however", ",", "that", "such", "coverage", "shall", "not", "continue", "in", "the", "event", "the", "Company", "would", "be", "subject", "to", "any", "excise", "tax", "under", "Section", "4980D", "of", "the", "Code", "or", "other", "penalty", "or", "liability", "pursuant", "to", "the", "provisions", "of", "the", "Patient", "Protection", "and", "Affordable", "Care", "Act", "of", "2010", "(", "as", "amended", "from", "time", "to", "time", ")", ",", "and", "in", "lieu", "of", "providing", "the", "coverage", "described", "above", ",", "the", "Company", "shall", "instead", "pay", "to", "the", "Executive", "a", "fully", "taxable", "monthly", "cash", "payment", "in", "an", "amount", "such", "that", ",", "after", "payment", "by", "the", "Executive", "of", "all", "taxes", "on", "such", "payment", ",", "the", "Executive", "retains", "an", "amount", "equal", "to", "the", "Companys", "portion", "of", "the", "applicable", "premiums", "for", "such", "month", ",", "with", "such", "monthly", "payment", "being", "made", "on", "the", "last", "day", "of", "each", "month", "for", "the", "remainder", "of", "such", "two-year", "period", ";", "provided", ",", "further", ",", "that", "such", "benefits", "provided", "during", "the", "two-year", "period", "shall", "run", "concurrent", "with", "the", "health", "continuation", "coverage", "period", "mandated", "by", "Section", "4980B", "of", "the", "Code", "."]}
{"id": "11975", "text": "9.Confidential Information. The Executive recognizes and acknowledges that the Companys and its Affiliates trade secrets and other confidential or proprietary information, as they may exist from time to time (Confidential Information), are valuable, special and unique assets of the Companys and/or such Affiliates business, access to and knowledge of which are essential to the performance of the Executives duties hereunder. The Executive confirms that all such Confidential Information constitutes the exclusive property of the Company and/or such Affiliates. During the Term and thereafter without limitation of time, the Executive shall hold in strict confidence and shall not, directly or indirectly, disclose or reveal to any person, or use for the Executives own personal benefit or for the benefit of anyone else, any Confidential Information (whether or not acquired, learned, obtained or developed by the Executive alone or in conjunction with others) belonging to or concerning the Company or any of its Affiliates, except (i)with the prior written consent of the Company duly authorized by the Board, (ii)in the course of the proper performance of the Executives duties hereunder, (iii)for Confidential Information (x)that becomes generally available to the public other than as a result of unauthorized disclosure by the Executive or the Executives affiliates or (y)that becomes available to the Executive on a nonconfidential basis from a source other than the Company or its Affiliates who is not bound by a duty of confidentiality, or other contractual, legal or fiduciary obligation, to the Company, or (iv)as required by applicable law or legal process provided that prior to the disclosure or use by the Executive of any Confidential Information under this clause (iv), the Executive will give prior written notice thereof to the Company and provide the Company with the opportunity to contest that disclosure or use. Nothing in this Paragraph 9 prohibits the Executive from reporting possible violations of law or regulation to any governmental agency or entity (or of making any other protected disclosures) without prior notice to the Company. Pursuant to the Defend Trade Secrets Act of 2016 , the Executive shall not be held criminally or civilly liable under any Federal or state trade secret law for the disclosure of any Confidential Information that (i)is made (A)in confidence to a Federal, state or local government official, either directly or indirectly, or to an attorney and (B)solely for the purpose of reporting or investigating a suspected violation of law or (ii)is made in a complaint or other document filed in a lawsuit or other proceeding, if such filing is made under seal. The provisions of this Paragraph 9 shall continue in effect notwithstanding termination of the Executives employment hereunder for any reason.", "ner": [[351, 352, "Regulation"], [389, 394, "Act"]], "tokenized_text": ["9", ".", "Confidential", "Information", ".", "The", "Executive", "recognizes", "and", "acknowledges", "that", "the", "Companys", "and", "its", "Affiliates", "trade", "secrets", "and", "other", "confidential", "or", "proprietary", "information", ",", "as", "they", "may", "exist", "from", "time", "to", "time", "(", "Confidential", "Information", ")", ",", "are", "valuable", ",", "special", "and", "unique", "assets", "of", "the", "Companys", "and", "/", "or", "such", "Affiliates", "business", ",", "access", "to", "and", "knowledge", "of", "which", "are", "essential", "to", "the", "performance", "of", "the", "Executives", "duties", "hereunder", ".", "The", "Executive", "confirms", "that", "all", "such", "Confidential", "Information", "constitutes", "the", "exclusive", "property", "of", "the", "Company", "and", "/", "or", "such", "Affiliates", ".", "During", "the", "Term", "and", "thereafter", "without", "limitation", "of", "time", ",", "the", "Executive", "shall", "hold", "in", "strict", "confidence", "and", "shall", "not", ",", "directly", "or", "indirectly", ",", "disclose", "or", "reveal", "to", "any", "person", ",", "or", "use", "for", "the", "Executives", "own", "personal", "benefit", "or", "for", "the", "benefit", "of", "anyone", "else", ",", "any", "Confidential", "Information", "(", "whether", "or", "not", "acquired", ",", "learned", ",", "obtained", "or", "developed", "by", "the", "Executive", "alone", "or", "in", "conjunction", "with", "others", ")", "belonging", "to", "or", "concerning", "the", "Company", "or", "any", "of", "its", "Affiliates", ",", "except", "(", "i", ")", "with", "the", "prior", "written", "consent", "of", "the", "Company", "duly", "authorized", "by", "the", "Board", ",", "(", "ii", ")", "in", "the", "course", "of", "the", "proper", "performance", "of", "the", "Executives", "duties", "hereunder", ",", "(", "iii", ")", "for", "Confidential", "Information", "(", "x", ")", "that", "becomes", "generally", "available", "to", "the", "public", "other", "than", "as", "a", "result", "of", "unauthorized", "disclosure", "by", "the", "Executive", "or", "the", "Executives", "affiliates", "or", "(", "y", ")", "that", "becomes", "available", "to", "the", "Executive", "on", "a", "nonconfidential", "basis", "from", "a", "source", "other", "than", "the", "Company", "or", "its", "Affiliates", "who", "is", "not", "bound", "by", "a", "duty", "of", "confidentiality", ",", "or", "other", "contractual", ",", "legal", "or", "fiduciary", "obligation", ",", "to", "the", "Company", ",", "or", "(", "iv", ")", "as", "required", "by", "applicable", "law", "or", "legal", "process", "provided", "that", "prior", "to", "the", "disclosure", "or", "use", "by", "the", "Executive", "of", "any", "Confidential", "Information", "under", "this", "clause", "(", "iv", ")", ",", "the", "Executive", "will", "give", "prior", "written", "notice", "thereof", "to", "the", "Company", "and", "provide", "the", "Company", "with", "the", "opportunity", "to", "contest", "that", "disclosure", "or", "use", ".", "Nothing", "in", "this", "Paragraph", "9", "prohibits", "the", "Executive", "from", "reporting", "possible", "violations", "of", "law", "or", "regulation", "to", "any", "governmental", "agency", "or", "entity", "(", "or", "of", "making", "any", "other", "protected", "disclosures", ")", "without", "prior", "notice", "to", "the", "Company", ".", "Pursuant", "to", "the", "Defend", "Trade", "Secrets", "Act", "of", "2016", ",", "the", "Executive", "shall", "not", "be", "held", "criminally", "or", "civilly", "liable", "under", "any", "Federal", "or", "state", "trade", "secret", "law", "for", "the", "disclosure", "of", "any", "Confidential", "Information", "that", "(", "i", ")", "is", "made", "(", "A", ")", "in", "confidence", "to", "a", "Federal", ",", "state", "or", "local", "government", "official", ",", "either", "directly", "or", "indirectly", ",", "or", "to", "an", "attorney", "and", "(", "B", ")", "solely", "for", "the", "purpose", "of", "reporting", "or", "investigating", "a", "suspected", "violation", "of", "law", "or", "(", "ii", ")", "is", "made", "in", "a", "complaint", "or", "other", "document", "filed", "in", "a", "lawsuit", "or", "other", "proceeding", ",", "if", "such", "filing", "is", "made", "under", "seal", ".", "The", "provisions", "of", "this", "Paragraph", "9", "shall", "continue", "in", "effect", "notwithstanding", "termination", "of", "the", "Executives", "employment", "hereunder", "for", "any", "reason", "."]}
{"id": "11976", "text": "(i)there shall have occurred an event required to be reported with respect to the Company in response to Item 6(e) of Schedule 14A of Regulation 14A (or in response to any similar item or any similar schedule or form) promulgated under the Exchange Act , whether or not the Company is then subject to such reporting requirement;", "ner": [[27, 28, "Regulation"], [30, 31, "Regulation"], [50, 51, "Act"]], "tokenized_text": ["(", "i", ")", "there", "shall", "have", "occurred", "an", "event", "required", "to", "be", "reported", "with", "respect", "to", "the", "Company", "in", "response", "to", "Item", "6", "(", "e", ")", "of", "Schedule", "14A", "of", "Regulation", "14A", "(", "or", "in", "response", "to", "any", "similar", "item", "or", "any", "similar", "schedule", "or", "form", ")", "promulgated", "under", "the", "Exchange", "Act", ",", "whether", "or", "not", "the", "Company", "is", "then", "subject", "to", "such", "reporting", "requirement", ";"]}
{"id": "11982", "text": "| | Dril-Quip, Inc. | | | | Attention: General Counsel | | | | 6401 N. Eldridge Pkwy . | | | | Houston, TX 77041 | | | | Fax No.: (713) 939-5329 | | If to the Executive, at the current address in the Companys personnel files.", "ner": [[2, 5, "Parties"], [18, 23, "Address"], [28, 31, "Address"], [40, 43, "PII_Ref"]], "tokenized_text": ["|", "|", "Dril-Quip", ",", "Inc", ".", "|", "|", "|", "|", "Attention", ":", "General", "Counsel", "|", "|", "|", "|", "6401", "N", ".", "Eldridge", "Pkwy", ".", "|", "|", "|", "|", "Houston", ",", "TX", "77041", "|", "|", "|", "|", "Fax", "No", ".", ":", "(", "713", ")", "939-5329", "|", "|", "If", "to", "the", "Executive", ",", "at", "the", "current", "address", "in", "the", "Companys", "personnel", "files", "."]}
{"id": "11986", "text": "| a.| Employee to perform in the function of Chief Technology Officer (CTO) & Chief Product Officer (CPO) of FISION effective officially as of May 1, 2016 on a full-time basis; ---|---|---", "ner": [[11, 13, "Role"], [20, 22, "Role"], [32, 35, "EffectiveDate"]], "tokenized_text": ["|", "a", ".", "|", "Employee", "to", "perform", "in", "the", "function", "of", "Chief", "Technology", "Officer", "(", "CTO", ")", "&", "amp", ";", "Chief", "Product", "Officer", "(", "CPO", ")", "of", "FISION", "effective", "officially", "as", "of", "May", "1", ",", "2016", "on", "a", "full-time", "basis", ";", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "11988", "text": "8\\. Non-Solicitation. In view of the unique value to FISION of the services to be performed by Employee, the Confidential Information to be acquired, obtained by or disclosed to Employee, and as a material inducement to FISION to enter into this Agreement and to pay and provide to Employee the compensation and benefits referred to in this Agreement, Employee covenants and agrees that, during the term of Employees employment with FISION, and for a period of one (1) year thereafter, Employee will not, on behalf of anyone other than FISION (including Employee);", "ner": [], "tokenized_text": ["8", "\\", ".", "Non-Solicitation", ".", "In", "view", "of", "the", "unique", "value", "to", "FISION", "of", "the", "services", "to", "be", "performed", "by", "Employee", ",", "the", "Confidential", "Information", "to", "be", "acquired", ",", "obtained", "by", "or", "disclosed", "to", "Employee", ",", "and", "as", "a", "material", "inducement", "to", "FISION", "to", "enter", "into", "this", "Agreement", "and", "to", "pay", "and", "provide", "to", "Employee", "the", "compensation", "and", "benefits", "referred", "to", "in", "this", "Agreement", ",", "Employee", "covenants", "and", "agrees", "that", ",", "during", "the", "term", "of", "Employees", "employment", "with", "FISION", ",", "and", "for", "a", "period", "of", "one", "(", "1", ")", "year", "thereafter", ",", "Employee", "will", "not", ",", "on", "behalf", "of", "anyone", "other", "than", "FISION", "(", "including", "Employee", ")", ";"]}
{"id": "11990", "text": "14\\. Governing Law. The parties agree that this Agreement has been executed in the State of Minnesota and shall be governed in all respects by the laws of said state.", "ner": [[17, 19, "Court"]], "tokenized_text": ["14", "\\", ".", "Governing", "Law", ".", "The", "parties", "agree", "that", "this", "Agreement", "has", "been", "executed", "in", "the", "State", "of", "Minnesota", "and", "shall", "be", "governed", "in", "all", "respects", "by", "the", "laws", "of", "said", "state", "."]}
{"id": "11994", "text": "| | Employee will earn compensation of SIXTEEN THOUSAND SIX HUNDRED SIXTY SIX DOLLARS AND 67/100 ( $16,666.67 ) per month, ( $200,000 annually). ---|---|--- |", "ner": [[15, 17, "Ratio"], [19, 24, "Salary"], [30, 33, "Salary"]], "tokenized_text": ["|", "|", "Employee", "will", "earn", "compensation", "of", "SIXTEEN", "THOUSAND", "SIX", "HUNDRED", "SIXTY", "SIX", "DOLLARS", "AND", "67", "/", "100", "(", "$", "16", ",", "666", ".", "67", ")", "per", "month", ",", "(", "$", "200", ",", "000", "annually", ")", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|"]}
{"id": "11996", "text": "THIS EMPLOYMENT AGREEMENT (this Agreement) is made and entered into this 31st day of March, 2017 (the Effective Date), by and between Sportsmans Warehouse Holdings, Inc. , a Delaware corporation (the Company), and Jon Barker (the Executive).", "ner": [[1, 2, "Title"], [13, 18, "EffectiveDate"], [28, 33, "Parties"], [44, 45, "Parties"]], "tokenized_text": ["THIS", "EMPLOYMENT", "AGREEMENT", "(", "this", "Agreement", ")", "is", "made", "and", "entered", "into", "this", "31st", "day", "of", "March", ",", "2017", "(", "the", "Effective", "Date", ")", ",", "by", "and", "between", "Sportsmans", "Warehouse", "Holdings", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "the", "Company", ")", ",", "and", "Jon", "Barker", "(", "the", "Executive", ")", "."]}
{"id": "11997", "text": "| 1.2| Title and Duties. During the Period of Employment, the Executive will serve as President and Chief Operating Officer of the Company and have the duties and exercise the authority that the Board of Directors of the Company (the Board) or the Chief Executive Officer of the Company (the CEO) assigns to the Executive from time to time. ---|---|---", "ner": [[20, 20, "Role"], [22, 24, "Role"], [38, 40, "Role"], [50, 52, "Role"], [58, 58, "Role"]], "tokenized_text": ["|", "1", ".", "2", "|", "Title", "and", "Duties", ".", "During", "the", "Period", "of", "Employment", ",", "the", "Executive", "will", "serve", "as", "President", "and", "Chief", "Operating", "Officer", "of", "the", "Company", "and", "have", "the", "duties", "and", "exercise", "the", "authority", "that", "the", "Board", "of", "Directors", "of", "the", "Company", "(", "the", "Board", ")", "or", "the", "Chief", "Executive", "Officer", "of", "the", "Company", "(", "the", "CEO", ")", "assigns", "to", "the", "Executive", "from", "time", "to", "time", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "11998", "text": "| 1.3| Period of Employment. The Period of Employment shall commence on the Effective Date and shall continue through, and end with, January 30, 2021 , subject to extension by mutual written agreement. Notwithstanding the foregoing, the Period of Employment is subject to earlier termination as provided below in this Agreement. If the Executives employment by the Company continues beyond the Period of Employment, such employment will be at will and terminable by either party at any time, for any reason (or no reason), and without any payment under this Agreement, other than for payment of the Accrued Obligations, as defined below. ---|---|---", "ner": [[28, 31, "TerminationDate"]], "tokenized_text": ["|", "1", ".", "3", "|", "Period", "of", "Employment", ".", "The", "Period", "of", "Employment", "shall", "commence", "on", "the", "Effective", "Date", "and", "shall", "continue", "through", ",", "and", "end", "with", ",", "January", "30", ",", "2021", ",", "subject", "to", "extension", "by", "mutual", "written", "agreement", ".", "Notwithstanding", "the", "foregoing", ",", "the", "Period", "of", "Employment", "is", "subject", "to", "earlier", "termination", "as", "provided", "below", "in", "this", "Agreement", ".", "If", "the", "Executives", "employment", "by", "the", "Company", "continues", "beyond", "the", "Period", "of", "Employment", ",", "such", "employment", "will", "be", "at", "will", "and", "terminable", "by", "either", "party", "at", "any", "time", ",", "for", "any", "reason", "(", "or", "no", "reason", ")", ",", "and", "without", "any", "payment", "under", "this", "Agreement", ",", "other", "than", "for", "payment", "of", "the", "Accrued", "Obligations", ",", "as", "defined", "below", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "11999", "text": "| 2.1| Base Salary. During the Period of Employment, the Company will pay the Executive a base salary (the Base Salary), which shall be paid in accordance with the Companys regular payroll practices in effect from time to time. Beginning March 31st, 2017 , the Executives Base Salary shall be at an annualized rate of $350,000 . The Board (or a committee thereof) will review the Executives rate of Base Salary on a periodic basis (annually, commencing with fiscal year 2017) and may, in its sole discretion, increase, but shall not decrease, the rate then in effect. ---|---|---", "ner": [[49, 52, "EffectiveDate"], [65, 68, "Salary"]], "tokenized_text": ["|", "2", ".", "1", "|", "Base", "Salary", ".", "During", "the", "Period", "of", "Employment", ",", "the", "Company", "will", "pay", "the", "Executive", "a", "base", "salary", "(", "the", "Base", "Salary", ")", ",", "which", "shall", "be", "paid", "in", "accordance", "with", "the", "Companys", "regular", "payroll", "practices", "in", "effect", "from", "time", "to", "time", ".", "Beginning", "March", "31st", ",", "2017", ",", "the", "Executives", "Base", "Salary", "shall", "be", "at", "an", "annualized", "rate", "of", "$", "350", ",", "000", ".", "The", "Board", "(", "or", "a", "committee", "thereof", ")", "will", "review", "the", "Executives", "rate", "of", "Base", "Salary", "on", "a", "periodic", "basis", "(", "annually", ",", "commencing", "with", "fiscal", "year", "2017", ")", "and", "may", ",", "in", "its", "sole", "discretion", ",", "increase", ",", "but", "shall", "not", "decrease", ",", "the", "rate", "then", "in", "effect", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "12002", "text": "| (c)| The Company will pay or reimburse the Executive for his premiums charged to continue medical coverage pursuant to the Consolidated Omnibus Budget Reconciliation Act ( COBRA ), at the same or reasonably equivalent medical coverage for the Executive (and, if applicable, the Executives eligible dependents) as in effect immediately prior to the Severance Date, to the extent that the Executive elects such continued coverage; provided that the Companys obligation to make any payment or reimbursement pursuant to this clause (c) shall commence with continuation coverage for the month following the month in which the Executives Severance Date occurs and shall cease with continuation coverage for the twelfth (12th) month following the month in which the Executives Severance Date occurs (or, if earlier, shall cease upon the first to occur of the Executives death, the date the Executive becomes eligible for coverage under the health plan of a future employer, or the date the Company ceases to offer group medical coverage to its active executive employees or the Company is otherwise under no obligation to offer COBRA continuation coverage to the Executive). To the extent the Executive elects COBRA coverage, he shall notify the Company in writing of such election prior to such coverage taking effect and complete any other continuation coverage enrollment procedures the Company may then have in place. ---|---|---", "ner": [[24, 28, "Act"], [30, 30, "Act"], [196, 196, "Act"], [210, 210, "Act"]], "tokenized_text": ["|", "(", "c", ")", "|", "The", "Company", "will", "pay", "or", "reimburse", "the", "Executive", "for", "his", "premiums", "charged", "to", "continue", "medical", "coverage", "pursuant", "to", "the", "Consolidated", "Omnibus", "Budget", "Reconciliation", "Act", "(", "COBRA", ")", ",", "at", "the", "same", "or", "reasonably", "equivalent", "medical", "coverage", "for", "the", "Executive", "(", "and", ",", "if", "applicable", ",", "the", "Executives", "eligible", "dependents", ")", "as", "in", "effect", "immediately", "prior", "to", "the", "Severance", "Date", ",", "to", "the", "extent", "that", "the", "Executive", "elects", "such", "continued", "coverage", ";", "provided", "that", "the", "Companys", "obligation", "to", "make", "any", "payment", "or", "reimbursement", "pursuant", "to", "this", "clause", "(", "c", ")", "shall", "commence", "with", "continuation", "coverage", "for", "the", "month", "following", "the", "month", "in", "which", "the", "Executives", "Severance", "Date", "occurs", "and", "shall", "cease", "with", "continuation", "coverage", "for", "the", "twelfth", "(", "12th", ")", "month", "following", "the", "month", "in", "which", "the", "Executives", "Severance", "Date", "occurs", "(", "or", ",", "if", "earlier", ",", "shall", "cease", "upon", "the", "first", "to", "occur", "of", "the", "Executives", "death", ",", "the", "date", "the", "Executive", "becomes", "eligible", "for", "coverage", "under", "the", "health", "plan", "of", "a", "future", "employer", ",", "or", "the", "date", "the", "Company", "ceases", "to", "offer", "group", "medical", "coverage", "to", "its", "active", "executive", "employees", "or", "the", "Company", "is", "otherwise", "under", "no", "obligation", "to", "offer", "COBRA", "continuation", "coverage", "to", "the", "Executive", ")", ".", "To", "the", "extent", "the", "Executive", "elects", "COBRA", "coverage", ",", "he", "shall", "notify", "the", "Company", "in", "writing", "of", "such", "election", "prior", "to", "such", "coverage", "taking", "effect", "and", "complete", "any", "other", "continuation", "coverage", "enrollment", "procedures", "the", "Company", "may", "then", "have", "in", "place", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "12003", "text": "| (e)| Through and ending with the date that is twelve (12) months after the Severance Date, the Executive will be entitled to continued participation in any program generally made available by the Company to its employees allowing them to purchase Company merchandise at a discount, as any such program may be in effect from time to time. ---|---|---", "ner": [[13, 21, "TerminationDate"]], "tokenized_text": ["|", "(", "e", ")", "|", "Through", "and", "ending", "with", "the", "date", "that", "is", "twelve", "(", "12", ")", "months", "after", "the", "Severance", "Date", ",", "the", "Executive", "will", "be", "entitled", "to", "continued", "participation", "in", "any", "program", "generally", "made", "available", "by", "the", "Company", "to", "its", "employees", "allowing", "them", "to", "purchase", "Company", "merchandise", "at", "a", "discount", ",", "as", "any", "such", "program", "may", "be", "in", "effect", "from", "time", "to", "time", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "12004", "text": "3.7.4 Exclusive Remedy. The Executive agrees that the payments contemplated by this Agreement will constitute the Executives sole and exclusive remedy for any termination of the Executives employment (other than any right to continued benefit coverage under and to the extent required by COBRA , and except for payment of any vested benefit the Executive may have under a retirement program sponsored or maintained by the Company that is intended to be qualified under Section 401(a) of the Internal Revenue Code (any such benefit to be paid under and in accordance with the terms and conditions of such plan)). The Executive covenants that he will not assert or pursue any other remedies, at law or in equity, with respect to any such termination. The Executive agrees to resign, on the Severance Date, as an officer and director of the Company and any affiliate of the Company, and as a fiduciary of any benefit plan of the Company or any affiliate of the Company, and to promptly execute and provide to the Company any further documentation, as reasonably requested by the Company, to confirm such resignation.", "ner": [[49, 49, "Act"], [80, 84, "Regulation"], [87, 89, "Act"]], "tokenized_text": ["3", ".", "7", ".", "4", "Exclusive", "Remedy", ".", "The", "Executive", "agrees", "that", "the", "payments", "contemplated", "by", "this", "Agreement", "will", "constitute", "the", "Executives", "sole", "and", "exclusive", "remedy", "for", "any", "termination", "of", "the", "Executives", "employment", "(", "other", "than", "any", "right", "to", "continued", "benefit", "coverage", "under", "and", "to", "the", "extent", "required", "by", "COBRA", ",", "and", "except", "for", "payment", "of", "any", "vested", "benefit", "the", "Executive", "may", "have", "under", "a", "retirement", "program", "sponsored", "or", "maintained", "by", "the", "Company", "that", "is", "intended", "to", "be", "qualified", "under", "Section", "401", "(", "a", ")", "of", "the", "Internal", "Revenue", "Code", "(", "any", "such", "benefit", "to", "be", "paid", "under", "and", "in", "accordance", "with", "the", "terms", "and", "conditions", "of", "such", "plan", ")", ")", ".", "The", "Executive", "covenants", "that", "he", "will", "not", "assert", "or", "pursue", "any", "other", "remedies", ",", "at", "law", "or", "in", "equity", ",", "with", "respect", "to", "any", "such", "termination", ".", "The", "Executive", "agrees", "to", "resign", ",", "on", "the", "Severance", "Date", ",", "as", "an", "officer", "and", "director", "of", "the", "Company", "and", "any", "affiliate", "of", "the", "Company", ",", "and", "as", "a", "fiduciary", "of", "any", "benefit", "plan", "of", "the", "Company", "or", "any", "affiliate", "of", "the", "Company", ",", "and", "to", "promptly", "execute", "and", "provide", "to", "the", "Company", "any", "further", "documentation", ",", "as", "reasonably", "requested", "by", "the", "Company", ",", "to", "confirm", "such", "resignation", "."]}
{"id": "12007", "text": "7035 South High Tech Drive", "ner": [[0, 4, "Address"]], "tokenized_text": ["7035", "South", "High", "Tech", "Drive"]}
{"id": "12008", "text": "| 5.11| Governing Law. Utah law (without regard to conflict-of-laws principles of the laws of the State of Uta h or any other jurisdiction) will govern this Agreement and its interpretation and enforcement. ---|---|---", "ner": [[21, 24, "Court"]], "tokenized_text": ["|", "5", ".", "11", "|", "Governing", "Law", ".", "Utah", "law", "(", "without", "regard", "to", "conflict-of-laws", "principles", "of", "the", "laws", "of", "the", "State", "of", "Uta", "h", "or", "any", "other", "jurisdiction", ")", "will", "govern", "this", "Agreement", "and", "its", "interpretation", "and", "enforcement", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "12009", "text": "| /s/ Kevan P. Talbot | ---|---|--- | Kevan P. Talbot | | | | | | | | Sportsmans Warehouse Holdings, Inc. | | | | | | | | | | | By: | /s/ Jon Barker | | Jon Barker | | | | | Its: | |", "ner": [[4, 7, "Parties"], [33, 38, "Parties"], [56, 57, "Parties"]], "tokenized_text": ["|", "/", "s", "/", "Kevan", "P", ".", "Talbot", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "Kevan", "P", ".", "Talbot", "|", "|", "|", "|", "|", "|", "|", "|", "Sportsmans", "Warehouse", "Holdings", ",", "Inc", ".", "|", "|", "|", "|", "|", "|", "|", "|", "|", "|", "|", "By", ":", "|", "/", "s", "/", "Jon", "Barker", "|", "|", "Jon", "Barker", "|", "|", "|", "|", "|", "Its", ":", "|", "|"]}
{"id": "12013", "text": "(a) Position. During the Employment Period, the Executive shall serve as Senior Vice President and General Counsel of the Company and shall report to the Chief Executive Officer of the Company.", "ner": [[15, 17, "Role"], [19, 20, "Role"], [29, 31, "Role"]], "tokenized_text": ["(", "a", ")", "Position", ".", "During", "the", "Employment", "Period", ",", "the", "Executive", "shall", "serve", "as", "Senior", "Vice", "President", "and", "General", "Counsel", "of", "the", "Company", "and", "shall", "report", "to", "the", "Chief", "Executive", "Officer", "of", "the", "Company", "."]}
{"id": "12018", "text": "(a) Governing Law; Waiver of Jury Trial. This Agreement shall be governed by and construed in accordance with the laws of the State of Delaware without reference to principles of conflict of laws. Each of the parties to this Agreement voluntarily and irrevocably waives trial by jury in any action or other proceeding brought in connection with this Agreement, any of the agreements related to this Agreement, or any of the transactions contemplated hereby or thereby.", "ner": [[26, 28, "Court"]], "tokenized_text": ["(", "a", ")", "Governing", "Law", ";", "Waiver", "of", "Jury", "Trial", ".", "This", "Agreement", "shall", "be", "governed", "by", "and", "construed", "in", "accordance", "with", "the", "laws", "of", "the", "State", "of", "Delaware", "without", "reference", "to", "principles", "of", "conflict", "of", "laws", ".", "Each", "of", "the", "parties", "to", "this", "Agreement", "voluntarily", "and", "irrevocably", "waives", "trial", "by", "jury", "in", "any", "action", "or", "other", "proceeding", "brought", "in", "connection", "with", "this", "Agreement", ",", "any", "of", "the", "agreements", "related", "to", "this", "Agreement", ",", "or", "any", "of", "the", "transactions", "contemplated", "hereby", "or", "thereby", "."]}
{"id": "12020", "text": "New York, New York 10119", "ner": [[0, 5, "Address"]], "tokenized_text": ["New", "York", ",", "New", "York", "10119"]}
{"id": "12021", "text": "9 West 57th Street, 43rd Floor", "ner": [[0, 6, "Address"]], "tokenized_text": ["9", "West", "57th", "Street", ",", "43rd", "Floor"]}
{"id": "12025", "text": "In consideration of the promises set forth in the Employment Agreement, dated as of March9, 2017 (as may have been amended, replaced or supplemented from time to time, the Employment Agreement), by and between Employee and the Company as well as any promises set forth in this Agreement, Employee and the Company agree as follows:", "ner": [[9, 10, "Title"], [15, 17, "EffectiveDate"], [44, 44, "Parties"]], "tokenized_text": ["In", "consideration", "of", "the", "promises", "set", "forth", "in", "the", "Employment", "Agreement", ",", "dated", "as", "of", "March9", ",", "2017", "(", "as", "may", "have", "been", "amended", ",", "replaced", "or", "supplemented", "from", "time", "to", "time", ",", "the", "Employment", "Agreement", ")", ",", "by", "and", "between", "Employee", "and", "the", "Company", "as", "well", "as", "any", "promises", "set", "forth", "in", "this", "Agreement", ",", "Employee", "and", "the", "Company", "agree", "as", "follows", ":"]}
{"id": "12026", "text": "Except as provided in the next paragraph, in consideration of the payments made and to be made, and benefits provided and to be provided, to Employee pursuant to the Employment Agreement, as of the Effective Date, Employee unconditionally and forever releases, discharges, and waives any and all actual and potential claims, liabilities, demands, actions, causes of action, suits, costs, controversies, judgments, decrees, verdicts, attorneys and consultants fees, damages, indemnities, and obligations of every kind and nature, in law, equity, or otherwise, known and unknown, suspected and unsuspected, disclosed and undisclosed, arising out of or in any way related to the Employment Agreement and the subject matter thereto, and any other agreements, events, acts, or conduct at any time prior to and including the Effective Date other than the Excluded Obligations (as defined below) (the Released Claims) against the Released Parties. The Released Claims include any and all matters relating to Employees employment including, without limitation, claims or demands related to salary, bonuses, commissions, stock, equity awards, or any other ownership interest in the Company or any of its subsidiaries or affiliates, vacation pay, fringe benefits, expense reimbursements, severance pay, or any other form of compensation; claims for discrimination based upon race, color, sex, creed, national origin, age, disability, or any other characteristic protected by federal, state, or local law or any other violation of any Equal Employment Opportunity Law, ordinance, rule, regulation, or order, including, without limitation, TitleVII of the Civil Rights Act of 1964 , as amended, the Civil Rights Act of 1991 ; the Americans with Disabilities Act ; claims under the Employee Retirement Income Security Act of 1974 , as amended, the Equal Pay Act , the Fair Labor Standards A ct, as amended, the Family and Medical Leave Act of 1993 , as amended, or the laws of any country governing discrimination in employment, the payment of wages or benefits, or any other aspect of employment. The Released Claims also include claims for wrongful discharge, fraud, or misrepresentation under any statute, rule, or regulation or under the common law and any other claims under the common law.", "ner": [[32, 33, "Title"], [306, 310, "Act"], [316, 320, "Act"], [323, 326, "Act"], [331, 337, "Act"], [343, 345, "Act"], [348, 352, "Act"], [358, 364, "Act"]], "tokenized_text": ["Except", "as", "provided", "in", "the", "next", "paragraph", ",", "in", "consideration", "of", "the", "payments", "made", "and", "to", "be", "made", ",", "and", "benefits", "provided", "and", "to", "be", "provided", ",", "to", "Employee", "pursuant", "to", "the", "Employment", "Agreement", ",", "as", "of", "the", "Effective", "Date", ",", "Employee", "unconditionally", "and", "forever", "releases", ",", "discharges", ",", "and", "waives", "any", "and", "all", "actual", "and", "potential", "claims", ",", "liabilities", ",", "demands", ",", "actions", ",", "causes", "of", "action", ",", "suits", ",", "costs", ",", "controversies", ",", "judgments", ",", "decrees", ",", "verdicts", ",", "attorneys", "and", "consultants", "fees", ",", "damages", ",", "indemnities", ",", "and", "obligations", "of", "every", "kind", "and", "nature", ",", "in", "law", ",", "equity", ",", "or", "otherwise", ",", "known", "and", "unknown", ",", "suspected", "and", "unsuspected", ",", "disclosed", "and", "undisclosed", ",", "arising", "out", "of", "or", "in", "any", "way", "related", "to", "the", "Employment", "Agreement", "and", "the", "subject", "matter", "thereto", ",", "and", "any", "other", "agreements", ",", "events", ",", "acts", ",", "or", "conduct", "at", "any", "time", "prior", "to", "and", "including", "the", "Effective", "Date", "other", "than", "the", "Excluded", "Obligations", "(", "as", "defined", "below", ")", "(", "the", "Released", "Claims", ")", "against", "the", "Released", "Parties", ".", "The", "Released", "Claims", "include", "any", "and", "all", "matters", "relating", "to", "Employees", "employment", "including", ",", "without", "limitation", ",", "claims", "or", "demands", "related", "to", "salary", ",", "bonuses", ",", "commissions", ",", "stock", ",", "equity", "awards", ",", "or", "any", "other", "ownership", "interest", "in", "the", "Company", "or", "any", "of", "its", "subsidiaries", "or", "affiliates", ",", "vacation", "pay", ",", "fringe", "benefits", ",", "expense", "reimbursements", ",", "severance", "pay", ",", "or", "any", "other", "form", "of", "compensation", ";", "claims", "for", "discrimination", "based", "upon", "race", ",", "color", ",", "sex", ",", "creed", ",", "national", "origin", ",", "age", ",", "disability", ",", "or", "any", "other", "characteristic", "protected", "by", "federal", ",", "state", ",", "or", "local", "law", "or", "any", "other", "violation", "of", "any", "Equal", "Employment", "Opportunity", "Law", ",", "ordinance", ",", "rule", ",", "regulation", ",", "or", "order", ",", "including", ",", "without", "limitation", ",", "TitleVII", "of", "the", "Civil", "Rights", "Act", "of", "1964", ",", "as", "amended", ",", "the", "Civil", "Rights", "Act", "of", "1991", ";", "the", "Americans", "with", "Disabilities", "Act", ";", "claims", "under", "the", "Employee", "Retirement", "Income", "Security", "Act", "of", "1974", ",", "as", "amended", ",", "the", "Equal", "Pay", "Act", ",", "the", "Fair", "Labor", "Standards", "A", "ct", ",", "as", "amended", ",", "the", "Family", "and", "Medical", "Leave", "Act", "of", "1993", ",", "as", "amended", ",", "or", "the", "laws", "of", "any", "country", "governing", "discrimination", "in", "employment", ",", "the", "payment", "of", "wages", "or", "benefits", ",", "or", "any", "other", "aspect", "of", "employment", ".", "The", "Released", "Claims", "also", "include", "claims", "for", "wrongful", "discharge", ",", "fraud", ",", "or", "misrepresentation", "under", "any", "statute", ",", "rule", ",", "or", "regulation", "or", "under", "the", "common", "law", "and", "any", "other", "claims", "under", "the", "common", "law", "."]}
{"id": "12028", "text": "Employee acknowledges that the Company has advised Employee to consult with an attorney of his or her choosing, and through this Agreement advise Employee to consult with Employees attorney with respect to possible claims under the Age Discrimination in Employment Act of 1967 , as amended ( ADEA ), and Employee acknowledges that he or she understands that ADEA is a federal statute that prohibits discrimination, on the basis of age, in employment, benefits, and benefit plans. If ADEA applies to Employee, Employee wishes to waive any and all claims under ADEA that he or she may have, as of the Effective Date, against the Released Parties, and hereby waives such claims. Employee further understands that, by signing this Agreement, he or she is in fact waiving, releasing, and forever giving up any claim under ADEA against the Released Parties that may have existed on or prior to the Effective Date.", "ner": [[37, 43, "Act"], [48, 48, "Act"]], "tokenized_text": ["Employee", "acknowledges", "that", "the", "Company", "has", "advised", "Employee", "to", "consult", "with", "an", "attorney", "of", "his", "or", "her", "choosing", ",", "and", "through", "this", "Agreement", "advise", "Employee", "to", "consult", "with", "Employees", "attorney", "with", "respect", "to", "possible", "claims", "under", "the", "Age", "Discrimination", "in", "Employment", "Act", "of", "1967", ",", "as", "amended", "(", "ADEA", ")", ",", "and", "Employee", "acknowledges", "that", "he", "or", "she", "understands", "that", "ADEA", "is", "a", "federal", "statute", "that", "prohibits", "discrimination", ",", "on", "the", "basis", "of", "age", ",", "in", "employment", ",", "benefits", ",", "and", "benefit", "plans", ".", "If", "ADEA", "applies", "to", "Employee", ",", "Employee", "wishes", "to", "waive", "any", "and", "all", "claims", "under", "ADEA", "that", "he", "or", "she", "may", "have", ",", "as", "of", "the", "Effective", "Date", ",", "against", "the", "Released", "Parties", ",", "and", "hereby", "waives", "such", "claims", ".", "Employee", "further", "understands", "that", ",", "by", "signing", "this", "Agreement", ",", "he", "or", "she", "is", "in", "fact", "waiving", ",", "releasing", ",", "and", "forever", "giving", "up", "any", "claim", "under", "ADEA", "against", "the", "Released", "Parties", "that", "may", "have", "existed", "on", "or", "prior", "to", "the", "Effective", "Date", "."]}
{"id": "12031", "text": "The foregoing provisions of this Section3 are not intended to, and shall be interpreted in a manner that does not, limit or restrict Employee from exercising any legally protected whistleblower rights (including pursuant to Rule21F promulgated under the Securities Exchange Act of 1934 , as amended).", "ner": [[37, 37, "Regulation"], [41, 45, "Act"]], "tokenized_text": ["The", "foregoing", "provisions", "of", "this", "Section3", "are", "not", "intended", "to", ",", "and", "shall", "be", "interpreted", "in", "a", "manner", "that", "does", "not", ",", "limit", "or", "restrict", "Employee", "from", "exercising", "any", "legally", "protected", "whistleblower", "rights", "(", "including", "pursuant", "to", "Rule21F", "promulgated", "under", "the", "Securities", "Exchange", "Act", "of", "1934", ",", "as", "amended", ")", "."]}
{"id": "12032", "text": "Employee acknowledges that the covenants set forth in Section8(b) of the Employment Agreement and any provisions contained in the Employment Agreement that are intended to survive following termination of Employees employment, and that certain Non-Competition, Non-Solicitation and No-Hire Agreement, dated as of March9, 2017 by and between the Company and Employee, shall, pursuant to their terms, survive Employees execution of this Agreement.", "ner": [[14, 15, "Title"], [38, 43, "Title"], [48, 50, "EffectiveDate"], [55, 55, "Parties"]], "tokenized_text": ["Employee", "acknowledges", "that", "the", "covenants", "set", "forth", "in", "Section8", "(", "b", ")", "of", "the", "Employment", "Agreement", "and", "any", "provisions", "contained", "in", "the", "Employment", "Agreement", "that", "are", "intended", "to", "survive", "following", "termination", "of", "Employees", "employment", ",", "and", "that", "certain", "Non-Competition", ",", "Non-Solicitation", "and", "No-Hire", "Agreement", ",", "dated", "as", "of", "March9", ",", "2017", "by", "and", "between", "the", "Company", "and", "Employee", ",", "shall", ",", "pursuant", "to", "their", "terms", ",", "survive", "Employees", "execution", "of", "this", "Agreement", "."]}
{"id": "12033", "text": "If Employee initiates or voluntarily participates in any Proceeding, if Employee fails to abide by any of the terms of this Agreement, or if Employee revokes the ADEA release contained in Section2 of this Agreement within the seven-day period provided under Section2 (if ADEA applies to Employee), the Company may, in addition to any other remedies it may have, reclaim any amounts paid to Employee under the termination provisions of the Employment Agreement or terminate any benefits or payments that are subsequently due under the Employment Agreement and are payable based on Employee executing this Agreement, without waiving the release granted herein. Employee acknowledges and agrees that the remedy at law available to the Company for breach of any of his or her post-termination obligations under the Employment Agreement or his or her obligations under Sections1, 2, and 3 of this Agreement would be inadequate and that damages flowing from such a breach may not readily be susceptible to being measured in monetary terms. Accordingly, Employee acknowledges, consents and agrees that, in addition to any other rights or remedies that the Company may have at law, in equity, or under this Agreement, upon adequate proof of his or her violation of any such provision of this Agreement, the Company shall be entitled to immediate injunctive relief and may obtain a temporary order restraining any threatened or further breach, without the necessity of proof of actual or consequential damage or the necessity of posting a bond. This provision shall not adversely affect any rights Employee may have under ADEA .", "ner": [[29, 29, "Parties"], [78, 79, "Title"]], "tokenized_text": ["If", "Employee", "initiates", "or", "voluntarily", "participates", "in", "any", "Proceeding", ",", "if", "Employee", "fails", "to", "abide", "by", "any", "of", "the", "terms", "of", "this", "Agreement", ",", "or", "if", "Employee", "revokes", "the", "ADEA", "release", "contained", "in", "Section2", "of", "this", "Agreement", "within", "the", "seven-day", "period", "provided", "under", "Section2", "(", "if", "ADEA", "applies", "to", "Employee", ")", ",", "the", "Company", "may", ",", "in", "addition", "to", "any", "other", "remedies", "it", "may", "have", ",", "reclaim", "any", "amounts", "paid", "to", "Employee", "under", "the", "termination", "provisions", "of", "the", "Employment", "Agreement", "or", "terminate", "any", "benefits", "or", "payments", "that", "are", "subsequently", "due", "under", "the", "Employment", "Agreement", "and", "are", "payable", "based", "on", "Employee", "executing", "this", "Agreement", ",", "without", "waiving", "the", "release", "granted", "herein", ".", "Employee", "acknowledges", "and", "agrees", "that", "the", "remedy", "at", "law", "available", "to", "the", "Company", "for", "breach", "of", "any", "of", "his", "or", "her", "post-termination", "obligations", "under", "the", "Employment", "Agreement", "or", "his", "or", "her", "obligations", "under", "Sections1", ",", "2", ",", "and", "3", "of", "this", "Agreement", "would", "be", "inadequate", "and", "that", "damages", "flowing", "from", "such", "a", "breach", "may", "not", "readily", "be", "susceptible", "to", "being", "measured", "in", "monetary", "terms", ".", "Accordingly", ",", "Employee", "acknowledges", ",", "consents", "and", "agrees", "that", ",", "in", "addition", "to", "any", "other", "rights", "or", "remedies", "that", "the", "Company", "may", "have", "at", "law", ",", "in", "equity", ",", "or", "under", "this", "Agreement", ",", "upon", "adequate", "proof", "of", "his", "or", "her", "violation", "of", "any", "such", "provision", "of", "this", "Agreement", ",", "the", "Company", "shall", "be", "entitled", "to", "immediate", "injunctive", "relief", "and", "may", "obtain", "a", "temporary", "order", "restraining", "any", "threatened", "or", "further", "breach", ",", "without", "the", "necessity", "of", "proof", "of", "actual", "or", "consequential", "damage", "or", "the", "necessity", "of", "posting", "a", "bond", ".", "This", "provision", "shall", "not", "adversely", "affect", "any", "rights", "Employee", "may", "have", "under", "ADEA", "."]}
{"id": "12034", "text": "The validity, interpretation, construction, and performance of this Agreement and disputes or controversies arising with respect to the transactions contemplated herein shall be governed by the laws of the State of Delaware , without reference to principles of conflict of laws.", "ner": [[32, 34, "Court"]], "tokenized_text": ["The", "validity", ",", "interpretation", ",", "construction", ",", "and", "performance", "of", "this", "Agreement", "and", "disputes", "or", "controversies", "arising", "with", "respect", "to", "the", "transactions", "contemplated", "herein", "shall", "be", "governed", "by", "the", "laws", "of", "the", "State", "of", "Delaware", ",", "without", "reference", "to", "principles", "of", "conflict", "of", "laws", "."]}
{"id": "12035", "text": "Each of the parties agrees that any dispute between the parties shall be resolved only in the courts of the State of Delaware or the United States District Court for the District of Delaware and the appellate courts having jurisdiction of appeals from such courts. In that context, and without limiting the generality of the foregoing, each of the parties hereto irrevocably and unconditionally (a)submits for himself, herself, or itself in any Proceeding relating to this Agreement or Employees employment by the Company or any affiliate, or for the recognition and enforcement of any Proceeding, to the exclusive jurisdiction of the courts of the State of Delaware , or the United States District Court for the District of Delaware, and the appellate courts having jurisdiction of appeals from any of the foregoing, and agrees that all claims in respect of any such Proceeding shall be heard and determined in such Delaware State court or, to the extent permitted by law, in such federal court; (b)consents that any such Proceeding may and shall be brought in such courts and waives any objection that he, she, or it may now or thereafter have to the venue or jurisdiction of any such Proceeding in any such court or that such Proceeding was brought in an inconvenient court and agrees not to plead or claim the same; (c)agrees that service of process in any such Proceeding may be effected by mailing a copy of such process by registered or certified mail (or any substantially similar form of mail),", "ner": [[20, 22, "Court"], [25, 33, "Court"]], "tokenized_text": ["Each", "of", "the", "parties", "agrees", "that", "any", "dispute", "between", "the", "parties", "shall", "be", "resolved", "only", "in", "the", "courts", "of", "the", "State", "of", "Delaware", "or", "the", "United", "States", "District", "Court", "for", "the", "District", "of", "Delaware", "and", "the", "appellate", "courts", "having", "jurisdiction", "of", "appeals", "from", "such", "courts", ".", "In", "that", "context", ",", "and", "without", "limiting", "the", "generality", "of", "the", "foregoing", ",", "each", "of", "the", "parties", "hereto", "irrevocably", "and", "unconditionally", "(", "a", ")", "submits", "for", "himself", ",", "herself", ",", "or", "itself", "in", "any", "Proceeding", "relating", "to", "this", "Agreement", "or", "Employees", "employment", "by", "the", "Company", "or", "any", "affiliate", ",", "or", "for", "the", "recognition", "and", "enforcement", "of", "any", "Proceeding", ",", "to", "the", "exclusive", "jurisdiction", "of", "the", "courts", "of", "the", "State", "of", "Delaware", ",", "or", "the", "United", "States", "District", "Court", "for", "the", "District", "of", "Delaware", ",", "and", "the", "appellate", "courts", "having", "jurisdiction", "of", "appeals", "from", "any", "of", "the", "foregoing", ",", "and", "agrees", "that", "all", "claims", "in", "respect", "of", "any", "such", "Proceeding", "shall", "be", "heard", "and", "determined", "in", "such", "Delaware", "State", "court", "or", ",", "to", "the", "extent", "permitted", "by", "law", ",", "in", "such", "federal", "court", ";", "(", "b", ")", "consents", "that", "any", "such", "Proceeding", "may", "and", "shall", "be", "brought", "in", "such", "courts", "and", "waives", "any", "objection", "that", "he", ",", "she", ",", "or", "it", "may", "now", "or", "thereafter", "have", "to", "the", "venue", "or", "jurisdiction", "of", "any", "such", "Proceeding", "in", "any", "such", "court", "or", "that", "such", "Proceeding", "was", "brought", "in", "an", "inconvenient", "court", "and", "agrees", "not", "to", "plead", "or", "claim", "the", "same", ";", "(", "c", ")", "agrees", "that", "service", "of", "process", "in", "any", "such", "Proceeding", "may", "be", "effected", "by", "mailing", "a", "copy", "of", "such", "process", "by", "registered", "or", "certified", "mail", "(", "or", "any", "substantially", "similar", "form", "of", "mail", ")", ","]}
{"id": "12039", "text": "(a) Affiliate has the meaning set forth in Rule 405 under the Securities Act. < br/>", "ner": [[10, 11, "Regulation"], [14, 15, "Act"]], "tokenized_text": ["(", "a", ")", "Affiliate", "has", "the", "meaning", "set", "forth", "in", "Rule", "405", "under", "the", "Securities", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "12045", "text": "(i) The Company will file the Draft S-1 Amendment with the SEC under the Securities Act, in the form to be provided to the Purchaser, without change other than such typographical and other revisions that are, in the aggregate, immaterial. Except for the omission of pricing information related to the IPO, the Draft S-1 Amendment and the Draft Preliminary Prospectus will conform in all material respects upon filing with the SEC, with the requirements of the Securities Act. The Company will file the UA with the SEC by 2 p.m., Pacific time, as an exhibit to a current report on Form 8-K. The Registration Statement as of the Effective Date and the final prospectus relating to the ClassA Shares, as filed with the SEC pursuant to Rule 424(b), as of the Closing Date will conform in all material respects with the requirements of the Securities Act. < br/>", "ner": [[16, 17, "Act"], [143, 147, "Regulation"]], "tokenized_text": ["(", "i", ")", "The", "Company", "will", "file", "the", "Draft", "S-1", "Amendment", "with", "the", "SEC", "under", "the", "Securities", "Act", ",", "in", "the", "form", "to", "be", "provided", "to", "the", "Purchaser", ",", "without", "change", "other", "than", "such", "typographical", "and", "other", "revisions", "that", "are", ",", "in", "the", "aggregate", ",", "immaterial", ".", "Except", "for", "the", "omission", "of", "pricing", "information", "related", "to", "the", "IPO", ",", "the", "Draft", "S-1", "Amendment", "and", "the", "Draft", "Preliminary", "Prospectus", "will", "conform", "in", "all", "material", "respects", "upon", "filing", "with", "the", "SEC", ",", "with", "the", "requirements", "of", "the", "Securities", "Act", ".", "The", "Company", "will", "file", "the", "UA", "with", "the", "SEC", "by", "2", "p", ".", "m", ".", ",", "Pacific", "time", ",", "as", "an", "exhibit", "to", "a", "current", "report", "on", "Form", "8-K", ".", "The", "Registration", "Statement", "as", "of", "the", "Effective", "Date", "and", "the", "final", "prospectus", "relating", "to", "the", "ClassA", "Shares", ",", "as", "filed", "with", "the", "SEC", "pursuant", "to", "Rule", "424", "(", "b", ")", ",", "as", "of", "the", "Closing", "Date", "will", "conform", "in", "all", "material", "respects", "with", "the", "requirements", "of", "the", "Securities", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "12048", "text": "(g) Financial Statements. The consolidated financial statements (including the related notes) included in the Draft Preliminary Prospectus comply as to form in all material respects with the requirements of RegulationS-X under the Securities Act and present fairly in all material respects the financial condition, results of operations and cash flows of the Company and the Subsidiaries at the dates and for the periods indicated and have been prepared in conformity with accounting principles generally accepted in the United States applied on a consistent basis throughout the periods involved. BDO China Shu Lun Pan Certified Public Accountants LLP are independent public accountants with respect to the Company and the Subsidiaries, as required by the Securities Act. < br/>", "ner": [[34, 34, "Regulation"], [37, 38, "Act"]], "tokenized_text": ["(", "g", ")", "Financial", "Statements", ".", "The", "consolidated", "financial", "statements", "(", "including", "the", "related", "notes", ")", "included", "in", "the", "Draft", "Preliminary", "Prospectus", "comply", "as", "to", "form", "in", "all", "material", "respects", "with", "the", "requirements", "of", "RegulationS-X", "under", "the", "Securities", "Act", "and", "present", "fairly", "in", "all", "material", "respects", "the", "financial", "condition", ",", "results", "of", "operations", "and", "cash", "flows", "of", "the", "Company", "and", "the", "Subsidiaries", "at", "the", "dates", "and", "for", "the", "periods", "indicated", "and", "have", "been", "prepared", "in", "conformity", "with", "accounting", "principles", "generally", "accepted", "in", "the", "United", "States", "applied", "on", "a", "consistent", "basis", "throughout", "the", "periods", "involved", ".", "BDO", "China", "Shu", "Lun", "Pan", "Certified", "Public", "Accountants", "LLP", "are", "independent", "public", "accountants", "with", "respect", "to", "the", "Company", "and", "the", "Subsidiaries", ",", "as", "required", "by", "the", "Securities", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "12049", "text": "(ii) The Company will take all necessary actions to ensure that, as of the Effective Date, the Company and its directors and officers in their capacities as such will comply with any then-applicable provision of the U.S. Sarbanes- Oxley Act of 2002 and the rules and regulations promulgated thereunder.", "ner": [[40, 49, "Act"]], "tokenized_text": ["(", "ii", ")", "The", "Company", "will", "take", "all", "necessary", "actions", "to", "ensure", "that", ",", "as", "of", "the", "Effective", "Date", ",", "the", "Company", "and", "its", "directors", "and", "officers", "in", "their", "capacities", "as", "such", "will", "comply", "with", "any", "then-applicable", "provision", "of", "the", "U", ".", "S", ".", "Sarbanes", "-", "Oxley", "Act", "of", "2002", "and", "the", "rules", "and", "regulations", "promulgated", "thereunder", "."]}
{"id": "12051", "text": "(iv) Neither the Company nor any of the Subsidiaries, nor, to the knowledge of the Company after due inquiry, any director, officer, agent, employee or other person associated with or acting on behalf of the Company or any of the Subsidiaries, has in the course of its actions for, or on behalf of, the Company or any of the Subsidiaries: (A)used any corporate funds for any unlawful contribution, gift, entertainment or other unlawful expense relating to political activity; (B)made any direct or indirect payment to any foreign or domestic government official from corporate funds in violation of the U.S. Foreign Corrupt Practices Act of 1977 or otherwise violated any applicable provision of such Act or of any other applicable anti-bribery statute or regulation; or (C)made any bribe, rebate, payoff, influence payment, kickback or other unlawful payment to any domestic government official, foreign official or employee that, in the aggregate, would reasonably be expected to result in a Material Adverse Effect. The Company and the Subsidiaries and, to the knowledge of the Company, the Affiliates of the Company and the Subsidiaries have conducted their respective businesses in compliance with the U.S. Foreign Corrupt Practices Act of 1977 and, except as would not reasonably be", "ner": [[119, 128, "Act"]], "tokenized_text": ["(", "iv", ")", "Neither", "the", "Company", "nor", "any", "of", "the", "Subsidiaries", ",", "nor", ",", "to", "the", "knowledge", "of", "the", "Company", "after", "due", "inquiry", ",", "any", "director", ",", "officer", ",", "agent", ",", "employee", "or", "other", "person", "associated", "with", "or", "acting", "on", "behalf", "of", "the", "Company", "or", "any", "of", "the", "Subsidiaries", ",", "has", "in", "the", "course", "of", "its", "actions", "for", ",", "or", "on", "behalf", "of", ",", "the", "Company", "or", "any", "of", "the", "Subsidiaries", ":", "(", "A", ")", "used", "any", "corporate", "funds", "for", "any", "unlawful", "contribution", ",", "gift", ",", "entertainment", "or", "other", "unlawful", "expense", "relating", "to", "political", "activity", ";", "(", "B", ")", "made", "any", "direct", "or", "indirect", "payment", "to", "any", "foreign", "or", "domestic", "government", "official", "from", "corporate", "funds", "in", "violation", "of", "the", "U", ".", "S", ".", "Foreign", "Corrupt", "Practices", "Act", "of", "1977", "or", "otherwise", "violated", "any", "applicable", "provision", "of", "such", "Act", "or", "of", "any", "other", "applicable", "anti-bribery", "statute", "or", "regulation", ";", "or", "(", "C", ")", "made", "any", "bribe", ",", "rebate", ",", "payoff", ",", "influence", "payment", ",", "kickback", "or", "other", "unlawful", "payment", "to", "any", "domestic", "government", "official", ",", "foreign", "official", "or", "employee", "that", ",", "in", "the", "aggregate", ",", "would", "reasonably", "be", "expected", "to", "result", "in", "a", "Material", "Adverse", "Effect", ".", "The", "Company", "and", "the", "Subsidiaries", "and", ",", "to", "the", "knowledge", "of", "the", "Company", ",", "the", "Affiliates", "of", "the", "Company", "and", "the", "Subsidiaries", "have", "conducted", "their", "respective", "businesses", "in", "compliance", "with", "the", "U", ".", "S", ".", "Foreign", "Corrupt", "Practices", "Act", "of", "1977", "and", ",", "except", "as", "would", "not", "reasonably", "be"]}
{"id": "12052", "text": "expected to result in a Material Adverse Effect, all other applicable anti- bribery statutes and regulations, and the Company and the Subsidiaries maintain policies and procedures designed to ensure, and that are reasonably expected to continue to ensure, continued compliance with the U.S. Foreign Corrupt Practices Act of 1977 and other applicable anti-bribery statutes and regulations.", "ner": [[47, 56, "Act"]], "tokenized_text": ["expected", "to", "result", "in", "a", "Material", "Adverse", "Effect", ",", "all", "other", "applicable", "anti", "-", "bribery", "statutes", "and", "regulations", ",", "and", "the", "Company", "and", "the", "Subsidiaries", "maintain", "policies", "and", "procedures", "designed", "to", "ensure", ",", "and", "that", "are", "reasonably", "expected", "to", "continue", "to", "ensure", ",", "continued", "compliance", "with", "the", "U", ".", "S", ".", "Foreign", "Corrupt", "Practices", "Act", "of", "1977", "and", "other", "applicable", "anti-bribery", "statutes", "and", "regulations", "."]}
{"id": "12057", "text": "42307 Osgood Road, Suite I", "ner": [[0, 5, "Address"]], "tokenized_text": ["42307", "Osgood", "Road", ",", "Suite", "I"]}
{"id": "12063", "text": "SIGNATURE PAGE TO STOCK PURCHASE AGREEMENT", "ner": [[3, 5, "Title"]], "tokenized_text": ["SIGNATURE", "PAGE", "TO", "STOCK", "PURCHASE", "AGREEMENT"]}
{"id": "12064", "text": "CLASS A COMMON STOCK PURCHASE AGREEMENT", "ner": [[2, 5, "Title"]], "tokenized_text": ["CLASS", "A", "COMMON", "STOCK", "PURCHASE", "AGREEMENT"]}
{"id": "12070", "text": "3.1 Organization and Good Standing. ACM is a corporation duly organized, validly existing and in good standing under the laws of the State of Delaware . ACM has all requisite corporate (or similar) power and authority to carry on its business as presently conducted and as proposed to be conducted.", "ner": [[26, 28, "Court"]], "tokenized_text": ["3", ".", "1", "Organization", "and", "Good", "Standing", ".", "ACM", "is", "a", "corporation", "duly", "organized", ",", "validly", "existing", "and", "in", "good", "standing", "under", "the", "laws", "of", "the", "State", "of", "Delaware", ".", "ACM", "has", "all", "requisite", "corporate", "(", "or", "similar", ")", "power", "and", "authority", "to", "carry", "on", "its", "business", "as", "presently", "conducted", "and", "as", "proposed", "to", "be", "conducted", "."]}
{"id": "12074", "text": "(b) Ninebell understands that the Shares have not been, and will not be, registered under the Securities Act, by reason of a specific exemption from the registration provisions of such Act that depends upon, among other things, the bona fide nature of the investment intent and the accuracy of Ninebells representations as expressed in this Section4.6. Ninebell understands that the Shares are restricted securities under applicable U.S. federal and state securities laws and that, pursuant to those laws, Ninebell must hold the Shares indefinitely unless they are registered with the U.S. Securities and Exchange Commission and qualified by state authorities, or an exemption from such registration and qualification requirements is available, including a transfer outside of the United States in an offshore transaction in compliance with Rule 904 under the Securities Act ( if applicable). Ninebell acknowledges that ACM has no obligation to register or qualify for resale the Shares. Ninebell further acknowledges that if an exemption from registration or qualification is available, it may be conditioned on various requirements including the time and manner of sale, the holding period for the Shares, and on requirements relating to ACM that are outside of Ninebells control and that ACM is under no obligation, and may not be able, to satisfy.", "ner": [[20, 21, "Act"], [146, 147, "Regulation"]], "tokenized_text": ["(", "b", ")", "Ninebell", "understands", "that", "the", "Shares", "have", "not", "been", ",", "and", "will", "not", "be", ",", "registered", "under", "the", "Securities", "Act", ",", "by", "reason", "of", "a", "specific", "exemption", "from", "the", "registration", "provisions", "of", "such", "Act", "that", "depends", "upon", ",", "among", "other", "things", ",", "the", "bona", "fide", "nature", "of", "the", "investment", "intent", "and", "the", "accuracy", "of", "Ninebells", "representations", "as", "expressed", "in", "this", "Section4", ".", "6", ".", "Ninebell", "understands", "that", "the", "Shares", "are", "restricted", "securities", "under", "applicable", "U", ".", "S", ".", "federal", "and", "state", "securities", "laws", "and", "that", ",", "pursuant", "to", "those", "laws", ",", "Ninebell", "must", "hold", "the", "Shares", "indefinitely", "unless", "they", "are", "registered", "with", "the", "U", ".", "S", ".", "Securities", "and", "Exchange", "Commission", "and", "qualified", "by", "state", "authorities", ",", "or", "an", "exemption", "from", "such", "registration", "and", "qualification", "requirements", "is", "available", ",", "including", "a", "transfer", "outside", "of", "the", "United", "States", "in", "an", "offshore", "transaction", "in", "compliance", "with", "Rule", "904", "under", "the", "Securities", "Act", "(", "if", "applicable", ")", ".", "Ninebell", "acknowledges", "that", "ACM", "has", "no", "obligation", "to", "register", "or", "qualify", "for", "resale", "the", "Shares", ".", "Ninebell", "further", "acknowledges", "that", "if", "an", "exemption", "from", "registration", "or", "qualification", "is", "available", ",", "it", "may", "be", "conditioned", "on", "various", "requirements", "including", "the", "time", "and", "manner", "of", "sale", ",", "the", "holding", "period", "for", "the", "Shares", ",", "and", "on", "requirements", "relating", "to", "ACM", "that", "are", "outside", "of", "Ninebells", "control", "and", "that", "ACM", "is", "under", "no", "obligation", ",", "and", "may", "not", "be", "able", ",", "to", "satisfy", "."]}
{"id": "12075", "text": "5.4 Governing Law. This Agreement and any controversy arising out of or relating to this Agreement shall be governed by and construed in accordance with the General Corporation Law of the State of Delaware .", "ner": [[34, 36, "Court"]], "tokenized_text": ["5", ".", "4", "Governing", "Law", ".", "This", "Agreement", "and", "any", "controversy", "arising", "out", "of", "or", "relating", "to", "this", "Agreement", "shall", "be", "governed", "by", "and", "construed", "in", "accordance", "with", "the", "General", "Corporation", "Law", "of", "the", "State", "of", "Delaware", "."]}
{"id": "12076", "text": "after deposit with an internationally recognized courier, freight prepaid, specifying one- or two-day delivery, with written verification of receipt. All communications shall be sent to the respective parties at their addresses as set forth on the signature page, or to such e-mail address, facsimile number or address as subsequently modified by written notice given in accordance with this Section5.7. If notice is given to ACM, a copy shall also be sent to Mark L. Johnson at K &L Gates LLP, State Street Financial Center, One Lincoln Street, Boston, Massachusetts 02111.", "ner": [[50, 51, "PII_Ref"], [96, 107, "Address"]], "tokenized_text": ["after", "deposit", "with", "an", "internationally", "recognized", "courier", ",", "freight", "prepaid", ",", "specifying", "one", "-", "or", "two-day", "delivery", ",", "with", "written", "verification", "of", "receipt", ".", "All", "communications", "shall", "be", "sent", "to", "the", "respective", "parties", "at", "their", "addresses", "as", "set", "forth", "on", "the", "signature", "page", ",", "or", "to", "such", "e-mail", "address", ",", "facsimile", "number", "or", "address", "as", "subsequently", "modified", "by", "written", "notice", "given", "in", "accordance", "with", "this", "Section5", ".", "7", ".", "If", "notice", "is", "given", "to", "ACM", ",", "a", "copy", "shall", "also", "be", "sent", "to", "Mark", "L", ".", "Johnson", "at", "K", "&", "amp", ";", "L", "Gates", "LLP", ",", "State", "Street", "Financial", "Center", ",", "One", "Lincoln", "Street", ",", "Boston", ",", "Massachusetts", "02111", "."]}
{"id": "12077", "text": "Address: 42307 Osgood Road, Suite I", "ner": [[2, 7, "Address"]], "tokenized_text": ["Address", ":", "42307", "Osgood", "Road", ",", "Suite", "I"]}
{"id": "12082", "text": "This Forward Purchase Agreement (this Agreement) is entered into as of [], between One Madison Corporation , a Cayman Islands exempted company (the Company), the party listed as the purchaser on the signature page hereof (the Purchaser) and, solely for the purposes of Section 7 hereof, One Madison Group LLC (the Sponsor) .", "ner": [[1, 3, "Title"], [17, 19, "Parties"], [57, 60, "Parties"]], "tokenized_text": ["This", "Forward", "Purchase", "Agreement", "(", "this", "Agreement", ")", "is", "entered", "into", "as", "of", "[", "]", ",", "between", "One", "Madison", "Corporation", ",", "a", "Cayman", "Islands", "exempted", "company", "(", "the", "Company", ")", ",", "the", "party", "listed", "as", "the", "purchaser", "on", "the", "signature", "page", "hereof", "(", "the", "Purchaser", ")", "and", ",", "solely", "for", "the", "purposes", "of", "Section", "7", "hereof", ",", "One", "Madison", "Group", "LLC", "(", "the", "Sponsor", ")", "."]}
{"id": "12083", "text": "WHEREAS, the Company has confidentially submitted to the U.S. Securities and Exchange Commission (the SEC) a draft registration statement on Form S-1 (the Registration Statement) for its initial public offering (IPO) of units (the Public Units) at a price of $10.00 per Public Unit, each comprised of one Class A ordinary share of the Company, par value $0.0001 per share (the Class A Share(s)), and one-half of one redeemable warrant, where each whole redeemable warrant is exercisable to purchase one Class A Share at an exercise price of $11.50 per share (the Warrant(s));", "ner": [[52, 55, "Price"], [74, 77, "Price"], [91, 91, "Ratio"], [115, 118, "Price"]], "tokenized_text": ["WHEREAS", ",", "the", "Company", "has", "confidentially", "submitted", "to", "the", "U", ".", "S", ".", "Securities", "and", "Exchange", "Commission", "(", "the", "SEC", ")", "a", "draft", "registration", "statement", "on", "Form", "S-1", "(", "the", "Registration", "Statement", ")", "for", "its", "initial", "public", "offering", "(", "IPO", ")", "of", "units", "(", "the", "Public", "Units", ")", "at", "a", "price", "of", "$", "10", ".", "00", "per", "Public", "Unit", ",", "each", "comprised", "of", "one", "Class", "A", "ordinary", "share", "of", "the", "Company", ",", "par", "value", "$", "0", ".", "0001", "per", "share", "(", "the", "Class", "A", "Share", "(", "s", ")", ")", ",", "and", "one-half", "of", "one", "redeemable", "warrant", ",", "where", "each", "whole", "redeemable", "warrant", "is", "exercisable", "to", "purchase", "one", "Class", "A", "Share", "at", "an", "exercise", "price", "of", "$", "11", ".", "50", "per", "share", "(", "the", "Warrant", "(", "s", ")", ")", ";"]}
{"id": "12086", "text": "(i) The Company shall issue and sell to the Purchaser, and the Purchaser shall purchase from the Company, the number of Forward Purchase Shares set forth on the signature page to this Agreement next to the line item Number of Forward Purchase Shares, plus the number of Forward Purchase Warrants set forth on the signature page to this Agreement next to the line item Number of Forward Purchase Warrants, for an aggregate purchase price of $10.00 multiplied by the number of Forward Purchase Shares issued and sold hereunder (the FPS Purchase Price). No fractional Forward Purchase Warrants will be issued.", "ner": [[81, 84, "Price"]], "tokenized_text": ["(", "i", ")", "The", "Company", "shall", "issue", "and", "sell", "to", "the", "Purchaser", ",", "and", "the", "Purchaser", "shall", "purchase", "from", "the", "Company", ",", "the", "number", "of", "Forward", "Purchase", "Shares", "set", "forth", "on", "the", "signature", "page", "to", "this", "Agreement", "next", "to", "the", "line", "item", "Number", "of", "Forward", "Purchase", "Shares", ",", "plus", "the", "number", "of", "Forward", "Purchase", "Warrants", "set", "forth", "on", "the", "signature", "page", "to", "this", "Agreement", "next", "to", "the", "line", "item", "Number", "of", "Forward", "Purchase", "Warrants", ",", "for", "an", "aggregate", "purchase", "price", "of", "$", "10", ".", "00", "multiplied", "by", "the", "number", "of", "Forward", "Purchase", "Shares", "issued", "and", "sold", "hereunder", "(", "the", "FPS", "Purchase", "Price", ")", ".", "No", "fractional", "Forward", "Purchase", "Warrants", "will", "be", "issued", "."]}
{"id": "12089", "text": "the Securities is not and is not intended to be part of the IPO, and that the Purchaser will not be able to rely on the protection of Section 11 of the Securities Act.< br/>", "ner": [[33, 34, "Act"]], "tokenized_text": ["the", "Securities", "is", "not", "and", "is", "not", "intended", "to", "be", "part", "of", "the", "IPO", ",", "and", "that", "the", "Purchaser", "will", "not", "be", "able", "to", "rely", "on", "the", "protection", "of", "Section", "11", "of", "the", "Securities", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "12090", "text": "(j) Accredited Investor. The Purchaser is an accredited investor as defined in Rule 501(a) of Regulation D promulgated under the Securities Act.< br/>", "ner": [[15, 19, "Regulation"], [21, 22, "Regulation"], [26, 27, "Act"]], "tokenized_text": ["(", "j", ")", "Accredited", "Investor", ".", "The", "Purchaser", "is", "an", "accredited", "investor", "as", "defined", "in", "Rule", "501", "(", "a", ")", "of", "Regulation", "D", "promulgated", "under", "the", "Securities", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "12091", "text": "(i) 200,000,000 Class A Shares, none of which are issued and outstanding.", "ner": [[3, 7, "Shares"]], "tokenized_text": ["(", "i", ")", "200", ",", "000", ",", "000", "Class", "A", "Shares", ",", "none", "of", "which", "are", "issued", "and", "outstanding", "."]}
{"id": "12092", "text": "(iii) 200,000,000 Class C Shares, none of which are issued and outstanding.", "ner": [[3, 7, "Shares"]], "tokenized_text": ["(", "iii", ")", "200", ",", "000", ",", "000", "Class", "C", "Shares", ",", "none", "of", "which", "are", "issued", "and", "outstanding", "."]}
{"id": "12094", "text": "(ii) No bad actor disqualifying event described in Rule 506(d)(1)(i)-(viii) of the Securities Act ( a Disqualification Event) is applicable to the Company or, to the Companys knowledge, any Company Covered Person (as defined below), except for a Disqualification Event as to which Rule 506(d)(2)(iiiv) or (d)(3), is applicable. Company Covered Person means, with respect to the Company as an issuer for purposes of Rule 506 promulgated under the Securities Act, any Person listed in the first paragraph of Rule 506(d)(1).", "ner": [[10, 17, "Regulation"], [27, 28, "Act"]], "tokenized_text": ["(", "ii", ")", "No", "bad", "actor", "disqualifying", "event", "described", "in", "Rule", "506", "(", "d", ")", "(", "1", ")", "(", "i", ")", "-", "(", "viii", ")", "of", "the", "Securities", "Act", "(", "a", "Disqualification", "Event", ")", "is", "applicable", "to", "the", "Company", "or", ",", "to", "the", "Companys", "knowledge", ",", "any", "Company", "Covered", "Person", "(", "as", "defined", "below", ")", ",", "except", "for", "a", "Disqualification", "Event", "as", "to", "which", "Rule", "506", "(", "d", ")", "(", "2", ")", "(", "iiiv", ")", "or", "(", "d", ")", "(", "3", ")", ",", "is", "applicable", ".", "Company", "Covered", "Person", "means", ",", "with", "respect", "to", "the", "Company", "as", "an", "issuer", "for", "purposes", "of", "Rule", "506", "promulgated", "under", "the", "Securities", "Act", ",", "any", "Person", "listed", "in", "the", "first", "paragraph", "of", "Rule", "506", "(", "d", ")", "(", "1", ")", "."]}
{"id": "12095", "text": "(h) Foreign Corrupt Practices. Neither the Company, nor any director, officer, agent, employee or other Person acting on behalf of the Company has, in the course of its actions for, or on behalf of, the Company (i) used any corporate funds for any unlawful contribution, gift, entertainment or other unlawful expenses relating to political activity; (ii) made any direct or indirect unlawful payment to any foreign or domestic government official or employee from corporate funds; (iii) violated or is in violation of any provision of the U.S. Foreign Corrupt Practices Act of 1977 , as amended; or (iv) made any unlawful bribe, rebate, payoff, influence payment, kickback or other unlawful payment to any foreign or domestic government official or employee.", "ner": [[106, 115, "Act"]], "tokenized_text": ["(", "h", ")", "Foreign", "Corrupt", "Practices", ".", "Neither", "the", "Company", ",", "nor", "any", "director", ",", "officer", ",", "agent", ",", "employee", "or", "other", "Person", "acting", "on", "behalf", "of", "the", "Company", "has", ",", "in", "the", "course", "of", "its", "actions", "for", ",", "or", "on", "behalf", "of", ",", "the", "Company", "(", "i", ")", "used", "any", "corporate", "funds", "for", "any", "unlawful", "contribution", ",", "gift", ",", "entertainment", "or", "other", "unlawful", "expenses", "relating", "to", "political", "activity", ";", "(", "ii", ")", "made", "any", "direct", "or", "indirect", "unlawful", "payment", "to", "any", "foreign", "or", "domestic", "government", "official", "or", "employee", "from", "corporate", "funds", ";", "(", "iii", ")", "violated", "or", "is", "in", "violation", "of", "any", "provision", "of", "the", "U", ".", "S", ".", "Foreign", "Corrupt", "Practices", "Act", "of", "1977", ",", "as", "amended", ";", "or", "(", "iv", ")", "made", "any", "unlawful", "bribe", ",", "rebate", ",", "payoff", ",", "influence", "payment", ",", "kickback", "or", "other", "unlawful", "payment", "to", "any", "foreign", "or", "domestic", "government", "official", "or", "employee", "."]}
{"id": "12096", "text": "(i) Compliance with Anti-Money Laundering Laws. The operations of the Company are and have been conducted at all times in compliance with applicable financial recordkeeping and reporting requirements and all other applicable U.S. and non-U.S. anti-money laundering laws and regulations, including, but not limited to, those of the Currency and Foreign Transactions Reporting Act of 1970 , as amended, the USA Patriot Act of 2001 and the applicable money laundering statutes of all applicable jurisdictions, the rules and regulations thereunder and any related or similar rules, regulations or guidelines, issued, administered or enforced by any governmental agency (collectively, the Anti-Money Laundering Laws), and no action, suit or proceeding by or before any court or governmental agency, authority or body or any arbitrator involving the Company with respect to the Anti-Money Laundering Laws is pending or, to the knowledge of the Company, threatened.", "ner": [[5, 7, "Act"], [60, 67, "Act"], [73, 77, "Act"]], "tokenized_text": ["(", "i", ")", "Compliance", "with", "Anti-Money", "Laundering", "Laws", ".", "The", "operations", "of", "the", "Company", "are", "and", "have", "been", "conducted", "at", "all", "times", "in", "compliance", "with", "applicable", "financial", "recordkeeping", "and", "reporting", "requirements", "and", "all", "other", "applicable", "U", ".", "S", ".", "and", "non-U", ".", "S", ".", "anti-money", "laundering", "laws", "and", "regulations", ",", "including", ",", "but", "not", "limited", "to", ",", "those", "of", "the", "Currency", "and", "Foreign", "Transactions", "Reporting", "Act", "of", "1970", ",", "as", "amended", ",", "the", "USA", "Patriot", "Act", "of", "2001", "and", "the", "applicable", "money", "laundering", "statutes", "of", "all", "applicable", "jurisdictions", ",", "the", "rules", "and", "regulations", "thereunder", "and", "any", "related", "or", "similar", "rules", ",", "regulations", "or", "guidelines", ",", "issued", ",", "administered", "or", "enforced", "by", "any", "governmental", "agency", "(", "collectively", ",", "the", "Anti-Money", "Laundering", "Laws", ")", ",", "and", "no", "action", ",", "suit", "or", "proceeding", "by", "or", "before", "any", "court", "or", "governmental", "agency", ",", "authority", "or", "body", "or", "any", "arbitrator", "involving", "the", "Company", "with", "respect", "to", "the", "Anti-Money", "Laundering", "Laws", "is", "pending", "or", ",", "to", "the", "knowledge", "of", "the", "Company", ",", "threatened", "."]}
{"id": "12097", "text": "Agreement. The Company will provide the Forward Contract Parties with applicable materials and information in order for the Forward Contract Parties to evaluate whether to provide a consent to the proposed Business Combination pursuant to paragraph (b) below including the material terms of the transaction and any other information reasonably requested by the Purchaser with respect to the proposed Business Combination , such materials and information to be provided subject to the terms of a non-disclosure agreement to be entered between the Company and the Forward Contract Parties in accordance with applicable law (including Regulation FD under the Securities Exchange Act of 1934 , as amended (the Exchange Act)) and the Companys contractual obligations; provided, that the Company shall have the right to refuse to provide any such materials or information if, in the opinion of the Company, acting reasonably and in good faith having received the advice of counsel, the provision of such materials or information could violate applicable laws or regulations or result in any waiver of legal privilege of the Company; and provided, further, that if the target entitys equity or debt securities are traded on a securities exchange or over-the-counter market, prior to providing such materials and information, the Company will first provide only the name of the potential target to a legal or compliance person designated by each Forward Contract Party in writing as authorized to receive such information (such person, the Designated Person) so that such Forward Contract Party can determine if it has an internal restriction on the receipt of such materials or information; and provided, further, that if any such materials and information cannot be publicly disclosed by the Company following the approval of the Business Combination pursuant to paragraph (c) below and the Companys entry into a definitive agreement with respect thereto, the Company shall receive the prior written consent of the Designated Person prior to providing such materials and information to such Forward Contract Party (such materials and information, the Optional Information). If the Business Combination is approved pursuant to paragraph (c) below and the Company enters into a definitive agreement with respect thereto, the Company will disclose all material nonpublic information concerning the Business Combination in the proxy statement or otherwise other than the Optional Information. In addition, at the election of any Forward Contract Party, the Company and the Sponsor will use commercially reasonable efforts to allow such Forward Contract Party to attend or participate in due diligence sessions with and/or meetings with management of the target entity in a potential Business Combination, subject, in each case, to such Forward Contract Party entering into a non-disclosure agreement with the applicable target entity in a potential Business Combination and complying with other applicable rules and procedures established by such target entity.", "ner": [[32, 33, "Title"], [78, 79, "Title"], [98, 99, "Regulation"], [102, 106, "Act"], [321, 322, "Title"]], "tokenized_text": ["Agreement", ".", "The", "Company", "will", "provide", "the", "Forward", "Contract", "Parties", "with", "applicable", "materials", "and", "information", "in", "order", "for", "the", "Forward", "Contract", "Parties", "to", "evaluate", "whether", "to", "provide", "a", "consent", "to", "the", "proposed", "Business", "Combination", "pursuant", "to", "paragraph", "(", "b", ")", "below", "including", "the", "material", "terms", "of", "the", "transaction", "and", "any", "other", "information", "reasonably", "requested", "by", "the", "Purchaser", "with", "respect", "to", "the", "proposed", "Business", "Combination", ",", "such", "materials", "and", "information", "to", "be", "provided", "subject", "to", "the", "terms", "of", "a", "non-disclosure", "agreement", "to", "be", "entered", "between", "the", "Company", "and", "the", "Forward", "Contract", "Parties", "in", "accordance", "with", "applicable", "law", "(", "including", "Regulation", "FD", "under", "the", "Securities", "Exchange", "Act", "of", "1934", ",", "as", "amended", "(", "the", "Exchange", "Act", ")", ")", "and", "the", "Companys", "contractual", "obligations", ";", "provided", ",", "that", "the", "Company", "shall", "have", "the", "right", "to", "refuse", "to", "provide", "any", "such", "materials", "or", "information", "if", ",", "in", "the", "opinion", "of", "the", "Company", ",", "acting", "reasonably", "and", "in", "good", "faith", "having", "received", "the", "advice", "of", "counsel", ",", "the", "provision", "of", "such", "materials", "or", "information", "could", "violate", "applicable", "laws", "or", "regulations", "or", "result", "in", "any", "waiver", "of", "legal", "privilege", "of", "the", "Company", ";", "and", "provided", ",", "further", ",", "that", "if", "the", "target", "entitys", "equity", "or", "debt", "securities", "are", "traded", "on", "a", "securities", "exchange", "or", "over-the-counter", "market", ",", "prior", "to", "providing", "such", "materials", "and", "information", ",", "the", "Company", "will", "first", "provide", "only", "the", "name", "of", "the", "potential", "target", "to", "a", "legal", "or", "compliance", "person", "designated", "by", "each", "Forward", "Contract", "Party", "in", "writing", "as", "authorized", "to", "receive", "such", "information", "(", "such", "person", ",", "the", "Designated", "Person", ")", "so", "that", "such", "Forward", "Contract", "Party", "can", "determine", "if", "it", "has", "an", "internal", "restriction", "on", "the", "receipt", "of", "such", "materials", "or", "information", ";", "and", "provided", ",", "further", ",", "that", "if", "any", "such", "materials", "and", "information", "cannot", "be", "publicly", "disclosed", "by", "the", "Company", "following", "the", "approval", "of", "the", "Business", "Combination", "pursuant", "to", "paragraph", "(", "c", ")", "below", "and", "the", "Companys", "entry", "into", "a", "definitive", "agreement", "with", "respect", "thereto", ",", "the", "Company", "shall", "receive", "the", "prior", "written", "consent", "of", "the", "Designated", "Person", "prior", "to", "providing", "such", "materials", "and", "information", "to", "such", "Forward", "Contract", "Party", "(", "such", "materials", "and", "information", ",", "the", "Optional", "Information", ")", ".", "If", "the", "Business", "Combination", "is", "approved", "pursuant", "to", "paragraph", "(", "c", ")", "below", "and", "the", "Company", "enters", "into", "a", "definitive", "agreement", "with", "respect", "thereto", ",", "the", "Company", "will", "disclose", "all", "material", "nonpublic", "information", "concerning", "the", "Business", "Combination", "in", "the", "proxy", "statement", "or", "otherwise", "other", "than", "the", "Optional", "Information", ".", "In", "addition", ",", "at", "the", "election", "of", "any", "Forward", "Contract", "Party", ",", "the", "Company", "and", "the", "Sponsor", "will", "use", "commercially", "reasonable", "efforts", "to", "allow", "such", "Forward", "Contract", "Party", "to", "attend", "or", "participate", "in", "due", "diligence", "sessions", "with", "and", "/", "or", "meetings", "with", "management", "of", "the", "target", "entity", "in", "a", "potential", "Business", "Combination", ",", "subject", ",", "in", "each", "case", ",", "to", "such", "Forward", "Contract", "Party", "entering", "into", "a", "non-disclosure", "agreement", "with", "the", "applicable", "target", "entity", "in", "a", "potential", "Business", "Combination", "and", "complying", "with", "other", "applicable", "rules", "and", "procedures", "established", "by", "such", "target", "entity", "."]}
{"id": "12098", "text": "period; and (B) up to 100.0% of their Sponsor Shares, in one or more Transfers, following any thirty (30) consecutive trading day period after the Business Combination Closing during which the MOI Ratio (as defined below) is equal to or exceeds 2.0 to 1.0 for each trading day during such period. For purposes of this Section 7(b)(ii), the MOI Ratio for any trading day is equal to the ratio of (A) the aggregate market value, based on the closing trading price of the Class A Shares (or any shares of common stock or other equity security into which the Class A Shares are convertible or reclassified) on such trading day, of the number of Class A Shares, Class B Shares, Class C Shares and Warrants initially issued by the Company to the Forward Contract Parties pursuant to this Agreement, the Private Placement Warrant Agreement and the Warrant Agreement, as applicable, to (B) the total dollar amount contributed by the Forward Contract Parties to the capital of the Company in connection with this Agreement, the Private Placement Warrant Agreement and the Warrant Agreement;", "ner": [[8, 11, "Percentage"], [53, 59, "Ratio"], [173, 176, "Title"]], "tokenized_text": ["period", ";", "and", "(", "B", ")", "up", "to", "100", ".", "0", "%", "of", "their", "Sponsor", "Shares", ",", "in", "one", "or", "more", "Transfers", ",", "following", "any", "thirty", "(", "30", ")", "consecutive", "trading", "day", "period", "after", "the", "Business", "Combination", "Closing", "during", "which", "the", "MOI", "Ratio", "(", "as", "defined", "below", ")", "is", "equal", "to", "or", "exceeds", "2", ".", "0", "to", "1", ".", "0", "for", "each", "trading", "day", "during", "such", "period", ".", "For", "purposes", "of", "this", "Section", "7", "(", "b", ")", "(", "ii", ")", ",", "the", "MOI", "Ratio", "for", "any", "trading", "day", "is", "equal", "to", "the", "ratio", "of", "(", "A", ")", "the", "aggregate", "market", "value", ",", "based", "on", "the", "closing", "trading", "price", "of", "the", "Class", "A", "Shares", "(", "or", "any", "shares", "of", "common", "stock", "or", "other", "equity", "security", "into", "which", "the", "Class", "A", "Shares", "are", "convertible", "or", "reclassified", ")", "on", "such", "trading", "day", ",", "of", "the", "number", "of", "Class", "A", "Shares", ",", "Class", "B", "Shares", ",", "Class", "C", "Shares", "and", "Warrants", "initially", "issued", "by", "the", "Company", "to", "the", "Forward", "Contract", "Parties", "pursuant", "to", "this", "Agreement", ",", "the", "Private", "Placement", "Warrant", "Agreement", "and", "the", "Warrant", "Agreement", ",", "as", "applicable", ",", "to", "(", "B", ")", "the", "total", "dollar", "amount", "contributed", "by", "the", "Forward", "Contract", "Parties", "to", "the", "capital", "of", "the", "Company", "in", "connection", "with", "this", "Agreement", ",", "the", "Private", "Placement", "Warrant", "Agreement", "and", "the", "Warrant", "Agreement", ";"]}
{"id": "12100", "text": "(a) Notices. All notices and other communications given or made pursuant to this Agreement shall be in writing and shall be deemed effectively given upon the earlier of actual receipt, or (a) personal delivery to the party to be notified, (b) when sent, if sent by electronic mail or facsimile (if any) during normal business hours of the recipient, and if not sent during normal business hours, then on the recipients next Business Day, (c) five (5) Business Days after having been sent by registered or certified mail, return receipt requested, postage prepaid, or (d) one (1) Business Day after deposit with a nationally recognized overnight courier, freight prepaid, specifying next Business Day delivery, with written verification of receipt. All communications sent to the Company shall be sent to: One Madison Corporation , 3 East 28th Street, 8th Floor, New York, New York 10016, Attn: Omar M. Asali, Chief Executive Officer, email : oasali@onemadisongroup.com, with a copy to the Companys counsel at: Davis Polk & Wardwell LLP,", "ner": [[186, 188, "Role"], [192, 196, "PII_Ref"], [207, 213, "Parties"]], "tokenized_text": ["(", "a", ")", "Notices", ".", "All", "notices", "and", "other", "communications", "given", "or", "made", "pursuant", "to", "this", "Agreement", "shall", "be", "in", "writing", "and", "shall", "be", "deemed", "effectively", "given", "upon", "the", "earlier", "of", "actual", "receipt", ",", "or", "(", "a", ")", "personal", "delivery", "to", "the", "party", "to", "be", "notified", ",", "(", "b", ")", "when", "sent", ",", "if", "sent", "by", "electronic", "mail", "or", "facsimile", "(", "if", "any", ")", "during", "normal", "business", "hours", "of", "the", "recipient", ",", "and", "if", "not", "sent", "during", "normal", "business", "hours", ",", "then", "on", "the", "recipients", "next", "Business", "Day", ",", "(", "c", ")", "five", "(", "5", ")", "Business", "Days", "after", "having", "been", "sent", "by", "registered", "or", "certified", "mail", ",", "return", "receipt", "requested", ",", "postage", "prepaid", ",", "or", "(", "d", ")", "one", "(", "1", ")", "Business", "Day", "after", "deposit", "with", "a", "nationally", "recognized", "overnight", "courier", ",", "freight", "prepaid", ",", "specifying", "next", "Business", "Day", "delivery", ",", "with", "written", "verification", "of", "receipt", ".", "All", "communications", "sent", "to", "the", "Company", "shall", "be", "sent", "to", ":", "One", "Madison", "Corporation", ",", "3", "East", "28th", "Street", ",", "8th", "Floor", ",", "New", "York", ",", "New", "York", "10016", ",", "Attn", ":", "Omar", "M", ".", "Asali", ",", "Chief", "Executive", "Officer", ",", "email", ":", "oasali", "@", "onemadisongroup", ".", "com", ",", "with", "a", "copy", "to", "the", "Companys", "counsel", "at", ":", "Davis", "Polk", "&", "amp", ";", "Wardwell", "LLP", ","]}
{"id": "12102", "text": "All communications to the Purchaser shall be sent to the Purchasers address as set forth on the signature page hereof, or to such e-mail address, facsimile number (if any) or address as subsequently modified by written notice given in accordance with this Section 10(a), with a copy to the Purchasers counsel at: Winston & Strawn LLP, 200 Madison Avenue, New York, NY 10166, Attn: Joel L. Rubinstein , Esq., email: jrubinstein@winston.com, fax: (212) 294-4700 .", "ner": [[68, 76, "Address"], [80, 86, "PII_Ref"], [90, 94, "PII_Ref"], [98, 101, "PII_Ref"]], "tokenized_text": ["All", "communications", "to", "the", "Purchaser", "shall", "be", "sent", "to", "the", "Purchasers", "address", "as", "set", "forth", "on", "the", "signature", "page", "hereof", ",", "or", "to", "such", "e-mail", "address", ",", "facsimile", "number", "(", "if", "any", ")", "or", "address", "as", "subsequently", "modified", "by", "written", "notice", "given", "in", "accordance", "with", "this", "Section", "10", "(", "a", ")", ",", "with", "a", "copy", "to", "the", "Purchasers", "counsel", "at", ":", "Winston", "&", "amp", ";", "Strawn", "LLP", ",", "200", "Madison", "Avenue", ",", "New", "York", ",", "NY", "10166", ",", "Attn", ":", "Joel", "L", ".", "Rubinstein", ",", "Esq", ".", ",", "email", ":", "jrubinstein", "@", "winston", ".", "com", ",", "fax", ":", "(", "212", ")", "294-4700", "."]}
{"id": "12103", "text": "(i) Governing Law. This Agreement, the entire relationship of the parties hereto, and any litigation between the parties (whether grounded in contract, tort, statute, law or equity) shall be governed by, construed in accordance with, and interpreted pursuant to the laws of the State of Delaware , without giving effect to its choice of laws principles.", "ner": [[55, 57, "Court"]], "tokenized_text": ["(", "i", ")", "Governing", "Law", ".", "This", "Agreement", ",", "the", "entire", "relationship", "of", "the", "parties", "hereto", ",", "and", "any", "litigation", "between", "the", "parties", "(", "whether", "grounded", "in", "contract", ",", "tort", ",", "statute", ",", "law", "or", "equity", ")", "shall", "be", "governed", "by", ",", "construed", "in", "accordance", "with", ",", "and", "interpreted", "pursuant", "to", "the", "laws", "of", "the", "State", "of", "Delaware", ",", "without", "giving", "effect", "to", "its", "choice", "of", "laws", "principles", "."]}
{"id": "12104", "text": "3\\. If at any time the Company proposes to file a registration statement (a Registration Statement) on its own behalf, or on behalf of any other Persons who have registration rights (Other Holders), relating to an underwritten offering of ordinary shares, or engage in an Underwritten Shelf Takedown off an existing registration statement (a Company Offering), then the Company will provide the Purchaser and each other Forward Contract Party who purchased at least 1,000,000 Forward Purchase Shares (collectively, the Piggyback Holders) with notice in writing (an Offer Notice) at least five (5) Business Days prior to such filing, which Offer Notice will offer to include in the Registration Statement Purchasers Registrable Securities and a minimum of 500,000 of the securities of each other Forward Contract Party which is a Piggyback Holder that constitute Registrable Securities under such parties forward purchase agreements (collectively Piggyback Securities). Within five (5) Business Days (or, in the case of an Offer Notice delivered to the Purchaser or the other Forward Contract Parties in connection with an Underwritten Shelf Takedown, within three (3) Business Days) after receiving the Offer Notice, the Purchaser may make a written request (a Piggyback Request) to the Company to include some or all of Purchasers Registrable Securities in the Registration Statement. If the underwriter(s) for any Company Offering advise the Company that marketing factors require a limitation on the number of securities that may be included in the Company Offering, the number of securities to be so included shall be allocated as follows: (i) first, to", "ner": [[85, 89, "Shares"], [140, 142, "Shares"]], "tokenized_text": ["3", "\\", ".", "If", "at", "any", "time", "the", "Company", "proposes", "to", "file", "a", "registration", "statement", "(", "a", "Registration", "Statement", ")", "on", "its", "own", "behalf", ",", "or", "on", "behalf", "of", "any", "other", "Persons", "who", "have", "registration", "rights", "(", "Other", "Holders", ")", ",", "relating", "to", "an", "underwritten", "offering", "of", "ordinary", "shares", ",", "or", "engage", "in", "an", "Underwritten", "Shelf", "Takedown", "off", "an", "existing", "registration", "statement", "(", "a", "Company", "Offering", ")", ",", "then", "the", "Company", "will", "provide", "the", "Purchaser", "and", "each", "other", "Forward", "Contract", "Party", "who", "purchased", "at", "least", "1", ",", "000", ",", "000", "Forward", "Purchase", "Shares", "(", "collectively", ",", "the", "Piggyback", "Holders", ")", "with", "notice", "in", "writing", "(", "an", "Offer", "Notice", ")", "at", "least", "five", "(", "5", ")", "Business", "Days", "prior", "to", "such", "filing", ",", "which", "Offer", "Notice", "will", "offer", "to", "include", "in", "the", "Registration", "Statement", "Purchasers", "Registrable", "Securities", "and", "a", "minimum", "of", "500", ",", "000", "of", "the", "securities", "of", "each", "other", "Forward", "Contract", "Party", "which", "is", "a", "Piggyback", "Holder", "that", "constitute", "Registrable", "Securities", "under", "such", "parties", "forward", "purchase", "agreements", "(", "collectively", "Piggyback", "Securities", ")", ".", "Within", "five", "(", "5", ")", "Business", "Days", "(", "or", ",", "in", "the", "case", "of", "an", "Offer", "Notice", "delivered", "to", "the", "Purchaser", "or", "the", "other", "Forward", "Contract", "Parties", "in", "connection", "with", "an", "Underwritten", "Shelf", "Takedown", ",", "within", "three", "(", "3", ")", "Business", "Days", ")", "after", "receiving", "the", "Offer", "Notice", ",", "the", "Purchaser", "may", "make", "a", "written", "request", "(", "a", "Piggyback", "Request", ")", "to", "the", "Company", "to", "include", "some", "or", "all", "of", "Purchasers", "Registrable", "Securities", "in", "the", "Registration", "Statement", ".", "If", "the", "underwriter", "(", "s", ")", "for", "any", "Company", "Offering", "advise", "the", "Company", "that", "marketing", "factors", "require", "a", "limitation", "on", "the", "number", "of", "securities", "that", "may", "be", "included", "in", "the", "Company", "Offering", ",", "the", "number", "of", "securities", "to", "be", "so", "included", "shall", "be", "allocated", "as", "follows", ":", "(", "i", ")", "first", ",", "to"]}
{"id": "12109", "text": "| 5| The share capital of the Company is US$[ ] divided into 200,000,000 Class A ordinary shares of a par value of US $0.0001 each, 25,000,000 Class B ordinary shares of a par value of US $0.0001 each, [amount] Class C ordinary shares of a par value of US $0.0001 each and 1,000,000 preference shares of a par value of US $0.0001 each. ---|---|---", "ner": [[16, 20, "Shares"], [30, 34, "Principal"], [37, 41, "Shares"], [77, 81, "Shares"]], "tokenized_text": ["|", "5", "|", "The", "share", "capital", "of", "the", "Company", "is", "US", "$", "[", "]", "divided", "into", "200", ",", "000", ",", "000", "Class", "A", "ordinary", "shares", "of", "a", "par", "value", "of", "US", "$", "0", ".", "0001", "each", ",", "25", ",", "000", ",", "000", "Class", "B", "ordinary", "shares", "of", "a", "par", "value", "of", "US", "$", "0", ".", "0001", "each", ",", "[", "amount", "]", "Class", "C", "ordinary", "shares", "of", "a", "par", "value", "of", "US", "$", "0", ".", "0001", "each", "and", "1", ",", "000", ",", "000", "preference", "shares", "of", "a", "par", "value", "of", "US", "$", "0", ".", "0001", "each", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "12110", "text": "\"Articles\" | means these articles of association of the Company. ---|--- \"Audit Committee\" | means the audit committee of the Company formed pursuant to Article 41.2 hereof, or any successor audit committee. \"Auditor\" | means the person for the time being performing the duties of auditor of the Company (if any). \"Business Combination\" | means a merger, share exchange, asset acquisition, share purchase, reorganisation or similar business combination, with one or more businesses or entities (the target business), which Business Combination: (i) must occur with one or more target businesses that together have an aggregate fair market value of at least 80% of the assets held in the Trust Fund (as defined in the below paragraph) (excluding the deferred underwriting commissions and taxes payable on the income earned on the Trust Fund) at the time of the agreement to enter into the Business Combination; and (ii) must not be effectuated with another blank check company or a similar company with nominal operations. \"business day\" | means any day other than a Saturday, a Sunday or a legal holiday or a day on which banking institutions or trust companies are authorised or obligated by law to close in New York City. \"Class A Share\" | means a Class A ordinary share of a par value of US $0.0001 in the share capital of the Company. \"Class B Share\" | means a Class B ordinary share of a par value of US $0.0001 in the share capital of the Company. \"Class C Share\" | means a Class C ordinary share of a par value of US $0.0001 in the share capital of the Company.", "ner": [[134, 135, "Percentage"], [242, 244, "Address"], [263, 267, "Principal"]], "tokenized_text": ["\"", "Articles", "\"", "|", "means", "these", "articles", "of", "association", "of", "the", "Company", ".", "-", "-", "-", "|", "-", "-", "-", "\"", "Audit", "Committee", "\"", "|", "means", "the", "audit", "committee", "of", "the", "Company", "formed", "pursuant", "to", "Article", "41", ".", "2", "hereof", ",", "or", "any", "successor", "audit", "committee", ".", "\"", "Auditor", "\"", "|", "means", "the", "person", "for", "the", "time", "being", "performing", "the", "duties", "of", "auditor", "of", "the", "Company", "(", "if", "any", ")", ".", "\"", "Business", "Combination", "\"", "|", "means", "a", "merger", ",", "share", "exchange", ",", "asset", "acquisition", ",", "share", "purchase", ",", "reorganisation", "or", "similar", "business", "combination", ",", "with", "one", "or", "more", "businesses", "or", "entities", "(", "the", "target", "business", ")", ",", "which", "Business", "Combination", ":", "(", "i", ")", "must", "occur", "with", "one", "or", "more", "target", "businesses", "that", "together", "have", "an", "aggregate", "fair", "market", "value", "of", "at", "least", "80", "%", "of", "the", "assets", "held", "in", "the", "Trust", "Fund", "(", "as", "defined", "in", "the", "below", "paragraph", ")", "(", "excluding", "the", "deferred", "underwriting", "commissions", "and", "taxes", "payable", "on", "the", "income", "earned", "on", "the", "Trust", "Fund", ")", "at", "the", "time", "of", "the", "agreement", "to", "enter", "into", "the", "Business", "Combination", ";", "and", "(", "ii", ")", "must", "not", "be", "effectuated", "with", "another", "blank", "check", "company", "or", "a", "similar", "company", "with", "nominal", "operations", ".", "\"", "business", "day", "\"", "|", "means", "any", "day", "other", "than", "a", "Saturday", ",", "a", "Sunday", "or", "a", "legal", "holiday", "or", "a", "day", "on", "which", "banking", "institutions", "or", "trust", "companies", "are", "authorised", "or", "obligated", "by", "law", "to", "close", "in", "New", "York", "City", ".", "\"", "Class", "A", "Share", "\"", "|", "means", "a", "Class", "A", "ordinary", "share", "of", "a", "par", "value", "of", "US", "$", "0", ".", "0001", "in", "the", "share", "capital", "of", "the", "Company", ".", "\"", "Class", "B", "Share", "\"", "|", "means", "a", "Class", "B", "ordinary", "share", "of", "a", "par", "value", "of", "US", "$", "0", ".", "0001", "in", "the", "share", "capital", "of", "the", "Company", ".", "\"", "Class", "C", "Share", "\"", "|", "means", "a", "Class", "C", "ordinary", "share", "of", "a", "par", "value", "of", "US", "$", "0", ".", "0001", "in", "the", "share", "capital", "of", "the", "Company", "."]}
{"id": "12111", "text": "\"Company\" | means the above named company. ---|--- \"Designated Stock Exchange\" | means any national securities exchange in the United States on which Shares are listed for trading, including the NASDAQ Stock Market LLC, the NYSE MKT LLC, The New York Stock Exchange LLC or any OTC market. \"Directors\" | means the directors for the time being of the Company. \"Dividend\" | means any dividend (whether interim or final) resolved to be paid on Shares pursuant to the Articles. \"Electronic Record\" | has the same meaning as in the Electronic Transactions Law. \"Electronic Transactions Law\" | means the Electronic Transactions Law (2003 Revision) of the Cayman Islands. \"Exchange Act\" | means the United States Securities Exchange Act of 1934 , as amended. \"Founders\" | means the Sponsor and all Members immediately prior to the consummation of the IPO. Forward Purchase Agreements | means forward purchase agreements entered into among the Company, the Sponsor and certain investors prior to the IPO. Forward Purchase Shares | means Class A Shares and/or Class C Shares issued pursuant to Forward Purchase Agreements. Forward Purchase Warrants | means warrants issued pursuant to Forward Purchase Agreements \"IPO\" | means the Company's initial public offering of securities. \"IPO Redemption\" | has the meaning given to it in Article 49.3. \"Member\" | has the same meaning as in the Statute. \"Memorandum\" | means the memorandum of association of the Company. \"Ordinary Resolution\" | means a resolution passed by a simple majority of the Members as, being entitled to do so, vote in person or, where proxies are allowed, by proxy at a general meeting, and includes a unanimous written resolution. In computing the majority when a poll is demanded regard shall be had to the number of votes to which each Member is entitled by the Articles. \"Over-Allotment Option\" | means the option of the Underwriters to purchase up to an additional 15% of the units (as described at Article 3.3) sold in the IPO at a price equal to US $10.00 per unit, less underwriting discounts and commissions. \"Preference Share\" | means a preference share of a par value of US $0.0001 in the share capital of the Company. \"Public Shares\" | means Class A Shares issued as part of the units sold in the IPO. \"Register of Members\" | means the register of Members maintained in accordance with the Statute and includes (except where otherwise stated) any branch or duplicate register of Members. \"Registered Office \" | means the registered office for the time being of the Company. \"Redemption Price\" | has the meaning given to it in Article 49.3.", "ner": [[114, 116, "Act"], [139, 140, "Act"], [145, 151, "Act"], [175, 177, "Title"], [220, 222, "Shares"], [259, 262, "Regulation"], [283, 285, "Title"], [367, 368, "Title"], [383, 384, "Percentage"], [406, 410, "Price"], [434, 438, "Principal"]], "tokenized_text": ["\"", "Company", "\"", "|", "means", "the", "above", "named", "company", ".", "-", "-", "-", "|", "-", "-", "-", "\"", "Designated", "Stock", "Exchange", "\"", "|", "means", "any", "national", "securities", "exchange", "in", "the", "United", "States", "on", "which", "Shares", "are", "listed", "for", "trading", ",", "including", "the", "NASDAQ", "Stock", "Market", "LLC", ",", "the", "NYSE", "MKT", "LLC", ",", "The", "New", "York", "Stock", "Exchange", "LLC", "or", "any", "OTC", "market", ".", "\"", "Directors", "\"", "|", "means", "the", "directors", "for", "the", "time", "being", "of", "the", "Company", ".", "\"", "Dividend", "\"", "|", "means", "any", "dividend", "(", "whether", "interim", "or", "final", ")", "resolved", "to", "be", "paid", "on", "Shares", "pursuant", "to", "the", "Articles", ".", "\"", "Electronic", "Record", "\"", "|", "has", "the", "same", "meaning", "as", "in", "the", "Electronic", "Transactions", "Law", ".", "\"", "Electronic", "Transactions", "Law", "\"", "|", "means", "the", "Electronic", "Transactions", "Law", "(", "2003", "Revision", ")", "of", "the", "Cayman", "Islands", ".", "\"", "Exchange", "Act", "\"", "|", "means", "the", "United", "States", "Securities", "Exchange", "Act", "of", "1934", ",", "as", "amended", ".", "\"", "Founders", "\"", "|", "means", "the", "Sponsor", "and", "all", "Members", "immediately", "prior", "to", "the", "consummation", "of", "the", "IPO", ".", "Forward", "Purchase", "Agreements", "|", "means", "forward", "purchase", "agreements", "entered", "into", "among", "the", "Company", ",", "the", "Sponsor", "and", "certain", "investors", "prior", "to", "the", "IPO", ".", "Forward", "Purchase", "Shares", "|", "means", "Class", "A", "Shares", "and", "/", "or", "Class", "C", "Shares", "issued", "pursuant", "to", "Forward", "Purchase", "Agreements", ".", "Forward", "Purchase", "Warrants", "|", "means", "warrants", "issued", "pursuant", "to", "Forward", "Purchase", "Agreements", "\"", "IPO", "\"", "|", "means", "the", "Company", "'", "s", "initial", "public", "offering", "of", "securities", ".", "\"", "IPO", "Redemption", "\"", "|", "has", "the", "meaning", "given", "to", "it", "in", "Article", "49", ".", "3", ".", "\"", "Member", "\"", "|", "has", "the", "same", "meaning", "as", "in", "the", "Statute", ".", "\"", "Memorandum", "\"", "|", "means", "the", "memorandum", "of", "association", "of", "the", "Company", ".", "\"", "Ordinary", "Resolution", "\"", "|", "means", "a", "resolution", "passed", "by", "a", "simple", "majority", "of", "the", "Members", "as", ",", "being", "entitled", "to", "do", "so", ",", "vote", "in", "person", "or", ",", "where", "proxies", "are", "allowed", ",", "by", "proxy", "at", "a", "general", "meeting", ",", "and", "includes", "a", "unanimous", "written", "resolution", ".", "In", "computing", "the", "majority", "when", "a", "poll", "is", "demanded", "regard", "shall", "be", "had", "to", "the", "number", "of", "votes", "to", "which", "each", "Member", "is", "entitled", "by", "the", "Articles", ".", "\"", "Over-Allotment", "Option", "\"", "|", "means", "the", "option", "of", "the", "Underwriters", "to", "purchase", "up", "to", "an", "additional", "15", "%", "of", "the", "units", "(", "as", "described", "at", "Article", "3", ".", "3", ")", "sold", "in", "the", "IPO", "at", "a", "price", "equal", "to", "US", "$", "10", ".", "00", "per", "unit", ",", "less", "underwriting", "discounts", "and", "commissions", ".", "\"", "Preference", "Share", "\"", "|", "means", "a", "preference", "share", "of", "a", "par", "value", "of", "US", "$", "0", ".", "0001", "in", "the", "share", "capital", "of", "the", "Company", ".", "\"", "Public", "Shares", "\"", "|", "means", "Class", "A", "Shares", "issued", "as", "part", "of", "the", "units", "sold", "in", "the", "IPO", ".", "\"", "Register", "of", "Members", "\"", "|", "means", "the", "register", "of", "Members", "maintained", "in", "accordance", "with", "the", "Statute", "and", "includes", "(", "except", "where", "otherwise", "stated", ")", "any", "branch", "or", "duplicate", "register", "of", "Members", ".", "\"", "Registered", "Office", "\"", "|", "means", "the", "registered", "office", "for", "the", "time", "being", "of", "the", "Company", ".", "\"", "Redemption", "Price", "\"", "|", "has", "the", "meaning", "given", "to", "it", "in", "Article", "49", ".", "3", "."]}
{"id": "12114", "text": "If the Company initiates any tender offer in accordance with Rule 13e-4 and Regulation 14E of the Exchange Act in connection with a Business Combination, it shall file tender offer documents with the SEC prior to completing a Business Combination which contain substantially the same financial and other information about such Business Combination and the redemption rights as is required under Regulation 14A of the Exchange Act.< br/>", "ner": [[10, 11, "Regulation"], [13, 14, "Regulation"], [17, 18, "Act"], [23, 24, "Title"], [62, 63, "Regulation"], [66, 67, "Act"]], "tokenized_text": ["If", "the", "Company", "initiates", "any", "tender", "offer", "in", "accordance", "with", "Rule", "13e-4", "and", "Regulation", "14E", "of", "the", "Exchange", "Act", "in", "connection", "with", "a", "Business", "Combination", ",", "it", "shall", "file", "tender", "offer", "documents", "with", "the", "SEC", "prior", "to", "completing", "a", "Business", "Combination", "which", "contain", "substantially", "the", "same", "financial", "and", "other", "information", "about", "such", "Business", "Combination", "and", "the", "redemption", "rights", "as", "is", "required", "under", "Regulation", "14A", "of", "the", "Exchange", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "12115", "text": "between annual general meetings or extraordinary general meetings called for the election of Directors and/or the removal of one or more Directors and the filling of any vacancy in that connection, additional Directors and any vacancies in the board of Directors, including unfilled vacancies resulting from the removal of Directors for cause, may be filled by the vote of a majority of the remaining Directors then in office, although less than a quorum (as defined in the Articles), or by the sole remaining Director. All Directors shall hold office until the expiration of their respective terms of office and until their successors shall have been elected and qualified. A Director elected to fill a vacancy resulting from the death, resignation or removal of a Director shall serve for the remainder of the full term of the Director whose death, resignation or removal shall have created such vacancy and until his successor shall have been elected and qualified. Holders of Class A Shares, Class B Shares and Preference Shares may nominate persons for election as Director by sending a written notice addressed to the Company at One Madison Corporation , 3 East 28th Street, 8th Floor, New York, New York 10016 , by prepaid postal delivery, such notice to arrive at least twenty (20) business days before the date of a general meeting at which the election of Directors is to be considered.", "ner": [[173, 175, "Shares"], [177, 179, "Shares"], [181, 182, "Shares"]], "tokenized_text": ["between", "annual", "general", "meetings", "or", "extraordinary", "general", "meetings", "called", "for", "the", "election", "of", "Directors", "and", "/", "or", "the", "removal", "of", "one", "or", "more", "Directors", "and", "the", "filling", "of", "any", "vacancy", "in", "that", "connection", ",", "additional", "Directors", "and", "any", "vacancies", "in", "the", "board", "of", "Directors", ",", "including", "unfilled", "vacancies", "resulting", "from", "the", "removal", "of", "Directors", "for", "cause", ",", "may", "be", "filled", "by", "the", "vote", "of", "a", "majority", "of", "the", "remaining", "Directors", "then", "in", "office", ",", "although", "less", "than", "a", "quorum", "(", "as", "defined", "in", "the", "Articles", ")", ",", "or", "by", "the", "sole", "remaining", "Director", ".", "All", "Directors", "shall", "hold", "office", "until", "the", "expiration", "of", "their", "respective", "terms", "of", "office", "and", "until", "their", "successors", "shall", "have", "been", "elected", "and", "qualified", ".", "A", "Director", "elected", "to", "fill", "a", "vacancy", "resulting", "from", "the", "death", ",", "resignation", "or", "removal", "of", "a", "Director", "shall", "serve", "for", "the", "remainder", "of", "the", "full", "term", "of", "the", "Director", "whose", "death", ",", "resignation", "or", "removal", "shall", "have", "created", "such", "vacancy", "and", "until", "his", "successor", "shall", "have", "been", "elected", "and", "qualified", ".", "Holders", "of", "Class", "A", "Shares", ",", "Class", "B", "Shares", "and", "Preference", "Shares", "may", "nominate", "persons", "for", "election", "as", "Director", "by", "sending", "a", "written", "notice", "addressed", "to", "the", "Company", "at", "One", "Madison", "Corporation", ",", "3", "East", "28th", "Street", ",", "8th", "Floor", ",", "New", "York", ",", "New", "York", "10016", ",", "by", "prepaid", "postal", "delivery", ",", "such", "notice", "to", "arrive", "at", "least", "twenty", "(", "20", ")", "business", "days", "before", "the", "date", "of", "a", "general", "meeting", "at", "which", "the", "election", "of", "Directors", "is", "to", "be", "considered", "."]}
{"id": "12117", "text": "WHEREAS, Seller owns all of the issued and outstanding shares of stock (the Shares), of SpendSmart Networks, Inc. , a California corporation (the Company);", "ner": [[19, 23, "Parties"]], "tokenized_text": ["WHEREAS", ",", "Seller", "owns", "all", "of", "the", "issued", "and", "outstanding", "shares", "of", "stock", "(", "the", "Shares", ")", ",", "of", "SpendSmart", "Networks", ",", "Inc", ".", ",", "a", "California", "corporation", "(", "the", "Company", ")", ";"]}
{"id": "12118", "text": "CERCLA means the Comprehensive Environmental Response, Compensation , and Liability Act of 1980, as amended by the Superfund Amendments and Reauthorization Act of 1986 , 42 U.S.C. 9601 et seq.", "ner": [[3, 13, "Act"], [19, 25, "Act"], [27, 34, "Regulation"]], "tokenized_text": ["CERCLA", "means", "the", "Comprehensive", "Environmental", "Response", ",", "Compensation", ",", "and", "Liability", "Act", "of", "1980", ",", "as", "amended", "by", "the", "Superfund", "Amendments", "and", "Reauthorization", "Act", "of", "1986", ",", "42", "U", ".", "S", ".", "C", ".", "9601", "et", "seq", "."]}
{"id": "12120", "text": "ERISA means the Employee Retirement Income Security Act of 1974 , as amended, and the regulations promulgated thereunder.", "ner": [[3, 9, "Act"]], "tokenized_text": ["ERISA", "means", "the", "Employee", "Retirement", "Income", "Security", "Act", "of", "1974", ",", "as", "amended", ",", "and", "the", "regulations", "promulgated", "thereunder", "."]}
{"id": "12123", "text": "Section 3.16 Insurance. Section 3.16 of the Disclosure Schedules sets forth a true and complete list of all current policies or binders of fire, liability, product liability, umbrella liability, real and personal property, workers compensation, vehicular, directors and officers liability, fiduciary liability and other casualty and property insurance maintained by Seller or its Affiliates (including the Company) and relating to the assets, business, operations, employees, officers and directors of the Company (collectively, the Insurance Policies) and true and complete copies of such Insurance Policies have been made available to Buyer. Such Insurance Policies are in full force and effect and shall remain in full force and effect following the consummation of the transactions contemplated by this Agreement. Neither the Seller nor any of its Affiliates (including the Company) has received any written notice of cancellation of, premium increase with respect to, or alteration of coverage under, any of such Insurance Policies. All premiums due on such Insurance Policies have either been paid or, if due and payable prior to Closing, will be paid prior to Closing in accordance with the payment terms of each Insurance Policy. The Insurance Policies do not provide for any retrospective premium adjustment or other experience-based liability on the part of the Company. All such Insurance Policies (a) are valid and binding in accordance with their terms; (b) are provided by carriers who are financially solvent; and (c) have not been subject to any lapse in coverage. There are no claims related to the business of the Company pending under any such Insurance Policies as to which coverage has been questioned, denied or disputed or in respect of which there is an outstanding reservation of rights. None of Seller or any of its Affiliates (including the Company) is in default under, or has otherwise failed to comply with, in any material respect, any provision contained in any such Insurance Policy. The Insurance Policies are of the type and in the amounts customarily carried by Persons conducting a business similar to the Company and are sufficient for compliance with all applicable Laws and Contracts to which the Company is a party or by which it is bound.", "ner": [[94, 95, "Title"], [216, 217, "Title"]], "tokenized_text": ["Section", "3", ".", "16", "Insurance", ".", "Section", "3", ".", "16", "of", "the", "Disclosure", "Schedules", "sets", "forth", "a", "true", "and", "complete", "list", "of", "all", "current", "policies", "or", "binders", "of", "fire", ",", "liability", ",", "product", "liability", ",", "umbrella", "liability", ",", "real", "and", "personal", "property", ",", "workers", "compensation", ",", "vehicular", ",", "directors", "and", "officers", "liability", ",", "fiduciary", "liability", "and", "other", "casualty", "and", "property", "insurance", "maintained", "by", "Seller", "or", "its", "Affiliates", "(", "including", "the", "Company", ")", "and", "relating", "to", "the", "assets", ",", "business", ",", "operations", ",", "employees", ",", "officers", "and", "directors", "of", "the", "Company", "(", "collectively", ",", "the", "Insurance", "Policies", ")", "and", "true", "and", "complete", "copies", "of", "such", "Insurance", "Policies", "have", "been", "made", "available", "to", "Buyer", ".", "Such", "Insurance", "Policies", "are", "in", "full", "force", "and", "effect", "and", "shall", "remain", "in", "full", "force", "and", "effect", "following", "the", "consummation", "of", "the", "transactions", "contemplated", "by", "this", "Agreement", ".", "Neither", "the", "Seller", "nor", "any", "of", "its", "Affiliates", "(", "including", "the", "Company", ")", "has", "received", "any", "written", "notice", "of", "cancellation", "of", ",", "premium", "increase", "with", "respect", "to", ",", "or", "alteration", "of", "coverage", "under", ",", "any", "of", "such", "Insurance", "Policies", ".", "All", "premiums", "due", "on", "such", "Insurance", "Policies", "have", "either", "been", "paid", "or", ",", "if", "due", "and", "payable", "prior", "to", "Closing", ",", "will", "be", "paid", "prior", "to", "Closing", "in", "accordance", "with", "the", "payment", "terms", "of", "each", "Insurance", "Policy", ".", "The", "Insurance", "Policies", "do", "not", "provide", "for", "any", "retrospective", "premium", "adjustment", "or", "other", "experience-based", "liability", "on", "the", "part", "of", "the", "Company", ".", "All", "such", "Insurance", "Policies", "(", "a", ")", "are", "valid", "and", "binding", "in", "accordance", "with", "their", "terms", ";", "(", "b", ")", "are", "provided", "by", "carriers", "who", "are", "financially", "solvent", ";", "and", "(", "c", ")", "have", "not", "been", "subject", "to", "any", "lapse", "in", "coverage", ".", "There", "are", "no", "claims", "related", "to", "the", "business", "of", "the", "Company", "pending", "under", "any", "such", "Insurance", "Policies", "as", "to", "which", "coverage", "has", "been", "questioned", ",", "denied", "or", "disputed", "or", "in", "respect", "of", "which", "there", "is", "an", "outstanding", "reservation", "of", "rights", ".", "None", "of", "Seller", "or", "any", "of", "its", "Affiliates", "(", "including", "the", "Company", ")", "is", "in", "default", "under", ",", "or", "has", "otherwise", "failed", "to", "comply", "with", ",", "in", "any", "material", "respect", ",", "any", "provision", "contained", "in", "any", "such", "Insurance", "Policy", ".", "The", "Insurance", "Policies", "are", "of", "the", "type", "and", "in", "the", "amounts", "customarily", "carried", "by", "Persons", "conducting", "a", "business", "similar", "to", "the", "Company", "and", "are", "sufficient", "for", "compliance", "with", "all", "applicable", "Laws", "and", "Contracts", "to", "which", "the", "Company", "is", "a", "party", "or", "by", "which", "it", "is", "bound", "."]}
{"id": "12125", "text": "(d) The Company has complied with the WARN Act, and it has no plans to undertake any action in the future that would trigger the WARN Act.< br/>", "ner": [[9, 10, "Act"]], "tokenized_text": ["(", "d", ")", "The", "Company", "has", "complied", "with", "the", "WARN", "Act", ",", "and", "it", "has", "no", "plans", "to", "undertake", "any", "action", "in", "the", "future", "that", "would", "trigger", "the", "WARN", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "12126", "text": "(f) Seller is not a foreign person as that term is used in Treasury Regulations Section 1.1445-2. The Company is not, nor has it been, a United States real property holding corporation (as defined in Section 897(c)(2) of the Code) during the applicable period specified in Section 897(c)(1)(a) of the Code. The Company has not been a distributing corporation or a controlled corporation in connection with a distribution described in Section 355 of the Code. The Company is not, and has not been, a party to, or a promoter of, a reportable transaction within the meaning of Section 6707A(c)(1) of the Code and Treasury Regulations Section 1.6011 4(b). There is currently no limitation on the utilization of net operating losses, capital losses, built-in losses, tax credits or similar items of the Company under Sections 269, 382, 383, 384 or 1502 of the Code and the Treasury Regulations thereunder (and comparable provisions of state, local or foreign Law).", "ner": [[15, 20, "Regulation"], [43, 50, "Regulation"], [139, 145, "Regulation"], [178, 187, "Regulation"]], "tokenized_text": ["(", "f", ")", "Seller", "is", "not", "a", "foreign", "person", "as", "that", "term", "is", "used", "in", "Treasury", "Regulations", "Section", "1", ".", "1445-2", ".", "The", "Company", "is", "not", ",", "nor", "has", "it", "been", ",", "a", "United", "States", "real", "property", "holding", "corporation", "(", "as", "defined", "in", "Section", "897", "(", "c", ")", "(", "2", ")", "of", "the", "Code", ")", "during", "the", "applicable", "period", "specified", "in", "Section", "897", "(", "c", ")", "(", "1", ")", "(", "a", ")", "of", "the", "Code", ".", "The", "Company", "has", "not", "been", "a", "distributing", "corporation", "or", "a", "controlled", "corporation", "in", "connection", "with", "a", "distribution", "described", "in", "Section", "355", "of", "the", "Code", ".", "The", "Company", "is", "not", ",", "and", "has", "not", "been", ",", "a", "party", "to", ",", "or", "a", "promoter", "of", ",", "a", "reportable", "transaction", "within", "the", "meaning", "of", "Section", "6707A", "(", "c", ")", "(", "1", ")", "of", "the", "Code", "and", "Treasury", "Regulations", "Section", "1", ".", "6011", "4", "(", "b", ")", ".", "There", "is", "currently", "no", "limitation", "on", "the", "utilization", "of", "net", "operating", "losses", ",", "capital", "losses", ",", "built-in", "losses", ",", "tax", "credits", "or", "similar", "items", "of", "the", "Company", "under", "Sections", "269", ",", "382", ",", "383", ",", "384", "or", "1502", "of", "the", "Code", "and", "the", "Treasury", "Regulations", "thereunder", "(", "and", "comparable", "provisions", "of", "state", ",", "local", "or", "foreign", "Law", ")", "."]}
{"id": "12127", "text": "Section 4.03 Investment Purpose. Buyer is acquiring the Shares solely for its own account for investment purposes and not with a view to, or for offer or sale in connection with, any distribution thereof. Buyer acknowledges that the Shares are not registered under the Securities Act of 1933 , as amended, or any state securities laws, and that the Shares may not be transferred or sold except pursuant to the registration provisions of the Securities Act of 1933 , as amended or pursuant to an applicable exemption therefrom and subject to state securities laws and regulations, as applicable.", "ner": [[50, 53, "Act"]], "tokenized_text": ["Section", "4", ".", "03", "Investment", "Purpose", ".", "Buyer", "is", "acquiring", "the", "Shares", "solely", "for", "its", "own", "account", "for", "investment", "purposes", "and", "not", "with", "a", "view", "to", ",", "or", "for", "offer", "or", "sale", "in", "connection", "with", ",", "any", "distribution", "thereof", ".", "Buyer", "acknowledges", "that", "the", "Shares", "are", "not", "registered", "under", "the", "Securities", "Act", "of", "1933", ",", "as", "amended", ",", "or", "any", "state", "securities", "laws", ",", "and", "that", "the", "Shares", "may", "not", "be", "transferred", "or", "sold", "except", "pursuant", "to", "the", "registration", "provisions", "of", "the", "Securities", "Act", "of", "1933", ",", "as", "amended", "or", "pursuant", "to", "an", "applicable", "exemption", "therefrom", "and", "subject", "to", "state", "securities", "laws", "and", "regulations", ",", "as", "applicable", "."]}
{"id": "12128", "text": "(a) Seller shall not, and shall not authorize or permit any of its Affiliates (including the Company) or any of its or their Representatives to, directly or indirectly, (i) encourage, solicit, initiate, facilitate or continue inquiries regarding an Acquisition Proposal; (ii) enter into discussions or negotiations with, or provide any information to, any Person concerning a possible Acquisition Proposal ; or (iii) enter into any agreements or other instruments (whether or not binding) regarding an Acquisition Proposal. Seller shall immediately cease and cause to be terminated, and shall cause its Affiliates (including the Company) and all of its and their Representatives to immediately cease and cause to be terminated, all existing discussions or negotiations with any Persons conducted heretofore with respect to, or that could lead to, an Acquisition Proposal. For purposes hereof, Acquisition Proposal shall mean any inquiry, proposal or offer from any Person (other than Buyer or any of its Affiliates) concerning (i) a merger, consolidation, liquidation, recapitalization, share exchange or other business combination transaction involving the Company; (ii) the issuance or acquisition of shares of capital stock or other equity securities of the Company; or (iii) the sale, lease, exchange or other disposition of any significant portion of the Companys properties or assets.", "ner": [[50, 51, "Title"]], "tokenized_text": ["(", "a", ")", "Seller", "shall", "not", ",", "and", "shall", "not", "authorize", "or", "permit", "any", "of", "its", "Affiliates", "(", "including", "the", "Company", ")", "or", "any", "of", "its", "or", "their", "Representatives", "to", ",", "directly", "or", "indirectly", ",", "(", "i", ")", "encourage", ",", "solicit", ",", "initiate", ",", "facilitate", "or", "continue", "inquiries", "regarding", "an", "Acquisition", "Proposal", ";", "(", "ii", ")", "enter", "into", "discussions", "or", "negotiations", "with", ",", "or", "provide", "any", "information", "to", ",", "any", "Person", "concerning", "a", "possible", "Acquisition", "Proposal", ";", "or", "(", "iii", ")", "enter", "into", "any", "agreements", "or", "other", "instruments", "(", "whether", "or", "not", "binding", ")", "regarding", "an", "Acquisition", "Proposal", ".", "Seller", "shall", "immediately", "cease", "and", "cause", "to", "be", "terminated", ",", "and", "shall", "cause", "its", "Affiliates", "(", "including", "the", "Company", ")", "and", "all", "of", "its", "and", "their", "Representatives", "to", "immediately", "cease", "and", "cause", "to", "be", "terminated", ",", "all", "existing", "discussions", "or", "negotiations", "with", "any", "Persons", "conducted", "heretofore", "with", "respect", "to", ",", "or", "that", "could", "lead", "to", ",", "an", "Acquisition", "Proposal", ".", "For", "purposes", "hereof", ",", "Acquisition", "Proposal", "shall", "mean", "any", "inquiry", ",", "proposal", "or", "offer", "from", "any", "Person", "(", "other", "than", "Buyer", "or", "any", "of", "its", "Affiliates", ")", "concerning", "(", "i", ")", "a", "merger", ",", "consolidation", ",", "liquidation", ",", "recapitalization", ",", "share", "exchange", "or", "other", "business", "combination", "transaction", "involving", "the", "Company", ";", "(", "ii", ")", "the", "issuance", "or", "acquisition", "of", "shares", "of", "capital", "stock", "or", "other", "equity", "securities", "of", "the", "Company", ";", "or", "(", "iii", ")", "the", "sale", ",", "lease", ",", "exchange", "or", "other", "disposition", "of", "any", "significant", "portion", "of", "the", "Companys", "properties", "or", "assets", "."]}
{"id": "12130", "text": "(g) All governmental and regulatory filings, authorizations and approvals that are required for the consummation of the transactions contemplated hereby will have been duly made and obtained, all on terms satisfactory to the Buyer .", "ner": [], "tokenized_text": ["(", "g", ")", "All", "governmental", "and", "regulatory", "filings", ",", "authorizations", "and", "approvals", "that", "are", "required", "for", "the", "consummation", "of", "the", "transactions", "contemplated", "hereby", "will", "have", "been", "duly", "made", "and", "obtained", ",", "all", "on", "terms", "satisfactory", "to", "the", "Buyer", "."]}
{"id": "12136", "text": "Facsimile: 844 670 6009", "ner": [[2, 4, "PII_Ref"]], "tokenized_text": ["Facsimile", ":", "844", "670", "6009"]}
{"id": "12141", "text": "| 1.| Purchase and Sale. The Seller hereby agree to sell to the Purchaser and the Purchaser, in reliance on the representations and warranties contained herein, and subject to the terms and conditions of this Agreement, agree to purchase from the Seller the Shares of the Company, representing 78.3% of the Companys total issued and outstanding shares of common stocks for a total purchase price of Four Hundred and Thirty Thousand ( $430,000 )(the Purchase Price), payable in immediately available funds in United States currency. Purchaser and Seller acknowledge and accept that the trading price of the Shares may decrease or increase subsequent to the sale of the Shares. Purchaser and Seller waive claims to any losses as a result of the sale of the Shares. ---|---|---", "ner": [[55, 58, "Percentage"], [76, 80, "Price"], [82, 85, "Principal"]], "tokenized_text": ["|", "1", ".", "|", "Purchase", "and", "Sale", ".", "The", "Seller", "hereby", "agree", "to", "sell", "to", "the", "Purchaser", "and", "the", "Purchaser", ",", "in", "reliance", "on", "the", "representations", "and", "warranties", "contained", "herein", ",", "and", "subject", "to", "the", "terms", "and", "conditions", "of", "this", "Agreement", ",", "agree", "to", "purchase", "from", "the", "Seller", "the", "Shares", "of", "the", "Company", ",", "representing", "78", ".", "3", "%", "of", "the", "Companys", "total", "issued", "and", "outstanding", "shares", "of", "common", "stocks", "for", "a", "total", "purchase", "price", "of", "Four", "Hundred", "and", "Thirty", "Thousand", "(", "$", "430", ",", "000", ")", "(", "the", "Purchase", "Price", ")", ",", "payable", "in", "immediately", "available", "funds", "in", "United", "States", "currency", ".", "Purchaser", "and", "Seller", "acknowledge", "and", "accept", "that", "the", "trading", "price", "of", "the", "Shares", "may", "decrease", "or", "increase", "subsequent", "to", "the", "sale", "of", "the", "Shares", ".", "Purchaser", "and", "Seller", "waive", "claims", "to", "any", "losses", "as", "a", "result", "of", "the", "sale", "of", "the", "Shares", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "12142", "text": "| 2.4.2.| The remaining Twenty Five Thousand ( $25,000 ) will be released immediately upon the filing of the Companys quarterly report on Form 10-Q for the period ended September 30, 2017 (the Immediate Report) to the Seller , and in accordance with the wire transfer instructions for the Seller set forth on Exhibit E, provided that such Immediate Report is timely filed with the Securities and Exchange Commission (SEC or the Commission). In the event that the Immediate Report is not timely filed with the SEC, Purchasers shall notify the Escrow Agent in writing to release $25,000 to the Purchaser or as otherwise instructed in the release notice within 5 business days upon the occurrence of such failure. The Escrow Agent shall notify the Seller within 2 business days upon receipt of the release notice. The Seller shall notify the Purchasers and the Escrow Agent in writing within 5 business days upon the receipt of such notification from the Escrow Agent if it considers itself has satisfied its obligation under Section 3.14 of this Agreement and thus disputes such release. If the Seller timely notifies the Escrow Agent about the dispute, the Escrow Agent shall withhold $25,000 until the dispute is resolved and the Seller and Purchasers have to come to a mutual agreement about the release of $25,000. If the Seller does not or fails to notify the Escrow Agent within 5 business days of the receipt of the notice from the Escrow Agent, the Escrow Agent shall promptly release $25,000 pursuant to the release notice from the Purchasers. ---|---|---", "ner": [[14, 17, "Principal"]], "tokenized_text": ["|", "2", ".", "4", ".", "2", ".", "|", "The", "remaining", "Twenty", "Five", "Thousand", "(", "$", "25", ",", "000", ")", "will", "be", "released", "immediately", "upon", "the", "filing", "of", "the", "Companys", "quarterly", "report", "on", "Form", "10-Q", "for", "the", "period", "ended", "September", "30", ",", "2017", "(", "the", "Immediate", "Report", ")", "to", "the", "Seller", ",", "and", "in", "accordance", "with", "the", "wire", "transfer", "instructions", "for", "the", "Seller", "set", "forth", "on", "Exhibit", "E", ",", "provided", "that", "such", "Immediate", "Report", "is", "timely", "filed", "with", "the", "Securities", "and", "Exchange", "Commission", "(", "SEC", "or", "the", "Commission", ")", ".", "In", "the", "event", "that", "the", "Immediate", "Report", "is", "not", "timely", "filed", "with", "the", "SEC", ",", "Purchasers", "shall", "notify", "the", "Escrow", "Agent", "in", "writing", "to", "release", "$", "25", ",", "000", "to", "the", "Purchaser", "or", "as", "otherwise", "instructed", "in", "the", "release", "notice", "within", "5", "business", "days", "upon", "the", "occurrence", "of", "such", "failure", ".", "The", "Escrow", "Agent", "shall", "notify", "the", "Seller", "within", "2", "business", "days", "upon", "receipt", "of", "the", "release", "notice", ".", "The", "Seller", "shall", "notify", "the", "Purchasers", "and", "the", "Escrow", "Agent", "in", "writing", "within", "5", "business", "days", "upon", "the", "receipt", "of", "such", "notification", "from", "the", "Escrow", "Agent", "if", "it", "considers", "itself", "has", "satisfied", "its", "obligation", "under", "Section", "3", ".", "14", "of", "this", "Agreement", "and", "thus", "disputes", "such", "release", ".", "If", "the", "Seller", "timely", "notifies", "the", "Escrow", "Agent", "about", "the", "dispute", ",", "the", "Escrow", "Agent", "shall", "withhold", "$", "25", ",", "000", "until", "the", "dispute", "is", "resolved", "and", "the", "Seller", "and", "Purchasers", "have", "to", "come", "to", "a", "mutual", "agreement", "about", "the", "release", "of", "$", "25", ",", "000", ".", "If", "the", "Seller", "does", "not", "or", "fails", "to", "notify", "the", "Escrow", "Agent", "within", "5", "business", "days", "of", "the", "receipt", "of", "the", "notice", "from", "the", "Escrow", "Agent", ",", "the", "Escrow", "Agent", "shall", "promptly", "release", "$", "25", ",", "000", "pursuant", "to", "the", "release", "notice", "from", "the", "Purchasers", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "12143", "text": "3.11. Private Offering. No registration of the Shares, pursuant to the provisions of the Securities Act of 1933 , as amended, or any state securities or blue sky laws, will be required by the sale of the Shares in the manner contemplated in Section 1 herein. Seller agrees that neither he or she, nor anyone acting on his or her behalf, shall offer to sell the Shares or any other securities of the Company so as to require the registration of the Shares pursuant to the provisions of the Securities Act of 1933 , as amended, or any state securities or blue sky laws.", "ner": [[19, 22, "Act"]], "tokenized_text": ["3", ".", "11", ".", "Private", "Offering", ".", "No", "registration", "of", "the", "Shares", ",", "pursuant", "to", "the", "provisions", "of", "the", "Securities", "Act", "of", "1933", ",", "as", "amended", ",", "or", "any", "state", "securities", "or", "blue", "sky", "laws", ",", "will", "be", "required", "by", "the", "sale", "of", "the", "Shares", "in", "the", "manner", "contemplated", "in", "Section", "1", "herein", ".", "Seller", "agrees", "that", "neither", "he", "or", "she", ",", "nor", "anyone", "acting", "on", "his", "or", "her", "behalf", ",", "shall", "offer", "to", "sell", "the", "Shares", "or", "any", "other", "securities", "of", "the", "Company", "so", "as", "to", "require", "the", "registration", "of", "the", "Shares", "pursuant", "to", "the", "provisions", "of", "the", "Securities", "Act", "of", "1933", ",", "as", "amended", ",", "or", "any", "state", "securities", "or", "blue", "sky", "laws", "."]}
{"id": "12144", "text": "4.1 Purchaser is Not a U.S. Person. Purchaser represents and warrants that: (A) such Purchaser is not a U.S. person as defined in Rule 902 of Regulation S under the Securities Act ( each, U.S. person); (B) all offers to acquire the Shares were made to the Purchaser while the Purchaser was outside the United States; (C) the Purchasers request to acquire the Shares originated while the Purchaser was outside of the United States, (D) neither the Shares nor any interest therein will be transferred within the United States, its territories or possessions or to any U.S. person and (E) the Shares have not been acquired for the benefit of any U.S. person.", "ner": [[35, 36, "Regulation"], [38, 39, "Regulation"], [42, 43, "Act"]], "tokenized_text": ["4", ".", "1", "Purchaser", "is", "Not", "a", "U", ".", "S", ".", "Person", ".", "Purchaser", "represents", "and", "warrants", "that", ":", "(", "A", ")", "such", "Purchaser", "is", "not", "a", "U", ".", "S", ".", "person", "as", "defined", "in", "Rule", "902", "of", "Regulation", "S", "under", "the", "Securities", "Act", "(", "each", ",", "U", ".", "S", ".", "person", ")", ";", "(", "B", ")", "all", "offers", "to", "acquire", "the", "Shares", "were", "made", "to", "the", "Purchaser", "while", "the", "Purchaser", "was", "outside", "the", "United", "States", ";", "(", "C", ")", "the", "Purchasers", "request", "to", "acquire", "the", "Shares", "originated", "while", "the", "Purchaser", "was", "outside", "of", "the", "United", "States", ",", "(", "D", ")", "neither", "the", "Shares", "nor", "any", "interest", "therein", "will", "be", "transferred", "within", "the", "United", "States", ",", "its", "territories", "or", "possessions", "or", "to", "any", "U", ".", "S", ".", "person", "and", "(", "E", ")", "the", "Shares", "have", "not", "been", "acquired", "for", "the", "benefit", "of", "any", "U", ".", "S", ".", "person", "."]}
{"id": "12146", "text": "| (a)| THE SECURITIES REPRESENTED BY THIS CERTIFICATE HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933 , AS AMENDED (THE ACT ), OR THE SECURITIES LAWS OF ANY STATE AND MAY NOT BE SOLD OR TRANSFERRED IN THE ABSENCE OF AN EFFECTIVE REGISTRATION STATEMENT UNDER APPLICABLE FEDERAL AND STATE SECURITIES LAWS OR PURSUANT TO AN APPLICABLE EXEMPTION FROM, OR IN A TRANSACTION NOT SUBJECT TO, THE REGISTRATION REQUIREMENTS OF THE ACT AND IN ACCORDANCE WITH APPLICABLE STATE SECURITIES LAWS AS EVIDENCED BY A LEGAL OPINION OF COUNSEL TO THE TRANSFEROR TO SUCH EFFECT, WHICH OPINION SHALL BE REASONABLY ACCEPTABLE TO THE COMPANY. ---|---|---", "ner": [[17, 20, "Act"]], "tokenized_text": ["|", "(", "a", ")", "|", "THE", "SECURITIES", "REPRESENTED", "BY", "THIS", "CERTIFICATE", "HAVE", "NOT", "BEEN", "REGISTERED", "UNDER", "THE", "SECURITIES", "ACT", "OF", "1933", ",", "AS", "AMENDED", "(", "THE", "ACT", ")", ",", "OR", "THE", "SECURITIES", "LAWS", "OF", "ANY", "STATE", "AND", "MAY", "NOT", "BE", "SOLD", "OR", "TRANSFERRED", "IN", "THE", "ABSENCE", "OF", "AN", "EFFECTIVE", "REGISTRATION", "STATEMENT", "UNDER", "APPLICABLE", "FEDERAL", "AND", "STATE", "SECURITIES", "LAWS", "OR", "PURSUANT", "TO", "AN", "APPLICABLE", "EXEMPTION", "FROM", ",", "OR", "IN", "A", "TRANSACTION", "NOT", "SUBJECT", "TO", ",", "THE", "REGISTRATION", "REQUIREMENTS", "OF", "THE", "ACT", "AND", "IN", "ACCORDANCE", "WITH", "APPLICABLE", "STATE", "SECURITIES", "LAWS", "AS", "EVIDENCED", "BY", "A", "LEGAL", "OPINION", "OF", "COUNSEL", "TO", "THE", "TRANSFEROR", "TO", "SUCH", "EFFECT", ",", "WHICH", "OPINION", "SHALL", "BE", "REASONABLY", "ACCEPTABLE", "TO", "THE", "COMPANY", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "12149", "text": "SELLER: | ---|--- | | /s/ Zur Dadon | | Zur Dadon | | | COMPANY: | | | Spirit International, Inc. A Nevada corporation | | | By: | /s/ Zur Dadon | | Name: Zur Dadon Title: CEO | | Address: 2620 Regatta Drive, Suite 102, Las Vegas, NV |", "ner": [[15, 16, "Parties"], [29, 33, "Parties"], [56, 56, "Role"], [61, 71, "Address"]], "tokenized_text": ["SELLER", ":", "|", "-", "-", "-", "|", "-", "-", "-", "|", "|", "/", "s", "/", "Zur", "Dadon", "|", "|", "Zur", "Dadon", "|", "|", "|", "COMPANY", ":", "|", "|", "|", "Spirit", "International", ",", "Inc", ".", "A", "Nevada", "corporation", "|", "|", "|", "By", ":", "|", "/", "s", "/", "Zur", "Dadon", "|", "|", "Name", ":", "Zur", "Dadon", "Title", ":", "CEO", "|", "|", "Address", ":", "2620", "Regatta", "Drive", ",", "Suite", "102", ",", "Las", "Vegas", ",", "NV", "|"]}
{"id": "12150", "text": "PURCHASER: | ---|--- | | Kimho Consultants Company Limited | A Hong Kong limited liability company | | | By: | /s/Kimberly Leung | | Name: Kimberly Leung Title: Director | | Address: Unit 1510, Tower 1, Silvercord Centre, 30 Canton Road, Tsim Sha Tsui, Kowloon, Hong Kong |", "ner": [[12, 15, "Parties"], [32, 33, "Parties"], [42, 42, "Role"]], "tokenized_text": ["PURCHASER", ":", "|", "-", "-", "-", "|", "-", "-", "-", "|", "|", "Kimho", "Consultants", "Company", "Limited", "|", "A", "Hong", "Kong", "limited", "liability", "company", "|", "|", "|", "By", ":", "|", "/", "s", "/", "Kimberly", "Leung", "|", "|", "Name", ":", "Kimberly", "Leung", "Title", ":", "Director", "|", "|", "Address", ":", "Unit", "1510", ",", "Tower", "1", ",", "Silvercord", "Centre", ",", "30", "Canton", "Road", ",", "Tsim", "Sha", "Tsui", ",", "Kowloon", ",", "Hong", "Kong", "|"]}
{"id": "12151", "text": "This Securities Purchase Agreement (this Agreement) is dated as of October 12, 2017 , between Chanticleer Holdings, Inc. , a Delaware corporation (the Company), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a Purchaser and collectively the Purchasers).", "ner": [[1, 3, "Title"], [12, 15, "EffectiveDate"], [18, 22, "Parties"]], "tokenized_text": ["This", "Securities", "Purchase", "Agreement", "(", "this", "Agreement", ")", "is", "dated", "as", "of", "October", "12", ",", "2017", ",", "between", "Chanticleer", "Holdings", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "the", "Company", ")", ",", "and", "each", "purchaser", "identified", "on", "the", "signature", "pages", "hereto", "(", "each", ",", "including", "its", "successors", "and", "assigns", ",", "a", "Purchaser", "and", "collectively", "the", "Purchasers", ")", "."]}
{"id": "12157", "text": "FCPA means the Foreign Corrupt Practices Act of 1977 , as amended.", "ner": [[3, 8, "Act"]], "tokenized_text": ["FCPA", "means", "the", "Foreign", "Corrupt", "Practices", "Act", "of", "1977", ",", "as", "amended", "."]}
{"id": "12158", "text": "FL means Foley & Lardner LLP, with offices located at One Independent Drive, Suite 1300, Jacksonville, FL 32202.", "ner": [[2, 7, "Parties"], [13, 22, "Address"]], "tokenized_text": ["FL", "means", "Foley", "&", "amp", ";", "Lardner", "LLP", ",", "with", "offices", "located", "at", "One", "Independent", "Drive", ",", "Suite", "1300", ",", "Jacksonville", ",", "FL", "32202", "."]}
{"id": "12159", "text": "Per Share Purchase Price equals $2.00 , subject to adjustment for reverse and forward stock splits, stock dividends, stock combinations and other similar transactions of the Common Stock that occur after the date of this Agreement and on or prior to the Closing Date.", "ner": [[5, 8, "Price"]], "tokenized_text": ["Per", "Share", "Purchase", "Price", "equals", "$", "2", ".", "00", ",", "subject", "to", "adjustment", "for", "reverse", "and", "forward", "stock", "splits", ",", "stock", "dividends", ",", "stock", "combinations", "and", "other", "similar", "transactions", "of", "the", "Common", "Stock", "that", "occur", "after", "the", "date", "of", "this", "Agreement", "and", "on", "or", "prior", "to", "the", "Closing", "Date", "."]}
{"id": "12164", "text": "(vi) the Prospectus and Prospectus Supplement (which may be delivered in accordance with Rule 172 under the Securities Act).< br/>", "ner": [[16, 17, "Regulation"], [20, 21, "Act"]], "tokenized_text": ["(", "vi", ")", "the", "Prospectus", "and", "Prospectus", "Supplement", "(", "which", "may", "be", "delivered", "in", "accordance", "with", "Rule", "172", "under", "the", "Securities", "Act", ")", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "12165", "text": "(g) Capitalization. The capitalization of the Company is as set forth on Schedule 3.1(g). The Company has not issued any capital stock since its most recently filed periodic report under the Exchange Act , other than pursuant to the exercise of employee stock options under the Companys stock option plans, the issuance of shares of Common Stock to employees pursuant to the Companys employee stock purchase plans and pursuant to the conversion and/or exercise of Common Stock Equivalents outstanding as of the date of the most recently filed periodic report under the Exchange Act . No Person has any right of first refusal, preemptive right, right of participation, or any similar right to participate in the transactions contemplated by the Transaction Documents. Other than as disclosed in the Prospectus and the Prospectus Supplement, and except as a result of the purchase and sale of the Securities or as set forth on Schedule 3.1(g), there are no outstanding options, warrants, scrip rights to subscribe to, calls or commitments of any character whatsoever relating to, or securities, rights or obligations convertible into or exercisable or exchangeable for, or giving any Person any right to subscribe for or acquire, any shares of Common Stock or the capital stock of any Subsidiary, or contracts, commitments, understandings or arrangements by which the Company or any Subsidiary is or may become bound to issue additional shares of Common Stock or Common Stock Equivalents or capital stock of any Subsidiary. The issuance and sale of the Securities will not obligate the Company or any Subsidiary to issue shares of Common Stock or other securities to any Person (other than the Purchasers) and will not result in a right of any holder of Company securities to adjust the exercise, conversion, exchange or reset price under any of such securities. Except as set forth on Schedule 3.1(g), there are no securities of the Company or any Subsidiary that have an anti-dilution or similar adjustment rights (other than adjustments for stock splits, recapitalizations and the like) to the exercise or conversion price, have any exchange rights or reset rights. There are no outstanding securities or instruments of the Company or any Subsidiary that contain any redemption or similar provisions, and there are no contracts, commitments, understandings or arrangements by which the Company or any Subsidiary is or may become bound to redeem a security of the Company or such Subsidiary. The Company does not have any stock appreciation rights or phantom stock plans or agreements or any similar plan or agreement. All of the outstanding shares of capital stock of the Company are duly authorized, validly issued, fully paid and nonassessable, have been issued in compliance with all federal and state securities laws, and none of such outstanding shares was issued in violation of any preemptive rights or similar rights to subscribe for or purchase securities. No further approval or authorization of any stockholder, the Board of Directors or others is required for the issuance and sale of the Securities. There are no stockholders agreements, voting agreements or other similar agreements with respect to the Companys capital stock to which the Company is a party or, to the knowledge of the Company, between or among any of the Companys stockholders.", "ner": [[40, 41, "Act"], [104, 105, "Act"], [565, 566, "Title"], [568, 569, "Title"]], "tokenized_text": ["(", "g", ")", "Capitalization", ".", "The", "capitalization", "of", "the", "Company", "is", "as", "set", "forth", "on", "Schedule", "3", ".", "1", "(", "g", ")", ".", "The", "Company", "has", "not", "issued", "any", "capital", "stock", "since", "its", "most", "recently", "filed", "periodic", "report", "under", "the", "Exchange", "Act", ",", "other", "than", "pursuant", "to", "the", "exercise", "of", "employee", "stock", "options", "under", "the", "Companys", "stock", "option", "plans", ",", "the", "issuance", "of", "shares", "of", "Common", "Stock", "to", "employees", "pursuant", "to", "the", "Companys", "employee", "stock", "purchase", "plans", "and", "pursuant", "to", "the", "conversion", "and", "/", "or", "exercise", "of", "Common", "Stock", "Equivalents", "outstanding", "as", "of", "the", "date", "of", "the", "most", "recently", "filed", "periodic", "report", "under", "the", "Exchange", "Act", ".", "No", "Person", "has", "any", "right", "of", "first", "refusal", ",", "preemptive", "right", ",", "right", "of", "participation", ",", "or", "any", "similar", "right", "to", "participate", "in", "the", "transactions", "contemplated", "by", "the", "Transaction", "Documents", ".", "Other", "than", "as", "disclosed", "in", "the", "Prospectus", "and", "the", "Prospectus", "Supplement", ",", "and", "except", "as", "a", "result", "of", "the", "purchase", "and", "sale", "of", "the", "Securities", "or", "as", "set", "forth", "on", "Schedule", "3", ".", "1", "(", "g", ")", ",", "there", "are", "no", "outstanding", "options", ",", "warrants", ",", "scrip", "rights", "to", "subscribe", "to", ",", "calls", "or", "commitments", "of", "any", "character", "whatsoever", "relating", "to", ",", "or", "securities", ",", "rights", "or", "obligations", "convertible", "into", "or", "exercisable", "or", "exchangeable", "for", ",", "or", "giving", "any", "Person", "any", "right", "to", "subscribe", "for", "or", "acquire", ",", "any", "shares", "of", "Common", "Stock", "or", "the", "capital", "stock", "of", "any", "Subsidiary", ",", "or", "contracts", ",", "commitments", ",", "understandings", "or", "arrangements", "by", "which", "the", "Company", "or", "any", "Subsidiary", "is", "or", "may", "become", "bound", "to", "issue", "additional", "shares", "of", "Common", "Stock", "or", "Common", "Stock", "Equivalents", "or", "capital", "stock", "of", "any", "Subsidiary", ".", "The", "issuance", "and", "sale", "of", "the", "Securities", "will", "not", "obligate", "the", "Company", "or", "any", "Subsidiary", "to", "issue", "shares", "of", "Common", "Stock", "or", "other", "securities", "to", "any", "Person", "(", "other", "than", "the", "Purchasers", ")", "and", "will", "not", "result", "in", "a", "right", "of", "any", "holder", "of", "Company", "securities", "to", "adjust", "the", "exercise", ",", "conversion", ",", "exchange", "or", "reset", "price", "under", "any", "of", "such", "securities", ".", "Except", "as", "set", "forth", "on", "Schedule", "3", ".", "1", "(", "g", ")", ",", "there", "are", "no", "securities", "of", "the", "Company", "or", "any", "Subsidiary", "that", "have", "an", "anti-dilution", "or", "similar", "adjustment", "rights", "(", "other", "than", "adjustments", "for", "stock", "splits", ",", "recapitalizations", "and", "the", "like", ")", "to", "the", "exercise", "or", "conversion", "price", ",", "have", "any", "exchange", "rights", "or", "reset", "rights", ".", "There", "are", "no", "outstanding", "securities", "or", "instruments", "of", "the", "Company", "or", "any", "Subsidiary", "that", "contain", "any", "redemption", "or", "similar", "provisions", ",", "and", "there", "are", "no", "contracts", ",", "commitments", ",", "understandings", "or", "arrangements", "by", "which", "the", "Company", "or", "any", "Subsidiary", "is", "or", "may", "become", "bound", "to", "redeem", "a", "security", "of", "the", "Company", "or", "such", "Subsidiary", ".", "The", "Company", "does", "not", "have", "any", "stock", "appreciation", "rights", "or", "phantom", "stock", "plans", "or", "agreements", "or", "any", "similar", "plan", "or", "agreement", ".", "All", "of", "the", "outstanding", "shares", "of", "capital", "stock", "of", "the", "Company", "are", "duly", "authorized", ",", "validly", "issued", ",", "fully", "paid", "and", "nonassessable", ",", "have", "been", "issued", "in", "compliance", "with", "all", "federal", "and", "state", "securities", "laws", ",", "and", "none", "of", "such", "outstanding", "shares", "was", "issued", "in", "violation", "of", "any", "preemptive", "rights", "or", "similar", "rights", "to", "subscribe", "for", "or", "purchase", "securities", ".", "No", "further", "approval", "or", "authorization", "of", "any", "stockholder", ",", "the", "Board", "of", "Directors", "or", "others", "is", "required", "for", "the", "issuance", "and", "sale", "of", "the", "Securities", ".", "There", "are", "no", "stockholders", "agreements", ",", "voting", "agreements", "or", "other", "similar", "agreements", "with", "respect", "to", "the", "Companys", "capital", "stock", "to", "which", "the", "Company", "is", "a", "party", "or", ",", "to", "the", "knowledge", "of", "the", "Company", ",", "between", "or", "among", "any", "of", "the", "Companys", "stockholders", "."]}
{"id": "12166", "text": "(h) SEC Reports; Financial Statements. The Company has filed all reports, schedules, forms, statements and other documents required to be filed by the Company under the Securities Act and the Exchange Act , including pursuant to Section 13(a) or 15(d) thereof, for the two years preceding the date hereof (or such shorter period as the Company was required by law or regulation to file such material) (the foregoing materials, including the exhibits thereto and documents incorporated by reference therein, together with the Prospectus and the Prospectus Supplement, being collectively referred to herein as the SEC Reports) on a timely basis or has received a valid extension of such time of filing and has filed any such SEC Reports prior to the expiration of any such extension. As of their respective dates, the SEC Reports complied in all material respects with the requirements of the Securities Act and the Exchange Act , as applicable, and none of the SEC Reports, when filed, contained any untrue statement of a material fact or omitted to state a material fact required to be stated therein or necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading. The Company has never been an issuer subject to Rule 144(i) under the Securities Act. The financial statements of the Company included in the SEC Reports comply in all material respects with applicable accounting requirements and the rules and regulations of the Commission with respect thereto as in effect at the time of filing. Such financial statements have been prepared in accordance with United States generally accepted accounting principles applied on a consistent basis during the periods involved (GAAP), except as may be otherwise specified in such financial statements or the notes thereto and except that unaudited financial statements may not contain all footnotes required by GAAP, and fairly present in all material respects the financial position of the Company and its consolidated Subsidiaries as of and for the dates thereof and the results of operations and cash flows for the periods then ended or the balance sheet as of the date thereof, subject, in the case of unaudited statements, to normal, immaterial, year-end audit adjustments.", "ner": [[33, 34, "Act"], [37, 38, "Act"], [43, 52, "Regulation"], [171, 172, "Act"], [241, 245, "Regulation"], [316, 316, "Regulation"]], "tokenized_text": ["(", "h", ")", "SEC", "Reports", ";", "Financial", "Statements", ".", "The", "Company", "has", "filed", "all", "reports", ",", "schedules", ",", "forms", ",", "statements", "and", "other", "documents", "required", "to", "be", "filed", "by", "the", "Company", "under", "the", "Securities", "Act", "and", "the", "Exchange", "Act", ",", "including", "pursuant", "to", "Section", "13", "(", "a", ")", "or", "15", "(", "d", ")", "thereof", ",", "for", "the", "two", "years", "preceding", "the", "date", "hereof", "(", "or", "such", "shorter", "period", "as", "the", "Company", "was", "required", "by", "law", "or", "regulation", "to", "file", "such", "material", ")", "(", "the", "foregoing", "materials", ",", "including", "the", "exhibits", "thereto", "and", "documents", "incorporated", "by", "reference", "therein", ",", "together", "with", "the", "Prospectus", "and", "the", "Prospectus", "Supplement", ",", "being", "collectively", "referred", "to", "herein", "as", "the", "SEC", "Reports", ")", "on", "a", "timely", "basis", "or", "has", "received", "a", "valid", "extension", "of", "such", "time", "of", "filing", "and", "has", "filed", "any", "such", "SEC", "Reports", "prior", "to", "the", "expiration", "of", "any", "such", "extension", ".", "As", "of", "their", "respective", "dates", ",", "the", "SEC", "Reports", "complied", "in", "all", "material", "respects", "with", "the", "requirements", "of", "the", "Securities", "Act", "and", "the", "Exchange", "Act", ",", "as", "applicable", ",", "and", "none", "of", "the", "SEC", "Reports", ",", "when", "filed", ",", "contained", "any", "untrue", "statement", "of", "a", "material", "fact", "or", "omitted", "to", "state", "a", "material", "fact", "required", "to", "be", "stated", "therein", "or", "necessary", "in", "order", "to", "make", "the", "statements", "therein", ",", "in", "the", "light", "of", "the", "circumstances", "under", "which", "they", "were", "made", ",", "not", "misleading", ".", "The", "Company", "has", "never", "been", "an", "issuer", "subject", "to", "Rule", "144", "(", "i", ")", "under", "the", "Securities", "Act", ".", "The", "financial", "statements", "of", "the", "Company", "included", "in", "the", "SEC", "Reports", "comply", "in", "all", "material", "respects", "with", "applicable", "accounting", "requirements", "and", "the", "rules", "and", "regulations", "of", "the", "Commission", "with", "respect", "thereto", "as", "in", "effect", "at", "the", "time", "of", "filing", ".", "Such", "financial", "statements", "have", "been", "prepared", "in", "accordance", "with", "United", "States", "generally", "accepted", "accounting", "principles", "applied", "on", "a", "consistent", "basis", "during", "the", "periods", "involved", "(", "GAAP", ")", ",", "except", "as", "may", "be", "otherwise", "specified", "in", "such", "financial", "statements", "or", "the", "notes", "thereto", "and", "except", "that", "unaudited", "financial", "statements", "may", "not", "contain", "all", "footnotes", "required", "by", "GAAP", ",", "and", "fairly", "present", "in", "all", "material", "respects", "the", "financial", "position", "of", "the", "Company", "and", "its", "consolidated", "Subsidiaries", "as", "of", "and", "for", "the", "dates", "thereof", "and", "the", "results", "of", "operations", "and", "cash", "flows", "for", "the", "periods", "then", "ended", "or", "the", "balance", "sheet", "as", "of", "the", "date", "thereof", ",", "subject", ",", "in", "the", "case", "of", "unaudited", "statements", ",", "to", "normal", ",", "immaterial", ",", "year-end", "audit", "adjustments", "."]}
{"id": "12168", "text": "(s) Sarbanes-Oxley; Internal Accounting Controls. The Company and the Subsidiaries are in compliance with any and all applicable requirements of the Sarbanes- Oxley Act of 2002 that are effective as of the date hereof, and any and all applicable rules and regulations promulgated by the Commission thereunder that are effective as of the date hereof and as of the Closing Date. The Companys has identified material weaknesses in its internal control over financial reporting. The Companys certifying officers have evaluated the effectiveness of the disclosure controls and procedures of the Company and the Subsidiaries as of the end of the period covered by the most recently filed periodic report under the Exchange Act ( such date, the Evaluation Date) and reported. The Company presented in its most recently filed periodic report under the Exchange Act the conclusions of the certifying officers about the ineffectiveness of the disclosure controls and procedures based on their evaluations as of the Evaluation Date. The Company presented in its most recently filed periodic report under the Exchange Act the conclusions of its certifying officers about the effectiveness of the disclosure controls and procedures based on their evaluations as of the Evaluation Date. The Company is in the process of implementing changes to its accounting systems internal processes and policies to improve its internal control over financial reporting.", "ner": [[3, 3, "Regulation"], [25, 30, "Act"], [119, 120, "Act"], [144, 145, "Act"], [183, 184, "Act"]], "tokenized_text": ["(", "s", ")", "Sarbanes-Oxley", ";", "Internal", "Accounting", "Controls", ".", "The", "Company", "and", "the", "Subsidiaries", "are", "in", "compliance", "with", "any", "and", "all", "applicable", "requirements", "of", "the", "Sarbanes", "-", "Oxley", "Act", "of", "2002", "that", "are", "effective", "as", "of", "the", "date", "hereof", ",", "and", "any", "and", "all", "applicable", "rules", "and", "regulations", "promulgated", "by", "the", "Commission", "thereunder", "that", "are", "effective", "as", "of", "the", "date", "hereof", "and", "as", "of", "the", "Closing", "Date", ".", "The", "Companys", "has", "identified", "material", "weaknesses", "in", "its", "internal", "control", "over", "financial", "reporting", ".", "The", "Companys", "certifying", "officers", "have", "evaluated", "the", "effectiveness", "of", "the", "disclosure", "controls", "and", "procedures", "of", "the", "Company", "and", "the", "Subsidiaries", "as", "of", "the", "end", "of", "the", "period", "covered", "by", "the", "most", "recently", "filed", "periodic", "report", "under", "the", "Exchange", "Act", "(", "such", "date", ",", "the", "Evaluation", "Date", ")", "and", "reported", ".", "The", "Company", "presented", "in", "its", "most", "recently", "filed", "periodic", "report", "under", "the", "Exchange", "Act", "the", "conclusions", "of", "the", "certifying", "officers", "about", "the", "ineffectiveness", "of", "the", "disclosure", "controls", "and", "procedures", "based", "on", "their", "evaluations", "as", "of", "the", "Evaluation", "Date", ".", "The", "Company", "presented", "in", "its", "most", "recently", "filed", "periodic", "report", "under", "the", "Exchange", "Act", "the", "conclusions", "of", "its", "certifying", "officers", "about", "the", "effectiveness", "of", "the", "disclosure", "controls", "and", "procedures", "based", "on", "their", "evaluations", "as", "of", "the", "Evaluation", "Date", ".", "The", "Company", "is", "in", "the", "process", "of", "implementing", "changes", "to", "its", "accounting", "systems", "internal", "processes", "and", "policies", "to", "improve", "its", "internal", "control", "over", "financial", "reporting", "."]}
{"id": "12174", "text": "(mm) No General Solicitation. Neither the Company nor any Person acting on behalf of the Company has offered or sold any of the Warrant or Warrant Shares by any form of general solicitation or general advertising. The Company has offered the Warrants and Warrant Shares for sale only to the Purchasers and certain other accredited investors within the meaning of Rule 501 under the Securities Act.< br/>", "ner": [[64, 65, "Regulation"], [68, 69, "Act"]], "tokenized_text": ["(", "mm", ")", "No", "General", "Solicitation", ".", "Neither", "the", "Company", "nor", "any", "Person", "acting", "on", "behalf", "of", "the", "Company", "has", "offered", "or", "sold", "any", "of", "the", "Warrant", "or", "Warrant", "Shares", "by", "any", "form", "of", "general", "solicitation", "or", "general", "advertising", ".", "The", "Company", "has", "offered", "the", "Warrants", "and", "Warrant", "Shares", "for", "sale", "only", "to", "the", "Purchasers", "and", "certain", "other", "accredited", "investors", "within", "the", "meaning", "of", "Rule", "501", "under", "the", "Securities", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "12182", "text": "(d) Subject to the 8% Debenture Holders 100% right of participation, from the Closing Date until the six (6) month anniversary of the Closing Date, the Company will not, directly or indirectly, effect any Subsequent Placement unless the Company shall have first complied with this Section 4.12(d).", "ner": [[6, 7, "Percentage"], [10, 11, "Percentage"], [22, 27, "TerminationDate"]], "tokenized_text": ["(", "d", ")", "Subject", "to", "the", "8", "%", "Debenture", "Holders", "100", "%", "right", "of", "participation", ",", "from", "the", "Closing", "Date", "until", "the", "six", "(", "6", ")", "month", "anniversary", "of", "the", "Closing", "Date", ",", "the", "Company", "will", "not", ",", "directly", "or", "indirectly", ",", "effect", "any", "Subsequent", "Placement", "unless", "the", "Company", "shall", "have", "first", "complied", "with", "this", "Section", "4", ".", "12", "(", "d", ")", "."]}
{"id": "12183", "text": "(e) The restrictions contained in subsections (ii) and (iii) of this Section 4.12(d) shall not apply in connection with the issuance of any Exempt Issuances.For clarity, this right of participation set forth in this Section 4.12(d) is subordinate and subject to the Companys 8% Debenture Holders right of participation of up to 100% of a Subsequent Placement.", "ner": [[17, 20, "Regulation"], [62, 63, "Percentage"], [72, 73, "Percentage"]], "tokenized_text": ["(", "e", ")", "The", "restrictions", "contained", "in", "subsections", "(", "ii", ")", "and", "(", "iii", ")", "of", "this", "Section", "4", ".", "12", "(", "d", ")", "shall", "not", "apply", "in", "connection", "with", "the", "issuance", "of", "any", "Exempt", "Issuances", ".", "For", "clarity", ",", "this", "right", "of", "participation", "set", "forth", "in", "this", "Section", "4", ".", "12", "(", "d", ")", "is", "subordinate", "and", "subject", "to", "the", "Companys", "8", "%", "Debenture", "Holders", "right", "of", "participation", "of", "up", "to", "100", "%", "of", "a", "Subsequent", "Placement", "."]}
{"id": "12185", "text": "5.9 Governing Law. All questions concerning the construction, validity, enforcement and interpretation of the Transaction Documents shall be governed by and construed and enforced in accordance with the internal laws of the State of New York , without regard to the principles of conflicts of law thereof. Each party agrees that all legal Proceedings concerning the interpretations, enforcement and defense of the transactions contemplated by this Agreement and any other Transaction Documents (whether brought against a party hereto or its respective affiliates, directors, officers, shareholders, partners, members, employees or agents) shall be commenced exclusively in the state and federal courts sitting in the City of New York. Each party hereby irrevocably submits to the exclusive jurisdiction of the state and federal courts sitting in the City of New York, Borough of Manhattan for the adjudication of any dispute hereunder or in connection herewith or with any transaction contemplated hereby or discussed herein (including with respect to the enforcement of any of the Transaction Documents), and hereby irrevocably waives, and agrees not to assert in any Action or Proceeding, any claim that it is not personally subject to the jurisdiction of any such court, that such Action or Proceeding is improper or is an inconvenient venue for such Proceeding. Each party hereby irrevocably waives personal service of process and consents to process being served in any such Action or Proceeding by mailing a copy thereof via registered or certified mail or overnight delivery (with evidence of delivery) to such party at the address in effect for notices to it under this Agreement and agrees that such service shall constitute good and sufficient service of process and notice thereof. Nothing contained herein shall be deemed to limit in any way any right to serve process in any other manner permitted by law. If any party shall commence an Action or Proceeding to enforce any provisions of the Transaction Documents, then, in addition to the obligations of the Company under Section 4.8, the prevailing party in such Action or Proceeding shall be reimbursed by the non-prevailing party for its reasonable attorneys fees and other costs and expenses incurred with the investigation, preparation and prosecution of such Action or Proceeding.", "ner": [[37, 40, "Court"], [118, 121, "Court"], [141, 148, "Court"], [357, 360, "Regulation"]], "tokenized_text": ["5", ".", "9", "Governing", "Law", ".", "All", "questions", "concerning", "the", "construction", ",", "validity", ",", "enforcement", "and", "interpretation", "of", "the", "Transaction", "Documents", "shall", "be", "governed", "by", "and", "construed", "and", "enforced", "in", "accordance", "with", "the", "internal", "laws", "of", "the", "State", "of", "New", "York", ",", "without", "regard", "to", "the", "principles", "of", "conflicts", "of", "law", "thereof", ".", "Each", "party", "agrees", "that", "all", "legal", "Proceedings", "concerning", "the", "interpretations", ",", "enforcement", "and", "defense", "of", "the", "transactions", "contemplated", "by", "this", "Agreement", "and", "any", "other", "Transaction", "Documents", "(", "whether", "brought", "against", "a", "party", "hereto", "or", "its", "respective", "affiliates", ",", "directors", ",", "officers", ",", "shareholders", ",", "partners", ",", "members", ",", "employees", "or", "agents", ")", "shall", "be", "commenced", "exclusively", "in", "the", "state", "and", "federal", "courts", "sitting", "in", "the", "City", "of", "New", "York", ".", "Each", "party", "hereby", "irrevocably", "submits", "to", "the", "exclusive", "jurisdiction", "of", "the", "state", "and", "federal", "courts", "sitting", "in", "the", "City", "of", "New", "York", ",", "Borough", "of", "Manhattan", "for", "the", "adjudication", "of", "any", "dispute", "hereunder", "or", "in", "connection", "herewith", "or", "with", "any", "transaction", "contemplated", "hereby", "or", "discussed", "herein", "(", "including", "with", "respect", "to", "the", "enforcement", "of", "any", "of", "the", "Transaction", "Documents", ")", ",", "and", "hereby", "irrevocably", "waives", ",", "and", "agrees", "not", "to", "assert", "in", "any", "Action", "or", "Proceeding", ",", "any", "claim", "that", "it", "is", "not", "personally", "subject", "to", "the", "jurisdiction", "of", "any", "such", "court", ",", "that", "such", "Action", "or", "Proceeding", "is", "improper", "or", "is", "an", "inconvenient", "venue", "for", "such", "Proceeding", ".", "Each", "party", "hereby", "irrevocably", "waives", "personal", "service", "of", "process", "and", "consents", "to", "process", "being", "served", "in", "any", "such", "Action", "or", "Proceeding", "by", "mailing", "a", "copy", "thereof", "via", "registered", "or", "certified", "mail", "or", "overnight", "delivery", "(", "with", "evidence", "of", "delivery", ")", "to", "such", "party", "at", "the", "address", "in", "effect", "for", "notices", "to", "it", "under", "this", "Agreement", "and", "agrees", "that", "such", "service", "shall", "constitute", "good", "and", "sufficient", "service", "of", "process", "and", "notice", "thereof", ".", "Nothing", "contained", "herein", "shall", "be", "deemed", "to", "limit", "in", "any", "way", "any", "right", "to", "serve", "process", "in", "any", "other", "manner", "permitted", "by", "law", ".", "If", "any", "party", "shall", "commence", "an", "Action", "or", "Proceeding", "to", "enforce", "any", "provisions", "of", "the", "Transaction", "Documents", ",", "then", ",", "in", "addition", "to", "the", "obligations", "of", "the", "Company", "under", "Section", "4", ".", "8", ",", "the", "prevailing", "party", "in", "such", "Action", "or", "Proceeding", "shall", "be", "reimbursed", "by", "the", "non-prevailing", "party", "for", "its", "reasonable", "attorneys", "fees", "and", "other", "costs", "and", "expenses", "incurred", "with", "the", "investigation", ",", "preparation", "and", "prosecution", "of", "such", "Action", "or", "Proceeding", "."]}
{"id": "12186", "text": "CHANTICLEER HOLDINGS, INC. | Address for Notice: ---|--- | Chanticleer Holdings, Inc. | 7621 Little Ave., Suite 414 | Charlotte, NC 28226", "ner": [[0, 4, "Parties"], [24, 30, "Address"], [32, 34, "Address"]], "tokenized_text": ["CHANTICLEER", "HOLDINGS", ",", "INC", ".", "|", "Address", "for", "Notice", ":", "-", "-", "-", "|", "-", "-", "-", "|", "Chanticleer", "Holdings", ",", "Inc", ".", "|", "7621", "Little", "Ave", ".", ",", "Suite", "414", "|", "Charlotte", ",", "NC", "28226"]}
{"id": "12191", "text": "B. Buyer desires to purchase and the Company desires to issue and sell, upon the terms and conditions set forth in this Agreement three tranches of Convertible Notes of the Company, in the forms attached hereto as Exhibit A-1, A-2, and A-3, in the aggregate principal amount of $300,000 (together with any Notes(s) issued in replacement thereof or as a dividend thereon or otherwise with respect thereto in accordance with the terms thereof, the Notes), convertible into common shares of the Company (the Common Shares), upon the terms and subject to the limitations and conditions set forth in such Notes; and", "ner": [[54, 57, "Principal"]], "tokenized_text": ["B", ".", "Buyer", "desires", "to", "purchase", "and", "the", "Company", "desires", "to", "issue", "and", "sell", ",", "upon", "the", "terms", "and", "conditions", "set", "forth", "in", "this", "Agreement", "three", "tranches", "of", "Convertible", "Notes", "of", "the", "Company", ",", "in", "the", "forms", "attached", "hereto", "as", "Exhibit", "A-1", ",", "A-2", ",", "and", "A-3", ",", "in", "the", "aggregate", "principal", "amount", "of", "$", "300", ",", "000", "(", "together", "with", "any", "Notes", "(", "s", ")", "issued", "in", "replacement", "thereof", "or", "as", "a", "dividend", "thereon", "or", "otherwise", "with", "respect", "thereto", "in", "accordance", "with", "the", "terms", "thereof", ",", "the", "Notes", ")", ",", "convertible", "into", "common", "shares", "of", "the", "Company", "(", "the", "Common", "Shares", ")", ",", "upon", "the", "terms", "and", "subject", "to", "the", "limitations", "and", "conditions", "set", "forth", "in", "such", "Notes", ";", "and"]}
{"id": "12194", "text": "f. Transfer or Re-sale. The Buyer understands that (i) the sale or re-sale of the Securities has not been and is not being registered under the 1933 Act or any applicable state securities laws, and the Securities may not be transferred unless (a) the Securities are sold pursuant to an effective registration statement under the 1933 Act, ( b) the Buyer shall have delivered to the Company, at the cost of the Buyer, an opinion of counsel that shall be in form, substance and scope customary for opinions of counsel in comparable transactions to the effect that the Securities to be sold or transferred may be sold or transferred pursuant to an exemption from such registration, which opinion shall be accepted by the Company, (c) the Securities are sold or transferred to an affiliate (as defined in Rule 144 promulgated under the 1933 Act ( or a successor rule) (Rule 144) of the Buyer who agrees to sell or otherwise transfer the Securities only in accordance with this Section 2(f) and who is an Accredited Investor, (d) the Securities are sold pursuant to Rule 144, or (e) the Securities are sold pursuant to Regulation S under the 1933 Act ( or a successor rule) (Regulation S), and the Buyer shall have delivered to the Company, at the cost of the Buyer, an opinion of counsel that shall be in form, substance and scope customary for opinions of counsel in corporate transactions, which opinion shall be accepted by the Company; (ii) any sale of such Securities made in reliance on Rule 144 may be made only in accordance with the terms of said Rule and further, if said Rule is not applicable, any re-sale of such Securities under circumstances in which the seller (or the person through whom the sale is made) may be deemed to be an underwriter (as that term is defined in the 1933 Act) may require compliance with some other exemption under the 1933 Act or the rules and regulations of the SEC thereunder; and (iii) neither the Company nor any other person is under any obligation to register such Securities under the 1933 Act or any state securities laws or to comply with the terms and conditions of any exemption thereunder (in each case). Notwithstanding the foregoing or anything else contained herein to the contrary, the Securities may be pledged as collateral in connection with a bona fide margin account or other lending arrangement.", "ner": [[30, 31, "Act"], [154, 155, "Regulation"], [222, 223, "Regulation"]], "tokenized_text": ["f", ".", "Transfer", "or", "Re-sale", ".", "The", "Buyer", "understands", "that", "(", "i", ")", "the", "sale", "or", "re-sale", "of", "the", "Securities", "has", "not", "been", "and", "is", "not", "being", "registered", "under", "the", "1933", "Act", "or", "any", "applicable", "state", "securities", "laws", ",", "and", "the", "Securities", "may", "not", "be", "transferred", "unless", "(", "a", ")", "the", "Securities", "are", "sold", "pursuant", "to", "an", "effective", "registration", "statement", "under", "the", "1933", "Act", ",", "(", "b", ")", "the", "Buyer", "shall", "have", "delivered", "to", "the", "Company", ",", "at", "the", "cost", "of", "the", "Buyer", ",", "an", "opinion", "of", "counsel", "that", "shall", "be", "in", "form", ",", "substance", "and", "scope", "customary", "for", "opinions", "of", "counsel", "in", "comparable", "transactions", "to", "the", "effect", "that", "the", "Securities", "to", "be", "sold", "or", "transferred", "may", "be", "sold", "or", "transferred", "pursuant", "to", "an", "exemption", "from", "such", "registration", ",", "which", "opinion", "shall", "be", "accepted", "by", "the", "Company", ",", "(", "c", ")", "the", "Securities", "are", "sold", "or", "transferred", "to", "an", "affiliate", "(", "as", "defined", "in", "Rule", "144", "promulgated", "under", "the", "1933", "Act", "(", "or", "a", "successor", "rule", ")", "(", "Rule", "144", ")", "of", "the", "Buyer", "who", "agrees", "to", "sell", "or", "otherwise", "transfer", "the", "Securities", "only", "in", "accordance", "with", "this", "Section", "2", "(", "f", ")", "and", "who", "is", "an", "Accredited", "Investor", ",", "(", "d", ")", "the", "Securities", "are", "sold", "pursuant", "to", "Rule", "144", ",", "or", "(", "e", ")", "the", "Securities", "are", "sold", "pursuant", "to", "Regulation", "S", "under", "the", "1933", "Act", "(", "or", "a", "successor", "rule", ")", "(", "Regulation", "S", ")", ",", "and", "the", "Buyer", "shall", "have", "delivered", "to", "the", "Company", ",", "at", "the", "cost", "of", "the", "Buyer", ",", "an", "opinion", "of", "counsel", "that", "shall", "be", "in", "form", ",", "substance", "and", "scope", "customary", "for", "opinions", "of", "counsel", "in", "corporate", "transactions", ",", "which", "opinion", "shall", "be", "accepted", "by", "the", "Company", ";", "(", "ii", ")", "any", "sale", "of", "such", "Securities", "made", "in", "reliance", "on", "Rule", "144", "may", "be", "made", "only", "in", "accordance", "with", "the", "terms", "of", "said", "Rule", "and", "further", ",", "if", "said", "Rule", "is", "not", "applicable", ",", "any", "re-sale", "of", "such", "Securities", "under", "circumstances", "in", "which", "the", "seller", "(", "or", "the", "person", "through", "whom", "the", "sale", "is", "made", ")", "may", "be", "deemed", "to", "be", "an", "underwriter", "(", "as", "that", "term", "is", "defined", "in", "the", "1933", "Act", ")", "may", "require", "compliance", "with", "some", "other", "exemption", "under", "the", "1933", "Act", "or", "the", "rules", "and", "regulations", "of", "the", "SEC", "thereunder", ";", "and", "(", "iii", ")", "neither", "the", "Company", "nor", "any", "other", "person", "is", "under", "any", "obligation", "to", "register", "such", "Securities", "under", "the", "1933", "Act", "or", "any", "state", "securities", "laws", "or", "to", "comply", "with", "the", "terms", "and", "conditions", "of", "any", "exemption", "thereunder", "(", "in", "each", "case", ")", ".", "Notwithstanding", "the", "foregoing", "or", "anything", "else", "contained", "herein", "to", "the", "contrary", ",", "the", "Securities", "may", "be", "pledged", "as", "collateral", "in", "connection", "with", "a", "bona", "fide", "margin", "account", "or", "other", "lending", "arrangement", "."]}
{"id": "12195", "text": "j. Bad Actor. No officer or director of the Company would be disqualified under Rule 506(d) of the 1933 Act on the basis of being a bad actor as that term is Regulation D under the 1933 Act.< br/>", "ner": [[16, 20, "Regulation"], [23, 24, "Act"], [37, 38, "Regulation"]], "tokenized_text": ["j", ".", "Bad", "Actor", ".", "No", "officer", "or", "director", "of", "the", "Company", "would", "be", "disqualified", "under", "Rule", "506", "(", "d", ")", "of", "the", "1933", "Act", "on", "the", "basis", "of", "being", "a", "bad", "actor", "as", "that", "term", "is", "Regulation", "D", "under", "the", "1933", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "12197", "text": "Buyer: Innovative Capital, LLC", "ner": [[2, 5, "Parties"]], "tokenized_text": ["Buyer", ":", "Innovative", "Capital", ",", "LLC"]}
{"id": "12198", "text": "Aggregate Principal Amount of Notes: $300,000 , divided into three tranches of $100,000 in each tranche", "ner": [[6, 9, "Principal"], [16, 19, "Principal"]], "tokenized_text": ["Aggregate", "Principal", "Amount", "of", "Notes", ":", "$", "300", ",", "000", ",", "divided", "into", "three", "tranches", "of", "$", "100", ",", "000", "in", "each", "tranche"]}
{"id": "12201", "text": "(a)Designation of Shares. The Company shall adopt and file with the Secretary of State of the State of Florida , on or before the Closing Date (as defined below), Articles of Amendment to the Articles of Incorporation of the Company Designating the Series B Convertible Preferred Stock of the Company in the form of Exhibit A attached to this Agreement (the Certificate of Designation).", "ner": [[15, 17, "Court"], [20, 22, "Court"], [41, 43, "Title"]], "tokenized_text": ["(", "a", ")", "Designation", "of", "Shares", ".", "The", "Company", "shall", "adopt", "and", "file", "with", "the", "Secretary", "of", "State", "of", "the", "State", "of", "Florida", ",", "on", "or", "before", "the", "Closing", "Date", "(", "as", "defined", "below", ")", ",", "Articles", "of", "Amendment", "to", "the", "Articles", "of", "Incorporation", "of", "the", "Company", "Designating", "the", "Series", "B", "Convertible", "Preferred", "Stock", "of", "the", "Company", "in", "the", "form", "of", "Exhibit", "A", "attached", "to", "this", "Agreement", "(", "the", "Certificate", "of", "Designation", ")", "."]}
{"id": "12202", "text": "(a)Agreement to Purchase and Sell Shares. Subject to the terms and conditions of this Agreement, each Purchaser agrees to purchase, and the Company agrees to sell and issue to such Purchaser, at the Closing (as defined below), at a price of $100.00 per Unit, such number of Units to be purchased by such Purchaser as set forth on the signature pages hereto.", "ner": [[51, 54, "Price"]], "tokenized_text": ["(", "a", ")", "Agreement", "to", "Purchase", "and", "Sell", "Shares", ".", "Subject", "to", "the", "terms", "and", "conditions", "of", "this", "Agreement", ",", "each", "Purchaser", "agrees", "to", "purchase", ",", "and", "the", "Company", "agrees", "to", "sell", "and", "issue", "to", "such", "Purchaser", ",", "at", "the", "Closing", "(", "as", "defined", "below", ")", ",", "at", "a", "price", "of", "$", "100", ".", "00", "per", "Unit", ",", "such", "number", "of", "Units", "to", "be", "purchased", "by", "such", "Purchaser", "as", "set", "forth", "on", "the", "signature", "pages", "hereto", "."]}
{"id": "12203", "text": "(a)Organization Good Standing and Qualification. The Company is a corporation duly organized, validly existing and in good standing under the laws of the State of Florida and has all corporate power and authority required (i) to own, operate and occupy its properties and to carry on its business as presently conducted and (ii) to enter into this Agreement and to consummate the transactions contemplated hereby. The Company is qualified to do business and is in good standing in each jurisdiction in which the failure to so qualify would have a Material Adverse Effect. As used in this Agreement, Material Adverse Effect means a material adverse effect on, or a material adverse change in, the business, operations, financial condition, results of operations, properties, prospects, assets or liabilities of the Company, taken as a whole, or on the transactions contemplated hereby and the other agreements, instruments and documents contemplated hereby or on the authority or ability of the Company to perform its obligations under this Agreement.", "ner": [[28, 30, "Court"]], "tokenized_text": ["(", "a", ")", "Organization", "Good", "Standing", "and", "Qualification", ".", "The", "Company", "is", "a", "corporation", "duly", "organized", ",", "validly", "existing", "and", "in", "good", "standing", "under", "the", "laws", "of", "the", "State", "of", "Florida", "and", "has", "all", "corporate", "power", "and", "authority", "required", "(", "i", ")", "to", "own", ",", "operate", "and", "occupy", "its", "properties", "and", "to", "carry", "on", "its", "business", "as", "presently", "conducted", "and", "(", "ii", ")", "to", "enter", "into", "this", "Agreement", "and", "to", "consummate", "the", "transactions", "contemplated", "hereby", ".", "The", "Company", "is", "qualified", "to", "do", "business", "and", "is", "in", "good", "standing", "in", "each", "jurisdiction", "in", "which", "the", "failure", "to", "so", "qualify", "would", "have", "a", "Material", "Adverse", "Effect", ".", "As", "used", "in", "this", "Agreement", ",", "Material", "Adverse", "Effect", "means", "a", "material", "adverse", "effect", "on", ",", "or", "a", "material", "adverse", "change", "in", ",", "the", "business", ",", "operations", ",", "financial", "condition", ",", "results", "of", "operations", ",", "properties", ",", "prospects", ",", "assets", "or", "liabilities", "of", "the", "Company", ",", "taken", "as", "a", "whole", ",", "or", "on", "the", "transactions", "contemplated", "hereby", "and", "the", "other", "agreements", ",", "instruments", "and", "documents", "contemplated", "hereby", "or", "on", "the", "authority", "or", "ability", "of", "the", "Company", "to", "perform", "its", "obligations", "under", "this", "Agreement", "."]}
{"id": "12205", "text": "(c)Subsidiaries. Except as set forth in the SEC Documents, the Company does not have any Subsidiaries, and the Company does not own any capital stock of, assets comprising the business of, obligations of, or any other interest (including any equity or partnership interest) in, any person or entity. As used herein \"Subsidiaries\" means any entity in which the Company, directly or indirectly, owns any capital stock or holds an equity or similar interest. Each Subsidiary of the Company (i) is a corporation duly organized, validly existing and in good standing under the laws of the State of Florida , (ii) has all corporate power and authority required to own, operate and occupy its properties and to carry on its business as presently conducted, and (iii) is qualified to do business and is in good standing in each jurisdiction in which the failure to so qualify would have a Material Adverse Effect.", "ner": [[116, 118, "Court"]], "tokenized_text": ["(", "c", ")", "Subsidiaries", ".", "Except", "as", "set", "forth", "in", "the", "SEC", "Documents", ",", "the", "Company", "does", "not", "have", "any", "Subsidiaries", ",", "and", "the", "Company", "does", "not", "own", "any", "capital", "stock", "of", ",", "assets", "comprising", "the", "business", "of", ",", "obligations", "of", ",", "or", "any", "other", "interest", "(", "including", "any", "equity", "or", "partnership", "interest", ")", "in", ",", "any", "person", "or", "entity", ".", "As", "used", "herein", "\"", "Subsidiaries", "\"", "means", "any", "entity", "in", "which", "the", "Company", ",", "directly", "or", "indirectly", ",", "owns", "any", "capital", "stock", "or", "holds", "an", "equity", "or", "similar", "interest", ".", "Each", "Subsidiary", "of", "the", "Company", "(", "i", ")", "is", "a", "corporation", "duly", "organized", ",", "validly", "existing", "and", "in", "good", "standing", "under", "the", "laws", "of", "the", "State", "of", "Florida", ",", "(", "ii", ")", "has", "all", "corporate", "power", "and", "authority", "required", "to", "own", ",", "operate", "and", "occupy", "its", "properties", "and", "to", "carry", "on", "its", "business", "as", "presently", "conducted", ",", "and", "(", "iii", ")", "is", "qualified", "to", "do", "business", "and", "is", "in", "good", "standing", "in", "each", "jurisdiction", "in", "which", "the", "failure", "to", "so", "qualify", "would", "have", "a", "Material", "Adverse", "Effect", "."]}
{"id": "12206", "text": "(ii)Compliance with Securities Laws. Subject to the accuracy of the representations made by the Purchasers in Section 4 hereof, the Shares and Warrants will be issued and sold to the Purchasers in compliance with an applicable exemption from the registration and prospectus delivery requirements of the Securities Act of 1933 , as amended (the Securities Act).< br/>", "ner": [[51, 54, "Act"]], "tokenized_text": ["(", "ii", ")", "Compliance", "with", "Securities", "Laws", ".", "Subject", "to", "the", "accuracy", "of", "the", "representations", "made", "by", "the", "Purchasers", "in", "Section", "4", "hereof", ",", "the", "Shares", "and", "Warrants", "will", "be", "issued", "and", "sold", "to", "the", "Purchasers", "in", "compliance", "with", "an", "applicable", "exemption", "from", "the", "registration", "and", "prospectus", "delivery", "requirements", "of", "the", "Securities", "Act", "of", "1933", ",", "as", "amended", "(", "the", "Securities", "Act", ")", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "12207", "text": "(i)Reports. Since January 1, 2016, the Company has filed in a timely manner (giving effect, where applicable, to any deferral periods provided under Rule 12b-25 under the Securities Exchange Act of 1934 , as amended (the Exchange Act)) all reports, schedules, forms, statements and other documents required to be filed by it with the Securities and Exchange Commission (the SEC) pursuant to the reporting requirements of the Exchange Act and the rules and regulations promulgated thereunder. The Company has filed on the SECs EDGAR system, prior to the date hereof, its Annual Report on Form 10-K for the fiscal year ended December 31, 2016 (the Form 10-K), and any Current Report on Form 8-K (Form 8-Ks) required to be filed by the Company with the SEC for events occurring since January 1, 2017 (the Form 10-K and Form 8-Ks, together with all exhibits, schedules and other attachments that are filed with such documents, are collectively referred to herein as the SEC Documents). Each SEC Document, as of its date (or, if amended or superseded by a filing prior to the Closing Date, then on the date of such filing), did not contain any untrue statement of a material fact or omit to state a material fact necessary in order to make the statements made therein, in light of the circumstances under which they were made, not misleading. Each SEC Document, as it may have been subsequently amended by filings made by the Company with the SEC prior to the date hereof, complied in all material respects with the requirements of the Exchange Act and the rules and regulations of the SEC promulgated thereunder applicable to such SEC Document. As of their respective dates, any financial statements of the Company included in the SEC Documents complied as to form and substance in all material respects with applicable accounting requirements and published rules and regulations of the SEC with respect thereto. Such financial statements have been prepared in accordance with generally accepted accounting principles, consistently applied in the United States (GAAP), during the periods involved (except in the case of unaudited interim statements, to the extent they may exclude footnotes or may be condensed or summary statements), correspond to the books and records of the Company and fairly present in all material respects the financial position of the Company as of the dates thereof and the results of operations and cash flows for the periods then ended. The Company is not required to file and will not be required to file any agreement, note, lease, mortgage, deed or other instrument entered into prior to the date of this Agreement and to which the Company is a party or by which the Company is bound which has not been previously filed or incorporated by reference as an exhibit to the SEC Documents.", "ner": [[6, 9, "EffectiveDate"], [32, 33, "Regulation"], [36, 40, "Act"], [156, 159, "EffectiveDate"], [387, 387, "Regulation"]], "tokenized_text": ["(", "i", ")", "Reports", ".", "Since", "January", "1", ",", "2016", ",", "the", "Company", "has", "filed", "in", "a", "timely", "manner", "(", "giving", "effect", ",", "where", "applicable", ",", "to", "any", "deferral", "periods", "provided", "under", "Rule", "12b-25", "under", "the", "Securities", "Exchange", "Act", "of", "1934", ",", "as", "amended", "(", "the", "Exchange", "Act", ")", ")", "all", "reports", ",", "schedules", ",", "forms", ",", "statements", "and", "other", "documents", "required", "to", "be", "filed", "by", "it", "with", "the", "Securities", "and", "Exchange", "Commission", "(", "the", "SEC", ")", "pursuant", "to", "the", "reporting", "requirements", "of", "the", "Exchange", "Act", "and", "the", "rules", "and", "regulations", "promulgated", "thereunder", ".", "The", "Company", "has", "filed", "on", "the", "SECs", "EDGAR", "system", ",", "prior", "to", "the", "date", "hereof", ",", "its", "Annual", "Report", "on", "Form", "10-K", "for", "the", "fiscal", "year", "ended", "December", "31", ",", "2016", "(", "the", "Form", "10-K", ")", ",", "and", "any", "Current", "Report", "on", "Form", "8-K", "(", "Form", "8-Ks", ")", "required", "to", "be", "filed", "by", "the", "Company", "with", "the", "SEC", "for", "events", "occurring", "since", "January", "1", ",", "2017", "(", "the", "Form", "10-K", "and", "Form", "8-Ks", ",", "together", "with", "all", "exhibits", ",", "schedules", "and", "other", "attachments", "that", "are", "filed", "with", "such", "documents", ",", "are", "collectively", "referred", "to", "herein", "as", "the", "SEC", "Documents", ")", ".", "Each", "SEC", "Document", ",", "as", "of", "its", "date", "(", "or", ",", "if", "amended", "or", "superseded", "by", "a", "filing", "prior", "to", "the", "Closing", "Date", ",", "then", "on", "the", "date", "of", "such", "filing", ")", ",", "did", "not", "contain", "any", "untrue", "statement", "of", "a", "material", "fact", "or", "omit", "to", "state", "a", "material", "fact", "necessary", "in", "order", "to", "make", "the", "statements", "made", "therein", ",", "in", "light", "of", "the", "circumstances", "under", "which", "they", "were", "made", ",", "not", "misleading", ".", "Each", "SEC", "Document", ",", "as", "it", "may", "have", "been", "subsequently", "amended", "by", "filings", "made", "by", "the", "Company", "with", "the", "SEC", "prior", "to", "the", "date", "hereof", ",", "complied", "in", "all", "material", "respects", "with", "the", "requirements", "of", "the", "Exchange", "Act", "and", "the", "rules", "and", "regulations", "of", "the", "SEC", "promulgated", "thereunder", "applicable", "to", "such", "SEC", "Document", ".", "As", "of", "their", "respective", "dates", ",", "any", "financial", "statements", "of", "the", "Company", "included", "in", "the", "SEC", "Documents", "complied", "as", "to", "form", "and", "substance", "in", "all", "material", "respects", "with", "applicable", "accounting", "requirements", "and", "published", "rules", "and", "regulations", "of", "the", "SEC", "with", "respect", "thereto", ".", "Such", "financial", "statements", "have", "been", "prepared", "in", "accordance", "with", "generally", "accepted", "accounting", "principles", ",", "consistently", "applied", "in", "the", "United", "States", "(", "GAAP", ")", ",", "during", "the", "periods", "involved", "(", "except", "in", "the", "case", "of", "unaudited", "interim", "statements", ",", "to", "the", "extent", "they", "may", "exclude", "footnotes", "or", "may", "be", "condensed", "or", "summary", "statements", ")", ",", "correspond", "to", "the", "books", "and", "records", "of", "the", "Company", "and", "fairly", "present", "in", "all", "material", "respects", "the", "financial", "position", "of", "the", "Company", "as", "of", "the", "dates", "thereof", "and", "the", "results", "of", "operations", "and", "cash", "flows", "for", "the", "periods", "then", "ended", ".", "The", "Company", "is", "not", "required", "to", "file", "and", "will", "not", "be", "required", "to", "file", "any", "agreement", ",", "note", ",", "lease", ",", "mortgage", ",", "deed", "or", "other", "instrument", "entered", "into", "prior", "to", "the", "date", "of", "this", "Agreement", "and", "to", "which", "the", "Company", "is", "a", "party", "or", "by", "which", "the", "Company", "is", "bound", "which", "has", "not", "been", "previously", "filed", "or", "incorporated", "by", "reference", "as", "an", "exhibit", "to", "the", "SEC", "Documents", "."]}
{"id": "12208", "text": "(ii)Sarbanes-Oxley. The Chief Executive Officer and the Chief Financial Officer of the Company have signed, and the Company has furnished to the SEC, all certifications required by Sections 302 and 906 of the Sarbanes- Oxley Act of 2002 as of the date hereof. Such certifications contain no exceptions to the matters certified therein and have not been modified or withdrawn; and neither the Company nor any of its officers has received notice from any Governmental Entity questioning or challenging the accuracy of such certifications. The Company is otherwise in compliance with all applicable effective provisions of the Sarbanes- Oxley Act of 2002 and the rules and regulations issued thereunder by the SEC.", "ner": [[6, 8, "Role"], [11, 13, "Role"], [33, 36, "Regulation"], [39, 44, "Act"]], "tokenized_text": ["(", "ii", ")", "Sarbanes-Oxley", ".", "The", "Chief", "Executive", "Officer", "and", "the", "Chief", "Financial", "Officer", "of", "the", "Company", "have", "signed", ",", "and", "the", "Company", "has", "furnished", "to", "the", "SEC", ",", "all", "certifications", "required", "by", "Sections", "302", "and", "906", "of", "the", "Sarbanes", "-", "Oxley", "Act", "of", "2002", "as", "of", "the", "date", "hereof", ".", "Such", "certifications", "contain", "no", "exceptions", "to", "the", "matters", "certified", "therein", "and", "have", "not", "been", "modified", "or", "withdrawn", ";", "and", "neither", "the", "Company", "nor", "any", "of", "its", "officers", "has", "received", "notice", "from", "any", "Governmental", "Entity", "questioning", "or", "challenging", "the", "accuracy", "of", "such", "certifications", ".", "The", "Company", "is", "otherwise", "in", "compliance", "with", "all", "applicable", "effective", "provisions", "of", "the", "Sarbanes", "-", "Oxley", "Act", "of", "2002", "and", "the", "rules", "and", "regulations", "issued", "thereunder", "by", "the", "SEC", "."]}
{"id": "12209", "text": "(t)No Integrated Offering. Neither the Company, nor any affiliate of the Company, nor, to the Companys knowledge any person acting on its or their behalf has, directly or indirectly, made any offers or sales of any security or solicited any offers to buy any security, under circumstances that would cause this Offering to be integrated with prior offerings by the Company in such a manner that would subject this Offering to the registration requirements of section 5 of the Securities Act.< br/>", "ner": [[89, 90, "Act"]], "tokenized_text": ["(", "t", ")", "No", "Integrated", "Offering", ".", "Neither", "the", "Company", ",", "nor", "any", "affiliate", "of", "the", "Company", ",", "nor", ",", "to", "the", "Companys", "knowledge", "any", "person", "acting", "on", "its", "or", "their", "behalf", "has", ",", "directly", "or", "indirectly", ",", "made", "any", "offers", "or", "sales", "of", "any", "security", "or", "solicited", "any", "offers", "to", "buy", "any", "security", ",", "under", "circumstances", "that", "would", "cause", "this", "Offering", "to", "be", "integrated", "with", "prior", "offerings", "by", "the", "Company", "in", "such", "a", "manner", "that", "would", "subject", "this", "Offering", "to", "the", "registration", "requirements", "of", "section", "5", "of", "the", "Securities", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "12210", "text": "(u)Investment Company. The Company is not now, and after the sale of the Units under this Agreement and the application of the net proceeds from the sale of the Units will not be, an investment company, a company controlled by an investment company, or an affiliated person of, or promoter or principal underwriter for, an investment company within the meaning of the Investment Company Act of 1940 , as amended.", "ner": [[72, 76, "Act"]], "tokenized_text": ["(", "u", ")", "Investment", "Company", ".", "The", "Company", "is", "not", "now", ",", "and", "after", "the", "sale", "of", "the", "Units", "under", "this", "Agreement", "and", "the", "application", "of", "the", "net", "proceeds", "from", "the", "sale", "of", "the", "Units", "will", "not", "be", ",", "an", "investment", "company", ",", "a", "company", "controlled", "by", "an", "investment", "company", ",", "or", "an", "affiliated", "person", "of", ",", "or", "promoter", "or", "principal", "underwriter", "for", ",", "an", "investment", "company", "within", "the", "meaning", "of", "the", "Investment", "Company", "Act", "of", "1940", ",", "as", "amended", "."]}
{"id": "12211", "text": "(w)Registration Matters. The Company has taken no action designed to terminate, or likely to have the effect of terminating, the registration of the Common Stock under the Exchange Act.< br/>", "ner": [[33, 34, "Act"]], "tokenized_text": ["(", "w", ")", "Registration", "Matters", ".", "The", "Company", "has", "taken", "no", "action", "designed", "to", "terminate", ",", "or", "likely", "to", "have", "the", "effect", "of", "terminating", ",", "the", "registration", "of", "the", "Common", "Stock", "under", "the", "Exchange", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "12212", "text": "(i)The Company and its Subsidiaries have complied in all material respects with all applicable Environmental Laws (as defined below). There is no pending or, to the Companys knowledge, threatened civil or criminal litigation, written notice of violation, formal administrative proceeding, or investigation, inquiry or information request by any Governmental Entity, relating to any Environmental Law involving the Company or any of its Subsidiaries. Environmental Law means any federal, state, local or foreign law, statute, rule or regulation or the common law relating to the environment or occupational health and safety, including any statute, regulation, administrative decision or order pertaining to (A) treatment, storage, disposal, generation and transportation of industrial, toxic or hazardous materials or substances or solid or hazardous waste; (B) air, water and noise pollution; (C) groundwater and soil contamination; (D) the release or threatened release into the environment of industrial, toxic or hazardous materials or substances, or solid or hazardous waste, including emissions, discharges, injections, spills, escapes or dumping of pollutants, contaminants or chemicals; (E) the protection of wild life, marine life and wetlands, including all endangered and threatened species; (F) storage tanks, vessels, containers, abandoned or discarded barrels and other closed receptacles; (G) health and safety of employees and other persons; or (H) manufacturing, processing, using, distributing, treating, storing, disposing, transporting or handling of materials regulated under any law as pollutants, contaminants, toxic or hazardous materials or substances, or oil or petroleum products or solid or hazardous waste. As used above, the terms release and environment shall have the meaning set forth in the federal Comprehensive Environmental Response, Compensation and Liability Act of 1980 Environmental Response , Compensation and Liability Act of 1980, as amended (CERCLA).", "ner": [[17, 18, "Act"], [332, 341, "Act"]], "tokenized_text": ["(", "i", ")", "The", "Company", "and", "its", "Subsidiaries", "have", "complied", "in", "all", "material", "respects", "with", "all", "applicable", "Environmental", "Laws", "(", "as", "defined", "below", ")", ".", "There", "is", "no", "pending", "or", ",", "to", "the", "Companys", "knowledge", ",", "threatened", "civil", "or", "criminal", "litigation", ",", "written", "notice", "of", "violation", ",", "formal", "administrative", "proceeding", ",", "or", "investigation", ",", "inquiry", "or", "information", "request", "by", "any", "Governmental", "Entity", ",", "relating", "to", "any", "Environmental", "Law", "involving", "the", "Company", "or", "any", "of", "its", "Subsidiaries", ".", "Environmental", "Law", "means", "any", "federal", ",", "state", ",", "local", "or", "foreign", "law", ",", "statute", ",", "rule", "or", "regulation", "or", "the", "common", "law", "relating", "to", "the", "environment", "or", "occupational", "health", "and", "safety", ",", "including", "any", "statute", ",", "regulation", ",", "administrative", "decision", "or", "order", "pertaining", "to", "(", "A", ")", "treatment", ",", "storage", ",", "disposal", ",", "generation", "and", "transportation", "of", "industrial", ",", "toxic", "or", "hazardous", "materials", "or", "substances", "or", "solid", "or", "hazardous", "waste", ";", "(", "B", ")", "air", ",", "water", "and", "noise", "pollution", ";", "(", "C", ")", "groundwater", "and", "soil", "contamination", ";", "(", "D", ")", "the", "release", "or", "threatened", "release", "into", "the", "environment", "of", "industrial", ",", "toxic", "or", "hazardous", "materials", "or", "substances", ",", "or", "solid", "or", "hazardous", "waste", ",", "including", "emissions", ",", "discharges", ",", "injections", ",", "spills", ",", "escapes", "or", "dumping", "of", "pollutants", ",", "contaminants", "or", "chemicals", ";", "(", "E", ")", "the", "protection", "of", "wild", "life", ",", "marine", "life", "and", "wetlands", ",", "including", "all", "endangered", "and", "threatened", "species", ";", "(", "F", ")", "storage", "tanks", ",", "vessels", ",", "containers", ",", "abandoned", "or", "discarded", "barrels", "and", "other", "closed", "receptacles", ";", "(", "G", ")", "health", "and", "safety", "of", "employees", "and", "other", "persons", ";", "or", "(", "H", ")", "manufacturing", ",", "processing", ",", "using", ",", "distributing", ",", "treating", ",", "storing", ",", "disposing", ",", "transporting", "or", "handling", "of", "materials", "regulated", "under", "any", "law", "as", "pollutants", ",", "contaminants", ",", "toxic", "or", "hazardous", "materials", "or", "substances", ",", "or", "oil", "or", "petroleum", "products", "or", "solid", "or", "hazardous", "waste", ".", "As", "used", "above", ",", "the", "terms", "release", "and", "environment", "shall", "have", "the", "meaning", "set", "forth", "in", "the", "federal", "Comprehensive", "Environmental", "Response", ",", "Compensation", "and", "Liability", "Act", "of", "1980", "Environmental", "Response", ",", "Compensation", "and", "Liability", "Act", "of", "1980", ",", "as", "amended", "(", "CERCLA", ")", "."]}
{"id": "12215", "text": "Certificates evidencing the Securities shall not contain any legend (i) while a registration statement covering the resale of such security is effective under the Securities Act, ( ii) following any sale of such Securities pursuant to Rule 144, or (iii) if such Securities are eligible for sale under Rule 144(b)(1) without reliance on the conditions set forth in rule 144(c)(1) relating to the availability of current public information.", "ner": [[26, 27, "Act"], [40, 41, "Regulation"], [55, 59, "Regulation"], [71, 75, "Regulation"]], "tokenized_text": ["Certificates", "evidencing", "the", "Securities", "shall", "not", "contain", "any", "legend", "(", "i", ")", "while", "a", "registration", "statement", "covering", "the", "resale", "of", "such", "security", "is", "effective", "under", "the", "Securities", "Act", ",", "(", "ii", ")", "following", "any", "sale", "of", "such", "Securities", "pursuant", "to", "Rule", "144", ",", "or", "(", "iii", ")", "if", "such", "Securities", "are", "eligible", "for", "sale", "under", "Rule", "144", "(", "b", ")", "(", "1", ")", "without", "reliance", "on", "the", "conditions", "set", "forth", "in", "rule", "144", "(", "c", ")", "(", "1", ")", "relating", "to", "the", "availability", "of", "current", "public", "information", "."]}
{"id": "12216", "text": "(j)Insufficient Authorized Shares of Common Stock; Reservation of Shares. The Purchaser acknowledges and understands that the Company does not currently have a sufficient number of authorized shares of Common Stock to issue the Conversion Shares issuable upon conversion of the Series B Preferred Stock and the Warrant Shares issuable upon exercise of the Warrants to be issued in the Offering. Following the Closing, the Company shall use commercially reasonable efforts to increase the Companys authorized shares of Common Stock to an amount sufficient to allow the Company to issue all of the shares of Common Stock issuable (i) upon conversion of all outstanding shares of Series B Preferred Stock, (ii) exercise of all outstanding Warrants, and (iii) exercise or conversion, as applicable, of all other outstanding convertible securities of the Company (Convertible Securities); including by filing Articles of Amendment to the Companys Articles of Incorporation with the Secretary of State of the State of Florida (the Articles of Amendment) increasing the Companys authorized Common Stock and/or effecting a reverse split of the shares of Common Stock to permit the issuance of the Conversion Shares and Warrant Shares and all shares of Common Stock issuable upon exercise or conversion of the Convertible Securities. It is understood and agreed that the Company will seek stockholder approval of the Articles of Amendment. It is hereby agreed by each Purchaser that in connection with such stockholder approval, each such Purchaser shall (i) cause all shares owned by such Purchaser, including shares owned by such Purchasers affiliates, representatives and family members, to be voted in favor of the Articles of Amendment, and (ii) take such other action as shall be reasonably necessary to cause the Articles of Amendment to become effective.", "ner": [[38, 39, "Shares"], [156, 158, "Title"], [162, 164, "Title"], [172, 174, "Court"]], "tokenized_text": ["(", "j", ")", "Insufficient", "Authorized", "Shares", "of", "Common", "Stock", ";", "Reservation", "of", "Shares", ".", "The", "Purchaser", "acknowledges", "and", "understands", "that", "the", "Company", "does", "not", "currently", "have", "a", "sufficient", "number", "of", "authorized", "shares", "of", "Common", "Stock", "to", "issue", "the", "Conversion", "Shares", "issuable", "upon", "conversion", "of", "the", "Series", "B", "Preferred", "Stock", "and", "the", "Warrant", "Shares", "issuable", "upon", "exercise", "of", "the", "Warrants", "to", "be", "issued", "in", "the", "Offering", ".", "Following", "the", "Closing", ",", "the", "Company", "shall", "use", "commercially", "reasonable", "efforts", "to", "increase", "the", "Companys", "authorized", "shares", "of", "Common", "Stock", "to", "an", "amount", "sufficient", "to", "allow", "the", "Company", "to", "issue", "all", "of", "the", "shares", "of", "Common", "Stock", "issuable", "(", "i", ")", "upon", "conversion", "of", "all", "outstanding", "shares", "of", "Series", "B", "Preferred", "Stock", ",", "(", "ii", ")", "exercise", "of", "all", "outstanding", "Warrants", ",", "and", "(", "iii", ")", "exercise", "or", "conversion", ",", "as", "applicable", ",", "of", "all", "other", "outstanding", "convertible", "securities", "of", "the", "Company", "(", "Convertible", "Securities", ")", ";", "including", "by", "filing", "Articles", "of", "Amendment", "to", "the", "Companys", "Articles", "of", "Incorporation", "with", "the", "Secretary", "of", "State", "of", "the", "State", "of", "Florida", "(", "the", "Articles", "of", "Amendment", ")", "increasing", "the", "Companys", "authorized", "Common", "Stock", "and", "/", "or", "effecting", "a", "reverse", "split", "of", "the", "shares", "of", "Common", "Stock", "to", "permit", "the", "issuance", "of", "the", "Conversion", "Shares", "and", "Warrant", "Shares", "and", "all", "shares", "of", "Common", "Stock", "issuable", "upon", "exercise", "or", "conversion", "of", "the", "Convertible", "Securities", ".", "It", "is", "understood", "and", "agreed", "that", "the", "Company", "will", "seek", "stockholder", "approval", "of", "the", "Articles", "of", "Amendment", ".", "It", "is", "hereby", "agreed", "by", "each", "Purchaser", "that", "in", "connection", "with", "such", "stockholder", "approval", ",", "each", "such", "Purchaser", "shall", "(", "i", ")", "cause", "all", "shares", "owned", "by", "such", "Purchaser", ",", "including", "shares", "owned", "by", "such", "Purchasers", "affiliates", ",", "representatives", "and", "family", "members", ",", "to", "be", "voted", "in", "favor", "of", "the", "Articles", "of", "Amendment", ",", "and", "(", "ii", ")", "take", "such", "other", "action", "as", "shall", "be", "reasonably", "necessary", "to", "cause", "the", "Articles", "of", "Amendment", "to", "become", "effective", "."]}
{"id": "12217", "text": "(b)Governing Law; Submission to Jurisdiction. This Agreement will be governed by and construed and enforced under the internal laws of the State of Florida , without reference to principles of conflict of laws or choice of laws. EACH PARTY HEREBY IRREVOCABLY WAIVES ANY RIGHT IT MAY HAVE, AND AGREES NOT TO REQUEST, A JURY TRIAL FOR THE ADJUDICATION OF ANY DISPUTE HEREUNDER OR IN CONNECTION HEREWITH OR ARISING OUT OF THIS AGREEMENT OR ANY TRANSACTION CONTEMPLATED HEREBY. The Company hereby irrevocably and unconditionally submits, for itself and its property to the exclusive jurisdiction of any Florida state court or federal court of the United States sitting in the State of Florida , and any appellate court from any thereof, in any action or proceeding arising out of or relating to this Agreement.", "ner": [[26, 28, "Court"]], "tokenized_text": ["(", "b", ")", "Governing", "Law", ";", "Submission", "to", "Jurisdiction", ".", "This", "Agreement", "will", "be", "governed", "by", "and", "construed", "and", "enforced", "under", "the", "internal", "laws", "of", "the", "State", "of", "Florida", ",", "without", "reference", "to", "principles", "of", "conflict", "of", "laws", "or", "choice", "of", "laws", ".", "EACH", "PARTY", "HEREBY", "IRREVOCABLY", "WAIVES", "ANY", "RIGHT", "IT", "MAY", "HAVE", ",", "AND", "AGREES", "NOT", "TO", "REQUEST", ",", "A", "JURY", "TRIAL", "FOR", "THE", "ADJUDICATION", "OF", "ANY", "DISPUTE", "HEREUNDER", "OR", "IN", "CONNECTION", "HEREWITH", "OR", "ARISING", "OUT", "OF", "THIS", "AGREEMENT", "OR", "ANY", "TRANSACTION", "CONTEMPLATED", "HEREBY", ".", "The", "Company", "hereby", "irrevocably", "and", "unconditionally", "submits", ",", "for", "itself", "and", "its", "property", "to", "the", "exclusive", "jurisdiction", "of", "any", "Florida", "state", "court", "or", "federal", "court", "of", "the", "United", "States", "sitting", "in", "the", "State", "of", "Florida", ",", "and", "any", "appellate", "court", "from", "any", "thereof", ",", "in", "any", "action", "or", "proceeding", "arising", "out", "of", "or", "relating", "to", "this", "Agreement", "."]}
{"id": "12218", "text": "CTD Holdings, Inc. 6714 NW 16th Street, Suite B Gainesville, Florida <sup> 32653 Tel: (386) 418-8060 Fax: (321) 244-8351 Email: n.scott.fine@cyclodex.com Attention: N. Scott Fine", "ner": [[21, 24, "PII_Ref"], [27, 30, "PII_Ref"], [33, 41, "PII_Ref"]], "tokenized_text": ["CTD", "Holdings", ",", "Inc", ".", "6714", "NW", "16th", "Street", ",", "Suite", "B", "Gainesville", ",", "Florida", "<", "sup", ">", "32653", "Tel", ":", "(", "386", ")", "418-8060", "Fax", ":", "(", "321", ")", "244-8351", "Email", ":", "n", ".", "scott", ".", "fine", "@", "cyclodex", ".", "com", "Attention", ":", "N", ".", "Scott", "Fine"]}
{"id": "12220", "text": "| CTD Holdings, Inc. By:___________________________ Name: N. Scott Fine Title: Chief Executive Officer ---|---", "ner": [[1, 5, "Parties"], [17, 19, "Role"]], "tokenized_text": ["|", "CTD", "Holdings", ",", "Inc", ".", "By", ":", "___________________________", "Name", ":", "N", ".", "Scott", "Fine", "Title", ":", "Chief", "Executive", "Officer", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "12222", "text": "EX-10.1 3 precise_spa.htm SHARE PURCHASE AGREEMENT", "ner": [[7, 9, "Title"]], "tokenized_text": ["EX-10", ".", "1", "3", "precise_spa", ".", "htm", "SHARE", "PURCHASE", "AGREEMENT"]}
{"id": "12225", "text": "WHEREAS, Purchaser desire to purchase 8,000,000 restricted Shares from Seller, which constitutes 100% of the Corporations issued and outstanding Shares as of the date of this Agreement and Seller desires to sell such Shares upon the terms and conditions hereinafter set forth;", "ner": [[6, 10, "Shares"], [18, 19, "Percentage"]], "tokenized_text": ["WHEREAS", ",", "Purchaser", "desire", "to", "purchase", "8", ",", "000", ",", "000", "restricted", "Shares", "from", "Seller", ",", "which", "constitutes", "100", "%", "of", "the", "Corporations", "issued", "and", "outstanding", "Shares", "as", "of", "the", "date", "of", "this", "Agreement", "and", "Seller", "desires", "to", "sell", "such", "Shares", "upon", "the", "terms", "and", "conditions", "hereinafter", "set", "forth", ";"]}
{"id": "12227", "text": "| (i) | Corporation is a blank check corporation duly organized and validly existing and in good standing under the laws of the State of Delaware and has the corporate power and authority to carry on the business it is now being conducted. Corporation and/or Seller do not require any consent and/or authorization, declaration or filing with any government or regulatory authority to undertake any actions herein; ---|---|---", "ner": [[25, 27, "Court"]], "tokenized_text": ["|", "(", "i", ")", "|", "Corporation", "is", "a", "blank", "check", "corporation", "duly", "organized", "and", "validly", "existing", "and", "in", "good", "standing", "under", "the", "laws", "of", "the", "State", "of", "Delaware", "and", "has", "the", "corporate", "power", "and", "authority", "to", "carry", "on", "the", "business", "it", "is", "now", "being", "conducted", ".", "Corporation", "and", "/", "or", "Seller", "do", "not", "require", "any", "consent", "and", "/", "or", "authorization", ",", "declaration", "or", "filing", "with", "any", "government", "or", "regulatory", "authority", "to", "undertake", "any", "actions", "herein", ";", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "12228", "text": "| (ii) | Corporation has filed with the United States Securities and Exchange Commission (SEC) a registration statement on Form S-1 in accordance with 17 CFR 230 .419, as amended. The effective date of registration statement is June 29, 2017. ---|---|---", "ner": [[28, 32, "Regulation"], [44, 47, "EffectiveDate"]], "tokenized_text": ["|", "(", "ii", ")", "|", "Corporation", "has", "filed", "with", "the", "United", "States", "Securities", "and", "Exchange", "Commission", "(", "SEC", ")", "a", "registration", "statement", "on", "Form", "S-1", "in", "accordance", "with", "17", "CFR", "230", ".", "419", ",", "as", "amended", ".", "The", "effective", "date", "of", "registration", "statement", "is", "June", "29", ",", "2017", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "12230", "text": "| (ix) | The business and operation of the Corporation has and will be conducted in accordance with all applicable laws, rules, regulations, judgments. Neither the execution, delivery or performance of this Agreement (A) violates the Corporations by-laws, Certificate of Incorporation, Shareholder Agreements or any existing resolutions; and, (B) will cause the Corporation to lose any benefit or any right or privilege it enjoys under the Securities Act ( <sup> Act) or other applicable state securities laws; ---|---|---", "ner": [[48, 50, "Title"], [52, 53, "Title"], [81, 82, "Act"]], "tokenized_text": ["|", "(", "ix", ")", "|", "The", "business", "and", "operation", "of", "the", "Corporation", "has", "and", "will", "be", "conducted", "in", "accordance", "with", "all", "applicable", "laws", ",", "rules", ",", "regulations", ",", "judgments", ".", "Neither", "the", "execution", ",", "delivery", "or", "performance", "of", "this", "Agreement", "(", "A", ")", "violates", "the", "Corporations", "by-laws", ",", "Certificate", "of", "Incorporation", ",", "Shareholder", "Agreements", "or", "any", "existing", "resolutions", ";", "and", ",", "(", "B", ")", "will", "cause", "the", "Corporation", "to", "lose", "any", "benefit", "or", "any", "right", "or", "privilege", "it", "enjoys", "under", "the", "Securities", "Act", "(", "<", "sup", ">", "Act", ")", "or", "other", "applicable", "state", "securities", "laws", ";", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "12235", "text": "780 Reservoir Avenue, #123", "ner": [[0, 5, "Address"]], "tokenized_text": ["780", "Reservoir", "Avenue", ",", "#", "123"]}
{"id": "12236", "text": "Mandla J. Gwadiso, Managing Partner and CEO Milost Global Inc .", "ner": [[5, 6, "Role"], [8, 8, "Role"]], "tokenized_text": ["Mandla", "J", ".", "Gwadiso", ",", "Managing", "Partner", "and", "CEO", "Milost", "Global", "Inc", "."]}
{"id": "12238", "text": "8. GOVERNING LAW. This Agreement shall be interpreted and governed in accordance with the laws of the State of Delaware . The parties herein waive trial by jury. In the event that litigation results or arise out of this Agreement or the performance thereof, the parties agree that the prevailing party is entitled to reimbursement for the non-prevailing party of reasonable attorneys fee, costs, expenses, in addition to any other relief to which the prevailing party may be entitled.", "ner": [[19, 21, "Court"]], "tokenized_text": ["8", ".", "GOVERNING", "LAW", ".", "This", "Agreement", "shall", "be", "interpreted", "and", "governed", "in", "accordance", "with", "the", "laws", "of", "the", "State", "of", "Delaware", ".", "The", "parties", "herein", "waive", "trial", "by", "jury", ".", "In", "the", "event", "that", "litigation", "results", "or", "arise", "out", "of", "this", "Agreement", "or", "the", "performance", "thereof", ",", "the", "parties", "agree", "that", "the", "prevailing", "party", "is", "entitled", "to", "reimbursement", "for", "the", "non-prevailing", "party", "of", "reasonable", "attorneys", "fee", ",", "costs", ",", "expenses", ",", "in", "addition", "to", "any", "other", "relief", "to", "which", "the", "prevailing", "party", "may", "be", "entitled", "."]}
{"id": "12239", "text": "For and on behalf of Milost Global Inc .", "ner": [[5, 8, "Parties"]], "tokenized_text": ["For", "and", "on", "behalf", "of", "Milost", "Global", "Inc", "."]}
{"id": "12241", "text": "This SECURITIES PURCHASE AGREEMENT (the Agreement), dated as of October 2, 2017 , by and between Airborne Wireless Network , a Nevada corporation, with headquarters located at 4115 Guardian Street , Suite C , Simi Valley, CA <sup> 93063, (the Company), and GS CAPITAL PARTNERS, LLC , with its address at 110 Wall Street, Suite 5-070 , New York, NY <sup> 10005 (the Buyer).", "ner": [[1, 3, "Title"], [12, 15, "EffectiveDate"], [20, 22, "Parties"], [54, 58, "Parties"]], "tokenized_text": ["This", "SECURITIES", "PURCHASE", "AGREEMENT", "(", "the", "Agreement", ")", ",", "dated", "as", "of", "October", "2", ",", "2017", ",", "by", "and", "between", "Airborne", "Wireless", "Network", ",", "a", "Nevada", "corporation", ",", "with", "headquarters", "located", "at", "4115", "Guardian", "Street", ",", "Suite", "C", ",", "Simi", "Valley", ",", "CA", "<", "sup", ">", "93063", ",", "(", "the", "Company", ")", ",", "and", "GS", "CAPITAL", "PARTNERS", ",", "LLC", ",", "with", "its", "address", "at", "110", "Wall", "Street", ",", "Suite", "5-070", ",", "New", "York", ",", "NY", "<", "sup", ">", "10005", "(", "the", "Buyer", ")", "."]}
{"id": "12243", "text": "a. Closing Date. The date and time of the first issuance and sale of the Note pursuant to this Agreement (the Closing Date) shall be on or about October 2, 2017 , or such other mutually agreed upon time. The closing of the transactions contemplated by this Agreement (the Closing) shall occur on the Closing Date at such location as may be agreed to by the parties. The Closing of each of back end notes shall be on or before the dates specified in the relevant Buyer Notes. The Company may reject the closing of the back end financing by giving the Buyer written notice at least 30 days prior to the 6 month anniversary of the Notes of its intent to reject the funding of each of the Buyer Notes. In such base both the Buyer Notes and the back end notes shall be terminated.", "ner": [[122, 124, "TerminationDate"]], "tokenized_text": ["a", ".", "Closing", "Date", ".", "The", "date", "and", "time", "of", "the", "first", "issuance", "and", "sale", "of", "the", "Note", "pursuant", "to", "this", "Agreement", "(", "the", "Closing", "Date", ")", "shall", "be", "on", "or", "about", "October", "2", ",", "2017", ",", "or", "such", "other", "mutually", "agreed", "upon", "time", ".", "The", "closing", "of", "the", "transactions", "contemplated", "by", "this", "Agreement", "(", "the", "Closing", ")", "shall", "occur", "on", "the", "Closing", "Date", "at", "such", "location", "as", "may", "be", "agreed", "to", "by", "the", "parties", ".", "The", "Closing", "of", "each", "of", "back", "end", "notes", "shall", "be", "on", "or", "before", "the", "dates", "specified", "in", "the", "relevant", "Buyer", "Notes", ".", "The", "Company", "may", "reject", "the", "closing", "of", "the", "back", "end", "financing", "by", "giving", "the", "Buyer", "written", "notice", "at", "least", "30", "days", "prior", "to", "the", "6", "month", "anniversary", "of", "the", "Notes", "of", "its", "intent", "to", "reject", "the", "funding", "of", "each", "of", "the", "Buyer", "Notes", ".", "In", "such", "base", "both", "the", "Buyer", "Notes", "and", "the", "back", "end", "notes", "shall", "be", "terminated", "."]}
{"id": "12244", "text": "f. Restricted Shares. The Company shall issue 66,000 restricted shares of Common Stock to the Buyer as additional consideration for the purchase of the Note.", "ner": [[9, 11, "Shares"]], "tokenized_text": ["f", ".", "Restricted", "Shares", ".", "The", "Company", "shall", "issue", "66", ",", "000", "restricted", "shares", "of", "Common", "Stock", "to", "the", "Buyer", "as", "additional", "consideration", "for", "the", "purchase", "of", "the", "Note", "."]}
{"id": "12246", "text": "h. S1 Payments. In the event the Company is able to raise amounts in excess of $1,500,000 pursuant to the S1 registration filed on August 31, 2017, then the Company covenants that, at the election of the Buyer, it shall use an amount of up to 33% of the net proceeds to the Company (the amount being specified by the Buyer) to prepay or retire the Note. Such payment will be made within 5 business days of request by Buyer. If the Company violates this provision then both the conversion discount set forth in Section 2(a) of the Note and the prepay premium set forth in Section 2(c) of the Note shall be increased by 15% .", "ner": [[18, 23, "Principal"], [57, 58, "Percentage"], [137, 138, "Percentage"]], "tokenized_text": ["h", ".", "S1", "Payments", ".", "In", "the", "event", "the", "Company", "is", "able", "to", "raise", "amounts", "in", "excess", "of", "$", "1", ",", "500", ",", "000", "pursuant", "to", "the", "S1", "registration", "filed", "on", "August", "31", ",", "2017", ",", "then", "the", "Company", "covenants", "that", ",", "at", "the", "election", "of", "the", "Buyer", ",", "it", "shall", "use", "an", "amount", "of", "up", "to", "33", "%", "of", "the", "net", "proceeds", "to", "the", "Company", "(", "the", "amount", "being", "specified", "by", "the", "Buyer", ")", "to", "prepay", "or", "retire", "the", "Note", ".", "Such", "payment", "will", "be", "made", "within", "5", "business", "days", "of", "request", "by", "Buyer", ".", "If", "the", "Company", "violates", "this", "provision", "then", "both", "the", "conversion", "discount", "set", "forth", "in", "Section", "2", "(", "a", ")", "of", "the", "Note", "and", "the", "prepay", "premium", "set", "forth", "in", "Section", "2", "(", "c", ")", "of", "the", "Note", "shall", "be", "increased", "by", "15", "%", "."]}
{"id": "12249", "text": "Simi Valley, CA 93063", "ner": [], "tokenized_text": ["Simi", "Valley", ",", "CA", "93063"]}
{"id": "12252", "text": "New York, NY 10005", "ner": [[0, 4, "Address"]], "tokenized_text": ["New", "York", ",", "NY", "10005"]}
{"id": "12253", "text": "Airborne Wireless Network | ---|--- | | By: | /s/J. Edward Daniels | Name:", "ner": [[19, 22, "Parties"]], "tokenized_text": ["Airborne", "Wireless", "Network", "|", "-", "-", "-", "|", "-", "-", "-", "|", "|", "By", ":", "|", "/", "s", "/", "J", ".", "Edward", "Daniels", "|", "Name", ":"]}
{"id": "12255", "text": "Aggregate Principal Amount of Note: $444,000.00", "ner": [[6, 11, "Principal"]], "tokenized_text": ["Aggregate", "Principal", "Amount", "of", "Note", ":", "$", "444", ",", "000", ".", "00"]}
{"id": "12256", "text": "This Securities Purchase Agreement (this Agreement) is dated as of October 13, 2017 , between Rexahn Pharmaceuticals, Inc. , a Delaware corporation (the Company), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a Purchaser and collectively the Purchasers).", "ner": [[1, 3, "Title"], [12, 15, "EffectiveDate"], [18, 22, "Parties"]], "tokenized_text": ["This", "Securities", "Purchase", "Agreement", "(", "this", "Agreement", ")", "is", "dated", "as", "of", "October", "13", ",", "2017", ",", "between", "Rexahn", "Pharmaceuticals", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "the", "Company", ")", ",", "and", "each", "purchaser", "identified", "on", "the", "signature", "pages", "hereto", "(", "each", ",", "including", "its", "successors", "and", "assigns", ",", "a", "Purchaser", "and", "collectively", "the", "Purchasers", ")", "."]}
{"id": "12257", "text": "Affiliate means any Person that, directly or indirectly through one or more intermediaries, controls or is controlled by or is under common control with a Person as such terms are used in and construed under Rule 405 under the Securities Act.&lt; br/&gt;", "ner": [[37, 38, "Regulation"], [41, 42, "Act"]], "tokenized_text": ["Affiliate", "means", "any", "Person", "that", ",", "directly", "or", "indirectly", "through", "one", "or", "more", "intermediaries", ",", "controls", "or", "is", "controlled", "by", "or", "is", "under", "common", "control", "with", "a", "Person", "as", "such", "terms", "are", "used", "in", "and", "construed", "under", "Rule", "405", "under", "the", "Securities", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "12262", "text": "Short Sales means all short sales as defined in Rule 200 of Regulation SHO under the Exchange Act ( but shall not be deemed to include the location and/or reservation of borrowable shares of Common Stock).", "ner": [[9, 10, "Regulation"], [12, 13, "Regulation"], [16, 17, "Act"], [36, 37, "Shares"]], "tokenized_text": ["Short", "Sales", "means", "all", "short", "sales", "as", "defined", "in", "Rule", "200", "of", "Regulation", "SHO", "under", "the", "Exchange", "Act", "(", "but", "shall", "not", "be", "deemed", "to", "include", "the", "location", "and", "/", "or", "reservation", "of", "borrowable", "shares", "of", "Common", "Stock", ")", "."]}
{"id": "12263", "text": "Transfer Agent means Olde Monmouth Stock Transfer, the current transfer agent of the Company, with a mailing address of 200 Memorial Parkway, Atlantic Highlands, NJ 07716 and a facsimile number of (732) 872-2728 , and any successor transfer agent of the Company.", "ner": [[21, 29, "Address"], [35, 38, "PII_Ref"]], "tokenized_text": ["Transfer", "Agent", "means", "Olde", "Monmouth", "Stock", "Transfer", ",", "the", "current", "transfer", "agent", "of", "the", "Company", ",", "with", "a", "mailing", "address", "of", "200", "Memorial", "Parkway", ",", "Atlantic", "Highlands", ",", "NJ", "07716", "and", "a", "facsimile", "number", "of", "(", "732", ")", "872-2728", ",", "and", "any", "successor", "transfer", "agent", "of", "the", "Company", "."]}
{"id": "12265", "text": "(i) Material Changes; Undisclosed Events, Liabilities or Developments. Since the date of the latest financial statements included within the Registration Statement, the Prospectus and the Prospectus Supplement, except as specifically set forth in Schedule 3.1(i), (i) there has been no event, occurrence or development that has had or that could reasonably be expected to result in a Material Adverse Effect, (ii) the Company has not incurred any liabilities (contingent or otherwise) other than (A) trade payables and accrued expenses incurred in the ordinary course of business consistent with past practice and (B) liabilities not required to be reflected in the Companys financial statements pursuant to GAAP or disclosed in filings made with the Commission, (iii) the Company has not altered its method of accounting, (iv) the Company has not declared or made any dividend or distribution of cash or other property to its stockholders or purchased, redeemed or made any agreements to purchase or redeem any shares of its capital stock and (v) the Company has not issued any equity securities to any officer, director or Affiliate, except pursuant to existing Company stock option plans. The Company does not have pending before the Commission any request for confidential treatment of information. Except for the issuance of the Securities contemplated by this Agreement, no event, liability, fact, circumstance, occurrence or development has occurred or exists or is reasonably expected to occur or exist with respect to the Company or its Subsidiaries or their respective businesses, prospects, properties, operations, assets or financial condition that would be required to be disclosed by the Company under applicable securities laws at the time this representation is made or deemed made that has not been publicly disclosed at least 1 Trading Day prior to the date that this representation is made.", "ner": [], "tokenized_text": ["(", "i", ")", "Material", "Changes", ";", "Undisclosed", "Events", ",", "Liabilities", "or", "Developments", ".", "Since", "the", "date", "of", "the", "latest", "financial", "statements", "included", "within", "the", "Registration", "Statement", ",", "the", "Prospectus", "and", "the", "Prospectus", "Supplement", ",", "except", "as", "specifically", "set", "forth", "in", "Schedule", "3", ".", "1", "(", "i", ")", ",", "(", "i", ")", "there", "has", "been", "no", "event", ",", "occurrence", "or", "development", "that", "has", "had", "or", "that", "could", "reasonably", "be", "expected", "to", "result", "in", "a", "Material", "Adverse", "Effect", ",", "(", "ii", ")", "the", "Company", "has", "not", "incurred", "any", "liabilities", "(", "contingent", "or", "otherwise", ")", "other", "than", "(", "A", ")", "trade", "payables", "and", "accrued", "expenses", "incurred", "in", "the", "ordinary", "course", "of", "business", "consistent", "with", "past", "practice", "and", "(", "B", ")", "liabilities", "not", "required", "to", "be", "reflected", "in", "the", "Companys", "financial", "statements", "pursuant", "to", "GAAP", "or", "disclosed", "in", "filings", "made", "with", "the", "Commission", ",", "(", "iii", ")", "the", "Company", "has", "not", "altered", "its", "method", "of", "accounting", ",", "(", "iv", ")", "the", "Company", "has", "not", "declared", "or", "made", "any", "dividend", "or", "distribution", "of", "cash", "or", "other", "property", "to", "its", "stockholders", "or", "purchased", ",", "redeemed", "or", "made", "any", "agreements", "to", "purchase", "or", "redeem", "any", "shares", "of", "its", "capital", "stock", "and", "(", "v", ")", "the", "Company", "has", "not", "issued", "any", "equity", "securities", "to", "any", "officer", ",", "director", "or", "Affiliate", ",", "except", "pursuant", "to", "existing", "Company", "stock", "option", "plans", ".", "The", "Company", "does", "not", "have", "pending", "before", "the", "Commission", "any", "request", "for", "confidential", "treatment", "of", "information", ".", "Except", "for", "the", "issuance", "of", "the", "Securities", "contemplated", "by", "this", "Agreement", ",", "no", "event", ",", "liability", ",", "fact", ",", "circumstance", ",", "occurrence", "or", "development", "has", "occurred", "or", "exists", "or", "is", "reasonably", "expected", "to", "occur", "or", "exist", "with", "respect", "to", "the", "Company", "or", "its", "Subsidiaries", "or", "their", "respective", "businesses", ",", "prospects", ",", "properties", ",", "operations", ",", "assets", "or", "financial", "condition", "that", "would", "be", "required", "to", "be", "disclosed", "by", "the", "Company", "under", "applicable", "securities", "laws", "at", "the", "time", "this", "representation", "is", "made", "or", "deemed", "made", "that", "has", "not", "been", "publicly", "disclosed", "at", "least", "1", "Trading", "Day", "prior", "to", "the", "date", "that", "this", "representation", "is", "made", "."]}
{"id": "12267", "text": "(n) Regulatory Permits. The Company and the Subsidiaries possess all certificates, authorizations and permits issued by the appropriate federal, state, local or foreign regulatory authorities necessary to conduct their respective businesses as described in the Registration Statement, the Prospectus and the Prospectus Supplement, except where the failure to possess such permits could not reasonably be expected to result in a Material Adverse Effect (Material Permits), and neither the Company nor any Subsidiary has received any notice of proceedings relating to the revocation or modification of any Material Permit.", "ner": [[72, 73, "Regulation"]], "tokenized_text": ["(", "n", ")", "Regulatory", "Permits", ".", "The", "Company", "and", "the", "Subsidiaries", "possess", "all", "certificates", ",", "authorizations", "and", "permits", "issued", "by", "the", "appropriate", "federal", ",", "state", ",", "local", "or", "foreign", "regulatory", "authorities", "necessary", "to", "conduct", "their", "respective", "businesses", "as", "described", "in", "the", "Registration", "Statement", ",", "the", "Prospectus", "and", "the", "Prospectus", "Supplement", ",", "except", "where", "the", "failure", "to", "possess", "such", "permits", "could", "not", "reasonably", "be", "expected", "to", "result", "in", "a", "Material", "Adverse", "Effect", "(", "Material", "Permits", ")", ",", "and", "neither", "the", "Company", "nor", "any", "Subsidiary", "has", "received", "any", "notice", "of", "proceedings", "relating", "to", "the", "revocation", "or", "modification", "of", "any", "Material", "Permit", "."]}
{"id": "12269", "text": "(s) Sarbanes-Oxley; Internal Accounting Controls. The Company and the Subsidiaries are in material compliance with any and all applicable requirements of the Sarbanes- Oxley Act of 2002 that are effective as of the date hereof, and any and all applicable rules and regulations promulgated by the Commission thereunder that are effective as of the date hereof and as of the Closing Date. The Company and the Subsidiaries maintain a system of internal accounting controls designed to provide reasonable assurance that: (i) transactions are executed in accordance with managements general or specific authorizations; (ii) transactions are recorded as necessary to permit preparation of financial statements in conformity with GAAP and to maintain asset accountability; (iii) access to assets is permitted only in accordance with managements general or specific authorization; and (iv) the recorded accountability for assets is compared with the existing assets at reasonable intervals and appropriate action is taken with respect to any differences. The Company and the Subsidiaries have established disclosure controls and procedures (as defined in Exchange Act Rules 13a-15(e) and 15d-15(e)) for the Company and the Subsidiaries and designed such disclosure controls and procedures to ensure that information required to be disclosed by the Company in the reports it files or submits under the Exchange Act is recorded, processed, summarized and reported, within the time periods specified in the Commissions rules and forms. The Companys certifying officers have evaluated the effectiveness of the disclosure controls and procedures of the Company and the Subsidiaries as of the end of the period covered by the most recently filed periodic report under the Exchange Act ( such date, the Evaluation Date). The Company presented in its most recently filed periodic report under the Exchange Act the conclusions of the certifying officers about the effectiveness of the disclosure controls and procedures based on their evaluations as of the Evaluation Date. Since the Evaluation Date, there have been no changes in the internal control over financial reporting (as such term is defined in the Exchange Act) of the Company and its Subsidiaries that have materially affected, or is reasonably likely to materially affect, the internal control over financial reporting of the Company and its Subsidiaries.", "ner": [[3, 3, "Regulation"], [26, 31, "Act"], [189, 190, "Act"], [197, 200, "Regulation"], [235, 236, "Act"], [295, 296, "Act"], [318, 319, "Act"], [370, 371, "Act"]], "tokenized_text": ["(", "s", ")", "Sarbanes-Oxley", ";", "Internal", "Accounting", "Controls", ".", "The", "Company", "and", "the", "Subsidiaries", "are", "in", "material", "compliance", "with", "any", "and", "all", "applicable", "requirements", "of", "the", "Sarbanes", "-", "Oxley", "Act", "of", "2002", "that", "are", "effective", "as", "of", "the", "date", "hereof", ",", "and", "any", "and", "all", "applicable", "rules", "and", "regulations", "promulgated", "by", "the", "Commission", "thereunder", "that", "are", "effective", "as", "of", "the", "date", "hereof", "and", "as", "of", "the", "Closing", "Date", ".", "The", "Company", "and", "the", "Subsidiaries", "maintain", "a", "system", "of", "internal", "accounting", "controls", "designed", "to", "provide", "reasonable", "assurance", "that", ":", "(", "i", ")", "transactions", "are", "executed", "in", "accordance", "with", "managements", "general", "or", "specific", "authorizations", ";", "(", "ii", ")", "transactions", "are", "recorded", "as", "necessary", "to", "permit", "preparation", "of", "financial", "statements", "in", "conformity", "with", "GAAP", "and", "to", "maintain", "asset", "accountability", ";", "(", "iii", ")", "access", "to", "assets", "is", "permitted", "only", "in", "accordance", "with", "managements", "general", "or", "specific", "authorization", ";", "and", "(", "iv", ")", "the", "recorded", "accountability", "for", "assets", "is", "compared", "with", "the", "existing", "assets", "at", "reasonable", "intervals", "and", "appropriate", "action", "is", "taken", "with", "respect", "to", "any", "differences", ".", "The", "Company", "and", "the", "Subsidiaries", "have", "established", "disclosure", "controls", "and", "procedures", "(", "as", "defined", "in", "Exchange", "Act", "Rules", "13a-15", "(", "e", ")", "and", "15d-15", "(", "e", ")", ")", "for", "the", "Company", "and", "the", "Subsidiaries", "and", "designed", "such", "disclosure", "controls", "and", "procedures", "to", "ensure", "that", "information", "required", "to", "be", "disclosed", "by", "the", "Company", "in", "the", "reports", "it", "files", "or", "submits", "under", "the", "Exchange", "Act", "is", "recorded", ",", "processed", ",", "summarized", "and", "reported", ",", "within", "the", "time", "periods", "specified", "in", "the", "Commissions", "rules", "and", "forms", ".", "The", "Companys", "certifying", "officers", "have", "evaluated", "the", "effectiveness", "of", "the", "disclosure", "controls", "and", "procedures", "of", "the", "Company", "and", "the", "Subsidiaries", "as", "of", "the", "end", "of", "the", "period", "covered", "by", "the", "most", "recently", "filed", "periodic", "report", "under", "the", "Exchange", "Act", "(", "such", "date", ",", "the", "Evaluation", "Date", ")", ".", "The", "Company", "presented", "in", "its", "most", "recently", "filed", "periodic", "report", "under", "the", "Exchange", "Act", "the", "conclusions", "of", "the", "certifying", "officers", "about", "the", "effectiveness", "of", "the", "disclosure", "controls", "and", "procedures", "based", "on", "their", "evaluations", "as", "of", "the", "Evaluation", "Date", ".", "Since", "the", "Evaluation", "Date", ",", "there", "have", "been", "no", "changes", "in", "the", "internal", "control", "over", "financial", "reporting", "(", "as", "such", "term", "is", "defined", "in", "the", "Exchange", "Act", ")", "of", "the", "Company", "and", "its", "Subsidiaries", "that", "have", "materially", "affected", ",", "or", "is", "reasonably", "likely", "to", "materially", "affect", ",", "the", "internal", "control", "over", "financial", "reporting", "of", "the", "Company", "and", "its", "Subsidiaries", "."]}
{"id": "12271", "text": "(ii) Office of Foreign Assets Control. Neither the Company nor any Subsidiary nor, to the Companys knowledge, any director, officer, agent, employee or affiliate of the Company or any Subsidiary is currently subject to any U.S. sanctions administered by the Office of Foreign Assets Control of the U.S. Treasury Department (OFAC).", "ner": [], "tokenized_text": ["(", "ii", ")", "Office", "of", "Foreign", "Assets", "Control", ".", "Neither", "the", "Company", "nor", "any", "Subsidiary", "nor", ",", "to", "the", "Companys", "knowledge", ",", "any", "director", ",", "officer", ",", "agent", ",", "employee", "or", "affiliate", "of", "the", "Company", "or", "any", "Subsidiary", "is", "currently", "subject", "to", "any", "U", ".", "S", ".", "sanctions", "administered", "by", "the", "Office", "of", "Foreign", "Assets", "Control", "of", "the", "U", ".", "S", ".", "Treasury", "Department", "(", "OFAC", ")", "."]}
{"id": "12273", "text": "(ll) Money Laundering. The operations of the Company and its Subsidiaries are and have been conducted at all times in compliance with applicable financial record-keeping and reporting requirements of the Currency and Foreign Transactions Reporting Act of 1970 , as amended, applicable money laundering statutes and applicable rules and regulations thereunder (collectively, the Money Laundering Laws), and there is no Proceeding with respect to the Money Laundering Laws.", "ner": [[33, 40, "Act"]], "tokenized_text": ["(", "ll", ")", "Money", "Laundering", ".", "The", "operations", "of", "the", "Company", "and", "its", "Subsidiaries", "are", "and", "have", "been", "conducted", "at", "all", "times", "in", "compliance", "with", "applicable", "financial", "record-keeping", "and", "reporting", "requirements", "of", "the", "Currency", "and", "Foreign", "Transactions", "Reporting", "Act", "of", "1970", ",", "as", "amended", ",", "applicable", "money", "laundering", "statutes", "and", "applicable", "rules", "and", "regulations", "thereunder", "(", "collectively", ",", "the", "Money", "Laundering", "Laws", ")", ",", "and", "there", "is", "no", "Proceeding", "with", "respect", "to", "the", "Money", "Laundering", "Laws", "."]}
{"id": "12274", "text": "(c) Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of the date hereof it is, and on each date on which it exercises any Warrants, it will be an accredited investor as defined in Rule 501(a)(1), (a)(2), (a)(3), (a)(7) or (a)(8) under the Securities Act.&lt; br/&gt;", "ner": [[48, 49, "Regulation"], [86, 87, "Act"]], "tokenized_text": ["(", "c", ")", "Purchaser", "Status", ".", "At", "the", "time", "such", "Purchaser", "was", "offered", "the", "Securities", ",", "it", "was", ",", "and", "as", "of", "the", "date", "hereof", "it", "is", ",", "and", "on", "each", "date", "on", "which", "it", "exercises", "any", "Warrants", ",", "it", "will", "be", "an", "accredited", "investor", "as", "defined", "in", "Rule", "501", "(", "a", ")", "(", "1", ")", ",", "(", "a", ")", "(", "2", ")", ",", "(", "a", ")", "(", "3", ")", ",", "(", "a", ")", "(", "7", ")", "or", "(", "a", ")", "(", "8", ")", "under", "the", "Securities", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "12275", "text": "4.2 Furnishing of Information. Until the earliest of the time that (i) no Purchaser is the holder of Warrants or (ii) the Warrants have expired, the Company covenants to timely file (or obtain extensions in respect thereof and file within the applicable grace period) all reports required to be filed by the Company after the date hereof pursuant to the Exchange Act even if the Company is not then subject to the reporting requirements of the Exchange Act.&lt; br/&gt;", "ner": [[70, 71, "Act"], [86, 87, "Act"]], "tokenized_text": ["4", ".", "2", "Furnishing", "of", "Information", ".", "Until", "the", "earliest", "of", "the", "time", "that", "(", "i", ")", "no", "Purchaser", "is", "the", "holder", "of", "Warrants", "or", "(", "ii", ")", "the", "Warrants", "have", "expired", ",", "the", "Company", "covenants", "to", "timely", "file", "(", "or", "obtain", "extensions", "in", "respect", "thereof", "and", "file", "within", "the", "applicable", "grace", "period", ")", "all", "reports", "required", "to", "be", "filed", "by", "the", "Company", "after", "the", "date", "hereof", "pursuant", "to", "the", "Exchange", "Act", "even", "if", "the", "Company", "is", "not", "then", "subject", "to", "the", "reporting", "requirements", "of", "the", "Exchange", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "12277", "text": "5.9 Governing Law. All questions concerning the construction, validity, enforcement and interpretation of the Transaction Documents shall be governed by and construed and enforced in accordance with the internal laws of the State of New York , without regard to the principles of conflicts of law thereof. Each party agrees that all legal proceedings concerning the interpretations, enforcement and defense of the transactions contemplated by this Agreement and any other Transaction Documents (whether brought against a party hereto or its respective affiliates, directors, officers, shareholders, partners, members, employees or agents) shall be commenced exclusively in the state and federal courts sitting in the City of New York. Each party hereby irrevocably submits to the exclusive jurisdiction of the state and federal courts sitting in the City of New York, Borough of Manhattan for the adjudication of any dispute hereunder or in connection herewith or with any transaction contemplated hereby or discussed herein (including with respect to the enforcement of any of the Transaction Documents), and hereby irrevocably waives, and agrees not to assert in any suit, action or proceeding, any claim that it is not personally subject to the jurisdiction of any such court, that such suit, action or proceeding is improper or is an inconvenient venue for such proceeding. Each party hereby irrevocably waives personal service of process and consents to process being served in any such suit, action or proceeding by mailing a copy thereof via registered or certified mail or overnight delivery (with evidence of delivery) to such party at the address in effect for notices to it under this Agreement and agrees that such service shall constitute good and sufficient service of process and notice thereof. Nothing contained herein shall be deemed to limit in any way any right to serve process in any other manner permitted by law. If any party shall commence a suit, action or proceeding to enforce any provisions of the Transaction Documents, then, in addition to the obligations of the Company under Section 4.8, the prevailing party in such suit, action or proceeding shall be reimbursed by the non-prevailing party for its reasonable attorneys fees and other costs and expenses incurred with the investigation, preparation and prosecution of such suit, action or proceeding.", "ner": [[37, 40, "Court"], [118, 121, "Court"], [141, 148, "Court"], [365, 368, "Regulation"]], "tokenized_text": ["5", ".", "9", "Governing", "Law", ".", "All", "questions", "concerning", "the", "construction", ",", "validity", ",", "enforcement", "and", "interpretation", "of", "the", "Transaction", "Documents", "shall", "be", "governed", "by", "and", "construed", "and", "enforced", "in", "accordance", "with", "the", "internal", "laws", "of", "the", "State", "of", "New", "York", ",", "without", "regard", "to", "the", "principles", "of", "conflicts", "of", "law", "thereof", ".", "Each", "party", "agrees", "that", "all", "legal", "proceedings", "concerning", "the", "interpretations", ",", "enforcement", "and", "defense", "of", "the", "transactions", "contemplated", "by", "this", "Agreement", "and", "any", "other", "Transaction", "Documents", "(", "whether", "brought", "against", "a", "party", "hereto", "or", "its", "respective", "affiliates", ",", "directors", ",", "officers", ",", "shareholders", ",", "partners", ",", "members", ",", "employees", "or", "agents", ")", "shall", "be", "commenced", "exclusively", "in", "the", "state", "and", "federal", "courts", "sitting", "in", "the", "City", "of", "New", "York", ".", "Each", "party", "hereby", "irrevocably", "submits", "to", "the", "exclusive", "jurisdiction", "of", "the", "state", "and", "federal", "courts", "sitting", "in", "the", "City", "of", "New", "York", ",", "Borough", "of", "Manhattan", "for", "the", "adjudication", "of", "any", "dispute", "hereunder", "or", "in", "connection", "herewith", "or", "with", "any", "transaction", "contemplated", "hereby", "or", "discussed", "herein", "(", "including", "with", "respect", "to", "the", "enforcement", "of", "any", "of", "the", "Transaction", "Documents", ")", ",", "and", "hereby", "irrevocably", "waives", ",", "and", "agrees", "not", "to", "assert", "in", "any", "suit", ",", "action", "or", "proceeding", ",", "any", "claim", "that", "it", "is", "not", "personally", "subject", "to", "the", "jurisdiction", "of", "any", "such", "court", ",", "that", "such", "suit", ",", "action", "or", "proceeding", "is", "improper", "or", "is", "an", "inconvenient", "venue", "for", "such", "proceeding", ".", "Each", "party", "hereby", "irrevocably", "waives", "personal", "service", "of", "process", "and", "consents", "to", "process", "being", "served", "in", "any", "such", "suit", ",", "action", "or", "proceeding", "by", "mailing", "a", "copy", "thereof", "via", "registered", "or", "certified", "mail", "or", "overnight", "delivery", "(", "with", "evidence", "of", "delivery", ")", "to", "such", "party", "at", "the", "address", "in", "effect", "for", "notices", "to", "it", "under", "this", "Agreement", "and", "agrees", "that", "such", "service", "shall", "constitute", "good", "and", "sufficient", "service", "of", "process", "and", "notice", "thereof", ".", "Nothing", "contained", "herein", "shall", "be", "deemed", "to", "limit", "in", "any", "way", "any", "right", "to", "serve", "process", "in", "any", "other", "manner", "permitted", "by", "law", ".", "If", "any", "party", "shall", "commence", "a", "suit", ",", "action", "or", "proceeding", "to", "enforce", "any", "provisions", "of", "the", "Transaction", "Documents", ",", "then", ",", "in", "addition", "to", "the", "obligations", "of", "the", "Company", "under", "Section", "4", ".", "8", ",", "the", "prevailing", "party", "in", "such", "suit", ",", "action", "or", "proceeding", "shall", "be", "reimbursed", "by", "the", "non-prevailing", "party", "for", "its", "reasonable", "attorneys", "fees", "and", "other", "costs", "and", "expenses", "incurred", "with", "the", "investigation", ",", "preparation", "and", "prosecution", "of", "such", "suit", ",", "action", "or", "proceeding", "."]}
{"id": "12279", "text": "5.21 WAIVER OF JURY TRIAL. IN ANY ACTION, SUIT, OR PROCEEDING IN ANY JURISDICTION BROUGHT BY ANY PARTY AGAINST ANY OTHER PARTY, THE PARTIES EACH KNOWINGLY AND INTENTIONALLY, TO THE GREATEST EXTENT PERMITTED BY APPLICABLE LAW, HEREBY ABSOLUTELY, UNCONDITIONALLY, IRREVOCABLY AND EXPRESSLY WAIVES FOREVER TRIAL BY JURY.", "ner": [], "tokenized_text": ["5", ".", "21", "WAIVER", "OF", "JURY", "TRIAL", ".", "IN", "ANY", "ACTION", ",", "SUIT", ",", "OR", "PROCEEDING", "IN", "ANY", "JURISDICTION", "BROUGHT", "BY", "ANY", "PARTY", "AGAINST", "ANY", "OTHER", "PARTY", ",", "THE", "PARTIES", "EACH", "KNOWINGLY", "AND", "INTENTIONALLY", ",", "TO", "THE", "GREATEST", "EXTENT", "PERMITTED", "BY", "APPLICABLE", "LAW", ",", "HEREBY", "ABSOLUTELY", ",", "UNCONDITIONALLY", ",", "IRREVOCABLY", "AND", "EXPRESSLY", "WAIVES", "FOREVER", "TRIAL", "BY", "JURY", "."]}
{"id": "12280", "text": "IN WITNESS WHEREOF, the parties hereto have caused this Securities Purchase Agreement to be duly executed by their respective authorized signatories as of the date first indicated above.", "ner": [[10, 12, "Title"]], "tokenized_text": ["IN", "WITNESS", "WHEREOF", ",", "the", "parties", "hereto", "have", "caused", "this", "Securities", "Purchase", "Agreement", "to", "be", "duly", "executed", "by", "their", "respective", "authorized", "signatories", "as", "of", "the", "date", "first", "indicated", "above", "."]}
{"id": "12286", "text": "Purchased by wire transfer of immediately available funds to the Company on or prior to 6/23/2017&lt; br/&gt;", "ner": [[15, 19, "Ratio"]], "tokenized_text": ["Purchased", "by", "wire", "transfer", "of", "immediately", "available", "funds", "to", "the", "Company", "on", "or", "prior", "to", "6", "/", "23", "/", "2017", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "12288", "text": "Purchaser acknowledges that any securities issued pursuant to this Agreement that shall not be registered pursuant to the Securities Act of 1933 sha11 constitute \"restricted securities\" as that term is defined in Rule 144 promulgated under the Act, and shall contain the following restrictive legend:", "ner": [[18, 22, "Act"], [34, 35, "Regulation"]], "tokenized_text": ["Purchaser", "acknowledges", "that", "any", "securities", "issued", "pursuant", "to", "this", "Agreement", "that", "shall", "not", "be", "registered", "pursuant", "to", "the", "Securities", "Act", "of", "1933", "sha11", "constitute", "\"", "restricted", "securities", "\"", "as", "that", "term", "is", "defined", "in", "Rule", "144", "promulgated", "under", "the", "Act", ",", "and", "shall", "contain", "the", "following", "restrictive", "legend", ":"]}
{"id": "12291", "text": "Total Purchase Price: $1 00,000", "ner": [[4, 8, "Price"]], "tokenized_text": ["Total", "Purchase", "Price", ":", "$", "1", "00", ",", "000"]}
{"id": "12292", "text": "THIS SECURITIES PURCHASE AGREEMENT (this Agreement) is made as of October2, 2017 by and between Alphatec Holdings, Inc. , a Delaware corporation (the Company), and the individual listed on the signature page attached hereto under the heading Purchaser (Purchaser).", "ner": [[1, 3, "Title"], [12, 14, "EffectiveDate"], [18, 22, "Parties"]], "tokenized_text": ["THIS", "SECURITIES", "PURCHASE", "AGREEMENT", "(", "this", "Agreement", ")", "is", "made", "as", "of", "October2", ",", "2017", "by", "and", "between", "Alphatec", "Holdings", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "the", "Company", ")", ",", "and", "the", "individual", "listed", "on", "the", "signature", "page", "attached", "hereto", "under", "the", "heading", "Purchaser", "(", "Purchaser", ")", "."]}
{"id": "12294", "text": "(a) The Company is a corporation duly organized and validly existing in good standing under the laws of the State of Delaware , and has the requisite corporate power and authority to own its properties and to carry on its business as now being conducted. The Company is duly qualified as a foreign corporation to do business and is in good standing in every jurisdiction in which its ownership of property or the nature of the business conducted by it makes such qualification necessary, except to the extent that the failure to be so qualified or be in good standing could not reasonably be expected to have a material adverse effect on any of: (i)the business, properties, assets, operations, results of operations or financial condition of the Company or (ii)the authority or ability of the Company to perform its obligations hereunder.", "ner": [[21, 23, "Court"]], "tokenized_text": ["(", "a", ")", "The", "Company", "is", "a", "corporation", "duly", "organized", "and", "validly", "existing", "in", "good", "standing", "under", "the", "laws", "of", "the", "State", "of", "Delaware", ",", "and", "has", "the", "requisite", "corporate", "power", "and", "authority", "to", "own", "its", "properties", "and", "to", "carry", "on", "its", "business", "as", "now", "being", "conducted", ".", "The", "Company", "is", "duly", "qualified", "as", "a", "foreign", "corporation", "to", "do", "business", "and", "is", "in", "good", "standing", "in", "every", "jurisdiction", "in", "which", "its", "ownership", "of", "property", "or", "the", "nature", "of", "the", "business", "conducted", "by", "it", "makes", "such", "qualification", "necessary", ",", "except", "to", "the", "extent", "that", "the", "failure", "to", "be", "so", "qualified", "or", "be", "in", "good", "standing", "could", "not", "reasonably", "be", "expected", "to", "have", "a", "material", "adverse", "effect", "on", "any", "of", ":", "(", "i", ")", "the", "business", ",", "properties", ",", "assets", ",", "operations", ",", "results", "of", "operations", "or", "financial", "condition", "of", "the", "Company", "or", "(", "ii", ")", "the", "authority", "or", "ability", "of", "the", "Company", "to", "perform", "its", "obligations", "hereunder", "."]}
{"id": "12295", "text": "5818 El Camino Real", "ner": [[0, 3, "Address"]], "tokenized_text": ["5818", "El", "Camino", "Real"]}
{"id": "12300", "text": "Per Share Purchase Price equals $2.625 .", "ner": [[5, 9, "Price"]], "tokenized_text": ["Per", "Share", "Purchase", "Price", "equals", "$", "2", ".", "625", "."]}
{"id": "12302", "text": "Transfer Agent means Continental Stock Transfer &amp; Trust Company, the current transfer agent of the Company, with a mailing address of 17 Battery Place, 8th Floor, New York, NY 10004, and any successor transfer agent of the Company.", "ner": [[25, 36, "Address"]], "tokenized_text": ["Transfer", "Agent", "means", "Continental", "Stock", "Transfer", "&", "amp", ";", "Trust", "Company", ",", "the", "current", "transfer", "agent", "of", "the", "Company", ",", "with", "a", "mailing", "address", "of", "17", "Battery", "Place", ",", "8th", "Floor", ",", "New", "York", ",", "NY", "10004", ",", "and", "any", "successor", "transfer", "agent", "of", "the", "Company", "."]}
{"id": "12304", "text": "(iv)an electronic copy of the Prospectus and Prospectus Supplement (which may be delivered in accordance with Rule 172 under the Securities Act).&lt; br/&gt;", "ner": [[20, 21, "Regulation"], [24, 25, "Act"]], "tokenized_text": ["(", "iv", ")", "an", "electronic", "copy", "of", "the", "Prospectus", "and", "Prospectus", "Supplement", "(", "which", "may", "be", "delivered", "in", "accordance", "with", "Rule", "172", "under", "the", "Securities", "Act", ")", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "12306", "text": "(j)Litigation. Other than actions described in the most recent SEC Report, there is no action, suit, inquiry, notice of violation, proceeding or investigation pending or, to the knowledge of the Company, threatened against or affecting the Company, any Subsidiary or any of their respective properties before or by any court, arbitrator, governmental or administrative agency or regulatory authority (federal, state, county, local or foreign) (collectively, an Action) which (i) adversely affects or challenges the legality, validity or enforceability of any of the Transaction Documents or the Securities or (ii) would, if there were an unfavorable decision, have or reasonably be expected to result in a Material Adverse Effect. Other than actions described in the SEC Reports, neither the Company nor any Subsidiary, nor any director or officer thereof, is or has been the subject of any Action involving a claim of violation of or liability under federal or state securities laws or a claim of breach of fiduciary duty. The Commission has not issued any stop order or other order suspending the effectiveness of any registration statement filed by the Company or any Subsidiary under the Exchange Act or the Securities Act.&lt; br/&gt;", "ner": [[220, 221, "Act"], [224, 225, "Act"]], "tokenized_text": ["(", "j", ")", "Litigation", ".", "Other", "than", "actions", "described", "in", "the", "most", "recent", "SEC", "Report", ",", "there", "is", "no", "action", ",", "suit", ",", "inquiry", ",", "notice", "of", "violation", ",", "proceeding", "or", "investigation", "pending", "or", ",", "to", "the", "knowledge", "of", "the", "Company", ",", "threatened", "against", "or", "affecting", "the", "Company", ",", "any", "Subsidiary", "or", "any", "of", "their", "respective", "properties", "before", "or", "by", "any", "court", ",", "arbitrator", ",", "governmental", "or", "administrative", "agency", "or", "regulatory", "authority", "(", "federal", ",", "state", ",", "county", ",", "local", "or", "foreign", ")", "(", "collectively", ",", "an", "Action", ")", "which", "(", "i", ")", "adversely", "affects", "or", "challenges", "the", "legality", ",", "validity", "or", "enforceability", "of", "any", "of", "the", "Transaction", "Documents", "or", "the", "Securities", "or", "(", "ii", ")", "would", ",", "if", "there", "were", "an", "unfavorable", "decision", ",", "have", "or", "reasonably", "be", "expected", "to", "result", "in", "a", "Material", "Adverse", "Effect", ".", "Other", "than", "actions", "described", "in", "the", "SEC", "Reports", ",", "neither", "the", "Company", "nor", "any", "Subsidiary", ",", "nor", "any", "director", "or", "officer", "thereof", ",", "is", "or", "has", "been", "the", "subject", "of", "any", "Action", "involving", "a", "claim", "of", "violation", "of", "or", "liability", "under", "federal", "or", "state", "securities", "laws", "or", "a", "claim", "of", "breach", "of", "fiduciary", "duty", ".", "The", "Commission", "has", "not", "issued", "any", "stop", "order", "or", "other", "order", "suspending", "the", "effectiveness", "of", "any", "registration", "statement", "filed", "by", "the", "Company", "or", "any", "Subsidiary", "under", "the", "Exchange", "Act", "or", "the", "Securities", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "12308", "text": "(p) Intellectual Property. The Company and the Subsidiaries have, or have rights to use, all material patents, patent applications, trademarks, trademark applications, service marks, trade names, trade secrets, inventions, copyrights, licenses and other intellectual property rights and similar rights necessary or required for use in connection with their respective businesses as described in the SEC Reports and which the failure to so have would have a Material Adverse Effect (collectively, the Intellectual Property Rights). None of, and neither the Company nor any Subsidiary has received a notice (written or otherwise) that any of, the Intellectual Property Rights has expired, terminated or been abandoned, or is expected to expire or terminate or be abandoned, within two (2) years from the date of this Agreement except where such action is not expected to result in a Material Adverse Effect. Neither the Company nor any Subsidiary has received, since the date of the latest audited financial statements included within the SEC Reports, a written notice of a claim or otherwise has any knowledge that the Intellectual Property Rights violate or infringe upon the rights of any Person, except as would not have or reasonably be expected to not have a Material Adverse Effect. To the knowledge of the Company, all such Intellectual Property Rights are enforceable and there is no existing material infringement by another Person of any of the Intellectual Property Rights. The Company and its Subsidiaries have taken reasonable security measures to protect the secrecy, confidentiality and value of all of their intellectual properties, except where failure to do so would not, individually or in the aggregate, reasonably be expected to have a Material Adverse Effect.", "ner": [[7, 7, "Parties"], [139, 143, "TerminationDate"]], "tokenized_text": ["(", "p", ")", "Intellectual", "Property", ".", "The", "Company", "and", "the", "Subsidiaries", "have", ",", "or", "have", "rights", "to", "use", ",", "all", "material", "patents", ",", "patent", "applications", ",", "trademarks", ",", "trademark", "applications", ",", "service", "marks", ",", "trade", "names", ",", "trade", "secrets", ",", "inventions", ",", "copyrights", ",", "licenses", "and", "other", "intellectual", "property", "rights", "and", "similar", "rights", "necessary", "or", "required", "for", "use", "in", "connection", "with", "their", "respective", "businesses", "as", "described", "in", "the", "SEC", "Reports", "and", "which", "the", "failure", "to", "so", "have", "would", "have", "a", "Material", "Adverse", "Effect", "(", "collectively", ",", "the", "Intellectual", "Property", "Rights", ")", ".", "None", "of", ",", "and", "neither", "the", "Company", "nor", "any", "Subsidiary", "has", "received", "a", "notice", "(", "written", "or", "otherwise", ")", "that", "any", "of", ",", "the", "Intellectual", "Property", "Rights", "has", "expired", ",", "terminated", "or", "been", "abandoned", ",", "or", "is", "expected", "to", "expire", "or", "terminate", "or", "be", "abandoned", ",", "within", "two", "(", "2", ")", "years", "from", "the", "date", "of", "this", "Agreement", "except", "where", "such", "action", "is", "not", "expected", "to", "result", "in", "a", "Material", "Adverse", "Effect", ".", "Neither", "the", "Company", "nor", "any", "Subsidiary", "has", "received", ",", "since", "the", "date", "of", "the", "latest", "audited", "financial", "statements", "included", "within", "the", "SEC", "Reports", ",", "a", "written", "notice", "of", "a", "claim", "or", "otherwise", "has", "any", "knowledge", "that", "the", "Intellectual", "Property", "Rights", "violate", "or", "infringe", "upon", "the", "rights", "of", "any", "Person", ",", "except", "as", "would", "not", "have", "or", "reasonably", "be", "expected", "to", "not", "have", "a", "Material", "Adverse", "Effect", ".", "To", "the", "knowledge", "of", "the", "Company", ",", "all", "such", "Intellectual", "Property", "Rights", "are", "enforceable", "and", "there", "is", "no", "existing", "material", "infringement", "by", "another", "Person", "of", "any", "of", "the", "Intellectual", "Property", "Rights", ".", "The", "Company", "and", "its", "Subsidiaries", "have", "taken", "reasonable", "security", "measures", "to", "protect", "the", "secrecy", ",", "confidentiality", "and", "value", "of", "all", "of", "their", "intellectual", "properties", ",", "except", "where", "failure", "to", "do", "so", "would", "not", ",", "individually", "or", "in", "the", "aggregate", ",", "reasonably", "be", "expected", "to", "have", "a", "Material", "Adverse", "Effect", "."]}
{"id": "12309", "text": "(s)Sarbanes-Oxley; Internal Accounting Controls. Except as set forth in the SEC Reports, the Company and the Subsidiaries are in compliance with any and all applicable requirements of the Sarbanes- Oxley Act of 2002 that are effective as of the date hereof, and any and all applicable rules and regulations promulgated by the Commission thereunder that are effective as of the date hereof and as of the Closing Date. Except as set forth in the SEC Reports, the Company and the Subsidiaries maintain a system of internal accounting controls sufficient to provide reasonable assurance that: (i) transactions are executed in accordance with managements general or specific authorizations, (ii) transactions are recorded as necessary to permit preparation of financial statements in conformity with GAAP and to maintain asset accountability, (iii) access to assets is permitted only in accordance with managements general or specific authorization, and (iv) the recorded accountability for assets is compared with the existing assets at reasonable intervals and appropriate action is taken with respect to any differences. Except as set forth in the SEC Reports, the Company and the Subsidiaries have established disclosure controls and procedures (as defined in Exchange Act Rules 13a-15(e) and 15d-15(e)) for the Company and the Subsidiaries and designed such disclosure controls and procedures to ensure that information required to be disclosed by the Company in the reports it files or submits under the Exchange Act is recorded, processed, summarized and reported, within the time periods specified in the Commissions rules and forms. The Companys certifying officers have evaluated the effectiveness of the disclosure controls and procedures of the Company and the Subsidiaries as of the end of the period covered by the most recently filed periodic report under the Exchange Act ( such date, the Evaluation Date). The Company presented in its most recently filed periodic report under the Exchange Act the conclusions of the certifying officers about the effectiveness of the disclosure controls and procedures based on their evaluations as of the Evaluation Date. Since the Evaluation Date, there have been no changes in the internal control over financial reporting (as such term is defined in the Exchange Act) of the Company and its Subsidiaries that have materially affected, or is reasonably likely to materially affect, the internal control over financial reporting of the Company and its Subsidiaries.", "ner": [[3, 3, "Regulation"], [34, 39, "Act"], [215, 216, "Act"], [223, 226, "Regulation"], [261, 262, "Act"], [321, 322, "Act"], [344, 345, "Act"], [396, 397, "Act"]], "tokenized_text": ["(", "s", ")", "Sarbanes-Oxley", ";", "Internal", "Accounting", "Controls", ".", "Except", "as", "set", "forth", "in", "the", "SEC", "Reports", ",", "the", "Company", "and", "the", "Subsidiaries", "are", "in", "compliance", "with", "any", "and", "all", "applicable", "requirements", "of", "the", "Sarbanes", "-", "Oxley", "Act", "of", "2002", "that", "are", "effective", "as", "of", "the", "date", "hereof", ",", "and", "any", "and", "all", "applicable", "rules", "and", "regulations", "promulgated", "by", "the", "Commission", "thereunder", "that", "are", "effective", "as", "of", "the", "date", "hereof", "and", "as", "of", "the", "Closing", "Date", ".", "Except", "as", "set", "forth", "in", "the", "SEC", "Reports", ",", "the", "Company", "and", "the", "Subsidiaries", "maintain", "a", "system", "of", "internal", "accounting", "controls", "sufficient", "to", "provide", "reasonable", "assurance", "that", ":", "(", "i", ")", "transactions", "are", "executed", "in", "accordance", "with", "managements", "general", "or", "specific", "authorizations", ",", "(", "ii", ")", "transactions", "are", "recorded", "as", "necessary", "to", "permit", "preparation", "of", "financial", "statements", "in", "conformity", "with", "GAAP", "and", "to", "maintain", "asset", "accountability", ",", "(", "iii", ")", "access", "to", "assets", "is", "permitted", "only", "in", "accordance", "with", "managements", "general", "or", "specific", "authorization", ",", "and", "(", "iv", ")", "the", "recorded", "accountability", "for", "assets", "is", "compared", "with", "the", "existing", "assets", "at", "reasonable", "intervals", "and", "appropriate", "action", "is", "taken", "with", "respect", "to", "any", "differences", ".", "Except", "as", "set", "forth", "in", "the", "SEC", "Reports", ",", "the", "Company", "and", "the", "Subsidiaries", "have", "established", "disclosure", "controls", "and", "procedures", "(", "as", "defined", "in", "Exchange", "Act", "Rules", "13a-15", "(", "e", ")", "and", "15d-15", "(", "e", ")", ")", "for", "the", "Company", "and", "the", "Subsidiaries", "and", "designed", "such", "disclosure", "controls", "and", "procedures", "to", "ensure", "that", "information", "required", "to", "be", "disclosed", "by", "the", "Company", "in", "the", "reports", "it", "files", "or", "submits", "under", "the", "Exchange", "Act", "is", "recorded", ",", "processed", ",", "summarized", "and", "reported", ",", "within", "the", "time", "periods", "specified", "in", "the", "Commissions", "rules", "and", "forms", ".", "The", "Companys", "certifying", "officers", "have", "evaluated", "the", "effectiveness", "of", "the", "disclosure", "controls", "and", "procedures", "of", "the", "Company", "and", "the", "Subsidiaries", "as", "of", "the", "end", "of", "the", "period", "covered", "by", "the", "most", "recently", "filed", "periodic", "report", "under", "the", "Exchange", "Act", "(", "such", "date", ",", "the", "Evaluation", "Date", ")", ".", "The", "Company", "presented", "in", "its", "most", "recently", "filed", "periodic", "report", "under", "the", "Exchange", "Act", "the", "conclusions", "of", "the", "certifying", "officers", "about", "the", "effectiveness", "of", "the", "disclosure", "controls", "and", "procedures", "based", "on", "their", "evaluations", "as", "of", "the", "Evaluation", "Date", ".", "Since", "the", "Evaluation", "Date", ",", "there", "have", "been", "no", "changes", "in", "the", "internal", "control", "over", "financial", "reporting", "(", "as", "such", "term", "is", "defined", "in", "the", "Exchange", "Act", ")", "of", "the", "Company", "and", "its", "Subsidiaries", "that", "have", "materially", "affected", ",", "or", "is", "reasonably", "likely", "to", "materially", "affect", ",", "the", "internal", "control", "over", "financial", "reporting", "of", "the", "Company", "and", "its", "Subsidiaries", "."]}
{"id": "12310", "text": "(u)Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Securities, will not be or be an Affiliate of, an investment company within the meaning of the Investment Company Act of 1940 , as amended. The Company shall conduct its business in a manner so that it will not become an investment company subject to registration under the Investment Company Act of 1940 , as amended.", "ner": [[45, 49, "Act"]], "tokenized_text": ["(", "u", ")", "Investment", "Company", ".", "The", "Company", "is", "not", ",", "and", "is", "not", "an", "Affiliate", "of", ",", "and", "immediately", "after", "receipt", "of", "payment", "for", "the", "Securities", ",", "will", "not", "be", "or", "be", "an", "Affiliate", "of", ",", "an", "investment", "company", "within", "the", "meaning", "of", "the", "Investment", "Company", "Act", "of", "1940", ",", "as", "amended", ".", "The", "Company", "shall", "conduct", "its", "business", "in", "a", "manner", "so", "that", "it", "will", "not", "become", "an", "investment", "company", "subject", "to", "registration", "under", "the", "Investment", "Company", "Act", "of", "1940", ",", "as", "amended", "."]}
{"id": "12312", "text": "(ii)Office of Foreign Assets Control. Neither the Company nor any Subsidiary nor, to the Company's knowledge, any director, officer, agent, employee or affiliate of the Company or any Subsidiary is currently subject to any U.S. sanctions administered by the Office of Foreign Assets Control of the U.S. Treasury Department (OFAC).", "ner": [], "tokenized_text": ["(", "ii", ")", "Office", "of", "Foreign", "Assets", "Control", ".", "Neither", "the", "Company", "nor", "any", "Subsidiary", "nor", ",", "to", "the", "Company", "'", "s", "knowledge", ",", "any", "director", ",", "officer", ",", "agent", ",", "employee", "or", "affiliate", "of", "the", "Company", "or", "any", "Subsidiary", "is", "currently", "subject", "to", "any", "U", ".", "S", ".", "sanctions", "administered", "by", "the", "Office", "of", "Foreign", "Assets", "Control", "of", "the", "U", ".", "S", ".", "Treasury", "Department", "(", "OFAC", ")", "."]}
{"id": "12313", "text": "(kk)Bank Holding Company Act. Neither the Company nor any of its Subsidiaries is subject to the Bank Holding Company Act of 1956 , as amended (the BHCA) and to regulation by the Board of Governors of the Federal Reserve System (the Federal Reserve). Neither the Company nor any of its Subsidiaries owns or controls, directly or indirectly, five percent (5%) or more of the outstanding shares of any class of voting securities or twenty- five percent or more of the total equity of a bank or any entity that is subject to the BHCA and to regulation by the Federal Reserve. Neither the Company nor any of its Subsidiaries exercises a controlling influence over the management or policies of a bank or any entity that is subject to the BHCA and to regulation by the Federal Reserve.", "ner": [[3, 6, "Act"], [20, 25, "Act"], [68, 73, "Percentage"], [87, 90, "Percentage"]], "tokenized_text": ["(", "kk", ")", "Bank", "Holding", "Company", "Act", ".", "Neither", "the", "Company", "nor", "any", "of", "its", "Subsidiaries", "is", "subject", "to", "the", "Bank", "Holding", "Company", "Act", "of", "1956", ",", "as", "amended", "(", "the", "BHCA", ")", "and", "to", "regulation", "by", "the", "Board", "of", "Governors", "of", "the", "Federal", "Reserve", "System", "(", "the", "Federal", "Reserve", ")", ".", "Neither", "the", "Company", "nor", "any", "of", "its", "Subsidiaries", "owns", "or", "controls", ",", "directly", "or", "indirectly", ",", "five", "percent", "(", "5", "%", ")", "or", "more", "of", "the", "outstanding", "shares", "of", "any", "class", "of", "voting", "securities", "or", "twenty", "-", "five", "percent", "or", "more", "of", "the", "total", "equity", "of", "a", "bank", "or", "any", "entity", "that", "is", "subject", "to", "the", "BHCA", "and", "to", "regulation", "by", "the", "Federal", "Reserve", ".", "Neither", "the", "Company", "nor", "any", "of", "its", "Subsidiaries", "exercises", "a", "controlling", "influence", "over", "the", "management", "or", "policies", "of", "a", "bank", "or", "any", "entity", "that", "is", "subject", "to", "the", "BHCA", "and", "to", "regulation", "by", "the", "Federal", "Reserve", "."]}
{"id": "12314", "text": "(ll)Money Laundering. The operations of the Company and its Subsidiaries are and have been conducted at all times in material compliance with applicable financial record-keeping and reporting requirements of the Currency and Foreign Transactions Reporting Act of 1970 , as amended, applicable money laundering statutes and applicable rules and regulations thereunder (collectively, the Money Laundering Laws), and no Action or Proceeding by or before any court or governmental agency, authority or body or any arbitrator involving the Company or any Subsidiary with respect to the Money Laundering Laws is pending or, to the knowledge of the Company or any Subsidiary, threatened.", "ner": [[34, 41, "Act"], [60, 62, "Regulation"]], "tokenized_text": ["(", "ll", ")", "Money", "Laundering", ".", "The", "operations", "of", "the", "Company", "and", "its", "Subsidiaries", "are", "and", "have", "been", "conducted", "at", "all", "times", "in", "material", "compliance", "with", "applicable", "financial", "record-keeping", "and", "reporting", "requirements", "of", "the", "Currency", "and", "Foreign", "Transactions", "Reporting", "Act", "of", "1970", ",", "as", "amended", ",", "applicable", "money", "laundering", "statutes", "and", "applicable", "rules", "and", "regulations", "thereunder", "(", "collectively", ",", "the", "Money", "Laundering", "Laws", ")", ",", "and", "no", "Action", "or", "Proceeding", "by", "or", "before", "any", "court", "or", "governmental", "agency", ",", "authority", "or", "body", "or", "any", "arbitrator", "involving", "the", "Company", "or", "any", "Subsidiary", "with", "respect", "to", "the", "Money", "Laundering", "Laws", "is", "pending", "or", ",", "to", "the", "knowledge", "of", "the", "Company", "or", "any", "Subsidiary", ",", "threatened", "."]}
{"id": "12316", "text": "4.2Furnishing of Information. Until no Purchaser owns Securities, the Company covenants to use commercially reasonable efforts to timely file (or obtain extensions in respect thereof and file within the applicable grace period) all reports required to be filed by the Company after the date hereof pursuant to the Exchange Act.&lt; br/&gt;", "ner": [[54, 55, "Act"]], "tokenized_text": ["4", ".", "2Furnishing", "of", "Information", ".", "Until", "no", "Purchaser", "owns", "Securities", ",", "the", "Company", "covenants", "to", "use", "commercially", "reasonable", "efforts", "to", "timely", "file", "(", "or", "obtain", "extensions", "in", "respect", "thereof", "and", "file", "within", "the", "applicable", "grace", "period", ")", "all", "reports", "required", "to", "be", "filed", "by", "the", "Company", "after", "the", "date", "hereof", "pursuant", "to", "the", "Exchange", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "12317", "text": "4.4Securities Laws Disclosure; Publicity. The Company shall (a) by 9:30 a.m. (New York City time) on the Trading Day immediately following the date hereof, issue a press release disclosing the material terms of the transactions contemplated hereby, and (b) file a Current Report on Form 8-K, including the Transaction Documents as exhibits thereto, with the Commission within the time required by the Exchange Act ( the 8-K Filing). From and after the issuance of such press release, the Company represents to the Purchasers that it shall have publicly disclosed all material, non-public information delivered to any of the Purchasers by the Company or any of its Subsidiaries, or any of their respective officers, directors, employees or agents. In addition, effective upon the issuance of such press release, the Company acknowledges and agrees that any and all confidentiality or similar obligations under any agreement, whether written or oral, between the Company, any of its Subsidiaries or any of their respective officers, directors, agents, employees or Affiliates on the one hand, and any of the Purchaser or any of their Affiliates on the other hand, shall terminate. The Company and each Purchaser shall consult with each other in issuing any other press releases with respect to the transactions contemplated hereby, and neither the Company nor any Purchaser shall issue any such press release nor otherwise make any such public statement without the prior consent of the Company, with respect to any press release of any Purchaser, or without the prior consent of each Purchaser named in any further press release or public statement, with respect to any press release of the Company, which consent shall not unreasonably be withheld or delayed, except if such disclosure is required by law, in which case the disclosing party shall promptly provide the other party with prior notice of such public statement or communication. For clarity, any public statement or press release of the Company that does not name any Purchaser and includes disclosure about the transactions consistent with the initial press release and 8-K Filing described above shall not require further consent from any Purchaser. Notwithstanding the foregoing, the Company shall not publicly disclose the name of any Purchaser, or include the name of any Purchaser in any filing with the Commission or any regulatory agency or Trading Market, without the prior written consent of such Purchaser, except (a) as required by federal securities law in connection with the filing of final Transaction Documents with the Commission and (b) to the extent such disclosure is required by law or Trading Market regulations, in which case the Company shall provide the Purchasers with prior notice of such disclosure permitted under this clause (b).", "ner": [[81, 82, "Act"]], "tokenized_text": ["4", ".", "4Securities", "Laws", "Disclosure", ";", "Publicity", ".", "The", "Company", "shall", "(", "a", ")", "by", "9", ":", "30", "a", ".", "m", ".", "(", "New", "York", "City", "time", ")", "on", "the", "Trading", "Day", "immediately", "following", "the", "date", "hereof", ",", "issue", "a", "press", "release", "disclosing", "the", "material", "terms", "of", "the", "transactions", "contemplated", "hereby", ",", "and", "(", "b", ")", "file", "a", "Current", "Report", "on", "Form", "8-K", ",", "including", "the", "Transaction", "Documents", "as", "exhibits", "thereto", ",", "with", "the", "Commission", "within", "the", "time", "required", "by", "the", "Exchange", "Act", "(", "the", "8-K", "Filing", ")", ".", "From", "and", "after", "the", "issuance", "of", "such", "press", "release", ",", "the", "Company", "represents", "to", "the", "Purchasers", "that", "it", "shall", "have", "publicly", "disclosed", "all", "material", ",", "non-public", "information", "delivered", "to", "any", "of", "the", "Purchasers", "by", "the", "Company", "or", "any", "of", "its", "Subsidiaries", ",", "or", "any", "of", "their", "respective", "officers", ",", "directors", ",", "employees", "or", "agents", ".", "In", "addition", ",", "effective", "upon", "the", "issuance", "of", "such", "press", "release", ",", "the", "Company", "acknowledges", "and", "agrees", "that", "any", "and", "all", "confidentiality", "or", "similar", "obligations", "under", "any", "agreement", ",", "whether", "written", "or", "oral", ",", "between", "the", "Company", ",", "any", "of", "its", "Subsidiaries", "or", "any", "of", "their", "respective", "officers", ",", "directors", ",", "agents", ",", "employees", "or", "Affiliates", "on", "the", "one", "hand", ",", "and", "any", "of", "the", "Purchaser", "or", "any", "of", "their", "Affiliates", "on", "the", "other", "hand", ",", "shall", "terminate", ".", "The", "Company", "and", "each", "Purchaser", "shall", "consult", "with", "each", "other", "in", "issuing", "any", "other", "press", "releases", "with", "respect", "to", "the", "transactions", "contemplated", "hereby", ",", "and", "neither", "the", "Company", "nor", "any", "Purchaser", "shall", "issue", "any", "such", "press", "release", "nor", "otherwise", "make", "any", "such", "public", "statement", "without", "the", "prior", "consent", "of", "the", "Company", ",", "with", "respect", "to", "any", "press", "release", "of", "any", "Purchaser", ",", "or", "without", "the", "prior", "consent", "of", "each", "Purchaser", "named", "in", "any", "further", "press", "release", "or", "public", "statement", ",", "with", "respect", "to", "any", "press", "release", "of", "the", "Company", ",", "which", "consent", "shall", "not", "unreasonably", "be", "withheld", "or", "delayed", ",", "except", "if", "such", "disclosure", "is", "required", "by", "law", ",", "in", "which", "case", "the", "disclosing", "party", "shall", "promptly", "provide", "the", "other", "party", "with", "prior", "notice", "of", "such", "public", "statement", "or", "communication", ".", "For", "clarity", ",", "any", "public", "statement", "or", "press", "release", "of", "the", "Company", "that", "does", "not", "name", "any", "Purchaser", "and", "includes", "disclosure", "about", "the", "transactions", "consistent", "with", "the", "initial", "press", "release", "and", "8-K", "Filing", "described", "above", "shall", "not", "require", "further", "consent", "from", "any", "Purchaser", ".", "Notwithstanding", "the", "foregoing", ",", "the", "Company", "shall", "not", "publicly", "disclose", "the", "name", "of", "any", "Purchaser", ",", "or", "include", "the", "name", "of", "any", "Purchaser", "in", "any", "filing", "with", "the", "Commission", "or", "any", "regulatory", "agency", "or", "Trading", "Market", ",", "without", "the", "prior", "written", "consent", "of", "such", "Purchaser", ",", "except", "(", "a", ")", "as", "required", "by", "federal", "securities", "law", "in", "connection", "with", "the", "filing", "of", "final", "Transaction", "Documents", "with", "the", "Commission", "and", "(", "b", ")", "to", "the", "extent", "such", "disclosure", "is", "required", "by", "law", "or", "Trading", "Market", "regulations", ",", "in", "which", "case", "the", "Company", "shall", "provide", "the", "Purchasers", "with", "prior", "notice", "of", "such", "disclosure", "permitted", "under", "this", "clause", "(", "b", ")", "."]}
{"id": "12319", "text": "5.9Governing Law. All questions concerning the construction, validity, enforcement and interpretation of the Transaction Documents shall be governed by and construed and enforced in accordance with the internal laws of the State of New York , without regard to the principles of conflicts of law thereof. Each party agrees that all legal Proceedings concerning the interpretations, enforcement and defense of the transactions contemplated by this Agreement and any other Transaction Documents (whether brought against a party hereto or its respective affiliates, directors, officers, shareholders, partners, members, employees or agents) shall be commenced exclusively in the state and federal courts sitting in the City of New York. Each party hereby irrevocably submits to the exclusive jurisdiction of the state and federal courts sitting in the City of New York, Borough of Manhattan for the adjudication of any dispute hereunder or in connection herewith or with any transaction contemplated hereby or discussed herein (including with respect to the enforcement of any of the Transaction Documents), and hereby irrevocably waives, and agrees not to assert in any Action or Proceeding, any claim that it is not personally subject to the jurisdiction of any such court, that such Action or Proceeding is improper or is an inconvenient venue for such Proceeding. Each party hereby irrevocably waives personal service of process and consents to process being served in any such Action or Proceeding by mailing a copy thereof via registered or certified mail or overnight delivery (with evidence of delivery) to such party at the address in effect for notices to it under this Agreement and agrees that such service shall constitute good and sufficient service of process and notice thereof. Nothing contained herein shall be deemed to limit in any way any right to serve process in any other manner permitted by law. If any party shall commence an Action or Proceeding to enforce any provisions of the Transaction Documents, then, in addition to the obligations of the Company under Section 4.8, the prevailing party in such Action or Proceeding shall be reimbursed by the non-prevailing party for its reasonable attorneys fees and other costs and expenses incurred with the investigation, preparation and prosecution of such Action or Proceeding.", "ner": [[36, 39, "Court"], [117, 120, "Court"], [140, 147, "Court"], [356, 359, "Regulation"]], "tokenized_text": ["5", ".", "9Governing", "Law", ".", "All", "questions", "concerning", "the", "construction", ",", "validity", ",", "enforcement", "and", "interpretation", "of", "the", "Transaction", "Documents", "shall", "be", "governed", "by", "and", "construed", "and", "enforced", "in", "accordance", "with", "the", "internal", "laws", "of", "the", "State", "of", "New", "York", ",", "without", "regard", "to", "the", "principles", "of", "conflicts", "of", "law", "thereof", ".", "Each", "party", "agrees", "that", "all", "legal", "Proceedings", "concerning", "the", "interpretations", ",", "enforcement", "and", "defense", "of", "the", "transactions", "contemplated", "by", "this", "Agreement", "and", "any", "other", "Transaction", "Documents", "(", "whether", "brought", "against", "a", "party", "hereto", "or", "its", "respective", "affiliates", ",", "directors", ",", "officers", ",", "shareholders", ",", "partners", ",", "members", ",", "employees", "or", "agents", ")", "shall", "be", "commenced", "exclusively", "in", "the", "state", "and", "federal", "courts", "sitting", "in", "the", "City", "of", "New", "York", ".", "Each", "party", "hereby", "irrevocably", "submits", "to", "the", "exclusive", "jurisdiction", "of", "the", "state", "and", "federal", "courts", "sitting", "in", "the", "City", "of", "New", "York", ",", "Borough", "of", "Manhattan", "for", "the", "adjudication", "of", "any", "dispute", "hereunder", "or", "in", "connection", "herewith", "or", "with", "any", "transaction", "contemplated", "hereby", "or", "discussed", "herein", "(", "including", "with", "respect", "to", "the", "enforcement", "of", "any", "of", "the", "Transaction", "Documents", ")", ",", "and", "hereby", "irrevocably", "waives", ",", "and", "agrees", "not", "to", "assert", "in", "any", "Action", "or", "Proceeding", ",", "any", "claim", "that", "it", "is", "not", "personally", "subject", "to", "the", "jurisdiction", "of", "any", "such", "court", ",", "that", "such", "Action", "or", "Proceeding", "is", "improper", "or", "is", "an", "inconvenient", "venue", "for", "such", "Proceeding", ".", "Each", "party", "hereby", "irrevocably", "waives", "personal", "service", "of", "process", "and", "consents", "to", "process", "being", "served", "in", "any", "such", "Action", "or", "Proceeding", "by", "mailing", "a", "copy", "thereof", "via", "registered", "or", "certified", "mail", "or", "overnight", "delivery", "(", "with", "evidence", "of", "delivery", ")", "to", "such", "party", "at", "the", "address", "in", "effect", "for", "notices", "to", "it", "under", "this", "Agreement", "and", "agrees", "that", "such", "service", "shall", "constitute", "good", "and", "sufficient", "service", "of", "process", "and", "notice", "thereof", ".", "Nothing", "contained", "herein", "shall", "be", "deemed", "to", "limit", "in", "any", "way", "any", "right", "to", "serve", "process", "in", "any", "other", "manner", "permitted", "by", "law", ".", "If", "any", "party", "shall", "commence", "an", "Action", "or", "Proceeding", "to", "enforce", "any", "provisions", "of", "the", "Transaction", "Documents", ",", "then", ",", "in", "addition", "to", "the", "obligations", "of", "the", "Company", "under", "Section", "4", ".", "8", ",", "the", "prevailing", "party", "in", "such", "Action", "or", "Proceeding", "shall", "be", "reimbursed", "by", "the", "non-prevailing", "party", "for", "its", "reasonable", "attorneys", "fees", "and", "other", "costs", "and", "expenses", "incurred", "with", "the", "investigation", ",", "preparation", "and", "prosecution", "of", "such", "Action", "or", "Proceeding", "."]}
{"id": "12322", "text": "This SECURITIES PURCHASE AGREEMENT (this \"Agreement\"), dated as of September 20, 2017 , is entered into by and between PURA NATURALS, INC. , a Colorado corporation (the \"Company\"), and EMA Financial, LLC , a Delaware limited liability company (the \"Purchaser\").", "ner": [[1, 3, "Title"], [14, 17, "EffectiveDate"], [25, 29, "Parties"], [42, 45, "Parties"]], "tokenized_text": ["This", "SECURITIES", "PURCHASE", "AGREEMENT", "(", "this", "\"", "Agreement", "\"", ")", ",", "dated", "as", "of", "September", "20", ",", "2017", ",", "is", "entered", "into", "by", "and", "between", "PURA", "NATURALS", ",", "INC", ".", ",", "a", "Colorado", "corporation", "(", "the", "\"", "Company", "\"", ")", ",", "and", "EMA", "Financial", ",", "LLC", ",", "a", "Delaware", "limited", "liability", "company", "(", "the", "\"", "Purchaser", "\"", ")", "."]}
{"id": "12326", "text": "w) Foreign Corrupt Practices. Neither the Company, nor any of its Subsidiaries, nor any director, officer, agent, employee or other person acting on behalf of the Company or any Subsidiary has, in the course of his actions for, or on behalf of, the Company, used any corporate funds for any unlawful contribution, gift, entertainment or other unlawful expenses relating to political activity; made any direct or indirect unlawful payment to any foreign or domestic government official or employee from corporate funds; violated or is in violation of any provision of the U.S. Foreign Corrupt Practices Act of 1977 , as amended, or made any bribe, rebate, payoff, influence payment, kickback or other unlawful payment to any foreign or domestic government official or employee.", "ner": [[106, 115, "Act"]], "tokenized_text": ["w", ")", "Foreign", "Corrupt", "Practices", ".", "Neither", "the", "Company", ",", "nor", "any", "of", "its", "Subsidiaries", ",", "nor", "any", "director", ",", "officer", ",", "agent", ",", "employee", "or", "other", "person", "acting", "on", "behalf", "of", "the", "Company", "or", "any", "Subsidiary", "has", ",", "in", "the", "course", "of", "his", "actions", "for", ",", "or", "on", "behalf", "of", ",", "the", "Company", ",", "used", "any", "corporate", "funds", "for", "any", "unlawful", "contribution", ",", "gift", ",", "entertainment", "or", "other", "unlawful", "expenses", "relating", "to", "political", "activity", ";", "made", "any", "direct", "or", "indirect", "unlawful", "payment", "to", "any", "foreign", "or", "domestic", "government", "official", "or", "employee", "from", "corporate", "funds", ";", "violated", "or", "is", "in", "violation", "of", "any", "provision", "of", "the", "U", ".", "S", ".", "Foreign", "Corrupt", "Practices", "Act", "of", "1977", ",", "as", "amended", ",", "or", "made", "any", "bribe", ",", "rebate", ",", "payoff", ",", "influence", "payment", ",", "kickback", "or", "other", "unlawful", "payment", "to", "any", "foreign", "or", "domestic", "government", "official", "or", "employee", "."]}
{"id": "12327", "text": "y) No Investment Company. The Company is not, and upon the issuance and sale of the Securities as contemplated by this Agreement will not be, an \"investment company\" required to be registered under the Investment Company Act of 1940 (an \"Investment Company\"). The Company is not controlled by an Investment Company.", "ner": [[40, 44, "Act"]], "tokenized_text": ["y", ")", "No", "Investment", "Company", ".", "The", "Company", "is", "not", ",", "and", "upon", "the", "issuance", "and", "sale", "of", "the", "Securities", "as", "contemplated", "by", "this", "Agreement", "will", "not", "be", ",", "an", "\"", "investment", "company", "\"", "required", "to", "be", "registered", "under", "the", "Investment", "Company", "Act", "of", "1940", "(", "an", "\"", "Investment", "Company", "\"", ")", ".", "The", "Company", "is", "not", "controlled", "by", "an", "Investment", "Company", "."]}
{"id": "12328", "text": "a) Governing Law. This Agreement shall be governed by and construed in accordance with the laws of the State of New York without regard to principles of conflicts of laws thereof or any other State. Any action brought by any party against any other party hereto concerning the transactions contemplated by this Agreement shall be brought only in the state courts of New York or in the federal courts located in the state and county of New York. The parties to this Agreement hereby irrevocably waive any objection to jurisdiction and venue of any action instituted hereunder and shall not assert any defense based on lack of jurisdiction or venue or based upon forum non conveniens. The parties executing this Agreement and other agreements referred to herein or delivered in connection herewith on behalf of the Company agree to submit to the in personam jurisdiction of such courts and hereby irrevocably waive trial by jury. The prevailing party shall be entitled to recover from the other party its reasonable attorney's fees and costs. In the event that any provision of this Agreement or any other agreement delivered in connection herewith is invalid or unenforceable under any applicable statute or rule of law, then such provision shall be deemed inoperative to the extent that it may conflict therewith and shall be deemed modified to conform with such statute or rule of law. Any such provision which may prove invalid or unenforceable under any law shall not affect the validity or enforceability of any other provision of any agreement. Each party hereto hereby irrevocably waives personal service of process and consents to process being served in any suit, action or proceeding in connection with this Agreement or any other transaction document contemplated hereby by mailing a copy thereof via registered or certified mail or overnight delivery (with evidence of delivery) to such party at the address in effect for notices to it under this Agreement and agrees that such service shall constitute good and sufficient service of process and notice thereof. Nothing contained herein shall be deemed to limit in any way any right to serve process in any other manner permitted by law.", "ner": [[20, 23, "Court"]], "tokenized_text": ["a", ")", "Governing", "Law", ".", "This", "Agreement", "shall", "be", "governed", "by", "and", "construed", "in", "accordance", "with", "the", "laws", "of", "the", "State", "of", "New", "York", "without", "regard", "to", "principles", "of", "conflicts", "of", "laws", "thereof", "or", "any", "other", "State", ".", "Any", "action", "brought", "by", "any", "party", "against", "any", "other", "party", "hereto", "concerning", "the", "transactions", "contemplated", "by", "this", "Agreement", "shall", "be", "brought", "only", "in", "the", "state", "courts", "of", "New", "York", "or", "in", "the", "federal", "courts", "located", "in", "the", "state", "and", "county", "of", "New", "York", ".", "The", "parties", "to", "this", "Agreement", "hereby", "irrevocably", "waive", "any", "objection", "to", "jurisdiction", "and", "venue", "of", "any", "action", "instituted", "hereunder", "and", "shall", "not", "assert", "any", "defense", "based", "on", "lack", "of", "jurisdiction", "or", "venue", "or", "based", "upon", "forum", "non", "conveniens", ".", "The", "parties", "executing", "this", "Agreement", "and", "other", "agreements", "referred", "to", "herein", "or", "delivered", "in", "connection", "herewith", "on", "behalf", "of", "the", "Company", "agree", "to", "submit", "to", "the", "in", "personam", "jurisdiction", "of", "such", "courts", "and", "hereby", "irrevocably", "waive", "trial", "by", "jury", ".", "The", "prevailing", "party", "shall", "be", "entitled", "to", "recover", "from", "the", "other", "party", "its", "reasonable", "attorney", "'", "s", "fees", "and", "costs", ".", "In", "the", "event", "that", "any", "provision", "of", "this", "Agreement", "or", "any", "other", "agreement", "delivered", "in", "connection", "herewith", "is", "invalid", "or", "unenforceable", "under", "any", "applicable", "statute", "or", "rule", "of", "law", ",", "then", "such", "provision", "shall", "be", "deemed", "inoperative", "to", "the", "extent", "that", "it", "may", "conflict", "therewith", "and", "shall", "be", "deemed", "modified", "to", "conform", "with", "such", "statute", "or", "rule", "of", "law", ".", "Any", "such", "provision", "which", "may", "prove", "invalid", "or", "unenforceable", "under", "any", "law", "shall", "not", "affect", "the", "validity", "or", "enforceability", "of", "any", "other", "provision", "of", "any", "agreement", ".", "Each", "party", "hereto", "hereby", "irrevocably", "waives", "personal", "service", "of", "process", "and", "consents", "to", "process", "being", "served", "in", "any", "suit", ",", "action", "or", "proceeding", "in", "connection", "with", "this", "Agreement", "or", "any", "other", "transaction", "document", "contemplated", "hereby", "by", "mailing", "a", "copy", "thereof", "via", "registered", "or", "certified", "mail", "or", "overnight", "delivery", "(", "with", "evidence", "of", "delivery", ")", "to", "such", "party", "at", "the", "address", "in", "effect", "for", "notices", "to", "it", "under", "this", "Agreement", "and", "agrees", "that", "such", "service", "shall", "constitute", "good", "and", "sufficient", "service", "of", "process", "and", "notice", "thereof", ".", "Nothing", "contained", "herein", "shall", "be", "deemed", "to", "limit", "in", "any", "way", "any", "right", "to", "serve", "process", "in", "any", "other", "manner", "permitted", "by", "law", "."]}
{"id": "12329", "text": "40 Wall Street, Suite 1700", "ner": [[0, 5, "Address"]], "tokenized_text": ["40", "Wall", "Street", ",", "Suite", "1700"]}
{"id": "12330", "text": "23101 Lake Center Drive, Suite 100", "ner": [[0, 6, "Address"]], "tokenized_text": ["23101", "Lake", "Center", "Drive", ",", "Suite", "100"]}
{"id": "12332", "text": "PURA NATURALS, INC. (DELAWARE). | ---|--- | By:", "ner": [[0, 4, "Parties"], [6, 6, "Address"]], "tokenized_text": ["PURA", "NATURALS", ",", "INC", ".", "(", "DELAWARE", ")", ".", "|", "-", "-", "-", "|", "-", "-", "-", "|", "By", ":"]}
{"id": "12333", "text": "THIS STOCK PURCHASE AGREEMENT (this Agreement) is made as of October 11, 2017 , by and among ACM Research, Inc. , a Delaware corporation (the Company), Xunxin (Shanghai) Capital Co. , Limited (Sino IC Shanghai), Xinxin (Hongkong) Capital Co., Limited (the Purchaser), and, solely for the purpose of Section2(c)(iii), David H. Wang (Wang). Certain capitalized terms used in this Agreement are defined in Section1.", "ner": [[1, 3, "Title"], [12, 15, "EffectiveDate"], [20, 24, "Parties"], [34, 42, "Parties"], [49, 57, "Parties"], [78, 81, "Parties"]], "tokenized_text": ["THIS", "STOCK", "PURCHASE", "AGREEMENT", "(", "this", "Agreement", ")", "is", "made", "as", "of", "October", "11", ",", "2017", ",", "by", "and", "among", "ACM", "Research", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "the", "Company", ")", ",", "Xunxin", "(", "Shanghai", ")", "Capital", "Co", ".", ",", "Limited", "(", "Sino", "IC", "Shanghai", ")", ",", "Xinxin", "(", "Hongkong", ")", "Capital", "Co", ".", ",", "Limited", "(", "the", "Purchaser", ")", ",", "and", ",", "solely", "for", "the", "purpose", "of", "Section2", "(", "c", ")", "(", "iii", ")", ",", "David", "H", ".", "Wang", "(", "Wang", ")", ".", "Certain", "capitalized", "terms", "used", "in", "this", "Agreement", "are", "defined", "in", "Section1", "."]}
{"id": "12334", "text": "(j) Exchange Act means the U.S. Securities Exchange Act of 1934 and the rules and regulations of the SEC thereunder.", "ner": [[3, 4, "Act"], [7, 15, "Act"]], "tokenized_text": ["(", "j", ")", "Exchange", "Act", "means", "the", "U", ".", "S", ".", "Securities", "Exchange", "Act", "of", "1934", "and", "the", "rules", "and", "regulations", "of", "the", "SEC", "thereunder", "."]}
{"id": "12337", "text": "(i) If the IPO Price is between $8.40 and $10.50 , the Purchaser agrees to purchase at the Closing, and the Company agrees to sell and issue to the Purchaser at the Closing, all of the Shares at a Purchase Price equal to the IPO Price.", "ner": [[9, 12, "Price"], [14, 17, "Price"]], "tokenized_text": ["(", "i", ")", "If", "the", "IPO", "Price", "is", "between", "$", "8", ".", "40", "and", "$", "10", ".", "50", ",", "the", "Purchaser", "agrees", "to", "purchase", "at", "the", "Closing", ",", "and", "the", "Company", "agrees", "to", "sell", "and", "issue", "to", "the", "Purchaser", "at", "the", "Closing", ",", "all", "of", "the", "Shares", "at", "a", "Purchase", "Price", "equal", "to", "the", "IPO", "Price", "."]}
{"id": "12338", "text": "(iii) If the IPO Price is equal to or greater than $10.50 , the Purchase Price shall be $10.50 and the Purchaser agrees to purchase at the Closing, and the Company agrees to sell and issue to the Purchaser at the Closing, all of the Shares at $10.50 per Share.", "ner": [[13, 16, "Price"]], "tokenized_text": ["(", "iii", ")", "If", "the", "IPO", "Price", "is", "equal", "to", "or", "greater", "than", "$", "10", ".", "50", ",", "the", "Purchase", "Price", "shall", "be", "$", "10", ".", "50", "and", "the", "Purchaser", "agrees", "to", "purchase", "at", "the", "Closing", ",", "and", "the", "Company", "agrees", "to", "sell", "and", "issue", "to", "the", "Purchaser", "at", "the", "Closing", ",", "all", "of", "the", "Shares", "at", "$", "10", ".", "50", "per", "Share", "."]}
{"id": "12339", "text": "| (z) | in accordance with Section2(a)(ii), the Purchaser shall notify the Company by 6 a.m., Pacific time, on the second Business Day before the Expected Pricing Date, whether the Purchaser will, or will not, purchase the Shares if the Purchase Price is less than $8.40. ---|---|--- Following, and subject to, the receipt of notice from the Company pursuant to this Section2(c)(ii)(A), the Purchaser shall deposit, by 5 p.m., Pacific time, on the second Business Day before the Expected Pricing Date, the amount of $8,750,000 in an account with a bank in Hong Kong held in the name of the Purchaser.", "ner": [[62, 66, "Price"], [134, 139, "Principal"]], "tokenized_text": ["|", "(", "z", ")", "|", "in", "accordance", "with", "Section2", "(", "a", ")", "(", "ii", ")", ",", "the", "Purchaser", "shall", "notify", "the", "Company", "by", "6", "a", ".", "m", ".", ",", "Pacific", "time", ",", "on", "the", "second", "Business", "Day", "before", "the", "Expected", "Pricing", "Date", ",", "whether", "the", "Purchaser", "will", ",", "or", "will", "not", ",", "purchase", "the", "Shares", "if", "the", "Purchase", "Price", "is", "less", "than", "$", "8", ".", "40", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "Following", ",", "and", "subject", "to", ",", "the", "receipt", "of", "notice", "from", "the", "Company", "pursuant", "to", "this", "Section2", "(", "c", ")", "(", "ii", ")", "(", "A", ")", ",", "the", "Purchaser", "shall", "deposit", ",", "by", "5", "p", ".", "m", ".", ",", "Pacific", "time", ",", "on", "the", "second", "Business", "Day", "before", "the", "Expected", "Pricing", "Date", ",", "the", "amount", "of", "$", "8", ",", "750", ",", "000", "in", "an", "account", "with", "a", "bank", "in", "Hong", "Kong", "held", "in", "the", "name", "of", "the", "Purchaser", "."]}
{"id": "12340", "text": "(B) Subject to Section2(a)(ii) and the satisfaction of all of the conditions set forth under Section6 (or waiver thereof by the Purchaser), by 8 p.m., Pacific time, on the first day on which ClassA Shares trade on the Nasdaq Global Market, the Purchaser shall arrange for a wire transfer in the amount of the Purchase Price for all of the Shares (or, if less, $8,750,000 ), in immediately available funds, to be made to an account specified by the Company prior to the Expected Pricing Date.", "ner": [[84, 89, "Principal"]], "tokenized_text": ["(", "B", ")", "Subject", "to", "Section2", "(", "a", ")", "(", "ii", ")", "and", "the", "satisfaction", "of", "all", "of", "the", "conditions", "set", "forth", "under", "Section6", "(", "or", "waiver", "thereof", "by", "the", "Purchaser", ")", ",", "by", "8", "p", ".", "m", ".", ",", "Pacific", "time", ",", "on", "the", "first", "day", "on", "which", "ClassA", "Shares", "trade", "on", "the", "Nasdaq", "Global", "Market", ",", "the", "Purchaser", "shall", "arrange", "for", "a", "wire", "transfer", "in", "the", "amount", "of", "the", "Purchase", "Price", "for", "all", "of", "the", "Shares", "(", "or", ",", "if", "less", ",", "$", "8", ",", "750", ",", "000", ")", ",", "in", "immediately", "available", "funds", ",", "to", "be", "made", "to", "an", "account", "specified", "by", "the", "Company", "prior", "to", "the", "Expected", "Pricing", "Date", "."]}
{"id": "12342", "text": "(iv) Neither the Company nor any of the Subsidiaries, nor, to the knowledge of the Company after due inquiry, any director, officer, agent, employee or other person associated with or acting on behalf of the Company or any of the Subsidiaries, has in the course of its actions for, or on behalf of, the Company or any of the Subsidiaries: (A)used any corporate funds for any unlawful contribution, gift, entertainment or other unlawful expense relating to political activity; (B)made any direct or indirect payment to any foreign or domestic government official from corporate funds in violation of the U.S. Foreign Corrupt Practices Act of 1977 or otherwise violated any applicable provision of such Act or of any other applicable anti-bribery statute or regulation; or (C)made any bribe, rebate, payoff, influence payment, kickback or other unlawful payment to any domestic government official, foreign official or employee that, in the aggregate, would reasonably be expected to result in a Material Adverse Effect. The Company and the Subsidiaries and, to the knowledge of the Company, the Affiliates of the Company and the Subsidiaries have conducted their respective businesses in compliance with the U.S. Foreign Corrupt Practices Act of 1977 and, except as would not reasonably be expected to result in a Material Adverse Effect, all other applicable anti- bribery statutes and regulations, and the Company and the Subsidiaries maintain policies and procedures designed to ensure, and that are reasonably expected to continue to ensure, continued compliance with the U.S. Foreign Corrupt Practices Act of 1977 and other applicable anti-bribery statutes and regulations.", "ner": [[119, 128, "Act"]], "tokenized_text": ["(", "iv", ")", "Neither", "the", "Company", "nor", "any", "of", "the", "Subsidiaries", ",", "nor", ",", "to", "the", "knowledge", "of", "the", "Company", "after", "due", "inquiry", ",", "any", "director", ",", "officer", ",", "agent", ",", "employee", "or", "other", "person", "associated", "with", "or", "acting", "on", "behalf", "of", "the", "Company", "or", "any", "of", "the", "Subsidiaries", ",", "has", "in", "the", "course", "of", "its", "actions", "for", ",", "or", "on", "behalf", "of", ",", "the", "Company", "or", "any", "of", "the", "Subsidiaries", ":", "(", "A", ")", "used", "any", "corporate", "funds", "for", "any", "unlawful", "contribution", ",", "gift", ",", "entertainment", "or", "other", "unlawful", "expense", "relating", "to", "political", "activity", ";", "(", "B", ")", "made", "any", "direct", "or", "indirect", "payment", "to", "any", "foreign", "or", "domestic", "government", "official", "from", "corporate", "funds", "in", "violation", "of", "the", "U", ".", "S", ".", "Foreign", "Corrupt", "Practices", "Act", "of", "1977", "or", "otherwise", "violated", "any", "applicable", "provision", "of", "such", "Act", "or", "of", "any", "other", "applicable", "anti-bribery", "statute", "or", "regulation", ";", "or", "(", "C", ")", "made", "any", "bribe", ",", "rebate", ",", "payoff", ",", "influence", "payment", ",", "kickback", "or", "other", "unlawful", "payment", "to", "any", "domestic", "government", "official", ",", "foreign", "official", "or", "employee", "that", ",", "in", "the", "aggregate", ",", "would", "reasonably", "be", "expected", "to", "result", "in", "a", "Material", "Adverse", "Effect", ".", "The", "Company", "and", "the", "Subsidiaries", "and", ",", "to", "the", "knowledge", "of", "the", "Company", ",", "the", "Affiliates", "of", "the", "Company", "and", "the", "Subsidiaries", "have", "conducted", "their", "respective", "businesses", "in", "compliance", "with", "the", "U", ".", "S", ".", "Foreign", "Corrupt", "Practices", "Act", "of", "1977", "and", ",", "except", "as", "would", "not", "reasonably", "be", "expected", "to", "result", "in", "a", "Material", "Adverse", "Effect", ",", "all", "other", "applicable", "anti", "-", "bribery", "statutes", "and", "regulations", ",", "and", "the", "Company", "and", "the", "Subsidiaries", "maintain", "policies", "and", "procedures", "designed", "to", "ensure", ",", "and", "that", "are", "reasonably", "expected", "to", "continue", "to", "ensure", ",", "continued", "compliance", "with", "the", "U", ".", "S", ".", "Foreign", "Corrupt", "Practices", "Act", "of", "1977", "and", "other", "applicable", "anti-bribery", "statutes", "and", "regulations", "."]}
{"id": "12343", "text": "The Purchaser consents to the Company making a notation in its records and giving instructions to any transfer agent of the ClassA Shares in order to implement the restrictions on transfer set forth in this Agreement. The foregoing legend shall be removed from the certificate, instrument or book entry evidencing the Shares and the Company shall, or shall cause its transfer agent to, issue, no later than three Business Days after receipt of a request from the Purchaser, a certificate or certificates evidencing all or a portion of the Shares, as requested by the Purchaser, without such legend if: (i)the Shares have been resold under an effective registration statement under the Securities Act, ( ii)the Shares have been transferred in compliance with Rule 144 under the Securities Act, ( iii)all of the Shares are eligible for resale pursuant to such Rule 144 without restriction, or (iv)the Purchaser shall", "ner": [[123, 124, "Act"], [137, 138, "Regulation"]], "tokenized_text": ["The", "Purchaser", "consents", "to", "the", "Company", "making", "a", "notation", "in", "its", "records", "and", "giving", "instructions", "to", "any", "transfer", "agent", "of", "the", "ClassA", "Shares", "in", "order", "to", "implement", "the", "restrictions", "on", "transfer", "set", "forth", "in", "this", "Agreement", ".", "The", "foregoing", "legend", "shall", "be", "removed", "from", "the", "certificate", ",", "instrument", "or", "book", "entry", "evidencing", "the", "Shares", "and", "the", "Company", "shall", ",", "or", "shall", "cause", "its", "transfer", "agent", "to", ",", "issue", ",", "no", "later", "than", "three", "Business", "Days", "after", "receipt", "of", "a", "request", "from", "the", "Purchaser", ",", "a", "certificate", "or", "certificates", "evidencing", "all", "or", "a", "portion", "of", "the", "Shares", ",", "as", "requested", "by", "the", "Purchaser", ",", "without", "such", "legend", "if", ":", "(", "i", ")", "the", "Shares", "have", "been", "resold", "under", "an", "effective", "registration", "statement", "under", "the", "Securities", "Act", ",", "(", "ii", ")", "the", "Shares", "have", "been", "transferred", "in", "compliance", "with", "Rule", "144", "under", "the", "Securities", "Act", ",", "(", "iii", ")", "all", "of", "the", "Shares", "are", "eligible", "for", "resale", "pursuant", "to", "such", "Rule", "144", "without", "restriction", ",", "or", "(", "iv", ")", "the", "Purchaser", "shall"]}
{"id": "12344", "text": "(c) Corporate Proceedings. All corporate proceedings and other legal matters incidental to the authorization, form and validity of this Agreement and all other legal matters relating to this Agreement and the transactions contemplated by this Agreement, including the filing of the Restated Certificate of Incorporation of ACM Research, Inc. (in the form filed with the SEC by the Company as", "ner": [[46, 49, "Title"], [51, 55, "Parties"]], "tokenized_text": ["(", "c", ")", "Corporate", "Proceedings", ".", "All", "corporate", "proceedings", "and", "other", "legal", "matters", "incidental", "to", "the", "authorization", ",", "form", "and", "validity", "of", "this", "Agreement", "and", "all", "other", "legal", "matters", "relating", "to", "this", "Agreement", "and", "the", "transactions", "contemplated", "by", "this", "Agreement", ",", "including", "the", "filing", "of", "the", "Restated", "Certificate", "of", "Incorporation", "of", "ACM", "Research", ",", "Inc", ".", "(", "in", "the", "form", "filed", "with", "the", "SEC", "by", "the", "Company", "as"]}
{"id": "12345", "text": "(a) Governing Law; Forum and Remedies. The internal laws of the State of Delaware , irrespective of its conflicts of law principles, shall govern the validity of this Agreement, the construction of its terms, and the interpretation and enforcement of the rights and duties of the parties to this Agreement. The parties to this Agreement by this Agreement irrevocably submit to the exclusive jurisdiction of first, the Court of Chancery in the State of Delaware (and any appellate court thereof) and to the extent such Court of Chancery (or appellate court thereof) lacks jurisdiction over the matter, the Federal courts of the United States of America located in the State of Delaware (or", "ner": [[15, 17, "Court"], [76, 78, "Court"], [116, 119, "Court"]], "tokenized_text": ["(", "a", ")", "Governing", "Law", ";", "Forum", "and", "Remedies", ".", "The", "internal", "laws", "of", "the", "State", "of", "Delaware", ",", "irrespective", "of", "its", "conflicts", "of", "law", "principles", ",", "shall", "govern", "the", "validity", "of", "this", "Agreement", ",", "the", "construction", "of", "its", "terms", ",", "and", "the", "interpretation", "and", "enforcement", "of", "the", "rights", "and", "duties", "of", "the", "parties", "to", "this", "Agreement", ".", "The", "parties", "to", "this", "Agreement", "by", "this", "Agreement", "irrevocably", "submit", "to", "the", "exclusive", "jurisdiction", "of", "first", ",", "the", "Court", "of", "Chancery", "in", "the", "State", "of", "Delaware", "(", "and", "any", "appellate", "court", "thereof", ")", "and", "to", "the", "extent", "such", "Court", "of", "Chancery", "(", "or", "appellate", "court", "thereof", ")", "lacks", "jurisdiction", "over", "the", "matter", ",", "the", "Federal", "courts", "of", "the", "United", "States", "of", "America", "located", "in", "the", "State", "of", "Delaware", "(", "or"]}
{"id": "12350", "text": "Affiliate means any Person that, directly or indirectly through one or more intermediaries, controls or is controlled by or is under common control with a Person, as such terms are used in and construed under Rule 405 under the Securities Act. &lt; br/&gt;", "ner": [[38, 39, "Regulation"], [42, 43, "Act"]], "tokenized_text": ["Affiliate", "means", "any", "Person", "that", ",", "directly", "or", "indirectly", "through", "one", "or", "more", "intermediaries", ",", "controls", "or", "is", "controlled", "by", "or", "is", "under", "common", "control", "with", "a", "Person", ",", "as", "such", "terms", "are", "used", "in", "and", "construed", "under", "Rule", "405", "under", "the", "Securities", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "12351", "text": "Common Stock means the common stock of the Company, $0.001 par value per share, and any other class of securities into which such securities may hereafter be reclassified or changed.", "ner": [[10, 13, "Price"]], "tokenized_text": ["Common", "Stock", "means", "the", "common", "stock", "of", "the", "Company", ",", "$", "0", ".", "001", "par", "value", "per", "share", ",", "and", "any", "other", "class", "of", "securities", "into", "which", "such", "securities", "may", "hereafter", "be", "reclassified", "or", "changed", "."]}
{"id": "12353", "text": "2.1Closing. On the Closing Dates, upon the terms and subject to the conditions set forth herein, the Company agrees to sell, and the Purchasers, severally and not jointly, agree to purchase, an aggregate of up to $55,120.00 principal amount of Notes and Warrants as determined pursuant to Section 2.2(a), such purchase and sale being the Closing. Each Purchaser shall deliver to the Company such Purchasers Subscription Amount, and the Company shall deliver to each Purchaser its respective Note and Warrants, as determined pursuant to Section 2.2(a), and the Company and each Purchaser shall deliver the other items set forth in Section 2.2 deliverable at a Closing. Upon satisfaction of the covenants and conditions set forth in Sections 2.2 and 2.3, the Closing shall occur at the offices of G&amp;M or such other location as the parties shall mutually agree. Notwithstanding anything herein to the contrary, the Closing must take place on or before September 31, 2017 (the Termination Date). With respect to the Closing not held on or before the Termination Date, the Company shall cause all subscription documents and funds, if any, to be returned, without interest or deduction to each prospective Purchaser.", "ner": [[45, 50, "Principal"], [196, 199, "TerminationDate"]], "tokenized_text": ["2", ".", "1Closing", ".", "On", "the", "Closing", "Dates", ",", "upon", "the", "terms", "and", "subject", "to", "the", "conditions", "set", "forth", "herein", ",", "the", "Company", "agrees", "to", "sell", ",", "and", "the", "Purchasers", ",", "severally", "and", "not", "jointly", ",", "agree", "to", "purchase", ",", "an", "aggregate", "of", "up", "to", "$", "55", ",", "120", ".", "00", "principal", "amount", "of", "Notes", "and", "Warrants", "as", "determined", "pursuant", "to", "Section", "2", ".", "2", "(", "a", ")", ",", "such", "purchase", "and", "sale", "being", "the", "Closing", ".", "Each", "Purchaser", "shall", "deliver", "to", "the", "Company", "such", "Purchasers", "Subscription", "Amount", ",", "and", "the", "Company", "shall", "deliver", "to", "each", "Purchaser", "its", "respective", "Note", "and", "Warrants", ",", "as", "determined", "pursuant", "to", "Section", "2", ".", "2", "(", "a", ")", ",", "and", "the", "Company", "and", "each", "Purchaser", "shall", "deliver", "the", "other", "items", "set", "forth", "in", "Section", "2", ".", "2", "deliverable", "at", "a", "Closing", ".", "Upon", "satisfaction", "of", "the", "covenants", "and", "conditions", "set", "forth", "in", "Sections", "2", ".", "2", "and", "2", ".", "3", ",", "the", "Closing", "shall", "occur", "at", "the", "offices", "of", "G", "&", "amp", ";", "M", "or", "such", "other", "location", "as", "the", "parties", "shall", "mutually", "agree", ".", "Notwithstanding", "anything", "herein", "to", "the", "contrary", ",", "the", "Closing", "must", "take", "place", "on", "or", "before", "September", "31", ",", "2017", "(", "the", "Termination", "Date", ")", ".", "With", "respect", "to", "the", "Closing", "not", "held", "on", "or", "before", "the", "Termination", "Date", ",", "the", "Company", "shall", "cause", "all", "subscription", "documents", "and", "funds", ",", "if", "any", ",", "to", "be", "returned", ",", "without", "interest", "or", "deduction", "to", "each", "prospective", "Purchaser", "."]}
{"id": "12354", "text": "(iii)Warrants registered in the names of such Purchaser equal to 31.74891 warrants for each dollar of note principal issued to such Purchaser. Such warrants shall have a per share exercise price equal to $0.04 of the conversion price for the day prior to the Closing, subject to adjustment as provided therein;", "ner": [[13, 15, "Shares"], [39, 42, "Price"]], "tokenized_text": ["(", "iii", ")", "Warrants", "registered", "in", "the", "names", "of", "such", "Purchaser", "equal", "to", "31", ".", "74891", "warrants", "for", "each", "dollar", "of", "note", "principal", "issued", "to", "such", "Purchaser", ".", "Such", "warrants", "shall", "have", "a", "per", "share", "exercise", "price", "equal", "to", "$", "0", ".", "04", "of", "the", "conversion", "price", "for", "the", "day", "prior", "to", "the", "Closing", ",", "subject", "to", "adjustment", "as", "provided", "therein", ";"]}
{"id": "12356", "text": "(aa) Money Laundering. The operations of the Company and its Subsidiaries are and have been conducted at all times in compliance with applicable financial record-keeping and reporting requirements of the Currency and Foreign Transactions Reporting Act of 1970 , as amended, applicable money laundering statutes and applicable rules and regulations thereunder (collectively, the Money Laundering Laws), and no action, suit or proceeding by or before any court or governmental agency, authority or body or any arbitrator involving the Company or any Subsidiary with respect to the Money Laundering Laws is pending or, to the knowledge of the Company or any Subsidiary, threatened.", "ner": [[33, 40, "Act"], [59, 61, "Regulation"]], "tokenized_text": ["(", "aa", ")", "Money", "Laundering", ".", "The", "operations", "of", "the", "Company", "and", "its", "Subsidiaries", "are", "and", "have", "been", "conducted", "at", "all", "times", "in", "compliance", "with", "applicable", "financial", "record-keeping", "and", "reporting", "requirements", "of", "the", "Currency", "and", "Foreign", "Transactions", "Reporting", "Act", "of", "1970", ",", "as", "amended", ",", "applicable", "money", "laundering", "statutes", "and", "applicable", "rules", "and", "regulations", "thereunder", "(", "collectively", ",", "the", "Money", "Laundering", "Laws", ")", ",", "and", "no", "action", ",", "suit", "or", "proceeding", "by", "or", "before", "any", "court", "or", "governmental", "agency", ",", "authority", "or", "body", "or", "any", "arbitrator", "involving", "the", "Company", "or", "any", "Subsidiary", "with", "respect", "to", "the", "Money", "Laundering", "Laws", "is", "pending", "or", ",", "to", "the", "knowledge", "of", "the", "Company", "or", "any", "Subsidiary", ",", "threatened", "."]}
{"id": "12357", "text": "(ff) No Disqualification Events. None of the Company, any of its predecessors, any affiliated issuer, any director, executive officer, other officer of the Company participating in the offering hereunder, any beneficial owner of 20% or more of the Companys outstanding voting equity securities, calculated on the basis of voting power, nor any promoter (as that term is defined in Rule 405 under the Securities Act) connected with the Company in any capacity at the time of sale (each, an Issuer Covered Person and, together, Issuer Covered Persons) is subject to any of the Bad Actor disqualifications described in Rule 506(d)(l)(i) to (viii) under the Securities Act ( a Disqualification Event), except for a Disqualification Event covered by Rule 506(d)(2) or (d)(3). The Company has exercised reasonable care to determine whether any Issuer Covered Person is subject to a Disqualification Event. The Company has complied, to the extent applicable, with its disclosure obligations under Rule 506(e), and has furnished to the Purchasers a copy of any disclosures provided thereunder. The Company will notify the Purchasers in writing, prior to the Closing Date of (i) any Disqualification Event relating to any Issuer Covered Person and (ii) any event that would, with the passage of time, become a Disqualification Event relating to any Issuer Covered Person.", "ner": [[42, 43, "Percentage"], [72, 73, "Regulation"], [76, 77, "Act"], [117, 121, "Regulation"], [200, 204, "Regulation"]], "tokenized_text": ["(", "ff", ")", "No", "Disqualification", "Events", ".", "None", "of", "the", "Company", ",", "any", "of", "its", "predecessors", ",", "any", "affiliated", "issuer", ",", "any", "director", ",", "executive", "officer", ",", "other", "officer", "of", "the", "Company", "participating", "in", "the", "offering", "hereunder", ",", "any", "beneficial", "owner", "of", "20", "%", "or", "more", "of", "the", "Companys", "outstanding", "voting", "equity", "securities", ",", "calculated", "on", "the", "basis", "of", "voting", "power", ",", "nor", "any", "promoter", "(", "as", "that", "term", "is", "defined", "in", "Rule", "405", "under", "the", "Securities", "Act", ")", "connected", "with", "the", "Company", "in", "any", "capacity", "at", "the", "time", "of", "sale", "(", "each", ",", "an", "Issuer", "Covered", "Person", "and", ",", "together", ",", "Issuer", "Covered", "Persons", ")", "is", "subject", "to", "any", "of", "the", "Bad", "Actor", "disqualifications", "described", "in", "Rule", "506", "(", "d", ")", "(", "l", ")", "(", "i", ")", "to", "(", "viii", ")", "under", "the", "Securities", "Act", "(", "a", "Disqualification", "Event", ")", ",", "except", "for", "a", "Disqualification", "Event", "covered", "by", "Rule", "506", "(", "d", ")", "(", "2", ")", "or", "(", "d", ")", "(", "3", ")", ".", "The", "Company", "has", "exercised", "reasonable", "care", "to", "determine", "whether", "any", "Issuer", "Covered", "Person", "is", "subject", "to", "a", "Disqualification", "Event", ".", "The", "Company", "has", "complied", ",", "to", "the", "extent", "applicable", ",", "with", "its", "disclosure", "obligations", "under", "Rule", "506", "(", "e", ")", ",", "and", "has", "furnished", "to", "the", "Purchasers", "a", "copy", "of", "any", "disclosures", "provided", "thereunder", ".", "The", "Company", "will", "notify", "the", "Purchasers", "in", "writing", ",", "prior", "to", "the", "Closing", "Date", "of", "(", "i", ")", "any", "Disqualification", "Event", "relating", "to", "any", "Issuer", "Covered", "Person", "and", "(", "ii", ")", "any", "event", "that", "would", ",", "with", "the", "passage", "of", "time", ",", "become", "a", "Disqualification", "Event", "relating", "to", "any", "Issuer", "Covered", "Person", "."]}
{"id": "12359", "text": "(c)Purchaser Status. At the time such Purchaser was offered the Securities, it was, and as of the date hereof it is, and on each date on which it converts a Note or exercises any Warrants, it will be either: (i) an accredited investor as defined in Rule 501(a)(1), (a)(2), (a)(3), (a)(7) or (a)(8) under the Securities Act or (ii) a qualified institutional buyer as defined in Rule 144A(a) under the Securities Act. Such Purchaser is not required to be registered as a broker-dealer under Section 15 of the Exchange Act. Such Purchaser has the authority and is duly and legally qualified to purchase and own the Securities. Such Purchaser is able to bear the risk of such investment for an indefinite period and to afford a complete loss thereof.", "ner": [[57, 58, "Regulation"], [95, 96, "Act"], [108, 109, "Regulation"], [134, 135, "Act"]], "tokenized_text": ["(", "c", ")", "Purchaser", "Status", ".", "At", "the", "time", "such", "Purchaser", "was", "offered", "the", "Securities", ",", "it", "was", ",", "and", "as", "of", "the", "date", "hereof", "it", "is", ",", "and", "on", "each", "date", "on", "which", "it", "converts", "a", "Note", "or", "exercises", "any", "Warrants", ",", "it", "will", "be", "either", ":", "(", "i", ")", "an", "accredited", "investor", "as", "defined", "in", "Rule", "501", "(", "a", ")", "(", "1", ")", ",", "(", "a", ")", "(", "2", ")", ",", "(", "a", ")", "(", "3", ")", ",", "(", "a", ")", "(", "7", ")", "or", "(", "a", ")", "(", "8", ")", "under", "the", "Securities", "Act", "or", "(", "ii", ")", "a", "qualified", "institutional", "buyer", "as", "defined", "in", "Rule", "144A", "(", "a", ")", "under", "the", "Securities", "Act", ".", "Such", "Purchaser", "is", "not", "required", "to", "be", "registered", "as", "a", "broker-dealer", "under", "Section", "15", "of", "the", "Exchange", "Act", ".", "Such", "Purchaser", "has", "the", "authority", "and", "is", "duly", "and", "legally", "qualified", "to", "purchase", "and", "own", "the", "Securities", ".", "Such", "Purchaser", "is", "able", "to", "bear", "the", "risk", "of", "such", "investment", "for", "an", "indefinite", "period", "and", "to", "afford", "a", "complete", "loss", "thereof", "."]}
{"id": "12361", "text": "(d)Legend Removal. Certificates evidencing the Underlying Shares shall not contain any legend (Unlegended Shares) (including the legend set forth in Section 4.1(b) hereof): (i) while a registration statement covering the resale of such security is effective under the Securities Act, ( ii) following any sale of such Underlying Shares pursuant to Rule 144, (iii) if such Underlying Shares are eligible for sale under Rule 144, without the requirement for the Company to be in compliance with the current public information required under Rule 144 as to such Underlying Shares and without volume or manner-of-sale restrictions or (iv) if such legend is not required under applicable requirements of the Securities Act ( including judicial interpretations and pronouncements issued by the staff of the Commission). The Company shall cause its counsel to issue a legal opinion to the Transfer Agent during the time any of the aforedescribed conditions apply, to effect the removal of the legend hereunder. If all or any Notes are converted or any portion of a Warrant is exercised at a time when there is an effective registration statement to cover the resale of the corresponding Underlying Shares, or if such Underlying Shares may be sold under Rule 144 or if such legend is not otherwise required under applicable requirements of the Securities Act ( including judicial interpretations and pronouncements issued by the staff of the Commission) then such Underlying Shares shall be issued free of all legends. The Company agrees that following such time as such legend is no longer required under this Section 4.1(d), it will, no later than five Trading Days following the delivery by the Purchaser to the Company or the Transfer Agent of a certificate representing Underlying Shares, as applicable, issued with a restrictive legend (such fifth Trading Day, the Legend Removal Dale), deliver or cause to be delivered to such Purchaser a certificate representing such shares that is free from all restrictive and other legends (however, the Corporation shall use reasonable best efforts to deliver such shares within three (3) Trading Days). The Company may not make any notation on its records or give instructions to the Transfer Agent that enlarge the restrictions on transfer set forth in this Section 4.1. Certificates for Underlying Shares subject to legend removal hereunder shall be transmitted by the Transfer Agent to the Purchaser by crediting the account of the Purchasers prime broker with the Depository Trust Company System as directed by such Purchaser.", "ner": [[54, 55, "Act"], [69, 70, "Regulation"]], "tokenized_text": ["(", "d", ")", "Legend", "Removal", ".", "Certificates", "evidencing", "the", "Underlying", "Shares", "shall", "not", "contain", "any", "legend", "(", "Unlegended", "Shares", ")", "(", "including", "the", "legend", "set", "forth", "in", "Section", "4", ".", "1", "(", "b", ")", "hereof", ")", ":", "(", "i", ")", "while", "a", "registration", "statement", "covering", "the", "resale", "of", "such", "security", "is", "effective", "under", "the", "Securities", "Act", ",", "(", "ii", ")", "following", "any", "sale", "of", "such", "Underlying", "Shares", "pursuant", "to", "Rule", "144", ",", "(", "iii", ")", "if", "such", "Underlying", "Shares", "are", "eligible", "for", "sale", "under", "Rule", "144", ",", "without", "the", "requirement", "for", "the", "Company", "to", "be", "in", "compliance", "with", "the", "current", "public", "information", "required", "under", "Rule", "144", "as", "to", "such", "Underlying", "Shares", "and", "without", "volume", "or", "manner-of-sale", "restrictions", "or", "(", "iv", ")", "if", "such", "legend", "is", "not", "required", "under", "applicable", "requirements", "of", "the", "Securities", "Act", "(", "including", "judicial", "interpretations", "and", "pronouncements", "issued", "by", "the", "staff", "of", "the", "Commission", ")", ".", "The", "Company", "shall", "cause", "its", "counsel", "to", "issue", "a", "legal", "opinion", "to", "the", "Transfer", "Agent", "during", "the", "time", "any", "of", "the", "aforedescribed", "conditions", "apply", ",", "to", "effect", "the", "removal", "of", "the", "legend", "hereunder", ".", "If", "all", "or", "any", "Notes", "are", "converted", "or", "any", "portion", "of", "a", "Warrant", "is", "exercised", "at", "a", "time", "when", "there", "is", "an", "effective", "registration", "statement", "to", "cover", "the", "resale", "of", "the", "corresponding", "Underlying", "Shares", ",", "or", "if", "such", "Underlying", "Shares", "may", "be", "sold", "under", "Rule", "144", "or", "if", "such", "legend", "is", "not", "otherwise", "required", "under", "applicable", "requirements", "of", "the", "Securities", "Act", "(", "including", "judicial", "interpretations", "and", "pronouncements", "issued", "by", "the", "staff", "of", "the", "Commission", ")", "then", "such", "Underlying", "Shares", "shall", "be", "issued", "free", "of", "all", "legends", ".", "The", "Company", "agrees", "that", "following", "such", "time", "as", "such", "legend", "is", "no", "longer", "required", "under", "this", "Section", "4", ".", "1", "(", "d", ")", ",", "it", "will", ",", "no", "later", "than", "five", "Trading", "Days", "following", "the", "delivery", "by", "the", "Purchaser", "to", "the", "Company", "or", "the", "Transfer", "Agent", "of", "a", "certificate", "representing", "Underlying", "Shares", ",", "as", "applicable", ",", "issued", "with", "a", "restrictive", "legend", "(", "such", "fifth", "Trading", "Day", ",", "the", "Legend", "Removal", "Dale", ")", ",", "deliver", "or", "cause", "to", "be", "delivered", "to", "such", "Purchaser", "a", "certificate", "representing", "such", "shares", "that", "is", "free", "from", "all", "restrictive", "and", "other", "legends", "(", "however", ",", "the", "Corporation", "shall", "use", "reasonable", "best", "efforts", "to", "deliver", "such", "shares", "within", "three", "(", "3", ")", "Trading", "Days", ")", ".", "The", "Company", "may", "not", "make", "any", "notation", "on", "its", "records", "or", "give", "instructions", "to", "the", "Transfer", "Agent", "that", "enlarge", "the", "restrictions", "on", "transfer", "set", "forth", "in", "this", "Section", "4", ".", "1", ".", "Certificates", "for", "Underlying", "Shares", "subject", "to", "legend", "removal", "hereunder", "shall", "be", "transmitted", "by", "the", "Transfer", "Agent", "to", "the", "Purchaser", "by", "crediting", "the", "account", "of", "the", "Purchasers", "prime", "broker", "with", "the", "Depository", "Trust", "Company", "System", "as", "directed", "by", "such", "Purchaser", "."]}
{"id": "12365", "text": "Greenwood Hall Inc | Address for Notice: ---|--- | | 6230 Wilshire Blvd, Suite 136 | Los Angeles, California 90048-5126 | Email: bbradfield@greenwoodhall.com | Fax: [RC]", "ner": [[17, 28, "Address"], [32, 36, "PII_Ref"]], "tokenized_text": ["Greenwood", "Hall", "Inc", "|", "Address", "for", "Notice", ":", "-", "-", "-", "|", "-", "-", "-", "|", "|", "6230", "Wilshire", "Blvd", ",", "Suite", "136", "|", "Los", "Angeles", ",", "California", "90048-5126", "|", "Email", ":", "bbradfield", "@", "greenwoodhall", ".", "com", "|", "Fax", ":", "[", "RC", "]"]}
{"id": "12366", "text": "SECURITIES PURCHASE AGREEMENT ]", "ner": [[0, 2, "Title"]], "tokenized_text": ["SECURITIES", "PURCHASE", "AGREEMENT", "]"]}
{"id": "12370", "text": "SECTION 1. Issuance of Securities.On the terms and subject to the conditions contained herein, at the Closing, Purchaser agrees to purchase, and the Company agrees to issue, the Securities at the Purchase Price. On the terms and subject to the conditions contained herein, at the Closing, Purchaser shall deliver the Purchase Price to the Company in immediately available funds by wire transfer to an account designated by the Company. The consummation of the purchase and sale of the Securities hereunder (the Closing) shall take place at a mutually agreed time and on a mutually agreed date on or before January1, 2018 (the Closing Date) following the satisfaction or waiver of the conditions set forth in Sections 4 and 5 below at the offices of the Company.", "ner": [[38, 39, "Price"]], "tokenized_text": ["SECTION", "1", ".", "Issuance", "of", "Securities", ".", "On", "the", "terms", "and", "subject", "to", "the", "conditions", "contained", "herein", ",", "at", "the", "Closing", ",", "Purchaser", "agrees", "to", "purchase", ",", "and", "the", "Company", "agrees", "to", "issue", ",", "the", "Securities", "at", "the", "Purchase", "Price", ".", "On", "the", "terms", "and", "subject", "to", "the", "conditions", "contained", "herein", ",", "at", "the", "Closing", ",", "Purchaser", "shall", "deliver", "the", "Purchase", "Price", "to", "the", "Company", "in", "immediately", "available", "funds", "by", "wire", "transfer", "to", "an", "account", "designated", "by", "the", "Company", ".", "The", "consummation", "of", "the", "purchase", "and", "sale", "of", "the", "Securities", "hereunder", "(", "the", "Closing", ")", "shall", "take", "place", "at", "a", "mutually", "agreed", "time", "and", "on", "a", "mutually", "agreed", "date", "on", "or", "before", "January1", ",", "2018", "(", "the", "Closing", "Date", ")", "following", "the", "satisfaction", "or", "waiver", "of", "the", "conditions", "set", "forth", "in", "Sections", "4", "and", "5", "below", "at", "the", "offices", "of", "the", "Company", "."]}
{"id": "12371", "text": "(f) Jurisdiction. In addition, each of the parties hereto (i)consents to submit itself to the personal jurisdiction of the federal and state courts located in San Diego , California in the event any dispute arises out of this Agreement or any of the transactions contemplated by this Agreement; (ii)agrees that he, she or it will not attempt to deny or defeat such personal jurisdiction by motion or other request for leave from such court; (iii)agrees that he, she or it will not bring any action relating to this Agreement or any of the transactions contemplated by this Agreement in any court other than the federal or state courts located in San Diego , California; and (iv)to the fullest extent permitted by law, consents to service being made through the notice procedures set forth in Section6(c). Each of the parties hereto hereby agrees that, to the fullest extent permitted by law, service of any process, summons, notice or document by U.S. registered mail to the respective addresses set forth in Section6(c) shall be effective service of process for any suit or proceeding in connection with this Agreement or the transactions contemplated hereby. Each of the parties hereto waives any right to a trial by jury in any such suit or proceeding.", "ner": [[32, 35, "Address"]], "tokenized_text": ["(", "f", ")", "Jurisdiction", ".", "In", "addition", ",", "each", "of", "the", "parties", "hereto", "(", "i", ")", "consents", "to", "submit", "itself", "to", "the", "personal", "jurisdiction", "of", "the", "federal", "and", "state", "courts", "located", "in", "San", "Diego", ",", "California", "in", "the", "event", "any", "dispute", "arises", "out", "of", "this", "Agreement", "or", "any", "of", "the", "transactions", "contemplated", "by", "this", "Agreement", ";", "(", "ii", ")", "agrees", "that", "he", ",", "she", "or", "it", "will", "not", "attempt", "to", "deny", "or", "defeat", "such", "personal", "jurisdiction", "by", "motion", "or", "other", "request", "for", "leave", "from", "such", "court", ";", "(", "iii", ")", "agrees", "that", "he", ",", "she", "or", "it", "will", "not", "bring", "any", "action", "relating", "to", "this", "Agreement", "or", "any", "of", "the", "transactions", "contemplated", "by", "this", "Agreement", "in", "any", "court", "other", "than", "the", "federal", "or", "state", "courts", "located", "in", "San", "Diego", ",", "California", ";", "and", "(", "iv", ")", "to", "the", "fullest", "extent", "permitted", "by", "law", ",", "consents", "to", "service", "being", "made", "through", "the", "notice", "procedures", "set", "forth", "in", "Section6", "(", "c", ")", ".", "Each", "of", "the", "parties", "hereto", "hereby", "agrees", "that", ",", "to", "the", "fullest", "extent", "permitted", "by", "law", ",", "service", "of", "any", "process", ",", "summons", ",", "notice", "or", "document", "by", "U", ".", "S", ".", "registered", "mail", "to", "the", "respective", "addresses", "set", "forth", "in", "Section6", "(", "c", ")", "shall", "be", "effective", "service", "of", "process", "for", "any", "suit", "or", "proceeding", "in", "connection", "with", "this", "Agreement", "or", "the", "transactions", "contemplated", "hereby", ".", "Each", "of", "the", "parties", "hereto", "waives", "any", "right", "to", "a", "trial", "by", "jury", "in", "any", "such", "suit", "or", "proceeding", "."]}
{"id": "12376", "text": "Alternate Base Rate means a rate per annum determined by the Administrative Agent on the first Business Day of each week, which shall be the highest of (a)the Prime Rate,(b)the Federal Funds Effective Rate plus one-half of one percent ( 0.50% ) per annum, and (c)the Adjusted LIBOR Rate (rounded upward, if necessary, to the next whole multiple of 1/100th of one percent) for an Interest Period of one month on such day plus one percent ( 1.00% ) per annum; provided that, in no event shall the Alternate Base Rate be less than 0.00%. Any change in the Alternate Base Rate due to a change in the calculation thereof shall be effective at the opening of business on the first Business Day of each week or, if determined more frequently, at the opening of business on the first Business Day immediately following the date of such determination and without necessity of notice being provided to the Borrower or any other Person.", "ner": [[44, 44, "Ratio"], [49, 52, "Percentage"], [78, 83, "Ratio"], [99, 102, "Percentage"], [121, 124, "Percentage"]], "tokenized_text": ["Alternate", "Base", "Rate", "means", "a", "rate", "per", "annum", "determined", "by", "the", "Administrative", "Agent", "on", "the", "first", "Business", "Day", "of", "each", "week", ",", "which", "shall", "be", "the", "highest", "of", "(", "a", ")", "the", "Prime", "Rate", ",", "(", "b", ")", "the", "Federal", "Funds", "Effective", "Rate", "plus", "one-half", "of", "one", "percent", "(", "0", ".", "50", "%", ")", "per", "annum", ",", "and", "(", "c", ")", "the", "Adjusted", "LIBOR", "Rate", "(", "rounded", "upward", ",", "if", "necessary", ",", "to", "the", "next", "whole", "multiple", "of", "1", "/", "100th", "of", "one", "percent", ")", "for", "an", "Interest", "Period", "of", "one", "month", "on", "such", "day", "plus", "one", "percent", "(", "1", ".", "00", "%", ")", "per", "annum", ";", "provided", "that", ",", "in", "no", "event", "shall", "the", "Alternate", "Base", "Rate", "be", "less", "than", "0", ".", "00", "%", ".", "Any", "change", "in", "the", "Alternate", "Base", "Rate", "due", "to", "a", "change", "in", "the", "calculation", "thereof", "shall", "be", "effective", "at", "the", "opening", "of", "business", "on", "the", "first", "Business", "Day", "of", "each", "week", "or", ",", "if", "determined", "more", "frequently", ",", "at", "the", "opening", "of", "business", "on", "the", "first", "Business", "Day", "immediately", "following", "the", "date", "of", "such", "determination", "and", "without", "necessity", "of", "notice", "being", "provided", "to", "the", "Borrower", "or", "any", "other", "Person", "."]}
{"id": "12377", "text": "Bail-In Legislation means, with respect to any EEA Member Country implementing Article55 of Directive 2014/59/ EU of the European Parliament and of the Council of the European Union, the implementing law for such EEA Member Country from time to time which is described in the EU Bail-In Legislation Schedule.", "ner": [[0, 1, "Act"], [14, 19, "Regulation"]], "tokenized_text": ["Bail-In", "Legislation", "means", ",", "with", "respect", "to", "any", "EEA", "Member", "Country", "implementing", "Article55", "of", "Directive", "2014", "/", "59", "/", "EU", "of", "the", "European", "Parliament", "and", "of", "the", "Council", "of", "the", "European", "Union", ",", "the", "implementing", "law", "for", "such", "EEA", "Member", "Country", "from", "time", "to", "time", "which", "is", "described", "in", "the", "EU", "Bail-In", "Legislation", "Schedule", "."]}
{"id": "12379", "text": "Commodity Exchange Act means the Commodity Exchange Act ( 7 U.S.C. 1 et seq.).", "ner": [[0, 2, "Act"], [6, 7, "Act"], [9, 16, "Regulation"]], "tokenized_text": ["Commodity", "Exchange", "Act", "means", "the", "Commodity", "Exchange", "Act", "(", "7", "U", ".", "S", ".", "C", ".", "1", "et", "seq", ".", ")", "."]}
{"id": "12380", "text": "Communications Act means the Communications Act of 1934 and the rulesand regulations of the FCC thereunder.", "ner": [[0, 1, "Act"], [4, 7, "Act"]], "tokenized_text": ["Communications", "Act", "means", "the", "Communications", "Act", "of", "1934", "and", "the", "rulesand", "regulations", "of", "the", "FCC", "thereunder", "."]}
{"id": "12385", "text": "Farm Credit Lender means a federally-chartered Farm Credit System lending institution organized under the Farm Credit Act of 1971 .", "ner": [[14, 18, "Act"]], "tokenized_text": ["Farm", "Credit", "Lender", "means", "a", "federally-chartered", "Farm", "Credit", "System", "lending", "institution", "organized", "under", "the", "Farm", "Credit", "Act", "of", "1971", "."]}
{"id": "12386", "text": "Flood Laws means, collectively, (a)the National Flood Insurance Act of 1968 , (b)the Flood Disaster Protection Act of 1973 , (c)the National Flood Insurance Reform Act of 1994 and (d)the Flood Insurance Reform Act of 2004 , and all other applicable Laws related thereto.", "ner": [[10, 15, "Act"], [21, 26, "Act"], [32, 38, "Act"], [44, 49, "Act"]], "tokenized_text": ["Flood", "Laws", "means", ",", "collectively", ",", "(", "a", ")", "the", "National", "Flood", "Insurance", "Act", "of", "1968", ",", "(", "b", ")", "the", "Flood", "Disaster", "Protection", "Act", "of", "1973", ",", "(", "c", ")", "the", "National", "Flood", "Insurance", "Reform", "Act", "of", "1994", "and", "(", "d", ")", "the", "Flood", "Insurance", "Reform", "Act", "of", "2004", ",", "and", "all", "other", "applicable", "Laws", "related", "thereto", "."]}
{"id": "12387", "text": "Principal Office means the main banking office of the Administrative Agent in Greenwood Village, Colorado, or such other banking office as may be designated in writing by the Administrative Agent to the Borrower from time to time.", "ner": [[12, 15, "Address"]], "tokenized_text": ["Principal", "Office", "means", "the", "main", "banking", "office", "of", "the", "Administrative", "Agent", "in", "Greenwood", "Village", ",", "Colorado", ",", "or", "such", "other", "banking", "office", "as", "may", "be", "designated", "in", "writing", "by", "the", "Administrative", "Agent", "to", "the", "Borrower", "from", "time", "to", "time", "."]}
{"id": "12388", "text": "Qualified ECP Guarantor means, in respect of any Swap Obligation, each Loan Party that has total assets exceeding $10,000,000 at the time the relevant Guaranty or grant of the relevant security interest becomes effective with respect to such Swap Obligation or such other Person as constitutes an eligible contract participant under the Commodity Exchange Act or any regulations promulgated thereunder and can cause another Person to qualify as an eligible contract participant at such time by entering into a keepwell under Section1a(18)(A)(v)(II)of the Commodity Exchange Act.&lt; br/&gt;", "ner": [[20, 25, "Principal"], [59, 61, "Act"]], "tokenized_text": ["Qualified", "ECP", "Guarantor", "means", ",", "in", "respect", "of", "any", "Swap", "Obligation", ",", "each", "Loan", "Party", "that", "has", "total", "assets", "exceeding", "$", "10", ",", "000", ",", "000", "at", "the", "time", "the", "relevant", "Guaranty", "or", "grant", "of", "the", "relevant", "security", "interest", "becomes", "effective", "with", "respect", "to", "such", "Swap", "Obligation", "or", "such", "other", "Person", "as", "constitutes", "an", "eligible", "contract", "participant", "under", "the", "Commodity", "Exchange", "Act", "or", "any", "regulations", "promulgated", "thereunder", "and", "can", "cause", "another", "Person", "to", "qualify", "as", "an", "eligible", "contract", "participant", "at", "such", "time", "by", "entering", "into", "a", "keepwell", "under", "Section1a", "(", "18", ")", "(", "A", ")", "(", "v", ")", "(", "II", ")", "of", "the", "Commodity", "Exchange", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "12389", "text": "Sanctions means any economic or financial sanctions or trade embargoes imposed, administered or enforced from time to time by any Governmental Authority of the United States of America, Canada, the United Kingdom or any member of the European Union.", "ner": [[25, 28, "Parties"]], "tokenized_text": ["Sanctions", "means", "any", "economic", "or", "financial", "sanctions", "or", "trade", "embargoes", "imposed", ",", "administered", "or", "enforced", "from", "time", "to", "time", "by", "any", "Governmental", "Authority", "of", "the", "United", "States", "of", "America", ",", "Canada", ",", "the", "United", "Kingdom", "or", "any", "member", "of", "the", "European", "Union", "."]}
{"id": "12391", "text": "Standard&amp; Poors means Standard&amp; Poors Ratings Services LLC, a subsidiary of The McGraw-Hill Companies,Inc., or any successor or assignee of the business of such division in the business of rating securities and debt.", "ner": [[6, 13, "Parties"], [18, 23, "Parties"]], "tokenized_text": ["Standard", "&", "amp", ";", "Poors", "means", "Standard", "&", "amp", ";", "Poors", "Ratings", "Services", "LLC", ",", "a", "subsidiary", "of", "The", "McGraw-Hill", "Companies", ",", "Inc", ".", ",", "or", "any", "successor", "or", "assignee", "of", "the", "business", "of", "such", "division", "in", "the", "business", "of", "rating", "securities", "and", "debt", "."]}
{"id": "12392", "text": "Swap Obligation means, with respect to any Loan Party, any obligation to pay or perform under any agreement, contract or transaction that constitutes a swap within the meaning of Section1a(47) of the Commodity Exchange Act.&lt; br/&gt;", "ner": [[32, 35, "Regulation"], [38, 40, "Act"]], "tokenized_text": ["Swap", "Obligation", "means", ",", "with", "respect", "to", "any", "Loan", "Party", ",", "any", "obligation", "to", "pay", "or", "perform", "under", "any", "agreement", ",", "contract", "or", "transaction", "that", "constitutes", "a", "swap", "within", "the", "meaning", "of", "Section1a", "(", "47", ")", "of", "the", "Commodity", "Exchange", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "12393", "text": "UCC shall mean the Uniform Commercial Code as the same may be in effect from time to time in the State of New York ; provided that if, by reason of applicable Law, the validity or perfection of any security interest in any Collateral granted under the Loan Documents is governed by the Uniform Commercial Code as in effect in a jurisdiction other than New York, then as to the validity or perfection, as the case may be, of such security interest Uniform Commercial Code shall mean the Uniform Commercial Code as in effect from time to time in such other jurisdictions.", "ner": [[4, 6, "Act"], [20, 23, "Court"]], "tokenized_text": ["UCC", "shall", "mean", "the", "Uniform", "Commercial", "Code", "as", "the", "same", "may", "be", "in", "effect", "from", "time", "to", "time", "in", "the", "State", "of", "New", "York", ";", "provided", "that", "if", ",", "by", "reason", "of", "applicable", "Law", ",", "the", "validity", "or", "perfection", "of", "any", "security", "interest", "in", "any", "Collateral", "granted", "under", "the", "Loan", "Documents", "is", "governed", "by", "the", "Uniform", "Commercial", "Code", "as", "in", "effect", "in", "a", "jurisdiction", "other", "than", "New", "York", ",", "then", "as", "to", "the", "validity", "or", "perfection", ",", "as", "the", "case", "may", "be", ",", "of", "such", "security", "interest", "Uniform", "Commercial", "Code", "shall", "mean", "the", "Uniform", "Commercial", "Code", "as", "in", "effect", "from", "time", "to", "time", "in", "such", "other", "jurisdictions", "."]}
{"id": "12394", "text": "USA Patriot Act means the Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism Act of 2001 , Public Law 107-56 .", "ner": [[0, 2, "Act"], [17, 21, "Act"], [23, 25, "Regulation"]], "tokenized_text": ["USA", "Patriot", "Act", "means", "the", "Uniting", "and", "Strengthening", "America", "by", "Providing", "Appropriate", "Tools", "Required", "to", "Intercept", "and", "Obstruct", "Terrorism", "Act", "of", "2001", ",", "Public", "Law", "107-56", "."]}
{"id": "12396", "text": "(iii) The sum of (A)all aggregate outstanding principal amounts of all Tranches of Incremental Term Loans and (B)all unused Incremental Term Loan Commitments of all Tranches of Incremental Term Loans shall not exceed at any time the Maximum Aggregate Increase Amount. Repayments or prepayments of the principal of any Incremental Term Loans may not be reborrowed. Each Tranche of Incremental Term Loans shall bear interest at the Alternate Base Rate or the Adjusted LIBOR Rate plus such Applicable Margin as is set forth in the Notice of Incremental Term Loan Borrowing related to such Tranche, and shall be subject to the amortization set forth in the applicable Notice of Incremental Term Loan Borrowing relating to such Tranche, provided, however, to the extent that the Applicable Margins for Base Rate Loans or LIBOR Rate Loans under any Tranche of Incremental Term Loans exceed by more than 0.50% the Applicable Margins for the existing Term Loan A-2 Facility, determined as of the initial funding date of such Tranche of Incremental Term Loans, the Applicable Margins for the existing Facilities shall be increased so that the Applicable Margins on such Tranche of Incremental Term Loans and the existing Term Loan A-2 are equal, and the Applicable Margins on the other Facilities are lower than the Applicable Margins on such Tranche of Incremental Term Loans and the existing Term Loan A-2 by the same percentage as they were before the increase in the Applicable Margin of the existing Term Loan A-2 Facility. The final maturity date of any Tranche of Incremental Term Loans shall be no earlier than the Maturity Date with respect to the Term Loan A-2 Facility. The weighted average life of any Tranche of Incremental Term Loans shall be equal to or greater than the weighted average life of the Term Loan A-2 Facility, determined as of the initial funding date of such Tranche of Incremental Term Loans . The original issue discount or the upfront fees applicable to any Tranche of Incremental Term Loans shall not be more than 1.00% of the aggregate principal amount of the Incremental Term Loans thereunder. Any covenant or Event of Default applicable to any Tranche of Incremental Term Loans that is more restrictive than the equivalent covenant or Event of Default set forth in this Agreement shall be deemed to be applicable to all Facilities hereunder. All Incremental Term Loans shall for all purposes be Obligations hereunder and under the Loan Documents.", "ner": [[159, 162, "Percentage"], [362, 365, "Percentage"]], "tokenized_text": ["(", "iii", ")", "The", "sum", "of", "(", "A", ")", "all", "aggregate", "outstanding", "principal", "amounts", "of", "all", "Tranches", "of", "Incremental", "Term", "Loans", "and", "(", "B", ")", "all", "unused", "Incremental", "Term", "Loan", "Commitments", "of", "all", "Tranches", "of", "Incremental", "Term", "Loans", "shall", "not", "exceed", "at", "any", "time", "the", "Maximum", "Aggregate", "Increase", "Amount", ".", "Repayments", "or", "prepayments", "of", "the", "principal", "of", "any", "Incremental", "Term", "Loans", "may", "not", "be", "reborrowed", ".", "Each", "Tranche", "of", "Incremental", "Term", "Loans", "shall", "bear", "interest", "at", "the", "Alternate", "Base", "Rate", "or", "the", "Adjusted", "LIBOR", "Rate", "plus", "such", "Applicable", "Margin", "as", "is", "set", "forth", "in", "the", "Notice", "of", "Incremental", "Term", "Loan", "Borrowing", "related", "to", "such", "Tranche", ",", "and", "shall", "be", "subject", "to", "the", "amortization", "set", "forth", "in", "the", "applicable", "Notice", "of", "Incremental", "Term", "Loan", "Borrowing", "relating", "to", "such", "Tranche", ",", "provided", ",", "however", ",", "to", "the", "extent", "that", "the", "Applicable", "Margins", "for", "Base", "Rate", "Loans", "or", "LIBOR", "Rate", "Loans", "under", "any", "Tranche", "of", "Incremental", "Term", "Loans", "exceed", "by", "more", "than", "0", ".", "50", "%", "the", "Applicable", "Margins", "for", "the", "existing", "Term", "Loan", "A-2", "Facility", ",", "determined", "as", "of", "the", "initial", "funding", "date", "of", "such", "Tranche", "of", "Incremental", "Term", "Loans", ",", "the", "Applicable", "Margins", "for", "the", "existing", "Facilities", "shall", "be", "increased", "so", "that", "the", "Applicable", "Margins", "on", "such", "Tranche", "of", "Incremental", "Term", "Loans", "and", "the", "existing", "Term", "Loan", "A-2", "are", "equal", ",", "and", "the", "Applicable", "Margins", "on", "the", "other", "Facilities", "are", "lower", "than", "the", "Applicable", "Margins", "on", "such", "Tranche", "of", "Incremental", "Term", "Loans", "and", "the", "existing", "Term", "Loan", "A-2", "by", "the", "same", "percentage", "as", "they", "were", "before", "the", "increase", "in", "the", "Applicable", "Margin", "of", "the", "existing", "Term", "Loan", "A-2", "Facility", ".", "The", "final", "maturity", "date", "of", "any", "Tranche", "of", "Incremental", "Term", "Loans", "shall", "be", "no", "earlier", "than", "the", "Maturity", "Date", "with", "respect", "to", "the", "Term", "Loan", "A-2", "Facility", ".", "The", "weighted", "average", "life", "of", "any", "Tranche", "of", "Incremental", "Term", "Loans", "shall", "be", "equal", "to", "or", "greater", "than", "the", "weighted", "average", "life", "of", "the", "Term", "Loan", "A-2", "Facility", ",", "determined", "as", "of", "the", "initial", "funding", "date", "of", "such", "Tranche", "of", "Incremental", "Term", "Loans", ".", "The", "original", "issue", "discount", "or", "the", "upfront", "fees", "applicable", "to", "any", "Tranche", "of", "Incremental", "Term", "Loans", "shall", "not", "be", "more", "than", "1", ".", "00", "%", "of", "the", "aggregate", "principal", "amount", "of", "the", "Incremental", "Term", "Loans", "thereunder", ".", "Any", "covenant", "or", "Event", "of", "Default", "applicable", "to", "any", "Tranche", "of", "Incremental", "Term", "Loans", "that", "is", "more", "restrictive", "than", "the", "equivalent", "covenant", "or", "Event", "of", "Default", "set", "forth", "in", "this", "Agreement", "shall", "be", "deemed", "to", "be", "applicable", "to", "all", "Facilities", "hereunder", ".", "All", "Incremental", "Term", "Loans", "shall", "for", "all", "purposes", "be", "Obligations", "hereunder", "and", "under", "the", "Loan", "Documents", "."]}
{"id": "12402", "text": "2.8 Notes. The obligation of the Borrower to repay the aggregate unpaid principal amount of the Revolving Loans, Swing Line Loans, the Term Loan A-1, the Term Loan A-2, and Incremental Term Loans made to it by each Lender, together with interest thereon, shall, at the request of the applicable Lender, be evidenced by a Revolving Note, a Swing Line Note, a Term Loan A-1 Note, a Term Loan A-2 Note and/or an Incremental Term Loan Note, as the case may be, dated the Closing Date, the effective date of the applicable Incremental Term Loan Funding Agreement, or the date of such request, as applicable, payable to the order of such Lender in a face amount equal to the Revolving Commitment, Swing Line Commitment, Term Loan A-1 Commitment, Term Loan A-2 Commitment or Incremental Term Loan Commitment, as applicable, of such Lender. The Borrower hereby unconditionally promises to pay, to the order of each of the Lenders, the Administrative Agent, each Issuing Lender and the Swing Line Lender, as applicable, the Loans and other Obligations as provided in this Agreement and the other Loan Documents.", "ner": [[27, 29, "Principal"], [32, 34, "Principal"], [111, 115, "Title"]], "tokenized_text": ["2", ".", "8", "Notes", ".", "The", "obligation", "of", "the", "Borrower", "to", "repay", "the", "aggregate", "unpaid", "principal", "amount", "of", "the", "Revolving", "Loans", ",", "Swing", "Line", "Loans", ",", "the", "Term", "Loan", "A-1", ",", "the", "Term", "Loan", "A-2", ",", "and", "Incremental", "Term", "Loans", "made", "to", "it", "by", "each", "Lender", ",", "together", "with", "interest", "thereon", ",", "shall", ",", "at", "the", "request", "of", "the", "applicable", "Lender", ",", "be", "evidenced", "by", "a", "Revolving", "Note", ",", "a", "Swing", "Line", "Note", ",", "a", "Term", "Loan", "A-1", "Note", ",", "a", "Term", "Loan", "A-2", "Note", "and", "/", "or", "an", "Incremental", "Term", "Loan", "Note", ",", "as", "the", "case", "may", "be", ",", "dated", "the", "Closing", "Date", ",", "the", "effective", "date", "of", "the", "applicable", "Incremental", "Term", "Loan", "Funding", "Agreement", ",", "or", "the", "date", "of", "such", "request", ",", "as", "applicable", ",", "payable", "to", "the", "order", "of", "such", "Lender", "in", "a", "face", "amount", "equal", "to", "the", "Revolving", "Commitment", ",", "Swing", "Line", "Commitment", ",", "Term", "Loan", "A-1", "Commitment", ",", "Term", "Loan", "A-2", "Commitment", "or", "Incremental", "Term", "Loan", "Commitment", ",", "as", "applicable", ",", "of", "such", "Lender", ".", "The", "Borrower", "hereby", "unconditionally", "promises", "to", "pay", ",", "to", "the", "order", "of", "each", "of", "the", "Lenders", ",", "the", "Administrative", "Agent", ",", "each", "Issuing", "Lender", "and", "the", "Swing", "Line", "Lender", ",", "as", "applicable", ",", "the", "Loans", "and", "other", "Obligations", "as", "provided", "in", "this", "Agreement", "and", "the", "other", "Loan", "Documents", "."]}
{"id": "12403", "text": "(a) Issuance of Letters of Credit. Subject to the terms and conditions of this Agreement and the other Loan Documents, including Sections4.2 and 4.3, and in reliance upon the representations and warranties set forth in this Agreement and the other Loan Documents and in reliance on the agreements of the Revolving Lenders set forth in this Section2.9, each Issuing Lender severally agrees to issue standby and commercial letters of credit (the Letters of Credit) for the account of the Borrower and, if applicable, any other Loan Party, on any Business Day from the Closing Date through but not including the Letter of Credit Expiration Date. The Borrower may at any time prior to the Letter of Credit Expiration Date request the issuance of a Letter of Credit, or an amendment or extension of a Letter of Credit, by delivering to an Issuing Lender (with a copy to the Administrative Agent) a completed application and agreement for letters of credit, or request for such amendment or extension, as applicable, in such form as such Issuing Lender may specify from time to time (each a Letter of Credit Request) by no later than 11:00 a.m.at least five Business Days, or such shorter period as may be agreed to by an Issuing Lender, in advance of the proposed date of issuance, amendment or extension. Promptly after receipt of any Letter of Credit Request, such Issuing Lender shall confirm with the Administrative Agent (in writing) that the Administrative Agent has received a copy of such Letter of Credit Request and if not, such Issuing Lender will provide the Administrative Agent with a copy thereof. Unless such Issuing Lender has received notice from any Lender, the Administrative Agent or any Loan Party, at least one Business Day prior to the requested date of issuance, amendment or extension of the applicable Letter of Credit, that one or more applicable conditions in ArticleIV is not satisfied, then such Issuing Lender will issue a Letter of Credit or agree to such amendment or extension, provided that each Letter of Credit shall (i)have a maximum maturity of 12 months from the date of issuance, provided, further, that a Letter of Credit may contain renewal terms satisfactory to the Issuing Lender and (ii)in no event expire later than the Letter of Credit Expiration Date . At no time shall (A)the Letter of Credit Obligations exceed the Letter of Credit Sublimit or (B)the Revolving Credit Facility Usage exceed the Revolving Commitments. Each request by the Borrower for the issuance, amendment or extension of a Letter of Credit shall be deemed to be a representation by the Borrower that it shall be in compliance with the preceding sentence and with ArticleIV after giving effect to the requested issuance, amendment or extension of such Letter of Credit. Promptly after its delivery of any Letter of Credit or any amendment to a Letter of Credit to the beneficiary thereof, the applicable Issuing Lender will also deliver to the Borrower and the Administrative Agent a true and complete copy of such Letter of Credit or amendment. The Borrower unconditionally guarantees all obligations of any other Loan Party with respect to Letters of Credit issued by the Issuing Lender for the account of such Loan Party.", "ner": [[5, 7, "Title"], [25, 31, "Regulation"], [117, 119, "RenewalTerm"], [361, 361, "Regulation"], [399, 400, "TerminationDate"]], "tokenized_text": ["(", "a", ")", "Issuance", "of", "Letters", "of", "Credit", ".", "Subject", "to", "the", "terms", "and", "conditions", "of", "this", "Agreement", "and", "the", "other", "Loan", "Documents", ",", "including", "Sections4", ".", "2", "and", "4", ".", "3", ",", "and", "in", "reliance", "upon", "the", "representations", "and", "warranties", "set", "forth", "in", "this", "Agreement", "and", "the", "other", "Loan", "Documents", "and", "in", "reliance", "on", "the", "agreements", "of", "the", "Revolving", "Lenders", "set", "forth", "in", "this", "Section2", ".", "9", ",", "each", "Issuing", "Lender", "severally", "agrees", "to", "issue", "standby", "and", "commercial", "letters", "of", "credit", "(", "the", "Letters", "of", "Credit", ")", "for", "the", "account", "of", "the", "Borrower", "and", ",", "if", "applicable", ",", "any", "other", "Loan", "Party", ",", "on", "any", "Business", "Day", "from", "the", "Closing", "Date", "through", "but", "not", "including", "the", "Letter", "of", "Credit", "Expiration", "Date", ".", "The", "Borrower", "may", "at", "any", "time", "prior", "to", "the", "Letter", "of", "Credit", "Expiration", "Date", "request", "the", "issuance", "of", "a", "Letter", "of", "Credit", ",", "or", "an", "amendment", "or", "extension", "of", "a", "Letter", "of", "Credit", ",", "by", "delivering", "to", "an", "Issuing", "Lender", "(", "with", "a", "copy", "to", "the", "Administrative", "Agent", ")", "a", "completed", "application", "and", "agreement", "for", "letters", "of", "credit", ",", "or", "request", "for", "such", "amendment", "or", "extension", ",", "as", "applicable", ",", "in", "such", "form", "as", "such", "Issuing", "Lender", "may", "specify", "from", "time", "to", "time", "(", "each", "a", "Letter", "of", "Credit", "Request", ")", "by", "no", "later", "than", "11", ":", "00", "a", ".", "m", ".", "at", "least", "five", "Business", "Days", ",", "or", "such", "shorter", "period", "as", "may", "be", "agreed", "to", "by", "an", "Issuing", "Lender", ",", "in", "advance", "of", "the", "proposed", "date", "of", "issuance", ",", "amendment", "or", "extension", ".", "Promptly", "after", "receipt", "of", "any", "Letter", "of", "Credit", "Request", ",", "such", "Issuing", "Lender", "shall", "confirm", "with", "the", "Administrative", "Agent", "(", "in", "writing", ")", "that", "the", "Administrative", "Agent", "has", "received", "a", "copy", "of", "such", "Letter", "of", "Credit", "Request", "and", "if", "not", ",", "such", "Issuing", "Lender", "will", "provide", "the", "Administrative", "Agent", "with", "a", "copy", "thereof", ".", "Unless", "such", "Issuing", "Lender", "has", "received", "notice", "from", "any", "Lender", ",", "the", "Administrative", "Agent", "or", "any", "Loan", "Party", ",", "at", "least", "one", "Business", "Day", "prior", "to", "the", "requested", "date", "of", "issuance", ",", "amendment", "or", "extension", "of", "the", "applicable", "Letter", "of", "Credit", ",", "that", "one", "or", "more", "applicable", "conditions", "in", "ArticleIV", "is", "not", "satisfied", ",", "then", "such", "Issuing", "Lender", "will", "issue", "a", "Letter", "of", "Credit", "or", "agree", "to", "such", "amendment", "or", "extension", ",", "provided", "that", "each", "Letter", "of", "Credit", "shall", "(", "i", ")", "have", "a", "maximum", "maturity", "of", "12", "months", "from", "the", "date", "of", "issuance", ",", "provided", ",", "further", ",", "that", "a", "Letter", "of", "Credit", "may", "contain", "renewal", "terms", "satisfactory", "to", "the", "Issuing", "Lender", "and", "(", "ii", ")", "in", "no", "event", "expire", "later", "than", "the", "Letter", "of", "Credit", "Expiration", "Date", ".", "At", "no", "time", "shall", "(", "A", ")", "the", "Letter", "of", "Credit", "Obligations", "exceed", "the", "Letter", "of", "Credit", "Sublimit", "or", "(", "B", ")", "the", "Revolving", "Credit", "Facility", "Usage", "exceed", "the", "Revolving", "Commitments", ".", "Each", "request", "by", "the", "Borrower", "for", "the", "issuance", ",", "amendment", "or", "extension", "of", "a", "Letter", "of", "Credit", "shall", "be", "deemed", "to", "be", "a", "representation", "by", "the", "Borrower", "that", "it", "shall", "be", "in", "compliance", "with", "the", "preceding", "sentence", "and", "with", "ArticleIV", "after", "giving", "effect", "to", "the", "requested", "issuance", ",", "amendment", "or", "extension", "of", "such", "Letter", "of", "Credit", ".", "Promptly", "after", "its", "delivery", "of", "any", "Letter", "of", "Credit", "or", "any", "amendment", "to", "a", "Letter", "of", "Credit", "to", "the", "beneficiary", "thereof", ",", "the", "applicable", "Issuing", "Lender", "will", "also", "deliver", "to", "the", "Borrower", "and", "the", "Administrative", "Agent", "a", "true", "and", "complete", "copy", "of", "such", "Letter", "of", "Credit", "or", "amendment", ".", "The", "Borrower", "unconditionally", "guarantees", "all", "obligations", "of", "any", "other", "Loan", "Party", "with", "respect", "to", "Letters", "of", "Credit", "issued", "by", "the", "Issuing", "Lender", "for", "the", "account", "of", "such", "Loan", "Party", "."]}
{"id": "12405", "text": "(b) Disposition of Assets. Promptly upon the receipt by any Loan Party or Subsidiary thereof of Net Cash Proceeds from any Disposition, the Borrower shall prepay, or cause such other Loan Party or Subsidiary to prepay, Obligations in an aggregate amount equal to 100% of such Net Cash Proceeds of such Disposition. All such proceeds shall be paid and applied in accordance with Sections2.13(f)and (g). Notwithstanding anything herein to the contrary, no such mandatory prepayment shall constitute or be deemed to constitute a cure of any Default or Event of Default arising as a result of the Disposition giving rise to such prepayment obligation.", "ner": [[49, 50, "Percentage"], [71, 73, "Regulation"]], "tokenized_text": ["(", "b", ")", "Disposition", "of", "Assets", ".", "Promptly", "upon", "the", "receipt", "by", "any", "Loan", "Party", "or", "Subsidiary", "thereof", "of", "Net", "Cash", "Proceeds", "from", "any", "Disposition", ",", "the", "Borrower", "shall", "prepay", ",", "or", "cause", "such", "other", "Loan", "Party", "or", "Subsidiary", "to", "prepay", ",", "Obligations", "in", "an", "aggregate", "amount", "equal", "to", "100", "%", "of", "such", "Net", "Cash", "Proceeds", "of", "such", "Disposition", ".", "All", "such", "proceeds", "shall", "be", "paid", "and", "applied", "in", "accordance", "with", "Sections2", ".", "13", "(", "f", ")", "and", "(", "g", ")", ".", "Notwithstanding", "anything", "herein", "to", "the", "contrary", ",", "no", "such", "mandatory", "prepayment", "shall", "constitute", "or", "be", "deemed", "to", "constitute", "a", "cure", "of", "any", "Default", "or", "Event", "of", "Default", "arising", "as", "a", "result", "of", "the", "Disposition", "giving", "rise", "to", "such", "prepayment", "obligation", "."]}
{"id": "12406", "text": "(c) Casualty Events. Promptly upon the receipt by any Loan Party or Subsidiary thereof of Net Cash Proceeds of any Casualty Event or series of related Casualty Events affecting any property of any Loan Party or any Subsidiary of any Loan Party, the Borrower shall prepay, or cause such other Loan Party or Subsidiary thereof to prepay, Obligations in an aggregate amount equal to 100% of such Net Cash Proceeds of such Casualty Event(s). All such proceeds shall be paid and applied in accordance with Sections2.13(f)and (g). Notwithstanding anything herein to the contrary, no such mandatory prepayment shall constitute or be deemed to constitute a cure of any Default or Event of Default arising as a result of such Casualty Event(s)giving rise to such prepayment obligation.", "ner": [[70, 71, "Percentage"], [96, 98, "Regulation"]], "tokenized_text": ["(", "c", ")", "Casualty", "Events", ".", "Promptly", "upon", "the", "receipt", "by", "any", "Loan", "Party", "or", "Subsidiary", "thereof", "of", "Net", "Cash", "Proceeds", "of", "any", "Casualty", "Event", "or", "series", "of", "related", "Casualty", "Events", "affecting", "any", "property", "of", "any", "Loan", "Party", "or", "any", "Subsidiary", "of", "any", "Loan", "Party", ",", "the", "Borrower", "shall", "prepay", ",", "or", "cause", "such", "other", "Loan", "Party", "or", "Subsidiary", "thereof", "to", "prepay", ",", "Obligations", "in", "an", "aggregate", "amount", "equal", "to", "100", "%", "of", "such", "Net", "Cash", "Proceeds", "of", "such", "Casualty", "Event", "(", "s", ")", ".", "All", "such", "proceeds", "shall", "be", "paid", "and", "applied", "in", "accordance", "with", "Sections2", ".", "13", "(", "f", ")", "and", "(", "g", ")", ".", "Notwithstanding", "anything", "herein", "to", "the", "contrary", ",", "no", "such", "mandatory", "prepayment", "shall", "constitute", "or", "be", "deemed", "to", "constitute", "a", "cure", "of", "any", "Default", "or", "Event", "of", "Default", "arising", "as", "a", "result", "of", "such", "Casualty", "Event", "(", "s", ")", "giving", "rise", "to", "such", "prepayment", "obligation", "."]}
{"id": "12407", "text": "(d) Equity Issuances. Promptly upon receipt by any Loan Party or Subsidiary thereof of Net Cash Proceeds from any Equity Issuance by any Loan Party other than the Parent, other than Equity Issuances expressly permitted under Section7.13(a), the Borrower shall prepay, or cause such other Loan Party or Subsidiary to prepay, Obligations in an aggregate amount equal to 100% of Net Cash Proceeds of such Equity Issuance. Promptly upon receipt by any Loan Party or Subsidiary thereof of Net Cash Proceeds from any Equity Issuance by the Parent, other than Equity Issuances to the extent expressly permitted under Section7.13(b), the Borrower shall prepay, or cause such other Loan Party or Subsidiary to prepay, Obligations in an aggregate amount equal to 50% of Net Cash Proceeds of such Equity Issuance. All such proceeds shall be paid and applied in accordance with Sections2.13(f)and (g). Notwithstanding anything herein to the contrary, no such mandatory prepayment shall constitute or be deemed to constitute a cure of any Default or Event of Default arising as a result of such Equity Issuance giving rise to such prepayment obligation.", "ner": [[70, 71, "Percentage"], [143, 144, "Percentage"]], "tokenized_text": ["(", "d", ")", "Equity", "Issuances", ".", "Promptly", "upon", "receipt", "by", "any", "Loan", "Party", "or", "Subsidiary", "thereof", "of", "Net", "Cash", "Proceeds", "from", "any", "Equity", "Issuance", "by", "any", "Loan", "Party", "other", "than", "the", "Parent", ",", "other", "than", "Equity", "Issuances", "expressly", "permitted", "under", "Section7", ".", "13", "(", "a", ")", ",", "the", "Borrower", "shall", "prepay", ",", "or", "cause", "such", "other", "Loan", "Party", "or", "Subsidiary", "to", "prepay", ",", "Obligations", "in", "an", "aggregate", "amount", "equal", "to", "100", "%", "of", "Net", "Cash", "Proceeds", "of", "such", "Equity", "Issuance", ".", "Promptly", "upon", "receipt", "by", "any", "Loan", "Party", "or", "Subsidiary", "thereof", "of", "Net", "Cash", "Proceeds", "from", "any", "Equity", "Issuance", "by", "the", "Parent", ",", "other", "than", "Equity", "Issuances", "to", "the", "extent", "expressly", "permitted", "under", "Section7", ".", "13", "(", "b", ")", ",", "the", "Borrower", "shall", "prepay", ",", "or", "cause", "such", "other", "Loan", "Party", "or", "Subsidiary", "to", "prepay", ",", "Obligations", "in", "an", "aggregate", "amount", "equal", "to", "50", "%", "of", "Net", "Cash", "Proceeds", "of", "such", "Equity", "Issuance", ".", "All", "such", "proceeds", "shall", "be", "paid", "and", "applied", "in", "accordance", "with", "Sections2", ".", "13", "(", "f", ")", "and", "(", "g", ")", ".", "Notwithstanding", "anything", "herein", "to", "the", "contrary", ",", "no", "such", "mandatory", "prepayment", "shall", "constitute", "or", "be", "deemed", "to", "constitute", "a", "cure", "of", "any", "Default", "or", "Event", "of", "Default", "arising", "as", "a", "result", "of", "such", "Equity", "Issuance", "giving", "rise", "to", "such", "prepayment", "obligation", "."]}
{"id": "12408", "text": "(e) Debt Incurrence. Promptly upon the receipt by any Loan Party or Subsidiary thereof of the Net Cash Proceeds of any Debt Incurrence, other than a Debt Incurrence permitted under Section7.1, the Borrower shall prepay, or cause such other Loan Party or Subsidiary thereof to prepay, Obligations in an amount equal to 100% of the amount of such Net Cash Proceeds. All such proceeds shall be paid and applied in accordance with Sections2.13(f)and (g). Notwithstanding anything herein to the contrary, any such prepayment shall not constitute or be deemed to be a cure of any Default or Event of Default arising as a result of such Debt Incurrence.", "ner": [[61, 62, "Percentage"], [83, 85, "Regulation"]], "tokenized_text": ["(", "e", ")", "Debt", "Incurrence", ".", "Promptly", "upon", "the", "receipt", "by", "any", "Loan", "Party", "or", "Subsidiary", "thereof", "of", "the", "Net", "Cash", "Proceeds", "of", "any", "Debt", "Incurrence", ",", "other", "than", "a", "Debt", "Incurrence", "permitted", "under", "Section7", ".", "1", ",", "the", "Borrower", "shall", "prepay", ",", "or", "cause", "such", "other", "Loan", "Party", "or", "Subsidiary", "thereof", "to", "prepay", ",", "Obligations", "in", "an", "amount", "equal", "to", "100", "%", "of", "the", "amount", "of", "such", "Net", "Cash", "Proceeds", ".", "All", "such", "proceeds", "shall", "be", "paid", "and", "applied", "in", "accordance", "with", "Sections2", ".", "13", "(", "f", ")", "and", "(", "g", ")", ".", "Notwithstanding", "anything", "herein", "to", "the", "contrary", ",", "any", "such", "prepayment", "shall", "not", "constitute", "or", "be", "deemed", "to", "be", "a", "cure", "of", "any", "Default", "or", "Event", "of", "Default", "arising", "as", "a", "result", "of", "such", "Debt", "Incurrence", "."]}
{"id": "12409", "text": "(A) No Defaulting Lender shall be entitled to receive any Revolving Unused Commitment Fee, Term Loan A-1 Unused Commitment Fee or Term Loan A-2 Unused Commitment Fee for any period during which that Lender is a Defaulting Lender (and, subject to clause (C)below, the Borrower shall not be required to pay any such fee that otherwise would have been required to have been paid to that Defaulting Lender); provided that, if such Defaulting Lender has not fully funded its Pro Rata Share of the Initial Credit Extension, it shall be deemed to have been a Defaulting Lender with respect to such unfunded share (calculated on a pro rata basis) since the Execution Date.", "ner": [], "tokenized_text": ["(", "A", ")", "No", "Defaulting", "Lender", "shall", "be", "entitled", "to", "receive", "any", "Revolving", "Unused", "Commitment", "Fee", ",", "Term", "Loan", "A-1", "Unused", "Commitment", "Fee", "or", "Term", "Loan", "A-2", "Unused", "Commitment", "Fee", "for", "any", "period", "during", "which", "that", "Lender", "is", "a", "Defaulting", "Lender", "(", "and", ",", "subject", "to", "clause", "(", "C", ")", "below", ",", "the", "Borrower", "shall", "not", "be", "required", "to", "pay", "any", "such", "fee", "that", "otherwise", "would", "have", "been", "required", "to", "have", "been", "paid", "to", "that", "Defaulting", "Lender", ")", ";", "provided", "that", ",", "if", "such", "Defaulting", "Lender", "has", "not", "fully", "funded", "its", "Pro", "Rata", "Share", "of", "the", "Initial", "Credit", "Extension", ",", "it", "shall", "be", "deemed", "to", "have", "been", "a", "Defaulting", "Lender", "with", "respect", "to", "such", "unfunded", "share", "(", "calculated", "on", "a", "pro", "rata", "basis", ")", "since", "the", "Execution", "Date", "."]}
{"id": "12411", "text": "(A) Reallocation with respect to Initial Credit Extension. All or any part of such Defaulting Lenders Pro Rata Share of the Initial Credit Extension may be reallocated among Voluntarily Increasing Lenders in accordance with the terms and conditions hereof and of the Fee Letters; provided that, (1)such reallocation shall be deemed to have occurred on Execution Date, (2)such reallocation may be offered by the Administrative Agent in its sole discretion to existing Lenders and/or to any other Person that (x)qualifies as an Eligible Assignee and is reasonably acceptable to the Borrower, (y)has agreed to become a Lender in respect of all or a portion of the unfunded portion of such Defaulting Lenders Pro Rata Share of the Initial Credit Extension, and (z)such existing Lender or Eligible Assignee agrees to accept such reallocation in its sole discretion (a Voluntarily Increasing Lender), executes and delivers such documentation as the Administrative Agent may request to give effect to such reallocation and funds its reallocated portion of the unfunded portion of such Defaulting Lenders Pro Rata Share of the Initial Credit Extension. No reallocation hereunder shall constitute a waiver or release of any claim of any party hereunder against a Defaulting Lender arising from that Lender having become a Defaulting Lender.", "ner": [], "tokenized_text": ["(", "A", ")", "Reallocation", "with", "respect", "to", "Initial", "Credit", "Extension", ".", "All", "or", "any", "part", "of", "such", "Defaulting", "Lenders", "Pro", "Rata", "Share", "of", "the", "Initial", "Credit", "Extension", "may", "be", "reallocated", "among", "Voluntarily", "Increasing", "Lenders", "in", "accordance", "with", "the", "terms", "and", "conditions", "hereof", "and", "of", "the", "Fee", "Letters", ";", "provided", "that", ",", "(", "1", ")", "such", "reallocation", "shall", "be", "deemed", "to", "have", "occurred", "on", "Execution", "Date", ",", "(", "2", ")", "such", "reallocation", "may", "be", "offered", "by", "the", "Administrative", "Agent", "in", "its", "sole", "discretion", "to", "existing", "Lenders", "and", "/", "or", "to", "any", "other", "Person", "that", "(", "x", ")", "qualifies", "as", "an", "Eligible", "Assignee", "and", "is", "reasonably", "acceptable", "to", "the", "Borrower", ",", "(", "y", ")", "has", "agreed", "to", "become", "a", "Lender", "in", "respect", "of", "all", "or", "a", "portion", "of", "the", "unfunded", "portion", "of", "such", "Defaulting", "Lenders", "Pro", "Rata", "Share", "of", "the", "Initial", "Credit", "Extension", ",", "and", "(", "z", ")", "such", "existing", "Lender", "or", "Eligible", "Assignee", "agrees", "to", "accept", "such", "reallocation", "in", "its", "sole", "discretion", "(", "a", "Voluntarily", "Increasing", "Lender", ")", ",", "executes", "and", "delivers", "such", "documentation", "as", "the", "Administrative", "Agent", "may", "request", "to", "give", "effect", "to", "such", "reallocation", "and", "funds", "its", "reallocated", "portion", "of", "the", "unfunded", "portion", "of", "such", "Defaulting", "Lenders", "Pro", "Rata", "Share", "of", "the", "Initial", "Credit", "Extension", ".", "No", "reallocation", "hereunder", "shall", "constitute", "a", "waiver", "or", "release", "of", "any", "claim", "of", "any", "party", "hereunder", "against", "a", "Defaulting", "Lender", "arising", "from", "that", "Lender", "having", "become", "a", "Defaulting", "Lender", "."]}
{"id": "12415", "text": "(a) Quarterly Financial Statements. As soon as available and in any event no later than the earlier of (i)10 days after Parent is or would be required to file a report Form10-Q with the Securities and Exchange Commission in compliance with the reporting requirements of Section13 or 15(d)of the Securities Exchange Act of 1934 , as amended (whether or not the Borrower is subject to such reporting requirements), and (ii)50 days after the end of each of the first three fiscal quarters in each fiscal year of the Borrower, financial statements of the Parent consisting of a consolidated balance sheet as of the end of such fiscal quarter, related consolidated statements of income for the fiscal quarter then ended and the fiscal year through that date, and consolidated stockholders equity and cash flows for the fiscal year through that date, all in reasonable detail and certified by a Compliance Officer of the Borrower as having been prepared in accordance with GAAP (subject to normal year-end audit adjustments), consistently applied, and setting forth in comparative form the respective financial statements for the corresponding date and period in the previous fiscal year.", "ner": [[51, 56, "Regulation"], [59, 63, "Act"]], "tokenized_text": ["(", "a", ")", "Quarterly", "Financial", "Statements", ".", "As", "soon", "as", "available", "and", "in", "any", "event", "no", "later", "than", "the", "earlier", "of", "(", "i", ")", "10", "days", "after", "Parent", "is", "or", "would", "be", "required", "to", "file", "a", "report", "Form10-Q", "with", "the", "Securities", "and", "Exchange", "Commission", "in", "compliance", "with", "the", "reporting", "requirements", "of", "Section13", "or", "15", "(", "d", ")", "of", "the", "Securities", "Exchange", "Act", "of", "1934", ",", "as", "amended", "(", "whether", "or", "not", "the", "Borrower", "is", "subject", "to", "such", "reporting", "requirements", ")", ",", "and", "(", "ii", ")", "50", "days", "after", "the", "end", "of", "each", "of", "the", "first", "three", "fiscal", "quarters", "in", "each", "fiscal", "year", "of", "the", "Borrower", ",", "financial", "statements", "of", "the", "Parent", "consisting", "of", "a", "consolidated", "balance", "sheet", "as", "of", "the", "end", "of", "such", "fiscal", "quarter", ",", "related", "consolidated", "statements", "of", "income", "for", "the", "fiscal", "quarter", "then", "ended", "and", "the", "fiscal", "year", "through", "that", "date", ",", "and", "consolidated", "stockholders", "equity", "and", "cash", "flows", "for", "the", "fiscal", "year", "through", "that", "date", ",", "all", "in", "reasonable", "detail", "and", "certified", "by", "a", "Compliance", "Officer", "of", "the", "Borrower", "as", "having", "been", "prepared", "in", "accordance", "with", "GAAP", "(", "subject", "to", "normal", "year-end", "audit", "adjustments", ")", ",", "consistently", "applied", ",", "and", "setting", "forth", "in", "comparative", "form", "the", "respective", "financial", "statements", "for", "the", "corresponding", "date", "and", "period", "in", "the", "previous", "fiscal", "year", "."]}
{"id": "12416", "text": "(b) Annual Financial Statements. As soon as available and in any event no later than the earlier of (i)10 days after Parent is or would be required to file a report Form10-K with the Securities and Exchange Commission in compliance with the reporting requirements of Section13 or 15(d)of the Securities Exchange Act of 1934 , as amended (whether or not the Borrower is subject to such reporting", "ner": [[51, 56, "Regulation"], [59, 63, "Act"]], "tokenized_text": ["(", "b", ")", "Annual", "Financial", "Statements", ".", "As", "soon", "as", "available", "and", "in", "any", "event", "no", "later", "than", "the", "earlier", "of", "(", "i", ")", "10", "days", "after", "Parent", "is", "or", "would", "be", "required", "to", "file", "a", "report", "Form10-K", "with", "the", "Securities", "and", "Exchange", "Commission", "in", "compliance", "with", "the", "reporting", "requirements", "of", "Section13", "or", "15", "(", "d", ")", "of", "the", "Securities", "Exchange", "Act", "of", "1934", ",", "as", "amended", "(", "whether", "or", "not", "the", "Borrower", "is", "subject", "to", "such", "reporting"]}
{"id": "12419", "text": "6.4 Payment of Liabilities, Including Taxes, Etc. Each Loan Party shall, and shall cause each of its Subsidiaries to, pay, discharge or otherwise satisfy all Indebtedness and other liabilities (including all lawful claims that, if unpaid, would by Law become a Lien on the assets of any Loan Party) to which it is subject or that are asserted against it, promptly as and when the same shall become due and payable, including all income and other material taxes, assessments and governmental charges upon it or any of its properties, assets, income or profits, prior to the date on which penalties attach thereto, except to the extent that such liabilities, including taxes, assessments or governmental charges, are being contested in good faith and by appropriate and lawful proceedings diligently conducted and for which such reserve or other appropriate provisions, if any, as shall be required by GAAP shall have been made.", "ner": [], "tokenized_text": ["6", ".", "4", "Payment", "of", "Liabilities", ",", "Including", "Taxes", ",", "Etc", ".", "Each", "Loan", "Party", "shall", ",", "and", "shall", "cause", "each", "of", "its", "Subsidiaries", "to", ",", "pay", ",", "discharge", "or", "otherwise", "satisfy", "all", "Indebtedness", "and", "other", "liabilities", "(", "including", "all", "lawful", "claims", "that", ",", "if", "unpaid", ",", "would", "by", "Law", "become", "a", "Lien", "on", "the", "assets", "of", "any", "Loan", "Party", ")", "to", "which", "it", "is", "subject", "or", "that", "are", "asserted", "against", "it", ",", "promptly", "as", "and", "when", "the", "same", "shall", "become", "due", "and", "payable", ",", "including", "all", "income", "and", "other", "material", "taxes", ",", "assessments", "and", "governmental", "charges", "upon", "it", "or", "any", "of", "its", "properties", ",", "assets", ",", "income", "or", "profits", ",", "prior", "to", "the", "date", "on", "which", "penalties", "attach", "thereto", ",", "except", "to", "the", "extent", "that", "such", "liabilities", ",", "including", "taxes", ",", "assessments", "or", "governmental", "charges", ",", "are", "being", "contested", "in", "good", "faith", "and", "by", "appropriate", "and", "lawful", "proceedings", "diligently", "conducted", "and", "for", "which", "such", "reserve", "or", "other", "appropriate", "provisions", ",", "if", "any", ",", "as", "shall", "be", "required", "by", "GAAP", "shall", "have", "been", "made", "."]}
{"id": "12420", "text": "(b) Each of the Loan Parties shall, and shall cause each of its Subsidiaries, Affiliates, officers, directors, employees and agents to, comply with all applicable Anti-Corruption Laws , Anti-Terrorism Laws and Sanctions. The Borrower shall implement and maintain in effect policies and procedures designed to ensure compliance by the Loan Parties and their respective Subsidiaries, Affiliates, officers, directors, employees and agents with all applicable Anti-Corruption Laws , Anti-Terrorism Laws and Sanctions.", "ner": [[33, 34, "Act"], [36, 37, "Act"]], "tokenized_text": ["(", "b", ")", "Each", "of", "the", "Loan", "Parties", "shall", ",", "and", "shall", "cause", "each", "of", "its", "Subsidiaries", ",", "Affiliates", ",", "officers", ",", "directors", ",", "employees", "and", "agents", "to", ",", "comply", "with", "all", "applicable", "Anti-Corruption", "Laws", ",", "Anti-Terrorism", "Laws", "and", "Sanctions", ".", "The", "Borrower", "shall", "implement", "and", "maintain", "in", "effect", "policies", "and", "procedures", "designed", "to", "ensure", "compliance", "by", "the", "Loan", "Parties", "and", "their", "respective", "Subsidiaries", ",", "Affiliates", ",", "officers", ",", "directors", ",", "employees", "and", "agents", "with", "all", "applicable", "Anti-Corruption", "Laws", ",", "Anti-Terrorism", "Laws", "and", "Sanctions", "."]}
{"id": "12421", "text": "7.5 Loans and Investments. No Loan Party shall, nor shall any Loan Party permit any of its Subsidiaries to, at any time make or suffer to remain outstanding any Investment or agree, become or remain liable to make any Investment, except:", "ner": [], "tokenized_text": ["7", ".", "5", "Loans", "and", "Investments", ".", "No", "Loan", "Party", "shall", ",", "nor", "shall", "any", "Loan", "Party", "permit", "any", "of", "its", "Subsidiaries", "to", ",", "at", "any", "time", "make", "or", "suffer", "to", "remain", "outstanding", "any", "Investment", "or", "agree", ",", "become", "or", "remain", "liable", "to", "make", "any", "Investment", ",", "except", ":"]}
{"id": "12422", "text": "7.8 Dispositions of Assets or Subsidiaries. No Loan Party shall, nor shall any Loan Party permit any of its Subsidiaries to, Dispose of, voluntarily or involuntarily, any of its properties or assets, tangible or intangible (including sale, assignment, discount or other Disposition of accounts, contract rights, chattel paper, equipment or general intangibles with or without recourse or of capital stock, shares of beneficial interest, partnership interests or limited liability company interests or other Equity Interests of a Subsidiary of such Loan Party), except:", "ner": [], "tokenized_text": ["7", ".", "8", "Dispositions", "of", "Assets", "or", "Subsidiaries", ".", "No", "Loan", "Party", "shall", ",", "nor", "shall", "any", "Loan", "Party", "permit", "any", "of", "its", "Subsidiaries", "to", ",", "Dispose", "of", ",", "voluntarily", "or", "involuntarily", ",", "any", "of", "its", "properties", "or", "assets", ",", "tangible", "or", "intangible", "(", "including", "sale", ",", "assignment", ",", "discount", "or", "other", "Disposition", "of", "accounts", ",", "contract", "rights", ",", "chattel", "paper", ",", "equipment", "or", "general", "intangibles", "with", "or", "without", "recourse", "or", "of", "capital", "stock", ",", "shares", "of", "beneficial", "interest", ",", "partnership", "interests", "or", "limited", "liability", "company", "interests", "or", "other", "Equity", "Interests", "of", "a", "Subsidiary", "of", "such", "Loan", "Party", ")", ",", "except", ":"]}
{"id": "12424", "text": "7.9 Use of Proceeds. No Loan Party shall (a)use the proceeds of any Loan or other Credit Extension hereunder, whether directly or indirectly, and whether immediately, incidentally or ultimately, to purchase or carry margin stock (within the meaning of Regulation U, T or X as promulgated by the Board) or to extend credit to others for the purpose of purchasing or carrying margin stock or to refund indebtedness originally incurred for such purpose or (b)request any Credit Extension or use (or permit the use by any of its Subsidiaries or its or their respective Affiliates, directors, officers, employees or agents of) the proceeds of any Credit Extension, whether directly or indirectly, (i)in furtherance of an offer, payment, promise to pay or authorization of the payment or giving of money, or anything else of value, to any Person in violation of any Anti-Corruption Laws, (ii)for the purpose of funding, financing or facilitating any activities, business or transaction of or with any Sanctioned Person, in any Sanctioned Country or (iii)in any manner that would result in a violation of Anti-Corruption Laws, Anti-Terrorism Laws, Sanctions or other applicable Law.", "ner": [[50, 55, "Regulation"]], "tokenized_text": ["7", ".", "9", "Use", "of", "Proceeds", ".", "No", "Loan", "Party", "shall", "(", "a", ")", "use", "the", "proceeds", "of", "any", "Loan", "or", "other", "Credit", "Extension", "hereunder", ",", "whether", "directly", "or", "indirectly", ",", "and", "whether", "immediately", ",", "incidentally", "or", "ultimately", ",", "to", "purchase", "or", "carry", "margin", "stock", "(", "within", "the", "meaning", "of", "Regulation", "U", ",", "T", "or", "X", "as", "promulgated", "by", "the", "Board", ")", "or", "to", "extend", "credit", "to", "others", "for", "the", "purpose", "of", "purchasing", "or", "carrying", "margin", "stock", "or", "to", "refund", "indebtedness", "originally", "incurred", "for", "such", "purpose", "or", "(", "b", ")", "request", "any", "Credit", "Extension", "or", "use", "(", "or", "permit", "the", "use", "by", "any", "of", "its", "Subsidiaries", "or", "its", "or", "their", "respective", "Affiliates", ",", "directors", ",", "officers", ",", "employees", "or", "agents", "of", ")", "the", "proceeds", "of", "any", "Credit", "Extension", ",", "whether", "directly", "or", "indirectly", ",", "(", "i", ")", "in", "furtherance", "of", "an", "offer", ",", "payment", ",", "promise", "to", "pay", "or", "authorization", "of", "the", "payment", "or", "giving", "of", "money", ",", "or", "anything", "else", "of", "value", ",", "to", "any", "Person", "in", "violation", "of", "any", "Anti-Corruption", "Laws", ",", "(", "ii", ")", "for", "the", "purpose", "of", "funding", ",", "financing", "or", "facilitating", "any", "activities", ",", "business", "or", "transaction", "of", "or", "with", "any", "Sanctioned", "Person", ",", "in", "any", "Sanctioned", "Country", "or", "(", "iii", ")", "in", "any", "manner", "that", "would", "result", "in", "a", "violation", "of", "Anti-Corruption", "Laws", ",", "Anti-Terrorism", "Laws", ",", "Sanctions", "or", "other", "applicable", "Law", "."]}
{"id": "12425", "text": "7.10 Subsidiaries and Partnerships. No Loan Party shall, nor shall any Loan Party permit any of its Subsidiaries to, own or create directly or indirectly any Subsidiaries other than (a)any Subsidiary that has joined this Agreement as Guarantor on the Closing Date; (b)any Subsidiary formed or acquired after the Closing Date that joins this Agreement as a Guarantor in accordance with the terms of this Agreement and the Security Agreement by delivering to the Administrative Agent (i)an executed Guarantor Joinder; (ii)documents in the forms described in Section4.2 modified as appropriate; and (iii)documents necessary to grant and perfect Prior Security Interests to the Administrative Agent for the benefit of the Secured Parties in the Equity Interests (as defined in the Security Agreement) of, and Collateral held by, such Subsidiary, and (c)any Excluded Subsidiary.", "ner": [[80, 81, "Title"]], "tokenized_text": ["7", ".", "10", "Subsidiaries", "and", "Partnerships", ".", "No", "Loan", "Party", "shall", ",", "nor", "shall", "any", "Loan", "Party", "permit", "any", "of", "its", "Subsidiaries", "to", ",", "own", "or", "create", "directly", "or", "indirectly", "any", "Subsidiaries", "other", "than", "(", "a", ")", "any", "Subsidiary", "that", "has", "joined", "this", "Agreement", "as", "Guarantor", "on", "the", "Closing", "Date", ";", "(", "b", ")", "any", "Subsidiary", "formed", "or", "acquired", "after", "the", "Closing", "Date", "that", "joins", "this", "Agreement", "as", "a", "Guarantor", "in", "accordance", "with", "the", "terms", "of", "this", "Agreement", "and", "the", "Security", "Agreement", "by", "delivering", "to", "the", "Administrative", "Agent", "(", "i", ")", "an", "executed", "Guarantor", "Joinder", ";", "(", "ii", ")", "documents", "in", "the", "forms", "described", "in", "Section4", ".", "2", "modified", "as", "appropriate", ";", "and", "(", "iii", ")", "documents", "necessary", "to", "grant", "and", "perfect", "Prior", "Security", "Interests", "to", "the", "Administrative", "Agent", "for", "the", "benefit", "of", "the", "Secured", "Parties", "in", "the", "Equity", "Interests", "(", "as", "defined", "in", "the", "Security", "Agreement", ")", "of", ",", "and", "Collateral", "held", "by", ",", "such", "Subsidiary", ",", "and", "(", "c", ")", "any", "Excluded", "Subsidiary", "."]}
{"id": "12426", "text": "(a) None of the Loan Parties or their respective Subsidiaries, Affiliates, officers, directors, employees or agents will engage in any dealings or transactions with any Sanctioned Person or in violation of any applicable Anti-Corruption Laws , Anti-Terrorism Laws or Sanctions.", "ner": [[39, 40, "Act"], [42, 43, "Act"]], "tokenized_text": ["(", "a", ")", "None", "of", "the", "Loan", "Parties", "or", "their", "respective", "Subsidiaries", ",", "Affiliates", ",", "officers", ",", "directors", ",", "employees", "or", "agents", "will", "engage", "in", "any", "dealings", "or", "transactions", "with", "any", "Sanctioned", "Person", "or", "in", "violation", "of", "any", "applicable", "Anti-Corruption", "Laws", ",", "Anti-Terrorism", "Laws", "or", "Sanctions", "."]}
{"id": "12427", "text": "8.1 Capital Expenditures. The Loan Parties shall not make, or permit their Subsidiaries to make, Capital Expenditures in excess of $105,000,000 in the aggregate in any fiscal year of the Borrower (such amount for any such fiscal year, the Capital Expenditure Base Amount); provided, however, that, for any fiscal year in which the Loan Parties and their Subsidiaries do not make Capital Expenditures in the full amount of the Capital Expenditure Base Amount for such fiscal year, then during the immediately succeeding fiscal year (commencing with the fiscal year ending on December31, 2017), and only in such immediately succeeding fiscal year, the Loan Parties and their Subsidiaries may make Capital Expenditures in an amount not to exceed the Capital Expenditure Base Amount plus 100% of the unused portion of the Capital Expenditure Base Amount for such immediately preceding fiscal year (the Capital Expenditure Carryover Amount); provided further, that any Capital Expenditures made in a particular year shall first be deemed to have been made with any available Capital Expenditure Base Amount before any Capital Expenditure Carryover Amount for such fiscal year is applied. Notwithstanding the forgoing, in the event that any Loan Party or Subsidiary of any Loan Party incurs a Joint Pole Dispute Capital Expenditure, (a)the Joint Pole Dispute Capital Expenditure shall be deemed as incurred in the year paid, and (b)the Capital Expenditures for the Loan Parties and their Subsidiaries for the year in which such Joint Pole Dispute Capital Expenditure is paid shall exclude from such calculation such Joint Pole Dispute Capital Expenditures; provided that, the amount of Joint Pole Dispute Capital Expenditures excluded from the calculation of Capital Expenditures shall not exceed in the aggregate the Maximum Joint Pole Dispute Amount.", "ner": [[25, 30, "Principal"], [146, 147, "Percentage"]], "tokenized_text": ["8", ".", "1", "Capital", "Expenditures", ".", "The", "Loan", "Parties", "shall", "not", "make", ",", "or", "permit", "their", "Subsidiaries", "to", "make", ",", "Capital", "Expenditures", "in", "excess", "of", "$", "105", ",", "000", ",", "000", "in", "the", "aggregate", "in", "any", "fiscal", "year", "of", "the", "Borrower", "(", "such", "amount", "for", "any", "such", "fiscal", "year", ",", "the", "Capital", "Expenditure", "Base", "Amount", ")", ";", "provided", ",", "however", ",", "that", ",", "for", "any", "fiscal", "year", "in", "which", "the", "Loan", "Parties", "and", "their", "Subsidiaries", "do", "not", "make", "Capital", "Expenditures", "in", "the", "full", "amount", "of", "the", "Capital", "Expenditure", "Base", "Amount", "for", "such", "fiscal", "year", ",", "then", "during", "the", "immediately", "succeeding", "fiscal", "year", "(", "commencing", "with", "the", "fiscal", "year", "ending", "on", "December31", ",", "2017", ")", ",", "and", "only", "in", "such", "immediately", "succeeding", "fiscal", "year", ",", "the", "Loan", "Parties", "and", "their", "Subsidiaries", "may", "make", "Capital", "Expenditures", "in", "an", "amount", "not", "to", "exceed", "the", "Capital", "Expenditure", "Base", "Amount", "plus", "100", "%", "of", "the", "unused", "portion", "of", "the", "Capital", "Expenditure", "Base", "Amount", "for", "such", "immediately", "preceding", "fiscal", "year", "(", "the", "Capital", "Expenditure", "Carryover", "Amount", ")", ";", "provided", "further", ",", "that", "any", "Capital", "Expenditures", "made", "in", "a", "particular", "year", "shall", "first", "be", "deemed", "to", "have", "been", "made", "with", "any", "available", "Capital", "Expenditure", "Base", "Amount", "before", "any", "Capital", "Expenditure", "Carryover", "Amount", "for", "such", "fiscal", "year", "is", "applied", ".", "Notwithstanding", "the", "forgoing", ",", "in", "the", "event", "that", "any", "Loan", "Party", "or", "Subsidiary", "of", "any", "Loan", "Party", "incurs", "a", "Joint", "Pole", "Dispute", "Capital", "Expenditure", ",", "(", "a", ")", "the", "Joint", "Pole", "Dispute", "Capital", "Expenditure", "shall", "be", "deemed", "as", "incurred", "in", "the", "year", "paid", ",", "and", "(", "b", ")", "the", "Capital", "Expenditures", "for", "the", "Loan", "Parties", "and", "their", "Subsidiaries", "for", "the", "year", "in", "which", "such", "Joint", "Pole", "Dispute", "Capital", "Expenditure", "is", "paid", "shall", "exclude", "from", "such", "calculation", "such", "Joint", "Pole", "Dispute", "Capital", "Expenditures", ";", "provided", "that", ",", "the", "amount", "of", "Joint", "Pole", "Dispute", "Capital", "Expenditures", "excluded", "from", "the", "calculation", "of", "Capital", "Expenditures", "shall", "not", "exceed", "in", "the", "aggregate", "the", "Maximum", "Joint", "Pole", "Dispute", "Amount", "."]}
{"id": "12433", "text": "(b) Electronic Communications. Notices and other communications to the Lenders and each Issuing Lender hereunder may be delivered or furnished by electronic communication (including e-mail and Internet or intranet websites) pursuant to procedures approved by the Administrative Agent, provided that the foregoing shall not apply to notices to any Lender or Issuing Lender pursuant to ArticleII if such Lender or Issuing Lender, as applicable, has notified the Administrative Agent that it is incapable of receiving notices under such Articleby electronic communication. The Administrative Agent or the Borrower may, in its discretion, agree to accept notices and other communications to it hereunder by electronic communications pursuant to procedures approved by it; provided that approval of such procedures may be limited to particular notices or communications.", "ner": [], "tokenized_text": ["(", "b", ")", "Electronic", "Communications", ".", "Notices", "and", "other", "communications", "to", "the", "Lenders", "and", "each", "Issuing", "Lender", "hereunder", "may", "be", "delivered", "or", "furnished", "by", "electronic", "communication", "(", "including", "e-mail", "and", "Internet", "or", "intranet", "websites", ")", "pursuant", "to", "procedures", "approved", "by", "the", "Administrative", "Agent", ",", "provided", "that", "the", "foregoing", "shall", "not", "apply", "to", "notices", "to", "any", "Lender", "or", "Issuing", "Lender", "pursuant", "to", "ArticleII", "if", "such", "Lender", "or", "Issuing", "Lender", ",", "as", "applicable", ",", "has", "notified", "the", "Administrative", "Agent", "that", "it", "is", "incapable", "of", "receiving", "notices", "under", "such", "Articleby", "electronic", "communication", ".", "The", "Administrative", "Agent", "or", "the", "Borrower", "may", ",", "in", "its", "discretion", ",", "agree", "to", "accept", "notices", "and", "other", "communications", "to", "it", "hereunder", "by", "electronic", "communications", "pursuant", "to", "procedures", "approved", "by", "it", ";", "provided", "that", "approval", "of", "such", "procedures", "may", "be", "limited", "to", "particular", "notices", "or", "communications", "."]}
{"id": "12436", "text": "to any Participant. To the extent permitted by Law, each Participant also shall be entitled to the benefits of Section9.2(c)as though it were a Lender; provided that such Participant agrees to be subject to Section2.14 as though it were a Lender. Each Lender that sells a participation shall, acting solely for this purpose as a non-fiduciary agent of the Borrower, maintain a register on which it enters the name and address of each Participant and the principal amounts (and stated interest) of each Participants interest in the Loans or other obligations under the Loan Documents (the Participant Register); provided that no Lender shall have any obligation to disclose all or any portion of the Participant Register (including the identity of any Participant or any information relating to a Participants interest in any Commitments, Loans, Letters of Credit or its other obligations under any Loan Document) to any Person except to the extent that such disclosure is necessary to establish that such Commitment, Loan, Letter of Credit or other obligation is in registered form under Section5f.103-1(c)of the United States Treasury Regulations. The entries in the Participant Register shall be conclusive absent manifest error, and such Lender shall treat each Person whose name is recorded in the Participant Register as the owner of such participation for all purposes of this Agreement notwithstanding any notice to the contrary. For the avoidance of doubt, the Administrative Agent (in its capacity as Administrative Agent) shall have no responsibility for maintaining a Participant Register. CoBank reserves the right to assign or sell participations in all or part of its Commitments or outstanding Loans hereunder on a non-patronage basis.", "ner": [[21, 26, "Regulation"], [113, 114, "Title"], [199, 204, "Regulation"], [207, 210, "Regulation"]], "tokenized_text": ["to", "any", "Participant", ".", "To", "the", "extent", "permitted", "by", "Law", ",", "each", "Participant", "also", "shall", "be", "entitled", "to", "the", "benefits", "of", "Section9", ".", "2", "(", "c", ")", "as", "though", "it", "were", "a", "Lender", ";", "provided", "that", "such", "Participant", "agrees", "to", "be", "subject", "to", "Section2", ".", "14", "as", "though", "it", "were", "a", "Lender", ".", "Each", "Lender", "that", "sells", "a", "participation", "shall", ",", "acting", "solely", "for", "this", "purpose", "as", "a", "non-fiduciary", "agent", "of", "the", "Borrower", ",", "maintain", "a", "register", "on", "which", "it", "enters", "the", "name", "and", "address", "of", "each", "Participant", "and", "the", "principal", "amounts", "(", "and", "stated", "interest", ")", "of", "each", "Participants", "interest", "in", "the", "Loans", "or", "other", "obligations", "under", "the", "Loan", "Documents", "(", "the", "Participant", "Register", ")", ";", "provided", "that", "no", "Lender", "shall", "have", "any", "obligation", "to", "disclose", "all", "or", "any", "portion", "of", "the", "Participant", "Register", "(", "including", "the", "identity", "of", "any", "Participant", "or", "any", "information", "relating", "to", "a", "Participants", "interest", "in", "any", "Commitments", ",", "Loans", ",", "Letters", "of", "Credit", "or", "its", "other", "obligations", "under", "any", "Loan", "Document", ")", "to", "any", "Person", "except", "to", "the", "extent", "that", "such", "disclosure", "is", "necessary", "to", "establish", "that", "such", "Commitment", ",", "Loan", ",", "Letter", "of", "Credit", "or", "other", "obligation", "is", "in", "registered", "form", "under", "Section5f", ".", "103-1", "(", "c", ")", "of", "the", "United", "States", "Treasury", "Regulations", ".", "The", "entries", "in", "the", "Participant", "Register", "shall", "be", "conclusive", "absent", "manifest", "error", ",", "and", "such", "Lender", "shall", "treat", "each", "Person", "whose", "name", "is", "recorded", "in", "the", "Participant", "Register", "as", "the", "owner", "of", "such", "participation", "for", "all", "purposes", "of", "this", "Agreement", "notwithstanding", "any", "notice", "to", "the", "contrary", ".", "For", "the", "avoidance", "of", "doubt", ",", "the", "Administrative", "Agent", "(", "in", "its", "capacity", "as", "Administrative", "Agent", ")", "shall", "have", "no", "responsibility", "for", "maintaining", "a", "Participant", "Register", ".", "CoBank", "reserves", "the", "right", "to", "assign", "or", "sell", "participations", "in", "all", "or", "part", "of", "its", "Commitments", "or", "outstanding", "Loans", "hereunder", "on", "a", "non-patronage", "basis", "."]}
{"id": "12438", "text": "(b) Electronic Execution of Assignments. The words execution, signed, signature, and words of like import in any Assignment and Assumption shall be deemed to include electronic signatures or the keeping of records in electronic form, each of which shall be of the same legal effect, validity or enforceability as a manually executed signature or the use of a paper-based recordkeeping system, as the case may be, to the extent and as provided for in any applicable law, including the Federal Electronic Signatures in Global and National Commerce Act, the New York State Electronic Signatures and Records Act, or any other similar state laws based on the Uniform Electronic Transactions Act.&lt; br/&gt;", "ner": [[94, 98, "Act"], [101, 108, "Act"], [119, 122, "Act"]], "tokenized_text": ["(", "b", ")", "Electronic", "Execution", "of", "Assignments", ".", "The", "words", "execution", ",", "signed", ",", "signature", ",", "and", "words", "of", "like", "import", "in", "any", "Assignment", "and", "Assumption", "shall", "be", "deemed", "to", "include", "electronic", "signatures", "or", "the", "keeping", "of", "records", "in", "electronic", "form", ",", "each", "of", "which", "shall", "be", "of", "the", "same", "legal", "effect", ",", "validity", "or", "enforceability", "as", "a", "manually", "executed", "signature", "or", "the", "use", "of", "a", "paper-based", "recordkeeping", "system", ",", "as", "the", "case", "may", "be", ",", "to", "the", "extent", "and", "as", "provided", "for", "in", "any", "applicable", "law", ",", "including", "the", "Federal", "Electronic", "Signatures", "in", "Global", "and", "National", "Commerce", "Act", ",", "the", "New", "York", "State", "Electronic", "Signatures", "and", "Records", "Act", ",", "or", "any", "other", "similar", "state", "laws", "based", "on", "the", "Uniform", "Electronic", "Transactions", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "12440", "text": "11.11 USA Patriot Act Notice. Each Lender that is subject to the USA Patriot Act and the Administrative Agent (for itself and not on behalf of any Lender) hereby notifies Loan Parties that pursuant to the requirements of the USA Patriot Act, it is required to obtain, verify and record information that identifies the Loan Parties, which information includes the name and address of Loan Parties and other information that will allow such Lender or Administrative Agent, as applicable, to identify the Loan Parties in accordance with the USA Patriot Act. The Borrower shall, promptly following a request by the Administrative Agent or any Lender, provide all documentation and other information that the Administrative Agent or such Lender requests in order to comply with its ongoing obligations under applicable Anti-Corruption Laws , Anti-Terrorism Laws and Sanctions, including the USA Patriot Act.&lt; br/&gt;", "ner": [[3, 5, "Act"]], "tokenized_text": ["11", ".", "11", "USA", "Patriot", "Act", "Notice", ".", "Each", "Lender", "that", "is", "subject", "to", "the", "USA", "Patriot", "Act", "and", "the", "Administrative", "Agent", "(", "for", "itself", "and", "not", "on", "behalf", "of", "any", "Lender", ")", "hereby", "notifies", "Loan", "Parties", "that", "pursuant", "to", "the", "requirements", "of", "the", "USA", "Patriot", "Act", ",", "it", "is", "required", "to", "obtain", ",", "verify", "and", "record", "information", "that", "identifies", "the", "Loan", "Parties", ",", "which", "information", "includes", "the", "name", "and", "address", "of", "Loan", "Parties", "and", "other", "information", "that", "will", "allow", "such", "Lender", "or", "Administrative", "Agent", ",", "as", "applicable", ",", "to", "identify", "the", "Loan", "Parties", "in", "accordance", "with", "the", "USA", "Patriot", "Act", ".", "The", "Borrower", "shall", ",", "promptly", "following", "a", "request", "by", "the", "Administrative", "Agent", "or", "any", "Lender", ",", "provide", "all", "documentation", "and", "other", "information", "that", "the", "Administrative", "Agent", "or", "such", "Lender", "requests", "in", "order", "to", "comply", "with", "its", "ongoing", "obligations", "under", "applicable", "Anti-Corruption", "Laws", ",", "Anti-Terrorism", "Laws", "and", "Sanctions", ",", "including", "the", "USA", "Patriot", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "12442", "text": "COBANK, ACB , as Administrative Agent, a Joint Lead Arranger, Bookrunner , an Issuing Lender, the Swing Line Lender and as a Lender ---|---", "ner": [[0, 0, "Parties"]], "tokenized_text": ["COBANK", ",", "ACB", ",", "as", "Administrative", "Agent", ",", "a", "Joint", "Lead", "Arranger", ",", "Bookrunner", ",", "an", "Issuing", "Lender", ",", "the", "Swing", "Line", "Lender", "and", "as", "a", "Lender", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "12443", "text": "FIFTH THIRD BANK , as a Joint Lead Arranger and Co-Syndication Agent and as a Lender ---|---", "ner": [], "tokenized_text": ["FIFTH", "THIRD", "BANK", ",", "as", "a", "Joint", "Lead", "Arranger", "and", "Co-Syndication", "Agent", "and", "as", "a", "Lender", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "12444", "text": "MUFG UNION BANK, N.A. , as a Joint Lead Arranger and Co-Syndication Agent and as a Lender ---|---", "ner": [[0, 7, "Parties"]], "tokenized_text": ["MUFG", "UNION", "BANK", ",", "N", ".", "A", ".", ",", "as", "a", "Joint", "Lead", "Arranger", "and", "Co-Syndication", "Agent", "and", "as", "a", "Lender", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "12445", "text": "---|---|---|--- COBANK, ACB , AS SWING LINE LENDER", "ner": [[15, 15, "Parties"], [17, 17, "Parties"]], "tokenized_text": ["-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "COBANK", ",", "ACB", ",", "AS", "SWING", "LINE", "LENDER"]}
{"id": "12455", "text": "Farm Credit East, ACA", "ner": [], "tokenized_text": ["Farm", "Credit", "East", ",", "ACA"]}
{"id": "12456", "text": "Farm Credit West, FLCA", "ner": [], "tokenized_text": ["Farm", "Credit", "West", ",", "FLCA"]}
{"id": "12457", "text": "This Assignment and Assumption (the Assignment and Assumption) is dated as of the Effective Date set forth below and is entered into by and between [the][each](2)Assignor identified in item 1 below ([the][each, an] Assignor) and [the][each](3)Assignee identified in item 2 below ([the][each, an Assignee). [It is understood and agreed that the rights and obligations of [the Assignors][the Assignees](4)hereunder are several and not joint.](5) Capitalized terms used but not defined herein shall have the meanings given to them in the Credit Agreement, dated as of February24, 2017 (as amended, modified, supplemented, extended or restated from time to time, the Credit Agreement), by and among Hawaiian Telcom Communications,Inc. (the Borrower), the Guarantors party thereto from time to time, the Lenders party thereto from time to time and CoBank, ACB, as the Administrative Agent, receipt of a copy of which is hereby acknowledged by [the][each] Assignee. The Standard Terms and Conditions set forth in Annex 1 attached hereto are hereby agreed to and incorporated herein by reference and made a part of this Assignment and Assumption as if set forth herein in full. [Attached hereto is a completed Administrative Questionnaire.](6)", "ner": [[130, 131, "Title"], [136, 138, "EffectiveDate"], [156, 157, "Title"], [163, 168, "Parties"], [192, 194, "Parties"]], "tokenized_text": ["This", "Assignment", "and", "Assumption", "(", "the", "Assignment", "and", "Assumption", ")", "is", "dated", "as", "of", "the", "Effective", "Date", "set", "forth", "below", "and", "is", "entered", "into", "by", "and", "between", "[", "the", "]", "[", "each", "]", "(", "2", ")", "Assignor", "identified", "in", "item", "1", "below", "(", "[", "the", "]", "[", "each", ",", "an", "]", "Assignor", ")", "and", "[", "the", "]", "[", "each", "]", "(", "3", ")", "Assignee", "identified", "in", "item", "2", "below", "(", "[", "the", "]", "[", "each", ",", "an", "Assignee", ")", ".", "[", "It", "is", "understood", "and", "agreed", "that", "the", "rights", "and", "obligations", "of", "[", "the", "Assignors", "]", "[", "the", "Assignees", "]", "(", "4", ")", "hereunder", "are", "several", "and", "not", "joint", ".", "]", "(", "5", ")", "Capitalized", "terms", "used", "but", "not", "defined", "herein", "shall", "have", "the", "meanings", "given", "to", "them", "in", "the", "Credit", "Agreement", ",", "dated", "as", "of", "February24", ",", "2017", "(", "as", "amended", ",", "modified", ",", "supplemented", ",", "extended", "or", "restated", "from", "time", "to", "time", ",", "the", "Credit", "Agreement", ")", ",", "by", "and", "among", "Hawaiian", "Telcom", "Communications", ",", "Inc", ".", "(", "the", "Borrower", ")", ",", "the", "Guarantors", "party", "thereto", "from", "time", "to", "time", ",", "the", "Lenders", "party", "thereto", "from", "time", "to", "time", "and", "CoBank", ",", "ACB", ",", "as", "the", "Administrative", "Agent", ",", "receipt", "of", "a", "copy", "of", "which", "is", "hereby", "acknowledged", "by", "[", "the", "]", "[", "each", "]", "Assignee", ".", "The", "Standard", "Terms", "and", "Conditions", "set", "forth", "in", "Annex", "1", "attached", "hereto", "are", "hereby", "agreed", "to", "and", "incorporated", "herein", "by", "reference", "and", "made", "a", "part", "of", "this", "Assignment", "and", "Assumption", "as", "if", "set", "forth", "herein", "in", "full", ".", "[", "Attached", "hereto", "is", "a", "completed", "Administrative", "Questionnaire", ".", "]", "(", "6", ")"]}
{"id": "12458", "text": "5. Credit Agreement: The $350,000,000 Credit Agreement dated as of February24, 2017 , among Hawaiian Telcom Communications,Inc., the Guarantors party thereto from time to time, the Lenders parties thereto from time to time and CoBank, ACB, as the Administrative Agent", "ner": [[2, 3, "Title"], [6, 11, "Principal"], [12, 13, "Title"], [17, 19, "EffectiveDate"], [22, 27, "Parties"], [47, 49, "Parties"]], "tokenized_text": ["5", ".", "Credit", "Agreement", ":", "The", "$", "350", ",", "000", ",", "000", "Credit", "Agreement", "dated", "as", "of", "February24", ",", "2017", ",", "among", "Hawaiian", "Telcom", "Communications", ",", "Inc", ".", ",", "the", "Guarantors", "party", "thereto", "from", "time", "to", "time", ",", "the", "Lenders", "parties", "thereto", "from", "time", "to", "time", "and", "CoBank", ",", "ACB", ",", "as", "the", "Administrative", "Agent"]}
{"id": "12459", "text": "3. General Provisions. This Assignment and Assumption shall be binding upon, and inure to the benefit of, the parties hereto and their respective successors and assigns. This Assignment and Assumption may be executed in any number of counterparts, which together shall constitute one instrument. Delivery of an executed counterpart of a signature pageof this Assignment and Assumption by telecopy or in electronic (i.e., pdf or tif) format shall be effective as delivery of a manually executed counterpart of this Assignment and Assumption. This Assignment and Assumption and any claims, controversy, dispute or cause of action (whether in contract or tort or otherwise) based upon, arising out of or relating to this Agreement and the transactions contemplated hereby shall be governed by, and construed in accordance with, the law of the State of New York without regard to conflicts of law principles that require or permit application of the laws of any other state or jurisdiction.", "ner": [[151, 154, "Court"]], "tokenized_text": ["3", ".", "General", "Provisions", ".", "This", "Assignment", "and", "Assumption", "shall", "be", "binding", "upon", ",", "and", "inure", "to", "the", "benefit", "of", ",", "the", "parties", "hereto", "and", "their", "respective", "successors", "and", "assigns", ".", "This", "Assignment", "and", "Assumption", "may", "be", "executed", "in", "any", "number", "of", "counterparts", ",", "which", "together", "shall", "constitute", "one", "instrument", ".", "Delivery", "of", "an", "executed", "counterpart", "of", "a", "signature", "pageof", "this", "Assignment", "and", "Assumption", "by", "telecopy", "or", "in", "electronic", "(", "i", ".", "e", ".", ",", "pdf", "or", "tif", ")", "format", "shall", "be", "effective", "as", "delivery", "of", "a", "manually", "executed", "counterpart", "of", "this", "Assignment", "and", "Assumption", ".", "This", "Assignment", "and", "Assumption", "and", "any", "claims", ",", "controversy", ",", "dispute", "or", "cause", "of", "action", "(", "whether", "in", "contract", "or", "tort", "or", "otherwise", ")", "based", "upon", ",", "arising", "out", "of", "or", "relating", "to", "this", "Agreement", "and", "the", "transactions", "contemplated", "hereby", "shall", "be", "governed", "by", ",", "and", "construed", "in", "accordance", "with", ",", "the", "law", "of", "the", "State", "of", "New", "York", "without", "regard", "to", "conflicts", "of", "law", "principles", "that", "require", "or", "permit", "application", "of", "the", "laws", "of", "any", "other", "state", "or", "jurisdiction", "."]}
{"id": "12460", "text": "THIS COMPLIANCE CERTIFICATE is given by , the [TITLE OF COMPLIANCE OFFICER] of HAWAIIAN TELCOM COMMUNICATIONS,INC. (the Borrower) pursuant to Section6.1(c)of that certain Credit Agreement, dated as of February24, 2017 (as amended, modified, supplemented, extended or restated from time to time, the Credit Agreement), among the Borrower, the Guarantors party thereto from time to time, the Lenders party thereto from time to time and CoBank, ACB, as the Administrative Agent. Capitalized terms used herein and not otherwise defined herein shall have the meanings ascribed to them in the Credit Agreement.", "ner": [[15, 20, "Parties"], [36, 37, "Title"], [42, 44, "EffectiveDate"], [62, 63, "Title"], [115, 116, "Title"]], "tokenized_text": ["THIS", "COMPLIANCE", "CERTIFICATE", "is", "given", "by", ",", "the", "[", "TITLE", "OF", "COMPLIANCE", "OFFICER", "]", "of", "HAWAIIAN", "TELCOM", "COMMUNICATIONS", ",", "INC", ".", "(", "the", "Borrower", ")", "pursuant", "to", "Section6", ".", "1", "(", "c", ")", "of", "that", "certain", "Credit", "Agreement", ",", "dated", "as", "of", "February24", ",", "2017", "(", "as", "amended", ",", "modified", ",", "supplemented", ",", "extended", "or", "restated", "from", "time", "to", "time", ",", "the", "Credit", "Agreement", ")", ",", "among", "the", "Borrower", ",", "the", "Guarantors", "party", "thereto", "from", "time", "to", "time", ",", "the", "Lenders", "party", "thereto", "from", "time", "to", "time", "and", "CoBank", ",", "ACB", ",", "as", "the", "Administrative", "Agent", ".", "Capitalized", "terms", "used", "herein", "and", "not", "otherwise", "defined", "herein", "shall", "have", "the", "meanings", "ascribed", "to", "them", "in", "the", "Credit", "Agreement", "."]}
{"id": "12462", "text": "Reference is made to (i)the Credit Agreement, dated as of February24, 2017 (as amended, modified, supplemented, extended or restated from time to time, the Credit Agreement), by and among the Borrower, the Guarantors party thereto from time to time, the Lenders party thereto from time to time and the Administrative Agent, (ii)the Security Agreement as defined in the Credit Agreement and (iii)the other Loan Documents as defined in the Credit Agreement.", "ner": [[8, 9, "Title"], [14, 16, "EffectiveDate"], [34, 35, "Title"], [70, 71, "Title"], [76, 77, "Title"], [90, 91, "Title"]], "tokenized_text": ["Reference", "is", "made", "to", "(", "i", ")", "the", "Credit", "Agreement", ",", "dated", "as", "of", "February24", ",", "2017", "(", "as", "amended", ",", "modified", ",", "supplemented", ",", "extended", "or", "restated", "from", "time", "to", "time", ",", "the", "Credit", "Agreement", ")", ",", "by", "and", "among", "the", "Borrower", ",", "the", "Guarantors", "party", "thereto", "from", "time", "to", "time", ",", "the", "Lenders", "party", "thereto", "from", "time", "to", "time", "and", "the", "Administrative", "Agent", ",", "(", "ii", ")", "the", "Security", "Agreement", "as", "defined", "in", "the", "Credit", "Agreement", "and", "(", "iii", ")", "the", "other", "Loan", "Documents", "as", "defined", "in", "the", "Credit", "Agreement", "."]}
{"id": "12465", "text": "EACH OF THE PARTIES HERETO HEREBY IRREVOCABLY WAIVES, TO THE FULLEST EXTENT PERMITTED BY LAW, ANY RIGHT IT MAYHAVE TO A TRIAL BY JURY IN ANY LEGAL PROCEEDING DIRECTLY OR INDIRECTLY ARISING OUT OF OR RELATING TO THIS GUARANTOR JOINDER OR ANY OTHER LOAN DOCUMENT OR THE TRANSACTIONS CONTEMPLATED HEREBY OR THEREBY (WHETHER BASED ON CONTRACT, TORT OR ANY OTHER THEORY). EACH PARTY HERETO (A)CERTIFIES THAT NO REPRESENTATIVE, AGENT OR ATTORNEY OF ANY OTHER PERSON HAS REPRESENTED, EXPRESSLY OR OTHERWISE, THAT SUCH OTHER PERSON WOULD NOT,IN THE EVENT OF LITIGATION, SEEK TO ENFORCE THE FOREGOING WAIVER AND (B)ACKNOWLEDGES THAT IT AND THE OTHER PARTIES HERETO HAVE BEEN INDUCED TO ENTER INTO THIS GUARANTOR JOINDER AND THE OTHER LOAN DOCUMENTS BY, AMONG OTHER THINGS, THE MUTUAL WAIVERS AND CERTIFICATIONS IN THIS PARAGRAPH.", "ner": [[40, 41, "Title"]], "tokenized_text": ["EACH", "OF", "THE", "PARTIES", "HERETO", "HEREBY", "IRREVOCABLY", "WAIVES", ",", "TO", "THE", "FULLEST", "EXTENT", "PERMITTED", "BY", "LAW", ",", "ANY", "RIGHT", "IT", "MAYHAVE", "TO", "A", "TRIAL", "BY", "JURY", "IN", "ANY", "LEGAL", "PROCEEDING", "DIRECTLY", "OR", "INDIRECTLY", "ARISING", "OUT", "OF", "OR", "RELATING", "TO", "THIS", "GUARANTOR", "JOINDER", "OR", "ANY", "OTHER", "LOAN", "DOCUMENT", "OR", "THE", "TRANSACTIONS", "CONTEMPLATED", "HEREBY", "OR", "THEREBY", "(", "WHETHER", "BASED", "ON", "CONTRACT", ",", "TORT", "OR", "ANY", "OTHER", "THEORY", ")", ".", "EACH", "PARTY", "HERETO", "(", "A", ")", "CERTIFIES", "THAT", "NO", "REPRESENTATIVE", ",", "AGENT", "OR", "ATTORNEY", "OF", "ANY", "OTHER", "PERSON", "HAS", "REPRESENTED", ",", "EXPRESSLY", "OR", "OTHERWISE", ",", "THAT", "SUCH", "OTHER", "PERSON", "WOULD", "NOT", ",", "IN", "THE", "EVENT", "OF", "LITIGATION", ",", "SEEK", "TO", "ENFORCE", "THE", "FOREGOING", "WAIVER", "AND", "(", "B", ")", "ACKNOWLEDGES", "THAT", "IT", "AND", "THE", "OTHER", "PARTIES", "HERETO", "HAVE", "BEEN", "INDUCED", "TO", "ENTER", "INTO", "THIS", "GUARANTOR", "JOINDER", "AND", "THE", "OTHER", "LOAN", "DOCUMENTS", "BY", ",", "AMONG", "OTHER", "THINGS", ",", "THE", "MUTUAL", "WAIVERS", "AND", "CERTIFICATIONS", "IN", "THIS", "PARAGRAPH", "."]}
{"id": "12467", "text": "Re: Credit Agreement (as amended, modified, supplemented, extended or restated from time to time, the Credit Agreement), dated as of February24, 2017 , among the Borrower, the Guarantors party thereto from time to time, the Lenders party thereto from time to time, and CoBank, ACB, in its capacity as administrative agent thereunder (the Administrative Agent).", "ner": [[2, 3, "Title"], [21, 22, "Title"], [28, 30, "EffectiveDate"], [55, 55, "Parties"]], "tokenized_text": ["Re", ":", "Credit", "Agreement", "(", "as", "amended", ",", "modified", ",", "supplemented", ",", "extended", "or", "restated", "from", "time", "to", "time", ",", "the", "Credit", "Agreement", ")", ",", "dated", "as", "of", "February24", ",", "2017", ",", "among", "the", "Borrower", ",", "the", "Guarantors", "party", "thereto", "from", "time", "to", "time", ",", "the", "Lenders", "party", "thereto", "from", "time", "to", "time", ",", "and", "CoBank", ",", "ACB", ",", "in", "its", "capacity", "as", "administrative", "agent", "thereunder", "(", "the", "Administrative", "Agent", ")", "."]}
{"id": "12469", "text": "b. Intellectual Property. Except as set forth on Schedule 6(b), there are no Patents, Copyrights, Trademarks , and Domain Names registered or for which applications are pending or licenses have been entered into (other than non- exclusive licenses for commercially available software) in the name of any of the Loan Parties.", "ner": [], "tokenized_text": ["b", ".", "Intellectual", "Property", ".", "Except", "as", "set", "forth", "on", "Schedule", "6", "(", "b", ")", ",", "there", "are", "no", "Patents", ",", "Copyrights", ",", "Trademarks", ",", "and", "Domain", "Names", "registered", "or", "for", "which", "applications", "are", "pending", "or", "licenses", "have", "been", "entered", "into", "(", "other", "than", "non", "-", "exclusive", "licenses", "for", "commercially", "available", "software", ")", "in", "the", "name", "of", "any", "of", "the", "Loan", "Parties", "."]}
{"id": "12471", "text": "HAWAIIAN TELCOM HOLDINGS,INC., &lt; br/&gt;", "ner": [[0, 5, "Parties"]], "tokenized_text": ["HAWAIIAN", "TELCOM", "HOLDINGS", ",", "INC", ".", ",", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "12475", "text": "FOR VALUE RECEIVED, the undersigned, HAWAIIAN TELCOM COMMUNICATIONS,INC., a Delaware corporation (herein called the Borrower), hereby unconditionally promises to pay [] (the Lender), or its registered assigns, at the office of the Administrative Agent (as defined below) at 6340 S. Fiddlers Green Circle, Greenwood Village, Colorado 80111 , the lesser of (i)the principal sum of [] AND [NO]/100 DOLLARS (US$[]), or (ii)the aggregate unpaid principal balance of all Revolving Loans made by the Lender to the Borrower pursuant to Section2.2 of that certain Credit Agreement, dated as of February24, 2017 (as amended, modified, supplemented, extended or restated from time to time, the Credit Agreement), among the Borrower, the Guarantors now or hereafter party thereto, the Lenders now or hereafter party thereto and CoBank, ACB, as administrative agent (hereinafter referred to in such capacity as the Administrative Agent), together with all outstanding interest thereon on the Maturity Date.", "ner": [[7, 12, "Parties"], [54, 65, "Address"], [87, 88, "Principal"], [121, 122, "Title"], [127, 129, "EffectiveDate"], [147, 148, "Title"]], "tokenized_text": ["FOR", "VALUE", "RECEIVED", ",", "the", "undersigned", ",", "HAWAIIAN", "TELCOM", "COMMUNICATIONS", ",", "INC", ".", ",", "a", "Delaware", "corporation", "(", "herein", "called", "the", "Borrower", ")", ",", "hereby", "unconditionally", "promises", "to", "pay", "[", "]", "(", "the", "Lender", ")", ",", "or", "its", "registered", "assigns", ",", "at", "the", "office", "of", "the", "Administrative", "Agent", "(", "as", "defined", "below", ")", "at", "6340", "S", ".", "Fiddlers", "Green", "Circle", ",", "Greenwood", "Village", ",", "Colorado", "80111", ",", "the", "lesser", "of", "(", "i", ")", "the", "principal", "sum", "of", "[", "]", "AND", "[", "NO", "]", "/", "100", "DOLLARS", "(", "US", "$", "[", "]", ")", ",", "or", "(", "ii", ")", "the", "aggregate", "unpaid", "principal", "balance", "of", "all", "Revolving", "Loans", "made", "by", "the", "Lender", "to", "the", "Borrower", "pursuant", "to", "Section2", ".", "2", "of", "that", "certain", "Credit", "Agreement", ",", "dated", "as", "of", "February24", ",", "2017", "(", "as", "amended", ",", "modified", ",", "supplemented", ",", "extended", "or", "restated", "from", "time", "to", "time", ",", "the", "Credit", "Agreement", ")", ",", "among", "the", "Borrower", ",", "the", "Guarantors", "now", "or", "hereafter", "party", "thereto", ",", "the", "Lenders", "now", "or", "hereafter", "party", "thereto", "and", "CoBank", ",", "ACB", ",", "as", "administrative", "agent", "(", "hereinafter", "referred", "to", "in", "such", "capacity", "as", "the", "Administrative", "Agent", ")", ",", "together", "with", "all", "outstanding", "interest", "thereon", "on", "the", "Maturity", "Date", "."]}
{"id": "12477", "text": "FOR VALUE RECEIVED, the undersigned, HAWAIIAN TELCOM COMMUNICATIONS,INC., a Delaware corporation (herein called the Borrower), unconditionally promises to pay [] (the Lender), or its registered assigns, at the office of the Administrative Agent (as defined below) at 6340 S. Fiddlers Green Circle, Greenwood Village, Colorado 80111 , the lesser of (i)the principal sum of [] AND [NO]/100 DOLLARS (US$[]), or (ii)the aggregate unpaid principal balance of all the Swing Line Loans made by the Lender to the Borrower pursuant to Section2.3 of that certain Credit Agreement, dated as of February24, 2017 (as amended, modified, supplemented, extended or restated from time to time, the Credit Agreement), among the Borrower, the Guarantors now or hereafter party thereto, the Lenders now or hereafter party thereto and CoBank, ACB, as administrative agent (hereinafter referred to in such capacity as the Administrative Agent), together with all outstanding interest thereon on the Maturity Date.", "ner": [[7, 12, "Parties"], [53, 64, "Address"], [86, 87, "Principal"], [122, 123, "Title"], [128, 130, "EffectiveDate"], [148, 149, "Title"]], "tokenized_text": ["FOR", "VALUE", "RECEIVED", ",", "the", "undersigned", ",", "HAWAIIAN", "TELCOM", "COMMUNICATIONS", ",", "INC", ".", ",", "a", "Delaware", "corporation", "(", "herein", "called", "the", "Borrower", ")", ",", "unconditionally", "promises", "to", "pay", "[", "]", "(", "the", "Lender", ")", ",", "or", "its", "registered", "assigns", ",", "at", "the", "office", "of", "the", "Administrative", "Agent", "(", "as", "defined", "below", ")", "at", "6340", "S", ".", "Fiddlers", "Green", "Circle", ",", "Greenwood", "Village", ",", "Colorado", "80111", ",", "the", "lesser", "of", "(", "i", ")", "the", "principal", "sum", "of", "[", "]", "AND", "[", "NO", "]", "/", "100", "DOLLARS", "(", "US", "$", "[", "]", ")", ",", "or", "(", "ii", ")", "the", "aggregate", "unpaid", "principal", "balance", "of", "all", "the", "Swing", "Line", "Loans", "made", "by", "the", "Lender", "to", "the", "Borrower", "pursuant", "to", "Section2", ".", "3", "of", "that", "certain", "Credit", "Agreement", ",", "dated", "as", "of", "February24", ",", "2017", "(", "as", "amended", ",", "modified", ",", "supplemented", ",", "extended", "or", "restated", "from", "time", "to", "time", ",", "the", "Credit", "Agreement", ")", ",", "among", "the", "Borrower", ",", "the", "Guarantors", "now", "or", "hereafter", "party", "thereto", ",", "the", "Lenders", "now", "or", "hereafter", "party", "thereto", "and", "CoBank", ",", "ACB", ",", "as", "administrative", "agent", "(", "hereinafter", "referred", "to", "in", "such", "capacity", "as", "the", "Administrative", "Agent", ")", ",", "together", "with", "all", "outstanding", "interest", "thereon", "on", "the", "Maturity", "Date", "."]}
{"id": "12478", "text": "This Swing Line Note and the other Loan Documents and any claims, controversy, dispute or cause of action (whether in contract or tort or otherwise) based upon, arising out of or relating to this Swing Line Note or the other Loan Documents and the transactions contemplated hereby and thereby shall be governed by, and construed in accordance with, the Law of the State of New York without regard to conflicts of law principles that require or permit application of the Laws of any other state or jurisdiction.", "ner": [[69, 72, "Court"]], "tokenized_text": ["This", "Swing", "Line", "Note", "and", "the", "other", "Loan", "Documents", "and", "any", "claims", ",", "controversy", ",", "dispute", "or", "cause", "of", "action", "(", "whether", "in", "contract", "or", "tort", "or", "otherwise", ")", "based", "upon", ",", "arising", "out", "of", "or", "relating", "to", "this", "Swing", "Line", "Note", "or", "the", "other", "Loan", "Documents", "and", "the", "transactions", "contemplated", "hereby", "and", "thereby", "shall", "be", "governed", "by", ",", "and", "construed", "in", "accordance", "with", ",", "the", "Law", "of", "the", "State", "of", "New", "York", "without", "regard", "to", "conflicts", "of", "law", "principles", "that", "require", "or", "permit", "application", "of", "the", "Laws", "of", "any", "other", "state", "or", "jurisdiction", "."]}
{"id": "12479", "text": "FOR VALUE RECEIVED, the undersigned, HAWAIIAN TELCOM COMMUNICATIONS,INC., a Delaware corporation (herein called the Borrower), hereby unconditionally promises to pay [] (the Lender), or its registered assigns, at the office of the Administrative Agent (as defined below) at 6340 S. Fiddlers Green Circle, Greenwood Village, Colorado 80111 , the lesser of (i)the principal sum of [] AND [NO]/100 DOLLARS (US$[]), or (ii)the unpaid principal balance of the Term Loan A-1 made by the Lender to the Borrower pursuant to Section2.1 of that certain Credit Agreement, dated as of February24, 2017 (as amended, modified, supplemented, extended or restated from time to time, the Credit Agreement), among the Borrower, the Guarantors now or hereafter party thereto, the Lenders now or hereafter party thereto and CoBank, ACB, as administrative agent (hereinafter referred to in such capacity as the Administrative Agent), together with all outstanding interest thereon on the Maturity Date.", "ner": [[7, 12, "Parties"], [54, 65, "Address"], [87, 88, "Principal"], [121, 122, "Title"], [127, 129, "EffectiveDate"], [147, 148, "Title"]], "tokenized_text": ["FOR", "VALUE", "RECEIVED", ",", "the", "undersigned", ",", "HAWAIIAN", "TELCOM", "COMMUNICATIONS", ",", "INC", ".", ",", "a", "Delaware", "corporation", "(", "herein", "called", "the", "Borrower", ")", ",", "hereby", "unconditionally", "promises", "to", "pay", "[", "]", "(", "the", "Lender", ")", ",", "or", "its", "registered", "assigns", ",", "at", "the", "office", "of", "the", "Administrative", "Agent", "(", "as", "defined", "below", ")", "at", "6340", "S", ".", "Fiddlers", "Green", "Circle", ",", "Greenwood", "Village", ",", "Colorado", "80111", ",", "the", "lesser", "of", "(", "i", ")", "the", "principal", "sum", "of", "[", "]", "AND", "[", "NO", "]", "/", "100", "DOLLARS", "(", "US", "$", "[", "]", ")", ",", "or", "(", "ii", ")", "the", "unpaid", "principal", "balance", "of", "the", "Term", "Loan", "A-1", "made", "by", "the", "Lender", "to", "the", "Borrower", "pursuant", "to", "Section2", ".", "1", "of", "that", "certain", "Credit", "Agreement", ",", "dated", "as", "of", "February24", ",", "2017", "(", "as", "amended", ",", "modified", ",", "supplemented", ",", "extended", "or", "restated", "from", "time", "to", "time", ",", "the", "Credit", "Agreement", ")", ",", "among", "the", "Borrower", ",", "the", "Guarantors", "now", "or", "hereafter", "party", "thereto", ",", "the", "Lenders", "now", "or", "hereafter", "party", "thereto", "and", "CoBank", ",", "ACB", ",", "as", "administrative", "agent", "(", "hereinafter", "referred", "to", "in", "such", "capacity", "as", "the", "Administrative", "Agent", ")", ",", "together", "with", "all", "outstanding", "interest", "thereon", "on", "the", "Maturity", "Date", "."]}
{"id": "12480", "text": "This Term Loan A-1 Note and the other Loan Documents and any claims, controversy, dispute or cause of action (whether in contract or tort or otherwise) based upon, arising out of or relating to this Term Loan A-1 Note or the other Loan Documents and the transactions contemplated hereby and thereby shall be governed by, and construed in accordance with, the Law of the State of New York without regard to conflicts of law principles that require or permit application of the Laws of any other state or jurisdiction.", "ner": [[71, 74, "Court"]], "tokenized_text": ["This", "Term", "Loan", "A-1", "Note", "and", "the", "other", "Loan", "Documents", "and", "any", "claims", ",", "controversy", ",", "dispute", "or", "cause", "of", "action", "(", "whether", "in", "contract", "or", "tort", "or", "otherwise", ")", "based", "upon", ",", "arising", "out", "of", "or", "relating", "to", "this", "Term", "Loan", "A-1", "Note", "or", "the", "other", "Loan", "Documents", "and", "the", "transactions", "contemplated", "hereby", "and", "thereby", "shall", "be", "governed", "by", ",", "and", "construed", "in", "accordance", "with", ",", "the", "Law", "of", "the", "State", "of", "New", "York", "without", "regard", "to", "conflicts", "of", "law", "principles", "that", "require", "or", "permit", "application", "of", "the", "Laws", "of", "any", "other", "state", "or", "jurisdiction", "."]}
{"id": "12482", "text": "This Term Loan A-2 Note and the other Loan Documents and any claims, controversy, dispute or cause of action (whether in contract or tort or otherwise) based upon, arising out of or relating to this Term Loan A-2 Note or the other Loan Documents and the transactions contemplated hereby and thereby shall be governed by, and construed in accordance with, the Law of the State of New York without regard to conflicts of law principles that require or permit application of the Laws of any other state or jurisdiction.", "ner": [[71, 74, "Court"]], "tokenized_text": ["This", "Term", "Loan", "A-2", "Note", "and", "the", "other", "Loan", "Documents", "and", "any", "claims", ",", "controversy", ",", "dispute", "or", "cause", "of", "action", "(", "whether", "in", "contract", "or", "tort", "or", "otherwise", ")", "based", "upon", ",", "arising", "out", "of", "or", "relating", "to", "this", "Term", "Loan", "A-2", "Note", "or", "the", "other", "Loan", "Documents", "and", "the", "transactions", "contemplated", "hereby", "and", "thereby", "shall", "be", "governed", "by", ",", "and", "construed", "in", "accordance", "with", ",", "the", "Law", "of", "the", "State", "of", "New", "York", "without", "regard", "to", "conflicts", "of", "law", "principles", "that", "require", "or", "permit", "application", "of", "the", "Laws", "of", "any", "other", "state", "or", "jurisdiction", "."]}
{"id": "12483", "text": "FOR VALUE RECEIVED, the undersigned, HAWAIIAN TELCOM COMMUNICATIONS,INC., a Delaware corporation (herein called the Borrower), hereby unconditionally promises to pay [] (the Lender), or its registered assigns, at the office of the Administrative Agent (as defined below) at 6340 S. Fiddlers Green Circle, Greenwood Village, Colorado 80111 , the lesser of (i)the principal sum of [] AND [NO]/100 DOLLARS (US$[]), or (ii)the [aggregate] unpaid principal balance of [all][the] Incremental Term Loan[s] under Tranche No.[] of the Incremental Term Loan Facility made by the Lender to the Borrower pursuant to Section2.1 of that certain Credit Agreement, dated as of February24, 2017 (as amended, modified, supplemented, extended or restated from time to time, the Credit Agreement), among the Borrower, the Guarantors now or hereafter party thereto, the Lenders now or hereafter party thereto and CoBank, ACB, as administrative agent (hereinafter referred to in such capacity as the Administrative Agent), together with all outstanding interest thereon on the Maturity Date.", "ner": [[7, 12, "Parties"], [54, 65, "Address"], [87, 88, "Principal"], [144, 145, "Title"], [150, 152, "EffectiveDate"], [170, 171, "Title"]], "tokenized_text": ["FOR", "VALUE", "RECEIVED", ",", "the", "undersigned", ",", "HAWAIIAN", "TELCOM", "COMMUNICATIONS", ",", "INC", ".", ",", "a", "Delaware", "corporation", "(", "herein", "called", "the", "Borrower", ")", ",", "hereby", "unconditionally", "promises", "to", "pay", "[", "]", "(", "the", "Lender", ")", ",", "or", "its", "registered", "assigns", ",", "at", "the", "office", "of", "the", "Administrative", "Agent", "(", "as", "defined", "below", ")", "at", "6340", "S", ".", "Fiddlers", "Green", "Circle", ",", "Greenwood", "Village", ",", "Colorado", "80111", ",", "the", "lesser", "of", "(", "i", ")", "the", "principal", "sum", "of", "[", "]", "AND", "[", "NO", "]", "/", "100", "DOLLARS", "(", "US", "$", "[", "]", ")", ",", "or", "(", "ii", ")", "the", "[", "aggregate", "]", "unpaid", "principal", "balance", "of", "[", "all", "]", "[", "the", "]", "Incremental", "Term", "Loan", "[", "s", "]", "under", "Tranche", "No", ".", "[", "]", "of", "the", "Incremental", "Term", "Loan", "Facility", "made", "by", "the", "Lender", "to", "the", "Borrower", "pursuant", "to", "Section2", ".", "1", "of", "that", "certain", "Credit", "Agreement", ",", "dated", "as", "of", "February24", ",", "2017", "(", "as", "amended", ",", "modified", ",", "supplemented", ",", "extended", "or", "restated", "from", "time", "to", "time", ",", "the", "Credit", "Agreement", ")", ",", "among", "the", "Borrower", ",", "the", "Guarantors", "now", "or", "hereafter", "party", "thereto", ",", "the", "Lenders", "now", "or", "hereafter", "party", "thereto", "and", "CoBank", ",", "ACB", ",", "as", "administrative", "agent", "(", "hereinafter", "referred", "to", "in", "such", "capacity", "as", "the", "Administrative", "Agent", ")", ",", "together", "with", "all", "outstanding", "interest", "thereon", "on", "the", "Maturity", "Date", "."]}
{"id": "12487", "text": "Re: Credit Agreement (as amended, modified, supplemented, extended or restated from time to time, the Credit Agreement), dated as of February24, 2017 , among the Borrower, the Guarantors party thereto from time to time, the Lenders party thereto from time to time and CoBank, ACB, in its capacity as administrative agent thereunder (the Administrative Agent).", "ner": [[2, 3, "Title"], [21, 22, "Title"], [28, 30, "EffectiveDate"], [54, 54, "Parties"]], "tokenized_text": ["Re", ":", "Credit", "Agreement", "(", "as", "amended", ",", "modified", ",", "supplemented", ",", "extended", "or", "restated", "from", "time", "to", "time", ",", "the", "Credit", "Agreement", ")", ",", "dated", "as", "of", "February24", ",", "2017", ",", "among", "the", "Borrower", ",", "the", "Guarantors", "party", "thereto", "from", "time", "to", "time", ",", "the", "Lenders", "party", "thereto", "from", "time", "to", "time", "and", "CoBank", ",", "ACB", ",", "in", "its", "capacity", "as", "administrative", "agent", "thereunder", "(", "the", "Administrative", "Agent", ")", "."]}
{"id": "12493", "text": "this Agreement and to make its Incremental Term Loans, (iv)it has, independently and without reliance upon the Administrative Agent or any other Lender and based on such documents and information as it has deemed appropriate, made its own credit analysis and decision to enter into this Agreement and to make its Incremental Term Loans , and (v)attached to this Agreement is any documentation required to be delivered by it pursuant to the terms of the Credit Agreement, duly completed and executed by it; and (b)agrees that (i)it will, independently and without reliance on the Administrative Agent or any other Lender, and based on such documents and information as it shall deem appropriate at the time, continue to make its own credit decisions in taking or not taking action under the Loan Documents, and (ii)it will perform in accordance with their terms all of the obligations which by the terms of the Loan Documents are required to be performed by it as a Lender.", "ner": [[84, 85, "Title"]], "tokenized_text": ["this", "Agreement", "and", "to", "make", "its", "Incremental", "Term", "Loans", ",", "(", "iv", ")", "it", "has", ",", "independently", "and", "without", "reliance", "upon", "the", "Administrative", "Agent", "or", "any", "other", "Lender", "and", "based", "on", "such", "documents", "and", "information", "as", "it", "has", "deemed", "appropriate", ",", "made", "its", "own", "credit", "analysis", "and", "decision", "to", "enter", "into", "this", "Agreement", "and", "to", "make", "its", "Incremental", "Term", "Loans", ",", "and", "(", "v", ")", "attached", "to", "this", "Agreement", "is", "any", "documentation", "required", "to", "be", "delivered", "by", "it", "pursuant", "to", "the", "terms", "of", "the", "Credit", "Agreement", ",", "duly", "completed", "and", "executed", "by", "it", ";", "and", "(", "b", ")", "agrees", "that", "(", "i", ")", "it", "will", ",", "independently", "and", "without", "reliance", "on", "the", "Administrative", "Agent", "or", "any", "other", "Lender", ",", "and", "based", "on", "such", "documents", "and", "information", "as", "it", "shall", "deem", "appropriate", "at", "the", "time", ",", "continue", "to", "make", "its", "own", "credit", "decisions", "in", "taking", "or", "not", "taking", "action", "under", "the", "Loan", "Documents", ",", "and", "(", "ii", ")", "it", "will", "perform", "in", "accordance", "with", "their", "terms", "all", "of", "the", "obligations", "which", "by", "the", "terms", "of", "the", "Loan", "Documents", "are", "required", "to", "be", "performed", "by", "it", "as", "a", "Lender", "."]}
{"id": "12495", "text": "COBANK, ACB , as Administrative Agent ---|--- INCREMENTAL TERM", "ner": [[2, 2, "Parties"]], "tokenized_text": ["COBANK", ",", "ACB", ",", "as", "Administrative", "Agent", "-", "-", "-", "|", "-", "-", "-", "INCREMENTAL", "TERM"]}
{"id": "12499", "text": "Uniform Commercial Code or UCC shall mean the Uniform Commercial Code as the same may be in effect from time to time in the State of New York ; provided that if, by reason of Law, the validity or perfection of any security interest in any Collateral granted under this Agreement is governed by the Uniform Commercial Code as in effect in a jurisdiction other than New York, then as to the validity or perfection, as the case may be, of such security interest, Uniform Commercial Code shall mean the Uniform Commercial Code as in effect from time to time in such other jurisdictions.", "ner": [[0, 2, "Act"], [24, 27, "Court"]], "tokenized_text": ["Uniform", "Commercial", "Code", "or", "UCC", "shall", "mean", "the", "Uniform", "Commercial", "Code", "as", "the", "same", "may", "be", "in", "effect", "from", "time", "to", "time", "in", "the", "State", "of", "New", "York", ";", "provided", "that", "if", ",", "by", "reason", "of", "Law", ",", "the", "validity", "or", "perfection", "of", "any", "security", "interest", "in", "any", "Collateral", "granted", "under", "this", "Agreement", "is", "governed", "by", "the", "Uniform", "Commercial", "Code", "as", "in", "effect", "in", "a", "jurisdiction", "other", "than", "New", "York", ",", "then", "as", "to", "the", "validity", "or", "perfection", ",", "as", "the", "case", "may", "be", ",", "of", "such", "security", "interest", ",", "Uniform", "Commercial", "Code", "shall", "mean", "the", "Uniform", "Commercial", "Code", "as", "in", "effect", "from", "time", "to", "time", "in", "such", "other", "jurisdictions", "."]}
{"id": "12500", "text": "3.2 Security Interests; Filings. This Agreement, together with (A)the filing of duly completed Uniform Commercial Code financing statements (i)naming each Grantor as debtor, (ii)naming the Administrative Agent as secured party, and (iii)indicating the Collateral, in the jurisdictions set forth with respect to such Grantor in AnnexB hereto, (B) the filing of duly completed and executed grants of security interest in the forms set forth as ExhibitsB and C with the U.S. Copyright Office or the U.S. Patent and Trademark Office, with regard to federally registered Copyright Collateral, Patent Collateral, and Trademark Collateral of each Grantor, as the case may be, (C)the execution by the issuer, securities intermediary or commodity intermediary of a control agreement satisfying the requirements of Sections9-106 and 8-106 (or its successor provision) of the Uniform Commercial Code with regard to Investment Property, (D)the notation of the Administrative Agents Lien on the applicable certificates of title or ownership with regard to Mobile Goods covered by a certificate of title or ownership and (E)the delivery to the Administrative Agent of all stock or other certificates evidencing Equity Interests and Instruments included in the Collateral, together with undated stock powers or other instruments of assignment, as applicable, duly executed in blank (and assuming continued possession thereof by the Administrative Agent and that the Administrative Agent has acquired its security interest and taken possession of such stock or other certificates evidencing Equity Interests and Instruments without notice of any adverse claim), creates and at all times shall (i)constitute a valid and perfected security interest in and Lien upon the Collateral in favor of the Administrative Agent, for the benefit of itself and the other Secured Parties, to the extent a security interest therein can be perfected by such filings, possession or control, as applicable, superior and prior to the rights of all other Persons therein (except for Permitted Liens that by operation of Law or contract would have first priority), and no other or additional filings, registrations, recordings or actions are or shall be necessary or appropriate in order to maintain the perfection and priority of such Lien and security interest, other than actions required with respect to Collateral of the types excluded from Article9 of the Uniform Commercial Code or from the filing requirements under such Article9 by reason of Section9-109 or 9-311 of the Uniform Commercial Code and other than continuation statements required under the Uniform Commercial Code.", "ner": [[21, 23, "Act"], [93, 98, "Act"], [101, 108, "Act"], [150, 151, "Title"], [156, 158, "Regulation"]], "tokenized_text": ["3", ".", "2", "Security", "Interests", ";", "Filings", ".", "This", "Agreement", ",", "together", "with", "(", "A", ")", "the", "filing", "of", "duly", "completed", "Uniform", "Commercial", "Code", "financing", "statements", "(", "i", ")", "naming", "each", "Grantor", "as", "debtor", ",", "(", "ii", ")", "naming", "the", "Administrative", "Agent", "as", "secured", "party", ",", "and", "(", "iii", ")", "indicating", "the", "Collateral", ",", "in", "the", "jurisdictions", "set", "forth", "with", "respect", "to", "such", "Grantor", "in", "AnnexB", "hereto", ",", "(", "B", ")", "the", "filing", "of", "duly", "completed", "and", "executed", "grants", "of", "security", "interest", "in", "the", "forms", "set", "forth", "as", "ExhibitsB", "and", "C", "with", "the", "U", ".", "S", ".", "Copyright", "Office", "or", "the", "U", ".", "S", ".", "Patent", "and", "Trademark", "Office", ",", "with", "regard", "to", "federally", "registered", "Copyright", "Collateral", ",", "Patent", "Collateral", ",", "and", "Trademark", "Collateral", "of", "each", "Grantor", ",", "as", "the", "case", "may", "be", ",", "(", "C", ")", "the", "execution", "by", "the", "issuer", ",", "securities", "intermediary", "or", "commodity", "intermediary", "of", "a", "control", "agreement", "satisfying", "the", "requirements", "of", "Sections9-106", "and", "8-106", "(", "or", "its", "successor", "provision", ")", "of", "the", "Uniform", "Commercial", "Code", "with", "regard", "to", "Investment", "Property", ",", "(", "D", ")", "the", "notation", "of", "the", "Administrative", "Agents", "Lien", "on", "the", "applicable", "certificates", "of", "title", "or", "ownership", "with", "regard", "to", "Mobile", "Goods", "covered", "by", "a", "certificate", "of", "title", "or", "ownership", "and", "(", "E", ")", "the", "delivery", "to", "the", "Administrative", "Agent", "of", "all", "stock", "or", "other", "certificates", "evidencing", "Equity", "Interests", "and", "Instruments", "included", "in", "the", "Collateral", ",", "together", "with", "undated", "stock", "powers", "or", "other", "instruments", "of", "assignment", ",", "as", "applicable", ",", "duly", "executed", "in", "blank", "(", "and", "assuming", "continued", "possession", "thereof", "by", "the", "Administrative", "Agent", "and", "that", "the", "Administrative", "Agent", "has", "acquired", "its", "security", "interest", "and", "taken", "possession", "of", "such", "stock", "or", "other", "certificates", "evidencing", "Equity", "Interests", "and", "Instruments", "without", "notice", "of", "any", "adverse", "claim", ")", ",", "creates", "and", "at", "all", "times", "shall", "(", "i", ")", "constitute", "a", "valid", "and", "perfected", "security", "interest", "in", "and", "Lien", "upon", "the", "Collateral", "in", "favor", "of", "the", "Administrative", "Agent", ",", "for", "the", "benefit", "of", "itself", "and", "the", "other", "Secured", "Parties", ",", "to", "the", "extent", "a", "security", "interest", "therein", "can", "be", "perfected", "by", "such", "filings", ",", "possession", "or", "control", ",", "as", "applicable", ",", "superior", "and", "prior", "to", "the", "rights", "of", "all", "other", "Persons", "therein", "(", "except", "for", "Permitted", "Liens", "that", "by", "operation", "of", "Law", "or", "contract", "would", "have", "first", "priority", ")", ",", "and", "no", "other", "or", "additional", "filings", ",", "registrations", ",", "recordings", "or", "actions", "are", "or", "shall", "be", "necessary", "or", "appropriate", "in", "order", "to", "maintain", "the", "perfection", "and", "priority", "of", "such", "Lien", "and", "security", "interest", ",", "other", "than", "actions", "required", "with", "respect", "to", "Collateral", "of", "the", "types", "excluded", "from", "Article9", "of", "the", "Uniform", "Commercial", "Code", "or", "from", "the", "filing", "requirements", "under", "such", "Article9", "by", "reason", "of", "Section9-109", "or", "9-311", "of", "the", "Uniform", "Commercial", "Code", "and", "other", "than", "continuation", "statements", "required", "under", "the", "Uniform", "Commercial", "Code", "."]}
{"id": "12501", "text": "interest in favor of the Administrative Agent provided for herein or in any other Collateral Document to which it is a party, except for (A)the filings described in Section3.2, (B)in the case of Accounts owing from any federal governmental agency or authority, the filing by the Administrative Agent of a notice of assignment in accordance with the Federal Assignment of Claims Act of 1940 , (C)in the case of Equity Interests, such filings and approvals as may be required in connection with a disposition of any such Collateral by Law affecting the offering and sale of securities generally, and (D)any assignment or transfer of control of any License required in connection with the exercise of the remedies set forth in ArticleVI.", "ner": [[68, 74, "Act"]], "tokenized_text": ["interest", "in", "favor", "of", "the", "Administrative", "Agent", "provided", "for", "herein", "or", "in", "any", "other", "Collateral", "Document", "to", "which", "it", "is", "a", "party", ",", "except", "for", "(", "A", ")", "the", "filings", "described", "in", "Section3", ".", "2", ",", "(", "B", ")", "in", "the", "case", "of", "Accounts", "owing", "from", "any", "federal", "governmental", "agency", "or", "authority", ",", "the", "filing", "by", "the", "Administrative", "Agent", "of", "a", "notice", "of", "assignment", "in", "accordance", "with", "the", "Federal", "Assignment", "of", "Claims", "Act", "of", "1940", ",", "(", "C", ")", "in", "the", "case", "of", "Equity", "Interests", ",", "such", "filings", "and", "approvals", "as", "may", "be", "required", "in", "connection", "with", "a", "disposition", "of", "any", "such", "Collateral", "by", "Law", "affecting", "the", "offering", "and", "sale", "of", "securities", "generally", ",", "and", "(", "D", ")", "any", "assignment", "or", "transfer", "of", "control", "of", "any", "License", "required", "in", "connection", "with", "the", "exercise", "of", "the", "remedies", "set", "forth", "in", "ArticleVI", "."]}
{"id": "12502", "text": "(A) Each Grantor has registered, or is taking all commercially reasonable steps to register, all such Grantors Material Copyrights, Copyright Licenses, Patents, Patent Licenses, Trademarks , and Trademark Licenses with the U.S. Copyright Office, the U.S. Patent and Trademark Office or any applicable office or agency in any other country or political subdivision. AnnexesD, E, and F correctly set forth all such Material Copyrights, Copyright Licenses (other than non-exclusive licenses for commercially available software), Patents, Patent Licenses (other than non-exclusive licenses for commercially available software), Trademarks, and Trademark Licenses (including, in each case, all applications for registrations thereof) as of the date hereof or as of the date of the most recent Compliance Certificate that are used or proposed to be used in any Grantors business. Except to the extent such failure could not reasonably be expected to result in a Material Adverse Effect, (i)each Grantor owns all of such Grantors Material Copyrights, Patents , and Trademarks and possess the valid right to use all of the licensed copyrights, patents and trademarks subject to and in accordance with the Copyright Licenses, Patent Licenses and Trademark Licenses; (ii)all registrations of such Copyrights, Patents, or Trademarks have been validly issued under Law and are in full force and effect; (iii)all applicable maintenance fees, affidavits and other filings or payments are current; (iv)to the knowledge of such Grantor, no claim has been made in writing that any of such Copyrights, Copyright Licenses, Patents, Patent Licenses, Trademarks, or Trademark Licenses are invalid or unenforceable; and (v)to the knowledge of such Grantor, no other Person is presently infringing upon the rights of such Grantor with regard to any of such Copyrights, Patents, or Trademarks, or infringing the underlying intellectual property of the Copyright Licenses, Patent Licenses or Trademark Licenses. For the avoidance of doubt, each reference in this Agreement to a Grantors Material Copyrights, Copyright Licenses, Patents, Patent Licenses, Trademarks , and Trademark Licenses (and similar constructions) refers to such Grantors Material Copyrights, Material Copyright Licenses, Material Patents, Material Patent Licenses, Material Trademarks, and Material Trademark Licenses, as applicable.", "ner": [[24, 25, "Title"], [29, 30, "Title"], [35, 36, "Title"]], "tokenized_text": ["(", "A", ")", "Each", "Grantor", "has", "registered", ",", "or", "is", "taking", "all", "commercially", "reasonable", "steps", "to", "register", ",", "all", "such", "Grantors", "Material", "Copyrights", ",", "Copyright", "Licenses", ",", "Patents", ",", "Patent", "Licenses", ",", "Trademarks", ",", "and", "Trademark", "Licenses", "with", "the", "U", ".", "S", ".", "Copyright", "Office", ",", "the", "U", ".", "S", ".", "Patent", "and", "Trademark", "Office", "or", "any", "applicable", "office", "or", "agency", "in", "any", "other", "country", "or", "political", "subdivision", ".", "AnnexesD", ",", "E", ",", "and", "F", "correctly", "set", "forth", "all", "such", "Material", "Copyrights", ",", "Copyright", "Licenses", "(", "other", "than", "non-exclusive", "licenses", "for", "commercially", "available", "software", ")", ",", "Patents", ",", "Patent", "Licenses", "(", "other", "than", "non-exclusive", "licenses", "for", "commercially", "available", "software", ")", ",", "Trademarks", ",", "and", "Trademark", "Licenses", "(", "including", ",", "in", "each", "case", ",", "all", "applications", "for", "registrations", "thereof", ")", "as", "of", "the", "date", "hereof", "or", "as", "of", "the", "date", "of", "the", "most", "recent", "Compliance", "Certificate", "that", "are", "used", "or", "proposed", "to", "be", "used", "in", "any", "Grantors", "business", ".", "Except", "to", "the", "extent", "such", "failure", "could", "not", "reasonably", "be", "expected", "to", "result", "in", "a", "Material", "Adverse", "Effect", ",", "(", "i", ")", "each", "Grantor", "owns", "all", "of", "such", "Grantors", "Material", "Copyrights", ",", "Patents", ",", "and", "Trademarks", "and", "possess", "the", "valid", "right", "to", "use", "all", "of", "the", "licensed", "copyrights", ",", "patents", "and", "trademarks", "subject", "to", "and", "in", "accordance", "with", "the", "Copyright", "Licenses", ",", "Patent", "Licenses", "and", "Trademark", "Licenses", ";", "(", "ii", ")", "all", "registrations", "of", "such", "Copyrights", ",", "Patents", ",", "or", "Trademarks", "have", "been", "validly", "issued", "under", "Law", "and", "are", "in", "full", "force", "and", "effect", ";", "(", "iii", ")", "all", "applicable", "maintenance", "fees", ",", "affidavits", "and", "other", "filings", "or", "payments", "are", "current", ";", "(", "iv", ")", "to", "the", "knowledge", "of", "such", "Grantor", ",", "no", "claim", "has", "been", "made", "in", "writing", "that", "any", "of", "such", "Copyrights", ",", "Copyright", "Licenses", ",", "Patents", ",", "Patent", "Licenses", ",", "Trademarks", ",", "or", "Trademark", "Licenses", "are", "invalid", "or", "unenforceable", ";", "and", "(", "v", ")", "to", "the", "knowledge", "of", "such", "Grantor", ",", "no", "other", "Person", "is", "presently", "infringing", "upon", "the", "rights", "of", "such", "Grantor", "with", "regard", "to", "any", "of", "such", "Copyrights", ",", "Patents", ",", "or", "Trademarks", ",", "or", "infringing", "the", "underlying", "intellectual", "property", "of", "the", "Copyright", "Licenses", ",", "Patent", "Licenses", "or", "Trademark", "Licenses", ".", "For", "the", "avoidance", "of", "doubt", ",", "each", "reference", "in", "this", "Agreement", "to", "a", "Grantors", "Material", "Copyrights", ",", "Copyright", "Licenses", ",", "Patents", ",", "Patent", "Licenses", ",", "Trademarks", ",", "and", "Trademark", "Licenses", "(", "and", "similar", "constructions", ")", "refers", "to", "such", "Grantors", "Material", "Copyrights", ",", "Material", "Copyright", "Licenses", ",", "Material", "Patents", ",", "Material", "Patent", "Licenses", ",", "Material", "Trademarks", ",", "and", "Material", "Trademark", "Licenses", ",", "as", "applicable", "."]}
{"id": "12504", "text": "(A) (i) Each Grantor will, at its own expense, execute and deliver upon the request of the Administrative Agent, fully completed grants of security interests in the forms of ExhibitsB and C, as applicable, in the U.S. Copyright Office or the U.S. Patent and Trademark Office pursuant to 35 U.S.C. 261 , 15 U.S.C. 1060 or 17 U.S.C. 205 , as applicable, with regard to any Material registered United States Copyright, Patent, or Trademark, as the case may be, described in AnnexesD, E, and F hereto. In the event that after the date hereof any Grantor shall acquire any Material registered Copyright, Copyright License, Patent, Patent License, Trademark , or Trademark License or effect any registration of any Material Copyright, Copyright License, Patent, Patent License, Trademark , or Trademark License (including, in each case, any application for registration thereof), whether within the United States or any other country or jurisdiction, such Grantor shall furnish written notice thereof to the Administrative Agent as required by Section6.1 of the Credit Agreement, and upon request of the Administrative Agent, such Grantor shall additionally, at its own expense, execute and deliver with regard to any Material registered United States Copyrights, Patents, and Trademarks, fully completed grants of security interest in the forms of ExhibitsB and C, as applicable, together in all instances with any other agreements, instruments and documents that the Administrative Agent may reasonably request from time to time to further effect and/or confirm the assignment and grant of security interest created by this Agreement in such Material Copyright, Patent or Trademark. Each Grantor hereby appoints the Administrative Agent its attorney- in-fact to execute, deliver and record any and all such agreements, instruments and documents for the foregoing purposes, all acts of such attorney being hereby ratified and confirmed and such power, being coupled with an interest, shall be irrevocable for so long as this Agreement shall be in effect with respect to such Grantor.", "ner": [[63, 70, "Regulation"], [72, 79, "Regulation"], [81, 88, "Regulation"], [221, 222, "Title"]], "tokenized_text": ["(", "A", ")", "(", "i", ")", "Each", "Grantor", "will", ",", "at", "its", "own", "expense", ",", "execute", "and", "deliver", "upon", "the", "request", "of", "the", "Administrative", "Agent", ",", "fully", "completed", "grants", "of", "security", "interests", "in", "the", "forms", "of", "ExhibitsB", "and", "C", ",", "as", "applicable", ",", "in", "the", "U", ".", "S", ".", "Copyright", "Office", "or", "the", "U", ".", "S", ".", "Patent", "and", "Trademark", "Office", "pursuant", "to", "35", "U", ".", "S", ".", "C", ".", "261", ",", "15", "U", ".", "S", ".", "C", ".", "1060", "or", "17", "U", ".", "S", ".", "C", ".", "205", ",", "as", "applicable", ",", "with", "regard", "to", "any", "Material", "registered", "United", "States", "Copyright", ",", "Patent", ",", "or", "Trademark", ",", "as", "the", "case", "may", "be", ",", "described", "in", "AnnexesD", ",", "E", ",", "and", "F", "hereto", ".", "In", "the", "event", "that", "after", "the", "date", "hereof", "any", "Grantor", "shall", "acquire", "any", "Material", "registered", "Copyright", ",", "Copyright", "License", ",", "Patent", ",", "Patent", "License", ",", "Trademark", ",", "or", "Trademark", "License", "or", "effect", "any", "registration", "of", "any", "Material", "Copyright", ",", "Copyright", "License", ",", "Patent", ",", "Patent", "License", ",", "Trademark", ",", "or", "Trademark", "License", "(", "including", ",", "in", "each", "case", ",", "any", "application", "for", "registration", "thereof", ")", ",", "whether", "within", "the", "United", "States", "or", "any", "other", "country", "or", "jurisdiction", ",", "such", "Grantor", "shall", "furnish", "written", "notice", "thereof", "to", "the", "Administrative", "Agent", "as", "required", "by", "Section6", ".", "1", "of", "the", "Credit", "Agreement", ",", "and", "upon", "request", "of", "the", "Administrative", "Agent", ",", "such", "Grantor", "shall", "additionally", ",", "at", "its", "own", "expense", ",", "execute", "and", "deliver", "with", "regard", "to", "any", "Material", "registered", "United", "States", "Copyrights", ",", "Patents", ",", "and", "Trademarks", ",", "fully", "completed", "grants", "of", "security", "interest", "in", "the", "forms", "of", "ExhibitsB", "and", "C", ",", "as", "applicable", ",", "together", "in", "all", "instances", "with", "any", "other", "agreements", ",", "instruments", "and", "documents", "that", "the", "Administrative", "Agent", "may", "reasonably", "request", "from", "time", "to", "time", "to", "further", "effect", "and", "/", "or", "confirm", "the", "assignment", "and", "grant", "of", "security", "interest", "created", "by", "this", "Agreement", "in", "such", "Material", "Copyright", ",", "Patent", "or", "Trademark", ".", "Each", "Grantor", "hereby", "appoints", "the", "Administrative", "Agent", "its", "attorney", "-", "in-fact", "to", "execute", ",", "deliver", "and", "record", "any", "and", "all", "such", "agreements", ",", "instruments", "and", "documents", "for", "the", "foregoing", "purposes", ",", "all", "acts", "of", "such", "attorney", "being", "hereby", "ratified", "and", "confirmed", "and", "such", "power", ",", "being", "coupled", "with", "an", "interest", ",", "shall", "be", "irrevocable", "for", "so", "long", "as", "this", "Agreement", "shall", "be", "in", "effect", "with", "respect", "to", "such", "Grantor", "."]}
{"id": "12505", "text": "(E) Each Grantor shall notify the Administrative Agent promptly if it knows or has reason to know that any Material Copyright, Patent or Trademark used in the conduct of such Grantors business may become abandoned or dedicated to the public, or of any material adverse determination or development (including the institution of, or any such determination or development in, any proceeding in the U.S. Copyright Office, U.S. Patent and Trademark Office or any court) regarding (i)such Grantors ownership of any Material Copyright, Patent, or Trademark, its right to register the same, or to keep and maintain or license the same or (ii)the underlying intellectual property of such Grantors Material Copyright Licenses, Patent Licenses, or Trademark Licenses (other than under licenses of commercially available software).", "ner": [[70, 75, "Court"], [77, 84, "Court"]], "tokenized_text": ["(", "E", ")", "Each", "Grantor", "shall", "notify", "the", "Administrative", "Agent", "promptly", "if", "it", "knows", "or", "has", "reason", "to", "know", "that", "any", "Material", "Copyright", ",", "Patent", "or", "Trademark", "used", "in", "the", "conduct", "of", "such", "Grantors", "business", "may", "become", "abandoned", "or", "dedicated", "to", "the", "public", ",", "or", "of", "any", "material", "adverse", "determination", "or", "development", "(", "including", "the", "institution", "of", ",", "or", "any", "such", "determination", "or", "development", "in", ",", "any", "proceeding", "in", "the", "U", ".", "S", ".", "Copyright", "Office", ",", "U", ".", "S", ".", "Patent", "and", "Trademark", "Office", "or", "any", "court", ")", "regarding", "(", "i", ")", "such", "Grantors", "ownership", "of", "any", "Material", "Copyright", ",", "Patent", ",", "or", "Trademark", ",", "its", "right", "to", "register", "the", "same", ",", "or", "to", "keep", "and", "maintain", "or", "license", "the", "same", "or", "(", "ii", ")", "the", "underlying", "intellectual", "property", "of", "such", "Grantors", "Material", "Copyright", "Licenses", ",", "Patent", "Licenses", ",", "or", "Trademark", "Licenses", "(", "other", "than", "under", "licenses", "of", "commercially", "available", "software", ")", "."]}
{"id": "12507", "text": "Patents, Patent Licenses, Trademarks, Trademark Licenses or Domain Names useful for its business or otherwise of material commercial value (and to obtain the relevant grant or registration) and to maintain each registration of any Material Copyrights, Copyright Licenses, Patents, Patent Licenses, Trademarks , Trademark Licenses and Domain Names useful for its business or otherwise of material commercial value, including the filing of applications for renewal, affidavits of use, affidavits of incontestability and maintenance fees, and, if consistent with sound business judgment, to initiate opposition, interference and cancellation proceedings against third parties.", "ner": [], "tokenized_text": ["Patents", ",", "Patent", "Licenses", ",", "Trademarks", ",", "Trademark", "Licenses", "or", "Domain", "Names", "useful", "for", "its", "business", "or", "otherwise", "of", "material", "commercial", "value", "(", "and", "to", "obtain", "the", "relevant", "grant", "or", "registration", ")", "and", "to", "maintain", "each", "registration", "of", "any", "Material", "Copyrights", ",", "Copyright", "Licenses", ",", "Patents", ",", "Patent", "Licenses", ",", "Trademarks", ",", "Trademark", "Licenses", "and", "Domain", "Names", "useful", "for", "its", "business", "or", "otherwise", "of", "material", "commercial", "value", ",", "including", "the", "filing", "of", "applications", "for", "renewal", ",", "affidavits", "of", "use", ",", "affidavits", "of", "incontestability", "and", "maintenance", "fees", ",", "and", ",", "if", "consistent", "with", "sound", "business", "judgment", ",", "to", "initiate", "opposition", ",", "interference", "and", "cancellation", "proceedings", "against", "third", "parties", "."]}
{"id": "12508", "text": "(K) Each Grantor for its Material Copyrights, Copyright Licenses, Patents, Patent Licenses, Trademarks , Trademark Licenses, Domain Names and Domain Name Licenses shall keep current all applicable maintenance fees, affidavits and other filings or payments.", "ner": [[10, 11, "Title"], [15, 16, "Title"], [20, 21, "Title"], [23, 24, "Title"], [26, 28, "Title"]], "tokenized_text": ["(", "K", ")", "Each", "Grantor", "for", "its", "Material", "Copyrights", ",", "Copyright", "Licenses", ",", "Patents", ",", "Patent", "Licenses", ",", "Trademarks", ",", "Trademark", "Licenses", ",", "Domain", "Names", "and", "Domain", "Name", "Licenses", "shall", "keep", "current", "all", "applicable", "maintenance", "fees", ",", "affidavits", "and", "other", "filings", "or", "payments", "."]}
{"id": "12509", "text": "4.14 Control Agreements. Each Grantor will cooperate with the Administrative Agent in obtaining a control agreement sufficient to perfect the Administrative Agents security interest under the Uniform Commercial Code and otherwise in form and substance reasonably satisfactory to the Administrative Agent, and in taking such other reasonable actions as may be requested by the Administrative Agent from time to time with respect to any Collateral in which a security interest may be perfected by control under the Uniform Commercial Code and with respect to which control agreements are required under Sections4.13 or 4.15.", "ner": [[3, 4, "Title"], [17, 18, "Title"], [29, 31, "Act"], [89, 90, "Title"]], "tokenized_text": ["4", ".", "14", "Control", "Agreements", ".", "Each", "Grantor", "will", "cooperate", "with", "the", "Administrative", "Agent", "in", "obtaining", "a", "control", "agreement", "sufficient", "to", "perfect", "the", "Administrative", "Agents", "security", "interest", "under", "the", "Uniform", "Commercial", "Code", "and", "otherwise", "in", "form", "and", "substance", "reasonably", "satisfactory", "to", "the", "Administrative", "Agent", ",", "and", "in", "taking", "such", "other", "reasonable", "actions", "as", "may", "be", "requested", "by", "the", "Administrative", "Agent", "from", "time", "to", "time", "with", "respect", "to", "any", "Collateral", "in", "which", "a", "security", "interest", "may", "be", "perfected", "by", "control", "under", "the", "Uniform", "Commercial", "Code", "and", "with", "respect", "to", "which", "control", "agreements", "are", "required", "under", "Sections4", ".", "13", "or", "4", ".", "15", "."]}
{"id": "12510", "text": "options pertaining to such Equity Interests as if it were the absolute owner thereof (including the right to exchange at its discretion any and all of such Equity Interests upon the merger, consolidation, reorganization, reclassification, combination of shares or interests, similar rearrangement or other similar fundamental change in the structure of the applicable issuer, or upon the exercise by any Grantor or the Administrative Agent of any right, privilege or option pertaining to such Equity Interests), and in connection therewith, the right to deposit and deliver any and all of such Equity Interests with any committee, depositary, transfer agent, registrar or other designated agency upon such terms and conditions as the Administrative Agent may determine, and give all consents, waivers and ratifications with respect to such Equity Interests, all without liability except to account for any property actually received by it, but the Administrative Agent shall have no duty to exercise any such right, privilege or option or give any such consent, waiver or ratification and shall not be responsible for any failure to do so or delay in so doing; and for the foregoing purposes each Grantor will promptly execute and deliver or cause to be executed and delivered to the Administrative Agent, upon request, all such proxies and other instruments as the Administrative Agent may request to enable the Administrative Agent to exercise such rights and powers; AND IN FURTHERANCE OF THE FOREGOING AND WITHOUT LIMITATION THEREOF, EACH GRANTOR HEREBY IRREVOCABLY CONSTITUTES AND APPOINTS THE ADMINISTRATIVE AGENT AS THE TRUE AND LAWFUL PROXY AND ATTORNEY- IN-FACT OF SUCH GRANTOR, WITH FULL POWER OF SUBSTITUTION IN THE PREMISES, TO EXERCISE ALL SUCH VOTING, CONSENSUAL AND OTHER RIGHTS AND POWERS TO WHICH ANY HOLDER OF ANY INVESTMENT PROPERTY OR EQUITY INTERESTS CONSTITUTING PARTOF THE COLLATERAL WOULD BE ENTITLED BY VIRTUE OF HOLDING THE SAME, WHICH PROXY AND POWER OF ATTORNEY, BEING COUPLED WITH AN INTEREST,IS IRREVOCABLE AND SHALL BE EFFECTIVE FOR SO LONG AS THIS AGREEMENT SHALL BE IN EFFECT;", "ner": [], "tokenized_text": ["options", "pertaining", "to", "such", "Equity", "Interests", "as", "if", "it", "were", "the", "absolute", "owner", "thereof", "(", "including", "the", "right", "to", "exchange", "at", "its", "discretion", "any", "and", "all", "of", "such", "Equity", "Interests", "upon", "the", "merger", ",", "consolidation", ",", "reorganization", ",", "reclassification", ",", "combination", "of", "shares", "or", "interests", ",", "similar", "rearrangement", "or", "other", "similar", "fundamental", "change", "in", "the", "structure", "of", "the", "applicable", "issuer", ",", "or", "upon", "the", "exercise", "by", "any", "Grantor", "or", "the", "Administrative", "Agent", "of", "any", "right", ",", "privilege", "or", "option", "pertaining", "to", "such", "Equity", "Interests", ")", ",", "and", "in", "connection", "therewith", ",", "the", "right", "to", "deposit", "and", "deliver", "any", "and", "all", "of", "such", "Equity", "Interests", "with", "any", "committee", ",", "depositary", ",", "transfer", "agent", ",", "registrar", "or", "other", "designated", "agency", "upon", "such", "terms", "and", "conditions", "as", "the", "Administrative", "Agent", "may", "determine", ",", "and", "give", "all", "consents", ",", "waivers", "and", "ratifications", "with", "respect", "to", "such", "Equity", "Interests", ",", "all", "without", "liability", "except", "to", "account", "for", "any", "property", "actually", "received", "by", "it", ",", "but", "the", "Administrative", "Agent", "shall", "have", "no", "duty", "to", "exercise", "any", "such", "right", ",", "privilege", "or", "option", "or", "give", "any", "such", "consent", ",", "waiver", "or", "ratification", "and", "shall", "not", "be", "responsible", "for", "any", "failure", "to", "do", "so", "or", "delay", "in", "so", "doing", ";", "and", "for", "the", "foregoing", "purposes", "each", "Grantor", "will", "promptly", "execute", "and", "deliver", "or", "cause", "to", "be", "executed", "and", "delivered", "to", "the", "Administrative", "Agent", ",", "upon", "request", ",", "all", "such", "proxies", "and", "other", "instruments", "as", "the", "Administrative", "Agent", "may", "request", "to", "enable", "the", "Administrative", "Agent", "to", "exercise", "such", "rights", "and", "powers", ";", "AND", "IN", "FURTHERANCE", "OF", "THE", "FOREGOING", "AND", "WITHOUT", "LIMITATION", "THEREOF", ",", "EACH", "GRANTOR", "HEREBY", "IRREVOCABLY", "CONSTITUTES", "AND", "APPOINTS", "THE", "ADMINISTRATIVE", "AGENT", "AS", "THE", "TRUE", "AND", "LAWFUL", "PROXY", "AND", "ATTORNEY", "-", "IN-FACT", "OF", "SUCH", "GRANTOR", ",", "WITH", "FULL", "POWER", "OF", "SUBSTITUTION", "IN", "THE", "PREMISES", ",", "TO", "EXERCISE", "ALL", "SUCH", "VOTING", ",", "CONSENSUAL", "AND", "OTHER", "RIGHTS", "AND", "POWERS", "TO", "WHICH", "ANY", "HOLDER", "OF", "ANY", "INVESTMENT", "PROPERTY", "OR", "EQUITY", "INTERESTS", "CONSTITUTING", "PARTOF", "THE", "COLLATERAL", "WOULD", "BE", "ENTITLED", "BY", "VIRTUE", "OF", "HOLDING", "THE", "SAME", ",", "WHICH", "PROXY", "AND", "POWER", "OF", "ATTORNEY", ",", "BEING", "COUPLED", "WITH", "AN", "INTEREST", ",", "IS", "IRREVOCABLE", "AND", "SHALL", "BE", "EFFECTIVE", "FOR", "SO", "LONG", "AS", "THIS", "AGREEMENT", "SHALL", "BE", "IN", "EFFECT", ";"]}
{"id": "12513", "text": "8.4 Complete Agreement; Amendments, Waivers ,etc. This Agreement represents the final agreement of the parties hereto with respect to the matters contained herein and may not be contradicted by evidence of prior or contemporaneous agreements, or subsequent oral agreements, between the parties. No amendment, modification, waiver, discharge or termination of any provision hereof, nor any consent to any departure by any Grantor from, any provision of this Agreement, shall be effective unless in a writing executed and delivered in accordance with Section11.1 of the Credit Agreement, and then the same shall be effective only in the specific instance and for the specific purpose for which given; provided that the Grantors shall provide the Administrative Agent with updated Annexes hereto as required by the terms of this Agreement and Section6.1(e)(xi)(B)of the Credit Agreement, which shall, upon delivery by the Grantors and acceptance by the Administrative Agent or the Required Lenders, be deemed to replace the then existing Annexes, and each such delivery shall constitute a representation by the Grantors of the accuracy and completeness of such updated Annexes. Delivery of such updated Annexes shall not be deemed to waive any Default or Event of Default relating thereto (if any) unless the sole Default or Event of Default results from the failure of the Grantors to notify the Administrative Agent of an event or condition disclosed on such updated Annex and such event or condition is otherwise permitted under the Loan Documents. In the absence of the preparation and delivery of an updated AnnexH reflecting such new Deposit Account, any description in any notice of any newly acquired or opened Deposit Account delivered by the Borrower to the Administrative Agent pursuant to Section4.13 of this Agreement or otherwise shall be deemed incorporated by reference into AnnexH.", "ner": [[101, 102, "Title"], [128, 128, "Parties"], [161, 162, "Title"]], "tokenized_text": ["8", ".", "4", "Complete", "Agreement", ";", "Amendments", ",", "Waivers", ",", "etc", ".", "This", "Agreement", "represents", "the", "final", "agreement", "of", "the", "parties", "hereto", "with", "respect", "to", "the", "matters", "contained", "herein", "and", "may", "not", "be", "contradicted", "by", "evidence", "of", "prior", "or", "contemporaneous", "agreements", ",", "or", "subsequent", "oral", "agreements", ",", "between", "the", "parties", ".", "No", "amendment", ",", "modification", ",", "waiver", ",", "discharge", "or", "termination", "of", "any", "provision", "hereof", ",", "nor", "any", "consent", "to", "any", "departure", "by", "any", "Grantor", "from", ",", "any", "provision", "of", "this", "Agreement", ",", "shall", "be", "effective", "unless", "in", "a", "writing", "executed", "and", "delivered", "in", "accordance", "with", "Section11", ".", "1", "of", "the", "Credit", "Agreement", ",", "and", "then", "the", "same", "shall", "be", "effective", "only", "in", "the", "specific", "instance", "and", "for", "the", "specific", "purpose", "for", "which", "given", ";", "provided", "that", "the", "Grantors", "shall", "provide", "the", "Administrative", "Agent", "with", "updated", "Annexes", "hereto", "as", "required", "by", "the", "terms", "of", "this", "Agreement", "and", "Section6", ".", "1", "(", "e", ")", "(", "xi", ")", "(", "B", ")", "of", "the", "Credit", "Agreement", ",", "which", "shall", ",", "upon", "delivery", "by", "the", "Grantors", "and", "acceptance", "by", "the", "Administrative", "Agent", "or", "the", "Required", "Lenders", ",", "be", "deemed", "to", "replace", "the", "then", "existing", "Annexes", ",", "and", "each", "such", "delivery", "shall", "constitute", "a", "representation", "by", "the", "Grantors", "of", "the", "accuracy", "and", "completeness", "of", "such", "updated", "Annexes", ".", "Delivery", "of", "such", "updated", "Annexes", "shall", "not", "be", "deemed", "to", "waive", "any", "Default", "or", "Event", "of", "Default", "relating", "thereto", "(", "if", "any", ")", "unless", "the", "sole", "Default", "or", "Event", "of", "Default", "results", "from", "the", "failure", "of", "the", "Grantors", "to", "notify", "the", "Administrative", "Agent", "of", "an", "event", "or", "condition", "disclosed", "on", "such", "updated", "Annex", "and", "such", "event", "or", "condition", "is", "otherwise", "permitted", "under", "the", "Loan", "Documents", ".", "In", "the", "absence", "of", "the", "preparation", "and", "delivery", "of", "an", "updated", "AnnexH", "reflecting", "such", "new", "Deposit", "Account", ",", "any", "description", "in", "any", "notice", "of", "any", "newly", "acquired", "or", "opened", "Deposit", "Account", "delivered", "by", "the", "Borrower", "to", "the", "Administrative", "Agent", "pursuant", "to", "Section4", ".", "13", "of", "this", "Agreement", "or", "otherwise", "shall", "be", "deemed", "incorporated", "by", "reference", "into", "AnnexH", "."]}
{"id": "12515", "text": "(A) THE ADMINISTRATIVE AGENT AND EACH GRANTOR IRREVOCABLY AND UNCONDITIONALLY SUBMITS, FOR ITSELF AND ITS PROPERTY, TO THE NONEXCLUSIVE JURISDICTION OF THE COURTS OF THE STATE OF NEW YORK SITTING IN NEW YORK, NEW YORK AND OF THE UNITED STATES DISTRICT COURT OF NEW YORK, AND ANY APPELLATE COURT FROM ANY THEREOF,IN ANY ACTION OR PROCEEDING ARISING OUT OF OR RELATING TO THIS AGREEMENT OR ANY OTHER LOAN DOCUMENT, OR FOR RECOGNITION OR ENFORCEMENT OF ANY JUDGMENT, AND EACH OF THE PARTIES HERETO IRREVOCABLY AND UNCONDITIONALLY AGREES THAT ALL CLAIMS IN RESPECT OF ANY SUCH ACTION OR PROCEEDING MAYBE HEARD AND DETERMINED IN SUCH NEW YORK STATE COURT OR, TO THE FULLEST EXTENT PERMITTED BY LAW,IN SUCH FEDERAL COURT. EACH OF THE PARTIES HERETO AGREES THAT A FINAL JUDGMENT IN ANY SUCH ACTION OR PROCEEDING SHALL BE CONCLUSIVE AND MAYBE ENFORCED IN OTHER JURISDICTIONS BY SUIT ON THE JUDGMENT OR IN ANY OTHER MANNER PROVIDED BY LAW. NOTHING IN THIS AGREEMENT OR IN", "ner": [[29, 32, "Court"], [35, 39, "Address"], [43, 49, "Court"]], "tokenized_text": ["(", "A", ")", "THE", "ADMINISTRATIVE", "AGENT", "AND", "EACH", "GRANTOR", "IRREVOCABLY", "AND", "UNCONDITIONALLY", "SUBMITS", ",", "FOR", "ITSELF", "AND", "ITS", "PROPERTY", ",", "TO", "THE", "NONEXCLUSIVE", "JURISDICTION", "OF", "THE", "COURTS", "OF", "THE", "STATE", "OF", "NEW", "YORK", "SITTING", "IN", "NEW", "YORK", ",", "NEW", "YORK", "AND", "OF", "THE", "UNITED", "STATES", "DISTRICT", "COURT", "OF", "NEW", "YORK", ",", "AND", "ANY", "APPELLATE", "COURT", "FROM", "ANY", "THEREOF", ",", "IN", "ANY", "ACTION", "OR", "PROCEEDING", "ARISING", "OUT", "OF", "OR", "RELATING", "TO", "THIS", "AGREEMENT", "OR", "ANY", "OTHER", "LOAN", "DOCUMENT", ",", "OR", "FOR", "RECOGNITION", "OR", "ENFORCEMENT", "OF", "ANY", "JUDGMENT", ",", "AND", "EACH", "OF", "THE", "PARTIES", "HERETO", "IRREVOCABLY", "AND", "UNCONDITIONALLY", "AGREES", "THAT", "ALL", "CLAIMS", "IN", "RESPECT", "OF", "ANY", "SUCH", "ACTION", "OR", "PROCEEDING", "MAYBE", "HEARD", "AND", "DETERMINED", "IN", "SUCH", "NEW", "YORK", "STATE", "COURT", "OR", ",", "TO", "THE", "FULLEST", "EXTENT", "PERMITTED", "BY", "LAW", ",", "IN", "SUCH", "FEDERAL", "COURT", ".", "EACH", "OF", "THE", "PARTIES", "HERETO", "AGREES", "THAT", "A", "FINAL", "JUDGMENT", "IN", "ANY", "SUCH", "ACTION", "OR", "PROCEEDING", "SHALL", "BE", "CONCLUSIVE", "AND", "MAYBE", "ENFORCED", "IN", "OTHER", "JURISDICTIONS", "BY", "SUIT", "ON", "THE", "JUDGMENT", "OR", "IN", "ANY", "OTHER", "MANNER", "PROVIDED", "BY", "LAW", ".", "NOTHING", "IN", "THIS", "AGREEMENT", "OR", "IN"]}
{"id": "12516", "text": "8.11 Waiver of Jury Trial. EACH OF THE GRANTORS AND THE ADMINISTRATIVE AGENT HEREBY IRREVOCABLY WAIVES, TO THE FULLEST EXTENT PERMITTED BY LAW, ANY RIGHT IT MAYHAVE TO A TRIAL BY JURY IN ANY LEGAL PROCEEDING DIRECTLY OR INDIRECTLY ARISING OUT OF OR RELATING TO THIS AGREEMENT OR ANY OTHER LOAN DOCUMENT OR THE TRANSACTIONS CONTEMPLATED HEREBY OR THEREBY (WHETHER BASED ON CONTRACT, TORT OR ANY OTHER THEORY). EACH PARTY HERETO (A)CERTIFIES THAT NO REPRESENTATIVE, AGENT OR ATTORNEY OF ANY OTHER PERSON HAS REPRESENTED, EXPRESSLY OR OTHERWISE, THAT SUCH OTHER PERSON WOULD NOT,IN THE EVENT OF LITIGATION, SEEK TO ENFORCE THE FOREGOING WAIVER AND (B)ACKNOWLEDGES THAT IT AND THE OTHER PARTIES HERETO HAVE BEEN INDUCED TO ENTER INTO THIS AGREEMENT AND THE OTHER LOAN DOCUMENTS BY, AMONG OTHER THINGS, THE MUTUAL WAIVERS AND CERTIFICATIONS IN THIS SECTION.", "ner": [[51, 51, "Title"]], "tokenized_text": ["8", ".", "11", "Waiver", "of", "Jury", "Trial", ".", "EACH", "OF", "THE", "GRANTORS", "AND", "THE", "ADMINISTRATIVE", "AGENT", "HEREBY", "IRREVOCABLY", "WAIVES", ",", "TO", "THE", "FULLEST", "EXTENT", "PERMITTED", "BY", "LAW", ",", "ANY", "RIGHT", "IT", "MAYHAVE", "TO", "A", "TRIAL", "BY", "JURY", "IN", "ANY", "LEGAL", "PROCEEDING", "DIRECTLY", "OR", "INDIRECTLY", "ARISING", "OUT", "OF", "OR", "RELATING", "TO", "THIS", "AGREEMENT", "OR", "ANY", "OTHER", "LOAN", "DOCUMENT", "OR", "THE", "TRANSACTIONS", "CONTEMPLATED", "HEREBY", "OR", "THEREBY", "(", "WHETHER", "BASED", "ON", "CONTRACT", ",", "TORT", "OR", "ANY", "OTHER", "THEORY", ")", ".", "EACH", "PARTY", "HERETO", "(", "A", ")", "CERTIFIES", "THAT", "NO", "REPRESENTATIVE", ",", "AGENT", "OR", "ATTORNEY", "OF", "ANY", "OTHER", "PERSON", "HAS", "REPRESENTED", ",", "EXPRESSLY", "OR", "OTHERWISE", ",", "THAT", "SUCH", "OTHER", "PERSON", "WOULD", "NOT", ",", "IN", "THE", "EVENT", "OF", "LITIGATION", ",", "SEEK", "TO", "ENFORCE", "THE", "FOREGOING", "WAIVER", "AND", "(", "B", ")", "ACKNOWLEDGES", "THAT", "IT", "AND", "THE", "OTHER", "PARTIES", "HERETO", "HAVE", "BEEN", "INDUCED", "TO", "ENTER", "INTO", "THIS", "AGREEMENT", "AND", "THE", "OTHER", "LOAN", "DOCUMENTS", "BY", ",", "AMONG", "OTHER", "THINGS", ",", "THE", "MUTUAL", "WAIVERS", "AND", "CERTIFICATIONS", "IN", "THIS", "SECTION", "."]}
{"id": "12517", "text": "HAWAIIAN TELCOM COMMUNICATIONS, INC., as a Grantor ---|---", "ner": [[0, 5, "Parties"]], "tokenized_text": ["HAWAIIAN", "TELCOM", "COMMUNICATIONS", ",", "INC", ".", ",", "as", "a", "Grantor", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "12519", "text": "COBANK, ACB , as the Administrative Agent", "ner": [[0, 0, "Parties"], [2, 2, "Parties"]], "tokenized_text": ["COBANK", ",", "ACB", ",", "as", "the", "Administrative", "Agent"]}
{"id": "12520", "text": "LEGAL NAME, JURISDICTION OF ORGANIZATION, FEDERAL TAX IDENTIFICATION NUMBER, ORGANIZATIONAL IDENTIFICATION NUMBER, MAILING ADDRESS, LOCATIONS OF CHIEF EXECUTIVE OFFICES, TRADENAMES", "ner": [[7, 10, "PII_Ref"], [16, 17, "Address"]], "tokenized_text": ["LEGAL", "NAME", ",", "JURISDICTION", "OF", "ORGANIZATION", ",", "FEDERAL", "TAX", "IDENTIFICATION", "NUMBER", ",", "ORGANIZATIONAL", "IDENTIFICATION", "NUMBER", ",", "MAILING", "ADDRESS", ",", "LOCATIONS", "OF", "CHIEF", "EXECUTIVE", "OFFICES", ",", "TRADENAMES"]}
{"id": "12522", "text": "MATERIAL PATENTS, PATENT LICENSES AND APPLICATIONS", "ner": [[3, 4, "Title"]], "tokenized_text": ["MATERIAL", "PATENTS", ",", "PATENT", "LICENSES", "AND", "APPLICATIONS"]}
{"id": "12524", "text": "WHEREAS, Grantor has entered into a Pledge and Security Agreement (as amended, modified, restated or supplemented from time to time, the Pledge Agreement), dated as of [ ], 2017, in which Grantor has agreed with CoBank, ACB, as the Administrative Agent (the Administrative Agent), with offices at 6340 S. Fiddlers Green Circle, Greenwood Village, Colorado 80111, to execute this grant of security interest;", "ner": [[7, 10, "Title"], [26, 27, "Title"], [33, 36, "EffectiveDate"], [44, 46, "Parties"], [61, 72, "Address"]], "tokenized_text": ["WHEREAS", ",", "Grantor", "has", "entered", "into", "a", "Pledge", "and", "Security", "Agreement", "(", "as", "amended", ",", "modified", ",", "restated", "or", "supplemented", "from", "time", "to", "time", ",", "the", "Pledge", "Agreement", ")", ",", "dated", "as", "of", "[", "]", ",", "2017", ",", "in", "which", "Grantor", "has", "agreed", "with", "CoBank", ",", "ACB", ",", "as", "the", "Administrative", "Agent", "(", "the", "Administrative", "Agent", ")", ",", "with", "offices", "at", "6340", "S", ".", "Fiddlers", "Green", "Circle", ",", "Greenwood", "Village", ",", "Colorado", "80111", ",", "to", "execute", "this", "grant", "of", "security", "interest", ";"]}
{"id": "12527", "text": "(o)Indebtedness or Contingent Obligations related to co-borrower or guaranty obligations of the Borrower or its Subsidiaries with respect to loans or leases obtained by independent contractors of the Borrower or its Subsidiaries for the purpose of such independent contractor acquiring trucks or trailers; provided that the aggregate amount of all such Indebtedness or Contingent Obligations, together with the aggregate amount of Investments permitted under Section 6.20(j), shall not exceed $15,000,000 at any one time outstanding, less any such Indebtedness or Contingent Obligations with respect to loans that are repaid or otherwise released after the Forbearance Effective Date; provided further that no such Indebtedness or Contingent Obligation shall be incurred with respect to loans (but may be incurred with respect to leases) from and after the Forbearance Effective Date , but any such Indebtedness or Contingent Obligation outstanding prior to the Effective Date may remain outstanding;", "ner": [[69, 72, "EffectiveDate"], [80, 85, "Principal"]], "tokenized_text": ["(", "o", ")", "Indebtedness", "or", "Contingent", "Obligations", "related", "to", "co-borrower", "or", "guaranty", "obligations", "of", "the", "Borrower", "or", "its", "Subsidiaries", "with", "respect", "to", "loans", "or", "leases", "obtained", "by", "independent", "contractors", "of", "the", "Borrower", "or", "its", "Subsidiaries", "for", "the", "purpose", "of", "such", "independent", "contractor", "acquiring", "trucks", "or", "trailers", ";", "provided", "that", "the", "aggregate", "amount", "of", "all", "such", "Indebtedness", "or", "Contingent", "Obligations", ",", "together", "with", "the", "aggregate", "amount", "of", "Investments", "permitted", "under", "Section", "6", ".", "20", "(", "j", ")", ",", "shall", "not", "exceed", "$", "15", ",", "000", ",", "000", "at", "any", "one", "time", "outstanding", ",", "less", "any", "such", "Indebtedness", "or", "Contingent", "Obligations", "with", "respect", "to", "loans", "that", "are", "repaid", "or", "otherwise", "released", "after", "the", "Forbearance", "Effective", "Date", ";", "provided", "further", "that", "no", "such", "Indebtedness", "or", "Contingent", "Obligation", "shall", "be", "incurred", "with", "respect", "to", "loans", "(", "but", "may", "be", "incurred", "with", "respect", "to", "leases", ")", "from", "and", "after", "the", "Forbearance", "Effective", "Date", ",", "but", "any", "such", "Indebtedness", "or", "Contingent", "Obligation", "outstanding", "prior", "to", "the", "Effective", "Date", "may", "remain", "outstanding", ";"]}
{"id": "12528", "text": "(g)(i) Travel and similar advances to employees or independent contractors in the ordinary course of business and (ii)other loans to independent contractors and other service providers in the ordinary course of business, in the case of clause(ii) not to exceed $5,000,000 in the aggregate at any time outstanding, less any amounts repaid after the Forbearance Effective Date; provided that no such Investments or commitments under clause(ii) shall be made from and after the Forbearance Effective Date , but any such Investments or commitments outstanding or in effect prior to the Effective Date may remain outstanding or in effect;", "ner": [[52, 57, "Principal"]], "tokenized_text": ["(", "g", ")", "(", "i", ")", "Travel", "and", "similar", "advances", "to", "employees", "or", "independent", "contractors", "in", "the", "ordinary", "course", "of", "business", "and", "(", "ii", ")", "other", "loans", "to", "independent", "contractors", "and", "other", "service", "providers", "in", "the", "ordinary", "course", "of", "business", ",", "in", "the", "case", "of", "clause", "(", "ii", ")", "not", "to", "exceed", "$", "5", ",", "000", ",", "000", "in", "the", "aggregate", "at", "any", "time", "outstanding", ",", "less", "any", "amounts", "repaid", "after", "the", "Forbearance", "Effective", "Date", ";", "provided", "that", "no", "such", "Investments", "or", "commitments", "under", "clause", "(", "ii", ")", "shall", "be", "made", "from", "and", "after", "the", "Forbearance", "Effective", "Date", ",", "but", "any", "such", "Investments", "or", "commitments", "outstanding", "or", "in", "effect", "prior", "to", "the", "Effective", "Date", "may", "remain", "outstanding", "or", "in", "effect", ";"]}
{"id": "12536", "text": "7.5.No Adverse Claim. Borrower and each Credit Party warrants, acknowledges, and agrees that no events have taken place and no circumstances exist at the date hereof that would give Borrower or such Credit Party a basis to assert a defense, offset, or counterclaim to any claim of the Lenders with respect to the Obligations.", "ner": [], "tokenized_text": ["7", ".", "5", ".", "No", "Adverse", "Claim", ".", "Borrower", "and", "each", "Credit", "Party", "warrants", ",", "acknowledges", ",", "and", "agrees", "that", "no", "events", "have", "taken", "place", "and", "no", "circumstances", "exist", "at", "the", "date", "hereof", "that", "would", "give", "Borrower", "or", "such", "Credit", "Party", "a", "basis", "to", "assert", "a", "defense", ",", "offset", ",", "or", "counterclaim", "to", "any", "claim", "of", "the", "Lenders", "with", "respect", "to", "the", "Obligations", "."]}
{"id": "12537", "text": "Section9.Affirmation of Credit Agreement, Further References, Affirmation of Liens . The Agent, the Lenders and Borrower each acknowledge and affirm that the Credit Agreement, as hereby amended, is hereby ratified and confirmed in all respects and all terms, conditions, and provisions of the Credit Agreement, except as amended by this Amendment, shall remain unmodified and in full force and effect. All references in any document or instrument to the Credit Agreement are hereby amended to refer to the Credit Agreement as amended by this Amendment. Borrower confirms to the Agent and the Lenders that the Obligations are and continue to be secured by the Liens granted by Borrower in favor of the Agent for the benefit of the Lenders under the Collateral Documents, and all of the terms, conditions, provisions, agreements, requirements, promises, obligations, duties, covenants, and representations of Borrower and the Credit Parties under such documents and any and all other documents and agreements entered into with respect to the Obligations under the Credit Agreement are hereby ratified and affirmed in all respects by Borrower.", "ner": [[4, 5, "Title"], [27, 28, "Title"], [52, 53, "Title"], [81, 82, "Title"], [90, 91, "Title"], [187, 188, "Title"]], "tokenized_text": ["Section9", ".", "Affirmation", "of", "Credit", "Agreement", ",", "Further", "References", ",", "Affirmation", "of", "Liens", ".", "The", "Agent", ",", "the", "Lenders", "and", "Borrower", "each", "acknowledge", "and", "affirm", "that", "the", "Credit", "Agreement", ",", "as", "hereby", "amended", ",", "is", "hereby", "ratified", "and", "confirmed", "in", "all", "respects", "and", "all", "terms", ",", "conditions", ",", "and", "provisions", "of", "the", "Credit", "Agreement", ",", "except", "as", "amended", "by", "this", "Amendment", ",", "shall", "remain", "unmodified", "and", "in", "full", "force", "and", "effect", ".", "All", "references", "in", "any", "document", "or", "instrument", "to", "the", "Credit", "Agreement", "are", "hereby", "amended", "to", "refer", "to", "the", "Credit", "Agreement", "as", "amended", "by", "this", "Amendment", ".", "Borrower", "confirms", "to", "the", "Agent", "and", "the", "Lenders", "that", "the", "Obligations", "are", "and", "continue", "to", "be", "secured", "by", "the", "Liens", "granted", "by", "Borrower", "in", "favor", "of", "the", "Agent", "for", "the", "benefit", "of", "the", "Lenders", "under", "the", "Collateral", "Documents", ",", "and", "all", "of", "the", "terms", ",", "conditions", ",", "provisions", ",", "agreements", ",", "requirements", ",", "promises", ",", "obligations", ",", "duties", ",", "covenants", ",", "and", "representations", "of", "Borrower", "and", "the", "Credit", "Parties", "under", "such", "documents", "and", "any", "and", "all", "other", "documents", "and", "agreements", "entered", "into", "with", "respect", "to", "the", "Obligations", "under", "the", "Credit", "Agreement", "are", "hereby", "ratified", "and", "affirmed", "in", "all", "respects", "by", "Borrower", "."]}
{"id": "12540", "text": "Section15.Governing Law. THIS AMENDMENT SHALL BE GOVERNED BY THE INTERNAL LAWS OF THE STATE OF NEW YORK, WITHOUT GIVING EFFECT TO CONFLICT OF LAW PRINCIPLES THEREOF, BUT GIVING EFFECT TO FEDERAL LAWS APPLICABLE TO NATIONAL LENDERS, THEIR HOLDING COMPANIES, AND THEIR AFFILIATES.", "ner": [[16, 19, "Court"]], "tokenized_text": ["Section15", ".", "Governing", "Law", ".", "THIS", "AMENDMENT", "SHALL", "BE", "GOVERNED", "BY", "THE", "INTERNAL", "LAWS", "OF", "THE", "STATE", "OF", "NEW", "YORK", ",", "WITHOUT", "GIVING", "EFFECT", "TO", "CONFLICT", "OF", "LAW", "PRINCIPLES", "THEREOF", ",", "BUT", "GIVING", "EFFECT", "TO", "FEDERAL", "LAWS", "APPLICABLE", "TO", "NATIONAL", "LENDERS", ",", "THEIR", "HOLDING", "COMPANIES", ",", "AND", "THEIR", "AFFILIATES", "."]}
{"id": "12541", "text": "/s/ James P. Cecil Name: James P. Cecil Title: | | Vice President 800 Nicollet Mall Minneapolis, MN 55402 --- With a copy to: Dorsey&amp; Whitney, LLP 50 South Sixth Street, Suite 1500 Minneapolis, MN 55419 Attention: Peter T. Nelson Telephone: (612) 492-6033 Fax: (612) 677-3326 [Signature Page to Forbearance Agreement and Second Amendment to", "ner": [[3, 6, "Parties"], [19, 25, "Address"], [41, 50, "Address"], [60, 63, "PII_Ref"], [66, 69, "PII_Ref"], [74, 75, "Title"]], "tokenized_text": ["/", "s", "/", "James", "P", ".", "Cecil", "Name", ":", "James", "P", ".", "Cecil", "Title", ":", "|", "|", "Vice", "President", "800", "Nicollet", "Mall", "Minneapolis", ",", "MN", "55402", "-", "-", "-", "With", "a", "copy", "to", ":", "Dorsey", "&", "amp", ";", "Whitney", ",", "LLP", "50", "South", "Sixth", "Street", ",", "Suite", "1500", "Minneapolis", ",", "MN", "55419", "Attention", ":", "Peter", "T", ".", "Nelson", "Telephone", ":", "(", "612", ")", "492-6033", "Fax", ":", "(", "612", ")", "677-3326", "[", "Signature", "Page", "to", "Forbearance", "Agreement", "and", "Second", "Amendment", "to"]}
{"id": "12544", "text": "/s/ Tom Gurbach Name: Tom Gurbach Title: Vice President Centralized Loan Administration 500 First Ave, 4th Floor Pittsburgh, PA15219 Attention: Tina Dalessandri Telephone: 412-762-7931 Fax: 412-705-2263 1900 East Ninth Street Mail Stop LOC: B7-YB13-22-08 Cleveland, OH44114 Attention : Tom Gurbach Telephone: 216-222-9324 Fax: 216-222-0383 [Signature Page to Forbearance Agreement and Second Amendment to", "ner": [[11, 12, "Role"], [16, 24, "Address"], [31, 31, "PII_Ref"], [35, 46, "Address"], [53, 53, "PII_Ref"], [56, 56, "PII_Ref"], [61, 62, "Title"]], "tokenized_text": ["/", "s", "/", "Tom", "Gurbach", "Name", ":", "Tom", "Gurbach", "Title", ":", "Vice", "President", "Centralized", "Loan", "Administration", "500", "First", "Ave", ",", "4th", "Floor", "Pittsburgh", ",", "PA15219", "Attention", ":", "Tina", "Dalessandri", "Telephone", ":", "412-762-7931", "Fax", ":", "412-705-2263", "1900", "East", "Ninth", "Street", "Mail", "Stop", "LOC", ":", "B7-YB13-22-08", "Cleveland", ",", "OH44114", "Attention", ":", "Tom", "Gurbach", "Telephone", ":", "216-222-9324", "Fax", ":", "216-222-0383", "[", "Signature", "Page", "to", "Forbearance", "Agreement", "and", "Second", "Amendment", "to"]}
{"id": "12546", "text": "/s/ Charles Randolph Name: Charles Randolph Title: Senior Vice President 311 South Wacker Drive, Suite 2590 Mail Code: IL-CH-SW-LPO Chicago, IL 60606 Attention: Charles F. Randolph Telephone: (312) 279-2002 FAX: (312) 279-2001 [Signature Page to Forbearance Agreement and Second Amendment to", "ner": [[14, 20, "Address"], [24, 28, "Address"], [37, 40, "PII_Ref"], [43, 46, "PII_Ref"], [51, 52, "Title"]], "tokenized_text": ["/", "s", "/", "Charles", "Randolph", "Name", ":", "Charles", "Randolph", "Title", ":", "Senior", "Vice", "President", "311", "South", "Wacker", "Drive", ",", "Suite", "2590", "Mail", "Code", ":", "IL-CH-SW-LPO", "Chicago", ",", "IL", "60606", "Attention", ":", "Charles", "F", ".", "Randolph", "Telephone", ":", "(", "312", ")", "279-2002", "FAX", ":", "(", "312", ")", "279-2001", "[", "Signature", "Page", "to", "Forbearance", "Agreement", "and", "Second", "Amendment", "to"]}
{"id": "12548", "text": "/s/ T. Kevin Powells Name: T. Kevin Powells Title: Director 445 S. Figueroa St., 16th Floor G16-110 Los Angeles, CA Attention: Omar Vega Telephone: (213) 236-4020 FAX: (213) 627-5582 [Signature Page to Forbearance Agreement and Second Amendment to", "ner": [[3, 6, "Parties"], [36, 39, "PII_Ref"], [42, 45, "PII_Ref"], [50, 51, "Title"]], "tokenized_text": ["/", "s", "/", "T", ".", "Kevin", "Powells", "Name", ":", "T", ".", "Kevin", "Powells", "Title", ":", "Director", "445", "S", ".", "Figueroa", "St", ".", ",", "16th", "Floor", "G16-110", "Los", "Angeles", ",", "CA", "Attention", ":", "Omar", "Vega", "Telephone", ":", "(", "213", ")", "236-4020", "FAX", ":", "(", "213", ")", "627-5582", "[", "Signature", "Page", "to", "Forbearance", "Agreement", "and", "Second", "Amendment", "to"]}
{"id": "12551", "text": "/s/ Maria Levy Name: Maria Levy Title: Vice President 170 Wood Avenue South Iselin, NJ 08830 Attention: Maria Levy Telephone: (732) 476-3563 FAX: (732) 476-3567 Attention: Melissa J. Brown Telephone: (732) 590-6565 FAX: (919) 374-9105 [Signature Page to Forbearance Agreement and Second Amendment to", "ner": [[13, 20, "Address"], [27, 30, "PII_Ref"], [33, 36, "PII_Ref"], [45, 48, "PII_Ref"], [51, 54, "PII_Ref"], [59, 60, "Title"]], "tokenized_text": ["/", "s", "/", "Maria", "Levy", "Name", ":", "Maria", "Levy", "Title", ":", "Vice", "President", "170", "Wood", "Avenue", "South", "Iselin", ",", "NJ", "08830", "Attention", ":", "Maria", "Levy", "Telephone", ":", "(", "732", ")", "476-3563", "FAX", ":", "(", "732", ")", "476-3567", "Attention", ":", "Melissa", "J", ".", "Brown", "Telephone", ":", "(", "732", ")", "590-6565", "FAX", ":", "(", "919", ")", "374-9105", "[", "Signature", "Page", "to", "Forbearance", "Agreement", "and", "Second", "Amendment", "to"]}
{"id": "12552", "text": "/s/ Diane Mullan-Cromwell Name: Diane Mullan-Cromwell Title: Senior Vice President 27777 Franklin Road, 19th Floor Mail Stop 1925 Southfield, MI 48034 Attention: Diane Mullan-Cromwell Telephone: 248-226-7756 FAX: 248-228-9407 Email: diane.e.mullan-cromwell@citizensbank.com [Signature Page to Forbearance Agreement and Second Amendment to", "ner": [[3, 4, "Parties"], [11, 13, "Role"], [33, 33, "PII_Ref"], [36, 36, "PII_Ref"], [39, 47, "PII_Ref"], [52, 53, "Title"]], "tokenized_text": ["/", "s", "/", "Diane", "Mullan-Cromwell", "Name", ":", "Diane", "Mullan-Cromwell", "Title", ":", "Senior", "Vice", "President", "27777", "Franklin", "Road", ",", "19th", "Floor", "Mail", "Stop", "1925", "Southfield", ",", "MI", "48034", "Attention", ":", "Diane", "Mullan-Cromwell", "Telephone", ":", "248-226-7756", "FAX", ":", "248-228-9407", "Email", ":", "diane", ".", "e", ".", "mullan-cromwell", "@", "citizensbank", ".", "com", "[", "Signature", "Page", "to", "Forbearance", "Agreement", "and", "Second", "Amendment", "to"]}
{"id": "12553", "text": "/s/ Bruce G. Shearer Name: Bruce G. Shearer Title: Senior Vice President 301 Grant Street, 2nd Floor Pittsburgh, PA 15237 Telephone: (412) 667-6514 FAX: (877) 643-6517 [Signature Page to Forbearance Agreement and Second Amendment to", "ner": [[3, 6, "Parties"], [18, 27, "Address"], [30, 33, "PII_Ref"], [36, 39, "PII_Ref"], [44, 45, "Title"]], "tokenized_text": ["/", "s", "/", "Bruce", "G", ".", "Shearer", "Name", ":", "Bruce", "G", ".", "Shearer", "Title", ":", "Senior", "Vice", "President", "301", "Grant", "Street", ",", "2nd", "Floor", "Pittsburgh", ",", "PA", "15237", "Telephone", ":", "(", "412", ")", "667-6514", "FAX", ":", "(", "877", ")", "643-6517", "[", "Signature", "Page", "to", "Forbearance", "Agreement", "and", "Second", "Amendment", "to"]}
{"id": "12555", "text": "955 Executive Parkway, Suite 216 St. Louis, MO 63141 Attention: Michelle Caffery Telephone: (314) 317-6927 FAX: (866) 521-6061 [Signature Page to Forbearance Agreement and Second Amendment to", "ner": [[0, 11, "Address"], [18, 21, "PII_Ref"], [24, 27, "PII_Ref"], [32, 33, "Title"]], "tokenized_text": ["955", "Executive", "Parkway", ",", "Suite", "216", "St", ".", "Louis", ",", "MO", "63141", "Attention", ":", "Michelle", "Caffery", "Telephone", ":", "(", "314", ")", "317-6927", "FAX", ":", "(", "866", ")", "521-6061", "[", "Signature", "Page", "to", "Forbearance", "Agreement", "and", "Second", "Amendment", "to"]}
{"id": "12559", "text": "Level III Status exists at any date if, as of the last day of the fiscal quarter of the Borrower referred to in the most recent Financials, (i)the Borrower has not qualified for Level I Status or Level II Status and (ii)the Total Cash Flow Leverage Ratio for the four consecutive fiscal quarters ending on that date is less than 2.50 to 1.00.&lt; br/&gt;", "ner": [[68, 75, "Ratio"]], "tokenized_text": ["Level", "III", "Status", "exists", "at", "any", "date", "if", ",", "as", "of", "the", "last", "day", "of", "the", "fiscal", "quarter", "of", "the", "Borrower", "referred", "to", "in", "the", "most", "recent", "Financials", ",", "(", "i", ")", "the", "Borrower", "has", "not", "qualified", "for", "Level", "I", "Status", "or", "Level", "II", "Status", "and", "(", "ii", ")", "the", "Total", "Cash", "Flow", "Leverage", "Ratio", "for", "the", "four", "consecutive", "fiscal", "quarters", "ending", "on", "that", "date", "is", "less", "than", "2", ".", "50", "to", "1", ".", "00", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "12560", "text": "Status, Level II Status, or Level III Status and (ii)the Total Cash Flow Leverage Ratio for the four consecutive fiscal quarters ending on that date is less than 3.00 to 1.00.&lt; br/&gt;", "ner": [[33, 40, "Ratio"]], "tokenized_text": ["Status", ",", "Level", "II", "Status", ",", "or", "Level", "III", "Status", "and", "(", "ii", ")", "the", "Total", "Cash", "Flow", "Leverage", "Ratio", "for", "the", "four", "consecutive", "fiscal", "quarters", "ending", "on", "that", "date", "is", "less", "than", "3", ".", "00", "to", "1", ".", "00", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "12565", "text": "CENTRAL CAL TRANSPORTATION, LLC", "ner": [], "tokenized_text": ["CENTRAL", "CAL", "TRANSPORTATION", ",", "LLC"]}
{"id": "12566", "text": "COMBI MARITIME CORPORATION CONSOLIDATED TRANSPORTATION WORLD, LLC CTW TRANSPORT, LLC", "ner": [[0, 2, "Parties"], [8, 11, "Parties"]], "tokenized_text": ["COMBI", "MARITIME", "CORPORATION", "CONSOLIDATED", "TRANSPORTATION", "WORLD", ",", "LLC", "CTW", "TRANSPORT", ",", "LLC"]}
{"id": "12567", "text": "R&amp; M TRANSPORTATION, LLC", "ner": [], "tokenized_text": ["R", "&", "amp", ";", "M", "TRANSPORTATION", ",", "LLC"]}
{"id": "12572", "text": "LIMITED WAIVER TO CREDIT AGREEMENT", "ner": [[3, 4, "Title"]], "tokenized_text": ["LIMITED", "WAIVER", "TO", "CREDIT", "AGREEMENT"]}
{"id": "12573", "text": "This Limited Waiver to Credit Agreement (this Limited Waiver) is entered into effective as of the 31st day of January, 2017 (the Effective Date), by and among Sunoco LP , a Delaware limited partnership (Borrower), Bank of America, N.A. , as Administrative Agent (in such capacity, the Administrative Agent), Swingline Lender and an LC Issuer, and the financial institutions parties hereto as Lenders (Lenders).", "ner": [[4, 5, "Title"], [18, 23, "EffectiveDate"], [33, 34, "Parties"], [44, 51, "Parties"]], "tokenized_text": ["This", "Limited", "Waiver", "to", "Credit", "Agreement", "(", "this", "Limited", "Waiver", ")", "is", "entered", "into", "effective", "as", "of", "the", "31st", "day", "of", "January", ",", "2017", "(", "the", "Effective", "Date", ")", ",", "by", "and", "among", "Sunoco", "LP", ",", "a", "Delaware", "limited", "partnership", "(", "Borrower", ")", ",", "Bank", "of", "America", ",", "N", ".", "A", ".", ",", "as", "Administrative", "Agent", "(", "in", "such", "capacity", ",", "the", "Administrative", "Agent", ")", ",", "Swingline", "Lender", "and", "an", "LC", "Issuer", ",", "and", "the", "financial", "institutions", "parties", "hereto", "as", "Lenders", "(", "Lenders", ")", "."]}
{"id": "12574", "text": "4.5 Complete Agreement. THIS LIMITED WAIVER, THE CREDIT AGREEMENT AND THE OTHER LOAN DOCUMENTS REPRESENT THE FINAL AGREEMENT BETWEEN THE PARTIES AND MAY NOT BE CONTRADICTED BY EVIDENCE OF PRIOR, CONTEMPORANEOUS OR ORAL AGREEMENTS OF THE PARTIES. THERE ARE NO UNWRITTEN ORAL AGREEMENTS BETWEEN OR AMONG THE PARTIES.", "ner": [[11, 12, "Title"]], "tokenized_text": ["4", ".", "5", "Complete", "Agreement", ".", "THIS", "LIMITED", "WAIVER", ",", "THE", "CREDIT", "AGREEMENT", "AND", "THE", "OTHER", "LOAN", "DOCUMENTS", "REPRESENT", "THE", "FINAL", "AGREEMENT", "BETWEEN", "THE", "PARTIES", "AND", "MAY", "NOT", "BE", "CONTRADICTED", "BY", "EVIDENCE", "OF", "PRIOR", ",", "CONTEMPORANEOUS", "OR", "ORAL", "AGREEMENTS", "OF", "THE", "PARTIES", ".", "THERE", "ARE", "NO", "UNWRITTEN", "ORAL", "AGREEMENTS", "BETWEEN", "OR", "AMONG", "THE", "PARTIES", "."]}
{"id": "12578", "text": "92 SECTION 9.14. USA PATRIOT Act&lt; br/&gt;", "ner": [[6, 8, "Act"]], "tokenized_text": ["92", "SECTION", "9", ".", "14", ".", "USA", "PATRIOT", "Act", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "12580", "text": "&lt; 1.50 to 1.00&lt; br/&gt;", "ner": [[3, 9, "Ratio"]], "tokenized_text": ["&", "lt", ";", "1", ".", "50", "to", "1", ".", "00", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "12582", "text": "2.00 to 1.00 but &lt; 2.50 to 1.00&lt; br/&gt;", "ner": [[0, 6, "Ratio"], [11, 17, "Ratio"]], "tokenized_text": ["2", ".", "00", "to", "1", ".", "00", "but", "&", "lt", ";", "2", ".", "50", "to", "1", ".", "00", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "12583", "text": "2.50 to 1.00 but &lt; 3.00 to 1.00&lt; br/&gt;", "ner": [[0, 6, "Ratio"], [11, 17, "Ratio"]], "tokenized_text": ["2", ".", "50", "to", "1", ".", "00", "but", "&", "lt", ";", "3", ".", "00", "to", "1", ".", "00", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "12586", "text": "Borrower means Mesa Laboratories, Inc. , a Colorado corporation.", "ner": [[2, 6, "Parties"]], "tokenized_text": ["Borrower", "means", "Mesa", "Laboratories", ",", "Inc", ".", ",", "a", "Colorado", "corporation", "."]}
{"id": "12589", "text": "ERISA means the Employee Retirement Income Security Act of 1974 , as amended from time to time.", "ner": [[3, 9, "Act"]], "tokenized_text": ["ERISA", "means", "the", "Employee", "Retirement", "Income", "Security", "Act", "of", "1974", ",", "as", "amended", "from", "time", "to", "time", "."]}
{"id": "12590", "text": "Hazardous Materials means: (a) any substance, material, or waste that is included within the definitions of hazardous substances, hazardous materials, hazardous waste, toxic substances, toxic materials, toxic waste, or words of similar import in any Environmental Law; (b) those substances listed as hazardous substances by the United States Department of Transportation (or any successor agency) ( 49 C.F.R. 172 .101 and amendments thereto) or by the Environmental Protection Agency (or any successor agency) (40 C.F.R. Part 302 and amendments thereto); and (c) any substance, material, or waste that is petroleum, petroleum-related, or a petroleum by-product, asbestos or asbestos-containing material, polychlorinated biphenyls, flammable, explosive, radioactive, freon gas, radon, or a pesticide, herbicide, or any other agricultural chemical.", "ner": [[46, 47, "Act"], [72, 81, "Regulation"], [99, 107, "Regulation"]], "tokenized_text": ["Hazardous", "Materials", "means", ":", "(", "a", ")", "any", "substance", ",", "material", ",", "or", "waste", "that", "is", "included", "within", "the", "definitions", "of", "hazardous", "substances", ",", "hazardous", "materials", ",", "hazardous", "waste", ",", "toxic", "substances", ",", "toxic", "materials", ",", "toxic", "waste", ",", "or", "words", "of", "similar", "import", "in", "any", "Environmental", "Law", ";", "(", "b", ")", "those", "substances", "listed", "as", "hazardous", "substances", "by", "the", "United", "States", "Department", "of", "Transportation", "(", "or", "any", "successor", "agency", ")", "(", "49", "C", ".", "F", ".", "R", ".", "172", ".", "101", "and", "amendments", "thereto", ")", "or", "by", "the", "Environmental", "Protection", "Agency", "(", "or", "any", "successor", "agency", ")", "(", "40", "C", ".", "F", ".", "R", ".", "Part", "302", "and", "amendments", "thereto", ")", ";", "and", "(", "c", ")", "any", "substance", ",", "material", ",", "or", "waste", "that", "is", "petroleum", ",", "petroleum-related", ",", "or", "a", "petroleum", "by-product", ",", "asbestos", "or", "asbestos-containing", "material", ",", "polychlorinated", "biphenyls", ",", "flammable", ",", "explosive", ",", "radioactive", ",", "freon", "gas", ",", "radon", ",", "or", "a", "pesticide", ",", "herbicide", ",", "or", "any", "other", "agricultural", "chemical", "."]}
{"id": "12591", "text": "Issuing Bank Sublimit means, as of the Effective Date, (i) $2,500,000 , in the case of Chase and (ii) in the case of any other Issuing Bank, such amount as shall be designated to the Administrative Agent and the Borrower in writing by such Issuing Bank; provided that any Issuing Bank shall be permitted at any time to increase or reduce its Issuing Bank Sublimit upon providing five (5) days prior written notice thereof to the Administrative Agent and the Borrower.", "ner": [[14, 19, "Principal"]], "tokenized_text": ["Issuing", "Bank", "Sublimit", "means", ",", "as", "of", "the", "Effective", "Date", ",", "(", "i", ")", "$", "2", ",", "500", ",", "000", ",", "in", "the", "case", "of", "Chase", "and", "(", "ii", ")", "in", "the", "case", "of", "any", "other", "Issuing", "Bank", ",", "such", "amount", "as", "shall", "be", "designated", "to", "the", "Administrative", "Agent", "and", "the", "Borrower", "in", "writing", "by", "such", "Issuing", "Bank", ";", "provided", "that", "any", "Issuing", "Bank", "shall", "be", "permitted", "at", "any", "time", "to", "increase", "or", "reduce", "its", "Issuing", "Bank", "Sublimit", "upon", "providing", "five", "(", "5", ")", "days", "prior", "written", "notice", "thereof", "to", "the", "Administrative", "Agent", "and", "the", "Borrower", "."]}
{"id": "12592", "text": "Material Domestic Subsidiaries means each Domestic Subsidiary (i) which, as of the most recent fiscal quarter of the Borrower, for the period of four consecutive fiscal quarters then ended, for which financial statements have been delivered pursuant to Section 5.01(a) or (b) (or, if prior to the date of the delivery of the first financial statements to be delivered pursuant to Section 5.01(a) or (b), the most recent financial statements referred to in Section 3.04(a)), contributed greater than two-and-one-half percent ( 2.5% ) of Consolidated EBITDA for such period or (ii) which contributed greater than two-and-one-half percent ( 2.5% ) of Consolidated Total Assets as of such date; provided that, if at any time the aggregate amount of Consolidated EBITDA or Consolidated Total Assets attributable to all Domestic Subsidiaries that are not Material Domestic Subsidiaries exceeds five percent (5%) of Consolidated EBITDA for any such period or five percent (5%) of Consolidated Total Assets as of the end of any such fiscal quarter, the Borrower (or, in the event the Borrower has failed to do so within ten (10) days, the Administrative Agent) shall designate sufficient Domestic Subsidiaries as Material Domestic Subsidiaries to eliminate such excess, and such designated Subsidiaries shall for all purposes of this Agreement constitute Material Domestic Subsidiaries.", "ner": [[43, 46, "Regulation"], [107, 108, "Percentage"], [110, 113, "Percentage"], [175, 179, "Percentage"]], "tokenized_text": ["Material", "Domestic", "Subsidiaries", "means", "each", "Domestic", "Subsidiary", "(", "i", ")", "which", ",", "as", "of", "the", "most", "recent", "fiscal", "quarter", "of", "the", "Borrower", ",", "for", "the", "period", "of", "four", "consecutive", "fiscal", "quarters", "then", "ended", ",", "for", "which", "financial", "statements", "have", "been", "delivered", "pursuant", "to", "Section", "5", ".", "01", "(", "a", ")", "or", "(", "b", ")", "(", "or", ",", "if", "prior", "to", "the", "date", "of", "the", "delivery", "of", "the", "first", "financial", "statements", "to", "be", "delivered", "pursuant", "to", "Section", "5", ".", "01", "(", "a", ")", "or", "(", "b", ")", ",", "the", "most", "recent", "financial", "statements", "referred", "to", "in", "Section", "3", ".", "04", "(", "a", ")", ")", ",", "contributed", "greater", "than", "two-and-one-half", "percent", "(", "2", ".", "5", "%", ")", "of", "Consolidated", "EBITDA", "for", "such", "period", "or", "(", "ii", ")", "which", "contributed", "greater", "than", "two-and-one-half", "percent", "(", "2", ".", "5", "%", ")", "of", "Consolidated", "Total", "Assets", "as", "of", "such", "date", ";", "provided", "that", ",", "if", "at", "any", "time", "the", "aggregate", "amount", "of", "Consolidated", "EBITDA", "or", "Consolidated", "Total", "Assets", "attributable", "to", "all", "Domestic", "Subsidiaries", "that", "are", "not", "Material", "Domestic", "Subsidiaries", "exceeds", "five", "percent", "(", "5", "%", ")", "of", "Consolidated", "EBITDA", "for", "any", "such", "period", "or", "five", "percent", "(", "5", "%", ")", "of", "Consolidated", "Total", "Assets", "as", "of", "the", "end", "of", "any", "such", "fiscal", "quarter", ",", "the", "Borrower", "(", "or", ",", "in", "the", "event", "the", "Borrower", "has", "failed", "to", "do", "so", "within", "ten", "(", "10", ")", "days", ",", "the", "Administrative", "Agent", ")", "shall", "designate", "sufficient", "Domestic", "Subsidiaries", "as", "Material", "Domestic", "Subsidiaries", "to", "eliminate", "such", "excess", ",", "and", "such", "designated", "Subsidiaries", "shall", "for", "all", "purposes", "of", "this", "Agreement", "constitute", "Material", "Domestic", "Subsidiaries", "."]}
{"id": "12594", "text": "Material Indebtedness means Indebtedness (other than the Loans and Letters of Credit), or obligations in respect of one or more Swap Agreements, of any one or more of the Borrower and its Subsidiaries in an aggregate principal amount exceeding $2,500,000 . For purposes of determining Material Indebtedness , the principal amount of the obligations of the Borrower or any Subsidiary in respect of any Swap Agreement at any time shall be the maximum aggregate amount (giving effect to any netting agreements) that the Borrower or such Subsidiary would be required to pay if such Swap Agreement were terminated at such time.", "ner": [[23, 24, "Title"], [43, 48, "Principal"], [73, 74, "Title"]], "tokenized_text": ["Material", "Indebtedness", "means", "Indebtedness", "(", "other", "than", "the", "Loans", "and", "Letters", "of", "Credit", ")", ",", "or", "obligations", "in", "respect", "of", "one", "or", "more", "Swap", "Agreements", ",", "of", "any", "one", "or", "more", "of", "the", "Borrower", "and", "its", "Subsidiaries", "in", "an", "aggregate", "principal", "amount", "exceeding", "$", "2", ",", "500", ",", "000", ".", "For", "purposes", "of", "determining", "Material", "Indebtedness", ",", "the", "principal", "amount", "of", "the", "obligations", "of", "the", "Borrower", "or", "any", "Subsidiary", "in", "respect", "of", "any", "Swap", "Agreement", "at", "any", "time", "shall", "be", "the", "maximum", "aggregate", "amount", "(", "giving", "effect", "to", "any", "netting", "agreements", ")", "that", "the", "Borrower", "or", "such", "Subsidiary", "would", "be", "required", "to", "pay", "if", "such", "Swap", "Agreement", "were", "terminated", "at", "such", "time", "."]}
{"id": "12595", "text": "(e)money market funds that (i) comply with the criteria set forth in Securities and Exchange Commission Rule 2a-7 under the Investment Company Act of 1940 , (ii) are rated AAA by S&amp;P and Aaa by Moodys and (iii) have portfolio assets of at least $5,000,000,000.", "ner": [[17, 22, "Regulation"], [25, 29, "Act"], [57, 64, "Principal"]], "tokenized_text": ["(", "e", ")", "money", "market", "funds", "that", "(", "i", ")", "comply", "with", "the", "criteria", "set", "forth", "in", "Securities", "and", "Exchange", "Commission", "Rule", "2a-7", "under", "the", "Investment", "Company", "Act", "of", "1940", ",", "(", "ii", ")", "are", "rated", "AAA", "by", "S", "&", "amp", ";", "P", "and", "Aaa", "by", "Moodys", "and", "(", "iii", ")", "have", "portfolio", "assets", "of", "at", "least", "$", "5", ",", "000", ",", "000", ",", "000", "."]}
{"id": "12596", "text": "Qualified ECP Guarantor means, in respect of any Swap Obligation, each Loan Party that has total assets exceeding $10,000,000 at the time the relevant Loan Guaranty or grant of the relevant security interest becomes or would become effective with respect to such Swap Obligation or such other person as constitutes an eligible contract participant under the Commodity Exchange Act or any regulations promulgated thereunder and can cause another person to qualify as an eligible contract participant at such time by entering into a keepwell under Section 1a(18)(A)(v)(II) of the Commodity Exchange Act.&lt; br/&gt;", "ner": [[20, 25, "Principal"], [63, 65, "Act"]], "tokenized_text": ["Qualified", "ECP", "Guarantor", "means", ",", "in", "respect", "of", "any", "Swap", "Obligation", ",", "each", "Loan", "Party", "that", "has", "total", "assets", "exceeding", "$", "10", ",", "000", ",", "000", "at", "the", "time", "the", "relevant", "Loan", "Guaranty", "or", "grant", "of", "the", "relevant", "security", "interest", "becomes", "or", "would", "become", "effective", "with", "respect", "to", "such", "Swap", "Obligation", "or", "such", "other", "person", "as", "constitutes", "an", "eligible", "contract", "participant", "under", "the", "Commodity", "Exchange", "Act", "or", "any", "regulations", "promulgated", "thereunder", "and", "can", "cause", "another", "person", "to", "qualify", "as", "an", "eligible", "contract", "participant", "at", "such", "time", "by", "entering", "into", "a", "keepwell", "under", "Section", "1a", "(", "18", ")", "(", "A", ")", "(", "v", ")", "(", "II", ")", "of", "the", "Commodity", "Exchange", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "12597", "text": "Revolving Credit Maturity Date means March 1, 2022 (if the same is a Business Day, or if not then the immediately next succeeding Business Day), or any earlier date on which the Revolving Commitments are reduced to zero or otherwise terminated pursuant to the terms hereof.", "ner": [[5, 8, "TerminationDate"]], "tokenized_text": ["Revolving", "Credit", "Maturity", "Date", "means", "March", "1", ",", "2022", "(", "if", "the", "same", "is", "a", "Business", "Day", ",", "or", "if", "not", "then", "the", "immediately", "next", "succeeding", "Business", "Day", ")", ",", "or", "any", "earlier", "date", "on", "which", "the", "Revolving", "Commitments", "are", "reduced", "to", "zero", "or", "otherwise", "terminated", "pursuant", "to", "the", "terms", "hereof", "."]}
{"id": "12598", "text": "Specified Property means each of (i) the property located at 12100 West Sixth Avenue, Lakewood, CO 80228 and (ii) the property located at 625 Zoot Way, Bozeman, MT 59718.", "ner": [[12, 20, "Address"], [29, 36, "Address"]], "tokenized_text": ["Specified", "Property", "means", "each", "of", "(", "i", ")", "the", "property", "located", "at", "12100", "West", "Sixth", "Avenue", ",", "Lakewood", ",", "CO", "80228", "and", "(", "ii", ")", "the", "property", "located", "at", "625", "Zoot", "Way", ",", "Bozeman", ",", "MT", "59718", "."]}
{"id": "12599", "text": "Term Loan Maturity Date means March 1, 2022 .", "ner": [[5, 8, "EffectiveDate"]], "tokenized_text": ["Term", "Loan", "Maturity", "Date", "means", "March", "1", ",", "2022", "."]}
{"id": "12603", "text": "SECTION 1.05. Pro Forma Adjustments for Acquisitions and Dispositions. To the extent the Borrower or any Subsidiary makes any acquisition permitted pursuant to Section 6.04 or disposition of assets outside the ordinary course of business permitted by Section 6.05 during the period of four fiscal quarters of the Borrower most recently ended, the Leverage Ratio and Fixed Charge Coverage Ratio shall be calculated after giving pro forma effect thereto (including pro forma adjustments arising out of events which are directly attributable to the acquisition or the disposition of assets, are factually supportable and are expected to have a continuing impact, in each case as determined on a basis consistent with Article 11 of Regulation S-X of the Securities Act of 1933 , as amended, as interpreted by the SEC, and as certified by a Financial Officer), as if such acquisition or such disposition (and any related incurrence, repayment or assumption of Indebtedness) had occurred in the first day of such four-quarter period.", "ner": [[62, 63, "Ratio"], [65, 68, "Ratio"], [125, 126, "Regulation"], [129, 132, "Act"]], "tokenized_text": ["SECTION", "1", ".", "05", ".", "Pro", "Forma", "Adjustments", "for", "Acquisitions", "and", "Dispositions", ".", "To", "the", "extent", "the", "Borrower", "or", "any", "Subsidiary", "makes", "any", "acquisition", "permitted", "pursuant", "to", "Section", "6", ".", "04", "or", "disposition", "of", "assets", "outside", "the", "ordinary", "course", "of", "business", "permitted", "by", "Section", "6", ".", "05", "during", "the", "period", "of", "four", "fiscal", "quarters", "of", "the", "Borrower", "most", "recently", "ended", ",", "the", "Leverage", "Ratio", "and", "Fixed", "Charge", "Coverage", "Ratio", "shall", "be", "calculated", "after", "giving", "pro", "forma", "effect", "thereto", "(", "including", "pro", "forma", "adjustments", "arising", "out", "of", "events", "which", "are", "directly", "attributable", "to", "the", "acquisition", "or", "the", "disposition", "of", "assets", ",", "are", "factually", "supportable", "and", "are", "expected", "to", "have", "a", "continuing", "impact", ",", "in", "each", "case", "as", "determined", "on", "a", "basis", "consistent", "with", "Article", "11", "of", "Regulation", "S-X", "of", "the", "Securities", "Act", "of", "1933", ",", "as", "amended", ",", "as", "interpreted", "by", "the", "SEC", ",", "and", "as", "certified", "by", "a", "Financial", "Officer", ")", ",", "as", "if", "such", "acquisition", "or", "such", "disposition", "(", "and", "any", "related", "incurrence", ",", "repayment", "or", "assumption", "of", "Indebtedness", ")", "had", "occurred", "in", "the", "first", "day", "of", "such", "four-quarter", "period", "."]}
{"id": "12604", "text": "(b)Notice of Issuance, Amendment, Renewal, Extension; Certain Conditions. To request the issuance of a Letter of Credit (or the amendment, renewal or extension of an outstanding Letter of Credit), the Borrower shall hand deliver or telecopy (or transmit through Electronic System, if arrangements for doing so have been approved by the Issuing Bank) to the Issuing Bank and the Administrative Agent (reasonably in advance of the requested date of issuance, amendment, renewal or extension, but in any event no less than three Business Days) a notice requesting the issuance of a Letter of Credit, or identifying the Letter of Credit to be amended, renewed or extended, and specifying the date of issuance, amendment, renewal or extension (which shall be a Business Day), the date on which such Letter of Credit is to expire (which shall comply with paragraph (c) of this Section), the amount of such Letter of Credit, the name and address of the beneficiary thereof, and such other information as shall be necessary to prepare, amend, renew or extend such Letter of Credit. If requested by the Issuing Bank, the Borrower also shall submit a letter of credit application on the Issuing Banks standard form in connection with any request for a Letter of Credit. A Letter of Credit shall be issued, amended, renewed or extended only if (and upon issuance, amendment, renewal or extension of each Letter of Credit the Borrower shall be deemed to represent and warrant that), after giving effect to such issuance, amendment, renewal or extension (i) the aggregate LC Exposure shall not exceed $2,500,000 , (ii) no Revolving Lenders Revolving Exposure shall exceed its Revolving Commitment and (iii) the Aggregate Revolving Exposure shall not exceed the aggregate Revolving Commitments. Notwithstanding the foregoing or anything to the contrary contained herein, no Issuing Bank shall be obligated to issue or modify any Letter of Credit if, immediately after giving effect thereto, the outstanding LC Exposure in respect of all Letters of Credit issued by such Person and its Affiliates would exceed such Issuing Banks Issuing Bank Sublimit. Without limiting the foregoing and without affecting the limitations contained herein, it is understood and agreed that the Borrower may from time to time request that an Issuing Bank issue Letters of Credit in excess of its individual Issuing Bank Sublimit in effect at the time of such request, and each Issuing Bank agrees to consider any such request in good faith. Any Letter of Credit so issued by an Issuing Bank in excess of its individual Issuing Bank Sublimit then in effect shall nonetheless constitute a Letter of Credit for all purposes of the Credit Agreement, and shall not affect the Issuing Bank Sublimit of any other Issuing Bank, subject to the limitations on the aggregate LC Exposure set forth in clause (i) of this Section 2.06(b).", "ner": [[311, 316, "Principal"], [505, 506, "Title"]], "tokenized_text": ["(", "b", ")", "Notice", "of", "Issuance", ",", "Amendment", ",", "Renewal", ",", "Extension", ";", "Certain", "Conditions", ".", "To", "request", "the", "issuance", "of", "a", "Letter", "of", "Credit", "(", "or", "the", "amendment", ",", "renewal", "or", "extension", "of", "an", "outstanding", "Letter", "of", "Credit", ")", ",", "the", "Borrower", "shall", "hand", "deliver", "or", "telecopy", "(", "or", "transmit", "through", "Electronic", "System", ",", "if", "arrangements", "for", "doing", "so", "have", "been", "approved", "by", "the", "Issuing", "Bank", ")", "to", "the", "Issuing", "Bank", "and", "the", "Administrative", "Agent", "(", "reasonably", "in", "advance", "of", "the", "requested", "date", "of", "issuance", ",", "amendment", ",", "renewal", "or", "extension", ",", "but", "in", "any", "event", "no", "less", "than", "three", "Business", "Days", ")", "a", "notice", "requesting", "the", "issuance", "of", "a", "Letter", "of", "Credit", ",", "or", "identifying", "the", "Letter", "of", "Credit", "to", "be", "amended", ",", "renewed", "or", "extended", ",", "and", "specifying", "the", "date", "of", "issuance", ",", "amendment", ",", "renewal", "or", "extension", "(", "which", "shall", "be", "a", "Business", "Day", ")", ",", "the", "date", "on", "which", "such", "Letter", "of", "Credit", "is", "to", "expire", "(", "which", "shall", "comply", "with", "paragraph", "(", "c", ")", "of", "this", "Section", ")", ",", "the", "amount", "of", "such", "Letter", "of", "Credit", ",", "the", "name", "and", "address", "of", "the", "beneficiary", "thereof", ",", "and", "such", "other", "information", "as", "shall", "be", "necessary", "to", "prepare", ",", "amend", ",", "renew", "or", "extend", "such", "Letter", "of", "Credit", ".", "If", "requested", "by", "the", "Issuing", "Bank", ",", "the", "Borrower", "also", "shall", "submit", "a", "letter", "of", "credit", "application", "on", "the", "Issuing", "Banks", "standard", "form", "in", "connection", "with", "any", "request", "for", "a", "Letter", "of", "Credit", ".", "A", "Letter", "of", "Credit", "shall", "be", "issued", ",", "amended", ",", "renewed", "or", "extended", "only", "if", "(", "and", "upon", "issuance", ",", "amendment", ",", "renewal", "or", "extension", "of", "each", "Letter", "of", "Credit", "the", "Borrower", "shall", "be", "deemed", "to", "represent", "and", "warrant", "that", ")", ",", "after", "giving", "effect", "to", "such", "issuance", ",", "amendment", ",", "renewal", "or", "extension", "(", "i", ")", "the", "aggregate", "LC", "Exposure", "shall", "not", "exceed", "$", "2", ",", "500", ",", "000", ",", "(", "ii", ")", "no", "Revolving", "Lenders", "Revolving", "Exposure", "shall", "exceed", "its", "Revolving", "Commitment", "and", "(", "iii", ")", "the", "Aggregate", "Revolving", "Exposure", "shall", "not", "exceed", "the", "aggregate", "Revolving", "Commitments", ".", "Notwithstanding", "the", "foregoing", "or", "anything", "to", "the", "contrary", "contained", "herein", ",", "no", "Issuing", "Bank", "shall", "be", "obligated", "to", "issue", "or", "modify", "any", "Letter", "of", "Credit", "if", ",", "immediately", "after", "giving", "effect", "thereto", ",", "the", "outstanding", "LC", "Exposure", "in", "respect", "of", "all", "Letters", "of", "Credit", "issued", "by", "such", "Person", "and", "its", "Affiliates", "would", "exceed", "such", "Issuing", "Banks", "Issuing", "Bank", "Sublimit", ".", "Without", "limiting", "the", "foregoing", "and", "without", "affecting", "the", "limitations", "contained", "herein", ",", "it", "is", "understood", "and", "agreed", "that", "the", "Borrower", "may", "from", "time", "to", "time", "request", "that", "an", "Issuing", "Bank", "issue", "Letters", "of", "Credit", "in", "excess", "of", "its", "individual", "Issuing", "Bank", "Sublimit", "in", "effect", "at", "the", "time", "of", "such", "request", ",", "and", "each", "Issuing", "Bank", "agrees", "to", "consider", "any", "such", "request", "in", "good", "faith", ".", "Any", "Letter", "of", "Credit", "so", "issued", "by", "an", "Issuing", "Bank", "in", "excess", "of", "its", "individual", "Issuing", "Bank", "Sublimit", "then", "in", "effect", "shall", "nonetheless", "constitute", "a", "Letter", "of", "Credit", "for", "all", "purposes", "of", "the", "Credit", "Agreement", ",", "and", "shall", "not", "affect", "the", "Issuing", "Bank", "Sublimit", "of", "any", "other", "Issuing", "Bank", ",", "subject", "to", "the", "limitations", "on", "the", "aggregate", "LC", "Exposure", "set", "forth", "in", "clause", "(", "i", ")", "of", "this", "Section", "2", ".", "06", "(", "b", ")", "."]}
{"id": "12609", "text": "(i)Indebtedness of any Person that becomes a Subsidiary after the date hereof; provided that (i) such Indebtedness exists at the time such Person becomes a Subsidiary and is not created in contemplation of or in connection with such Person becoming a Subsidiary and (ii) the aggregate principal amount of Indebtedness permitted by this clause (j), together with any Refinance Indebtedness in respect thereof permitted by clause (f) above, shall not exceed $2,500,000 at any time outstanding; and", "ner": [[85, 90, "Principal"]], "tokenized_text": ["(", "i", ")", "Indebtedness", "of", "any", "Person", "that", "becomes", "a", "Subsidiary", "after", "the", "date", "hereof", ";", "provided", "that", "(", "i", ")", "such", "Indebtedness", "exists", "at", "the", "time", "such", "Person", "becomes", "a", "Subsidiary", "and", "is", "not", "created", "in", "contemplation", "of", "or", "in", "connection", "with", "such", "Person", "becoming", "a", "Subsidiary", "and", "(", "ii", ")", "the", "aggregate", "principal", "amount", "of", "Indebtedness", "permitted", "by", "this", "clause", "(", "j", ")", ",", "together", "with", "any", "Refinance", "Indebtedness", "in", "respect", "thereof", "permitted", "by", "clause", "(", "f", ")", "above", ",", "shall", "not", "exceed", "$", "2", ",", "500", ",", "000", "at", "any", "time", "outstanding", ";", "and"]}
{"id": "12610", "text": "(a)Leverage Ratio. The Borrower will not permit the Leverage Ratio, on the last day of any fiscal quarter ending on or after March 31, 2017, to be greater than 3.00 to 1.00; provided that, so long as no Event of Default exists at such time or would result therefrom, the Borrower may, only once during the term of this Agreement in connection with a Permitted Acquisition for which the aggregate consideration paid or to be paid in respect thereof equals or exceeds $20,000,000, elect to increase the maximum Leverage Ratio permitted hereunder to (i)3.50 to 1.00 for a period of four consecutive fiscal quarters commencing with the fiscal quarter in which such Permitted Acquisition occurs (the Initial Holiday Period) and (ii)3.25 to 1.00 for the period of four consecutive fiscal quarters immediately following the Initial Holiday Period (any such election in respect of the maximum Leverage Ratio pursuant to this Section6.12(a) being referred to as an Acquisition Holiday).", "ner": [[27, 30, "TerminationDate"], [36, 42, "Ratio"], [97, 102, "Ratio"], [117, 123, "Ratio"], [153, 159, "Ratio"]], "tokenized_text": ["(", "a", ")", "Leverage", "Ratio", ".", "The", "Borrower", "will", "not", "permit", "the", "Leverage", "Ratio", ",", "on", "the", "last", "day", "of", "any", "fiscal", "quarter", "ending", "on", "or", "after", "March", "31", ",", "2017", ",", "to", "be", "greater", "than", "3", ".", "00", "to", "1", ".", "00", ";", "provided", "that", ",", "so", "long", "as", "no", "Event", "of", "Default", "exists", "at", "such", "time", "or", "would", "result", "therefrom", ",", "the", "Borrower", "may", ",", "only", "once", "during", "the", "term", "of", "this", "Agreement", "in", "connection", "with", "a", "Permitted", "Acquisition", "for", "which", "the", "aggregate", "consideration", "paid", "or", "to", "be", "paid", "in", "respect", "thereof", "equals", "or", "exceeds", "$", "20", ",", "000", ",", "000", ",", "elect", "to", "increase", "the", "maximum", "Leverage", "Ratio", "permitted", "hereunder", "to", "(", "i", ")", "3", ".", "50", "to", "1", ".", "00", "for", "a", "period", "of", "four", "consecutive", "fiscal", "quarters", "commencing", "with", "the", "fiscal", "quarter", "in", "which", "such", "Permitted", "Acquisition", "occurs", "(", "the", "Initial", "Holiday", "Period", ")", "and", "(", "ii", ")", "3", ".", "25", "to", "1", ".", "00", "for", "the", "period", "of", "four", "consecutive", "fiscal", "quarters", "immediately", "following", "the", "Initial", "Holiday", "Period", "(", "any", "such", "election", "in", "respect", "of", "the", "maximum", "Leverage", "Ratio", "pursuant", "to", "this", "Section6", ".", "12", "(", "a", ")", "being", "referred", "to", "as", "an", "Acquisition", "Holiday", ")", "."]}
{"id": "12611", "text": "(b)Fixed Charge Coverage Ratio. The Borrower will not permit the Fixed Charge Coverage Ratio, for any period of four consecutive fiscal quarters ending on the last day of any fiscal quarter ending on or after March 31, 2017, to be less than 1.25 to 1.00.&lt; br/&gt;", "ner": [[49, 56, "Ratio"]], "tokenized_text": ["(", "b", ")", "Fixed", "Charge", "Coverage", "Ratio", ".", "The", "Borrower", "will", "not", "permit", "the", "Fixed", "Charge", "Coverage", "Ratio", ",", "for", "any", "period", "of", "four", "consecutive", "fiscal", "quarters", "ending", "on", "the", "last", "day", "of", "any", "fiscal", "quarter", "ending", "on", "or", "after", "March", "31", ",", "2017", ",", "to", "be", "less", "than", "1", ".", "25", "to", "1", ".", "00", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "12612", "text": "(k)one or more judgments for the payment of money in an aggregate amount in excess of $2,500,000 shall be rendered against any Loan Party, any Subsidiary or any combination thereof and the same shall remain undischarged for a period of thirty (30) consecutive days during which execution shall not be effectively stayed, or any action shall be legally taken by a judgment creditor to attach or levy upon any assets of any Loan Party or any Subsidiary to enforce any such judgment or any Loan Party or any Subsidiary shall fail within thirty (30) days to discharge one or more non-monetary judgments or orders which, individually or in the aggregate, could reasonably be expected to have a Material Adverse Effect, which judgments or orders, in any such case, are not stayed on appeal and being appropriately contested in good faith by proper proceedings diligently pursued;", "ner": [[19, 24, "Principal"]], "tokenized_text": ["(", "k", ")", "one", "or", "more", "judgments", "for", "the", "payment", "of", "money", "in", "an", "aggregate", "amount", "in", "excess", "of", "$", "2", ",", "500", ",", "000", "shall", "be", "rendered", "against", "any", "Loan", "Party", ",", "any", "Subsidiary", "or", "any", "combination", "thereof", "and", "the", "same", "shall", "remain", "undischarged", "for", "a", "period", "of", "thirty", "(", "30", ")", "consecutive", "days", "during", "which", "execution", "shall", "not", "be", "effectively", "stayed", ",", "or", "any", "action", "shall", "be", "legally", "taken", "by", "a", "judgment", "creditor", "to", "attach", "or", "levy", "upon", "any", "assets", "of", "any", "Loan", "Party", "or", "any", "Subsidiary", "to", "enforce", "any", "such", "judgment", "or", "any", "Loan", "Party", "or", "any", "Subsidiary", "shall", "fail", "within", "thirty", "(", "30", ")", "days", "to", "discharge", "one", "or", "more", "non-monetary", "judgments", "or", "orders", "which", ",", "individually", "or", "in", "the", "aggregate", ",", "could", "reasonably", "be", "expected", "to", "have", "a", "Material", "Adverse", "Effect", ",", "which", "judgments", "or", "orders", ",", "in", "any", "such", "case", ",", "are", "not", "stayed", "on", "appeal", "and", "being", "appropriately", "contested", "in", "good", "faith", "by", "proper", "proceedings", "diligently", "pursued", ";"]}
{"id": "12613", "text": "Mesa Laboratories, Inc. 12100 West Sixth Avenue Lakewood, Colorado 80228 Attention: John Sakys Fax No: (303) 265-9595", "ner": [[5, 12, "Address"], [15, 16, "PII_Ref"], [20, 23, "PII_Ref"]], "tokenized_text": ["Mesa", "Laboratories", ",", "Inc", ".", "12100", "West", "Sixth", "Avenue", "Lakewood", ",", "Colorado", "80228", "Attention", ":", "John", "Sakys", "Fax", "No", ":", "(", "303", ")", "265-9595"]}
{"id": "12614", "text": "JPMorgan Chase Bank, N.A. Middle Market Servicing 10 South Dearborn, Floor L2 Suite IL1-0480 Chicago, IL, 60603-2300 Email: jpm.agency.servicing.1@jpmorgan.com", "ner": [[26, 36, "PII_Ref"]], "tokenized_text": ["JPMorgan", "Chase", "Bank", ",", "N", ".", "A", ".", "Middle", "Market", "Servicing", "10", "South", "Dearborn", ",", "Floor", "L2", "Suite", "IL1-0480", "Chicago", ",", "IL", ",", "60603-2300", "Email", ":", "jpm", ".", "agency", ".", "servicing", ".", "1", "@", "jpmorgan", ".", "com"]}
{"id": "12615", "text": "JPMorgan Chase Bank, N.A. 1125 17th Street, Floor 03 Denver, Colorado, 80202-2060 Attention: Karl Thomasma Fax No: 303-244-3105", "ner": [[8, 18, "Address"], [21, 22, "PII_Ref"], [26, 26, "PII_Ref"]], "tokenized_text": ["JPMorgan", "Chase", "Bank", ",", "N", ".", "A", ".", "1125", "17th", "Street", ",", "Floor", "03", "Denver", ",", "Colorado", ",", "80202-2060", "Attention", ":", "Karl", "Thomasma", "Fax", "No", ":", "303-244-3105"]}
{"id": "12621", "text": "SECTION 9.14. USA PATRIOT Act. Each Lender that is subject to the requirements of the USA PATRIOT Act hereby notifies each Loan Party that pursuant to the requirements of the USA PATRIOT Act, it is required to obtain, verify and record information that identifies such Loan Party, which information includes the name and address of such Loan Party and other information that will allow such Lender to identify such Loan Party in accordance with the USA PATRIOT Act.&lt; br/&gt;", "ner": [[5, 7, "Act"]], "tokenized_text": ["SECTION", "9", ".", "14", ".", "USA", "PATRIOT", "Act", ".", "Each", "Lender", "that", "is", "subject", "to", "the", "requirements", "of", "the", "USA", "PATRIOT", "Act", "hereby", "notifies", "each", "Loan", "Party", "that", "pursuant", "to", "the", "requirements", "of", "the", "USA", "PATRIOT", "Act", ",", "it", "is", "required", "to", "obtain", ",", "verify", "and", "record", "information", "that", "identifies", "such", "Loan", "Party", ",", "which", "information", "includes", "the", "name", "and", "address", "of", "such", "Loan", "Party", "and", "other", "information", "that", "will", "allow", "such", "Lender", "to", "identify", "such", "Loan", "Party", "in", "accordance", "with", "the", "USA", "PATRIOT", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "12623", "text": "JPMORGAN CHASE BANK, N.A. , individually, and as", "ner": [[0, 7, "Parties"]], "tokenized_text": ["JPMORGAN", "CHASE", "BANK", ",", "N", ".", "A", ".", ",", "individually", ",", "and", "as"]}
{"id": "12624", "text": "EX-10.1 8 mrdn_ex101.htm MEMBERSHIP INTEREST PURCHASE AGREEMENT", "ner": [[9, 10, "Title"]], "tokenized_text": ["EX-10", ".", "1", "8", "mrdn_ex101", ".", "htm", "MEMBERSHIP", "INTEREST", "PURCHASE", "AGREEMENT"]}
{"id": "12625", "text": "Membership Interest Purchase Agreement", "ner": [[2, 3, "Title"]], "tokenized_text": ["Membership", "Interest", "Purchase", "Agreement"]}
{"id": "12627", "text": "This Membership Interest Purchase Agreement (this Agreement) is entered into as of February 15, 2017 (the Effective Date), by and between Meridian Waste Solutions, Inc ., a New York corporation (Buyer), and Waste Services Industries, LLC , a Delaware limited liability company (Seller). Buyer and Seller are referred to collectively herein as the Parties and each a Party.", "ner": [[3, 4, "Title"], [14, 17, "EffectiveDate"], [27, 32, "Parties"], [43, 47, "Parties"]], "tokenized_text": ["This", "Membership", "Interest", "Purchase", "Agreement", "(", "this", "Agreement", ")", "is", "entered", "into", "as", "of", "February", "15", ",", "2017", "(", "the", "Effective", "Date", ")", ",", "by", "and", "between", "Meridian", "Waste", "Solutions", ",", "Inc", ".", ",", "a", "New", "York", "corporation", "(", "Buyer", ")", ",", "and", "Waste", "Services", "Industries", ",", "LLC", ",", "a", "Delaware", "limited", "liability", "company", "(", "Seller", ")", ".", "Buyer", "and", "Seller", "are", "referred", "to", "collectively", "herein", "as", "the", "Parties", "and", "each", "a", "Party", "."]}
{"id": "12628", "text": "The Companies, collectively, (i) own fee simple title to approximately 200+/- acres of real property located at 45 Old Mansion Road, Lunenburg Virginia, 23952 , including all Improvements, structures and fixtures located thereon and appurtenances thereto, as more particularly described in Exhibit A attached hereto (the Lunenburg Property), which is operated as a municipal solid waste landfill on the Lunenburg Property having not less than 250,000 cubic yards of useable airspace at Closing (the Lunenburg Landfill), together with all applicable state and local Permits, Governmental Authorizations, Consents, Approvals, licenses, and any other permits and approvals necessary or required to own, operate, develop and construct the Lunenburg Landfill; (ii) own fee simple title to (A) approximately 83+/- acres of real property located at 390 Industrial Drive, Petersburg, Virginia, 23803 , (B) approximately 2.926+/- acres of real property located at 2053 North Factory Lane, Petersburg, Virginia 23803, and (C) approximately 8.6471+/- acres of real property located at 350 Industrial Drive, Petersburg, Virginia 23803, including all Improvements, structures and fixtures located thereon and appurtenances thereto, as more particularly described in Exhibit B attached here to (the Petersburg Property), which the parcel described in the forgoing (A) is operated as a municipal solid waste landfill on the Petersburg Property having not less than 2,477,000 cubic yards of useable airspace at Closing (the Petersburg Landfill) and the parcels described in the forgoing (B) and (C) are intended for use in the future expansion of the Petersburg Landfill, together with all applicable state and local Permits, Governmental Authorizations, Consents, Approvals, licenses, and any other permits and approvals necessary or required to own, operate, develop and construct the Petersburg Landfill; (iii) lease approximately 1.265+/- acres of real property located at 337-B Industrial Drive, Petersburg, Virginia, 23803 , including all Improvements, structures and fixtures located thereon and appurtenances thereto, as more particularly described in Exhibit C attached here to (the Transfer Station Property), which is operated as a municipal solid waste transfer station located on the Transfer Station Property (the Transfer Station), together with all applicable state and local Permits, Governmental Authorizations, Consents, Approvals, licenses, and any other permits and approvals necessary or required to own or lease, operate, develop and construct the Transfer Station; (iv) lease warehouse space in two buildings located at 333-B and 333-C Industrial Drive, Petersburg, Virginia 23803, as more particularly described in Exhibit D attached here to (the Hauling Company Property), which is operated as a residential, commercial roll-off, and front load solid waste collection, transportation and disposal business (the Hauling Company Business), together with all applicable state and local Permits, Governmental Authorizations, Consents, Approvals, licenses, and any other permits and approvals necessary or required to own or lease and operate the Hauling Company Business; and (v) lease warehouse space located at 337 Industrial Drive, Petersburg, Virginia, 23803 , as more particularly described in Exhibit E attached hereto (the DuPont Recycle Property), which is operated as a recycling facility for DuPont Tyvek post-industrial scrap collected by the Hauling Company Business (the DuPont Recycle Business). The Lunenburg Landfill, Petersburg Landfill, Transfer Station, Hauling Company Business and DuPont Recycle Business are collectively, the Businesses and each a Business. The Lunenburg Property, Petersburg Property, Transfer Station Property, Hauling Company Property and DuPont Recycle Property are collectively, the Properties and each a Property.", "ner": [[24, 32, "Address"], [156, 164, "Address"], [182, 189, "Address"], [209, 216, "Address"], [373, 381, "Address"], [487, 496, "Address"], [590, 598, "Address"]], "tokenized_text": ["The", "Companies", ",", "collectively", ",", "(", "i", ")", "own", "fee", "simple", "title", "to", "approximately", "200", "+", "/", "-", "acres", "of", "real", "property", "located", "at", "45", "Old", "Mansion", "Road", ",", "Lunenburg", "Virginia", ",", "23952", ",", "including", "all", "Improvements", ",", "structures", "and", "fixtures", "located", "thereon", "and", "appurtenances", "thereto", ",", "as", "more", "particularly", "described", "in", "Exhibit", "A", "attached", "hereto", "(", "the", "Lunenburg", "Property", ")", ",", "which", "is", "operated", "as", "a", "municipal", "solid", "waste", "landfill", "on", "the", "Lunenburg", "Property", "having", "not", "less", "than", "250", ",", "000", "cubic", "yards", "of", "useable", "airspace", "at", "Closing", "(", "the", "Lunenburg", "Landfill", ")", ",", "together", "with", "all", "applicable", "state", "and", "local", "Permits", ",", "Governmental", "Authorizations", ",", "Consents", ",", "Approvals", ",", "licenses", ",", "and", "any", "other", "permits", "and", "approvals", "necessary", "or", "required", "to", "own", ",", "operate", ",", "develop", "and", "construct", "the", "Lunenburg", "Landfill", ";", "(", "ii", ")", "own", "fee", "simple", "title", "to", "(", "A", ")", "approximately", "83", "+", "/", "-", "acres", "of", "real", "property", "located", "at", "390", "Industrial", "Drive", ",", "Petersburg", ",", "Virginia", ",", "23803", ",", "(", "B", ")", "approximately", "2", ".", "926", "+", "/", "-", "acres", "of", "real", "property", "located", "at", "2053", "North", "Factory", "Lane", ",", "Petersburg", ",", "Virginia", "23803", ",", "and", "(", "C", ")", "approximately", "8", ".", "6471", "+", "/", "-", "acres", "of", "real", "property", "located", "at", "350", "Industrial", "Drive", ",", "Petersburg", ",", "Virginia", "23803", ",", "including", "all", "Improvements", ",", "structures", "and", "fixtures", "located", "thereon", "and", "appurtenances", "thereto", ",", "as", "more", "particularly", "described", "in", "Exhibit", "B", "attached", "here", "to", "(", "the", "Petersburg", "Property", ")", ",", "which", "the", "parcel", "described", "in", "the", "forgoing", "(", "A", ")", "is", "operated", "as", "a", "municipal", "solid", "waste", "landfill", "on", "the", "Petersburg", "Property", "having", "not", "less", "than", "2", ",", "477", ",", "000", "cubic", "yards", "of", "useable", "airspace", "at", "Closing", "(", "the", "Petersburg", "Landfill", ")", "and", "the", "parcels", "described", "in", "the", "forgoing", "(", "B", ")", "and", "(", "C", ")", "are", "intended", "for", "use", "in", "the", "future", "expansion", "of", "the", "Petersburg", "Landfill", ",", "together", "with", "all", "applicable", "state", "and", "local", "Permits", ",", "Governmental", "Authorizations", ",", "Consents", ",", "Approvals", ",", "licenses", ",", "and", "any", "other", "permits", "and", "approvals", "necessary", "or", "required", "to", "own", ",", "operate", ",", "develop", "and", "construct", "the", "Petersburg", "Landfill", ";", "(", "iii", ")", "lease", "approximately", "1", ".", "265", "+", "/", "-", "acres", "of", "real", "property", "located", "at", "337-B", "Industrial", "Drive", ",", "Petersburg", ",", "Virginia", ",", "23803", ",", "including", "all", "Improvements", ",", "structures", "and", "fixtures", "located", "thereon", "and", "appurtenances", "thereto", ",", "as", "more", "particularly", "described", "in", "Exhibit", "C", "attached", "here", "to", "(", "the", "Transfer", "Station", "Property", ")", ",", "which", "is", "operated", "as", "a", "municipal", "solid", "waste", "transfer", "station", "located", "on", "the", "Transfer", "Station", "Property", "(", "the", "Transfer", "Station", ")", ",", "together", "with", "all", "applicable", "state", "and", "local", "Permits", ",", "Governmental", "Authorizations", ",", "Consents", ",", "Approvals", ",", "licenses", ",", "and", "any", "other", "permits", "and", "approvals", "necessary", "or", "required", "to", "own", "or", "lease", ",", "operate", ",", "develop", "and", "construct", "the", "Transfer", "Station", ";", "(", "iv", ")", "lease", "warehouse", "space", "in", "two", "buildings", "located", "at", "333-B", "and", "333-C", "Industrial", "Drive", ",", "Petersburg", ",", "Virginia", "23803", ",", "as", "more", "particularly", "described", "in", "Exhibit", "D", "attached", "here", "to", "(", "the", "Hauling", "Company", "Property", ")", ",", "which", "is", "operated", "as", "a", "residential", ",", "commercial", "roll-off", ",", "and", "front", "load", "solid", "waste", "collection", ",", "transportation", "and", "disposal", "business", "(", "the", "Hauling", "Company", "Business", ")", ",", "together", "with", "all", "applicable", "state", "and", "local", "Permits", ",", "Governmental", "Authorizations", ",", "Consents", ",", "Approvals", ",", "licenses", ",", "and", "any", "other", "permits", "and", "approvals", "necessary", "or", "required", "to", "own", "or", "lease", "and", "operate", "the", "Hauling", "Company", "Business", ";", "and", "(", "v", ")", "lease", "warehouse", "space", "located", "at", "337", "Industrial", "Drive", ",", "Petersburg", ",", "Virginia", ",", "23803", ",", "as", "more", "particularly", "described", "in", "Exhibit", "E", "attached", "hereto", "(", "the", "DuPont", "Recycle", "Property", ")", ",", "which", "is", "operated", "as", "a", "recycling", "facility", "for", "DuPont", "Tyvek", "post-industrial", "scrap", "collected", "by", "the", "Hauling", "Company", "Business", "(", "the", "DuPont", "Recycle", "Business", ")", ".", "The", "Lunenburg", "Landfill", ",", "Petersburg", "Landfill", ",", "Transfer", "Station", ",", "Hauling", "Company", "Business", "and", "DuPont", "Recycle", "Business", "are", "collectively", ",", "the", "Businesses", "and", "each", "a", "Business", ".", "The", "Lunenburg", "Property", ",", "Petersburg", "Property", ",", "Transfer", "Station", "Property", ",", "Hauling", "Company", "Property", "and", "DuPont", "Recycle", "Property", "are", "collectively", ",", "the", "Properties", "and", "each", "a", "Property", "."]}
{"id": "12631", "text": "(iii) Five Hundred Thousand and no/100ths ( 500,000.00 ) shares of Buyers restricted voting common stock, par value $0.025 per share (the Purchase Price Shares), shall be issued to Seller at Closing.", "ner": [[3, 5, "Shares"], [11, 15, "Shares"], [27, 30, "Price"]], "tokenized_text": ["(", "iii", ")", "Five", "Hundred", "Thousand", "and", "no", "/", "100ths", "(", "500", ",", "000", ".", "00", ")", "shares", "of", "Buyers", "restricted", "voting", "common", "stock", ",", "par", "value", "$", "0", ".", "025", "per", "share", "(", "the", "Purchase", "Price", "Shares", ")", ",", "shall", "be", "issued", "to", "Seller", "at", "Closing", "."]}
{"id": "12633", "text": "95% of the Accounts Receivables outstanding for 30 days or less as of the Closing Date;", "ner": [[0, 1, "Percentage"]], "tokenized_text": ["95", "%", "of", "the", "Accounts", "Receivables", "outstanding", "for", "30", "days", "or", "less", "as", "of", "the", "Closing", "Date", ";"]}
{"id": "12634", "text": "70% of the Accounts Receivables outstanding for more 30 days but less than 60 days as of the Closing Date; and", "ner": [[0, 1, "Percentage"]], "tokenized_text": ["70", "%", "of", "the", "Accounts", "Receivables", "outstanding", "for", "more", "30", "days", "but", "less", "than", "60", "days", "as", "of", "the", "Closing", "Date", ";", "and"]}
{"id": "12637", "text": "(i) Investor Qualifications. Buyer: (i) has such knowledge and experience in financial and business matters that it is capable of evaluating the merits and risks of its investment in the Membership Interests; (ii) is able to bear the complete loss of its investment in the Membership Interests; (iii) has had the opportunity to ask questions of the Seller and each of the Companies and their management concerning the terms and conditions of the Membership Interests, the business of each of the Companies, the Companies ownership and use of their respective assets, estimates and judgments utilized and relied upon by the Companies in preparing their financial statements; (iv) has had the opportunity to obtain additional information about each of the Companies and its business and all of Buyers questions have been answered to its satisfaction; and (v) is otherwise an accredited investor as such term is defined in Rule 501 promulgated under the Securities Act.&lt; br/&gt;", "ner": [[168, 169, "Regulation"], [173, 174, "Act"]], "tokenized_text": ["(", "i", ")", "Investor", "Qualifications", ".", "Buyer", ":", "(", "i", ")", "has", "such", "knowledge", "and", "experience", "in", "financial", "and", "business", "matters", "that", "it", "is", "capable", "of", "evaluating", "the", "merits", "and", "risks", "of", "its", "investment", "in", "the", "Membership", "Interests", ";", "(", "ii", ")", "is", "able", "to", "bear", "the", "complete", "loss", "of", "its", "investment", "in", "the", "Membership", "Interests", ";", "(", "iii", ")", "has", "had", "the", "opportunity", "to", "ask", "questions", "of", "the", "Seller", "and", "each", "of", "the", "Companies", "and", "their", "management", "concerning", "the", "terms", "and", "conditions", "of", "the", "Membership", "Interests", ",", "the", "business", "of", "each", "of", "the", "Companies", ",", "the", "Companies", "ownership", "and", "use", "of", "their", "respective", "assets", ",", "estimates", "and", "judgments", "utilized", "and", "relied", "upon", "by", "the", "Companies", "in", "preparing", "their", "financial", "statements", ";", "(", "iv", ")", "has", "had", "the", "opportunity", "to", "obtain", "additional", "information", "about", "each", "of", "the", "Companies", "and", "its", "business", "and", "all", "of", "Buyers", "questions", "have", "been", "answered", "to", "its", "satisfaction", ";", "and", "(", "v", ")", "is", "otherwise", "an", "accredited", "investor", "as", "such", "term", "is", "defined", "in", "Rule", "501", "promulgated", "under", "the", "Securities", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "12640", "text": "4.1 Organization, Qualification, and Power. Each of the Companies is a limited liability company duly organized and validly existing under the laws of the Commonwealth of Virginia . Each of the Companies is duly authorized to conduct business and is in good standing under the laws of each jurisdiction where such qualification is required, except those jurisdictions where the failure to qualify would not have a Material Adverse Effect. The Companies all have full power and authority and all licenses, Consents, permits, Approvals, and authorizations necessary to carry on the Business in which each Company is engaged and to own or lease, as applicable, and use the Property owned and used by each Company. Schedule 4.1 lists the members, managers, directors and officers of the Companies. Seller has delivered to Buyer correct and complete copies of the Organizational Documents of the Companies (as amended to date). The Companies do not maintain minute books and the Membership Interests of the Companies are not certificated. None of the Companies is in default under or in violation of any provision of its Organizational Documents.", "ner": [[29, 31, "Court"]], "tokenized_text": ["4", ".", "1", "Organization", ",", "Qualification", ",", "and", "Power", ".", "Each", "of", "the", "Companies", "is", "a", "limited", "liability", "company", "duly", "organized", "and", "validly", "existing", "under", "the", "laws", "of", "the", "Commonwealth", "of", "Virginia", ".", "Each", "of", "the", "Companies", "is", "duly", "authorized", "to", "conduct", "business", "and", "is", "in", "good", "standing", "under", "the", "laws", "of", "each", "jurisdiction", "where", "such", "qualification", "is", "required", ",", "except", "those", "jurisdictions", "where", "the", "failure", "to", "qualify", "would", "not", "have", "a", "Material", "Adverse", "Effect", ".", "The", "Companies", "all", "have", "full", "power", "and", "authority", "and", "all", "licenses", ",", "Consents", ",", "permits", ",", "Approvals", ",", "and", "authorizations", "necessary", "to", "carry", "on", "the", "Business", "in", "which", "each", "Company", "is", "engaged", "and", "to", "own", "or", "lease", ",", "as", "applicable", ",", "and", "use", "the", "Property", "owned", "and", "used", "by", "each", "Company", ".", "Schedule", "4", ".", "1", "lists", "the", "members", ",", "managers", ",", "directors", "and", "officers", "of", "the", "Companies", ".", "Seller", "has", "delivered", "to", "Buyer", "correct", "and", "complete", "copies", "of", "the", "Organizational", "Documents", "of", "the", "Companies", "(", "as", "amended", "to", "date", ")", ".", "The", "Companies", "do", "not", "maintain", "minute", "books", "and", "the", "Membership", "Interests", "of", "the", "Companies", "are", "not", "certificated", ".", "None", "of", "the", "Companies", "is", "in", "default", "under", "or", "in", "violation", "of", "any", "provision", "of", "its", "Organizational", "Documents", "."]}
{"id": "12641", "text": "(iii) To the Knowledge of Seller, the operation of the Lunenburg Landfill does not violate the current zoning for the Lunenburg Property. The Petersburg Property is currently zoned (i) Ordinance 09-ORD-57 under Article 37, Municipal Solid Waste Landfill Uses, of the Petersburg Zoning Ordinance (Landfill); and (ii) M-2 Heavy Industrial District under Article 37, Municipal Solid Waste Landfill Uses, of the Petersburg Zoning Ordinance (350 Industrial Drive and 2053 North Factory Lane). To the Knowledge of Seller, the operation of the Transfer Station does not violate the current zoning for the Transfer Station Property. To the Knowledge of Seller, the operation of the Hauling Company does not violate the current zoning for the Hauling Company Property. To the Knowledge of Seller, there is no pending or anticipated change in any zoning or land use laws applicable to the Properties that will materially impair the development, construction, operation or use of any Property or any portion thereof as a municipal solid waste landfill, a municipal solid waste transfer station, or a Hauling Company Business, or otherwise as each Property is currently being used. The Seller has not received any notice of violation of any building, zoning, comprehensive planning, subdivision, health and safety and other land use laws, regulations, ordinances and rules affecting the Properties. To the Knowledge of Seller, the Properties are in compliance with all Legal Requirements, including all applicable building, zoning, comprehensive planning, subdivision, health and safety and other land use laws, regulations, ordinances and rules affecting the Properties (collectively, the Real Property Laws), and, to the Knowledge of Seller, the current use, operation and occupancy of the Properties, including the use, occupancy and operation of the Businesses, does not violate any Real Property Laws. The Seller has not received any written notice of violation of any Real Property Law.", "ner": [[35, 36, "Regulation"], [60, 63, "Address"], [80, 87, "Address"], [298, 300, "Regulation"]], "tokenized_text": ["(", "iii", ")", "To", "the", "Knowledge", "of", "Seller", ",", "the", "operation", "of", "the", "Lunenburg", "Landfill", "does", "not", "violate", "the", "current", "zoning", "for", "the", "Lunenburg", "Property", ".", "The", "Petersburg", "Property", "is", "currently", "zoned", "(", "i", ")", "Ordinance", "09-ORD-57", "under", "Article", "37", ",", "Municipal", "Solid", "Waste", "Landfill", "Uses", ",", "of", "the", "Petersburg", "Zoning", "Ordinance", "(", "Landfill", ")", ";", "and", "(", "ii", ")", "M-2", "Heavy", "Industrial", "District", "under", "Article", "37", ",", "Municipal", "Solid", "Waste", "Landfill", "Uses", ",", "of", "the", "Petersburg", "Zoning", "Ordinance", "(", "350", "Industrial", "Drive", "and", "2053", "North", "Factory", "Lane", ")", ".", "To", "the", "Knowledge", "of", "Seller", ",", "the", "operation", "of", "the", "Transfer", "Station", "does", "not", "violate", "the", "current", "zoning", "for", "the", "Transfer", "Station", "Property", ".", "To", "the", "Knowledge", "of", "Seller", ",", "the", "operation", "of", "the", "Hauling", "Company", "does", "not", "violate", "the", "current", "zoning", "for", "the", "Hauling", "Company", "Property", ".", "To", "the", "Knowledge", "of", "Seller", ",", "there", "is", "no", "pending", "or", "anticipated", "change", "in", "any", "zoning", "or", "land", "use", "laws", "applicable", "to", "the", "Properties", "that", "will", "materially", "impair", "the", "development", ",", "construction", ",", "operation", "or", "use", "of", "any", "Property", "or", "any", "portion", "thereof", "as", "a", "municipal", "solid", "waste", "landfill", ",", "a", "municipal", "solid", "waste", "transfer", "station", ",", "or", "a", "Hauling", "Company", "Business", ",", "or", "otherwise", "as", "each", "Property", "is", "currently", "being", "used", ".", "The", "Seller", "has", "not", "received", "any", "notice", "of", "violation", "of", "any", "building", ",", "zoning", ",", "comprehensive", "planning", ",", "subdivision", ",", "health", "and", "safety", "and", "other", "land", "use", "laws", ",", "regulations", ",", "ordinances", "and", "rules", "affecting", "the", "Properties", ".", "To", "the", "Knowledge", "of", "Seller", ",", "the", "Properties", "are", "in", "compliance", "with", "all", "Legal", "Requirements", ",", "including", "all", "applicable", "building", ",", "zoning", ",", "comprehensive", "planning", ",", "subdivision", ",", "health", "and", "safety", "and", "other", "land", "use", "laws", ",", "regulations", ",", "ordinances", "and", "rules", "affecting", "the", "Properties", "(", "collectively", ",", "the", "Real", "Property", "Laws", ")", ",", "and", ",", "to", "the", "Knowledge", "of", "Seller", ",", "the", "current", "use", ",", "operation", "and", "occupancy", "of", "the", "Properties", ",", "including", "the", "use", ",", "occupancy", "and", "operation", "of", "the", "Businesses", ",", "does", "not", "violate", "any", "Real", "Property", "Laws", ".", "The", "Seller", "has", "not", "received", "any", "written", "notice", "of", "violation", "of", "any", "Real", "Property", "Law", "."]}
{"id": "12643", "text": "(vii) To the Knowledge of Seller, each Property has legal access to a public right-of-way. None of the Seller or the Companies is a party to any easements, rights of way, reservations of gas, timber, mineral rights, leases or other Liens which do not appear in the Public Records of City of Petersburg, Virginia or the County of Lunenburg, Virginia. Seller shall not grant, convey, dispose of, sell, encumber, assign or transfer any interest in any Property, including but not limited to any contract, option, lease, easement, or other agreement granting any interest whatsoever in the Properties, without the prior written consent of Buyer. Except as set forth in Schedule 4.16(vii), the Companies hold fee simple title to the Properties.", "ner": [[59, 63, "Court"], [66, 70, "Court"]], "tokenized_text": ["(", "vii", ")", "To", "the", "Knowledge", "of", "Seller", ",", "each", "Property", "has", "legal", "access", "to", "a", "public", "right-of-way", ".", "None", "of", "the", "Seller", "or", "the", "Companies", "is", "a", "party", "to", "any", "easements", ",", "rights", "of", "way", ",", "reservations", "of", "gas", ",", "timber", ",", "mineral", "rights", ",", "leases", "or", "other", "Liens", "which", "do", "not", "appear", "in", "the", "Public", "Records", "of", "City", "of", "Petersburg", ",", "Virginia", "or", "the", "County", "of", "Lunenburg", ",", "Virginia", ".", "Seller", "shall", "not", "grant", ",", "convey", ",", "dispose", "of", ",", "sell", ",", "encumber", ",", "assign", "or", "transfer", "any", "interest", "in", "any", "Property", ",", "including", "but", "not", "limited", "to", "any", "contract", ",", "option", ",", "lease", ",", "easement", ",", "or", "other", "agreement", "granting", "any", "interest", "whatsoever", "in", "the", "Properties", ",", "without", "the", "prior", "written", "consent", "of", "Buyer", ".", "Except", "as", "set", "forth", "in", "Schedule", "4", ".", "16", "(", "vii", ")", ",", "the", "Companies", "hold", "fee", "simple", "title", "to", "the", "Properties", "."]}
{"id": "12649", "text": "5.2 Inspection Period. Buyer shall have an inspection period beginning on the Effective Date and ending January 31, 2017 (the Inspection Period). Buyer shall have the Inspection Period within which to physically inspect the Assets, including the Properties, and the Company Documents and to conduct its due diligence with respect to the Assets, including the Properties, the Businesses and the Companies. Buyer and Buyers officers, directors, employees, consultants, agents and attorneys and other authorized representatives, shall have the right to reasonable access to the Assets, the Properties and Company Documents and to all records of Seller and the Companies related thereto, including without limitation title information, property information, surveys, maintenance records, environmental assessment reports, engineering reports and any other information of the Companies, the Businesses and the Assets, at reasonable times during the Inspection Period, without unreasonably interfering with the operation of the Business, for the purpose of inspecting the Assets, including the Properties, and the Businesses, and conducting all studies, tests, inspections and measurements of all kinds as deemed necessary by Buyer, reviewing the books and records of Seller and the Companies concerning the Companies, the Businesses and the Assets, including the Properties, and otherwise conducting its due diligence review of the Companies, the Businesses, and the Assets, including the Properties. Seller shall cooperate with and assist Buyer in making such inspections and reviews and in obtaining copies of any documentation related to the Companies, the Businesses, and the Assets and Properties, including the review and inspection of any and all Permits, Approvals, Consents, licenses, Governmental Authorizations and other permits and approvals necessary or required for the Companies to own, operate, construct and develop the Businesses and in accordance with such other applicable local, state and federal Legal Requirements. Seller shall make available to Buyer such of the foregoing as may be in Sellers possession, or the Companies possession, in order to facilitate Buyers due diligence. Seller shall give Buyer any authorizations which may be required by Buyer in order to gain access to records or other information pertaining to the Companies, the Assets, including the Properties, and the Businesses, or the use thereof maintained by any third party, Governmental Body or organizations. Buyer and Seller shall mutually agree, prior to the expiration of the Inspection Period, on any Company Contract that Buyer does not wish for any Company to continue to be a party thereto and be bound thereby (Excluded Contracts) and the parties shall execute an amendment to this Agreement to include a Schedule 5.2 setting forth all Excluded Contracts. If Buyer or its agents, employees, consultants and contractors shall in any material manner cause any damage or alteration to the Assets, including the Properties in conducting any testing or other due diligence investigation of Assets, including the Properties, Buyer shall, at its sole cost and expense, promptly and fully repair and restore any such damage or alteration caused by Buyer or its agents, employees, consultants and contractors to the condition same was in immediately prior to the commencement of Buyers testing or due diligence of the Assets, including the Properties. If the parties do not proceed with the Closing, Buyer shall promptly return to Seller all written material pertaining to or reflecting any information provided to Buyer by Seller or Sellers agents and will not retain any copies, extracts or other reproductions in whole or in part of such written material, and all documents, memoranda, notes and other writings whatsoever prepared by Buyer or its advisors based on the information provided to Buyer by Seller or Sellers agents shall be destroyed. Prior to Closing and following the termination of this Agreement if Closing does not occur, Buyer agrees not to disclose to any third party any non-public information provided to Buyer by Seller or generated by Buyer through its inspections, except to Buyers agents, contractors, accountants, engineers, consultants, attorneys or lenders, to the extent necessary for the purposes of this transaction, or as may be required by law or by court order. Buyer agrees to indemnify Seller and the Companies, together with Sellers Affiliated Group , and the successors, assigns, employees, officers, directors, trustees, shareholders, attorneys, representatives and agents of Seller and the Companies (collectively, the Seller Indemnified Parties) against and to defend and hold the Seller Indemnified Parties harmless from and against all costs, claims, injuries, damages, liabilities, accidents, losses arising out of, caused by or created in connection with (i) death, personal injury, and/or property damage resulting from Buyers and its agents and representatives entry upon, or inspections or tests of, the Properties, or (ii) mechanics liens or claims that may be filed against the Properties and/or adjacent land by contractors, subcontractors or materialmen performing such work for Buyer, other than as may be caused by the negligence or willful misconduct of Seller.", "ner": [[19, 22, "EffectiveDate"], [465, 466, "Title"]], "tokenized_text": ["5", ".", "2", "Inspection", "Period", ".", "Buyer", "shall", "have", "an", "inspection", "period", "beginning", "on", "the", "Effective", "Date", "and", "ending", "January", "31", ",", "2017", "(", "the", "Inspection", "Period", ")", ".", "Buyer", "shall", "have", "the", "Inspection", "Period", "within", "which", "to", "physically", "inspect", "the", "Assets", ",", "including", "the", "Properties", ",", "and", "the", "Company", "Documents", "and", "to", "conduct", "its", "due", "diligence", "with", "respect", "to", "the", "Assets", ",", "including", "the", "Properties", ",", "the", "Businesses", "and", "the", "Companies", ".", "Buyer", "and", "Buyers", "officers", ",", "directors", ",", "employees", ",", "consultants", ",", "agents", "and", "attorneys", "and", "other", "authorized", "representatives", ",", "shall", "have", "the", "right", "to", "reasonable", "access", "to", "the", "Assets", ",", "the", "Properties", "and", "Company", "Documents", "and", "to", "all", "records", "of", "Seller", "and", "the", "Companies", "related", "thereto", ",", "including", "without", "limitation", "title", "information", ",", "property", "information", ",", "surveys", ",", "maintenance", "records", ",", "environmental", "assessment", "reports", ",", "engineering", "reports", "and", "any", "other", "information", "of", "the", "Companies", ",", "the", "Businesses", "and", "the", "Assets", ",", "at", "reasonable", "times", "during", "the", "Inspection", "Period", ",", "without", "unreasonably", "interfering", "with", "the", "operation", "of", "the", "Business", ",", "for", "the", "purpose", "of", "inspecting", "the", "Assets", ",", "including", "the", "Properties", ",", "and", "the", "Businesses", ",", "and", "conducting", "all", "studies", ",", "tests", ",", "inspections", "and", "measurements", "of", "all", "kinds", "as", "deemed", "necessary", "by", "Buyer", ",", "reviewing", "the", "books", "and", "records", "of", "Seller", "and", "the", "Companies", "concerning", "the", "Companies", ",", "the", "Businesses", "and", "the", "Assets", ",", "including", "the", "Properties", ",", "and", "otherwise", "conducting", "its", "due", "diligence", "review", "of", "the", "Companies", ",", "the", "Businesses", ",", "and", "the", "Assets", ",", "including", "the", "Properties", ".", "Seller", "shall", "cooperate", "with", "and", "assist", "Buyer", "in", "making", "such", "inspections", "and", "reviews", "and", "in", "obtaining", "copies", "of", "any", "documentation", "related", "to", "the", "Companies", ",", "the", "Businesses", ",", "and", "the", "Assets", "and", "Properties", ",", "including", "the", "review", "and", "inspection", "of", "any", "and", "all", "Permits", ",", "Approvals", ",", "Consents", ",", "licenses", ",", "Governmental", "Authorizations", "and", "other", "permits", "and", "approvals", "necessary", "or", "required", "for", "the", "Companies", "to", "own", ",", "operate", ",", "construct", "and", "develop", "the", "Businesses", "and", "in", "accordance", "with", "such", "other", "applicable", "local", ",", "state", "and", "federal", "Legal", "Requirements", ".", "Seller", "shall", "make", "available", "to", "Buyer", "such", "of", "the", "foregoing", "as", "may", "be", "in", "Sellers", "possession", ",", "or", "the", "Companies", "possession", ",", "in", "order", "to", "facilitate", "Buyers", "due", "diligence", ".", "Seller", "shall", "give", "Buyer", "any", "authorizations", "which", "may", "be", "required", "by", "Buyer", "in", "order", "to", "gain", "access", "to", "records", "or", "other", "information", "pertaining", "to", "the", "Companies", ",", "the", "Assets", ",", "including", "the", "Properties", ",", "and", "the", "Businesses", ",", "or", "the", "use", "thereof", "maintained", "by", "any", "third", "party", ",", "Governmental", "Body", "or", "organizations", ".", "Buyer", "and", "Seller", "shall", "mutually", "agree", ",", "prior", "to", "the", "expiration", "of", "the", "Inspection", "Period", ",", "on", "any", "Company", "Contract", "that", "Buyer", "does", "not", "wish", "for", "any", "Company", "to", "continue", "to", "be", "a", "party", "thereto", "and", "be", "bound", "thereby", "(", "Excluded", "Contracts", ")", "and", "the", "parties", "shall", "execute", "an", "amendment", "to", "this", "Agreement", "to", "include", "a", "Schedule", "5", ".", "2", "setting", "forth", "all", "Excluded", "Contracts", ".", "If", "Buyer", "or", "its", "agents", ",", "employees", ",", "consultants", "and", "contractors", "shall", "in", "any", "material", "manner", "cause", "any", "damage", "or", "alteration", "to", "the", "Assets", ",", "including", "the", "Properties", "in", "conducting", "any", "testing", "or", "other", "due", "diligence", "investigation", "of", "Assets", ",", "including", "the", "Properties", ",", "Buyer", "shall", ",", "at", "its", "sole", "cost", "and", "expense", ",", "promptly", "and", "fully", "repair", "and", "restore", "any", "such", "damage", "or", "alteration", "caused", "by", "Buyer", "or", "its", "agents", ",", "employees", ",", "consultants", "and", "contractors", "to", "the", "condition", "same", "was", "in", "immediately", "prior", "to", "the", "commencement", "of", "Buyers", "testing", "or", "due", "diligence", "of", "the", "Assets", ",", "including", "the", "Properties", ".", "If", "the", "parties", "do", "not", "proceed", "with", "the", "Closing", ",", "Buyer", "shall", "promptly", "return", "to", "Seller", "all", "written", "material", "pertaining", "to", "or", "reflecting", "any", "information", "provided", "to", "Buyer", "by", "Seller", "or", "Sellers", "agents", "and", "will", "not", "retain", "any", "copies", ",", "extracts", "or", "other", "reproductions", "in", "whole", "or", "in", "part", "of", "such", "written", "material", ",", "and", "all", "documents", ",", "memoranda", ",", "notes", "and", "other", "writings", "whatsoever", "prepared", "by", "Buyer", "or", "its", "advisors", "based", "on", "the", "information", "provided", "to", "Buyer", "by", "Seller", "or", "Sellers", "agents", "shall", "be", "destroyed", ".", "Prior", "to", "Closing", "and", "following", "the", "termination", "of", "this", "Agreement", "if", "Closing", "does", "not", "occur", ",", "Buyer", "agrees", "not", "to", "disclose", "to", "any", "third", "party", "any", "non-public", "information", "provided", "to", "Buyer", "by", "Seller", "or", "generated", "by", "Buyer", "through", "its", "inspections", ",", "except", "to", "Buyers", "agents", ",", "contractors", ",", "accountants", ",", "engineers", ",", "consultants", ",", "attorneys", "or", "lenders", ",", "to", "the", "extent", "necessary", "for", "the", "purposes", "of", "this", "transaction", ",", "or", "as", "may", "be", "required", "by", "law", "or", "by", "court", "order", ".", "Buyer", "agrees", "to", "indemnify", "Seller", "and", "the", "Companies", ",", "together", "with", "Sellers", "Affiliated", "Group", ",", "and", "the", "successors", ",", "assigns", ",", "employees", ",", "officers", ",", "directors", ",", "trustees", ",", "shareholders", ",", "attorneys", ",", "representatives", "and", "agents", "of", "Seller", "and", "the", "Companies", "(", "collectively", ",", "the", "Seller", "Indemnified", "Parties", ")", "against", "and", "to", "defend", "and", "hold", "the", "Seller", "Indemnified", "Parties", "harmless", "from", "and", "against", "all", "costs", ",", "claims", ",", "injuries", ",", "damages", ",", "liabilities", ",", "accidents", ",", "losses", "arising", "out", "of", ",", "caused", "by", "or", "created", "in", "connection", "with", "(", "i", ")", "death", ",", "personal", "injury", ",", "and", "/", "or", "property", "damage", "resulting", "from", "Buyers", "and", "its", "agents", "and", "representatives", "entry", "upon", ",", "or", "inspections", "or", "tests", "of", ",", "the", "Properties", ",", "or", "(", "ii", ")", "mechanics", "liens", "or", "claims", "that", "may", "be", "filed", "against", "the", "Properties", "and", "/", "or", "adjacent", "land", "by", "contractors", ",", "subcontractors", "or", "materialmen", "performing", "such", "work", "for", "Buyer", ",", "other", "than", "as", "may", "be", "caused", "by", "the", "negligence", "or", "willful", "misconduct", "of", "Seller", "."]}
{"id": "12651", "text": "5.8 Public Announcements. The Parties will keep the existence of this Agreement, the terms and conditions hereof and the Contemplated Transactions confidential, and the Parties will not, nor will they cause or permit any Related Person or Representative to, make any public announcement in respect of this Agreement or the Contemplated Transactions without the prior written Consent of the other Party, which Consent may be given or withheld in any Partys sole discretion; provided, however that the foregoing confidentiality and non-disclosure obligations will not apply to: (1) Buyer if at Closing, if Buyer determines to issue a press release announcing the fact of the acquisition of the Companies, and (2) the Parties to the extent that (a) disclosure of such information is reasonably necessary to consummate the Contemplated Transactions, (b) disclosure of such information is required pursuant to Legal Requirement (including the Securities Exchange Act of 1934 , as amended, and the rules of any national stock exchange or automated dealer quotation system) or an Order, (c) disclosure of such information is reasonably necessary for the Parties to enforce their rights under this Agreement, or (d) such information is already in the public domain other than as a result of a breach of this Section 5.8 or Section 5.5 or any other confidentiality or non-disclosure obligation owed to a Party by any Person (including the other Party). To the extent that any public announcement of this Agreement, any of the provisions hereof or the Contemplated Transactions is required of the Parties by Legal Requirement or Order, the Parties will cooperate reasonably with respect to reaching agreement on the contents and timing of such announcement. Prior to any public announcement of this Agreement or the consummation of the transactions contemplated hereby, Robert W. Guidry shall reasonably approve the contents and timing of such announcement. Any Consent required from Seller pursuant to this Section 5.8 or Section 5.5 shall require the Consent of Robert W. Guidry.", "ner": [[165, 169, "Act"]], "tokenized_text": ["5", ".", "8", "Public", "Announcements", ".", "The", "Parties", "will", "keep", "the", "existence", "of", "this", "Agreement", ",", "the", "terms", "and", "conditions", "hereof", "and", "the", "Contemplated", "Transactions", "confidential", ",", "and", "the", "Parties", "will", "not", ",", "nor", "will", "they", "cause", "or", "permit", "any", "Related", "Person", "or", "Representative", "to", ",", "make", "any", "public", "announcement", "in", "respect", "of", "this", "Agreement", "or", "the", "Contemplated", "Transactions", "without", "the", "prior", "written", "Consent", "of", "the", "other", "Party", ",", "which", "Consent", "may", "be", "given", "or", "withheld", "in", "any", "Partys", "sole", "discretion", ";", "provided", ",", "however", "that", "the", "foregoing", "confidentiality", "and", "non-disclosure", "obligations", "will", "not", "apply", "to", ":", "(", "1", ")", "Buyer", "if", "at", "Closing", ",", "if", "Buyer", "determines", "to", "issue", "a", "press", "release", "announcing", "the", "fact", "of", "the", "acquisition", "of", "the", "Companies", ",", "and", "(", "2", ")", "the", "Parties", "to", "the", "extent", "that", "(", "a", ")", "disclosure", "of", "such", "information", "is", "reasonably", "necessary", "to", "consummate", "the", "Contemplated", "Transactions", ",", "(", "b", ")", "disclosure", "of", "such", "information", "is", "required", "pursuant", "to", "Legal", "Requirement", "(", "including", "the", "Securities", "Exchange", "Act", "of", "1934", ",", "as", "amended", ",", "and", "the", "rules", "of", "any", "national", "stock", "exchange", "or", "automated", "dealer", "quotation", "system", ")", "or", "an", "Order", ",", "(", "c", ")", "disclosure", "of", "such", "information", "is", "reasonably", "necessary", "for", "the", "Parties", "to", "enforce", "their", "rights", "under", "this", "Agreement", ",", "or", "(", "d", ")", "such", "information", "is", "already", "in", "the", "public", "domain", "other", "than", "as", "a", "result", "of", "a", "breach", "of", "this", "Section", "5", ".", "8", "or", "Section", "5", ".", "5", "or", "any", "other", "confidentiality", "or", "non-disclosure", "obligation", "owed", "to", "a", "Party", "by", "any", "Person", "(", "including", "the", "other", "Party", ")", ".", "To", "the", "extent", "that", "any", "public", "announcement", "of", "this", "Agreement", ",", "any", "of", "the", "provisions", "hereof", "or", "the", "Contemplated", "Transactions", "is", "required", "of", "the", "Parties", "by", "Legal", "Requirement", "or", "Order", ",", "the", "Parties", "will", "cooperate", "reasonably", "with", "respect", "to", "reaching", "agreement", "on", "the", "contents", "and", "timing", "of", "such", "announcement", ".", "Prior", "to", "any", "public", "announcement", "of", "this", "Agreement", "or", "the", "consummation", "of", "the", "transactions", "contemplated", "hereby", ",", "Robert", "W", ".", "Guidry", "shall", "reasonably", "approve", "the", "contents", "and", "timing", "of", "such", "announcement", ".", "Any", "Consent", "required", "from", "Seller", "pursuant", "to", "this", "Section", "5", ".", "8", "or", "Section", "5", ".", "5", "shall", "require", "the", "Consent", "of", "Robert", "W", ".", "Guidry", "."]}
{"id": "12652", "text": "5.9 Use of Name. Seller hereby agrees that from and after the Closing Date, Seller and its Related Persons shall not, directly or indirectly, use the name The CFS Group, The CFS Group Disposal &amp; Recycling, RWG5, or any derivation or variation thereof in any manner. Seller also hereby agrees that from and after the Closing Date, Seller and its Related Persons shall not, directly or indirectly, use the trade name/s Container First Services, CFS, Tri-City Regional Landfill, TCR, Petersburg Landfill, Disposal &amp; Recycling Services of Lunenburg, Lunenburg Landfill and Arena Trucking.", "ner": [[33, 35, "Parties"], [37, 44, "Parties"], [94, 96, "Address"], [100, 101, "Address"], [112, 113, "Address"]], "tokenized_text": ["5", ".", "9", "Use", "of", "Name", ".", "Seller", "hereby", "agrees", "that", "from", "and", "after", "the", "Closing", "Date", ",", "Seller", "and", "its", "Related", "Persons", "shall", "not", ",", "directly", "or", "indirectly", ",", "use", "the", "name", "The", "CFS", "Group", ",", "The", "CFS", "Group", "Disposal", "&", "amp", ";", "Recycling", ",", "RWG5", ",", "or", "any", "derivation", "or", "variation", "thereof", "in", "any", "manner", ".", "Seller", "also", "hereby", "agrees", "that", "from", "and", "after", "the", "Closing", "Date", ",", "Seller", "and", "its", "Related", "Persons", "shall", "not", ",", "directly", "or", "indirectly", ",", "use", "the", "trade", "name", "/", "s", "Container", "First", "Services", ",", "CFS", ",", "Tri-City", "Regional", "Landfill", ",", "TCR", ",", "Petersburg", "Landfill", ",", "Disposal", "&", "amp", ";", "Recycling", "Services", "of", "Lunenburg", ",", "Lunenburg", "Landfill", "and", "Arena", "Trucking", "."]}
{"id": "12654", "text": "5.12 Seller Releases. Save and except for any rights of Seller under this Agreement and the other Transaction Documents (defined below), effective as of the Closing Date, Seller, for itself, and its Related Parties, sole member, managers, officers, directors, successors, assigns, agents and Representatives (collectively, the Seller Releasing Parties), hereby finally, unconditionally, irrevocably and absolutely fully releases, acquits, remises and forever discharges the Companies and Buyer and any of their Related Persons, and their respective officers, directors, members, managers, employees, parent companies, subsidiaries, predecessors, successors, assigns, agents and Representatives, from any and all actions, suits, debts, sums of money, interest owed, accounts, contribution obligations, reckonings, bonds, bills, covenants, controversies, agreements, guaranties, promises, undertakings, variances, trespasses, credit memoranda, charges, damages, judgments, executions, obligations, costs, expenses, fees (including attorneys fees and court costs), counterclaims, claims, demands, causes of action and Liabilities (the Seller Claims) existing as of the Closing Date accruing to Seller and the Seller Releasing Parties in any capacity whatsoever, including, without limitation, (i) related to or resulting from all of Sellers and Seller Releasing Parties capacities with the Companies; (ii) arising under or by virtue of the Organizational Documents or Company Documents; (iii) relating to or resulting from the negotiation, preparation, and consummation of this Agreement and the Contemplated Transactions; or (iv) the valuation of the Membership Interests or determination of the Purchase Price, except in the case of fraud or intentional misconduct by any of Buyer and any of its Related Persons. This Section 5.12 shall survive Closing.", "ner": [[309, 310, "Price"]], "tokenized_text": ["5", ".", "12", "Seller", "Releases", ".", "Save", "and", "except", "for", "any", "rights", "of", "Seller", "under", "this", "Agreement", "and", "the", "other", "Transaction", "Documents", "(", "defined", "below", ")", ",", "effective", "as", "of", "the", "Closing", "Date", ",", "Seller", ",", "for", "itself", ",", "and", "its", "Related", "Parties", ",", "sole", "member", ",", "managers", ",", "officers", ",", "directors", ",", "successors", ",", "assigns", ",", "agents", "and", "Representatives", "(", "collectively", ",", "the", "Seller", "Releasing", "Parties", ")", ",", "hereby", "finally", ",", "unconditionally", ",", "irrevocably", "and", "absolutely", "fully", "releases", ",", "acquits", ",", "remises", "and", "forever", "discharges", "the", "Companies", "and", "Buyer", "and", "any", "of", "their", "Related", "Persons", ",", "and", "their", "respective", "officers", ",", "directors", ",", "members", ",", "managers", ",", "employees", ",", "parent", "companies", ",", "subsidiaries", ",", "predecessors", ",", "successors", ",", "assigns", ",", "agents", "and", "Representatives", ",", "from", "any", "and", "all", "actions", ",", "suits", ",", "debts", ",", "sums", "of", "money", ",", "interest", "owed", ",", "accounts", ",", "contribution", "obligations", ",", "reckonings", ",", "bonds", ",", "bills", ",", "covenants", ",", "controversies", ",", "agreements", ",", "guaranties", ",", "promises", ",", "undertakings", ",", "variances", ",", "trespasses", ",", "credit", "memoranda", ",", "charges", ",", "damages", ",", "judgments", ",", "executions", ",", "obligations", ",", "costs", ",", "expenses", ",", "fees", "(", "including", "attorneys", "fees", "and", "court", "costs", ")", ",", "counterclaims", ",", "claims", ",", "demands", ",", "causes", "of", "action", "and", "Liabilities", "(", "the", "Seller", "Claims", ")", "existing", "as", "of", "the", "Closing", "Date", "accruing", "to", "Seller", "and", "the", "Seller", "Releasing", "Parties", "in", "any", "capacity", "whatsoever", ",", "including", ",", "without", "limitation", ",", "(", "i", ")", "related", "to", "or", "resulting", "from", "all", "of", "Sellers", "and", "Seller", "Releasing", "Parties", "capacities", "with", "the", "Companies", ";", "(", "ii", ")", "arising", "under", "or", "by", "virtue", "of", "the", "Organizational", "Documents", "or", "Company", "Documents", ";", "(", "iii", ")", "relating", "to", "or", "resulting", "from", "the", "negotiation", ",", "preparation", ",", "and", "consummation", "of", "this", "Agreement", "and", "the", "Contemplated", "Transactions", ";", "or", "(", "iv", ")", "the", "valuation", "of", "the", "Membership", "Interests", "or", "determination", "of", "the", "Purchase", "Price", ",", "except", "in", "the", "case", "of", "fraud", "or", "intentional", "misconduct", "by", "any", "of", "Buyer", "and", "any", "of", "its", "Related", "Persons", ".", "This", "Section", "5", ".", "12", "shall", "survive", "Closing", "."]}
{"id": "12657", "text": "5.14 Buyer and Seller agree and acknowledge that the Purchase Price Shares may not be sold or transferred unless (i) such shares are sold pursuant to an effective registration statement under the Securities Act, or (ii) the Buyer or its transfer agent shall have been furnished with an opinion of counsel (which opinion shall be in form, substance and scope customary for opinions of counsel in comparable transactions) to the effect that the shares to be sold or transferred may be sold or transferred pursuant to an exemption from such registration or (iii) such shares are sold or transferred pursuant to Rule 144 under the Securities Act ( or a successor rule) (Rule 144) or (iv) such shares are transferred to an affiliate (as defined in Rule 144) of the Seller who agrees to sell or otherwise transfer the shares only in accordance with this Section 5.14 and who is an Accredited Investor (as defined in the Securities Act). Until such time as the Purchase Price Shares have been registered under the Securities Act or otherwise may be sold pursuant to Rule 144 without any restriction as to the number of securities as of a particular date that can then be immediately sold, each certificate for shares of Common Stock of Buyer that has not been so included in an effective registration statement or that has not been sold pursuant to an effective registration statement or an exemption that permits removal of the legend, shall bear a legend substantially in the following form, as appropriate:", "ner": [[36, 37, "Act"], [113, 114, "Regulation"]], "tokenized_text": ["5", ".", "14", "Buyer", "and", "Seller", "agree", "and", "acknowledge", "that", "the", "Purchase", "Price", "Shares", "may", "not", "be", "sold", "or", "transferred", "unless", "(", "i", ")", "such", "shares", "are", "sold", "pursuant", "to", "an", "effective", "registration", "statement", "under", "the", "Securities", "Act", ",", "or", "(", "ii", ")", "the", "Buyer", "or", "its", "transfer", "agent", "shall", "have", "been", "furnished", "with", "an", "opinion", "of", "counsel", "(", "which", "opinion", "shall", "be", "in", "form", ",", "substance", "and", "scope", "customary", "for", "opinions", "of", "counsel", "in", "comparable", "transactions", ")", "to", "the", "effect", "that", "the", "shares", "to", "be", "sold", "or", "transferred", "may", "be", "sold", "or", "transferred", "pursuant", "to", "an", "exemption", "from", "such", "registration", "or", "(", "iii", ")", "such", "shares", "are", "sold", "or", "transferred", "pursuant", "to", "Rule", "144", "under", "the", "Securities", "Act", "(", "or", "a", "successor", "rule", ")", "(", "Rule", "144", ")", "or", "(", "iv", ")", "such", "shares", "are", "transferred", "to", "an", "affiliate", "(", "as", "defined", "in", "Rule", "144", ")", "of", "the", "Seller", "who", "agrees", "to", "sell", "or", "otherwise", "transfer", "the", "shares", "only", "in", "accordance", "with", "this", "Section", "5", ".", "14", "and", "who", "is", "an", "Accredited", "Investor", "(", "as", "defined", "in", "the", "Securities", "Act", ")", ".", "Until", "such", "time", "as", "the", "Purchase", "Price", "Shares", "have", "been", "registered", "under", "the", "Securities", "Act", "or", "otherwise", "may", "be", "sold", "pursuant", "to", "Rule", "144", "without", "any", "restriction", "as", "to", "the", "number", "of", "securities", "as", "of", "a", "particular", "date", "that", "can", "then", "be", "immediately", "sold", ",", "each", "certificate", "for", "shares", "of", "Common", "Stock", "of", "Buyer", "that", "has", "not", "been", "so", "included", "in", "an", "effective", "registration", "statement", "or", "that", "has", "not", "been", "sold", "pursuant", "to", "an", "effective", "registration", "statement", "or", "an", "exemption", "that", "permits", "removal", "of", "the", "legend", ",", "shall", "bear", "a", "legend", "substantially", "in", "the", "following", "form", ",", "as", "appropriate", ":"]}
{"id": "12661", "text": "(f) The Companies shall have received, acquired and obtained all nonappealable and unrestricted Governmental Authorizations, Consents, Permits , Approvals, licenses, and other permits and approvals, and all pending applications therefor or renewals thereof, required or necessary for the ownership, construction, development and operation of Businesses on the Properties by the Companies and Buyer, including local zoning approval, any required special use or conditional use permits, local approval that the operation of the Business and the Properties is consistent with the local solid waste management plan, if any, and all permits issued by the Commonwealth of Virginia , Department of Environmental Quality, for the ownership, operation, development and construction of the Businesses on the Properties, such Consents, licenses, Governmental Authorizations, permits and approvals to be in accordance with all Legal Requirements and satisfactory to Buyer in its sole discretion, with respect to airspace requirements, operating conditions, and any other restrictions or requirements;", "ner": [], "tokenized_text": ["(", "f", ")", "The", "Companies", "shall", "have", "received", ",", "acquired", "and", "obtained", "all", "nonappealable", "and", "unrestricted", "Governmental", "Authorizations", ",", "Consents", ",", "Permits", ",", "Approvals", ",", "licenses", ",", "and", "other", "permits", "and", "approvals", ",", "and", "all", "pending", "applications", "therefor", "or", "renewals", "thereof", ",", "required", "or", "necessary", "for", "the", "ownership", ",", "construction", ",", "development", "and", "operation", "of", "Businesses", "on", "the", "Properties", "by", "the", "Companies", "and", "Buyer", ",", "including", "local", "zoning", "approval", ",", "any", "required", "special", "use", "or", "conditional", "use", "permits", ",", "local", "approval", "that", "the", "operation", "of", "the", "Business", "and", "the", "Properties", "is", "consistent", "with", "the", "local", "solid", "waste", "management", "plan", ",", "if", "any", ",", "and", "all", "permits", "issued", "by", "the", "Commonwealth", "of", "Virginia", ",", "Department", "of", "Environmental", "Quality", ",", "for", "the", "ownership", ",", "operation", ",", "development", "and", "construction", "of", "the", "Businesses", "on", "the", "Properties", ",", "such", "Consents", ",", "licenses", ",", "Governmental", "Authorizations", ",", "permits", "and", "approvals", "to", "be", "in", "accordance", "with", "all", "Legal", "Requirements", "and", "satisfactory", "to", "Buyer", "in", "its", "sole", "discretion", ",", "with", "respect", "to", "airspace", "requirements", ",", "operating", "conditions", ",", "and", "any", "other", "restrictions", "or", "requirements", ";"]}
{"id": "12662", "text": "7.2 Indemnification by Buyer. Buyer hereby covenants and agrees that, to the fullest extent permitted by Legal Requirement, it will defend, indemnify and hold harmless Seller and its Related Persons and Representatives, and their respective officers, directors, members, managers, employees, agents, and Representatives, and all successors and assigns of the foregoing (collectively, the Seller Indemnified Persons), for, from and against any Adverse Consequences, arising from or in connection with:", "ner": [], "tokenized_text": ["7", ".", "2", "Indemnification", "by", "Buyer", ".", "Buyer", "hereby", "covenants", "and", "agrees", "that", ",", "to", "the", "fullest", "extent", "permitted", "by", "Legal", "Requirement", ",", "it", "will", "defend", ",", "indemnify", "and", "hold", "harmless", "Seller", "and", "its", "Related", "Persons", "and", "Representatives", ",", "and", "their", "respective", "officers", ",", "directors", ",", "members", ",", "managers", ",", "employees", ",", "agents", ",", "and", "Representatives", ",", "and", "all", "successors", "and", "assigns", "of", "the", "foregoing", "(", "collectively", ",", "the", "Seller", "Indemnified", "Persons", ")", ",", "for", ",", "from", "and", "against", "any", "Adverse", "Consequences", ",", "arising", "from", "or", "in", "connection", "with", ":"]}
{"id": "12663", "text": "(a) Seller hereby covenants and agrees that, to the fullest extent permitted by Legal Requirement, it will defend, indemnify and hold harmless Buyer, and its Related Persons and Representatives, and their respective officers, directors, members, managers, employees, agents, and Representatives, and all successors and assigns of the foregoing (collectively, the Buyer Indemnified Persons), for, from and against any Adverse Consequences arising from or in connection with:", "ner": [], "tokenized_text": ["(", "a", ")", "Seller", "hereby", "covenants", "and", "agrees", "that", ",", "to", "the", "fullest", "extent", "permitted", "by", "Legal", "Requirement", ",", "it", "will", "defend", ",", "indemnify", "and", "hold", "harmless", "Buyer", ",", "and", "its", "Related", "Persons", "and", "Representatives", ",", "and", "their", "respective", "officers", ",", "directors", ",", "members", ",", "managers", ",", "employees", ",", "agents", ",", "and", "Representatives", ",", "and", "all", "successors", "and", "assigns", "of", "the", "foregoing", "(", "collectively", ",", "the", "Buyer", "Indemnified", "Persons", ")", ",", "for", ",", "from", "and", "against", "any", "Adverse", "Consequences", "arising", "from", "or", "in", "connection", "with", ":"]}
{"id": "12664", "text": "Meridian Waste Solutions, Inc .", "ner": [[0, 5, "Parties"]], "tokenized_text": ["Meridian", "Waste", "Solutions", ",", "Inc", "."]}
{"id": "12665", "text": "12540 Broadwell Road, Suite 2104", "ner": [[0, 5, "Address"]], "tokenized_text": ["12540", "Broadwell", "Road", ",", "Suite", "2104"]}
{"id": "12668", "text": "9.8 Governing Law. This Agreement will be governed by and construed in accordance with the internal laws of the Commonwealth of Virginia without giving effect to any choice or conflict of law provision or rule (whether of the Commonwealth of Virginia or any other jurisdiction).", "ner": [[22, 24, "Court"]], "tokenized_text": ["9", ".", "8", "Governing", "Law", ".", "This", "Agreement", "will", "be", "governed", "by", "and", "construed", "in", "accordance", "with", "the", "internal", "laws", "of", "the", "Commonwealth", "of", "Virginia", "without", "giving", "effect", "to", "any", "choice", "or", "conflict", "of", "law", "provision", "or", "rule", "(", "whether", "of", "the", "Commonwealth", "of", "Virginia", "or", "any", "other", "jurisdiction", ")", "."]}
{"id": "12670", "text": "IN WITNESS WHEREOF, the Parties hereto have executed this Membership Interest Purchase Agreement as of the Effective Date, intending to be legally bound.", "ner": [[12, 13, "Title"]], "tokenized_text": ["IN", "WITNESS", "WHEREOF", ",", "the", "Parties", "hereto", "have", "executed", "this", "Membership", "Interest", "Purchase", "Agreement", "as", "of", "the", "Effective", "Date", ",", "intending", "to", "be", "legally", "bound", "."]}
{"id": "12673", "text": "Business Day means any day other than a Saturday or Sunday or any other day on which banks in the Commonwealth of Virginia are permitted or required by Legal Requirement to be closed.", "ner": [[20, 22, "Court"], [28, 29, "Regulation"]], "tokenized_text": ["Business", "Day", "means", "any", "day", "other", "than", "a", "Saturday", "or", "Sunday", "or", "any", "other", "day", "on", "which", "banks", "in", "the", "Commonwealth", "of", "Virginia", "are", "permitted", "or", "required", "by", "Legal", "Requirement", "to", "be", "closed", "."]}
{"id": "12675", "text": "Employee Benefit Plan means all employee benefit plans as defined by Section 3(3) of the Employee Retirement Income Security Act of 1974 (ERISA), all specified fringe benefit plans as defined in Section 6039D of the Code, and all other bonus, incentive-compensation, deferred-compensation, profit- sharing, stock-option, stock-appreciation-right, stock-bonus, stock-purchase, employee-stock-ownership, savings, severance, change-in-control, supplemental- unemployment, layoff, salary-continuation, retirement, pension, health, life- insurance, disability, accident, group-insurance, vacation, holiday, sick- leave, fringe-benefit or welfare plan, and any other employee compensation or benefit plan, agreement, policy, practice, commitment, contract or understanding (whether qualified or nonqualified, currently effective or terminated, written or unwritten) and any trust, escrow or other agreement related thereto that (i) is maintained or contributed to by any Company or any other corporation or trade or business controlled by, controlling or under common control with Sellers (within the meaning of Section 414 of the Code or Section 4001(a)(14) or 4001(b) of ERISA) (ERISA Affiliate) or has been maintained or contributed to in the last six (6) years by any Company or any ERISA Affiliate, or with respect to which any Company or any ERISA Affiliate has or may have any liability, and (ii) provides benefits, or describes policies or procedures applicable to any current or former director, officer, employee or service provider of any Company or any ERISA Affiliate, or the dependents of any thereof, regardless of how (or whether) liabilities for the provision of benefits are accrued or assets are acquired or dedicated with respect to the funding thereof.", "ner": [[11, 15, "Regulation"], [18, 24, "Act"], [26, 26, "Act"], [37, 38, "Regulation"]], "tokenized_text": ["Employee", "Benefit", "Plan", "means", "all", "employee", "benefit", "plans", "as", "defined", "by", "Section", "3", "(", "3", ")", "of", "the", "Employee", "Retirement", "Income", "Security", "Act", "of", "1974", "(", "ERISA", ")", ",", "all", "specified", "fringe", "benefit", "plans", "as", "defined", "in", "Section", "6039D", "of", "the", "Code", ",", "and", "all", "other", "bonus", ",", "incentive-compensation", ",", "deferred-compensation", ",", "profit", "-", "sharing", ",", "stock-option", ",", "stock-appreciation-right", ",", "stock-bonus", ",", "stock-purchase", ",", "employee-stock-ownership", ",", "savings", ",", "severance", ",", "change-in-control", ",", "supplemental", "-", "unemployment", ",", "layoff", ",", "salary-continuation", ",", "retirement", ",", "pension", ",", "health", ",", "life", "-", "insurance", ",", "disability", ",", "accident", ",", "group-insurance", ",", "vacation", ",", "holiday", ",", "sick", "-", "leave", ",", "fringe-benefit", "or", "welfare", "plan", ",", "and", "any", "other", "employee", "compensation", "or", "benefit", "plan", ",", "agreement", ",", "policy", ",", "practice", ",", "commitment", ",", "contract", "or", "understanding", "(", "whether", "qualified", "or", "nonqualified", ",", "currently", "effective", "or", "terminated", ",", "written", "or", "unwritten", ")", "and", "any", "trust", ",", "escrow", "or", "other", "agreement", "related", "thereto", "that", "(", "i", ")", "is", "maintained", "or", "contributed", "to", "by", "any", "Company", "or", "any", "other", "corporation", "or", "trade", "or", "business", "controlled", "by", ",", "controlling", "or", "under", "common", "control", "with", "Sellers", "(", "within", "the", "meaning", "of", "Section", "414", "of", "the", "Code", "or", "Section", "4001", "(", "a", ")", "(", "14", ")", "or", "4001", "(", "b", ")", "of", "ERISA", ")", "(", "ERISA", "Affiliate", ")", "or", "has", "been", "maintained", "or", "contributed", "to", "in", "the", "last", "six", "(", "6", ")", "years", "by", "any", "Company", "or", "any", "ERISA", "Affiliate", ",", "or", "with", "respect", "to", "which", "any", "Company", "or", "any", "ERISA", "Affiliate", "has", "or", "may", "have", "any", "liability", ",", "and", "(", "ii", ")", "provides", "benefits", ",", "or", "describes", "policies", "or", "procedures", "applicable", "to", "any", "current", "or", "former", "director", ",", "officer", ",", "employee", "or", "service", "provider", "of", "any", "Company", "or", "any", "ERISA", "Affiliate", ",", "or", "the", "dependents", "of", "any", "thereof", ",", "regardless", "of", "how", "(", "or", "whether", ")", "liabilities", "for", "the", "provision", "of", "benefits", "are", "accrued", "or", "assets", "are", "acquired", "or", "dedicated", "with", "respect", "to", "the", "funding", "thereof", "."]}
{"id": "12676", "text": "Environmental, Health and Safety Liabilities means any and all costs, damages, Adverse Consequences, expenses, Liabilities and/or other responsibility arising from or under any Environmental Law or Occupational Safety and Health Law, including those consisting of or relating to (i) any environmental, health or safety matter or condition (including on-site or off- site contamination, and/or occupational safety and health regulation of any chemical substance or product), (ii) any fine, penalty, judgment, award, settlement, Proceeding, damages, Adverse Consequence, loss, claim, demand or response, remedial or inspection cost or expense arising under any Environmental Law or Occupational Safety and Health Law, (iii) financial responsibility under any Environmental Law or Occupational Safety and Health Law for cleanup costs or corrective action, including any cleanup, removal, containment or other remediation or response actions (Cleanup) required by any Environmental Law or Occupational Safety and Health Law (whether or not such Cleanup has been required or requested by any Governmental Body or any other Person) and for any natural resource damages, and/or (iv) any other compliance, corrective or remedial measure required under any Environmental Law or Occupational Safety and Health Law. For purposes of this definition, the terms removal, remedial and response action include the types of activities covered by the United States Comprehensive Environmental Response, Compensation and Liability Act of 1980 Environmental Response, Compensation and Liability Act of 1980 (CERCLA).", "ner": [[33, 37, "Act"], [257, 265, "Act"]], "tokenized_text": ["Environmental", ",", "Health", "and", "Safety", "Liabilities", "means", "any", "and", "all", "costs", ",", "damages", ",", "Adverse", "Consequences", ",", "expenses", ",", "Liabilities", "and", "/", "or", "other", "responsibility", "arising", "from", "or", "under", "any", "Environmental", "Law", "or", "Occupational", "Safety", "and", "Health", "Law", ",", "including", "those", "consisting", "of", "or", "relating", "to", "(", "i", ")", "any", "environmental", ",", "health", "or", "safety", "matter", "or", "condition", "(", "including", "on-site", "or", "off", "-", "site", "contamination", ",", "and", "/", "or", "occupational", "safety", "and", "health", "regulation", "of", "any", "chemical", "substance", "or", "product", ")", ",", "(", "ii", ")", "any", "fine", ",", "penalty", ",", "judgment", ",", "award", ",", "settlement", ",", "Proceeding", ",", "damages", ",", "Adverse", "Consequence", ",", "loss", ",", "claim", ",", "demand", "or", "response", ",", "remedial", "or", "inspection", "cost", "or", "expense", "arising", "under", "any", "Environmental", "Law", "or", "Occupational", "Safety", "and", "Health", "Law", ",", "(", "iii", ")", "financial", "responsibility", "under", "any", "Environmental", "Law", "or", "Occupational", "Safety", "and", "Health", "Law", "for", "cleanup", "costs", "or", "corrective", "action", ",", "including", "any", "cleanup", ",", "removal", ",", "containment", "or", "other", "remediation", "or", "response", "actions", "(", "Cleanup", ")", "required", "by", "any", "Environmental", "Law", "or", "Occupational", "Safety", "and", "Health", "Law", "(", "whether", "or", "not", "such", "Cleanup", "has", "been", "required", "or", "requested", "by", "any", "Governmental", "Body", "or", "any", "other", "Person", ")", "and", "for", "any", "natural", "resource", "damages", ",", "and", "/", "or", "(", "iv", ")", "any", "other", "compliance", ",", "corrective", "or", "remedial", "measure", "required", "under", "any", "Environmental", "Law", "or", "Occupational", "Safety", "and", "Health", "Law", ".", "For", "purposes", "of", "this", "definition", ",", "the", "terms", "removal", ",", "remedial", "and", "response", "action", "include", "the", "types", "of", "activities", "covered", "by", "the", "United", "States", "Comprehensive", "Environmental", "Response", ",", "Compensation", "and", "Liability", "Act", "of", "1980", "Environmental", "Response", ",", "Compensation", "and", "Liability", "Act", "of", "1980", "(", "CERCLA", ")", "."]}
{"id": "12678", "text": "(ii) when used to qualify a representation, warranty or other statement of Seller or any Company, the actual knowledge Robert W. Guidry, Charles A. Wilcox, Timothy Webb or Kim Fairbanks has with respect to the particular fact or matter that is the subject of such representation, warranty or other statement, and the knowledge that such individuals could reasonably be expected to have after having conducted a reasonable inquiry or investigation with respect to the fact or matter that is the subject of such representation, warranty or other statement.", "ner": [[23, 26, "Parties"], [28, 31, "Parties"], [33, 34, "Parties"], [36, 37, "Parties"]], "tokenized_text": ["(", "ii", ")", "when", "used", "to", "qualify", "a", "representation", ",", "warranty", "or", "other", "statement", "of", "Seller", "or", "any", "Company", ",", "the", "actual", "knowledge", "Robert", "W", ".", "Guidry", ",", "Charles", "A", ".", "Wilcox", ",", "Timothy", "Webb", "or", "Kim", "Fairbanks", "has", "with", "respect", "to", "the", "particular", "fact", "or", "matter", "that", "is", "the", "subject", "of", "such", "representation", ",", "warranty", "or", "other", "statement", ",", "and", "the", "knowledge", "that", "such", "individuals", "could", "reasonably", "be", "expected", "to", "have", "after", "having", "conducted", "a", "reasonable", "inquiry", "or", "investigation", "with", "respect", "to", "the", "fact", "or", "matter", "that", "is", "the", "subject", "of", "such", "representation", ",", "warranty", "or", "other", "statement", "."]}
{"id": "12679", "text": "(iii) For purposes of this definition, (a) control (including controlling, controlled by, and under common control with) means the possession, direct or indirect, of the power to direct or cause the direction of the management and policies of a Person, whether through the ownership of voting securities, by contract or otherwise, and shall be construed as such term is used in the rules promulgated under the Securities Act; ( b) the Family of an individual includes (i) the individual, (ii) the individuals spouse, (iii) any other natural person who is related to the individual or the individuals spouse within the second degree and (iv) any other natural person who resides with such individual; and (c) Material Interest means direct or indirect beneficial ownership (as defined in Rule 13d-3 under the Exchange Act of 1934 ) of voting securities or other voting interests representing at least ten percent (10%) of the outstanding voting power of a Person or equity securities or other equity interests representing at least ten percent (10%) of the outstanding equity securities or equity interests in a Person.", "ner": [[80, 81, "Act"], [156, 157, "Regulation"], [160, 163, "Act"], [178, 179, "Percentage"], [202, 203, "Percentage"]], "tokenized_text": ["(", "iii", ")", "For", "purposes", "of", "this", "definition", ",", "(", "a", ")", "control", "(", "including", "controlling", ",", "controlled", "by", ",", "and", "under", "common", "control", "with", ")", "means", "the", "possession", ",", "direct", "or", "indirect", ",", "of", "the", "power", "to", "direct", "or", "cause", "the", "direction", "of", "the", "management", "and", "policies", "of", "a", "Person", ",", "whether", "through", "the", "ownership", "of", "voting", "securities", ",", "by", "contract", "or", "otherwise", ",", "and", "shall", "be", "construed", "as", "such", "term", "is", "used", "in", "the", "rules", "promulgated", "under", "the", "Securities", "Act", ";", "(", "b", ")", "the", "Family", "of", "an", "individual", "includes", "(", "i", ")", "the", "individual", ",", "(", "ii", ")", "the", "individuals", "spouse", ",", "(", "iii", ")", "any", "other", "natural", "person", "who", "is", "related", "to", "the", "individual", "or", "the", "individuals", "spouse", "within", "the", "second", "degree", "and", "(", "iv", ")", "any", "other", "natural", "person", "who", "resides", "with", "such", "individual", ";", "and", "(", "c", ")", "Material", "Interest", "means", "direct", "or", "indirect", "beneficial", "ownership", "(", "as", "defined", "in", "Rule", "13d-3", "under", "the", "Exchange", "Act", "of", "1934", ")", "of", "voting", "securities", "or", "other", "voting", "interests", "representing", "at", "least", "ten", "percent", "(", "10", "%", ")", "of", "the", "outstanding", "voting", "power", "of", "a", "Person", "or", "equity", "securities", "or", "other", "equity", "interests", "representing", "at", "least", "ten", "percent", "(", "10", "%", ")", "of", "the", "outstanding", "equity", "securities", "or", "equity", "interests", "in", "a", "Person", "."]}
{"id": "12681", "text": "This SECURITIES PURCHASE AGREEMENT (the Agreement) is dated as of the 10th day of March, 2017 (the Effective Date), by and among IFMI, LLC , a Delaware limited liability company (the Company), DGC Family Fintech Trust , a trust established by Daniel G. Cohen (Buyer), and solely for purposes of ArticleVI and Sections 7.3, 7.4, 7.5, and 7.6,Institutional Financial Markets,Inc., a Maryland corporation (the Parent).", "ner": [[1, 3, "Title"], [13, 18, "EffectiveDate"], [28, 30, "Parties"], [42, 45, "Parties"], [51, 54, "Parties"], [84, 89, "Parties"]], "tokenized_text": ["This", "SECURITIES", "PURCHASE", "AGREEMENT", "(", "the", "Agreement", ")", "is", "dated", "as", "of", "the", "10th", "day", "of", "March", ",", "2017", "(", "the", "Effective", "Date", ")", ",", "by", "and", "among", "IFMI", ",", "LLC", ",", "a", "Delaware", "limited", "liability", "company", "(", "the", "Company", ")", ",", "DGC", "Family", "Fintech", "Trust", ",", "a", "trust", "established", "by", "Daniel", "G", ".", "Cohen", "(", "Buyer", ")", ",", "and", "solely", "for", "purposes", "of", "ArticleVI", "and", "Sections", "7", ".", "3", ",", "7", ".", "4", ",", "7", ".", "5", ",", "and", "7", ".", "6", ",", "Institutional", "Financial", "Markets", ",", "Inc", ".", ",", "a", "Maryland", "corporation", "(", "the", "Parent", ")", "."]}
{"id": "12682", "text": "WHEREAS, Buyer desires to purchase from the Company , and the Company desires to issue and to sell to Buyer, upon the terms and conditions set forth in this Agreement, a convertible senior secured promissory note in the aggregate principal amount of Fifteen Million Dollars ( $15,000,000 <sup> ) (the Note Purchase Price), in substantially the form attached hereto as ExhibitA (the Note); and", "ner": [[49, 54, "Principal"]], "tokenized_text": ["WHEREAS", ",", "Buyer", "desires", "to", "purchase", "from", "the", "Company", ",", "and", "the", "Company", "desires", "to", "issue", "and", "to", "sell", "to", "Buyer", ",", "upon", "the", "terms", "and", "conditions", "set", "forth", "in", "this", "Agreement", ",", "a", "convertible", "senior", "secured", "promissory", "note", "in", "the", "aggregate", "principal", "amount", "of", "Fifteen", "Million", "Dollars", "(", "$", "15", ",", "000", ",", "000", "<", "sup", ">", ")", "(", "the", "Note", "Purchase", "Price", ")", ",", "in", "substantially", "the", "form", "attached", "hereto", "as", "ExhibitA", "(", "the", "Note", ")", ";", "and"]}
{"id": "12683", "text": "WHEREAS, the parties hereto are executing and delivering this Agreement in reliance upon an exemption from registration afforded by the Securities Act of 1933 <sup> , as amended (the Securities Act ), and the rulesand regulations promulgated thereunder by the U.S. Securities and Exchange Commission (the SEC).", "ner": [[21, 24, "Act"]], "tokenized_text": ["WHEREAS", ",", "the", "parties", "hereto", "are", "executing", "and", "delivering", "this", "Agreement", "in", "reliance", "upon", "an", "exemption", "from", "registration", "afforded", "by", "the", "Securities", "Act", "of", "1933", "<", "sup", ">", ",", "as", "amended", "(", "the", "Securities", "Act", ")", ",", "and", "the", "rulesand", "regulations", "promulgated", "thereunder", "by", "the", "U", ".", "S", ".", "Securities", "and", "Exchange", "Commission", "(", "the", "SEC", ")", "."]}
{"id": "12684", "text": "2.6 Common Stock means shares of the common stock of Parent, $0.001 par value per share.", "ner": [[0, 2, "Ratio"], [14, 17, "Price"]], "tokenized_text": ["2", ".", "6", "Common", "Stock", "means", "shares", "of", "the", "common", "stock", "of", "Parent", ",", "$", "0", ".", "001", "par", "value", "per", "share", "."]}
{"id": "12685", "text": "2.16 Exchange Act means the Securities Exchange Act of 1934 <sup> , as amended, and the rulesand regulations promulgated thereunder.", "ner": [[3, 4, "Act"], [7, 11, "Act"]], "tokenized_text": ["2", ".", "16", "Exchange", "Act", "means", "the", "Securities", "Exchange", "Act", "of", "1934", "<", "sup", ">", ",", "as", "amended", ",", "and", "the", "rulesand", "regulations", "promulgated", "thereunder", "."]}
{"id": "12687", "text": "3.1 Purchase and Sale of Securities. Subject to the satisfaction (or waiver) of the terms and conditions of this Agreement, on the Effective Date, (i)the Company agrees to sell and to issue to Buyer the Note in the initial aggregate principal amount of Fifteen Million Dollars ( $15,000,000 ), and (ii)Buyer agrees to pay to the Company the Note Purchase Price in exchange for the Note.", "ner": [[57, 62, "Principal"]], "tokenized_text": ["3", ".", "1", "Purchase", "and", "Sale", "of", "Securities", ".", "Subject", "to", "the", "satisfaction", "(", "or", "waiver", ")", "of", "the", "terms", "and", "conditions", "of", "this", "Agreement", ",", "on", "the", "Effective", "Date", ",", "(", "i", ")", "the", "Company", "agrees", "to", "sell", "and", "to", "issue", "to", "Buyer", "the", "Note", "in", "the", "initial", "aggregate", "principal", "amount", "of", "Fifteen", "Million", "Dollars", "(", "$", "15", ",", "000", ",", "000", ")", ",", "and", "(", "ii", ")", "Buyer", "agrees", "to", "pay", "to", "the", "Company", "the", "Note", "Purchase", "Price", "in", "exchange", "for", "the", "Note", "."]}
{"id": "12692", "text": "Except as set forth and disclosed in the disclosure schedule attached to this Agreement and made a part hereof or as disclosed or incorporated by reference in the Parents reports and forms filed with or furnished to the SEC under Sections 13, 14 or 15(d)of the Exchange Act , after December31, 2015 (other than any forward-looking disclosures set forth in any risk factor section or forward-looking statement disclaimer and any other disclosure that is similarly nonspecific and predictive or forward-looking in nature) (all such reports, the SEC Reports), the Company hereby makes the following representations and warranties to Buyer:", "ner": [[40, 48, "Regulation"], [51, 52, "Act"], [55, 57, "EffectiveDate"]], "tokenized_text": ["Except", "as", "set", "forth", "and", "disclosed", "in", "the", "disclosure", "schedule", "attached", "to", "this", "Agreement", "and", "made", "a", "part", "hereof", "or", "as", "disclosed", "or", "incorporated", "by", "reference", "in", "the", "Parents", "reports", "and", "forms", "filed", "with", "or", "furnished", "to", "the", "SEC", "under", "Sections", "13", ",", "14", "or", "15", "(", "d", ")", "of", "the", "Exchange", "Act", ",", "after", "December31", ",", "2015", "(", "other", "than", "any", "forward-looking", "disclosures", "set", "forth", "in", "any", "risk", "factor", "section", "or", "forward-looking", "statement", "disclaimer", "and", "any", "other", "disclosure", "that", "is", "similarly", "nonspecific", "and", "predictive", "or", "forward-looking", "in", "nature", ")", "(", "all", "such", "reports", ",", "the", "SEC", "Reports", ")", ",", "the", "Company", "hereby", "makes", "the", "following", "representations", "and", "warranties", "to", "Buyer", ":"]}
{"id": "12693", "text": "(i)there are no outstanding options, warrants, scrip, rights to subscribe to, calls or commitments of any character whatsoever relating to, or securities or rights convertible into, any LLC Units, or Contracts, commitments, understandings or arrangements by which the Company is or may become bound to issue additional LLC Units, or options, warrants, scrip, rights to subscribe to, calls or commitments of any character whatsoever relating to, or securities or rights convertible into, any LLC Units; (ii)there are no outstanding debt securities, notes, credit agreements, credit facilities or other Contracts or instruments evidencing indebtedness of the Company, or by which the Company is or may become bound; (iii)there are no agreements or arrangements under which the Company is obligated to register the sale of any of its securities under the Securities Act ; ( <sup> iv)there are no financing statements securing any obligations of the Company; (v)there are no securities or instruments containing anti-dilution or similar provisions that will be triggered by this Agreement or any related agreement or the Companys consummation of the transactions described herein or therein; and (vi)there are no outstanding securities or instruments of the Company which contain any redemption or similar provisions, and there are no Contracts by which the Company is or may become bound to redeem a security of the Company.", "ner": [[160, 161, "Act"]], "tokenized_text": ["(", "i", ")", "there", "are", "no", "outstanding", "options", ",", "warrants", ",", "scrip", ",", "rights", "to", "subscribe", "to", ",", "calls", "or", "commitments", "of", "any", "character", "whatsoever", "relating", "to", ",", "or", "securities", "or", "rights", "convertible", "into", ",", "any", "LLC", "Units", ",", "or", "Contracts", ",", "commitments", ",", "understandings", "or", "arrangements", "by", "which", "the", "Company", "is", "or", "may", "become", "bound", "to", "issue", "additional", "LLC", "Units", ",", "or", "options", ",", "warrants", ",", "scrip", ",", "rights", "to", "subscribe", "to", ",", "calls", "or", "commitments", "of", "any", "character", "whatsoever", "relating", "to", ",", "or", "securities", "or", "rights", "convertible", "into", ",", "any", "LLC", "Units", ";", "(", "ii", ")", "there", "are", "no", "outstanding", "debt", "securities", ",", "notes", ",", "credit", "agreements", ",", "credit", "facilities", "or", "other", "Contracts", "or", "instruments", "evidencing", "indebtedness", "of", "the", "Company", ",", "or", "by", "which", "the", "Company", "is", "or", "may", "become", "bound", ";", "(", "iii", ")", "there", "are", "no", "agreements", "or", "arrangements", "under", "which", "the", "Company", "is", "obligated", "to", "register", "the", "sale", "of", "any", "of", "its", "securities", "under", "the", "Securities", "Act", ";", "(", "<", "sup", ">", "iv", ")", "there", "are", "no", "financing", "statements", "securing", "any", "obligations", "of", "the", "Company", ";", "(", "v", ")", "there", "are", "no", "securities", "or", "instruments", "containing", "anti-dilution", "or", "similar", "provisions", "that", "will", "be", "triggered", "by", "this", "Agreement", "or", "any", "related", "agreement", "or", "the", "Companys", "consummation", "of", "the", "transactions", "described", "herein", "or", "therein", ";", "and", "(", "vi", ")", "there", "are", "no", "outstanding", "securities", "or", "instruments", "of", "the", "Company", "which", "contain", "any", "redemption", "or", "similar", "provisions", ",", "and", "there", "are", "no", "Contracts", "by", "which", "the", "Company", "is", "or", "may", "become", "bound", "to", "redeem", "a", "security", "of", "the", "Company", "."]}
{"id": "12694", "text": "solicitation or general advertising (as those terms are used in Regulation D promulgated under the Securities Act ) in connection with the offer or sale of any of the Securities.", "ner": [[11, 12, "Regulation"], [16, 17, "Act"]], "tokenized_text": ["solicitation", "or", "general", "advertising", "(", "as", "those", "terms", "are", "used", "in", "Regulation", "D", "promulgated", "under", "the", "Securities", "Act", ")", "in", "connection", "with", "the", "offer", "or", "sale", "of", "any", "of", "the", "Securities", "."]}
{"id": "12698", "text": "6.2 Listing and Maintenance Requirements; SEC Documents. The Common Stock is registered pursuant to Section12(b)of the Exchange Act , and the Parent has taken no action designed to, or that is likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act , nor has the Parent received any notification that the SEC is contemplating terminating such registration. The Parent has filed all reports, schedules, forms, statements and other documents, together with any amendments thereto, required to be filed by it with the SEC under the Exchange Act ( <sup> all of the foregoing filed within the two (2)years preceding the Effective Date and all exhibits included therein and financial statements and schedules thereto and documents incorporated by reference therein, being hereinafter referred to as the SEC Documents). The Parent is current with its filing obligations under the Exchange Act and there are no outstanding comments from the SEC with respect to any report, schedule, form, statement and other document required to be filed by it with the SEC under the Exchange Act . True and complete copies of the SEC Documents are available on the SECs website (www.sec.gov) at no charge. As of their respective dates, the SEC Documents complied in all material respects with the applicable requirements of the Exchange Act , and none of the SEC Documents, at the time they were filed with or furnished to the SEC, contained any untrue statement of a material fact or omitted to state a material fact required to be stated therein or necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading.", "ner": [[18, 21, "Regulation"], [24, 25, "Act"]], "tokenized_text": ["6", ".", "2", "Listing", "and", "Maintenance", "Requirements", ";", "SEC", "Documents", ".", "The", "Common", "Stock", "is", "registered", "pursuant", "to", "Section12", "(", "b", ")", "of", "the", "Exchange", "Act", ",", "and", "the", "Parent", "has", "taken", "no", "action", "designed", "to", ",", "or", "that", "is", "likely", "to", "have", "the", "effect", "of", ",", "terminating", "the", "registration", "of", "the", "Common", "Stock", "under", "the", "Exchange", "Act", ",", "nor", "has", "the", "Parent", "received", "any", "notification", "that", "the", "SEC", "is", "contemplating", "terminating", "such", "registration", ".", "The", "Parent", "has", "filed", "all", "reports", ",", "schedules", ",", "forms", ",", "statements", "and", "other", "documents", ",", "together", "with", "any", "amendments", "thereto", ",", "required", "to", "be", "filed", "by", "it", "with", "the", "SEC", "under", "the", "Exchange", "Act", "(", "<", "sup", ">", "all", "of", "the", "foregoing", "filed", "within", "the", "two", "(", "2", ")", "years", "preceding", "the", "Effective", "Date", "and", "all", "exhibits", "included", "therein", "and", "financial", "statements", "and", "schedules", "thereto", "and", "documents", "incorporated", "by", "reference", "therein", ",", "being", "hereinafter", "referred", "to", "as", "the", "SEC", "Documents", ")", ".", "The", "Parent", "is", "current", "with", "its", "filing", "obligations", "under", "the", "Exchange", "Act", "and", "there", "are", "no", "outstanding", "comments", "from", "the", "SEC", "with", "respect", "to", "any", "report", ",", "schedule", ",", "form", ",", "statement", "and", "other", "document", "required", "to", "be", "filed", "by", "it", "with", "the", "SEC", "under", "the", "Exchange", "Act", ".", "True", "and", "complete", "copies", "of", "the", "SEC", "Documents", "are", "available", "on", "the", "SECs", "website", "(", "www", ".", "sec", ".", "gov", ")", "at", "no", "charge", ".", "As", "of", "their", "respective", "dates", ",", "the", "SEC", "Documents", "complied", "in", "all", "material", "respects", "with", "the", "applicable", "requirements", "of", "the", "Exchange", "Act", ",", "and", "none", "of", "the", "SEC", "Documents", ",", "at", "the", "time", "they", "were", "filed", "with", "or", "furnished", "to", "the", "SEC", ",", "contained", "any", "untrue", "statement", "of", "a", "material", "fact", "or", "omitted", "to", "state", "a", "material", "fact", "required", "to", "be", "stated", "therein", "or", "necessary", "in", "order", "to", "make", "the", "statements", "therein", ",", "in", "light", "of", "the", "circumstances", "under", "which", "they", "were", "made", ",", "not", "misleading", "."]}
{"id": "12700", "text": "7.6 Registration Rights. Upon issuance of any Conversion Shares by the Parent to Buyer, the Parent and Buyer shall execute a Registration Rights Agreement in a form reasonably satisfactory to Buyer and the Parent pursuant to which the Parent shall grant to such Buyer the rights to cause the Parent to register such Conversion Shares for resale under the Securities Act and under applicable state securities Laws.", "ner": [[25, 27, "Title"], [63, 64, "Act"]], "tokenized_text": ["7", ".", "6", "Registration", "Rights", ".", "Upon", "issuance", "of", "any", "Conversion", "Shares", "by", "the", "Parent", "to", "Buyer", ",", "the", "Parent", "and", "Buyer", "shall", "execute", "a", "Registration", "Rights", "Agreement", "in", "a", "form", "reasonably", "satisfactory", "to", "Buyer", "and", "the", "Parent", "pursuant", "to", "which", "the", "Parent", "shall", "grant", "to", "such", "Buyer", "the", "rights", "to", "cause", "the", "Parent", "to", "register", "such", "Conversion", "Shares", "for", "resale", "under", "the", "Securities", "Act", "and", "under", "applicable", "state", "securities", "Laws", "."]}
{"id": "12701", "text": "the extent that the foregoing undertaking by the Company may be unenforceable for any reason, the Company shall make the maximum contribution to the payment and satisfaction of each of the Claims covered hereby, which is permissible under applicable Law. The Company will not be liable to Buyer under this indemnity: (x)for any settlement by Buyer in connection with any Claim effected without the Companys prior written consent, which consent shall not be unreasonably withheld, conditioned or delayed; or (y)to the extent that a Claim is attributable to Buyers breach of any of the representations, warranties, covenants or agreements made by Buyer in this Agreement, the Transaction Documents or any other certificate, instrument or document contemplated hereby or thereby. Notwithstanding anything to the contrary contained in this Section8.1 or anywhere else in this Agreement or in the Transaction Documents, the aggregate amount of indemnification which may be sought, claimed and/or recovered by the Buyer Indemnified Parties (collectively) from the Company pursuant to this Section8.1 relating to a breach of a representation or warranty by the Company (other than a breach of the Company Fundamental Representations), excluding the representation and warranty of the Company set forth in clause (ii)of Section5.5) shall not, under any circumstances, exceed Fifteen Million Dollars ( $15,000,000 ).", "ner": [[248, 253, "Principal"]], "tokenized_text": ["the", "extent", "that", "the", "foregoing", "undertaking", "by", "the", "Company", "may", "be", "unenforceable", "for", "any", "reason", ",", "the", "Company", "shall", "make", "the", "maximum", "contribution", "to", "the", "payment", "and", "satisfaction", "of", "each", "of", "the", "Claims", "covered", "hereby", ",", "which", "is", "permissible", "under", "applicable", "Law", ".", "The", "Company", "will", "not", "be", "liable", "to", "Buyer", "under", "this", "indemnity", ":", "(", "x", ")", "for", "any", "settlement", "by", "Buyer", "in", "connection", "with", "any", "Claim", "effected", "without", "the", "Companys", "prior", "written", "consent", ",", "which", "consent", "shall", "not", "be", "unreasonably", "withheld", ",", "conditioned", "or", "delayed", ";", "or", "(", "y", ")", "to", "the", "extent", "that", "a", "Claim", "is", "attributable", "to", "Buyers", "breach", "of", "any", "of", "the", "representations", ",", "warranties", ",", "covenants", "or", "agreements", "made", "by", "Buyer", "in", "this", "Agreement", ",", "the", "Transaction", "Documents", "or", "any", "other", "certificate", ",", "instrument", "or", "document", "contemplated", "hereby", "or", "thereby", ".", "Notwithstanding", "anything", "to", "the", "contrary", "contained", "in", "this", "Section8", ".", "1", "or", "anywhere", "else", "in", "this", "Agreement", "or", "in", "the", "Transaction", "Documents", ",", "the", "aggregate", "amount", "of", "indemnification", "which", "may", "be", "sought", ",", "claimed", "and", "/", "or", "recovered", "by", "the", "Buyer", "Indemnified", "Parties", "(", "collectively", ")", "from", "the", "Company", "pursuant", "to", "this", "Section8", ".", "1", "relating", "to", "a", "breach", "of", "a", "representation", "or", "warranty", "by", "the", "Company", "(", "other", "than", "a", "breach", "of", "the", "Company", "Fundamental", "Representations", ")", ",", "excluding", "the", "representation", "and", "warranty", "of", "the", "Company", "set", "forth", "in", "clause", "(", "ii", ")", "of", "Section5", ".", "5", ")", "shall", "not", ",", "under", "any", "circumstances", ",", "exceed", "Fifteen", "Million", "Dollars", "(", "$", "15", ",", "000", ",", "000", ")", "."]}
{"id": "12704", "text": "9.19 WAIVER OF JURY TRIAL. EACH PARTY HERETO, AFTER CONSULTING OR HAVING HAD THE OPPORTUNITY TO CONSULT WITH COUNSEL, KNOWINGLY, VOLUNTARILY AND INTENTIONALLY WAIVES,IRREVOCABLY, THE RIGHT TO TRIAL BY JURY WITH RESPECT TO ANY LEGAL PROCEEDING BASED HEREON, OR ARISING OUT OF, UNDER OR IN CONNECTION WITH THIS AGREEMENT OR ANY OTHER TRANSACTION DOCUMENT OR ANY OTHER AGREEMENT EXECUTED OR CONTEMPLATED TO BE EXECUTED IN CONJUNCTION WITH THIS AGREEMENT, OR ANY COURSE OF CONDUCT OR COURSE OF DEALING IN WHICH BUYER AND THE COMPANY ARE ADVERSE PARTIES. THIS PROVISION IS A MATERIAL INDUCEMENT FOR BUYER TO PURCHASE THE NOTE.", "ner": [], "tokenized_text": ["9", ".", "19", "WAIVER", "OF", "JURY", "TRIAL", ".", "EACH", "PARTY", "HERETO", ",", "AFTER", "CONSULTING", "OR", "HAVING", "HAD", "THE", "OPPORTUNITY", "TO", "CONSULT", "WITH", "COUNSEL", ",", "KNOWINGLY", ",", "VOLUNTARILY", "AND", "INTENTIONALLY", "WAIVES", ",", "IRREVOCABLY", ",", "THE", "RIGHT", "TO", "TRIAL", "BY", "JURY", "WITH", "RESPECT", "TO", "ANY", "LEGAL", "PROCEEDING", "BASED", "HEREON", ",", "OR", "ARISING", "OUT", "OF", ",", "UNDER", "OR", "IN", "CONNECTION", "WITH", "THIS", "AGREEMENT", "OR", "ANY", "OTHER", "TRANSACTION", "DOCUMENT", "OR", "ANY", "OTHER", "AGREEMENT", "EXECUTED", "OR", "CONTEMPLATED", "TO", "BE", "EXECUTED", "IN", "CONJUNCTION", "WITH", "THIS", "AGREEMENT", ",", "OR", "ANY", "COURSE", "OF", "CONDUCT", "OR", "COURSE", "OF", "DEALING", "IN", "WHICH", "BUYER", "AND", "THE", "COMPANY", "ARE", "ADVERSE", "PARTIES", ".", "THIS", "PROVISION", "IS", "A", "MATERIAL", "INDUCEMENT", "FOR", "BUYER", "TO", "PURCHASE", "THE", "NOTE", "."]}
{"id": "12705", "text": "For value received, IFMI, LLC , a Delaware limited liability company (together with its successors and assigns, the Company), promises to pay to DGC Family Fintech Trust (the Holder), the principal amount of $15,000,000 , together with all accrued and unpaid interest thereon (the Outstanding Amount). This convertible senior secured promissory note (this Note) has been issued pursuant to that certain Securities Purchase Agreement (the Purchase Agreement) dated as of the date hereof by and between the Company and the Holder, and, for purposes of ArticleVI and Sections 7.3, 7.4, 7.5 and 7.6 thereof,Institutional Financial Markets,Inc. (the Parent). This Note is subject to the following terms and conditions:", "ner": [[4, 6, "Parties"], [29, 32, "Parties"], [42, 47, "Principal"], [80, 82, "Title"], [128, 133, "Parties"]], "tokenized_text": ["For", "value", "received", ",", "IFMI", ",", "LLC", ",", "a", "Delaware", "limited", "liability", "company", "(", "together", "with", "its", "successors", "and", "assigns", ",", "the", "Company", ")", ",", "promises", "to", "pay", "to", "DGC", "Family", "Fintech", "Trust", "(", "the", "Holder", ")", ",", "the", "principal", "amount", "of", "$", "15", ",", "000", ",", "000", ",", "together", "with", "all", "accrued", "and", "unpaid", "interest", "thereon", "(", "the", "Outstanding", "Amount", ")", ".", "This", "convertible", "senior", "secured", "promissory", "note", "(", "this", "Note", ")", "has", "been", "issued", "pursuant", "to", "that", "certain", "Securities", "Purchase", "Agreement", "(", "the", "Purchase", "Agreement", ")", "dated", "as", "of", "the", "date", "hereof", "by", "and", "between", "the", "Company", "and", "the", "Holder", ",", "and", ",", "for", "purposes", "of", "ArticleVI", "and", "Sections", "7", ".", "3", ",", "7", ".", "4", ",", "7", ".", "5", "and", "7", ".", "6", "thereof", ",", "Institutional", "Financial", "Markets", ",", "Inc", ".", "(", "the", "Parent", ")", ".", "This", "Note", "is", "subject", "to", "the", "following", "terms", "and", "conditions", ":"]}
{"id": "12711", "text": "Section12.1Approval of Dissolution of the Company. If there is any Designated Non-Parent Member, Parent agrees that Parent shall not, without receiving advance approval by a Majority Vote of the Designated Non-Parent Members, adopt any plan of liquidation or dissolution or file a certificate of dissolution with respect to the Company.", "ner": [], "tokenized_text": ["Section12", ".", "1Approval", "of", "Dissolution", "of", "the", "Company", ".", "If", "there", "is", "any", "Designated", "Non-Parent", "Member", ",", "Parent", "agrees", "that", "Parent", "shall", "not", ",", "without", "receiving", "advance", "approval", "by", "a", "Majority", "Vote", "of", "the", "Designated", "Non-Parent", "Members", ",", "adopt", "any", "plan", "of", "liquidation", "or", "dissolution", "or", "file", "a", "certificate", "of", "dissolution", "with", "respect", "to", "the", "Company", "."]}
{"id": "12713", "text": "and DGC Family Fintech Trust ,&lt; <sup> br/&gt;", "ner": [[1, 4, "Parties"]], "tokenized_text": ["and", "DGC", "Family", "Fintech", "Trust", ",", "&", "lt", ";", "<", "sup", ">", "br", "/", "&", "gt", ";"]}
{"id": "12716", "text": "2,749,167 shares of Parent common stock are issuable upon conversion of the $8,247,501 in Convertible Senior Promissory Notes originally issued to Mead Park Capital Partners LLC and EBC 2013 Family Trust (as assignee of Cohen Bros. Financial, LLC ) at a conversion price of $3.00 per share, subject to customary anti-dilution adjustments", "ner": [[0, 4, "Shares"], [16, 21, "Principal"], [56, 59, "Price"]], "tokenized_text": ["2", ",", "749", ",", "167", "shares", "of", "Parent", "common", "stock", "are", "issuable", "upon", "conversion", "of", "the", "$", "8", ",", "247", ",", "501", "in", "Convertible", "Senior", "Promissory", "Notes", "originally", "issued", "to", "Mead", "Park", "Capital", "Partners", "LLC", "and", "EBC", "2013", "Family", "Trust", "(", "as", "assignee", "of", "Cohen", "Bros", ".", "Financial", ",", "LLC", ")", "at", "a", "conversion", "price", "of", "$", "3", ".", "00", "per", "share", ",", "subject", "to", "customary", "anti-dilution", "adjustments"]}
{"id": "12717", "text": "Cohen &amp; Company Financial Management, LLC", "ner": [], "tokenized_text": ["Cohen", "&", "amp", ";", "Company", "Financial", "Management", ",", "LLC"]}
{"id": "12718", "text": "Cohen&amp; Company Management, LLC (DE)", "ner": [], "tokenized_text": ["Cohen", "&", "amp", ";", "Company", "Management", ",", "LLC", "(", "DE", ")"]}
{"id": "12721", "text": "Dekania Investors, LLC (DE)", "ner": [[0, 3, "Parties"]], "tokenized_text": ["Dekania", "Investors", ",", "LLC", "(", "DE", ")"]}
{"id": "12723", "text": "This Note Purchase Agreement , dated as of February 6, 2017 (this Agreement), is entered into by and between Bone Biologics Corporation , a Delaware corporation, (the Company) and Hankey Capital, LLC (HIC) and The Musculoskeletal Transplant Foundation (MTF) (each an Investor and collectively the Investors).", "ner": [[2, 3, "Title"], [8, 11, "EffectiveDate"], [23, 25, "Parties"], [36, 39, "Parties"], [44, 47, "Parties"]], "tokenized_text": ["This", "Note", "Purchase", "Agreement", ",", "dated", "as", "of", "February", "6", ",", "2017", "(", "this", "Agreement", ")", ",", "is", "entered", "into", "by", "and", "between", "Bone", "Biologics", "Corporation", ",", "a", "Delaware", "corporation", ",", "(", "the", "Company", ")", "and", "Hankey", "Capital", ",", "LLC", "(", "HIC", ")", "and", "The", "Musculoskeletal", "Transplant", "Foundation", "(", "MTF", ")", "(", "each", "an", "Investor", "and", "collectively", "the", "Investors", ")", "."]}
{"id": "12725", "text": "B. On the terms and subject to the conditions set forth herein, each Investor is willing to purchase from the Company, and the Company is willing to sell to Investor, a Note in the principal amount of $1,000,000 (the Purchase Price).", "ner": [[41, 46, "Principal"]], "tokenized_text": ["B", ".", "On", "the", "terms", "and", "subject", "to", "the", "conditions", "set", "forth", "herein", ",", "each", "Investor", "is", "willing", "to", "purchase", "from", "the", "Company", ",", "and", "the", "Company", "is", "willing", "to", "sell", "to", "Investor", ",", "a", "Note", "in", "the", "principal", "amount", "of", "$", "1", ",", "000", ",", "000", "(", "the", "Purchase", "Price", ")", "."]}
{"id": "12726", "text": "(a) Due Incorporation, Qualification , etc. The Company (i) is a corporation duly incorporated, and is validly existing under, the laws of the state of Delaware ; (ii) has the power and authority to own, lease and operate its properties and carry on its business as now conducted; and (iii) is duly qualified, licensed to do business and in good standing as a foreign entity in each jurisdiction where the failure to be so qualified or licensed could reasonably be expected to have a material adverse effect on the Company.", "ner": [[31, 33, "Court"]], "tokenized_text": ["(", "a", ")", "Due", "Incorporation", ",", "Qualification", ",", "etc", ".", "The", "Company", "(", "i", ")", "is", "a", "corporation", "duly", "incorporated", ",", "and", "is", "validly", "existing", "under", ",", "the", "laws", "of", "the", "state", "of", "Delaware", ";", "(", "ii", ")", "has", "the", "power", "and", "authority", "to", "own", ",", "lease", "and", "operate", "its", "properties", "and", "carry", "on", "its", "business", "as", "now", "conducted", ";", "and", "(", "iii", ")", "is", "duly", "qualified", ",", "licensed", "to", "do", "business", "and", "in", "good", "standing", "as", "a", "foreign", "entity", "in", "each", "jurisdiction", "where", "the", "failure", "to", "be", "so", "qualified", "or", "licensed", "could", "reasonably", "be", "expected", "to", "have", "a", "material", "adverse", "effect", "on", "the", "Company", "."]}
{"id": "12727", "text": "(b) Securities Law Compliance. Investor has been advised that the Notes and the underlying securities have not been registered under the Securities Act of 1933 , as amended (the Securities Act), or any state securities laws and, therefore, cannot be resold unless they are registered under the Securities Act and applicable state securities laws or unless an exemption from such registration requirements is available. Investor is aware that the Company is under no obligation to effect any such registration with respect to the Notes or the underlying securities or to file for or comply with any exemption from registration. Investor has not been formed solely for the purpose of making this investment and is purchasing the Notes for its own account for investment, not as a nominee or agent, and not with a view to, or for resale in connection with, the distribution thereof, and Investor has no present intention of selling, granting any participation in, or otherwise distributing the same. Investor has such knowledge and experience in financial and business matters that Investor is capable of evaluating the merits and risks of such investment, is able to incur a complete loss of such investment without impairing Investors financial condition and is able to bear the economic risk of such investment for an indefinite period of time. Investor is an accredited investor as such term is defined in Rule 501 of Regulation D under the Securities Act and shall submit to the Company such further assurances of such status as may be reasonably requested by the Company.", "ner": [[24, 27, "Act"], [248, 249, "Regulation"], [251, 252, "Regulation"]], "tokenized_text": ["(", "b", ")", "Securities", "Law", "Compliance", ".", "Investor", "has", "been", "advised", "that", "the", "Notes", "and", "the", "underlying", "securities", "have", "not", "been", "registered", "under", "the", "Securities", "Act", "of", "1933", ",", "as", "amended", "(", "the", "Securities", "Act", ")", ",", "or", "any", "state", "securities", "laws", "and", ",", "therefore", ",", "cannot", "be", "resold", "unless", "they", "are", "registered", "under", "the", "Securities", "Act", "and", "applicable", "state", "securities", "laws", "or", "unless", "an", "exemption", "from", "such", "registration", "requirements", "is", "available", ".", "Investor", "is", "aware", "that", "the", "Company", "is", "under", "no", "obligation", "to", "effect", "any", "such", "registration", "with", "respect", "to", "the", "Notes", "or", "the", "underlying", "securities", "or", "to", "file", "for", "or", "comply", "with", "any", "exemption", "from", "registration", ".", "Investor", "has", "not", "been", "formed", "solely", "for", "the", "purpose", "of", "making", "this", "investment", "and", "is", "purchasing", "the", "Notes", "for", "its", "own", "account", "for", "investment", ",", "not", "as", "a", "nominee", "or", "agent", ",", "and", "not", "with", "a", "view", "to", ",", "or", "for", "resale", "in", "connection", "with", ",", "the", "distribution", "thereof", ",", "and", "Investor", "has", "no", "present", "intention", "of", "selling", ",", "granting", "any", "participation", "in", ",", "or", "otherwise", "distributing", "the", "same", ".", "Investor", "has", "such", "knowledge", "and", "experience", "in", "financial", "and", "business", "matters", "that", "Investor", "is", "capable", "of", "evaluating", "the", "merits", "and", "risks", "of", "such", "investment", ",", "is", "able", "to", "incur", "a", "complete", "loss", "of", "such", "investment", "without", "impairing", "Investors", "financial", "condition", "and", "is", "able", "to", "bear", "the", "economic", "risk", "of", "such", "investment", "for", "an", "indefinite", "period", "of", "time", ".", "Investor", "is", "an", "accredited", "investor", "as", "such", "term", "is", "defined", "in", "Rule", "501", "of", "Regulation", "D", "under", "the", "Securities", "Act", "and", "shall", "submit", "to", "the", "Company", "such", "further", "assurances", "of", "such", "status", "as", "may", "be", "reasonably", "requested", "by", "the", "Company", "."]}
{"id": "12728", "text": "(d) Funding. The Company shall have received an aggregate amount of $2,000,000 from the Investors.", "ner": [[14, 19, "Principal"]], "tokenized_text": ["(", "d", ")", "Funding", ".", "The", "Company", "shall", "have", "received", "an", "aggregate", "amount", "of", "$", "2", ",", "000", ",", "000", "from", "the", "Investors", "."]}
{"id": "12729", "text": "| INVESTORS: ---|--- | | | The Musculoskeletal Transplant Foundation | Name of Investor | | | By: | | Name: | | Title: | | | | Hankey Capital, LLC | Name of Investor | | | By: | | Name: | | Title: | | | | COMPANY: | | | Bone Biologics Corporation | | | By: | | Name: | | | Authorized Signatory | Title: |", "ner": [[13, 16, "Parties"], [38, 41, "Parties"], [68, 70, "Parties"]], "tokenized_text": ["|", "INVESTORS", ":", "-", "-", "-", "|", "-", "-", "-", "|", "|", "|", "The", "Musculoskeletal", "Transplant", "Foundation", "|", "Name", "of", "Investor", "|", "|", "|", "By", ":", "|", "|", "Name", ":", "|", "|", "Title", ":", "|", "|", "|", "|", "Hankey", "Capital", ",", "LLC", "|", "Name", "of", "Investor", "|", "|", "|", "By", ":", "|", "|", "Name", ":", "|", "|", "Title", ":", "|", "|", "|", "|", "COMPANY", ":", "|", "|", "|", "Bone", "Biologics", "Corporation", "|", "|", "|", "By", ":", "|", "|", "Name", ":", "|", "|", "|", "Authorized", "Signatory", "|", "Title", ":", "|"]}
{"id": "12731", "text": "[ Texas South Energy, Inc. 8-K](txso-8k_010417.htm)", "ner": [[1, 6, "Parties"]], "tokenized_text": ["[", "Texas", "South", "Energy", ",", "Inc", ".", "8-K", "]", "(", "txso-8k_010417", ".", "htm", ")"]}
{"id": "12732", "text": "TEXAS SOUTH ENERGY, INC.,&lt; br/&gt;", "ner": [[0, 5, "Parties"]], "tokenized_text": ["TEXAS", "SOUTH", "ENERGY", ",", "INC", ".", ",", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "12734", "text": "Dated as of January 4, 2017 <sup>", "ner": [[3, 6, "EffectiveDate"]], "tokenized_text": ["Dated", "as", "of", "January", "4", ",", "2017", "<", "sup", ">"]}
{"id": "12735", "text": "This Asset Purchase Agreement , dated as of January 4, 2017 and effective January 1, 2017, is entered into by and among Texas South Energy, Inc. , a Texas corporation (Buyer), Sydson Resources, L.P., a Texas limited partnership (Sydson Resources), and Sydson Energy, Inc. , a Texas corporation (Sydson Energy and collectively with Sydson Resources, the Seller).", "ner": [[1, 3, "Title"], [8, 11, "EffectiveDate"], [14, 17, "EffectiveDate"], [25, 30, "Parties"], [39, 45, "Parties"], [57, 61, "Parties"]], "tokenized_text": ["This", "Asset", "Purchase", "Agreement", ",", "dated", "as", "of", "January", "4", ",", "2017", "and", "effective", "January", "1", ",", "2017", ",", "is", "entered", "into", "by", "and", "among", "Texas", "South", "Energy", ",", "Inc", ".", ",", "a", "Texas", "corporation", "(", "Buyer", ")", ",", "Sydson", "Resources", ",", "L", ".", "P", ".", ",", "a", "Texas", "limited", "partnership", "(", "Sydson", "Resources", ")", ",", "and", "Sydson", "Energy", ",", "Inc", ".", ",", "a", "Texas", "corporation", "(", "Sydson", "Energy", "and", "collectively", "with", "Sydson", "Resources", ",", "the", "Seller", ")", "."]}
{"id": "12739", "text": "The Seller recognizes that the purchase of the Securities involves a high degree of risk including, but not limited to, the following: (a) the Buyer has a limited operating history with a history of losses and requires additional funds to conduct its business; (b) an investment in the Buyer is highly speculative, and only investors who can afford the loss of their entire investment should consider investing in the Buyer and the Securities; (c) the Seller may not be able to liquidate its investment; (d) transferability of the Securities is extremely limited and the Buyer will not be registering the resale of the Shares; (e) in the event of a disposition, the Seller could sustain the loss of its entire investment; (f) the Buyer has not paid any dividends since its inception and does not anticipate paying any dividends; and (g) the Buyer may issue additional securities in the future which have rights and preferences that are senior to those of the Securities. Without limiting the generality of the representations set forth in Section 1.5 below, the Seller represents that the Seller has carefully reviewed all of the Buyers filings made with the Securities and Exchange Commission (SEC) pursuant to the Securities Exchange Act of 1934 , as amended (Exchange Act) through the date of execution hereof (SEC Filings) and has had the opportunity to ask management any questions regarding the SEC Filings.", "ner": [[232, 236, "Act"]], "tokenized_text": ["The", "Seller", "recognizes", "that", "the", "purchase", "of", "the", "Securities", "involves", "a", "high", "degree", "of", "risk", "including", ",", "but", "not", "limited", "to", ",", "the", "following", ":", "(", "a", ")", "the", "Buyer", "has", "a", "limited", "operating", "history", "with", "a", "history", "of", "losses", "and", "requires", "additional", "funds", "to", "conduct", "its", "business", ";", "(", "b", ")", "an", "investment", "in", "the", "Buyer", "is", "highly", "speculative", ",", "and", "only", "investors", "who", "can", "afford", "the", "loss", "of", "their", "entire", "investment", "should", "consider", "investing", "in", "the", "Buyer", "and", "the", "Securities", ";", "(", "c", ")", "the", "Seller", "may", "not", "be", "able", "to", "liquidate", "its", "investment", ";", "(", "d", ")", "transferability", "of", "the", "Securities", "is", "extremely", "limited", "and", "the", "Buyer", "will", "not", "be", "registering", "the", "resale", "of", "the", "Shares", ";", "(", "e", ")", "in", "the", "event", "of", "a", "disposition", ",", "the", "Seller", "could", "sustain", "the", "loss", "of", "its", "entire", "investment", ";", "(", "f", ")", "the", "Buyer", "has", "not", "paid", "any", "dividends", "since", "its", "inception", "and", "does", "not", "anticipate", "paying", "any", "dividends", ";", "and", "(", "g", ")", "the", "Buyer", "may", "issue", "additional", "securities", "in", "the", "future", "which", "have", "rights", "and", "preferences", "that", "are", "senior", "to", "those", "of", "the", "Securities", ".", "Without", "limiting", "the", "generality", "of", "the", "representations", "set", "forth", "in", "Section", "1", ".", "5", "below", ",", "the", "Seller", "represents", "that", "the", "Seller", "has", "carefully", "reviewed", "all", "of", "the", "Buyers", "filings", "made", "with", "the", "Securities", "and", "Exchange", "Commission", "(", "SEC", ")", "pursuant", "to", "the", "Securities", "Exchange", "Act", "of", "1934", ",", "as", "amended", "(", "Exchange", "Act", ")", "through", "the", "date", "of", "execution", "hereof", "(", "SEC", "Filings", ")", "and", "has", "had", "the", "opportunity", "to", "ask", "management", "any", "questions", "regarding", "the", "SEC", "Filings", "."]}
{"id": "12741", "text": "Litigation. There is no Action which adversely affects or challenges the legality, validity or enforceability of any of the Agreement or the Securities. Neither the Buyer nor any director or officer thereof (in his or her capacity as such with respect to the Buyer), is or has been the subject of any Action involving a claim of violation of or liability under federal or state securities laws or a claim of breach of fiduciary duty. To the knowledge of the Buyer, there is not pending any investigation by the SEC involving the Buyer or any current director or officer of the Buyer (in his capacity as such). The SEC has not issued any stop order or other order suspending the effectiveness of any registration statement filed by the Buyer under the Exchange Act or the Securities Act.&lt; br/&gt;", "ner": [[142, 143, "Act"], [146, 147, "Act"]], "tokenized_text": ["Litigation", ".", "There", "is", "no", "Action", "which", "adversely", "affects", "or", "challenges", "the", "legality", ",", "validity", "or", "enforceability", "of", "any", "of", "the", "Agreement", "or", "the", "Securities", ".", "Neither", "the", "Buyer", "nor", "any", "director", "or", "officer", "thereof", "(", "in", "his", "or", "her", "capacity", "as", "such", "with", "respect", "to", "the", "Buyer", ")", ",", "is", "or", "has", "been", "the", "subject", "of", "any", "Action", "involving", "a", "claim", "of", "violation", "of", "or", "liability", "under", "federal", "or", "state", "securities", "laws", "or", "a", "claim", "of", "breach", "of", "fiduciary", "duty", ".", "To", "the", "knowledge", "of", "the", "Buyer", ",", "there", "is", "not", "pending", "any", "investigation", "by", "the", "SEC", "involving", "the", "Buyer", "or", "any", "current", "director", "or", "officer", "of", "the", "Buyer", "(", "in", "his", "capacity", "as", "such", ")", ".", "The", "SEC", "has", "not", "issued", "any", "stop", "order", "or", "other", "order", "suspending", "the", "effectiveness", "of", "any", "registration", "statement", "filed", "by", "the", "Buyer", "under", "the", "Exchange", "Act", "or", "the", "Securities", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "12742", "text": "Buyer shall wire $325,000 to Thyssen Petroleum USA, LLC (or its affiliate) concurrent with receipt of the deliverables set forth in Section 5.1(f).", "ner": [[3, 6, "Principal"], [8, 12, "Parties"]], "tokenized_text": ["Buyer", "shall", "wire", "$", "325", ",", "000", "to", "Thyssen", "Petroleum", "USA", ",", "LLC", "(", "or", "its", "affiliate", ")", "concurrent", "with", "receipt", "of", "the", "deliverables", "set", "forth", "in", "Section", "5", ".", "1", "(", "f", ")", "."]}
{"id": "12743", "text": "Governing Law. This Agreement and all transactions contemplated hereby shall be governed, construed and enforced in accordance with the laws of the State of Texas , without giving effect to the conflict of laws provisions thereof, and any action or proceeding seeking to enforce any provision of this Agreement. The venue shall be Harris County, Texas.", "ner": [[24, 26, "Court"], [57, 60, "Court"]], "tokenized_text": ["Governing", "Law", ".", "This", "Agreement", "and", "all", "transactions", "contemplated", "hereby", "shall", "be", "governed", ",", "construed", "and", "enforced", "in", "accordance", "with", "the", "laws", "of", "the", "State", "of", "Texas", ",", "without", "giving", "effect", "to", "the", "conflict", "of", "laws", "provisions", "thereof", ",", "and", "any", "action", "or", "proceeding", "seeking", "to", "enforce", "any", "provision", "of", "this", "Agreement", ".", "The", "venue", "shall", "be", "Harris", "County", ",", "Texas", "."]}
{"id": "12745", "text": "Texas South Energy, Inc.", "ner": [[0, 5, "Parties"]], "tokenized_text": ["Texas", "South", "Energy", ",", "Inc", "."]}
{"id": "12748", "text": "EX-10.2 3 f8k032117ex10ii_nightfood.htm SECURITIES PURCHASE AGREEMENT - EMA FINANCIAL, LLC", "ner": [[7, 9, "Title"]], "tokenized_text": ["EX-10", ".", "2", "3", "f8k032117ex10ii_nightfood", ".", "htm", "SECURITIES", "PURCHASE", "AGREEMENT", "-", "EMA", "FINANCIAL", ",", "LLC"]}
{"id": "12755", "text": "w)Foreign Corrupt Practices. Neither the Company, nor any of its Subsidiaries, nor any director, officer, agent, employee or other person acting on behalf of the Company or any Subsidiary has, in the course of his actions for, or on behalf of, the Company, used any corporate funds for any unlawful contribution, gift, entertainment or other unlawful expenses relating to political activity; made any direct or indirect unlawful payment to any foreign or domestic government official or employee from corporate funds; violated or is in violation of any provision of the U.S. Foreign Corrupt Practices Act of 1977 , as amended, or made any bribe, rebate, payoff, influence payment, kickback or other unlawful payment to any foreign or domestic government official or employee.", "ner": [[106, 115, "Act"]], "tokenized_text": ["w", ")", "Foreign", "Corrupt", "Practices", ".", "Neither", "the", "Company", ",", "nor", "any", "of", "its", "Subsidiaries", ",", "nor", "any", "director", ",", "officer", ",", "agent", ",", "employee", "or", "other", "person", "acting", "on", "behalf", "of", "the", "Company", "or", "any", "Subsidiary", "has", ",", "in", "the", "course", "of", "his", "actions", "for", ",", "or", "on", "behalf", "of", ",", "the", "Company", ",", "used", "any", "corporate", "funds", "for", "any", "unlawful", "contribution", ",", "gift", ",", "entertainment", "or", "other", "unlawful", "expenses", "relating", "to", "political", "activity", ";", "made", "any", "direct", "or", "indirect", "unlawful", "payment", "to", "any", "foreign", "or", "domestic", "government", "official", "or", "employee", "from", "corporate", "funds", ";", "violated", "or", "is", "in", "violation", "of", "any", "provision", "of", "the", "U", ".", "S", ".", "Foreign", "Corrupt", "Practices", "Act", "of", "1977", ",", "as", "amended", ",", "or", "made", "any", "bribe", ",", "rebate", ",", "payoff", ",", "influence", "payment", ",", "kickback", "or", "other", "unlawful", "payment", "to", "any", "foreign", "or", "domestic", "government", "official", "or", "employee", "."]}
{"id": "12758", "text": "EMA Financial , LLC", "ner": [], "tokenized_text": ["EMA", "Financial", ",", "LLC"]}
{"id": "12766", "text": "(a) The securities represented hereby may not be transferred unless (i) such securities have been registered for sale pursuant to the Securities Act of 1933 , as amended, (ii) such securities may be sold pursuant to Rule 144(i), or (iii) the Company has received an opinion of counsel reasonably satisfactory to it that such transfer may lawfully be made without registration under the Securities Act of 1933 or qualification under applicable state securities laws.", "ner": [[25, 28, "Act"], [43, 44, "Regulation"]], "tokenized_text": ["(", "a", ")", "The", "securities", "represented", "hereby", "may", "not", "be", "transferred", "unless", "(", "i", ")", "such", "securities", "have", "been", "registered", "for", "sale", "pursuant", "to", "the", "Securities", "Act", "of", "1933", ",", "as", "amended", ",", "(", "ii", ")", "such", "securities", "may", "be", "sold", "pursuant", "to", "Rule", "144", "(", "i", ")", ",", "or", "(", "iii", ")", "the", "Company", "has", "received", "an", "opinion", "of", "counsel", "reasonably", "satisfactory", "to", "it", "that", "such", "transfer", "may", "lawfully", "be", "made", "without", "registration", "under", "the", "Securities", "Act", "of", "1933", "or", "qualification", "under", "applicable", "state", "securities", "laws", "."]}
{"id": "12769", "text": "Beverly Hills, CA 90212", "ner": [[0, 4, "Address"]], "tokenized_text": ["Beverly", "Hills", ",", "CA", "90212"]}
{"id": "12770", "text": "GHS Investments, LLC <sup>", "ner": [[0, 3, "Parties"]], "tokenized_text": ["GHS", "Investments", ",", "LLC", "<", "sup", ">"]}
{"id": "12773", "text": "8.10 Governing Law; Consent to Jurisdiction; Waiver of Jury Trial. This Agreement shall be governed by, and construed in accordance with, the internal laws of the State of Nevada , without regard to principles of conflicts of law. Each of the parties hereto irrevocably submit to the exclusive jurisdiction of the state and federal courta sitting in New York City, New York over any action or proceeding arising out of or relating to this Agreement and the parties hereto hereby irrevocably agree that all claims in respect of such action or proceeding may be heard and determined in such court. The parties hereto agree that a final judgment in any such action or proceeding shall be conclusive and may be enforced in other jurisdictions by suit on the judgment or in any other manner provided by law. The parties hereto further waive any objection to venue in the State of New York and any objection to an action or proceeding in the State of New York on the basis of forum non conveniens.", "ner": [[33, 35, "Court"], [65, 70, "Court"], [159, 162, "Court"]], "tokenized_text": ["8", ".", "10", "Governing", "Law", ";", "Consent", "to", "Jurisdiction", ";", "Waiver", "of", "Jury", "Trial", ".", "This", "Agreement", "shall", "be", "governed", "by", ",", "and", "construed", "in", "accordance", "with", ",", "the", "internal", "laws", "of", "the", "State", "of", "Nevada", ",", "without", "regard", "to", "principles", "of", "conflicts", "of", "law", ".", "Each", "of", "the", "parties", "hereto", "irrevocably", "submit", "to", "the", "exclusive", "jurisdiction", "of", "the", "state", "and", "federal", "courta", "sitting", "in", "New", "York", "City", ",", "New", "York", "over", "any", "action", "or", "proceeding", "arising", "out", "of", "or", "relating", "to", "this", "Agreement", "and", "the", "parties", "hereto", "hereby", "irrevocably", "agree", "that", "all", "claims", "in", "respect", "of", "such", "action", "or", "proceeding", "may", "be", "heard", "and", "determined", "in", "such", "court", ".", "The", "parties", "hereto", "agree", "that", "a", "final", "judgment", "in", "any", "such", "action", "or", "proceeding", "shall", "be", "conclusive", "and", "may", "be", "enforced", "in", "other", "jurisdictions", "by", "suit", "on", "the", "judgment", "or", "in", "any", "other", "manner", "provided", "by", "law", ".", "The", "parties", "hereto", "further", "waive", "any", "objection", "to", "venue", "in", "the", "State", "of", "New", "York", "and", "any", "objection", "to", "an", "action", "or", "proceeding", "in", "the", "State", "of", "New", "York", "on", "the", "basis", "of", "forum", "non", "conveniens", "."]}
{"id": "12775", "text": "EX-10.13 26 abh_ex1013.htm ASSET PURCHASE AGREEMENT", "ner": [[7, 9, "Title"]], "tokenized_text": ["EX-10", ".", "13", "26", "abh_ex1013", ".", "htm", "ASSET", "PURCHASE", "AGREEMENT"]}
{"id": "12777", "text": "(i) At the Closing, Buyer or Buyer Licensee will deliver to Seller a $100,000 aggregate principal amount in the form of a convertible equity security (Convertible Equity Security) and will also deliver to Steven J. Rychnovsky as Sellers Designee, a $100,000 aggregate principal amount in the form of a second Convertible Equity Security. The combined total amount of all such Convertible Equity Securities will be $200,000 and will fully satisfy that $200,000 convertible debenture referenced in that Option to Purchase Assets Agreement, dated August 27, 2009, by and between Seller and Buyer. Each Convertible Equity Security shall carry a simple interest rate of 8% accruing from the Effective Date and shall be converted (including any interest that is accrued and unpaid as of the date of conversion) on the date of the Payment Equity Financing of (A) the Buyer or (B) the Buyer Licensee. This conversion shall be the sole means of payment of the Convertible Equity Security, unless at Buyers sole discretion, Buyer chooses to pay cash in whole or in part.", "ner": [[16, 19, "Principal"], [79, 82, "Principal"], [97, 101, "Title"], [104, 107, "EffectiveDate"], [127, 128, "Percentage"]], "tokenized_text": ["(", "i", ")", "At", "the", "Closing", ",", "Buyer", "or", "Buyer", "Licensee", "will", "deliver", "to", "Seller", "a", "$", "100", ",", "000", "aggregate", "principal", "amount", "in", "the", "form", "of", "a", "convertible", "equity", "security", "(", "Convertible", "Equity", "Security", ")", "and", "will", "also", "deliver", "to", "Steven", "J", ".", "Rychnovsky", "as", "Sellers", "Designee", ",", "a", "$", "100", ",", "000", "aggregate", "principal", "amount", "in", "the", "form", "of", "a", "second", "Convertible", "Equity", "Security", ".", "The", "combined", "total", "amount", "of", "all", "such", "Convertible", "Equity", "Securities", "will", "be", "$", "200", ",", "000", "and", "will", "fully", "satisfy", "that", "$", "200", ",", "000", "convertible", "debenture", "referenced", "in", "that", "Option", "to", "Purchase", "Assets", "Agreement", ",", "dated", "August", "27", ",", "2009", ",", "by", "and", "between", "Seller", "and", "Buyer", ".", "Each", "Convertible", "Equity", "Security", "shall", "carry", "a", "simple", "interest", "rate", "of", "8", "%", "accruing", "from", "the", "Effective", "Date", "and", "shall", "be", "converted", "(", "including", "any", "interest", "that", "is", "accrued", "and", "unpaid", "as", "of", "the", "date", "of", "conversion", ")", "on", "the", "date", "of", "the", "Payment", "Equity", "Financing", "of", "(", "A", ")", "the", "Buyer", "or", "(", "B", ")", "the", "Buyer", "Licensee", ".", "This", "conversion", "shall", "be", "the", "sole", "means", "of", "payment", "of", "the", "Convertible", "Equity", "Security", ",", "unless", "at", "Buyers", "sole", "discretion", ",", "Buyer", "chooses", "to", "pay", "cash", "in", "whole", "or", "in", "part", "."]}
{"id": "12779", "text": "(c) Unless earlier terminated, either Buyer shall pay, or any Buyer Licensee shall pay, but not both, to Seller a single royalty equal to six percent (6.0%) of Net Sales during the Royalty Term and shall pay to Sellers Designee a single royalty equal to one and one-half percent (1. 5% ) of Net Sales during the Royalty Term. Buyer Licensee shall pay the royalty directly or indirectly through Buyer. The payments due under this Section 1.3(c) shall be paid within thirty (30) days of the end of each calendar quarter during which revenue is collected. Royalties on Net Sales under this Section 1.3(c) will be payable on a Product-by-Product and country-by-country basis, commencing on the first commercial sale of a Finished Product in a country until the later of (i) the invalidation, revocation, lapse or expiration of the last to expire Valid Claim of any Patent that would be infringed by the sale of such Finished Product in such country or (ii) the expiration of any Regulatory Exclusivity Period for such Product in such country (the Royalty Term). The Royalty Term will include only that period for which the Buyer, Buyer Licensee or their designee, holds exclusive marketing rights in the relevant . jurisdiction for the Acquired Assets, or products derived from the Acquired Assets, as a result of a legal right received as part of this Asset Purchase Agreement by Data Exclusivity, Orphan Drug Exclusivity or Patent Protection. However, patents which may be in force but which do not provide marketing exclusivity will not be included in the determination of royalties to be paid to Seller under this agreement.", "ner": [[33, 36, "Percentage"], [58, 58, "Ratio"], [61, 64, "Percentage"], [271, 273, "Title"], [275, 276, "Title"], [278, 280, "Title"], [282, 283, "Title"]], "tokenized_text": ["(", "c", ")", "Unless", "earlier", "terminated", ",", "either", "Buyer", "shall", "pay", ",", "or", "any", "Buyer", "Licensee", "shall", "pay", ",", "but", "not", "both", ",", "to", "Seller", "a", "single", "royalty", "equal", "to", "six", "percent", "(", "6", ".", "0", "%", ")", "of", "Net", "Sales", "during", "the", "Royalty", "Term", "and", "shall", "pay", "to", "Sellers", "Designee", "a", "single", "royalty", "equal", "to", "one", "and", "one-half", "percent", "(", "1", ".", "5", "%", ")", "of", "Net", "Sales", "during", "the", "Royalty", "Term", ".", "Buyer", "Licensee", "shall", "pay", "the", "royalty", "directly", "or", "indirectly", "through", "Buyer", ".", "The", "payments", "due", "under", "this", "Section", "1", ".", "3", "(", "c", ")", "shall", "be", "paid", "within", "thirty", "(", "30", ")", "days", "of", "the", "end", "of", "each", "calendar", "quarter", "during", "which", "revenue", "is", "collected", ".", "Royalties", "on", "Net", "Sales", "under", "this", "Section", "1", ".", "3", "(", "c", ")", "will", "be", "payable", "on", "a", "Product-by-Product", "and", "country-by-country", "basis", ",", "commencing", "on", "the", "first", "commercial", "sale", "of", "a", "Finished", "Product", "in", "a", "country", "until", "the", "later", "of", "(", "i", ")", "the", "invalidation", ",", "revocation", ",", "lapse", "or", "expiration", "of", "the", "last", "to", "expire", "Valid", "Claim", "of", "any", "Patent", "that", "would", "be", "infringed", "by", "the", "sale", "of", "such", "Finished", "Product", "in", "such", "country", "or", "(", "ii", ")", "the", "expiration", "of", "any", "Regulatory", "Exclusivity", "Period", "for", "such", "Product", "in", "such", "country", "(", "the", "Royalty", "Term", ")", ".", "The", "Royalty", "Term", "will", "include", "only", "that", "period", "for", "which", "the", "Buyer", ",", "Buyer", "Licensee", "or", "their", "designee", ",", "holds", "exclusive", "marketing", "rights", "in", "the", "relevant", ".", "jurisdiction", "for", "the", "Acquired", "Assets", ",", "or", "products", "derived", "from", "the", "Acquired", "Assets", ",", "as", "a", "result", "of", "a", "legal", "right", "received", "as", "part", "of", "this", "Asset", "Purchase", "Agreement", "by", "Data", "Exclusivity", ",", "Orphan", "Drug", "Exclusivity", "or", "Patent", "Protection", ".", "However", ",", "patents", "which", "may", "be", "in", "force", "but", "which", "do", "not", "provide", "marketing", "exclusivity", "will", "not", "be", "included", "in", "the", "determination", "of", "royalties", "to", "be", "paid", "to", "Seller", "under", "this", "agreement", "."]}
{"id": "12783", "text": "St. Cloud Investments, LLC", "ner": [], "tokenized_text": ["St", ".", "Cloud", "Investments", ",", "LLC"]}
{"id": "12785", "text": "660 Newport Center Drive, Suite 1600", "ner": [[0, 6, "Address"]], "tokenized_text": ["660", "Newport", "Center", "Drive", ",", "Suite", "1600"]}
{"id": "12789", "text": "This Securities Purchase Agreement (this Agreement) is dated as of January27, 2017 , between Pulmatrix, Inc . a Delaware corporation (the Company), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a Purchaser and collectively the Purchasers).", "ner": [[1, 3, "Title"], [12, 14, "EffectiveDate"], [17, 20, "Parties"]], "tokenized_text": ["This", "Securities", "Purchase", "Agreement", "(", "this", "Agreement", ")", "is", "dated", "as", "of", "January27", ",", "2017", ",", "between", "Pulmatrix", ",", "Inc", ".", "a", "Delaware", "corporation", "(", "the", "Company", ")", ",", "and", "each", "purchaser", "identified", "on", "the", "signature", "pages", "hereto", "(", "each", ",", "including", "its", "successors", "and", "assigns", ",", "a", "Purchaser", "and", "collectively", "the", "Purchasers", ")", "."]}
{"id": "12790", "text": "Company Counsel means Haynes and Boone, LLP, with offices located at 30 Rockefeller Plaza, 26th Floor, New York, NY 10112.", "ner": [[3, 7, "Parties"], [13, 24, "Address"]], "tokenized_text": ["Company", "Counsel", "means", "Haynes", "and", "Boone", ",", "LLP", ",", "with", "offices", "located", "at", "30", "Rockefeller", "Plaza", ",", "26th", "Floor", ",", "New", "York", ",", "NY", "10112", "."]}
{"id": "12794", "text": "Transfer Agent means Vstock Transfer, LLC , the current transfer agent of the Company, with a mailing address of 18 Lafayette Place, Woodmere, NY 11598 and a facsimile number of (646) 536-3179 , and any successor transfer agent of the Company.", "ner": [[3, 6, "Parties"], [21, 28, "Address"], [34, 37, "PII_Ref"]], "tokenized_text": ["Transfer", "Agent", "means", "Vstock", "Transfer", ",", "LLC", ",", "the", "current", "transfer", "agent", "of", "the", "Company", ",", "with", "a", "mailing", "address", "of", "18", "Lafayette", "Place", ",", "Woodmere", ",", "NY", "11598", "and", "a", "facsimile", "number", "of", "(", "646", ")", "536-3179", ",", "and", "any", "successor", "transfer", "agent", "of", "the", "Company", "."]}
{"id": "12796", "text": "(v)the Prospectus and Prospectus Supplement (which may be delivered in accordance with Rule 172 under the Securities Act).&lt; br/&gt;", "ner": [[16, 17, "Regulation"], [20, 21, "Act"]], "tokenized_text": ["(", "v", ")", "the", "Prospectus", "and", "Prospectus", "Supplement", "(", "which", "may", "be", "delivered", "in", "accordance", "with", "Rule", "172", "under", "the", "Securities", "Act", ")", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "12798", "text": "(s)Sarbanes-Oxley; Internal Accounting Controls. The Company and the Subsidiaries are in compliance with any and all applicable requirements of the Sarbanes- Oxley Act of 2002 that are effective as of the date hereof, and any and all applicable rules and regulations promulgated by the Commission thereunder that are effective as of the date hereof and as of the Closing Date. The Company and the Subsidiaries maintain a system of internal accounting controls sufficient to provide reasonable assurance that: (i)transactions are executed in accordance with managements general or specific authorizations, (ii)transactions are recorded as necessary to permit preparation of financial statements in conformity with GAAP and to maintain asset accountability, (iii)access to assets is permitted only in accordance with managements general or specific authorization, and (iv)the recorded accountability for assets is compared with the existing assets at reasonable intervals and appropriate action is taken with respect to any differences. The Company and the Subsidiaries have established disclosure controls and procedures (as defined in Exchange Act Rules 13a-15(e) and 15d-15(e)) for the Company and the Subsidiaries and designed such disclosure controls and procedures to ensure that information required to be disclosed by the Company in the reports it files or submits under the Exchange Act is recorded, processed, summarized and reported, within the time", "ner": [[25, 30, "Act"], [188, 189, "Act"]], "tokenized_text": ["(", "s", ")", "Sarbanes-Oxley", ";", "Internal", "Accounting", "Controls", ".", "The", "Company", "and", "the", "Subsidiaries", "are", "in", "compliance", "with", "any", "and", "all", "applicable", "requirements", "of", "the", "Sarbanes", "-", "Oxley", "Act", "of", "2002", "that", "are", "effective", "as", "of", "the", "date", "hereof", ",", "and", "any", "and", "all", "applicable", "rules", "and", "regulations", "promulgated", "by", "the", "Commission", "thereunder", "that", "are", "effective", "as", "of", "the", "date", "hereof", "and", "as", "of", "the", "Closing", "Date", ".", "The", "Company", "and", "the", "Subsidiaries", "maintain", "a", "system", "of", "internal", "accounting", "controls", "sufficient", "to", "provide", "reasonable", "assurance", "that", ":", "(", "i", ")", "transactions", "are", "executed", "in", "accordance", "with", "managements", "general", "or", "specific", "authorizations", ",", "(", "ii", ")", "transactions", "are", "recorded", "as", "necessary", "to", "permit", "preparation", "of", "financial", "statements", "in", "conformity", "with", "GAAP", "and", "to", "maintain", "asset", "accountability", ",", "(", "iii", ")", "access", "to", "assets", "is", "permitted", "only", "in", "accordance", "with", "managements", "general", "or", "specific", "authorization", ",", "and", "(", "iv", ")", "the", "recorded", "accountability", "for", "assets", "is", "compared", "with", "the", "existing", "assets", "at", "reasonable", "intervals", "and", "appropriate", "action", "is", "taken", "with", "respect", "to", "any", "differences", ".", "The", "Company", "and", "the", "Subsidiaries", "have", "established", "disclosure", "controls", "and", "procedures", "(", "as", "defined", "in", "Exchange", "Act", "Rules", "13a-15", "(", "e", ")", "and", "15d-15", "(", "e", ")", ")", "for", "the", "Company", "and", "the", "Subsidiaries", "and", "designed", "such", "disclosure", "controls", "and", "procedures", "to", "ensure", "that", "information", "required", "to", "be", "disclosed", "by", "the", "Company", "in", "the", "reports", "it", "files", "or", "submits", "under", "the", "Exchange", "Act", "is", "recorded", ",", "processed", ",", "summarized", "and", "reported", ",", "within", "the", "time"]}
{"id": "12800", "text": "(u)Investment Company. The Company is not, and is not an Affiliate of, and immediately after receipt of payment for the Shares, will not be or be an Affiliate of, an investment company within the meaning of the Investment Company Act of 1940 , as amended. The Company shall conduct its business in a manner so that it will not become an investment company subject to registration under the Investment Company Act of 1940 , as amended.", "ner": [[45, 49, "Act"]], "tokenized_text": ["(", "u", ")", "Investment", "Company", ".", "The", "Company", "is", "not", ",", "and", "is", "not", "an", "Affiliate", "of", ",", "and", "immediately", "after", "receipt", "of", "payment", "for", "the", "Shares", ",", "will", "not", "be", "or", "be", "an", "Affiliate", "of", ",", "an", "investment", "company", "within", "the", "meaning", "of", "the", "Investment", "Company", "Act", "of", "1940", ",", "as", "amended", ".", "The", "Company", "shall", "conduct", "its", "business", "in", "a", "manner", "so", "that", "it", "will", "not", "become", "an", "investment", "company", "subject", "to", "registration", "under", "the", "Investment", "Company", "Act", "of", "1940", ",", "as", "amended", "."]}
{"id": "12801", "text": "(cc)Foreign Corrupt Practices. Neither the Company nor any Subsidiary, nor to the knowledge of the Company or any Subsidiary, any agent or other person acting on behalf of the Company or any Subsidiary, has (i)directly or indirectly, used any funds for unlawful contributions, gifts, entertainment or other unlawful expenses related to foreign or domestic political activity, (ii)made any unlawful payment to foreign or domestic government officials or employees or to any foreign or domestic political parties or campaigns from corporate funds, (iii)failed to disclose fully any contribution made by", "ner": [], "tokenized_text": ["(", "cc", ")", "Foreign", "Corrupt", "Practices", ".", "Neither", "the", "Company", "nor", "any", "Subsidiary", ",", "nor", "to", "the", "knowledge", "of", "the", "Company", "or", "any", "Subsidiary", ",", "any", "agent", "or", "other", "person", "acting", "on", "behalf", "of", "the", "Company", "or", "any", "Subsidiary", ",", "has", "(", "i", ")", "directly", "or", "indirectly", ",", "used", "any", "funds", "for", "unlawful", "contributions", ",", "gifts", ",", "entertainment", "or", "other", "unlawful", "expenses", "related", "to", "foreign", "or", "domestic", "political", "activity", ",", "(", "ii", ")", "made", "any", "unlawful", "payment", "to", "foreign", "or", "domestic", "government", "officials", "or", "employees", "or", "to", "any", "foreign", "or", "domestic", "political", "parties", "or", "campaigns", "from", "corporate", "funds", ",", "(", "iii", ")", "failed", "to", "disclose", "fully", "any", "contribution", "made", "by"]}
{"id": "12803", "text": "(kk)Bank Holding Company Act. Neither the Company nor any of its Subsidiaries or Affiliates is subject to the Bank Holding Company Act of 1956 , as amended (the BHCA) and to regulation by the Board of Governors of the Federal Reserve System (the Federal Reserve). Neither the Company nor any of its Subsidiaries or Affiliates owns or controls, directly or indirectly, five percent (5%) or more of the outstanding shares of any class of voting securities or twenty-five percent or more of the total equity of a bank or any entity that is subject to the BHCA and to regulation by the Federal Reserve. Neither the Company nor any of its Subsidiaries or Affiliates exercises a controlling influence over the management or policies of a bank or any entity that is subject to the BHCA and to regulation by the Federal Reserve.", "ner": [[3, 6, "Act"], [22, 27, "Act"], [75, 76, "Percentage"], [91, 92, "Percentage"]], "tokenized_text": ["(", "kk", ")", "Bank", "Holding", "Company", "Act", ".", "Neither", "the", "Company", "nor", "any", "of", "its", "Subsidiaries", "or", "Affiliates", "is", "subject", "to", "the", "Bank", "Holding", "Company", "Act", "of", "1956", ",", "as", "amended", "(", "the", "BHCA", ")", "and", "to", "regulation", "by", "the", "Board", "of", "Governors", "of", "the", "Federal", "Reserve", "System", "(", "the", "Federal", "Reserve", ")", ".", "Neither", "the", "Company", "nor", "any", "of", "its", "Subsidiaries", "or", "Affiliates", "owns", "or", "controls", ",", "directly", "or", "indirectly", ",", "five", "percent", "(", "5", "%", ")", "or", "more", "of", "the", "outstanding", "shares", "of", "any", "class", "of", "voting", "securities", "or", "twenty-five", "percent", "or", "more", "of", "the", "total", "equity", "of", "a", "bank", "or", "any", "entity", "that", "is", "subject", "to", "the", "BHCA", "and", "to", "regulation", "by", "the", "Federal", "Reserve", ".", "Neither", "the", "Company", "nor", "any", "of", "its", "Subsidiaries", "or", "Affiliates", "exercises", "a", "controlling", "influence", "over", "the", "management", "or", "policies", "of", "a", "bank", "or", "any", "entity", "that", "is", "subject", "to", "the", "BHCA", "and", "to", "regulation", "by", "the", "Federal", "Reserve", "."]}
{"id": "12805", "text": "(c)Purchaser Status. At the time such Purchaser was offered the Shares, it was, and as of the date hereof it is either: (i)an accredited investor as defined in Rule 501(a)(1), (a)(2), (a)(3), (a)(7) or (a)(8) under the Securities Act or (ii)a qualified institutional buyer as defined in Rule 144A(a) under the Securities Act.&lt; br/&gt;", "ner": [[38, 39, "Regulation"], [76, 77, "Act"], [89, 90, "Regulation"]], "tokenized_text": ["(", "c", ")", "Purchaser", "Status", ".", "At", "the", "time", "such", "Purchaser", "was", "offered", "the", "Shares", ",", "it", "was", ",", "and", "as", "of", "the", "date", "hereof", "it", "is", "either", ":", "(", "i", ")", "an", "accredited", "investor", "as", "defined", "in", "Rule", "501", "(", "a", ")", "(", "1", ")", ",", "(", "a", ")", "(", "2", ")", ",", "(", "a", ")", "(", "3", ")", ",", "(", "a", ")", "(", "7", ")", "or", "(", "a", ")", "(", "8", ")", "under", "the", "Securities", "Act", "or", "(", "ii", ")", "a", "qualified", "institutional", "buyer", "as", "defined", "in", "Rule", "144A", "(", "a", ")", "under", "the", "Securities", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "12810", "text": "Business Day means any day except Saturday, Sunday, any day which is a federal legal holiday in the United States or any day on which banking institutions in the State of New York are authorized or required by law or other governmental action to close.", "ner": [[31, 34, "Court"]], "tokenized_text": ["Business", "Day", "means", "any", "day", "except", "Saturday", ",", "Sunday", ",", "any", "day", "which", "is", "a", "federal", "legal", "holiday", "in", "the", "United", "States", "or", "any", "day", "on", "which", "banking", "institutions", "in", "the", "State", "of", "New", "York", "are", "authorized", "or", "required", "by", "law", "or", "other", "governmental", "action", "to", "close", "."]}
{"id": "12811", "text": "Company Counsel means Sichenzia Ross Ference Kesner LLP, 61 Broadway, New York, New York 10006.", "ner": [[9, 17, "Address"]], "tokenized_text": ["Company", "Counsel", "means", "Sichenzia", "Ross", "Ference", "Kesner", "LLP", ",", "61", "Broadway", ",", "New", "York", ",", "New", "York", "10006", "."]}
{"id": "12815", "text": "(iv) The Purchaser is aware that the Companys prior auditing firm has indicated that it will not provide a consent to use the Companys audited financial statements for the fiscal year 2014 unless certain conditions are met, which could affect the Companys ability to timely file certain reports required under the Exchange Act.&lt; br/&gt;", "ner": [[54, 55, "Act"]], "tokenized_text": ["(", "iv", ")", "The", "Purchaser", "is", "aware", "that", "the", "Companys", "prior", "auditing", "firm", "has", "indicated", "that", "it", "will", "not", "provide", "a", "consent", "to", "use", "the", "Companys", "audited", "financial", "statements", "for", "the", "fiscal", "year", "2014", "unless", "certain", "conditions", "are", "met", ",", "which", "could", "affect", "the", "Companys", "ability", "to", "timely", "file", "certain", "reports", "required", "under", "the", "Exchange", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "12816", "text": "THE SECURITIES OFFERED HEREBY HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT, OR ANY STATE SECURITIES LAWS AND ARE BEING OFFERED AND SOLD IN RELIANCE ON EXEMPTIONS FROM THE REGISTRATION REQUIREMENTS OF SAID ACT AND SUCH LAWS. THE SECURITIES ARE SUBJECT TO RESTRICTIONS ON TRANSFERABILITY AND RESALE AND MAY NOT BE TRANSFERRED OR RESOLD EXCEPT AS PERMITTED UNDER SAID ACT AND SUCH LAWS PURSUANT TO REGISTRATION OR EXEMPTION THEREFROM. THE SECURITIES HAVE NOT BEEN RECOMMENDED, APPROVED OR DISAPPROVED BY THE SECURITIES AND EXCHANGE COMMISSION, ANY STATE SECURITIES COMMISSION OR ANY OTHER REGULATORY AUTHORITY, NOR HAVE ANY OF THE FOREGOING AUTHORITIES PASSED UPON OR ENDORSED THE MERITS OF THIS OFFERING OR THE ACCURACY OR ADEQUACY OF THE MEMORANDUM OR THIS SECURITIES PURCHASE AGREEMENT . ANY REPRESENTATION TO THE CONTRARY IS UNLAWFUL", "ner": [[10, 11, "Act"], [15, 17, "Regulation"], [125, 127, "Title"]], "tokenized_text": ["THE", "SECURITIES", "OFFERED", "HEREBY", "HAVE", "NOT", "BEEN", "REGISTERED", "UNDER", "THE", "SECURITIES", "ACT", ",", "OR", "ANY", "STATE", "SECURITIES", "LAWS", "AND", "ARE", "BEING", "OFFERED", "AND", "SOLD", "IN", "RELIANCE", "ON", "EXEMPTIONS", "FROM", "THE", "REGISTRATION", "REQUIREMENTS", "OF", "SAID", "ACT", "AND", "SUCH", "LAWS", ".", "THE", "SECURITIES", "ARE", "SUBJECT", "TO", "RESTRICTIONS", "ON", "TRANSFERABILITY", "AND", "RESALE", "AND", "MAY", "NOT", "BE", "TRANSFERRED", "OR", "RESOLD", "EXCEPT", "AS", "PERMITTED", "UNDER", "SAID", "ACT", "AND", "SUCH", "LAWS", "PURSUANT", "TO", "REGISTRATION", "OR", "EXEMPTION", "THEREFROM", ".", "THE", "SECURITIES", "HAVE", "NOT", "BEEN", "RECOMMENDED", ",", "APPROVED", "OR", "DISAPPROVED", "BY", "THE", "SECURITIES", "AND", "EXCHANGE", "COMMISSION", ",", "ANY", "STATE", "SECURITIES", "COMMISSION", "OR", "ANY", "OTHER", "REGULATORY", "AUTHORITY", ",", "NOR", "HAVE", "ANY", "OF", "THE", "FOREGOING", "AUTHORITIES", "PASSED", "UPON", "OR", "ENDORSED", "THE", "MERITS", "OF", "THIS", "OFFERING", "OR", "THE", "ACCURACY", "OR", "ADEQUACY", "OF", "THE", "MEMORANDUM", "OR", "THIS", "SECURITIES", "PURCHASE", "AGREEMENT", ".", "ANY", "REPRESENTATION", "TO", "THE", "CONTRARY", "IS", "UNLAWFUL"]}
{"id": "12817", "text": "(c) Certificates evidencing the shares of Securities shall be eligible for removal of the restrictive legend, (a) following any sale of such shares of Securities pursuant to Rule 144, or (b) if such Securities are eligible for sale under Rule 144, without the requirement for the Company to be in compliance with the current public information required under Rule 144 as to such Securities and without volume or manner-of-sale restrictions, (c) following any sale of such shares of Securities, pursuant to the plan of distribution in an effective registration statement (in compliance with any prospectus delivery requirements), or (d) if such legend is not required under applicable requirements of the Securities Act ( including judicial interpretations and pronouncements issued by the staff of the Commission) (the Removal Date). The Company shall cause its counsel to issue a legal opinion to its transfer agent promptly after the Removal Date if required by the transfer agent to effect the removal of the legend hereunder as permitted by applicable law then in effect. The Company agrees that following the Removal Date, it will, no later than five (5) trading days following the delivery by a Purchaser to the Company or the transfer agent of a certificate representing the Securities, as the case may be, issued with a restrictive legend, together with any reasonable certifications requested by the Company, the Companys counsel or the transfer agent (such fifth (5th) trading day, the Legend Removal Date), deliver or cause to be delivered to such Purchaser a certificate representing such shares that is free from all restrictive and other legends. The Company may not make any notation on its records or give instructions to the transfer agent that enlarge the restrictions on transfer set forth herein. Certificates for Securities subject to legend removal hereunder shall be transmitted by the transfer agent to the Purchaser by crediting the account of the Purchasers prime broker with the Depository Trust Company System as directed by such Purchaser if the transfer agent is then a participant in such system and the Company is eligible to use such system and as directed by such Purchaser if either (i) there is an effective registration statement permitting the resale of such Securities by the Purchaser (and the Purchaser provides the Company or the Companys counsel with any requested certifications with respect to future sales of such shares) or (ii) the shares are eligible for resale by the Purchaser under Rule 144, without the requirement for the Company to be in compliance with the current public information required under Rule 144 as to such Securities and without volume or manner-of-sale restrictions.", "ner": [[32, 33, "Regulation"], [128, 129, "Act"]], "tokenized_text": ["(", "c", ")", "Certificates", "evidencing", "the", "shares", "of", "Securities", "shall", "be", "eligible", "for", "removal", "of", "the", "restrictive", "legend", ",", "(", "a", ")", "following", "any", "sale", "of", "such", "shares", "of", "Securities", "pursuant", "to", "Rule", "144", ",", "or", "(", "b", ")", "if", "such", "Securities", "are", "eligible", "for", "sale", "under", "Rule", "144", ",", "without", "the", "requirement", "for", "the", "Company", "to", "be", "in", "compliance", "with", "the", "current", "public", "information", "required", "under", "Rule", "144", "as", "to", "such", "Securities", "and", "without", "volume", "or", "manner-of-sale", "restrictions", ",", "(", "c", ")", "following", "any", "sale", "of", "such", "shares", "of", "Securities", ",", "pursuant", "to", "the", "plan", "of", "distribution", "in", "an", "effective", "registration", "statement", "(", "in", "compliance", "with", "any", "prospectus", "delivery", "requirements", ")", ",", "or", "(", "d", ")", "if", "such", "legend", "is", "not", "required", "under", "applicable", "requirements", "of", "the", "Securities", "Act", "(", "including", "judicial", "interpretations", "and", "pronouncements", "issued", "by", "the", "staff", "of", "the", "Commission", ")", "(", "the", "Removal", "Date", ")", ".", "The", "Company", "shall", "cause", "its", "counsel", "to", "issue", "a", "legal", "opinion", "to", "its", "transfer", "agent", "promptly", "after", "the", "Removal", "Date", "if", "required", "by", "the", "transfer", "agent", "to", "effect", "the", "removal", "of", "the", "legend", "hereunder", "as", "permitted", "by", "applicable", "law", "then", "in", "effect", ".", "The", "Company", "agrees", "that", "following", "the", "Removal", "Date", ",", "it", "will", ",", "no", "later", "than", "five", "(", "5", ")", "trading", "days", "following", "the", "delivery", "by", "a", "Purchaser", "to", "the", "Company", "or", "the", "transfer", "agent", "of", "a", "certificate", "representing", "the", "Securities", ",", "as", "the", "case", "may", "be", ",", "issued", "with", "a", "restrictive", "legend", ",", "together", "with", "any", "reasonable", "certifications", "requested", "by", "the", "Company", ",", "the", "Companys", "counsel", "or", "the", "transfer", "agent", "(", "such", "fifth", "(", "5th", ")", "trading", "day", ",", "the", "Legend", "Removal", "Date", ")", ",", "deliver", "or", "cause", "to", "be", "delivered", "to", "such", "Purchaser", "a", "certificate", "representing", "such", "shares", "that", "is", "free", "from", "all", "restrictive", "and", "other", "legends", ".", "The", "Company", "may", "not", "make", "any", "notation", "on", "its", "records", "or", "give", "instructions", "to", "the", "transfer", "agent", "that", "enlarge", "the", "restrictions", "on", "transfer", "set", "forth", "herein", ".", "Certificates", "for", "Securities", "subject", "to", "legend", "removal", "hereunder", "shall", "be", "transmitted", "by", "the", "transfer", "agent", "to", "the", "Purchaser", "by", "crediting", "the", "account", "of", "the", "Purchasers", "prime", "broker", "with", "the", "Depository", "Trust", "Company", "System", "as", "directed", "by", "such", "Purchaser", "if", "the", "transfer", "agent", "is", "then", "a", "participant", "in", "such", "system", "and", "the", "Company", "is", "eligible", "to", "use", "such", "system", "and", "as", "directed", "by", "such", "Purchaser", "if", "either", "(", "i", ")", "there", "is", "an", "effective", "registration", "statement", "permitting", "the", "resale", "of", "such", "Securities", "by", "the", "Purchaser", "(", "and", "the", "Purchaser", "provides", "the", "Company", "or", "the", "Companys", "counsel", "with", "any", "requested", "certifications", "with", "respect", "to", "future", "sales", "of", "such", "shares", ")", "or", "(", "ii", ")", "the", "shares", "are", "eligible", "for", "resale", "by", "the", "Purchaser", "under", "Rule", "144", ",", "without", "the", "requirement", "for", "the", "Company", "to", "be", "in", "compliance", "with", "the", "current", "public", "information", "required", "under", "Rule", "144", "as", "to", "such", "Securities", "and", "without", "volume", "or", "manner-of-sale", "restrictions", "."]}
{"id": "12821", "text": "This Stock Purchase Agreement (this Agreement) is dated as of January 17, 2017 , by and among Riverview Financial Corporation , a Pennsylvania corporation (the Company), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a Purchaser and collectively, the Purchasers).", "ner": [[1, 3, "Title"], [12, 15, "EffectiveDate"], [20, 22, "Parties"]], "tokenized_text": ["This", "Stock", "Purchase", "Agreement", "(", "this", "Agreement", ")", "is", "dated", "as", "of", "January", "17", ",", "2017", ",", "by", "and", "among", "Riverview", "Financial", "Corporation", ",", "a", "Pennsylvania", "corporation", "(", "the", "Company", ")", ",", "and", "each", "purchaser", "identified", "on", "the", "signature", "pages", "hereto", "(", "each", ",", "including", "its", "successors", "and", "assigns", ",", "a", "Purchaser", "and", "collectively", ",", "the", "Purchasers", ")", "."]}
{"id": "12822", "text": "A. The Company and each Purchaser are executing and delivering this Agreement in reliance upon the exemption from securities registration afforded by Section 4(a)(2) of the Securities Act of 1933 ( the Securities Act ) and Rule 506 of Regulation D (Regulation D) as promulgated by the United States Securities and Exchange Commission (the Commission) under the Securities Act .&lt; br/&gt;", "ner": [[3, 3, "Parties"], [33, 36, "Act"], [43, 44, "Regulation"], [46, 47, "Regulation"]], "tokenized_text": ["A", ".", "The", "Company", "and", "each", "Purchaser", "are", "executing", "and", "delivering", "this", "Agreement", "in", "reliance", "upon", "the", "exemption", "from", "securities", "registration", "afforded", "by", "Section", "4", "(", "a", ")", "(", "2", ")", "of", "the", "Securities", "Act", "of", "1933", "(", "the", "Securities", "Act", ")", "and", "Rule", "506", "of", "Regulation", "D", "(", "Regulation", "D", ")", "as", "promulgated", "by", "the", "United", "States", "Securities", "and", "Exchange", "Commission", "(", "the", "Commission", ")", "under", "the", "Securities", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "12824", "text": "Business Day means a day, other than a Saturday or Sunday, on which banks in the Commonwealth of Pennsylvania are open for the general transaction of business.", "ner": [[18, 20, "Court"]], "tokenized_text": ["Business", "Day", "means", "a", "day", ",", "other", "than", "a", "Saturday", "or", "Sunday", ",", "on", "which", "banks", "in", "the", "Commonwealth", "of", "Pennsylvania", "are", "open", "for", "the", "general", "transaction", "of", "business", "."]}
{"id": "12826", "text": "Control (including the terms controlling, controlled by or under common control with) means the possession, direct or indirect, of the power to direct or cause the direction of the management and policies of a Person, whether through the ownership of voting securities, by contract, or otherwise for purposes of the BHCA or the CIBC Act. &lt; br/&gt;", "ner": [[58, 58, "Act"], [61, 62, "Act"]], "tokenized_text": ["Control", "(", "including", "the", "terms", "controlling", ",", "controlled", "by", "or", "under", "common", "control", "with", ")", "means", "the", "possession", ",", "direct", "or", "indirect", ",", "of", "the", "power", "to", "direct", "or", "cause", "the", "direction", "of", "the", "management", "and", "policies", "of", "a", "Person", ",", "whether", "through", "the", "ownership", "of", "voting", "securities", ",", "by", "contract", ",", "or", "otherwise", "for", "purposes", "of", "the", "BHCA", "or", "the", "CIBC", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "12829", "text": "Rule 144 means Rule 144 promulgated by the Commission pursuant to the Securities Act , as such Rule may be amended from time to time, or any similar rule or regulation hereafter adopted by the Commission having substantially the same effect as such Rule 144.", "ner": [[0, 1, "Regulation"], [12, 13, "Act"]], "tokenized_text": ["Rule", "144", "means", "Rule", "144", "promulgated", "by", "the", "Commission", "pursuant", "to", "the", "Securities", "Act", ",", "as", "such", "Rule", "may", "be", "amended", "from", "time", "to", "time", ",", "or", "any", "similar", "rule", "or", "regulation", "hereafter", "adopted", "by", "the", "Commission", "having", "substantially", "the", "same", "effect", "as", "such", "Rule", "144", "."]}
{"id": "12830", "text": "Trading Day means (i)a day on which the Common Stock is listed or quoted and traded on its Principal Trading Market , or (ii)if the Common Stock is not quoted on any Trading Market, a day on which the Common Stock is quoted in the over-the-counter market in the pink sheets as reported by OTC Markets Group, Inc.; provided, that in the event that the Common Stock is not listed or quoted as set forth in (i)and (ii) hereof, then Trading Day shall mean a Business Day.", "ner": [], "tokenized_text": ["Trading", "Day", "means", "(", "i", ")", "a", "day", "on", "which", "the", "Common", "Stock", "is", "listed", "or", "quoted", "and", "traded", "on", "its", "Principal", "Trading", "Market", ",", "or", "(", "ii", ")", "if", "the", "Common", "Stock", "is", "not", "quoted", "on", "any", "Trading", "Market", ",", "a", "day", "on", "which", "the", "Common", "Stock", "is", "quoted", "in", "the", "over-the-counter", "market", "in", "the", "pink", "sheets", "as", "reported", "by", "OTC", "Markets", "Group", ",", "Inc", ".", ";", "provided", ",", "that", "in", "the", "event", "that", "the", "Common", "Stock", "is", "not", "listed", "or", "quoted", "as", "set", "forth", "in", "(", "i", ")", "and", "(", "ii", ")", "hereof", ",", "then", "Trading", "Day", "shall", "mean", "a", "Business", "Day", "."]}
{"id": "12831", "text": "Transfer Agent means American Stock Transfer&amp; Trust Company , LLC or any successor transfer agent for the Company.", "ner": [], "tokenized_text": ["Transfer", "Agent", "means", "American", "Stock", "Transfer", "&", "amp", ";", "Trust", "Company", ",", "LLC", "or", "any", "successor", "transfer", "agent", "for", "the", "Company", "."]}
{"id": "12834", "text": "no outstanding options, warrants, scrip, rights to subscribe to, calls, or commitments of any character whatsoever relating to, or securities or rights convertible into, or exercisable or exchangeable for, any shares of capital stock of the Company, or contracts, commitments, understandings or arrangements by which the Company is or may become bound to issue additional shares of capital stock of the Company or options, warrants, scrip, rights to subscribe to, calls, or commitments of any character whatsoever relating to, or securities or rights convertible into, or exercisable or exchangeable for, any shares of capital stock of the Company, other than those issued or granted pursuant to compensatory plans, contracts or arrangements described in the SEC Reports; except as set forth in Schedule 3.1(g), there are no material outstanding debt securities, notes, credit agreements, credit facilities or other agreements, documents or instruments evidencing indebtedness of the Company or by which the Company is bound. Except for the Registration Rights Agreement, if applicable, there are no agreements or arrangements under which the Company is obligated to register the sale of any of its securities under the Securities Act . There are no outstanding securities or instruments of the Company that contain any redemption or similar provisions, and there are no contracts, commitments, understandings or arrangements by which the Company is or may become bound to redeem a security of the Company or any of its Subsidiaries. The Company does not have any stock appreciation rights or phantom stock plans or agreements or any similar plan or agreement. Neither the Company nor any of its Subsidiaries has any liabilities or obligations required to be disclosed in the SEC Reports but not so disclosed in the SEC Reports, which, individually or in the aggregate, will have or would reasonably be expected to have a Material Adverse Effect. There are no securities or instruments issued by or to which the Company is a party containing anti-dilution or similar provisions that will be triggered by the issuance of the Shares pursuant to this Agreement and the other Transaction Documents.", "ner": [[219, 220, "Act"]], "tokenized_text": ["no", "outstanding", "options", ",", "warrants", ",", "scrip", ",", "rights", "to", "subscribe", "to", ",", "calls", ",", "or", "commitments", "of", "any", "character", "whatsoever", "relating", "to", ",", "or", "securities", "or", "rights", "convertible", "into", ",", "or", "exercisable", "or", "exchangeable", "for", ",", "any", "shares", "of", "capital", "stock", "of", "the", "Company", ",", "or", "contracts", ",", "commitments", ",", "understandings", "or", "arrangements", "by", "which", "the", "Company", "is", "or", "may", "become", "bound", "to", "issue", "additional", "shares", "of", "capital", "stock", "of", "the", "Company", "or", "options", ",", "warrants", ",", "scrip", ",", "rights", "to", "subscribe", "to", ",", "calls", ",", "or", "commitments", "of", "any", "character", "whatsoever", "relating", "to", ",", "or", "securities", "or", "rights", "convertible", "into", ",", "or", "exercisable", "or", "exchangeable", "for", ",", "any", "shares", "of", "capital", "stock", "of", "the", "Company", ",", "other", "than", "those", "issued", "or", "granted", "pursuant", "to", "compensatory", "plans", ",", "contracts", "or", "arrangements", "described", "in", "the", "SEC", "Reports", ";", "except", "as", "set", "forth", "in", "Schedule", "3", ".", "1", "(", "g", ")", ",", "there", "are", "no", "material", "outstanding", "debt", "securities", ",", "notes", ",", "credit", "agreements", ",", "credit", "facilities", "or", "other", "agreements", ",", "documents", "or", "instruments", "evidencing", "indebtedness", "of", "the", "Company", "or", "by", "which", "the", "Company", "is", "bound", ".", "Except", "for", "the", "Registration", "Rights", "Agreement", ",", "if", "applicable", ",", "there", "are", "no", "agreements", "or", "arrangements", "under", "which", "the", "Company", "is", "obligated", "to", "register", "the", "sale", "of", "any", "of", "its", "securities", "under", "the", "Securities", "Act", ".", "There", "are", "no", "outstanding", "securities", "or", "instruments", "of", "the", "Company", "that", "contain", "any", "redemption", "or", "similar", "provisions", ",", "and", "there", "are", "no", "contracts", ",", "commitments", ",", "understandings", "or", "arrangements", "by", "which", "the", "Company", "is", "or", "may", "become", "bound", "to", "redeem", "a", "security", "of", "the", "Company", "or", "any", "of", "its", "Subsidiaries", ".", "The", "Company", "does", "not", "have", "any", "stock", "appreciation", "rights", "or", "phantom", "stock", "plans", "or", "agreements", "or", "any", "similar", "plan", "or", "agreement", ".", "Neither", "the", "Company", "nor", "any", "of", "its", "Subsidiaries", "has", "any", "liabilities", "or", "obligations", "required", "to", "be", "disclosed", "in", "the", "SEC", "Reports", "but", "not", "so", "disclosed", "in", "the", "SEC", "Reports", ",", "which", ",", "individually", "or", "in", "the", "aggregate", ",", "will", "have", "or", "would", "reasonably", "be", "expected", "to", "have", "a", "Material", "Adverse", "Effect", ".", "There", "are", "no", "securities", "or", "instruments", "issued", "by", "or", "to", "which", "the", "Company", "is", "a", "party", "containing", "anti-dilution", "or", "similar", "provisions", "that", "will", "be", "triggered", "by", "the", "issuance", "of", "the", "Shares", "pursuant", "to", "this", "Agreement", "and", "the", "other", "Transaction", "Documents", "."]}
{"id": "12836", "text": "(m) Litigation. There is no Action pending or, to the Companys Knowledge, threatened, which (i)adversely affects or challenges the legality, validity, or enforceability of any of the Transaction Documents, the issuance of Shares pursuant to this Agreement and the other Transaction Documents, or the conversion of the Shares of Series A Preferred Stock into the applicable Underlying Shares, or (ii)except as disclosed in the SEC Reports, is reasonably likely to be material to the Company or any Subsidiary, individually or in the aggregate, if there were an unfavorable decision. Except as disclosed in the SEC Reports, neither the Company nor any Subsidiary, nor to the Companys Knowledge any director or officer thereof in their capacity as a director or officer of the Company or any Subsidiary, is or has been the subject of any Action involving a claim of violation of or liability under federal or state securities laws or a claim of breach of fiduciary duty relating to the Company or any Subsidiary, nor is any such Action, to the Companys Knowledge, currently threatened. There is no Action by the Company or any Subsidiary pending or which the Company or any Subsidiary intends to initiate (other than collection or similar claims in the ordinary course of business). Except as disclosed in the SEC Reports, there has not been, and to the Companys Knowledge there is not pending or threatened, any investigation by the Commission involving the Company or any current or former director or officer of the Company. The Commission has not issued any stop order or other order suspending the effectiveness of any registration statement filed by the Company or any of its Subsidiaries under the Exchange Act or the Securities Act . There are no outstanding orders, judgments, injunctions, awards or decrees of any court, arbitrator or governmental or regulatory body against the Company or any executive officers or directors of the Company in their capacities as such, which individually or in the aggregate, would reasonably be expected to be material to the Company or any Subsidiary.", "ner": [[313, 314, "Act"], [317, 318, "Act"]], "tokenized_text": ["(", "m", ")", "Litigation", ".", "There", "is", "no", "Action", "pending", "or", ",", "to", "the", "Companys", "Knowledge", ",", "threatened", ",", "which", "(", "i", ")", "adversely", "affects", "or", "challenges", "the", "legality", ",", "validity", ",", "or", "enforceability", "of", "any", "of", "the", "Transaction", "Documents", ",", "the", "issuance", "of", "Shares", "pursuant", "to", "this", "Agreement", "and", "the", "other", "Transaction", "Documents", ",", "or", "the", "conversion", "of", "the", "Shares", "of", "Series", "A", "Preferred", "Stock", "into", "the", "applicable", "Underlying", "Shares", ",", "or", "(", "ii", ")", "except", "as", "disclosed", "in", "the", "SEC", "Reports", ",", "is", "reasonably", "likely", "to", "be", "material", "to", "the", "Company", "or", "any", "Subsidiary", ",", "individually", "or", "in", "the", "aggregate", ",", "if", "there", "were", "an", "unfavorable", "decision", ".", "Except", "as", "disclosed", "in", "the", "SEC", "Reports", ",", "neither", "the", "Company", "nor", "any", "Subsidiary", ",", "nor", "to", "the", "Companys", "Knowledge", "any", "director", "or", "officer", "thereof", "in", "their", "capacity", "as", "a", "director", "or", "officer", "of", "the", "Company", "or", "any", "Subsidiary", ",", "is", "or", "has", "been", "the", "subject", "of", "any", "Action", "involving", "a", "claim", "of", "violation", "of", "or", "liability", "under", "federal", "or", "state", "securities", "laws", "or", "a", "claim", "of", "breach", "of", "fiduciary", "duty", "relating", "to", "the", "Company", "or", "any", "Subsidiary", ",", "nor", "is", "any", "such", "Action", ",", "to", "the", "Companys", "Knowledge", ",", "currently", "threatened", ".", "There", "is", "no", "Action", "by", "the", "Company", "or", "any", "Subsidiary", "pending", "or", "which", "the", "Company", "or", "any", "Subsidiary", "intends", "to", "initiate", "(", "other", "than", "collection", "or", "similar", "claims", "in", "the", "ordinary", "course", "of", "business", ")", ".", "Except", "as", "disclosed", "in", "the", "SEC", "Reports", ",", "there", "has", "not", "been", ",", "and", "to", "the", "Companys", "Knowledge", "there", "is", "not", "pending", "or", "threatened", ",", "any", "investigation", "by", "the", "Commission", "involving", "the", "Company", "or", "any", "current", "or", "former", "director", "or", "officer", "of", "the", "Company", ".", "The", "Commission", "has", "not", "issued", "any", "stop", "order", "or", "other", "order", "suspending", "the", "effectiveness", "of", "any", "registration", "statement", "filed", "by", "the", "Company", "or", "any", "of", "its", "Subsidiaries", "under", "the", "Exchange", "Act", "or", "the", "Securities", "Act", ".", "There", "are", "no", "outstanding", "orders", ",", "judgments", ",", "injunctions", ",", "awards", "or", "decrees", "of", "any", "court", ",", "arbitrator", "or", "governmental", "or", "regulatory", "body", "against", "the", "Company", "or", "any", "executive", "officers", "or", "directors", "of", "the", "Company", "in", "their", "capacities", "as", "such", ",", "which", "individually", "or", "in", "the", "aggregate", ",", "would", "reasonably", "be", "expected", "to", "be", "material", "to", "the", "Company", "or", "any", "Subsidiary", "."]}
{"id": "12840", "text": "(x) Private Placement. Assuming the accuracy of the Purchasers representations and warranties set forth in Section3.2 of this Agreement, the due performance by the Purchasers of the covenants and agreements set forth in this Agreement, compliance by the Purchasers with the offering and transfer restrictions and procedures described in this Agreement, the accuracy of the information disclosed in the Accredited Investor Questionnaires, the accuracy of all information and certifications provided to the Company by those Persons (other than the Company) subject to Rule 506(d) of Regulation D regarding the absence of any disqualifying event or circumstances described in Rule 506(d) concerning such Persons and the receipt of the Required Approvals and the completion of all filings associated therewith, no registration under the Securities Act is required for the offer and sale of the Shares by the Company to the Purchasers under the Transaction Documents. The issuance and sale of the Shares hereunder does not contravene the rules and regulations of the Principal Trading Market.", "ner": [[93, 97, "Regulation"], [140, 141, "Act"]], "tokenized_text": ["(", "x", ")", "Private", "Placement", ".", "Assuming", "the", "accuracy", "of", "the", "Purchasers", "representations", "and", "warranties", "set", "forth", "in", "Section3", ".", "2", "of", "this", "Agreement", ",", "the", "due", "performance", "by", "the", "Purchasers", "of", "the", "covenants", "and", "agreements", "set", "forth", "in", "this", "Agreement", ",", "compliance", "by", "the", "Purchasers", "with", "the", "offering", "and", "transfer", "restrictions", "and", "procedures", "described", "in", "this", "Agreement", ",", "the", "accuracy", "of", "the", "information", "disclosed", "in", "the", "Accredited", "Investor", "Questionnaires", ",", "the", "accuracy", "of", "all", "information", "and", "certifications", "provided", "to", "the", "Company", "by", "those", "Persons", "(", "other", "than", "the", "Company", ")", "subject", "to", "Rule", "506", "(", "d", ")", "of", "Regulation", "D", "regarding", "the", "absence", "of", "any", "disqualifying", "event", "or", "circumstances", "described", "in", "Rule", "506", "(", "d", ")", "concerning", "such", "Persons", "and", "the", "receipt", "of", "the", "Required", "Approvals", "and", "the", "completion", "of", "all", "filings", "associated", "therewith", ",", "no", "registration", "under", "the", "Securities", "Act", "is", "required", "for", "the", "offer", "and", "sale", "of", "the", "Shares", "by", "the", "Company", "to", "the", "Purchasers", "under", "the", "Transaction", "Documents", ".", "The", "issuance", "and", "sale", "of", "the", "Shares", "hereunder", "does", "not", "contravene", "the", "rules", "and", "regulations", "of", "the", "Principal", "Trading", "Market", "."]}
{"id": "12841", "text": "(y) Registration Rights. Other than each of the Purchasers, no Person has any right to cause the Company or any Subsidiary to effect the registration under the Securities Act of any securities of the Company or any Subsidiary other than those securities which are currently registered on an effective registration statement on file with the Commission.", "ner": [[31, 32, "Act"]], "tokenized_text": ["(", "y", ")", "Registration", "Rights", ".", "Other", "than", "each", "of", "the", "Purchasers", ",", "no", "Person", "has", "any", "right", "to", "cause", "the", "Company", "or", "any", "Subsidiary", "to", "effect", "the", "registration", "under", "the", "Securities", "Act", "of", "any", "securities", "of", "the", "Company", "or", "any", "Subsidiary", "other", "than", "those", "securities", "which", "are", "currently", "registered", "on", "an", "effective", "registration", "statement", "on", "file", "with", "the", "Commission", "."]}
{"id": "12843", "text": "(bb) Investment Company. Neither the Company nor any of its Subsidiaries is required to be registered as, and is not an Affiliate of, and immediately following the Closing will not be required to register as, an investment company within the meaning of the Investment Company Act of 1940 .", "ner": [[49, 53, "Act"]], "tokenized_text": ["(", "bb", ")", "Investment", "Company", ".", "Neither", "the", "Company", "nor", "any", "of", "its", "Subsidiaries", "is", "required", "to", "be", "registered", "as", ",", "and", "is", "not", "an", "Affiliate", "of", ",", "and", "immediately", "following", "the", "Closing", "will", "not", "be", "required", "to", "register", "as", ",", "an", "investment", "company", "within", "the", "meaning", "of", "the", "Investment", "Company", "Act", "of", "1940", "."]}
{"id": "12847", "text": "(uu) Shell Company Status. The Company is not, and has never been, an issuer identified in Rule 144(i)(1) of the Securities Act.&lt; br/&gt;", "ner": [[21, 28, "Regulation"], [31, 32, "Act"]], "tokenized_text": ["(", "uu", ")", "Shell", "Company", "Status", ".", "The", "Company", "is", "not", ",", "and", "has", "never", "been", ",", "an", "issuer", "identified", "in", "Rule", "144", "(", "i", ")", "(", "1", ")", "of", "the", "Securities", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "12848", "text": "(vv) No Bad Actor Disqualification. The Company has exercised reasonable care, in accordance with Commission rules and guidance, and has conducted a factual inquiry including the procurement of relevant questionnaires from each Covered Person (as defined below) or other means, the nature and scope of which reflect reasonable care under the relevant facts and circumstances, to determine whether any Covered Person (as defined below) is subject to any of the bad actor disqualifications described in Rule506(d)(1)(i) to (viii)under the Securities Act ( Disqualification Events). To the Companys Knowledge, after conducting such sufficiently diligent factual inquiries, no Covered Person is subject to a Disqualification Event, except for a Disqualification Event covered by Rule 506(d)(2) or (d)(3) under the Securities Act . The Company has complied, to the extent applicable, with any disclosure obligations under Rule 506(e) under the Securities Act . Covered Persons are those persons specified in Rule 506(d)(1) under the Securities Act , including the Company, any predecessor or affiliate of the Company, any director, executive officer, other officer participating in the offering, general partner or managing member of the Company, any beneficial owner of 20% or more of the Companys outstanding voting equity securities, calculated on the basis of voting power, any promoter (as defined in Rule 405 under the Securities Act ) connected with the Company in any capacity at the time of the sale of the Securities, and any person that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with", "ner": [[86, 92, "Regulation"], [102, 103, "Act"], [174, 178, "Regulation"], [191, 198, "Regulation"], [242, 243, "Percentage"], [268, 269, "Regulation"]], "tokenized_text": ["(", "vv", ")", "No", "Bad", "Actor", "Disqualification", ".", "The", "Company", "has", "exercised", "reasonable", "care", ",", "in", "accordance", "with", "Commission", "rules", "and", "guidance", ",", "and", "has", "conducted", "a", "factual", "inquiry", "including", "the", "procurement", "of", "relevant", "questionnaires", "from", "each", "Covered", "Person", "(", "as", "defined", "below", ")", "or", "other", "means", ",", "the", "nature", "and", "scope", "of", "which", "reflect", "reasonable", "care", "under", "the", "relevant", "facts", "and", "circumstances", ",", "to", "determine", "whether", "any", "Covered", "Person", "(", "as", "defined", "below", ")", "is", "subject", "to", "any", "of", "the", "bad", "actor", "disqualifications", "described", "in", "Rule506", "(", "d", ")", "(", "1", ")", "(", "i", ")", "to", "(", "viii", ")", "under", "the", "Securities", "Act", "(", "Disqualification", "Events", ")", ".", "To", "the", "Companys", "Knowledge", ",", "after", "conducting", "such", "sufficiently", "diligent", "factual", "inquiries", ",", "no", "Covered", "Person", "is", "subject", "to", "a", "Disqualification", "Event", ",", "except", "for", "a", "Disqualification", "Event", "covered", "by", "Rule", "506", "(", "d", ")", "(", "2", ")", "or", "(", "d", ")", "(", "3", ")", "under", "the", "Securities", "Act", ".", "The", "Company", "has", "complied", ",", "to", "the", "extent", "applicable", ",", "with", "any", "disclosure", "obligations", "under", "Rule", "506", "(", "e", ")", "under", "the", "Securities", "Act", ".", "Covered", "Persons", "are", "those", "persons", "specified", "in", "Rule", "506", "(", "d", ")", "(", "1", ")", "under", "the", "Securities", "Act", ",", "including", "the", "Company", ",", "any", "predecessor", "or", "affiliate", "of", "the", "Company", ",", "any", "director", ",", "executive", "officer", ",", "other", "officer", "participating", "in", "the", "offering", ",", "general", "partner", "or", "managing", "member", "of", "the", "Company", ",", "any", "beneficial", "owner", "of", "20", "%", "or", "more", "of", "the", "Companys", "outstanding", "voting", "equity", "securities", ",", "calculated", "on", "the", "basis", "of", "voting", "power", ",", "any", "promoter", "(", "as", "defined", "in", "Rule", "405", "under", "the", "Securities", "Act", ")", "connected", "with", "the", "Company", "in", "any", "capacity", "at", "the", "time", "of", "the", "sale", "of", "the", "Securities", ",", "and", "any", "person", "that", "has", "been", "or", "will", "be", "paid", "(", "directly", "or", "indirectly", ")", "remuneration", "for", "solicitation", "of", "purchasers", "in", "connection", "with"]}
{"id": "12851", "text": "(d) Purchaser Status. At the time such Purchaser was offered the Shares, it was, and at the date hereof it is, an accredited investor as defined in Rule 501(a) under the Securities Act . Such Purchaser has provided the information in the Accredited Investor Questionnaire attached hereto as Exhibit A.", "ner": [[33, 37, "Regulation"], [40, 41, "Act"]], "tokenized_text": ["(", "d", ")", "Purchaser", "Status", ".", "At", "the", "time", "such", "Purchaser", "was", "offered", "the", "Shares", ",", "it", "was", ",", "and", "at", "the", "date", "hereof", "it", "is", ",", "an", "accredited", "investor", "as", "defined", "in", "Rule", "501", "(", "a", ")", "under", "the", "Securities", "Act", ".", "Such", "Purchaser", "has", "provided", "the", "information", "in", "the", "Accredited", "Investor", "Questionnaire", "attached", "hereto", "as", "Exhibit", "A", "."]}
{"id": "12853", "text": "(s) Bank Holding Company Status. Purchaser has not or is not acting in concert with any other Person in connection with the transactions contemplated by this Agreement, other than Affiliates of the Purchaser identified by the Purchaser to the Company as Affiliates. Assuming the accuracy of the representations and warranties of the Company contained herein, the Purchaser, either alone or together with any other Person whose Company securities would be aggregated with such Purchasers Company securities for purposes of any banking regulation or law, will not, directly or indirectly, own, control or have the power to vote, immediately after giving effect to its purchase of Shares pursuant to this Agreement, in excess of 4.99% of the outstanding shares of the Companys voting stock of any class or series. Without limiting the foregoing, assuming the accuracy of the representations and warranties of the Company contained herein, the Purchaser represents and warrants that it does not and will not as a result of its purchase or holding of the purchased Shares or any other securities of the Company have control of the Company or the Bank, and has no present intention of acquiring control of the Company or the Bank, for purposes of the BHCA or the CIBC Act. &lt; <sup> br/&gt;", "ner": [[126, 129, "Percentage"], [223, 223, "Act"], [226, 227, "Act"]], "tokenized_text": ["(", "s", ")", "Bank", "Holding", "Company", "Status", ".", "Purchaser", "has", "not", "or", "is", "not", "acting", "in", "concert", "with", "any", "other", "Person", "in", "connection", "with", "the", "transactions", "contemplated", "by", "this", "Agreement", ",", "other", "than", "Affiliates", "of", "the", "Purchaser", "identified", "by", "the", "Purchaser", "to", "the", "Company", "as", "Affiliates", ".", "Assuming", "the", "accuracy", "of", "the", "representations", "and", "warranties", "of", "the", "Company", "contained", "herein", ",", "the", "Purchaser", ",", "either", "alone", "or", "together", "with", "any", "other", "Person", "whose", "Company", "securities", "would", "be", "aggregated", "with", "such", "Purchasers", "Company", "securities", "for", "purposes", "of", "any", "banking", "regulation", "or", "law", ",", "will", "not", ",", "directly", "or", "indirectly", ",", "own", ",", "control", "or", "have", "the", "power", "to", "vote", ",", "immediately", "after", "giving", "effect", "to", "its", "purchase", "of", "Shares", "pursuant", "to", "this", "Agreement", ",", "in", "excess", "of", "4", ".", "99", "%", "of", "the", "outstanding", "shares", "of", "the", "Companys", "voting", "stock", "of", "any", "class", "or", "series", ".", "Without", "limiting", "the", "foregoing", ",", "assuming", "the", "accuracy", "of", "the", "representations", "and", "warranties", "of", "the", "Company", "contained", "herein", ",", "the", "Purchaser", "represents", "and", "warrants", "that", "it", "does", "not", "and", "will", "not", "as", "a", "result", "of", "its", "purchase", "or", "holding", "of", "the", "purchased", "Shares", "or", "any", "other", "securities", "of", "the", "Company", "have", "control", "of", "the", "Company", "or", "the", "Bank", ",", "and", "has", "no", "present", "intention", "of", "acquiring", "control", "of", "the", "Company", "or", "the", "Bank", ",", "for", "purposes", "of", "the", "BHCA", "or", "the", "CIBC", "Act", ".", "&", "lt", ";", "<", "sup", ">", "br", "/", "&", "gt", ";"]}
{"id": "12855", "text": "THE ISSUANCE OF THESE SECURITIES HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933 (THE SECURITIES ACT) OR APPLICABLE STATE SECURITIES LAWS . THE SECURITIES MAY NOT BE OFFERED FOR SALE, SOLD, TRANSFERRED, OR ASSIGNED (I)IN THE ABSENCE OF (A)AN EFFECTIVE REGISTRATION STATEMENT FOR THE SECURITIES UNDER THE SECURITIES ACT OR (B) AN AVAILABLE EXEMPTION FROM, OR IN A TRANSACTION NOT SUBJECT TO, THE REGISTRATION REQUIREMENTS OF THE SECURITIES ACT AND IN ACCORDANCE WITH APPLICABLE STATE SECURITIES LAWS OR BLUE SKY LAWS AS EVIDENCED BY A LEGAL OPINION OF COUNSEL REASONABLY SATISFACTORY TO THE COMPANY AND ITS TRANSFER AGENT OR (II)UNLESS SOLD PURSUANT TO RULE 144 UNDER THE ACT (PROVIDED THAT THE TRANSFEROR PROVIDES THE COMPANY WITH REASONABLE ASSURANCES (IN THE FORM OF A SELLER REPRESENTATION LETTER AND, IF APPLICABLE, A BROKER REPRESENTATION LETTER) THAT THE SECURITIES MAY BE SOLD PURSUANT TO SUCH RULE). NO REPRESENTATION IS MADE BY THE COMPANY AS TO THE AVAILABILITY OF THE EXEMPTION PROVIDED BY RULE 144 UNDER THE SECURITIES ACT FOR RESALES OF THESE SECURITIES.", "ner": [[11, 14, "Act"], [123, 124, "Regulation"]], "tokenized_text": ["THE", "ISSUANCE", "OF", "THESE", "SECURITIES", "HAS", "NOT", "BEEN", "REGISTERED", "UNDER", "THE", "SECURITIES", "ACT", "OF", "1933", "(", "THE", "SECURITIES", "ACT", ")", "OR", "APPLICABLE", "STATE", "SECURITIES", "LAWS", ".", "THE", "SECURITIES", "MAY", "NOT", "BE", "OFFERED", "FOR", "SALE", ",", "SOLD", ",", "TRANSFERRED", ",", "OR", "ASSIGNED", "(", "I", ")", "IN", "THE", "ABSENCE", "OF", "(", "A", ")", "AN", "EFFECTIVE", "REGISTRATION", "STATEMENT", "FOR", "THE", "SECURITIES", "UNDER", "THE", "SECURITIES", "ACT", "OR", "(", "B", ")", "AN", "AVAILABLE", "EXEMPTION", "FROM", ",", "OR", "IN", "A", "TRANSACTION", "NOT", "SUBJECT", "TO", ",", "THE", "REGISTRATION", "REQUIREMENTS", "OF", "THE", "SECURITIES", "ACT", "AND", "IN", "ACCORDANCE", "WITH", "APPLICABLE", "STATE", "SECURITIES", "LAWS", "OR", "BLUE", "SKY", "LAWS", "AS", "EVIDENCED", "BY", "A", "LEGAL", "OPINION", "OF", "COUNSEL", "REASONABLY", "SATISFACTORY", "TO", "THE", "COMPANY", "AND", "ITS", "TRANSFER", "AGENT", "OR", "(", "II", ")", "UNLESS", "SOLD", "PURSUANT", "TO", "RULE", "144", "UNDER", "THE", "ACT", "(", "PROVIDED", "THAT", "THE", "TRANSFEROR", "PROVIDES", "THE", "COMPANY", "WITH", "REASONABLE", "ASSURANCES", "(", "IN", "THE", "FORM", "OF", "A", "SELLER", "REPRESENTATION", "LETTER", "AND", ",", "IF", "APPLICABLE", ",", "A", "BROKER", "REPRESENTATION", "LETTER", ")", "THAT", "THE", "SECURITIES", "MAY", "BE", "SOLD", "PURSUANT", "TO", "SUCH", "RULE", ")", ".", "NO", "REPRESENTATION", "IS", "MADE", "BY", "THE", "COMPANY", "AS", "TO", "THE", "AVAILABILITY", "OF", "THE", "EXEMPTION", "PROVIDED", "BY", "RULE", "144", "UNDER", "THE", "SECURITIES", "ACT", "FOR", "RESALES", "OF", "THESE", "SECURITIES", "."]}
{"id": "12858", "text": "(d) Purchasers Acknowledgement of Transfer Restrictions. Each Purchaser hereunder acknowledges its primary responsibilities under the Securities Act and, accordingly, will not sell or otherwise transfer the Shares or any interest therein without complying with the requirements of the Securities Act . Except as otherwise provided below, to the extent applicable to the Purchasers Shares, while the above-referenced registration statement remains effective, such Purchaser may sell the Shares in accordance with the plan of distribution contained in the registration statement, if applicable, and if it does so, it will comply therewith and with the related prospectus delivery requirements, unless an exemption therefrom is available. Each Purchaser who is a party to the Registration Rights Agreement agrees that if it is notified by the Company in writing at any time that the registration statement registering the resale of the Shares is not effective or that the prospectus included in such registration statement no longer complies with the requirements of Section10 of the Securities Act , the Purchaser will refrain from selling such Shares until such time as the Purchaser is notified by the Company that such registration statement is effective or such prospectus is compliant with Section10 of the Securities Act , unless such Purchaser is able to, and does, sell such Shares pursuant to an available exemption from the registration requirements of Section5 of the Securities Act , such as under Rule 144 of the Securities Act.&lt; br/&gt;", "ner": [[18, 19, "Act"], [245, 246, "Regulation"]], "tokenized_text": ["(", "d", ")", "Purchasers", "Acknowledgement", "of", "Transfer", "Restrictions", ".", "Each", "Purchaser", "hereunder", "acknowledges", "its", "primary", "responsibilities", "under", "the", "Securities", "Act", "and", ",", "accordingly", ",", "will", "not", "sell", "or", "otherwise", "transfer", "the", "Shares", "or", "any", "interest", "therein", "without", "complying", "with", "the", "requirements", "of", "the", "Securities", "Act", ".", "Except", "as", "otherwise", "provided", "below", ",", "to", "the", "extent", "applicable", "to", "the", "Purchasers", "Shares", ",", "while", "the", "above-referenced", "registration", "statement", "remains", "effective", ",", "such", "Purchaser", "may", "sell", "the", "Shares", "in", "accordance", "with", "the", "plan", "of", "distribution", "contained", "in", "the", "registration", "statement", ",", "if", "applicable", ",", "and", "if", "it", "does", "so", ",", "it", "will", "comply", "therewith", "and", "with", "the", "related", "prospectus", "delivery", "requirements", ",", "unless", "an", "exemption", "therefrom", "is", "available", ".", "Each", "Purchaser", "who", "is", "a", "party", "to", "the", "Registration", "Rights", "Agreement", "agrees", "that", "if", "it", "is", "notified", "by", "the", "Company", "in", "writing", "at", "any", "time", "that", "the", "registration", "statement", "registering", "the", "resale", "of", "the", "Shares", "is", "not", "effective", "or", "that", "the", "prospectus", "included", "in", "such", "registration", "statement", "no", "longer", "complies", "with", "the", "requirements", "of", "Section10", "of", "the", "Securities", "Act", ",", "the", "Purchaser", "will", "refrain", "from", "selling", "such", "Shares", "until", "such", "time", "as", "the", "Purchaser", "is", "notified", "by", "the", "Company", "that", "such", "registration", "statement", "is", "effective", "or", "such", "prospectus", "is", "compliant", "with", "Section10", "of", "the", "Securities", "Act", ",", "unless", "such", "Purchaser", "is", "able", "to", ",", "and", "does", ",", "sell", "such", "Shares", "pursuant", "to", "an", "available", "exemption", "from", "the", "registration", "requirements", "of", "Section5", "of", "the", "Securities", "Act", ",", "such", "as", "under", "Rule", "144", "of", "the", "Securities", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "12864", "text": "4.18 Shareholder Litigation. The Company shall promptly inform the Purchasers of any claim, action, suit, arbitration, mediation, demand, hearing, investigation or proceeding (Shareholder Litigation) against the Company, any Company Subsidiary or any of the past or present executive officers or directors of the Company or any Company Subsidiary that is threatened in writing or initiated by or on behalf of any shareholder of the Company in connection with or relating to the transactions contemplated hereby or by the Transaction Documents. The Company shall consult with the Purchasers and keep the Purchasers informed of all material filings and developments relating to any such Shareholder Litigation.", "ner": [], "tokenized_text": ["4", ".", "18", "Shareholder", "Litigation", ".", "The", "Company", "shall", "promptly", "inform", "the", "Purchasers", "of", "any", "claim", ",", "action", ",", "suit", ",", "arbitration", ",", "mediation", ",", "demand", ",", "hearing", ",", "investigation", "or", "proceeding", "(", "Shareholder", "Litigation", ")", "against", "the", "Company", ",", "any", "Company", "Subsidiary", "or", "any", "of", "the", "past", "or", "present", "executive", "officers", "or", "directors", "of", "the", "Company", "or", "any", "Company", "Subsidiary", "that", "is", "threatened", "in", "writing", "or", "initiated", "by", "or", "on", "behalf", "of", "any", "shareholder", "of", "the", "Company", "in", "connection", "with", "or", "relating", "to", "the", "transactions", "contemplated", "hereby", "or", "by", "the", "Transaction", "Documents", ".", "The", "Company", "shall", "consult", "with", "the", "Purchasers", "and", "keep", "the", "Purchasers", "informed", "of", "all", "material", "filings", "and", "developments", "relating", "to", "any", "such", "Shareholder", "Litigation", "."]}
{"id": "12868", "text": "(q) Well-Capitalized Status. After the Closing and the consummation of the transactions contemplated by this Agreement , (A) the Banks capital levels shall exceed the specific quantitative capital requirements necessary to be deemed well capitalized as defined in 12 C.F.R. 325 .103(b)(1); (B) the Companys capital levels shall exceed the specific quantitative capital requirements necessary to be deemed well capitalized as defined in 12 C.F.R. 225 .2(r); (C) the Company and the Bank shall meet or exceed all specific quantitative capital requirements stated in any written agreement, order, understanding or undertaking with the Federal Reserve or the Pennsylvania Department of Banking and Securities, as applicable.", "ner": [[43, 52, "Regulation"], [83, 92, "Regulation"]], "tokenized_text": ["(", "q", ")", "Well-Capitalized", "Status", ".", "After", "the", "Closing", "and", "the", "consummation", "of", "the", "transactions", "contemplated", "by", "this", "Agreement", ",", "(", "A", ")", "the", "Banks", "capital", "levels", "shall", "exceed", "the", "specific", "quantitative", "capital", "requirements", "necessary", "to", "be", "deemed", "well", "capitalized", "as", "defined", "in", "12", "C", ".", "F", ".", "R", ".", "325", ".", "103", "(", "b", ")", "(", "1", ")", ";", "(", "B", ")", "the", "Companys", "capital", "levels", "shall", "exceed", "the", "specific", "quantitative", "capital", "requirements", "necessary", "to", "be", "deemed", "well", "capitalized", "as", "defined", "in", "12", "C", ".", "F", ".", "R", ".", "225", ".", "2", "(", "r", ")", ";", "(", "C", ")", "the", "Company", "and", "the", "Bank", "shall", "meet", "or", "exceed", "all", "specific", "quantitative", "capital", "requirements", "stated", "in", "any", "written", "agreement", ",", "order", ",", "understanding", "or", "undertaking", "with", "the", "Federal", "Reserve", "or", "the", "Pennsylvania", "Department", "of", "Banking", "and", "Securities", ",", "as", "applicable", "."]}
{"id": "12869", "text": "(e) Purchaser Deliverables. Each Purchaser shall have delivered its Purchaser Deliverables in accordance with Section2.2(b).", "ner": [], "tokenized_text": ["(", "e", ")", "Purchaser", "Deliverables", ".", "Each", "Purchaser", "shall", "have", "delivered", "its", "Purchaser", "Deliverables", "in", "accordance", "with", "Section2", ".", "2", "(", "b", ")", "."]}
{"id": "12870", "text": "6.8 Governing Law. All questions concerning the construction, validity, enforcement and interpretation of this Agreement shall be governed by and construed and enforced in accordance with the internal laws of the Commonwealth of Pennsylvania , without regard to the principles of conflicts of law thereof. Each party agrees that all Proceedings concerning the interpretations, enforcement and defense of the transactions contemplated by this Agreement and any other Transaction Documents (whether brought against a party hereto or its respective Affiliates, employees or agents) may be commenced on a non-exclusive basis in the Pennsylvania Courts. Each party hereto hereby irrevocably submits to the non-exclusive jurisdiction of the Pennsylvania Courts for the adjudication of any dispute hereunder or in connection herewith or with any transaction contemplated hereby or discussed herein (including with respect to the enforcement of any of the Transaction Documents), and hereby irrevocably waives, and agrees not to assert in any Proceeding, any claim that it is not personally subject to the jurisdiction of any such Pennsylvania Court, or that such Proceeding has been commenced in an improper or inconvenient forum. Each party hereto hereby irrevocably waives personal service of process and consents to process being served in any such Proceeding by mailing a copy thereof via registered or certified mail or overnight delivery (with evidence of delivery) to such party at the address in effect for notices to it under this Agreement and agrees that such service shall constitute good and sufficient service of process and notice thereof. Nothing contained herein shall be deemed to limit in any way any right to serve process in any manner permitted by law. EACH PARTY HERETO HEREBY IRREVOCABLY WAIVES, TO THE FULLEST EXTENT PERMITTED BY APPLICABLE LAW, ANY AND ALL RIGHT TO TRIAL BY JURY IN ANY LEGAL PROCEEDING ARISING OUT OF OR RELATING TO THIS AGREEMENT OR THE TRANSACTIONS CONTEMPLATED HEREBY.", "ner": [[36, 38, "Court"], [101, 102, "Court"]], "tokenized_text": ["6", ".", "8", "Governing", "Law", ".", "All", "questions", "concerning", "the", "construction", ",", "validity", ",", "enforcement", "and", "interpretation", "of", "this", "Agreement", "shall", "be", "governed", "by", "and", "construed", "and", "enforced", "in", "accordance", "with", "the", "internal", "laws", "of", "the", "Commonwealth", "of", "Pennsylvania", ",", "without", "regard", "to", "the", "principles", "of", "conflicts", "of", "law", "thereof", ".", "Each", "party", "agrees", "that", "all", "Proceedings", "concerning", "the", "interpretations", ",", "enforcement", "and", "defense", "of", "the", "transactions", "contemplated", "by", "this", "Agreement", "and", "any", "other", "Transaction", "Documents", "(", "whether", "brought", "against", "a", "party", "hereto", "or", "its", "respective", "Affiliates", ",", "employees", "or", "agents", ")", "may", "be", "commenced", "on", "a", "non-exclusive", "basis", "in", "the", "Pennsylvania", "Courts", ".", "Each", "party", "hereto", "hereby", "irrevocably", "submits", "to", "the", "non-exclusive", "jurisdiction", "of", "the", "Pennsylvania", "Courts", "for", "the", "adjudication", "of", "any", "dispute", "hereunder", "or", "in", "connection", "herewith", "or", "with", "any", "transaction", "contemplated", "hereby", "or", "discussed", "herein", "(", "including", "with", "respect", "to", "the", "enforcement", "of", "any", "of", "the", "Transaction", "Documents", ")", ",", "and", "hereby", "irrevocably", "waives", ",", "and", "agrees", "not", "to", "assert", "in", "any", "Proceeding", ",", "any", "claim", "that", "it", "is", "not", "personally", "subject", "to", "the", "jurisdiction", "of", "any", "such", "Pennsylvania", "Court", ",", "or", "that", "such", "Proceeding", "has", "been", "commenced", "in", "an", "improper", "or", "inconvenient", "forum", ".", "Each", "party", "hereto", "hereby", "irrevocably", "waives", "personal", "service", "of", "process", "and", "consents", "to", "process", "being", "served", "in", "any", "such", "Proceeding", "by", "mailing", "a", "copy", "thereof", "via", "registered", "or", "certified", "mail", "or", "overnight", "delivery", "(", "with", "evidence", "of", "delivery", ")", "to", "such", "party", "at", "the", "address", "in", "effect", "for", "notices", "to", "it", "under", "this", "Agreement", "and", "agrees", "that", "such", "service", "shall", "constitute", "good", "and", "sufficient", "service", "of", "process", "and", "notice", "thereof", ".", "Nothing", "contained", "herein", "shall", "be", "deemed", "to", "limit", "in", "any", "way", "any", "right", "to", "serve", "process", "in", "any", "manner", "permitted", "by", "law", ".", "EACH", "PARTY", "HERETO", "HEREBY", "IRREVOCABLY", "WAIVES", ",", "TO", "THE", "FULLEST", "EXTENT", "PERMITTED", "BY", "APPLICABLE", "LAW", ",", "ANY", "AND", "ALL", "RIGHT", "TO", "TRIAL", "BY", "JURY", "IN", "ANY", "LEGAL", "PROCEEDING", "ARISING", "OUT", "OF", "OR", "RELATING", "TO", "THIS", "AGREEMENT", "OR", "THE", "TRANSACTIONS", "CONTEMPLATED", "HEREBY", "."]}
{"id": "12873", "text": "| | A broker or dealer registered pursuant to Section 15 of the Securities Exchange Act of 1934 ; |", "ner": [[9, 10, "Regulation"], [13, 17, "Act"]], "tokenized_text": ["|", "|", "A", "broker", "or", "dealer", "registered", "pursuant", "to", "Section", "15", "of", "the", "Securities", "Exchange", "Act", "of", "1934", ";", "|"]}
{"id": "12875", "text": "| | A Small Business Investment Company licensed by the U.S. Small Business Administration under Section 301(c) or (d) of the Small Business Investment Act of 1958 ; |", "ner": [[29, 34, "Act"]], "tokenized_text": ["|", "|", "A", "Small", "Business", "Investment", "Company", "licensed", "by", "the", "U", ".", "S", ".", "Small", "Business", "Administration", "under", "Section", "301", "(", "c", ")", "or", "(", "d", ")", "of", "the", "Small", "Business", "Investment", "Act", "of", "1958", ";", "|"]}
{"id": "12877", "text": "| | A private business development company as defined in Section 202(a)(22) of the Investment Advisers Act of 1940 ; |", "ner": [[20, 24, "Act"]], "tokenized_text": ["|", "|", "A", "private", "business", "development", "company", "as", "defined", "in", "Section", "202", "(", "a", ")", "(", "22", ")", "of", "the", "Investment", "Advisers", "Act", "of", "1940", ";", "|"]}
{"id": "12878", "text": "Direct Dial Number: 717-399-1506", "ner": [[4, 4, "PII_Ref"]], "tokenized_text": ["Direct", "Dial", "Number", ":", "717-399-1506"]}
{"id": "12879", "text": "We have acted as counsel to Riverview Financial Corporation, a Pennsylvania corporation (Riverview or the Company), in connection with the offering, sale and issuance by Riverview (the Offering) of up to269,885 shares of its no par value common stock (the Common Stock) and up to 1,348,809 shares of its no par value Series A convertible perpetual preferred stock (the Preferred Stock) pursuant to Rule 506 of Regulation D, promulgated under the Securities Act of 1933 , as amended. This opinion letter is provided pursuant to Section 2.2(a)(iii) of the Stock Purchase Agreement of even date (the Stock Purchase Agreement) between Riverview and the Purchasers of the Common and Preferred Stock in the Offering (collectively, the Purchasers); Ambassador Financial Group, Inc. is acting as placement agent in connection with the Offering. Capitalized terms used herein which are not otherwise defined shall have the meanings ascribed to such terms in the Stock Purchase Agreement.", "ner": [[6, 8, "Parties"], [56, 60, "Shares"], [89, 92, "Act"], [104, 113, "Regulation"], [116, 118, "Shares"]], "tokenized_text": ["We", "have", "acted", "as", "counsel", "to", "Riverview", "Financial", "Corporation", ",", "a", "Pennsylvania", "corporation", "(", "Riverview", "or", "the", "Company", ")", ",", "in", "connection", "with", "the", "offering", ",", "sale", "and", "issuance", "by", "Riverview", "(", "the", "Offering", ")", "of", "up", "to269", ",", "885", "shares", "of", "its", "no", "par", "value", "common", "stock", "(", "the", "Common", "Stock", ")", "and", "up", "to", "1", ",", "348", ",", "809", "shares", "of", "its", "no", "par", "value", "Series", "A", "convertible", "perpetual", "preferred", "stock", "(", "the", "Preferred", "Stock", ")", "pursuant", "to", "Rule", "506", "of", "Regulation", "D", ",", "promulgated", "under", "the", "Securities", "Act", "of", "1933", ",", "as", "amended", ".", "This", "opinion", "letter", "is", "provided", "pursuant", "to", "Section", "2", ".", "2", "(", "a", ")", "(", "iii", ")", "of", "the", "Stock", "Purchase", "Agreement", "of", "even", "date", "(", "the", "Stock", "Purchase", "Agreement", ")", "between", "Riverview", "and", "the", "Purchasers", "of", "the", "Common", "and", "Preferred", "Stock", "in", "the", "Offering", "(", "collectively", ",", "the", "Purchasers", ")", ";", "Ambassador", "Financial", "Group", ",", "Inc", ".", "is", "acting", "as", "placement", "agent", "in", "connection", "with", "the", "Offering", ".", "Capitalized", "terms", "used", "herein", "which", "are", "not", "otherwise", "defined", "shall", "have", "the", "meanings", "ascribed", "to", "such", "terms", "in", "the", "Stock", "Purchase", "Agreement", "."]}
{"id": "12882", "text": "1\\. The Company is a registered bank holding company under the Bank Holding Company Act of 1956 , as amended.", "ner": [[13, 18, "Act"]], "tokenized_text": ["1", "\\", ".", "The", "Company", "is", "a", "registered", "bank", "holding", "company", "under", "the", "Bank", "Holding", "Company", "Act", "of", "1956", ",", "as", "amended", "."]}
{"id": "12883", "text": "2\\. The Company is a validly subsisting corporation under the laws of the Commonwealth of Pennsylvania .", "ner": [[15, 17, "Court"]], "tokenized_text": ["2", "\\", ".", "The", "Company", "is", "a", "validly", "subsisting", "corporation", "under", "the", "laws", "of", "the", "Commonwealth", "of", "Pennsylvania", "."]}
{"id": "12884", "text": "8\\. Assuming the accuracy of the representations and warranties, and assuming compliance with the covenants and agreements, of the Purchasers and the Company contained in the Stock Purchase Agreement, it is not necessary, in connection with the offer, sale and delivery of the Shares to the Purchasers, to register the Shares under the Securities Act.&lt; br/&gt;", "ner": [[30, 32, "Title"], [61, 62, "Act"]], "tokenized_text": ["8", "\\", ".", "Assuming", "the", "accuracy", "of", "the", "representations", "and", "warranties", ",", "and", "assuming", "compliance", "with", "the", "covenants", "and", "agreements", ",", "of", "the", "Purchasers", "and", "the", "Company", "contained", "in", "the", "Stock", "Purchase", "Agreement", ",", "it", "is", "not", "necessary", ",", "in", "connection", "with", "the", "offer", ",", "sale", "and", "delivery", "of", "the", "Shares", "to", "the", "Purchasers", ",", "to", "register", "the", "Shares", "under", "the", "Securities", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "12885", "text": "Castle Creek Capital Partners VI, L.P.", "ner": [], "tokenized_text": ["Castle", "Creek", "Capital", "Partners", "VI", ",", "L", ".", "P", "."]}
{"id": "12886", "text": "Rancho Santa Fe, CA 92091", "ner": [[0, 5, "Address"]], "tokenized_text": ["Rancho", "Santa", "Fe", ",", "CA", "92091"]}
{"id": "12888", "text": "| (iii) | to the extent the Corporation or any of its subsidiaries is required by law or pursuant to the terms of any outstanding indebtedness of the Corporation or any subsidiary to prepare such reports, any annual reports, quarterly reports and other periodic reports pursuant to Section13 or 15(d) of the Securities Exchange Act of 1934 or otherwise, actually prepared by the Corporation or any of its subsidiaries as soon as available; ---|---|--- provided that, in each case, if the Corporation makes the information described in clauses (ii)and (iii) of this bullet point available through public filings on the EDGAR system or any successor or replacement system of the U.S. Securities and Exchange Commission, the delivery of the information shall be deemed satisfied by such public filings.", "ner": [[51, 56, "Regulation"], [59, 63, "Act"]], "tokenized_text": ["|", "(", "iii", ")", "|", "to", "the", "extent", "the", "Corporation", "or", "any", "of", "its", "subsidiaries", "is", "required", "by", "law", "or", "pursuant", "to", "the", "terms", "of", "any", "outstanding", "indebtedness", "of", "the", "Corporation", "or", "any", "subsidiary", "to", "prepare", "such", "reports", ",", "any", "annual", "reports", ",", "quarterly", "reports", "and", "other", "periodic", "reports", "pursuant", "to", "Section13", "or", "15", "(", "d", ")", "of", "the", "Securities", "Exchange", "Act", "of", "1934", "or", "otherwise", ",", "actually", "prepared", "by", "the", "Corporation", "or", "any", "of", "its", "subsidiaries", "as", "soon", "as", "available", ";", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "provided", "that", ",", "in", "each", "case", ",", "if", "the", "Corporation", "makes", "the", "information", "described", "in", "clauses", "(", "ii", ")", "and", "(", "iii", ")", "of", "this", "bullet", "point", "available", "through", "public", "filings", "on", "the", "EDGAR", "system", "or", "any", "successor", "or", "replacement", "system", "of", "the", "U", ".", "S", ".", "Securities", "and", "Exchange", "Commission", ",", "the", "delivery", "of", "the", "information", "shall", "be", "deemed", "satisfied", "by", "such", "public", "filings", "."]}
{"id": "12892", "text": "3\\. Limitations. The Company also may exclude the Observer and/or the Board Representative from portions of meetings of the Board of Directors as well as the Bank Board to the extent that the Board of Directors or the Bank Board, as the case may be, will, in any such portion thereof, be discussing any matters related to Castle Creek, the Transaction Documents, or any of Castle Creeks rights or obligations under any of the Transaction Documents or any other matter that the Chairman of the Board of Directors or the Chair man of the Bank Board determines in good faith is or may be adverse to the interests of Castle Creek provided, however, no matter shall be deemed to be adverse to the interests of Castle Creek merely because such matter may adversely impact the price of any of the Companys Securities. Castle Creek covenants and agrees to hold all information obtained from its Observer or Board Representative as provided in the prior sentence in confidence and to comply with all requirements and obligations applicable to members of the Board of Directors under the Securities Act , the Exchange Act, the Sarbanes Oxley Act of 2002 and all other Laws, in each case, only to the extent (if at all) applicable to the Observer or Board Member, as the case may be. If Castle Creek and its Affiliates, in the aggregate, no longer have a Minimum Ownership Interest, Castle Creek will have no further rights under this Section2\\. Each of the parties to this Agreement hereby acknowledges that they are aware, and will ensure that their representatives and Affiliates are aware, that the United States securities laws prohibit any person who has material non-public information about a company from purchasing or selling securities of such company, or from communicating such information to any other person under circumstances in which it is reasonably foreseeable that such person is likely to purchase or sell such securities.", "ner": [[93, 93, "Role"], [198, 199, "Act"], [202, 203, "Act"], [206, 210, "Act"], [301, 304, "Act"]], "tokenized_text": ["3", "\\", ".", "Limitations", ".", "The", "Company", "also", "may", "exclude", "the", "Observer", "and", "/", "or", "the", "Board", "Representative", "from", "portions", "of", "meetings", "of", "the", "Board", "of", "Directors", "as", "well", "as", "the", "Bank", "Board", "to", "the", "extent", "that", "the", "Board", "of", "Directors", "or", "the", "Bank", "Board", ",", "as", "the", "case", "may", "be", ",", "will", ",", "in", "any", "such", "portion", "thereof", ",", "be", "discussing", "any", "matters", "related", "to", "Castle", "Creek", ",", "the", "Transaction", "Documents", ",", "or", "any", "of", "Castle", "Creeks", "rights", "or", "obligations", "under", "any", "of", "the", "Transaction", "Documents", "or", "any", "other", "matter", "that", "the", "Chairman", "of", "the", "Board", "of", "Directors", "or", "the", "Chair", "man", "of", "the", "Bank", "Board", "determines", "in", "good", "faith", "is", "or", "may", "be", "adverse", "to", "the", "interests", "of", "Castle", "Creek", "provided", ",", "however", ",", "no", "matter", "shall", "be", "deemed", "to", "be", "adverse", "to", "the", "interests", "of", "Castle", "Creek", "merely", "because", "such", "matter", "may", "adversely", "impact", "the", "price", "of", "any", "of", "the", "Companys", "Securities", ".", "Castle", "Creek", "covenants", "and", "agrees", "to", "hold", "all", "information", "obtained", "from", "its", "Observer", "or", "Board", "Representative", "as", "provided", "in", "the", "prior", "sentence", "in", "confidence", "and", "to", "comply", "with", "all", "requirements", "and", "obligations", "applicable", "to", "members", "of", "the", "Board", "of", "Directors", "under", "the", "Securities", "Act", ",", "the", "Exchange", "Act", ",", "the", "Sarbanes", "Oxley", "Act", "of", "2002", "and", "all", "other", "Laws", ",", "in", "each", "case", ",", "only", "to", "the", "extent", "(", "if", "at", "all", ")", "applicable", "to", "the", "Observer", "or", "Board", "Member", ",", "as", "the", "case", "may", "be", ".", "If", "Castle", "Creek", "and", "its", "Affiliates", ",", "in", "the", "aggregate", ",", "no", "longer", "have", "a", "Minimum", "Ownership", "Interest", ",", "Castle", "Creek", "will", "have", "no", "further", "rights", "under", "this", "Section2", "\\", ".", "Each", "of", "the", "parties", "to", "this", "Agreement", "hereby", "acknowledges", "that", "they", "are", "aware", ",", "and", "will", "ensure", "that", "their", "representatives", "and", "Affiliates", "are", "aware", ",", "that", "the", "United", "States", "securities", "laws", "prohibit", "any", "person", "who", "has", "material", "non-public", "information", "about", "a", "company", "from", "purchasing", "or", "selling", "securities", "of", "such", "company", ",", "or", "from", "communicating", "such", "information", "to", "any", "other", "person", "under", "circumstances", "in", "which", "it", "is", "reasonably", "foreseeable", "that", "such", "person", "is", "likely", "to", "purchase", "or", "sell", "such", "securities", "."]}
{"id": "12895", "text": "5\\. Governing Law. This Side Letter Agreement and all acts and transactions pursuant hereto shall be governed, construed and interpreted in accordance with the laws of the Commonwealth of Pennsylvania without giving effect to principles of conflicts of laws.", "ner": [[7, 9, "Title"], [31, 33, "Court"]], "tokenized_text": ["5", "\\", ".", "Governing", "Law", ".", "This", "Side", "Letter", "Agreement", "and", "all", "acts", "and", "transactions", "pursuant", "hereto", "shall", "be", "governed", ",", "construed", "and", "interpreted", "in", "accordance", "with", "the", "laws", "of", "the", "Commonwealth", "of", "Pennsylvania", "without", "giving", "effect", "to", "principles", "of", "conflicts", "of", "laws", "."]}
{"id": "12896", "text": "Riverview Financial Corporation, a corporation organized and existing under the laws of the Commonwealth of Pennsylvania (the Corporation), in accordance with the provisions of Section1522 of the Pennsylvania Business Corporation Law of 1988, as amended, does hereby certify:", "ner": [[0, 2, "Parties"], [14, 16, "Court"], [31, 36, "Act"]], "tokenized_text": ["Riverview", "Financial", "Corporation", ",", "a", "corporation", "organized", "and", "existing", "under", "the", "laws", "of", "the", "Commonwealth", "of", "Pennsylvania", "(", "the", "Corporation", ")", ",", "in", "accordance", "with", "the", "provisions", "of", "Section1522", "of", "the", "Pennsylvania", "Business", "Corporation", "Law", "of", "1988", ",", "as", "amended", ",", "does", "hereby", "certify", ":"]}
{"id": "12898", "text": "| (d) | Business day means any day other than a Saturday or a Sunday or a day on which banks in the Commonwealth of Pennsylvania are authorized or required by law, executive order or regulation to close. ---|---|---", "ner": [[25, 27, "Court"]], "tokenized_text": ["|", "(", "d", ")", "|", "Business", "day", "means", "any", "day", "other", "than", "a", "Saturday", "or", "a", "Sunday", "or", "a", "day", "on", "which", "banks", "in", "the", "Commonwealth", "of", "Pennsylvania", "are", "authorized", "or", "required", "by", "law", ",", "executive", "order", "or", "regulation", "to", "close", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "12899", "text": "| (r) | Voting Security has the meaning set forth in 12 C.F.R. 225 .2(q) or any successor provision. ---|---|---", "ner": [[13, 22, "Regulation"]], "tokenized_text": ["|", "(", "r", ")", "|", "Voting", "Security", "has", "the", "meaning", "set", "forth", "in", "12", "C", ".", "F", ".", "R", ".", "225", ".", "2", "(", "q", ")", "or", "any", "successor", "provision", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "12904", "text": "Rule 144A means Rule 144A promulgated by the Commission pursuant to the Securities Act , as such Rule may be amended from time to time, or any successor rule thereto.", "ner": [[0, 1, "Regulation"], [12, 13, "Act"]], "tokenized_text": ["Rule", "144A", "means", "Rule", "144A", "promulgated", "by", "the", "Commission", "pursuant", "to", "the", "Securities", "Act", ",", "as", "such", "Rule", "may", "be", "amended", "from", "time", "to", "time", ",", "or", "any", "successor", "rule", "thereto", "."]}
{"id": "12906", "text": "Rule 424 means Rule 424 promulgated by the Commission pursuant to the Securities Act , as such Rule may be amended from time to time, or any successor rule thereto.", "ner": [[0, 1, "Regulation"], [12, 13, "Act"]], "tokenized_text": ["Rule", "424", "means", "Rule", "424", "promulgated", "by", "the", "Commission", "pursuant", "to", "the", "Securities", "Act", ",", "as", "such", "Rule", "may", "be", "amended", "from", "time", "to", "time", ",", "or", "any", "successor", "rule", "thereto", "."]}
{"id": "12910", "text": "(b) (i)the Company shall prepare and file with the Commission such amendments, including post-effective amendments and supplements, to each Registration Statement and the Prospectus used in connection therewith as may be necessary to keep such Registration Statement continuously effective as to the applicable Registrable Securities for its Effectiveness Period (except during an Allowable Grace Period); (ii)the Company shall cause the related Prospectus to be amended or supplemented by any required Prospectus supplement (subject to the terms of this Agreement), and, as so supplemented or amended, to be filed pursuant to Rule 424 (except during an Allowable Grace Period); (iii)the Company shall respond as promptly as reasonably practicable to any comments received from the Commission with respect to each Registration Statement or any amendment thereto and, as promptly as reasonably possible, provide the Holders Counsel true and complete copies of all correspondence from and to the Commission relating to such Registration Statement that pertains to the Holders as Selling Shareholders; and (iv)the Company shall comply in all material respects with the provisions of the Securities Act with respect to the disposition of all Registrable Securities covered by a Registration Statement until such time as all of such Registrable Securities shall have been disposed of (subject to the terms of this Agreement) in accordance with the intended methods of disposition by the Holders thereof as set forth in such Registration Statement as so amended or in such Prospectus as so supplemented; provided, that each Holder shall be responsible for the delivery of the Prospectus to the Persons to whom such Registration Rights Purchaser sells any of the Registrable Securities (including in accordance with Rule 172 under the Securities Act ), and each Holder agrees to dispose of Registrable Securities in compliance with applicable federal and state securities laws. In the case of amendments and supplements to a Registration Statement which are required to be filed pursuant to this Agreement (including pursuant to this Section4(b)) by reason of the Company filing a report on Form 10-K, Form 10-Q or Form 8-K or any analogous report under the Exchange Act, the Company shall have incorporated such report by reference into such Registration Statement, if applicable, or shall file such amendments or supplements with the Commission as promptly as practicable.", "ner": [[108, 109, "Regulation"], [203, 204, "Act"], [306, 307, "Regulation"], [379, 380, "Title"], [387, 388, "Act"]], "tokenized_text": ["(", "b", ")", "(", "i", ")", "the", "Company", "shall", "prepare", "and", "file", "with", "the", "Commission", "such", "amendments", ",", "including", "post-effective", "amendments", "and", "supplements", ",", "to", "each", "Registration", "Statement", "and", "the", "Prospectus", "used", "in", "connection", "therewith", "as", "may", "be", "necessary", "to", "keep", "such", "Registration", "Statement", "continuously", "effective", "as", "to", "the", "applicable", "Registrable", "Securities", "for", "its", "Effectiveness", "Period", "(", "except", "during", "an", "Allowable", "Grace", "Period", ")", ";", "(", "ii", ")", "the", "Company", "shall", "cause", "the", "related", "Prospectus", "to", "be", "amended", "or", "supplemented", "by", "any", "required", "Prospectus", "supplement", "(", "subject", "to", "the", "terms", "of", "this", "Agreement", ")", ",", "and", ",", "as", "so", "supplemented", "or", "amended", ",", "to", "be", "filed", "pursuant", "to", "Rule", "424", "(", "except", "during", "an", "Allowable", "Grace", "Period", ")", ";", "(", "iii", ")", "the", "Company", "shall", "respond", "as", "promptly", "as", "reasonably", "practicable", "to", "any", "comments", "received", "from", "the", "Commission", "with", "respect", "to", "each", "Registration", "Statement", "or", "any", "amendment", "thereto", "and", ",", "as", "promptly", "as", "reasonably", "possible", ",", "provide", "the", "Holders", "Counsel", "true", "and", "complete", "copies", "of", "all", "correspondence", "from", "and", "to", "the", "Commission", "relating", "to", "such", "Registration", "Statement", "that", "pertains", "to", "the", "Holders", "as", "Selling", "Shareholders", ";", "and", "(", "iv", ")", "the", "Company", "shall", "comply", "in", "all", "material", "respects", "with", "the", "provisions", "of", "the", "Securities", "Act", "with", "respect", "to", "the", "disposition", "of", "all", "Registrable", "Securities", "covered", "by", "a", "Registration", "Statement", "until", "such", "time", "as", "all", "of", "such", "Registrable", "Securities", "shall", "have", "been", "disposed", "of", "(", "subject", "to", "the", "terms", "of", "this", "Agreement", ")", "in", "accordance", "with", "the", "intended", "methods", "of", "disposition", "by", "the", "Holders", "thereof", "as", "set", "forth", "in", "such", "Registration", "Statement", "as", "so", "amended", "or", "in", "such", "Prospectus", "as", "so", "supplemented", ";", "provided", ",", "that", "each", "Holder", "shall", "be", "responsible", "for", "the", "delivery", "of", "the", "Prospectus", "to", "the", "Persons", "to", "whom", "such", "Registration", "Rights", "Purchaser", "sells", "any", "of", "the", "Registrable", "Securities", "(", "including", "in", "accordance", "with", "Rule", "172", "under", "the", "Securities", "Act", ")", ",", "and", "each", "Holder", "agrees", "to", "dispose", "of", "Registrable", "Securities", "in", "compliance", "with", "applicable", "federal", "and", "state", "securities", "laws", ".", "In", "the", "case", "of", "amendments", "and", "supplements", "to", "a", "Registration", "Statement", "which", "are", "required", "to", "be", "filed", "pursuant", "to", "this", "Agreement", "(", "including", "pursuant", "to", "this", "Section4", "(", "b", ")", ")", "by", "reason", "of", "the", "Company", "filing", "a", "report", "on", "Form", "10-K", ",", "Form", "10-Q", "or", "Form", "8-K", "or", "any", "analogous", "report", "under", "the", "Exchange", "Act", ",", "the", "Company", "shall", "have", "incorporated", "such", "report", "by", "reference", "into", "such", "Registration", "Statement", ",", "if", "applicable", ",", "or", "shall", "file", "such", "amendments", "or", "supplements", "with", "the", "Commission", "as", "promptly", "as", "practicable", "."]}
{"id": "12911", "text": "(a) Indemnification by the Company. The Company shall, notwithstanding any termination of this Agreement, indemnify, defend and hold harmless each Holder, the officers, directors, agents, general partners, managing members, managers, Affiliates and employees, each Person who controls any such Holder (within the meaning of Section15 of the Securities Act or Section20 of the Exchange Act) and the officers, directors, general partners, managing members, managers, agents and employees of each such controlling Person, to the fullest extent permitted by applicable law, from and against any and all losses, claims, damages, liabilities, costs (including, without limitation, reasonable costs of preparation and investigation and reasonable and documented attorneys fees) and expenses (collectively, Losses), as incurred, that arise out of or are based upon (i)any untrue or alleged untrue statement of a material fact contained in any Registration Statement, any Prospectus or any form of prospectus or in any amendment or supplement thereto or in any preliminary prospectus, or arising out of or relating to any omission or alleged omission to state a material fact required to be stated therein or necessary to make the statements therein (in the case of any Prospectus or form of prospectus or supplement thereto, in light of the circumstances under which they were made) not misleading, or (ii)any violation or alleged violation by the Company of the Securities Act , Exchange Act or any state securities law or any rule or regulation thereunder, in connection with the performance of its obligations under this Agreement, except to the extent, but only to the extent, that (A)such untrue statements, alleged untrue statements, omissions or alleged omissions are based solely upon information regarding such Holder furnished in writing to the Company by such Holder or on behalf of such Holder expressly for use therein, or to the extent that such information relates to such Holder or such Holders proposed method of distribution of Registrable Securities and was reviewed and approved by such Holder or Holders Counsel expressly for use in the Registration Statement, such Prospectus or such form of Prospectus or in any amendment or supplement thereto, (B)Holders failure to deliver or cause to be delivered the Prospectus or any amendment or supplement thereto made available by the Company in compliance with Section7(g), or (C)in the case of an occurrence of an event of the type specified in Sections 4(c)(ii)-(iv), related to the use by a Holder of an outdated or defective Prospectus after the Company has notified such Holder in writing or electronic mail that the Prospectus is outdated or defective and prior to the receipt by such Holder of the Advice contemplated and defined in Section7(h) below, but only if and to the extent that following the receipt of the Advice the misstatement or omission giving rise to such Loss would have been corrected. Such indemnity shall remain in full force and effect regardless of any investigation made by or on behalf of an Indemnified Party (as defined in Section6(c)) and shall survive the transfer of the Registrable Securities by the Holders.", "ner": [[59, 59, "TerminationDate"], [62, 63, "Act"], [68, 69, "Act"], [176, 176, "Title"]], "tokenized_text": ["(", "a", ")", "Indemnification", "by", "the", "Company", ".", "The", "Company", "shall", ",", "notwithstanding", "any", "termination", "of", "this", "Agreement", ",", "indemnify", ",", "defend", "and", "hold", "harmless", "each", "Holder", ",", "the", "officers", ",", "directors", ",", "agents", ",", "general", "partners", ",", "managing", "members", ",", "managers", ",", "Affiliates", "and", "employees", ",", "each", "Person", "who", "controls", "any", "such", "Holder", "(", "within", "the", "meaning", "of", "Section15", "of", "the", "Securities", "Act", "or", "Section20", "of", "the", "Exchange", "Act", ")", "and", "the", "officers", ",", "directors", ",", "general", "partners", ",", "managing", "members", ",", "managers", ",", "agents", "and", "employees", "of", "each", "such", "controlling", "Person", ",", "to", "the", "fullest", "extent", "permitted", "by", "applicable", "law", ",", "from", "and", "against", "any", "and", "all", "losses", ",", "claims", ",", "damages", ",", "liabilities", ",", "costs", "(", "including", ",", "without", "limitation", ",", "reasonable", "costs", "of", "preparation", "and", "investigation", "and", "reasonable", "and", "documented", "attorneys", "fees", ")", "and", "expenses", "(", "collectively", ",", "Losses", ")", ",", "as", "incurred", ",", "that", "arise", "out", "of", "or", "are", "based", "upon", "(", "i", ")", "any", "untrue", "or", "alleged", "untrue", "statement", "of", "a", "material", "fact", "contained", "in", "any", "Registration", "Statement", ",", "any", "Prospectus", "or", "any", "form", "of", "prospectus", "or", "in", "any", "amendment", "or", "supplement", "thereto", "or", "in", "any", "preliminary", "prospectus", ",", "or", "arising", "out", "of", "or", "relating", "to", "any", "omission", "or", "alleged", "omission", "to", "state", "a", "material", "fact", "required", "to", "be", "stated", "therein", "or", "necessary", "to", "make", "the", "statements", "therein", "(", "in", "the", "case", "of", "any", "Prospectus", "or", "form", "of", "prospectus", "or", "supplement", "thereto", ",", "in", "light", "of", "the", "circumstances", "under", "which", "they", "were", "made", ")", "not", "misleading", ",", "or", "(", "ii", ")", "any", "violation", "or", "alleged", "violation", "by", "the", "Company", "of", "the", "Securities", "Act", ",", "Exchange", "Act", "or", "any", "state", "securities", "law", "or", "any", "rule", "or", "regulation", "thereunder", ",", "in", "connection", "with", "the", "performance", "of", "its", "obligations", "under", "this", "Agreement", ",", "except", "to", "the", "extent", ",", "but", "only", "to", "the", "extent", ",", "that", "(", "A", ")", "such", "untrue", "statements", ",", "alleged", "untrue", "statements", ",", "omissions", "or", "alleged", "omissions", "are", "based", "solely", "upon", "information", "regarding", "such", "Holder", "furnished", "in", "writing", "to", "the", "Company", "by", "such", "Holder", "or", "on", "behalf", "of", "such", "Holder", "expressly", "for", "use", "therein", ",", "or", "to", "the", "extent", "that", "such", "information", "relates", "to", "such", "Holder", "or", "such", "Holders", "proposed", "method", "of", "distribution", "of", "Registrable", "Securities", "and", "was", "reviewed", "and", "approved", "by", "such", "Holder", "or", "Holders", "Counsel", "expressly", "for", "use", "in", "the", "Registration", "Statement", ",", "such", "Prospectus", "or", "such", "form", "of", "Prospectus", "or", "in", "any", "amendment", "or", "supplement", "thereto", ",", "(", "B", ")", "Holders", "failure", "to", "deliver", "or", "cause", "to", "be", "delivered", "the", "Prospectus", "or", "any", "amendment", "or", "supplement", "thereto", "made", "available", "by", "the", "Company", "in", "compliance", "with", "Section7", "(", "g", ")", ",", "or", "(", "C", ")", "in", "the", "case", "of", "an", "occurrence", "of", "an", "event", "of", "the", "type", "specified", "in", "Sections", "4", "(", "c", ")", "(", "ii", ")", "-", "(", "iv", ")", ",", "related", "to", "the", "use", "by", "a", "Holder", "of", "an", "outdated", "or", "defective", "Prospectus", "after", "the", "Company", "has", "notified", "such", "Holder", "in", "writing", "or", "electronic", "mail", "that", "the", "Prospectus", "is", "outdated", "or", "defective", "and", "prior", "to", "the", "receipt", "by", "such", "Holder", "of", "the", "Advice", "contemplated", "and", "defined", "in", "Section7", "(", "h", ")", "below", ",", "but", "only", "if", "and", "to", "the", "extent", "that", "following", "the", "receipt", "of", "the", "Advice", "the", "misstatement", "or", "omission", "giving", "rise", "to", "such", "Loss", "would", "have", "been", "corrected", ".", "Such", "indemnity", "shall", "remain", "in", "full", "force", "and", "effect", "regardless", "of", "any", "investigation", "made", "by", "or", "on", "behalf", "of", "an", "Indemnified", "Party", "(", "as", "defined", "in", "Section6", "(", "c", ")", ")", "and", "shall", "survive", "the", "transfer", "of", "the", "Registrable", "Securities", "by", "the", "Holders", "."]}
{"id": "12912", "text": "(b) Indemnification by Holders. Each Holder shall, notwithstanding any termination of this Agreement, severally and not jointly, indemnify and hold harmless the Company, its directors, officers, agents and employees, each Person who controls the Company (within the meaning of Section15 of the Securities Act and Section20 of the Exchange Act), and the directors, officers, agents or employees of such controlling Persons, to the fullest extent", "ner": [[50, 50, "TerminationDate"], [53, 54, "Act"], [59, 60, "Act"]], "tokenized_text": ["(", "b", ")", "Indemnification", "by", "Holders", ".", "Each", "Holder", "shall", ",", "notwithstanding", "any", "termination", "of", "this", "Agreement", ",", "severally", "and", "not", "jointly", ",", "indemnify", "and", "hold", "harmless", "the", "Company", ",", "its", "directors", ",", "officers", ",", "agents", "and", "employees", ",", "each", "Person", "who", "controls", "the", "Company", "(", "within", "the", "meaning", "of", "Section15", "of", "the", "Securities", "Act", "and", "Section20", "of", "the", "Exchange", "Act", ")", ",", "and", "the", "directors", ",", "officers", ",", "agents", "or", "employees", "of", "such", "controlling", "Persons", ",", "to", "the", "fullest", "extent"]}
{"id": "12915", "text": "(g) Compliance. Each Holder covenants and agrees that it will comply with the prospectus delivery requirements of the Securities Act as applicable to it (unless an exemption therefrom is available) in connection with sales of Registrable Securities pursuant to the Registration Statement and shall sell the Registrable Securities only in accordance with a method of distribution described in the Registration Statement.", "ner": [[21, 22, "Act"], [45, 46, "Title"]], "tokenized_text": ["(", "g", ")", "Compliance", ".", "Each", "Holder", "covenants", "and", "agrees", "that", "it", "will", "comply", "with", "the", "prospectus", "delivery", "requirements", "of", "the", "Securities", "Act", "as", "applicable", "to", "it", "(", "unless", "an", "exemption", "therefrom", "is", "available", ")", "in", "connection", "with", "sales", "of", "Registrable", "Securities", "pursuant", "to", "the", "Registration", "Statement", "and", "shall", "sell", "the", "Registrable", "Securities", "only", "in", "accordance", "with", "a", "method", "of", "distribution", "described", "in", "the", "Registration", "Statement", "."]}
{"id": "12917", "text": "(l) Successors and Assigns. This Agreement shall inure to the benefit of and be binding upon the successors and permitted assigns of each of the parties. Nothing in this Agreement, express or implied, is intended to confer upon any party other than the parties hereto or their respective successors and assigns any rights, remedies, obligations, or liabilities under or by reason of this Agreement, except as expressly provided in this Agreement. The Company may not assign its rights (except by merger or in connection with another entity acquiring all or substantially all of the Companys assets) or obligations hereunder without the prior written consent of all the Holders of the then outstanding Registrable Securities. The rights to have the Company register Registrable Securities pursuant to this Agreement shall be automatically assigned by Registration Rights Purchaser to any transferee of the Shares only if: (a) the transferee or assignee (i)acquires Shares of the Registration Rights Purchasers Registrable Securities with an original value as of the Closing Date of $2,000,000; (b)the Registration Rights Purchaser agrees in writing with the transferee or assignee to assign such rights, and a copy of such agreement is furnished to the Company within a reasonable period of time after such assignment; (c)the Company is, within a reasonable time after such transfer or assignment, furnished with written notice of (i)the name and address of such transferee or assignee and (ii)the securities with respect to which such registration rights are being transferred or assigned; (d)immediately following such transfer or assignment the further disposition of such securities by the transferee or assignee is restricted under the Securities Act and applicable state securities laws; and (e)at or before the time the Company received the written notice contemplated by clause (c)of this sentence the transferee or assignee agrees in writing with the Company to be bound by all of the provisions contained herein with respect to a Holder or Registration Rights Purchaser. In the event of any delay in filing or effectiveness of the Registration Statement as a result of such assignment by a Registration Rights Purchaser or its transferee, the Company shall not be liable for any damages arising from such delay.", "ner": [[187, 192, "Principal"], [312, 313, "Act"], [386, 387, "Title"]], "tokenized_text": ["(", "l", ")", "Successors", "and", "Assigns", ".", "This", "Agreement", "shall", "inure", "to", "the", "benefit", "of", "and", "be", "binding", "upon", "the", "successors", "and", "permitted", "assigns", "of", "each", "of", "the", "parties", ".", "Nothing", "in", "this", "Agreement", ",", "express", "or", "implied", ",", "is", "intended", "to", "confer", "upon", "any", "party", "other", "than", "the", "parties", "hereto", "or", "their", "respective", "successors", "and", "assigns", "any", "rights", ",", "remedies", ",", "obligations", ",", "or", "liabilities", "under", "or", "by", "reason", "of", "this", "Agreement", ",", "except", "as", "expressly", "provided", "in", "this", "Agreement", ".", "The", "Company", "may", "not", "assign", "its", "rights", "(", "except", "by", "merger", "or", "in", "connection", "with", "another", "entity", "acquiring", "all", "or", "substantially", "all", "of", "the", "Companys", "assets", ")", "or", "obligations", "hereunder", "without", "the", "prior", "written", "consent", "of", "all", "the", "Holders", "of", "the", "then", "outstanding", "Registrable", "Securities", ".", "The", "rights", "to", "have", "the", "Company", "register", "Registrable", "Securities", "pursuant", "to", "this", "Agreement", "shall", "be", "automatically", "assigned", "by", "Registration", "Rights", "Purchaser", "to", "any", "transferee", "of", "the", "Shares", "only", "if", ":", "(", "a", ")", "the", "transferee", "or", "assignee", "(", "i", ")", "acquires", "Shares", "of", "the", "Registration", "Rights", "Purchasers", "Registrable", "Securities", "with", "an", "original", "value", "as", "of", "the", "Closing", "Date", "of", "$", "2", ",", "000", ",", "000", ";", "(", "b", ")", "the", "Registration", "Rights", "Purchaser", "agrees", "in", "writing", "with", "the", "transferee", "or", "assignee", "to", "assign", "such", "rights", ",", "and", "a", "copy", "of", "such", "agreement", "is", "furnished", "to", "the", "Company", "within", "a", "reasonable", "period", "of", "time", "after", "such", "assignment", ";", "(", "c", ")", "the", "Company", "is", ",", "within", "a", "reasonable", "time", "after", "such", "transfer", "or", "assignment", ",", "furnished", "with", "written", "notice", "of", "(", "i", ")", "the", "name", "and", "address", "of", "such", "transferee", "or", "assignee", "and", "(", "ii", ")", "the", "securities", "with", "respect", "to", "which", "such", "registration", "rights", "are", "being", "transferred", "or", "assigned", ";", "(", "d", ")", "immediately", "following", "such", "transfer", "or", "assignment", "the", "further", "disposition", "of", "such", "securities", "by", "the", "transferee", "or", "assignee", "is", "restricted", "under", "the", "Securities", "Act", "and", "applicable", "state", "securities", "laws", ";", "and", "(", "e", ")", "at", "or", "before", "the", "time", "the", "Company", "received", "the", "written", "notice", "contemplated", "by", "clause", "(", "c", ")", "of", "this", "sentence", "the", "transferee", "or", "assignee", "agrees", "in", "writing", "with", "the", "Company", "to", "be", "bound", "by", "all", "of", "the", "provisions", "contained", "herein", "with", "respect", "to", "a", "Holder", "or", "Registration", "Rights", "Purchaser", ".", "In", "the", "event", "of", "any", "delay", "in", "filing", "or", "effectiveness", "of", "the", "Registration", "Statement", "as", "a", "result", "of", "such", "assignment", "by", "a", "Registration", "Rights", "Purchaser", "or", "its", "transferee", ",", "the", "Company", "shall", "not", "be", "liable", "for", "any", "damages", "arising", "from", "such", "delay", "."]}
{"id": "12919", "text": "This SECURITIES PURCHASE AGREEMENT (the Agreement), dated as of March 1, 2017 , by and between Tiger Reef, Inc , a Colorado corporation, with headquarters located at The Mailbox #5241 P.O. Box 523882, Miami, FL 33152-3882 , (the Company), and EAGLE EQUITIES, LLC , a Nevada limited liability company, with its address at 525 Norton Parkway , New Haven, CT <sup> 06511 (the Buyer).", "ner": [[1, 3, "Title"], [12, 15, "EffectiveDate"], [20, 23, "Parties"], [55, 58, "Parties"], [70, 81, "Address"]], "tokenized_text": ["This", "SECURITIES", "PURCHASE", "AGREEMENT", "(", "the", "Agreement", ")", ",", "dated", "as", "of", "March", "1", ",", "2017", ",", "by", "and", "between", "Tiger", "Reef", ",", "Inc", ",", "a", "Colorado", "corporation", ",", "with", "headquarters", "located", "at", "The", "Mailbox", "#", "5241", "P", ".", "O", ".", "Box", "523882", ",", "Miami", ",", "FL", "33152-3882", ",", "(", "the", "Company", ")", ",", "and", "EAGLE", "EQUITIES", ",", "LLC", ",", "a", "Nevada", "limited", "liability", "company", ",", "with", "its", "address", "at", "525", "Norton", "Parkway", ",", "New", "Haven", ",", "CT", "<", "sup", ">", "06511", "(", "the", "Buyer", ")", "."]}
{"id": "12923", "text": "Governing Law. This Agreement shall be governed by and construed in accordance with the laws of the State of Nevada without regard to principles of conflicts of laws. Any action brought by either party against the other concerning the transactions contemplated by this Agreement shall be brought only in the state courts of New York or in the federal courts located in the state and county of New York. The parties to this Agreement hereby irrevocably waive any objection to jurisdiction and venue of any action instituted hereunder and shall not assert any defense based on lack of jurisdiction or venue or based upon forum non conveniens. The Company and Buyer waive trial by jury. The prevailing party shall be entitled to recover from the other party its reasonable attorney's fees and costs. In the event that any provision of this Agreement or any other agreement delivered in connection herewith is invalid or unenforceable under any applicable statute or rule of law, then such provision shall be deemed inoperative to the extent that it may conflict therewith and shall be deemed modified to conform", "ner": [[18, 20, "Court"], [52, 56, "Court"], [65, 70, "Court"]], "tokenized_text": ["Governing", "Law", ".", "This", "Agreement", "shall", "be", "governed", "by", "and", "construed", "in", "accordance", "with", "the", "laws", "of", "the", "State", "of", "Nevada", "without", "regard", "to", "principles", "of", "conflicts", "of", "laws", ".", "Any", "action", "brought", "by", "either", "party", "against", "the", "other", "concerning", "the", "transactions", "contemplated", "by", "this", "Agreement", "shall", "be", "brought", "only", "in", "the", "state", "courts", "of", "New", "York", "or", "in", "the", "federal", "courts", "located", "in", "the", "state", "and", "county", "of", "New", "York", ".", "The", "parties", "to", "this", "Agreement", "hereby", "irrevocably", "waive", "any", "objection", "to", "jurisdiction", "and", "venue", "of", "any", "action", "instituted", "hereunder", "and", "shall", "not", "assert", "any", "defense", "based", "on", "lack", "of", "jurisdiction", "or", "venue", "or", "based", "upon", "forum", "non", "conveniens", ".", "The", "Company", "and", "Buyer", "waive", "trial", "by", "jury", ".", "The", "prevailing", "party", "shall", "be", "entitled", "to", "recover", "from", "the", "other", "party", "its", "reasonable", "attorney", "'", "s", "fees", "and", "costs", ".", "In", "the", "event", "that", "any", "provision", "of", "this", "Agreement", "or", "any", "other", "agreement", "delivered", "in", "connection", "herewith", "is", "invalid", "or", "unenforceable", "under", "any", "applicable", "statute", "or", "rule", "of", "law", ",", "then", "such", "provision", "shall", "be", "deemed", "inoperative", "to", "the", "extent", "that", "it", "may", "conflict", "therewith", "and", "shall", "be", "deemed", "modified", "to", "conform"]}
{"id": "12924", "text": "Tiger Reef, Inc .", "ner": [[0, 4, "Parties"]], "tokenized_text": ["Tiger", "Reef", ",", "Inc", "."]}
{"id": "12927", "text": "EX-10.2 4 f8k011017ex10ii_ecoarkhold.htm PURCHASE AGREEMENT , DATED AS OF DECEMBER 21, 2016 , BY AND BETWEEN ECOARK HOLDINGS, INC . AND REDDIAMOND PARTNERS LLC .", "ner": [[7, 8, "Title"], [13, 16, "EffectiveDate"], [21, 25, "Parties"], [27, 29, "Parties"]], "tokenized_text": ["EX-10", ".", "2", "4", "f8k011017ex10ii_ecoarkhold", ".", "htm", "PURCHASE", "AGREEMENT", ",", "DATED", "AS", "OF", "DECEMBER", "21", ",", "2016", ",", "BY", "AND", "BETWEEN", "ECOARK", "HOLDINGS", ",", "INC", ".", "AND", "REDDIAMOND", "PARTNERS", "LLC", "."]}
{"id": "12928", "text": "PURCHASE AGREEMENT (the Agreement), dated as of January, 13, 2017 by and between ECOARK HOLDINGS, INC ., a Nevada corporation (the Company), and REDDIAMOND PARTNERS LLC a New Jersey limited liability company (the Investor).", "ner": [[0, 1, "Title"], [10, 14, "EffectiveDate"], [18, 22, "Parties"], [33, 35, "Parties"]], "tokenized_text": ["PURCHASE", "AGREEMENT", "(", "the", "Agreement", ")", ",", "dated", "as", "of", "January", ",", "13", ",", "2017", "by", "and", "between", "ECOARK", "HOLDINGS", ",", "INC", ".", ",", "a", "Nevada", "corporation", "(", "the", "Company", ")", ",", "and", "REDDIAMOND", "PARTNERS", "LLC", "a", "New", "Jersey", "limited", "liability", "company", "(", "the", "Investor", ")", "."]}
{"id": "12930", "text": "(f)Exchange Act means the Securities Exchange Act of 1934 , as amended, and the rules and regulations promulgated thereunder.", "ner": [[3, 4, "Act"], [7, 11, "Act"]], "tokenized_text": ["(", "f", ")", "Exchange", "Act", "means", "the", "Securities", "Exchange", "Act", "of", "1934", ",", "as", "amended", ",", "and", "the", "rules", "and", "regulations", "promulgated", "thereunder", "."]}
{"id": "12934", "text": "(t)Subsidiary means any Person the Company wholly-owns or controls, or in which the Company, directly or indirectly, owns a majority of the voting stock or similar voting interest, in each case that would be disclosable pursuant to Item 601(b)(21) of Regulation S-K promulgated under the Securities Act .&lt; br/&gt;", "ner": [[53, 54, "Regulation"], [58, 59, "Act"]], "tokenized_text": ["(", "t", ")", "Subsidiary", "means", "any", "Person", "the", "Company", "wholly-owns", "or", "controls", ",", "or", "in", "which", "the", "Company", ",", "directly", "or", "indirectly", ",", "owns", "a", "majority", "of", "the", "voting", "stock", "or", "similar", "voting", "interest", ",", "in", "each", "case", "that", "would", "be", "disclosable", "pursuant", "to", "Item", "601", "(", "b", ")", "(", "21", ")", "of", "Regulation", "S-K", "promulgated", "under", "the", "Securities", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "12935", "text": "(a)Investment Purpose.The Investor is acquiring the Purchase Shares as principal for its own account and not with a view to or for distributing or reselling such Purchase Shares or any part thereof in violation of the Securities Act or any applicable state securities law, has no present intention of distributing any of such Securities in violation of the Securities Act or any applicable state securities law and has no direct or indirect arrangement or understandings with any other Persons to distribute or regarding the distribution of such Securities in violation of the Securities Act or any applicable state securities law (this representation and warranty not limiting the Investors right to sell the Purchase Shares at any time pursuant to the Registration Statement described herein or otherwise in compliance with applicable federal and state securities laws).The Investor is acquiring the Purchase Shares hereunder in the ordinary course of its business.", "ner": [[41, 42, "Act"]], "tokenized_text": ["(", "a", ")", "Investment", "Purpose", ".", "The", "Investor", "is", "acquiring", "the", "Purchase", "Shares", "as", "principal", "for", "its", "own", "account", "and", "not", "with", "a", "view", "to", "or", "for", "distributing", "or", "reselling", "such", "Purchase", "Shares", "or", "any", "part", "thereof", "in", "violation", "of", "the", "Securities", "Act", "or", "any", "applicable", "state", "securities", "law", ",", "has", "no", "present", "intention", "of", "distributing", "any", "of", "such", "Securities", "in", "violation", "of", "the", "Securities", "Act", "or", "any", "applicable", "state", "securities", "law", "and", "has", "no", "direct", "or", "indirect", "arrangement", "or", "understandings", "with", "any", "other", "Persons", "to", "distribute", "or", "regarding", "the", "distribution", "of", "such", "Securities", "in", "violation", "of", "the", "Securities", "Act", "or", "any", "applicable", "state", "securities", "law", "(", "this", "representation", "and", "warranty", "not", "limiting", "the", "Investors", "right", "to", "sell", "the", "Purchase", "Shares", "at", "any", "time", "pursuant", "to", "the", "Registration", "Statement", "described", "herein", "or", "otherwise", "in", "compliance", "with", "applicable", "federal", "and", "state", "securities", "laws", ")", ".", "The", "Investor", "is", "acquiring", "the", "Purchase", "Shares", "hereunder", "in", "the", "ordinary", "course", "of", "its", "business", "."]}
{"id": "12938", "text": "(d)Issuance of Purchase Shares.Upon issuance and payment therefor in accordance with the terms and conditions of this Agreement, the Purchase Shares (including, without limitation, the Initial Purchase Shares) shall be validly issued, fully paid and nonassessable and free and clear from all taxes, liens, charges, restrictions, rights of first refusal and preemptive rights with respect to the issue thereof, with the holders being entitled to all rights accorded to a holder of Common Stock. The Company has prepared and filed the Base Prospectus (as defined below) in conformity with the requirements of the Securities Act , including such amendments and supplements thereto as may have been required to the date of this Agreement. The Base Prospectus is effective under the Securities Act and no stop order preventing or suspending the effectiveness of the Base Prospectus or suspending or preventing the use of the Base Prospectus has been issued by the SEC and no proceedings for that purpose have been instituted or, to the knowledge of the Company, are threatened by the SEC. The Company, if required by the rules and regulations of the SEC, proposes to file the Prospectus with the SEC pursuant to Rule 424(b). At the time the Base Prospectus and any amendments thereto became effective, at the date of this Agreement and at each Closing Date, the Base Prospectus and any amendments or supplements thereto conformed and will conform in all material respects to the requirements of the Securities Act and, as of their respective effective dates, taken together as a whole, did not contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein not misleading; and the Base Prospectus and any amendments or supplements thereto, at the time the Base Prospectus or such amendment or supplement thereto was issued and at each Closing Date, conformed and will conform in all material respects to the requirements of the Securities Act and, taken together as a whole, did not and will not contain an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading.", "ner": [[98, 99, "Title"], [112, 113, "Act"], [219, 223, "Regulation"]], "tokenized_text": ["(", "d", ")", "Issuance", "of", "Purchase", "Shares", ".", "Upon", "issuance", "and", "payment", "therefor", "in", "accordance", "with", "the", "terms", "and", "conditions", "of", "this", "Agreement", ",", "the", "Purchase", "Shares", "(", "including", ",", "without", "limitation", ",", "the", "Initial", "Purchase", "Shares", ")", "shall", "be", "validly", "issued", ",", "fully", "paid", "and", "nonassessable", "and", "free", "and", "clear", "from", "all", "taxes", ",", "liens", ",", "charges", ",", "restrictions", ",", "rights", "of", "first", "refusal", "and", "preemptive", "rights", "with", "respect", "to", "the", "issue", "thereof", ",", "with", "the", "holders", "being", "entitled", "to", "all", "rights", "accorded", "to", "a", "holder", "of", "Common", "Stock", ".", "The", "Company", "has", "prepared", "and", "filed", "the", "Base", "Prospectus", "(", "as", "defined", "below", ")", "in", "conformity", "with", "the", "requirements", "of", "the", "Securities", "Act", ",", "including", "such", "amendments", "and", "supplements", "thereto", "as", "may", "have", "been", "required", "to", "the", "date", "of", "this", "Agreement", ".", "The", "Base", "Prospectus", "is", "effective", "under", "the", "Securities", "Act", "and", "no", "stop", "order", "preventing", "or", "suspending", "the", "effectiveness", "of", "the", "Base", "Prospectus", "or", "suspending", "or", "preventing", "the", "use", "of", "the", "Base", "Prospectus", "has", "been", "issued", "by", "the", "SEC", "and", "no", "proceedings", "for", "that", "purpose", "have", "been", "instituted", "or", ",", "to", "the", "knowledge", "of", "the", "Company", ",", "are", "threatened", "by", "the", "SEC", ".", "The", "Company", ",", "if", "required", "by", "the", "rules", "and", "regulations", "of", "the", "SEC", ",", "proposes", "to", "file", "the", "Prospectus", "with", "the", "SEC", "pursuant", "to", "Rule", "424", "(", "b", ")", ".", "At", "the", "time", "the", "Base", "Prospectus", "and", "any", "amendments", "thereto", "became", "effective", ",", "at", "the", "date", "of", "this", "Agreement", "and", "at", "each", "Closing", "Date", ",", "the", "Base", "Prospectus", "and", "any", "amendments", "or", "supplements", "thereto", "conformed", "and", "will", "conform", "in", "all", "material", "respects", "to", "the", "requirements", "of", "the", "Securities", "Act", "and", ",", "as", "of", "their", "respective", "effective", "dates", ",", "taken", "together", "as", "a", "whole", ",", "did", "not", "contain", "any", "untrue", "statement", "of", "a", "material", "fact", "or", "omit", "to", "state", "any", "material", "fact", "required", "to", "be", "stated", "therein", "or", "necessary", "to", "make", "the", "statements", "therein", "not", "misleading", ";", "and", "the", "Base", "Prospectus", "and", "any", "amendments", "or", "supplements", "thereto", ",", "at", "the", "time", "the", "Base", "Prospectus", "or", "such", "amendment", "or", "supplement", "thereto", "was", "issued", "and", "at", "each", "Closing", "Date", ",", "conformed", "and", "will", "conform", "in", "all", "material", "respects", "to", "the", "requirements", "of", "the", "Securities", "Act", "and", ",", "taken", "together", "as", "a", "whole", ",", "did", "not", "and", "will", "not", "contain", "an", "untrue", "statement", "of", "a", "material", "fact", "or", "omit", "to", "state", "a", "material", "fact", "necessary", "in", "order", "to", "make", "the", "statements", "therein", ",", "in", "light", "of", "the", "circumstances", "under", "which", "they", "were", "made", ",", "not", "misleading", "."]}
{"id": "12940", "text": "(f)SEC Documents; Financial Statements. The Company has filed all reports, schedules, forms, statements and other documents required to be filed by the Company under the Securities Act and the Exchange Act, including pursuant to Section 13(a) or 15(d) thereof, for the twelve (12) months preceding the date hereof (or such shorter period as the Company was required by law or regulation to file such material) (the foregoing materials, including the exhibits thereto and documents incorporated by reference therein, being collectively referred to herein as the SEC Documents) on a timely basis or has received a valid extension of such time of filing and has filed any such SEC Documents prior to the expiration of any such extension.As of their respective dates, the SEC Documents complied in all material respects with the requirements of the Securities Act and the Exchange Act, as applicable.None of the SEC Documents, when filed, contained any untrue statement of a material fact or omitted to state a material fact required to be stated therein or necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading. The financial statements of the Company included in the SEC Documents comply in all material respects with applicable accounting requirements and the rules and regulations of the SEC with respect thereto as in effect at the time of filing.Such financial statements have been prepared in accordance with United States generally accepted accounting principles applied on a consistent basis during the periods involved (GAAP), except as may be otherwise specified in such financial statements or the notes thereto and except that unaudited financial statements may not contain all footnotes required by GAAP, and fairly present in all material respects the financial position of the Company and its consolidated Subsidiaries as of and for the dates thereof and the results of operations and cash flows for the periods then ended, subject, in the case of unaudited statements, to normal, immaterial, year-end audit adjustments.Except as set forth in the SEC Documents, the Company has received no notices or correspondence from the SEC for the one year preceding the date hereof.The SEC has not commenced any enforcement proceedings against the Company or any of its Subsidiaries.", "ner": [[33, 34, "Act"], [37, 38, "Act"], [43, 52, "Regulation"], [290, 290, "Regulation"]], "tokenized_text": ["(", "f", ")", "SEC", "Documents", ";", "Financial", "Statements", ".", "The", "Company", "has", "filed", "all", "reports", ",", "schedules", ",", "forms", ",", "statements", "and", "other", "documents", "required", "to", "be", "filed", "by", "the", "Company", "under", "the", "Securities", "Act", "and", "the", "Exchange", "Act", ",", "including", "pursuant", "to", "Section", "13", "(", "a", ")", "or", "15", "(", "d", ")", "thereof", ",", "for", "the", "twelve", "(", "12", ")", "months", "preceding", "the", "date", "hereof", "(", "or", "such", "shorter", "period", "as", "the", "Company", "was", "required", "by", "law", "or", "regulation", "to", "file", "such", "material", ")", "(", "the", "foregoing", "materials", ",", "including", "the", "exhibits", "thereto", "and", "documents", "incorporated", "by", "reference", "therein", ",", "being", "collectively", "referred", "to", "herein", "as", "the", "SEC", "Documents", ")", "on", "a", "timely", "basis", "or", "has", "received", "a", "valid", "extension", "of", "such", "time", "of", "filing", "and", "has", "filed", "any", "such", "SEC", "Documents", "prior", "to", "the", "expiration", "of", "any", "such", "extension", ".", "As", "of", "their", "respective", "dates", ",", "the", "SEC", "Documents", "complied", "in", "all", "material", "respects", "with", "the", "requirements", "of", "the", "Securities", "Act", "and", "the", "Exchange", "Act", ",", "as", "applicable", ".", "None", "of", "the", "SEC", "Documents", ",", "when", "filed", ",", "contained", "any", "untrue", "statement", "of", "a", "material", "fact", "or", "omitted", "to", "state", "a", "material", "fact", "required", "to", "be", "stated", "therein", "or", "necessary", "in", "order", "to", "make", "the", "statements", "therein", ",", "in", "the", "light", "of", "the", "circumstances", "under", "which", "they", "were", "made", ",", "not", "misleading", ".", "The", "financial", "statements", "of", "the", "Company", "included", "in", "the", "SEC", "Documents", "comply", "in", "all", "material", "respects", "with", "applicable", "accounting", "requirements", "and", "the", "rules", "and", "regulations", "of", "the", "SEC", "with", "respect", "thereto", "as", "in", "effect", "at", "the", "time", "of", "filing", ".", "Such", "financial", "statements", "have", "been", "prepared", "in", "accordance", "with", "United", "States", "generally", "accepted", "accounting", "principles", "applied", "on", "a", "consistent", "basis", "during", "the", "periods", "involved", "(", "GAAP", ")", ",", "except", "as", "may", "be", "otherwise", "specified", "in", "such", "financial", "statements", "or", "the", "notes", "thereto", "and", "except", "that", "unaudited", "financial", "statements", "may", "not", "contain", "all", "footnotes", "required", "by", "GAAP", ",", "and", "fairly", "present", "in", "all", "material", "respects", "the", "financial", "position", "of", "the", "Company", "and", "its", "consolidated", "Subsidiaries", "as", "of", "and", "for", "the", "dates", "thereof", "and", "the", "results", "of", "operations", "and", "cash", "flows", "for", "the", "periods", "then", "ended", ",", "subject", ",", "in", "the", "case", "of", "unaudited", "statements", ",", "to", "normal", ",", "immaterial", ",", "year-end", "audit", "adjustments", ".", "Except", "as", "set", "forth", "in", "the", "SEC", "Documents", ",", "the", "Company", "has", "received", "no", "notices", "or", "correspondence", "from", "the", "SEC", "for", "the", "one", "year", "preceding", "the", "date", "hereof", ".", "The", "SEC", "has", "not", "commenced", "any", "enforcement", "proceedings", "against", "the", "Company", "or", "any", "of", "its", "Subsidiaries", "."]}
{"id": "12942", "text": "(s)Foreign Corrupt Practices.Neither the Company, nor to the knowledge of the Company, any agent or other Person acting on behalf of the Company, has (i) directly or indirectly, used any funds for unlawful contributions, gifts, entertainment or other unlawful expenses related to foreign or domestic political activity, (ii) made any unlawful payment to foreign or domestic government officials or employees or to any foreign or domestic political parties or campaigns from corporate funds, (iii) failed to disclose fully any contribution made by the Company (or made by any Person acting on its behalf of which the Company is aware) which is in violation of law, or (iv) violated in any material respect any provision of the Foreign Corrupt Practices Act of 1977 , as amended.", "ner": [[140, 145, "Act"]], "tokenized_text": ["(", "s", ")", "Foreign", "Corrupt", "Practices", ".", "Neither", "the", "Company", ",", "nor", "to", "the", "knowledge", "of", "the", "Company", ",", "any", "agent", "or", "other", "Person", "acting", "on", "behalf", "of", "the", "Company", ",", "has", "(", "i", ")", "directly", "or", "indirectly", ",", "used", "any", "funds", "for", "unlawful", "contributions", ",", "gifts", ",", "entertainment", "or", "other", "unlawful", "expenses", "related", "to", "foreign", "or", "domestic", "political", "activity", ",", "(", "ii", ")", "made", "any", "unlawful", "payment", "to", "foreign", "or", "domestic", "government", "officials", "or", "employees", "or", "to", "any", "foreign", "or", "domestic", "political", "parties", "or", "campaigns", "from", "corporate", "funds", ",", "(", "iii", ")", "failed", "to", "disclose", "fully", "any", "contribution", "made", "by", "the", "Company", "(", "or", "made", "by", "any", "Person", "acting", "on", "its", "behalf", "of", "which", "the", "Company", "is", "aware", ")", "which", "is", "in", "violation", "of", "law", ",", "or", "(", "iv", ")", "violated", "in", "any", "material", "respect", "any", "provision", "of", "the", "Foreign", "Corrupt", "Practices", "Act", "of", "1977", ",", "as", "amended", "."]}
{"id": "12944", "text": "(w)Investment Company. The Company is not, and immediately after receipt of payment for the Purchase Shares will not be, an investment company within the meaning of the Investment Company Act of 1940 , as amended.", "ner": [[33, 37, "Act"]], "tokenized_text": ["(", "w", ")", "Investment", "Company", ".", "The", "Company", "is", "not", ",", "and", "immediately", "after", "receipt", "of", "payment", "for", "the", "Purchase", "Shares", "will", "not", "be", ",", "an", "investment", "company", "within", "the", "meaning", "of", "the", "Investment", "Company", "Act", "of", "1940", ",", "as", "amended", "."]}
{"id": "12945", "text": "(y)Accountants.The Companys accountants are set forth in the SEC Documents and, to the knowledge of the Company, such accountants are an independent registered public accounting firm as required by the Securities Act .&lt; br/&gt;", "ner": [[37, 38, "Act"]], "tokenized_text": ["(", "y", ")", "Accountants", ".", "The", "Companys", "accountants", "are", "set", "forth", "in", "the", "SEC", "Documents", "and", ",", "to", "the", "knowledge", "of", "the", "Company", ",", "such", "accountants", "are", "an", "independent", "registered", "public", "accounting", "firm", "as", "required", "by", "the", "Securities", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "12948", "text": "(d)All federal, state and local governmental laws, rules and regulations applicable to the transactions contemplated by the Transaction Documents and necessary for the execution, delivery and performance of the Transaction Documents and the consummation of the transactions contemplated thereby in accordance with the terms thereof shall have been complied with, and all consents, authorizations and orders of, and all filings and registrations with, all federal, state and local courts or governmental agencies and all federal, state and local regulatory or self-regulatory agencies necessary for the execution, delivery and performance of the Transaction Documents and the consummation of the transactions contemplated thereby in accordance with the terms thereof shall have been obtained or made, including, without limitation, in each case those required under the Securities Act , the Exchange Act, applicable state securities or Blue Sky laws or applicable rules and regulations of the Principal Market, or otherwise required by the SEC, the Principal Market or any state securities regulators;", "ner": [[139, 140, "Act"], [143, 144, "Act"]], "tokenized_text": ["(", "d", ")", "All", "federal", ",", "state", "and", "local", "governmental", "laws", ",", "rules", "and", "regulations", "applicable", "to", "the", "transactions", "contemplated", "by", "the", "Transaction", "Documents", "and", "necessary", "for", "the", "execution", ",", "delivery", "and", "performance", "of", "the", "Transaction", "Documents", "and", "the", "consummation", "of", "the", "transactions", "contemplated", "thereby", "in", "accordance", "with", "the", "terms", "thereof", "shall", "have", "been", "complied", "with", ",", "and", "all", "consents", ",", "authorizations", "and", "orders", "of", ",", "and", "all", "filings", "and", "registrations", "with", ",", "all", "federal", ",", "state", "and", "local", "courts", "or", "governmental", "agencies", "and", "all", "federal", ",", "state", "and", "local", "regulatory", "or", "self-regulatory", "agencies", "necessary", "for", "the", "execution", ",", "delivery", "and", "performance", "of", "the", "Transaction", "Documents", "and", "the", "consummation", "of", "the", "transactions", "contemplated", "thereby", "in", "accordance", "with", "the", "terms", "thereof", "shall", "have", "been", "obtained", "or", "made", ",", "including", ",", "without", "limitation", ",", "in", "each", "case", "those", "required", "under", "the", "Securities", "Act", ",", "the", "Exchange", "Act", ",", "applicable", "state", "securities", "or", "Blue", "Sky", "laws", "or", "applicable", "rules", "and", "regulations", "of", "the", "Principal", "Market", ",", "or", "otherwise", "required", "by", "the", "SEC", ",", "the", "Principal", "Market", "or", "any", "state", "securities", "regulators", ";"]}
{"id": "12949", "text": "(g)All federal, state and local governmental laws, rules and regulations applicable to the transactions contemplated by the Transaction Documents and necessary for the execution, delivery and performance of the Transaction Documents and the consummation of the transactions contemplated thereby in accordance with the terms thereof shall have been complied with, and all consents, authorizations and orders of, and all filings and registrations with, all federal, state and local courts or governmental agencies and all federal, state and local regulatory or self-regulatory agencies necessary for the execution, delivery and performance of the Transaction Documents and the consummation of the transactions contemplated thereby in accordance with the terms thereof shall have been obtained or made, including, without limitation, in each case those required under the Securities Act , the Exchange Act, applicable state securities or Blue Sky laws or applicable rules and regulations of the Principal Market, or otherwise required by the SEC, the Principal Market or any state securities regulators;", "ner": [[139, 140, "Act"], [143, 144, "Act"]], "tokenized_text": ["(", "g", ")", "All", "federal", ",", "state", "and", "local", "governmental", "laws", ",", "rules", "and", "regulations", "applicable", "to", "the", "transactions", "contemplated", "by", "the", "Transaction", "Documents", "and", "necessary", "for", "the", "execution", ",", "delivery", "and", "performance", "of", "the", "Transaction", "Documents", "and", "the", "consummation", "of", "the", "transactions", "contemplated", "thereby", "in", "accordance", "with", "the", "terms", "thereof", "shall", "have", "been", "complied", "with", ",", "and", "all", "consents", ",", "authorizations", "and", "orders", "of", ",", "and", "all", "filings", "and", "registrations", "with", ",", "all", "federal", ",", "state", "and", "local", "courts", "or", "governmental", "agencies", "and", "all", "federal", ",", "state", "and", "local", "regulatory", "or", "self-regulatory", "agencies", "necessary", "for", "the", "execution", ",", "delivery", "and", "performance", "of", "the", "Transaction", "Documents", "and", "the", "consummation", "of", "the", "transactions", "contemplated", "thereby", "in", "accordance", "with", "the", "terms", "thereof", "shall", "have", "been", "obtained", "or", "made", ",", "including", ",", "without", "limitation", ",", "in", "each", "case", "those", "required", "under", "the", "Securities", "Act", ",", "the", "Exchange", "Act", ",", "applicable", "state", "securities", "or", "Blue", "Sky", "laws", "or", "applicable", "rules", "and", "regulations", "of", "the", "Principal", "Market", ",", "or", "otherwise", "required", "by", "the", "SEC", ",", "the", "Principal", "Market", "or", "any", "state", "securities", "regulators", ";"]}
{"id": "12950", "text": "(c) At any time after 90 days after the Commencement Date or immediately upon the completion of a fully underwritten offering of greater than $5,000,000 , the Company shall have the option to terminate this Agreement for any reason or for no reason by delivering notice (a Company Termination Notice) to the Investor electing to terminate this Agreement without any liability whatsoever of any party to any other party under this Agreement (except as set forth below).The Company Termination Notice shall not be effective until one (1) Business Day after it has been received by the Investor. Upon receipt of a Company Termination Notice, if the Remaining Amount is greater than $4,000,000, the Company shall issue to the Investor, within two (2) Business Days of the Company Termination Notice, shares of the Companys common stock, registered pursuant to the Securities Act , with a value equal to 10% of the difference of $5,000,000 less the Remaining Amount divided by either the (i) price of the Companys Common Stock issued in the fully underwritten offering if the Company Termination Notice is issued in connection with a fully underwritten offering or (ii) the average VWAP of the Purchase Shares for the five consecutive Business Days ending on and including the date that the Investor receives the Company Termination Notice.", "ner": [[26, 31, "Principal"], [128, 133, "Principal"], [167, 168, "Act"], [175, 176, "Percentage"]], "tokenized_text": ["(", "c", ")", "At", "any", "time", "after", "90", "days", "after", "the", "Commencement", "Date", "or", "immediately", "upon", "the", "completion", "of", "a", "fully", "underwritten", "offering", "of", "greater", "than", "$", "5", ",", "000", ",", "000", ",", "the", "Company", "shall", "have", "the", "option", "to", "terminate", "this", "Agreement", "for", "any", "reason", "or", "for", "no", "reason", "by", "delivering", "notice", "(", "a", "Company", "Termination", "Notice", ")", "to", "the", "Investor", "electing", "to", "terminate", "this", "Agreement", "without", "any", "liability", "whatsoever", "of", "any", "party", "to", "any", "other", "party", "under", "this", "Agreement", "(", "except", "as", "set", "forth", "below", ")", ".", "The", "Company", "Termination", "Notice", "shall", "not", "be", "effective", "until", "one", "(", "1", ")", "Business", "Day", "after", "it", "has", "been", "received", "by", "the", "Investor", ".", "Upon", "receipt", "of", "a", "Company", "Termination", "Notice", ",", "if", "the", "Remaining", "Amount", "is", "greater", "than", "$", "4", ",", "000", ",", "000", ",", "the", "Company", "shall", "issue", "to", "the", "Investor", ",", "within", "two", "(", "2", ")", "Business", "Days", "of", "the", "Company", "Termination", "Notice", ",", "shares", "of", "the", "Companys", "common", "stock", ",", "registered", "pursuant", "to", "the", "Securities", "Act", ",", "with", "a", "value", "equal", "to", "10", "%", "of", "the", "difference", "of", "$", "5", ",", "000", ",", "000", "less", "the", "Remaining", "Amount", "divided", "by", "either", "the", "(", "i", ")", "price", "of", "the", "Companys", "Common", "Stock", "issued", "in", "the", "fully", "underwritten", "offering", "if", "the", "Company", "Termination", "Notice", "is", "issued", "in", "connection", "with", "a", "fully", "underwritten", "offering", "or", "(", "ii", ")", "the", "average", "VWAP", "of", "the", "Purchase", "Shares", "for", "the", "five", "consecutive", "Business", "Days", "ending", "on", "and", "including", "the", "date", "that", "the", "Investor", "receives", "the", "Company", "Termination", "Notice", "."]}
{"id": "12951", "text": "(d)This Agreement shall automatically terminate on the date that the Company sells and the Investor purchases $5,000,000 of Purchase Shares as provided herein, without any action or notice on the part of any party and without any liability whatsoever of any party to any other party under this Agreement (except as set forth below).", "ner": [[19, 24, "Principal"]], "tokenized_text": ["(", "d", ")", "This", "Agreement", "shall", "automatically", "terminate", "on", "the", "date", "that", "the", "Company", "sells", "and", "the", "Investor", "purchases", "$", "5", ",", "000", ",", "000", "of", "Purchase", "Shares", "as", "provided", "herein", ",", "without", "any", "action", "or", "notice", "on", "the", "part", "of", "any", "party", "and", "without", "any", "liability", "whatsoever", "of", "any", "party", "to", "any", "other", "party", "under", "this", "Agreement", "(", "except", "as", "set", "forth", "below", ")", "."]}
{"id": "12953", "text": "(a)Governing Law; Jurisdiction; Jury Trial.The corporate laws of the State of Nevada shall govern all issues concerning the relative rights of the Company and its stockholders. All other questions concerning the construction, validity, enforcement and interpretation of this Agreement and the other Transaction Documents shall also be governed by the internal laws of the State of New York , without giving effect to any choice of law or conflict of law provision or rule (whether of the State of New York or any other jurisdictions) that would cause the application of the laws of any jurisdictions other than the State of New York .Each party hereby irrevocably submits to the exclusive jurisdiction of the state and federal courts sitting in the State of New York , New York, for the adjudication of any dispute hereunder or under the other Transaction Documents or in connection herewith or therewith, or with any transaction contemplated hereby or discussed herein, and hereby irrevocably waives, and agrees not to assert in any suit, action or proceeding, any claim that it is not personally subject to the jurisdiction of any such court, that such suit, action or proceeding is brought in an inconvenient forum or that the venue of such suit, action or proceeding is improper.Each party hereby irrevocably waives personal service of process and consents to process being served in any such suit, action or proceeding by mailing a copy thereof to such party at the address for such notices to it under this Agreement and agrees that such service shall constitute good and sufficient service of process and notice thereof.Nothing contained herein shall be deemed to limit in any way any right to serve process in any manner permitted by law.EACH PARTY HEREBY IRREVOCABLY WAIVES ANY RIGHT IT MAY HAVE, AND AGREES NOT TO REQUEST, A JURY TRIAL FOR THE ADJUDICATION OF ANY DISPUTE HEREUNDER OR IN CONNECTION HEREWITH OR ARISING OUT OF THIS AGREEMENT OR ANY TRANSACTION CONTEMPLATED HEREBY.", "ner": [[16, 18, "Court"], [48, 48, "Title"], [64, 67, "Court"], [134, 140, "Court"], [351, 351, "Title"]], "tokenized_text": ["(", "a", ")", "Governing", "Law", ";", "Jurisdiction", ";", "Jury", "Trial", ".", "The", "corporate", "laws", "of", "the", "State", "of", "Nevada", "shall", "govern", "all", "issues", "concerning", "the", "relative", "rights", "of", "the", "Company", "and", "its", "stockholders", ".", "All", "other", "questions", "concerning", "the", "construction", ",", "validity", ",", "enforcement", "and", "interpretation", "of", "this", "Agreement", "and", "the", "other", "Transaction", "Documents", "shall", "also", "be", "governed", "by", "the", "internal", "laws", "of", "the", "State", "of", "New", "York", ",", "without", "giving", "effect", "to", "any", "choice", "of", "law", "or", "conflict", "of", "law", "provision", "or", "rule", "(", "whether", "of", "the", "State", "of", "New", "York", "or", "any", "other", "jurisdictions", ")", "that", "would", "cause", "the", "application", "of", "the", "laws", "of", "any", "jurisdictions", "other", "than", "the", "State", "of", "New", "York", ".", "Each", "party", "hereby", "irrevocably", "submits", "to", "the", "exclusive", "jurisdiction", "of", "the", "state", "and", "federal", "courts", "sitting", "in", "the", "State", "of", "New", "York", ",", "New", "York", ",", "for", "the", "adjudication", "of", "any", "dispute", "hereunder", "or", "under", "the", "other", "Transaction", "Documents", "or", "in", "connection", "herewith", "or", "therewith", ",", "or", "with", "any", "transaction", "contemplated", "hereby", "or", "discussed", "herein", ",", "and", "hereby", "irrevocably", "waives", ",", "and", "agrees", "not", "to", "assert", "in", "any", "suit", ",", "action", "or", "proceeding", ",", "any", "claim", "that", "it", "is", "not", "personally", "subject", "to", "the", "jurisdiction", "of", "any", "such", "court", ",", "that", "such", "suit", ",", "action", "or", "proceeding", "is", "brought", "in", "an", "inconvenient", "forum", "or", "that", "the", "venue", "of", "such", "suit", ",", "action", "or", "proceeding", "is", "improper", ".", "Each", "party", "hereby", "irrevocably", "waives", "personal", "service", "of", "process", "and", "consents", "to", "process", "being", "served", "in", "any", "such", "suit", ",", "action", "or", "proceeding", "by", "mailing", "a", "copy", "thereof", "to", "such", "party", "at", "the", "address", "for", "such", "notices", "to", "it", "under", "this", "Agreement", "and", "agrees", "that", "such", "service", "shall", "constitute", "good", "and", "sufficient", "service", "of", "process", "and", "notice", "thereof", ".", "Nothing", "contained", "herein", "shall", "be", "deemed", "to", "limit", "in", "any", "way", "any", "right", "to", "serve", "process", "in", "any", "manner", "permitted", "by", "law", ".", "EACH", "PARTY", "HEREBY", "IRREVOCABLY", "WAIVES", "ANY", "RIGHT", "IT", "MAY", "HAVE", ",", "AND", "AGREES", "NOT", "TO", "REQUEST", ",", "A", "JURY", "TRIAL", "FOR", "THE", "ADJUDICATION", "OF", "ANY", "DISPUTE", "HEREUNDER", "OR", "IN", "CONNECTION", "HEREWITH", "OR", "ARISING", "OUT", "OF", "THIS", "AGREEMENT", "OR", "ANY", "TRANSACTION", "CONTEMPLATED", "HEREBY", "."]}
{"id": "12955", "text": "If to the Investor: | With a copy to (which shall not constitute notice or service of process): ---|--- | RedDiamond Partners LLC | Robinson Brog Leinwand Green Genovese &amp; Gluck P.C. 156 West Saddle River Road | 875 Third Avenue, 9th Floor Saddle River, NJ 07458 | New York, NY 10022 Telephone: (201) 818-5657 | Telephone: (212) 603-6300 E-mail: | E-mail: ded@robinsonbrog.com Attention: John DeNobile | Attention: David E. Danovitch, Esq.", "ner": [[30, 32, "Parties"], [53, 63, "Address"], [65, 69, "Address"], [72, 75, "PII_Ref"], [79, 82, "PII_Ref"], [88, 92, "PII_Ref"], [100, 106, "PII_Ref"]], "tokenized_text": ["If", "to", "the", "Investor", ":", "|", "With", "a", "copy", "to", "(", "which", "shall", "not", "constitute", "notice", "or", "service", "of", "process", ")", ":", "-", "-", "-", "|", "-", "-", "-", "|", "RedDiamond", "Partners", "LLC", "|", "Robinson", "Brog", "Leinwand", "Green", "Genovese", "&", "amp", ";", "Gluck", "P", ".", "C", ".", "156", "West", "Saddle", "River", "Road", "|", "875", "Third", "Avenue", ",", "9th", "Floor", "Saddle", "River", ",", "NJ", "07458", "|", "New", "York", ",", "NY", "10022", "Telephone", ":", "(", "201", ")", "818-5657", "|", "Telephone", ":", "(", "212", ")", "603-6300", "E-mail", ":", "|", "E-mail", ":", "ded", "@", "robinsonbrog", ".", "com", "Attention", ":", "John", "DeNobile", "|", "Attention", ":", "David", "E", ".", "Danovitch", ",", "Esq", "."]}
{"id": "12956", "text": "| THE COMPANY: ---|--- | | ECOARK HOLDINGS, INC . | | | By: | /s/ Randy May | Name: | Randy May | Title: | Chief Executive Officer | | | INVESTOR: | | REDDIAMOND PARTNERS LLC | | | By: | /s/ John DeNobile | Name: | John DeNobile | Title: | Member", "ner": [[13, 17, "Parties"], [27, 28, "Parties"], [39, 41, "Role"], [49, 51, "Parties"], [61, 62, "Parties"]], "tokenized_text": ["|", "THE", "COMPANY", ":", "-", "-", "-", "|", "-", "-", "-", "|", "|", "ECOARK", "HOLDINGS", ",", "INC", ".", "|", "|", "|", "By", ":", "|", "/", "s", "/", "Randy", "May", "|", "Name", ":", "|", "Randy", "May", "|", "Title", ":", "|", "Chief", "Executive", "Officer", "|", "|", "|", "INVESTOR", ":", "|", "|", "REDDIAMOND", "PARTNERS", "LLC", "|", "|", "|", "By", ":", "|", "/", "s", "/", "John", "DeNobile", "|", "Name", ":", "|", "John", "DeNobile", "|", "Title", ":", "|", "Member"]}
{"id": "12959", "text": "REDDIAMOND PARTNERS LLC | ---|--- | | By: | /s/ John DeNobile | Name: | John DeNobile | Title: | Member | Date: | |", "ner": [[0, 2, "Title"], [19, 20, "Parties"]], "tokenized_text": ["REDDIAMOND", "PARTNERS", "LLC", "|", "-", "-", "-", "|", "-", "-", "-", "|", "|", "By", ":", "|", "/", "s", "/", "John", "DeNobile", "|", "Name", ":", "|", "John", "DeNobile", "|", "Title", ":", "|", "Member", "|", "Date", ":", "|", "|"]}
{"id": "12960", "text": "ROCKSTAR MEMBERSHIP INTEREST PURCHASE AGREEMENT", "ner": [[2, 4, "Title"]], "tokenized_text": ["ROCKSTAR", "MEMBERSHIP", "INTEREST", "PURCHASE", "AGREEMENT"]}
{"id": "12961", "text": "THIS AGREEMENT (Agreement) is made effective the 17th day of February, 2017 , among PAYMEON, INC. , a Nevada corporation (PAYM or the Buyer), Rockstar Acquisitions, LLC , a Florida limited liability company (RSA), VCVC, LLC, a Florida limited liability company (VCVC), EAC Management, LLC, a Florida limited liability company (EAC), JJM3, LLC, a Florida limited liability company (JJM3), RAW LLC, a Florida limited liability company (RAW), YellowTurtle Design, LLC, a Florida limited liability company (YellowTurtle), Erica Corkum, an individual (Erica C), Eric Corkum, an individual (Eric C), Jeannie Corkum, an individual (Jeannie C), Richard Laurin, an individual (Laurin), RVRM Holdings, LLC, a Connecticut limited liability company (RVRM) and Robert Ludwig, an individual (Ludwig). Together RSA, VCVC, EAC, JJM3, RAW, YellowTurtle, Erica C, Eric C, Jeannie C, Laurin, RVRM and Ludwig are known as Sellers. The Buyer and the Sellers (including each legal entity and individual comprising the Sellers) are each a Party and both together are the Parties.", "ner": [[9, 14, "EffectiveDate"], [17, 20, "Parties"], [32, 35, "Parties"], [46, 48, "Parties"], [59, 62, "Parties"], [73, 75, "Parties"], [86, 87, "Parties"], [98, 101, "Parties"], [112, 113, "Parties"], [132, 133, "Parties"], [142, 143, "Parties"], [151, 154, "Parties"], [165, 166, "Parties"]], "tokenized_text": ["THIS", "AGREEMENT", "(", "Agreement", ")", "is", "made", "effective", "the", "17th", "day", "of", "February", ",", "2017", ",", "among", "PAYMEON", ",", "INC", ".", ",", "a", "Nevada", "corporation", "(", "PAYM", "or", "the", "Buyer", ")", ",", "Rockstar", "Acquisitions", ",", "LLC", ",", "a", "Florida", "limited", "liability", "company", "(", "RSA", ")", ",", "VCVC", ",", "LLC", ",", "a", "Florida", "limited", "liability", "company", "(", "VCVC", ")", ",", "EAC", "Management", ",", "LLC", ",", "a", "Florida", "limited", "liability", "company", "(", "EAC", ")", ",", "JJM3", ",", "LLC", ",", "a", "Florida", "limited", "liability", "company", "(", "JJM3", ")", ",", "RAW", "LLC", ",", "a", "Florida", "limited", "liability", "company", "(", "RAW", ")", ",", "YellowTurtle", "Design", ",", "LLC", ",", "a", "Florida", "limited", "liability", "company", "(", "YellowTurtle", ")", ",", "Erica", "Corkum", ",", "an", "individual", "(", "Erica", "C", ")", ",", "Eric", "Corkum", ",", "an", "individual", "(", "Eric", "C", ")", ",", "Jeannie", "Corkum", ",", "an", "individual", "(", "Jeannie", "C", ")", ",", "Richard", "Laurin", ",", "an", "individual", "(", "Laurin", ")", ",", "RVRM", "Holdings", ",", "LLC", ",", "a", "Connecticut", "limited", "liability", "company", "(", "RVRM", ")", "and", "Robert", "Ludwig", ",", "an", "individual", "(", "Ludwig", ")", ".", "Together", "RSA", ",", "VCVC", ",", "EAC", ",", "JJM3", ",", "RAW", ",", "YellowTurtle", ",", "Erica", "C", ",", "Eric", "C", ",", "Jeannie", "C", ",", "Laurin", ",", "RVRM", "and", "Ludwig", "are", "known", "as", "Sellers", ".", "The", "Buyer", "and", "the", "Sellers", "(", "including", "each", "legal", "entity", "and", "individual", "comprising", "the", "Sellers", ")", "are", "each", "a", "Party", "and", "both", "together", "are", "the", "Parties", "."]}
{"id": "12964", "text": "Purchase Consideration. The total Purchase Consideration to be paid by the Buyer to the Sellers for the purchase of the RSA Membership Interests is NINETY-FIVE MILLION FIVE HUNDRED THOUSAND ( 95,500,000 ) shares of PAYM restricted common stock. The Purchase Consideration will be immediately and unconditionally issued to the Sellers in proportion to their pro rata membership interests in RSA, as shown on an Exhibit to this Agreement.", "ner": [[31, 35, "Shares"], [60, 61, "Ratio"]], "tokenized_text": ["Purchase", "Consideration", ".", "The", "total", "Purchase", "Consideration", "to", "be", "paid", "by", "the", "Buyer", "to", "the", "Sellers", "for", "the", "purchase", "of", "the", "RSA", "Membership", "Interests", "is", "NINETY-FIVE", "MILLION", "FIVE", "HUNDRED", "THOUSAND", "(", "95", ",", "500", ",", "000", ")", "shares", "of", "PAYM", "restricted", "common", "stock", ".", "The", "Purchase", "Consideration", "will", "be", "immediately", "and", "unconditionally", "issued", "to", "the", "Sellers", "in", "proportion", "to", "their", "pro", "rata", "membership", "interests", "in", "RSA", ",", "as", "shown", "on", "an", "Exhibit", "to", "this", "Agreement", "."]}
{"id": "12965", "text": "Authority. The Sellers have taken all necessary action(s) to authorize the execution, delivery and performance of this Agreement and have adequate power, authority and legal right to enter into, execute, deliver and perform this Agreement and to consummate the transactions contemplated hereby. This Agreement is legal, valid and binding with respect to each of the Sellers and RSA, and is enforceable in accordance with its terms. On execution, delivery and performance of this Agreement in accordance with its terms, the Buyer will own one hundred percent ( 100% ) of the RSA Membership Interests free of all claims, liens, encumbrances and liabilities.", "ner": [[101, 102, "Percentage"]], "tokenized_text": ["Authority", ".", "The", "Sellers", "have", "taken", "all", "necessary", "action", "(", "s", ")", "to", "authorize", "the", "execution", ",", "delivery", "and", "performance", "of", "this", "Agreement", "and", "have", "adequate", "power", ",", "authority", "and", "legal", "right", "to", "enter", "into", ",", "execute", ",", "deliver", "and", "perform", "this", "Agreement", "and", "to", "consummate", "the", "transactions", "contemplated", "hereby", ".", "This", "Agreement", "is", "legal", ",", "valid", "and", "binding", "with", "respect", "to", "each", "of", "the", "Sellers", "and", "RSA", ",", "and", "is", "enforceable", "in", "accordance", "with", "its", "terms", ".", "On", "execution", ",", "delivery", "and", "performance", "of", "this", "Agreement", "in", "accordance", "with", "its", "terms", ",", "the", "Buyer", "will", "own", "one", "hundred", "percent", "(", "100", "%", ")", "of", "the", "RSA", "Membership", "Interests", "free", "of", "all", "claims", ",", "liens", ",", "encumbrances", "and", "liabilities", "."]}
{"id": "12966", "text": "Due Diligence: The Sellers are Accredited Investors (as such term is defined under the Securities Act of 1933 , as amended) and have reviewed the public filings of PAYM, including PAYMs annual report on Form 10-K for the year ended December 31, 2015 and PAYMs most recent quarterly report on Form 10-Q for the period ended September 30, 2016. The Seller(s) and their representatives, if any, have been given the opportunity to conduct satisfactory due diligence of PAYM, and have been given the opportunity to speak with PAYM management during their due diligence.", "ner": [[16, 19, "Act"]], "tokenized_text": ["Due", "Diligence", ":", "The", "Sellers", "are", "Accredited", "Investors", "(", "as", "such", "term", "is", "defined", "under", "the", "Securities", "Act", "of", "1933", ",", "as", "amended", ")", "and", "have", "reviewed", "the", "public", "filings", "of", "PAYM", ",", "including", "PAYMs", "annual", "report", "on", "Form", "10-K", "for", "the", "year", "ended", "December", "31", ",", "2015", "and", "PAYMs", "most", "recent", "quarterly", "report", "on", "Form", "10-Q", "for", "the", "period", "ended", "September", "30", ",", "2016", ".", "The", "Seller", "(", "s", ")", "and", "their", "representatives", ",", "if", "any", ",", "have", "been", "given", "the", "opportunity", "to", "conduct", "satisfactory", "due", "diligence", "of", "PAYM", ",", "and", "have", "been", "given", "the", "opportunity", "to", "speak", "with", "PAYM", "management", "during", "their", "due", "diligence", "."]}
{"id": "12969", "text": "Edward A. Cespedes, Manager", "ner": [], "tokenized_text": ["Edward", "A", ".", "Cespedes", ",", "Manager"]}
{"id": "12970", "text": "RAW LLC, DONALD SMITH, MANAGER", "ner": [[3, 4, "Role"], [6, 6, "Role"]], "tokenized_text": ["RAW", "LLC", ",", "DONALD", "SMITH", ",", "MANAGER"]}
{"id": "12973", "text": "EAC Management, LLC, ATTN : Edward A. Cespedes", "ner": [[7, 10, "PII_Ref"]], "tokenized_text": ["EAC", "Management", ",", "LLC", ",", "ATTN", ":", "Edward", "A", ".", "Cespedes"]}
{"id": "12974", "text": "Address: 5961 NE 18th Terrace, Ft. Laud., Fl 33308", "ner": [[2, 13, "Address"]], "tokenized_text": ["Address", ":", "5961", "NE", "18th", "Terrace", ",", "Ft", ".", "Laud", ".", ",", "Fl", "33308"]}
{"id": "12978", "text": "224 Wyse Road, Dartmouth, Nova Scotia, Canada B3A1M9", "ner": [], "tokenized_text": ["224", "Wyse", "Road", ",", "Dartmouth", ",", "Nova", "Scotia", ",", "Canada", "B3A1M9"]}
{"id": "12979", "text": "1334 Avocado Isle, Fort Lauderdale, Fl 33315", "ner": [[0, 7, "Address"]], "tokenized_text": ["1334", "Avocado", "Isle", ",", "Fort", "Lauderdale", ",", "Fl", "33315"]}
{"id": "12980", "text": "216 Crown Street, Suite 502", "ner": [[0, 5, "Address"]], "tokenized_text": ["216", "Crown", "Street", ",", "Suite", "502"]}
{"id": "12981", "text": "New Haven, Ct. 06510", "ner": [[0, 5, "Address"]], "tokenized_text": ["New", "Haven", ",", "Ct", ".", "06510"]}
{"id": "12985", "text": "Closing Working Capital means: (a) Current Assets, less (b) Current Liabilities, determined as of the close of business on February 6, 2017 .", "ner": [], "tokenized_text": ["Closing", "Working", "Capital", "means", ":", "(", "a", ")", "Current", "Assets", ",", "less", "(", "b", ")", "Current", "Liabilities", ",", "determined", "as", "of", "the", "close", "of", "business", "on", "February", "6", ",", "2017", "."]}
{"id": "12986", "text": "Escrow Share Amount means 529,350 Consideration Shares to be deposited with the Escrow Agent and held in escrow pursuant to the Escrow Agreement.", "ner": [[4, 6, "Principal"], [23, 24, "Title"]], "tokenized_text": ["Escrow", "Share", "Amount", "means", "529", ",", "350", "Consideration", "Shares", "to", "be", "deposited", "with", "the", "Escrow", "Agent", "and", "held", "in", "escrow", "pursuant", "to", "the", "Escrow", "Agreement", "."]}
{"id": "12987", "text": "Securities Act means the Securities Act of 1933 , as amended, and the rule and regulations promulgated thereunder.", "ner": [[0, 1, "Act"], [4, 7, "Act"]], "tokenized_text": ["Securities", "Act", "means", "the", "Securities", "Act", "of", "1933", ",", "as", "amended", ",", "and", "the", "rule", "and", "regulations", "promulgated", "thereunder", "."]}
{"id": "12988", "text": "(b) all PTO owed under applicable law to employees of the Seller at the Closing upon termination of employment with Seller, which PTO accruals as of February 6, 2017 are as set forth on Section 2.03(b) of the Disclosure Schedule;", "ner": [[29, 32, "TerminationDate"]], "tokenized_text": ["(", "b", ")", "all", "PTO", "owed", "under", "applicable", "law", "to", "employees", "of", "the", "Seller", "at", "the", "Closing", "upon", "termination", "of", "employment", "with", "Seller", ",", "which", "PTO", "accruals", "as", "of", "February", "6", ",", "2017", "are", "as", "set", "forth", "on", "Section", "2", ".", "03", "(", "b", ")", "of", "the", "Disclosure", "Schedule", ";"]}
{"id": "12989", "text": "Section 4.04 Unaudited Financial Statements. Complete copies of the unaudited financial statements consisting of the balance sheet of the Business as at December 31, 2016 and 2015 and the related statements of income and retained earnings, stockholders' equity and cash flow for the years then ended (the Unaudited Financial Statements) have been delivered to Buyer. The Unaudited Financial Statements have been prepared in accordance with GAAP applied on a consistent basis throughout the period involved, subject to normal and recurring year-end adjustments (the effect of which will not be materially adverse), the absence of notes (that, if presented, would not differ materially from those presented in audited financial statements prepared in accordance with GAAP) and adjustments related to stock-based compensation, preferred warrant expenses, discounts of convertible debt or accrued income tax assets and liabilities. The Unaudited Financial Statements are based on the books and records of the Business, and fairly present in all material respects the financial condition of the Business as of the respective dates they were prepared and the results of the operations of the Business for the periods indicated. The balance sheet of the Business as of December 31, 2016 is referred to herein as the Balance Sheet and the date thereof as the Balance Sheet Date. Seller maintains a standard system of accounting for the Business established and administered in accordance with GAAP, with the exception to FASB ASC 718 Compensation Stock Compensation, FASB ASC 505-50 Accounting for Equity Instrument that are Issued to Other than Employees for Acquiring, or in Conjunction with Selling,", "ner": [], "tokenized_text": ["Section", "4", ".", "04", "Unaudited", "Financial", "Statements", ".", "Complete", "copies", "of", "the", "unaudited", "financial", "statements", "consisting", "of", "the", "balance", "sheet", "of", "the", "Business", "as", "at", "December", "31", ",", "2016", "and", "2015", "and", "the", "related", "statements", "of", "income", "and", "retained", "earnings", ",", "stockholders", "'", "equity", "and", "cash", "flow", "for", "the", "years", "then", "ended", "(", "the", "Unaudited", "Financial", "Statements", ")", "have", "been", "delivered", "to", "Buyer", ".", "The", "Unaudited", "Financial", "Statements", "have", "been", "prepared", "in", "accordance", "with", "GAAP", "applied", "on", "a", "consistent", "basis", "throughout", "the", "period", "involved", ",", "subject", "to", "normal", "and", "recurring", "year-end", "adjustments", "(", "the", "effect", "of", "which", "will", "not", "be", "materially", "adverse", ")", ",", "the", "absence", "of", "notes", "(", "that", ",", "if", "presented", ",", "would", "not", "differ", "materially", "from", "those", "presented", "in", "audited", "financial", "statements", "prepared", "in", "accordance", "with", "GAAP", ")", "and", "adjustments", "related", "to", "stock-based", "compensation", ",", "preferred", "warrant", "expenses", ",", "discounts", "of", "convertible", "debt", "or", "accrued", "income", "tax", "assets", "and", "liabilities", ".", "The", "Unaudited", "Financial", "Statements", "are", "based", "on", "the", "books", "and", "records", "of", "the", "Business", ",", "and", "fairly", "present", "in", "all", "material", "respects", "the", "financial", "condition", "of", "the", "Business", "as", "of", "the", "respective", "dates", "they", "were", "prepared", "and", "the", "results", "of", "the", "operations", "of", "the", "Business", "for", "the", "periods", "indicated", ".", "The", "balance", "sheet", "of", "the", "Business", "as", "of", "December", "31", ",", "2016", "is", "referred", "to", "herein", "as", "the", "Balance", "Sheet", "and", "the", "date", "thereof", "as", "the", "Balance", "Sheet", "Date", ".", "Seller", "maintains", "a", "standard", "system", "of", "accounting", "for", "the", "Business", "established", "and", "administered", "in", "accordance", "with", "GAAP", ",", "with", "the", "exception", "to", "FASB", "ASC", "718", "Compensation", "Stock", "Compensation", ",", "FASB", "ASC", "505-50", "Accounting", "for", "Equity", "Instrument", "that", "are", "Issued", "to", "Other", "than", "Employees", "for", "Acquiring", ",", "or", "in", "Conjunction", "with", "Selling", ","]}
{"id": "12994", "text": "Section 6.14 Transfer Taxes. All transfer , documentary, sales, use, stamp, registration, value added and other such Taxes and fees (including any penalties and interest) incurred in connection with this Agreement and the other Transaction Documents (including any real property transfer Tax and any other similar Tax) shall be divided equally between Buyer and Seller and paid by Buyer when due. The parties shall cooperate to timely file any Tax Return or other document with respect to such Taxes or fees, and obtain any available exemption reasonably available with respect to such Taxes or fees.", "ner": [], "tokenized_text": ["Section", "6", ".", "14", "Transfer", "Taxes", ".", "All", "transfer", ",", "documentary", ",", "sales", ",", "use", ",", "stamp", ",", "registration", ",", "value", "added", "and", "other", "such", "Taxes", "and", "fees", "(", "including", "any", "penalties", "and", "interest", ")", "incurred", "in", "connection", "with", "this", "Agreement", "and", "the", "other", "Transaction", "Documents", "(", "including", "any", "real", "property", "transfer", "Tax", "and", "any", "other", "similar", "Tax", ")", "shall", "be", "divided", "equally", "between", "Buyer", "and", "Seller", "and", "paid", "by", "Buyer", "when", "due", ".", "The", "parties", "shall", "cooperate", "to", "timely", "file", "any", "Tax", "Return", "or", "other", "document", "with", "respect", "to", "such", "Taxes", "or", "fees", ",", "and", "obtain", "any", "available", "exemption", "reasonably", "available", "with", "respect", "to", "such", "Taxes", "or", "fees", "."]}
{"id": "12996", "text": "2400 Sand Hill Road, Suite 150", "ner": [[0, 6, "Address"]], "tokenized_text": ["2400", "Sand", "Hill", "Road", ",", "Suite", "150"]}
{"id": "12997", "text": "500 President Clinton Avenue", "ner": [[0, 3, "Address"]], "tokenized_text": ["500", "President", "Clinton", "Avenue"]}
{"id": "13001", "text": "(a) This Agreement shall be governed by and construed in accordance with the internal laws of the State of Nevada without giving effect to any choice or conflict of law provision or rule (whether of the State of Nevada or any other jurisdiction).", "ner": [[19, 21, "Court"]], "tokenized_text": ["(", "a", ")", "This", "Agreement", "shall", "be", "governed", "by", "and", "construed", "in", "accordance", "with", "the", "internal", "laws", "of", "the", "State", "of", "Nevada", "without", "giving", "effect", "to", "any", "choice", "or", "conflict", "of", "law", "provision", "or", "rule", "(", "whether", "of", "the", "State", "of", "Nevada", "or", "any", "other", "jurisdiction", ")", "."]}
{"id": "13002", "text": "This Securities Purchase Agreement (this Agreement) is dated as of January 12, 2017 , between Naked Brand Group Inc. , a Nevada corporation (the Company), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a Purchaser and collectively the Purchasers).", "ner": [[1, 3, "Title"], [12, 15, "EffectiveDate"], [18, 22, "Parties"]], "tokenized_text": ["This", "Securities", "Purchase", "Agreement", "(", "this", "Agreement", ")", "is", "dated", "as", "of", "January", "12", ",", "2017", ",", "between", "Naked", "Brand", "Group", "Inc", ".", ",", "a", "Nevada", "corporation", "(", "the", "Company", ")", ",", "and", "each", "purchaser", "identified", "on", "the", "signature", "pages", "hereto", "(", "each", ",", "including", "its", "successors", "and", "assigns", ",", "a", "Purchaser", "and", "collectively", "the", "Purchasers", ")", "."]}
{"id": "13004", "text": "Affiliate means any Person that, directly or indirectly through one or more intermediaries, controls or is controlled by or is under common control with a Person as such terms are used in and construed under Rule 405 under the Securities Act . <sup> &lt; br/&gt;", "ner": [[37, 38, "Regulation"], [41, 42, "Act"]], "tokenized_text": ["Affiliate", "means", "any", "Person", "that", ",", "directly", "or", "indirectly", "through", "one", "or", "more", "intermediaries", ",", "controls", "or", "is", "controlled", "by", "or", "is", "under", "common", "control", "with", "a", "Person", "as", "such", "terms", "are", "used", "in", "and", "construed", "under", "Rule", "405", "under", "the", "Securities", "Act", ".", "<", "sup", ">", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "13005", "text": "Prospectus Supplement means the supplement to the Prospectus complying with Rule 424(b) of the Securities Act that is filed with the Commission and delivered by the Company to each Purchaser at the Closing.", "ner": [[10, 14, "Regulation"], [17, 18, "Act"]], "tokenized_text": ["Prospectus", "Supplement", "means", "the", "supplement", "to", "the", "Prospectus", "complying", "with", "Rule", "424", "(", "b", ")", "of", "the", "Securities", "Act", "that", "is", "filed", "with", "the", "Commission", "and", "delivered", "by", "the", "Company", "to", "each", "Purchaser", "at", "the", "Closing", "."]}
{"id": "13007", "text": "Rule 424 means Rule 424 promulgated by the Commission pursuant to the Securities Act , as such Rule may be amended or interpreted from time to time, or any similar rule or regulation hereafter adopted by the Commission having substantially the same purpose and effect as such Rule.", "ner": [[0, 1, "Regulation"], [12, 13, "Act"]], "tokenized_text": ["Rule", "424", "means", "Rule", "424", "promulgated", "by", "the", "Commission", "pursuant", "to", "the", "Securities", "Act", ",", "as", "such", "Rule", "may", "be", "amended", "or", "interpreted", "from", "time", "to", "time", ",", "or", "any", "similar", "rule", "or", "regulation", "hereafter", "adopted", "by", "the", "Commission", "having", "substantially", "the", "same", "purpose", "and", "effect", "as", "such", "Rule", "."]}
{"id": "13012", "text": "(c)The Shares to be issued and sold by the Company to the Purchasers hereunder have been duly authorized and the Shares, when issued and delivered against payment therefor as provided herein, will be validly issued, fully paid and non-assessable and free of any preemptive or similar rights. The Company has prepared and filed the Registration Statement in conformity with the requirements of the Securities Act , which became effective on October 19, 2016 (the Effective Date), including the Prospectus, and such amendments and supplements thereto as may have been required to the date of this Agreement in connection with the sale of the Shares hereunder. The Registration Statement is effective under the Securities Act and no stop order preventing or suspending the effectiveness of the Registration Statement or suspending or preventing the use of the Prospectus has been issued by the Commission and no proceedings for that purpose have been instituted or, to the knowledge of the Company, are threatened by the Commission. The Company, if required by the rules and regulations of the Commission, proposes to file the Prospectus, with the Commission pursuant to Rule 424(b) in relation to the sale of the Shares. At the time the Registration Statement and any amendments thereto became effective, at the date of this Agreement and at the Closing Date, the Registration Statement and any amendments thereto conformed and will conform in all material respects to the requirements of the Securities Act and did not and will not contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein not misleading; and the Prospectus and any amendments or supplements thereto, at time the Prospectus or any amendment or supplement thereto was issued and at the Closing Date, conformed and will conform in all material respects to the requirements of the Securities Act and did not and will not contain an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading, and will conform to the description thereof contained in the Registration Statement and the Prospectus.", "ner": [[70, 71, "Act"], [77, 80, "EffectiveDate"], [204, 208, "Regulation"]], "tokenized_text": ["(", "c", ")", "The", "Shares", "to", "be", "issued", "and", "sold", "by", "the", "Company", "to", "the", "Purchasers", "hereunder", "have", "been", "duly", "authorized", "and", "the", "Shares", ",", "when", "issued", "and", "delivered", "against", "payment", "therefor", "as", "provided", "herein", ",", "will", "be", "validly", "issued", ",", "fully", "paid", "and", "non-assessable", "and", "free", "of", "any", "preemptive", "or", "similar", "rights", ".", "The", "Company", "has", "prepared", "and", "filed", "the", "Registration", "Statement", "in", "conformity", "with", "the", "requirements", "of", "the", "Securities", "Act", ",", "which", "became", "effective", "on", "October", "19", ",", "2016", "(", "the", "Effective", "Date", ")", ",", "including", "the", "Prospectus", ",", "and", "such", "amendments", "and", "supplements", "thereto", "as", "may", "have", "been", "required", "to", "the", "date", "of", "this", "Agreement", "in", "connection", "with", "the", "sale", "of", "the", "Shares", "hereunder", ".", "The", "Registration", "Statement", "is", "effective", "under", "the", "Securities", "Act", "and", "no", "stop", "order", "preventing", "or", "suspending", "the", "effectiveness", "of", "the", "Registration", "Statement", "or", "suspending", "or", "preventing", "the", "use", "of", "the", "Prospectus", "has", "been", "issued", "by", "the", "Commission", "and", "no", "proceedings", "for", "that", "purpose", "have", "been", "instituted", "or", ",", "to", "the", "knowledge", "of", "the", "Company", ",", "are", "threatened", "by", "the", "Commission", ".", "The", "Company", ",", "if", "required", "by", "the", "rules", "and", "regulations", "of", "the", "Commission", ",", "proposes", "to", "file", "the", "Prospectus", ",", "with", "the", "Commission", "pursuant", "to", "Rule", "424", "(", "b", ")", "in", "relation", "to", "the", "sale", "of", "the", "Shares", ".", "At", "the", "time", "the", "Registration", "Statement", "and", "any", "amendments", "thereto", "became", "effective", ",", "at", "the", "date", "of", "this", "Agreement", "and", "at", "the", "Closing", "Date", ",", "the", "Registration", "Statement", "and", "any", "amendments", "thereto", "conformed", "and", "will", "conform", "in", "all", "material", "respects", "to", "the", "requirements", "of", "the", "Securities", "Act", "and", "did", "not", "and", "will", "not", "contain", "any", "untrue", "statement", "of", "a", "material", "fact", "or", "omit", "to", "state", "any", "material", "fact", "required", "to", "be", "stated", "therein", "or", "necessary", "to", "make", "the", "statements", "therein", "not", "misleading", ";", "and", "the", "Prospectus", "and", "any", "amendments", "or", "supplements", "thereto", ",", "at", "time", "the", "Prospectus", "or", "any", "amendment", "or", "supplement", "thereto", "was", "issued", "and", "at", "the", "Closing", "Date", ",", "conformed", "and", "will", "conform", "in", "all", "material", "respects", "to", "the", "requirements", "of", "the", "Securities", "Act", "and", "did", "not", "and", "will", "not", "contain", "an", "untrue", "statement", "of", "a", "material", "fact", "or", "omit", "to", "state", "a", "material", "fact", "necessary", "in", "order", "to", "make", "the", "statements", "therein", ",", "in", "light", "of", "the", "circumstances", "under", "which", "they", "were", "made", ",", "not", "misleading", ",", "and", "will", "conform", "to", "the", "description", "thereof", "contained", "in", "the", "Registration", "Statement", "and", "the", "Prospectus", "."]}
{"id": "13015", "text": "(h)The financial statements, together with the related notes and schedules, included or incorporated by reference in the Registration Statement, and the Prospectus fairly present in all material respects the financial position and the results of operations and changes in financial position of the Company and its consolidated Subsidiaries and other consolidated entities at the respective dates or for the respective periods therein specified. Such financial statements and related notes and schedules have been prepared in accordance with the generally accepted accounting principles in the United States (GAAP) applied on a consistent basis throughout the periods involved except as may be otherwise specified in such financial statements or the notes thereto and except that unaudited financial statements may not contain all footnotes required by GAAP. Such financial statements, together with the related notes and schedules, included or incorporated by reference in the Registration Statement and the Prospectus comply in all material respects with the Securities Act , the Exchange Act , and the Rules and Regulations and the rules and regulations under the Exchange Act . No other financial statements or supporting schedules or exhibits are required by the Securities Act or the Rules and Regulations to be described, or included or incorporated by reference in the Registration Statement or the Prospectus.", "ner": [[94, 94, "Regulation"], [165, 166, "Act"], [169, 170, "Act"], [174, 176, "Regulation"]], "tokenized_text": ["(", "h", ")", "The", "financial", "statements", ",", "together", "with", "the", "related", "notes", "and", "schedules", ",", "included", "or", "incorporated", "by", "reference", "in", "the", "Registration", "Statement", ",", "and", "the", "Prospectus", "fairly", "present", "in", "all", "material", "respects", "the", "financial", "position", "and", "the", "results", "of", "operations", "and", "changes", "in", "financial", "position", "of", "the", "Company", "and", "its", "consolidated", "Subsidiaries", "and", "other", "consolidated", "entities", "at", "the", "respective", "dates", "or", "for", "the", "respective", "periods", "therein", "specified", ".", "Such", "financial", "statements", "and", "related", "notes", "and", "schedules", "have", "been", "prepared", "in", "accordance", "with", "the", "generally", "accepted", "accounting", "principles", "in", "the", "United", "States", "(", "GAAP", ")", "applied", "on", "a", "consistent", "basis", "throughout", "the", "periods", "involved", "except", "as", "may", "be", "otherwise", "specified", "in", "such", "financial", "statements", "or", "the", "notes", "thereto", "and", "except", "that", "unaudited", "financial", "statements", "may", "not", "contain", "all", "footnotes", "required", "by", "GAAP", ".", "Such", "financial", "statements", ",", "together", "with", "the", "related", "notes", "and", "schedules", ",", "included", "or", "incorporated", "by", "reference", "in", "the", "Registration", "Statement", "and", "the", "Prospectus", "comply", "in", "all", "material", "respects", "with", "the", "Securities", "Act", ",", "the", "Exchange", "Act", ",", "and", "the", "Rules", "and", "Regulations", "and", "the", "rules", "and", "regulations", "under", "the", "Exchange", "Act", ".", "No", "other", "financial", "statements", "or", "supporting", "schedules", "or", "exhibits", "are", "required", "by", "the", "Securities", "Act", "or", "the", "Rules", "and", "Regulations", "to", "be", "described", ",", "or", "included", "or", "incorporated", "by", "reference", "in", "the", "Registration", "Statement", "or", "the", "Prospectus", "."]}
{"id": "13016", "text": "(l)Neither the Company nor any Subsidiary is or, after giving effect to the offering of the Shares and the application of the proceeds thereof as described in the Registration Statement and the Prospectus, will become an investment company within the meaning of the Investment Company Act of 1940 , as amended, and the rules and regulations of the Commission thereunder.", "ner": [[48, 52, "Act"]], "tokenized_text": ["(", "l", ")", "Neither", "the", "Company", "nor", "any", "Subsidiary", "is", "or", ",", "after", "giving", "effect", "to", "the", "offering", "of", "the", "Shares", "and", "the", "application", "of", "the", "proceeds", "thereof", "as", "described", "in", "the", "Registration", "Statement", "and", "the", "Prospectus", ",", "will", "become", "an", "investment", "company", "within", "the", "meaning", "of", "the", "Investment", "Company", "Act", "of", "1940", ",", "as", "amended", ",", "and", "the", "rules", "and", "regulations", "of", "the", "Commission", "thereunder", "."]}
{"id": "13017", "text": "(f)Group. Such Purchaser represents that it is not a group within the meaning of Section 13d-5 under the Exchange Act with any holder or beneficial owner of the Companys securities and in calculating and reporting such Purchasers beneficial ownership, such Purchaser is not required under the rules and regulations promulgated under the Exchange Act to include the beneficial ownership of the securities of the Company held by another holder or beneficial owner of the Companys securities.", "ner": [[18, 19, "Regulation"], [22, 23, "Act"]], "tokenized_text": ["(", "f", ")", "Group", ".", "Such", "Purchaser", "represents", "that", "it", "is", "not", "a", "group", "within", "the", "meaning", "of", "Section", "13d-5", "under", "the", "Exchange", "Act", "with", "any", "holder", "or", "beneficial", "owner", "of", "the", "Companys", "securities", "and", "in", "calculating", "and", "reporting", "such", "Purchasers", "beneficial", "ownership", ",", "such", "Purchaser", "is", "not", "required", "under", "the", "rules", "and", "regulations", "promulgated", "under", "the", "Exchange", "Act", "to", "include", "the", "beneficial", "ownership", "of", "the", "securities", "of", "the", "Company", "held", "by", "another", "holder", "or", "beneficial", "owner", "of", "the", "Companys", "securities", "."]}
{"id": "13019", "text": "4.1Integration. The Company shall not sell, offer for sale or solicit offers to buy or otherwise negotiate in respect of any security (as defined in Section 2 of the Securities Act ) that would be integrated with the offer or sale of the Shares for purposes of the rules and regulations of any Trading Market such that it would require shareholder approval prior to the closing of such other transaction unless shareholder approval is obtained before the closing of such subsequent transaction.", "ner": [[30, 31, "Regulation"], [34, 35, "Act"]], "tokenized_text": ["4", ".", "1Integration", ".", "The", "Company", "shall", "not", "sell", ",", "offer", "for", "sale", "or", "solicit", "offers", "to", "buy", "or", "otherwise", "negotiate", "in", "respect", "of", "any", "security", "(", "as", "defined", "in", "Section", "2", "of", "the", "Securities", "Act", ")", "that", "would", "be", "integrated", "with", "the", "offer", "or", "sale", "of", "the", "Shares", "for", "purposes", "of", "the", "rules", "and", "regulations", "of", "any", "Trading", "Market", "such", "that", "it", "would", "require", "shareholder", "approval", "prior", "to", "the", "closing", "of", "such", "other", "transaction", "unless", "shareholder", "approval", "is", "obtained", "before", "the", "closing", "of", "such", "subsequent", "transaction", "."]}
{"id": "13020", "text": "4.2Securities Laws Disclosure; Publicity. The Company shall (a) by 9:00 a.m. (New York City time) on the Trading Day immediately following the date hereof, issue a press release disclosing the material terms of the transactions contemplated hereby, and (b) file a Current Report on Form 8-K, including the Transaction Documents as exhibits thereto, with the Commission within the time required by the Exchange Act . The Company shall not publicly disclose the name of any Purchaser, or include the name of any Purchaser in any filing with the Commission or any regulatory agency or Trading Market, without the prior written consent of such Purchaser, except (a) as required by federal securities law in connection with the filing of final Transaction Documents with the Commission and (b) to the extent such disclosure is required by law or Trading Market regulations, in which case the Company shall provide the Purchasers with prior notice of such disclosure permitted under this clause (b).", "ner": [[81, 82, "Act"]], "tokenized_text": ["4", ".", "2Securities", "Laws", "Disclosure", ";", "Publicity", ".", "The", "Company", "shall", "(", "a", ")", "by", "9", ":", "00", "a", ".", "m", ".", "(", "New", "York", "City", "time", ")", "on", "the", "Trading", "Day", "immediately", "following", "the", "date", "hereof", ",", "issue", "a", "press", "release", "disclosing", "the", "material", "terms", "of", "the", "transactions", "contemplated", "hereby", ",", "and", "(", "b", ")", "file", "a", "Current", "Report", "on", "Form", "8-K", ",", "including", "the", "Transaction", "Documents", "as", "exhibits", "thereto", ",", "with", "the", "Commission", "within", "the", "time", "required", "by", "the", "Exchange", "Act", ".", "The", "Company", "shall", "not", "publicly", "disclose", "the", "name", "of", "any", "Purchaser", ",", "or", "include", "the", "name", "of", "any", "Purchaser", "in", "any", "filing", "with", "the", "Commission", "or", "any", "regulatory", "agency", "or", "Trading", "Market", ",", "without", "the", "prior", "written", "consent", "of", "such", "Purchaser", ",", "except", "(", "a", ")", "as", "required", "by", "federal", "securities", "law", "in", "connection", "with", "the", "filing", "of", "final", "Transaction", "Documents", "with", "the", "Commission", "and", "(", "b", ")", "to", "the", "extent", "such", "disclosure", "is", "required", "by", "law", "or", "Trading", "Market", "regulations", ",", "in", "which", "case", "the", "Company", "shall", "provide", "the", "Purchasers", "with", "prior", "notice", "of", "such", "disclosure", "permitted", "under", "this", "clause", "(", "b", ")", "."]}
{"id": "13021", "text": "5.9Governing Law. All questions concerning the construction, validity, enforcement and interpretation of the Transaction Documents shall be governed by and construed and enforced in accordance with the internal laws of the State of New York without regard to the conflicts of laws principles of any jurisdictions. Each party agrees that all legal proceedings concerning the interpretations, enforcement and defense of the transactions contemplated by this Agreement and any other Transaction Documents (whether brought against a party hereto or its respective affiliates, directors, officers, shareholders, partners, members, employees or agents) shall be commenced exclusively in the state and federal courts sitting in the City of New York. Each party hereby irrevocably submits to the exclusive jurisdiction of the state and federal courts sitting in the City of New York, Borough of Manhattan for the adjudication of any dispute hereunder or in connection herewith or with any transaction contemplated hereby or discussed herein (including with respect to the enforcement of any of the Transaction Documents), and hereby irrevocably waives, and agrees not to assert in any suit, action or proceeding, any claim that it is not personally subject to the jurisdiction of any such court, that such suit, action or proceeding is improper or is an inconvenient venue for such proceeding. Each party hereby irrevocably waives personal service of process and consents to process being served in any such suit, action or proceeding by mailing a copy thereof via registered or certified mail or overnight delivery (with evidence of delivery) to such party at the address in effect for notices to it under this Agreement and agrees that such service shall constitute good and sufficient service of process and notice thereof. Nothing contained herein shall be deemed to limit in any way any right to serve process in any other manner permitted by law. If either party shall commence an action, suit or proceeding to enforce any provisions of the Transaction Documents, then, the prevailing party in such action, suit or proceeding shall be reimbursed by the other party for its reasonable attorneys fees and other costs and expenses incurred with the investigation, preparation and prosecution of such action or proceeding.", "ner": [[36, 39, "Court"], [117, 120, "Court"], [140, 147, "Court"]], "tokenized_text": ["5", ".", "9Governing", "Law", ".", "All", "questions", "concerning", "the", "construction", ",", "validity", ",", "enforcement", "and", "interpretation", "of", "the", "Transaction", "Documents", "shall", "be", "governed", "by", "and", "construed", "and", "enforced", "in", "accordance", "with", "the", "internal", "laws", "of", "the", "State", "of", "New", "York", "without", "regard", "to", "the", "conflicts", "of", "laws", "principles", "of", "any", "jurisdictions", ".", "Each", "party", "agrees", "that", "all", "legal", "proceedings", "concerning", "the", "interpretations", ",", "enforcement", "and", "defense", "of", "the", "transactions", "contemplated", "by", "this", "Agreement", "and", "any", "other", "Transaction", "Documents", "(", "whether", "brought", "against", "a", "party", "hereto", "or", "its", "respective", "affiliates", ",", "directors", ",", "officers", ",", "shareholders", ",", "partners", ",", "members", ",", "employees", "or", "agents", ")", "shall", "be", "commenced", "exclusively", "in", "the", "state", "and", "federal", "courts", "sitting", "in", "the", "City", "of", "New", "York", ".", "Each", "party", "hereby", "irrevocably", "submits", "to", "the", "exclusive", "jurisdiction", "of", "the", "state", "and", "federal", "courts", "sitting", "in", "the", "City", "of", "New", "York", ",", "Borough", "of", "Manhattan", "for", "the", "adjudication", "of", "any", "dispute", "hereunder", "or", "in", "connection", "herewith", "or", "with", "any", "transaction", "contemplated", "hereby", "or", "discussed", "herein", "(", "including", "with", "respect", "to", "the", "enforcement", "of", "any", "of", "the", "Transaction", "Documents", ")", ",", "and", "hereby", "irrevocably", "waives", ",", "and", "agrees", "not", "to", "assert", "in", "any", "suit", ",", "action", "or", "proceeding", ",", "any", "claim", "that", "it", "is", "not", "personally", "subject", "to", "the", "jurisdiction", "of", "any", "such", "court", ",", "that", "such", "suit", ",", "action", "or", "proceeding", "is", "improper", "or", "is", "an", "inconvenient", "venue", "for", "such", "proceeding", ".", "Each", "party", "hereby", "irrevocably", "waives", "personal", "service", "of", "process", "and", "consents", "to", "process", "being", "served", "in", "any", "such", "suit", ",", "action", "or", "proceeding", "by", "mailing", "a", "copy", "thereof", "via", "registered", "or", "certified", "mail", "or", "overnight", "delivery", "(", "with", "evidence", "of", "delivery", ")", "to", "such", "party", "at", "the", "address", "in", "effect", "for", "notices", "to", "it", "under", "this", "Agreement", "and", "agrees", "that", "such", "service", "shall", "constitute", "good", "and", "sufficient", "service", "of", "process", "and", "notice", "thereof", ".", "Nothing", "contained", "herein", "shall", "be", "deemed", "to", "limit", "in", "any", "way", "any", "right", "to", "serve", "process", "in", "any", "other", "manner", "permitted", "by", "law", ".", "If", "either", "party", "shall", "commence", "an", "action", ",", "suit", "or", "proceeding", "to", "enforce", "any", "provisions", "of", "the", "Transaction", "Documents", ",", "then", ",", "the", "prevailing", "party", "in", "such", "action", ",", "suit", "or", "proceeding", "shall", "be", "reimbursed", "by", "the", "other", "party", "for", "its", "reasonable", "attorneys", "fees", "and", "other", "costs", "and", "expenses", "incurred", "with", "the", "investigation", ",", "preparation", "and", "prosecution", "of", "such", "action", "or", "proceeding", "."]}
{"id": "13022", "text": "EX-10.42 3 trtc_ex1042.htm FORM OF SECURITIES PURCHASE AGREEMENT", "ner": [[9, 11, "Title"]], "tokenized_text": ["EX-10", ".", "42", "3", "trtc_ex1042", ".", "htm", "FORM", "OF", "SECURITIES", "PURCHASE", "AGREEMENT"]}
{"id": "13023", "text": "This SECURITIES PURCHASE AGREEMENT (the Agreement), dated as of February 22, 2017 , is by and among Terra Tech Corp. , a Nevada corporation with headquarters located at 4700 Von Karman Ave., Suite 110, Newport Beach, CA 92660 (theCompany), and each of the investors listed on the Schedule of Buyers attached hereto (individually, a Buyer and collectively, the Buyers).", "ner": [[1, 3, "Title"], [12, 15, "EffectiveDate"], [21, 24, "Parties"]], "tokenized_text": ["This", "SECURITIES", "PURCHASE", "AGREEMENT", "(", "the", "Agreement", ")", ",", "dated", "as", "of", "February", "22", ",", "2017", ",", "is", "by", "and", "among", "Terra", "Tech", "Corp", ".", ",", "a", "Nevada", "corporation", "with", "headquarters", "located", "at", "4700", "Von", "Karman", "Ave", ".", ",", "Suite", "110", ",", "Newport", "Beach", ",", "CA", "92660", "(", "theCompany", ")", ",", "and", "each", "of", "the", "investors", "listed", "on", "the", "Schedule", "of", "Buyers", "attached", "hereto", "(", "individually", ",", "a", "Buyer", "and", "collectively", ",", "the", "Buyers", ")", "."]}
{"id": "13024", "text": "B. The Company will sell and issue the Convertible Notes (as defined below) to each Buyer pursuant to a currently effective shelf registration statement on Form S-3 (File No. 333-210673 ) (the Registration Statement), which Registration Statement has been declared effective in accordance with the Securities Act of 1933 , as amended (the 1933 Act ), by the United States Securities and Exchange Commission (the SEC).", "ner": [[34, 34, "PII_Ref"], [53, 56, "Act"]], "tokenized_text": ["B", ".", "The", "Company", "will", "sell", "and", "issue", "the", "Convertible", "Notes", "(", "as", "defined", "below", ")", "to", "each", "Buyer", "pursuant", "to", "a", "currently", "effective", "shelf", "registration", "statement", "on", "Form", "S-3", "(", "File", "No", ".", "333-210673", ")", "(", "the", "Registration", "Statement", ")", ",", "which", "Registration", "Statement", "has", "been", "declared", "effective", "in", "accordance", "with", "the", "Securities", "Act", "of", "1933", ",", "as", "amended", "(", "the", "1933", "Act", ")", ",", "by", "the", "United", "States", "Securities", "and", "Exchange", "Commission", "(", "the", "SEC", ")", "."]}
{"id": "13026", "text": "(d) Investment Purpose. Each Buyer is acquiring the Securities as principal for its own account and not with a view to or for distributing or reselling such Securities or any part thereof in violation of 1933 Act or any applicable state securities law, has no present intention of distributing any of such Securities in violation of the 1933 Act or any applicable state securities law and has no direct or indirect arrangement or understandings with any other Persons to distribute or regarding the distribution of such Securities in violation of the 1933 Act or any applicable state securities law (this representation and warranty not limiting any Buyers right to sell the Securities at any time pursuant to any registration statement registering the resale thereof or otherwise in compliance with applicable federal and state securities laws). Each Buyer is acquiring the Securities hereunder in the ordinary course of its business.", "ner": [[38, 39, "Act"]], "tokenized_text": ["(", "d", ")", "Investment", "Purpose", ".", "Each", "Buyer", "is", "acquiring", "the", "Securities", "as", "principal", "for", "its", "own", "account", "and", "not", "with", "a", "view", "to", "or", "for", "distributing", "or", "reselling", "such", "Securities", "or", "any", "part", "thereof", "in", "violation", "of", "1933", "Act", "or", "any", "applicable", "state", "securities", "law", ",", "has", "no", "present", "intention", "of", "distributing", "any", "of", "such", "Securities", "in", "violation", "of", "the", "1933", "Act", "or", "any", "applicable", "state", "securities", "law", "and", "has", "no", "direct", "or", "indirect", "arrangement", "or", "understandings", "with", "any", "other", "Persons", "to", "distribute", "or", "regarding", "the", "distribution", "of", "such", "Securities", "in", "violation", "of", "the", "1933", "Act", "or", "any", "applicable", "state", "securities", "law", "(", "this", "representation", "and", "warranty", "not", "limiting", "any", "Buyers", "right", "to", "sell", "the", "Securities", "at", "any", "time", "pursuant", "to", "any", "registration", "statement", "registering", "the", "resale", "thereof", "or", "otherwise", "in", "compliance", "with", "applicable", "federal", "and", "state", "securities", "laws", ")", ".", "Each", "Buyer", "is", "acquiring", "the", "Securities", "hereunder", "in", "the", "ordinary", "course", "of", "its", "business", "."]}
{"id": "13028", "text": "(h) Transfer or Sale. Each Buyer understands that (i) the Securities may not be offered for sale, sold, assigned or transferred unless (A) registered pursuant to the 1933 Act or (B) an exemption exists permitting such Securities to be sold, assigned or transferred without such registration; (ii) any sale of the Securities made in reliance on Rule 144 under the 1933 Act may be made only in accordance with the terms of Rule 144 under the 1933 Act and further, if Rule 144 under the 1933 Act is not applicable, any resale of the Securities under circumstances in which the seller (or the Person through whom the sale is made) may be deemed to be an underwriter (as that term is defined in the 1933 Act ) may require compliance with some other exemption under the 1933 Act or the rules and regulations of the SEC thereunder.", "ner": [[36, 37, "Act"], [71, 72, "Regulation"]], "tokenized_text": ["(", "h", ")", "Transfer", "or", "Sale", ".", "Each", "Buyer", "understands", "that", "(", "i", ")", "the", "Securities", "may", "not", "be", "offered", "for", "sale", ",", "sold", ",", "assigned", "or", "transferred", "unless", "(", "A", ")", "registered", "pursuant", "to", "the", "1933", "Act", "or", "(", "B", ")", "an", "exemption", "exists", "permitting", "such", "Securities", "to", "be", "sold", ",", "assigned", "or", "transferred", "without", "such", "registration", ";", "(", "ii", ")", "any", "sale", "of", "the", "Securities", "made", "in", "reliance", "on", "Rule", "144", "under", "the", "1933", "Act", "may", "be", "made", "only", "in", "accordance", "with", "the", "terms", "of", "Rule", "144", "under", "the", "1933", "Act", "and", "further", ",", "if", "Rule", "144", "under", "the", "1933", "Act", "is", "not", "applicable", ",", "any", "resale", "of", "the", "Securities", "under", "circumstances", "in", "which", "the", "seller", "(", "or", "the", "Person", "through", "whom", "the", "sale", "is", "made", ")", "may", "be", "deemed", "to", "be", "an", "underwriter", "(", "as", "that", "term", "is", "defined", "in", "the", "1933", "Act", ")", "may", "require", "compliance", "with", "some", "other", "exemption", "under", "the", "1933", "Act", "or", "the", "rules", "and", "regulations", "of", "the", "SEC", "thereunder", "."]}
{"id": "13029", "text": "(d) Issuance of Securities; Registration Statement . The issuance of the Convertible Notes are duly authorized and, upon issuance in accordance with the terms of the Transaction Documents, shall be validly issued, fully paid and non-assessable and free from all preemptive or similar rights, mortgages, defects, claims, liens, pledges, charges, taxes, rights of first refusal, encumbrances, security interests and other encumbrances (collectively Liens) with respect to the issuance thereof. As of the Closing, the Company shall have reserved from its duly authorized capital stock not less than 100% of the sum of (i) the maximum number of Conversion Shares issuable pursuant to the terms of the Convertible Notes, including, without limitation, upon conversion or otherwise (assuming for such purpose that (x) such Convertible Notes are convertible at the initial Conversion Price (as defined in the Convertible Notes), (y) dividends on the Convertible Notes shall accrue through the twelve month anniversary of the Closing Date and will be converted in shares of Common Stock at a dividend conversion price equal to the initial Conversion Price and (z) any such conversion shall not take into account any limitations on the conversion of the Convertible Notes set forth in the Convertible Notes) (the Required Reserve Amount). Common Stock means (i) the Companys shares of common stock, $0.001 par value per share, and (ii) any capital stock into which such common stock shall have been changed or any share capital resulting from a reclassification of such common stock. The issuance of the Conversion Shares are duly authorized, and upon issuance in accordance with the Convertible Notes, the Conversion Shares when issued, will be validly issued, fully paid and non-assessable and free from all preemptive or similar rights, taxes or Liens with respect to the issue thereof, with the holders being entitled to all rights accorded to a holder of Common Stock. The issuance by the Company of the Securities have been registered under the 1933 Act , the Securities are being issued pursuant to the Registration Statement and all of the Securities are freely transferable and freely tradable by each of the Buyers without restriction, whether by way of registration or some exemption therefrom. The Registration Statement is effective and available for the issuance of the Securities thereunder and the Company has not received any notice that the SEC has issued or intends to issue a stop-order with respect to the Registration Statement or that the SEC otherwise has suspended or withdrawn the effectiveness of the Registration Statement, either temporarily or permanently, or intends or has threatened in writing to do so. The Plan of Distribution section under the Registration Statement permits the issuance and sale of the Securities hereunder and as contemplated by the other Transaction Documents. Upon receipt of the Securities, each of the Buyers will have good and marketable title to the Securities. The Registration Statement and any prospectus included therein, including the Prospectus and the Prospectus Supplement, complied in all material respects with the requirements of the 1933 Act and the 1934 Act and the rules and regulations of the SEC promulgated thereunder and all other applicable laws and regulations. At the time the Registration Statement and any amendments thereto became effective, at the date of this Agreement and at each deemed effective date thereof pursuant to Rule 430B(f)(2) of the 1933 Act , the Registration Statement and any amendments thereto complied and will comply in all material respects with the requirements of the 1933 Act and did not and will not contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein not misleading. The Prospectus and any amendments or supplements thereto (including, without limitation the Prospectus Supplement), at the time the Prospectus or any amendment or supplement thereto was issued and at the Closing Date, complied, and will comply, in all material respects with the requirements of the 1933 Act and did not, and will not, contain any untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading. The Company meets all of the requirements for the use of Form S-3 under the 1933 Act for the offering and sale of the Securities contemplated by this Agreement and the other Transaction Documents, and the SEC has not notified the Company of any objection to the use of the form of the Registration Statement pursuant to Rule 401(g)(1) under the 1933 Act . The Registration Statement meets the requirements set forth in Rule 415(a)(1)(x) under the 1933 Act . At the earliest time after the filing of the Registration Statement that the Company or another offering participant made a bona fide offer (within the meaning of Rule 164(h)(2) under the 1933 Act ) relating to any of the Securities, the Company was not and is not an Ineligible Issuer (as defined in Rule 405 under the 1933 Act ). The Company (i) has not distributed any offering material in connection with the offer or sale of any of the Securities and (ii) until no Buyer holds any of the Securities, shall not distribute any offering material in connection with the offer or sale of any of the Securities to, or by, any of the Buyers (if required), in each case, other than the Registration Statement, the Prospectus or the Prospectus Supplement. The offering of the Securities have been registered with the SEC on Form S-3 under the 1933 Act , and the Securities are being offered pursuant to Rule 415 promulgated under the 1933 Act .&lt; br/&gt;", "ner": [[7, 8, "Title"], [14, 15, "Shares"], [107, 108, "Percentage"], [256, 259, "Price"], [377, 378, "Act"], [568, 569, "Act"], [616, 623, "Regulation"], [845, 852, "Regulation"], [867, 877, "Regulation"], [911, 918, "Regulation"], [945, 946, "Regulation"]], "tokenized_text": ["(", "d", ")", "Issuance", "of", "Securities", ";", "Registration", "Statement", ".", "The", "issuance", "of", "the", "Convertible", "Notes", "are", "duly", "authorized", "and", ",", "upon", "issuance", "in", "accordance", "with", "the", "terms", "of", "the", "Transaction", "Documents", ",", "shall", "be", "validly", "issued", ",", "fully", "paid", "and", "non-assessable", "and", "free", "from", "all", "preemptive", "or", "similar", "rights", ",", "mortgages", ",", "defects", ",", "claims", ",", "liens", ",", "pledges", ",", "charges", ",", "taxes", ",", "rights", "of", "first", "refusal", ",", "encumbrances", ",", "security", "interests", "and", "other", "encumbrances", "(", "collectively", "Liens", ")", "with", "respect", "to", "the", "issuance", "thereof", ".", "As", "of", "the", "Closing", ",", "the", "Company", "shall", "have", "reserved", "from", "its", "duly", "authorized", "capital", "stock", "not", "less", "than", "100", "%", "of", "the", "sum", "of", "(", "i", ")", "the", "maximum", "number", "of", "Conversion", "Shares", "issuable", "pursuant", "to", "the", "terms", "of", "the", "Convertible", "Notes", ",", "including", ",", "without", "limitation", ",", "upon", "conversion", "or", "otherwise", "(", "assuming", "for", "such", "purpose", "that", "(", "x", ")", "such", "Convertible", "Notes", "are", "convertible", "at", "the", "initial", "Conversion", "Price", "(", "as", "defined", "in", "the", "Convertible", "Notes", ")", ",", "(", "y", ")", "dividends", "on", "the", "Convertible", "Notes", "shall", "accrue", "through", "the", "twelve", "month", "anniversary", "of", "the", "Closing", "Date", "and", "will", "be", "converted", "in", "shares", "of", "Common", "Stock", "at", "a", "dividend", "conversion", "price", "equal", "to", "the", "initial", "Conversion", "Price", "and", "(", "z", ")", "any", "such", "conversion", "shall", "not", "take", "into", "account", "any", "limitations", "on", "the", "conversion", "of", "the", "Convertible", "Notes", "set", "forth", "in", "the", "Convertible", "Notes", ")", "(", "the", "Required", "Reserve", "Amount", ")", ".", "Common", "Stock", "means", "(", "i", ")", "the", "Companys", "shares", "of", "common", "stock", ",", "$", "0", ".", "001", "par", "value", "per", "share", ",", "and", "(", "ii", ")", "any", "capital", "stock", "into", "which", "such", "common", "stock", "shall", "have", "been", "changed", "or", "any", "share", "capital", "resulting", "from", "a", "reclassification", "of", "such", "common", "stock", ".", "The", "issuance", "of", "the", "Conversion", "Shares", "are", "duly", "authorized", ",", "and", "upon", "issuance", "in", "accordance", "with", "the", "Convertible", "Notes", ",", "the", "Conversion", "Shares", "when", "issued", ",", "will", "be", "validly", "issued", ",", "fully", "paid", "and", "non-assessable", "and", "free", "from", "all", "preemptive", "or", "similar", "rights", ",", "taxes", "or", "Liens", "with", "respect", "to", "the", "issue", "thereof", ",", "with", "the", "holders", "being", "entitled", "to", "all", "rights", "accorded", "to", "a", "holder", "of", "Common", "Stock", ".", "The", "issuance", "by", "the", "Company", "of", "the", "Securities", "have", "been", "registered", "under", "the", "1933", "Act", ",", "the", "Securities", "are", "being", "issued", "pursuant", "to", "the", "Registration", "Statement", "and", "all", "of", "the", "Securities", "are", "freely", "transferable", "and", "freely", "tradable", "by", "each", "of", "the", "Buyers", "without", "restriction", ",", "whether", "by", "way", "of", "registration", "or", "some", "exemption", "therefrom", ".", "The", "Registration", "Statement", "is", "effective", "and", "available", "for", "the", "issuance", "of", "the", "Securities", "thereunder", "and", "the", "Company", "has", "not", "received", "any", "notice", "that", "the", "SEC", "has", "issued", "or", "intends", "to", "issue", "a", "stop-order", "with", "respect", "to", "the", "Registration", "Statement", "or", "that", "the", "SEC", "otherwise", "has", "suspended", "or", "withdrawn", "the", "effectiveness", "of", "the", "Registration", "Statement", ",", "either", "temporarily", "or", "permanently", ",", "or", "intends", "or", "has", "threatened", "in", "writing", "to", "do", "so", ".", "The", "Plan", "of", "Distribution", "section", "under", "the", "Registration", "Statement", "permits", "the", "issuance", "and", "sale", "of", "the", "Securities", "hereunder", "and", "as", "contemplated", "by", "the", "other", "Transaction", "Documents", ".", "Upon", "receipt", "of", "the", "Securities", ",", "each", "of", "the", "Buyers", "will", "have", "good", "and", "marketable", "title", "to", "the", "Securities", ".", "The", "Registration", "Statement", "and", "any", "prospectus", "included", "therein", ",", "including", "the", "Prospectus", "and", "the", "Prospectus", "Supplement", ",", "complied", "in", "all", "material", "respects", "with", "the", "requirements", "of", "the", "1933", "Act", "and", "the", "1934", "Act", "and", "the", "rules", "and", "regulations", "of", "the", "SEC", "promulgated", "thereunder", "and", "all", "other", "applicable", "laws", "and", "regulations", ".", "At", "the", "time", "the", "Registration", "Statement", "and", "any", "amendments", "thereto", "became", "effective", ",", "at", "the", "date", "of", "this", "Agreement", "and", "at", "each", "deemed", "effective", "date", "thereof", "pursuant", "to", "Rule", "430B", "(", "f", ")", "(", "2", ")", "of", "the", "1933", "Act", ",", "the", "Registration", "Statement", "and", "any", "amendments", "thereto", "complied", "and", "will", "comply", "in", "all", "material", "respects", "with", "the", "requirements", "of", "the", "1933", "Act", "and", "did", "not", "and", "will", "not", "contain", "any", "untrue", "statement", "of", "a", "material", "fact", "or", "omit", "to", "state", "any", "material", "fact", "required", "to", "be", "stated", "therein", "or", "necessary", "to", "make", "the", "statements", "therein", "not", "misleading", ".", "The", "Prospectus", "and", "any", "amendments", "or", "supplements", "thereto", "(", "including", ",", "without", "limitation", "the", "Prospectus", "Supplement", ")", ",", "at", "the", "time", "the", "Prospectus", "or", "any", "amendment", "or", "supplement", "thereto", "was", "issued", "and", "at", "the", "Closing", "Date", ",", "complied", ",", "and", "will", "comply", ",", "in", "all", "material", "respects", "with", "the", "requirements", "of", "the", "1933", "Act", "and", "did", "not", ",", "and", "will", "not", ",", "contain", "any", "untrue", "statement", "of", "a", "material", "fact", "or", "omit", "to", "state", "a", "material", "fact", "necessary", "in", "order", "to", "make", "the", "statements", "therein", ",", "in", "light", "of", "the", "circumstances", "under", "which", "they", "were", "made", ",", "not", "misleading", ".", "The", "Company", "meets", "all", "of", "the", "requirements", "for", "the", "use", "of", "Form", "S-3", "under", "the", "1933", "Act", "for", "the", "offering", "and", "sale", "of", "the", "Securities", "contemplated", "by", "this", "Agreement", "and", "the", "other", "Transaction", "Documents", ",", "and", "the", "SEC", "has", "not", "notified", "the", "Company", "of", "any", "objection", "to", "the", "use", "of", "the", "form", "of", "the", "Registration", "Statement", "pursuant", "to", "Rule", "401", "(", "g", ")", "(", "1", ")", "under", "the", "1933", "Act", ".", "The", "Registration", "Statement", "meets", "the", "requirements", "set", "forth", "in", "Rule", "415", "(", "a", ")", "(", "1", ")", "(", "x", ")", "under", "the", "1933", "Act", ".", "At", "the", "earliest", "time", "after", "the", "filing", "of", "the", "Registration", "Statement", "that", "the", "Company", "or", "another", "offering", "participant", "made", "a", "bona", "fide", "offer", "(", "within", "the", "meaning", "of", "Rule", "164", "(", "h", ")", "(", "2", ")", "under", "the", "1933", "Act", ")", "relating", "to", "any", "of", "the", "Securities", ",", "the", "Company", "was", "not", "and", "is", "not", "an", "Ineligible", "Issuer", "(", "as", "defined", "in", "Rule", "405", "under", "the", "1933", "Act", ")", ".", "The", "Company", "(", "i", ")", "has", "not", "distributed", "any", "offering", "material", "in", "connection", "with", "the", "offer", "or", "sale", "of", "any", "of", "the", "Securities", "and", "(", "ii", ")", "until", "no", "Buyer", "holds", "any", "of", "the", "Securities", ",", "shall", "not", "distribute", "any", "offering", "material", "in", "connection", "with", "the", "offer", "or", "sale", "of", "any", "of", "the", "Securities", "to", ",", "or", "by", ",", "any", "of", "the", "Buyers", "(", "if", "required", ")", ",", "in", "each", "case", ",", "other", "than", "the", "Registration", "Statement", ",", "the", "Prospectus", "or", "the", "Prospectus", "Supplement", ".", "The", "offering", "of", "the", "Securities", "have", "been", "registered", "with", "the", "SEC", "on", "Form", "S-3", "under", "the", "1933", "Act", ",", "and", "the", "Securities", "are", "being", "offered", "pursuant", "to", "Rule", "415", "promulgated", "under", "the", "1933", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "13034", "text": "(dd) Sarbanes-Oxley Act. The Company is in compliance with any and all applicable requirements of the Sarbanes-Oxley Act of 2002 that are effective as of the date hereof, and any and all applicable rules and regulations promulgated by the SEC thereunder that are effective as of the date hereof.", "ner": [[3, 4, "Act"], [19, 22, "Act"]], "tokenized_text": ["(", "dd", ")", "Sarbanes-Oxley", "Act", ".", "The", "Company", "is", "in", "compliance", "with", "any", "and", "all", "applicable", "requirements", "of", "the", "Sarbanes-Oxley", "Act", "of", "2002", "that", "are", "effective", "as", "of", "the", "date", "hereof", ",", "and", "any", "and", "all", "applicable", "rules", "and", "regulations", "promulgated", "by", "the", "SEC", "thereunder", "that", "are", "effective", "as", "of", "the", "date", "hereof", "."]}
{"id": "13035", "text": "(i) Except as provided in this Agreement and other than periodic reports required to be filed pursuant to the 1934 Act, the Company shall not file with the SEC any amendment to the Registration Statement that relates to the Buyer, this Agreement or the other Transaction Documents or the transactions contemplated hereby or thereby or file with the SEC any Prospectus Supplement that relates to the Buyer, this Agreement or the other Transaction Documents or the transactions contemplated hereby or thereby with respect to which (a) the Buyer shall not previously have been advised, (b) the Company shall not have given due consideration to any comments thereon received from the Buyer or its counsel, or (c) the Buyer shall reasonably object after being so advised, unless the Company reasonably has determined that it is necessary to amend the Registration Statement or make any supplement to the Prospectus to comply with the 1933 Act or any other applicable law or regulation, in which case the Company shall promptly (but in no event later than 24 hours) so inform the Buyer, the Buyer shall be provided with a reasonable opportunity to review and comment upon any disclosure relating to the Buyer and the Company shall expeditiously furnish to the Buyer an electronic copy thereof. In addition, for so long as, in the reasonable opinion of counsel for the Buyer, the Prospectus (or in lieu thereof, the notice referred to in Rule 173(a) under the 1933 Act ) is required to be delivered in connection with any acquisition or sale of the Convertible Notes or the Conversion Shares by the Buyer, the Company shall not file any Prospectus Supplement with respect to such securities without delivering or making available a copy of such Prospectus Supplement, together with the Prospectus, to the Buyer promptly.", "ner": [[21, 22, "Act"], [165, 166, "Act"], [262, 266, "Regulation"], [286, 287, "Shares"], [290, 291, "Shares"]], "tokenized_text": ["(", "i", ")", "Except", "as", "provided", "in", "this", "Agreement", "and", "other", "than", "periodic", "reports", "required", "to", "be", "filed", "pursuant", "to", "the", "1934", "Act", ",", "the", "Company", "shall", "not", "file", "with", "the", "SEC", "any", "amendment", "to", "the", "Registration", "Statement", "that", "relates", "to", "the", "Buyer", ",", "this", "Agreement", "or", "the", "other", "Transaction", "Documents", "or", "the", "transactions", "contemplated", "hereby", "or", "thereby", "or", "file", "with", "the", "SEC", "any", "Prospectus", "Supplement", "that", "relates", "to", "the", "Buyer", ",", "this", "Agreement", "or", "the", "other", "Transaction", "Documents", "or", "the", "transactions", "contemplated", "hereby", "or", "thereby", "with", "respect", "to", "which", "(", "a", ")", "the", "Buyer", "shall", "not", "previously", "have", "been", "advised", ",", "(", "b", ")", "the", "Company", "shall", "not", "have", "given", "due", "consideration", "to", "any", "comments", "thereon", "received", "from", "the", "Buyer", "or", "its", "counsel", ",", "or", "(", "c", ")", "the", "Buyer", "shall", "reasonably", "object", "after", "being", "so", "advised", ",", "unless", "the", "Company", "reasonably", "has", "determined", "that", "it", "is", "necessary", "to", "amend", "the", "Registration", "Statement", "or", "make", "any", "supplement", "to", "the", "Prospectus", "to", "comply", "with", "the", "1933", "Act", "or", "any", "other", "applicable", "law", "or", "regulation", ",", "in", "which", "case", "the", "Company", "shall", "promptly", "(", "but", "in", "no", "event", "later", "than", "24", "hours", ")", "so", "inform", "the", "Buyer", ",", "the", "Buyer", "shall", "be", "provided", "with", "a", "reasonable", "opportunity", "to", "review", "and", "comment", "upon", "any", "disclosure", "relating", "to", "the", "Buyer", "and", "the", "Company", "shall", "expeditiously", "furnish", "to", "the", "Buyer", "an", "electronic", "copy", "thereof", ".", "In", "addition", ",", "for", "so", "long", "as", ",", "in", "the", "reasonable", "opinion", "of", "counsel", "for", "the", "Buyer", ",", "the", "Prospectus", "(", "or", "in", "lieu", "thereof", ",", "the", "notice", "referred", "to", "in", "Rule", "173", "(", "a", ")", "under", "the", "1933", "Act", ")", "is", "required", "to", "be", "delivered", "in", "connection", "with", "any", "acquisition", "or", "sale", "of", "the", "Convertible", "Notes", "or", "the", "Conversion", "Shares", "by", "the", "Buyer", ",", "the", "Company", "shall", "not", "file", "any", "Prospectus", "Supplement", "with", "respect", "to", "such", "securities", "without", "delivering", "or", "making", "available", "a", "copy", "of", "such", "Prospectus", "Supplement", ",", "together", "with", "the", "Prospectus", ",", "to", "the", "Buyer", "promptly", "."]}
{"id": "13036", "text": "(ii) The Company has not made, and agrees that unless it obtains the prior written consent of the Buyer it will not make, an offer relating to the Securities that would constitute an issuer free writing prospectus as defined in Rule 433 promulgated under the 1933 Act ( an Issuer Free Writing Prospectus) or that would otherwise constitute a free writing prospectus as defined in Rule 405 promulgated under the 1933 Act ( a Free Writing Prospectus) required to be filed by the Company or the Buyer with the SEC or retained by the Company or the Buyer under Rule 433 under the 1933 Act . The Buyer has not made, and agrees that unless it obtains the prior written consent of the Company it will not make, an offer relating to the Securities that would constitute a Free Writing Prospectus required to be filed by the Company with the SEC or retained by the Company under Rule 433 under the 1933 Act . Any such Issuer Free Writing Prospectus or other Free Writing Prospectus consented to by the Buyer or the Company is referred to in this Agreement as a Permitted Free Writing Prospectus. The Company agrees that (x) it has treated and will treat, as the case may be, each Permitted Free Writing Prospectus as an Issuer Free Writing Prospectus and (y) it has complied and will comply, as the case may be, with the requirements of Rules 164 and 433 under the 1933 Act applicable to any Permitted Free Writing Prospectus, including in respect of timely filing with the SEC, legending and record keeping.", "ner": [[44, 45, "Regulation"], [49, 50, "Act"], [70, 71, "Regulation"]], "tokenized_text": ["(", "ii", ")", "The", "Company", "has", "not", "made", ",", "and", "agrees", "that", "unless", "it", "obtains", "the", "prior", "written", "consent", "of", "the", "Buyer", "it", "will", "not", "make", ",", "an", "offer", "relating", "to", "the", "Securities", "that", "would", "constitute", "an", "issuer", "free", "writing", "prospectus", "as", "defined", "in", "Rule", "433", "promulgated", "under", "the", "1933", "Act", "(", "an", "Issuer", "Free", "Writing", "Prospectus", ")", "or", "that", "would", "otherwise", "constitute", "a", "free", "writing", "prospectus", "as", "defined", "in", "Rule", "405", "promulgated", "under", "the", "1933", "Act", "(", "a", "Free", "Writing", "Prospectus", ")", "required", "to", "be", "filed", "by", "the", "Company", "or", "the", "Buyer", "with", "the", "SEC", "or", "retained", "by", "the", "Company", "or", "the", "Buyer", "under", "Rule", "433", "under", "the", "1933", "Act", ".", "The", "Buyer", "has", "not", "made", ",", "and", "agrees", "that", "unless", "it", "obtains", "the", "prior", "written", "consent", "of", "the", "Company", "it", "will", "not", "make", ",", "an", "offer", "relating", "to", "the", "Securities", "that", "would", "constitute", "a", "Free", "Writing", "Prospectus", "required", "to", "be", "filed", "by", "the", "Company", "with", "the", "SEC", "or", "retained", "by", "the", "Company", "under", "Rule", "433", "under", "the", "1933", "Act", ".", "Any", "such", "Issuer", "Free", "Writing", "Prospectus", "or", "other", "Free", "Writing", "Prospectus", "consented", "to", "by", "the", "Buyer", "or", "the", "Company", "is", "referred", "to", "in", "this", "Agreement", "as", "a", "Permitted", "Free", "Writing", "Prospectus", ".", "The", "Company", "agrees", "that", "(", "x", ")", "it", "has", "treated", "and", "will", "treat", ",", "as", "the", "case", "may", "be", ",", "each", "Permitted", "Free", "Writing", "Prospectus", "as", "an", "Issuer", "Free", "Writing", "Prospectus", "and", "(", "y", ")", "it", "has", "complied", "and", "will", "comply", ",", "as", "the", "case", "may", "be", ",", "with", "the", "requirements", "of", "Rules", "164", "and", "433", "under", "the", "1933", "Act", "applicable", "to", "any", "Permitted", "Free", "Writing", "Prospectus", ",", "including", "in", "respect", "of", "timely", "filing", "with", "the", "SEC", ",", "legending", "and", "record", "keeping", "."]}
{"id": "13038", "text": "(d) Stop Orders. The Company shall advise the Buyer as soon as practicable and shall confirm such advice in writing: (i) of the Companys receipt of notice of any request by the SEC for amendment of or a supplement to the Registration Statement, the Prospectus, any Permitted Free Writing Prospectus or for any additional information; (ii) of the Companys receipt of notice of the issuance by the SEC of any stop order suspending the effectiveness of the Registration Statement or prohibiting or suspending the use of the Prospectus or any Prospectus Supplement, or of the suspension of qualification of the Convertible Notes for offering or sale in any jurisdiction, or the initiation or contemplated initiation of any proceeding for such purpose; (iii) of the Company becoming aware of the happening of any event, which makes any statement of a material fact made in the Registration Statement, the Prospectus or any Permitted Free Writing Prospectus untrue or which requires the making of any additions to or changes to the statements then made in the Registration Statement, the Prospectus or any Permitted Free Writing Prospectus in order to state a material fact required by the 1933 Act to be stated therein or necessary in order to make the statements then made therein (in the case of the Prospectus, in light of the circumstances under which they were made) not misleading, or of the necessity to amend the Registration Statement or supplement the Prospectus or any Permitted Free Writing Prospectus to comply with the 1933 Act or any other law or (iv) if at any time following the date hereof the Registration Statement is not effective or is not otherwise available for the issuance of the Conversion Shares or any Prospectus contained therein is not available for use for any other reason. The Company shall not be required to disclose to the Buyer the substance or specific reasons of any of the events set forth in clauses (i) through (iv) of the immediately preceding sentence, but rather, shall only be required to disclose that the event has occurred. Thereafter, the Company shall promptly notify such holders when the Registration Statement, the Prospectus, any Permitted Free Writing Prospectus and/or any amendment or supplement thereto, as applicable, is effective and available for the issuance of the Conversion Shares. If at any time the SEC shall issue any stop order suspending the effectiveness of the Registration Statement or prohibiting or suspending the use of the Prospectus or any Prospectus Supplement, the Company shall use its reasonable best efforts to obtain the withdrawal of such order at the earliest possible time.", "ner": [[47, 48, "Title"], [54, 57, "Title"], [212, 213, "Act"], [308, 309, "Shares"]], "tokenized_text": ["(", "d", ")", "Stop", "Orders", ".", "The", "Company", "shall", "advise", "the", "Buyer", "as", "soon", "as", "practicable", "and", "shall", "confirm", "such", "advice", "in", "writing", ":", "(", "i", ")", "of", "the", "Companys", "receipt", "of", "notice", "of", "any", "request", "by", "the", "SEC", "for", "amendment", "of", "or", "a", "supplement", "to", "the", "Registration", "Statement", ",", "the", "Prospectus", ",", "any", "Permitted", "Free", "Writing", "Prospectus", "or", "for", "any", "additional", "information", ";", "(", "ii", ")", "of", "the", "Companys", "receipt", "of", "notice", "of", "the", "issuance", "by", "the", "SEC", "of", "any", "stop", "order", "suspending", "the", "effectiveness", "of", "the", "Registration", "Statement", "or", "prohibiting", "or", "suspending", "the", "use", "of", "the", "Prospectus", "or", "any", "Prospectus", "Supplement", ",", "or", "of", "the", "suspension", "of", "qualification", "of", "the", "Convertible", "Notes", "for", "offering", "or", "sale", "in", "any", "jurisdiction", ",", "or", "the", "initiation", "or", "contemplated", "initiation", "of", "any", "proceeding", "for", "such", "purpose", ";", "(", "iii", ")", "of", "the", "Company", "becoming", "aware", "of", "the", "happening", "of", "any", "event", ",", "which", "makes", "any", "statement", "of", "a", "material", "fact", "made", "in", "the", "Registration", "Statement", ",", "the", "Prospectus", "or", "any", "Permitted", "Free", "Writing", "Prospectus", "untrue", "or", "which", "requires", "the", "making", "of", "any", "additions", "to", "or", "changes", "to", "the", "statements", "then", "made", "in", "the", "Registration", "Statement", ",", "the", "Prospectus", "or", "any", "Permitted", "Free", "Writing", "Prospectus", "in", "order", "to", "state", "a", "material", "fact", "required", "by", "the", "1933", "Act", "to", "be", "stated", "therein", "or", "necessary", "in", "order", "to", "make", "the", "statements", "then", "made", "therein", "(", "in", "the", "case", "of", "the", "Prospectus", ",", "in", "light", "of", "the", "circumstances", "under", "which", "they", "were", "made", ")", "not", "misleading", ",", "or", "of", "the", "necessity", "to", "amend", "the", "Registration", "Statement", "or", "supplement", "the", "Prospectus", "or", "any", "Permitted", "Free", "Writing", "Prospectus", "to", "comply", "with", "the", "1933", "Act", "or", "any", "other", "law", "or", "(", "iv", ")", "if", "at", "any", "time", "following", "the", "date", "hereof", "the", "Registration", "Statement", "is", "not", "effective", "or", "is", "not", "otherwise", "available", "for", "the", "issuance", "of", "the", "Conversion", "Shares", "or", "any", "Prospectus", "contained", "therein", "is", "not", "available", "for", "use", "for", "any", "other", "reason", ".", "The", "Company", "shall", "not", "be", "required", "to", "disclose", "to", "the", "Buyer", "the", "substance", "or", "specific", "reasons", "of", "any", "of", "the", "events", "set", "forth", "in", "clauses", "(", "i", ")", "through", "(", "iv", ")", "of", "the", "immediately", "preceding", "sentence", ",", "but", "rather", ",", "shall", "only", "be", "required", "to", "disclose", "that", "the", "event", "has", "occurred", ".", "Thereafter", ",", "the", "Company", "shall", "promptly", "notify", "such", "holders", "when", "the", "Registration", "Statement", ",", "the", "Prospectus", ",", "any", "Permitted", "Free", "Writing", "Prospectus", "and", "/", "or", "any", "amendment", "or", "supplement", "thereto", ",", "as", "applicable", ",", "is", "effective", "and", "available", "for", "the", "issuance", "of", "the", "Conversion", "Shares", ".", "If", "at", "any", "time", "the", "SEC", "shall", "issue", "any", "stop", "order", "suspending", "the", "effectiveness", "of", "the", "Registration", "Statement", "or", "prohibiting", "or", "suspending", "the", "use", "of", "the", "Prospectus", "or", "any", "Prospectus", "Supplement", ",", "the", "Company", "shall", "use", "its", "reasonable", "best", "efforts", "to", "obtain", "the", "withdrawal", "of", "such", "order", "at", "the", "earliest", "possible", "time", "."]}
{"id": "13039", "text": "(h) Financial Information. The Company agrees to send the following to each Buyer during the Reporting Period, unless filed with the SEC through EDGAR and are available to the public through the EDGAR system, (i) within two (2) Business Days after the filing thereof with the SEC, a copy of its Annual Reports on Form 10-K and Quarterly Reports on Form 10-Q, any interim reports or any consolidated balance sheets, income statements, stockholders equity statements and/or cash flow statements for any period other than annual, any Current Reports on Form 8-K and any registration statements (other than on Form S-8) or amendments filed pursuant to the 1933 Act , ( ii) on the same day as the release thereof, facsimile copies of all press releases issued by the Company or any of its Subsidiaries and (iii) copies of any notices and other information made available or given to the stockholders of the Company generally, contemporaneously with the making available or giving thereof to the stockholders.", "ner": [[124, 125, "Act"]], "tokenized_text": ["(", "h", ")", "Financial", "Information", ".", "The", "Company", "agrees", "to", "send", "the", "following", "to", "each", "Buyer", "during", "the", "Reporting", "Period", ",", "unless", "filed", "with", "the", "SEC", "through", "EDGAR", "and", "are", "available", "to", "the", "public", "through", "the", "EDGAR", "system", ",", "(", "i", ")", "within", "two", "(", "2", ")", "Business", "Days", "after", "the", "filing", "thereof", "with", "the", "SEC", ",", "a", "copy", "of", "its", "Annual", "Reports", "on", "Form", "10-K", "and", "Quarterly", "Reports", "on", "Form", "10-Q", ",", "any", "interim", "reports", "or", "any", "consolidated", "balance", "sheets", ",", "income", "statements", ",", "stockholders", "equity", "statements", "and", "/", "or", "cash", "flow", "statements", "for", "any", "period", "other", "than", "annual", ",", "any", "Current", "Reports", "on", "Form", "8-K", "and", "any", "registration", "statements", "(", "other", "than", "on", "Form", "S-8", ")", "or", "amendments", "filed", "pursuant", "to", "the", "1933", "Act", ",", "(", "ii", ")", "on", "the", "same", "day", "as", "the", "release", "thereof", ",", "facsimile", "copies", "of", "all", "press", "releases", "issued", "by", "the", "Company", "or", "any", "of", "its", "Subsidiaries", "and", "(", "iii", ")", "copies", "of", "any", "notices", "and", "other", "information", "made", "available", "or", "given", "to", "the", "stockholders", "of", "the", "Company", "generally", ",", "contemporaneously", "with", "the", "making", "available", "or", "giving", "thereof", "to", "the", "stockholders", "."]}
{"id": "13040", "text": "(i)Effectiveness of Registration Statement; Rule 430B Information. The Registration Statement has been declared effective by the SEC under the 1933 Act and, at the Closing Date, no stop order suspending the effectiveness of the Registration Statement or any post- effective amendment thereto has been issued under the 1933 Act , no order preventing or suspending the use of any Preliminary Prospectus or the Prospectus has been issued and no proceedings for any of those purposes have been instituted or are pending or, to the Companys knowledge, contemplated by the SEC. The Company has complied with each request (if any) from the SEC for additional information. The Prospectus containing the Rule 430B Information shall have been filed with the SEC in the manner and within the time frame required by Rule 424(b) (without reliance on Rule 424(b)(8)) or a post- effective amendment providing such information shall have been filed with, and declared effective by, the SEC in accordance with the requirements of Rule 430B.", "ner": [[8, 9, "Regulation"], [24, 25, "Act"], [143, 147, "Regulation"]], "tokenized_text": ["(", "i", ")", "Effectiveness", "of", "Registration", "Statement", ";", "Rule", "430B", "Information", ".", "The", "Registration", "Statement", "has", "been", "declared", "effective", "by", "the", "SEC", "under", "the", "1933", "Act", "and", ",", "at", "the", "Closing", "Date", ",", "no", "stop", "order", "suspending", "the", "effectiveness", "of", "the", "Registration", "Statement", "or", "any", "post", "-", "effective", "amendment", "thereto", "has", "been", "issued", "under", "the", "1933", "Act", ",", "no", "order", "preventing", "or", "suspending", "the", "use", "of", "any", "Preliminary", "Prospectus", "or", "the", "Prospectus", "has", "been", "issued", "and", "no", "proceedings", "for", "any", "of", "those", "purposes", "have", "been", "instituted", "or", "are", "pending", "or", ",", "to", "the", "Companys", "knowledge", ",", "contemplated", "by", "the", "SEC", ".", "The", "Company", "has", "complied", "with", "each", "request", "(", "if", "any", ")", "from", "the", "SEC", "for", "additional", "information", ".", "The", "Prospectus", "containing", "the", "Rule", "430B", "Information", "shall", "have", "been", "filed", "with", "the", "SEC", "in", "the", "manner", "and", "within", "the", "time", "frame", "required", "by", "Rule", "424", "(", "b", ")", "(", "without", "reliance", "on", "Rule", "424", "(", "b", ")", "(", "8", ")", ")", "or", "a", "post", "-", "effective", "amendment", "providing", "such", "information", "shall", "have", "been", "filed", "with", ",", "and", "declared", "effective", "by", ",", "the", "SEC", "in", "accordance", "with", "the", "requirements", "of", "Rule", "430B", "."]}
{"id": "13041", "text": "(d) No Material Changes. Prior to and on the Closing Date, if any: (i) there shall have been no material adverse change or development involving a prospective material adverse change in the condition or prospects or the business activities, financial or otherwise, of the Company from the latest dates as of which such condition is set forth in the Registration Statement, the Base Prospectus, any Issuer Free Writing Prospectus and Prospectus Supplement; (ii) no action, suit or proceeding, at law or in equity, shall have been pending or threatened against the Company or any Insider before or by any court or federal or state commission, board or other administrative agency wherein an unfavorable decision, ruling or finding may materially adversely affect the business, operations, prospects or financial condition or income of the Company, except as set forth in the Registration Statement, the Base Prospectus, any Issuer Free Writing Prospectus and Prospectus Supplement; (iii) no stop order shall have been issued under the Securities Act and no proceedings therefor shall have been initiated or threatened by the SEC; and (iv) the Registration Statement, the Base Prospectus, any Issuer Free Writing Prospectus and Prospectus Supplement and any amendments or supplements thereto shall contain all material statements which are required to be stated therein in accordance with the 1933 Act and the rules and regulations of the SEC promulgated thereunder and shall conform in all material respects to the requirements of the 1933 Act and the rules and regulations of the SEC promulgated thereunder, and neither the Registration Statement, the Base Prospectus, any Issuer Free Writing Prospectus nor the Prospectus Supplement nor any amendment or supplement thereto shall contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein, in light of the circumstances under which they were made, not misleading.", "ner": [[189, 190, "Act"], [247, 248, "Act"]], "tokenized_text": ["(", "d", ")", "No", "Material", "Changes", ".", "Prior", "to", "and", "on", "the", "Closing", "Date", ",", "if", "any", ":", "(", "i", ")", "there", "shall", "have", "been", "no", "material", "adverse", "change", "or", "development", "involving", "a", "prospective", "material", "adverse", "change", "in", "the", "condition", "or", "prospects", "or", "the", "business", "activities", ",", "financial", "or", "otherwise", ",", "of", "the", "Company", "from", "the", "latest", "dates", "as", "of", "which", "such", "condition", "is", "set", "forth", "in", "the", "Registration", "Statement", ",", "the", "Base", "Prospectus", ",", "any", "Issuer", "Free", "Writing", "Prospectus", "and", "Prospectus", "Supplement", ";", "(", "ii", ")", "no", "action", ",", "suit", "or", "proceeding", ",", "at", "law", "or", "in", "equity", ",", "shall", "have", "been", "pending", "or", "threatened", "against", "the", "Company", "or", "any", "Insider", "before", "or", "by", "any", "court", "or", "federal", "or", "state", "commission", ",", "board", "or", "other", "administrative", "agency", "wherein", "an", "unfavorable", "decision", ",", "ruling", "or", "finding", "may", "materially", "adversely", "affect", "the", "business", ",", "operations", ",", "prospects", "or", "financial", "condition", "or", "income", "of", "the", "Company", ",", "except", "as", "set", "forth", "in", "the", "Registration", "Statement", ",", "the", "Base", "Prospectus", ",", "any", "Issuer", "Free", "Writing", "Prospectus", "and", "Prospectus", "Supplement", ";", "(", "iii", ")", "no", "stop", "order", "shall", "have", "been", "issued", "under", "the", "Securities", "Act", "and", "no", "proceedings", "therefor", "shall", "have", "been", "initiated", "or", "threatened", "by", "the", "SEC", ";", "and", "(", "iv", ")", "the", "Registration", "Statement", ",", "the", "Base", "Prospectus", ",", "any", "Issuer", "Free", "Writing", "Prospectus", "and", "Prospectus", "Supplement", "and", "any", "amendments", "or", "supplements", "thereto", "shall", "contain", "all", "material", "statements", "which", "are", "required", "to", "be", "stated", "therein", "in", "accordance", "with", "the", "1933", "Act", "and", "the", "rules", "and", "regulations", "of", "the", "SEC", "promulgated", "thereunder", "and", "shall", "conform", "in", "all", "material", "respects", "to", "the", "requirements", "of", "the", "1933", "Act", "and", "the", "rules", "and", "regulations", "of", "the", "SEC", "promulgated", "thereunder", ",", "and", "neither", "the", "Registration", "Statement", ",", "the", "Base", "Prospectus", ",", "any", "Issuer", "Free", "Writing", "Prospectus", "nor", "the", "Prospectus", "Supplement", "nor", "any", "amendment", "or", "supplement", "thereto", "shall", "contain", "any", "untrue", "statement", "of", "a", "material", "fact", "or", "omit", "to", "state", "any", "material", "fact", "required", "to", "be", "stated", "therein", "or", "necessary", "to", "make", "the", "statements", "therein", ",", "in", "light", "of", "the", "circumstances", "under", "which", "they", "were", "made", ",", "not", "misleading", "."]}
{"id": "13043", "text": "4700 Von Karman Ave, Suite 110", "ner": [[0, 6, "Address"]], "tokenized_text": ["4700", "Von", "Karman", "Ave", ",", "Suite", "110"]}
{"id": "13049", "text": "Assets shall mean 80% (i) of those assets that comprise VitaCBD Brand, and other related technology and business assets so acquired (the VitaCBD Brand Assets) and 80% of (ii) other assets of Seller that came into existence subsequent to the acquisition described in (i) above and that are related to the VitaCBD Brand Assets or were used or created by VitaCBD Brand in its conduct of business, including all assets, rights, interests, and properties of Seller of whatever nature, tangible or intangible, real or personal, fixed or contingent, that fall within the descriptions in (i) and (ii) above, except for the Excluded Assets. Assets shall include, but shall not be limited to, the following types of assets:", "ner": [[3, 4, "Percentage"]], "tokenized_text": ["Assets", "shall", "mean", "80", "%", "(", "i", ")", "of", "those", "assets", "that", "comprise", "VitaCBD", "Brand", ",", "and", "other", "related", "technology", "and", "business", "assets", "so", "acquired", "(", "the", "VitaCBD", "Brand", "Assets", ")", "and", "80", "%", "of", "(", "ii", ")", "other", "assets", "of", "Seller", "that", "came", "into", "existence", "subsequent", "to", "the", "acquisition", "described", "in", "(", "i", ")", "above", "and", "that", "are", "related", "to", "the", "VitaCBD", "Brand", "Assets", "or", "were", "used", "or", "created", "by", "VitaCBD", "Brand", "in", "its", "conduct", "of", "business", ",", "including", "all", "assets", ",", "rights", ",", "interests", ",", "and", "properties", "of", "Seller", "of", "whatever", "nature", ",", "tangible", "or", "intangible", ",", "real", "or", "personal", ",", "fixed", "or", "contingent", ",", "that", "fall", "within", "the", "descriptions", "in", "(", "i", ")", "and", "(", "ii", ")", "above", ",", "except", "for", "the", "Excluded", "Assets", ".", "Assets", "shall", "include", ",", "but", "shall", "not", "be", "limited", "to", ",", "the", "following", "types", "of", "assets", ":"]}
{"id": "13051", "text": "ERISA shall mean the Employee Retirement Income Security Act of 1974 , as amended.", "ner": [[4, 10, "Act"]], "tokenized_text": ["ERISA", "shall", "mean", "the", "Employee", "Retirement", "Income", "Security", "Act", "of", "1974", ",", "as", "amended", "."]}
{"id": "13053", "text": "For purposes of this definition, (a) the Family of an individual includes (i) the individual, (ii) the individuals spouse, (iii) any other natural person who is related to the individual or the individuals spouse within the second degree, and (iv) any other natural person who resides with such individual, and (b) MaterialInterest means direct or indirect beneficial ownership (as defined in Rule 13d-3 under the Securities Exchange Act of 1934 ) of voting securities or other voting interests representing at least 10% of the outstanding voting power of a Person or equity securities or other equity interests representing at least 10% of the outstanding equity securities or equity interests in a Person.", "ner": [[79, 80, "Regulation"], [83, 87, "Act"], [99, 100, "Percentage"], [119, 120, "Percentage"]], "tokenized_text": ["For", "purposes", "of", "this", "definition", ",", "(", "a", ")", "the", "Family", "of", "an", "individual", "includes", "(", "i", ")", "the", "individual", ",", "(", "ii", ")", "the", "individuals", "spouse", ",", "(", "iii", ")", "any", "other", "natural", "person", "who", "is", "related", "to", "the", "individual", "or", "the", "individuals", "spouse", "within", "the", "second", "degree", ",", "and", "(", "iv", ")", "any", "other", "natural", "person", "who", "resides", "with", "such", "individual", ",", "and", "(", "b", ")", "MaterialInterest", "means", "direct", "or", "indirect", "beneficial", "ownership", "(", "as", "defined", "in", "Rule", "13d-3", "under", "the", "Securities", "Exchange", "Act", "of", "1934", ")", "of", "voting", "securities", "or", "other", "voting", "interests", "representing", "at", "least", "10", "%", "of", "the", "outstanding", "voting", "power", "of", "a", "Person", "or", "equity", "securities", "or", "other", "equity", "interests", "representing", "at", "least", "10", "%", "of", "the", "outstanding", "equity", "securities", "or", "equity", "interests", "in", "a", "Person", "."]}
{"id": "13054", "text": "2.4 Payment of Purchase Price. At the Closing, Purchaser (i) shall pay cash to Seller, on account of the Purchase Price, in the amount of U.S.$150,000 <sup> and (ii) shall issue, or direct its transfer agent to issue, to Seller, on account of the Purchase Price, 200,000 shares of the common stock of Purchaser, par value $.001 per share (Common Stock) (such shares of Common Stock hereinafter referred to as the Stock), based on a valuation of $2.00 per share (First Stock Issuance), and (iii) 90 days following the Closing, shall issue, or direct its transfer agent to issue, to Seller, on account of the Purchase Price 150,000 additional shares of the common stock of Purchaser, par value $.001 per share (Common Stock), based on a valuation of $2.00 per share (Second Stock Issuance), as adjusted under Market Value Condition defined below.", "ner": [[33, 37, "Principal"], [38, 40, "Shares"], [69, 71, "Shares"], [82, 84, "Price"], [110, 113, "Price"]], "tokenized_text": ["2", ".", "4", "Payment", "of", "Purchase", "Price", ".", "At", "the", "Closing", ",", "Purchaser", "(", "i", ")", "shall", "pay", "cash", "to", "Seller", ",", "on", "account", "of", "the", "Purchase", "Price", ",", "in", "the", "amount", "of", "U", ".", "S", ".", "$", "150", ",", "000", "<", "sup", ">", "and", "(", "ii", ")", "shall", "issue", ",", "or", "direct", "its", "transfer", "agent", "to", "issue", ",", "to", "Seller", ",", "on", "account", "of", "the", "Purchase", "Price", ",", "200", ",", "000", "shares", "of", "the", "common", "stock", "of", "Purchaser", ",", "par", "value", "$", ".", "001", "per", "share", "(", "Common", "Stock", ")", "(", "such", "shares", "of", "Common", "Stock", "hereinafter", "referred", "to", "as", "the", "Stock", ")", ",", "based", "on", "a", "valuation", "of", "$", "2", ".", "00", "per", "share", "(", "First", "Stock", "Issuance", ")", ",", "and", "(", "iii", ")", "90", "days", "following", "the", "Closing", ",", "shall", "issue", ",", "or", "direct", "its", "transfer", "agent", "to", "issue", ",", "to", "Seller", ",", "on", "account", "of", "the", "Purchase", "Price", "150", ",", "000", "additional", "shares", "of", "the", "common", "stock", "of", "Purchaser", ",", "par", "value", "$", ".", "001", "per", "share", "(", "Common", "Stock", ")", ",", "based", "on", "a", "valuation", "of", "$", "2", ".", "00", "per", "share", "(", "Second", "Stock", "Issuance", ")", ",", "as", "adjusted", "under", "Market", "Value", "Condition", "defined", "below", "."]}
{"id": "13055", "text": "The Purchaser will issue the number of shares of Stock in the Second Stock Issuance to $300,000 at Market Value, or 150,000 shares whichever is less. Should the value of the Second Issuance on the first anniversary date be greater than $300,000, the additional value shall be a reduction of the Option purchase price for the remaining 20% .", "ner": [[16, 19, "Principal"], [25, 27, "Shares"], [68, 69, "Percentage"]], "tokenized_text": ["The", "Purchaser", "will", "issue", "the", "number", "of", "shares", "of", "Stock", "in", "the", "Second", "Stock", "Issuance", "to", "$", "300", ",", "000", "at", "Market", "Value", ",", "or", "150", ",", "000", "shares", "whichever", "is", "less", ".", "Should", "the", "value", "of", "the", "Second", "Issuance", "on", "the", "first", "anniversary", "date", "be", "greater", "than", "$", "300", ",", "000", ",", "the", "additional", "value", "shall", "be", "a", "reduction", "of", "the", "Option", "purchase", "price", "for", "the", "remaining", "20", "%", "."]}
{"id": "13056", "text": "2.6 Option. Purchaser is hereby granted an option to purchase and otherwise acquire title to the 20% of assets related to the Assets held by Seller for an aggregate purchase price of $200,000 or 20% of the fair market value as mutually agreed upon by Seller and Purchaser, whichever is greater. The Purchaser may deduct the amount qualified under Section 2.4, if applicable, from its payment to Seller. Such option vests on June 30, 2018 and has a term of three years. Notice of exercise of such option shall be delivered to Seller at Sellers address for notifications in Section 12.4 of this Agreement. During the term of such option, Seller may not grant any security interest in, lien on, pledge, loan or otherwise encumber such 20% of assets.", "ner": [[19, 20, "Percentage"], [36, 39, "Price"]], "tokenized_text": ["2", ".", "6", "Option", ".", "Purchaser", "is", "hereby", "granted", "an", "option", "to", "purchase", "and", "otherwise", "acquire", "title", "to", "the", "20", "%", "of", "assets", "related", "to", "the", "Assets", "held", "by", "Seller", "for", "an", "aggregate", "purchase", "price", "of", "$", "200", ",", "000", "or", "20", "%", "of", "the", "fair", "market", "value", "as", "mutually", "agreed", "upon", "by", "Seller", "and", "Purchaser", ",", "whichever", "is", "greater", ".", "The", "Purchaser", "may", "deduct", "the", "amount", "qualified", "under", "Section", "2", ".", "4", ",", "if", "applicable", ",", "from", "its", "payment", "to", "Seller", ".", "Such", "option", "vests", "on", "June", "30", ",", "2018", "and", "has", "a", "term", "of", "three", "years", ".", "Notice", "of", "exercise", "of", "such", "option", "shall", "be", "delivered", "to", "Seller", "at", "Sellers", "address", "for", "notifications", "in", "Section", "12", ".", "4", "of", "this", "Agreement", ".", "During", "the", "term", "of", "such", "option", ",", "Seller", "may", "not", "grant", "any", "security", "interest", "in", ",", "lien", "on", ",", "pledge", ",", "loan", "or", "otherwise", "encumber", "such", "20", "%", "of", "assets", "."]}
{"id": "13058", "text": "3.1 Closing. The consummation of the transactions contemplated in this Agreement (the Closing) shall take place at the offices of Stony Hill Corp, 2355 Westwood Blvd., Suite 349, Los Angeles, California 90064, at 2:00 p.m. (local time) on February 23, 2017 , or at such other time and place as the parties may agree (the Closing Date). Subject to the termination provisions of Article 10, failure to consummate the transactions provided for in this Agreement on the date and time and at the place determined pur-suant to this Section 3.1 shall not result in the termination of this Agreement and shall not relieve any party of any obligation under this Agreement.", "ner": [[44, 50, "TerminationDate"], [56, 59, "TerminationDate"]], "tokenized_text": ["3", ".", "1", "Closing", ".", "The", "consummation", "of", "the", "transactions", "contemplated", "in", "this", "Agreement", "(", "the", "Closing", ")", "shall", "take", "place", "at", "the", "offices", "of", "Stony", "Hill", "Corp", ",", "2355", "Westwood", "Blvd", ".", ",", "Suite", "349", ",", "Los", "Angeles", ",", "California", "90064", ",", "at", "2", ":", "00", "p", ".", "m", ".", "(", "local", "time", ")", "on", "February", "23", ",", "2017", ",", "or", "at", "such", "other", "time", "and", "place", "as", "the", "parties", "may", "agree", "(", "the", "Closing", "Date", ")", ".", "Subject", "to", "the", "termination", "provisions", "of", "Article", "10", ",", "failure", "to", "consummate", "the", "transactions", "provided", "for", "in", "this", "Agreement", "on", "the", "date", "and", "time", "and", "at", "the", "place", "determined", "pur-suant", "to", "this", "Section", "3", ".", "1", "shall", "not", "result", "in", "the", "termination", "of", "this", "Agreement", "and", "shall", "not", "relieve", "any", "party", "of", "any", "obligation", "under", "this", "Agreement", "."]}
{"id": "13059", "text": "(iii) a certificate of VitaCBD Brand representing and warranting that it has an ownership interest of not more than 20% in any of the Assets; and", "ner": [[21, 22, "Percentage"]], "tokenized_text": ["(", "iii", ")", "a", "certificate", "of", "VitaCBD", "Brand", "representing", "and", "warranting", "that", "it", "has", "an", "ownership", "interest", "of", "not", "more", "than", "20", "%", "in", "any", "of", "the", "Assets", ";", "and"]}
{"id": "13062", "text": "(c) Accredited Investor. Seller is an Accredited Investor as that term is defined by Rule 501 of Regulation D promulgated under the Securities Act. <sup> &lt; br/&gt;", "ner": [[17, 18, "Regulation"], [20, 21, "Regulation"], [25, 26, "Act"]], "tokenized_text": ["(", "c", ")", "Accredited", "Investor", ".", "Seller", "is", "an", "Accredited", "Investor", "as", "that", "term", "is", "defined", "by", "Rule", "501", "of", "Regulation", "D", "promulgated", "under", "the", "Securities", "Act", ".", "<", "sup", ">", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "13063", "text": "(f) Transfer Restrictions . Seller will not transfer any of the Stock unless such transfer is exempt from registration under the Securities Act and such State Acts and securities laws of other applicable jurisdictions, and, if requested by Purchaser, Seller has furnished an opinion of counsel in compliance with the Securities Act that such transfer is so exempt. Seller understands and agrees that (i) the certificates evidencing the Stock will bear appropriate legends indicating such transfer restrictions placed upon the Stock, (ii) Purchaser shall have no obligation to honor transfers of any of the Stock in violation of such transfer restrictions, and (iii) Purchaser shall be entitled to instruct any transfer agent or agents for the securities of Purchaser to refuse to honor such transfers not in compliance with the Securities Act. &lt; br/&gt;", "ner": [[23, 24, "Act"]], "tokenized_text": ["(", "f", ")", "Transfer", "Restrictions", ".", "Seller", "will", "not", "transfer", "any", "of", "the", "Stock", "unless", "such", "transfer", "is", "exempt", "from", "registration", "under", "the", "Securities", "Act", "and", "such", "State", "Acts", "and", "securities", "laws", "of", "other", "applicable", "jurisdictions", ",", "and", ",", "if", "requested", "by", "Purchaser", ",", "Seller", "has", "furnished", "an", "opinion", "of", "counsel", "in", "compliance", "with", "the", "Securities", "Act", "that", "such", "transfer", "is", "so", "exempt", ".", "Seller", "understands", "and", "agrees", "that", "(", "i", ")", "the", "certificates", "evidencing", "the", "Stock", "will", "bear", "appropriate", "legends", "indicating", "such", "transfer", "restrictions", "placed", "upon", "the", "Stock", ",", "(", "ii", ")", "Purchaser", "shall", "have", "no", "obligation", "to", "honor", "transfers", "of", "any", "of", "the", "Stock", "in", "violation", "of", "such", "transfer", "restrictions", ",", "and", "(", "iii", ")", "Purchaser", "shall", "be", "entitled", "to", "instruct", "any", "transfer", "agent", "or", "agents", "for", "the", "securities", "of", "Purchaser", "to", "refuse", "to", "honor", "such", "transfers", "not", "in", "compliance", "with", "the", "Securities", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "13066", "text": "Los Angeles, California 90064 ---|---", "ner": [[0, 4, "Address"]], "tokenized_text": ["Los", "Angeles", ",", "California", "90064", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "13067", "text": "3823 44th Ave. NE", "ner": [[0, 4, "Address"]], "tokenized_text": ["3823", "44th", "Ave", ".", "NE"]}
{"id": "13068", "text": "2831 St. Rose Parkway, Suite 200", "ner": [[0, 7, "Address"]], "tokenized_text": ["2831", "St", ".", "Rose", "Parkway", ",", "Suite", "200"]}
{"id": "13070", "text": "12.13 Governing Law. This Agreement shall be governed by the laws of the State of Delaware without regard to conflicts of laws principles.", "ner": [[16, 18, "Court"]], "tokenized_text": ["12", ".", "13", "Governing", "Law", ".", "This", "Agreement", "shall", "be", "governed", "by", "the", "laws", "of", "the", "State", "of", "Delaware", "without", "regard", "to", "conflicts", "of", "laws", "principles", "."]}
{"id": "13072", "text": "FORM OF SECURITIES PURCHASE AGREEMENT", "ner": [[2, 4, "Title"]], "tokenized_text": ["FORM", "OF", "SECURITIES", "PURCHASE", "AGREEMENT"]}
{"id": "13076", "text": "c.Closing Date. The date and time of the first issuance and sale of the Note pursuant to this Agreement (the Closing Date) shall be on or about March 14, 2017 , or such other mutually agreed upon time. The closing of the transactions contemplated by this Agreement (the Closing) shall occur on the Closing Date at such location as may be agreed to by the parties. Subsequent Closings shall occur when the Buyer Note is repaid. The Closing of the Second Note shall be on or before the dates specified in the Buyer Note.", "ner": [[32, 35, "EffectiveDate"]], "tokenized_text": ["c", ".", "Closing", "Date", ".", "The", "date", "and", "time", "of", "the", "first", "issuance", "and", "sale", "of", "the", "Note", "pursuant", "to", "this", "Agreement", "(", "the", "Closing", "Date", ")", "shall", "be", "on", "or", "about", "March", "14", ",", "2017", ",", "or", "such", "other", "mutually", "agreed", "upon", "time", ".", "The", "closing", "of", "the", "transactions", "contemplated", "by", "this", "Agreement", "(", "the", "Closing", ")", "shall", "occur", "on", "the", "Closing", "Date", "at", "such", "location", "as", "may", "be", "agreed", "to", "by", "the", "parties", ".", "Subsequent", "Closings", "shall", "occur", "when", "the", "Buyer", "Note", "is", "repaid", ".", "The", "Closing", "of", "the", "Second", "Note", "shall", "be", "on", "or", "before", "the", "dates", "specified", "in", "the", "Buyer", "Note", "."]}
{"id": "13085", "text": "Delray Beach, FL 33445", "ner": [], "tokenized_text": ["Delray", "Beach", ",", "FL", "33445"]}
{"id": "13086", "text": "Attn: William Caragol, CEO", "ner": [[2, 3, "PII_Ref"], [5, 5, "Role"]], "tokenized_text": ["Attn", ":", "William", "Caragol", ",", "CEO"]}
{"id": "13087", "text": "Attn: Yakov Borenstein, Manager", "ner": [[2, 3, "PII_Ref"], [5, 5, "Role"]], "tokenized_text": ["Attn", ":", "Yakov", "Borenstein", ",", "Manager"]}
{"id": "13088", "text": "PositiveID Corp . | ---|--- | | By: | | Name: | William Caragol | Title: | CEO | | | UNION CAPITAL, LLC . | | | By: | | Name: | Yakov Borenstein | Title: | Manager |", "ner": [[0, 2, "Parties"], [26, 26, "Role"], [30, 33, "Parties"], [51, 51, "Role"]], "tokenized_text": ["PositiveID", "Corp", ".", "|", "-", "-", "-", "|", "-", "-", "-", "|", "|", "By", ":", "|", "|", "Name", ":", "|", "William", "Caragol", "|", "Title", ":", "|", "CEO", "|", "|", "|", "UNION", "CAPITAL", ",", "LLC", ".", "|", "|", "|", "By", ":", "|", "|", "Name", ":", "|", "Yakov", "Borenstein", "|", "Title", ":", "|", "Manager", "|"]}
{"id": "13089", "text": "AGGREGATE SUBSCRIPTION AMOUNT: | $104,000.00 ---|---", "ner": [[5, 10, "Principal"]], "tokenized_text": ["AGGREGATE", "SUBSCRIPTION", "AMOUNT", ":", "|", "$", "104", ",", "000", ".", "00", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "13091", "text": "(ag) Employee Plans. On the Closing Date, Northeast does not maintain any of the following plans (the Employee Plans): (1) any employee pension benefit plan (as such term is defined in the Employee Retirement Income Security Act of 1974 , as amended (ERISA), including any person, profit sharing, retirement, thrift, or stock purchase plan; (2) any employee welfare benefit (as such term is defined in ERISA): (3) any other compensation, stock option, restrictive stock, fringe benefit or retirement plan of any kind whatsoever, formal or informal, not included in the foregoing or providing for benefits for, or the welfare of, any or all of the current or former employees or agents of Northeast or any ERISA Affiliate or any of their beneficiaries or dependents, including any group health, life insurance, retiree medical, bonus, incentive or severance plan; (4) any multi-employer plan as such term is defined in ERISA or the Internal Revenue Code of 1986, as amended (the IRC); or (5) any multi-employer welfare arrangement as defined in ERISA.", "ner": [[42, 48, "Act"], [53, 53, "Act"], [190, 194, "Act"]], "tokenized_text": ["(", "ag", ")", "Employee", "Plans", ".", "On", "the", "Closing", "Date", ",", "Northeast", "does", "not", "maintain", "any", "of", "the", "following", "plans", "(", "the", "Employee", "Plans", ")", ":", "(", "1", ")", "any", "employee", "pension", "benefit", "plan", "(", "as", "such", "term", "is", "defined", "in", "the", "Employee", "Retirement", "Income", "Security", "Act", "of", "1974", ",", "as", "amended", "(", "ERISA", ")", ",", "including", "any", "person", ",", "profit", "sharing", ",", "retirement", ",", "thrift", ",", "or", "stock", "purchase", "plan", ";", "(", "2", ")", "any", "employee", "welfare", "benefit", "(", "as", "such", "term", "is", "defined", "in", "ERISA", ")", ":", "(", "3", ")", "any", "other", "compensation", ",", "stock", "option", ",", "restrictive", "stock", ",", "fringe", "benefit", "or", "retirement", "plan", "of", "any", "kind", "whatsoever", ",", "formal", "or", "informal", ",", "not", "included", "in", "the", "foregoing", "or", "providing", "for", "benefits", "for", ",", "or", "the", "welfare", "of", ",", "any", "or", "all", "of", "the", "current", "or", "former", "employees", "or", "agents", "of", "Northeast", "or", "any", "ERISA", "Affiliate", "or", "any", "of", "their", "beneficiaries", "or", "dependents", ",", "including", "any", "group", "health", ",", "life", "insurance", ",", "retiree", "medical", ",", "bonus", ",", "incentive", "or", "severance", "plan", ";", "(", "4", ")", "any", "multi-employer", "plan", "as", "such", "term", "is", "defined", "in", "ERISA", "or", "the", "Internal", "Revenue", "Code", "of", "1986", ",", "as", "amended", "(", "the", "IRC", ")", ";", "or", "(", "5", ")", "any", "multi-employer", "welfare", "arrangement", "as", "defined", "in", "ERISA", "."]}
{"id": "13095", "text": "Vertical Cardboard Baler - Model HP 2200", "ner": [], "tokenized_text": ["Vertical", "Cardboard", "Baler", "-", "Model", "HP", "2200"]}
{"id": "13096", "text": "This Purchase Agreement (the Agreement), dated as of March15, 2017 , is by and among EXCO Resources, Inc. , a Texas corporation (the Company), Hamblin Watsa Investment Counsel Ltd. , as administrative agent under the Fairfax Second Lien Credit Agreement referred to below (in such capacity, the Fairfax Administrative Agent), Wilmington Trust , National Association, as administrative agent under the Exchange Second Lien Credit Agreement referred to below (in such capacity, the Exchange Administrative Agent) and each of the other undersigned parties hereto (each, a Seller and, collectively, the Sellers). The Company and the Sellers are referred to herein as the Parties and each a Party.", "ner": [[1, 2, "Title"], [11, 13, "EffectiveDate"], [19, 23, "Parties"], [33, 38, "Parties"], [45, 49, "Title"], [64, 65, "Parties"], [75, 79, "Title"]], "tokenized_text": ["This", "Purchase", "Agreement", "(", "the", "Agreement", ")", ",", "dated", "as", "of", "March15", ",", "2017", ",", "is", "by", "and", "among", "EXCO", "Resources", ",", "Inc", ".", ",", "a", "Texas", "corporation", "(", "the", "Company", ")", ",", "Hamblin", "Watsa", "Investment", "Counsel", "Ltd", ".", ",", "as", "administrative", "agent", "under", "the", "Fairfax", "Second", "Lien", "Credit", "Agreement", "referred", "to", "below", "(", "in", "such", "capacity", ",", "the", "Fairfax", "Administrative", "Agent", ")", ",", "Wilmington", "Trust", ",", "National", "Association", ",", "as", "administrative", "agent", "under", "the", "Exchange", "Second", "Lien", "Credit", "Agreement", "referred", "to", "below", "(", "in", "such", "capacity", ",", "the", "Exchange", "Administrative", "Agent", ")", "and", "each", "of", "the", "other", "undersigned", "parties", "hereto", "(", "each", ",", "a", "Seller", "and", ",", "collectively", ",", "the", "Sellers", ")", ".", "The", "Company", "and", "the", "Sellers", "are", "referred", "to", "herein", "as", "the", "Parties", "and", "each", "a", "Party", "."]}
{"id": "13100", "text": "WHEREAS, as an inducement to enter into this Agreement, the Company will issue to the Sellers a consent fee (the Consent Fee), which may be payable, at the option of the Seller as elected on the signature pages hereto, in (i)cash or (ii)in penny warrants to purchase Common Stock (the Amendment Fee Warrants and together with the Financing Warrants and the Commitment Fee Warrants, the Warrants, and together with the Common Stock which may be issued pursuant to any PIK Payments, the Securities), pursuant to a Warrant Agreement to be dated as of March15, 2017 (the Warrant Agreement) between the Company and Continental Stock Transfer&amp; Trust Company, as warrant agent;", "ner": [[105, 106, "Title"], [112, 114, "EffectiveDate"], [124, 131, "Parties"]], "tokenized_text": ["WHEREAS", ",", "as", "an", "inducement", "to", "enter", "into", "this", "Agreement", ",", "the", "Company", "will", "issue", "to", "the", "Sellers", "a", "consent", "fee", "(", "the", "Consent", "Fee", ")", ",", "which", "may", "be", "payable", ",", "at", "the", "option", "of", "the", "Seller", "as", "elected", "on", "the", "signature", "pages", "hereto", ",", "in", "(", "i", ")", "cash", "or", "(", "ii", ")", "in", "penny", "warrants", "to", "purchase", "Common", "Stock", "(", "the", "Amendment", "Fee", "Warrants", "and", "together", "with", "the", "Financing", "Warrants", "and", "the", "Commitment", "Fee", "Warrants", ",", "the", "Warrants", ",", "and", "together", "with", "the", "Common", "Stock", "which", "may", "be", "issued", "pursuant", "to", "any", "PIK", "Payments", ",", "the", "Securities", ")", ",", "pursuant", "to", "a", "Warrant", "Agreement", "to", "be", "dated", "as", "of", "March15", ",", "2017", "(", "the", "Warrant", "Agreement", ")", "between", "the", "Company", "and", "Continental", "Stock", "Transfer", "&", "amp", ";", "Trust", "Company", ",", "as", "warrant", "agent", ";"]}
{"id": "13105", "text": "(b) Exchange Second Lien Credit Agreement. The Company, the other Credit Parties (as defined in the Exchange Second Lien Credit Agreement), the Exchange Administrative Agent and each Seller that is party to the Exchange Second Lien Credit Agreement as of the Effective Date, effective as of the date hereof and subject to the satisfaction of the conditions precedent set forth in Section5 of this Agreement, hereby (v)consent to, and direct the Exchange Administrative Agent and the Collateral Trustee (as defined in the Exchange Second Lien Credit Agreement) to enter into, the amendments to the Exchange Second Lien Credit Agreement attached as Exhibit C hereto, (w)agree that the Exchange Second Lien Credit Agreement shall be deemed further amended to allow for the consummation of the transactions contemplated by this Agreement, (x)irrevocably waive the requirement for the payment by the Borrower of any applicable Make-Whole Amount (as defined in the Exchange Second Lien Credit Agreement) that is owing solely with respect to the 2015 Exchange Loans that are subject to the purchase and sale contemplated by this Agreement, (y)hereby consent to, and, subject to compliance with Section 7.1(c) of the Collateral Trust Agreement (as defined in the Exchange Second Lien Credit Agreement), direct the Collateral Trustee (as defined in the Exchange Second Lien Credit Agreement) to enter into, the amendment to the Collateral Trust Agreement attached as Exhibit A hereto and (z)hereby consent to, and direct the Collateral Trustee (in its capacity as a Secured Debt Representative under and as defined in the Intercreditor Agreement (as defined in the Exchange Second Lien Credit Agreement)) to enter into, the amendment to the Intercreditor Agreement attached as Exhibit B hereto.", "ner": [[3, 7, "Title"], [24, 25, "Title"], [43, 44, "Title"], [99, 100, "Title"], [113, 114, "Title"], [130, 131, "Title"], [176, 177, "Title"], [225, 227, "Title"], [236, 237, "Title"], [252, 253, "Title"], [299, 300, "Title"], [309, 310, "Title"]], "tokenized_text": ["(", "b", ")", "Exchange", "Second", "Lien", "Credit", "Agreement", ".", "The", "Company", ",", "the", "other", "Credit", "Parties", "(", "as", "defined", "in", "the", "Exchange", "Second", "Lien", "Credit", "Agreement", ")", ",", "the", "Exchange", "Administrative", "Agent", "and", "each", "Seller", "that", "is", "party", "to", "the", "Exchange", "Second", "Lien", "Credit", "Agreement", "as", "of", "the", "Effective", "Date", ",", "effective", "as", "of", "the", "date", "hereof", "and", "subject", "to", "the", "satisfaction", "of", "the", "conditions", "precedent", "set", "forth", "in", "Section5", "of", "this", "Agreement", ",", "hereby", "(", "v", ")", "consent", "to", ",", "and", "direct", "the", "Exchange", "Administrative", "Agent", "and", "the", "Collateral", "Trustee", "(", "as", "defined", "in", "the", "Exchange", "Second", "Lien", "Credit", "Agreement", ")", "to", "enter", "into", ",", "the", "amendments", "to", "the", "Exchange", "Second", "Lien", "Credit", "Agreement", "attached", "as", "Exhibit", "C", "hereto", ",", "(", "w", ")", "agree", "that", "the", "Exchange", "Second", "Lien", "Credit", "Agreement", "shall", "be", "deemed", "further", "amended", "to", "allow", "for", "the", "consummation", "of", "the", "transactions", "contemplated", "by", "this", "Agreement", ",", "(", "x", ")", "irrevocably", "waive", "the", "requirement", "for", "the", "payment", "by", "the", "Borrower", "of", "any", "applicable", "Make-Whole", "Amount", "(", "as", "defined", "in", "the", "Exchange", "Second", "Lien", "Credit", "Agreement", ")", "that", "is", "owing", "solely", "with", "respect", "to", "the", "2015", "Exchange", "Loans", "that", "are", "subject", "to", "the", "purchase", "and", "sale", "contemplated", "by", "this", "Agreement", ",", "(", "y", ")", "hereby", "consent", "to", ",", "and", ",", "subject", "to", "compliance", "with", "Section", "7", ".", "1", "(", "c", ")", "of", "the", "Collateral", "Trust", "Agreement", "(", "as", "defined", "in", "the", "Exchange", "Second", "Lien", "Credit", "Agreement", ")", ",", "direct", "the", "Collateral", "Trustee", "(", "as", "defined", "in", "the", "Exchange", "Second", "Lien", "Credit", "Agreement", ")", "to", "enter", "into", ",", "the", "amendment", "to", "the", "Collateral", "Trust", "Agreement", "attached", "as", "Exhibit", "A", "hereto", "and", "(", "z", ")", "hereby", "consent", "to", ",", "and", "direct", "the", "Collateral", "Trustee", "(", "in", "its", "capacity", "as", "a", "Secured", "Debt", "Representative", "under", "and", "as", "defined", "in", "the", "Intercreditor", "Agreement", "(", "as", "defined", "in", "the", "Exchange", "Second", "Lien", "Credit", "Agreement", ")", ")", "to", "enter", "into", ",", "the", "amendment", "to", "the", "Intercreditor", "Agreement", "attached", "as", "Exhibit", "B", "hereto", "."]}
{"id": "13107", "text": "14\\. Amendments in Writing . This Agreement may only be amended or modified if such amendment, modification or waiver is in writing and signed by all Parties. No waiver of any breach of this Agreement shall be construed as an implied amendment or agreement to amend or modify any provision of this Agreement.", "ner": [], "tokenized_text": ["14", "\\", ".", "Amendments", "in", "Writing", ".", "This", "Agreement", "may", "only", "be", "amended", "or", "modified", "if", "such", "amendment", ",", "modification", "or", "waiver", "is", "in", "writing", "and", "signed", "by", "all", "Parties", ".", "No", "waiver", "of", "any", "breach", "of", "this", "Agreement", "shall", "be", "construed", "as", "an", "implied", "amendment", "or", "agreement", "to", "amend", "or", "modify", "any", "provision", "of", "this", "Agreement", "."]}
{"id": "13110", "text": "| | ---|---|--- WILMINGTON TRUST, NATIONAL ASSOCIATION, as Exchange Administrative Agent | By: | |", "ner": [[13, 14, "Parties"]], "tokenized_text": ["|", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "WILMINGTON", "TRUST", ",", "NATIONAL", "ASSOCIATION", ",", "as", "Exchange", "Administrative", "Agent", "|", "By", ":", "|", "|"]}
{"id": "13117", "text": "The Issuers have previously issued $280,000,000 aggregate principal amount of their 8% Senior Notes due 2020 under the Indenture and subsequently redeemed $98,000,000 in principal amount of such notes, leaving $182,000,000 aggregate principal amount of the 8% Senior Notes due 2020 currently outstanding (the Existing Securities). The Securities offered by the Issuers pursuant to this Purchase Agreement constitute an issuance of Additional Notes under the Indenture. Except as otherwise described in the Pricing Disclosure Package (as defined below), the Securities offered by the Issuers pursuant to this Purchase Agreement will have identical terms to the Existing Securities and will be treated as a single class of Notes for all purposes under the Indenture.", "ner": [[5, 10, "Principal"], [16, 17, "Percentage"], [28, 33, "Principal"], [42, 47, "Principal"], [76, 77, "Title"]], "tokenized_text": ["The", "Issuers", "have", "previously", "issued", "$", "280", ",", "000", ",", "000", "aggregate", "principal", "amount", "of", "their", "8", "%", "Senior", "Notes", "due", "2020", "under", "the", "Indenture", "and", "subsequently", "redeemed", "$", "98", ",", "000", ",", "000", "in", "principal", "amount", "of", "such", "notes", ",", "leaving", "$", "182", ",", "000", ",", "000", "aggregate", "principal", "amount", "of", "the", "8", "%", "Senior", "Notes", "due", "2020", "currently", "outstanding", "(", "the", "Existing", "Securities", ")", ".", "The", "Securities", "offered", "by", "the", "Issuers", "pursuant", "to", "this", "Purchase", "Agreement", "constitute", "an", "issuance", "of", "Additional", "Notes", "under", "the", "Indenture", ".", "Except", "as", "otherwise", "described", "in", "the", "Pricing", "Disclosure", "Package", "(", "as", "defined", "below", ")", ",", "the", "Securities", "offered", "by", "the", "Issuers", "pursuant", "to", "this", "Purchase", "Agreement", "will", "have", "identical", "terms", "to", "the", "Existing", "Securities", "and", "will", "be", "treated", "as", "a", "single", "class", "of", "Notes", "for", "all", "purposes", "under", "the", "Indenture", "."]}
{"id": "13118", "text": "The holders of the Securities will be entitled to the benefits of a registration rights agreement, to be dated as of the Closing Date (the Registration Rights Agreement), among the Issuers and the Initial Purchasers, pursuant to which the Issuers will agree to file with the Commission (as defined below), under the circumstances set forth therein, (i)a registration statement (the Exchange Offer Registration Statement) under the Securities Act ( as defined below) relating to another series of debt securities of the Issuers with terms substantially identical to the Securities (the Exchange Securities) to be offered in exchange for the Securities (the Exchange Offer) and (ii)to the extent required by the Registration Rights Agreement, a shelf registration statement (the Shelf Registration Statement) pursuant to Rule415 of the Securities Act relating to the resale by certain holders of the Securities, and in each case, to use its reasonable best efforts to cause such registration statements to be declared effective.", "ner": [[13, 15, "Title"], [27, 29, "Title"], [80, 81, "Act"], [148, 148, "Regulation"]], "tokenized_text": ["The", "holders", "of", "the", "Securities", "will", "be", "entitled", "to", "the", "benefits", "of", "a", "registration", "rights", "agreement", ",", "to", "be", "dated", "as", "of", "the", "Closing", "Date", "(", "the", "Registration", "Rights", "Agreement", ")", ",", "among", "the", "Issuers", "and", "the", "Initial", "Purchasers", ",", "pursuant", "to", "which", "the", "Issuers", "will", "agree", "to", "file", "with", "the", "Commission", "(", "as", "defined", "below", ")", ",", "under", "the", "circumstances", "set", "forth", "therein", ",", "(", "i", ")", "a", "registration", "statement", "(", "the", "Exchange", "Offer", "Registration", "Statement", ")", "under", "the", "Securities", "Act", "(", "as", "defined", "below", ")", "relating", "to", "another", "series", "of", "debt", "securities", "of", "the", "Issuers", "with", "terms", "substantially", "identical", "to", "the", "Securities", "(", "the", "Exchange", "Securities", ")", "to", "be", "offered", "in", "exchange", "for", "the", "Securities", "(", "the", "Exchange", "Offer", ")", "and", "(", "ii", ")", "to", "the", "extent", "required", "by", "the", "Registration", "Rights", "Agreement", ",", "a", "shelf", "registration", "statement", "(", "the", "Shelf", "Registration", "Statement", ")", "pursuant", "to", "Rule415", "of", "the", "Securities", "Act", "relating", "to", "the", "resale", "by", "certain", "holders", "of", "the", "Securities", ",", "and", "in", "each", "case", ",", "to", "use", "its", "reasonable", "best", "efforts", "to", "cause", "such", "registration", "statements", "to", "be", "declared", "effective", "."]}
{"id": "13119", "text": "The Issuers, the Operating Partnership and Ferrellgas,Inc., a Delaware corporation and the general partner of the Company and the Operating Partnership (the General Partner and, together with the Issuers and the Operating Partnership, the Ferrellgas Parties) understand that the Initial Purchasers propose to make an offering of the Securities on the terms and in the manner set forth herein and in the Pricing Disclosure Package (as defined below) and agree that the Initial Purchasers may resell, subject to the conditions set forth herein, all or a portion of the Securities to purchasers (the Subsequent Purchasers) on the terms set forth in the Pricing Disclosure Package (the first time when sales of the Securities are made is referred to as the Time of Sale). The Securities are to be offered and sold to or through the Initial Purchasers without being registered with the Securities and Exchange Commission (the Commission) under the Securities Act of 1933 (as amended, the Securities Act , which term, as used herein, includes the rulesand regulations of the Commission promulgated thereunder), in reliance upon exemptions therefrom. Pursuant to the terms of the Securities and the Indenture, investors who acquire Securities shall be deemed to have agreed that Securities may only be resold or otherwise transferred, after the date hereof, if such Securities are registered for sale under the Securities Act or if an exemption from the registration requirements of the Securities Act is available (including the exemptions afforded by Rule144A under the Securities Act ( Rule144A) or Regulation S under the Securities Act ( Regulation S)).", "ner": [[7, 10, "Parties"], [170, 173, "Act"], [273, 273, "Regulation"], [282, 283, "Regulation"]], "tokenized_text": ["The", "Issuers", ",", "the", "Operating", "Partnership", "and", "Ferrellgas", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "and", "the", "general", "partner", "of", "the", "Company", "and", "the", "Operating", "Partnership", "(", "the", "General", "Partner", "and", ",", "together", "with", "the", "Issuers", "and", "the", "Operating", "Partnership", ",", "the", "Ferrellgas", "Parties", ")", "understand", "that", "the", "Initial", "Purchasers", "propose", "to", "make", "an", "offering", "of", "the", "Securities", "on", "the", "terms", "and", "in", "the", "manner", "set", "forth", "herein", "and", "in", "the", "Pricing", "Disclosure", "Package", "(", "as", "defined", "below", ")", "and", "agree", "that", "the", "Initial", "Purchasers", "may", "resell", ",", "subject", "to", "the", "conditions", "set", "forth", "herein", ",", "all", "or", "a", "portion", "of", "the", "Securities", "to", "purchasers", "(", "the", "Subsequent", "Purchasers", ")", "on", "the", "terms", "set", "forth", "in", "the", "Pricing", "Disclosure", "Package", "(", "the", "first", "time", "when", "sales", "of", "the", "Securities", "are", "made", "is", "referred", "to", "as", "the", "Time", "of", "Sale", ")", ".", "The", "Securities", "are", "to", "be", "offered", "and", "sold", "to", "or", "through", "the", "Initial", "Purchasers", "without", "being", "registered", "with", "the", "Securities", "and", "Exchange", "Commission", "(", "the", "Commission", ")", "under", "the", "Securities", "Act", "of", "1933", "(", "as", "amended", ",", "the", "Securities", "Act", ",", "which", "term", ",", "as", "used", "herein", ",", "includes", "the", "rulesand", "regulations", "of", "the", "Commission", "promulgated", "thereunder", ")", ",", "in", "reliance", "upon", "exemptions", "therefrom", ".", "Pursuant", "to", "the", "terms", "of", "the", "Securities", "and", "the", "Indenture", ",", "investors", "who", "acquire", "Securities", "shall", "be", "deemed", "to", "have", "agreed", "that", "Securities", "may", "only", "be", "resold", "or", "otherwise", "transferred", ",", "after", "the", "date", "hereof", ",", "if", "such", "Securities", "are", "registered", "for", "sale", "under", "the", "Securities", "Act", "or", "if", "an", "exemption", "from", "the", "registration", "requirements", "of", "the", "Securities", "Act", "is", "available", "(", "including", "the", "exemptions", "afforded", "by", "Rule144A", "under", "the", "Securities", "Act", "(", "Rule144A", ")", "or", "Regulation", "S", "under", "the", "Securities", "Act", "(", "Regulation", "S", ")", ")", "."]}
{"id": "13120", "text": "Exchange Act of 1934 (as amended, the Exchange Act, which term, as used herein, includes the rulesand regulations of the Commission promulgated thereunder) prior to the Time of Sale and incorporated by reference in the Pricing Disclosure Package (including the Preliminary Offering Memorandum) or the Final Offering Memorandum (as the case may be), and all references herein to the terms amend, amendment or supplement with respect to the Final Offering Memorandum shall be deemed to mean and include all information filed under the Exchange Act after the Time of Sale and incorporated by reference in the Final Offering Memorandum.", "ner": [[0, 3, "Act"], [53, 55, "Title"]], "tokenized_text": ["Exchange", "Act", "of", "1934", "(", "as", "amended", ",", "the", "Exchange", "Act", ",", "which", "term", ",", "as", "used", "herein", ",", "includes", "the", "rulesand", "regulations", "of", "the", "Commission", "promulgated", "thereunder", ")", "prior", "to", "the", "Time", "of", "Sale", "and", "incorporated", "by", "reference", "in", "the", "Pricing", "Disclosure", "Package", "(", "including", "the", "Preliminary", "Offering", "Memorandum", ")", "or", "the", "Final", "Offering", "Memorandum", "(", "as", "the", "case", "may", "be", ")", ",", "and", "all", "references", "herein", "to", "the", "terms", "amend", ",", "amendment", "or", "supplement", "with", "respect", "to", "the", "Final", "Offering", "Memorandum", "shall", "be", "deemed", "to", "mean", "and", "include", "all", "information", "filed", "under", "the", "Exchange", "Act", "after", "the", "Time", "of", "Sale", "and", "incorporated", "by", "reference", "in", "the", "Final", "Offering", "Memorandum", "."]}
{"id": "13121", "text": "(a) Subject to compliance by the Initial Purchasers with the representations and warranties set forth in Section2 hereof and with the procedures set forth in Section6 hereof, it is not necessary in connection with the offer, sale and delivery of the Securities to the Initial Purchasers and to each Subsequent Purchaser in the manner contemplated by this Agreement and the Offering Memorandum to register the Securities under the Securities Act or, until such time as the Exchange Securities are issued pursuant to an effective registration statement, to qualify the Indenture under the Trust Indenture Act of 1939 (as amended, the Trust Indenture Act, which term, as used herein, includes the rulesand regulations of the Commission promulgated thereunder).", "ner": [[72, 73, "Act"], [98, 102, "Act"]], "tokenized_text": ["(", "a", ")", "Subject", "to", "compliance", "by", "the", "Initial", "Purchasers", "with", "the", "representations", "and", "warranties", "set", "forth", "in", "Section2", "hereof", "and", "with", "the", "procedures", "set", "forth", "in", "Section6", "hereof", ",", "it", "is", "not", "necessary", "in", "connection", "with", "the", "offer", ",", "sale", "and", "delivery", "of", "the", "Securities", "to", "the", "Initial", "Purchasers", "and", "to", "each", "Subsequent", "Purchaser", "in", "the", "manner", "contemplated", "by", "this", "Agreement", "and", "the", "Offering", "Memorandum", "to", "register", "the", "Securities", "under", "the", "Securities", "Act", "or", ",", "until", "such", "time", "as", "the", "Exchange", "Securities", "are", "issued", "pursuant", "to", "an", "effective", "registration", "statement", ",", "to", "qualify", "the", "Indenture", "under", "the", "Trust", "Indenture", "Act", "of", "1939", "(", "as", "amended", ",", "the", "Trust", "Indenture", "Act", ",", "which", "term", ",", "as", "used", "herein", ",", "includes", "the", "rulesand", "regulations", "of", "the", "Commission", "promulgated", "thereunder", ")", "."]}
{"id": "13122", "text": "(b) None of the Issuers or, to the Issuers knowledge, their affiliates (as such term is defined in Rule501 under the Securities Act) ( each, an Affiliate), or any person acting on its or any of their behalf (other than the Initial Purchasers, as to whom the Ferrellgas Parties make no representation or warranty) has, directly or indirectly, solicited any offer to buy or offered to sell, or will, directly or indirectly, solicit any offer to buy or offer to sell, in the United States or to any United States citizen or resident, any security which is or would be integrated with the sale of the Securities in a manner that would require the Securities to be registered under the Securities Act . None of the Issuers or, to the Issuers knowledge, their Affiliates, or any person acting on its or any of their behalf (other than the Initial Purchasers, as to whom the Ferrellgas Parties make no representation or warranty) has engaged or will engage, in connection with the offering of the Securities, in any form of general solicitation or general advertising within the meaning of Rule502 under the Securities Act . With respect to those Securities sold in reliance upon Regulation S, (i)none of the Issuers or, to the Issuers knowledge, their respective Affiliates or any person acting on its or their behalf (other than the Initial Purchasers, as to whom the Ferrellgas Parties make no representation or warranty) has engaged or will engage in any directed selling efforts within the meaning of Regulation S", "ner": [[23, 23, "Regulation"], [26, 27, "Act"], [214, 214, "Regulation"], [229, 230, "Regulation"]], "tokenized_text": ["(", "b", ")", "None", "of", "the", "Issuers", "or", ",", "to", "the", "Issuers", "knowledge", ",", "their", "affiliates", "(", "as", "such", "term", "is", "defined", "in", "Rule501", "under", "the", "Securities", "Act", ")", "(", "each", ",", "an", "Affiliate", ")", ",", "or", "any", "person", "acting", "on", "its", "or", "any", "of", "their", "behalf", "(", "other", "than", "the", "Initial", "Purchasers", ",", "as", "to", "whom", "the", "Ferrellgas", "Parties", "make", "no", "representation", "or", "warranty", ")", "has", ",", "directly", "or", "indirectly", ",", "solicited", "any", "offer", "to", "buy", "or", "offered", "to", "sell", ",", "or", "will", ",", "directly", "or", "indirectly", ",", "solicit", "any", "offer", "to", "buy", "or", "offer", "to", "sell", ",", "in", "the", "United", "States", "or", "to", "any", "United", "States", "citizen", "or", "resident", ",", "any", "security", "which", "is", "or", "would", "be", "integrated", "with", "the", "sale", "of", "the", "Securities", "in", "a", "manner", "that", "would", "require", "the", "Securities", "to", "be", "registered", "under", "the", "Securities", "Act", ".", "None", "of", "the", "Issuers", "or", ",", "to", "the", "Issuers", "knowledge", ",", "their", "Affiliates", ",", "or", "any", "person", "acting", "on", "its", "or", "any", "of", "their", "behalf", "(", "other", "than", "the", "Initial", "Purchasers", ",", "as", "to", "whom", "the", "Ferrellgas", "Parties", "make", "no", "representation", "or", "warranty", ")", "has", "engaged", "or", "will", "engage", ",", "in", "connection", "with", "the", "offering", "of", "the", "Securities", ",", "in", "any", "form", "of", "general", "solicitation", "or", "general", "advertising", "within", "the", "meaning", "of", "Rule502", "under", "the", "Securities", "Act", ".", "With", "respect", "to", "those", "Securities", "sold", "in", "reliance", "upon", "Regulation", "S", ",", "(", "i", ")", "none", "of", "the", "Issuers", "or", ",", "to", "the", "Issuers", "knowledge", ",", "their", "respective", "Affiliates", "or", "any", "person", "acting", "on", "its", "or", "their", "behalf", "(", "other", "than", "the", "Initial", "Purchasers", ",", "as", "to", "whom", "the", "Ferrellgas", "Parties", "make", "no", "representation", "or", "warranty", ")", "has", "engaged", "or", "will", "engage", "in", "any", "directed", "selling", "efforts", "within", "the", "meaning", "of", "Regulation", "S"]}
{"id": "13123", "text": "(i) The limited partners of the Company hold Common Units in the Company representing an aggregate 99.0% limited partner interest; such limited partner interest consists of (as of January24, 2017 ) (i)69,612,939 publicly-traded Common Units (representing an approximate 72% limited partner interest), (ii)22,776,251 Common", "ner": [[18, 21, "Percentage"], [42, 46, "Shares"], [54, 55, "Percentage"], [64, 68, "Shares"]], "tokenized_text": ["(", "i", ")", "The", "limited", "partners", "of", "the", "Company", "hold", "Common", "Units", "in", "the", "Company", "representing", "an", "aggregate", "99", ".", "0", "%", "limited", "partner", "interest", ";", "such", "limited", "partner", "interest", "consists", "of", "(", "as", "of", "January24", ",", "2017", ")", "(", "i", ")", "69", ",", "612", ",", "939", "publicly-traded", "Common", "Units", "(", "representing", "an", "approximate", "72", "%", "limited", "partner", "interest", ")", ",", "(", "ii", ")", "22", ",", "776", ",", "251", "Common"]}
{"id": "13131", "text": "(yy) Except as otherwise disclosed in the Offering Memorandum, each of the Ferrellgas Parties and their respective subsidiaries and any employee benefit plan (as defined under the Employee Retirement Income Security Act of 1974 (as amended, ERISA, which term, as used herein, includes the regulations and published interpretations thereunder) established or maintained by each of the Ferrellgas Parties, their respective subsidiaries or their respective ERISA Affiliates (as defined below) are in compliance with ERISA, except where such noncompliance, individually or in the", "ner": [[31, 37, "Act"]], "tokenized_text": ["(", "yy", ")", "Except", "as", "otherwise", "disclosed", "in", "the", "Offering", "Memorandum", ",", "each", "of", "the", "Ferrellgas", "Parties", "and", "their", "respective", "subsidiaries", "and", "any", "employee", "benefit", "plan", "(", "as", "defined", "under", "the", "Employee", "Retirement", "Income", "Security", "Act", "of", "1974", "(", "as", "amended", ",", "ERISA", ",", "which", "term", ",", "as", "used", "herein", ",", "includes", "the", "regulations", "and", "published", "interpretations", "thereunder", ")", "established", "or", "maintained", "by", "each", "of", "the", "Ferrellgas", "Parties", ",", "their", "respective", "subsidiaries", "or", "their", "respective", "ERISA", "Affiliates", "(", "as", "defined", "below", ")", "are", "in", "compliance", "with", "ERISA", ",", "except", "where", "such", "noncompliance", ",", "individually", "or", "in", "the"]}
{"id": "13132", "text": "(zz) No relationship, direct or indirect, exists between or among any of the Ferrellgas Parties, on the one hand, and any director, officer, partner, member, stockholder, customer or supplier of the Ferrellgas Parties, on the other hand, that would be required by the Securities Act to be described in a registration statement on FormS-1 that is not so described in the Offering Memorandum. Except as otherwise disclosed in the Offering Memorandum, there are no outstanding loans, advances (except advances for business expenses in the ordinary course of business) or guarantees of indebtedness by the Ferrellgas Parties to or for the benefit of any of the officers or directors of the Ferrellgas Parties or any of their respective family members.", "ner": [[17, 18, "Parties"], [56, 57, "Act"], [74, 75, "Title"]], "tokenized_text": ["(", "zz", ")", "No", "relationship", ",", "direct", "or", "indirect", ",", "exists", "between", "or", "among", "any", "of", "the", "Ferrellgas", "Parties", ",", "on", "the", "one", "hand", ",", "and", "any", "director", ",", "officer", ",", "partner", ",", "member", ",", "stockholder", ",", "customer", "or", "supplier", "of", "the", "Ferrellgas", "Parties", ",", "on", "the", "other", "hand", ",", "that", "would", "be", "required", "by", "the", "Securities", "Act", "to", "be", "described", "in", "a", "registration", "statement", "on", "FormS-1", "that", "is", "not", "so", "described", "in", "the", "Offering", "Memorandum", ".", "Except", "as", "otherwise", "disclosed", "in", "the", "Offering", "Memorandum", ",", "there", "are", "no", "outstanding", "loans", ",", "advances", "(", "except", "advances", "for", "business", "expenses", "in", "the", "ordinary", "course", "of", "business", ")", "or", "guarantees", "of", "indebtedness", "by", "the", "Ferrellgas", "Parties", "to", "or", "for", "the", "benefit", "of", "any", "of", "the", "officers", "or", "directors", "of", "the", "Ferrellgas", "Parties", "or", "any", "of", "their", "respective", "family", "members", "."]}
{"id": "13135", "text": "(ccc) None of the Ferrellgas Parties nor any subsidiary, director, employee or officer thereof, nor, to the knowledge of the Ferrellgas Parties, any affiliate or other person associated with or acting on behalf of the Ferrellgas Parties or any of their respective subsidiaries is the subject or target of Sanctions. None of the Ferrellgas Parties nor any subsidiary thereof, is located, organized or resident in a Sanctioned Country. No part of the proceeds of the offering of the Securities hereunder will be used, directly or indirectly, by the Issuers in violation of Sanctions. For purposes hereof: (i)Sanctions shall mean economic or financial sanctions or trade embargoes imposed, administered or enforced from time to time by (a)the U.S. government, including those administered by the Office of Foreign Assets Control of the U.S. Department of the Treasury or the U.S. Department of State or other relevant sanctions authority, or (b)the Canadian Office of the Superintendent of Financial Institutions and (ii)Sanctioned Country shall mean, at any time, a country or territory which is itself the subject or target of any Sanctions (at the time of this Agreement, including but not limited to, Crimea, Cuba,Iran, North Korea, Sudan and Syria). For the past five years, the Ferrellgas Parties and their respective subsidiaries have not knowingly engaged in and are not now knowingly engaged in any dealings or transactions with any person that at the time of the dealing or transaction is or was the subject or the target of Sanctions or with any Sanctioned Country.", "ner": [[6, 7, "Parties"], [149, 153, "Parties"], [244, 244, "Parties"]], "tokenized_text": ["(", "ccc", ")", "None", "of", "the", "Ferrellgas", "Parties", "nor", "any", "subsidiary", ",", "director", ",", "employee", "or", "officer", "thereof", ",", "nor", ",", "to", "the", "knowledge", "of", "the", "Ferrellgas", "Parties", ",", "any", "affiliate", "or", "other", "person", "associated", "with", "or", "acting", "on", "behalf", "of", "the", "Ferrellgas", "Parties", "or", "any", "of", "their", "respective", "subsidiaries", "is", "the", "subject", "or", "target", "of", "Sanctions", ".", "None", "of", "the", "Ferrellgas", "Parties", "nor", "any", "subsidiary", "thereof", ",", "is", "located", ",", "organized", "or", "resident", "in", "a", "Sanctioned", "Country", ".", "No", "part", "of", "the", "proceeds", "of", "the", "offering", "of", "the", "Securities", "hereunder", "will", "be", "used", ",", "directly", "or", "indirectly", ",", "by", "the", "Issuers", "in", "violation", "of", "Sanctions", ".", "For", "purposes", "hereof", ":", "(", "i", ")", "Sanctions", "shall", "mean", "economic", "or", "financial", "sanctions", "or", "trade", "embargoes", "imposed", ",", "administered", "or", "enforced", "from", "time", "to", "time", "by", "(", "a", ")", "the", "U", ".", "S", ".", "government", ",", "including", "those", "administered", "by", "the", "Office", "of", "Foreign", "Assets", "Control", "of", "the", "U", ".", "S", ".", "Department", "of", "the", "Treasury", "or", "the", "U", ".", "S", ".", "Department", "of", "State", "or", "other", "relevant", "sanctions", "authority", ",", "or", "(", "b", ")", "the", "Canadian", "Office", "of", "the", "Superintendent", "of", "Financial", "Institutions", "and", "(", "ii", ")", "Sanctioned", "Country", "shall", "mean", ",", "at", "any", "time", ",", "a", "country", "or", "territory", "which", "is", "itself", "the", "subject", "or", "target", "of", "any", "Sanctions", "(", "at", "the", "time", "of", "this", "Agreement", ",", "including", "but", "not", "limited", "to", ",", "Crimea", ",", "Cuba", ",", "Iran", ",", "North", "Korea", ",", "Sudan", "and", "Syria", ")", ".", "For", "the", "past", "five", "years", ",", "the", "Ferrellgas", "Parties", "and", "their", "respective", "subsidiaries", "have", "not", "knowingly", "engaged", "in", "and", "are", "not", "now", "knowingly", "engaged", "in", "any", "dealings", "or", "transactions", "with", "any", "person", "that", "at", "the", "time", "of", "the", "dealing", "or", "transaction", "is", "or", "was", "the", "subject", "or", "the", "target", "of", "Sanctions", "or", "with", "any", "Sanctioned", "Country", "."]}
{"id": "13136", "text": "(b) The Closing Date. Delivery of certificates for the Securities in definitive form to be purchased by the Initial Purchasers and payment therefor shall be made at the offices of Fried, Frank, Harris, Shriver &amp; Jacobson LLP, One New York Plaza, New York, New York 10004 (or such other place as may be agreed to by the Company and Merrill Lynch at 9:00 a.m., New York City time, on January30, 2017, or such other time and date as Merrill Lynch shall designate by notice to the Company (the time and date of such closing are called the Closing Date).", "ner": [[33, 44, "Parties"], [46, 56, "Address"]], "tokenized_text": ["(", "b", ")", "The", "Closing", "Date", ".", "Delivery", "of", "certificates", "for", "the", "Securities", "in", "definitive", "form", "to", "be", "purchased", "by", "the", "Initial", "Purchasers", "and", "payment", "therefor", "shall", "be", "made", "at", "the", "offices", "of", "Fried", ",", "Frank", ",", "Harris", ",", "Shriver", "&", "amp", ";", "Jacobson", "LLP", ",", "One", "New", "York", "Plaza", ",", "New", "York", ",", "New", "York", "10004", "(", "or", "such", "other", "place", "as", "may", "be", "agreed", "to", "by", "the", "Company", "and", "Merrill", "Lynch", "at", "9", ":", "00", "a", ".", "m", ".", ",", "New", "York", "City", "time", ",", "on", "January30", ",", "2017", ",", "or", "such", "other", "time", "and", "date", "as", "Merrill", "Lynch", "shall", "designate", "by", "notice", "to", "the", "Company", "(", "the", "time", "and", "date", "of", "such", "closing", "are", "called", "the", "Closing", "Date", ")", "."]}
{"id": "13137", "text": "(d) Initial Purchasers as Qualified Institutional Buyers. Each Initial Purchaser severally and not jointly represents and warrants to, and agrees with, the Issuers that (i)it is a qualified institutional buyer within the meaning of Rule144A (a Qualified Institutional Buyer), (ii)it will offer and sell Securities only to (A)persons who it reasonably believes are Qualified Institutional Buyers in transactions meeting the requirements of Rule144A or (B)upon the terms and conditions set forth in Annex I to this Agreement; and (iii)it will not offer or sell Securities by any form of general solicitation or general advertising, including but not limited to the methods described in Rule502(c)under the Securities Act.&lt; br/&gt;", "ner": [[42, 42, "Regulation"], [128, 131, "Regulation"], [134, 135, "Act"]], "tokenized_text": ["(", "d", ")", "Initial", "Purchasers", "as", "Qualified", "Institutional", "Buyers", ".", "Each", "Initial", "Purchaser", "severally", "and", "not", "jointly", "represents", "and", "warrants", "to", ",", "and", "agrees", "with", ",", "the", "Issuers", "that", "(", "i", ")", "it", "is", "a", "qualified", "institutional", "buyer", "within", "the", "meaning", "of", "Rule144A", "(", "a", "Qualified", "Institutional", "Buyer", ")", ",", "(", "ii", ")", "it", "will", "offer", "and", "sell", "Securities", "only", "to", "(", "A", ")", "persons", "who", "it", "reasonably", "believes", "are", "Qualified", "Institutional", "Buyers", "in", "transactions", "meeting", "the", "requirements", "of", "Rule144A", "or", "(", "B", ")", "upon", "the", "terms", "and", "conditions", "set", "forth", "in", "Annex", "I", "to", "this", "Agreement", ";", "and", "(", "iii", ")", "it", "will", "not", "offer", "or", "sell", "Securities", "by", "any", "form", "of", "general", "solicitation", "or", "general", "advertising", ",", "including", "but", "not", "limited", "to", "the", "methods", "described", "in", "Rule502", "(", "c", ")", "under", "the", "Securities", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "13139", "text": "(h) Prior to the completion of the placement of the Securities by the Initial Purchasers with the Subsequent Purchasers, each of the Issuers shall file, on a timely basis, with the Commission and the New York Stock Exchange (NYSE) all reports and documents required to be filed under Section13 or 15 of the Exchange Act. At any time when an Issuer is not subject to Section13 or 15(d)of the Exchange Act and the Securities are restricted securities within the meaning of Rule144(a)(3)under the Securities Act , for the benefit of holders and beneficial owners from time to time of the Securities, such Issuer shall furnish, at its expense, upon request, to holders and beneficial owners of Securities and prospective purchasers of Securities information satisfying the requirements of Rule144A(d)(4)under the Securities Act.&lt; br/&gt;", "ner": [[60, 61, "Act"], [93, 99, "Regulation"], [102, 103, "Act"]], "tokenized_text": ["(", "h", ")", "Prior", "to", "the", "completion", "of", "the", "placement", "of", "the", "Securities", "by", "the", "Initial", "Purchasers", "with", "the", "Subsequent", "Purchasers", ",", "each", "of", "the", "Issuers", "shall", "file", ",", "on", "a", "timely", "basis", ",", "with", "the", "Commission", "and", "the", "New", "York", "Stock", "Exchange", "(", "NYSE", ")", "all", "reports", "and", "documents", "required", "to", "be", "filed", "under", "Section13", "or", "15", "of", "the", "Exchange", "Act", ".", "At", "any", "time", "when", "an", "Issuer", "is", "not", "subject", "to", "Section13", "or", "15", "(", "d", ")", "of", "the", "Exchange", "Act", "and", "the", "Securities", "are", "restricted", "securities", "within", "the", "meaning", "of", "Rule144", "(", "a", ")", "(", "3", ")", "under", "the", "Securities", "Act", ",", "for", "the", "benefit", "of", "holders", "and", "beneficial", "owners", "from", "time", "to", "time", "of", "the", "Securities", ",", "such", "Issuer", "shall", "furnish", ",", "at", "its", "expense", ",", "upon", "request", ",", "to", "holders", "and", "beneficial", "owners", "of", "Securities", "and", "prospective", "purchasers", "of", "Securities", "information", "satisfying", "the", "requirements", "of", "Rule144A", "(", "d", ")", "(", "4", ")", "under", "the", "Securities", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "13140", "text": "(j) Except for the Exchange Offer Registration Statement, during the period beginning on the date hereof through and including the date that is 60 days after the date hereof, none of the Ferrellgas Parties will offer, sell, contract to sell, pledge or otherwise dispose of, directly or indirectly, or file with the Commission a registration statement under the Securities Act relating to, any United States dollar-denominated debt securities issued or guaranteed by any of the Ferrellgas Parties and having a maturity of more than one year from the date of issue, or publicly disclose the intention to make any such offer, sale, pledge, disposition or filing, in each case without the prior written consent of Merrill Lynch.", "ner": [[67, 68, "Act"], [94, 95, "TerminationDate"]], "tokenized_text": ["(", "j", ")", "Except", "for", "the", "Exchange", "Offer", "Registration", "Statement", ",", "during", "the", "period", "beginning", "on", "the", "date", "hereof", "through", "and", "including", "the", "date", "that", "is", "60", "days", "after", "the", "date", "hereof", ",", "none", "of", "the", "Ferrellgas", "Parties", "will", "offer", ",", "sell", ",", "contract", "to", "sell", ",", "pledge", "or", "otherwise", "dispose", "of", ",", "directly", "or", "indirectly", ",", "or", "file", "with", "the", "Commission", "a", "registration", "statement", "under", "the", "Securities", "Act", "relating", "to", ",", "any", "United", "States", "dollar-denominated", "debt", "securities", "issued", "or", "guaranteed", "by", "any", "of", "the", "Ferrellgas", "Parties", "and", "having", "a", "maturity", "of", "more", "than", "one", "year", "from", "the", "date", "of", "issue", ",", "or", "publicly", "disclose", "the", "intention", "to", "make", "any", "such", "offer", ",", "sale", ",", "pledge", ",", "disposition", "or", "filing", ",", "in", "each", "case", "without", "the", "prior", "written", "consent", "of", "Merrill", "Lynch", "."]}
{"id": "13141", "text": "(k) None of the Ferrellgas Parties will at any time offer, sell, contract to sell, pledge or otherwise dispose of, directly or indirectly, any securities under circumstances where such offer, sale, pledge, contract or disposition would cause the exemption afforded by Section4(a)(2)of the Securities Act or the safe harbor of Regulation S thereunder to cease to be applicable to the offer and sale of the Securities.", "ner": [[60, 61, "Act"], [67, 68, "Regulation"]], "tokenized_text": ["(", "k", ")", "None", "of", "the", "Ferrellgas", "Parties", "will", "at", "any", "time", "offer", ",", "sell", ",", "contract", "to", "sell", ",", "pledge", "or", "otherwise", "dispose", "of", ",", "directly", "or", "indirectly", ",", "any", "securities", "under", "circumstances", "where", "such", "offer", ",", "sale", ",", "pledge", ",", "contract", "or", "disposition", "would", "cause", "the", "exemption", "afforded", "by", "Section4", "(", "a", ")", "(", "2", ")", "of", "the", "Securities", "Act", "or", "the", "safe", "harbor", "of", "Regulation", "S", "thereunder", "to", "cease", "to", "be", "applicable", "to", "the", "offer", "and", "sale", "of", "the", "Securities", "."]}
{"id": "13144", "text": "(d) Opinion of Counsel for the Initial Purchasers. On the Closing Date the Initial Purchasers shall have received the favorable opinion of Fried, Frank, Harris, Shriver&amp; Jacobson LLP, counsel for the Initial Purchasers, dated as of such Closing Date, with respect to such matters as may be reasonably requested by the Initial Purchasers.", "ner": [[25, 36, "Parties"]], "tokenized_text": ["(", "d", ")", "Opinion", "of", "Counsel", "for", "the", "Initial", "Purchasers", ".", "On", "the", "Closing", "Date", "the", "Initial", "Purchasers", "shall", "have", "received", "the", "favorable", "opinion", "of", "Fried", ",", "Frank", ",", "Harris", ",", "Shriver", "&", "amp", ";", "Jacobson", "LLP", ",", "counsel", "for", "the", "Initial", "Purchasers", ",", "dated", "as", "of", "such", "Closing", "Date", ",", "with", "respect", "to", "such", "matters", "as", "may", "be", "reasonably", "requested", "by", "the", "Initial", "Purchasers", "."]}
{"id": "13147", "text": "THIS NOTE HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE SECURITIES ACT), OR ANY STATE SECURITIES LAWS. NEITHER THIS NOTE, NOR ANY INTEREST OR PARTICIPATION HEREIN MAYBE OFFERED, SOLD, ASSIGNED, TRANSFERRED, PLEDGED, ENCUMBERED OR OTHERWISE DISPOSED OF IN THE ABSENCE OF SUCH REGISTRATION OR UNLESS SUCH TRANSACTION IS EXEMPT FROM, OR NOT SUBJECT TO, THE REGISTRATION REQUIREMENTS OF THE SECURITIES ACT. THE HOLDER OF THIS NOTE, BY ITS ACCEPTANCE HEREOF, AGREES NOT TO OFFER, SELL OR OTHERWISE TRANSFER SUCH SECURITY, PRIOR TO THE DATE WHICH IS ONE YEAR AFTER THE LATER OF THE ORIGINAL ISSUE DATE HEREOF AND THE LAST DATE ON WHICH THE COMPANY OR ANY AFFILIATE OF THE COMPANY WAS THE OWNER OF THIS NOTE (OR ANY PREDECESSOR OF THIS NOTE) (THE RESALE RESTRICTION TERMINATION DATE), EXCEPT THAT THE NOTES MAYBE TRANSFERRED (A)TO THE COMPANY OR ANY SUBSIDIARY THEREOF, (B)PURSUANT TO AN EFFECTIVE REGISTRATION STATEMENT UNDER THE SECURITIES ACT, (C)FOR SO LONG AS THE NOTES ENDORSED THEREON ARE ELIGIBLE FOR RESALE PURSUANT TO RULE 144A UNDER THE SECURITIES ACT (RULE 144A ), TO A PERSON IT REASONABLY BELIEVES IS A QUALIFIED INSTITUTIONAL BUYER AS DEFINED IN RULE 144A THAT PURCHASES FOR ITS OWN ACCOUNT OR FOR THE ACCOUNT OF A QUALIFIED INSTITUTIONAL BUYER TO WHOM NOTICE IS GIVEN THAT THE TRANSFER IS BEING MADE IN RELIANCE ON RULE 144A, (D)PURSUANT TO OFFERS AND SALES TO NON-U.S. PERSONS THAT OCCUR OUTSIDE THE UNITED STATES WITHIN THE MEANING OF AND IN COMPLIANCE WITH REGULATION S UNDER THE SECURITIES ACT, (E)TO AN INSTITUTIONAL ACCREDITED INVESTOR (AS DEFINED IN RULE 501(A)(1), (2), (3)OR (7)OF REGULATION D UNDER THE SECURITIES ACT) THAT, PRIOR TO SUCH TRANSFER, FURNISHES THE TRUSTEE A SIGNED LETTER CONTAINING CERTAIN REPRESENTATIONS AND AGREEMENTS RELATING TO THE TRANSFER OF THE NOTES AND,IF SUCH TRANSFER IS IN RESPECT OF AN AGGREGATE PRINCIPAL", "ner": [[8, 11, "Act"], [23, 25, "Regulation"], [204, 205, "Regulation"], [310, 314, "Regulation"]], "tokenized_text": ["THIS", "NOTE", "HAS", "NOT", "BEEN", "REGISTERED", "UNDER", "THE", "SECURITIES", "ACT", "OF", "1933", ",", "AS", "AMENDED", "(", "THE", "SECURITIES", "ACT", ")", ",", "OR", "ANY", "STATE", "SECURITIES", "LAWS", ".", "NEITHER", "THIS", "NOTE", ",", "NOR", "ANY", "INTEREST", "OR", "PARTICIPATION", "HEREIN", "MAYBE", "OFFERED", ",", "SOLD", ",", "ASSIGNED", ",", "TRANSFERRED", ",", "PLEDGED", ",", "ENCUMBERED", "OR", "OTHERWISE", "DISPOSED", "OF", "IN", "THE", "ABSENCE", "OF", "SUCH", "REGISTRATION", "OR", "UNLESS", "SUCH", "TRANSACTION", "IS", "EXEMPT", "FROM", ",", "OR", "NOT", "SUBJECT", "TO", ",", "THE", "REGISTRATION", "REQUIREMENTS", "OF", "THE", "SECURITIES", "ACT", ".", "THE", "HOLDER", "OF", "THIS", "NOTE", ",", "BY", "ITS", "ACCEPTANCE", "HEREOF", ",", "AGREES", "NOT", "TO", "OFFER", ",", "SELL", "OR", "OTHERWISE", "TRANSFER", "SUCH", "SECURITY", ",", "PRIOR", "TO", "THE", "DATE", "WHICH", "IS", "ONE", "YEAR", "AFTER", "THE", "LATER", "OF", "THE", "ORIGINAL", "ISSUE", "DATE", "HEREOF", "AND", "THE", "LAST", "DATE", "ON", "WHICH", "THE", "COMPANY", "OR", "ANY", "AFFILIATE", "OF", "THE", "COMPANY", "WAS", "THE", "OWNER", "OF", "THIS", "NOTE", "(", "OR", "ANY", "PREDECESSOR", "OF", "THIS", "NOTE", ")", "(", "THE", "RESALE", "RESTRICTION", "TERMINATION", "DATE", ")", ",", "EXCEPT", "THAT", "THE", "NOTES", "MAYBE", "TRANSFERRED", "(", "A", ")", "TO", "THE", "COMPANY", "OR", "ANY", "SUBSIDIARY", "THEREOF", ",", "(", "B", ")", "PURSUANT", "TO", "AN", "EFFECTIVE", "REGISTRATION", "STATEMENT", "UNDER", "THE", "SECURITIES", "ACT", ",", "(", "C", ")", "FOR", "SO", "LONG", "AS", "THE", "NOTES", "ENDORSED", "THEREON", "ARE", "ELIGIBLE", "FOR", "RESALE", "PURSUANT", "TO", "RULE", "144A", "UNDER", "THE", "SECURITIES", "ACT", "(", "RULE", "144A", ")", ",", "TO", "A", "PERSON", "IT", "REASONABLY", "BELIEVES", "IS", "A", "QUALIFIED", "INSTITUTIONAL", "BUYER", "AS", "DEFINED", "IN", "RULE", "144A", "THAT", "PURCHASES", "FOR", "ITS", "OWN", "ACCOUNT", "OR", "FOR", "THE", "ACCOUNT", "OF", "A", "QUALIFIED", "INSTITUTIONAL", "BUYER", "TO", "WHOM", "NOTICE", "IS", "GIVEN", "THAT", "THE", "TRANSFER", "IS", "BEING", "MADE", "IN", "RELIANCE", "ON", "RULE", "144A", ",", "(", "D", ")", "PURSUANT", "TO", "OFFERS", "AND", "SALES", "TO", "NON-U", ".", "S", ".", "PERSONS", "THAT", "OCCUR", "OUTSIDE", "THE", "UNITED", "STATES", "WITHIN", "THE", "MEANING", "OF", "AND", "IN", "COMPLIANCE", "WITH", "REGULATION", "S", "UNDER", "THE", "SECURITIES", "ACT", ",", "(", "E", ")", "TO", "AN", "INSTITUTIONAL", "ACCREDITED", "INVESTOR", "(", "AS", "DEFINED", "IN", "RULE", "501", "(", "A", ")", "(", "1", ")", ",", "(", "2", ")", ",", "(", "3", ")", "OR", "(", "7", ")", "OF", "REGULATION", "D", "UNDER", "THE", "SECURITIES", "ACT", ")", "THAT", ",", "PRIOR", "TO", "SUCH", "TRANSFER", ",", "FURNISHES", "THE", "TRUSTEE", "A", "SIGNED", "LETTER", "CONTAINING", "CERTAIN", "REPRESENTATIONS", "AND", "AGREEMENTS", "RELATING", "TO", "THE", "TRANSFER", "OF", "THE", "NOTES", "AND", ",", "IF", "SUCH", "TRANSFER", "IS", "IN", "RESPECT", "OF", "AN", "AGGREGATE", "PRINCIPAL"]}
{"id": "13150", "text": "(a) Indemnification of the Initial Purchasers. Each of the Ferrellgas Parties, jointly and severally, agrees to indemnify and hold harmless each Initial Purchaser, its affiliates, directors, officers and employees, and each person, if any, who controls any Initial Purchaser within the meaning of the Securities Act and the Exchange Act against any loss, claim, damage, liability or expense, as incurred, to which such Initial Purchaser, affiliate, director, officer, employee or controlling person may become subject, under the Securities Act , the Exchange Act or other federal or state statutory law or regulation, or at common law or otherwise (including in settlement of any litigation, if such settlement is effected with the written consent of the Ferrellgas Parties), insofar as such loss, claim, damage, liability or expense (or actions in respect thereof as contemplated below) arises out of or is based upon any untrue statement or alleged untrue statement of a material fact contained in the Preliminary Offering Memorandum, Pricing Supplement, any Issuer Additional Written Communication or the Final Offering Memorandum (or any amendment or supplement thereto), or the omission or alleged omission therefrom of a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading; and to reimburse each Initial Purchaser and each such director, officer, employee or controlling person for any and all expenses (including the fees and disbursements of counsel chosen by Merrill Lynch) as such expenses are reasonably incurred by such Initial Purchaser or such director, officer, employee or controlling person in connection with investigating, defending, settling, compromising or paying any such loss, claim, damage, liability, expense or action; provided, however, that the foregoing indemnity agreement shall not", "ner": [[55, 56, "Act"], [59, 60, "Act"], [335, 336, "Title"]], "tokenized_text": ["(", "a", ")", "Indemnification", "of", "the", "Initial", "Purchasers", ".", "Each", "of", "the", "Ferrellgas", "Parties", ",", "jointly", "and", "severally", ",", "agrees", "to", "indemnify", "and", "hold", "harmless", "each", "Initial", "Purchaser", ",", "its", "affiliates", ",", "directors", ",", "officers", "and", "employees", ",", "and", "each", "person", ",", "if", "any", ",", "who", "controls", "any", "Initial", "Purchaser", "within", "the", "meaning", "of", "the", "Securities", "Act", "and", "the", "Exchange", "Act", "against", "any", "loss", ",", "claim", ",", "damage", ",", "liability", "or", "expense", ",", "as", "incurred", ",", "to", "which", "such", "Initial", "Purchaser", ",", "affiliate", ",", "director", ",", "officer", ",", "employee", "or", "controlling", "person", "may", "become", "subject", ",", "under", "the", "Securities", "Act", ",", "the", "Exchange", "Act", "or", "other", "federal", "or", "state", "statutory", "law", "or", "regulation", ",", "or", "at", "common", "law", "or", "otherwise", "(", "including", "in", "settlement", "of", "any", "litigation", ",", "if", "such", "settlement", "is", "effected", "with", "the", "written", "consent", "of", "the", "Ferrellgas", "Parties", ")", ",", "insofar", "as", "such", "loss", ",", "claim", ",", "damage", ",", "liability", "or", "expense", "(", "or", "actions", "in", "respect", "thereof", "as", "contemplated", "below", ")", "arises", "out", "of", "or", "is", "based", "upon", "any", "untrue", "statement", "or", "alleged", "untrue", "statement", "of", "a", "material", "fact", "contained", "in", "the", "Preliminary", "Offering", "Memorandum", ",", "Pricing", "Supplement", ",", "any", "Issuer", "Additional", "Written", "Communication", "or", "the", "Final", "Offering", "Memorandum", "(", "or", "any", "amendment", "or", "supplement", "thereto", ")", ",", "or", "the", "omission", "or", "alleged", "omission", "therefrom", "of", "a", "material", "fact", "necessary", "in", "order", "to", "make", "the", "statements", "therein", ",", "in", "the", "light", "of", "the", "circumstances", "under", "which", "they", "were", "made", ",", "not", "misleading", ";", "and", "to", "reimburse", "each", "Initial", "Purchaser", "and", "each", "such", "director", ",", "officer", ",", "employee", "or", "controlling", "person", "for", "any", "and", "all", "expenses", "(", "including", "the", "fees", "and", "disbursements", "of", "counsel", "chosen", "by", "Merrill", "Lynch", ")", "as", "such", "expenses", "are", "reasonably", "incurred", "by", "such", "Initial", "Purchaser", "or", "such", "director", ",", "officer", ",", "employee", "or", "controlling", "person", "in", "connection", "with", "investigating", ",", "defending", ",", "settling", ",", "compromising", "or", "paying", "any", "such", "loss", ",", "claim", ",", "damage", ",", "liability", ",", "expense", "or", "action", ";", "provided", ",", "however", ",", "that", "the", "foregoing", "indemnity", "agreement", "shall", "not"]}
{"id": "13151", "text": "(b) Indemnification of the Ferrellgas Parties. Each Initial Purchaser agrees, severally and not jointly, to indemnify and hold harmless each of the Ferrellgas Parties, and each of their respective partners, directors, officers and each person, if any, who controls the Ferrellgas Parties within the meaning of the Securities Act or the Exchange Act, against any loss, claim, damage, liability or expense, as incurred, to which the Ferrellgas Parties or any such partner, director, officer or controlling person may become subject, under the Securities Act , the Exchange Act, or other federal or state statutory law or regulation, or at common law or otherwise (including in settlement of any litigation, if such settlement is effected with the written consent of such Initial Purchaser), insofar as such loss, claim, damage, liability or expense (or actions in respect thereof as contemplated below) arises out of or is based upon any untrue statement or alleged untrue statement of a material fact contained in the Preliminary Offering Memorandum, Pricing Supplement, any Issuer Additional Written Communication or the Final Offering Memorandum (or any amendment or supplement thereto), or the omission or alleged omission therefrom of a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading, in each case to the extent, but only to the extent, that such untrue statement or alleged untrue statement or omission or alleged omission was made in the Preliminary Offering Memorandum, Pricing Supplement, any Issuer Additional Written Communication or the Final Offering Memorandum (or any amendment or supplement thereto), in reliance upon and in conformity with written information furnished to the Issuers by such Initial Purchaser through the Representative expressly for use therein; and to reimburse the Issuers and each such partner, director, officer or controlling person for any and all expenses (including the fees and disbursements of counsel) as such expenses are reasonably incurred by the Issuers or such partner, director, officer or controlling person in connection with investigating, defending, settling, compromising or paying any such loss, claim, damage, liability, expense or action. Each of the Ferrellgas Parties hereby acknowledges that the only information that the Initial Purchasers have furnished to the Issuers expressly for use in the Preliminary Offering Memorandum, Pricing Supplement, any Issuer Additional Written Communication or the Final Offering Memorandum (or any amendment or supplement thereto) are the statements set forth in the fourth and fifth sentences of the twelfth paragraph and in the fourteenth paragraph under the caption Plan of Distribution in the Preliminary Offering Memorandum and the Final Offering Memorandum. The indemnity agreement set forth in this Section7(b)shall be in addition to any liabilities that each Initial Purchaser may otherwise have.", "ner": [[57, 58, "Act"], [61, 62, "Act"], [190, 192, "Title"], [194, 195, "Title"], [204, 206, "Title"], [495, 496, "Title"]], "tokenized_text": ["(", "b", ")", "Indemnification", "of", "the", "Ferrellgas", "Parties", ".", "Each", "Initial", "Purchaser", "agrees", ",", "severally", "and", "not", "jointly", ",", "to", "indemnify", "and", "hold", "harmless", "each", "of", "the", "Ferrellgas", "Parties", ",", "and", "each", "of", "their", "respective", "partners", ",", "directors", ",", "officers", "and", "each", "person", ",", "if", "any", ",", "who", "controls", "the", "Ferrellgas", "Parties", "within", "the", "meaning", "of", "the", "Securities", "Act", "or", "the", "Exchange", "Act", ",", "against", "any", "loss", ",", "claim", ",", "damage", ",", "liability", "or", "expense", ",", "as", "incurred", ",", "to", "which", "the", "Ferrellgas", "Parties", "or", "any", "such", "partner", ",", "director", ",", "officer", "or", "controlling", "person", "may", "become", "subject", ",", "under", "the", "Securities", "Act", ",", "the", "Exchange", "Act", ",", "or", "other", "federal", "or", "state", "statutory", "law", "or", "regulation", ",", "or", "at", "common", "law", "or", "otherwise", "(", "including", "in", "settlement", "of", "any", "litigation", ",", "if", "such", "settlement", "is", "effected", "with", "the", "written", "consent", "of", "such", "Initial", "Purchaser", ")", ",", "insofar", "as", "such", "loss", ",", "claim", ",", "damage", ",", "liability", "or", "expense", "(", "or", "actions", "in", "respect", "thereof", "as", "contemplated", "below", ")", "arises", "out", "of", "or", "is", "based", "upon", "any", "untrue", "statement", "or", "alleged", "untrue", "statement", "of", "a", "material", "fact", "contained", "in", "the", "Preliminary", "Offering", "Memorandum", ",", "Pricing", "Supplement", ",", "any", "Issuer", "Additional", "Written", "Communication", "or", "the", "Final", "Offering", "Memorandum", "(", "or", "any", "amendment", "or", "supplement", "thereto", ")", ",", "or", "the", "omission", "or", "alleged", "omission", "therefrom", "of", "a", "material", "fact", "necessary", "in", "order", "to", "make", "the", "statements", "therein", ",", "in", "the", "light", "of", "the", "circumstances", "under", "which", "they", "were", "made", ",", "not", "misleading", ",", "in", "each", "case", "to", "the", "extent", ",", "but", "only", "to", "the", "extent", ",", "that", "such", "untrue", "statement", "or", "alleged", "untrue", "statement", "or", "omission", "or", "alleged", "omission", "was", "made", "in", "the", "Preliminary", "Offering", "Memorandum", ",", "Pricing", "Supplement", ",", "any", "Issuer", "Additional", "Written", "Communication", "or", "the", "Final", "Offering", "Memorandum", "(", "or", "any", "amendment", "or", "supplement", "thereto", ")", ",", "in", "reliance", "upon", "and", "in", "conformity", "with", "written", "information", "furnished", "to", "the", "Issuers", "by", "such", "Initial", "Purchaser", "through", "the", "Representative", "expressly", "for", "use", "therein", ";", "and", "to", "reimburse", "the", "Issuers", "and", "each", "such", "partner", ",", "director", ",", "officer", "or", "controlling", "person", "for", "any", "and", "all", "expenses", "(", "including", "the", "fees", "and", "disbursements", "of", "counsel", ")", "as", "such", "expenses", "are", "reasonably", "incurred", "by", "the", "Issuers", "or", "such", "partner", ",", "director", ",", "officer", "or", "controlling", "person", "in", "connection", "with", "investigating", ",", "defending", ",", "settling", ",", "compromising", "or", "paying", "any", "such", "loss", ",", "claim", ",", "damage", ",", "liability", ",", "expense", "or", "action", ".", "Each", "of", "the", "Ferrellgas", "Parties", "hereby", "acknowledges", "that", "the", "only", "information", "that", "the", "Initial", "Purchasers", "have", "furnished", "to", "the", "Issuers", "expressly", "for", "use", "in", "the", "Preliminary", "Offering", "Memorandum", ",", "Pricing", "Supplement", ",", "any", "Issuer", "Additional", "Written", "Communication", "or", "the", "Final", "Offering", "Memorandum", "(", "or", "any", "amendment", "or", "supplement", "thereto", ")", "are", "the", "statements", "set", "forth", "in", "the", "fourth", "and", "fifth", "sentences", "of", "the", "twelfth", "paragraph", "and", "in", "the", "fourteenth", "paragraph", "under", "the", "caption", "Plan", "of", "Distribution", "in", "the", "Preliminary", "Offering", "Memorandum", "and", "the", "Final", "Offering", "Memorandum", ".", "The", "indemnity", "agreement", "set", "forth", "in", "this", "Section7", "(", "b", ")", "shall", "be", "in", "addition", "to", "any", "liabilities", "that", "each", "Initial", "Purchaser", "may", "otherwise", "have", "."]}
{"id": "13153", "text": "Incorporated 50 Rockefeller Plaza New York, New York 10020 Facsimile: (212) 901-7897 Attention: High Yield Legal Department", "ner": [[1, 9, "Address"], [12, 15, "PII_Ref"]], "tokenized_text": ["Incorporated", "50", "Rockefeller", "Plaza", "New", "York", ",", "New", "York", "10020", "Facsimile", ":", "(", "212", ")", "901-7897", "Attention", ":", "High", "Yield", "Legal", "Department"]}
{"id": "13154", "text": "Fried, Frank, Harris, Shriver&amp; Jacobson LLP One New York Plaza New York, New York 10004 Facsimile: (212) 859-4000 Attention: Stuart H. Gelfond,Esq.", "ner": [[12, 21, "Address"], [24, 27, "PII_Ref"], [30, 36, "PII_Ref"]], "tokenized_text": ["Fried", ",", "Frank", ",", "Harris", ",", "Shriver", "&", "amp", ";", "Jacobson", "LLP", "One", "New", "York", "Plaza", "New", "York", ",", "New", "York", "10004", "Facsimile", ":", "(", "212", ")", "859-4000", "Attention", ":", "Stuart", "H", ".", "Gelfond", ",", "Esq", "."]}
{"id": "13155", "text": "Ferrellgas Partners, L.P. 7500 College Boulevard, Suite1000 Overland Park, Kansas 66210 Facsimile: (816) 792-7985 Attention: Alan C. Heitmann", "ner": [[7, 16, "Address"], [19, 22, "PII_Ref"], [25, 28, "PII_Ref"]], "tokenized_text": ["Ferrellgas", "Partners", ",", "L", ".", "P", ".", "7500", "College", "Boulevard", ",", "Suite1000", "Overland", "Park", ",", "Kansas", "66210", "Facsimile", ":", "(", "816", ")", "792-7985", "Attention", ":", "Alan", "C", ".", "Heitmann"]}
{"id": "13156", "text": "Bracewell LLP 711 Louisiana Street, Suite2300 Houston, Texas 77002 Facsimile: (713) 221-1212 Attention: Robin J. Miles and Charles H. Still,Jr.", "ner": [[2, 10, "Address"], [13, 16, "PII_Ref"], [19, 22, "PII_Ref"], [24, 30, "PII_Ref"]], "tokenized_text": ["Bracewell", "LLP", "711", "Louisiana", "Street", ",", "Suite2300", "Houston", ",", "Texas", "77002", "Facsimile", ":", "(", "713", ")", "221-1212", "Attention", ":", "Robin", "J", ".", "Miles", "and", "Charles", "H", ".", "Still", ",", "Jr", "."]}
{"id": "13157", "text": "SECTION14. Governing Law Provisions and Waiver of Jury Trial. THIS AGREEMENT AND ANY CLAIM, CONTROVERSY OR DISPUTE ARISING UNDER OR RELATING TO THIS AGREEMENT SHALL BE GOVERNED BY AND CONSTRUED IN ACCORDANCE WITH THE INTERNAL LAWS OF THE STATE OF NEW YORK APPLICABLE TO AGREEMENTS MADE AND TO BE PERFORMED IN SUCH STATE WITHOUT REGARD TO CONFLICTS OF LAW PRINCIPLES THEREOF. EACH PARTY HERETO HEREBY IRREVOCABLY WAIVES, TO THE FULLEST EXTENT PERMITTED BY APPLICABLE LAW, ANY RIGHT IT MAYHAVE TO A TRIAL BY JURY IN ANY LEGAL PROCEEDING DIRECTLY OR INDIRECTLY ARISING OUT OF OR RELATING TO THIS AGREEMENT OR THE TRANSACTIONS CONTEMPLATED HEREBY (WHETHER BASED ON CONTRACT, TORT OR ANY OTHER THEORY). EACH PARTY HERETO (A)CERTIFIES THAT NO REPRESENTATIVE, AGENT OR ATTORNEY OF ANY OTHER PERSON HAS REPRESENTED, EXPRESSLY OR OTHERWISE, THAT SUCH OTHER PERSON WOULD NOT,IN THE EVENT OF LITIGATION, SEEK TO ENFORCE THE FOREGOING WAIVER AND (B)ACKNOWLEDGES THAT IT AND THE OTHER PARTIES HERETO HAVE BEEN INDUCED TO ENTER INTO THIS AGREEMENT BY, AMONG OTHER THINGS, THE MUTUAL WAIVERS AND CERTIFICATIONS IN THIS SECTION.", "ner": [[41, 44, "Court"]], "tokenized_text": ["SECTION14", ".", "Governing", "Law", "Provisions", "and", "Waiver", "of", "Jury", "Trial", ".", "THIS", "AGREEMENT", "AND", "ANY", "CLAIM", ",", "CONTROVERSY", "OR", "DISPUTE", "ARISING", "UNDER", "OR", "RELATING", "TO", "THIS", "AGREEMENT", "SHALL", "BE", "GOVERNED", "BY", "AND", "CONSTRUED", "IN", "ACCORDANCE", "WITH", "THE", "INTERNAL", "LAWS", "OF", "THE", "STATE", "OF", "NEW", "YORK", "APPLICABLE", "TO", "AGREEMENTS", "MADE", "AND", "TO", "BE", "PERFORMED", "IN", "SUCH", "STATE", "WITHOUT", "REGARD", "TO", "CONFLICTS", "OF", "LAW", "PRINCIPLES", "THEREOF", ".", "EACH", "PARTY", "HERETO", "HEREBY", "IRREVOCABLY", "WAIVES", ",", "TO", "THE", "FULLEST", "EXTENT", "PERMITTED", "BY", "APPLICABLE", "LAW", ",", "ANY", "RIGHT", "IT", "MAYHAVE", "TO", "A", "TRIAL", "BY", "JURY", "IN", "ANY", "LEGAL", "PROCEEDING", "DIRECTLY", "OR", "INDIRECTLY", "ARISING", "OUT", "OF", "OR", "RELATING", "TO", "THIS", "AGREEMENT", "OR", "THE", "TRANSACTIONS", "CONTEMPLATED", "HEREBY", "(", "WHETHER", "BASED", "ON", "CONTRACT", ",", "TORT", "OR", "ANY", "OTHER", "THEORY", ")", ".", "EACH", "PARTY", "HERETO", "(", "A", ")", "CERTIFIES", "THAT", "NO", "REPRESENTATIVE", ",", "AGENT", "OR", "ATTORNEY", "OF", "ANY", "OTHER", "PERSON", "HAS", "REPRESENTED", ",", "EXPRESSLY", "OR", "OTHERWISE", ",", "THAT", "SUCH", "OTHER", "PERSON", "WOULD", "NOT", ",", "IN", "THE", "EVENT", "OF", "LITIGATION", ",", "SEEK", "TO", "ENFORCE", "THE", "FOREGOING", "WAIVER", "AND", "(", "B", ")", "ACKNOWLEDGES", "THAT", "IT", "AND", "THE", "OTHER", "PARTIES", "HERETO", "HAVE", "BEEN", "INDUCED", "TO", "ENTER", "INTO", "THIS", "AGREEMENT", "BY", ",", "AMONG", "OTHER", "THINGS", ",", "THE", "MUTUAL", "WAIVERS", "AND", "CERTIFICATIONS", "IN", "THIS", "SECTION", "."]}
{"id": "13159", "text": "MERRILL LYNCH, PIERCE, FENNER &amp; SMITH", "ner": [], "tokenized_text": ["MERRILL", "LYNCH", ",", "PIERCE", ",", "FENNER", "&", "amp", ";", "SMITH"]}
{"id": "13160", "text": "WELLS FARGO SECURITIES, LLC", "ner": [], "tokenized_text": ["WELLS", "FARGO", "SECURITIES", ",", "LLC"]}
{"id": "13162", "text": "Wells Fargo Securities, LLC", "ner": [[0, 4, "Parties"]], "tokenized_text": ["Wells", "Fargo", "Securities", ",", "LLC"]}
{"id": "13164", "text": "7. Uni Asia, Ltd, a Seychelles limited company", "ner": [[2, 5, "Parties"]], "tokenized_text": ["7", ".", "Uni", "Asia", ",", "Ltd", ",", "a", "Seychelles", "limited", "company"]}
{"id": "13165", "text": "10. Bridger Leasing, LLC , a Louisiana limited liability company", "ner": [[2, 5, "Parties"]], "tokenized_text": ["10", ".", "Bridger", "Leasing", ",", "LLC", ",", "a", "Louisiana", "limited", "liability", "company"]}
{"id": "13171", "text": "18. Bridger Swan Ranch, LLC , a Delaware limited liability company", "ner": [[2, 6, "Parties"]], "tokenized_text": ["18", ".", "Bridger", "Swan", "Ranch", ",", "LLC", ",", "a", "Delaware", "limited", "liability", "company"]}
{"id": "13173", "text": "20. J.J. Addison Partners, LLC , a Texas limited liability company", "ner": [], "tokenized_text": ["20", ".", "J", ".", "J", ".", "Addison", "Partners", ",", "LLC", ",", "a", "Texas", "limited", "liability", "company"]}
{"id": "13176", "text": "24. Bridger Lake, LLC , a Delaware limited liability company", "ner": [[2, 5, "Parties"]], "tokenized_text": ["24", ".", "Bridger", "Lake", ",", "LLC", ",", "a", "Delaware", "limited", "liability", "company"]}
{"id": "13177", "text": "This Chief Financial Officers Certificate (this Certificate) is delivered pursuant to Section4(i)of the Purchase Agreement, dated as of January24, 2017 (the Purchase Agreement) among Ferrellgas Partners, L.P. (the Company), Ferrellgas Partners Finance Corp. (Finance Corp. and, together with the Company, the Issuers) and Merrill Lynch, Pierce, Fenner&amp; Smith Incorporated, as the representative of the several initial purchasers named in Schedule A thereto in connection with the offer and sale of $175,000,000 aggregate principal amount of the 8% Senior Notes due 2020 (the Securities) of the Issuers. Capitalized terms used but not defined herein shall have the meanings assigned to them in the Purchase Agreement.", "ner": [[1, 3, "Role"], [13, 16, "EffectiveDate"], [19, 20, "Title"], [25, 27, "EffectiveDate"], [34, 40, "Parties"], [46, 50, "Parties"], [66, 76, "Parties"], [99, 104, "Principal"], [110, 111, "Percentage"]], "tokenized_text": ["This", "Chief", "Financial", "Officers", "Certificate", "(", "this", "Certificate", ")", "is", "delivered", "pursuant", "to", "Section4", "(", "i", ")", "of", "the", "Purchase", "Agreement", ",", "dated", "as", "of", "January24", ",", "2017", "(", "the", "Purchase", "Agreement", ")", "among", "Ferrellgas", "Partners", ",", "L", ".", "P", ".", "(", "the", "Company", ")", ",", "Ferrellgas", "Partners", "Finance", "Corp", ".", "(", "Finance", "Corp", ".", "and", ",", "together", "with", "the", "Company", ",", "the", "Issuers", ")", "and", "Merrill", "Lynch", ",", "Pierce", ",", "Fenner", "&", "amp", ";", "Smith", "Incorporated", ",", "as", "the", "representative", "of", "the", "several", "initial", "purchasers", "named", "in", "Schedule", "A", "thereto", "in", "connection", "with", "the", "offer", "and", "sale", "of", "$", "175", ",", "000", ",", "000", "aggregate", "principal", "amount", "of", "the", "8", "%", "Senior", "Notes", "due", "2020", "(", "the", "Securities", ")", "of", "the", "Issuers", ".", "Capitalized", "terms", "used", "but", "not", "defined", "herein", "shall", "have", "the", "meanings", "assigned", "to", "them", "in", "the", "Purchase", "Agreement", "."]}
{"id": "13179", "text": "Such Initial Purchaser agrees that it has not offered or sold and will not offer or sell the Securities in the United States or to, or for the benefit or account of, a U.S. Person (other than a distributor), in each case, as defined in Rule902 of Regulation S (i)as part of its distribution at any time and (ii)otherwise until 40 days after the later of the commencement of the offering of the Securities pursuant hereto and the Closing Date, other than in accordance with Regulation S or another exemption from the registration requirements of the Securities Act . Such Initial Purchaser agrees that, during such 40-day restricted period, it will not cause any advertisement with respect to the Securities (including any tombstone advertisement) to be published in any newspaper or periodical or posted in any public place and will not issue any circular relating to the Securities, except such advertisements as permitted by and include the statements required by Regulation S.", "ner": [[56, 57, "Regulation"], [112, 113, "Act"]], "tokenized_text": ["Such", "Initial", "Purchaser", "agrees", "that", "it", "has", "not", "offered", "or", "sold", "and", "will", "not", "offer", "or", "sell", "the", "Securities", "in", "the", "United", "States", "or", "to", ",", "or", "for", "the", "benefit", "or", "account", "of", ",", "a", "U", ".", "S", ".", "Person", "(", "other", "than", "a", "distributor", ")", ",", "in", "each", "case", ",", "as", "defined", "in", "Rule902", "of", "Regulation", "S", "(", "i", ")", "as", "part", "of", "its", "distribution", "at", "any", "time", "and", "(", "ii", ")", "otherwise", "until", "40", "days", "after", "the", "later", "of", "the", "commencement", "of", "the", "offering", "of", "the", "Securities", "pursuant", "hereto", "and", "the", "Closing", "Date", ",", "other", "than", "in", "accordance", "with", "Regulation", "S", "or", "another", "exemption", "from", "the", "registration", "requirements", "of", "the", "Securities", "Act", ".", "Such", "Initial", "Purchaser", "agrees", "that", ",", "during", "such", "40-day", "restricted", "period", ",", "it", "will", "not", "cause", "any", "advertisement", "with", "respect", "to", "the", "Securities", "(", "including", "any", "tombstone", "advertisement", ")", "to", "be", "published", "in", "any", "newspaper", "or", "periodical", "or", "posted", "in", "any", "public", "place", "and", "will", "not", "issue", "any", "circular", "relating", "to", "the", "Securities", ",", "except", "such", "advertisements", "as", "permitted", "by", "and", "include", "the", "statements", "required", "by", "Regulation", "S", "."]}
{"id": "13181", "text": "EX-10.3 9 ex10_3notepurchasehalsey.htm HALSEY NOTE PURCHASE AGREEMENT", "ner": [[7, 10, "Title"]], "tokenized_text": ["EX-10", ".", "3", "9", "ex10_3notepurchasehalsey", ".", "htm", "HALSEY", "NOTE", "PURCHASE", "AGREEMENT"]}
{"id": "13183", "text": "WHEREAS, the Seller desires to sell a promissory note in the principal amount of Twenty Five Thousand Dollars ( $25,000 ) to the Purchaser, and the Purchaser desires to purchase such note from the Seller pursuant to the terms and conditions contained herein;", "ner": [[20, 23, "Principal"]], "tokenized_text": ["WHEREAS", ",", "the", "Seller", "desires", "to", "sell", "a", "promissory", "note", "in", "the", "principal", "amount", "of", "Twenty", "Five", "Thousand", "Dollars", "(", "$", "25", ",", "000", ")", "to", "the", "Purchaser", ",", "and", "the", "Purchaser", "desires", "to", "purchase", "such", "note", "from", "the", "Seller", "pursuant", "to", "the", "terms", "and", "conditions", "contained", "herein", ";"]}
{"id": "13185", "text": "3.2 Accredited Investor\". The Purchaser represents that he is an \"accredited investor\" as such term is defined in the SEC's Rule 501 under Regulation D of the Act of 1933 , as amended (the \"Act\")", "ner": [[28, 29, "Regulation"], [31, 32, "Regulation"], [35, 37, "Act"]], "tokenized_text": ["3", ".", "2", "Accredited", "Investor", "\"", ".", "The", "Purchaser", "represents", "that", "he", "is", "an", "\"", "accredited", "investor", "\"", "as", "such", "term", "is", "defined", "in", "the", "SEC", "'", "s", "Rule", "501", "under", "Regulation", "D", "of", "the", "Act", "of", "1933", ",", "as", "amended", "(", "the", "\"", "Act", "\"", ")"]}
{"id": "13193", "text": "Stitching Awl with 1- 1/4\" Diamond Shape Blade", "ner": [[3, 8, "Ratio"]], "tokenized_text": ["Stitching", "Awl", "with", "1", "-", "1", "/", "4", "\"", "Diamond", "Shape", "Blade"]}
{"id": "13194", "text": "The Goods will be deemed received by the Purchaser when delivered to the Purchaser at 89 Songbai E St, Baiyun Qu, Guangzhou Shi, Guangdong Sheng, China, 510405 . The method of shipment will be door-to-door shipment, from the warehouse of the Seller to the place of delivery of the Purchaser on the DDP terms.", "ner": [[31, 31, "Address"]], "tokenized_text": ["The", "Goods", "will", "be", "deemed", "received", "by", "the", "Purchaser", "when", "delivered", "to", "the", "Purchaser", "at", "89", "Songbai", "E", "St", ",", "Baiyun", "Qu", ",", "Guangzhou", "Shi", ",", "Guangdong", "Sheng", ",", "China", ",", "510405", ".", "The", "method", "of", "shipment", "will", "be", "door-to-door", "shipment", ",", "from", "the", "warehouse", "of", "the", "Seller", "to", "the", "place", "of", "delivery", "of", "the", "Purchaser", "on", "the", "DDP", "terms", "."]}
{"id": "13196", "text": "--- | ![](x 170306193 41400.jpg)", "ner": [], "tokenized_text": ["-", "-", "-", "|", "!", "[", "]", "(", "x", "170306193", "41400", ".", "jpg", ")"]}
{"id": "13199", "text": "Shemn Corp. (The Purchaser)", "ner": [[0, 2, "Parties"]], "tokenized_text": ["Shemn", "Corp", ".", "(", "The", "Purchaser", ")"]}
{"id": "13203", "text": "Each whole warrant entitles the holder to purchase one Share at an exercise price of $11.50 per Share; and", "ner": [[15, 18, "Price"]], "tokenized_text": ["Each", "whole", "warrant", "entitles", "the", "holder", "to", "purchase", "one", "Share", "at", "an", "exercise", "price", "of", "$", "11", ".", "50", "per", "Share", ";", "and"]}
{"id": "13205", "text": "B. Purchase and Sale of the Private Placement Warrants. On the date that is one business day prior to the date of the consummation of the Public Offering or on such earlier time and date as may be mutually agreed by the Purchaser and the Company (the Initial Closing Date), the Company shall issue and sell to the Purchaser, and the Purchaser shall purchase from the Company 8,000,000 Private Placement Warrants at a price of $1.50 per warrant for an aggregate purchase price of approximately $12,000,000 (the Purchase Price), which shall be paid by wire transfer of immediately available funds to the Company in accordance with the Companys wiring instructions. On the Initial Closing Date, upon the payment by the Purchaser of the Purchase Price by wire transfer of immediately available funds to the", "ner": [[73, 77, "Principal"], [85, 88, "Price"], [98, 103, "Principal"]], "tokenized_text": ["B", ".", "Purchase", "and", "Sale", "of", "the", "Private", "Placement", "Warrants", ".", "On", "the", "date", "that", "is", "one", "business", "day", "prior", "to", "the", "date", "of", "the", "consummation", "of", "the", "Public", "Offering", "or", "on", "such", "earlier", "time", "and", "date", "as", "may", "be", "mutually", "agreed", "by", "the", "Purchaser", "and", "the", "Company", "(", "the", "Initial", "Closing", "Date", ")", ",", "the", "Company", "shall", "issue", "and", "sell", "to", "the", "Purchaser", ",", "and", "the", "Purchaser", "shall", "purchase", "from", "the", "Company", "8", ",", "000", ",", "000", "Private", "Placement", "Warrants", "at", "a", "price", "of", "$", "1", ".", "50", "per", "warrant", "for", "an", "aggregate", "purchase", "price", "of", "approximately", "$", "12", ",", "000", ",", "000", "(", "the", "Purchase", "Price", ")", ",", "which", "shall", "be", "paid", "by", "wire", "transfer", "of", "immediately", "available", "funds", "to", "the", "Company", "in", "accordance", "with", "the", "Companys", "wiring", "instructions", ".", "On", "the", "Initial", "Closing", "Date", ",", "upon", "the", "payment", "by", "the", "Purchaser", "of", "the", "Purchase", "Price", "by", "wire", "transfer", "of", "immediately", "available", "funds", "to", "the"]}
{"id": "13207", "text": "(ii) The Purchaser is an accredited investor as such term is defined in Rule501(a)(3)of Regulation D under the Securities Act.&lt; br/&gt;", "ner": [[23, 24, "Regulation"], [27, 28, "Act"]], "tokenized_text": ["(", "ii", ")", "The", "Purchaser", "is", "an", "accredited", "investor", "as", "such", "term", "is", "defined", "in", "Rule501", "(", "a", ")", "(", "3", ")", "of", "Regulation", "D", "under", "the", "Securities", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "13211", "text": "E. Governing Law. This Agreement shall be deemed to be a contract made under the laws of the State of New York and for all purposes shall be construed in accordance with the internal laws of the State of New York .", "ner": [[20, 23, "Court"]], "tokenized_text": ["E", ".", "Governing", "Law", ".", "This", "Agreement", "shall", "be", "deemed", "to", "be", "a", "contract", "made", "under", "the", "laws", "of", "the", "State", "of", "New", "York", "and", "for", "all", "purposes", "shall", "be", "construed", "in", "accordance", "with", "the", "internal", "laws", "of", "the", "State", "of", "New", "York", "."]}
{"id": "13215", "text": "Richmond, Virginia 23219 USA", "ner": [[0, 4, "Address"]], "tokenized_text": ["Richmond", ",", "Virginia", "23219", "USA"]}
{"id": "13216", "text": "As of January4, 2017", "ner": [], "tokenized_text": ["As", "of", "January4", ",", "2017"]}
{"id": "13218", "text": "The Gibraltar Life Insurance Co., Ltd.", "ner": [[0, 8, "Parties"]], "tokenized_text": ["The", "Gibraltar", "Life", "Insurance", "Co", ".", ",", "Ltd", "."]}
{"id": "13224", "text": "(vii) such financial and other information as such holder, or any qualified institutional buyer designated by such holder, may reasonably determine to be necessary in order to permit compliance with the information requirements of Rule 144A under the Securities Act in connection with the resale of Notes, except at such times as the Company is subject to and in compliance with the reporting requirements of section 13 or 15(d) of the Exchange Act ; for the purpose of this paragraph 5A(vii), the term qualified institutional buyer shall have the meaning specified in Rule 144A under the Securities Act ; and", "ner": [[38, 39, "Regulation"], [42, 43, "Act"], [79, 80, "Act"]], "tokenized_text": ["(", "vii", ")", "such", "financial", "and", "other", "information", "as", "such", "holder", ",", "or", "any", "qualified", "institutional", "buyer", "designated", "by", "such", "holder", ",", "may", "reasonably", "determine", "to", "be", "necessary", "in", "order", "to", "permit", "compliance", "with", "the", "information", "requirements", "of", "Rule", "144A", "under", "the", "Securities", "Act", "in", "connection", "with", "the", "resale", "of", "Notes", ",", "except", "at", "such", "times", "as", "the", "Company", "is", "subject", "to", "and", "in", "compliance", "with", "the", "reporting", "requirements", "of", "section", "13", "or", "15", "(", "d", ")", "of", "the", "Exchange", "Act", ";", "for", "the", "purpose", "of", "this", "paragraph", "5A", "(", "vii", ")", ",", "the", "term", "qualified", "institutional", "buyer", "shall", "have", "the", "meaning", "specified", "in", "Rule", "144A", "under", "the", "Securities", "Act", ";", "and"]}
{"id": "13226", "text": "6A. Subsidiary Indebtedness. The Company will not permit any Subsidiary to create, incur, assume or permit to exist any Indebtedness, except:", "ner": [], "tokenized_text": ["6A", ".", "Subsidiary", "Indebtedness", ".", "The", "Company", "will", "not", "permit", "any", "Subsidiary", "to", "create", ",", "incur", ",", "assume", "or", "permit", "to", "exist", "any", "Indebtedness", ",", "except", ":"]}
{"id": "13228", "text": "6I. Financial Covenants. (i)Maximum Leverage Ratio. The Company will not permit the ratio (the Leverage Ratio), determined as of the end of each of its fiscal quarters ending on and after March31, 2017, of (A)Consolidated Total Indebtedness to (B)Consolidated EBITDA for the period of four (4)consecutive fiscal quarters ending with the end of such fiscal quarter, all calculated for the Company and its Subsidiaries on a consolidated basis, to be greater than 3.50 to 1.00; provided that to the extent that an Increased Leverage Period is in effect, then the Leverage Ratio shall not be greater than 4.00 to 1.00.&lt; br/&gt;", "ner": [[94, 100, "Ratio"], [125, 132, "Ratio"]], "tokenized_text": ["6I", ".", "Financial", "Covenants", ".", "(", "i", ")", "Maximum", "Leverage", "Ratio", ".", "The", "Company", "will", "not", "permit", "the", "ratio", "(", "the", "Leverage", "Ratio", ")", ",", "determined", "as", "of", "the", "end", "of", "each", "of", "its", "fiscal", "quarters", "ending", "on", "and", "after", "March31", ",", "2017", ",", "of", "(", "A", ")", "Consolidated", "Total", "Indebtedness", "to", "(", "B", ")", "Consolidated", "EBITDA", "for", "the", "period", "of", "four", "(", "4", ")", "consecutive", "fiscal", "quarters", "ending", "with", "the", "end", "of", "such", "fiscal", "quarter", ",", "all", "calculated", "for", "the", "Company", "and", "its", "Subsidiaries", "on", "a", "consolidated", "basis", ",", "to", "be", "greater", "than", "3", ".", "50", "to", "1", ".", "00", ";", "provided", "that", "to", "the", "extent", "that", "an", "Increased", "Leverage", "Period", "is", "in", "effect", ",", "then", "the", "Leverage", "Ratio", "shall", "not", "be", "greater", "than", "4", ".", "00", "to", "1", ".", "00", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "13230", "text": "6J. Sanctions Laws and Regulations. (i)The Company will not, and will not permit its Subsidiaries to, directly or indirectly use the proceeds of the Notes (i)for any purpose which would breach the U.K. Bribery Act 2010, the United States Foreign Corrupt Practices Act of 1977 or other similar legislation in other jurisdictions; (ii)in each case in any manner that will result in any Sanctions Violations, to fund, finance or facilitate any activities, business or transaction of or with any Designated Person or in any Sanctioned Country; (iii)in any other manner that will result in any Sanctions Violations by any party to this Agreement or (iv)in each case, except as could not reasonably be expected to result in a Material Adverse Effect or could not reasonably be expected to result in any Sanctions Violations by, or liability to, any holder of any Notes, for any purpose which would breach Anti-Corruption Laws.", "ner": [[42, 48, "Act"], [51, 58, "Act"]], "tokenized_text": ["6J", ".", "Sanctions", "Laws", "and", "Regulations", ".", "(", "i", ")", "The", "Company", "will", "not", ",", "and", "will", "not", "permit", "its", "Subsidiaries", "to", ",", "directly", "or", "indirectly", "use", "the", "proceeds", "of", "the", "Notes", "(", "i", ")", "for", "any", "purpose", "which", "would", "breach", "the", "U", ".", "K", ".", "Bribery", "Act", "2010", ",", "the", "United", "States", "Foreign", "Corrupt", "Practices", "Act", "of", "1977", "or", "other", "similar", "legislation", "in", "other", "jurisdictions", ";", "(", "ii", ")", "in", "each", "case", "in", "any", "manner", "that", "will", "result", "in", "any", "Sanctions", "Violations", ",", "to", "fund", ",", "finance", "or", "facilitate", "any", "activities", ",", "business", "or", "transaction", "of", "or", "with", "any", "Designated", "Person", "or", "in", "any", "Sanctioned", "Country", ";", "(", "iii", ")", "in", "any", "other", "manner", "that", "will", "result", "in", "any", "Sanctions", "Violations", "by", "any", "party", "to", "this", "Agreement", "or", "(", "iv", ")", "in", "each", "case", ",", "except", "as", "could", "not", "reasonably", "be", "expected", "to", "result", "in", "a", "Material", "Adverse", "Effect", "or", "could", "not", "reasonably", "be", "expected", "to", "result", "in", "any", "Sanctions", "Violations", "by", ",", "or", "liability", "to", ",", "any", "holder", "of", "any", "Notes", ",", "for", "any", "purpose", "which", "would", "breach", "Anti-Corruption", "Laws", "."]}
{"id": "13231", "text": "8D. Financial Condition; No Material Adverse Change. (i)The Company has heretofore furnished to the Purchasers its consolidated balance sheet and statements of income, stockholders equity and cash flows (A)as of and for the fiscal year ended December31, 2015 reported on by PricewaterhouseCoopers LLP, independent public accountants, and (B)as of and for the fiscal quarter and the portion of the fiscal year ended March31, 2016,June30, 2016 and September30, 2016, in each case, certified by a Financial Officer. Such financial statements present fairly, in all material respects, the consolidated financial position and results of operations and cash flows of the Company and its consolidated Subsidiaries as of such dates and for such periods in accordance with GAAP, subject to year-end audit adjustments and the absence of footnotes in the case of the statements referred to in clause (B)above.", "ner": [], "tokenized_text": ["8D", ".", "Financial", "Condition", ";", "No", "Material", "Adverse", "Change", ".", "(", "i", ")", "The", "Company", "has", "heretofore", "furnished", "to", "the", "Purchasers", "its", "consolidated", "balance", "sheet", "and", "statements", "of", "income", ",", "stockholders", "equity", "and", "cash", "flows", "(", "A", ")", "as", "of", "and", "for", "the", "fiscal", "year", "ended", "December31", ",", "2015", "reported", "on", "by", "PricewaterhouseCoopers", "LLP", ",", "independent", "public", "accountants", ",", "and", "(", "B", ")", "as", "of", "and", "for", "the", "fiscal", "quarter", "and", "the", "portion", "of", "the", "fiscal", "year", "ended", "March31", ",", "2016", ",", "June30", ",", "2016", "and", "September30", ",", "2016", ",", "in", "each", "case", ",", "certified", "by", "a", "Financial", "Officer", ".", "Such", "financial", "statements", "present", "fairly", ",", "in", "all", "material", "respects", ",", "the", "consolidated", "financial", "position", "and", "results", "of", "operations", "and", "cash", "flows", "of", "the", "Company", "and", "its", "consolidated", "Subsidiaries", "as", "of", "such", "dates", "and", "for", "such", "periods", "in", "accordance", "with", "GAAP", ",", "subject", "to", "year-end", "audit", "adjustments", "and", "the", "absence", "of", "footnotes", "in", "the", "case", "of", "the", "statements", "referred", "to", "in", "clause", "(", "B", ")", "above", "."]}
{"id": "13232", "text": "8H. Investment Company Status. Neither the Company nor any of its Subsidiaries is an investment company as defined in, or subject to regulation under, the Investment Company Act of 1940 .", "ner": [[29, 33, "Act"]], "tokenized_text": ["8H", ".", "Investment", "Company", "Status", ".", "Neither", "the", "Company", "nor", "any", "of", "its", "Subsidiaries", "is", "an", "investment", "company", "as", "defined", "in", ",", "or", "subject", "to", "regulation", "under", ",", "the", "Investment", "Company", "Act", "of", "1940", "."]}
{"id": "13233", "text": "8L. Federal Reserve Regulations . Neither the Issuer, nor any agent acting on behalf of the Issuer, has taken any action which might cause this Agreement or the Notes to violate Regulation U, Regulation T or any other regulation of the Board or to violate the Exchange Act , in each case as in effect now or as the same may hereafter be in effect. The Issuer is not engaged principally, or as one of its important activities, in the business of extending credit for the purpose of purchasing or carrying margin stock and the aggregate market value of all margin stock owned by the Issuer and its Subsidiaries does not exceed 10% of the aggregate value of the assets thereof, as determined by any reasonable method. None of the proceeds from the sale of any Notes will be used to finance a Hostile Tender Offer.", "ner": [[34, 35, "Regulation"], [37, 38, "Regulation"], [50, 51, "Act"], [119, 120, "Percentage"]], "tokenized_text": ["8L", ".", "Federal", "Reserve", "Regulations", ".", "Neither", "the", "Issuer", ",", "nor", "any", "agent", "acting", "on", "behalf", "of", "the", "Issuer", ",", "has", "taken", "any", "action", "which", "might", "cause", "this", "Agreement", "or", "the", "Notes", "to", "violate", "Regulation", "U", ",", "Regulation", "T", "or", "any", "other", "regulation", "of", "the", "Board", "or", "to", "violate", "the", "Exchange", "Act", ",", "in", "each", "case", "as", "in", "effect", "now", "or", "as", "the", "same", "may", "hereafter", "be", "in", "effect", ".", "The", "Issuer", "is", "not", "engaged", "principally", ",", "or", "as", "one", "of", "its", "important", "activities", ",", "in", "the", "business", "of", "extending", "credit", "for", "the", "purpose", "of", "purchasing", "or", "carrying", "margin", "stock", "and", "the", "aggregate", "market", "value", "of", "all", "margin", "stock", "owned", "by", "the", "Issuer", "and", "its", "Subsidiaries", "does", "not", "exceed", "10", "%", "of", "the", "aggregate", "value", "of", "the", "assets", "thereof", ",", "as", "determined", "by", "any", "reasonable", "method", ".", "None", "of", "the", "proceeds", "from", "the", "sale", "of", "any", "Notes", "will", "be", "used", "to", "finance", "a", "Hostile", "Tender", "Offer", "."]}
{"id": "13234", "text": "(i) Neither the Issuer, nor any agent acting on behalf of the Issuer, has, directly or indirectly, offered the Notes or any similar security of the Issuer for sale to, or solicited any offers to buy the Notes or any similar security of the Issuer from, or otherwise approached or negotiated with respect thereto with, any Person other than the Purchaser(s) and not more than 10 other Institutional Investors, and neither the Issuer nor any agent acting on behalf of the Issuer has taken or will take any action which would subject the issuance or sale of the Notes to the provisions of Section5 of the Securities Act or to the provisions of any securities or Blue Sky law of any applicable jurisdiction.", "ner": [[119, 120, "Act"]], "tokenized_text": ["(", "i", ")", "Neither", "the", "Issuer", ",", "nor", "any", "agent", "acting", "on", "behalf", "of", "the", "Issuer", ",", "has", ",", "directly", "or", "indirectly", ",", "offered", "the", "Notes", "or", "any", "similar", "security", "of", "the", "Issuer", "for", "sale", "to", ",", "or", "solicited", "any", "offers", "to", "buy", "the", "Notes", "or", "any", "similar", "security", "of", "the", "Issuer", "from", ",", "or", "otherwise", "approached", "or", "negotiated", "with", "respect", "thereto", "with", ",", "any", "Person", "other", "than", "the", "Purchaser", "(", "s", ")", "and", "not", "more", "than", "10", "other", "Institutional", "Investors", ",", "and", "neither", "the", "Issuer", "nor", "any", "agent", "acting", "on", "behalf", "of", "the", "Issuer", "has", "taken", "or", "will", "take", "any", "action", "which", "would", "subject", "the", "issuance", "or", "sale", "of", "the", "Notes", "to", "the", "provisions", "of", "Section5", "of", "the", "Securities", "Act", "or", "to", "the", "provisions", "of", "any", "securities", "or", "Blue", "Sky", "law", "of", "any", "applicable", "jurisdiction", "."]}
{"id": "13237", "text": "Anti-Corruption Laws means all laws, rules, and regulations of any jurisdiction applicable to the Company and its affiliated companies concerning or relating to bribery or corruption, including but not limited to, the U.S. Foreign Corrupt Practices Act and the U.K. Bribery Act 2010.", "ner": [[36, 43, "Act"], [46, 52, "Act"]], "tokenized_text": ["Anti-Corruption", "Laws", "means", "all", "laws", ",", "rules", ",", "and", "regulations", "of", "any", "jurisdiction", "applicable", "to", "the", "Company", "and", "its", "affiliated", "companies", "concerning", "or", "relating", "to", "bribery", "or", "corruption", ",", "including", "but", "not", "limited", "to", ",", "the", "U", ".", "S", ".", "Foreign", "Corrupt", "Practices", "Act", "and", "the", "U", ".", "K", ".", "Bribery", "Act", "2010", "."]}
{"id": "13238", "text": "Bank Credit Agreement means that certain Credit Agreement, dated as of October28, 2014, by and among the Company, certain Subsidiaries of the Company from time to time party thereto, the lenders from time to time party thereto and JPMorgan Chase Bank, N.A., as the administrative agent, as amended by Amendment No.1 to Credit Agreement, dated as of July15, 2016, and Amendment No.2 to Credit Agreement, dated as of December22, 2016, and as the same may be further amended, restated, amended and restated, refinanced, supplemented, replaced or otherwise modified from time to time.", "ner": [[1, 2, "Title"], [6, 7, "Title"], [12, 14, "EffectiveDate"], [43, 50, "Parties"], [65, 66, "Title"], [71, 73, "EffectiveDate"], [81, 82, "Title"], [87, 89, "EffectiveDate"]], "tokenized_text": ["Bank", "Credit", "Agreement", "means", "that", "certain", "Credit", "Agreement", ",", "dated", "as", "of", "October28", ",", "2014", ",", "by", "and", "among", "the", "Company", ",", "certain", "Subsidiaries", "of", "the", "Company", "from", "time", "to", "time", "party", "thereto", ",", "the", "lenders", "from", "time", "to", "time", "party", "thereto", "and", "JPMorgan", "Chase", "Bank", ",", "N", ".", "A", ".", ",", "as", "the", "administrative", "agent", ",", "as", "amended", "by", "Amendment", "No", ".", "1", "to", "Credit", "Agreement", ",", "dated", "as", "of", "July15", ",", "2016", ",", "and", "Amendment", "No", ".", "2", "to", "Credit", "Agreement", ",", "dated", "as", "of", "December22", ",", "2016", ",", "and", "as", "the", "same", "may", "be", "further", "amended", ",", "restated", ",", "amended", "and", "restated", ",", "refinanced", ",", "supplemented", ",", "replaced", "or", "otherwise", "modified", "from", "time", "to", "time", "."]}
{"id": "13239", "text": "Change in Control means: (i)any Person or group (within the meaning of the Exchange Act and the rules of the SEC thereunder as in effect on the date hereof), other than Bruce C. Gottwald, Floyd D. Gottwald, Jr. or members of their respective families, or investment entities owned entirely (directly or indirectly) by them or members of their respective families, either individually or acting in concert with one or more other persons, shall have acquired beneficial ownership, directly or indirectly, of securities of the Company (or other securities convertible into such securities) representing 25% or more of the combined voting power of all securities of the Company entitled to vote in the election of members of the governing body of the Company, other than securities having such power only by reason of the happening of a contingency; (ii)the occurrence, during any period of 24 consecutive months, of a change in the composition of the governing body of the Company such that a majority of the members of any such governing body are not Continuing Members; (iii)the occurrence of any Change of Control or similar event as defined in any agreement or instrument evidencing any Material Indebtedness with an original principal amount in excess of $50,000,000; (iv)the failure at any time of the Company to legally and beneficially own and control 100% of the issued and outstanding shares of capital stock of Ethyl Corporation or Afton Chemical Corporation or the failure at any time of the Company to have the ability to elect all of the governing body of Ethyl Corporation or Afton Chemical Corporation; or (v)the Company ceases to own, directly or indirectly, and Control 100% (other than directors qualifying shares) of the ordinary voting and economic power of any Foreign Subsidiary Borrower.", "ner": [[18, 19, "Act"], [114, 115, "Percentage"], [237, 242, "Principal"], [262, 263, "Percentage"], [324, 325, "Percentage"]], "tokenized_text": ["Change", "in", "Control", "means", ":", "(", "i", ")", "any", "Person", "or", "group", "(", "within", "the", "meaning", "of", "the", "Exchange", "Act", "and", "the", "rules", "of", "the", "SEC", "thereunder", "as", "in", "effect", "on", "the", "date", "hereof", ")", ",", "other", "than", "Bruce", "C", ".", "Gottwald", ",", "Floyd", "D", ".", "Gottwald", ",", "Jr", ".", "or", "members", "of", "their", "respective", "families", ",", "or", "investment", "entities", "owned", "entirely", "(", "directly", "or", "indirectly", ")", "by", "them", "or", "members", "of", "their", "respective", "families", ",", "either", "individually", "or", "acting", "in", "concert", "with", "one", "or", "more", "other", "persons", ",", "shall", "have", "acquired", "beneficial", "ownership", ",", "directly", "or", "indirectly", ",", "of", "securities", "of", "the", "Company", "(", "or", "other", "securities", "convertible", "into", "such", "securities", ")", "representing", "25", "%", "or", "more", "of", "the", "combined", "voting", "power", "of", "all", "securities", "of", "the", "Company", "entitled", "to", "vote", "in", "the", "election", "of", "members", "of", "the", "governing", "body", "of", "the", "Company", ",", "other", "than", "securities", "having", "such", "power", "only", "by", "reason", "of", "the", "happening", "of", "a", "contingency", ";", "(", "ii", ")", "the", "occurrence", ",", "during", "any", "period", "of", "24", "consecutive", "months", ",", "of", "a", "change", "in", "the", "composition", "of", "the", "governing", "body", "of", "the", "Company", "such", "that", "a", "majority", "of", "the", "members", "of", "any", "such", "governing", "body", "are", "not", "Continuing", "Members", ";", "(", "iii", ")", "the", "occurrence", "of", "any", "Change", "of", "Control", "or", "similar", "event", "as", "defined", "in", "any", "agreement", "or", "instrument", "evidencing", "any", "Material", "Indebtedness", "with", "an", "original", "principal", "amount", "in", "excess", "of", "$", "50", ",", "000", ",", "000", ";", "(", "iv", ")", "the", "failure", "at", "any", "time", "of", "the", "Company", "to", "legally", "and", "beneficially", "own", "and", "control", "100", "%", "of", "the", "issued", "and", "outstanding", "shares", "of", "capital", "stock", "of", "Ethyl", "Corporation", "or", "Afton", "Chemical", "Corporation", "or", "the", "failure", "at", "any", "time", "of", "the", "Company", "to", "have", "the", "ability", "to", "elect", "all", "of", "the", "governing", "body", "of", "Ethyl", "Corporation", "or", "Afton", "Chemical", "Corporation", ";", "or", "(", "v", ")", "the", "Company", "ceases", "to", "own", ",", "directly", "or", "indirectly", ",", "and", "Control", "100", "%", "(", "other", "than", "directors", "qualifying", "shares", ")", "of", "the", "ordinary", "voting", "and", "economic", "power", "of", "any", "Foreign", "Subsidiary", "Borrower", "."]}
{"id": "13240", "text": "CISADA means the Comprehensive Iran Sanctions, Accountability and Divestment Act.&lt; br/&gt;", "ner": [[0, 0, "Act"], [3, 10, "Act"]], "tokenized_text": ["CISADA", "means", "the", "Comprehensive", "Iran", "Sanctions", ",", "Accountability", "and", "Divestment", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "13243", "text": "Purchasers means The Prudential Insurance Company of America , The Gibraltar Life Insurance Co., Ltd., The Lincoln National Life Insurance Company, The Prudential Life Insurance Company, Ltd., and their respective successors and assigns with respect to the Notes.", "ner": [[2, 7, "Parties"], [9, 17, "Parties"], [19, 24, "Parties"], [26, 33, "Parties"]], "tokenized_text": ["Purchasers", "means", "The", "Prudential", "Insurance", "Company", "of", "America", ",", "The", "Gibraltar", "Life", "Insurance", "Co", ".", ",", "Ltd", ".", ",", "The", "Lincoln", "National", "Life", "Insurance", "Company", ",", "The", "Prudential", "Life", "Insurance", "Company", ",", "Ltd", ".", ",", "and", "their", "respective", "successors", "and", "assigns", "with", "respect", "to", "the", "Notes", "."]}
{"id": "13244", "text": "Securities Act means the Securities Act of 1933 <sup> , as amended.", "ner": [[0, 1, "Act"], [4, 7, "Act"]], "tokenized_text": ["Securities", "Act", "means", "the", "Securities", "Act", "of", "1933", "<", "sup", ">", ",", "as", "amended", "."]}
{"id": "13245", "text": "USA PATRIOT Act means United States Public Law 107-56, Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism (USA PATRIOT ACT) Act of 2001 , as amended from time to time, and the rules and regulations promulgated thereunder from time to time in effect.", "ner": [[0, 2, "Act"], [4, 8, "Regulation"], [25, 27, "Act"], [29, 31, "Act"]], "tokenized_text": ["USA", "PATRIOT", "Act", "means", "United", "States", "Public", "Law", "107-56", ",", "Uniting", "and", "Strengthening", "America", "by", "Providing", "Appropriate", "Tools", "Required", "to", "Intercept", "and", "Obstruct", "Terrorism", "(", "USA", "PATRIOT", "ACT", ")", "Act", "of", "2001", ",", "as", "amended", "from", "time", "to", "time", ",", "and", "the", "rules", "and", "regulations", "promulgated", "thereunder", "from", "time", "to", "time", "in", "effect", "."]}
{"id": "13246", "text": "surrendered for registration of transfer or exchange shall be duly endorsed, or be accompanied by a written instrument of transfer duly executed, by the holder of such Note or such holders attorney duly authorized in writing. Any Note or Notes issued in exchange for any Note or upon transfer thereof shall carry the rights to unpaid interest and interest to accrue which were carried by the Note so exchanged or transferred, so that neither gain nor loss of interest shall result from any such transfer or exchange. Upon receipt of written notice from the holder of any Note of the loss, theft, destruction or mutilation of such Note and, in the case of any such loss, theft or destruction, upon receipt of such holders unsecured indemnity agreement, or in the case of any such mutilation upon surrender and cancellation of such Note, the Issuer will make and deliver a new Note, of like tenor, in lieu of the lost, stolen, destroyed or mutilated Note. The Issuer shall give to any holder of a Note that is an Institutional Investor promptly upon request therefor, a complete and correct copy of the names and addresses of all registered holders of Notes. Any Transferee , by its acceptance of a Note registered in its name (or the name of its nominee), shall be deemed to have made the representations and disclosures under paragraph 9B.", "ner": [[134, 136, "Title"]], "tokenized_text": ["surrendered", "for", "registration", "of", "transfer", "or", "exchange", "shall", "be", "duly", "endorsed", ",", "or", "be", "accompanied", "by", "a", "written", "instrument", "of", "transfer", "duly", "executed", ",", "by", "the", "holder", "of", "such", "Note", "or", "such", "holders", "attorney", "duly", "authorized", "in", "writing", ".", "Any", "Note", "or", "Notes", "issued", "in", "exchange", "for", "any", "Note", "or", "upon", "transfer", "thereof", "shall", "carry", "the", "rights", "to", "unpaid", "interest", "and", "interest", "to", "accrue", "which", "were", "carried", "by", "the", "Note", "so", "exchanged", "or", "transferred", ",", "so", "that", "neither", "gain", "nor", "loss", "of", "interest", "shall", "result", "from", "any", "such", "transfer", "or", "exchange", ".", "Upon", "receipt", "of", "written", "notice", "from", "the", "holder", "of", "any", "Note", "of", "the", "loss", ",", "theft", ",", "destruction", "or", "mutilation", "of", "such", "Note", "and", ",", "in", "the", "case", "of", "any", "such", "loss", ",", "theft", "or", "destruction", ",", "upon", "receipt", "of", "such", "holders", "unsecured", "indemnity", "agreement", ",", "or", "in", "the", "case", "of", "any", "such", "mutilation", "upon", "surrender", "and", "cancellation", "of", "such", "Note", ",", "the", "Issuer", "will", "make", "and", "deliver", "a", "new", "Note", ",", "of", "like", "tenor", ",", "in", "lieu", "of", "the", "lost", ",", "stolen", ",", "destroyed", "or", "mutilated", "Note", ".", "The", "Issuer", "shall", "give", "to", "any", "holder", "of", "a", "Note", "that", "is", "an", "Institutional", "Investor", "promptly", "upon", "request", "therefor", ",", "a", "complete", "and", "correct", "copy", "of", "the", "names", "and", "addresses", "of", "all", "registered", "holders", "of", "Notes", ".", "Any", "Transferee", ",", "by", "its", "acceptance", "of", "a", "Note", "registered", "in", "its", "name", "(", "or", "the", "name", "of", "its", "nominee", ")", ",", "shall", "be", "deemed", "to", "have", "made", "the", "representations", "and", "disclosures", "under", "paragraph", "9B", "."]}
{"id": "13248", "text": "11N. Governing Law. THIS AGREEMENT SHALL BE CONSTRUED AND ENFORCED IN ACCORDANCE WITH, AND THE RIGHTS OF THE PARTIES SHALL BE GOVERNED BY, THE LAW OF THE STATE OF NEW YORK IN ACCORDANCE WITH THE PROVISIONS OF 5-1401 OF THE NEW YORK GENERAL OBLIGATIONS LAW.", "ner": [[31, 34, "Court"]], "tokenized_text": ["11N", ".", "Governing", "Law", ".", "THIS", "AGREEMENT", "SHALL", "BE", "CONSTRUED", "AND", "ENFORCED", "IN", "ACCORDANCE", "WITH", ",", "AND", "THE", "RIGHTS", "OF", "THE", "PARTIES", "SHALL", "BE", "GOVERNED", "BY", ",", "THE", "LAW", "OF", "THE", "STATE", "OF", "NEW", "YORK", "IN", "ACCORDANCE", "WITH", "THE", "PROVISIONS", "OF", "5-1401", "OF", "THE", "NEW", "YORK", "GENERAL", "OBLIGATIONS", "LAW", "."]}
{"id": "13249", "text": "| | | | | | | | | | ---|---|---|---|---|---|---|---|---|---|--- | | | | | | NewMarket 3.78% Notes Denominations | | |", "ner": [[60, 63, "Percentage"]], "tokenized_text": ["|", "|", "|", "|", "|", "|", "|", "|", "|", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "|", "|", "|", "|", "|", "NewMarket", "3", ".", "78", "%", "Notes", "Denominations", "|", "|", "|"]}
{"id": "13252", "text": "| | | | | | | | | | ---|---|---|---|---|---|---|---|---|---|--- | | | | | | | | NewMarket 3.78% Notes Denominations | | |", "ner": [[62, 65, "Percentage"]], "tokenized_text": ["|", "|", "|", "|", "|", "|", "|", "|", "|", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "|", "|", "|", "|", "|", "|", "|", "NewMarket", "3", ".", "78", "%", "Notes", "Denominations", "|", "|", "|"]}
{"id": "13253", "text": "| | | | | | | | Attention: JoAnn Bryan - Investment Accounting | | | | | | Fax: (260) 455-2622 | | | | * * *", "ner": [[23, 26, "PII_Ref"]], "tokenized_text": ["|", "|", "|", "|", "|", "|", "|", "|", "Attention", ":", "JoAnn", "Bryan", "-", "Investment", "Accounting", "|", "|", "|", "|", "|", "|", "Fax", ":", "(", "260", ")", "455-2622", "|", "|", "|", "|", "*", "*", "*"]}
{"id": "13257", "text": "| | | | | | ---|---|---|---|---|---|--- Ethyl Corporation | | Virginia | | 100% directly | | Ethyl Export Corporation | | Virginia | | 100%indirectly | | Ethyl Interamerica Corporation | | Delaware | | 100% indirectly | | Ethyl Ventures, Inc. | | Virginia | | 100% indirectly | | Foundry Park I, LLC | | Virginia | | 100% indirectly | | Foundry Park II, LLC | | Virginia | | 100% indirectly | | Gambles Hill, LLC | | Virginia | | 100% indirectly | | Gambles Hill Lab, LLC | | Virginia | | 100% indirectly | | Gambles Hill Landing, LLC | | Virginia | | 100% indirectly | | Gambles Hill Third Street, LLC | | Virginia | | 100% indirectly | | Gambles Hill Tredegar, LLC | | Virginia | | 100% indirectly | | Interamerica Terminals Corporation | | Virginia | | 100% indirectly | | Lewistown Road, LLC | | Virginia | | 100% indirectly | | Libby G Corporation | | Liberia | | 100% indirectly | | NewMarket Development Corporation | | Virginia | | 100% directly | | NewMarket Investment Company | | Virginia | | 100% directly | | NewMarket Services Corporation | | Virginia | | 100% directly | | Old Town LLC | | Virginia | | 100% indirectly | | Polartech Additives China Holding GmbH | | Switzerland | | 100% indirectly | | Polartech Ltd. | | UnitedKingdom | | 100% indirectly | | Servicios Afton de Mexico, S.A. de C.V. | | Mexico | | 100% indirectly | | The Edwin Cooper Corporation | | Virginia | | 100% indirectly | | * * *", "ner": [[33, 34, "Parties"], [40, 41, "Percentage"], [45, 47, "Parties"], [53, 54, "Percentage"], [58, 60, "Parties"], [66, 67, "Percentage"], [71, 75, "Parties"], [81, 82, "Percentage"], [86, 90, "Parties"], [96, 97, "Percentage"], [101, 105, "Parties"], [111, 112, "Percentage"], [116, 119, "Parties"], [125, 126, "Percentage"], [130, 134, "Parties"], [140, 141, "Percentage"], [145, 149, "Parties"], [155, 156, "Percentage"], [160, 165, "Parties"], [171, 172, "Percentage"], [176, 180, "Parties"], [186, 187, "Percentage"], [191, 193, "Parties"], [199, 200, "Percentage"], [204, 207, "Parties"], [213, 214, "Percentage"], [218, 220, "Parties"], [226, 227, "Percentage"], [231, 233, "Parties"], [239, 240, "Percentage"], [244, 246, "Parties"], [252, 253, "Percentage"], [257, 259, "Parties"], [265, 266, "Percentage"], [270, 272, "Parties"], [278, 279, "Percentage"], [283, 287, "Parties"], [293, 294, "Percentage"], [298, 300, "Parties"], [306, 307, "Percentage"], [311, 319, "Parties"], [330, 331, "Percentage"], [335, 338, "Parties"], [344, 345, "Percentage"]], "tokenized_text": ["|", "|", "|", "|", "|", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "Ethyl", "Corporation", "|", "|", "Virginia", "|", "|", "100", "%", "directly", "|", "|", "Ethyl", "Export", "Corporation", "|", "|", "Virginia", "|", "|", "100", "%", "indirectly", "|", "|", "Ethyl", "Interamerica", "Corporation", "|", "|", "Delaware", "|", "|", "100", "%", "indirectly", "|", "|", "Ethyl", "Ventures", ",", "Inc", ".", "|", "|", "Virginia", "|", "|", "100", "%", "indirectly", "|", "|", "Foundry", "Park", "I", ",", "LLC", "|", "|", "Virginia", "|", "|", "100", "%", "indirectly", "|", "|", "Foundry", "Park", "II", ",", "LLC", "|", "|", "Virginia", "|", "|", "100", "%", "indirectly", "|", "|", "Gambles", "Hill", ",", "LLC", "|", "|", "Virginia", "|", "|", "100", "%", "indirectly", "|", "|", "Gambles", "Hill", "Lab", ",", "LLC", "|", "|", "Virginia", "|", "|", "100", "%", "indirectly", "|", "|", "Gambles", "Hill", "Landing", ",", "LLC", "|", "|", "Virginia", "|", "|", "100", "%", "indirectly", "|", "|", "Gambles", "Hill", "Third", "Street", ",", "LLC", "|", "|", "Virginia", "|", "|", "100", "%", "indirectly", "|", "|", "Gambles", "Hill", "Tredegar", ",", "LLC", "|", "|", "Virginia", "|", "|", "100", "%", "indirectly", "|", "|", "Interamerica", "Terminals", "Corporation", "|", "|", "Virginia", "|", "|", "100", "%", "indirectly", "|", "|", "Lewistown", "Road", ",", "LLC", "|", "|", "Virginia", "|", "|", "100", "%", "indirectly", "|", "|", "Libby", "G", "Corporation", "|", "|", "Liberia", "|", "|", "100", "%", "indirectly", "|", "|", "NewMarket", "Development", "Corporation", "|", "|", "Virginia", "|", "|", "100", "%", "directly", "|", "|", "NewMarket", "Investment", "Company", "|", "|", "Virginia", "|", "|", "100", "%", "directly", "|", "|", "NewMarket", "Services", "Corporation", "|", "|", "Virginia", "|", "|", "100", "%", "directly", "|", "|", "Old", "Town", "LLC", "|", "|", "Virginia", "|", "|", "100", "%", "indirectly", "|", "|", "Polartech", "Additives", "China", "Holding", "GmbH", "|", "|", "Switzerland", "|", "|", "100", "%", "indirectly", "|", "|", "Polartech", "Ltd", ".", "|", "|", "UnitedKingdom", "|", "|", "100", "%", "indirectly", "|", "|", "Servicios", "Afton", "de", "Mexico", ",", "S", ".", "A", ".", "de", "C", ".", "V", ".", "|", "|", "Mexico", "|", "|", "100", "%", "indirectly", "|", "|", "The", "Edwin", "Cooper", "Corporation", "|", "|", "Virginia", "|", "|", "100", "%", "indirectly", "|", "|", "*", "*", "*"]}
{"id": "13259", "text": "PRINCIPAL PREPAYMENT DATES AND AMOUNTS: $[] on each of (i)January4, 2025, (ii)January4, 2026, (iii)January4, 2027, (iv)January4, 2028 and (v) January4, 2029 .", "ner": [], "tokenized_text": ["PRINCIPAL", "PREPAYMENT", "DATES", "AND", "AMOUNTS", ":", "$", "[", "]", "on", "each", "of", "(", "i", ")", "January4", ",", "2025", ",", "(", "ii", ")", "January4", ",", "2026", ",", "(", "iii", ")", "January4", ",", "2027", ",", "(", "iv", ")", "January4", ",", "2028", "and", "(", "v", ")", "January4", ",", "2029", "."]}
{"id": "13262", "text": "As contemplated by paragraph 2 of the Note Purchase Agreement, dated as of J anuary4, 2017 , between us, the undersigned hereby instructs you to deliver, on the Closing Day, the proceeds of all Notes in the manner required by paragraph 2 to the undersigneds account identified below:", "ner": [[7, 9, "Title"], [14, 17, "EffectiveDate"]], "tokenized_text": ["As", "contemplated", "by", "paragraph", "2", "of", "the", "Note", "Purchase", "Agreement", ",", "dated", "as", "of", "J", "anuary4", ",", "2017", ",", "between", "us", ",", "the", "undersigned", "hereby", "instructs", "you", "to", "deliver", ",", "on", "the", "Closing", "Day", ",", "the", "proceeds", "of", "all", "Notes", "in", "the", "manner", "required", "by", "paragraph", "2", "to", "the", "undersigneds", "account", "identified", "below", ":"]}
{"id": "13265", "text": "MGT CAPITAL INVESTMENTS, INC.", "ner": [], "tokenized_text": ["MGT", "CAPITAL", "INVESTMENTS", ",", "INC", "."]}
{"id": "13266", "text": "This Demonsaw LLC Membership Interest Purchase Agreement (Agreement) is entered into on March 3, 2017 , between Future Tense Secure Systems Inc. , a Colorado corporation (Future Tense or the Seller), with the primary office of _6845 Hwy. 90E, Suite 105-251, Daphne, Al 36526 , and MGT Capital Investments, Inc. , a Delaware corporation (MGT or the Buyer), with an address of 512 S. Mangum Street, Suite 408, Durham, NC 27701.", "ner": [[5, 6, "Title"], [14, 17, "EffectiveDate"], [20, 25, "Parties"], [43, 54, "Address"], [57, 62, "Parties"], [78, 89, "Address"]], "tokenized_text": ["This", "Demonsaw", "LLC", "Membership", "Interest", "Purchase", "Agreement", "(", "Agreement", ")", "is", "entered", "into", "on", "March", "3", ",", "2017", ",", "between", "Future", "Tense", "Secure", "Systems", "Inc", ".", ",", "a", "Colorado", "corporation", "(", "Future", "Tense", "or", "the", "Seller", ")", ",", "with", "the", "primary", "office", "of", "_6845", "Hwy", ".", "90E", ",", "Suite", "105-251", ",", "Daphne", ",", "Al", "36526", ",", "and", "MGT", "Capital", "Investments", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "MGT", "or", "the", "Buyer", ")", ",", "with", "an", "address", "of", "512", "S", ".", "Mangum", "Street", ",", "Suite", "408", ",", "Durham", ",", "NC", "27701", "."]}
{"id": "13267", "text": "WHEREAS, Seller currently owns 46% of the membership interests (the LLC Interests) in Demonsaw, LLC, a Delaware limited liability company (Demonsaw or the Company).", "ner": [[5, 6, "Percentage"], [17, 19, "Parties"]], "tokenized_text": ["WHEREAS", ",", "Seller", "currently", "owns", "46", "%", "of", "the", "membership", "interests", "(", "the", "LLC", "Interests", ")", "in", "Demonsaw", ",", "LLC", ",", "a", "Delaware", "limited", "liability", "company", "(", "Demonsaw", "or", "the", "Company", ")", "."]}
{"id": "13268", "text": "WHEREAS, the Company is managed by its manager, Eric J. Anderson, an individual with address at 5 Robin Hood Road, Windham, NH 03087.", "ner": [[20, 28, "Address"]], "tokenized_text": ["WHEREAS", ",", "the", "Company", "is", "managed", "by", "its", "manager", ",", "Eric", "J", ".", "Anderson", ",", "an", "individual", "with", "address", "at", "5", "Robin", "Hood", "Road", ",", "Windham", ",", "NH", "03087", "."]}
{"id": "13274", "text": "Future Tense Secure Systems Inc.", "ner": [[0, 5, "Parties"]], "tokenized_text": ["Future", "Tense", "Secure", "Systems", "Inc", "."]}
{"id": "13278", "text": "A.Assignor is the holder of forty-six percent ( 46% ) of the membership interest (the Membership Interest) in Demonsaw, LLC, a Delaware limited liability company (Demonsaw or the Company).", "ner": [[10, 11, "Percentage"], [23, 25, "Parties"]], "tokenized_text": ["A", ".", "Assignor", "is", "the", "holder", "of", "forty-six", "percent", "(", "46", "%", ")", "of", "the", "membership", "interest", "(", "the", "Membership", "Interest", ")", "in", "Demonsaw", ",", "LLC", ",", "a", "Delaware", "limited", "liability", "company", "(", "Demonsaw", "or", "the", "Company", ")", "."]}
{"id": "13280", "text": "5\\. Successors and Assigns. This Assignment shall be binding upon and inure to the benefit of each of the parties hereto and their respective heirs, legal representatives, successors and assigns.", "ner": [], "tokenized_text": ["5", "\\", ".", "Successors", "and", "Assigns", ".", "This", "Assignment", "shall", "be", "binding", "upon", "and", "inure", "to", "the", "benefit", "of", "each", "of", "the", "parties", "hereto", "and", "their", "respective", "heirs", ",", "legal", "representatives", ",", "successors", "and", "assigns", "."]}
{"id": "13282", "text": "Future Tense Secured Systems, Inc. 46 %", "ner": [[0, 6, "Parties"], [7, 8, "Percentage"]], "tokenized_text": ["Future", "Tense", "Secured", "Systems", ",", "Inc", ".", "46", "%"]}
{"id": "13284", "text": "PENNYMAC LOAN SERVICES, LLC ,", "ner": [[0, 4, "Parties"]], "tokenized_text": ["PENNYMAC", "LOAN", "SERVICES", ",", "LLC", ","]}
{"id": "13288", "text": "Dated as of February 16, 2017", "ner": [[3, 6, "EffectiveDate"]], "tokenized_text": ["Dated", "as", "of", "February", "16", ",", "2017"]}
{"id": "13291", "text": "WHEREAS, (i) pursuant to the Series 2016-MSRVF1 Indenture Supplement, with respect to the Series 2016-MSRVF1 Note, any Action provided by the Base Indenture or the Series 2016-MSRVF1 Indenture Supplement to be given or taken by a Noteholder shall be taken by CSCIB, as the buyer of the Series 2016-MSRVF1 Note under the MSRVF1 Repurchase Agreement and (ii) pursuant to the terms of the Note Purchase Agreement, dated as of December 19, 2016, by and among the Issuer, CSFB, as the Administrative Agent and CSCIB, as purchaser, CSCIB is the purchaser and sole noteholder of the Series 2016-MBSADV1 Note, and therefore CSCIB is 100% of the VFN Noteholders of the Outstanding Notes;", "ner": [[46, 46, "Parties"], [58, 60, "Title"], [71, 73, "Title"], [78, 81, "EffectiveDate"], [89, 89, "Parties"], [118, 119, "Percentage"]], "tokenized_text": ["WHEREAS", ",", "(", "i", ")", "pursuant", "to", "the", "Series", "2016-MSRVF1", "Indenture", "Supplement", ",", "with", "respect", "to", "the", "Series", "2016-MSRVF1", "Note", ",", "any", "Action", "provided", "by", "the", "Base", "Indenture", "or", "the", "Series", "2016-MSRVF1", "Indenture", "Supplement", "to", "be", "given", "or", "taken", "by", "a", "Noteholder", "shall", "be", "taken", "by", "CSCIB", ",", "as", "the", "buyer", "of", "the", "Series", "2016-MSRVF1", "Note", "under", "the", "MSRVF1", "Repurchase", "Agreement", "and", "(", "ii", ")", "pursuant", "to", "the", "terms", "of", "the", "Note", "Purchase", "Agreement", ",", "dated", "as", "of", "December", "19", ",", "2016", ",", "by", "and", "among", "the", "Issuer", ",", "CSFB", ",", "as", "the", "Administrative", "Agent", "and", "CSCIB", ",", "as", "purchaser", ",", "CSCIB", "is", "the", "purchaser", "and", "sole", "noteholder", "of", "the", "Series", "2016-MBSADV1", "Note", ",", "and", "therefore", "CSCIB", "is", "100", "%", "of", "the", "VFN", "Noteholders", "of", "the", "Outstanding", "Notes", ";"]}
{"id": "13292", "text": "To the extent there are conflicting directions between 100% of the VFN Noteholders and the Majority Noteholders, the Indenture Trustee will take its direction from 100% of the VFN Noteholders.", "ner": [[8, 9, "Percentage"], [27, 28, "Percentage"]], "tokenized_text": ["To", "the", "extent", "there", "are", "conflicting", "directions", "between", "100", "%", "of", "the", "VFN", "Noteholders", "and", "the", "Majority", "Noteholders", ",", "the", "Indenture", "Trustee", "will", "take", "its", "direction", "from", "100", "%", "of", "the", "VFN", "Noteholders", "."]}
{"id": "13294", "text": "PNMAC GMSR ISSUER TRUST , as Buyer", "ner": [[0, 3, "Parties"]], "tokenized_text": ["PNMAC", "GMSR", "ISSUER", "TRUST", ",", "as", "Buyer"]}
{"id": "13299", "text": "EX-10.1 2 exhibit10-1.htm EXHIBIT 10.1 MEMBERSHIP INTEREST PURCHASE AGREEMENT", "ner": [[11, 14, "Title"]], "tokenized_text": ["EX-10", ".", "1", "2", "exhibit10-1", ".", "htm", "EXHIBIT", "10", ".", "1", "MEMBERSHIP", "INTEREST", "PURCHASE", "AGREEMENT"]}
{"id": "13300", "text": "MEMBERSHIP INTEREST PURCHASE AGREEMENT", "ner": [[2, 3, "Title"]], "tokenized_text": ["MEMBERSHIP", "INTEREST", "PURCHASE", "AGREEMENT"]}
{"id": "13301", "text": "This Agreement (the \"Agreement\") made as of the 13th day of January, 2017 , by and between Tidewater Mortgage Services, Inc. (\"Seller\") and The Old Point National Bank of Phoebus (\"Buyer\").", "ner": [[12, 17, "EffectiveDate"], [22, 27, "Parties"], [34, 40, "Parties"]], "tokenized_text": ["This", "Agreement", "(", "the", "\"", "Agreement", "\"", ")", "made", "as", "of", "the", "13th", "day", "of", "January", ",", "2017", ",", "by", "and", "between", "Tidewater", "Mortgage", "Services", ",", "Inc", ".", "(", "\"", "Seller", "\"", ")", "and", "The", "Old", "Point", "National", "Bank", "of", "Phoebus", "(", "\"", "Buyer", "\"", ")", "."]}
{"id": "13303", "text": "2. Closing. The closing (\"Closing\") is to take place on or before May 1, 2017 (\"Closing Date\") at a location to be agreed upon by the parties.", "ner": [[18, 21, "TerminationDate"]], "tokenized_text": ["2", ".", "Closing", ".", "The", "closing", "(", "\"", "Closing", "\"", ")", "is", "to", "take", "place", "on", "or", "before", "May", "1", ",", "2017", "(", "\"", "Closing", "Date", "\"", ")", "at", "a", "location", "to", "be", "agreed", "upon", "by", "the", "parties", "."]}
{"id": "13306", "text": "The Old Point National Bank of Phoebus 1 West Mellen Street", "ner": [[6, 10, "Address"]], "tokenized_text": ["The", "Old", "Point", "National", "Bank", "of", "Phoebus", "1", "West", "Mellen", "Street"]}
{"id": "13307", "text": "/s/ Robert F. Shuford, Jr. Hampton, VA 23663", "ner": [[3, 9, "Parties"], [10, 13, "Address"]], "tokenized_text": ["/", "s", "/", "Robert", "F", ".", "Shuford", ",", "Jr", ".", "Hampton", ",", "VA", "23663"]}
{"id": "13308", "text": "This Securities Purchase Agreement (this Agreement) is dated as of December 30, 2016 , between Digital Ally, Inc. , a Nevada corporation (the Company), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a Purchaser and collectively, the Purchasers).", "ner": [[1, 3, "Title"], [12, 15, "EffectiveDate"], [18, 22, "Parties"]], "tokenized_text": ["This", "Securities", "Purchase", "Agreement", "(", "this", "Agreement", ")", "is", "dated", "as", "of", "December", "30", ",", "2016", ",", "between", "Digital", "Ally", ",", "Inc", ".", ",", "a", "Nevada", "corporation", "(", "the", "Company", ")", ",", "and", "each", "purchaser", "identified", "on", "the", "signature", "pages", "hereto", "(", "each", ",", "including", "its", "successors", "and", "assigns", ",", "a", "Purchaser", "and", "collectively", ",", "the", "Purchasers", ")", "."]}
{"id": "13309", "text": "Affiliate means any Person that, directly or indirectly through one or more intermediaries, controls or is controlled by or is under common control with a Person, as such terms are used in and construed under Rule 405 under the Securities Act.&lt; br/&gt;", "ner": [[38, 39, "Regulation"], [42, 43, "Act"]], "tokenized_text": ["Affiliate", "means", "any", "Person", "that", ",", "directly", "or", "indirectly", "through", "one", "or", "more", "intermediaries", ",", "controls", "or", "is", "controlled", "by", "or", "is", "under", "common", "control", "with", "a", "Person", ",", "as", "such", "terms", "are", "used", "in", "and", "construed", "under", "Rule", "405", "under", "the", "Securities", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "13310", "text": "Company Counsel means Christian J. Hoffmann, III with offices located at 9705 Loiret Blvd., Lenexa, KS 66219.", "ner": [[13, 21, "Address"]], "tokenized_text": ["Company", "Counsel", "means", "Christian", "J", ".", "Hoffmann", ",", "III", "with", "offices", "located", "at", "9705", "Loiret", "Blvd", ".", ",", "Lenexa", ",", "KS", "66219", "."]}
{"id": "13312", "text": "Short Sales means all short sales as defined in Rule 200 of Regulation SHO under the Exchange Act ( but shall not be deemed to include locating, reserving and/or borrowing shares of Common Stock).", "ner": [[9, 10, "Regulation"], [12, 13, "Regulation"], [16, 17, "Act"]], "tokenized_text": ["Short", "Sales", "means", "all", "short", "sales", "as", "defined", "in", "Rule", "200", "of", "Regulation", "SHO", "under", "the", "Exchange", "Act", "(", "but", "shall", "not", "be", "deemed", "to", "include", "locating", ",", "reserving", "and", "/", "or", "borrowing", "shares", "of", "Common", "Stock", ")", "."]}
{"id": "13317", "text": "(n) Regulatory Permits. The Company and the Subsidiaries possess all certificates, authorizations and permits issued by the appropriate federal, state, local or foreign regulatory authorities necessary to conduct their respective businesses as described in the SEC Reports, except where the failure to possess such permits could not reasonably be expected to result in a Material Adverse Effect (Material Permits), and neither the Company nor any Subsidiary has received any notice of proceedings relating to the revocation or modification of any Material Permit.", "ner": [[65, 66, "Regulation"]], "tokenized_text": ["(", "n", ")", "Regulatory", "Permits", ".", "The", "Company", "and", "the", "Subsidiaries", "possess", "all", "certificates", ",", "authorizations", "and", "permits", "issued", "by", "the", "appropriate", "federal", ",", "state", ",", "local", "or", "foreign", "regulatory", "authorities", "necessary", "to", "conduct", "their", "respective", "businesses", "as", "described", "in", "the", "SEC", "Reports", ",", "except", "where", "the", "failure", "to", "possess", "such", "permits", "could", "not", "reasonably", "be", "expected", "to", "result", "in", "a", "Material", "Adverse", "Effect", "(", "Material", "Permits", ")", ",", "and", "neither", "the", "Company", "nor", "any", "Subsidiary", "has", "received", "any", "notice", "of", "proceedings", "relating", "to", "the", "revocation", "or", "modification", "of", "any", "Material", "Permit", "."]}
{"id": "13320", "text": "(v) Investment Company. The Company is not, and is not an Affiliate of or an entity controlled by, and immediately after receipt of payment for the Securities, will not be or be an Affiliate of or an entity controlled by, an investment company within the meaning of the Investment Company Act of 1940 , as amended. The Company shall conduct its business in a manner so that it will not become an investment company subject to registration under the Investment Company Act of 1940 , as amended.", "ner": [[55, 59, "Act"]], "tokenized_text": ["(", "v", ")", "Investment", "Company", ".", "The", "Company", "is", "not", ",", "and", "is", "not", "an", "Affiliate", "of", "or", "an", "entity", "controlled", "by", ",", "and", "immediately", "after", "receipt", "of", "payment", "for", "the", "Securities", ",", "will", "not", "be", "or", "be", "an", "Affiliate", "of", "or", "an", "entity", "controlled", "by", ",", "an", "investment", "company", "within", "the", "meaning", "of", "the", "Investment", "Company", "Act", "of", "1940", ",", "as", "amended", ".", "The", "Company", "shall", "conduct", "its", "business", "in", "a", "manner", "so", "that", "it", "will", "not", "become", "an", "investment", "company", "subject", "to", "registration", "under", "the", "Investment", "Company", "Act", "of", "1940", ",", "as", "amended", "."]}
{"id": "13323", "text": "(mm) Office of Foreign Assets Control. Neither the Company nor any Subsidiary nor, to the Companys knowledge, any director, officer, agent, employee or affiliate of the Company or any Subsidiary is currently subject to any U.S. sanctions administered by the Office of Foreign Assets Control of the U.S. Treasury Department (OFAC).", "ner": [], "tokenized_text": ["(", "mm", ")", "Office", "of", "Foreign", "Assets", "Control", ".", "Neither", "the", "Company", "nor", "any", "Subsidiary", "nor", ",", "to", "the", "Companys", "knowledge", ",", "any", "director", ",", "officer", ",", "agent", ",", "employee", "or", "affiliate", "of", "the", "Company", "or", "any", "Subsidiary", "is", "currently", "subject", "to", "any", "U", ".", "S", ".", "sanctions", "administered", "by", "the", "Office", "of", "Foreign", "Assets", "Control", "of", "the", "U", ".", "S", ".", "Treasury", "Department", "(", "OFAC", ")", "."]}
{"id": "13328", "text": "[NEITHER] THIS SECURITY [NOR THE SECURITIES INTO WHICH THIS SECURITY IS [EXERCISABLE] [CONVERTIBLE]] HAS [NOT] BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED ( THE SECURITIES ACT), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGISTRATION STATEMENT UNDER THE SECURITIES ACT OR PURSUANT TO AN AVAILABLE EXEMPTION FROM, OR IN A TRANSACTION NOT SUBJECT TO, THE REGISTRATION REQUIREMENTS OF THE SECURITIES ACT AND IN ACCORDANCE WITH APPLICABLE STATE SECURITIES LAWS. THIS SECURITY [AND THE SECURITIES ISSUABLE UPON [EXERCISE] [CONVERSION] OF THIS SECURITY] MAY BE PLEDGED IN CONNECTION WITH A BONA FIDE MARGIN ACCOUNT WITH A REGISTERED BROKER-DEALER OR OTHER LOAN WITH A FINANCIAL INSTITUTION THAT IS AN ACCREDITED INVESTOR AS DEFINED IN RULE 501(a) UNDER THE SECURITIES ACT OR OTHER LOAN SECURED BY SUCH SECURITIES.", "ner": [[49, 52, "Act"], [163, 167, "Regulation"]], "tokenized_text": ["[", "NEITHER", "]", "THIS", "SECURITY", "[", "NOR", "THE", "SECURITIES", "INTO", "WHICH", "THIS", "SECURITY", "IS", "[", "EXERCISABLE", "]", "[", "CONVERTIBLE", "]", "]", "HAS", "[", "NOT", "]", "BEEN", "REGISTERED", "WITH", "THE", "SECURITIES", "AND", "EXCHANGE", "COMMISSION", "OR", "THE", "SECURITIES", "COMMISSION", "OF", "ANY", "STATE", "IN", "RELIANCE", "UPON", "AN", "EXEMPTION", "FROM", "REGISTRATION", "UNDER", "THE", "SECURITIES", "ACT", "OF", "1933", ",", "AS", "AMENDED", "(", "THE", "SECURITIES", "ACT", ")", ",", "AND", ",", "ACCORDINGLY", ",", "MAY", "NOT", "BE", "OFFERED", "OR", "SOLD", "EXCEPT", "PURSUANT", "TO", "AN", "EFFECTIVE", "REGISTRATION", "STATEMENT", "UNDER", "THE", "SECURITIES", "ACT", "OR", "PURSUANT", "TO", "AN", "AVAILABLE", "EXEMPTION", "FROM", ",", "OR", "IN", "A", "TRANSACTION", "NOT", "SUBJECT", "TO", ",", "THE", "REGISTRATION", "REQUIREMENTS", "OF", "THE", "SECURITIES", "ACT", "AND", "IN", "ACCORDANCE", "WITH", "APPLICABLE", "STATE", "SECURITIES", "LAWS", ".", "THIS", "SECURITY", "[", "AND", "THE", "SECURITIES", "ISSUABLE", "UPON", "[", "EXERCISE", "]", "[", "CONVERSION", "]", "OF", "THIS", "SECURITY", "]", "MAY", "BE", "PLEDGED", "IN", "CONNECTION", "WITH", "A", "BONA", "FIDE", "MARGIN", "ACCOUNT", "WITH", "A", "REGISTERED", "BROKER-DEALER", "OR", "OTHER", "LOAN", "WITH", "A", "FINANCIAL", "INSTITUTION", "THAT", "IS", "AN", "ACCREDITED", "INVESTOR", "AS", "DEFINED", "IN", "RULE", "501", "(", "a", ")", "UNDER", "THE", "SECURITIES", "ACT", "OR", "OTHER", "LOAN", "SECURED", "BY", "SUCH", "SECURITIES", "."]}
{"id": "13332", "text": "4.15 Certain Transactions and Confidentiality. Each Purchaser, severally and not jointly with the other Purchasers, covenants that neither it, nor any Affiliate acting on its behalf or pursuant to any understanding with it will execute any purchases or sales, including Short Sales, of any of the Companys securities during the period commencing with the execution of this Agreement and ending at the earlier to occur of (i) such time that the transactions contemplated by this Agreement are first publicly announced pursuant to the Form 8-K as described in Section 4.6 and (ii) the Cleansing Deadline (such earlier time, the Restriction Termination Date). Each Purchaser, severally and not jointly with the other Purchasers, covenants that until the Restriction Termination Date, such Purchaser will maintain the confidentiality of the existence and terms of this transaction and the information included in the Transaction Documents and the Disclosure Schedules. Notwithstanding the foregoing, and notwithstanding anything contained in this Agreement to the contrary, the Company expressly acknowledges and agrees that (i) no Purchaser makes any representation, warranty or covenant hereby that it will not engage in effecting transactions in any securities of the Company after Restriction Termination Date , (ii) no Purchaser shall be restricted or prohibited from effecting any transactions in any securities of the Company in accordance with applicable securities laws from and after Restriction Termination Date and (iii) no Purchaser shall have any duty of confidentiality or duty not to trade in the securities of the Company to the Company or its Subsidiaries after the Restriction Termination Date. Notwithstanding the foregoing, in the case of a Purchaser that is a multi-managed investment vehicle whereby separate portfolio managers manage separate portions of such Purchasers assets and the portfolio managers have no direct knowledge of the investment decisions made by the portfolio managers managing other portions of such Purchasers assets, the covenant set forth above shall only apply with respect to the portion of assets managed by the portfolio manager that made the investment decision to purchase the Securities covered by this Agreement.", "ner": [[115, 117, "TerminationDate"]], "tokenized_text": ["4", ".", "15", "Certain", "Transactions", "and", "Confidentiality", ".", "Each", "Purchaser", ",", "severally", "and", "not", "jointly", "with", "the", "other", "Purchasers", ",", "covenants", "that", "neither", "it", ",", "nor", "any", "Affiliate", "acting", "on", "its", "behalf", "or", "pursuant", "to", "any", "understanding", "with", "it", "will", "execute", "any", "purchases", "or", "sales", ",", "including", "Short", "Sales", ",", "of", "any", "of", "the", "Companys", "securities", "during", "the", "period", "commencing", "with", "the", "execution", "of", "this", "Agreement", "and", "ending", "at", "the", "earlier", "to", "occur", "of", "(", "i", ")", "such", "time", "that", "the", "transactions", "contemplated", "by", "this", "Agreement", "are", "first", "publicly", "announced", "pursuant", "to", "the", "Form", "8-K", "as", "described", "in", "Section", "4", ".", "6", "and", "(", "ii", ")", "the", "Cleansing", "Deadline", "(", "such", "earlier", "time", ",", "the", "Restriction", "Termination", "Date", ")", ".", "Each", "Purchaser", ",", "severally", "and", "not", "jointly", "with", "the", "other", "Purchasers", ",", "covenants", "that", "until", "the", "Restriction", "Termination", "Date", ",", "such", "Purchaser", "will", "maintain", "the", "confidentiality", "of", "the", "existence", "and", "terms", "of", "this", "transaction", "and", "the", "information", "included", "in", "the", "Transaction", "Documents", "and", "the", "Disclosure", "Schedules", ".", "Notwithstanding", "the", "foregoing", ",", "and", "notwithstanding", "anything", "contained", "in", "this", "Agreement", "to", "the", "contrary", ",", "the", "Company", "expressly", "acknowledges", "and", "agrees", "that", "(", "i", ")", "no", "Purchaser", "makes", "any", "representation", ",", "warranty", "or", "covenant", "hereby", "that", "it", "will", "not", "engage", "in", "effecting", "transactions", "in", "any", "securities", "of", "the", "Company", "after", "Restriction", "Termination", "Date", ",", "(", "ii", ")", "no", "Purchaser", "shall", "be", "restricted", "or", "prohibited", "from", "effecting", "any", "transactions", "in", "any", "securities", "of", "the", "Company", "in", "accordance", "with", "applicable", "securities", "laws", "from", "and", "after", "Restriction", "Termination", "Date", "and", "(", "iii", ")", "no", "Purchaser", "shall", "have", "any", "duty", "of", "confidentiality", "or", "duty", "not", "to", "trade", "in", "the", "securities", "of", "the", "Company", "to", "the", "Company", "or", "its", "Subsidiaries", "after", "the", "Restriction", "Termination", "Date", ".", "Notwithstanding", "the", "foregoing", ",", "in", "the", "case", "of", "a", "Purchaser", "that", "is", "a", "multi-managed", "investment", "vehicle", "whereby", "separate", "portfolio", "managers", "manage", "separate", "portions", "of", "such", "Purchasers", "assets", "and", "the", "portfolio", "managers", "have", "no", "direct", "knowledge", "of", "the", "investment", "decisions", "made", "by", "the", "portfolio", "managers", "managing", "other", "portions", "of", "such", "Purchasers", "assets", ",", "the", "covenant", "set", "forth", "above", "shall", "only", "apply", "with", "respect", "to", "the", "portion", "of", "assets", "managed", "by", "the", "portfolio", "manager", "that", "made", "the", "investment", "decision", "to", "purchase", "the", "Securities", "covered", "by", "this", "Agreement", "."]}
{"id": "13333", "text": "5.1 Termination. This Agreement may be terminated by any Purchaser, as to such Purchasers obligations hereunder only and without any effect whatsoever on the obligations between the Company and the other Purchasers, by written notice to the other parties, if the Closing has not been consummated on or before December 30, 2016 ; provided, however, that such termination will not affect the right of any party to sue for any breach by any other party (or parties).", "ner": [[55, 58, "TerminationDate"]], "tokenized_text": ["5", ".", "1", "Termination", ".", "This", "Agreement", "may", "be", "terminated", "by", "any", "Purchaser", ",", "as", "to", "such", "Purchasers", "obligations", "hereunder", "only", "and", "without", "any", "effect", "whatsoever", "on", "the", "obligations", "between", "the", "Company", "and", "the", "other", "Purchasers", ",", "by", "written", "notice", "to", "the", "other", "parties", ",", "if", "the", "Closing", "has", "not", "been", "consummated", "on", "or", "before", "December", "30", ",", "2016", ";", "provided", ",", "however", ",", "that", "such", "termination", "will", "not", "affect", "the", "right", "of", "any", "party", "to", "sue", "for", "any", "breach", "by", "any", "other", "party", "(", "or", "parties", ")", "."]}
{"id": "13334", "text": "5.9 Governing Law. All questions concerning the construction, validity, enforcement and interpretation of the Transaction Documents shall be governed by and construed and enforced in accordance with the internal laws of the State of New York , without regard to the principles of conflicts of law thereof. Each party agrees that all legal Proceedings concerning the interpretations, enforcement and defense of the transactions contemplated by this Agreement and any other Transaction Documents (whether brought against a party hereto or its respective affiliates, directors, officers, shareholders, partners, members, employees or agents) shall be commenced exclusively in the state and federal courts sitting in the City of New York. Each party hereby irrevocably submits to the exclusive jurisdiction of the state and federal courts sitting in the City of New York, Borough of Manhattan for the adjudication of any dispute hereunder or in connection herewith or with any transaction contemplated hereby or discussed herein (including with respect to the enforcement of any of the Transaction Documents), and hereby irrevocably waives, and agrees not to assert in any Action or Proceeding, any claim that it is not personally subject to the jurisdiction of any such court, that such Action or Proceeding is improper or is an inconvenient venue for such Proceeding. Each party hereby irrevocably waives personal service of process and consents to process being served in any such Action or Proceeding by mailing a copy thereof via registered or certified mail or overnight delivery (with evidence of delivery) to such party at the address in effect for notices to it under this Agreement and agrees that such service shall constitute good and sufficient service of process and notice thereof. Nothing contained herein shall be deemed to limit in any way any right to serve process in any other manner permitted by law. If any party hereto shall commence an Action or Proceeding to enforce any provisions of the Transaction Documents, then, in addition to the obligations of the Company under Section 4.10, the prevailing party in such Action or Proceeding shall be reimbursed by the non-prevailing party for its reasonable attorneys fees and other costs and expenses incurred with the investigation, preparation and prosecution of such Action or Proceeding.", "ner": [[37, 40, "Court"], [118, 121, "Court"], [141, 148, "Court"], [358, 361, "Regulation"]], "tokenized_text": ["5", ".", "9", "Governing", "Law", ".", "All", "questions", "concerning", "the", "construction", ",", "validity", ",", "enforcement", "and", "interpretation", "of", "the", "Transaction", "Documents", "shall", "be", "governed", "by", "and", "construed", "and", "enforced", "in", "accordance", "with", "the", "internal", "laws", "of", "the", "State", "of", "New", "York", ",", "without", "regard", "to", "the", "principles", "of", "conflicts", "of", "law", "thereof", ".", "Each", "party", "agrees", "that", "all", "legal", "Proceedings", "concerning", "the", "interpretations", ",", "enforcement", "and", "defense", "of", "the", "transactions", "contemplated", "by", "this", "Agreement", "and", "any", "other", "Transaction", "Documents", "(", "whether", "brought", "against", "a", "party", "hereto", "or", "its", "respective", "affiliates", ",", "directors", ",", "officers", ",", "shareholders", ",", "partners", ",", "members", ",", "employees", "or", "agents", ")", "shall", "be", "commenced", "exclusively", "in", "the", "state", "and", "federal", "courts", "sitting", "in", "the", "City", "of", "New", "York", ".", "Each", "party", "hereby", "irrevocably", "submits", "to", "the", "exclusive", "jurisdiction", "of", "the", "state", "and", "federal", "courts", "sitting", "in", "the", "City", "of", "New", "York", ",", "Borough", "of", "Manhattan", "for", "the", "adjudication", "of", "any", "dispute", "hereunder", "or", "in", "connection", "herewith", "or", "with", "any", "transaction", "contemplated", "hereby", "or", "discussed", "herein", "(", "including", "with", "respect", "to", "the", "enforcement", "of", "any", "of", "the", "Transaction", "Documents", ")", ",", "and", "hereby", "irrevocably", "waives", ",", "and", "agrees", "not", "to", "assert", "in", "any", "Action", "or", "Proceeding", ",", "any", "claim", "that", "it", "is", "not", "personally", "subject", "to", "the", "jurisdiction", "of", "any", "such", "court", ",", "that", "such", "Action", "or", "Proceeding", "is", "improper", "or", "is", "an", "inconvenient", "venue", "for", "such", "Proceeding", ".", "Each", "party", "hereby", "irrevocably", "waives", "personal", "service", "of", "process", "and", "consents", "to", "process", "being", "served", "in", "any", "such", "Action", "or", "Proceeding", "by", "mailing", "a", "copy", "thereof", "via", "registered", "or", "certified", "mail", "or", "overnight", "delivery", "(", "with", "evidence", "of", "delivery", ")", "to", "such", "party", "at", "the", "address", "in", "effect", "for", "notices", "to", "it", "under", "this", "Agreement", "and", "agrees", "that", "such", "service", "shall", "constitute", "good", "and", "sufficient", "service", "of", "process", "and", "notice", "thereof", ".", "Nothing", "contained", "herein", "shall", "be", "deemed", "to", "limit", "in", "any", "way", "any", "right", "to", "serve", "process", "in", "any", "other", "manner", "permitted", "by", "law", ".", "If", "any", "party", "hereto", "shall", "commence", "an", "Action", "or", "Proceeding", "to", "enforce", "any", "provisions", "of", "the", "Transaction", "Documents", ",", "then", ",", "in", "addition", "to", "the", "obligations", "of", "the", "Company", "under", "Section", "4", ".", "10", ",", "the", "prevailing", "party", "in", "such", "Action", "or", "Proceeding", "shall", "be", "reimbursed", "by", "the", "non-prevailing", "party", "for", "its", "reasonable", "attorneys", "fees", "and", "other", "costs", "and", "expenses", "incurred", "with", "the", "investigation", ",", "preparation", "and", "prosecution", "of", "such", "Action", "or", "Proceeding", "."]}
{"id": "13335", "text": "5.19 Liquidated Damages. The Companys obligations to pay any partial liquidated damages or other amounts owing under the Transaction Documents is a continuing obligation of the Company and shall not terminate until all unpaid partial liquidated damages and other amounts have been paid notwithstanding the fact that the instrument or security pursuant to which such partial liquidated damages or other amounts are due and payable shall have been canceled.", "ner": [], "tokenized_text": ["5", ".", "19", "Liquidated", "Damages", ".", "The", "Companys", "obligations", "to", "pay", "any", "partial", "liquidated", "damages", "or", "other", "amounts", "owing", "under", "the", "Transaction", "Documents", "is", "a", "continuing", "obligation", "of", "the", "Company", "and", "shall", "not", "terminate", "until", "all", "unpaid", "partial", "liquidated", "damages", "and", "other", "amounts", "have", "been", "paid", "notwithstanding", "the", "fact", "that", "the", "instrument", "or", "security", "pursuant", "to", "which", "such", "partial", "liquidated", "damages", "or", "other", "amounts", "are", "due", "and", "payable", "shall", "have", "been", "canceled", "."]}
{"id": "13336", "text": "5.22 WAIVER OF JURY TRIAL. IN ANY ACTION, SUIT, OR PROCEEDING IN ANY JURISDICTION BROUGHT BY ANY PARTY AGAINST ANY OTHER PARTY, THE PARTIES EACH KNOWINGLY AND INTENTIONALLY, TO THE GREATEST EXTENT PERMITTED BY APPLICABLE LAW, HEREBY ABSOLUTELY, UNCONDITIONALLY, IRREVOCABLY AND EXPRESSLY WAIVES FOREVER TRIAL BY JURY.", "ner": [], "tokenized_text": ["5", ".", "22", "WAIVER", "OF", "JURY", "TRIAL", ".", "IN", "ANY", "ACTION", ",", "SUIT", ",", "OR", "PROCEEDING", "IN", "ANY", "JURISDICTION", "BROUGHT", "BY", "ANY", "PARTY", "AGAINST", "ANY", "OTHER", "PARTY", ",", "THE", "PARTIES", "EACH", "KNOWINGLY", "AND", "INTENTIONALLY", ",", "TO", "THE", "GREATEST", "EXTENT", "PERMITTED", "BY", "APPLICABLE", "LAW", ",", "HEREBY", "ABSOLUTELY", ",", "UNCONDITIONALLY", ",", "IRREVOCABLY", "AND", "EXPRESSLY", "WAIVES", "FOREVER", "TRIAL", "BY", "JURY", "."]}
{"id": "13343", "text": "Purchase Price, etc. ---|--- The aggregate purchase price for the Purchased Assets plus the assumption of the Assumed Liabilities shall be Ten Million Dollars ( $10,000,000 ) (\"Closing Consideration\"), as adjusted pursuant to Section 2.7 (the \"Purchase Price\"), payable as follows:", "ner": [[0, 1, "Price"], [33, 38, "Principal"]], "tokenized_text": ["Purchase", "Price", ",", "etc", ".", "-", "-", "-", "|", "-", "-", "-", "The", "aggregate", "purchase", "price", "for", "the", "Purchased", "Assets", "plus", "the", "assumption", "of", "the", "Assumed", "Liabilities", "shall", "be", "Ten", "Million", "Dollars", "(", "$", "10", ",", "000", ",", "000", ")", "(", "\"", "Closing", "Consideration", "\"", ")", ",", "as", "adjusted", "pursuant", "to", "Section", "2", ".", "7", "(", "the", "\"", "Purchase", "Price", "\"", ")", ",", "payable", "as", "follows", ":"]}
{"id": "13344", "text": "(d) Accounting Matters. The Financial Statements were prepared from, and are consistent with, the Seller Books and Records. The Seller Books and Records accurately and completely reflect the activities of Seller in reasonable detail. Seller has maintained a standard system of accounting, and has had in place internal controls that are adequate and appropriate for Seller.", "ner": [], "tokenized_text": ["(", "d", ")", "Accounting", "Matters", ".", "The", "Financial", "Statements", "were", "prepared", "from", ",", "and", "are", "consistent", "with", ",", "the", "Seller", "Books", "and", "Records", ".", "The", "Seller", "Books", "and", "Records", "accurately", "and", "completely", "reflect", "the", "activities", "of", "Seller", "in", "reasonable", "detail", ".", "Seller", "has", "maintained", "a", "standard", "system", "of", "accounting", ",", "and", "has", "had", "in", "place", "internal", "controls", "that", "are", "adequate", "and", "appropriate", "for", "Seller", "."]}
{"id": "13346", "text": "(e) Hausmann Trademark. Since January 1 , 2012, to the Knowledge of Seller, no Person has used the \"HAUSMANN\" Trademark for any business-related or commercial purpose except on set forth on Schedule 4.11(e).", "ner": [[3, 4, "Title"], [7, 10, "EffectiveDate"], [24, 24, "Title"]], "tokenized_text": ["(", "e", ")", "Hausmann", "Trademark", ".", "Since", "January", "1", ",", "2012", ",", "to", "the", "Knowledge", "of", "Seller", ",", "no", "Person", "has", "used", "the", "\"", "HAUSMANN", "\"", "Trademark", "for", "any", "business-related", "or", "commercial", "purpose", "except", "on", "set", "forth", "on", "Schedule", "4", ".", "11", "(", "e", ")", "."]}
{"id": "13348", "text": "(j) Environmental Matters. Notwithstanding Sections 4.7 and 4.8 of this Agreement, the representations regarding Environmental Laws, Environmental Orders, Environmental Permits and Environmental Proceedings contained in this Section 4.18 are the only representations made by Seller in this Agreement with regard to such Laws, Orders, Permits and Proceedings.", "ner": [[7, 14, "Regulation"]], "tokenized_text": ["(", "j", ")", "Environmental", "Matters", ".", "Notwithstanding", "Sections", "4", ".", "7", "and", "4", ".", "8", "of", "this", "Agreement", ",", "the", "representations", "regarding", "Environmental", "Laws", ",", "Environmental", "Orders", ",", "Environmental", "Permits", "and", "Environmental", "Proceedings", "contained", "in", "this", "Section", "4", ".", "18", "are", "the", "only", "representations", "made", "by", "Seller", "in", "this", "Agreement", "with", "regard", "to", "such", "Laws", ",", "Orders", ",", "Permits", "and", "Proceedings", "."]}
{"id": "13349", "text": "(c) Execution, Delivery and Enforceability. Buyer has duly executed and delivered this Agreement and each Signing Date Transaction Agreement to which it is a party, and on the Closing Date will have duly executed and delivered each Closing Date Transaction Agreement to which it is a party, and each of this Agreement and each such Signing Date Transaction Agreement is, and each such Closing Date Transaction Agreement will be, when so executed and delivered, a valid and legally binding obligation of Buyer, enforceable against Buyer in accordance with its terms, except to the extent that enforceability may be limited by applicable bankruptcy, insolvency, or similar Laws affecting the enforcement of creditors' rights generally and subject to general principles of equity (regardless of whether such enforcement is considered in a proceeding in law or at equity).", "ner": [[21, 22, "Title"]], "tokenized_text": ["(", "c", ")", "Execution", ",", "Delivery", "and", "Enforceability", ".", "Buyer", "has", "duly", "executed", "and", "delivered", "this", "Agreement", "and", "each", "Signing", "Date", "Transaction", "Agreement", "to", "which", "it", "is", "a", "party", ",", "and", "on", "the", "Closing", "Date", "will", "have", "duly", "executed", "and", "delivered", "each", "Closing", "Date", "Transaction", "Agreement", "to", "which", "it", "is", "a", "party", ",", "and", "each", "of", "this", "Agreement", "and", "each", "such", "Signing", "Date", "Transaction", "Agreement", "is", ",", "and", "each", "such", "Closing", "Date", "Transaction", "Agreement", "will", "be", ",", "when", "so", "executed", "and", "delivered", ",", "a", "valid", "and", "legally", "binding", "obligation", "of", "Buyer", ",", "enforceable", "against", "Buyer", "in", "accordance", "with", "its", "terms", ",", "except", "to", "the", "extent", "that", "enforceability", "may", "be", "limited", "by", "applicable", "bankruptcy", ",", "insolvency", ",", "or", "similar", "Laws", "affecting", "the", "enforcement", "of", "creditors", "'", "rights", "generally", "and", "subject", "to", "general", "principles", "of", "equity", "(", "regardless", "of", "whether", "such", "enforcement", "is", "considered", "in", "a", "proceeding", "in", "law", "or", "at", "equity", ")", "."]}
{"id": "13351", "text": "Limited Trademark License ---|--- Buyer hereby conveys and grants to Seller a worldwide right, license and privilege to use the name \" Hausmann Industries, Inc .\" following the Closing Date for a period ending December 31, 2021 in connection with Seller's ownership of the Facility.", "ner": [[29, 33, "Parties"], [43, 46, "TerminationDate"]], "tokenized_text": ["Limited", "Trademark", "License", "-", "-", "-", "|", "-", "-", "-", "Buyer", "hereby", "conveys", "and", "grants", "to", "Seller", "a", "worldwide", "right", ",", "license", "and", "privilege", "to", "use", "the", "name", "\"", "Hausmann", "Industries", ",", "Inc", ".", "\"", "following", "the", "Closing", "Date", "for", "a", "period", "ending", "December", "31", ",", "2021", "in", "connection", "with", "Seller", "'", "s", "ownership", "of", "the", "Facility", "."]}
{"id": "13352", "text": "(g) COBRA. Buyer acknowledges that the Seller does not intend to continue its group health plan following the Closing. Accordingly, Buyer agrees that it shall be treated as a \"successor employer\" (as defined in Treas. Reg. 54.4980B-9, Q &amp;A-8(c)(1)) to the Seller with respect to the Seller's obligations to provide and/or offer continued health coverage in accordance with Sections 601 et seq. of ERISA and Section 4980B of the Code (hereinafter referred to as \"COBRA Coverage\") to \"M&amp;A Qualified Beneficiaries\" (as defined in Treas. Reg. 54.4980B-9, Q &amp;A-4(a) and (b)) who have timely elected COBRA Coverage or are eligible to elect COBRA Coverage as a result of a \"qualifying event\" (as defined under Section 603 of ERISA) occurring on or prior to the Closing.(\"Specified COBRA Coverage Liabilities\").", "ner": [[3, 3, "Act"], [42, 48, "Regulation"], [104, 104, "Act"], [147, 147, "Act"], [154, 154, "Act"], [185, 185, "Act"]], "tokenized_text": ["(", "g", ")", "COBRA", ".", "Buyer", "acknowledges", "that", "the", "Seller", "does", "not", "intend", "to", "continue", "its", "group", "health", "plan", "following", "the", "Closing", ".", "Accordingly", ",", "Buyer", "agrees", "that", "it", "shall", "be", "treated", "as", "a", "\"", "successor", "employer", "\"", "(", "as", "defined", "in", "Treas", ".", "Reg", ".", "54", ".", "4980B-9", ",", "Q", "&", "amp", ";", "A-8", "(", "c", ")", "(", "1", ")", ")", "to", "the", "Seller", "with", "respect", "to", "the", "Seller", "'", "s", "obligations", "to", "provide", "and", "/", "or", "offer", "continued", "health", "coverage", "in", "accordance", "with", "Sections", "601", "et", "seq", ".", "of", "ERISA", "and", "Section", "4980B", "of", "the", "Code", "(", "hereinafter", "referred", "to", "as", "\"", "COBRA", "Coverage", "\"", ")", "to", "\"", "M", "&", "amp", ";", "A", "Qualified", "Beneficiaries", "\"", "(", "as", "defined", "in", "Treas", ".", "Reg", ".", "54", ".", "4980B-9", ",", "Q", "&", "amp", ";", "A-4", "(", "a", ")", "and", "(", "b", ")", ")", "who", "have", "timely", "elected", "COBRA", "Coverage", "or", "are", "eligible", "to", "elect", "COBRA", "Coverage", "as", "a", "result", "of", "a", "\"", "qualifying", "event", "\"", "(", "as", "defined", "under", "Section", "603", "of", "ERISA", ")", "occurring", "on", "or", "prior", "to", "the", "Closing", ".", "(", "\"", "Specified", "COBRA", "Coverage", "Liabilities", "\"", ")", "."]}
{"id": "13355", "text": "Hausmann Industries, Inc .", "ner": [[0, 4, "Parties"]], "tokenized_text": ["Hausmann", "Industries", ",", "Inc", "."]}
{"id": "13358", "text": "GoodSmith Gregg &amp; Unruh LLP 150 S. Wacker Drive, Suite 3150 Chicago, IL 60606 Attention: Marilee Unruh and Steven Wayland ---|---|---", "ner": [[7, 18, "Address"], [24, 25, "Parties"]], "tokenized_text": ["GoodSmith", "Gregg", "&", "amp", ";", "Unruh", "LLP", "150", "S", ".", "Wacker", "Drive", ",", "Suite", "3150", "Chicago", ",", "IL", "60606", "Attention", ":", "Marilee", "Unruh", "and", "Steven", "Wayland", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "13359", "text": "(d) Choice of Law; Jurisdiction; Waiver of Jury Trial. This Agreement shall be construed, governed and interpreted in accordance with the Laws of the State of Delaware , without regard to conflicts of laws principles. Each Party irrevocably and unconditionally: (i) agrees and consents, with respect to any dispute arising out of or relating to this Agreement, to be subject to the exclusive jurisdiction of the Chancery Court in the State of Delaware ; (ii) waives any objection to such venue and (iii) waives trial by jury in any Proceeding relating to this Agreement or the transactions contemplated hereby.", "ner": [[30, 32, "Court"], [78, 79, "Court"]], "tokenized_text": ["(", "d", ")", "Choice", "of", "Law", ";", "Jurisdiction", ";", "Waiver", "of", "Jury", "Trial", ".", "This", "Agreement", "shall", "be", "construed", ",", "governed", "and", "interpreted", "in", "accordance", "with", "the", "Laws", "of", "the", "State", "of", "Delaware", ",", "without", "regard", "to", "conflicts", "of", "laws", "principles", ".", "Each", "Party", "irrevocably", "and", "unconditionally", ":", "(", "i", ")", "agrees", "and", "consents", ",", "with", "respect", "to", "any", "dispute", "arising", "out", "of", "or", "relating", "to", "this", "Agreement", ",", "to", "be", "subject", "to", "the", "exclusive", "jurisdiction", "of", "the", "Chancery", "Court", "in", "the", "State", "of", "Delaware", ";", "(", "ii", ")", "waives", "any", "objection", "to", "such", "venue", "and", "(", "iii", ")", "waives", "trial", "by", "jury", "in", "any", "Proceeding", "relating", "to", "this", "Agreement", "or", "the", "transactions", "contemplated", "hereby", "."]}
{"id": "13361", "text": "The Purchaser has agreed to purchase an aggregate of 13,333,333 warrants (or up to 15,133,333 warrants if the over-allotment option in connection with the Public Offering is exercised in full) (the Private Placement Warrants), each Private Placement Warrant entitling the holder to purchase one Share at an exercise price of $11.50 per Share.", "ner": [[9, 13, "Shares"], [19, 23, "Shares"], [63, 66, "Price"]], "tokenized_text": ["The", "Purchaser", "has", "agreed", "to", "purchase", "an", "aggregate", "of", "13", ",", "333", ",", "333", "warrants", "(", "or", "up", "to", "15", ",", "133", ",", "333", "warrants", "if", "the", "over-allotment", "option", "in", "connection", "with", "the", "Public", "Offering", "is", "exercised", "in", "full", ")", "(", "the", "Private", "Placement", "Warrants", ")", ",", "each", "Private", "Placement", "Warrant", "entitling", "the", "holder", "to", "purchase", "one", "Share", "at", "an", "exercise", "price", "of", "$", "11", ".", "50", "per", "Share", "."]}
{"id": "13362", "text": "aggregate purchase price of approximately $20,000,000 (the Purchase Price), which shall be paid by wire transfer of immediately available funds to the Company in accordance with the Companys wiring instructions. On the Initial Closing Date, upon the payment by the Purchaser of the Purchase Price by wire transfer of immediately available funds to the Company, the Company, at its option, shall deliver a certificate evidencing the Private Placement Warrants purchased on such date duly registered in the Purchasers name to the Purchaser, or effect such delivery in book-entry form. On the date that is one business day prior to each date of the consummation of the closing of the over-allotment option in connection with the Public Offering or on such earlier time and date as may be mutually agreed by the Purchaser and the Company (each such date, an Over-allotment Closing Date, and each Over- allotment Closing Date (if any) and the Initial Closing Date being sometimes referred to herein as a Closing Date), the Company shall issue and sell to the Purchaser, and the Purchaser shall purchase from the Company, up to an aggregate of 1,800,000 Private Placement Warrants at a price of $1.50 per warrant for an aggregate purchase price of up to $2,700,000 (if the over- allotment option in connection with the Public Offering is exercised in full) (the Over-allotment Purchase Price), which shall be paid by wire transfer of immediately available funds to the Company in accordance with the Companys wiring instructions. On the Over-allotment Closing Date, upon the payment by the Purchaser of the Over-allotment Purchase Price by wire transfer of immediately available funds to the Company, the Company shall, at its option, deliver a certificate evidencing the Private Placement Warrants purchased on such date duly registered in the Purchasers name to the Purchaser, or effect such delivery in book-entry form.", "ner": [[5, 10, "Principal"], [79, 81, "Title"], [211, 215, "Principal"], [223, 226, "Price"], [237, 242, "Principal"], [263, 265, "Price"]], "tokenized_text": ["aggregate", "purchase", "price", "of", "approximately", "$", "20", ",", "000", ",", "000", "(", "the", "Purchase", "Price", ")", ",", "which", "shall", "be", "paid", "by", "wire", "transfer", "of", "immediately", "available", "funds", "to", "the", "Company", "in", "accordance", "with", "the", "Companys", "wiring", "instructions", ".", "On", "the", "Initial", "Closing", "Date", ",", "upon", "the", "payment", "by", "the", "Purchaser", "of", "the", "Purchase", "Price", "by", "wire", "transfer", "of", "immediately", "available", "funds", "to", "the", "Company", ",", "the", "Company", ",", "at", "its", "option", ",", "shall", "deliver", "a", "certificate", "evidencing", "the", "Private", "Placement", "Warrants", "purchased", "on", "such", "date", "duly", "registered", "in", "the", "Purchasers", "name", "to", "the", "Purchaser", ",", "or", "effect", "such", "delivery", "in", "book-entry", "form", ".", "On", "the", "date", "that", "is", "one", "business", "day", "prior", "to", "each", "date", "of", "the", "consummation", "of", "the", "closing", "of", "the", "over-allotment", "option", "in", "connection", "with", "the", "Public", "Offering", "or", "on", "such", "earlier", "time", "and", "date", "as", "may", "be", "mutually", "agreed", "by", "the", "Purchaser", "and", "the", "Company", "(", "each", "such", "date", ",", "an", "Over-allotment", "Closing", "Date", ",", "and", "each", "Over", "-", "allotment", "Closing", "Date", "(", "if", "any", ")", "and", "the", "Initial", "Closing", "Date", "being", "sometimes", "referred", "to", "herein", "as", "a", "Closing", "Date", ")", ",", "the", "Company", "shall", "issue", "and", "sell", "to", "the", "Purchaser", ",", "and", "the", "Purchaser", "shall", "purchase", "from", "the", "Company", ",", "up", "to", "an", "aggregate", "of", "1", ",", "800", ",", "000", "Private", "Placement", "Warrants", "at", "a", "price", "of", "$", "1", ".", "50", "per", "warrant", "for", "an", "aggregate", "purchase", "price", "of", "up", "to", "$", "2", ",", "700", ",", "000", "(", "if", "the", "over", "-", "allotment", "option", "in", "connection", "with", "the", "Public", "Offering", "is", "exercised", "in", "full", ")", "(", "the", "Over-allotment", "Purchase", "Price", ")", ",", "which", "shall", "be", "paid", "by", "wire", "transfer", "of", "immediately", "available", "funds", "to", "the", "Company", "in", "accordance", "with", "the", "Companys", "wiring", "instructions", ".", "On", "the", "Over-allotment", "Closing", "Date", ",", "upon", "the", "payment", "by", "the", "Purchaser", "of", "the", "Over-allotment", "Purchase", "Price", "by", "wire", "transfer", "of", "immediately", "available", "funds", "to", "the", "Company", ",", "the", "Company", "shall", ",", "at", "its", "option", ",", "deliver", "a", "certificate", "evidencing", "the", "Private", "Placement", "Warrants", "purchased", "on", "such", "date", "duly", "registered", "in", "the", "Purchasers", "name", "to", "the", "Purchaser", ",", "or", "effect", "such", "delivery", "in", "book-entry", "form", "."]}
{"id": "13364", "text": "D. Warrant Agreement. The Company shall have entered into a Warrant Agreement with a warrant agent on terms satisfactory to the Purchaser.", "ner": [[2, 3, "Title"]], "tokenized_text": ["D", ".", "Warrant", "Agreement", ".", "The", "Company", "shall", "have", "entered", "into", "a", "Warrant", "Agreement", "with", "a", "warrant", "agent", "on", "terms", "satisfactory", "to", "the", "Purchaser", "."]}
{"id": "13365", "text": "The indebtedness and securities evidenced hereby are subordinated in accordance with and subject to the terms of that certain Subordination Agreement (as amended, restated, supplemented or modified from time to time, the Subordination Agreement), dated as of January 25, 2017 , by and among Jackson Investment Group, LLC <sup> , a Georgia limited liability company, (Subordinated Lender), Staffing 360 Solutions, Inc. , a Nevada corporation (Parent), certain of the Parents subsidiaries party thereto and MidCap Funding X Trust, in its capacity as agent (together with its affiliates and their respective successors and assigns, Senior Agent) for the Senior Lenders (as defined in the Subordination Agreement), and each holder and transferee of this instrument or agreement, by its acceptance hereof, irrevocably agrees to be bound by the provisions of the Subordination Agreement.", "ner": [[19, 20, "Title"], [43, 46, "EffectiveDate"], [51, 55, "Parties"], [71, 76, "Parties"], [93, 96, "Parties"]], "tokenized_text": ["The", "indebtedness", "and", "securities", "evidenced", "hereby", "are", "subordinated", "in", "accordance", "with", "and", "subject", "to", "the", "terms", "of", "that", "certain", "Subordination", "Agreement", "(", "as", "amended", ",", "restated", ",", "supplemented", "or", "modified", "from", "time", "to", "time", ",", "the", "Subordination", "Agreement", ")", ",", "dated", "as", "of", "January", "25", ",", "2017", ",", "by", "and", "among", "Jackson", "Investment", "Group", ",", "LLC", "<", "sup", ">", ",", "a", "Georgia", "limited", "liability", "company", ",", "(", "Subordinated", "Lender", ")", ",", "Staffing", "360", "Solutions", ",", "Inc", ".", ",", "a", "Nevada", "corporation", "(", "Parent", ")", ",", "certain", "of", "the", "Parents", "subsidiaries", "party", "thereto", "and", "MidCap", "Funding", "X", "Trust", ",", "in", "its", "capacity", "as", "agent", "(", "together", "with", "its", "affiliates", "and", "their", "respective", "successors", "and", "assigns", ",", "Senior", "Agent", ")", "for", "the", "Senior", "Lenders", "(", "as", "defined", "in", "the", "Subordination", "Agreement", ")", ",", "and", "each", "holder", "and", "transferee", "of", "this", "instrument", "or", "agreement", ",", "by", "its", "acceptance", "hereof", ",", "irrevocably", "agrees", "to", "be", "bound", "by", "the", "provisions", "of", "the", "Subordination", "Agreement", "."]}
{"id": "13366", "text": "NOTE AND WARRANT PURCHASE AGREEMENT", "ner": [[3, 4, "Title"]], "tokenized_text": ["NOTE", "AND", "WARRANT", "PURCHASE", "AGREEMENT"]}
{"id": "13367", "text": "Dated as of January 25, 2017", "ner": [[3, 6, "EffectiveDate"]], "tokenized_text": ["Dated", "as", "of", "January", "25", ",", "2017"]}
{"id": "13369", "text": "FARO RECRUITMENT AMERICA, INC.,&lt; br/&gt;", "ner": [[0, 5, "Parties"]], "tokenized_text": ["FARO", "RECRUITMENT", "AMERICA", ",", "INC", ".", ",", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "13370", "text": "Jackson Investment Group, LLC , as the Purchaser", "ner": [[0, 4, "Parties"]], "tokenized_text": ["Jackson", "Investment", "Group", ",", "LLC", ",", "as", "the", "Purchaser"]}
{"id": "13375", "text": "WHEREAS, the Purchaser has agreed to make such subordinated debt investment on the terms and subject to the conditions set forth herein, such investment to be evidenced by a Subordinated Secured Note in the principal amount of Seven Million Four Hundred Thousand Dollars ( $7,400,000 ) issued by the Company in addition to the Warrant issued by the Company as more fully described below.", "ner": [[46, 51, "Principal"]], "tokenized_text": ["WHEREAS", ",", "the", "Purchaser", "has", "agreed", "to", "make", "such", "subordinated", "debt", "investment", "on", "the", "terms", "and", "subject", "to", "the", "conditions", "set", "forth", "herein", ",", "such", "investment", "to", "be", "evidenced", "by", "a", "Subordinated", "Secured", "Note", "in", "the", "principal", "amount", "of", "Seven", "Million", "Four", "Hundred", "Thousand", "Dollars", "(", "$", "7", ",", "400", ",", "000", ")", "issued", "by", "the", "Company", "in", "addition", "to", "the", "Warrant", "issued", "by", "the", "Company", "as", "more", "fully", "described", "below", "."]}
{"id": "13378", "text": "Bankruptcy Code means The Bankruptcy Code of 1978, as amended and in effect from time to time ( 11 U.S.C. 101 et seq.). Section references to the Bankruptcy Code are to the Bankruptcy Code, as in effect at the date of this Agreement, and any subsequent provisions of the Bankruptcy Code, amendatory thereof, supplemental thereto or substituted therefor.", "ner": [[0, 1, "Act"], [4, 7, "Act"], [19, 26, "Regulation"]], "tokenized_text": ["Bankruptcy", "Code", "means", "The", "Bankruptcy", "Code", "of", "1978", ",", "as", "amended", "and", "in", "effect", "from", "time", "to", "time", "(", "11", "U", ".", "S", ".", "C", ".", "101", "et", "seq", ".", ")", ".", "Section", "references", "to", "the", "Bankruptcy", "Code", "are", "to", "the", "Bankruptcy", "Code", ",", "as", "in", "effect", "at", "the", "date", "of", "this", "Agreement", ",", "and", "any", "subsequent", "provisions", "of", "the", "Bankruptcy", "Code", ",", "amendatory", "thereof", ",", "supplemental", "thereto", "or", "substituted", "therefor", "."]}
{"id": "13379", "text": "meaning provided in Rule 13d-3 of the Securities and Exchange Commission under the Securities Exchange Act of 1934 .", "ner": [[3, 4, "Regulation"], [13, 17, "Act"]], "tokenized_text": ["meaning", "provided", "in", "Rule", "13d-3", "of", "the", "Securities", "and", "Exchange", "Commission", "under", "the", "Securities", "Exchange", "Act", "of", "1934", "."]}
{"id": "13381", "text": "ERISA shall mean the Employee Retirement Income Security Act of 1974 , as amended from time to time, and the regulations promulgated and rulings issued thereunder. Section references to ERISA are to ERISA as in effect at the date of this Agreement and any subsequent provisions of ERISA amendatory thereof, supplemental thereto or substituted therefor.", "ner": [[4, 10, "Act"]], "tokenized_text": ["ERISA", "shall", "mean", "the", "Employee", "Retirement", "Income", "Security", "Act", "of", "1974", ",", "as", "amended", "from", "time", "to", "time", ",", "and", "the", "regulations", "promulgated", "and", "rulings", "issued", "thereunder", ".", "Section", "references", "to", "ERISA", "are", "to", "ERISA", "as", "in", "effect", "at", "the", "date", "of", "this", "Agreement", "and", "any", "subsequent", "provisions", "of", "ERISA", "amendatory", "thereof", ",", "supplemental", "thereto", "or", "substituted", "therefor", "."]}
{"id": "13382", "text": "Purchaser means Jackson Investment Group, LLC , together with its successors and assigns and including, without limitation, any Transferee.", "ner": [[2, 6, "Parties"]], "tokenized_text": ["Purchaser", "means", "Jackson", "Investment", "Group", ",", "LLC", ",", "together", "with", "its", "successors", "and", "assigns", "and", "including", ",", "without", "limitation", ",", "any", "Transferee", "."]}
{"id": "13384", "text": "Securities Act shall mean the Securities Act of 1933 , as amended, or any similar successor federal statute and the rules and regulations thereunder, all as the same shall be in effect from time to time.", "ner": [[0, 1, "Act"], [5, 8, "Act"]], "tokenized_text": ["Securities", "Act", "shall", "mean", "the", "Securities", "Act", "of", "1933", ",", "as", "amended", ",", "or", "any", "similar", "successor", "federal", "statute", "and", "the", "rules", "and", "regulations", "thereunder", ",", "all", "as", "the", "same", "shall", "be", "in", "effect", "from", "time", "to", "time", "."]}
{"id": "13386", "text": "Section 2.1 Purchase and Sale of Subordinated Note and Warrant.The Company hereby agrees to sell to the Purchaser and, subject to the terms and conditions set forth herein and in reliance upon the representations and warranties of the Company contained herein, Purchaser agrees to purchase from the Company the Subordinated Note and the Warrant for an aggregate total purchase price of Seven Million Four Hundred Thousand Dollars ( $7,400,000 ) (the Purchase Price), subject to the conditions as provided below in this Section and to the satisfaction, on or prior to February 8, 2017 (or such later date as the parties hereto may mutually agree in writing), of each of the conditions precedent set forth in Section 5.2, to be paid in a single advance of Seven Million Four Hundred Thousand Dollars ( $7,400,000 ) (the Advance) on the Closing Date, as provided in the immediately succeeding sentence.Upon satisfaction of all conditions to Closing set forth in Section 5.2 on or prior to February 8, 2017 (or such later date as the parties hereto may mutually agree in writing), at the Closing the Purchaser shall pay the Advance to the Company by wire transfer pursuant to the instructions of the Company as set forth in the Pay Proceeds Letter. The purchase price consideration attributable to the Warrant shall be deemed fully paid and satisfied upon the funding of the Advance on the Closing Date. For the avoidance of doubt, if the conditions precedent set forth in Section 5.2 are not satisfied (or waived in writing by Purchaser in its sole discretion) on or prior to February 8, 2017 (or such later date as the parties hereto may mutually agree in writing), then Purchaser shall be under no obligation to purchase the Subordinated Note and Warrant and pay the Purchase Price and, in such case, Purchaser shall return to the Company the Subordinated Note and Warrant, which shall not be considered issued and outstanding unless and until the Closing has occurred (as evidenced by payment of the Advance to the Company as provided above in this Section 2.1 on the Closing Date).", "ner": [[8, 11, "Title"], [67, 72, "Principal"], [74, 79, "Principal"], [106, 109, "EffectiveDate"]], "tokenized_text": ["Section", "2", ".", "1", "Purchase", "and", "Sale", "of", "Subordinated", "Note", "and", "Warrant", ".", "The", "Company", "hereby", "agrees", "to", "sell", "to", "the", "Purchaser", "and", ",", "subject", "to", "the", "terms", "and", "conditions", "set", "forth", "herein", "and", "in", "reliance", "upon", "the", "representations", "and", "warranties", "of", "the", "Company", "contained", "herein", ",", "Purchaser", "agrees", "to", "purchase", "from", "the", "Company", "the", "Subordinated", "Note", "and", "the", "Warrant", "for", "an", "aggregate", "total", "purchase", "price", "of", "Seven", "Million", "Four", "Hundred", "Thousand", "Dollars", "(", "$", "7", ",", "400", ",", "000", ")", "(", "the", "Purchase", "Price", ")", ",", "subject", "to", "the", "conditions", "as", "provided", "below", "in", "this", "Section", "and", "to", "the", "satisfaction", ",", "on", "or", "prior", "to", "February", "8", ",", "2017", "(", "or", "such", "later", "date", "as", "the", "parties", "hereto", "may", "mutually", "agree", "in", "writing", ")", ",", "of", "each", "of", "the", "conditions", "precedent", "set", "forth", "in", "Section", "5", ".", "2", ",", "to", "be", "paid", "in", "a", "single", "advance", "of", "Seven", "Million", "Four", "Hundred", "Thousand", "Dollars", "(", "$", "7", ",", "400", ",", "000", ")", "(", "the", "Advance", ")", "on", "the", "Closing", "Date", ",", "as", "provided", "in", "the", "immediately", "succeeding", "sentence", ".", "Upon", "satisfaction", "of", "all", "conditions", "to", "Closing", "set", "forth", "in", "Section", "5", ".", "2", "on", "or", "prior", "to", "February", "8", ",", "2017", "(", "or", "such", "later", "date", "as", "the", "parties", "hereto", "may", "mutually", "agree", "in", "writing", ")", ",", "at", "the", "Closing", "the", "Purchaser", "shall", "pay", "the", "Advance", "to", "the", "Company", "by", "wire", "transfer", "pursuant", "to", "the", "instructions", "of", "the", "Company", "as", "set", "forth", "in", "the", "Pay", "Proceeds", "Letter", ".", "The", "purchase", "price", "consideration", "attributable", "to", "the", "Warrant", "shall", "be", "deemed", "fully", "paid", "and", "satisfied", "upon", "the", "funding", "of", "the", "Advance", "on", "the", "Closing", "Date", ".", "For", "the", "avoidance", "of", "doubt", ",", "if", "the", "conditions", "precedent", "set", "forth", "in", "Section", "5", ".", "2", "are", "not", "satisfied", "(", "or", "waived", "in", "writing", "by", "Purchaser", "in", "its", "sole", "discretion", ")", "on", "or", "prior", "to", "February", "8", ",", "2017", "(", "or", "such", "later", "date", "as", "the", "parties", "hereto", "may", "mutually", "agree", "in", "writing", ")", ",", "then", "Purchaser", "shall", "be", "under", "no", "obligation", "to", "purchase", "the", "Subordinated", "Note", "and", "Warrant", "and", "pay", "the", "Purchase", "Price", "and", ",", "in", "such", "case", ",", "Purchaser", "shall", "return", "to", "the", "Company", "the", "Subordinated", "Note", "and", "Warrant", ",", "which", "shall", "not", "be", "considered", "issued", "and", "outstanding", "unless", "and", "until", "the", "Closing", "has", "occurred", "(", "as", "evidenced", "by", "payment", "of", "the", "Advance", "to", "the", "Company", "as", "provided", "above", "in", "this", "Section", "2", ".", "1", "on", "the", "Closing", "Date", ")", "."]}
{"id": "13392", "text": "Section 6.11 Regulated Entities.No Obligor is an investment company or a company controlled by an investment company or a subsidiary of an investment company, all within the meaning of the Investment Company Act of 1940 .", "ner": [[35, 39, "Act"]], "tokenized_text": ["Section", "6", ".", "11", "Regulated", "Entities", ".", "No", "Obligor", "is", "an", "investment", "company", "or", "a", "company", "controlled", "by", "an", "investment", "company", "or", "a", "subsidiary", "of", "an", "investment", "company", ",", "all", "within", "the", "meaning", "of", "the", "Investment", "Company", "Act", "of", "1940", "."]}
{"id": "13394", "text": "(i) THE SECURITIES REPRESENTED BY THIS CERTIFICATE HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AND HAVE BEEN ACQUIRED FOR INVESTMENT AND NOT WITH A VIEW TO, OR IN CONNECTION WITH, THE SALE OR DISTRIBUTION THEREOF.NO SUCH SALE OR DISTRIBUTION MAY BE EFFECTED WITHOUT AN EFFECTIVE REGISTRATION STATEMENT RELATED THERETO OR AN OPINION OF COUNSEL IN A FORM SATISFACTORY TO THE COMPANY THAT SUCH REGISTRATION IS NOT REQUIRED UNDER THE SECURITIES ACT OF 1933.", "ner": [[15, 18, "Act"]], "tokenized_text": ["(", "i", ")", "THE", "SECURITIES", "REPRESENTED", "BY", "THIS", "CERTIFICATE", "HAVE", "NOT", "BEEN", "REGISTERED", "UNDER", "THE", "SECURITIES", "ACT", "OF", "1933", ",", "AND", "HAVE", "BEEN", "ACQUIRED", "FOR", "INVESTMENT", "AND", "NOT", "WITH", "A", "VIEW", "TO", ",", "OR", "IN", "CONNECTION", "WITH", ",", "THE", "SALE", "OR", "DISTRIBUTION", "THEREOF", ".", "NO", "SUCH", "SALE", "OR", "DISTRIBUTION", "MAY", "BE", "EFFECTED", "WITHOUT", "AN", "EFFECTIVE", "REGISTRATION", "STATEMENT", "RELATED", "THERETO", "OR", "AN", "OPINION", "OF", "COUNSEL", "IN", "A", "FORM", "SATISFACTORY", "TO", "THE", "COMPANY", "THAT", "SUCH", "REGISTRATION", "IS", "NOT", "REQUIRED", "UNDER", "THE", "SECURITIES", "ACT", "OF", "1933", "."]}
{"id": "13395", "text": "(f) Accredited Investor.The Purchaser is an accredited investor as defined in Rule 501(a) of Regulation D promulgated under the Securities Act.&lt; br/&gt;", "ner": [[15, 19, "Regulation"], [21, 22, "Regulation"], [26, 27, "Act"]], "tokenized_text": ["(", "f", ")", "Accredited", "Investor", ".", "The", "Purchaser", "is", "an", "accredited", "investor", "as", "defined", "in", "Rule", "501", "(", "a", ")", "of", "Regulation", "D", "promulgated", "under", "the", "Securities", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "13396", "text": "(b) Upon receipt of an affidavit of an authorized representative of the Purchaser as to the loss, theft, destruction or mutilation of the Subordinated Note or any other Transaction Document which is not of public record, and, in the case of any such mutilation, upon surrender and cancellation of such Subordinated Note or other applicable Transaction Document, Obligors will issue, in lieu thereof, a replacement Subordinated Note or other applicable Transaction Document, dated the date of such lost, stolen, destroyed or mutilated Subordinated Note or other Transaction Document in the same principal amount thereof and otherwise of like tenor.", "ner": [], "tokenized_text": ["(", "b", ")", "Upon", "receipt", "of", "an", "affidavit", "of", "an", "authorized", "representative", "of", "the", "Purchaser", "as", "to", "the", "loss", ",", "theft", ",", "destruction", "or", "mutilation", "of", "the", "Subordinated", "Note", "or", "any", "other", "Transaction", "Document", "which", "is", "not", "of", "public", "record", ",", "and", ",", "in", "the", "case", "of", "any", "such", "mutilation", ",", "upon", "surrender", "and", "cancellation", "of", "such", "Subordinated", "Note", "or", "other", "applicable", "Transaction", "Document", ",", "Obligors", "will", "issue", ",", "in", "lieu", "thereof", ",", "a", "replacement", "Subordinated", "Note", "or", "other", "applicable", "Transaction", "Document", ",", "dated", "the", "date", "of", "such", "lost", ",", "stolen", ",", "destroyed", "or", "mutilated", "Subordinated", "Note", "or", "other", "Transaction", "Document", "in", "the", "same", "principal", "amount", "thereof", "and", "otherwise", "of", "like", "tenor", "."]}
{"id": "13398", "text": "(a) Fixed Charge Coverage Ratio.Commencing with the Fiscal Month ending December 31, 2016 and until such time as all Obligations are paid, satisfied and discharged in full, the Obligors shall not, as of the end of any Fiscal Month, permit the Fixed Charge Coverage Ratio for the applicable Defined Period (as defined below) most recently ended on or prior to such date to be less than 1.0x. It is hereby agreed that the applicable measurement period (i) for the Fiscal Months ending December 2016, January 2017, February 2017, March 2017, April 2017 and May 2017, respectively, will be from the last day of the Fiscal Month ending in July 2016 through and including such Fiscal Month end date, and (ii) for each Fiscal Month ending on or after June 2017, will be the period of 12 consecutive Fiscal Months (T12M) ending on such Fiscal Month end date (each such measurement period herein referred to as a Defined Period).", "ner": [[14, 17, "TerminationDate"], [77, 79, "Ratio"], [104, 105, "Ratio"], [107, 108, "Ratio"], [110, 111, "Ratio"], [113, 114, "Ratio"], [130, 131, "TerminationDate"]], "tokenized_text": ["(", "a", ")", "Fixed", "Charge", "Coverage", "Ratio", ".", "Commencing", "with", "the", "Fiscal", "Month", "ending", "December", "31", ",", "2016", "and", "until", "such", "time", "as", "all", "Obligations", "are", "paid", ",", "satisfied", "and", "discharged", "in", "full", ",", "the", "Obligors", "shall", "not", ",", "as", "of", "the", "end", "of", "any", "Fiscal", "Month", ",", "permit", "the", "Fixed", "Charge", "Coverage", "Ratio", "for", "the", "applicable", "Defined", "Period", "(", "as", "defined", "below", ")", "most", "recently", "ended", "on", "or", "prior", "to", "such", "date", "to", "be", "less", "than", "1", ".", "0x", ".", "It", "is", "hereby", "agreed", "that", "the", "applicable", "measurement", "period", "(", "i", ")", "for", "the", "Fiscal", "Months", "ending", "December", "2016", ",", "January", "2017", ",", "February", "2017", ",", "March", "2017", ",", "April", "2017", "and", "May", "2017", ",", "respectively", ",", "will", "be", "from", "the", "last", "day", "of", "the", "Fiscal", "Month", "ending", "in", "July", "2016", "through", "and", "including", "such", "Fiscal", "Month", "end", "date", ",", "and", "(", "ii", ")", "for", "each", "Fiscal", "Month", "ending", "on", "or", "after", "June", "2017", ",", "will", "be", "the", "period", "of", "12", "consecutive", "Fiscal", "Months", "(", "T12M", ")", "ending", "on", "such", "Fiscal", "Month", "end", "date", "(", "each", "such", "measurement", "period", "herein", "referred", "to", "as", "a", "Defined", "Period", ")", "."]}
{"id": "13399", "text": "(c) Total Leverage Ratio.Commencing December 31, 12016 and until such time as all Obligations are paid, satisfied and discharged in full, the Obligors will not, as of the end of any Fiscal Month, permit the Total Leverage Ratio, calculated on a trailing T12M basis, to be greater than 5.6 to 1.00.&lt; br/&gt;", "ner": [[3, 5, "Ratio"], [8, 11, "TerminationDate"], [59, 66, "Ratio"]], "tokenized_text": ["(", "c", ")", "Total", "Leverage", "Ratio", ".", "Commencing", "December", "31", ",", "12016", "and", "until", "such", "time", "as", "all", "Obligations", "are", "paid", ",", "satisfied", "and", "discharged", "in", "full", ",", "the", "Obligors", "will", "not", ",", "as", "of", "the", "end", "of", "any", "Fiscal", "Month", ",", "permit", "the", "Total", "Leverage", "Ratio", ",", "calculated", "on", "a", "trailing", "T12M", "basis", ",", "to", "be", "greater", "than", "5", ".", "6", "to", "1", ".", "00", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "13400", "text": "Total Net Debt means an amount equal to the total aggregate principal amount of Debt of the Company and its Subsidiaries for borrowed money, including, without limitation, the principal amount of Obligations hereunder, the principal amount of Debt under the Existing Senior Secured Debt Documents, Debt for borrowed money of the type described under clauses (m) through (p) of the definition of Permitted Debt, capitalized leases and the outstanding balance of the Subordinated Debt, net of any cash and cash equivalents that are (a) owned by any Obligor, and (b) not subject to any Lien other than a Lien in favor of the MidCap Senior Agent or", "ner": [], "tokenized_text": ["Total", "Net", "Debt", "means", "an", "amount", "equal", "to", "the", "total", "aggregate", "principal", "amount", "of", "Debt", "of", "the", "Company", "and", "its", "Subsidiaries", "for", "borrowed", "money", ",", "including", ",", "without", "limitation", ",", "the", "principal", "amount", "of", "Obligations", "hereunder", ",", "the", "principal", "amount", "of", "Debt", "under", "the", "Existing", "Senior", "Secured", "Debt", "Documents", ",", "Debt", "for", "borrowed", "money", "of", "the", "type", "described", "under", "clauses", "(", "m", ")", "through", "(", "p", ")", "of", "the", "definition", "of", "Permitted", "Debt", ",", "capitalized", "leases", "and", "the", "outstanding", "balance", "of", "the", "Subordinated", "Debt", ",", "net", "of", "any", "cash", "and", "cash", "equivalents", "that", "are", "(", "a", ")", "owned", "by", "any", "Obligor", ",", "and", "(", "b", ")", "not", "subject", "to", "any", "Lien", "other", "than", "a", "Lien", "in", "favor", "of", "the", "MidCap", "Senior", "Agent", "or"]}
{"id": "13402", "text": "Telecopy No.: (619) 515-4146", "ner": [[4, 7, "PII_Ref"]], "tokenized_text": ["Telecopy", "No", ".", ":", "(", "619", ")", "515-4146"]}
{"id": "13404", "text": "Telephone Number: (404) 815-6444", "ner": [[3, 6, "PII_Ref"]], "tokenized_text": ["Telephone", "Number", ":", "(", "404", ")", "815-6444"]}
{"id": "13406", "text": "Section 10.6 Governing Law.THIS AGREEMENT AND THE OTHER NOTE DOCUMENTS SHALL (OTHER THAN THE MIDCAP INTERCREDITOR AGREEMENT) BE GOVERNED BY AND CONSTRUED IN ACCORDANCE WITH THE LAWS OF THE STATE OF NEW YORK (WITHOUT REGARD TO THE PRINCIPLES THEREOF REGARDING CONFLICTS OF LAWS).", "ner": [[19, 21, "Title"], [35, 38, "Court"]], "tokenized_text": ["Section", "10", ".", "6", "Governing", "Law", ".", "THIS", "AGREEMENT", "AND", "THE", "OTHER", "NOTE", "DOCUMENTS", "SHALL", "(", "OTHER", "THAN", "THE", "MIDCAP", "INTERCREDITOR", "AGREEMENT", ")", "BE", "GOVERNED", "BY", "AND", "CONSTRUED", "IN", "ACCORDANCE", "WITH", "THE", "LAWS", "OF", "THE", "STATE", "OF", "NEW", "YORK", "(", "WITHOUT", "REGARD", "TO", "THE", "PRINCIPLES", "THEREOF", "REGARDING", "CONFLICTS", "OF", "LAWS", ")", "."]}
{"id": "13409", "text": "SUBORDINATED NOTE AND WARRANT PURCHASE AGREEMENT ]", "ner": [[4, 5, "Title"]], "tokenized_text": ["SUBORDINATED", "NOTE", "AND", "WARRANT", "PURCHASE", "AGREEMENT", "]"]}
{"id": "13410", "text": "This SECURITIES PURCHASE AGREEMENT (the Agreement), dated as of January 5, 2017 , by and between COATES INTERNATIONAL, LTD. , a Delaware corporation, with headquarters located at 2100 Highway 34, Wall Township , New Jersey <sup> 07719 (the Company), and POWER UP LENDING GROUP LTD. , a Virginia corporation, with its address at 111 Great Neck Road, Suite 216, Great Neck, NY 11021 (the Buyer).", "ner": [[1, 3, "Title"], [12, 15, "EffectiveDate"], [20, 24, "Parties"], [53, 58, "Parties"]], "tokenized_text": ["This", "SECURITIES", "PURCHASE", "AGREEMENT", "(", "the", "Agreement", ")", ",", "dated", "as", "of", "January", "5", ",", "2017", ",", "by", "and", "between", "COATES", "INTERNATIONAL", ",", "LTD", ".", ",", "a", "Delaware", "corporation", ",", "with", "headquarters", "located", "at", "2100", "Highway", "34", ",", "Wall", "Township", ",", "New", "Jersey", "<", "sup", ">", "07719", "(", "the", "Company", ")", ",", "and", "POWER", "UP", "LENDING", "GROUP", "LTD", ".", ",", "a", "Virginia", "corporation", ",", "with", "its", "address", "at", "111", "Great", "Neck", "Road", ",", "Suite", "216", ",", "Great", "Neck", ",", "NY", "11021", "(", "the", "Buyer", ")", "."]}
{"id": "13412", "text": "a.Investment Purpose. As of the date hereof, the Buyer is purchasing the Note and the shares of Common Stock issuable upon conversion of or otherwise pursuant to the Note (including, without limitation, such additional shares of Common Stock, if any, as are issuable (i)on account of interest on the Note, (ii)as a result of the events described in Sections 1.3 and 1.4(g) of the Note or (iii)in payment of the Standard Liquidated Damages Amount (as defined in Section 2(f) below) pursuant to this Agreement, such shares of Common Stock being collectively referred to herein as the Conversion Shares and, collectively with the Note, the Securities) for its own account and not with a present view towards the public sale or distribution thereof, except pursuant to sales registered or exempted from registration under the 1933 Act; provided, however, that by making the representations herein, the Buyer does not agree to hold any of the Securities for any minimum or other specific term and reserves the right to dispose of the Securities at any time in accordance with or pursuant to a registration statement or an exemption under the 1933 Act.&lt; br/&gt;", "ner": [[169, 170, "Act"]], "tokenized_text": ["a", ".", "Investment", "Purpose", ".", "As", "of", "the", "date", "hereof", ",", "the", "Buyer", "is", "purchasing", "the", "Note", "and", "the", "shares", "of", "Common", "Stock", "issuable", "upon", "conversion", "of", "or", "otherwise", "pursuant", "to", "the", "Note", "(", "including", ",", "without", "limitation", ",", "such", "additional", "shares", "of", "Common", "Stock", ",", "if", "any", ",", "as", "are", "issuable", "(", "i", ")", "on", "account", "of", "interest", "on", "the", "Note", ",", "(", "ii", ")", "as", "a", "result", "of", "the", "events", "described", "in", "Sections", "1", ".", "3", "and", "1", ".", "4", "(", "g", ")", "of", "the", "Note", "or", "(", "iii", ")", "in", "payment", "of", "the", "Standard", "Liquidated", "Damages", "Amount", "(", "as", "defined", "in", "Section", "2", "(", "f", ")", "below", ")", "pursuant", "to", "this", "Agreement", ",", "such", "shares", "of", "Common", "Stock", "being", "collectively", "referred", "to", "herein", "as", "the", "Conversion", "Shares", "and", ",", "collectively", "with", "the", "Note", ",", "the", "Securities", ")", "for", "its", "own", "account", "and", "not", "with", "a", "present", "view", "towards", "the", "public", "sale", "or", "distribution", "thereof", ",", "except", "pursuant", "to", "sales", "registered", "or", "exempted", "from", "registration", "under", "the", "1933", "Act", ";", "provided", ",", "however", ",", "that", "by", "making", "the", "representations", "herein", ",", "the", "Buyer", "does", "not", "agree", "to", "hold", "any", "of", "the", "Securities", "for", "any", "minimum", "or", "other", "specific", "term", "and", "reserves", "the", "right", "to", "dispose", "of", "the", "Securities", "at", "any", "time", "in", "accordance", "with", "or", "pursuant", "to", "a", "registration", "statement", "or", "an", "exemption", "under", "the", "1933", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "13413", "text": "f.Transfer or Re-sale. The Buyer understands that (i) the sale or re-sale of the Securities has not been and is not being registered under the 1933 Act or any applicable state securities laws, and the Securities may not be transferred unless (a)the Securities are sold pursuant to an effective registration statement under the 1933 Act, ( b)the Buyer shall have delivered to the Company, at the cost of the Buyer, an opinion of counsel that shall be in form, substance and scope customary for opinions of counsel in comparable transactions to the effect that the Securities to be sold or transferred may be sold or transferred pursuant to an exemption from such registration, which opinion shall be accepted by the Company, (c)the Securities are sold or transferred to an affiliate (as defined in Rule 144 promulgated under the 1933 Act ( or a successor rule) (Rule 144)) of the Buyer who agrees to sell or otherwise transfer the Securities only in accordance with this Section 2(f) and who is an Accredited Investor, (d)the Securities are sold pursuant to Rule 144, or (e)the Securities are sold pursuant to Regulation S under the 1933 Act ( or a successor rule) (Regulation S), and the Buyer shall have delivered to the Company, at the cost of the Buyer, an opinion of counsel that shall be in form, substance and scope customary for opinions of counsel in corporate transactions, which opinion shall be accepted by the Company; (ii) any sale of such Securities made in reliance on Rule 144 may be made only in accordance with the terms of said Rule and further, if said Rule is not applicable, any re-sale of such Securities under circumstances in which the seller (or the person through whom the sale is made) may be deemed to be an underwriter (as that term is defined in the 1933 Act) may require compliance with some other exemption under the 1933 Act or the rules and regulations of the SEC thereunder; and (iii) neither the Company nor any other person is under any obligation to register such Securities under the 1933 Act or any state securities laws or to comply with the terms and conditions of any exemption thereunder (in each case). Notwithstanding the foregoing or anything else contained herein to the contrary, the Securities may be pledged as collateral in connection with a bona fide margin account or other lending arrangement.", "ner": [[30, 31, "Act"], [154, 155, "Regulation"], [223, 224, "Regulation"]], "tokenized_text": ["f", ".", "Transfer", "or", "Re-sale", ".", "The", "Buyer", "understands", "that", "(", "i", ")", "the", "sale", "or", "re-sale", "of", "the", "Securities", "has", "not", "been", "and", "is", "not", "being", "registered", "under", "the", "1933", "Act", "or", "any", "applicable", "state", "securities", "laws", ",", "and", "the", "Securities", "may", "not", "be", "transferred", "unless", "(", "a", ")", "the", "Securities", "are", "sold", "pursuant", "to", "an", "effective", "registration", "statement", "under", "the", "1933", "Act", ",", "(", "b", ")", "the", "Buyer", "shall", "have", "delivered", "to", "the", "Company", ",", "at", "the", "cost", "of", "the", "Buyer", ",", "an", "opinion", "of", "counsel", "that", "shall", "be", "in", "form", ",", "substance", "and", "scope", "customary", "for", "opinions", "of", "counsel", "in", "comparable", "transactions", "to", "the", "effect", "that", "the", "Securities", "to", "be", "sold", "or", "transferred", "may", "be", "sold", "or", "transferred", "pursuant", "to", "an", "exemption", "from", "such", "registration", ",", "which", "opinion", "shall", "be", "accepted", "by", "the", "Company", ",", "(", "c", ")", "the", "Securities", "are", "sold", "or", "transferred", "to", "an", "affiliate", "(", "as", "defined", "in", "Rule", "144", "promulgated", "under", "the", "1933", "Act", "(", "or", "a", "successor", "rule", ")", "(", "Rule", "144", ")", ")", "of", "the", "Buyer", "who", "agrees", "to", "sell", "or", "otherwise", "transfer", "the", "Securities", "only", "in", "accordance", "with", "this", "Section", "2", "(", "f", ")", "and", "who", "is", "an", "Accredited", "Investor", ",", "(", "d", ")", "the", "Securities", "are", "sold", "pursuant", "to", "Rule", "144", ",", "or", "(", "e", ")", "the", "Securities", "are", "sold", "pursuant", "to", "Regulation", "S", "under", "the", "1933", "Act", "(", "or", "a", "successor", "rule", ")", "(", "Regulation", "S", ")", ",", "and", "the", "Buyer", "shall", "have", "delivered", "to", "the", "Company", ",", "at", "the", "cost", "of", "the", "Buyer", ",", "an", "opinion", "of", "counsel", "that", "shall", "be", "in", "form", ",", "substance", "and", "scope", "customary", "for", "opinions", "of", "counsel", "in", "corporate", "transactions", ",", "which", "opinion", "shall", "be", "accepted", "by", "the", "Company", ";", "(", "ii", ")", "any", "sale", "of", "such", "Securities", "made", "in", "reliance", "on", "Rule", "144", "may", "be", "made", "only", "in", "accordance", "with", "the", "terms", "of", "said", "Rule", "and", "further", ",", "if", "said", "Rule", "is", "not", "applicable", ",", "any", "re-sale", "of", "such", "Securities", "under", "circumstances", "in", "which", "the", "seller", "(", "or", "the", "person", "through", "whom", "the", "sale", "is", "made", ")", "may", "be", "deemed", "to", "be", "an", "underwriter", "(", "as", "that", "term", "is", "defined", "in", "the", "1933", "Act", ")", "may", "require", "compliance", "with", "some", "other", "exemption", "under", "the", "1933", "Act", "or", "the", "rules", "and", "regulations", "of", "the", "SEC", "thereunder", ";", "and", "(", "iii", ")", "neither", "the", "Company", "nor", "any", "other", "person", "is", "under", "any", "obligation", "to", "register", "such", "Securities", "under", "the", "1933", "Act", "or", "any", "state", "securities", "laws", "or", "to", "comply", "with", "the", "terms", "and", "conditions", "of", "any", "exemption", "thereunder", "(", "in", "each", "case", ")", ".", "Notwithstanding", "the", "foregoing", "or", "anything", "else", "contained", "herein", "to", "the", "contrary", ",", "the", "Securities", "may", "be", "pledged", "as", "collateral", "in", "connection", "with", "a", "bona", "fide", "margin", "account", "or", "other", "lending", "arrangement", "."]}
{"id": "13415", "text": "n.Disclosure. All information relating to or concerning the Company or any of its Subsidiaries set forth in this Agreement and provided to the Buyer pursuant to Section 2(d) hereof and otherwise in connection with the transactions contemplated hereby is true and correct in all material respects and the Company has not omitted to state any material fact necessary in order to make the statements made herein or therein, in light of the circumstances under which they were made, not misleading. No event or circumstance has occurred or exists with respect to the Company or any of its Subsidiaries or its or their business, properties, prospects, operations or financial conditions, which, under applicable law, rule or regulation, requires public disclosure or announcement by the Company but which has not been so publicly announced or disclosed (assuming for this purpose that the Companys reports filed under the 1934 Act are being incorporated into an effective registration statement filed by the Company under the 1933 Act).&lt; br/&gt;", "ner": [[29, 33, "Regulation"], [162, 163, "Act"], [178, 179, "Act"]], "tokenized_text": ["n", ".", "Disclosure", ".", "All", "information", "relating", "to", "or", "concerning", "the", "Company", "or", "any", "of", "its", "Subsidiaries", "set", "forth", "in", "this", "Agreement", "and", "provided", "to", "the", "Buyer", "pursuant", "to", "Section", "2", "(", "d", ")", "hereof", "and", "otherwise", "in", "connection", "with", "the", "transactions", "contemplated", "hereby", "is", "true", "and", "correct", "in", "all", "material", "respects", "and", "the", "Company", "has", "not", "omitted", "to", "state", "any", "material", "fact", "necessary", "in", "order", "to", "make", "the", "statements", "made", "herein", "or", "therein", ",", "in", "light", "of", "the", "circumstances", "under", "which", "they", "were", "made", ",", "not", "misleading", ".", "No", "event", "or", "circumstance", "has", "occurred", "or", "exists", "with", "respect", "to", "the", "Company", "or", "any", "of", "its", "Subsidiaries", "or", "its", "or", "their", "business", ",", "properties", ",", "prospects", ",", "operations", "or", "financial", "conditions", ",", "which", ",", "under", "applicable", "law", ",", "rule", "or", "regulation", ",", "requires", "public", "disclosure", "or", "announcement", "by", "the", "Company", "but", "which", "has", "not", "been", "so", "publicly", "announced", "or", "disclosed", "(", "assuming", "for", "this", "purpose", "that", "the", "Companys", "reports", "filed", "under", "the", "1934", "Act", "are", "being", "incorporated", "into", "an", "effective", "registration", "statement", "filed", "by", "the", "Company", "under", "the", "1933", "Act", ")", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "13417", "text": "(i)There are, to the Companys knowledge, with respect to the Company or any of its Subsidiaries or any predecessor of the Company, no past or present violations of Environmental Laws (as defined below), releases of any material into the environment, actions, activities, circumstances, conditions, events, incidents, or contractual obligations which may give rise to any common law environmental liability or any liability under the Comprehensive Environmental Response, Compensation and Liability Act of 1980 Environmental Response , Compensation and Liability Act of 1980 or similar federal, state, local or foreign laws and neither the Company nor any of its Subsidiaries has received any notice with respect to any of the foregoing, nor is any action pending or, to the Companys knowledge, threatened in connection with any of the foregoing. The term Environmental Laws means all federal, state, local or foreign laws relating to pollution or protection of human health or the environment (including, without limitation, ambient air, surface water, groundwater, land surface or subsurface strata), including, without limitation, laws relating to emissions, discharges, releases or threatened releases of chemicals, pollutants contaminants, or toxic or hazardous substances or wastes (collectively, Hazardous Materials) into the environment, or otherwise relating to the manufacture, processing, distribution, use, treatment, storage, disposal, transport or handling of Hazardous Materials, as well as all authorizations, codes, decrees, demands or demand letters, injunctions, judgments, licenses, notices or notice letters, orders, permits, plans or regulations issued, entered, promulgated or approved thereunder.", "ner": [[34, 35, "Act"], [81, 89, "Act"]], "tokenized_text": ["(", "i", ")", "There", "are", ",", "to", "the", "Companys", "knowledge", ",", "with", "respect", "to", "the", "Company", "or", "any", "of", "its", "Subsidiaries", "or", "any", "predecessor", "of", "the", "Company", ",", "no", "past", "or", "present", "violations", "of", "Environmental", "Laws", "(", "as", "defined", "below", ")", ",", "releases", "of", "any", "material", "into", "the", "environment", ",", "actions", ",", "activities", ",", "circumstances", ",", "conditions", ",", "events", ",", "incidents", ",", "or", "contractual", "obligations", "which", "may", "give", "rise", "to", "any", "common", "law", "environmental", "liability", "or", "any", "liability", "under", "the", "Comprehensive", "Environmental", "Response", ",", "Compensation", "and", "Liability", "Act", "of", "1980", "Environmental", "Response", ",", "Compensation", "and", "Liability", "Act", "of", "1980", "or", "similar", "federal", ",", "state", ",", "local", "or", "foreign", "laws", "and", "neither", "the", "Company", "nor", "any", "of", "its", "Subsidiaries", "has", "received", "any", "notice", "with", "respect", "to", "any", "of", "the", "foregoing", ",", "nor", "is", "any", "action", "pending", "or", ",", "to", "the", "Companys", "knowledge", ",", "threatened", "in", "connection", "with", "any", "of", "the", "foregoing", ".", "The", "term", "Environmental", "Laws", "means", "all", "federal", ",", "state", ",", "local", "or", "foreign", "laws", "relating", "to", "pollution", "or", "protection", "of", "human", "health", "or", "the", "environment", "(", "including", ",", "without", "limitation", ",", "ambient", "air", ",", "surface", "water", ",", "groundwater", ",", "land", "surface", "or", "subsurface", "strata", ")", ",", "including", ",", "without", "limitation", ",", "laws", "relating", "to", "emissions", ",", "discharges", ",", "releases", "or", "threatened", "releases", "of", "chemicals", ",", "pollutants", "contaminants", ",", "or", "toxic", "or", "hazardous", "substances", "or", "wastes", "(", "collectively", ",", "Hazardous", "Materials", ")", "into", "the", "environment", ",", "or", "otherwise", "relating", "to", "the", "manufacture", ",", "processing", ",", "distribution", ",", "use", ",", "treatment", ",", "storage", ",", "disposal", ",", "transport", "or", "handling", "of", "Hazardous", "Materials", ",", "as", "well", "as", "all", "authorizations", ",", "codes", ",", "decrees", ",", "demands", "or", "demand", "letters", ",", "injunctions", ",", "judgments", ",", "licenses", ",", "notices", "or", "notice", "letters", ",", "orders", ",", "permits", ",", "plans", "or", "regulations", "issued", ",", "entered", ",", "promulgated", "or", "approved", "thereunder", "."]}
{"id": "13419", "text": "w.Foreign Corrupt Practices. Neither the Company, nor any of its Subsidiaries, nor any director, officer, agent, employee or other person acting on behalf of the Company or any Subsidiary has, in the course of his actions for, or on behalf of, the Company, used any corporate funds for any unlawful contribution, gift, entertainment or other unlawful expenses relating to political activity; made any direct or indirect unlawful payment to any foreign or domestic government official or employee from corporate funds; violated or is in violation of any provision of the U.S. Foreign Corrupt Practices Act of 1977 , as amended, or made any bribe, rebate, payoff, influence payment, kickback or other unlawful payment to any foreign or domestic government official or employee.", "ner": [[106, 115, "Act"]], "tokenized_text": ["w", ".", "Foreign", "Corrupt", "Practices", ".", "Neither", "the", "Company", ",", "nor", "any", "of", "its", "Subsidiaries", ",", "nor", "any", "director", ",", "officer", ",", "agent", ",", "employee", "or", "other", "person", "acting", "on", "behalf", "of", "the", "Company", "or", "any", "Subsidiary", "has", ",", "in", "the", "course", "of", "his", "actions", "for", ",", "or", "on", "behalf", "of", ",", "the", "Company", ",", "used", "any", "corporate", "funds", "for", "any", "unlawful", "contribution", ",", "gift", ",", "entertainment", "or", "other", "unlawful", "expenses", "relating", "to", "political", "activity", ";", "made", "any", "direct", "or", "indirect", "unlawful", "payment", "to", "any", "foreign", "or", "domestic", "government", "official", "or", "employee", "from", "corporate", "funds", ";", "violated", "or", "is", "in", "violation", "of", "any", "provision", "of", "the", "U", ".", "S", ".", "Foreign", "Corrupt", "Practices", "Act", "of", "1977", ",", "as", "amended", ",", "or", "made", "any", "bribe", ",", "rebate", ",", "payoff", ",", "influence", "payment", ",", "kickback", "or", "other", "unlawful", "payment", "to", "any", "foreign", "or", "domestic", "government", "official", "or", "employee", "."]}
{"id": "13422", "text": "l.Failure to Comply with the 1934 Act. So long as the Buyer beneficially owns the Note, the Company shall comply with the reporting requirements of the 1934 Act; and the Company shall continue to be subject to the reporting requirements of the 1934 Act.&lt; br/&gt;", "ner": [[7, 8, "Act"]], "tokenized_text": ["l", ".", "Failure", "to", "Comply", "with", "the", "1934", "Act", ".", "So", "long", "as", "the", "Buyer", "beneficially", "owns", "the", "Note", ",", "the", "Company", "shall", "comply", "with", "the", "reporting", "requirements", "of", "the", "1934", "Act", ";", "and", "the", "Company", "shall", "continue", "to", "be", "subject", "to", "the", "reporting", "requirements", "of", "the", "1934", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "13427", "text": "111 Great Neck Road, Suite 216", "ner": [[0, 6, "Address"]], "tokenized_text": ["111", "Great", "Neck", "Road", ",", "Suite", "216"]}
{"id": "13428", "text": "Great Neck, NY 11021", "ner": [[0, 4, "Address"]], "tokenized_text": ["Great", "Neck", ",", "NY", "11021"]}
{"id": "13429", "text": "111 Great Neck Road, Suite 214", "ner": [[0, 6, "Address"]], "tokenized_text": ["111", "Great", "Neck", "Road", ",", "Suite", "214"]}
{"id": "13430", "text": "COATES INTERNATIONAL, LTD. | ---|--- | | By: | /s/ Barry C. Kaye | | Barry C. Kaye | | Chief Financial Officer |", "ner": [[0, 4, "Parties"], [21, 24, "Parties"], [33, 35, "Role"]], "tokenized_text": ["COATES", "INTERNATIONAL", ",", "LTD", ".", "|", "-", "-", "-", "|", "-", "-", "-", "|", "|", "By", ":", "|", "/", "s", "/", "Barry", "C", ".", "Kaye", "|", "|", "Barry", "C", ".", "Kaye", "|", "|", "Chief", "Financial", "Officer", "|"]}
{"id": "13431", "text": "POWER UP LENDING GROUP LTD. | ---|--- | | By: | /s/ Curt Kramer | Name: | Curt Krameri | Title: | Chief Executive Officer | | 111 Great Neck Road, Suite 216 | | Great Neck, NY11021 |", "ner": [[0, 5, "Parties"], [22, 23, "Parties"], [34, 36, "Role"], [39, 45, "Address"], [48, 51, "Address"]], "tokenized_text": ["POWER", "UP", "LENDING", "GROUP", "LTD", ".", "|", "-", "-", "-", "|", "-", "-", "-", "|", "|", "By", ":", "|", "/", "s", "/", "Curt", "Kramer", "|", "Name", ":", "|", "Curt", "Krameri", "|", "Title", ":", "|", "Chief", "Executive", "Officer", "|", "|", "111", "Great", "Neck", "Road", ",", "Suite", "216", "|", "|", "Great", "Neck", ",", "NY11021", "|"]}
{"id": "13432", "text": "This Securities Purchase Agreement (this Agreement), effective as of February 14, 2017 , is made and entered into by and between Vantage Energy Acquisition Corp. , a Delaware corporation (the Company), and NGP Vantage Energy LLC , a Delaware limited liability company (the Buyer).", "ner": [[1, 3, "Title"], [12, 15, "EffectiveDate"], [25, 29, "Parties"], [40, 43, "Parties"]], "tokenized_text": ["This", "Securities", "Purchase", "Agreement", "(", "this", "Agreement", ")", ",", "effective", "as", "of", "February", "14", ",", "2017", ",", "is", "made", "and", "entered", "into", "by", "and", "between", "Vantage", "Energy", "Acquisition", "Corp", ".", ",", "a", "Delaware", "corporation", "(", "the", "Company", ")", ",", "and", "NGP", "Vantage", "Energy", "LLC", ",", "a", "Delaware", "limited", "liability", "company", "(", "the", "Buyer", ")", "."]}
{"id": "13434", "text": "Class A Common Stock shall mean the Class A Common Stock , $0.0001 par value per share, of the Company.", "ner": [[12, 15, "Price"]], "tokenized_text": ["Class", "A", "Common", "Stock", "shall", "mean", "the", "Class", "A", "Common", "Stock", ",", "$", "0", ".", "0001", "par", "value", "per", "share", ",", "of", "the", "Company", "."]}
{"id": "13439", "text": "Section 4.1 Organization and Good Standing. The Company is a corporation duly organized, validly existing, and in good standing under the laws of the State of Delaware .", "ner": [[29, 31, "Court"]], "tokenized_text": ["Section", "4", ".", "1", "Organization", "and", "Good", "Standing", ".", "The", "Company", "is", "a", "corporation", "duly", "organized", ",", "validly", "existing", ",", "and", "in", "good", "standing", "under", "the", "laws", "of", "the", "State", "of", "Delaware", "."]}
{"id": "13440", "text": "Section 5.7 Governing Law. This Agreement, the entire relationship of the parties hereto, and any litigation between the parties (whether grounded in contract, tort, statute, law or equity) shall be governed by, construed in accordance with, and interpreted pursuant to the laws of the State of Delaware , without giving effect to its choice of laws principles.", "ner": [[56, 58, "Court"]], "tokenized_text": ["Section", "5", ".", "7", "Governing", "Law", ".", "This", "Agreement", ",", "the", "entire", "relationship", "of", "the", "parties", "hereto", ",", "and", "any", "litigation", "between", "the", "parties", "(", "whether", "grounded", "in", "contract", ",", "tort", ",", "statute", ",", "law", "or", "equity", ")", "shall", "be", "governed", "by", ",", "construed", "in", "accordance", "with", ",", "and", "interpreted", "pursuant", "to", "the", "laws", "of", "the", "State", "of", "Delaware", ",", "without", "giving", "effect", "to", "its", "choice", "of", "laws", "principles", "."]}
{"id": "13442", "text": "This Asset Purchase Agreement (this Agreement) is entered into as of March 23, 2017 (the Effective Date), by and between Marley Beverage Company, LLC , a Michigan limited liability company (MBC or Seller), and New Age Beverages Corporation , a Washington corporation (NBEV or Buyer), (Buyer together with Seller constitute the Parties and each individually a Party).", "ner": [[1, 3, "Title"], [13, 16, "EffectiveDate"], [26, 30, "Parties"], [44, 47, "Parties"]], "tokenized_text": ["This", "Asset", "Purchase", "Agreement", "(", "this", "Agreement", ")", "is", "entered", "into", "as", "of", "March", "23", ",", "2017", "(", "the", "Effective", "Date", ")", ",", "by", "and", "between", "Marley", "Beverage", "Company", ",", "LLC", ",", "a", "Michigan", "limited", "liability", "company", "(", "MBC", "or", "Seller", ")", ",", "and", "New", "Age", "Beverages", "Corporation", ",", "a", "Washington", "corporation", "(", "NBEV", "or", "Buyer", ")", ",", "(", "Buyer", "together", "with", "Seller", "constitute", "the", "Parties", "and", "each", "individually", "a", "Party", ")", "."]}
{"id": "13445", "text": "(a) Sellers Deliveries to Buyer. At the Closing, Seller will duly execute, if applicable, and deliver to Buyer:", "ner": [], "tokenized_text": ["(", "a", ")", "Sellers", "Deliveries", "to", "Buyer", ".", "At", "the", "Closing", ",", "Seller", "will", "duly", "execute", ",", "if", "applicable", ",", "and", "deliver", "to", "Buyer", ":"]}
{"id": "13446", "text": "SECTION 4.17 Brokers Fees. Other than Green Circle Capital Partners LLC, LPE Securities, LLC, and their respective Affiliates, no broker, finder, investment banker or other Person is entitled to any brokerage fee, finders fee or other commission or payment in connection with the transactions contemplated by this Agreement based on arrangements made by Seller or any of its Affiliates.", "ner": [[9, 13, "Parties"], [15, 18, "Parties"]], "tokenized_text": ["SECTION", "4", ".", "17", "Brokers", "Fees", ".", "Other", "than", "Green", "Circle", "Capital", "Partners", "LLC", ",", "LPE", "Securities", ",", "LLC", ",", "and", "their", "respective", "Affiliates", ",", "no", "broker", ",", "finder", ",", "investment", "banker", "or", "other", "Person", "is", "entitled", "to", "any", "brokerage", "fee", ",", "finders", "fee", "or", "other", "commission", "or", "payment", "in", "connection", "with", "the", "transactions", "contemplated", "by", "this", "Agreement", "based", "on", "arrangements", "made", "by", "Seller", "or", "any", "of", "its", "Affiliates", "."]}
{"id": "13447", "text": "SECTION 4.19 Accredited Investor. Except as disclosed by Seller to Buyer before Closing, Seller and each of its designees to whom the NBEV Shares will be issued at Closing (i) is an accredited investor as defined in Regulation D promulgated under the Securities Act and (ii) is acquiring the NBEV Shares to be issued at Closing without a view to, or for sale in connection with, a public distribution in violation of the federal securities laws; provided however, that Seller and each such other Person to whom NBEV Shares are issued reserves the right to resell or otherwise dispose of all or any of such NBEV Shares pursuant to a registration statement or exemption under the Securities Act and any state law or regulations. Seller acknowledges that the NBEV Shares to be issued pursuant to this Agreement have not been registered under the Securities Act or any state securities laws, and may not be sold, offered for sale, pledged, hypothecated or otherwise transferred in the absence of an effective registration statement under the Securities Act, or until the holder thereof provides evidence satisfactory to Buyer (which, in the discretion of Buyer, may include an opinion of counsel acceptable to Buyer) that such registration is not required and that the proposed transfer may be made without violation of the Securities Act.&lt; br/&gt;", "ner": [[26, 27, "Shares"], [43, 44, "Regulation"], [48, 49, "Act"]], "tokenized_text": ["SECTION", "4", ".", "19", "Accredited", "Investor", ".", "Except", "as", "disclosed", "by", "Seller", "to", "Buyer", "before", "Closing", ",", "Seller", "and", "each", "of", "its", "designees", "to", "whom", "the", "NBEV", "Shares", "will", "be", "issued", "at", "Closing", "(", "i", ")", "is", "an", "accredited", "investor", "as", "defined", "in", "Regulation", "D", "promulgated", "under", "the", "Securities", "Act", "and", "(", "ii", ")", "is", "acquiring", "the", "NBEV", "Shares", "to", "be", "issued", "at", "Closing", "without", "a", "view", "to", ",", "or", "for", "sale", "in", "connection", "with", ",", "a", "public", "distribution", "in", "violation", "of", "the", "federal", "securities", "laws", ";", "provided", "however", ",", "that", "Seller", "and", "each", "such", "other", "Person", "to", "whom", "NBEV", "Shares", "are", "issued", "reserves", "the", "right", "to", "resell", "or", "otherwise", "dispose", "of", "all", "or", "any", "of", "such", "NBEV", "Shares", "pursuant", "to", "a", "registration", "statement", "or", "exemption", "under", "the", "Securities", "Act", "and", "any", "state", "law", "or", "regulations", ".", "Seller", "acknowledges", "that", "the", "NBEV", "Shares", "to", "be", "issued", "pursuant", "to", "this", "Agreement", "have", "not", "been", "registered", "under", "the", "Securities", "Act", "or", "any", "state", "securities", "laws", ",", "and", "may", "not", "be", "sold", ",", "offered", "for", "sale", ",", "pledged", ",", "hypothecated", "or", "otherwise", "transferred", "in", "the", "absence", "of", "an", "effective", "registration", "statement", "under", "the", "Securities", "Act", ",", "or", "until", "the", "holder", "thereof", "provides", "evidence", "satisfactory", "to", "Buyer", "(", "which", ",", "in", "the", "discretion", "of", "Buyer", ",", "may", "include", "an", "opinion", "of", "counsel", "acceptable", "to", "Buyer", ")", "that", "such", "registration", "is", "not", "required", "and", "that", "the", "proposed", "transfer", "may", "be", "made", "without", "violation", "of", "the", "Securities", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "13448", "text": "SECTION 5.8 Brokers Fees. No broker , finder, investment banker or other Person is entitled to any brokerage fee, finders fee or other commission or payment in connection with the transactions contemplated by this Agreement based on arrangements made by Buyer or any of its Affiliates.", "ner": [], "tokenized_text": ["SECTION", "5", ".", "8", "Brokers", "Fees", ".", "No", "broker", ",", "finder", ",", "investment", "banker", "or", "other", "Person", "is", "entitled", "to", "any", "brokerage", "fee", ",", "finders", "fee", "or", "other", "commission", "or", "payment", "in", "connection", "with", "the", "transactions", "contemplated", "by", "this", "Agreement", "based", "on", "arrangements", "made", "by", "Buyer", "or", "any", "of", "its", "Affiliates", "."]}
{"id": "13450", "text": "(b) Compliance. Buyer is in material compliance with the provisions of the Sarbanes-Oxley Act applicable to it, and has implemented or will implement such programs and taken reasonable steps to ensure Buyers future compliance (not later than the relevant statutory and regulatory deadlines therefor) with all of the material provisions of the Sarbanes- Oxley Act.&lt; br/&gt;", "ner": [[15, 16, "Act"], [58, 61, "Act"]], "tokenized_text": ["(", "b", ")", "Compliance", ".", "Buyer", "is", "in", "material", "compliance", "with", "the", "provisions", "of", "the", "Sarbanes-Oxley", "Act", "applicable", "to", "it", ",", "and", "has", "implemented", "or", "will", "implement", "such", "programs", "and", "taken", "reasonable", "steps", "to", "ensure", "Buyers", "future", "compliance", "(", "not", "later", "than", "the", "relevant", "statutory", "and", "regulatory", "deadlines", "therefor", ")", "with", "all", "of", "the", "material", "provisions", "of", "the", "Sarbanes", "-", "Oxley", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "13451", "text": "SECTION 6.10 Transfer Taxes. All transfer , sales, use, stamp, recording, registration documentary, property, or similar Taxes and fees (including any penalties and interest) applicable to, imposed upon or arising out of the transfer of the Purchased Shares or any other transaction contemplated by this Agreement shall be paid by Buyer.", "ner": [], "tokenized_text": ["SECTION", "6", ".", "10", "Transfer", "Taxes", ".", "All", "transfer", ",", "sales", ",", "use", ",", "stamp", ",", "recording", ",", "registration", "documentary", ",", "property", ",", "or", "similar", "Taxes", "and", "fees", "(", "including", "any", "penalties", "and", "interest", ")", "applicable", "to", ",", "imposed", "upon", "or", "arising", "out", "of", "the", "transfer", "of", "the", "Purchased", "Shares", "or", "any", "other", "transaction", "contemplated", "by", "this", "Agreement", "shall", "be", "paid", "by", "Buyer", "."]}
{"id": "13453", "text": "| (a) | If to Buyer, addressed to: | ---|---|---|--- | | | | | New Age Beverages Corporation | | | Attn: Brent Willis | | | 1700 68th Avenue | | | Denver, CO 90503 | | | Phone: (303) 289-8655 | | | E-mail: bwillis@newagebev.us | | | | | | with a copy to (which will not constitute notice): | | | | | | Bart and Associates, LLC | | | Attn: Ken Bart | | | 8400 East Prentice Avenue | | | Suite 1500 | | | Greenwood Village, CO 80111 | | | Telephone: (720)-226-7511 | | | E-mail: Kbart@kennethbartesq.com |", "ner": [[33, 36, "Parties"], [47, 49, "Address"], [53, 56, "Address"], [62, 65, "PII_Ref"], [71, 75, "PII_Ref"], [100, 104, "Parties"], [115, 118, "Address"], [122, 123, "Address"], [127, 131, "Address"], [137, 141, "PII_Ref"], [147, 151, "PII_Ref"]], "tokenized_text": ["|", "(", "a", ")", "|", "If", "to", "Buyer", ",", "addressed", "to", ":", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "|", "|", "|", "|", "New", "Age", "Beverages", "Corporation", "|", "|", "|", "Attn", ":", "Brent", "Willis", "|", "|", "|", "1700", "68th", "Avenue", "|", "|", "|", "Denver", ",", "CO", "90503", "|", "|", "|", "Phone", ":", "(", "303", ")", "289-8655", "|", "|", "|", "E-mail", ":", "bwillis", "@", "newagebev", ".", "us", "|", "|", "|", "|", "|", "|", "with", "a", "copy", "to", "(", "which", "will", "not", "constitute", "notice", ")", ":", "|", "|", "|", "|", "|", "|", "Bart", "and", "Associates", ",", "LLC", "|", "|", "|", "Attn", ":", "Ken", "Bart", "|", "|", "|", "8400", "East", "Prentice", "Avenue", "|", "|", "|", "Suite", "1500", "|", "|", "|", "Greenwood", "Village", ",", "CO", "80111", "|", "|", "|", "Telephone", ":", "(", "720", ")", "-", "226-7511", "|", "|", "|", "E-mail", ":", "Kbart", "@", "kennethbartesq", ".", "com", "|"]}
{"id": "13454", "text": "| (b) | If to Seller, addressed to: | ---|---|---|--- | | | | | Marley Beverage Company, LLC | | | Attn: Daniel Epstein | | | 27777 Franklin Road | | | Suite 1640 | | | Southfield, MI 48034 | | | Phone: (248) 802-8905 | | | E-mail: depstein@vivabeverages.com | | | | | | with a copy to (which shall constitute notice): | | | | | | Jaffe Raitt Heuer &amp; Weiss, P.C . | | | Attn: Matthew Murphy | | | 27777 Franklin Road | | | Suite 2500 | | | Southfield, MI 48034 | | | Telephone: (248) 727-1433 | | | E-mail: mmurphy@jaffelaw.com |", "ner": [[33, 37, "Parties"], [48, 50, "Address"], [54, 55, "Address"], [59, 62, "Address"], [68, 71, "PII_Ref"], [77, 81, "PII_Ref"], [105, 116, "Parties"], [133, 134, "Address"], [147, 150, "PII_Ref"], [156, 160, "PII_Ref"]], "tokenized_text": ["|", "(", "b", ")", "|", "If", "to", "Seller", ",", "addressed", "to", ":", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "|", "|", "|", "|", "Marley", "Beverage", "Company", ",", "LLC", "|", "|", "|", "Attn", ":", "Daniel", "Epstein", "|", "|", "|", "27777", "Franklin", "Road", "|", "|", "|", "Suite", "1640", "|", "|", "|", "Southfield", ",", "MI", "48034", "|", "|", "|", "Phone", ":", "(", "248", ")", "802-8905", "|", "|", "|", "E-mail", ":", "depstein", "@", "vivabeverages", ".", "com", "|", "|", "|", "|", "|", "|", "with", "a", "copy", "to", "(", "which", "shall", "constitute", "notice", ")", ":", "|", "|", "|", "|", "|", "|", "Jaffe", "Raitt", "Heuer", "&", "amp", ";", "Weiss", ",", "P", ".", "C", ".", "|", "|", "|", "Attn", ":", "Matthew", "Murphy", "|", "|", "|", "27777", "Franklin", "Road", "|", "|", "|", "Suite", "2500", "|", "|", "|", "Southfield", ",", "MI", "48034", "|", "|", "|", "Telephone", ":", "(", "248", ")", "727-1433", "|", "|", "|", "E-mail", ":", "mmurphy", "@", "jaffelaw", ".", "com", "|"]}
{"id": "13458", "text": "Sarbanes-Oxley Act means Sarbanes- Oxley Act of 2002 , as amended, and all rules and regulations promulgated thereunder.", "ner": [[0, 1, "Act"], [3, 8, "Act"]], "tokenized_text": ["Sarbanes-Oxley", "Act", "means", "Sarbanes", "-", "Oxley", "Act", "of", "2002", ",", "as", "amended", ",", "and", "all", "rules", "and", "regulations", "promulgated", "thereunder", "."]}
{"id": "13459", "text": "SEC Filings means all reports and filings made by Buyer under the Securities Act and the Exchange Act.&lt; br/&gt;", "ner": [[12, 13, "Act"], [16, 17, "Act"]], "tokenized_text": ["SEC", "Filings", "means", "all", "reports", "and", "filings", "made", "by", "Buyer", "under", "the", "Securities", "Act", "and", "the", "Exchange", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "13461", "text": "MARLEY BEVERAGE COMPANY, LLC", "ner": [[0, 4, "Parties"]], "tokenized_text": ["MARLEY", "BEVERAGE", "COMPANY", ",", "LLC"]}
{"id": "13463", "text": "5\\. Governing Law. THIS BILL OF SALE SHALL BE GOVERNED BY, AND CONSTRUED IN ACCORDANCE WITH, THE LAWS OF THE STATE OF COLORADO, WITHOUT GIVING EFFECT TO CONFLICT OF LAWS PRINCIPLES.", "ner": [[7, 9, "Title"], [25, 27, "Court"]], "tokenized_text": ["5", "\\", ".", "Governing", "Law", ".", "THIS", "BILL", "OF", "SALE", "SHALL", "BE", "GOVERNED", "BY", ",", "AND", "CONSTRUED", "IN", "ACCORDANCE", "WITH", ",", "THE", "LAWS", "OF", "THE", "STATE", "OF", "COLORADO", ",", "WITHOUT", "GIVING", "EFFECT", "TO", "CONFLICT", "OF", "LAWS", "PRINCIPLES", "."]}
{"id": "13464", "text": "1\\. Assignment. Subject to the terms and conditions of the Purchase Agreement, Assignor does hereby assign, grant, transfer and set over unto the Assignee all of Assignors right, title, and interest in and to the Assumed Contracts and Assumed Liabilities.", "ner": [[13, 14, "Title"]], "tokenized_text": ["1", "\\", ".", "Assignment", ".", "Subject", "to", "the", "terms", "and", "conditions", "of", "the", "Purchase", "Agreement", ",", "Assignor", "does", "hereby", "assign", ",", "grant", ",", "transfer", "and", "set", "over", "unto", "the", "Assignee", "all", "of", "Assignors", "right", ",", "title", ",", "and", "interest", "in", "and", "to", "the", "Assumed", "Contracts", "and", "Assumed", "Liabilities", "."]}
{"id": "13468", "text": "| New Age Beverages Corporation , a Washington corporation ---|---", "ner": [[1, 4, "Parties"]], "tokenized_text": ["|", "New", "Age", "Beverages", "Corporation", ",", "a", "Washington", "corporation", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "13470", "text": "A. The Covenantor is an affiliate of Marley Beverage Company, LLC <sup> (Marley), and Marley and Buyer are parties to an Asset Purchase Agreement of even date herewith (the Purchase Agreement), pursuant to which Buyer purchased certain assets from Marley (the Acquisition). All capitalized terms used but not defined herein, shall have the same meaning ascribed to them in the Purchase Agreement.", "ner": [[8, 12, "Parties"], [28, 30, "Title"]], "tokenized_text": ["A", ".", "The", "Covenantor", "is", "an", "affiliate", "of", "Marley", "Beverage", "Company", ",", "LLC", "<", "sup", ">", "(", "Marley", ")", ",", "and", "Marley", "and", "Buyer", "are", "parties", "to", "an", "Asset", "Purchase", "Agreement", "of", "even", "date", "herewith", "(", "the", "Purchase", "Agreement", ")", ",", "pursuant", "to", "which", "Buyer", "purchased", "certain", "assets", "from", "Marley", "(", "the", "Acquisition", ")", ".", "All", "capitalized", "terms", "used", "but", "not", "defined", "herein", ",", "shall", "have", "the", "same", "meaning", "ascribed", "to", "them", "in", "the", "Purchase", "Agreement", "."]}
{"id": "13472", "text": "This Registration Rights Agreement (Agreement) is entered into as of ____________, 2017 by and among New Age Beverages Corporation , a Washington corporation (the Company), Marley Beverage Company, LLC <sup> , a Michigan limited liability company (MBC), and the other parties that have executed signature pages to this Agreement as Initial Holders (together with MBC, the Initial Holders). The Company, the Initial Holders and each other Holder is sometimes referred to herein individually as a Party and together as the Parties. Certain capitalized terms used herein shall have the meanings given to them in Section 1.01 below.", "ner": [[1, 3, "Title"], [13, 14, "EffectiveDate"], [18, 21, "Parties"], [31, 35, "Parties"], [46, 46, "Parties"]], "tokenized_text": ["This", "Registration", "Rights", "Agreement", "(", "Agreement", ")", "is", "entered", "into", "as", "of", "____________", ",", "2017", "by", "and", "among", "New", "Age", "Beverages", "Corporation", ",", "a", "Washington", "corporation", "(", "the", "Company", ")", ",", "Marley", "Beverage", "Company", ",", "LLC", "<", "sup", ">", ",", "a", "Michigan", "limited", "liability", "company", "(", "MBC", ")", ",", "and", "the", "other", "parties", "that", "have", "executed", "signature", "pages", "to", "this", "Agreement", "as", "Initial", "Holders", "(", "together", "with", "MBC", ",", "the", "Initial", "Holders", ")", ".", "The", "Company", ",", "the", "Initial", "Holders", "and", "each", "other", "Holder", "is", "sometimes", "referred", "to", "herein", "individually", "as", "a", "Party", "and", "together", "as", "the", "Parties", ".", "Certain", "capitalized", "terms", "used", "herein", "shall", "have", "the", "meanings", "given", "to", "them", "in", "Section", "1", ".", "01", "below", "."]}
{"id": "13474", "text": "Common Stock means the Companys common stock, $0.001 par value per share, and any securities of the Company into which such shares are converted and for which such shares are exchanged and any common stock or other securities of the Company or any successor entity which may be issued or distributed in respect of the Common Stock by way of stock dividend or stock split or other distribution, recapitalization, merger, conversion or reclassification.", "ner": [[0, 1, "Shares"], [8, 11, "Price"]], "tokenized_text": ["Common", "Stock", "means", "the", "Companys", "common", "stock", ",", "$", "0", ".", "001", "par", "value", "per", "share", ",", "and", "any", "securities", "of", "the", "Company", "into", "which", "such", "shares", "are", "converted", "and", "for", "which", "such", "shares", "are", "exchanged", "and", "any", "common", "stock", "or", "other", "securities", "of", "the", "Company", "or", "any", "successor", "entity", "which", "may", "be", "issued", "or", "distributed", "in", "respect", "of", "the", "Common", "Stock", "by", "way", "of", "stock", "dividend", "or", "stock", "split", "or", "other", "distribution", ",", "recapitalization", ",", "merger", ",", "conversion", "or", "reclassification", "."]}
{"id": "13476", "text": "Registrable Shares means the shares of Common Stock which has been issued to the Initial Holders pursuant to the Purchase Agreement and held at any time by the Holders; provided, however, that any such securities will cease to be Registrable Shares when (i) such securities shall have been disposed of in accordance with a Registration Statement that has become effective under the Securities Act, ( ii) such securities shall have been distributed to the public pursuant to Rule 144 (or any successor provision) or any other exemption under the Securities Act, ( iii) such shares have been sold for value by a Holder to an unaffiliated third party; provided however, that for the avoidance of doubt, any shares of Common Stock distributed by MBC or any other Holder to its direct or indirect equity owners and any shares of Common Stock pledged as collateral by MBC or any other Holder to any lender (and any shares of Common Stock foreclosed upon by any such lender) shall continue to be Registrable Shares, or (iv) such shares shall have ceased to be outstanding.", "ner": [[19, 20, "Regulation"], [67, 68, "Act"], [84, 85, "Regulation"]], "tokenized_text": ["Registrable", "Shares", "means", "the", "shares", "of", "Common", "Stock", "which", "has", "been", "issued", "to", "the", "Initial", "Holders", "pursuant", "to", "the", "Purchase", "Agreement", "and", "held", "at", "any", "time", "by", "the", "Holders", ";", "provided", ",", "however", ",", "that", "any", "such", "securities", "will", "cease", "to", "be", "Registrable", "Shares", "when", "(", "i", ")", "such", "securities", "shall", "have", "been", "disposed", "of", "in", "accordance", "with", "a", "Registration", "Statement", "that", "has", "become", "effective", "under", "the", "Securities", "Act", ",", "(", "ii", ")", "such", "securities", "shall", "have", "been", "distributed", "to", "the", "public", "pursuant", "to", "Rule", "144", "(", "or", "any", "successor", "provision", ")", "or", "any", "other", "exemption", "under", "the", "Securities", "Act", ",", "(", "iii", ")", "such", "shares", "have", "been", "sold", "for", "value", "by", "a", "Holder", "to", "an", "unaffiliated", "third", "party", ";", "provided", "however", ",", "that", "for", "the", "avoidance", "of", "doubt", ",", "any", "shares", "of", "Common", "Stock", "distributed", "by", "MBC", "or", "any", "other", "Holder", "to", "its", "direct", "or", "indirect", "equity", "owners", "and", "any", "shares", "of", "Common", "Stock", "pledged", "as", "collateral", "by", "MBC", "or", "any", "other", "Holder", "to", "any", "lender", "(", "and", "any", "shares", "of", "Common", "Stock", "foreclosed", "upon", "by", "any", "such", "lender", ")", "shall", "continue", "to", "be", "Registrable", "Shares", ",", "or", "(", "iv", ")", "such", "shares", "shall", "have", "ceased", "to", "be", "outstanding", "."]}
{"id": "13477", "text": "Rule 144 means Rule 144 (or any successor rule of similar effect) promulgated under the Securities Act.&lt; br/&gt;", "ner": [[0, 1, "Regulation"], [17, 18, "Act"]], "tokenized_text": ["Rule", "144", "means", "Rule", "144", "(", "or", "any", "successor", "rule", "of", "similar", "effect", ")", "promulgated", "under", "the", "Securities", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "13478", "text": "Securities Act means the Securities Act of 1933 , as amended, and all rules and regulations promulgated thereunder, as in effect from time to time.", "ner": [[0, 1, "Act"], [4, 7, "Act"]], "tokenized_text": ["Securities", "Act", "means", "the", "Securities", "Act", "of", "1933", ",", "as", "amended", ",", "and", "all", "rules", "and", "regulations", "promulgated", "thereunder", ",", "as", "in", "effect", "from", "time", "to", "time", "."]}
{"id": "13479", "text": "REGISTRATION RIGHTS AND RULE 144", "ner": [[3, 4, "Regulation"]], "tokenized_text": ["REGISTRATION", "RIGHTS", "AND", "RULE", "144"]}
{"id": "13482", "text": "(c) So long as any Holder owns any Registrable Shares, to furnish to any requesting Holder forthwith upon request a written statement by the Company as to its compliance with the reporting requirements of said Rule 144 and of the Securities Act and the Exchange Act ( at all times that it is subject to the reporting requirements of the Exchange Act), a copy of the most recent annual or quarterly report of the Company, and such other reports and documents of the Company as the requesting Holder may reasonably request in availing itself of any rule or regulation of the Commission allowing the Holder to sell any such securities without registration (at all times that the Company is subject to the reporting requirements of the Exchange Act).&lt; br/&gt;", "ner": [[38, 39, "Regulation"], [43, 44, "Act"], [47, 48, "Act"]], "tokenized_text": ["(", "c", ")", "So", "long", "as", "any", "Holder", "owns", "any", "Registrable", "Shares", ",", "to", "furnish", "to", "any", "requesting", "Holder", "forthwith", "upon", "request", "a", "written", "statement", "by", "the", "Company", "as", "to", "its", "compliance", "with", "the", "reporting", "requirements", "of", "said", "Rule", "144", "and", "of", "the", "Securities", "Act", "and", "the", "Exchange", "Act", "(", "at", "all", "times", "that", "it", "is", "subject", "to", "the", "reporting", "requirements", "of", "the", "Exchange", "Act", ")", ",", "a", "copy", "of", "the", "most", "recent", "annual", "or", "quarterly", "report", "of", "the", "Company", ",", "and", "such", "other", "reports", "and", "documents", "of", "the", "Company", "as", "the", "requesting", "Holder", "may", "reasonably", "request", "in", "availing", "itself", "of", "any", "rule", "or", "regulation", "of", "the", "Commission", "allowing", "the", "Holder", "to", "sell", "any", "such", "securities", "without", "registration", "(", "at", "all", "times", "that", "the", "Company", "is", "subject", "to", "the", "reporting", "requirements", "of", "the", "Exchange", "Act", ")", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "13486", "text": "| COMPANY: ---|--- | | New Age Beverages Corporation | | By: | | Name: | | Title: |", "ner": [[12, 15, "Parties"]], "tokenized_text": ["|", "COMPANY", ":", "-", "-", "-", "|", "-", "-", "-", "|", "|", "New", "Age", "Beverages", "Corporation", "|", "|", "By", ":", "|", "|", "Name", ":", "|", "|", "Title", ":", "|"]}
{"id": "13487", "text": "with New Age Beverages Corporation ]", "ner": [[1, 4, "Parties"]], "tokenized_text": ["with", "New", "Age", "Beverages", "Corporation", "]"]}
{"id": "13488", "text": "| INITIAL HOLDER: ---|--- | Marley Beverage Company, LLC | | By: | | Name: | | Title: | | | | Notice for addresses: | | | Marley Beverage Company, LLC | c/o Gary A. Shiffman | 27777 Franklin Road, Suite 200 | Southfield, Michigan 48034 | Email: gshiffman@suncommunities.com | | | with a copy (which shall not constitute notice) to: | | | Jaffe, Raitt, Heuer &amp; Weiss, P.C. | 27777 Franklin Road, Suite 2500 | Southfield, Michigan 48034 | Attention: Arthur A. Weiss | Matthew Murphy | Email: | aweiss@jaffelaw.com | | mmurphy@jaffelaw.com", "ner": [[12, 16, "Parties"], [49, 52, "Parties"], [54, 59, "Address"], [68, 72, "PII_Ref"], [106, 111, "Address"]], "tokenized_text": ["|", "INITIAL", "HOLDER", ":", "-", "-", "-", "|", "-", "-", "-", "|", "Marley", "Beverage", "Company", ",", "LLC", "|", "|", "By", ":", "|", "|", "Name", ":", "|", "|", "Title", ":", "|", "|", "|", "|", "Notice", "for", "addresses", ":", "|", "|", "|", "Marley", "Beverage", "Company", ",", "LLC", "|", "c", "/", "o", "Gary", "A", ".", "Shiffman", "|", "27777", "Franklin", "Road", ",", "Suite", "200", "|", "Southfield", ",", "Michigan", "48034", "|", "Email", ":", "gshiffman", "@", "suncommunities", ".", "com", "|", "|", "|", "with", "a", "copy", "(", "which", "shall", "not", "constitute", "notice", ")", "to", ":", "|", "|", "|", "Jaffe", ",", "Raitt", ",", "Heuer", "&", "amp", ";", "Weiss", ",", "P", ".", "C", ".", "|", "27777", "Franklin", "Road", ",", "Suite", "2500", "|", "Southfield", ",", "Michigan", "48034", "|", "Attention", ":", "Arthur", "A", ".", "Weiss", "|", "Matthew", "Murphy", "|", "Email", ":", "|", "aweiss", "@", "jaffelaw", ".", "com", "|", "|", "mmurphy", "@", "jaffelaw", ".", "com"]}
{"id": "13490", "text": "FORESCOUT TECHNOLOGIES, INC. INDEMNIFICATION AGREEMENT", "ner": [[0, 4, "Parties"], [5, 6, "Title"]], "tokenized_text": ["FORESCOUT", "TECHNOLOGIES", ",", "INC", ".", "INDEMNIFICATION", "AGREEMENT"]}
{"id": "13491", "text": "This Indemnification Agreement (this Agreement) is dated as of [insert date], and is between ForeScout Technologies, Inc. , a Delaware corporation (the Company), and [insert name of indemnitee] (Indemnitee).", "ner": [[1, 2, "Title"], [19, 23, "Parties"]], "tokenized_text": ["This", "Indemnification", "Agreement", "(", "this", "Agreement", ")", "is", "dated", "as", "of", "[", "insert", "date", "]", ",", "and", "is", "between", "ForeScout", "Technologies", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "the", "Company", ")", ",", "and", "[", "insert", "name", "of", "indemnitee", "]", "(", "Indemnitee", ")", "."]}
{"id": "13495", "text": "for an accounting or disgorgement of profits pursuant to Section 16(b) of the Securities Exchange Act of 1934 , as amended, or similar provisions of federal, state or local statutory law or common law, if Indemnitee is held liable therefor (including pursuant to any settlement arrangements);", "ner": [[9, 13, "Regulation"], [16, 20, "Act"]], "tokenized_text": ["for", "an", "accounting", "or", "disgorgement", "of", "profits", "pursuant", "to", "Section", "16", "(", "b", ")", "of", "the", "Securities", "Exchange", "Act", "of", "1934", ",", "as", "amended", ",", "or", "similar", "provisions", "of", "federal", ",", "state", "or", "local", "statutory", "law", "or", "common", "law", ",", "if", "Indemnitee", "is", "held", "liable", "therefor", "(", "including", "pursuant", "to", "any", "settlement", "arrangements", ")", ";"]}
{"id": "13498", "text": "if to the Company, to the attention of the General Counsel of the Company at 190 West Tasman Drive, San Jose, CA 95134, or at such other current address as the Company shall have furnished to Indemnitee, with a copy (which shall not constitute notice) to Steven E. Bochner, Wilson Sonsini Goodrich &amp; Rosati, P.C., 650 Page Mill Road, Palo Alto, California 94304.", "ner": [[16, 24, "Address"], [71, 79, "Address"]], "tokenized_text": ["if", "to", "the", "Company", ",", "to", "the", "attention", "of", "the", "General", "Counsel", "of", "the", "Company", "at", "190", "West", "Tasman", "Drive", ",", "San", "Jose", ",", "CA", "95134", ",", "or", "at", "such", "other", "current", "address", "as", "the", "Company", "shall", "have", "furnished", "to", "Indemnitee", ",", "with", "a", "copy", "(", "which", "shall", "not", "constitute", "notice", ")", "to", "Steven", "E", ".", "Bochner", ",", "Wilson", "Sonsini", "Goodrich", "&", "amp", ";", "Rosati", ",", "P", ".", "C", ".", ",", "650", "Page", "Mill", "Road", ",", "Palo", "Alto", ",", "California", "94304", "."]}
{"id": "13499", "text": "This Agreement and the legal relations among the parties shall be governed by, and construed and enforced in accordance with, the laws of the State of Delaware, without regard to its conflict of laws rules. Except with respect to any arbitration commenced by Indemnitee pursuant to Section 12(a) (Remedies of Indemnitee) of this Agreement, the Company and Indemnitee hereby irrevocably and unconditionally (i) agree that any action or proceeding arising out of or in connection with this Agreement shall be brought only in the Delaware Court of Chancery, and not in any other state or federal court in the United States of America or any court in any other country, (ii) consent to submit to the exclusive jurisdiction of the Delaware Court of Chancery for purposes of any action or proceeding arising out of or in connection with this Agreement, (iii) appoint, to the extent such party is not otherwise subject to service of process in the State of Delaware, The Corporation Trust Company, Wilmington, Delaware as its agent in the State of Delaware as such partys agent for acceptance of legal process in connection with any such action or proceeding against such party with the same legal force and validity as if served upon such party personally within the State of Delaware, (iv) waive any objection to the laying of venue of any such action or proceeding in the Delaware Court of Chancery, and (v) waive, and agree not to plead or to make, any claim that any such action or proceeding brought in the Delaware Court of Chancery has been brought in an improper or inconvenient forum.", "ner": [[26, 28, "Court"], [96, 99, "Court"], [112, 115, "Court"], [186, 188, "Address"]], "tokenized_text": ["This", "Agreement", "and", "the", "legal", "relations", "among", "the", "parties", "shall", "be", "governed", "by", ",", "and", "construed", "and", "enforced", "in", "accordance", "with", ",", "the", "laws", "of", "the", "State", "of", "Delaware", ",", "without", "regard", "to", "its", "conflict", "of", "laws", "rules", ".", "Except", "with", "respect", "to", "any", "arbitration", "commenced", "by", "Indemnitee", "pursuant", "to", "Section", "12", "(", "a", ")", "(", "Remedies", "of", "Indemnitee", ")", "of", "this", "Agreement", ",", "the", "Company", "and", "Indemnitee", "hereby", "irrevocably", "and", "unconditionally", "(", "i", ")", "agree", "that", "any", "action", "or", "proceeding", "arising", "out", "of", "or", "in", "connection", "with", "this", "Agreement", "shall", "be", "brought", "only", "in", "the", "Delaware", "Court", "of", "Chancery", ",", "and", "not", "in", "any", "other", "state", "or", "federal", "court", "in", "the", "United", "States", "of", "America", "or", "any", "court", "in", "any", "other", "country", ",", "(", "ii", ")", "consent", "to", "submit", "to", "the", "exclusive", "jurisdiction", "of", "the", "Delaware", "Court", "of", "Chancery", "for", "purposes", "of", "any", "action", "or", "proceeding", "arising", "out", "of", "or", "in", "connection", "with", "this", "Agreement", ",", "(", "iii", ")", "appoint", ",", "to", "the", "extent", "such", "party", "is", "not", "otherwise", "subject", "to", "service", "of", "process", "in", "the", "State", "of", "Delaware", ",", "The", "Corporation", "Trust", "Company", ",", "Wilmington", ",", "Delaware", "as", "its", "agent", "in", "the", "State", "of", "Delaware", "as", "such", "partys", "agent", "for", "acceptance", "of", "legal", "process", "in", "connection", "with", "any", "such", "action", "or", "proceeding", "against", "such", "party", "with", "the", "same", "legal", "force", "and", "validity", "as", "if", "served", "upon", "such", "party", "personally", "within", "the", "State", "of", "Delaware", ",", "(", "iv", ")", "waive", "any", "objection", "to", "the", "laying", "of", "venue", "of", "any", "such", "action", "or", "proceeding", "in", "the", "Delaware", "Court", "of", "Chancery", ",", "and", "(", "v", ")", "waive", ",", "and", "agree", "not", "to", "plead", "or", "to", "make", ",", "any", "claim", "that", "any", "such", "action", "or", "proceeding", "brought", "in", "the", "Delaware", "Court", "of", "Chancery", "has", "been", "brought", "in", "an", "improper", "or", "inconvenient", "forum", "."]}
{"id": "13501", "text": "Beneficial Owner shall have the meaning given to such term in Rule13d-3 under the Exchange Act ( as defined below); provided, however, that Beneficial Owner shall exclude any Person otherwise becoming a Beneficial Owner by reason of the stockholders of the Corporation approving a merger of the Corporation with another entity.", "ner": [[0, 1, "Role"], [11, 11, "Regulation"], [14, 15, "Act"]], "tokenized_text": ["Beneficial", "Owner", "shall", "have", "the", "meaning", "given", "to", "such", "term", "in", "Rule13d-3", "under", "the", "Exchange", "Act", "(", "as", "defined", "below", ")", ";", "provided", ",", "however", ",", "that", "Beneficial", "Owner", "shall", "exclude", "any", "Person", "otherwise", "becoming", "a", "Beneficial", "Owner", "by", "reason", "of", "the", "stockholders", "of", "the", "Corporation", "approving", "a", "merger", "of", "the", "Corporation", "with", "another", "entity", "."]}
{"id": "13505", "text": "Proceeding shall include any threatened, pending or completed action, claim, suit, counterclaim, cross claim, arbitration, mediation, alternate dispute resolution mechanism, formal or informal hearing, inquiry or investigation, administrative hearing or any other actual, threatened or completed judicial, administrative or arbitration proceeding (including, without limitation, any such proceeding under the Securities Act of 1933 , as amended, or the Exchange Act or any other federal law, state law, statute or regulation), whether brought in the right of the Corporation or otherwise, and whether of a civil, criminal, administrative legislative or investigative nature, including any appeal therefrom, in which Indemnitee was, is or will be, or is threatened to be, involved as a party, potential party, non-party witness or otherwise (i)by reason of the fact that Indemnitee is or was a Representative of the Corporation, (ii)by reason of any actual or alleged action taken by Indemnitee (or a failure to take action by Indemnitee) or of any action (or failure to act) on Indemnitees part while acting as Representative of the Corporation or (iii)by reason of the fact that Indemnitee is or was serving at the request of the Corporation as a Representative of another Person, whether or not serving in such capacity at the time any liability or Expense is incurred for which indemnification, reimbursement, or advancement of Expenses can be provided under this Agreement. If the Indemnitee believes in good faith that a given situation may lead to or culminate in the institution of a Proceeding, this shall be considered a Proceeding under this paragraph.", "ner": [[65, 68, "Act"], [75, 76, "Act"]], "tokenized_text": ["Proceeding", "shall", "include", "any", "threatened", ",", "pending", "or", "completed", "action", ",", "claim", ",", "suit", ",", "counterclaim", ",", "cross", "claim", ",", "arbitration", ",", "mediation", ",", "alternate", "dispute", "resolution", "mechanism", ",", "formal", "or", "informal", "hearing", ",", "inquiry", "or", "investigation", ",", "administrative", "hearing", "or", "any", "other", "actual", ",", "threatened", "or", "completed", "judicial", ",", "administrative", "or", "arbitration", "proceeding", "(", "including", ",", "without", "limitation", ",", "any", "such", "proceeding", "under", "the", "Securities", "Act", "of", "1933", ",", "as", "amended", ",", "or", "the", "Exchange", "Act", "or", "any", "other", "federal", "law", ",", "state", "law", ",", "statute", "or", "regulation", ")", ",", "whether", "brought", "in", "the", "right", "of", "the", "Corporation", "or", "otherwise", ",", "and", "whether", "of", "a", "civil", ",", "criminal", ",", "administrative", "legislative", "or", "investigative", "nature", ",", "including", "any", "appeal", "therefrom", ",", "in", "which", "Indemnitee", "was", ",", "is", "or", "will", "be", ",", "or", "is", "threatened", "to", "be", ",", "involved", "as", "a", "party", ",", "potential", "party", ",", "non-party", "witness", "or", "otherwise", "(", "i", ")", "by", "reason", "of", "the", "fact", "that", "Indemnitee", "is", "or", "was", "a", "Representative", "of", "the", "Corporation", ",", "(", "ii", ")", "by", "reason", "of", "any", "actual", "or", "alleged", "action", "taken", "by", "Indemnitee", "(", "or", "a", "failure", "to", "take", "action", "by", "Indemnitee", ")", "or", "of", "any", "action", "(", "or", "failure", "to", "act", ")", "on", "Indemnitees", "part", "while", "acting", "as", "Representative", "of", "the", "Corporation", "or", "(", "iii", ")", "by", "reason", "of", "the", "fact", "that", "Indemnitee", "is", "or", "was", "serving", "at", "the", "request", "of", "the", "Corporation", "as", "a", "Representative", "of", "another", "Person", ",", "whether", "or", "not", "serving", "in", "such", "capacity", "at", "the", "time", "any", "liability", "or", "Expense", "is", "incurred", "for", "which", "indemnification", ",", "reimbursement", ",", "or", "advancement", "of", "Expenses", "can", "be", "provided", "under", "this", "Agreement", ".", "If", "the", "Indemnitee", "believes", "in", "good", "faith", "that", "a", "given", "situation", "may", "lead", "to", "or", "culminate", "in", "the", "institution", "of", "a", "Proceeding", ",", "this", "shall", "be", "considered", "a", "Proceeding", "under", "this", "paragraph", "."]}
{"id": "13506", "text": "(b) subject to Section14, for (i)an accounting of profits made from the purchase and sale (or sale and purchase) by Indemnitee of securities of the Corporation within the meaning of Section16(b)of the Exchange Act ( as defined in Section1(a)hereof) or similar provisions of state statutory law or common law, (ii)any reimbursement of the Corporation by the Indemnitee of any bonus or other incentive-based or equity-based compensation or of any profits realized by the Indemnitee from the sale of securities of the Corporation, as required in each case under the Exchange Act ( including any such reimbursements that arise from an accounting restatement of the Corporation pursuant to Section304 of the Sarbanes- Oxley Act of 2002 (the Sarbanes-Oxley Act), or the payment to the Corporation of profits arising from the purchase and sale by Indemnitee of securities in violation of Section306 of the Sarbanes-Oxley Act) or (iii)any reimbursement of the Corporation by Indemnitee of any compensation pursuant to any compensation recoupment or clawback policy adopted by the Board or the compensation committee of the Board to comply with stock exchange listing requirements implementing Section10D of the Exchange Act; or", "ner": [[38, 41, "Regulation"], [44, 45, "Act"], [132, 137, "Act"], [140, 141, "Act"]], "tokenized_text": ["(", "b", ")", "subject", "to", "Section14", ",", "for", "(", "i", ")", "an", "accounting", "of", "profits", "made", "from", "the", "purchase", "and", "sale", "(", "or", "sale", "and", "purchase", ")", "by", "Indemnitee", "of", "securities", "of", "the", "Corporation", "within", "the", "meaning", "of", "Section16", "(", "b", ")", "of", "the", "Exchange", "Act", "(", "as", "defined", "in", "Section1", "(", "a", ")", "hereof", ")", "or", "similar", "provisions", "of", "state", "statutory", "law", "or", "common", "law", ",", "(", "ii", ")", "any", "reimbursement", "of", "the", "Corporation", "by", "the", "Indemnitee", "of", "any", "bonus", "or", "other", "incentive-based", "or", "equity-based", "compensation", "or", "of", "any", "profits", "realized", "by", "the", "Indemnitee", "from", "the", "sale", "of", "securities", "of", "the", "Corporation", ",", "as", "required", "in", "each", "case", "under", "the", "Exchange", "Act", "(", "including", "any", "such", "reimbursements", "that", "arise", "from", "an", "accounting", "restatement", "of", "the", "Corporation", "pursuant", "to", "Section304", "of", "the", "Sarbanes", "-", "Oxley", "Act", "of", "2002", "(", "the", "Sarbanes-Oxley", "Act", ")", ",", "or", "the", "payment", "to", "the", "Corporation", "of", "profits", "arising", "from", "the", "purchase", "and", "sale", "by", "Indemnitee", "of", "securities", "in", "violation", "of", "Section306", "of", "the", "Sarbanes-Oxley", "Act", ")", "or", "(", "iii", ")", "any", "reimbursement", "of", "the", "Corporation", "by", "Indemnitee", "of", "any", "compensation", "pursuant", "to", "any", "compensation", "recoupment", "or", "clawback", "policy", "adopted", "by", "the", "Board", "or", "the", "compensation", "committee", "of", "the", "Board", "to", "comply", "with", "stock", "exchange", "listing", "requirements", "implementing", "Section10D", "of", "the", "Exchange", "Act", ";", "or"]}
{"id": "13513", "text": "(A) Exchange Act shall mean the Securities Exchange Act of 1934 , as amended from time to time.", "ner": [[3, 4, "Act"], [8, 12, "Act"]], "tokenized_text": ["(", "A", ")", "Exchange", "Act", "shall", "mean", "the", "Securities", "Exchange", "Act", "of", "1934", ",", "as", "amended", "from", "time", "to", "time", "."]}
{"id": "13515", "text": "(a) Subject to Section14(e), in the event that (i)a determination is made pursuant to Section12 of this Agreement that Indemnitee is not entitled to indemnification under this Agreement, (ii)advancement of Expenses is not timely made pursuant to Section10 of this Agreement, (iii)no determination of entitlement to indemnification shall have been made pursuant to Section12(a) of this Agreement within ninety (90)days after receipt by the Company of the request for indemnification, (iv)payment of indemnification is not made pursuant to Section5, 6 or 7 or the last sentence of Section12(a) of this Agreement within ten (10)days after receipt by the Company of a written request therefor, (v)payment of indemnification pursuant to Section3, 4 or 8 of this Agreement is not made within ten (10)days after a determination has been made that Indemnitee is entitled to indemnification, or (vi)in the event that the Company or any other person takes or threatens to take any action to declare this Agreement void or unenforceable, or institutes any litigation or other action or Proceeding designed to deny, or to recover from, the Indemnitee the benefits provided or intended to be provided to the Indemnitee hereunder, Indemnitee shall be entitled to an adjudication by a court of his entitlement to such indemnification or advancement of Expenses. Alternatively, Indemnitee, at his option, may seek an award in arbitration to be conducted by a single arbitrator pursuant to the Commercial Arbitration Rules of the American Arbitration Association. Indemnitee shall commence such proceeding seeking an adjudication or an award in arbitration within 180 days following the date on which Indemnitee first has the right to commence such proceeding pursuant to this Section14(a); provided, however, that the foregoing clause shall not apply in respect of a proceeding brought by Indemnitee to enforce his rights under Section5 of this Agreement. The Company shall not oppose Indemnitees right to seek any such adjudication or award in arbitration.", "ner": [[284, 286, "Regulation"], [289, 291, "Court"]], "tokenized_text": ["(", "a", ")", "Subject", "to", "Section14", "(", "e", ")", ",", "in", "the", "event", "that", "(", "i", ")", "a", "determination", "is", "made", "pursuant", "to", "Section12", "of", "this", "Agreement", "that", "Indemnitee", "is", "not", "entitled", "to", "indemnification", "under", "this", "Agreement", ",", "(", "ii", ")", "advancement", "of", "Expenses", "is", "not", "timely", "made", "pursuant", "to", "Section10", "of", "this", "Agreement", ",", "(", "iii", ")", "no", "determination", "of", "entitlement", "to", "indemnification", "shall", "have", "been", "made", "pursuant", "to", "Section12", "(", "a", ")", "of", "this", "Agreement", "within", "ninety", "(", "90", ")", "days", "after", "receipt", "by", "the", "Company", "of", "the", "request", "for", "indemnification", ",", "(", "iv", ")", "payment", "of", "indemnification", "is", "not", "made", "pursuant", "to", "Section5", ",", "6", "or", "7", "or", "the", "last", "sentence", "of", "Section12", "(", "a", ")", "of", "this", "Agreement", "within", "ten", "(", "10", ")", "days", "after", "receipt", "by", "the", "Company", "of", "a", "written", "request", "therefor", ",", "(", "v", ")", "payment", "of", "indemnification", "pursuant", "to", "Section3", ",", "4", "or", "8", "of", "this", "Agreement", "is", "not", "made", "within", "ten", "(", "10", ")", "days", "after", "a", "determination", "has", "been", "made", "that", "Indemnitee", "is", "entitled", "to", "indemnification", ",", "or", "(", "vi", ")", "in", "the", "event", "that", "the", "Company", "or", "any", "other", "person", "takes", "or", "threatens", "to", "take", "any", "action", "to", "declare", "this", "Agreement", "void", "or", "unenforceable", ",", "or", "institutes", "any", "litigation", "or", "other", "action", "or", "Proceeding", "designed", "to", "deny", ",", "or", "to", "recover", "from", ",", "the", "Indemnitee", "the", "benefits", "provided", "or", "intended", "to", "be", "provided", "to", "the", "Indemnitee", "hereunder", ",", "Indemnitee", "shall", "be", "entitled", "to", "an", "adjudication", "by", "a", "court", "of", "his", "entitlement", "to", "such", "indemnification", "or", "advancement", "of", "Expenses", ".", "Alternatively", ",", "Indemnitee", ",", "at", "his", "option", ",", "may", "seek", "an", "award", "in", "arbitration", "to", "be", "conducted", "by", "a", "single", "arbitrator", "pursuant", "to", "the", "Commercial", "Arbitration", "Rules", "of", "the", "American", "Arbitration", "Association", ".", "Indemnitee", "shall", "commence", "such", "proceeding", "seeking", "an", "adjudication", "or", "an", "award", "in", "arbitration", "within", "180", "days", "following", "the", "date", "on", "which", "Indemnitee", "first", "has", "the", "right", "to", "commence", "such", "proceeding", "pursuant", "to", "this", "Section14", "(", "a", ")", ";", "provided", ",", "however", ",", "that", "the", "foregoing", "clause", "shall", "not", "apply", "in", "respect", "of", "a", "proceeding", "brought", "by", "Indemnitee", "to", "enforce", "his", "rights", "under", "Section5", "of", "this", "Agreement", ".", "The", "Company", "shall", "not", "oppose", "Indemnitees", "right", "to", "seek", "any", "such", "adjudication", "or", "award", "in", "arbitration", "."]}
{"id": "13518", "text": "This Indemnification Agreement (the Agreement) is made as of October 9, 2017 , by and between My Cloudz, Inc. , a Nevada corporation (the Company), and Timothy Orr (the Indemnitee).", "ner": [[1, 2, "Title"], [11, 14, "EffectiveDate"], [19, 23, "Parties"], [34, 35, "Parties"]], "tokenized_text": ["This", "Indemnification", "Agreement", "(", "the", "Agreement", ")", "is", "made", "as", "of", "October", "9", ",", "2017", ",", "by", "and", "between", "My", "Cloudz", ",", "Inc", ".", ",", "a", "Nevada", "corporation", "(", "the", "Company", ")", ",", "and", "Timothy", "Orr", "(", "the", "Indemnitee", ")", "."]}
{"id": "13521", "text": "Company Name | ---|--- | | /s/ Timothy Orr | (Signature)", "ner": [[15, 16, "Parties"]], "tokenized_text": ["Company", "Name", "|", "-", "-", "-", "|", "-", "-", "-", "|", "|", "/", "s", "/", "Timothy", "Orr", "|", "(", "Signature", ")"]}
{"id": "13523", "text": "This Indemnification Agreement (Agreement) is made as of [], 20[] by and between Arsanis, Inc. , a Delaware corporation (the Company), and [] (Indemnitee)[ and shall be effective as of the effectiveness of a Registration Statement on Form S-1 relating to the initial registration under the Securities Act of 1933 , as amended, of shares of the Companys common stock].", "ner": [[1, 2, "Title"], [19, 22, "Parties"], [61, 64, "Act"]], "tokenized_text": ["This", "Indemnification", "Agreement", "(", "Agreement", ")", "is", "made", "as", "of", "[", "]", ",", "20", "[", "]", "by", "and", "between", "Arsanis", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "the", "Company", ")", ",", "and", "[", "]", "(", "Indemnitee", ")", "[", "and", "shall", "be", "effective", "as", "of", "the", "effectiveness", "of", "a", "Registration", "Statement", "on", "Form", "S-1", "relating", "to", "the", "initial", "registration", "under", "the", "Securities", "Act", "of", "1933", ",", "as", "amended", ",", "of", "shares", "of", "the", "Companys", "common", "stock", "]", "."]}
{"id": "13524", "text": "v. Other Events. There occurs any other event of a nature that would be required to be reported in response to Item 6(e) of Schedule 14A of Regulation 14A (or a response to any similar item on any similar schedule or form) promulgated under the Exchange Act ( as defined below), whether or not the Company is then subject to such reporting requirement.", "ner": [[32, 33, "Regulation"], [52, 53, "Act"]], "tokenized_text": ["v", ".", "Other", "Events", ".", "There", "occurs", "any", "other", "event", "of", "a", "nature", "that", "would", "be", "required", "to", "be", "reported", "in", "response", "to", "Item", "6", "(", "e", ")", "of", "Schedule", "14A", "of", "Regulation", "14A", "(", "or", "a", "response", "to", "any", "similar", "item", "on", "any", "similar", "schedule", "or", "form", ")", "promulgated", "under", "the", "Exchange", "Act", "(", "as", "defined", "below", ")", ",", "whether", "or", "not", "the", "Company", "is", "then", "subject", "to", "such", "reporting", "requirement", "."]}
{"id": "13525", "text": "890 Winter Street, Suite 230", "ner": [[0, 5, "Address"]], "tokenized_text": ["890", "Winter", "Street", ",", "Suite", "230"]}
{"id": "13526", "text": "Signature Page to Arsanis Indemnification Agreement", "ner": [[3, 5, "Title"]], "tokenized_text": ["Signature", "Page", "to", "Arsanis", "Indemnification", "Agreement"]}
{"id": "13527", "text": "THIS INDEMNIFICATION AGREEMENT (Agreement) is made as of , 20 by and between CBTX,Inc. , a Texas corporation (the Company), and (Indemnitee). This Agreement supersedes and replaces any and all previous agreements between the Company and Indemnitee covering the subject matter of this Agreement.", "ner": [[1, 2, "Title"], [15, 18, "Parties"]], "tokenized_text": ["THIS", "INDEMNIFICATION", "AGREEMENT", "(", "Agreement", ")", "is", "made", "as", "of", ",", "20", "by", "and", "between", "CBTX", ",", "Inc", ".", ",", "a", "Texas", "corporation", "(", "the", "Company", ")", ",", "and", "(", "Indemnitee", ")", ".", "This", "Agreement", "supersedes", "and", "replaces", "any", "and", "all", "previous", "agreements", "between", "the", "Company", "and", "Indemnitee", "covering", "the", "subject", "matter", "of", "this", "Agreement", "."]}
{"id": "13529", "text": "(j) The term Sarbanes-Oxley Act shall mean the Sarbanes- Oxley Act of 2002 , as amended from time to time.", "ner": [[5, 6, "Act"], [10, 15, "Act"]], "tokenized_text": ["(", "j", ")", "The", "term", "Sarbanes-Oxley", "Act", "shall", "mean", "the", "Sarbanes", "-", "Oxley", "Act", "of", "2002", ",", "as", "amended", "from", "time", "to", "time", "."]}
{"id": "13531", "text": "Section9. NOTICE OF ASSUMPTION OF LIABILITY. THE COMPANY EXPRESSLY ACKNOWLEDGES THAT THE INDEMNITIES CONTAINED IN THIS AGREEMENT REQUIRE ASSUMPTION OF LIABILITY PREDICATED ON THE NEGLIGENCE, GROSS NEGLIGENCE, OR CONDUCT RESULTING IN STRICT LIABILITY OF INDEMNITEE, AND THE COMPANY ACKNOWLEDGES THAT THIS SECTION9 COMPLIES WITH ANY REQUIREMENT TO EXPRESSLY STATE LIABILITY FOR NEGLIGENCE, GROSS NEGLIGENCE, OR CONDUCT RESULTING IN STRICT LIABILITY IS CONSPICUOUS AND AFFORDS FAIR AND ADEQUATE NOTICE.", "ner": [], "tokenized_text": ["Section9", ".", "NOTICE", "OF", "ASSUMPTION", "OF", "LIABILITY", ".", "THE", "COMPANY", "EXPRESSLY", "ACKNOWLEDGES", "THAT", "THE", "INDEMNITIES", "CONTAINED", "IN", "THIS", "AGREEMENT", "REQUIRE", "ASSUMPTION", "OF", "LIABILITY", "PREDICATED", "ON", "THE", "NEGLIGENCE", ",", "GROSS", "NEGLIGENCE", ",", "OR", "CONDUCT", "RESULTING", "IN", "STRICT", "LIABILITY", "OF", "INDEMNITEE", ",", "AND", "THE", "COMPANY", "ACKNOWLEDGES", "THAT", "THIS", "SECTION9", "COMPLIES", "WITH", "ANY", "REQUIREMENT", "TO", "EXPRESSLY", "STATE", "LIABILITY", "FOR", "NEGLIGENCE", ",", "GROSS", "NEGLIGENCE", ",", "OR", "CONDUCT", "RESULTING", "IN", "STRICT", "LIABILITY", "IS", "CONSPICUOUS", "AND", "AFFORDS", "FAIR", "AND", "ADEQUATE", "NOTICE", "."]}
{"id": "13532", "text": "(b) for (i)an accounting of profits made from the purchase and sale (or sale and purchase) by Indemnitee of securities of the Company within the meaning of Section16(b)of the Exchange Act ( as defined in Section2(b)hereof) or similar provisions of state statutory law or common law, or (ii)any reimbursement of the Company by the Indemnitee of any bonus or other incentive-based or equity-based compensation or of any profits realized by the Indemnitee from the sale of securities of the Company, as required in each case under the Exchange Act ( including any such reimbursements that arise from an accounting restatement of the Company pursuant to Section304 of the Sarbanes-Oxley Act or the payment to the Company of profits arising from the purchase and sale by Indemnitee of securities in violation of Section306 of the Sarbanes-Oxley Act); or", "ner": [[34, 37, "Regulation"], [40, 41, "Act"], [129, 130, "Act"]], "tokenized_text": ["(", "b", ")", "for", "(", "i", ")", "an", "accounting", "of", "profits", "made", "from", "the", "purchase", "and", "sale", "(", "or", "sale", "and", "purchase", ")", "by", "Indemnitee", "of", "securities", "of", "the", "Company", "within", "the", "meaning", "of", "Section16", "(", "b", ")", "of", "the", "Exchange", "Act", "(", "as", "defined", "in", "Section2", "(", "b", ")", "hereof", ")", "or", "similar", "provisions", "of", "state", "statutory", "law", "or", "common", "law", ",", "or", "(", "ii", ")", "any", "reimbursement", "of", "the", "Company", "by", "the", "Indemnitee", "of", "any", "bonus", "or", "other", "incentive-based", "or", "equity-based", "compensation", "or", "of", "any", "profits", "realized", "by", "the", "Indemnitee", "from", "the", "sale", "of", "securities", "of", "the", "Company", ",", "as", "required", "in", "each", "case", "under", "the", "Exchange", "Act", "(", "including", "any", "such", "reimbursements", "that", "arise", "from", "an", "accounting", "restatement", "of", "the", "Company", "pursuant", "to", "Section304", "of", "the", "Sarbanes-Oxley", "Act", "or", "the", "payment", "to", "the", "Company", "of", "profits", "arising", "from", "the", "purchase", "and", "sale", "by", "Indemnitee", "of", "securities", "in", "violation", "of", "Section306", "of", "the", "Sarbanes-Oxley", "Act", ")", ";", "or"]}
{"id": "13534", "text": "THIS AGREEMENT is entered into, effective as of, 20[] by and between comScore, Inc. , a Delaware corporation (the Company), and (Indemnitee).", "ner": [[16, 19, "Parties"]], "tokenized_text": ["THIS", "AGREEMENT", "is", "entered", "into", ",", "effective", "as", "of", ",", "20", "[", "]", "by", "and", "between", "comScore", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "the", "Company", ")", ",", "and", "(", "Indemnitee", ")", "."]}
{"id": "13536", "text": "(b) Timing of Determination of Eligibility for Indemnification. The Company shall use its reasonable best efforts to cause any determination required under Section4(a) to be made as promptly as practicable. If (i)the Reviewing Party shall not have made a determination within 30 days after the later of (A)receipt by the Company of written notice from Indemnitee advising the Company of the final disposition of the applicable Proceeding (the date of such notice being the Notification Date) and (B)the selection of Independent Counsel, if such determination is to be made by Independent Counsel, and (ii)Indemnitee shall have fulfilled all obligations set forth in Section4(a), then Indemnitee shall be deemed to have satisfied the applicable standard of conduct; provided that such 30-day period may be extended for a reasonable time, not to exceed an additional 30 days, if the Reviewing Party in good faith requires such additional time for the obtaining, evaluation, or documentation of information relating thereto.", "ner": [], "tokenized_text": ["(", "b", ")", "Timing", "of", "Determination", "of", "Eligibility", "for", "Indemnification", ".", "The", "Company", "shall", "use", "its", "reasonable", "best", "efforts", "to", "cause", "any", "determination", "required", "under", "Section4", "(", "a", ")", "to", "be", "made", "as", "promptly", "as", "practicable", ".", "If", "(", "i", ")", "the", "Reviewing", "Party", "shall", "not", "have", "made", "a", "determination", "within", "30", "days", "after", "the", "later", "of", "(", "A", ")", "receipt", "by", "the", "Company", "of", "written", "notice", "from", "Indemnitee", "advising", "the", "Company", "of", "the", "final", "disposition", "of", "the", "applicable", "Proceeding", "(", "the", "date", "of", "such", "notice", "being", "the", "Notification", "Date", ")", "and", "(", "B", ")", "the", "selection", "of", "Independent", "Counsel", ",", "if", "such", "determination", "is", "to", "be", "made", "by", "Independent", "Counsel", ",", "and", "(", "ii", ")", "Indemnitee", "shall", "have", "fulfilled", "all", "obligations", "set", "forth", "in", "Section4", "(", "a", ")", ",", "then", "Indemnitee", "shall", "be", "deemed", "to", "have", "satisfied", "the", "applicable", "standard", "of", "conduct", ";", "provided", "that", "such", "30-day", "period", "may", "be", "extended", "for", "a", "reasonable", "time", ",", "not", "to", "exceed", "an", "additional", "30", "days", ",", "if", "the", "Reviewing", "Party", "in", "good", "faith", "requires", "such", "additional", "time", "for", "the", "obtaining", ",", "evaluation", ",", "or", "documentation", "of", "information", "relating", "thereto", "."]}
{"id": "13537", "text": "13\\. Duration of Agreement. This Agreement shall continue until and terminate upon the later of (a)six (6) years after the date that Indemnitee shall have ceased to serve as a director or officer of the Company or (b)one (1) year after the final termination of any Proceeding, including any appeal, then pending in respect of which Indemnitee is granted rights of indemnification or advancement of Expenses hereunder and of any proceeding commenced by Indemnitee pursuant to Section4(b) of this Agreement relating thereto.", "ner": [[21, 25, "TerminationDate"], [48, 52, "TerminationDate"]], "tokenized_text": ["13", "\\", ".", "Duration", "of", "Agreement", ".", "This", "Agreement", "shall", "continue", "until", "and", "terminate", "upon", "the", "later", "of", "(", "a", ")", "six", "(", "6", ")", "years", "after", "the", "date", "that", "Indemnitee", "shall", "have", "ceased", "to", "serve", "as", "a", "director", "or", "officer", "of", "the", "Company", "or", "(", "b", ")", "one", "(", "1", ")", "year", "after", "the", "final", "termination", "of", "any", "Proceeding", ",", "including", "any", "appeal", ",", "then", "pending", "in", "respect", "of", "which", "Indemnitee", "is", "granted", "rights", "of", "indemnification", "or", "advancement", "of", "Expenses", "hereunder", "and", "of", "any", "proceeding", "commenced", "by", "Indemnitee", "pursuant", "to", "Section4", "(", "b", ")", "of", "this", "Agreement", "relating", "thereto", "."]}
{"id": "13538", "text": "14\\. Binding Effect. This Agreement shall be binding upon and inure to the benefit of and be enforceable by the parties hereto and their respective successors (including any direct or indirect successor by purchase, merger, consolidation, reorganization or otherwise to all or substantially all of the business and/or assets of the Company), assigns, spouses, heirs and personal and legal representatives. The Company shall require and cause any successor (whether direct or indirect by purchase, merger, consolidation, reorganization or otherwise) to all, substantially all or a substantial part, of the business and/or assets of the Company, by written agreement in form and substance satisfactory to Indemnitee, expressly to assume and agree to perform this Agreement in the same manner and to the same extent that the Company would be required to perform if no such succession had taken place. The indemnification provided under this Agreement shall continue as to Indemnitee for any action taken or not taken while serving in an indemnified capacity pertaining to an Indemnifiable Event even though Indemnitee may have ceased to serve in such capacity at the time of any Proceeding.", "ner": [[6, 7, "Title"]], "tokenized_text": ["14", "\\", ".", "Binding", "Effect", ".", "This", "Agreement", "shall", "be", "binding", "upon", "and", "inure", "to", "the", "benefit", "of", "and", "be", "enforceable", "by", "the", "parties", "hereto", "and", "their", "respective", "successors", "(", "including", "any", "direct", "or", "indirect", "successor", "by", "purchase", ",", "merger", ",", "consolidation", ",", "reorganization", "or", "otherwise", "to", "all", "or", "substantially", "all", "of", "the", "business", "and", "/", "or", "assets", "of", "the", "Company", ")", ",", "assigns", ",", "spouses", ",", "heirs", "and", "personal", "and", "legal", "representatives", ".", "The", "Company", "shall", "require", "and", "cause", "any", "successor", "(", "whether", "direct", "or", "indirect", "by", "purchase", ",", "merger", ",", "consolidation", ",", "reorganization", "or", "otherwise", ")", "to", "all", ",", "substantially", "all", "or", "a", "substantial", "part", ",", "of", "the", "business", "and", "/", "or", "assets", "of", "the", "Company", ",", "by", "written", "agreement", "in", "form", "and", "substance", "satisfactory", "to", "Indemnitee", ",", "expressly", "to", "assume", "and", "agree", "to", "perform", "this", "Agreement", "in", "the", "same", "manner", "and", "to", "the", "same", "extent", "that", "the", "Company", "would", "be", "required", "to", "perform", "if", "no", "such", "succession", "had", "taken", "place", ".", "The", "indemnification", "provided", "under", "this", "Agreement", "shall", "continue", "as", "to", "Indemnitee", "for", "any", "action", "taken", "or", "not", "taken", "while", "serving", "in", "an", "indemnified", "capacity", "pertaining", "to", "an", "Indemnifiable", "Event", "even", "though", "Indemnitee", "may", "have", "ceased", "to", "serve", "in", "such", "capacity", "at", "the", "time", "of", "any", "Proceeding", "."]}
{"id": "13542", "text": "20\\. Counterparts. This Agreement may be executed in counterparts, each of which shall be deemed an original, but all of which together shall constitute one and the same instrument.", "ner": [], "tokenized_text": ["20", "\\", ".", "Counterparts", ".", "This", "Agreement", "may", "be", "executed", "in", "counterparts", ",", "each", "of", "which", "shall", "be", "deemed", "an", "original", ",", "but", "all", "of", "which", "together", "shall", "constitute", "one", "and", "the", "same", "instrument", "."]}
{"id": "13543", "text": "This Undertaking is submitted pursuant to the Indemnification Agreement, dated as of , (the Indemnification Agreement), between comScore, Inc. , a Delaware corporation (the Company), and the undersigned. Capitalized terms used and not otherwise defined herein have the meanings ascribed to such terms in the Indemnification Agreement.", "ner": [[7, 8, "Title"], [21, 24, "Parties"]], "tokenized_text": ["This", "Undertaking", "is", "submitted", "pursuant", "to", "the", "Indemnification", "Agreement", ",", "dated", "as", "of", ",", "(", "the", "Indemnification", "Agreement", ")", ",", "between", "comScore", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "the", "Company", ")", ",", "and", "the", "undersigned", ".", "Capitalized", "terms", "used", "and", "not", "otherwise", "defined", "herein", "have", "the", "meanings", "ascribed", "to", "such", "terms", "in", "the", "Indemnification", "Agreement", "."]}
{"id": "13544", "text": "This Indemnification Agreement (this Agreement) is dated as of ________________ (the Effective Date), and is between Rimini Street, Inc. , a Delaware corporation (the Company), and ________________________________ (Indemnitee).", "ner": [[1, 2, "Title"], [21, 25, "Parties"]], "tokenized_text": ["This", "Indemnification", "Agreement", "(", "this", "Agreement", ")", "is", "dated", "as", "of", "________________", "(", "the", "Effective", "Date", ")", ",", "and", "is", "between", "Rimini", "Street", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "the", "Company", ")", ",", "and", "________________________________", "(", "Indemnitee", ")", "."]}
{"id": "13547", "text": "(2) Beneficial Owner shall have the meaning given to such term in Rule 13d-3 under the Securities Exchange Act of 1934 , as amended; provided, however, that Beneficial Owner shall exclude any Person otherwise becoming a Beneficial Owner by reason of (i) the stockholders of the Company approving a merger of the Company with another entity or (ii) the Companys board of directors approving a sale of securities by the Company to such Person.", "ner": [[14, 15, "Regulation"], [18, 22, "Act"]], "tokenized_text": ["(", "2", ")", "Beneficial", "Owner", "shall", "have", "the", "meaning", "given", "to", "such", "term", "in", "Rule", "13d-3", "under", "the", "Securities", "Exchange", "Act", "of", "1934", ",", "as", "amended", ";", "provided", ",", "however", ",", "that", "Beneficial", "Owner", "shall", "exclude", "any", "Person", "otherwise", "becoming", "a", "Beneficial", "Owner", "by", "reason", "of", "(", "i", ")", "the", "stockholders", "of", "the", "Company", "approving", "a", "merger", "of", "the", "Company", "with", "another", "entity", "or", "(", "ii", ")", "the", "Companys", "board", "of", "directors", "approving", "a", "sale", "of", "securities", "by", "the", "Company", "to", "such", "Person", "."]}
{"id": "13548", "text": "(b) for an accounting or disgorgement of profits pursuant to Section 16(b) of the Securities Exchange Act of 1934 , as amended, or similar provisions of federal, state or local statutory law or common law, if Indemnitee is held liable therefor (including pursuant to any settlement arrangements);", "ner": [[12, 16, "Regulation"], [19, 23, "Act"]], "tokenized_text": ["(", "b", ")", "for", "an", "accounting", "or", "disgorgement", "of", "profits", "pursuant", "to", "Section", "16", "(", "b", ")", "of", "the", "Securities", "Exchange", "Act", "of", "1934", ",", "as", "amended", ",", "or", "similar", "provisions", "of", "federal", ",", "state", "or", "local", "statutory", "law", "or", "common", "law", ",", "if", "Indemnitee", "is", "held", "liable", "therefor", "(", "including", "pursuant", "to", "any", "settlement", "arrangements", ")", ";"]}
{"id": "13549", "text": "(c) for any reimbursement of the Company by Indemnitee of any bonus or other incentive-based or equity-based compensation or of any profits realized by Indemnitee from the sale of securities of the Company, as required in each case under the Securities Exchange Act of 1934 , as amended (including any such reimbursements that arise from an accounting restatement of the Company pursuant to Section 304 of the Sarbanes- Oxley Act of 2002 (the Sarbanes-Oxley Act), or the payment to the Company of profits arising from the purchase and sale by Indemnitee of securities in violation of Section 306 of the Sarbanes- Oxley Act), if Indemnitee is held liable therefor (including pursuant to any settlement arrangements);", "ner": [[43, 47, "Act"], [67, 68, "Regulation"], [71, 76, "Act"], [79, 80, "Act"], [104, 105, "Regulation"]], "tokenized_text": ["(", "c", ")", "for", "any", "reimbursement", "of", "the", "Company", "by", "Indemnitee", "of", "any", "bonus", "or", "other", "incentive-based", "or", "equity-based", "compensation", "or", "of", "any", "profits", "realized", "by", "Indemnitee", "from", "the", "sale", "of", "securities", "of", "the", "Company", ",", "as", "required", "in", "each", "case", "under", "the", "Securities", "Exchange", "Act", "of", "1934", ",", "as", "amended", "(", "including", "any", "such", "reimbursements", "that", "arise", "from", "an", "accounting", "restatement", "of", "the", "Company", "pursuant", "to", "Section", "304", "of", "the", "Sarbanes", "-", "Oxley", "Act", "of", "2002", "(", "the", "Sarbanes-Oxley", "Act", ")", ",", "or", "the", "payment", "to", "the", "Company", "of", "profits", "arising", "from", "the", "purchase", "and", "sale", "by", "Indemnitee", "of", "securities", "in", "violation", "of", "Section", "306", "of", "the", "Sarbanes", "-", "Oxley", "Act", ")", ",", "if", "Indemnitee", "is", "held", "liable", "therefor", "(", "including", "pursuant", "to", "any", "settlement", "arrangements", ")", ";"]}
{"id": "13550", "text": "(a) Subject to Section 12(e), in the event that (i) a determination is made pursuant to Section 10, above, that Indemnitee is not entitled to indemnification under this Agreement, (ii) advancement of Expenses is not timely made pursuant to Section 8, above, or 12(d), below, (iii) no determination of entitlement to indemnification shall have been made pursuant to Section 10, above, within 90 days after the later of the receipt by the Company of the request for indemnification or the final disposition of the Proceeding, (iv) payment of indemnification pursuant to this Agreement is not made (A) within ten (10) days after a determination has been made that Indemnitee is entitled to indemnification or (B) with respect to indemnification pursuant to Sections 4 or 5, above, and 12(d), below, within 30 days after receipt by the Company of a written request therefor, or (v) the Company or any other person or entity takes or threatens to take any action to declare this Agreement void or unenforceable, or institutes any litigation or other action or proceeding to deny, or to recover from, Indemnitee the benefits provided or intended to be provided to Indemnitee hereunder, Indemnitee shall be entitled to an adjudication in a court of competent jurisdiction of his or her entitlement to such indemnification or advancement of Expenses. Alternatively, Indemnitee, at his or her option, may seek an award in arbitration with respect to his or her entitlement to such indemnification or advancement of Expenses, to be conducted by a single arbitrator pursuant to the Commercial Arbitration Rules of the American Arbitration Association. Indemnitee shall commence such proceeding seeking an adjudication or an award in arbitration within 180 days following the date on which Indemnitee first has the right to commence such proceeding pursuant to this Section 12(a); provided, however, that the foregoing clause shall not apply in respect of a proceeding brought by Indemnitee to enforce his or her rights under Section 4, above. The Company shall not oppose Indemnitees right to seek any such adjudication or award in arbitration in accordance with this Agreement.", "ner": [[307, 309, "Regulation"], [312, 314, "Court"]], "tokenized_text": ["(", "a", ")", "Subject", "to", "Section", "12", "(", "e", ")", ",", "in", "the", "event", "that", "(", "i", ")", "a", "determination", "is", "made", "pursuant", "to", "Section", "10", ",", "above", ",", "that", "Indemnitee", "is", "not", "entitled", "to", "indemnification", "under", "this", "Agreement", ",", "(", "ii", ")", "advancement", "of", "Expenses", "is", "not", "timely", "made", "pursuant", "to", "Section", "8", ",", "above", ",", "or", "12", "(", "d", ")", ",", "below", ",", "(", "iii", ")", "no", "determination", "of", "entitlement", "to", "indemnification", "shall", "have", "been", "made", "pursuant", "to", "Section", "10", ",", "above", ",", "within", "90", "days", "after", "the", "later", "of", "the", "receipt", "by", "the", "Company", "of", "the", "request", "for", "indemnification", "or", "the", "final", "disposition", "of", "the", "Proceeding", ",", "(", "iv", ")", "payment", "of", "indemnification", "pursuant", "to", "this", "Agreement", "is", "not", "made", "(", "A", ")", "within", "ten", "(", "10", ")", "days", "after", "a", "determination", "has", "been", "made", "that", "Indemnitee", "is", "entitled", "to", "indemnification", "or", "(", "B", ")", "with", "respect", "to", "indemnification", "pursuant", "to", "Sections", "4", "or", "5", ",", "above", ",", "and", "12", "(", "d", ")", ",", "below", ",", "within", "30", "days", "after", "receipt", "by", "the", "Company", "of", "a", "written", "request", "therefor", ",", "or", "(", "v", ")", "the", "Company", "or", "any", "other", "person", "or", "entity", "takes", "or", "threatens", "to", "take", "any", "action", "to", "declare", "this", "Agreement", "void", "or", "unenforceable", ",", "or", "institutes", "any", "litigation", "or", "other", "action", "or", "proceeding", "to", "deny", ",", "or", "to", "recover", "from", ",", "Indemnitee", "the", "benefits", "provided", "or", "intended", "to", "be", "provided", "to", "Indemnitee", "hereunder", ",", "Indemnitee", "shall", "be", "entitled", "to", "an", "adjudication", "in", "a", "court", "of", "competent", "jurisdiction", "of", "his", "or", "her", "entitlement", "to", "such", "indemnification", "or", "advancement", "of", "Expenses", ".", "Alternatively", ",", "Indemnitee", ",", "at", "his", "or", "her", "option", ",", "may", "seek", "an", "award", "in", "arbitration", "with", "respect", "to", "his", "or", "her", "entitlement", "to", "such", "indemnification", "or", "advancement", "of", "Expenses", ",", "to", "be", "conducted", "by", "a", "single", "arbitrator", "pursuant", "to", "the", "Commercial", "Arbitration", "Rules", "of", "the", "American", "Arbitration", "Association", ".", "Indemnitee", "shall", "commence", "such", "proceeding", "seeking", "an", "adjudication", "or", "an", "award", "in", "arbitration", "within", "180", "days", "following", "the", "date", "on", "which", "Indemnitee", "first", "has", "the", "right", "to", "commence", "such", "proceeding", "pursuant", "to", "this", "Section", "12", "(", "a", ")", ";", "provided", ",", "however", ",", "that", "the", "foregoing", "clause", "shall", "not", "apply", "in", "respect", "of", "a", "proceeding", "brought", "by", "Indemnitee", "to", "enforce", "his", "or", "her", "rights", "under", "Section", "4", ",", "above", ".", "The", "Company", "shall", "not", "oppose", "Indemnitees", "right", "to", "seek", "any", "such", "adjudication", "or", "award", "in", "arbitration", "in", "accordance", "with", "this", "Agreement", "."]}
{"id": "13551", "text": "21. Successors. This Agreement shall be binding upon the Company and its successors and assigns, including any direct or indirect successor by purchase, merger, consolidation or otherwise to all or substantially all of the business or assets of the Company, and shall inure to the benefit of Indemnitee and Indemnitees heirs, executors and administrators. The Company shall require and cause any successor (whether direct or indirect by purchase, merger, consolidation or otherwise) to all or substantially all of the business or assets of the Company, by written agreement, expressly to assume and agree to perform this Agreement in the same manner and to the same extent that the Company would be required to perform if no such succession had taken place.", "ner": [], "tokenized_text": ["21", ".", "Successors", ".", "This", "Agreement", "shall", "be", "binding", "upon", "the", "Company", "and", "its", "successors", "and", "assigns", ",", "including", "any", "direct", "or", "indirect", "successor", "by", "purchase", ",", "merger", ",", "consolidation", "or", "otherwise", "to", "all", "or", "substantially", "all", "of", "the", "business", "or", "assets", "of", "the", "Company", ",", "and", "shall", "inure", "to", "the", "benefit", "of", "Indemnitee", "and", "Indemnitees", "heirs", ",", "executors", "and", "administrators", ".", "The", "Company", "shall", "require", "and", "cause", "any", "successor", "(", "whether", "direct", "or", "indirect", "by", "purchase", ",", "merger", ",", "consolidation", "or", "otherwise", ")", "to", "all", "or", "substantially", "all", "of", "the", "business", "or", "assets", "of", "the", "Company", ",", "by", "written", "agreement", ",", "expressly", "to", "assume", "and", "agree", "to", "perform", "this", "Agreement", "in", "the", "same", "manner", "and", "to", "the", "same", "extent", "that", "the", "Company", "would", "be", "required", "to", "perform", "if", "no", "such", "succession", "had", "taken", "place", "."]}
{"id": "13553", "text": "28. Counterparts. This Agreement may be executed in one or more counterparts, each of which shall for all purposes be deemed to be an original but all of which together shall constitute one and the same Agreement. This Agreement may also be executed and delivered by facsimile signature and in counterparts, each of which shall for all purposes be deemed to be an original but all of which together shall constitute one and the same Agreement. Only one such counterpart signed by the party against whom enforceability is sought needs to be produced to evidence the existence of this Agreement.", "ner": [], "tokenized_text": ["28", ".", "Counterparts", ".", "This", "Agreement", "may", "be", "executed", "in", "one", "or", "more", "counterparts", ",", "each", "of", "which", "shall", "for", "all", "purposes", "be", "deemed", "to", "be", "an", "original", "but", "all", "of", "which", "together", "shall", "constitute", "one", "and", "the", "same", "Agreement", ".", "This", "Agreement", "may", "also", "be", "executed", "and", "delivered", "by", "facsimile", "signature", "and", "in", "counterparts", ",", "each", "of", "which", "shall", "for", "all", "purposes", "be", "deemed", "to", "be", "an", "original", "but", "all", "of", "which", "together", "shall", "constitute", "one", "and", "the", "same", "Agreement", ".", "Only", "one", "such", "counterpart", "signed", "by", "the", "party", "against", "whom", "enforceability", "is", "sought", "needs", "to", "be", "produced", "to", "evidence", "the", "existence", "of", "this", "Agreement", "."]}
{"id": "13558", "text": "(a)Executive covenants that during Executives employment with the Company and for a period of two (2) years following the termination of Executives employment, for any reason, Executive will not, except with the prior written consent of the President and CEO, directly or indirectly own, manage, operate, join, control, finance or participate in the ownership, management, operation, control or financing of, or be connected as an officer, director, employee, partner, principal, agent, representative, consultant or otherwise with, or use or permit his name to be used in connection with, any business or enterprise that is engaged in a Competing Enterprise, which is defined as an entity whose operations are conducted within the ski industry in North America.For the sake of clarity, real estate companies which are not owned, directly or indirectly, by an entity in the ski industry are not considered a Competing Enterprise for the purposes of this Agreement, and an entity shall not be deemed to be in the ski industry solely by virtue of developing residential or lodging facilities which may be in or near ski areas or used in whole or part by skiers. The foregoing restrictions shall not be construed to prohibit the ownership by Executive of less than five percent (5%) of any class of securities of any corporation which is engaged in any of the foregoing businesses having a class of securities registered pursuant to the Securities Exchange Act of 1934 (the Exchange Act), provided that such ownership represents a passive investment and that neither Executive nor any group of persons including Executive in any way, either directly or indirectly, manages or exercises control of any such corporation, guarantees any of its financial obligations, otherwise takes any part in its business (other than exercising his rights as a shareholder), or seeks to do any of the foregoing.", "ner": [[45, 45, "Role"], [47, 47, "Role"], [241, 243, "Percentage"], [270, 274, "Act"]], "tokenized_text": ["(", "a", ")", "Executive", "covenants", "that", "during", "Executives", "employment", "with", "the", "Company", "and", "for", "a", "period", "of", "two", "(", "2", ")", "years", "following", "the", "termination", "of", "Executives", "employment", ",", "for", "any", "reason", ",", "Executive", "will", "not", ",", "except", "with", "the", "prior", "written", "consent", "of", "the", "President", "and", "CEO", ",", "directly", "or", "indirectly", "own", ",", "manage", ",", "operate", ",", "join", ",", "control", ",", "finance", "or", "participate", "in", "the", "ownership", ",", "management", ",", "operation", ",", "control", "or", "financing", "of", ",", "or", "be", "connected", "as", "an", "officer", ",", "director", ",", "employee", ",", "partner", ",", "principal", ",", "agent", ",", "representative", ",", "consultant", "or", "otherwise", "with", ",", "or", "use", "or", "permit", "his", "name", "to", "be", "used", "in", "connection", "with", ",", "any", "business", "or", "enterprise", "that", "is", "engaged", "in", "a", "Competing", "Enterprise", ",", "which", "is", "defined", "as", "an", "entity", "whose", "operations", "are", "conducted", "within", "the", "ski", "industry", "in", "North", "America", ".", "For", "the", "sake", "of", "clarity", ",", "real", "estate", "companies", "which", "are", "not", "owned", ",", "directly", "or", "indirectly", ",", "by", "an", "entity", "in", "the", "ski", "industry", "are", "not", "considered", "a", "Competing", "Enterprise", "for", "the", "purposes", "of", "this", "Agreement", ",", "and", "an", "entity", "shall", "not", "be", "deemed", "to", "be", "in", "the", "ski", "industry", "solely", "by", "virtue", "of", "developing", "residential", "or", "lodging", "facilities", "which", "may", "be", "in", "or", "near", "ski", "areas", "or", "used", "in", "whole", "or", "part", "by", "skiers", ".", "The", "foregoing", "restrictions", "shall", "not", "be", "construed", "to", "prohibit", "the", "ownership", "by", "Executive", "of", "less", "than", "five", "percent", "(", "5", "%", ")", "of", "any", "class", "of", "securities", "of", "any", "corporation", "which", "is", "engaged", "in", "any", "of", "the", "foregoing", "businesses", "having", "a", "class", "of", "securities", "registered", "pursuant", "to", "the", "Securities", "Exchange", "Act", "of", "1934", "(", "the", "Exchange", "Act", ")", ",", "provided", "that", "such", "ownership", "represents", "a", "passive", "investment", "and", "that", "neither", "Executive", "nor", "any", "group", "of", "persons", "including", "Executive", "in", "any", "way", ",", "either", "directly", "or", "indirectly", ",", "manages", "or", "exercises", "control", "of", "any", "such", "corporation", ",", "guarantees", "any", "of", "its", "financial", "obligations", ",", "otherwise", "takes", "any", "part", "in", "its", "business", "(", "other", "than", "exercising", "his", "rights", "as", "a", "shareholder", ")", ",", "or", "seeks", "to", "do", "any", "of", "the", "foregoing", "."]}
{"id": "13559", "text": "(b) For purposes of this Section 6(b), Company Inventions means all ideas, processes, trademarks and service marks, inventions, discoveries, and improvements to any of the foregoing, that Executive learns of, conceives, develops or creates alone or with others during Executives employment with the Company (whether or not conceived, developed or created during regular working hours) that directly or indirectly arise from or relate to:(i) the Companys business, products or services; or (ii) work performed for the Company by Executive or any other Company employee, agent or contractor; or (iii) the use of the Companys property or time; or (iv) access to the Companys Confidential Information. Executive hereby assigns to the Company Executives entire right, title and interest in all Company Inventions, which shall be the sole and exclusive property of the Company whether or not subject to patent, copyright, trademark or trade secret protection.Executive also acknowledges that all original works of authorship that are made by Executive (solely or jointly with others), within the scope of Executives employment with the Company, and that are protectable by copyright, are works made for hire, as that term is defined in the United States Copyright Act ( 17 U.S.C. . 101, et", "ner": [[234, 237, "Act"], [239, 247, "Regulation"]], "tokenized_text": ["(", "b", ")", "For", "purposes", "of", "this", "Section", "6", "(", "b", ")", ",", "Company", "Inventions", "means", "all", "ideas", ",", "processes", ",", "trademarks", "and", "service", "marks", ",", "inventions", ",", "discoveries", ",", "and", "improvements", "to", "any", "of", "the", "foregoing", ",", "that", "Executive", "learns", "of", ",", "conceives", ",", "develops", "or", "creates", "alone", "or", "with", "others", "during", "Executives", "employment", "with", "the", "Company", "(", "whether", "or", "not", "conceived", ",", "developed", "or", "created", "during", "regular", "working", "hours", ")", "that", "directly", "or", "indirectly", "arise", "from", "or", "relate", "to", ":", "(", "i", ")", "the", "Companys", "business", ",", "products", "or", "services", ";", "or", "(", "ii", ")", "work", "performed", "for", "the", "Company", "by", "Executive", "or", "any", "other", "Company", "employee", ",", "agent", "or", "contractor", ";", "or", "(", "iii", ")", "the", "use", "of", "the", "Companys", "property", "or", "time", ";", "or", "(", "iv", ")", "access", "to", "the", "Companys", "Confidential", "Information", ".", "Executive", "hereby", "assigns", "to", "the", "Company", "Executives", "entire", "right", ",", "title", "and", "interest", "in", "all", "Company", "Inventions", ",", "which", "shall", "be", "the", "sole", "and", "exclusive", "property", "of", "the", "Company", "whether", "or", "not", "subject", "to", "patent", ",", "copyright", ",", "trademark", "or", "trade", "secret", "protection", ".", "Executive", "also", "acknowledges", "that", "all", "original", "works", "of", "authorship", "that", "are", "made", "by", "Executive", "(", "solely", "or", "jointly", "with", "others", ")", ",", "within", "the", "scope", "of", "Executives", "employment", "with", "the", "Company", ",", "and", "that", "are", "protectable", "by", "copyright", ",", "are", "works", "made", "for", "hire", ",", "as", "that", "term", "is", "defined", "in", "the", "United", "States", "Copyright", "Act", "(", "17", "U", ".", "S", ".", "C", ".", ".", "101", ",", "et"]}
{"id": "13560", "text": "Following the termination of Executives employment, for any reason, Executive shall not make any statements disparaging of any of the Companies, their respective boards, their businesses, and the officers, directors, stockholders, or employees of any of the Companies or the Associations. In response to inquiries from prospective employers, which shall be referred by Executive only to the President and CEO, the Company shall confirm only dates of employment, job title, and job responsibilities. Subject to the terms of this Section 7, Executive , as appropriate, may respond truthfully to inquiries from prospective employers of Executive, and the Company and Executive may respond truthfully as may be required by any governmental or judicial body acting in its official capacity. Nothing in this Agreement shall prohibit Executive from responding to a subpoena, court order or similar legal process; provided, however, that prior to Executive making any disclosures required by a subpoena or other court order relating to the Company, Executive shall provide the Company with written notice of the subpoena, court order or similar legal process sufficiently in advance of such disclosure to afford the Company a reasonable opportunity to challenge the subpoena, court order or similar legal process.", "ner": [[67, 67, "Role"], [69, 69, "Role"]], "tokenized_text": ["Following", "the", "termination", "of", "Executives", "employment", ",", "for", "any", "reason", ",", "Executive", "shall", "not", "make", "any", "statements", "disparaging", "of", "any", "of", "the", "Companies", ",", "their", "respective", "boards", ",", "their", "businesses", ",", "and", "the", "officers", ",", "directors", ",", "stockholders", ",", "or", "employees", "of", "any", "of", "the", "Companies", "or", "the", "Associations", ".", "In", "response", "to", "inquiries", "from", "prospective", "employers", ",", "which", "shall", "be", "referred", "by", "Executive", "only", "to", "the", "President", "and", "CEO", ",", "the", "Company", "shall", "confirm", "only", "dates", "of", "employment", ",", "job", "title", ",", "and", "job", "responsibilities", ".", "Subject", "to", "the", "terms", "of", "this", "Section", "7", ",", "Executive", ",", "as", "appropriate", ",", "may", "respond", "truthfully", "to", "inquiries", "from", "prospective", "employers", "of", "Executive", ",", "and", "the", "Company", "and", "Executive", "may", "respond", "truthfully", "as", "may", "be", "required", "by", "any", "governmental", "or", "judicial", "body", "acting", "in", "its", "official", "capacity", ".", "Nothing", "in", "this", "Agreement", "shall", "prohibit", "Executive", "from", "responding", "to", "a", "subpoena", ",", "court", "order", "or", "similar", "legal", "process", ";", "provided", ",", "however", ",", "that", "prior", "to", "Executive", "making", "any", "disclosures", "required", "by", "a", "subpoena", "or", "other", "court", "order", "relating", "to", "the", "Company", ",", "Executive", "shall", "provide", "the", "Company", "with", "written", "notice", "of", "the", "subpoena", ",", "court", "order", "or", "similar", "legal", "process", "sufficiently", "in", "advance", "of", "such", "disclosure", "to", "afford", "the", "Company", "a", "reasonable", "opportunity", "to", "challenge", "the", "subpoena", ",", "court", "order", "or", "similar", "legal", "process", "."]}
{"id": "13561", "text": "PEAK RESORTS, INC .:", "ner": [[0, 4, "Parties"]], "tokenized_text": ["PEAK", "RESORTS", ",", "INC", ".", ":"]}
{"id": "13565", "text": "(d) Applicable Law. This Agreement shall be governed by, and construed and interpreted in accordance with, the law of the State of Missouri. ---|---", "ner": [[25, 27, "Court"]], "tokenized_text": ["(", "d", ")", "Applicable", "Law", ".", "This", "Agreement", "shall", "be", "governed", "by", ",", "and", "construed", "and", "interpreted", "in", "accordance", "with", ",", "the", "law", "of", "the", "State", "of", "Missouri", ".", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "13567", "text": "This MANAGEMENT AGREEMENT (as amended, restated, modified or supplemented from time to time, this Agreement) is made as of January7, 2014 by and between WTG Holdings I Corp. , a Delaware corporation (the Company), WTG Holdings III Corp., a Delaware corporation and indirect wholly-owned subsidiary of the Company (WTG III), and AEA Investors LP, a Delaware limited partnership (AEA and, together with the Company and WTG III, the Parties).", "ner": [[1, 2, "Title"], [24, 26, "EffectiveDate"], [30, 34, "Parties"], [44, 48, "Parties"], [66, 68, "Parties"]], "tokenized_text": ["This", "MANAGEMENT", "AGREEMENT", "(", "as", "amended", ",", "restated", ",", "modified", "or", "supplemented", "from", "time", "to", "time", ",", "this", "Agreement", ")", "is", "made", "as", "of", "January7", ",", "2014", "by", "and", "between", "WTG", "Holdings", "I", "Corp", ".", ",", "a", "Delaware", "corporation", "(", "the", "Company", ")", ",", "WTG", "Holdings", "III", "Corp", ".", ",", "a", "Delaware", "corporation", "and", "indirect", "wholly-owned", "subsidiary", "of", "the", "Company", "(", "WTG", "III", ")", ",", "and", "AEA", "Investors", "LP", ",", "a", "Delaware", "limited", "partnership", "(", "AEA", "and", ",", "together", "with", "the", "Company", "and", "WTG", "III", ",", "the", "Parties", ")", "."]}
{"id": "13570", "text": "In addition to the foregoing, the Company and WTG III hereby acknowledge that certain of the Indemnified Persons may have rights to indemnification, advancement of expenses and/or insurance provided by certain of their respective affiliates (collectively, the Fund Indemnitors). The Company and WTG III hereby agree that (i)they are the indemnitor of first resort (i.e., their obligations to the Indemnified Persons are primary and any obligation of the Fund Indemnitors to advance expenses or to provide indemnification for the same payment of expenses or liabilities incurred by any Indemnified Person are secondary), and (ii)no payment by the Fund Indemnitors on behalf of any Indemnified Person with respect to any claim for which such Indemnified Person has sought indemnification from the Company and/or WTG III hereunder shall affect the foregoing and the Fund Indemnitors shall have a right of contribution and/or subrogation to the extent of payment to all of the rights of recovery of such Indemnified Person against the Company and/or WTG III. The Company, WTG III and the Indemnified Persons agree that the Fund Indemnitors are express and intended third party beneficiaries of this paragraph.", "ner": [[9, 10, "Parties"]], "tokenized_text": ["In", "addition", "to", "the", "foregoing", ",", "the", "Company", "and", "WTG", "III", "hereby", "acknowledge", "that", "certain", "of", "the", "Indemnified", "Persons", "may", "have", "rights", "to", "indemnification", ",", "advancement", "of", "expenses", "and", "/", "or", "insurance", "provided", "by", "certain", "of", "their", "respective", "affiliates", "(", "collectively", ",", "the", "Fund", "Indemnitors", ")", ".", "The", "Company", "and", "WTG", "III", "hereby", "agree", "that", "(", "i", ")", "they", "are", "the", "indemnitor", "of", "first", "resort", "(", "i", ".", "e", ".", ",", "their", "obligations", "to", "the", "Indemnified", "Persons", "are", "primary", "and", "any", "obligation", "of", "the", "Fund", "Indemnitors", "to", "advance", "expenses", "or", "to", "provide", "indemnification", "for", "the", "same", "payment", "of", "expenses", "or", "liabilities", "incurred", "by", "any", "Indemnified", "Person", "are", "secondary", ")", ",", "and", "(", "ii", ")", "no", "payment", "by", "the", "Fund", "Indemnitors", "on", "behalf", "of", "any", "Indemnified", "Person", "with", "respect", "to", "any", "claim", "for", "which", "such", "Indemnified", "Person", "has", "sought", "indemnification", "from", "the", "Company", "and", "/", "or", "WTG", "III", "hereunder", "shall", "affect", "the", "foregoing", "and", "the", "Fund", "Indemnitors", "shall", "have", "a", "right", "of", "contribution", "and", "/", "or", "subrogation", "to", "the", "extent", "of", "payment", "to", "all", "of", "the", "rights", "of", "recovery", "of", "such", "Indemnified", "Person", "against", "the", "Company", "and", "/", "or", "WTG", "III", ".", "The", "Company", ",", "WTG", "III", "and", "the", "Indemnified", "Persons", "agree", "that", "the", "Fund", "Indemnitors", "are", "express", "and", "intended", "third", "party", "beneficiaries", "of", "this", "paragraph", "."]}
{"id": "13571", "text": "This Indemnification Agreement , made and entered into as of October, 2017 (the Agreement), by and between WatchGuard, Inc. , a Delaware corporation (the Company), and (the Indemnitee):", "ner": [[1, 2, "Title"], [10, 12, "EffectiveDate"], [21, 24, "Parties"]], "tokenized_text": ["This", "Indemnification", "Agreement", ",", "made", "and", "entered", "into", "as", "of", "October", ",", "2017", "(", "the", "Agreement", ")", ",", "by", "and", "between", "WatchGuard", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "the", "Company", ")", ",", "and", "(", "the", "Indemnitee", ")", ":"]}
{"id": "13572", "text": "the direct or indirect beneficial ownership (as defined in Rule 13d-3 under the Securities Exchange Act of 1934 , as amended (the Exchange Act)) in the aggregate of securities of the Company representing fifty percent (50%) or more of the total combined voting power of the Companys then issued and outstanding securities is acquired by any person or entity, or group of associated persons or entities acting in concert; provided, however, that for purposes hereof, the following acquisitions shall not constitute a Change of Control: (A)any ---|---|---", "ner": [[10, 11, "Regulation"], [14, 18, "Act"], [40, 41, "Percentage"]], "tokenized_text": ["the", "direct", "or", "indirect", "beneficial", "ownership", "(", "as", "defined", "in", "Rule", "13d-3", "under", "the", "Securities", "Exchange", "Act", "of", "1934", ",", "as", "amended", "(", "the", "Exchange", "Act", ")", ")", "in", "the", "aggregate", "of", "securities", "of", "the", "Company", "representing", "fifty", "percent", "(", "50", "%", ")", "or", "more", "of", "the", "total", "combined", "voting", "power", "of", "the", "Companys", "then", "issued", "and", "outstanding", "securities", "is", "acquired", "by", "any", "person", "or", "entity", ",", "or", "group", "of", "associated", "persons", "or", "entities", "acting", "in", "concert", ";", "provided", ",", "however", ",", "that", "for", "purposes", "hereof", ",", "the", "following", "acquisitions", "shall", "not", "constitute", "a", "Change", "of", "Control", ":", "(", "A", ")", "any", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "13574", "text": "SERVICES BY INDEMNITEE, NOTICE OF PROCEEDINGS", "ner": [], "tokenized_text": ["SERVICES", "BY", "INDEMNITEE", ",", "NOTICE", "OF", "PROCEEDINGS"]}
{"id": "13575", "text": "4.02 Proceedings Other Than Proceedings by or in the Right of the Company. Indemnitee shall be entitled to the rights of indemnification provided in this Section4.02 if, by reason of Indemnitees Corporate Status, Indemnitee was or is, or is threatened to be made, a party to or participant in any Proceeding, other than a Proceeding by or in the right of the Company. Indemnitee shall be indemnified against all Expenses actually and reasonably incurred by Indemnitee or on Indemnitees behalf in connection with such Proceeding or any claim, issue or matter therein, if Indemnitee acted in Good Faith.", "ner": [], "tokenized_text": ["4", ".", "02", "Proceedings", "Other", "Than", "Proceedings", "by", "or", "in", "the", "Right", "of", "the", "Company", ".", "Indemnitee", "shall", "be", "entitled", "to", "the", "rights", "of", "indemnification", "provided", "in", "this", "Section4", ".", "02", "if", ",", "by", "reason", "of", "Indemnitees", "Corporate", "Status", ",", "Indemnitee", "was", "or", "is", ",", "or", "is", "threatened", "to", "be", "made", ",", "a", "party", "to", "or", "participant", "in", "any", "Proceeding", ",", "other", "than", "a", "Proceeding", "by", "or", "in", "the", "right", "of", "the", "Company", ".", "Indemnitee", "shall", "be", "indemnified", "against", "all", "Expenses", "actually", "and", "reasonably", "incurred", "by", "Indemnitee", "or", "on", "Indemnitees", "behalf", "in", "connection", "with", "such", "Proceeding", "or", "any", "claim", ",", "issue", "or", "matter", "therein", ",", "if", "Indemnitee", "acted", "in", "Good", "Faith", "."]}
{"id": "13576", "text": "4.03 Proceedings by or in the Right of the Company. Indemnitee shall be entitled to the rights of indemnification provided in this Section4.03 if, by reason of Indemnitees Corporate Status, Indemnitee was or is, or is threatened to be made, a party to or is otherwise involved in any Proceeding brought by or in the right of the Company to procure a judgment in its favor. Indemnitee shall be indemnified against all Expenses actually and reasonably incurred by Indemnitee or on Indemnitees behalf in connection with such Proceeding or any claim, issue or matter therein, if Indemnitee acted in Good Faith. Notwithstanding the foregoing, no such indemnification shall be made in respect of any claim, issue or matter in such Proceeding as to which Indemnitee shall have been adjudged to be liable to the Company unless and only to the extent that the Court of Chancery of the State of Delaware or the court in which such action or suit was brought shall determine upon application that, despite the adjudication of liability but in view of all the circumstances of the case, such person is fairly and reasonably entitled to indemnity for such Expenses which the Court of Chancery of the State of Delaware or such other court shall deem proper.", "ner": [[158, 165, "Court"]], "tokenized_text": ["4", ".", "03", "Proceedings", "by", "or", "in", "the", "Right", "of", "the", "Company", ".", "Indemnitee", "shall", "be", "entitled", "to", "the", "rights", "of", "indemnification", "provided", "in", "this", "Section4", ".", "03", "if", ",", "by", "reason", "of", "Indemnitees", "Corporate", "Status", ",", "Indemnitee", "was", "or", "is", ",", "or", "is", "threatened", "to", "be", "made", ",", "a", "party", "to", "or", "is", "otherwise", "involved", "in", "any", "Proceeding", "brought", "by", "or", "in", "the", "right", "of", "the", "Company", "to", "procure", "a", "judgment", "in", "its", "favor", ".", "Indemnitee", "shall", "be", "indemnified", "against", "all", "Expenses", "actually", "and", "reasonably", "incurred", "by", "Indemnitee", "or", "on", "Indemnitees", "behalf", "in", "connection", "with", "such", "Proceeding", "or", "any", "claim", ",", "issue", "or", "matter", "therein", ",", "if", "Indemnitee", "acted", "in", "Good", "Faith", ".", "Notwithstanding", "the", "foregoing", ",", "no", "such", "indemnification", "shall", "be", "made", "in", "respect", "of", "any", "claim", ",", "issue", "or", "matter", "in", "such", "Proceeding", "as", "to", "which", "Indemnitee", "shall", "have", "been", "adjudged", "to", "be", "liable", "to", "the", "Company", "unless", "and", "only", "to", "the", "extent", "that", "the", "Court", "of", "Chancery", "of", "the", "State", "of", "Delaware", "or", "the", "court", "in", "which", "such", "action", "or", "suit", "was", "brought", "shall", "determine", "upon", "application", "that", ",", "despite", "the", "adjudication", "of", "liability", "but", "in", "view", "of", "all", "the", "circumstances", "of", "the", "case", ",", "such", "person", "is", "fairly", "and", "reasonably", "entitled", "to", "indemnity", "for", "such", "Expenses", "which", "the", "Court", "of", "Chancery", "of", "the", "State", "of", "Delaware", "or", "such", "other", "court", "shall", "deem", "proper", "."]}
{"id": "13577", "text": "| (c) | Indemnitees reimbursement to the Company of any bonus or other incentive-based or equity-based compensation previously received by Indemnitee or payment of any profits realized by Indemnitee from the sale of securities of the Company, as required in each case under the Exchange Act ( including any such reimbursements under Section304 of the Sarbanes- Oxley Act of 2002 or Section954 of the Dodd-Frank Wall Street Reform and Consumer Protection Act in connection with an accounting restatement of the Company or the payment to the Company of profits arising from the purchase or sale by Indemnitee of securities in violation of Section306 of the Sarbanes- Oxley Act of 2002 ); ---|---|---", "ner": [[47, 48, "Act"], [58, 63, "Act"], [68, 75, "Act"]], "tokenized_text": ["|", "(", "c", ")", "|", "Indemnitees", "reimbursement", "to", "the", "Company", "of", "any", "bonus", "or", "other", "incentive-based", "or", "equity-based", "compensation", "previously", "received", "by", "Indemnitee", "or", "payment", "of", "any", "profits", "realized", "by", "Indemnitee", "from", "the", "sale", "of", "securities", "of", "the", "Company", ",", "as", "required", "in", "each", "case", "under", "the", "Exchange", "Act", "(", "including", "any", "such", "reimbursements", "under", "Section304", "of", "the", "Sarbanes", "-", "Oxley", "Act", "of", "2002", "or", "Section954", "of", "the", "Dodd-Frank", "Wall", "Street", "Reform", "and", "Consumer", "Protection", "Act", "in", "connection", "with", "an", "accounting", "restatement", "of", "the", "Company", "or", "the", "payment", "to", "the", "Company", "of", "profits", "arising", "from", "the", "purchase", "or", "sale", "by", "Indemnitee", "of", "securities", "in", "violation", "of", "Section306", "of", "the", "Sarbanes", "-", "Oxley", "Act", "of", "2002", ")", ";", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "13580", "text": "| | ---|---|--- If to Indemnitee, to: | | As shown with Indemnitees Signature below. | If to the Company to: | | WatchGuard, Inc. | | 415 Century Pkwy | | Allen, Texas 75013 | | Attn: General Counsel or to such other address as may have been furnished to Indemnitee by the Company or to the Company by Indemnitee, as the case may be.", "ner": [[37, 40, "Parties"], [43, 45, "Address"], [48, 51, "Address"], [56, 57, "PII_Ref"]], "tokenized_text": ["|", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "If", "to", "Indemnitee", ",", "to", ":", "|", "|", "As", "shown", "with", "Indemnitees", "Signature", "below", ".", "|", "If", "to", "the", "Company", "to", ":", "|", "|", "WatchGuard", ",", "Inc", ".", "|", "|", "415", "Century", "Pkwy", "|", "|", "Allen", ",", "Texas", "75013", "|", "|", "Attn", ":", "General", "Counsel", "or", "to", "such", "other", "address", "as", "may", "have", "been", "furnished", "to", "Indemnitee", "by", "the", "Company", "or", "to", "the", "Company", "by", "Indemnitee", ",", "as", "the", "case", "may", "be", "."]}
{"id": "13581", "text": "10.10 Entire Agreement. This Agreement constitutes the entire agreement and understanding between the parties hereto in reference to all the matters herein agreed upon. This Agreement replaces in full all prior indemnification agreements or understandings between the Company, including any of its subsidiaries, and the Indemnitee, and any all such prior agreements or understandings are hereby rescinded by mutual agreement.", "ner": [], "tokenized_text": ["10", ".", "10", "Entire", "Agreement", ".", "This", "Agreement", "constitutes", "the", "entire", "agreement", "and", "understanding", "between", "the", "parties", "hereto", "in", "reference", "to", "all", "the", "matters", "herein", "agreed", "upon", ".", "This", "Agreement", "replaces", "in", "full", "all", "prior", "indemnification", "agreements", "or", "understandings", "between", "the", "Company", ",", "including", "any", "of", "its", "subsidiaries", ",", "and", "the", "Indemnitee", ",", "and", "any", "all", "such", "prior", "agreements", "or", "understandings", "are", "hereby", "rescinded", "by", "mutual", "agreement", "."]}
{"id": "13582", "text": "Signature Page to Indemnification Agreement", "ner": [[3, 4, "Title"]], "tokenized_text": ["Signature", "Page", "to", "Indemnification", "Agreement"]}
{"id": "13586", "text": "/s/ Brian Martinho | ---|--- (Signature)", "ner": [[3, 4, "Parties"]], "tokenized_text": ["/", "s", "/", "Brian", "Martinho", "|", "-", "-", "-", "|", "-", "-", "-", "(", "Signature", ")"]}
{"id": "13587", "text": "Print Name: Brian Martinho", "ner": [], "tokenized_text": ["Print", "Name", ":", "Brian", "Martinho"]}
{"id": "13588", "text": "THIS INDEMNITY AGREEMENT (the Agreement) is made and entered into as of , 2017 , between Aquantia Corp. , a Delaware corporation (the Company), and (Indemnitee).", "ner": [[1, 2, "Title"], [18, 20, "Parties"]], "tokenized_text": ["THIS", "INDEMNITY", "AGREEMENT", "(", "the", "Agreement", ")", "is", "made", "and", "entered", "into", "as", "of", ",", "2017", ",", "between", "Aquantia", "Corp", ".", ",", "a", "Delaware", "corporation", "(", "the", "Company", ")", ",", "and", "(", "Indemnitee", ")", "."]}
{"id": "13591", "text": "(g) Exchange Act shall mean the Securities Exchange Act of 1934 , as amended.", "ner": [[3, 4, "Act"], [8, 12, "Act"]], "tokenized_text": ["(", "g", ")", "Exchange", "Act", "shall", "mean", "the", "Securities", "Exchange", "Act", "of", "1934", ",", "as", "amended", "."]}
{"id": "13592", "text": "(l) Securities Act shall mean the Securities Act of 1933 , as amended.", "ner": [[3, 4, "Act"], [8, 11, "Act"]], "tokenized_text": ["(", "l", ")", "Securities", "Act", "shall", "mean", "the", "Securities", "Act", "of", "1933", ",", "as", "amended", "."]}
{"id": "13593", "text": "18\\. Counterparts. This Agreement may be executed in two or more counterparts, each of which shall be deemed an original, but all of which together shall constitute one and the same Agreement. This Agreement may also be executed and delivered by facsimile signature and in two or more counterparts, each of which shall be deemed an original, but all of which together shall constitute one and the same instrument.", "ner": [], "tokenized_text": ["18", "\\", ".", "Counterparts", ".", "This", "Agreement", "may", "be", "executed", "in", "two", "or", "more", "counterparts", ",", "each", "of", "which", "shall", "be", "deemed", "an", "original", ",", "but", "all", "of", "which", "together", "shall", "constitute", "one", "and", "the", "same", "Agreement", ".", "This", "Agreement", "may", "also", "be", "executed", "and", "delivered", "by", "facsimile", "signature", "and", "in", "two", "or", "more", "counterparts", ",", "each", "of", "which", "shall", "be", "deemed", "an", "original", ",", "but", "all", "of", "which", "together", "shall", "constitute", "one", "and", "the", "same", "instrument", "."]}
{"id": "13594", "text": "This Indemnification Agreement (\"Agreement\"), dated as of __________________, is by and between in TEST Corporation , a Delaware corporation (the \"Company\") and ________________ (the \"Indemnitee\")", "ner": [[1, 2, "Title"], [19, 20, "Parties"]], "tokenized_text": ["This", "Indemnification", "Agreement", "(", "\"", "Agreement", "\"", ")", ",", "dated", "as", "of", "__________________", ",", "is", "by", "and", "between", "in", "TEST", "Corporation", ",", "a", "Delaware", "corporation", "(", "the", "\"", "Company", "\"", ")", "and", "________________", "(", "the", "\"", "Indemnitee", "\"", ")"]}
{"id": "13597", "text": "any inquiry, hearing or investigation that the Indemnitee determines might lead to the institution of any such action, suit, proceeding or alternative dispute resolution mechanism. (d)\"Delaware Court\" shall have the meaning ascribed to it in Section11(e) below. (e)\"Disinterested Director\" means a director of the Company who is not and was not a party to the Claim in respect of which indemnification is sought by Indemnitee. (f)\"Expenses\" means any and all expenses, including attorneys' and experts' fees, court costs, transcript costs, travel expenses, duplicating, printing and binding costs, telephone charges, and all other costs and expenses incurred in connection with investigating, defending, being a witness in or participating in (including on appeal), or preparing to defend, be a witness or participate in, any Claim. Expenses also shall include (i)Expenses incurred in connection with any appeal resulting from any Claim, including without limitation the premium, security for, and other costs relating to any cost bond, supersede as bond, or other appeal bond or its equivalent, and (ii)for purposes of Section6 only, Expenses incurred by Indemnitee in connection with the interpretation, enforcement or defense of Indemnitee's rights under this Agreement, by litigation or otherwise. Expenses, however, shall not include amounts paid in settlement by Indemnitee or the amount of judgments or fines against Indemnitee. (g)\"Expense Advance\" means any payment of Expenses advanced to Indemnitee by the Company pursuant to Section5 or Section6 hereof. (h)\"Indemnifiable Event\" means any event or occurrence, whether occurring before, on or after the date of this Agreement, related to the fact that Indemnitee is or was a director, officer, employee or agent of the Company or any subsidiary of the Company, or is or was serving at the request of the Company as a director, officer, employee, member, manager, trustee or agent of any other corporation, limited liability company, partnership, joint venture, trust or other entity or enterprise (collectively with the Company, \"Enterprise\") or by reason of an action or inaction by Indemnitee in any such capacity (whether or not serving in such capacity at the time any Loss is incurred for which indemnification can be provided under this Agreement). (i)\"Independent Counsel\" means a law firm, or a member of a law firm, that is experienced in matters of Delaware corporation law and neither presently performs, nor in the past five years has performed, services for either: (i)the Company or Indemnitee (other than in connection with matters concerning Indemnitee under this Agreement or of other indemnitees under similar agreements) or (ii)any other party to the Claim giving rise to a claim for indemnification hereunder. Notwithstanding the foregoing, the term \"Independent Counsel\" shall not include any person who, under the applicable standards of professional conduct then prevailing, would have a conflict of interest in representing either the Company or Indemnitee in an action to determine Indemnitee's rights under this Agreement. (j)\"Losses\" means any and all Expenses, damages, losses, liabilities, judgments, fines, penalties (whether civil, criminal or other), ERISA excise taxes, amounts paid or payable in settlement, including any interest, assessments, any federal, state, local or foreign taxes imposed as a result of the actual or deemed receipt of any payments under this Agreement and all other charges paid or payable in connection with investigating, defending, being a witness in or participating in (including on appeal), or preparing to defend, be a witness or participate in, any Claim. (k)\"Person\" means any individual, corporation, firm, partnership, joint venture, limited liability company, estate, trust, business association, organization, governmental entity or other entity and includes the meaning set forth in Sections13(d) and 14(d) of the Exchange Act. ( l)\"Standard of Conduct Determination\" shall have the meaning ascribed to it in Section10(b) below. (m)\"Voting Securities\" means any securities of the Company that vote generally in the election of directors. 2.Services to the Company.Indemnitee agrees to continue to serve as a director, officer or key employee of the Company, as the case may be, for so long as Indemnitee is duly elected, appointed or employed by the Company or until Indemnitee tenders his resignation or is no longer serving in such capacity. This Agreement shall not be deemed an employment agreement between the Company (or any of its subsidiaries or Enterprise) and Indemnitee. Indemnitee specifically acknowledges that his employment with and/or service to the Company or any of its subsidiaries or Enterprise is at will and the Indemnitee may be discharged at any time for any reason, with or without cause, except as may be otherwise provided in any written employment agreement between Indemnitee and the Company (or any of its subsidiaries or Enterprise), other applicable formal severance policies duly adopted by the Board or, with respect to service as a director or officer of the Company, by the Company's Constituent Documents or Delaware law. This Agreement shall continue in force after Indemnitee has ceased to serve as a director, officer or employee of the Company or, at the request of the Company, of any of its subsidiaries or Enterprise, as provided in Section13 hereof. 3.Indemnification.Subject to Section10 and Section11 of this Agreement, the Company shall indemnify Indemnitee, to the fullest extent permitted by the laws of the State of Delaware in effect on the date hereof, or as such laws may from time to time hereafter be amended to increase the scope of such permitted indemnification, against any and all Losses if Indemnitee was or is or becomes a party to or participant in, or is threatened to be made a party to or participant in, any Claim by reason of or arising in part out of an Indemnifiable Event, including, without limitation, Claims brought by or in the right of the Company, Claims brought by third parties, and Claims in which the Indemnitee is solely a witness. Without limiting the foregoing in any way, it is the intent of this Agreement to secure for Indemnitee rights of indemnity that are as favorable as may be permitted under Delaware law and public policy of the State of Delaware. 4.Contribution. (a)Whether or not the indemnification provided in this Agreement is available, in respect of any Claim in which the Company is jointly liable with Indemnitee (or would be if joined in such matter), the Company shall pay, in the first instance, the entire amount of any Losses without requiring Indemnitee to contribute to such payment and the Company hereby waives and relinquishes any right of contribution it may have against Indemnitee. The Company shall not enter into any settlement of any Claim in which the Company is jointly liable with Indemnitee (or would be if joined in such matter) unless such settlement provides for a full and final release of all claims asserted against Indemnitee. (b)Without diminishing or impairing the obligations of the Company set forth in the preceding subparagraph, if, for any reason, Indemnitee shall elect or be required to pay all or any portion of any judgment or settlement in any Claim in which the Company is jointly liable with Indemnitee (or would be if joined in such matter), the Company shall contribute to the amount of Losses actually and reasonably incurred and paid or payable by Indemnitee in proportion to the relative benefits received by the Company and all officers, directors or employees of the Company, other than Indemnitee, who are jointly liable with Indemnitee (or would be if joined in such matter), on the one hand, and Indemnitee, on the other hand, from the transaction from which such Claim; provided, however, that the proportion determined on the basis of relative benefit may, to the extent necessary to conform to law, be further adjusted by reference to the relative fault of the Company and all officers, directors or employees of the Company other than Indemnitee who are jointly liable with Indemnitee (or would be if joined in such action, suit or proceeding), on the one hand, and Indemnitee, on the other hand, in connection with the events that resulted in such Losses, as well as any other equitable considerations which law may require to be considered. The relative fault of the Company and all officers, directors or employees of the Company, other than Indemnitee, who are jointly liable with Indemnitee (or would be if joined in such action, suit or proceeding), on the one hand, and Indemnitee, on the other hand, shall be determined by reference to, among other things, the degree to which their actions were motivated by intent to gain personal profit or advantage, the degree to which their liability is primary or secondary and the degree to which their conduct is active or passive. (c)The Company hereby agrees to fully indemnify and hold Indemnitee harmless from any claims of contribution which may be brought by officers, directors or employees of the Company, other than Indemnitee, who may be jointly liable with Indemnitee. (d)To the fullest extent permissible under applicable law, if the indemnification provided for in this Agreement is unavailable to Indemnitee for any reason whatsoever, the Company, in lieu of indemnifying Indemnitee, shall contribute to the amount of Losses incurred by Indemnitee in connection with any Claim relating to an Indemnifiable Event under this Agreement, in such proportion as is deemed fair and reasonable in light of all of the circumstances of such Claim in order to reflect (i)the relative benefits received by the Company and Indemnitee as a result of the event(s) and/or transaction(s) giving cause to such Claim; and/or (ii)the relative fault of the Company (and its directors, officers, employees and agents) and Indemnitee in connection with such event(s) and/or transaction(s). 5.Advancement of Expenses.Indemnitee shall have the right to advancement by the Company, prior to the final disposition of any Claim by final adjudication to which there are no further rights of appeal, of any and all Expenses actually and reasonably paid or incurred by Indemnitee in connection with any Claim arising out of an Indemnifiable Event. Indemnitee's right to such advancement is not subject to the satisfaction of any standard of conduct. Without limiting the generality or effect of the foregoing, within thirty (30) days after any request by Indemnitee, the Company shall, in accordance with such request, (a)pay such Expenses on behalf of Indemnitee, (b)advance to Indemnitee funds in an amount sufficient to pay such Expenses, or (c)reimburse Indemnitee for such Expenses. In connection with any request for Expense Advances, Indemnitee shall not be required to provide any documentation or information to the extent that the provision thereof would undermine or otherwise jeopardize attorney-client privilege. In connection with any request for Expense Advances, Indemnitee shall execute and deliver to the Company an undertaking (which shall be accepted without reference to Indemnitee's ability to repay the Expense Advances), in the form attached hereto as ExhibitA, to repay any amounts paid, advanced, or reimbursed by the Company for such Expenses to the extent that it is ultimately determined, following the final disposition of such Claim, that Indemnitee is not entitled to indemnification hereunder. Indemnitee's obligation to reimburse the Company for Expense Advances shall be unsecured and no interest shall be charged thereon. 6.Indemnification for Expenses in Enforcing Rights.To the fullest extent allowable under applicable law, the Company shall also indemnify against, and, if requested by Indemnitee, shall advance to Indemnitee subject to and in accordance with Section5, any Expenses actually and reasonably paid or incurred by Indemnitee in connection with any action or proceeding by Indemnitee for (a)indemnification or reimbursement or advance payment of Expenses by the Company under any provision of this Agreement, or under any other agreement or provision of the Constituent Documents now or hereafter in effect relating to Claims relating to Indemnifiable Events, and/or (b)recovery under any directors' and officers' liability insurance policies maintained by the Company. However, in the event that Indemnitee is ultimately determined not to be entitled to such indemnification or insurance recovery, as the case may be, then all amounts advanced under this Section6 shall be repaid. Indemnitee shall be required to reimburse the Company in the event that a final judicial determination is made that such action brought by Indemnitee was frivolous or not made in good faith. 7.Partial Indemnity.If Indemnitee is entitled under any provision of this Agreement to indemnification by the Company for a portion of any Losses in respect of a Claim related to an Indemnifiable Event but not for the total amount thereof, the Company shall nevertheless indemnify Indemnitee for the portion thereof to which Indemnitee is entitled. 8.Notification and Defense of Claims. (a)Notification of Claims.Indemnitee shall notify the Company in writing as soon as practicable of any Claim which could relate to an Indemnifiable Event or for which Indemnitee could seek Expense Advances, including a brief description (based upon information then available to Indemnitee) of the nature of, and the facts underlying, such Claim. The failure by Indemnitee to timely notify the Company hereunder shall not relieve the Company from any liability hereunder, except that the Company shall not be liable to indemnify Indemnitee under this Agreement with respect to any judicial award in a Claim related to an Indemnifiable Event if the Company was not given a reasonable and timely opportunity to participate at its expense in the defense of such action. If at the time of the receipt of such notice, the Company has directors' and officers' liability or other insurance in effect under which coverage for Claims related to Indemnifiable Events is potentially available, the Company shall give prompt written notice to the applicable insurers in accordance with the procedures set forth in the applicable policies. The Company shall provide to Indemnitee a copy of such notice delivered to the applicable insurers, and copies of all subsequent correspondence between the Company and such insurers regarding the Claim, in each case substantially concurrently with the delivery or receipt thereof by the Company. (b)Defense of Claims.The Company shall be entitled to participate in the defense of any Claim relating to an Indemnifiable Event at its own expense and, except as otherwise provided below, to the extent the Company so wishes, it may assume the defense thereof with counsel reasonably satisfactory to Indemnitee. After notice from the Company to Indemnitee of its election to assume the defense of any such Claim, the Company shall not be liable to Indemnitee under this Agreement or otherwise for any Expenses subsequently directly incurred by Indemnitee in connection with Indemnitee's defense of such Claim other than reasonable costs of investigation or as otherwise provided below. Indemnitee shall have the right to employ its own legal counsel in such Claim, but all Expenses related to such counsel incurred after notice from the Company of its assumption of the defense shall be at Indemnitee's own expense; provided, however, that if (i)Indemnitee's employment of its own legal counsel has been authorized by the Company, (ii)Indemnitee has reasonably determined that there may be a conflict of interest between Indemnitee and the Company in the defense of such Claim, (iii)after a Change in Control, Indemnitee's employment of its own counsel has been approved by the Independent Counsel or (iv)the Company shall not in fact have employed counsel to assume the defense of such Claim, then Indemnitee shall be entitled to retain its own separate counsel (but not more than one law firm plus, if applicable, local counsel in respect of any such Claim) and all Expenses related to such separate counsel shall be borne by the Company. 9.Procedure upon Application for Indemnification.In order to obtain indemnification pursuant to this Agreement, Indemnitee shall submit to the Company a written request therefor, including in such request such documentation and information as is reasonably available to Indemnitee and is reasonably necessary to determine whether and to what extent Indemnitee is entitled to indemnification following the final disposition of the Claim, provided that documentation and information need not be so provided to the extent that the provision thereof would undermine or otherwise jeopardize attorney-client privilege. Indemnification shall be made insofar as the Company determines Indemnitee is entitled to indemnification in accordance with Section10 below. Notwithstanding the foregoing, any failure of Indemnitee to provide such a request to the Company, or to provide such a request in a timely fashion, shall not relieve the Company of any liability that it may have to Indemnitee unless, and to the extent that, such failure actually and materially prejudices the interests of the Company. 10.Determination of Right to Indemnification. 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".", "Services", "to", "the", "Company", ".", "Indemnitee", "agrees", "to", "continue", "to", "serve", "as", "a", "director", ",", "officer", "or", "key", "employee", "of", "the", "Company", ",", "as", "the", "case", "may", "be", ",", "for", "so", "long", "as", "Indemnitee", "is", "duly", "elected", ",", "appointed", "or", "employed", "by", "the", "Company", "or", "until", "Indemnitee", "tenders", "his", "resignation", "or", "is", "no", "longer", "serving", "in", "such", "capacity", ".", "This", "Agreement", "shall", "not", "be", "deemed", "an", "employment", "agreement", "between", "the", "Company", "(", "or", "any", "of", "its", "subsidiaries", "or", "Enterprise", ")", "and", "Indemnitee", ".", "Indemnitee", "specifically", "acknowledges", "that", "his", "employment", "with", "and", "/", "or", "service", "to", "the", "Company", "or", "any", "of", "its", "subsidiaries", "or", "Enterprise", "is", "at", "will", "and", "the", "Indemnitee", "may", "be", "discharged", "at", "any", "time", 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"to", "the", "extent", "necessary", "to", "conform", "to", "law", ",", "be", "further", "adjusted", "by", "reference", "to", "the", "relative", "fault", "of", "the", "Company", "and", "all", "officers", ",", "directors", "or", "employees", "of", "the", "Company", "other", "than", "Indemnitee", "who", "are", "jointly", "liable", "with", "Indemnitee", "(", "or", "would", "be", "if", "joined", "in", "such", "action", ",", "suit", "or", "proceeding", ")", ",", "on", "the", "one", "hand", ",", "and", "Indemnitee", ",", "on", "the", "other", "hand", ",", "in", "connection", "with", "the", "events", "that", "resulted", "in", "such", "Losses", ",", "as", "well", "as", "any", "other", "equitable", "considerations", "which", "law", "may", "require", "to", "be", "considered", ".", "The", "relative", "fault", "of", "the", "Company", "and", "all", "officers", ",", "directors", "or", "employees", "of", "the", "Company", ",", "other", "than", "Indemnitee", ",", "who", "are", "jointly", "liable", "with", "Indemnitee", "(", "or", "would", "be", "if", "joined", "in", "such", "action", ",", "suit", "or", "proceeding", ")", ",", "on", "the", "one", "hand", ",", "and", "Indemnitee", ",", "on", "the", "other", "hand", ",", "shall", "be", "determined", "by", "reference", "to", ",", "among", "other", "things", ",", "the", "degree", "to", "which", "their", "actions", "were", "motivated", "by", "intent", "to", "gain", "personal", "profit", "or", "advantage", ",", "the", "degree", "to", "which", "their", "liability", "is", "primary", "or", "secondary", "and", "the", "degree", "to", "which", "their", "conduct", "is", "active", "or", "passive", ".", "(", "c", ")", "The", "Company", "hereby", "agrees", "to", "fully", "indemnify", "and", "hold", "Indemnitee", "harmless", "from", "any", "claims", "of", "contribution", "which", "may", "be", "brought", "by", "officers", ",", "directors", "or", "employees", "of", "the", "Company", ",", "other", "than", "Indemnitee", ",", "who", "may", "be", "jointly", "liable", "with", "Indemnitee", ".", "(", "d", ")", "To", "the", "fullest", "extent", "permissible", "under", "applicable", "law", ",", "if", "the", "indemnification", "provided", "for", "in", "this", "Agreement", "is", "unavailable", "to", "Indemnitee", "for", "any", "reason", "whatsoever", ",", "the", "Company", ",", "in", "lieu", "of", "indemnifying", "Indemnitee", ",", "shall", "contribute", "to", "the", "amount", "of", "Losses", "incurred", "by", "Indemnitee", "in", "connection", "with", "any", "Claim", "relating", "to", "an", "Indemnifiable", "Event", "under", "this", "Agreement", ",", "in", "such", "proportion", "as", "is", "deemed", "fair", "and", "reasonable", "in", "light", "of", "all", "of", "the", "circumstances", "of", "such", "Claim", "in", "order", "to", "reflect", "(", "i", ")", "the", "relative", "benefits", "received", "by", "the", "Company", "and", "Indemnitee", "as", "a", "result", "of", "the", "event", "(", "s", ")", "and", "/", "or", "transaction", "(", "s", ")", "giving", "cause", "to", "such", "Claim", ";", "and", "/", "or", "(", "ii", ")", "the", "relative", "fault", "of", "the", "Company", "(", "and", "its", "directors", ",", "officers", ",", "employees", "and", "agents", ")", "and", "Indemnitee", "in", "connection", "with", "such", "event", "(", "s", ")", "and", "/", "or", "transaction", "(", "s", ")", ".", "5", ".", "Advancement", "of", "Expenses", ".", "Indemnitee", "shall", "have", "the", "right", "to", "advancement", "by", "the", "Company", ",", "prior", "to", "the", "final", "disposition", "of", "any", "Claim", "by", "final", "adjudication", "to", "which", "there", "are", "no", "further", "rights", "of", "appeal", ",", "of", "any", "and", "all", "Expenses", "actually", "and", "reasonably", "paid", "or", "incurred", "by", "Indemnitee", "in", "connection", "with", "any", "Claim", "arising", "out", "of", "an", "Indemnifiable", "Event", ".", "Indemnitee", "'", "s", "right", "to", "such", "advancement", "is", "not", "subject", "to", "the", "satisfaction", "of", "any", "standard", "of", "conduct", ".", "Without", "limiting", "the", "generality", "or", "effect", "of", "the", "foregoing", ",", "within", "thirty", "(", "30", ")", "days", "after", "any", "request", "by", "Indemnitee", ",", "the", "Company", "shall", ",", "in", "accordance", "with", "such", "request", ",", "(", "a", ")", "pay", "such", "Expenses", "on", "behalf", "of", "Indemnitee", ",", "(", "b", ")", "advance", "to", "Indemnitee", "funds", "in", "an", "amount", "sufficient", "to", "pay", "such", "Expenses", ",", "or", "(", "c", ")", "reimburse", "Indemnitee", "for", "such", "Expenses", ".", "In", "connection", "with", "any", "request", "for", "Expense", "Advances", ",", "Indemnitee", "shall", "not", "be", "required", "to", "provide", "any", "documentation", "or", "information", "to", "the", "extent", "that", "the", "provision", "thereof", "would", "undermine", "or", "otherwise", "jeopardize", "attorney-client", "privilege", ".", "In", "connection", "with", "any", "request", "for", "Expense", "Advances", ",", "Indemnitee", "shall", "execute", "and", "deliver", "to", "the", "Company", "an", "undertaking", "(", "which", "shall", "be", "accepted", "without", "reference", "to", "Indemnitee", "'", "s", "ability", "to", "repay", "the", "Expense", "Advances", ")", ",", "in", "the", "form", "attached", "hereto", "as", "ExhibitA", ",", "to", "repay", "any", "amounts", "paid", ",", "advanced", ",", "or", "reimbursed", "by", "the", "Company", "for", "such", "Expenses", "to", "the", "extent", "that", "it", "is", "ultimately", "determined", ",", "following", "the", "final", "disposition", "of", "such", "Claim", ",", "that", "Indemnitee", "is", "not", "entitled", "to", "indemnification", "hereunder", ".", "Indemnitee", "'", "s", "obligation", "to", "reimburse", "the", "Company", "for", "Expense", "Advances", "shall", "be", "unsecured", "and", "no", "interest", "shall", "be", "charged", "thereon", ".", "6", ".", "Indemnification", "for", "Expenses", "in", "Enforcing", "Rights", ".", "To", "the", "fullest", "extent", "allowable", "under", "applicable", "law", ",", "the", "Company", "shall", "also", "indemnify", "against", ",", "and", ",", "if", "requested", "by", "Indemnitee", ",", "shall", "advance", "to", "Indemnitee", "subject", "to", "and", "in", "accordance", "with", "Section5", ",", "any", "Expenses", "actually", "and", "reasonably", "paid", "or", "incurred", "by", "Indemnitee", "in", "connection", "with", "any", "action", "or", "proceeding", "by", "Indemnitee", "for", "(", "a", ")", "indemnification", "or", "reimbursement", "or", "advance", "payment", "of", "Expenses", "by", "the", "Company", "under", "any", "provision", "of", "this", "Agreement", ",", "or", "under", "any", "other", "agreement", "or", "provision", "of", "the", "Constituent", "Documents", "now", "or", "hereafter", "in", "effect", "relating", "to", "Claims", "relating", "to", "Indemnifiable", "Events", ",", "and", "/", "or", "(", "b", ")", "recovery", "under", "any", "directors", "'", "and", "officers", "'", "liability", "insurance", "policies", "maintained", "by", "the", "Company", ".", "However", ",", "in", "the", "event", "that", "Indemnitee", "is", "ultimately", "determined", "not", "to", "be", "entitled", "to", "such", "indemnification", "or", "insurance", "recovery", ",", "as", "the", "case", "may", "be", ",", "then", "all", "amounts", "advanced", "under", "this", "Section6", "shall", "be", "repaid", ".", "Indemnitee", "shall", "be", "required", "to", "reimburse", "the", "Company", "in", "the", "event", "that", "a", "final", "judicial", "determination", "is", "made", "that", "such", "action", "brought", "by", "Indemnitee", "was", "frivolous", "or", "not", "made", "in", "good", "faith", ".", "7", ".", "Partial", "Indemnity", ".", "If", "Indemnitee", "is", "entitled", "under", "any", "provision", "of", "this", "Agreement", "to", "indemnification", "by", "the", "Company", "for", "a", "portion", "of", "any", "Losses", "in", "respect", "of", "a", "Claim", "related", "to", "an", "Indemnifiable", "Event", "but", "not", "for", "the", "total", "amount", "thereof", ",", "the", "Company", "shall", "nevertheless", "indemnify", "Indemnitee", "for", "the", "portion", "thereof", "to", "which", "Indemnitee", "is", "entitled", ".", "8", ".", "Notification", "and", "Defense", "of", "Claims", ".", "(", "a", ")", "Notification", "of", "Claims", ".", "Indemnitee", "shall", "notify", "the", "Company", "in", "writing", "as", "soon", "as", "practicable", "of", "any", "Claim", "which", "could", "relate", "to", "an", "Indemnifiable", "Event", "or", "for", "which", "Indemnitee", "could", "seek", "Expense", "Advances", ",", "including", "a", "brief", "description", "(", "based", "upon", "information", "then", "available", "to", "Indemnitee", ")", "of", "the", "nature", "of", ",", "and", "the", "facts", "underlying", ",", "such", "Claim", ".", "The", "failure", "by", "Indemnitee", "to", "timely", "notify", "the", "Company", "hereunder", "shall", "not", "relieve", "the", "Company", "from", "any", "liability", "hereunder", ",", "except", "that", "the", "Company", "shall", "not", "be", "liable", "to", "indemnify", "Indemnitee", "under", "this", "Agreement", "with", "respect", "to", "any", "judicial", "award", "in", "a", "Claim", "related", "to", "an", "Indemnifiable", "Event", "if", "the", "Company", "was", "not", "given", "a", "reasonable", "and", "timely", "opportunity", "to", "participate", "at", "its", "expense", "in", "the", "defense", "of", "such", "action", ".", "If", "at", "the", "time", "of", "the", "receipt", "of", "such", "notice", ",", "the", "Company", "has", "directors", "'", "and", "officers", "'", "liability", "or", "other", "insurance", "in", "effect", "under", "which", "coverage", "for", "Claims", "related", "to", "Indemnifiable", "Events", "is", "potentially", "available", ",", "the", "Company", "shall", "give", "prompt", "written", "notice", "to", "the", "applicable", "insurers", "in", "accordance", "with", "the", "procedures", "set", "forth", "in", "the", "applicable", "policies", ".", "The", "Company", "shall", "provide", "to", "Indemnitee", "a", "copy", "of", "such", "notice", "delivered", "to", "the", "applicable", "insurers", ",", "and", "copies", "of", "all", "subsequent", "correspondence", "between", "the", "Company", "and", "such", "insurers", "regarding", "the", "Claim", ",", "in", "each", "case", "substantially", "concurrently", "with", "the", "delivery", "or", "receipt", "thereof", "by", "the", "Company", ".", "(", "b", ")", "Defense", "of", "Claims", ".", "The", "Company", "shall", "be", "entitled", "to", "participate", "in", "the", "defense", "of", "any", "Claim", "relating", "to", "an", "Indemnifiable", "Event", "at", "its", "own", "expense", "and", ",", "except", "as", "otherwise", "provided", "below", ",", "to", "the", "extent", "the", "Company", "so", "wishes", ",", "it", "may", "assume", "the", "defense", "thereof", "with", "counsel", "reasonably", "satisfactory", "to", "Indemnitee", ".", "After", "notice", "from", "the", "Company", "to", "Indemnitee", "of", "its", "election", "to", "assume", "the", "defense", "of", "any", "such", "Claim", ",", "the", "Company", "shall", "not", "be", "liable", "to", "Indemnitee", "under", "this", "Agreement", "or", "otherwise", "for", "any", "Expenses", "subsequently", "directly", "incurred", "by", "Indemnitee", "in", "connection", "with", "Indemnitee", "'", "s", "defense", "of", "such", "Claim", "other", "than", "reasonable", "costs", "of", "investigation", "or", "as", "otherwise", "provided", "below", ".", "Indemnitee", "shall", "have", "the", "right", "to", "employ", "its", "own", "legal", "counsel", "in", "such", "Claim", ",", "but", "all", "Expenses", "related", "to", "such", "counsel", "incurred", "after", "notice", "from", "the", "Company", "of", "its", "assumption", "of", "the", "defense", "shall", "be", "at", "Indemnitee", "'", "s", "own", "expense", ";", "provided", ",", "however", ",", "that", "if", "(", "i", ")", "Indemnitee", "'", "s", "employment", "of", "its", "own", "legal", "counsel", "has", "been", "authorized", "by", "the", "Company", ",", "(", "ii", ")", "Indemnitee", "has", "reasonably", "determined", "that", "there", "may", "be", "a", "conflict", "of", "interest", "between", "Indemnitee", "and", "the", "Company", "in", "the", "defense", "of", "such", "Claim", ",", "(", "iii", ")", "after", "a", "Change", "in", "Control", ",", "Indemnitee", "'", "s", "employment", "of", "its", "own", "counsel", "has", "been", "approved", "by", "the", "Independent", "Counsel", "or", "(", "iv", ")", "the", "Company", "shall", "not", "in", "fact", "have", "employed", "counsel", "to", "assume", "the", "defense", "of", "such", "Claim", ",", "then", "Indemnitee", "shall", "be", "entitled", "to", "retain", "its", "own", "separate", "counsel", "(", "but", "not", "more", "than", "one", "law", "firm", "plus", ",", "if", "applicable", ",", "local", "counsel", "in", "respect", "of", "any", "such", "Claim", ")", "and", "all", "Expenses", "related", "to", "such", "separate", "counsel", "shall", "be", "borne", "by", "the", "Company", ".", "9", ".", "Procedure", "upon", "Application", "for", "Indemnification", ".", "In", "order", "to", "obtain", "indemnification", "pursuant", "to", "this", "Agreement", ",", "Indemnitee", "shall", "submit", "to", "the", "Company", "a", "written", "request", "therefor", ",", "including", "in", "such", "request", "such", "documentation", "and", "information", "as", "is", "reasonably", "available", "to", "Indemnitee", "and", "is", "reasonably", "necessary", "to", "determine", "whether", "and", "to", "what", "extent", "Indemnitee", "is", "entitled", "to", "indemnification", "following", "the", "final", "disposition", "of", "the", "Claim", ",", "provided", "that", "documentation", "and", "information", "need", "not", "be", "so", "provided", "to", "the", "extent", "that", "the", "provision", "thereof", "would", "undermine", "or", "otherwise", "jeopardize", "attorney-client", "privilege", ".", "Indemnification", "shall", "be", "made", "insofar", "as", "the", "Company", "determines", "Indemnitee", "is", "entitled", "to", "indemnification", "in", "accordance", "with", "Section10", "below", ".", "Notwithstanding", "the", "foregoing", ",", "any", "failure", "of", "Indemnitee", "to", "provide", "such", "a", "request", "to", "the", "Company", ",", "or", "to", "provide", "such", "a", "request", "in", "a", "timely", "fashion", ",", "shall", "not", "relieve", "the", "Company", "of", "any", "liability", "that", "it", "may", "have", "to", "Indemnitee", "unless", ",", "and", "to", "the", "extent", "that", ",", "such", "failure", "actually", "and", "materially", "prejudices", "the", "interests", "of", "the", "Company", ".", "10", ".", "Determination", "of", "Right", "to", "Indemnification", ".", "(", "a", ")", "Mandatory", "Indemnification", ";", "Indemnification", "as", "a", "Witness", "."]}
{"id": "13598", "text": "where the Company has joined in or the Board has consented to the initiation of, or otherwise authorized, such proceedings; (b)indemnify Indemnitee if a final decision by a court of competent jurisdiction determines that such indemnification is prohibited by applicable law or public policy; (c)indemnify Indemnitee for an accounting of profits made from the acquisition and disposition (or disposition and acquisition), or for the disgorgement of profits arising from any such set or series of transactions, by Indemnitee of securities of the company within the meaning of Section16(b) of the Securities Exchange Act of 1934 , as amended, similar successor statute; (d)indemnify Indemnitee for any payment that has actually been made to or on behalf of Indemnitee under any insurance policy of the Company or other indemnity provision, except with respect to any excess beyond the amount paid under any insurance policy or other indemnity provision; (e)indemnify or advance funds to Indemnitee for Indemnitee's reimbursement to the Company of any bonus or other incentive- based or equity-based compensation previously received by Indemnitee or payment of any profits realized by Indemnitee from the sale of securities of the Company, as required in each case under the Exchange Act ( including any such reimbursements under Section304 of the Sarbanes- Oxley Act of 2002 in connection with an accounting restatement of the Company or the payment to the Company of profits arising from the purchase or sale by Indemnitee of securities in violation of Section306 of the Sarbanes-Oxley Act); or (f)indemnify Indemnitee in any proxy contest in opposition to the Board.", "ner": [[101, 104, "Regulation"], [107, 111, "Act"], [234, 234, "Regulation"], [237, 242, "Act"], [273, 273, "Regulation"], [276, 277, "Act"]], "tokenized_text": ["where", "the", "Company", "has", "joined", "in", "or", "the", "Board", "has", "consented", "to", "the", "initiation", "of", ",", "or", "otherwise", "authorized", ",", "such", "proceedings", ";", "(", "b", ")", "indemnify", "Indemnitee", "if", "a", "final", "decision", "by", "a", "court", "of", "competent", "jurisdiction", "determines", "that", "such", "indemnification", "is", "prohibited", "by", "applicable", "law", "or", "public", "policy", ";", "(", "c", ")", "indemnify", "Indemnitee", "for", "an", "accounting", "of", "profits", "made", "from", "the", "acquisition", "and", "disposition", "(", "or", "disposition", "and", "acquisition", ")", ",", "or", "for", "the", "disgorgement", "of", "profits", "arising", "from", "any", "such", "set", "or", "series", "of", "transactions", ",", "by", "Indemnitee", "of", "securities", "of", "the", "company", "within", "the", "meaning", "of", "Section16", "(", "b", ")", "of", "the", "Securities", "Exchange", "Act", "of", "1934", ",", "as", "amended", ",", "similar", "successor", "statute", ";", "(", "d", ")", "indemnify", "Indemnitee", "for", "any", "payment", "that", "has", "actually", "been", "made", "to", "or", "on", "behalf", "of", "Indemnitee", "under", "any", "insurance", "policy", "of", "the", "Company", "or", "other", "indemnity", "provision", ",", "except", "with", "respect", "to", "any", "excess", "beyond", "the", "amount", "paid", "under", "any", "insurance", "policy", "or", "other", "indemnity", "provision", ";", "(", "e", ")", "indemnify", "or", "advance", "funds", "to", "Indemnitee", "for", "Indemnitee", "'", "s", "reimbursement", "to", "the", "Company", "of", "any", "bonus", "or", "other", "incentive", "-", "based", "or", "equity-based", "compensation", "previously", "received", "by", "Indemnitee", "or", "payment", "of", "any", "profits", "realized", "by", "Indemnitee", "from", "the", "sale", "of", "securities", "of", "the", "Company", ",", "as", "required", "in", "each", "case", "under", "the", "Exchange", "Act", "(", "including", "any", "such", "reimbursements", "under", "Section304", "of", "the", "Sarbanes", "-", "Oxley", "Act", "of", "2002", "in", "connection", "with", "an", "accounting", "restatement", "of", "the", "Company", "or", "the", "payment", "to", "the", "Company", "of", "profits", "arising", "from", "the", "purchase", "or", "sale", "by", "Indemnitee", "of", "securities", "in", "violation", "of", "Section306", "of", "the", "Sarbanes-Oxley", "Act", ")", ";", "or", "(", "f", ")", "indemnify", "Indemnitee", "in", "any", "proxy", "contest", "in", "opposition", "to", "the", "Board", "."]}
{"id": "13601", "text": "in TEST Corporation By:______________________________________ Hugh T. Regan, Jr. Secretary, Treasurer and Chief Financial Officer ---|--- |", "ner": [[6, 12, "Role"], [15, 15, "Role"], [17, 19, "Role"]], "tokenized_text": ["in", "TEST", "Corporation", "By", ":", "______________________________________", "Hugh", "T", ".", "Regan", ",", "Jr", ".", "Secretary", ",", "Treasurer", "and", "Chief", "Financial", "Officer", "-", "-", "-", "|", "-", "-", "-", "|"]}
{"id": "13602", "text": "[Date] in TEST Corporation 804 Eastgate Drive, Suite 200 Mount Laurel, NJ 08054 Attention: Hugh T. Regan, Jr. Re:Undertaking to Repay Advancement of expenses Ladies and Gentlemen: This undertaking is being provided pursuant to that certain Indemnification Agreement, dated _______, by and between in TEST Corporation , a Delaware corporation (the \"Company\"), and the undersigned as Indemnitee (the \"Indemnification Agreement\"). Terms used herein and not otherwise defined shall have the meanings ascribed to them in the Indemnification Agreement. Pursuant to the Indemnification Agreement, among other things, I am entitled to the advancement of Expenses paid or incurred in connection with Claims relating to Indemnifiable Events. I have become subject to [DESCRIPTION OF PROCEEDING] (the \"Proceeding\") based on [my status as an officer/a director of the Company] or [alleged actions or failures to act in my capacity as an officer/a director of the Company]. [This undertaking also constitutes notice to the Company of the Proceeding pursuant to Section 8 of the Indemnification Agreement. The following is a brief description of the facts, nature and current status of the Proceeding: [DESCRIPTION OF PROCEEDING]] Pursuant to Section 5 of the Indemnification Agreement, I hereby request an Expense Advance in connection with the Proceeding. The Expenses for which advances are requested are as follows: [DESCRIPTION OF EXPENSES] In connection with this request for Expense Advances, I hereby undertake to repay any amounts paid, advanced or reimbursed by the Company for such Expense Advances to the extent that it is ultimately determined that I am not entitled to indemnification under the Indemnification Agreement. This undertaking shall be governed by and construed in accordance with the laws of the State of Delaware, without regard to the principles of conflicts of laws thereof.", "ner": [[4, 5, "Parties"], [6, 15, "Address"], [19, 25, "PII_Ref"], [47, 48, "Title"], [330, 332, "Court"]], "tokenized_text": ["[", "Date", "]", "in", "TEST", "Corporation", "804", "Eastgate", "Drive", ",", "Suite", "200", "Mount", "Laurel", ",", "NJ", "08054", "Attention", ":", "Hugh", "T", ".", "Regan", ",", "Jr", ".", "Re", ":", "Undertaking", "to", "Repay", "Advancement", "of", "expenses", "Ladies", "and", "Gentlemen", ":", "This", "undertaking", "is", "being", "provided", "pursuant", "to", "that", "certain", "Indemnification", "Agreement", ",", "dated", "_______", ",", "by", "and", "between", "in", "TEST", "Corporation", ",", "a", "Delaware", "corporation", "(", "the", "\"", "Company", "\"", ")", ",", "and", "the", "undersigned", "as", "Indemnitee", "(", "the", "\"", "Indemnification", "Agreement", "\"", ")", ".", "Terms", "used", "herein", "and", "not", "otherwise", "defined", "shall", "have", "the", "meanings", "ascribed", "to", "them", "in", "the", "Indemnification", "Agreement", ".", "Pursuant", "to", "the", "Indemnification", "Agreement", ",", "among", "other", "things", ",", "I", "am", "entitled", "to", "the", "advancement", "of", "Expenses", "paid", "or", "incurred", "in", "connection", "with", "Claims", "relating", "to", "Indemnifiable", "Events", ".", "I", "have", "become", "subject", "to", "[", "DESCRIPTION", "OF", "PROCEEDING", "]", "(", "the", "\"", "Proceeding", "\"", ")", "based", "on", "[", "my", "status", "as", "an", "officer", "/", "a", "director", "of", "the", "Company", "]", "or", "[", "alleged", "actions", "or", "failures", "to", "act", "in", "my", "capacity", "as", "an", "officer", "/", "a", "director", "of", "the", "Company", "]", ".", "[", "This", "undertaking", "also", "constitutes", "notice", "to", "the", "Company", "of", "the", "Proceeding", "pursuant", "to", "Section", "8", "of", "the", "Indemnification", "Agreement", ".", "The", "following", "is", "a", "brief", "description", "of", "the", "facts", ",", "nature", "and", "current", "status", "of", "the", "Proceeding", ":", "[", "DESCRIPTION", "OF", "PROCEEDING", "]", "]", "Pursuant", "to", "Section", "5", "of", "the", "Indemnification", "Agreement", ",", "I", "hereby", "request", "an", "Expense", "Advance", "in", "connection", "with", "the", "Proceeding", ".", "The", "Expenses", "for", "which", "advances", "are", "requested", "are", "as", "follows", ":", "[", "DESCRIPTION", "OF", "EXPENSES", "]", "In", "connection", "with", "this", "request", "for", "Expense", "Advances", ",", "I", "hereby", "undertake", "to", "repay", "any", "amounts", "paid", ",", "advanced", "or", "reimbursed", "by", "the", "Company", "for", "such", "Expense", "Advances", "to", "the", "extent", "that", "it", "is", "ultimately", "determined", "that", "I", "am", "not", "entitled", "to", "indemnification", "under", "the", "Indemnification", "Agreement", ".", "This", "undertaking", "shall", "be", "governed", "by", "and", "construed", "in", "accordance", "with", "the", "laws", "of", "the", "State", "of", "Delaware", ",", "without", "regard", "to", "the", "principles", "of", "conflicts", "of", "laws", "thereof", "."]}
{"id": "13603", "text": "This Indemnification Agreement (Agreement) is made as of the day of , by and between Forestar Group Inc. , a Delaware corporation (the Company), and , an officer or director of the Company (the Indemnitee).", "ner": [[1, 2, "Title"], [17, 20, "Parties"]], "tokenized_text": ["This", "Indemnification", "Agreement", "(", "Agreement", ")", "is", "made", "as", "of", "the", "day", "of", ",", "by", "and", "between", "Forestar", "Group", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "the", "Company", ")", ",", "and", ",", "an", "officer", "or", "director", "of", "the", "Company", "(", "the", "Indemnitee", ")", "."]}
{"id": "13606", "text": "1. This Indemnification Statement is submitted pursuant to the Indemnification Agreement, dated as of , 20, between Forestar Group Inc. , a Delaware corporation (the Company), and the undersigned.", "ner": [[10, 11, "Title"], [20, 23, "Parties"]], "tokenized_text": ["1", ".", "This", "Indemnification", "Statement", "is", "submitted", "pursuant", "to", "the", "Indemnification", "Agreement", ",", "dated", "as", "of", ",", "20", ",", "between", "Forestar", "Group", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "the", "Company", ")", ",", "and", "the", "undersigned", "."]}
{"id": "13609", "text": "This Indemnification Agreement (Agreement) is made as of by and between Allena Pharmaceuticals, Inc. , a Delaware corporation (the Company), and (Indemnitee).", "ner": [[1, 2, "Title"], [13, 17, "Parties"]], "tokenized_text": ["This", "Indemnification", "Agreement", "(", "Agreement", ")", "is", "made", "as", "of", "by", "and", "between", "Allena", "Pharmaceuticals", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "the", "Company", ")", ",", "and", "(", "Indemnitee", ")", "."]}
{"id": "13620", "text": "THIS AGREEMENT (the Agreement), effective as of , by and between Valeritas Holdings, Inc. , a Delaware corporation (the Company), and the undersigned individual identified as an Indemnitee on the signature page hereto (such person is referred to herein individually and collectively as an Indemnitee).", "ner": [[1, 1, "Title"], [14, 18, "Parties"]], "tokenized_text": ["THIS", "AGREEMENT", "(", "the", "Agreement", ")", ",", "effective", "as", "of", ",", "by", "and", "between", "Valeritas", "Holdings", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "the", "Company", ")", ",", "and", "the", "undersigned", "individual", "identified", "as", "an", "Indemnitee", "on", "the", "signature", "page", "hereto", "(", "such", "person", "is", "referred", "to", "herein", "individually", "and", "collectively", "as", "an", "Indemnitee", ")", "."]}
{"id": "13622", "text": "18\\. Identical Counterparts. This Agreement may be executed in one or more counterparts, each of which shall for all purposes be deemed to be an original but all of which together shall constitute one and the same Agreement. Only one such counterpart signed by the party against whom enforceability is sought needs to be produced to evidence the existence of this Agreement.", "ner": [], "tokenized_text": ["18", "\\", ".", "Identical", "Counterparts", ".", "This", "Agreement", "may", "be", "executed", "in", "one", "or", "more", "counterparts", ",", "each", "of", "which", "shall", "for", "all", "purposes", "be", "deemed", "to", "be", "an", "original", "but", "all", "of", "which", "together", "shall", "constitute", "one", "and", "the", "same", "Agreement", ".", "Only", "one", "such", "counterpart", "signed", "by", "the", "party", "against", "whom", "enforceability", "is", "sought", "needs", "to", "be", "produced", "to", "evidence", "the", "existence", "of", "this", "Agreement", "."]}
{"id": "13623", "text": "Chief Executive Officer Notice to: 750 Route 202 South, Suite 600 Bridgewater, NJ 08807 Attn: Chief Executive Officer INDEMNITEE Name: Address: [Signature Page to Indemnification Agreement]", "ner": [[0, 2, "Role"], [6, 16, "Address"], [19, 21, "Role"], [31, 32, "Title"]], "tokenized_text": ["Chief", "Executive", "Officer", "Notice", "to", ":", "750", "Route", "202", "South", ",", "Suite", "600", "Bridgewater", ",", "NJ", "08807", "Attn", ":", "Chief", "Executive", "Officer", "INDEMNITEE", "Name", ":", "Address", ":", "[", "Signature", "Page", "to", "Indemnification", "Agreement", "]"]}
{"id": "13624", "text": "EX-10.1 3 mycloudz_ex101.htm INDEMNIFICATION AGREEMENT", "ner": [[7, 8, "Title"]], "tokenized_text": ["EX-10", ".", "1", "3", "mycloudz_ex101", ".", "htm", "INDEMNIFICATION", "AGREEMENT"]}
{"id": "13626", "text": "Company Name | ---|--- | | /s/ Darren Long | (Signature)", "ner": [[15, 16, "Parties"]], "tokenized_text": ["Company", "Name", "|", "-", "-", "-", "|", "-", "-", "-", "|", "|", "/", "s", "/", "Darren", "Long", "|", "(", "Signature", ")"]}
{"id": "13630", "text": "(g) Indemnitee will cooperate with the person, persons. or entity making such determination with respect to Indemnitees entitlement to indemnification, including providing such person, persons, or entity on reasonable advance request any documentation or information which is not privileged or otherwise protected from disclosure and which is reasonably available to Indemnitee and reasonably necessary to such determination. Any Independent Counsel , member of the Board, or stockholder of the Company will act reasonably and in good faith in making a determination regarding the Indemnitees entitlement to indemnification under this Agreement. Any costs or expenses (including attorneys fees and disbursements) incurred by Indemnitee in so cooperating with the person, persons, or entity making such determination will be borne by the Company (irrespective of the determination as to Indemnitees entitlement to indemnification), and the Company indemnifies and agrees to hold Indemnitee harmless therefrom.", "ner": [], "tokenized_text": ["(", "g", ")", "Indemnitee", "will", "cooperate", "with", "the", "person", ",", "persons", ".", "or", "entity", "making", "such", "determination", "with", "respect", "to", "Indemnitees", "entitlement", "to", "indemnification", ",", "including", "providing", "such", "person", ",", "persons", ",", "or", "entity", "on", "reasonable", "advance", "request", "any", "documentation", "or", "information", "which", "is", "not", "privileged", "or", "otherwise", "protected", "from", "disclosure", "and", "which", "is", "reasonably", "available", "to", "Indemnitee", "and", "reasonably", "necessary", "to", "such", "determination", ".", "Any", "Independent", "Counsel", ",", "member", "of", "the", "Board", ",", "or", "stockholder", "of", "the", "Company", "will", "act", "reasonably", "and", "in", "good", "faith", "in", "making", "a", "determination", "regarding", "the", "Indemnitees", "entitlement", "to", "indemnification", "under", "this", "Agreement", ".", "Any", "costs", "or", "expenses", "(", "including", "attorneys", "fees", "and", "disbursements", ")", "incurred", "by", "Indemnitee", "in", "so", "cooperating", "with", "the", "person", ",", "persons", ",", "or", "entity", "making", "such", "determination", "will", "be", "borne", "by", "the", "Company", "(", "irrespective", "of", "the", "determination", "as", "to", "Indemnitees", "entitlement", "to", "indemnification", ")", ",", "and", "the", "Company", "indemnifies", "and", "agrees", "to", "hold", "Indemnitee", "harmless", "therefrom", "."]}
{"id": "13632", "text": "(g) Exchange Act means the Securities Exchange Act of 1934 , as amended.", "ner": [[3, 4, "Act"], [7, 11, "Act"]], "tokenized_text": ["(", "g", ")", "Exchange", "Act", "means", "the", "Securities", "Exchange", "Act", "of", "1934", ",", "as", "amended", "."]}
{"id": "13634", "text": "(n) Securities Act will mean the Securities Act of 1933 , as amended.", "ner": [[3, 4, "Act"], [8, 11, "Act"]], "tokenized_text": ["(", "n", ")", "Securities", "Act", "will", "mean", "the", "Securities", "Act", "of", "1933", ",", "as", "amended", "."]}
{"id": "13635", "text": "18. Counterparts. This Agreement may be executed in two or more counterparts, each of which will be deemed an original, but all of which together will constitute one and the same Agreement. This Agreement may also be executed and delivered by facsimile signature, electronic mail (including pdf or any electronic signature complying with the U.S. federal ESIGN Act of 2000 , Uniform Electronic Transactions Act or other applicable law) or other transmission method and in two or more counterparts, each of which will be deemed an original, but all of which together will constitute one and the same instrument and be deemed to have been duly and validly delivered and be valid and effective for all purposes.", "ner": [[66, 69, "Act"], [71, 74, "Act"]], "tokenized_text": ["18", ".", "Counterparts", ".", "This", "Agreement", "may", "be", "executed", "in", "two", "or", "more", "counterparts", ",", "each", "of", "which", "will", "be", "deemed", "an", "original", ",", "but", "all", "of", "which", "together", "will", "constitute", "one", "and", "the", "same", "Agreement", ".", "This", "Agreement", "may", "also", "be", "executed", "and", "delivered", "by", "facsimile", "signature", ",", "electronic", "mail", "(", "including", "pdf", "or", "any", "electronic", "signature", "complying", "with", "the", "U", ".", "S", ".", "federal", "ESIGN", "Act", "of", "2000", ",", "Uniform", "Electronic", "Transactions", "Act", "or", "other", "applicable", "law", ")", "or", "other", "transmission", "method", "and", "in", "two", "or", "more", "counterparts", ",", "each", "of", "which", "will", "be", "deemed", "an", "original", ",", "but", "all", "of", "which", "together", "will", "constitute", "one", "and", "the", "same", "instrument", "and", "be", "deemed", "to", "have", "been", "duly", "and", "validly", "delivered", "and", "be", "valid", "and", "effective", "for", "all", "purposes", "."]}
{"id": "13637", "text": "This Separation and Release Agreement (thisAgreement), dated September 21, 2016 (the Effective Date), confirms the following understandings and agreements between Gardner Denver, Inc. (theCompany) and Jeff Likosar (hereinafter referred to as you or your).", "ner": [[1, 4, "Title"], [10, 13, "EffectiveDate"], [27, 31, "Parties"], [36, 37, "Parties"]], "tokenized_text": ["This", "Separation", "and", "Release", "Agreement", "(", "thisAgreement", ")", ",", "dated", "September", "21", ",", "2016", "(", "the", "Effective", "Date", ")", ",", "confirms", "the", "following", "understandings", "and", "agreements", "between", "Gardner", "Denver", ",", "Inc", ".", "(", "theCompany", ")", "and", "Jeff", "Likosar", "(", "hereinafter", "referred", "to", "as", "you", "or", "your", ")", "."]}
{"id": "13638", "text": "(c) As of the Termination Date, none of your non-elective contribution amounts under the Gardner Denver, Inc. Retirement Savings Plan were vested. Notwithstanding the foregoing, the Company agrees that it will pay to you an amount equal to such unvested amount, grossed-up to take into account federal and state income taxes. Such amount (the Contribution Amount) shall be paid to you as set forth on Schedule I, attached hereto.", "ner": [], "tokenized_text": ["(", "c", ")", "As", "of", "the", "Termination", "Date", ",", "none", "of", "your", "non-elective", "contribution", "amounts", "under", "the", "Gardner", "Denver", ",", "Inc", ".", "Retirement", "Savings", "Plan", "were", "vested", ".", "Notwithstanding", "the", "foregoing", ",", "the", "Company", "agrees", "that", "it", "will", "pay", "to", "you", "an", "amount", "equal", "to", "such", "unvested", "amount", ",", "grossed-up", "to", "take", "into", "account", "federal", "and", "state", "income", "taxes", ".", "Such", "amount", "(", "the", "Contribution", "Amount", ")", "shall", "be", "paid", "to", "you", "as", "set", "forth", "on", "Schedule", "I", ",", "attached", "hereto", "."]}
{"id": "13640", "text": "| | /s/ Jeff Likosar ---|---|--- | | Jeff Likosar | | Dated: September 21, 2016 | | | |", "ner": [[5, 6, "Parties"], [26, 29, "EffectiveDate"]], "tokenized_text": ["|", "|", "/", "s", "/", "Jeff", "Likosar", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "|", "Jeff", "Likosar", "|", "|", "Dated", ":", "September", "21", ",", "2016", "|", "|", "|", "|"]}
{"id": "13642", "text": "For and in consideration of the payments and benefits described in the Separation Agreement, and other good and valuable consideration (collectively, theConsideration), I, for and on behalf of myself and my heirs, administrators, executors and assigns, effective the date hereof, do fully and forever release, remise and discharge the Company, and any other member of the Company Group, together with their respective current and former officers, directors, partners, members, shareholders, fiduciaries, counsel, employees and agents (collectively, and with the Company, theCompany Parties) from any and all claims whatsoever up to the date hereof which I had, may have had, or now have against the Company Parties, for or by reason of any matter, cause or thing whatsoever, including any claim arising out of or attributable to my employment or the termination of my employment with the Company or otherwise, whether for (by way of example only) tort, breach of express or implied employment contract, intentional infliction of emotional distress, wrongful termination, unjust dismissal, defamation, libel or slander, or under any federal, state or local law, rule or regulation, or the common law, dealing with employment, including, but not limited to, discrimination in employment based on age, race, sex, national origin, handicap, religion, disability or sexual orientation. This release of claims includes, but is not limited to, all claims arising under the Age Discrimination in Employment Act ( ADEA), Title VII of the Civil Rights Act, the Americans with Disabilities Act, the Civil Rights Act of 1991 , the Family Medical Leave Act, and the Equal Pay Act, each as may be amended from time to time, and all other federal, state and local laws, the common law and any other purported restriction on an employers right to terminate the employment of employees. I intend the release contained herein to be a general release of any and all claims to the fullest extent permissible by law.", "ner": [[12, 13, "Title"], [276, 280, "Act"], [289, 291, "Act"], [294, 297, "Act"], [300, 304, "Act"], [307, 310, "Act"], [314, 316, "Act"]], "tokenized_text": ["For", "and", "in", "consideration", "of", "the", "payments", "and", "benefits", "described", "in", "the", "Separation", "Agreement", ",", "and", "other", "good", "and", "valuable", "consideration", "(", "collectively", ",", "theConsideration", ")", ",", "I", ",", "for", "and", "on", "behalf", "of", "myself", "and", "my", "heirs", ",", "administrators", ",", "executors", "and", "assigns", ",", "effective", "the", "date", "hereof", ",", "do", "fully", "and", "forever", "release", ",", "remise", "and", "discharge", "the", "Company", ",", "and", "any", "other", "member", "of", "the", "Company", "Group", ",", "together", "with", "their", "respective", "current", "and", "former", "officers", ",", "directors", ",", "partners", ",", "members", ",", "shareholders", ",", "fiduciaries", ",", "counsel", ",", "employees", "and", "agents", "(", "collectively", ",", "and", "with", "the", "Company", ",", "theCompany", "Parties", ")", "from", "any", "and", "all", "claims", "whatsoever", "up", "to", "the", "date", "hereof", "which", "I", "had", ",", "may", "have", "had", ",", "or", "now", "have", "against", "the", "Company", "Parties", ",", "for", "or", "by", "reason", "of", "any", "matter", ",", "cause", "or", "thing", "whatsoever", ",", "including", "any", "claim", "arising", "out", "of", "or", "attributable", "to", "my", "employment", "or", "the", "termination", "of", "my", "employment", "with", "the", "Company", "or", "otherwise", ",", "whether", "for", "(", "by", "way", "of", "example", "only", ")", "tort", ",", "breach", "of", "express", "or", "implied", "employment", "contract", ",", "intentional", "infliction", "of", "emotional", "distress", ",", "wrongful", "termination", ",", "unjust", "dismissal", ",", "defamation", ",", "libel", "or", "slander", ",", "or", "under", "any", "federal", ",", "state", "or", "local", "law", ",", "rule", "or", "regulation", ",", "or", "the", "common", "law", ",", "dealing", "with", "employment", ",", "including", ",", "but", "not", "limited", "to", ",", "discrimination", "in", "employment", "based", "on", "age", ",", "race", ",", "sex", ",", "national", "origin", ",", "handicap", ",", "religion", ",", "disability", "or", "sexual", "orientation", ".", "This", "release", "of", "claims", "includes", ",", "but", "is", "not", "limited", "to", ",", "all", "claims", "arising", "under", "the", "Age", "Discrimination", "in", "Employment", "Act", "(", "ADEA", ")", ",", "Title", "VII", "of", "the", "Civil", "Rights", "Act", ",", "the", "Americans", "with", "Disabilities", "Act", ",", "the", "Civil", "Rights", "Act", "of", "1991", ",", "the", "Family", "Medical", "Leave", "Act", ",", "and", "the", "Equal", "Pay", "Act", ",", "each", "as", "may", "be", "amended", "from", "time", "to", "time", ",", "and", "all", "other", "federal", ",", "state", "and", "local", "laws", ",", "the", "common", "law", "and", "any", "other", "purported", "restriction", "on", "an", "employers", "right", "to", "terminate", "the", "employment", "of", "employees", ".", "I", "intend", "the", "release", "contained", "herein", "to", "be", "a", "general", "release", "of", "any", "and", "all", "claims", "to", "the", "fullest", "extent", "permissible", "by", "law", "."]}
{"id": "13643", "text": "EXCEPT WHERE PREEMPTED BY FEDERAL LAW, THIS RELEASE SHALL BE GOVERNED BY AND CONSTRUED IN ACCORDANCE WITH FEDERAL LAW AND THE LAWS OF THE STATE OF DELAWARE <sup> , APPLICABLE <sup> TO AGREEMENTS MADE AND TO BE PERFORMED IN THAT STATE WITHOUT GIVING EFFECT TO THE PRINCIPLES OF CONFLICTS OF LAWS. I HEREBY WAIVE ANY RIGHT TO TRIAL BY JURY IN CONNECTION WITH ANY SUIT, ACTION, OR PROCEEDING UNDER OR IN CONNECTION WITH THIS RELEASE.", "ner": [[25, 27, "Court"]], "tokenized_text": ["EXCEPT", "WHERE", "PREEMPTED", "BY", "FEDERAL", "LAW", ",", "THIS", "RELEASE", "SHALL", "BE", "GOVERNED", "BY", "AND", "CONSTRUED", "IN", "ACCORDANCE", "WITH", "FEDERAL", "LAW", "AND", "THE", "LAWS", "OF", "THE", "STATE", "OF", "DELAWARE", "<", "sup", ">", ",", "APPLICABLE", "<", "sup", ">", "TO", "AGREEMENTS", "MADE", "AND", "TO", "BE", "PERFORMED", "IN", "THAT", "STATE", "WITHOUT", "GIVING", "EFFECT", "TO", "THE", "PRINCIPLES", "OF", "CONFLICTS", "OF", "LAWS", ".", "I", "HEREBY", "WAIVE", "ANY", "RIGHT", "TO", "TRIAL", "BY", "JURY", "IN", "CONNECTION", "WITH", "ANY", "SUIT", ",", "ACTION", ",", "OR", "PROCEEDING", "UNDER", "OR", "IN", "CONNECTION", "WITH", "THIS", "RELEASE", "."]}
{"id": "13645", "text": "As used in this agreement (the Release of Claims), the term claims will include all claims, covenants, warranties, promises, undertakings, actions, suits, causes of action, obligations, debts, accounts, attorneys fees, judgments, losses and liabilities, of whatsoever kind or nature, in law, equity or otherwise. Capitalized terms not otherwise defined herein shall have the meaning set forth in the Separation and Release Agreement, delivered to me September 21, 2016 (the Separation Agreement).", "ner": [[78, 81, "Title"], [86, 89, "EffectiveDate"], [92, 93, "Title"]], "tokenized_text": ["As", "used", "in", "this", "agreement", "(", "the", "Release", "of", "Claims", ")", ",", "the", "term", "claims", "will", "include", "all", "claims", ",", "covenants", ",", "warranties", ",", "promises", ",", "undertakings", ",", "actions", ",", "suits", ",", "causes", "of", "action", ",", "obligations", ",", "debts", ",", "accounts", ",", "attorneys", "fees", ",", "judgments", ",", "losses", "and", "liabilities", ",", "of", "whatsoever", "kind", "or", "nature", ",", "in", "law", ",", "equity", "or", "otherwise", ".", "Capitalized", "terms", "not", "otherwise", "defined", "herein", "shall", "have", "the", "meaning", "set", "forth", "in", "the", "Separation", "and", "Release", "Agreement", ",", "delivered", "to", "me", "September", "21", ",", "2016", "(", "the", "Separation", "Agreement", ")", "."]}
{"id": "13646", "text": "For and in consideration of the payments and benefits described in the Separation Agreement, and other good and valuable consideration (collectively, the Consideration), I, for and on behalf of myself and my heirs, administrators, executors and assigns, effective the date hereof, do fully and forever release, remise and discharge the Company, and any other member of the Company Group, together with their respective current and former officers, directors, partners, members, shareholders, fiduciaries, counsel, employees and agents (collectively, and with the Company, the Company Parties) from any and all claims whatsoever up to the date hereof which I had, may have had, or now have against the Company Parties, for or by reason of any matter, cause or thing whatsoever, including any claim arising out of or attributable to my employment or the termination of my employment with the Company or otherwise, whether for (by way of example only) tort, breach of express or implied employment contract, intentional infliction of emotional distress, wrongful termination, unjust dismissal, defamation, libel or slander, or under any federal, state or local law, rule or regulation, or the common law, dealing with employment, including, but not limited to, discrimination in employment based on age, race, sex, national origin, handicap, religion, disability or sexual orientation. This release of claims includes, but is not limited to, all claims arising under the Age Discrimination in Employment Act ( ADEA), Title VII of the Civil Rights Act, the Americans with Disabilities Act, the Civil Rights Act of 1991 , the Family Medical Leave Act, and the Equal Pay Act, each as may be amended from time to time, and all other federal, state and local laws, the common law and any other purported restriction on an employers right to terminate the employment of employees. I intend the release contained herein to be a general release of any and all claims to the fullest extent permissible by law.", "ner": [[12, 13, "Title"], [278, 282, "Act"], [291, 293, "Act"], [296, 299, "Act"], [302, 306, "Act"], [309, 312, "Act"], [316, 318, "Act"]], "tokenized_text": ["For", "and", "in", "consideration", "of", "the", "payments", "and", "benefits", "described", "in", "the", "Separation", "Agreement", ",", "and", "other", "good", "and", "valuable", "consideration", "(", "collectively", ",", "the", "Consideration", ")", ",", "I", ",", "for", "and", "on", "behalf", "of", "myself", "and", "my", "heirs", ",", "administrators", ",", "executors", "and", "assigns", ",", "effective", "the", "date", "hereof", ",", "do", "fully", "and", "forever", "release", ",", "remise", "and", "discharge", "the", "Company", ",", "and", "any", "other", "member", "of", "the", "Company", "Group", ",", "together", "with", "their", "respective", "current", "and", "former", "officers", ",", "directors", ",", "partners", ",", "members", ",", "shareholders", ",", "fiduciaries", ",", "counsel", ",", "employees", "and", "agents", "(", "collectively", ",", "and", "with", "the", "Company", ",", "the", "Company", "Parties", ")", "from", "any", "and", "all", "claims", "whatsoever", "up", "to", "the", "date", "hereof", "which", "I", "had", ",", "may", "have", "had", ",", "or", "now", "have", "against", "the", "Company", "Parties", ",", "for", "or", "by", "reason", "of", "any", "matter", ",", "cause", "or", "thing", "whatsoever", ",", "including", "any", "claim", "arising", "out", "of", "or", "attributable", "to", "my", "employment", "or", "the", "termination", "of", "my", "employment", "with", "the", "Company", "or", "otherwise", ",", "whether", "for", "(", "by", "way", "of", "example", "only", ")", "tort", ",", "breach", "of", "express", "or", "implied", "employment", "contract", ",", "intentional", "infliction", "of", "emotional", "distress", ",", "wrongful", "termination", ",", "unjust", "dismissal", ",", "defamation", ",", "libel", "or", "slander", ",", "or", "under", "any", "federal", ",", "state", "or", "local", "law", ",", "rule", "or", "regulation", ",", "or", "the", "common", "law", ",", "dealing", "with", "employment", ",", "including", ",", "but", "not", "limited", "to", ",", "discrimination", "in", "employment", "based", "on", "age", ",", "race", ",", "sex", ",", "national", "origin", ",", "handicap", ",", "religion", ",", "disability", "or", "sexual", "orientation", ".", "This", "release", "of", "claims", "includes", ",", "but", "is", "not", "limited", "to", ",", "all", "claims", "arising", "under", "the", "Age", "Discrimination", "in", "Employment", "Act", "(", "ADEA", ")", ",", "Title", "VII", "of", "the", "Civil", "Rights", "Act", ",", "the", "Americans", "with", "Disabilities", "Act", ",", "the", "Civil", "Rights", "Act", "of", "1991", ",", "the", "Family", "Medical", "Leave", "Act", ",", "and", "the", "Equal", "Pay", "Act", ",", "each", "as", "may", "be", "amended", "from", "time", "to", "time", ",", "and", "all", "other", "federal", ",", "state", "and", "local", "laws", ",", "the", "common", "law", "and", "any", "other", "purported", "restriction", "on", "an", "employers", "right", "to", "terminate", "the", "employment", "of", "employees", ".", "I", "intend", "the", "release", "contained", "herein", "to", "be", "a", "general", "release", "of", "any", "and", "all", "claims", "to", "the", "fullest", "extent", "permissible", "by", "law", "."]}
{"id": "13648", "text": "| /s/ Jeff Likosar ---|--- | Jeff Likosar | | 9/21/16 | Dated:", "ner": [[4, 5, "Parties"], [18, 22, "Ratio"]], "tokenized_text": ["|", "/", "s", "/", "Jeff", "Likosar", "-", "-", "-", "|", "-", "-", "-", "|", "Jeff", "Likosar", "|", "|", "9", "/", "21", "/", "16", "|", "Dated", ":"]}
{"id": "13650", "text": "(b) The Released Claims include, without limitation, (i) any claims based either in whole or in part upon any facts, circumstances, acts, or omissions in any way arising out of, based upon, or related to Executives employment with the Company or the termination thereof; (ii) any claims or regulation, local ordinance, or the common law, regarding employment or prohibiting employment discrimination, harassment, or retaliation, including, without limitation, arising under any federal or state statute or regulation, local ordinance, or the common law, regarding employment or prohibiting employment discrimination, harassment, or retaliation, including, without limitation, the Employee understands and agrees that the foregoing release provisions waive and release Claims alleging violations of any federal or state employment discrimination law, including without limitation the California Fair Employment and Housing Act, Title VII of the Civil Rights Act of 1964 ; the Americans with Disabilities Act; the Age Discrimination in Employment Act ( ADEA); Employee Retirement Income Security Act ( ERISA); as well as Claims arising out of or related to violations of any other state or federal law, rule or regulation or any Claim arising out of any common law theory.", "ner": [[153, 158, "Act"], [164, 168, "Act"], [171, 174, "Act"], [177, 181, "Act"], [186, 190, "Act"]], "tokenized_text": ["(", "b", ")", "The", "Released", "Claims", "include", ",", "without", "limitation", ",", "(", "i", ")", "any", "claims", "based", "either", "in", "whole", "or", "in", "part", "upon", "any", "facts", ",", "circumstances", ",", "acts", ",", "or", "omissions", "in", "any", "way", "arising", "out", "of", ",", "based", "upon", ",", "or", "related", "to", "Executives", "employment", "with", "the", "Company", "or", "the", "termination", "thereof", ";", "(", "ii", ")", "any", "claims", "or", "regulation", ",", "local", "ordinance", ",", "or", "the", "common", "law", ",", "regarding", "employment", "or", "prohibiting", "employment", "discrimination", ",", "harassment", ",", "or", "retaliation", ",", "including", ",", "without", "limitation", ",", "arising", "under", "any", "federal", "or", "state", "statute", "or", "regulation", ",", "local", "ordinance", ",", "or", "the", "common", "law", ",", "regarding", "employment", "or", "prohibiting", "employment", "discrimination", ",", "harassment", ",", "or", "retaliation", ",", "including", ",", "without", "limitation", ",", "the", "Employee", "understands", "and", "agrees", "that", "the", "foregoing", "release", "provisions", "waive", "and", "release", "Claims", "alleging", "violations", "of", "any", "federal", "or", "state", "employment", "discrimination", "law", ",", "including", "without", "limitation", "the", "California", "Fair", "Employment", "and", "Housing", "Act", ",", "Title", "VII", "of", "the", "Civil", "Rights", "Act", "of", "1964", ";", "the", "Americans", "with", "Disabilities", "Act", ";", "the", "Age", "Discrimination", "in", "Employment", "Act", "(", "ADEA", ")", ";", "Employee", "Retirement", "Income", "Security", "Act", "(", "ERISA", ")", ";", "as", "well", "as", "Claims", "arising", "out", "of", "or", "related", "to", "violations", "of", "any", "other", "state", "or", "federal", "law", ",", "rule", "or", "regulation", "or", "any", "Claim", "arising", "out", "of", "any", "common", "law", "theory", "."]}
{"id": "13652", "text": "(c) Dispute Resolution. All disputes and controversies arising out of or in connection with this Agreement shall be resolved exclusively by the state and federal courts located in Clark County in the State of Nevada , and each party hereto agrees to submit to the jurisdiction of said courts and agrees that venue shall lie exclusively with such courts. Each", "ner": [[31, 32, "Address"], [35, 37, "Court"]], "tokenized_text": ["(", "c", ")", "Dispute", "Resolution", ".", "All", "disputes", "and", "controversies", "arising", "out", "of", "or", "in", "connection", "with", "this", "Agreement", "shall", "be", "resolved", "exclusively", "by", "the", "state", "and", "federal", "courts", "located", "in", "Clark", "County", "in", "the", "State", "of", "Nevada", ",", "and", "each", "party", "hereto", "agrees", "to", "submit", "to", "the", "jurisdiction", "of", "said", "courts", "and", "agrees", "that", "venue", "shall", "lie", "exclusively", "with", "such", "courts", ".", "Each"]}
{"id": "13653", "text": "MEDIZONE INTERNATIONAL, INC. ,&lt; <sup> br/&gt;", "ner": [[0, 4, "Parties"]], "tokenized_text": ["MEDIZONE", "INTERNATIONAL", ",", "INC", ".", ",", "&", "lt", ";", "<", "sup", ">", "br", "/", "&", "gt", ";"]}
{"id": "13655", "text": "Kalamazoo, MI 49007 Phone:269-202-5020 Email : david.esposito@medizoneint.com ---|---|---", "ner": [[0, 3, "Address"], [6, 6, "PII_Ref"], [9, 15, "PII_Ref"]], "tokenized_text": ["Kalamazoo", ",", "MI", "49007", "Phone", ":", "269-202-5020", "Email", ":", "david", ".", "esposito", "@", "medizoneint", ".", "com", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "13656", "text": "PURCHASE AND SALE AGREEMENT", "ner": [[0, 3, "Title"]], "tokenized_text": ["PURCHASE", "AND", "SALE", "AGREEMENT"]}
{"id": "13660", "text": "2.2 Deposit. Purchaser and Seller agree that within three (3)business days from the Effective Date, Purchaser will as evidence of its good faith and intentions, deposit the sum of One Hundred Eighty-Seven Thousand Five Hundred and No/100 Dollars ($187,500.00) (together with any interest earned thereon, the Initial Deposit) with HBI Title Services, Inc., 7575 Huntington Park Drive, Columbus, OH 43235 (Escrow Agent). The Initial Deposit will be dealt with in accordance with the express terms of this Agreement. HBI Title, Inc. shall serve as the title company (the Title Company) in connection with this Agreement. In the event Purchaser does not terminate this Agreement prior to the expiration of the Due Diligence Period, Purchaser shall be required to remit an additional deposit to Escrow Agent for deposit into the escrow account in the amount of One Hundred Twelve Thousand Five Hundred and No/100 Dollars ($112,500.00) (together with any interest earned thereon, the Additional Deposit) on or before the expiration of the Due Diligence Period. The term Deposit means the Initial Deposit until the Additional Deposit is made, and after Additional Deposit is made, it means the Initial Deposit and Additional Deposit. The Deposit shall be dealt with in accordance with the express terms of this Agreement. The Deposit shall, at Closing, be paid to Seller and applied in reduction of the Purchase Price.", "ner": [[49, 54, "Principal"], [76, 83, "Address"], [182, 187, "Principal"]], "tokenized_text": ["2", ".", "2", "Deposit", ".", "Purchaser", "and", "Seller", "agree", "that", "within", "three", "(", "3", ")", "business", "days", "from", "the", "Effective", "Date", ",", "Purchaser", "will", "as", "evidence", "of", "its", "good", "faith", "and", "intentions", ",", "deposit", "the", "sum", "of", "One", "Hundred", "Eighty-Seven", "Thousand", "Five", "Hundred", "and", "No", "/", "100", "Dollars", "(", "$", "187", ",", "500", ".", "00", ")", "(", "together", "with", "any", "interest", "earned", "thereon", ",", "the", "Initial", "Deposit", ")", "with", "HBI", "Title", "Services", ",", "Inc", ".", ",", "7575", "Huntington", "Park", "Drive", ",", "Columbus", ",", "OH", "43235", "(", "Escrow", "Agent", ")", ".", "The", "Initial", "Deposit", "will", "be", "dealt", "with", "in", "accordance", "with", "the", "express", "terms", "of", "this", "Agreement", ".", "HBI", "Title", ",", "Inc", ".", "shall", "serve", "as", "the", "title", "company", "(", "the", "Title", "Company", ")", "in", "connection", "with", "this", "Agreement", ".", "In", "the", "event", "Purchaser", "does", "not", "terminate", "this", "Agreement", "prior", "to", "the", "expiration", "of", "the", "Due", "Diligence", "Period", ",", "Purchaser", "shall", "be", "required", "to", "remit", "an", "additional", "deposit", "to", "Escrow", "Agent", "for", "deposit", "into", "the", "escrow", "account", "in", "the", "amount", "of", "One", "Hundred", "Twelve", "Thousand", "Five", "Hundred", "and", "No", "/", "100", "Dollars", "(", "$", "112", ",", "500", ".", "00", ")", "(", "together", "with", "any", "interest", "earned", "thereon", ",", "the", "Additional", "Deposit", ")", "on", "or", "before", "the", "expiration", "of", "the", "Due", "Diligence", "Period", ".", "The", "term", "Deposit", "means", "the", "Initial", "Deposit", "until", "the", "Additional", "Deposit", "is", "made", ",", "and", "after", "Additional", "Deposit", "is", "made", ",", "it", "means", "the", "Initial", "Deposit", "and", "Additional", "Deposit", ".", "The", "Deposit", "shall", "be", "dealt", "with", "in", "accordance", "with", "the", "express", "terms", "of", "this", "Agreement", ".", "The", "Deposit", "shall", ",", "at", "Closing", ",", "be", "paid", "to", "Seller", "and", "applied", "in", "reduction", "of", "the", "Purchase", "Price", "."]}
{"id": "13662", "text": "6.2 Collective Bargaining, Employment Agreements, etc . Seller is a party only to those employment contracts, collective bargaining agreements, pension, bonus, profit-sharing, stock option, or other agreements or arrangements, providing for employee remuneration or benefits listed on Schedule 6 (the Employment Agreements). Seller is not a party to any other contract or agreement with any labor union relating to the operation of the Property. There are no pending or threatened unfair labor practices or grievance proceedings involving any Hotel employee, and to Sellers Knowledge, there is no on going organizing campaign at the Property on behalf of any union.", "ner": [[6, 7, "Title"], [21, 23, "Title"]], "tokenized_text": ["6", ".", "2", "Collective", "Bargaining", ",", "Employment", "Agreements", ",", "etc", ".", "Seller", "is", "a", "party", "only", "to", "those", "employment", "contracts", ",", "collective", "bargaining", "agreements", ",", "pension", ",", "bonus", ",", "profit-sharing", ",", "stock", "option", ",", "or", "other", "agreements", "or", "arrangements", ",", "providing", "for", "employee", "remuneration", "or", "benefits", "listed", "on", "Schedule", "6", "(", "the", "Employment", "Agreements", ")", ".", "Seller", "is", "not", "a", "party", "to", "any", "other", "contract", "or", "agreement", "with", "any", "labor", "union", "relating", "to", "the", "operation", "of", "the", "Property", ".", "There", "are", "no", "pending", "or", "threatened", "unfair", "labor", "practices", "or", "grievance", "proceedings", "involving", "any", "Hotel", "employee", ",", "and", "to", "Sellers", "Knowledge", ",", "there", "is", "no", "on", "going", "organizing", "campaign", "at", "the", "Property", "on", "behalf", "of", "any", "union", "."]}
{"id": "13664", "text": "(c) Accredited Investor. Seller is an accredited investor (as such term is defined in Rule 501 (a)of Regulation D under the 1933 Act).&lt; br/&gt;", "ner": [[18, 22, "Regulation"], [24, 25, "Regulation"], [28, 29, "Act"]], "tokenized_text": ["(", "c", ")", "Accredited", "Investor", ".", "Seller", "is", "an", "accredited", "investor", "(", "as", "such", "term", "is", "defined", "in", "Rule", "501", "(", "a", ")", "of", "Regulation", "D", "under", "the", "1933", "Act", ")", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "13675", "text": "1900 Avenue of the Stars, 7th Floor", "ner": [[0, 7, "Address"]], "tokenized_text": ["1900", "Avenue", "of", "the", "Stars", ",", "7th", "Floor"]}
{"id": "13677", "text": "7575 Huntington Park Drive", "ner": [[0, 3, "Address"]], "tokenized_text": ["7575", "Huntington", "Park", "Drive"]}
{"id": "13678", "text": "20\\. Governing Law/Venue. This Agreement shall be governed by the laws of the state in which the Real Property is located, without giving effect to any principles regarding conflict of laws, and each party hereby irrevocably and unconditionally agrees to be subject to the exclusive venue and jurisdiction for any action brought hereunder in any court of competent jurisdiction located in county in which the Real Property is located or a U.S. District Court having jurisdiction as to such location.", "ner": [[78, 83, "Court"]], "tokenized_text": ["20", "\\", ".", "Governing", "Law", "/", "Venue", ".", "This", "Agreement", "shall", "be", "governed", "by", "the", "laws", "of", "the", "state", "in", "which", "the", "Real", "Property", "is", "located", ",", "without", "giving", "effect", "to", "any", "principles", "regarding", "conflict", "of", "laws", ",", "and", "each", "party", "hereby", "irrevocably", "and", "unconditionally", "agrees", "to", "be", "subject", "to", "the", "exclusive", "venue", "and", "jurisdiction", "for", "any", "action", "brought", "hereunder", "in", "any", "court", "of", "competent", "jurisdiction", "located", "in", "county", "in", "which", "the", "Real", "Property", "is", "located", "or", "a", "U", ".", "S", ".", "District", "Court", "having", "jurisdiction", "as", "to", "such", "location", "."]}
{"id": "13679", "text": "| | | | | | ---|---|---|---|---|---|--- Purchaser CONDOR HOSPITALITY LIMITED PARTNERSHIP , a Virginia limited partnership By: Condor Hospitality REIT Trust, its General Partner | | | | By: | | /s/ Jeffrey W. Dougan | | | | Name: | | Jeffrey W. Dougan | | | | Title: | | V.P. Seller EASTVHR HS ROUND ROCK, LLC , a Texas limited liability company | By: | | /s/ Justin Mabey | | Name: | | Justin Mabey | | Title: | | Vice President JOINDER BY MANAGER", "ner": [[34, 37, "Parties"], [45, 48, "Parties"], [64, 67, "Parties"], [93, 98, "Parties"], [113, 114, "Parties"], [129, 130, "Role"]], "tokenized_text": ["|", "|", "|", "|", "|", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "Purchaser", "CONDOR", "HOSPITALITY", "LIMITED", "PARTNERSHIP", ",", "a", "Virginia", "limited", "partnership", "By", ":", "Condor", "Hospitality", "REIT", "Trust", ",", "its", "General", "Partner", "|", "|", "|", "|", "By", ":", "|", "|", "/", "s", "/", "Jeffrey", "W", ".", "Dougan", "|", "|", "|", "|", "Name", ":", "|", "|", "Jeffrey", "W", ".", "Dougan", "|", "|", "|", "|", "Title", ":", "|", "|", "V", ".", "P", ".", "Seller", "EASTVHR", "HS", "ROUND", "ROCK", ",", "LLC", ",", "a", "Texas", "limited", "liability", "company", "|", "By", ":", "|", "|", "/", "s", "/", "Justin", "Mabey", "|", "|", "Name", ":", "|", "|", "Justin", "Mabey", "|", "|", "Title", ":", "|", "|", "Vice", "President", "JOINDER", "BY", "MANAGER"]}
{"id": "13683", "text": "THIS ASSIGNMENT AND ASSUMPTION OF INTANGIBLES (this Assignment) is made as of , 2017 (the Effective Date), by and between EASTVHR HS ROUND ROCK, LLC , a Texas limited liability company (Assignor), and (Assignee).", "ner": [[15, 15, "EffectiveDate"], [25, 30, "Parties"]], "tokenized_text": ["THIS", "ASSIGNMENT", "AND", "ASSUMPTION", "OF", "INTANGIBLES", "(", "this", "Assignment", ")", "is", "made", "as", "of", ",", "2017", "(", "the", "Effective", "Date", ")", ",", "by", "and", "between", "EASTVHR", "HS", "ROUND", "ROCK", ",", "LLC", ",", "a", "Texas", "limited", "liability", "company", "(", "Assignor", ")", ",", "and", "(", "Assignee", ")", "."]}
{"id": "13686", "text": "| (i) | Fiscal Year 1: Beginning Commencement Date through twelve (12)months following the Commencement Date, Lessee shall pay to Operator an amount equal to 1% of Gross Hotel Income for such Fiscal Year if the Hotel achieves an IR of 8.5% to 8.99% for such Fiscal Year. Lessee shall pay to Operator an additional amount equal to 1% of Gross Hotel Income for such Fiscal Year if the Hotel achieves an IR of 9.0% or higher for such Fiscal Year. ---|---|---", "ner": [[32, 33, "Percentage"], [49, 52, "Percentage"], [54, 57, "Percentage"], [90, 93, "Percentage"]], "tokenized_text": ["|", "(", "i", ")", "|", "Fiscal", "Year", "1", ":", "Beginning", "Commencement", "Date", "through", "twelve", "(", "12", ")", "months", "following", "the", "Commencement", "Date", ",", "Lessee", "shall", "pay", "to", "Operator", "an", "amount", "equal", "to", "1", "%", "of", "Gross", "Hotel", "Income", "for", "such", "Fiscal", "Year", "if", "the", "Hotel", "achieves", "an", "IR", "of", "8", ".", "5", "%", "to", "8", ".", "99", "%", "for", "such", "Fiscal", "Year", ".", "Lessee", "shall", "pay", "to", "Operator", "an", "additional", "amount", "equal", "to", "1", "%", "of", "Gross", "Hotel", "Income", "for", "such", "Fiscal", "Year", "if", "the", "Hotel", "achieves", "an", "IR", "of", "9", ".", "0", "%", "or", "higher", "for", "such", "Fiscal", "Year", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "13692", "text": "10370 Richmond Ave. # 150", "ner": [[0, 5, "Address"]], "tokenized_text": ["10370", "Richmond", "Ave", ".", "#", "150"]}
{"id": "13693", "text": "Lessee and Operator shall execute and deliver all appropriate supplemental agreements and other instruments, and take any other action necessary to make this Agreement fully and legally effective, binding, and enforceable in accordance with the terms hereof as between them and as against third parties. Operator acknowledges that Parent is a reporting company under the Securities Exchange Act of 1934 , as amended, (the Exchange Act) and other federal laws, including the Sarbanes-Oxley Act of 2002 , and Operator shall reasonably cooperate in providing Lessee information as necessary for Parent to prepare and submit its reports under such laws in a timely fashion.", "ner": [[59, 63, "Act"], [80, 83, "Act"]], "tokenized_text": ["Lessee", "and", "Operator", "shall", "execute", "and", "deliver", "all", "appropriate", "supplemental", "agreements", "and", "other", "instruments", ",", "and", "take", "any", "other", "action", "necessary", "to", "make", "this", "Agreement", "fully", "and", "legally", "effective", ",", "binding", ",", "and", "enforceable", "in", "accordance", "with", "the", "terms", "hereof", "as", "between", "them", "and", "as", "against", "third", "parties", ".", "Operator", "acknowledges", "that", "Parent", "is", "a", "reporting", "company", "under", "the", "Securities", "Exchange", "Act", "of", "1934", ",", "as", "amended", ",", "(", "the", "Exchange", "Act", ")", "and", "other", "federal", "laws", ",", "including", "the", "Sarbanes-Oxley", "Act", "of", "2002", ",", "and", "Operator", "shall", "reasonably", "cooperate", "in", "providing", "Lessee", "information", "as", "necessary", "for", "Parent", "to", "prepare", "and", "submit", "its", "reports", "under", "such", "laws", "in", "a", "timely", "fashion", "."]}
{"id": "13694", "text": "This Agreement shall be construed and enforced in accordance with the laws of the State of Nebraska .", "ner": [[14, 16, "Court"]], "tokenized_text": ["This", "Agreement", "shall", "be", "construed", "and", "enforced", "in", "accordance", "with", "the", "laws", "of", "the", "State", "of", "Nebraska", "."]}
{"id": "13696", "text": "THIS LEASE AGREEMENT (the Agreement), made and entered into on this 17th of November 2016 by and between Onan Pislaru (Lessor) and Crona Corp. (Lessee) collectively referred to as (the Parties\").", "ner": [[1, 2, "Title"], [14, 17, "EffectiveDate"], [21, 22, "Parties"], [27, 29, "Parties"]], "tokenized_text": ["THIS", "LEASE", "AGREEMENT", "(", "the", "Agreement", ")", ",", "made", "and", "entered", "into", "on", "this", "17th", "of", "November", "2016", "by", "and", "between", "Onan", "Pislaru", "(", "Lessor", ")", "and", "Crona", "Corp", ".", "(", "Lessee", ")", "collectively", "referred", "to", "as", "(", "the", "Parties", "\"", ")", "."]}
{"id": "13697", "text": "In consideration of the rents to be paid hereunder and the covenants and obligations to be observed by the Lessee, Lessor does hereby lease to the Lessee and the Lessee does hereby lease and take from the Lessor the following property located at: 38 square meters at C. A. Rosetti 15, Bucharest, 30167 Romania together with all improvements located thereon (the \"Premises\").", "ner": [[45, 47, "Rent"], [49, 59, "Address"]], "tokenized_text": ["In", "consideration", "of", "the", "rents", "to", "be", "paid", "hereunder", "and", "the", "covenants", "and", "obligations", "to", "be", "observed", "by", "the", "Lessee", ",", "Lessor", "does", "hereby", "lease", "to", "the", "Lessee", "and", "the", "Lessee", "does", "hereby", "lease", "and", "take", "from", "the", "Lessor", "the", "following", "property", "located", "at", ":", "38", "square", "meters", "at", "C", ".", "A", ".", "Rosetti", "15", ",", "Bucharest", ",", "30167", "Romania", "together", "with", "all", "improvements", "located", "thereon", "(", "the", "\"", "Premises", "\"", ")", "."]}
{"id": "13698", "text": "Lease Agreement Crona Corp. Page 1", "ner": [[0, 1, "Title"]], "tokenized_text": ["Lease", "Agreement", "Crona", "Corp", ".", "Page", "1"]}
{"id": "13699", "text": "Lease Agreement Crona Corp. Page 2", "ner": [[0, 1, "Title"]], "tokenized_text": ["Lease", "Agreement", "Crona", "Corp", ".", "Page", "2"]}
{"id": "13702", "text": "Lease Agreement Crona Corp. Page 3", "ner": [[0, 1, "Title"]], "tokenized_text": ["Lease", "Agreement", "Crona", "Corp", ".", "Page", "3"]}
{"id": "13703", "text": "This Severance Agreement (the Agreement), effective as of the date set forth below, is made and entered into by and between U.S. Foodservice, Inc. (the Employer) and Keith Rohland (the Executive).", "ner": [[1, 2, "Title"], [25, 32, "Parties"], [38, 39, "Parties"]], "tokenized_text": ["This", "Severance", "Agreement", "(", "the", "Agreement", ")", ",", "effective", "as", "of", "the", "date", "set", "forth", "below", ",", "is", "made", "and", "entered", "into", "by", "and", "between", "U", ".", "S", ".", "Foodservice", ",", "Inc", ".", "(", "the", "Employer", ")", "and", "Keith", "Rohland", "(", "the", "Executive", ")", "."]}
{"id": "13706", "text": "10\\. Complete Agreement. This Agreement contains the complete agreement and understanding concerning the employment arrangement between the parties and will supersede all other agreements, understandings or commitments between the parties as to such subject matter, including but not limited to the Severance Agreement dated November19, 2007 between the parties. The parties agree that neither of them has made any representations concerning the subject matter of this Agreement except such representations as are specifically set forth herein.", "ner": [[46, 47, "Title"], [49, 51, "EffectiveDate"]], "tokenized_text": ["10", "\\", ".", "Complete", "Agreement", ".", "This", "Agreement", "contains", "the", "complete", "agreement", "and", "understanding", "concerning", "the", "employment", "arrangement", "between", "the", "parties", "and", "will", "supersede", "all", "other", "agreements", ",", "understandings", "or", "commitments", "between", "the", "parties", "as", "to", "such", "subject", "matter", ",", "including", "but", "not", "limited", "to", "the", "Severance", "Agreement", "dated", "November19", ",", "2007", "between", "the", "parties", ".", "The", "parties", "agree", "that", "neither", "of", "them", "has", "made", "any", "representations", "concerning", "the", "subject", "matter", "of", "this", "Agreement", "except", "such", "representations", "as", "are", "specifically", "set", "forth", "herein", "."]}
{"id": "13710", "text": "| | | | /s/ Keith Rohland | | | | | | | | Keith Rohland | | | | By: | | /s/ Dave Esler | | | | | | | | | | Its: | | Chief Human Resources Officer | | | | | | | | | | | | | | Address: | | | |", "ner": [[7, 8, "Parties"], [30, 31, "Parties"], [46, 49, "Role"]], "tokenized_text": ["|", "|", "|", "|", "/", "s", "/", "Keith", "Rohland", "|", "|", "|", "|", "|", "|", "|", "|", "Keith", "Rohland", "|", "|", "|", "|", "By", ":", "|", "|", "/", "s", "/", "Dave", "Esler", "|", "|", "|", "|", "|", "|", "|", "|", "|", "|", "Its", ":", "|", "|", "Chief", "Human", "Resources", "Officer", "|", "|", "|", "|", "|", "|", "|", "|", "|", "|", "|", "|", "|", "|", "Address", ":", "|", "|", "|", "|"]}
{"id": "13711", "text": "In consideration for the benefits to be provided to me under the terms of the Severance Agreement by and between U.S. Foodservice, Inc. (the Company) and me, effective , 20 (the Agreement), I hereby acknowledge, understand and agree under this Waiver and Release Agreement (the Release) to the following:", "ner": [[15, 16, "Title"], [20, 27, "Parties"], [52, 55, "Title"]], "tokenized_text": ["In", "consideration", "for", "the", "benefits", "to", "be", "provided", "to", "me", "under", "the", "terms", "of", "the", "Severance", "Agreement", "by", "and", "between", "U", ".", "S", ".", "Foodservice", ",", "Inc", ".", "(", "the", "Company", ")", "and", "me", ",", "effective", ",", "20", "(", "the", "Agreement", ")", ",", "I", "hereby", "acknowledge", ",", "understand", "and", "agree", "under", "this", "Waiver", "and", "Release", "Agreement", "(", "the", "Release", ")", "to", "the", "following", ":"]}
{"id": "13712", "text": "1\\. In consideration of the foregoing, including, without limitation, payment to me of the determined amounts under the Agreement, I unconditionally release the Company and all of its partners, affiliates, parents, predecessors, successors and assigns, and their respective officers, directors, trustees, employees, agents, administrators, representatives, attorneys, insurers or fiduciaries, past, present or future (collectively, the Released Parties) from any and all administrative claims, actions, suits, debts, demands, damages, claims, judgments, or liabilities of any nature, including costs and attorneys fees, whether known or unknown, including, but not limited to, all claims arising out of my employment with or separation from the Company and (by way of example only) any claims for bonus, severance, or other benefits apart from the benefits set forth in the Agreement; claims for breach of contract, wrongful discharge, tort claims (e.g., infliction of emotional distress, defamation, negligence, privacy, fraud, misrepresentation); claims under federal, state and local wage and hour laws and wage payment laws; claims for reimbursements; claims for commissions; or claims under the following, in each case, as amended: 1)Title VII of the Civil Rights Act of 1964 (race, color, religion, sex and national origin discrimination); 2) 42 U.S.C. 1981 (discrimination); 3) 29 U.S.C. 206 (d)(1) (equal pay); 4)Executive Order 11246 (race, color, religion, sex and national origin discrimination); 5)Age Discrimination in Employment Act and Executive Order 11,141 (age discrimination); (6)the Americans with Disabilities Act of 1990 (ADA), 42 U.S.C. 12101 , et seq.; 7) the Family and Medical Leave Act; 8)the Immigration Reform and Control Act; 9)[ Illinois Human Rights Act ( discrimination in employment)][INSERT APPLICABLE STATE LAWS]; 10)the Employee Retirement Income Security Act of 1974 , 29 U.S.C. 1001 et seq.; 11)the Vietnam Era Veterans Readjustment Assistance Act; 12) 503-504 of the Rehabilitation Act of 1973 (handicap discrimination), or any other claims under any other state, federal, local law, statute, regulation, or common law or claims at equity relating to conduct or events occurring prior to the date of this Release. [INSERT ANY APPLICABLE STATE SPECIFIC RELEASE LANGUAGE].", "ner": [[243, 247, "Act"], [264, 271, "Regulation"], [278, 288, "Regulation"], [299, 301, "Regulation"], [318, 322, "Act"], [324, 328, "Regulation"], [338, 343, "Act"], [348, 355, "Regulation"], [364, 368, "Act"], [373, 377, "Act"], [382, 385, "Act"], [402, 408, "Act"], [410, 417, "Regulation"], [425, 430, "Act"], [437, 440, "Act"]], "tokenized_text": ["1", "\\", ".", "In", "consideration", "of", "the", "foregoing", ",", "including", ",", "without", "limitation", ",", "payment", "to", "me", "of", "the", "determined", "amounts", "under", "the", "Agreement", ",", "I", "unconditionally", "release", "the", "Company", "and", "all", "of", "its", "partners", ",", "affiliates", ",", "parents", ",", "predecessors", ",", "successors", "and", "assigns", ",", "and", "their", "respective", "officers", ",", "directors", ",", "trustees", ",", "employees", ",", "agents", ",", "administrators", ",", "representatives", ",", "attorneys", ",", "insurers", "or", "fiduciaries", ",", "past", ",", "present", "or", "future", "(", "collectively", ",", "the", "Released", "Parties", ")", "from", "any", "and", "all", "administrative", "claims", ",", "actions", ",", "suits", ",", "debts", ",", "demands", ",", "damages", ",", "claims", ",", "judgments", ",", "or", "liabilities", "of", "any", "nature", ",", "including", "costs", "and", "attorneys", "fees", ",", "whether", "known", "or", "unknown", ",", "including", ",", "but", "not", "limited", "to", ",", "all", "claims", "arising", "out", "of", "my", "employment", "with", "or", "separation", "from", "the", "Company", "and", "(", "by", "way", "of", "example", "only", ")", "any", "claims", "for", "bonus", ",", "severance", ",", "or", "other", "benefits", "apart", "from", "the", "benefits", "set", "forth", "in", "the", "Agreement", ";", "claims", "for", "breach", "of", "contract", ",", "wrongful", "discharge", ",", "tort", "claims", "(", "e", ".", "g", ".", ",", "infliction", "of", "emotional", "distress", ",", "defamation", ",", "negligence", ",", "privacy", ",", "fraud", ",", "misrepresentation", ")", ";", "claims", "under", "federal", ",", "state", "and", "local", "wage", "and", "hour", "laws", "and", "wage", "payment", "laws", ";", "claims", "for", "reimbursements", ";", "claims", "for", "commissions", ";", "or", "claims", "under", "the", "following", ",", "in", "each", "case", ",", "as", "amended", ":", "1", ")", "Title", "VII", "of", "the", "Civil", "Rights", "Act", "of", "1964", "(", "race", ",", "color", ",", "religion", ",", "sex", "and", "national", "origin", "discrimination", ")", ";", "2", ")", "42", "U", ".", "S", ".", "C", ".", "1981", "(", "discrimination", ")", ";", "3", ")", "29", "U", ".", "S", ".", "C", ".", "206", "(", "d", ")", "(", "1", ")", "(", "equal", "pay", ")", ";", "4", ")", "Executive", "Order", "11246", "(", "race", ",", "color", ",", "religion", ",", "sex", "and", "national", "origin", "discrimination", ")", ";", "5", ")", "Age", "Discrimination", "in", "Employment", "Act", "and", "Executive", "Order", "11", ",", "141", "(", "age", "discrimination", ")", ";", "(", "6", ")", "the", "Americans", "with", "Disabilities", "Act", "of", "1990", "(", "ADA", ")", ",", "42", "U", ".", "S", ".", "C", ".", "12101", ",", "et", "seq", ".", ";", "7", ")", "the", "Family", "and", "Medical", "Leave", "Act", ";", "8", ")", "the", "Immigration", "Reform", "and", "Control", "Act", ";", "9", ")", "[", "Illinois", "Human", "Rights", "Act", "(", "discrimination", "in", "employment", ")", "]", "[", "INSERT", "APPLICABLE", "STATE", "LAWS", "]", ";", "10", ")", "the", "Employee", "Retirement", "Income", "Security", "Act", "of", "1974", ",", "29", "U", ".", "S", ".", "C", ".", "1001", "et", "seq", ".", ";", "11", ")", "the", "Vietnam", "Era", "Veterans", "Readjustment", "Assistance", "Act", ";", "12", ")", "503-504", "of", "the", "Rehabilitation", "Act", "of", "1973", "(", "handicap", "discrimination", ")", ",", "or", "any", "other", "claims", "under", "any", "other", "state", ",", "federal", ",", "local", "law", ",", "statute", ",", "regulation", ",", "or", "common", "law", "or", "claims", "at", "equity", "relating", "to", "conduct", "or", "events", "occurring", "prior", "to", "the", "date", "of", "this", "Release", ".", "[", "INSERT", "ANY", "APPLICABLE", "STATE", "SPECIFIC", "RELEASE", "LANGUAGE", "]", "."]}
{"id": "13713", "text": "BY SIGNING THIS RELEASE, I ACKNOWLEDGE THAT: I HAVE READ THIS RELEASE AND UNDERSTAND ITS TERMS; I HAVE HAD THE OPPORTUNITY TO REVIEW THIS RELEASE WITH LEGAL OR OTHER PERSONAL ADVISORS OF MY OWN CHOICE; I UNDERSTAND THAT BY SIGNING THIS RELEASE I AM RELEASING THE RELEASED PARTIES OF ALL CLAIMS AGAINST THEM; I HAVE BEEN GIVEN TWENTY-ONE DAYS TO CONSIDER THE TERMS AND EFFECT OF THIS RELEASE AND I VOLUNTARILY AGREE TO ITS TERMS.", "ner": [], "tokenized_text": ["BY", "SIGNING", "THIS", "RELEASE", ",", "I", "ACKNOWLEDGE", "THAT", ":", "I", "HAVE", "READ", "THIS", "RELEASE", "AND", "UNDERSTAND", "ITS", "TERMS", ";", "I", "HAVE", "HAD", "THE", "OPPORTUNITY", "TO", "REVIEW", "THIS", "RELEASE", "WITH", "LEGAL", "OR", "OTHER", "PERSONAL", "ADVISORS", "OF", "MY", "OWN", "CHOICE", ";", "I", "UNDERSTAND", "THAT", "BY", "SIGNING", "THIS", "RELEASE", "I", "AM", "RELEASING", "THE", "RELEASED", "PARTIES", "OF", "ALL", "CLAIMS", "AGAINST", "THEM", ";", "I", "HAVE", "BEEN", "GIVEN", "TWENTY-ONE", "DAYS", "TO", "CONSIDER", "THE", "TERMS", "AND", "EFFECT", "OF", "THIS", "RELEASE", "AND", "I", "VOLUNTARILY", "AGREE", "TO", "ITS", "TERMS", "."]}
{"id": "13714", "text": "TRANSITION AND RETIREMENT AGREEMENT", "ner": [[0, 3, "Title"]], "tokenized_text": ["TRANSITION", "AND", "RETIREMENT", "AGREEMENT"]}
{"id": "13715", "text": "PARTIES: The parties to this Transition and Retirement Agreement (Agreement) are THOMAS E. VICE (Mr. Vice) and NORTHROP GRUMMAN SYSTEMS CORPORATION (Northrop Grumman or the Company). | ---|--- 2.", "ner": [[6, 9, "Title"], [14, 17, "Parties"], [24, 27, "Parties"]], "tokenized_text": ["PARTIES", ":", "The", "parties", "to", "this", "Transition", "and", "Retirement", "Agreement", "(", "Agreement", ")", "are", "THOMAS", "E", ".", "VICE", "(", "Mr", ".", "Vice", ")", "and", "NORTHROP", "GRUMMAN", "SYSTEMS", "CORPORATION", "(", "Northrop", "Grumman", "or", "the", "Company", ")", ".", "|", "-", "-", "-", "|", "-", "-", "-", "2", "."]}
{"id": "13716", "text": "Mr. Vice has decided to retire effective August 18, 2017 , and to transition out of his current position on April 1, 2017, to enable him to support an effective transition for his successor and to support corporate initiatives until his retirement. He will remain a Corporate Vice President and continue to report to the CEO, with a primary office location of Falls Church, VA until he retires on August 18, 2017 . | ---|--- 2.2", "ner": [[8, 11, "TerminationDate"], [22, 25, "EffectiveDate"], [51, 53, "Role"], [60, 60, "Role"], [68, 71, "Address"]], "tokenized_text": ["Mr", ".", "Vice", "has", "decided", "to", "retire", "effective", "August", "18", ",", "2017", ",", "and", "to", "transition", "out", "of", "his", "current", "position", "on", "April", "1", ",", "2017", ",", "to", "enable", "him", "to", "support", "an", "effective", "transition", "for", "his", "successor", "and", "to", "support", "corporate", "initiatives", "until", "his", "retirement", ".", "He", "will", "remain", "a", "Corporate", "Vice", "President", "and", "continue", "to", "report", "to", "the", "CEO", ",", "with", "a", "primary", "office", "location", "of", "Falls", "Church", ",", "VA", "until", "he", "retires", "on", "August", "18", ",", "2017", ".", "|", "-", "-", "-", "|", "-", "-", "-", "2", ".", "2"]}
{"id": "13717", "text": "The Company will continue Mr. Vices employment until August 18, 2017 , subject to the Companys right to terminate Mr. Vice for Cause. For purposes of this Section 3.1, Cause includes any of the following: (i) Mr. Vices failure to perform his assigned duties in accordance with the Companys expected standards after being given written notice of deficiency, or (ii) Mr. Vices commission of an act of misconduct, or (iii) Mr. Vices conviction of any crime or loss of security clearance. | ---|--- 3.2", "ner": [[9, 12, "TerminationDate"]], "tokenized_text": ["The", "Company", "will", "continue", "Mr", ".", "Vices", "employment", "until", "August", "18", ",", "2017", ",", "subject", "to", "the", "Companys", "right", "to", "terminate", "Mr", ".", "Vice", "for", "Cause", ".", "For", "purposes", "of", "this", "Section", "3", ".", "1", ",", "Cause", "includes", "any", "of", "the", "following", ":", "(", "i", ")", "Mr", ".", "Vices", "failure", "to", "perform", "his", "assigned", "duties", "in", "accordance", "with", "the", "Companys", "expected", "standards", "after", "being", "given", "written", "notice", "of", "deficiency", ",", "or", "(", "ii", ")", "Mr", ".", "Vices", "commission", "of", "an", "act", "of", "misconduct", ",", "or", "(", "iii", ")", "Mr", ".", "Vices", "conviction", "of", "any", "crime", "or", "loss", "of", "security", "clearance", ".", "|", "-", "-", "-", "|", "-", "-", "-", "3", ".", "2"]}
{"id": "13721", "text": "Mr. Vice will receive his Early Retirement treatment of his 2015 Restricted Performance Stock Rights (RPSR) grant, provided (i) Mr. Vices employment continues through July 30, 2017; and (ii) the Company determines that Mr. Vice has complied and continues to comply with all of his obligations under 2015 RPSR Terms and this Agreement (including without limitation the provisions of Sections 6 and 3.6). The Parties agree to modify, by this Agreement, Section 1.2 of the Terms and Conditions Applicable to 2015 Restricted Performance Stock Rights (2015 RPSR Terms) so that Mr. Vice will receive payment of the prorated RPSRs (and related Dividend Equivalents) in 2018 on or before March 15, 2018. If Mr. Vice breaches the 2015 RPSR Terms or this Agreement, he agrees to deliver to the Company immediately upon request an amount in cash equal to the aggregate Fair Market Value, determined as of the payment date of all RPSRs already settled, including any Dividend Equivalents. Except as modified hereby, the 2015 RPSR Terms shall continue to apply in accordance with their terms. | ---|--- 3.5.3", "ner": [[11, 15, "Title"], [31, 34, "TerminationDate"], [59, 61, "Title"]], "tokenized_text": ["Mr", ".", "Vice", "will", "receive", "his", "Early", "Retirement", "treatment", "of", "his", "2015", "Restricted", "Performance", "Stock", "Rights", "(", "RPSR", ")", "grant", ",", "provided", "(", "i", ")", "Mr", ".", "Vices", "employment", "continues", "through", "July", "30", ",", "2017", ";", "and", "(", "ii", ")", "the", "Company", "determines", "that", "Mr", ".", "Vice", "has", "complied", "and", "continues", "to", "comply", "with", "all", "of", "his", "obligations", "under", "2015", "RPSR", "Terms", "and", "this", "Agreement", "(", "including", "without", "limitation", "the", "provisions", "of", "Sections", "6", "and", "3", ".", "6", ")", ".", "The", "Parties", "agree", "to", "modify", ",", "by", "this", "Agreement", ",", "Section", "1", ".", "2", "of", "the", "Terms", "and", "Conditions", "Applicable", "to", "2015", "Restricted", "Performance", "Stock", "Rights", "(", "2015", "RPSR", "Terms", ")", "so", "that", "Mr", ".", "Vice", "will", "receive", "payment", "of", "the", "prorated", "RPSRs", "(", "and", "related", "Dividend", "Equivalents", ")", "in", "2018", "on", "or", "before", "March", "15", ",", "2018", ".", "If", "Mr", ".", "Vice", "breaches", "the", "2015", "RPSR", "Terms", "or", "this", "Agreement", ",", "he", "agrees", "to", "deliver", "to", "the", "Company", "immediately", "upon", "request", "an", "amount", "in", "cash", "equal", "to", "the", "aggregate", "Fair", "Market", "Value", ",", "determined", "as", "of", "the", "payment", "date", "of", "all", "RPSRs", "already", "settled", ",", "including", "any", "Dividend", "Equivalents", ".", "Except", "as", "modified", "hereby", ",", "the", "2015", "RPSR", "Terms", "shall", "continue", "to", "apply", "in", "accordance", "with", "their", "terms", ".", "|", "-", "-", "-", "|", "-", "-", "-", "3", ".", "5", ".", "3"]}
{"id": "13725", "text": "Mr. Vice agrees that for a period of twenty-four (24) months from the Retirement Date, he will not engage in a Competitive Business, including as director, member, partner, principal, proprietor, agent, consultant, officer, or employee. For the purpose of this Agreement, Competitive Business shall mean one that engages, directly and indirectly, in a business engaged in by the Company or any of its parents, subsidiaries, affiliates or joint ventures, as of the Retirement Date, including a business that provides products and/or services as a prime or subcontractor to government customers in the United States of America, the United Kingdom, NATO, the European Union, Australia, South Korea, Japan, India, the United Arab Emirates , Qatar, Kuwait, Iraq, Afghanistan, and/or the Kingdom of Saudi Arabia, in the areas of manned and unmanned aircraft, space, C4ISR, strike systems, cyber, sensors, electronics, through-life support and", "ner": [[156, 159, "Parties"]], "tokenized_text": ["Mr", ".", "Vice", "agrees", "that", "for", "a", "period", "of", "twenty-four", "(", "24", ")", "months", "from", "the", "Retirement", "Date", ",", "he", "will", "not", "engage", "in", "a", "Competitive", "Business", ",", "including", "as", "director", ",", "member", ",", "partner", ",", "principal", ",", "proprietor", ",", "agent", ",", "consultant", ",", "officer", ",", "or", "employee", ".", "For", "the", "purpose", "of", "this", "Agreement", ",", "Competitive", "Business", "shall", "mean", "one", "that", "engages", ",", "directly", "and", "indirectly", ",", "in", "a", "business", "engaged", "in", "by", "the", "Company", "or", "any", "of", "its", "parents", ",", "subsidiaries", ",", "affiliates", "or", "joint", "ventures", ",", "as", "of", "the", "Retirement", "Date", ",", "including", "a", "business", "that", "provides", "products", "and", "/", "or", "services", "as", "a", "prime", "or", "subcontractor", "to", "government", "customers", "in", "the", "United", "States", "of", "America", ",", "the", "United", "Kingdom", ",", "NATO", ",", "the", "European", "Union", ",", "Australia", ",", "South", "Korea", ",", "Japan", ",", "India", ",", "the", "United", "Arab", "Emirates", ",", "Qatar", ",", "Kuwait", ",", "Iraq", ",", "Afghanistan", ",", "and", "/", "or", "the", "Kingdom", "of", "Saudi", "Arabia", ",", "in", "the", "areas", "of", "manned", "and", "unmanned", "aircraft", ",", "space", ",", "C4ISR", ",", "strike", "systems", ",", "cyber", ",", "sensors", ",", "electronics", ",", "through-life", "support", "and"]}
{"id": "13726", "text": "proceedings arising under this Agreement shall be heard in state or federal court in the Commonwealth of Virginia. The Company and Mr. Vice hereby waive any right to object to such actions on grounds of venue, jurisdiction or convenience. The Company and Mr. Vice stipulate that the state and federal courts located in or for Fairfax County, Virginia shall have in personam jurisdiction and venue for the purpose of litigating any such dispute, controversy, claim, or complaint arising out of or related to this Agreement. Mr. Vice hereby agrees that service of process sufficient for personal jurisdiction in any action or proceeding involving him may be made by registered or certified mail, return receipt requested, to the address on file with the Company, or by electronic service of process through the Internet when authorized by a court of competent jurisdiction.", "ner": [[15, 17, "Court"], [22, 24, "Parties"], [60, 63, "Court"]], "tokenized_text": ["proceedings", "arising", "under", "this", "Agreement", "shall", "be", "heard", "in", "state", "or", "federal", "court", "in", "the", "Commonwealth", "of", "Virginia", ".", "The", "Company", "and", "Mr", ".", "Vice", "hereby", "waive", "any", "right", "to", "object", "to", "such", "actions", "on", "grounds", "of", "venue", ",", "jurisdiction", "or", "convenience", ".", "The", "Company", "and", "Mr", ".", "Vice", "stipulate", "that", "the", "state", "and", "federal", "courts", "located", "in", "or", "for", "Fairfax", "County", ",", "Virginia", "shall", "have", "in", "personam", "jurisdiction", "and", "venue", "for", "the", "purpose", "of", "litigating", "any", "such", "dispute", ",", "controversy", ",", "claim", ",", "or", "complaint", "arising", "out", "of", "or", "related", "to", "this", "Agreement", ".", "Mr", ".", "Vice", "hereby", "agrees", "that", "service", "of", "process", "sufficient", "for", "personal", "jurisdiction", "in", "any", "action", "or", "proceeding", "involving", "him", "may", "be", "made", "by", "registered", "or", "certified", "mail", ",", "return", "receipt", "requested", ",", "to", "the", "address", "on", "file", "with", "the", "Company", ",", "or", "by", "electronic", "service", "of", "process", "through", "the", "Internet", "when", "authorized", "by", "a", "court", "of", "competent", "jurisdiction", "."]}
{"id": "13727", "text": "SOLE AND ENTIRE AGREEMENT; TRADE SECRETS: This Agreement expresses the entire understanding between the Company and Mr. Vice on the matters it covers. It supersedes all prior discussions, agreements, understandings and negotiations between the parties on these matters; except that any writing between the Company and Mr. Vice relating to protection or non-disclosure of Company trade secrets or other information, intellectual property and/or certifications made by Mr. Vice shall remain in effect, and the Terms and Conditions Applicable to 2014, 2015, 2016, and 2017 Restricted Performance Stock Rights and Restricted Stock Rights shall all remain in full force and effect in accordance with their terms except as modified hereby. Mr. Vice shall not be held liable under this Agreement for properly making any confidential disclosure of a Company trade secret or other intellectual property to a government official for purposes of reporting or in connection with the investigation of a suspected violation of law or regulation. | ---|--- 16.", "ner": [[18, 20, "Parties"]], "tokenized_text": ["SOLE", "AND", "ENTIRE", "AGREEMENT", ";", "TRADE", "SECRETS", ":", "This", "Agreement", "expresses", "the", "entire", "understanding", "between", "the", "Company", "and", "Mr", ".", "Vice", "on", "the", "matters", "it", "covers", ".", "It", "supersedes", "all", "prior", "discussions", ",", "agreements", ",", "understandings", "and", "negotiations", "between", "the", "parties", "on", "these", "matters", ";", "except", "that", "any", "writing", "between", "the", "Company", "and", "Mr", ".", "Vice", "relating", "to", "protection", "or", "non-disclosure", "of", "Company", "trade", "secrets", "or", "other", "information", ",", "intellectual", "property", "and", "/", "or", "certifications", "made", "by", "Mr", ".", "Vice", "shall", "remain", "in", "effect", ",", "and", "the", "Terms", "and", "Conditions", "Applicable", "to", "2014", ",", "2015", ",", "2016", ",", "and", "2017", "Restricted", "Performance", "Stock", "Rights", "and", "Restricted", "Stock", "Rights", "shall", "all", "remain", "in", "full", "force", "and", "effect", "in", "accordance", "with", "their", "terms", "except", "as", "modified", "hereby", ".", "Mr", ".", "Vice", "shall", "not", "be", "held", "liable", "under", "this", "Agreement", "for", "properly", "making", "any", "confidential", "disclosure", "of", "a", "Company", "trade", "secret", "or", "other", "intellectual", "property", "to", "a", "government", "official", "for", "purposes", "of", "reporting", "or", "in", "connection", "with", "the", "investigation", "of", "a", "suspected", "violation", "of", "law", "or", "regulation", ".", "|", "-", "-", "-", "|", "-", "-", "-", "16", "."]}
{"id": "13728", "text": "ADVICE OF COUNSEL; VOLUNTARY AGREEMENT: MR. VICE ACKNOWLEDGES THAT HE HAS HAD AN OPPORTUNITY TO ASK QUESTIONS, CONFER WITH COUNSEL, AND CONSIDER ALL OF THE PROVISIONS OF THIS AGREEMENT BEFORE SIGNING IT. HE FURTHER AGREES THAT HE HAS READ THIS AGREEMENT CAREFULLY, THAT HE UNDERSTANDS IT, AND THAT HE IS VOLUNTARILY ENTERING INTO IT. MR. VICE UNDERSTANDS AND ACKNOWLEDGES THAT THIS AGREEMENT CONTAINS HIS RELEASE OF ALL KNOWN AND UNKNOWN CLAIMS. THE PARTIES ACKNOWLEDGE THAT THIS AGREEMENT HAS BEEN NEGOTIATED AND EXECUTED WITHIN THE COMMONWEALTH OF VIRGINIA.", "ner": [[4, 5, "Title"]], "tokenized_text": ["ADVICE", "OF", "COUNSEL", ";", "VOLUNTARY", "AGREEMENT", ":", "MR", ".", "VICE", "ACKNOWLEDGES", "THAT", "HE", "HAS", "HAD", "AN", "OPPORTUNITY", "TO", "ASK", "QUESTIONS", ",", "CONFER", "WITH", "COUNSEL", ",", "AND", "CONSIDER", "ALL", "OF", "THE", "PROVISIONS", "OF", "THIS", "AGREEMENT", "BEFORE", "SIGNING", "IT", ".", "HE", "FURTHER", "AGREES", "THAT", "HE", "HAS", "READ", "THIS", "AGREEMENT", "CAREFULLY", ",", "THAT", "HE", "UNDERSTANDS", "IT", ",", "AND", "THAT", "HE", "IS", "VOLUNTARILY", "ENTERING", "INTO", "IT", ".", "MR", ".", "VICE", "UNDERSTANDS", "AND", "ACKNOWLEDGES", "THAT", "THIS", "AGREEMENT", "CONTAINS", "HIS", "RELEASE", "OF", "ALL", "KNOWN", "AND", "UNKNOWN", "CLAIMS", ".", "THE", "PARTIES", "ACKNOWLEDGE", "THAT", "THIS", "AGREEMENT", "HAS", "BEEN", "NEGOTIATED", "AND", "EXECUTED", "WITHIN", "THE", "COMMONWEALTH", "OF", "VIRGINIA", "."]}
{"id": "13732", "text": "However, this Release does not include any rights Mr. Vice may have: (1) to enforce this Release Agreement or the Transition and Retirement Agreement and his rights to receive the compensation and benefits described in this Release Agreement or the Transition and Retirement Agreement; (2) to any indemnification rights Mr. Vice may have for expenses or losses incurred in the course and scope of his employment; (3) to test the knowing and voluntary nature of this Release Agreement under The Older Workers Benefit Protection Act; ( 4) to workers compensation benefits; (5) to earned, banked or accrued but unused vacation pay; (6) to vested benefits under any qualified or non- qualified pension or savings plan; (7) to continued benefits in accordance with COBRA; (8) to government-provided unemployment insurance; (9) to file a claim or charge with any government administrative agency and to receive a whistleblower award (although Mr. Vice is releasing any rights he may have to recover damages or other individual relief in connection with the filing of such a claim or charge); (10) to claims that cannot lawfully be released; (11) to any rights Mr. Vice may have for retiree medical coverage; (12) to any rights Mr. Vice may have with respect to his existing equity grants under the Companys Long Term Incentive Stock Plan, as modified by the Transition and Retirement Agreement; or (13) to claims that arise from acts or omissions that occur after the date Mr. Vice signs this Release Agreement. 4.Mr. Vice acknowledges that, as of the Retirement Date (as defined in the Transition and Retirement Agreement), he is not aware of, or has fully disclosed to the General Counsel of the Company (or her delegate), any matters for which he was responsible or which came to his attention as an employee, which might reasonably be expected to give rise to a claim or cause of action against, or investigation or audit of the Company and/or any Released Party, including without limitation any knowledge of potential fraud, overpayments, false statements,", "ner": [[21, 22, "Title"], [25, 28, "Title"], [41, 42, "Title"], [88, 89, "Title"], [92, 96, "Act"], [147, 147, "Act"], [294, 295, "Title"], [333, 334, "Role"]], "tokenized_text": ["However", ",", "this", "Release", "does", "not", "include", "any", "rights", "Mr", ".", "Vice", "may", "have", ":", "(", "1", ")", "to", "enforce", "this", "Release", "Agreement", "or", "the", "Transition", "and", "Retirement", "Agreement", "and", "his", "rights", "to", "receive", "the", "compensation", "and", "benefits", "described", "in", "this", "Release", "Agreement", "or", "the", "Transition", "and", "Retirement", "Agreement", ";", "(", "2", ")", "to", "any", "indemnification", "rights", "Mr", ".", "Vice", "may", "have", "for", "expenses", "or", "losses", "incurred", "in", "the", "course", "and", "scope", "of", "his", "employment", ";", "(", "3", ")", "to", "test", "the", "knowing", "and", "voluntary", "nature", "of", "this", "Release", "Agreement", "under", "The", "Older", "Workers", "Benefit", "Protection", "Act", ";", "(", "4", ")", "to", "workers", "compensation", "benefits", ";", "(", "5", ")", "to", "earned", ",", "banked", "or", "accrued", "but", "unused", "vacation", "pay", ";", "(", "6", ")", "to", "vested", "benefits", "under", "any", "qualified", "or", "non", "-", "qualified", "pension", "or", "savings", "plan", ";", "(", "7", ")", "to", "continued", "benefits", "in", "accordance", "with", "COBRA", ";", "(", "8", ")", "to", "government-provided", "unemployment", "insurance", ";", "(", "9", ")", "to", "file", "a", "claim", "or", "charge", "with", "any", "government", "administrative", "agency", "and", "to", "receive", "a", "whistleblower", "award", "(", "although", "Mr", ".", "Vice", "is", "releasing", "any", "rights", "he", "may", "have", "to", "recover", "damages", "or", "other", "individual", "relief", "in", "connection", "with", "the", "filing", "of", "such", "a", "claim", "or", "charge", ")", ";", "(", "10", ")", "to", "claims", "that", "cannot", "lawfully", "be", "released", ";", "(", "11", ")", "to", "any", "rights", "Mr", ".", "Vice", "may", "have", "for", "retiree", "medical", "coverage", ";", "(", "12", ")", "to", "any", "rights", "Mr", ".", "Vice", "may", "have", "with", "respect", "to", "his", "existing", "equity", "grants", "under", "the", "Companys", "Long", "Term", "Incentive", "Stock", "Plan", ",", "as", "modified", "by", "the", "Transition", "and", "Retirement", "Agreement", ";", "or", "(", "13", ")", "to", "claims", "that", "arise", "from", "acts", "or", "omissions", "that", "occur", "after", "the", "date", "Mr", ".", "Vice", "signs", "this", "Release", "Agreement", ".", "4", ".", "Mr", ".", "Vice", "acknowledges", "that", ",", "as", "of", "the", "Retirement", "Date", "(", "as", "defined", "in", "the", "Transition", "and", "Retirement", "Agreement", ")", ",", "he", "is", "not", "aware", "of", ",", "or", "has", "fully", "disclosed", "to", "the", "General", "Counsel", "of", "the", "Company", "(", "or", "her", "delegate", ")", ",", "any", "matters", "for", "which", "he", "was", "responsible", "or", "which", "came", "to", "his", "attention", "as", "an", "employee", ",", "which", "might", "reasonably", "be", "expected", "to", "give", "rise", "to", "a", "claim", "or", "cause", "of", "action", "against", ",", "or", "investigation", "or", "audit", "of", "the", "Company", "and", "/", "or", "any", "Released", "Party", ",", "including", "without", "limitation", "any", "knowledge", "of", "potential", "fraud", ",", "overpayments", ",", "false", "statements", ","]}
{"id": "13733", "text": "MR. VICE ACKNOWLEDGES THAT HE HAS HAD AN OPPORTUNITY TO ASK QUESTIONS, CONFER WITH COUNSEL, AND CONSIDER ALL OF THE PROVISIONS OF THIS AGREEMENT BEFORE SIGNING IT. HE FURTHER AGREES THAT HE HAS READ THIS AGREEMENT CAREFULLY, THAT HE UNDERSTANDS IT, AND THAT HE IS VOLUNTARILY ENTERING INTO IT. MR. VICE UNDERSTANDS AND ACKNOWLEDGES THAT THIS AGREEMENT CONTAINS HIS RELEASE OF ALL KNOWN AND UNKNOWN CLAIMS.", "ner": [[26, 26, "Title"]], "tokenized_text": ["MR", ".", "VICE", "ACKNOWLEDGES", "THAT", "HE", "HAS", "HAD", "AN", "OPPORTUNITY", "TO", "ASK", "QUESTIONS", ",", "CONFER", "WITH", "COUNSEL", ",", "AND", "CONSIDER", "ALL", "OF", "THE", "PROVISIONS", "OF", "THIS", "AGREEMENT", "BEFORE", "SIGNING", "IT", ".", "HE", "FURTHER", "AGREES", "THAT", "HE", "HAS", "READ", "THIS", "AGREEMENT", "CAREFULLY", ",", "THAT", "HE", "UNDERSTANDS", "IT", ",", "AND", "THAT", "HE", "IS", "VOLUNTARILY", "ENTERING", "INTO", "IT", ".", "MR", ".", "VICE", "UNDERSTANDS", "AND", "ACKNOWLEDGES", "THAT", "THIS", "AGREEMENT", "CONTAINS", "HIS", "RELEASE", "OF", "ALL", "KNOWN", "AND", "UNKNOWN", "CLAIMS", "."]}
{"id": "13734", "text": "SEPARATION AGREEMENT AND RELEASE", "ner": [[0, 1, "Title"]], "tokenized_text": ["SEPARATION", "AGREEMENT", "AND", "RELEASE"]}
{"id": "13735", "text": "This Separation Agreement and Release (Agreement) is made by and between Bertrand C. Liang (Executive) and Pfenex Inc. (the Company) (jointly referred to as the Parties or individually referred to as a Party).", "ner": [[1, 2, "Title"], [13, 16, "Parties"], [21, 23, "Parties"]], "tokenized_text": ["This", "Separation", "Agreement", "and", "Release", "(", "Agreement", ")", "is", "made", "by", "and", "between", "Bertrand", "C", ".", "Liang", "(", "Executive", ")", "and", "Pfenex", "Inc", ".", "(", "the", "Company", ")", "(", "jointly", "referred", "to", "as", "the", "Parties", "or", "individually", "referred", "to", "as", "a", "Party", ")", "."]}
{"id": "13736", "text": "WHEREAS, Executive was employed as the Companys Chief Executive Officer ;", "ner": [[8, 10, "Role"]], "tokenized_text": ["WHEREAS", ",", "Executive", "was", "employed", "as", "the", "Companys", "Chief", "Executive", "Officer", ";"]}
{"id": "13737", "text": "WHEREAS, Executive resigned without Good Reason, as defined in the Employment Agreement, effective January 23, 2017 (the Separation Date); and", "ner": [[12, 13, "Title"], [16, 19, "EffectiveDate"]], "tokenized_text": ["WHEREAS", ",", "Executive", "resigned", "without", "Good", "Reason", ",", "as", "defined", "in", "the", "Employment", "Agreement", ",", "effective", "January", "23", ",", "2017", "(", "the", "Separation", "Date", ")", ";", "and"]}
{"id": "13740", "text": "Executive agrees that the release set forth in this section shall be and remain in effect in all respects as a complete general release as to the matters released. This release does not extend to any obligations incurred under this Agreement. This release does not release claims that cannot be released as a matter of law, including any Protected Activity (as defined below), nor any indemnification rights available under Executives Indemnification Agreement , Company Bylaws, or under applicable law. This release does not extend to any right Executive may have to unemployment compensation benefits.", "ner": [[75, 77, "Title"], [79, 80, "Title"]], "tokenized_text": ["Executive", "agrees", "that", "the", "release", "set", "forth", "in", "this", "section", "shall", "be", "and", "remain", "in", "effect", "in", "all", "respects", "as", "a", "complete", "general", "release", "as", "to", "the", "matters", "released", ".", "This", "release", "does", "not", "extend", "to", "any", "obligations", "incurred", "under", "this", "Agreement", ".", "This", "release", "does", "not", "release", "claims", "that", "cannot", "be", "released", "as", "a", "matter", "of", "law", ",", "including", "any", "Protected", "Activity", "(", "as", "defined", "below", ")", ",", "nor", "any", "indemnification", "rights", "available", "under", "Executives", "Indemnification", "Agreement", ",", "Company", "Bylaws", ",", "or", "under", "applicable", "law", ".", "This", "release", "does", "not", "extend", "to", "any", "right", "Executive", "may", "have", "to", "unemployment", "compensation", "benefits", "."]}
{"id": "13742", "text": "17.ARBITRATION. THE PARTIES AGREE THAT ANY AND ALL DISPUTES ARISING OUT OF THE TERMS OF THIS AGREEMENT, THEIR INTERPRETATION, EXECUTIVES EMPLOYMENT WITH THE COMPANY OR THE TERMS THEREOF, OR ANY OF THE MATTERS HEREIN RELEASED, SHALL BE SUBJECT TO ARBITRATION IN SAN DIEGO, CA, BEFORE JUDICIAL ARBITRATION &amp; MEDIATION SERVICES (JAMS), PURSUANT TO ITS EMPLOYMENT ARBITRATION RULES &amp; PROCEDURES (JAMS RULES). THE ARBITRATOR MAY GRANT INJUNCTIONS AND OTHER RELIEF IN SUCH DISPUTES. THE ARBITRATOR SHALL ADMINISTER AND CONDUCT ANY ARBITRATION IN ACCORDANCE WITH CALIFORNIA LAW, INCLUDING THE CALIFORNIA CODE OF CIVIL PROCEDURE, AND THE ARBITRATOR SHALL APPLY SUBSTANTIVE AND PROCEDURAL CALIFORNIA LAW TO ANY DISPUTE OR CLAIM, WITHOUT REFERENCE TO ANY CONFLICT-OF-LAW PROVISIONS OF ANY JURISDICTION. TO THE EXTENT THAT THE JAMS RULES CONFLICT WITH CALIFORNIA LAW, CALIFORNIA LAW SHALL TAKE PRECEDENCE . THE DECISION OF THE ARBITRATOR SHALL BE FINAL, CONCLUSIVE, AND BINDING ON THE PARTIES TO THE ARBITRATION. THE PARTIES AGREE THAT THE PREVAILING PARTY IN ANY ARBITRATION SHALL BE ENTITLED TO INJUNCTIVE RELIEF IN ANY COURT OF COMPETENT JURISDICTION TO ENFORCE THE ARBITRATION AWARD. THE PARTIES TO THE ARBITRATION SHALL EACH PAY AN EQUAL SHARE OF THE COSTS AND EXPENSES OF SUCH ARBITRATION, AND EACH", "ner": [[48, 51, "Address"], [62, 62, "Court"], [103, 104, "Court"], [215, 216, "Ratio"]], "tokenized_text": ["17", ".", "ARBITRATION", ".", "THE", "PARTIES", "AGREE", "THAT", "ANY", "AND", "ALL", "DISPUTES", "ARISING", "OUT", "OF", "THE", "TERMS", "OF", "THIS", "AGREEMENT", ",", "THEIR", "INTERPRETATION", ",", "EXECUTIVES", "EMPLOYMENT", "WITH", "THE", "COMPANY", "OR", "THE", "TERMS", "THEREOF", ",", "OR", "ANY", "OF", "THE", "MATTERS", "HEREIN", "RELEASED", ",", "SHALL", "BE", "SUBJECT", "TO", "ARBITRATION", "IN", "SAN", "DIEGO", ",", "CA", ",", "BEFORE", "JUDICIAL", "ARBITRATION", "&", "amp", ";", "MEDIATION", "SERVICES", "(", "JAMS", ")", ",", "PURSUANT", "TO", "ITS", "EMPLOYMENT", "ARBITRATION", "RULES", "&", "amp", ";", "PROCEDURES", "(", "JAMS", "RULES", ")", ".", "THE", "ARBITRATOR", "MAY", "GRANT", "INJUNCTIONS", "AND", "OTHER", "RELIEF", "IN", "SUCH", "DISPUTES", ".", "THE", "ARBITRATOR", "SHALL", "ADMINISTER", "AND", "CONDUCT", "ANY", "ARBITRATION", "IN", "ACCORDANCE", "WITH", "CALIFORNIA", "LAW", ",", "INCLUDING", "THE", "CALIFORNIA", "CODE", "OF", "CIVIL", "PROCEDURE", ",", "AND", "THE", "ARBITRATOR", "SHALL", "APPLY", "SUBSTANTIVE", "AND", "PROCEDURAL", "CALIFORNIA", "LAW", "TO", "ANY", "DISPUTE", "OR", "CLAIM", ",", "WITHOUT", "REFERENCE", "TO", "ANY", "CONFLICT-OF-LAW", "PROVISIONS", "OF", "ANY", "JURISDICTION", ".", "TO", "THE", "EXTENT", "THAT", "THE", "JAMS", "RULES", "CONFLICT", "WITH", "CALIFORNIA", "LAW", ",", "CALIFORNIA", "LAW", "SHALL", "TAKE", "PRECEDENCE", ".", "THE", "DECISION", "OF", "THE", "ARBITRATOR", "SHALL", "BE", "FINAL", ",", "CONCLUSIVE", ",", "AND", "BINDING", "ON", "THE", "PARTIES", "TO", "THE", "ARBITRATION", ".", "THE", "PARTIES", "AGREE", "THAT", "THE", "PREVAILING", "PARTY", "IN", "ANY", "ARBITRATION", "SHALL", "BE", "ENTITLED", "TO", "INJUNCTIVE", "RELIEF", "IN", "ANY", "COURT", "OF", "COMPETENT", "JURISDICTION", "TO", "ENFORCE", "THE", "ARBITRATION", "AWARD", ".", "THE", "PARTIES", "TO", "THE", "ARBITRATION", "SHALL", "EACH", "PAY", "AN", "EQUAL", "SHARE", "OF", "THE", "COSTS", "AND", "EXPENSES", "OF", "SUCH", "ARBITRATION", ",", "AND", "EACH"]}
{"id": "13743", "text": "PARTY SHALL SEPARATELY PAY FOR ITS RESPECTIVE COUNSEL FEES AND EXPENSES; PROVIDED, HOWEVER, THAT THE ARBITRATOR MAY AWARD ATTORNEYS FEES AND COSTS TO THE PREVAILING PARTY, WHERE PERMITTED BY LAW. THE PARTIES HEREBY AGREE TO WAIVE THEIR RIGHT TO HAVE ANY DISPUTE BETWEEN THEM RESOLVED IN A COURT OF LAW BY A JUDGE OR JURY. NOTWITHSTANDING THE FOREGOING, THIS SECTION WILL NOT PREVENT EITHER PARTY FROM SEEKING INJUNCTIVE RELIEF (OR ANY OTHER PROVISIONAL REMEDY) FROM ANY COURT HAVING JURISDICTION OVER THE PARTIES AND THE SUBJECT MATTER OF THEIR DISPUTE RELATING TO THIS AGREEMENT AND THE AGREEMENTS INCORPORATED HEREIN BY REFERENCE. SHOULD ANY PART OF THE ARBITRATION AGREEMENT CONTAINED IN THIS SECTION CONFLICT WITH ANY OTHER ARBITRATION AGREEMENT BETWEEN THE PARTIES, THE PARTIES AGREE THAT THIS ARBITRATION AGREEMENT SHALL GOVERN.", "ner": [[52, 54, "Court"], [115, 116, "Title"]], "tokenized_text": ["PARTY", "SHALL", "SEPARATELY", "PAY", "FOR", "ITS", "RESPECTIVE", "COUNSEL", "FEES", "AND", "EXPENSES", ";", "PROVIDED", ",", "HOWEVER", ",", "THAT", "THE", "ARBITRATOR", "MAY", "AWARD", "ATTORNEYS", "FEES", "AND", "COSTS", "TO", "THE", "PREVAILING", "PARTY", ",", "WHERE", "PERMITTED", "BY", "LAW", ".", "THE", "PARTIES", "HEREBY", "AGREE", "TO", "WAIVE", "THEIR", "RIGHT", "TO", "HAVE", "ANY", "DISPUTE", "BETWEEN", "THEM", "RESOLVED", "IN", "A", "COURT", "OF", "LAW", "BY", "A", "JUDGE", "OR", "JURY", ".", "NOTWITHSTANDING", "THE", "FOREGOING", ",", "THIS", "SECTION", "WILL", "NOT", "PREVENT", "EITHER", "PARTY", "FROM", "SEEKING", "INJUNCTIVE", "RELIEF", "(", "OR", "ANY", "OTHER", "PROVISIONAL", "REMEDY", ")", "FROM", "ANY", "COURT", "HAVING", "JURISDICTION", "OVER", "THE", "PARTIES", "AND", "THE", "SUBJECT", "MATTER", "OF", "THEIR", "DISPUTE", "RELATING", "TO", "THIS", "AGREEMENT", "AND", "THE", "AGREEMENTS", "INCORPORATED", "HEREIN", "BY", "REFERENCE", ".", "SHOULD", "ANY", "PART", "OF", "THE", "ARBITRATION", "AGREEMENT", "CONTAINED", "IN", "THIS", "SECTION", "CONFLICT", "WITH", "ANY", "OTHER", "ARBITRATION", "AGREEMENT", "BETWEEN", "THE", "PARTIES", ",", "THE", "PARTIES", "AGREE", "THAT", "THIS", "ARBITRATION", "AGREEMENT", "SHALL", "GOVERN", "."]}
{"id": "13746", "text": "26.Governing Law. This Agreement shall be governed by the laws of the State of California, without regard for choice-of-law provisions.", "ner": [[15, 17, "Court"]], "tokenized_text": ["26", ".", "Governing", "Law", ".", "This", "Agreement", "shall", "be", "governed", "by", "the", "laws", "of", "the", "State", "of", "California", ",", "without", "regard", "for", "choice-of-law", "provisions", "."]}
{"id": "13747", "text": "27.Effective Date. Executive understands that this Agreement shall be null and void if not executed by Executive by 5pm Pacific time on January 23, 2017 . This Agreement will become effective on the date it has been signed by both Parties (the Effective Date).", "ner": [[25, 28, "EffectiveDate"]], "tokenized_text": ["27", ".", "Effective", "Date", ".", "Executive", "understands", "that", "this", "Agreement", "shall", "be", "null", "and", "void", "if", "not", "executed", "by", "Executive", "by", "5pm", "Pacific", "time", "on", "January", "23", ",", "2017", ".", "This", "Agreement", "will", "become", "effective", "on", "the", "date", "it", "has", "been", "signed", "by", "both", "Parties", "(", "the", "Effective", "Date", ")", "."]}
{"id": "13749", "text": "PFENEX INC. | | | Dated: 1/23/2017&lt; br/&gt;", "ner": [[8, 12, "Ratio"]], "tokenized_text": ["PFENEX", "INC", ".", "|", "|", "|", "Dated", ":", "1", "/", "23", "/", "2017", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "13750", "text": "This Consulting Agreement (this Consulting Agreement) is made and entered into as of January 23, 2017 (the Effective Date) by and between Pfenex Inc. (the Company), and Bertrand C. Liang (Consultant) (each herein referred to individually as a Party, or collectively as the Parties).", "ner": [[1, 2, "Title"], [15, 18, "EffectiveDate"], [27, 29, "Parties"], [36, 39, "Parties"]], "tokenized_text": ["This", "Consulting", "Agreement", "(", "this", "Consulting", "Agreement", ")", "is", "made", "and", "entered", "into", "as", "of", "January", "23", ",", "2017", "(", "the", "Effective", "Date", ")", "by", "and", "between", "Pfenex", "Inc", ".", "(", "the", "Company", ")", ",", "and", "Bertrand", "C", ".", "Liang", "(", "Consultant", ")", "(", "each", "herein", "referred", "to", "individually", "as", "a", "Party", ",", "or", "collectively", "as", "the", "Parties", ")", "."]}
{"id": "13752", "text": "Conflicting Obligations ---|---|--- Consultant represents and warrants that Consultant has no agreements, relationships, or commitments to any other person or entity that conflict with the provisions of this Consulting Agreement, Consultants obligations to the Company under this Consulting Agreement, and/or Consultants ability to perform the Services. Consultant will not enter into any such conflicting agreement during the term of this Consulting Agreement.", "ner": [[40, 41, "Title"]], "tokenized_text": ["Conflicting", "Obligations", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "Consultant", "represents", "and", "warrants", "that", "Consultant", "has", "no", "agreements", ",", "relationships", ",", "or", "commitments", "to", "any", "other", "person", "or", "entity", "that", "conflict", "with", "the", "provisions", "of", "this", "Consulting", "Agreement", ",", "Consultants", "obligations", "to", "the", "Company", "under", "this", "Consulting", "Agreement", ",", "and", "/", "or", "Consultants", "ability", "to", "perform", "the", "Services", ".", "Consultant", "will", "not", "enter", "into", "any", "such", "conflicting", "agreement", "during", "the", "term", "of", "this", "Consulting", "Agreement", "."]}
{"id": "13756", "text": "or disclosure of any information that may constitute Company confidential information to any parties other than the Government Agencies. Consultant further understands that Protected Activity does not include the disclosure of any Company attorney-client privileged communications. Pursuant to the Defend Trade Secrets Act of 2016 , Consultant is notified that an individual will not be held criminally or civilly liable under any federal or state trade secret law for the disclosure of a trade secret that (i) is made in confidence to a federal, state, or local government official (directly or indirectly) or to an attorney solely for the purpose of reporting or investigating a suspected violation of law, or (ii) is made in a complaint or other document filed in a lawsuit or other proceeding, if (and only if) such filing is made under seal. In addition, an individual who files a lawsuit for retaliation by an employer for reporting a suspected violation of law may disclose the trade secret to the individuals attorney and use the trade secret information in the court proceeding, if the individual files any document containing the trade secret under seal and does not disclose the trade secret, except pursuant to court order.", "ner": [[41, 46, "Act"]], "tokenized_text": ["or", "disclosure", "of", "any", "information", "that", "may", "constitute", "Company", "confidential", "information", "to", "any", "parties", "other", "than", "the", "Government", "Agencies", ".", "Consultant", "further", "understands", "that", "Protected", "Activity", "does", "not", "include", "the", "disclosure", "of", "any", "Company", "attorney-client", "privileged", "communications", ".", "Pursuant", "to", "the", "Defend", "Trade", "Secrets", "Act", "of", "2016", ",", "Consultant", "is", "notified", "that", "an", "individual", "will", "not", "be", "held", "criminally", "or", "civilly", "liable", "under", "any", "federal", "or", "state", "trade", "secret", "law", "for", "the", "disclosure", "of", "a", "trade", "secret", "that", "(", "i", ")", "is", "made", "in", "confidence", "to", "a", "federal", ",", "state", ",", "or", "local", "government", "official", "(", "directly", "or", "indirectly", ")", "or", "to", "an", "attorney", "solely", "for", "the", "purpose", "of", "reporting", "or", "investigating", "a", "suspected", "violation", "of", "law", ",", "or", "(", "ii", ")", "is", "made", "in", "a", "complaint", "or", "other", "document", "filed", "in", "a", "lawsuit", "or", "other", "proceeding", ",", "if", "(", "and", "only", "if", ")", "such", "filing", "is", "made", "under", "seal", ".", "In", "addition", ",", "an", "individual", "who", "files", "a", "lawsuit", "for", "retaliation", "by", "an", "employer", "for", "reporting", "a", "suspected", "violation", "of", "law", "may", "disclose", "the", "trade", "secret", "to", "the", "individuals", "attorney", "and", "use", "the", "trade", "secret", "information", "in", "the", "court", "proceeding", ",", "if", "the", "individual", "files", "any", "document", "containing", "the", "trade", "secret", "under", "seal", "and", "does", "not", "disclose", "the", "trade", "secret", ",", "except", "pursuant", "to", "court", "order", "."]}
{"id": "13762", "text": "Effective immediately, I hereby resign as the President, Chief Executive Officer and Secretary of Pfenex Inc. (the Company) and as an officer of any subsidiaries of the Company. Immediately upon my resignation, I will cease to represent myself as an officer or executive of the Company, will not perform any managerial duties on behalf of the Company, and will cease to be a signatory for, and to otherwise obligate, the Company.", "ner": [[8, 8, "Role"], [10, 12, "Role"]], "tokenized_text": ["Effective", "immediately", ",", "I", "hereby", "resign", "as", "the", "President", ",", "Chief", "Executive", "Officer", "and", "Secretary", "of", "Pfenex", "Inc", ".", "(", "the", "Company", ")", "and", "as", "an", "officer", "of", "any", "subsidiaries", "of", "the", "Company", ".", "Immediately", "upon", "my", "resignation", ",", "I", "will", "cease", "to", "represent", "myself", "as", "an", "officer", "or", "executive", "of", "the", "Company", ",", "will", "not", "perform", "any", "managerial", "duties", "on", "behalf", "of", "the", "Company", ",", "and", "will", "cease", "to", "be", "a", "signatory", "for", ",", "and", "to", "otherwise", "obligate", ",", "the", "Company", "."]}
{"id": "13765", "text": "| 2)| EARNEST MONEY DEPOSIT: Within three (3) business days after the Effective Date of this Agreement (as defined below in paragraph 25 below), Buyer shall deposit with Title Company Five Hundred Thousand Dollars ($500.000) in the form of a certified check, cashier's check or wire transfer as the earnest money deposit (\"Deposit\") to be held in trust for the benefit of the parties by Rattikin Title, 201 Main Street. Suite 800, Fort Worth, TX 76102, attn.: Megan Newburn, mnewburnnrattikintitle.com ('Title Company) in Its capacity as escrow agent in one or more fully insured and Interest bearing accounts of Federally Insured banking or savings Institution(s), pursuant to the terms of this Agreement. This sum, any additions thereto, and any interest earned thereon Is the Deposit to be applied to the Purchase Price. ---|---|---", "ner": [[43, 46, "Principal"], [88, 98, "Address"]], "tokenized_text": ["|", "2", ")", "|", "EARNEST", "MONEY", "DEPOSIT", ":", "Within", "three", "(", "3", ")", "business", "days", "after", "the", "Effective", "Date", "of", "this", "Agreement", "(", "as", "defined", "below", "in", "paragraph", "25", "below", ")", ",", "Buyer", "shall", "deposit", "with", "Title", "Company", "Five", "Hundred", "Thousand", "Dollars", "(", "$", "500", ".", "000", ")", "in", "the", "form", "of", "a", "certified", "check", ",", "cashier", "'", "s", "check", "or", "wire", "transfer", "as", "the", "earnest", "money", "deposit", "(", "\"", "Deposit", "\"", ")", "to", "be", "held", "in", "trust", "for", "the", "benefit", "of", "the", "parties", "by", "Rattikin", "Title", ",", "201", "Main", "Street", ".", "Suite", "800", ",", "Fort", "Worth", ",", "TX", "76102", ",", "attn", ".", ":", "Megan", "Newburn", ",", "mnewburnnrattikintitle", ".", "com", "(", "'", "Title", "Company", ")", "in", "Its", "capacity", "as", "escrow", "agent", "in", "one", "or", "more", "fully", "insured", "and", "Interest", "bearing", "accounts", "of", "Federally", "Insured", "banking", "or", "savings", "Institution", "(", "s", ")", ",", "pursuant", "to", "the", "terms", "of", "this", "Agreement", ".", "This", "sum", ",", "any", "additions", "thereto", ",", "and", "any", "interest", "earned", "thereon", "Is", "the", "Deposit", "to", "be", "applied", "to", "the", "Purchase", "Price", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "13767", "text": "| B.| TIDALLY INFLUENCED PROPERTY: If the Property abuts the tidally Influenced waters of the state, Section 33.135 of the Texas Natural Resources Code requires a notice regarding coastal area property to be included in this Agreement. Buyer and Seller hereby agree and acknowledge that Agent shall have no responsibility for determining whether the Property is a tidally Influenced property, nor the compliance by any party with the requirements applicable to such property. If applicable, Buyer, Seller, and their respective legal advisors shall prepare and execute an appropriate Addendum to thls Agreement as they deem necessary. ---|---|---", "ner": [[20, 23, "Regulation"], [26, 29, "Act"]], "tokenized_text": ["|", "B", ".", "|", "TIDALLY", "INFLUENCED", "PROPERTY", ":", "If", "the", "Property", "abuts", "the", "tidally", "Influenced", "waters", "of", "the", "state", ",", "Section", "33", ".", "135", "of", "the", "Texas", "Natural", "Resources", "Code", "requires", "a", "notice", "regarding", "coastal", "area", "property", "to", "be", "included", "in", "this", "Agreement", ".", "Buyer", "and", "Seller", "hereby", "agree", "and", "acknowledge", "that", "Agent", "shall", "have", "no", "responsibility", "for", "determining", "whether", "the", "Property", "is", "a", "tidally", "Influenced", "property", ",", "nor", "the", "compliance", "by", "any", "party", "with", "the", "requirements", "applicable", "to", "such", "property", ".", "If", "applicable", ",", "Buyer", ",", "Seller", ",", "and", "their", "respective", "legal", "advisors", "shall", "prepare", "and", "execute", "an", "appropriate", "Addendum", "to", "thls", "Agreement", "as", "they", "deem", "necessary", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "13768", "text": "| E.| INTRACOASTAL WATERWAY: if the Property is located seaward of the Gulf Intracoastal Waterway, Section 61.025, Texas Natural Resources Code, requires a notice regarding the seaward location of the Property to be included as part of this Agreement. ---|---|---", "ner": [[19, 22, "Address"], [24, 27, "Address"]], "tokenized_text": ["|", "E", ".", "|", "INTRACOASTAL", "WATERWAY", ":", "if", "the", "Property", "is", "located", "seaward", "of", "the", "Gulf", "Intracoastal", "Waterway", ",", "Section", "61", ".", "025", ",", "Texas", "Natural", "Resources", "Code", ",", "requires", "a", "notice", "regarding", "the", "seaward", "location", "of", "the", "Property", "to", "be", "included", "as", "part", "of", "this", "Agreement", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "13769", "text": "| 7.2)| INSPECTIONS, STUDIES, OR ASSESSMENTS: ---|---|---", "ner": [], "tokenized_text": ["|", "7", ".", "2", ")", "|", "INSPECTIONS", ",", "STUDIES", ",", "OR", "ASSESSMENTS", ":", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "13770", "text": "| 10)| \"AS IS\" CONDITION OF PROPERTY: AS A MATERIAL PART OF THE CONSIDERATION FOR THIS AGREEMENT, SELLER AND BUYER AGREE THAT EXCEPT FOR THE EXPRESS REPRESENTATIONS IN THIS AGREEMENT, BUYER IS TAKING THE PROPERTY \"AS IS WITH ANY AND ALL LATENT AND PATENT DEFECTS AND THAT THERE IS NO WARRANTY BY SELLER THAT THE PROPERTY IS FIT FOR A PARTICULAR PURPOSE. EXCEPT FOR THE EXPRESS REPRESENTATIONS IN THIS AGREEMENT, BUYER ACKNOWLEDGES THAT IT IS NOT RELYING UPON ANY REPRESENTATION, STATEMENT, ASSERTION OR NONASSERTION BY SELLER OR SELLER'S AGENTS WITH RESPECT TO THE PROPERTY CONDITION, BUT IS RELYING SOLELY UPON ITS OWN EXAMINATION OF THE PROPERTY. BUYER TAKES THE PROPERTY UNDER THE EXPRESS UNDERSTANDING THERE ARE NO EXPR SS OR IMPLIED WARRANTIES (EXCEPT FOR LIMITED WARRANTIES OF TITLE SET FORTH IN THE CLOSIFJG DOCUMENTS). THIS PROVISION WILL SURVIVE THE CLOSING. ---|---|---", "ner": [], "tokenized_text": ["|", "10", ")", "|", "\"", "AS", "IS", "\"", "CONDITION", "OF", "PROPERTY", ":", "AS", "A", "MATERIAL", "PART", "OF", "THE", "CONSIDERATION", "FOR", "THIS", "AGREEMENT", ",", "SELLER", "AND", "BUYER", "AGREE", "THAT", "EXCEPT", "FOR", "THE", "EXPRESS", "REPRESENTATIONS", "IN", "THIS", "AGREEMENT", ",", "BUYER", "IS", "TAKING", "THE", "PROPERTY", "\"", "AS", "IS", "WITH", "ANY", "AND", "ALL", "LATENT", "AND", "PATENT", "DEFECTS", "AND", "THAT", "THERE", "IS", "NO", "WARRANTY", "BY", "SELLER", "THAT", "THE", "PROPERTY", "IS", "FIT", "FOR", "A", "PARTICULAR", "PURPOSE", ".", "EXCEPT", "FOR", "THE", "EXPRESS", "REPRESENTATIONS", "IN", "THIS", "AGREEMENT", ",", "BUYER", "ACKNOWLEDGES", "THAT", "IT", "IS", "NOT", "RELYING", "UPON", "ANY", "REPRESENTATION", ",", "STATEMENT", ",", "ASSERTION", "OR", "NONASSERTION", "BY", "SELLER", "OR", "SELLER", "'", "S", "AGENTS", "WITH", "RESPECT", "TO", "THE", "PROPERTY", "CONDITION", ",", "BUT", "IS", "RELYING", "SOLELY", "UPON", "ITS", "OWN", "EXAMINATION", "OF", "THE", "PROPERTY", ".", "BUYER", "TAKES", "THE", "PROPERTY", "UNDER", "THE", "EXPRESS", "UNDERSTANDING", "THERE", "ARE", "NO", "EXPR", "SS", "OR", "IMPLIED", "WARRANTIES", "(", "EXCEPT", "FOR", "LIMITED", "WARRANTIES", "OF", "TITLE", "SET", "FORTH", "IN", "THE", "CLOSIFJG", "DOCUMENTS", ")", ".", "THIS", "PROVISION", "WILL", "SURVIVE", "THE", "CLOSING", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "13772", "text": "| 20)| LIMITATION OF AGENT'S LIABILITY: EXCEPT FOR AGENT'S SOLE GROSS NEGLIGENCE OR SOLE WILLFUL MISCONDUCT, SELLER AGREES TO HOLD THE AGENTS HARMLESS FROM ANY DAMAGES, CLAIMS, COSTS AND EXPENSES RESULTING FROM OR RELATED TO ANY PARTY FURNISHING TO THE AGENTS OR BUYER ANY FALSE, INCORRECT OR INACCURATE INFORMATION WITH RESPECT TO THE PROPERTY OR SELLER'S CONCEALING ANY MATERIAL INFORMATION WITH RESPECT TO THE CONDITION OF THE PROPERTY. TO THE EXTENT PERMITTED BY APPLICABLE LAW, THE AGENTS' LIABILITY FOR ERRORS OR OMISSIONS, NEGLIGENCE, OR OTHERWISE, IS LIMITED TO THE RETURN OF THE FEE, IF ANY, PAID TO THE RESPONSIBLE AGENT PURSUANT TO THIS CONTRACT. IN ADDITION, SELLER AGREE TO DEFEND AND HOLD THE AGENTS PARTICIPATING IN THIS TRANSACTION HARMLESS FROM AND AGAINST ANY AND ALL LIABILITIES, CLAIMS, DEBTS, DAMAGES, COSTS, AND EXPENSES INCLUDING, BUT NOT LIMITED TO, REASONABLE ATTORNEYS FEES AND COURT COSTS, RELATED TO OR ARISING OUT OF OR IN ANY WAY CONNECTED TO REPRESENTATIONS ABOUT THE PROPERTY OR MATTERS THAT SHOULD BE ANALYZED BY EXPERTS. ---|---|---", "ner": [], "tokenized_text": ["|", "20", ")", "|", "LIMITATION", "OF", "AGENT", "'", "S", "LIABILITY", ":", "EXCEPT", "FOR", "AGENT", "'", "S", "SOLE", "GROSS", "NEGLIGENCE", "OR", "SOLE", "WILLFUL", "MISCONDUCT", ",", "SELLER", "AGREES", "TO", "HOLD", "THE", "AGENTS", "HARMLESS", "FROM", "ANY", "DAMAGES", ",", "CLAIMS", ",", "COSTS", "AND", "EXPENSES", "RESULTING", "FROM", "OR", "RELATED", "TO", "ANY", "PARTY", "FURNISHING", "TO", "THE", "AGENTS", "OR", "BUYER", "ANY", "FALSE", ",", "INCORRECT", "OR", "INACCURATE", "INFORMATION", "WITH", "RESPECT", "TO", "THE", "PROPERTY", "OR", "SELLER", "'", "S", "CONCEALING", "ANY", "MATERIAL", "INFORMATION", "WITH", "RESPECT", "TO", "THE", "CONDITION", "OF", "THE", "PROPERTY", ".", "TO", "THE", "EXTENT", "PERMITTED", "BY", "APPLICABLE", "LAW", ",", "THE", "AGENTS", "'", "LIABILITY", "FOR", "ERRORS", "OR", "OMISSIONS", ",", "NEGLIGENCE", ",", "OR", "OTHERWISE", ",", "IS", "LIMITED", "TO", "THE", "RETURN", "OF", "THE", "FEE", ",", "IF", "ANY", ",", "PAID", "TO", "THE", "RESPONSIBLE", "AGENT", "PURSUANT", "TO", "THIS", "CONTRACT", ".", "IN", "ADDITION", ",", "SELLER", "AGREE", "TO", "DEFEND", "AND", "HOLD", "THE", "AGENTS", "PARTICIPATING", "IN", "THIS", "TRANSACTION", "HARMLESS", "FROM", "AND", "AGAINST", "ANY", "AND", "ALL", "LIABILITIES", ",", "CLAIMS", ",", "DEBTS", ",", "DAMAGES", ",", "COSTS", ",", "AND", "EXPENSES", "INCLUDING", ",", "BUT", "NOT", "LIMITED", "TO", ",", "REASONABLE", "ATTORNEYS", "FEES", "AND", "COURT", "COSTS", ",", "RELATED", "TO", "OR", "ARISING", "OUT", "OF", "OR", "IN", "ANY", "WAY", "CONNECTED", "TO", "REPRESENTATIONS", "ABOUT", "THE", "PROPERTY", "OR", "MATTERS", "THAT", "SHOULD", "BE", "ANALYZED", "BY", "EXPERTS", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "13773", "text": "| 24)| FOREIGN INVESTOR DISCLOSURE: Seller and Buyer agree to execute and deliver any instrument, affidavit or statement, and to perform any act reasonably necessary to carry out the provisions of the Foreign Investment In Real Property Tax Act ( FIRPTA) and regulations promulgated there under. Buyer and Seller both agree to provide a signed FIRPTA form to Agent on or before the closing date. ---|---|---", "ner": [[37, 43, "Act"], [45, 45, "Act"]], "tokenized_text": ["|", "24", ")", "|", "FOREIGN", "INVESTOR", "DISCLOSURE", ":", "Seller", "and", "Buyer", "agree", "to", "execute", "and", "deliver", "any", "instrument", ",", "affidavit", "or", "statement", ",", "and", "to", "perform", "any", "act", "reasonably", "necessary", "to", "carry", "out", "the", "provisions", "of", "the", "Foreign", "Investment", "In", "Real", "Property", "Tax", "Act", "(", "FIRPTA", ")", "and", "regulations", "promulgated", "there", "under", ".", "Buyer", "and", "Seller", "both", "agree", "to", "provide", "a", "signed", "FIRPTA", "form", "to", "Agent", "on", "or", "before", "the", "closing", "date", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "13774", "text": "| Seller: | ANS Real Estate Ltd. | | Buyer | Rich Uncles NNN Operating Partnership , LP ---|---|---|---|---|--- | do: | Adam Smith | | do: | David Perduk 3080 | Address: | PO Box 586 Ranoke, TX 76262 | | Address: | Bristol Street, Suite 550 Costa Mesa, CA | Telephone No.: | (817), q 26 7 -2 6 4 4 | | Telephone No.: | 92626 (949) 873-6535 | Fax No.: | r17-421-ilst ntletActlel | | Fax No.: | | Email: | adam@terasharhyreutfis | | Email: |", "ner": [[4, 8, "Parties"], [13, 19, "Parties"], [61, 67, "Address"], [73, 81, "Address"], [88, 99, "PII_Ref"], [107, 111, "PII_Ref"], [118, 119, "PII_Ref"], [131, 133, "PII_Ref"]], "tokenized_text": ["|", "Seller", ":", "|", "ANS", "Real", "Estate", "Ltd", ".", "|", "|", "Buyer", "|", "Rich", "Uncles", "NNN", "Operating", "Partnership", ",", "LP", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "do", ":", "|", "Adam", "Smith", "|", "|", "do", ":", "|", "David", "Perduk", "3080", "|", "Address", ":", "|", "PO", "Box", "586", "Ranoke", ",", "TX", "76262", "|", "|", "Address", ":", "|", "Bristol", "Street", ",", "Suite", "550", "Costa", "Mesa", ",", "CA", "|", "Telephone", "No", ".", ":", "|", "(", "817", ")", ",", "q", "26", "7", "-", "2", "6", "4", "4", "|", "|", "Telephone", "No", ".", ":", "|", "92626", "(", "949", ")", "873-6535", "|", "Fax", "No", ".", ":", "|", "r17-421-ilst", "ntletActlel", "|", "|", "Fax", "No", ".", ":", "|", "|", "Email", ":", "|", "adam", "@", "terasharhyreutfis", "|", "|", "Email", ":", "|"]}
{"id": "13778", "text": "Telephone: | Attn: David Perduk (949) 873-6535 | | By: | Rich Uncles NNN REIT, Inc. a Maryland ---|---|---|---|--- | | | | c | | | | o | | | | r | | | | po,iwtlon, Its General Partner | | | | Facsimile: | NIA | | By: | | | | | | | | | H old Ho | | | | C ef Exutive Officer", "ner": [[5, 6, "PII_Ref"], [8, 10, "PII_Ref"], [16, 22, "Parties"], [77, 77, "PII_Ref"], [91, 93, "PII_Ref"]], "tokenized_text": ["Telephone", ":", "|", "Attn", ":", "David", "Perduk", "(", "949", ")", "873-6535", "|", "|", "By", ":", "|", "Rich", "Uncles", "NNN", "REIT", ",", "Inc", ".", "a", "Maryland", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "|", "|", "|", "c", "|", "|", "|", "|", "o", "|", "|", "|", "|", "r", "|", "|", "|", "|", "po", ",", "iwtlon", ",", "Its", "General", "Partner", "|", "|", "|", "|", "Facsimile", ":", "|", "NIA", "|", "|", "By", ":", "|", "|", "|", "|", "|", "|", "|", "|", "|", "H", "old", "Ho", "|", "|", "|", "|", "C", "ef", "Exutive", "Officer"]}
{"id": "13784", "text": "3080 Bristol Street, Suite 550", "ner": [[0, 5, "Address"]], "tokenized_text": ["3080", "Bristol", "Street", ",", "Suite", "550"]}
{"id": "13785", "text": "| Re:| Commercial Lease Agreement dated , 2017 (\"Lease\") between Rich Uncles NNN Operating Partnership, LP , a Delaware limited partnership (\"Landlord\") and Calculated Risk Bedford, LP , a Texas limited partnership, dba Texas Harley-Davidson (\"Tenant\") for that certain Premises located at 1 Texas Harley Way in the City of Bedford, Tarrant County, Texas (\"Premises\" or \"Property\") ---|---|---", "ner": [[4, 6, "Title"], [16, 22, "Parties"], [34, 38, "Parties"], [46, 47, "Parties"], [59, 62, "Address"], [65, 72, "Address"]], "tokenized_text": ["|", "Re", ":", "|", "Commercial", "Lease", "Agreement", "dated", ",", "2017", "(", "\"", "Lease", "\"", ")", "between", "Rich", "Uncles", "NNN", "Operating", "Partnership", ",", "LP", ",", "a", "Delaware", "limited", "partnership", "(", "\"", "Landlord", "\"", ")", "and", "Calculated", "Risk", "Bedford", ",", "LP", ",", "a", "Texas", "limited", "partnership", ",", "dba", "Texas", "Harley-Davidson", "(", "\"", "Tenant", "\"", ")", "for", "that", "certain", "Premises", "located", "at", "1", "Texas", "Harley", "Way", "in", "the", "City", "of", "Bedford", ",", "Tarrant", "County", ",", "Texas", "(", "\"", "Premises", "\"", "or", "\"", "Property", "\"", ")", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "13789", "text": "Address:3080 Bristol Street, Suite 550, Costa Mesa, CA 92626", "ner": [], "tokenized_text": ["Address", ":", "3080", "Bristol", "Street", ",", "Suite", "550", ",", "Costa", "Mesa", ",", "CA", "92626"]}
{"id": "13790", "text": "Address: PO Box 586, Roanoke, TX 7626", "ner": [[2, 9, "Address"]], "tokenized_text": ["Address", ":", "PO", "Box", "586", ",", "Roanoke", ",", "TX", "7626"]}
{"id": "13792", "text": "| 2.02| Holding Over. Tenant shall vacate the Premises immediately upon the expiration of the Term or earlier termination of this Lease. Tenant shall reimburse Landlord for and indemnify Landlord against all damages incurred by Landlord as a result of any delay by Tenant in vacating the Premises. If Tenant does not vacate the Premises upon the expiration of the Term or earlier termination of this Lease, Tenant's occupancy of the Premises will be a day- to-day tenancy, subject to all of the terms of this Lease, except that the Base Rent during the holdover period will be increased to an amount that is one-and-one-half ( 11/2) times the Base Rent in effect on the expiration or termination of this Lease, computed on a daily basis for each day of the holdover period, plus all additional sums due under this Lease. This Section will not be construed as Landlord's consent for Tenant to hold over or to extend this Lease. ---|---|---", "ner": [[118, 120, "Ratio"]], "tokenized_text": ["|", "2", ".", "02", "|", "Holding", "Over", ".", "Tenant", "shall", "vacate", "the", "Premises", "immediately", "upon", "the", "expiration", "of", "the", "Term", "or", "earlier", "termination", "of", "this", "Lease", ".", "Tenant", "shall", "reimburse", "Landlord", "for", "and", "indemnify", "Landlord", "against", "all", "damages", "incurred", "by", "Landlord", "as", "a", "result", "of", "any", "delay", "by", "Tenant", "in", "vacating", "the", "Premises", ".", "If", "Tenant", "does", "not", "vacate", "the", "Premises", "upon", "the", "expiration", "of", "the", "Term", "or", "earlier", "termination", "of", "this", "Lease", ",", "Tenant", "'", "s", "occupancy", "of", "the", "Premises", "will", "be", "a", "day", "-", "to-day", "tenancy", ",", "subject", "to", "all", "of", "the", "terms", "of", "this", "Lease", ",", "except", "that", "the", "Base", "Rent", "during", "the", "holdover", "period", "will", "be", "increased", "to", "an", "amount", "that", "is", "one-and-one-half", "(", "11", "/", "2", ")", "times", "the", "Base", "Rent", "in", "effect", "on", "the", "expiration", "or", "termination", "of", "this", "Lease", ",", "computed", "on", "a", "daily", "basis", "for", "each", "day", "of", "the", "holdover", "period", ",", "plus", "all", "additional", "sums", "due", "under", "this", "Lease", ".", "This", "Section", "will", "not", "be", "construed", "as", "Landlord", "'", "s", "consent", "for", "Tenant", "to", "hold", "over", "or", "to", "extend", "this", "Lease", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "13793", "text": "| 3.02| Time of Payment. Upon execution of this Lease, Tenant shall deposit with Rattikin Title, at 201 Main Street, Suite 800, Fort Worth, Texas, 70102, Attn : Megan Newborn, as the escrow holder in connection with Landlord's acquisition of the Premises, the installment of Base Rent for the first 30 days of the Term. Upon the closing of the Premises, said first installment of Base Rent shall be disbursed to Landlord. On or before the first day of each succeeding month of the Term, the installment of Base Rent and other sums due under this Lease will be due and payable, in advance, without off-set, deduction or prior demand. If the Term commences or ends on a day other than the first or last day of a calendar month, the Rent for any fractional calendar month following the Commencement Date or preceding the end of the Term will be prorated by days. If any Rent is not received by Landlord or Landlord's designee within five (5) days after that Rent is due, Tenant shall pay to Landlord a late charge of 5% of the amount due as liquidated damages in lieu of actual damages (other than interest and attorneys' fees and costs). Tenant shall pay such amount to Landlord as Rent concurrently with the next installment of Base Rent due and owing under the Lease. In addition, if any Rent is not received by Landlord or Landlord's designee within five (5) days after that Rent is due, Tenant shall pay to Landlord annual interest on the past due amount from the date due until paid at the rate of 10% per year, or such lesser rate allowed by law. ---|---|---", "ner": [[19, 20, "Title"], [212, 213, "Percentage"], [312, 315, "Percentage"]], "tokenized_text": ["|", "3", ".", "02", "|", "Time", "of", "Payment", ".", "Upon", "execution", "of", "this", "Lease", ",", "Tenant", "shall", "deposit", "with", "Rattikin", "Title", ",", "at", "201", "Main", "Street", ",", "Suite", "800", ",", "Fort", "Worth", ",", "Texas", ",", "70102", ",", "Attn", ":", "Megan", "Newborn", ",", "as", "the", "escrow", "holder", "in", "connection", "with", "Landlord", "'", "s", "acquisition", "of", "the", "Premises", ",", "the", "installment", "of", "Base", "Rent", "for", "the", "first", "30", "days", "of", "the", "Term", ".", "Upon", "the", "closing", "of", "the", "Premises", ",", "said", "first", "installment", "of", "Base", "Rent", "shall", "be", "disbursed", "to", "Landlord", ".", "On", "or", "before", "the", "first", "day", "of", "each", "succeeding", "month", "of", "the", "Term", ",", "the", "installment", "of", "Base", "Rent", "and", "other", "sums", "due", "under", "this", "Lease", "will", "be", "due", "and", "payable", ",", "in", "advance", ",", "without", "off-set", ",", "deduction", "or", "prior", "demand", ".", "If", "the", "Term", "commences", "or", "ends", "on", "a", "day", "other", "than", "the", "first", "or", "last", "day", "of", "a", "calendar", "month", ",", "the", "Rent", "for", "any", "fractional", "calendar", "month", "following", "the", "Commencement", "Date", "or", "preceding", "the", "end", "of", "the", "Term", "will", "be", "prorated", "by", "days", ".", "If", "any", "Rent", "is", "not", "received", "by", "Landlord", "or", "Landlord", "'", "s", "designee", "within", "five", "(", "5", ")", "days", "after", "that", "Rent", "is", "due", ",", "Tenant", "shall", "pay", "to", "Landlord", "a", "late", "charge", "of", "5", "%", "of", "the", "amount", "due", "as", "liquidated", "damages", "in", "lieu", "of", "actual", "damages", "(", "other", "than", "interest", "and", "attorneys", "'", "fees", "and", "costs", ")", ".", "Tenant", "shall", "pay", "such", "amount", "to", "Landlord", "as", "Rent", "concurrently", "with", "the", "next", "installment", "of", "Base", "Rent", "due", "and", "owing", "under", "the", "Lease", ".", "In", "addition", ",", "if", "any", "Rent", "is", "not", "received", "by", "Landlord", "or", "Landlord", "'", "s", "designee", "within", "five", "(", "5", ")", "days", "after", "that", "Rent", "is", "due", ",", "Tenant", "shall", "pay", "to", "Landlord", "annual", "interest", "on", "the", "past", "due", "amount", "from", "the", "date", "due", "until", "paid", "at", "the", "rate", "of", "10", "%", "per", "year", ",", "or", "such", "lesser", "rate", "allowed", "by", "law", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "13795", "text": "PROPERTY CONDITION, MAINTENANCE, REPAIRS AND ALTERATIONS", "ner": [], "tokenized_text": ["PROPERTY", "CONDITION", ",", "MAINTENANCE", ",", "REPAIRS", "AND", "ALTERATIONS"]}
{"id": "13797", "text": "| 14.01| Tenant's Compliance with Environmental Laws. Tenant, at Tenant's expense, shall comply with all laws, rules, orders, ordinances, directions, regulations and requirements of Federal, State, county and municipal authorities pertaining to Tenant's use of the Premises and with the recorded covenants, conditions and restrictions, regardless of when they become effective, including, without limitation, all applicable Federal, State and local laws, regulations or ordinances pertaining to air and water quality, Hazardous Materials (as defined in Section 14.03) waste disposal, air emissions and other environmental matters, all zoning and other land use matters, and with any direction of any public officer or officers, pursuant to law, which impose any duty upon Landlord or Tenant with respect to the use or occupancy of the Premises. ---|---|---", "ner": [], "tokenized_text": ["|", "14", ".", "01", "|", "Tenant", "'", "s", "Compliance", "with", "Environmental", "Laws", ".", "Tenant", ",", "at", "Tenant", "'", "s", "expense", ",", "shall", "comply", "with", "all", "laws", ",", "rules", ",", "orders", ",", "ordinances", ",", "directions", ",", "regulations", "and", "requirements", "of", "Federal", ",", "State", ",", "county", "and", "municipal", "authorities", "pertaining", "to", "Tenant", "'", "s", "use", "of", "the", "Premises", "and", "with", "the", "recorded", "covenants", ",", "conditions", "and", "restrictions", ",", "regardless", "of", "when", "they", "become", "effective", ",", "including", ",", "without", "limitation", ",", "all", "applicable", "Federal", ",", "State", "and", "local", "laws", ",", "regulations", "or", "ordinances", "pertaining", "to", "air", "and", "water", "quality", ",", "Hazardous", "Materials", "(", "as", "defined", "in", "Section", "14", ".", "03", ")", "waste", "disposal", ",", "air", "emissions", "and", "other", "environmental", "matters", ",", "all", "zoning", "and", "other", "land", "use", "matters", ",", "and", "with", "any", "direction", "of", "any", "public", "officer", "or", "officers", ",", "pursuant", "to", "law", ",", "which", "impose", "any", "duty", "upon", "Landlord", "or", "Tenant", "with", "respect", "to", "the", "use", "or", "occupancy", "of", "the", "Premises", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "13802", "text": "Section 1.Guaranty. For value received, and in order to induce ____________________[RICH UNCLES PURCHASING ENTITY](\"Landlord\"), to execute that certain Commercial Lease Agreement (the \"Lease\") with Calculated Risk Bedford, LP dba Texas Harley-Davidson (\"Tenant\"), for the leased premises consisting of the Property located at I Texas Harley Way, Bedford, Texas 76021, (together with any and all extensions or renewals thereof and amendments and modifications thereto, the \"Lease\"), Adam Smith (\"Guarantor\"), hereby unconditionally guarantees to Landlord (and Landlord's successors and assigns) the full, prompt and faithfill performance of each and every obligation of Tenant and any permitted assignee under the 1-ease, including, without limitation, the full and punctual payment (in the manner and at the times prescribed in the Lease) of all sums due and owing or to become due and owing by Tenant under the Lease (the \"Guaranteed Obligations\"). All capitalized terms used in this Guaranty and not defined in this Guaranty shall have the meaning given to such terms in the Lease", "ner": [[31, 33, "Title"], [41, 45, "Parties"], [65, 73, "Address"], [97, 98, "Parties"]], "tokenized_text": ["Section", "1", ".", "Guaranty", ".", "For", "value", "received", ",", "and", "in", "order", "to", "induce", "____________________", "[", "RICH", "UNCLES", "PURCHASING", "ENTITY", "]", "(", "\"", "Landlord", "\"", ")", ",", "to", "execute", "that", "certain", "Commercial", "Lease", "Agreement", "(", "the", "\"", "Lease", "\"", ")", "with", "Calculated", "Risk", "Bedford", ",", "LP", "dba", "Texas", "Harley-Davidson", "(", "\"", "Tenant", "\"", ")", ",", "for", "the", "leased", "premises", "consisting", "of", "the", "Property", "located", "at", "I", "Texas", "Harley", "Way", ",", "Bedford", ",", "Texas", "76021", ",", "(", "together", "with", "any", "and", "all", "extensions", "or", "renewals", "thereof", "and", "amendments", "and", "modifications", "thereto", ",", "the", "\"", "Lease", "\"", ")", ",", "Adam", "Smith", "(", "\"", "Guarantor", "\"", ")", ",", "hereby", "unconditionally", "guarantees", "to", "Landlord", "(", "and", "Landlord", "'", "s", "successors", "and", "assigns", ")", "the", "full", ",", "prompt", "and", "faithfill", "performance", "of", "each", "and", "every", "obligation", "of", "Tenant", "and", "any", "permitted", "assignee", "under", "the", "1-ease", ",", "including", ",", "without", "limitation", ",", "the", "full", "and", "punctual", "payment", "(", "in", "the", "manner", "and", "at", "the", "times", "prescribed", "in", "the", "Lease", ")", "of", "all", "sums", "due", "and", "owing", "or", "to", "become", "due", "and", "owing", "by", "Tenant", "under", "the", "Lease", "(", "the", "\"", "Guaranteed", "Obligations", "\"", ")", ".", "All", "capitalized", "terms", "used", "in", "this", "Guaranty", "and", "not", "defined", "in", "this", "Guaranty", "shall", "have", "the", "meaning", "given", "to", "such", "terms", "in", "the", "Lease"]}
{"id": "13803", "text": "Section 9.Applicable Law. This Guaranty shall be governed by and construed in accordance with the laws of the United States of America and the State of Texas, and is intended to be performed in accordance with and as permitted by such laws. This Guaranty cannot be changed or terminated orally. Any party bringing a legal action or proceeding against any other party arising out of or relating to this Guaranty must bring such legal action or proceeding in the applicable court(s) of Tat-rant County, Texas having jurisdiction over the subject matter of such action or proceeding, and each party submits to the jurisdiction of such court(s). The Guarantor hereby irrevocably waives any objection, including, without limitation, any objection to the laying of venue or based on the grounds of forum non conveniens, which it may now or hereafter have to the bringing of any such action or proceeding in any such jurisdiction and consents to the granting of such legal or equitable relief as is deemed appropriate by the court.", "ner": [[21, 24, "Court"], [27, 29, "Court"], [91, 94, "Court"]], "tokenized_text": ["Section", "9", ".", "Applicable", "Law", ".", "This", "Guaranty", "shall", "be", "governed", "by", "and", "construed", "in", "accordance", "with", "the", "laws", "of", "the", "United", "States", "of", "America", "and", "the", "State", "of", "Texas", ",", "and", "is", "intended", "to", "be", "performed", "in", "accordance", "with", "and", "as", "permitted", "by", "such", "laws", ".", "This", "Guaranty", "cannot", "be", "changed", "or", "terminated", "orally", ".", "Any", "party", "bringing", "a", "legal", "action", "or", "proceeding", "against", "any", "other", "party", "arising", "out", "of", "or", "relating", "to", "this", "Guaranty", "must", "bring", "such", "legal", "action", "or", "proceeding", "in", "the", "applicable", "court", "(", "s", ")", "of", "Tat-rant", "County", ",", "Texas", "having", "jurisdiction", "over", "the", "subject", "matter", "of", "such", "action", "or", "proceeding", ",", "and", "each", "party", "submits", "to", "the", "jurisdiction", "of", "such", "court", "(", "s", ")", ".", "The", "Guarantor", "hereby", "irrevocably", "waives", "any", "objection", ",", "including", ",", "without", "limitation", ",", "any", "objection", "to", "the", "laying", "of", "venue", "or", "based", "on", "the", "grounds", "of", "forum", "non", "conveniens", ",", "which", "it", "may", "now", "or", "hereafter", "have", "to", "the", "bringing", "of", "any", "such", "action", "or", "proceeding", "in", "any", "such", "jurisdiction", "and", "consents", "to", "the", "granting", "of", "such", "legal", "or", "equitable", "relief", "as", "is", "deemed", "appropriate", "by", "the", "court", "."]}
{"id": "13804", "text": "PURCHASE ADDENDUM TO COMMERCIAL EARNEST MONEY CONTACT (REAL ESTATE AGREEMENT) BETWEEN ANS REAL ESTATE LTD., AS SELLER, AND RICH UNCLES NNN OPERATING PARTNERSHIP, LP, AS BUYER", "ner": [[8, 10, "Title"], [13, 17, "Parties"], [25, 29, "Parties"]], "tokenized_text": ["PURCHASE", "ADDENDUM", "TO", "COMMERCIAL", "EARNEST", "MONEY", "CONTACT", "(", "REAL", "ESTATE", "AGREEMENT", ")", "BETWEEN", "ANS", "REAL", "ESTATE", "LTD", ".", ",", "AS", "SELLER", ",", "AND", "RICH", "UNCLES", "NNN", "OPERATING", "PARTNERSHIP", ",", "LP", ",", "AS", "BUYER"]}
{"id": "13806", "text": "| 36.| REPRESENTATIONS AND WARRANTIES . ---|---|---", "ner": [], "tokenized_text": ["|", "36", ".", "|", "REPRESENTATIONS", "AND", "WARRANTIES", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "13807", "text": "6.1.8 To the best of Seller's knowledge, Seller is not a person or entity with whom Seller is restricted from doing business under regulations of the Office of Foreign Asset Control (\"OFAC\") of the Department of the Treasury (including, but not limited to, those named on OFAC's Specially Designated and Blocked Persons list) or under any related statute, Executive Order (including, but not limited to, the September 24,2001, Executive Order Blocking Property and Prohibiting Transactions With Persons Who Commit, Threaten to Commit, or Support Terrorism), or other similar governmental action.", "ner": [[87, 90, "EffectiveDate"]], "tokenized_text": ["6", ".", "1", ".", "8", "To", "the", "best", "of", "Seller", "'", "s", "knowledge", ",", "Seller", "is", "not", "a", "person", "or", "entity", "with", "whom", "Seller", "is", "restricted", "from", "doing", "business", "under", "regulations", "of", "the", "Office", "of", "Foreign", "Asset", "Control", "(", "\"", "OFAC", "\"", ")", "of", "the", "Department", "of", "the", "Treasury", "(", "including", ",", "but", "not", "limited", "to", ",", "those", "named", "on", "OFAC", "'", "s", "Specially", "Designated", "and", "Blocked", "Persons", "list", ")", "or", "under", "any", "related", "statute", ",", "Executive", "Order", "(", "including", ",", "but", "not", "limited", "to", ",", "the", "September", "24", ",", "2001", ",", "Executive", "Order", "Blocking", "Property", "and", "Prohibiting", "Transactions", "With", "Persons", "Who", "Commit", ",", "Threaten", "to", "Commit", ",", "or", "Support", "Terrorism", ")", ",", "or", "other", "similar", "governmental", "action", "."]}
{"id": "13810", "text": "This SUBLEASE AGREEMENT (this Sublease) is made and entered into effective as of this 31st day of January, 2017 , by and between NXP USA, Inc. a Delaware corporation (hereinafter referred to as Sublandlord), and Everspin Technologies, Inc. , a Delaware corporation (hereinafter referred to as Subtenant).", "ner": [[1, 2, "Title"], [16, 21, "EffectiveDate"], [26, 30, "Parties"], [43, 47, "Parties"]], "tokenized_text": ["This", "SUBLEASE", "AGREEMENT", "(", "this", "Sublease", ")", "is", "made", "and", "entered", "into", "effective", "as", "of", "this", "31st", "day", "of", "January", ",", "2017", ",", "by", "and", "between", "NXP", "USA", ",", "Inc", ".", "a", "Delaware", "corporation", "(", "hereinafter", "referred", "to", "as", "Sublandlord", ")", ",", "and", "Everspin", "Technologies", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "hereinafter", "referred", "to", "as", "Subtenant", ")", "."]}
{"id": "13811", "text": "WHEREAS, VWP-BV CM 5670, LLC, a Delaware limited liability company (Master Landlord), and NXP, USA, Inc. a Delaware corporation, successor in interest to NXP Semiconductors USA, Inc., a Delaware corporation, as Lessee, entered into that certain Lease dated June23, 2014 (the Lease) regarding the lease of certain premises located at 5670 West Chandler Blvd., Chandler, Arizona 85226, as more particularly described in the Lease (the Premises); and", "ner": [[2, 6, "Parties"], [19, 24, "Parties"], [33, 38, "Parties"], [53, 55, "EffectiveDate"], [68, 77, "Address"]], "tokenized_text": ["WHEREAS", ",", "VWP-BV", "CM", "5670", ",", "LLC", ",", "a", "Delaware", "limited", "liability", "company", "(", "Master", "Landlord", ")", ",", "and", "NXP", ",", "USA", ",", "Inc", ".", "a", "Delaware", "corporation", ",", "successor", "in", "interest", "to", "NXP", "Semiconductors", "USA", ",", "Inc", ".", ",", "a", "Delaware", "corporation", ",", "as", "Lessee", ",", "entered", "into", "that", "certain", "Lease", "dated", "June23", ",", "2014", "(", "the", "Lease", ")", "regarding", "the", "lease", "of", "certain", "premises", "located", "at", "5670", "West", "Chandler", "Blvd", ".", ",", "Chandler", ",", "Arizona", "85226", ",", "as", "more", "particularly", "described", "in", "the", "Lease", "(", "the", "Premises", ")", ";", "and"]}
{"id": "13812", "text": "WHEREAS, the term of the Lease expires on August31, 2024 (the Expiration Date); and", "ner": [[9, 11, "TerminationDate"]], "tokenized_text": ["WHEREAS", ",", "the", "term", "of", "the", "Lease", "expires", "on", "August31", ",", "2024", "(", "the", "Expiration", "Date", ")", ";", "and"]}
{"id": "13815", "text": "/s/ Katherine Haight Name: | | Katherine Haight Title: | | Authorized Representative | Date: | | February13, 2017 SUBTENANT: EVERSPIN TECHNOLOGIES, INC.,&lt; br/&gt;", "ner": [[3, 4, "Parties"], [22, 24, "EffectiveDate"], [27, 31, "Parties"]], "tokenized_text": ["/", "s", "/", "Katherine", "Haight", "Name", ":", "|", "|", "Katherine", "Haight", "Title", ":", "|", "|", "Authorized", "Representative", "|", "Date", ":", "|", "|", "February13", ",", "2017", "SUBTENANT", ":", "EVERSPIN", "TECHNOLOGIES", ",", "INC", ".", ",", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "13816", "text": "VWP-BV CM 5670, LLC, a Delaware limited liability company (Master Landlord) hereby consents to the sublease of a part of the Premises by NXP USA, Inc. a Delaware corporation(Sublandlord) to Everspin Technologies, Inc. , a Delaware corporation (Subtenant), subject to the following terms and conditions:", "ner": [[0, 4, "Parties"], [27, 31, "Parties"], [39, 43, "Parties"]], "tokenized_text": ["VWP-BV", "CM", "5670", ",", "LLC", ",", "a", "Delaware", "limited", "liability", "company", "(", "Master", "Landlord", ")", "hereby", "consents", "to", "the", "sublease", "of", "a", "part", "of", "the", "Premises", "by", "NXP", "USA", ",", "Inc", ".", "a", "Delaware", "corporation", "(", "Sublandlord", ")", "to", "Everspin", "Technologies", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "Subtenant", ")", ",", "subject", "to", "the", "following", "terms", "and", "conditions", ":"]}
{"id": "13817", "text": "| | ---|---|--- MASTER LANDLORD: VWP-BV CM 5670, LLC , a Delaware limited liability company | | | By:VWP-BV1ChandlerMidway,LLC,a | | Delawarelimitedliabilitycompany,SoleMember | | | By:VWPChandlerMidwayManager,LLC,an | | Arizona limited liability company, Manager | | | By: ViaWest Properties, LLC, an Arizona limited liability company, its Manager | By: | |", "ner": [[16, 20, "Parties"], [32, 34, "Parties"], [47, 49, "Parties"], [65, 68, "Parties"]], "tokenized_text": ["|", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "MASTER", "LANDLORD", ":", "VWP-BV", "CM", "5670", ",", "LLC", ",", "a", "Delaware", "limited", "liability", "company", "|", "|", "|", "By", ":", "VWP-BV1ChandlerMidway", ",", "LLC", ",", "a", "|", "|", "Delawarelimitedliabilitycompany", ",", "SoleMember", "|", "|", "|", "By", ":", "VWPChandlerMidwayManager", ",", "LLC", ",", "an", "|", "|", "Arizona", "limited", "liability", "company", ",", "Manager", "|", "|", "|", "By", ":", "ViaWest", "Properties", ",", "LLC", ",", "an", "Arizona", "limited", "liability", "company", ",", "its", "Manager", "|", "By", ":", "|", "|"]}
{"id": "13820", "text": "| | ---|---|--- Lease Date: | | For identification purposes only, the date of this Lease is June 23, 2014 | Landlord: | | VWP-BV CM 5670, LLC, a Delaware limited liability company | Tenant: | | NXP Semiconductors USA, Inc., a Delaware corporation | Building: | | 5670 West Chandler Blvd., Chandler, Arizona 85226 | Rentable Area of Building: | | Approximately 55,900 rentable square feet | Premises: | | A total of approximately 32,988 rentable square feet (Rentable Area) (approximately 29,193 usable square feet), comprised of (i) approximately 27,974 rentable square feet (approximately 24,756 usable square feet) on the first floor of the Building, and (ii)approximately 5,014 rentable square feet (approximately 4,437 usable square feet) on the second floor of the Building, subject to final measurement in accordance with Section 1.3. | Term: | | Ten (10) Years, with two (2) options to extend for an additional five (5) years per option. See Rider No. 1. | Commencement Date: | | Upon substantial completion of the tenant improvements described in Exhibit D, estimated to be on or about October 1, 2014 (the Target Commencement Date); provided, however, the Commencement Date shall be no later than January I,2015. Landlord and Tenant agree to execute a Commencement Date Memorandum when the Commencement Date has been established. See Section 2.1. | Base Rent: | | As set forth on Schedule 1 attached hereto. | Utilities and Janitorial Services: | | Base Rent is net of all utilities and janitorial services furnished to the Premises. See Section 9. | Tenants Proportionate Share of", "ner": [[29, 32, "EffectiveDate"], [38, 42, "Parties"], [54, 59, "Parties"], [69, 78, "Address"], [252, 255, "EffectiveDate"], [275, 278, "TerminationDate"]], "tokenized_text": ["|", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "Lease", "Date", ":", "|", "|", "For", "identification", "purposes", "only", ",", "the", "date", "of", "this", "Lease", "is", "June", "23", ",", "2014", "|", "Landlord", ":", "|", "|", "VWP-BV", "CM", "5670", ",", "LLC", ",", "a", "Delaware", "limited", "liability", "company", "|", "Tenant", ":", "|", "|", "NXP", "Semiconductors", "USA", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "|", "Building", ":", "|", "|", "5670", "West", "Chandler", "Blvd", ".", ",", "Chandler", ",", "Arizona", "85226", "|", "Rentable", "Area", "of", "Building", ":", "|", "|", "Approximately", "55", ",", "900", "rentable", "square", "feet", "|", "Premises", ":", "|", "|", "A", "total", "of", "approximately", "32", ",", "988", "rentable", "square", "feet", "(", "Rentable", "Area", ")", "(", "approximately", "29", ",", "193", "usable", "square", "feet", ")", ",", "comprised", "of", "(", "i", ")", "approximately", "27", ",", "974", "rentable", "square", "feet", "(", "approximately", "24", ",", "756", "usable", "square", "feet", ")", "on", "the", "first", "floor", "of", "the", "Building", ",", "and", "(", "ii", ")", "approximately", "5", ",", "014", "rentable", "square", "feet", "(", "approximately", "4", ",", "437", "usable", "square", "feet", ")", "on", "the", "second", "floor", "of", "the", "Building", ",", "subject", "to", "final", "measurement", "in", "accordance", "with", "Section", "1", ".", "3", ".", "|", "Term", ":", "|", "|", "Ten", "(", "10", ")", "Years", ",", "with", "two", "(", "2", ")", "options", "to", "extend", "for", "an", "additional", "five", "(", "5", ")", "years", "per", "option", ".", "See", "Rider", "No", ".", "1", ".", "|", "Commencement", "Date", ":", "|", "|", "Upon", "substantial", "completion", "of", "the", "tenant", "improvements", "described", "in", "Exhibit", "D", ",", "estimated", "to", "be", "on", "or", "about", "October", "1", ",", "2014", "(", "the", "Target", "Commencement", "Date", ")", ";", "provided", ",", "however", ",", "the", "Commencement", "Date", "shall", "be", "no", "later", "than", "January", "I", ",", "2015", ".", "Landlord", "and", "Tenant", "agree", "to", "execute", "a", "Commencement", "Date", "Memorandum", "when", "the", "Commencement", "Date", "has", "been", "established", ".", "See", "Section", "2", ".", "1", ".", "|", "Base", "Rent", ":", "|", "|", "As", "set", "forth", "on", "Schedule", "1", "attached", "hereto", ".", "|", "Utilities", "and", "Janitorial", "Services", ":", "|", "|", "Base", "Rent", "is", "net", "of", "all", "utilities", "and", "janitorial", "services", "furnished", "to", "the", "Premises", ".", "See", "Section", "9", ".", "|", "Tenants", "Proportionate", "Share", "of"]}
{"id": "13822", "text": "(a) NXP Semiconductors, Attn: Site Manager; 5670 W. Chandler Blvd., Chandler, AZ 85226; and with a copy to:", "ner": [[3, 4, "Parties"], [11, 21, "Address"]], "tokenized_text": ["(", "a", ")", "NXP", "Semiconductors", ",", "Attn", ":", "Site", "Manager", ";", "5670", "W", ".", "Chandler", "Blvd", ".", ",", "Chandler", ",", "AZ", "85226", ";", "and", "with", "a", "copy", "to", ":"]}
{"id": "13823", "text": "(b) NXP Semiconductors, Attn : Real Estate Manager ; 411 E. Plumeria Drive, San Jose, California 95134 | Landlords Broker: | | Cassidy-Turley Commercial Real Estate Services | Tenants Broker: | | Cushman &amp; Wakefield of Arizona, Inc. | Guarantor(s): | | Not Applicable | Permitted Use: | | General office purposes together with related marketing, training, and other administrative support services, and for no other purpose. Notwithstanding the foregoing, Tenant may use a portion of the Premises (not to exceed 20% of the usable square footage) for laboratory and related testing purposes. | Normal Business Hours: | |", "ner": [[3, 4, "Parties"], [12, 22, "Address"], [29, 33, "Parties"], [40, 49, "Parties"], [104, 105, "Percentage"]], "tokenized_text": ["(", "b", ")", "NXP", "Semiconductors", ",", "Attn", ":", "Real", "Estate", "Manager", ";", "411", "E", ".", "Plumeria", "Drive", ",", "San", "Jose", ",", "California", "95134", "|", "Landlords", "Broker", ":", "|", "|", "Cassidy-Turley", "Commercial", "Real", "Estate", "Services", "|", "Tenants", "Broker", ":", "|", "|", "Cushman", "&", "amp", ";", "Wakefield", "of", "Arizona", ",", "Inc", ".", "|", "Guarantor", "(", "s", ")", ":", "|", "|", "Not", "Applicable", "|", "Permitted", "Use", ":", "|", "|", "General", "office", "purposes", "together", "with", "related", "marketing", ",", "training", ",", "and", "other", "administrative", "support", "services", ",", "and", "for", "no", "other", "purpose", ".", "Notwithstanding", "the", "foregoing", ",", "Tenant", "may", "use", "a", "portion", "of", "the", "Premises", "(", "not", "to", "exceed", "20", "%", "of", "the", "usable", "square", "footage", ")", "for", "laboratory", "and", "related", "testing", "purposes", ".", "|", "Normal", "Business", "Hours", ":", "|", "|"]}
{"id": "13824", "text": "(1) Hazardous Materials shall mean any substance: (A)that now or in the future is regulated or governed by, requires investigation or remediation under, or is defined as a hazardous waste, hazardous substance, medical waste, pollutant or contaminant under any governmental statute, code, ordinance, regulation, rule or order, including amendments, including for example on the Comprehensive Environmental Response Compensation and Liability Act, 42 U.S.C . 9601 et seq., and the Resource Conservation and Recovery Act, 42 U.S.C. 6901 et seq., or (B)that is toxic, explosive, corrosive, flammable, radioactive, carcinogenic, dangerous or otherwise hazardous, including gasoline, diesel fuel, petroleum hydrocarbons, polychlorinated biphenyls (PCBs), asbestos, radon and urea formaldehyde foam insulation, or (C)medical and biohazard wastes regulated by federal, state or local laws or authorities which includes any gaseous, liquid and solid waste which is generated in the diagnosis, treatment or immunization of a human being or animal or in any research relating to that diagnosis, treatment or immunization, or in the production or testing of biologicals, which includes but is not limited to: cultures and stocks of infectious agents and associated biologicals, including cultures from medical and pathological laboratories, cultures and stocks of infectious agents from research and industrial laboratories, wastes from the production of biologicals, discarded live and attenuated vaccines, and culture dishes and devices used to transfer, inoculate, and mix cultures; pathological wastes, including tissues, organs, and body parts that removed during surgery or autopsy; waste human blood and products of blood, including serum, plasma, and other blood components; sharps that have been used inpatient care or in medical, research, or industrial laboratories, including hypodermic needles, syringes, pasteur pipettes, broken glass, and scalpel blades; contaminated animal carcasses, body parts, and bedding of animals that were exposed to infectious agents during research, production of biologicals, or testing of pharmaceuticals; wastes from surgery or autopsy that were in contact with infectious agents, including soiled dressings, sponges, drapes, lavage tubes, drainage sets, underpads, and surgical gloves; laboratory wastes from medical, pathological, pharmaceutical, or other research, commercial, or industrial laboratories that were in contact with infectious agents, including slides and cover slips, disposable gloves, laboratory coats, and aprons; dialysis wastes that were in contact with the blood of patients undergoing hemodialysis, including contaminated disposable equipment and supplies such as tubing, filters, disposable sheets, towels, gloves, aprons, and laboratory coats; discarded medical equipment and parts that were in contact with infectious agents; biological waste and discarded materials contaminated with blood, excretion, exudates or secretions from human beings or animals who are isolated to protect others from communicable diseases; or such other waste material that results from the administration of medical care to a patient by a health care provider and represents a threat to human health or the environment.", "ner": [[71, 77, "Act"], [79, 86, "Regulation"], [93, 97, "Act"], [99, 106, "Regulation"]], "tokenized_text": ["(", "1", ")", "Hazardous", "Materials", "shall", "mean", "any", "substance", ":", "(", "A", ")", "that", "now", "or", "in", "the", "future", "is", "regulated", "or", "governed", "by", ",", "requires", "investigation", "or", "remediation", "under", ",", "or", "is", "defined", "as", "a", "hazardous", "waste", ",", "hazardous", "substance", ",", "medical", "waste", ",", "pollutant", "or", "contaminant", "under", "any", "governmental", "statute", ",", "code", ",", "ordinance", ",", "regulation", ",", "rule", "or", "order", ",", "including", "amendments", ",", "including", "for", "example", "on", "the", "Comprehensive", "Environmental", "Response", "Compensation", "and", "Liability", "Act", ",", "42", "U", ".", "S", ".", "C", ".", "9601", "et", "seq", ".", ",", "and", "the", "Resource", "Conservation", "and", "Recovery", "Act", ",", "42", "U", ".", "S", ".", "C", ".", "6901", "et", "seq", ".", ",", "or", "(", "B", ")", "that", "is", "toxic", ",", "explosive", ",", "corrosive", ",", "flammable", ",", "radioactive", ",", "carcinogenic", ",", "dangerous", "or", "otherwise", "hazardous", ",", "including", "gasoline", ",", "diesel", "fuel", ",", "petroleum", "hydrocarbons", ",", "polychlorinated", "biphenyls", "(", "PCBs", ")", ",", "asbestos", ",", "radon", "and", "urea", "formaldehyde", "foam", "insulation", ",", "or", "(", "C", ")", "medical", "and", "biohazard", "wastes", "regulated", "by", "federal", ",", "state", "or", "local", "laws", "or", "authorities", "which", "includes", "any", "gaseous", ",", "liquid", "and", "solid", "waste", "which", "is", "generated", "in", "the", "diagnosis", ",", "treatment", "or", "immunization", "of", "a", "human", "being", "or", "animal", "or", "in", "any", "research", "relating", "to", "that", "diagnosis", ",", "treatment", "or", "immunization", ",", "or", "in", "the", "production", "or", "testing", "of", "biologicals", ",", "which", "includes", "but", "is", "not", "limited", "to", ":", "cultures", "and", "stocks", "of", "infectious", "agents", "and", "associated", "biologicals", ",", "including", "cultures", "from", "medical", "and", "pathological", "laboratories", ",", "cultures", "and", "stocks", "of", "infectious", "agents", "from", "research", "and", "industrial", "laboratories", ",", "wastes", "from", "the", "production", "of", "biologicals", ",", "discarded", "live", "and", "attenuated", "vaccines", ",", "and", "culture", "dishes", "and", "devices", "used", "to", "transfer", ",", "inoculate", ",", "and", "mix", "cultures", ";", "pathological", "wastes", ",", "including", "tissues", ",", "organs", ",", "and", "body", "parts", "that", "removed", "during", "surgery", "or", "autopsy", ";", "waste", "human", "blood", "and", "products", "of", "blood", ",", "including", "serum", ",", "plasma", ",", "and", "other", "blood", "components", ";", "sharps", "that", "have", "been", "used", "inpatient", "care", "or", "in", "medical", ",", "research", ",", "or", "industrial", "laboratories", ",", "including", "hypodermic", "needles", ",", "syringes", ",", "pasteur", "pipettes", ",", "broken", "glass", ",", "and", "scalpel", "blades", ";", "contaminated", "animal", "carcasses", ",", "body", "parts", ",", "and", "bedding", "of", "animals", "that", "were", "exposed", "to", "infectious", "agents", "during", "research", ",", "production", "of", "biologicals", ",", "or", "testing", "of", "pharmaceuticals", ";", "wastes", "from", "surgery", "or", "autopsy", "that", "were", "in", "contact", "with", "infectious", "agents", ",", "including", "soiled", "dressings", ",", "sponges", ",", "drapes", ",", "lavage", "tubes", ",", "drainage", "sets", ",", "underpads", ",", "and", "surgical", "gloves", ";", "laboratory", "wastes", "from", "medical", ",", "pathological", ",", "pharmaceutical", ",", "or", "other", "research", ",", "commercial", ",", "or", "industrial", "laboratories", "that", "were", "in", "contact", "with", "infectious", "agents", ",", "including", "slides", "and", "cover", "slips", ",", "disposable", "gloves", ",", "laboratory", "coats", ",", "and", "aprons", ";", "dialysis", "wastes", "that", "were", "in", "contact", "with", "the", "blood", "of", "patients", "undergoing", "hemodialysis", ",", "including", "contaminated", "disposable", "equipment", "and", "supplies", "such", "as", "tubing", ",", "filters", ",", "disposable", "sheets", ",", "towels", ",", "gloves", ",", "aprons", ",", "and", "laboratory", "coats", ";", "discarded", "medical", "equipment", "and", "parts", "that", "were", "in", "contact", "with", "infectious", "agents", ";", "biological", "waste", "and", "discarded", "materials", "contaminated", "with", "blood", ",", "excretion", ",", "exudates", "or", "secretions", "from", "human", "beings", "or", "animals", "who", "are", "isolated", "to", "protect", "others", "from", "communicable", "diseases", ";", "or", "such", "other", "waste", "material", "that", "results", "from", "the", "administration", "of", "medical", "care", "to", "a", "patient", "by", "a", "health", "care", "provider", "and", "represents", "a", "threat", "to", "human", "health", "or", "the", "environment", "."]}
{"id": "13825", "text": "(c) Notwithstanding the foregoing or anything to the contrary herein, Tenant shall have the right to obtain telephone and other communications services from a provider other than the Regional Bell Operating Company . In the event Tenant enters into an agreement with an alternate provider, Landlord agrees to deliver a license agreement to that provider, which permits such provider to install, at Tenants sole cost and expense, fiber optic, wireless or other transmission and reception medium equipment in and on the building or property as necessary to adequately serve Tenant. Such license agreement shall be offered at a nominal annual charge to the provider and shall contain such other commercially reasonable terms as approved by Landlord.", "ner": [[54, 55, "Title"]], "tokenized_text": ["(", "c", ")", "Notwithstanding", "the", "foregoing", "or", "anything", "to", "the", "contrary", "herein", ",", "Tenant", "shall", "have", "the", "right", "to", "obtain", "telephone", "and", "other", "communications", "services", "from", "a", "provider", "other", "than", "the", "Regional", "Bell", "Operating", "Company", ".", "In", "the", "event", "Tenant", "enters", "into", "an", "agreement", "with", "an", "alternate", "provider", ",", "Landlord", "agrees", "to", "deliver", "a", "license", "agreement", "to", "that", "provider", ",", "which", "permits", "such", "provider", "to", "install", ",", "at", "Tenants", "sole", "cost", "and", "expense", ",", "fiber", "optic", ",", "wireless", "or", "other", "transmission", "and", "reception", "medium", "equipment", "in", "and", "on", "the", "building", "or", "property", "as", "necessary", "to", "adequately", "serve", "Tenant", ".", "Such", "license", "agreement", "shall", "be", "offered", "at", "a", "nominal", "annual", "charge", "to", "the", "provider", "and", "shall", "contain", "such", "other", "commercially", "reasonable", "terms", "as", "approved", "by", "Landlord", "."]}
{"id": "13826", "text": "10.4 Scope of Indemnities and Waivers. The indemnities and waivers contained in Section10 will not apply to the extent of the percentage of liability that a final judgment of a court of competent jurisdiction establishes under the comparative negligence principles of the State of Arizona that a Claim against a Landlord Party was proximately caused by the misconduct or negligence of that Landlord Party, provided, however, that in such event the indemnity or waiver will remain valid for all other Landlord Parties.", "ner": [[45, 47, "Court"]], "tokenized_text": ["10", ".", "4", "Scope", "of", "Indemnities", "and", "Waivers", ".", "The", "indemnities", "and", "waivers", "contained", "in", "Section10", "will", "not", "apply", "to", "the", "extent", "of", "the", "percentage", "of", "liability", "that", "a", "final", "judgment", "of", "a", "court", "of", "competent", "jurisdiction", "establishes", "under", "the", "comparative", "negligence", "principles", "of", "the", "State", "of", "Arizona", "that", "a", "Claim", "against", "a", "Landlord", "Party", "was", "proximately", "caused", "by", "the", "misconduct", "or", "negligence", "of", "that", "Landlord", "Party", ",", "provided", ",", "however", ",", "that", "in", "such", "event", "the", "indemnity", "or", "waiver", "will", "remain", "valid", "for", "all", "other", "Landlord", "Parties", "."]}
{"id": "13829", "text": "(b) If twenty-five percent ( 25% )or more of the Building, the Property or of the Rentable Area in the Building is taken by Condemnation, or if as a result of any Condemnation the Building is no longer reasonably suitable for use as an office building, whether or not any portion of the Premises is taken, Landlord may elect to terminate this Lease, effective as of the Date of Condemnation, by notice to Tenant within thirty (30)days after the Date of Condemnation.", "ner": [[7, 8, "Percentage"]], "tokenized_text": ["(", "b", ")", "If", "twenty-five", "percent", "(", "25", "%", ")", "or", "more", "of", "the", "Building", ",", "the", "Property", "or", "of", "the", "Rentable", "Area", "in", "the", "Building", "is", "taken", "by", "Condemnation", ",", "or", "if", "as", "a", "result", "of", "any", "Condemnation", "the", "Building", "is", "no", "longer", "reasonably", "suitable", "for", "use", "as", "an", "office", "building", ",", "whether", "or", "not", "any", "portion", "of", "the", "Premises", "is", "taken", ",", "Landlord", "may", "elect", "to", "terminate", "this", "Lease", ",", "effective", "as", "of", "the", "Date", "of", "Condemnation", ",", "by", "notice", "to", "Tenant", "within", "thirty", "(", "30", ")", "days", "after", "the", "Date", "of", "Condemnation", "."]}
{"id": "13830", "text": "| 16. | LATE CHARGE AND INTEREST . ---|---|--- 16.1 Late Charge. If any payment of Base Rent, Additional Rent or other charges is not received by Landlord when due, which failure continues for five (5)days, Tenant shall pay to Landlord on demand as a late charge an additional amount equal to ten percent (10%)of the overdue payment.", "ner": [[75, 76, "Percentage"]], "tokenized_text": ["|", "16", ".", "|", "LATE", "CHARGE", "AND", "INTEREST", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "16", ".", "1", "Late", "Charge", ".", "If", "any", "payment", "of", "Base", "Rent", ",", "Additional", "Rent", "or", "other", "charges", "is", "not", "received", "by", "Landlord", "when", "due", ",", "which", "failure", "continues", "for", "five", "(", "5", ")", "days", ",", "Tenant", "shall", "pay", "to", "Landlord", "on", "demand", "as", "a", "late", "charge", "an", "additional", "amount", "equal", "to", "ten", "percent", "(", "10", "%", ")", "of", "the", "overdue", "payment", "."]}
{"id": "13834", "text": "NXP SEMICONDUCTORS USA, INC.,&lt; br/&gt;", "ner": [[0, 5, "Parties"]], "tokenized_text": ["NXP", "SEMICONDUCTORS", "USA", ",", "INC", ".", ",", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "13839", "text": "5670 West Chandler Boulevard, Chandler, Arizona 85226", "ner": [[0, 8, "Address"]], "tokenized_text": ["5670", "West", "Chandler", "Boulevard", ",", "Chandler", ",", "Arizona", "85226"]}
{"id": "13841", "text": "THIS WORK LETTER (Work Letter) is executed concurrently with, attached to and made a part of that certain Lease (Lease) dated June23, 2014, by and between VWP-BV CM 5670, LLC, a Delaware limited liability company (Landlord), and NXP SEMICONDUCTORS USA, INC., a Delaware corporation (Tenant) . All capitalized terms used in this Work Letter which are defined in the Lease shall have the same respective meanings as given in the Lease. For the considerations set forth in the Lease and the mutual covenants hereinafter contained, Landlord and Tenant covenant and agree to prepare the Premises for Tenants occupancy in accordance with this Work Letter, as follows:", "ner": [[26, 28, "EffectiveDate"], [33, 37, "Parties"], [49, 54, "Parties"]], "tokenized_text": ["THIS", "WORK", "LETTER", "(", "Work", "Letter", ")", "is", "executed", "concurrently", "with", ",", "attached", "to", "and", "made", "a", "part", "of", "that", "certain", "Lease", "(", "Lease", ")", "dated", "June23", ",", "2014", ",", "by", "and", "between", "VWP-BV", "CM", "5670", ",", "LLC", ",", "a", "Delaware", "limited", "liability", "company", "(", "Landlord", ")", ",", "and", "NXP", "SEMICONDUCTORS", "USA", ",", "INC", ".", ",", "a", "Delaware", "corporation", "(", "Tenant", ")", ".", "All", "capitalized", "terms", "used", "in", "this", "Work", "Letter", "which", "are", "defined", "in", "the", "Lease", "shall", "have", "the", "same", "respective", "meanings", "as", "given", "in", "the", "Lease", ".", "For", "the", "considerations", "set", "forth", "in", "the", "Lease", "and", "the", "mutual", "covenants", "hereinafter", "contained", ",", "Landlord", "and", "Tenant", "covenant", "and", "agree", "to", "prepare", "the", "Premises", "for", "Tenants", "occupancy", "in", "accordance", "with", "this", "Work", "Letter", ",", "as", "follows", ":"]}
{"id": "13843", "text": "a. Preliminary Plans. Within 5 Business Days after the date the Lease is signed by both Landlord and Tenant, Tenant will furnish, for Landlords review and approval preliminary Plans, Budget, and Project Schedule.", "ner": [], "tokenized_text": ["a", ".", "Preliminary", "Plans", ".", "Within", "5", "Business", "Days", "after", "the", "date", "the", "Lease", "is", "signed", "by", "both", "Landlord", "and", "Tenant", ",", "Tenant", "will", "furnish", ",", "for", "Landlords", "review", "and", "approval", "preliminary", "Plans", ",", "Budget", ",", "and", "Project", "Schedule", "."]}
{"id": "13845", "text": "5110 N. 40th St., Suite 110", "ner": [[0, 8, "Address"]], "tokenized_text": ["5110", "N", ".", "40th", "St", ".", ",", "Suite", "110"]}
{"id": "13847", "text": "b. Indemnity. At the request of Tenant and solely as an accommodation to Tenant, Landlord will enter into a direct contractual agreement with Tenants Contractor. Notwithstanding the foregoing, Tenant will be responsible to Landlord for all Claims arising from the acts and omissions of Tenants Contractor and all subcontractors, materialmen, suppliers, and other Tenant Parties in connection with any Work, and Landlord will have no liability to Tenant, Tenants Contractor, Tenants subcontractors, or any other Tenant Party in connection therewith, and Tenant agrees to indemnify, defend, and hold Landlord Parties harmless from any Claim, demand, or action asserted or suffered by any Tenant Party or third party arising in connection with the Work except to the extent arising from Landlords gross negligence, will misconduct or violation of its obligations under the Lease. Landlord will have no direct contractual obligation to any other subcontractor of Tenant to pay them. Landlords sole financial obligation with respect to the Work shall be to disburse to Tenants Contractor funds from the Allowance (as defined below) in accordance with this Work Letter and additional funds deposited by Tenant with Landlord to pay any Excess Costs (as defined below), all in accordance with the terms of this Work Letter.", "ner": [], "tokenized_text": ["b", ".", "Indemnity", ".", "At", "the", "request", "of", "Tenant", "and", "solely", "as", "an", "accommodation", "to", "Tenant", ",", "Landlord", "will", "enter", "into", "a", "direct", "contractual", "agreement", "with", "Tenants", "Contractor", ".", "Notwithstanding", "the", "foregoing", ",", "Tenant", "will", "be", "responsible", "to", "Landlord", "for", "all", "Claims", "arising", "from", "the", "acts", "and", "omissions", "of", "Tenants", "Contractor", "and", "all", "subcontractors", ",", "materialmen", ",", "suppliers", ",", "and", "other", "Tenant", "Parties", "in", "connection", "with", "any", "Work", ",", "and", "Landlord", "will", "have", "no", "liability", "to", "Tenant", ",", "Tenants", "Contractor", ",", "Tenants", "subcontractors", ",", "or", "any", "other", "Tenant", "Party", "in", "connection", "therewith", ",", "and", "Tenant", "agrees", "to", "indemnify", ",", "defend", ",", "and", "hold", "Landlord", "Parties", "harmless", "from", "any", "Claim", ",", "demand", ",", "or", "action", "asserted", "or", "suffered", "by", "any", "Tenant", "Party", "or", "third", "party", "arising", "in", "connection", "with", "the", "Work", "except", "to", "the", "extent", "arising", "from", "Landlords", "gross", "negligence", ",", "will", "misconduct", "or", "violation", "of", "its", "obligations", "under", "the", "Lease", ".", "Landlord", "will", "have", "no", "direct", "contractual", "obligation", "to", "any", "other", "subcontractor", "of", "Tenant", "to", "pay", "them", ".", "Landlords", "sole", "financial", "obligation", "with", "respect", "to", "the", "Work", "shall", "be", "to", "disburse", "to", "Tenants", "Contractor", "funds", "from", "the", "Allowance", "(", "as", "defined", "below", ")", "in", "accordance", "with", "this", "Work", "Letter", "and", "additional", "funds", "deposited", "by", "Tenant", "with", "Landlord", "to", "pay", "any", "Excess", "Costs", "(", "as", "defined", "below", ")", ",", "all", "in", "accordance", "with", "the", "terms", "of", "this", "Work", "Letter", "."]}
{"id": "13848", "text": "i. Work Procedures. Tenants Contractor will only utilize restrooms as provided and directed by Landlord; provided, however, these restrooms shall be reasonably available to Tenants Contractor and to other users on multi-Tenant floors during construction. Tenant will cause all Work to be performed in a manner that does not unreasonably disturb any other Tenants within the Building.", "ner": [], "tokenized_text": ["i", ".", "Work", "Procedures", ".", "Tenants", "Contractor", "will", "only", "utilize", "restrooms", "as", "provided", "and", "directed", "by", "Landlord", ";", "provided", ",", "however", ",", "these", "restrooms", "shall", "be", "reasonably", "available", "to", "Tenants", "Contractor", "and", "to", "other", "users", "on", "multi-Tenant", "floors", "during", "construction", ".", "Tenant", "will", "cause", "all", "Work", "to", "be", "performed", "in", "a", "manner", "that", "does", "not", "unreasonably", "disturb", "any", "other", "Tenants", "within", "the", "Building", "."]}
{"id": "13849", "text": "d. Indemnity against Liens. TENANT AGREES TO INDEMNIFY, DEFEND, AND HOLD HARMLESS LANDLORD PARTIES FROM ALL LIENS, CLAIMS, AND DEMANDS ASSERTED BY ANY PERSON SUPPLYING LABOR, MATERIALS, OR SERVICES IN CONNECTION WITH THE WORK AND ALL RESULTING COSTS INCURRED BY LANDLORD; PROVIDED, HOWEVER, THE", "ner": [], "tokenized_text": ["d", ".", "Indemnity", "against", "Liens", ".", "TENANT", "AGREES", "TO", "INDEMNIFY", ",", "DEFEND", ",", "AND", "HOLD", "HARMLESS", "LANDLORD", "PARTIES", "FROM", "ALL", "LIENS", ",", "CLAIMS", ",", "AND", "DEMANDS", "ASSERTED", "BY", "ANY", "PERSON", "SUPPLYING", "LABOR", ",", "MATERIALS", ",", "OR", "SERVICES", "IN", "CONNECTION", "WITH", "THE", "WORK", "AND", "ALL", "RESULTING", "COSTS", "INCURRED", "BY", "LANDLORD", ";", "PROVIDED", ",", "HOWEVER", ",", "THE"]}
{"id": "13850", "text": "FOREGOING INDEMNITY SHALL NOT APPLY TO THE EXTENT SUCH LIENS, CLAIMS AND DEMANDS ARISE FROM LANDLORDS WRONGFUL REFUSAL TO DISBURSE FUNDS FROM THE ALLOWANCE UNDER THE TERMS OF THIS WORK LETTER. THIS INDEMNITY WILL INCLUDE, WITHOUT LIMITATION, ANY COSTS, DAMAGES, REASONABLE ATTORNEYS FEES, COURT COSTS, AND EXPENSES INCURRED BY LANDLORD ARISING FROM ANY SUCH LIEN, CLAIM, OR DEMAND, AND THIS INDEMNITY WILL SURVIVE THE EXPIRATION OR TERMINATION OF THIS LEASE.", "ner": [], "tokenized_text": ["FOREGOING", "INDEMNITY", "SHALL", "NOT", "APPLY", "TO", "THE", "EXTENT", "SUCH", "LIENS", ",", "CLAIMS", "AND", "DEMANDS", "ARISE", "FROM", "LANDLORDS", "WRONGFUL", "REFUSAL", "TO", "DISBURSE", "FUNDS", "FROM", "THE", "ALLOWANCE", "UNDER", "THE", "TERMS", "OF", "THIS", "WORK", "LETTER", ".", "THIS", "INDEMNITY", "WILL", "INCLUDE", ",", "WITHOUT", "LIMITATION", ",", "ANY", "COSTS", ",", "DAMAGES", ",", "REASONABLE", "ATTORNEYS", "FEES", ",", "COURT", "COSTS", ",", "AND", "EXPENSES", "INCURRED", "BY", "LANDLORD", "ARISING", "FROM", "ANY", "SUCH", "LIEN", ",", "CLAIM", ",", "OR", "DEMAND", ",", "AND", "THIS", "INDEMNITY", "WILL", "SURVIVE", "THE", "EXPIRATION", "OR", "TERMINATION", "OF", "THIS", "LEASE", "."]}
{"id": "13853", "text": "| | | | | | ---|---|---|---|---|---|--- | | | | TENANT: | | | | | | NXP SEMICONDUCTORS USA, INC., | | | | a Delaware corporation | | | Date: | | | | By: | |", "ner": [[45, 50, "Parties"]], "tokenized_text": ["|", "|", "|", "|", "|", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "|", "|", "|", "TENANT", ":", "|", "|", "|", "|", "|", "|", "NXP", "SEMICONDUCTORS", "USA", ",", "INC", ".", ",", "|", "|", "|", "|", "a", "Delaware", "corporation", "|", "|", "|", "Date", ":", "|", "|", "|", "|", "By", ":", "|", "|"]}
{"id": "13854", "text": "VWP-BV 1 CHANDLER MIDWAY, LLC,&lt; br/&gt;", "ner": [[2, 5, "Parties"]], "tokenized_text": ["VWP-BV", "1", "CHANDLER", "MIDWAY", ",", "LLC", ",", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "13859", "text": "WHEREAS, Owner is the owner of that certain Land and Building located at 1954 Commerce Street, Dallas, Texas 75201;", "ner": [[2, 2, "Role"], [14, 21, "Address"]], "tokenized_text": ["WHEREAS", ",", "Owner", "is", "the", "owner", "of", "that", "certain", "Land", "and", "Building", "located", "at", "1954", "Commerce", "Street", ",", "Dallas", ",", "Texas", "75201", ";"]}
{"id": "13864", "text": "(c) Notwithstanding anything to the contrary set forth herein or in the Lease, for purposes of computing Tenants Excess Basic Costs, the actual Controllable Basic Costs (hereinafter defined) for the first full calendar year following the Base Year shall not increase by more than six percent ( 6% ) over the actual Controllable Basic Costs for the Base Year.Thereafter, the actual Controllable Basic Costs for any calendar year shall not increase by more than six percent( 6% ) over the actual Controllable Basic Costs for the prior calendar year on a cumulative and compounding basis.In other words, actual Controllable Basic Costs for the calendar year following the Base Year (i.e., for calendar year 2019) shall not exceed one hundred six percent ( 106% ) of actual Controllable Basic Costs for the Base Year, and actual Controllable Basic Costs for calendar year 2020 shall not exceed one hundred six percent ( 106% ) of actual Controllable Basic Costs for calendar year 2019. For purposes of this Lease, Controllable Basic Costs shall mean all Basic Costs other than utility expenses, insurance premiums and real estate taxes. ---|--- |", "ner": [[53, 54, "Percentage"], [143, 144, "Percentage"]], "tokenized_text": ["(", "c", ")", "Notwithstanding", "anything", "to", "the", "contrary", "set", "forth", "herein", "or", "in", "the", "Lease", ",", "for", "purposes", "of", "computing", "Tenants", "Excess", "Basic", "Costs", ",", "the", "actual", "Controllable", "Basic", "Costs", "(", "hereinafter", "defined", ")", "for", "the", "first", "full", "calendar", "year", "following", "the", "Base", "Year", "shall", "not", "increase", "by", "more", "than", "six", "percent", "(", "6", "%", ")", "over", "the", "actual", "Controllable", "Basic", "Costs", "for", "the", "Base", "Year", ".", "Thereafter", ",", "the", "actual", "Controllable", "Basic", "Costs", "for", "any", "calendar", "year", "shall", "not", "increase", "by", "more", "than", "six", "percent", "(", "6", "%", ")", "over", "the", "actual", "Controllable", "Basic", "Costs", "for", "the", "prior", "calendar", "year", "on", "a", "cumulative", "and", "compounding", "basis", ".", "In", "other", "words", ",", "actual", "Controllable", "Basic", "Costs", "for", "the", "calendar", "year", "following", "the", "Base", "Year", "(", "i", ".", "e", ".", ",", "for", "calendar", "year", "2019", ")", "shall", "not", "exceed", "one", "hundred", "six", "percent", "(", "106", "%", ")", "of", "actual", "Controllable", "Basic", "Costs", "for", "the", "Base", "Year", ",", "and", "actual", "Controllable", "Basic", "Costs", "for", "calendar", "year", "2020", "shall", "not", "exceed", "one", "hundred", "six", "percent", "(", "106", "%", ")", "of", "actual", "Controllable", "Basic", "Costs", "for", "calendar", "year", "2019", ".", "For", "purposes", "of", "this", "Lease", ",", "Controllable", "Basic", "Costs", "shall", "mean", "all", "Basic", "Costs", "other", "than", "utility", "expenses", ",", "insurance", "premiums", "and", "real", "estate", "taxes", ".", "-", "-", "-", "|", "-", "-", "-", "|"]}
{"id": "13865", "text": "business hours and on normal working days at the office of Landlord in Dallas, Texas.Tenant agrees that any information obtained during an inspection by Tenant of Landlords books of account and records shall be kept in confidence by Tenant and its agents and employees and shall not be disclosed to any other parties, except to Tenants agents, employees, attorneys, accountants and other consultants, and except as required by applicable law or governmental process (including any subpoena).Any auditor retained by Tenant to inspect Landlords books of account and records must be a certified public accounting firm or real estate advisory firm, which firm in each case (i)is of recognized national or regional standing, and (ii)shall not provide the audit services to Tenant on a contingency fee basis.If Tenants inspection establishes that Tenant overpaid Excess Basic Costs, Landlord shall refund such excess to Tenant within thirty (30) days after Landlords receipt of an invoice for the same unless Landlord, in good faith, contests the results of such inspection (in which event such excess, if any, shall be refunded within thirty (30) days after resolution of such contest) or, at Tenants election, Tenant may offset the amount of the overpayment (but not before Landlords contest of the results of the inspection, if any, has been resolved) against Base Rental becoming due.Likewise, if such inspection establishes that Tenant underpaid Excess Basic Costs, Tenant shall pay such deficiency to Landlord within thirty (30) days after receipt of the results of the inspection.Any such inspection by Tenant shall be at Tenants sole cost and expense; provided, however, if any such inspection discloses that Landlord charged Tenant in excess of five percent ( 5% ) more than properly chargeable to Tenant, then Landlord, within thirty (30) days after its receipt of paid invoices therefor from Tenant, shall reimburse Tenant for the reasonable amounts paid by Tenant to third parties in connection with such inspection by Tenant, not to exceed $5,000.00.In no event shall Tenant be permitted to examine Landlords records or to dispute any Statement of Excess Basic Costs unless Tenant has paid and continues to pay all rent when due; provided, however, that the foregoing shall not be construed to bar such examination if Tenants discontinuation in the payment of rent is based upon Tenants exercise of a right of offset expressly granted to Tenant in this Lease. --- |", "ner": [[13, 15, "Address"], [326, 327, "Percentage"], [379, 384, "Rent"]], "tokenized_text": ["business", "hours", "and", "on", "normal", "working", "days", "at", "the", "office", "of", "Landlord", "in", "Dallas", ",", "Texas", ".", "Tenant", "agrees", "that", "any", "information", "obtained", "during", "an", "inspection", "by", "Tenant", "of", "Landlords", "books", "of", "account", "and", "records", "shall", "be", "kept", "in", "confidence", "by", "Tenant", "and", "its", "agents", "and", "employees", "and", "shall", "not", "be", "disclosed", "to", "any", "other", "parties", ",", "except", "to", "Tenants", "agents", ",", "employees", ",", "attorneys", ",", "accountants", "and", "other", "consultants", ",", "and", "except", "as", "required", "by", "applicable", "law", "or", "governmental", "process", "(", "including", "any", "subpoena", ")", ".", "Any", "auditor", "retained", "by", "Tenant", "to", "inspect", "Landlords", "books", "of", "account", "and", "records", "must", "be", "a", "certified", "public", "accounting", "firm", "or", "real", "estate", "advisory", "firm", ",", "which", "firm", "in", "each", "case", "(", "i", ")", "is", "of", "recognized", "national", "or", "regional", "standing", ",", "and", "(", "ii", ")", "shall", "not", "provide", "the", "audit", "services", "to", "Tenant", "on", "a", "contingency", "fee", "basis", ".", "If", "Tenants", "inspection", "establishes", "that", "Tenant", "overpaid", "Excess", "Basic", "Costs", ",", "Landlord", "shall", "refund", "such", "excess", "to", "Tenant", "within", "thirty", "(", "30", ")", "days", "after", "Landlords", "receipt", "of", "an", "invoice", "for", "the", "same", "unless", "Landlord", ",", "in", "good", "faith", ",", "contests", "the", "results", "of", "such", "inspection", "(", "in", "which", "event", "such", "excess", ",", "if", "any", ",", "shall", "be", "refunded", "within", "thirty", "(", "30", ")", "days", "after", "resolution", "of", "such", "contest", ")", "or", ",", "at", "Tenants", "election", ",", "Tenant", "may", "offset", "the", "amount", "of", "the", "overpayment", "(", "but", "not", "before", "Landlords", "contest", "of", "the", "results", "of", "the", "inspection", ",", "if", "any", ",", "has", "been", "resolved", ")", "against", "Base", "Rental", "becoming", "due", ".", "Likewise", ",", "if", "such", "inspection", "establishes", "that", "Tenant", "underpaid", "Excess", "Basic", "Costs", ",", "Tenant", "shall", "pay", "such", "deficiency", "to", "Landlord", "within", "thirty", "(", "30", ")", "days", "after", "receipt", "of", "the", "results", "of", "the", "inspection", ".", "Any", "such", "inspection", "by", "Tenant", "shall", "be", "at", "Tenants", "sole", "cost", "and", "expense", ";", "provided", ",", "however", ",", "if", "any", "such", "inspection", "discloses", "that", "Landlord", "charged", "Tenant", "in", "excess", "of", "five", "percent", "(", "5", "%", ")", "more", "than", "properly", "chargeable", "to", "Tenant", ",", "then", "Landlord", ",", "within", "thirty", "(", "30", ")", "days", "after", "its", "receipt", "of", "paid", "invoices", "therefor", "from", "Tenant", ",", "shall", "reimburse", "Tenant", "for", "the", "reasonable", "amounts", "paid", "by", "Tenant", "to", "third", "parties", "in", "connection", "with", "such", "inspection", "by", "Tenant", ",", "not", "to", "exceed", "$", "5", ",", "000", ".", "00", ".", "In", "no", "event", "shall", "Tenant", "be", "permitted", "to", "examine", "Landlords", "records", "or", "to", "dispute", "any", "Statement", "of", "Excess", "Basic", "Costs", "unless", "Tenant", "has", "paid", "and", "continues", "to", "pay", "all", "rent", "when", "due", ";", "provided", ",", "however", ",", "that", "the", "foregoing", "shall", "not", "be", "construed", "to", "bar", "such", "examination", "if", "Tenants", "discontinuation", "in", "the", "payment", "of", "rent", "is", "based", "upon", "Tenants", "exercise", "of", "a", "right", "of", "offset", "expressly", "granted", "to", "Tenant", "in", "this", "Lease", ".", "-", "-", "-", "|"]}
{"id": "13867", "text": "16. Notice to Vacate; Holding Over.If after expiration of the Lease Term or earlier termination of this Lease, Tenant holds over without the prior written consent of Landlord, such continued occupancy by Tenant shall be deemed a tenancy-at-sufferance, and Tenant shall, throughout the entire holdover period, pay Base Rental in an amount equal to one hundred fifty percent (150%) of the Base Rental payable during the last month of the Lease Term, plus all other amounts that would otherwise have been payable hereunder as rent had the Lease Term continued through the period of such holding over by Tenant; provided, however, that (i) the continued occupancy by Tenant during the first three (3) months of any such holdover shall be deemed a month-to-month tenancy in an amount equal to one hundred twenty-five percent (12 5% ) of the Base Rental payable during the last month of the Lease Term, and (ii) Landlords acceptance of any holdover rent payment after such initial three (3) month period shall not constitute nor imply any consent by Landlord to any such holding over by Tenant beyond such period.Notwithstanding the reference herein to a month-to-month tenancy, Landlord shall not in any event be required to provide Tenant with any form of termination notice or notice to vacate; no holding over by Tenant after the expiration of the Lease Term, for such initial three-month period or otherwise, shall be construed to extend the Lease Term; and in the event of any unauthorized holding over beyond such initial three (3) month period, and provided that Landlord has leased all or part of the Premises and provides Tenant with written notice thereof giving Tenant at least three months to vacate prior to incurring any liability, Tenant shall indemnify, defend and hold Landlord harmless from and against all damages resulting from any such holdover (Landlord waiving, however, any right to recover consequential damages which may accrue during the first three (3) months of any such holdover period). ---|--- |", "ner": [[14, 15, "RenewalTerm"], [68, 69, "Percentage"], [128, 133, "TerminationDate"], [149, 152, "Percentage"], [154, 156, "Percentage"]], "tokenized_text": ["16", ".", "Notice", "to", "Vacate", ";", "Holding", "Over", ".", "If", "after", "expiration", "of", "the", "Lease", "Term", "or", "earlier", "termination", "of", "this", "Lease", ",", "Tenant", "holds", "over", "without", "the", "prior", "written", "consent", "of", "Landlord", ",", "such", "continued", "occupancy", "by", "Tenant", "shall", "be", "deemed", "a", "tenancy-at-sufferance", ",", "and", "Tenant", "shall", ",", "throughout", "the", "entire", "holdover", "period", ",", "pay", "Base", "Rental", "in", "an", "amount", "equal", "to", "one", "hundred", "fifty", "percent", "(", "150", "%", ")", "of", "the", "Base", "Rental", "payable", "during", "the", "last", "month", "of", "the", "Lease", "Term", ",", "plus", "all", "other", "amounts", "that", "would", "otherwise", "have", "been", "payable", "hereunder", "as", "rent", "had", "the", "Lease", "Term", "continued", "through", "the", "period", "of", "such", "holding", "over", "by", "Tenant", ";", "provided", ",", "however", ",", "that", "(", "i", ")", "the", "continued", "occupancy", "by", "Tenant", "during", "the", "first", "three", "(", "3", ")", "months", "of", "any", "such", "holdover", "shall", "be", "deemed", "a", "month-to-month", "tenancy", "in", "an", "amount", "equal", "to", "one", "hundred", "twenty-five", "percent", "(", "12", "5", "%", ")", "of", "the", "Base", "Rental", "payable", "during", "the", "last", "month", "of", "the", "Lease", "Term", ",", "and", "(", "ii", ")", "Landlords", "acceptance", "of", "any", "holdover", "rent", "payment", "after", "such", "initial", "three", "(", "3", ")", "month", "period", "shall", "not", "constitute", "nor", "imply", "any", "consent", "by", "Landlord", "to", "any", "such", "holding", "over", "by", "Tenant", "beyond", "such", "period", ".", "Notwithstanding", "the", "reference", "herein", "to", "a", "month-to-month", "tenancy", ",", "Landlord", "shall", "not", "in", "any", "event", "be", "required", "to", "provide", "Tenant", "with", "any", "form", "of", "termination", "notice", "or", "notice", "to", "vacate", ";", "no", "holding", "over", "by", "Tenant", "after", "the", "expiration", "of", "the", "Lease", "Term", ",", "for", "such", "initial", "three-month", "period", "or", "otherwise", ",", "shall", "be", "construed", "to", "extend", "the", "Lease", "Term", ";", "and", "in", "the", "event", "of", "any", "unauthorized", "holding", "over", "beyond", "such", "initial", "three", "(", "3", ")", "month", "period", ",", "and", "provided", "that", "Landlord", "has", "leased", "all", "or", "part", "of", "the", "Premises", "and", "provides", "Tenant", "with", "written", "notice", "thereof", "giving", "Tenant", "at", "least", "three", "months", "to", "vacate", "prior", "to", "incurring", "any", "liability", ",", "Tenant", "shall", "indemnify", ",", "defend", "and", "hold", "Landlord", "harmless", "from", "and", "against", "all", "damages", "resulting", "from", "any", "such", "holdover", "(", "Landlord", "waiving", ",", "however", ",", "any", "right", "to", "recover", "consequential", "damages", "which", "may", "accrue", "during", "the", "first", "three", "(", "3", ")", "months", "of", "any", "such", "holdover", "period", ")", ".", "-", "-", "-", "|", "-", "-", "-", "|"]}
{"id": "13870", "text": "40. Notice.Any notice , communication, request, reply or advice (hereinafter collectively called notice) provided for in this Lease must be in writing, and shall, unless otherwise expressly provided in this Lease, be given or be served by depositing the same in the United States mail, postpaid and certified and addressed to the party to be notified, with return receipt requested, or by delivering the same in person to an officer of such party, or by consigning the same to a recognized overnight delivery service operating on a nationwide basis, addressed to the party to be notified.Notice deposited in the mail in the manner hereinabove described shall be effective, unless otherwise stated in this Lease, three (3) days after it is so deposited.Notice given in any other manner shall be effective upon delivery.The addresses for the delivery of any notices hereunder shall, until changed as herein provided, be those specified below.A party hereto may change its address by at least fifteen (15) days written notice to the other party delivered in compliance with this paragraph; provided, however, that no such notice shall be effective until actually received by the other party. ---|--- TENANT NOTICE ADDRESS: Before Commencement Date:", "ner": [], "tokenized_text": ["40", ".", "Notice", ".", "Any", "notice", ",", "communication", ",", "request", ",", "reply", "or", "advice", "(", "hereinafter", "collectively", "called", "notice", ")", "provided", "for", "in", "this", "Lease", "must", "be", "in", "writing", ",", "and", "shall", ",", "unless", "otherwise", "expressly", "provided", "in", "this", "Lease", ",", "be", "given", "or", "be", "served", "by", "depositing", "the", "same", "in", "the", "United", "States", "mail", ",", "postpaid", "and", "certified", "and", "addressed", "to", "the", "party", "to", "be", "notified", ",", "with", "return", "receipt", "requested", ",", "or", "by", "delivering", "the", "same", "in", "person", "to", "an", "officer", "of", "such", "party", ",", "or", "by", "consigning", "the", "same", "to", "a", "recognized", "overnight", "delivery", "service", "operating", "on", "a", "nationwide", "basis", ",", "addressed", "to", "the", "party", "to", "be", "notified", ".", "Notice", "deposited", "in", "the", "mail", "in", "the", "manner", "hereinabove", "described", "shall", "be", "effective", ",", "unless", "otherwise", "stated", "in", "this", "Lease", ",", "three", "(", "3", ")", "days", "after", "it", "is", "so", "deposited", ".", "Notice", "given", "in", "any", "other", "manner", "shall", "be", "effective", "upon", "delivery", ".", "The", "addresses", "for", "the", "delivery", "of", "any", "notices", "hereunder", "shall", ",", "until", "changed", "as", "herein", "provided", ",", "be", "those", "specified", "below", ".", "A", "party", "hereto", "may", "change", "its", "address", "by", "at", "least", "fifteen", "(", "15", ")", "days", "written", "notice", "to", "the", "other", "party", "delivered", "in", "compliance", "with", "this", "paragraph", ";", "provided", ",", "however", ",", "that", "no", "such", "notice", "shall", "be", "effective", "until", "actually", "received", "by", "the", "other", "party", ".", "-", "-", "-", "|", "-", "-", "-", "TENANT", "NOTICE", "ADDRESS", ":", "Before", "Commencement", "Date", ":"]}
{"id": "13872", "text": "with copy to: Dallas Morning News, Inc. 508 Young Street Dallas, Texas 75202 Attn: General Counsel", "ner": [[10, 16, "Address"], [19, 20, "Role"]], "tokenized_text": ["with", "copy", "to", ":", "Dallas", "Morning", "News", ",", "Inc", ".", "508", "Young", "Street", "Dallas", ",", "Texas", "75202", "Attn", ":", "General", "Counsel"]}
{"id": "13874", "text": "with copy to: Dallas Morning News, Inc. 1954 Commerce Street Dallas, Texas 75201 Attn: General Counsel", "ner": [[10, 16, "Address"], [19, 20, "Role"]], "tokenized_text": ["with", "copy", "to", ":", "Dallas", "Morning", "News", ",", "Inc", ".", "1954", "Commerce", "Street", "Dallas", ",", "Texas", "75201", "Attn", ":", "General", "Counsel"]}
{"id": "13875", "text": "1914 Commerce Leasing, LLC", "ner": [], "tokenized_text": ["1914", "Commerce", "Leasing", ",", "LLC"]}
{"id": "13878", "text": "53. Brokers.Upon the full execution of this Lease by the parties, Landlord shall pay to Tenants Broker a commission pursuant to the terms of a separate written agreement.Each party (the Representing Party) represents and warrants to the other that the Representing Party has had no dealing with any broker other than Tenants Broker (and Peloton Commercial Real Estate , on behalf of Landlord) in connection with the negotiation or execution of this Lease, and the Representing Party agrees to indemnify the other party, and hold the other party harmless, from any and all costs, expenses or liability for commissions or other compensation claimed by any other broker or agent claiming by, through or under the Representing Party, with respect to this Lease. ---|--- |", "ner": [[19, 20, "Parties"], [63, 66, "Parties"]], "tokenized_text": ["53", ".", "Brokers", ".", "Upon", "the", "full", "execution", "of", "this", "Lease", "by", "the", "parties", ",", "Landlord", "shall", "pay", "to", "Tenants", "Broker", "a", "commission", "pursuant", "to", "the", "terms", "of", "a", "separate", "written", "agreement", ".", "Each", "party", "(", "the", "Representing", "Party", ")", "represents", "and", "warrants", "to", "the", "other", "that", "the", "Representing", "Party", "has", "had", "no", "dealing", "with", "any", "broker", "other", "than", "Tenants", "Broker", "(", "and", "Peloton", "Commercial", "Real", "Estate", ",", "on", "behalf", "of", "Landlord", ")", "in", "connection", "with", "the", "negotiation", "or", "execution", "of", "this", "Lease", ",", "and", "the", "Representing", "Party", "agrees", "to", "indemnify", "the", "other", "party", ",", "and", "hold", "the", "other", "party", "harmless", ",", "from", "any", "and", "all", "costs", ",", "expenses", "or", "liability", "for", "commissions", "or", "other", "compensation", "claimed", "by", "any", "other", "broker", "or", "agent", "claiming", "by", ",", "through", "or", "under", "the", "Representing", "Party", ",", "with", "respect", "to", "this", "Lease", ".", "-", "-", "-", "|", "-", "-", "-", "|"]}
{"id": "13881", "text": "61. Waiver of Jury Trial. LANDLORD AND TENANT HEREBY KNOWINGLY, VOLUNTARILY AND INTENTIONALLY WAIVE THE RIGHT TO A TRIAL BY JURY IN RESPECT OF ANY LITIGATION BASED HEREON, ARISING OUT OF, UNDER OR IN CONNECTION WITH THIS LEASE OR ANY DOCUMENTS CONTEMPLATED TO BE EXECUTED IN CONNECTION HEREWITH OR ANY COURSE OF CONDUCT, COURSE OF DEALINGS, STATEMENTS (WHETHER ORAL OR WRITTEN) OR ACTIONS OF EITHER PARTY ARISING OUT OF OR RELATED IN ANY MANNER WITH THE PREMISES (INCLUDING WITHOUT LIMITATION, ANY ACTION TO RESCIND OR CANCEL THIS LEASE OR ANY CLAIMS OR DEFENSES ASSERTING THAT THIS LEASE WAS FRAUDULENTLY INDUCED OR IS OTHERWISE VOID OR VOIDABLE).THIS WAIVER IS A MATERIAL INDUCEMENT FOR LANDLORD AND TENANT TO ENTER AND ACCEPT THIS LEASE. ---|--- |", "ner": [], "tokenized_text": ["61", ".", "Waiver", "of", "Jury", "Trial", ".", "LANDLORD", "AND", "TENANT", "HEREBY", "KNOWINGLY", ",", "VOLUNTARILY", "AND", "INTENTIONALLY", "WAIVE", "THE", "RIGHT", "TO", "A", "TRIAL", "BY", "JURY", "IN", "RESPECT", "OF", "ANY", "LITIGATION", "BASED", "HEREON", ",", "ARISING", "OUT", "OF", ",", "UNDER", "OR", "IN", "CONNECTION", "WITH", "THIS", "LEASE", "OR", "ANY", "DOCUMENTS", "CONTEMPLATED", "TO", "BE", "EXECUTED", "IN", "CONNECTION", "HEREWITH", "OR", "ANY", "COURSE", "OF", "CONDUCT", ",", "COURSE", "OF", "DEALINGS", ",", "STATEMENTS", "(", "WHETHER", "ORAL", "OR", "WRITTEN", ")", "OR", "ACTIONS", "OF", "EITHER", "PARTY", "ARISING", "OUT", "OF", "OR", "RELATED", "IN", "ANY", "MANNER", "WITH", "THE", "PREMISES", "(", "INCLUDING", "WITHOUT", "LIMITATION", ",", "ANY", "ACTION", "TO", "RESCIND", "OR", "CANCEL", "THIS", "LEASE", "OR", "ANY", "CLAIMS", "OR", "DEFENSES", "ASSERTING", "THAT", "THIS", "LEASE", "WAS", "FRAUDULENTLY", "INDUCED", "OR", "IS", "OTHERWISE", "VOID", "OR", "VOIDABLE", ")", ".", "THIS", "WAIVER", "IS", "A", "MATERIAL", "INDUCEMENT", "FOR", "LANDLORD", "AND", "TENANT", "TO", "ENTER", "AND", "ACCEPT", "THIS", "LEASE", ".", "-", "-", "-", "|", "-", "-", "-", "|"]}
{"id": "13883", "text": "1914 COMMERCE LEASING LLC , &lt; <sup> br/&gt;", "ner": [], "tokenized_text": ["1914", "COMMERCE", "LEASING", "LLC", ",", "&", "lt", ";", "<", "sup", ">", "br", "/", "&", "gt", ";"]}
{"id": "13886", "text": "SUBLEASE AGREEMENT (TX)Signature Page", "ner": [[0, 1, "Title"]], "tokenized_text": ["SUBLEASE", "AGREEMENT", "(", "TX", ")", "Signature", "Page"]}
{"id": "13887", "text": "495 Java Drive Associates, L.P.", "ner": [], "tokenized_text": ["495", "Java", "Drive", "Associates", ",", "L", ".", "P", "."]}
{"id": "13888", "text": "Dated as of April 18, 2013", "ner": [[3, 6, "EffectiveDate"]], "tokenized_text": ["Dated", "as", "of", "April", "18", ",", "2013"]}
{"id": "13892", "text": "Prior to the Commencement Date: 433 California Street, Suite 1100 San Francisco, CA 94104 Attention: Jim Frankola", "ner": [[6, 16, "Address"], [19, 20, "PII_Ref"]], "tokenized_text": ["Prior", "to", "the", "Commencement", "Date", ":", "433", "California", "Street", ",", "Suite", "1100", "San", "Francisco", ",", "CA", "94104", "Attention", ":", "Jim", "Frankola"]}
{"id": "13893", "text": "Two (2) separate buildings (each, a Building and collectively, the Buildings), having addresses of 1001 Page Mill Road, Building #2 (Building 2) and Building #3 (Building 3), in Palo Alto, California, as identified on the Site Plan attached hereto as Exhibit A. | ---|--- Project:", "ner": [[21, 24, "Address"], [26, 28, "Address"], [34, 36, "Address"], [43, 46, "Address"]], "tokenized_text": ["Two", "(", "2", ")", "separate", "buildings", "(", "each", ",", "a", "Building", "and", "collectively", ",", "the", "Buildings", ")", ",", "having", "addresses", "of", "1001", "Page", "Mill", "Road", ",", "Building", "#", "2", "(", "Building", "2", ")", "and", "Building", "#", "3", "(", "Building", "3", ")", ",", "in", "Palo", "Alto", ",", "California", ",", "as", "identified", "on", "the", "Site", "Plan", "attached", "hereto", "as", "Exhibit", "A", ".", "|", "-", "-", "-", "|", "-", "-", "-", "Project", ":"]}
{"id": "13897", "text": "2. OCCUPANCY AND USE. Tenant may use and occupy the Premises for the Permitted Uses specified in the Basic Lease Information and for no other use or purpose without the prior written consent of Landlord. Landlord shall have the right to grant or withhold consent to a proposed change of use in its sole discretion. Tenant shall be entitled to the use on a nonexclusive basis of the Common Area with other occupants of the Project for so long as Landlord continues to own the Project in accordance with the Rules and Regulations established by Landlord from time to time; provided, however, that if Landlord reconfigures the Project or sells a portion of the Project, Landlord shall assure to Tenant that Tenant shall continue to have reasonable access to the Premises and the Minimum Parking as specified in Paragraph 33 through a reciprocal easement agreement or other like mechanism. Notwithstanding the above, Tenant understands and agrees that (a) that certain Restated and Amended Lease dated March 30, 1999 by and between The Board of Trustees of the Leland Stanford Junior University, as lessor (Ground Lessor), and Varian Associates, Inc., a Delaware corporation (Varian), as lessee, the interest of Varian having been assigned to Landlord under that certain Assignment and Assumption of Lessees Interest in Lease dated March 30, 1999, a Memorandum of which was recorded on March 30, 1999 as instrument no. 14729321 in the Office of the County Recorder of Santa Clara County, California (the Ground Lease), and (b) certain other easements, covenants, conditions, restrictions, and access agreements recorded in the official records of Santa Clara County (collectively, including the Ground Lease, the Encumbrances) encumber the Land and Project, and that Tenants occupancy and use of the Premises and use of the Common Area may be restricted by such Encumbrances. If necessary, Tenant shall execute such documents as are reasonably necessary to cause this Lease to become subordinate to such encumbrances, subject to customary non-disturbance provisions to the extent provided for, and obtainable by Tenant, under the express terms of the applicable Encumbrance (other than the Ground Lease).", "ner": [[150, 152, "Title"], [172, 175, "Title"], [177, 180, "EffectiveDate"], [203, 207, "Parties"], [260, 260, "PII_Ref"], [269, 273, "Court"], [276, 277, "Title"]], "tokenized_text": ["2", ".", "OCCUPANCY", "AND", "USE", ".", "Tenant", "may", "use", "and", "occupy", "the", "Premises", "for", "the", "Permitted", "Uses", "specified", "in", "the", "Basic", "Lease", "Information", "and", "for", "no", "other", "use", "or", "purpose", "without", "the", "prior", "written", "consent", "of", "Landlord", ".", "Landlord", "shall", "have", "the", "right", "to", "grant", "or", "withhold", "consent", "to", "a", "proposed", "change", "of", "use", "in", "its", "sole", "discretion", ".", "Tenant", "shall", "be", "entitled", "to", "the", "use", "on", "a", "nonexclusive", "basis", "of", "the", "Common", "Area", "with", "other", "occupants", "of", "the", "Project", "for", "so", "long", "as", "Landlord", "continues", "to", "own", "the", "Project", "in", "accordance", "with", "the", "Rules", "and", "Regulations", "established", "by", "Landlord", "from", "time", "to", "time", ";", "provided", ",", "however", ",", "that", "if", "Landlord", "reconfigures", "the", "Project", "or", "sells", "a", "portion", "of", "the", "Project", ",", "Landlord", "shall", "assure", "to", "Tenant", "that", "Tenant", "shall", "continue", "to", "have", "reasonable", "access", "to", "the", "Premises", "and", "the", "Minimum", "Parking", "as", "specified", "in", "Paragraph", "33", "through", "a", "reciprocal", "easement", "agreement", "or", "other", "like", "mechanism", ".", "Notwithstanding", "the", "above", ",", "Tenant", "understands", "and", "agrees", "that", "(", "a", ")", "that", "certain", "Restated", "and", "Amended", "Lease", "dated", "March", "30", ",", "1999", "by", "and", "between", "The", "Board", "of", "Trustees", "of", "the", "Leland", "Stanford", "Junior", "University", ",", "as", "lessor", "(", "Ground", "Lessor", ")", ",", "and", "Varian", "Associates", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "Varian", ")", ",", "as", "lessee", ",", "the", "interest", "of", "Varian", "having", "been", "assigned", "to", "Landlord", "under", "that", "certain", "Assignment", "and", "Assumption", "of", "Lessees", "Interest", "in", "Lease", "dated", "March", "30", ",", "1999", ",", "a", "Memorandum", "of", "which", "was", "recorded", "on", "March", "30", ",", "1999", "as", "instrument", "no", ".", "14729321", "in", "the", "Office", "of", "the", "County", "Recorder", "of", "Santa", "Clara", "County", ",", "California", "(", "the", "Ground", "Lease", ")", ",", "and", "(", "b", ")", "certain", "other", "easements", ",", "covenants", ",", "conditions", ",", "restrictions", ",", "and", "access", "agreements", "recorded", "in", "the", "official", "records", "of", "Santa", "Clara", "County", "(", "collectively", ",", "including", "the", "Ground", "Lease", ",", "the", "Encumbrances", ")", "encumber", "the", "Land", "and", "Project", ",", "and", "that", "Tenants", "occupancy", "and", "use", "of", "the", "Premises", "and", "use", "of", "the", "Common", "Area", "may", "be", "restricted", "by", "such", "Encumbrances", ".", "If", "necessary", ",", "Tenant", "shall", "execute", "such", "documents", "as", "are", "reasonably", "necessary", "to", "cause", "this", "Lease", "to", "become", "subordinate", "to", "such", "encumbrances", ",", "subject", "to", "customary", "non-disturbance", "provisions", "to", "the", "extent", "provided", "for", ",", "and", "obtainable", "by", "Tenant", ",", "under", "the", "express", "terms", "of", "the", "applicable", "Encumbrance", "(", "other", "than", "the", "Ground", "Lease", ")", "."]}
{"id": "13899", "text": "Compliance with Laws. All of the Tenant Improvements shall be installed in compliance with all applicable Laws, including, without limitation, and as applicable, the Americans with Disabilities Act ; provided, however, that Landlord shall be responsible for correcting any condition with respect to the exterior of the Buildings and Common Area (including ingress and egress to the Buildings) that is in violation of applicable Laws as of the date of this Lease unless the requirement that such condition be corrected is triggered by (a) the installation, use or operation of the Tenant Improvements or any of Tenants Trade Fixtures or personal property; (b) the acts or omissions of any of the Tenant Parties; or (c) the particular use or particular occupancy or manner of use or occupancy of the Premises by the Tenant Parties (not applicable to office space in general) or by the cumulative effect of (a), (b) and/or (c) collectively. All costs of such compliance (other than Landlords express obligations in the preceding sentence) shall be paid for by Tenant (subject to Paragraph 9(b)). Landlords review and approval of Tenants Plans shall not imply Landlords review of the quality, design, code compliance or similar matters with respect to the Tenant Improvements; accordingly, notwithstanding that Tenants Plans are reviewed by Landlord or its agent and notwithstanding any advice or assistance that may be rendered to Tenant by Landlord or Landlords agents, Landlord shall have no liability whatsoever in connection therewith and shall not be responsible for any omissions or errors contained in Tenants Plans. | ---|--- 7.", "ner": [[29, 32, "Act"], [207, 211, "Regulation"], [219, 220, "Title"]], "tokenized_text": ["Compliance", "with", "Laws", ".", "All", "of", "the", "Tenant", "Improvements", "shall", "be", "installed", "in", "compliance", "with", "all", "applicable", "Laws", ",", "including", ",", "without", "limitation", ",", "and", "as", "applicable", ",", "the", "Americans", "with", "Disabilities", "Act", ";", "provided", ",", "however", ",", "that", "Landlord", "shall", "be", "responsible", "for", "correcting", "any", "condition", "with", "respect", "to", "the", "exterior", "of", "the", "Buildings", "and", "Common", "Area", "(", "including", "ingress", "and", "egress", "to", "the", "Buildings", ")", "that", "is", "in", "violation", "of", "applicable", "Laws", "as", "of", "the", "date", "of", "this", "Lease", "unless", "the", "requirement", "that", "such", "condition", "be", "corrected", "is", "triggered", "by", "(", "a", ")", "the", "installation", ",", "use", "or", "operation", "of", "the", "Tenant", "Improvements", "or", "any", "of", "Tenants", "Trade", "Fixtures", "or", "personal", "property", ";", "(", "b", ")", "the", "acts", "or", "omissions", "of", "any", "of", "the", "Tenant", "Parties", ";", "or", "(", "c", ")", "the", "particular", "use", "or", "particular", "occupancy", "or", "manner", "of", "use", "or", "occupancy", "of", "the", "Premises", "by", "the", "Tenant", "Parties", "(", "not", "applicable", "to", "office", "space", "in", "general", ")", "or", "by", "the", "cumulative", "effect", "of", "(", "a", ")", ",", "(", "b", ")", "and", "/", "or", "(", "c", ")", "collectively", ".", "All", "costs", "of", "such", "compliance", "(", "other", "than", "Landlords", "express", "obligations", "in", "the", "preceding", "sentence", ")", "shall", "be", "paid", "for", "by", "Tenant", "(", "subject", "to", "Paragraph", "9", "(", "b", ")", ")", ".", "Landlords", "review", "and", "approval", "of", "Tenants", "Plans", "shall", "not", "imply", "Landlords", "review", "of", "the", "quality", ",", "design", ",", "code", "compliance", "or", "similar", "matters", "with", "respect", "to", "the", "Tenant", "Improvements", ";", "accordingly", ",", "notwithstanding", "that", "Tenants", "Plans", "are", "reviewed", "by", "Landlord", "or", "its", "agent", "and", "notwithstanding", "any", "advice", "or", "assistance", "that", "may", "be", "rendered", "to", "Tenant", "by", "Landlord", "or", "Landlords", "agents", ",", "Landlord", "shall", "have", "no", "liability", "whatsoever", "in", "connection", "therewith", "and", "shall", "not", "be", "responsible", "for", "any", "omissions", "or", "errors", "contained", "in", "Tenants", "Plans", ".", "|", "-", "-", "-", "|", "-", "-", "-", "7", "."]}
{"id": "13900", "text": "Confirmation of Building Commencement Date under the Lease Agreement by and between 495 Java Drive Associates, LP and Cloudera , Inc., dated as of , 2013 (the Lease) Dear Sirs:", "ner": [[7, 8, "Title"], [12, 17, "Parties"], [19, 22, "Parties"]], "tokenized_text": ["Confirmation", "of", "Building", "Commencement", "Date", "under", "the", "Lease", "Agreement", "by", "and", "between", "495", "Java", "Drive", "Associates", ",", "LP", "and", "Cloudera", ",", "Inc", ".", ",", "dated", "as", "of", ",", "2013", "(", "the", "Lease", ")", "Dear", "Sirs", ":"]}
{"id": "13904", "text": "THIS SUBLEASE AGREEMENT (Sublease) is entered into effective February, 2014 (the Effective Date) by and between StumbleUpon, Inc. a Delaware corporation (Sublessor) and Okta, Inc. , a Delaware corporation (Sublessee), and is made with respect to the following facts and circumstances.", "ner": [[1, 2, "Title"], [10, 12, "EffectiveDate"], [21, 24, "Parties"], [32, 35, "Parties"]], "tokenized_text": ["THIS", "SUBLEASE", "AGREEMENT", "(", "Sublease", ")", "is", "entered", "into", "effective", "February", ",", "2014", "(", "the", "Effective", "Date", ")", "by", "and", "between", "StumbleUpon", ",", "Inc", ".", "a", "Delaware", "corporation", "(", "Sublessor", ")", "and", "Okta", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "Sublessee", ")", ",", "and", "is", "made", "with", "respect", "to", "the", "following", "facts", "and", "circumstances", "."]}
{"id": "13905", "text": "A. Kilroy Realty, L.P. , a Delaware limited partnership (Landlord) is the owner of that certain office building commonly known as 301 Brannan Street, San Francisco, California (the Building). As of the Sublease Commencement Date (as defined in Section3 below), Sublessor will be leasing directly from Landlord the 2nd, 3rd, 4th, 5th and 6th floors of the Building (collectively, the Master Premises) pursuant to that certain Office Lease dated December15, 2011 (the Master Lease). A true and correct copy of the Master Lease is attached hereto as Exhibit A.", "ner": [[0, 8, "Parties"], [28, 35, "Address"], [87, 88, "Title"], [90, 92, "EffectiveDate"], [95, 96, "Title"]], "tokenized_text": ["A", ".", "Kilroy", "Realty", ",", "L", ".", "P", ".", ",", "a", "Delaware", "limited", "partnership", "(", "Landlord", ")", "is", "the", "owner", "of", "that", "certain", "office", "building", "commonly", "known", "as", "301", "Brannan", "Street", ",", "San", "Francisco", ",", "California", "(", "the", "Building", ")", ".", "As", "of", "the", "Sublease", "Commencement", "Date", "(", "as", "defined", "in", "Section3", "below", ")", ",", "Sublessor", "will", "be", "leasing", "directly", "from", "Landlord", "the", "2nd", ",", "3rd", ",", "4th", ",", "5th", "and", "6th", "floors", "of", "the", "Building", "(", "collectively", ",", "the", "Master", "Premises", ")", "pursuant", "to", "that", "certain", "Office", "Lease", "dated", "December15", ",", "2011", "(", "the", "Master", "Lease", ")", ".", "A", "true", "and", "correct", "copy", "of", "the", "Master", "Lease", "is", "attached", "hereto", "as", "Exhibit", "A", "."]}
{"id": "13906", "text": "B. Sublessee is in possession of 37,815 rentable square feet located on the 3rd, 4th, and 5th floors of the Building (collectively, the Subleased Premises) pursuant to an existing sublease and an existing sub-sublease, and certain amendments thereto, all of which existing agreements (the Existing Agreements) expire on June30, 2014 .", "ner": [[7, 9, "Rent"], [16, 22, "Address"], [51, 52, "Title"], [55, 56, "Title"], [60, 62, "TerminationDate"]], "tokenized_text": ["B", ".", "Sublessee", "is", "in", "possession", "of", "37", ",", "815", "rentable", "square", "feet", "located", "on", "the", "3rd", ",", "4th", ",", "and", "5th", "floors", "of", "the", "Building", "(", "collectively", ",", "the", "Subleased", "Premises", ")", "pursuant", "to", "an", "existing", "sublease", "and", "an", "existing", "sub-sublease", ",", "and", "certain", "amendments", "thereto", ",", "all", "of", "which", "existing", "agreements", "(", "the", "Existing", "Agreements", ")", "expire", "on", "June30", ",", "2014", "."]}
{"id": "13907", "text": "thereof and, in any event, reimburse Sublessee for its amount of overpayment within thirty (30)days after receipt thereof by Sublessor. Sublessees Share shall be 60.17% of Tenants Share of all Additional Rent payable by Sublessor under the Master Lease. Sublessees Share is determined by dividing the rentable square footage of the Subleased Premises (i.e., 37,815 rentable square feet) by the rentable square footage of the Master Premises (i.e., 62,852 rentable square feet).", "ner": [[30, 33, "Percentage"], [69, 71, "Rent"], [91, 93, "Rent"]], "tokenized_text": ["thereof", "and", ",", "in", "any", "event", ",", "reimburse", "Sublessee", "for", "its", "amount", "of", "overpayment", "within", "thirty", "(", "30", ")", "days", "after", "receipt", "thereof", "by", "Sublessor", ".", "Sublessees", "Share", "shall", "be", "60", ".", "17", "%", "of", "Tenants", "Share", "of", "all", "Additional", "Rent", "payable", "by", "Sublessor", "under", "the", "Master", "Lease", ".", "Sublessees", "Share", "is", "determined", "by", "dividing", "the", "rentable", "square", "footage", "of", "the", "Subleased", "Premises", "(", "i", ".", "e", ".", ",", "37", ",", "815", "rentable", "square", "feet", ")", "by", "the", "rentable", "square", "footage", "of", "the", "Master", "Premises", "(", "i", ".", "e", ".", ",", "62", ",", "852", "rentable", "square", "feet", ")", "."]}
{"id": "13908", "text": "5\\. Sublessee shall, in lieu of a security deposit, deliver to Sublessor a letter of credit from Silicon Valley Bank substantially in the form attached hereto as Exhibit B (or otherwise in a commercially reasonable form) in the amount of $688,106.92. Sublessee shall deliver the letter of credit to Sublessor not later than the Sublease Commencement Date. Sublessor shall not be obligated to return the letter of credit until (and it shall not expire before) such time as Sublessor has confirmed after expiration of the Term that Sublessee has paid all rent, utility charges, Pass Through Costs and Additional Rent and other expenses of the Subleased Premises which are Sublessees responsibility hereunder and has returned the Subleased Premises to Sublessor in good condition and repair, excepting only normal wear and tear, casualty damage and repairs which are not the obligation of Sublessee under this Sublease but in no event later than thirty (30)days after the expiration date of this Sublease. Sublessor shall have the right to draw against the letter of credit any amount reasonably required to cure any default, beyond applicable notice and cure periods, by Sublessee under this Sublease, including to restore the Subleased Premises to such required condition at the end of the Term in the event Sublessee fails to do so. Sublessee shall pay all expenses, points and/or fees incurred by Sublessee in obtaining the letter of credit and any renewal, extension or replacement thereof. If, (i)(A) Sublessor receives notice from the issuing bank of its intention not to renew the letter of credit and (B)Sublessee fails to deliver a replacement letter of credit at least five (5)business days prior to the expiration of the then existing letter of credit or (ii)Sublessee fails to deliver a renewal or replacement letter of credit (it being agreed that any replacement letter of credit shall satisfy the requirements of this Section5) at least five (5)business days prior to the expiration of the then existing letter of credit, then Sublessor shall be entitled to draw the full face amount of the letter of credit and retain such amount as an additional security deposit hereunder in lieu of the letter of credit. If Sublessor draws upon any part of the letter of credit and/or applies or retains any portion or all of the amount received from such draw, Sublessee, within three (3)business days after receipt of written demand, shall restore the face amount of the letter of credit or deposit with Landlord cash equal to the amount so applied or retained. For the purposes of the definition of default under this Section5, the terms of the Master Lease are hereby incorporated herein as applicable between Sublessor and Sublessee. The letter of credit shall be reduced (through a replacement letter of credit) by $ 172,026.73 following the eighteenth (18 ) month of the Term, and by an", "ner": [[46, 51, "Rent"], [528, 533, "Principal"]], "tokenized_text": ["5", "\\", ".", "Sublessee", "shall", ",", "in", "lieu", "of", "a", "security", "deposit", ",", "deliver", "to", "Sublessor", "a", "letter", "of", "credit", "from", "Silicon", "Valley", "Bank", "substantially", "in", "the", "form", "attached", "hereto", "as", "Exhibit", "B", "(", "or", "otherwise", "in", "a", "commercially", "reasonable", "form", ")", "in", "the", "amount", "of", "$", "688", ",", "106", ".", "92", ".", "Sublessee", "shall", "deliver", "the", "letter", "of", "credit", "to", "Sublessor", "not", "later", "than", "the", "Sublease", "Commencement", "Date", ".", "Sublessor", "shall", "not", "be", "obligated", "to", "return", "the", "letter", "of", "credit", "until", "(", "and", "it", "shall", "not", "expire", "before", ")", "such", "time", "as", "Sublessor", "has", "confirmed", "after", "expiration", "of", "the", "Term", "that", "Sublessee", "has", "paid", "all", "rent", ",", "utility", "charges", ",", "Pass", "Through", "Costs", "and", "Additional", "Rent", "and", "other", "expenses", "of", "the", "Subleased", "Premises", "which", "are", "Sublessees", "responsibility", "hereunder", "and", "has", "returned", "the", "Subleased", "Premises", "to", "Sublessor", "in", "good", "condition", "and", "repair", ",", "excepting", "only", "normal", "wear", "and", "tear", ",", "casualty", "damage", "and", "repairs", "which", "are", "not", "the", "obligation", "of", "Sublessee", "under", "this", "Sublease", "but", "in", "no", "event", "later", "than", "thirty", "(", "30", ")", "days", "after", "the", "expiration", "date", "of", "this", "Sublease", ".", "Sublessor", "shall", "have", "the", "right", "to", "draw", "against", "the", "letter", "of", "credit", "any", "amount", "reasonably", "required", "to", "cure", "any", "default", ",", "beyond", "applicable", "notice", "and", "cure", "periods", ",", "by", "Sublessee", "under", "this", "Sublease", ",", "including", "to", "restore", "the", "Subleased", "Premises", "to", "such", "required", "condition", "at", "the", "end", "of", "the", "Term", "in", "the", "event", "Sublessee", "fails", "to", "do", "so", ".", "Sublessee", "shall", "pay", "all", "expenses", ",", "points", "and", "/", "or", "fees", "incurred", "by", "Sublessee", "in", "obtaining", "the", "letter", "of", "credit", "and", "any", "renewal", ",", "extension", "or", "replacement", "thereof", ".", "If", ",", "(", "i", ")", "(", "A", ")", "Sublessor", "receives", "notice", "from", "the", "issuing", "bank", "of", "its", "intention", "not", "to", "renew", "the", "letter", "of", "credit", "and", "(", "B", ")", "Sublessee", "fails", "to", "deliver", "a", "replacement", "letter", "of", "credit", "at", "least", "five", "(", "5", ")", "business", "days", "prior", "to", "the", "expiration", "of", "the", "then", "existing", "letter", "of", "credit", "or", "(", "ii", ")", "Sublessee", "fails", "to", "deliver", "a", "renewal", "or", "replacement", "letter", "of", "credit", "(", "it", "being", "agreed", "that", "any", "replacement", "letter", "of", "credit", "shall", "satisfy", "the", "requirements", "of", "this", "Section5", ")", "at", "least", "five", "(", "5", ")", "business", "days", "prior", "to", "the", "expiration", "of", "the", "then", "existing", "letter", "of", "credit", ",", "then", "Sublessor", "shall", "be", "entitled", "to", "draw", "the", "full", "face", "amount", "of", "the", "letter", "of", "credit", "and", "retain", "such", "amount", "as", "an", "additional", "security", "deposit", "hereunder", "in", "lieu", "of", "the", "letter", "of", "credit", ".", "If", "Sublessor", "draws", "upon", "any", "part", "of", "the", "letter", "of", "credit", "and", "/", "or", "applies", "or", "retains", "any", "portion", "or", "all", "of", "the", "amount", "received", "from", "such", "draw", ",", "Sublessee", ",", "within", "three", "(", "3", ")", "business", "days", "after", "receipt", "of", "written", "demand", ",", "shall", "restore", "the", "face", "amount", "of", "the", "letter", "of", "credit", "or", "deposit", "with", "Landlord", "cash", "equal", "to", "the", "amount", "so", "applied", "or", "retained", ".", "For", "the", "purposes", "of", "the", "definition", "of", "default", "under", "this", "Section5", ",", "the", "terms", "of", "the", "Master", "Lease", "are", "hereby", "incorporated", "herein", "as", "applicable", "between", "Sublessor", "and", "Sublessee", ".", "The", "letter", "of", "credit", "shall", "be", "reduced", "(", "through", "a", "replacement", "letter", "of", "credit", ")", "by", "$", "172", ",", "026", ".", "73", "following", "the", "eighteenth", "(", "18", ")", "month", "of", "the", "Term", ",", "and", "by", "an"]}
{"id": "13912", "text": "301 Brannan Street, Suite 500", "ner": [[0, 5, "Address"]], "tokenized_text": ["301", "Brannan", "Street", ",", "Suite", "500"]}
{"id": "13913", "text": "One Bush Street, Suite 400", "ner": [[0, 5, "Address"]], "tokenized_text": ["One", "Bush", "Street", ",", "Suite", "400"]}
{"id": "13917", "text": "occurred (although the Initial Lease Commencement Date shall not actually occur until the occurrence of the same pursuant to the terms of Section3.2 of the Summary) upon such occupancy of the Initial Premises by Tenant. Tenant acknowledges that Tenant currently occupies the Must-Take Space pursuant to that certain Sublease dated as of December8, 2010, as amended by the certain First Amendment to Sublease dated as of June23, 2011 (together, the Sublease) by and between Slide, Inc., a Delaware corporation, as predecessor-in-interest to Google, Inc., a Delaware corporation (Sublandlord), as sublandlord, and Tenant, as subtenant. The term of the Sublease of the Must-Take Space is scheduled to expire on May31, 2014. The term of Sublandlords lease of the Must-Take Space is scheduled to expire on June30, 2014 , which is after the expiration of the Sublease but prior to the Must-Take Lease Commencement Date. Accordingly, Tenant hereby agrees that (i)Tenant shall be solely responsible for making arrangements with Sublandlord regarding Tenants continued occupancy of the Must-Take Space prior to the Must-Take Lease Commencement Date, and (ii)if Landlord does not tender possession of the Must-Take Space to Tenant on or before the Must-Take Lease Commencement Date or any other particular date, for any reason whatsoever (including, without limitation, if Sublandlord retakes possession of the Must-Take Space prior to the Must-Take Lease Commencement Date and thereafter holds over in the Must-Take Space), Landlord shall not be liable for any damage thereby, and this Lease shall not be void or voidable thereby, in which case Base Rent shall not commence to be payable with respect to the Must-Take Space until Landlord tenders possession of the Must-Take Space to Tenant. For purposes of this Lease, the term Lease Year shall mean each consecutive twelve (12)month period during the Lease Term; provided, however, that the first Lease Year shall commence on the Initial Lease Commencement Date and end on the last day of the month in which the first anniversary of the Initial Lease Commencement Date occurs and the second and each succeeding Lease Year shall commence on the first day of the next calendar month; and further provided that the last Lease Year shall end on the Lease Expiration Date. At any time during the Lease Term, Landlord may deliver to Tenant a notice in the form as set forth in Exhibit F, attached hereto, as a confirmation only of the information set forth therein, which Tenant shall execute and return to Landlord within five (5)days of receipt thereof.", "ner": [[53, 53, "Title"], [57, 59, "EffectiveDate"], [73, 75, "EffectiveDate"], [85, 88, "Parties"], [97, 100, "Parties"], [132, 134, "TerminationDate"], [150, 152, "TerminationDate"], [295, 296, "Rent"], [334, 338, "RenewalTerm"]], "tokenized_text": ["occurred", "(", "although", "the", "Initial", "Lease", "Commencement", "Date", "shall", "not", "actually", "occur", "until", "the", "occurrence", "of", "the", "same", "pursuant", "to", "the", "terms", "of", "Section3", ".", "2", "of", "the", "Summary", ")", "upon", "such", "occupancy", "of", "the", "Initial", "Premises", "by", "Tenant", ".", "Tenant", "acknowledges", "that", "Tenant", "currently", "occupies", "the", "Must-Take", "Space", "pursuant", "to", "that", "certain", "Sublease", "dated", "as", "of", "December8", ",", "2010", ",", "as", "amended", "by", "the", "certain", "First", "Amendment", "to", "Sublease", "dated", "as", "of", "June23", ",", "2011", "(", "together", ",", "the", "Sublease", ")", "by", "and", "between", "Slide", ",", "Inc", ".", ",", "a", "Delaware", "corporation", ",", "as", "predecessor-in-interest", "to", "Google", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "Sublandlord", ")", ",", "as", "sublandlord", ",", "and", "Tenant", ",", "as", "subtenant", ".", "The", "term", "of", "the", "Sublease", "of", "the", "Must-Take", "Space", "is", "scheduled", "to", "expire", "on", "May31", ",", "2014", ".", "The", "term", "of", "Sublandlords", "lease", "of", "the", "Must-Take", "Space", "is", "scheduled", "to", "expire", "on", "June30", ",", "2014", ",", "which", "is", "after", "the", "expiration", "of", "the", "Sublease", "but", "prior", "to", "the", "Must-Take", "Lease", "Commencement", "Date", ".", "Accordingly", ",", "Tenant", "hereby", "agrees", "that", "(", "i", ")", "Tenant", "shall", "be", "solely", "responsible", "for", "making", "arrangements", "with", "Sublandlord", "regarding", "Tenants", "continued", "occupancy", "of", "the", "Must-Take", "Space", "prior", "to", "the", "Must-Take", "Lease", "Commencement", "Date", ",", "and", "(", "ii", ")", "if", "Landlord", "does", "not", "tender", "possession", "of", "the", "Must-Take", "Space", "to", "Tenant", "on", "or", "before", "the", "Must-Take", "Lease", "Commencement", "Date", "or", "any", "other", "particular", "date", ",", "for", "any", "reason", "whatsoever", "(", "including", ",", "without", "limitation", ",", "if", "Sublandlord", "retakes", "possession", "of", "the", "Must-Take", "Space", "prior", "to", "the", "Must-Take", "Lease", "Commencement", "Date", "and", "thereafter", "holds", "over", "in", "the", "Must-Take", "Space", ")", ",", "Landlord", "shall", "not", "be", "liable", "for", "any", "damage", "thereby", ",", "and", "this", "Lease", "shall", "not", "be", "void", "or", "voidable", "thereby", ",", "in", "which", "case", "Base", "Rent", "shall", "not", "commence", "to", "be", "payable", "with", "respect", "to", "the", "Must-Take", "Space", "until", "Landlord", "tenders", "possession", "of", "the", "Must-Take", "Space", "to", "Tenant", ".", "For", "purposes", "of", "this", "Lease", ",", "the", "term", "Lease", "Year", "shall", "mean", "each", "consecutive", "twelve", "(", "12", ")", "month", "period", "during", "the", "Lease", "Term", ";", "provided", ",", "however", ",", "that", "the", "first", "Lease", "Year", "shall", "commence", "on", "the", "Initial", "Lease", "Commencement", "Date", "and", "end", "on", "the", "last", "day", "of", "the", "month", "in", "which", "the", "first", "anniversary", "of", "the", "Initial", "Lease", "Commencement", "Date", "occurs", "and", "the", "second", "and", "each", "succeeding", "Lease", "Year", "shall", "commence", "on", "the", "first", "day", "of", "the", "next", "calendar", "month", ";", "and", "further", "provided", "that", "the", "last", "Lease", "Year", "shall", "end", "on", "the", "Lease", "Expiration", "Date", ".", "At", "any", "time", "during", "the", "Lease", "Term", ",", "Landlord", "may", "deliver", "to", "Tenant", "a", "notice", "in", "the", "form", "as", "set", "forth", "in", "Exhibit", "F", ",", "attached", "hereto", ",", "as", "a", "confirmation", "only", "of", "the", "information", "set", "forth", "therein", ",", "which", "Tenant", "shall", "execute", "and", "return", "to", "Landlord", "within", "five", "(", "5", ")", "days", "of", "receipt", "thereof", "."]}
{"id": "13918", "text": "2.2.3 Exercise of Option. The option contained in this Section2.2 shall be exercised by Tenant, if at all, only in the manner set forth in this Section2.2. Tenant shall deliver notice (the Exercise Notice) to Landlord not more than twelve (12)months nor less than nine (9)months prior to the expiration of the initial Lease Term or initial Option Term, as applicable, stating that Tenant is exercising its option. Concurrently with such Exercise Notice, Tenant shall deliver to Landlord Tenants calculation of the Market Rent (the Tenants Option Rent Calculation). Landlord shall deliver notice (the Landlord Response Notice) to Tenant within thirty (30)days after receipt of Tenants Exercise Notice (the Landlord Response Date), stating that (A)Landlord is accepting Tenants Option Rent Calculation as the Market Rent, or (B)rejecting Tenants Option Rent Calculation and setting forth Landlords calculation of the Market Rent (the Landlords Option Rent Calculation). Within ten (10)business days of its receipt of the Landlord Response Notice, Tenant may, at its option, accept the Market Rent contained in the Landlords Option Rent Calculation. If Tenant does not affirmatively accept or Tenant rejects the Market Rent specified in the Landlords Option Rent Calculation, the parties shall follow the procedure set forth in Section2.2.4 below, and the Market Rent shall be determined in accordance with the terms of Section2.2.4 below.", "ner": [[106, 107, "Rent"]], "tokenized_text": ["2", ".", "2", ".", "3", "Exercise", "of", "Option", ".", "The", "option", "contained", "in", "this", "Section2", ".", "2", "shall", "be", "exercised", "by", "Tenant", ",", "if", "at", "all", ",", "only", "in", "the", "manner", "set", "forth", "in", "this", "Section2", ".", "2", ".", "Tenant", "shall", "deliver", "notice", "(", "the", "Exercise", "Notice", ")", "to", "Landlord", "not", "more", "than", "twelve", "(", "12", ")", "months", "nor", "less", "than", "nine", "(", "9", ")", "months", "prior", "to", "the", "expiration", "of", "the", "initial", "Lease", "Term", "or", "initial", "Option", "Term", ",", "as", "applicable", ",", "stating", "that", "Tenant", "is", "exercising", "its", "option", ".", "Concurrently", "with", "such", "Exercise", "Notice", ",", "Tenant", "shall", "deliver", "to", "Landlord", "Tenants", "calculation", "of", "the", "Market", "Rent", "(", "the", "Tenants", "Option", "Rent", "Calculation", ")", ".", "Landlord", "shall", "deliver", "notice", "(", "the", "Landlord", "Response", "Notice", ")", "to", "Tenant", "within", "thirty", "(", "30", ")", "days", "after", "receipt", "of", "Tenants", "Exercise", "Notice", "(", "the", "Landlord", "Response", "Date", ")", ",", "stating", "that", "(", "A", ")", "Landlord", "is", "accepting", "Tenants", "Option", "Rent", "Calculation", "as", "the", "Market", "Rent", ",", "or", "(", "B", ")", "rejecting", "Tenants", "Option", "Rent", "Calculation", "and", "setting", "forth", "Landlords", "calculation", "of", "the", "Market", "Rent", "(", "the", "Landlords", "Option", "Rent", "Calculation", ")", ".", "Within", "ten", "(", "10", ")", "business", "days", "of", "its", "receipt", "of", "the", "Landlord", "Response", "Notice", ",", "Tenant", "may", ",", "at", "its", "option", ",", "accept", "the", "Market", "Rent", "contained", "in", "the", "Landlords", "Option", "Rent", "Calculation", ".", "If", "Tenant", "does", "not", "affirmatively", "accept", "or", "Tenant", "rejects", "the", "Market", "Rent", "specified", "in", "the", "Landlords", "Option", "Rent", "Calculation", ",", "the", "parties", "shall", "follow", "the", "procedure", "set", "forth", "in", "Section2", ".", "2", ".", "4", "below", ",", "and", "the", "Market", "Rent", "shall", "be", "determined", "in", "accordance", "with", "the", "terms", "of", "Section2", ".", "2", ".", "4", "below", "."]}
{"id": "13919", "text": "4.2.5.2 Tax Expenses shall include, without limitation: (i)Any tax on the rent, right to rent or other income from the Project, or any portion thereof, or as against the business of leasing the Project, or any portion thereof; (ii)Any assessment, tax, fee, levy or charge in addition to, or in substitution, partially or totally, of any assessment, tax, fee, levy or charge previously included within the definition of real property tax, it being acknowledged by Tenant and Landlord that Proposition 13 was adopted by the voters of the State of California in the June 1978 election (Proposition13) and that assessments, taxes, fees, levies and charges may be imposed by governmental agencies for such services as fire protection, street, sidewalk and road maintenance, refuse removal and for other governmental services formerly provided without charge to property owners or occupants, and, in further recognition of the decrease in the level and quality of governmental services and amenities as a result of Proposition 13, Tax Expenses shall also include any governmental or private assessments or the Projects contribution towards a governmental or private cost-sharing agreement for the purpose of augmenting or improving the quality of services and amenities normally provided by governmental agencies; (iii)Any assessment, tax, fee, levy, or charge allocable to or measured by the area of the Premises or the Rent payable hereunder, including, without limitation, any business or gross income tax or excise tax with respect to the receipt of such rent, or upon or with respect to the possession, leasing, operating, management, maintenance, alteration, repair, use or occupancy by Tenant of the Premises, or any portion thereof. Any documentary transfer tax or other similar assessment, tax, fee, levy or charge, upon the consummation of this transaction (as opposed to the Rent payable hereunder) or any document to which Landlord and Tenant are parties, creating or transferring an interest or an estate in the Premises (as opposed to any document executed in connection with a Transfer as that term is defined in Section14.1, below) shall be excluded from Tax Expenses; provided, however, Tenant shall be responsible for any rent tax, sales tax, service tax, transfer tax, value added tax or other applicable tax on the Rent payable hereunder pursuant to Section4.5.3 below.", "ner": [[108, 109, "Regulation"], [117, 119, "Court"], [220, 221, "Title"]], "tokenized_text": ["4", ".", "2", ".", "5", ".", "2", "Tax", "Expenses", "shall", "include", ",", "without", "limitation", ":", "(", "i", ")", "Any", "tax", "on", "the", "rent", ",", "right", "to", "rent", "or", "other", "income", "from", "the", "Project", ",", "or", "any", "portion", "thereof", ",", "or", "as", "against", "the", "business", "of", "leasing", "the", "Project", ",", "or", "any", "portion", "thereof", ";", "(", "ii", ")", "Any", "assessment", ",", "tax", ",", "fee", ",", "levy", "or", "charge", "in", "addition", "to", ",", "or", "in", "substitution", ",", "partially", "or", "totally", ",", "of", "any", "assessment", ",", "tax", ",", "fee", ",", "levy", "or", "charge", "previously", "included", "within", "the", "definition", "of", "real", "property", "tax", ",", "it", "being", "acknowledged", "by", "Tenant", "and", "Landlord", "that", "Proposition", "13", "was", "adopted", "by", "the", "voters", "of", "the", "State", "of", "California", "in", "the", "June", "1978", "election", "(", "Proposition13", ")", "and", "that", "assessments", ",", "taxes", ",", "fees", ",", "levies", "and", "charges", "may", "be", "imposed", "by", "governmental", "agencies", "for", "such", "services", "as", "fire", "protection", ",", "street", ",", "sidewalk", "and", "road", "maintenance", ",", "refuse", "removal", "and", "for", "other", "governmental", "services", "formerly", "provided", "without", "charge", "to", "property", "owners", "or", "occupants", ",", "and", ",", "in", "further", "recognition", "of", "the", "decrease", "in", "the", "level", "and", "quality", "of", "governmental", "services", "and", "amenities", "as", "a", "result", "of", "Proposition", "13", ",", "Tax", "Expenses", "shall", "also", "include", "any", "governmental", "or", "private", "assessments", "or", "the", "Projects", "contribution", "towards", "a", "governmental", "or", "private", "cost-sharing", "agreement", "for", "the", "purpose", "of", "augmenting", "or", "improving", "the", "quality", "of", "services", "and", "amenities", "normally", "provided", "by", "governmental", "agencies", ";", "(", "iii", ")", "Any", "assessment", ",", "tax", ",", "fee", ",", "levy", ",", "or", "charge", "allocable", "to", "or", "measured", "by", "the", "area", "of", "the", "Premises", "or", "the", "Rent", "payable", "hereunder", ",", "including", ",", "without", "limitation", ",", "any", "business", "or", "gross", "income", "tax", "or", "excise", "tax", "with", "respect", "to", "the", "receipt", "of", "such", "rent", ",", "or", "upon", "or", "with", "respect", "to", "the", "possession", ",", "leasing", ",", "operating", ",", "management", ",", "maintenance", ",", "alteration", ",", "repair", ",", "use", "or", "occupancy", "by", "Tenant", "of", "the", "Premises", ",", "or", "any", "portion", "thereof", ".", "Any", "documentary", "transfer", "tax", "or", "other", "similar", "assessment", ",", "tax", ",", "fee", ",", "levy", "or", "charge", ",", "upon", "the", "consummation", "of", "this", "transaction", "(", "as", "opposed", "to", "the", "Rent", "payable", "hereunder", ")", "or", "any", "document", "to", "which", "Landlord", "and", "Tenant", "are", "parties", ",", "creating", "or", "transferring", "an", "interest", "or", "an", "estate", "in", "the", "Premises", "(", "as", "opposed", "to", "any", "document", "executed", "in", "connection", "with", "a", "Transfer", "as", "that", "term", "is", "defined", "in", "Section14", ".", "1", ",", "below", ")", "shall", "be", "excluded", "from", "Tax", "Expenses", ";", "provided", ",", "however", ",", "Tenant", "shall", "be", "responsible", "for", "any", "rent", "tax", ",", "sales", "tax", ",", "service", "tax", ",", "transfer", "tax", ",", "value", "added", "tax", "or", "other", "applicable", "tax", "on", "the", "Rent", "payable", "hereunder", "pursuant", "to", "Section4", ".", "5", ".", "3", "below", "."]}
{"id": "13922", "text": "5.2 Prohibited Uses. The uses prohibited under this Lease shall include, without limitation, use of the Premises or a portion thereof for (i)offices of any agency or bureau of the United States or any state or political subdivision thereof; (ii)offices or agencies of any foreign governmental or political subdivision thereof; (iii)medical offices of any health care professionals or service organization; (iv)schools or other training facilities which are not ancillary to corporate, executive or professional office use; (v)retail or restaurant uses; or (vi)communications firms such as radio and/or television stations. Tenant shall not allow occupancy density of use of the Premises which is greater than one (1)person per one hundred twenty-five (125)rentable square feet of the Premises. Tenant further covenants and agrees that Tenant shall not use, or suffer or permit any person or persons to use, the Premises or any part thereof for any use or purpose contrary to the provisions of the Rules and Regulations set forth in Exhibit D, attached hereto, or in violation of the laws of the United States of America, the State of California , or the ordinances, regulations or requirements of the local municipal or county governing body or other lawful authorities having jurisdiction over the Project) including, without limitation, any such laws, ordinances, regulations or requirements relating to hazardous materials or substances, as those terms are defined by applicable laws now or hereafter in effect; provided, however, Landlord shall not enforce, change or modify the Rules and Regulations in a discriminatory manner and Landlord agrees that the Rules and Regulations shall not be unreasonably modified or enforced in a manner which will unreasonably interfere with the normal and customary conduct of Tenants business or materially increase Tenants economic obligations under this Lease. Tenant shall not do or permit anything to be done in or about the Premises which will in any way damage the reputation of the Project or obstruct or interfere with the rights of other tenants or occupants of the Building, or injure or annoy them or use or allow the Premises to be used for any improper, unlawful or objectionable purpose, nor shall Tenant cause, maintain or permit any nuisance in, on or about the Premises.", "ner": [[194, 196, "Regulation"], [214, 217, "Court"], [220, 222, "Court"]], "tokenized_text": ["5", ".", "2", "Prohibited", "Uses", ".", "The", "uses", "prohibited", "under", "this", "Lease", "shall", "include", ",", "without", "limitation", ",", "use", "of", "the", "Premises", "or", "a", "portion", "thereof", "for", "(", "i", ")", "offices", "of", "any", "agency", "or", "bureau", "of", "the", "United", "States", "or", "any", "state", "or", "political", "subdivision", "thereof", ";", "(", "ii", ")", "offices", "or", "agencies", "of", "any", "foreign", "governmental", "or", "political", "subdivision", "thereof", ";", "(", "iii", ")", "medical", "offices", "of", "any", "health", "care", "professionals", "or", "service", "organization", ";", "(", "iv", ")", "schools", "or", "other", "training", "facilities", "which", "are", "not", "ancillary", "to", "corporate", ",", "executive", "or", "professional", "office", "use", ";", "(", "v", ")", "retail", "or", "restaurant", "uses", ";", "or", "(", "vi", ")", "communications", "firms", "such", "as", "radio", "and", "/", "or", "television", "stations", ".", "Tenant", "shall", "not", "allow", "occupancy", "density", "of", "use", "of", "the", "Premises", "which", "is", "greater", "than", "one", "(", "1", ")", "person", "per", "one", "hundred", "twenty-five", "(", "125", ")", "rentable", "square", "feet", "of", "the", "Premises", ".", "Tenant", "further", "covenants", "and", "agrees", "that", "Tenant", "shall", "not", "use", ",", "or", "suffer", "or", "permit", "any", "person", "or", "persons", "to", "use", ",", "the", "Premises", "or", "any", "part", "thereof", "for", "any", "use", "or", "purpose", "contrary", "to", "the", "provisions", "of", "the", "Rules", "and", "Regulations", "set", "forth", "in", "Exhibit", "D", ",", "attached", "hereto", ",", "or", "in", "violation", "of", "the", "laws", "of", "the", "United", "States", "of", "America", ",", "the", "State", "of", "California", ",", "or", "the", "ordinances", ",", "regulations", "or", "requirements", "of", "the", "local", "municipal", "or", "county", "governing", "body", "or", "other", "lawful", "authorities", "having", "jurisdiction", "over", "the", "Project", ")", "including", ",", "without", "limitation", ",", "any", "such", "laws", ",", "ordinances", ",", "regulations", "or", "requirements", "relating", "to", "hazardous", "materials", "or", "substances", ",", "as", "those", "terms", "are", "defined", "by", "applicable", "laws", "now", "or", "hereafter", "in", "effect", ";", "provided", ",", "however", ",", "Landlord", "shall", "not", "enforce", ",", "change", "or", "modify", "the", "Rules", "and", "Regulations", "in", "a", "discriminatory", "manner", "and", "Landlord", "agrees", "that", "the", "Rules", "and", "Regulations", "shall", "not", "be", "unreasonably", "modified", "or", "enforced", "in", "a", "manner", "which", "will", "unreasonably", "interfere", "with", "the", "normal", "and", "customary", "conduct", "of", "Tenants", "business", "or", "materially", "increase", "Tenants", "economic", "obligations", "under", "this", "Lease", ".", "Tenant", "shall", "not", "do", "or", "permit", "anything", "to", "be", "done", "in", "or", "about", "the", "Premises", "which", "will", "in", "any", "way", "damage", "the", "reputation", "of", "the", "Project", "or", "obstruct", "or", "interfere", "with", "the", "rights", "of", "other", "tenants", "or", "occupants", "of", "the", "Building", ",", "or", "injure", "or", "annoy", "them", "or", "use", "or", "allow", "the", "Premises", "to", "be", "used", "for", "any", "improper", ",", "unlawful", "or", "objectionable", "purpose", ",", "nor", "shall", "Tenant", "cause", ",", "maintain", "or", "permit", "any", "nuisance", "in", ",", "on", "or", "about", "the", "Premises", "."]}
{"id": "13925", "text": "10.3.2 Property Insurance covering (i)all office furniture, personal property, business and trade fixtures, office equipment, free-standing cabinet work, movable partitions, merchandise and all other items of Tenants business personal property on the Premises installed by, for, or at the expense of Tenant, (ii)the Improvements, as that term is defined in Section2.1 of the Work Letter, and (iii)all Alterations performed in the Premises. Such insurance shall be written on a Special Form basis, for the full replacement cost value (subject to reasonable deductible amounts), without deduction for depreciation of the covered items and in amounts that meet any co-insurance clauses of the policies of insurance and shall include coverage for (a)all perils included in the CP 10 30 04 02 Coverage Special Form, and (b)water damage from any cause whatsoever, including, but not limited to, backup or overflow from sprinkler leakage, bursting, leaking or stoppage of any pipes, explosion, and backup or overflow from sewers or drains.", "ner": [], "tokenized_text": ["10", ".", "3", ".", "2", "Property", "Insurance", "covering", "(", "i", ")", "all", "office", "furniture", ",", "personal", "property", ",", "business", "and", "trade", "fixtures", ",", "office", "equipment", ",", "free-standing", "cabinet", "work", ",", "movable", "partitions", ",", "merchandise", "and", "all", "other", "items", "of", "Tenants", "business", "personal", "property", "on", "the", "Premises", "installed", "by", ",", "for", ",", "or", "at", "the", "expense", "of", "Tenant", ",", "(", "ii", ")", "the", "Improvements", ",", "as", "that", "term", "is", "defined", "in", "Section2", ".", "1", "of", "the", "Work", "Letter", ",", "and", "(", "iii", ")", "all", "Alterations", "performed", "in", "the", "Premises", ".", "Such", "insurance", "shall", "be", "written", "on", "a", "Special", "Form", "basis", ",", "for", "the", "full", "replacement", "cost", "value", "(", "subject", "to", "reasonable", "deductible", "amounts", ")", ",", "without", "deduction", "for", "depreciation", "of", "the", "covered", "items", "and", "in", "amounts", "that", "meet", "any", "co-insurance", "clauses", "of", "the", "policies", "of", "insurance", "and", "shall", "include", "coverage", "for", "(", "a", ")", "all", "perils", "included", "in", "the", "CP", "10", "30", "04", "02", "Coverage", "Special", "Form", ",", "and", "(", "b", ")", "water", "damage", "from", "any", "cause", "whatsoever", ",", "including", ",", "but", "not", "limited", "to", ",", "backup", "or", "overflow", "from", "sprinkler", "leakage", ",", "bursting", ",", "leaking", "or", "stoppage", "of", "any", "pipes", ",", "explosion", ",", "and", "backup", "or", "overflow", "from", "sewers", "or", "drains", "."]}
{"id": "13926", "text": "10.3.3 Property Insurance Subrogation. Landlord and Tenant intend that their respective property loss risks shall be borne by insurance carriers to the extent above provided (and, in the case of Tenant, by an insurance carrier satisfying the requirements of Section10.4(i) below), and Landlord and Tenant hereby agree to look solely to, and seek recovery only from, their respective insurance carriers in the event of a property loss to the extent that such coverage is agreed to be provided hereunder. The parties each hereby waive all rights and claims against each other for such losses, and waive all rights of subrogation of their respective insurers. Landlord and Tenant hereby represent and warrant that their respective all risk property insurance policies include a waiver of (i)subrogation by the insurers, and (ii)all rights based upon an assignment from its insured, against Landlord and/or any of the Landlord Parties or Tenant and/or any of the Tenant Parties (as the case may be) in connection with any property loss risk thereby insured against. Tenant will cause all other occupants of the Premises claiming by, under, or through Tenant to execute and deliver to Landlord a waiver of claims similar to the waiver in this Section10.3.3 and to obtain such waiver of subrogation rights endorsements. If either party hereto fails to maintain the waivers set forth in items (i)and (ii)above, the party not maintaining the requisite waivers shall indemnify, defend, protect, and hold harmless the other party for, from and against any and all claims, losses, costs, damages, expenses and liabilities (including, without limitation, court costs and reasonable attorneys fees) arising out of, resulting from, or relating to, such failure.", "ner": [], "tokenized_text": ["10", ".", "3", ".", "3", "Property", "Insurance", "Subrogation", ".", "Landlord", "and", "Tenant", "intend", "that", "their", "respective", "property", "loss", "risks", "shall", "be", "borne", "by", "insurance", "carriers", "to", "the", "extent", "above", "provided", "(", "and", ",", "in", "the", "case", "of", "Tenant", ",", "by", "an", "insurance", "carrier", "satisfying", "the", "requirements", "of", "Section10", ".", "4", "(", "i", ")", "below", ")", ",", "and", "Landlord", "and", "Tenant", "hereby", "agree", "to", "look", "solely", "to", ",", "and", "seek", "recovery", "only", "from", ",", "their", "respective", "insurance", "carriers", "in", "the", "event", "of", "a", "property", "loss", "to", "the", "extent", "that", "such", "coverage", "is", "agreed", "to", "be", "provided", "hereunder", ".", "The", "parties", "each", "hereby", "waive", "all", "rights", "and", "claims", "against", "each", "other", "for", "such", "losses", ",", "and", "waive", "all", "rights", "of", "subrogation", "of", "their", "respective", "insurers", ".", "Landlord", "and", "Tenant", "hereby", "represent", "and", "warrant", "that", "their", "respective", "all", "risk", "property", "insurance", "policies", "include", "a", "waiver", "of", "(", "i", ")", "subrogation", "by", "the", "insurers", ",", "and", "(", "ii", ")", "all", "rights", "based", "upon", "an", "assignment", "from", "its", "insured", ",", "against", "Landlord", "and", "/", "or", "any", "of", "the", "Landlord", "Parties", "or", "Tenant", "and", "/", "or", "any", "of", "the", "Tenant", "Parties", "(", "as", "the", "case", "may", "be", ")", "in", "connection", "with", "any", "property", "loss", "risk", "thereby", "insured", "against", ".", "Tenant", "will", "cause", "all", "other", "occupants", "of", "the", "Premises", "claiming", "by", ",", "under", ",", "or", "through", "Tenant", "to", "execute", "and", "deliver", "to", "Landlord", "a", "waiver", "of", "claims", "similar", "to", "the", "waiver", "in", "this", "Section10", ".", "3", ".", "3", "and", "to", "obtain", "such", "waiver", "of", "subrogation", "rights", "endorsements", ".", "If", "either", "party", "hereto", "fails", "to", "maintain", "the", "waivers", "set", "forth", "in", "items", "(", "i", ")", "and", "(", "ii", ")", "above", ",", "the", "party", "not", "maintaining", "the", "requisite", "waivers", "shall", "indemnify", ",", "defend", ",", "protect", ",", "and", "hold", "harmless", "the", "other", "party", "for", ",", "from", "and", "against", "any", "and", "all", "claims", ",", "losses", ",", "costs", ",", "damages", ",", "expenses", "and", "liabilities", "(", "including", ",", "without", "limitation", ",", "court", "costs", "and", "reasonable", "attorneys", "fees", ")", "arising", "out", "of", ",", "resulting", "from", ",", "or", "relating", "to", ",", "such", "failure", "."]}
{"id": "13928", "text": "10.7 Landlords Fire, Casualty , and Liability Insurance.", "ner": [], "tokenized_text": ["10", ".", "7", "Landlords", "Fire", ",", "Casualty", ",", "and", "Liability", "Insurance", "."]}
{"id": "13929", "text": "the holder of a mortgage on the Building or Project or any other modifications to the Common Areas deemed desirable by Landlord, which are consistent with the character of the Project, provided that access to the Premises and any common restrooms serving the Premises shall not be materially impaired. Notwithstanding any other provision of this Lease, upon the occurrence of any damage to the Premises, upon notice (the Landlord Repair Notice) to Tenant from Landlord, Tenant shall assign to Landlord (or to any party designated by Landlord) all insurance proceeds payable to Tenant under Tenants insurance required to be carried under items (ii)and (iii)of Section10.3.2 of this Lease with respect to the Improvements and any Alterations, and Landlord shall repair any injury or damage to the Improvements and such Alterations installed in the Premises and shall return such Improvements and such Alterations to their original condition; provided that if the cost of repair to the Improvements and such Alterations by Landlord exceeds the amount of insurance proceeds received by Landlord from Tenants insurance carrier, as assigned by Tenant, the cost of such repairs shall be paid by Tenant to Landlord prior to Landlords commencement of repair of the damage. In the event that Landlord does not deliver the Landlord Repair Notice within sixty (60)days following the date the casualty becomes known to Landlord, Tenant shall, at its sole cost and expense, repair any injury or damage to the Improvements installed in the Premises and shall return such Improvements to their original condition. Whether or not Landlord delivers a Landlord Repair Notice, prior to the commencement of construction, Tenant shall submit to Landlord, for Landlords review and approval, all plans, specifications and working drawings relating thereto, and Landlord shall select the contractors to perform such improvement work. Landlord shall not be liable for any inconvenience or annoyance to Tenant or its visitors, or injury to Tenants business resulting in any way from such damage or the repair thereof; provided however, that if such fire or other casualty shall have damaged the Premises or Common Areas necessary to Tenants occupancy, and if such damage is not the result of the willful misconduct of Tenant or Tenants employees, contractors, licensees, or invitees, Landlord shall allow Tenant a proportionate abatement of Rent during the time and to the extent the Premises are unfit for occupancy, which proportionality shall be based on the ratio that the amount of rentable square feet of the Premises which is unfit for occupancy for the purposes permitted under this Lease and not occupied by Tenant as a result thereof bears to the total rentable square feet of the Premises. In the event that Landlord shall not deliver the Landlord Repair Notice, Tenants right to rent abatement pursuant to the preceding sentence shall terminate as of the date which is reasonably determined by Landlord to be the date Tenant should have completed repairs to the Premises assuming Tenant used reasonable due diligence in connection therewith.", "ner": [], "tokenized_text": ["the", "holder", "of", "a", "mortgage", "on", "the", "Building", "or", "Project", "or", "any", "other", "modifications", "to", "the", "Common", "Areas", "deemed", "desirable", "by", "Landlord", ",", "which", "are", "consistent", "with", "the", "character", "of", "the", "Project", ",", "provided", "that", "access", "to", "the", "Premises", "and", "any", "common", "restrooms", "serving", "the", "Premises", "shall", "not", "be", "materially", "impaired", ".", "Notwithstanding", "any", "other", "provision", "of", "this", "Lease", ",", "upon", "the", "occurrence", "of", "any", "damage", "to", "the", "Premises", ",", "upon", "notice", "(", "the", "Landlord", "Repair", "Notice", ")", "to", "Tenant", "from", "Landlord", ",", "Tenant", "shall", "assign", "to", "Landlord", "(", "or", "to", "any", "party", "designated", "by", "Landlord", ")", "all", "insurance", "proceeds", "payable", "to", "Tenant", "under", "Tenants", "insurance", "required", "to", "be", "carried", "under", "items", "(", "ii", ")", "and", "(", "iii", ")", "of", "Section10", ".", "3", ".", "2", "of", "this", "Lease", "with", "respect", "to", "the", "Improvements", "and", "any", "Alterations", ",", "and", "Landlord", "shall", "repair", "any", "injury", "or", "damage", "to", "the", "Improvements", "and", "such", "Alterations", "installed", "in", "the", "Premises", "and", "shall", "return", "such", "Improvements", "and", "such", "Alterations", "to", "their", "original", "condition", ";", "provided", "that", "if", "the", "cost", "of", "repair", "to", "the", "Improvements", "and", "such", "Alterations", "by", "Landlord", "exceeds", "the", "amount", "of", "insurance", "proceeds", "received", "by", "Landlord", "from", "Tenants", "insurance", "carrier", ",", "as", "assigned", "by", "Tenant", ",", "the", "cost", "of", "such", "repairs", "shall", "be", "paid", "by", "Tenant", "to", "Landlord", "prior", "to", "Landlords", "commencement", "of", "repair", "of", "the", "damage", ".", "In", "the", "event", "that", "Landlord", "does", "not", "deliver", "the", "Landlord", "Repair", "Notice", "within", "sixty", "(", "60", ")", "days", "following", "the", "date", "the", "casualty", "becomes", "known", "to", "Landlord", ",", "Tenant", "shall", ",", "at", "its", "sole", "cost", "and", "expense", ",", "repair", "any", "injury", "or", "damage", "to", "the", "Improvements", "installed", "in", "the", "Premises", "and", "shall", "return", "such", "Improvements", "to", "their", "original", "condition", ".", "Whether", "or", "not", "Landlord", "delivers", "a", "Landlord", "Repair", "Notice", ",", "prior", "to", "the", "commencement", "of", "construction", ",", "Tenant", "shall", "submit", "to", "Landlord", ",", "for", "Landlords", "review", "and", "approval", ",", "all", "plans", ",", "specifications", "and", "working", "drawings", "relating", "thereto", ",", "and", "Landlord", "shall", "select", "the", "contractors", "to", "perform", "such", "improvement", "work", ".", "Landlord", "shall", "not", "be", "liable", "for", "any", "inconvenience", "or", "annoyance", "to", "Tenant", "or", "its", "visitors", ",", "or", "injury", "to", "Tenants", "business", "resulting", "in", "any", "way", "from", "such", "damage", "or", "the", "repair", "thereof", ";", "provided", "however", ",", "that", "if", "such", "fire", "or", "other", "casualty", "shall", "have", "damaged", "the", "Premises", "or", "Common", "Areas", "necessary", "to", "Tenants", "occupancy", ",", "and", "if", "such", "damage", "is", "not", "the", "result", "of", "the", "willful", "misconduct", "of", "Tenant", "or", "Tenants", "employees", ",", "contractors", ",", "licensees", ",", "or", "invitees", ",", "Landlord", "shall", "allow", "Tenant", "a", "proportionate", "abatement", "of", "Rent", "during", "the", "time", "and", "to", "the", "extent", "the", "Premises", "are", "unfit", "for", "occupancy", ",", "which", "proportionality", "shall", "be", "based", "on", "the", "ratio", "that", "the", "amount", "of", "rentable", "square", "feet", "of", "the", "Premises", "which", "is", "unfit", "for", "occupancy", "for", "the", "purposes", "permitted", "under", "this", "Lease", "and", "not", "occupied", "by", "Tenant", "as", "a", "result", "thereof", "bears", "to", "the", "total", "rentable", "square", "feet", "of", "the", "Premises", ".", "In", "the", "event", "that", "Landlord", "shall", "not", "deliver", "the", "Landlord", "Repair", "Notice", ",", "Tenants", "right", "to", "rent", "abatement", "pursuant", "to", "the", "preceding", "sentence", "shall", "terminate", "as", "of", "the", "date", "which", "is", "reasonably", "determined", "by", "Landlord", "to", "be", "the", "date", "Tenant", "should", "have", "completed", "repairs", "to", "the", "Premises", "assuming", "Tenant", "used", "reasonable", "due", "diligence", "in", "connection", "therewith", "."]}
{"id": "13932", "text": "14.3 Transfer Premium. If Landlord consents to a Transfer, as a condition thereto which the parties hereby agree is reasonable, Tenant shall pay to Landlord fifty percent (50%)of any Transfer Premium, as that term is defined in this Section14.3, received by Tenant from such Transferee. Transfer Premium shall mean all rent, additional rent or other consideration payable by such Transferee in connection with the Transfer in excess of the Rent and Additional Rent payable by Tenant under this Lease during the term of the Transfer on a per rentable square foot basis if less than all of the Premises is transferred, after deducting the reasonable expenses incurred by Tenant for (i)any changes, alterations and improvements to the Premises in connection with the Transfer, (ii)any free base rent or other economic concessions reasonably provided to the Transferee, and (iii)any reasonable legal fees and brokerage commissions in connection with the Transfer. Transfer Premium shall also include, but not be limited to, key money, bonus money or other cash consideration paid by Transferee to Tenant in connection with such Transfer, and any payment in excess of fair market value for services rendered by Tenant to Transferee or for assets, fixtures, inventory, equipment, or furniture transferred by Tenant to Transferee in connection with such Transfer. For purposes of calculating any such effective rent all such concessions shall be amortized on a straight-line basis over the relevant term.", "ner": [[33, 34, "Percentage"]], "tokenized_text": ["14", ".", "3", "Transfer", "Premium", ".", "If", "Landlord", "consents", "to", "a", "Transfer", ",", "as", "a", "condition", "thereto", "which", "the", "parties", "hereby", "agree", "is", "reasonable", ",", "Tenant", "shall", "pay", "to", "Landlord", "fifty", "percent", "(", "50", "%", ")", "of", "any", "Transfer", "Premium", ",", "as", "that", "term", "is", "defined", "in", "this", "Section14", ".", "3", ",", "received", "by", "Tenant", "from", "such", "Transferee", ".", "Transfer", "Premium", "shall", "mean", "all", "rent", ",", "additional", "rent", "or", "other", "consideration", "payable", "by", "such", "Transferee", "in", "connection", "with", "the", "Transfer", "in", "excess", "of", "the", "Rent", "and", "Additional", "Rent", "payable", "by", "Tenant", "under", "this", "Lease", "during", "the", "term", "of", "the", "Transfer", "on", "a", "per", "rentable", "square", "foot", "basis", "if", "less", "than", "all", "of", "the", "Premises", "is", "transferred", ",", "after", "deducting", "the", "reasonable", "expenses", "incurred", "by", "Tenant", "for", "(", "i", ")", "any", "changes", ",", "alterations", "and", "improvements", "to", "the", "Premises", "in", "connection", "with", "the", "Transfer", ",", "(", "ii", ")", "any", "free", "base", "rent", "or", "other", "economic", "concessions", "reasonably", "provided", "to", "the", "Transferee", ",", "and", "(", "iii", ")", "any", "reasonable", "legal", "fees", "and", "brokerage", "commissions", "in", "connection", "with", "the", "Transfer", ".", "Transfer", "Premium", "shall", "also", "include", ",", "but", "not", "be", "limited", "to", ",", "key", "money", ",", "bonus", "money", "or", "other", "cash", "consideration", "paid", "by", "Transferee", "to", "Tenant", "in", "connection", "with", "such", "Transfer", ",", "and", "any", "payment", "in", "excess", "of", "fair", "market", "value", "for", "services", "rendered", "by", "Tenant", "to", "Transferee", "or", "for", "assets", ",", "fixtures", ",", "inventory", ",", "equipment", ",", "or", "furniture", "transferred", "by", "Tenant", "to", "Transferee", "in", "connection", "with", "such", "Transfer", ".", "For", "purposes", "of", "calculating", "any", "such", "effective", "rent", "all", "such", "concessions", "shall", "be", "amortized", "on", "a", "straight-line", "basis", "over", "the", "relevant", "term", "."]}
{"id": "13933", "text": "14.8 Deemed Consent Transfers. Notwithstanding anything to the contrary contained in this Lease, (A)an assignment or subletting of all or a portion of the Premises to an affiliate of Tenant (an entity which is controlled by, controls, or is under common control with, Tenant as of the date of this Lease), (B)a sale of corporate shares of capital stock in Tenant on a nationally-recognized stock exchange, (C)an assignment of the Lease to an entity which acquires all or substantially all of the stock or assets of Tenant, (D)an assignment of the Lease to an entity which is the resulting entity of a merger or consolidation of Tenant during the Lease Term, or (E)an Additional Transfer, shall not be deemed a Transfer requiring Landlords consent under this Article 14 (any such assignee, sublessee, or resultant Tenant described in items (A)through (E)of this Section14.8 hereinafter referred to as a Permitted Transferee), provided that (i)Tenant notifies Landlord at least thirty (30)days prior to the effective date of any such assignment or sublease and promptly supplies Landlord with any documents or information reasonably requested by Landlord regarding such transfer or Permitted Transferee as set forth above, (ii)Tenant is not in default, beyond any applicable notice and cure period, and such assignment or sublease is not a subterfuge by Tenant to avoid its obligations under this Lease, (iii)such Permitted Transferee shall be of a character and reputation consistent with the quality of the Building, (iv)such Permitted Transferee shall have a tangible net worth (not including goodwill as an asset) computed in accordance with generally accepted accounting principles (Net Worth) at least equal to the greater of (1)the Net Worth of Original Tenant on the date of this Lease, and (2)the Net Worth of Tenant on the day immediately preceding the effective date of such assignment or sublease, (v)no assignment or sublease relating to this Lease, whether with or without Landlords consent, shall relieve Tenant from any liability under this Lease, and (vi)the liability such Permitted Transferee under either an assignment or sublease shall be joint and several with Tenant. An assignee of Tenants entire interest in this Lease who qualifies as a Permitted Transferee may also be referred to herein as a Permitted Transferee Assignee. Control, as used in this Section14.8, shall mean the ownership, directly or indirectly, of more than fifty percent (50%)of the voting securities of, or possession of the right to vote, in the ordinary direction of its affairs, of more than fifty percent (50%)of the voting interest in, any person or entity.", "ner": [[480, 481, "Percentage"], [511, 512, "Percentage"]], "tokenized_text": ["14", ".", "8", "Deemed", "Consent", "Transfers", ".", "Notwithstanding", "anything", "to", "the", "contrary", "contained", "in", "this", "Lease", ",", "(", "A", ")", "an", "assignment", "or", "subletting", "of", "all", "or", "a", "portion", "of", "the", "Premises", "to", "an", "affiliate", "of", "Tenant", "(", "an", "entity", "which", "is", "controlled", "by", ",", "controls", ",", "or", "is", "under", "common", "control", "with", ",", "Tenant", "as", "of", "the", "date", "of", "this", "Lease", ")", ",", "(", "B", ")", "a", "sale", "of", "corporate", "shares", "of", "capital", "stock", "in", "Tenant", "on", "a", "nationally-recognized", "stock", "exchange", ",", "(", "C", ")", "an", "assignment", "of", "the", "Lease", "to", "an", "entity", "which", "acquires", "all", "or", "substantially", "all", "of", "the", "stock", "or", "assets", "of", "Tenant", ",", "(", "D", ")", "an", "assignment", "of", "the", "Lease", "to", "an", "entity", "which", "is", "the", "resulting", "entity", "of", "a", "merger", "or", "consolidation", "of", "Tenant", "during", "the", "Lease", "Term", ",", "or", "(", "E", ")", "an", "Additional", "Transfer", ",", "shall", "not", "be", "deemed", "a", "Transfer", "requiring", "Landlords", "consent", "under", "this", "Article", "14", "(", "any", "such", "assignee", ",", "sublessee", ",", "or", "resultant", "Tenant", "described", "in", "items", "(", "A", ")", "through", "(", "E", ")", "of", "this", "Section14", ".", "8", "hereinafter", "referred", "to", "as", "a", "Permitted", "Transferee", ")", ",", "provided", "that", "(", "i", ")", "Tenant", "notifies", "Landlord", "at", "least", "thirty", "(", "30", ")", "days", "prior", "to", "the", "effective", "date", "of", "any", "such", "assignment", "or", "sublease", "and", "promptly", "supplies", "Landlord", "with", "any", "documents", "or", "information", "reasonably", "requested", "by", "Landlord", "regarding", "such", "transfer", "or", "Permitted", "Transferee", "as", "set", "forth", "above", ",", "(", "ii", ")", "Tenant", "is", "not", "in", "default", ",", "beyond", "any", "applicable", "notice", "and", "cure", "period", ",", "and", "such", "assignment", "or", "sublease", "is", "not", "a", "subterfuge", "by", "Tenant", "to", "avoid", "its", "obligations", "under", "this", "Lease", ",", "(", "iii", ")", "such", "Permitted", "Transferee", "shall", "be", "of", "a", "character", "and", "reputation", "consistent", "with", "the", "quality", "of", "the", "Building", ",", "(", "iv", ")", "such", "Permitted", "Transferee", "shall", "have", "a", "tangible", "net", "worth", "(", "not", "including", "goodwill", "as", "an", "asset", ")", "computed", "in", "accordance", "with", "generally", "accepted", "accounting", "principles", "(", "Net", "Worth", ")", "at", "least", "equal", "to", "the", "greater", "of", "(", "1", ")", "the", "Net", "Worth", "of", "Original", "Tenant", "on", "the", "date", "of", "this", "Lease", ",", "and", "(", "2", ")", "the", "Net", "Worth", "of", "Tenant", "on", "the", "day", "immediately", "preceding", "the", "effective", "date", "of", "such", "assignment", "or", "sublease", ",", "(", "v", ")", "no", "assignment", "or", "sublease", "relating", "to", "this", "Lease", ",", "whether", "with", "or", "without", "Landlords", "consent", ",", "shall", "relieve", "Tenant", "from", "any", "liability", "under", "this", "Lease", ",", "and", "(", "vi", ")", "the", "liability", "such", "Permitted", "Transferee", "under", "either", "an", "assignment", "or", "sublease", "shall", "be", "joint", "and", "several", "with", "Tenant", ".", "An", "assignee", "of", "Tenants", "entire", "interest", "in", "this", "Lease", "who", "qualifies", "as", "a", "Permitted", "Transferee", "may", "also", "be", "referred", "to", "herein", "as", "a", "Permitted", "Transferee", "Assignee", ".", "Control", ",", "as", "used", "in", "this", "Section14", ".", "8", ",", "shall", "mean", "the", "ownership", ",", "directly", "or", "indirectly", ",", "of", "more", "than", "fifty", "percent", "(", "50", "%", ")", "of", "the", "voting", "securities", "of", ",", "or", "possession", "of", "the", "right", "to", "vote", ",", "in", "the", "ordinary", "direction", "of", "its", "affairs", ",", "of", "more", "than", "fifty", "percent", "(", "50", "%", ")", "of", "the", "voting", "interest", "in", ",", "any", "person", "or", "entity", "."]}
{"id": "13934", "text": "in the amount set forth in Section21.3 below (the L-C Amount), which L-C shall be issued by a money-center, solvent and nationally recognized bank (a bank which accepts deposits, maintains accounts, has a local San Francisco Bay Area, California office which will negotiate a letter of credit, and whose deposits are insured by the FDIC) reasonably acceptable to Landlord (such approved, issuing bank being referred to herein as the Bank), which Bank must have a short term Fitch Rating which is not less than Fl, and a long term Fitch Rating which is not less than A(or in the event such Fitch Ratings are no longer available, a comparable rating from Standard and Poors Professional Rating Service or Moodys Professional Rating Service) (collectively, the Banks Credit Rating Threshold), and which L-C shall be substantially in the form of Exhibit G, attached hereto. Landlord hereby approves Bridge Bank as the Bank under this Lease. Tenant shall pay all expenses, points and/or fees incurred by Tenant in obtaining the L-C. The L-C shall (i)be callable at sight, irrevocable and unconditional, (ii)be maintained in effect, whether through renewal or extension, for the period commencing on the date of this Lease and continuing until the date (the L-C Expiration Date) that is no less than ninety (90)days after the expiration of the Lease Term, as the same may be extended, and Tenant shall deliver a new L-C or certificate of renewal or extension to Landlord at least thirty (30)days prior to the expiration of the L-C then held by Landlord, without any action whatsoever on the part of Landlord, (iii)be fully assignable by Landlord, its successors and assigns, (iv)permit partial draws and multiple presentations and drawings, and (v)be otherwise subject to the Uniform Customs and Practices for Documentary Credits (1993-Rev), International Chamber of Commerce Publication #500, or the International Standby Practices- ISP 98, International Chamber of Commerce Publication #590. Landlord, or its then managing agent, shall have the right to draw down an amount up to the face amount of the L-C if any of the following shall have occurred or be applicable: (A)such amount is due to Landlord under the terms and conditions of this Lease, or (B)Tenant has filed a voluntary petition under the U. S. Bankruptcy Code or any state bankruptcy code (collectively, Bankruptcy Code), or (C)an involuntary petition has been filed against Tenant under the Bankruptcy Code, or (D)the Bank has notified Landlord that the L-C will not be renewed or extended through the L-C Expiration Date, or (E)Tenant is placed into receivership or conservatorship, or becomes subject to similar proceedings under Federal or State law, or (F)Tenant executes an assignment for the benefit of creditors, (G)if (1)any of the Banks Fitch Ratings (or other comparable ratings to the extent the Fitch Ratings are no longer available) have been reduced below the Banks Credit Rating Threshold, or (2)there is otherwise a material adverse change in the financial condition of the Bank, and Tenant has failed to provide Landlord with a replacement letter of credit, conforming in all respects to the requirements of this Article 21 (including, but not limited to, the requirements placed on the issuing Bank more particularly set forth in this Section21.1 above), in the amount of the applicable L-C Amount, within ten (10)days following Landlords written demand therefor (with no other notice or cure or grace period being applicable thereto, notwithstanding anything in this Lease to the contrary) (H)if, following Tenants entering into bankruptcy, this Lease is rejected or deemed rejected under Section365 of the Bankruptcy Code, or (I)pursuant to Article 9 above, Landlord has paid the amount necessary to remove any lien or encumbrance arising out of the Improvements performed in accordance with the TCCs of the Work Letter, (each of the foregoing being an L-C Draw Event). The L-C shall be honored by the Bank regardless of whether Tenant disputes Landlords right to draw upon the L-C. In addition, in the event the Bank is placed into receivership or conservatorship by the Federal Deposit Insurance Corporation or any successor or similar entity, then, effective as of the date", "ner": [[43, 48, "Address"], [120, 121, "Title"], [362, 362, "EffectiveDate"], [457, 462, "Act"]], "tokenized_text": ["in", "the", "amount", "set", "forth", "in", "Section21", ".", "3", "below", "(", "the", "L-C", "Amount", ")", ",", "which", "L-C", "shall", "be", "issued", "by", "a", "money-center", ",", "solvent", "and", "nationally", "recognized", "bank", "(", "a", "bank", "which", "accepts", "deposits", ",", "maintains", "accounts", ",", "has", "a", "local", "San", "Francisco", "Bay", "Area", ",", "California", "office", "which", "will", "negotiate", "a", "letter", "of", "credit", ",", "and", "whose", "deposits", "are", "insured", "by", "the", "FDIC", ")", "reasonably", "acceptable", "to", "Landlord", "(", "such", "approved", ",", "issuing", "bank", "being", "referred", "to", "herein", "as", "the", "Bank", ")", ",", "which", "Bank", "must", "have", "a", "short", "term", "Fitch", "Rating", "which", "is", "not", "less", "than", "Fl", ",", "and", "a", "long", "term", "Fitch", "Rating", "which", "is", "not", "less", "than", "A", "(", "or", "in", "the", "event", "such", "Fitch", "Ratings", "are", "no", "longer", "available", ",", "a", "comparable", "rating", "from", "Standard", "and", "Poors", "Professional", "Rating", "Service", "or", "Moodys", "Professional", "Rating", "Service", ")", "(", "collectively", ",", "the", "Banks", "Credit", "Rating", "Threshold", ")", ",", "and", "which", "L-C", "shall", "be", "substantially", "in", "the", "form", "of", "Exhibit", "G", ",", "attached", "hereto", ".", "Landlord", "hereby", "approves", "Bridge", "Bank", "as", "the", "Bank", "under", "this", "Lease", ".", "Tenant", "shall", "pay", "all", "expenses", ",", "points", "and", "/", "or", "fees", "incurred", "by", "Tenant", "in", "obtaining", "the", "L-C", ".", "The", "L-C", "shall", "(", "i", ")", "be", "callable", "at", "sight", ",", "irrevocable", "and", "unconditional", ",", "(", "ii", ")", "be", "maintained", "in", "effect", ",", "whether", "through", "renewal", "or", "extension", ",", "for", "the", "period", "commencing", "on", "the", "date", "of", "this", "Lease", "and", "continuing", "until", "the", "date", "(", "the", "L-C", "Expiration", "Date", ")", "that", "is", "no", "less", "than", "ninety", "(", "90", ")", "days", "after", "the", "expiration", "of", "the", "Lease", "Term", ",", "as", "the", "same", "may", "be", "extended", ",", "and", "Tenant", "shall", "deliver", "a", "new", "L-C", "or", "certificate", "of", "renewal", "or", "extension", "to", "Landlord", "at", "least", "thirty", "(", "30", ")", "days", "prior", "to", "the", "expiration", "of", "the", "L-C", "then", "held", "by", "Landlord", ",", "without", "any", "action", "whatsoever", "on", "the", "part", "of", "Landlord", ",", "(", "iii", ")", "be", "fully", "assignable", "by", "Landlord", ",", "its", "successors", "and", "assigns", ",", "(", "iv", ")", "permit", "partial", "draws", "and", "multiple", "presentations", "and", "drawings", ",", "and", "(", "v", ")", "be", "otherwise", "subject", "to", "the", "Uniform", "Customs", "and", "Practices", "for", "Documentary", "Credits", "(", "1993-Rev", ")", ",", "International", "Chamber", "of", "Commerce", "Publication", "#", "500", ",", "or", "the", "International", "Standby", "Practices", "-", "ISP", "98", ",", "International", "Chamber", "of", "Commerce", "Publication", "#", "590", ".", "Landlord", ",", "or", "its", "then", "managing", "agent", ",", "shall", "have", "the", "right", "to", "draw", "down", "an", "amount", "up", "to", "the", "face", "amount", "of", "the", "L-C", "if", "any", "of", "the", "following", "shall", "have", "occurred", "or", "be", "applicable", ":", "(", "A", ")", "such", "amount", "is", "due", "to", "Landlord", "under", "the", "terms", "and", "conditions", "of", "this", "Lease", ",", "or", "(", "B", ")", "Tenant", "has", "filed", "a", "voluntary", "petition", "under", "the", "U", ".", "S", ".", "Bankruptcy", "Code", "or", "any", "state", "bankruptcy", "code", "(", "collectively", ",", "Bankruptcy", "Code", ")", ",", "or", "(", "C", ")", "an", "involuntary", "petition", "has", "been", "filed", "against", "Tenant", "under", "the", "Bankruptcy", "Code", ",", "or", "(", "D", ")", "the", "Bank", "has", "notified", "Landlord", "that", "the", "L-C", "will", "not", "be", "renewed", "or", "extended", "through", "the", "L-C", "Expiration", "Date", ",", "or", "(", "E", ")", "Tenant", "is", "placed", "into", "receivership", "or", "conservatorship", ",", "or", "becomes", "subject", "to", "similar", "proceedings", "under", "Federal", "or", "State", "law", ",", "or", "(", "F", ")", "Tenant", "executes", "an", "assignment", "for", "the", "benefit", "of", "creditors", ",", "(", "G", ")", "if", "(", "1", ")", "any", "of", "the", "Banks", "Fitch", "Ratings", "(", "or", "other", "comparable", "ratings", "to", "the", "extent", "the", "Fitch", "Ratings", "are", "no", "longer", "available", ")", "have", "been", "reduced", "below", "the", "Banks", "Credit", "Rating", "Threshold", ",", "or", "(", "2", ")", "there", "is", "otherwise", "a", "material", "adverse", "change", "in", "the", "financial", "condition", "of", "the", "Bank", ",", "and", "Tenant", "has", "failed", "to", "provide", "Landlord", "with", "a", "replacement", "letter", "of", "credit", ",", "conforming", "in", "all", "respects", "to", "the", "requirements", "of", "this", "Article", "21", "(", "including", ",", "but", "not", "limited", "to", ",", "the", "requirements", "placed", "on", "the", "issuing", "Bank", "more", "particularly", "set", "forth", "in", "this", "Section21", ".", "1", "above", ")", ",", "in", "the", "amount", "of", "the", "applicable", "L-C", "Amount", ",", "within", "ten", "(", "10", ")", "days", "following", "Landlords", "written", "demand", "therefor", "(", "with", "no", "other", "notice", "or", "cure", "or", "grace", "period", "being", "applicable", "thereto", ",", "notwithstanding", "anything", "in", "this", "Lease", "to", "the", "contrary", ")", "(", "H", ")", "if", ",", "following", "Tenants", "entering", "into", "bankruptcy", ",", "this", "Lease", "is", "rejected", "or", "deemed", "rejected", "under", "Section365", "of", "the", "Bankruptcy", "Code", ",", "or", "(", "I", ")", "pursuant", "to", "Article", "9", "above", ",", "Landlord", "has", "paid", "the", "amount", "necessary", "to", "remove", "any", "lien", "or", "encumbrance", "arising", "out", "of", "the", "Improvements", "performed", "in", "accordance", "with", "the", "TCCs", "of", "the", "Work", "Letter", ",", "(", "each", "of", "the", "foregoing", "being", "an", "L-C", "Draw", "Event", ")", ".", "The", "L-C", "shall", "be", "honored", "by", "the", "Bank", "regardless", "of", "whether", "Tenant", "disputes", "Landlords", "right", "to", "draw", "upon", "the", "L-C", ".", "In", "addition", ",", "in", "the", "event", "the", "Bank", "is", "placed", "into", "receivership", "or", "conservatorship", "by", "the", "Federal", "Deposit", "Insurance", "Corporation", "or", "any", "successor", "or", "similar", "entity", ",", "then", ",", "effective", "as", "of", "the", "date"]}
{"id": "13936", "text": "21.3.3 In General. If, as a result of any drawing by Landlord of all or any portion of the L-C, the amount of the L-C shall be less than the L-C Amount, Tenant shall, within five (5)days thereafter, provide Landlord with additional letter(s) of credit in an amount equal to the deficiency, and any such additional letter(s) of credit shall comply with all of the provisions of this Article 21, and if Tenant fails to comply with the foregoing, the same shall be subject to the terms of Section21.3.4 below. Tenant further covenants and warrants that it will neither assign nor encumber the L-C or any part thereof and that neither Landlord nor its successors or assigns will be bound by any such assignment, encumbrance, attempted assignment or attempted encumbrance. Without limiting the generality of the foregoing, if the L-C expires earlier than the L-C Expiration Date, Landlord will accept a renewal thereof (such renewal letter of credit to be in effect and delivered to Landlord, as applicable, not later than sixty (60)days prior to the expiration of the L-C), which shall be irrevocable and automatically renewable as above provided through the L-C Expiration Date upon the same terms as the expiring L-C or such other terms as may be acceptable to Landlord in its sole discretion. If Tenant exercises its option to extend the Lease Term pursuant to Section2.2 of this Lease, then not later than one hundred twenty (120)days prior to the commencement of the Option Term, Tenant shall deliver to Landlord a new L-C or certificate of renewal or extension evidencing the L-C Expiration Date", "ner": [[225, 226, "RenewalTerm"], [303, 304, "RenewalTerm"]], "tokenized_text": ["21", ".", "3", ".", "3", "In", "General", ".", "If", ",", "as", "a", "result", "of", "any", "drawing", "by", "Landlord", "of", "all", "or", "any", "portion", "of", "the", "L-C", ",", "the", "amount", "of", "the", "L-C", "shall", "be", "less", "than", "the", "L-C", "Amount", ",", "Tenant", "shall", ",", "within", "five", "(", "5", ")", "days", "thereafter", ",", "provide", "Landlord", "with", "additional", "letter", "(", "s", ")", "of", "credit", "in", "an", "amount", "equal", "to", "the", "deficiency", ",", "and", "any", "such", "additional", "letter", "(", "s", ")", "of", "credit", "shall", "comply", "with", "all", "of", "the", "provisions", "of", "this", "Article", "21", ",", "and", "if", "Tenant", "fails", "to", "comply", "with", "the", "foregoing", ",", "the", "same", "shall", "be", "subject", "to", "the", "terms", "of", "Section21", ".", "3", ".", "4", "below", ".", "Tenant", "further", "covenants", "and", "warrants", "that", "it", "will", "neither", "assign", "nor", "encumber", "the", "L-C", "or", "any", "part", "thereof", "and", "that", "neither", "Landlord", "nor", "its", "successors", "or", "assigns", "will", "be", "bound", "by", "any", "such", "assignment", ",", "encumbrance", ",", "attempted", "assignment", "or", "attempted", "encumbrance", ".", "Without", "limiting", "the", "generality", "of", "the", "foregoing", ",", "if", "the", "L-C", "expires", "earlier", "than", "the", "L-C", "Expiration", "Date", ",", "Landlord", "will", "accept", "a", "renewal", "thereof", "(", "such", "renewal", "letter", "of", "credit", "to", "be", "in", "effect", "and", "delivered", "to", "Landlord", ",", "as", "applicable", ",", "not", "later", "than", "sixty", "(", "60", ")", "days", "prior", "to", "the", "expiration", "of", "the", "L-C", ")", ",", "which", "shall", "be", "irrevocable", "and", "automatically", "renewable", "as", "above", "provided", "through", "the", "L-C", "Expiration", "Date", "upon", "the", "same", "terms", "as", "the", "expiring", "L-C", "or", "such", "other", "terms", "as", "may", "be", "acceptable", "to", "Landlord", "in", "its", "sole", "discretion", ".", "If", "Tenant", "exercises", "its", "option", "to", "extend", "the", "Lease", "Term", "pursuant", "to", "Section2", ".", "2", "of", "this", "Lease", ",", "then", "not", "later", "than", "one", "hundred", "twenty", "(", "120", ")", "days", "prior", "to", "the", "commencement", "of", "the", "Option", "Term", ",", "Tenant", "shall", "deliver", "to", "Landlord", "a", "new", "L-C", "or", "certificate", "of", "renewal", "or", "extension", "evidencing", "the", "L-C", "Expiration", "Date"]}
{"id": "13939", "text": "12200 West Olympic Boulevard, Suite 200", "ner": [[0, 6, "Address"]], "tokenized_text": ["12200", "West", "Olympic", "Boulevard", ",", "Suite", "200"]}
{"id": "13940", "text": "Los Angeles, California 90064", "ner": [[0, 4, "Address"]], "tokenized_text": ["Los", "Angeles", ",", "California", "90064"]}
{"id": "13941", "text": "Los Angeles, California 90067-6019", "ner": [[0, 4, "Address"]], "tokenized_text": ["Los", "Angeles", ",", "California", "90067-6019"]}
{"id": "13943", "text": "| | | | | | ---|---|---|---|---|---|--- LANDLORD: KILROY REALTY, L.P.,&lt; br/&gt;", "ner": [[35, 41, "Parties"]], "tokenized_text": ["|", "|", "|", "|", "|", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "LANDLORD", ":", "KILROY", "REALTY", ",", "L", ".", "P", ".", ",", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "13946", "text": "3.5 Electronic Approvals. Notwithstanding any provision to the contrary contained in the Lease or this Work Letter, Landlord may, in Landlords sole and absolute discretion, transmit or otherwise deliver any of the approvals required under this Work Letter via electronic mail to Tenants representative identified in Section5.1 of this Work Letter, or by any of the other means identified in Section29.16 of this Lease.", "ner": [], "tokenized_text": ["3", ".", "5", "Electronic", "Approvals", ".", "Notwithstanding", "any", "provision", "to", "the", "contrary", "contained", "in", "the", "Lease", "or", "this", "Work", "Letter", ",", "Landlord", "may", ",", "in", "Landlords", "sole", "and", "absolute", "discretion", ",", "transmit", "or", "otherwise", "deliver", "any", "of", "the", "approvals", "required", "under", "this", "Work", "Letter", "via", "electronic", "mail", "to", "Tenants", "representative", "identified", "in", "Section5", ".", "1", "of", "this", "Work", "Letter", ",", "or", "by", "any", "of", "the", "other", "means", "identified", "in", "Section29", ".", "16", "of", "this", "Lease", "."]}
{"id": "13947", "text": "4.2.1 Construction Contract; Cost Budget. Tenant shall engage the Contractor under an AIA A101 Stipulated Sum Agreement (2007 Version) accompanied by Landlords standard AIA A201 General Conditions (2007 Version) as modified by Landlord (collectively, the Contract). Prior to the commencement of the construction of the Improvements, and after Tenant has accepted all bids for the Improvements, Tenant shall provide Landlord with a detailed breakdown, by trade, of the final costs to be incurred or which have been incurred, as set forth more particularly in Sections 2.2.1.1 through 2.2.1.9, above, in connection with the design and construction of the Improvements to be performed by or at the direction of Tenant or the Contractor, which costs form a basis for the amount of the Contract (the Final Costs). As used herein, the Over-Allowance Amount shall be equal to the difference between the amount of the Final Costs and the amount of the Improvement Allowance (less any portion thereof already disbursed by Landlord, or in the process of being disbursed by Landlord, on or before the commencement of construction of the Improvements). If an Over-Allowance Amount exists, then, Tenant shall pay Tenants pro-rata share of each amount requested by the Contractor or otherwise to be disbursed under this Work Letter (which pro-rata share shall equal a fraction, the numerator of which shall equal the Over-Allowance Amount, and the denominator of which shall equal the Final Costs), and such payment by Tenant (the Over-Allowance Payments) shall be a condition to Landlords obligation to pay any additional/future portions of the Improvement Allowance pursuant to the terms and conditions of Section2.2, above. In the event that, after the Final Costs have been delivered by Tenant to Landlord, the costs relating to the design and construction of the Improvements shall change, any additional costs necessary to such design and construction in excess of the Final Costs, shall be added to the Over-Allowance Amount and to the Final Costs, and the Over-Allowance Payments shall be recalculated in accordance with the terms of the immediately preceding sentence. In connection with any payment of the Over-Allowance Amount made by Tenant pursuant to this Section4.2.1, Tenant shall provide Landlord with the documents described in Sections 2.2.2.1(0, (ii), (iii)and (iv)of this Work Letter, above, for Landlords approval, prior to Tenant paying such costs.", "ner": [[5, 6, "Title"], [18, 22, "Title"], [432, 439, "Regulation"]], "tokenized_text": ["4", ".", "2", ".", "1", "Construction", "Contract", ";", "Cost", "Budget", ".", "Tenant", "shall", "engage", "the", "Contractor", "under", "an", "AIA", "A101", "Stipulated", "Sum", "Agreement", "(", "2007", "Version", ")", "accompanied", "by", "Landlords", "standard", "AIA", "A201", "General", "Conditions", "(", "2007", "Version", ")", "as", "modified", "by", "Landlord", "(", "collectively", ",", "the", "Contract", ")", ".", "Prior", "to", "the", "commencement", "of", "the", "construction", "of", "the", "Improvements", ",", "and", "after", "Tenant", "has", "accepted", "all", "bids", "for", "the", "Improvements", ",", "Tenant", "shall", "provide", "Landlord", "with", "a", "detailed", "breakdown", ",", "by", "trade", ",", "of", "the", "final", "costs", "to", "be", "incurred", "or", "which", "have", "been", "incurred", ",", "as", "set", "forth", "more", "particularly", "in", "Sections", "2", ".", "2", ".", "1", ".", "1", "through", "2", ".", "2", ".", "1", ".", "9", ",", "above", ",", "in", "connection", "with", "the", "design", "and", "construction", "of", "the", "Improvements", "to", "be", "performed", "by", "or", "at", "the", "direction", "of", "Tenant", "or", "the", "Contractor", ",", "which", "costs", "form", "a", "basis", "for", "the", "amount", "of", "the", "Contract", "(", "the", "Final", "Costs", ")", ".", "As", "used", "herein", ",", "the", "Over-Allowance", "Amount", "shall", "be", "equal", "to", "the", "difference", "between", "the", "amount", "of", "the", "Final", "Costs", "and", "the", "amount", "of", "the", "Improvement", "Allowance", "(", "less", "any", "portion", "thereof", "already", "disbursed", "by", "Landlord", ",", "or", "in", "the", "process", "of", "being", "disbursed", "by", "Landlord", ",", "on", "or", "before", "the", "commencement", "of", "construction", "of", "the", "Improvements", ")", ".", "If", "an", "Over-Allowance", "Amount", "exists", ",", "then", ",", "Tenant", "shall", "pay", "Tenants", "pro-rata", "share", "of", "each", "amount", "requested", "by", "the", "Contractor", "or", "otherwise", "to", "be", "disbursed", "under", "this", "Work", "Letter", "(", "which", "pro-rata", "share", "shall", "equal", "a", "fraction", ",", "the", "numerator", "of", "which", "shall", "equal", "the", "Over-Allowance", "Amount", ",", "and", "the", "denominator", "of", "which", "shall", "equal", "the", "Final", "Costs", ")", ",", "and", "such", "payment", "by", "Tenant", "(", "the", "Over-Allowance", "Payments", ")", "shall", "be", "a", "condition", "to", "Landlords", "obligation", "to", "pay", "any", "additional", "/", "future", "portions", "of", "the", "Improvement", "Allowance", "pursuant", "to", "the", "terms", "and", "conditions", "of", "Section2", ".", "2", ",", "above", ".", "In", "the", "event", "that", ",", "after", "the", "Final", "Costs", "have", "been", "delivered", "by", "Tenant", "to", "Landlord", ",", "the", "costs", "relating", "to", "the", "design", "and", "construction", "of", "the", "Improvements", "shall", "change", ",", "any", "additional", "costs", "necessary", "to", "such", "design", "and", "construction", "in", "excess", "of", "the", "Final", "Costs", ",", "shall", "be", "added", "to", "the", "Over-Allowance", "Amount", "and", "to", "the", "Final", "Costs", ",", "and", "the", "Over-Allowance", "Payments", "shall", "be", "recalculated", "in", "accordance", "with", "the", "terms", "of", "the", "immediately", "preceding", "sentence", ".", "In", "connection", "with", "any", "payment", "of", "the", "Over-Allowance", "Amount", "made", "by", "Tenant", "pursuant", "to", "this", "Section4", ".", "2", ".", "1", ",", "Tenant", "shall", "provide", "Landlord", "with", "the", "documents", "described", "in", "Sections", "2", ".", "2", ".", "2", ".", "1", "(", "0", ",", "(", "ii", ")", ",", "(", "iii", ")", "and", "(", "iv", ")", "of", "this", "Work", "Letter", ",", "above", ",", "for", "Landlords", "approval", ",", "prior", "to", "Tenant", "paying", "such", "costs", "."]}
{"id": "13948", "text": "4.3 Notice of Completion; Copy of Record Set of Plans. Within ten (10)business days after completion of construction of the Improvements, Tenant shall cause a Notice of Completion to be recorded in the office of the Recorder of the county in which the Building is located in accordance with Section3093 of the Civil Code of the State of California or any successor statute, and shall furnish a copy thereof to Landlord upon such recordation. If Tenant fails to do so, Landlord may execute and file the same as Tenants agent for such purpose, at Tenants sole cost and expense. At the conclusion of construction, (i)Tenant shall cause the Architect and Contractor (A)to update the Approved Working Drawings as necessary to reflect all changes made to the Approved Working Drawings during the course of construction, (B)to certify to the best of their knowledge that the record-set of as-built drawings are true and correct, which certification shall survive the expiration or termination of this Lease, and (C)to deliver to Landlord two (2)sets of copies of such record set of drawings within ninety (90)days following issuance of a certificate of occupancy for the Premises, and (ii)Tenant shall deliver to Landlord a copy of all warranties, guaranties, and operating manuals and information relating to the improvements, equipment, and systems in the Premises.", "ner": [[64, 66, "Court"]], "tokenized_text": ["4", ".", "3", "Notice", "of", "Completion", ";", "Copy", "of", "Record", "Set", "of", "Plans", ".", "Within", "ten", "(", "10", ")", "business", "days", "after", "completion", "of", "construction", "of", "the", "Improvements", ",", "Tenant", "shall", "cause", "a", "Notice", "of", "Completion", "to", "be", "recorded", "in", "the", "office", "of", "the", "Recorder", "of", "the", "county", "in", "which", "the", "Building", "is", "located", "in", "accordance", "with", "Section3093", "of", "the", "Civil", "Code", "of", "the", "State", "of", "California", "or", "any", "successor", "statute", ",", "and", "shall", "furnish", "a", "copy", "thereof", "to", "Landlord", "upon", "such", "recordation", ".", "If", "Tenant", "fails", "to", "do", "so", ",", "Landlord", "may", "execute", "and", "file", "the", "same", "as", "Tenants", "agent", "for", "such", "purpose", ",", "at", "Tenants", "sole", "cost", "and", "expense", ".", "At", "the", "conclusion", "of", "construction", ",", "(", "i", ")", "Tenant", "shall", "cause", "the", "Architect", "and", "Contractor", "(", "A", ")", "to", "update", "the", "Approved", "Working", "Drawings", "as", "necessary", "to", "reflect", "all", "changes", "made", "to", "the", "Approved", "Working", "Drawings", "during", "the", "course", "of", "construction", ",", "(", "B", ")", "to", "certify", "to", "the", "best", "of", "their", "knowledge", "that", "the", "record-set", "of", "as-built", "drawings", "are", "true", "and", "correct", ",", "which", "certification", "shall", "survive", "the", "expiration", "or", "termination", "of", "this", "Lease", ",", "and", "(", "C", ")", "to", "deliver", "to", "Landlord", "two", "(", "2", ")", "sets", "of", "copies", "of", "such", "record", "set", "of", "drawings", "within", "ninety", "(", "90", ")", "days", "following", "issuance", "of", "a", "certificate", "of", "occupancy", "for", "the", "Premises", ",", "and", "(", "ii", ")", "Tenant", "shall", "deliver", "to", "Landlord", "a", "copy", "of", "all", "warranties", ",", "guaranties", ",", "and", "operating", "manuals", "and", "information", "relating", "to", "the", "improvements", ",", "equipment", ",", "and", "systems", "in", "the", "Premises", "."]}
{"id": "13949", "text": "AS OF 07/16/2013&lt; br/&gt;", "ner": [], "tokenized_text": ["AS", "OF", "07", "/", "16", "/", "2013", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "13955", "text": "WE HEREBY ESTABLISH OUR IRREVOCABLE STANDBY LETTER OF CREDIT NO. IN YOUR FAVOR FOR THE ACCOUNT OF [Insert Tenants Name], A [Insert Entity Type], UP TO THE AGGREGATE AMOUNT OF USD [Insert Dollar Amount] ([Insert Dollar Amount] U.S. DOLLARS) EFFECTIVE IMMEDIATELY AND EXPIRING ON (Expiration Date) AVAILABLE BY PAYMENT UPON PRESENTATION OF YOUR DRAFT AT SIGHT DRAWN ON [Insert Bank Name] WHEN ACCOMPANIED BY THE FOLLOWING DOCUMENT(S):", "ner": [], "tokenized_text": ["WE", "HEREBY", "ESTABLISH", "OUR", "IRREVOCABLE", "STANDBY", "LETTER", "OF", "CREDIT", "NO", ".", "IN", "YOUR", "FAVOR", "FOR", "THE", "ACCOUNT", "OF", "[", "Insert", "Tenants", "Name", "]", ",", "A", "[", "Insert", "Entity", "Type", "]", ",", "UP", "TO", "THE", "AGGREGATE", "AMOUNT", "OF", "USD", "[", "Insert", "Dollar", "Amount", "]", "(", "[", "Insert", "Dollar", "Amount", "]", "U", ".", "S", ".", "DOLLARS", ")", "EFFECTIVE", "IMMEDIATELY", "AND", "EXPIRING", "ON", "(", "Expiration", "Date", ")", "AVAILABLE", "BY", "PAYMENT", "UPON", "PRESENTATION", "OF", "YOUR", "DRAFT", "AT", "SIGHT", "DRAWN", "ON", "[", "Insert", "Bank", "Name", "]", "WHEN", "ACCOMPANIED", "BY", "THE", "FOLLOWING", "DOCUMENT", "(", "S", ")", ":"]}
{"id": "13956", "text": "THE UNDERSIGNED HEREBY CERTIFIES THAT THE LANDLORD, EITHER (A)UNDER THE LEASE (DEFINED BELOW), OR (B)AS A RESULT OF THE TERMINATION OF SUCH LEASE, HAS THE RIGHT TO DRAW DOWN THE AMOUNT OF USD IN ACCORDANCE WITH THE TERMS OF THAT CERTAIN OFFICE LEASE DATED [Insert Lease Date], AS AMENDED (COLLECTIVELY, THE LEASE), OR SUCH AMOUNT CONSTITUTES DAMAGES OWING BY THE TENANT UNDER SUCH LEASE TO BENEFICIARY RESULTING FROM THE BREACH OF SUCH LEASE BY THE TENANT THEREUNDER, AND SUCH AMOUNT REMAINS UNPAID AT THE TIME OF THIS DRAWING.", "ner": [], "tokenized_text": ["THE", "UNDERSIGNED", "HEREBY", "CERTIFIES", "THAT", "THE", "LANDLORD", ",", "EITHER", "(", "A", ")", "UNDER", "THE", "LEASE", "(", "DEFINED", "BELOW", ")", ",", "OR", "(", "B", ")", "AS", "A", "RESULT", "OF", "THE", "TERMINATION", "OF", "SUCH", "LEASE", ",", "HAS", "THE", "RIGHT", "TO", "DRAW", "DOWN", "THE", "AMOUNT", "OF", "USD", "IN", "ACCORDANCE", "WITH", "THE", "TERMS", "OF", "THAT", "CERTAIN", "OFFICE", "LEASE", "DATED", "[", "Insert", "Lease", "Date", "]", ",", "AS", "AMENDED", "(", "COLLECTIVELY", ",", "THE", "LEASE", ")", ",", "OR", "SUCH", "AMOUNT", "CONSTITUTES", "DAMAGES", "OWING", "BY", "THE", "TENANT", "UNDER", "SUCH", "LEASE", "TO", "BENEFICIARY", "RESULTING", "FROM", "THE", "BREACH", "OF", "SUCH", "LEASE", "BY", "THE", "TENANT", "THEREUNDER", ",", "AND", "SUCH", "AMOUNT", "REMAINS", "UNPAID", "AT", "THE", "TIME", "OF", "THIS", "DRAWING", "."]}
{"id": "13957", "text": "THE UNDERSIGNED HEREBY CERTIFIES THAT BENEFICIARY IS ENTITLED TO DRAW DOWN THE FULL AMOUNT OF LETTER OF CREDIT NO. AS THE RESULT OF THE FILING OF A VOLUNTARY PETITION UNDER THE U.S. BANKRUPTCY CODE OR A STATE BANKRUPTCY CODE BY THE TENANT UNDER THAT CERTAIN OFFICE LEASE DATED [Insert Lease Date], AS AMENDED (COLLECTIVELY, THE LEASE), WHICH FILING HAS NOT BEEN DISMISSED AT THE TIME OF THIS DRAWING.", "ner": [[15, 19, "PII_Ref"], [32, 37, "Act"], [40, 42, "Act"]], "tokenized_text": ["THE", "UNDERSIGNED", "HEREBY", "CERTIFIES", "THAT", "BENEFICIARY", "IS", "ENTITLED", "TO", "DRAW", "DOWN", "THE", "FULL", "AMOUNT", "OF", "LETTER", "OF", "CREDIT", "NO", ".", "AS", "THE", "RESULT", "OF", "THE", "FILING", "OF", "A", "VOLUNTARY", "PETITION", "UNDER", "THE", "U", ".", "S", ".", "BANKRUPTCY", "CODE", "OR", "A", "STATE", "BANKRUPTCY", "CODE", "BY", "THE", "TENANT", "UNDER", "THAT", "CERTAIN", "OFFICE", "LEASE", "DATED", "[", "Insert", "Lease", "Date", "]", ",", "AS", "AMENDED", "(", "COLLECTIVELY", ",", "THE", "LEASE", ")", ",", "WHICH", "FILING", "HAS", "NOT", "BEEN", "DISMISSED", "AT", "THE", "TIME", "OF", "THIS", "DRAWING", "."]}
{"id": "13959", "text": "PARTIAL DRAWINGS AND MULTIPLE PRESENTATIONS MAY BE MADE UNDER THIS STANDBY LETTER OF CREDIT, PROVIDED, HOWEVER, THAT EACH SUCH DEMAND THAT IS PAID BY US SHALL REDUCE THE AMOUNT AVAILABLE UNDER THIS STANDBY LETTER OF CREDIT.", "ner": [], "tokenized_text": ["PARTIAL", "DRAWINGS", "AND", "MULTIPLE", "PRESENTATIONS", "MAY", "BE", "MADE", "UNDER", "THIS", "STANDBY", "LETTER", "OF", "CREDIT", ",", "PROVIDED", ",", "HOWEVER", ",", "THAT", "EACH", "SUCH", "DEMAND", "THAT", "IS", "PAID", "BY", "US", "SHALL", "REDUCE", "THE", "AMOUNT", "AVAILABLE", "UNDER", "THIS", "STANDBY", "LETTER", "OF", "CREDIT", "."]}
{"id": "13960", "text": "ALL INFORMATION REQUIRED WHETHER INDICATED BY BLANKS, BRACKETS OR OTHERWISE, MUST BE COMPLETED AT THE TIME OF DRAWING. [Please Provide The Required Forms For Review, And Attach As Schedules To The Letter Of Credit.]", "ner": [], "tokenized_text": ["ALL", "INFORMATION", "REQUIRED", "WHETHER", "INDICATED", "BY", "BLANKS", ",", "BRACKETS", "OR", "OTHERWISE", ",", "MUST", "BE", "COMPLETED", "AT", "THE", "TIME", "OF", "DRAWING", ".", "[", "Please", "Provide", "The", "Required", "Forms", "For", "Review", ",", "And", "Attach", "As", "Schedules", "To", "The", "Letter", "Of", "Credit", ".", "]"]}
{"id": "13961", "text": "IT IS A CONDITION OF THIS STANDBY LETTER OF CREDIT THAT IT SHALL BE DEEMED AUTOMATICALLY EXTENDED WITHOUT AMENDMENT FOR A PERIOD OF ONE YEAR FROM THE PRESENT OR ANY FUTURE EXPIRATION DATE, UNLESS AT LEAST SIXTY (60)DAYS PRIOR TO THE EXPIRATION DATE WE SEND YOU NOTICE BY NATIONALLY RECOGNIZED OVERNIGHT COURIER SERVICE THAT WE ELECT NOT TO EXTEND THIS LETTER OF CREDIT FOR ANY SUCH ADDITIONAL PERIOD. SAID NOTICE WILL BE SENT TO THE ADDRESS INDICATED ABOVE, UNLESS A CHANGE OF ADDRESS IS OTHERWISE NOTIFIED BY YOU TO US IN WRITING BY RECEIPTED MAIL OR COURIER. ANY NOTICE TO US WILL BE DEEMED EFFECTIVE ONLY UPON ACTUAL RECEIPT BY US AT OUR DESIGNATED OFFICE. IN NO EVENT, AND WITHOUT FURTHER NOTICE FROM OURSELVES, SHALL THE EXPIRATION DATE BE EXTENDED BEYOND A FINAL EXPIRATION DATE OF (120 days from the Lease Expiration Date).", "ner": [[23, 24, "TerminationDate"]], "tokenized_text": ["IT", "IS", "A", "CONDITION", "OF", "THIS", "STANDBY", "LETTER", "OF", "CREDIT", "THAT", "IT", "SHALL", "BE", "DEEMED", "AUTOMATICALLY", "EXTENDED", "WITHOUT", "AMENDMENT", "FOR", "A", "PERIOD", "OF", "ONE", "YEAR", "FROM", "THE", "PRESENT", "OR", "ANY", "FUTURE", "EXPIRATION", "DATE", ",", "UNLESS", "AT", "LEAST", "SIXTY", "(", "60", ")", "DAYS", "PRIOR", "TO", "THE", "EXPIRATION", "DATE", "WE", "SEND", "YOU", "NOTICE", "BY", "NATIONALLY", "RECOGNIZED", "OVERNIGHT", "COURIER", "SERVICE", "THAT", "WE", "ELECT", "NOT", "TO", "EXTEND", "THIS", "LETTER", "OF", "CREDIT", "FOR", "ANY", "SUCH", "ADDITIONAL", "PERIOD", ".", "SAID", "NOTICE", "WILL", "BE", "SENT", "TO", "THE", "ADDRESS", "INDICATED", "ABOVE", ",", "UNLESS", "A", "CHANGE", "OF", "ADDRESS", "IS", "OTHERWISE", "NOTIFIED", "BY", "YOU", "TO", "US", "IN", "WRITING", "BY", "RECEIPTED", "MAIL", "OR", "COURIER", ".", "ANY", "NOTICE", "TO", "US", "WILL", "BE", "DEEMED", "EFFECTIVE", "ONLY", "UPON", "ACTUAL", "RECEIPT", "BY", "US", "AT", "OUR", "DESIGNATED", "OFFICE", ".", "IN", "NO", "EVENT", ",", "AND", "WITHOUT", "FURTHER", "NOTICE", "FROM", "OURSELVES", ",", "SHALL", "THE", "EXPIRATION", "DATE", "BE", "EXTENDED", "BEYOND", "A", "FINAL", "EXPIRATION", "DATE", "OF", "(", "120", "days", "from", "the", "Lease", "Expiration", "Date", ")", "."]}
{"id": "13962", "text": "THIS LETTER OF CREDIT MAY BE TRANSFERRED SUCCESSIVELY IN WHOLE OR IN PART ONLY UP TO THE THEN AVAILABLE AMOUNT IN FAVOR OF A NOMINATED TRANSFEREE (TRANSFEREE), ASSUMING SUCH TRANSFER TO SUCH TRANSFEREE IS IN COMPLIANCE WITH ALL APPLICABLE U.S. LAWS AND REGULATIONS. AT THE TIME OF TRANSFER, THE ORIGINAL LETTER OF CREDIT AND ORIGINAL AMENDMENT(S) IF ANY, MUST BE SURRENDERED TO US TOGETHER WITH OUR TRANSFER FORM (AVAILABLE UPON REQUEST) AND PAYMENT OF OUR CUSTOMARY TRANSFER FEES BY APPLICANT. IN CASE OF ANY TRANSFER UNDER THIS LETTER OF CREDIT, THE DRAFT AND ANY REQUIRED STATEMENT MUST BE EXECUTED BY THE TRANSFEREE AND WHERE THE BENEFICIARYS NAME APPEARS WITHIN THIS STANDBY LETTER OF CREDIT, THE TRANSFEREES NAME IS AUTOMATICALLY SUBSTITUTED THEREFOR.", "ner": [], "tokenized_text": ["THIS", "LETTER", "OF", "CREDIT", "MAY", "BE", "TRANSFERRED", "SUCCESSIVELY", "IN", "WHOLE", "OR", "IN", "PART", "ONLY", "UP", "TO", "THE", "THEN", "AVAILABLE", "AMOUNT", "IN", "FAVOR", "OF", "A", "NOMINATED", "TRANSFEREE", "(", "TRANSFEREE", ")", ",", "ASSUMING", "SUCH", "TRANSFER", "TO", "SUCH", "TRANSFEREE", "IS", "IN", "COMPLIANCE", "WITH", "ALL", "APPLICABLE", "U", ".", "S", ".", "LAWS", "AND", "REGULATIONS", ".", "AT", "THE", "TIME", "OF", "TRANSFER", ",", "THE", "ORIGINAL", "LETTER", "OF", "CREDIT", "AND", "ORIGINAL", "AMENDMENT", "(", "S", ")", "IF", "ANY", ",", "MUST", "BE", "SURRENDERED", "TO", "US", "TOGETHER", "WITH", "OUR", "TRANSFER", "FORM", "(", "AVAILABLE", "UPON", "REQUEST", ")", "AND", "PAYMENT", "OF", "OUR", "CUSTOMARY", "TRANSFER", "FEES", "BY", "APPLICANT", ".", "IN", "CASE", "OF", "ANY", "TRANSFER", "UNDER", "THIS", "LETTER", "OF", "CREDIT", ",", "THE", "DRAFT", "AND", "ANY", "REQUIRED", "STATEMENT", "MUST", "BE", "EXECUTED", "BY", "THE", "TRANSFEREE", "AND", "WHERE", "THE", "BENEFICIARYS", "NAME", "APPEARS", "WITHIN", "THIS", "STANDBY", "LETTER", "OF", "CREDIT", ",", "THE", "TRANSFEREES", "NAME", "IS", "AUTOMATICALLY", "SUBSTITUTED", "THEREFOR", "."]}
{"id": "13964", "text": "PRESENTATION OF A DRAWING UNDER THIS LETTER OF CREDIT MAY BE MADE ON OR PRIOR TO THE THEN CURRENT EXPIRATION DATE HEREOF BY HAND DELIVERY, COURIER SERVICE, OVERNIGHT MAIL, OR FACSIMILE . PRESENTATION BY FACSIMILE TRANSMISSION SHALL BE BY TRANSMISSION OF THE ABOVE REQUIRED SIGHT DRAFT DRAWN ON US TOGETHER WITH THIS LETTER OF CREDIT TO OUR FACSIMILE NUMBER, [Insert Fax Number - ()-], ATTENTION: [Insert Appropriate Recipient], WITH TELEPHONIC CONFIRMATION OF OUR RECEIPT OF SUCH FACSIMILE TRANSMISSION AT OUR TELEPHONE NUMBER [Insert Telephone Number - ()-] OR TO SUCH OTHER FACSIMILE OR TELEPHONE NUMBERS, AS TO WHICH YOU HAVE RECEIVED WRITTEN NOTICE FROM US AS BEING THE APPLICABLE SUCH NUMBER. WE AGREE TO NOTIFY YOU IN WRITING, BY NATIONALLY RECOGNIZED OVERNIGHT COURIER SERVICE, OF ANY CHANGE IN SUCH DIRECTION. ANY FACSIMILE PRESENTATION PURSUANT TO THIS PARAGRAPH SHALL ALSO STATE THEREON THAT THE ORIGINAL OF SUCH SIGHT DRAFT AND LETTER OF CREDIT ARE BEING REMITTED, FOR DELIVERY ON THE NEXT BUSINESS DAY, TO [Insert Bank Name] AT THE APPLICABLE ADDRESS FOR PRESENTMENT PURSUANT TO THE PARAGRAPH PRECEDING THIS ONE.", "ner": [], "tokenized_text": ["PRESENTATION", "OF", "A", "DRAWING", "UNDER", "THIS", "LETTER", "OF", "CREDIT", "MAY", "BE", "MADE", "ON", "OR", "PRIOR", "TO", "THE", "THEN", "CURRENT", "EXPIRATION", "DATE", "HEREOF", "BY", "HAND", "DELIVERY", ",", "COURIER", "SERVICE", ",", "OVERNIGHT", "MAIL", ",", "OR", "FACSIMILE", ".", "PRESENTATION", "BY", "FACSIMILE", "TRANSMISSION", "SHALL", "BE", "BY", "TRANSMISSION", "OF", "THE", "ABOVE", "REQUIRED", "SIGHT", "DRAFT", "DRAWN", "ON", "US", "TOGETHER", "WITH", "THIS", "LETTER", "OF", "CREDIT", "TO", "OUR", "FACSIMILE", "NUMBER", ",", "[", "Insert", "Fax", "Number", "-", "(", ")", "-", "]", ",", "ATTENTION", ":", "[", "Insert", "Appropriate", "Recipient", "]", ",", "WITH", "TELEPHONIC", "CONFIRMATION", "OF", "OUR", "RECEIPT", "OF", "SUCH", "FACSIMILE", "TRANSMISSION", "AT", "OUR", "TELEPHONE", "NUMBER", "[", "Insert", "Telephone", "Number", "-", "(", ")", "-", "]", "OR", "TO", "SUCH", "OTHER", "FACSIMILE", "OR", "TELEPHONE", "NUMBERS", ",", "AS", "TO", "WHICH", "YOU", "HAVE", "RECEIVED", "WRITTEN", "NOTICE", "FROM", "US", "AS", "BEING", "THE", "APPLICABLE", "SUCH", "NUMBER", ".", "WE", "AGREE", "TO", "NOTIFY", "YOU", "IN", "WRITING", ",", "BY", "NATIONALLY", "RECOGNIZED", "OVERNIGHT", "COURIER", "SERVICE", ",", "OF", "ANY", "CHANGE", "IN", "SUCH", "DIRECTION", ".", "ANY", "FACSIMILE", "PRESENTATION", "PURSUANT", "TO", "THIS", "PARAGRAPH", "SHALL", "ALSO", "STATE", "THEREON", "THAT", "THE", "ORIGINAL", "OF", "SUCH", "SIGHT", "DRAFT", "AND", "LETTER", "OF", "CREDIT", "ARE", "BEING", "REMITTED", ",", "FOR", "DELIVERY", "ON", "THE", "NEXT", "BUSINESS", "DAY", ",", "TO", "[", "Insert", "Bank", "Name", "]", "AT", "THE", "APPLICABLE", "ADDRESS", "FOR", "PRESENTMENT", "PURSUANT", "TO", "THE", "PARAGRAPH", "PRECEDING", "THIS", "ONE", "."]}
{"id": "13968", "text": "A. Landlord and Tenant entered into that certain Office Lease dated December15, 2011 (the Lease), whereby Landlord leased to Tenant and Tenant leased from Landlord 62,852 rentable square feet of space (the Premises), located on the entirety of the second (2nd), third (3rd), fourth (4th), fifth (5th)and sixth (6th)floors of that certain building (the Building) located at 301 Brannan Street, San Francisco, California .", "ner": [[9, 10, "Title"], [12, 14, "EffectiveDate"], [30, 32, "Title"], [84, 91, "Address"]], "tokenized_text": ["A", ".", "Landlord", "and", "Tenant", "entered", "into", "that", "certain", "Office", "Lease", "dated", "December15", ",", "2011", "(", "the", "Lease", ")", ",", "whereby", "Landlord", "leased", "to", "Tenant", "and", "Tenant", "leased", "from", "Landlord", "62", ",", "852", "rentable", "square", "feet", "of", "space", "(", "the", "Premises", ")", ",", "located", "on", "the", "entirety", "of", "the", "second", "(", "2nd", ")", ",", "third", "(", "3rd", ")", ",", "fourth", "(", "4th", ")", ",", "fifth", "(", "5th", ")", "and", "sixth", "(", "6th", ")", "floors", "of", "that", "certain", "building", "(", "the", "Building", ")", "located", "at", "301", "Brannan", "Street", ",", "San", "Francisco", ",", "California", "."]}
{"id": "13970", "text": "D. Pursuant to the terms of that certain Sublease Agreement dated as of February, 2014 (the Sublease), by and between Tenant, as sublessor, and Okta, Inc. , a Delaware corporation (Subtenant), as sublessee, Tenant agreed to sublease to Subtenant the portion of the Premises located on the third (3rd), fourth (4th), and fifth (5th)floors of the Building, containing a total of 37,815 rentable square feet (the Sublet Premises). Landlord consented to the terms of the Sublease pursuant to that certain Consent to Sublease Agreement dated as of March31, 2014 (the Consent to Sublease), by and among Landlord, Tenant, and Subtenant. The portion of the Premises located on the second (2nd)and sixth (6th)floors of the Building, containing a total of 25,037 rentable square feet, is referred to herein as the Retained Premises. Concurrently herewith , Landlord, Tenant, and Subtenant are entering into that certain First Amendment to the Consent to Sublease Agreement, dated as of an even date herewith (the Consent to Sublease Amendment), which includes additional provisions relating to Tenants rent obligations and Landlords rights and remedies under the Lease (as hereby amended). The terms of the Consent to Sublease Amendment are hereby incorporated by reference into the Lease, and the Lease is amended thereby.", "ner": [[9, 10, "Title"], [14, 16, "EffectiveDate"], [31, 34, "Parties"], [84, 86, "Rent"], [108, 111, "Title"], [115, 117, "EffectiveDate"], [161, 163, "Rent"]], "tokenized_text": ["D", ".", "Pursuant", "to", "the", "terms", "of", "that", "certain", "Sublease", "Agreement", "dated", "as", "of", "February", ",", "2014", "(", "the", "Sublease", ")", ",", "by", "and", "between", "Tenant", ",", "as", "sublessor", ",", "and", "Okta", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "Subtenant", ")", ",", "as", "sublessee", ",", "Tenant", "agreed", "to", "sublease", "to", "Subtenant", "the", "portion", "of", "the", "Premises", "located", "on", "the", "third", "(", "3rd", ")", ",", "fourth", "(", "4th", ")", ",", "and", "fifth", "(", "5th", ")", "floors", "of", "the", "Building", ",", "containing", "a", "total", "of", "37", ",", "815", "rentable", "square", "feet", "(", "the", "Sublet", "Premises", ")", ".", "Landlord", "consented", "to", "the", "terms", "of", "the", "Sublease", "pursuant", "to", "that", "certain", "Consent", "to", "Sublease", "Agreement", "dated", "as", "of", "March31", ",", "2014", "(", "the", "Consent", "to", "Sublease", ")", ",", "by", "and", "among", "Landlord", ",", "Tenant", ",", "and", "Subtenant", ".", "The", "portion", "of", "the", "Premises", "located", "on", "the", "second", "(", "2nd", ")", "and", "sixth", "(", "6th", ")", "floors", "of", "the", "Building", ",", "containing", "a", "total", "of", "25", ",", "037", "rentable", "square", "feet", ",", "is", "referred", "to", "herein", "as", "the", "Retained", "Premises", ".", "Concurrently", "herewith", ",", "Landlord", ",", "Tenant", ",", "and", "Subtenant", "are", "entering", "into", "that", "certain", "First", "Amendment", "to", "the", "Consent", "to", "Sublease", "Agreement", ",", "dated", "as", "of", "an", "even", "date", "herewith", "(", "the", "Consent", "to", "Sublease", "Amendment", ")", ",", "which", "includes", "additional", "provisions", "relating", "to", "Tenants", "rent", "obligations", "and", "Landlords", "rights", "and", "remedies", "under", "the", "Lease", "(", "as", "hereby", "amended", ")", ".", "The", "terms", "of", "the", "Consent", "to", "Sublease", "Amendment", "are", "hereby", "incorporated", "by", "reference", "into", "the", "Lease", ",", "and", "the", "Lease", "is", "amended", "thereby", "."]}
{"id": "13971", "text": "3\\. Outstanding Rent. Landlord and Tenant acknowledge and agree that as of the date of this First Amendment, Tenant owes Landlord, as past-due Rent under the Lease, the amount of Two Hundred Eighty-Six Thousand Eight Hundred Seventy- Nine and 77/100 Dollars ($286,879.77) (the Outstanding Rent Amount) for the month of August 2015. Concurrently with Tenants execution of this First Amendment, Tenant shall pay the Outstanding Rent Amount to Landlord.", "ner": [[51, 56, "Rent"]], "tokenized_text": ["3", "\\", ".", "Outstanding", "Rent", ".", "Landlord", "and", "Tenant", "acknowledge", "and", "agree", "that", "as", "of", "the", "date", "of", "this", "First", "Amendment", ",", "Tenant", "owes", "Landlord", ",", "as", "past-due", "Rent", "under", "the", "Lease", ",", "the", "amount", "of", "Two", "Hundred", "Eighty-Six", "Thousand", "Eight", "Hundred", "Seventy", "-", "Nine", "and", "77", "/", "100", "Dollars", "(", "$", "286", ",", "879", ".", "77", ")", "(", "the", "Outstanding", "Rent", "Amount", ")", "for", "the", "month", "of", "August", "2015", ".", "Concurrently", "with", "Tenants", "execution", "of", "this", "First", "Amendment", ",", "Tenant", "shall", "pay", "the", "Outstanding", "Rent", "Amount", "to", "Landlord", "."]}
{"id": "13972", "text": "4\\. Prepaid Rent. Landlord and Tenant acknowledge and agree that the Base Rent and the estimate of Tenants Share of Direct Expenses due and owing with respect to the Retained Premises for the months of September and October 2015 is equal to $207,332.46 in the aggregate (the Prepaid Rent Amount), which consists of $200,296.00 in Base Rent obligations and $7,036.46 per month as the estimate of Tenants Share of Direct Expenses. Concurrently with Tenants execution of this First Amendment, Tenant shall pay the Prepaid Rent Amount to Landlord, and Landlord shall credit the amount of the Prepaid Rent against Tenants Base Rent and Tenants Share of Direct Expenses obligations applicable to the Retained Premises for such period.", "ner": [[45, 50, "Rent"], [64, 69, "Rent"], [75, 80, "Rent"]], "tokenized_text": ["4", "\\", ".", "Prepaid", "Rent", ".", "Landlord", "and", "Tenant", "acknowledge", "and", "agree", "that", "the", "Base", "Rent", "and", "the", "estimate", "of", "Tenants", "Share", "of", "Direct", "Expenses", "due", "and", "owing", "with", "respect", "to", "the", "Retained", "Premises", "for", "the", "months", "of", "September", "and", "October", "2015", "is", "equal", "to", "$", "207", ",", "332", ".", "46", "in", "the", "aggregate", "(", "the", "Prepaid", "Rent", "Amount", ")", ",", "which", "consists", "of", "$", "200", ",", "296", ".", "00", "in", "Base", "Rent", "obligations", "and", "$", "7", ",", "036", ".", "46", "per", "month", "as", "the", "estimate", "of", "Tenants", "Share", "of", "Direct", "Expenses", ".", "Concurrently", "with", "Tenants", "execution", "of", "this", "First", "Amendment", ",", "Tenant", "shall", "pay", "the", "Prepaid", "Rent", "Amount", "to", "Landlord", ",", "and", "Landlord", "shall", "credit", "the", "amount", "of", "the", "Prepaid", "Rent", "against", "Tenants", "Base", "Rent", "and", "Tenants", "Share", "of", "Direct", "Expenses", "obligations", "applicable", "to", "the", "Retained", "Premises", "for", "such", "period", "."]}
{"id": "13973", "text": "10\\. Broker. Landlord and Tenant hereby warrant to each other that they have had no dealings with any real estate broker or agent in connection with the negotiation of this First Amendment, and that they know of no real estate broker or agent who is entitled to a commission in connection with this First Amendment. Each party agrees to indemnify and defend the other party against and hold the other party harmless from and against any and all claims, demands, losses, liabilities, lawsuits, judgments, costs and expenses (including without limitation reasonable attorneys fees) with respect to any leasing commission or equivalent compensation alleged to be owing on account of any dealings with any real estate broker or agent, occurring by, through, or under the indemnifying party. The terms of this Section10 shall survive the expiration or earlier termination of the term of the Lease, as hereby amended.", "ner": [[33, 34, "Act"]], "tokenized_text": ["10", "\\", ".", "Broker", ".", "Landlord", "and", "Tenant", "hereby", "warrant", "to", "each", "other", "that", "they", "have", "had", "no", "dealings", "with", "any", "real", "estate", "broker", "or", "agent", "in", "connection", "with", "the", "negotiation", "of", "this", "First", "Amendment", ",", "and", "that", "they", "know", "of", "no", "real", "estate", "broker", "or", "agent", "who", "is", "entitled", "to", "a", "commission", "in", "connection", "with", "this", "First", "Amendment", ".", "Each", "party", "agrees", "to", "indemnify", "and", "defend", "the", "other", "party", "against", "and", "hold", "the", "other", "party", "harmless", "from", "and", "against", "any", "and", "all", "claims", ",", "demands", ",", "losses", ",", "liabilities", ",", "lawsuits", ",", "judgments", ",", "costs", "and", "expenses", "(", "including", "without", "limitation", "reasonable", "attorneys", "fees", ")", "with", "respect", "to", "any", "leasing", "commission", "or", "equivalent", "compensation", "alleged", "to", "be", "owing", "on", "account", "of", "any", "dealings", "with", "any", "real", "estate", "broker", "or", "agent", ",", "occurring", "by", ",", "through", ",", "or", "under", "the", "indemnifying", "party", ".", "The", "terms", "of", "this", "Section10", "shall", "survive", "the", "expiration", "or", "earlier", "termination", "of", "the", "term", "of", "the", "Lease", ",", "as", "hereby", "amended", "."]}
{"id": "13974", "text": "13\\. Prohibited Persons; Foreign Corrupt Practices Act and Anti-Money Laundering. Neither Tenant nor any of its affiliates, nor any of their respective members, partners or other equity holders, and none of their respective officers, directors or managers is, nor prior to or during the Lease Term, will they become a person or entity with whom U.S. persons or entities are restricted from doing business under (a)the Patriot Act ( as defined below), (b)any other requirements contained in the rules and regulations of the Office of Foreign Assets Control, Department of the Treasury (OFAC) (including any blocked person or entity listed in the Annex to Executive Order Nos. 12947, 13099 and 13224 and any modifications thereto or thereof or any other person or entity named on OFACs Specially Designated Blocked Persons List) or (c)any other U.S. statute, Executive Order (including the September24, 2001, Executive Order Blocking Property and Prohibiting Transactions with Persons Who Commit, Threaten to Commit or Support Terrorism) or other governmental action (collectively, Prohibited", "ner": [[6, 9, "Act"], [11, 12, "Act"], [82, 83, "Act"], [129, 137, "Regulation"], [176, 178, "Regulation"]], "tokenized_text": ["13", "\\", ".", "Prohibited", "Persons", ";", "Foreign", "Corrupt", "Practices", "Act", "and", "Anti-Money", "Laundering", ".", "Neither", "Tenant", "nor", "any", "of", "its", "affiliates", ",", "nor", "any", "of", "their", "respective", "members", ",", "partners", "or", "other", "equity", "holders", ",", "and", "none", "of", "their", "respective", "officers", ",", "directors", "or", "managers", "is", ",", "nor", "prior", "to", "or", "during", "the", "Lease", "Term", ",", "will", "they", "become", "a", "person", "or", "entity", "with", "whom", "U", ".", "S", ".", "persons", "or", "entities", "are", "restricted", "from", "doing", "business", "under", "(", "a", ")", "the", "Patriot", "Act", "(", "as", "defined", "below", ")", ",", "(", "b", ")", "any", "other", "requirements", "contained", "in", "the", "rules", "and", "regulations", "of", "the", "Office", "of", "Foreign", "Assets", "Control", ",", "Department", "of", "the", "Treasury", "(", "OFAC", ")", "(", "including", "any", "blocked", "person", "or", "entity", "listed", "in", "the", "Annex", "to", "Executive", "Order", "Nos", ".", "12947", ",", "13099", "and", "13224", "and", "any", "modifications", "thereto", "or", "thereof", "or", "any", "other", "person", "or", "entity", "named", "on", "OFACs", "Specially", "Designated", "Blocked", "Persons", "List", ")", "or", "(", "c", ")", "any", "other", "U", ".", "S", ".", "statute", ",", "Executive", "Order", "(", "including", "the", "September24", ",", "2001", ",", "Executive", "Order", "Blocking", "Property", "and", "Prohibiting", "Transactions", "with", "Persons", "Who", "Commit", ",", "Threaten", "to", "Commit", "or", "Support", "Terrorism", ")", "or", "other", "governmental", "action", "(", "collectively", ",", "Prohibited"]}
{"id": "13975", "text": "Persons). Prior to and during the Lease Term, Tenant, and to Tenants knowledge , its employees and any person acting on its behalf have at all times fully complied with, and are currently in full compliance with, the Foreign Corrupt Practices Act of 1977 and any other applicable anti-bribery or anti- corruption laws. Tenant is not entering into this First Amendment, directly or indirectly, in violation of any laws relating to drug trafficking, money laundering or predicate crimes to money laundering. As used herein, Patriot Act shall mean the USA Patriot Act of 2001 , 107 Public Law 56 (October26, 2001) and all other statutes, orders, rules and regulations of the U.S. government and its various executive departments, agencies and offices interpreting and implementing the Patriot Act.&lt; br/&gt;", "ner": [[44, 49, "Act"], [97, 98, "Act"], [102, 106, "Act"], [108, 111, "Regulation"], [113, 115, "EffectiveDate"]], "tokenized_text": ["Persons", ")", ".", "Prior", "to", "and", "during", "the", "Lease", "Term", ",", "Tenant", ",", "and", "to", "Tenants", "knowledge", ",", "its", "employees", "and", "any", "person", "acting", "on", "its", "behalf", "have", "at", "all", "times", "fully", "complied", "with", ",", "and", "are", "currently", "in", "full", "compliance", "with", ",", "the", "Foreign", "Corrupt", "Practices", "Act", "of", "1977", "and", "any", "other", "applicable", "anti-bribery", "or", "anti", "-", "corruption", "laws", ".", "Tenant", "is", "not", "entering", "into", "this", "First", "Amendment", ",", "directly", "or", "indirectly", ",", "in", "violation", "of", "any", "laws", "relating", "to", "drug", "trafficking", ",", "money", "laundering", "or", "predicate", "crimes", "to", "money", "laundering", ".", "As", "used", "herein", ",", "Patriot", "Act", "shall", "mean", "the", "USA", "Patriot", "Act", "of", "2001", ",", "107", "Public", "Law", "56", "(", "October26", ",", "2001", ")", "and", "all", "other", "statutes", ",", "orders", ",", "rules", "and", "regulations", "of", "the", "U", ".", "S", ".", "government", "and", "its", "various", "executive", "departments", ",", "agencies", "and", "offices", "interpreting", "and", "implementing", "the", "Patriot", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "13976", "text": "ISSUANCE AND RELEASE AGREEMENT", "ner": [[2, 3, "Title"]], "tokenized_text": ["ISSUANCE", "AND", "RELEASE", "AGREEMENT"]}
{"id": "13977", "text": "ISSUANCE AND RELEASE AGREEMENT (the Agreement), dated as of January 6, 2017 , by and between Presidential Realty Corporation , a Delaware corporation (the Company), and Jeffrey Rogers (Releasor).", "ner": [[2, 3, "Title"], [12, 15, "EffectiveDate"], [20, 22, "Parties"], [33, 34, "Parties"]], "tokenized_text": ["ISSUANCE", "AND", "RELEASE", "AGREEMENT", "(", "the", "Agreement", ")", ",", "dated", "as", "of", "January", "6", ",", "2017", ",", "by", "and", "between", "Presidential", "Realty", "Corporation", ",", "a", "Delaware", "corporation", "(", "the", "Company", ")", ",", "and", "Jeffrey", "Rogers", "(", "Releasor", ")", "."]}
{"id": "13978", "text": "c.Investor Representations. Releasor is acquiring the Companys Class B common stock for investment for his own account, not as a nominee or agent, and not with a view to, or for sale in connection with, any distribution, resale or public offering of such shares or any part thereof in violation of the Securities Act of 1933 , as amended (the Securities Act). Releasor either alone or together with his representatives, has such knowledge, sophistication and experience in business and financial matters so as to be capable of evaluating the merits and risks of the prospective investment in the Companys Class B common stock, and has so evaluated the merits and risks of such investment. Releasor is able to bear the economic risk of an investment in the Companys Class B common stock and, at the present time, is able to afford a complete loss of such investment. Releasor acknowledges that he has been afforded the opportunity to ask such questions as he has deemed necessary of, and to receive answers from, representatives of the Company concerning the merits and risks of investing in the Companys Class B common stock. Releasor understands that (i) the Companys Class B common stock to be issued to him has not been registered under the Securities Act or the securities or blue-sky laws of any state and (ii)such shares may not be sold, pledged or otherwise transferred unless such transfer is registered under the Securities Act and the securities or blue-sky laws of any applicable state or there is an exemption from registration thereunder.", "ner": [[60, 63, "Act"]], "tokenized_text": ["c", ".", "Investor", "Representations", ".", "Releasor", "is", "acquiring", "the", "Companys", "Class", "B", "common", "stock", "for", "investment", "for", "his", "own", "account", ",", "not", "as", "a", "nominee", "or", "agent", ",", "and", "not", "with", "a", "view", "to", ",", "or", "for", "sale", "in", "connection", "with", ",", "any", "distribution", ",", "resale", "or", "public", "offering", "of", "such", "shares", "or", "any", "part", "thereof", "in", "violation", "of", "the", "Securities", "Act", "of", "1933", ",", "as", "amended", "(", "the", "Securities", "Act", ")", ".", "Releasor", "either", "alone", "or", "together", "with", "his", "representatives", ",", "has", "such", "knowledge", ",", "sophistication", "and", "experience", "in", "business", "and", "financial", "matters", "so", "as", "to", "be", "capable", "of", "evaluating", "the", "merits", "and", "risks", "of", "the", "prospective", "investment", "in", "the", "Companys", "Class", "B", "common", "stock", ",", "and", "has", "so", "evaluated", "the", "merits", "and", "risks", "of", "such", "investment", ".", "Releasor", "is", "able", "to", "bear", "the", "economic", "risk", "of", "an", "investment", "in", "the", "Companys", "Class", "B", "common", "stock", "and", ",", "at", "the", "present", "time", ",", "is", "able", "to", "afford", "a", "complete", "loss", "of", "such", "investment", ".", "Releasor", "acknowledges", "that", "he", "has", "been", "afforded", "the", "opportunity", "to", "ask", "such", "questions", "as", "he", "has", "deemed", "necessary", "of", ",", "and", "to", "receive", "answers", "from", ",", "representatives", "of", "the", "Company", "concerning", "the", "merits", "and", "risks", "of", "investing", "in", "the", "Companys", "Class", "B", "common", "stock", ".", "Releasor", "understands", "that", "(", "i", ")", "the", "Companys", "Class", "B", "common", "stock", "to", "be", "issued", "to", "him", "has", "not", "been", "registered", "under", "the", "Securities", "Act", "or", "the", "securities", "or", "blue-sky", "laws", "of", "any", "state", "and", "(", "ii", ")", "such", "shares", "may", "not", "be", "sold", ",", "pledged", "or", "otherwise", "transferred", "unless", "such", "transfer", "is", "registered", "under", "the", "Securities", "Act", "and", "the", "securities", "or", "blue-sky", "laws", "of", "any", "applicable", "state", "or", "there", "is", "an", "exemption", "from", "registration", "thereunder", "."]}
{"id": "13980", "text": "| Presidential Realty Corporation ---|--- | | By: | /s/ Alexander Ludwig | Name: | Alexander Ludwig | Title: | President", "ner": [[1, 3, "Parties"], [19, 20, "Parties"], [31, 31, "Role"]], "tokenized_text": ["|", "Presidential", "Realty", "Corporation", "-", "-", "-", "|", "-", "-", "-", "|", "|", "By", ":", "|", "/", "s", "/", "Alexander", "Ludwig", "|", "Name", ":", "|", "Alexander", "Ludwig", "|", "Title", ":", "|", "President"]}
{"id": "13983", "text": "| Address: | 12 E. 86th Street, Unit 921 ---|---|--- | | New York, NY 10028", "ner": [[4, 11, "Address"], [25, 29, "Address"]], "tokenized_text": ["|", "Address", ":", "|", "12", "E", ".", "86th", "Street", ",", "Unit", "921", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "|", "New", "York", ",", "NY", "10028"]}
{"id": "13984", "text": "EX-10.1 2 ex101.htm SETTLEMENT AND RELEASE AGREEMENT BETWEEN GHS INVESTMENTS, LLC AND SIMLATUS CORPORATION", "ner": [[7, 10, "Title"], [12, 15, "Parties"], [17, 18, "Parties"]], "tokenized_text": ["EX-10", ".", "1", "2", "ex101", ".", "htm", "SETTLEMENT", "AND", "RELEASE", "AGREEMENT", "BETWEEN", "GHS", "INVESTMENTS", ",", "LLC", "AND", "SIMLATUS", "CORPORATION"]}
{"id": "13987", "text": "WHEREAS, GHS owns that certain Convertible Promissory Note of the Company in the original aggregate principal amount of $15,886 ; dated April 28, 2016 (which tacks back to a Convertible Promissory Note between Direct Capital Group, Inc. and Grid Petroleum Corp. and dated June 30, 2015) (Existing Note), a copy of which is attached to this Agreement as Attachment A.", "ner": [[19, 22, "Principal"], [25, 28, "EffectiveDate"], [39, 44, "Parties"], [46, 49, "Parties"], [52, 55, "EffectiveDate"]], "tokenized_text": ["WHEREAS", ",", "GHS", "owns", "that", "certain", "Convertible", "Promissory", "Note", "of", "the", "Company", "in", "the", "original", "aggregate", "principal", "amount", "of", "$", "15", ",", "886", ";", "dated", "April", "28", ",", "2016", "(", "which", "tacks", "back", "to", "a", "Convertible", "Promissory", "Note", "between", "Direct", "Capital", "Group", ",", "Inc", ".", "and", "Grid", "Petroleum", "Corp", ".", "and", "dated", "June", "30", ",", "2015", ")", "(", "Existing", "Note", ")", ",", "a", "copy", "of", "which", "is", "attached", "to", "this", "Agreement", "as", "Attachment", "A", "."]}
{"id": "13989", "text": "This Separation and Release Agreement (thisAgreement), dated October 6, 2016 (the Effective Date), confirms the following understandings and agreements between Gardner Denver, Inc. (theCompany) and Saeid Rahimian (hereinafter referred to as you or your).", "ner": [[1, 4, "Title"], [10, 13, "EffectiveDate"], [27, 31, "Parties"], [36, 37, "Parties"]], "tokenized_text": ["This", "Separation", "and", "Release", "Agreement", "(", "thisAgreement", ")", ",", "dated", "October", "6", ",", "2016", "(", "the", "Effective", "Date", ")", ",", "confirms", "the", "following", "understandings", "and", "agreements", "between", "Gardner", "Denver", ",", "Inc", ".", "(", "theCompany", ")", "and", "Saeid", "Rahimian", "(", "hereinafter", "referred", "to", "as", "you", "or", "your", ")", "."]}
{"id": "13990", "text": "17. Governing Law; Jurisdiction. EXCEPT WHERE PREEMPTED BY FEDERAL LAW, THIS AGREEMENT SHALL BE GOVERNED BY AND CONSTRUED IN ACCORDANCE WITH FEDERAL LAW AND THE LAWS OF THE STATE OF DELAWARE, APPLICABLE TO AGREEMENTS MADE AND TO BE PERFORMED IN THAT STATE. EACH PARTY TO THIS AGREEMENT HEREBY WAIVES ANY RIGHT TO TRIAL BY JURY IN CONNECTION WITH ANY SUIT, ACTION OR PROCEEDING UNDER OR IN CONNECTION WITH THIS AGREEMENT.", "ner": [[32, 34, "Court"]], "tokenized_text": ["17", ".", "Governing", "Law", ";", "Jurisdiction", ".", "EXCEPT", "WHERE", "PREEMPTED", "BY", "FEDERAL", "LAW", ",", "THIS", "AGREEMENT", "SHALL", "BE", "GOVERNED", "BY", "AND", "CONSTRUED", "IN", "ACCORDANCE", "WITH", "FEDERAL", "LAW", "AND", "THE", "LAWS", "OF", "THE", "STATE", "OF", "DELAWARE", ",", "APPLICABLE", "TO", "AGREEMENTS", "MADE", "AND", "TO", "BE", "PERFORMED", "IN", "THAT", "STATE", ".", "EACH", "PARTY", "TO", "THIS", "AGREEMENT", "HEREBY", "WAIVES", "ANY", "RIGHT", "TO", "TRIAL", "BY", "JURY", "IN", "CONNECTION", "WITH", "ANY", "SUIT", ",", "ACTION", "OR", "PROCEEDING", "UNDER", "OR", "IN", "CONNECTION", "WITH", "THIS", "AGREEMENT", "."]}
{"id": "13991", "text": "| GARDNER DENVER, INC. ---|--- | | | By: | /s/ Andrew Schiesl | | Name: Andrew Schiesl | | Title: Vice President | | | /s/ Saeid Rahimian | Saeid Rahimian | Dated: October 6, 2016 | |", "ner": [[1, 5, "Parties"], [22, 23, "Parties"], [34, 35, "Role"], [42, 43, "Parties"], [50, 53, "EffectiveDate"]], "tokenized_text": ["|", "GARDNER", "DENVER", ",", "INC", ".", "-", "-", "-", "|", "-", "-", "-", "|", "|", "|", "By", ":", "|", "/", "s", "/", "Andrew", "Schiesl", "|", "|", "Name", ":", "Andrew", "Schiesl", "|", "|", "Title", ":", "Vice", "President", "|", "|", "|", "/", "s", "/", "Saeid", "Rahimian", "|", "Saeid", "Rahimian", "|", "Dated", ":", "October", "6", ",", "2016", "|", "|"]}
{"id": "13992", "text": "EXCEPT WHERE PREEMPTED BY FEDERAL LAW, THIS RELEASE SHALL BE GOVERNED BY AND CONSTRUED IN ACCORDANCE WITH FEDERAL LAW AND THE LAWS OF THE STATE OF DELAWARE, APPLICABLE TO AGREEMENTS MADE AND TO BE PERFORMED IN THAT STATE WITHOUT GIVING EFFECT TO THE PRINCIPLES OF CONFLICTS OF LAWS. I HEREBY WAIVE ANY RIGHT TO TRIAL BY JURY IN CONNECTION WITH ANY SUIT, ACTION, OR PROCEEDING UNDER OR IN CONNECTION WITH THIS RELEASE.", "ner": [[25, 27, "Court"]], "tokenized_text": ["EXCEPT", "WHERE", "PREEMPTED", "BY", "FEDERAL", "LAW", ",", "THIS", "RELEASE", "SHALL", "BE", "GOVERNED", "BY", "AND", "CONSTRUED", "IN", "ACCORDANCE", "WITH", "FEDERAL", "LAW", "AND", "THE", "LAWS", "OF", "THE", "STATE", "OF", "DELAWARE", ",", "APPLICABLE", "TO", "AGREEMENTS", "MADE", "AND", "TO", "BE", "PERFORMED", "IN", "THAT", "STATE", "WITHOUT", "GIVING", "EFFECT", "TO", "THE", "PRINCIPLES", "OF", "CONFLICTS", "OF", "LAWS", ".", "I", "HEREBY", "WAIVE", "ANY", "RIGHT", "TO", "TRIAL", "BY", "JURY", "IN", "CONNECTION", "WITH", "ANY", "SUIT", ",", "ACTION", ",", "OR", "PROCEEDING", "UNDER", "OR", "IN", "CONNECTION", "WITH", "THIS", "RELEASE", "."]}
{"id": "13994", "text": "AIRCRAFT DRY LEASE AGREEMENT", "ner": [[0, 3, "Title"]], "tokenized_text": ["AIRCRAFT", "DRY", "LEASE", "AGREEMENT"]}
{"id": "13995", "text": "THIS AIRCRAFT DRY LEASE AGREEMENT (this Lease) is entered in effective as of January11, 2017 , by and between MSG SPORTS&amp; ENTERTAINMENT, LLC , a Delaware limited liability company with an address at Two Pennsylvania Plaza, New York, New York 10121 (Lessor or MSG) and QUART 2C, LLC , a Delaware limited liability company with an address at P.O. Box 420, Oyster Bay, New York 11771 (Lessee or Q2C).", "ner": [[1, 4, "Title"], [15, 17, "EffectiveDate"], [22, 29, "Parties"], [40, 49, "Address"], [56, 59, "Parties"]], "tokenized_text": ["THIS", "AIRCRAFT", "DRY", "LEASE", "AGREEMENT", "(", "this", "Lease", ")", "is", "entered", "in", "effective", "as", "of", "January11", ",", "2017", ",", "by", "and", "between", "MSG", "SPORTS", "&", "amp", ";", "ENTERTAINMENT", ",", "LLC", ",", "a", "Delaware", "limited", "liability", "company", "with", "an", "address", "at", "Two", "Pennsylvania", "Plaza", ",", "New", "York", ",", "New", "York", "10121", "(", "Lessor", "or", "MSG", ")", "and", "QUART", "2C", ",", "LLC", ",", "a", "Delaware", "limited", "liability", "company", "with", "an", "address", "at", "P", ".", "O", ".", "Box", "420", ",", "Oyster", "Bay", ",", "New", "York", "11771", "(", "Lessee", "or", "Q2C", ")", "."]}
{"id": "13997", "text": "(c) Not later than thirty(30) days following June30 (the True-Up Date) each year during the Term, MSG shall provide toQ2C a statement showing the total number of hours of use of the Aircraft from July1 of the preceding year to and including the True-Up Date. Pursuant to that certain Aircraft Dry Lease Agreement, dated as of January11, 2017 , between MSG and Q2C (the G450 Dry", "ner": [[58, 61, "Title"], [66, 68, "EffectiveDate"], [73, 73, "Parties"]], "tokenized_text": ["(", "c", ")", "Not", "later", "than", "thirty", "(", "30", ")", "days", "following", "June30", "(", "the", "True-Up", "Date", ")", "each", "year", "during", "the", "Term", ",", "MSG", "shall", "provide", "toQ2C", "a", "statement", "showing", "the", "total", "number", "of", "hours", "of", "use", "of", "the", "Aircraft", "from", "July1", "of", "the", "preceding", "year", "to", "and", "including", "the", "True-Up", "Date", ".", "Pursuant", "to", "that", "certain", "Aircraft", "Dry", "Lease", "Agreement", ",", "dated", "as", "of", "January11", ",", "2017", ",", "between", "MSG", "and", "Q2C", "(", "the", "G450", "Dry"]}
{"id": "13998", "text": "14\\. Cross Indemnities ; LIMITATION ON LIABILITY.", "ner": [[3, 4, "Title"]], "tokenized_text": ["14", "\\", ".", "Cross", "Indemnities", ";", "LIMITATION", "ON", "LIABILITY", "."]}
{"id": "14001", "text": "18\\. Governing Law. This Lease shall be governed by and construed in accordance with the laws of the State of New York, determined without regard to its conflicts of laws principles. If any provision of this Lease conflicts with any statute or rule of law of the State of New York or is otherwise unenforceable, such provision shall be deemed null and void only to the extent of such conflict or unenforceability and shall be deemed separate from and shall not invalidate any other provision of this Lease.", "ner": [[21, 24, "Court"]], "tokenized_text": ["18", "\\", ".", "Governing", "Law", ".", "This", "Lease", "shall", "be", "governed", "by", "and", "construed", "in", "accordance", "with", "the", "laws", "of", "the", "State", "of", "New", "York", ",", "determined", "without", "regard", "to", "its", "conflicts", "of", "laws", "principles", ".", "If", "any", "provision", "of", "this", "Lease", "conflicts", "with", "any", "statute", "or", "rule", "of", "law", "of", "the", "State", "of", "New", "York", "or", "is", "otherwise", "unenforceable", ",", "such", "provision", "shall", "be", "deemed", "null", "and", "void", "only", "to", "the", "extent", "of", "such", "conflict", "or", "unenforceability", "and", "shall", "be", "deemed", "separate", "from", "and", "shall", "not", "invalidate", "any", "other", "provision", "of", "this", "Lease", "."]}
{"id": "14002", "text": "21\\. Counterparts. This Lease may for all purposes be executed in several counterparts, each of which shall be deemed an original, and all such counterparts, taken together, shall constitute the same instrument, even though all parties may not have executed the same counterpart of this Lease. Each party may transmit its signature by confirmed facsimile or PDF transmission, and such signatures shall have the same force and effect as an original signature.", "ner": [], "tokenized_text": ["21", "\\", ".", "Counterparts", ".", "This", "Lease", "may", "for", "all", "purposes", "be", "executed", "in", "several", "counterparts", ",", "each", "of", "which", "shall", "be", "deemed", "an", "original", ",", "and", "all", "such", "counterparts", ",", "taken", "together", ",", "shall", "constitute", "the", "same", "instrument", ",", "even", "though", "all", "parties", "may", "not", "have", "executed", "the", "same", "counterpart", "of", "this", "Lease", ".", "Each", "party", "may", "transmit", "its", "signature", "by", "confirmed", "facsimile", "or", "PDF", "transmission", ",", "and", "such", "signatures", "shall", "have", "the", "same", "force", "and", "effect", "as", "an", "original", "signature", "."]}
{"id": "14006", "text": "1\\. Mail a copy of this Lease to the following address via certified mail, return receipt requested, immediately upon execution of this Lease ( 14 C.F.R. 91 .23 requires that the copy be sent within twenty-four (24)hours after it is signed):", "ner": [[28, 37, "Regulation"]], "tokenized_text": ["1", "\\", ".", "Mail", "a", "copy", "of", "this", "Lease", "to", "the", "following", "address", "via", "certified", "mail", ",", "return", "receipt", "requested", ",", "immediately", "upon", "execution", "of", "this", "Lease", "(", "14", "C", ".", "F", ".", "R", ".", "91", ".", "23", "requires", "that", "the", "copy", "be", "sent", "within", "twenty-four", "(", "24", ")", "hours", "after", "it", "is", "signed", ")", ":"]}
{"id": "14008", "text": "On behalf of ServiceNow, Inc. (the Company), this letter agreement (the Agreement) sets forth the terms and conditions of your appointment as President and Chief Executive Officer of the Company.", "ner": [[3, 6, "Parties"], [13, 14, "Title"], [29, 29, "Role"], [31, 33, "Role"]], "tokenized_text": ["On", "behalf", "of", "ServiceNow", ",", "Inc", ".", "(", "the", "Company", ")", ",", "this", "letter", "agreement", "(", "the", "Agreement", ")", "sets", "forth", "the", "terms", "and", "conditions", "of", "your", "appointment", "as", "President", "and", "Chief", "Executive", "Officer", "of", "the", "Company", "."]}
{"id": "14009", "text": "| 1. | Position. Effective on April 1, 2017 , you will be appointed as the Companys President and Chief Executive Officer (CEO) reporting to the Companys Board of Directors (the Board). You will have all of the duties, responsibilities and authority commensurate with the position. Your employment with the Company will commence as soon as practicable on a date to be determined by you and the Board, which shall be no later than April1, 2017 (such start date, your Start Date); provided that the effective date of your appointment as CEO and as a member of the Board (as set forth below) shall be April 1, 2017 . Your office will be at the Companys headquarters, currently located in Santa Clara, CA. ---|---|--- You will be expected to devote your full working time and attention to the business of the Company, and you will not render services to any other business without the prior approval of the Board. Notwithstanding the foregoing, you may manage personal investments, participate in civic, charitable, professional and academic activities (including serving on boards and committees), and, subject to prior approval by the Board, serve on the board of directors (and any committees) and/or as an advisor of other for- profit companies, provided that such activities do not at the time the activity or activities commence or thereafter (i)create an actual or potential business or fiduciary conflict of interest or (ii)individually or in the aggregate, interfere materially with the performance of your duties to the Company.", "ner": [[8, 11, "EffectiveDate"], [20, 20, "Role"], [22, 24, "Role"], [26, 26, "Role"], [107, 107, "Role"], [140, 143, "Address"]], "tokenized_text": ["|", "1", ".", "|", "Position", ".", "Effective", "on", "April", "1", ",", "2017", ",", "you", "will", "be", "appointed", "as", "the", "Companys", "President", "and", "Chief", "Executive", "Officer", "(", "CEO", ")", "reporting", "to", "the", "Companys", "Board", "of", "Directors", "(", "the", "Board", ")", ".", "You", "will", "have", "all", "of", "the", "duties", ",", "responsibilities", "and", "authority", "commensurate", "with", "the", "position", ".", "Your", "employment", "with", "the", "Company", "will", "commence", "as", "soon", "as", "practicable", "on", "a", "date", "to", "be", "determined", "by", "you", "and", "the", "Board", ",", "which", "shall", "be", "no", "later", "than", "April1", ",", "2017", "(", "such", "start", "date", ",", "your", "Start", "Date", ")", ";", "provided", "that", "the", "effective", "date", "of", "your", "appointment", "as", "CEO", "and", "as", "a", "member", "of", "the", "Board", "(", "as", "set", "forth", "below", ")", "shall", "be", "April", "1", ",", "2017", ".", "Your", "office", "will", "be", "at", "the", "Companys", "headquarters", ",", "currently", "located", "in", "Santa", "Clara", ",", "CA", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "You", "will", "be", "expected", "to", "devote", "your", "full", "working", "time", "and", "attention", "to", "the", "business", "of", "the", "Company", ",", "and", "you", "will", "not", "render", "services", "to", "any", "other", "business", "without", "the", "prior", "approval", "of", "the", "Board", ".", "Notwithstanding", "the", "foregoing", ",", "you", "may", "manage", "personal", "investments", ",", "participate", "in", "civic", ",", "charitable", ",", "professional", "and", "academic", "activities", "(", "including", "serving", "on", "boards", "and", "committees", ")", ",", "and", ",", "subject", "to", "prior", "approval", "by", "the", "Board", ",", "serve", "on", "the", "board", "of", "directors", "(", "and", "any", "committees", ")", "and", "/", "or", "as", "an", "advisor", "of", "other", "for", "-", "profit", "companies", ",", "provided", "that", "such", "activities", "do", "not", "at", "the", "time", "the", "activity", "or", "activities", "commence", "or", "thereafter", "(", "i", ")", "create", "an", "actual", "or", "potential", "business", "or", "fiduciary", "conflict", "of", "interest", "or", "(", "ii", ")", "individually", "or", "in", "the", "aggregate", ",", "interfere", "materially", "with", "the", "performance", "of", "your", "duties", "to", "the", "Company", "."]}
{"id": "14011", "text": "The applicable 25% Absolute Metric or 50% Absolute Metric must be satisfied for each Time-Based Vesting Tranche for any shares to vest in such Time-Based Vesting Tranche. If a time-based vesting date for a Time-Based Vesting Tranche occurs and the applicable 25% Absolute Metric or 50% Absolute Metric is not achieved for the Time-Based Vesting Tranche on such time-based vesting date, the number of shares that would have vested in such Time-Based Vesting Tranche will not vest, but will instead roll forward (the Roll-Forward) until the next time-based vesting date on which the applicable 25% Absolute Metric or 50% Absolute Metric is achieved, and on such time-based vesting date, all accrued Roll-Forward shares will vest. After such vesting event, the balance of the New-Hire Option will continue to vest pursuant to the time-based vesting schedule, subject to achievement of the applicable 25% Absolute Metric or 50% Absolute Metric for the original time-based vesting date on each later time-based vesting date, as described above. For purposes of clarity, a Time- Based Vesting Tranche subject to the 25% Absolute Metric that Rolls Forward beyond thirty (30)months following the Start Date remains subject to the 25 % Absolute Metric. If, as of the final vesting date in the time-based vesting schedule, the applicable 25% Absolute Metric or 50% Absolute Metric is not achieved with respect to any Time-Based Vesting Tranche, additional shares will vest, subject to Section8 below, if the applicable 25% Absolute Metric or 50% Absolute Metric is achieved during the remaining term of the New-Hire Option while you remain employed as CEO of the Company.", "ner": [[2, 3, "Percentage"], [7, 8, "Percentage"], [49, 50, "Percentage"], [108, 109, "Percentage"], [162, 163, "Percentage"], [244, 245, "Percentage"], [277, 278, "Percentage"], [296, 296, "Role"]], "tokenized_text": ["The", "applicable", "25", "%", "Absolute", "Metric", "or", "50", "%", "Absolute", "Metric", "must", "be", "satisfied", "for", "each", "Time-Based", "Vesting", "Tranche", "for", "any", "shares", "to", "vest", "in", "such", "Time-Based", "Vesting", "Tranche", ".", "If", "a", "time-based", "vesting", "date", "for", "a", "Time-Based", "Vesting", "Tranche", "occurs", "and", "the", "applicable", "25", "%", "Absolute", "Metric", "or", "50", "%", "Absolute", "Metric", "is", "not", "achieved", "for", "the", "Time-Based", "Vesting", "Tranche", "on", "such", "time-based", "vesting", "date", ",", "the", "number", "of", "shares", "that", "would", "have", "vested", "in", "such", "Time-Based", "Vesting", "Tranche", "will", "not", "vest", ",", "but", "will", "instead", "roll", "forward", "(", "the", "Roll-Forward", ")", "until", "the", "next", "time-based", "vesting", "date", "on", "which", "the", "applicable", "25", "%", "Absolute", "Metric", "or", "50", "%", "Absolute", "Metric", "is", "achieved", ",", "and", "on", "such", "time-based", "vesting", "date", ",", "all", "accrued", "Roll-Forward", "shares", "will", "vest", ".", "After", "such", "vesting", "event", ",", "the", "balance", "of", "the", "New-Hire", "Option", "will", "continue", "to", "vest", "pursuant", "to", "the", "time-based", "vesting", "schedule", ",", "subject", "to", "achievement", "of", "the", "applicable", "25", "%", "Absolute", "Metric", "or", "50", "%", "Absolute", "Metric", "for", "the", "original", "time-based", "vesting", "date", "on", "each", "later", "time-based", "vesting", "date", ",", "as", "described", "above", ".", "For", "purposes", "of", "clarity", ",", "a", "Time", "-", "Based", "Vesting", "Tranche", "subject", "to", "the", "25", "%", "Absolute", "Metric", "that", "Rolls", "Forward", "beyond", "thirty", "(", "30", ")", "months", "following", "the", "Start", "Date", "remains", "subject", "to", "the", "25", "%", "Absolute", "Metric", ".", "If", ",", "as", "of", "the", "final", "vesting", "date", "in", "the", "time-based", "vesting", "schedule", ",", "the", "applicable", "25", "%", "Absolute", "Metric", "or", "50", "%", "Absolute", "Metric", "is", "not", "achieved", "with", "respect", "to", "any", "Time-Based", "Vesting", "Tranche", ",", "additional", "shares", "will", "vest", ",", "subject", "to", "Section8", "below", ",", "if", "the", "applicable", "25", "%", "Absolute", "Metric", "or", "50", "%", "Absolute", "Metric", "is", "achieved", "during", "the", "remaining", "term", "of", "the", "New-Hire", "Option", "while", "you", "remain", "employed", "as", "CEO", "of", "the", "Company", "."]}
{"id": "14015", "text": "In consideration of the termination benefits (the Benefits) provided and to be provided to me by ServiceNow, Inc. , or any successor thereof (the Company) pursuant to my Agreement with Company dated February22, 2017 (the Agreement) and in connection with the termination of my employment, I agree to the following general release (the Release).", "ner": [[18, 21, "Parties"], [34, 34, "Title"], [38, 40, "EffectiveDate"]], "tokenized_text": ["In", "consideration", "of", "the", "termination", "benefits", "(", "the", "Benefits", ")", "provided", "and", "to", "be", "provided", "to", "me", "by", "ServiceNow", ",", "Inc", ".", ",", "or", "any", "successor", "thereof", "(", "the", "Company", ")", "pursuant", "to", "my", "Agreement", "with", "Company", "dated", "February22", ",", "2017", "(", "the", "Agreement", ")", "and", "in", "connection", "with", "the", "termination", "of", "my", "employment", ",", "I", "agree", "to", "the", "following", "general", "release", "(", "the", "Release", ")", "."]}
{"id": "14016", "text": "1. | On behalf of myself, my heirs, executors, administrators, successors, and assigns, I hereby fully and forever generally release and discharge Company, its current, former and future parents, subsidiaries, affiliated companies, related entities, employee benefit plans, and, in such capacities, their fiduciaries, predecessors, successors, officers, directors, shareholders, agents, employees and assigns (collectively, the Company) from any and all claims, causes of action, and liabilities up through the date of my execution of the Release. The claims subject to this release include, but are not limited to, those relating to my employment with Company and/or any predecessor to Company and the termination of such employment. All such claims (including related attorneys fees and costs) are barred without regard to whether those claims are based on any alleged breach of a duty arising in statute, contract, or tort. This expressly includes waiver and release of any rights and claims arising under any and all laws, rules, regulations, and ordinances, including, but not limited to: Title VII of the Civil Rights Act of 1964 ; the Older Workers Benefit Protection Act; the Americans With Disabilities Act; the Age Discrimination in Employment Act; the Fair Labor Standards Act; the National Labor Relations Act; the Family and Medical Leave Act; the Employee Retirement Income Security Act of 1974 , as amended (ERISA); the Workers Adjustment and Retraining Notification Act; the California Fair Employment and Housing Act ( if applicable); the provisions of the California Labor Code (if applicable); the Equal Pay Act of 1963 ; and any similar law of any other state or governmental entity. The parties agree to apply California law in interpreting the Release. Accordingly, I further waive any rights under Section1542 of the Civil Code of the State of California or any similar state statute. Section1542 states: A general release does not extend to claims which the creditor does not know or suspect to exist in his or her favor at the time of executing the release, which, if known to him or her, must have materially affected his or her settlement with the debtor. This Release does not extend to, and has no effect upon, any benefits that have accrued or equity that has vested, and to which I have become vested or otherwise entitled to, under any employee benefit plan, program or policy sponsored or maintained by the Company, or to my right to indemnification by the Company, and continued coverage by the Companys directors and officers insurance. ---|---", "ner": [[212, 216, "Act"], [219, 223, "Act"], [226, 229, "Act"], [232, 236, "Act"], [239, 242, "Act"], [245, 248, "Act"], [251, 255, "Act"], [258, 264, "Act"], [273, 278, "Act"], [281, 286, "Act"], [305, 309, "Act"], [346, 347, "Act"], [350, 352, "Court"]], "tokenized_text": ["1", ".", "|", "On", "behalf", "of", "myself", ",", "my", "heirs", ",", "executors", ",", "administrators", ",", "successors", ",", "and", "assigns", ",", "I", "hereby", "fully", "and", "forever", "generally", "release", "and", "discharge", "Company", ",", "its", "current", ",", "former", "and", "future", "parents", ",", "subsidiaries", ",", "affiliated", "companies", ",", "related", "entities", ",", "employee", "benefit", "plans", ",", "and", ",", "in", "such", "capacities", ",", "their", "fiduciaries", ",", "predecessors", ",", "successors", ",", "officers", ",", "directors", ",", "shareholders", ",", "agents", ",", "employees", "and", "assigns", "(", "collectively", ",", "the", "Company", ")", "from", "any", "and", "all", "claims", ",", "causes", "of", "action", ",", "and", "liabilities", "up", "through", "the", "date", "of", "my", "execution", "of", "the", "Release", ".", "The", "claims", "subject", "to", "this", "release", "include", ",", "but", "are", "not", "limited", "to", ",", "those", "relating", "to", "my", "employment", "with", "Company", "and", "/", "or", "any", "predecessor", "to", "Company", "and", "the", "termination", "of", "such", "employment", ".", "All", "such", "claims", "(", "including", "related", "attorneys", "fees", "and", "costs", ")", "are", "barred", "without", "regard", "to", "whether", "those", "claims", "are", "based", "on", "any", "alleged", "breach", "of", "a", "duty", "arising", "in", "statute", ",", "contract", ",", "or", "tort", ".", "This", "expressly", "includes", "waiver", "and", "release", "of", "any", "rights", "and", "claims", "arising", "under", "any", "and", "all", "laws", ",", "rules", ",", "regulations", ",", "and", "ordinances", ",", "including", ",", "but", "not", "limited", "to", ":", "Title", "VII", "of", "the", "Civil", "Rights", "Act", "of", "1964", ";", "the", "Older", "Workers", "Benefit", "Protection", "Act", ";", "the", "Americans", "With", "Disabilities", "Act", ";", "the", "Age", "Discrimination", "in", "Employment", "Act", ";", "the", "Fair", "Labor", "Standards", "Act", ";", "the", "National", "Labor", "Relations", "Act", ";", "the", "Family", "and", "Medical", "Leave", "Act", ";", "the", "Employee", "Retirement", "Income", "Security", "Act", "of", "1974", ",", "as", "amended", "(", "ERISA", ")", ";", "the", "Workers", "Adjustment", "and", "Retraining", "Notification", "Act", ";", "the", "California", "Fair", "Employment", "and", "Housing", "Act", "(", "if", "applicable", ")", ";", "the", "provisions", "of", "the", "California", "Labor", "Code", "(", "if", "applicable", ")", ";", "the", "Equal", "Pay", "Act", "of", "1963", ";", "and", "any", "similar", "law", "of", "any", "other", "state", "or", "governmental", "entity", ".", "The", "parties", "agree", "to", "apply", "California", "law", "in", "interpreting", "the", "Release", ".", "Accordingly", ",", "I", "further", "waive", "any", "rights", "under", "Section1542", "of", "the", "Civil", "Code", "of", "the", "State", "of", "California", "or", "any", "similar", "state", "statute", ".", "Section1542", "states", ":", "A", "general", "release", "does", "not", "extend", "to", "claims", "which", "the", "creditor", "does", "not", "know", "or", "suspect", "to", "exist", "in", "his", "or", "her", "favor", "at", "the", "time", "of", "executing", "the", "release", ",", "which", ",", "if", "known", "to", "him", "or", "her", ",", "must", "have", "materially", "affected", "his", "or", "her", "settlement", "with", "the", "debtor", ".", "This", "Release", "does", "not", "extend", "to", ",", "and", "has", "no", "effect", "upon", ",", "any", "benefits", "that", "have", "accrued", "or", "equity", "that", "has", "vested", ",", "and", "to", "which", "I", "have", "become", "vested", "or", "otherwise", "entitled", "to", ",", "under", "any", "employee", "benefit", "plan", ",", "program", "or", "policy", "sponsored", "or", "maintained", "by", "the", "Company", ",", "or", "to", "my", "right", "to", "indemnification", "by", "the", "Company", ",", "and", "continued", "coverage", "by", "the", "Companys", "directors", "and", "officers", "insurance", ".", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "14017", "text": "| | ---|---|--- Agreed and Accepted: ServiceNow, Inc. By: | | Date: | | [SIGNATURE PAGE TO GENERAL RELEASE AGREEMENT]", "ner": [[17, 20, "Parties"], [33, 35, "Title"]], "tokenized_text": ["|", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "Agreed", "and", "Accepted", ":", "ServiceNow", ",", "Inc", ".", "By", ":", "|", "|", "Date", ":", "|", "|", "[", "SIGNATURE", "PAGE", "TO", "GENERAL", "RELEASE", "AGREEMENT", "]"]}
{"id": "14019", "text": "ASPIRITY HOLDINGS LLC , a Minnesota limited liability company", "ner": [[0, 2, "Parties"]], "tokenized_text": ["ASPIRITY", "HOLDINGS", "LLC", ",", "a", "Minnesota", "limited", "liability", "company"]}
{"id": "14020", "text": "1. | Basic Lease Information. | 1 ---|---|--- 2. | Lease Grant. | 3 3. | Adjustment of Commencement Date; Possession. | 3 4. | Rent. | 4 5. | Compliance with Laws; Use. | 5 6. | Security Deposit. | 5 7. | Project Services. | 6 8. | Leasehold Improvements. | 7 9. | Repairs and Alterations. | 7 10. | Entry by Landlord. | 9 11. | Assignment and Subletting. | 9 12. | Liens. | 10 13. | Indemnity and Waiver of Claims. | 11 14. | Insurance. | 11 15. | Subrogation. | 13 16. | Casualty Damage. | 14 17. | Condemnation. | 14 18. | Events of Default. | 15 19. | Remedies. | 16 20. | Limitation of Liability. | 16 21. | Relocation. | 17 22. | Holding Over. | 17 23. | Subordination to Mortgages; Estoppel Certificate. | 17 24. | Notice. | 17 25. | Surrender of Premises. | 18 26. | Miscellaneous. | 18", "ner": [], "tokenized_text": ["1", ".", "|", "Basic", "Lease", "Information", ".", "|", "1", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "2", ".", "|", "Lease", "Grant", ".", "|", "3", "3", ".", "|", "Adjustment", "of", "Commencement", "Date", ";", "Possession", ".", "|", "3", "4", ".", "|", "Rent", ".", "|", "4", "5", ".", "|", "Compliance", "with", "Laws", ";", "Use", ".", "|", "5", "6", ".", "|", "Security", "Deposit", ".", "|", "5", "7", ".", "|", "Project", "Services", ".", "|", "6", "8", ".", "|", "Leasehold", "Improvements", ".", "|", "7", "9", ".", "|", "Repairs", "and", "Alterations", ".", "|", "7", "10", ".", "|", "Entry", "by", "Landlord", ".", "|", "9", "11", ".", "|", "Assignment", "and", "Subletting", ".", "|", "9", "12", ".", "|", "Liens", ".", "|", "10", "13", ".", "|", "Indemnity", "and", "Waiver", "of", "Claims", ".", "|", "11", "14", ".", "|", "Insurance", ".", "|", "11", "15", ".", "|", "Subrogation", ".", "|", "13", "16", ".", "|", "Casualty", "Damage", ".", "|", "14", "17", ".", "|", "Condemnation", ".", "|", "14", "18", ".", "|", "Events", "of", "Default", ".", "|", "15", "19", ".", "|", "Remedies", ".", "|", "16", "20", ".", "|", "Limitation", "of", "Liability", ".", "|", "16", "21", ".", "|", "Relocation", ".", "|", "17", "22", ".", "|", "Holding", "Over", ".", "|", "17", "23", ".", "|", "Subordination", "to", "Mortgages", ";", "Estoppel", "Certificate", ".", "|", "17", "24", ".", "|", "Notice", ".", "|", "17", "25", ".", "|", "Surrender", "of", "Premises", ".", "|", "18", "26", ".", "|", "Miscellaneous", ".", "|", "18"]}
{"id": "14021", "text": "THIS OFFICE LEASE AGREEMENT (including the exhibits attached hereto, the Lease) is made and entered into as of the _24th_ day of _March_, 2017 , by and between MINNETONKA WHITEWATER LLC , a Delaware limited liability company (Landlord) and ASPIRITY HOLDINGS LLC , a Minnesota limited liability company (Tenant).", "ner": [[2, 3, "Title"], [32, 34, "Parties"], [45, 47, "Parties"]], "tokenized_text": ["THIS", "OFFICE", "LEASE", "AGREEMENT", "(", "including", "the", "exhibits", "attached", "hereto", ",", "the", "Lease", ")", "is", "made", "and", "entered", "into", "as", "of", "the", "_24th_", "day", "of", "_March_", ",", "2017", ",", "by", "and", "between", "MINNETONKA", "WHITEWATER", "LLC", ",", "a", "Delaware", "limited", "liability", "company", "(", "Landlord", ")", "and", "ASPIRITY", "HOLDINGS", "LLC", ",", "a", "Minnesota", "limited", "liability", "company", "(", "Tenant", ")", "."]}
{"id": "14022", "text": "1.01 Project shall mean the real estate located in the City of Minnetonka, County of Hennepin, State of Minnesota (the Land), commonly known as Minnetonka Corporate Center, comprised of 12800 Whitewater Drive (the 12800 Building) and 12900 Whitewater Drive (the 12900 Building), and all improvements of Landlord now or hereafter constructed on the Land or on or in any appurtenant easement or encroachment areas, except improvements which tenants may remove therefrom pursuant to the terms of their respective leases. Rentable Square Footage of the Project means, during any year, the rentable area of space held for lease as office space or retail space contained in the Project for such year, and is therefore subject to periodic adjustment by Landlord. As of the date hereof, the Rentable Square Footage of the Project is 139,622 square feet, comprised of 73,400 square feet in the 12800 Building and 66,222 square feet in the 12900 Building.", "ner": [[12, 22, "Court"], [31, 33, "Address"], [37, 39, "Address"], [46, 48, "Address"]], "tokenized_text": ["1", ".", "01", "Project", "shall", "mean", "the", "real", "estate", "located", "in", "the", "City", "of", "Minnetonka", ",", "County", "of", "Hennepin", ",", "State", "of", "Minnesota", "(", "the", "Land", ")", ",", "commonly", "known", "as", "Minnetonka", "Corporate", "Center", ",", "comprised", "of", "12800", "Whitewater", "Drive", "(", "the", "12800", "Building", ")", "and", "12900", "Whitewater", "Drive", "(", "the", "12900", "Building", ")", ",", "and", "all", "improvements", "of", "Landlord", "now", "or", "hereafter", "constructed", "on", "the", "Land", "or", "on", "or", "in", "any", "appurtenant", "easement", "or", "encroachment", "areas", ",", "except", "improvements", "which", "tenants", "may", "remove", "therefrom", "pursuant", "to", "the", "terms", "of", "their", "respective", "leases", ".", "Rentable", "Square", "Footage", "of", "the", "Project", "means", ",", "during", "any", "year", ",", "the", "rentable", "area", "of", "space", "held", "for", "lease", "as", "office", "space", "or", "retail", "space", "contained", "in", "the", "Project", "for", "such", "year", ",", "and", "is", "therefore", "subject", "to", "periodic", "adjustment", "by", "Landlord", ".", "As", "of", "the", "date", "hereof", ",", "the", "Rentable", "Square", "Footage", "of", "the", "Project", "is", "139", ",", "622", "square", "feet", ",", "comprised", "of", "73", ",", "400", "square", "feet", "in", "the", "12800", "Building", "and", "66", ",", "222", "square", "feet", "in", "the", "12900", "Building", "."]}
{"id": "14023", "text": "Months of Term| | | Annual Rate/RSF| | | Annual Base Rent| | | Monthly Base Rent| ---|---|---|---|---|---|---|---|---|---|--- 1* 12| | | $| 13.00| | | $| 70,200.00 | | | $| 5,850.00| 13 24| | | $| 13.50| | | $| 72,900.00| | | $| 6,075.00| 25 36| | | $| 14.00| | | $| 75,600.00| | | $| 6,300.00| 37 48| | | $| 14.50| | | $| 78,300.00| | | $| 6,525.00| 49 60| | | $| 15.00| | | $| 81,000.00| | | $| 6,750.00| 61 72| | | $| 15.50| | | $| 83,700.00| | | $| 6,975.00| 73 84| | | $| 16.00| | | $| 86,400.00| | | $| 7,200.00| 85 89| | | $| 16.50| | | $| 89,100.00| | | $| 7,425.00|", "ner": [[74, 76, "Rent"], [82, 86, "Rent"], [92, 96, "Rent"], [113, 117, "Rent"], [123, 127, "Rent"], [144, 148, "Rent"], [154, 158, "Rent"], [175, 179, "Rent"], [185, 189, "Rent"], [198, 200, "Rent"], [206, 210, "Rent"], [216, 220, "Rent"], [237, 241, "Rent"], [247, 251, "Rent"], [260, 262, "Rent"], [268, 272, "Rent"], [278, 282, "Rent"], [299, 303, "Rent"], [309, 313, "Rent"]], "tokenized_text": ["Months", "of", "Term", "|", "|", "|", "Annual", "Rate", "/", "RSF", "|", "|", "|", "Annual", "Base", "Rent", "|", "|", "|", "Monthly", "Base", "Rent", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "1", "*", "12", "|", "|", "|", "$", "|", "13", ".", "00", "|", "|", "|", "$", "|", "70", ",", "200", ".", "00", "|", "|", "|", "$", "|", "5", ",", "850", ".", "00", "|", "13", "24", "|", "|", "|", "$", "|", "13", ".", "50", "|", "|", "|", "$", "|", "72", ",", "900", ".", "00", "|", "|", "|", "$", "|", "6", ",", "075", ".", "00", "|", "25", "36", "|", "|", "|", "$", "|", "14", ".", "00", "|", "|", "|", "$", "|", "75", ",", "600", ".", "00", "|", "|", "|", "$", "|", "6", ",", "300", ".", "00", "|", "37", "48", "|", "|", "|", "$", "|", "14", ".", "50", "|", "|", "|", "$", "|", "78", ",", "300", ".", "00", "|", "|", "|", "$", "|", "6", ",", "525", ".", "00", "|", "49", "60", "|", "|", "|", "$", "|", "15", ".", "00", "|", "|", "|", "$", "|", "81", ",", "000", ".", "00", "|", "|", "|", "$", "|", "6", ",", "750", ".", "00", "|", "61", "72", "|", "|", "|", "$", "|", "15", ".", "50", "|", "|", "|", "$", "|", "83", ",", "700", ".", "00", "|", "|", "|", "$", "|", "6", ",", "975", ".", "00", "|", "73", "84", "|", "|", "|", "$", "|", "16", ".", "00", "|", "|", "|", "$", "|", "86", ",", "400", ".", "00", "|", "|", "|", "$", "|", "7", ",", "200", ".", "00", "|", "85", "89", "|", "|", "|", "$", "|", "16", ".", "50", "|", "|", "|", "$", "|", "89", ",", "100", ".", "00", "|", "|", "|", "$", "|", "7", ",", "425", ".", "00", "|"]}
{"id": "14024", "text": "50 South Tenth Street, Suite 300", "ner": [[0, 6, "Address"]], "tokenized_text": ["50", "South", "Tenth", "Street", ",", "Suite", "300"]}
{"id": "14026", "text": "Attention: Wiley H. Sharp, III, CFO | | | | | | provided, however, that prior to the Commencement Date notices to Tenant shall be delivered as follows: | | | | | |", "ner": [[2, 7, "Role"], [9, 9, "Role"]], "tokenized_text": ["Attention", ":", "Wiley", "H", ".", "Sharp", ",", "III", ",", "CFO", "|", "|", "|", "|", "|", "|", "provided", ",", "however", ",", "that", "prior", "to", "the", "Commencement", "Date", "notices", "to", "Tenant", "shall", "be", "delivered", "as", "follows", ":", "|", "|", "|", "|", "|", "|"]}
{"id": "14027", "text": "701 Xenia Avenue South, Suite 475", "ner": [[0, 6, "Address"]], "tokenized_text": ["701", "Xenia", "Avenue", "South", ",", "Suite", "475"]}
{"id": "14028", "text": "Golden Valley, Minnesota 55416", "ner": [], "tokenized_text": ["Golden", "Valley", ",", "Minnesota", "55416"]}
{"id": "14030", "text": "1.12 Business Day(s) are Monday through Friday of each week, exclusive of New Years Day, Presidents Day, Memorial Day, Independence Day, Labor Day, Thanksgiving Day and Christmas Day (Holidays). Landlord may designate additional Holidays that are commonly recognized by other office buildings in the area where the Project is located. Currently, Project Service Hours are 8:00 a.m. to 6:00 p.m. on Business Days and 8:00 a.m. to 12:00 p.m. on Saturdays. The Project Service Hours are subject to change, at Landlords discretion, so long as the same are in keeping with hours kept by institutional landlords of office buildings similar to the Project in class, age, use, size, and location (Similar Projects). If the word day(s) is used in this Lease and not otherwise preceded with the word Business, such day(s) shall be deemed to be calendar days. Notwithstanding the foregoing, Tenant and its employees shall have access to the Premises 24 hours per day, 7 days per week, subject to Landlords security protocol for the Project and the terms and provisions of this Lease.", "ner": [], "tokenized_text": ["1", ".", "12", "Business", "Day", "(", "s", ")", "are", "Monday", "through", "Friday", "of", "each", "week", ",", "exclusive", "of", "New", "Years", "Day", ",", "Presidents", "Day", ",", "Memorial", "Day", ",", "Independence", "Day", ",", "Labor", "Day", ",", "Thanksgiving", "Day", "and", "Christmas", "Day", "(", "Holidays", ")", ".", "Landlord", "may", "designate", "additional", "Holidays", "that", "are", "commonly", "recognized", "by", "other", "office", "buildings", "in", "the", "area", "where", "the", "Project", "is", "located", ".", "Currently", ",", "Project", "Service", "Hours", "are", "8", ":", "00", "a", ".", "m", ".", "to", "6", ":", "00", "p", ".", "m", ".", "on", "Business", "Days", "and", "8", ":", "00", "a", ".", "m", ".", "to", "12", ":", "00", "p", ".", "m", ".", "on", "Saturdays", ".", "The", "Project", "Service", "Hours", "are", "subject", "to", "change", ",", "at", "Landlords", "discretion", ",", "so", "long", "as", "the", "same", "are", "in", "keeping", "with", "hours", "kept", "by", "institutional", "landlords", "of", "office", "buildings", "similar", "to", "the", "Project", "in", "class", ",", "age", ",", "use", ",", "size", ",", "and", "location", "(", "Similar", "Projects", ")", ".", "If", "the", "word", "day", "(", "s", ")", "is", "used", "in", "this", "Lease", "and", "not", "otherwise", "preceded", "with", "the", "word", "Business", ",", "such", "day", "(", "s", ")", "shall", "be", "deemed", "to", "be", "calendar", "days", ".", "Notwithstanding", "the", "foregoing", ",", "Tenant", "and", "its", "employees", "shall", "have", "access", "to", "the", "Premises", "24", "hours", "per", "day", ",", "7", "days", "per", "week", ",", "subject", "to", "Landlords", "security", "protocol", "for", "the", "Project", "and", "the", "terms", "and", "provisions", "of", "this", "Lease", "."]}
{"id": "14032", "text": "9.03 Tenant shall not make alterations, repairs, additions or improvements or install any Cable (collectively referred to as Alterations) without complying with the provisions of Section 9.04 below and without first obtaining the written consent of Landlord in each instance, which consent shall not be unreasonably withheld or delayed. Prior to starting work, Tenant shall furnish Landlord with plans and specifications; names of contractors reasonably acceptable to Landlord (provided that Landlord may designate specific contractors with respect to Base Building, and any such contractors must have proven work experience in the city in which the Premises is located); required permits and approvals; evidence of contractors and subcontractors insurance as required under Section 14.03 below; proof of contractor (and subcontractor) union affiliation; and any security for performance in amounts reasonably required by Landlord. Changes to the plans and specifications must also be submitted to Landlord for its approval. Alterations shall be constructed in a good and workmanlike manner using materials of a quality reasonably approved by Landlord. Tenant shall reimburse Landlord for any sums paid by Landlord for third party examination of Tenants plans for any Alterations. In addition , Tenant shall pay Landlord a fee for Landlords oversight and coordination of any Alterations equal to 10% of the cost of the Alterations. Upon completion, Tenant shall furnish as-built plans for any Alterations, completion affidavits and full and final waivers of lien. Landlords approval of an Alteration shall not be deemed a representation by Landlord that the Alteration complies with Law.", "ner": [[232, 233, "Percentage"]], "tokenized_text": ["9", ".", "03", "Tenant", "shall", "not", "make", "alterations", ",", "repairs", ",", "additions", "or", "improvements", "or", "install", "any", "Cable", "(", "collectively", "referred", "to", "as", "Alterations", ")", "without", "complying", "with", "the", "provisions", "of", "Section", "9", ".", "04", "below", "and", "without", "first", "obtaining", "the", "written", "consent", "of", "Landlord", "in", "each", "instance", ",", "which", "consent", "shall", "not", "be", "unreasonably", "withheld", "or", "delayed", ".", "Prior", "to", "starting", "work", ",", "Tenant", "shall", "furnish", "Landlord", "with", "plans", "and", "specifications", ";", "names", "of", "contractors", "reasonably", "acceptable", "to", "Landlord", "(", "provided", "that", "Landlord", "may", "designate", "specific", "contractors", "with", "respect", "to", "Base", "Building", ",", "and", "any", "such", "contractors", "must", "have", "proven", "work", "experience", "in", "the", "city", "in", "which", "the", "Premises", "is", "located", ")", ";", "required", "permits", "and", "approvals", ";", "evidence", "of", "contractors", "and", "subcontractors", "insurance", "as", "required", "under", "Section", "14", ".", "03", "below", ";", "proof", "of", "contractor", "(", "and", "subcontractor", ")", "union", "affiliation", ";", "and", "any", "security", "for", "performance", "in", "amounts", "reasonably", "required", "by", "Landlord", ".", "Changes", "to", "the", "plans", "and", "specifications", "must", "also", "be", "submitted", "to", "Landlord", "for", "its", "approval", ".", "Alterations", "shall", "be", "constructed", "in", "a", "good", "and", "workmanlike", "manner", "using", "materials", "of", "a", "quality", "reasonably", "approved", "by", "Landlord", ".", "Tenant", "shall", "reimburse", "Landlord", "for", "any", "sums", "paid", "by", "Landlord", "for", "third", "party", "examination", "of", "Tenants", "plans", "for", "any", "Alterations", ".", "In", "addition", ",", "Tenant", "shall", "pay", "Landlord", "a", "fee", "for", "Landlords", "oversight", "and", "coordination", "of", "any", "Alterations", "equal", "to", "10", "%", "of", "the", "cost", "of", "the", "Alterations", ".", "Upon", "completion", ",", "Tenant", "shall", "furnish", "as-built", "plans", "for", "any", "Alterations", ",", "completion", "affidavits", "and", "full", "and", "final", "waivers", "of", "lien", ".", "Landlords", "approval", "of", "an", "Alteration", "shall", "not", "be", "deemed", "a", "representation", "by", "Landlord", "that", "the", "Alteration", "complies", "with", "Law", "."]}
{"id": "14033", "text": "9.04 Tenant shall construct such Alterations and perform such repairs in compliance with all applicable laws and pursuant to a valid building permit, issued by the City of Minnetonka, Minnesota, and in conformance with Landlords construction rules and regulations. Tenant shall cause all Alterations to be performed in such manner as not to obstruct access by any person to the improvements within the Project, or any Common Areas, and as not to obstruct the business of Landlord or other tenants in the Project, or interfere with the labor force working at the Property. For Alterations that exceed the cost of $100,000, Landlord may, in its discretion, require Tenant to obtain a lien and completion bond or some alternate form of security satisfactory to Landlord in an amount sufficient to ensure the lien free completion of such Alterations and naming Landlord as a co-obligee. Upon completion of any Alterations, Tenant shall (i) deliver to the Project management office a reproducible copy of the as built drawings of the Alterations, and (ii) deliver to Landlord evidence of payment, contractors affidavits and full and final waivers of all liens for labor, services or materials.", "ner": [[29, 33, "Address"], [110, 113, "Principal"]], "tokenized_text": ["9", ".", "04", "Tenant", "shall", "construct", "such", "Alterations", "and", "perform", "such", "repairs", "in", "compliance", "with", "all", "applicable", "laws", "and", "pursuant", "to", "a", "valid", "building", "permit", ",", "issued", "by", "the", "City", "of", "Minnetonka", ",", "Minnesota", ",", "and", "in", "conformance", "with", "Landlords", "construction", "rules", "and", "regulations", ".", "Tenant", "shall", "cause", "all", "Alterations", "to", "be", "performed", "in", "such", "manner", "as", "not", "to", "obstruct", "access", "by", "any", "person", "to", "the", "improvements", "within", "the", "Project", ",", "or", "any", "Common", "Areas", ",", "and", "as", "not", "to", "obstruct", "the", "business", "of", "Landlord", "or", "other", "tenants", "in", "the", "Project", ",", "or", "interfere", "with", "the", "labor", "force", "working", "at", "the", "Property", ".", "For", "Alterations", "that", "exceed", "the", "cost", "of", "$", "100", ",", "000", ",", "Landlord", "may", ",", "in", "its", "discretion", ",", "require", "Tenant", "to", "obtain", "a", "lien", "and", "completion", "bond", "or", "some", "alternate", "form", "of", "security", "satisfactory", "to", "Landlord", "in", "an", "amount", "sufficient", "to", "ensure", "the", "lien", "free", "completion", "of", "such", "Alterations", "and", "naming", "Landlord", "as", "a", "co-obligee", ".", "Upon", "completion", "of", "any", "Alterations", ",", "Tenant", "shall", "(", "i", ")", "deliver", "to", "the", "Project", "management", "office", "a", "reproducible", "copy", "of", "the", "as", "built", "drawings", "of", "the", "Alterations", ",", "and", "(", "ii", ")", "deliver", "to", "Landlord", "evidence", "of", "payment", ",", "contractors", "affidavits", "and", "full", "and", "final", "waivers", "of", "all", "liens", "for", "labor", ",", "services", "or", "materials", "."]}
{"id": "14034", "text": "Tenant hereby waives all claims against and releases Landlord and its trustees, members, principals, beneficiaries, partners, officers, directors, employees, Mortgagees (defined in Article 23) and agents (the Landlord Related Parties) from all claims for any injury to or death of persons, damage to property or business loss in any manner related to (a) Force Majeure, (b) acts of third parties, (c) the bursting or leaking of any tank, water closet, drain or other pipe, (d) the inadequacy or failure of any security services, personnel or equipment, or (e) any matter not within the reasonable control of Landlord. Except to the extent caused by the negligence or willful misconduct of Landlord or any Landlord Related Parties, Tenant shall indemnify, defend and hold Landlord and Landlord Related Parties harmless against and from all liabilities, obligations, damages, penalties, claims, actions, costs, charges and expenses, including, without limitation, reasonable attorneys fees and other professional fees (if and to the extent permitted by Law) (collectively referred to as Losses), which may be imposed upon, incurred by or asserted against Landlord or any of the Landlord Related Parties by any third party and arising out of or in connection with any damage or injury occurring in the Premises or any acts or omissions (including violations of Law) of Tenant, the Tenant Related Parties or any of Tenants transferees, contractors or licensees. Except to the extent caused by the negligence or willful misconduct of Tenant or any Tenant Related Parties, Landlord shall indemnify, defend and hold Tenant, its trustees, members, principals, beneficiaries, partners, officers, directors, employees and agents (Tenant Related Parties) harmless against and from all Losses which may be imposed upon, incurred by or asserted against Tenant or any of the Tenant Related Parties by any third party and arising out of or in connection with bodily injury or property damage resulting from the acts or omissions (including violations of Law) of Landlord or the Landlord Related Parties.", "ner": [], "tokenized_text": ["Tenant", "hereby", "waives", "all", "claims", "against", "and", "releases", "Landlord", "and", "its", "trustees", ",", "members", ",", "principals", ",", "beneficiaries", ",", "partners", ",", "officers", ",", "directors", ",", "employees", ",", "Mortgagees", "(", "defined", "in", "Article", "23", ")", "and", "agents", "(", "the", "Landlord", "Related", "Parties", ")", "from", "all", "claims", "for", "any", "injury", "to", "or", "death", "of", "persons", ",", "damage", "to", "property", "or", "business", "loss", "in", "any", "manner", "related", "to", "(", "a", ")", "Force", "Majeure", ",", "(", "b", ")", "acts", "of", "third", "parties", ",", "(", "c", ")", "the", "bursting", "or", "leaking", "of", "any", "tank", ",", "water", "closet", ",", "drain", "or", "other", "pipe", ",", "(", "d", ")", "the", "inadequacy", "or", "failure", "of", "any", "security", "services", ",", "personnel", "or", "equipment", ",", "or", "(", "e", ")", "any", "matter", "not", "within", "the", "reasonable", "control", "of", "Landlord", ".", "Except", "to", "the", "extent", "caused", "by", "the", "negligence", "or", "willful", "misconduct", "of", "Landlord", "or", "any", "Landlord", "Related", "Parties", ",", "Tenant", "shall", "indemnify", ",", "defend", "and", "hold", "Landlord", "and", "Landlord", "Related", "Parties", "harmless", "against", "and", "from", "all", "liabilities", ",", "obligations", ",", "damages", ",", "penalties", ",", "claims", ",", "actions", ",", "costs", ",", "charges", "and", "expenses", ",", "including", ",", "without", "limitation", ",", "reasonable", "attorneys", "fees", "and", "other", "professional", "fees", "(", "if", "and", "to", "the", "extent", "permitted", "by", "Law", ")", "(", "collectively", "referred", "to", "as", "Losses", ")", ",", "which", "may", "be", "imposed", "upon", ",", "incurred", "by", "or", "asserted", "against", "Landlord", "or", "any", "of", "the", "Landlord", "Related", "Parties", "by", "any", "third", "party", "and", "arising", "out", "of", "or", "in", "connection", "with", "any", "damage", "or", "injury", "occurring", "in", "the", "Premises", "or", "any", "acts", "or", "omissions", "(", "including", "violations", "of", "Law", ")", "of", "Tenant", ",", "the", "Tenant", "Related", "Parties", "or", "any", "of", "Tenants", "transferees", ",", "contractors", "or", "licensees", ".", "Except", "to", "the", "extent", "caused", "by", "the", "negligence", "or", "willful", "misconduct", "of", "Tenant", "or", "any", "Tenant", "Related", "Parties", ",", "Landlord", "shall", "indemnify", ",", "defend", "and", "hold", "Tenant", ",", "its", "trustees", ",", "members", ",", "principals", ",", "beneficiaries", ",", "partners", ",", "officers", ",", "directors", ",", "employees", "and", "agents", "(", "Tenant", "Related", "Parties", ")", "harmless", "against", "and", "from", "all", "Losses", "which", "may", "be", "imposed", "upon", ",", "incurred", "by", "or", "asserted", "against", "Tenant", "or", "any", "of", "the", "Tenant", "Related", "Parties", "by", "any", "third", "party", "and", "arising", "out", "of", "or", "in", "connection", "with", "bodily", "injury", "or", "property", "damage", "resulting", "from", "the", "acts", "or", "omissions", "(", "including", "violations", "of", "Law", ")", "of", "Landlord", "or", "the", "Landlord", "Related", "Parties", "."]}
{"id": "14035", "text": "14.03 Contractors Insurance. Landlord and Tenant shall require that all contractors and subcontractors brought onto the Project have insurance coverage, at the contractors or subcontractors expense, in the following minimum amounts:", "ner": [], "tokenized_text": ["14", ".", "03", "Contractors", "Insurance", ".", "Landlord", "and", "Tenant", "shall", "require", "that", "all", "contractors", "and", "subcontractors", "brought", "onto", "the", "Project", "have", "insurance", "coverage", ",", "at", "the", "contractors", "or", "subcontractors", "expense", ",", "in", "the", "following", "minimum", "amounts", ":"]}
{"id": "14042", "text": "THIS COMMENCEMENT AGREEMENT is entered into as of ______________, 201_, pursuant to the provisions of Section 1.05 of that certain Lease dated as of _______________, 201_, by and between MINNETONKA WHITEWATER LLC , a Delaware limited liability company (Landlord), and ASPIRITY HOLDINGS LLC , a Minnesota limited liability company (Tenant), for 7,200 rentable square feet of office space on the 2nd floor of the building located at 12800 Whitewater Drive, Minnetonka, Minnesota, within the project commonly known as Minnetonka Corporate Center.", "ner": [[1, 2, "Title"], [9, 10, "EffectiveDate"], [17, 20, "EffectiveDate"], [35, 37, "Parties"], [49, 51, "Parties"], [63, 65, "Title"], [81, 87, "Address"], [95, 97, "Address"]], "tokenized_text": ["THIS", "COMMENCEMENT", "AGREEMENT", "is", "entered", "into", "as", "of", "______________", ",", "201_", ",", "pursuant", "to", "the", "provisions", "of", "Section", "1", ".", "05", "of", "that", "certain", "Lease", "dated", "as", "of", "_______________", ",", "201_", ",", "by", "and", "between", "MINNETONKA", "WHITEWATER", "LLC", ",", "a", "Delaware", "limited", "liability", "company", "(", "Landlord", ")", ",", "and", "ASPIRITY", "HOLDINGS", "LLC", ",", "a", "Minnesota", "limited", "liability", "company", "(", "Tenant", ")", ",", "for", "7", ",", "200", "rentable", "square", "feet", "of", "office", "space", "on", "the", "2nd", "floor", "of", "the", "building", "located", "at", "12800", "Whitewater", "Drive", ",", "Minnetonka", ",", "Minnesota", ",", "within", "the", "project", "commonly", "known", "as", "Minnetonka", "Corporate", "Center", "."]}
{"id": "14043", "text": "1. | Tenant accepts possession of the Premises; ---|--- | 2. | The Commencement Date of the Lease is ________________________; | 3. | The Termination Date of the Lease is ____________________________; | 4. | Subject to the provisions of Section 1 of Exhibit F to the Lease, Base Rent due under the Lease is as follows: [INSERT BASE RENT SCHEDULE FROM SECTION 1.03 OF THE LEASE, REVISED TO REFLECT HARD DATES]", "ner": [], "tokenized_text": ["1", ".", "|", "Tenant", "accepts", "possession", "of", "the", "Premises", ";", "-", "-", "-", "|", "-", "-", "-", "|", "2", ".", "|", "The", "Commencement", "Date", "of", "the", "Lease", "is", "________________________", ";", "|", "3", ".", "|", "The", "Termination", "Date", "of", "the", "Lease", "is", "____________________________", ";", "|", "4", ".", "|", "Subject", "to", "the", "provisions", "of", "Section", "1", "of", "Exhibit", "F", "to", "the", "Lease", ",", "Base", "Rent", "due", "under", "the", "Lease", "is", "as", "follows", ":", "[", "INSERT", "BASE", "RENT", "SCHEDULE", "FROM", "SECTION", "1", ".", "03", "OF", "THE", "LEASE", ",", "REVISED", "TO", "REFLECT", "HARD", "DATES", "]"]}
{"id": "14044", "text": "Period| | Annual Rate/RSF| | | Annual Base Rent| | | Monthly Base Rent| ---|---|---|---|---|---|---|---|---|--- | | $| 13.00| | | $| 70,200.00 | | | $| 5,850.00| | | $| 13.50| | | $| 72,900.00| | | $| 6,075.00| | | $| 14.00| | | $| 75,600.00| | | $| 6,300.00| | | $| 14.50| | | $| 78,300.00| | | $| 6,525.00| | | $| 15.00| | | $| 81,000.00| | | $| 6,750.00| | | $| 15.50| | | $| 83,700.00| | | $| 6,975.00| | | $| 16.00| | | $| 86,400.00| | | $| 7,200.00| | | $| 16.50| | | $| 89,100.00| | | $| 7,425.00|", "ner": [[63, 65, "Rent"], [71, 75, "Rent"], [81, 85, "Rent"], [99, 103, "Rent"], [109, 113, "Rent"], [119, 121, "Rent"], [127, 131, "Rent"], [137, 141, "Rent"], [155, 159, "Rent"], [165, 169, "Rent"], [175, 177, "Rent"], [183, 187, "Rent"], [193, 197, "Rent"], [211, 215, "Rent"], [221, 225, "Rent"], [231, 233, "Rent"], [239, 243, "Rent"], [249, 253, "Rent"], [267, 271, "Rent"], [277, 281, "Rent"]], "tokenized_text": ["Period", "|", "|", "Annual", "Rate", "/", "RSF", "|", "|", "|", "Annual", "Base", "Rent", "|", "|", "|", "Monthly", "Base", "Rent", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "|", "$", "|", "13", ".", "00", "|", "|", "|", "$", "|", "70", ",", "200", ".", "00", "|", "|", "|", "$", "|", "5", ",", "850", ".", "00", "|", "|", "|", "$", "|", "13", ".", "50", "|", "|", "|", "$", "|", "72", ",", "900", ".", "00", "|", "|", "|", "$", "|", "6", ",", "075", ".", "00", "|", "|", "|", "$", "|", "14", ".", "00", "|", "|", "|", "$", "|", "75", ",", "600", ".", "00", "|", "|", "|", "$", "|", "6", ",", "300", ".", "00", "|", "|", "|", "$", "|", "14", ".", "50", "|", "|", "|", "$", "|", "78", ",", "300", ".", "00", "|", "|", "|", "$", "|", "6", ",", "525", ".", "00", "|", "|", "|", "$", "|", "15", ".", "00", "|", "|", "|", "$", "|", "81", ",", "000", ".", "00", "|", "|", "|", "$", "|", "6", ",", "750", ".", "00", "|", "|", "|", "$", "|", "15", ".", "50", "|", "|", "|", "$", "|", "83", ",", "700", ".", "00", "|", "|", "|", "$", "|", "6", ",", "975", ".", "00", "|", "|", "|", "$", "|", "16", ".", "00", "|", "|", "|", "$", "|", "86", ",", "400", ".", "00", "|", "|", "|", "$", "|", "7", ",", "200", ".", "00", "|", "|", "|", "$", "|", "16", ".", "50", "|", "|", "|", "$", "|", "89", ",", "100", ".", "00", "|", "|", "|", "$", "|", "7", ",", "425", ".", "00", "|"]}
{"id": "14047", "text": "C.Procedure for Determining Prevailing Market . Within 30 days after receipt of Tenants Initial Renewal Notice, Landlord shall advise Tenant of the applicable Base Rent rate for the Premises for the Renewal Term. Tenant, within 15 days after the date on which Landlord advises Tenant of the applicable Base Rent rate for the Renewal Term, shall either (i) give Landlord final binding written notice (Binding Notice) of Tenants exercise of its Renewal Option, or (ii) if Tenant disagrees with Landlords determination, provide Landlord with written notice of rejection (the Rejection Notice). If Tenant fails to provide Landlord with either a Binding Notice or Rejection Notice within such 15 day period, Tenant shall be deemed to have provided Landlord with a Binding Notice. If Tenant provides, or is deemed to have provided, Landlord with a Binding Notice, Landlord and Tenant shall enter into the Renewal Amendment (as defined below) upon the terms and conditions set forth herein. If Tenant provides Landlord with a Rejection Notice, Landlord and Tenant shall work together in good faith to agree upon the Prevailing Market rate for the Premises during the Renewal Term. Upon agreement, Tenant shall provide Landlord with Binding Notice and Landlord and Tenant shall enter into the Renewal Amendment in accordance with the terms and conditions hereof. Notwithstanding the foregoing, if Landlord and Tenant are unable to agree upon the Prevailing Market rate for the Premises within 45 days after the date on which Tenant provides Landlord with a Rejection Notice, Tenants Renewal Option shall be null and void and of no force and effect.", "ner": [[81, 82, "RenewalTerm"]], "tokenized_text": ["C", ".", "Procedure", "for", "Determining", "Prevailing", "Market", ".", "Within", "30", "days", "after", "receipt", "of", "Tenants", "Initial", "Renewal", "Notice", ",", "Landlord", "shall", "advise", "Tenant", "of", "the", "applicable", "Base", "Rent", "rate", "for", "the", "Premises", "for", "the", "Renewal", "Term", ".", "Tenant", ",", "within", "15", "days", "after", "the", "date", "on", "which", "Landlord", "advises", "Tenant", "of", "the", "applicable", "Base", "Rent", "rate", "for", "the", "Renewal", "Term", ",", "shall", "either", "(", "i", ")", "give", "Landlord", "final", "binding", "written", "notice", "(", "Binding", "Notice", ")", "of", "Tenants", "exercise", "of", "its", "Renewal", "Option", ",", "or", "(", "ii", ")", "if", "Tenant", "disagrees", "with", "Landlords", "determination", ",", "provide", "Landlord", "with", "written", "notice", "of", "rejection", "(", "the", "Rejection", "Notice", ")", ".", "If", "Tenant", "fails", "to", "provide", "Landlord", "with", "either", "a", "Binding", "Notice", "or", "Rejection", "Notice", "within", "such", "15", "day", "period", ",", "Tenant", "shall", "be", "deemed", "to", "have", "provided", "Landlord", "with", "a", "Binding", "Notice", ".", "If", "Tenant", "provides", ",", "or", "is", "deemed", "to", "have", "provided", ",", "Landlord", "with", "a", "Binding", "Notice", ",", "Landlord", "and", "Tenant", "shall", "enter", "into", "the", "Renewal", "Amendment", "(", "as", "defined", "below", ")", "upon", "the", "terms", "and", "conditions", "set", "forth", "herein", ".", "If", "Tenant", "provides", "Landlord", "with", "a", "Rejection", "Notice", ",", "Landlord", "and", "Tenant", "shall", "work", "together", "in", "good", "faith", "to", "agree", "upon", "the", "Prevailing", "Market", "rate", "for", "the", "Premises", "during", "the", "Renewal", "Term", ".", "Upon", "agreement", ",", "Tenant", "shall", "provide", "Landlord", "with", "Binding", "Notice", "and", "Landlord", "and", "Tenant", "shall", "enter", "into", "the", "Renewal", "Amendment", "in", "accordance", "with", "the", "terms", "and", "conditions", "hereof", ".", "Notwithstanding", "the", "foregoing", ",", "if", "Landlord", "and", "Tenant", "are", "unable", "to", "agree", "upon", "the", "Prevailing", "Market", "rate", "for", "the", "Premises", "within", "45", "days", "after", "the", "date", "on", "which", "Tenant", "provides", "Landlord", "with", "a", "Rejection", "Notice", ",", "Tenants", "Renewal", "Option", "shall", "be", "null", "and", "void", "and", "of", "no", "force", "and", "effect", "."]}
{"id": "14048", "text": "As of the Commencement Date Tenant intends to utilize Premises B for storage, only, and the rental rates and other provisions relating to Premises B set forth in the Lease reflect such use. However, from and after the date that Tenant commences the conduct of business from any portion of Premises B (the Conversion Date), Tenant shall be deemed to have exercised its Conversion Option, whether or not Tenant provides Landlord written notice of such exercise. On the Conversion Date the Base Rent rate per rentable square foot of Premises B shall increase so that it is the same Base Rent rate per rentable square foot of Premises A on such date, and the Base Rent rate for Premises B shall increase at such times and in such amount as Base Rent for Premises A increases so that the Base Rent rate per rentable square foot for Premises B shall always be the same as the Base Rent rate per rentable square foot of Premises A. So long as Tenant provides Landlord with at least 6 months prior written notice of its exercise of the Conversion Option, Tenant shall be entitled to receive an improvement allowance (the Premises B Allowance) per rentable square foot of Premises B in an amount determined by multiplying $0.463 by the number of full calendar months remaining in the Term on the Conversion Date, to be applied to the cost of performing initial improvements in Premises B made by Tenant pursuant to the Alterations provisions of the Lease (the Premises B Work). For example, if there are 40 full calendar months remaining in the Term on the Conversion Date, Tenant shall be entitled to receive a Work Allowance of $17.48 per rentable square foot of Premises B ($0.463 x 40 = $18.52). All Premises B Work shall be performed in accordance with the Alterations provisions of the Lease, and the Premises B Allowance shall be shall be disbursed as follows: Upon completion of the Premises B Work, and prior to disbursement of the Work Allowance, Tenant shall furnish Landlord with: (i) general contractor and architectural completion affidavits, (ii) full and final waivers of lien, (iii) receipted bills covering all labor and materials expended and used, (d) as-built plans of the Premises B Work and (e) the certification of Tenant and its architect that the Premises B Work has been installed in a good and workmanlike manner in accordance with the approved plans, and in accordance with applicable codes and ordinances. Notwithstanding anything herein to the contrary, Landlord shall not be obligated to disburse any portion of the Premises B Allowance during the continuance of an uncured default under the Lease, and Landlords obligation to disburse shall only resume when and if such default is cured. The Premises B Allowance may only be used for the cost of labor, material and contractors fees for the Premises B Work and the cost of preparing plans and drawings in connection therewith. In no event shall the Premises B Allowance be used for the purchase of equipment, furniture and other items of personal property of Tenant.", "ner": [[227, 230, "Rent"], [284, 287, "Ratio"], [307, 310, "Rent"], [326, 329, "Rent"]], "tokenized_text": ["As", "of", "the", "Commencement", "Date", "Tenant", "intends", "to", "utilize", "Premises", "B", "for", "storage", ",", "only", ",", "and", "the", "rental", "rates", "and", "other", "provisions", "relating", "to", "Premises", "B", "set", "forth", "in", "the", "Lease", "reflect", "such", "use", ".", "However", ",", "from", "and", "after", "the", "date", "that", "Tenant", "commences", "the", "conduct", "of", "business", "from", "any", "portion", "of", "Premises", "B", "(", "the", "Conversion", "Date", ")", ",", "Tenant", "shall", "be", "deemed", "to", "have", "exercised", "its", "Conversion", "Option", ",", "whether", "or", "not", "Tenant", "provides", "Landlord", "written", "notice", "of", "such", "exercise", ".", "On", "the", "Conversion", "Date", "the", "Base", "Rent", "rate", "per", "rentable", "square", "foot", "of", "Premises", "B", "shall", "increase", "so", "that", "it", "is", "the", "same", "Base", "Rent", "rate", "per", "rentable", "square", "foot", "of", "Premises", "A", "on", "such", "date", ",", "and", "the", "Base", "Rent", "rate", "for", "Premises", "B", "shall", "increase", "at", "such", "times", "and", "in", "such", "amount", "as", "Base", "Rent", "for", "Premises", "A", "increases", "so", "that", "the", "Base", "Rent", "rate", "per", "rentable", "square", "foot", "for", "Premises", "B", "shall", "always", "be", "the", "same", "as", "the", "Base", "Rent", "rate", "per", "rentable", "square", "foot", "of", "Premises", "A", ".", "So", "long", "as", "Tenant", "provides", "Landlord", "with", "at", "least", "6", "months", "prior", "written", "notice", "of", "its", "exercise", "of", "the", "Conversion", "Option", ",", "Tenant", "shall", "be", "entitled", "to", "receive", "an", "improvement", "allowance", "(", "the", "Premises", "B", "Allowance", ")", "per", "rentable", "square", "foot", "of", "Premises", "B", "in", "an", "amount", "determined", "by", "multiplying", "$", "0", ".", "463", "by", "the", "number", "of", "full", "calendar", "months", "remaining", "in", "the", "Term", "on", "the", "Conversion", "Date", ",", "to", "be", "applied", "to", "the", "cost", "of", "performing", "initial", "improvements", "in", "Premises", "B", "made", "by", "Tenant", "pursuant", "to", "the", "Alterations", "provisions", "of", "the", "Lease", "(", "the", "Premises", "B", "Work", ")", ".", "For", "example", ",", "if", "there", "are", "40", "full", "calendar", "months", "remaining", "in", "the", "Term", "on", "the", "Conversion", "Date", ",", "Tenant", "shall", "be", "entitled", "to", "receive", "a", "Work", "Allowance", "of", "$", "17", ".", "48", "per", "rentable", "square", "foot", "of", "Premises", "B", "(", "$", "0", ".", "463", "x", "40", "=", "$", "18", ".", "52", ")", ".", "All", "Premises", "B", "Work", "shall", "be", "performed", "in", "accordance", "with", "the", "Alterations", "provisions", "of", "the", "Lease", ",", "and", "the", "Premises", "B", "Allowance", "shall", "be", "shall", "be", "disbursed", "as", "follows", ":", "Upon", "completion", "of", "the", "Premises", "B", "Work", ",", "and", "prior", "to", "disbursement", "of", "the", "Work", "Allowance", ",", "Tenant", "shall", "furnish", "Landlord", "with", ":", "(", "i", ")", "general", "contractor", "and", "architectural", "completion", "affidavits", ",", "(", "ii", ")", "full", "and", "final", "waivers", "of", "lien", ",", "(", "iii", ")", "receipted", "bills", "covering", "all", "labor", "and", "materials", "expended", "and", "used", ",", "(", "d", ")", "as-built", "plans", "of", "the", "Premises", "B", "Work", "and", "(", "e", ")", "the", "certification", "of", "Tenant", "and", "its", "architect", "that", "the", "Premises", "B", "Work", "has", "been", "installed", "in", "a", "good", "and", "workmanlike", "manner", "in", "accordance", "with", "the", "approved", "plans", ",", "and", "in", "accordance", "with", "applicable", "codes", "and", "ordinances", ".", "Notwithstanding", "anything", "herein", "to", "the", "contrary", ",", "Landlord", "shall", "not", "be", "obligated", "to", "disburse", "any", "portion", "of", "the", "Premises", "B", "Allowance", "during", "the", "continuance", "of", "an", "uncured", "default", "under", "the", "Lease", ",", "and", "Landlords", "obligation", "to", "disburse", "shall", "only", "resume", "when", "and", "if", "such", "default", "is", "cured", ".", "The", "Premises", "B", "Allowance", "may", "only", "be", "used", "for", "the", "cost", "of", "labor", ",", "material", "and", "contractors", "fees", "for", "the", "Premises", "B", "Work", "and", "the", "cost", "of", "preparing", "plans", "and", "drawings", "in", "connection", "therewith", ".", "In", "no", "event", "shall", "the", "Premises", "B", "Allowance", "be", "used", "for", "the", "purchase", "of", "equipment", ",", "furniture", "and", "other", "items", "of", "personal", "property", "of", "Tenant", "."]}
{"id": "14049", "text": "CONTRACT CHIEF FINANCIAL OFFICER AGREEMENT", "ner": [[1, 1, "Role"], [2, 4, "Title"]], "tokenized_text": ["CONTRACT", "CHIEF", "FINANCIAL", "OFFICER", "AGREEMENT"]}
{"id": "14051", "text": "2.1 REMUNERATION AND TERM. For a period of four months, starting 27th February, 2017 through 30th June, 2017 , the Contract CFO will be paid $125.00 per hour up to a maximum of 60 hours per week. Contract CFO will inform Company when 60 hours per week are reached so Company can determine future action. To the extent the Company authorizes additional hours in any weekly period, it shall be at the rate of $125.00 per hour. Contract CFO shall submit a bill bi-weekly detailing the hours worked for that bi-weekly period. Company shall tender payment within 14 calendar days of receipt of Contract CFOs bill.", "ner": [[26, 27, "Role"], [31, 34, "Salary"], [120, 121, "Role"]], "tokenized_text": ["2", ".", "1", "REMUNERATION", "AND", "TERM", ".", "For", "a", "period", "of", "four", "months", ",", "starting", "27th", "February", ",", "2017", "through", "30th", "June", ",", "2017", ",", "the", "Contract", "CFO", "will", "be", "paid", "$", "125", ".", "00", "per", "hour", "up", "to", "a", "maximum", "of", "60", "hours", "per", "week", ".", "Contract", "CFO", "will", "inform", "Company", "when", "60", "hours", "per", "week", "are", "reached", "so", "Company", "can", "determine", "future", "action", ".", "To", "the", "extent", "the", "Company", "authorizes", "additional", "hours", "in", "any", "weekly", "period", ",", "it", "shall", "be", "at", "the", "rate", "of", "$", "125", ".", "00", "per", "hour", ".", "Contract", "CFO", "shall", "submit", "a", "bill", "bi-weekly", "detailing", "the", "hours", "worked", "for", "that", "bi-weekly", "period", ".", "Company", "shall", "tender", "payment", "within", "14", "calendar", "days", "of", "receipt", "of", "Contract", "CFOs", "bill", "."]}
{"id": "14053", "text": "This Agreement, and the rights and obligations of the parties hereto, shall be governed by and construed in accordance with the laws of the State of Georgia without regard to principles of conflict of laws. Each of the parties waives any right to object to the jurisdiction or venue of such courts in Georgia or to claim that such courts are an inconvenient forum.", "ner": [[26, 28, "Court"]], "tokenized_text": ["This", "Agreement", ",", "and", "the", "rights", "and", "obligations", "of", "the", "parties", "hereto", ",", "shall", "be", "governed", "by", "and", "construed", "in", "accordance", "with", "the", "laws", "of", "the", "State", "of", "Georgia", "without", "regard", "to", "principles", "of", "conflict", "of", "laws", ".", "Each", "of", "the", "parties", "waives", "any", "right", "to", "object", "to", "the", "jurisdiction", "or", "venue", "of", "such", "courts", "in", "Georgia", "or", "to", "claim", "that", "such", "courts", "are", "an", "inconvenient", "forum", "."]}
{"id": "14054", "text": "By: /s/ James J. Martin", "ner": [[5, 8, "Parties"]], "tokenized_text": ["By", ":", "/", "s", "/", "James", "J", ".", "Martin"]}
{"id": "14055", "text": "EX-10.3 7 xplosion_ex103.htm CONSULTING AGREEMENT", "ner": [[7, 8, "Title"]], "tokenized_text": ["EX-10", ".", "3", "7", "xplosion_ex103", ".", "htm", "CONSULTING", "AGREEMENT"]}
{"id": "14057", "text": "1.01 The Company hereby engages the Consultant as an independent contractor to manage the sales and marketing and global distribution plans and strategies for the SayberX product(s) as exclusively represented by Xplosion Incorporated - in accordance with the Companys business plan, investment, capitalization and available funds to support these efforts throughout the Term (as hereinafter defined) on the terms and conditions herein set forth.", "ner": [[36, 37, "Parties"]], "tokenized_text": ["1", ".", "01", "The", "Company", "hereby", "engages", "the", "Consultant", "as", "an", "independent", "contractor", "to", "manage", "the", "sales", "and", "marketing", "and", "global", "distribution", "plans", "and", "strategies", "for", "the", "SayberX", "product", "(", "s", ")", "as", "exclusively", "represented", "by", "Xplosion", "Incorporated", "-", "in", "accordance", "with", "the", "Companys", "business", "plan", ",", "investment", ",", "capitalization", "and", "available", "funds", "to", "support", "these", "efforts", "throughout", "the", "Term", "(", "as", "hereinafter", "defined", ")", "on", "the", "terms", "and", "conditions", "herein", "set", "forth", "."]}
{"id": "14061", "text": "For good and valuable consideration the receipt of which is hereby acknowledged together with the payment of the Consultancy Fees, Mr. ANDREW Smith, the undersigned Consultant, hereby agrees not to directly or indirectly compete with the business of Xplosion Incorporated and its successors during the Term of this Agreement.", "ner": [[21, 24, "Role"], [42, 43, "Parties"]], "tokenized_text": ["For", "good", "and", "valuable", "consideration", "the", "receipt", "of", "which", "is", "hereby", "acknowledged", "together", "with", "the", "payment", "of", "the", "Consultancy", "Fees", ",", "Mr", ".", "ANDREW", "Smith", ",", "the", "undersigned", "Consultant", ",", "hereby", "agrees", "not", "to", "directly", "or", "indirectly", "compete", "with", "the", "business", "of", "Xplosion", "Incorporated", "and", "its", "successors", "during", "the", "Term", "of", "this", "Agreement", "."]}
{"id": "14062", "text": "The Consultant shall not own, manage, operate, consult or be employed in a business substantially similar to, or competitive with, the present business of the Company or such other business activity in which the Company may substantially engage during the term of this Agreement; except for INTERACTIVE HOLDINGS Limited ( Hong Kong ) or any successors and or assigns.", "ner": [[52, 54, "Parties"], [56, 57, "Address"]], "tokenized_text": ["The", "Consultant", "shall", "not", "own", ",", "manage", ",", "operate", ",", "consult", "or", "be", "employed", "in", "a", "business", "substantially", "similar", "to", ",", "or", "competitive", "with", ",", "the", "present", "business", "of", "the", "Company", "or", "such", "other", "business", "activity", "in", "which", "the", "Company", "may", "substantially", "engage", "during", "the", "term", "of", "this", "Agreement", ";", "except", "for", "INTERACTIVE", "HOLDINGS", "Limited", "(", "Hong", "Kong", ")", "or", "any", "successors", "and", "or", "assigns", "."]}
{"id": "14063", "text": "12.01 This Agreement will, in all respects, be governed by and construed in accordance with the laws of Hong Kong .", "ner": [[22, 23, "Court"]], "tokenized_text": ["12", ".", "01", "This", "Agreement", "will", ",", "in", "all", "respects", ",", "be", "governed", "by", "and", "construed", "in", "accordance", "with", "the", "laws", "of", "Hong", "Kong", "."]}
{"id": "14065", "text": "A.Consultant previously served as chief executive officer of the Company.", "ner": [[6, 8, "Role"]], "tokenized_text": ["A", ".", "Consultant", "previously", "served", "as", "chief", "executive", "officer", "of", "the", "Company", "."]}
{"id": "14067", "text": "2. Compensation and Expense Reimbursement. In sole consideration for the Services, Consultant shall be paid a fee of $50,000.00 per month, in arrears each month, over the Term (the Compensation) (prorated for any partial month of Services); provided that notwithstanding the foregoing, if the Company terminates the Term prior to the three-month anniversary of the date hereof without cause (as determined by the Company in good faith applying generally the same standards as those contained in the definition of Cause under the Employment Agreement, as if the Employment Agreement remained in effect), then (i)the Company shall pay Consultant an amount equal to $150,000.00 within ten (10)business days following the end of the Term, less any fees previously paid to Consultant hereunder, and (ii)for purposes of determining the vesting of any equity in paragraph 2 of Section1 of this Agreement, the Term shall be deemed to continue until the three-month anniversary of the date hereof. In addition, the Company will reimburse Consultant for any reasonable and documented out-of-pocket travel and out-of-town lodging expenses that Consultant properly incurs in the performance of the Services, subject to Consultants compliance with the Companys expense reimbursement policies; provided that Consultant must submit a notice to the Company and receive prior written approval from the Company for any such expenses expected to exceed $2,500 individually or $5,000 in the aggregate.", "ner": [[21, 26, "Salary"], [67, 68, "TerminationDate"], [99, 100, "Title"], [125, 130, "Salary"], [258, 261, "Salary"], [264, 267, "Salary"]], "tokenized_text": ["2", ".", "Compensation", "and", "Expense", "Reimbursement", ".", "In", "sole", "consideration", "for", "the", "Services", ",", "Consultant", "shall", "be", "paid", "a", "fee", "of", "$", "50", ",", "000", ".", "00", "per", "month", ",", "in", "arrears", "each", "month", ",", "over", "the", "Term", "(", "the", "Compensation", ")", "(", "prorated", "for", "any", "partial", "month", "of", "Services", ")", ";", "provided", "that", "notwithstanding", "the", "foregoing", ",", "if", "the", "Company", "terminates", "the", "Term", "prior", "to", "the", "three-month", "anniversary", "of", "the", "date", "hereof", "without", "cause", "(", "as", "determined", "by", "the", "Company", "in", "good", "faith", "applying", "generally", "the", "same", "standards", "as", "those", "contained", "in", "the", "definition", "of", "Cause", "under", "the", "Employment", "Agreement", ",", "as", "if", "the", "Employment", "Agreement", "remained", "in", "effect", ")", ",", "then", "(", "i", ")", "the", "Company", "shall", "pay", "Consultant", "an", "amount", "equal", "to", "$", "150", ",", "000", ".", "00", "within", "ten", "(", "10", ")", "business", "days", "following", "the", "end", "of", "the", "Term", ",", "less", "any", "fees", "previously", "paid", "to", "Consultant", "hereunder", ",", "and", "(", "ii", ")", "for", "purposes", "of", "determining", "the", "vesting", "of", "any", "equity", "in", "paragraph", "2", "of", "Section1", "of", "this", "Agreement", ",", "the", "Term", "shall", "be", "deemed", "to", "continue", "until", "the", "three-month", "anniversary", "of", "the", "date", "hereof", ".", "In", "addition", ",", "the", "Company", "will", "reimburse", "Consultant", "for", "any", "reasonable", "and", "documented", "out-of-pocket", "travel", "and", "out-of-town", "lodging", "expenses", "that", "Consultant", "properly", "incurs", "in", "the", "performance", "of", "the", "Services", ",", "subject", "to", "Consultants", "compliance", "with", "the", "Companys", "expense", "reimbursement", "policies", ";", "provided", "that", "Consultant", "must", "submit", "a", "notice", "to", "the", "Company", "and", "receive", "prior", "written", "approval", "from", "the", "Company", "for", "any", "such", "expenses", "expected", "to", "exceed", "$", "2", ",", "500", "individually", "or", "$", "5", ",", "000", "in", "the", "aggregate", "."]}
{"id": "14069", "text": "| | ---|---|--- CONSULTANT: David M. Davis | Signature: | |", "ner": [], "tokenized_text": ["|", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "CONSULTANT", ":", "David", "M", ".", "Davis", "|", "Signature", ":", "|", "|"]}
{"id": "14072", "text": "EX-10.39 4 ex10-39.htm SERVICE AND CONSULTING AGREEMENT", "ner": [[7, 10, "Title"]], "tokenized_text": ["EX-10", ".", "39", "4", "ex10-39", ".", "htm", "SERVICE", "AND", "CONSULTING", "AGREEMENT"]}
{"id": "14073", "text": "[ Blue Sphere Corporation S-1/A](blsp-s1a_020217.htm)", "ner": [[1, 3, "Parties"]], "tokenized_text": ["[", "Blue", "Sphere", "Corporation", "S-1", "/", "A", "]", "(", "blsp-s1a_020217", ".", "htm", ")"]}
{"id": "14076", "text": "Blue Sphere Corporation , a Nevada company with a business office in Even Yehuda, 35 Asuta Street, Israel and/or Eastern Sphere Ltd. And /or Bino Sphere LLC and/or any present and/or future subsidiary of Blue Sphere Corporation", "ner": [[0, 2, "Parties"], [12, 19, "Address"], [23, 26, "Parties"], [30, 32, "Parties"]], "tokenized_text": ["Blue", "Sphere", "Corporation", ",", "a", "Nevada", "company", "with", "a", "business", "office", "in", "Even", "Yehuda", ",", "35", "Asuta", "Street", ",", "Israel", "and", "/", "or", "Eastern", "Sphere", "Ltd", ".", "And", "/", "or", "Bino", "Sphere", "LLC", "and", "/", "or", "any", "present", "and", "/", "or", "future", "subsidiary", "of", "Blue", "Sphere", "Corporation"]}
{"id": "14077", "text": "1.1. Term. The independent contractual relationship pursuant to this Agreement will commence on March 1st 2013 (the Effective Date), and shall continue unless terminated earlier pursuant to Section 4 hereof (the Term).", "ner": [[17, 19, "EffectiveDate"]], "tokenized_text": ["1", ".", "1", ".", "Term", ".", "The", "independent", "contractual", "relationship", "pursuant", "to", "this", "Agreement", "will", "commence", "on", "March", "1st", "2013", "(", "the", "Effective", "Date", ")", ",", "and", "shall", "continue", "unless", "terminated", "earlier", "pursuant", "to", "Section", "4", "hereof", "(", "the", "Term", ")", "."]}
{"id": "14078", "text": "3.1. Subject to the performance of the Services to be rendered hereunder, the Company shall pay to the Consultant for all Services rendered hereunder a monthly fee in an aggregate amount of $18,000 .-(the Compensation).", "ner": [[36, 41, "Salary"]], "tokenized_text": ["3", ".", "1", ".", "Subject", "to", "the", "performance", "of", "the", "Services", "to", "be", "rendered", "hereunder", ",", "the", "Company", "shall", "pay", "to", "the", "Consultant", "for", "all", "Services", "rendered", "hereunder", "a", "monthly", "fee", "in", "an", "aggregate", "amount", "of", "$", "18", ",", "000", ".", "-", "(", "the", "Compensation", ")", "."]}
{"id": "14079", "text": "3.1.3. The balance ($8,000), between Compensation stipulated in section 3.1 ( $18,000 ) and the reduced compensation stipulated in section 3.1.2 above ($10,000), for the period stipulated in section 3.1.2 above, shall be paid to Consultant upon the first payment of a cash bonus by Company to its CEO in excess of $ 50,000 but no later than two years from the date of financial closing of the 1st project.", "ner": [[9, 12, "Salary"], [24, 27, "Salary"], [43, 46, "Salary"], [79, 79, "Role"], [83, 86, "Salary"]], "tokenized_text": ["3", ".", "1", ".", "3", ".", "The", "balance", "(", "$", "8", ",", "000", ")", ",", "between", "Compensation", "stipulated", "in", "section", "3", ".", "1", "(", "$", "18", ",", "000", ")", "and", "the", "reduced", "compensation", "stipulated", "in", "section", "3", ".", "1", ".", "2", "above", "(", "$", "10", ",", "000", ")", ",", "for", "the", "period", "stipulated", "in", "section", "3", ".", "1", ".", "2", "above", ",", "shall", "be", "paid", "to", "Consultant", "upon", "the", "first", "payment", "of", "a", "cash", "bonus", "by", "Company", "to", "its", "CEO", "in", "excess", "of", "$", "50", ",", "000", "but", "no", "later", "than", "two", "years", "from", "the", "date", "of", "financial", "closing", "of", "the", "1st", "project", "."]}
{"id": "14083", "text": "This Consulting Agreement is made on this 1st day of March, 2017 (the Effective Date) between Celsius Holdings, Inc. (the Company) and Gerry David (Consultant).", "ner": [[1, 2, "Title"], [7, 12, "EffectiveDate"], [19, 23, "Parties"], [29, 30, "Parties"]], "tokenized_text": ["This", "Consulting", "Agreement", "is", "made", "on", "this", "1st", "day", "of", "March", ",", "2017", "(", "the", "Effective", "Date", ")", "between", "Celsius", "Holdings", ",", "Inc", ".", "(", "the", "Company", ")", "and", "Gerry", "David", "(", "Consultant", ")", "."]}
{"id": "14086", "text": "Section 7.1. Agreement Not To Compete. For the period ending on January 1, 2020 , Consultant agrees not to directly or indirectly own, manage, control, or operate; serve as an officer, director, partner or employee of; have any direct or indirect financial interest in; or assist in any way; any person or entity that competes with any business conducted by the Company or by any of the Companys affiliates or subsidiaries in any geographic region in which the Company conducts business.", "ner": [[15, 18, "EffectiveDate"]], "tokenized_text": ["Section", "7", ".", "1", ".", "Agreement", "Not", "To", "Compete", ".", "For", "the", "period", "ending", "on", "January", "1", ",", "2020", ",", "Consultant", "agrees", "not", "to", "directly", "or", "indirectly", "own", ",", "manage", ",", "control", ",", "or", "operate", ";", "serve", "as", "an", "officer", ",", "director", ",", "partner", "or", "employee", "of", ";", "have", "any", "direct", "or", "indirect", "financial", "interest", "in", ";", "or", "assist", "in", "any", "way", ";", "any", "person", "or", "entity", "that", "competes", "with", "any", "business", "conducted", "by", "the", "Company", "or", "by", "any", "of", "the", "Companys", "affiliates", "or", "subsidiaries", "in", "any", "geographic", "region", "in", "which", "the", "Company", "conducts", "business", "."]}
{"id": "14088", "text": "Section 7.3. Nondisparagement Agreement. For a period ending on January 1, 2020 , Consultant covenants and agrees not to make, directly or indirectly through any other person or entity, any negative, derogatory or disparaging statements or communications, whether written or oral, about the Company or any of the Companys affiliates or subsidiaries or any of their respective businesses, services, activities, business relationships, shareholders, members, partners, directors, officers, managers or employees.", "ner": [[5, 6, "Title"], [13, 16, "EffectiveDate"]], "tokenized_text": ["Section", "7", ".", "3", ".", "Nondisparagement", "Agreement", ".", "For", "a", "period", "ending", "on", "January", "1", ",", "2020", ",", "Consultant", "covenants", "and", "agrees", "not", "to", "make", ",", "directly", "or", "indirectly", "through", "any", "other", "person", "or", "entity", ",", "any", "negative", ",", "derogatory", "or", "disparaging", "statements", "or", "communications", ",", "whether", "written", "or", "oral", ",", "about", "the", "Company", "or", "any", "of", "the", "Companys", "affiliates", "or", "subsidiaries", "or", "any", "of", "their", "respective", "businesses", ",", "services", ",", "activities", ",", "business", "relationships", ",", "shareholders", ",", "members", ",", "partners", ",", "directors", ",", "officers", ",", "managers", "or", "employees", "."]}
{"id": "14091", "text": "Companys address: | Celsius Holdings, Inc. ---|--- | 2424 N. Federal Highway, Suite 208 | Boca Raton, FL 33431", "ner": [[4, 8, "Parties"], [17, 24, "Address"], [26, 29, "Address"]], "tokenized_text": ["Companys", "address", ":", "|", "Celsius", "Holdings", ",", "Inc", ".", "-", "-", "-", "|", "-", "-", "-", "|", "2424", "N", ".", "Federal", "Highway", ",", "Suite", "208", "|", "Boca", "Raton", ",", "FL", "33431"]}
{"id": "14092", "text": "All questions regarding the validity and interpretation of this Consulting Agreement shall be governed by and construed and enforced in all respects in accordance with the laws of the State of Florida . Venue for any action arising in any manner out of the Consultants engagement, this Consulting Agreement , or any of the terms contained herein shall be the Federal and or State courts located in Palm Beach County, Florida, regardless of where this Consulting Agreement is to be performed. In the event either party engages legal counsel to enforce any provision contained in this Consulting Agreement , the prevailing party shall be entitled to all reasonable attorneys fees, investigative expenses, costs, and court costs, whether or not a suit is actually filed, but including all levels of appeal.", "ner": [[9, 10, "Title"], [29, 31, "Court"], [68, 72, "Court"]], "tokenized_text": ["All", "questions", "regarding", "the", "validity", "and", "interpretation", "of", "this", "Consulting", "Agreement", "shall", "be", "governed", "by", "and", "construed", "and", "enforced", "in", "all", "respects", "in", "accordance", "with", "the", "laws", "of", "the", "State", "of", "Florida", ".", "Venue", "for", "any", "action", "arising", "in", "any", "manner", "out", "of", "the", "Consultants", "engagement", ",", "this", "Consulting", "Agreement", ",", "or", "any", "of", "the", "terms", "contained", "herein", "shall", "be", "the", "Federal", "and", "or", "State", "courts", "located", "in", "Palm", "Beach", "County", ",", "Florida", ",", "regardless", "of", "where", "this", "Consulting", "Agreement", "is", "to", "be", "performed", ".", "In", "the", "event", "either", "party", "engages", "legal", "counsel", "to", "enforce", "any", "provision", "contained", "in", "this", "Consulting", "Agreement", ",", "the", "prevailing", "party", "shall", "be", "entitled", "to", "all", "reasonable", "attorneys", "fees", ",", "investigative", "expenses", ",", "costs", ",", "and", "court", "costs", ",", "whether", "or", "not", "a", "suit", "is", "actually", "filed", ",", "but", "including", "all", "levels", "of", "appeal", "."]}
{"id": "14093", "text": "| CONSULTANT: ---|--- | | /s/ Gerry David | Gerry David | | COMPANY: | | CELSIUS HOLDINGS, INC. | | By: | /s/ William H. Milmoe | | William H. Milmoe | | Co-Chairman of the Board | | | By: | /s/ Tim Leissner | | Tim Leissner | | Co-Chairman of the Board", "ner": [[15, 16, "Parties"], [26, 30, "Parties"], [39, 42, "Parties"], [51, 51, "Role"], [64, 65, "Parties"]], "tokenized_text": ["|", "CONSULTANT", ":", "-", "-", "-", "|", "-", "-", "-", "|", "|", "/", "s", "/", "Gerry", "David", "|", "Gerry", "David", "|", "|", "COMPANY", ":", "|", "|", "CELSIUS", "HOLDINGS", ",", "INC", ".", "|", "|", "By", ":", "|", "/", "s", "/", "William", "H", ".", "Milmoe", "|", "|", "William", "H", ".", "Milmoe", "|", "|", "Co-Chairman", "of", "the", "Board", "|", "|", "|", "By", ":", "|", "/", "s", "/", "Tim", "Leissner", "|", "|", "Tim", "Leissner", "|", "|", "Co-Chairman", "of", "the", "Board"]}
{"id": "14096", "text": "/s/ Edward A. Rose _________", "ner": [[3, 6, "Parties"]], "tokenized_text": ["/", "s", "/", "Edward", "A", ".", "Rose", "_________"]}
{"id": "14098", "text": "1.Engagement; Term. Effective as of the Effective Date, the Company engages Consultant to serve as a consultant to the Board, and Consultant accepts such engagement. Unless earlier terminated pursuant to Section5 below, the term of Consultants engagement hereunder (theTerm) shall commence on the Effective Date and continue until the date that is six months after the Effective Date.", "ner": [], "tokenized_text": ["1", ".", "Engagement", ";", "Term", ".", "Effective", "as", "of", "the", "Effective", "Date", ",", "the", "Company", "engages", "Consultant", "to", "serve", "as", "a", "consultant", "to", "the", "Board", ",", "and", "Consultant", "accepts", "such", "engagement", ".", "Unless", "earlier", "terminated", "pursuant", "to", "Section5", "below", ",", "the", "term", "of", "Consultants", "engagement", "hereunder", "(", "theTerm", ")", "shall", "commence", "on", "the", "Effective", "Date", "and", "continue", "until", "the", "date", "that", "is", "six", "months", "after", "the", "Effective", "Date", "."]}
{"id": "14102", "text": "10.Applicable Law. This Agreement is entered into under, and the validity, interpretation, construction and performance of this Agreement shall be governed by, the laws of the State of Texas .", "ner": [[33, 35, "Court"]], "tokenized_text": ["10", ".", "Applicable", "Law", ".", "This", "Agreement", "is", "entered", "into", "under", ",", "and", "the", "validity", ",", "interpretation", ",", "construction", "and", "performance", "of", "this", "Agreement", "shall", "be", "governed", "by", ",", "the", "laws", "of", "the", "State", "of", "Texas", "."]}
{"id": "14107", "text": "This Consulting Agreement (Agreement) in entered and into effect as of 30th day of March, 2017 , between Gala Global, Inc. , a Nevada Corporation, having a principal address of 2780 S. Jones Blvd #3725, Las Vegas NV 89146 and its subsidiaries, affiliates, or corporate or other successors, if any (collectively, Company), and Owen Naccarato , an individual (Executive).", "ner": [[1, 2, "Title"], [13, 18, "EffectiveDate"], [21, 25, "Parties"], [36, 47, "Address"], [69, 70, "Parties"]], "tokenized_text": ["This", "Consulting", "Agreement", "(", "Agreement", ")", "in", "entered", "and", "into", "effect", "as", "of", "30th", "day", "of", "March", ",", "2017", ",", "between", "Gala", "Global", ",", "Inc", ".", ",", "a", "Nevada", "Corporation", ",", "having", "a", "principal", "address", "of", "2780", "S", ".", "Jones", "Blvd", "#", "3725", ",", "Las", "Vegas", "NV", "89146", "and", "its", "subsidiaries", ",", "affiliates", ",", "or", "corporate", "or", "other", "successors", ",", "if", "any", "(", "collectively", ",", "Company", ")", ",", "and", "Owen", "Naccarato", ",", "an", "individual", "(", "Executive", ")", "."]}
{"id": "14108", "text": "Unless the Parties agree otherwise in writing, the principal place of business of the employment term shall be at 2780 S. Jones Blvd #3725, Las Vegas NV 89146", "ner": [[20, 31, "Address"]], "tokenized_text": ["Unless", "the", "Parties", "agree", "otherwise", "in", "writing", ",", "the", "principal", "place", "of", "business", "of", "the", "employment", "term", "shall", "be", "at", "2780", "S", ".", "Jones", "Blvd", "#", "3725", ",", "Las", "Vegas", "NV", "89146"]}
{"id": "14109", "text": "The term of this Agreement shall commence on the 30th day of MARCH 2017 , and shall continue through MARCH 30th 2021 unless terminated in accordance with the provisions of this Agreement.", "ner": [[9, 13, "TerminationDate"], [19, 21, "TerminationDate"]], "tokenized_text": ["The", "term", "of", "this", "Agreement", "shall", "commence", "on", "the", "30th", "day", "of", "MARCH", "2017", ",", "and", "shall", "continue", "through", "MARCH", "30th", "2021", "unless", "terminated", "in", "accordance", "with", "the", "provisions", "of", "this", "Agreement", "."]}
{"id": "14110", "text": "Company shall employ Executive as Legal Consultant or in such other capacity or capacities as Companys Board of Directors may from time to time prescribe.", "ner": [[16, 18, "Role"]], "tokenized_text": ["Company", "shall", "employ", "Executive", "as", "Legal", "Consultant", "or", "in", "such", "other", "capacity", "or", "capacities", "as", "Companys", "Board", "of", "Directors", "may", "from", "time", "to", "time", "prescribe", "."]}
{"id": "14111", "text": "Executive shall be Legal Consultant , with full power and authority to manage and conduct all the business of Company, subject to the directions and policies of Company and its Board of Directors as they may be, from time to time, stated either orally or in writing. Executive shall not, however, take any of the following actions on behalf of Company without the express written approval of the board of directors;", "ner": [], "tokenized_text": ["Executive", "shall", "be", "Legal", "Consultant", ",", "with", "full", "power", "and", "authority", "to", "manage", "and", "conduct", "all", "the", "business", "of", "Company", ",", "subject", "to", "the", "directions", "and", "policies", "of", "Company", "and", "its", "Board", "of", "Directors", "as", "they", "may", "be", ",", "from", "time", "to", "time", ",", "stated", "either", "orally", "or", "in", "writing", ".", "Executive", "shall", "not", ",", "however", ",", "take", "any", "of", "the", "following", "actions", "on", "behalf", "of", "Company", "without", "the", "express", "written", "approval", "of", "the", "board", "of", "directors", ";"]}
{"id": "14112", "text": "Executive shall serve in an executive capacity and shall perform such duties as are consistent with his positions as Legal Consultant . Executive performance of his duties shall at all times be subject to the policies set by Companys Board of Directors, and to the consent of the Board, when required by this Agreement, or by the Bylaws or Board resolutions of the Company. Such duties shall include, without limitation, leading and coordinating Companys efforts to develop and implement strategic and operating plans for Company and its operating subsidiaries (including, without limitation, the production, manufacture, marketing, distribution, and sale of the products of Companys operating subsidiaries); executing day-to-day general management of Company; developing relationships with new distributors, customers, and suppliers; maintaining and solidifying relationships with Companys existing distributors, customers, and suppliers; and supporting the development and growth of Company and its operating subsidiaries.", "ner": [[60, 60, "Title"]], "tokenized_text": ["Executive", "shall", "serve", "in", "an", "executive", "capacity", "and", "shall", "perform", "such", "duties", "as", "are", "consistent", "with", "his", "positions", "as", "Legal", "Consultant", ".", "Executive", "performance", "of", "his", "duties", "shall", "at", "all", "times", "be", "subject", "to", "the", "policies", "set", "by", "Companys", "Board", "of", "Directors", ",", "and", "to", "the", "consent", "of", "the", "Board", ",", "when", "required", "by", "this", "Agreement", ",", "or", "by", "the", "Bylaws", "or", "Board", "resolutions", "of", "the", "Company", ".", "Such", "duties", "shall", "include", ",", "without", "limitation", ",", "leading", "and", "coordinating", "Companys", "efforts", "to", "develop", "and", "implement", "strategic", "and", "operating", "plans", "for", "Company", "and", "its", "operating", "subsidiaries", "(", "including", ",", "without", "limitation", ",", "the", "production", ",", "manufacture", ",", "marketing", ",", "distribution", ",", "and", "sale", "of", "the", "products", "of", "Companys", "operating", "subsidiaries", ")", ";", "executing", "day-to-day", "general", "management", "of", "Company", ";", "developing", "relationships", "with", "new", "distributors", ",", "customers", ",", "and", "suppliers", ";", "maintaining", "and", "solidifying", "relationships", "with", "Companys", "existing", "distributors", ",", "customers", ",", "and", "suppliers", ";", "and", "supporting", "the", "development", "and", "growth", "of", "Company", "and", "its", "operating", "subsidiaries", "."]}
{"id": "14114", "text": "| a)| During the term of this Agreement, the Executive will be paid an ANNUAL base of Executive Stock in the amount of TEN MILLION (10,000,000) shares of Rule 144 Restricted Common Stock of the Company (OTC: GRNH); ---|---|--- | b)| The Executive shall be issued ONE PERCENT (1%) of the issue and outstanding equity stock in Company every Six (6) Months during the term of this Agreement, ---|---|--- | c)| The certificates representing the Executive Stock Common Shares will bear the following legend; ---|---|---", "ner": [[26, 27, "Shares"], [29, 33, "Shares"], [37, 38, "Regulation"], [71, 76, "Percentage"]], "tokenized_text": ["|", "a", ")", "|", "During", "the", "term", "of", "this", "Agreement", ",", "the", "Executive", "will", "be", "paid", "an", "ANNUAL", "base", "of", "Executive", "Stock", "in", "the", "amount", "of", "TEN", "MILLION", "(", "10", ",", "000", ",", "000", ")", "shares", "of", "Rule", "144", "Restricted", "Common", "Stock", "of", "the", "Company", "(", "OTC", ":", "GRNH", ")", ";", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "b", ")", "|", "The", "Executive", "shall", "be", "issued", "ONE", "PERCENT", "(", "1", "%", ")", "of", "the", "issue", "and", "outstanding", "equity", "stock", "in", "Company", "every", "Six", "(", "6", ")", "Months", "during", "the", "term", "of", "this", "Agreement", ",", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "c", ")", "|", "The", "certificates", "representing", "the", "Executive", "Stock", "Common", "Shares", "will", "bear", "the", "following", "legend", ";", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "14115", "text": "Exclusively the laws of the Province of California and the federal laws of the U.S applicable shall govern the validity and interpretation of this Agreement therein.", "ner": [[5, 7, "Court"]], "tokenized_text": ["Exclusively", "the", "laws", "of", "the", "Province", "of", "California", "and", "the", "federal", "laws", "of", "the", "U", ".", "S", "applicable", "shall", "govern", "the", "validity", "and", "interpretation", "of", "this", "Agreement", "therein", "."]}
{"id": "14116", "text": "THE PARTIES, INTENDING TO BE LEGALLY BOUND, have executed this Agreement as of the date first above written.", "ner": [], "tokenized_text": ["THE", "PARTIES", ",", "INTENDING", "TO", "BE", "LEGALLY", "BOUND", ",", "have", "executed", "this", "Agreement", "as", "of", "the", "date", "first", "above", "written", "."]}
{"id": "14121", "text": "This Agreement shall be construed according to and governed by the laws of the Commonwealth of Pennsylvania . Venue for any legal actions between the parties involving this Agreement and/or the Project shall be in York County, Pennsylvania.", "ner": [[14, 16, "Court"], [37, 40, "Court"]], "tokenized_text": ["This", "Agreement", "shall", "be", "construed", "according", "to", "and", "governed", "by", "the", "laws", "of", "the", "Commonwealth", "of", "Pennsylvania", ".", "Venue", "for", "any", "legal", "actions", "between", "the", "parties", "involving", "this", "Agreement", "and", "/", "or", "the", "Project", "shall", "be", "in", "York", "County", ",", "Pennsylvania", "."]}
{"id": "14122", "text": "co% Shah Mathias, President", "ner": [], "tokenized_text": ["co", "%", "Shah", "Mathias", ",", "President"]}
{"id": "14124", "text": "HI SPEED RAIL FACILITIES,PROVIDER INC.", "ner": [], "tokenized_text": ["HI", "SPEED", "RAIL", "FACILITIES", ",", "PROVIDER", "INC", "."]}
{"id": "14125", "text": "EXECUTIVE AND CTO CONSULTING AGREEMENT", "ner": [[2, 4, "Title"]], "tokenized_text": ["EXECUTIVE", "AND", "CTO", "CONSULTING", "AGREEMENT"]}
{"id": "14129", "text": "AND: TSI Sports Inc (the \"Company\"), a company organized and existing under the laws of Nevada with its head office located at:", "ner": [[2, 4, "Parties"], [19, 21, "Court"]], "tokenized_text": ["AND", ":", "TSI", "Sports", "Inc", "(", "the", "\"", "Company", "\"", ")", ",", "a", "company", "organized", "and", "existing", "under", "the", "laws", "of", "Nevada", "with", "its", "head", "office", "located", "at", ":"]}
{"id": "14130", "text": "711 S Carson St Ste 4, Carson City, 89701", "ner": [], "tokenized_text": ["711", "S", "Carson", "St", "Ste", "4", ",", "Carson", "City", ",", "89701"]}
{"id": "14133", "text": "In consideration of the services to be rendered hereunder, including, without limitation, services to any Affiliated Company, Consultant shall be issued 100,000 common shares annually. The shares will deemed to be earned in proportion and at the end of each month. For example at the end of each month the Consultant will have earned 1/12 of his compensation. The Consultant and Company may agree on an increase in the compensation based on the market conditions and work load of Consultant. To amend the Compensation simple letter attachment giving the new amount signed by both parties shall suffice.", "ner": [[25, 27, "Shares"], [62, 64, "Ratio"]], "tokenized_text": ["In", "consideration", "of", "the", "services", "to", "be", "rendered", "hereunder", ",", "including", ",", "without", "limitation", ",", "services", "to", "any", "Affiliated", "Company", ",", "Consultant", "shall", "be", "issued", "100", ",", "000", "common", "shares", "annually", ".", "The", "shares", "will", "deemed", "to", "be", "earned", "in", "proportion", "and", "at", "the", "end", "of", "each", "month", ".", "For", "example", "at", "the", "end", "of", "each", "month", "the", "Consultant", "will", "have", "earned", "1", "/", "12", "of", "his", "compensation", ".", "The", "Consultant", "and", "Company", "may", "agree", "on", "an", "increase", "in", "the", "compensation", "based", "on", "the", "market", "conditions", "and", "work", "load", "of", "Consultant", ".", "To", "amend", "the", "Compensation", "simple", "letter", "attachment", "giving", "the", "new", "amount", "signed", "by", "both", "parties", "shall", "suffice", "."]}
{"id": "14134", "text": "Consultant is representing the company in a senior executive role as its Vice President and Chief Technology Officer . The order or sequence in which the work is to be performed shall be under the control of Consultant. Except to the extent that the Consultants work must be performed on or with Companys computers, his own computers shall suffice. Company shall not provide any insurance coverage of any kind for Consultant, and Company will not withhold any amount that would normally be withheld from an employees pay.", "ner": [[12, 13, "Role"], [15, 17, "Role"]], "tokenized_text": ["Consultant", "is", "representing", "the", "company", "in", "a", "senior", "executive", "role", "as", "its", "Vice", "President", "and", "Chief", "Technology", "Officer", ".", "The", "order", "or", "sequence", "in", "which", "the", "work", "is", "to", "be", "performed", "shall", "be", "under", "the", "control", "of", "Consultant", ".", "Except", "to", "the", "extent", "that", "the", "Consultants", "work", "must", "be", "performed", "on", "or", "with", "Companys", "computers", ",", "his", "own", "computers", "shall", "suffice", ".", "Company", "shall", "not", "provide", "any", "insurance", "coverage", "of", "any", "kind", "for", "Consultant", ",", "and", "Company", "will", "not", "withhold", "any", "amount", "that", "would", "normally", "be", "withheld", "from", "an", "employees", "pay", "."]}
{"id": "14135", "text": "TSI SPORTS INC 711 S Carson St Ste 4, Carson City, 89701", "ner": [[3, 13, "Address"]], "tokenized_text": ["TSI", "SPORTS", "INC", "711", "S", "Carson", "St", "Ste", "4", ",", "Carson", "City", ",", "89701"]}
{"id": "14137", "text": "Simon Smith Printed Name and Title", "ner": [], "tokenized_text": ["Simon", "Smith", "Printed", "Name", "and", "Title"]}
{"id": "14138", "text": "This Consulting Agreement (the Agreement) is made as of May 26, 2017 (the Effective Date) between Jerash Holdings (US) Inc ., with an address of 19/F, Ford Glory Plaza, 37-39 Wing Hong Stree t, Cheung Sha Wan, Kowloon, Hong Kong (Company), and LogiCore Strategies, LLC , a limited liability company created and existing under the laws of New York with and address at 8481 Big Cone Path, Liverpool, NY 13090 (Consultant) (Company and Consultant are each a Party and collectively the Parties).", "ner": [[1, 2, "Title"], [11, 14, "EffectiveDate"], [21, 27, "Parties"], [60, 63, "Parties"], [74, 77, "Court"], [82, 90, "Address"]], "tokenized_text": ["This", "Consulting", "Agreement", "(", "the", "Agreement", ")", "is", "made", "as", "of", "May", "26", ",", "2017", "(", "the", "Effective", "Date", ")", "between", "Jerash", "Holdings", "(", "US", ")", "Inc", ".", ",", "with", "an", "address", "of", "19", "/", "F", ",", "Ford", "Glory", "Plaza", ",", "37-39", "Wing", "Hong", "Stree", "t", ",", "Cheung", "Sha", "Wan", ",", "Kowloon", ",", "Hong", "Kong", "(", "Company", ")", ",", "and", "LogiCore", "Strategies", ",", "LLC", ",", "a", "limited", "liability", "company", "created", "and", "existing", "under", "the", "laws", "of", "New", "York", "with", "and", "address", "at", "8481", "Big", "Cone", "Path", ",", "Liverpool", ",", "NY", "13090", "(", "Consultant", ")", "(", "Company", "and", "Consultant", "are", "each", "a", "Party", "and", "collectively", "the", "Parties", ")", "."]}
{"id": "14140", "text": "6.Compensation. Consultant shall initially be paid $60,000.00 USD per annum for its Services based upon approximately 10 hours of service per week and/or 40 hours per month, to be paid in the following manner:", "ner": [[9, 15, "Salary"]], "tokenized_text": ["6", ".", "Compensation", ".", "Consultant", "shall", "initially", "be", "paid", "$", "60", ",", "000", ".", "00", "USD", "per", "annum", "for", "its", "Services", "based", "upon", "approximately", "10", "hours", "of", "service", "per", "week", "and", "/", "or", "40", "hours", "per", "month", ",", "to", "be", "paid", "in", "the", "following", "manner", ":"]}
{"id": "14141", "text": "8.Termination. This Agreement shall automatically renew unless terminated by either Party. This Agreement may be terminated upon mutual written consent of the Consultant and Company. At any time after the three (3) months hereof, Consultant may terminate this Agreement (a) upon thirty (30) days prior written notice to the Company or (b) immediately if Consultants agent is subject to materially diminished duties or responsibilities provided that should a replacement Chief Financial Officer be retained by the Company such replacement shall not constitute diminished duties or responsibilities. The Company may terminate this Agreement without prior notice and without further obligation for reasons of just cause (e.g., fraud, theft, conviction of a felony, improper or dishonest action or significant acts of misconduct), on the part of Consultant or any of Consultants agents providing services to the Company. The Company may terminate this Agreement without cause (i) upon ten (10) days written notice.", "ner": [[7, 8, "RenewalTerm"], [35, 39, "TerminationDate"], [83, 85, "Role"]], "tokenized_text": ["8", ".", "Termination", ".", "This", "Agreement", "shall", "automatically", "renew", "unless", "terminated", "by", "either", "Party", ".", "This", "Agreement", "may", "be", "terminated", "upon", "mutual", "written", "consent", "of", "the", "Consultant", "and", "Company", ".", "At", "any", "time", "after", "the", "three", "(", "3", ")", "months", "hereof", ",", "Consultant", "may", "terminate", "this", "Agreement", "(", "a", ")", "upon", "thirty", "(", "30", ")", "days", "prior", "written", "notice", "to", "the", "Company", "or", "(", "b", ")", "immediately", "if", "Consultants", "agent", "is", "subject", "to", "materially", "diminished", "duties", "or", "responsibilities", "provided", "that", "should", "a", "replacement", "Chief", "Financial", "Officer", "be", "retained", "by", "the", "Company", "such", "replacement", "shall", "not", "constitute", "diminished", "duties", "or", "responsibilities", ".", "The", "Company", "may", "terminate", "this", "Agreement", "without", "prior", "notice", "and", "without", "further", "obligation", "for", "reasons", "of", "just", "cause", "(", "e", ".", "g", ".", ",", "fraud", ",", "theft", ",", "conviction", "of", "a", "felony", ",", "improper", "or", "dishonest", "action", "or", "significant", "acts", "of", "misconduct", ")", ",", "on", "the", "part", "of", "Consultant", "or", "any", "of", "Consultants", "agents", "providing", "services", "to", "the", "Company", ".", "The", "Company", "may", "terminate", "this", "Agreement", "without", "cause", "(", "i", ")", "upon", "ten", "(", "10", ")", "days", "written", "notice", "."]}
{"id": "14143", "text": "In Witness Whereof, the Parties have entered into this Consulting Agreement as of the Effective Date set forth above.", "ner": [[5, 5, "Parties"], [10, 11, "Title"]], "tokenized_text": ["In", "Witness", "Whereof", ",", "the", "Parties", "have", "entered", "into", "this", "Consulting", "Agreement", "as", "of", "the", "Effective", "Date", "set", "forth", "above", "."]}
{"id": "14146", "text": "Consultants Indemnification Consultant shall indemnify, defend and hold Merchant and its consultants, members, managers, partners, officers, directors, employees, attorneys, advisors, principals, and affiliates (other than the Consultant or the Consultant Indemnified Parties) (collectively, \"Merchant Indemnified Parties\") harmless from and against all liabilities, claims, demands, damages, costs and expenses (including reasonable attorneys' fees) arising from or related to (a) the willful or grossly negligent acts or omissions of Consultant or the Consultant Indemnified Parties; (b) the breach of any provision of, or the failure to perform any obligation under, this Agreement by Consultant; (c) any liability or other claims made by Consultants Indemnified Parties or any other person (excluding Merchant Indemnified Parties) against a Merchant Indemnified Party arising out of or related to Consultants conduct of the Sale, except claims arising from Merchants negligence, willful misconduct, or unlawful behavior; (d) any harassment, discrimination or violation of any laws or regulations or any other unlawful, tortuous or otherwise actionable treatment of Merchant Indemnified Parties , or Merchants customers by Consultant or any of the Consultant Indemnified Parties and (e) any claims made by any party engaged by Consultant as an employee, agent, representative or independent contractor arising out of such engagement.", "ner": [], "tokenized_text": ["Consultants", "Indemnification", "Consultant", "shall", "indemnify", ",", "defend", "and", "hold", "Merchant", "and", "its", "consultants", ",", "members", ",", "managers", ",", "partners", ",", "officers", ",", "directors", ",", "employees", ",", "attorneys", ",", "advisors", ",", "principals", ",", "and", "affiliates", "(", "other", "than", "the", "Consultant", "or", "the", "Consultant", "Indemnified", "Parties", ")", "(", "collectively", ",", "\"", "Merchant", "Indemnified", "Parties", "\"", ")", "harmless", "from", "and", "against", "all", "liabilities", ",", "claims", ",", "demands", ",", "damages", ",", "costs", "and", "expenses", "(", "including", "reasonable", "attorneys", "'", "fees", ")", "arising", "from", "or", "related", "to", "(", "a", ")", "the", "willful", "or", "grossly", "negligent", "acts", "or", "omissions", "of", "Consultant", "or", "the", "Consultant", "Indemnified", "Parties", ";", "(", "b", ")", "the", "breach", "of", "any", "provision", "of", ",", "or", "the", "failure", "to", "perform", "any", "obligation", "under", ",", "this", "Agreement", "by", "Consultant", ";", "(", "c", ")", "any", "liability", "or", "other", "claims", "made", "by", "Consultants", "Indemnified", "Parties", "or", "any", "other", "person", "(", "excluding", "Merchant", "Indemnified", "Parties", ")", "against", "a", "Merchant", "Indemnified", "Party", "arising", "out", "of", "or", "related", "to", "Consultants", "conduct", "of", "the", "Sale", ",", "except", "claims", "arising", "from", "Merchants", "negligence", ",", "willful", "misconduct", ",", "or", "unlawful", "behavior", ";", "(", "d", ")", "any", "harassment", ",", "discrimination", "or", "violation", "of", "any", "laws", "or", "regulations", "or", "any", "other", "unlawful", ",", "tortuous", "or", "otherwise", "actionable", "treatment", "of", "Merchant", "Indemnified", "Parties", ",", "or", "Merchants", "customers", "by", "Consultant", "or", "any", "of", "the", "Consultant", "Indemnified", "Parties", "and", "(", "e", ")", "any", "claims", "made", "by", "any", "party", "engaged", "by", "Consultant", "as", "an", "employee", ",", "agent", ",", "representative", "or", "independent", "contractor", "arising", "out", "of", "such", "engagement", "."]}
{"id": "14147", "text": "Subject to the Approval Order and Merchants consent, Consultant shall have the right, at Consultants sole cost and expense, to supplement the Merchandise in the Sale at the Stores only with additional goods procured by Consultant which are of like kind, and no lesser quality to the Merchandise in the Sale (Additional Goods). The Additional Goods shall be purchased by Consultant as part of the Sale, and delivered to the Stores at Consultants sole expense (including as to labor, freight and insurance relative to shipping such Additional Goods to the Stores). Sales of Additional Goods shall be run through Merchants cash register systems; provided however, that Consultant shall mark the Additional Goods using either a dummy SKU or department number, or in such other manner so as to distinguish the sale of Additional Goods from the sale of Merchandise. Consultant and Merchant shall also cooperate so as to ensure that the Additional Goods are marked in such a way that a reasonable consumer could identify the Additional Goods as non- Merchant goods. Additionally, Consultant, at its own cost and expense, shall provide signage in the Stores notifying customers that the Additional Goods have been included in the Sale.", "ner": [], "tokenized_text": ["Subject", "to", "the", "Approval", "Order", "and", "Merchants", "consent", ",", "Consultant", "shall", "have", "the", "right", ",", "at", "Consultants", "sole", "cost", "and", "expense", ",", "to", "supplement", "the", "Merchandise", "in", "the", "Sale", "at", "the", "Stores", "only", "with", "additional", "goods", "procured", "by", "Consultant", "which", "are", "of", "like", "kind", ",", "and", "no", "lesser", "quality", "to", "the", "Merchandise", "in", "the", "Sale", "(", "Additional", "Goods", ")", ".", "The", "Additional", "Goods", "shall", "be", "purchased", "by", "Consultant", "as", "part", "of", "the", "Sale", ",", "and", "delivered", "to", "the", "Stores", "at", "Consultants", "sole", "expense", "(", "including", "as", "to", "labor", ",", "freight", "and", "insurance", "relative", "to", "shipping", "such", "Additional", "Goods", "to", "the", "Stores", ")", ".", "Sales", "of", "Additional", "Goods", "shall", "be", "run", "through", "Merchants", "cash", "register", "systems", ";", "provided", "however", ",", "that", "Consultant", "shall", "mark", "the", "Additional", "Goods", "using", "either", "a", "dummy", "SKU", "or", "department", "number", ",", "or", "in", "such", "other", "manner", "so", "as", "to", "distinguish", "the", "sale", "of", "Additional", "Goods", "from", "the", "sale", "of", "Merchandise", ".", "Consultant", "and", "Merchant", "shall", "also", "cooperate", "so", "as", "to", "ensure", "that", "the", "Additional", "Goods", "are", "marked", "in", "such", "a", "way", "that", "a", "reasonable", "consumer", "could", "identify", "the", "Additional", "Goods", "as", "non", "-", "Merchant", "goods", ".", "Additionally", ",", "Consultant", ",", "at", "its", "own", "cost", "and", "expense", ",", "shall", "provide", "signage", "in", "the", "Stores", "notifying", "customers", "that", "the", "Additional", "Goods", "have", "been", "included", "in", "the", "Sale", "."]}
{"id": "14152", "text": "Gregg Appliances, Inc. on behalf of itself and its", "ner": [[0, 4, "Parties"]], "tokenized_text": ["Gregg", "Appliances", ",", "Inc", ".", "on", "behalf", "of", "itself", "and", "its"]}
{"id": "14153", "text": "This Consulting Agreement (Agreement) is made as of the 11th day of May, 2017 by and between James N. Harmon , whose address is XXXXXXXXXXXXX, Seattle, Washington XXXXX (the CONSULTANT), and ClearSign Combustion Corporation , whose address is 12870 Interurban Avenue South, Seattle, Washington 98168 ( <sup> the COMPANY), in reference to the following:", "ner": [[1, 2, "Title"], [11, 16, "EffectiveDate"], [20, 23, "Parties"], [28, 33, "Address"], [40, 42, "Parties"], [47, 55, "Address"]], "tokenized_text": ["This", "Consulting", "Agreement", "(", "Agreement", ")", "is", "made", "as", "of", "the", "11th", "day", "of", "May", ",", "2017", "by", "and", "between", "James", "N", ".", "Harmon", ",", "whose", "address", "is", "XXXXXXXXXXXXX", ",", "Seattle", ",", "Washington", "XXXXX", "(", "the", "CONSULTANT", ")", ",", "and", "ClearSign", "Combustion", "Corporation", ",", "whose", "address", "is", "12870", "Interurban", "Avenue", "South", ",", "Seattle", ",", "Washington", "98168", "(", "<", "sup", ">", "the", "COMPANY", ")", ",", "in", "reference", "to", "the", "following", ":"]}
{"id": "14154", "text": "A.The COMPANY is subject to the reporting requirements of Section 13 of the Securities Exchange Act of 1934 , as amended (the Exchange Act), and the rules and regulations promulgated thereunder.", "ner": [[11, 12, "Regulation"], [15, 19, "Act"]], "tokenized_text": ["A", ".", "The", "COMPANY", "is", "subject", "to", "the", "reporting", "requirements", "of", "Section", "13", "of", "the", "Securities", "Exchange", "Act", "of", "1934", ",", "as", "amended", "(", "the", "Exchange", "Act", ")", ",", "and", "the", "rules", "and", "regulations", "promulgated", "thereunder", "."]}
{"id": "14155", "text": "B.The CONSULTANT was the Chief Financial Officer of the COMPANY from June 16, 2011 to May 11, 2017 and has substantial experience and knowledge regarding the COMPANYs financial and reporting matters.", "ner": [[6, 8, "Role"], [18, 21, "EffectiveDate"]], "tokenized_text": ["B", ".", "The", "CONSULTANT", "was", "the", "Chief", "Financial", "Officer", "of", "the", "COMPANY", "from", "June", "16", ",", "2011", "to", "May", "11", ",", "2017", "and", "has", "substantial", "experience", "and", "knowledge", "regarding", "the", "COMPANYs", "financial", "and", "reporting", "matters", "."]}
{"id": "14159", "text": "12870 Interurban Avenue South", "ner": [[0, 3, "Address"]], "tokenized_text": ["12870", "Interurban", "Avenue", "South"]}
{"id": "14161", "text": "/s/ James N. Harmon | | James N. Harmon | | | COMPANY | | ClearSign Combustion Corporation | | | By: |", "ner": [[3, 6, "Parties"], [19, 21, "Parties"]], "tokenized_text": ["/", "s", "/", "James", "N", ".", "Harmon", "|", "|", "James", "N", ".", "Harmon", "|", "|", "|", "COMPANY", "|", "|", "ClearSign", "Combustion", "Corporation", "|", "|", "|", "By", ":", "|"]}
{"id": "14162", "text": "executed by James N. Harmon on December 21, 2012", "ner": [[7, 10, "EffectiveDate"]], "tokenized_text": ["executed", "by", "James", "N", ".", "Harmon", "on", "December", "21", ",", "2012"]}
{"id": "14165", "text": "Print Name: | James N. Harmon ---|---", "ner": [[4, 7, "PII_Ref"]], "tokenized_text": ["Print", "Name", ":", "|", "James", "N", ".", "Harmon", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "14166", "text": "Signature: | /s/ James N. Harmon ---|---", "ner": [[6, 9, "Parties"]], "tokenized_text": ["Signature", ":", "|", "/", "s", "/", "James", "N", ".", "Harmon", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "14169", "text": "THIS INDEMNIFICATION AGREEMENT is entered into, effective as of March 7, 2012 by and between ClearSign Combustion Corporation , a Washington corporation (the Company), and James N. Harmon (Indemnitee).", "ner": [[1, 2, "Title"], [10, 13, "EffectiveDate"], [17, 19, "Parties"], [30, 33, "Parties"]], "tokenized_text": ["THIS", "INDEMNIFICATION", "AGREEMENT", "is", "entered", "into", ",", "effective", "as", "of", "March", "7", ",", "2012", "by", "and", "between", "ClearSign", "Combustion", "Corporation", ",", "a", "Washington", "corporation", "(", "the", "Company", ")", ",", "and", "James", "N", ".", "Harmon", "(", "Indemnitee", ")", "."]}
{"id": "14170", "text": "| (b)| Change in Control shall be deemed to have occurred if (i) any person (as such term is used in Sections 13(d) and 14(d) of the Securities Exchange Act of 1934 , as amended (the Act)), other than a trustee or other fiduciary holding securities under an employee benefit plan of the Company or a corporation owned directly or indirectly by the shareholders of the Company in substantially the same proportions as their ownership of stock of the Company (collectively excluded persons), is or becomes the Beneficial Owner (as defined in Rule 13d-3 under the Act), directly or indirectly, of securities of the Company representing 30% or more of the total voting power represented by the Companys then outstanding Voting Securities, or (ii) during any period of two consecutive years, individuals who at the beginning of such period constitute the Board and any new director whose election by the Board or nomination for election by the Companys shareholders was approved by a vote of at least two-thirds ( 2/3) of the directors then still in office who either were directors at the beginning of the period or whose election or nomination for election was previously so approved, cease for any reason to constitute a majority of the Board, or (iii) a merger or consolidation in which the Company is not the surviving corporation (other than a merger or consolidation with a wholly-owned subsidiary, a reincorporation of the Company in a different jurisdiction, or other transaction in which there is no substantial change in the shareholders of the Company or their relative stock holdings), or (iv) a merger in which the Company is the surviving corporation but after which the shareholders of the Company immediately prior to such merger (other than any shareholder that merges, or which owns or controls another corporation that merges with the Company in such merger) cease to own their shares or other equity interest in the Company, or (v) in the event of a dissolution or liquidation of the Company, or (vi) the sale or disposition (in one transaction or a series of transactions) of all or substantially all of the Companys assets, or (vii) the acquisition, sale, or transfer of more than 50% of the outstanding shares of the Company by tender offer or similar transaction. ---|---|---", "ner": [[39, 43, "Act"], [112, 113, "Regulation"], [129, 130, "Percentage"], [197, 200, "Ratio"], [426, 427, "Percentage"]], "tokenized_text": ["|", "(", "b", ")", "|", "Change", "in", "Control", "shall", "be", "deemed", "to", "have", "occurred", "if", "(", "i", ")", "any", "person", "(", "as", "such", "term", "is", "used", "in", "Sections", "13", "(", "d", ")", "and", "14", "(", "d", ")", "of", "the", "Securities", "Exchange", "Act", "of", "1934", ",", "as", "amended", "(", "the", "Act", ")", ")", ",", "other", "than", "a", "trustee", "or", "other", "fiduciary", "holding", "securities", "under", "an", "employee", "benefit", "plan", "of", "the", "Company", "or", "a", "corporation", "owned", "directly", "or", "indirectly", "by", "the", "shareholders", "of", "the", "Company", "in", "substantially", "the", "same", "proportions", "as", "their", "ownership", "of", "stock", "of", "the", "Company", "(", "collectively", "excluded", "persons", ")", ",", "is", "or", "becomes", "the", "Beneficial", "Owner", "(", "as", "defined", "in", "Rule", "13d-3", "under", "the", "Act", ")", ",", "directly", "or", "indirectly", ",", "of", "securities", "of", "the", "Company", "representing", "30", "%", "or", "more", "of", "the", "total", "voting", "power", "represented", "by", "the", "Companys", "then", "outstanding", "Voting", "Securities", ",", "or", "(", "ii", ")", "during", "any", "period", "of", "two", "consecutive", "years", ",", "individuals", "who", "at", "the", "beginning", "of", "such", "period", "constitute", "the", "Board", "and", "any", "new", "director", "whose", "election", "by", "the", "Board", "or", "nomination", "for", "election", "by", "the", "Companys", "shareholders", "was", "approved", "by", "a", "vote", "of", "at", "least", "two-thirds", "(", "2", "/", "3", ")", "of", "the", "directors", "then", "still", "in", "office", "who", "either", "were", "directors", "at", "the", "beginning", "of", "the", "period", "or", "whose", "election", "or", "nomination", "for", "election", "was", "previously", "so", "approved", ",", "cease", "for", "any", "reason", "to", "constitute", "a", "majority", "of", "the", "Board", ",", "or", "(", "iii", ")", "a", "merger", "or", "consolidation", "in", "which", "the", "Company", "is", "not", "the", "surviving", "corporation", "(", "other", "than", "a", "merger", "or", "consolidation", "with", "a", "wholly-owned", "subsidiary", ",", "a", "reincorporation", "of", "the", "Company", "in", "a", "different", "jurisdiction", ",", "or", "other", "transaction", "in", "which", "there", "is", "no", "substantial", "change", "in", "the", "shareholders", "of", "the", "Company", "or", "their", "relative", "stock", "holdings", ")", ",", "or", "(", "iv", ")", "a", "merger", "in", "which", "the", "Company", "is", "the", "surviving", "corporation", "but", "after", "which", "the", "shareholders", "of", "the", "Company", "immediately", "prior", "to", "such", "merger", "(", "other", "than", "any", "shareholder", "that", "merges", ",", "or", "which", "owns", "or", "controls", "another", "corporation", "that", "merges", "with", "the", "Company", "in", "such", "merger", ")", "cease", "to", "own", "their", "shares", "or", "other", "equity", "interest", "in", "the", "Company", ",", "or", "(", "v", ")", "in", "the", "event", "of", "a", "dissolution", "or", "liquidation", "of", "the", "Company", ",", "or", "(", "vi", ")", "the", "sale", "or", "disposition", "(", "in", "one", "transaction", "or", "a", "series", "of", "transactions", ")", "of", "all", "or", "substantially", "all", "of", "the", "Companys", "assets", ",", "or", "(", "vii", ")", "the", "acquisition", ",", "sale", ",", "or", "transfer", "of", "more", "than", "50", "%", "of", "the", "outstanding", "shares", "of", "the", "Company", "by", "tender", "offer", "or", "similar", "transaction", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "14171", "text": "| (ii)| any reimbursement of the Company by Indemnitee of any bonus or other incentive-based or equity-based compensation or of any profits realized by Indemnitee from the sale of securities of the Company, as required in each case under the Exchange Act ( including any such reimbursements that arise from an accounting restatement of the Company pursuant to Section304 of the Sarbanes- Oxley Act of 2002 (the Sarbanes-Oxley Act), or the payment to the Company of profits arising from the purchase and sale by Indemnitee of securities in violation of Section306 of the Sarbanes-Oxley Act); or ---|---|---", "ner": [[44, 45, "Act"], [65, 70, "Act"], [73, 74, "Act"]], "tokenized_text": ["|", "(", "ii", ")", "|", "any", "reimbursement", "of", "the", "Company", "by", "Indemnitee", "of", "any", "bonus", "or", "other", "incentive-based", "or", "equity-based", "compensation", "or", "of", "any", "profits", "realized", "by", "Indemnitee", "from", "the", "sale", "of", "securities", "of", "the", "Company", ",", "as", "required", "in", "each", "case", "under", "the", "Exchange", "Act", "(", "including", "any", "such", "reimbursements", "that", "arise", "from", "an", "accounting", "restatement", "of", "the", "Company", "pursuant", "to", "Section304", "of", "the", "Sarbanes", "-", "Oxley", "Act", "of", "2002", "(", "the", "Sarbanes-Oxley", "Act", ")", ",", "or", "the", "payment", "to", "the", "Company", "of", "profits", "arising", "from", "the", "purchase", "and", "sale", "by", "Indemnitee", "of", "securities", "in", "violation", "of", "Section306", "of", "the", "Sarbanes-Oxley", "Act", ")", ";", "or", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "14172", "text": "9. Amendment of this Agreement. No supplement , modification, or amendment of this Agreement shall be binding unless executed in writing by both of the parties hereto. No waiver of any of the provisions of this Agreement shall operate as a waiver of any other provisions hereof (whether or not similar), nor shall such waiver constitute a continuing waiver. Except as specifically provided herein, no failure to exercise or any delay in exercising any right or remedy hereunder shall constitute a waiver thereof.", "ner": [], "tokenized_text": ["9", ".", "Amendment", "of", "this", "Agreement", ".", "No", "supplement", ",", "modification", ",", "or", "amendment", "of", "this", "Agreement", "shall", "be", "binding", "unless", "executed", "in", "writing", "by", "both", "of", "the", "parties", "hereto", ".", "No", "waiver", "of", "any", "of", "the", "provisions", "of", "this", "Agreement", "shall", "operate", "as", "a", "waiver", "of", "any", "other", "provisions", "hereof", "(", "whether", "or", "not", "similar", ")", ",", "nor", "shall", "such", "waiver", "constitute", "a", "continuing", "waiver", ".", "Except", "as", "specifically", "provided", "herein", ",", "no", "failure", "to", "exercise", "or", "any", "delay", "in", "exercising", "any", "right", "or", "remedy", "hereunder", "shall", "constitute", "a", "waiver", "thereof", "."]}
{"id": "14173", "text": "17. Retroactivity. This Agreement shall be deemed to have been in effect during all periods that Indemnitee was a director and/or officer of the Company, regardless of the date of this Agreement.", "ner": [], "tokenized_text": ["17", ".", "Retroactivity", ".", "This", "Agreement", "shall", "be", "deemed", "to", "have", "been", "in", "effect", "during", "all", "periods", "that", "Indemnitee", "was", "a", "director", "and", "/", "or", "officer", "of", "the", "Company", ",", "regardless", "of", "the", "date", "of", "this", "Agreement", "."]}
{"id": "14174", "text": "COMPANY: | | | ---|---|---|--- | | CLEARSIGN COMBUSTION CORPORATION | | | | | By: | /s/Richard F. Rutkowski | | | Richard F. Rutkowski | | | Chief Executive Officer | | | INDEMNITEE: | | | James N. Harmon | | | Name of Indemnitee (print name) | | | | | | /s/ James N. Harmon | | | Signature", "ner": [[22, 24, "Parties"], [36, 39, "Parties"], [50, 52, "Role"], [61, 64, "Parties"]], "tokenized_text": ["COMPANY", ":", "|", "|", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "|", "CLEARSIGN", "COMBUSTION", "CORPORATION", "|", "|", "|", "|", "|", "By", ":", "|", "/", "s", "/", "Richard", "F", ".", "Rutkowski", "|", "|", "|", "Richard", "F", ".", "Rutkowski", "|", "|", "|", "Chief", "Executive", "Officer", "|", "|", "|", "INDEMNITEE", ":", "|", "|", "|", "James", "N", ".", "Harmon", "|", "|", "|", "Name", "of", "Indemnitee", "(", "print", "name", ")", "|", "|", "|", "|", "|", "|", "/", "s", "/", "James", "N", ".", "Harmon", "|", "|", "|", "Signature"]}
{"id": "14175", "text": "This CONSULTING AGREEMENT (the Agreement), dated as of December3, 2012 , (the Effective Date) is entered into by and between Floor and Decor Outlets of America,Inc ., a Delaware corporation (the Operating Company), FDO Holdings,Inc. , a Delaware corporation (Holdings and, together with the Operating Company, the Company), and George Vincent West , the undersigned individual (Consultant).", "ner": [[1, 2, "Title"], [11, 13, "EffectiveDate"], [26, 34, "Parties"], [45, 49, "Parties"], [69, 71, "Parties"]], "tokenized_text": ["This", "CONSULTING", "AGREEMENT", "(", "the", "Agreement", ")", ",", "dated", "as", "of", "December3", ",", "2012", ",", "(", "the", "Effective", "Date", ")", "is", "entered", "into", "by", "and", "between", "Floor", "and", "Decor", "Outlets", "of", "America", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "the", "Operating", "Company", ")", ",", "FDO", "Holdings", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "Holdings", "and", ",", "together", "with", "the", "Operating", "Company", ",", "the", "Company", ")", ",", "and", "George", "Vincent", "West", ",", "the", "undersigned", "individual", "(", "Consultant", ")", "."]}
{"id": "14176", "text": "WHEREAS, the Company and Consultant mutually desire to terminate on the terms set forth herein Consultants employment under the Employment Agreement, to transition Consultants role with the Company from an employee to an independent contractor, non-employee consultant, and to transition Consultants officer role with the Company from an employee Chief Executive Officer to a non-employee Founder of the Company and Vice Chairman of the Board on the terms set forth herein and enter into this Agreement for such purposes;", "ner": [[20, 21, "Title"], [53, 55, "Role"], [64, 65, "Role"]], "tokenized_text": ["WHEREAS", ",", "the", "Company", "and", "Consultant", "mutually", "desire", "to", "terminate", "on", "the", "terms", "set", "forth", "herein", "Consultants", "employment", "under", "the", "Employment", "Agreement", ",", "to", "transition", "Consultants", "role", "with", "the", "Company", "from", "an", "employee", "to", "an", "independent", "contractor", ",", "non-employee", "consultant", ",", "and", "to", "transition", "Consultants", "officer", "role", "with", "the", "Company", "from", "an", "employee", "Chief", "Executive", "Officer", "to", "a", "non-employee", "Founder", "of", "the", "Company", "and", "Vice", "Chairman", "of", "the", "Board", "on", "the", "terms", "set", "forth", "herein", "and", "enter", "into", "this", "Agreement", "for", "such", "purposes", ";"]}
{"id": "14177", "text": "(a) Transition; Title. As of the Effective Date, Consultant and the Company hereby mutually agree that (i)Consultant is deemed to have resigned from the position of Chief Executive Officer of the Operating Company and of Holdings and, other than with respect to his service on the Board of Directors of the Company (such term referring throughout this Agreement to the Boards of Directors of both Operating Company and Holdings) or the Board of Directors (or any similar governing body) of any of the Companys subsidiaries, from all other offices held with the Company or any of its subsidiaries as of immediately prior to the Effective Date; (ii)Consultants employment with the Company is hereby terminated; (iii)except as otherwise expressly provided in this Agreement with respect to Sections 2(a), 2(b), 2(d), 3(a)and 4(a)of the Employment Agreement, which shall expressly survive the termination of the Employment Agreement to the extent required to effectuate the express terms of this Agreement, and Section10 of the Employment Agreement, which shall expressly survive the termination of the Employment Agreement, the Employment Agreement shall be and is hereby terminated as of 11:59 p.m.Eastern time on December2, 2012; (iv)Consultant will have the title of Founder of the Company and Vice Chairman of the Board; and (v)each of Vice Chairman and Founder has been designated as an officer position by Holdings Board of Directors pursuant to ArticleIV, Section12 of the Companys Bylaws. Consultant and the Company each acknowledge and mutually agree that the termination of Consultants employment with the Company is voluntary and by mutual agreement, that such termination of Consultants employment is not, and shall not be deemed to be, a termination Without Cause, For Cause or for Good Reason under the Employment Agreement and that such termination of Consultants employment shall not in any way affect the continued validity and enforceability of the Indemnification Agreement, the Stock Option Agreements or any other agreement (other than the Employment Agreement) to which Consultant is a party. Termination of Consultants employment under the Employment Agreement as set forth in this Agreement shall not, alone, entitle the Company to pursue any rights or remedies against or affecting Consultant, whether under the Employment Agreement, the Stock Option Agreements or otherwise.", "ner": [[34, 36, "Role"], [174, 175, "Title"], [239, 241, "EffectiveDate"], [257, 258, "Role"], [281, 284, "Parties"], [293, 293, "Title"], [372, 373, "Title"], [376, 378, "Title"]], "tokenized_text": ["(", "a", ")", "Transition", ";", "Title", ".", "As", "of", "the", "Effective", "Date", ",", "Consultant", "and", "the", "Company", "hereby", "mutually", "agree", "that", "(", "i", ")", "Consultant", "is", "deemed", "to", "have", "resigned", "from", "the", "position", "of", "Chief", "Executive", "Officer", "of", "the", "Operating", "Company", "and", "of", "Holdings", "and", ",", "other", "than", "with", "respect", "to", "his", "service", "on", "the", "Board", "of", "Directors", "of", "the", "Company", "(", "such", "term", "referring", "throughout", "this", "Agreement", "to", "the", "Boards", "of", "Directors", "of", "both", "Operating", "Company", "and", "Holdings", ")", "or", "the", "Board", "of", "Directors", "(", "or", "any", "similar", "governing", "body", ")", "of", "any", "of", "the", "Companys", "subsidiaries", ",", "from", "all", "other", "offices", "held", "with", "the", "Company", "or", "any", "of", "its", "subsidiaries", "as", "of", "immediately", "prior", "to", "the", "Effective", "Date", ";", "(", "ii", ")", "Consultants", "employment", "with", "the", "Company", "is", "hereby", "terminated", ";", "(", "iii", ")", "except", "as", "otherwise", "expressly", "provided", "in", "this", "Agreement", "with", "respect", "to", "Sections", "2", "(", "a", ")", ",", "2", "(", "b", ")", ",", "2", "(", "d", ")", ",", "3", "(", "a", ")", "and", "4", "(", "a", ")", "of", "the", "Employment", "Agreement", ",", "which", "shall", "expressly", "survive", "the", "termination", "of", "the", "Employment", "Agreement", "to", "the", "extent", "required", "to", "effectuate", "the", "express", "terms", "of", "this", "Agreement", ",", "and", "Section10", "of", "the", "Employment", "Agreement", ",", "which", "shall", "expressly", "survive", "the", "termination", "of", "the", "Employment", "Agreement", ",", "the", "Employment", "Agreement", "shall", "be", "and", "is", "hereby", "terminated", "as", "of", "11", ":", "59", "p", ".", "m", ".", "Eastern", "time", "on", "December2", ",", "2012", ";", "(", "iv", ")", "Consultant", "will", "have", "the", "title", "of", "Founder", "of", "the", "Company", "and", "Vice", "Chairman", "of", "the", "Board", ";", "and", "(", "v", ")", "each", "of", "Vice", "Chairman", "and", "Founder", "has", "been", "designated", "as", "an", "officer", "position", "by", "Holdings", "Board", "of", "Directors", "pursuant", "to", "ArticleIV", ",", "Section12", "of", "the", "Companys", "Bylaws", ".", "Consultant", "and", "the", "Company", "each", "acknowledge", "and", "mutually", "agree", "that", "the", "termination", "of", "Consultants", "employment", "with", "the", "Company", "is", "voluntary", "and", "by", "mutual", "agreement", ",", "that", "such", "termination", "of", "Consultants", "employment", "is", "not", ",", "and", "shall", "not", "be", "deemed", "to", "be", ",", "a", "termination", "Without", "Cause", ",", "For", "Cause", "or", "for", "Good", "Reason", "under", "the", "Employment", "Agreement", "and", "that", "such", "termination", "of", "Consultants", "employment", "shall", "not", "in", "any", "way", "affect", "the", "continued", "validity", "and", "enforceability", "of", "the", "Indemnification", "Agreement", ",", "the", "Stock", "Option", "Agreements", "or", "any", "other", "agreement", "(", "other", "than", "the", "Employment", "Agreement", ")", "to", "which", "Consultant", "is", "a", "party", ".", "Termination", "of", "Consultants", "employment", "under", "the", "Employment", "Agreement", "as", "set", "forth", "in", "this", "Agreement", "shall", "not", ",", "alone", ",", "entitle", "the", "Company", "to", "pursue", "any", "rights", "or", "remedies", "against", "or", "affecting", "Consultant", ",", "whether", "under", "the", "Employment", "Agreement", ",", "the", "Stock", "Option", "Agreements", "or", "otherwise", "."]}
{"id": "14178", "text": "(a) Consultants service under this Agreement as an independent contractor consultant serving in an officer capacity as Founder of the Company and Vice Chairman of the Board shall commence on the Effective Date, subject to the condition subsequent that the Revocation Period (as defined in Section10(l)) expires without Consultants revocation of the Release (as defined in Section10(c)) and the Release becomes effective, and shall continue until either party elects to terminate this Agreement upon 30 days advance written notice to the other party (the Consulting Period and, solely for the purposes of the Fair Competition Agreement, also the Employment Period).", "ner": [[24, 25, "Role"], [109, 111, "Title"]], "tokenized_text": ["(", "a", ")", "Consultants", "service", "under", "this", "Agreement", "as", "an", "independent", "contractor", "consultant", "serving", "in", "an", "officer", "capacity", "as", "Founder", "of", "the", "Company", "and", "Vice", "Chairman", "of", "the", "Board", "shall", "commence", "on", "the", "Effective", "Date", ",", "subject", "to", "the", "condition", "subsequent", "that", "the", "Revocation", "Period", "(", "as", "defined", "in", "Section10", "(", "l", ")", ")", "expires", "without", "Consultants", "revocation", "of", "the", "Release", "(", "as", "defined", "in", "Section10", "(", "c", ")", ")", "and", "the", "Release", "becomes", "effective", ",", "and", "shall", "continue", "until", "either", "party", "elects", "to", "terminate", "this", "Agreement", "upon", "30", "days", "advance", "written", "notice", "to", "the", "other", "party", "(", "the", "Consulting", "Period", "and", ",", "solely", "for", "the", "purposes", "of", "the", "Fair", "Competition", "Agreement", ",", "also", "the", "Employment", "Period", ")", "."]}
{"id": "14179", "text": "(a)faithfully, industriously and to the best of Consultants ability, experience and talent, perform such services as an independent contractor consultant serving as a non-employee officer with the titles Founder and Vice Chairman of the Board, as shall be (i)reasonably required by the Company or requested by the Board of Directors of Holdings and (ii)agreed to by Consultant;", "ner": [[36, 37, "Role"]], "tokenized_text": ["(", "a", ")", "faithfully", ",", "industriously", "and", "to", "the", "best", "of", "Consultants", "ability", ",", "experience", "and", "talent", ",", "perform", "such", "services", "as", "an", "independent", "contractor", "consultant", "serving", "as", "a", "non-employee", "officer", "with", "the", "titles", "Founder", "and", "Vice", "Chairman", "of", "the", "Board", ",", "as", "shall", "be", "(", "i", ")", "reasonably", "required", "by", "the", "Company", "or", "requested", "by", "the", "Board", "of", "Directors", "of", "Holdings", "and", "(", "ii", ")", "agreed", "to", "by", "Consultant", ";"]}
{"id": "14182", "text": "(ii) For purposes of the Stock Option Agreements covering the Options and of the FDO Holdings,Inc. Amended and Restated 2011 Stock Option Plan (as such may be amended from time to time, the Plan), (A)the definition of For Cause in Section4(a)of the Employment Agreement will continue to apply with respect to an event or occurrence that would have been grounds for termination For Cause thereunder which are reasonably applicable with respect to Consultants Duties and Responsibilities under this Agreement in place of Executives Duties and Responsibilities under the Employment Agreement, and (B)all references to Good Reason shall be inapplicable (such that any termination of this Agreement by Consultant for any reason shall be considered to be a voluntary termination and not a termination for Good Reason).", "ner": [[7, 9, "Title"], [58, 59, "Title"]], "tokenized_text": ["(", "ii", ")", "For", "purposes", "of", "the", "Stock", "Option", "Agreements", "covering", "the", "Options", "and", "of", "the", "FDO", "Holdings", ",", "Inc", ".", "Amended", "and", "Restated", "2011", "Stock", "Option", "Plan", "(", "as", "such", "may", "be", "amended", "from", "time", "to", "time", ",", "the", "Plan", ")", ",", "(", "A", ")", "the", "definition", "of", "For", "Cause", "in", "Section4", "(", "a", ")", "of", "the", "Employment", "Agreement", "will", "continue", "to", "apply", "with", "respect", "to", "an", "event", "or", "occurrence", "that", "would", "have", "been", "grounds", "for", "termination", "For", "Cause", "thereunder", "which", "are", "reasonably", "applicable", "with", "respect", "to", "Consultants", "Duties", "and", "Responsibilities", "under", "this", "Agreement", "in", "place", "of", "Executives", "Duties", "and", "Responsibilities", "under", "the", "Employment", "Agreement", ",", "and", "(", "B", ")", "all", "references", "to", "Good", "Reason", "shall", "be", "inapplicable", "(", "such", "that", "any", "termination", "of", "this", "Agreement", "by", "Consultant", "for", "any", "reason", "shall", "be", "considered", "to", "be", "a", "voluntary", "termination", "and", "not", "a", "termination", "for", "Good", "Reason", ")", "."]}
{"id": "14184", "text": "(b) In addition, the Inventions will be deemed Work for Hire, as such term is defined under the copyright law of the United States, on behalf of the Company and Consultant agrees that the Company will be the sole owner of the Inventions, and all underlying rights therein, in all media now known or hereinafter devised, throughout the universe and in perpetuity without any further obligations to Consultant. If the Inventions, or any portion thereof, are deemed not to be Work for Hire, Consultant hereby irrevocably conveys, transfers and assigns to the Company, all rights, in all media now known or hereinafter devised, throughout the universe and in perpetuity, in and to the Inventions, including all of Consultants right, title and interest in the copyrights (and all renewals, revivals and extensions thereof) to the Inventions, including all rights of any kind or any nature now or hereafter recognized, including the unrestricted right to make modifications, adaptations and revisions to the Inventions, to exploit and allow others to exploit the Inventions and all rights to sue at law or in equity for any infringement, or other unauthorized use or conduct in derogation of the Inventions, known or unknown, including the right to receive all proceeds and damages therefrom. In addition, Consultant hereby waives any so-called moral rights with respect to the Inventions. Consultant hereby waives any and all currently existing and future monetary rights in and to the Inventions and all patents that may issue thereon, including any rights that would otherwise accrue to Consultants benefit by virtue of Consultant being an employee of, or consultant or other service provider to the Company. Consultants obligations under this Section7 shall survive the termination of service and the expiration or termination of this Agreement in accordance with the terms and conditions herein.", "ner": [], "tokenized_text": ["(", "b", ")", "In", "addition", ",", "the", "Inventions", "will", "be", "deemed", "Work", "for", "Hire", ",", "as", "such", "term", "is", "defined", "under", "the", "copyright", "law", "of", "the", "United", "States", ",", "on", "behalf", "of", "the", "Company", "and", "Consultant", "agrees", "that", "the", "Company", "will", "be", "the", "sole", "owner", "of", "the", "Inventions", ",", "and", "all", "underlying", "rights", "therein", ",", "in", "all", "media", "now", "known", "or", "hereinafter", "devised", ",", "throughout", "the", "universe", "and", "in", "perpetuity", "without", "any", "further", "obligations", "to", "Consultant", ".", "If", "the", "Inventions", ",", "or", "any", "portion", "thereof", ",", "are", "deemed", "not", "to", "be", "Work", "for", "Hire", ",", "Consultant", "hereby", "irrevocably", "conveys", ",", "transfers", "and", "assigns", "to", "the", "Company", ",", "all", "rights", ",", "in", "all", "media", "now", "known", "or", "hereinafter", "devised", ",", "throughout", "the", "universe", "and", "in", "perpetuity", ",", "in", "and", "to", "the", "Inventions", ",", "including", "all", "of", "Consultants", "right", ",", "title", "and", "interest", "in", "the", "copyrights", "(", "and", "all", "renewals", ",", "revivals", "and", "extensions", "thereof", ")", "to", "the", "Inventions", ",", "including", "all", "rights", "of", "any", "kind", "or", "any", "nature", "now", "or", "hereafter", "recognized", ",", "including", "the", "unrestricted", "right", "to", "make", "modifications", ",", "adaptations", "and", "revisions", "to", "the", "Inventions", ",", "to", "exploit", "and", "allow", "others", "to", "exploit", "the", "Inventions", "and", "all", "rights", "to", "sue", "at", "law", "or", "in", "equity", "for", "any", "infringement", ",", "or", "other", "unauthorized", "use", "or", "conduct", "in", "derogation", "of", "the", "Inventions", ",", "known", "or", "unknown", ",", "including", "the", "right", "to", "receive", "all", "proceeds", "and", "damages", "therefrom", ".", "In", "addition", ",", "Consultant", "hereby", "waives", "any", "so-called", "moral", "rights", "with", "respect", "to", "the", "Inventions", ".", "Consultant", "hereby", "waives", "any", "and", "all", "currently", "existing", "and", "future", "monetary", "rights", "in", "and", "to", "the", "Inventions", "and", "all", "patents", "that", "may", "issue", "thereon", ",", "including", "any", "rights", "that", "would", "otherwise", "accrue", "to", "Consultants", "benefit", "by", "virtue", "of", "Consultant", "being", "an", "employee", "of", ",", "or", "consultant", "or", "other", "service", "provider", "to", "the", "Company", ".", "Consultants", "obligations", "under", "this", "Section7", "shall", "survive", "the", "termination", "of", "service", "and", "the", "expiration", "or", "termination", "of", "this", "Agreement", "in", "accordance", "with", "the", "terms", "and", "conditions", "herein", "."]}
{"id": "14188", "text": "(c) Entire Agreement. This Agreement, together with the Fair Competition Agreement, the Plan, the Stock Option Agreements and the Indemnification Agreement contain the entire agreement and understanding between the parties hereto with respect to the transition of Consultants officer role with the Company from an employee Chief Executive Officer to non-employee officer positions of Founder of the Company and Vice Chairman of the Board on the terms set forth herein and supersede any prior or contemporaneous written or oral agreements, representations and warranties between them respecting the subject matter hereof. Notwithstanding anything to the contrary herein and only for purposes of amplification and not of limitation, the parties acknowledge that Consultant, as shareholder, is party to a separate Fair Competition Agreement. Consultant agrees that to the extent that Consultant has remaining obligations under the Fair Competition Agreement which have not expired and which are also the subject of this Agreement, then the terms of the Fair Competition Agreement (as amended by Section1(b)of this Agreement) control.", "ner": [[12, 14, "Title"], [20, 22, "Title"], [25, 26, "Title"], [52, 54, "Role"], [65, 66, "Role"]], "tokenized_text": ["(", "c", ")", "Entire", "Agreement", ".", "This", "Agreement", ",", "together", "with", "the", "Fair", "Competition", "Agreement", ",", "the", "Plan", ",", "the", "Stock", "Option", "Agreements", "and", "the", "Indemnification", "Agreement", "contain", "the", "entire", "agreement", "and", "understanding", "between", "the", "parties", "hereto", "with", "respect", "to", "the", "transition", "of", "Consultants", "officer", "role", "with", "the", "Company", "from", "an", "employee", "Chief", "Executive", "Officer", "to", "non-employee", "officer", "positions", "of", "Founder", "of", "the", "Company", "and", "Vice", "Chairman", "of", "the", "Board", "on", "the", "terms", "set", "forth", "herein", "and", "supersede", "any", "prior", "or", "contemporaneous", "written", "or", "oral", "agreements", ",", "representations", "and", "warranties", "between", "them", "respecting", "the", "subject", "matter", "hereof", ".", "Notwithstanding", "anything", "to", "the", "contrary", "herein", "and", "only", "for", "purposes", "of", "amplification", "and", "not", "of", "limitation", ",", "the", "parties", "acknowledge", "that", "Consultant", ",", "as", "shareholder", ",", "is", "party", "to", "a", "separate", "Fair", "Competition", "Agreement", ".", "Consultant", "agrees", "that", "to", "the", "extent", "that", "Consultant", "has", "remaining", "obligations", "under", "the", "Fair", "Competition", "Agreement", "which", "have", "not", "expired", "and", "which", "are", "also", "the", "subject", "of", "this", "Agreement", ",", "then", "the", "terms", "of", "the", "Fair", "Competition", "Agreement", "(", "as", "amended", "by", "Section1", "(", "b", ")", "of", "this", "Agreement", ")", "control", "."]}
{"id": "14189", "text": "If to Consultant: --- George Vincent West 378 Pine Tree Drive, NE Atlanta, Georgia 30305-3415 Telephone: (678) 938-5092 Facsimile (404) 320-9439", "ner": [[10, 19, "Address"], [22, 25, "PII_Ref"], [27, 30, "PII_Ref"]], "tokenized_text": ["If", "to", "Consultant", ":", "-", "-", "-", "George", "Vincent", "West", "378", "Pine", "Tree", "Drive", ",", "NE", "Atlanta", ",", "Georgia", "30305-3415", "Telephone", ":", "(", "678", ")", "938-5092", "Facsimile", "(", "404", ")", "320-9439"]}
{"id": "14190", "text": "with a copy to: --- Wilson Brock&amp; Irby, L.L.C. 2849 Paces Ferry Road Suite700 Atlanta, Georgia 30339 Telephone: (404) 853-5050 Facsimile: (404) 853-1812 Attention: Frank L. Wilson,III,Esq. If to the Company: Floor and Decor Outlets of America,Inc . 2233 Lake Park Drive, Suite400 Smyrna, GA 30080 Telephone: (404) 471-1634 Facsimile: (404) 320-9439 Attention: General Counsel with copies to: FDO Holdings,Inc. 2000 <sup> Avenue of the Stars, 12thFloor Los Angeles, CA 90067 Telephone: (310) 201-4100 Facsimile: (310) 201-4170 Attention: Adam Stein and Ares Management LLC 2000 Avenue of the Stars, 12th Floor Los Angeles, CA 90067 Telephone: (310) 201-4100 Facsimile: (310) 201-4170 Attention: Adam Stein and Proskauer Rose LLP 2049 Century Park East, Suite3200 Los Angeles, CA 90067 Telephone: (310) 284-4544 Facsimile: (310) 557-2193 Attention: Monica J. Shilling,Esq.", "ner": [[21, 28, "Address"], [32, 35, "PII_Ref"], [38, 41, "PII_Ref"], [67, 75, "Address"], [79, 82, "PII_Ref"], [85, 88, "PII_Ref"], [119, 122, "PII_Ref"], [125, 128, "PII_Ref"], [170, 180, "Address"], [183, 186, "PII_Ref"], [189, 192, "PII_Ref"]], "tokenized_text": ["with", "a", "copy", "to", ":", "-", "-", "-", "Wilson", "Brock", "&", "amp", ";", "Irby", ",", "L", ".", "L", ".", "C", ".", "2849", "Paces", "Ferry", "Road", "Suite700", "Atlanta", ",", "Georgia", "30339", "Telephone", ":", "(", "404", ")", "853-5050", "Facsimile", ":", "(", "404", ")", "853-1812", "Attention", ":", "Frank", "L", ".", "Wilson", ",", "III", ",", "Esq", ".", "If", "to", "the", "Company", ":", "Floor", "and", "Decor", "Outlets", "of", "America", ",", "Inc", ".", "2233", "Lake", "Park", "Drive", ",", "Suite400", "Smyrna", ",", "GA", "30080", "Telephone", ":", "(", "404", ")", "471-1634", "Facsimile", ":", "(", "404", ")", "320-9439", "Attention", ":", "General", "Counsel", "with", "copies", "to", ":", "FDO", "Holdings", ",", "Inc", ".", "2000", "<", "sup", ">", "Avenue", "of", "the", "Stars", ",", "12thFloor", "Los", "Angeles", ",", "CA", "90067", "Telephone", ":", "(", "310", ")", "201-4100", "Facsimile", ":", "(", "310", ")", "201-4170", "Attention", ":", "Adam", "Stein", "and", "Ares", "Management", "LLC", "2000", "Avenue", "of", "the", "Stars", ",", "12th", "Floor", "Los", "Angeles", ",", "CA", "90067", "Telephone", ":", "(", "310", ")", "201-4100", "Facsimile", ":", "(", "310", ")", "201-4170", "Attention", ":", "Adam", "Stein", "and", "Proskauer", "Rose", "LLP", "2049", "Century", "Park", "East", ",", "Suite3200", "Los", "Angeles", ",", "CA", "90067", "Telephone", ":", "(", "310", ")", "284-4544", "Facsimile", ":", "(", "310", ")", "557-2193", "Attention", ":", "Monica", "J", ".", "Shilling", ",", "Esq", "."]}
{"id": "14192", "text": "/s/ George Vincent West | | | |", "ner": [[3, 5, "Parties"]], "tokenized_text": ["/", "s", "/", "George", "Vincent", "West", "|", "|", "|", "|"]}
{"id": "14193", "text": "George Vincent West Consulting Agreement Signature Page", "ner": [[0, 4, "Title"]], "tokenized_text": ["George", "Vincent", "West", "Consulting", "Agreement", "Signature", "Page"]}
{"id": "14194", "text": "AGREEMENT FOR CORPORATE EXECUTIVE", "ner": [], "tokenized_text": ["AGREEMENT", "FOR", "CORPORATE", "EXECUTIVE"]}
{"id": "14195", "text": "This Executive Agreement (Agreement) in entered and into effect as of 8th day of May, 2017 , between Gala Global, Inc. , a Nevada Corporation, having a principal address of 2780 S. Jones Blvd #3725, Las Vegas NV 89146 and its subsidiaries, affiliates, or corporate or other successors, if any (collectively, Company), and Timothy Madden , an individual (Executive).", "ner": [[1, 2, "Title"], [13, 18, "EffectiveDate"], [21, 25, "Parties"], [36, 47, "Address"], [69, 70, "Parties"]], "tokenized_text": ["This", "Executive", "Agreement", "(", "Agreement", ")", "in", "entered", "and", "into", "effect", "as", "of", "8th", "day", "of", "May", ",", "2017", ",", "between", "Gala", "Global", ",", "Inc", ".", ",", "a", "Nevada", "Corporation", ",", "having", "a", "principal", "address", "of", "2780", "S", ".", "Jones", "Blvd", "#", "3725", ",", "Las", "Vegas", "NV", "89146", "and", "its", "subsidiaries", ",", "affiliates", ",", "or", "corporate", "or", "other", "successors", ",", "if", "any", "(", "collectively", ",", "Company", ")", ",", "and", "Timothy", "Madden", ",", "an", "individual", "(", "Executive", ")", "."]}
{"id": "14196", "text": "The term of this Agreement shall commence on the 8th day May 2017 , and shall continue through MARCH 30th 2020 unless terminated in accordance with the provisions of this Agreement.", "ner": [[9, 12, "TerminationDate"], [18, 20, "TerminationDate"]], "tokenized_text": ["The", "term", "of", "this", "Agreement", "shall", "commence", "on", "the", "8th", "day", "May", "2017", ",", "and", "shall", "continue", "through", "MARCH", "30th", "2020", "unless", "terminated", "in", "accordance", "with", "the", "provisions", "of", "this", "Agreement", "."]}
{"id": "14199", "text": "Executive shall serve in an executive capacity and shall perform such duties as are consistent with his positions as Chief Executive Officer . Executive performance of his duties shall at all times be subject to the policies set by Companys Board of Directors, and to the consent of the Board, when required by this Agreement, or by the Bylaws or Board resolutions of the Company. Such duties shall include, without limitation, leading and coordinating Companys efforts to develop and implement strategic and operating plans for Company and its operating subsidiaries (including, without limitation, the production, manufacture, marketing, distribution, and sale of the products of Companys operating subsidiaries); executing day-to-day general management of Company; developing relationships with new distributors, customers, and suppliers; maintaining and solidifying relationships with Companys existing distributors, customers, and suppliers; and supporting the development and growth of Company and its operating subsidiaries.", "ner": [[19, 21, "Role"], [61, 61, "Title"]], "tokenized_text": ["Executive", "shall", "serve", "in", "an", "executive", "capacity", "and", "shall", "perform", "such", "duties", "as", "are", "consistent", "with", "his", "positions", "as", "Chief", "Executive", "Officer", ".", "Executive", "performance", "of", "his", "duties", "shall", "at", "all", "times", "be", "subject", "to", "the", "policies", "set", "by", "Companys", "Board", "of", "Directors", ",", "and", "to", "the", "consent", "of", "the", "Board", ",", "when", "required", "by", "this", "Agreement", ",", "or", "by", "the", "Bylaws", "or", "Board", "resolutions", "of", "the", "Company", ".", "Such", "duties", "shall", "include", ",", "without", "limitation", ",", "leading", "and", "coordinating", "Companys", "efforts", "to", "develop", "and", "implement", "strategic", "and", "operating", "plans", "for", "Company", "and", "its", "operating", "subsidiaries", "(", "including", ",", "without", "limitation", ",", "the", "production", ",", "manufacture", ",", "marketing", ",", "distribution", ",", "and", "sale", "of", "the", "products", "of", "Companys", "operating", "subsidiaries", ")", ";", "executing", "day-to-day", "general", "management", "of", "Company", ";", "developing", "relationships", "with", "new", "distributors", ",", "customers", ",", "and", "suppliers", ";", "maintaining", "and", "solidifying", "relationships", "with", "Companys", "existing", "distributors", ",", "customers", ",", "and", "suppliers", ";", "and", "supporting", "the", "development", "and", "growth", "of", "Company", "and", "its", "operating", "subsidiaries", "."]}
{"id": "14200", "text": "| a)| During the term of this Agreement, the Executive will be paid an ANNUAL base of Executive Stock in the amount of ONE MILLION FIVE HUNDRED THOUSAND ( 1,500,000 ) shares of Rule 144 Restricted Common Stock of the Company (OTC: GLAG); ---|---|--- | b)| The Executive shall be issued ONE PERCENT (1%) of the issue and outstanding equity stock in Company every Six (6) Months during the term of this Agreement; ---|---|--- | c)| The Executive will be paid an additional TEN THOUSAND dollars ($10,000) a month until the sale of the 1.5 million and or (1%) of the issue and outstanding equity stock issued every Six (6) Months during the term of this Agreement equals or exceeds $10,000 a month. ---|---|--- | d)| The certificates representing the Executive Stock Common Shares will bear the following legend; ---|---|---", "ner": [[26, 30, "Shares"], [32, 36, "Shares"], [40, 41, "Regulation"], [74, 75, "Percentage"], [77, 78, "Percentage"], [128, 131, "Principal"], [140, 143, "Shares"]], "tokenized_text": ["|", "a", ")", "|", "During", "the", "term", "of", "this", "Agreement", ",", "the", "Executive", "will", "be", "paid", "an", "ANNUAL", "base", "of", "Executive", "Stock", "in", "the", "amount", "of", "ONE", "MILLION", "FIVE", "HUNDRED", "THOUSAND", "(", "1", ",", "500", ",", "000", ")", "shares", "of", "Rule", "144", "Restricted", "Common", "Stock", "of", "the", "Company", "(", "OTC", ":", "GLAG", ")", ";", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "b", ")", "|", "The", "Executive", "shall", "be", "issued", "ONE", "PERCENT", "(", "1", "%", ")", "of", "the", "issue", "and", "outstanding", "equity", "stock", "in", "Company", "every", "Six", "(", "6", ")", "Months", "during", "the", "term", "of", "this", "Agreement", ";", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "c", ")", "|", "The", "Executive", "will", "be", "paid", "an", "additional", "TEN", "THOUSAND", "dollars", "(", "$", "10", ",", "000", ")", "a", "month", "until", "the", "sale", "of", "the", "1", ".", "5", "million", "and", "or", "(", "1", "%", ")", "of", "the", "issue", "and", "outstanding", "equity", "stock", "issued", "every", "Six", "(", "6", ")", "Months", "during", "the", "term", "of", "this", "Agreement", "equals", "or", "exceeds", "$", "10", ",", "000", "a", "month", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "d", ")", "|", "The", "certificates", "representing", "the", "Executive", "Stock", "Common", "Shares", "will", "bear", "the", "following", "legend", ";", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "14203", "text": "CONSULTING AGREEMENT AND APPOINTMENT TO BOARD OF DIRECTORS", "ner": [[0, 1, "Title"]], "tokenized_text": ["CONSULTING", "AGREEMENT", "AND", "APPOINTMENT", "TO", "BOARD", "OF", "DIRECTORS"]}
{"id": "14205", "text": "| (a)| Term. The term of this Agreement is for 2 year(s), commencing on April 23, 2017 . ---|---|---", "ner": [[22, 25, "EffectiveDate"]], "tokenized_text": ["|", "(", "a", ")", "|", "Term", ".", "The", "term", "of", "this", "Agreement", "is", "for", "2", "year", "(", "s", ")", ",", "commencing", "on", "April", "23", ",", "2017", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "14206", "text": "| (a)| Beginning April 23, 2017 , on the 1st day of each month thereafter, Consultant shall receive $8,000.00 (40 hours, additional hours billed at $200/hr.) for consulting duties. Compensation for duties as a Board Member shall $16,000.00 on an annual basis. ---|---|---", "ner": [[6, 9, "EffectiveDate"], [23, 28, "Salary"], [52, 53, "Role"], [55, 60, "Salary"]], "tokenized_text": ["|", "(", "a", ")", "|", "Beginning", "April", "23", ",", "2017", ",", "on", "the", "1st", "day", "of", "each", "month", "thereafter", ",", "Consultant", "shall", "receive", "$", "8", ",", "000", ".", "00", "(", "40", "hours", ",", "additional", "hours", "billed", "at", "$", "200", "/", "hr", ".", ")", "for", "consulting", "duties", ".", "Compensation", "for", "duties", "as", "a", "Board", "Member", "shall", "$", "16", ",", "000", ".", "00", "on", "an", "annual", "basis", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "14207", "text": "To the Consultant: Gerry David", "ner": [], "tokenized_text": ["To", "the", "Consultant", ":", "Gerry", "David"]}
{"id": "14209", "text": "THIS GUARANTY AGREEMENT (the Guaranty) is executed as of September 29, 2017 , by GRIFFIN CAPITAL ESSENTIAL ASSET REIT INC., a Maryland corporation, having an address at c/o Griffin Capital Company, LLC, 1520 E. Grand Avenue, El Segundo, CA 90245, Attention : Javier Bitar (whether one or more, together with its permitted successors and assigns, collectively referred to as Guarantor), for the benefit of BANK OF AMERICA, N.A., a national banking association, having an address at 214 North Tryon Street, NC1-027-15-01, Charlotte, North Carolina 28255 (together with its successors and assigns, Lender).", "ner": [[1, 2, "Title"], [11, 14, "EffectiveDate"], [17, 23, "Parties"], [83, 90, "Parties"], [101, 112, "Address"]], "tokenized_text": ["THIS", "GUARANTY", "AGREEMENT", "(", "the", "Guaranty", ")", "is", "executed", "as", "of", "September", "29", ",", "2017", ",", "by", "GRIFFIN", "CAPITAL", "ESSENTIAL", "ASSET", "REIT", "INC", ".", ",", "a", "Maryland", "corporation", ",", "having", "an", "address", "at", "c", "/", "o", "Griffin", "Capital", "Company", ",", "LLC", ",", "1520", "E", ".", "Grand", "Avenue", ",", "El", "Segundo", ",", "CA", "90245", ",", "Attention", ":", "Javier", "Bitar", "(", "whether", "one", "or", "more", ",", "together", "with", "its", "permitted", "successors", "and", "assigns", ",", "collectively", "referred", "to", "as", "Guarantor", ")", ",", "for", "the", "benefit", "of", "BANK", "OF", "AMERICA", ",", "N", ".", "A", ".", ",", "a", "national", "banking", "association", ",", "having", "an", "address", "at", "214", "North", "Tryon", "Street", ",", "NC1-027-15-01", ",", "Charlotte", ",", "North", "Carolina", "28255", "(", "together", "with", "its", "successors", "and", "assigns", ",", "Lender", ")", "."]}
{"id": "14210", "text": "1.6 No Duty To Pursue Others . It shall not be necessary for Lender (and Guarantor hereby waives any rights which Guarantor may have to require Lender), in order to enforce the obligations of Guarantor hereunder, first to (a) institute suit or exhaust its remedies against Borrower or others liable on the Loan or the Guaranteed Obligations or any other person, (b) enforce Lenders rights against any collateral which shall ever have been given to secure the Loan, (c) enforce Lenders rights against any other guarantors of the Guaranteed Obligations, (d) join Borrower or any others liable on the Guaranteed Obligations in any action seeking to enforce this Guaranty, (e) exhaust any remedies available to Lender against any collateral which shall ever have been given to secure the Loan or (f) resort to any other means of obtaining payment of the Guaranteed Obligations. Lender shall not be required to mitigate damages or take any other action to reduce, collect or enforce the Guaranteed Obligations.", "ner": [[63, 64, "Title"]], "tokenized_text": ["1", ".", "6", "No", "Duty", "To", "Pursue", "Others", ".", "It", "shall", "not", "be", "necessary", "for", "Lender", "(", "and", "Guarantor", "hereby", "waives", "any", "rights", "which", "Guarantor", "may", "have", "to", "require", "Lender", ")", ",", "in", "order", "to", "enforce", "the", "obligations", "of", "Guarantor", "hereunder", ",", "first", "to", "(", "a", ")", "institute", "suit", "or", "exhaust", "its", "remedies", "against", "Borrower", "or", "others", "liable", "on", "the", "Loan", "or", "the", "Guaranteed", "Obligations", "or", "any", "other", "person", ",", "(", "b", ")", "enforce", "Lenders", "rights", "against", "any", "collateral", "which", "shall", "ever", "have", "been", "given", "to", "secure", "the", "Loan", ",", "(", "c", ")", "enforce", "Lenders", "rights", "against", "any", "other", "guarantors", "of", "the", "Guaranteed", "Obligations", ",", "(", "d", ")", "join", "Borrower", "or", "any", "others", "liable", "on", "the", "Guaranteed", "Obligations", "in", "any", "action", "seeking", "to", "enforce", "this", "Guaranty", ",", "(", "e", ")", "exhaust", "any", "remedies", "available", "to", "Lender", "against", "any", "collateral", "which", "shall", "ever", "have", "been", "given", "to", "secure", "the", "Loan", "or", "(", "f", ")", "resort", "to", "any", "other", "means", "of", "obtaining", "payment", "of", "the", "Guaranteed", "Obligations", ".", "Lender", "shall", "not", "be", "required", "to", "mitigate", "damages", "or", "take", "any", "other", "action", "to", "reduce", ",", "collect", "or", "enforce", "the", "Guaranteed", "Obligations", "."]}
{"id": "14211", "text": "1.12 Net Worth. So long as the Loan and any of the obligations set forth in the Loan Documents remain outstanding, Guarantor shall maintain a minimum Net Worth (as defined herein) of not less than $250,000,000.00 (the Minimum Financial Criteria).", "ner": [[41, 48, "Principal"]], "tokenized_text": ["1", ".", "12", "Net", "Worth", ".", "So", "long", "as", "the", "Loan", "and", "any", "of", "the", "obligations", "set", "forth", "in", "the", "Loan", "Documents", "remain", "outstanding", ",", "Guarantor", "shall", "maintain", "a", "minimum", "Net", "Worth", "(", "as", "defined", "herein", ")", "of", "not", "less", "than", "$", "250", ",", "000", ",", "000", ".", "00", "(", "the", "Minimum", "Financial", "Criteria", ")", "."]}
{"id": "14212", "text": "3.3 No Representation By Lender . Neither Lender nor any other party has made any representation, warranty or statement to Guarantor in order to induce the Guarantor to execute this Guaranty.", "ner": [], "tokenized_text": ["3", ".", "3", "No", "Representation", "By", "Lender", ".", "Neither", "Lender", "nor", "any", "other", "party", "has", "made", "any", "representation", ",", "warranty", "or", "statement", "to", "Guarantor", "in", "order", "to", "induce", "the", "Guarantor", "to", "execute", "this", "Guaranty", "."]}
{"id": "14215", "text": "FULLEST EXTENT PERMITTED BY LAW, GUARANTOR HEREBY UNCONDITIONALLY AND IRREVOCABLY WAIVES ANY CLAIM TO ASSERT THAT THE LAW OF ANY OTHER JURISDICTION GOVERNS THIS GUARANTY, THE NOTE AND THE OTHER LOAN DOCUMENTS, AND THIS GUARANTY, THE NOTE AND THE OTHER LOAN DOCUMENTS SHALL BE GOVERNED BY AND CONSTRUED IN ACCORDANCE WITH THE LAWS OF THE STATE OF NEW YORK PURSUANT TO SECTION 5-1401 OF THE NEW YORK GENERAL OBLIGATIONS LAW.", "ner": [[59, 62, "Court"]], "tokenized_text": ["FULLEST", "EXTENT", "PERMITTED", "BY", "LAW", ",", "GUARANTOR", "HEREBY", "UNCONDITIONALLY", "AND", "IRREVOCABLY", "WAIVES", "ANY", "CLAIM", "TO", "ASSERT", "THAT", "THE", "LAW", "OF", "ANY", "OTHER", "JURISDICTION", "GOVERNS", "THIS", "GUARANTY", ",", "THE", "NOTE", "AND", "THE", "OTHER", "LOAN", "DOCUMENTS", ",", "AND", "THIS", "GUARANTY", ",", "THE", "NOTE", "AND", "THE", "OTHER", "LOAN", "DOCUMENTS", "SHALL", "BE", "GOVERNED", "BY", "AND", "CONSTRUED", "IN", "ACCORDANCE", "WITH", "THE", "LAWS", "OF", "THE", "STATE", "OF", "NEW", "YORK", "PURSUANT", "TO", "SECTION", "5-1401", "OF", "THE", "NEW", "YORK", "GENERAL", "OBLIGATIONS", "LAW", "."]}
{"id": "14218", "text": "AS ITS AUTHORIZED AGENT TO ACCEPT AND ACKNOWLEDGE ON ITS BEHALF SERVICE OF ANY AND ALL PROCESS WHICH MAY BE SERVED IN ANY SUCH SUIT, ACTION OR PROCEEDING IN ANY FEDERAL OR STATE COURT IN NEW YORK, NEW YORK, AND AGREES THAT SERVICE OF PROCESS UPON SAID AGENT AT SAID ADDRESS AND WRITTEN NOTICE OF SAID SERVICE MAILED OR DELIVERED TO GUARANTOR IN THE MANNER PROVIDED HEREIN SHALL BE DEEMED IN EVERY RESPECT EFFECTIVE SERVICE OF PROCESS UPON GUARANTOR IN ANY SUCH SUIT, ACTION OR PROCEEDING IN THE STATE OF NEW YORK. GUARANTOR (I) SHALL GIVE PROMPT NOTICE TO LENDER OF ANY CHANGED ADDRESS OF ITS AUTHORIZED AGENT HEREUNDER, (II) MAY AT ANY TIME AND FROM TIME TO TIME DESIGNATE A SUBSTITUTE AUTHORIZED AGENT WITH AN OFFICE IN NEW YORK, NEW YORK (WHICH SUBSTITUTE AGENT AND OFFICE SHALL BE DESIGNATED AS THE PERSON AND ADDRESS FOR SERVICE OF PROCESS), AND (III) SHALL PROMPTLY DESIGNATE SUCH A SUBSTITUTE IF ITS AUTHORIZED AGENT CEASES TO HAVE AN OFFICE IN NEW YORK, NEW YORK OR IS DISSOLVED WITHOUT LEAVING A SUCCESSOR.", "ner": [[31, 34, "Court"], [36, 40, "Address"], [92, 95, "Court"]], "tokenized_text": ["AS", "ITS", "AUTHORIZED", "AGENT", "TO", "ACCEPT", "AND", "ACKNOWLEDGE", "ON", "ITS", "BEHALF", "SERVICE", "OF", "ANY", "AND", "ALL", "PROCESS", "WHICH", "MAY", "BE", "SERVED", "IN", "ANY", "SUCH", "SUIT", ",", "ACTION", "OR", "PROCEEDING", "IN", "ANY", "FEDERAL", "OR", "STATE", "COURT", "IN", "NEW", "YORK", ",", "NEW", "YORK", ",", "AND", "AGREES", "THAT", "SERVICE", "OF", "PROCESS", "UPON", "SAID", "AGENT", "AT", "SAID", "ADDRESS", "AND", "WRITTEN", "NOTICE", "OF", "SAID", "SERVICE", "MAILED", "OR", "DELIVERED", "TO", "GUARANTOR", "IN", "THE", "MANNER", "PROVIDED", "HEREIN", "SHALL", "BE", "DEEMED", "IN", "EVERY", "RESPECT", "EFFECTIVE", "SERVICE", "OF", "PROCESS", "UPON", "GUARANTOR", "IN", "ANY", "SUCH", "SUIT", ",", "ACTION", "OR", "PROCEEDING", "IN", "THE", "STATE", "OF", "NEW", "YORK", ".", "GUARANTOR", "(", "I", ")", "SHALL", "GIVE", "PROMPT", "NOTICE", "TO", "LENDER", "OF", "ANY", "CHANGED", "ADDRESS", "OF", "ITS", "AUTHORIZED", "AGENT", "HEREUNDER", ",", "(", "II", ")", "MAY", "AT", "ANY", "TIME", "AND", "FROM", "TIME", "TO", "TIME", "DESIGNATE", "A", "SUBSTITUTE", "AUTHORIZED", "AGENT", "WITH", "AN", "OFFICE", "IN", "NEW", "YORK", ",", "NEW", "YORK", "(", "WHICH", "SUBSTITUTE", "AGENT", "AND", "OFFICE", "SHALL", "BE", "DESIGNATED", "AS", "THE", "PERSON", "AND", "ADDRESS", "FOR", "SERVICE", "OF", "PROCESS", ")", ",", "AND", "(", "III", ")", "SHALL", "PROMPTLY", "DESIGNATE", "SUCH", "A", "SUBSTITUTE", "IF", "ITS", "AUTHORIZED", "AGENT", "CEASES", "TO", "HAVE", "AN", "OFFICE", "IN", "NEW", "YORK", ",", "NEW", "YORK", "OR", "IS", "DISSOLVED", "WITHOUT", "LEAVING", "A", "SUCCESSOR", "."]}
{"id": "14220", "text": "5.13 Waiver of Right To Trial By Jury. GUARANTOR HEREBY AGREES NOT TO ELECT A TRIAL BY JURY OF ANY ISSUE TRIABLE OF RIGHT BY JURY, AND WAIVES ANY RIGHT TO TRIAL BY JURY FULLY TO THE EXTENT THAT ANY SUCH RIGHT SHALL NOW OR HEREAFTER EXIST WITH REGARD TO THIS GUARANTY, THE NOTE, THE LOAN AGREEMENT, THE MORTGAGE OR THE OTHER LOAN DOCUMENTS, OR ANY CLAIM, COUNTERCLAIM OR OTHER ACTION ARISING IN CONNECTION THEREWITH. THIS WAIVER OF RIGHT TO TRIAL BY JURY IS GIVEN KNOWINGLY AND VOLUNTARILY BY GUARANTOR, AND IS INTENDED TO ENCOMPASS INDIVIDUALLY EACH INSTANCE AND EACH ISSUE AS TO WHICH THE RIGHT TO A TRIAL BY JURY WOULD OTHERWISE ACCRUE. LENDER IS HEREBY AUTHORIZED TO FILE A COPY OF THIS PARAGRAPH IN ANY PROCEEDING AS CONCLUSIVE EVIDENCE OF THIS WAIVER BY GUARANTOR.", "ner": [[61, 62, "Title"]], "tokenized_text": ["5", ".", "13", "Waiver", "of", "Right", "To", "Trial", "By", "Jury", ".", "GUARANTOR", "HEREBY", "AGREES", "NOT", "TO", "ELECT", "A", "TRIAL", "BY", "JURY", "OF", "ANY", "ISSUE", "TRIABLE", "OF", "RIGHT", "BY", "JURY", ",", "AND", "WAIVES", "ANY", "RIGHT", "TO", "TRIAL", "BY", "JURY", "FULLY", "TO", "THE", "EXTENT", "THAT", "ANY", "SUCH", "RIGHT", "SHALL", "NOW", "OR", "HEREAFTER", "EXIST", "WITH", "REGARD", "TO", "THIS", "GUARANTY", ",", "THE", "NOTE", ",", "THE", "LOAN", "AGREEMENT", ",", "THE", "MORTGAGE", "OR", "THE", "OTHER", "LOAN", "DOCUMENTS", ",", "OR", "ANY", "CLAIM", ",", "COUNTERCLAIM", "OR", "OTHER", "ACTION", "ARISING", "IN", "CONNECTION", "THEREWITH", ".", "THIS", "WAIVER", "OF", "RIGHT", "TO", "TRIAL", "BY", "JURY", "IS", "GIVEN", "KNOWINGLY", "AND", "VOLUNTARILY", "BY", "GUARANTOR", ",", "AND", "IS", "INTENDED", "TO", "ENCOMPASS", "INDIVIDUALLY", "EACH", "INSTANCE", "AND", "EACH", "ISSUE", "AS", "TO", "WHICH", "THE", "RIGHT", "TO", "A", "TRIAL", "BY", "JURY", "WOULD", "OTHERWISE", "ACCRUE", ".", "LENDER", "IS", "HEREBY", "AUTHORIZED", "TO", "FILE", "A", "COPY", "OF", "THIS", "PARAGRAPH", "IN", "ANY", "PROCEEDING", "AS", "CONCLUSIVE", "EVIDENCE", "OF", "THIS", "WAIVER", "BY", "GUARANTOR", "."]}
{"id": "14221", "text": "2\\. WR Griffin Patterson, LLC , a Delaware limited liability company", "ner": [[3, 7, "Parties"]], "tokenized_text": ["2", "\\", ".", "WR", "Griffin", "Patterson", ",", "LLC", ",", "a", "Delaware", "limited", "liability", "company"]}
{"id": "14222", "text": "EX-10.1 2 hgriisep2017exhibit101unco.htm EXHIBIT 10.1 UNCOMMITTED LOAN AGREEMENT", "ner": [[12, 13, "Title"]], "tokenized_text": ["EX-10", ".", "1", "2", "hgriisep2017exhibit101unco", ".", "htm", "EXHIBIT", "10", ".", "1", "UNCOMMITTED", "LOAN", "AGREEMENT"]}
{"id": "14223", "text": "UNCOMMITTED LOAN AGREEMENT between HINES GLOBAL REIT II PROPERTIES LP <sup> as Borrower and HINES INTERESTS LIMITED PARTNERSHIP as Lender dated October 2, 2017", "ner": [[1, 2, "Title"], [4, 9, "Parties"], [16, 19, "Parties"], [23, 26, "EffectiveDate"]], "tokenized_text": ["UNCOMMITTED", "LOAN", "AGREEMENT", "between", "HINES", "GLOBAL", "REIT", "II", "PROPERTIES", "LP", "<", "sup", ">", "as", "Borrower", "and", "HINES", "INTERESTS", "LIMITED", "PARTNERSHIP", "as", "Lender", "dated", "October", "2", ",", "2017"]}
{"id": "14225", "text": "(v) Environmental Laws shall mean all federal, state and local environmental laws and regulations, including but not limited to, the Comprehensive Environmental Response, Compensation and Liability Act of 1980, Public Law No. 96-510 , 94 Stat. 2767 , 42 USC 9601 et seq, and the Superfund Amendments and Reauthorization Act of 1986, Public Law No. 99-499 , 100 Stat. 1613 .", "ner": [[25, 34, "Act"], [36, 40, "Regulation"], [42, 45, "Regulation"], [47, 49, "Regulation"], [55, 61, "Act"], [69, 72, "Regulation"]], "tokenized_text": ["(", "v", ")", "Environmental", "Laws", "shall", "mean", "all", "federal", ",", "state", "and", "local", "environmental", "laws", "and", "regulations", ",", "including", "but", "not", "limited", "to", ",", "the", "Comprehensive", "Environmental", "Response", ",", "Compensation", "and", "Liability", "Act", "of", "1980", ",", "Public", "Law", "No", ".", "96-510", ",", "94", "Stat", ".", "2767", ",", "42", "USC", "9601", "et", "seq", ",", "and", "the", "Superfund", "Amendments", "and", "Reauthorization", "Act", "of", "1986", ",", "Public", "Law", "No", ".", "99-499", ",", "100", "Stat", ".", "1613", "."]}
{"id": "14226", "text": "(1) is any of (i) a general or limited partnership, in which the only managing partners are Gerald D. Hines, Jeffrey C. Hines, the Lender or another Hines Affiliate; (ii) a limited liability company in which the only managing members are one or more of Gerald D. Hines, Jeffrey C. Hines, the Lender or another Hines Affiliate; (iii) a corporation the majority of the voting stock of which is owned, directly or indirectly, by members of the Hines Family, one or more Hines Family Trusts or another Hines Affiliate; (iv) HILP; (v) any fund or co- investment vehicle, platform or program (e.g., a series of related coordinated investments through project-specific legal entities) controlled by the Lender or another Hines Affiliate, as fund/entity/program managing general partner, managing member, manager or advisor; (vi) Hines REIT; (vii) the Borrower; (viii) Hines Global REIT, (ix) the Global REIT or (x) any other entity other than the entities described in clauses (i) through (ix) of this definition that is controlled, directly or indirectly, by Gerald D. Hines, Jeffrey C. Hines, the Lender or another Hines Affiliate; and", "ner": [[22, 25, "Parties"], [27, 30, "Parties"]], "tokenized_text": ["(", "1", ")", "is", "any", "of", "(", "i", ")", "a", "general", "or", "limited", "partnership", ",", "in", "which", "the", "only", "managing", "partners", "are", "Gerald", "D", ".", "Hines", ",", "Jeffrey", "C", ".", "Hines", ",", "the", "Lender", "or", "another", "Hines", "Affiliate", ";", "(", "ii", ")", "a", "limited", "liability", "company", "in", "which", "the", "only", "managing", "members", "are", "one", "or", "more", "of", "Gerald", "D", ".", "Hines", ",", "Jeffrey", "C", ".", "Hines", ",", "the", "Lender", "or", "another", "Hines", "Affiliate", ";", "(", "iii", ")", "a", "corporation", "the", "majority", "of", "the", "voting", "stock", "of", "which", "is", "owned", ",", "directly", "or", "indirectly", ",", "by", "members", "of", "the", "Hines", "Family", ",", "one", "or", "more", "Hines", "Family", "Trusts", "or", "another", "Hines", "Affiliate", ";", "(", "iv", ")", "HILP", ";", "(", "v", ")", "any", "fund", "or", "co", "-", "investment", "vehicle", ",", "platform", "or", "program", "(", "e", ".", "g", ".", ",", "a", "series", "of", "related", "coordinated", "investments", "through", "project-specific", "legal", "entities", ")", "controlled", "by", "the", "Lender", "or", "another", "Hines", "Affiliate", ",", "as", "fund", "/", "entity", "/", "program", "managing", "general", "partner", ",", "managing", "member", ",", "manager", "or", "advisor", ";", "(", "vi", ")", "Hines", "REIT", ";", "(", "vii", ")", "the", "Borrower", ";", "(", "viii", ")", "Hines", "Global", "REIT", ",", "(", "ix", ")", "the", "Global", "REIT", "or", "(", "x", ")", "any", "other", "entity", "other", "than", "the", "entities", "described", "in", "clauses", "(", "i", ")", "through", "(", "ix", ")", "of", "this", "definition", "that", "is", "controlled", ",", "directly", "or", "indirectly", ",", "by", "Gerald", "D", ".", "Hines", ",", "Jeffrey", "C", ".", "Hines", ",", "the", "Lender", "or", "another", "Hines", "Affiliate", ";", "and"]}
{"id": "14227", "text": "(ss) Loan Amount shall mean $240,000,000 <sup> .", "ner": [[7, 12, "Principal"]], "tokenized_text": ["(", "ss", ")", "Loan", "Amount", "shall", "mean", "$", "240", ",", "000", ",", "000", "<", "sup", ">", "."]}
{"id": "14228", "text": "(b) Notwithstanding anything to the contrary in Section 2.4(a), if an Event of Default is in existence, all outstanding amounts of principal and, to the extent permitted by applicable law, all overdue interest in respect of the Loan, shall bear interest, payable on demand, at a per annum rate equal to the Default Interest Rate. If any amount (other than the principal of and interest on the Loan) payable by Borrower under the Loan Documents is not paid when due, such amount shall bear interest, payable on demand, at a per annum rate equal to the Default Interest Rate.", "ner": [], "tokenized_text": ["(", "b", ")", "Notwithstanding", "anything", "to", "the", "contrary", "in", "Section", "2", ".", "4", "(", "a", ")", ",", "if", "an", "Event", "of", "Default", "is", "in", "existence", ",", "all", "outstanding", "amounts", "of", "principal", "and", ",", "to", "the", "extent", "permitted", "by", "applicable", "law", ",", "all", "overdue", "interest", "in", "respect", "of", "the", "Loan", ",", "shall", "bear", "interest", ",", "payable", "on", "demand", ",", "at", "a", "per", "annum", "rate", "equal", "to", "the", "Default", "Interest", "Rate", ".", "If", "any", "amount", "(", "other", "than", "the", "principal", "of", "and", "interest", "on", "the", "Loan", ")", "payable", "by", "Borrower", "under", "the", "Loan", "Documents", "is", "not", "paid", "when", "due", ",", "such", "amount", "shall", "bear", "interest", ",", "payable", "on", "demand", ",", "at", "a", "per", "annum", "rate", "equal", "to", "the", "Default", "Interest", "Rate", "."]}
{"id": "14230", "text": "4.8 Financial Statements. Any and all balance sheets, statements of income or loss, and financial statements heretofore furnished to Lender with respect to Borrower, are true and correct in all material respects as of the dates thereof, and fully and accurately present the financial condition of the subjects thereof as of the dates thereof, and no material adverse change has occurred in the financial condition reflected therein since the dates of the most recent thereof.", "ner": [], "tokenized_text": ["4", ".", "8", "Financial", "Statements", ".", "Any", "and", "all", "balance", "sheets", ",", "statements", "of", "income", "or", "loss", ",", "and", "financial", "statements", "heretofore", "furnished", "to", "Lender", "with", "respect", "to", "Borrower", ",", "are", "true", "and", "correct", "in", "all", "material", "respects", "as", "of", "the", "dates", "thereof", ",", "and", "fully", "and", "accurately", "present", "the", "financial", "condition", "of", "the", "subjects", "thereof", "as", "of", "the", "dates", "thereof", ",", "and", "no", "material", "adverse", "change", "has", "occurred", "in", "the", "financial", "condition", "reflected", "therein", "since", "the", "dates", "of", "the", "most", "recent", "thereof", "."]}
{"id": "14233", "text": "9.14 Submission to Jurisdiction. BORROWER IRREVOCABLY SUBMITS TO THE NON- EXCLUSIVE JURISDICTION OF THE COURTS OF THE STATE OF TEXAS, THE COURTS OF THE UNITED STATES FOR THE SOUTHERN DISTRICT OF THE STATE OF TEXAS, AND APPELLATE COURTS FROM ANY OF SUCH COURTS, AS LENDER IN ITS SOLE DISCRETION MAY ELECT, OVER ANY SUIT, ACTION OR PROCEEDING ARISING OUT OF OR RELATING TO THIS AGREEMENT, WHETHER SOUNDING IN CONTRACT, TORT, EQUITY OR OTHERWISE. BORROWER HEREBY IRREVOCABLY WAIVES, TO THE FULLEST EXTENT PERMITTED BY LAW, ANY OBJECTION THAT BORROWER MAY NOW OR HEREAFTER HAVE TO THE LAYING OF THE VENUE OF ANY SUCH SUIT, ACTION OR PROCEEDING BROUGHT IN ANY SUCH COURT AND ANY CLAIM THAT HAS ANY SUCH SUIT, ACTION OR PROCEEDING BROUGHT IN SUCH A COURT SHALL BE CONCLUSIVE AND BINDING UPON BORROWER. EACH PARTY TO THIS AGREEMENT IRREVOCABLY", "ner": [[21, 23, "Court"]], "tokenized_text": ["9", ".", "14", "Submission", "to", "Jurisdiction", ".", "BORROWER", "IRREVOCABLY", "SUBMITS", "TO", "THE", "NON", "-", "EXCLUSIVE", "JURISDICTION", "OF", "THE", "COURTS", "OF", "THE", "STATE", "OF", "TEXAS", ",", "THE", "COURTS", "OF", "THE", "UNITED", "STATES", "FOR", "THE", "SOUTHERN", "DISTRICT", "OF", "THE", "STATE", "OF", "TEXAS", ",", "AND", "APPELLATE", "COURTS", "FROM", "ANY", "OF", "SUCH", "COURTS", ",", "AS", "LENDER", "IN", "ITS", "SOLE", "DISCRETION", "MAY", "ELECT", ",", "OVER", "ANY", "SUIT", ",", "ACTION", "OR", "PROCEEDING", "ARISING", "OUT", "OF", "OR", "RELATING", "TO", "THIS", "AGREEMENT", ",", "WHETHER", "SOUNDING", "IN", "CONTRACT", ",", "TORT", ",", "EQUITY", "OR", "OTHERWISE", ".", "BORROWER", "HEREBY", "IRREVOCABLY", "WAIVES", ",", "TO", "THE", "FULLEST", "EXTENT", "PERMITTED", "BY", "LAW", ",", "ANY", "OBJECTION", "THAT", "BORROWER", "MAY", "NOW", "OR", "HEREAFTER", "HAVE", "TO", "THE", "LAYING", "OF", "THE", "VENUE", "OF", "ANY", "SUCH", "SUIT", ",", "ACTION", "OR", "PROCEEDING", "BROUGHT", "IN", "ANY", "SUCH", "COURT", "AND", "ANY", "CLAIM", "THAT", "HAS", "ANY", "SUCH", "SUIT", ",", "ACTION", "OR", "PROCEEDING", "BROUGHT", "IN", "SUCH", "A", "COURT", "SHALL", "BE", "CONCLUSIVE", "AND", "BINDING", "UPON", "BORROWER", ".", "EACH", "PARTY", "TO", "THIS", "AGREEMENT", "IRREVOCABLY"]}
{"id": "14234", "text": "9.15 Limitation of Liability. LENDER SHALL NOT HAVE ANY LIABILITY TO BORROWER (WHETHER SOUNDING IN TORT, CONTRACT, OR OTHERWISE) FOR LOSSES SUFFERED BY BORROWER, AND BORROWER HEREBY WAIVES AND RELEASES ANY CLAIMS IN CONNECTION WITH, ARISING OUT OF, OR IN ANY WAY RELATED TO THE TRANSACTIONS OR RELATIONSHIPS CONTEMPLATED BY THIS AGREEMENT OR ANY ACT, OMISSION OR EVENT OCCURRING IN CONNECTION HEREWITH, UNLESS (AND THEN ONLY TO THE EXTENT) IT IS DETERMINED BY A FINAL AND NONAPPEALABLE JUDGMENT OR COURT ORDER BINDING ON LENDER THAT THE LOSSES WERE THE RESULT OF ACTS OR OMISSIONS CONSTITUTING GROSS NEGLIGENCE, WILLFUL MISCONDUCT, BREACH OF CONTRACT OR KNOWING OR GROSSLY NEGLIGENT VIOLATIONS OF APPLICABLE REQUIREMENTS OF LAW.", "ner": [], "tokenized_text": ["9", ".", "15", "Limitation", "of", "Liability", ".", "LENDER", "SHALL", "NOT", "HAVE", "ANY", "LIABILITY", "TO", "BORROWER", "(", "WHETHER", "SOUNDING", "IN", "TORT", ",", "CONTRACT", ",", "OR", "OTHERWISE", ")", "FOR", "LOSSES", "SUFFERED", "BY", "BORROWER", ",", "AND", "BORROWER", "HEREBY", "WAIVES", "AND", "RELEASES", "ANY", "CLAIMS", "IN", "CONNECTION", "WITH", ",", "ARISING", "OUT", "OF", ",", "OR", "IN", "ANY", "WAY", "RELATED", "TO", "THE", "TRANSACTIONS", "OR", "RELATIONSHIPS", "CONTEMPLATED", "BY", "THIS", "AGREEMENT", "OR", "ANY", "ACT", ",", "OMISSION", "OR", "EVENT", "OCCURRING", "IN", "CONNECTION", "HEREWITH", ",", "UNLESS", "(", "AND", "THEN", "ONLY", "TO", "THE", "EXTENT", ")", "IT", "IS", "DETERMINED", "BY", "A", "FINAL", "AND", "NONAPPEALABLE", "JUDGMENT", "OR", "COURT", "ORDER", "BINDING", "ON", "LENDER", "THAT", "THE", "LOSSES", "WERE", "THE", "RESULT", "OF", "ACTS", "OR", "OMISSIONS", "CONSTITUTING", "GROSS", "NEGLIGENCE", ",", "WILLFUL", "MISCONDUCT", ",", "BREACH", "OF", "CONTRACT", "OR", "KNOWING", "OR", "GROSSLY", "NEGLIGENT", "VIOLATIONS", "OF", "APPLICABLE", "REQUIREMENTS", "OF", "LAW", "."]}
{"id": "14236", "text": "THIS AGREEMENT AND THE OTHER LOAN DOCUMENTS REPRESENT THE FINAL AGREEMENT BETWEEN THE PARTIES AND MAY NOT BE CONTRADICTED BY EVIDENCE OF PRIOR, CONTEMPORANEOUS OR SUBSEQUENT ORAL AGREEMENTS OF THE PARTIES.", "ner": [], "tokenized_text": ["THIS", "AGREEMENT", "AND", "THE", "OTHER", "LOAN", "DOCUMENTS", "REPRESENT", "THE", "FINAL", "AGREEMENT", "BETWEEN", "THE", "PARTIES", "AND", "MAY", "NOT", "BE", "CONTRADICTED", "BY", "EVIDENCE", "OF", "PRIOR", ",", "CONTEMPORANEOUS", "OR", "SUBSEQUENT", "ORAL", "AGREEMENTS", "OF", "THE", "PARTIES", "."]}
{"id": "14238", "text": "Hines Global REIT II, Inc., |", "ner": [[0, 6, "Parties"]], "tokenized_text": ["Hines", "Global", "REIT", "II", ",", "Inc", ".", ",", "|"]}
{"id": "14244", "text": "INTERNAL LAWS AND DECISIONS OF THE STATE OF TEXAS, WITHOUT REGARD TO ITS PRINCIPLES OF CONFLICTS OF LAWS.", "ner": [[6, 8, "Court"]], "tokenized_text": ["INTERNAL", "LAWS", "AND", "DECISIONS", "OF", "THE", "STATE", "OF", "TEXAS", ",", "WITHOUT", "REGARD", "TO", "ITS", "PRINCIPLES", "OF", "CONFLICTS", "OF", "LAWS", "."]}
{"id": "14245", "text": "15. Submission to Jurisdiction. MAKER IRREVOCABLY SUBMITS TO THE NON-EXCLUSIVE JURISDICTION OF THE COURTS OF THE STATE OF TEXAS, THE COURTS OF THE UNITED STATES FOR THE SOUTHERN DISTRICT OF THE STATE OF TEXAS, AND APPELLATE COURTS FROM ANY OF SUCH COURTS, AS LENDER IN ITS SOLE DISCRETION MAY ELECT, OVER ANY SUIT, ACTION OR PROCEEDING ARISING OUT OF OR RELATING TO THIS NOTE, WHETHER SOUNDING IN CONTRACT, TORT, EQUITY OR OTHERWISE. MAKER HEREBY IRREVOCABLY WAIVES, TO THE FULLEST EXTENT PERMITTED BY LAW, ANY OBJECTION THAT MAKER MAY NOW OR HEREAFTER HAVE TO THE LAYING OF THE VENUE OF ANY SUCH SUIT, ACTION OR PROCEEDING BROUGHT IN ANY SUCH COURT AND ANY CLAIM THAT HAS ANY SUCH SUIT, ACTION OR PROCEEDING BROUGHT IN SUCH A COURT SHALL BE CONCLUSIVE AND BINDING UPON MAKER.", "ner": [[18, 20, "Court"]], "tokenized_text": ["15", ".", "Submission", "to", "Jurisdiction", ".", "MAKER", "IRREVOCABLY", "SUBMITS", "TO", "THE", "NON-EXCLUSIVE", "JURISDICTION", "OF", "THE", "COURTS", "OF", "THE", "STATE", "OF", "TEXAS", ",", "THE", "COURTS", "OF", "THE", "UNITED", "STATES", "FOR", "THE", "SOUTHERN", "DISTRICT", "OF", "THE", "STATE", "OF", "TEXAS", ",", "AND", "APPELLATE", "COURTS", "FROM", "ANY", "OF", "SUCH", "COURTS", ",", "AS", "LENDER", "IN", "ITS", "SOLE", "DISCRETION", "MAY", "ELECT", ",", "OVER", "ANY", "SUIT", ",", "ACTION", "OR", "PROCEEDING", "ARISING", "OUT", "OF", "OR", "RELATING", "TO", "THIS", "NOTE", ",", "WHETHER", "SOUNDING", "IN", "CONTRACT", ",", "TORT", ",", "EQUITY", "OR", "OTHERWISE", ".", "MAKER", "HEREBY", "IRREVOCABLY", "WAIVES", ",", "TO", "THE", "FULLEST", "EXTENT", "PERMITTED", "BY", "LAW", ",", "ANY", "OBJECTION", "THAT", "MAKER", "MAY", "NOW", "OR", "HEREAFTER", "HAVE", "TO", "THE", "LAYING", "OF", "THE", "VENUE", "OF", "ANY", "SUCH", "SUIT", ",", "ACTION", "OR", "PROCEEDING", "BROUGHT", "IN", "ANY", "SUCH", "COURT", "AND", "ANY", "CLAIM", "THAT", "HAS", "ANY", "SUCH", "SUIT", ",", "ACTION", "OR", "PROCEEDING", "BROUGHT", "IN", "SUCH", "A", "COURT", "SHALL", "BE", "CONCLUSIVE", "AND", "BINDING", "UPON", "MAKER", "."]}
{"id": "14247", "text": "THIS NOTE, THE LOAN AGREEMENT, AND THE OTHER LOAN DOCUMENTS REPRESENT THE FINAL AGREEMENT BETWEEN THE PARTIES AND MAY NOT BE CONTRADICTED BY EVIDENCE OF PRIOR, CONTEMPORANEOUS OR SUBSEQUENT ORAL AGREEMENTS OF THE PARTIES.", "ner": [[4, 5, "Title"]], "tokenized_text": ["THIS", "NOTE", ",", "THE", "LOAN", "AGREEMENT", ",", "AND", "THE", "OTHER", "LOAN", "DOCUMENTS", "REPRESENT", "THE", "FINAL", "AGREEMENT", "BETWEEN", "THE", "PARTIES", "AND", "MAY", "NOT", "BE", "CONTRADICTED", "BY", "EVIDENCE", "OF", "PRIOR", ",", "CONTEMPORANEOUS", "OR", "SUBSEQUENT", "ORAL", "AGREEMENTS", "OF", "THE", "PARTIES", "."]}
{"id": "14249", "text": "THIS LOAN AGREEMENT (this Agreement), is executed as of February23, 2017 , by and between VIASPACE Inc. , a Nevada corporation (the Company), and Kevin L. Schewe, MD , an individual (the Lender).", "ner": [[1, 2, "Title"], [12, 14, "EffectiveDate"], [19, 21, "Parties"], [32, 37, "Parties"]], "tokenized_text": ["THIS", "LOAN", "AGREEMENT", "(", "this", "Agreement", ")", ",", "is", "executed", "as", "of", "February23", ",", "2017", ",", "by", "and", "between", "VIASPACE", "Inc", ".", ",", "a", "Nevada", "corporation", "(", "the", "Company", ")", ",", "and", "Kevin", "L", ".", "Schewe", ",", "MD", ",", "an", "individual", "(", "the", "Lender", ")", "."]}
{"id": "14252", "text": "2.1 Initial Loan. According to the terms and subject to the conditions of this Agreement, the Lender shall make a single-installment loan to the Company on the Initial Loan Closing Date in an amount determined by Lender in his sole discretion (the Initial Loan), and may advance additional Loans, upon the Companys request and accordance with the terms set forth in Section2.2, in the amount up to $100,000 less the amount of the Initial Loan (the \"Additional Loans) (the Initial Loan and the Additional Loan, if any, shall be referred to collectively as the Loans). The Loans shall be each evidenced by a convertible promissory note in the form attached hereto as ExhibitA (Note), duly executed on behalf of the Company and dated as of the Initial Loan Closing Date. The Note shall be convertible, upon Lenders request, into shares of Company common stock at a price per share equal to twenty percent (20%) of the Average Closing Price as reported by the principal trading exchange on which the Companys Common Stock is traded for the twenty (20)trading days preceding the date of the Note.", "ner": [[78, 81, "Principal"], [182, 183, "Percentage"]], "tokenized_text": ["2", ".", "1", "Initial", "Loan", ".", "According", "to", "the", "terms", "and", "subject", "to", "the", "conditions", "of", "this", "Agreement", ",", "the", "Lender", "shall", "make", "a", "single-installment", "loan", "to", "the", "Company", "on", "the", "Initial", "Loan", "Closing", "Date", "in", "an", "amount", "determined", "by", "Lender", "in", "his", "sole", "discretion", "(", "the", "Initial", "Loan", ")", ",", "and", "may", "advance", "additional", "Loans", ",", "upon", "the", "Companys", "request", "and", "accordance", "with", "the", "terms", "set", "forth", "in", "Section2", ".", "2", ",", "in", "the", "amount", "up", "to", "$", "100", ",", "000", "less", "the", "amount", "of", "the", "Initial", "Loan", "(", "the", "\"", "Additional", "Loans", ")", "(", "the", "Initial", "Loan", "and", "the", "Additional", "Loan", ",", "if", "any", ",", "shall", "be", "referred", "to", "collectively", "as", "the", "Loans", ")", ".", "The", "Loans", "shall", "be", "each", "evidenced", "by", "a", "convertible", "promissory", "note", "in", "the", "form", "attached", "hereto", "as", "ExhibitA", "(", "Note", ")", ",", "duly", "executed", "on", "behalf", "of", "the", "Company", "and", "dated", "as", "of", "the", "Initial", "Loan", "Closing", "Date", ".", "The", "Note", "shall", "be", "convertible", ",", "upon", "Lenders", "request", ",", "into", "shares", "of", "Company", "common", "stock", "at", "a", "price", "per", "share", "equal", "to", "twenty", "percent", "(", "20", "%", ")", "of", "the", "Average", "Closing", "Price", "as", "reported", "by", "the", "principal", "trading", "exchange", "on", "which", "the", "Companys", "Common", "Stock", "is", "traded", "for", "the", "twenty", "(", "20", ")", "trading", "days", "preceding", "the", "date", "of", "the", "Note", "."]}
{"id": "14253", "text": "--- VIASPACE Inc. 382 N. Lemon Ave., Suite364 Walnut, CA 91789 Attn:Chief Executive Officer Fax: (888) 965-9407 if to the Lender, to: Kevin L. Schewe, MD", "ner": [[3, 5, "Parties"], [6, 17, "Address"], [20, 22, "Role"], [25, 28, "PII_Ref"], [36, 41, "PII_Ref"]], "tokenized_text": ["-", "-", "-", "VIASPACE", "Inc", ".", "382", "N", ".", "Lemon", "Ave", ".", ",", "Suite364", "Walnut", ",", "CA", "91789", "Attn", ":", "Chief", "Executive", "Officer", "Fax", ":", "(", "888", ")", "965-9407", "if", "to", "the", "Lender", ",", "to", ":", "Kevin", "L", ".", "Schewe", ",", "MD"]}
{"id": "14254", "text": "| | | (720) 420-3301 | Either party hereto may change the above specified recipient or mailing address by notice to the other party given in the manner herein prescribed. All notices shall be deemed given on the day when actually delivered as provided above (if delivered personally or by facsimile, provided that any such facsimile is received during regular business hours at the recipients location) or on the day shown on the return receipt (if delivered by mail or delivery service).", "ner": [[4, 6, "PII_Ref"]], "tokenized_text": ["|", "|", "|", "(", "720", ")", "420-3301", "|", "Either", "party", "hereto", "may", "change", "the", "above", "specified", "recipient", "or", "mailing", "address", "by", "notice", "to", "the", "other", "party", "given", "in", "the", "manner", "herein", "prescribed", ".", "All", "notices", "shall", "be", "deemed", "given", "on", "the", "day", "when", "actually", "delivered", "as", "provided", "above", "(", "if", "delivered", "personally", "or", "by", "facsimile", ",", "provided", "that", "any", "such", "facsimile", "is", "received", "during", "regular", "business", "hours", "at", "the", "recipients", "location", ")", "or", "on", "the", "day", "shown", "on", "the", "return", "receipt", "(", "if", "delivered", "by", "mail", "or", "delivery", "service", ")", "."]}
{"id": "14255", "text": "6.4 Governing Law. This Agreement shall be governed by and construed in accordance with the domestic laws of the State of California without giving effect to any choice of law or conflict of law provision or rule (whether of the State of California or any other jurisdiction) that would cause the application of the laws of any jurisdiction other than the State of California .", "ner": [[22, 24, "Court"]], "tokenized_text": ["6", ".", "4", "Governing", "Law", ".", "This", "Agreement", "shall", "be", "governed", "by", "and", "construed", "in", "accordance", "with", "the", "domestic", "laws", "of", "the", "State", "of", "California", "without", "giving", "effect", "to", "any", "choice", "of", "law", "or", "conflict", "of", "law", "provision", "or", "rule", "(", "whether", "of", "the", "State", "of", "California", "or", "any", "other", "jurisdiction", ")", "that", "would", "cause", "the", "application", "of", "the", "laws", "of", "any", "jurisdiction", "other", "than", "the", "State", "of", "California", "."]}
{"id": "14261", "text": "PREPAYMENT; MINIMUM INTEREST CHARGE. In any event, even upon full prepayment of this Note, Borrower understands that Lender is entitled to a minimum interest charge of $200.00. Other than Borrowers obligation to pay any minimum interest charge, Borrower may pay without penalty all or a portion of the amount owed earlier than it is due. Early payments will not, unless agreed to by Lender in writing, relieve Borrower of Borrowers obligation to continue to make payments of accrued unpaid interest. Rather, early payments will reduce the principal balance due. Borrower agrees not to send Lender payments marked paid in full, without recourse, or similar language. If Borrower sends such a payment, Lender may accept it without losing any of Lenders rights under this Note, and Borrower will remain obligated to pay any further amount owed to Lender. All written communications concerning disputed amounts, including any check or other payment instrument that indicates that the payment constitutes payment in full of the amount owed or that is tendered with other conditions or limitations or as full satisfaction of a disputed amount must be mailed or delivered to: ZB, N.A. dba California Bank &amp; Trust; 11622 El Camino Real, 2nd Floor; San Diego, CA 92130.", "ner": [[30, 34, "Principal"], [223, 234, "Address"]], "tokenized_text": ["PREPAYMENT", ";", "MINIMUM", "INTEREST", "CHARGE", ".", "In", "any", "event", ",", "even", "upon", "full", "prepayment", "of", "this", "Note", ",", "Borrower", "understands", "that", "Lender", "is", "entitled", "to", "a", "minimum", "interest", "charge", "of", "$", "200", ".", "00", ".", "Other", "than", "Borrowers", "obligation", "to", "pay", "any", "minimum", "interest", "charge", ",", "Borrower", "may", "pay", "without", "penalty", "all", "or", "a", "portion", "of", "the", "amount", "owed", "earlier", "than", "it", "is", "due", ".", "Early", "payments", "will", "not", ",", "unless", "agreed", "to", "by", "Lender", "in", "writing", ",", "relieve", "Borrower", "of", "Borrowers", "obligation", "to", "continue", "to", "make", "payments", "of", "accrued", "unpaid", "interest", ".", "Rather", ",", "early", "payments", "will", "reduce", "the", "principal", "balance", "due", ".", "Borrower", "agrees", "not", "to", "send", "Lender", "payments", "marked", "paid", "in", "full", ",", "without", "recourse", ",", "or", "similar", "language", ".", "If", "Borrower", "sends", "such", "a", "payment", ",", "Lender", "may", "accept", "it", "without", "losing", "any", "of", "Lenders", "rights", "under", "this", "Note", ",", "and", "Borrower", "will", "remain", "obligated", "to", "pay", "any", "further", "amount", "owed", "to", "Lender", ".", "All", "written", "communications", "concerning", "disputed", "amounts", ",", "including", "any", "check", "or", "other", "payment", "instrument", "that", "indicates", "that", "the", "payment", "constitutes", "payment", "in", "full", "of", "the", "amount", "owed", "or", "that", "is", "tendered", "with", "other", "conditions", "or", "limitations", "or", "as", "full", "satisfaction", "of", "a", "disputed", "amount", "must", "be", "mailed", "or", "delivered", "to", ":", "ZB", ",", "N", ".", "A", ".", "dba", "California", "Bank", "&", "amp", ";", "Trust", ";", "11622", "El", "Camino", "Real", ",", "2nd", "Floor", ";", "San", "Diego", ",", "CA", "92130", "."]}
{"id": "14262", "text": "GOVERNING LAW. This Note will be governed by federal law applicable to Lender and, to the extent not preempted by federal law, the laws of the State of California without regard to its conflicts of law provisions. This Note has been accepted by Lender in the State of California .", "ner": [[29, 31, "Court"]], "tokenized_text": ["GOVERNING", "LAW", ".", "This", "Note", "will", "be", "governed", "by", "federal", "law", "applicable", "to", "Lender", "and", ",", "to", "the", "extent", "not", "preempted", "by", "federal", "law", ",", "the", "laws", "of", "the", "State", "of", "California", "without", "regard", "to", "its", "conflicts", "of", "law", "provisions", ".", "This", "Note", "has", "been", "accepted", "by", "Lender", "in", "the", "State", "of", "California", "."]}
{"id": "14265", "text": "NOTICE OF FINAL AGREEMENT. BY SIGNING THIS DOCUMENT THE UNDERSIGNED REPRESENTS AND AGREES THAT; (A) THIS AND THE RELATED DOCUMENTS EXECUTED IN CONNECTION HEREWITH REPRESENTS THE FINAL AGREEMENT BETWEEN THE PARTIES, (B) THERE ARE NO UNWRITTEN ORAL AGREEMENTS BETWEEN THE PARTIES, (C) THIS DOCUMENT MAY NOT BE CONTRADICTED BY EVIDENCE OF ANY PRIOR, CONTEMPORANEOUS, OR SUBSEQUENT ORAL AGREEMENTS OR UNDERSTANDINGS OF THE PARTIES.", "ner": [[2, 3, "Title"]], "tokenized_text": ["NOTICE", "OF", "FINAL", "AGREEMENT", ".", "BY", "SIGNING", "THIS", "DOCUMENT", "THE", "UNDERSIGNED", "REPRESENTS", "AND", "AGREES", "THAT", ";", "(", "A", ")", "THIS", "AND", "THE", "RELATED", "DOCUMENTS", "EXECUTED", "IN", "CONNECTION", "HEREWITH", "REPRESENTS", "THE", "FINAL", "AGREEMENT", "BETWEEN", "THE", "PARTIES", ",", "(", "B", ")", "THERE", "ARE", "NO", "UNWRITTEN", "ORAL", "AGREEMENTS", "BETWEEN", "THE", "PARTIES", ",", "(", "C", ")", "THIS", "DOCUMENT", "MAY", "NOT", "BE", "CONTRADICTED", "BY", "EVIDENCE", "OF", "ANY", "PRIOR", ",", "CONTEMPORANEOUS", ",", "OR", "SUBSEQUENT", "ORAL", "AGREEMENTS", "OR", "UNDERSTANDINGS", "OF", "THE", "PARTIES", "."]}
{"id": "14266", "text": "PROHIBITED DRUG LAW ACTIVITIES. Notwithstanding any other provision herein or in any other document, agreement or instrument relating to the loan evidenced hereby or other financial accommodations extended by Lender to Borrower (collectively, the Loan) or guaranty thereof, whether now existing or hereafter arising (collectively, the Loan Documents), regarding the use, occupancy or leasing of all or any portion of real property owned, occupied or used by Borrower (collectively, the Premises) and without limiting the generality of any of the negative covenants of Borrower herein, Borrower shall not use or occupy, or permit the use or occupancy of, the Premises (or any portion thereof), or enter into any lease, license, sublease, occupancy agreement or other agreement (collectively, Lease) involving or providing for the use or occupancy of the Premises (or any portion thereof), in any manner that would be a violation of any federal, state or local law relating to the use, sale, possession, cultivation or distribution of any controlled substances, including without limitation any activity (whether for commercial or personal purposes) regulated under the Compassionate Use Act of 1996 or any other California law relating to the medicinal use or distribution of marijuana (collectively, Prohibited Drug Law Activities) or entering into a Lease with any Person engaged or intending to engage in any Prohibited Drug Law Activities.", "ner": [[0, 3, "Title"], [212, 216, "Act"]], "tokenized_text": ["PROHIBITED", "DRUG", "LAW", "ACTIVITIES", ".", "Notwithstanding", "any", "other", "provision", "herein", "or", "in", "any", "other", "document", ",", "agreement", "or", "instrument", "relating", "to", "the", "loan", "evidenced", "hereby", "or", "other", "financial", "accommodations", "extended", "by", "Lender", "to", "Borrower", "(", "collectively", ",", "the", "Loan", ")", "or", "guaranty", "thereof", ",", "whether", "now", "existing", "or", "hereafter", "arising", "(", "collectively", ",", "the", "Loan", "Documents", ")", ",", "regarding", "the", "use", ",", "occupancy", "or", "leasing", "of", "all", "or", "any", "portion", "of", "real", "property", "owned", ",", "occupied", "or", "used", "by", "Borrower", "(", "collectively", ",", "the", "Premises", ")", "and", "without", "limiting", "the", "generality", "of", "any", "of", "the", "negative", "covenants", "of", "Borrower", "herein", ",", "Borrower", "shall", "not", "use", "or", "occupy", ",", "or", "permit", "the", "use", "or", "occupancy", "of", ",", "the", "Premises", "(", "or", "any", "portion", "thereof", ")", ",", "or", "enter", "into", "any", "lease", ",", "license", ",", "sublease", ",", "occupancy", "agreement", "or", "other", "agreement", "(", "collectively", ",", "Lease", ")", "involving", "or", "providing", "for", "the", "use", "or", "occupancy", "of", "the", "Premises", "(", "or", "any", "portion", "thereof", ")", ",", "in", "any", "manner", "that", "would", "be", "a", "violation", "of", "any", "federal", ",", "state", "or", "local", "law", "relating", "to", "the", "use", ",", "sale", ",", "possession", ",", "cultivation", "or", "distribution", "of", "any", "controlled", "substances", ",", "including", "without", "limitation", "any", "activity", "(", "whether", "for", "commercial", "or", "personal", "purposes", ")", "regulated", "under", "the", "Compassionate", "Use", "Act", "of", "1996", "or", "any", "other", "California", "law", "relating", "to", "the", "medicinal", "use", "or", "distribution", "of", "marijuana", "(", "collectively", ",", "Prohibited", "Drug", "Law", "Activities", ")", "or", "entering", "into", "a", "Lease", "with", "any", "Person", "engaged", "or", "intending", "to", "engage", "in", "any", "Prohibited", "Drug", "Law", "Activities", "."]}
{"id": "14271", "text": "ADDENDUM TO PROMISSORY NOTE", "ner": [], "tokenized_text": ["ADDENDUM", "TO", "PROMISSORY", "NOTE"]}
{"id": "14272", "text": "This Addendum to Promissory Note (\"Addendum\") is dated as of January10, 2017 by and between Collectors Universe, Inc. , a Delaware corporation (\"Borrower\"), and ZB, N.A., dba California Bank &amp; Trust (\"Lender\"), with reference to the following:", "ner": [[14, 16, "EffectiveDate"], [20, 24, "Parties"], [36, 41, "Parties"], [44, 49, "Parties"]], "tokenized_text": ["This", "Addendum", "to", "Promissory", "Note", "(", "\"", "Addendum", "\"", ")", "is", "dated", "as", "of", "January10", ",", "2017", "by", "and", "between", "Collectors", "Universe", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "\"", "Borrower", "\"", ")", ",", "and", "ZB", ",", "N", ".", "A", ".", ",", "dba", "California", "Bank", "&", "amp", ";", "Trust", "(", "\"", "Lender", "\"", ")", ",", "with", "reference", "to", "the", "following", ":"]}
{"id": "14274", "text": "COLLECTORS UNIVERSE, INC.,&lt; br/&gt;", "ner": [], "tokenized_text": ["COLLECTORS", "UNIVERSE", ",", "INC", ".", ",", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "14276", "text": "(this \"Agreement\") dated this 26th day of September 2016", "ner": [[8, 12, "EffectiveDate"]], "tokenized_text": ["(", "this", "\"", "Agreement", "\"", ")", "dated", "this", "26th", "day", "of", "September", "2016"]}
{"id": "14277", "text": "Hui Ping Liu , Chief executive officer and President of Arcom", "ner": [[0, 2, "Role"], [4, 6, "Role"], [8, 8, "Role"]], "tokenized_text": ["Hui", "Ping", "Liu", ",", "Chief", "executive", "officer", "and", "President", "of", "Arcom"]}
{"id": "14278", "text": "The Lender promises to loan $40,000 to the Borrower and the Borrower promises to repay tins principal amount to the Lender, with no interest payable on the unpaid.", "ner": [[5, 8, "Principal"]], "tokenized_text": ["The", "Lender", "promises", "to", "loan", "$", "40", ",", "000", "to", "the", "Borrower", "and", "the", "Borrower", "promises", "to", "repay", "tins", "principal", "amount", "to", "the", "Lender", ",", "with", "no", "interest", "payable", "on", "the", "unpaid", "."]}
{"id": "14280", "text": "the parties have duly affixed their signatures on this 26th day of September 2016 .", "ner": [[9, 13, "EffectiveDate"]], "tokenized_text": ["the", "parties", "have", "duly", "affixed", "their", "signatures", "on", "this", "26th", "day", "of", "September", "2016", "."]}
{"id": "14283", "text": "PROMISSORY NOTE --- | $14,000,000.00", "ner": [[6, 13, "Principal"]], "tokenized_text": ["PROMISSORY", "NOTE", "-", "-", "-", "|", "$", "14", ",", "000", ",", "000", ".", "00"]}
{"id": "14285", "text": ": GOVERNING LAW; WAIVER OF JURY TRIAL; JURISDICTION IN ALL RESPECTS, INCLUDING, WITHOUT LIMITING THE GENERALITY OF THE FOREGOING, MATTERS OF CONSTRUCTION, VALIDITY AND PERFORMANCE, THIS NOTE AND THE OBLIGATIONS ARISING HEREUNDER WILL BE GOVERNED BY AND CONSTRUED IN", "ner": [], "tokenized_text": [":", "GOVERNING", "LAW", ";", "WAIVER", "OF", "JURY", "TRIAL", ";", "JURISDICTION", "IN", "ALL", "RESPECTS", ",", "INCLUDING", ",", "WITHOUT", "LIMITING", "THE", "GENERALITY", "OF", "THE", "FOREGOING", ",", "MATTERS", "OF", "CONSTRUCTION", ",", "VALIDITY", "AND", "PERFORMANCE", ",", "THIS", "NOTE", "AND", "THE", "OBLIGATIONS", "ARISING", "HEREUNDER", "WILL", "BE", "GOVERNED", "BY", "AND", "CONSTRUED", "IN"]}
{"id": "14288", "text": ": OREGON STATUTORY WARNING UNDER OREGON LAW, MOST AGREEMENTS, PROMISES AND COMMITMENTS MADE BY A LENDER CONCERNING LOANS AND OTHER CREDIT EXTENSIONS WHICH ARE NOT FOR PERSONAL, FAMILY, OR HOUSEHOLD PURPOSES OR SECURED SOLELY BY THE BORROWER'S PRINCIPAL RESIDENCE MUST BE IN WRITING, EXPRESS CONSIDERATION, AND BE SIGNED BY LENDER TO BE ENFORCEABLE.", "ner": [], "tokenized_text": [":", "OREGON", "STATUTORY", "WARNING", "UNDER", "OREGON", "LAW", ",", "MOST", "AGREEMENTS", ",", "PROMISES", "AND", "COMMITMENTS", "MADE", "BY", "A", "LENDER", "CONCERNING", "LOANS", "AND", "OTHER", "CREDIT", "EXTENSIONS", "WHICH", "ARE", "NOT", "FOR", "PERSONAL", ",", "FAMILY", ",", "OR", "HOUSEHOLD", "PURPOSES", "OR", "SECURED", "SOLELY", "BY", "THE", "BORROWER", "'", "S", "PRINCIPAL", "RESIDENCE", "MUST", "BE", "IN", "WRITING", ",", "EXPRESS", "CONSIDERATION", ",", "AND", "BE", "SIGNED", "BY", "LENDER", "TO", "BE", "ENFORCEABLE", "."]}
{"id": "14290", "text": "THIS LOAN AGREEMENT (Agreement) is made as of February 15, 2017 , by and between WSI INDUSTRIES, INC. , a Minnesota corporation (Borrower), and TRADITION CAPITAL BANK , a Minnesota banking corporation (Lender).", "ner": [[1, 2, "Title"], [10, 13, "EffectiveDate"], [18, 22, "Parties"], [32, 34, "Parties"]], "tokenized_text": ["THIS", "LOAN", "AGREEMENT", "(", "Agreement", ")", "is", "made", "as", "of", "February", "15", ",", "2017", ",", "by", "and", "between", "WSI", "INDUSTRIES", ",", "INC", ".", ",", "a", "Minnesota", "corporation", "(", "Borrower", ")", ",", "and", "TRADITION", "CAPITAL", "BANK", ",", "a", "Minnesota", "banking", "corporation", "(", "Lender", ")", "."]}
{"id": "14291", "text": "A. The Borrower has requested from the Lender an extension of credit in the form of a term loan in the amount of Three Million Seven Hundred Thousand and 00/100 Dollars ( $3,700,000.00 ) (the Loan), the proceeds are to be used by Borrower to refinance existing debt on certain property located at 213 Chelsea Road, City of Monticello, County of Wright, State of Minnesota (the Property).", "ner": [[35, 42, "Principal"]], "tokenized_text": ["A", ".", "The", "Borrower", "has", "requested", "from", "the", "Lender", "an", "extension", "of", "credit", "in", "the", "form", "of", "a", "term", "loan", "in", "the", "amount", "of", "Three", "Million", "Seven", "Hundred", "Thousand", "and", "00", "/", "100", "Dollars", "(", "$", "3", ",", "700", ",", "000", ".", "00", ")", "(", "the", "Loan", ")", ",", "the", "proceeds", "are", "to", "be", "used", "by", "Borrower", "to", "refinance", "existing", "debt", "on", "certain", "property", "located", "at", "213", "Chelsea", "Road", ",", "City", "of", "Monticello", ",", "County", "of", "Wright", ",", "State", "of", "Minnesota", "(", "the", "Property", ")", "."]}
{"id": "14295", "text": "| 6.2. | Lenders Right on Default. Upon the occurrence of an Event of Default, Lender may, at its option and without notice: (a) refuse to advance against the Note; (b) accelerate amounts outstanding on the Note and demand their immediate payment in full without presentment or other demand, protest, notice of dishonor or any other notice of any kind, all of which are expressly waived; (c) foreclose its lien on the Property pursuant to the Mortgage; (d) seek appointment of a receiver; and (e) take such other actions as may otherwise be available in equity or at law. All remedies of the Lender shall be cumulative. ---|---|--- | | | 7. | Miscellaneous. | | | 7.1. | Binding Effect. The parties hereto agree that this Agreement shall be binding upon and inure to the benefit of their respective successors in interest and assigns including any holder of the Note, provided, however, that Borrower may not assign or transfer its interest hereunder without the prior written consent of the Lender. | | | 7.2. | Governing Law. This Agreement and the rights and obligations of the parties hereunder and under the Note, as applicable, and any other Loan Documents, shall be construed in accordance with and governed by the laws of the State of Minnesota . Borrower hereby consents to the jurisdiction of the courts of the State of Minnesota for any actions brought hereon or on the Note, as applicable. | | | 7.3. | Notices. Any notices required or contemplated hereunder shall be effective upon two (2) business days after placing thereof in the United States mail, certified mail and with return receipt requested, postage prepaid, and addressed as follows:", "ner": [[266, 268, "Court"]], "tokenized_text": ["|", "6", ".", "2", ".", "|", "Lenders", "Right", "on", "Default", ".", "Upon", "the", "occurrence", "of", "an", "Event", "of", "Default", ",", "Lender", "may", ",", "at", "its", "option", "and", "without", "notice", ":", "(", "a", ")", "refuse", "to", "advance", "against", "the", "Note", ";", "(", "b", ")", "accelerate", "amounts", "outstanding", "on", "the", "Note", "and", "demand", "their", "immediate", "payment", "in", "full", "without", "presentment", "or", "other", "demand", ",", "protest", ",", "notice", "of", "dishonor", "or", "any", "other", "notice", "of", "any", "kind", ",", "all", "of", "which", "are", "expressly", "waived", ";", "(", "c", ")", "foreclose", "its", "lien", "on", "the", "Property", "pursuant", "to", "the", "Mortgage", ";", "(", "d", ")", "seek", "appointment", "of", "a", "receiver", ";", "and", "(", "e", ")", "take", "such", "other", "actions", "as", "may", "otherwise", "be", "available", "in", "equity", "or", "at", "law", ".", "All", "remedies", "of", "the", "Lender", "shall", "be", "cumulative", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "|", "|", "7", ".", "|", "Miscellaneous", ".", "|", "|", "|", "7", ".", "1", ".", "|", "Binding", "Effect", ".", "The", "parties", "hereto", "agree", "that", "this", "Agreement", "shall", "be", "binding", "upon", "and", "inure", "to", "the", "benefit", "of", "their", "respective", "successors", "in", "interest", "and", "assigns", "including", "any", "holder", "of", "the", "Note", ",", "provided", ",", "however", ",", "that", "Borrower", "may", "not", "assign", "or", "transfer", "its", "interest", "hereunder", "without", "the", "prior", "written", "consent", "of", "the", "Lender", ".", "|", "|", "|", "7", ".", "2", ".", "|", "Governing", "Law", ".", "This", "Agreement", "and", "the", "rights", "and", "obligations", "of", "the", "parties", "hereunder", "and", "under", "the", "Note", ",", "as", "applicable", ",", "and", "any", "other", "Loan", "Documents", ",", "shall", "be", "construed", "in", "accordance", "with", "and", "governed", "by", "the", "laws", "of", "the", "State", "of", "Minnesota", ".", "Borrower", "hereby", "consents", "to", "the", "jurisdiction", "of", "the", "courts", "of", "the", "State", "of", "Minnesota", "for", "any", "actions", "brought", "hereon", "or", "on", "the", "Note", ",", "as", "applicable", ".", "|", "|", "|", "7", ".", "3", ".", "|", "Notices", ".", "Any", "notices", "required", "or", "contemplated", "hereunder", "shall", "be", "effective", "upon", "two", "(", "2", ")", "business", "days", "after", "placing", "thereof", "in", "the", "United", "States", "mail", ",", "certified", "mail", "and", "with", "return", "receipt", "requested", ",", "postage", "prepaid", ",", "and", "addressed", "as", "follows", ":"]}
{"id": "14296", "text": "| If to Borrower: | WSI Industries, Inc. ---|---|--- | | 213 Chelsea Road | | Monticello, MN 55362 | | Attn: Paul Sheely | | | If to Lender: | Tradition Capital Bank | | 7601 France Avenue South, Suite 140 | | Edina, MN 55435 | | Attn: Natalia Armitage", "ner": [[6, 10, "Parties"], [24, 26, "Address"], [29, 32, "Address"], [47, 49, "Parties"], [52, 58, "Address"], [61, 63, "Address"]], "tokenized_text": ["|", "If", "to", "Borrower", ":", "|", "WSI", "Industries", ",", "Inc", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "|", "213", "Chelsea", "Road", "|", "|", "Monticello", ",", "MN", "55362", "|", "|", "Attn", ":", "Paul", "Sheely", "|", "|", "|", "If", "to", "Lender", ":", "|", "Tradition", "Capital", "Bank", "|", "|", "7601", "France", "Avenue", "South", ",", "Suite", "140", "|", "|", "Edina", ",", "MN", "55435", "|", "|", "Attn", ":", "Natalia", "Armitage"]}
{"id": "14297", "text": "| With a copy to: | Messerli &amp; Kramer P.A. ---|---|--- | | 1400 Fifth Street Towers | | 100 South Fifth Street | | Minneapolis, Minnesota 55402 | | Attn: Michelle R. Jester, Esq.", "ner": [[7, 15, "Parties"], [29, 32, "Address"], [35, 38, "Address"], [41, 44, "Address"], [49, 55, "PII_Ref"]], "tokenized_text": ["|", "With", "a", "copy", "to", ":", "|", "Messerli", "&", "amp", ";", "Kramer", "P", ".", "A", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "|", "1400", "Fifth", "Street", "Towers", "|", "|", "100", "South", "Fifth", "Street", "|", "|", "Minneapolis", ",", "Minnesota", "55402", "|", "|", "Attn", ":", "Michelle", "R", ".", "Jester", ",", "Esq", "."]}
{"id": "14301", "text": "Executed in Minneapolis, Minnesota, as of the year and day first above written.", "ner": [[2, 4, "Address"]], "tokenized_text": ["Executed", "in", "Minneapolis", ",", "Minnesota", ",", "as", "of", "the", "year", "and", "day", "first", "above", "written", "."]}
{"id": "14302", "text": "| BORROWER: ---|--- | | WSI INDUSTRIES, INC. , | a Minnesota corporation | | | By: | /s/ Paul D. Sheely | | Paul D. Sheely | Its: | Chief Financial Officer", "ner": [[12, 16, "Parties"], [31, 34, "Parties"], [45, 47, "Role"]], "tokenized_text": ["|", "BORROWER", ":", "-", "-", "-", "|", "-", "-", "-", "|", "|", "WSI", "INDUSTRIES", ",", "INC", ".", ",", "|", "a", "Minnesota", "corporation", "|", "|", "|", "By", ":", "|", "/", "s", "/", "Paul", "D", ".", "Sheely", "|", "|", "Paul", "D", ".", "Sheely", "|", "Its", ":", "|", "Chief", "Financial", "Officer"]}
{"id": "14304", "text": "Pursuant to that certain Loan Agreement dated February 15, 2017 , by and between the WSI INDUSTRIES, INC. , a Minnesota corporation (Borrower) and Lender, and any amendments thereto and extensions thereof (Loan Agreement), the undersigned hereby:", "ner": [[4, 5, "Title"], [7, 10, "EffectiveDate"], [16, 20, "Parties"], [39, 40, "Title"]], "tokenized_text": ["Pursuant", "to", "that", "certain", "Loan", "Agreement", "dated", "February", "15", ",", "2017", ",", "by", "and", "between", "the", "WSI", "INDUSTRIES", ",", "INC", ".", ",", "a", "Minnesota", "corporation", "(", "Borrower", ")", "and", "Lender", ",", "and", "any", "amendments", "thereto", "and", "extensions", "thereof", "(", "Loan", "Agreement", ")", ",", "the", "undersigned", "hereby", ":"]}
{"id": "14307", "text": "LOAN AND SECURITY AGREEMENT", "ner": [[0, 3, "Title"]], "tokenized_text": ["LOAN", "AND", "SECURITY", "AGREEMENT"]}
{"id": "14310", "text": "WHEREAS, PFG and Borrower entered into that certain Forbearance under Loan and Security Agreement dated as of September 9, 2016, pursuant to which PFG agreed to forbear from exercising remedies under the Loan Agreement due to Borrower's \"Specified Defaults\" as defined therein until the earlier to occur of October 31, 2016 and certain therein-specified Termination Events (the \"Original Forbearance\");", "ner": [[2, 2, "Parties"], [11, 14, "Title"], [18, 21, "EffectiveDate"], [35, 36, "Title"], [55, 58, "TerminationDate"]], "tokenized_text": ["WHEREAS", ",", "PFG", "and", "Borrower", "entered", "into", "that", "certain", "Forbearance", "under", "Loan", "and", "Security", "Agreement", "dated", "as", "of", "September", "9", ",", "2016", ",", "pursuant", "to", "which", "PFG", "agreed", "to", "forbear", "from", "exercising", "remedies", "under", "the", "Loan", "Agreement", "due", "to", "Borrower", "'", "s", "\"", "Specified", "Defaults", "\"", "as", "defined", "therein", "until", "the", "earlier", "to", "occur", "of", "October", "31", ",", "2016", "and", "certain", "therein-specified", "Termination", "Events", "(", "the", "\"", "Original", "Forbearance", "\"", ")", ";"]}
{"id": "14313", "text": "Borrower: ActiveCare, Inc . a Delaware corporation", "ner": [[2, 5, "Parties"]], "tokenized_text": ["Borrower", ":", "ActiveCare", ",", "Inc", ".", "a", "Delaware", "corporation"]}
{"id": "14316", "text": "This Schedule 3 forms an integral part of the Loan and Security Agreement between PARTNERS FOR GROWTH IV, L.P. and the above-borrower, as amended by Modification No. 1 to Loan and Security Agreement (the \"Modification\") dated the Modification Date. The \"Schedule 3\" Loan means the Loan reflected in this Schedule 3.", "ner": [[9, 12, "Title"], [14, 22, "Parties"]], "tokenized_text": ["This", "Schedule", "3", "forms", "an", "integral", "part", "of", "the", "Loan", "and", "Security", "Agreement", "between", "PARTNERS", "FOR", "GROWTH", "IV", ",", "L", ".", "P", ".", "and", "the", "above-borrower", ",", "as", "amended", "by", "Modification", "No", ".", "1", "to", "Loan", "and", "Security", "Agreement", "(", "the", "\"", "Modification", "\"", ")", "dated", "the", "Modification", "Date", ".", "The", "\"", "Schedule", "3", "\"", "Loan", "means", "the", "Loan", "reflected", "in", "this", "Schedule", "3", "."]}
{"id": "14317", "text": "7. BORROWER INFORMATION :", "ner": [], "tokenized_text": ["7", ".", "BORROWER", "INFORMATION", ":"]}
{"id": "14318", "text": "dated as of [], 2017", "ner": [], "tokenized_text": ["dated", "as", "of", "[", "]", ",", "2017"]}
{"id": "14320", "text": "THIS TERM LOAN AGREEMENT (this Agreement) is made and entered into as of [], 2017 , by and among [ COWEN GROUP, INC. ], a Delaware corporation (the Borrower), [ Crane Entity ] (together with its Lender Affiliates and Approved Funds that may become Lenders after the date hereof, the Initial Lender), the other several lenders from time to time party hereto (together with the Initial Lender, the Lenders), and [ ], in its capacity as administrative agent for the Lenders (the Administrative Agent).", "ner": [[1, 3, "Title"], [24, 28, "Parties"], [40, 41, "Parties"]], "tokenized_text": ["THIS", "TERM", "LOAN", "AGREEMENT", "(", "this", "Agreement", ")", "is", "made", "and", "entered", "into", "as", "of", "[", "]", ",", "2017", ",", "by", "and", "among", "[", "COWEN", "GROUP", ",", "INC", ".", "]", ",", "a", "Delaware", "corporation", "(", "the", "Borrower", ")", ",", "[", "Crane", "Entity", "]", "(", "together", "with", "its", "Lender", "Affiliates", "and", "Approved", "Funds", "that", "may", "become", "Lenders", "after", "the", "date", "hereof", ",", "the", "Initial", "Lender", ")", ",", "the", "other", "several", "lenders", "from", "time", "to", "time", "party", "hereto", "(", "together", "with", "the", "Initial", "Lender", ",", "the", "Lenders", ")", ",", "and", "[", "]", ",", "in", "its", "capacity", "as", "administrative", "agent", "for", "the", "Lenders", "(", "the", "Administrative", "Agent", ")", "."]}
{"id": "14321", "text": "WHEREAS, the Borrower has requested that the Lenders extend credit in the form of term Loans (each capitalized term used in this recital shall have the meanings set forth in Article I below) on the Closing Date, in an aggregate principal amount of $175,000,000 . The proceeds of the Loans may be used for one or more of the following purposes on or after the Closing Date: (a) paying fees, expenses and other related transaction costs in connection with the Common Stock Investment and the entry into this Agreement, (b) funding, all or in part, acquisitions and other strategic transactions and/or (c) making investments in the business of the Borrower and its Subsidiaries.", "ner": [[47, 52, "Principal"]], "tokenized_text": ["WHEREAS", ",", "the", "Borrower", "has", "requested", "that", "the", "Lenders", "extend", "credit", "in", "the", "form", "of", "term", "Loans", "(", "each", "capitalized", "term", "used", "in", "this", "recital", "shall", "have", "the", "meanings", "set", "forth", "in", "Article", "I", "below", ")", "on", "the", "Closing", "Date", ",", "in", "an", "aggregate", "principal", "amount", "of", "$", "175", ",", "000", ",", "000", ".", "The", "proceeds", "of", "the", "Loans", "may", "be", "used", "for", "one", "or", "more", "of", "the", "following", "purposes", "on", "or", "after", "the", "Closing", "Date", ":", "(", "a", ")", "paying", "fees", ",", "expenses", "and", "other", "related", "transaction", "costs", "in", "connection", "with", "the", "Common", "Stock", "Investment", "and", "the", "entry", "into", "this", "Agreement", ",", "(", "b", ")", "funding", ",", "all", "or", "in", "part", ",", "acquisitions", "and", "other", "strategic", "transactions", "and", "/", "or", "(", "c", ")", "making", "investments", "in", "the", "business", "of", "the", "Borrower", "and", "its", "Subsidiaries", "."]}
{"id": "14322", "text": "Bail-In Legislation shall mean, with respect to any EEA Member Country implementing Article 55 of Directive 2014/59/ EU of the European Parliament and of the Council of the European Union, the implementing law for such EEA Member Country from time to time which is described in the EU Bail-In Legislation Schedule.", "ner": [[13, 14, "Regulation"], [16, 21, "Regulation"]], "tokenized_text": ["Bail-In", "Legislation", "shall", "mean", ",", "with", "respect", "to", "any", "EEA", "Member", "Country", "implementing", "Article", "55", "of", "Directive", "2014", "/", "59", "/", "EU", "of", "the", "European", "Parliament", "and", "of", "the", "Council", "of", "the", "European", "Union", ",", "the", "implementing", "law", "for", "such", "EEA", "Member", "Country", "from", "time", "to", "time", "which", "is", "described", "in", "the", "EU", "Bail-In", "Legislation", "Schedule", "."]}
{"id": "14326", "text": "Common Stock Purchase Agreement shall mean the Stock Purchase Agreement, dated as of March 29, 2017 , among Shanghai Huaxin Group (HongKong) Limited and the Borrower.", "ner": [[0, 3, "Title"], [14, 17, "EffectiveDate"], [20, 26, "Parties"]], "tokenized_text": ["Common", "Stock", "Purchase", "Agreement", "shall", "mean", "the", "Stock", "Purchase", "Agreement", ",", "dated", "as", "of", "March", "29", ",", "2017", ",", "among", "Shanghai", "Huaxin", "Group", "(", "HongKong", ")", "Limited", "and", "the", "Borrower", "."]}
{"id": "14328", "text": "ERISA shall mean the Employee Retirement Income Security Act of 1974 , as amended and in effect from time to time, and any successor statute thereto and the regulations promulgated and rulings issued thereunder.", "ner": [[4, 10, "Act"]], "tokenized_text": ["ERISA", "shall", "mean", "the", "Employee", "Retirement", "Income", "Security", "Act", "of", "1974", ",", "as", "amended", "and", "in", "effect", "from", "time", "to", "time", ",", "and", "any", "successor", "statute", "thereto", "and", "the", "regulations", "promulgated", "and", "rulings", "issued", "thereunder", "."]}
{"id": "14331", "text": "OSHA shall mean the Occupational Safety and Health Act of 1970 , as amended and in effect from time to time, and any successor statute thereto.", "ner": [[4, 10, "Act"]], "tokenized_text": ["OSHA", "shall", "mean", "the", "Occupational", "Safety", "and", "Health", "Act", "of", "1970", ",", "as", "amended", "and", "in", "effect", "from", "time", "to", "time", ",", "and", "any", "successor", "statute", "thereto", "."]}
{"id": "14332", "text": "Patriot Act shall mean the Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism Act of 2001 , as amended and in effect from time to time.", "ner": [[0, 1, "Act"], [15, 21, "Act"]], "tokenized_text": ["Patriot", "Act", "shall", "mean", "the", "Uniting", "and", "Strengthening", "America", "by", "Providing", "Appropriate", "Tools", "Required", "to", "Intercept", "and", "Obstruct", "Terrorism", "Act", "of", "2001", ",", "as", "amended", "and", "in", "effect", "from", "time", "to", "time", "."]}
{"id": "14333", "text": "Restricted Investment shall mean an Investment by the Borrower or a Restricted Subsidiary in any Unrestricted Subsidiary or joint venture, other than an Investment that (a) is owned directly by the Borrower or a Guarantor (or, in the case of an Investment in a Person other than a Leveraged Finance Subsidiary, a Restricted Subsidiary), (b) such Investment is not subject to a pledge by the Borrower or a Restricted Subsidiary in favor of any Person (other than pledges to secure the Obligations and Permitted Encumbrances described in clauses (a) and (e) and, except in the case of an Investment in a Leveraged Finance Subsidiary, Liens permitted under Section 6.2(a), (c), (e) or (i)), and (c) there exists no contract or other agreement restricting the pledge by the Borrower or such Restricted Subsidiary of such Investment to secure the Obligations (or requiring the Borrower or such Restricted Subsidiary to obtain consent prior to such pledge), except in the case of a Lien permitted pursuant to the preceding clause (b).", "ner": [[124, 127, "Regulation"]], "tokenized_text": ["Restricted", "Investment", "shall", "mean", "an", "Investment", "by", "the", "Borrower", "or", "a", "Restricted", "Subsidiary", "in", "any", "Unrestricted", "Subsidiary", "or", "joint", "venture", ",", "other", "than", "an", "Investment", "that", "(", "a", ")", "is", "owned", "directly", "by", "the", "Borrower", "or", "a", "Guarantor", "(", "or", ",", "in", "the", "case", "of", "an", "Investment", "in", "a", "Person", "other", "than", "a", "Leveraged", "Finance", "Subsidiary", ",", "a", "Restricted", "Subsidiary", ")", ",", "(", "b", ")", "such", "Investment", "is", "not", "subject", "to", "a", "pledge", "by", "the", "Borrower", "or", "a", "Restricted", "Subsidiary", "in", "favor", "of", "any", "Person", "(", "other", "than", "pledges", "to", "secure", "the", "Obligations", "and", "Permitted", "Encumbrances", "described", "in", "clauses", "(", "a", ")", "and", "(", "e", ")", "and", ",", "except", "in", "the", "case", "of", "an", "Investment", "in", "a", "Leveraged", "Finance", "Subsidiary", ",", "Liens", "permitted", "under", "Section", "6", ".", "2", "(", "a", ")", ",", "(", "c", ")", ",", "(", "e", ")", "or", "(", "i", ")", ")", ",", "and", "(", "c", ")", "there", "exists", "no", "contract", "or", "other", "agreement", "restricting", "the", "pledge", "by", "the", "Borrower", "or", "such", "Restricted", "Subsidiary", "of", "such", "Investment", "to", "secure", "the", "Obligations", "(", "or", "requiring", "the", "Borrower", "or", "such", "Restricted", "Subsidiary", "to", "obtain", "consent", "prior", "to", "such", "pledge", ")", ",", "except", "in", "the", "case", "of", "a", "Lien", "permitted", "pursuant", "to", "the", "preceding", "clause", "(", "b", ")", "."]}
{"id": "14336", "text": "(xi) with respect to Indebtedness not permitted to be outstanding pursuant to Section 6.1 or Liens not permitted to be outstanding pursuant to Section 6.2, copies of duly executed payoff letters, in form and substance reasonably satisfactory to the Lenders, executed by each of the existing lenders or the administrative agent thereof, together with (a) UCC-3 or other appropriate termination statements, in form and substance reasonably satisfactory to the Lenders, releasing all liens of the existing lenders upon any of the personal property of the Borrower and its Restricted Subsidiaries, (b) cancellations and releases, in form and substance reasonably satisfactory to the Lenders, releasing all liens of the existing lenders upon any of the real property of the Borrower and its Restricted Subsidiaries, and (c) any other releases, terminations or other documents reasonably required by the Lenders to evidence the payoff of Indebtedness owed to the existing lenders.", "ner": [[14, 17, "Regulation"], [27, 30, "Regulation"], [67, 67, "Title"]], "tokenized_text": ["(", "xi", ")", "with", "respect", "to", "Indebtedness", "not", "permitted", "to", "be", "outstanding", "pursuant", "to", "Section", "6", ".", "1", "or", "Liens", "not", "permitted", "to", "be", "outstanding", "pursuant", "to", "Section", "6", ".", "2", ",", "copies", "of", "duly", "executed", "payoff", "letters", ",", "in", "form", "and", "substance", "reasonably", "satisfactory", "to", "the", "Lenders", ",", "executed", "by", "each", "of", "the", "existing", "lenders", "or", "the", "administrative", "agent", "thereof", ",", "together", "with", "(", "a", ")", "UCC-3", "or", "other", "appropriate", "termination", "statements", ",", "in", "form", "and", "substance", "reasonably", "satisfactory", "to", "the", "Lenders", ",", "releasing", "all", "liens", "of", "the", "existing", "lenders", "upon", "any", "of", "the", "personal", "property", "of", "the", "Borrower", "and", "its", "Restricted", "Subsidiaries", ",", "(", "b", ")", "cancellations", "and", "releases", ",", "in", "form", "and", "substance", "reasonably", "satisfactory", "to", "the", "Lenders", ",", "releasing", "all", "liens", "of", "the", "existing", "lenders", "upon", "any", "of", "the", "real", "property", "of", "the", "Borrower", "and", "its", "Restricted", "Subsidiaries", ",", "and", "(", "c", ")", "any", "other", "releases", ",", "terminations", "or", "other", "documents", "reasonably", "required", "by", "the", "Lenders", "to", "evidence", "the", "payoff", "of", "Indebtedness", "owed", "to", "the", "existing", "lenders", "."]}
{"id": "14339", "text": "Section 4.11 Patriot Act. Neither any Loan Party nor any of its Restricted Subsidiaries is an enemy or an ally of the enemy within the meaning of Section 2 of the Trading with the Enemy Act or any enabling legislation or executive order relating thereto. Neither any Loan Party nor any of its Restricted Subsidiaries is in violation in any material respect of (a) the Trading with the Enemy Act, ( b) any of the foreign assets control regulations of the United States Treasury Department (31 C.F.R., Subtitle B, Chapter V, as amended) or any enabling legislation or executive order relating thereto or (c) the applicable provisions of the Patriot Act. None of the Loan Parties (i) is a blocked person described in Section 1 of the Anti-Terrorism Order or (ii) to the best of its knowledge, engages in any dealings or transactions, or is otherwise associated, with any such blocked person.", "ner": [[4, 5, "Act"], [34, 38, "Act"], [94, 100, "Regulation"]], "tokenized_text": ["Section", "4", ".", "11", "Patriot", "Act", ".", "Neither", "any", "Loan", "Party", "nor", "any", "of", "its", "Restricted", "Subsidiaries", "is", "an", "enemy", "or", "an", "ally", "of", "the", "enemy", "within", "the", "meaning", "of", "Section", "2", "of", "the", "Trading", "with", "the", "Enemy", "Act", "or", "any", "enabling", "legislation", "or", "executive", "order", "relating", "thereto", ".", "Neither", "any", "Loan", "Party", "nor", "any", "of", "its", "Restricted", "Subsidiaries", "is", "in", "violation", "in", "any", "material", "respect", "of", "(", "a", ")", "the", "Trading", "with", "the", "Enemy", "Act", ",", "(", "b", ")", "any", "of", "the", "foreign", "assets", "control", "regulations", "of", "the", "United", "States", "Treasury", "Department", "(", "31", "C", ".", "F", ".", "R", ".", ",", "Subtitle", "B", ",", "Chapter", "V", ",", "as", "amended", ")", "or", "any", "enabling", "legislation", "or", "executive", "order", "relating", "thereto", "or", "(", "c", ")", "the", "applicable", "provisions", "of", "the", "Patriot", "Act", ".", "None", "of", "the", "Loan", "Parties", "(", "i", ")", "is", "a", "blocked", "person", "described", "in", "Section", "1", "of", "the", "Anti-Terrorism", "Order", "or", "(", "ii", ")", "to", "the", "best", "of", "its", "knowledge", ",", "engages", "in", "any", "dealings", "or", "transactions", ",", "or", "is", "otherwise", "associated", ",", "with", "any", "such", "blocked", "person", "."]}
{"id": "14343", "text": "(a) On the Closing Date, all of the Subsidiaries of the Borrower shall be Restricted Subsidiaries other than Healthcare Royalty Management, LLC , Cowen Aviation Finance Holdings Inc., Cowen Aviation Finance Holdings LLC, Cowen Aviation Finance LLC and Cowen Aviation Management Inc., which shall be Unrestricted Subsidiaries unless and until otherwise designated by the Borrowers board of directors; provided, however, the conditions set forth in clauses (i) through (iv) below shall be satisfied as of the Closing Date with respect to such Subsidiaries. The board of directors of the Borrower may designated any Restricted Subsidiary that is an Aviation Subsidiary or a Leveraged Finance Subsidiary to be an Unrestricted Subsidiary; provided that, at the time of designation, the following conditions are satisfied:", "ner": [[21, 25, "Parties"], [27, 32, "Parties"], [34, 38, "Parties"], [40, 43, "Parties"], [45, 49, "Parties"]], "tokenized_text": ["(", "a", ")", "On", "the", "Closing", "Date", ",", "all", "of", "the", "Subsidiaries", "of", "the", "Borrower", "shall", "be", "Restricted", "Subsidiaries", "other", "than", "Healthcare", "Royalty", "Management", ",", "LLC", ",", "Cowen", "Aviation", "Finance", "Holdings", "Inc", ".", ",", "Cowen", "Aviation", "Finance", "Holdings", "LLC", ",", "Cowen", "Aviation", "Finance", "LLC", "and", "Cowen", "Aviation", "Management", "Inc", ".", ",", "which", "shall", "be", "Unrestricted", "Subsidiaries", "unless", "and", "until", "otherwise", "designated", "by", "the", "Borrowers", "board", "of", "directors", ";", "provided", ",", "however", ",", "the", "conditions", "set", "forth", "in", "clauses", "(", "i", ")", "through", "(", "iv", ")", "below", "shall", "be", "satisfied", "as", "of", "the", "Closing", "Date", "with", "respect", "to", "such", "Subsidiaries", ".", "The", "board", "of", "directors", "of", "the", "Borrower", "may", "designated", "any", "Restricted", "Subsidiary", "that", "is", "an", "Aviation", "Subsidiary", "or", "a", "Leveraged", "Finance", "Subsidiary", "to", "be", "an", "Unrestricted", "Subsidiary", ";", "provided", "that", ",", "at", "the", "time", "of", "designation", ",", "the", "following", "conditions", "are", "satisfied", ":"]}
{"id": "14345", "text": "(iv) the Borrower shall be in compliance on a pro forma basis after giving effect to such designation with the Minimum Liquidity Condition and the Borrower and its Restricted Subsidiaries shall have a Debt to Equity Ratio on a pro forma basis after giving effect to such designation of no greater than 1.00:1.00.&lt; br/&gt;", "ner": [[54, 61, "Ratio"]], "tokenized_text": ["(", "iv", ")", "the", "Borrower", "shall", "be", "in", "compliance", "on", "a", "pro", "forma", "basis", "after", "giving", "effect", "to", "such", "designation", "with", "the", "Minimum", "Liquidity", "Condition", "and", "the", "Borrower", "and", "its", "Restricted", "Subsidiaries", "shall", "have", "a", "Debt", "to", "Equity", "Ratio", "on", "a", "pro", "forma", "basis", "after", "giving", "effect", "to", "such", "designation", "of", "no", "greater", "than", "1", ".", "00", ":", "1", ".", "00", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "14346", "text": "Section 5.1 [ Post Closing Matters . The Borrower will, and will cause each of its Restricted Subsidiaries to, satisfy the requirements set forth in Schedule 5.14 on or before the date specified for such requirements, in each case as such date may be extended at the sole discretion of the Required Lenders.]", "ner": [], "tokenized_text": ["Section", "5", ".", "1", "[", "Post", "Closing", "Matters", ".", "The", "Borrower", "will", ",", "and", "will", "cause", "each", "of", "its", "Restricted", "Subsidiaries", "to", ",", "satisfy", "the", "requirements", "set", "forth", "in", "Schedule", "5", ".", "14", "on", "or", "before", "the", "date", "specified", "for", "such", "requirements", ",", "in", "each", "case", "as", "such", "date", "may", "be", "extended", "at", "the", "sole", "discretion", "of", "the", "Required", "Lenders", ".", "]"]}
{"id": "14347", "text": "(g) Acquired Indebtedness of any Person Incurred by the Borrower or any of its Restricted Subsidiaries in an aggregate principal amount not to exceed $50,000,000 at any time outstanding; provided that (i) no Event of Default shall have occurred and be continuing as of the date of the Incurrence of such Acquired Indebtedness or as a result of such Incurrence and (ii) as of the date of the Incurrence of such Acquired Indebtedness, after giving pro forma effect to the Incurrence thereof, (x) the Borrower shall be in compliance with the Minimum Liquidity Condition and (y) the Borrower and its Restricted Subsidiaries shall have a Debt to Equity Ratio of no greater than 1.00:1.00;", "ner": [[26, 31, "Principal"], [131, 137, "Ratio"]], "tokenized_text": ["(", "g", ")", "Acquired", "Indebtedness", "of", "any", "Person", "Incurred", "by", "the", "Borrower", "or", "any", "of", "its", "Restricted", "Subsidiaries", "in", "an", "aggregate", "principal", "amount", "not", "to", "exceed", "$", "50", ",", "000", ",", "000", "at", "any", "time", "outstanding", ";", "provided", "that", "(", "i", ")", "no", "Event", "of", "Default", "shall", "have", "occurred", "and", "be", "continuing", "as", "of", "the", "date", "of", "the", "Incurrence", "of", "such", "Acquired", "Indebtedness", "or", "as", "a", "result", "of", "such", "Incurrence", "and", "(", "ii", ")", "as", "of", "the", "date", "of", "the", "Incurrence", "of", "such", "Acquired", "Indebtedness", ",", "after", "giving", "pro", "forma", "effect", "to", "the", "Incurrence", "thereof", ",", "(", "x", ")", "the", "Borrower", "shall", "be", "in", "compliance", "with", "the", "Minimum", "Liquidity", "Condition", "and", "(", "y", ")", "the", "Borrower", "and", "its", "Restricted", "Subsidiaries", "shall", "have", "a", "Debt", "to", "Equity", "Ratio", "of", "no", "greater", "than", "1", ".", "00", ":", "1", ".", "00", ";"]}
{"id": "14348", "text": "(n) Indebtedness of the Borrower or its Restricted Subsidiaries up to an aggregate principal amount such that, after giving pro forma effect to the Incurrence thereof, (x) the Borrower shall be in compliance with the Minimum Liquidity Condition and (y) the Borrower and its Restricted Subsidiaries shall have a Debt to Equity Ratio of no greater than 1.00:1.00; provided that (i) as of the date of Incurrence of such Indebtedness no Event of Default shall have occurred and be continuing or would result therefrom and (ii) if such Incurrence (together with any and all related Incurrences) is in an aggregate principal amount of $15,000,000 or more, the Borrower shall have previously delivered to the Administrative Agent and the Lenders a certificate of the chief financial officer of the Borrower certifying as to the foregoing and containing reasonably detailed calculations;", "ner": [[65, 71, "Ratio"], [124, 129, "Principal"], [150, 152, "Role"]], "tokenized_text": ["(", "n", ")", "Indebtedness", "of", "the", "Borrower", "or", "its", "Restricted", "Subsidiaries", "up", "to", "an", "aggregate", "principal", "amount", "such", "that", ",", "after", "giving", "pro", "forma", "effect", "to", "the", "Incurrence", "thereof", ",", "(", "x", ")", "the", "Borrower", "shall", "be", "in", "compliance", "with", "the", "Minimum", "Liquidity", "Condition", "and", "(", "y", ")", "the", "Borrower", "and", "its", "Restricted", "Subsidiaries", "shall", "have", "a", "Debt", "to", "Equity", "Ratio", "of", "no", "greater", "than", "1", ".", "00", ":", "1", ".", "00", ";", "provided", "that", "(", "i", ")", "as", "of", "the", "date", "of", "Incurrence", "of", "such", "Indebtedness", "no", "Event", "of", "Default", "shall", "have", "occurred", "and", "be", "continuing", "or", "would", "result", "therefrom", "and", "(", "ii", ")", "if", "such", "Incurrence", "(", "together", "with", "any", "and", "all", "related", "Incurrences", ")", "is", "in", "an", "aggregate", "principal", "amount", "of", "$", "15", ",", "000", ",", "000", "or", "more", ",", "the", "Borrower", "shall", "have", "previously", "delivered", "to", "the", "Administrative", "Agent", "and", "the", "Lenders", "a", "certificate", "of", "the", "chief", "financial", "officer", "of", "the", "Borrower", "certifying", "as", "to", "the", "foregoing", "and", "containing", "reasonably", "detailed", "calculations", ";"]}
{"id": "14349", "text": "(a) the Borrower may merge or consolidate with a Person if (i) the Borrower is the surviving Person and (ii) after giving pro forma effect to the transaction, (x) the Borrower shall be in compliance with the Minimum Liquidity Condition and (y) the Borrower and its Restricted Subsidiaries shall have a Debt to Equity Ratio of no greater than 1.00:1.00;", "ner": [[70, 76, "Ratio"]], "tokenized_text": ["(", "a", ")", "the", "Borrower", "may", "merge", "or", "consolidate", "with", "a", "Person", "if", "(", "i", ")", "the", "Borrower", "is", "the", "surviving", "Person", "and", "(", "ii", ")", "after", "giving", "pro", "forma", "effect", "to", "the", "transaction", ",", "(", "x", ")", "the", "Borrower", "shall", "be", "in", "compliance", "with", "the", "Minimum", "Liquidity", "Condition", "and", "(", "y", ")", "the", "Borrower", "and", "its", "Restricted", "Subsidiaries", "shall", "have", "a", "Debt", "to", "Equity", "Ratio", "of", "no", "greater", "than", "1", ".", "00", ":", "1", ".", "00", ";"]}
{"id": "14350", "text": "(ii) after giving pro forma effect to such transaction, (x) the Borrower and its Restricted Subsidiaries receive consideration at the time of such transaction at least equal to the Fair Market Value of the assets or Equity Interests issued or sold or otherwise disposed of (including by merger), (y) the Borrower shall be in compliance with the Minimum Liquidity Condition and (z) the Borrower and its Restricted Subsidiaries shall have a Debt to Equity Ratio of no greater than 1.00:1.00;", "ner": [[91, 97, "Ratio"]], "tokenized_text": ["(", "ii", ")", "after", "giving", "pro", "forma", "effect", "to", "such", "transaction", ",", "(", "x", ")", "the", "Borrower", "and", "its", "Restricted", "Subsidiaries", "receive", "consideration", "at", "the", "time", "of", "such", "transaction", "at", "least", "equal", "to", "the", "Fair", "Market", "Value", "of", "the", "assets", "or", "Equity", "Interests", "issued", "or", "sold", "or", "otherwise", "disposed", "of", "(", "including", "by", "merger", ")", ",", "(", "y", ")", "the", "Borrower", "shall", "be", "in", "compliance", "with", "the", "Minimum", "Liquidity", "Condition", "and", "(", "z", ")", "the", "Borrower", "and", "its", "Restricted", "Subsidiaries", "shall", "have", "a", "Debt", "to", "Equity", "Ratio", "of", "no", "greater", "than", "1", ".", "00", ":", "1", ".", "00", ";"]}
{"id": "14352", "text": "Section 6.8 Government Regulation. The Borrower will not, and will not permit any of its Restricted Subsidiaries to, (a) be or become subject at any time to any law, regulation, or list of any Governmental Authority of the United States (including, without limitation, the OFAC list) that prohibits or limits the Lenders or the Administrative Agent from making any advance or extension of credit to the Borrower or from otherwise conducting business with the Loan Parties, or (b) fail to provide documentary and other evidence of the identity of the Loan Parties as may be requested by any Lender or the Administrative Agent at any time to enable the Lenders or the Administrative Agent to verify the identity of the Loan Parties or to comply with any applicable law or regulation, including, without limitation, Section 326 of the Patriot Act at 31 U.S.C. Section 5318 .", "ner": [[157, 158, "Act"]], "tokenized_text": ["Section", "6", ".", "8", "Government", "Regulation", ".", "The", "Borrower", "will", "not", ",", "and", "will", "not", "permit", "any", "of", "its", "Restricted", "Subsidiaries", "to", ",", "(", "a", ")", "be", "or", "become", "subject", "at", "any", "time", "to", "any", "law", ",", "regulation", ",", "or", "list", "of", "any", "Governmental", "Authority", "of", "the", "United", "States", "(", "including", ",", "without", "limitation", ",", "the", "OFAC", "list", ")", "that", "prohibits", "or", "limits", "the", "Lenders", "or", "the", "Administrative", "Agent", "from", "making", "any", "advance", "or", "extension", "of", "credit", "to", "the", "Borrower", "or", "from", "otherwise", "conducting", "business", "with", "the", "Loan", "Parties", ",", "or", "(", "b", ")", "fail", "to", "provide", "documentary", "and", "other", "evidence", "of", "the", "identity", "of", "the", "Loan", "Parties", "as", "may", "be", "requested", "by", "any", "Lender", "or", "the", "Administrative", "Agent", "at", "any", "time", "to", "enable", "the", "Lenders", "or", "the", "Administrative", "Agent", "to", "verify", "the", "identity", "of", "the", "Loan", "Parties", "or", "to", "comply", "with", "any", "applicable", "law", "or", "regulation", ",", "including", ",", "without", "limitation", ",", "Section", "326", "of", "the", "Patriot", "Act", "at", "31", "U", ".", "S", ".", "C", ".", "Section", "5318", "."]}
{"id": "14356", "text": "Willkie Farr &amp; Gallagher LLP 787 Seventh Avenue New York, New York 10019 Attention: David K. Boston Telecopy Number: (212) 728-9625 and", "ner": [[7, 15, "Address"], [18, 21, "PII_Ref"], [25, 28, "PII_Ref"]], "tokenized_text": ["Willkie", "Farr", "&", "amp", ";", "Gallagher", "LLP", "787", "Seventh", "Avenue", "New", "York", ",", "New", "York", "10019", "Attention", ":", "David", "K", ".", "Boston", "Telecopy", "Number", ":", "(", "212", ")", "728-9625", "and"]}
{"id": "14361", "text": "Section 9.14 Patriot Act. The Administrative Agent and each Lender hereby notifies the Loan Parties that, pursuant to the requirements of the Patriot Act, it is required to obtain, verify and record information that identifies each Loan Party, which information includes the name and address of such Loan Party and other information that will allow such Lender or the Administrative Agent, as applicable, to identify such Loan Party in accordance with the Patriot Act.&lt; br/&gt;", "ner": [[4, 5, "Act"]], "tokenized_text": ["Section", "9", ".", "14", "Patriot", "Act", ".", "The", "Administrative", "Agent", "and", "each", "Lender", "hereby", "notifies", "the", "Loan", "Parties", "that", ",", "pursuant", "to", "the", "requirements", "of", "the", "Patriot", "Act", ",", "it", "is", "required", "to", "obtain", ",", "verify", "and", "record", "information", "that", "identifies", "each", "Loan", "Party", ",", "which", "information", "includes", "the", "name", "and", "address", "of", "such", "Loan", "Party", "and", "other", "information", "that", "will", "allow", "such", "Lender", "or", "the", "Administrative", "Agent", ",", "as", "applicable", ",", "to", "identify", "such", "Loan", "Party", "in", "accordance", "with", "the", "Patriot", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "14362", "text": "[ COWEN GROUP, INC. ]", "ner": [[1, 5, "Parties"]], "tokenized_text": ["[", "COWEN", "GROUP", ",", "INC", ".", "]"]}
{"id": "14363", "text": "SIGNATURE PAGE TO TERM LOAN AGREEMENT", "ner": [[3, 5, "Title"]], "tokenized_text": ["SIGNATURE", "PAGE", "TO", "TERM", "LOAN", "AGREEMENT"]}
{"id": "14366", "text": "THIS FORBEARANCE AGREEMENT AND AMENDMENT TO LOAN AND SECURITY AGREEMENT (this Agreement) executed and entered into as of February 21, 2017 , and made effective as of the Effective Time (as herein defined) is by and among MAD CATZ, INC. , a Delaware corporation (the Borrower), each of the undersigned Persons signing as a Guarantor hereunder (each, a Guarantor and collectively the Guarantors), and STERLING NATIONAL BANK, a national banking association, as administrative and collateral agent (in such capacity, and including its successors and permitted assigns, the Administrative Agent) on behalf of the Lender Parties under and as defined in the Loan Agreement (as hereinafter defined).", "ner": [[1, 2, "Title"], [6, 9, "Title"], [20, 23, "EffectiveDate"], [42, 46, "Parties"], [78, 80, "Parties"], [121, 122, "Title"]], "tokenized_text": ["THIS", "FORBEARANCE", "AGREEMENT", "AND", "AMENDMENT", "TO", "LOAN", "AND", "SECURITY", "AGREEMENT", "(", "this", "Agreement", ")", "executed", "and", "entered", "into", "as", "of", "February", "21", ",", "2017", ",", "and", "made", "effective", "as", "of", "the", "Effective", "Time", "(", "as", "herein", "defined", ")", "is", "by", "and", "among", "MAD", "CATZ", ",", "INC", ".", ",", "a", "Delaware", "corporation", "(", "the", "Borrower", ")", ",", "each", "of", "the", "undersigned", "Persons", "signing", "as", "a", "Guarantor", "hereunder", "(", "each", ",", "a", "Guarantor", "and", "collectively", "the", "Guarantors", ")", ",", "and", "STERLING", "NATIONAL", "BANK", ",", "a", "national", "banking", "association", ",", "as", "administrative", "and", "collateral", "agent", "(", "in", "such", "capacity", ",", "and", "including", "its", "successors", "and", "permitted", "assigns", ",", "the", "Administrative", "Agent", ")", "on", "behalf", "of", "the", "Lender", "Parties", "under", "and", "as", "defined", "in", "the", "Loan", "Agreement", "(", "as", "hereinafter", "defined", ")", "."]}
{"id": "14368", "text": "FORBEARANCE AGREEMENT AND AMENDMENT TO LOAN AND SECURITY AGREEMENT - Page 2", "ner": [[0, 1, "Title"], [5, 8, "Title"]], "tokenized_text": ["FORBEARANCE", "AGREEMENT", "AND", "AMENDMENT", "TO", "LOAN", "AND", "SECURITY", "AGREEMENT", "-", "Page", "2"]}
{"id": "14369", "text": "FORBEARANCE AGREEMENT AND AMENDMENT TO LOAN AND SECURITY AGREEMENT - Page 3", "ner": [[0, 1, "Title"], [5, 8, "Title"]], "tokenized_text": ["FORBEARANCE", "AGREEMENT", "AND", "AMENDMENT", "TO", "LOAN", "AND", "SECURITY", "AGREEMENT", "-", "Page", "3"]}
{"id": "14371", "text": "FORBEARANCE AGREEMENT AND AMENDMENT TO LOAN AND SECURITY AGREEMENT - Page 4", "ner": [[0, 1, "Title"], [5, 8, "Title"]], "tokenized_text": ["FORBEARANCE", "AGREEMENT", "AND", "AMENDMENT", "TO", "LOAN", "AND", "SECURITY", "AGREEMENT", "-", "Page", "4"]}
{"id": "14372", "text": "FORBEARANCE AGREEMENT AND AMENDMENT TO LOAN AND SECURITY AGREEMENT - Page 5", "ner": [[0, 1, "Title"], [5, 8, "Title"]], "tokenized_text": ["FORBEARANCE", "AGREEMENT", "AND", "AMENDMENT", "TO", "LOAN", "AND", "SECURITY", "AGREEMENT", "-", "Page", "5"]}
{"id": "14373", "text": "Additional Covenants, Agreements and Acknowledgments of Credit Parties During the Forbearance Period", "ner": [], "tokenized_text": ["Additional", "Covenants", ",", "Agreements", "and", "Acknowledgments", "of", "Credit", "Parties", "During", "the", "Forbearance", "Period"]}
{"id": "14374", "text": "FORBEARANCE AGREEMENT AND AMENDMENT TO LOAN AND SECURITY AGREEMENT - Page 6", "ner": [[0, 1, "Title"], [5, 8, "Title"]], "tokenized_text": ["FORBEARANCE", "AGREEMENT", "AND", "AMENDMENT", "TO", "LOAN", "AND", "SECURITY", "AGREEMENT", "-", "Page", "6"]}
{"id": "14375", "text": "the sum of (i) eighty-five percent (85%) (as reduced by the proviso at the end of this definition due to dilution) of the Net Amount of Eligible Accounts (except during the period from January 30, 2017, through April 28, 2017, Eligible Accounts shall not include Eligible Rock Band Accounts) plus (ii) the lessor of (1) eighty-five percent (85%) of the Net Amount of Eligible Inventory (2) sixty percent (60%) of the lower of cost or market value of Eligible Inventory or (3) the Inventory Sublimit; provided, that the aggregate amount of Borrowing Base availability under this clause (a)(ii) with respect to Eligible In-Transit Inventory shall not at any time exceed the In-Transit Limit plus (iii) with respect to Eligible Rock Band Accounts, (1) for the period from January 30, 2017, through March 3, 2017, twenty percent (20%) of the Net Amount of Eligible Rock Band Accounts, (2) for the period from March 4, 2017, through March 24, 2017, ten percent (10%) of the Net Amount of Eligible Rock Band Accounts, and (3) for the period from March 25, 2017, through April 28, 2017, five percent (5%) of the Net Amount of Eligible Rock Band Accounts, minus", "ner": [[6, 7, "Percentage"], [9, 10, "Percentage"], [91, 92, "Percentage"], [180, 181, "Percentage"], [214, 215, "Percentage"], [249, 250, "Percentage"]], "tokenized_text": ["the", "sum", "of", "(", "i", ")", "eighty-five", "percent", "(", "85", "%", ")", "(", "as", "reduced", "by", "the", "proviso", "at", "the", "end", "of", "this", "definition", "due", "to", "dilution", ")", "of", "the", "Net", "Amount", "of", "Eligible", "Accounts", "(", "except", "during", "the", "period", "from", "January", "30", ",", "2017", ",", "through", "April", "28", ",", "2017", ",", "Eligible", "Accounts", "shall", "not", "include", "Eligible", "Rock", "Band", "Accounts", ")", "plus", "(", "ii", ")", "the", "lessor", "of", "(", "1", ")", "eighty-five", "percent", "(", "85", "%", ")", "of", "the", "Net", "Amount", "of", "Eligible", "Inventory", "(", "2", ")", "sixty", "percent", "(", "60", "%", ")", "of", "the", "lower", "of", "cost", "or", "market", "value", "of", "Eligible", "Inventory", "or", "(", "3", ")", "the", "Inventory", "Sublimit", ";", "provided", ",", "that", "the", "aggregate", "amount", "of", "Borrowing", "Base", "availability", "under", "this", "clause", "(", "a", ")", "(", "ii", ")", "with", "respect", "to", "Eligible", "In-Transit", "Inventory", "shall", "not", "at", "any", "time", "exceed", "the", "In-Transit", "Limit", "plus", "(", "iii", ")", "with", "respect", "to", "Eligible", "Rock", "Band", "Accounts", ",", "(", "1", ")", "for", "the", "period", "from", "January", "30", ",", "2017", ",", "through", "March", "3", ",", "2017", ",", "twenty", "percent", "(", "20", "%", ")", "of", "the", "Net", "Amount", "of", "Eligible", "Rock", "Band", "Accounts", ",", "(", "2", ")", "for", "the", "period", "from", "March", "4", ",", "2017", ",", "through", "March", "24", ",", "2017", ",", "ten", "percent", "(", "10", "%", ")", "of", "the", "Net", "Amount", "of", "Eligible", "Rock", "Band", "Accounts", ",", "and", "(", "3", ")", "for", "the", "period", "from", "March", "25", ",", "2017", ",", "through", "April", "28", ",", "2017", ",", "five", "percent", "(", "5", "%", ")", "of", "the", "Net", "Amount", "of", "Eligible", "Rock", "Band", "Accounts", ",", "minus"]}
{"id": "14376", "text": "FORBEARANCE AGREEMENT AND AMENDMENT TO LOAN AND SECURITY AGREEMENT - Page 7", "ner": [[0, 1, "Title"], [5, 8, "Title"]], "tokenized_text": ["FORBEARANCE", "AGREEMENT", "AND", "AMENDMENT", "TO", "LOAN", "AND", "SECURITY", "AGREEMENT", "-", "Page", "7"]}
{"id": "14377", "text": "FORBEARANCE AGREEMENT AND AMENDMENT TO LOAN AND SECURITY AGREEMENT - Page 8", "ner": [[0, 1, "Title"], [5, 8, "Title"]], "tokenized_text": ["FORBEARANCE", "AGREEMENT", "AND", "AMENDMENT", "TO", "LOAN", "AND", "SECURITY", "AGREEMENT", "-", "Page", "8"]}
{"id": "14380", "text": ".BORROWER AND each GUARANTOR REPRESENT AND WARRANT THAT NOne of BORROWER OR ANY GUARANTOR HAVE ANY SET-OFF, RECOUPMENT, COUNTERCLAIM, DEFENSE, CROSS- COMPLAINT, CLAIM, DEMAND OR OTHER CAUSE OF ACTION OF ANY NATURE WHATSOEVER (TOGETHER, THE COUNTERCLAIMS) AGAINST ANY LENDER PARTY WHICH ARISE OUT OF THE TRANSACTIONS EVIDENCED BY THE LOAN AGREEMENT OR THE OTHER LOAN DOCUMENTS, ANY TRANSACTIONS THAT WERE RENEWED OR EXTENDED BY THE LOAN AGREEMENT OR THE OTHER LOAN DOCUMENTS, ANY OTHER TRANSACTION WITH LENDER PARTIES, OR WHICH COULD BE ASSERTED TO REDUCE OR ELIMINATE ALL OR ANY PART OF BORROWERS OR ANY GUARANTORS LIABILITY TO REPAY THE OBLIGATIONS OR TO SEEK AFFIRMATIVE RELIEF OR DAMAGES OF ANY KIND OR NATURE FROM LENDER PARTIES, IRRESPECTIVE OF WHETHER ANY SUCH CLAIMS ARISE OUT OF CONTRACT, TORT, VIOLATION OF LAW OR REGULATIONS, OR OTHERWISE, INCLUDING, WITHOUT LIMITATION, ANY CONTRACTING FOR, CHARGING, TAKING, RESERVING, COLLECTING OR RECEIVING INTEREST IN EXCESS OF THE", "ner": [[60, 61, "Title"]], "tokenized_text": [".", "BORROWER", "AND", "each", "GUARANTOR", "REPRESENT", "AND", "WARRANT", "THAT", "NOne", "of", "BORROWER", "OR", "ANY", "GUARANTOR", "HAVE", "ANY", "SET-OFF", ",", "RECOUPMENT", ",", "COUNTERCLAIM", ",", "DEFENSE", ",", "CROSS", "-", "COMPLAINT", ",", "CLAIM", ",", "DEMAND", "OR", "OTHER", "CAUSE", "OF", "ACTION", "OF", "ANY", "NATURE", "WHATSOEVER", "(", "TOGETHER", ",", "THE", "COUNTERCLAIMS", ")", "AGAINST", "ANY", "LENDER", "PARTY", "WHICH", "ARISE", "OUT", "OF", "THE", "TRANSACTIONS", "EVIDENCED", "BY", "THE", "LOAN", "AGREEMENT", "OR", "THE", "OTHER", "LOAN", "DOCUMENTS", ",", "ANY", "TRANSACTIONS", "THAT", "WERE", "RENEWED", "OR", "EXTENDED", "BY", "THE", "LOAN", "AGREEMENT", "OR", "THE", "OTHER", "LOAN", "DOCUMENTS", ",", "ANY", "OTHER", "TRANSACTION", "WITH", "LENDER", "PARTIES", ",", "OR", "WHICH", "COULD", "BE", "ASSERTED", "TO", "REDUCE", "OR", "ELIMINATE", "ALL", "OR", "ANY", "PART", "OF", "BORROWERS", "OR", "ANY", "GUARANTORS", "LIABILITY", "TO", "REPAY", "THE", "OBLIGATIONS", "OR", "TO", "SEEK", "AFFIRMATIVE", "RELIEF", "OR", "DAMAGES", "OF", "ANY", "KIND", "OR", "NATURE", "FROM", "LENDER", "PARTIES", ",", "IRRESPECTIVE", "OF", "WHETHER", "ANY", "SUCH", "CLAIMS", "ARISE", "OUT", "OF", "CONTRACT", ",", "TORT", ",", "VIOLATION", "OF", "LAW", "OR", "REGULATIONS", ",", "OR", "OTHERWISE", ",", "INCLUDING", ",", "WITHOUT", "LIMITATION", ",", "ANY", "CONTRACTING", "FOR", ",", "CHARGING", ",", "TAKING", ",", "RESERVING", ",", "COLLECTING", "OR", "RECEIVING", "INTEREST", "IN", "EXCESS", "OF", "THE"]}
{"id": "14384", "text": "THAT THE AGREEMENTS IN THIS PARAGRAPH ARE INTENDED TO BE IN FULL SATISFACTION OF ALL OR ANY ALLEGED INJURIES OR DAMAGES TO BORROWER OR GUARANTORs OR THEIR SUCCESSORS, AGENTS, ATTORNEYS, OFFICERS, DIRECTORS, ASSIGNS AND PERSONAL AND LEGAL REPRESENTATIVES ARISING IN CONNECTION WITH THE RELEASED MATTERS.BORROWER AND GUARANTORs REPRESENT AND WARRANT TO LENDER PARTIES THAT THEY HAVE NOT PURPORTED TO TRANSFER, ASSIGN OR OTHERWISE CONVEY ANY RIGHT, TITLE OR INTEREST OF BORROWER OR GUARANTORs IN ANY RELEASED MATTER TO ANY OTHER PERSON AND THAT THE FOREGOING CONSTITUTES A FULL AND COMPLETE RELEASE OF BORROWERS AND each GUARANTORS CLAIMS, IF ANY, WITH RESPECT TO ALL RELEASED MATTERS.THE PROVISIONS OF THIS SECTION 7.15 AND THE REPRESENTATIONS, WARRANTIES, RELEASES, WAIVERS, REMISES, ACQUITTANCES, DISCHARGES, COVENANTS, AGREEMENTS AND INDEMNIFICATIONS CONTAINED HEREIN (A) CONSTITUTE A MATERIAL CONSIDERATION FOR AND INDUCEMENT TO LENDER PARTIES ENTERING INTO THIS AGREEMENT, (B) DO NOT CONSTITUTE AN ADMISSION OF OR BASIS FOR ESTABLISHING ANY DUTY, OBLIGATION OR LIABILITY OF ANY LENDER PARTY TO BORROWER, ANY GUARANTOR OR ANY OTHER PERSON, (C) DO NOT CONSTITUTE AN ADMISSION OF OR BASIS FOR ESTABLISHING ANY LIABILITY, WRONGDOING, OR VIOLATION OF ANY OBLIGATION, DUTY OR AGREEMENT OF ANY LENDER PARTY TO BORROWER, any GUARANTOR, OR ANY OTHER PERSON, AND (D) SHALL NOT BE USED AS EVIDENCE AGAINST ANY LENDER PARTY BY BORROWER, any GUARANTOR OR ANY OTHER PERSON FOR ANY PURPOSE.", "ner": [], "tokenized_text": ["THAT", "THE", "AGREEMENTS", "IN", "THIS", "PARAGRAPH", "ARE", "INTENDED", "TO", "BE", "IN", "FULL", "SATISFACTION", "OF", "ALL", "OR", "ANY", "ALLEGED", "INJURIES", "OR", "DAMAGES", "TO", "BORROWER", "OR", "GUARANTORs", "OR", "THEIR", "SUCCESSORS", ",", "AGENTS", ",", "ATTORNEYS", ",", "OFFICERS", ",", "DIRECTORS", ",", "ASSIGNS", "AND", "PERSONAL", "AND", "LEGAL", "REPRESENTATIVES", "ARISING", "IN", "CONNECTION", "WITH", "THE", "RELEASED", "MATTERS", ".", "BORROWER", "AND", "GUARANTORs", "REPRESENT", "AND", "WARRANT", "TO", "LENDER", "PARTIES", "THAT", "THEY", "HAVE", "NOT", "PURPORTED", "TO", "TRANSFER", ",", "ASSIGN", "OR", "OTHERWISE", "CONVEY", "ANY", "RIGHT", ",", "TITLE", "OR", "INTEREST", "OF", "BORROWER", "OR", "GUARANTORs", "IN", "ANY", "RELEASED", "MATTER", "TO", "ANY", "OTHER", "PERSON", "AND", "THAT", "THE", "FOREGOING", "CONSTITUTES", "A", "FULL", "AND", "COMPLETE", "RELEASE", "OF", "BORROWERS", "AND", "each", "GUARANTORS", "CLAIMS", ",", "IF", "ANY", ",", "WITH", "RESPECT", "TO", "ALL", "RELEASED", "MATTERS", ".", "THE", "PROVISIONS", "OF", "THIS", "SECTION", "7", ".", "15", "AND", "THE", "REPRESENTATIONS", ",", "WARRANTIES", ",", "RELEASES", ",", "WAIVERS", ",", "REMISES", ",", "ACQUITTANCES", ",", "DISCHARGES", ",", "COVENANTS", ",", "AGREEMENTS", "AND", "INDEMNIFICATIONS", "CONTAINED", "HEREIN", "(", "A", ")", "CONSTITUTE", "A", "MATERIAL", "CONSIDERATION", "FOR", "AND", "INDUCEMENT", "TO", "LENDER", "PARTIES", "ENTERING", "INTO", "THIS", "AGREEMENT", ",", "(", "B", ")", "DO", "NOT", "CONSTITUTE", "AN", "ADMISSION", "OF", "OR", "BASIS", "FOR", "ESTABLISHING", "ANY", "DUTY", ",", "OBLIGATION", "OR", "LIABILITY", "OF", "ANY", "LENDER", "PARTY", "TO", "BORROWER", ",", "ANY", "GUARANTOR", "OR", "ANY", "OTHER", "PERSON", ",", "(", "C", ")", "DO", "NOT", "CONSTITUTE", "AN", "ADMISSION", "OF", "OR", "BASIS", "FOR", "ESTABLISHING", "ANY", "LIABILITY", ",", "WRONGDOING", ",", "OR", "VIOLATION", "OF", "ANY", "OBLIGATION", ",", "DUTY", "OR", "AGREEMENT", "OF", "ANY", "LENDER", "PARTY", "TO", "BORROWER", ",", "any", "GUARANTOR", ",", "OR", "ANY", "OTHER", "PERSON", ",", "AND", "(", "D", ")", "SHALL", "NOT", "BE", "USED", "AS", "EVIDENCE", "AGAINST", "ANY", "LENDER", "PARTY", "BY", "BORROWER", ",", "any", "GUARANTOR", "OR", "ANY", "OTHER", "PERSON", "FOR", "ANY", "PURPOSE", "."]}
{"id": "14387", "text": "FORBEARANCE AGREEMENT AND AMENDMENT TO LOAN AND SECURITY AGREEMENT - Page 13", "ner": [[0, 1, "Title"], [5, 8, "Title"]], "tokenized_text": ["FORBEARANCE", "AGREEMENT", "AND", "AMENDMENT", "TO", "LOAN", "AND", "SECURITY", "AGREEMENT", "-", "Page", "13"]}
{"id": "14396", "text": "USA PATRIOT Act&lt; br/&gt;", "ner": [[0, 2, "Act"]], "tokenized_text": ["USA", "PATRIOT", "Act", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "14398", "text": "ABL Revolver means the Credit Agreement dated as of April16, 2014 among the Borrower, as co-borrower, FTS International Services, LLC, as co-borrower, the guarantors party thereto, the lenders from time to time party thereto and Wells Fargo Bank, National Association as administrative agent and collateral agent (including all successors thereto) together with the related documents thereto (including the loans thereunder, any guarantees and security documents), as amended, extended, renewed, restated, supplemented, refunded, replaced, refinanced or otherwise modified (in whole or in part, and without limitation as to amount, terms, conditions, covenants and other provisions) from time to time by one or more credit facilities, and any agreement (and related document) entered into in substitution for any credit agreement, in which case, the credit agreement or similar agreement together with all other documents and instruments related thereto shall constitute the ABL Revolver, whether with the same or any other agent, lender or group of lenders.", "ner": [[0, 1, "Title"], [4, 5, "Title"], [9, 11, "EffectiveDate"], [19, 23, "Parties"], [42, 47, "Parties"], [146, 147, "Title"]], "tokenized_text": ["ABL", "Revolver", "means", "the", "Credit", "Agreement", "dated", "as", "of", "April16", ",", "2014", "among", "the", "Borrower", ",", "as", "co-borrower", ",", "FTS", "International", "Services", ",", "LLC", ",", "as", "co-borrower", ",", "the", "guarantors", "party", "thereto", ",", "the", "lenders", "from", "time", "to", "time", "party", "thereto", "and", "Wells", "Fargo", "Bank", ",", "National", "Association", "as", "administrative", "agent", "and", "collateral", "agent", "(", "including", "all", "successors", "thereto", ")", "together", "with", "the", "related", "documents", "thereto", "(", "including", "the", "loans", "thereunder", ",", "any", "guarantees", "and", "security", "documents", ")", ",", "as", "amended", ",", "extended", ",", "renewed", ",", "restated", ",", "supplemented", ",", "refunded", ",", "replaced", ",", "refinanced", "or", "otherwise", "modified", "(", "in", "whole", "or", "in", "part", ",", "and", "without", "limitation", "as", "to", "amount", ",", "terms", ",", "conditions", ",", "covenants", "and", "other", "provisions", ")", "from", "time", "to", "time", "by", "one", "or", "more", "credit", "facilities", ",", "and", "any", "agreement", "(", "and", "related", "document", ")", "entered", "into", "in", "substitution", "for", "any", "credit", "agreement", ",", "in", "which", "case", ",", "the", "credit", "agreement", "or", "similar", "agreement", "together", "with", "all", "other", "documents", "and", "instruments", "related", "thereto", "shall", "constitute", "the", "ABL", "Revolver", ",", "whether", "with", "the", "same", "or", "any", "other", "agent", ",", "lender", "or", "group", "of", "lenders", "."]}
{"id": "14399", "text": "Arrangers means each of Wells Fargo Securities, LLC, Merrill Lynch, Pierce, Fenner&amp; Smith Incorporated and UBS Securities LLC, each in its capacity as a joint lead arranger and joint bookrunner.", "ner": [[4, 8, "Parties"], [10, 11, "Parties"], [15, 20, "Parties"], [22, 24, "Parties"]], "tokenized_text": ["Arrangers", "means", "each", "of", "Wells", "Fargo", "Securities", ",", "LLC", ",", "Merrill", "Lynch", ",", "Pierce", ",", "Fenner", "&", "amp", ";", "Smith", "Incorporated", "and", "UBS", "Securities", "LLC", ",", "each", "in", "its", "capacity", "as", "a", "joint", "lead", "arranger", "and", "joint", "bookrunner", "."]}
{"id": "14400", "text": "Class means, when used in reference to any Term Loan, whether such Term Loan is an Initial Term Loan,Incremental Term Loan, Extended Term Loan or Refinancing Term Loan.", "ner": [[18, 20, "Title"], [22, 24, "Title"], [26, 28, "Title"]], "tokenized_text": ["Class", "means", ",", "when", "used", "in", "reference", "to", "any", "Term", "Loan", ",", "whether", "such", "Term", "Loan", "is", "an", "Initial", "Term", "Loan", ",", "Incremental", "Term", "Loan", ",", "Extended", "Term", "Loan", "or", "Refinancing", "Term", "Loan", "."]}
{"id": "14401", "text": "(7) any expenses or charges, to the extent deducted in computing Consolidated Net Income, related to any offering of Equity Interests, Permitted Investment , acquisition,", "ner": [[23, 24, "Shares"]], "tokenized_text": ["(", "7", ")", "any", "expenses", "or", "charges", ",", "to", "the", "extent", "deducted", "in", "computing", "Consolidated", "Net", "Income", ",", "related", "to", "any", "offering", "of", "Equity", "Interests", ",", "Permitted", "Investment", ",", "acquisition", ","]}
{"id": "14404", "text": "ERISA means the Employee Retirement Income Security Act of 1974 , and the rulesand regulations thereunder.", "ner": [[3, 9, "Act"]], "tokenized_text": ["ERISA", "means", "the", "Employee", "Retirement", "Income", "Security", "Act", "of", "1974", ",", "and", "the", "rulesand", "regulations", "thereunder", "."]}
{"id": "14407", "text": "(b) for any interest rate calculation with respect to a Base Rate Loan, the rate of interest per annum determined on the basis of the rate for deposits in Dollars for an Interest Period equal to one month (commencing on the date of determination of such interest rate) which appears on the Reuters Screen LIBOR01 Page(or any applicable successor page) at approximately 11:00a.m.(London time) on such date of determination, or, if such date is not a Business Day, then the immediately preceding Business Day. If, for any reason, such rate does not appear on Reuters Screen LIBOR01 Page(or any applicable successor page) then LIBOR for such Base Rate Loan shall be determined by the Administrative Agent to be the arithmetic average of the rate per annum at which deposits in Dollars would be offered by first class banks in the London interbank market to the Administrative Agent at approximately 11:00 a.m.(London time) on such date of determination for a period equal to one month commencing on such date of determination.", "ner": [], "tokenized_text": ["(", "b", ")", "for", "any", "interest", "rate", "calculation", "with", "respect", "to", "a", "Base", "Rate", "Loan", ",", "the", "rate", "of", "interest", "per", "annum", "determined", "on", "the", "basis", "of", "the", "rate", "for", "deposits", "in", "Dollars", "for", "an", "Interest", "Period", "equal", "to", "one", "month", "(", "commencing", "on", "the", "date", "of", "determination", "of", "such", "interest", "rate", ")", "which", "appears", "on", "the", "Reuters", "Screen", "LIBOR01", "Page", "(", "or", "any", "applicable", "successor", "page", ")", "at", "approximately", "11", ":", "00a", ".", "m", ".", "(", "London", "time", ")", "on", "such", "date", "of", "determination", ",", "or", ",", "if", "such", "date", "is", "not", "a", "Business", "Day", ",", "then", "the", "immediately", "preceding", "Business", "Day", ".", "If", ",", "for", "any", "reason", ",", "such", "rate", "does", "not", "appear", "on", "Reuters", "Screen", "LIBOR01", "Page", "(", "or", "any", "applicable", "successor", "page", ")", "then", "LIBOR", "for", "such", "Base", "Rate", "Loan", "shall", "be", "determined", "by", "the", "Administrative", "Agent", "to", "be", "the", "arithmetic", "average", "of", "the", "rate", "per", "annum", "at", "which", "deposits", "in", "Dollars", "would", "be", "offered", "by", "first", "class", "banks", "in", "the", "London", "interbank", "market", "to", "the", "Administrative", "Agent", "at", "approximately", "11", ":", "00", "a", ".", "m", ".", "(", "London", "time", ")", "on", "such", "date", "of", "determination", "for", "a", "period", "equal", "to", "one", "month", "commencing", "on", "such", "date", "of", "determination", "."]}
{"id": "14408", "text": "Notes/Term Collateral means 100% of the Capital Stock of all Domestic Subsidiaries of the Borrower and each Guarantor (other than Domestic Subsidiaries that are Foreign Subsidiary Holdcos), 65% of the voting Capital Stock and 100% of the non-voting Capital Stock, if any, of all First Tier Foreign Subsidiaries and all Foreign Subsidiary Holdcos owned by the Borrower and each Guarantor along with proceeds therefrom, in each case excluding Excluded Assets; provided, however, that, in no event will such collateral (including any Capital Stock of Domestic Subsidiaries) include or be deemed to include any rights in respect of (1)voting Equity Interests in excess of 65% of all outstanding voting Equity Interests of any Foreign Subsidiary or of any Foreign Subsidiary Holdco, or (2)any assets of any Foreign Subsidiary.", "ner": [[5, 6, "Percentage"], [33, 34, "Percentage"], [41, 42, "Percentage"]], "tokenized_text": ["Notes", "/", "Term", "Collateral", "means", "100", "%", "of", "the", "Capital", "Stock", "of", "all", "Domestic", "Subsidiaries", "of", "the", "Borrower", "and", "each", "Guarantor", "(", "other", "than", "Domestic", "Subsidiaries", "that", "are", "Foreign", "Subsidiary", "Holdcos", ")", ",", "65", "%", "of", "the", "voting", "Capital", "Stock", "and", "100", "%", "of", "the", "non-voting", "Capital", "Stock", ",", "if", "any", ",", "of", "all", "First", "Tier", "Foreign", "Subsidiaries", "and", "all", "Foreign", "Subsidiary", "Holdcos", "owned", "by", "the", "Borrower", "and", "each", "Guarantor", "along", "with", "proceeds", "therefrom", ",", "in", "each", "case", "excluding", "Excluded", "Assets", ";", "provided", ",", "however", ",", "that", ",", "in", "no", "event", "will", "such", "collateral", "(", "including", "any", "Capital", "Stock", "of", "Domestic", "Subsidiaries", ")", "include", "or", "be", "deemed", "to", "include", "any", "rights", "in", "respect", "of", "(", "1", ")", "voting", "Equity", "Interests", "in", "excess", "of", "65", "%", "of", "all", "outstanding", "voting", "Equity", "Interests", "of", "any", "Foreign", "Subsidiary", "or", "of", "any", "Foreign", "Subsidiary", "Holdco", ",", "or", "(", "2", ")", "any", "assets", "of", "any", "Foreign", "Subsidiary", "."]}
{"id": "14410", "text": "Refinance means, in respect of any Indebtedness, to refinance, extend, renew, refund, replace, repay, prepay, purchase, redeem, defease or retire, or to issue other Indebtedness in exchange or replacement for, such Indebtedness. Refinanced and Refinancing shall have correlative meanings.", "ner": [], "tokenized_text": ["Refinance", "means", ",", "in", "respect", "of", "any", "Indebtedness", ",", "to", "refinance", ",", "extend", ",", "renew", ",", "refund", ",", "replace", ",", "repay", ",", "prepay", ",", "purchase", ",", "redeem", ",", "defease", "or", "retire", ",", "or", "to", "issue", "other", "Indebtedness", "in", "exchange", "or", "replacement", "for", ",", "such", "Indebtedness", ".", "Refinanced", "and", "Refinancing", "shall", "have", "correlative", "meanings", "."]}
{"id": "14411", "text": "Senior Notes Indenture means the Indenture dated as of April16, 2014 among the Borrower, as issuer, the guarantors party thereto, and US Bank National, as indenture trustee.", "ner": [[9, 11, "EffectiveDate"], [25, 27, "Parties"]], "tokenized_text": ["Senior", "Notes", "Indenture", "means", "the", "Indenture", "dated", "as", "of", "April16", ",", "2014", "among", "the", "Borrower", ",", "as", "issuer", ",", "the", "guarantors", "party", "thereto", ",", "and", "US", "Bank", "National", ",", "as", "indenture", "trustee", "."]}
{"id": "14412", "text": "Loans, as applicable, to the Borrower hereunder on the Closing Date (in the case of the Initial Term Loan) or the applicable borrowing date (in the case of any Incremental Term Loan or any Refinancing Term Loan) in an aggregate principal amount not to exceed the amount set forth opposite such Lenders name on Schedule 1 hereto (or, in the case of any Incremental Term Loan or any Refinancing Term Loan, on the applicable Lender Joinder Agreement or Refinancing Amendment, as applicable, as such amount may be increased, reduced or otherwise modified at any time or from time to time pursuant to the terms hereof and (b)as to all Lenders, the aggregate commitment of all Lenders to make such Term Loans. The aggregate Term Loan Commitment of all Lenders on the Closing Date shall be $550,000,000 .", "ner": [[83, 85, "Title"], [152, 157, "Principal"]], "tokenized_text": ["Loans", ",", "as", "applicable", ",", "to", "the", "Borrower", "hereunder", "on", "the", "Closing", "Date", "(", "in", "the", "case", "of", "the", "Initial", "Term", "Loan", ")", "or", "the", "applicable", "borrowing", "date", "(", "in", "the", "case", "of", "any", "Incremental", "Term", "Loan", "or", "any", "Refinancing", "Term", "Loan", ")", "in", "an", "aggregate", "principal", "amount", "not", "to", "exceed", "the", "amount", "set", "forth", "opposite", "such", "Lenders", "name", "on", "Schedule", "1", "hereto", "(", "or", ",", "in", "the", "case", "of", "any", "Incremental", "Term", "Loan", "or", "any", "Refinancing", "Term", "Loan", ",", "on", "the", "applicable", "Lender", "Joinder", "Agreement", "or", "Refinancing", "Amendment", ",", "as", "applicable", ",", "as", "such", "amount", "may", "be", "increased", ",", "reduced", "or", "otherwise", "modified", "at", "any", "time", "or", "from", "time", "to", "time", "pursuant", "to", "the", "terms", "hereof", "and", "(", "b", ")", "as", "to", "all", "Lenders", ",", "the", "aggregate", "commitment", "of", "all", "Lenders", "to", "make", "such", "Term", "Loans", ".", "The", "aggregate", "Term", "Loan", "Commitment", "of", "all", "Lenders", "on", "the", "Closing", "Date", "shall", "be", "$", "550", ",", "000", ",", "000", "."]}
{"id": "14414", "text": "SECTION1.5 References to Agreement and Laws. Unless otherwise expressly provided herein, (a)any definition or reference to formation documents, governing documents, agreements (including the Loan Documents) and other contractual documents or instruments shall be deemed to include all subsequent amendments, restatements, extensions, supplements and other modifications thereto, but only to the extent that such amendments, restatements, extensions, supplements and other modifications are not prohibited by any Loan Document; and (b)any definition or reference to any Applicable Law, including, without limitation, the Code, the Commodity Exchange Act, ERISA, the Exchange Act, the PATRIOT Act, the Securities Act of 1933 , the UCC, the Investment Company Act of 1940 , the Interstate Commerce Act, the Trading with the Enemy Act of the United States or any of the foreign assets control regulations of the United States Treasury Department , shall include all statutory and regulatory provisions consolidating, amending, replacing, supplementing or interpreting such Applicable Law.", "ner": [[108, 110, "Act"], [112, 112, "Act"], [119, 120, "Act"], [123, 126, "Act"], [132, 136, "Act"], [139, 141, "Act"], [144, 148, "Act"]], "tokenized_text": ["SECTION1", ".", "5", "References", "to", "Agreement", "and", "Laws", ".", "Unless", "otherwise", "expressly", "provided", "herein", ",", "(", "a", ")", "any", "definition", "or", "reference", "to", "formation", "documents", ",", "governing", "documents", ",", "agreements", "(", "including", "the", "Loan", "Documents", ")", "and", "other", "contractual", "documents", "or", "instruments", "shall", "be", "deemed", "to", "include", "all", "subsequent", "amendments", ",", "restatements", ",", "extensions", ",", "supplements", "and", "other", "modifications", "thereto", ",", "but", "only", "to", "the", "extent", "that", "such", "amendments", ",", "restatements", ",", "extensions", ",", "supplements", "and", "other", "modifications", "are", "not", "prohibited", "by", "any", "Loan", "Document", ";", "and", "(", "b", ")", "any", "definition", "or", "reference", "to", "any", "Applicable", "Law", ",", "including", ",", "without", "limitation", ",", "the", "Code", ",", "the", "Commodity", "Exchange", "Act", ",", "ERISA", ",", "the", "Exchange", "Act", ",", "the", "PATRIOT", "Act", ",", "the", "Securities", "Act", "of", "1933", ",", "the", "UCC", ",", "the", "Investment", "Company", "Act", "of", "1940", ",", "the", "Interstate", "Commerce", "Act", ",", "the", "Trading", "with", "the", "Enemy", "Act", "of", "the", "United", "States", "or", "any", "of", "the", "foreign", "assets", "control", "regulations", "of", "the", "United", "States", "Treasury", "Department", ",", "shall", "include", "all", "statutory", "and", "regulatory", "provisions", "consolidating", ",", "amending", ",", "replacing", ",", "supplementing", "or", "interpreting", "such", "Applicable", "Law", "."]}
{"id": "14416", "text": "SECTION4.1 Initial Term Loan . Subject to the terms and conditions of this Agreement and the other Loan Documents, and in reliance upon the representations and warranties set forth in this Agreement and the other Loan Documents, each Lender severally agrees to make the Initial Term Loan to the Borrower on the Closing Date in a principal amount equal to such Lenders Term Loan Commitment as of the Closing Date. Notwithstanding the foregoing, if the total Term Loan Commitment as of the Closing Date is not drawn on the Closing Date, the undrawn amount shall automatically be cancelled.", "ner": [], "tokenized_text": ["SECTION4", ".", "1", "Initial", "Term", "Loan", ".", "Subject", "to", "the", "terms", "and", "conditions", "of", "this", "Agreement", "and", "the", "other", "Loan", "Documents", ",", "and", "in", "reliance", "upon", "the", "representations", "and", "warranties", "set", "forth", "in", "this", "Agreement", "and", "the", "other", "Loan", "Documents", ",", "each", "Lender", "severally", "agrees", "to", "make", "the", "Initial", "Term", "Loan", "to", "the", "Borrower", "on", "the", "Closing", "Date", "in", "a", "principal", "amount", "equal", "to", "such", "Lenders", "Term", "Loan", "Commitment", "as", "of", "the", "Closing", "Date", ".", "Notwithstanding", "the", "foregoing", ",", "if", "the", "total", "Term", "Loan", "Commitment", "as", "of", "the", "Closing", "Date", "is", "not", "drawn", "on", "the", "Closing", "Date", ",", "the", "undrawn", "amount", "shall", "automatically", "be", "cancelled", "."]}
{"id": "14417", "text": "(A) Upon the occurrence of any event triggering the prepayment requirement under clauses (i)or (ii)above, the Borrower shall promptly deliver a Notice of Prepayment to the Administrative Agent and upon receipt of such notice, the Administrative Agent shall promptly so notify the Lenders. Each prepayment of the Initial Term Loans under this Sectionshall be applied to reduce on a pro rata basis the next twelve scheduled principal installments thereof in direct order of maturity and then to the remaining scheduled principal installments of the Initial Term Loans pursuant to Section4.3. Proceeds of any Refinancing Term Loans shall be applied solely to prepay each applicable Classof Term Loans so refinanced. Notwithstanding the foregoing, to the extent any Incremental Term Loans, Extended Term Loans or Refinancing Term Loans are made, the application of prepayments of Term Loans pursuant to this clause (iii)shall be made on a pro rata basis among the Initial Term Loans,Incremental Term Loans, Extended Term Loans and Refinancing Term Loans (except to the extent that any applicable Refinancing Amendment provides that the Classof Term Loans made thereunder shall be entitled to less than pro rata treatment).", "ner": [[70, 71, "Ratio"], [136, 138, "Title"]], "tokenized_text": ["(", "A", ")", "Upon", "the", "occurrence", "of", "any", "event", "triggering", "the", "prepayment", "requirement", "under", "clauses", "(", "i", ")", "or", "(", "ii", ")", "above", ",", "the", "Borrower", "shall", "promptly", "deliver", "a", "Notice", "of", "Prepayment", "to", "the", "Administrative", "Agent", "and", "upon", "receipt", "of", "such", "notice", ",", "the", "Administrative", "Agent", "shall", "promptly", "so", "notify", "the", "Lenders", ".", "Each", "prepayment", "of", "the", "Initial", "Term", "Loans", "under", "this", "Sectionshall", "be", "applied", "to", "reduce", "on", "a", "pro", "rata", "basis", "the", "next", "twelve", "scheduled", "principal", "installments", "thereof", "in", "direct", "order", "of", "maturity", "and", "then", "to", "the", "remaining", "scheduled", "principal", "installments", "of", "the", "Initial", "Term", "Loans", "pursuant", "to", "Section4", ".", "3", ".", "Proceeds", "of", "any", "Refinancing", "Term", "Loans", "shall", "be", "applied", "solely", "to", "prepay", "each", "applicable", "Classof", "Term", "Loans", "so", "refinanced", ".", "Notwithstanding", "the", "foregoing", ",", "to", "the", "extent", "any", "Incremental", "Term", "Loans", ",", "Extended", "Term", "Loans", "or", "Refinancing", "Term", "Loans", "are", "made", ",", "the", "application", "of", "prepayments", "of", "Term", "Loans", "pursuant", "to", "this", "clause", "(", "iii", ")", "shall", "be", "made", "on", "a", "pro", "rata", "basis", "among", "the", "Initial", "Term", "Loans", ",", "Incremental", "Term", "Loans", ",", "Extended", "Term", "Loans", "and", "Refinancing", "Term", "Loans", "(", "except", "to", "the", "extent", "that", "any", "applicable", "Refinancing", "Amendment", "provides", "that", "the", "Classof", "Term", "Loans", "made", "thereunder", "shall", "be", "entitled", "to", "less", "than", "pro", "rata", "treatment", ")", "."]}
{"id": "14421", "text": "(a) At any time following the Closing Date, the Borrower may by written notice to the Administrative Agent elect to request the establishment of one or more incremental term loan commitments (any such incremental term loan commitment, an Incremental Term Loan Commitment) to make one or more additional term loans under this Agreement (any such additional term loan, an Incremental Term Loan); provided that (1)the total aggregate principal amount for all such Incremental Term Loan Commitments shall not (as of any date of incurrence thereof) exceed the sum of (i)$300,000,000 and (ii)an unlimited amount so long as after giving pro forma effect thereto (assuming that any such Incremental Term Loan Commitment is fully drawn) the Senior Secured Net Leverage Ratio would not exceed 4.00 to 1.00 and ( 2)the total aggregate amount for each Incremental Term Loan Commitment (and the Incremental Term Loans made thereunder) shall not be less than a minimum principal amount of $50,000,000 or, if less, the remaining amount permitted pursuant to the foregoing clause(1). Each such notice shall specify the date (each, an Increased Amount Date) on which the Borrower proposes that any Incremental Term Loan Commitment shall be effective, which shall be a date not less than five(5)Business Days after the date on which such notice is delivered to Administrative Agent. The Borrower may invite any Lender, any Affiliate of any Lender and/or any Approved Fund, and/or any other Person reasonably satisfactory to the Administrative Agent, to provide an Incremental Term Loan Commitment (any such Person, an Incremental Lender). Any proposed Incremental Lender offered or approached to provide all or a portion of any Incremental Term Loan Commitment may elect or decline, in its sole discretion, to provide such Incremental Term Loan Commitment. Any Incremental Term Loan Commitment shall become effective as of such Increased Amount Date; provided that:", "ner": [[43, 46, "Title"], [107, 112, "Principal"], [151, 157, "Ratio"], [191, 196, "Principal"]], "tokenized_text": ["(", "a", ")", "At", "any", "time", "following", "the", "Closing", "Date", ",", "the", "Borrower", "may", "by", "written", "notice", "to", "the", "Administrative", "Agent", "elect", "to", "request", "the", "establishment", "of", "one", "or", "more", "incremental", "term", "loan", "commitments", "(", "any", "such", "incremental", "term", "loan", "commitment", ",", "an", "Incremental", "Term", "Loan", "Commitment", ")", "to", "make", "one", "or", "more", "additional", "term", "loans", "under", "this", "Agreement", "(", "any", "such", "additional", "term", "loan", ",", "an", "Incremental", "Term", "Loan", ")", ";", "provided", "that", "(", "1", ")", "the", "total", "aggregate", "principal", "amount", "for", "all", "such", "Incremental", "Term", "Loan", "Commitments", "shall", "not", "(", "as", "of", "any", "date", "of", "incurrence", "thereof", ")", "exceed", "the", "sum", "of", "(", "i", ")", "$", "300", ",", "000", ",", "000", "and", "(", "ii", ")", "an", "unlimited", "amount", "so", "long", "as", "after", "giving", "pro", "forma", "effect", "thereto", "(", "assuming", "that", "any", "such", "Incremental", "Term", "Loan", "Commitment", "is", "fully", "drawn", ")", "the", "Senior", "Secured", "Net", "Leverage", "Ratio", "would", "not", "exceed", "4", ".", "00", "to", "1", ".", "00", "and", "(", "2", ")", "the", "total", "aggregate", "amount", "for", "each", "Incremental", "Term", "Loan", "Commitment", "(", "and", "the", "Incremental", "Term", "Loans", "made", "thereunder", ")", "shall", "not", "be", "less", "than", "a", "minimum", "principal", "amount", "of", "$", "50", ",", "000", ",", "000", "or", ",", "if", "less", ",", "the", "remaining", "amount", "permitted", "pursuant", "to", "the", "foregoing", "clause", "(", "1", ")", ".", "Each", "such", "notice", "shall", "specify", "the", "date", "(", "each", ",", "an", "Increased", "Amount", "Date", ")", "on", "which", "the", "Borrower", "proposes", "that", "any", "Incremental", "Term", "Loan", "Commitment", "shall", "be", "effective", ",", "which", "shall", "be", "a", "date", "not", "less", "than", "five", "(", "5", ")", "Business", "Days", "after", "the", "date", "on", "which", "such", "notice", "is", "delivered", "to", "Administrative", "Agent", ".", "The", "Borrower", "may", "invite", "any", "Lender", ",", "any", "Affiliate", "of", "any", "Lender", "and", "/", "or", "any", "Approved", "Fund", ",", "and", "/", "or", "any", "other", "Person", "reasonably", "satisfactory", "to", "the", "Administrative", "Agent", ",", "to", "provide", "an", "Incremental", "Term", "Loan", "Commitment", "(", "any", "such", "Person", ",", "an", "Incremental", "Lender", ")", ".", "Any", "proposed", "Incremental", "Lender", "offered", "or", "approached", "to", "provide", "all", "or", "a", "portion", "of", "any", "Incremental", "Term", "Loan", "Commitment", "may", "elect", "or", "decline", ",", "in", "its", "sole", "discretion", ",", "to", "provide", "such", "Incremental", "Term", "Loan", "Commitment", ".", "Any", "Incremental", "Term", "Loan", "Commitment", "shall", "become", "effective", "as", "of", "such", "Increased", "Amount", "Date", ";", "provided", "that", ":"]}
{"id": "14423", "text": "(i) Existing Indebtedness . All existing Indebtedness of the Borrower and its Subsidiaries (including Indebtedness under the Existing Credit Agreement but excluding Indebtedness permitted pursuant to Section9.1) shall be repaid in full, all commitments (if any) in respect thereof shall have been terminated and all guarantees therefor and security therefor shall be released (in each case, other than with respect to any cash collateral for outstanding letters of credit and ongoing indemnity obligations), and the Administrative Agent shall have received pay-off letters in form and substance reasonably satisfactory to it evidencing such repayment, termination and release.", "ner": [[20, 22, "Title"]], "tokenized_text": ["(", "i", ")", "Existing", "Indebtedness", ".", "All", "existing", "Indebtedness", "of", "the", "Borrower", "and", "its", "Subsidiaries", "(", "including", "Indebtedness", "under", "the", "Existing", "Credit", "Agreement", "but", "excluding", "Indebtedness", "permitted", "pursuant", "to", "Section9", ".", "1", ")", "shall", "be", "repaid", "in", "full", ",", "all", "commitments", "(", "if", "any", ")", "in", "respect", "thereof", "shall", "have", "been", "terminated", "and", "all", "guarantees", "therefor", "and", "security", "therefor", "shall", "be", "released", "(", "in", "each", "case", ",", "other", "than", "with", "respect", "to", "any", "cash", "collateral", "for", "outstanding", "letters", "of", "credit", "and", "ongoing", "indemnity", "obligations", ")", ",", "and", "the", "Administrative", "Agent", "shall", "have", "received", "pay-off", "letters", "in", "form", "and", "substance", "reasonably", "satisfactory", "to", "it", "evidencing", "such", "repayment", ",", "termination", "and", "release", "."]}
{"id": "14427", "text": "SECTION7.10 Margin Stock. The Credit Parties are not engaged principally or as one of its activities in the business of extending credit for the purpose of purchasing or carrying any margin stock (as each such term is defined or used, directly or indirectly, in Regulation U of the Board of Governors of the Federal Reserve System). No part of the proceeds of any of the Term Loans will be used for any purpose that violates the provisions of Regulation U or X of such Board of Governors.", "ner": [[50, 51, "Regulation"]], "tokenized_text": ["SECTION7", ".", "10", "Margin", "Stock", ".", "The", "Credit", "Parties", "are", "not", "engaged", "principally", "or", "as", "one", "of", "its", "activities", "in", "the", "business", "of", "extending", "credit", "for", "the", "purpose", "of", "purchasing", "or", "carrying", "any", "margin", "stock", "(", "as", "each", "such", "term", "is", "defined", "or", "used", ",", "directly", "or", "indirectly", ",", "in", "Regulation", "U", "of", "the", "Board", "of", "Governors", "of", "the", "Federal", "Reserve", "System", ")", ".", "No", "part", "of", "the", "proceeds", "of", "any", "of", "the", "Term", "Loans", "will", "be", "used", "for", "any", "purpose", "that", "violates", "the", "provisions", "of", "Regulation", "U", "or", "X", "of", "such", "Board", "of", "Governors", "."]}
{"id": "14428", "text": "SECTION7.11 Government Regulation . No Credit Party is an investment company (as defined or used in the Investment Company Act of 1940 ).", "ner": [[20, 24, "Act"]], "tokenized_text": ["SECTION7", ".", "11", "Government", "Regulation", ".", "No", "Credit", "Party", "is", "an", "investment", "company", "(", "as", "defined", "or", "used", "in", "the", "Investment", "Company", "Act", "of", "1940", ")", "."]}
{"id": "14429", "text": "SECTION7.20 Anti-Terrorism; Anti-Money Laundering. No Credit Party nor any of its Subsidiaries or, to their knowledge, any of their Related Parties (i)is an enemy or an ally of the enemy within the meaning of Section2 of the Trading with the Enemy Act of the United States (50U.S.C. App. 1 et seq.), (ii)is in violation of (A)the Trading with the Enemy Act, ( B)any of the foreign assets control regulations of the United States Treasury Department (31CFR, SubtitleB, ChapterV) or any enabling legislation or executive order relating thereto or (C)the PATRIOT Act ( collectively, the Anti-Terrorism Laws) or (iii)is a Sanctioned Person. No part of the proceeds of any Extension of Credit hereunder will be used by any Credit Party or any Subsidiary thereof unlawfully directly or indirectly to fund any operations in, finance any investments or activities in or make any payments to, a Sanctioned Person or a Sanctioned Country, or in any other manner that will result in any violation by any Credit Party or any Subsidiary thereof of any Anti-Terrorism Laws.", "ner": [[46, 50, "Act"], [56, 64, "Regulation"], [104, 104, "Regulation"], [124, 125, "Act"]], "tokenized_text": ["SECTION7", ".", "20", "Anti-Terrorism", ";", "Anti-Money", "Laundering", ".", "No", "Credit", "Party", "nor", "any", "of", "its", "Subsidiaries", "or", ",", "to", "their", "knowledge", ",", "any", "of", "their", "Related", "Parties", "(", "i", ")", "is", "an", "enemy", "or", "an", "ally", "of", "the", "enemy", "within", "the", "meaning", "of", "Section2", "of", "the", "Trading", "with", "the", "Enemy", "Act", "of", "the", "United", "States", "(", "50U", ".", "S", ".", "C", ".", "App", ".", "1", "et", "seq", ".", ")", ",", "(", "ii", ")", "is", "in", "violation", "of", "(", "A", ")", "the", "Trading", "with", "the", "Enemy", "Act", ",", "(", "B", ")", "any", "of", "the", "foreign", "assets", "control", "regulations", "of", "the", "United", "States", "Treasury", "Department", "(", "31CFR", ",", "SubtitleB", ",", "ChapterV", ")", "or", "any", "enabling", "legislation", "or", "executive", "order", "relating", "thereto", "or", "(", "C", ")", "the", "PATRIOT", "Act", "(", "collectively", ",", "the", "Anti-Terrorism", "Laws", ")", "or", "(", "iii", ")", "is", "a", "Sanctioned", "Person", ".", "No", "part", "of", "the", "proceeds", "of", "any", "Extension", "of", "Credit", "hereunder", "will", "be", "used", "by", "any", "Credit", "Party", "or", "any", "Subsidiary", "thereof", "unlawfully", "directly", "or", "indirectly", "to", "fund", "any", "operations", "in", ",", "finance", "any", "investments", "or", "activities", "in", "or", "make", "any", "payments", "to", ",", "a", "Sanctioned", "Person", "or", "a", "Sanctioned", "Country", ",", "or", "in", "any", "other", "manner", "that", "will", "result", "in", "any", "violation", "by", "any", "Credit", "Party", "or", "any", "Subsidiary", "thereof", "of", "any", "Anti-Terrorism", "Laws", "."]}
{"id": "14431", "text": "SECTION8.14 Additional Domestic Subsidiaries . Promptly after the creation or acquisition of any (i)Wholly Owned Subsidiary that is a Domestic Subsidiary (other than an Excluded Subsidiary) or upon a wholly owned domestic Unrestricted Subsidiary (other than an Excluded Subsidiary) being designated as a Restricted Subsidiary and (ii)Restricted Subsidiary that is not already a Guarantor that Guarantees or becomes an obligor of any other Indebtedness of the Borrower or any Guarantor with an aggregate principal amount of $5,000,000 or more, in each case, cause such Subsidiary to (i)become a Guarantor by delivering to the Administrative Agent a duly executed supplement to the Guaranty and Security Agreement or such other document as the Administrative Agent shall deem appropriate for such purpose, (ii)grant a security interest in all Collateral specified in the Guaranty and Security Agreement (subject to the exceptions specified in the Guaranty and Security Agreement, including with respect to Excluded Assets) owned by such Subsidiary by delivering to the Administrative Agent a duly executed supplement to each applicable Security Document or such other document as the Administrative Agent shall deem appropriate for such purpose and comply with the terms of each applicable Security Document, (iii)deliver to the Administrative Agent such opinions, documents and certificates referred to in Section6.1 as may be reasonably requested by the Administrative Agent, (iv)if the Equity Interests of such Subsidiary are certificated, deliver to the Administrative Agent such original certificated Equity Interests or other certificates and stock or other transfer powers evidencing the Equity Interests of such Subsidiary, (v)deliver to the Administrative Agent a duly executed joinder to each of the Junior Lien Intercreditor Agreement and Pari Passu Intercreditor Agreement and (vi)deliver to the Administrative Agent such updated Schedules to the Loan Documents as requested by the Administrative Agent with respect to such Person. For purposes of this Section8.14, compliance with applicable foreign law with respect to the grant, creation and perfection of Liens on and security interests in the Collateral will not be required.", "ner": [[88, 93, "Principal"], [123, 126, "Title"], [309, 312, "Title"], [314, 317, "Title"]], "tokenized_text": ["SECTION8", ".", "14", "Additional", "Domestic", "Subsidiaries", ".", "Promptly", "after", "the", "creation", "or", "acquisition", "of", "any", "(", "i", ")", "Wholly", "Owned", "Subsidiary", "that", "is", "a", "Domestic", "Subsidiary", "(", "other", "than", "an", "Excluded", "Subsidiary", ")", "or", "upon", "a", "wholly", "owned", "domestic", "Unrestricted", "Subsidiary", "(", "other", "than", "an", "Excluded", "Subsidiary", ")", "being", "designated", "as", "a", "Restricted", "Subsidiary", "and", "(", "ii", ")", "Restricted", "Subsidiary", "that", "is", "not", "already", "a", "Guarantor", "that", "Guarantees", "or", "becomes", "an", "obligor", "of", "any", "other", "Indebtedness", "of", "the", "Borrower", "or", "any", "Guarantor", "with", "an", "aggregate", "principal", "amount", "of", "$", "5", ",", "000", ",", "000", "or", "more", ",", "in", "each", "case", ",", "cause", "such", "Subsidiary", "to", "(", "i", ")", "become", "a", "Guarantor", "by", "delivering", "to", "the", "Administrative", "Agent", "a", "duly", "executed", "supplement", "to", "the", "Guaranty", "and", "Security", "Agreement", "or", "such", "other", "document", "as", "the", "Administrative", "Agent", "shall", "deem", "appropriate", "for", "such", "purpose", ",", "(", "ii", ")", "grant", "a", "security", "interest", "in", "all", "Collateral", "specified", "in", "the", "Guaranty", "and", "Security", "Agreement", "(", "subject", "to", "the", "exceptions", "specified", "in", "the", "Guaranty", "and", "Security", "Agreement", ",", "including", "with", "respect", "to", "Excluded", "Assets", ")", "owned", "by", "such", "Subsidiary", "by", "delivering", "to", "the", "Administrative", "Agent", "a", "duly", "executed", "supplement", "to", "each", "applicable", "Security", "Document", "or", "such", "other", "document", "as", "the", "Administrative", "Agent", "shall", "deem", "appropriate", "for", "such", "purpose", "and", "comply", "with", "the", "terms", "of", "each", "applicable", "Security", "Document", ",", "(", "iii", ")", "deliver", "to", "the", "Administrative", "Agent", "such", "opinions", ",", "documents", "and", "certificates", "referred", "to", "in", "Section6", ".", "1", "as", "may", "be", "reasonably", "requested", "by", "the", "Administrative", "Agent", ",", "(", "iv", ")", "if", "the", "Equity", "Interests", "of", "such", "Subsidiary", "are", "certificated", ",", "deliver", "to", "the", "Administrative", "Agent", "such", "original", "certificated", "Equity", "Interests", "or", "other", "certificates", "and", "stock", "or", "other", "transfer", "powers", "evidencing", "the", "Equity", "Interests", "of", "such", "Subsidiary", ",", "(", "v", ")", "deliver", "to", "the", "Administrative", "Agent", "a", "duly", "executed", "joinder", "to", "each", "of", "the", "Junior", "Lien", "Intercreditor", "Agreement", "and", "Pari", "Passu", "Intercreditor", "Agreement", "and", "(", "vi", ")", "deliver", "to", "the", "Administrative", "Agent", "such", "updated", "Schedules", "to", "the", "Loan", "Documents", "as", "requested", "by", "the", "Administrative", "Agent", "with", "respect", "to", "such", "Person", ".", "For", "purposes", "of", "this", "Section8", ".", "14", ",", "compliance", "with", "applicable", "foreign", "law", "with", "respect", "to", "the", "grant", ",", "creation", "and", "perfection", "of", "Liens", "on", "and", "security", "interests", "in", "the", "Collateral", "will", "not", "be", "required", "."]}
{"id": "14432", "text": "SECTION8.15 Additional Foreign Subsidiaries . Notify the Administrative Agent promptly after the Borrower or any Guarantor creates or acquires a First Tier Foreign Subsidiary, and promptly thereafter (and, in any event, within forty five (45) days after such notification, as such time period may be extended by the Administrative Agent in its sole discretion), cause (i)the applicable Credit Party to deliver to the Administrative Agent Security Documents pledging, to the extent that the following does not constitute Excluded Assets, sixty-five percent (65%) of the total outstanding voting Equity Interests (and one hundred percent (100%) of the non-voting Equity Interests, if any) of any such new First Tier Foreign Subsidiary and, if reasonably requested by the Administrative Agent, a consent thereto executed by such new First Tier Foreign Subsidiary (including, without limitation, if applicable, original certificated Equity Interests (or the equivalent thereof pursuant to the Applicable Laws and practices of any relevant foreign jurisdiction) evidencing the Equity Interests to be pledged of such new First Tier Foreign Subsidiary, together with an appropriate undated stock or other transfer power for each certificate duly executed in blank by the registered owner thereof), (ii)such Person to deliver to the Administrative Agent such opinions, documents and certificates referred to in Section6.1 as may be reasonably requested by the Administrative Agent, (iii)such Person to deliver to the Administrative Agent such updated Schedules to the Loan Documents as requested by the Administrative Agent with regard to such Person, (iv)deliver to the Administrative Agent a duly executed joinder to each of the Junior Lien Intercreditor Agreement and Pari Passu Intercreditor Agreement and (v)such Person to deliver to the Administrative Agent such other documents as may be reasonably requested by the Administrative Agent, all in form, content and scope reasonably satisfactory to the Administrative Agent. For purposes of this Section8.15, compliance with applicable foreign law with respect to the grant, creation and perfection of Liens on and security interests in the Collateral will not be required.", "ner": [[95, 96, "Percentage"], [98, 99, "Percentage"], [110, 112, "Percentage"], [114, 115, "Percentage"], [304, 307, "Title"], [309, 312, "Title"]], "tokenized_text": ["SECTION8", ".", "15", "Additional", "Foreign", "Subsidiaries", ".", "Notify", "the", "Administrative", "Agent", "promptly", "after", "the", "Borrower", "or", "any", "Guarantor", "creates", "or", "acquires", "a", "First", "Tier", "Foreign", "Subsidiary", ",", "and", "promptly", "thereafter", "(", "and", ",", "in", "any", "event", ",", "within", "forty", "five", "(", "45", ")", "days", "after", "such", "notification", ",", "as", "such", "time", "period", "may", "be", "extended", "by", "the", "Administrative", "Agent", "in", "its", "sole", "discretion", ")", ",", "cause", "(", "i", ")", "the", "applicable", "Credit", "Party", "to", "deliver", "to", "the", "Administrative", "Agent", "Security", "Documents", "pledging", ",", "to", "the", "extent", "that", "the", "following", "does", "not", "constitute", "Excluded", "Assets", ",", "sixty-five", "percent", "(", "65", "%", ")", "of", "the", "total", "outstanding", "voting", "Equity", "Interests", "(", "and", "one", "hundred", "percent", "(", "100", "%", ")", "of", "the", "non-voting", "Equity", "Interests", ",", "if", "any", ")", "of", "any", "such", "new", "First", "Tier", "Foreign", "Subsidiary", "and", ",", "if", "reasonably", "requested", "by", "the", "Administrative", "Agent", ",", "a", "consent", "thereto", "executed", "by", "such", "new", "First", "Tier", "Foreign", "Subsidiary", "(", "including", ",", "without", "limitation", ",", "if", "applicable", ",", "original", "certificated", "Equity", "Interests", "(", "or", "the", "equivalent", "thereof", "pursuant", "to", "the", "Applicable", "Laws", "and", "practices", "of", "any", "relevant", "foreign", "jurisdiction", ")", "evidencing", "the", "Equity", "Interests", "to", "be", "pledged", "of", "such", "new", "First", "Tier", "Foreign", "Subsidiary", ",", "together", "with", "an", "appropriate", "undated", "stock", "or", "other", "transfer", "power", "for", "each", "certificate", "duly", "executed", "in", "blank", "by", "the", "registered", "owner", "thereof", ")", ",", "(", "ii", ")", "such", "Person", "to", "deliver", "to", "the", "Administrative", "Agent", "such", "opinions", ",", "documents", "and", "certificates", "referred", "to", "in", "Section6", ".", "1", "as", "may", "be", "reasonably", "requested", "by", "the", "Administrative", "Agent", ",", "(", "iii", ")", "such", "Person", "to", "deliver", "to", "the", "Administrative", "Agent", "such", "updated", "Schedules", "to", "the", "Loan", "Documents", "as", "requested", "by", "the", "Administrative", "Agent", "with", "regard", "to", "such", "Person", ",", "(", "iv", ")", "deliver", "to", "the", "Administrative", "Agent", "a", "duly", "executed", "joinder", "to", "each", "of", "the", "Junior", "Lien", "Intercreditor", "Agreement", "and", "Pari", "Passu", "Intercreditor", "Agreement", "and", "(", "v", ")", "such", "Person", "to", "deliver", "to", "the", "Administrative", "Agent", "such", "other", "documents", "as", "may", "be", "reasonably", "requested", "by", "the", "Administrative", "Agent", ",", "all", "in", "form", ",", "content", "and", "scope", "reasonably", "satisfactory", "to", "the", "Administrative", "Agent", ".", "For", "purposes", "of", "this", "Section8", ".", "15", ",", "compliance", "with", "applicable", "foreign", "law", "with", "respect", "to", "the", "grant", ",", "creation", "and", "perfection", "of", "Liens", "on", "and", "security", "interests", "in", "the", "Collateral", "will", "not", "be", "required", "."]}
{"id": "14433", "text": "SECTION8.18 Further Assurances . Execute any and all further documents, financing statements, agreements and instruments, and take all such further actions (including the filing and recording of financing statements and other documents), which may be required under any Applicable Law, or which the Administrative Agent or the Required Lenders may reasonably request, to effectuate the transactions contemplated by the Loan Documents or to grant, preserve, protect or perfect the Liens created or intended to be created by the Security Documents (subject to the Pari Passu Intercreditor Agreement and the Junior Lien Intercreditor Agreement) or the validity or priority of any such Lien, all at the expense of the Credit Parties. The Borrower also", "ner": [[96, 99, "Title"], [102, 105, "Title"]], "tokenized_text": ["SECTION8", ".", "18", "Further", "Assurances", ".", "Execute", "any", "and", "all", "further", "documents", ",", "financing", "statements", ",", "agreements", "and", "instruments", ",", "and", "take", "all", "such", "further", "actions", "(", "including", "the", "filing", "and", "recording", "of", "financing", "statements", "and", "other", "documents", ")", ",", "which", "may", "be", "required", "under", "any", "Applicable", "Law", ",", "or", "which", "the", "Administrative", "Agent", "or", "the", "Required", "Lenders", "may", "reasonably", "request", ",", "to", "effectuate", "the", "transactions", "contemplated", "by", "the", "Loan", "Documents", "or", "to", "grant", ",", "preserve", ",", "protect", "or", "perfect", "the", "Liens", "created", "or", "intended", "to", "be", "created", "by", "the", "Security", "Documents", "(", "subject", "to", "the", "Pari", "Passu", "Intercreditor", "Agreement", "and", "the", "Junior", "Lien", "Intercreditor", "Agreement", ")", "or", "the", "validity", "or", "priority", "of", "any", "such", "Lien", ",", "all", "at", "the", "expense", "of", "the", "Credit", "Parties", ".", "The", "Borrower", "also"]}
{"id": "14435", "text": "(3) Indebtedness of the Borrower owing to and held by any Restricted Subsidiary or Indebtedness of a Restricted Subsidiary owing to and held by the Borrower or any other Restricted Subsidiary ; provided, however, that:", "ner": [], "tokenized_text": ["(", "3", ")", "Indebtedness", "of", "the", "Borrower", "owing", "to", "and", "held", "by", "any", "Restricted", "Subsidiary", "or", "Indebtedness", "of", "a", "Restricted", "Subsidiary", "owing", "to", "and", "held", "by", "the", "Borrower", "or", "any", "other", "Restricted", "Subsidiary", ";", "provided", ",", "however", ",", "that", ":"]}
{"id": "14436", "text": "(m) so long as no Default or Event of Default shall have occurred and be continuing or would exist after giving effect thereto, additional Restricted Payments in an amount not to exceed $100,000,000 if, at the time of the making of such Restricted Payment, and after giving pro forma effect thereto (including the incurrence of any Indebtedness to finance such payment), the Senior Secured Net Leverage Ratio is less than 4.00 to 1.00.&lt; br/&gt;", "ner": [[35, 40, "Principal"], [83, 90, "Ratio"]], "tokenized_text": ["(", "m", ")", "so", "long", "as", "no", "Default", "or", "Event", "of", "Default", "shall", "have", "occurred", "and", "be", "continuing", "or", "would", "exist", "after", "giving", "effect", "thereto", ",", "additional", "Restricted", "Payments", "in", "an", "amount", "not", "to", "exceed", "$", "100", ",", "000", ",", "000", "if", ",", "at", "the", "time", "of", "the", "making", "of", "such", "Restricted", "Payment", ",", "and", "after", "giving", "pro", "forma", "effect", "thereto", "(", "including", "the", "incurrence", "of", "any", "Indebtedness", "to", "finance", "such", "payment", ")", ",", "the", "Senior", "Secured", "Net", "Leverage", "Ratio", "is", "less", "than", "4", ".", "00", "to", "1", ".", "00", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "14438", "text": "SECTION11.9 Collateral and Guaranty Matters.", "ner": [], "tokenized_text": ["SECTION11", ".", "9", "Collateral", "and", "Guaranty", "Matters", "."]}
{"id": "14440", "text": "Wells Fargo Bank, National Association ---|---", "ner": [[0, 2, "Parties"]], "tokenized_text": ["Wells", "Fargo", "Bank", ",", "National", "Association", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "14443", "text": "(b) Electronic Communications. Notices and other communications to the Lenders hereunder may be delivered or furnished by electronic communication (including e-mail and Internet or intranet websites) pursuant to procedures approved by the Administrative Agent, provided that the foregoing shall not apply to notices to any Lender pursuant to ArticleII if such Lender has notified the Administrative Agent that it is incapable of receiving notices under such Articleby electronic communication. The Administrative Agent or the Borrower may, in its discretion, agree to accept notices and other communications to it hereunder by electronic communications pursuant to procedures approved by it, provided that approval of such procedures may be limited to particular notices or communications. Unless the Administrative Agent otherwise prescribes, (i)notices and other communications sent to an e-mail address shall be deemed received upon the senders receipt of an acknowledgement from the intended recipient (such as by the return receipt requested function, as available, return e-mail or other written acknowledgement), and (ii)notices or communications posted to an Internet or intranet website shall be deemed received upon the deemed receipt by the intended recipient at its e-mail address as described in the foregoing clause(i)of notification that such notice or communication is available and identifying the website address therefor; provided that, for both clauses(i)and (ii)above, if such notice, email or other communication is not sent during the normal business hours of the recipient, such notice, email or other communication shall be deemed to have been sent at the opening of business on the next business day for the recipient.", "ner": [], "tokenized_text": ["(", "b", ")", "Electronic", "Communications", ".", "Notices", "and", "other", "communications", "to", "the", "Lenders", "hereunder", "may", "be", "delivered", "or", "furnished", "by", "electronic", "communication", "(", "including", "e-mail", "and", "Internet", "or", "intranet", "websites", ")", "pursuant", "to", "procedures", "approved", "by", "the", "Administrative", "Agent", ",", "provided", "that", "the", "foregoing", "shall", "not", "apply", "to", "notices", "to", "any", "Lender", "pursuant", "to", "ArticleII", "if", "such", "Lender", "has", "notified", "the", "Administrative", "Agent", "that", "it", "is", "incapable", "of", "receiving", "notices", "under", "such", "Articleby", "electronic", "communication", ".", "The", "Administrative", "Agent", "or", "the", "Borrower", "may", ",", "in", "its", "discretion", ",", "agree", "to", "accept", "notices", "and", "other", "communications", "to", "it", "hereunder", "by", "electronic", "communications", "pursuant", "to", "procedures", "approved", "by", "it", ",", "provided", "that", "approval", "of", "such", "procedures", "may", "be", "limited", "to", "particular", "notices", "or", "communications", ".", "Unless", "the", "Administrative", "Agent", "otherwise", "prescribes", ",", "(", "i", ")", "notices", "and", "other", "communications", "sent", "to", "an", "e-mail", "address", "shall", "be", "deemed", "received", "upon", "the", "senders", "receipt", "of", "an", "acknowledgement", "from", "the", "intended", "recipient", "(", "such", "as", "by", "the", "return", "receipt", "requested", "function", ",", "as", "available", ",", "return", "e-mail", "or", "other", "written", "acknowledgement", ")", ",", "and", "(", "ii", ")", "notices", "or", "communications", "posted", "to", "an", "Internet", "or", "intranet", "website", "shall", "be", "deemed", "received", "upon", "the", "deemed", "receipt", "by", "the", "intended", "recipient", "at", "its", "e-mail", "address", "as", "described", "in", "the", "foregoing", "clause", "(", "i", ")", "of", "notification", "that", "such", "notice", "or", "communication", "is", "available", "and", "identifying", "the", "website", "address", "therefor", ";", "provided", "that", ",", "for", "both", "clauses", "(", "i", ")", "and", "(", "ii", ")", "above", ",", "if", "such", "notice", ",", "email", "or", "other", "communication", "is", "not", "sent", "during", "the", "normal", "business", "hours", "of", "the", "recipient", ",", "such", "notice", ",", "email", "or", "other", "communication", "shall", "be", "deemed", "to", "have", "been", "sent", "at", "the", "opening", "of", "business", "on", "the", "next", "business", "day", "for", "the", "recipient", "."]}
{"id": "14445", "text": "SECTION12.6 Waiver of Jury Trial. EACH PARTY HERETO HEREBY IRREVOCABLY WAIVES, TO THE FULLEST EXTENT PERMITTED BY APPLICABLE LAW, ANY RIGHT IT MAYHAVE TO A TRIAL BY JURY IN ANY LEGAL PROCEEDING DIRECTLY OR INDIRECTLY ARISING OUT OF OR RELATING TO THIS AGREEMENT OR ANY OTHER LOAN DOCUMENT OR THE TRANSACTIONS CONTEMPLATED HEREBY OR THEREBY (WHETHER BASED ON CONTRACT, TORT OR ANY OTHER THEORY). EACH PARTY HERETO (A)CERTIFIES THAT NO REPRESENTATIVE, AGENT OR ATTORNEY OF ANY OTHER PERSON HAS REPRESENTED, EXPRESSLY OR OTHERWISE, THAT SUCH OTHER PERSON WOULD NOT,IN THE EVENT OF LITIGATION, SEEK TO ENFORCE THE FOREGOING WAIVER AND (B)ACKNOWLEDGES THAT IT AND THE OTHER PARTIES HERETO HAVE BEEN INDUCED TO ENTER INTO THIS AGREEMENT AND THE OTHER LOAN DOCUMENTS BY, AMONG OTHER THINGS, THE MUTUAL WAIVERS AND CERTIFICATIONS IN THIS SECTION.", "ner": [[47, 47, "Title"]], "tokenized_text": ["SECTION12", ".", "6", "Waiver", "of", "Jury", "Trial", ".", "EACH", "PARTY", "HERETO", "HEREBY", "IRREVOCABLY", "WAIVES", ",", "TO", "THE", "FULLEST", "EXTENT", "PERMITTED", "BY", "APPLICABLE", "LAW", ",", "ANY", "RIGHT", "IT", "MAYHAVE", "TO", "A", "TRIAL", "BY", "JURY", "IN", "ANY", "LEGAL", "PROCEEDING", "DIRECTLY", "OR", "INDIRECTLY", "ARISING", "OUT", "OF", "OR", "RELATING", "TO", "THIS", "AGREEMENT", "OR", "ANY", "OTHER", "LOAN", "DOCUMENT", "OR", "THE", "TRANSACTIONS", "CONTEMPLATED", "HEREBY", "OR", "THEREBY", "(", "WHETHER", "BASED", "ON", "CONTRACT", ",", "TORT", "OR", "ANY", "OTHER", "THEORY", ")", ".", "EACH", "PARTY", "HERETO", "(", "A", ")", "CERTIFIES", "THAT", "NO", "REPRESENTATIVE", ",", "AGENT", "OR", "ATTORNEY", "OF", "ANY", "OTHER", "PERSON", "HAS", "REPRESENTED", ",", "EXPRESSLY", "OR", "OTHERWISE", ",", "THAT", "SUCH", "OTHER", "PERSON", "WOULD", "NOT", ",", "IN", "THE", "EVENT", "OF", "LITIGATION", ",", "SEEK", "TO", "ENFORCE", "THE", "FOREGOING", "WAIVER", "AND", "(", "B", ")", "ACKNOWLEDGES", "THAT", "IT", "AND", "THE", "OTHER", "PARTIES", "HERETO", "HAVE", "BEEN", "INDUCED", "TO", "ENTER", "INTO", "THIS", "AGREEMENT", "AND", "THE", "OTHER", "LOAN", "DOCUMENTS", "BY", ",", "AMONG", "OTHER", "THINGS", ",", "THE", "MUTUAL", "WAIVERS", "AND", "CERTIFICATIONS", "IN", "THIS", "SECTION", "."]}
{"id": "14447", "text": "(c) Register. The Administrative Agent, acting solely for this purpose as a non-fiduciary agent of the Borrower, shall maintain at one of its offices in Charlotte, North Carolina, a copy of each Assignment and Assumption and each Lender Joinder Agreement delivered to it and a register for the recordation of the names and addresses of the Lenders, and the Term Loan Commitment of, and principal amounts of (and stated interest on) the Term Loans owing to, each Lender pursuant to the terms hereof from time to time (the Register). The entries in the Register shall be conclusive, absent manifest error, and the Borrower, the Administrative Agent and the Lenders shall treat each Person whose name is recorded in the Register pursuant to the terms hereof as a Lender hereunder for all purposes of this Agreement. The Register shall be available for inspection by the Borrower and any Lender (but only to the extent of entries in the Register that are applicable to such Lender), at any reasonable time and from time to time upon reasonable prior notice.", "ner": [[30, 33, "Address"], [44, 46, "Title"]], "tokenized_text": ["(", "c", ")", "Register", ".", "The", "Administrative", "Agent", ",", "acting", "solely", "for", "this", "purpose", "as", "a", "non-fiduciary", "agent", "of", "the", "Borrower", ",", "shall", "maintain", "at", "one", "of", "its", "offices", "in", "Charlotte", ",", "North", "Carolina", ",", "a", "copy", "of", "each", "Assignment", "and", "Assumption", "and", "each", "Lender", "Joinder", "Agreement", "delivered", "to", "it", "and", "a", "register", "for", "the", "recordation", "of", "the", "names", "and", "addresses", "of", "the", "Lenders", ",", "and", "the", "Term", "Loan", "Commitment", "of", ",", "and", "principal", "amounts", "of", "(", "and", "stated", "interest", "on", ")", "the", "Term", "Loans", "owing", "to", ",", "each", "Lender", "pursuant", "to", "the", "terms", "hereof", "from", "time", "to", "time", "(", "the", "Register", ")", ".", "The", "entries", "in", "the", "Register", "shall", "be", "conclusive", ",", "absent", "manifest", "error", ",", "and", "the", "Borrower", ",", "the", "Administrative", "Agent", "and", "the", "Lenders", "shall", "treat", "each", "Person", "whose", "name", "is", "recorded", "in", "the", "Register", "pursuant", "to", "the", "terms", "hereof", "as", "a", "Lender", "hereunder", "for", "all", "purposes", "of", "this", "Agreement", ".", "The", "Register", "shall", "be", "available", "for", "inspection", "by", "the", "Borrower", "and", "any", "Lender", "(", "but", "only", "to", "the", "extent", "of", "entries", "in", "the", "Register", "that", "are", "applicable", "to", "such", "Lender", ")", ",", "at", "any", "reasonable", "time", "and", "from", "time", "to", "time", "upon", "reasonable", "prior", "notice", "."]}
{"id": "14449", "text": "(b) Electronic Execution of Assignments. The words execution, signed, signature, and words of like import in any Assignment and Assumption shall be deemed to include electronic signatures or the keeping of records in electronic form, each of which shall be of the same legal effect, validity or enforceability as a manually executed signature or the use of a paper-based recordkeeping system, as the case may be, to the extent and as provided for in any Applicable Law, including the Federal Electronic Signatures in Global and National Commerce Act, the New York State Electronic Signatures and Records Act, or any other similar state laws based on the Uniform Electronic Transactions Act.&lt; br/&gt;", "ner": [[94, 98, "Act"], [101, 108, "Act"], [119, 122, "Act"]], "tokenized_text": ["(", "b", ")", "Electronic", "Execution", "of", "Assignments", ".", "The", "words", "execution", ",", "signed", ",", "signature", ",", "and", "words", "of", "like", "import", "in", "any", "Assignment", "and", "Assumption", "shall", "be", "deemed", "to", "include", "electronic", "signatures", "or", "the", "keeping", "of", "records", "in", "electronic", "form", ",", "each", "of", "which", "shall", "be", "of", "the", "same", "legal", "effect", ",", "validity", "or", "enforceability", "as", "a", "manually", "executed", "signature", "or", "the", "use", "of", "a", "paper-based", "recordkeeping", "system", ",", "as", "the", "case", "may", "be", ",", "to", "the", "extent", "and", "as", "provided", "for", "in", "any", "Applicable", "Law", ",", "including", "the", "Federal", "Electronic", "Signatures", "in", "Global", "and", "National", "Commerce", "Act", ",", "the", "New", "York", "State", "Electronic", "Signatures", "and", "Records", "Act", ",", "or", "any", "other", "similar", "state", "laws", "based", "on", "the", "Uniform", "Electronic", "Transactions", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "14452", "text": "FTS INTERNATIONAL SERVICES, LLC , as Grantor", "ner": [[0, 4, "Parties"]], "tokenized_text": ["FTS", "INTERNATIONAL", "SERVICES", ",", "LLC", ",", "as", "Grantor"]}
{"id": "14454", "text": "WELLS FARGO BANK, NATIONAL <sup> ASSOCIATION, as Administrative Agent, and Lender", "ner": [[0, 2, "Parties"]], "tokenized_text": ["WELLS", "FARGO", "BANK", ",", "NATIONAL", "<", "sup", ">", "ASSOCIATION", ",", "as", "Administrative", "Agent", ",", "and", "Lender"]}
{"id": "14455", "text": "FOR VALUE RECEIVED, the undersigned, FTS International,Inc., a Delaware corporation (the Borrower), promises to pay to (the Lender), at the place and times provided in the Term Loan Agreement, the principal sum of DOLLARS ($) or, if less, the unpaid principal amount of all Term Loans made by the Lender pursuant to that certain Term Loan Agreement, dated as of April16, 2014 (as amended, restated, supplemented or otherwise modified, the Term Loan Agreement) by and among the Borrower, the Lenders party thereto and Wells Fargo Bank, National Association, as Administrative Agent. Capitalized terms used herein and not defined herein shall have the meanings assigned thereto in the Term Loan Agreement.", "ner": [[7, 11, "Parties"], [38, 40, "Title"], [72, 73, "Title"], [78, 80, "EffectiveDate"], [94, 95, "Title"], [108, 110, "Parties"], [136, 137, "Title"]], "tokenized_text": ["FOR", "VALUE", "RECEIVED", ",", "the", "undersigned", ",", "FTS", "International", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "the", "Borrower", ")", ",", "promises", "to", "pay", "to", "(", "the", "Lender", ")", ",", "at", "the", "place", "and", "times", "provided", "in", "the", "Term", "Loan", "Agreement", ",", "the", "principal", "sum", "of", "DOLLARS", "(", "$", ")", "or", ",", "if", "less", ",", "the", "unpaid", "principal", "amount", "of", "all", "Term", "Loans", "made", "by", "the", "Lender", "pursuant", "to", "that", "certain", "Term", "Loan", "Agreement", ",", "dated", "as", "of", "April16", ",", "2014", "(", "as", "amended", ",", "restated", ",", "supplemented", "or", "otherwise", "modified", ",", "the", "Term", "Loan", "Agreement", ")", "by", "and", "among", "the", "Borrower", ",", "the", "Lenders", "party", "thereto", "and", "Wells", "Fargo", "Bank", ",", "National", "Association", ",", "as", "Administrative", "Agent", ".", "Capitalized", "terms", "used", "herein", "and", "not", "defined", "herein", "shall", "have", "the", "meanings", "assigned", "thereto", "in", "the", "Term", "Loan", "Agreement", "."]}
{"id": "14457", "text": "This irrevocable Notice of Borrowing is delivered to you pursuant to Section4.2 of the Term Loan Agreement dated as of April16, 2014 (as amended, restated, supplemented or otherwise modified, the Term Loan Agreement), by and among FTS International,Inc., a Delaware corporation (the Borrower), the Lenders party thereto and Wells Fargo Bank, National Association, as Administrative Agent. Capitalized terms used herein and not defined herein shall have the meanings assigned thereto in the Term Loan Agreement.", "ner": [[16, 18, "Title"], [22, 24, "EffectiveDate"], [38, 39, "Title"], [45, 49, "Parties"], [64, 66, "Parties"], [92, 93, "Title"]], "tokenized_text": ["This", "irrevocable", "Notice", "of", "Borrowing", "is", "delivered", "to", "you", "pursuant", "to", "Section4", ".", "2", "of", "the", "Term", "Loan", "Agreement", "dated", "as", "of", "April16", ",", "2014", "(", "as", "amended", ",", "restated", ",", "supplemented", "or", "otherwise", "modified", ",", "the", "Term", "Loan", "Agreement", ")", ",", "by", "and", "among", "FTS", "International", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "the", "Borrower", ")", ",", "the", "Lenders", "party", "thereto", "and", "Wells", "Fargo", "Bank", ",", "National", "Association", ",", "as", "Administrative", "Agent", ".", "Capitalized", "terms", "used", "herein", "and", "not", "defined", "herein", "shall", "have", "the", "meanings", "assigned", "thereto", "in", "the", "Term", "Loan", "Agreement", "."]}
{"id": "14460", "text": "This [irrevocable](1)Notice of Prepayment is delivered to you pursuant to Section[4.4(a)][4.4(b)] of the Term Loan Agreement dated as of April16, 2014 (as amended, restated, supplemented or otherwise modified, the Term Loan Agreement), by and among FTS International,Inc., a Delaware corporation (the Borrower), the Lenders party thereto and Wells Fargo Bank, National Association, as Administrative Agent. Capitalized terms used herein and not defined herein shall have the meanings assigned thereto in the Term Loan Agreement.", "ner": [[35, 37, "Title"], [41, 43, "EffectiveDate"], [57, 58, "Title"], [64, 68, "Parties"], [83, 85, "Parties"], [111, 112, "Title"]], "tokenized_text": ["This", "[", "irrevocable", "]", "(", "1", ")", "Notice", "of", "Prepayment", "is", "delivered", "to", "you", "pursuant", "to", "Section", "[", "4", ".", "4", "(", "a", ")", "]", "[", "4", ".", "4", "(", "b", ")", "]", "of", "the", "Term", "Loan", "Agreement", "dated", "as", "of", "April16", ",", "2014", "(", "as", "amended", ",", "restated", ",", "supplemented", "or", "otherwise", "modified", ",", "the", "Term", "Loan", "Agreement", ")", ",", "by", "and", "among", "FTS", "International", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "the", "Borrower", ")", ",", "the", "Lenders", "party", "thereto", "and", "Wells", "Fargo", "Bank", ",", "National", "Association", ",", "as", "Administrative", "Agent", ".", "Capitalized", "terms", "used", "herein", "and", "not", "defined", "herein", "shall", "have", "the", "meanings", "assigned", "thereto", "in", "the", "Term", "Loan", "Agreement", "."]}
{"id": "14462", "text": "1. This certificate is delivered to you pursuant to Section8.2 of the Term Loan Agreement dated as of April16, 2014 (as amended, restated, supplemented or otherwise modified, the Term Loan Agreement), by and among the Borrower, the Lenders party thereto and Wells Fargo Bank, National Association, as Administrative Agent. Capitalized terms used herein and not defined herein shall have the meanings assigned thereto in the Term Loan Agreement.", "ner": [[15, 17, "Title"], [21, 23, "EffectiveDate"], [37, 38, "Title"], [52, 54, "Parties"], [80, 81, "Title"]], "tokenized_text": ["1", ".", "This", "certificate", "is", "delivered", "to", "you", "pursuant", "to", "Section8", ".", "2", "of", "the", "Term", "Loan", "Agreement", "dated", "as", "of", "April16", ",", "2014", "(", "as", "amended", ",", "restated", ",", "supplemented", "or", "otherwise", "modified", ",", "the", "Term", "Loan", "Agreement", ")", ",", "by", "and", "among", "the", "Borrower", ",", "the", "Lenders", "party", "thereto", "and", "Wells", "Fargo", "Bank", ",", "National", "Association", ",", "as", "Administrative", "Agent", ".", "Capitalized", "terms", "used", "herein", "and", "not", "defined", "herein", "shall", "have", "the", "meanings", "assigned", "thereto", "in", "the", "Term", "Loan", "Agreement", "."]}
{"id": "14464", "text": "WELLS FARGO BANK, NATIONAL ASSOCIATION,&lt; <sup> br/&gt;", "ner": [[0, 2, "Parties"]], "tokenized_text": ["WELLS", "FARGO", "BANK", ",", "NATIONAL", "ASSOCIATION", ",", "&", "lt", ";", "<", "sup", ">", "br", "/", "&", "gt", ";"]}
{"id": "14468", "text": "6. General Provisions . This Borrower Assignment and Assumption shall be binding upon, and inure to the benefit of, the parties hereto and their respective successors and assigns. This Borrower Assignment and Assumption may be executed in any number of counterparts, which together shall constitute one instrument. Delivery of an executed counterpart of a signature pageof this Borrower Assignment and Assumption by telecopy shall be effective as delivery of a manually executed counterpart of this Borrower Assignment and Assumption. This Borrower Assignment and Assumption shall be governed by, and construed in accordance with, the law of the State of New York.", "ner": [[6, 9, "Title"], [106, 109, "Court"]], "tokenized_text": ["6", ".", "General", "Provisions", ".", "This", "Borrower", "Assignment", "and", "Assumption", "shall", "be", "binding", "upon", ",", "and", "inure", "to", "the", "benefit", "of", ",", "the", "parties", "hereto", "and", "their", "respective", "successors", "and", "assigns", ".", "This", "Borrower", "Assignment", "and", "Assumption", "may", "be", "executed", "in", "any", "number", "of", "counterparts", ",", "which", "together", "shall", "constitute", "one", "instrument", ".", "Delivery", "of", "an", "executed", "counterpart", "of", "a", "signature", "pageof", "this", "Borrower", "Assignment", "and", "Assumption", "by", "telecopy", "shall", "be", "effective", "as", "delivery", "of", "a", "manually", "executed", "counterpart", "of", "this", "Borrower", "Assignment", "and", "Assumption", ".", "This", "Borrower", "Assignment", "and", "Assumption", "shall", "be", "governed", "by", ",", "and", "construed", "in", "accordance", "with", ",", "the", "law", "of", "the", "State", "of", "New", "York", "."]}
{"id": "14472", "text": "This ExhibitI is intended to summarize certain basic terms of the reverse Dutch auction procedures pursuant to and in accordance with the terms and conditions of Section4.5 of the Term Loan Agreement (each such auction, an Auction), of which this ExhibitI is a part. It is not intended to be a definitive statement of all of the terms and conditions of a reverse Dutch auction, the definitive terms and conditions for which shall be set forth in the applicable offering document. None of the Administrative Agent, the Auction Manager, or any of their Affiliates makes any recommendation pursuant to any offering document as to whether or not any Lender should sell any Classof its Term Loans (including, for the avoidance of doubt, any Initial Term Loans,Incremental Term Loans, Extended Term Loans and Refinancing Term Loans, as applicable) to the Borrower pursuant to any offering documents, nor shall the decision by the Administrative Agent or the Auction Manager (or any of their respective Affiliates) in its capacity as a Lender to sell any such Term Loans to the Borrower be deemed to constitute such a recommendation. Each Lender should make its own decision as to whether to sell any of its Term Loans (or any Term Loans of a particular Class) and as to the price to be sought for any such Term Loans. In addition, each Lender should consult its own attorney, business advisor or tax advisor as to legal, business, tax and related matters concerning each Auction and the relevant offering documents. Each Lender, by participating in an Auction, acknowledges and agrees that in connection with such Auction, (1)such Lender has independently and, without reliance on the Borrower, any of its Subsidiaries, the Administrative Agent, the Auction Manager or any of their respective Affiliates, made its own analysis and determination to participate in such Auction and (2)none of the Administrative Agent, the Auction Manager or any of their respective Affiliates shall have any liability to such Lender, and such Lender hereby waives and releases, to the extent permitted by law, any claims such Lender may have against the Administrative Agent, the Auction Manager and their respective Affiliates.", "ner": [[31, 33, "Title"]], "tokenized_text": ["This", "ExhibitI", "is", "intended", "to", "summarize", "certain", "basic", "terms", "of", "the", "reverse", "Dutch", "auction", "procedures", "pursuant", "to", "and", "in", "accordance", "with", "the", "terms", "and", "conditions", "of", "Section4", ".", "5", "of", "the", "Term", "Loan", "Agreement", "(", "each", "such", "auction", ",", "an", "Auction", ")", ",", "of", "which", "this", "ExhibitI", "is", "a", "part", ".", "It", "is", "not", "intended", "to", "be", "a", "definitive", "statement", "of", "all", "of", "the", "terms", "and", "conditions", "of", "a", "reverse", "Dutch", "auction", ",", "the", "definitive", "terms", "and", "conditions", "for", "which", "shall", "be", "set", "forth", "in", "the", "applicable", "offering", "document", ".", "None", "of", "the", "Administrative", "Agent", ",", "the", "Auction", "Manager", ",", "or", "any", "of", "their", "Affiliates", "makes", "any", "recommendation", "pursuant", "to", "any", "offering", "document", "as", "to", "whether", "or", "not", "any", "Lender", "should", "sell", "any", "Classof", "its", "Term", "Loans", "(", "including", ",", "for", "the", "avoidance", "of", "doubt", ",", "any", "Initial", "Term", "Loans", ",", "Incremental", "Term", "Loans", ",", "Extended", "Term", "Loans", "and", "Refinancing", "Term", "Loans", ",", "as", "applicable", ")", "to", "the", "Borrower", "pursuant", "to", "any", "offering", "documents", ",", "nor", "shall", "the", "decision", "by", "the", "Administrative", "Agent", "or", "the", "Auction", "Manager", "(", "or", "any", "of", "their", "respective", "Affiliates", ")", "in", "its", "capacity", "as", "a", "Lender", "to", "sell", "any", "such", "Term", "Loans", "to", "the", "Borrower", "be", "deemed", "to", "constitute", "such", "a", "recommendation", ".", "Each", "Lender", "should", "make", "its", "own", "decision", "as", "to", "whether", "to", "sell", "any", "of", "its", "Term", "Loans", "(", "or", "any", "Term", "Loans", "of", "a", "particular", "Class", ")", "and", "as", "to", "the", "price", "to", "be", "sought", "for", "any", "such", "Term", "Loans", ".", "In", "addition", ",", "each", "Lender", "should", "consult", "its", "own", "attorney", ",", "business", "advisor", "or", "tax", "advisor", "as", "to", "legal", ",", "business", ",", "tax", "and", "related", "matters", "concerning", "each", "Auction", "and", "the", "relevant", "offering", "documents", ".", "Each", "Lender", ",", "by", "participating", "in", "an", "Auction", ",", "acknowledges", "and", "agrees", "that", "in", "connection", "with", "such", "Auction", ",", "(", "1", ")", "such", "Lender", "has", "independently", "and", ",", "without", "reliance", "on", "the", "Borrower", ",", "any", "of", "its", "Subsidiaries", ",", "the", "Administrative", "Agent", ",", "the", "Auction", "Manager", "or", "any", "of", "their", "respective", "Affiliates", ",", "made", "its", "own", "analysis", "and", "determination", "to", "participate", "in", "such", "Auction", "and", "(", "2", ")", "none", "of", "the", "Administrative", "Agent", ",", "the", "Auction", "Manager", "or", "any", "of", "their", "respective", "Affiliates", "shall", "have", "any", "liability", "to", "such", "Lender", ",", "and", "such", "Lender", "hereby", "waives", "and", "releases", ",", "to", "the", "extent", "permitted", "by", "law", ",", "any", "claims", "such", "Lender", "may", "have", "against", "the", "Administrative", "Agent", ",", "the", "Auction", "Manager", "and", "their", "respective", "Affiliates", "."]}
{"id": "14474", "text": "(E) NOTIFICATION PROCEDURES. The Auction Manager will calculate the Applicable Threshold Price and will post the Applicable Threshold Price and proration factor onto an internet or intranet site (including an IntraLinks, SyndTrak or other electronic workspace) in accordance with the Auction Managers standard dissemination practices by 4:00p.m.New York City time on the Business Day during which the Expiration Time occurs. The Auction Manager will insert the principal amount of Term Loans of the applicable Classto be assigned and the applicable settlement date into each applicable Auction Assignment and Assumption received in connection with a Qualifying Bid. Upon the request of the submitting Lender, the Auction Manager will promptly return any Auction Assignment and Assumption received in connection with a Return Bid that is not a Qualifying Bid.", "ner": [], "tokenized_text": ["(", "E", ")", "NOTIFICATION", "PROCEDURES", ".", "The", "Auction", "Manager", "will", "calculate", "the", "Applicable", "Threshold", "Price", "and", "will", "post", "the", "Applicable", "Threshold", "Price", "and", "proration", "factor", "onto", "an", "internet", "or", "intranet", "site", "(", "including", "an", "IntraLinks", ",", "SyndTrak", "or", "other", "electronic", "workspace", ")", "in", "accordance", "with", "the", "Auction", "Managers", "standard", "dissemination", "practices", "by", "4", ":", "00p", ".", "m", ".", "New", "York", "City", "time", "on", "the", "Business", "Day", "during", "which", "the", "Expiration", "Time", "occurs", ".", "The", "Auction", "Manager", "will", "insert", "the", "principal", "amount", "of", "Term", "Loans", "of", "the", "applicable", "Classto", "be", "assigned", "and", "the", "applicable", "settlement", "date", "into", "each", "applicable", "Auction", "Assignment", "and", "Assumption", "received", "in", "connection", "with", "a", "Qualifying", "Bid", ".", "Upon", "the", "request", "of", "the", "submitting", "Lender", ",", "the", "Auction", "Manager", "will", "promptly", "return", "any", "Auction", "Assignment", "and", "Assumption", "received", "in", "connection", "with", "a", "Return", "Bid", "that", "is", "not", "a", "Qualifying", "Bid", "."]}
{"id": "14476", "text": "ForeignQualification Jurisdiction ---|---|---|---|--- FTS International Manufacturing, LLC", "ner": [[21, 25, "Parties"]], "tokenized_text": ["ForeignQualification", "Jurisdiction", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "FTS", "International", "Manufacturing", ",", "LLC"]}
{"id": "14478", "text": "N/A FTS International Ventures II, LLC", "ner": [[3, 8, "Parties"]], "tokenized_text": ["N", "/", "A", "FTS", "International", "Ventures", "II", ",", "LLC"]}
{"id": "14482", "text": "FTS International Services, LLC", "ner": [[0, 4, "Parties"]], "tokenized_text": ["FTS", "International", "Services", ",", "LLC"]}
{"id": "14484", "text": "No FTS International Ventures II, LLC", "ner": [[1, 6, "Parties"]], "tokenized_text": ["No", "FTS", "International", "Ventures", "II", ",", "LLC"]}
{"id": "14487", "text": "08- 001600437 2 5/9/2008", "ner": [[0, 2, "PII_Ref"]], "tokenized_text": ["08", "-", "001600437", "2", "5", "/", "9", "/", "2008"]}
{"id": "14490", "text": "08- 003213954 1 9/30/2008", "ner": [[0, 2, "PII_Ref"]], "tokenized_text": ["08", "-", "003213954", "1", "9", "/", "30", "/", "2008"]}
{"id": "14494", "text": "PNC Equipment Finance, LLC", "ner": [[0, 4, "Parties"]], "tokenized_text": ["PNC", "Equipment", "Finance", ",", "LLC"]}
{"id": "14495", "text": "12- 001915649 9 6/15/2012", "ner": [[0, 3, "PII_Ref"]], "tokenized_text": ["12", "-", "001915649", "9", "6", "/", "15", "/", "2012"]}
{"id": "14496", "text": "12- 003823610 6 12/10/2012", "ner": [[0, 3, "PII_Ref"]], "tokenized_text": ["12", "-", "003823610", "6", "12", "/", "10", "/", "2012"]}
{"id": "14498", "text": "12- 003829561 6 12/10/2012", "ner": [[0, 3, "PII_Ref"]], "tokenized_text": ["12", "-", "003829561", "6", "12", "/", "10", "/", "2012"]}
{"id": "14499", "text": "12- 003830209 9 12/10/2012", "ner": [[0, 3, "PII_Ref"]], "tokenized_text": ["12", "-", "003830209", "9", "12", "/", "10", "/", "2012"]}
{"id": "14501", "text": "EX-10.1 2 ffwm-ex101_7.htm EX-10.1 NEXBANK LOAN AGREEMENT", "ner": [[10, 12, "Title"]], "tokenized_text": ["EX-10", ".", "1", "2", "ffwm-ex101_7", ".", "htm", "EX-10", ".", "1", "NEXBANK", "LOAN", "AGREEMENT"]}
{"id": "14502", "text": "First Foundation Inc. , a Delaware corporation", "ner": [[0, 3, "Parties"]], "tokenized_text": ["First", "Foundation", "Inc", ".", ",", "a", "Delaware", "corporation"]}
{"id": "14503", "text": "18101 Von Karman Ave., Suite 700,", "ner": [[0, 8, "Address"]], "tokenized_text": ["18101", "Von", "Karman", "Ave", ".", ",", "Suite", "700", ","]}
{"id": "14506", "text": "Dated as of February 8, 2017", "ner": [[3, 6, "EffectiveDate"]], "tokenized_text": ["Dated", "as", "of", "February", "8", ",", "2017"]}
{"id": "14509", "text": "Bank Regulatory Authority:The FDIC, the Federal Reserve Bank, DBO, OFAC and any regulatory authority (whether Federal or State) that has jurisdiction over the operations of Borrower, as a bank holding company, or over the banking operations of the Bank.", "ner": [], "tokenized_text": ["Bank", "Regulatory", "Authority", ":", "The", "FDIC", ",", "the", "Federal", "Reserve", "Bank", ",", "DBO", ",", "OFAC", "and", "any", "regulatory", "authority", "(", "whether", "Federal", "or", "State", ")", "that", "has", "jurisdiction", "over", "the", "operations", "of", "Borrower", ",", "as", "a", "bank", "holding", "company", ",", "or", "over", "the", "banking", "operations", "of", "the", "Bank", "."]}
{"id": "14510", "text": "BHCA: The United States Bank Holding Company Act of 1956 , as amended.", "ner": [[3, 10, "Act"]], "tokenized_text": ["BHCA", ":", "The", "United", "States", "Bank", "Holding", "Company", "Act", "of", "1956", ",", "as", "amended", "."]}
{"id": "14513", "text": "ERISA: The Employee Retirement Income Security Act of 1974 , as amended, and the regulations promulgated thereunder from time to time.", "ner": [[3, 9, "Act"]], "tokenized_text": ["ERISA", ":", "The", "Employee", "Retirement", "Income", "Security", "Act", "of", "1974", ",", "as", "amended", ",", "and", "the", "regulations", "promulgated", "thereunder", "from", "time", "to", "time", "."]}
{"id": "14514", "text": "FDIA: The Federal Deposit Insurance Act of 1933 , as amended from time to time, and the regulations promulgated pursuant thereto.", "ner": [[3, 8, "Act"]], "tokenized_text": ["FDIA", ":", "The", "Federal", "Deposit", "Insurance", "Act", "of", "1933", ",", "as", "amended", "from", "time", "to", "time", ",", "and", "the", "regulations", "promulgated", "pursuant", "thereto", "."]}
{"id": "14517", "text": "(g)money market funds that (i) comply with the criteria set forth in Securities and Exchange Commission Rule 2a-7 under the Investment Company Act of 1940 , (ii) are rated AAA by S&amp;P and Aaa by Moodys and (iii) have portfolio assets of at least $5,000,000,000.", "ner": [[17, 22, "Regulation"], [25, 29, "Act"], [57, 64, "Principal"]], "tokenized_text": ["(", "g", ")", "money", "market", "funds", "that", "(", "i", ")", "comply", "with", "the", "criteria", "set", "forth", "in", "Securities", "and", "Exchange", "Commission", "Rule", "2a-7", "under", "the", "Investment", "Company", "Act", "of", "1940", ",", "(", "ii", ")", "are", "rated", "AAA", "by", "S", "&", "amp", ";", "P", "and", "Aaa", "by", "Moodys", "and", "(", "iii", ")", "have", "portfolio", "assets", "of", "at", "least", "$", "5", ",", "000", ",", "000", ",", "000", "."]}
{"id": "14523", "text": "(e) USA Patriot Act. Promptly upon the request thereof, to the extent not prohibited by law, such other information and documentation required by Bank Regulatory Authorities under applicable know your customer and Anti-Money Laundering rules and regulations (including, without limitation, the USA Patriot Act ( Title III of Pub. L. 107-56 (signed into law October 26, 2001)), as amended), as from time to time reasonably requested by the Lender.", "ner": [[3, 5, "Act"], [56, 60, "Regulation"], [65, 68, "EffectiveDate"]], "tokenized_text": ["(", "e", ")", "USA", "Patriot", "Act", ".", "Promptly", "upon", "the", "request", "thereof", ",", "to", "the", "extent", "not", "prohibited", "by", "law", ",", "such", "other", "information", "and", "documentation", "required", "by", "Bank", "Regulatory", "Authorities", "under", "applicable", "know", "your", "customer", "and", "Anti-Money", "Laundering", "rules", "and", "regulations", "(", "including", ",", "without", "limitation", ",", "the", "USA", "Patriot", "Act", "(", "Title", "III", "of", "Pub", ".", "L", ".", "107-56", "(", "signed", "into", "law", "October", "26", ",", "2001", ")", ")", ",", "as", "amended", ")", ",", "as", "from", "time", "to", "time", "reasonably", "requested", "by", "the", "Lender", "."]}
{"id": "14524", "text": "FROM THE CLOSING DATE THROUGH THE DATE THAT IS THREE (3) YEARS FOLLOWING THE FULL SATISFACTION OF THE OBLIGATIONS HEREUNDER, BORROWER SHALL INDEMNIFY LENDER AND ITS RESPECTIVE OFFICERS, DIRECTORS, EMPLOYEES AND CONSULTANTS (EACH, AN INDEMNIFIED PARTY) AND DEFEND AND HOLD EACH INDEMNIFIED PARTY HARMLESS FROM AND AGAINST ALL CLAIMS ( INCLUDING, WITHOUT LIMITATION, ANY CIVIL PENALTIES OR FINES ASSESSED BY OFAC ), INJURY, DAMAGE, LOSS AND LIABILITY, COST AND EXPENSE (INCLUDING ATTORNEYS FEES, COSTS AND EXPENSES) OF ANY AND EVERY KIND TO ANY PERSONS OR PROPERTY BY REASON OF (I) ANY BREACH OF REPRESENTATION OR WARRANTY, DEFAULT OR EVENT OF DEFAULT UNDER THIS AGREEMENT OR ANY OTHER LOAN DOCUMENT OR RELATED DOCUMENT; OR (II) ANY OTHER MATTER ARISING IN CONNECTION WITH THE LOANS, BORROWER, OR ITS SUBSIDIARIES THAT MAY ARISE ANY TIME PRIOR TO THE DATE THAT THE LOANS AND THE OTHER OBLIGATIONS OWED HEREUNDER ARE PAID IN FULL ~~. ~~ ~~BORROWER S DUTY TO INDEMNIFY, HOLD HARMLESS, AND DEFEND THE INDEMNIFIED PARTIES AGAINST LOSSES EXTENDS TO LOSS THAT MAY BE CAUSED OR ALLEGED TO BE CAUSED IN PART BY THE NEGLIGENCE OF INDEMNITEES TO THE FULLESTEXTENTTHATSUCH INDEMNIFICATION IS PERMITTED BY APPLICABLE LAW~~.THE FOREGOING INDEMNIFICATION SHALL SURVIVE REPAYMENT OF THE LOANS.", "ner": [], "tokenized_text": ["FROM", "THE", "CLOSING", "DATE", "THROUGH", "THE", "DATE", "THAT", "IS", "THREE", "(", "3", ")", "YEARS", "FOLLOWING", "THE", "FULL", "SATISFACTION", "OF", "THE", "OBLIGATIONS", "HEREUNDER", ",", "BORROWER", "SHALL", "INDEMNIFY", "LENDER", "AND", "ITS", "RESPECTIVE", "OFFICERS", ",", "DIRECTORS", ",", "EMPLOYEES", "AND", "CONSULTANTS", "(", "EACH", ",", "AN", "INDEMNIFIED", "PARTY", ")", "AND", "DEFEND", "AND", "HOLD", "EACH", "INDEMNIFIED", "PARTY", "HARMLESS", "FROM", "AND", "AGAINST", "ALL", "CLAIMS", "(", "INCLUDING", ",", "WITHOUT", "LIMITATION", ",", "ANY", "CIVIL", "PENALTIES", "OR", "FINES", "ASSESSED", "BY", "OFAC", ")", ",", "INJURY", ",", "DAMAGE", ",", "LOSS", "AND", "LIABILITY", ",", "COST", "AND", "EXPENSE", "(", "INCLUDING", "ATTORNEYS", "FEES", ",", "COSTS", "AND", "EXPENSES", ")", "OF", "ANY", "AND", "EVERY", "KIND", "TO", "ANY", "PERSONS", "OR", "PROPERTY", "BY", "REASON", "OF", "(", "I", ")", "ANY", "BREACH", "OF", "REPRESENTATION", "OR", "WARRANTY", ",", "DEFAULT", "OR", "EVENT", "OF", "DEFAULT", "UNDER", "THIS", "AGREEMENT", "OR", "ANY", "OTHER", "LOAN", "DOCUMENT", "OR", "RELATED", "DOCUMENT", ";", "OR", "(", "II", ")", "ANY", "OTHER", "MATTER", "ARISING", "IN", "CONNECTION", "WITH", "THE", "LOANS", ",", "BORROWER", ",", "OR", "ITS", "SUBSIDIARIES", "THAT", "MAY", "ARISE", "ANY", "TIME", "PRIOR", "TO", "THE", "DATE", "THAT", "THE", "LOANS", "AND", "THE", "OTHER", "OBLIGATIONS", "OWED", "HEREUNDER", "ARE", "PAID", "IN", "FULL", "~", "~", ".", "~", "~", "~", "~", "BORROWER", "S", "DUTY", "TO", "INDEMNIFY", ",", "HOLD", "HARMLESS", ",", "AND", "DEFEND", "THE", "INDEMNIFIED", "PARTIES", "AGAINST", "LOSSES", "EXTENDS", "TO", "LOSS", "THAT", "MAY", "BE", "CAUSED", "OR", "ALLEGED", "TO", "BE", "CAUSED", "IN", "PART", "BY", "THE", "NEGLIGENCE", "OF", "INDEMNITEES", "TO", "THE", "FULLESTEXTENTTHATSUCH", "INDEMNIFICATION", "IS", "PERMITTED", "BY", "APPLICABLE", "LAW", "~", "~", ".", "THE", "FOREGOING", "INDEMNIFICATION", "SHALL", "SURVIVE", "REPAYMENT", "OF", "THE", "LOANS", "."]}
{"id": "14528", "text": "(p)Without limiting the generality of Section 15.1(o), the appointment of a conservator or receiver for ~~any Subsidiary of Borrower that is an insured depository institution as defined in the FDIA ( 12 U.S.C. 1813 (c)(2)),~~ ~~~~by any appropriate Federal banking agency as defined in the FDIA ( 12 U.S.C. 1813 (q)), by any state supervisory agency or by the FDIC or any successor thereto pursuant to the FDIA; or the organization of a bridge bank to purchase assets and assume liabilities of such Subsidiary pursuant to the FDIA; or the provision of any form of assistance to ~~any such Subsidiary~~ ~~~~ by the FDIC pursuant to the FDIA or other Governmental Authority.", "ner": [[42, 49, "Regulation"], [76, 83, "Regulation"]], "tokenized_text": ["(", "p", ")", "Without", "limiting", "the", "generality", "of", "Section", "15", ".", "1", "(", "o", ")", ",", "the", "appointment", "of", "a", "conservator", "or", "receiver", "for", "~", "~", "any", "Subsidiary", "of", "Borrower", "that", "is", "an", "insured", "depository", "institution", "as", "defined", "in", "the", "FDIA", "(", "12", "U", ".", "S", ".", "C", ".", "1813", "(", "c", ")", "(", "2", ")", ")", ",", "~", "~", "~", "~", "~", "~", "by", "any", "appropriate", "Federal", "banking", "agency", "as", "defined", "in", "the", "FDIA", "(", "12", "U", ".", "S", ".", "C", ".", "1813", "(", "q", ")", ")", ",", "by", "any", "state", "supervisory", "agency", "or", "by", "the", "FDIC", "or", "any", "successor", "thereto", "pursuant", "to", "the", "FDIA", ";", "or", "the", "organization", "of", "a", "bridge", "bank", "to", "purchase", "assets", "and", "assume", "liabilities", "of", "such", "Subsidiary", "pursuant", "to", "the", "FDIA", ";", "or", "the", "provision", "of", "any", "form", "of", "assistance", "to", "~", "~", "any", "such", "Subsidiary", "~", "~", "~", "~", "~", "~", "by", "the", "FDIC", "pursuant", "to", "the", "FDIA", "or", "other", "Governmental", "Authority", "."]}
{"id": "14529", "text": "TO THE GREATEST EXTENT PERMITTED BY LAW, BORROWER HEREBY WAIVES ANY AND ALL RIGHTS TO REQUIRE MARSHALLING OF ASSETS BY LENDER. WITH RESPECT TO ANY SUIT, ACTION OR PROCEEDINGS RELATING TO THIS AGREEMENT (EACH, A PROCEEDING), BORROWER IRREVOCABLY (A) SUBMITS TO THE NON-EXCLUSIVE JURISDICTION OF THE STATE AND FEDERAL COURTS HAVING JURISDICTION IN THE CITY OF DALLAS, COUNTY OF DALLAS AND STATE OF TEXAS, AND (B) WAIVES ANY OBJECTION WHICH IT MAY HAVE AT ANY TIME TO THE LAYING OF VENUE OF ANY PROCEEDING BROUGHT IN ANY SUCH COURT, WAIVES ANY CLAIM THAT ANY PROCEEDING HAS BEEN BROUGHT IN AN INCONVENIENT FORUM AND FURTHER WAIVES THE RIGHT TO OBJECT, WITH RESPECT TO SUCH PROCEEDING, THAT SUCH COURT DOES NOT HAVE JURISDICTION OVER SUCH PARTY.NOTHING IN THIS AGREEMENT SHALL PRECLUDE LENDER FROM BRINGING A PROCEEDING IN ANY OTHER JURISDICTION NOR WILL THE BRINGING OF A PROCEEDING IN ANY ONE OR MORE JURISDICTIONS PRECLUDE THE BRINGING OF A", "ner": [[63, 65, "Court"], [67, 69, "Court"], [71, 73, "Court"]], "tokenized_text": ["TO", "THE", "GREATEST", "EXTENT", "PERMITTED", "BY", "LAW", ",", "BORROWER", "HEREBY", "WAIVES", "ANY", "AND", "ALL", "RIGHTS", "TO", "REQUIRE", "MARSHALLING", "OF", "ASSETS", "BY", "LENDER", ".", "WITH", "RESPECT", "TO", "ANY", "SUIT", ",", "ACTION", "OR", "PROCEEDINGS", "RELATING", "TO", "THIS", "AGREEMENT", "(", "EACH", ",", "A", "PROCEEDING", ")", ",", "BORROWER", "IRREVOCABLY", "(", "A", ")", "SUBMITS", "TO", "THE", "NON-EXCLUSIVE", "JURISDICTION", "OF", "THE", "STATE", "AND", "FEDERAL", "COURTS", "HAVING", "JURISDICTION", "IN", "THE", "CITY", "OF", "DALLAS", ",", "COUNTY", "OF", "DALLAS", "AND", "STATE", "OF", "TEXAS", ",", "AND", "(", "B", ")", "WAIVES", "ANY", "OBJECTION", "WHICH", "IT", "MAY", "HAVE", "AT", "ANY", "TIME", "TO", "THE", "LAYING", "OF", "VENUE", "OF", "ANY", "PROCEEDING", "BROUGHT", "IN", "ANY", "SUCH", "COURT", ",", "WAIVES", "ANY", "CLAIM", "THAT", "ANY", "PROCEEDING", "HAS", "BEEN", "BROUGHT", "IN", "AN", "INCONVENIENT", "FORUM", "AND", "FURTHER", "WAIVES", "THE", "RIGHT", "TO", "OBJECT", ",", "WITH", "RESPECT", "TO", "SUCH", "PROCEEDING", ",", "THAT", "SUCH", "COURT", "DOES", "NOT", "HAVE", "JURISDICTION", "OVER", "SUCH", "PARTY", ".", "NOTHING", "IN", "THIS", "AGREEMENT", "SHALL", "PRECLUDE", "LENDER", "FROM", "BRINGING", "A", "PROCEEDING", "IN", "ANY", "OTHER", "JURISDICTION", "NOR", "WILL", "THE", "BRINGING", "OF", "A", "PROCEEDING", "IN", "ANY", "ONE", "OR", "MORE", "JURISDICTIONS", "PRECLUDE", "THE", "BRINGING", "OF", "A"]}
{"id": "14530", "text": "PROCEEDING IN ANY OTHER JURISDICTION.BORROWER FURTHER AGREES AND CONSENTS THAT, IN ADDITION TO ANY METHODS OF SERVICE OF PROCESS PROVIDED FOR UNDER APPLICABLE LAW, ALL SERVICE OF PROCESS IN ANY PROCEEDING IN ANY TEXAS STATE OR UNITED STATES COURT SITTING IN THE CITY OF DALLAS AND COUNTY OF DALLAS MAY BE MADE BY CERTIFIED OR REGISTERED MAIL, RETURN RECEIPT REQUESTED, DIRECTED TO BORROWER AT THE ADDRESS INDICATED BELOW, AND SERVICE SO MADE SHALL BE COMPLETE UPON RECEIPT; EXCEPT THAT IF BORROWER SHALL REFUSE TO ACCEPT DELIVERY, SERVICE SHALL BE DEEMED COMPLETE FIVE (5) DAYS AFTER THE SAME SHALL HAVE BEEN SO MAILED.", "ner": [[37, 38, "Court"], [40, 41, "Court"], [46, 52, "Court"]], "tokenized_text": ["PROCEEDING", "IN", "ANY", "OTHER", "JURISDICTION", ".", "BORROWER", "FURTHER", "AGREES", "AND", "CONSENTS", "THAT", ",", "IN", "ADDITION", "TO", "ANY", "METHODS", "OF", "SERVICE", "OF", "PROCESS", "PROVIDED", "FOR", "UNDER", "APPLICABLE", "LAW", ",", "ALL", "SERVICE", "OF", "PROCESS", "IN", "ANY", "PROCEEDING", "IN", "ANY", "TEXAS", "STATE", "OR", "UNITED", "STATES", "COURT", "SITTING", "IN", "THE", "CITY", "OF", "DALLAS", "AND", "COUNTY", "OF", "DALLAS", "MAY", "BE", "MADE", "BY", "CERTIFIED", "OR", "REGISTERED", "MAIL", ",", "RETURN", "RECEIPT", "REQUESTED", ",", "DIRECTED", "TO", "BORROWER", "AT", "THE", "ADDRESS", "INDICATED", "BELOW", ",", "AND", "SERVICE", "SO", "MADE", "SHALL", "BE", "COMPLETE", "UPON", "RECEIPT", ";", "EXCEPT", "THAT", "IF", "BORROWER", "SHALL", "REFUSE", "TO", "ACCEPT", "DELIVERY", ",", "SERVICE", "SHALL", "BE", "DEEMED", "COMPLETE", "FIVE", "(", "5", ")", "DAYS", "AFTER", "THE", "SAME", "SHALL", "HAVE", "BEEN", "SO", "MAILED", "."]}
{"id": "14531", "text": "2515 McKinney Avenue, Suite 1100", "ner": [[0, 5, "Address"]], "tokenized_text": ["2515", "McKinney", "Avenue", ",", "Suite", "1100"]}
{"id": "14533", "text": "THIS WRITTEN AGREEMENT REPRESENTS THE FINAL AGREEMENT BETWEEN THE PARTIES AND MAY NOT BE CONTRADICTED BY EVIDENCE OF PRIOR, CONTEMPORANEOUS, OR SUBSEQUENT ORAL AGREEMENTS OF THE PARTIES. THERE ARE NO UNWRITTEN ORAL AGREEMENTS BETWEEN THE PARTIES.", "ner": [], "tokenized_text": ["THIS", "WRITTEN", "AGREEMENT", "REPRESENTS", "THE", "FINAL", "AGREEMENT", "BETWEEN", "THE", "PARTIES", "AND", "MAY", "NOT", "BE", "CONTRADICTED", "BY", "EVIDENCE", "OF", "PRIOR", ",", "CONTEMPORANEOUS", ",", "OR", "SUBSEQUENT", "ORAL", "AGREEMENTS", "OF", "THE", "PARTIES", ".", "THERE", "ARE", "NO", "UNWRITTEN", "ORAL", "AGREEMENTS", "BETWEEN", "THE", "PARTIES", "."]}
{"id": "14534", "text": "EX-10.2 6 xplosion_ex102.htm INTEREST BEARING LOAN AGREEMENT", "ner": [[7, 10, "Title"]], "tokenized_text": ["EX-10", ".", "2", "6", "xplosion_ex102", ".", "htm", "INTEREST", "BEARING", "LOAN", "AGREEMENT"]}
{"id": "14538", "text": "4.1 Events of Default. The occurrence of an Event of Default is defined (Event of Default) as the payment of the loan and interest in Full not being made to the Lender by the Borrower on or before the Maturity Date of January 31, 2017 , defined herein.", "ner": [[47, 50, "TerminationDate"]], "tokenized_text": ["4", ".", "1", "Events", "of", "Default", ".", "The", "occurrence", "of", "an", "Event", "of", "Default", "is", "defined", "(", "Event", "of", "Default", ")", "as", "the", "payment", "of", "the", "loan", "and", "interest", "in", "Full", "not", "being", "made", "to", "the", "Lender", "by", "the", "Borrower", "on", "or", "before", "the", "Maturity", "Date", "of", "January", "31", ",", "2017", ",", "defined", "herein", "."]}
{"id": "14539", "text": "THIS LOAN AGREEMENT (this Agreement), is made as of the 7th day of February, 2017 , by and between KRIEGER ENTERPRISES, LLC (the Borrower), and ASPIRITY FINANCIAL, LLC (the Lender).", "ner": [[1, 2, "Title"], [13, 18, "EffectiveDate"], [23, 26, "Parties"], [33, 36, "Parties"]], "tokenized_text": ["THIS", "LOAN", "AGREEMENT", "(", "this", "Agreement", ")", ",", "is", "made", "as", "of", "the", "7th", "day", "of", "February", ",", "2017", ",", "by", "and", "between", "KRIEGER", "ENTERPRISES", ",", "LLC", "(", "the", "Borrower", ")", ",", "and", "ASPIRITY", "FINANCIAL", ",", "LLC", "(", "the", "Lender", ")", "."]}
{"id": "14540", "text": "WHEREAS, the Borrower has requested the Lender to extend a loan in the original principal amount of One Million and 00/100 Dollars ( $1,000,000.00 ) to provide working capital for Borrower; and", "ner": [[26, 33, "Principal"]], "tokenized_text": ["WHEREAS", ",", "the", "Borrower", "has", "requested", "the", "Lender", "to", "extend", "a", "loan", "in", "the", "original", "principal", "amount", "of", "One", "Million", "and", "00", "/", "100", "Dollars", "(", "$", "1", ",", "000", ",", "000", ".", "00", ")", "to", "provide", "working", "capital", "for", "Borrower", ";", "and"]}
{"id": "14541", "text": "1.| LOAN. On the date hereof, the Lender has made a loan to the Borrower in the original principal amount of One Million and 00/100 Dollars ( $1,000,000.00 ) (the Loan). ---|---", "ner": [[33, 40, "Principal"]], "tokenized_text": ["1", ".", "|", "LOAN", ".", "On", "the", "date", "hereof", ",", "the", "Lender", "has", "made", "a", "loan", "to", "the", "Borrower", "in", "the", "original", "principal", "amount", "of", "One", "Million", "and", "00", "/", "100", "Dollars", "(", "$", "1", ",", "000", ",", "000", ".", "00", ")", "(", "the", "Loan", ")", ".", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "14545", "text": "| D.| Financial Condition . The financial statements of the Borrower and the Guarantor heretofore furnished to the Lender are complete and correct in all material respects and fairly present the respective financial condition of the Borrower and the Guarantor at the dates of such statements. Since the most recent set of financial statements delivered by the Borrower and the Guarantor to the Lender, there have been no material adverse changes in the financial condition of the Borrower or the Guarantor. ---|---|---", "ner": [], "tokenized_text": ["|", "D", ".", "|", "Financial", "Condition", ".", "The", "financial", "statements", "of", "the", "Borrower", "and", "the", "Guarantor", "heretofore", "furnished", "to", "the", "Lender", "are", "complete", "and", "correct", "in", "all", "material", "respects", "and", "fairly", "present", "the", "respective", "financial", "condition", "of", "the", "Borrower", "and", "the", "Guarantor", "at", "the", "dates", "of", "such", "statements", ".", "Since", "the", "most", "recent", "set", "of", "financial", "statements", "delivered", "by", "the", "Borrower", "and", "the", "Guarantor", "to", "the", "Lender", ",", "there", "have", "been", "no", "material", "adverse", "changes", "in", "the", "financial", "condition", "of", "the", "Borrower", "or", "the", "Guarantor", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "14546", "text": "| A.| the Borrower or the Guarantor shall fail to pay when due any amounts required to be paid by the Borrower under the Note or any other indebtedness of the Borrower or the Guarantor to the Lender or any third party (including but not limited to that certain Term Loan Agreement dated July1, 2015, as amended between Borrower and Lender), whether any such indebtedness is now existing or hereafter arises and whether direct or indirect, due or to become due, absolute or contingent, primary or secondary or joint or joint and several; ---|---|---", "ner": [[52, 54, "Title"], [56, 58, "EffectiveDate"]], "tokenized_text": ["|", "A", ".", "|", "the", "Borrower", "or", "the", "Guarantor", "shall", "fail", "to", "pay", "when", "due", "any", "amounts", "required", "to", "be", "paid", "by", "the", "Borrower", "under", "the", "Note", "or", "any", "other", "indebtedness", "of", "the", "Borrower", "or", "the", "Guarantor", "to", "the", "Lender", "or", "any", "third", "party", "(", "including", "but", "not", "limited", "to", "that", "certain", "Term", "Loan", "Agreement", "dated", "July1", ",", "2015", ",", "as", "amended", "between", "Borrower", "and", "Lender", ")", ",", "whether", "any", "such", "indebtedness", "is", "now", "existing", "or", "hereafter", "arises", "and", "whether", "direct", "or", "indirect", ",", "due", "or", "to", "become", "due", ",", "absolute", "or", "contingent", ",", "primary", "or", "secondary", "or", "joint", "or", "joint", "and", "several", ";", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "14547", "text": "| B.| the Borrower or the Guarantor shall fail to observe or perform any of the other covenants, conditions or agreements to be observed or performed by it or him under the Loan Documents or any credit or similar agreement between the Borrower or the Guarantor and the Lender (including but not limited to that certain Term Loan Agreement dated July1, 2015, as amended between Borrower and Lender) for a period of five (5) days after written notice, specifying such default and requesting that it be remedied, given to such party by the Lender; ---|---|---", "ner": [[60, 62, "Title"], [64, 66, "EffectiveDate"]], "tokenized_text": ["|", "B", ".", "|", "the", "Borrower", "or", "the", "Guarantor", "shall", "fail", "to", "observe", "or", "perform", "any", "of", "the", "other", "covenants", ",", "conditions", "or", "agreements", "to", "be", "observed", "or", "performed", "by", "it", "or", "him", "under", "the", "Loan", "Documents", "or", "any", "credit", "or", "similar", "agreement", "between", "the", "Borrower", "or", "the", "Guarantor", "and", "the", "Lender", "(", "including", "but", "not", "limited", "to", "that", "certain", "Term", "Loan", "Agreement", "dated", "July1", ",", "2015", ",", "as", "amended", "between", "Borrower", "and", "Lender", ")", "for", "a", "period", "of", "five", "(", "5", ")", "days", "after", "written", "notice", ",", "specifying", "such", "default", "and", "requesting", "that", "it", "be", "remedied", ",", "given", "to", "such", "party", "by", "the", "Lender", ";", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "14548", "text": "16233 Kenyon Avenue, Suite 210", "ner": [[0, 5, "Address"]], "tokenized_text": ["16233", "Kenyon", "Avenue", ",", "Suite", "210"]}
{"id": "14551", "text": "THIS LOAN AGREEMENT (sometimes hereinafter referred to as Date), by and between WSI INDUSTRIES, INC. , a Minnesota corporation (hereinafter referred Loan Agreement) made effective as of this 15th day of February, 2017 (the Effective to as Borrower), and TRADITION CAPITAL BANK , a Minnesota state banking corporation (hereinafter referred to as Lender).", "ner": [[1, 2, "Title"], [15, 19, "Parties"], [27, 28, "Title"], [35, 40, "EffectiveDate"], [50, 52, "Parties"]], "tokenized_text": ["THIS", "LOAN", "AGREEMENT", "(", "sometimes", "hereinafter", "referred", "to", "as", "Date", ")", ",", "by", "and", "between", "WSI", "INDUSTRIES", ",", "INC", ".", ",", "a", "Minnesota", "corporation", "(", "hereinafter", "referred", "Loan", "Agreement", ")", "made", "effective", "as", "of", "this", "15th", "day", "of", "February", ",", "2017", "(", "the", "Effective", "to", "as", "Borrower", ")", ",", "and", "TRADITION", "CAPITAL", "BANK", ",", "a", "Minnesota", "state", "banking", "corporation", "(", "hereinafter", "referred", "to", "as", "Lender", ")", "."]}
{"id": "14554", "text": "2.Commitment of Lender. So long as there exists no Event of Default hereunder and no event has occurred which would be an Event of Default with the giving of notice or lapse of time or both, and subject to all other terms and conditions hereof, the Lender shall lend to the Borrower and Borrower may borrow from the Lender against the Note for the account of Borrower up to the amount of $1,500,000.00 . The Borrower and Lender acknowledge and agree that the Note shall be revolving and that any payments by Borrower applied to the principal balance of the Note may be re-drawn by Borrower.", "ner": [[77, 84, "Principal"]], "tokenized_text": ["2", ".", "Commitment", "of", "Lender", ".", "So", "long", "as", "there", "exists", "no", "Event", "of", "Default", "hereunder", "and", "no", "event", "has", "occurred", "which", "would", "be", "an", "Event", "of", "Default", "with", "the", "giving", "of", "notice", "or", "lapse", "of", "time", "or", "both", ",", "and", "subject", "to", "all", "other", "terms", "and", "conditions", "hereof", ",", "the", "Lender", "shall", "lend", "to", "the", "Borrower", "and", "Borrower", "may", "borrow", "from", "the", "Lender", "against", "the", "Note", "for", "the", "account", "of", "Borrower", "up", "to", "the", "amount", "of", "$", "1", ",", "500", ",", "000", ".", "00", ".", "The", "Borrower", "and", "Lender", "acknowledge", "and", "agree", "that", "the", "Note", "shall", "be", "revolving", "and", "that", "any", "payments", "by", "Borrower", "applied", "to", "the", "principal", "balance", "of", "the", "Note", "may", "be", "re-drawn", "by", "Borrower", "."]}
{"id": "14556", "text": "4.Affirmative Covenants. The Borrower covenants and agrees with Lender that so long as any amount remains unpaid on the Note, Borrower will:", "ner": [], "tokenized_text": ["4", ".", "Affirmative", "Covenants", ".", "The", "Borrower", "covenants", "and", "agrees", "with", "Lender", "that", "so", "long", "as", "any", "amount", "remains", "unpaid", "on", "the", "Note", ",", "Borrower", "will", ":"]}
{"id": "14559", "text": "| (a) | Borrower hereby covenants and agrees that: (i) no Related Entity will be included in, owned by, controlled by, act for or on behalf of, provide assistance, support, sponsorship, or services of any kind to, or otherwise associated with any of the persons referred to or described in any list of persons, entities, and governments issued by OFAC pursuant to Executive Order 13224 or any other OFAC Lists; and (ii) none of the Related Entities will be controlled by, act for or on behalf of, provide assistance, support, sponsorship, or services of any kind to, or otherwise associate with any of the persons referred to or described in any list of persons, entities, and governments issued by OFAC pursuant to Executive Order 13224 , or any other OFAC lists. ---|---|--- | | | (b) | Borrower hereby covenants and agrees that it will comply at all times with the requirements of Executive Order 13224; the International Emergency Economic Powers Act, 50 U.S.C. Section 1701-06; the United and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism Act of 2001 , Pub. L. 107-56 ; the Iraqi Sanctions Act, Pub. L. 101-513 , 104 Stat. 2047-55 ; the United Nations Participation Act, 22 U.S. C. Section 287c; the Antiterrorism and Effective Death Penalty Act, ( enacting 8 U.S.C. Section 219 , 18 U.S.C. Section 2332d , and 18 U.S.C. Section 2339b ); the International Security and Development Cooperation Act, 22 U.S.C. Section 2349 aa-9; the Terrorism Sanctions Regulations, 31 C.F.R. Part 595; the Terrorism List Government Sanctions Regulations, 31 C.F.R. Part 596; and the Foreign Terrorist Organizations Sanctions Regulations, 31 C.F.R. Part 597 and any similar laws or regulation currently in force or hereafter enacted (collectively, the Anti-Terrorism Regulations).", "ner": [[77, 79, "Regulation"], [197, 201, "Act"], [203, 211, "Regulation"], [226, 230, "Act"], [232, 236, "Regulation"], [239, 241, "Act"], [243, 247, "Regulation"], [249, 252, "Regulation"], [255, 258, "Act"], [260, 268, "Regulation"], [271, 276, "Act"], [280, 288, "Regulation"], [290, 298, "Regulation"], [301, 309, "Regulation"], [313, 318, "Act"], [320, 329, "Regulation"], [332, 334, "Regulation"], [336, 344, "Regulation"], [347, 351, "Regulation"], [353, 361, "Regulation"], [365, 369, "Regulation"], [371, 379, "Regulation"], [396, 397, "Regulation"]], "tokenized_text": ["|", "(", "a", ")", "|", "Borrower", "hereby", "covenants", "and", "agrees", "that", ":", "(", "i", ")", "no", "Related", "Entity", "will", "be", "included", "in", ",", "owned", "by", ",", "controlled", "by", ",", "act", "for", "or", "on", "behalf", "of", ",", "provide", "assistance", ",", "support", ",", "sponsorship", ",", "or", "services", "of", "any", "kind", "to", ",", "or", "otherwise", "associated", "with", "any", "of", "the", "persons", "referred", "to", "or", "described", "in", "any", "list", "of", "persons", ",", "entities", ",", "and", "governments", "issued", "by", "OFAC", "pursuant", "to", "Executive", "Order", "13224", "or", "any", "other", "OFAC", "Lists", ";", "and", "(", "ii", ")", "none", "of", "the", "Related", "Entities", "will", "be", "controlled", "by", ",", "act", "for", "or", "on", "behalf", "of", ",", "provide", "assistance", ",", "support", ",", "sponsorship", ",", "or", "services", "of", "any", "kind", "to", ",", "or", "otherwise", "associate", "with", "any", "of", "the", "persons", "referred", "to", "or", "described", "in", "any", "list", "of", "persons", ",", "entities", ",", "and", "governments", "issued", "by", "OFAC", "pursuant", "to", "Executive", "Order", "13224", ",", "or", "any", "other", "OFAC", "lists", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "|", "|", "(", "b", ")", "|", "Borrower", "hereby", "covenants", "and", "agrees", "that", "it", "will", "comply", "at", "all", "times", "with", "the", "requirements", "of", "Executive", "Order", "13224", ";", "the", "International", "Emergency", "Economic", "Powers", "Act", ",", "50", "U", ".", "S", ".", "C", ".", "Section", "1701-06", ";", "the", "United", "and", "Strengthening", "America", "by", "Providing", "Appropriate", "Tools", "Required", "to", "Intercept", "and", "Obstruct", "Terrorism", "Act", "of", "2001", ",", "Pub", ".", "L", ".", "107-56", ";", "the", "Iraqi", "Sanctions", "Act", ",", "Pub", ".", "L", ".", "101-513", ",", "104", "Stat", ".", "2047-55", ";", "the", "United", "Nations", "Participation", "Act", ",", "22", "U", ".", "S", ".", "C", ".", "Section", "287c", ";", "the", "Antiterrorism", "and", "Effective", "Death", "Penalty", "Act", ",", "(", "enacting", "8", "U", ".", "S", ".", "C", ".", "Section", "219", ",", "18", "U", ".", "S", ".", "C", ".", "Section", "2332d", ",", "and", "18", "U", ".", "S", ".", "C", ".", "Section", "2339b", ")", ";", "the", "International", "Security", "and", "Development", "Cooperation", "Act", ",", "22", "U", ".", "S", ".", "C", ".", "Section", "2349", "aa-9", ";", "the", "Terrorism", "Sanctions", "Regulations", ",", "31", "C", ".", "F", ".", "R", ".", "Part", "595", ";", "the", "Terrorism", "List", "Government", "Sanctions", "Regulations", ",", "31", "C", ".", "F", ".", "R", ".", "Part", "596", ";", "and", "the", "Foreign", "Terrorist", "Organizations", "Sanctions", "Regulations", ",", "31", "C", ".", "F", ".", "R", ".", "Part", "597", "and", "any", "similar", "laws", "or", "regulation", "currently", "in", "force", "or", "hereafter", "enacted", "(", "collectively", ",", "the", "Anti-Terrorism", "Regulations", ")", "."]}
{"id": "14561", "text": "Pursuant to that certain Loan Agreement dated February 15, 2017, by and between the WSI INDUSTRIES, INC. , a Minnesota corporation (Borrower) and Lender, and any amendments thereto and extensions thereof (Loan Agreement), the undersigned hereby:", "ner": [[4, 5, "Title"], [7, 10, "EffectiveDate"], [16, 20, "Parties"], [39, 40, "Title"]], "tokenized_text": ["Pursuant", "to", "that", "certain", "Loan", "Agreement", "dated", "February", "15", ",", "2017", ",", "by", "and", "between", "the", "WSI", "INDUSTRIES", ",", "INC", ".", ",", "a", "Minnesota", "corporation", "(", "Borrower", ")", "and", "Lender", ",", "and", "any", "amendments", "thereto", "and", "extensions", "thereof", "(", "Loan", "Agreement", ")", ",", "the", "undersigned", "hereby", ":"]}
{"id": "14564", "text": "2. Title, Duties and Responsibilities. While Executive is employed by the Company, Executive will serve as the Chief Financial Officer of OptiNose,Inc. and will report to the Chief Executive Officer of OptiNose,Inc. Executive will have such duties and responsibilities that are commensurate with Executives position and such other duties and responsibilities as are from time to time assigned to Executive by the Chief Executive Officer or the Board of Directors of the OptiNose,Inc. (the Board). While Executive is employed by the Company, Executive will devote Executives full business time, energy and skill to the performance of Executives duties and responsibilities hereunder. Executive will not be permitted to engage in other activities that interfere with Executives performance of his duties under this Agreement, conflict with the business of the Company or violate any provisions of Section8 herein. Executive shall, if requested by the Board, also serve as an officer or director of any affiliate of the Company for no additional compensation. Executives place of employment will be the Companys offices in Yardley, Pennsylvania.", "ner": [[21, 23, "Role"], [25, 28, "Parties"], [34, 36, "Role"], [38, 41, "Parties"], [72, 74, "Role"], [82, 85, "Parties"], [194, 196, "Address"]], "tokenized_text": ["2", ".", "Title", ",", "Duties", "and", "Responsibilities", ".", "While", "Executive", "is", "employed", "by", "the", "Company", ",", "Executive", "will", "serve", "as", "the", "Chief", "Financial", "Officer", "of", "OptiNose", ",", "Inc", ".", "and", "will", "report", "to", "the", "Chief", "Executive", "Officer", "of", "OptiNose", ",", "Inc", ".", "Executive", "will", "have", "such", "duties", "and", "responsibilities", "that", "are", "commensurate", "with", "Executives", "position", "and", "such", "other", "duties", "and", "responsibilities", "as", "are", "from", "time", "to", "time", "assigned", "to", "Executive", "by", "the", "Chief", "Executive", "Officer", "or", "the", "Board", "of", "Directors", "of", "the", "OptiNose", ",", "Inc", ".", "(", "the", "Board", ")", ".", "While", "Executive", "is", "employed", "by", "the", "Company", ",", "Executive", "will", "devote", "Executives", "full", "business", "time", ",", "energy", "and", "skill", "to", "the", "performance", "of", "Executives", "duties", "and", "responsibilities", "hereunder", ".", "Executive", "will", "not", "be", "permitted", "to", "engage", "in", "other", "activities", "that", "interfere", "with", "Executives", "performance", "of", "his", "duties", "under", "this", "Agreement", ",", "conflict", "with", "the", "business", "of", "the", "Company", "or", "violate", "any", "provisions", "of", "Section8", "herein", ".", "Executive", "shall", ",", "if", "requested", "by", "the", "Board", ",", "also", "serve", "as", "an", "officer", "or", "director", "of", "any", "affiliate", "of", "the", "Company", "for", "no", "additional", "compensation", ".", "Executives", "place", "of", "employment", "will", "be", "the", "Companys", "offices", "in", "Yardley", ",", "Pennsylvania", "."]}
{"id": "14565", "text": "(ii) provided Executive and his eligible dependents timely and properly elect to continue health care coverage under the Consolidated Omnibus Reconciliation Act of 1985 (COBRA), continued participation by Executive and Executives eligible dependents in the standard group medical, dental and vision plans of the Company as in effect from time to time, on substantially the same terms and conditions as such benefits are provided to employees during the applicable period, and reimbursement by the Company of the monthly COBRA premium paid by Executive for him and his eligible dependents for nine (9)months or, if earlier, until the date Executive is no longer eligible to receive COBRA continuation coverage; provided, however, in the event the Company determines that such provisions would subject Executive to taxation under Section105(h)of the Internal Revenue Code of 1986, as amended (the Code), or otherwise violate any healthcare law or regulation, then, in lieu of reimbursing Executive, the Company shall pay to Executive an amount equal to the amount Executive would be required to pay for continuation of group health coverage for Executive and his eligible dependents through an election under COBRA for nine (9)months, which amount shall be paid in a lump sum at the same time payments under Section5(e)(i)commence and is intended to assist Executive with costs of health coverage, which Executive may (but is not required to) obtain through an election to continue health care coverage under COBRA; and", "ner": [[20, 25, "Act"], [27, 27, "Act"], [86, 86, "Act"], [118, 118, "Act"], [147, 151, "Act"], [211, 211, "Act"], [274, 274, "Act"]], "tokenized_text": ["(", "ii", ")", "provided", "Executive", "and", "his", "eligible", "dependents", "timely", "and", "properly", "elect", "to", "continue", "health", "care", "coverage", "under", "the", "Consolidated", "Omnibus", "Reconciliation", "Act", "of", "1985", "(", "COBRA", ")", ",", "continued", "participation", "by", "Executive", "and", "Executives", "eligible", "dependents", "in", "the", "standard", "group", "medical", ",", "dental", "and", "vision", "plans", "of", "the", "Company", "as", "in", "effect", "from", "time", "to", "time", ",", "on", "substantially", "the", "same", "terms", "and", "conditions", "as", "such", "benefits", "are", "provided", "to", "employees", "during", "the", "applicable", "period", ",", "and", "reimbursement", "by", "the", "Company", "of", "the", "monthly", "COBRA", "premium", "paid", "by", "Executive", "for", "him", "and", "his", "eligible", "dependents", "for", "nine", "(", "9", ")", "months", "or", ",", "if", "earlier", ",", "until", "the", "date", "Executive", "is", "no", "longer", "eligible", "to", "receive", "COBRA", "continuation", "coverage", ";", "provided", ",", "however", ",", "in", "the", "event", "the", "Company", "determines", "that", "such", "provisions", "would", "subject", "Executive", "to", "taxation", "under", "Section105", "(", "h", ")", "of", "the", "Internal", "Revenue", "Code", "of", "1986", ",", "as", "amended", "(", "the", "Code", ")", ",", "or", "otherwise", "violate", "any", "healthcare", "law", "or", "regulation", ",", "then", ",", "in", "lieu", "of", "reimbursing", "Executive", ",", "the", "Company", "shall", "pay", "to", "Executive", "an", "amount", "equal", "to", "the", "amount", "Executive", "would", "be", "required", "to", "pay", "for", "continuation", "of", "group", "health", "coverage", "for", "Executive", "and", "his", "eligible", "dependents", "through", "an", "election", "under", "COBRA", "for", "nine", "(", "9", ")", "months", ",", "which", "amount", "shall", "be", "paid", "in", "a", "lump", "sum", "at", "the", "same", "time", "payments", "under", "Section5", "(", "e", ")", "(", "i", ")", "commence", "and", "is", "intended", "to", "assist", "Executive", "with", "costs", "of", "health", "coverage", ",", "which", "Executive", "may", "(", "but", "is", "not", "required", "to", ")", "obtain", "through", "an", "election", "to", "continue", "health", "care", "coverage", "under", "COBRA", ";", "and"]}
{"id": "14567", "text": "13. Governing Law. This Agreement and any other document or instrument delivered pursuant hereto, and all claims or causes of action that may be based upon, arise out of or relate to this Agreement will be governed by, and construed under and in accordance with, the internal laws of the State of Delaware, without reference to rulesrelating to conflicts of laws.", "ner": [[56, 58, "Court"]], "tokenized_text": ["13", ".", "Governing", "Law", ".", "This", "Agreement", "and", "any", "other", "document", "or", "instrument", "delivered", "pursuant", "hereto", ",", "and", "all", "claims", "or", "causes", "of", "action", "that", "may", "be", "based", "upon", ",", "arise", "out", "of", "or", "relate", "to", "this", "Agreement", "will", "be", "governed", "by", ",", "and", "construed", "under", "and", "in", "accordance", "with", ",", "the", "internal", "laws", "of", "the", "State", "of", "Delaware", ",", "without", "reference", "to", "rulesrelating", "to", "conflicts", "of", "laws", "."]}
{"id": "14569", "text": "(b) Each payment under this Agreement, including each installment payment, shall be considered a separate and distinct payment. For purposes of this Agreement, each payment is intended to be excepted from Section409A to the maximum extent provided as follows: (i)each payment made within the applicable 2 month period specified in Treas. Reg. 1.409A-1(b)(4)is intended to be excepted under the short-term deferral exception; (ii)post- termination medical benefits are intended to be excepted under the medical benefits exception as specified in Treas. Reg. 1.409A-1(b)(9)(v)(B); and (iii)to the extent payments are made as a result of an involuntary separation, each payment that is not otherwise excepted under the short-term deferral exception or medical benefits exception is intended to be excepted under the involuntary pay exception as specified in Treas. Reg. 1.409A-1(b)(9)(iii). With respect to payments subject to Section409A (and not excepted therefrom), if any, it is intended that each payment is paid on a permissible distribution event and at a specified time consistent with Section409A. Neither the Company nor Executive shall have the right to accelerate or defer the delivery of any such payments or benefits except to the extent specifically permitted or required by Section409A. Executive shall have no right to designate the date or any payment under this Agreement.", "ner": [[60, 66, "Regulation"], [105, 111, "Regulation"], [172, 178, "Regulation"]], "tokenized_text": ["(", "b", ")", "Each", "payment", "under", "this", "Agreement", ",", "including", "each", "installment", "payment", ",", "shall", "be", "considered", "a", "separate", "and", "distinct", "payment", ".", "For", "purposes", "of", "this", "Agreement", ",", "each", "payment", "is", "intended", "to", "be", "excepted", "from", "Section409A", "to", "the", "maximum", "extent", "provided", "as", "follows", ":", "(", "i", ")", "each", "payment", "made", "within", "the", "applicable", "2", "month", "period", "specified", "in", "Treas", ".", "Reg", ".", "1", ".", "409A-1", "(", "b", ")", "(", "4", ")", "is", "intended", "to", "be", "excepted", "under", "the", "short-term", "deferral", "exception", ";", "(", "ii", ")", "post", "-", "termination", "medical", "benefits", "are", "intended", "to", "be", "excepted", "under", "the", "medical", "benefits", "exception", "as", "specified", "in", "Treas", ".", "Reg", ".", "1", ".", "409A-1", "(", "b", ")", "(", "9", ")", "(", "v", ")", "(", "B", ")", ";", "and", "(", "iii", ")", "to", "the", "extent", "payments", "are", "made", "as", "a", "result", "of", "an", "involuntary", "separation", ",", "each", "payment", "that", "is", "not", "otherwise", "excepted", "under", "the", "short-term", "deferral", "exception", "or", "medical", "benefits", "exception", "is", "intended", "to", "be", "excepted", "under", "the", "involuntary", "pay", "exception", "as", "specified", "in", "Treas", ".", "Reg", ".", "1", ".", "409A-1", "(", "b", ")", "(", "9", ")", "(", "iii", ")", ".", "With", "respect", "to", "payments", "subject", "to", "Section409A", "(", "and", "not", "excepted", "therefrom", ")", ",", "if", "any", ",", "it", "is", "intended", "that", "each", "payment", "is", "paid", "on", "a", "permissible", "distribution", "event", "and", "at", "a", "specified", "time", "consistent", "with", "Section409A", ".", "Neither", "the", "Company", "nor", "Executive", "shall", "have", "the", "right", "to", "accelerate", "or", "defer", "the", "delivery", "of", "any", "such", "payments", "or", "benefits", "except", "to", "the", "extent", "specifically", "permitted", "or", "required", "by", "Section409A", ".", "Executive", "shall", "have", "no", "right", "to", "designate", "the", "date", "or", "any", "payment", "under", "this", "Agreement", "."]}
{"id": "14575", "text": "responsibilities as Executive Chairman; provided, that this Section2 shall not be interpreted as prohibiting Executive from (i)managing Executives personal investments (so long as such investment activities are of a passive nature), (ii)engaging in charitable or civic activities, (iii)participating on boards of directors or similar bodies of non-profit organizations, or (iv)subject to approval by the Board in its sole discretion, participating on boards of directors or similar bodies of for-profit organizations, in each case, so long as such activities in the aggregate do not (a)materially interfere with the performance of Executives duties and responsibilities hereunder, (b)create a fiduciary conflict, or (c)with respect to (ii), (iii), (iv)and (v)only, detrimentally affect the Companys reputation as reasonably determined by the Company in good faith. If requested, Executive shall also serve as an executive officer and/or member of the board of directors of any entity that directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with, Cedar Fair, L.P. (an Affiliate) without additional compensation including, and being subject to his election by Unitholders, serving as a member of the Board during the Employment Period.", "ner": [[2, 3, "Role"], [215, 221, "Parties"]], "tokenized_text": ["responsibilities", "as", "Executive", "Chairman", ";", "provided", ",", "that", "this", "Section2", "shall", "not", "be", "interpreted", "as", "prohibiting", "Executive", "from", "(", "i", ")", "managing", "Executives", "personal", "investments", "(", "so", "long", "as", "such", "investment", "activities", "are", "of", "a", "passive", "nature", ")", ",", "(", "ii", ")", "engaging", "in", "charitable", "or", "civic", "activities", ",", "(", "iii", ")", "participating", "on", "boards", "of", "directors", "or", "similar", "bodies", "of", "non-profit", "organizations", ",", "or", "(", "iv", ")", "subject", "to", "approval", "by", "the", "Board", "in", "its", "sole", "discretion", ",", "participating", "on", "boards", "of", "directors", "or", "similar", "bodies", "of", "for-profit", "organizations", ",", "in", "each", "case", ",", "so", "long", "as", "such", "activities", "in", "the", "aggregate", "do", "not", "(", "a", ")", "materially", "interfere", "with", "the", "performance", "of", "Executives", "duties", "and", "responsibilities", "hereunder", ",", "(", "b", ")", "create", "a", "fiduciary", "conflict", ",", "or", "(", "c", ")", "with", "respect", "to", "(", "ii", ")", ",", "(", "iii", ")", ",", "(", "iv", ")", "and", "(", "v", ")", "only", ",", "detrimentally", "affect", "the", "Companys", "reputation", "as", "reasonably", "determined", "by", "the", "Company", "in", "good", "faith", ".", "If", "requested", ",", "Executive", "shall", "also", "serve", "as", "an", "executive", "officer", "and", "/", "or", "member", "of", "the", "board", "of", "directors", "of", "any", "entity", "that", "directly", ",", "or", "indirectly", "through", "one", "or", "more", "intermediaries", ",", "controls", ",", "or", "is", "controlled", "by", ",", "or", "is", "under", "common", "control", "with", ",", "Cedar", "Fair", ",", "L", ".", "P", ".", "(", "an", "Affiliate", ")", "without", "additional", "compensation", "including", ",", "and", "being", "subject", "to", "his", "election", "by", "Unitholders", ",", "serving", "as", "a", "member", "of", "the", "Board", "during", "the", "Employment", "Period", "."]}
{"id": "14576", "text": "(a) In consideration of all services rendered by Executive under this Agreement, the Company shall pay Executive a base salary (the Base Salary) at an annual rate of $500,000 , during the Employment Period. Executives Base Salary will be reviewed from time to time but will not decrease, except in the event of an across the board reduction applicable to substantially all senior executives of the Company.", "ner": [[33, 36, "Salary"]], "tokenized_text": ["(", "a", ")", "In", "consideration", "of", "all", "services", "rendered", "by", "Executive", "under", "this", "Agreement", ",", "the", "Company", "shall", "pay", "Executive", "a", "base", "salary", "(", "the", "Base", "Salary", ")", "at", "an", "annual", "rate", "of", "$", "500", ",", "000", ",", "during", "the", "Employment", "Period", ".", "Executives", "Base", "Salary", "will", "be", "reviewed", "from", "time", "to", "time", "but", "will", "not", "decrease", ",", "except", "in", "the", "event", "of", "an", "across", "the", "board", "reduction", "applicable", "to", "substantially", "all", "senior", "executives", "of", "the", "Company", "."]}
{"id": "14577", "text": "(e) subject to Executives timely election of continuation coverage under Part 6 of Title I of the Employee Retirement Income Security Act of 1974 , as amended, and Section4980B of the Internal Revenue Code of 1986, as amended (COBRA), the Company shall pay to Executive each month an after-tax amount equal to the monthly amount of the COBRA continuation coverage premium under the Companys group medical plans as in effect from time to time, less the amount of Executives portion of the premium as if Executive were an active employee until the earliest of: (i)twelve (12)months after the date of Executives termination of employment; (ii)the date Executive is no longer eligible for benefits under COBRA; or (iii)the date Executive obtains other employment that offers medical benefits, provided that the first payment of any amount described in this Section6.1(e) shall be paid following Executives termination of employment as described in Section6.5 or Section12.7 and shall include any amounts due prior thereto.", "ner": [[19, 25, "Act"], [34, 38, "Act"], [43, 43, "Act"], [64, 64, "Act"], [133, 133, "Act"]], "tokenized_text": ["(", "e", ")", "subject", "to", "Executives", "timely", "election", "of", "continuation", "coverage", "under", "Part", "6", "of", "Title", "I", "of", "the", "Employee", "Retirement", "Income", "Security", "Act", "of", "1974", ",", "as", "amended", ",", "and", "Section4980B", "of", "the", "Internal", "Revenue", "Code", "of", "1986", ",", "as", "amended", "(", "COBRA", ")", ",", "the", "Company", "shall", "pay", "to", "Executive", "each", "month", "an", "after-tax", "amount", "equal", "to", "the", "monthly", "amount", "of", "the", "COBRA", "continuation", "coverage", "premium", "under", "the", "Companys", "group", "medical", "plans", "as", "in", "effect", "from", "time", "to", "time", ",", "less", "the", "amount", "of", "Executives", "portion", "of", "the", "premium", "as", "if", "Executive", "were", "an", "active", "employee", "until", "the", "earliest", "of", ":", "(", "i", ")", "twelve", "(", "12", ")", "months", "after", "the", "date", "of", "Executives", "termination", "of", "employment", ";", "(", "ii", ")", "the", "date", "Executive", "is", "no", "longer", "eligible", "for", "benefits", "under", "COBRA", ";", "or", "(", "iii", ")", "the", "date", "Executive", "obtains", "other", "employment", "that", "offers", "medical", "benefits", ",", "provided", "that", "the", "first", "payment", "of", "any", "amount", "described", "in", "this", "Section6", ".", "1", "(", "e", ")", "shall", "be", "paid", "following", "Executives", "termination", "of", "employment", "as", "described", "in", "Section6", ".", "5", "or", "Section12", ".", "7", "and", "shall", "include", "any", "amounts", "due", "prior", "thereto", "."]}
{"id": "14579", "text": "6.3 Termination for Any Other Reason. Upon the termination of Executives employment for any reason other than by the Company without Cause, as a result of death or Disability or by Executive for Good Reason, including without limitation a termination by the Company For Cause or a Resignation by Executive Without Good Reason, Executive or Executives legal representatives shall be entitled to receive the payments and benefits described under Sections 6.1(a), (c), (g), and (h)hereof.", "ner": [[75, 78, "Regulation"]], "tokenized_text": ["6", ".", "3", "Termination", "for", "Any", "Other", "Reason", ".", "Upon", "the", "termination", "of", "Executives", "employment", "for", "any", "reason", "other", "than", "by", "the", "Company", "without", "Cause", ",", "as", "a", "result", "of", "death", "or", "Disability", "or", "by", "Executive", "for", "Good", "Reason", ",", "including", "without", "limitation", "a", "termination", "by", "the", "Company", "For", "Cause", "or", "a", "Resignation", "by", "Executive", "Without", "Good", "Reason", ",", "Executive", "or", "Executives", "legal", "representatives", "shall", "be", "entitled", "to", "receive", "the", "payments", "and", "benefits", "described", "under", "Sections", "6", ".", "1", "(", "a", ")", ",", "(", "c", ")", ",", "(", "g", ")", ",", "and", "(", "h", ")", "hereof", "."]}
{"id": "14581", "text": "8.5 Resignation as an Officer and Director. Upon any termination of Executives employment, Executive shall be deemed to have resigned, to the extent applicable as an officer of the Company a member of the board of directors or similar body of any of Cedar Fair, L.P. s Affiliates, and as a fiduciary of any Company benefit plan. On or immediately following the date of any termination of Executives employment, Executive shall confirm the foregoing by submitting to the Company in writing a confirmation of Executives resignation(s).", "ner": [[48, 54, "Parties"]], "tokenized_text": ["8", ".", "5", "Resignation", "as", "an", "Officer", "and", "Director", ".", "Upon", "any", "termination", "of", "Executives", "employment", ",", "Executive", "shall", "be", "deemed", "to", "have", "resigned", ",", "to", "the", "extent", "applicable", "as", "an", "officer", "of", "the", "Company", "a", "member", "of", "the", "board", "of", "directors", "or", "similar", "body", "of", "any", "of", "Cedar", "Fair", ",", "L", ".", "P", ".", "s", "Affiliates", ",", "and", "as", "a", "fiduciary", "of", "any", "Company", "benefit", "plan", ".", "On", "or", "immediately", "following", "the", "date", "of", "any", "termination", "of", "Executives", "employment", ",", "Executive", "shall", "confirm", "the", "foregoing", "by", "submitting", "to", "the", "Company", "in", "writing", "a", "confirmation", "of", "Executives", "resignation", "(", "s", ")", "."]}
{"id": "14585", "text": "| | ---|---|--- Cedar Fair, L.P. | By: | | /s/ Brian Witherow Name: | | Brian Witherow Title: | | Chief Financial Officer Cedar Fair Management, Inc. | By: | | /s/ Eric Affeldt Name: | | Eric Affeldt Title: | | Chairman of Board of Directors Magnum Management Corp. | By: | | /s/ Brian Witherow Name: | | Brian Witherow Title: | | Chief Financial Officer EXECUTIVE /s/ Matthew A. Ouimet Matthew A. Ouimet | Date: | | 10/4/17 [Signature Page]", "ner": [[13, 19, "Parties"], [28, 29, "Parties"], [40, 42, "Role"], [43, 48, "Parties"], [57, 58, "Parties"], [69, 73, "Role"], [74, 77, "Parties"], [105, 112, "Parties"]], "tokenized_text": ["|", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "Cedar", "Fair", ",", "L", ".", "P", ".", "|", "By", ":", "|", "|", "/", "s", "/", "Brian", "Witherow", "Name", ":", "|", "|", "Brian", "Witherow", "Title", ":", "|", "|", "Chief", "Financial", "Officer", "Cedar", "Fair", "Management", ",", "Inc", ".", "|", "By", ":", "|", "|", "/", "s", "/", "Eric", "Affeldt", "Name", ":", "|", "|", "Eric", "Affeldt", "Title", ":", "|", "|", "Chairman", "of", "Board", "of", "Directors", "Magnum", "Management", "Corp", ".", "|", "By", ":", "|", "|", "/", "s", "/", "Brian", "Witherow", "Name", ":", "|", "|", "Brian", "Witherow", "Title", ":", "|", "|", "Chief", "Financial", "Officer", "EXECUTIVE", "/", "s", "/", "Matthew", "A", ".", "Ouimet", "Matthew", "A", ".", "Ouimet", "|", "Date", ":", "|", "|", "10", "/", "4", "/", "17", "[", "Signature", "Page", "]"]}
{"id": "14586", "text": "This RELEASE AGREEMENT (this Agreement) dated , 20, is made and entered into by and between Cedar Fair, L.P. , a publicly traded Delaware limited partnership, Cedar Fair Management, Inc. , an Ohio Corporation (Cedar Fair Management), Magnum Management Corporation, an Ohio corporation (Magnum) and Matthew A. Ouimet (the Employee).", "ner": [[1, 2, "Title"], [19, 25, "Parties"], [34, 39, "Parties"], [50, 52, "Parties"], [61, 64, "Parties"]], "tokenized_text": ["This", "RELEASE", "AGREEMENT", "(", "this", "Agreement", ")", "dated", ",", "20", ",", "is", "made", "and", "entered", "into", "by", "and", "between", "Cedar", "Fair", ",", "L", ".", "P", ".", ",", "a", "publicly", "traded", "Delaware", "limited", "partnership", ",", "Cedar", "Fair", "Management", ",", "Inc", ".", ",", "an", "Ohio", "Corporation", "(", "Cedar", "Fair", "Management", ")", ",", "Magnum", "Management", "Corporation", ",", "an", "Ohio", "corporation", "(", "Magnum", ")", "and", "Matthew", "A", ".", "Ouimet", "(", "the", "Employee", ")", "."]}
{"id": "14590", "text": "| | ---|---|--- Cedar Fair, L.P. | | ---|---|--- | By: | | Name: | | Title: | | | | ---|---|--- Cedar Fair Management, Inc. | | ---|---|--- | By: | | Name: | | Title: | | | | ---|---|--- Magnum Management Corp. | | ---|---|--- | By: | | Name: | | Title: | | --- EMPLOYEE", "ner": [[13, 19, "Parties"], [59, 64, "Parties"], [104, 107, "Parties"]], "tokenized_text": ["|", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "Cedar", "Fair", ",", "L", ".", "P", ".", "|", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "By", ":", "|", "|", "Name", ":", "|", "|", "Title", ":", "|", "|", "|", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "Cedar", "Fair", "Management", ",", "Inc", ".", "|", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "By", ":", "|", "|", "Name", ":", "|", "|", "Title", ":", "|", "|", "|", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "Magnum", "Management", "Corp", ".", "|", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "By", ":", "|", "|", "Name", ":", "|", "|", "Title", ":", "|", "|", "-", "-", "-", "EMPLOYEE"]}
{"id": "14591", "text": "Tenant: Allena Pharmaceuticals, Inc. and Alcresta, Inc.", "ner": [[2, 6, "Parties"], [8, 11, "Parties"]], "tokenized_text": ["Tenant", ":", "Allena", "Pharmaceuticals", ",", "Inc", ".", "and", "Alcresta", ",", "Inc", "."]}
{"id": "14593", "text": "THIS LEASE made this August29, 2011 between Newton Executive Park Limited Partnership , a Massachusetts limited partnership with offices at One Gateway Center in Newton, Massachusetts ( Landlord), and Allena Pharmaceuticals, Inc. , a Delaware corporation, with offices located in Newton, Massachusetts and Alcresta, Inc. , a Delaware corporation, with offices located Newton, Massachusetts (jointly and severally the Tenant).", "ner": [[4, 6, "EffectiveDate"], [8, 12, "Parties"], [21, 23, "Address"], [25, 27, "Address"], [33, 37, "Parties"], [51, 54, "Parties"]], "tokenized_text": ["THIS", "LEASE", "made", "this", "August29", ",", "2011", "between", "Newton", "Executive", "Park", "Limited", "Partnership", ",", "a", "Massachusetts", "limited", "partnership", "with", "offices", "at", "One", "Gateway", "Center", "in", "Newton", ",", "Massachusetts", "(", "Landlord", ")", ",", "and", "Allena", "Pharmaceuticals", ",", "Inc", ".", ",", "a", "Delaware", "corporation", ",", "with", "offices", "located", "in", "Newton", ",", "Massachusetts", "and", "Alcresta", ",", "Inc", ".", ",", "a", "Delaware", "corporation", ",", "with", "offices", "located", "Newton", ",", "Massachusetts", "(", "jointly", "and", "severally", "the", "Tenant", ")", "."]}
{"id": "14595", "text": "| | $ | 187,704.96 | | | $ | 15,642.08 | March 1, 2014 through February28, 2015", "ner": [[4, 8, "Rent"], [14, 18, "Rent"], [20, 23, "EffectiveDate"], [25, 27, "TerminationDate"]], "tokenized_text": ["|", "|", "$", "|", "187", ",", "704", ".", "96", "|", "|", "|", "$", "|", "15", ",", "642", ".", "08", "|", "March", "1", ",", "2014", "through", "February28", ",", "2015"]}
{"id": "14596", "text": "| | $ | 193,760.04 | | | $ | 16,146.67 | March1, 2015 through February28, 2016", "ner": [[4, 8, "Rent"], [14, 18, "Rent"], [20, 22, "EffectiveDate"], [24, 26, "TerminationDate"]], "tokenized_text": ["|", "|", "$", "|", "193", ",", "760", ".", "04", "|", "|", "|", "$", "|", "16", ",", "146", ".", "67", "|", "March1", ",", "2015", "through", "February28", ",", "2016"]}
{"id": "14597", "text": "| | $ | 199,815.00 | | | $ | 16,651.25 | March1, 2016 through May31, 2017", "ner": [[4, 8, "Principal"], [14, 18, "Principal"], [20, 22, "EffectiveDate"], [24, 26, "TerminationDate"]], "tokenized_text": ["|", "|", "$", "|", "199", ",", "815", ".", "00", "|", "|", "|", "$", "|", "16", ",", "651", ".", "25", "|", "March1", ",", "2016", "through", "May31", ",", "2017"]}
{"id": "14598", "text": "| | $ | 205,869.96 | | | $ | 17,155.83 |", "ner": [[4, 8, "Rent"], [14, 18, "Rent"]], "tokenized_text": ["|", "|", "$", "|", "205", ",", "869", ".", "96", "|", "|", "|", "$", "|", "17", ",", "155", ".", "83", "|"]}
{"id": "14604", "text": "| 27.6 | Governing Law. This Lease is made pursuant to, and shall be governed by, and construed in accordance with, the laws of the Commonwealth of Massachusetts . ---|---|---", "ner": [[31, 33, "Court"]], "tokenized_text": ["|", "27", ".", "6", "|", "Governing", "Law", ".", "This", "Lease", "is", "made", "pursuant", "to", ",", "and", "shall", "be", "governed", "by", ",", "and", "construed", "in", "accordance", "with", ",", "the", "laws", "of", "the", "Commonwealth", "of", "Massachusetts", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "14605", "text": "THIS AMENDMENT made this October11, 2016, between Newton Executive Park Limited Partnership <sup> , a Massachusetts Limited Partnership having offices at One Gateway Center, Newton, Massachusetts ( <sup> Landlord) and Allena Pharmaceuticals, Inc. , a Delaware corporation, with offices located in Newton, Massachusetts and Alcresta, Inc. , a Delaware corporation, with offices located Newton, Massachusetts (jointly and severally the Tenant).", "ner": [[4, 6, "EffectiveDate"], [9, 13, "Parties"], [25, 31, "Address"], [39, 43, "Parties"], [57, 60, "Parties"]], "tokenized_text": ["THIS", "AMENDMENT", "made", "this", "October11", ",", "2016", ",", "between", "Newton", "Executive", "Park", "Limited", "Partnership", "<", "sup", ">", ",", "a", "Massachusetts", "Limited", "Partnership", "having", "offices", "at", "One", "Gateway", "Center", ",", "Newton", ",", "Massachusetts", "(", "<", "sup", ">", "Landlord", ")", "and", "Allena", "Pharmaceuticals", ",", "Inc", ".", ",", "a", "Delaware", "corporation", ",", "with", "offices", "located", "in", "Newton", ",", "Massachusetts", "and", "Alcresta", ",", "Inc", ".", ",", "a", "Delaware", "corporation", ",", "with", "offices", "located", "Newton", ",", "Massachusetts", "(", "jointly", "and", "severally", "the", "Tenant", ")", "."]}
{"id": "14606", "text": "WHEREAS, by Lease dated August29, 2011 , (as may be amended from time to time, the Lease), Landlord demised and leased to Tenant approximately 6,055 rentable square feet on the second floor of Landlords building (the Building) known as One Newton Executive Park in Newton, Massachusetts .", "ner": [[5, 7, "EffectiveDate"], [30, 32, "Rent"], [49, 52, "Address"], [54, 56, "Address"]], "tokenized_text": ["WHEREAS", ",", "by", "Lease", "dated", "August29", ",", "2011", ",", "(", "as", "may", "be", "amended", "from", "time", "to", "time", ",", "the", "Lease", ")", ",", "Landlord", "demised", "and", "leased", "to", "Tenant", "approximately", "6", ",", "055", "rentable", "square", "feet", "on", "the", "second", "floor", "of", "Landlords", "building", "(", "the", "Building", ")", "known", "as", "One", "Newton", "Executive", "Park", "in", "Newton", ",", "Massachusetts", "."]}
{"id": "14607", "text": "| 1. | Effective June1, 2017, Alcresta, Inc. shall no longer be a Tenant under the Lease. Notwithstanding that Alcresta shall remain responsible for all obligations and liabilities of Tenant arising prior to June1, 2017, Alcresta, Inc. shall have no responsibility for obligations or liabilities of Tenant arising on or after June1, 2017. ---|---|---", "ner": [[5, 7, "EffectiveDate"], [9, 12, "Parties"], [43, 46, "Parties"]], "tokenized_text": ["|", "1", ".", "|", "Effective", "June1", ",", "2017", ",", "Alcresta", ",", "Inc", ".", "shall", "no", "longer", "be", "a", "Tenant", "under", "the", "Lease", ".", "Notwithstanding", "that", "Alcresta", "shall", "remain", "responsible", "for", "all", "obligations", "and", "liabilities", "of", "Tenant", "arising", "prior", "to", "June1", ",", "2017", ",", "Alcresta", ",", "Inc", ".", "shall", "have", "no", "responsibility", "for", "obligations", "or", "liabilities", "of", "Tenant", "arising", "on", "or", "after", "June1", ",", "2017", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "14610", "text": "This Termination, Settlement and Release Agreement (the Agreement) is made as of the 6th day of October, 2017 (the Effective Date ), regardless of when it is executed, by and among SCS Corporation Ltd. (SCS), and South Atlantic Petroleum Ltd. ( SAPETRO ). SCS and SAPETRO are sometimes collectively referred to herein as the Parties, or individually as a Party .", "ner": [[5, 6, "Title"], [16, 21, "EffectiveDate"], [38, 41, "Parties"], [47, 51, "Parties"]], "tokenized_text": ["This", "Termination", ",", "Settlement", "and", "Release", "Agreement", "(", "the", "Agreement", ")", "is", "made", "as", "of", "the", "6th", "day", "of", "October", ",", "2017", "(", "the", "Effective", "Date", ")", ",", "regardless", "of", "when", "it", "is", "executed", ",", "by", "and", "among", "SCS", "Corporation", "Ltd", ".", "(", "SCS", ")", ",", "and", "South", "Atlantic", "Petroleum", "Ltd", ".", "(", "SAPETRO", ")", ".", "SCS", "and", "SAPETRO", "are", "sometimes", "collectively", "referred", "to", "herein", "as", "the", "Parties", ",", "or", "individually", "as", "a", "Party", "."]}
{"id": "14612", "text": "SCS Corporation Ltd. ---|---", "ner": [[0, 3, "Parties"]], "tokenized_text": ["SCS", "Corporation", "Ltd", ".", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "14613", "text": "South Atlantic Petroleum Ltd.", "ner": [[0, 4, "Parties"]], "tokenized_text": ["South", "Atlantic", "Petroleum", "Ltd", "."]}
{"id": "14614", "text": "EX-10.1 2 ex10-1.htm EMPLOYMENT AGREEMENT BETWEEN REALOGY HOLDINGS CORP. AND RYAN M. SCHNEIDER", "ner": [[7, 8, "Title"], [10, 13, "Parties"], [15, 18, "Parties"]], "tokenized_text": ["EX-10", ".", "1", "2", "ex10-1", ".", "htm", "EMPLOYMENT", "AGREEMENT", "BETWEEN", "REALOGY", "HOLDINGS", "CORP", ".", "AND", "RYAN", "M", ".", "SCHNEIDER"]}
{"id": "14615", "text": "(a) Executive shall be assigned with the duties and responsibilities of President and Chief Operating Officer , it being understood that it is anticipated that on or before December 31, 2017, Executive shall be appointed as Chief Executive Officer and thereafter assigned with the duties and responsibilities of such office as may reasonably be assigned to Executive from time to time by the Board of Directors of the Company (the Board). Executive shall perform such duties, undertake the responsibilities, and exercise the authorities customarily performed, undertaken and exercised by persons situated in a similar executive capacity at a similar company. In performing Executives duties hereunder, while serving as President and Chief Operating Officer , Executive shall report jointly to the Chief Executive Officer and the Board, and at such time as he is appointed as Chief Executive Officer, Executive shall report solely and directly to the Board. Within thirty (30) days after the Effective Date, the Company shall cause Executive to be appointed to the Board. When Executive is elected as a director of the Company or as a director or officer of any of the Companys Affiliates, Executive will fulfill Executives duties as such director or officer without additional compensation. During the Term, the Company shall cause Executive to be nominated to the Board and support his reelection. The Company agrees to explicitly state in its public announcement of the hiring of the Executive that the Executive is the CEO designate and that the Company anticipates that the Executive will be named as the Chief Executive Officer by December 31, 2017.", "ner": [[13, 13, "Role"], [15, 17, "Role"], [30, 33, "TerminationDate"], [40, 42, "Role"], [122, 124, "Role"], [132, 134, "Role"], [148, 150, "Role"], [263, 263, "Role"], [278, 280, "Role"], [282, 285, "TerminationDate"]], "tokenized_text": ["(", "a", ")", "Executive", "shall", "be", "assigned", "with", "the", "duties", "and", "responsibilities", "of", "President", "and", "Chief", "Operating", "Officer", ",", "it", "being", "understood", "that", "it", "is", "anticipated", "that", "on", "or", "before", "December", "31", ",", "2017", ",", "Executive", "shall", "be", "appointed", "as", "Chief", "Executive", "Officer", "and", "thereafter", "assigned", "with", "the", "duties", "and", "responsibilities", "of", "such", "office", "as", "may", "reasonably", "be", "assigned", "to", "Executive", "from", "time", "to", "time", "by", "the", "Board", "of", "Directors", "of", "the", "Company", "(", "the", "Board", ")", ".", "Executive", "shall", "perform", "such", "duties", ",", "undertake", "the", "responsibilities", ",", "and", "exercise", "the", "authorities", "customarily", "performed", ",", "undertaken", "and", "exercised", "by", "persons", "situated", "in", "a", "similar", "executive", "capacity", "at", "a", "similar", "company", ".", "In", "performing", "Executives", "duties", "hereunder", ",", "while", "serving", "as", "President", "and", "Chief", "Operating", "Officer", ",", "Executive", "shall", "report", "jointly", "to", "the", "Chief", "Executive", "Officer", "and", "the", "Board", ",", "and", "at", "such", "time", "as", "he", "is", "appointed", "as", "Chief", "Executive", "Officer", ",", "Executive", "shall", "report", "solely", "and", "directly", "to", "the", "Board", ".", "Within", "thirty", "(", "30", ")", "days", "after", "the", "Effective", "Date", ",", "the", "Company", "shall", "cause", "Executive", "to", "be", "appointed", "to", "the", "Board", ".", "When", "Executive", "is", "elected", "as", "a", "director", "of", "the", "Company", "or", "as", "a", "director", "or", "officer", "of", "any", "of", "the", "Companys", "Affiliates", ",", "Executive", "will", "fulfill", "Executives", "duties", "as", "such", "director", "or", "officer", "without", "additional", "compensation", ".", "During", "the", "Term", ",", "the", "Company", "shall", "cause", "Executive", "to", "be", "nominated", "to", "the", "Board", "and", "support", "his", "reelection", ".", "The", "Company", "agrees", "to", "explicitly", "state", "in", "its", "public", "announcement", "of", "the", "hiring", "of", "the", "Executive", "that", "the", "Executive", "is", "the", "CEO", "designate", "and", "that", "the", "Company", "anticipates", "that", "the", "Executive", "will", "be", "named", "as", "the", "Chief", "Executive", "Officer", "by", "December", "31", ",", "2017", "."]}
{"id": "14618", "text": "(c) Indemnification. Executive shall be indemnified by the Company as, and to the extent, provided in the certificate of incorporation and bylaws of the Company and as provided in Executives Director and Officer Indemnification Agreement dated October 17, 2017 and shall be provided with director and officer liability insurance on a basis no less favorable than provided to any other officer or director of the Company. The obligations under this paragraph shall survive termination of the Term.", "ner": [[35, 39, "Title"], [41, 44, "EffectiveDate"]], "tokenized_text": ["(", "c", ")", "Indemnification", ".", "Executive", "shall", "be", "indemnified", "by", "the", "Company", "as", ",", "and", "to", "the", "extent", ",", "provided", "in", "the", "certificate", "of", "incorporation", "and", "bylaws", "of", "the", "Company", "and", "as", "provided", "in", "Executives", "Director", "and", "Officer", "Indemnification", "Agreement", "dated", "October", "17", ",", "2017", "and", "shall", "be", "provided", "with", "director", "and", "officer", "liability", "insurance", "on", "a", "basis", "no", "less", "favorable", "than", "provided", "to", "any", "other", "officer", "or", "director", "of", "the", "Company", ".", "The", "obligations", "under", "this", "paragraph", "shall", "survive", "termination", "of", "the", "Term", "."]}
{"id": "14620", "text": "(k) Effect of Other Law. Anything herein to the contrary notwithstanding, the terms of this Agreement shall be modified to the extent required to meet the provisions of the Sarbanes- Oxley Act of 2002 , Section 409A of the Code, or other federal law applicable to the employment arrangements between Executive and the Company. Any delay in providing benefits or payments, any failure to provide a benefit or payment, or any repayment of compensation that is required under the preceding sentence shall not in and of itself constitute a breach of this Agreement, provided, however, that the Company shall provide economically equivalent payments or benefits to Executive to the extent permitted by law.", "ner": [[33, 38, "Act"], [40, 41, "Regulation"]], "tokenized_text": ["(", "k", ")", "Effect", "of", "Other", "Law", ".", "Anything", "herein", "to", "the", "contrary", "notwithstanding", ",", "the", "terms", "of", "this", "Agreement", "shall", "be", "modified", "to", "the", "extent", "required", "to", "meet", "the", "provisions", "of", "the", "Sarbanes", "-", "Oxley", "Act", "of", "2002", ",", "Section", "409A", "of", "the", "Code", ",", "or", "other", "federal", "law", "applicable", "to", "the", "employment", "arrangements", "between", "Executive", "and", "the", "Company", ".", "Any", "delay", "in", "providing", "benefits", "or", "payments", ",", "any", "failure", "to", "provide", "a", "benefit", "or", "payment", ",", "or", "any", "repayment", "of", "compensation", "that", "is", "required", "under", "the", "preceding", "sentence", "shall", "not", "in", "and", "of", "itself", "constitute", "a", "breach", "of", "this", "Agreement", ",", "provided", ",", "however", ",", "that", "the", "Company", "shall", "provide", "economically", "equivalent", "payments", "or", "benefits", "to", "Executive", "to", "the", "extent", "permitted", "by", "law", "."]}
{"id": "14622", "text": "1. For and in consideration of the payments and benefits provided in Sections [7(d)(ii), (iii), (iv) and (v)] 7(e)(ii), (iii), (iv) and (v)] of the Employment Agreement between Executive and the Company dated as of October 17, 2017 (the Employment Agreement), Executive, for himself, his successors and assigns, executors and administrators, now and forever hereby releases and discharges the Company, together with all of its past and present parents, subsidiaries, and affiliates, together with each of their officers, directors, stockholders, partners, employees, agents, representatives and attorneys, and each of their subsidiaries, affiliates, estates, predecessors, successors, and assigns; provided that such release shall extend to past and present officers, directors, shareholders, partners, employees, agents, representatives and attorneys only in their capacities as such or in respect of their relationship with the Company and its affiliates (hereinafter collectively referred to as the Releasees) from any and all rights, claims, charges, actions, causes of action, complaints, sums of money, suits, debts, covenants, contracts, agreements, promises, obligations, damages, demands or liabilities of every kind whatsoever, in law or in equity, whether known or unknown, suspected or unsuspected (collectively, Claims), which Executive or Executives executors, administrators, successors or assigns ever had, now has or may hereafter claim to have by reason of any matter, cause or thing whatsoever: (i) arising from the beginning of time up to the date upon which Executive signs the Release, including but not limited to (A) any such Claims arising out of, or relating in any way to, Executives employment with the Company or any of the other Releasees, or the termination of Executives employment relationship with the Company or any of the other Releasees, and (B) any such Claims arising under any federal, local or state law, executive order, statute or regulation, including, without limitation, the Age Discrimination in Employment Act of 1967 , as amended by the Older Workers Benefit Protection Act, Title VII of the Civil Rights Act of 1964 , the Americans with Disabilities Act of 1990 , the Employee Retirement Income Security Act of 1974 , the Civil Rights Act of 1991 , the Family and Medical Leave Act of 1993 , the Fair Labor Standards Act of 1938 (but limited to the provisions prohibiting retaliation), the Equal Pay Act of 1963 , and the Sarbanes- Oxley Act of 2002 , any whistleblower or retaliation claims (to the extent permitted by applicable law),and/or the applicable federal, state or local law, executive order, statute or regulation against discrimination, each as amended; (ii) arising under or relating to the Employment Agreement or breach of a contract relating to employment; or (iii) arising under or relating to any policy, agreement, understanding or promise, written or oral, formal or informal, between the Company and any of the Releasees and Executive; provided, however, that notwithstanding the foregoing, nothing contained in the Release shall in any way diminish or impair: (a) any rights Executive may have under Section [7(d)][7(e)] of this Employment Agreement, including any accrued benefits; (b) any rights Executive may have, from and after the date upon which Executive signs the Release; (c) any rights to indemnification that may exist from time to time under the Companys certificate of incorporation or bylaws, or state law or any", "ner": [[57, 58, "Regulation"], [67, 70, "EffectiveDate"], [406, 412, "Act"], [418, 422, "Act"], [428, 432, "Act"], [435, 440, "Act"], [443, 449, "Act"], [452, 456, "Act"], [459, 465, "Act"], [468, 473, "Act"], [485, 489, "Act"], [493, 498, "Act"]], "tokenized_text": ["1", ".", "For", "and", "in", "consideration", "of", "the", "payments", "and", "benefits", "provided", "in", "Sections", "[", "7", "(", "d", ")", "(", "ii", ")", ",", "(", "iii", ")", ",", "(", "iv", ")", "and", "(", "v", ")", "]", "7", "(", "e", ")", "(", "ii", ")", ",", "(", "iii", ")", ",", "(", "iv", ")", "and", "(", "v", ")", "]", "of", "the", "Employment", "Agreement", "between", "Executive", "and", "the", "Company", "dated", "as", "of", "October", "17", ",", "2017", "(", "the", "Employment", "Agreement", ")", ",", "Executive", ",", "for", "himself", ",", "his", "successors", "and", "assigns", ",", "executors", "and", "administrators", ",", "now", "and", "forever", "hereby", "releases", "and", "discharges", "the", "Company", ",", "together", "with", "all", "of", "its", "past", "and", "present", "parents", ",", "subsidiaries", ",", "and", "affiliates", ",", "together", "with", "each", "of", "their", "officers", ",", "directors", ",", "stockholders", ",", "partners", ",", "employees", ",", "agents", ",", "representatives", "and", "attorneys", ",", "and", "each", "of", "their", "subsidiaries", ",", "affiliates", ",", "estates", ",", "predecessors", ",", "successors", ",", "and", "assigns", ";", "provided", "that", "such", "release", "shall", "extend", "to", "past", "and", "present", "officers", ",", "directors", ",", "shareholders", ",", "partners", ",", "employees", ",", "agents", ",", "representatives", "and", "attorneys", "only", "in", "their", "capacities", "as", "such", "or", "in", "respect", "of", "their", "relationship", "with", "the", "Company", "and", "its", "affiliates", "(", "hereinafter", "collectively", "referred", "to", "as", "the", "Releasees", ")", "from", "any", "and", "all", "rights", ",", "claims", ",", "charges", ",", "actions", ",", "causes", "of", "action", ",", "complaints", ",", "sums", "of", "money", ",", "suits", ",", "debts", ",", "covenants", ",", "contracts", ",", "agreements", ",", "promises", ",", "obligations", ",", "damages", ",", "demands", "or", "liabilities", "of", "every", "kind", "whatsoever", ",", "in", "law", "or", "in", "equity", ",", "whether", "known", "or", "unknown", ",", "suspected", "or", "unsuspected", "(", "collectively", ",", "Claims", ")", ",", "which", "Executive", "or", "Executives", "executors", ",", "administrators", ",", "successors", "or", "assigns", "ever", "had", ",", "now", "has", "or", "may", "hereafter", "claim", "to", "have", "by", "reason", "of", "any", "matter", ",", "cause", "or", "thing", "whatsoever", ":", "(", "i", ")", "arising", "from", "the", "beginning", "of", "time", "up", "to", "the", "date", "upon", "which", "Executive", "signs", "the", "Release", ",", "including", "but", "not", "limited", "to", "(", "A", ")", "any", "such", "Claims", "arising", "out", "of", ",", "or", "relating", "in", "any", "way", "to", ",", "Executives", "employment", "with", "the", "Company", "or", "any", "of", "the", "other", "Releasees", ",", "or", "the", "termination", "of", "Executives", "employment", "relationship", "with", "the", "Company", "or", "any", "of", "the", "other", "Releasees", ",", "and", "(", "B", ")", "any", "such", "Claims", "arising", "under", "any", "federal", ",", "local", "or", "state", "law", ",", "executive", "order", ",", "statute", "or", "regulation", ",", "including", ",", "without", "limitation", ",", "the", "Age", "Discrimination", "in", "Employment", "Act", "of", "1967", ",", "as", "amended", "by", "the", "Older", "Workers", "Benefit", "Protection", "Act", ",", "Title", "VII", "of", "the", "Civil", "Rights", "Act", "of", "1964", ",", "the", "Americans", "with", "Disabilities", "Act", "of", "1990", ",", "the", "Employee", "Retirement", "Income", "Security", "Act", "of", "1974", ",", "the", "Civil", "Rights", "Act", "of", "1991", ",", "the", "Family", "and", "Medical", "Leave", "Act", "of", "1993", ",", "the", "Fair", "Labor", "Standards", "Act", "of", "1938", "(", "but", "limited", "to", "the", "provisions", "prohibiting", "retaliation", ")", ",", "the", "Equal", "Pay", "Act", "of", "1963", ",", "and", "the", "Sarbanes", "-", "Oxley", "Act", "of", "2002", ",", "any", "whistleblower", "or", "retaliation", "claims", "(", "to", "the", "extent", "permitted", "by", "applicable", "law", ")", ",", "and", "/", "or", "the", "applicable", "federal", ",", "state", "or", "local", "law", ",", "executive", "order", ",", "statute", "or", "regulation", "against", "discrimination", ",", "each", "as", "amended", ";", "(", "ii", ")", "arising", "under", "or", "relating", "to", "the", "Employment", "Agreement", "or", "breach", "of", "a", "contract", "relating", "to", "employment", ";", "or", "(", "iii", ")", "arising", "under", "or", "relating", "to", "any", "policy", ",", "agreement", ",", "understanding", "or", "promise", ",", "written", "or", "oral", ",", "formal", "or", "informal", ",", "between", "the", "Company", "and", "any", "of", "the", "Releasees", "and", "Executive", ";", "provided", ",", "however", ",", "that", "notwithstanding", "the", "foregoing", ",", "nothing", "contained", "in", "the", "Release", "shall", "in", "any", "way", "diminish", "or", "impair", ":", "(", "a", ")", "any", "rights", "Executive", "may", "have", "under", "Section", "[", "7", "(", "d", ")", "]", "[", "7", "(", "e", ")", "]", "of", "this", "Employment", "Agreement", ",", "including", "any", "accrued", "benefits", ";", "(", "b", ")", "any", "rights", "Executive", "may", "have", ",", "from", "and", "after", "the", "date", "upon", "which", "Executive", "signs", "the", "Release", ";", "(", "c", ")", "any", "rights", "to", "indemnification", "that", "may", "exist", "from", "time", "to", "time", "under", "the", "Companys", "certificate", "of", "incorporation", "or", "bylaws", ",", "or", "state", "law", "or", "any"]}
{"id": "14625", "text": "THIS OFFICE LEASE AGREEMENT (this Lease) is made and entered into as of June2,2017 , by and between NEEP INVESTORS HOLDINGS LLC , a Delaware limited liability company (Landlord) and SCPHARMACEUTICALS INC. , a Delaware corporation (Tenant). The following exhibits and attachments are incorporated into and made a part of this Lease: Exhibit A-1 (Outline and Location of Premises), Exhibit A-2 (Description of Property), Exhibit B (Expenses and Taxes), Exhibit C (Work Letter), Exhibit D (Commencement Letter), Exhibit E (Building Rules and Regulations), and Exhibit F (Additional Provisions).", "ner": [[2, 3, "Title"], [15, 17, "EffectiveDate"], [22, 25, "Parties"], [36, 38, "Parties"]], "tokenized_text": ["THIS", "OFFICE", "LEASE", "AGREEMENT", "(", "this", "Lease", ")", "is", "made", "and", "entered", "into", "as", "of", "June2", ",", "2017", ",", "by", "and", "between", "NEEP", "INVESTORS", "HOLDINGS", "LLC", ",", "a", "Delaware", "limited", "liability", "company", "(", "Landlord", ")", "and", "SCPHARMACEUTICALS", "INC", ".", ",", "a", "Delaware", "corporation", "(", "Tenant", ")", ".", "The", "following", "exhibits", "and", "attachments", "are", "incorporated", "into", "and", "made", "a", "part", "of", "this", "Lease", ":", "Exhibit", "A-1", "(", "Outline", "and", "Location", "of", "Premises", ")", ",", "Exhibit", "A-2", "(", "Description", "of", "Property", ")", ",", "Exhibit", "B", "(", "Expenses", "and", "Taxes", ")", ",", "Exhibit", "C", "(", "Work", "Letter", ")", ",", "Exhibit", "D", "(", "Commencement", "Letter", ")", ",", "Exhibit", "E", "(", "Building", "Rules", "and", "Regulations", ")", ",", "and", "Exhibit", "F", "(", "Additional", "Provisions", ")", "."]}
{"id": "14626", "text": "1. | Basic Lease Information. ---|--- 1.01Building shall mean the building located at 2400 District Avenue , Burlington, Massachusetts 01803. Rentable <sup> Square Footage of the Building is deemed to be 103,184 square feet.", "ner": [[23, 30, "Address"], [45, 49, "Rent"]], "tokenized_text": ["1", ".", "|", "Basic", "Lease", "Information", ".", "-", "-", "-", "|", "-", "-", "-", "1", ".", "01Building", "shall", "mean", "the", "building", "located", "at", "2400", "District", "Avenue", ",", "Burlington", ",", "Massachusetts", "01803", ".", "Rentable", "<", "sup", ">", "Square", "Footage", "of", "the", "Building", "is", "deemed", "to", "be", "103", ",", "184", "square", "feet", "."]}
{"id": "14627", "text": "1.03Premises shall mean the area shown on Exhibit A-1 to this Lease. The Premises are located on the third (3rd) floor of the Building and known as Suite 310 . The Rentable Square Footage of the Premises is deemed to be 13,066 rentable square feet. Landlord and Tenant stipulate and agree that the Rentable Square Footage of the Building, and the Rentable Square Footage of the Premises are correct. The Premises exclude Common Areas (as defined below). If the Premises include less than the entire rentable area of any floor, then the Premises also exclude the common corridors, elevator lobby and toilets located on such floor.", "ner": [[32, 33, "Address"]], "tokenized_text": ["1", ".", "03Premises", "shall", "mean", "the", "area", "shown", "on", "Exhibit", "A-1", "to", "this", "Lease", ".", "The", "Premises", "are", "located", "on", "the", "third", "(", "3rd", ")", "floor", "of", "the", "Building", "and", "known", "as", "Suite", "310", ".", "The", "Rentable", "Square", "Footage", "of", "the", "Premises", "is", "deemed", "to", "be", "13", ",", "066", "rentable", "square", "feet", ".", "Landlord", "and", "Tenant", "stipulate", "and", "agree", "that", "the", "Rentable", "Square", "Footage", "of", "the", "Building", ",", "and", "the", "Rentable", "Square", "Footage", "of", "the", "Premises", "are", "correct", ".", "The", "Premises", "exclude", "Common", "Areas", "(", "as", "defined", "below", ")", ".", "If", "the", "Premises", "include", "less", "than", "the", "entire", "rentable", "area", "of", "any", "floor", ",", "then", "the", "Premises", "also", "exclude", "the", "common", "corridors", ",", "elevator", "lobby", "and", "toilets", "located", "on", "such", "floor", "."]}
{"id": "14628", "text": "| | $ | 31.50 | * | | $ | 315,000.00 | * | | $ | 26,250.00 | * Months 13-24", "ner": [[13, 17, "Rent"], [24, 28, "Rent"]], "tokenized_text": ["|", "|", "$", "|", "31", ".", "50", "|", "*", "|", "|", "$", "|", "315", ",", "000", ".", "00", "|", "*", "|", "|", "$", "|", "26", ",", "250", ".", "00", "|", "*", "Months", "13-24"]}
{"id": "14629", "text": "| | $ | 32.50 | | | $ | 424,645.00 | | | $ | 35,387.08 | Months 25-36", "ner": [[12, 16, "Rent"], [22, 26, "Rent"]], "tokenized_text": ["|", "|", "$", "|", "32", ".", "50", "|", "|", "|", "$", "|", "424", ",", "645", ".", "00", "|", "|", "|", "$", "|", "35", ",", "387", ".", "08", "|", "Months", "25-36"]}
{"id": "14630", "text": "| | $ | 33.50 | | | $ | 437,711.00 | | | $ | 36,475.92 | Months 37-48", "ner": [[12, 16, "Rent"], [22, 26, "Rent"]], "tokenized_text": ["|", "|", "$", "|", "33", ".", "50", "|", "|", "|", "$", "|", "437", ",", "711", ".", "00", "|", "|", "|", "$", "|", "36", ",", "475", ".", "92", "|", "Months", "37-48"]}
{"id": "14632", "text": "| | $ | 35.50 | | | $ | 463,843.00 | | | $ | 38,653.58 |", "ner": [[12, 16, "Rent"], [22, 26, "Rent"]], "tokenized_text": ["|", "|", "$", "|", "35", ".", "50", "|", "|", "|", "$", "|", "463", ",", "843", ".", "00", "|", "|", "|", "$", "|", "38", ",", "653", ".", "58", "|"]}
{"id": "14634", "text": "131 Hartwell Avenue, Suite 215", "ner": [[0, 5, "Address"]], "tokenized_text": ["131", "Hartwell", "Avenue", ",", "Suite", "215"]}
{"id": "14635", "text": "Newton Lower Falls, MA 02462", "ner": [], "tokenized_text": ["Newton", "Lower", "Falls", ",", "MA", "02462"]}
{"id": "14636", "text": "4. | Rent. ---|--- 4.01From and after the Commencement Date, Tenant shall pay Landlord, without any setoff or deduction, unless expressly set forth in this Lease, all Base Rent and Additional Rent due for the Term (collectively referred to as Rent). Additional Rent means all sums (exclusive of Base Rent) that Tenant is required to pay Landlord under this Lease. Tenant shall pay and be liable for all rental, sales and use taxes (but excluding income taxes), if any, imposed upon or measured by Rent. Base Rent and recurring monthly charges of Additional Rent shall be due and payable in advance on the first day of each calendar month without notice or demand. All other items of Rent shall be due and payable by Tenant on or before thirty (30)days after billing by Landlord. Rent shall be made payable to the entity, and sent to the address, Landlord designates and shall be made by good and sufficient check payable in United States of America currency or by other means designated by Landlord from time to time. If Tenant does not pay any Rent when due hereunder, Tenant shall pay Landlord an administration fee in the amount of $500.00, provided that Tenant shall be entitled to a grace period of up to five (5)days for the first late payment of Rent in a calendar year; provided, however, Landlord shall waive the administration fee for one (1)late payment in any twelve (12)month period during the Term. In addition, past due Rent shall accrue interest at twelve percent ( 12% ) per annum, and Tenant shall pay Landlord a reasonable fee for any checks returned by Tenants bank for any reason. Nothing in this paragraph shall be deemed to waive or condition any claim of Default by Landlord for Tenants failure to timely pay Rent, which is governed by Section18, below. Landlords acceptance of less than the correct amount of Rent shall be considered a payment on account of the oldest obligation due from Tenant hereunder, then to any current Rent then due hereunder, notwithstanding any statement to the contrary contained on or accompanying any such payment from Tenant. Rent for any partial month during the Term shall be prorated. No endorsement or statement on a check or letter accompanying payment shall be considered an accord and satisfaction. Tenants obligation so to pay Rent under the Lease shall be absolute, unconditional, and independent and shall not be discharged or otherwise affected by any law or regulation now or hereafter applicable to the Premises, or any other restriction on Tenants use, or, except as expressly provided in the Lease, any casualty or taking, or any failure by Landlord to perform or other occurrence; and Tenant waives all rights now or hereafter existing to assert any defense in the nature of constructive eviction to any action seeking to recover Rent.", "ner": [[41, 42, "Rent"], [44, 45, "Rent"], [232, 235, "Rent"], [309, 310, "Percentage"]], "tokenized_text": ["4", ".", "|", "Rent", ".", "-", "-", "-", "|", "-", "-", "-", "4", ".", "01From", "and", "after", "the", "Commencement", "Date", ",", "Tenant", "shall", "pay", "Landlord", ",", "without", "any", "setoff", "or", "deduction", ",", "unless", "expressly", "set", "forth", "in", "this", "Lease", ",", "all", "Base", "Rent", "and", "Additional", 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"payable", "to", "the", "entity", ",", "and", "sent", "to", "the", "address", ",", "Landlord", "designates", "and", "shall", "be", "made", "by", "good", "and", "sufficient", "check", "payable", "in", "United", "States", "of", "America", "currency", "or", "by", "other", "means", "designated", "by", "Landlord", "from", "time", "to", "time", ".", "If", "Tenant", "does", "not", "pay", "any", "Rent", "when", "due", "hereunder", ",", "Tenant", "shall", "pay", "Landlord", "an", "administration", "fee", "in", "the", "amount", "of", "$", "500", ".", "00", ",", "provided", "that", "Tenant", "shall", "be", "entitled", "to", "a", "grace", "period", "of", "up", "to", "five", "(", "5", ")", "days", "for", "the", "first", "late", "payment", "of", "Rent", "in", "a", "calendar", "year", ";", "provided", ",", "however", ",", "Landlord", "shall", "waive", "the", "administration", "fee", "for", "one", "(", "1", ")", "late", "payment", "in", "any", "twelve", "(", "12", ")", "month", "period", "during", "the", "Term", ".", "In", "addition", ",", "past", "due", "Rent", "shall", "accrue", "interest", "at", "twelve", "percent", "(", "12", "%", ")", "per", "annum", ",", "and", "Tenant", "shall", "pay", "Landlord", "a", "reasonable", "fee", "for", "any", "checks", "returned", "by", "Tenants", "bank", "for", "any", "reason", ".", "Nothing", "in", "this", "paragraph", "shall", "be", "deemed", "to", "waive", "or", "condition", "any", "claim", "of", "Default", "by", "Landlord", "for", "Tenants", "failure", "to", "timely", "pay", "Rent", ",", "which", "is", "governed", "by", "Section18", ",", "below", ".", "Landlords", "acceptance", "of", "less", "than", "the", "correct", "amount", "of", "Rent", "shall", "be", "considered", "a", "payment", "on", "account", "of", "the", "oldest", "obligation", "due", "from", "Tenant", "hereunder", ",", "then", "to", "any", "current", "Rent", "then", "due", "hereunder", ",", "notwithstanding", "any", "statement", "to", "the", "contrary", "contained", "on", "or", "accompanying", "any", "such", "payment", "from", "Tenant", ".", "Rent", "for", "any", "partial", "month", "during", "the", "Term", "shall", "be", "prorated", ".", "No", "endorsement", "or", "statement", "on", "a", "check", "or", "letter", "accompanying", "payment", "shall", "be", "considered", "an", "accord", "and", "satisfaction", ".", "Tenants", "obligation", "so", "to", "pay", "Rent", "under", "the", "Lease", "shall", "be", "absolute", ",", "unconditional", ",", "and", "independent", "and", "shall", "not", "be", "discharged", "or", "otherwise", "affected", "by", "any", "law", "or", "regulation", "now", "or", "hereafter", "applicable", "to", "the", "Premises", ",", "or", "any", "other", "restriction", "on", "Tenants", "use", ",", "or", ",", "except", "as", "expressly", "provided", "in", "the", "Lease", ",", "any", "casualty", "or", "taking", ",", "or", "any", "failure", "by", "Landlord", "to", "perform", "or", "other", "occurrence", ";", "and", "Tenant", "waives", "all", "rights", "now", "or", "hereafter", "existing", "to", "assert", "any", "defense", "in", "the", "nature", "of", "constructive", "eviction", "to", "any", "action", "seeking", "to", "recover", "Rent", "."]}
{"id": "14637", "text": "5. | Compliance with Laws; Use. ---|--- The Premises shall be used for the Permitted Use and for no other use whatsoever. Tenant shall comply with all statutes, codes, ordinances, orders, rules and regulations of any municipal or governmental entity whether in effect now or later, including the Americans with Disabilities Act and the rules and regulations of the Massachusetts Architectural Access Board (Law(s)), regarding the operation of Tenants business, the use, condition, configuration and occupancy of the Premises and the Building systems located in or exclusively serving the Premises.", "ner": [[63, 66, "Act"], [74, 77, "Act"]], "tokenized_text": ["5", ".", "|", "Compliance", "with", "Laws", ";", "Use", ".", "-", "-", "-", "|", "-", "-", "-", "The", "Premises", "shall", "be", "used", "for", "the", "Permitted", "Use", "and", "for", "no", "other", "use", "whatsoever", ".", "Tenant", "shall", "comply", "with", "all", "statutes", ",", "codes", ",", "ordinances", ",", "orders", ",", "rules", "and", "regulations", "of", "any", "municipal", "or", "governmental", "entity", "whether", "in", "effect", "now", "or", "later", ",", "including", "the", "Americans", "with", "Disabilities", "Act", "and", "the", "rules", "and", "regulations", "of", "the", "Massachusetts", "Architectural", "Access", "Board", "(", "Law", "(", "s", ")", ")", ",", "regarding", "the", "operation", "of", "Tenants", "business", ",", "the", "use", ",", "condition", ",", "configuration", "and", "occupancy", "of", "the", "Premises", "and", "the", "Building", "systems", "located", "in", "or", "exclusively", "serving", "the", "Premises", "."]}
{"id": "14638", "text": "7.03Landlords failure to furnish, or any interruption, diminishment or termination of services due to the application of Laws, the failure of any equipment, the performance of maintenance, repairs, improvements or alterations, utility interruptions or the occurrence of an event of Force Majeure (defined in Section26.03) (collectively a Service Failure) shall not render Landlord liable to Tenant, constitute a constructive eviction of Tenant, give rise to an abatement of Rent, nor relieve Tenant from the obligation to fulfill any covenant or agreement. Notwithstanding the foregoing, if all or any portion of the Premises is rendered Untenantable (as defined below) solely as a result of the failure of any Essential Service (as defined below) due to Landlords negligence or willful misconduct and Tenant does not use or occupy the same during said period, then Tenants obligation pay Base Rent and Additional Rent hereunder shall be abated in proportion to the portion of the Premises rendered Untenantable until the date on which such Untenantability is cured, provided that such abatement shall not commence until the fifth (5th) Business Day after the date on which Tenant delivers written notice to Landlord of the interruption and an opportunity, within such five (5)Business Day period, to cure same. The rate at which Base Rent or Additional Rent may be abated under this Section7.03 in any one calendar month shall not exceed twenty-five percent ( 25% ) of the Base Rent payable for such calendar month, provided that any amount not permitted to be taken as an abatement as a result of such monthly cap shall be credited against the Base Rent or Additional Rent next thereafter due under this Lease, subject to such monthly cap. In the event that the foregoing monthly cap would have the effect of depriving Tenant of any portion of abatement to which it is otherwise entitled hereunder due to the number of calendar months remaining in the term, the monthly cap may be increased proportionately to the extent necessary to avoid such result.", "ner": [[160, 161, "Rent"], [163, 164, "Rent"], [264, 265, "Percentage"]], "tokenized_text": ["7", ".", "03Landlords", "failure", "to", "furnish", ",", "or", "any", "interruption", ",", "diminishment", "or", "termination", "of", "services", "due", "to", "the", "application", "of", "Laws", ",", "the", "failure", "of", "any", "equipment", ",", "the", "performance", "of", "maintenance", ",", "repairs", ",", "improvements", "or", "alterations", ",", "utility", "interruptions", "or", "the", "occurrence", "of", "an", "event", "of", "Force", "Majeure", "(", "defined", "in", "Section26", ".", "03", ")", "(", "collectively", "a", "Service", "Failure", ")", "shall", "not", "render", "Landlord", "liable", "to", "Tenant", ",", "constitute", "a", "constructive", "eviction", "of", "Tenant", ",", "give", "rise", "to", "an", "abatement", "of", "Rent", ",", "nor", "relieve", "Tenant", "from", "the", "obligation", "to", "fulfill", "any", "covenant", "or", "agreement", ".", "Notwithstanding", "the", "foregoing", ",", "if", "all", "or", "any", "portion", "of", "the", "Premises", "is", "rendered", "Untenantable", "(", "as", "defined", "below", ")", "solely", "as", "a", "result", "of", "the", "failure", "of", "any", "Essential", "Service", "(", "as", "defined", "below", ")", "due", "to", "Landlords", "negligence", "or", "willful", "misconduct", "and", "Tenant", "does", "not", "use", "or", "occupy", "the", "same", "during", "said", "period", ",", "then", "Tenants", "obligation", "pay", "Base", "Rent", "and", "Additional", "Rent", "hereunder", "shall", "be", "abated", "in", "proportion", "to", "the", "portion", "of", "the", "Premises", "rendered", "Untenantable", "until", "the", "date", "on", "which", "such", "Untenantability", "is", "cured", ",", "provided", "that", "such", "abatement", "shall", "not", "commence", "until", "the", "fifth", "(", "5th", ")", "Business", "Day", "after", "the", "date", "on", "which", "Tenant", "delivers", "written", "notice", "to", "Landlord", "of", "the", "interruption", "and", "an", "opportunity", ",", "within", "such", "five", "(", "5", ")", "Business", "Day", "period", ",", "to", "cure", "same", ".", "The", "rate", "at", "which", "Base", "Rent", "or", "Additional", "Rent", "may", "be", "abated", "under", "this", "Section7", ".", "03", "in", "any", "one", "calendar", "month", "shall", "not", "exceed", "twenty-five", "percent", "(", "25", "%", ")", "of", "the", "Base", "Rent", "payable", "for", "such", "calendar", "month", ",", "provided", "that", "any", "amount", "not", "permitted", "to", "be", "taken", "as", "an", "abatement", "as", "a", "result", "of", "such", "monthly", "cap", "shall", "be", "credited", "against", "the", "Base", "Rent", "or", "Additional", "Rent", "next", "thereafter", "due", "under", "this", "Lease", ",", "subject", "to", "such", "monthly", "cap", ".", "In", "the", "event", "that", "the", "foregoing", "monthly", "cap", "would", "have", "the", "effect", "of", "depriving", "Tenant", "of", "any", "portion", "of", "abatement", "to", "which", "it", "is", "otherwise", "entitled", "hereunder", "due", "to", "the", "number", "of", "calendar", "months", "remaining", "in", "the", "term", ",", "the", "monthly", "cap", "may", "be", "increased", "proportionately", "to", "the", "extent", "necessary", "to", "avoid", "such", "result", "."]}
{"id": "14639", "text": "11. | Assignment and Subletting. ---|--- 11.01Except in connection with a Business Transfer (defined in Section11.04), Tenant shall not assign, sublease, transfer or encumber any interest in this Lease or allow any third party to use any portion of the Premises (collectively or individually, a Transfer) without the prior written consent of Landlord. Landlord shall not unreasonably withhold, condition or delay its consent to any assignment of this Lease if Landlord does not exercise its recapture rights under Section11.02. Without limitation, it is agreed that Landlords consent to any assignment or sublet shall not be considered unreasonably withheld if the proposed transferee is a governmental entity or an occupant of the Building or an occupant of any other buildings within the same project or if the proposed transferee, whether or not an occupant of the Building or an occupant of any other buildings within the same project, is, or has been within the last six (6)months, in discussions with Landlord or any affiliate of Landlord regarding the leasing of space within the Building or within any other buildings within the Park, but only to the extent Landlord has similar space currently available for lease. Without limiting the foregoing, a Transfer shall be deemed to include any change in control in at least fifty percent ( 50% ) of the voting rights/shares of Tenant (other than through a change in the ownership of voting securities listed on a recognized public securities exchange). Any Transfer in violation of this Section shall, at Landlords option, be deemed a Default by Tenant as described in Section18, and shall be voidable by Landlord. In no event shall any Transfer, including a Business Transfer, release or relieve Tenant from any obligation under this Lease, and Tenant shall remain primarily liable for the performance of the tenants obligations under this Lease, as amended from time to time. Without otherwise limiting the criteria upon which Landlord may withhold its consent, Landlord shall be entitled to consider all reasonable criteria including, but not limited to, the following: (1)whether or not the proposed transferee is engaged in a business which, and the use of the Premises for the Permitted Use, (2)whether the use to be made of the Premises by the proposed transferee will conflict with any so-called exclusive use then in favor of any other tenant of the Building or the Park (Landlord hereby confirming that, as of the Effective Date, there are no such exclusives that affect the Permitted Use), and whether such use would be prohibited by any other portion of this Lease, including, but not limited to, any rules and regulations then in effect, or under applicable Laws, and whether such use imposes a greater load upon the Premises and the Building and the Park services than imposed by Tenant, (3), and (3)the creditworthiness and financial stability of the proposed transferee in light of the responsibilities involved.", "ner": [[251, 252, "Percentage"]], "tokenized_text": ["11", ".", "|", "Assignment", "and", "Subletting", ".", "-", "-", "-", "|", "-", "-", "-", "11", ".", "01Except", "in", "connection", "with", "a", "Business", "Transfer", "(", "defined", "in", "Section11", ".", "04", ")", ",", "Tenant", "shall", "not", "assign", ",", "sublease", ",", "transfer", "or", "encumber", "any", "interest", "in", "this", "Lease", "or", "allow", "any", "third", "party", "to", "use", "any", "portion", "of", "the", "Premises", "(", "collectively", "or", "individually", ",", "a", "Transfer", ")", "without", "the", "prior", "written", "consent", "of", "Landlord", ".", "Landlord", "shall", "not", "unreasonably", "withhold", ",", "condition", "or", "delay", "its", "consent", "to", "any", "assignment", "of", "this", "Lease", "if", "Landlord", "does", "not", "exercise", "its", "recapture", "rights", "under", "Section11", ".", "02", ".", "Without", "limitation", ",", "it", "is", "agreed", "that", "Landlords", "consent", "to", "any", "assignment", "or", "sublet", "shall", "not", "be", "considered", "unreasonably", "withheld", "if", "the", "proposed", "transferee", "is", "a", "governmental", "entity", "or", "an", "occupant", "of", "the", "Building", "or", "an", "occupant", "of", "any", "other", "buildings", "within", "the", "same", "project", "or", "if", "the", "proposed", "transferee", ",", "whether", "or", "not", "an", "occupant", "of", "the", "Building", "or", "an", "occupant", "of", "any", "other", "buildings", "within", "the", "same", "project", ",", "is", ",", "or", "has", "been", "within", "the", "last", "six", "(", "6", ")", "months", ",", "in", "discussions", "with", "Landlord", "or", "any", "affiliate", "of", "Landlord", "regarding", "the", "leasing", "of", "space", "within", "the", "Building", "or", "within", "any", "other", "buildings", "within", "the", "Park", ",", "but", "only", "to", "the", "extent", "Landlord", "has", "similar", "space", "currently", "available", "for", "lease", ".", "Without", "limiting", "the", "foregoing", ",", "a", "Transfer", "shall", "be", "deemed", "to", "include", "any", "change", "in", "control", "in", "at", "least", "fifty", "percent", "(", "50", "%", ")", "of", "the", "voting", "rights", "/", "shares", "of", "Tenant", "(", "other", "than", "through", "a", "change", "in", "the", "ownership", "of", "voting", "securities", "listed", "on", "a", "recognized", "public", "securities", "exchange", ")", ".", "Any", "Transfer", "in", "violation", "of", "this", "Section", "shall", ",", "at", "Landlords", "option", ",", "be", "deemed", "a", "Default", "by", "Tenant", "as", "described", "in", "Section18", ",", "and", "shall", "be", "voidable", "by", "Landlord", ".", "In", "no", "event", "shall", "any", "Transfer", ",", "including", "a", "Business", "Transfer", ",", "release", "or", "relieve", "Tenant", "from", "any", "obligation", "under", "this", "Lease", ",", "and", "Tenant", "shall", "remain", "primarily", "liable", "for", "the", "performance", "of", "the", "tenants", "obligations", "under", "this", "Lease", ",", "as", "amended", "from", "time", "to", "time", ".", "Without", "otherwise", "limiting", "the", "criteria", "upon", "which", "Landlord", "may", "withhold", "its", "consent", ",", "Landlord", "shall", "be", "entitled", "to", "consider", "all", "reasonable", "criteria", "including", ",", "but", "not", "limited", "to", ",", "the", "following", ":", "(", "1", ")", "whether", "or", "not", "the", "proposed", "transferee", "is", "engaged", "in", "a", "business", "which", ",", "and", "the", "use", "of", "the", "Premises", "for", "the", "Permitted", "Use", ",", "(", "2", ")", "whether", "the", "use", "to", "be", "made", "of", "the", "Premises", "by", "the", "proposed", "transferee", "will", "conflict", "with", "any", "so-called", "exclusive", "use", "then", "in", "favor", "of", "any", "other", "tenant", "of", "the", "Building", "or", "the", "Park", "(", "Landlord", "hereby", "confirming", "that", ",", "as", "of", "the", "Effective", "Date", ",", "there", "are", "no", "such", "exclusives", "that", "affect", "the", "Permitted", "Use", ")", ",", "and", "whether", "such", "use", "would", "be", "prohibited", "by", "any", "other", "portion", "of", "this", "Lease", ",", "including", ",", "but", "not", "limited", "to", ",", "any", "rules", "and", "regulations", "then", "in", "effect", ",", "or", "under", "applicable", "Laws", ",", "and", "whether", "such", "use", "imposes", "a", "greater", "load", "upon", "the", "Premises", "and", "the", "Building", "and", "the", "Park", "services", "than", "imposed", "by", "Tenant", ",", "(", "3", ")", ",", "and", "(", "3", ")", "the", "creditworthiness", "and", "financial", "stability", "of", "the", "proposed", "transferee", "in", "light", "of", "the", "responsibilities", "involved", "."]}
{"id": "14640", "text": "11.02Tenant shall provide Landlord with financial statements for the proposed transferee (or, in the case of a change of ownership or control, for the proposed new controlling entity(ies)), a fully executed copy of the proposed assignment or sublease (or, where applicable, other Transfer) documentation and such other information as Landlord may reasonably request. Within fifteen (15)days after receipt of the required information and documentation, Landlord shall either: (a)consent to any assignment or sublet by execution of a consent agreement in a form reasonably designated by Landlord; (b)reasonably refuse to consent to any assignment or sublet in writing; or (c)in the event of an assignment of this Lease or subletting of more than fifty percent ( 50% ) of the Rentable Square Footage of the Premises for the then remaining Term (excluding unexercised options), recapture the portion of the Premises that Tenant is proposing to assign or sublet. If Landlord exercises its right to recapture, this Lease shall automatically be amended (or terminated if the entire Premises is being assigned or sublet) to delete the applicable portion of the Premises effective on the proposed effective date of the Transfer, although Landlord may require Tenant to execute a reasonable amendment or other document reflecting such reduction or termination. Tenant shall pay Landlord a review fee of up to $1,500.00 for Landlords out of pocket costs in connection with Landlords review of any requested Transfer, whether or not Landlord approves same.", "ner": [[146, 147, "Percentage"], [257, 262, "Percentage"]], "tokenized_text": ["11", ".", "02Tenant", "shall", "provide", "Landlord", "with", "financial", "statements", "for", "the", "proposed", "transferee", "(", "or", ",", "in", "the", "case", "of", "a", "change", "of", "ownership", "or", "control", ",", "for", "the", "proposed", "new", "controlling", "entity", "(", "ies", ")", ")", ",", "a", "fully", "executed", "copy", "of", "the", "proposed", "assignment", "or", "sublease", "(", "or", ",", "where", "applicable", ",", "other", "Transfer", ")", "documentation", "and", "such", "other", "information", "as", "Landlord", "may", "reasonably", "request", ".", "Within", "fifteen", "(", "15", ")", "days", "after", "receipt", "of", "the", "required", "information", "and", "documentation", ",", "Landlord", "shall", "either", ":", "(", "a", ")", "consent", "to", "any", "assignment", "or", "sublet", "by", "execution", "of", "a", "consent", "agreement", "in", "a", "form", "reasonably", "designated", "by", "Landlord", ";", "(", "b", ")", "reasonably", "refuse", "to", "consent", "to", "any", "assignment", "or", "sublet", "in", "writing", ";", "or", "(", "c", ")", "in", "the", "event", "of", "an", "assignment", "of", "this", "Lease", "or", "subletting", "of", "more", "than", "fifty", "percent", "(", "50", "%", ")", "of", "the", "Rentable", "Square", "Footage", "of", "the", "Premises", "for", "the", "then", "remaining", "Term", "(", "excluding", "unexercised", "options", ")", ",", "recapture", "the", "portion", "of", "the", "Premises", "that", "Tenant", "is", "proposing", "to", "assign", "or", "sublet", ".", "If", "Landlord", "exercises", "its", "right", "to", "recapture", ",", "this", "Lease", "shall", "automatically", "be", "amended", "(", "or", "terminated", "if", "the", "entire", "Premises", "is", "being", "assigned", "or", "sublet", ")", "to", "delete", "the", "applicable", "portion", "of", "the", "Premises", "effective", "on", "the", "proposed", "effective", "date", "of", "the", "Transfer", ",", "although", "Landlord", "may", "require", "Tenant", "to", "execute", "a", "reasonable", "amendment", "or", "other", "document", "reflecting", "such", "reduction", "or", "termination", ".", "Tenant", "shall", "pay", "Landlord", "a", "review", "fee", "of", "up", "to", "$", "1", ",", "500", ".", "00", "for", "Landlords", "out", "of", "pocket", "costs", "in", "connection", "with", "Landlords", "review", "of", "any", "requested", "Transfer", ",", "whether", "or", "not", "Landlord", "approves", "same", "."]}
{"id": "14643", "text": "Authorized Officer | | ---|---|--- TENANT: SCPHARMACEUTICALS INC. , a Delaware corporation | | ---|---|--- | By: | |", "ner": [[17, 19, "Parties"]], "tokenized_text": ["Authorized", "Officer", "|", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "TENANT", ":", "SCPHARMACEUTICALS", "INC", ".", ",", "a", "Delaware", "corporation", "|", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "By", ":", "|", "|"]}
{"id": "14645", "text": "All that certain parcel of registered land with the buildings thereon situated on Burlington Mall Road and Executive Mall Road (formerly Entrance Road) in The District in the Town of Burlington, Middlesex County, Commonwealth of Massachusetts and being known and numbered as 2400 District Avenue in said Burlington, all more particularly described as follows:", "ner": [[13, 15, "Address"], [17, 19, "Address"], [22, 23, "Address"], [46, 48, "Address"]], "tokenized_text": ["All", "that", "certain", "parcel", "of", "registered", "land", "with", "the", "buildings", "thereon", "situated", "on", "Burlington", "Mall", "Road", "and", "Executive", "Mall", "Road", "(", "formerly", "Entrance", "Road", ")", "in", "The", "District", "in", "the", "Town", "of", "Burlington", ",", "Middlesex", "County", ",", "Commonwealth", "of", "Massachusetts", "and", "being", "known", "and", "numbered", "as", "2400", "District", "Avenue", "in", "said", "Burlington", ",", "all", "more", "particularly", "described", "as", "follows", ":"]}
{"id": "14646", "text": "That certain parcel of land situated in Burlington, Middlesex County, Massachusetts being more particularly shown as Lot 19 on Land Court Plan No. 31049-I filed with the Middlesex South Registry District of the Land Court in Registration Book 771, Page 47 with Certificate 128197.", "ner": [[7, 12, "Address"], [30, 33, "Court"]], "tokenized_text": ["That", "certain", "parcel", "of", "land", "situated", "in", "Burlington", ",", "Middlesex", "County", ",", "Massachusetts", "being", "more", "particularly", "shown", "as", "Lot", "19", "on", "Land", "Court", "Plan", "No", ".", "31049-I", "filed", "with", "the", "Middlesex", "South", "Registry", "District", "of", "the", "Land", "Court", "in", "Registration", "Book", "771", ",", "Page", "47", "with", "Certificate", "128197", "."]}
{"id": "14647", "text": "| (h) | Any delay resulting from Tenants having taken possession of the Premises for any reason prior to Landlord Work being Substantially Complete ; or ---|---|---", "ner": [], "tokenized_text": ["|", "(", "h", ")", "|", "Any", "delay", "resulting", "from", "Tenants", "having", "taken", "possession", "of", "the", "Premises", "for", "any", "reason", "prior", "to", "Landlord", "Work", "being", "Substantially", "Complete", ";", "or", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "14648", "text": "| i. | Office interiors ---|---|--- 100, 700 and 2400 District Avenue", "ner": [[17, 23, "Address"]], "tokenized_text": ["|", "i", ".", "|", "Office", "interiors", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "100", ",", "700", "and", "2400", "District", "Avenue"]}
{"id": "14651", "text": "| d. | All new light switches to be white plate and white device. If existing devices are to remain in 50% of suite they must match existing ---|---|---", "ner": [[23, 24, "Percentage"]], "tokenized_text": ["|", "d", ".", "|", "All", "new", "light", "switches", "to", "be", "white", "plate", "and", "white", "device", ".", "If", "existing", "devices", "are", "to", "remain", "in", "50", "%", "of", "suite", "they", "must", "match", "existing", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "14654", "text": "| | ---|---|--- Date | | 2017 Tenant | | ScPharmaceuticals Inc. Address | | 2400 District Avenue , Suite 310 <sup> | | Burlington, Massachusetts 01803", "ner": [[20, 22, "Parties"], [26, 31, "Address"], [37, 40, "Address"]], "tokenized_text": ["|", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "Date", "|", "|", "2017", "Tenant", "|", "|", "ScPharmaceuticals", "Inc", ".", "Address", "|", "|", "2400", "District", "Avenue", ",", "Suite", "310", "<", "sup", ">", "|", "|", "Burlington", ",", "Massachusetts", "01803"]}
{"id": "14655", "text": "Re: | Commencement Letter with respect to that certain Lease dated as of , 2017, by and between NEEP Investors Holdings LLC , as Landlord, and ScPharmaceuticals Inc. , as Tenant, for 13,066 rentable square feet on the 3rd floor of the Building located at 2400 District Avenue , Burlington, Massachusetts 01803 <sup> . ---|--- Dear :", "ner": [[20, 23, "Parties"], [29, 31, "Parties"], [37, 39, "Rent"], [52, 59, "Address"]], "tokenized_text": ["Re", ":", "|", "Commencement", "Letter", "with", "respect", "to", "that", "certain", "Lease", "dated", "as", "of", ",", "2017", ",", "by", "and", "between", "NEEP", "Investors", "Holdings", "LLC", ",", "as", "Landlord", ",", "and", "ScPharmaceuticals", "Inc", ".", ",", "as", "Tenant", ",", "for", "13", ",", "066", "rentable", "square", "feet", "on", "the", "3rd", "floor", "of", "the", "Building", "located", "at", "2400", "District", "Avenue", ",", "Burlington", ",", "Massachusetts", "01803", "<", "sup", ">", ".", "-", "-", "-", "|", "-", "-", "-", "Dear", ":"]}
{"id": "14656", "text": "| | ---|---|--- NEEP Investors Holdings LLC | By: | |", "ner": [[13, 16, "Parties"]], "tokenized_text": ["|", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "NEEP", "Investors", "Holdings", "LLC", "|", "By", ":", "|", "|"]}
{"id": "14657", "text": "12.No inflammable, explosive or dangerous fluids or substances shall be used or kept by Tenant in the Premises, Building or about the Property, except for those substances as are typically found in similar premises used for general office purposes and are being used by Tenant in a safe manner and in accordance with all applicable Laws. Tenant shall not, without Landlords prior written consent, use, store, install, spill, remove, release or dispose of, within or about the Premises or any other portion of the Property, any asbestos-containing materials or any solid, liquid or gaseous material now or subsequently considered toxic or hazardous under the provisions of 42 U.S.C. Section9601 et seq., M.G.L. c. 21C, M.G.L. c. 21E or any other applicable environmental Law which may now or later be in effect. Tenant shall comply with all Laws pertaining to and governing the use of these materials by Tenant and shall remain solely liable for the costs of abatement and removal.", "ner": [[122, 129, "Regulation"], [134, 142, "Regulation"], [144, 152, "Regulation"]], "tokenized_text": ["12", ".", "No", "inflammable", ",", "explosive", "or", "dangerous", "fluids", "or", "substances", "shall", "be", "used", "or", "kept", "by", "Tenant", "in", "the", "Premises", ",", "Building", "or", "about", "the", "Property", ",", "except", "for", "those", "substances", "as", "are", "typically", "found", "in", "similar", "premises", "used", "for", "general", "office", "purposes", "and", "are", "being", "used", "by", "Tenant", "in", "a", "safe", "manner", "and", "in", "accordance", "with", "all", "applicable", "Laws", ".", "Tenant", "shall", "not", ",", "without", "Landlords", "prior", "written", "consent", ",", "use", ",", "store", ",", "install", ",", "spill", ",", "remove", ",", "release", "or", "dispose", "of", ",", "within", "or", "about", "the", "Premises", "or", "any", "other", "portion", "of", "the", "Property", ",", "any", "asbestos-containing", "materials", "or", "any", "solid", ",", "liquid", "or", "gaseous", "material", "now", "or", "subsequently", "considered", "toxic", "or", "hazardous", "under", "the", "provisions", "of", "42", "U", ".", "S", ".", "C", ".", "Section9601", "et", "seq", ".", ",", "M", ".", "G", ".", "L", ".", "c", ".", "21C", ",", "M", ".", "G", ".", "L", ".", "c", ".", "21E", "or", "any", "other", "applicable", "environmental", "Law", "which", "may", "now", "or", "later", "be", "in", "effect", ".", "Tenant", "shall", "comply", "with", "all", "Laws", "pertaining", "to", "and", "governing", "the", "use", "of", "these", "materials", "by", "Tenant", "and", "shall", "remain", "solely", "liable", "for", "the", "costs", "of", "abatement", "and", "removal", "."]}
{"id": "14661", "text": "or similar bodies of for-profit organizations, in each case, so long as such activities in the aggregate do not (a)materially interfere with the performance of Executives duties and responsibilities hereunder, (b)create a fiduciary conflict, or (c)with respect to (ii), (iii), and (iv)only, detrimentally affect the Companys reputation as reasonably determined by the Company in good faith. If requested, Executive shall also serve as an executive officer and/or member of the board of directors of any entity that directly or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with, Cedar Fair, L.P. (an Affiliate) without additional compensation including, and being subject to his election by Unitholders, serving as a member of the Board during the Employment Period.", "ner": [[127, 133, "Parties"]], "tokenized_text": ["or", "similar", "bodies", "of", "for-profit", "organizations", ",", "in", "each", "case", ",", "so", "long", "as", "such", "activities", "in", "the", "aggregate", "do", "not", "(", "a", ")", "materially", "interfere", "with", "the", "performance", "of", "Executives", "duties", "and", "responsibilities", "hereunder", ",", "(", "b", ")", "create", "a", "fiduciary", "conflict", ",", "or", "(", "c", ")", "with", "respect", "to", "(", "ii", ")", ",", "(", "iii", ")", ",", "and", "(", "iv", ")", "only", ",", "detrimentally", "affect", "the", "Companys", "reputation", "as", "reasonably", "determined", "by", "the", "Company", "in", "good", "faith", ".", "If", "requested", ",", "Executive", "shall", "also", "serve", "as", "an", "executive", "officer", "and", "/", "or", "member", "of", "the", "board", "of", "directors", "of", "any", "entity", "that", "directly", "or", "indirectly", "through", "one", "or", "more", "intermediaries", ",", "controls", ",", "or", "is", "controlled", "by", ",", "or", "is", "under", "common", "control", "with", ",", "Cedar", "Fair", ",", "L", ".", "P", ".", "(", "an", "Affiliate", ")", "without", "additional", "compensation", "including", ",", "and", "being", "subject", "to", "his", "election", "by", "Unitholders", ",", "serving", "as", "a", "member", "of", "the", "Board", "during", "the", "Employment", "Period", "."]}
{"id": "14662", "text": "6.1 Termination Without Cause, Disability or Resignation for Good Reason. If Executives employment is terminated at any time during the Employment Period by the Company without Cause (and not for death) or pursuant to Section5.2 (Disability) or by Executive for Good Reason (as defined in Section6.5), subject to Section6.6 and Section12.7, Executive shall be entitled to:", "ner": [], "tokenized_text": ["6", ".", "1", "Termination", "Without", "Cause", ",", "Disability", "or", "Resignation", "for", "Good", "Reason", ".", "If", "Executives", "employment", "is", "terminated", "at", "any", "time", "during", "the", "Employment", "Period", "by", "the", "Company", "without", "Cause", "(", "and", "not", "for", "death", ")", "or", "pursuant", "to", "Section5", ".", "2", "(", "Disability", ")", "or", "by", "Executive", "for", "Good", "Reason", "(", "as", "defined", "in", "Section6", ".", "5", ")", ",", "subject", "to", "Section6", ".", "6", "and", "Section12", ".", "7", ",", "Executive", "shall", "be", "entitled", "to", ":"]}
{"id": "14666", "text": "(a) Executive acknowledges that it is the policy of the Company to maintain as secret and confidential all Confidential Information (as defined herein). The parties hereto recognize that the services to be performed by Executive pursuant to this Agreement are special and unique, and that by reason of his employment by the Company after the Effective Date, Executive will acquire, or may have acquired, Confidential Information . Executive recognizes that all such Confidential Information is and shall remain the sole property of the Company, free of any rights of Executive, and acknowledges that the Company has a vested interest in assuring that all such Confidential Information remains secret and confidential. Therefore, in consideration of Executives employment with the Company pursuant to this Agreement, Executive agrees that at all times from and after the Effective Date, he will not, directly or indirectly, disclose to any person, firm, company or other entity (other than the Company) any Confidential Information, except as specifically required in the performance of his duties hereunder, without the prior written consent of the Company, except to the extent that (i)any such Confidential Information becomes generally available to the public, other than as a result of a breach by Executive of this Section8.1 or by any other executive officer of the Company subject to confidentiality obligations, or (ii)any such Confidential Information becomes available to Executive on a non-confidential basis from a source other than the Company, or its executive officers or advisors; provided, that such source is not known by Executive to be bound by a confidentiality agreement with, or other obligation of secrecy to, the Company or another party. In addition, it shall not be a breach of the confidentiality obligations hereof if Executive is required by law to disclose any Confidential Information; provided, that in such case, Executive shall (x)give the Company the earliest notice possible that such disclosure is or may be required and (y)cooperate with the Company, at the Companys expense, in protecting to the maximum extent legally permitted, the confidential or proprietary nature of the Confidential Information which must be so disclosed. The obligations of Executive under this Section8.1 shall survive any termination of this Agreement. During the Employment Period Executive shall exercise all due and diligent precautions to protect the integrity of the business plans, customer lists, statistical data and compilation, agreements, contracts, manuals or other documents of the Company which embody the Confidential Information, and upon the expiration or the termination of the Employment Period, Executive agrees that all Confidential Information in his possession, directly or indirectly, that is in writing or other tangible form (together with all", "ner": [[43, 43, "Title"], [294, 295, "Title"]], "tokenized_text": ["(", "a", ")", "Executive", "acknowledges", "that", "it", "is", "the", "policy", "of", "the", "Company", "to", "maintain", "as", "secret", "and", "confidential", "all", "Confidential", "Information", "(", "as", "defined", "herein", ")", ".", "The", "parties", "hereto", "recognize", "that", "the", "services", "to", "be", "performed", "by", "Executive", "pursuant", "to", "this", "Agreement", "are", "special", "and", "unique", ",", "and", "that", "by", "reason", "of", "his", "employment", "by", "the", "Company", "after", "the", "Effective", "Date", ",", "Executive", "will", "acquire", ",", "or", "may", "have", "acquired", ",", "Confidential", "Information", ".", "Executive", "recognizes", "that", "all", "such", "Confidential", "Information", "is", "and", "shall", "remain", "the", "sole", "property", "of", "the", "Company", ",", "free", "of", "any", "rights", "of", "Executive", ",", "and", "acknowledges", "that", "the", "Company", "has", "a", "vested", "interest", "in", "assuring", "that", "all", "such", "Confidential", "Information", "remains", "secret", "and", "confidential", ".", "Therefore", ",", "in", "consideration", "of", "Executives", "employment", "with", "the", "Company", "pursuant", "to", "this", "Agreement", ",", "Executive", "agrees", "that", "at", "all", "times", "from", "and", "after", "the", "Effective", "Date", ",", "he", "will", "not", ",", "directly", "or", "indirectly", ",", "disclose", "to", "any", "person", ",", "firm", ",", "company", "or", "other", "entity", "(", "other", "than", "the", "Company", ")", "any", "Confidential", "Information", ",", "except", "as", "specifically", "required", "in", "the", "performance", "of", "his", "duties", "hereunder", ",", "without", "the", "prior", "written", "consent", "of", "the", "Company", ",", "except", "to", "the", "extent", "that", "(", "i", ")", "any", "such", "Confidential", "Information", "becomes", "generally", "available", "to", "the", "public", ",", "other", "than", "as", "a", "result", "of", "a", "breach", "by", "Executive", "of", "this", "Section8", ".", "1", "or", "by", "any", "other", "executive", "officer", "of", "the", "Company", "subject", "to", "confidentiality", "obligations", ",", "or", "(", "ii", ")", "any", "such", "Confidential", "Information", "becomes", "available", "to", "Executive", "on", "a", "non-confidential", "basis", "from", "a", "source", "other", "than", "the", "Company", ",", "or", "its", "executive", "officers", "or", "advisors", ";", "provided", ",", "that", "such", "source", "is", "not", "known", "by", "Executive", "to", "be", "bound", "by", "a", "confidentiality", "agreement", "with", ",", "or", "other", "obligation", "of", "secrecy", "to", ",", "the", "Company", "or", "another", "party", ".", "In", "addition", ",", "it", "shall", "not", "be", "a", "breach", "of", "the", "confidentiality", "obligations", "hereof", "if", "Executive", "is", "required", "by", "law", "to", "disclose", "any", "Confidential", "Information", ";", "provided", ",", "that", "in", "such", "case", ",", "Executive", "shall", "(", "x", ")", "give", "the", "Company", "the", "earliest", "notice", "possible", "that", "such", "disclosure", "is", "or", "may", "be", "required", "and", "(", "y", ")", "cooperate", "with", "the", "Company", ",", "at", "the", "Companys", "expense", ",", "in", "protecting", "to", "the", "maximum", "extent", "legally", "permitted", ",", "the", "confidential", "or", "proprietary", "nature", "of", "the", "Confidential", "Information", "which", "must", "be", "so", "disclosed", ".", "The", "obligations", "of", "Executive", "under", "this", "Section8", ".", "1", "shall", "survive", "any", "termination", "of", "this", "Agreement", ".", "During", "the", "Employment", "Period", "Executive", "shall", "exercise", "all", "due", "and", "diligent", "precautions", "to", "protect", "the", "integrity", "of", "the", "business", "plans", ",", "customer", "lists", ",", "statistical", "data", "and", "compilation", ",", "agreements", ",", "contracts", ",", "manuals", "or", "other", "documents", "of", "the", "Company", "which", "embody", "the", "Confidential", "Information", ",", "and", "upon", "the", "expiration", "or", "the", "termination", "of", "the", "Employment", "Period", ",", "Executive", "agrees", "that", "all", "Confidential", "Information", "in", "his", "possession", ",", "directly", "or", "indirectly", ",", "that", "is", "in", "writing", "or", "other", "tangible", "form", "(", "together", "with", "all"]}
{"id": "14667", "text": "8.5 Resignation as an Officer and Director. Upon any termination of Executives employment, Executive shall be deemed to have resigned, to the extent applicable as an officer of the Company, a member of the board of directors or similar body of any of Cedar Fair, L.P. s Affiliates and as a fiduciary of any Company benefit plan. On or immediately following the date of any termination of Executives employment, Executive shall confirm the foregoing by submitting to the Company in writing a confirmation of Executives resignation(s).", "ner": [[49, 55, "Parties"]], "tokenized_text": ["8", ".", "5", "Resignation", "as", "an", "Officer", "and", "Director", ".", "Upon", "any", "termination", "of", "Executives", "employment", ",", "Executive", "shall", "be", "deemed", "to", "have", "resigned", ",", "to", "the", "extent", "applicable", "as", "an", "officer", "of", "the", "Company", ",", "a", "member", "of", "the", "board", "of", "directors", "or", "similar", "body", "of", "any", "of", "Cedar", "Fair", ",", "L", ".", "P", ".", "s", "Affiliates", "and", "as", "a", "fiduciary", "of", "any", "Company", "benefit", "plan", ".", "On", "or", "immediately", "following", "the", "date", "of", "any", "termination", "of", "Executives", "employment", ",", "Executive", "shall", "confirm", "the", "foregoing", "by", "submitting", "to", "the", "Company", "in", "writing", "a", "confirmation", "of", "Executives", "resignation", "(", "s", ")", "."]}
{"id": "14671", "text": "WHEREAS, Cedar Fair, L.P. <sup> is affiliated with several corporations and partnerships including, without limitation, Cedar Fair Management and Magnum (collectively, Cedar Fair or the Company);", "ner": [[2, 8, "Parties"], [24, 26, "Parties"], [28, 28, "Parties"]], "tokenized_text": ["WHEREAS", ",", "Cedar", "Fair", ",", "L", ".", "P", ".", "<", "sup", ">", "is", "affiliated", "with", "several", "corporations", "and", "partnerships", "including", ",", "without", "limitation", ",", "Cedar", "Fair", "Management", "and", "Magnum", "(", "collectively", ",", "Cedar", "Fair", "or", "the", "Company", ")", ";"]}
{"id": "14672", "text": "a. In consideration of Employees right to receive the severance payments and benefits set forth in Sections 6.1(a), (c), (d), (f)and (h)and the last sentence of Section6.2 of the Employment Agreement , the Employee, on behalf of himself and his heirs, executors, administrators, trustees, legal representatives, successors and assigns (hereinafter collectively referred to for purposes of this Section1 as Employee), hereby agrees to irrevocably and unconditionally waive, release and forever discharge the Company and its past, present and future affiliates and related entities, parent and subsidiary corporations, divisions, shareholders, predecessors, current, former and future officers, directors, employees, trustees, fiduciaries, administrators, executives, agents, representatives, successors and assigns (collectively, the Company Released Parties) from any and all waivable claims, charges, demands, sums of money, actions, rights, promises, agreements, causes of action, obligations and liabilities of any kind or nature whatsoever, at law or in equity, whether known or unknown, existing or contingent, suspected or unsuspected, apparent or concealed, foreign or domestic (hereinafter collectively referred to as claims) which he has now or in the future may claim to have against any or all of the Company Released Parties based upon or arising out of any facts, acts, conduct, omissions, transactions, occurrences, contracts, claims, events, causes, matters or things of any conceivable kind or character existing or occurring or claimed to exist or to have occurred prior to the date of the Employees execution of this Agreement. Such claims include, without limitation, claims arising under the Age Discrimination in Employment Act, 29 U.S.C. 621 et seq.; Title VII of the Civil Rights Act of 1964 , 42 U.S.C. 2000e et seq.; the Americans with Disabilities Act of 1990 , 42 U.S.C. 12101 et seq.; the Family and Medical Leave Act of 1993 , 29 U.S.C. 2601 et seq.; the Employee Retirement Income Security Act of 1974 , 29 U.S.C. 1001 et seq.; the Equal Pay Act of 1963 , 29 U.S.C. 206 (d); Section806 of the Corporate and Criminal Fraud Accountability Act of 2002, 18 U.S.C . 1681 et seq.; the Fair Credit Reporting Act, 15 U.S.C . 1681 et seq.; any other federal, state or local statutory laws relating to employment, discrimination in employment, termination of employment, wages, benefits or otherwise; or any other federal, state or local constitution, statute, rule, or regulation, including, but not limited to, any ordinance addressing fair employment practices; any claims for employment or reemployment by the Company", "ner": [[17, 20, "Regulation"], [50, 51, "Title"], [323, 327, "Act"], [329, 336, "Regulation"], [345, 349, "Act"], [351, 358, "Regulation"], [364, 369, "Act"], [371, 378, "Regulation"], [384, 390, "Act"], [392, 399, "Regulation"], [405, 411, "Act"], [413, 420, "Regulation"], [426, 430, "Act"], [432, 442, "Regulation"], [447, 454, "Act"], [456, 463, "Regulation"], [469, 472, "Act"], [474, 481, "Regulation"]], "tokenized_text": ["a", ".", "In", "consideration", "of", "Employees", "right", "to", "receive", "the", "severance", "payments", "and", "benefits", "set", "forth", "in", "Sections", "6", ".", "1", "(", "a", ")", ",", "(", "c", ")", ",", "(", "d", ")", ",", "(", "f", ")", "and", "(", "h", ")", "and", "the", "last", "sentence", "of", "Section6", ".", "2", "of", "the", "Employment", "Agreement", ",", "the", "Employee", ",", "on", "behalf", "of", "himself", "and", "his", "heirs", ",", "executors", ",", "administrators", ",", "trustees", ",", "legal", "representatives", ",", "successors", "and", "assigns", "(", "hereinafter", "collectively", "referred", "to", "for", "purposes", "of", "this", "Section1", "as", "Employee", ")", ",", "hereby", "agrees", "to", "irrevocably", "and", "unconditionally", "waive", ",", "release", "and", "forever", "discharge", "the", "Company", "and", "its", "past", ",", "present", "and", "future", "affiliates", "and", "related", "entities", ",", "parent", "and", "subsidiary", "corporations", ",", "divisions", ",", "shareholders", ",", "predecessors", ",", "current", ",", "former", "and", "future", "officers", ",", "directors", ",", "employees", ",", "trustees", ",", "fiduciaries", ",", "administrators", ",", "executives", ",", "agents", ",", "representatives", ",", "successors", "and", "assigns", "(", "collectively", ",", "the", "Company", "Released", "Parties", ")", "from", "any", "and", "all", "waivable", "claims", ",", "charges", ",", "demands", ",", "sums", "of", "money", ",", "actions", ",", "rights", ",", "promises", ",", "agreements", ",", "causes", "of", "action", ",", "obligations", "and", "liabilities", "of", "any", "kind", "or", "nature", "whatsoever", ",", "at", "law", "or", "in", "equity", ",", "whether", "known", "or", "unknown", ",", "existing", "or", "contingent", ",", "suspected", "or", "unsuspected", ",", "apparent", "or", "concealed", ",", "foreign", "or", "domestic", "(", "hereinafter", "collectively", "referred", "to", "as", "claims", ")", "which", "he", "has", "now", "or", "in", "the", "future", "may", "claim", "to", "have", "against", "any", "or", "all", "of", "the", "Company", "Released", "Parties", "based", "upon", "or", "arising", "out", "of", "any", "facts", ",", "acts", ",", "conduct", ",", "omissions", ",", "transactions", ",", "occurrences", ",", "contracts", ",", "claims", ",", "events", ",", "causes", ",", "matters", "or", "things", "of", "any", "conceivable", "kind", "or", "character", "existing", "or", "occurring", "or", "claimed", "to", "exist", "or", "to", "have", "occurred", "prior", "to", "the", "date", "of", "the", "Employees", "execution", "of", "this", "Agreement", ".", "Such", "claims", "include", ",", "without", "limitation", ",", "claims", "arising", "under", "the", "Age", "Discrimination", "in", "Employment", "Act", ",", "29", "U", ".", "S", ".", "C", ".", "621", "et", "seq", ".", ";", "Title", "VII", "of", "the", "Civil", "Rights", "Act", "of", "1964", ",", "42", "U", ".", "S", ".", "C", ".", "2000e", "et", "seq", ".", ";", "the", "Americans", "with", "Disabilities", "Act", "of", "1990", ",", "42", "U", ".", "S", ".", "C", ".", "12101", "et", "seq", ".", ";", "the", "Family", "and", "Medical", "Leave", "Act", "of", "1993", ",", "29", "U", ".", "S", ".", "C", ".", "2601", "et", "seq", ".", ";", "the", "Employee", "Retirement", "Income", "Security", "Act", "of", "1974", ",", "29", "U", ".", "S", ".", "C", ".", "1001", "et", "seq", ".", ";", "the", "Equal", "Pay", "Act", "of", "1963", ",", "29", "U", ".", "S", ".", "C", ".", "206", "(", "d", ")", ";", "Section806", "of", "the", "Corporate", "and", "Criminal", "Fraud", "Accountability", "Act", "of", "2002", ",", "18", "U", ".", "S", ".", "C", ".", "1681", "et", "seq", ".", ";", "the", "Fair", "Credit", "Reporting", "Act", ",", "15", "U", ".", "S", ".", "C", ".", "1681", "et", "seq", ".", ";", "any", "other", "federal", ",", "state", "or", "local", "statutory", "laws", "relating", "to", "employment", ",", "discrimination", "in", "employment", ",", "termination", "of", "employment", ",", "wages", ",", "benefits", "or", "otherwise", ";", "or", "any", "other", "federal", ",", "state", "or", "local", "constitution", ",", "statute", ",", "rule", ",", "or", "regulation", ",", "including", ",", "but", "not", "limited", "to", ",", "any", "ordinance", "addressing", "fair", "employment", "practices", ";", "any", "claims", "for", "employment", "or", "reemployment", "by", "the", "Company"]}
{"id": "14674", "text": "(ii) provided Executive and his eligible dependents timely and properly elect to continue health care coverage under the Consolidated Omnibus Reconciliation Act of 1985 (COBRA), continued participation by Executive and Executives eligible", "ner": [[20, 25, "Act"], [27, 27, "Act"]], "tokenized_text": ["(", "ii", ")", "provided", "Executive", "and", "his", "eligible", "dependents", "timely", "and", "properly", "elect", "to", "continue", "health", "care", "coverage", "under", "the", "Consolidated", "Omnibus", "Reconciliation", "Act", "of", "1985", "(", "COBRA", ")", ",", "continued", "participation", "by", "Executive", "and", "Executives", "eligible"]}
{"id": "14675", "text": "Good Reason shall mean, without Executives prior written consent, (i)a material diminution in Executives position or duties, authority or responsibilities including, without limitation, Executive ceasing to be an executive officer (as defined under Rule3b-7 of the Securities Exchange Act of 1934 , as amended (the Exchange Act)) of a company with a class of securities registered under Section12(b)of the Exchange Act; ( ii)the assignment to Executive of any duties materially inconsistent with the duties and responsibilities of President and Chief Operating Officer , (iii)a reduction by the Company in Executives then-current Base Salary or Executives then-current Target Annual Bonus unless the salaries and target annual bonuses for all other senior executive officers are correspondingly and proportionately reduced by not greater than 15% and such reduction continues for no more than 12 months; (iv)Executives relocation to offices of the Company that are more than fifty (50) miles from the Companys offices in Yardley, Pennsylvania; or (v)any action or inaction that constitutes a material breach of this Agreement by the Company. In order to invoke a termination for Good Reason, Executive must deliver a written notice of the grounds for such termination within thirty (30) days of the initial existence of the event giving rise to Good Reason and the Company shall have thirty (30) days to cure the circumstances. In order to terminate Executives employment, if at all, for Good Reason, Executive must terminate employment within sixty (60) days following the end of the cure period if the circumstances giving rise to Good Reason have not been cured.", "ner": [[0, 1, "Parties"], [42, 42, "Regulation"], [45, 49, "Act"], [69, 72, "Regulation"], [96, 96, "Role"], [98, 100, "Role"], [143, 144, "Percentage"], [180, 182, "Address"], [227, 231, "TerminationDate"]], "tokenized_text": ["Good", "Reason", "shall", "mean", ",", "without", "Executives", "prior", "written", "consent", ",", "(", "i", ")", "a", "material", "diminution", "in", "Executives", "position", "or", "duties", ",", "authority", "or", "responsibilities", "including", ",", "without", "limitation", ",", "Executive", "ceasing", "to", "be", "an", "executive", "officer", "(", "as", "defined", "under", "Rule3b-7", "of", "the", "Securities", "Exchange", "Act", "of", "1934", ",", "as", "amended", "(", "the", "Exchange", "Act", ")", ")", "of", "a", "company", "with", "a", "class", "of", "securities", "registered", "under", "Section12", "(", "b", ")", "of", "the", "Exchange", "Act", ";", "(", "ii", ")", "the", "assignment", "to", "Executive", "of", "any", "duties", "materially", "inconsistent", "with", "the", "duties", "and", "responsibilities", "of", "President", "and", "Chief", "Operating", "Officer", ",", "(", "iii", ")", "a", "reduction", "by", "the", "Company", "in", "Executives", "then-current", "Base", "Salary", "or", "Executives", "then-current", "Target", "Annual", "Bonus", "unless", "the", "salaries", "and", "target", "annual", "bonuses", "for", "all", "other", "senior", "executive", "officers", "are", "correspondingly", "and", "proportionately", "reduced", "by", "not", "greater", "than", "15", "%", "and", "such", "reduction", "continues", "for", "no", "more", "than", "12", "months", ";", "(", "iv", ")", "Executives", "relocation", "to", "offices", "of", "the", "Company", "that", "are", "more", "than", "fifty", "(", "50", ")", "miles", "from", "the", "Companys", "offices", "in", "Yardley", ",", "Pennsylvania", ";", "or", "(", "v", ")", "any", "action", "or", "inaction", "that", "constitutes", "a", "material", "breach", "of", "this", "Agreement", "by", "the", "Company", ".", "In", "order", "to", "invoke", "a", "termination", "for", "Good", "Reason", ",", "Executive", "must", "deliver", "a", "written", "notice", "of", "the", "grounds", "for", "such", "termination", "within", "thirty", "(", "30", ")", "days", "of", "the", "initial", "existence", "of", "the", "event", "giving", "rise", "to", "Good", "Reason", "and", "the", "Company", "shall", "have", "thirty", "(", "30", ")", "days", "to", "cure", "the", "circumstances", ".", "In", "order", "to", "terminate", "Executives", "employment", ",", "if", "at", "all", ",", "for", "Good", "Reason", ",", "Executive", "must", "terminate", "employment", "within", "sixty", "(", "60", ")", "days", "following", "the", "end", "of", "the", "cure", "period", "if", "the", "circumstances", "giving", "rise", "to", "Good", "Reason", "have", "not", "been", "cured", "."]}
{"id": "14676", "text": "a. In consideration of the amounts to be paid by the Company pursuant to the Employment Agreement entered into on [Date], 2017, by and between the Company and Executive (the Employment Agreement), Executive, on behalf of himself and his heirs, executors, devisees, successors and assigns, knowingly and voluntarily releases, remises, and forever discharges the Company and its parents, subsidiaries or affiliates, together with each of their current and former principals, officers, directors, shareholders, agents, representatives and employees, and each of their heirs, executors, successors and assigns (collectively, the Releasees), from any and all debts, demands, actions, causes of action, accounts, covenants, contracts, agreements, claims, damages, omissions, promises, and any and all claims and liabilities whatsoever, of every name and nature, known or unknown, suspected or unsuspected, both in law and equity (Claims), which Executive ever had, now has, or may hereafter claim to have against the Releasees by reason of any matter or cause whatsoever arising from the beginning of time to the time he signs this Agreement (the General Release). This General Release of Claims shall apply to any Claim of any type, including, without limitation, any and all Claims of any type that Executive may have arising under the common law, under the National Labor Relations Act, Title VII of the Civil Rights Act of 1964 , the Civil Rights Act of 1991 , the Older Workers Benefit Protection Act, the Americans With Disabilities Act of 1967 , the Family and Medical Leave Act of 1993 , the Fair Labor Standards Act, the Employee Retirement Income Security Act of 1974 , the Sarbanes- Oxley Act of 2002 , each as amended, the Fair Credit Reporting Act, the Fair Credit Reporting Act, 15 U.S.C. 1681 , et seq., the Worker Adjustment and Retraining Notification Act, 29 U.S.C. 2101 , et seq., the Equal Pay Act of 1963 , claims for wrongful discharge in violation of public policy, claims under the Employment Discrimination Bureau (EDB) Pennsylvania, the Pennsylvania Family Leave Act, the Pennsylvania Workers Compensation Act, the Pennsylvania State Wage and Hour Law, the Pennsylvania Law on Equal Pay, the Pennsylvania Political Activities of Employees Law, the Pennsylvania Lie Detector Testing Law, the Pennsylvania Tobacco Use Law, the Pennsylvania Genetic Testing Law, the State of Pennsylvania Labor Relations Act, the Pennsylvania Human Rights Law, and the Pennsylvania Labor Law, claims for discrimination in violation of the Pennsylvania Human Relations Act, each as amended, and any other federal, state or local statutes, regulations, ordinances or common law, or under any policy, agreement, contract, understanding or promise, written or oral, formal or informal, between any of the Releasees and Executive and shall further apply, without limitation, to any and all Claims in connection with, related to or arising out of Executives employment relationship, or the termination of his employment, with the Company.", "ner": [[16, 17, "Title"], [262, 265, "Act"], [271, 275, "Act"], [278, 282, "Act"], [285, 289, "Act"], [292, 297, "Act"], [300, 306, "Act"], [309, 312, "Act"], [315, 321, "Act"], [324, 329, "Act"], [336, 339, "Act"], [347, 354, "Regulation"], [361, 366, "Act"], [368, 375, "Regulation"], [382, 386, "Act"], [410, 413, "Act"], [416, 419, "Act"], [430, 434, "Act"], [445, 449, "Act"], [452, 455, "Act"], [458, 461, "Act"], [464, 469, "Act"], [472, 475, "Act"], [479, 481, "Act"], [490, 493, "Act"]], "tokenized_text": ["a", ".", "In", "consideration", "of", "the", "amounts", "to", "be", "paid", "by", "the", "Company", "pursuant", "to", "the", "Employment", "Agreement", "entered", "into", "on", "[", "Date", "]", ",", "2017", ",", "by", "and", "between", "the", "Company", "and", "Executive", "(", "the", "Employment", "Agreement", ")", ",", "Executive", ",", "on", "behalf", "of", "himself", "and", "his", "heirs", ",", "executors", ",", "devisees", ",", "successors", "and", "assigns", ",", "knowingly", "and", "voluntarily", "releases", ",", "remises", ",", "and", "forever", "discharges", "the", "Company", "and", "its", "parents", ",", "subsidiaries", "or", "affiliates", ",", "together", "with", "each", "of", "their", "current", "and", "former", "principals", ",", "officers", ",", "directors", ",", "shareholders", ",", "agents", ",", "representatives", "and", "employees", ",", "and", "each", "of", "their", "heirs", ",", "executors", ",", "successors", "and", "assigns", "(", "collectively", ",", "the", "Releasees", ")", ",", "from", "any", "and", "all", "debts", ",", "demands", ",", "actions", ",", "causes", "of", "action", ",", "accounts", ",", "covenants", ",", "contracts", ",", "agreements", ",", "claims", ",", "damages", ",", "omissions", ",", "promises", ",", "and", "any", "and", "all", "claims", "and", "liabilities", "whatsoever", ",", "of", "every", "name", "and", "nature", ",", "known", "or", "unknown", ",", "suspected", "or", "unsuspected", ",", "both", "in", "law", "and", "equity", "(", "Claims", ")", ",", "which", "Executive", "ever", "had", ",", "now", "has", ",", "or", "may", "hereafter", "claim", "to", "have", "against", "the", "Releasees", "by", "reason", "of", "any", "matter", "or", "cause", "whatsoever", "arising", "from", "the", "beginning", "of", "time", "to", "the", "time", "he", "signs", "this", "Agreement", "(", "the", "General", "Release", ")", ".", "This", "General", "Release", "of", "Claims", "shall", "apply", "to", "any", "Claim", "of", "any", "type", ",", "including", ",", "without", "limitation", ",", "any", "and", "all", "Claims", "of", "any", "type", "that", "Executive", "may", "have", "arising", "under", "the", "common", "law", ",", "under", "the", "National", "Labor", "Relations", "Act", ",", "Title", "VII", "of", "the", "Civil", "Rights", "Act", "of", "1964", ",", "the", "Civil", "Rights", "Act", "of", "1991", ",", "the", "Older", "Workers", "Benefit", "Protection", "Act", ",", "the", "Americans", "With", "Disabilities", "Act", "of", "1967", ",", "the", "Family", "and", "Medical", "Leave", "Act", "of", "1993", ",", "the", "Fair", "Labor", "Standards", "Act", ",", "the", "Employee", "Retirement", "Income", "Security", "Act", "of", "1974", ",", "the", "Sarbanes", "-", "Oxley", "Act", "of", "2002", ",", "each", "as", "amended", ",", "the", "Fair", "Credit", "Reporting", "Act", ",", "the", "Fair", "Credit", "Reporting", "Act", ",", "15", "U", ".", "S", ".", "C", ".", "1681", ",", "et", "seq", ".", ",", "the", "Worker", "Adjustment", "and", "Retraining", "Notification", "Act", ",", "29", "U", ".", "S", ".", "C", ".", "2101", ",", "et", "seq", ".", ",", "the", "Equal", "Pay", "Act", "of", "1963", ",", "claims", "for", "wrongful", "discharge", "in", "violation", "of", "public", "policy", ",", "claims", "under", "the", "Employment", "Discrimination", "Bureau", "(", "EDB", ")", "Pennsylvania", ",", "the", "Pennsylvania", "Family", "Leave", "Act", ",", "the", "Pennsylvania", "Workers", "Compensation", "Act", ",", "the", "Pennsylvania", "State", "Wage", "and", "Hour", "Law", ",", "the", "Pennsylvania", "Law", "on", "Equal", "Pay", ",", "the", "Pennsylvania", "Political", "Activities", "of", "Employees", "Law", ",", "the", "Pennsylvania", "Lie", "Detector", "Testing", "Law", ",", "the", "Pennsylvania", "Tobacco", "Use", "Law", ",", "the", "Pennsylvania", "Genetic", "Testing", "Law", ",", "the", "State", "of", "Pennsylvania", "Labor", "Relations", "Act", ",", "the", "Pennsylvania", "Human", "Rights", "Law", ",", "and", "the", "Pennsylvania", "Labor", "Law", ",", "claims", "for", "discrimination", "in", "violation", "of", "the", "Pennsylvania", "Human", "Relations", "Act", ",", "each", "as", "amended", ",", "and", "any", "other", "federal", ",", "state", "or", "local", "statutes", ",", "regulations", ",", "ordinances", "or", "common", "law", ",", "or", "under", "any", "policy", ",", "agreement", ",", "contract", ",", "understanding", "or", "promise", ",", "written", "or", "oral", ",", "formal", "or", "informal", ",", "between", "any", "of", "the", "Releasees", "and", "Executive", "and", "shall", "further", "apply", ",", "without", "limitation", ",", "to", "any", "and", "all", "Claims", "in", "connection", "with", ",", "related", "to", "or", "arising", "out", "of", "Executives", "employment", "relationship", ",", "or", "the", "termination", "of", "his", "employment", ",", "with", "the", "Company", "."]}
{"id": "14679", "text": "(b) Each payment under this Agreement, including each installment payment, shall be considered a separate and distinct payment. For purposes of this Agreement, each payment is intended to be excepted from Section409A to the maximum extent provided as follows: (i)each payment made within the applicable 2 month period specified in Treas. Reg. 1.409A-1(b)(4)is intended to be excepted under the short-term deferral exception; (ii)post- termination medical benefits are intended to be excepted under the medical benefits exception as specified in Treas. Reg. 1.409A-1(b)(9)(v)(B); and (iii)to the extent payments are made as a result of an involuntary separation, each payment that is not otherwise excepted under the short-term deferral exception or medical benefits exception is intended to be excepted under the involuntary pay exception as specified in Treas. Reg. 1.409A-1(b)(9)(iii). With respect to payments subject to Section409A (and not excepted therefrom), if any, it is intended that each payment is paid on a permissible distribution event and at a specified time consistent with Section409A. Neither the Company nor Executive shall have the right to accelerate or defer the delivery of any such payments or benefits except to the extent specifically permitted or required", "ner": [[60, 66, "Regulation"], [105, 111, "Regulation"], [172, 178, "Regulation"]], "tokenized_text": ["(", "b", ")", "Each", "payment", "under", "this", "Agreement", ",", "including", "each", "installment", "payment", ",", "shall", "be", "considered", "a", "separate", "and", "distinct", "payment", ".", "For", "purposes", "of", "this", "Agreement", ",", "each", "payment", "is", "intended", "to", "be", "excepted", "from", "Section409A", "to", "the", "maximum", "extent", "provided", "as", "follows", ":", "(", "i", ")", "each", "payment", "made", "within", "the", "applicable", "2", "month", "period", "specified", "in", "Treas", ".", "Reg", ".", "1", ".", "409A-1", "(", "b", ")", "(", "4", ")", "is", "intended", "to", "be", "excepted", "under", "the", "short-term", "deferral", "exception", ";", "(", "ii", ")", "post", "-", "termination", "medical", "benefits", "are", "intended", "to", "be", "excepted", "under", "the", "medical", "benefits", "exception", "as", "specified", "in", "Treas", ".", "Reg", ".", "1", ".", "409A-1", "(", "b", ")", "(", "9", ")", "(", "v", ")", "(", "B", ")", ";", "and", "(", "iii", ")", "to", "the", "extent", "payments", "are", "made", "as", "a", "result", "of", "an", "involuntary", "separation", ",", "each", "payment", "that", "is", "not", "otherwise", "excepted", "under", "the", "short-term", "deferral", "exception", "or", "medical", "benefits", "exception", "is", "intended", "to", "be", "excepted", "under", "the", "involuntary", "pay", "exception", "as", "specified", "in", "Treas", ".", "Reg", ".", "1", ".", "409A-1", "(", "b", ")", "(", "9", ")", "(", "iii", ")", ".", "With", "respect", "to", "payments", "subject", "to", "Section409A", "(", "and", "not", "excepted", "therefrom", ")", ",", "if", "any", ",", "it", "is", "intended", "that", "each", "payment", "is", "paid", "on", "a", "permissible", "distribution", "event", "and", "at", "a", "specified", "time", "consistent", "with", "Section409A", ".", "Neither", "the", "Company", "nor", "Executive", "shall", "have", "the", "right", "to", "accelerate", "or", "defer", "the", "delivery", "of", "any", "such", "payments", "or", "benefits", "except", "to", "the", "extent", "specifically", "permitted", "or", "required"]}
{"id": "14682", "text": "13. Governing Law. This Agreement and any other document or instrument delivered pursuant hereto, and all claims or causes of action that may be based upon, arise out of or relate to this Agreement will be governed by, and construed under and in accordance with, the internal laws of the S tate of Delaware , without reference to rulesrelating to conflicts of laws.", "ner": [[56, 59, "Court"]], "tokenized_text": ["13", ".", "Governing", "Law", ".", "This", "Agreement", "and", "any", "other", "document", "or", "instrument", "delivered", "pursuant", "hereto", ",", "and", "all", "claims", "or", "causes", "of", "action", "that", "may", "be", "based", "upon", ",", "arise", "out", "of", "or", "relate", "to", "this", "Agreement", "will", "be", "governed", "by", ",", "and", "construed", "under", "and", "in", "accordance", "with", ",", "the", "internal", "laws", "of", "the", "S", "tate", "of", "Delaware", ",", "without", "reference", "to", "rulesrelating", "to", "conflicts", "of", "laws", "."]}
{"id": "14685", "text": "2. Title, Duties and Responsibilities. While Executive is employed by the Company, Executive will serve as the President and Chief Operating Officer of OptiNose,Inc. and will report to the Chief Executive Officer of OptiNose,Inc. Executive will have such duties and responsibilities that are commensurate with Executives position and such other duties and responsibilities as are from time to time assigned to Executive by Chief Executive Officer or the Board of Directors of the OptiNose,Inc. (the Board). While Executive is employed by the Company, Executive will devote Executives full business time, energy and skill to the performance of Executives duties and responsibilities hereunder; provided, however, that Executive will be permitted to devote a reasonable amount of time either during or after business hours to Outside Activities (as defined below), so long as such activities (i)do not prohibit or interfere with Executives performance of Executives duties under this Agreement, (ii)do not conflict with the business of the Company or violate any of the provisions of Section8 herein and (iii)are approved in advance in writing by the Chief Executive Officer of OptiNose,Inc. and the Nominating and Corporate Governance Committee (which consent shall not be unreasonably withheld). For purposes of this Agreement, Outside Activities shall include the oversight of passive investments and activities involving professional, charitable, education, religious and other organizations (including membership on boards of for-profit and non-profit organizations). Executive shall, if requested by the Board, also serve as an officer or director of any affiliate of the Company for no additional compensation. Executives place of employment will be the Companys offices in Yardley, Pennsylvania.", "ner": [[21, 21, "Role"], [23, 25, "Role"], [27, 30, "Parties"], [36, 38, "Role"], [40, 43, "Parties"], [73, 75, "Role"], [83, 86, "Parties"], [208, 210, "Role"], [212, 215, "Parties"], [310, 312, "Address"]], "tokenized_text": ["2", ".", "Title", ",", "Duties", "and", "Responsibilities", ".", "While", "Executive", "is", "employed", "by", "the", "Company", ",", "Executive", "will", "serve", "as", "the", "President", "and", "Chief", "Operating", "Officer", "of", "OptiNose", ",", "Inc", ".", "and", "will", "report", "to", "the", "Chief", "Executive", "Officer", "of", "OptiNose", ",", "Inc", ".", "Executive", "will", "have", "such", "duties", "and", "responsibilities", "that", "are", "commensurate", "with", "Executives", "position", "and", "such", "other", "duties", "and", "responsibilities", "as", "are", "from", "time", "to", "time", "assigned", "to", "Executive", "by", "Chief", "Executive", "Officer", "or", "the", "Board", "of", "Directors", "of", "the", "OptiNose", ",", "Inc", ".", "(", "the", "Board", ")", ".", "While", "Executive", "is", "employed", "by", "the", "Company", ",", "Executive", "will", "devote", "Executives", "full", "business", "time", ",", "energy", "and", "skill", "to", "the", "performance", "of", "Executives", "duties", "and", "responsibilities", "hereunder", ";", "provided", ",", "however", ",", "that", "Executive", "will", "be", "permitted", "to", "devote", "a", "reasonable", "amount", "of", "time", "either", "during", "or", "after", "business", "hours", "to", "Outside", "Activities", "(", "as", "defined", "below", ")", ",", "so", "long", "as", "such", "activities", "(", "i", ")", "do", "not", "prohibit", "or", "interfere", "with", "Executives", "performance", "of", "Executives", "duties", "under", "this", "Agreement", ",", "(", "ii", ")", "do", "not", "conflict", "with", "the", "business", "of", "the", "Company", "or", "violate", "any", "of", "the", "provisions", "of", "Section8", "herein", "and", "(", "iii", ")", "are", "approved", "in", "advance", "in", "writing", "by", "the", "Chief", "Executive", "Officer", "of", "OptiNose", ",", "Inc", ".", "and", "the", "Nominating", "and", "Corporate", "Governance", "Committee", "(", "which", "consent", "shall", "not", "be", "unreasonably", "withheld", ")", ".", "For", "purposes", "of", "this", "Agreement", ",", "Outside", "Activities", "shall", "include", "the", "oversight", "of", "passive", "investments", "and", "activities", "involving", "professional", ",", "charitable", ",", "education", ",", "religious", "and", "other", "organizations", "(", "including", "membership", "on", "boards", "of", "for-profit", "and", "non-profit", "organizations", ")", ".", "Executive", "shall", ",", "if", "requested", "by", "the", "Board", ",", "also", "serve", "as", "an", "officer", "or", "director", "of", "any", "affiliate", "of", "the", "Company", "for", "no", "additional", "compensation", ".", "Executives", "place", "of", "employment", "will", "be", "the", "Companys", "offices", "in", "Yardley", ",", "Pennsylvania", "."]}
{"id": "14687", "text": "(ii) provided Executive and his eligible dependents timely and properly elect to continue health care coverage under the Consolidated Omnibus Reconciliation Act of 1985 (COBRA), continued participation by Executive and Executives eligible dependents in the standard group medical, dental and vision plans of the Company as in effect from time to time, on substantially the same terms and conditions as such benefits are provided to employees during the applicable period, and reimbursement by the Company of the monthly COBRA premium paid by Executive for him and his eligible dependents for twelve (12) months or, if earlier, until the date Executive is no longer eligible to receive COBRA continuation coverage; provided, however, in the event the Company determines that such provisions would subject Executive to taxation under Section105(h)of the Internal Revenue Code of 1986, as amended (the Code), or otherwise violate any healthcare law or regulation, then, in lieu of reimbursing Executive, the Company shall pay to Executive an amount equal to the amount Executive would be required to pay for continuation of group health coverage for Executive and his eligible dependents through an election under COBRA for twelve (12) months, which amount shall be paid in a lump sum at the same time payments under Section5(e)(i)commence and is intended to assist Executive with costs of health coverage, which Executive may (but is not required to) obtain through an election to continue health care coverage under COBRA; and", "ner": [[20, 25, "Act"], [27, 27, "Act"], [86, 86, "Act"], [118, 118, "Act"], [147, 151, "Act"], [211, 211, "Act"], [274, 274, "Act"]], "tokenized_text": ["(", "ii", ")", "provided", "Executive", "and", "his", "eligible", "dependents", "timely", "and", "properly", "elect", "to", "continue", "health", "care", "coverage", "under", "the", "Consolidated", "Omnibus", "Reconciliation", "Act", "of", "1985", "(", "COBRA", ")", ",", "continued", "participation", "by", "Executive", "and", "Executives", "eligible", "dependents", "in", "the", "standard", "group", "medical", ",", "dental", "and", "vision", "plans", "of", "the", "Company", "as", "in", "effect", "from", "time", "to", "time", ",", "on", "substantially", "the", "same", "terms", "and", "conditions", "as", "such", "benefits", "are", "provided", "to", "employees", "during", "the", "applicable", "period", ",", "and", "reimbursement", "by", "the", "Company", "of", "the", "monthly", "COBRA", "premium", "paid", "by", "Executive", "for", "him", "and", "his", "eligible", "dependents", "for", "twelve", "(", "12", ")", "months", "or", ",", "if", "earlier", ",", "until", "the", "date", "Executive", "is", "no", "longer", "eligible", "to", "receive", "COBRA", "continuation", "coverage", ";", "provided", ",", "however", ",", "in", "the", "event", "the", "Company", "determines", "that", "such", "provisions", "would", "subject", "Executive", "to", "taxation", "under", "Section105", "(", "h", ")", "of", "the", "Internal", "Revenue", "Code", "of", "1986", ",", "as", "amended", "(", "the", "Code", ")", ",", "or", "otherwise", "violate", "any", "healthcare", "law", "or", "regulation", ",", "then", ",", "in", "lieu", "of", "reimbursing", "Executive", ",", "the", "Company", "shall", "pay", "to", "Executive", "an", "amount", "equal", "to", "the", "amount", "Executive", "would", "be", "required", "to", "pay", "for", "continuation", "of", "group", "health", "coverage", "for", "Executive", "and", "his", "eligible", "dependents", "through", "an", "election", "under", "COBRA", "for", "twelve", "(", "12", ")", "months", ",", "which", "amount", "shall", "be", "paid", "in", "a", "lump", "sum", "at", "the", "same", "time", "payments", "under", "Section5", "(", "e", ")", "(", "i", ")", "commence", "and", "is", "intended", "to", "assist", "Executive", "with", "costs", "of", "health", "coverage", ",", "which", "Executive", "may", "(", "but", "is", "not", "required", "to", ")", "obtain", "through", "an", "election", "to", "continue", "health", "care", "coverage", "under", "COBRA", ";", "and"]}
{"id": "14688", "text": "payment is intended to be excepted from Section409A to the maximum extent provided as follows: (i)each payment made within the applicable 2 month period specified in Treas. Reg. 1.409A-1(b)(4)is intended to be excepted under the short-term deferral exception; (ii)post-termination medical benefits are intended to be excepted under the medical benefits exception as specified in Treas. Reg. 1.409A-1(b)(9)(v)(B); and (iii)to the extent payments are made as a result of an involuntary separation, each payment that is not otherwise excepted under the short-term deferral exception or medical benefits exception is intended to be excepted under the involuntary pay exception as specified in Treas. Reg. 1.409A-1(b)(9)(iii). With respect to payments subject to Section409A (and not excepted therefrom), if any, it is intended that each payment is paid on a permissible distribution event and at a specified time consistent with Section409A. Neither the Company nor Executive shall have the right to accelerate or defer the delivery of any such payments or benefits except to the extent specifically permitted or required by Section409A. Executive shall have no right to designate the date or any payment under this Agreement.", "ner": [[30, 36, "Regulation"], [73, 79, "Regulation"], [140, 146, "Regulation"]], "tokenized_text": ["payment", "is", "intended", "to", "be", "excepted", "from", "Section409A", "to", "the", "maximum", "extent", "provided", "as", "follows", ":", "(", "i", ")", "each", "payment", "made", "within", "the", "applicable", "2", "month", "period", "specified", "in", "Treas", ".", "Reg", ".", "1", ".", "409A-1", "(", "b", ")", "(", "4", ")", "is", "intended", "to", "be", "excepted", "under", "the", "short-term", "deferral", "exception", ";", "(", "ii", ")", "post-termination", "medical", "benefits", "are", "intended", "to", "be", "excepted", "under", "the", "medical", "benefits", "exception", "as", "specified", "in", "Treas", ".", "Reg", ".", "1", ".", "409A-1", "(", "b", ")", "(", "9", ")", "(", "v", ")", "(", "B", ")", ";", "and", "(", "iii", ")", "to", "the", "extent", "payments", "are", "made", "as", "a", "result", "of", "an", "involuntary", "separation", ",", "each", "payment", "that", "is", "not", "otherwise", "excepted", "under", "the", "short-term", "deferral", "exception", "or", "medical", "benefits", "exception", "is", "intended", "to", "be", "excepted", "under", "the", "involuntary", "pay", "exception", "as", "specified", "in", "Treas", ".", "Reg", ".", "1", ".", "409A-1", "(", "b", ")", "(", "9", ")", "(", "iii", ")", ".", "With", "respect", "to", "payments", "subject", "to", "Section409A", "(", "and", "not", "excepted", "therefrom", ")", ",", "if", "any", ",", "it", "is", "intended", "that", "each", "payment", "is", "paid", "on", "a", "permissible", "distribution", "event", "and", "at", "a", "specified", "time", "consistent", "with", "Section409A", ".", "Neither", "the", "Company", "nor", "Executive", "shall", "have", "the", "right", "to", "accelerate", "or", "defer", "the", "delivery", "of", "any", "such", "payments", "or", "benefits", "except", "to", "the", "extent", "specifically", "permitted", "or", "required", "by", "Section409A", ".", "Executive", "shall", "have", "no", "right", "to", "designate", "the", "date", "or", "any", "payment", "under", "this", "Agreement", "."]}
{"id": "14689", "text": "CPLV Property Owner LLC", "ner": [], "tokenized_text": ["CPLV", "Property", "Owner", "LLC"]}
{"id": "14691", "text": "| | Environmental Inspections | | | 146 | | ARTICLE XXXIII MEMORANDUM OF LEASE", "ner": [], "tokenized_text": ["|", "|", "Environmental", "Inspections", "|", "|", "|", "146", "|", "|", "ARTICLE", "XXXIII", "MEMORANDUM", "OF", "LEASE"]}
{"id": "14694", "text": "| | | | | | GROUND LEASE S | | SCHEDULE 3", "ner": [], "tokenized_text": ["|", "|", "|", "|", "|", "|", "GROUND", "LEASE", "S", "|", "|", "SCHEDULE", "3"]}
{"id": "14696", "text": "THIS LEASE (CPLV) (this Lease) is entered into as of October6, 2017 , by and among CPLV Property Owner LLC , a Delaware limited liability company (together with its successors and assigns, Landlord), and Desert Palace LLC , a Nevada limited liability company, Caesars Entertainment Operating Company, Inc., a Delaware corporation, and CEOC, LLC , a Delaware limited liability company (as successor by merger to Caesars Entertainment Operating Company, Inc.), jointly and severally (collectively, or if the context clearly requires, individually, and together with their respective successors and permitted assigns, Tenant).", "ner": [[14, 16, "EffectiveDate"], [21, 24, "Parties"], [43, 45, "Parties"], [53, 59, "Parties"], [66, 68, "Parties"]], "tokenized_text": ["THIS", "LEASE", "(", "CPLV", ")", "(", "this", "Lease", ")", "is", "entered", "into", "as", "of", "October6", ",", "2017", ",", "by", "and", "among", "CPLV", "Property", "Owner", "LLC", ",", "a", "Delaware", "limited", "liability", "company", "(", "together", "with", "its", "successors", "and", "assigns", ",", "Landlord", ")", ",", "and", "Desert", "Palace", "LLC", ",", "a", "Nevada", "limited", "liability", "company", ",", "Caesars", "Entertainment", "Operating", "Company", ",", "Inc", ".", ",", "a", "Delaware", "corporation", ",", "and", "CEOC", ",", "LLC", ",", "a", "Delaware", "limited", "liability", "company", "(", "as", "successor", "by", "merger", "to", "Caesars", "Entertainment", "Operating", "Company", ",", "Inc", ".", ")", ",", "jointly", "and", "severally", "(", "collectively", ",", "or", "if", "the", "context", "clearly", "requires", ",", "individually", ",", "and", "together", "with", "their", "respective", "successors", "and", "permitted", "assigns", ",", "Tenant", ")", "."]}
{"id": "14699", "text": "1.3 Term. The Term of this Lease shall commence on the Commencement Date and expire on the Expiration Date (i.e., the Term shall consist of the Initial Term plus all Renewal Terms, to the extent exercised as set forth in Section1.4 below, subject to any earlier termination of the Term pursuant to the terms hereof). The initial stated term of this Lease (the Initial Term) shall commence on October6, 2017 (the Commencement Date) and expire on October31, 2032 (the Initial Stated Expiration Date). The Stated Expiration Date means the Initial Stated Expiration Date or the expiration date of the most recently exercised Renewal Term, as the case may be.", "ner": [[84, 86, "TerminationDate"], [95, 97, "TerminationDate"]], "tokenized_text": ["1", ".", "3", "Term", ".", "The", "Term", "of", "this", "Lease", "shall", "commence", "on", "the", "Commencement", "Date", "and", "expire", "on", "the", "Expiration", "Date", "(", "i", ".", "e", ".", ",", "the", "Term", "shall", "consist", "of", "the", "Initial", "Term", "plus", "all", "Renewal", "Terms", ",", "to", "the", "extent", "exercised", "as", "set", "forth", "in", "Section1", ".", "4", "below", ",", "subject", "to", "any", "earlier", "termination", "of", "the", "Term", "pursuant", "to", "the", "terms", "hereof", ")", ".", "The", "initial", "stated", "term", "of", "this", "Lease", "(", "the", "Initial", "Term", ")", "shall", "commence", "on", "October6", ",", "2017", "(", "the", "Commencement", "Date", ")", "and", "expire", "on", "October31", ",", "2032", "(", "the", "Initial", "Stated", "Expiration", "Date", ")", ".", "The", "Stated", "Expiration", "Date", "means", "the", "Initial", "Stated", "Expiration", "Date", "or", "the", "expiration", "date", "of", "the", "most", "recently", "exercised", "Renewal", "Term", ",", "as", "the", "case", "may", "be", "."]}
{"id": "14702", "text": "Chester Property: Those certain casino, race track and land parcels located at and around 777 Harrahs Boulevard, Chester, Pennsylvania, and owned directly or indirectly by CEOC.", "ner": [[16, 22, "Address"]], "tokenized_text": ["Chester", "Property", ":", "Those", "certain", "casino", ",", "race", "track", "and", "land", "parcels", "located", "at", "and", "around", "777", "Harrahs", "Boulevard", ",", "Chester", ",", "Pennsylvania", ",", "and", "owned", "directly", "or", "indirectly", "by", "CEOC", "."]}
{"id": "14705", "text": "Eligible Account: A separate and identifiable account from all other funds held by the holding institution that is either (a)an account or accounts maintained with a federal or state-chartered depository institution or trust company which complies with the definition of Eligible Institution or (b)a segregated trust account or accounts maintained with a federal or state chartered depository institution or trust company acting in its fiduciary capacity that has a Moodys rating of at least Baa2 and which, in the case of a state chartered depository institution or trust company, is subject to regulations substantially similar to 12 C.F.R. 9 .10(b), having in either case a combined capital and surplus of at least Fifty Million and No/100 Dollars ($50,000,000.00) and subject to supervision or examination by federal and state authority. An Eligible Account will not be evidenced by a certificate of deposit, passbook or other instrument.", "ner": [[105, 114, "Regulation"], [139, 146, "Principal"]], "tokenized_text": ["Eligible", "Account", ":", "A", "separate", "and", "identifiable", "account", "from", "all", "other", "funds", "held", "by", "the", "holding", "institution", "that", "is", "either", "(", "a", ")", "an", "account", "or", "accounts", "maintained", "with", "a", "federal", "or", "state-chartered", "depository", "institution", "or", "trust", "company", "which", "complies", "with", "the", "definition", "of", "Eligible", "Institution", "or", "(", "b", ")", "a", "segregated", "trust", "account", "or", "accounts", "maintained", "with", "a", "federal", "or", "state", "chartered", "depository", "institution", "or", "trust", "company", "acting", "in", "its", "fiduciary", "capacity", "that", "has", "a", "Moodys", "rating", "of", "at", "least", "Baa2", "and", "which", ",", "in", "the", "case", "of", "a", "state", "chartered", "depository", "institution", "or", "trust", "company", ",", "is", "subject", "to", "regulations", "substantially", "similar", "to", "12", "C", ".", "F", ".", "R", ".", "9", ".", "10", "(", "b", ")", ",", "having", "in", "either", "case", "a", "combined", "capital", "and", "surplus", "of", "at", "least", "Fifty", "Million", "and", "No", "/", "100", "Dollars", "(", "$", "50", ",", "000", ",", "000", ".", "00", ")", "and", "subject", "to", "supervision", "or", "examination", "by", "federal", "and", "state", "authority", ".", "An", "Eligible", "Account", "will", "not", "be", "evidenced", "by", "a", "certificate", "of", "deposit", ",", "passbook", "or", "other", "instrument", "."]}
{"id": "14706", "text": "Embargoed Person: Any person, entity or government subject to trade restrictions under U.S. law, including, but not limited to, The USA PATRIOT Act ( including the anti-terrorism provisions thereof), the International Emergency Economic Powers Act, 50U.S.C. 1701 , et seq., The Trading with the Enemy Act, 50 U.S.C. App. 1 et seq., and any Executive Orders or regulations promulgated thereunder including those related to Specially Designated Nationals and Specially Designated Global Terrorists, with the result that the applicable transaction is prohibited by law or in violation of law.", "ner": [[28, 30, "Act"], [40, 44, "Act"], [46, 52, "Regulation"], [59, 63, "Act"], [65, 74, "Regulation"]], "tokenized_text": ["Embargoed", "Person", ":", "Any", "person", ",", "entity", "or", "government", "subject", "to", "trade", "restrictions", "under", "U", ".", "S", ".", "law", ",", "including", ",", "but", "not", "limited", "to", ",", "The", "USA", "PATRIOT", "Act", "(", "including", "the", "anti-terrorism", "provisions", "thereof", ")", ",", "the", "International", "Emergency", "Economic", "Powers", "Act", ",", "50U", ".", "S", ".", "C", ".", "1701", ",", "et", "seq", ".", ",", "The", "Trading", "with", "the", "Enemy", "Act", ",", "50", "U", ".", "S", ".", "C", ".", "App", ".", "1", "et", "seq", ".", ",", "and", "any", "Executive", "Orders", "or", "regulations", "promulgated", "thereunder", "including", "those", "related", "to", "Specially", "Designated", "Nationals", "and", "Specially", "Designated", "Global", "Terrorists", ",", "with", "the", "result", "that", "the", "applicable", "transaction", "is", "prohibited", "by", "law", "or", "in", "violation", "of", "law", "."]}
{"id": "14707", "text": "Environmental Laws: Any and all federal, state, municipal and local laws, statutes, ordinances, rules, regulations, orders, decrees or judgments, whether statutory or common law, as amended from time to time, now or hereafter in effect, or promulgated, pertaining to the environment, public health and safety and industrial hygiene and relating to the use, generation, manufacture, production, storage, release, discharge, disposal, handling, treatment, removal, decontamination, cleanup, transportation or regulation of any Hazardous Substance, including the Industrial Site Recovery Act, the Clean Air Act, the Clean Water Act, the Toxic Substances Control Act, the Comprehensive Environmental Response Compensation and Liability Act, the Resource Conservation and Recovery Act, the Federal Insecticide, Fungicide, Rodenticide Act, the Safe Drinking Water Act and relevant provisions of the Occupational Safety and Health Act.&lt; br/&gt;", "ner": [[103, 106, "Act"], [109, 111, "Act"], [114, 116, "Act"], [119, 122, "Act"], [125, 131, "Act"], [134, 138, "Act"], [141, 147, "Act"], [150, 153, "Act"], [159, 163, "Act"]], "tokenized_text": ["Environmental", "Laws", ":", "Any", "and", "all", "federal", ",", "state", ",", "municipal", "and", "local", "laws", ",", "statutes", ",", "ordinances", ",", "rules", ",", "regulations", ",", "orders", ",", "decrees", "or", "judgments", ",", "whether", "statutory", "or", "common", "law", ",", "as", "amended", "from", "time", "to", "time", ",", "now", "or", "hereafter", "in", "effect", ",", "or", "promulgated", ",", "pertaining", "to", "the", "environment", ",", "public", "health", "and", "safety", "and", "industrial", "hygiene", "and", "relating", "to", "the", "use", ",", "generation", ",", "manufacture", ",", "production", ",", "storage", ",", "release", ",", "discharge", ",", "disposal", ",", "handling", ",", "treatment", ",", "removal", ",", "decontamination", ",", "cleanup", ",", "transportation", "or", "regulation", "of", "any", "Hazardous", "Substance", ",", "including", "the", "Industrial", "Site", "Recovery", "Act", ",", "the", "Clean", "Air", "Act", ",", "the", "Clean", "Water", "Act", ",", "the", "Toxic", "Substances", "Control", "Act", ",", "the", "Comprehensive", "Environmental", "Response", "Compensation", "and", "Liability", "Act", ",", "the", "Resource", "Conservation", "and", "Recovery", "Act", ",", "the", "Federal", "Insecticide", ",", "Fungicide", ",", "Rodenticide", "Act", ",", "the", "Safe", "Drinking", "Water", "Act", "and", "relevant", "provisions", "of", "the", "Occupational", "Safety", "and", "Health", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "14709", "text": "initial purchaser of securities issued in a Fee Mortgagee Securitization, any other co-underwriters, co-placement agents or co-initial purchasers of securities issued in a Fee Mortgagee Securitization, in each case under or relating to the Existing Fee Mortgage, and each of their respective officers, directors and Affiliates and each Person or entity who controls any such Person within the meaning of Section15 of the Securities Act or Section20 of the Exchange Act.&lt; br/&gt;", "ner": [[68, 69, "Act"], [74, 75, "Act"]], "tokenized_text": ["initial", "purchaser", "of", "securities", "issued", "in", "a", "Fee", "Mortgagee", "Securitization", ",", "any", "other", "co-underwriters", ",", "co-placement", "agents", "or", "co-initial", "purchasers", "of", "securities", "issued", "in", "a", "Fee", "Mortgagee", "Securitization", ",", "in", "each", "case", "under", "or", "relating", "to", "the", "Existing", "Fee", "Mortgage", ",", "and", "each", "of", "their", "respective", "officers", ",", "directors", "and", "Affiliates", "and", "each", "Person", "or", "entity", "who", "controls", "any", "such", "Person", "within", "the", "meaning", "of", "Section15", "of", "the", "Securities", "Act", "or", "Section20", "of", "the", "Exchange", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "14711", "text": "Forum Shops Lease: That certain Second Amended and Restated Ground Lease, dated February7, 2003, by and between Desert Palace LLC (as successor-in- interest to Caesars Palace Realty Corp.), as landlord, and Forum Shops, LLC, as tenant, as amended from time to time.", "ner": [[0, 2, "Title"], [14, 16, "EffectiveDate"], [21, 23, "Parties"], [30, 34, "Parties"], [41, 44, "Parties"]], "tokenized_text": ["Forum", "Shops", "Lease", ":", "That", "certain", "Second", "Amended", "and", "Restated", "Ground", "Lease", ",", "dated", "February7", ",", "2003", ",", "by", "and", "between", "Desert", "Palace", "LLC", "(", "as", "successor-in", "-", "interest", "to", "Caesars", "Palace", "Realty", "Corp", ".", ")", ",", "as", "landlord", ",", "and", "Forum", "Shops", ",", "LLC", ",", "as", "tenant", ",", "as", "amended", "from", "time", "to", "time", "."]}
{"id": "14712", "text": "Guest Data: Any and all information and data identifying, describing, concerning or generated by prospective, actual or past guests, family members, website visitors and customers of casinos, hotels, retail locations, restaurants, bars, spas, entertainment venues, or other facilities or services, including without limitation any and all guest or customer profiles, contact information (e.g., addresses, phone numbers, facsimile numbers and email addresses), histories, preferences, game play and patronage patterns, experiences, results and demographic information, whether or not any of the foregoing constitutes personally identifiable information, together with any and all other guest or customer information in any database of Tenant, Services Co, Manager or any of their respective Affiliates, regardless of the source or location thereof, and including without limitation such information obtained or derived by Tenant, Services Co, Manager or any of their respective Affiliates from: (i)guests or customers of the Facility (for the avoidance of doubt, including CPLV Guest Data and Property Specific Guest Data); (ii) guests or customers of any Other Facility (including any condominium or interval ownership properties) owned, leased, operated, licensed or franchised by Tenant or any of its Affiliates, or any facility associated with any such Other Facility (including restaurants, golf courses and spas); or (iii)any other sources and databases, including websites, central reservations databases, operational data base (ODS) and any player loyalty programs (e.g., the Total Rewards Program (as defined in the MLSA)).", "ner": [], "tokenized_text": ["Guest", "Data", ":", "Any", "and", "all", "information", "and", "data", "identifying", ",", "describing", ",", "concerning", "or", "generated", "by", "prospective", ",", "actual", "or", "past", "guests", ",", "family", "members", ",", "website", "visitors", "and", "customers", "of", "casinos", ",", "hotels", ",", "retail", "locations", ",", "restaurants", ",", "bars", ",", "spas", ",", "entertainment", "venues", ",", "or", "other", "facilities", "or", "services", ",", "including", "without", "limitation", "any", "and", "all", "guest", "or", "customer", "profiles", ",", "contact", "information", "(", "e", ".", "g", ".", ",", "addresses", ",", "phone", "numbers", ",", "facsimile", "numbers", "and", "email", "addresses", ")", ",", "histories", ",", "preferences", ",", "game", "play", "and", "patronage", "patterns", ",", "experiences", ",", "results", "and", "demographic", "information", ",", "whether", "or", "not", "any", "of", "the", "foregoing", "constitutes", "personally", "identifiable", "information", ",", "together", "with", "any", "and", "all", "other", "guest", "or", "customer", "information", "in", "any", "database", "of", "Tenant", ",", "Services", "Co", ",", "Manager", "or", "any", "of", "their", "respective", "Affiliates", ",", "regardless", "of", "the", "source", "or", "location", "thereof", ",", "and", "including", "without", "limitation", "such", "information", "obtained", "or", "derived", "by", "Tenant", ",", "Services", "Co", ",", "Manager", "or", "any", "of", "their", "respective", "Affiliates", "from", ":", "(", "i", ")", "guests", "or", "customers", "of", "the", "Facility", "(", "for", "the", "avoidance", "of", "doubt", ",", "including", "CPLV", "Guest", "Data", "and", "Property", "Specific", "Guest", "Data", ")", ";", "(", "ii", ")", "guests", "or", "customers", "of", "any", "Other", "Facility", "(", "including", "any", "condominium", "or", "interval", "ownership", "properties", ")", "owned", ",", "leased", ",", "operated", ",", "licensed", "or", "franchised", "by", "Tenant", "or", "any", "of", "its", "Affiliates", ",", "or", "any", "facility", "associated", "with", "any", "such", "Other", "Facility", "(", "including", "restaurants", ",", "golf", "courses", "and", "spas", ")", ";", "or", "(", "iii", ")", "any", "other", "sources", "and", "databases", ",", "including", "websites", ",", "central", "reservations", "databases", ",", "operational", "data", "base", "(", "ODS", ")", "and", "any", "player", "loyalty", "programs", "(", "e", ".", "g", ".", ",", "the", "Total", "Rewards", "Program", "(", "as", "defined", "in", "the", "MLSA", ")", ")", "."]}
{"id": "14713", "text": "Indenture: That certain First-Priority Senior Secured Floating Rate Notes due 2022 Indenture dated October6, 2017 , among Propco I, VICI FC Inc., a Delaware corporation, the Subsidiary Guarantors (as defined therein) party thereto from time to time, and UMB Bank, National Association, as trustee.", "ner": [[14, 16, "EffectiveDate"], [19, 20, "Parties"], [22, 25, "Parties"], [47, 48, "Parties"]], "tokenized_text": ["Indenture", ":", "That", "certain", "First-Priority", "Senior", "Secured", "Floating", "Rate", "Notes", "due", "2022", "Indenture", "dated", "October6", ",", "2017", ",", "among", "Propco", "I", ",", "VICI", "FC", "Inc", ".", ",", "a", "Delaware", "corporation", ",", "the", "Subsidiary", "Guarantors", "(", "as", "defined", "therein", ")", "party", "thereto", "from", "time", "to", "time", ",", "and", "UMB", "Bank", ",", "National", "Association", ",", "as", "trustee", "."]}
{"id": "14715", "text": "Intercreditor Agreement: That certain Intercreditor Agreement, dated as of the date hereof, by and among Landlord, Credit Suisse AG, Cayman Islands Branch, as Credit Agreement Collateral Agent (as defined therein), each additional Tenant Financing Collateral Agent (as defined therein) that becomes a party thereto pursuant to Section9.6 thereof, Tenant and JPMorgan Chase Bank, National Association, Barclays Bank PLC, Goldman Sachs Mortgage Company and Morgan Stanley Bank, N.A., collectively as lender under the Landlord Financing Agreement (as defined therein).", "ner": [[0, 1, "Title"], [20, 22, "Parties"], [29, 30, "Title"], [71, 73, "Parties"], [75, 78, "Parties"], [80, 87, "Parties"], [94, 96, "Title"]], "tokenized_text": ["Intercreditor", "Agreement", ":", "That", "certain", "Intercreditor", "Agreement", ",", "dated", "as", "of", "the", "date", "hereof", ",", "by", "and", "among", "Landlord", ",", "Credit", "Suisse", "AG", ",", "Cayman", "Islands", "Branch", ",", "as", "Credit", "Agreement", "Collateral", "Agent", "(", "as", "defined", "therein", ")", ",", "each", "additional", "Tenant", "Financing", "Collateral", "Agent", "(", "as", "defined", "therein", ")", "that", "becomes", "a", "party", "thereto", "pursuant", "to", "Section9", ".", "6", "thereof", ",", "Tenant", "and", "JPMorgan", "Chase", "Bank", ",", "National", "Association", ",", "Barclays", "Bank", "PLC", ",", "Goldman", "Sachs", "Mortgage", "Company", "and", "Morgan", "Stanley", "Bank", ",", "N", ".", "A", ".", ",", "collectively", "as", "lender", "under", "the", "Landlord", "Financing", "Agreement", "(", "as", "defined", "therein", ")", "."]}
{"id": "14717", "text": "to clause (b)(1) or (b)(2) below is converted to revenue with respect to which Gaming Revenues, Retail Sales and Promotional Allowances are included in Net Revenue for the applicable base year), then, thereafter the rent and/or fees and other consideration received by Tenant pursuant to such Sublease that would otherwise be included in the calculation of Net Revenue for the applicable base year shall be excluded from the calculation of Net Revenue for the applicable base year, and the Gaming Revenues, Retail Sales and Promotional Allowances to be received by Tenant pursuant to its operation of such space shall be substituted therefor.", "ner": [], "tokenized_text": ["to", "clause", "(", "b", ")", "(", "1", ")", "or", "(", "b", ")", "(", "2", ")", "below", "is", "converted", "to", "revenue", "with", "respect", "to", "which", "Gaming", "Revenues", ",", "Retail", "Sales", "and", "Promotional", "Allowances", "are", "included", "in", "Net", "Revenue", "for", "the", "applicable", "base", "year", ")", ",", "then", ",", "thereafter", "the", "rent", "and", "/", "or", "fees", "and", "other", "consideration", "received", "by", "Tenant", "pursuant", "to", "such", "Sublease", "that", "would", "otherwise", "be", "included", "in", "the", "calculation", "of", "Net", "Revenue", "for", "the", "applicable", "base", "year", "shall", "be", "excluded", "from", "the", "calculation", "of", "Net", "Revenue", "for", "the", "applicable", "base", "year", ",", "and", "the", "Gaming", "Revenues", ",", "Retail", "Sales", "and", "Promotional", "Allowances", "to", "be", "received", "by", "Tenant", "pursuant", "to", "its", "operation", "of", "such", "space", "shall", "be", "substituted", "therefor", "."]}
{"id": "14720", "text": "(3) With respect to any Sublease from Tenant to a Subtenant that is directly or indirectly wholly-owned by Guarantor, Net Revenue shall not include the rent and/or fees or any other consideration received by Tenant pursuant to such Sublease but shall include Gaming Revenues, Retail Sales or Promotional Allowances received by such Subtenant.", "ner": [], "tokenized_text": ["(", "3", ")", "With", "respect", "to", "any", "Sublease", "from", "Tenant", "to", "a", "Subtenant", "that", "is", "directly", "or", "indirectly", "wholly-owned", "by", "Guarantor", ",", "Net", "Revenue", "shall", "not", "include", "the", "rent", "and", "/", "or", "fees", "or", "any", "other", "consideration", "received", "by", "Tenant", "pursuant", "to", "such", "Sublease", "but", "shall", "include", "Gaming", "Revenues", ",", "Retail", "Sales", "or", "Promotional", "Allowances", "received", "by", "such", "Subtenant", "."]}
{"id": "14723", "text": "Permitted FF&amp;E Expenditures: FF &amp;E, maintenance capital expenditures, replacements and/or repairs to the Leased Property in the ordinary course, in accordance with Tenants applicable budget.", "ner": [], "tokenized_text": ["Permitted", "FF", "&", "amp", ";", "E", "Expenditures", ":", "FF", "&", "amp", ";", "E", ",", "maintenance", "capital", "expenditures", ",", "replacements", "and", "/", "or", "repairs", "to", "the", "Leased", "Property", "in", "the", "ordinary", "course", ",", "in", "accordance", "with", "Tenants", "applicable", "budget", "."]}
{"id": "14726", "text": "and Grant of Reciprocal Easements and Declaration of Covenants dated April29, 2016, recorded as Instrument Number 201 60503-0002 965 in the Official Records, Clark County, Nevada, and as amended by that certain Second Amendment to Second Amended and Restated Parking Agreement and Grant of Reciprocal Easements and Declaration of Covenants dated on or about the date hereof.", "ner": [[10, 12, "EffectiveDate"], [18, 20, "PII_Ref"], [26, 29, "Address"], [40, 45, "Title"]], "tokenized_text": ["and", "Grant", "of", "Reciprocal", "Easements", "and", "Declaration", "of", "Covenants", "dated", "April29", ",", "2016", ",", "recorded", "as", "Instrument", "Number", "201", "60503-0002", "965", "in", "the", "Official", "Records", ",", "Clark", "County", ",", "Nevada", ",", "and", "as", "amended", "by", "that", "certain", "Second", "Amendment", "to", "Second", "Amended", "and", "Restated", "Parking", "Agreement", "and", "Grant", "of", "Reciprocal", "Easements", "and", "Declaration", "of", "Covenants", "dated", "on", "or", "about", "the", "date", "hereof", "."]}
{"id": "14728", "text": "Tenants Pledged Property: All now owned and hereafter acquired FF&amp;E not otherwise part of the Leased Property and all other now owned and hereafter acquired personal property (including all gaming equipment), licenses, permits, subleases, concessions, and contracts, in each case, located at the Leased Property or primarily related to or used or held for use in connection with the operation of the business conducted on or about the Leased Property as then being operated (including all Property Specific IP and Property Specific Guest Data and Tenants rights under Property-Related IP, other System-wide IP, proprietary operating systems and customer data, including Guest Data) owned by or licensed or granted to Tenant and/or any Subsidiaries of Tenant, all reserve accounts established hereunder, including the Cap Ex Reserve, CapEx Reserve Funds, FF&amp;E Reserve or FF&amp;E Reserve Funds, and any cash (including all cage cash) located on-site at the Facility but not any other cash, securities or investments; provided, that, Tenants Pledged Property shall exclude all Excluded Assets, all products and proceeds of Tenants Pledged Property, and, to the extent required by Gaming Regulations, any Gaming Licenses.", "ner": [[221, 222, "Regulation"]], "tokenized_text": ["Tenants", "Pledged", "Property", ":", "All", "now", "owned", "and", "hereafter", "acquired", "FF", "&", "amp", ";", "E", "not", "otherwise", "part", "of", "the", "Leased", "Property", "and", "all", "other", "now", "owned", "and", "hereafter", "acquired", "personal", "property", "(", "including", "all", "gaming", "equipment", ")", ",", "licenses", ",", "permits", ",", "subleases", ",", "concessions", ",", "and", "contracts", ",", "in", "each", "case", ",", "located", "at", "the", "Leased", "Property", "or", "primarily", "related", "to", "or", "used", "or", "held", "for", "use", "in", "connection", "with", "the", "operation", "of", "the", "business", "conducted", "on", "or", "about", "the", "Leased", "Property", "as", "then", "being", "operated", "(", "including", "all", "Property", "Specific", "IP", "and", "Property", "Specific", "Guest", "Data", "and", "Tenants", "rights", "under", "Property-Related", "IP", ",", "other", "System-wide", "IP", ",", "proprietary", "operating", "systems", "and", "customer", "data", ",", "including", "Guest", "Data", ")", "owned", "by", "or", "licensed", "or", "granted", "to", "Tenant", "and", "/", "or", "any", "Subsidiaries", "of", "Tenant", ",", "all", "reserve", "accounts", "established", "hereunder", ",", "including", "the", "Cap", "Ex", "Reserve", ",", "CapEx", "Reserve", "Funds", ",", "FF", "&", "amp", ";", "E", "Reserve", "or", "FF", "&", "amp", ";", "E", "Reserve", "Funds", ",", "and", "any", "cash", "(", "including", "all", "cage", "cash", ")", "located", "on-site", "at", "the", "Facility", "but", "not", "any", "other", "cash", ",", "securities", "or", "investments", ";", "provided", ",", "that", ",", "Tenants", "Pledged", "Property", "shall", "exclude", "all", "Excluded", "Assets", ",", "all", "products", "and", "proceeds", "of", "Tenants", "Pledged", "Property", ",", "and", ",", "to", "the", "extent", "required", "by", "Gaming", "Regulations", ",", "any", "Gaming", "Licenses", "."]}
{"id": "14730", "text": "(b) Maintenance of Records Relating to Variable Rent Statement. Tenant shall maintain, at its corporate offices, for a period of not less than six(6) years following the end of each Lease Year, adequate records which shall evidence the Net Revenue realized by the Facility during each Lease Year, together with all such records that would normally be examined by an independent auditor pursuant to GAAP in performing an audit of Tenants Variable Rent Statements . The provisions and covenants of this Section3.2(b) shall survive the expiration of the Term or sooner termination of this Lease.", "ner": [[28, 39, "TerminationDate"]], "tokenized_text": ["(", "b", ")", "Maintenance", "of", "Records", "Relating", "to", "Variable", "Rent", "Statement", ".", "Tenant", "shall", "maintain", ",", "at", "its", "corporate", "offices", ",", "for", "a", "period", "of", "not", "less", "than", "six", "(", "6", ")", "years", "following", "the", "end", "of", "each", "Lease", "Year", ",", "adequate", "records", "which", "shall", "evidence", "the", "Net", "Revenue", "realized", "by", "the", "Facility", "during", "each", "Lease", "Year", ",", "together", "with", "all", "such", "records", "that", "would", "normally", "be", "examined", "by", "an", "independent", "auditor", "pursuant", "to", "GAAP", "in", "performing", "an", "audit", "of", "Tenants", "Variable", "Rent", "Statements", ".", "The", "provisions", "and", "covenants", "of", "this", "Section3", ".", "2", "(", "b", ")", "shall", "survive", "the", "expiration", "of", "the", "Term", "or", "sooner", "termination", "of", "this", "Lease", "."]}
{"id": "14732", "text": "7.1 Condition of the Leased Property. Tenant acknowledges receipt and delivery of possession of the Leased Property and confirms that Tenant has examined and otherwise has knowledge of the condition of the Leased Property prior to and as of the execution and delivery of this Lease and has found the same to be satisfactory for its purposes hereunder, it being understood and acknowledged by Tenant that, immediately prior to Landlords acquisition of the Leased Property and contemporaneous entry into this Lease, Tenant (or its Affiliates) was the owner of all of Landlords interest in and to the Leased Property and, accordingly, Tenant is charged with, and deemed to have, full and complete knowledge of all aspects of the condition and state of the Leased Property as of the Commencement Date. Without limitation of the foregoing and regardless of any examination or inspection made by Tenant, and whether or not any patent or latent defect or condition was revealed or discovered thereby, Tenant is leasing the Leased Property as is in its present condition. Without limitation of the foregoing, Tenant waives any claim or action against Landlord in respect of the condition of the Leased Property including any defects or adverse conditions not discovered or otherwise known by Tenant as of the Commencement Date. LANDLORD MAKES NO WARRANTY OR REPRESENTATION OF ANY KIND, EXPRESS OR IMPLIED, IN RESPECT OF THE LEASE D PROPERTY OR ANY PART THEREOF, INCLUDING AS TO ITS FITNESS FOR USE, DESIGN OR CONDITION FOR ANY PARTICULAR USE OR PURPOSE OR OTHERWISE, OR AS TO THE NATURE OR QUALITY OF THE MATERIAL OR WORKMANSHIP THEREIN, OR THE STATUS OF TITLE TO THE LEASE D PROPERTY OR THE PHYSICAL CONDITION OR STATE OF REPAIR THEREOF, OR THE ZONING OR OTHER LAWS, ORDINANCES, BUILDING CODES, REGULATIONS , RULES AND ORDERS APPLICABLE THERETO OR TO ANY CAPITAL IMPROVEMENTS WHICH MAY BE NOW OR HEREAFTER CONTEMPLATED, THE IMPOSITIONS LEVIED IN RESPECT OF THE LEASE D", "ner": [[320, 321, "Regulation"]], "tokenized_text": ["7", ".", "1", "Condition", "of", "the", "Leased", "Property", ".", "Tenant", "acknowledges", "receipt", "and", "delivery", "of", "possession", "of", "the", "Leased", "Property", "and", "confirms", "that", "Tenant", "has", "examined", "and", "otherwise", "has", "knowledge", "of", "the", "condition", "of", "the", "Leased", "Property", "prior", "to", "and", "as", "of", "the", "execution", "and", "delivery", "of", "this", "Lease", "and", "has", "found", "the", "same", "to", "be", "satisfactory", "for", "its", "purposes", "hereunder", ",", "it", "being", "understood", "and", "acknowledged", "by", "Tenant", "that", ",", "immediately", "prior", "to", "Landlords", "acquisition", "of", "the", "Leased", "Property", "and", "contemporaneous", "entry", "into", "this", "Lease", ",", "Tenant", "(", "or", "its", "Affiliates", ")", "was", "the", "owner", "of", "all", "of", "Landlords", "interest", "in", "and", "to", "the", "Leased", "Property", "and", ",", "accordingly", ",", "Tenant", "is", "charged", "with", ",", "and", "deemed", "to", "have", ",", "full", "and", "complete", "knowledge", "of", "all", "aspects", "of", "the", "condition", "and", "state", "of", "the", "Leased", "Property", "as", "of", "the", "Commencement", "Date", ".", "Without", "limitation", "of", "the", "foregoing", "and", "regardless", "of", "any", "examination", "or", "inspection", "made", "by", "Tenant", ",", "and", "whether", "or", "not", "any", "patent", "or", "latent", "defect", "or", "condition", "was", "revealed", "or", "discovered", "thereby", ",", "Tenant", "is", "leasing", "the", "Leased", "Property", "as", "is", "in", "its", "present", "condition", ".", "Without", "limitation", "of", "the", "foregoing", ",", "Tenant", "waives", "any", "claim", "or", "action", "against", "Landlord", "in", "respect", "of", "the", "condition", "of", "the", "Leased", "Property", "including", "any", "defects", "or", "adverse", "conditions", "not", "discovered", "or", "otherwise", "known", "by", "Tenant", "as", "of", "the", "Commencement", "Date", ".", "LANDLORD", "MAKES", "NO", "WARRANTY", "OR", "REPRESENTATION", "OF", "ANY", "KIND", ",", "EXPRESS", "OR", "IMPLIED", ",", "IN", "RESPECT", "OF", "THE", "LEASE", "D", "PROPERTY", "OR", "ANY", "PART", "THEREOF", ",", "INCLUDING", "AS", "TO", "ITS", "FITNESS", "FOR", "USE", ",", "DESIGN", "OR", "CONDITION", "FOR", "ANY", "PARTICULAR", "USE", "OR", "PURPOSE", "OR", "OTHERWISE", ",", "OR", "AS", "TO", "THE", "NATURE", "OR", "QUALITY", "OF", "THE", "MATERIAL", "OR", "WORKMANSHIP", "THEREIN", ",", "OR", "THE", "STATUS", "OF", "TITLE", "TO", "THE", "LEASE", "D", "PROPERTY", "OR", "THE", "PHYSICAL", "CONDITION", "OR", "STATE", "OF", "REPAIR", "THEREOF", ",", "OR", "THE", "ZONING", "OR", "OTHER", "LAWS", ",", "ORDINANCES", ",", "BUILDING", "CODES", ",", "REGULATIONS", ",", "RULES", "AND", "ORDERS", "APPLICABLE", "THERETO", "OR", "TO", "ANY", "CAPITAL", "IMPROVEMENTS", "WHICH", "MAY", "BE", "NOW", "OR", "HEREAFTER", "CONTEMPLATED", ",", "THE", "IMPOSITIONS", "LEVIED", "IN", "RESPECT", "OF", "THE", "LEASE", "D"]}
{"id": "14733", "text": "PROPERTY OR ANY PART THEREOF, OR THE USE THAT MAY BE MADE OF THE LEASE D PROPERTY OR ANY PART THEREOF, THE <sup> INCOME TO BE DERIVED FROM THE FACILITY OR THE EXPENSE OF OPERATING THE SAME, OR THE EXISTENCE OF ANY HAZARDOUS SUBSTANCE, IT BEING AGREED THAT ALL SUCH RISKS, LATENT OR PATENT, ARE TO BE BORNE SOLELY BY TENANT INCLUDING ALL RESPONSIBILITY AND LIABILITY FOR ANY ENVIRONMENTAL REMEDIATION AND COMPLIANCE WITH ALL ENVIRONMENTAL LAWS. This Section7.1 shall not be construed to limit Landlords express indemnities made hereunder.", "ner": [], "tokenized_text": ["PROPERTY", "OR", "ANY", "PART", "THEREOF", ",", "OR", "THE", "USE", "THAT", "MAY", "BE", "MADE", "OF", "THE", "LEASE", "D", "PROPERTY", "OR", "ANY", "PART", "THEREOF", ",", "THE", "<", "sup", ">", "INCOME", "TO", "BE", "DERIVED", "FROM", "THE", "FACILITY", "OR", "THE", "EXPENSE", "OF", "OPERATING", "THE", "SAME", ",", "OR", "THE", "EXISTENCE", "OF", "ANY", "HAZARDOUS", "SUBSTANCE", ",", "IT", "BEING", "AGREED", "THAT", "ALL", "SUCH", "RISKS", ",", "LATENT", "OR", "PATENT", ",", "ARE", "TO", "BE", "BORNE", "SOLELY", "BY", "TENANT", "INCLUDING", "ALL", "RESPONSIBILITY", "AND", "LIABILITY", "FOR", "ANY", "ENVIRONMENTAL", "REMEDIATION", "AND", "COMPLIANCE", "WITH", "ALL", "ENVIRONMENTAL", "LAWS", ".", "This", "Section7", ".", "1", "shall", "not", "be", "construed", "to", "limit", "Landlords", "express", "indemnities", "made", "hereunder", "."]}
{"id": "14735", "text": "(f) To the extent required under the applicable Ground Lease, Tenant hereby waives any and all rights of recovery (including subrogation rights of its insurers) from the applicable Ground Lessor, its agents, principals, employees and representatives for any loss or damage, including consequential loss or damage, covered by any insurance policy maintained by Tenant, whether or not such policy is required under the terms of the Ground Lease.", "ner": [[10, 11, "Title"]], "tokenized_text": ["(", "f", ")", "To", "the", "extent", "required", "under", "the", "applicable", "Ground", "Lease", ",", "Tenant", "hereby", "waives", "any", "and", "all", "rights", "of", "recovery", "(", "including", "subrogation", "rights", "of", "its", "insurers", ")", "from", "the", "applicable", "Ground", "Lessor", ",", "its", "agents", ",", "principals", ",", "employees", "and", "representatives", "for", "any", "loss", "or", "damage", ",", "including", "consequential", "loss", "or", "damage", ",", "covered", "by", "any", "insurance", "policy", "maintained", "by", "Tenant", ",", "whether", "or", "not", "such", "policy", "is", "required", "under", "the", "terms", "of", "the", "Ground", "Lease", "."]}
{"id": "14737", "text": "9.1 Tenant Obligations. Subject to the provisions of Sections 10.1, 10.2 and 10.3 relating to Landlords approval of certain Alterations, Capital Improvements and Material Capital Improvements, Tenant, at its expense and without the prior consent of Landlord, shall maintain the Leased Property, and every portion thereof, including all of the Leased Improvements and the structural elements and the plumbing, heating, ventilating, air", "ner": [[11, 22, "Regulation"]], "tokenized_text": ["9", ".", "1", "Tenant", "Obligations", ".", "Subject", "to", "the", "provisions", "of", "Sections", "10", ".", "1", ",", "10", ".", "2", "and", "10", ".", "3", "relating", "to", "Landlords", "approval", "of", "certain", "Alterations", ",", "Capital", "Improvements", "and", "Material", "Capital", "Improvements", ",", "Tenant", ",", "at", "its", "expense", "and", "without", "the", "prior", "consent", "of", "Landlord", ",", "shall", "maintain", "the", "Leased", "Property", ",", "and", "every", "portion", "thereof", ",", "including", "all", "of", "the", "Leased", "Improvements", "and", "the", "structural", "elements", "and", "the", "plumbing", ",", "heating", ",", "ventilating", ",", "air"]}
{"id": "14738", "text": "9.4 End of Term. Subject to Sections 17.1(f) and 36.1, Tenant shall, upon the expiration or earlier termination of the Term, vacate and surrender and relinquish in favor of Landlord all rights to the Leased Property (together with all Capital Improvements, including all Tenant Capital Improvements, except to the extent provided in Section10.4 in respect of Tenant", "ner": [[9, 19, "Regulation"]], "tokenized_text": ["9", ".", "4", "End", "of", "Term", ".", "Subject", "to", "Sections", "17", ".", "1", "(", "f", ")", "and", "36", ".", "1", ",", "Tenant", "shall", ",", "upon", "the", "expiration", "or", "earlier", "termination", "of", "the", "Term", ",", "vacate", "and", "surrender", "and", "relinquish", "in", "favor", "of", "Landlord", "all", "rights", "to", "the", "Leased", "Property", "(", "together", "with", "all", "Capital", "Improvements", ",", "including", "all", "Tenant", "Capital", "Improvements", ",", "except", "to", "the", "extent", "provided", "in", "Section10", ".", "4", "in", "respect", "of", "Tenant"]}
{"id": "14740", "text": "10.1 Alterations, Capital Improvements and Material Capital Improvements.", "ner": [], "tokenized_text": ["10", ".", "1", "Alterations", ",", "Capital", "Improvements", "and", "Material", "Capital", "Improvements", "."]}
{"id": "14742", "text": "(e) During and following completion of such Work, the parking and other amenities which are located on or at the Leased Property shall remain adequate for the operation of the Facility for its Primary Intended Use and not be less than that which is required by law (including any variances with respect thereto) and any applicable Property Documents; provided, however, with Landlords prior consent, which approval shall not be unreasonably withheld, conditioned or delayed, and at no additional expense to Landlord, (i)to the extent sufficient additional parking is not already a part of an Alteration or Capital Improvement, Tenant may construct additional parking on or at the Leased Property; or (ii)Tenant may acquire off-site parking to serve the Leased Property as long as such parking shall be reasonably proximate to, and dedicated to, or otherwise made available to serve, the Leased Property;", "ner": [], "tokenized_text": ["(", "e", ")", "During", "and", "following", "completion", "of", "such", "Work", ",", "the", "parking", "and", "other", "amenities", "which", "are", "located", "on", "or", "at", "the", "Leased", "Property", "shall", "remain", "adequate", "for", "the", "operation", "of", "the", "Facility", "for", "its", "Primary", "Intended", "Use", "and", "not", "be", "less", "than", "that", "which", "is", "required", "by", "law", "(", "including", "any", "variances", "with", "respect", "thereto", ")", "and", "any", "applicable", "Property", "Documents", ";", "provided", ",", "however", ",", "with", "Landlords", "prior", "consent", ",", "which", "approval", "shall", "not", "be", "unreasonably", "withheld", ",", "conditioned", "or", "delayed", ",", "and", "at", "no", "additional", "expense", "to", "Landlord", ",", "(", "i", ")", "to", "the", "extent", "sufficient", "additional", "parking", "is", "not", "already", "a", "part", "of", "an", "Alteration", "or", "Capital", "Improvement", ",", "Tenant", "may", "construct", "additional", "parking", "on", "or", "at", "the", "Leased", "Property", ";", "or", "(", "ii", ")", "Tenant", "may", "acquire", "off-site", "parking", "to", "serve", "the", "Leased", "Property", "as", "long", "as", "such", "parking", "shall", "be", "reasonably", "proximate", "to", ",", "and", "dedicated", "to", ",", "or", "otherwise", "made", "available", "to", "serve", ",", "the", "Leased", "Property", ";"]}
{"id": "14743", "text": "(a) Landlords Right to Submit Landlords MCI Financing Proposal. In advance of commencing any Work in connection with any Material Capital Improvement (provided, for purposes of clarification, that preliminary planning, designing, budgeting, evaluating (including environmental and integrity testing and the like) (collectively, Preliminary Studies), permitting and demolishing in preparation for such Material Capital Improvement shall not be considered commencing for purposes hereof), Tenant shall provide written notice (Tenants MCI Intent Notice) of Tenants intent to do so, which notice shall be accompanied by (i)a reasonably detailed description of the proposed Material Capital Improvement, (ii)the then-projected cost of construction of the proposed Material Capital Improvement, (iii)copies of the plans and specifications, permits, licenses, contracts and Preliminary Studies concerning the proposed Material Capital Improvement, to the extent then- available, (iv)reasonable evidence that such proposed Material Capital Improvement will, upon completion, comply with all applicable Legal Requirements, and (v)reasonably detailed information regarding the terms upon which Tenant is considering seeking financing therefor, if any. To the extent in Tenants possession or control, Tenant shall provide to Landlord any additional information about such proposed Material Capital Improvements which Landlord may reasonably request. Landlord (or, with respect to financing structured as a loan rather than as ownership of the real property by Landlord with a lease back to Tenant, Landlords Affiliate) may, but shall be under no obligation to, provide all or any portion of the financing necessary to fund the applicable Material Capital Improvement (along with related fees and expenses, such as title fees, costs of permits, legal fees and other similar transaction costs) by complying with the option exercise requirements set forth below. Within thirty(30) days of receipt of Tenants MCI Intent Notice, Landlord shall notify Tenant in writing as to whether Landlord (or, if applicable, its Affiliate) is willing to provide financing for such proposed Material Capital Improvement and, if so, the terms and conditions upon which Landlord (or, if applicable, its Affiliate) is willing to do so in reasonable detail, in the form of a proposed term sheet (such terms and conditions, Landlords MCI Financing Proposal). Upon receipt, Tenant shall have ten(10) days to accept, reject or commence negotiating Landlords MCI Financing Proposal.", "ner": [], "tokenized_text": ["(", "a", ")", "Landlords", "Right", "to", "Submit", "Landlords", "MCI", "Financing", "Proposal", ".", "In", "advance", "of", "commencing", "any", "Work", "in", "connection", "with", "any", "Material", "Capital", "Improvement", "(", "provided", ",", "for", "purposes", "of", "clarification", ",", "that", "preliminary", "planning", ",", "designing", ",", "budgeting", ",", "evaluating", "(", "including", "environmental", "and", "integrity", "testing", "and", "the", "like", ")", "(", "collectively", ",", "Preliminary", "Studies", ")", ",", "permitting", "and", "demolishing", "in", "preparation", "for", "such", "Material", "Capital", "Improvement", "shall", "not", "be", "considered", "commencing", "for", "purposes", "hereof", ")", ",", "Tenant", "shall", "provide", "written", "notice", "(", "Tenants", "MCI", "Intent", "Notice", ")", "of", "Tenants", "intent", "to", "do", "so", ",", "which", "notice", "shall", "be", "accompanied", "by", "(", "i", ")", "a", "reasonably", "detailed", "description", "of", "the", "proposed", "Material", "Capital", "Improvement", ",", "(", "ii", ")", "the", "then-projected", "cost", "of", "construction", "of", "the", "proposed", "Material", "Capital", "Improvement", ",", "(", "iii", ")", "copies", "of", "the", "plans", "and", "specifications", ",", "permits", ",", "licenses", ",", "contracts", "and", "Preliminary", "Studies", "concerning", "the", "proposed", "Material", "Capital", "Improvement", ",", "to", "the", "extent", "then", "-", "available", ",", "(", "iv", ")", "reasonable", "evidence", "that", "such", "proposed", "Material", "Capital", "Improvement", "will", ",", "upon", "completion", ",", "comply", "with", "all", "applicable", "Legal", "Requirements", ",", "and", "(", "v", ")", "reasonably", "detailed", "information", "regarding", "the", "terms", "upon", "which", "Tenant", "is", "considering", "seeking", "financing", "therefor", ",", "if", "any", ".", "To", "the", "extent", "in", "Tenants", "possession", "or", "control", ",", "Tenant", "shall", "provide", "to", "Landlord", "any", "additional", "information", "about", "such", "proposed", "Material", "Capital", "Improvements", "which", "Landlord", "may", "reasonably", "request", ".", "Landlord", "(", "or", ",", "with", "respect", "to", "financing", "structured", "as", "a", "loan", "rather", "than", "as", "ownership", "of", "the", "real", "property", "by", "Landlord", "with", "a", "lease", "back", "to", "Tenant", ",", "Landlords", "Affiliate", ")", "may", ",", "but", "shall", "be", "under", "no", "obligation", "to", ",", "provide", "all", "or", "any", "portion", "of", "the", "financing", "necessary", "to", "fund", "the", "applicable", "Material", "Capital", "Improvement", "(", "along", "with", "related", "fees", "and", "expenses", ",", "such", "as", "title", "fees", ",", "costs", "of", "permits", ",", "legal", "fees", "and", "other", "similar", "transaction", "costs", ")", "by", "complying", "with", "the", "option", "exercise", "requirements", "set", "forth", "below", ".", "Within", "thirty", "(", "30", ")", "days", "of", "receipt", "of", "Tenants", "MCI", "Intent", "Notice", ",", "Landlord", "shall", "notify", "Tenant", "in", "writing", "as", "to", "whether", "Landlord", "(", "or", ",", "if", "applicable", ",", "its", "Affiliate", ")", "is", "willing", "to", "provide", "financing", "for", "such", "proposed", "Material", "Capital", "Improvement", "and", ",", "if", "so", ",", "the", "terms", "and", "conditions", "upon", "which", "Landlord", "(", "or", ",", "if", "applicable", ",", "its", "Affiliate", ")", "is", "willing", "to", "do", "so", "in", "reasonable", "detail", ",", "in", "the", "form", "of", "a", "proposed", "term", "sheet", "(", "such", "terms", "and", "conditions", ",", "Landlords", "MCI", "Financing", "Proposal", ")", ".", "Upon", "receipt", ",", "Tenant", "shall", "have", "ten", "(", "10", ")", "days", "to", "accept", ",", "reject", "or", "commence", "negotiating", "Landlords", "MCI", "Financing", "Proposal", "."]}
{"id": "14744", "text": "(c) If Landlord Declines to Make Landlords MCI Financing Proposal. If Landlord declines or fails to timely submit Landlords MCI Financing Proposal, Tenant shall be permitted to either (1)use then-existing available financing or, subject to Article XVII, enter into financing arrangements with any lender, preferred equity holder and/or other third-party financing source (a Third-Party MCI Financing) for such Material Capital Improvement or (2)use Cash to pay for such Material Capital Improvement, provided, that if Tenant has not used then-existing, or entered into a new, Third-Party MCI Financing (or commenced such Material Capital Improvement utilizing Cash) by the date that is nine(9) months following delivery of Tenants MCI Intent Notice, then, prior to entering into any such Third-Party MCI Financing and/or commencing such Material Capital Improvement, Tenant shall again be required to send Tenants MCI Intent Notice seeking financing from Landlord (on the terms contemplated by this Section10.4).", "ner": [], "tokenized_text": ["(", "c", ")", "If", "Landlord", "Declines", "to", "Make", "Landlords", "MCI", "Financing", "Proposal", ".", "If", "Landlord", "declines", "or", "fails", "to", "timely", "submit", "Landlords", "MCI", "Financing", "Proposal", ",", "Tenant", "shall", "be", "permitted", "to", "either", "(", "1", ")", "use", "then-existing", "available", "financing", "or", ",", "subject", "to", "Article", "XVII", ",", "enter", "into", "financing", "arrangements", "with", "any", "lender", ",", "preferred", "equity", "holder", "and", "/", "or", "other", "third-party", "financing", "source", "(", "a", "Third-Party", "MCI", "Financing", ")", "for", "such", "Material", "Capital", "Improvement", "or", "(", "2", ")", "use", "Cash", "to", "pay", "for", "such", "Material", "Capital", "Improvement", ",", "provided", ",", "that", "if", "Tenant", "has", "not", "used", "then-existing", ",", "or", "entered", "into", "a", "new", ",", "Third-Party", "MCI", "Financing", "(", "or", "commenced", "such", "Material", "Capital", "Improvement", "utilizing", "Cash", ")", "by", "the", "date", "that", "is", "nine", "(", "9", ")", "months", "following", "delivery", "of", "Tenants", "MCI", "Intent", "Notice", ",", "then", ",", "prior", "to", "entering", "into", "any", "such", "Third-Party", "MCI", "Financing", "and", "/", "or", "commencing", "such", "Material", "Capital", "Improvement", ",", "Tenant", "shall", "again", "be", "required", "to", "send", "Tenants", "MCI", "Intent", "Notice", "seeking", "financing", "from", "Landlord", "(", "on", "the", "terms", "contemplated", "by", "this", "Section10", ".", "4", ")", "."]}
{"id": "14745", "text": "(f) Landlord MCI Financing. In the event of an Accepted MCI Financing Proposal, Tenant shall provide Landlord with the following prior to any advance of funds under such Landlord MCI Financing:", "ner": [[4, 5, "Title"]], "tokenized_text": ["(", "f", ")", "Landlord", "MCI", "Financing", ".", "In", "the", "event", "of", "an", "Accepted", "MCI", "Financing", "Proposal", ",", "Tenant", "shall", "provide", "Landlord", "with", "the", "following", "prior", "to", "any", "advance", "of", "funds", "under", "such", "Landlord", "MCI", "Financing", ":"]}
{"id": "14746", "text": "(ii) Annual Minimum Per-Lease B&amp;I Cap Ex Requirement . During each full Fiscal Year during the Term, commencing upon the first (1st) full Fiscal Year during the Term, measured as of the last day of each such Fiscal Year, Tenant shall expend Capital Expenditures with respect to the Leased Property in an aggregate amount equal to at least one percent (1%) of the Net Revenue from the Facility for the prior Fiscal Year, on Capital Expenditures that constitute installation or restoration and repair or other improvements of items with respect to the Leased Property under this Lease (the Annual Minimum Per-Lease B&amp;I Cap Ex Requirement). In the event of expiration, cancellation or termination of any Ground Lease for any reason whatsoever whether voluntary or involuntary (by operation of law or otherwise), except for a cancellation or termination due to Landlords failure to extend the term thereof where Landlord was required to do so hereunder, prior to the expiration date of this Lease, including extensions and renewals granted thereunder, then, for purposes of calculating the amount of Net Revenue from the Facility for determining the Annual Minimum Per-Lease B&amp;I Cap Ex Requirement, the Net Revenue attributable to the portion of the Leased Property subject to such Ground Lease for the Lease Year immediately prior to such expiration, cancellation or termination of such Ground Lease thereafter shall continue to be included in the calculation of Net Revenue (except to the extent such Ground Lease is replaced by a replacement Ground Lease for all or substantially all of such portion of the Leased Property).", "ner": [[3, 13, "Percentage"], [72, 73, "Percentage"], [138, 139, "Title"]], "tokenized_text": ["(", "ii", ")", "Annual", "Minimum", "Per-Lease", "B", "&", "amp", ";", "I", "Cap", "Ex", "Requirement", ".", "During", "each", "full", "Fiscal", "Year", "during", "the", "Term", ",", "commencing", "upon", "the", "first", "(", "1st", ")", "full", "Fiscal", "Year", "during", "the", "Term", ",", "measured", "as", "of", "the", "last", "day", "of", "each", "such", "Fiscal", "Year", ",", "Tenant", "shall", "expend", "Capital", "Expenditures", "with", "respect", "to", "the", "Leased", "Property", "in", "an", "aggregate", "amount", "equal", "to", "at", "least", "one", "percent", "(", "1", "%", ")", "of", "the", "Net", "Revenue", "from", "the", "Facility", "for", "the", "prior", "Fiscal", "Year", ",", "on", "Capital", "Expenditures", "that", "constitute", "installation", "or", "restoration", "and", "repair", "or", "other", "improvements", "of", "items", "with", "respect", "to", "the", "Leased", "Property", "under", "this", "Lease", "(", "the", "Annual", "Minimum", "Per-Lease", "B", "&", "amp", ";", "I", "Cap", "Ex", "Requirement", ")", ".", "In", "the", "event", "of", "expiration", ",", "cancellation", "or", "termination", "of", "any", "Ground", "Lease", "for", "any", "reason", "whatsoever", "whether", "voluntary", "or", "involuntary", "(", "by", "operation", "of", "law", "or", "otherwise", ")", ",", "except", "for", "a", "cancellation", "or", "termination", "due", "to", "Landlords", "failure", "to", "extend", "the", "term", "thereof", "where", "Landlord", "was", "required", "to", "do", "so", "hereunder", ",", "prior", "to", "the", "expiration", "date", "of", "this", "Lease", ",", "including", "extensions", "and", "renewals", "granted", "thereunder", ",", "then", ",", "for", "purposes", "of", "calculating", "the", "amount", "of", "Net", "Revenue", "from", "the", "Facility", "for", "determining", "the", "Annual", "Minimum", "Per-Lease", "B", "&", "amp", ";", "I", "Cap", "Ex", "Requirement", ",", "the", "Net", "Revenue", "attributable", "to", "the", "portion", "of", "the", "Leased", "Property", "subject", "to", "such", "Ground", "Lease", "for", "the", "Lease", "Year", "immediately", "prior", "to", "such", "expiration", ",", "cancellation", "or", "termination", "of", "such", "Ground", "Lease", "thereafter", "shall", "continue", "to", "be", "included", "in", "the", "calculation", "of", "Net", "Revenue", "(", "except", "to", "the", "extent", "such", "Ground", "Lease", "is", "replaced", "by", "a", "replacement", "Ground", "Lease", "for", "all", "or", "substantially", "all", "of", "such", "portion", "of", "the", "Leased", "Property", ")", "."]}
{"id": "14747", "text": "(iv) Triennial Minimum Cap Ex Requirement B. During each full Triennial Period during the Term, commencing upon the first (1st) full Triennial Period during the Term, measured as of the last day of each such Triennial Period, Tenant shall expend Capital Expenditures in an aggregate amount equal to no less than the greater of (a)the amount which, when added to the amount of Other Capital Expenditures expended by the Other Tenants toward the Triennial Minimum Cap Ex Requirement B (as defined in the Other Leases) during the same time period, equals the Triennial Minimum Cap Ex Amount B, but in no event more than the Triennial Allocated Minimum Cap Ex Amount B Ceiling, and (b)the Triennial Allocated Minimum Cap Ex Amount B Floor (the Triennial Minimum Cap Ex Requirement B).", "ner": [[3, 8, "Principal"]], "tokenized_text": ["(", "iv", ")", "Triennial", "Minimum", "Cap", "Ex", "Requirement", "B", ".", "During", "each", "full", "Triennial", "Period", "during", "the", "Term", ",", "commencing", "upon", "the", "first", "(", "1st", ")", "full", "Triennial", "Period", "during", "the", "Term", ",", "measured", "as", "of", "the", "last", "day", "of", "each", "such", "Triennial", "Period", ",", "Tenant", "shall", "expend", "Capital", "Expenditures", "in", "an", "aggregate", "amount", "equal", "to", "no", "less", "than", "the", "greater", "of", "(", "a", ")", "the", "amount", "which", ",", "when", "added", "to", "the", "amount", "of", "Other", "Capital", "Expenditures", "expended", "by", "the", "Other", "Tenants", "toward", "the", "Triennial", "Minimum", "Cap", "Ex", "Requirement", "B", "(", "as", "defined", "in", "the", "Other", "Leases", ")", "during", "the", "same", "time", "period", ",", "equals", "the", "Triennial", "Minimum", "Cap", "Ex", "Amount", "B", ",", "but", "in", "no", "event", "more", "than", "the", "Triennial", "Allocated", "Minimum", "Cap", "Ex", "Amount", "B", "Ceiling", ",", "and", "(", "b", ")", "the", "Triennial", "Allocated", "Minimum", "Cap", "Ex", "Amount", "B", "Floor", "(", "the", "Triennial", "Minimum", "Cap", "Ex", "Requirement", "B", ")", "."]}
{"id": "14748", "text": "Tenant, upon prior written notice to Landlord (except that no such notice shall be required to be given by Tenant to Landlord with respect to matters not exceeding Five Million and No/100 Dollars ($5,000,000.00)), on its own or in Landlords name, at Tenants expense, may contest, by appropriate legal proceedings conducted in good faith and with due diligence, the amount, validity or application, in whole or in part, of any licensure or certification decision (including pursuant to any Gaming Regulation), imposition of any disciplinary action, including both monetary and nonmonetary, pursuant to any Gaming Regulation, Imposition, Legal Requirement, Insurance Requirement , lien, attachment, levy, encumbrance, charge or claim; provided, that (i)in the case of an unpaid Imposition, lien, attachment, levy, encumbrance, charge or claim, the commencement and continuation of such proceedings shall suspend the collection thereof from Landlord and from the Leased Property; (ii)neither the Leased Property or any portion thereof, the Rent therefrom nor any part or interest in either thereof would be in any danger of being sold, forfeited, attached or lost pending the outcome of such proceedings; (iii)in the case of a Legal Requirement, neither Landlord nor Tenant would be in any imminent danger of criminal or material civil liability for failure to comply therewith pending the outcome of such proceedings; (iv)in the case of a Legal Requirement, Imposition, lien, encumbrance or charge, Tenant shall deliver to Landlord security in the form of cash, cash equivalents or a Letter of Credit, if and as may be reasonably required by Landlord to insure ultimate payment of the same and to prevent any sale or forfeiture of the Leased Property or any portion thereof or the Rent by reason of such non-payment or noncompliance; (v)in the case of an Insurance Requirement, the coverage required by Article XIII shall be maintained; (vi)upon Landlords request, Tenant shall keep Landlord reasonably informed as to the status of the proceedings; and (vii)if such contest be finally resolved against Landlord or Tenant, Tenant shall promptly pay the amount required to be paid, together with all interest and penalties accrued thereon, or comply with the applicable Legal Requirement or Insurance Requirement. Landlord, at Tenants expense, shall execute and deliver to Tenant such authorizations and other documents as may reasonably be required in any such contest, and, if reasonably requested by Tenant or if Landlord so desires, Landlord shall join as a party therein. The provisions of this Article XII shall not be construed to permit Tenant to contest the payment of Rent or any other amount (other than Impositions or Additional Charges contested in accordance herewith) payable by Tenant to Landlord hereunder. Tenant shall indemnify, defend, protect and save Landlord harmless from and against any liability, cost or expense of any kind that may be imposed upon Landlord in connection with any such contest and any loss resulting therefrom, except to the extent resulting from actions independently taken by Landlord (other than actions taken by Landlord at Tenants direction or with Tenants consent).", "ner": [[38, 45, "Principal"], [101, 102, "Regulation"], [128, 129, "Regulation"], [307, 309, "Title"], [368, 369, "Regulation"]], "tokenized_text": ["Tenant", ",", "upon", "prior", "written", "notice", "to", "Landlord", "(", "except", "that", "no", "such", "notice", "shall", "be", "required", "to", "be", "given", "by", "Tenant", "to", "Landlord", "with", "respect", "to", "matters", "not", "exceeding", "Five", "Million", "and", "No", "/", "100", "Dollars", "(", "$", "5", ",", "000", ",", "000", ".", "00", ")", ")", ",", "on", "its", "own", "or", "in", "Landlords", "name", ",", "at", "Tenants", "expense", ",", "may", "contest", ",", "by", "appropriate", "legal", "proceedings", "conducted", "in", "good", "faith", "and", "with", "due", "diligence", ",", "the", "amount", ",", "validity", "or", "application", ",", "in", "whole", "or", "in", "part", ",", "of", "any", "licensure", "or", "certification", "decision", "(", "including", "pursuant", "to", "any", "Gaming", "Regulation", ")", ",", "imposition", "of", "any", "disciplinary", "action", ",", "including", "both", "monetary", "and", "nonmonetary", ",", "pursuant", "to", "any", "Gaming", "Regulation", ",", "Imposition", ",", "Legal", "Requirement", ",", "Insurance", "Requirement", ",", "lien", ",", "attachment", ",", "levy", ",", "encumbrance", ",", "charge", "or", "claim", ";", "provided", ",", "that", "(", "i", ")", "in", "the", "case", "of", "an", "unpaid", "Imposition", ",", "lien", ",", "attachment", ",", "levy", ",", "encumbrance", ",", "charge", "or", "claim", ",", "the", "commencement", "and", "continuation", "of", "such", "proceedings", "shall", "suspend", "the", "collection", "thereof", "from", "Landlord", "and", "from", "the", "Leased", "Property", ";", "(", "ii", ")", "neither", "the", "Leased", "Property", "or", "any", "portion", "thereof", ",", "the", "Rent", "therefrom", "nor", "any", "part", "or", "interest", "in", "either", "thereof", "would", "be", "in", "any", "danger", "of", "being", "sold", ",", "forfeited", ",", "attached", "or", "lost", "pending", "the", "outcome", "of", "such", "proceedings", ";", "(", "iii", ")", "in", "the", "case", "of", "a", "Legal", "Requirement", ",", "neither", "Landlord", "nor", "Tenant", "would", "be", "in", "any", "imminent", "danger", "of", "criminal", "or", "material", "civil", "liability", "for", "failure", "to", "comply", "therewith", "pending", "the", "outcome", "of", "such", "proceedings", ";", "(", "iv", ")", "in", "the", "case", "of", "a", "Legal", "Requirement", ",", "Imposition", ",", "lien", ",", "encumbrance", "or", "charge", ",", "Tenant", "shall", "deliver", "to", "Landlord", "security", "in", "the", "form", "of", "cash", ",", "cash", "equivalents", "or", "a", "Letter", "of", "Credit", ",", "if", "and", "as", "may", "be", "reasonably", "required", "by", "Landlord", "to", "insure", "ultimate", "payment", "of", "the", "same", "and", "to", "prevent", "any", "sale", "or", "forfeiture", "of", "the", "Leased", "Property", "or", "any", "portion", "thereof", "or", "the", "Rent", "by", "reason", "of", "such", "non-payment", "or", "noncompliance", ";", "(", "v", ")", "in", "the", "case", "of", "an", "Insurance", "Requirement", ",", "the", "coverage", "required", "by", "Article", "XIII", "shall", "be", "maintained", ";", "(", "vi", ")", "upon", "Landlords", "request", ",", "Tenant", "shall", "keep", "Landlord", "reasonably", "informed", "as", "to", "the", "status", "of", "the", "proceedings", ";", "and", "(", "vii", ")", "if", "such", "contest", "be", "finally", "resolved", "against", "Landlord", "or", "Tenant", ",", "Tenant", "shall", "promptly", "pay", "the", "amount", "required", "to", "be", "paid", ",", "together", "with", "all", "interest", "and", "penalties", "accrued", "thereon", ",", "or", "comply", "with", "the", "applicable", "Legal", "Requirement", "or", "Insurance", "Requirement", ".", "Landlord", ",", "at", "Tenants", "expense", ",", "shall", "execute", "and", "deliver", "to", "Tenant", "such", "authorizations", "and", "other", "documents", "as", "may", "reasonably", "be", "required", "in", "any", "such", "contest", ",", "and", ",", "if", "reasonably", "requested", "by", "Tenant", "or", "if", "Landlord", "so", "desires", ",", "Landlord", "shall", "join", "as", "a", "party", "therein", ".", "The", "provisions", "of", "this", "Article", "XII", "shall", "not", "be", "construed", "to", "permit", "Tenant", "to", "contest", "the", "payment", "of", "Rent", "or", "any", "other", "amount", "(", "other", "than", "Impositions", "or", "Additional", "Charges", "contested", "in", "accordance", "herewith", ")", "payable", "by", "Tenant", "to", "Landlord", "hereunder", ".", "Tenant", "shall", "indemnify", ",", "defend", ",", "protect", "and", "save", "Landlord", "harmless", "from", "and", "against", "any", "liability", ",", "cost", "or", "expense", "of", "any", "kind", "that", "may", "be", "imposed", "upon", "Landlord", "in", "connection", "with", "any", "such", "contest", "and", "any", "loss", "resulting", "therefrom", ",", "except", "to", "the", "extent", "resulting", "from", "actions", "independently", "taken", "by", "Landlord", "(", "other", "than", "actions", "taken", "by", "Landlord", "at", "Tenants", "direction", "or", "with", "Tenants", "consent", ")", "."]}
{"id": "14750", "text": "The term Maximum Foreseeable Loss shall mean the largest monetary loss within one area that may be expected to result from a single fire with protection impaired, the control of the fire mainly dependent on physical barriers orseparations and a delayed manual firefighting by public and/or private fire brigades, as determined by a written report from an independent firm engaged by Tenant.If Landlord reasonably believes that the Maximum Foreseeable Loss has increased at any time during the Term, it shall have the right (unless Tenant and Landlord agree otherwise) to have such Maximum Foreseeable Loss predetermined by an impartial national insurance company reasonably acceptable to both parties (the Impartial Appraiser), or, if the parties cannot agree on an Impartial Appraiser, then by an Expert appointed in accordance with Section34.2 hereof.The determination of the Impartial Appraiser (or the Expert, as the case may be) shall be final and binding on the parties hereto, and Tenant shall forthwith adjust the amount of the insurance carried pursuant to this ArticleXIII to the amount so determined by the Impartial Appraiser (or the Expert, as the case may be), subject to the approval of the Facility Mortgagee, as applicable.Each party shall pay one- half ( 1/2) of the fee, if any, of the Impartial Appraiser.If Landlord pays the Impartial Appraiser, fifty percent (50%) of such costs shall be Additional Charges hereunder and if Tenant pays such Impartial Appraiser, fifty percent (50%) of such costs shall be a credit against the next Rent payment hereunder.If Tenant has undertaken any structural alterations or additions to the Leased Property having a cost or value in excess of Twenty Five Million Dollars ($25,000,000), Landlord may at Tenants expense have the Maximum Foreseeable Loss predetermined at any time after such improvements are made, regardless of when the Maximum Foreseeable Loss was last determined.", "ner": [[226, 233, "Ratio"], [256, 257, "Percentage"], [278, 279, "Percentage"], [321, 326, "Principal"]], "tokenized_text": ["The", "term", "Maximum", "Foreseeable", "Loss", "shall", "mean", "the", "largest", "monetary", "loss", "within", "one", "area", "that", "may", "be", "expected", "to", "result", "from", "a", "single", "fire", "with", "protection", "impaired", ",", "the", "control", "of", "the", "fire", "mainly", "dependent", "on", "physical", "barriers", "orseparations", "and", "a", "delayed", "manual", "firefighting", "by", "public", "and", "/", "or", "private", "fire", "brigades", ",", "as", "determined", "by", "a", "written", "report", "from", "an", "independent", "firm", "engaged", "by", "Tenant", ".", "If", "Landlord", "reasonably", "believes", "that", "the", "Maximum", "Foreseeable", "Loss", "has", "increased", "at", "any", "time", "during", "the", "Term", ",", "it", "shall", "have", "the", "right", "(", "unless", "Tenant", "and", "Landlord", "agree", "otherwise", ")", "to", "have", "such", "Maximum", "Foreseeable", "Loss", "predetermined", "by", "an", "impartial", "national", "insurance", "company", "reasonably", "acceptable", "to", "both", "parties", "(", "the", "Impartial", "Appraiser", ")", ",", "or", ",", "if", "the", "parties", "cannot", "agree", "on", "an", "Impartial", "Appraiser", ",", "then", "by", "an", "Expert", "appointed", "in", "accordance", "with", "Section34", ".", "2", "hereof", ".", "The", "determination", "of", "the", "Impartial", "Appraiser", "(", "or", "the", "Expert", ",", "as", "the", "case", "may", "be", ")", "shall", "be", "final", "and", "binding", "on", "the", "parties", "hereto", ",", "and", "Tenant", "shall", "forthwith", "adjust", "the", "amount", "of", "the", "insurance", "carried", "pursuant", "to", "this", "ArticleXIII", "to", "the", "amount", "so", "determined", "by", "the", "Impartial", "Appraiser", "(", "or", "the", "Expert", ",", "as", "the", "case", "may", "be", ")", ",", "subject", "to", "the", "approval", "of", "the", "Facility", "Mortgagee", ",", "as", "applicable", ".", "Each", "party", "shall", "pay", "one", "-", "half", "(", "1", "/", "2", ")", "of", "the", "fee", ",", "if", "any", ",", "of", "the", "Impartial", "Appraiser", ".", "If", "Landlord", "pays", "the", "Impartial", "Appraiser", ",", "fifty", "percent", "(", "50", "%", ")", "of", "such", "costs", "shall", "be", "Additional", "Charges", "hereunder", "and", "if", "Tenant", "pays", "such", "Impartial", "Appraiser", ",", "fifty", "percent", "(", "50", "%", ")", "of", "such", "costs", "shall", "be", "a", "credit", "against", "the", "next", "Rent", "payment", "hereunder", ".", "If", "Tenant", "has", "undertaken", "any", "structural", "alterations", "or", "additions", "to", "the", "Leased", "Property", "having", "a", "cost", "or", "value", "in", "excess", "of", "Twenty", "Five", "Million", "Dollars", "(", "$", "25", ",", "000", ",", "000", ")", ",", "Landlord", "may", "at", "Tenants", "expense", "have", "the", "Maximum", "Foreseeable", "Loss", "predetermined", "at", "any", "time", "after", "such", "improvements", "are", "made", ",", "regardless", "of", "when", "the", "Maximum", "Foreseeable", "Loss", "was", "last", "determined", "."]}
{"id": "14751", "text": "(ii) Such property insurance policy shall include, subject to Section13.1(a)(i) above: (i)agreed amount coverage and/or a waiver of any co-insurance; (ii)building ordinance coverage (ordinance or law) including loss of the undamaged portions, the cost of demolishing undamaged portions, and the increased cost of rebuilding; and also including, but not limited to, any non-conforming structures or uses; (iii)equipment breakdown coverage (boiler and machinery coverage); (iv) debris removal; and (v)business interruption coverage in an amount not less than two (2)years of Rent and containing an Extended Period of Indemnity endorsement for an additional minimum six months period. Subject to Section13.1(a)(i), the property policy shall cover: wind/windstorm, earthquake/earth movement and flood and any sub- limits applicable to wind (e.g. named storms), earthquake and flood are subject to the approval of the Landlord and Fee Mortgagee. Such policy shall (i)name Landlord as required pursuant to Section13.2 herein for its interests in the Leased Property and Rent; (ii)name each Fee Mortgagee and Permitted Leasehold Mortgagee as an additional insured, and (iii)include a New York standard mortgagee clause (or its equivalent) in favor of each Fee Mortgagee and Permitted Leasehold Mortgagee. Except as otherwise set forth herein, any property insurance loss adjustment settlement associated with the Leased Property shall require the written consent of Landlord, Tenant, and each Fee Mortgagee (to the extent required under the applicable Fee Mortgage Documents) unless the amount of the loss net of the applicable deductible is less than Fifty Million and No/100 Dollars ($50,000,000.00) in which event no consent shall be required.", "ner": [[12, 14, "Regulation"], [335, 342, "Principal"]], "tokenized_text": ["(", "ii", ")", "Such", "property", "insurance", "policy", "shall", "include", ",", "subject", "to", "Section13", ".", "1", "(", "a", ")", "(", "i", ")", "above", ":", "(", "i", ")", "agreed", "amount", "coverage", "and", "/", "or", "a", "waiver", "of", "any", "co-insurance", ";", "(", "ii", ")", "building", "ordinance", "coverage", "(", "ordinance", "or", "law", ")", "including", "loss", "of", "the", "undamaged", "portions", ",", "the", "cost", "of", "demolishing", "undamaged", "portions", ",", "and", "the", "increased", "cost", "of", "rebuilding", ";", "and", "also", "including", ",", "but", "not", "limited", "to", ",", "any", "non-conforming", "structures", "or", "uses", ";", "(", "iii", ")", "equipment", "breakdown", "coverage", "(", "boiler", "and", "machinery", "coverage", ")", ";", "(", "iv", ")", "debris", "removal", ";", "and", "(", "v", ")", "business", "interruption", "coverage", "in", "an", "amount", "not", "less", "than", "two", "(", "2", ")", "years", "of", "Rent", "and", "containing", "an", "Extended", "Period", "of", "Indemnity", "endorsement", "for", "an", "additional", "minimum", "six", "months", "period", ".", "Subject", "to", "Section13", ".", "1", "(", "a", ")", "(", "i", ")", ",", "the", "property", "policy", "shall", "cover", ":", "wind", "/", "windstorm", ",", "earthquake", "/", "earth", "movement", "and", "flood", "and", "any", "sub", "-", "limits", "applicable", "to", "wind", "(", "e", ".", "g", ".", "named", "storms", ")", ",", "earthquake", "and", "flood", "are", "subject", "to", "the", "approval", "of", "the", "Landlord", "and", "Fee", "Mortgagee", ".", "Such", "policy", "shall", "(", "i", ")", "name", "Landlord", "as", "required", "pursuant", "to", "Section13", ".", "2", "herein", "for", "its", "interests", "in", "the", "Leased", "Property", "and", "Rent", ";", "(", "ii", ")", "name", "each", "Fee", "Mortgagee", "and", "Permitted", "Leasehold", "Mortgagee", "as", "an", "additional", "insured", ",", "and", "(", "iii", ")", "include", "a", "New", "York", "standard", "mortgagee", "clause", "(", "or", "its", "equivalent", ")", "in", "favor", "of", "each", "Fee", "Mortgagee", "and", "Permitted", "Leasehold", "Mortgagee", ".", "Except", "as", "otherwise", "set", "forth", "herein", ",", "any", "property", "insurance", "loss", "adjustment", "settlement", "associated", "with", "the", "Leased", "Property", "shall", "require", "the", "written", "consent", "of", "Landlord", ",", "Tenant", ",", "and", "each", "Fee", "Mortgagee", "(", "to", "the", "extent", "required", "under", "the", "applicable", "Fee", "Mortgage", "Documents", ")", "unless", "the", "amount", "of", "the", "loss", "net", "of", "the", "applicable", "deductible", "is", "less", "than", "Fifty", "Million", "and", "No", "/", "100", "Dollars", "(", "$", "50", ",", "000", ",", "000", ".", "00", ")", "in", "which", "event", "no", "consent", "shall", "be", "required", "."]}
{"id": "14756", "text": "(f) Tenant shall fail to cause the Facility to be Operated (as defined in the MLSA) in a Non-Discriminatory (as defined in the MLSA) manner, in accordance with the Operating Standard (as defined in the MLSA) and subject to Managers Standard of Care (as defined in the MLSA) (in each case as and to the extent required under the MLSA, including as provided in Section2.1.1, Section2.1.2, Section2.1.3, Section2.1.4, Section2.3.1 , and Section2.3.2 of the MLSA, but subject to Section5.9.1 of the MLSA), which failure would reasonably be expected to have a material and adverse effect on Landlord or on the Facility, and which failure is not cured within thirty (30)days following notice thereof from Landlord to Tenant; provided that, if: (i)such failure is not susceptible of cure within such thirty (30)day period; and (ii)such failure would not expose Landlord to an imminent and material risk of criminal liability or of material damage to its business reputation, such thirty (30)day cure period shall be extended for such time as is necessary (but in no event longer than ninety (90)days) to cure such failure so long as Tenant commences to cure such failure or other breach within such thirty (30)day period and thereafter proceeds with reasonable diligence to complete such cure);", "ner": [[48, 51, "Regulation"], [77, 81, "Regulation"], [83, 87, "Regulation"], [101, 105, "Regulation"], [108, 112, "Regulation"], [120, 124, "Regulation"]], "tokenized_text": ["(", "f", ")", "Tenant", "shall", "fail", "to", "cause", "the", "Facility", "to", "be", "Operated", "(", "as", "defined", "in", "the", "MLSA", ")", "in", "a", "Non-Discriminatory", "(", "as", "defined", "in", "the", "MLSA", ")", "manner", ",", "in", "accordance", "with", "the", "Operating", "Standard", "(", "as", "defined", "in", "the", "MLSA", ")", "and", "subject", "to", "Managers", "Standard", "of", "Care", "(", "as", "defined", "in", "the", "MLSA", ")", "(", "in", "each", "case", "as", "and", "to", "the", "extent", "required", "under", "the", "MLSA", ",", "including", "as", "provided", "in", "Section2", ".", "1", ".", "1", ",", "Section2", ".", "1", ".", "2", ",", "Section2", ".", "1", ".", "3", ",", "Section2", ".", "1", ".", "4", ",", "Section2", ".", "3", ".", "1", ",", "and", "Section2", ".", "3", ".", "2", "of", "the", "MLSA", ",", "but", "subject", "to", "Section5", ".", "9", ".", "1", "of", "the", "MLSA", ")", ",", "which", "failure", "would", "reasonably", "be", "expected", "to", "have", "a", "material", "and", "adverse", "effect", "on", "Landlord", "or", "on", "the", "Facility", ",", "and", "which", "failure", "is", "not", "cured", "within", "thirty", "(", "30", ")", "days", "following", "notice", "thereof", "from", "Landlord", "to", "Tenant", ";", "provided", "that", ",", "if", ":", "(", "i", ")", "such", "failure", "is", "not", "susceptible", "of", "cure", "within", "such", "thirty", "(", "30", ")", "day", "period", ";", "and", "(", "ii", ")", "such", "failure", "would", "not", "expose", "Landlord", "to", "an", "imminent", "and", "material", "risk", "of", "criminal", "liability", "or", "of", "material", "damage", "to", "its", "business", "reputation", ",", "such", "thirty", "(", "30", ")", "day", "cure", "period", "shall", "be", "extended", "for", "such", "time", "as", "is", "necessary", "(", "but", "in", "no", "event", "longer", "than", "ninety", "(", "90", ")", "days", ")", "to", "cure", "such", "failure", "so", "long", "as", "Tenant", "commences", "to", "cure", "such", "failure", "or", "other", "breach", "within", "such", "thirty", "(", "30", ")", "day", "period", "and", "thereafter", "proceeds", "with", "reasonable", "diligence", "to", "complete", "such", "cure", ")", ";"]}
{"id": "14757", "text": "16.2 Landlord Remedies. Upon the occurrence and during the continuance of a Tenant Event of Default but subject to the provisions of Article XVII, Landlord may, subject to the terms of Section16.3 below, do any one or more of the following: (x)terminate this Lease by giving Tenant no less than ten (10)days notice of such termination and the Term shall terminate and all rights and obligations of Tenant under this Lease shall cease, subject to any provisions that expressly survive the Expiration Date, (y)seek damages as provided in Section16.3 hereof or (z)except to the extent expressly otherwise provided under this Lease, exercise any other right or remedy hereunder, at law or in equity available to Landlord as a result of any Tenant Event of Default. Tenant shall pay as Additional Charges all costs and expenses incurred by or on behalf of Landlord, including reasonable and documented attorneys fees and expenses, as a result of any Tenant Event of Default hereunder. Subject to ArticleXIX and Section17.1(f) hereof, at any time upon or following the Expiration Date, Tenant shall, if required by Landlord to do so, immediately surrender to Landlord possession of the Leased Property and quit the same and Landlord may enter upon and repossess such Leased Property by reasonable force, summary proceedings, ejectment or otherwise, and may remove Tenant and all other Persons and any of Tenants Property therefrom. Landlord shall refrain from exercising any remedies pursuant to this Section during any applicable cure periods of Guarantor to the extent expressly provided in Section17.2 of the MLSA.", "ner": [[25, 26, "Regulation"], [302, 302, "Act"]], "tokenized_text": ["16", ".", "2", "Landlord", "Remedies", ".", "Upon", "the", "occurrence", "and", "during", "the", "continuance", "of", "a", "Tenant", "Event", "of", "Default", "but", "subject", "to", "the", "provisions", "of", "Article", "XVII", ",", "Landlord", "may", ",", "subject", "to", "the", "terms", "of", "Section16", ".", "3", "below", ",", "do", "any", "one", "or", "more", "of", "the", "following", ":", "(", "x", ")", "terminate", "this", "Lease", "by", "giving", "Tenant", "no", "less", "than", "ten", "(", "10", ")", "days", "notice", "of", "such", "termination", "and", "the", "Term", "shall", "terminate", "and", "all", "rights", "and", "obligations", "of", "Tenant", "under", "this", "Lease", "shall", "cease", ",", "subject", "to", "any", "provisions", "that", "expressly", "survive", "the", "Expiration", "Date", ",", "(", "y", ")", "seek", "damages", "as", "provided", "in", "Section16", ".", "3", "hereof", "or", "(", "z", ")", "except", "to", "the", "extent", "expressly", "otherwise", "provided", "under", "this", "Lease", ",", "exercise", "any", "other", "right", "or", "remedy", "hereunder", ",", "at", "law", "or", "in", "equity", "available", "to", "Landlord", "as", "a", "result", "of", "any", "Tenant", "Event", "of", "Default", ".", "Tenant", "shall", "pay", "as", "Additional", "Charges", "all", "costs", "and", "expenses", "incurred", "by", "or", "on", "behalf", "of", "Landlord", ",", "including", "reasonable", "and", "documented", "attorneys", "fees", "and", "expenses", ",", "as", "a", "result", "of", "any", "Tenant", "Event", "of", "Default", "hereunder", ".", "Subject", "to", "ArticleXIX", "and", "Section17", ".", "1", "(", "f", ")", "hereof", ",", "at", "any", "time", "upon", "or", "following", "the", "Expiration", "Date", ",", "Tenant", "shall", ",", "if", "required", "by", "Landlord", "to", "do", "so", ",", "immediately", "surrender", "to", "Landlord", "possession", "of", "the", "Leased", "Property", "and", "quit", "the", "same", "and", "Landlord", "may", "enter", "upon", "and", "repossess", "such", "Leased", "Property", "by", "reasonable", "force", ",", "summary", "proceedings", ",", "ejectment", "or", "otherwise", ",", "and", "may", "remove", "Tenant", "and", "all", "other", "Persons", "and", "any", "of", "Tenants", "Property", "therefrom", ".", "Landlord", "shall", "refrain", "from", "exercising", "any", "remedies", "pursuant", "to", "this", "Section", "during", "any", "applicable", "cure", "periods", "of", "Guarantor", "to", "the", "extent", "expressly", "provided", "in", "Section17", ".", "2", "of", "the", "MLSA", "."]}
{"id": "14758", "text": "(c) Notwithstanding anything herein to the contrary, if this Lease has been terminated by Landlord pursuant to this Section16.2 and Manager is performing Transition Services (as defined in the Transition Services Agreement) as elected by Landlord in its sole discretion, then, at Landlords election in accordance with the Transition Services Agreement, Tenant (and its Subsidiaries, as applicable) shall stay in occupancy of the Leased Property following the Expiration Date and continue to operate the Facility, collect and retain revenue therefrom, and pay Rent and Additional Charges (without duplication of any Rent and Additional Charges required to be paid under Section16.3), all in the manner required under Section36.1, mutatis mutandis, for so long as Manager is performing Transition Services (as defined in the Transition Services Agreement); provided, however, that Tenant shall have no obligation (unless specifically agreed to by Tenant) to operate the Leased Property (or pay any such Rent) under such arrangement unless the Transition Period is then continuing.", "ner": [[25, 25, "Role"], [35, 37, "Title"]], "tokenized_text": ["(", "c", ")", "Notwithstanding", "anything", "herein", "to", "the", "contrary", ",", "if", "this", "Lease", "has", "been", "terminated", "by", "Landlord", "pursuant", "to", "this", "Section16", ".", "2", "and", "Manager", "is", "performing", "Transition", "Services", "(", "as", "defined", "in", "the", "Transition", "Services", "Agreement", ")", "as", "elected", "by", "Landlord", "in", "its", "sole", "discretion", ",", "then", ",", "at", "Landlords", "election", "in", "accordance", "with", "the", "Transition", "Services", "Agreement", ",", "Tenant", "(", "and", "its", "Subsidiaries", ",", "as", "applicable", ")", "shall", "stay", "in", "occupancy", "of", "the", "Leased", "Property", "following", "the", "Expiration", "Date", "and", "continue", "to", "operate", "the", "Facility", ",", "collect", "and", "retain", "revenue", "therefrom", ",", "and", "pay", "Rent", "and", "Additional", "Charges", "(", "without", "duplication", "of", "any", "Rent", "and", "Additional", "Charges", "required", "to", "be", "paid", "under", "Section16", ".", "3", ")", ",", "all", "in", "the", "manner", "required", "under", "Section36", ".", "1", ",", "mutatis", "mutandis", ",", "for", "so", "long", "as", "Manager", "is", "performing", "Transition", "Services", "(", "as", "defined", "in", "the", "Transition", "Services", "Agreement", ")", ";", "provided", ",", "however", ",", "that", "Tenant", "shall", "have", "no", "obligation", "(", "unless", "specifically", "agreed", "to", "by", "Tenant", ")", "to", "operate", "the", "Leased", "Property", "(", "or", "pay", "any", "such", "Rent", ")", "under", "such", "arrangement", "unless", "the", "Transition", "Period", "is", "then", "continuing", "."]}
{"id": "14761", "text": "(h) Permitted Leasehold Mortgagee Need Not Cure Specified Defaults. Nothing herein contained shall require any Permitted Leasehold Mortgagee to cure any Incurable Default in order to comply with the provisions of Sections 17.1(d) and 17.1(e), or as a condition of entering into the New Lease provided for by Section17.1(f). For the avoidance of doubt, upon such foreclosure and/or the effectuation of such a New Lease in accordance with the provisions, terms and conditions hereof, any such defaults are automatically deemed waived through the effective date of such foreclosure or New Lease as to any such Permitted Leasehold Mortgagee or its Permitted Leasehold Mortgagee Designee , as the new tenant hereunder or under the New Lease, as applicable (it being understood that the provisions of this sentence shall not be deemed to relieve such new tenant of its obligations to comply with this Lease or such New Lease from and after the effective date of such foreclosure or New Lease).", "ner": [[34, 37, "Regulation"], [57, 58, "Title"]], "tokenized_text": ["(", "h", ")", "Permitted", "Leasehold", "Mortgagee", "Need", "Not", "Cure", "Specified", "Defaults", ".", "Nothing", "herein", "contained", "shall", "require", "any", "Permitted", "Leasehold", "Mortgagee", "to", "cure", "any", "Incurable", "Default", "in", "order", "to", "comply", "with", "the", "provisions", "of", "Sections", "17", ".", "1", "(", "d", ")", "and", "17", ".", "1", "(", "e", ")", ",", "or", "as", "a", "condition", "of", "entering", "into", "the", "New", "Lease", "provided", "for", "by", "Section17", ".", "1", "(", "f", ")", ".", "For", "the", "avoidance", "of", "doubt", ",", "upon", "such", "foreclosure", "and", "/", "or", "the", "effectuation", "of", "such", "a", "New", "Lease", "in", "accordance", "with", "the", "provisions", ",", "terms", "and", "conditions", "hereof", ",", "any", "such", "defaults", "are", "automatically", "deemed", "waived", "through", "the", "effective", "date", "of", "such", "foreclosure", "or", "New", "Lease", "as", "to", "any", "such", "Permitted", "Leasehold", "Mortgagee", "or", "its", "Permitted", "Leasehold", "Mortgagee", "Designee", ",", "as", "the", "new", "tenant", "hereunder", "or", "under", "the", "New", "Lease", ",", "as", "applicable", "(", "it", "being", "understood", "that", "the", "provisions", "of", "this", "sentence", "shall", "not", "be", "deemed", "to", "relieve", "such", "new", "tenant", "of", "its", "obligations", "to", "comply", "with", "this", "Lease", "or", "such", "New", "Lease", "from", "and", "after", "the", "effective", "date", "of", "such", "foreclosure", "or", "New", "Lease", ")", "."]}
{"id": "14762", "text": "(l) Limitation of Liability. Notwithstanding any other provision hereof to the contrary, (i)Landlord agrees that any Permitted Leasehold Mortgagees liability to Landlord in its capacity as Permitted Leasehold Mortgagee hereunder howsoever arising shall be limited to and enforceable only against such Permitted Leasehold Mortgagees interest in the Leasehold Estate and the other collateral granted to such Permitted Leasehold Mortgagee to secure the obligations under the loan secured by the applicable Permitted Leasehold Mortgage, and (ii)each Permitted Leasehold Mortgagee agrees that Landlords liability to such Permitted Leasehold Mortgagee hereunder howsoever arising shall be limited to and enforceable only against Landlords interest in the Leased Property, and no recourse against Landlord shall be had against any other assets of Landlord whatsoever.", "ner": [], "tokenized_text": ["(", "l", ")", "Limitation", "of", "Liability", ".", "Notwithstanding", "any", "other", "provision", "hereof", "to", "the", "contrary", ",", "(", "i", ")", "Landlord", "agrees", "that", "any", "Permitted", "Leasehold", "Mortgagees", "liability", "to", "Landlord", "in", "its", "capacity", "as", "Permitted", "Leasehold", "Mortgagee", "hereunder", "howsoever", "arising", "shall", "be", "limited", "to", "and", "enforceable", "only", "against", "such", "Permitted", "Leasehold", "Mortgagees", "interest", "in", "the", "Leasehold", "Estate", "and", "the", "other", "collateral", "granted", "to", "such", "Permitted", "Leasehold", "Mortgagee", "to", "secure", "the", "obligations", "under", "the", "loan", "secured", "by", "the", "applicable", "Permitted", "Leasehold", "Mortgage", ",", "and", "(", "ii", ")", "each", "Permitted", "Leasehold", "Mortgagee", "agrees", "that", "Landlords", "liability", "to", "such", "Permitted", "Leasehold", "Mortgagee", "hereunder", "howsoever", "arising", "shall", "be", "limited", "to", "and", "enforceable", "only", "against", "Landlords", "interest", "in", "the", "Leased", "Property", ",", "and", "no", "recourse", "against", "Landlord", "shall", "be", "had", "against", "any", "other", "assets", "of", "Landlord", "whatsoever", "."]}
{"id": "14763", "text": "costs and expenses (including reasonable documented attorneys, consultants and experts fees and expenses) based on or arising by reason of any such third party claim based on or resulting from such Title Violation; provided, however, that Tenant shall be required to so protect, indemnify, save harmless and defend the Landlord Indemnified Parties only to the extent that the proceeds from Landlords title insurance policies are not sufficient to cover such losses, liabilities, obligations, claims, damages, penalties, causes of action, costs and expenses (it being understood that if Tenant pays any such amounts that are contemplated hereunder to be covered by Landlords title insurance policies, then Tenant shall be subrogated to all or fifty percent (50%) of (as applicable) the rights of Landlord against its title insurance carriers and shall be entitled to, with respect to matters first arising from and after the Commencement Date, one hundred percent (100%) of, and with respect to matters existing as of the Commencement Date, fifty percent (50%) of, the proceeds (net of Landlords out-of-pocket costs incurred in obtaining such proceeds) from such title insurance policy related to such Title Violation; except, however, Tenant shall not be entitled to receive proceeds from any such title insurance policies in excess of amounts actually paid by Tenant in connection therewith) and (ii)to the extent that no third party makes a claim with respect to such Title Violation, Landlord shall not require Tenant to cure any of the foregoing matters unless it would have a material adverse effect on the Leased Property following expiration or termination of this Lease, and in the event Tenant so cures any such matters, (A)Tenant shall bear with respect to matters first arising from and after the Commencement Date, one hundred percent (100%) of, and with respect to matters existing as of the Commencement Date, fifty percent (50%) of, the cost of such cure (after giving effect to such title insurance proceeds), and (B)Tenant shall be subrogated to all or fifty percent (50%) of (as applicable) the rights of Landlord against its title insurance carriers and shall be entitled to, with respect to matters first arising from and after the Commencement Date, one hundred percent (100%) of, and with respect to matters existing as of the Commencement Date, fifty percent (50%) of, the proceeds (net of Landlords out-of-pocket costs incurred in obtaining such proceeds) from such title insurance policy related to such Title Violation; except, however, Tenant shall not be entitled to receive proceeds from any such title insurance policies in excess of amounts actually paid by Tenant in connection therewith. In the event of an adverse final determination with respect to any such encroachment, violation or impairment, (a)either of Tenant or Landlord shall obtain valid and effective waivers or settlements of all claims, liabilities and damages resulting from each such encroachment, violation or impairment, or (b)Tenant shall make such changes in the Leased Improvements, and take such other actions, in each case reasonably acceptable to Landlord, as Tenant in the good faith exercise of its judgment deems reasonably practicable, to remove such encroachment or to end such violation or impairment, including, if necessary, the alteration of any of the Leased Improvements, and in any event take all such actions as may be necessary in order to be able to continue the operation of the applicable portion of the Leased Property for the Primary Intended Use substantially in the manner and to the extent the applicable portion of the Leased Property was operated prior to the assertion of such encroachment, violation or impairment; provided that, (i)unless required under an adverse final determination of a claim brought by a third party other than Landlord or any Affiliate of Landlord, Tenant shall not be required to obtain any such waivers or settlements, make any such changes or take any such other actions unless such encroachment, violation or impairment otherwise would have a material adverse effect on the Leased Property following expiration or termination of this Lease, and (ii)Tenant shall bear with respect to matters first arising from and after the Commencement Date, one hundred percent (100%) of, and with", "ner": [[132, 133, "Percentage"], [172, 173, "Percentage"], [192, 193, "Percentage"], [339, 340, "Percentage"], [359, 360, "Percentage"], [394, 395, "Percentage"], [434, 435, "Percentage"], [454, 455, "Percentage"], [800, 801, "Percentage"]], "tokenized_text": ["costs", "and", "expenses", "(", "including", "reasonable", "documented", "attorneys", ",", "consultants", "and", "experts", "fees", "and", "expenses", ")", "based", "on", "or", "arising", "by", "reason", "of", "any", "such", "third", "party", "claim", "based", "on", "or", "resulting", "from", "such", "Title", "Violation", ";", "provided", ",", "however", ",", "that", "Tenant", "shall", "be", "required", "to", "so", "protect", ",", "indemnify", ",", "save", "harmless", "and", "defend", "the", "Landlord", "Indemnified", "Parties", "only", "to", "the", "extent", "that", "the", "proceeds", "from", "Landlords", "title", "insurance", "policies", "are", "not", "sufficient", "to", "cover", "such", "losses", ",", "liabilities", ",", "obligations", ",", "claims", ",", "damages", ",", "penalties", ",", "causes", "of", "action", ",", "costs", "and", "expenses", "(", "it", "being", "understood", "that", "if", "Tenant", "pays", "any", "such", "amounts", "that", "are", "contemplated", "hereunder", "to", "be", "covered", "by", "Landlords", "title", "insurance", "policies", ",", "then", "Tenant", "shall", "be", "subrogated", "to", "all", "or", "fifty", "percent", "(", "50", "%", ")", "of", "(", "as", "applicable", ")", "the", "rights", "of", "Landlord", "against", "its", "title", "insurance", "carriers", "and", "shall", "be", "entitled", "to", ",", "with", "respect", "to", "matters", "first", "arising", "from", "and", "after", "the", "Commencement", "Date", ",", "one", "hundred", "percent", "(", "100", "%", ")", "of", ",", "and", "with", "respect", "to", "matters", "existing", "as", "of", "the", "Commencement", "Date", ",", "fifty", "percent", "(", "50", "%", ")", "of", ",", "the", "proceeds", "(", "net", "of", "Landlords", "out-of-pocket", "costs", "incurred", "in", "obtaining", "such", "proceeds", ")", "from", "such", "title", "insurance", "policy", "related", "to", "such", "Title", "Violation", ";", "except", ",", "however", ",", "Tenant", "shall", "not", "be", "entitled", "to", "receive", "proceeds", "from", "any", "such", "title", "insurance", "policies", "in", "excess", "of", "amounts", "actually", "paid", "by", "Tenant", "in", "connection", "therewith", ")", "and", "(", "ii", ")", "to", "the", "extent", "that", "no", "third", "party", "makes", "a", "claim", "with", "respect", "to", "such", "Title", "Violation", ",", "Landlord", "shall", "not", "require", "Tenant", "to", "cure", "any", "of", "the", "foregoing", "matters", "unless", "it", "would", "have", "a", "material", "adverse", "effect", "on", "the", "Leased", "Property", "following", "expiration", "or", "termination", "of", "this", "Lease", ",", "and", "in", "the", "event", "Tenant", "so", "cures", "any", "such", "matters", ",", "(", "A", ")", "Tenant", "shall", "bear", "with", "respect", "to", "matters", "first", "arising", "from", "and", "after", "the", "Commencement", "Date", ",", "one", "hundred", "percent", "(", "100", "%", ")", "of", ",", "and", "with", "respect", "to", "matters", "existing", "as", "of", "the", "Commencement", "Date", ",", "fifty", "percent", "(", "50", "%", ")", "of", ",", "the", "cost", "of", "such", "cure", "(", "after", "giving", "effect", "to", "such", "title", "insurance", "proceeds", ")", ",", "and", "(", "B", ")", "Tenant", "shall", "be", "subrogated", "to", "all", "or", "fifty", "percent", "(", "50", "%", ")", "of", "(", "as", "applicable", ")", "the", "rights", "of", "Landlord", "against", "its", "title", "insurance", "carriers", "and", "shall", "be", "entitled", "to", ",", "with", "respect", "to", "matters", "first", "arising", "from", "and", "after", "the", "Commencement", "Date", ",", "one", "hundred", "percent", "(", "100", "%", ")", "of", ",", "and", "with", "respect", "to", "matters", "existing", "as", "of", "the", "Commencement", "Date", ",", "fifty", "percent", "(", "50", "%", ")", "of", ",", "the", "proceeds", "(", "net", "of", "Landlords", "out-of-pocket", "costs", "incurred", "in", "obtaining", "such", "proceeds", ")", "from", "such", "title", "insurance", "policy", "related", "to", "such", "Title", "Violation", ";", "except", ",", "however", ",", "Tenant", "shall", "not", "be", "entitled", "to", "receive", "proceeds", "from", "any", "such", "title", "insurance", "policies", "in", "excess", "of", "amounts", "actually", "paid", "by", "Tenant", "in", "connection", "therewith", ".", "In", "the", "event", "of", "an", "adverse", "final", "determination", "with", "respect", "to", "any", "such", "encroachment", ",", "violation", "or", "impairment", ",", "(", "a", ")", "either", "of", "Tenant", "or", "Landlord", "shall", "obtain", "valid", "and", "effective", "waivers", "or", "settlements", "of", "all", "claims", ",", "liabilities", "and", "damages", "resulting", "from", "each", "such", "encroachment", ",", "violation", "or", "impairment", ",", "or", "(", "b", ")", "Tenant", "shall", "make", "such", "changes", "in", "the", "Leased", "Improvements", ",", "and", "take", "such", "other", "actions", ",", "in", "each", "case", "reasonably", "acceptable", "to", "Landlord", ",", "as", "Tenant", "in", "the", "good", "faith", "exercise", "of", "its", "judgment", "deems", "reasonably", "practicable", ",", "to", "remove", "such", "encroachment", "or", "to", "end", "such", "violation", "or", "impairment", ",", "including", ",", "if", "necessary", ",", "the", "alteration", "of", "any", "of", "the", "Leased", "Improvements", ",", "and", "in", "any", "event", "take", "all", "such", "actions", "as", "may", "be", "necessary", "in", "order", "to", "be", "able", "to", "continue", "the", "operation", "of", "the", "applicable", "portion", "of", "the", "Leased", "Property", "for", "the", "Primary", "Intended", "Use", "substantially", "in", "the", "manner", "and", "to", "the", "extent", "the", "applicable", "portion", "of", "the", "Leased", "Property", "was", "operated", "prior", "to", "the", "assertion", "of", "such", "encroachment", ",", "violation", "or", "impairment", ";", "provided", "that", ",", "(", "i", ")", "unless", "required", "under", "an", "adverse", "final", "determination", "of", "a", "claim", "brought", "by", "a", "third", "party", "other", "than", "Landlord", "or", "any", "Affiliate", "of", "Landlord", ",", "Tenant", "shall", "not", "be", "required", "to", "obtain", "any", "such", "waivers", "or", "settlements", ",", "make", "any", "such", "changes", "or", "take", "any", "such", "other", "actions", "unless", "such", "encroachment", ",", "violation", "or", "impairment", "otherwise", "would", "have", "a", "material", "adverse", "effect", "on", "the", "Leased", "Property", "following", "expiration", "or", "termination", "of", "this", "Lease", ",", "and", "(", "ii", ")", "Tenant", "shall", "bear", "with", "respect", "to", "matters", "first", "arising", "from", "and", "after", "the", "Commencement", "Date", ",", "one", "hundred", "percent", "(", "100", "%", ")", "of", ",", "and", "with"]}
{"id": "14764", "text": "Property would be operated under the Brands (as defined in the Other Leases). Accordingly, absent Landlords express written consent, no assignment or other transfer shall be permitted under Section22.2(i)(1)(A) or Section22.2(i)(1)(B) unless, upon giving effect to such assignment or other transfer, (i)unless the Manager of the Leased Property or the manager of the Other Leased Property has been terminated pursuant to a Termination for Cause under and as defined in the MLSA or applicable Other MLSA, the manager of the Leased Property is the same Person (or an Affiliate of such Person) that is then managing the Other Leased Property, (ii)the Leased Property continues to be operated under the Caesars Palace Brand (including pursuant to the CPLV Trademark License) and all other Property Specific IP, and (iii)so long as the Leased Property is managed by Manager or any other Affiliate of CEC, the Leased Property continues to be granted access to the System-wide IP and Property Related IP at least consistent with the access granted to the Leased Property prior to any such assignment or other transfer.", "ner": [[75, 75, "Role"], [82, 82, "Role"]], "tokenized_text": ["Property", "would", "be", "operated", "under", "the", "Brands", "(", "as", "defined", "in", "the", "Other", "Leases", ")", ".", "Accordingly", ",", "absent", "Landlords", "express", "written", "consent", ",", "no", "assignment", "or", "other", "transfer", "shall", "be", "permitted", "under", "Section22", ".", "2", "(", "i", ")", "(", "1", ")", "(", "A", ")", "or", "Section22", ".", "2", "(", "i", ")", "(", "1", ")", "(", "B", ")", "unless", ",", "upon", "giving", "effect", "to", "such", "assignment", "or", "other", "transfer", ",", "(", "i", ")", "unless", "the", "Manager", "of", "the", "Leased", "Property", "or", "the", "manager", "of", "the", "Other", "Leased", "Property", "has", "been", "terminated", "pursuant", "to", "a", "Termination", "for", "Cause", "under", "and", "as", "defined", "in", "the", "MLSA", "or", "applicable", "Other", "MLSA", ",", "the", "manager", "of", "the", "Leased", "Property", "is", "the", "same", "Person", "(", "or", "an", "Affiliate", "of", "such", "Person", ")", "that", "is", "then", "managing", "the", "Other", "Leased", "Property", ",", "(", "ii", ")", "the", "Leased", "Property", "continues", "to", "be", "operated", "under", "the", "Caesars", "Palace", "Brand", "(", "including", "pursuant", "to", "the", "CPLV", "Trademark", "License", ")", "and", "all", "other", "Property", "Specific", "IP", ",", "and", "(", "iii", ")", "so", "long", "as", "the", "Leased", "Property", "is", "managed", "by", "Manager", "or", "any", "other", "Affiliate", "of", "CEC", ",", "the", "Leased", "Property", "continues", "to", "be", "granted", "access", "to", "the", "System-wide", "IP", "and", "Property", "Related", "IP", "at", "least", "consistent", "with", "the", "access", "granted", "to", "the", "Leased", "Property", "prior", "to", "any", "such", "assignment", "or", "other", "transfer", "."]}
{"id": "14766", "text": "(i) As to SPE Tenant: (a)Within ninety (90)days after the end of each Fiscal Year (commencing with the Fiscal Year ending December31, 2017 ), annual financial statements audited by an Accountant in accordance with GAAP covering such Fiscal Year and containing statement of profit and loss, a balance sheet, and statement of cash flows for SPE Tenant, plus a calculation of EBITDAR for such Fiscal Year; and (b)within sixty (60)days after the end of each of the first three Fiscal Quarters of each Fiscal Year (commencing with the Fiscal Quarter ending March31, 2018) , SPE Tenants quarterly unaudited financial statements, consisting of a statement of profit and loss, a balance sheet, and statement of cash flows, plus a calculation of EBITDAR for such Fiscal Quarter and the applicable prior year Fiscal Quarter, in each case, to the extent required as an Additional Fee Mortgagee Requirement, together with a certificate, executed by the chief financial officer or treasurer of SPE Tenant, certifying that such financial statements fairly present, in all material respects, the financial position and results of operations of SPE Tenant and its Subsidiaries on a consolidated basis in accordance with GAAP (subject, in the case of quarterly financial statements, to normal year-end audit adjustments and the absence of footnotes);", "ner": [[185, 187, "Role"]], "tokenized_text": ["(", "i", ")", "As", "to", "SPE", "Tenant", ":", "(", "a", ")", "Within", "ninety", "(", "90", ")", "days", "after", "the", "end", "of", "each", "Fiscal", "Year", "(", "commencing", "with", "the", "Fiscal", "Year", "ending", "December31", ",", "2017", ")", ",", "annual", "financial", "statements", "audited", "by", "an", "Accountant", "in", "accordance", "with", "GAAP", "covering", "such", "Fiscal", "Year", "and", "containing", "statement", "of", "profit", "and", "loss", ",", "a", "balance", "sheet", ",", "and", "statement", "of", "cash", "flows", "for", "SPE", "Tenant", ",", "plus", "a", "calculation", "of", "EBITDAR", "for", "such", "Fiscal", "Year", ";", "and", "(", "b", ")", "within", "sixty", "(", "60", ")", "days", "after", "the", "end", "of", "each", "of", "the", "first", "three", "Fiscal", "Quarters", "of", "each", "Fiscal", "Year", "(", "commencing", "with", "the", "Fiscal", "Quarter", "ending", "March31", ",", "2018", ")", ",", "SPE", "Tenants", "quarterly", "unaudited", "financial", "statements", ",", "consisting", "of", "a", "statement", "of", "profit", "and", "loss", ",", "a", "balance", "sheet", ",", "and", "statement", "of", "cash", "flows", ",", "plus", "a", "calculation", "of", "EBITDAR", "for", "such", "Fiscal", "Quarter", "and", "the", "applicable", "prior", "year", "Fiscal", "Quarter", ",", "in", "each", "case", ",", "to", "the", "extent", "required", "as", "an", "Additional", "Fee", "Mortgagee", "Requirement", ",", "together", "with", "a", "certificate", ",", "executed", "by", "the", "chief", "financial", "officer", "or", "treasurer", "of", "SPE", "Tenant", ",", "certifying", "that", "such", "financial", "statements", "fairly", "present", ",", "in", "all", "material", "respects", ",", "the", "financial", "position", "and", "results", "of", "operations", "of", "SPE", "Tenant", "and", "its", "Subsidiaries", "on", "a", "consolidated", "basis", "in", "accordance", "with", "GAAP", "(", "subject", ",", "in", "the", "case", "of", "quarterly", "financial", "statements", ",", "to", "normal", "year-end", "audit", "adjustments", "and", "the", "absence", "of", "footnotes", ")", ";"]}
{"id": "14767", "text": "(A) annual financial statements audited by CEOCs Accountant in accordance with GAAP covering such Fiscal Year and containing statement of profit and loss, a balance sheet, and statement of cash flows for CEOC, together with (1)a report thereon by such Accountant which report shall be unqualified as to scope of audit of CEOC and its Subsidiaries and shall provide in substance that (A)such Financial Statements present fairly the consolidated financial position of CEOC and its Subsidiaries as at the dates indicated and the results of their operations and cash flow for the periods indicated in conformity with GAAP and (B)that the audit by such Accountant in connection with such Financial Statements has been made in accordance with GAAP and (2)a certificate, executed by the chief financial officer or treasurer of CEOC certifying that no Tenant Event of Default has occurred or, if a Tenant Event of Default has occurred, specifying the nature and extent thereof and any corrective action taken or proposed to be taken with respect thereto, all of which shall be provided within ninety (90)days after the end of each Fiscal Year (commencing with the Fiscal Year ending December31, 2017 );", "ner": [[142, 144, "Role"]], "tokenized_text": ["(", "A", ")", "annual", "financial", "statements", "audited", "by", "CEOCs", "Accountant", "in", "accordance", "with", "GAAP", "covering", "such", "Fiscal", "Year", "and", "containing", "statement", "of", "profit", "and", "loss", ",", "a", "balance", "sheet", ",", "and", "statement", "of", "cash", "flows", "for", "CEOC", ",", "together", "with", "(", "1", ")", "a", "report", "thereon", "by", "such", "Accountant", "which", "report", "shall", "be", "unqualified", "as", "to", "scope", "of", "audit", "of", "CEOC", "and", "its", "Subsidiaries", "and", "shall", "provide", "in", "substance", "that", "(", "A", ")", "such", "Financial", "Statements", "present", "fairly", "the", "consolidated", "financial", "position", "of", "CEOC", "and", "its", "Subsidiaries", "as", "at", "the", "dates", "indicated", "and", "the", "results", "of", "their", "operations", "and", "cash", "flow", "for", "the", "periods", "indicated", "in", "conformity", "with", "GAAP", "and", "(", "B", ")", "that", "the", "audit", "by", "such", "Accountant", "in", "connection", "with", "such", "Financial", "Statements", "has", "been", "made", "in", "accordance", "with", "GAAP", "and", "(", "2", ")", "a", "certificate", ",", "executed", "by", "the", "chief", "financial", "officer", "or", "treasurer", "of", "CEOC", "certifying", "that", "no", "Tenant", "Event", "of", "Default", "has", "occurred", "or", ",", "if", "a", "Tenant", "Event", "of", "Default", "has", "occurred", ",", "specifying", "the", "nature", "and", "extent", "thereof", "and", "any", "corrective", "action", "taken", "or", "proposed", "to", "be", "taken", "with", "respect", "thereto", ",", "all", "of", "which", "shall", "be", "provided", "within", "ninety", "(", "90", ")", "days", "after", "the", "end", "of", "each", "Fiscal", "Year", "(", "commencing", "with", "the", "Fiscal", "Year", "ending", "December31", ",", "2017", ")", ";"]}
{"id": "14769", "text": "(C) such additional information and unaudited quarterly financial information concerning the Leased Property and Tenant, which information shall be limited to balance sheets, income statements, and statements of cash flow, as Landlord, PropCo 1, PropCo or Landlord REIT may require for any ongoing filings with or reports to (i)the SEC under both the Securities Act and the Exchange Act, including, but not limited to 10-Q Quarterly Reports , 10-K Annual Reports and registration statements to be filed by Landlord, PropCo 1, PropCo or Landlord REIT during the Term of this Lease, (ii)the Internal Revenue Service (including in respect of Landlord REITs qualification as a real estate investment trust (within the meaning of Section856(a) of the Code)) and (iii)any other federal, state or local regulatory agency with jurisdiction over Landlord, PropCo 1, PropCo or Landlord REIT, in each case of clause (i), (ii) and (iii), subject to Section23.1(c) below;", "ner": [[64, 65, "Act"], [68, 69, "Act"]], "tokenized_text": ["(", "C", ")", "such", "additional", "information", "and", "unaudited", "quarterly", "financial", "information", "concerning", "the", "Leased", "Property", "and", "Tenant", ",", "which", "information", "shall", "be", "limited", "to", "balance", "sheets", ",", "income", "statements", ",", "and", "statements", "of", "cash", "flow", ",", "as", "Landlord", ",", "PropCo", "1", ",", "PropCo", "or", "Landlord", "REIT", "may", "require", "for", "any", "ongoing", "filings", "with", "or", "reports", "to", "(", "i", ")", "the", "SEC", "under", "both", "the", "Securities", "Act", "and", "the", "Exchange", "Act", ",", "including", ",", "but", "not", "limited", "to", "10-Q", "Quarterly", "Reports", ",", "10-K", "Annual", "Reports", "and", "registration", "statements", "to", "be", "filed", "by", "Landlord", ",", "PropCo", "1", ",", "PropCo", "or", "Landlord", "REIT", "during", "the", "Term", "of", "this", "Lease", ",", "(", "ii", ")", "the", "Internal", "Revenue", "Service", "(", "including", "in", "respect", "of", "Landlord", "REITs", "qualification", "as", "a", "real", "estate", "investment", "trust", "(", "within", "the", "meaning", "of", "Section856", "(", "a", ")", "of", "the", "Code", ")", ")", "and", "(", "iii", ")", "any", "other", "federal", ",", "state", "or", "local", "regulatory", "agency", "with", "jurisdiction", "over", "Landlord", ",", "PropCo", "1", ",", "PropCo", "or", "Landlord", "REIT", ",", "in", "each", "case", "of", "clause", "(", "i", ")", ",", "(", "ii", ")", "and", "(", "iii", ")", ",", "subject", "to", "Section23", ".", "1", "(", "c", ")", "below", ";"]}
{"id": "14771", "text": "(B) quarterly unaudited financial statements, consisting of a statement of profit and loss, a balance sheet, and statement of cash flows for CEC, together with a certificate, executed by the chief financial officer or treasurer of CEC certifying that such Financial Statements fairly present, in all material respects, the financial position and results of operations of CEC and its Subsidiaries on a consolidated basis in accordance with GAAP (subject to normal year-end audit adjustments and the absence of footnotes) which shall be provided within sixty (60)days after the end of each of the first three Fiscal Quarters of each Fiscal Year (commencing with the Fiscal Quarter ending September30, 2017 );", "ner": [[37, 39, "Role"]], "tokenized_text": ["(", "B", ")", "quarterly", "unaudited", "financial", "statements", ",", "consisting", "of", "a", "statement", "of", "profit", "and", "loss", ",", "a", "balance", "sheet", ",", "and", "statement", "of", "cash", "flows", "for", "CEC", ",", "together", "with", "a", "certificate", ",", "executed", "by", "the", "chief", "financial", "officer", "or", "treasurer", "of", "CEC", "certifying", "that", "such", "Financial", "Statements", "fairly", "present", ",", "in", "all", "material", "respects", ",", "the", "financial", "position", "and", "results", "of", "operations", "of", "CEC", "and", "its", "Subsidiaries", "on", "a", "consolidated", "basis", "in", "accordance", "with", "GAAP", "(", "subject", "to", "normal", "year-end", "audit", "adjustments", "and", "the", "absence", "of", "footnotes", ")", "which", "shall", "be", "provided", "within", "sixty", "(", "60", ")", "days", "after", "the", "end", "of", "each", "of", "the", "first", "three", "Fiscal", "Quarters", "of", "each", "Fiscal", "Year", "(", "commencing", "with", "the", "Fiscal", "Quarter", "ending", "September30", ",", "2017", ")", ";"]}
{"id": "14774", "text": "(a) Tenant specifically agrees that Landlord, PropCo 1, PropCo or Landlord REIT may file with the SEC or incorporate by reference the Financial Statements referred to in Section23.1(b)(ii) and (iii) (and Financial Statements referred to in Section23.1(b)(ii) and (iii)for any prior annual or quarterly periods as required by any Legal Requirements) in Landlords, PropCo 1s PropCos or Landlord REITs filings made under the Securities Act or the Exchange Act to the extent it is required to do so pursuant to Legal Requirements. In addition , Landlord, PropCo 1, PropCo or Landlord REIT may include, cross-reference or incorporate by reference the Financial Statements (and for any prior annual or quarterly periods as required by any Legal Requirements) and other financial information and such information concerning the operation of the Leased Property (1)which is publicly available or (2)the inclusion of which is approved by Tenant in writing, which approval may not be unreasonably withheld, conditioned or delayed, in offering memoranda or prospectuses or confidential information memoranda, or similar publications or marketing materials, rating agency presentations, investor presentations or disclosure documents in connection with syndications, private placements or public offerings of Landlords, PropCo 1s, PropCos or Landlord REITs securities or loans. Unless otherwise agreed by Tenant, neither Landlord, PropCo 1, PropCo nor Landlord REIT shall revise or change the wording of information previously publicly disclosed by Tenant and furnished to Landlord, PropCo 1, PropCo or Landlord REIT pursuant to Section23 or this Section23.2, and Landlords, PropCo 1s PropCos or Landlord REITs Form 10-Q or Form 10-K (or amendment or supplemental report filed in connection therewith) shall not disclose the operational results of the Leased Property prior to CECs, Tenants or its Affiliates public disclosure thereof so long as CEC, Tenant or such Affiliate reports such information in a timely manner in compliance with the reporting requirements of the Exchange Act, in any event, no later than ninety (90)days after the end of each Fiscal Year. Landlord agrees to use commercially reasonable efforts to provide a copy of the portion of any public disclosure containing the Financial Statements, or any cross-reference thereto or incorporation by reference thereof (other than cross-references to or incorporation by reference of Financial Statements that were previously publicly filed), or any other financial information or other information concerning the operation of the Leased Property received by Landlord under this Lease, at least two (2)Business Days in advance of any such public disclosure. Without vitiating any other provision of this Lease, the preceding sentence is not intended to restrict Landlord from disclosing such information to any Fee Mortgagee pursuant to the express terms of the Fee Mortgage Documents or in connection with other ordinary course reporting under the Fee Mortgage Documents.", "ner": [[31, 36, "Regulation"], [91, 92, "Act"], [95, 96, "Act"]], "tokenized_text": ["(", "a", ")", "Tenant", "specifically", "agrees", "that", "Landlord", ",", "PropCo", "1", ",", "PropCo", "or", "Landlord", "REIT", "may", "file", "with", "the", "SEC", "or", "incorporate", "by", "reference", "the", "Financial", "Statements", "referred", "to", "in", "Section23", ".", "1", "(", "b", ")", "(", "ii", ")", "and", "(", "iii", ")", "(", "and", "Financial", "Statements", "referred", "to", "in", "Section23", ".", "1", "(", "b", ")", "(", "ii", ")", "and", "(", "iii", ")", "for", "any", "prior", "annual", "or", "quarterly", "periods", "as", "required", "by", "any", "Legal", 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"unreasonably", "withheld", ",", "conditioned", "or", "delayed", ",", "in", "offering", "memoranda", "or", "prospectuses", "or", "confidential", "information", "memoranda", ",", "or", "similar", "publications", "or", "marketing", "materials", ",", "rating", "agency", "presentations", ",", "investor", "presentations", "or", "disclosure", "documents", "in", "connection", "with", "syndications", ",", "private", "placements", "or", "public", "offerings", "of", "Landlords", ",", "PropCo", "1s", ",", "PropCos", "or", "Landlord", "REITs", "securities", "or", "loans", ".", "Unless", "otherwise", "agreed", "by", "Tenant", ",", "neither", "Landlord", ",", "PropCo", "1", ",", "PropCo", "nor", "Landlord", "REIT", "shall", "revise", "or", "change", "the", "wording", "of", "information", "previously", "publicly", "disclosed", "by", "Tenant", "and", "furnished", "to", "Landlord", ",", "PropCo", "1", ",", "PropCo", "or", "Landlord", "REIT", "pursuant", "to", "Section23", "or", "this", "Section23", 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{"id": "14775", "text": "hereafter affect the Leased Property or any portion thereof or interest therein and in each case to all renewals, modifications, consolidations, replacements, restatements and extensions thereof or any parts or portions thereof; provided, however, that the subordination of this Lease and Tenants leasehold interest hereunder to any new Fee Mortgage made after the date hereof, shall be conditioned upon the execution and delivery to Tenant by the respective Fee Mortgagee of a commercially reasonable subordination, nondisturbance and attornment agreement, which will bind Tenant and such Fee Mortgagee and its successors and assigns as well as any person who acquires any portion of the Leased Property in a foreclosure or similar proceeding or in a transfer in lieu of any such foreclosure or a successor owner of the Leased Property (each, a Foreclosure Purchaser) and which shall provide, among other things, that so long as there is no outstanding and continuing Tenant Event of Default under this Lease (or, if there is a continuing Tenant Event of Default, subject to the rights granted to a Permitted Leasehold Mortgagee as expressly set forth in this Lease), the holder of such Fee Mortgage, and any Foreclosure Purchaser shall not disturb Tenants leasehold interest or possession of the Leased Property, subject to and in accordance with the terms hereof, and shall give effect to this Lease, including, but not limited to, the provisions of Article XVII which benefit any Permitted Leasehold Mortgagee (as if such Fee Mortgagee or Foreclosure Purchaser were the landlord under this Lease (it being understood that if a Tenant Event of Default has occurred and is continuing at such time, such parties shall be subject to the terms and provisions hereof concerning the exercise of rights and remedies upon such Tenant Event of Default including the provisions of Articles XVI, XVII and XXVI)). In connection with the foregoing and at the request of Landlord, Tenant shall promptly execute a subordination, nondisturbance and attornment agreement that contains commercially reasonable provisions, terms and conditions, in all events complying with this Section31.1 (it being understood that a subordination, non-disturbance and attornment agreement substantially in the form executed by Tenant and the Fee Mortgagee in connection with the Existing Fee Mortgage shall be deemed to satisfy this Section). In connection with any subsequent Fee Mortgage after the date hereof, as a condition to the Fee Mortgagee holding any of the Fee Mortgage Reserve Accounts, Tenant and such Fee Mortgagee shall have entered into a subordination, nondisturbance and attornment agreement as provided in this Section31.1(a).", "ner": [[55, 56, "Title"], [82, 87, "Title"], [256, 257, "Regulation"], [327, 332, "Regulation"]], "tokenized_text": ["hereafter", "affect", "the", "Leased", "Property", "or", "any", "portion", "thereof", "or", "interest", "therein", "and", "in", "each", "case", "to", "all", "renewals", ",", "modifications", ",", "consolidations", ",", "replacements", ",", "restatements", "and", "extensions", "thereof", "or", "any", "parts", "or", "portions", "thereof", ";", "provided", ",", "however", ",", "that", "the", "subordination", "of", "this", "Lease", "and", "Tenants", "leasehold", "interest", "hereunder", "to", "any", "new", "Fee", "Mortgage", "made", "after", "the", "date", "hereof", ",", "shall", "be", "conditioned", "upon", "the", "execution", "and", "delivery", "to", "Tenant", "by", "the", "respective", "Fee", "Mortgagee", "of", "a", "commercially", "reasonable", "subordination", ",", "nondisturbance", "and", "attornment", "agreement", ",", "which", "will", "bind", "Tenant", "and", "such", "Fee", "Mortgagee", "and", "its", "successors", "and", "assigns", "as", "well", "as", "any", "person", "who", "acquires", "any", "portion", "of", "the", "Leased", "Property", "in", "a", "foreclosure", "or", "similar", "proceeding", "or", "in", "a", "transfer", "in", "lieu", "of", "any", "such", "foreclosure", "or", "a", "successor", "owner", "of", "the", "Leased", "Property", "(", "each", ",", "a", "Foreclosure", "Purchaser", ")", "and", "which", "shall", "provide", ",", "among", "other", "things", ",", "that", "so", "long", "as", "there", "is", "no", "outstanding", "and", "continuing", "Tenant", "Event", "of", "Default", "under", "this", "Lease", "(", "or", ",", "if", "there", "is", "a", "continuing", "Tenant", "Event", "of", "Default", ",", "subject", "to", "the", "rights", "granted", "to", "a", "Permitted", "Leasehold", "Mortgagee", "as", "expressly", "set", "forth", "in", "this", "Lease", ")", ",", "the", "holder", "of", "such", "Fee", "Mortgage", ",", "and", "any", "Foreclosure", "Purchaser", "shall", "not", "disturb", "Tenants", "leasehold", "interest", "or", "possession", "of", "the", "Leased", "Property", ",", "subject", "to", "and", "in", "accordance", "with", "the", "terms", "hereof", ",", "and", "shall", "give", "effect", "to", "this", "Lease", ",", "including", ",", "but", "not", "limited", "to", ",", "the", "provisions", "of", "Article", "XVII", "which", "benefit", "any", "Permitted", "Leasehold", "Mortgagee", "(", "as", "if", "such", "Fee", "Mortgagee", "or", "Foreclosure", "Purchaser", "were", "the", "landlord", "under", "this", "Lease", "(", "it", "being", "understood", "that", "if", "a", "Tenant", "Event", "of", "Default", "has", "occurred", "and", "is", "continuing", "at", "such", "time", ",", "such", "parties", "shall", "be", "subject", "to", "the", "terms", "and", "provisions", "hereof", "concerning", "the", "exercise", "of", "rights", "and", "remedies", "upon", "such", "Tenant", "Event", "of", "Default", "including", "the", "provisions", "of", "Articles", "XVI", ",", "XVII", "and", "XXVI", ")", ")", ".", "In", "connection", "with", "the", "foregoing", "and", "at", "the", "request", "of", "Landlord", ",", "Tenant", "shall", "promptly", "execute", "a", "subordination", ",", "nondisturbance", "and", "attornment", "agreement", "that", "contains", "commercially", "reasonable", "provisions", ",", "terms", "and", "conditions", ",", "in", "all", "events", "complying", "with", "this", "Section31", ".", "1", "(", "it", "being", "understood", "that", "a", "subordination", ",", "non-disturbance", "and", "attornment", "agreement", "substantially", "in", "the", "form", "executed", "by", "Tenant", "and", "the", "Fee", "Mortgagee", "in", "connection", "with", "the", "Existing", "Fee", "Mortgage", "shall", "be", "deemed", "to", "satisfy", "this", "Section", ")", ".", "In", "connection", "with", "any", "subsequent", "Fee", "Mortgage", "after", "the", "date", "hereof", ",", "as", "a", "condition", "to", "the", "Fee", "Mortgagee", "holding", "any", "of", "the", "Fee", "Mortgage", "Reserve", "Accounts", ",", "Tenant", "and", "such", "Fee", "Mortgagee", "shall", "have", "entered", "into", "a", "subordination", ",", "nondisturbance", "and", "attornment", "agreement", "as", "provided", "in", "this", "Section31", ".", "1", "(", "a", ")", "."]}
{"id": "14776", "text": "(f) Landlord and Tenant acknowledge that, in connection with the implementation of the Bankruptcy Plan, CEC and Affiliates of Tenant were involved in the negotiations concerning the Existing Fee Mortgage Documents and reviewed the provisions, terms and conditions of the Existing Fee Mortgage Documents, and, accordingly, Tenant hereby consents and agrees to all provisions, terms and conditions of the Existing Fee Mortgage Documents as in effect as of the date hereof that comprise Additional Fee Mortgagee Requirements. If Landlord or its Affiliate anticipates entering into new or modified Fee Mortgage Documents that would modify or impose new Additional Fee Mortgagee Requirements, Landlord shall (x)provide copies of the same to Tenant with reasonably sufficient time prior to the execution and delivery thereof by Landlord or any Affiliate of Landlord to enable Tenant to timely comply with any such changes to the, or new, Additional Fee Mortgagee Requirements and (y)promptly upon the execution and delivery thereof by Landlord or any Affiliate of Landlord, deliver to Tenant an updated description thereof in accordance with the second sentence of this Section31.3.", "ner": [[31, 34, "Title"], [82, 85, "Title"]], "tokenized_text": ["(", "f", ")", "Landlord", "and", "Tenant", "acknowledge", "that", ",", "in", "connection", "with", "the", "implementation", "of", "the", "Bankruptcy", "Plan", ",", "CEC", "and", "Affiliates", "of", "Tenant", "were", "involved", "in", "the", "negotiations", "concerning", "the", "Existing", "Fee", "Mortgage", "Documents", "and", "reviewed", "the", "provisions", ",", "terms", "and", "conditions", "of", "the", "Existing", "Fee", "Mortgage", "Documents", ",", "and", ",", "accordingly", ",", "Tenant", "hereby", "consents", "and", "agrees", "to", "all", "provisions", ",", "terms", "and", "conditions", "of", "the", "Existing", "Fee", "Mortgage", "Documents", "as", "in", "effect", "as", "of", "the", "date", "hereof", "that", "comprise", "Additional", "Fee", "Mortgagee", "Requirements", ".", "If", "Landlord", "or", "its", "Affiliate", "anticipates", "entering", "into", "new", "or", "modified", "Fee", "Mortgage", "Documents", "that", "would", "modify", "or", "impose", "new", "Additional", "Fee", "Mortgagee", "Requirements", ",", "Landlord", "shall", "(", "x", ")", "provide", "copies", "of", "the", "same", "to", "Tenant", "with", "reasonably", "sufficient", "time", "prior", "to", "the", "execution", "and", "delivery", "thereof", "by", "Landlord", "or", "any", "Affiliate", "of", "Landlord", "to", "enable", "Tenant", "to", "timely", "comply", "with", "any", "such", "changes", "to", "the", ",", "or", "new", ",", "Additional", "Fee", "Mortgagee", "Requirements", "and", "(", "y", ")", "promptly", "upon", "the", "execution", "and", "delivery", "thereof", "by", "Landlord", "or", "any", "Affiliate", "of", "Landlord", ",", "deliver", "to", "Tenant", "an", "updated", "description", "thereof", "in", "accordance", "with", "the", "second", "sentence", "of", "this", "Section31", ".", "3", "."]}
{"id": "14778", "text": "| | ---|---|--- To Tenant: | | To Landlord: | CEOC, LLC", "ner": [[22, 24, "Parties"]], "tokenized_text": ["|", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "To", "Tenant", ":", "|", "|", "To", "Landlord", ":", "|", "CEOC", ",", "LLC"]}
{"id": "14779", "text": "8329 West Sunset Road, Suite 210", "ner": [[0, 6, "Address"]], "tokenized_text": ["8329", "West", "Sunset", "Road", ",", "Suite", "210"]}
{"id": "14780", "text": "36.2 Transfer of Intellectual Property. The Successor Assets shall include the Property Specific IP, the CPLV Trademark License, the CPLV Trademark Security Agreement and Successor Tenants access to the System-wide IP, which access shall be governed by that certain Transition and Management Services Agreement (CPLV). Without limiting the foregoing, Tenant shall, within thirty (30)days after the occurrence of the notice described in the first sentence of Section36.1, deliver to Landlord a copy of all CPLV Guest Data and all Property Specific Guest Data; provided, however, that Tenant shall have the right to retain and use copies of the Property Specific Guest data as required by Legal Requirements, including applicable Gaming Regulations, and with respect to any CPLV Guest Data, Tenant will have no further right, title, or interest to such CPLV Guest Data and will not be permitted to access such data for marketing, research or other activities by Tenant and unless such data cannot be expunged without destruction of any data that may be retained by the Tenant, must expunge such data, except that Tenant may retain and deliver to any governmental authority, copies of any such data to the extent required to comply with Legal Requirements, including applicable Gaming Regulations.", "ner": [[19, 21, "Title"], [24, 27, "Title"], [45, 49, "Title"], [130, 131, "Regulation"]], "tokenized_text": ["36", ".", "2", "Transfer", "of", "Intellectual", "Property", ".", "The", "Successor", "Assets", "shall", "include", "the", "Property", "Specific", "IP", ",", "the", "CPLV", "Trademark", "License", ",", "the", "CPLV", "Trademark", "Security", "Agreement", "and", "Successor", "Tenants", "access", "to", "the", "System-wide", "IP", ",", "which", "access", "shall", "be", "governed", "by", "that", "certain", "Transition", "and", "Management", "Services", "Agreement", "(", "CPLV", ")", ".", "Without", "limiting", "the", "foregoing", ",", "Tenant", "shall", ",", "within", "thirty", "(", "30", ")", "days", "after", "the", "occurrence", "of", "the", "notice", "described", "in", "the", "first", "sentence", "of", "Section36", ".", "1", ",", "deliver", "to", "Landlord", "a", "copy", "of", "all", "CPLV", "Guest", "Data", "and", "all", "Property", "Specific", "Guest", "Data", ";", "provided", ",", "however", ",", "that", "Tenant", "shall", "have", "the", "right", "to", "retain", "and", "use", "copies", "of", "the", "Property", "Specific", "Guest", "data", "as", "required", "by", "Legal", "Requirements", ",", "including", "applicable", "Gaming", "Regulations", ",", "and", "with", "respect", "to", "any", "CPLV", "Guest", "Data", ",", "Tenant", "will", "have", "no", "further", "right", ",", "title", ",", "or", "interest", "to", "such", "CPLV", "Guest", "Data", "and", "will", "not", "be", "permitted", "to", "access", "such", "data", "for", "marketing", ",", "research", "or", "other", "activities", "by", "Tenant", "and", "unless", "such", "data", "cannot", "be", "expunged", "without", "destruction", "of", "any", "data", "that", "may", "be", "retained", "by", "the", "Tenant", ",", "must", "expunge", "such", "data", ",", "except", "that", "Tenant", "may", "retain", "and", "deliver", "to", "any", "governmental", "authority", ",", "copies", "of", "any", "such", "data", "to", "the", "extent", "required", "to", "comply", "with", "Legal", "Requirements", ",", "including", "applicable", "Gaming", "Regulations", "."]}
{"id": "14784", "text": "41.6 Waiver of Trial by Jury. EACH OF LANDLORD AND TENANT ACKNOWLEDGES THAT IT HAS HAD THE ADVICE OF COUNSEL OF ITS CHOICE WITH RESPECT TO ITS RIGHTS TO TRIAL BY JURY UNDER THE CONSTITUTION OF THE UNITED STATES AND THE STATES OF NEVADA AND NEW YORK. EACH OF LANDLORD AND TENANT HEREBY EXPRESSLY WAIVES ANY RIGHT TO TRIAL BY JURY OF ANY CLAIM, DEMAND, ACTION OR CAUSE OF ACTION (i)ARISING UNDER THIS LEASE (OR ANY AGREEMENT FORMED PURSUANT TO THE TERMS HEREOF) OR (ii)IN ANY MANNER CONNECTED WITH OR RELATED OR INCIDENTAL TO THE DEALINGS OF LANDLORD AND TENANT WITH RESPECT TO THIS LEASE (OR ANY AGREEMENT FORMED PURSUANT TO THE TERMS HEREOF) OR ANY OTHER INSTRUMENT, DOCUMENT OR AGREEMENT EXECUTED OR DELIVERED IN CONNECTION HEREWITH; OR THE TRANSACTIONS RELATED HERETO OR THERETO, IN EACH CASE WHETHER NOW EXISTING OR HEREINAFTER ARISING, AND WHETHER SOUNDING IN CONTRACT OR TORT OR OTHERWISE; EACH OF LANDLORD AND TENANT HEREBY AGREES AND CONSENTS THAT ANY SUCH CLAIM, DEMAND, ACTION OR CAUSE OF ACTION SHALL BE DECIDED BY A COURT TRIAL WITHOUT A JURY, AND THAT EITHER PARTY MAY FILE A COPY OF THIS SECTION WITH ANY COURT AS CONCLUSIVE EVIDENCE OF THE CONSENT OF EACH SUCH PARTY TO THE WAIVER OF ITS RIGHT TO TRIAL BY JURY.", "ner": [[40, 41, "Court"], [44, 49, "Court"], [86, 86, "Title"]], "tokenized_text": ["41", ".", "6", "Waiver", "of", "Trial", "by", "Jury", ".", "EACH", "OF", "LANDLORD", "AND", "TENANT", "ACKNOWLEDGES", "THAT", "IT", "HAS", "HAD", "THE", "ADVICE", "OF", "COUNSEL", "OF", "ITS", "CHOICE", "WITH", "RESPECT", "TO", "ITS", "RIGHTS", "TO", "TRIAL", "BY", "JURY", "UNDER", "THE", "CONSTITUTION", "OF", "THE", "UNITED", "STATES", "AND", "THE", "STATES", "OF", "NEVADA", "AND", "NEW", "YORK", ".", "EACH", "OF", "LANDLORD", "AND", "TENANT", "HEREBY", "EXPRESSLY", "WAIVES", "ANY", "RIGHT", "TO", "TRIAL", "BY", "JURY", "OF", "ANY", "CLAIM", ",", "DEMAND", ",", "ACTION", "OR", "CAUSE", "OF", "ACTION", "(", "i", ")", "ARISING", "UNDER", "THIS", "LEASE", "(", "OR", "ANY", "AGREEMENT", "FORMED", "PURSUANT", "TO", "THE", "TERMS", "HEREOF", ")", "OR", "(", "ii", ")", "IN", "ANY", "MANNER", "CONNECTED", "WITH", "OR", "RELATED", "OR", "INCIDENTAL", "TO", "THE", "DEALINGS", "OF", "LANDLORD", "AND", "TENANT", "WITH", "RESPECT", "TO", "THIS", "LEASE", "(", "OR", "ANY", "AGREEMENT", "FORMED", "PURSUANT", "TO", "THE", "TERMS", "HEREOF", ")", "OR", "ANY", "OTHER", "INSTRUMENT", ",", "DOCUMENT", "OR", "AGREEMENT", "EXECUTED", "OR", "DELIVERED", "IN", "CONNECTION", "HEREWITH", ";", "OR", "THE", "TRANSACTIONS", "RELATED", "HERETO", "OR", "THERETO", ",", "IN", "EACH", "CASE", "WHETHER", "NOW", "EXISTING", "OR", "HEREINAFTER", "ARISING", ",", "AND", "WHETHER", "SOUNDING", "IN", "CONTRACT", "OR", "TORT", "OR", "OTHERWISE", ";", "EACH", "OF", "LANDLORD", "AND", "TENANT", "HEREBY", "AGREES", "AND", "CONSENTS", "THAT", "ANY", "SUCH", "CLAIM", ",", "DEMAND", ",", "ACTION", "OR", "CAUSE", "OF", "ACTION", "SHALL", "BE", "DECIDED", "BY", "A", "COURT", "TRIAL", "WITHOUT", "A", "JURY", ",", "AND", "THAT", "EITHER", "PARTY", "MAY", "FILE", "A", "COPY", "OF", "THIS", "SECTION", "WITH", "ANY", "COURT", "AS", "CONCLUSIVE", "EVIDENCE", "OF", "THE", "CONSENT", "OF", "EACH", "SUCH", "PARTY", "TO", "THE", "WAIVER", "OF", "ITS", "RIGHT", "TO", "TRIAL", "BY", "JURY", "."]}
{"id": "14785", "text": "41.11 Deemed Consent. Each request for consent or approval under Sections 9.1, 10.2, 10.3(e), 13.1(a), 13.5, 14.1, 22.1, 22.2 and 22.3 and Article XI of this Lease shall be made in writing to either Tenant or Landlord, as applicable, and shall include all information necessary for Tenant or Landlord, as applicable, to make an informed decision, and shall include the following in capital, bold and block letters: FIRST NOTICE - THIS IS A REQUEST FOR CONSENT UNDER THAT CERTAIN LEASE (CPLV). THE FOLLOWING REQUEST REQUIRES A RESPONSE WITHIN FIFTEEN (15)BUSINESS DAYS OF RECEIPT. If the party to whom such a request is sent does not approve or reject the proposed matter within fifteen (15)Business Days of receipt of such notice and all necessary information, the requesting party may request a consent again by delivery of a notice including the following in capital, bold and block letters: SECOND NOTICE - THIS IS A SECOND REQUEST FOR CONSENT UNDER THAT CERTAIN LEASE (CPLV). THE FOLLOWING REQUEST REQUIRES A RESPONSE WITHIN FIVE (5)BUSINESS DAYS OF RECEIPT. If the party to whom such a request is sent does not approve or reject the proposed matter within five (5)Business Days of receipt of such notice and all necessary information, the requesting party may request a consent again by delivery of a notice including the following in capital, bold and block letters: FINAL NOTICE - THIS IS A THIRD REQUEST FOR CONSENT UNDER THAT CERTAIN LEASE (CPLV). THE FOLLOWING REQUEST REQUIRES A RESPONSE WITHIN FIVE (5)BUSINESS DAYS OF RECEIPT. FAILURE TO RESPOND WITHIN FIVE (5)BUSINESS DAYS HEREOF WILL BE DEEMED AN APPROVAL OF THE REQUEST. If the party to whom such a request is sent still does not approve or reject the proposed matter within five (5)Business Days of receipt of such final notice, such party shall be deemed to have approved the proposed matter. Notwithstanding the foregoing, if the MLSA is in effect at the time any such notice is provided to Tenant hereunder, Tenant shall not be deemed to have approved such proposed matter if such notice was not also addressed and delivered to Manager and CEC in accordance with the MLSA.", "ner": [[56, 57, "Regulation"], [122, 122, "Title"], [398, 398, "Title"], [435, 435, "Role"]], "tokenized_text": ["41", ".", "11", "Deemed", "Consent", ".", "Each", "request", "for", "consent", "or", "approval", "under", "Sections", "9", ".", "1", ",", "10", ".", "2", ",", "10", ".", "3", "(", "e", ")", ",", "13", ".", "1", "(", "a", ")", ",", "13", ".", "5", ",", "14", ".", "1", ",", "22", ".", "1", ",", "22", ".", "2", "and", "22", ".", "3", "and", "Article", "XI", "of", "this", "Lease", "shall", "be", "made", "in", "writing", "to", "either", "Tenant", "or", "Landlord", ",", "as", "applicable", ",", "and", "shall", "include", "all", "information", "necessary", "for", "Tenant", "or", "Landlord", ",", "as", "applicable", ",", "to", "make", "an", "informed", "decision", ",", "and", "shall", "include", "the", "following", "in", "capital", ",", "bold", "and", "block", "letters", ":", "FIRST", "NOTICE", "-", "THIS", "IS", "A", "REQUEST", "FOR", "CONSENT", "UNDER", "THAT", "CERTAIN", "LEASE", "(", "CPLV", ")", ".", "THE", "FOLLOWING", "REQUEST", "REQUIRES", "A", "RESPONSE", "WITHIN", "FIFTEEN", "(", "15", ")", "BUSINESS", "DAYS", "OF", "RECEIPT", ".", "If", "the", "party", "to", "whom", "such", "a", "request", "is", "sent", "does", "not", "approve", "or", "reject", "the", "proposed", "matter", "within", "fifteen", "(", "15", ")", "Business", "Days", "of", "receipt", "of", "such", "notice", "and", "all", "necessary", "information", ",", "the", "requesting", "party", "may", "request", "a", "consent", "again", "by", "delivery", "of", "a", "notice", "including", "the", "following", "in", "capital", ",", "bold", "and", "block", "letters", ":", "SECOND", "NOTICE", "-", "THIS", "IS", "A", "SECOND", "REQUEST", "FOR", "CONSENT", "UNDER", "THAT", "CERTAIN", "LEASE", "(", "CPLV", ")", ".", "THE", "FOLLOWING", "REQUEST", "REQUIRES", "A", "RESPONSE", "WITHIN", "FIVE", "(", "5", ")", "BUSINESS", "DAYS", "OF", "RECEIPT", ".", "If", "the", "party", "to", "whom", "such", "a", "request", "is", "sent", "does", "not", "approve", "or", "reject", "the", "proposed", "matter", "within", "five", "(", "5", ")", "Business", "Days", "of", "receipt", "of", "such", "notice", "and", "all", "necessary", "information", ",", "the", "requesting", "party", "may", "request", "a", "consent", "again", "by", "delivery", "of", "a", "notice", "including", "the", "following", "in", "capital", ",", "bold", "and", "block", "letters", ":", "FINAL", "NOTICE", "-", "THIS", "IS", "A", "THIRD", "REQUEST", "FOR", "CONSENT", "UNDER", "THAT", "CERTAIN", "LEASE", "(", "CPLV", ")", ".", "THE", "FOLLOWING", "REQUEST", "REQUIRES", "A", "RESPONSE", "WITHIN", "FIVE", "(", "5", ")", "BUSINESS", "DAYS", "OF", "RECEIPT", ".", "FAILURE", "TO", "RESPOND", "WITHIN", "FIVE", "(", "5", ")", "BUSINESS", "DAYS", "HEREOF", "WILL", "BE", "DEEMED", "AN", "APPROVAL", "OF", "THE", "REQUEST", ".", "If", "the", "party", "to", "whom", "such", "a", "request", "is", "sent", "still", "does", "not", "approve", "or", "reject", "the", "proposed", "matter", "within", "five", "(", "5", ")", "Business", "Days", "of", "receipt", "of", "such", "final", "notice", ",", "such", "party", "shall", "be", "deemed", "to", "have", "approved", "the", "proposed", "matter", ".", "Notwithstanding", "the", "foregoing", ",", "if", "the", "MLSA", "is", "in", "effect", "at", "the", "time", "any", "such", "notice", "is", "provided", "to", "Tenant", "hereunder", ",", "Tenant", "shall", "not", "be", "deemed", "to", "have", "approved", "such", "proposed", "matter", "if", "such", "notice", "was", "not", "also", "addressed", "and", "delivered", "to", "Manager", "and", "CEC", "in", "accordance", "with", "the", "MLSA", "."]}
{"id": "14786", "text": "41.23 Time of Essence. TIME IS OF THE ESSENCE OF THIS LEASE AND EACH PROVISION HEREOF IN WHICH TIME OF PERFORMANCE IS ESTABLISHED.", "ner": [], "tokenized_text": ["41", ".", "23", "Time", "of", "Essence", ".", "TIME", "IS", "OF", "THE", "ESSENCE", "OF", "THIS", "LEASE", "AND", "EACH", "PROVISION", "HEREOF", "IN", "WHICH", "TIME", "OF", "PERFORMANCE", "IS", "ESTABLISHED", "."]}
{"id": "14787", "text": "TOGETHER WITH that portion as vacated by that certain Order of Vacation, recorded September11, 2014 as Document No.201 40911-0001 948, of Official Records.", "ner": [[14, 16, "EffectiveDate"], [21, 23, "PII_Ref"]], "tokenized_text": ["TOGETHER", "WITH", "that", "portion", "as", "vacated", "by", "that", "certain", "Order", "of", "Vacation", ",", "recorded", "September11", ",", "2014", "as", "Document", "No", ".", "201", "40911-0001", "948", ",", "of", "Official", "Records", "."]}
{"id": "14788", "text": "Non exclusive easements and other rights as established and granted by that certain Second Amended and Restated Parking Agreement and Grant of Reciprocal Easements and Declaration of Covenants dated as February7, 2003 by and between Caesars Palace Realty Corp., a Nevada corporation, Desert Palace, Inc., a Nevada corporation and Forum Developers Limited Partnership, a Nevada limited partnership recorded November18, 2003 as Document No.1516 in Book 20031118 and by that Assignment and Assumption of by Second Amended and Restated Parking Agreement and Grant of Reciprocal Easements and Declaration of Covenants dated November14, 2003, recorded November18, 2003 as Document No.1518 in Book 20031118, and amended by that First Amendment to Second Amended and Restated Parking Agreement and Grant of Reciprocal Easements and Declaration of Covenants, recorded May3, 2016, in Book 20160503 as Document No.0002965 in the Official Records, Clark County, Nevada, and amended by that Second Amendment to Second Amended and Restated Parking Agreement and Grant of Reciprocal Easements and Declaration of Covenants, recorded , in Book as Document No. , in the Official Records, Clark County, Nevada.", "ner": [[13, 18, "Title"], [30, 32, "EffectiveDate"], [36, 40, "Parties"], [46, 50, "Parties"], [56, 59, "Parties"], [159, 162, "Address"]], "tokenized_text": ["Non", "exclusive", "easements", "and", "other", "rights", "as", "established", "and", "granted", "by", "that", "certain", "Second", "Amended", "and", "Restated", "Parking", "Agreement", "and", "Grant", "of", "Reciprocal", "Easements", "and", "Declaration", "of", "Covenants", "dated", "as", "February7", ",", "2003", "by", "and", "between", "Caesars", "Palace", "Realty", "Corp", ".", ",", "a", "Nevada", "corporation", ",", "Desert", "Palace", ",", "Inc", ".", ",", "a", "Nevada", "corporation", "and", "Forum", "Developers", "Limited", "Partnership", ",", "a", "Nevada", "limited", "partnership", "recorded", "November18", ",", "2003", "as", "Document", "No", ".", "1516", "in", "Book", "20031118", "and", "by", "that", "Assignment", "and", "Assumption", "of", "by", "Second", "Amended", "and", "Restated", "Parking", "Agreement", "and", "Grant", "of", "Reciprocal", "Easements", "and", "Declaration", "of", "Covenants", "dated", "November14", ",", "2003", ",", "recorded", "November18", ",", "2003", "as", "Document", "No", ".", "1518", "in", "Book", "20031118", ",", "and", "amended", "by", "that", "First", "Amendment", "to", "Second", "Amended", "and", "Restated", "Parking", "Agreement", "and", "Grant", "of", "Reciprocal", "Easements", "and", "Declaration", "of", "Covenants", ",", "recorded", "May3", ",", "2016", ",", "in", "Book", "20160503", "as", "Document", "No", ".", "0002965", "in", "the", "Official", "Records", ",", "Clark", "County", ",", "Nevada", ",", "and", "amended", "by", "that", "Second", "Amendment", "to", "Second", "Amended", "and", "Restated", "Parking", "Agreement", "and", "Grant", "of", "Reciprocal", "Easements", "and", "Declaration", "of", "Covenants", ",", "recorded", ",", "in", "Book", "as", "Document", "No", ".", ",", "in", "the", "Official", "Records", ",", "Clark", "County", ",", "Nevada", "."]}
{"id": "14792", "text": "ALSO KNOWN AS THE PROPERTY DESCRIBED IN THAT CERTAIN RECORD OF SURVEY MAP, AS SHOWN BY MAP THEREOF ON FILE IN FILE 184 OF SURVEYS, PAGE 17, AS RECORDED IN THE OFFICE OF THE COUNTY RECORDER, CLARK COUNTY, NEVADA.", "ner": [[40, 43, "Address"]], "tokenized_text": ["ALSO", "KNOWN", "AS", "THE", "PROPERTY", "DESCRIBED", "IN", "THAT", "CERTAIN", "RECORD", "OF", "SURVEY", "MAP", ",", "AS", "SHOWN", "BY", "MAP", "THEREOF", "ON", "FILE", "IN", "FILE", "184", "OF", "SURVEYS", ",", "PAGE", "17", ",", "AS", "RECORDED", "IN", "THE", "OFFICE", "OF", "THE", "COUNTY", "RECORDER", ",", "CLARK", "COUNTY", ",", "NEVADA", "."]}
{"id": "14793", "text": "NON EXCLUSIVE EASEMENTS AND OTHER RIGHTS AS ESTABLISHED AND GRANTED BY THAT CERTAIN SECOND AMENDED AND RESTATED PARKING AGREEMENT AND GRANT OF RECIPROCAL EASEMENTS AND DECLARATION OF COVENANTS DATED AS FEBRUARY7, 2003 BY AND BETWEEN CAESARS PALACE REALTY CORP., A NEVADA CORPORATION, DESERT PALACE, INC., A NEVADA CORPORATION AND FORUM DEVELOPERS LIMITED PARTNERSHIP, A NEVADA LIMITED PARTNERSHIP RECORDED NOVEMBER18, 2003 AS DOCUMENT NO. 1516 IN BOOK 20031118 AND BY THAT ASSIGNMENT AND ASSUMPTION OF BY SECOND AMENDED AND RESTATED PARKING AGREEMENT AND GRANT OF RECIPROCAL EASEMENTS AND DECLARATION OF COVENANTS DATED NOVEMBER14, 2003, RECORDED NOVEMBER18, 2003 AS DOCUMENT NO. 1518 IN BOOK 20031118, AND AMENDED BY THAT FIRST AMENDMENT TO SECOND AMENDED AND RESTATED", "ner": [[17, 18, "Title"], [30, 32, "EffectiveDate"], [36, 40, "Parties"], [46, 50, "Parties"], [56, 59, "Parties"]], "tokenized_text": ["NON", "EXCLUSIVE", "EASEMENTS", "AND", "OTHER", "RIGHTS", "AS", "ESTABLISHED", "AND", "GRANTED", "BY", "THAT", "CERTAIN", "SECOND", "AMENDED", "AND", "RESTATED", "PARKING", "AGREEMENT", "AND", "GRANT", "OF", "RECIPROCAL", "EASEMENTS", "AND", "DECLARATION", "OF", "COVENANTS", "DATED", "AS", "FEBRUARY7", ",", "2003", "BY", "AND", "BETWEEN", "CAESARS", "PALACE", "REALTY", "CORP", ".", ",", "A", "NEVADA", "CORPORATION", ",", "DESERT", "PALACE", ",", "INC", ".", ",", "A", "NEVADA", "CORPORATION", "AND", "FORUM", "DEVELOPERS", "LIMITED", "PARTNERSHIP", ",", "A", "NEVADA", "LIMITED", "PARTNERSHIP", "RECORDED", "NOVEMBER18", ",", "2003", "AS", "DOCUMENT", "NO", ".", "1516", "IN", "BOOK", "20031118", "AND", "BY", "THAT", "ASSIGNMENT", "AND", "ASSUMPTION", "OF", "BY", "SECOND", "AMENDED", "AND", "RESTATED", "PARKING", "AGREEMENT", "AND", "GRANT", "OF", "RECIPROCAL", "EASEMENTS", "AND", "DECLARATION", "OF", "COVENANTS", "DATED", "NOVEMBER14", ",", "2003", ",", "RECORDED", "NOVEMBER18", ",", "2003", "AS", "DOCUMENT", "NO", ".", "1518", "IN", "BOOK", "20031118", ",", "AND", "AMENDED", "BY", "THAT", "FIRST", "AMENDMENT", "TO", "SECOND", "AMENDED", "AND", "RESTATED"]}
{"id": "14794", "text": "PARKING AGREEMENT AND GRANT OF RECIPROCAL EASEMENTS AND DECLARATION OF COVENANTS, RECORDED MAY3, 2016, IN BOOK 20160503 AS DOCUMENT NO. 0002965, IN THE OFFICIAL RECORDS, CLARK COUNTY, NEVADA, AND AMENDED BY THAT SECOND AMENDMENT TO SECOND AMENDED AND RESTATED PARKING AGREEMENT AND GRANT OF RECIPROCAL EASEMENTS AND DECLARATION OF COVENANTS, RECORDED , IN BOOK AS DOCUMENT NO. , IN THE OFFICIAL RECORDS, CLARK COUNTY, NEVADA.", "ner": [[0, 1, "Title"], [13, 15, "EffectiveDate"], [24, 24, "PII_Ref"], [31, 34, "Address"]], "tokenized_text": ["PARKING", "AGREEMENT", "AND", "GRANT", "OF", "RECIPROCAL", "EASEMENTS", "AND", "DECLARATION", "OF", "COVENANTS", ",", "RECORDED", "MAY3", ",", "2016", ",", "IN", "BOOK", "20160503", "AS", "DOCUMENT", "NO", ".", "0002965", ",", "IN", "THE", "OFFICIAL", "RECORDS", ",", "CLARK", "COUNTY", ",", "NEVADA", ",", "AND", "AMENDED", "BY", "THAT", "SECOND", "AMENDMENT", "TO", "SECOND", "AMENDED", "AND", "RESTATED", "PARKING", "AGREEMENT", "AND", "GRANT", "OF", "RECIPROCAL", "EASEMENTS", "AND", "DECLARATION", "OF", "COVENANTS", ",", "RECORDED", ",", "IN", "BOOK", "AS", "DOCUMENT", "NO", ".", ",", "IN", "THE", "OFFICIAL", "RECORDS", ",", "CLARK", "COUNTY", ",", "NEVADA", "."]}
{"id": "14796", "text": "GROUND LEASE D PROPERTY", "ner": [], "tokenized_text": ["GROUND", "LEASE", "D", "PROPERTY"]}
{"id": "14799", "text": "NON-EXCLUSIVE EASEMENTS AS SET FORTH IN THAT CERTAIN DECLARATION OF COVENANTS, RESTRICTIONS AND EASEMENTS, RECORDED MAY20, 2011, IN BOOK 20110520 AS DOCUMENT NO. 0002942, OF OFFICIAL RECORDS.", "ner": [[17, 19, "EffectiveDate"], [28, 28, "PII_Ref"]], "tokenized_text": ["NON-EXCLUSIVE", "EASEMENTS", "AS", "SET", "FORTH", "IN", "THAT", "CERTAIN", "DECLARATION", "OF", "COVENANTS", ",", "RESTRICTIONS", "AND", "EASEMENTS", ",", "RECORDED", "MAY20", ",", "2011", ",", "IN", "BOOK", "20110520", "AS", "DOCUMENT", "NO", ".", "0002942", ",", "OF", "OFFICIAL", "RECORDS", "."]}
{"id": "14800", "text": "This REIT Compliance Certificate (this Certificate) is given by Tenant (as defined in that certain Lease (CPLV) (the Lease) dated as of [, 2017], by and among CPLV Property Owner LLC , a Delaware limited liability company (together with its successors and assigns, Landlord), and Desert Palace LLC , a Nevada limited liability company, Caesars Entertainment Operating Company, Inc., a Delaware corporation, and CEOC, LLC , a Delaware limited liability company (as successor by merger to Caesars Entertainment Operating Company, Inc.) (collectively, and together with their respective successors and permitted assigns, Tenant), pursuant to Article XL of the Lease. Capitalized terms used herein without definition shall have the meanings set forth in the Lease.", "ner": [[1, 3, "Title"], [59, 61, "Parties"], [69, 75, "Parties"], [82, 84, "Parties"]], "tokenized_text": ["This", "REIT", "Compliance", "Certificate", "(", "this", "Certificate", ")", "is", "given", "by", "Tenant", "(", "as", "defined", "in", "that", "certain", "Lease", "(", "CPLV", ")", "(", "the", "Lease", ")", "dated", "as", "of", "[", ",", "2017", "]", ",", "by", "and", "among", "CPLV", "Property", "Owner", "LLC", ",", "a", "Delaware", "limited", "liability", "company", "(", "together", "with", "its", "successors", "and", "assigns", ",", "Landlord", ")", ",", "and", "Desert", "Palace", "LLC", ",", "a", "Nevada", "limited", "liability", "company", ",", "Caesars", "Entertainment", "Operating", "Company", ",", "Inc", ".", ",", "a", "Delaware", "corporation", ",", "and", "CEOC", ",", "LLC", ",", "a", "Delaware", "limited", "liability", "company", "(", "as", "successor", "by", "merger", "to", "Caesars", "Entertainment", "Operating", "Company", ",", "Inc", ".", ")", "(", "collectively", ",", "and", "together", "with", "their", "respective", "successors", "and", "permitted", "assigns", ",", "Tenant", ")", ",", "pursuant", "to", "Article", "XL", "of", "the", "Lease", ".", "Capitalized", "terms", "used", "herein", "without", "definition", "shall", "have", "the", "meanings", "set", "forth", "in", "the", "Lease", "."]}
{"id": "14804", "text": "1. | Second Amended and Restated Operating Lease, dated as of the date hereof, between Caesars Octavius, LLC, as landlord, and Landlord (as successor-in-interest to Desert Palace, Inc.), as tenant. ---|---", "ner": [[3, 8, "Title"], [18, 21, "Parties"], [32, 36, "Parties"]], "tokenized_text": ["1", ".", "|", "Second", "Amended", "and", "Restated", "Operating", "Lease", ",", "dated", "as", "of", "the", "date", "hereof", ",", "between", "Caesars", "Octavius", ",", "LLC", ",", "as", "landlord", ",", "and", "Landlord", "(", "as", "successor-in-interest", "to", "Desert", "Palace", ",", "Inc", ".", ")", ",", "as", "tenant", ".", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "14807", "text": "Kang.pdf | | | | | | | 14935 | | Desert Palace LLC | | Caesars Palace Las Vegas | | Caf Americano | | Robert Kang | | PROMISSORY NOTE | | 2/6/2015 | | VV1 CP Promissory Note - Kang.pdf * * *", "ner": [[13, 15, "Parties"], [36, 40, "EffectiveDate"]], "tokenized_text": ["Kang", ".", "pdf", "|", "|", "|", "|", "|", "|", "|", "14935", "|", "|", "Desert", "Palace", "LLC", "|", "|", "Caesars", "Palace", "Las", "Vegas", "|", "|", "Caf", "Americano", "|", "|", "Robert", "Kang", "|", "|", "PROMISSORY", "NOTE", "|", "|", "2", "/", "6", "/", "2015", "|", "|", "VV1", "CP", "Promissory", "Note", "-", "Kang", ".", "pdf", "*", "*", "*"]}
{"id": "14817", "text": "| | Caesars Palace Las Vegas | | Its About Time | | Las Vegas WatchGallery LLC d/b/a Las Vegas Watch Gallery | | FIRST AMENDMENT TO THE LEASE AGREEMENT | | 6/1/2014 | | 10041 - Las Vegas Watch Gallery LLC - First Amendment to Lease Agreement - Final.pdf | | | | | | | 8628 | | Desert Palace LLC | | Caesars Palace Las Vegas | | King Baby | | King Baby Studio, Inc. | | LICENSE AGREEMENT | | 7/9/2012 | | 2012-07-12 Executed License Agreement Caesars Palace and King Baby Studio.pdf | | | | | | | 15247 | | Desert Palace LLC | | Caesars Palace Las Vegas | | Kodak Roving Photographers | | Kodak Solaris EIS Inc. | | REVOCABLE LICENSE AGREEMENT | | 1/1/2014 | | Caesars 1.1.2014 - executed.pdf | | | | | | | 15248 | | Desert Palace LLC | | Caesars Palace Las Vegas | | Kodak Roving Photographers | | Kodak Solaris EIS Inc. | | AMENDMENT #1 TO REVOCABLE LICENSE AGREEMENT | | 6/24/2014 | | Caesars Amend #1 - 6.24.2014 - executed.pdf | | | | | | | 15249 | | Desert Palace LLC | | Caesars Palace Las Vegas | | Kodak Roving Photographers | | Kodak Solaris EIS Inc. | | SUBCONTRACTOR CONSENT LETTER | | 1/24/2014 | | Caesars Palace Subcontractor Consent Letter.pdf | | | | | | | 8630 | | Desert Palace LLC | | Caesars Palace Las Vegas | | Landau | | The Hyman Companies, Inc. | | RETAIL LEASE AGREEMENT | | 9/30/2010 | | Caesars Hyman Executed Landau Kiosk Lease Agmt Sept. 30, 2010.pdf | | | | | | | 8629 | | Desert Palace LLC | | Caesars Palace Las Vegas | | Landau | | The Hyman Companies, Inc. | | FIRST AMENDMENT TO RETAIL LEASE AGREEMENT | | 10/1/2011 | | Caesars Hyman EXECUTED First Amendment to Lease-10-24-11.pdf | | | | | | | N/A | | Desert Palace LLC | | Caesars Palace Las Vegas | | Martin&amp; MacArthur | | Martin&amp; MacArthur (Nevada), Inc. | | LEASE | | 8/1/2016 | | CLVMartin&amp; MacArthur Lease Fully Executed.pdf", "ner": [[2, 5, "Parties"], [32, 33, "Title"], [36, 40, "EffectiveDate"], [54, 55, "Title"], [70, 72, "Parties"], [93, 94, "Title"], [142, 146, "Parties"], [149, 151, "Title"], [154, 158, "EffectiveDate"], [267, 269, "Title"], [272, 276, "EffectiveDate"], [318, 320, "Title"], [337, 341, "EffectiveDate"], [384, 388, "EffectiveDate"], [423, 427, "Parties"], [430, 440, "Parties"]], "tokenized_text": ["|", "|", "Caesars", "Palace", "Las", "Vegas", "|", "|", "Its", "About", "Time", "|", "|", "Las", "Vegas", "WatchGallery", "LLC", "d", "/", "b", "/", "a", "Las", "Vegas", "Watch", "Gallery", "|", "|", "FIRST", "AMENDMENT", "TO", "THE", "LEASE", "AGREEMENT", "|", "|", "6", "/", "1", "/", "2014", "|", "|", "10041", "-", "Las", "Vegas", "Watch", "Gallery", "LLC", "-", "First", "Amendment", "to", "Lease", "Agreement", "-", "Final", ".", "pdf", "|", "|", "|", "|", "|", "|", "|", "8628", "|", "|", "Desert", "Palace", "LLC", "|", "|", "Caesars", "Palace", "Las", "Vegas", "|", "|", "King", "Baby", "|", "|", "King", "Baby", "Studio", ",", "Inc", ".", "|", "|", "LICENSE", "AGREEMENT", "|", "|", "7", "/", "9", "/", "2012", "|", "|", "2012-07-12", "Executed", "License", "Agreement", "Caesars", "Palace", "and", "King", "Baby", "Studio", ".", "pdf", "|", "|", "|", "|", "|", "|", "|", "15247", "|", "|", "Desert", "Palace", "LLC", "|", "|", "Caesars", "Palace", "Las", "Vegas", "|", "|", "Kodak", "Roving", "Photographers", "|", "|", "Kodak", "Solaris", "EIS", "Inc", ".", "|", "|", "REVOCABLE", "LICENSE", "AGREEMENT", "|", "|", "1", "/", "1", "/", "2014", "|", "|", "Caesars", "1", ".", "1", ".", "2014", "-", "executed", ".", "pdf", "|", "|", "|", "|", "|", "|", "|", "15248", "|", "|", "Desert", "Palace", "LLC", "|", "|", "Caesars", "Palace", "Las", "Vegas", "|", "|", "Kodak", "Roving", "Photographers", "|", "|", "Kodak", "Solaris", "EIS", "Inc", ".", "|", "|", "AMENDMENT", "#", "1", "TO", "REVOCABLE", "LICENSE", "AGREEMENT", "|", "|", "6", "/", "24", "/", "2014", "|", "|", "Caesars", "Amend", "#", "1", "-", "6", ".", "24", ".", "2014", "-", "executed", ".", "pdf", "|", "|", "|", "|", "|", "|", "|", "15249", "|", "|", "Desert", "Palace", "LLC", "|", "|", "Caesars", "Palace", "Las", "Vegas", "|", "|", "Kodak", "Roving", "Photographers", "|", "|", "Kodak", "Solaris", "EIS", "Inc", ".", "|", "|", "SUBCONTRACTOR", "CONSENT", "LETTER", "|", "|", "1", "/", "24", "/", "2014", "|", "|", "Caesars", "Palace", "Subcontractor", "Consent", "Letter", ".", "pdf", "|", "|", "|", "|", "|", "|", "|", "8630", "|", "|", "Desert", "Palace", "LLC", "|", "|", "Caesars", "Palace", "Las", "Vegas", "|", "|", "Landau", "|", "|", "The", "Hyman", "Companies", ",", "Inc", ".", "|", "|", "RETAIL", "LEASE", "AGREEMENT", "|", "|", "9", "/", "30", "/", "2010", "|", "|", "Caesars", "Hyman", "Executed", "Landau", "Kiosk", "Lease", "Agmt", "Sept", ".", "30", ",", "2010", ".", "pdf", "|", "|", "|", "|", "|", "|", "|", "8629", "|", "|", "Desert", "Palace", "LLC", "|", "|", "Caesars", "Palace", "Las", "Vegas", "|", "|", "Landau", "|", "|", "The", "Hyman", "Companies", ",", "Inc", ".", "|", "|", "FIRST", "AMENDMENT", "TO", "RETAIL", "LEASE", "AGREEMENT", "|", "|", "10", "/", "1", "/", "2011", "|", "|", "Caesars", "Hyman", "EXECUTED", "First", "Amendment", "to", "Lease-10-24-11", ".", "pdf", "|", "|", "|", "|", "|", "|", "|", "N", "/", "A", "|", "|", "Desert", "Palace", "LLC", "|", "|", "Caesars", "Palace", "Las", "Vegas", "|", "|", "Martin", "&", "amp", ";", "MacArthur", "|", "|", "Martin", "&", "amp", ";", "MacArthur", "(", "Nevada", ")", ",", "Inc", ".", "|", "|", "LEASE", "|", "|", "8", "/", "1", "/", "2016", "|", "|", "CLVMartin", "&", "amp", ";", "MacArthur", "Lease", "Fully", "Executed", ".", "pdf"]}
{"id": "14818", "text": "File Name | | | | | | | 8720 | | Desert Palace LLC | | Caesars Palace Las Vegas | | Martin Lawrence | | Martin Lawrence, LLC | | LEASE AGREEMENT | | 7/8/2010 | |", "ner": [[9, 9, "PII_Ref"], [27, 30, "Parties"], [33, 34, "Title"], [37, 41, "EffectiveDate"]], "tokenized_text": ["File", "Name", "|", "|", "|", "|", "|", "|", "|", "8720", "|", "|", "Desert", "Palace", "LLC", "|", "|", "Caesars", "Palace", "Las", "Vegas", "|", "|", "Martin", "Lawrence", "|", "|", "Martin", "Lawrence", ",", "LLC", "|", "|", "LEASE", "AGREEMENT", "|", "|", "7", "/", "8", "/", "2010", "|", "|"]}
{"id": "14824", "text": "5.06.PDF | | | | | | | 14936 | | Desert Palace LLC | | Caesars Palace Las Vegas | | Payard | | Payard Management, LLC | |", "ner": [[12, 12, "PII_Ref"], [15, 17, "Parties"], [29, 32, "Parties"]], "tokenized_text": ["5", ".", "06", ".", "PDF", "|", "|", "|", "|", "|", "|", "|", "14936", "|", "|", "Desert", "Palace", "LLC", "|", "|", "Caesars", "Palace", "Las", "Vegas", "|", "|", "Payard", "|", "|", "Payard", "Management", ",", "LLC", "|", "|"]}
{"id": "14825", "text": "| | 9/30/2010 | | First Amendmentto Development Operation Agreement Payard v1 (2).doc | | | | | | | 14872 | | Desert Palace LLC | | Caesars Palace Las Vegas | | Payard | | Payard Management, LLC | | SECOND AMENDMENT TO THE DEVELOPMENT AND OPERATION AGREEMENT | | 8/1/2015 | |", "ner": [[2, 6, "EffectiveDate"], [11, 13, "Title"], [31, 33, "Parties"], [45, 48, "Parties"], [55, 58, "Title"], [61, 65, "EffectiveDate"]], "tokenized_text": ["|", "|", "9", "/", "30", "/", "2010", "|", "|", "First", "Amendmentto", "Development", "Operation", "Agreement", "Payard", "v1", "(", "2", ")", ".", "doc", "|", "|", "|", "|", "|", "|", "|", "14872", "|", "|", "Desert", "Palace", "LLC", "|", "|", "Caesars", "Palace", "Las", "Vegas", "|", "|", "Payard", "|", "|", "Payard", "Management", ",", "LLC", "|", "|", "SECOND", "AMENDMENT", "TO", "THE", "DEVELOPMENT", "AND", "OPERATION", "AGREEMENT", "|", "|", "8", "/", "1", "/", "2015", "|", "|"]}
{"id": "14826", "text": "Am- Fully Executed.pdf | | | | | | | 8587 | | Desert Palace LLC | | Caesars Palace Las Vegas | | Phillips Seafood | | Phillips Franchising LLC | | LICENSE AGREEMENT | | 8/14/2014 | | 9409-Phillips Franchising, LLC-License Agreement - Fully Executed.pdf | | | | | | | 8758 | | Desert Palace LLC | | Caesars Palace Las Vegas | | Pure Nightclub (assuming for Omnia) | | Touch, LLC | | AMENDED AND RESTATED LEASE | | 4/9/2014 | |", "ner": [[16, 18, "Parties"], [27, 28, "Parties"], [36, 37, "Title"], [87, 89, "Parties"], [98, 102, "EffectiveDate"]], "tokenized_text": ["Am", "-", "Fully", "Executed", ".", "pdf", "|", "|", "|", "|", "|", "|", "|", "8587", "|", "|", "Desert", "Palace", "LLC", "|", "|", "Caesars", "Palace", "Las", "Vegas", "|", "|", "Phillips", "Seafood", "|", "|", "Phillips", "Franchising", "LLC", "|", "|", "LICENSE", "AGREEMENT", "|", "|", "8", "/", "14", "/", "2014", "|", "|", "9409-Phillips", "Franchising", ",", "LLC-License", "Agreement", "-", "Fully", "Executed", ".", "pdf", "|", "|", "|", "|", "|", "|", "|", "8758", "|", "|", "Desert", "Palace", "LLC", "|", "|", "Caesars", "Palace", "Las", "Vegas", "|", "|", "Pure", "Nightclub", "(", "assuming", "for", "Omnia", ")", "|", "|", "Touch", ",", "LLC", "|", "|", "AMENDED", "AND", "RESTATED", "LEASE", "|", "|", "4", "/", "9", "/", "2014", "|", "|"]}
{"id": "14829", "text": "| | 6/13/2014 | | 10171 Touch Pure CP 1st Am - Fully Executed.pdf | | | | | | | 14891 | | Desert Palace LLC | | Caesars Palace Las Vegas | | Pure Nightclub (assuming for Omnia) | | Touch, LLC | | SECOND AMENDMENT TOAMENDED AND RESTATED LEASE AGREEMENT | | 12/5/2014 | | 104 TM - Touch CP 2nd Am - Fully Executed.pdf | | | | | | | 14937 | | Desert Palace LLC | | Caesars Palace Las Vegas | | Pure Nightclub (assuming for Omnia) | | Touch, LLC | |", "ner": [[30, 32, "Parties"], [50, 52, "Parties"], [60, 61, "Title"]], "tokenized_text": ["|", "|", "6", "/", "13", "/", "2014", "|", "|", "10171", "Touch", "Pure", "CP", "1st", "Am", "-", "Fully", "Executed", ".", "pdf", "|", "|", "|", "|", "|", "|", "|", "14891", "|", "|", "Desert", "Palace", "LLC", "|", "|", "Caesars", "Palace", "Las", "Vegas", "|", "|", "Pure", "Nightclub", "(", "assuming", "for", "Omnia", ")", "|", "|", "Touch", ",", "LLC", "|", "|", "SECOND", "AMENDMENT", "TOAMENDED", "AND", "RESTATED", "LEASE", "AGREEMENT", "|", "|", "12", "/", "5", "/", "2014", "|", "|", "104", "TM", "-", "Touch", "CP", "2nd", "Am", "-", "Fully", "Executed", ".", "pdf", "|", "|", "|", "|", "|", "|", "|", "14937", "|", "|", "Desert", "Palace", "LLC", "|", "|", "Caesars", "Palace", "Las", "Vegas", "|", "|", "Pure", "Nightclub", "(", "assuming", "for", "Omnia", ")", "|", "|", "Touch", ",", "LLC", "|", "|"]}
{"id": "14830", "text": "| | 6/30/2015 | | 166-LG \\- Touch, LLC - Third Amendment - v4.docx | | | | | | | 8646 | | Desert Palace LLC | | Caesars Palace Las Vegas | | Raos | | Raos Restaurant Group, LLC | |", "ner": [[9, 9, "PII_Ref"], [29, 29, "PII_Ref"], [32, 34, "Parties"], [46, 50, "Parties"]], "tokenized_text": ["|", "|", "6", "/", "30", "/", "2015", "|", "|", "166-LG", "\\", "-", "Touch", ",", "LLC", "-", "Third", "Amendment", "-", "v4", ".", "docx", "|", "|", "|", "|", "|", "|", "|", "8646", "|", "|", "Desert", "Palace", "LLC", "|", "|", "Caesars", "Palace", "Las", "Vegas", "|", "|", "Raos", "|", "|", "Raos", "Restaurant", "Group", ",", "LLC", "|", "|"]}
{"id": "14831", "text": "PDF | | | | | | | 14870 | | Desert Palace LLC | | Caesars Palace Las Vegas | | Raos | | Raos Restaurant Group, LLC | | FIRST AMENDMENT TO THE DEVELOPMENT AND OPERATION AGREEMENT | | 11/1/2015 | | CLV Raos First Amendment Fully Executed.pdf | | | | | | | N/A | | Desert Palace LLC | | Caesars Palace Las Vegas | | Roberto Coin | | Roberto Coin, Inc. | | LICENSE AGREEMENT | | 10/13/2015 | | CLV Roberto Coin License Agmt Fully Executed.pdf | | | | | | | 8698 | | Desert Palace LLC | | Caesars Palace Las Vegas | | Searsucker | | Las Vegas Eats, LLC | | LEASE AGREEMENT | | 6/13/2014 | |", "ner": [[11, 13, "Parties"], [25, 29, "Parties"], [36, 39, "Title"], [42, 46, "EffectiveDate"], [80, 81, "Parties"], [84, 88, "Parties"], [91, 92, "Title"], [135, 139, "Parties"], [142, 143, "Title"]], "tokenized_text": ["PDF", "|", "|", "|", "|", "|", "|", "|", "14870", "|", "|", "Desert", "Palace", "LLC", "|", "|", "Caesars", "Palace", "Las", "Vegas", "|", "|", "Raos", "|", "|", "Raos", "Restaurant", "Group", ",", "LLC", "|", "|", "FIRST", "AMENDMENT", "TO", "THE", "DEVELOPMENT", "AND", "OPERATION", "AGREEMENT", "|", "|", "11", "/", "1", "/", "2015", "|", "|", "CLV", "Raos", "First", "Amendment", "Fully", "Executed", ".", "pdf", "|", "|", "|", "|", "|", "|", "|", "N", "/", "A", "|", "|", "Desert", "Palace", "LLC", "|", "|", "Caesars", "Palace", "Las", "Vegas", "|", "|", "Roberto", "Coin", "|", "|", "Roberto", "Coin", ",", "Inc", ".", "|", "|", "LICENSE", "AGREEMENT", "|", "|", "10", "/", "13", "/", "2015", "|", "|", "CLV", "Roberto", "Coin", "License", "Agmt", "Fully", "Executed", ".", "pdf", "|", "|", "|", "|", "|", "|", "|", "8698", "|", "|", "Desert", "Palace", "LLC", "|", "|", "Caesars", "Palace", "Las", "Vegas", "|", "|", "Searsucker", "|", "|", "Las", "Vegas", "Eats", ",", "LLC", "|", "|", "LEASE", "AGREEMENT", "|", "|", "6", "/", "13", "/", "2014", "|", "|"]}
{"id": "14832", "text": "File Name | | | | | | | 8724 | | Desert Palace LLC | | Caesars Palace Las Vegas | | Serendipity | | Moti Partners, LLC | | DEVELOPMENT, OPERATION AND LICENSE AGREEMENT | | 3/9/2015 | | Moti_Serendipity License Agmt Fully Executed.pdf | | | | | | | 8433 | | Desert Palace LLC | | Caesars Palace Las Vegas | | Smashburger | | Smashburger Franchising LLC | | FRANCHISE AGREEMENT | | 9/9/2014 | | 10014 Smashburger CP Franchise Agreement - Fully Executed.pdf | | | | | | | 8418 | | Desert Palace LLC | | Caesars Palace Las Vegas | | The Forum Shops | | The Forum Developers Limited Partnership | | SECOND AMENDED AND RESTATED GROUND LEASE AGREEMENT | | 2/7/2003 | | 16 - Second Amended&amp; Restated Ground Lease (Complete) (32936613)_(34170367_1).PDF | | | | | | | 8420 | | Desert Palace LLC | | Caesars Palace Las Vegas | | The Forum Shops | | The Forum Developers Limited Partnership | | SECOND AMENDED AND RESTATED PARKING AGREEMENT | | 2/7/2003 | | 16 - Second Amended&amp; 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{"id": "14834", "text": "File Name | | | | | | | 8677 | | Desert Palace LLC | | Caesars Palace Las Vegas | | Vittorio | | Vittorio, LLC d/b/a Vittorio | | LEASE AGREEMENT | | 11/15/2010 | | Executed Vittorio Lease Agmt 11-15-10.pdf | | | | | | | N/A | | Desert Palace LLC | | Caesars Palace Las Vegas | | Vittorio | | Vittorio, LLC | | FIRST AMENDMENT TO LEASE | | 7/1/2015 | | 194-RE-CLV Vittorio 1st Am - Fully Executed.pdf | | | | | | | N/A | | Desert Palace LLC | | Caesars Palace Las Vegas | | Vittorio | | Vittorio, LLC | | SECOND AMENDMENT TO LEASE | | 7/1/2015 | | CLV Vittorio 2nd Am Fully Executed.pdf | | | | | | | N/A | | Desert Palace LLC | | Caesars Palace Las Vegas | | Vittorio | | Vittorio, LLC | | THIRD AMENDMENT TO LEASE | | 7/1/2016 | | CLV Vittorio 3d Am Fully Executed.pdf | | | | | | | 15250 | | Desert Palace LLC | | Caesars Palace Las Vegas | | Wyndham Kiosks | | Wyndham Vacation Resorts, Inc. | | LICENSE AGREEMENT | | 11/1/2006 | | Wyndham Executed Agreement.pdf | | | | | | | 8771 | | Desert Palace LLC | | Caesars Palace Las Vegas | | Wyndham Kiosks | | Wyndham Vacation Resorts, Inc. | | FIRST AMENDMENT TO LICENSE AGREEMENT | | 11/1/2009 | | Wyndham Vacation Resorts Executed First Amendment.pdf | | | | | | | 8554 | | Desert Palace LLC | | Caesars Palace Las Vegas | | Wyndham Kiosks | | Wyndham Vacation Resorts, Inc. | | SECOND AMENDMENT TO LICENSE AGREEMENT | | 10/1/2013 | | 8365 - Wyndham (Caesars Palace) - Second Amendment - Final.pdf", "ner": [[12, 14, "Parties"], [17, 20, "Parties"], [37, 38, "Title"], [41, 45, "EffectiveDate"], [233, 234, "Parties"], [237, 242, "Parties"], [245, 246, "Title"], [249, 253, "EffectiveDate"], [301, 305, "EffectiveDate"], [356, 360, "EffectiveDate"]], "tokenized_text": ["File", "Name", "|", "|", "|", "|", "|", "|", "|", "8677", "|", "|", "Desert", "Palace", "LLC", "|", "|", "Caesars", "Palace", "Las", "Vegas", "|", "|", "Vittorio", "|", "|", "Vittorio", ",", "LLC", "d", "/", "b", "/", "a", "Vittorio", "|", "|", "LEASE", "AGREEMENT", "|", "|", "11", "/", "15", "/", "2010", "|", "|", "Executed", "Vittorio", "Lease", "Agmt", "11-15-10", ".", "pdf", "|", "|", "|", "|", "|", "|", "|", "N", "/", "A", "|", "|", "Desert", "Palace", "LLC", "|", "|", "Caesars", "Palace", "Las", "Vegas", "|", "|", "Vittorio", "|", "|", "Vittorio", ",", "LLC", "|", "|", "FIRST", "AMENDMENT", "TO", "LEASE", "|", "|", "7", "/", "1", "/", "2015", "|", "|", "194-RE-CLV", "Vittorio", "1st", "Am", "-", "Fully", "Executed", ".", "pdf", "|", "|", "|", "|", "|", "|", "|", "N", "/", "A", "|", "|", "Desert", "Palace", "LLC", "|", "|", "Caesars", "Palace", "Las", "Vegas", "|", "|", "Vittorio", "|", "|", "Vittorio", ",", "LLC", "|", "|", "SECOND", "AMENDMENT", "TO", "LEASE", "|", "|", "7", "/", "1", "/", "2015", "|", "|", "CLV", "Vittorio", "2nd", "Am", "Fully", "Executed", ".", "pdf", "|", "|", "|", "|", "|", "|", "|", "N", "/", "A", "|", "|", "Desert", "Palace", "LLC", "|", "|", "Caesars", "Palace", "Las", "Vegas", "|", "|", "Vittorio", "|", "|", "Vittorio", ",", "LLC", "|", "|", "THIRD", "AMENDMENT", "TO", "LEASE", "|", "|", "7", "/", "1", "/", "2016", "|", "|", "CLV", "Vittorio", "3d", "Am", "Fully", "Executed", ".", "pdf", "|", "|", "|", "|", "|", "|", "|", "15250", "|", "|", "Desert", "Palace", "LLC", "|", "|", "Caesars", "Palace", "Las", "Vegas", "|", "|", "Wyndham", "Kiosks", "|", "|", "Wyndham", "Vacation", "Resorts", ",", "Inc", ".", "|", "|", "LICENSE", "AGREEMENT", "|", "|", "11", "/", "1", "/", "2006", "|", "|", "Wyndham", "Executed", "Agreement", ".", "pdf", "|", "|", "|", "|", "|", "|", "|", "8771", "|", "|", "Desert", "Palace", "LLC", "|", "|", "Caesars", "Palace", "Las", "Vegas", "|", "|", "Wyndham", "Kiosks", "|", "|", "Wyndham", "Vacation", "Resorts", ",", "Inc", ".", "|", "|", "FIRST", "AMENDMENT", "TO", "LICENSE", "AGREEMENT", "|", "|", "11", "/", "1", "/", "2009", "|", "|", "Wyndham", "Vacation", "Resorts", "Executed", "First", "Amendment", ".", "pdf", "|", "|", "|", "|", "|", "|", "|", "8554", "|", "|", "Desert", "Palace", "LLC", "|", "|", "Caesars", "Palace", "Las", "Vegas", "|", "|", "Wyndham", "Kiosks", "|", "|", "Wyndham", "Vacation", "Resorts", ",", "Inc", ".", "|", "|", "SECOND", "AMENDMENT", "TO", "LICENSE", "AGREEMENT", "|", "|", "10", "/", "1", "/", "2013", "|", "|", "8365", "-", "Wyndham", "(", "Caesars", "Palace", ")", "-", "Second", "Amendment", "-", "Final", ".", "pdf"]}
{"id": "14837", "text": "THIS OFFICE LEASE AGREEMENT (Lease) is entered into and made this day of October, 2010 , by and between (i) DHB PROPERTIES, LLC , a Kentucky professional services corporation (Landlord), and (ii) APELLIS PHARMACEUTICALS, INC , a Delaware corporation (Tenant).", "ner": [[2, 3, "Title"], [15, 17, "EffectiveDate"], [25, 28, "Parties"], [43, 46, "Parties"]], "tokenized_text": ["THIS", "OFFICE", "LEASE", "AGREEMENT", "(", "Lease", ")", "is", "entered", "into", "and", "made", "this", "day", "of", "October", ",", "2010", ",", "by", "and", "between", "(", "i", ")", "DHB", "PROPERTIES", ",", "LLC", ",", "a", "Kentucky", "professional", "services", "corporation", "(", "Landlord", ")", ",", "and", "(", "ii", ")", "APELLIS", "PHARMACEUTICALS", ",", "INC", ",", "a", "Delaware", "corporation", "(", "Tenant", ")", "."]}
{"id": "14839", "text": "| | | | | | | | | | Premises: | | Suite A | | | | | | | | B. | | Total Leasable Area in the Building: | | 2,107 Square Feet | | | | | | | | | Total Leasable Area of the Premises: | | 20,000 Leasable Square Feet | | | | | | | | Tenants Pro Rata Share: | | 10.54% | | | | | | | | C. | | Term (see Paragraph 2.01): | | Five (5) Years | | | | | | | | | | Scheduled Commencement Date: | | January 31, 2011 | | | | | | | | | | Expiration Date: | | December 31, 2015 | | | | | | | | D. | | Base Rent (see Paragraph 3.01): | |", "ner": [[14, 15, "Address"], [81, 84, "Percentage"], [129, 132, "EffectiveDate"]], "tokenized_text": ["|", "|", "|", "|", "|", "|", "|", "|", "|", "|", "Premises", ":", "|", "|", "Suite", "A", "|", "|", "|", "|", "|", "|", "|", "|", "B", ".", "|", "|", "Total", "Leasable", "Area", "in", "the", "Building", ":", "|", "|", "2", ",", "107", "Square", "Feet", "|", "|", "|", "|", "|", "|", "|", "|", "|", "Total", "Leasable", "Area", "of", "the", "Premises", ":", "|", "|", "20", ",", "000", "Leasable", "Square", "Feet", "|", "|", "|", "|", "|", "|", "|", "|", "Tenants", "Pro", "Rata", "Share", ":", "|", "|", "10", ".", "54", "%", "|", "|", "|", "|", "|", "|", "|", "|", "C", ".", "|", "|", "Term", "(", "see", "Paragraph", "2", ".", "01", ")", ":", "|", "|", "Five", "(", "5", ")", "Years", "|", "|", "|", "|", "|", "|", "|", "|", "|", "|", "Scheduled", "Commencement", "Date", ":", "|", "|", "January", "31", ",", "2011", "|", "|", "|", "|", "|", "|", "|", "|", "|", "|", "Expiration", "Date", ":", "|", "|", "December", "31", ",", "2015", "|", "|", "|", "|", "|", "|", "|", "|", "D", ".", "|", "|", "Base", "Rent", "(", "see", "Paragraph", "3", ".", "01", ")", ":", "|", "|"]}
{"id": "14843", "text": "Crestwood, Kentucky 40014 | | I. | | Real Estate Broker (Paragraph 19.04): | | Horizon Commercial Realty | | J. | | Option to renew: | | Tenant shall have the option to renew the Lease for one (1) additional period of five (5) years at 95% of the then prevailing market rate for comparable space. | | K. | | Termination Right: | | Tenant shall have the one-time right to terminate the Lease at the end of year two (2) with 120 days prior written notice to Landlord. | | L. | | Right of First Refusal: | | Tenant shall have a continuing right of first refusal to lease any contiguous vacant space available in the Building. Tenant shall five (5) business days from notice of perceived interest from a third party in such vacant space as evidenced by a written letter of intent or offer to lease, a copy of which will be furnished to Tenant, to lease of such available space on the same terms and conditions offered to the third party terms pursuant to an amendment of this Lease otherwise reasonably acceptable to Landlord.", "ner": [[0, 3, "Address"], [54, 58, "TerminationDate"], [60, 61, "Percentage"]], "tokenized_text": ["Crestwood", ",", "Kentucky", "40014", "|", "|", "I", ".", "|", "|", "Real", "Estate", "Broker", "(", "Paragraph", "19", ".", "04", ")", ":", "|", "|", "Horizon", "Commercial", "Realty", "|", "|", "J", ".", "|", "|", "Option", "to", "renew", ":", "|", "|", "Tenant", "shall", "have", "the", "option", "to", "renew", "the", "Lease", "for", "one", "(", "1", ")", "additional", "period", "of", "five", "(", "5", ")", "years", "at", "95", "%", "of", "the", "then", "prevailing", "market", "rate", "for", "comparable", "space", ".", "|", "|", "K", ".", "|", "|", "Termination", "Right", ":", "|", "|", "Tenant", "shall", "have", "the", "one-time", "right", "to", "terminate", "the", "Lease", "at", "the", "end", "of", "year", "two", "(", "2", ")", "with", "120", "days", "prior", "written", "notice", "to", "Landlord", ".", "|", "|", "L", ".", "|", "|", "Right", "of", "First", "Refusal", ":", "|", "|", "Tenant", "shall", "have", "a", "continuing", "right", "of", "first", "refusal", "to", "lease", "any", "contiguous", "vacant", "space", "available", "in", "the", "Building", ".", "Tenant", "shall", "five", "(", "5", ")", "business", "days", "from", "notice", "of", "perceived", "interest", "from", "a", "third", "party", "in", "such", "vacant", "space", "as", "evidenced", "by", "a", "written", "letter", "of", "intent", "or", "offer", "to", "lease", ",", "a", "copy", "of", "which", "will", "be", "furnished", "to", "Tenant", ",", "to", "lease", "of", "such", "available", "space", "on", "the", "same", "terms", "and", "conditions", "offered", "to", "the", "third", "party", "terms", "pursuant", "to", "an", "amendment", "of", "this", "Lease", "otherwise", "reasonably", "acceptable", "to", "Landlord", "."]}
{"id": "14845", "text": "17.03 Americans with Disabilities Act. Any costs for alterations, additions or improvements required to modify the Common Areas of the Building in conjunction with the Americans with Disabilities Act ( ADA) shall be paid by Landlord, and the cost thereof (excluding the amount of any fines or penalties assessed against Landlord for knowing and intentional non-compliance with the ADA), shall be an Operating Expense of the Building. Such alternations, additions or improvements shall be made In the sole discretion of Landlord. Any alterations, additions or improvements required to modify the Premises in conjunction with the ADA shall be approved by Landlord and paid by Tenant. Within ten (10)days after receipt, Tenant shall advise Landlord in", "ner": [[3, 6, "Act"]], "tokenized_text": ["17", ".", "03", "Americans", "with", "Disabilities", "Act", ".", "Any", "costs", "for", "alterations", ",", "additions", "or", "improvements", "required", "to", "modify", "the", "Common", "Areas", "of", "the", "Building", "in", "conjunction", "with", "the", "Americans", "with", "Disabilities", "Act", "(", "ADA", ")", "shall", "be", "paid", "by", "Landlord", ",", "and", "the", "cost", "thereof", "(", "excluding", "the", "amount", "of", "any", "fines", "or", "penalties", "assessed", "against", "Landlord", "for", "knowing", "and", "intentional", "non-compliance", "with", "the", "ADA", ")", ",", "shall", "be", "an", "Operating", "Expense", "of", "the", "Building", ".", "Such", "alternations", ",", "additions", "or", "improvements", "shall", "be", "made", "In", "the", "sole", "discretion", "of", "Landlord", ".", "Any", "alterations", ",", "additions", "or", "improvements", "required", "to", "modify", "the", "Premises", "in", "conjunction", "with", "the", "ADA", "shall", "be", "approved", "by", "Landlord", "and", "paid", "by", "Tenant", ".", "Within", "ten", "(", "10", ")", "days", "after", "receipt", ",", "Tenant", "shall", "advise", "Landlord", "in"]}
{"id": "14847", "text": "BEING a consolidation of Lot 17 and Lot 17A of Arbor Ridge Subdivision, Section5 , a plat of which is of record in Plat Book 6, Page 77 , in the Office of the Clerk of Oldham County, Kentucky.", "ner": [[4, 5, "Address"], [7, 8, "Address"], [10, 14, "Address"], [38, 41, "Court"]], "tokenized_text": ["BEING", "a", "consolidation", "of", "Lot", "17", "and", "Lot", "17A", "of", "Arbor", "Ridge", "Subdivision", ",", "Section5", ",", "a", "plat", "of", "which", "is", "of", "record", "in", "Plat", "Book", "6", ",", "Page", "77", ",", "in", "the", "Office", "of", "the", "Clerk", "of", "Oldham", "County", ",", "Kentucky", "."]}
{"id": "14852", "text": "THIS THIRD ADDENDUM TO OFFICE LEASE AGREEMENT <sup> <sup> (Third Addendum) is made and entered into as of April27th, 2015 (the Effective Date), by and between (I) DHB PROPERTIES, LLC , a Kentucky limited liability company (Landlord), and (II) APELLIS PHARMACEUTICALS, INC ., a Delaware corporation (Tenant).", "ner": [[4, 6, "Title"], [24, 26, "EffectiveDate"], [39, 42, "Parties"], [57, 61, "Parties"]], "tokenized_text": ["THIS", "THIRD", "ADDENDUM", "TO", "OFFICE", "LEASE", "AGREEMENT", "<", "sup", ">", "<", "sup", ">", "(", "Third", "Addendum", ")", "is", "made", "and", "entered", "into", "as", "of", "April27th", ",", "2015", "(", "the", "Effective", "Date", ")", ",", "by", "and", "between", "(", "I", ")", "DHB", "PROPERTIES", ",", "LLC", ",", "a", "Kentucky", "limited", "liability", "company", "(", "Landlord", ")", ",", "and", "(", "II", ")", "APELLIS", "PHARMACEUTICALS", ",", "INC", ".", ",", "a", "Delaware", "corporation", "(", "Tenant", ")", "."]}
{"id": "14853", "text": "| | Base Rent for the area of the Premises which comprises the First Expansion Space shall commence on October7, 2014, and shall be due and payable to Landlord by Tenant in monthly installments of $2,398.42 (based on an annual rental amount of $17.00 per square foot) on October7, 2014, and continuing on the first (1st)day of each month thereafter through February 2016. | | | | (b) | | The monthly installments of Base Rent due and payable to Landlord for the area of the Premises which comprises the First Expansion Space shall increase as of March1, 2016 (based on an annual rental amount of $18.00 per square foot), and will be due and payable to Landlord by Tenant in monthly amounts of $2,539.50 commencing on March1, 2016, and continuing on the first (1st)day of each month thereafter through the remaining Term as extended by the Third Addendum. | | | Second Expansion Premise | | 5. | | (a) | | Base Rent for the area of the Premises which comprises the Second Expansion Space shall commence on delivery estimated to be July15, 2015 and shall be due and payable to Landlord by Tenant in monthly installments of $4,710.42 (based on an annual rental amount of $17.00 per square foot) and continuing on the first (1sl)day of each month thereafter through February 2016. | | | | (b) | | The monthly Installments of Base Rent due and payable to Landlord for the area of the Premises which comprises the Second Expansion Space shall increase as of March1, 2016 (based on an annual rental amount of $18.00 per square foot), and will be due and payable to Landlord by Tenant In monthly amounts of $4,987.50 commencing on March1, 2016, and continuing on the first (1st)day of each month thereafter through the remaining Term as extended by the Third Addendum, | 6. | | Tenant Finish: The Landlords Work with regard to the Second Expansion Space is out depicted and described on Exhibit B attached hereto and made a part hereof (the Tenant Finish), and Tenant shall be responsible for and shall pay the cost of the Tenant Finish, up to an agreed aggregate maximum amount of $207,788.00 (the Tenant Contribution), in two stages as follows: | | | | (a) | | On or about , Landlord shall provide to Tenant a copy of an invoice from the general contractor (the General Contractor) for one-half ( 1/2) of the cost of the Tenant Finish, which invoice amount Tenant shall directly pay to the General Contractor up to a maximum amount of $89,644. * * *", "ner": [[19, 21, "EffectiveDate"], [37, 42, "Rent"], [51, 54, "Rent"], [60, 62, "EffectiveDate"], [117, 119, "EffectiveDate"], [128, 131, "Rent"], [151, 156, "Rent"], [159, 161, "EffectiveDate"], [225, 227, "EffectiveDate"], [242, 247, "Rent"], [317, 319, "EffectiveDate"], [351, 356, "Rent"], [359, 361, "EffectiveDate"], [450, 455, "Rent"], [501, 506, "Ratio"], [532, 536, "Rent"]], "tokenized_text": ["|", "|", "Base", "Rent", "for", "the", "area", "of", "the", "Premises", "which", "comprises", "the", "First", "Expansion", "Space", "shall", "commence", "on", "October7", ",", "2014", ",", "and", "shall", "be", "due", "and", "payable", "to", "Landlord", "by", "Tenant", "in", "monthly", "installments", "of", "$", "2", ",", "398", ".", "42", "(", "based", "on", "an", "annual", "rental", "amount", "of", "$", "17", ".", "00", "per", "square", "foot", ")", "on", "October7", ",", "2014", ",", "and", "continuing", "on", "the", "first", "(", "1st", ")", "day", "of", "each", "month", "thereafter", "through", "February", "2016", ".", "|", "|", "|", "|", "(", "b", ")", "|", "|", "The", "monthly", "installments", "of", "Base", "Rent", "due", "and", "payable", "to", "Landlord", "for", "the", "area", "of", "the", "Premises", "which", "comprises", "the", "First", "Expansion", "Space", "shall", "increase", "as", "of", "March1", ",", "2016", "(", "based", "on", "an", "annual", "rental", "amount", "of", "$", "18", ".", "00", "per", "square", "foot", ")", ",", "and", "will", "be", "due", "and", "payable", "to", "Landlord", "by", "Tenant", "in", "monthly", "amounts", "of", "$", "2", ",", "539", ".", "50", "commencing", "on", "March1", ",", "2016", ",", "and", "continuing", "on", "the", "first", "(", "1st", ")", "day", "of", "each", "month", "thereafter", "through", "the", "remaining", "Term", "as", "extended", "by", "the", "Third", "Addendum", ".", "|", "|", "|", "Second", "Expansion", "Premise", "|", "|", "5", ".", "|", "|", "(", "a", ")", "|", "|", "Base", "Rent", "for", "the", "area", "of", "the", "Premises", "which", "comprises", "the", "Second", "Expansion", "Space", "shall", "commence", "on", "delivery", "estimated", "to", "be", "July15", ",", "2015", "and", "shall", "be", "due", "and", "payable", "to", "Landlord", "by", "Tenant", "in", "monthly", "installments", "of", "$", "4", ",", "710", ".", "42", "(", "based", "on", "an", "annual", "rental", "amount", "of", "$", "17", ".", "00", "per", "square", "foot", ")", "and", "continuing", "on", "the", "first", "(", "1sl", ")", "day", "of", "each", "month", "thereafter", "through", "February", "2016", ".", "|", "|", "|", "|", "(", "b", ")", "|", "|", "The", "monthly", "Installments", "of", "Base", "Rent", "due", "and", "payable", "to", "Landlord", "for", "the", "area", "of", "the", "Premises", "which", "comprises", "the", "Second", "Expansion", "Space", "shall", "increase", "as", "of", "March1", ",", "2016", "(", "based", "on", "an", "annual", "rental", "amount", "of", "$", "18", ".", "00", "per", "square", "foot", ")", ",", "and", "will", "be", "due", "and", "payable", "to", "Landlord", "by", "Tenant", "In", "monthly", "amounts", "of", "$", "4", ",", "987", ".", "50", "commencing", "on", "March1", ",", "2016", ",", "and", "continuing", "on", "the", "first", "(", "1st", ")", "day", "of", "each", "month", "thereafter", "through", "the", "remaining", "Term", "as", "extended", "by", "the", "Third", "Addendum", ",", "|", "6", ".", "|", "|", "Tenant", "Finish", ":", "The", "Landlords", "Work", "with", "regard", "to", "the", "Second", "Expansion", "Space", "is", "out", "depicted", "and", "described", "on", "Exhibit", "B", "attached", "hereto", "and", "made", "a", "part", "hereof", "(", "the", "Tenant", "Finish", ")", ",", "and", "Tenant", "shall", "be", "responsible", "for", "and", "shall", "pay", "the", "cost", "of", "the", "Tenant", "Finish", ",", "up", "to", "an", "agreed", "aggregate", "maximum", "amount", "of", "$", "207", ",", "788", ".", "00", "(", "the", "Tenant", "Contribution", ")", ",", "in", "two", "stages", "as", "follows", ":", "|", "|", "|", "|", "(", "a", ")", "|", "|", "On", "or", "about", ",", "Landlord", "shall", "provide", "to", "Tenant", "a", "copy", "of", "an", "invoice", "from", "the", "general", "contractor", "(", "the", "General", "Contractor", ")", "for", "one-half", "(", "1", "/", "2", ")", "of", "the", "cost", "of", "the", "Tenant", "Finish", ",", "which", "invoice", "amount", "Tenant", "shall", "directly", "pay", "to", "the", "General", "Contractor", "up", "to", "a", "maximum", "amount", "of", "$", "89", ",", "644", ".", "*", "*", "*"]}
{"id": "14856", "text": "35 PARKWOOD REALTY LLC", "ner": [[1, 3, "Parties"]], "tokenized_text": ["35", "PARKWOOD", "REALTY", "LLC"]}
{"id": "14857", "text": "SPRING BANK PHARMACEUTICALS, INC.", "ner": [], "tokenized_text": ["SPRING", "BANK", "PHARMACEUTICALS", ",", "INC", "."]}
{"id": "14862", "text": "$34,789.94 Months 36 47", "ner": [[0, 5, "Rent"]], "tokenized_text": ["$", "34", ",", "789", ".", "94", "Months", "36", "47"]}
{"id": "14863", "text": "$35,821.84 Months 48 59", "ner": [[0, 5, "Rent"]], "tokenized_text": ["$", "35", ",", "821", ".", "84", "Months", "48", "59"]}
{"id": "14865", "text": "$37,836.52 Months 72 83", "ner": [[0, 5, "Rent"]], "tokenized_text": ["$", "37", ",", "836", ".", "52", "Months", "72", "83"]}
{"id": "14870", "text": "Saul Ewing LLP ---|--- 131 Dartmouth Street, Suite 501", "ner": [[10, 15, "Address"]], "tokenized_text": ["Saul", "Ewing", "LLP", "-", "-", "-", "|", "-", "-", "-", "131", "Dartmouth", "Street", ",", "Suite", "501"]}
{"id": "14872", "text": "Ten (10) years and five (5) months, as described in the Basic Lease Information, subject to adjustments mutually agreed to by Tenant and Landlord and earlier terminations as provided for in the Lease. From the Term Commencement Date until the Rent Commencement Date, Tenant shall be subject to all the terms and conditions of this Lease excepting only the obligation to pay Basic Rent for the Office/Lab Premises.", "ner": [[0, 4, "TerminationDate"], [6, 10, "TerminationDate"], [74, 77, "Title"]], "tokenized_text": ["Ten", "(", "10", ")", "years", "and", "five", "(", "5", ")", "months", ",", "as", "described", "in", "the", "Basic", "Lease", "Information", ",", "subject", "to", "adjustments", "mutually", "agreed", "to", "by", "Tenant", "and", "Landlord", "and", "earlier", "terminations", "as", "provided", "for", "in", "the", "Lease", ".", "From", "the", "Term", "Commencement", "Date", "until", "the", "Rent", "Commencement", "Date", ",", "Tenant", "shall", "be", "subject", "to", "all", "the", "terms", "and", "conditions", "of", "this", "Lease", "excepting", "only", "the", "obligation", "to", "pay", "Basic", "Rent", "for", "the", "Office", "/", "Lab", "Premises", "."]}
{"id": "14874", "text": "(a)With the execution of this Lease, Tenant shall pay to Landlord $233,800.19 as a Security Deposit, which shall be held by Landlord to secure Tenants performance of its obligations under this Lease.The Security Deposit is not an advance payment of Rent or a measure or limit of Landlords damages upon an Event of Default (defined in Section 18).Landlord may, from timetotime following an Event of Default and without prejudice to any other remedy, use all or a part of the Security Deposit to perform any obligation Tenant fails to perform hereunder.Following any such application of the Security Deposit, Tenant shall pay to Landlord on demand the amount so applied in order to restore the Security Deposit to its then-required amount.Provided that Tenant has", "ner": [[15, 20, "Rent"]], "tokenized_text": ["(", "a", ")", "With", "the", "execution", "of", "this", "Lease", ",", "Tenant", "shall", "pay", "to", "Landlord", "$", "233", ",", "800", ".", "19", "as", "a", "Security", "Deposit", ",", "which", "shall", "be", "held", "by", "Landlord", "to", "secure", "Tenants", "performance", "of", "its", "obligations", "under", "this", "Lease", ".", "The", "Security", "Deposit", "is", "not", "an", "advance", "payment", "of", "Rent", "or", "a", "measure", "or", "limit", "of", "Landlords", "damages", "upon", "an", "Event", "of", "Default", "(", "defined", "in", "Section", "18", ")", ".", "Landlord", "may", ",", "from", "timetotime", "following", "an", "Event", "of", "Default", "and", "without", "prejudice", "to", "any", "other", "remedy", ",", "use", "all", "or", "a", "part", "of", "the", "Security", "Deposit", "to", "perform", "any", "obligation", "Tenant", "fails", "to", "perform", "hereunder", ".", "Following", "any", "such", "application", "of", "the", "Security", "Deposit", ",", "Tenant", "shall", "pay", "to", "Landlord", "on", "demand", "the", "amount", "so", "applied", "in", "order", "to", "restore", "the", "Security", "Deposit", "to", "its", "then-required", "amount", ".", "Provided", "that", "Tenant", "has"]}
{"id": "14875", "text": "(a)Landlords Obligations.Landlord shall maintain in good order, condition and repair the Common Areas, the Buildings roof, foundation, exterior walls and windows and structural elements (the Buildings Structure), and the electrical (including lights, ballasts and fixtures), mechanical, plumbing, life safety and HVAC systems serving the Premises, including without limitation the heat pumps located in the Premises (the Heat Pumps) as well as the chillers located elsewhere in the Building but serving the Premises (the Buildings Systems) (but not including those specialized HVAC systems serving the Lab Space, installed as part of the Lab Work or by Tenant following the Term Commencement Date, such systems referred to herein as the Specialized HVAC Systems), including the repair or, if necessary in Landlords reasonable judgment, the replacement of the major components thereof, during the Lease Term.Tenant shall be responsible for the maintenance and repair of any Specialized HVAC Systems, as set forth in Section 9(b) below. Landlord shall not be responsible for alterations to the Buildings Structure required by applicable Law after the Term Commencement Date because of Tenants specific laboratory use (thus not including general office use) of the Premises, which alterations shall be Tenants responsibility.The Buildings Structure does not include interior windows, glass or plate glass, doors within the Premises, locks, special fronts, or office entries, all of which shall be maintained by Tenant.The outside door locks must stay on the master key systems for the Fire Department.Notwithstanding any provision of this Section 7(a) to the contrary, Landlord shall be responsible for compliance of Landlords Work and the Building (including Common Areas but expressly excluding the Premises following performance of Landlords Work), with all Laws, including but not limited to the Americans with Disabilities Act ( the ADA).All costs incurred by Landlord in fulfilling its obligations set forth in this Section 7(a) shall be included in Operating Costs and Tenant shall pay its Proportionate Share thereof to the extent set forth in Section 4(b) above.", "ner": [[340, 343, "Act"]], "tokenized_text": ["(", "a", ")", "Landlords", "Obligations", ".", "Landlord", "shall", "maintain", "in", "good", "order", ",", "condition", "and", "repair", "the", "Common", "Areas", ",", "the", "Buildings", "roof", ",", "foundation", ",", "exterior", "walls", "and", "windows", "and", "structural", "elements", "(", "the", "Buildings", "Structure", ")", ",", "and", "the", "electrical", "(", "including", "lights", ",", "ballasts", "and", "fixtures", ")", ",", "mechanical", ",", "plumbing", ",", "life", "safety", "and", "HVAC", "systems", "serving", "the", "Premises", ",", "including", "without", "limitation", "the", "heat", "pumps", "located", "in", "the", "Premises", "(", "the", "Heat", "Pumps", ")", "as", "well", "as", "the", "chillers", "located", "elsewhere", "in", "the", "Building", "but", "serving", "the", "Premises", "(", "the", "Buildings", "Systems", ")", "(", "but", "not", "including", "those", "specialized", "HVAC", "systems", "serving", "the", "Lab", "Space", ",", "installed", "as", "part", "of", "the", "Lab", "Work", "or", "by", "Tenant", "following", "the", "Term", "Commencement", "Date", ",", "such", "systems", "referred", "to", "herein", "as", "the", "Specialized", "HVAC", "Systems", ")", ",", "including", "the", "repair", "or", ",", "if", "necessary", "in", "Landlords", "reasonable", "judgment", ",", "the", "replacement", "of", "the", "major", "components", "thereof", ",", "during", "the", "Lease", "Term", ".", "Tenant", "shall", "be", "responsible", "for", "the", "maintenance", "and", "repair", "of", "any", "Specialized", "HVAC", "Systems", ",", "as", "set", "forth", "in", "Section", "9", "(", "b", ")", "below", ".", "Landlord", "shall", "not", "be", "responsible", "for", "alterations", "to", "the", "Buildings", "Structure", "required", "by", "applicable", "Law", "after", "the", "Term", "Commencement", "Date", "because", "of", "Tenants", "specific", "laboratory", "use", "(", "thus", "not", "including", "general", "office", "use", ")", "of", "the", "Premises", ",", "which", "alterations", "shall", "be", "Tenants", "responsibility", ".", "The", "Buildings", "Structure", "does", "not", "include", "interior", "windows", ",", "glass", "or", "plate", "glass", ",", "doors", "within", "the", "Premises", ",", "locks", ",", "special", "fronts", ",", "or", "office", "entries", ",", "all", "of", "which", "shall", "be", "maintained", "by", "Tenant", ".", "The", "outside", "door", "locks", "must", "stay", "on", "the", "master", "key", "systems", "for", "the", "Fire", "Department", ".", "Notwithstanding", "any", "provision", "of", "this", "Section", "7", "(", "a", ")", "to", "the", "contrary", ",", "Landlord", "shall", "be", "responsible", "for", "compliance", "of", "Landlords", "Work", "and", "the", "Building", "(", "including", "Common", "Areas", "but", "expressly", "excluding", "the", "Premises", "following", "performance", "of", "Landlords", "Work", ")", ",", "with", "all", "Laws", ",", "including", "but", "not", "limited", "to", "the", "Americans", "with", "Disabilities", "Act", "(", "the", "ADA", ")", ".", "All", "costs", "incurred", "by", "Landlord", "in", "fulfilling", "its", "obligations", "set", "forth", "in", "this", "Section", "7", "(", "a", ")", "shall", "be", "included", "in", "Operating", "Costs", "and", "Tenant", "shall", "pay", "its", "Proportionate", "Share", "thereof", "to", "the", "extent", "set", "forth", "in", "Section", "4", "(", "b", ")", "above", "."]}
{"id": "14884", "text": "1.Subordination.The Lease and any extensions, renewals, replacements or modifications thereof, any purchase options or rights of first refusal, and all of the right, title and interest of the Tenant in and to the Premises are and shall be subject and subordinate to the Mortgage and the Assignment and to all of the terms and conditions contained therein (including, without limitation, the casualty and condemnation provisions of the Mortgage).", "ner": [], "tokenized_text": ["1", ".", "Subordination", ".", "The", "Lease", "and", "any", "extensions", ",", "renewals", ",", "replacements", "or", "modifications", "thereof", ",", "any", "purchase", "options", "or", "rights", "of", "first", "refusal", ",", "and", "all", "of", "the", "right", ",", "title", "and", "interest", "of", "the", "Tenant", "in", "and", "to", "the", "Premises", "are", "and", "shall", "be", "subject", "and", "subordinate", "to", "the", "Mortgage", "and", "the", "Assignment", "and", "to", "all", "of", "the", "terms", "and", "conditions", "contained", "therein", "(", "including", ",", "without", "limitation", ",", "the", "casualty", "and", "condemnation", "provisions", "of", "the", "Mortgage", ")", "."]}
{"id": "14886", "text": "5.Landlord shall provide all door locks in each tenants leased premises, at the cost of such tenant, and no tenant shall place any additional door locks in its leased premises without Landlords prior written consent.On or before the Term Commencement Date, Landlord , at its expense, shall furnish to Tenant a number of card keys equal to the amount of Tenant Parking Spaces for entry into the Premises for Tenants employees who will be working in the Premises.Thereafter during the Term, Landlord will provide up to six (6) replacement card keys per year at its cost, and any additional required card keys shall be at the expense of Tenant.", "ner": [], "tokenized_text": ["5", ".", "Landlord", "shall", "provide", "all", "door", "locks", "in", "each", "tenants", "leased", "premises", ",", "at", "the", "cost", "of", "such", "tenant", ",", "and", "no", "tenant", "shall", "place", "any", "additional", "door", "locks", "in", "its", "leased", "premises", "without", "Landlords", "prior", "written", "consent", ".", "On", "or", "before", "the", "Term", "Commencement", "Date", ",", "Landlord", ",", "at", "its", "expense", ",", "shall", "furnish", "to", "Tenant", "a", "number", "of", "card", "keys", "equal", "to", "the", "amount", "of", "Tenant", "Parking", "Spaces", "for", "entry", "into", "the", "Premises", "for", "Tenants", "employees", "who", "will", "be", "working", "in", "the", "Premises", ".", "Thereafter", "during", "the", "Term", ",", "Landlord", "will", "provide", "up", "to", "six", "(", "6", ")", "replacement", "card", "keys", "per", "year", "at", "its", "cost", ",", "and", "any", "additional", "required", "card", "keys", "shall", "be", "at", "the", "expense", "of", "Tenant", "."]}
{"id": "14888", "text": "BENEFICIARY: 35 PARKWOOD REALTY LLC", "ner": [[3, 5, "Parties"]], "tokenized_text": ["BENEFICIARY", ":", "35", "PARKWOOD", "REALTY", "LLC"]}
{"id": "14894", "text": "ANY SUCH NOTICE SHALL BE EFFECTIVE WHEN SENT BY US AND UPON SUCH NOTICE TO YOU, YOU MAY DRAW AT ANY TIME PRIOR TO THE THEN CURRENT EXPIRATION DATE, UP TO THE FULL AMOUNT THEN AVAILABLE HEREUNDER, AGAINST YOUR DRAFT(S) DRAWN ON US AT SIGHT AND THE ORIGINAL OF THIS LETTER OF CREDIT AND ALL AMENDMENTS THERETO, ACCOMPANIED BY YOURSTATEMENT, SIGNED BY AN AUTHORIZED SIGNATORY,ON YOUR LETTERHEAD STATING THAT YOU ARE IN RECEIPT OF BANK OF AMERICA, N.A.S NOTICE OF NONEXTENSION UNDER LETTER OF CREDIT NO._________ AND THE APPLICANTS OBLIGATION TO YOU REMAINS.", "ner": [], "tokenized_text": ["ANY", "SUCH", "NOTICE", "SHALL", "BE", "EFFECTIVE", "WHEN", "SENT", "BY", "US", "AND", "UPON", "SUCH", "NOTICE", "TO", "YOU", ",", "YOU", "MAY", "DRAW", "AT", "ANY", "TIME", "PRIOR", "TO", "THE", "THEN", "CURRENT", "EXPIRATION", "DATE", ",", "UP", "TO", "THE", "FULL", "AMOUNT", "THEN", "AVAILABLE", "HEREUNDER", ",", "AGAINST", "YOUR", "DRAFT", "(", "S", ")", "DRAWN", "ON", "US", "AT", "SIGHT", "AND", "THE", "ORIGINAL", "OF", "THIS", "LETTER", "OF", "CREDIT", "AND", "ALL", "AMENDMENTS", "THERETO", ",", "ACCOMPANIED", "BY", "YOURSTATEMENT", ",", "SIGNED", "BY", "AN", "AUTHORIZED", "SIGNATORY", ",", "ON", "YOUR", "LETTERHEAD", "STATING", "THAT", "YOU", "ARE", "IN", "RECEIPT", "OF", "BANK", "OF", "AMERICA", ",", "N", ".", "A", ".", "S", "NOTICE", "OF", "NONEXTENSION", "UNDER", "LETTER", "OF", "CREDIT", "NO", ".", "_________", "AND", "THE", "APPLICANTS", "OBLIGATION", "TO", "YOU", "REMAINS", "."]}
{"id": "14895", "text": "SHOULD YOU WISH TO EFFECT A TRANSFER UNDER THIS CREDIT, SUCH TRANSFER WILL BE SUBJECT TO THE RETURN TO US OF THE ORIGINAL CREDIT INSTRUMENT , ACCOMPANIED BY OUR FORM OF TRANSFER, PROPERLY COMPLETED AND SIGNED BY AN AUTHORIZED SIGNATORY OF YOUR FIRM, BEARING YOUR BANKERS STAMP AND SIGNATURE AUTHENTICATION. ALL TRANSFER CHARGES WILL BE FOR THE ACCOUNT OF APPLICANT. SUCH TRANSFER FORM IS ATTACHED HERETO.", "ner": [], "tokenized_text": ["SHOULD", "YOU", "WISH", "TO", "EFFECT", "A", "TRANSFER", "UNDER", "THIS", "CREDIT", ",", "SUCH", "TRANSFER", "WILL", "BE", "SUBJECT", "TO", "THE", "RETURN", "TO", "US", "OF", "THE", "ORIGINAL", "CREDIT", "INSTRUMENT", ",", "ACCOMPANIED", "BY", "OUR", "FORM", "OF", "TRANSFER", ",", "PROPERLY", "COMPLETED", "AND", "SIGNED", "BY", "AN", "AUTHORIZED", "SIGNATORY", "OF", "YOUR", "FIRM", ",", "BEARING", "YOUR", "BANKERS", "STAMP", "AND", "SIGNATURE", "AUTHENTICATION", ".", "ALL", "TRANSFER", "CHARGES", "WILL", "BE", "FOR", "THE", "ACCOUNT", "OF", "APPLICANT", ".", "SUCH", "TRANSFER", "FORM", "IS", "ATTACHED", "HERETO", "."]}
{"id": "14897", "text": "DRAFTS AND DOCUMENTS MUST BE PRESENTED AT OUR OFFICE ADDRESSED: BANK OF AMERICA, N.A., 1 FLEET WAY, SCRANTON, PA 18507-1999, ATTN: GTO - STANDBY DEPT.", "ner": [[11, 18, "Parties"], [20, 27, "Address"]], "tokenized_text": ["DRAFTS", "AND", "DOCUMENTS", "MUST", "BE", "PRESENTED", "AT", "OUR", "OFFICE", "ADDRESSED", ":", "BANK", "OF", "AMERICA", ",", "N", ".", "A", ".", ",", "1", "FLEET", "WAY", ",", "SCRANTON", ",", "PA", "18507-1999", ",", "ATTN", ":", "GTO", "-", "STANDBY", "DEPT", "."]}
{"id": "14898", "text": "The signature and title at the right conform with those shown in our files as authorized to sign for the beneficiary.Policies governing signature authorization as required for withdrawals from customer accounts shall also be applied to the authorization of signatures on this form. The authorization of the Beneficiary's signature and title on this form also acts to certify that the authorizingfinancial institution (i) is regulated by a U.S. federal banking agency; (ii) has implemented anti-money laundering policies and procedures that comply with applicable requirements of law, including a Customer Identification Program (CIP) in accordance with Section 326 of the USA PATRIOT Act; ( iii) has approved the Beneficiary under its anti-money laundering compliance program; and (iv) acknowledges that Bank of America, N.A. is relying on the foregoing certifications pursuant to 31 C.F.R. Section 103 .121 (b)(6).\"", "ner": [[111, 112, "Regulation"], [115, 117, "Act"], [139, 146, "Parties"]], "tokenized_text": ["The", "signature", "and", "title", "at", "the", "right", "conform", "with", "those", "shown", "in", "our", "files", "as", "authorized", "to", "sign", "for", "the", "beneficiary", ".", "Policies", "governing", "signature", "authorization", "as", "required", "for", "withdrawals", "from", "customer", "accounts", "shall", "also", "be", "applied", "to", "the", "authorization", "of", "signatures", "on", "this", "form", ".", "The", "authorization", "of", "the", "Beneficiary", "'", "s", "signature", "and", "title", "on", "this", "form", "also", "acts", "to", "certify", "that", "the", "authorizingfinancial", "institution", "(", "i", ")", "is", "regulated", "by", "a", "U", ".", "S", ".", "federal", "banking", "agency", ";", "(", "ii", ")", "has", "implemented", "anti-money", "laundering", "policies", "and", "procedures", "that", "comply", "with", "applicable", "requirements", "of", "law", ",", "including", "a", "Customer", "Identification", "Program", "(", "CIP", ")", "in", "accordance", "with", "Section", "326", "of", "the", "USA", "PATRIOT", "Act", ";", "(", "iii", ")", "has", "approved", "the", "Beneficiary", "under", "its", "anti-money", "laundering", "compliance", "program", ";", "and", "(", "iv", ")", "acknowledges", "that", "Bank", "of", "America", ",", "N", ".", "A", ".", "is", "relying", "on", "the", "foregoing", "certifications", "pursuant", "to", "31", "C", ".", "F", ".", "R", ".", "Section", "103", ".", "121", "(", "b", ")", "(", "6", ")", ".", "\""]}
{"id": "14904", "text": "c. In consideration of the promises of the Company set forth in the Employment Agreement, Executive hereby releases and discharges the Releasees from any and all Claims that Executive may have against the Releasees arising under the Age Discrimination Employment Act of 1967 , as amended, and the applicable rules and regulations promulgated thereunder (ADEA). Executive acknowledges that he understands that the ADEA is a federal statute that prohibits discrimination on the basis of age in employment, benefits and benefit plans. Executive also understands that, by signing this Agreement, he is waiving all Claims against any and all of the Releasees.", "ner": [[14, 15, "Title"], [39, 44, "Act"]], "tokenized_text": ["c", ".", "In", "consideration", "of", "the", "promises", "of", "the", "Company", "set", "forth", "in", "the", "Employment", "Agreement", ",", "Executive", "hereby", "releases", "and", "discharges", "the", "Releasees", "from", "any", "and", "all", "Claims", "that", "Executive", "may", "have", "against", "the", "Releasees", "arising", "under", "the", "Age", "Discrimination", "Employment", "Act", "of", "1967", ",", "as", "amended", ",", "and", "the", "applicable", "rules", "and", "regulations", "promulgated", "thereunder", "(", "ADEA", ")", ".", "Executive", "acknowledges", "that", "he", "understands", "that", "the", "ADEA", "is", "a", "federal", "statute", "that", "prohibits", "discrimination", "on", "the", "basis", "of", "age", "in", "employment", ",", "benefits", "and", "benefit", "plans", ".", "Executive", "also", "understands", "that", ",", "by", "signing", "this", "Agreement", ",", "he", "is", "waiving", "all", "Claims", "against", "any", "and", "all", "of", "the", "Releasees", "."]}
{"id": "14905", "text": "5. Governing Law. This Agreement and any other document or instrument delivered pursuant hereto, and all claims or causes of action that may be based upon, arise out of or relate to this Agreement will be governed by, and construed under and in accordance with, the internal laws of the State of Delaware, without reference to rules relating to conflicts of laws.", "ner": [[56, 58, "Court"]], "tokenized_text": ["5", ".", "Governing", "Law", ".", "This", "Agreement", "and", "any", "other", "document", "or", "instrument", "delivered", "pursuant", "hereto", ",", "and", "all", "claims", "or", "causes", "of", "action", "that", "may", "be", "based", "upon", ",", "arise", "out", "of", "or", "relate", "to", "this", "Agreement", "will", "be", "governed", "by", ",", "and", "construed", "under", "and", "in", "accordance", "with", ",", "the", "internal", "laws", "of", "the", "State", "of", "Delaware", ",", "without", "reference", "to", "rules", "relating", "to", "conflicts", "of", "laws", "."]}
{"id": "15000", "text": "THIS EMPLOYMENT AGREEMENT (this Agreement) is made and entered into as of March 31, 2017 , by and between Hospitality Investors Trust, Inc. , a Maryland corporation (the Company), and Paul C. Hughes (Executive).", "ner": [[1, 2, "Title"], [14, 17, "EffectiveDate"], [22, 27, "Parties"], [38, 41, "Parties"]], "tokenized_text": ["THIS", "EMPLOYMENT", "AGREEMENT", "(", "this", "Agreement", ")", "is", "made", "and", "entered", "into", "as", "of", "March", "31", ",", "2017", ",", "by", "and", "between", "Hospitality", "Investors", "Trust", ",", "Inc", ".", ",", "a", "Maryland", "corporation", "(", "the", "Company", ")", ",", "and", "Paul", "C", ".", "Hughes", "(", "Executive", ")", "."]}
{"id": "15003", "text": "3.1Base Salary. During the Employment Term, the Company shall pay Executive an annual base salary of $375,000 per annum in cash (the Annual Base Salary). Executives Annual Base Salary will be subject to annual review by the Board. The Annual Base Salary due to Executive hereunder shall be paid in accordance with the general Company payroll practices.", "ner": [[20, 23, "Salary"]], "tokenized_text": ["3", ".", "1Base", "Salary", ".", "During", "the", "Employment", "Term", ",", "the", "Company", "shall", "pay", "Executive", "an", "annual", "base", "salary", "of", "$", "375", ",", "000", "per", "annum", "in", "cash", "(", "the", "Annual", "Base", "Salary", ")", ".", "Executives", "Annual", "Base", "Salary", "will", "be", "subject", "to", "annual", "review", "by", "the", "Board", ".", "The", "Annual", "Base", "Salary", "due", "to", "Executive", "hereunder", "shall", "be", "paid", "in", "accordance", "with", "the", "general", "Company", "payroll", "practices", "."]}
{"id": "15007", "text": "3.4Employee Benefits. The Company agrees to use commercially reasonable efforts to implement employee benefit plan programs as soon as reasonably practicable after the Effective Date that are substantially comparable in the aggregate to those benefit programs in which Executive currently participates, principally health, dental, disability insurance and a 401(k) plan. The Company agrees to pay or reimburse Executive for the annual premiums for the following life and disability insurance policies: (i) whole life insurance under policy number 159210799 with AXA Equitable Life Insurance (the annual premium reimbursement of which is not to exceed $6,120.00 ) and (ii) disability insurance under policy number 7631044 with Principal Life Insurance Company (the annual premium reimbursement of which is not to exceed $6,110.71).", "ner": [[107, 112, "Principal"], [140, 145, "Principal"]], "tokenized_text": ["3", ".", "4Employee", "Benefits", ".", "The", "Company", "agrees", "to", "use", "commercially", "reasonable", "efforts", "to", "implement", "employee", "benefit", "plan", "programs", "as", "soon", "as", "reasonably", "practicable", "after", "the", "Effective", "Date", "that", "are", "substantially", "comparable", "in", "the", "aggregate", "to", "those", "benefit", "programs", "in", "which", "Executive", "currently", "participates", ",", "principally", "health", ",", "dental", ",", "disability", "insurance", "and", "a", "401", "(", "k", ")", "plan", ".", "The", "Company", "agrees", "to", "pay", "or", "reimburse", "Executive", "for", "the", "annual", "premiums", "for", "the", "following", "life", "and", "disability", "insurance", "policies", ":", "(", "i", ")", "whole", "life", "insurance", "under", "policy", "number", "159210799", "with", "AXA", "Equitable", "Life", "Insurance", "(", "the", "annual", "premium", "reimbursement", "of", "which", "is", "not", "to", "exceed", "$", "6", ",", "120", ".", "00", ")", "and", "(", "ii", ")", "disability", "insurance", "under", "policy", "number", "7631044", "with", "Principal", "Life", "Insurance", "Company", "(", "the", "annual", "premium", "reimbursement", "of", "which", "is", "not", "to", "exceed", "$", "6", ",", "110", ".", "71", ")", "."]}
{"id": "10008", "text": "(d)For purposes of this Agreement, Disability shall mean such physical or mental impairment as would render Executive unable to perform each of the essential duties of Executives position by reason of a medically determinable physical or mental impairment which is potentially permanent in character or which can be expected to last for a continuous period of not less than twelve (12) months. Notwithstanding the foregoing, with respect to any payment under this Agreement that is triggered upon a Disability and that constitutes non-qualified deferred compensation subject to Section 409A of the Internal Revenue Code of 1986 , as amended (the Code) and regulations issued thereunder (collectively, Section 409A ), such payment shall not be made until the earliest of: (A) Executives disability within the meaning of Section 409A (a)(2)(C)(i) or (ii) of the Code, (B) the Participant's separation from service within the meaning of Section 409A of the Code and (C) the date such amount would otherwise be made pursuant to the terms of this Agreement.", "ner": [[95, 96, "Regulation"], [99, 103, "Act"]], "tokenized_text": ["(", "d", ")", "For", "purposes", "of", "this", "Agreement", ",", "Disability", "shall", "mean", "such", "physical", "or", "mental", "impairment", "as", "would", "render", "Executive", "unable", "to", "perform", "each", "of", "the", "essential", "duties", "of", "Executives", "position", "by", "reason", "of", "a", "medically", "determinable", "physical", "or", "mental", "impairment", "which", "is", "potentially", "permanent", "in", "character", "or", "which", "can", "be", "expected", "to", "last", "for", "a", "continuous", "period", "of", "not", "less", "than", "twelve", "(", "12", ")", "months", ".", "Notwithstanding", "the", "foregoing", ",", "with", "respect", "to", "any", "payment", "under", "this", "Agreement", "that", "is", "triggered", "upon", "a", "Disability", "and", "that", "constitutes", "non-qualified", "deferred", "compensation", "subject", "to", "Section", "409A", "of", "the", "Internal", "Revenue", "Code", "of", "1986", ",", "as", "amended", "(", "the", "Code", ")", "and", "regulations", "issued", "thereunder", "(", "collectively", ",", "Section", "409A", ")", ",", "such", "payment", "shall", "not", "be", "made", "until", "the", "earliest", "of", ":", "(", "A", ")", "Executives", "disability", "within", "the", "meaning", "of", "Section", "409A", "(", "a", ")", "(", "2", ")", "(", "C", ")", "(", "i", ")", "or", "(", "ii", ")", "of", "the", "Code", ",", "(", "B", ")", "the", "Participant", "'", "s", "separation", "from", "service", "within", "the", "meaning", "of", "Section", "409A", "of", "the", "Code", "and", "(", "C", ")", "the", "date", "such", "amount", "would", "otherwise", "be", "made", "pursuant", "to", "the", "terms", "of", "this", "Agreement", "."]}
{"id": "13010", "text": "4.7No Other Benefits. Payments and benefits provided in Section 4.3 shall be in lieu of any termination or severance payments or benefits for which Executive may be eligible under any of the plans, policies or programs of the Company or under the Worker Adjustment Retraining Notification Act of 1988 or any similar state statute or regulation.", "ner": [[48, 54, "Act"]], "tokenized_text": ["4", ".", "7No", "Other", "Benefits", ".", "Payments", "and", "benefits", "provided", "in", "Section", "4", ".", "3", "shall", "be", "in", "lieu", "of", "any", "termination", "or", "severance", "payments", "or", "benefits", "for", "which", "Executive", "may", "be", "eligible", "under", "any", "of", "the", "plans", ",", "policies", "or", "programs", "of", "the", "Company", "or", "under", "the", "Worker", "Adjustment", "Retraining", "Notification", "Act", "of", "1988", "or", "any", "similar", "state", "statute", "or", "regulation", "."]}
{"id": "15011", "text": "To Executive: | At Executives address as may from time to time be on file with the Company. ---|--- | To the Company: | 3950 University Drive, Fairfax, Virginia 22030", "ner": [[33, 40, "Address"]], "tokenized_text": ["To", "Executive", ":", "|", "At", "Executives", "address", "as", "may", "from", "time", "to", "time", "be", "on", "file", "with", "the", "Company", ".", "-", "-", "-", "|", "-", "-", "-", "|", "To", "the", "Company", ":", "|", "3950", "University", "Drive", ",", "Fairfax", ",", "Virginia", "22030"]}
{"id": "15012", "text": "6.7Governing Law. The parties agree that this Agreement shall be governed by, interpreted and construed in accordance with the internal laws of the State of New York without regard to its conflicts of law provisions.", "ner": [[27, 30, "Court"]], "tokenized_text": ["6", ".", "7Governing", "Law", ".", "The", "parties", "agree", "that", "this", "Agreement", "shall", "be", "governed", "by", ",", "interpreted", "and", "construed", "in", "accordance", "with", "the", "internal", "laws", "of", "the", "State", "of", "New", "York", "without", "regard", "to", "its", "conflicts", "of", "law", "provisions", "."]}
{"id": "12014", "text": "| HOSPITALITY INVESTORS TRUST, INC. ---|--- | | | By: | /s/ Jonathan P. Mehlman | Name:Jonathan P. Mehlman | Its:President and Chief Executive Officer | | EXECUTIVE | | | By: | /s/ Paul C. Hughes | Name: Paul C. Hughes", "ner": [[1, 6, "Parties"], [23, 26, "Parties"], [37, 37, "Role"], [39, 41, "Role"], [44, 44, "Role"], [54, 57, "Parties"]], "tokenized_text": ["|", "HOSPITALITY", "INVESTORS", "TRUST", ",", "INC", ".", "-", "-", "-", "|", "-", "-", "-", "|", "|", "|", "By", ":", "|", "/", "s", "/", "Jonathan", "P", ".", "Mehlman", "|", "Name", ":", "Jonathan", "P", ".", "Mehlman", "|", "Its", ":", "President", "and", "Chief", "Executive", "Officer", "|", "|", "EXECUTIVE", "|", "|", "|", "By", ":", "|", "/", "s", "/", "Paul", "C", ".", "Hughes", "|", "Name", ":", "Paul", "C", ".", "Hughes"]}
{"id": "15015", "text": "This General Release and Waiver Agreement (the General Release) is made as of the ___ day of __________, 20__ between Hospitality Investors Trust, Inc. (the Company) and Paul C. Hughes (the Executive).", "ner": [[4, 5, "Title"], [23, 28, "Parties"], [34, 37, "Parties"]], "tokenized_text": ["This", "General", "Release", "and", "Waiver", "Agreement", "(", "the", "General", "Release", ")", "is", "made", "as", "of", "the", "___", "day", "of", "__________", ",", "20__", "between", "Hospitality", "Investors", "Trust", ",", "Inc", ".", "(", "the", "Company", ")", "and", "Paul", "C", ".", "Hughes", "(", "the", "Executive", ")", "."]}
{"id": "15016", "text": "WHEREAS, Executive and the Company entered into an Employment Agreement dated as of March 31, 2017 (the Employment Agreement), that provides for certain compensation and severance amounts upon his termination of employment and to which this form of General Release is appended and made a part thereof; and", "ner": [[2, 2, "Parties"], [5, 5, "Parties"], [9, 10, "Title"], [14, 17, "TerminationDate"]], "tokenized_text": ["WHEREAS", ",", "Executive", "and", "the", "Company", "entered", "into", "an", "Employment", "Agreement", "dated", "as", "of", "March", "31", ",", "2017", "(", "the", "Employment", "Agreement", ")", ",", "that", "provides", "for", "certain", "compensation", "and", "severance", "amounts", "upon", "his", "termination", "of", "employment", "and", "to", "which", "this", "form", "of", "General", "Release", "is", "appended", "and", "made", "a", "part", "thereof", ";", "and"]}
{"id": "15019", "text": "| EXECUTIVE ---|--- | | | By: | | | Name: Paul C. Hughes | | Date:", "ner": [[19, 22, "PII_Ref"]], "tokenized_text": ["|", "EXECUTIVE", "-", "-", "-", "|", "-", "-", "-", "|", "|", "|", "By", ":", "|", "|", "|", "Name", ":", "Paul", "C", ".", "Hughes", "|", "|", "Date", ":"]}
{"id": "15022", "text": "Employer employs Executive and Executive accepts employment with Employer as Chairman , President and Chief Executive Officer of Northrim BanCorp, Inc . and Chairman of Northrim Bank.", "ner": [[10, 10, "Role"], [12, 12, "Role"], [14, 16, "Role"], [18, 22, "Parties"]], "tokenized_text": ["Employer", "employs", "Executive", "and", "Executive", "accepts", "employment", "with", "Employer", "as", "Chairman", ",", "President", "and", "Chief", "Executive", "Officer", "of", "Northrim", "BanCorp", ",", "Inc", ".", "and", "Chairman", "of", "Northrim", "Bank", "."]}
{"id": "10025", "text": "a. Base Salary. In consideration for all services rendered by Executive during the term of this Agreement, Employer shall pay Executive an annual base salary (before all customary and proper payroll deductions) of $199,000 as adjusted from time to time (Base Salary). The Board of Directors of the Employer shall review Executives salary each year, in a manner consistent with that used for all management employees of the Employer, and in its sole discretion may adjust such salary commensurate with the Executives performance and responsibilities under this Agreement.", "ner": [[38, 41, "Salary"], [54, 56, "Role"]], "tokenized_text": ["a", ".", "Base", "Salary", ".", "In", "consideration", "for", "all", "services", "rendered", "by", "Executive", "during", "the", "term", "of", "this", "Agreement", ",", "Employer", "shall", "pay", "Executive", "an", "annual", "base", "salary", "(", "before", "all", "customary", "and", "proper", "payroll", "deductions", ")", "of", "$", "199", ",", "000", "as", "adjusted", "from", "time", "to", "time", "(", "Base", "Salary", ")", ".", "The", "Board", "of", "Directors", "of", "the", "Employer", "shall", "review", "Executives", "salary", "each", "year", ",", "in", "a", "manner", "consistent", "with", "that", "used", "for", "all", "management", "employees", "of", "the", "Employer", ",", "and", "in", "its", "sole", "discretion", "may", "adjust", "such", "salary", "commensurate", "with", "the", "Executives", "performance", "and", "responsibilities", "under", "this", "Agreement", "."]}
{"id": "15026", "text": "d. Expenses. Employer shall reimburse Executive for his reasonable expenses (including, without limitation, travel, entertainment, and similar expenses) incurred in performing and promoting the business of Employer. Executive shall present from time to time itemized accounts and receipts of any such expenses as required by Employer, subject to any limits of company policy and the rules and regulations of the Internal Revenue Service, including the Internal Revenue Code , (referred to throughout this Agreement as IRC or the Code).", "ner": [[70, 72, "Act"], [76, 78, "Act"]], "tokenized_text": ["d", ".", "Expenses", ".", "Employer", "shall", "reimburse", "Executive", "for", "his", "reasonable", "expenses", "(", "including", ",", "without", "limitation", ",", "travel", ",", "entertainment", ",", "and", "similar", "expenses", ")", "incurred", "in", "performing", "and", "promoting", "the", "business", "of", "Employer", ".", "Executive", "shall", "present", "from", "time", "to", "time", "itemized", "accounts", "and", "receipts", "of", "any", "such", "expenses", "as", "required", "by", "Employer", ",", "subject", "to", "any", "limits", "of", "company", "policy", "and", "the", "rules", "and", "regulations", "of", "the", "Internal", "Revenue", "Service", ",", "including", "the", "Internal", "Revenue", "Code", ",", "(", "referred", "to", "throughout", "this", "Agreement", "as", "IRC", "or", "the", "Code", ")", "."]}
{"id": "15030", "text": "d. Termination Due to Disability. If Employer terminates Executives employment on account of any mental or physical Disability that prevents Executive from performing his essential job functions, even with reasonable accommodation, Executive shall be entitled to: (i) all Base Salary earned and reimbursement for expenses incurred under this Agreement through the termination date, (ii) full Base Salary for the year following the termination date (less the amount of any payments received by Executive during such one (1) year period under any Employersponsored disability plan), and (iii) health and dental insurance benefits for a period of one (1) year following the termination date, which benefits will be provided at Employers expense, but such period shall count towards the Employers continuation of coverage obligation under Section 4980B of Code (commonly referred to as COBRA ). All such compensation shall be paid Executive in one (1) lump sum the first day of the month following a period of six (6) months after Executives employment was terminated, provided that Executive has signed a Release Agreement which has become irrevocable prior to the payment date.", "ner": [[86, 90, "TerminationDate"], [153, 153, "Act"], [180, 184, "TerminationDate"], [197, 198, "Title"]], "tokenized_text": ["d", ".", "Termination", "Due", "to", "Disability", ".", "If", "Employer", "terminates", "Executives", "employment", "on", "account", "of", "any", "mental", "or", "physical", "Disability", "that", "prevents", "Executive", "from", "performing", "his", "essential", "job", "functions", ",", "even", "with", "reasonable", "accommodation", ",", "Executive", "shall", "be", "entitled", "to", ":", "(", "i", ")", "all", "Base", "Salary", "earned", "and", "reimbursement", "for", "expenses", "incurred", "under", "this", "Agreement", "through", "the", "termination", "date", ",", "(", "ii", ")", "full", "Base", "Salary", "for", "the", "year", "following", "the", "termination", "date", "(", "less", "the", "amount", "of", "any", "payments", "received", "by", "Executive", "during", "such", "one", "(", "1", ")", "year", "period", "under", "any", "Employersponsored", "disability", "plan", ")", ",", "and", "(", "iii", ")", "health", "and", "dental", "insurance", "benefits", "for", "a", "period", "of", "one", "(", "1", ")", "year", "following", "the", "termination", "date", ",", "which", "benefits", "will", "be", "provided", "at", "Employers", "expense", ",", "but", "such", "period", "shall", "count", "towards", "the", "Employers", "continuation", "of", "coverage", "obligation", "under", "Section", "4980B", "of", "Code", "(", "commonly", "referred", "to", "as", "COBRA", ")", ".", "All", "such", "compensation", "shall", "be", "paid", "Executive", "in", "one", "(", "1", ")", "lump", "sum", "the", "first", "day", "of", "the", "month", "following", "a", "period", "of", "six", "(", "6", ")", "months", "after", "Executives", "employment", "was", "terminated", ",", "provided", "that", "Executive", "has", "signed", "a", "Release", "Agreement", "which", "has", "become", "irrevocable", "prior", "to", "the", "payment", "date", "."]}
{"id": "15031", "text": "(i) Change of Control. For purposes of this Agreement, the term Change of Control shall mean the occurrence of one or more of the following events: (A) one (1) person or entity acquiring or otherwise becoming the owner of twenty- five percent (25%) or more of Employers outstanding common stock; (B) replacement of a majority of the incumbent directors of Northrim BanCorp, Inc . or Northrim Bank by directors whose elections have not been supported by a majority of the Board of either company, as appropriate; (C) dissolution or sale of fifty percent (50%) or more in value of the assets, of either Northrim BanCorp, Inc . or Northrim Bank; or (D) a change in the ownership or effective control or in the ownership of a substantial portion of the assets of Employer, within the meaning of Section 280G of the Internal Revenue Code .", "ner": [[48, 54, "Percentage"], [76, 80, "Parties"], [115, 116, "Percentage"], [171, 173, "Act"]], "tokenized_text": ["(", "i", ")", "Change", "of", "Control", ".", "For", "purposes", "of", "this", "Agreement", ",", "the", "term", "Change", "of", "Control", "shall", "mean", "the", "occurrence", "of", "one", "or", "more", "of", "the", "following", "events", ":", "(", "A", ")", "one", "(", "1", ")", "person", "or", "entity", "acquiring", "or", "otherwise", "becoming", "the", "owner", "of", "twenty", "-", "five", "percent", "(", "25", "%", ")", "or", "more", "of", "Employers", "outstanding", "common", "stock", ";", "(", "B", ")", "replacement", "of", "a", "majority", "of", "the", "incumbent", "directors", "of", "Northrim", "BanCorp", ",", "Inc", ".", "or", "Northrim", "Bank", "by", "directors", "whose", "elections", "have", "not", "been", "supported", "by", "a", "majority", "of", "the", "Board", "of", "either", "company", ",", "as", "appropriate", ";", "(", "C", ")", "dissolution", "or", "sale", "of", "fifty", "percent", "(", "50", "%", ")", "or", "more", "in", "value", "of", "the", "assets", ",", "of", "either", "Northrim", "BanCorp", ",", "Inc", ".", "or", "Northrim", "Bank", ";", "or", "(", "D", ")", "a", "change", "in", "the", "ownership", "or", "effective", "control", "or", "in", "the", "ownership", "of", "a", "substantial", "portion", "of", "the", "assets", "of", "Employer", ",", "within", "the", "meaning", "of", "Section", "280G", "of", "the", "Internal", "Revenue", "Code", "."]}
{"id": "15033", "text": "Address on file with Northrim BanCorp, Inc . Human Resources Department.", "ner": [], "tokenized_text": ["Address", "on", "file", "with", "Northrim", "BanCorp", ",", "Inc", ".", "Human", "Resources", "Department", "."]}
{"id": "15034", "text": "f. This Agreement shall in all respects, including all matters of construction, validity and performance, be governed by and construed and enforced according to the laws of the State of Alaska .", "ner": [[32, 34, "Court"]], "tokenized_text": ["f", ".", "This", "Agreement", "shall", "in", "all", "respects", ",", "including", "all", "matters", "of", "construction", ",", "validity", "and", "performance", ",", "be", "governed", "by", "and", "construed", "and", "enforced", "according", "to", "the", "laws", "of", "the", "State", "of", "Alaska", "."]}
{"id": "15037", "text": "Its: Chairman of the Compensation Committee of the Board of Directors", "ner": [[2, 2, "Role"], [5, 6, "Title"]], "tokenized_text": ["Its", ":", "Chairman", "of", "the", "Compensation", "Committee", "of", "the", "Board", "of", "Directors"]}
{"id": "15040", "text": "3.Base Salary. For all services rendered to SDSP, Employee shall be paid a salary at an annual rate of $124,000 per year, to be established from time to time by the Chief Executive Officer (the \"Base Salary\"). SDSP may modify the Base Salary at any time. The Base Salary shall be paid in periodic installments in accordance with SDSP's regular payroll practices. The Base Salary shall be subject to tax and other deductions and withholdings as required by law.", "ner": [[23, 26, "Salary"], [39, 41, "Role"]], "tokenized_text": ["3", ".", "Base", "Salary", ".", "For", "all", "services", "rendered", "to", "SDSP", ",", "Employee", "shall", "be", "paid", "a", "salary", "at", "an", "annual", "rate", "of", "$", "124", ",", "000", "per", "year", ",", "to", "be", "established", "from", "time", "to", "time", "by", "the", "Chief", "Executive", "Officer", "(", "the", "\"", "Base", "Salary", "\"", ")", ".", "SDSP", "may", "modify", "the", "Base", "Salary", "at", "any", "time", ".", "The", "Base", "Salary", "shall", "be", "paid", "in", "periodic", "installments", "in", "accordance", "with", "SDSP", "'", "s", "regular", "payroll", "practices", ".", "The", "Base", "Salary", "shall", "be", "subject", "to", "tax", "and", "other", "deductions", "and", "withholdings", "as", "required", "by", "law", "."]}
{"id": "13042", "text": "/s/ Mark Hyde |", "ner": [[3, 4, "Parties"]], "tokenized_text": ["/", "s", "/", "Mark", "Hyde", "|"]}
{"id": "15043", "text": "This EMPLOYMENT AGREEMENT (this Agreement) is entered into as of January16, 2017 (the Effective Date) by and between Citizens, Inc. , a Colorado corporation (the Company), and Geoffrey M. Kolander (the Executive) (each, a Party and together, the Parties).", "ner": [[1, 2, "Title"], [12, 14, "EffectiveDate"], [23, 26, "Parties"], [37, 40, "Parties"]], "tokenized_text": ["This", "EMPLOYMENT", "AGREEMENT", "(", "this", "Agreement", ")", "is", "entered", "into", "as", "of", "January16", ",", "2017", "(", "the", "Effective", "Date", ")", "by", "and", "between", "Citizens", ",", "Inc", ".", ",", "a", "Colorado", "corporation", "(", "the", "Company", ")", ",", "and", "Geoffrey", "M", ".", "Kolander", "(", "the", "Executive", ")", "(", "each", ",", "a", "Party", "and", "together", ",", "the", "Parties", ")", "."]}
{"id": "14045", "text": "(a)Unless earlier terminated in accordance with Section5, the Executives employment hereunder shall be for a term commencing as of the Effective Date and ending on the fourth (4th) anniversary of the Effective Date (the Initial Term),subject to automatic renewal for additional one (1)year periods unless either Party provides the other Party with ninety (90)days notice of such Partys intent not to renew (the Initial Term and any such renewal, the Term). The Companys election not to renew this Agreement shall not constitute a termination by the Company without Cause or a CIC Termination or constitute Good Reason (each as defined below); provided, that, notwithstanding anything to the contrary in this Section1, upon the occurrence of a Change in Control (as defined below), the Term shall automatically extend until the later of (i)the second (2nd) anniversary of such Change in Control and (ii)the date upon which the Initial Term would otherwise have ended.", "ner": [[29, 38, "TerminationDate"], [51, 55, "RenewalTerm"], [164, 173, "TerminationDate"]], "tokenized_text": ["(", "a", ")", "Unless", "earlier", "terminated", "in", "accordance", "with", "Section5", ",", "the", "Executives", "employment", "hereunder", "shall", "be", "for", "a", "term", "commencing", "as", "of", "the", "Effective", "Date", "and", "ending", "on", "the", "fourth", "(", "4th", ")", "anniversary", "of", "the", "Effective", "Date", "(", "the", "Initial", "Term", ")", ",", "subject", "to", "automatic", "renewal", "for", "additional", "one", "(", "1", ")", "year", "periods", "unless", "either", "Party", "provides", "the", "other", "Party", "with", "ninety", "(", "90", ")", "days", "notice", "of", "such", "Partys", "intent", "not", "to", "renew", "(", "the", "Initial", "Term", "and", "any", "such", "renewal", ",", "the", "Term", ")", ".", "The", "Companys", "election", "not", "to", "renew", "this", "Agreement", "shall", "not", "constitute", "a", "termination", "by", "the", "Company", "without", "Cause", "or", "a", "CIC", "Termination", "or", "constitute", "Good", "Reason", "(", "each", "as", "defined", "below", ")", ";", "provided", ",", "that", ",", "notwithstanding", "anything", "to", "the", "contrary", "in", "this", "Section1", ",", "upon", "the", "occurrence", "of", "a", "Change", "in", "Control", "(", "as", "defined", "below", ")", ",", "the", "Term", "shall", "automatically", "extend", "until", "the", "later", "of", "(", "i", ")", "the", "second", "(", "2nd", ")", "anniversary", "of", "such", "Change", "in", "Control", "and", "(", "ii", ")", "the", "date", "upon", "which", "the", "Initial", "Term", "would", "otherwise", "have", "ended", "."]}
{"id": "15047", "text": "(a)Base Salary. During the Term, the Company shall pay the Executive a base salary at the rate of $600,000 per year (the Base Salary), payable in regular installments in accordance with the Companys customary payroll practices. The Board or the Compensation Committee of the Board (the Committee) shall, no less frequently than annually, review the Executives Base Salary and, in its sole discretion, may increase the Executives Base Salary. Except as otherwise agreed in writing by the Executive, the Base Salary shall not be reduced from the amount previously in effect. Upon any such increase, the increased amount shall thereafter be deemed to be the Base Salary for purposes of this Agreement.", "ner": [[23, 26, "Salary"]], "tokenized_text": ["(", "a", ")", "Base", "Salary", ".", "During", "the", "Term", ",", "the", "Company", "shall", "pay", "the", "Executive", "a", "base", "salary", "at", "the", "rate", "of", "$", "600", ",", "000", "per", "year", "(", "the", "Base", "Salary", ")", ",", "payable", "in", "regular", "installments", "in", "accordance", "with", "the", "Companys", "customary", "payroll", "practices", ".", "The", "Board", "or", "the", "Compensation", "Committee", "of", "the", "Board", "(", "the", "Committee", ")", "shall", ",", "no", "less", "frequently", "than", "annually", ",", "review", "the", "Executives", "Base", "Salary", "and", ",", "in", "its", "sole", "discretion", ",", "may", "increase", "the", "Executives", "Base", "Salary", ".", "Except", "as", "otherwise", "agreed", "in", "writing", "by", "the", "Executive", ",", "the", "Base", "Salary", "shall", "not", "be", "reduced", "from", "the", "amount", "previously", "in", "effect", ".", "Upon", "any", "such", "increase", ",", "the", "increased", "amount", "shall", "thereafter", "be", "deemed", "to", "be", "the", "Base", "Salary", "for", "purposes", "of", "this", "Agreement", "."]}
{"id": "15048", "text": "(c)Retention Award. In addition to the Base Salary and Annual Bonus, the Executive shall be eligible to receive a retention award (the Retention Award) of $600,000 , which will be payable in two installments of $300,000 each, on or within fifteen (15)days of December15, 2018 and December15, 2019, subject to the Executives continued employment with the Company on each applicable payment date, except as otherwise provided in Section6.", "ner": [[32, 35, "Salary"], [45, 48, "Salary"]], "tokenized_text": ["(", "c", ")", "Retention", "Award", ".", "In", "addition", "to", "the", "Base", "Salary", "and", "Annual", "Bonus", ",", "the", "Executive", "shall", "be", "eligible", "to", "receive", "a", "retention", "award", "(", "the", "Retention", "Award", ")", "of", "$", "600", ",", "000", ",", "which", "will", "be", "payable", "in", "two", "installments", "of", "$", "300", ",", "000", "each", ",", "on", "or", "within", "fifteen", "(", "15", ")", "days", "of", "December15", ",", "2018", "and", "December15", ",", "2019", ",", "subject", "to", "the", "Executives", "continued", "employment", "with", "the", "Company", "on", "each", "applicable", "payment", "date", ",", "except", "as", "otherwise", "provided", "in", "Section6", "."]}
{"id": "15051", "text": "(A)Change in Control shall mean (1)the dissolution or liquidation of the Company, (2)the merger, consolidation, or reorganization of the Company with one or more other entities in which the Company is not the surviving entity or immediately following which the persons or entities who were beneficial owners (as determined pursuant to Rule 13d-3 under the Securities Exchange Act of 1934 , as amended (the Exchange Act )) of voting securities of the Company immediately prior thereto cease to beneficially own more than fifty percent (50%) of the voting securities of the surviving entity immediately thereafter; (3)a sale of all or substantially all of the assets of the Company to another person or entity; (4)the transfer of at least a majority of the Companys ClassB Common Stock from the Harold E. Riley Trust to an individual other than Harold E. Riley, an entity not beneficially owned by Harold E. Riley or a trust not controlled by Harold E. Riley; (5)the exercise of a power of attorney granted by Harold E. Riley over the Companys ClassB Common Stock; (6)any transaction (including without limitation a merger or reorganization in which the Company is the surviving entity) that results in any person or entity or group (within the meaning of Section 13(d)(3) or 14(d)(2) of the Exchange Act ) ( other than persons who are shareholders or affiliates immediately prior to the", "ner": [[64, 65, "Regulation"], [68, 72, "Act"], [100, 101, "Percentage"]], "tokenized_text": ["(", "A", ")", "Change", "in", "Control", "shall", "mean", "(", "1", ")", "the", "dissolution", "or", "liquidation", "of", "the", "Company", ",", "(", "2", ")", "the", "merger", ",", "consolidation", ",", "or", "reorganization", "of", "the", "Company", "with", "one", "or", "more", "other", "entities", "in", "which", "the", "Company", "is", "not", "the", "surviving", "entity", "or", "immediately", "following", "which", "the", "persons", "or", "entities", "who", "were", "beneficial", "owners", "(", "as", "determined", "pursuant", "to", "Rule", "13d-3", "under", "the", "Securities", "Exchange", "Act", "of", "1934", ",", "as", "amended", "(", "the", "Exchange", "Act", ")", ")", "of", "voting", "securities", "of", "the", "Company", "immediately", "prior", "thereto", "cease", "to", "beneficially", "own", "more", "than", "fifty", "percent", "(", "50", "%", ")", "of", "the", "voting", "securities", "of", "the", "surviving", "entity", "immediately", "thereafter", ";", "(", "3", ")", "a", "sale", "of", "all", "or", "substantially", "all", "of", "the", "assets", "of", "the", "Company", "to", "another", "person", "or", "entity", ";", "(", "4", ")", "the", "transfer", "of", "at", "least", "a", "majority", "of", "the", "Companys", "ClassB", "Common", "Stock", "from", "the", "Harold", "E", ".", "Riley", "Trust", "to", "an", "individual", "other", "than", "Harold", "E", ".", "Riley", ",", "an", "entity", "not", "beneficially", "owned", "by", "Harold", "E", ".", "Riley", "or", "a", "trust", "not", "controlled", "by", "Harold", "E", ".", "Riley", ";", "(", "5", ")", "the", "exercise", "of", "a", "power", "of", "attorney", "granted", "by", "Harold", "E", ".", "Riley", "over", "the", "Companys", "ClassB", "Common", "Stock", ";", "(", "6", ")", "any", "transaction", "(", "including", "without", "limitation", "a", "merger", "or", "reorganization", "in", "which", "the", "Company", "is", "the", "surviving", "entity", ")", "that", "results", "in", "any", "person", "or", "entity", "or", "group", "(", "within", "the", "meaning", "of", "Section", "13", "(", "d", ")", "(", "3", ")", "or", "14", "(", "d", ")", "(", "2", ")", "of", "the", "Exchange", "Act", ")", "(", "other", "than", "persons", "who", "are", "shareholders", "or", "affiliates", "immediately", "prior", "to", "the"]}
{"id": "15054", "text": "Arbitration Act ( 9 U.S.C. 1 et seq.) (FAA). The statute of limitations shall be tolled during any mediation conducted pursuant to this agreement. Any mediation and arbitration shall be conducted in accordance with the Employment Arbitration Rules and Mediation Procedures of the American Arbitration Association (AAA Rules) then in effect, and in the case of any claim subject to arbitration, not by court or jury trial. The mediation and arbitration shall be conducted within 20 miles of where the Executive is or was last employed by the Company, unless the Parties agree otherwise in writing. The AAA Rules may be found at www.adr.org or by searching for AAA Employment Arbitration Rules and Mediation Procedures using a service such as www.Google.com.", "ner": [[0, 1, "Act"], [3, 10, "Regulation"]], "tokenized_text": ["Arbitration", "Act", "(", "9", "U", ".", "S", ".", "C", ".", "1", "et", "seq", ".", ")", "(", "FAA", ")", ".", "The", "statute", "of", "limitations", "shall", "be", "tolled", "during", "any", "mediation", "conducted", "pursuant", "to", "this", "agreement", ".", "Any", "mediation", "and", "arbitration", "shall", "be", "conducted", "in", "accordance", "with", "the", "Employment", "Arbitration", "Rules", "and", "Mediation", "Procedures", "of", "the", "American", "Arbitration", "Association", "(", "AAA", "Rules", ")", "then", "in", "effect", ",", "and", "in", "the", "case", "of", "any", "claim", "subject", "to", "arbitration", ",", "not", "by", "court", "or", "jury", "trial", ".", "The", "mediation", "and", "arbitration", "shall", "be", "conducted", "within", "20", "miles", "of", "where", "the", "Executive", "is", "or", "was", "last", "employed", "by", "the", "Company", ",", "unless", "the", "Parties", "agree", "otherwise", "in", "writing", ".", "The", "AAA", "Rules", "may", "be", "found", "at", "www", ".", "adr", ".", "org", "or", "by", "searching", "for", "AAA", "Employment", "Arbitration", "Rules", "and", "Mediation", "Procedures", "using", "a", "service", "such", "as", "www", ".", "Google", ".", "com", "."]}
{"id": "15056", "text": "This agreement to arbitrate does not prevent the Executive from filing a complaint or charge with the U.S. Department of Labor, Equal Employment Opportunity Commission, National Labor Relations Board or any other similar governmental agency. Disputes that may not be subject to pre-dispute arbitration agreement as provided by the Dodd-Frank Wall Street Reform and Consumer Protection Act ( Public Law 111-203 ) or other act of Congress are also excluded from the coverage of this Section12. The Company shall be responsible for the first $75,000 of mediators or arbitrators fees of any mediation or arbitration related to this Agreement and any such fees in excess of such amount shall be split evenly between the Company and the Executive.The Company and the Executive shall be responsible for their own attorneys fees in connection with any dispute between the parties, including any dispute covered by this Section12. The arbitrator may award only those remedies that would have applied had the matter been heard in court. Judgment may be entered on the arbitrators decision in any court having jurisdiction. Either the Executive or the Company may apply to a court of competent jurisdiction for temporary or preliminary injunctive relief in connection with an arbitrable controversy, but only upon the grounds that the award to which that party may be entitled may be rendered ineffectual", "ner": [[25, 28, "Parties"], [30, 33, "Parties"], [55, 62, "Act"], [64, 66, "Regulation"], [91, 94, "Salary"]], "tokenized_text": ["This", "agreement", "to", "arbitrate", "does", "not", "prevent", "the", "Executive", "from", "filing", "a", "complaint", "or", "charge", "with", "the", "U", ".", "S", ".", "Department", "of", "Labor", ",", "Equal", "Employment", "Opportunity", "Commission", ",", "National", "Labor", "Relations", "Board", "or", "any", "other", "similar", "governmental", "agency", ".", "Disputes", "that", "may", "not", "be", "subject", "to", "pre-dispute", "arbitration", "agreement", "as", "provided", "by", "the", "Dodd-Frank", "Wall", "Street", "Reform", "and", "Consumer", "Protection", "Act", "(", "Public", "Law", "111-203", ")", "or", "other", "act", "of", "Congress", "are", "also", "excluded", "from", "the", "coverage", "of", "this", "Section12", ".", "The", "Company", "shall", "be", "responsible", "for", "the", "first", "$", "75", ",", "000", "of", "mediators", "or", "arbitrators", "fees", "of", "any", "mediation", "or", "arbitration", "related", "to", "this", "Agreement", "and", "any", "such", "fees", "in", "excess", "of", "such", "amount", "shall", "be", "split", "evenly", "between", "the", "Company", "and", "the", "Executive", ".", "The", "Company", "and", "the", "Executive", "shall", "be", "responsible", "for", "their", "own", "attorneys", "fees", "in", "connection", "with", "any", "dispute", "between", "the", "parties", ",", "including", "any", "dispute", "covered", "by", "this", "Section12", ".", "The", "arbitrator", "may", "award", "only", "those", "remedies", "that", "would", "have", "applied", "had", "the", "matter", "been", "heard", "in", "court", ".", "Judgment", "may", "be", "entered", "on", "the", "arbitrators", "decision", "in", "any", "court", "having", "jurisdiction", ".", "Either", "the", "Executive", "or", "the", "Company", "may", "apply", "to", "a", "court", "of", "competent", "jurisdiction", "for", "temporary", "or", "preliminary", "injunctive", "relief", "in", "connection", "with", "an", "arbitrable", "controversy", ",", "but", "only", "upon", "the", "grounds", "that", "the", "award", "to", "which", "that", "party", "may", "be", "entitled", "may", "be", "rendered", "ineffectual"]}
{"id": "15061", "text": "1. | Position and Duties. ---|--- 1.1Employment; Titles; Reporting. The Company agrees to continue to employ the Employee and the Employee agrees to continue employment with the Company, upon the terms and subject to the conditions provided under this Agreement. During the Employment Term (as defined in Section2), the Employee will serve each of the Company and Linn Energy as the Senior Vice President , Corporate Services. In such capacity, the Employee will report to the Board of Directors of Linn Energy (including any committee thereof, the Board) and otherwise will be subject to the direction and control of the Board, and the Employee will have such duties, responsibilities and authorities as may be assigned to the Employee by the Board from time to time and otherwise consistent with such position in a publicly traded company comparable to Linn Energy which is engaged in natural gas and oil acquisition, development and production.", "ner": [[79, 81, "Role"]], "tokenized_text": ["1", ".", "|", "Position", "and", "Duties", ".", "-", "-", "-", "|", "-", "-", "-", "1", ".", "1Employment", ";", "Titles", ";", "Reporting", ".", "The", "Company", "agrees", "to", "continue", "to", "employ", "the", "Employee", "and", "the", "Employee", "agrees", "to", "continue", "employment", "with", "the", "Company", ",", "upon", "the", "terms", "and", "subject", "to", "the", "conditions", "provided", "under", "this", "Agreement", ".", "During", "the", "Employment", "Term", "(", "as", "defined", "in", "Section2", ")", ",", "the", "Employee", "will", "serve", "each", "of", "the", "Company", "and", "Linn", "Energy", "as", "the", "Senior", "Vice", "President", ",", "Corporate", "Services", ".", "In", "such", "capacity", ",", "the", "Employee", "will", "report", "to", "the", "Board", "of", "Directors", "of", "Linn", "Energy", "(", "including", "any", "committee", "thereof", ",", "the", "Board", ")", "and", "otherwise", "will", "be", "subject", "to", "the", "direction", "and", "control", "of", "the", "Board", ",", "and", "the", "Employee", "will", "have", "such", "duties", ",", "responsibilities", "and", "authorities", "as", "may", "be", "assigned", "to", "the", "Employee", "by", "the", "Board", "from", "time", "to", "time", "and", "otherwise", "consistent", "with", "such", "position", "in", "a", "publicly", "traded", "company", "comparable", "to", "Linn", "Energy", "which", "is", "engaged", "in", "natural", "gas", "and", "oil", "acquisition", ",", "development", "and", "production", "."]}
{"id": "15063", "text": "(iii)In addition, the Company will pay the Companys portion (as set defined below) of the Employees COBRA continuation coverage (the COBRA Coverage) for 18 months. Following such period, the Company shall permit the Employee (including the Employees spouse and dependents) to (A)continue to participate in the Companys group health plan if permitted under such plan, (B)convert the Companys group health plan to an individual policy, or (C)obtain other similar coverage, in each case, for up to an additional six months after the expiration of the maximum required period by the Employee paying one-hundred percent of the premiums for medical, dental and/or vision coverage on an after-tax basis (Medical Benefits). Notwithstanding the foregoing, the benefits described in this Section 6.4(a)(iii) may be discontinued by the Company prior to the end of the period provided in this subsection (iii)to the extent, but only to the extent, that the Employee receives substantially similar benefits from a subsequent employer.", "ner": [[22, 22, "Act"], [27, 27, "Act"], [117, 118, "Percentage"]], "tokenized_text": ["(", "iii", ")", "In", "addition", ",", "the", "Company", "will", "pay", "the", "Companys", "portion", "(", "as", "set", "defined", "below", ")", "of", "the", "Employees", "COBRA", "continuation", "coverage", "(", "the", "COBRA", "Coverage", ")", "for", "18", "months", ".", "Following", "such", "period", ",", "the", "Company", "shall", "permit", "the", "Employee", "(", "including", "the", "Employees", "spouse", "and", "dependents", ")", "to", "(", "A", ")", "continue", "to", "participate", "in", "the", "Companys", "group", "health", "plan", "if", "permitted", "under", "such", "plan", ",", "(", "B", ")", "convert", "the", "Companys", "group", "health", "plan", "to", "an", "individual", "policy", ",", "or", "(", "C", ")", "obtain", "other", "similar", "coverage", ",", "in", "each", "case", ",", "for", "up", "to", "an", "additional", "six", "months", "after", "the", "expiration", "of", "the", "maximum", "required", "period", "by", "the", "Employee", "paying", "one-hundred", "percent", "of", "the", "premiums", "for", "medical", ",", "dental", "and", "/", "or", "vision", "coverage", "on", "an", "after-tax", "basis", "(", "Medical", "Benefits", ")", ".", "Notwithstanding", "the", "foregoing", ",", "the", "benefits", "described", "in", "this", "Section", "6", ".", "4", "(", "a", ")", "(", "iii", ")", "may", "be", "discontinued", "by", "the", "Company", "prior", "to", "the", "end", "of", "the", "period", "provided", "in", "this", "subsection", "(", "iii", ")", "to", "the", "extent", ",", "but", "only", "to", "the", "extent", ",", "that", "the", "Employee", "receives", "substantially", "similar", "benefits", "from", "a", "subsequent", "employer", "."]}
{"id": "15065", "text": "The Companys portion of COBRA Coverage and of premiums for any continuing Medical Benefits shall be the difference between one hundred percent of the COBRA Coverage or Medical Benefits premium, as the case may be, and the dollar amount of medical premium expenses paid for the same type or types of Company medical benefits by a similarly situated employee on the Termination Date.", "ner": [[4, 4, "Act"], [19, 21, "Percentage"], [24, 24, "Act"]], "tokenized_text": ["The", "Companys", "portion", "of", "COBRA", "Coverage", "and", "of", "premiums", "for", "any", "continuing", "Medical", "Benefits", "shall", "be", "the", "difference", "between", "one", "hundred", "percent", "of", "the", "COBRA", "Coverage", "or", "Medical", "Benefits", "premium", ",", "as", "the", "case", "may", "be", ",", "and", "the", "dollar", "amount", "of", "medical", "premium", "expenses", "paid", "for", "the", "same", "type", "or", "types", "of", "Company", "medical", "benefits", "by", "a", "similarly", "situated", "employee", "on", "the", "Termination", "Date", "."]}
{"id": "15067", "text": "(i)any person, as such term is used in Sections 13(d) and 14(d) of the Securities Exchange Act of 1934 , as amended (the Exchange Act ) ( other than Linn Energy, any trustee or other fiduciary holding securities under any employee benefit plan of Linn Energy, or any company owned, directly or indirectly, by the stockholders of Linn Energy in substantially the same proportions as their ownership of common stock of", "ner": [[24, 28, "Act"]], "tokenized_text": ["(", "i", ")", "any", "person", ",", "as", "such", "term", "is", "used", "in", "Sections", "13", "(", "d", ")", "and", "14", "(", "d", ")", "of", "the", "Securities", "Exchange", "Act", "of", "1934", ",", "as", "amended", "(", "the", "Exchange", "Act", ")", "(", "other", "than", "Linn", "Energy", ",", "any", "trustee", "or", "other", "fiduciary", "holding", "securities", "under", "any", "employee", "benefit", "plan", "of", "Linn", "Energy", ",", "or", "any", "company", "owned", ",", "directly", "or", "indirectly", ",", "by", "the", "stockholders", "of", "Linn", "Energy", "in", "substantially", "the", "same", "proportions", "as", "their", "ownership", "of", "common", "stock", "of"]}
{"id": "15068", "text": "Linn Energy), becoming the beneficial owner (as defined in Rule 13d-3 under the Exchange Act ), directly or indirectly, of securities of Linn Energy representing more than 50% of the combined voting power of Linn Energys then outstanding securities;", "ner": [[0, 1, "Parties"], [12, 13, "Regulation"], [16, 17, "Act"], [32, 33, "Percentage"]], "tokenized_text": ["Linn", "Energy", ")", ",", "becoming", "the", "beneficial", "owner", "(", "as", "defined", "in", "Rule", "13d-3", "under", "the", "Exchange", "Act", ")", ",", "directly", "or", "indirectly", ",", "of", "securities", "of", "Linn", "Energy", "representing", "more", "than", "50", "%", "of", "the", "combined", "voting", "power", "of", "Linn", "Energys", "then", "outstanding", "securities", ";"]}
{"id": "15069", "text": "(ii)during any period of 24 consecutive calendar months, individuals who were directors of Linn Energy on the first day of such period (the Incumbent Directors) cease for any reason to constitute a majority of the Board; provided, however, that any individual becoming a director subsequent to the first day of such period whose election, or nomination for election, by Linn Energys stockholders was approved by a vote of at least two-thirds of the Incumbent Directors will be considered as though such individual were an Incumbent Director, but excluding, for purposes of this proviso, any such individual whose initial assumption of office occurs as a result of an actual or threatened proxy contest with respect to election or removal of directors or other actual or threatened solicitation of proxies or consents by or on behalf of a person (as used in Section 13(d) of the Exchange Act ), in each case, other than the Board, which individual, for the avoidance of doubt, shall not be deemed to be an Incumbent Director for purposes of this Section 6.4(c)(ii)), regardless of whether such individual was approved by a vote of at least two-thirds of the Incumbent Directors;", "ner": [[81, 81, "Percentage"], [162, 163, "Act"]], "tokenized_text": ["(", "ii", ")", "during", "any", "period", "of", "24", "consecutive", "calendar", "months", ",", "individuals", "who", "were", "directors", "of", "Linn", "Energy", "on", "the", "first", "day", "of", "such", "period", "(", "the", "Incumbent", "Directors", ")", "cease", "for", "any", "reason", "to", "constitute", "a", "majority", "of", "the", "Board", ";", "provided", ",", "however", ",", "that", "any", "individual", "becoming", "a", "director", "subsequent", "to", "the", "first", "day", "of", "such", "period", "whose", "election", ",", "or", "nomination", "for", "election", ",", "by", "Linn", "Energys", "stockholders", "was", "approved", "by", "a", "vote", "of", "at", "least", "two-thirds", "of", "the", "Incumbent", "Directors", "will", "be", "considered", "as", "though", "such", "individual", "were", "an", "Incumbent", "Director", ",", "but", "excluding", ",", "for", "purposes", "of", "this", "proviso", ",", "any", "such", "individual", "whose", "initial", "assumption", "of", "office", "occurs", "as", "a", "result", "of", "an", "actual", "or", "threatened", "proxy", "contest", "with", "respect", "to", "election", "or", "removal", "of", "directors", "or", "other", "actual", "or", "threatened", "solicitation", "of", "proxies", "or", "consents", "by", "or", "on", "behalf", "of", "a", "person", "(", "as", "used", "in", "Section", "13", "(", "d", ")", "of", "the", "Exchange", "Act", ")", ",", "in", "each", "case", ",", "other", "than", "the", "Board", ",", "which", "individual", ",", "for", "the", "avoidance", "of", "doubt", ",", "shall", "not", "be", "deemed", "to", "be", "an", "Incumbent", "Director", "for", "purposes", "of", "this", "Section", "6", ".", "4", "(", "c", ")", "(", "ii", ")", ")", ",", "regardless", "of", "whether", "such", "individual", "was", "approved", "by", "a", "vote", "of", "at", "least", "two-thirds", "of", "the", "Incumbent", "Directors", ";"]}
{"id": "15070", "text": "(v)For the avoidance of doubt, the restructuring of Linn Energy, LLC and certain of its affiliates under chapter 11 of the Bankruptcy Code in the United States Bankruptcy Court for the Southern District of Texas (Case No. 16-60040 ) (the Reorganization) will not constitute a Change of Control.", "ner": [[12, 15, "Parties"], [30, 39, "Court"]], "tokenized_text": ["(", "v", ")", "For", "the", "avoidance", "of", "doubt", ",", "the", "restructuring", "of", "Linn", "Energy", ",", "LLC", "and", "certain", "of", "its", "affiliates", "under", "chapter", "11", "of", "the", "Bankruptcy", "Code", "in", "the", "United", "States", "Bankruptcy", "Court", "for", "the", "Southern", "District", "of", "Texas", "(", "Case", "No", ".", "16-60040", ")", "(", "the", "Reorganization", ")", "will", "not", "constitute", "a", "Change", "of", "Control", "."]}
{"id": "15071", "text": "(a)SEC Provisions. The Employee understands that nothing contained in this Agreement limits the Employees ability to file a charge or complaint with the Securities and Exchange Commission (SEC). The Employee further understands that this Agreement does not limit the Employees ability to communicate with the SEC or otherwise participate in any investigation or proceeding that may be conducted by the SEC, including providing documents or other information, without notice to the Company. This Agreement does not limit the Employees right to receive an award for information provided to the SEC. This Section 7.1(a) applies only for the period of time that the Company is subject to the Dodd-Frank Act .&lt; br/&gt;", "ner": [[123, 124, "Act"]], "tokenized_text": ["(", "a", ")", "SEC", "Provisions", ".", "The", "Employee", "understands", "that", "nothing", "contained", "in", "this", "Agreement", "limits", "the", "Employees", "ability", "to", "file", "a", "charge", "or", "complaint", "with", "the", "Securities", "and", "Exchange", "Commission", "(", "SEC", ")", ".", "The", "Employee", "further", "understands", "that", "this", "Agreement", "does", "not", "limit", "the", "Employees", "ability", "to", "communicate", "with", "the", "SEC", "or", "otherwise", "participate", "in", "any", "investigation", "or", "proceeding", "that", "may", "be", "conducted", "by", "the", "SEC", ",", "including", "providing", "documents", "or", "other", "information", ",", "without", "notice", "to", "the", "Company", ".", "This", "Agreement", "does", "not", "limit", "the", "Employees", "right", "to", "receive", "an", "award", "for", "information", "provided", "to", "the", "SEC", ".", "This", "Section", "7", ".", "1", "(", "a", ")", "applies", "only", "for", "the", "period", "of", "time", "that", "the", "Company", "is", "subject", "to", "the", "Dodd-Frank", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "15072", "text": "(b)Trade Secrets. The parties specifically acknowledge that 18 U.S.C. 1833 (b) provides: An individual shall not be held criminally or civilly liable under any Federal or State trade secret law for the disclosure of a trade secret that(A) is made(i) in confidence to a Federal, State, or local government official, either directly or indirectly, or to an attorney; and (ii)solely for the purpose of reporting or investigating a suspected violation of law; or (B)is made in a complaint or other document filed in a lawsuit or other proceeding, if such filing is made under seal. Nothing in this Agreement is intended to conflict with 18 U.S.C. 1833 (b) or create liability for disclosures of trade secrets that are expressly allowed by 18 U.S.C. 1833 (b). Accordingly, notwithstanding anything to the contrary in the foregoing, the parties to this Agreement have the right to disclose in confidence trade secrets to federal, state, and local government officials, or to an attorney, for the sole purpose of reporting or investigating a suspected violation of law", "ner": [[11, 18, "Regulation"]], "tokenized_text": ["(", "b", ")", "Trade", "Secrets", ".", "The", "parties", "specifically", "acknowledge", "that", "18", "U", ".", "S", ".", "C", ".", "1833", "(", "b", ")", "provides", ":", "An", "individual", "shall", "not", "be", "held", "criminally", "or", "civilly", "liable", "under", "any", "Federal", "or", "State", "trade", "secret", "law", "for", "the", "disclosure", "of", "a", "trade", "secret", "that", "(", "A", ")", "is", "made", "(", "i", ")", "in", "confidence", "to", "a", "Federal", ",", "State", ",", "or", "local", "government", "official", ",", "either", "directly", "or", "indirectly", ",", "or", "to", "an", "attorney", ";", "and", "(", "ii", ")", "solely", "for", "the", "purpose", "of", "reporting", "or", "investigating", "a", "suspected", "violation", "of", "law", ";", "or", "(", "B", ")", "is", "made", "in", "a", "complaint", "or", "other", "document", "filed", "in", "a", "lawsuit", "or", "other", "proceeding", ",", "if", "such", "filing", "is", "made", "under", "seal", ".", "Nothing", "in", "this", "Agreement", "is", "intended", "to", "conflict", "with", "18", "U", ".", "S", ".", "C", ".", "1833", "(", "b", ")", "or", "create", "liability", "for", "disclosures", "of", "trade", "secrets", "that", "are", "expressly", "allowed", "by", "18", "U", ".", "S", ".", "C", ".", "1833", "(", "b", ")", ".", "Accordingly", ",", "notwithstanding", "anything", "to", "the", "contrary", "in", "the", "foregoing", ",", "the", "parties", "to", "this", "Agreement", "have", "the", "right", "to", "disclose", "in", "confidence", "trade", "secrets", "to", "federal", ",", "state", ",", "and", "local", "government", "officials", ",", "or", "to", "an", "attorney", ",", "for", "the", "sole", "purpose", "of", "reporting", "or", "investigating", "a", "suspected", "violation", "of", "law"]}
{"id": "13073", "text": "8.4Governing Law. The validity, interpretation, construction and performance of this Agreement will be governed by the laws of the State of Texas other than the conflict of laws provision thereof.", "ner": [[24, 26, "Court"]], "tokenized_text": ["8", ".", "4Governing", "Law", ".", "The", "validity", ",", "interpretation", ",", "construction", "and", "performance", "of", "this", "Agreement", "will", "be", "governed", "by", "the", "laws", "of", "the", "State", "of", "Texas", "other", "than", "the", "conflict", "of", "laws", "provision", "thereof", "."]}
{"id": "15074", "text": "(ii)Any and all claims and causes of action arising under any federal, state or local law, regulation or ordinance, including, without limitation, claims arising under Title VII of the Civil Rights Act of 1964 , the Pregnancy Discrimination Act , the Age Discrimination in Employment Act , the Americans with Disabilities Act , the Family and Medical Leave Act , the Fair Labor Standards Act and all corresponding state laws.", "ner": [[37, 41, "Act"], [44, 46, "Act"], [49, 53, "Act"], [56, 59, "Act"], [62, 66, "Act"], [69, 72, "Act"]], "tokenized_text": ["(", "ii", ")", "Any", "and", "all", "claims", "and", "causes", "of", "action", "arising", "under", "any", "federal", ",", "state", "or", "local", "law", ",", "regulation", "or", "ordinance", ",", "including", ",", "without", "limitation", ",", "claims", "arising", "under", "Title", "VII", "of", "the", "Civil", "Rights", "Act", "of", "1964", ",", "the", "Pregnancy", "Discrimination", "Act", ",", "the", "Age", "Discrimination", "in", "Employment", "Act", ",", "the", "Americans", "with", "Disabilities", "Act", ",", "the", "Family", "and", "Medical", "Leave", "Act", ",", "the", "Fair", "Labor", "Standards", "Act", "and", "all", "corresponding", "state", "laws", "."]}
{"id": "15075", "text": "600 Travis, Suite 1400", "ner": [[0, 4, "Address"]], "tokenized_text": ["600", "Travis", ",", "Suite", "1400"]}
{"id": "15076", "text": "| | ---|---|--- LINN OPERATING, LLC | By: | |", "ner": [[13, 16, "Parties"]], "tokenized_text": ["|", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "LINN", "OPERATING", ",", "LLC", "|", "By", ":", "|", "|"]}
{"id": "15077", "text": "EX-10.1 2 f8k013017ex10i_eztdinc.htm EMPLOYMENT AGREEMENT , DATED AS OF JANUARY 30, 2017 , BY AND BETWEEN THE SUBSIDIARY AND ZVIEL GEDALIHOU", "ner": [[7, 8, "Title"], [13, 16, "EffectiveDate"], [24, 25, "Parties"]], "tokenized_text": ["EX-10", ".", "1", "2", "f8k013017ex10i_eztdinc", ".", "htm", "EMPLOYMENT", "AGREEMENT", ",", "DATED", "AS", "OF", "JANUARY", "30", ",", "2017", ",", "BY", "AND", "BETWEEN", "THE", "SUBSIDIARY", "AND", "ZVIEL", "GEDALIHOU"]}
{"id": "15078", "text": "THIS AGREEMENT is entered into as of the 30 of January 2017 , by and between Win Global Markets Inc. (Israel) Ltd. of 6 Koifman St., Tel Aviv 68012, Israel (the \"Company\"), and Mr. Zviel Gedalihou , Israeli I.D. number 043197623 , of 2 Menachem Begin St ., Ramat Hasharon Israel (the \"Employee\"). Each of the Company and the Employee may be referred to herein as a \"Party\" and collectively as the \"Parties\".", "ner": [[8, 11, "EffectiveDate"], [16, 25, "Parties"], [27, 36, "Address"], [45, 48, "Parties"], [56, 56, "PII_Ref"], [59, 67, "Address"]], "tokenized_text": ["THIS", "AGREEMENT", "is", "entered", "into", "as", "of", "the", "30", "of", "January", "2017", ",", "by", "and", "between", "Win", "Global", "Markets", "Inc", ".", "(", "Israel", ")", "Ltd", ".", "of", "6", "Koifman", "St", ".", ",", "Tel", "Aviv", "68012", ",", "Israel", "(", "the", "\"", "Company", "\"", ")", ",", "and", "Mr", ".", "Zviel", "Gedalihou", ",", "Israeli", "I", ".", "D", ".", "number", "043197623", ",", "of", "2", "Menachem", "Begin", "St", ".", ",", "Ramat", "Hasharon", "Israel", "(", "the", "\"", "Employee", "\"", ")", ".", "Each", "of", "the", "Company", "and", "the", "Employee", "may", "be", "referred", "to", "herein", "as", "a", "\"", "Party", "\"", "and", "collectively", "as", "the", "\"", "Parties", "\"", "."]}
{"id": "15079", "text": "| (i) | The Company shall pay towards compensatory payments for the Employee's benefit, an amount equal to 5% of the Salary. The Company shall deduct from the Salary an amount equal to 5% of the Salary, and pay such amount, on behalf of the Employee, towards compensatory payments for the Employee's benefit (and by signing this Agreement, the Employee gives his/her consent for such deduction); ---|---|--- | | | | | (ii) | the Company shall pay an amount equal to 8 1/3% of the Salary, for severance compensation; and ---|---|---", "ner": [[23, 24, "Percentage"], [40, 41, "Percentage"], [113, 117, "Percentage"]], "tokenized_text": ["|", "(", "i", ")", "|", "The", "Company", "shall", "pay", "towards", "compensatory", "payments", "for", "the", "Employee", "'", "s", "benefit", ",", "an", "amount", "equal", "to", "5", "%", "of", "the", "Salary", ".", "The", "Company", "shall", "deduct", "from", "the", "Salary", "an", "amount", "equal", "to", "5", "%", "of", "the", "Salary", ",", "and", "pay", "such", "amount", ",", "on", "behalf", "of", "the", "Employee", ",", "towards", "compensatory", "payments", "for", "the", "Employee", "'", "s", "benefit", "(", "and", "by", "signing", "this", "Agreement", ",", "the", "Employee", "gives", "his", "/", "her", "consent", "for", "such", "deduction", ")", ";", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "|", "|", "|", "|", "(", "ii", ")", "|", "the", "Company", "shall", "pay", "an", "amount", "equal", "to", "8", "1", "/", "3", "%", "of", "the", "Salary", ",", "for", "severance", "compensation", ";", "and", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "15080", "text": "| (iii) | The Company shall pay towards disability insurance an amount equal to the lesser of the following alternatives: (1) 2.5% of the Salary, or (2) the sum which shall provide for a disability allowance equal to seventy five percent ( 75% ) of the Salary. ---|---|---", "ner": [[26, 29, "Percentage"], [53, 54, "Percentage"]], "tokenized_text": ["|", "(", "iii", ")", "|", "The", "Company", "shall", "pay", "towards", "disability", "insurance", "an", "amount", "equal", "to", "the", "lesser", "of", "the", "following", "alternatives", ":", "(", "1", ")", "2", ".", "5", "%", "of", "the", "Salary", ",", "or", "(", "2", ")", "the", "sum", "which", "shall", "provide", "for", "a", "disability", "allowance", "equal", "to", "seventy", "five", "percent", "(", "75", "%", ")", "of", "the", "Salary", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "10089", "text": "THIS NON-DISCLOSURE, NON-COMPETITION AND PROPRIETARY INFORMATION UNDERTAKING (the \"Undertaking\") is entered into this 6' of August by Mr. Zviel Gedalihou , Israeli I.D. number 043197623 , of 2 Menachem Begin St ., Ramat Hasharon Israel (the \"Employee\") effective as of the Commencement Date of the Employee's employment (as set forth in his/her Employment Agreement to which this Undertaking is attached).", "ner": [[34, 34, "PII_Ref"], [37, 45, "Address"], [72, 73, "Title"]], "tokenized_text": ["THIS", "NON-DISCLOSURE", ",", "NON-COMPETITION", "AND", "PROPRIETARY", "INFORMATION", "UNDERTAKING", "(", "the", "\"", "Undertaking", "\"", ")", "is", "entered", "into", "this", "6", "'", "of", "August", "by", "Mr", ".", "Zviel", "Gedalihou", ",", "Israeli", "I", ".", "D", ".", "number", "043197623", ",", "of", "2", "Menachem", "Begin", "St", ".", ",", "Ramat", "Hasharon", "Israel", "(", "the", "\"", "Employee", "\"", ")", "effective", "as", "of", "the", "Commencement", "Date", "of", "the", "Employee", "'", "s", "employment", "(", "as", "set", "forth", "in", "his", "/", "her", "Employment", "Agreement", "to", "which", "this", "Undertaking", "is", "attached", ")", "."]}
{"id": "15092", "text": "4.4 | This Undertaking is governed by and construed in accordance with the laws of the State of Israel , without giving effect to its laws pertaining to conflict of laws. The Employee agrees that any and all disputes in connection with this Undertaking shall be submitted to the exclusive jurisdiction of the competent courts located in the city of Tel-Aviv-Jaffa, Israel. ---|---", "ner": [[18, 20, "Court"], [63, 65, "Address"]], "tokenized_text": ["4", ".", "4", "|", "This", "Undertaking", "is", "governed", "by", "and", "construed", "in", "accordance", "with", "the", "laws", "of", "the", "State", "of", "Israel", ",", "without", "giving", "effect", "to", "its", "laws", "pertaining", "to", "conflict", "of", "laws", ".", "The", "Employee", "agrees", "that", "any", "and", "all", "disputes", "in", "connection", "with", "this", "Undertaking", "shall", "be", "submitted", "to", "the", "exclusive", "jurisdiction", "of", "the", "competent", "courts", "located", "in", "the", "city", "of", "Tel-Aviv-Jaffa", ",", "Israel", ".", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "13097", "text": "GOLDEN QUEEN MINING CO. LTD. , a corporation incorporated under the laws of British Columbia , Canada, with its office located at 2300 1066 West Hastings Street, Vancouver, British Columbia V6E 3X2.", "ner": [[15, 18, "Court"], [25, 36, "Address"]], "tokenized_text": ["GOLDEN", "QUEEN", "MINING", "CO", ".", "LTD", ".", ",", "a", "corporation", "incorporated", "under", "the", "laws", "of", "British", "Columbia", ",", "Canada", ",", "with", "its", "office", "located", "at", "2300", "1066", "West", "Hastings", "Street", ",", "Vancouver", ",", "British", "Columbia", "V6E", "3X2", "."]}
{"id": "15098", "text": "Guy Le Bel, an individual residing at 405 LAssomption Blvd, Repentigny, Quebec J6A 1C3", "ner": [[0, 2, "Parties"], [8, 16, "Address"]], "tokenized_text": ["Guy", "Le", "Bel", ",", "an", "individual", "residing", "at", "405", "LAssomption", "Blvd", ",", "Repentigny", ",", "Quebec", "J6A", "1C3"]}
{"id": "15099", "text": "| 1.1| Commencement of Term: The employment of the Executive shall commence on March 16, 2017 (the Effective Date) or such other date as mutually agreed. ---|---|---", "ner": [[17, 20, "EffectiveDate"]], "tokenized_text": ["|", "1", ".", "1", "|", "Commencement", "of", "Term", ":", "The", "employment", "of", "the", "Executive", "shall", "commence", "on", "March", "16", ",", "2017", "(", "the", "Effective", "Date", ")", "or", "such", "other", "date", "as", "mutually", "agreed", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "14100", "text": "| 2.1| Title: The Company agrees to employ the Executive as the Chief Financial Officer of the Company, reporting to the Chief Executive Officer of the Company (the CEO), and where appropriate to the board of the Company (the Board). As Chief Financial Officer of the Company, the Executive will perform the duties described in the work description set out in Schedule A to this Agreement (the Executive Duties). The Executive Duties will also include acting as the interim Chief Financial Officer of Golden Queen Mining Company, LLC (GQM LLC) until such time as the Company employs his replacement. ---|---|---", "ner": [[16, 18, "Role"], [26, 28, "Role"], [34, 34, "Role"]], "tokenized_text": ["|", "2", ".", "1", "|", "Title", ":", "The", "Company", "agrees", "to", "employ", "the", "Executive", "as", "the", "Chief", "Financial", "Officer", "of", "the", "Company", ",", "reporting", "to", "the", "Chief", "Executive", "Officer", "of", "the", "Company", "(", "the", "CEO", ")", ",", "and", "where", "appropriate", "to", "the", "board", "of", "the", "Company", "(", "the", "Board", ")", ".", "As", "Chief", "Financial", "Officer", "of", "the", "Company", ",", "the", "Executive", "will", "perform", "the", "duties", "described", "in", "the", "work", "description", "set", "out", "in", "Schedule", "A", "to", "this", "Agreement", "(", "the", "Executive", "Duties", ")", ".", "The", "Executive", "Duties", "will", "also", "include", "acting", "as", "the", "interim", "Chief", "Financial", "Officer", "of", "Golden", "Queen", "Mining", "Company", ",", "LLC", "(", "GQM", "LLC", ")", "until", "such", "time", "as", "the", "Company", "employs", "his", "replacement", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "15102", "text": "| (a)| The Company shall pay to the Executive and the Executive shall accept as compensation for all his services and duties hereunder in the first twelve months of employment, an annual base salary of C$175,000 . Subsequent salary reviews shall be conducted by the Companys compensation committee on an annual basis in January or February, and will depend on the Executives performance, industry rates, fiscal performance of the Company and other factors to be determined by such committee in accordance with Company policy. ---|---|---", "ner": [[39, 43, "Salary"]], "tokenized_text": ["|", "(", "a", ")", "|", "The", "Company", "shall", "pay", "to", "the", "Executive", "and", "the", "Executive", "shall", "accept", "as", "compensation", "for", "all", "his", "services", "and", "duties", "hereunder", "in", "the", "first", "twelve", "months", "of", "employment", ",", "an", "annual", "base", "salary", "of", "C", "$", "175", ",", "000", ".", "Subsequent", "salary", "reviews", "shall", "be", "conducted", "by", "the", "Companys", "compensation", "committee", "on", "an", "annual", "basis", "in", "January", "or", "February", ",", "and", "will", "depend", "on", "the", "Executives", "performance", ",", "industry", "rates", ",", "fiscal", "performance", "of", "the", "Company", "and", "other", "factors", "to", "be", "determined", "by", "such", "committee", "in", "accordance", "with", "Company", "policy", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "10105", "text": "GOLDEN QUEEN MINING CO. LTD.", "ner": [[0, 6, "Parties"]], "tokenized_text": ["GOLDEN", "QUEEN", "MINING", "CO", ".", "LTD", "."]}
{"id": "11107", "text": "| 8.7| Arbitration: Unless British Columbia law prescribes a mandatory dispute resolution procedure, the Parties agree that any claims, disputes, controversies or differences which may arise out of or in connection with this Agreement shall be settled by arbitration in Vancouver, British Columbia, Canada, without recourse to the courts in accordance with the provisions of the Arbitrations Act of British Columbia. The decision of the arbitrator shall be final and binding upon the parties and there shall be no appeal therefrom. The Company shall pay the expense of any Arbitration process including the fees of the Arbitrator chosen. Each party will be responsible for their own legal expense incurred in connection with the exercise of the Arbitration provision of this Agreement. ---|---|---", "ner": [[8, 9, "Court"], [47, 52, "Address"], [66, 70, "Act"]], "tokenized_text": ["|", "8", ".", "7", "|", "Arbitration", ":", "Unless", "British", "Columbia", "law", "prescribes", "a", "mandatory", "dispute", "resolution", "procedure", ",", "the", "Parties", "agree", "that", "any", "claims", ",", "disputes", ",", "controversies", "or", "differences", "which", "may", "arise", "out", "of", "or", "in", "connection", "with", "this", "Agreement", "shall", "be", "settled", "by", "arbitration", "in", "Vancouver", ",", "British", "Columbia", ",", "Canada", ",", "without", "recourse", "to", "the", "courts", "in", "accordance", "with", "the", "provisions", "of", "the", "Arbitrations", "Act", "of", "British", "Columbia", ".", "The", "decision", "of", "the", "arbitrator", "shall", "be", "final", "and", "binding", "upon", "the", "parties", "and", "there", "shall", "be", "no", "appeal", "therefrom", ".", "The", "Company", "shall", "pay", "the", "expense", "of", "any", "Arbitration", "process", "including", "the", "fees", "of", "the", "Arbitrator", "chosen", ".", "Each", "party", "will", "be", "responsible", "for", "their", "own", "legal", "expense", "incurred", "in", "connection", "with", "the", "exercise", "of", "the", "Arbitration", "provision", "of", "this", "Agreement", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "15108", "text": "GOLDEN QUEEN MINING CO. LTD. | ---|--- | By: | | /s/ Thomas M. Clay | /s/ Guy Le Bel Thomas M. Clay, CEO | Guy Le Bel", "ner": [[0, 6, "Parties"], [23, 26, "Parties"], [31, 33, "Parties"], [39, 39, "Role"]], "tokenized_text": ["GOLDEN", "QUEEN", "MINING", "CO", ".", "LTD", ".", "|", "-", "-", "-", "|", "-", "-", "-", "|", "By", ":", "|", "|", "/", "s", "/", "Thomas", "M", ".", "Clay", "|", "/", "s", "/", "Guy", "Le", "Bel", "Thomas", "M", ".", "Clay", ",", "CEO", "|", "Guy", "Le", "Bel"]}
{"id": "15109", "text": "Position: | Chief Financial Officer (the CFO) ---|--- | Business Entity: | Golden Queen Mining Co. Ltd. (the Company)", "ner": [[3, 5, "Role"], [8, 8, "Role"], [22, 28, "Parties"]], "tokenized_text": ["Position", ":", "|", "Chief", "Financial", "Officer", "(", "the", "CFO", ")", "-", "-", "-", "|", "-", "-", "-", "|", "Business", "Entity", ":", "|", "Golden", "Queen", "Mining", "Co", ".", "Ltd", ".", "(", "the", "Company", ")"]}
{"id": "15110", "text": "The Chief Financial Officer provides both operational and financial policy support to the Company and its reporting entities. The CFO supervises the finance and administrative functions of the Company and is the chief financial spokesperson for the Company.", "ner": [[1, 3, "Role"], [20, 20, "Role"]], "tokenized_text": ["The", "Chief", "Financial", "Officer", "provides", "both", "operational", "and", "financial", "policy", "support", "to", "the", "Company", "and", "its", "reporting", "entities", ".", "The", "CFO", "supervises", "the", "finance", "and", "administrative", "functions", "of", "the", "Company", "and", "is", "the", "chief", "financial", "spokesperson", "for", "the", "Company", "."]}
{"id": "15111", "text": "EX-10.1 4 bpsr_ex101.htm EMPLOYMENT AGREEMENT", "ner": [[7, 8, "Title"]], "tokenized_text": ["EX-10", ".", "1", "4", "bpsr_ex101", ".", "htm", "EMPLOYMENT", "AGREEMENT"]}
{"id": "15113", "text": "1\\. Term. The Executive's employment hereunder shall be effective as of the Effective Date and shall continue until the third anniversary thereof, unless terminated earlier pursuant to Section 5 of this Agreement; provided that, on such third anniversary of the Effective Date and each annual anniversary thereafter (such date and each annual anniversary thereof, a Renewal Date), the Agreement shall be deemed to be automatically extended, upon the same terms and conditions, for successive periods of one year , unless either party provides written notice of its intention not to extend the term of the Agreement at least 90 days' prior to the applicable Renewal Date. The period during which the Executive is employed by the Company hereunder is hereinafter referred to as the Employment Term.", "ner": [[24, 25, "TerminationDate"], [90, 91, "RenewalTerm"]], "tokenized_text": ["1", "\\", ".", "Term", ".", "The", "Executive", "'", "s", "employment", "hereunder", "shall", "be", "effective", "as", "of", "the", "Effective", "Date", "and", "shall", "continue", "until", "the", "third", "anniversary", "thereof", ",", "unless", "terminated", "earlier", "pursuant", "to", "Section", "5", "of", "this", "Agreement", ";", "provided", "that", ",", "on", "such", "third", "anniversary", "of", "the", "Effective", "Date", "and", "each", "annual", "anniversary", "thereafter", "(", "such", "date", "and", "each", "annual", "anniversary", "thereof", ",", "a", "Renewal", "Date", ")", ",", "the", "Agreement", "shall", "be", "deemed", "to", "be", "automatically", "extended", ",", "upon", "the", "same", "terms", "and", "conditions", ",", "for", "successive", "periods", "of", "one", "year", ",", "unless", "either", "party", "provides", "written", "notice", "of", "its", "intention", "not", "to", "extend", "the", "term", "of", "the", "Agreement", "at", "least", "90", "days", "'", "prior", "to", "the", "applicable", "Renewal", "Date", ".", "The", "period", "during", "which", "the", "Executive", "is", "employed", "by", "the", "Company", "hereunder", "is", "hereinafter", "referred", "to", "as", "the", "Employment", "Term", "."]}
{"id": "15117", "text": "| (i) | 50% of the Warrant shall immediately vest on the Effective Date, thereafter, the remaining 50% shall vest in eighteen (18) equal monthly installments beginning March 31, 2017 and continuing for seventeen (17) consecutive monthly periods thereafter or until Executive no longer remains employed by the Company, whichever is earlier and subject to Section 5.2. ---|---|---", "ner": [[5, 6, "Percentage"], [22, 23, "Percentage"], [35, 38, "EffectiveDate"]], "tokenized_text": ["|", "(", "i", ")", "|", "50", "%", "of", "the", "Warrant", "shall", "immediately", "vest", "on", "the", "Effective", "Date", ",", "thereafter", ",", "the", "remaining", "50", "%", "shall", "vest", "in", "eighteen", "(", "18", ")", "equal", "monthly", "installments", "beginning", "March", "31", ",", "2017", "and", "continuing", "for", "seventeen", "(", "17", ")", "consecutive", "monthly", "periods", "thereafter", "or", "until", "Executive", "no", "longer", "remains", "employed", "by", "the", "Company", ",", "whichever", "is", "earlier", "and", "subject", "to", "Section", "5", ".", "2", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "15121", "text": "| (v) | a lump sum payment equal to the Annual Bonus, if any, that the Executive would have earned for the fiscal year in which the Termination Date occurs based on the achievement of applicable performance goals for such year, which shall be payable on the date that annual bonuses are paid to the Company's similarly situated executives, but in no event later than two-and-a- half ( 2 1/2 ) months following the end of the fiscal year in which the Termination Date occurs. Notwithstanding any other provision contained herein, all payments made in connection with the Executive's Disability shall be provided in a manner which is consistent with federal and state law.", "ner": [[77, 80, "Ratio"]], "tokenized_text": ["|", "(", "v", ")", "|", "a", "lump", "sum", "payment", "equal", "to", "the", "Annual", "Bonus", ",", "if", "any", ",", "that", "the", "Executive", "would", "have", "earned", "for", "the", "fiscal", "year", "in", "which", "the", "Termination", "Date", "occurs", "based", "on", "the", "achievement", "of", "applicable", "performance", "goals", "for", "such", "year", ",", "which", "shall", "be", "payable", "on", "the", "date", "that", "annual", "bonuses", "are", "paid", "to", "the", "Company", "'", "s", "similarly", "situated", "executives", ",", "but", "in", "no", "event", "later", "than", "two-and-a", "-", "half", "(", "2", "1", "/", "2", ")", "months", "following", "the", "end", "of", "the", "fiscal", "year", "in", "which", "the", "Termination", "Date", "occurs", ".", "Notwithstanding", "any", "other", "provision", "contained", "herein", ",", "all", "payments", "made", "in", "connection", "with", "the", "Executive", "'", "s", "Disability", "shall", "be", "provided", "in", "a", "manner", "which", "is", "consistent", "with", "federal", "and", "state", "law", "."]}
{"id": "15124", "text": "16\\. Governing Law: Jurisdiction and Venue. This Agreement, for all purposes, shall be construed in accordance with the laws of Florida without regard to conflicts of law principles. Any action or proceeding by either of the parties to enforce this Agreement shall be brought only in a state or federal court located in the state of Florida , county of Miami-Dade. The parties hereby irrevocably submit to the exclusive jurisdiction of such courts and waive the defense of inconvenient forum to the maintenance of any such action or proceeding in such venue.", "ner": [[61, 67, "Court"]], "tokenized_text": ["16", "\\", ".", "Governing", "Law", ":", "Jurisdiction", "and", "Venue", ".", "This", "Agreement", ",", "for", "all", "purposes", ",", "shall", "be", "construed", "in", "accordance", "with", "the", "laws", "of", "Florida", "without", "regard", "to", "conflicts", "of", "law", "principles", ".", "Any", "action", "or", "proceeding", "by", "either", "of", "the", "parties", "to", "enforce", "this", "Agreement", "shall", "be", "brought", "only", "in", "a", "state", "or", "federal", "court", "located", "in", "the", "state", "of", "Florida", ",", "county", "of", "Miami-Dade", ".", "The", "parties", "hereby", "irrevocably", "submit", "to", "the", "exclusive", "jurisdiction", "of", "such", "courts", "and", "waive", "the", "defense", "of", "inconvenient", "forum", "to", "the", "maintenance", "of", "any", "such", "action", "or", "proceeding", "in", "such", "venue", "."]}
{"id": "15126", "text": "THIS EXECUTIVE EMPLOYMENT AGREEMENT (this Agreement) is entered into effective as of January 25, 2017 (the Start Date), by and between CRAIG I. FORMAN (the Executive) and THE McCLATCHY COMPANY , a Delaware corporation (the Company).", "ner": [[2, 3, "Title"], [14, 17, "EffectiveDate"], [27, 30, "Parties"], [36, 38, "Parties"]], "tokenized_text": ["THIS", "EXECUTIVE", "EMPLOYMENT", "AGREEMENT", "(", "this", "Agreement", ")", "is", "entered", "into", "effective", "as", "of", "January", "25", ",", "2017", "(", "the", "Start", "Date", ")", ",", "by", "and", "between", "CRAIG", "I", ".", "FORMAN", "(", "the", "Executive", ")", "and", "THE", "McCLATCHY", "COMPANY", ",", "a", "Delaware", "corporation", "(", "the", "Company", ")", "."]}
{"id": "15127", "text": "WHEREAS, the Company wishes to employ the Executive in the capacity of its President and Chief Executive Officer ; and", "ner": [[3, 3, "Parties"], [14, 14, "Role"], [16, 18, "Role"]], "tokenized_text": ["WHEREAS", ",", "the", "Company", "wishes", "to", "employ", "the", "Executive", "in", "the", "capacity", "of", "its", "President", "and", "Chief", "Executive", "Officer", ";", "and"]}
{"id": "15128", "text": "(a)Position. The Company agrees to employ the Executive in Sacramento, California as its President and Chief Executive Officer as of the Start Date. The Executive shall report to the Companys Board of Directors (the Board) and shall have the authority and responsibilities customarily granted to the President and Chief Executive Officer .", "ner": [[13, 15, "Address"], [18, 18, "Role"], [20, 22, "Role"], [56, 58, "Role"]], "tokenized_text": ["(", "a", ")", "Position", ".", "The", "Company", "agrees", "to", "employ", "the", "Executive", "in", "Sacramento", ",", "California", "as", "its", "President", "and", "Chief", "Executive", "Officer", "as", "of", "the", "Start", "Date", ".", "The", "Executive", "shall", "report", "to", "the", "Companys", "Board", "of", "Directors", "(", "the", "Board", ")", "and", "shall", "have", "the", "authority", "and", "responsibilities", "customarily", "granted", "to", "the", "President", "and", "Chief", "Executive", "Officer", "."]}
{"id": "15130", "text": "(b)Annual Incentive Compensation. The Executive shall be eligible to receive an annual cash bonus for the Companys fiscal years 2017 and 2018 (the Annual Cash Incentive) based on performance objectives established by the Compensation Committee of the Board (the Committee) each such fiscal year. The Executives target Annual Cash Incentive amount for each such fiscal year will be the percentage of Base Salary designated as the target by the Committee, which target shall be at least one hundred percent ( 100% ) of the Base Salary then in effect for each applicable year. However, for fiscal year 2017, if the Executive remains employed by the Company on the last day of such fiscal year, the Committee shall award the Executive an Annual Incentive Bonus at least equal to $900,000 , and payment of the Executives fiscal year 2017 Annual Cash Incentive shall be made following such fiscal year in accordance with terms otherwise applicable to the Companys annual incentive compensation program. For fiscal year 2018, the Executives Annual Cash Incentive, if any, may be below (including zero), at, or above, the target based upon the achievement of the performance objectives, and payment of any such Annual Cash Incentive shall be in accordance with the terms of such program.", "ner": [[90, 91, "Percentage"], [143, 146, "Salary"]], "tokenized_text": ["(", "b", ")", "Annual", "Incentive", "Compensation", ".", "The", "Executive", "shall", "be", "eligible", "to", "receive", "an", "annual", "cash", "bonus", "for", "the", "Companys", "fiscal", "years", "2017", "and", "2018", "(", "the", "Annual", "Cash", "Incentive", ")", "based", "on", "performance", "objectives", "established", "by", "the", "Compensation", "Committee", "of", "the", "Board", "(", "the", "Committee", ")", "each", "such", "fiscal", "year", ".", "The", "Executives", "target", "Annual", "Cash", "Incentive", "amount", "for", "each", "such", "fiscal", "year", "will", "be", "the", "percentage", "of", "Base", "Salary", "designated", "as", "the", "target", "by", "the", "Committee", ",", "which", "target", "shall", "be", "at", "least", "one", "hundred", "percent", "(", "100", "%", ")", "of", "the", "Base", "Salary", "then", "in", "effect", "for", "each", "applicable", "year", ".", "However", ",", "for", "fiscal", "year", "2017", ",", "if", "the", "Executive", "remains", "employed", "by", "the", "Company", "on", "the", "last", "day", "of", "such", "fiscal", "year", ",", "the", "Committee", "shall", "award", "the", "Executive", "an", "Annual", "Incentive", "Bonus", "at", "least", "equal", "to", "$", "900", ",", "000", ",", "and", "payment", "of", "the", "Executives", "fiscal", "year", "2017", "Annual", "Cash", "Incentive", "shall", "be", "made", "following", "such", "fiscal", "year", "in", "accordance", "with", "terms", "otherwise", "applicable", "to", "the", "Companys", "annual", "incentive", "compensation", "program", ".", "For", "fiscal", "year", "2018", ",", "the", "Executives", "Annual", "Cash", "Incentive", ",", "if", "any", ",", "may", "be", "below", "(", "including", "zero", ")", ",", "at", ",", "or", "above", ",", "the", "target", "based", "upon", "the", "achievement", "of", "the", "performance", "objectives", ",", "and", "payment", "of", "any", "such", "Annual", "Cash", "Incentive", "shall", "be", "in", "accordance", "with", "the", "terms", "of", "such", "program", "."]}
{"id": "15134", "text": "This Waiver and General Release Agreement (the Agreement) is being entered into between Craig I. Forman (Executive) and The McClatchy Company, a Delaware corporation (the Company), in connection with the termination of Executives employment with the Company as of [Month, Day], [Year] (the Termination Date), in consideration of the severance payment (the Severance Payment) provided to Executive pursuant to and in accordance with the Executive Employment Agreement, dated January 25, 2017 , by and between Executive and the Company (the Employment Agreement). Executive and the Company are referred to collectively as the Parties.", "ner": [[1, 5, "Title"], [15, 18, "Parties"], [23, 25, "Parties"], [84, 86, "Title"], [89, 92, "EffectiveDate"]], "tokenized_text": ["This", "Waiver", "and", "General", "Release", "Agreement", "(", "the", "Agreement", ")", "is", "being", "entered", "into", "between", "Craig", "I", ".", "Forman", "(", "Executive", ")", "and", "The", "McClatchy", "Company", ",", "a", "Delaware", "corporation", "(", "the", "Company", ")", ",", "in", "connection", "with", "the", "termination", "of", "Executives", "employment", "with", "the", "Company", "as", "of", "[", "Month", ",", "Day", "]", ",", "[", "Year", "]", "(", "the", "Termination", "Date", ")", ",", "in", "consideration", "of", "the", "severance", "payment", "(", "the", "Severance", "Payment", ")", "provided", "to", "Executive", "pursuant", "to", "and", "in", "accordance", "with", "the", "Executive", "Employment", "Agreement", ",", "dated", "January", "25", ",", "2017", ",", "by", "and", "between", "Executive", "and", "the", "Company", "(", "the", "Employment", "Agreement", ")", ".", "Executive", "and", "the", "Company", "are", "referred", "to", "collectively", "as", "the", "Parties", "."]}
{"id": "15135", "text": "i.Antidiscrimination laws, such as Title VII of the Civil Rights Act of 1964 , as amended, and Executive Order 11246 (which prohibit discrimination based on race, color, national origin, religion, or sex); Section 1981 of the Civil Rights Act of 1866 (which prohibits discrimination based on race or color); the Americans with Disabilities Act and Sections 503 and 504 of the Rehabilitation Act of 1973 (which prohibit discrimination based upon disability); the Age Discrimination in Employment Act, as amended, 29 U.S.C. Section 621 et seq. (which prohibits discrimination on the basis of age); the Equal Pay Act ( which prohibits paying men and women unequal pay for equal work); the California Fair Employment and Housing Act , California Government Code Section 12900 et seq. (which prohibits discrimination based on protected characteristics including race, color, religion, sex, gender, sexual orientation, marital status, national origin, language restrictions, ancestry, physical or mental disability, medical condition, age, and denial of leave); the California Equal Pay Law (which prohibits paying men and women unequal pay for equal work), California Labor Code Section 1197.5; the Unruh Civil Rights Act , California Civil Code Section 51 et seq. (which prohibits discrimination based on age, sex, race, color, religion, ancestry, national origin, disability, medical condition, marital status, or sexual orientation); or any other local, state or federal statute, regulation, common law or decision concerning discrimination, harassment, or retaliation on these or any other grounds or otherwise governing the employment relationship.", "ner": [[11, 15, "Act"], [21, 23, "Regulation"], [47, 51, "Act"], [64, 67, "Act"], [75, 78, "Act"], [89, 93, "Act"], [98, 106, "Regulation"], [122, 124, "Act"], [140, 145, "Act"], [147, 151, "Regulation"], [205, 208, "Act"], [223, 229, "Regulation"], [232, 235, "Act"], [237, 241, "Regulation"]], "tokenized_text": ["i", ".", "Antidiscrimination", "laws", ",", "such", "as", "Title", "VII", "of", "the", "Civil", "Rights", "Act", "of", "1964", ",", "as", "amended", ",", "and", "Executive", "Order", "11246", "(", "which", "prohibit", "discrimination", "based", "on", "race", ",", "color", ",", "national", "origin", ",", "religion", ",", "or", "sex", ")", ";", "Section", "1981", "of", "the", "Civil", "Rights", "Act", "of", "1866", "(", "which", "prohibits", "discrimination", "based", "on", "race", "or", "color", ")", ";", "the", "Americans", "with", "Disabilities", "Act", "and", "Sections", "503", "and", "504", "of", "the", "Rehabilitation", "Act", "of", "1973", "(", "which", "prohibit", "discrimination", "based", "upon", "disability", ")", ";", "the", "Age", "Discrimination", "in", "Employment", "Act", ",", "as", "amended", ",", "29", "U", ".", "S", ".", "C", ".", "Section", "621", "et", "seq", ".", "(", "which", "prohibits", "discrimination", "on", "the", "basis", "of", "age", ")", ";", "the", "Equal", "Pay", "Act", "(", "which", "prohibits", "paying", "men", "and", "women", "unequal", "pay", "for", "equal", "work", ")", ";", "the", "California", "Fair", "Employment", "and", "Housing", "Act", ",", "California", "Government", "Code", "Section", "12900", "et", "seq", ".", "(", "which", "prohibits", "discrimination", "based", "on", "protected", "characteristics", "including", "race", ",", "color", ",", "religion", ",", "sex", ",", "gender", ",", "sexual", "orientation", ",", "marital", "status", ",", "national", "origin", ",", "language", "restrictions", ",", "ancestry", ",", "physical", "or", "mental", "disability", ",", "medical", "condition", ",", "age", ",", "and", "denial", "of", "leave", ")", ";", "the", "California", "Equal", "Pay", "Law", "(", "which", "prohibits", "paying", "men", "and", "women", "unequal", "pay", "for", "equal", "work", ")", ",", "California", "Labor", "Code", "Section", "1197", ".", "5", ";", "the", "Unruh", "Civil", "Rights", "Act", ",", "California", "Civil", "Code", "Section", "51", "et", "seq", ".", "(", "which", "prohibits", "discrimination", "based", "on", "age", ",", "sex", ",", "race", ",", "color", ",", "religion", ",", "ancestry", ",", "national", "origin", ",", "disability", ",", "medical", "condition", ",", "marital", "status", ",", "or", "sexual", "orientation", ")", ";", "or", "any", "other", "local", ",", "state", "or", "federal", "statute", ",", "regulation", ",", "common", "law", "or", "decision", "concerning", "discrimination", ",", "harassment", ",", "or", "retaliation", "on", "these", "or", "any", "other", "grounds", "or", "otherwise", "governing", "the", "employment", "relationship", "."]}
{"id": "15136", "text": "ii.Other employment laws, such as the federal Worker Adjustment and Retraining Notification Act of 1988 and the California Worker Adjustment and Retraining Notification Act , California Labor Code Sections 1400 et seq. (known as WARN laws, which require advance notice of certain workforce reductions); the Employee Retirement Income Security Act of 1974 (which, among other things, protects employee benefits); the Fair Labor Standards Act of 1938 (which regulates wage and hour matters); the Family and Medical Leave Act of 1993 (which requires employers to provide leaves of absence under certain circumstances); the California Labor Code (which regulates employment and wage and hour matters); the California Family Rights Act of 1993, California Government Code Section 12945.1 et seq. (which requires employers to provide leaves of absence under certain circumstances); and any other federal, state, or local statute, regulation, common law or decision relating to employment, reemployment rights, leaves of absence or any other aspect of employment.", "ner": [[10, 17, "Act"], [20, 26, "Act"], [28, 30, "Act"], [31, 32, "Regulation"], [53, 59, "Act"], [73, 78, "Act"], [89, 95, "Act"], [126, 131, "Act"], [133, 139, "Regulation"]], "tokenized_text": ["ii", ".", "Other", "employment", "laws", ",", "such", "as", "the", "federal", "Worker", "Adjustment", "and", "Retraining", "Notification", "Act", "of", "1988", "and", "the", "California", "Worker", "Adjustment", "and", "Retraining", "Notification", "Act", ",", "California", "Labor", "Code", "Sections", "1400", "et", "seq", ".", "(", "known", "as", "WARN", "laws", ",", "which", "require", "advance", "notice", "of", "certain", "workforce", "reductions", ")", ";", "the", "Employee", "Retirement", "Income", "Security", "Act", "of", "1974", "(", "which", ",", "among", "other", "things", ",", "protects", "employee", "benefits", ")", ";", "the", "Fair", "Labor", "Standards", "Act", "of", "1938", "(", "which", "regulates", "wage", "and", "hour", "matters", ")", ";", "the", "Family", "and", "Medical", "Leave", "Act", "of", "1993", "(", "which", "requires", "employers", "to", "provide", "leaves", "of", "absence", "under", "certain", "circumstances", ")", ";", "the", "California", "Labor", "Code", "(", "which", "regulates", "employment", "and", "wage", "and", "hour", "matters", ")", ";", "the", "California", "Family", "Rights", "Act", "of", "1993", ",", "California", "Government", "Code", "Section", "12945", ".", "1", "et", "seq", ".", "(", "which", "requires", "employers", "to", "provide", "leaves", "of", "absence", "under", "certain", "circumstances", ")", ";", "and", "any", "other", "federal", ",", "state", ",", "or", "local", "statute", ",", "regulation", ",", "common", "law", "or", "decision", "relating", "to", "employment", ",", "reemployment", "rights", ",", "leaves", "of", "absence", "or", "any", "other", "aspect", "of", "employment", "."]}
{"id": "12140", "text": "4.ADEA Acknowledgement/Time Periods. With respect to the General Release in Section 1 of this Agreement, Executive agrees and understands that by signing this Agreement, Executive is specifically releasing all claims under the Age Discrimination in Employment Act, as amended, 29 U.S.C. Section 621 et seq. Executive acknowledges that he has carefully read and understands this Agreement in its entirety and executes it voluntarily and without coercion.", "ner": [[39, 43, "Act"], [48, 56, "Regulation"]], "tokenized_text": ["4", ".", "ADEA", "Acknowledgement", "/", "Time", "Periods", ".", "With", "respect", "to", "the", "General", "Release", "in", "Section", "1", "of", "this", "Agreement", ",", "Executive", "agrees", "and", "understands", "that", "by", "signing", "this", "Agreement", ",", "Executive", "is", "specifically", "releasing", "all", "claims", "under", "the", "Age", "Discrimination", "in", "Employment", "Act", ",", "as", "amended", ",", "29", "U", ".", "S", ".", "C", ".", "Section", "621", "et", "seq", ".", "Executive", "acknowledges", "that", "he", "has", "carefully", "read", "and", "understands", "this", "Agreement", "in", "its", "entirety", "and", "executes", "it", "voluntarily", "and", "without", "coercion", "."]}
{"id": "15141", "text": "b.Revocation Period. Executive understands that Executive has seven (7) days following his execution of this Agreement to revoke it in writing, and that this Agreement is not effective or enforceable until after this seven (7) day period has expired without revocation. If Executive wishes to revoke this Agreement after signing it, Executive must provide written notice of Executives decision to revoke the Agreement to the Company, Attention: Billie McConkey, Vice President , HR &amp; General Counsel, The McClatchy Company, 2100 Q Street, Sacramento, California 95816 (email: bmcconkey@ mcclatchy.com) by no later than 12:01 a.m. on the eighth (8th) calendar day after the date by which Executive has signed this Agreement (the Revocation Deadline).", "ner": [[79, 80, "Role"], [82, 83, "Role"], [96, 103, "Address"], [107, 111, "PII_Ref"]], "tokenized_text": ["b", ".", "Revocation", "Period", ".", "Executive", "understands", "that", "Executive", "has", "seven", "(", "7", ")", "days", "following", "his", "execution", "of", "this", "Agreement", "to", "revoke", "it", "in", "writing", ",", "and", "that", "this", "Agreement", "is", "not", "effective", "or", "enforceable", "until", "after", "this", "seven", "(", "7", ")", "day", "period", "has", "expired", "without", "revocation", ".", "If", "Executive", "wishes", "to", "revoke", "this", "Agreement", "after", "signing", "it", ",", "Executive", "must", "provide", "written", "notice", "of", "Executives", "decision", "to", "revoke", "the", "Agreement", "to", "the", "Company", ",", "Attention", ":", "Billie", "McConkey", ",", "Vice", "President", ",", "HR", "&", "amp", ";", "General", "Counsel", ",", "The", "McClatchy", "Company", ",", "2100", "Q", "Street", ",", "Sacramento", ",", "California", "95816", "(", "email", ":", "bmcconkey", "@", "mcclatchy", ".", "com", ")", "by", "no", "later", "than", "12", ":", "01", "a", ".", "m", ".", "on", "the", "eighth", "(", "8th", ")", "calendar", "day", "after", "the", "date", "by", "which", "Executive", "has", "signed", "this", "Agreement", "(", "the", "Revocation", "Deadline", ")", "."]}
{"id": "15143", "text": "1.Employment. The Company shall employ Employee, and Employee accepts employment with the Company, upon the terms and conditions set forth in this Agreement for the period beginning on the Effective Date and ending on the third anniversary of such date (the Initial Term); provided, however, that (a) on such third anniversary date (and on the fourth and fifth anniversary dates of the Effective Date thereafter), the term of this Agreement will automatically (without any action by either party) be extended for one additional year (each, a Renewal Period), unless, at least 90 days prior to either the third, fourth, or fifth anniversary date of the Effective Date, as applicable, the Company or Employee has given written notice to the other party (a Non-Renewal Notice) that the Company or Employee does not wish to extend the term of the Agreement (a Non-Renewal), and (b) the Initial Term or any Renewal Period, as applicable, may be terminated prior to the expiration thereof in accordance with Section 4. Either party may elect not to renew this Agreement; provided, that, if no Non-Renewal Notice is given, and if this Agreement is not terminated earlier in accordance with Section 4, the Agreement will expire by its terms on the sixth anniversary of the Effective Date, unless extended by mutual agreement of the parties hereto. The term Employment Term means the period from the Effective Date until the expiration of the Initial Term and any applicable Renewal Period pursuant to this Section 1 or in accordance with Section 4 of this Agreement.", "ner": [[40, 41, "TerminationDate"], [98, 100, "RenewalTerm"], [245, 246, "TerminationDate"]], "tokenized_text": ["1", ".", "Employment", ".", "The", "Company", "shall", "employ", "Employee", ",", "and", "Employee", "accepts", "employment", "with", "the", "Company", ",", "upon", "the", "terms", "and", "conditions", "set", "forth", "in", "this", "Agreement", "for", "the", "period", "beginning", "on", "the", "Effective", "Date", "and", "ending", "on", "the", "third", "anniversary", "of", "such", "date", "(", "the", "Initial", "Term", ")", ";", "provided", ",", "however", ",", "that", "(", "a", ")", "on", "such", "third", "anniversary", "date", "(", "and", "on", "the", "fourth", "and", "fifth", "anniversary", "dates", "of", "the", "Effective", "Date", "thereafter", ")", ",", "the", "term", "of", "this", "Agreement", "will", "automatically", "(", "without", "any", "action", "by", "either", "party", ")", "be", "extended", "for", "one", "additional", "year", "(", "each", ",", "a", "Renewal", "Period", ")", ",", "unless", ",", "at", "least", "90", "days", "prior", "to", "either", "the", "third", ",", "fourth", ",", "or", "fifth", "anniversary", "date", "of", "the", "Effective", "Date", ",", "as", "applicable", ",", "the", "Company", "or", "Employee", "has", "given", "written", "notice", "to", "the", "other", "party", "(", "a", "Non-Renewal", "Notice", ")", "that", "the", "Company", "or", "Employee", "does", "not", "wish", "to", "extend", "the", "term", "of", "the", "Agreement", "(", "a", "Non-Renewal", ")", ",", "and", "(", "b", ")", "the", "Initial", "Term", "or", "any", "Renewal", "Period", ",", "as", "applicable", ",", "may", "be", "terminated", "prior", "to", "the", "expiration", "thereof", "in", "accordance", "with", "Section", "4", ".", "Either", "party", "may", "elect", "not", "to", "renew", "this", "Agreement", ";", "provided", ",", "that", ",", "if", "no", "Non-Renewal", "Notice", "is", "given", ",", "and", "if", "this", "Agreement", "is", "not", "terminated", "earlier", "in", "accordance", "with", "Section", "4", ",", "the", "Agreement", "will", "expire", "by", "its", "terms", "on", "the", "sixth", "anniversary", "of", "the", "Effective", "Date", ",", "unless", "extended", "by", "mutual", "agreement", "of", "the", "parties", "hereto", ".", "The", "term", "Employment", "Term", "means", "the", "period", "from", "the", "Effective", "Date", "until", "the", "expiration", "of", "the", "Initial", "Term", "and", "any", "applicable", "Renewal", "Period", "pursuant", "to", "this", "Section", "1", "or", "in", "accordance", "with", "Section", "4", "of", "this", "Agreement", "."]}
{"id": "15144", "text": "(a)During the Employment Term, Employee shall hold the title of Vice President - Gas Gathering and Marketing. The Company and Employee agree that the Employee shall have duties and responsibilities consistent with the position set forth above in a company the size and of the nature of the Company, and such other duties and authority that are assigned to Employee from time to time by the Companys Board of Directors (the Board), or such other officer of the Company as shall be designated by the Board. Employee shall report to the Board, or to such other officer of the Company as shall be designated by the Board.", "ner": [[14, 15, "Role"]], "tokenized_text": ["(", "a", ")", "During", "the", "Employment", "Term", ",", "Employee", "shall", "hold", "the", "title", "of", "Vice", "President", "-", "Gas", "Gathering", "and", "Marketing", ".", "The", "Company", "and", "Employee", "agree", "that", "the", "Employee", "shall", "have", "duties", "and", "responsibilities", "consistent", "with", "the", "position", "set", "forth", "above", "in", "a", "company", "the", "size", "and", "of", "the", "nature", "of", "the", "Company", ",", "and", "such", "other", "duties", "and", "authority", "that", "are", "assigned", "to", "Employee", "from", "time", "to", "time", "by", "the", "Companys", "Board", "of", "Directors", "(", "the", "Board", ")", ",", "or", "such", "other", "officer", "of", "the", "Company", "as", "shall", "be", "designated", "by", "the", "Board", ".", "Employee", "shall", "report", "to", "the", "Board", ",", "or", "to", "such", "other", "officer", "of", "the", "Company", "as", "shall", "be", "designated", "by", "the", "Board", "."]}
{"id": "15145", "text": "(a)Base Salary. During the Employment Term, Employees base salary shall be $300,000 per annum, which salary may be increased (but not decreased) by the Board (or a designated committee thereof) in its discretion (the Base Salary), which Base Salary shall be payable in regular installments in accordance with the Companys general payroll practices and subject to withholding and other payroll taxes.", "ner": [[16, 19, "Salary"]], "tokenized_text": ["(", "a", ")", "Base", "Salary", ".", "During", "the", "Employment", "Term", ",", "Employees", "base", "salary", "shall", "be", "$", "300", ",", "000", "per", "annum", ",", "which", "salary", "may", "be", "increased", "(", "but", "not", "decreased", ")", "by", "the", "Board", "(", "or", "a", "designated", "committee", "thereof", ")", "in", "its", "discretion", "(", "the", "Base", "Salary", ")", ",", "which", "Base", "Salary", "shall", "be", "payable", "in", "regular", "installments", "in", "accordance", "with", "the", "Companys", "general", "payroll", "practices", "and", "subject", "to", "withholding", "and", "other", "payroll", "taxes", "."]}
{"id": "15146", "text": "(b)Disability. Employees employment hereunder shall terminate upon a determination that he has incurred a Disability. For purposes of this Agreement, Disability means, at any time the Company sponsors a long-term disability plan for the Companys employees, disability as defined in such long-term disability plan for the purpose of determining a participants eligibility for benefits, provided, that if the long-term disability plan contains multiple definitions of disability, Disability shall refer to that definition of disability which, if Employee qualified for such disability benefits, would provide coverage for the longest period of time. The determination of whether Employee has a Disability shall be made in good faith by the person or persons required to make disability determinations under the long-term disability plan. If Employee is not covered under the Companys long-term disability plan or if the Company does not sponsor a long-term disability plan at such time, then the term Disability hereunder shall mean a permanent and total disability as defined in section 22(e)(3) of the Internal Revenue Code of 1986 , as amended (the Code), and, in this case, the existence of any such Disability shall be certified by a physician acceptable to both the Company and Employee. In the event the parties are not able to agree on the choice of a physician, each party shall select a physician who, in turn, shall select a third physician to render such certification.", "ner": [[186, 190, "Act"]], "tokenized_text": ["(", "b", ")", "Disability", ".", "Employees", "employment", "hereunder", "shall", "terminate", "upon", "a", "determination", "that", "he", "has", "incurred", "a", "Disability", ".", "For", "purposes", "of", "this", "Agreement", ",", "Disability", "means", ",", "at", "any", "time", "the", "Company", "sponsors", "a", "long-term", "disability", "plan", "for", "the", "Companys", "employees", ",", "disability", "as", "defined", "in", "such", "long-term", "disability", "plan", "for", "the", "purpose", "of", "determining", "a", "participants", "eligibility", "for", "benefits", ",", "provided", ",", "that", "if", "the", "long-term", "disability", "plan", "contains", "multiple", "definitions", "of", "disability", ",", "Disability", "shall", "refer", "to", "that", "definition", "of", "disability", "which", ",", "if", "Employee", "qualified", "for", "such", "disability", "benefits", ",", "would", "provide", "coverage", "for", "the", "longest", "period", "of", "time", ".", "The", "determination", "of", "whether", "Employee", "has", "a", "Disability", "shall", "be", "made", "in", "good", "faith", "by", "the", "person", "or", "persons", "required", "to", "make", "disability", "determinations", "under", "the", "long-term", "disability", "plan", ".", "If", "Employee", "is", "not", "covered", "under", "the", "Companys", "long-term", "disability", "plan", "or", "if", "the", "Company", "does", "not", "sponsor", "a", "long-term", "disability", "plan", "at", "such", "time", ",", "then", "the", "term", "Disability", "hereunder", "shall", "mean", "a", "permanent", "and", "total", "disability", "as", "defined", "in", "section", "22", "(", "e", ")", "(", "3", ")", "of", "the", "Internal", "Revenue", "Code", "of", "1986", ",", "as", "amended", "(", "the", "Code", ")", ",", "and", ",", "in", "this", "case", ",", "the", "existence", "of", "any", "such", "Disability", "shall", "be", "certified", "by", "a", "physician", "acceptable", "to", "both", "the", "Company", "and", "Employee", ".", "In", "the", "event", "the", "parties", "are", "not", "able", "to", "agree", "on", "the", "choice", "of", "a", "physician", ",", "each", "party", "shall", "select", "a", "physician", "who", ",", "in", "turn", ",", "shall", "select", "a", "third", "physician", "to", "render", "such", "certification", "."]}
{"id": "15148", "text": "A.Any person or group of related persons (as such terms are used in sections 13(d) and 14(d) of the Securities Exchange Act of 1934 , as amended (the Exchange Act )) or any group working cooperatively to advance or achieve common economic goals, including, without limitation, a group that forms a group or committee for purposes of negotiating a restructuring transaction, other than Ares, Clayton Williams, Jr., The Williams Childrens Partnership, Ltd. or any Related Party thereof, is or becomes the beneficial owner (as defined in Rules 13d-3 and 13d-5 under the Exchange Act , except that such person or group shall be deemed to have beneficial ownership of all shares that such person or group has the right to acquire, whether such right is exercisable immediately or only after the passage of time), directly or indirectly, of more than (i) 35% of the total voting power of the outstanding capital stock (excluding any debt securities convertible into equity) normally entitled to vote in the election of directors (Voting Stock) of the Company (or its successor by merger, consolidation or purchase of all or substantially all of its assets) (for purposes of this clause, such person or group shall be deemed to beneficially own any Voting Stock held by a parent entity, if such person or group beneficially owns (as defined above), directly or indirectly, more than 35% of the voting power of the Voting Stock of such parent entity), (ii) 35% of the aggregate economic interests in the Company (or its successor by merger, consolidation or purchase of all or substantially all of its assets) or (iii) 35% of the total common stock of the Company (or its successor by merger, consolidation or purchase of all or substantially all of its assets);", "ner": [[28, 32, "Act"], [80, 84, "Parties"], [86, 92, "Parties"], [110, 110, "Regulation"], [112, 112, "Regulation"], [170, 171, "Percentage"]], "tokenized_text": ["A", ".", "Any", "person", "or", "group", "of", "related", "persons", "(", "as", "such", "terms", "are", "used", "in", "sections", "13", "(", "d", ")", "and", "14", "(", "d", ")", "of", "the", "Securities", "Exchange", "Act", "of", "1934", ",", "as", "amended", "(", "the", "Exchange", "Act", ")", ")", "or", "any", "group", "working", "cooperatively", "to", "advance", "or", "achieve", "common", "economic", "goals", ",", "including", ",", "without", "limitation", ",", "a", "group", "that", "forms", "a", "group", "or", "committee", "for", "purposes", "of", "negotiating", "a", "restructuring", "transaction", ",", "other", "than", "Ares", ",", "Clayton", "Williams", ",", "Jr", ".", ",", "The", "Williams", "Childrens", "Partnership", ",", "Ltd", ".", "or", "any", "Related", "Party", "thereof", ",", "is", "or", "becomes", "the", "beneficial", "owner", "(", "as", "defined", "in", "Rules", "13d-3", "and", "13d-5", "under", "the", "Exchange", "Act", ",", "except", "that", "such", "person", "or", "group", "shall", "be", "deemed", "to", "have", "beneficial", "ownership", "of", "all", "shares", "that", "such", "person", "or", "group", "has", "the", "right", "to", "acquire", ",", "whether", "such", "right", "is", "exercisable", "immediately", "or", "only", "after", "the", "passage", "of", "time", ")", ",", "directly", "or", "indirectly", ",", "of", "more", "than", "(", "i", ")", "35", "%", "of", "the", "total", "voting", "power", "of", "the", "outstanding", "capital", "stock", "(", "excluding", "any", "debt", "securities", "convertible", "into", "equity", ")", "normally", "entitled", "to", "vote", "in", "the", "election", "of", "directors", "(", "Voting", "Stock", ")", "of", "the", "Company", "(", "or", "its", "successor", "by", "merger", ",", "consolidation", "or", "purchase", "of", "all", "or", "substantially", "all", "of", "its", "assets", ")", "(", "for", "purposes", "of", "this", "clause", ",", "such", "person", "or", "group", "shall", "be", "deemed", "to", "beneficially", "own", "any", "Voting", "Stock", "held", "by", "a", "parent", "entity", ",", "if", "such", "person", "or", "group", "beneficially", "owns", "(", "as", "defined", "above", ")", ",", "directly", "or", "indirectly", ",", "more", "than", "35", "%", "of", "the", "voting", "power", "of", "the", "Voting", "Stock", "of", "such", "parent", "entity", ")", ",", "(", "ii", ")", "35", "%", "of", "the", "aggregate", "economic", "interests", "in", "the", "Company", "(", "or", "its", "successor", "by", "merger", ",", "consolidation", "or", "purchase", "of", "all", "or", "substantially", "all", "of", "its", "assets", ")", "or", "(", "iii", ")", "35", "%", "of", "the", "total", "common", "stock", "of", "the", "Company", "(", "or", "its", "successor", "by", "merger", ",", "consolidation", "or", "purchase", "of", "all", "or", "substantially", "all", "of", "its", "assets", ")", ";"]}
{"id": "15153", "text": "IN WITNESS WHEREOF, the parties hereto have executed this Employment Agreement as of the Effective Date.", "ner": [[10, 11, "Title"]], "tokenized_text": ["IN", "WITNESS", "WHEREOF", ",", "the", "parties", "hereto", "have", "executed", "this", "Employment", "Agreement", "as", "of", "the", "Effective", "Date", "."]}
{"id": "15156", "text": "EMPLOYMENT AGREEMENT (this Agreement) dated as of June26, 2016 , 2016 (the Effective Date), between AB Management Services Corp. , a Delaware corporation (the Company), and Wayne A. Denningham (the Executive, and together with the Company, the Parties).", "ner": [[0, 1, "Title"], [9, 13, "EffectiveDate"], [21, 25, "Parties"], [36, 39, "Parties"]], "tokenized_text": ["EMPLOYMENT", "AGREEMENT", "(", "this", "Agreement", ")", "dated", "as", "of", "June26", ",", "2016", ",", "2016", "(", "the", "Effective", "Date", ")", ",", "between", "AB", "Management", "Services", "Corp", ".", ",", "a", "Delaware", "corporation", "(", "the", "Company", ")", ",", "and", "Wayne", "A", ".", "Denningham", "(", "the", "Executive", ",", "and", "together", "with", "the", "Company", ",", "the", "Parties", ")", "."]}
{"id": "15157", "text": "2\\. Term. Subject to earlier termination pursuant to Section5 of this Agreement, this Agreement and the employment relationship hereunder shall continue from the Effective Date until January30, 2018 (the Term Date). As used in this Agreement, the Term shall refer to the period beginning on the Effective Date and ending on the date the Executives employment terminates in accordance with this Section2 or Section5\\. In the event that the Executives employment with the Company terminates, the Companys obligation to continue to pay all base salary, as adjusted, bonus and other benefits then accrued shall terminate except as may be provided for in Section5 of this Agreement.", "ner": [[30, 32, "TerminationDate"]], "tokenized_text": ["2", "\\", ".", "Term", ".", "Subject", "to", "earlier", "termination", "pursuant", "to", "Section5", "of", "this", "Agreement", ",", "this", "Agreement", "and", "the", "employment", "relationship", "hereunder", "shall", "continue", "from", "the", "Effective", "Date", "until", "January30", ",", "2018", "(", "the", "Term", "Date", ")", ".", "As", "used", "in", "this", "Agreement", ",", "the", "Term", "shall", "refer", "to", "the", "period", "beginning", "on", "the", "Effective", "Date", "and", "ending", "on", "the", "date", "the", "Executives", "employment", "terminates", "in", "accordance", "with", "this", "Section2", "or", "Section5", "\\", ".", "In", "the", "event", "that", "the", "Executives", "employment", "with", "the", "Company", "terminates", ",", "the", "Companys", "obligation", "to", "continue", "to", "pay", "all", "base", "salary", ",", "as", "adjusted", ",", "bonus", "and", "other", "benefits", "then", "accrued", "shall", "terminate", "except", "as", "may", "be", "provided", "for", "in", "Section5", "of", "this", "Agreement", "."]}
{"id": "15159", "text": "4.1 Base Salary. The Company will pay to the Executive an annual base salary of $800,000 , payable in accordance with the customary payroll practices of the Company (Base Salary). Executive shall be entitled to such increases, if any, in Base Salary as may be determined from time to time by the Board or the compensation committee of the Board (the Compensation Committee).", "ner": [[18, 21, "Salary"]], "tokenized_text": ["4", ".", "1", "Base", "Salary", ".", "The", "Company", "will", "pay", "to", "the", "Executive", "an", "annual", "base", "salary", "of", "$", "800", ",", "000", ",", "payable", "in", "accordance", "with", "the", "customary", "payroll", "practices", "of", "the", "Company", "(", "Base", "Salary", ")", ".", "Executive", "shall", "be", "entitled", "to", "such", "increases", ",", "if", "any", ",", "in", "Base", "Salary", "as", "may", "be", "determined", "from", "time", "to", "time", "by", "the", "Board", "or", "the", "compensation", "committee", "of", "the", "Board", "(", "the", "Compensation", "Committee", ")", "."]}
{"id": "15163", "text": "| | ---|---|--- Hogan Lovells US LLP 1999 Avenue of the Stars, Suite 1400 Los Angeles, CA 90067 Attention: | | Barry L. Dastin, Esq. Telephone : | | (310) 785-4717 Fax: | | (310) 775-4551 9.2 Entire Agreement. This Agreement contains the entire agreement between the Parties with respect to the subject matter hereof and supersedes all prior agreements, written or oral, with respect thereto, including, without limitation, that certain letter agreement between the Executive and Albertsons Companies, Inc., dated September18, 2015.", "ner": [[34, 40, "PII_Ref"], [45, 48, "PII_Ref"], [53, 56, "PII_Ref"], [106, 110, "Parties"], [113, 115, "EffectiveDate"]], "tokenized_text": ["|", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "Hogan", "Lovells", "US", "LLP", "1999", "Avenue", "of", "the", "Stars", ",", "Suite", "1400", "Los", "Angeles", ",", "CA", "90067", "Attention", ":", "|", "|", "Barry", "L", ".", "Dastin", ",", "Esq", ".", "Telephone", ":", "|", "|", "(", "310", ")", "785-4717", "Fax", ":", "|", "|", "(", "310", ")", "775-4551", "9", ".", "2", "Entire", "Agreement", ".", "This", "Agreement", "contains", "the", "entire", "agreement", "between", "the", "Parties", "with", "respect", "to", "the", "subject", "matter", "hereof", "and", "supersedes", "all", "prior", "agreements", ",", "written", "or", "oral", ",", "with", "respect", "thereto", ",", "including", ",", "without", "limitation", ",", "that", "certain", "letter", "agreement", "between", "the", "Executive", "and", "Albertsons", "Companies", ",", "Inc", ".", ",", "dated", "September18", ",", "2015", "."]}
{"id": "15164", "text": "9.7 Governing Law, Dispute Resolution and Venue. This Agreement shall be governed and construed in accordance with the laws of the State of Idaho applicable to agreements made and not to be performed entirely within such state, without regard to conflicts of laws principles.", "ner": [[25, 27, "Court"]], "tokenized_text": ["9", ".", "7", "Governing", "Law", ",", "Dispute", "Resolution", "and", "Venue", ".", "This", "Agreement", "shall", "be", "governed", "and", "construed", "in", "accordance", "with", "the", "laws", "of", "the", "State", "of", "Idaho", "applicable", "to", "agreements", "made", "and", "not", "to", "be", "performed", "entirely", "within", "such", "state", ",", "without", "regard", "to", "conflicts", "of", "laws", "principles", "."]}
{"id": "15167", "text": "WHEREAS, Executive is employed by the Company, a wholly-owned subsidiary of Patterson-UTI Energy, Inc., a Delaware corporation (Parent), and serves as President of the Company;", "ner": [[2, 2, "Role"], [13, 17, "Parties"], [29, 29, "Role"]], "tokenized_text": ["WHEREAS", ",", "Executive", "is", "employed", "by", "the", "Company", ",", "a", "wholly-owned", "subsidiary", "of", "Patterson-UTI", "Energy", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "Parent", ")", ",", "and", "serves", "as", "President", "of", "the", "Company", ";"]}
{"id": "15170", "text": "3\\. Term. Subject to the provision for earlier termination set forth in Section5 hereof, this Agreement shall be for an initial term that begins on the Effective Date and continues in effect through the third anniversary of the Effective Date and, unless terminated sooner as herein provided, shall automatically be extended for one additional year on each anniversary of the Effective Date (the Term).", "ner": [[38, 39, "TerminationDate"], [58, 60, "RenewalTerm"]], "tokenized_text": ["3", "\\", ".", "Term", ".", "Subject", "to", "the", "provision", "for", "earlier", "termination", "set", "forth", "in", "Section5", "hereof", ",", "this", "Agreement", "shall", "be", "for", "an", "initial", "term", "that", "begins", "on", "the", "Effective", "Date", "and", "continues", "in", "effect", "through", "the", "third", "anniversary", "of", "the", "Effective", "Date", "and", ",", "unless", "terminated", "sooner", "as", "herein", "provided", ",", "shall", "automatically", "be", "extended", "for", "one", "additional", "year", "on", "each", "anniversary", "of", "the", "Effective", "Date", "(", "the", "Term", ")", "."]}
{"id": "15175", "text": "| (i) | The acquisition by any individual, entity or group (within the meaning of Section 13(d)(3) or 14(d)(2) of the Exchange Act ) ( a Covered Person) of beneficial ownership (within the meaning of rule 13d-3 promulgated under the Exchange Act ) of 35% or more of either (i)the then outstanding shares of the common stock of Parent (the Outstanding Parent Common Stock), or (ii)the combined voting power of the then outstanding voting securities of Parent entitled to vote generally in the election of directors (the Outstanding Parent Voting Securities); provided, however, that for purposes of this subsection (i)of this Section 7(d), the following acquisitions shall not constitute a Change in Control of Parent: (i)any acquisition directly from Parent, (ii)any acquisition by Parent, (iii)any acquisition by any employee benefit plan (or related trust) sponsored or maintained by Parent or any entity controlled by Parent, or (iv)any acquisition by any corporation pursuant to a transaction which complies with clauses (A), (B) and (C)of subsection (iii)of this Section 7(d); or ---|---|---", "ner": [[37, 38, "Act"], [53, 54, "Regulation"], [62, 63, "Percentage"]], "tokenized_text": ["|", "(", "i", ")", "|", "The", "acquisition", "by", "any", "individual", ",", "entity", "or", "group", "(", "within", "the", "meaning", "of", "Section", "13", "(", "d", ")", "(", "3", ")", "or", "14", "(", "d", ")", "(", "2", ")", "of", "the", "Exchange", "Act", ")", "(", "a", "Covered", "Person", ")", "of", "beneficial", "ownership", "(", "within", "the", "meaning", "of", "rule", "13d-3", "promulgated", "under", "the", "Exchange", "Act", ")", "of", "35", "%", "or", "more", "of", "either", "(", "i", ")", "the", "then", "outstanding", "shares", "of", "the", "common", "stock", "of", "Parent", "(", "the", "Outstanding", "Parent", "Common", "Stock", ")", ",", "or", "(", "ii", ")", "the", "combined", "voting", "power", "of", "the", "then", "outstanding", "voting", "securities", "of", "Parent", "entitled", "to", "vote", "generally", "in", "the", "election", "of", "directors", "(", "the", "Outstanding", "Parent", "Voting", "Securities", ")", ";", "provided", ",", "however", ",", "that", "for", "purposes", "of", "this", "subsection", "(", "i", ")", "of", "this", "Section", "7", "(", "d", ")", ",", "the", "following", "acquisitions", "shall", "not", "constitute", "a", "Change", "in", "Control", "of", "Parent", ":", "(", "i", ")", "any", "acquisition", "directly", "from", "Parent", ",", "(", "ii", ")", "any", "acquisition", "by", "Parent", ",", "(", "iii", ")", "any", "acquisition", "by", "any", "employee", "benefit", "plan", "(", "or", "related", "trust", ")", "sponsored", "or", "maintained", "by", "Parent", "or", "any", "entity", "controlled", "by", "Parent", ",", "or", "(", "iv", ")", "any", "acquisition", "by", "any", "corporation", "pursuant", "to", "a", "transaction", "which", "complies", "with", "clauses", "(", "A", ")", ",", "(", "B", ")", "and", "(", "C", ")", "of", "subsection", "(", "iii", ")", "of", "this", "Section", "7", "(", "d", ")", ";", "or", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "15176", "text": "| such Business Combination (including, without limitation, a corporation which as a result of such transaction owns Parent or all or substantially all of Parents assets either directly or through one or more subsidiaries) in substantially the same proportions as their ownership immediately prior to such Business Combination of the Outstanding Parent Common Stock and Outstanding Parent Voting Securities, as the case may be, (B)no Covered Person (excluding any employee benefit plan (or related trust) of Parent or such corporation resulting from such Business Combination) beneficially owns, directly or indirectly, 35% or more of, respectively, the then outstanding shares of common stock of the corporation resulting from such Business Combination or the combined voting power of the then outstanding voting securities of such corporation, except to the extent that such ownership existed prior to the Business Combination, and (C)at least a majority of the members of the board of directors of the corporation resulting from such Business Combination were members of the Incumbent Board at the time of the execution of the initial agreement, or, if earlier, of the action of the Board, providing for such Business Combination. ---|--- 8\\. Proprietary Information.", "ner": [[105, 106, "Percentage"]], "tokenized_text": ["|", "such", "Business", "Combination", "(", "including", ",", "without", "limitation", ",", "a", "corporation", "which", "as", "a", "result", "of", "such", "transaction", "owns", "Parent", "or", "all", "or", "substantially", "all", "of", "Parents", "assets", "either", "directly", "or", "through", "one", "or", "more", "subsidiaries", ")", "in", "substantially", "the", "same", "proportions", "as", "their", "ownership", "immediately", "prior", "to", "such", "Business", "Combination", "of", "the", "Outstanding", "Parent", "Common", "Stock", "and", "Outstanding", "Parent", "Voting", "Securities", ",", "as", "the", "case", "may", "be", ",", "(", "B", ")", "no", "Covered", "Person", "(", "excluding", "any", "employee", "benefit", "plan", "(", "or", "related", "trust", ")", "of", "Parent", "or", "such", "corporation", "resulting", "from", "such", "Business", "Combination", ")", "beneficially", "owns", ",", "directly", "or", "indirectly", ",", "35", "%", "or", "more", "of", ",", "respectively", ",", "the", "then", "outstanding", "shares", "of", "common", "stock", "of", "the", "corporation", "resulting", "from", "such", "Business", "Combination", "or", "the", "combined", "voting", "power", "of", "the", "then", "outstanding", "voting", "securities", "of", "such", "corporation", ",", "except", "to", "the", "extent", "that", "such", "ownership", "existed", "prior", "to", "the", "Business", "Combination", ",", "and", "(", "C", ")", "at", "least", "a", "majority", "of", "the", "members", "of", "the", "board", "of", "directors", "of", "the", "corporation", "resulting", "from", "such", "Business", "Combination", "were", "members", "of", "the", "Incumbent", "Board", "at", "the", "time", "of", "the", "execution", "of", "the", "initial", "agreement", ",", "or", ",", "if", "earlier", ",", "of", "the", "action", "of", "the", "Board", ",", "providing", "for", "such", "Business", "Combination", ".", "-", "-", "-", "|", "-", "-", "-", "8", "\\", ".", "Proprietary", "Information", "."]}
{"id": "15177", "text": "(c) Cooperation. Executive agrees that following any termination of his employment with the Company, he will not disclose or cause to be disclosed any Proprietary Information, or any negative or adverse information of a substantial nature about the Company or its Affiliates, the management of the Company or its Affiliates, any product or service provided by the Company or its Affiliates or the future prospects of the Company or its Affiliates unless required by court order. Nothing in this Section8 prohibits Executive from reporting possible violations of law or regulation to any governmental agency or entity (or of making any other protected disclosures). Pursuant to the Defend Trade Secrets Act of 2016 , Executive shall not be held criminally or civilly liable under any Federal or state trade secret law for the disclosure of any Proprietary Information that (i)is made (A)in confidence to a Federal, state or local government official, either directly or indirectly, or to an attorney and (B)solely for the purpose of reporting or investigating a suspected violation of law or (ii)is made in a complaint or other document filed in a lawsuit or other proceeding, if such filing is made under seal. The Company may seek the assistance, cooperation or testimony of Executive following any such termination in connection with any investigation, litigation or proceeding arising out of matters within the knowledge of Executive and related to his engagement by the Company, and in any instance, Executive shall provide such assistance, cooperation or testimony and the Company shall pay Executives reasonable costs and expenses in connection therewith.", "ner": [[117, 122, "Act"]], "tokenized_text": ["(", "c", ")", "Cooperation", ".", "Executive", "agrees", "that", "following", "any", "termination", "of", "his", "employment", "with", "the", "Company", ",", "he", "will", "not", "disclose", "or", "cause", "to", "be", "disclosed", "any", "Proprietary", "Information", ",", "or", "any", "negative", "or", "adverse", "information", "of", "a", "substantial", "nature", "about", "the", "Company", "or", "its", "Affiliates", ",", "the", "management", "of", "the", "Company", "or", "its", "Affiliates", ",", "any", "product", "or", "service", "provided", "by", "the", "Company", "or", "its", "Affiliates", "or", "the", "future", "prospects", "of", "the", "Company", "or", "its", "Affiliates", "unless", "required", "by", "court", "order", ".", "Nothing", "in", "this", "Section8", "prohibits", "Executive", "from", "reporting", "possible", "violations", "of", "law", "or", "regulation", "to", "any", "governmental", "agency", "or", "entity", "(", "or", "of", "making", "any", "other", "protected", "disclosures", ")", ".", "Pursuant", "to", "the", "Defend", "Trade", "Secrets", "Act", "of", "2016", ",", "Executive", "shall", "not", "be", "held", "criminally", "or", "civilly", "liable", "under", "any", "Federal", "or", "state", "trade", "secret", "law", "for", "the", "disclosure", "of", "any", "Proprietary", "Information", "that", "(", "i", ")", "is", "made", "(", "A", ")", "in", "confidence", "to", "a", "Federal", ",", "state", "or", "local", "government", "official", ",", "either", "directly", "or", "indirectly", ",", "or", "to", "an", "attorney", "and", "(", "B", ")", "solely", "for", "the", "purpose", "of", "reporting", "or", "investigating", "a", "suspected", "violation", "of", "law", "or", "(", "ii", ")", "is", "made", "in", "a", "complaint", "or", "other", "document", "filed", "in", "a", "lawsuit", "or", "other", "proceeding", ",", "if", "such", "filing", "is", "made", "under", "seal", ".", "The", "Company", "may", "seek", "the", "assistance", ",", "cooperation", "or", "testimony", "of", "Executive", "following", "any", "such", "termination", "in", "connection", "with", "any", "investigation", ",", "litigation", "or", "proceeding", "arising", "out", "of", "matters", "within", "the", "knowledge", "of", "Executive", "and", "related", "to", "his", "engagement", "by", "the", "Company", ",", "and", "in", "any", "instance", ",", "Executive", "shall", "provide", "such", "assistance", ",", "cooperation", "or", "testimony", "and", "the", "Company", "shall", "pay", "Executives", "reasonable", "costs", "and", "expenses", "in", "connection", "therewith", "."]}
{"id": "11178", "text": "| | ---|---|--- TotheCompany: | | Patterson-UTI Drilling Company LLC | | Attention: General Counsel | | 10713 West Sam Houston Parkway N., Suite 800 | | Houston, Texas 77064 | | Facsimile: (281) 765-7175 | ToExecutive: | | James M. Holcomb at the most recent address for Executive | | listed in the payroll records of the Company. or to such other address and to the attention of such other person(s) or officer(s) as any party may designate by written notice. Any notice mailed shall be deemed to have been given and received on the third business day following the day of mailing. Any notice sent by overnight courier, facsimile, telecommunication or other similar form of communication (with receipt confirmed) shall be deemed to have been given and received on the next business day following the day such communication is sent.", "ner": [[17, 20, "Parties"], [29, 38, "Address"], [41, 44, "Address"], [49, 52, "PII_Ref"], [58, 61, "Parties"]], "tokenized_text": ["|", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "TotheCompany", ":", "|", "|", "Patterson-UTI", "Drilling", "Company", "LLC", "|", "|", "Attention", ":", "General", "Counsel", "|", "|", "10713", "West", "Sam", "Houston", "Parkway", "N", ".", ",", "Suite", "800", "|", "|", "Houston", ",", "Texas", "77064", "|", "|", "Facsimile", ":", "(", "281", ")", "765-7175", "|", "ToExecutive", ":", "|", "|", "James", "M", ".", "Holcomb", "at", "the", "most", "recent", "address", "for", "Executive", "|", "|", "listed", "in", "the", "payroll", "records", "of", "the", "Company", ".", "or", "to", "such", "other", "address", "and", "to", "the", "attention", "of", "such", "other", "person", "(", "s", ")", "or", "officer", "(", "s", ")", "as", "any", "party", "may", "designate", "by", "written", "notice", ".", "Any", "notice", "mailed", "shall", "be", "deemed", "to", "have", "been", "given", "and", "received", "on", "the", "third", "business", "day", "following", "the", "day", "of", "mailing", ".", "Any", "notice", "sent", "by", "overnight", "courier", ",", "facsimile", ",", "telecommunication", "or", "other", "similar", "form", "of", "communication", "(", "with", "receipt", "confirmed", ")", "shall", "be", "deemed", "to", "have", "been", "given", "and", "received", "on", "the", "next", "business", "day", "following", "the", "day", "such", "communication", "is", "sent", "."]}
{"id": "15180", "text": "(a) This Agreement is intended to comply with the requirements of Section 409A of the Internal Revenue Code of 1986 , as amended (Section 409A) and shall be construed and interpreted in accordance with such intent. To the extent any payment or benefit provided under this Agreement is subject to Section 409A, such benefit shall be provided in a manner that complies with Section409A, including any IRS guidance promulgated with respect to Section 409A; provided, however, in no event shall any action to comply with Section 409A reduce the aggregate amount payable to Executive hereunder unless expressly agreed in writing by Executive.", "ner": [[13, 14, "Regulation"], [17, 21, "Act"]], "tokenized_text": ["(", "a", ")", "This", "Agreement", "is", "intended", "to", "comply", "with", "the", "requirements", "of", "Section", "409A", "of", "the", "Internal", "Revenue", "Code", "of", "1986", ",", "as", "amended", "(", "Section", "409A", ")", "and", "shall", "be", "construed", "and", "interpreted", "in", "accordance", "with", "such", "intent", ".", "To", "the", "extent", "any", "payment", "or", "benefit", "provided", "under", "this", "Agreement", "is", "subject", "to", "Section", "409A", ",", "such", "benefit", "shall", "be", "provided", "in", "a", "manner", "that", "complies", "with", "Section409A", ",", "including", "any", "IRS", "guidance", "promulgated", "with", "respect", "to", "Section", "409A", ";", "provided", ",", "however", ",", "in", "no", "event", "shall", "any", "action", "to", "comply", "with", "Section", "409A", "reduce", "the", "aggregate", "amount", "payable", "to", "Executive", "hereunder", "unless", "expressly", "agreed", "in", "writing", "by", "Executive", "."]}
{"id": "15181", "text": "/s/ William Andrew Hendricks, Jr. | | William Andrew Hendricks, Jr. | | Chief Executive Officer EXECUTIVE /s/ James M. Holcomb James M. Holcomb", "ner": [[3, 8, "Parties"], [19, 21, "Role"], [26, 29, "Parties"]], "tokenized_text": ["/", "s", "/", "William", "Andrew", "Hendricks", ",", "Jr", ".", "|", "|", "William", "Andrew", "Hendricks", ",", "Jr", ".", "|", "|", "Chief", "Executive", "Officer", "EXECUTIVE", "/", "s", "/", "James", "M", ".", "Holcomb", "James", "M", ".", "Holcomb"]}
{"id": "11183", "text": "Executive understands and agrees that this release and covenant not to sue shall apply to any and all claims or liabilities arising out of or relating to Executives employment with the Company and the termination of such employment, including, but not limited to: claims of discrimination based on age, race, color, sex (including sexual harassment), religion, national origin, marital status, parental status, veteran status, union activities, disability or any other grounds under applicable federal, state or local law prior to and including the date of execution of this Waiver and Release, including, but not limited to, claims arising under the Age Discrimination in Employment Act of 1967 , the Americans with Disabilities Act , the Family and Medical Leave Act , Title VII of the Civil Rights Act , the Civil Rights Act of 1991 , 42 U.S.C. 1981 , the Genetic Information Non-Discrimination Act of 2008 , the Employee Retirement Income Security Act of 1974 , the Consolidated Omnibus Budget Reconciliation Act of 1985 , the Rehabilitation Act of 1973 , the Equal Pay Act of 1963 (EPA), all as amended, as well as any claims prior to and including the date of execution of this Waiver and Release, regarding wages; benefits; vacation; sick leave; business expense reimbursements; wrongful termination; breach of the covenant of good faith and fair dealing; intentional or negligent infliction of emotional distress; retaliation; outrage; defamation; invasion of privacy; breach of contract; fraud or negligent misrepresentation; harassment; breach of duty; negligence; discrimination; claims under any employment, contract or tort laws; claims arising under any other federal law, state law, municipal law, local law, or common law; any claims arising out of any employment contract, policy or procedure; and any other claims related to or arising out of his employment or the separation of his employment with the Company prior to and including the date of execution of this Waiver and Release.", "ner": [[119, 125, "Act"], [128, 131, "Act"], [134, 138, "Act"], [144, 146, "Act"], [149, 153, "Act"], [155, 162, "Regulation"], [165, 170, "Act"], [173, 179, "Act"], [182, 188, "Act"], [191, 194, "Act"], [197, 201, "Act"]], "tokenized_text": ["Executive", "understands", "and", "agrees", "that", "this", "release", "and", "covenant", "not", "to", "sue", "shall", "apply", "to", "any", "and", "all", "claims", "or", "liabilities", "arising", "out", "of", "or", "relating", "to", "Executives", "employment", "with", "the", "Company", "and", "the", "termination", "of", "such", "employment", ",", "including", ",", "but", "not", "limited", "to", ":", "claims", "of", "discrimination", "based", "on", "age", ",", "race", ",", "color", ",", "sex", "(", "including", "sexual", "harassment", ")", ",", "religion", ",", "national", "origin", ",", "marital", "status", ",", "parental", "status", ",", "veteran", "status", ",", "union", "activities", ",", "disability", "or", "any", "other", "grounds", "under", "applicable", "federal", ",", "state", "or", "local", "law", "prior", "to", "and", "including", "the", "date", "of", "execution", "of", "this", "Waiver", "and", "Release", ",", "including", ",", "but", "not", "limited", "to", ",", "claims", "arising", "under", "the", "Age", "Discrimination", "in", "Employment", "Act", "of", "1967", ",", "the", "Americans", "with", "Disabilities", "Act", ",", "the", "Family", "and", "Medical", "Leave", "Act", ",", "Title", "VII", "of", "the", "Civil", "Rights", "Act", ",", "the", "Civil", "Rights", "Act", "of", "1991", ",", "42", "U", ".", "S", ".", "C", ".", "1981", ",", "the", "Genetic", "Information", "Non-Discrimination", "Act", "of", "2008", ",", "the", "Employee", "Retirement", "Income", "Security", "Act", "of", "1974", ",", "the", "Consolidated", "Omnibus", "Budget", "Reconciliation", "Act", "of", "1985", ",", "the", "Rehabilitation", "Act", "of", "1973", ",", "the", "Equal", "Pay", "Act", "of", "1963", "(", "EPA", ")", ",", "all", "as", "amended", ",", "as", "well", "as", "any", "claims", "prior", "to", "and", "including", "the", "date", "of", "execution", "of", "this", "Waiver", "and", "Release", ",", "regarding", "wages", ";", "benefits", ";", "vacation", ";", "sick", "leave", ";", "business", "expense", "reimbursements", ";", "wrongful", "termination", ";", "breach", "of", "the", "covenant", "of", "good", "faith", "and", "fair", "dealing", ";", "intentional", "or", "negligent", "infliction", "of", "emotional", "distress", ";", "retaliation", ";", "outrage", ";", "defamation", ";", "invasion", "of", "privacy", ";", "breach", "of", "contract", ";", "fraud", "or", "negligent", "misrepresentation", ";", "harassment", ";", "breach", "of", "duty", ";", "negligence", ";", "discrimination", ";", "claims", "under", "any", "employment", ",", "contract", "or", "tort", "laws", ";", "claims", "arising", "under", "any", "other", "federal", "law", ",", "state", "law", ",", "municipal", "law", ",", "local", "law", ",", "or", "common", "law", ";", "any", "claims", "arising", "out", "of", "any", "employment", "contract", ",", "policy", "or", "procedure", ";", "and", "any", "other", "claims", "related", "to", "or", "arising", "out", "of", "his", "employment", "or", "the", "separation", "of", "his", "employment", "with", "the", "Company", "prior", "to", "and", "including", "the", "date", "of", "execution", "of", "this", "Waiver", "and", "Release", "."]}
{"id": "15184", "text": "Executive expressly acknowledges that he is voluntarily, irrevocably and unconditionally releasing and forever discharging the Company and its respective present and former parents, subsidiaries, divisions, affiliates, branches, insurers, agencies, and other offices from all rights or claims he has or may have against the Company including, but not limited to, without limitation, all charges, claims of money, demands, rights, and causes of action arising under the Age Discrimination in Employment Act of 1967 , as amended (ADEA), up to and including the date Executive signs this Waiver and Release including, but not limited to, all claims of age discrimination in employment and all claims of retaliation in violation of ADEA. Executive further acknowledges that the consideration given for this waiver of claims under the ADEA is in addition to anything of value to which he was already entitled in the absence of this waiver. Executive further acknowledges: (a)that he has been informed by this writing that he should consult with an attorney prior to executing this Waiver and Release; (b)that he has carefully read and fully understands all of the provisions of this Waiver and Release; (c)he is, through this Waiver and Release, releasing the Company from any and all claims he may have against it; (d)he understands and agrees that this waiver and release does not apply to any claims that may arise under the ADEA after the date he executes this Waiver and Release; (e)he has at least twenty-one (21)days within which to consider this Waiver and Release; and (f)he has seven (7)days following his execution of this Waiver and Release to revoke the Waiver and Release; and (g)this Waiver and Release shall not be effective until the revocation period has expired and Executive has signed and has not revoked the Waiver and Release.", "ner": [[81, 87, "Act"], [92, 92, "Act"]], "tokenized_text": ["Executive", "expressly", "acknowledges", "that", "he", "is", "voluntarily", ",", "irrevocably", "and", "unconditionally", "releasing", "and", "forever", "discharging", "the", "Company", "and", "its", "respective", "present", "and", "former", "parents", ",", "subsidiaries", ",", "divisions", ",", "affiliates", ",", "branches", ",", "insurers", ",", "agencies", ",", "and", "other", "offices", "from", "all", "rights", "or", "claims", "he", "has", "or", "may", "have", "against", "the", "Company", "including", ",", "but", "not", "limited", "to", ",", "without", "limitation", ",", "all", "charges", ",", "claims", "of", "money", ",", "demands", ",", "rights", ",", "and", "causes", "of", "action", "arising", "under", "the", "Age", "Discrimination", "in", "Employment", "Act", "of", "1967", ",", "as", "amended", "(", "ADEA", ")", ",", "up", "to", "and", "including", "the", "date", "Executive", "signs", "this", "Waiver", "and", "Release", "including", ",", "but", "not", "limited", "to", ",", "all", "claims", "of", "age", "discrimination", "in", "employment", "and", "all", "claims", "of", "retaliation", "in", "violation", "of", "ADEA", ".", "Executive", "further", "acknowledges", "that", "the", "consideration", "given", "for", "this", "waiver", "of", "claims", "under", "the", "ADEA", "is", "in", "addition", "to", "anything", "of", "value", "to", "which", "he", "was", "already", "entitled", "in", "the", "absence", "of", "this", "waiver", ".", "Executive", "further", "acknowledges", ":", "(", "a", ")", "that", "he", "has", "been", "informed", "by", "this", "writing", "that", "he", "should", "consult", "with", "an", "attorney", "prior", "to", "executing", "this", "Waiver", "and", "Release", ";", "(", "b", ")", "that", "he", "has", "carefully", "read", "and", "fully", "understands", "all", "of", "the", "provisions", "of", "this", "Waiver", "and", "Release", ";", "(", "c", ")", "he", "is", ",", "through", "this", "Waiver", "and", "Release", ",", "releasing", "the", "Company", "from", "any", "and", "all", "claims", "he", "may", "have", "against", "it", ";", "(", "d", ")", "he", "understands", "and", "agrees", "that", "this", "waiver", "and", "release", "does", "not", "apply", "to", "any", "claims", "that", "may", "arise", "under", "the", "ADEA", "after", "the", "date", "he", "executes", "this", "Waiver", "and", "Release", ";", "(", "e", ")", "he", "has", "at", "least", "twenty-one", "(", "21", ")", "days", "within", "which", "to", "consider", "this", "Waiver", "and", "Release", ";", "and", "(", "f", ")", "he", "has", "seven", "(", "7", ")", "days", "following", "his", "execution", "of", "this", "Waiver", "and", "Release", "to", "revoke", "the", "Waiver", "and", "Release", ";", "and", "(", "g", ")", "this", "Waiver", "and", "Release", "shall", "not", "be", "effective", "until", "the", "revocation", "period", "has", "expired", "and", "Executive", "has", "signed", "and", "has", "not", "revoked", "the", "Waiver", "and", "Release", "."]}
{"id": "15188", "text": "(i) This agreement to arbitrate and any resulting arbitration award are enforceable under and subject to the Federal Arbitration Act, 9 U.S.C. 1 et seq. (FAA). If the FAA is held not to apply for any reason, then Ohio Revised Code Chapter 271l regarding the enforceability of arbitration agreements and awards will govern this Agreement and the arbitration award.", "ner": [[19, 21, "Act"], [23, 30, "Regulation"]], "tokenized_text": ["(", "i", ")", "This", "agreement", "to", "arbitrate", "and", "any", "resulting", "arbitration", "award", "are", "enforceable", "under", "and", "subject", "to", "the", "Federal", "Arbitration", "Act", ",", "9", "U", ".", "S", ".", "C", ".", "1", "et", "seq", ".", "(", "FAA", ")", ".", "If", "the", "FAA", "is", "held", "not", "to", "apply", "for", "any", "reason", ",", "then", "Ohio", "Revised", "Code", "Chapter", "271l", "regarding", "the", "enforceability", "of", "arbitration", "agreements", "and", "awards", "will", "govern", "this", "Agreement", "and", "the", "arbitration", "award", "."]}
{"id": "15192", "text": "3.2Annual Incentive Bonus . For each fiscal year during the Employment Term, beginning with the 2017 fiscal year, Executive will be eligible for an annual bonus (theAnnual Bonus) under the Companys annual bonus program. The Annual Bonus for the 2017 fiscal year will not be prorated. Executives target Annual Bonus will be 130% of the Annual Base Salary (the Target Bonus), Executives threshold Annual Bonus will be 67% of the Annual Base Salary, and Executives maximum Annual Bonus will be 225% of the Annual Base Salary; provided, however, that Executives Annual Bonus for the 2017 fiscal year will be no less than 67% of the Annual Base Salary. Subject to the minimum Annual Bonus set forth in the preceding sentence for the 2017 fiscal year, the actual amount payable in respect of the Annual Bonus for any fiscal year will be determined by the Board in its sole discretion based on the achievement of individual and Company performance goals previously established by the Board after consultation with Executive. The criteria for such performance goals will be established after discussion with Executive by March 31 of the fiscal year to which the Annual Bonus relates (or in the case of the Annual Bonus for 2017, within 30 days of the Effective Date). The Annual Bonus will be paid no later than February 15 in the first quarter of the year following the year to which the Annual Bonus relates, subject to Executives continued employment through the date of payment, except as otherwise provided herein.", "ner": [[60, 61, "Percentage"], [79, 80, "Percentage"], [94, 95, "Percentage"]], "tokenized_text": ["3", ".", "2Annual", "Incentive", "Bonus", ".", "For", "each", "fiscal", "year", "during", "the", "Employment", "Term", ",", "beginning", "with", "the", "2017", "fiscal", "year", ",", "Executive", "will", "be", "eligible", "for", "an", "annual", "bonus", "(", "theAnnual", "Bonus", ")", "under", "the", "Companys", "annual", "bonus", "program", ".", "The", "Annual", "Bonus", "for", "the", "2017", "fiscal", "year", "will", "not", "be", "prorated", ".", "Executives", "target", "Annual", "Bonus", "will", "be", "130", "%", "of", "the", "Annual", "Base", "Salary", "(", "the", "Target", "Bonus", ")", ",", "Executives", "threshold", "Annual", "Bonus", "will", "be", "67", "%", "of", "the", "Annual", "Base", "Salary", ",", "and", "Executives", "maximum", "Annual", "Bonus", "will", "be", "225", "%", "of", "the", "Annual", "Base", "Salary", ";", "provided", ",", "however", ",", "that", "Executives", "Annual", "Bonus", "for", "the", "2017", "fiscal", "year", "will", "be", "no", "less", "than", "67", "%", "of", "the", "Annual", "Base", "Salary", ".", "Subject", "to", "the", "minimum", "Annual", "Bonus", "set", "forth", "in", "the", "preceding", "sentence", "for", "the", "2017", "fiscal", "year", ",", "the", "actual", "amount", "payable", "in", "respect", "of", "the", "Annual", "Bonus", "for", "any", "fiscal", "year", "will", "be", "determined", "by", "the", "Board", "in", "its", "sole", "discretion", "based", "on", "the", "achievement", "of", "individual", "and", "Company", "performance", "goals", "previously", "established", "by", "the", "Board", "after", "consultation", "with", "Executive", ".", "The", "criteria", "for", "such", "performance", "goals", "will", "be", "established", "after", "discussion", "with", "Executive", "by", "March", "31", "of", "the", "fiscal", "year", "to", "which", "the", "Annual", "Bonus", "relates", "(", "or", "in", "the", "case", "of", "the", "Annual", "Bonus", "for", "2017", ",", "within", "30", "days", "of", "the", "Effective", "Date", ")", ".", "The", "Annual", "Bonus", "will", "be", "paid", "no", "later", "than", "February", "15", "in", "the", "first", "quarter", "of", "the", "year", "following", "the", "year", "to", "which", "the", "Annual", "Bonus", "relates", ",", "subject", "to", "Executives", "continued", "employment", "through", "the", "date", "of", "payment", ",", "except", "as", "otherwise", "provided", "herein", "."]}
{"id": "15194", "text": "(b)LTIP Annual Award. The LTIP will consist of annual awards (the LTIP Annual Award) of a number of RSUs that vest 25% per year on each of the first four anniversaries of the grant date, subject to Executives continued employment through each applicable vesting date. For each fiscal year beginning with the 2017 fiscal year, Executive will have a target LTIP Annual Award of 135,000 RSUs, with the actual number of RSUs comprising the LTIP Annual Award for any fiscal year to be determined by the Board in its sole discretion based on the achievement of Company performance goals established by the Board after consultation with Executive. The LTIP Annual Award for each fiscal year beginning with the 2017 fiscal year will be granted no later than February 15 in the first quarter of the year following the year to which the LTIP Annual Award relates, subject to continued employment through the date of grant.", "ner": [[27, 28, "Percentage"], [74, 76, "Shares"]], "tokenized_text": ["(", "b", ")", "LTIP", "Annual", "Award", ".", "The", "LTIP", "will", "consist", "of", "annual", "awards", "(", "the", "LTIP", "Annual", "Award", ")", "of", "a", "number", "of", "RSUs", "that", "vest", "25", "%", "per", "year", "on", "each", "of", "the", "first", "four", "anniversaries", "of", "the", "grant", "date", ",", "subject", "to", "Executives", "continued", "employment", "through", "each", "applicable", "vesting", "date", ".", "For", "each", "fiscal", "year", "beginning", "with", "the", "2017", "fiscal", "year", ",", "Executive", "will", "have", "a", "target", "LTIP", "Annual", "Award", "of", "135", ",", "000", "RSUs", ",", "with", "the", "actual", "number", "of", "RSUs", "comprising", "the", "LTIP", "Annual", "Award", "for", "any", "fiscal", "year", "to", "be", "determined", "by", "the", "Board", "in", "its", "sole", "discretion", "based", "on", "the", "achievement", "of", "Company", "performance", "goals", "established", "by", "the", "Board", "after", "consultation", "with", "Executive", ".", "The", "LTIP", "Annual", "Award", "for", "each", "fiscal", "year", "beginning", "with", "the", "2017", "fiscal", "year", "will", "be", "granted", "no", "later", "than", "February", "15", "in", "the", "first", "quarter", "of", "the", "year", "following", "the", "year", "to", "which", "the", "LTIP", "Annual", "Award", "relates", ",", "subject", "to", "continued", "employment", "through", "the", "date", "of", "grant", "."]}
{"id": "15195", "text": "(d)For purposes of this Agreement, Disability shall mean such physical or mental impairment as would render Executive unable to perform each of the essential duties of Executives position by reason of a medically determinable physical or mental impairment which is potentially permanent in character or which can be expected to last for a continuous period of not less than twelve (12) months. Notwithstanding the foregoing, with respect to any payment under this Agreement that is triggered upon a Disability and that constitutes non-qualified deferred compensation subject to Section 409A of the Internal Revenue Code of 1986 , as amended (the Code) and regulations issued thereunder (collectively, Section 409A), such payment shall not be made until the earliest of: (A) Executives disability within the meaning of Section 409A(a)(2)(C)(i) or (ii) of the Code, (B) the Participant's separation from service within the meaning of Section 409A of the Code and (C) the date such amount would otherwise be made pursuant to the terms of this Agreement.", "ner": [[95, 96, "Regulation"], [99, 103, "Act"]], "tokenized_text": ["(", "d", ")", "For", "purposes", "of", "this", "Agreement", ",", "Disability", "shall", "mean", "such", "physical", "or", "mental", "impairment", "as", "would", "render", "Executive", "unable", "to", "perform", "each", "of", "the", "essential", "duties", "of", "Executives", "position", "by", "reason", "of", "a", "medically", "determinable", "physical", "or", "mental", "impairment", "which", "is", "potentially", "permanent", "in", "character", "or", "which", "can", "be", "expected", "to", "last", "for", "a", "continuous", "period", "of", "not", "less", "than", "twelve", "(", "12", ")", "months", ".", "Notwithstanding", "the", "foregoing", ",", "with", "respect", "to", "any", "payment", "under", "this", "Agreement", "that", "is", "triggered", "upon", "a", "Disability", "and", "that", "constitutes", "non-qualified", "deferred", "compensation", "subject", "to", "Section", "409A", "of", "the", "Internal", "Revenue", "Code", "of", "1986", ",", "as", "amended", "(", "the", "Code", ")", "and", "regulations", "issued", "thereunder", "(", "collectively", ",", "Section", "409A", ")", ",", "such", "payment", "shall", "not", "be", "made", "until", "the", "earliest", "of", ":", "(", "A", ")", "Executives", "disability", "within", "the", "meaning", "of", "Section", "409A", "(", "a", ")", "(", "2", ")", "(", "C", ")", "(", "i", ")", "or", "(", "ii", ")", "of", "the", "Code", ",", "(", "B", ")", "the", "Participant", "'", "s", "separation", "from", "service", "within", "the", "meaning", "of", "Section", "409A", "of", "the", "Code", "and", "(", "C", ")", "the", "date", "such", "amount", "would", "otherwise", "be", "made", "pursuant", "to", "the", "terms", "of", "this", "Agreement", "."]}
{"id": "10200", "text": "| EXECUTIVE ---|--- | | | By: | | | Name: Jonathan P. Mehlman | | Date:", "ner": [[19, 22, "PII_Ref"]], "tokenized_text": ["|", "EXECUTIVE", "-", "-", "-", "|", "-", "-", "-", "|", "|", "|", "By", ":", "|", "|", "|", "Name", ":", "Jonathan", "P", ".", "Mehlman", "|", "|", "Date", ":"]}
{"id": "15201", "text": "This Employment Agreement (Agreement) is made and entered into by and between Swift Energy Company , a Delaware corporation (the Company), and G. Gleeson Van Riet (Employee), effective as of Employees first date of employment with the Company, which is currently expected to be March 20, 2017 (as applicable, the Effective Date).", "ner": [[1, 2, "Title"], [14, 16, "Parties"], [27, 31, "Parties"], [54, 57, "EffectiveDate"]], "tokenized_text": ["This", "Employment", "Agreement", "(", "Agreement", ")", "is", "made", "and", "entered", "into", "by", "and", "between", "Swift", "Energy", "Company", ",", "a", "Delaware", "corporation", "(", "the", "Company", ")", ",", "and", "G", ".", "Gleeson", "Van", "Riet", "(", "Employee", ")", ",", "effective", "as", "of", "Employees", "first", "date", "of", "employment", "with", "the", "Company", ",", "which", "is", "currently", "expected", "to", "be", "March", "20", ",", "2017", "(", "as", "applicable", ",", "the", "Effective", "Date", ")", "."]}
{"id": "15203", "text": "(d) Company Investment; Stock Ownership Requirements. Subject to applicable law, on or before the first anniversary of the Effective Date, Employee agrees to make a total equity investment in the Company in an aggregate amount between $150,000 and $200,000 (the Equity Investment) pursuant to one or more purchases of shares of the Companys common stock on the open market, directly from the Company or under a written plan (a 10b5-1 Plan) entered into with a broker for trading the Companys common stock in a manner that complies with Rule 10b5-1 of the Securities Exchange Act of 1934 , as amended (the Exchange Act ). If Employee makes an open market purchase of shares of the Companys common stock with respect to the Equity Investment, Employee shall use reasonable efforts to comply with the limitations and restrictions set forth in Rule 10b-18(b) promulgated under the Exchange Act in making such purchase. Employee shall be prohibited from selling or otherwise transferring shares of the Companys common stock (including, but not limited to, shares acquired in order to satisfy the equity investment requirement described in the preceding sentence) until Employee owns shares of the Companys common stock with an aggregate value equal to three (3) times Employees Base Salary (as defined below) and once Employee owns shares of the Companys common stock with an aggregate value equal to three (3) times Employees Base Salary, Employee shall also be prohibited from entering into any sale or transfer of the Companys common stock to the extent such sale or transfer would result in Employee ceasing to own shares of the Companys common stock with an aggregate value at least equal to three (3) times Employees Base Salary; provided, however, that the foregoing sale and transfer restrictions shall not apply to any sales of shares intended to satisfy applicable tax withholding obligations due in connection with the exercise, vesting or settlement of equity awards under the Companys Equity Incentive Plan (as defined below) and shall no longer apply upon the earlier to occur of (x) the end of the Employment Period (as defined below) and (y) a Change in Control (as defined in Section 6(i) below). In addition, Employee shall be subject to the provisions of any applicable stock ownership guidelines, policies or procedures adopted by the Company. Notwithstanding any provision of this Agreement to the contrary, the Company reserves the right, without Employees consent, to adopt any such stock ownership guidelines, procedures and policies with retroactive effect. For the avoidance of doubt, shares of the Companys common stock (i) held by Employees immediate family, (ii) held in trusts, family limited partnerships or similar vehicles for the benefit of Employee or Employees immediate family and (iii) underlying vested restricted stock units or vested but unexercised in the money stock options, in each case, shall be treated as owned by Employee for purposes of satisfying the requirements set forth in this Section 2(d).", "ner": [[42, 45, "Principal"], [47, 50, "Principal"], [105, 106, "Regulation"], [109, 113, "Act"], [159, 163, "Regulation"], [228, 232, "Ratio"]], "tokenized_text": ["(", "d", ")", "Company", "Investment", ";", "Stock", "Ownership", "Requirements", ".", "Subject", "to", "applicable", "law", ",", "on", "or", "before", "the", "first", "anniversary", "of", "the", "Effective", "Date", ",", "Employee", "agrees", "to", "make", "a", "total", "equity", "investment", "in", "the", "Company", "in", "an", "aggregate", "amount", "between", "$", "150", ",", "000", "and", "$", "200", ",", "000", "(", "the", "Equity", "Investment", ")", "pursuant", "to", "one", "or", "more", "purchases", "of", "shares", "of", "the", "Companys", "common", "stock", "on", "the", "open", "market", ",", "directly", "from", "the", "Company", "or", "under", "a", "written", "plan", "(", "a", "10b5-1", "Plan", ")", "entered", "into", "with", "a", "broker", "for", "trading", "the", "Companys", "common", "stock", "in", "a", "manner", "that", "complies", "with", "Rule", "10b5-1", "of", "the", "Securities", "Exchange", "Act", "of", "1934", ",", "as", "amended", "(", "the", "Exchange", "Act", ")", ".", "If", "Employee", "makes", "an", "open", "market", "purchase", "of", "shares", "of", "the", "Companys", "common", "stock", "with", "respect", "to", "the", "Equity", "Investment", ",", "Employee", "shall", "use", "reasonable", "efforts", "to", "comply", "with", "the", "limitations", "and", "restrictions", "set", "forth", "in", "Rule", "10b-18", "(", "b", ")", "promulgated", "under", "the", "Exchange", "Act", "in", "making", "such", "purchase", ".", "Employee", "shall", "be", "prohibited", "from", "selling", "or", "otherwise", "transferring", "shares", "of", "the", "Companys", "common", "stock", "(", "including", ",", "but", "not", "limited", "to", ",", "shares", "acquired", "in", "order", "to", "satisfy", "the", "equity", "investment", "requirement", "described", "in", "the", "preceding", "sentence", ")", "until", "Employee", "owns", "shares", "of", "the", "Companys", "common", "stock", "with", "an", "aggregate", "value", "equal", "to", "three", "(", "3", ")", "times", "Employees", "Base", "Salary", "(", "as", "defined", "below", ")", "and", "once", "Employee", "owns", "shares", "of", "the", "Companys", "common", "stock", "with", "an", "aggregate", "value", "equal", "to", "three", "(", "3", ")", "times", "Employees", "Base", "Salary", ",", "Employee", "shall", "also", "be", "prohibited", "from", "entering", "into", "any", "sale", "or", "transfer", "of", "the", "Companys", "common", "stock", "to", "the", "extent", "such", "sale", "or", "transfer", "would", "result", "in", "Employee", "ceasing", "to", "own", "shares", "of", "the", "Companys", "common", "stock", "with", "an", "aggregate", "value", "at", "least", "equal", "to", "three", "(", "3", ")", "times", "Employees", "Base", "Salary", ";", "provided", ",", "however", ",", "that", "the", "foregoing", "sale", "and", "transfer", "restrictions", "shall", "not", "apply", "to", "any", "sales", "of", "shares", "intended", "to", "satisfy", "applicable", "tax", "withholding", "obligations", "due", "in", "connection", "with", "the", "exercise", ",", "vesting", "or", "settlement", "of", "equity", "awards", "under", "the", "Companys", "Equity", "Incentive", "Plan", "(", "as", "defined", "below", ")", "and", "shall", "no", "longer", "apply", "upon", "the", "earlier", "to", "occur", "of", "(", "x", ")", "the", "end", "of", "the", "Employment", "Period", "(", "as", "defined", "below", ")", "and", "(", "y", ")", "a", "Change", "in", "Control", "(", "as", "defined", "in", "Section", "6", "(", "i", ")", "below", ")", ".", "In", "addition", ",", "Employee", "shall", "be", "subject", "to", "the", "provisions", "of", "any", "applicable", "stock", "ownership", "guidelines", ",", "policies", "or", "procedures", "adopted", "by", "the", "Company", ".", "Notwithstanding", "any", "provision", "of", "this", "Agreement", "to", "the", "contrary", ",", "the", "Company", "reserves", "the", "right", ",", "without", "Employees", "consent", ",", "to", "adopt", "any", "such", "stock", "ownership", "guidelines", ",", "procedures", "and", "policies", "with", "retroactive", "effect", ".", "For", "the", "avoidance", "of", "doubt", ",", "shares", "of", "the", "Companys", "common", "stock", "(", "i", ")", "held", "by", "Employees", "immediate", "family", ",", "(", "ii", ")", "held", "in", "trusts", ",", "family", "limited", "partnerships", "or", "similar", "vehicles", "for", "the", "benefit", "of", "Employee", "or", "Employees", "immediate", "family", "and", "(", "iii", ")", "underlying", "vested", "restricted", "stock", "units", "or", "vested", "but", "unexercised", "in", "the", "money", "stock", "options", ",", "in", "each", "case", ",", "shall", "be", "treated", "as", "owned", "by", "Employee", "for", "purposes", "of", "satisfying", "the", "requirements", "set", "forth", "in", "this", "Section", "2", "(", "d", ")", "."]}
{"id": "14204", "text": "(a) Base Salary. During the Employment Period, the Company shall pay to Employee an annualized base salary of $370,000 (the Base Salary) in consideration for Employees services under this Agreement, payable in substantially equal installments in conformity with the Companys customary payroll practices for other senior executives as may exist from time to time, but no less frequently than monthly. The Base Salary shall be reviewed by the Board in accordance with the Companys policies and practices, but no less frequently than once annually, and may be increased but not decreased unless such decrease is agreed to in writing by Employee. To the extent applicable, the term Base Salary shall include any such increases (or decreases agreed to in writing by Employee) to the Base Salary enumerated above.", "ner": [[22, 25, "Salary"]], "tokenized_text": ["(", "a", ")", "Base", "Salary", ".", "During", "the", "Employment", "Period", ",", "the", "Company", "shall", "pay", "to", "Employee", "an", "annualized", "base", "salary", "of", "$", "370", ",", "000", "(", "the", "Base", "Salary", ")", "in", "consideration", "for", "Employees", "services", "under", "this", "Agreement", ",", "payable", "in", "substantially", "equal", "installments", "in", "conformity", "with", "the", "Companys", "customary", "payroll", "practices", "for", "other", "senior", "executives", "as", "may", "exist", "from", "time", "to", "time", ",", "but", "no", "less", "frequently", "than", "monthly", ".", "The", "Base", "Salary", "shall", "be", "reviewed", "by", "the", "Board", "in", "accordance", "with", "the", "Companys", "policies", "and", "practices", ",", "but", "no", "less", "frequently", "than", "once", "annually", ",", "and", "may", "be", "increased", "but", "not", "decreased", "unless", "such", "decrease", "is", "agreed", "to", "in", "writing", "by", "Employee", ".", "To", "the", "extent", "applicable", ",", "the", "term", "Base", "Salary", "shall", "include", "any", "such", "increases", "(", "or", "decreases", "agreed", "to", "in", "writing", "by", "Employee", ")", "to", "the", "Base", "Salary", "enumerated", "above", "."]}
{"id": "15207", "text": "(d) Inducement Awards. In consideration of Employee entering into this Agreement and as an inducement to join the Company, on or as soon as reasonably practicable following the Effective Date, the Company shall grant Employee, under the Swift Energy Company Inducement Plan (the Inducement Plan), the following:", "ner": [], "tokenized_text": ["(", "d", ")", "Inducement", "Awards", ".", "In", "consideration", "of", "Employee", "entering", "into", "this", "Agreement", "and", "as", "an", "inducement", "to", "join", "the", "Company", ",", "on", "or", "as", "soon", "as", "reasonably", "practicable", "following", "the", "Effective", "Date", ",", "the", "Company", "shall", "grant", "Employee", ",", "under", "the", "Swift", "Energy", "Company", "Inducement", "Plan", "(", "the", "Inducement", "Plan", ")", ",", "the", "following", ":"]}
{"id": "15208", "text": "(i) a one-time award of the right and option (the Option) to purchase all or any part of an aggregate number of shares of the common stock of the Company (the Common Stock) equal to 0.45% of the shares of Common Stock outstanding on the applicable date of grant, at an exercise price per share of Common Stock equal to the fair market value of a share of Common Stock on the applicable date of grant. The Option shall vest in three substantially equal annual installments on the third, fourth and fifth anniversary of the applicable date of grant; provided that Employee has remained continuously employed by the Company between the date of grant and each such anniversary date, as applicable. Notwithstanding the foregoing, on or following the date of a Change in Control, the outstanding unvested portion of the Option (or, if applicable, any award(s) granted in substitution for the Option by an acquiror or successor to the Company in connection with a Change in Control) shall vest in full upon the earlier to occur of (i) the termination of Employees employment during the Protection Period (as defined below) by the Company without Cause pursuant to Section 5(b) or by Employee for Good Reason pursuant to Section 5(c) or (ii) the first anniversary of such Change in Control. The Option shall cease to be exercisable on the tenth anniversary of the applicable date of grant (the Expiration Date). For purposes of this Agreement, Protection Period is the period of time during the Employment Period beginning on the date of a Change in Control and ending on the first anniversary of the date of such Change in Control.", "ner": [[41, 44, "Percentage"], [99, 104, "TerminationDate"], [211, 212, "RenewalTerm"], [248, 249, "TerminationDate"], [265, 266, "TerminationDate"]], "tokenized_text": ["(", "i", ")", "a", "one-time", "award", "of", "the", "right", "and", "option", "(", "the", "Option", ")", "to", "purchase", "all", "or", "any", "part", "of", "an", "aggregate", "number", "of", "shares", "of", "the", "common", "stock", "of", "the", "Company", "(", "the", "Common", "Stock", ")", "equal", "to", "0", ".", "45", "%", "of", "the", "shares", "of", "Common", "Stock", "outstanding", "on", "the", "applicable", "date", "of", "grant", ",", "at", "an", "exercise", "price", "per", "share", "of", "Common", "Stock", "equal", "to", "the", "fair", "market", "value", "of", "a", "share", "of", "Common", "Stock", "on", "the", "applicable", "date", "of", "grant", ".", "The", "Option", "shall", "vest", "in", "three", "substantially", "equal", "annual", "installments", "on", "the", "third", ",", "fourth", "and", "fifth", "anniversary", "of", "the", "applicable", "date", "of", "grant", ";", "provided", "that", "Employee", "has", "remained", "continuously", "employed", "by", "the", "Company", "between", "the", "date", "of", "grant", "and", "each", "such", "anniversary", "date", ",", "as", "applicable", ".", "Notwithstanding", "the", "foregoing", ",", "on", "or", "following", "the", "date", "of", "a", "Change", "in", "Control", ",", "the", "outstanding", "unvested", "portion", "of", "the", "Option", "(", "or", ",", "if", "applicable", ",", "any", "award", "(", "s", ")", "granted", "in", "substitution", "for", "the", "Option", "by", "an", "acquiror", "or", "successor", "to", "the", "Company", "in", "connection", "with", "a", "Change", "in", "Control", ")", "shall", "vest", "in", "full", "upon", "the", "earlier", "to", "occur", "of", "(", "i", ")", "the", "termination", "of", "Employees", "employment", "during", "the", "Protection", "Period", "(", "as", "defined", "below", ")", "by", "the", "Company", "without", "Cause", "pursuant", "to", "Section", "5", "(", "b", ")", "or", "by", "Employee", "for", "Good", "Reason", "pursuant", "to", "Section", "5", "(", "c", ")", "or", "(", "ii", ")", "the", "first", "anniversary", "of", "such", "Change", "in", "Control", ".", "The", "Option", "shall", "cease", "to", "be", "exercisable", "on", "the", "tenth", "anniversary", "of", "the", "applicable", "date", "of", "grant", "(", "the", "Expiration", "Date", ")", ".", "For", "purposes", "of", "this", "Agreement", ",", "Protection", "Period", "is", "the", "period", "of", "time", "during", "the", "Employment", "Period", "beginning", "on", "the", "date", "of", "a", "Change", "in", "Control", "and", "ending", "on", "the", "first", "anniversary", "of", "the", "date", "of", "such", "Change", "in", "Control", "."]}
{"id": "13210", "text": "(e) Annual Equity Award. Employee shall be eligible to receive an annual equity award under the Equity Incentive Plan for each complete calendar year that Employee is employed by the Company hereunder (the Annual Equity Award). The Annual Equity Award shall have an aggregate target value, determined as of the applicable date(s) of grant, of approximately 100% of Employees Base Salary as in effect on date of grant for such Annual Equity Award (the Award Year). The amount and type(s) of equity award shall be determined by the Board (or a committee thereof) annually, in its sole discretion, but it is anticipated that the one-half of the Annual Equity Award shall consist of restricted stock units subject to time-based vesting (the Time RSUs) and one-half of the Annual Equity Award shall consist of restricted stock units subject to performance-based vesting (the Performance RSUs). The terms and conditions (including vesting) applicable to the Annual Equity Award shall be determined by the Board (or a committee thereof) annually, in its sole discretion, but it is anticipated that the Time RSUs shall vest in three substantially equal annual installments on the first, second and third anniversary of the applicable date of grant and the Performance RSUs shall cliff vest in full on the third anniversary of the applicable date of grant, subject to satisfaction of applicable performance condition(s) established by the Board (or a committee thereof), in its sole discretion, and communicated to Employee on such date of grant and set forth in the applicable award agreement. Notwithstanding the foregoing, Employee shall receive an Annual Equity Award for calendar year 2017 (the 2017 Guaranteed Annual Equity Award), which shall be granted in calendar year 2018 provided that Employee remains continuously employed by the Company from the Effective Date through the applicable date of grant, that shall consist of (i) Time RSUs with an aggregate value equal to approximately 25% of Employees Base Salary and (ii) Performance RSUs with an aggregate target value equal to approximately 25% of Employees Base Salary. In addition, Employee shall be eligible to receive an Annual Equity Award for the calendar year 2017 (the 2017 Performance Annual Equity Award) based on the achievement of performance targets established by the Board (or a committee", "ner": [[67, 68, "Percentage"], [126, 126, "Ratio"], [148, 148, "Ratio"], [225, 226, "TerminationDate"], [294, 295, "Title"], [365, 366, "Percentage"]], "tokenized_text": ["(", "e", ")", "Annual", "Equity", "Award", ".", "Employee", "shall", "be", "eligible", "to", "receive", "an", "annual", "equity", "award", "under", "the", "Equity", "Incentive", "Plan", "for", "each", "complete", "calendar", "year", "that", "Employee", "is", "employed", "by", "the", "Company", "hereunder", "(", "the", "Annual", "Equity", "Award", ")", ".", "The", "Annual", "Equity", "Award", "shall", "have", "an", "aggregate", "target", "value", ",", "determined", "as", "of", "the", "applicable", "date", "(", "s", ")", "of", "grant", ",", "of", "approximately", "100", "%", "of", "Employees", "Base", "Salary", "as", "in", "effect", "on", "date", "of", "grant", "for", "such", "Annual", "Equity", "Award", "(", "the", "Award", "Year", ")", ".", "The", "amount", "and", "type", "(", "s", ")", "of", "equity", "award", "shall", "be", "determined", "by", "the", "Board", "(", "or", "a", "committee", "thereof", ")", "annually", ",", "in", "its", "sole", "discretion", ",", "but", "it", "is", "anticipated", "that", "the", "one-half", "of", "the", "Annual", "Equity", "Award", "shall", "consist", "of", "restricted", "stock", "units", "subject", "to", "time-based", "vesting", "(", "the", "Time", "RSUs", ")", "and", "one-half", "of", "the", "Annual", "Equity", "Award", "shall", "consist", "of", "restricted", "stock", "units", "subject", "to", "performance-based", "vesting", "(", "the", "Performance", "RSUs", ")", ".", "The", "terms", "and", "conditions", "(", "including", "vesting", ")", "applicable", "to", "the", "Annual", "Equity", "Award", "shall", "be", "determined", "by", "the", "Board", "(", "or", "a", "committee", "thereof", ")", "annually", ",", "in", "its", "sole", "discretion", ",", "but", "it", "is", "anticipated", "that", "the", "Time", "RSUs", "shall", "vest", "in", "three", "substantially", "equal", "annual", "installments", "on", "the", "first", ",", "second", "and", "third", "anniversary", "of", "the", "applicable", "date", "of", "grant", "and", "the", "Performance", "RSUs", "shall", "cliff", "vest", "in", "full", "on", "the", "third", "anniversary", "of", "the", "applicable", "date", "of", "grant", ",", "subject", "to", "satisfaction", "of", "applicable", "performance", "condition", "(", "s", ")", "established", "by", "the", "Board", "(", "or", "a", "committee", "thereof", ")", ",", "in", "its", "sole", "discretion", ",", "and", "communicated", "to", "Employee", "on", "such", "date", "of", "grant", "and", "set", "forth", "in", "the", "applicable", "award", "agreement", ".", "Notwithstanding", "the", "foregoing", ",", "Employee", "shall", "receive", "an", "Annual", "Equity", "Award", "for", "calendar", "year", "2017", "(", "the", "2017", "Guaranteed", "Annual", "Equity", "Award", ")", ",", "which", "shall", "be", "granted", "in", "calendar", "year", "2018", "provided", "that", "Employee", "remains", "continuously", "employed", "by", "the", "Company", "from", "the", "Effective", "Date", "through", "the", "applicable", "date", "of", "grant", ",", "that", "shall", "consist", "of", "(", "i", ")", "Time", "RSUs", "with", "an", "aggregate", "value", "equal", "to", "approximately", "25", "%", "of", "Employees", "Base", "Salary", "and", "(", "ii", ")", "Performance", "RSUs", "with", "an", "aggregate", "target", "value", "equal", "to", "approximately", "25", "%", "of", "Employees", "Base", "Salary", ".", "In", "addition", ",", "Employee", "shall", "be", "eligible", "to", "receive", "an", "Annual", "Equity", "Award", "for", "the", "calendar", "year", "2017", "(", "the", "2017", "Performance", "Annual", "Equity", "Award", ")", "based", "on", "the", "achievement", "of", "performance", "targets", "established", "by", "the", "Board", "(", "or", "a", "committee"]}
{"id": "15212", "text": "(d) Acceleration of Unvested Equity Awards. Subject to Section 6(g) below, if Employees employment is terminated during the Employment Period (i) by the Company without Cause pursuant to Section 5(b), (ii) by Employee for Good Reason pursuant to Section 5(c) or (iii) due to Employees death or Disability pursuant to Section 5(d), (x) all outstanding unvested time-based equity awards under the Inducement Plan or Equity Incentive Plan, in each case, granted to Employee prior to the Termination Date shall immediately become vested as of the Termination Date as to a portion of each award that would have otherwise vested on or before the first anniversary of the Termination Date if Employee remained continuously employed by the Company (with any outstanding stock options remaining exercisable, without regard to such termination of employment, for 60 days following the Termination Date) and (y) all outstanding unvested performance-based equity awards, including awards intended to qualify for the performance-based compensation exemption from Section 162(m) of the Internal Revenue Code of 1986 , as amended (the Code), under the Inducement Plan or Equity Incentive Plan, in each case, granted to Employee prior to the Termination Date shall immediately become vested as of the Termination Date as to a pro rata (based on the portion of the performance period elapsed through the Termination Date) portion of each award, subject to the satisfaction of the performance conditions set forth in the applicable award and based on the actual level of achievement through the Termination Date.", "ner": [[131, 132, "TerminationDate"], [192, 196, "Regulation"], [199, 203, "Act"], [245, 246, "Ratio"]], "tokenized_text": ["(", "d", ")", "Acceleration", "of", "Unvested", "Equity", "Awards", ".", "Subject", "to", "Section", "6", "(", "g", ")", "below", ",", "if", "Employees", "employment", "is", "terminated", "during", "the", "Employment", "Period", "(", "i", ")", "by", "the", "Company", "without", "Cause", "pursuant", "to", "Section", "5", "(", "b", ")", ",", "(", "ii", ")", "by", "Employee", "for", "Good", "Reason", "pursuant", "to", "Section", "5", "(", "c", ")", "or", "(", "iii", ")", "due", "to", "Employees", "death", "or", "Disability", "pursuant", "to", "Section", "5", "(", "d", ")", ",", "(", "x", ")", "all", "outstanding", "unvested", "time-based", "equity", "awards", "under", "the", "Inducement", "Plan", "or", "Equity", "Incentive", "Plan", ",", "in", "each", "case", ",", "granted", "to", "Employee", "prior", "to", "the", "Termination", "Date", "shall", "immediately", "become", "vested", "as", "of", "the", "Termination", "Date", "as", "to", "a", "portion", "of", "each", "award", "that", "would", "have", "otherwise", "vested", "on", "or", "before", "the", "first", "anniversary", "of", "the", "Termination", "Date", "if", "Employee", "remained", "continuously", "employed", "by", "the", "Company", "(", "with", "any", "outstanding", "stock", "options", "remaining", "exercisable", ",", "without", "regard", "to", "such", "termination", "of", "employment", ",", "for", "60", "days", "following", "the", "Termination", "Date", ")", "and", "(", "y", ")", "all", "outstanding", "unvested", "performance-based", "equity", "awards", ",", "including", "awards", "intended", "to", "qualify", "for", "the", "performance-based", "compensation", "exemption", "from", "Section", "162", "(", "m", ")", "of", "the", "Internal", "Revenue", "Code", "of", "1986", ",", "as", "amended", "(", "the", "Code", ")", ",", "under", "the", "Inducement", "Plan", "or", "Equity", "Incentive", "Plan", ",", "in", "each", "case", ",", "granted", "to", "Employee", "prior", "to", "the", "Termination", "Date", "shall", "immediately", "become", "vested", "as", "of", "the", "Termination", "Date", "as", "to", "a", "pro", "rata", "(", "based", "on", "the", "portion", "of", "the", "performance", "period", "elapsed", "through", "the", "Termination", "Date", ")", "portion", "of", "each", "award", ",", "subject", "to", "the", "satisfaction", "of", "the", "performance", "conditions", "set", "forth", "in", "the", "applicable", "award", "and", "based", "on", "the", "actual", "level", "of", "achievement", "through", "the", "Termination", "Date", "."]}
{"id": "15218", "text": "(iii) Market Area shall mean those counties in the State of Texas that are known be part of the Eagle Ford Shale Play including, but not limited to, Atascosa, Austin, Bastrop, Bee, Brazos, Burleson, DeWitt, Dimmit, Duval, Fayette, Frio, Goliad, Gonzales, Grimes, Jim Wells, Karnes , LaSalle, Lavaca, Lee, Live Oak, Maverick, McMullen, Victoria, Washington, Webb, Wilson and Zavala counties, and any additional areas in which the Company expands its operations or creates plans to expand its operations with such areas added to Exhibit B (Additional Market Area) hereof from time to time and provided to Employee.", "ner": [[11, 13, "Court"], [32, 32, "Address"]], "tokenized_text": ["(", "iii", ")", "Market", "Area", "shall", "mean", "those", "counties", "in", "the", "State", "of", "Texas", "that", "are", "known", "be", "part", "of", "the", "Eagle", "Ford", "Shale", "Play", "including", ",", "but", "not", "limited", "to", ",", "Atascosa", ",", "Austin", ",", "Bastrop", ",", "Bee", ",", "Brazos", ",", "Burleson", ",", "DeWitt", ",", "Dimmit", ",", "Duval", ",", "Fayette", ",", "Frio", ",", "Goliad", ",", "Gonzales", ",", "Grimes", ",", "Jim", "Wells", ",", "Karnes", ",", "LaSalle", ",", "Lavaca", ",", "Lee", ",", "Live", "Oak", ",", "Maverick", ",", "McMullen", ",", "Victoria", ",", "Washington", ",", "Webb", ",", "Wilson", "and", "Zavala", "counties", ",", "and", "any", "additional", "areas", "in", "which", "the", "Company", "expands", "its", "operations", "or", "creates", "plans", "to", "expand", "its", "operations", "with", "such", "areas", "added", "to", "Exhibit", "B", "(", "Additional", "Market", "Area", ")", "hereof", "from", "time", "to", "time", "and", "provided", "to", "Employee", "."]}
{"id": "15219", "text": "(a) Subject to Section 10(b), any dispute, controversy or claim between Employee and the Company arising out of or relating to this Agreement or Employees employment with the Company shall be finally settled by arbitration in Harris County, Texas before, and in accordance with the then-existing American Arbitration Association (AAA) Employment Arbitration Rules . The arbitration award shall be final and binding on both parties. Any arbitration conducted under this Section 10 shall be heard by a single arbitrator (the Arbitrator) selected in accordance with the then-applicable rules of the AAA. The Arbitrator shall expeditiously (and, if practicable, within ninety (90) days after the selection of the Arbitrator) hear and decide all matters concerning the dispute. Except as expressly provided to the contrary in this Agreement, the Arbitrator shall have the power to (i) gather such materials, information, testimony and evidence as the Arbitrator deems relevant to the dispute before him or her (and each party shall provide such materials, information, testimony and evidence requested by the Arbitrator), and (ii) grant injunctive relief and enforce specific performance. The decision of the Arbitrator shall be reasoned, rendered in writing, be final and binding upon the disputing parties and the parties agree that judgment upon the award may be entered by any court of competent jurisdiction; provided, however, that the parties agree that the Arbitrator and any court enforcing the award of the Arbitrator shall not have the right or authority to award punitive or exemplary damages to any disputing party. The party whom the Arbitrator determines is the prevailing party in such arbitration shall be eligible to receive, at the discretion of the Arbitrator, in addition to any other award pursuant to such arbitration or associated judgment, reimbursement from the other party of all reasonable legal fees and costs associated with such arbitration and associated judgment.", "ner": [[43, 46, "Court"]], "tokenized_text": ["(", "a", ")", "Subject", "to", "Section", "10", "(", "b", ")", ",", "any", "dispute", ",", "controversy", "or", "claim", "between", "Employee", "and", "the", "Company", "arising", "out", "of", "or", "relating", "to", "this", "Agreement", "or", "Employees", "employment", "with", "the", "Company", "shall", "be", "finally", "settled", "by", "arbitration", "in", "Harris", "County", ",", "Texas", "before", ",", "and", "in", "accordance", "with", "the", "then-existing", "American", "Arbitration", "Association", "(", "AAA", ")", "Employment", "Arbitration", "Rules", ".", "The", "arbitration", "award", "shall", "be", "final", "and", "binding", "on", "both", "parties", ".", "Any", "arbitration", "conducted", "under", "this", "Section", "10", "shall", "be", "heard", "by", "a", "single", "arbitrator", "(", "the", "Arbitrator", ")", "selected", "in", "accordance", "with", "the", "then-applicable", "rules", "of", "the", "AAA", ".", "The", "Arbitrator", "shall", "expeditiously", "(", "and", ",", "if", "practicable", ",", "within", "ninety", "(", "90", ")", "days", "after", "the", "selection", "of", "the", "Arbitrator", ")", "hear", "and", "decide", "all", "matters", "concerning", "the", "dispute", ".", "Except", "as", "expressly", "provided", "to", "the", "contrary", "in", "this", "Agreement", ",", "the", "Arbitrator", "shall", "have", "the", "power", "to", "(", "i", ")", "gather", "such", "materials", ",", "information", ",", "testimony", "and", "evidence", "as", "the", "Arbitrator", "deems", "relevant", "to", "the", "dispute", "before", "him", "or", "her", "(", "and", "each", "party", "shall", "provide", "such", "materials", ",", "information", ",", "testimony", "and", "evidence", "requested", "by", "the", "Arbitrator", ")", ",", "and", "(", "ii", ")", "grant", "injunctive", "relief", "and", "enforce", "specific", "performance", ".", "The", "decision", "of", "the", "Arbitrator", "shall", "be", "reasoned", ",", "rendered", "in", "writing", ",", "be", "final", "and", "binding", "upon", "the", "disputing", "parties", "and", "the", "parties", "agree", "that", "judgment", "upon", "the", "award", "may", "be", "entered", "by", "any", "court", "of", "competent", "jurisdiction", ";", "provided", ",", "however", ",", "that", "the", "parties", "agree", "that", "the", "Arbitrator", "and", "any", "court", "enforcing", "the", "award", "of", "the", "Arbitrator", "shall", "not", "have", "the", "right", "or", "authority", "to", "award", "punitive", "or", "exemplary", "damages", "to", "any", "disputing", "party", ".", "The", "party", "whom", "the", "Arbitrator", "determines", "is", "the", "prevailing", "party", "in", "such", "arbitration", "shall", "be", "eligible", "to", "receive", ",", "at", "the", "discretion", "of", "the", "Arbitrator", ",", "in", "addition", "to", "any", "other", "award", "pursuant", "to", "such", "arbitration", "or", "associated", "judgment", ",", "reimbursement", "from", "the", "other", "party", "of", "all", "reasonable", "legal", "fees", "and", "costs", "associated", "with", "such", "arbitration", "and", "associated", "judgment", "."]}
{"id": "13220", "text": "Swift Energy Company c/o Christopher M. Abundis, Vice President, General Counsel and Secretary 575 North Dairy Ashford Suite 1200 Houston, Texas 77079 Email: chris.abundis@swiftenergy.com", "ner": [[0, 2, "Parties"], [6, 9, "Parties"], [11, 12, "Role"], [18, 27, "Address"], [30, 36, "PII_Ref"]], "tokenized_text": ["Swift", "Energy", "Company", "c", "/", "o", "Christopher", "M", ".", "Abundis", ",", "Vice", "President", ",", "General", "Counsel", "and", "Secretary", "575", "North", "Dairy", "Ashford", "Suite", "1200", "Houston", ",", "Texas", "77079", "Email", ":", "chris", ".", "abundis", "@", "swiftenergy", ".", "com"]}
{"id": "15222", "text": "/s/ G. Gleeson Van Riet", "ner": [[3, 7, "Parties"]], "tokenized_text": ["/", "s", "/", "G", ".", "Gleeson", "Van", "Riet"]}
{"id": "12224", "text": "This General Release of Claims (this Agreement) is entered into by G. Gleeson Van Riet (Employee) and is that certain Release referred to in Section 6(g) of the Employment Agreement effective as of Employees first date of employment with the Company (as defined herein), by and between Swift Energy Company , a Delaware corporation (the Company), and Employee. Capitalized terms not defined herein have the meaning given to them in the Employment Agreement .", "ner": [[13, 17, "Parties"], [36, 37, "Title"], [58, 60, "Parties"]], "tokenized_text": ["This", "General", "Release", "of", "Claims", "(", "this", "Agreement", ")", "is", "entered", "into", "by", "G", ".", "Gleeson", "Van", "Riet", "(", "Employee", ")", "and", "is", "that", "certain", "Release", "referred", "to", "in", "Section", "6", "(", "g", ")", "of", "the", "Employment", "Agreement", "effective", "as", "of", "Employees", "first", "date", "of", "employment", "with", "the", "Company", "(", "as", "defined", "herein", ")", ",", "by", "and", "between", "Swift", "Energy", "Company", ",", "a", "Delaware", "corporation", "(", "the", "Company", ")", ",", "and", "Employee", ".", "Capitalized", "terms", "not", "defined", "herein", "have", "the", "meaning", "given", "to", "them", "in", "the", "Employment", "Agreement", "."]}
{"id": "15225", "text": "1. Severance Consideration. Employee acknowledges and agrees that the last day of Employees employment with the Company was ___________, 2___ (the Separation Date). If (a) Employee executes this Agreement on or after the Separation Date and returns it to the Company, care of [NAME] [ADDRESS] [E-MAIL] so that it is received by [NAME] no later than 11:59 p.m., Houston, Texas time on [DATE], (b) does not exercise his revocation rights pursuant to Section 11 below, and (c) abides by Employees continuing obligations under the Employment Agreement (including the terms of Sections 8, 9, and 11 thereof), then the Company will provide Employee the Severance Consideration, which Severance Consideration will be provided as set forth Section 6 of the Employment Agreement .", "ner": [[81, 83, "Address"], [116, 117, "Title"]], "tokenized_text": ["1", ".", "Severance", "Consideration", ".", "Employee", "acknowledges", "and", "agrees", "that", "the", "last", "day", "of", "Employees", "employment", "with", "the", "Company", "was", "___________", ",", "2___", "(", "the", "Separation", "Date", ")", ".", "If", "(", "a", ")", "Employee", "executes", "this", "Agreement", "on", "or", "after", "the", "Separation", "Date", "and", "returns", "it", "to", "the", "Company", ",", "care", "of", "[", "NAME", "]", "[", "ADDRESS", "]", "[", "E-MAIL", "]", "so", "that", "it", "is", "received", "by", "[", "NAME", "]", "no", "later", "than", "11", ":", "59", "p", ".", "m", ".", ",", "Houston", ",", "Texas", "time", "on", "[", "DATE", "]", ",", "(", "b", ")", "does", "not", "exercise", "his", "revocation", "rights", "pursuant", "to", "Section", "11", "below", ",", "and", "(", "c", ")", "abides", "by", "Employees", "continuing", "obligations", "under", "the", "Employment", "Agreement", "(", "including", "the", "terms", "of", "Sections", "8", ",", "9", ",", "and", "11", "thereof", ")", ",", "then", "the", "Company", "will", "provide", "Employee", "the", "Severance", "Consideration", ",", "which", "Severance", "Consideration", "will", "be", "provided", "as", "set", "forth", "Section", "6", "of", "the", "Employment", "Agreement", "."]}
{"id": "15226", "text": "capacities (collectively, the Company Parties), from liability for, and Employee hereby waives, any and all claims, damages, or causes of action of any kind related to Employees employment with any Company Party, the termination of such employment, and any other acts or omissions related to any matter occurring or existing on or prior to the Signing Date, including (i) any alleged violation through such date of: (A) any federal, state or local anti-discrimination or anti-retaliation law, including the Age Discrimination in Employment Act of 1967 , as amended (including as amended by the Older Workers Benefit Protection Act), Title VII of the Civil Rights Act of 1964 , as amended, the Civil Rights Act of 1991 , as amended, and Sections 1981 through 1988 of Title 42 of the United States Code, as amended; and the Americans with Disabilities Act of 1990 , as amended, the Texas Labor Code (including the Texas Payday Law the Texas Anti-Retaliation Act, Chapter 21 of the Texas Labor Code, and the Texas Whistleblower Act) as amended; (B) the Employee Retirement Income Security Act of 1974 , as amended (ERISA); (C) the Immigration Reform Control Act, as amended; (D) the Occupational Safety and Health Act, as amended; (E) the Family and Medical Leave Act of 1993 ; (F) any federal, state or local wage and hour law; (G) any other local, state or federal law, regulation or ordinance; or (H) any public policy, contract, tort, or common law claim or claim for fiduciary duty or breach thereof or claim for fraud or misrepresentation or fraud of any kind; (ii) any allegation for costs, fees, or other expenses including attorneys fees incurred in, or with respect to, a Released Claim; (iii) any and all rights, benefits or claims Employee may have under any retention, change in control, bonus or severance plan or policy of any Company Party or any retention, change in control, bonus or severance- related agreement that Employee may have or have had with any Company Party other than the rights to the Severance Consideration described herein; (iv) any and all rights, benefits or claims Employee may have under any employment contract (including the Employment Agreement ), equity-based compensation plan or arrangement, incentive compensation plan, limited liability company agreements, and any other agreement; and (v) any claim for compensation or benefits of any kind not expressly set forth in this Agreement (collectively, the Released Claims). In no event shall the Released Claims include (x) any claim that first arises after the Signing Date or (y) any claim to vested benefits under an employee benefit plan governed by ERISA. This Agreement is not intended to indicate that any such claims exist or that, if they do exist, they are meritorious. Rather, Employee is simply agreeing that, in exchange for the consideration received by him pursuant to Section 2, any and all potential claims of this nature that Employee may have against the Company Parties, regardless of whether they actually exist, are expressly settled, compromised and waived. THIS RELEASE INCLUDES MATTERS ATTRIBUTABLE TO THE SOLE OR PARTIAL NEGLIGENCE (WHETHER GROSS OR SIMPLE) OR OTHER FAULT, INCLUDING STRICT LIABILITY, OF ANY OF THE COMPANY PARTIES.", "ner": [[96, 102, "Act"], [112, 116, "Act"], [123, 127, "Act"], [133, 137, "Act"], [152, 154, "Act"], [161, 166, "Act"], [172, 174, "Act"], [182, 184, "Act"], [196, 198, "Act"], [207, 213, "Act"], [225, 228, "Act"], [237, 241, "Act"], [250, 256, "Act"], [441, 442, "Title"]], "tokenized_text": ["capacities", "(", "collectively", ",", "the", "Company", "Parties", ")", ",", "from", "liability", "for", ",", "and", "Employee", "hereby", "waives", ",", "any", "and", "all", "claims", ",", "damages", ",", "or", "causes", "of", "action", "of", "any", "kind", "related", "to", "Employees", "employment", "with", "any", "Company", "Party", ",", "the", "termination", "of", "such", "employment", ",", "and", "any", "other", "acts", "or", "omissions", "related", "to", "any", "matter", "occurring", "or", "existing", "on", "or", "prior", "to", "the", "Signing", "Date", ",", "including", "(", "i", ")", "any", "alleged", "violation", "through", "such", "date", "of", ":", "(", "A", ")", "any", "federal", ",", "state", "or", "local", "anti-discrimination", "or", "anti-retaliation", "law", ",", "including", "the", "Age", "Discrimination", "in", "Employment", "Act", "of", "1967", ",", "as", "amended", "(", "including", "as", "amended", "by", "the", "Older", "Workers", "Benefit", "Protection", "Act", ")", ",", "Title", "VII", "of", "the", "Civil", "Rights", "Act", "of", "1964", ",", "as", "amended", ",", "the", "Civil", "Rights", "Act", "of", "1991", ",", "as", "amended", ",", "and", "Sections", "1981", "through", "1988", "of", "Title", "42", "of", "the", "United", "States", "Code", ",", "as", "amended", ";", "and", "the", "Americans", "with", "Disabilities", "Act", "of", "1990", ",", "as", "amended", ",", "the", "Texas", "Labor", "Code", "(", "including", "the", "Texas", "Payday", "Law", "the", "Texas", "Anti-Retaliation", "Act", ",", "Chapter", "21", "of", "the", "Texas", "Labor", "Code", ",", "and", "the", "Texas", "Whistleblower", "Act", ")", "as", "amended", ";", "(", "B", ")", "the", "Employee", "Retirement", "Income", "Security", "Act", "of", "1974", ",", "as", "amended", "(", "ERISA", ")", ";", "(", "C", ")", "the", "Immigration", "Reform", "Control", "Act", ",", "as", "amended", ";", "(", "D", ")", "the", "Occupational", "Safety", "and", "Health", "Act", ",", "as", "amended", ";", "(", "E", ")", "the", "Family", "and", "Medical", "Leave", "Act", "of", "1993", ";", "(", "F", ")", "any", "federal", ",", "state", "or", "local", "wage", "and", "hour", "law", ";", "(", "G", ")", "any", "other", "local", ",", "state", "or", "federal", "law", ",", "regulation", "or", "ordinance", ";", "or", "(", "H", ")", "any", "public", "policy", ",", "contract", ",", "tort", ",", "or", "common", "law", "claim", "or", "claim", "for", "fiduciary", "duty", "or", "breach", "thereof", "or", "claim", "for", "fraud", "or", "misrepresentation", "or", "fraud", "of", "any", "kind", ";", "(", "ii", ")", "any", "allegation", "for", "costs", ",", "fees", ",", "or", "other", "expenses", "including", "attorneys", "fees", "incurred", "in", ",", "or", "with", "respect", "to", ",", "a", "Released", "Claim", ";", "(", "iii", ")", "any", "and", "all", "rights", ",", "benefits", "or", "claims", "Employee", "may", "have", "under", "any", "retention", ",", "change", "in", "control", ",", "bonus", "or", "severance", "plan", "or", "policy", "of", "any", "Company", "Party", "or", "any", "retention", ",", "change", "in", "control", ",", "bonus", "or", "severance", "-", "related", "agreement", "that", "Employee", "may", "have", "or", "have", "had", "with", "any", "Company", "Party", "other", "than", "the", "rights", "to", "the", "Severance", "Consideration", "described", "herein", ";", "(", "iv", ")", "any", "and", "all", "rights", ",", "benefits", "or", "claims", "Employee", "may", "have", "under", "any", "employment", "contract", "(", "including", "the", "Employment", "Agreement", ")", ",", "equity-based", "compensation", "plan", "or", "arrangement", ",", "incentive", "compensation", "plan", ",", "limited", "liability", "company", "agreements", ",", "and", "any", "other", "agreement", ";", "and", "(", "v", ")", "any", "claim", "for", "compensation", "or", "benefits", "of", "any", "kind", "not", "expressly", "set", "forth", "in", "this", "Agreement", "(", "collectively", ",", "the", "Released", "Claims", ")", ".", "In", "no", "event", "shall", "the", "Released", "Claims", "include", "(", "x", ")", "any", "claim", "that", "first", "arises", "after", "the", "Signing", "Date", "or", "(", "y", ")", "any", "claim", "to", "vested", "benefits", "under", "an", "employee", "benefit", "plan", "governed", "by", "ERISA", ".", "This", "Agreement", "is", "not", "intended", "to", "indicate", "that", "any", "such", "claims", "exist", "or", "that", ",", "if", "they", "do", "exist", ",", "they", "are", "meritorious", ".", "Rather", ",", "Employee", "is", "simply", "agreeing", "that", ",", "in", "exchange", "for", "the", "consideration", "received", "by", "him", "pursuant", "to", "Section", "2", ",", "any", "and", "all", "potential", "claims", "of", "this", "nature", "that", "Employee", "may", "have", "against", "the", "Company", "Parties", ",", "regardless", "of", "whether", "they", "actually", "exist", ",", "are", "expressly", "settled", ",", "compromised", "and", "waived", ".", "THIS", "RELEASE", "INCLUDES", "MATTERS", "ATTRIBUTABLE", "TO", "THE", "SOLE", "OR", "PARTIAL", "NEGLIGENCE", "(", "WHETHER", "GROSS", "OR", "SIMPLE", ")", "OR", "OTHER", "FAULT", ",", "INCLUDING", "STRICT", "LIABILITY", ",", "OF", "ANY", "OF", "THE", "COMPANY", "PARTIES", "."]}
{"id": "15227", "text": "7. Severability. Any term or provision of this Agreement (or part thereof) that renders such term or provision (or part thereof) or any other term or provision hereof (or part thereof) invalid or unenforceable in any respect shall be severable and shall be modified or severed to the extent necessary to avoid rendering such term or provision (or part thereof) invalid or unenforceable, and such modification or severance shall be accomplished in the manner that most nearly preserves the benefit of the bargain set forth in the Employment Agreement and hereunder.", "ner": [[98, 99, "Title"]], "tokenized_text": ["7", ".", "Severability", ".", "Any", "term", "or", "provision", "of", "this", "Agreement", "(", "or", "part", "thereof", ")", "that", "renders", "such", "term", "or", "provision", "(", "or", "part", "thereof", ")", "or", "any", "other", "term", "or", "provision", "hereof", "(", "or", "part", "thereof", ")", "invalid", "or", "unenforceable", "in", "any", "respect", "shall", "be", "severable", "and", "shall", "be", "modified", "or", "severed", "to", "the", "extent", "necessary", "to", "avoid", "rendering", "such", "term", "or", "provision", "(", "or", "part", "thereof", ")", "invalid", "or", "unenforceable", ",", "and", "such", "modification", "or", "severance", "shall", "be", "accomplished", "in", "the", "manner", "that", "most", "nearly", "preserves", "the", "benefit", "of", "the", "bargain", "set", "forth", "in", "the", "Employment", "Agreement", "and", "hereunder", "."]}
{"id": "15229", "text": "12. Employment Agreement . This Agreement shall be subject to the provisions of Sections 13, 14, 15 and 19 of the Employment Agreement , which provisions are hereby incorporated by reference as a part of this Agreement.", "ner": [[2, 3, "Title"], [14, 21, "Regulation"]], "tokenized_text": ["12", ".", "Employment", "Agreement", ".", "This", "Agreement", "shall", "be", "subject", "to", "the", "provisions", "of", "Sections", "13", ",", "14", ",", "15", "and", "19", "of", "the", "Employment", "Agreement", ",", "which", "provisions", "are", "hereby", "incorporated", "by", "reference", "as", "a", "part", "of", "this", "Agreement", "."]}
{"id": "11231", "text": "3. Duties and Responsibilities. Executive shall serve as Chief Executive Officer of the Company and shall have such normal and customary duties and responsibilities commensurate with the position. Executive shall report directly to the Companys Board of Directors (the Board). Executive shall devote his best efforts and all of his business time and attention to the business and affairs of the Company and shall diligently, faithfully and competently perform his duties and responsibilities hereunder; provided however that the foregoing shall not preclude Executive from engaging in charitable and community affairs and managing his personal investments to the extent they do not unreasonably interfere with his duties and obligations hereunder.", "ner": [[10, 12, "Role"]], "tokenized_text": ["3", ".", "Duties", "and", "Responsibilities", ".", "Executive", "shall", "serve", "as", "Chief", "Executive", "Officer", "of", "the", "Company", "and", "shall", "have", "such", "normal", "and", "customary", "duties", "and", "responsibilities", "commensurate", "with", "the", "position", ".", "Executive", "shall", "report", "directly", "to", "the", "Companys", "Board", "of", "Directors", "(", "the", "Board", ")", ".", "Executive", "shall", "devote", "his", "best", "efforts", "and", "all", "of", "his", "business", "time", "and", "attention", "to", "the", "business", "and", "affairs", "of", "the", "Company", "and", "shall", "diligently", ",", "faithfully", "and", "competently", "perform", "his", "duties", "and", "responsibilities", "hereunder", ";", "provided", "however", "that", "the", "foregoing", "shall", "not", "preclude", "Executive", "from", "engaging", "in", "charitable", "and", "community", "affairs", "and", "managing", "his", "personal", "investments", "to", "the", "extent", "they", "do", "not", "unreasonably", "interfere", "with", "his", "duties", "and", "obligations", "hereunder", "."]}
{"id": "12232", "text": "(a) Base Salary. The Company or its Hong Kong-based subsidiary, as applicable, will pay Executive an annual base salary (Base Salary) of Three Hundred and Twenty Thousand Dollars ( US$320,000 ), payable in substantially equal monthly or more frequent installments in accordance with the Companys or the Hong Kong-based subsidiarys, as applicable, normal and customary payroll practices. The Board or the Compensation Committee of the Board (the Committee) may review and further adjust Executives Base Salary from time to time in its sole and absolute discretion, provided that, prior to the first anniversary of the Effective Date, the Company may not decrease Executives Base Salary below the amount set forth in this section. Any such increased Base Salary shall be and become the Base Salary for purposes of this Agreement.", "ner": [[36, 40, "Salary"]], "tokenized_text": ["(", "a", ")", "Base", "Salary", ".", "The", "Company", "or", "its", "Hong", "Kong-based", "subsidiary", ",", "as", "applicable", ",", "will", "pay", "Executive", "an", "annual", "base", "salary", "(", "Base", "Salary", ")", "of", "Three", "Hundred", "and", "Twenty", "Thousand", "Dollars", "(", "US", "$", "320", ",", "000", ")", ",", "payable", "in", "substantially", "equal", "monthly", "or", "more", "frequent", "installments", "in", "accordance", "with", "the", "Companys", "or", "the", "Hong", "Kong-based", "subsidiarys", ",", "as", "applicable", ",", "normal", "and", "customary", "payroll", "practices", ".", "The", "Board", "or", "the", "Compensation", "Committee", "of", "the", "Board", "(", "the", "Committee", ")", "may", "review", "and", "further", "adjust", "Executives", "Base", "Salary", "from", "time", "to", "time", "in", "its", "sole", "and", "absolute", "discretion", ",", "provided", "that", ",", "prior", "to", "the", "first", "anniversary", "of", "the", "Effective", "Date", ",", "the", "Company", "may", "not", "decrease", "Executives", "Base", "Salary", "below", "the", "amount", "set", "forth", "in", "this", "section", ".", "Any", "such", "increased", "Base", "Salary", "shall", "be", "and", "become", "the", "Base", "Salary", "for", "purposes", "of", "this", "Agreement", "."]}
{"id": "15234", "text": "(D) continuation of applicable medical, dental and life insurance benefits (based on the coverage in effect for Executive and his dependents at the time of such termination or resignation, but excluding any supplemental medical expense reimbursement insurance provided by the Company), from the date of termination or resignation until the earlier to occur of (1) one year from the date of termination or (2) the date Executive becomes eligible for comparable benefits provided by a third party (in either case, the Continuation Period); provided, however, that the continuation of such benefits shall be subject to the respective terms of the applicable plan, as in effect from time to time, if applicable the provisions under the Consolidated Omnibus Budget Reconciliation Act of 1986 , as amended (COBRA), and the timely payment by Executive of his applicable share of the applicable premiums in effect from time to time during the Continuation Period. Notwithstanding the previous sentence, if the Company determines in its sole discretion that it cannot provide the foregoing benefit without potentially violating applicable law (including, without limitation, Section 2716 of the Public Health Service Act), the Company shall in lieu thereof provide to Executive a taxable monthly payment in an amount equal to the monthly COBRA premium that Executive would be required to pay to continue his and his covered dependents group health coverage in effect on the Date of Termination (which amount shall be based on the premium for the first month of COBRA coverage), less the amount the Executive would have had to pay to receive group health coverage for himself and his covered dependents based on the cost sharing levels in effect on the Date of Termination, which payments shall be made regardless of whether Executive elects COBRA continuation coverage and shall commence in the month following the later of the: (i) month in which the Date of Termination occurs; or (ii) month such determination is made, and shall end on the earlier of (x) the date upon which Executive obtains other employment or (y) the last day of the 12th calendar month following the month in which the Date of Termination occurs. To the extent that reimbursable medical and dental care expenses constitute deferred compensation for purposes of Section 409A of the Internal Revenue Code of 1986 , as amended (the Code), the Company shall reimburse the medical and dental care expenses as soon as practicable consistent with the Companys practice, but in no event later than the last day of the calendar year next following the calendar year in which such expenses are incurred.", "ner": [[64, 65, "TerminationDate"], [134, 140, "Act"], [145, 145, "Act"], [204, 205, "Regulation"], [208, 211, "Act"], [234, 234, "Act"], [274, 274, "Act"], [323, 323, "Act"], [421, 425, "Act"]], "tokenized_text": ["(", "D", ")", "continuation", "of", "applicable", "medical", ",", "dental", "and", "life", "insurance", "benefits", "(", "based", "on", "the", "coverage", "in", "effect", "for", "Executive", "and", "his", "dependents", "at", "the", "time", "of", "such", "termination", "or", "resignation", ",", "but", "excluding", "any", "supplemental", "medical", "expense", "reimbursement", "insurance", "provided", "by", "the", "Company", ")", ",", "from", "the", "date", "of", "termination", "or", "resignation", "until", "the", "earlier", "to", "occur", "of", "(", "1", ")", "one", "year", "from", "the", "date", "of", "termination", "or", "(", "2", ")", "the", "date", "Executive", "becomes", "eligible", "for", "comparable", "benefits", "provided", "by", "a", "third", "party", "(", "in", "either", "case", ",", "the", "Continuation", "Period", ")", ";", "provided", ",", "however", ",", "that", "the", "continuation", "of", "such", "benefits", "shall", "be", "subject", "to", "the", "respective", "terms", "of", "the", "applicable", "plan", ",", "as", "in", "effect", "from", "time", "to", "time", ",", "if", "applicable", "the", "provisions", "under", "the", "Consolidated", "Omnibus", "Budget", "Reconciliation", "Act", "of", "1986", ",", "as", "amended", "(", "COBRA", ")", ",", "and", "the", "timely", "payment", "by", "Executive", "of", "his", "applicable", "share", "of", "the", "applicable", "premiums", "in", "effect", "from", "time", "to", "time", "during", "the", "Continuation", "Period", ".", "Notwithstanding", "the", "previous", "sentence", ",", "if", "the", "Company", "determines", "in", "its", "sole", "discretion", "that", "it", "cannot", "provide", "the", "foregoing", "benefit", "without", "potentially", "violating", "applicable", "law", "(", "including", ",", "without", "limitation", ",", "Section", "2716", "of", "the", "Public", "Health", "Service", "Act", ")", ",", "the", "Company", "shall", "in", "lieu", "thereof", "provide", "to", "Executive", "a", "taxable", "monthly", "payment", "in", "an", "amount", "equal", "to", "the", "monthly", "COBRA", "premium", "that", "Executive", "would", "be", "required", "to", "pay", "to", "continue", "his", "and", "his", "covered", "dependents", "group", "health", "coverage", "in", "effect", "on", "the", "Date", "of", "Termination", "(", "which", "amount", "shall", "be", "based", "on", "the", "premium", "for", "the", "first", "month", "of", "COBRA", "coverage", ")", ",", "less", "the", "amount", "the", "Executive", "would", "have", "had", "to", "pay", "to", "receive", "group", "health", "coverage", "for", "himself", "and", "his", "covered", "dependents", "based", "on", "the", "cost", "sharing", "levels", "in", "effect", "on", "the", "Date", "of", "Termination", ",", "which", "payments", "shall", "be", "made", "regardless", "of", "whether", "Executive", "elects", "COBRA", "continuation", "coverage", "and", "shall", "commence", "in", "the", "month", "following", "the", "later", "of", "the", ":", "(", "i", ")", "month", "in", "which", "the", "Date", "of", "Termination", "occurs", ";", "or", "(", "ii", ")", "month", "such", "determination", "is", "made", ",", "and", "shall", "end", "on", "the", "earlier", "of", "(", "x", ")", "the", "date", "upon", "which", "Executive", "obtains", "other", "employment", "or", "(", "y", ")", "the", "last", "day", "of", "the", "12th", "calendar", "month", "following", "the", "month", "in", "which", "the", "Date", "of", "Termination", "occurs", ".", "To", "the", "extent", "that", "reimbursable", "medical", "and", "dental", "care", "expenses", "constitute", "deferred", "compensation", "for", "purposes", "of", "Section", "409A", "of", "the", "Internal", "Revenue", "Code", "of", "1986", ",", "as", "amended", "(", "the", "Code", ")", ",", "the", "Company", "shall", "reimburse", "the", "medical", "and", "dental", "care", "expenses", "as", "soon", "as", "practicable", "consistent", "with", "the", "Companys", "practice", ",", "but", "in", "no", "event", "later", "than", "the", "last", "day", "of", "the", "calendar", "year", "next", "following", "the", "calendar", "year", "in", "which", "such", "expenses", "are", "incurred", "."]}
{"id": "15242", "text": "I agree that I am voluntarily executing this Release. I acknowledge that I am knowingly and voluntarily waiving and releasing any rights I may have under the ADEA, as amended by the Older Workers Benefit Protection Act of 1990 , and that the consideration given for this Release is in addition to anything of value to which I was already entitled. I further acknowledge that I have been advised by this writing, as required by the ADEA, that: (a) my waiver and release specified in this paragraph does not apply to any rights or claims that may arise after the date I sign this Release; (b) I have been advised to consult with an attorney prior to signing this Release; (c) I have at least twenty-one (21) days from the date that I receive this Release (although I may choose to sign it any time on or after the Separation Date) to consider the release; (d) I have seven (7) calendar days after I sign this Release to revoke it (Revocation Period) by sending my revocation to _________ in writing at ______________; fax _______; and (e) this Release will not be effective until I have signed it and returned it to ________ and the Revocation Period has expired.", "ner": [[28, 28, "Act"], [34, 40, "Act"]], "tokenized_text": ["I", "agree", "that", "I", "am", "voluntarily", "executing", "this", "Release", ".", "I", "acknowledge", "that", "I", "am", "knowingly", "and", "voluntarily", "waiving", "and", "releasing", "any", "rights", "I", "may", "have", "under", "the", "ADEA", ",", "as", "amended", "by", "the", "Older", "Workers", "Benefit", "Protection", "Act", "of", "1990", ",", "and", "that", "the", "consideration", "given", "for", "this", "Release", "is", "in", "addition", "to", "anything", "of", "value", "to", "which", "I", "was", "already", "entitled", ".", "I", "further", "acknowledge", "that", "I", "have", "been", "advised", "by", "this", "writing", ",", "as", "required", "by", "the", "ADEA", ",", "that", ":", "(", "a", ")", "my", "waiver", "and", "release", "specified", "in", "this", "paragraph", "does", "not", "apply", "to", "any", "rights", "or", "claims", "that", "may", "arise", "after", "the", "date", "I", "sign", "this", "Release", ";", "(", "b", ")", "I", "have", "been", "advised", "to", "consult", "with", "an", "attorney", "prior", "to", "signing", "this", "Release", ";", "(", "c", ")", "I", "have", "at", "least", "twenty-one", "(", "21", ")", "days", "from", "the", "date", "that", "I", "receive", "this", "Release", "(", "although", "I", "may", "choose", "to", "sign", "it", "any", "time", "on", "or", "after", "the", "Separation", "Date", ")", "to", "consider", "the", "release", ";", "(", "d", ")", "I", "have", "seven", "(", "7", ")", "calendar", "days", "after", "I", "sign", "this", "Release", "to", "revoke", "it", "(", "Revocation", "Period", ")", "by", "sending", "my", "revocation", "to", "_________", "in", "writing", "at", "______________", ";", "fax", "_______", ";", "and", "(", "e", ")", "this", "Release", "will", "not", "be", "effective", "until", "I", "have", "signed", "it", "and", "returned", "it", "to", "________", "and", "the", "Revocation", "Period", "has", "expired", "."]}
{"id": "15243", "text": "This Employment Agreement (the Agreement), entered into on February17, 2017 , with employment effective as of March13, 2017 (the Effective Date), is made by and between Mark Howell (the Executive)and ProPetro Holding Corp. , a Texas corporation (together with any of its subsidiaries and Affiliates as may employ the Executive from time to time, and any successor(s)thereto, the Company).", "ner": [[1, 2, "Title"], [11, 13, "EffectiveDate"], [20, 22, "EffectiveDate"], [34, 35, "Parties"], [41, 44, "Parties"]], "tokenized_text": ["This", "Employment", "Agreement", "(", "the", "Agreement", ")", ",", "entered", "into", "on", "February17", ",", "2017", ",", "with", "employment", "effective", "as", "of", "March13", ",", "2017", "(", "the", "Effective", "Date", ")", ",", "is", "made", "by", "and", "between", "Mark", "Howell", "(", "the", "Executive", ")", "and", "ProPetro", "Holding", "Corp", ".", ",", "a", "Texas", "corporation", "(", "together", "with", "any", "of", "its", "subsidiaries", "and", "Affiliates", "as", "may", "employ", "the", "Executive", "from", "time", "to", "time", ",", "and", "any", "successor", "(", "s", ")", "thereto", ",", "the", "Company", ")", "."]}
{"id": "15245", "text": "(g) Code shall mean the Internal Revenue Code of 1986 , as amended.", "ner": [[7, 11, "Act"]], "tokenized_text": ["(", "g", ")", "Code", "shall", "mean", "the", "Internal", "Revenue", "Code", "of", "1986", ",", "as", "amended", "."]}
{"id": "15252", "text": "1706 Midkiff, Building B", "ner": [[0, 4, "Address"]], "tokenized_text": ["1706", "Midkiff", ",", "Building", "B"]}
{"id": "15253", "text": "Energy Capital Partners, LLC 11943 El Camino Real, Suite220 San Diego , California 92130 Attention: Chris Leininger Facsimile: (858)703-4401", "ner": [[5, 15, "Address"], [18, 19, "PII_Ref"], [22, 25, "PII_Ref"]], "tokenized_text": ["Energy", "Capital", "Partners", ",", "LLC", "11943", "El", "Camino", "Real", ",", "Suite220", "San", "Diego", ",", "California", "92130", "Attention", ":", "Chris", "Leininger", "Facsimile", ":", "(", "858", ")", "703-4401"]}
{"id": "15254", "text": "Signature Page to the Employment Agreement", "ner": [[4, 5, "Title"]], "tokenized_text": ["Signature", "Page", "to", "the", "Employment", "Agreement"]}
{"id": "15255", "text": "THIS EMPLOYMENT AGREEMENT (Agreement) shall be effective as of the 1st day of February, 2017 by and between VICTOR H. MENA (Employee) and NEVADA GOLD &amp; CASINOS, INC., a Nevada corporation (Employer or the Company).", "ner": [[1, 2, "Title"], [12, 17, "EffectiveDate"], [21, 24, "Parties"], [29, 37, "Parties"]], "tokenized_text": ["THIS", "EMPLOYMENT", "AGREEMENT", "(", "Agreement", ")", "shall", "be", "effective", "as", "of", "the", "1st", "day", "of", "February", ",", "2017", "by", "and", "between", "VICTOR", "H", ".", "MENA", "(", "Employee", ")", "and", "NEVADA", "GOLD", "&", "amp", ";", "CASINOS", ",", "INC", ".", ",", "a", "Nevada", "corporation", "(", "Employer", "or", "the", "Company", ")", "."]}
{"id": "15259", "text": "8. GOVERNING LAW AND VENUE . This Agreement herein shall be construed, regulated and administered under the laws of the State of Washington and of the United States of America. Any lawsuit or other civil action brought arising from or related to Employees employment with Employer or this Agreement shall be brought and maintained in a state or federal court in the State of Washington .", "ner": [[22, 24, "Court"], [28, 31, "Court"]], "tokenized_text": ["8", ".", "GOVERNING", "LAW", "AND", "VENUE", ".", "This", "Agreement", "herein", "shall", "be", "construed", ",", "regulated", "and", "administered", "under", "the", "laws", "of", "the", "State", "of", "Washington", "and", "of", "the", "United", "States", "of", "America", ".", "Any", "lawsuit", "or", "other", "civil", "action", "brought", "arising", "from", "or", "related", "to", "Employees", "employment", "with", "Employer", "or", "this", "Agreement", "shall", "be", "brought", "and", "maintained", "in", "a", "state", "or", "federal", "court", "in", "the", "State", "of", "Washington", "."]}
{"id": "15264", "text": "a. Base Salary. In consideration for all services rendered by Executive during the term of this Agreement, Employer shall pay Executive an annual base salary (before all customary and proper payroll deductions) of $225,000 as adjusted from time to time (Base Salary). The Board of Directors of the Employer shall review Executives salary each year, in a manner consistent with that used for all management employees of the Employer, and in its sole discretion may adjust such salary commensurate with the Executives performance under this Agreement.", "ner": [[38, 41, "Salary"]], "tokenized_text": ["a", ".", "Base", "Salary", ".", "In", "consideration", "for", "all", "services", "rendered", "by", "Executive", "during", "the", "term", "of", "this", "Agreement", ",", "Employer", "shall", "pay", "Executive", "an", "annual", "base", "salary", "(", "before", "all", "customary", "and", "proper", "payroll", "deductions", ")", "of", "$", "225", ",", "000", "as", "adjusted", "from", "time", "to", "time", "(", "Base", "Salary", ")", ".", "The", "Board", "of", "Directors", "of", "the", "Employer", "shall", "review", "Executives", "salary", "each", "year", ",", "in", "a", "manner", "consistent", "with", "that", "used", "for", "all", "management", "employees", "of", "the", "Employer", ",", "and", "in", "its", "sole", "discretion", "may", "adjust", "such", "salary", "commensurate", "with", "the", "Executives", "performance", "under", "this", "Agreement", "."]}
{"id": "15265", "text": "b. Profit Sharing Plan. Under the Employers Profit Sharing Plan, Executive shall be eligible to receive an annual profit share (Profit Share) based on performance as defined by the Board of Directors. Executive will be classified in the Executive Vice President tier under the Plans Responsibility Factors. If Employer is required to prepare an accounting restatement due to material noncompliance of the", "ner": [[2, 4, "Shares"], [44, 46, "Role"]], "tokenized_text": ["b", ".", "Profit", "Sharing", "Plan", ".", "Under", "the", "Employers", "Profit", "Sharing", "Plan", ",", "Executive", "shall", "be", "eligible", "to", "receive", "an", "annual", "profit", "share", "(", "Profit", "Share", ")", "based", "on", "performance", "as", "defined", "by", "the", "Board", "of", "Directors", ".", "Executive", "will", "be", "classified", "in", "the", "Executive", "Vice", "President", "tier", "under", "the", "Plans", "Responsibility", "Factors", ".", "If", "Employer", "is", "required", "to", "prepare", "an", "accounting", "restatement", "due", "to", "material", "noncompliance", "of", "the"]}
{"id": "15266", "text": "f. Expenses. Employer shall reimburse Executive for his reasonable expenses (including, without limitation, travel, entertainment, and similar expenses) incurred in performing and promoting the business of Employer. Executive shall present from time to time itemized accounts and receipts of any such expenses as required by Employer, subject to any limits of company policy and the rules and regulations of the Internal Revenue Service, including the Internal Revenue Code , (referred to throughout this Agreement as IRC or the Code).", "ner": [[70, 72, "Act"], [76, 78, "Act"]], "tokenized_text": ["f", ".", "Expenses", ".", "Employer", "shall", "reimburse", "Executive", "for", "his", "reasonable", "expenses", "(", "including", ",", "without", "limitation", ",", "travel", ",", "entertainment", ",", "and", "similar", "expenses", ")", "incurred", "in", "performing", "and", "promoting", "the", "business", "of", "Employer", ".", "Executive", "shall", "present", "from", "time", "to", "time", "itemized", "accounts", "and", "receipts", "of", "any", "such", "expenses", "as", "required", "by", "Employer", ",", "subject", "to", "any", "limits", "of", "company", "policy", "and", "the", "rules", "and", "regulations", "of", "the", "Internal", "Revenue", "Service", ",", "including", "the", "Internal", "Revenue", "Code", ",", "(", "referred", "to", "throughout", "this", "Agreement", "as", "IRC", "or", "the", "Code", ")", "."]}
{"id": "15268", "text": "(I) Benefits Continuation. In addition, Executive shall be entitled to health and dental insurance benefits for a period of twelve (12) months following the termination of this Agreement. These benefits will be provided at Employers expense, but such period shall count towards the Employers continuation of coverage obligation under Section 4980B of the Internal Revenue Code (commonly referred to as COBRA).", "ner": [[57, 58, "Regulation"], [61, 63, "Act"], [69, 69, "Act"]], "tokenized_text": ["(", "I", ")", "Benefits", "Continuation", ".", "In", "addition", ",", "Executive", "shall", "be", "entitled", "to", "health", "and", "dental", "insurance", "benefits", "for", "a", "period", "of", "twelve", "(", "12", ")", "months", "following", "the", "termination", "of", "this", "Agreement", ".", "These", "benefits", "will", "be", "provided", "at", "Employers", "expense", ",", "but", "such", "period", "shall", "count", "towards", "the", "Employers", "continuation", "of", "coverage", "obligation", "under", "Section", "4980B", "of", "the", "Internal", "Revenue", "Code", "(", "commonly", "referred", "to", "as", "COBRA", ")", "."]}
{"id": "15271", "text": "(b) On the Effective Date, the Company and the Executive shall execute the award agreements substantially in the forms attached as Appendix A (with respect to 50,000 Special RSUs) , B and C (the Special Award Agreements), and with the exercise price of the Special Options equal to the closing price of the common stock of the Company as reported on Nasdaq on the Effective Date, or if there has been no sale on that date, on the last preceding date on which a sale occurred. Promptly following satisfaction of the Stock Purchase Condition, the Company and the Executive shall execute the Special Award Agreement substantially in the form attached as Appendix A with respect to 50,000 Special RSUs and with the same vesting schedule applicable to the initial grant of 50,000 Special RSUs.", "ner": [[30, 32, "Title"], [42, 44, "Title"], [116, 118, "Title"]], "tokenized_text": ["(", "b", ")", "On", "the", "Effective", "Date", ",", "the", "Company", "and", "the", "Executive", "shall", "execute", "the", "award", "agreements", "substantially", "in", "the", "forms", "attached", "as", "Appendix", "A", "(", "with", "respect", "to", "50", ",", "000", "Special", "RSUs", ")", ",", "B", "and", "C", "(", "the", "Special", "Award", "Agreements", ")", ",", "and", "with", "the", "exercise", "price", "of", "the", "Special", "Options", "equal", "to", "the", "closing", "price", "of", "the", "common", "stock", "of", "the", "Company", "as", "reported", "on", "Nasdaq", "on", "the", "Effective", "Date", ",", "or", "if", "there", "has", "been", "no", "sale", "on", "that", "date", ",", "on", "the", "last", "preceding", "date", "on", "which", "a", "sale", "occurred", ".", "Promptly", "following", "satisfaction", "of", "the", "Stock", "Purchase", "Condition", ",", "the", "Company", "and", "the", "Executive", "shall", "execute", "the", "Special", "Award", "Agreement", "substantially", "in", "the", "form", "attached", "as", "Appendix", "A", "with", "respect", "to", "50", ",", "000", "Special", "RSUs", "and", "with", "the", "same", "vesting", "schedule", "applicable", "to", "the", "initial", "grant", "of", "50", ",", "000", "Special", "RSUs", "."]}
{"id": "15275", "text": "A. Reference is made to that certain Agreement and Plan of Merger and Reorganization (theMerger Agreement), dated as of October17, 2017 , by and among the Company, Evofem and Nobelli Merger Sub, Inc., a Delaware corporation and wholly-owned subsidiary of the Company (Merger Sub), pursuant to which, at the Effective Time, Merger Sub will be merged with and into Evofem with Evofem remaining as the surviving entity and as a wholly owned subsidiary of the Company (theMerger). Terms used herein but not otherwise defined will have the meanings set forth in the Merger Agreement.", "ner": [[16, 17, "Title"], [23, 25, "EffectiveDate"], [33, 33, "Parties"], [35, 40, "Parties"], [109, 110, "Title"]], "tokenized_text": ["A", ".", "Reference", "is", "made", "to", "that", "certain", "Agreement", "and", "Plan", "of", "Merger", "and", "Reorganization", "(", "theMerger", "Agreement", ")", ",", "dated", "as", "of", "October17", ",", "2017", ",", "by", "and", "among", "the", "Company", ",", "Evofem", "and", "Nobelli", "Merger", "Sub", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "and", "wholly-owned", "subsidiary", "of", "the", "Company", "(", "Merger", "Sub", ")", ",", "pursuant", "to", "which", ",", "at", "the", "Effective", "Time", ",", "Merger", "Sub", "will", "be", "merged", "with", "and", "into", "Evofem", "with", "Evofem", "remaining", "as", "the", "surviving", "entity", "and", "as", "a", "wholly", "owned", "subsidiary", "of", "the", "Company", "(", "theMerger", ")", ".", "Terms", "used", "herein", "but", "not", "otherwise", "defined", "will", "have", "the", "meanings", "set", "forth", "in", "the", "Merger", "Agreement", "."]}
{"id": "15280", "text": "g. Delivery of Shares. At the Closing, the Company shall deliver to Invesco a copy of the irrevocable instructions to Philadelphia Stock Transfer, Inc., the current transfer agent of the Company, with a mailing address of 2320 Haverford Rd., Suite 230, Ardmore, PA 19003 (the Transfer Agent), instructing the Transfer Agent to deliver evidence of a book entry position evidencing the Shares purchased by the Funds hereunder and, pursuant to the Merger Agreement, the Merger Shares, in the names of the Funds or such nominee(s) as designated by Invesco. The Shares, the Warrant, the Warrant Shares and the Merger Shares are referred to herein collectively as the Securities.", "ner": [[43, 54, "Address"], [86, 87, "Title"]], "tokenized_text": ["g", ".", "Delivery", "of", "Shares", ".", "At", "the", "Closing", ",", "the", "Company", "shall", "deliver", "to", "Invesco", "a", "copy", "of", "the", "irrevocable", "instructions", "to", "Philadelphia", "Stock", "Transfer", ",", "Inc", ".", ",", "the", "current", "transfer", "agent", "of", "the", "Company", ",", "with", "a", "mailing", "address", "of", "2320", "Haverford", "Rd", ".", ",", "Suite", "230", ",", "Ardmore", ",", "PA", "19003", "(", "the", "Transfer", "Agent", ")", ",", "instructing", "the", "Transfer", "Agent", "to", "deliver", "evidence", "of", "a", "book", "entry", "position", "evidencing", "the", "Shares", "purchased", "by", "the", "Funds", "hereunder", "and", ",", "pursuant", "to", "the", "Merger", "Agreement", ",", "the", "Merger", "Shares", ",", "in", "the", "names", "of", "the", "Funds", "or", "such", "nominee", "(", "s", ")", "as", "designated", "by", "Invesco", ".", "The", "Shares", ",", "the", "Warrant", ",", "the", "Warrant", "Shares", "and", "the", "Merger", "Shares", "are", "referred", "to", "herein", "collectively", "as", "the", "Securities", "."]}
{"id": "15281", "text": "2\\. Companys Representations and Warranties. The Company hereby represents and warrants to Invesco as of the Effective Date and as of the Closing as follows, subject to the exceptions as are disclosed prior to the Effective Date in the Companys reports, schedules, forms, statements and other documents required to be filed by the Company under the Securities Act of 1933 , as amended (the Securities Act) and the Exchange Act of 1934 , as amended (theExchange Act), including pursuant to Section13(a) or 15(d) thereof (the foregoing materials, including the exhibits thereto and documents incorporated by reference therein, being collectively referred to herein as the SEC Reports), which SEC Reports as filed prior to the Effective Date shall be deemed a part hereof and shall qualify any representation or warranty otherwise made herein to the extent of the disclosure contained in the SEC Reports as filed prior to the Effective Date:", "ner": [[63, 66, "Act"], [77, 80, "Act"]], "tokenized_text": ["2", "\\", ".", "Companys", "Representations", "and", "Warranties", ".", "The", "Company", "hereby", "represents", "and", "warrants", "to", "Invesco", "as", "of", "the", "Effective", "Date", "and", "as", "of", "the", "Closing", "as", "follows", ",", "subject", "to", "the", "exceptions", "as", "are", "disclosed", "prior", "to", "the", "Effective", "Date", "in", "the", "Companys", "reports", ",", "schedules", ",", "forms", ",", "statements", "and", "other", "documents", "required", "to", "be", "filed", "by", "the", "Company", "under", "the", "Securities", "Act", "of", "1933", ",", "as", "amended", "(", "the", "Securities", "Act", ")", "and", "the", "Exchange", "Act", "of", "1934", ",", "as", "amended", "(", "theExchange", "Act", ")", ",", "including", "pursuant", "to", "Section13", "(", "a", ")", "or", "15", "(", "d", ")", "thereof", "(", "the", "foregoing", "materials", ",", "including", "the", "exhibits", "thereto", "and", "documents", "incorporated", "by", "reference", "therein", ",", "being", "collectively", "referred", "to", "herein", "as", "the", "SEC", "Reports", ")", ",", "which", "SEC", "Reports", "as", "filed", "prior", "to", "the", "Effective", "Date", "shall", "be", "deemed", "a", "part", "hereof", "and", "shall", "qualify", "any", "representation", "or", "warranty", "otherwise", "made", "herein", "to", "the", "extent", "of", "the", "disclosure", "contained", "in", "the", "SEC", "Reports", "as", "filed", "prior", "to", "the", "Effective", "Date", ":"]}
{"id": "15282", "text": "a. Organization, Good Standing and Qualification. The Company is a corporation duly organized and validly existing under the laws of the State of Delaware . The Company has all requisite corporate power and authority to own and operate its properties and assets, to execute and deliver this Agreement and sell the Shares, and to carry out the provisions of this Agreement and to carry on its business as presently conducted. The Company is duly qualified and is authorized to do business and is in good standing as a foreign corporation in all jurisdictions in which the nature of its activities and of its properties (both owned and leased) makes such qualification necessary, except for those jurisdictions in which failure to do so would not have a material adverse effect on the Company or its business.", "ner": [[24, 26, "Court"]], "tokenized_text": ["a", ".", "Organization", ",", "Good", "Standing", "and", "Qualification", ".", "The", "Company", "is", "a", "corporation", "duly", "organized", "and", "validly", "existing", "under", "the", "laws", "of", "the", "State", "of", "Delaware", ".", "The", "Company", "has", "all", "requisite", "corporate", "power", "and", "authority", "to", "own", "and", "operate", "its", "properties", "and", "assets", ",", "to", "execute", "and", "deliver", "this", "Agreement", "and", "sell", "the", "Shares", ",", "and", "to", "carry", "out", "the", "provisions", "of", "this", "Agreement", "and", "to", "carry", "on", "its", "business", "as", "presently", "conducted", ".", "The", "Company", "is", "duly", "qualified", "and", "is", "authorized", "to", "do", "business", "and", "is", "in", "good", "standing", "as", "a", "foreign", "corporation", "in", "all", "jurisdictions", "in", "which", "the", "nature", "of", "its", "activities", "and", "of", "its", "properties", "(", "both", "owned", "and", "leased", ")", "makes", "such", "qualification", "necessary", ",", "except", "for", "those", "jurisdictions", "in", "which", "failure", "to", "do", "so", "would", "not", "have", "a", "material", "adverse", "effect", "on", "the", "Company", "or", "its", "business", "."]}
{"id": "15284", "text": "e. Knowledge And Experience. Invesco has such knowledge and experience in financial and business matters, including investments in other start-up companies, that such entity or individual is capable of evaluating the merits and risks of the investment in the Securities and it is able to bear the economic risk of such investment. Invesco is an accredited investor as that term is defined under Regulation D promulgated under the Securities Act, and as set forth on Schedule I attached hereto. Further, Invesco has such knowledge and experience in financial and business matters such that it is capable of utilizing the information made available in connection with the offering of the Securities, of evaluating the merits and risks of an investment in the Securities and of making an informed investment decision with respect to the Securities. Neither Invesco, nor any person or entity with whom Invesco will share beneficial ownership of the Securities, is subject to any of the Bad Actor disqualifications described in Rule 506(d)(1)(i) to (viii)under the Securities Act. &lt; <sup> br/&gt;", "ner": [[68, 69, "Regulation"], [73, 74, "Act"], [174, 181, "Regulation"]], "tokenized_text": ["e", ".", "Knowledge", "And", "Experience", ".", "Invesco", "has", "such", "knowledge", "and", "experience", "in", "financial", "and", "business", "matters", ",", "including", "investments", "in", "other", "start-up", "companies", ",", "that", "such", "entity", "or", "individual", "is", "capable", "of", "evaluating", "the", "merits", "and", "risks", "of", "the", "investment", "in", "the", "Securities", "and", "it", "is", "able", "to", "bear", "the", "economic", "risk", "of", "such", "investment", ".", "Invesco", "is", "an", "accredited", "investor", "as", "that", "term", "is", "defined", "under", "Regulation", "D", "promulgated", "under", "the", "Securities", "Act", ",", "and", "as", "set", "forth", "on", "Schedule", "I", "attached", "hereto", ".", "Further", ",", "Invesco", "has", "such", "knowledge", "and", "experience", "in", "financial", "and", "business", "matters", "such", "that", "it", "is", "capable", "of", "utilizing", "the", "information", "made", "available", "in", "connection", "with", "the", "offering", "of", "the", "Securities", ",", "of", "evaluating", "the", "merits", "and", "risks", "of", "an", "investment", "in", "the", "Securities", "and", "of", "making", "an", "informed", "investment", "decision", "with", "respect", "to", "the", "Securities", ".", "Neither", "Invesco", ",", "nor", "any", "person", "or", "entity", "with", "whom", "Invesco", "will", "share", "beneficial", "ownership", "of", "the", "Securities", ",", "is", "subject", "to", "any", "of", "the", "Bad", "Actor", "disqualifications", "described", "in", "Rule", "506", "(", "d", ")", "(", "1", ")", "(", "i", ")", "to", "(", "viii", ")", "under", "the", "Securities", "Act", ".", "&", "lt", ";", "<", "sup", ">", "br", "/", "&", "gt", ";"]}
{"id": "15285", "text": "a. Organization, Good Standing and Qualification. Evofem is a corporation duly organized and validly existing under the laws of the State of Delaware . Evofem has all requisite corporate power and authority to own and operate its properties and assets, to execute and deliver this Agreement, to carry on its business as presently conducted and, upon the requisite approval of Evofems stockholders of the Merger and the transactions contemplated herein, to carry out the provisions of this Agreement. Evofem is duly qualified and is authorized to do business and is in good standing as a foreign corporation in all jurisdictions in which the nature of its activities and of its properties (both owned and leased) makes such qualification necessary, except for those jurisdictions in which failure to do so would not have a material adverse effect on Evofem or its business.", "ner": [[9, 9, "Parties"], [23, 25, "Court"]], "tokenized_text": ["a", ".", "Organization", ",", "Good", "Standing", "and", "Qualification", ".", "Evofem", "is", "a", "corporation", "duly", "organized", "and", "validly", "existing", "under", "the", "laws", "of", "the", "State", "of", "Delaware", ".", "Evofem", "has", "all", "requisite", "corporate", "power", "and", "authority", "to", "own", "and", "operate", "its", "properties", "and", "assets", ",", "to", "execute", "and", "deliver", "this", "Agreement", ",", "to", "carry", "on", "its", "business", "as", "presently", "conducted", "and", ",", "upon", "the", "requisite", "approval", "of", "Evofems", "stockholders", "of", "the", "Merger", "and", "the", "transactions", "contemplated", "herein", ",", "to", "carry", "out", "the", "provisions", "of", "this", "Agreement", ".", "Evofem", "is", "duly", "qualified", "and", "is", "authorized", "to", "do", "business", "and", "is", "in", "good", "standing", "as", "a", "foreign", "corporation", "in", "all", "jurisdictions", "in", "which", "the", "nature", "of", "its", "activities", "and", "of", "its", "properties", "(", "both", "owned", "and", "leased", ")", "makes", "such", "qualification", "necessary", ",", "except", "for", "those", "jurisdictions", "in", "which", "failure", "to", "do", "so", "would", "not", "have", "a", "material", "adverse", "effect", "on", "Evofem", "or", "its", "business", "."]}
{"id": "15286", "text": "d. Capitalization. As of the Effective Date, the authorized capital stock of Evofem consists of (i)157,836,540 shares of Evofem Common Stock, par value $0.001 per share, of which", "ner": [[21, 25, "Shares"], [34, 37, "Price"]], "tokenized_text": ["d", ".", "Capitalization", ".", "As", "of", "the", "Effective", "Date", ",", "the", "authorized", "capital", "stock", "of", "Evofem", "consists", "of", "(", "i", ")", "157", ",", "836", ",", "540", "shares", "of", "Evofem", "Common", "Stock", ",", "par", "value", "$", "0", ".", "001", "per", "share", ",", "of", "which"]}
{"id": "15287", "text": "76,359,923 are issued and outstanding, (ii) 12,768,492 shares of Evofem Series A Preferred Stock, par value $0.001 per share of which 12,618,279 have been issued and are outstanding, (iii) 31,034,696 shares of Evofem Series B Preferred Stock, par value $0.001 per share, of which 13,801,318 shares are issued and outstanding, (iv) 5,037,784 shares of Company Series C Preferred Stock of which 5,037,784 shares are issued and outstanding, (v)8,660,572 shares of Evofem C-1 Preferred Stock, par value $0.001 per share, of which 8,558,686 shares are issued and outstanding, (vi)80 shares of Evofem Series D Preferred Stock, par value $0.001 per share, of which 75 are issued and outstanding. No shares of capital stock are held in Evofems treasury. All outstanding shares of capital stock of Evofem are duly authorized, validly issued, fully paid and non-assessable and were issued in compliance with all applicable federal and state securities laws. Immediately prior to the Effective Time of the Merger (assuming the Effective Time occurs on December31, 2017 and after giving effect to the conversion of the Company Preferred Stock (other than the Company Series D Preferred Stock) and the exercise of the Warrant as contemplated by the Merger Agreement), Evofems capitalization shall be as set forth on Exhibit E hereto.", "ner": [[0, 4, "Shares"], [13, 17, "Shares"], [28, 31, "Principal"], [36, 40, "Shares"], [51, 55, "Shares"], [75, 79, "Shares"], [89, 93, "Shares"], [117, 121, "Shares"], [140, 144, "Shares"], [275, 276, "Title"]], "tokenized_text": ["76", ",", "359", ",", "923", "are", "issued", "and", "outstanding", ",", "(", "ii", ")", "12", ",", "768", ",", "492", "shares", "of", "Evofem", "Series", "A", "Preferred", "Stock", ",", "par", "value", "$", "0", ".", "001", "per", "share", "of", "which", "12", ",", "618", ",", "279", "have", "been", "issued", "and", "are", "outstanding", ",", "(", "iii", ")", "31", ",", "034", ",", "696", "shares", "of", "Evofem", "Series", "B", "Preferred", "Stock", ",", "par", "value", "$", "0", ".", "001", "per", "share", ",", "of", "which", "13", ",", "801", ",", "318", "shares", "are", "issued", "and", "outstanding", ",", "(", "iv", ")", "5", ",", "037", ",", "784", "shares", "of", "Company", "Series", "C", "Preferred", "Stock", "of", "which", "5", ",", "037", ",", "784", "shares", "are", "issued", "and", "outstanding", ",", "(", "v", ")", "8", ",", "660", ",", "572", "shares", "of", "Evofem", "C-1", "Preferred", "Stock", ",", "par", "value", "$", "0", ".", "001", "per", "share", ",", "of", "which", "8", ",", "558", ",", "686", "shares", "are", "issued", "and", "outstanding", ",", "(", "vi", ")", "80", "shares", "of", "Evofem", "Series", "D", "Preferred", "Stock", ",", "par", "value", "$", "0", ".", "001", "per", "share", ",", "of", "which", "75", "are", "issued", "and", "outstanding", ".", "No", "shares", "of", "capital", "stock", "are", "held", "in", "Evofems", "treasury", ".", "All", "outstanding", "shares", "of", "capital", "stock", "of", "Evofem", "are", "duly", "authorized", ",", "validly", "issued", ",", "fully", "paid", "and", "non-assessable", "and", "were", "issued", "in", "compliance", "with", "all", "applicable", "federal", "and", "state", "securities", "laws", ".", "Immediately", "prior", "to", "the", "Effective", "Time", "of", "the", "Merger", "(", "assuming", "the", "Effective", "Time", "occurs", "on", "December31", ",", "2017", "and", "after", "giving", "effect", "to", "the", "conversion", "of", "the", "Company", "Preferred", "Stock", "(", "other", "than", "the", "Company", "Series", "D", "Preferred", "Stock", ")", "and", "the", "exercise", "of", "the", "Warrant", "as", "contemplated", "by", "the", "Merger", "Agreement", ")", ",", "Evofems", "capitalization", "shall", "be", "as", "set", "forth", "on", "Exhibit", "E", "hereto", "."]}
{"id": "15288", "text": "b. Any book-entry evidence of the Shares or Merger Shares shall not contain any legend (including the legend set forth in Section5(a) above), (i)while a registration statement covering the resale of such Securities is effective under the Securities Act, ( ii)following any sale of such Securities pursuant to Rule 144, (iii)if such Securities are eligible for sale under Rule 144, without the requirement for the Company to be in compliance with the current public information required under Rule 144 as to such Securities and without volume or manner-of-sale restrictions, or (iv)if such legend is not required under applicable requirements of the Securities Act ( including judicial interpretations and pronouncements issued by the staff of the Commission). The Company shall cause its counsel to issue a legal opinion to the Transfer Agent promptly after the effective date of any registration statement if required by the Transfer Agent to effect the removal of the legend hereunder.", "ner": [[47, 48, "Act"], [61, 62, "Regulation"]], "tokenized_text": ["b", ".", "Any", "book-entry", "evidence", "of", "the", "Shares", "or", "Merger", "Shares", "shall", "not", "contain", "any", "legend", "(", "including", "the", "legend", "set", "forth", "in", "Section5", "(", "a", ")", "above", ")", ",", "(", "i", ")", "while", "a", "registration", "statement", "covering", "the", "resale", "of", "such", "Securities", "is", "effective", "under", "the", "Securities", "Act", ",", "(", "ii", ")", "following", "any", "sale", "of", "such", "Securities", "pursuant", "to", "Rule", "144", ",", "(", "iii", ")", "if", "such", "Securities", "are", "eligible", "for", "sale", "under", "Rule", "144", ",", "without", "the", "requirement", "for", "the", "Company", "to", "be", "in", "compliance", "with", "the", "current", "public", "information", "required", "under", "Rule", "144", "as", "to", "such", "Securities", "and", "without", "volume", "or", "manner-of-sale", "restrictions", ",", "or", "(", "iv", ")", "if", "such", "legend", "is", "not", "required", "under", "applicable", "requirements", "of", "the", "Securities", "Act", "(", "including", "judicial", "interpretations", "and", "pronouncements", "issued", "by", "the", "staff", "of", "the", "Commission", ")", ".", "The", "Company", "shall", "cause", "its", "counsel", "to", "issue", "a", "legal", "opinion", "to", "the", "Transfer", "Agent", "promptly", "after", "the", "effective", "date", "of", "any", "registration", "statement", "if", "required", "by", "the", "Transfer", "Agent", "to", "effect", "the", "removal", "of", "the", "legend", "hereunder", "."]}
{"id": "15291", "text": "--- INVESCO Invesco Asset Management Limited , as agent for and on behalf of the Invesco Perpetual High Income Fund, a sub fund of the Invesco Perpetual UK Investment Series Investment Company with Variable Capital (ICVC) (Company No. IC000231), and the Invesco Perpetual Income Fund, a sub fund of the Invesco Perpetual UK 2 Investment Series Investment Company with Variable Capital (ICVC) (Company No. IC000221) By: /s/ Colin Fitzgerald (Signature) Colin Fitzgerald - Director", "ner": [[17, 21, "Parties"], [85, 86, "Parties"]], "tokenized_text": ["-", "-", "-", "INVESCO", "Invesco", "Asset", "Management", "Limited", ",", "as", "agent", "for", "and", "on", "behalf", "of", "the", "Invesco", "Perpetual", "High", "Income", "Fund", ",", "a", "sub", "fund", "of", "the", "Invesco", "Perpetual", "UK", "Investment", "Series", "Investment", "Company", "with", "Variable", "Capital", "(", "ICVC", ")", "(", "Company", "No", ".", "IC000231", ")", ",", "and", "the", "Invesco", "Perpetual", "Income", "Fund", ",", "a", "sub", "fund", "of", "the", "Invesco", "Perpetual", "UK", "2", "Investment", "Series", "Investment", "Company", "with", "Variable", "Capital", "(", "ICVC", ")", "(", "Company", "No", ".", "IC000221", ")", "By", ":", "/", "s", "/", "Colin", "Fitzgerald", "(", "Signature", ")", "Colin", "Fitzgerald", "-", "Director"]}
{"id": "15292", "text": "--- THE COMPANY Neothetics, Inc. By: /s/ Susan A. Knudson Name: Susan A. Knudson Title: Chief Financial Officer Address:", "ner": [[5, 8, "Parties"], [14, 17, "Parties"], [26, 28, "Role"]], "tokenized_text": ["-", "-", "-", "THE", "COMPANY", "Neothetics", ",", "Inc", ".", "By", ":", "/", "s", "/", "Susan", "A", ".", "Knudson", "Name", ":", "Susan", "A", ".", "Knudson", "Title", ":", "Chief", "Financial", "Officer", "Address", ":"]}
{"id": "15295", "text": "--- EVOFEM Evofem Biosciences, Inc. By: /s/ Saundra Pelletier Name: Saundra Pelletier Title: Chief Executive Officer Address:", "ner": [[14, 15, "Parties"], [22, 24, "Role"]], "tokenized_text": ["-", "-", "-", "EVOFEM", "Evofem", "Biosciences", ",", "Inc", ".", "By", ":", "/", "s", "/", "Saundra", "Pelletier", "Name", ":", "Saundra", "Pelletier", "Title", ":", "Chief", "Executive", "Officer", "Address", ":"]}
{"id": "15296", "text": "12400 High Bluff Drive", "ner": [[0, 3, "Address"]], "tokenized_text": ["12400", "High", "Bluff", "Drive"]}
{"id": "15299", "text": "Any private business development company as defined in Section202(a)(22) of the Investment Advisers Act of 1940 ; ---|---|---|---", "ner": [[17, 21, "Act"]], "tokenized_text": ["Any", "private", "business", "development", "company", "as", "defined", "in", "Section202", "(", "a", ")", "(", "22", ")", "of", "the", "Investment", "Advisers", "Act", "of", "1940", ";", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "15300", "text": "| | , 20 THIS CERTIFIES THAT, for value received, (the Holder), is entitled to subscribe for and purchase from Evofem Biosciences, Inc. , a Delaware corporation, with its principal office at 12400 High Bluff Drive , Suite 600 , San Diego, California 92130 (Evofem), the Exercise Shares at the Exercise Price (each subject to adjustment as provided herein) in accordance with provisions set forth herein.", "ner": [[25, 29, "Parties"]], "tokenized_text": ["|", "|", ",", "20", "THIS", "CERTIFIES", "THAT", ",", "for", "value", "received", ",", "(", "the", "Holder", ")", ",", "is", "entitled", "to", "subscribe", "for", "and", "purchase", "from", "Evofem", "Biosciences", ",", "Inc", ".", ",", "a", "Delaware", "corporation", ",", "with", "its", "principal", "office", "at", "12400", "High", "Bluff", "Drive", ",", "Suite", "600", ",", "San", "Diego", ",", "California", "92130", "(", "Evofem", ")", ",", "the", "Exercise", "Shares", "at", "the", "Exercise", "Price", "(", "each", "subject", "to", "adjustment", "as", "provided", "herein", ")", "in", "accordance", "with", "provisions", "set", "forth", "herein", "."]}
{"id": "15301", "text": "This Warrant is being issued to Holder in accordance with the terms of that certain Securities Purchase Agreement, dated October17, 2017 , by and among Neothetics, Inc. , a Delaware corporation (Neothetics), Evofem and Holder (the Securities Purchase Agreement)", "ner": [[15, 17, "Title"], [20, 22, "EffectiveDate"], [27, 30, "Parties"], [39, 39, "Parties"]], "tokenized_text": ["This", "Warrant", "is", "being", "issued", "to", "Holder", "in", "accordance", "with", "the", "terms", "of", "that", "certain", "Securities", "Purchase", "Agreement", ",", "dated", "October17", ",", "2017", ",", "by", "and", "among", "Neothetics", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "Neothetics", ")", ",", "Evofem", "and", "Holder", "(", "the", "Securities", "Purchase", "Agreement", ")"]}
{"id": "15302", "text": "(a) Exercise Price shall mean $0.001 per Exercise Share subject to adjustment pursuant to Section5 below.", "ner": [[7, 10, "Price"]], "tokenized_text": ["(", "a", ")", "Exercise", "Price", "shall", "mean", "$", "0", ".", "001", "per", "Exercise", "Share", "subject", "to", "adjustment", "pursuant", "to", "Section5", "below", "."]}
{"id": "15307", "text": "Invesco Asset Management Limited", "ner": [], "tokenized_text": ["Invesco", "Asset", "Management", "Limited"]}
{"id": "15309", "text": "Pursuant to the terms of the Securities Purchase Agreement, Invesco will purchase or cause to be purchased the Shares immediately following the Effective Time (as defined in the Merger Agreement) in exchange for the payment of immediately available funds in the amount of $20,000,000 (the Purchase Price) to the Company.", "ner": [[6, 8, "Title"], [30, 31, "Title"], [46, 51, "Principal"]], "tokenized_text": ["Pursuant", "to", "the", "terms", "of", "the", "Securities", "Purchase", "Agreement", ",", "Invesco", "will", "purchase", "or", "cause", "to", "be", "purchased", "the", "Shares", "immediately", "following", "the", "Effective", "Time", "(", "as", "defined", "in", "the", "Merger", "Agreement", ")", "in", "exchange", "for", "the", "payment", "of", "immediately", "available", "funds", "in", "the", "amount", "of", "$", "20", ",", "000", ",", "000", "(", "the", "Purchase", "Price", ")", "to", "the", "Company", "."]}
{"id": "15310", "text": "This Letter of Direction shall be governed by and construed in accordance with laws of the State of Delaware , regardless of the laws that might otherwise govern under applicable principles or conflicts of law thereof.", "ner": [[16, 18, "Court"]], "tokenized_text": ["This", "Letter", "of", "Direction", "shall", "be", "governed", "by", "and", "construed", "in", "accordance", "with", "laws", "of", "the", "State", "of", "Delaware", ",", "regardless", "of", "the", "laws", "that", "might", "otherwise", "govern", "under", "applicable", "principles", "or", "conflicts", "of", "law", "thereof", "."]}
{"id": "15316", "text": "(b)The Company and the Bank have no knowledge of any facts and circumstances, and have no reason to believe that any facts or circumstances exist, that could cause the Bank (i) to be deemed not to be in satisfactory compliance with the CRA and the regulations promulgated thereunder or to be assigned a CRA rating of lower than satisfactory, (ii) to be deemed to be operating in violation, in any material respect, of the Bank Secrecy Act, the USA PATRIOT Act , or any order issued with respect to the Money Laundering Laws, or (iii) to be deemed not to be in satisfactory compliance, in all material respects, with all applicable privacy of customer information requirements contained in any federal and state privacy laws and regulations as well as the provisions of all information security programs adopted by the Bank.", "ner": [[86, 88, "Act"], [91, 93, "Act"], [103, 105, "Act"]], "tokenized_text": ["(", "b", ")", "The", "Company", "and", "the", "Bank", "have", "no", "knowledge", "of", "any", "facts", "and", "circumstances", ",", "and", "have", "no", "reason", "to", "believe", "that", "any", "facts", "or", "circumstances", "exist", ",", "that", "could", "cause", "the", "Bank", "(", "i", ")", "to", "be", "deemed", "not", "to", "be", "in", "satisfactory", "compliance", "with", "the", "CRA", "and", "the", "regulations", "promulgated", "thereunder", "or", "to", "be", "assigned", "a", "CRA", "rating", "of", "lower", "than", "satisfactory", ",", "(", "ii", ")", "to", "be", "deemed", "to", "be", "operating", "in", "violation", ",", "in", "any", "material", "respect", ",", "of", "the", "Bank", "Secrecy", "Act", ",", "the", "USA", "PATRIOT", "Act", ",", "or", "any", "order", "issued", "with", "respect", "to", "the", "Money", "Laundering", "Laws", ",", "or", "(", "iii", ")", "to", "be", "deemed", "not", "to", "be", "in", "satisfactory", "compliance", ",", "in", "all", "material", "respects", ",", "with", "all", "applicable", "privacy", "of", "customer", "information", "requirements", "contained", "in", "any", "federal", "and", "state", "privacy", "laws", "and", "regulations", "as", "well", "as", "the", "provisions", "of", "all", "information", "security", "programs", "adopted", "by", "the", "Bank", "."]}
{"id": "15317", "text": "(e)None of the Company, the Bank or any of their respective Subsidiaries is a party or subject to any formal or informal agreement, memorandum of understanding, consent decree, cease-and-desist order, order of prohibition or suspension, written commitment, supervisory agreement or other written statement as described under 12 U.S.C. 1818 (u) with, or order issued by, or has adopted any board resolutions at the request of, the Federal Reserve, the FDIC, or any other bank regulatory authority that imposes any restrictions or requirements not generally applicable to bank holding companies or commercial banks, nor has the Company, the Bank or any of their respective Subsidiaries been advised by any bank regulatory authority that it is considering issuing, initiating, ordering, or requesting any such agreement, memorandum of understanding, consent decree, cease-and-desist order, order of prohibition or suspension, written commitment, supervisory agreement or other written statement.", "ner": [[28, 30, "Title"], [56, 63, "Regulation"]], "tokenized_text": ["(", "e", ")", "None", "of", "the", "Company", ",", "the", "Bank", "or", "any", "of", "their", "respective", "Subsidiaries", "is", "a", "party", "or", "subject", "to", "any", "formal", "or", "informal", "agreement", ",", "memorandum", "of", "understanding", ",", "consent", "decree", ",", "cease-and-desist", "order", ",", "order", "of", "prohibition", "or", "suspension", ",", "written", "commitment", ",", "supervisory", "agreement", "or", "other", "written", "statement", "as", "described", "under", "12", "U", ".", "S", ".", "C", ".", "1818", "(", "u", ")", "with", ",", "or", "order", "issued", "by", ",", "or", "has", "adopted", "any", "board", "resolutions", "at", "the", "request", "of", ",", "the", "Federal", "Reserve", ",", "the", "FDIC", ",", "or", "any", "other", "bank", "regulatory", "authority", "that", "imposes", "any", "restrictions", "or", "requirements", "not", "generally", "applicable", "to", "bank", "holding", "companies", "or", "commercial", "banks", ",", "nor", "has", "the", "Company", ",", "the", "Bank", "or", "any", "of", "their", "respective", "Subsidiaries", "been", "advised", "by", "any", "bank", "regulatory", "authority", "that", "it", "is", "considering", "issuing", ",", "initiating", ",", "ordering", ",", "or", "requesting", "any", "such", "agreement", ",", "memorandum", "of", "understanding", ",", "consent", "decree", ",", "cease-and-desist", "order", ",", "order", "of", "prohibition", "or", "suspension", ",", "written", "commitment", ",", "supervisory", "agreement", "or", "other", "written", "statement", "."]}
{"id": "10319", "text": "2.8Disclosure Controls and Procedures. Except as disclosed in the SEC Documents, the Company has established and maintains disclosure controls and procedures (as defined in Exchange Act Rules 13a-15(e) and 15d-15(e)) that are effective in all material respects to ensure that material information relating to the Company, including any of its consolidated Subsidiaries, is made known to its chief executive officer and chief financial officer by others within those entities. The Companys certifying officers have evaluated the effectiveness of the Companys disclosure controls and procedures as of the end of the period covered by the most recently filed quarterly or annual periodic report under the Exchange Act ( such date, the Evaluation Date). The Company presented in its most recently filed quarterly or annual periodic report under the Exchange Act the conclusions of the certifying officers about the effectiveness of the disclosure controls and procedures based on their evaluations as of the Evaluation Date. Since the Evaluation Date, (i) there have been no significant changes in the Companys internal control over financial reporting (as such term is defined in Exchange Act Rules 13a-15(f) and 15d-15(f)) or, to the Companys knowledge, in other factors that could significantly affect the Companys internal control over financial reporting or (ii) the Company has not been advised of any fraud, whether or not material, that involves management or other employees who have a significant role in the internal controls of the Company and each of the Subsidiaries.", "ner": [[29, 30, "Act"], [37, 40, "Regulation"], [71, 73, "Role"], [75, 77, "Role"], [209, 212, "Regulation"]], "tokenized_text": ["2", ".", "8Disclosure", "Controls", "and", "Procedures", ".", "Except", "as", "disclosed", "in", "the", "SEC", "Documents", ",", "the", "Company", "has", "established", "and", "maintains", "disclosure", "controls", "and", "procedures", "(", "as", "defined", "in", "Exchange", "Act", "Rules", "13a-15", "(", "e", ")", "and", "15d-15", "(", "e", ")", ")", "that", "are", "effective", "in", "all", "material", "respects", "to", "ensure", "that", "material", "information", "relating", "to", "the", "Company", ",", "including", "any", "of", "its", "consolidated", "Subsidiaries", ",", "is", "made", "known", "to", "its", "chief", "executive", "officer", "and", "chief", "financial", "officer", "by", "others", "within", "those", "entities", ".", "The", "Companys", "certifying", "officers", "have", "evaluated", "the", "effectiveness", "of", "the", "Companys", "disclosure", "controls", "and", "procedures", "as", "of", "the", "end", "of", "the", "period", "covered", "by", "the", "most", "recently", "filed", "quarterly", "or", "annual", "periodic", "report", "under", "the", "Exchange", "Act", "(", "such", "date", ",", "the", "Evaluation", "Date", ")", ".", "The", "Company", "presented", "in", "its", "most", "recently", "filed", "quarterly", "or", "annual", "periodic", "report", "under", "the", "Exchange", "Act", "the", "conclusions", "of", "the", "certifying", "officers", "about", "the", "effectiveness", "of", "the", "disclosure", "controls", "and", "procedures", "based", "on", "their", "evaluations", "as", "of", "the", "Evaluation", "Date", ".", "Since", "the", "Evaluation", "Date", ",", "(", "i", ")", "there", "have", "been", "no", "significant", "changes", "in", "the", "Companys", "internal", "control", "over", "financial", "reporting", "(", "as", "such", "term", "is", "defined", "in", "Exchange", "Act", "Rules", "13a-15", "(", "f", ")", "and", "15d-15", "(", "f", ")", ")", "or", ",", "to", "the", "Companys", "knowledge", ",", "in", "other", "factors", "that", "could", "significantly", "affect", "the", "Companys", "internal", "control", "over", "financial", "reporting", "or", "(", "ii", ")", "the", "Company", "has", "not", "been", "advised", "of", "any", "fraud", ",", "whether", "or", "not", "material", ",", "that", "involves", "management", "or", "other", "employees", "who", "have", "a", "significant", "role", "in", "the", "internal", "controls", "of", "the", "Company", "and", "each", "of", "the", "Subsidiaries", "."]}
{"id": "15320", "text": "2.10Absence of Litigation. As of the date hereof, other than as disclosed in the SEC Documents, there is no action, suit, proceeding or investigation before or by any court, public board, government agency, self-regulatory organization or body pending or, to the Companys knowledge, threatened against the Company or any of its Subsidiaries that if determined adversely to the Company or any of its Subsidiaries would reasonably be expected to have a Material Adverse Effect. Neither the Company, any of its Subsidiaries, nor, to the knowledge of the Company, any director or officer thereof, is or has been the subject of any action involving a claim of violation of or liability under federal or state securities laws or a claim of breach of fiduciary duty relating to the Company or any of its Subsidiaries other than as disclosed in the SEC Documents. There has not been, and to the knowledge of the Company, there is not pending or contemplated, any investigation by the SEC of the Company, any of its Subsidiaries or any current or former director or officer of the Company or any of its Subsidiaries relating to the Company or any of its Subsidiaries. Neither the Company nor any of its Subsidiaries has received any stop order or other order suspending the effectiveness of any registration statement filed by the Company under the Exchange Act or the Securities Act and, to the Companys knowledge, the SEC has not issued any such order.", "ner": [[248, 249, "Act"], [252, 253, "Act"]], "tokenized_text": ["2", ".", "10Absence", "of", "Litigation", ".", "As", "of", "the", "date", "hereof", ",", "other", "than", "as", "disclosed", "in", "the", "SEC", "Documents", ",", "there", "is", "no", "action", ",", "suit", ",", "proceeding", "or", "investigation", "before", "or", "by", "any", "court", ",", "public", "board", ",", "government", "agency", ",", "self-regulatory", "organization", "or", "body", "pending", "or", ",", "to", "the", "Companys", "knowledge", ",", "threatened", "against", "the", "Company", "or", "any", "of", "its", "Subsidiaries", "that", "if", "determined", "adversely", "to", "the", "Company", "or", "any", "of", "its", "Subsidiaries", "would", "reasonably", "be", "expected", "to", "have", "a", "Material", "Adverse", "Effect", ".", "Neither", "the", "Company", ",", "any", "of", "its", "Subsidiaries", ",", "nor", ",", "to", "the", "knowledge", "of", "the", "Company", ",", "any", "director", "or", "officer", "thereof", ",", "is", "or", "has", "been", "the", "subject", "of", "any", "action", "involving", "a", "claim", "of", "violation", "of", "or", "liability", "under", "federal", "or", "state", "securities", "laws", "or", "a", "claim", "of", "breach", "of", "fiduciary", "duty", "relating", "to", "the", "Company", "or", "any", "of", "its", "Subsidiaries", "other", "than", "as", "disclosed", "in", "the", "SEC", "Documents", ".", "There", "has", "not", "been", ",", "and", "to", "the", "knowledge", "of", "the", "Company", ",", "there", "is", "not", "pending", "or", "contemplated", ",", "any", "investigation", "by", "the", "SEC", "of", "the", "Company", ",", "any", "of", "its", "Subsidiaries", "or", "any", "current", "or", "former", "director", "or", "officer", "of", "the", "Company", "or", "any", "of", "its", "Subsidiaries", "relating", "to", "the", "Company", "or", "any", "of", "its", "Subsidiaries", ".", "Neither", "the", "Company", "nor", "any", "of", "its", "Subsidiaries", "has", "received", "any", "stop", "order", "or", "other", "order", "suspending", "the", "effectiveness", "of", "any", "registration", "statement", "filed", "by", "the", "Company", "under", "the", "Exchange", "Act", "or", "the", "Securities", "Act", "and", ",", "to", "the", "Companys", "knowledge", ",", "the", "SEC", "has", "not", "issued", "any", "such", "order", "."]}
{"id": "11325", "text": "2.29ERISA. Except as would not reasonably be expected to have a Material Adverse Effect, (i) each employee benefit plan, within the meaning of Section 3(3) of the Employee Retirement Income Security Act of 1974 , as amended (ERISA), for which the Company would reasonably be expected to have any liability (each, a Plan) has been maintained in compliance with its terms and the requirements of any applicable statutes, orders, rules and regulations, including but not limited to, ERISA and the Code; (ii) no prohibited transaction, within the meaning of Section 406 of ERISA or Section 4975 of the Code, has occurred with respect to any Plan, excluding transactions effected pursuant to a statutory or administrative exemption; (iii) no reportable event (within the meaning of Section 4043(c) of ERISA) has occurred or is reasonably expected to occur that has had a Material Adverse Effect; (iv) neither the Company nor any ERISA Affiliate has incurred, nor reasonably expects to incur, any liability under Title IV of ERISA (other than contributions to an employee benefit plan or premiums to the Pension Benefit Guaranty Corporation, in the ordinary course and without default) in respect of an employee benefit plan subject to Title IV of ERISA (including a multiemployer plan, within the meaning of Section 4001(a)(3) of ERISA); and (v) there is no pending audit or investigation by the Internal Revenue Service, the U.S. Department of Labor, the Pension Benefit Guaranty Corporation or any other governmental agency or any foreign regulatory agency with respect to any Plan. ERISA Affiliate means, with respect to the Company, any member of any group of organizations described in Section 414 of the Code of which the Company is a member.", "ner": [[30, 34, "Regulation"], [37, 43, "Act"], [48, 48, "Act"], [113, 114, "Regulation"], [118, 119, "Regulation"], [154, 158, "Regulation"], [217, 220, "Parties"], [253, 254, "Regulation"], [278, 280, "Parties"], [283, 289, "Parties"], [331, 332, "Regulation"]], "tokenized_text": ["2", ".", "29ERISA", ".", "Except", "as", "would", "not", "reasonably", "be", "expected", "to", "have", "a", "Material", "Adverse", "Effect", ",", "(", "i", ")", "each", "employee", "benefit", "plan", ",", "within", "the", "meaning", "of", "Section", "3", "(", "3", ")", "of", "the", "Employee", "Retirement", "Income", "Security", "Act", "of", "1974", ",", "as", "amended", "(", "ERISA", ")", ",", "for", "which", "the", "Company", "would", "reasonably", "be", "expected", "to", "have", "any", "liability", "(", "each", ",", "a", "Plan", ")", "has", "been", "maintained", "in", "compliance", "with", "its", "terms", "and", "the", "requirements", "of", "any", "applicable", "statutes", ",", "orders", ",", "rules", "and", "regulations", ",", "including", "but", "not", "limited", "to", ",", "ERISA", "and", "the", "Code", ";", "(", "ii", ")", "no", "prohibited", "transaction", ",", "within", "the", "meaning", "of", "Section", "406", "of", "ERISA", "or", "Section", "4975", "of", "the", "Code", ",", "has", "occurred", "with", "respect", "to", "any", "Plan", ",", "excluding", "transactions", "effected", "pursuant", "to", "a", "statutory", "or", "administrative", "exemption", ";", "(", "iii", ")", "no", "reportable", "event", "(", "within", "the", "meaning", "of", "Section", "4043", "(", "c", ")", "of", "ERISA", ")", "has", "occurred", "or", "is", "reasonably", "expected", "to", "occur", "that", "has", "had", "a", "Material", "Adverse", "Effect", ";", "(", "iv", ")", "neither", "the", "Company", "nor", "any", "ERISA", "Affiliate", "has", "incurred", ",", "nor", "reasonably", "expects", "to", "incur", ",", "any", "liability", "under", "Title", "IV", "of", "ERISA", "(", "other", "than", "contributions", "to", "an", "employee", "benefit", "plan", "or", "premiums", "to", "the", "Pension", "Benefit", "Guaranty", "Corporation", ",", "in", "the", "ordinary", "course", "and", "without", "default", ")", "in", "respect", "of", "an", "employee", "benefit", "plan", "subject", "to", "Title", "IV", "of", "ERISA", "(", "including", "a", "multiemployer", "plan", ",", "within", "the", "meaning", "of", "Section", "4001", "(", "a", ")", "(", "3", ")", "of", "ERISA", ")", ";", "and", "(", "v", ")", "there", "is", "no", "pending", "audit", "or", "investigation", "by", "the", "Internal", "Revenue", "Service", ",", "the", "U", ".", "S", ".", "Department", "of", "Labor", ",", "the", "Pension", "Benefit", "Guaranty", "Corporation", "or", "any", "other", "governmental", "agency", "or", "any", "foreign", "regulatory", "agency", "with", "respect", "to", "any", "Plan", ".", "ERISA", "Affiliate", "means", ",", "with", "respect", "to", "the", "Company", ",", "any", "member", "of", "any", "group", "of", "organizations", "described", "in", "Section", "414", "of", "the", "Code", "of", "which", "the", "Company", "is", "a", "member", "."]}
{"id": "11327", "text": "(a)the Shares have not been and are not being registered under the Securities Act ( other than as contemplated in the Registration Rights Agreement) or any applicable state securities laws and, consequently, the Purchaser may have to bear the risk of owning the Shares for an indefinite period of time because the Shares may not be transferred unless (i) the resale of the Shares is registered pursuant to an effective registration statement under the Securities Act, as contemplated by the Registration Rights Agreement; (ii) the Purchaser has delivered to the Company an opinion of counsel (in form, substance and scope customary for opinions of counsel in comparable transactions) to the effect that the Shares to be sold or transferred may be sold or transferred pursuant to an exemption from such registration; (iii) the Shares are sold or transferred pursuant to Rule 144; or (iv) the Shares are transferred to an Affiliate of the Purchaser and such Affiliate agrees to the same representations, warranties, covenants and other restrictions set forth herein;", "ner": [[15, 16, "Act"], [24, 26, "Title"], [158, 159, "Regulation"]], "tokenized_text": ["(", "a", ")", "the", "Shares", "have", "not", "been", "and", "are", "not", "being", "registered", "under", "the", "Securities", "Act", "(", "other", "than", "as", "contemplated", "in", "the", "Registration", "Rights", "Agreement", ")", "or", "any", "applicable", "state", "securities", "laws", "and", ",", "consequently", ",", "the", "Purchaser", "may", "have", "to", "bear", "the", "risk", "of", "owning", "the", "Shares", "for", "an", "indefinite", "period", "of", "time", "because", "the", "Shares", "may", "not", "be", "transferred", "unless", "(", "i", ")", "the", "resale", "of", "the", "Shares", "is", "registered", "pursuant", "to", "an", "effective", "registration", "statement", "under", "the", "Securities", "Act", ",", "as", "contemplated", "by", "the", "Registration", "Rights", "Agreement", ";", "(", "ii", ")", "the", "Purchaser", "has", "delivered", "to", "the", "Company", "an", "opinion", "of", "counsel", "(", "in", "form", ",", "substance", "and", "scope", "customary", "for", "opinions", "of", "counsel", "in", "comparable", "transactions", ")", "to", "the", "effect", "that", "the", "Shares", "to", "be", "sold", "or", "transferred", "may", "be", "sold", "or", "transferred", "pursuant", "to", "an", "exemption", "from", "such", "registration", ";", "(", "iii", ")", "the", "Shares", "are", "sold", "or", "transferred", "pursuant", "to", "Rule", "144", ";", "or", "(", "iv", ")", "the", "Shares", "are", "transferred", "to", "an", "Affiliate", "of", "the", "Purchaser", "and", "such", "Affiliate", "agrees", "to", "the", "same", "representations", ",", "warranties", ",", "covenants", "and", "other", "restrictions", "set", "forth", "herein", ";"]}
{"id": "15328", "text": "THE SHARES REPRESENTED BY THIS CERTIFICATE HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR THE SECURITIES LAWS OF ANY STATE OF THE UNITED STATES. THE SHARES MAY NOT BE SOLD, OFFERED FOR SALE, PLEDGED, HYPOTHECATED, TRANSFERRED OR ASSIGNED IN THE ABSENCE OF AN EFFECTIVE REGISTRATION STATEMENT FOR THE SHARES UNDER APPLICABLE SECURITIES LAWS, UNLESS OFFERED, SOLD, PLEDGED, HYPOTHECATED OR TRANSFERRED PURSUANT TO AN AVAILABLE EXEMPTION FROM THE REGISTRATION REQUIREMENTS OF THOSE LAWS. THE COMPANY SHALL BE ENTITLED TO REQUIRE AN OPINION OF COUNSEL SATISFACTORY TO THE COMPANY THAT SUCH REGISTRATION IS NOT REQUIRED TO THE EXTENT THAT SUCH OPINION IS REQUIRED PURSUANT TO THAT CERTAIN SECURITIES PURCHASE AGREEMENT UNDER WHICH THE SHARES WERE ISSUED.", "ner": [[12, 15, "Act"], [122, 124, "Title"]], "tokenized_text": ["THE", "SHARES", "REPRESENTED", "BY", "THIS", "CERTIFICATE", "HAVE", "NOT", "BEEN", "REGISTERED", "UNDER", "THE", "SECURITIES", "ACT", "OF", "1933", ",", "AS", "AMENDED", ",", "OR", "THE", "SECURITIES", "LAWS", "OF", "ANY", "STATE", "OF", "THE", "UNITED", "STATES", ".", "THE", "SHARES", "MAY", "NOT", "BE", "SOLD", ",", "OFFERED", "FOR", "SALE", ",", "PLEDGED", ",", "HYPOTHECATED", ",", "TRANSFERRED", "OR", "ASSIGNED", "IN", "THE", "ABSENCE", "OF", "AN", "EFFECTIVE", "REGISTRATION", "STATEMENT", "FOR", "THE", "SHARES", "UNDER", "APPLICABLE", "SECURITIES", "LAWS", ",", "UNLESS", "OFFERED", ",", "SOLD", ",", "PLEDGED", ",", "HYPOTHECATED", "OR", "TRANSFERRED", "PURSUANT", "TO", "AN", "AVAILABLE", "EXEMPTION", "FROM", "THE", "REGISTRATION", "REQUIREMENTS", "OF", "THOSE", "LAWS", ".", "THE", "COMPANY", "SHALL", "BE", "ENTITLED", "TO", "REQUIRE", "AN", "OPINION", "OF", "COUNSEL", "SATISFACTORY", "TO", "THE", "COMPANY", "THAT", "SUCH", "REGISTRATION", "IS", "NOT", "REQUIRED", "TO", "THE", "EXTENT", "THAT", "SUCH", "OPINION", "IS", "REQUIRED", "PURSUANT", "TO", "THAT", "CERTAIN", "SECURITIES", "PURCHASE", "AGREEMENT", "UNDER", "WHICH", "THE", "SHARES", "WERE", "ISSUED", "."]}
{"id": "15330", "text": "3.13No Commonly Controlled Insured Depository Institution. The Purchaser does not own any interest in any depository institution such that the acquisition by such Purchaser of its Shares would cause any Subsidiary of the Company and that depository institution to become commonly controlled insured depository institutions (as that term is defined for purposes of 12 U.S.C. 1815 (e), as may be amended or supplemented from time to time, and any successor thereto).", "ner": [[57, 64, "Regulation"]], "tokenized_text": ["3", ".", "13No", "Commonly", "Controlled", "Insured", "Depository", "Institution", ".", "The", "Purchaser", "does", "not", "own", "any", "interest", "in", "any", "depository", "institution", "such", "that", "the", "acquisition", "by", "such", "Purchaser", "of", "its", "Shares", "would", "cause", "any", "Subsidiary", "of", "the", "Company", "and", "that", "depository", "institution", "to", "become", "commonly", "controlled", "insured", "depository", "institutions", "(", "as", "that", "term", "is", "defined", "for", "purposes", "of", "12", "U", ".", "S", ".", "C", ".", "1815", "(", "e", ")", ",", "as", "may", "be", "amended", "or", "supplemented", "from", "time", "to", "time", ",", "and", "any", "successor", "thereto", ")", "."]}
{"id": "15331", "text": "3.15Regulatory Matters. The Purchaser understands and acknowledges that: (i) the Company is a registered bank holding company under the BHC Act, and is subject to regulation by the Federal Reserve; (ii) acquisitions of interests in bank holding companies are subject to the BHC Act and the Change in Bank Control Act of 1978 , as amended (the CIBC Act) and may be reviewed by the Federal Reserve to determine the circumstances under which such acquisitions of interests will result in Purchaser becoming subject to the BHC Act or subject to the prior notice requirements of the CIBC Act. The Purchaser represents that neither it nor its Affiliates (i) own or control any shares of any class of voting securities of the Company or (ii) otherwise control the Company or any Bank as such term is defined for purposes of the BHC Act or CIBC Act. The Purchaser is not participating and has not participated with any other investor in the offering of the Shares other than its Affiliates in any joint activity or parallel action towards a common goal between or among such investors of acquiring control of the Company.", "ner": [[25, 26, "Act"], [56, 62, "Act"], [68, 69, "Act"]], "tokenized_text": ["3", ".", "15Regulatory", "Matters", ".", "The", "Purchaser", "understands", "and", "acknowledges", "that", ":", "(", "i", ")", "the", "Company", "is", "a", "registered", "bank", "holding", "company", "under", "the", "BHC", "Act", ",", "and", "is", "subject", "to", "regulation", "by", "the", "Federal", "Reserve", ";", "(", "ii", ")", "acquisitions", "of", "interests", "in", "bank", "holding", "companies", "are", "subject", "to", "the", "BHC", "Act", "and", "the", "Change", "in", "Bank", "Control", "Act", "of", "1978", ",", "as", "amended", "(", "the", "CIBC", "Act", ")", "and", "may", "be", "reviewed", "by", "the", "Federal", "Reserve", "to", "determine", "the", "circumstances", "under", "which", "such", "acquisitions", "of", "interests", "will", "result", "in", "Purchaser", "becoming", "subject", "to", "the", "BHC", "Act", "or", "subject", "to", "the", "prior", "notice", "requirements", "of", "the", "CIBC", "Act", ".", "The", "Purchaser", "represents", "that", "neither", "it", "nor", "its", "Affiliates", "(", "i", ")", "own", "or", "control", "any", "shares", "of", "any", "class", "of", "voting", "securities", "of", "the", "Company", "or", "(", "ii", ")", "otherwise", "control", "the", "Company", "or", "any", "Bank", "as", "such", "term", "is", "defined", "for", "purposes", "of", "the", "BHC", "Act", "or", "CIBC", "Act", ".", "The", "Purchaser", "is", "not", "participating", "and", "has", "not", "participated", "with", "any", "other", "investor", "in", "the", "offering", "of", "the", "Shares", "other", "than", "its", "Affiliates", "in", "any", "joint", "activity", "or", "parallel", "action", "towards", "a", "common", "goal", "between", "or", "among", "such", "investors", "of", "acquiring", "control", "of", "the", "Company", "."]}
{"id": "15332", "text": "4.1Reporting Status. The Companys Common Stock is subject to the reporting requirements of Section 15(d) of the Exchange Act. From the date hereof to the end of the Registration Period (as defined in the Registration Rights Agreement), the Company will timely file all documents required to be filed under Section 15(d) of the Exchange Act and the rules and regulations thereunder with the SEC, and the Company will not terminate its status as an issuer required to file reports under Section 15(d) of the Exchange Act even if the Exchange Act or the rules and regulations thereunder would permit such termination.", "ner": [[16, 20, "Regulation"], [23, 24, "Act"], [42, 44, "Act"]], "tokenized_text": ["4", ".", "1Reporting", "Status", ".", "The", "Companys", "Common", "Stock", "is", "subject", "to", "the", "reporting", "requirements", "of", "Section", "15", "(", "d", ")", "of", "the", "Exchange", "Act", ".", "From", "the", "date", "hereof", "to", "the", "end", "of", "the", "Registration", "Period", "(", "as", "defined", "in", "the", "Registration", "Rights", "Agreement", ")", ",", "the", "Company", "will", "timely", "file", "all", "documents", "required", "to", "be", "filed", "under", "Section", "15", "(", "d", ")", "of", "the", "Exchange", "Act", "and", "the", "rules", "and", "regulations", "thereunder", "with", "the", "SEC", ",", "and", "the", "Company", "will", "not", "terminate", "its", "status", "as", "an", "issuer", "required", "to", "file", "reports", "under", "Section", "15", "(", "d", ")", "of", "the", "Exchange", "Act", "even", "if", "the", "Exchange", "Act", "or", "the", "rules", "and", "regulations", "thereunder", "would", "permit", "such", "termination", "."]}
{"id": "15334", "text": "6.23 Exchange Act means the Securities Exchange Act of 1934 <sup> , as amended.", "ner": [[3, 4, "Act"], [7, 11, "Act"]], "tokenized_text": ["6", ".", "23", "Exchange", "Act", "means", "the", "Securities", "Exchange", "Act", "of", "1934", "<", "sup", ">", ",", "as", "amended", "."]}
{"id": "15335", "text": "6.54Securities Act means the Securities Act of 1933 , as amended, and the rules and regulations thereunder, or any similar successor statute.", "ner": [[6, 9, "Act"]], "tokenized_text": ["6", ".", "54Securities", "Act", "means", "the", "Securities", "Act", "of", "1933", ",", "as", "amended", ",", "and", "the", "rules", "and", "regulations", "thereunder", ",", "or", "any", "similar", "successor", "statute", "."]}
{"id": "12336", "text": "6.60 USA PATRIOT Act has the meaning set forth in Section 2.5(a).", "ner": [[3, 5, "Act"]], "tokenized_text": ["6", ".", "60", "USA", "PATRIOT", "Act", "has", "the", "meaning", "set", "forth", "in", "Section", "2", ".", "5", "(", "a", ")", "."]}
{"id": "15338", "text": "Baton Rouge, Louisiana 70801", "ner": [[0, 4, "Address"]], "tokenized_text": ["Baton", "Rouge", ",", "Louisiana", "70801"]}
{"id": "12341", "text": "IN WITNESS WHEREOF, the undersigned has caused this Securities Purchase Agreement to be duly executed as of the date first above written.", "ner": [[9, 11, "Title"]], "tokenized_text": ["IN", "WITNESS", "WHEREOF", ",", "the", "undersigned", "has", "caused", "this", "Securities", "Purchase", "Agreement", "to", "be", "duly", "executed", "as", "of", "the", "date", "first", "above", "written", "."]}
{"id": "15342", "text": "[Signature Page to Securities Purchase Agreement ]", "ner": [[4, 6, "Title"]], "tokenized_text": ["[", "Signature", "Page", "to", "Securities", "Purchase", "Agreement", "]"]}
{"id": "15345", "text": "The Company is not, and after giving effect to the offering and sale of the Shares will not be required to register as, an investment company under the Investment Company Act. ---|--- &lt; br/&gt;", "ner": [[30, 32, "Act"]], "tokenized_text": ["The", "Company", "is", "not", ",", "and", "after", "giving", "effect", "to", "the", "offering", "and", "sale", "of", "the", "Shares", "will", "not", "be", "required", "to", "register", "as", ",", "an", "investment", "company", "under", "the", "Investment", "Company", "Act", ".", "-", "-", "-", "|", "-", "-", "-", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "15346", "text": "First Lien Credit Agreement", "ner": [[0, 3, "Title"]], "tokenized_text": ["First", "Lien", "Credit", "Agreement"]}
{"id": "15347", "text": "Turning Point Brands, Inc. , and North Atlantic Trading Company, Inc. ,", "ner": [[0, 5, "Parties"], [8, 14, "Parties"]], "tokenized_text": ["Turning", "Point", "Brands", ",", "Inc", ".", ",", "and", "North", "Atlantic", "Trading", "Company", ",", "Inc", ".", ","]}
{"id": "15348", "text": "Fifth Third Bank , an Ohio banking corporation,", "ner": [[0, 2, "Parties"]], "tokenized_text": ["Fifth", "Third", "Bank", ",", "an", "Ohio", "banking", "corporation", ","]}
{"id": "15350", "text": "Fifth Third Bank , Capital One , National Association, and Regions Capital Markets, a division of Regions Bank , as Joint Lead Arrangers and Joint Book Runners", "ner": [[0, 2, "Parties"], [4, 5, "Parties"], [7, 8, "Parties"], [11, 13, "Parties"]], "tokenized_text": ["Fifth", "Third", "Bank", ",", "Capital", "One", ",", "National", "Association", ",", "and", "Regions", "Capital", "Markets", ",", "a", "division", "of", "Regions", "Bank", ",", "as", "Joint", "Lead", "Arrangers", "and", "Joint", "Book", "Runners"]}
{"id": "15351", "text": "USA Patriot Act &lt; br/&gt;", "ner": [[0, 2, "Act"]], "tokenized_text": ["USA", "Patriot", "Act", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "15352", "text": "This First Lien Credit Agreement is entered into as of February 17, 2017 , by and among Turning Point Brands , Inc., a Delaware corporation (Turning Point) and North Atlantic Trading Company, Inc. , a Delaware corporation (NATC; Turning Point and NATC are each individually referred to herein as a Borrower and are collectively referred to herein as the Borrowers), the direct and indirect Subsidiaries of the Borrowers from time to time party to this Agreement, as Guarantors, the various institutions from time to time party to this Agreement, as Lenders, Fifth Third Bank , an Ohio banking corporation, as Administrative Agent and L/C Issuer, Capital One , National Association, a national banking association, as Syndication Agent, and Regions Bank , as Documentation Agent.", "ner": [[1, 4, "Title"], [10, 13, "EffectiveDate"], [18, 23, "Parties"], [33, 39, "Parties"], [106, 108, "Parties"], [124, 125, "Parties"], [127, 128, "Parties"], [140, 141, "Parties"]], "tokenized_text": ["This", "First", "Lien", "Credit", "Agreement", "is", "entered", "into", "as", "of", "February", "17", ",", "2017", ",", "by", "and", "among", "Turning", "Point", "Brands", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "Turning", "Point", ")", "and", "North", "Atlantic", "Trading", "Company", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "NATC", ";", "Turning", "Point", "and", "NATC", "are", "each", "individually", "referred", "to", "herein", "as", "a", "Borrower", "and", "are", "collectively", "referred", "to", "herein", "as", "the", "Borrowers", ")", ",", "the", "direct", "and", "indirect", "Subsidiaries", "of", "the", "Borrowers", "from", "time", "to", "time", "party", "to", "this", "Agreement", ",", "as", "Guarantors", ",", "the", "various", "institutions", "from", "time", "to", "time", "party", "to", "this", "Agreement", ",", "as", "Lenders", ",", "Fifth", "Third", "Bank", ",", "an", "Ohio", "banking", "corporation", ",", "as", "Administrative", "Agent", "and", "L", "/", "C", "Issuer", ",", "Capital", "One", ",", "National", "Association", ",", "a", "national", "banking", "association", ",", "as", "Syndication", "Agent", ",", "and", "Regions", "Bank", ",", "as", "Documentation", "Agent", "."]}
{"id": "15353", "text": "Acquired Entity means 100% of the Ownership Interests of any Person that is not already a Subsidiary of a Borrower, which Person shall, as a result of the acquisition of such Ownership Interests, become a Domestic Subsidiary of a Borrower (or shall be merged with and into a Borrower or another Domestic Subsidiary of a Borrower; provided that (i) in the case of any such merger involving such Borrower, such Borrower shall be the surviving or continuing Person, and (ii) in the case of any such merger involving any other Loan Party, such Loan Party shall be the surviving or continuing Person).", "ner": [[3, 4, "Percentage"]], "tokenized_text": ["Acquired", "Entity", "means", "100", "%", "of", "the", "Ownership", "Interests", "of", "any", "Person", "that", "is", "not", "already", "a", "Subsidiary", "of", "a", "Borrower", ",", "which", "Person", "shall", ",", "as", "a", "result", "of", "the", "acquisition", "of", "such", "Ownership", "Interests", ",", "become", "a", "Domestic", "Subsidiary", "of", "a", "Borrower", "(", "or", "shall", "be", "merged", "with", "and", "into", "a", "Borrower", "or", "another", "Domestic", "Subsidiary", "of", "a", "Borrower", ";", "provided", "that", "(", "i", ")", "in", "the", "case", "of", "any", "such", "merger", "involving", "such", "Borrower", ",", "such", "Borrower", "shall", "be", "the", "surviving", "or", "continuing", "Person", ",", "and", "(", "ii", ")", "in", "the", "case", "of", "any", "such", "merger", "involving", "any", "other", "Loan", "Party", ",", "such", "Loan", "Party", "shall", "be", "the", "surviving", "or", "continuing", "Person", ")", "."]}
{"id": "15356", "text": "Affiliate means any Person directly or indirectly controlling (including all officers, directors, partners, and managers of such Person) or controlled by, or under direct or indirect common control with, another Person. A Person shall be deemed to control another Person for the purposes of this definition if such Person possesses, directly or indirectly, the power to direct, or cause the direction of, the management and policies of the other Person, whether through the ownership of voting securities, common directors, managers, trustees or officers, by contract or otherwise; provided that, in any event for purposes of this definition, any Person that owns, directly or indirectly, 10.00% or more of the securities having the ordinary voting power for the election of directors, managers or governing body of a corporation or 10.00% or more of the partnership or other ownership interest of any other Person (other than as a limited partner of such other Person) will be deemed to control such corporation or other Person. In no event shall the Administrative Agent, any Lender, or any of their respective Affiliates, be deemed to be an Affiliate of any Loan Party.", "ner": [[126, 129, "Percentage"]], "tokenized_text": ["Affiliate", "means", "any", "Person", "directly", "or", "indirectly", "controlling", "(", "including", "all", "officers", ",", "directors", ",", "partners", ",", "and", "managers", "of", "such", "Person", ")", "or", "controlled", "by", ",", "or", "under", "direct", "or", "indirect", "common", "control", "with", ",", "another", "Person", ".", "A", "Person", "shall", "be", "deemed", "to", "control", "another", "Person", "for", "the", "purposes", "of", "this", "definition", "if", "such", "Person", "possesses", ",", "directly", "or", "indirectly", ",", "the", "power", "to", "direct", ",", "or", "cause", "the", "direction", "of", ",", "the", "management", "and", "policies", "of", "the", "other", "Person", ",", "whether", "through", "the", "ownership", "of", "voting", "securities", ",", "common", "directors", ",", "managers", ",", "trustees", "or", "officers", ",", "by", "contract", "or", "otherwise", ";", "provided", "that", ",", "in", "any", "event", "for", "purposes", "of", "this", "definition", ",", "any", "Person", "that", "owns", ",", "directly", "or", "indirectly", ",", "10", ".", "00", "%", "or", "more", "of", "the", "securities", "having", "the", "ordinary", "voting", "power", "for", "the", "election", "of", "directors", ",", "managers", "or", "governing", "body", "of", "a", "corporation", "or", "10", ".", "00", "%", "or", "more", "of", "the", "partnership", "or", "other", "ownership", "interest", "of", "any", "other", "Person", "(", "other", "than", "as", "a", "limited", "partner", "of", "such", "other", "Person", ")", "will", "be", "deemed", "to", "control", "such", "corporation", "or", "other", "Person", ".", "In", "no", "event", "shall", "the", "Administrative", "Agent", ",", "any", "Lender", ",", "or", "any", "of", "their", "respective", "Affiliates", ",", "be", "deemed", "to", "be", "an", "Affiliate", "of", "any", "Loan", "Party", "."]}
{"id": "11357", "text": "Agreement means this First Lien Credit Agreement .", "ner": [[3, 6, "Title"]], "tokenized_text": ["Agreement", "means", "this", "First", "Lien", "Credit", "Agreement", "."]}
{"id": "11358", "text": "Arrangers means (a) Fifth Third Bank , an Ohio banking corporation, (b) Capital One , National Association, a national banking association, and (c) Regions Capital Markets, a division of Regions Bank .", "ner": [[5, 7, "Parties"], [17, 18, "Parties"], [20, 21, "Parties"], [32, 34, "Parties"]], "tokenized_text": ["Arrangers", "means", "(", "a", ")", "Fifth", "Third", "Bank", ",", "an", "Ohio", "banking", "corporation", ",", "(", "b", ")", "Capital", "One", ",", "National", "Association", ",", "a", "national", "banking", "association", ",", "and", "(", "c", ")", "Regions", "Capital", "Markets", ",", "a", "division", "of", "Regions", "Bank", "."]}
{"id": "15362", "text": "Change of Control means any of (a) the acquisition by any person or group (as such terms are used in sections 13(d) and 14(d) of the Securities Exchange Act of 1934 , as amended) (other than the Permitted Holders) at any time of beneficial ownership of 50% or more of the outstanding Ownership Interests of Turning Point on a fullydiluted basis, (b) Standard General shall fail to own more than 50% of the Ownership Interests of Turning Point, provided, that, if Standard General transfers its Ownership Interests of Turning Point to SDOI, a Change of Control shall not be deemed to occur unless (i) SDOI shall fail to own more than 50% of the Ownership Interests of Turning Point or (ii) Standard General shall fail to own more than 50% of the Ownership Interests of SDOI, (c) Turning Point shall fail to own 100% of the Ownership Interests of NATC Holding, (d) NATC Holding shall fail to own 100% of the Ownership Interests of NATC, (e) the failure of individuals who are members of the board of directors (or similar governing body) of Turning Point on the Closing Date (together with any new or replacement directors whose initial nomination for election was approved by a majority of the directors who were either directors on the Closing Date or previously so approved) to constitute a majority of the board of directors (or similar governing body) of Turning Point, or (f) any Change of Control (or words of like import), as defined in any agreement or indenture relating to any issue of material Indebtedness (including the Second Lien Loan Agreement) of any Loan Party shall occur.", "ner": [[23, 32, "Regulation"], [35, 39, "Act"], [58, 59, "Percentage"], [86, 87, "Percentage"], [134, 135, "Percentage"], [155, 156, "Percentage"], [173, 174, "Percentage"], [192, 193, "Percentage"], [315, 318, "Title"]], "tokenized_text": ["Change", "of", "Control", "means", "any", "of", "(", "a", ")", "the", "acquisition", "by", "any", "person", "or", "group", "(", "as", "such", "terms", "are", "used", "in", "sections", "13", "(", "d", ")", "and", "14", "(", "d", ")", "of", "the", "Securities", "Exchange", "Act", "of", "1934", ",", "as", "amended", ")", "(", "other", "than", "the", "Permitted", "Holders", ")", "at", "any", "time", "of", "beneficial", "ownership", "of", "50", "%", "or", "more", "of", "the", "outstanding", "Ownership", "Interests", "of", "Turning", "Point", "on", "a", "fullydiluted", "basis", ",", "(", "b", ")", "Standard", "General", "shall", "fail", "to", "own", "more", "than", "50", "%", "of", "the", "Ownership", "Interests", "of", "Turning", "Point", ",", "provided", ",", "that", ",", "if", "Standard", "General", "transfers", "its", "Ownership", "Interests", "of", "Turning", "Point", "to", "SDOI", ",", "a", "Change", "of", "Control", "shall", "not", "be", "deemed", "to", "occur", "unless", "(", "i", ")", "SDOI", "shall", "fail", "to", "own", "more", "than", "50", "%", "of", "the", "Ownership", "Interests", "of", "Turning", "Point", "or", "(", "ii", ")", "Standard", "General", "shall", "fail", "to", "own", "more", "than", "50", "%", "of", "the", "Ownership", "Interests", "of", "SDOI", ",", "(", "c", ")", "Turning", "Point", "shall", "fail", "to", "own", "100", "%", "of", "the", "Ownership", "Interests", "of", "NATC", "Holding", ",", "(", "d", ")", "NATC", "Holding", "shall", "fail", "to", "own", "100", "%", "of", "the", "Ownership", "Interests", "of", "NATC", ",", "(", "e", ")", "the", "failure", "of", "individuals", "who", "are", "members", "of", "the", "board", "of", "directors", "(", "or", "similar", "governing", "body", ")", "of", "Turning", "Point", "on", "the", "Closing", "Date", "(", "together", "with", "any", "new", "or", "replacement", "directors", "whose", "initial", "nomination", "for", "election", "was", "approved", "by", "a", "majority", "of", "the", "directors", "who", "were", "either", "directors", "on", "the", "Closing", "Date", "or", "previously", "so", "approved", ")", "to", "constitute", "a", "majority", "of", "the", "board", "of", "directors", "(", "or", "similar", "governing", "body", ")", "of", "Turning", "Point", ",", "or", "(", "f", ")", "any", "Change", "of", "Control", "(", "or", "words", "of", "like", "import", ")", ",", "as", "defined", "in", "any", "agreement", "or", "indenture", "relating", "to", "any", "issue", "of", "material", "Indebtedness", "(", "including", "the", "Second", "Lien", "Loan", "Agreement", ")", "of", "any", "Loan", "Party", "shall", "occur", "."]}
{"id": "15364", "text": "Consolidated Interest Expense means, for any period, determined on a Consolidated basis, without duplication, for Turning Point and its Subsidiaries in accordance with GAAP, interest expense (including interest expense attributable to Capitalized Lease Obligations and all net payment obligations pursuant to Hedge Agreements), premium payments, debt discounts, fees, charges and related expenses with respect to any and all Indebtedness of Turning Point and its Subsidiaries for such period; provided that, notwithstanding the foregoing, Consolidated Interest Expense (i) for the four fiscal quarters ended March 31, 2017 shall be deemed to be Consolidated Interest Expense for the two consecutive fiscal months ended March 31, 2017 multiplied by six (6), (ii) for the four fiscal quarters ended June 30, 2017 shall be deemed to be Consolidated Interest Expense for the five consecutive fiscal months ended June 30, 2017 multiplied by twelve-fifths ( 12/5 ) (iii) for the four fiscal quarters ended September 30, 2017 shall be deemed to be Consolidated Interest Expense for the eight consecutive fiscal months ended September 30, 2017 multiplied by threehalves ( 3/2 ) and (iv) for the four fiscal quarters ended December 31, 2017 shall be deemed to be Consolidated Interest Expense for the eleven consecutive fiscal months ended December 31, 2017 multiplied by twelve-elevenths ( 12/11 ) ; provided, further, that all interest, premium payments, debt discounts, fees, charges and related expenses paid in connection with the Refinancing, including any Transaction Costs in connection therewith, shall be excluded from the calculation of Consolidated Interest Expense.", "ner": [[47, 48, "Title"], [163, 167, "Ratio"], [205, 207, "Ratio"], [246, 248, "Ratio"]], "tokenized_text": ["Consolidated", "Interest", "Expense", "means", ",", "for", "any", "period", ",", "determined", "on", "a", "Consolidated", "basis", ",", "without", "duplication", ",", "for", "Turning", "Point", "and", "its", "Subsidiaries", "in", "accordance", "with", "GAAP", ",", "interest", "expense", "(", "including", "interest", "expense", "attributable", "to", "Capitalized", "Lease", "Obligations", "and", "all", "net", "payment", "obligations", "pursuant", "to", "Hedge", "Agreements", ")", ",", "premium", "payments", ",", "debt", "discounts", ",", "fees", ",", "charges", "and", "related", "expenses", "with", "respect", "to", "any", "and", "all", "Indebtedness", "of", "Turning", "Point", "and", "its", "Subsidiaries", "for", "such", "period", ";", "provided", "that", ",", "notwithstanding", "the", "foregoing", ",", "Consolidated", "Interest", "Expense", "(", "i", ")", "for", "the", "four", "fiscal", "quarters", "ended", "March", "31", ",", "2017", "shall", "be", "deemed", "to", "be", "Consolidated", "Interest", "Expense", "for", "the", "two", "consecutive", "fiscal", "months", "ended", "March", "31", ",", "2017", "multiplied", "by", "six", "(", "6", ")", ",", "(", "ii", ")", "for", "the", "four", "fiscal", "quarters", "ended", "June", "30", ",", "2017", "shall", "be", "deemed", "to", "be", "Consolidated", "Interest", "Expense", "for", "the", "five", "consecutive", "fiscal", "months", "ended", "June", "30", ",", "2017", "multiplied", "by", "twelve-fifths", "(", "12", "/", "5", ")", "(", "iii", ")", "for", "the", "four", "fiscal", "quarters", "ended", "September", "30", ",", "2017", "shall", "be", "deemed", "to", "be", "Consolidated", "Interest", "Expense", "for", "the", "eight", "consecutive", "fiscal", "months", "ended", "September", "30", ",", "2017", "multiplied", "by", "threehalves", "(", "3", "/", "2", ")", "and", "(", "iv", ")", "for", "the", "four", "fiscal", "quarters", "ended", "December", "31", ",", "2017", "shall", "be", "deemed", "to", "be", "Consolidated", "Interest", "Expense", "for", "the", "eleven", "consecutive", "fiscal", "months", "ended", "December", "31", ",", "2017", "multiplied", "by", "twelve-elevenths", "(", "12", "/", "11", ")", ";", "provided", ",", "further", ",", "that", "all", "interest", ",", "premium", "payments", ",", "debt", "discounts", ",", "fees", ",", "charges", "and", "related", "expenses", "paid", "in", "connection", "with", "the", "Refinancing", ",", "including", "any", "Transaction", "Costs", "in", "connection", "therewith", ",", "shall", "be", "excluded", "from", "the", "calculation", "of", "Consolidated", "Interest", "Expense", "."]}
{"id": "15365", "text": "EEA Member Country means any of the member states of the European Union, Iceland, Liechtenstein , and Norway.", "ner": [[19, 19, "Parties"]], "tokenized_text": ["EEA", "Member", "Country", "means", "any", "of", "the", "member", "states", "of", "the", "European", "Union", ",", "Iceland", ",", "Liechtenstein", ",", "and", "Norway", "."]}
{"id": "15366", "text": "Engagement Letter means the Third Amended and Restated Engagement Letter dated December 7, 2016, between Turning Point and Fifth Third Bank .", "ner": [[11, 14, "EffectiveDate"], [17, 18, "Parties"], [20, 22, "Parties"]], "tokenized_text": ["Engagement", "Letter", "means", "the", "Third", "Amended", "and", "Restated", "Engagement", "Letter", "dated", "December", "7", ",", "2016", ",", "between", "Turning", "Point", "and", "Fifth", "Third", "Bank", "."]}
{"id": "15368", "text": "Excluded Equity Issuances means (a) the issuance by any Subsidiary of Ownership Interests to either Borrower or any Guarantor, as applicable, (b) the issuance of Ownership Interests of Turning Point (i) to directors, officers and employees of Turning Point and its Subsidiaries pursuant to employee stock option plans (or other employee incentive plans or other compensation arrangements) approved by Turning Points board of directors (or similar governing body), (ii) to finance the purchase consideration (or a portion thereof) in connection with Capital Expenditures, and (iii) for such other purposes reasonably acceptable to the Administrative Agent in its sole discretion; provided that the issued Ownership Interests permitted by this clause (b) (other than issuances permitted by the foregoing clause (b)(i) to the extent no cash is received by Turning Point as consideration for such issuance) shall not exceed $5,000,000 in the aggregate during the term of this Agreement, with the value of each such issuance determined as of the date of such issuance, (c) the issuance of Ownership Interests of Turning Point in order to finance the purchase consideration (or a portion thereof) in connection with a Permitted Acquisition; provided that such Permitted Acquisition is consummated within six (6) months of such issuance, and (d) the issuance of Ownership Interests by Turning Point to pay the outstanding Second Lien Term Loans so long as (x) one hundred percent ( 100% ) of the proceeds are used to pay the Second Lien Term Loans (or a portion thereof) and (y) the Administrative Agent and the Supermajority Lenders have given their prior written consent to such issuance and such payment of the Second Lien Term Loans (or a portion thereof).", "ner": [[168, 173, "Principal"], [278, 279, "Percentage"]], "tokenized_text": ["Excluded", "Equity", "Issuances", "means", "(", "a", ")", "the", "issuance", "by", "any", "Subsidiary", "of", "Ownership", "Interests", "to", "either", "Borrower", "or", "any", "Guarantor", ",", "as", "applicable", ",", "(", "b", ")", "the", "issuance", "of", "Ownership", "Interests", "of", "Turning", "Point", "(", "i", ")", "to", "directors", ",", "officers", "and", "employees", "of", "Turning", "Point", "and", "its", "Subsidiaries", "pursuant", "to", "employee", "stock", "option", "plans", "(", "or", "other", "employee", "incentive", "plans", "or", "other", "compensation", "arrangements", ")", "approved", "by", "Turning", "Points", "board", "of", "directors", "(", "or", "similar", "governing", "body", ")", ",", "(", "ii", ")", "to", "finance", "the", "purchase", "consideration", "(", "or", "a", "portion", "thereof", ")", "in", "connection", "with", "Capital", "Expenditures", ",", "and", "(", "iii", ")", "for", "such", "other", "purposes", "reasonably", "acceptable", "to", "the", "Administrative", "Agent", "in", "its", "sole", "discretion", ";", "provided", "that", "the", "issued", "Ownership", "Interests", "permitted", "by", "this", "clause", "(", "b", ")", "(", "other", "than", "issuances", "permitted", "by", "the", "foregoing", "clause", "(", "b", ")", "(", "i", ")", "to", "the", "extent", "no", "cash", "is", "received", "by", "Turning", "Point", "as", "consideration", "for", "such", "issuance", ")", "shall", "not", "exceed", "$", "5", ",", "000", ",", "000", "in", "the", "aggregate", "during", "the", "term", "of", "this", "Agreement", ",", "with", "the", "value", "of", "each", "such", "issuance", "determined", "as", "of", "the", "date", "of", "such", "issuance", ",", "(", "c", ")", "the", "issuance", "of", "Ownership", "Interests", "of", "Turning", "Point", "in", "order", "to", "finance", "the", "purchase", "consideration", "(", "or", "a", "portion", "thereof", ")", "in", "connection", "with", "a", "Permitted", "Acquisition", ";", "provided", "that", "such", "Permitted", "Acquisition", "is", "consummated", "within", "six", "(", "6", ")", "months", "of", "such", "issuance", ",", "and", "(", "d", ")", "the", "issuance", "of", "Ownership", "Interests", "by", "Turning", "Point", "to", "pay", "the", "outstanding", "Second", "Lien", "Term", "Loans", "so", "long", "as", "(", "x", ")", "one", "hundred", "percent", "(", "100", "%", ")", "of", "the", "proceeds", "are", "used", "to", "pay", "the", "Second", "Lien", "Term", "Loans", "(", "or", "a", "portion", "thereof", ")", "and", "(", "y", ")", "the", "Administrative", "Agent", "and", "the", "Supermajority", "Lenders", "have", "given", "their", "prior", "written", "consent", "to", "such", "issuance", "and", "such", "payment", "of", "the", "Second", "Lien", "Term", "Loans", "(", "or", "a", "portion", "thereof", ")", "."]}
{"id": "15369", "text": "Excluded Leased Property means the leased real property located at (a) 5201 Interchange Way , Louisville, Kentucky 40229 and (b) 1900 Wright Place , Suite 250 , Carlsbad, California 92008.", "ner": [[13, 20, "Address"], [25, 35, "Address"]], "tokenized_text": ["Excluded", "Leased", "Property", "means", "the", "leased", "real", "property", "located", "at", "(", "a", ")", "5201", "Interchange", "Way", ",", "Louisville", ",", "Kentucky", "40229", "and", "(", "b", ")", "1900", "Wright", "Place", ",", "Suite", "250", ",", "Carlsbad", ",", "California", "92008", "."]}
{"id": "15370", "text": "Excluded Swap Obligation means, with respect to any Guarantor, any Swap Obligation if, and to the extent that, all or a portion of the Guarantee of such Guarantor of, or the grant by such Guarantor of a security interest to secure, such Swap Obligation (or any Guarantee thereof) is or becomes illegal under the Commodity Exchange Act or any rule, regulation, or order of the Commodity Futures Trading Commission (or the application or official interpretation of any thereof) by virtue of such Guarantors failure for any reason not to constitute an eligible contract participant as defined in the Commodity Exchange Act and the regulations thereunder at the time the Guarantee of such Guarantor or the grant of such security interest becomes effective with respect to such related Swap Obligation. If a Swap Obligation arises under a master agreement governing more than one swap, such exclusion shall apply only to the portion of such Swap Obligation that is attributable to swaps for which such Guarantee or security interest is or becomes illegal.", "ner": [[62, 64, "Act"], [149, 150, "Title"]], "tokenized_text": ["Excluded", "Swap", "Obligation", "means", ",", "with", "respect", "to", "any", "Guarantor", ",", "any", "Swap", "Obligation", "if", ",", "and", "to", "the", "extent", "that", ",", "all", "or", "a", "portion", "of", "the", "Guarantee", "of", "such", "Guarantor", "of", ",", "or", "the", "grant", "by", "such", "Guarantor", "of", "a", "security", "interest", "to", "secure", ",", "such", "Swap", "Obligation", "(", "or", "any", "Guarantee", "thereof", ")", "is", "or", "becomes", "illegal", "under", "the", "Commodity", "Exchange", "Act", "or", "any", "rule", ",", "regulation", ",", "or", "order", "of", "the", "Commodity", "Futures", "Trading", "Commission", "(", "or", "the", "application", "or", "official", "interpretation", "of", "any", "thereof", ")", "by", "virtue", "of", "such", "Guarantors", "failure", "for", "any", "reason", "not", "to", "constitute", "an", "eligible", "contract", "participant", "as", "defined", "in", "the", "Commodity", "Exchange", "Act", "and", "the", "regulations", "thereunder", "at", "the", "time", "the", "Guarantee", "of", "such", "Guarantor", "or", "the", "grant", "of", "such", "security", "interest", "becomes", "effective", "with", "respect", "to", "such", "related", "Swap", "Obligation", ".", "If", "a", "Swap", "Obligation", "arises", "under", "a", "master", "agreement", "governing", "more", "than", "one", "swap", ",", "such", "exclusion", "shall", "apply", "only", "to", "the", "portion", "of", "such", "Swap", "Obligation", "that", "is", "attributable", "to", "swaps", "for", "which", "such", "Guarantee", "or", "security", "interest", "is", "or", "becomes", "illegal", "."]}
{"id": "15371", "text": "Guarantors means and includes each direct and indirect Domestic Subsidiary of each Borrower (other than NATC or an Immaterial Subsidiary), and each Borrower, in its capacity as a guarantor of the Secured Obligations of another Loan Party; provided, however, that upon the occurrence of any Immaterial Subsidiary ceasing to be an Immaterial Subsidiary, such Subsidiary shall be included in the definition of Guarantors; provided, further, that unless otherwise required by the Administrative Agent or the Required Lenders during the existence of any Event of Default, a Foreign Subsidiary shall not be required to be a Guarantor hereunder to the extent that and for so long as the guaranty by (or pledge of any assets or Ownership Interests (other than up to sixty-five percent (65%) of the voting Ownership Interests and one hundred percent ( 100% ) of the non-voting Ownership Interests of a First Tier Foreign Subsidiary) of) such Foreign Subsidiary would have a material adverse tax consequence for a Borrower or result in a violation of applicable Legal Requirements.", "ner": [[135, 139, "Percentage"], [151, 152, "Percentage"]], "tokenized_text": ["Guarantors", "means", "and", "includes", "each", "direct", "and", "indirect", "Domestic", "Subsidiary", "of", "each", "Borrower", "(", "other", "than", "NATC", "or", "an", "Immaterial", "Subsidiary", ")", ",", "and", "each", "Borrower", ",", "in", "its", "capacity", "as", "a", "guarantor", "of", "the", "Secured", "Obligations", "of", "another", "Loan", "Party", ";", "provided", ",", "however", ",", "that", "upon", "the", "occurrence", "of", "any", "Immaterial", "Subsidiary", "ceasing", "to", "be", "an", "Immaterial", "Subsidiary", ",", "such", "Subsidiary", "shall", "be", "included", "in", "the", "definition", "of", "Guarantors", ";", "provided", ",", "further", ",", "that", "unless", "otherwise", "required", "by", "the", "Administrative", "Agent", "or", "the", "Required", "Lenders", "during", "the", "existence", "of", "any", "Event", "of", "Default", ",", "a", "Foreign", "Subsidiary", "shall", "not", "be", "required", "to", "be", "a", "Guarantor", "hereunder", "to", "the", "extent", "that", "and", "for", "so", "long", "as", "the", "guaranty", "by", "(", "or", "pledge", "of", "any", "assets", "or", "Ownership", "Interests", "(", "other", "than", "up", "to", "sixty-five", "percent", "(", "65", "%", ")", "of", "the", "voting", "Ownership", "Interests", "and", "one", "hundred", "percent", "(", "100", "%", ")", "of", "the", "non-voting", "Ownership", "Interests", "of", "a", "First", "Tier", "Foreign", "Subsidiary", ")", "of", ")", "such", "Foreign", "Subsidiary", "would", "have", "a", "material", "adverse", "tax", "consequence", "for", "a", "Borrower", "or", "result", "in", "a", "violation", "of", "applicable", "Legal", "Requirements", "."]}
{"id": "15376", "text": "Primary Deposit Account(s) means a deposit account or deposit accounts established and maintained by Turning Point with Fifth Third Bank .", "ner": [], "tokenized_text": ["Primary", "Deposit", "Account", "(", "s", ")", "means", "a", "deposit", "account", "or", "deposit", "accounts", "established", "and", "maintained", "by", "Turning", "Point", "with", "Fifth", "Third", "Bank", "."]}
{"id": "15377", "text": "0. 50% | | | | II", "ner": [[0, 3, "Percentage"]], "tokenized_text": ["0", ".", "50", "%", "|", "|", "|", "|", "II"]}
{"id": "15380", "text": "Second Lien Loan Agreement means that certain Second Lien Credit Agreement dated the date of this Agreement by and among the Borrowers, the lenders party thereto, the Second Lien Administrative Agent, as Administrative Agent, and Fifth Third Bank , as Administrative Sub-Agent.", "ner": [[0, 3, "Title"], [7, 10, "Title"], [39, 41, "Parties"]], "tokenized_text": ["Second", "Lien", "Loan", "Agreement", "means", "that", "certain", "Second", "Lien", "Credit", "Agreement", "dated", "the", "date", "of", "this", "Agreement", "by", "and", "among", "the", "Borrowers", ",", "the", "lenders", "party", "thereto", ",", "the", "Second", "Lien", "Administrative", "Agent", ",", "as", "Administrative", "Agent", ",", "and", "Fifth", "Third", "Bank", ",", "as", "Administrative", "Sub-Agent", "."]}
{"id": "15387", "text": "(d) Rate Determinations. The Administrative Agent shall determine each interest rate applicable to the Loans and the Reimbursement Obligations hereunder, and its determination thereof shall be conclusive and binding except in the case of manifest error.", "ner": [], "tokenized_text": ["(", "d", ")", "Rate", "Determinations", ".", "The", "Administrative", "Agent", "shall", "determine", "each", "interest", "rate", "applicable", "to", "the", "Loans", "and", "the", "Reimbursement", "Obligations", "hereunder", ",", "and", "its", "determination", "thereof", "shall", "be", "conclusive", "and", "binding", "except", "in", "the", "case", "of", "manifest", "error", "."]}
{"id": "15389", "text": "(iii) On or before April 30th of each year, beginning April 30, 2018, the Borrowers shall prepay the thenoutstanding Loans by an amount equal to 50% of Excess Cash Flow of the Borrowers on a Consolidated basis for the most recently completed Fiscal Year; provided that, no Excess Cash Flow payment shall be required under this Section 2.8(b)(iii) with respect to such recently completed Fiscal Year to the extent that (A) the Consolidated Total Leverage Ratio is less than 2.50 to 1.00 as of the end of the two consecutive fiscal quarters of the Borrowers immediately preceding the date such Excess Cash Flow payment would otherwise be required under this Section 2.8(b)(iii), and the Borrowers have delivered to the Administrative Agent the compliance certificates required by Section 6.2(a) hereof with detailed calculations evidencing the Consolidated Total Leverage Ratio on such dates and (B) no Default or Event of Default has occurred and is continuing on April 30th of such year when the Excess Cash Flow payment would otherwise be required under this Section 2.8(b)(iii). The amount of each such prepayment shall be applied first to the outstanding Priority Term Loans and Incremental Priority Term Loans, if any, until paid in full (such payments being applied to the remaining amortization payments on the Priority Term Loans and Incremental Priority Term Loans, if any, in the inverse order of maturity), then to the outstanding Second Out Term Loans and Incremental Second Out Term Loans, if any, until paid in full (such payments being applied to the remaining payments on the Second Out Term Loans and Incremental Second Out Term Loans, if any, in the inverse order of maturity), then to the Revolving Loans until paid in full, and then to the Swing Loans.", "ner": [[13, 16, "EffectiveDate"], [30, 31, "Percentage"], [97, 103, "Ratio"], [286, 289, "Title"], [291, 295, "Title"]], "tokenized_text": ["(", "iii", ")", "On", "or", "before", "April", "30th", "of", "each", "year", ",", "beginning", "April", "30", ",", "2018", ",", "the", "Borrowers", "shall", "prepay", "the", "thenoutstanding", "Loans", "by", "an", "amount", "equal", "to", "50", "%", "of", "Excess", "Cash", "Flow", "of", "the", "Borrowers", "on", "a", "Consolidated", "basis", "for", "the", "most", "recently", "completed", "Fiscal", "Year", ";", "provided", "that", ",", "no", "Excess", "Cash", "Flow", "payment", "shall", "be", "required", "under", "this", "Section", "2", ".", "8", "(", "b", ")", "(", "iii", ")", "with", "respect", "to", "such", "recently", "completed", "Fiscal", "Year", "to", "the", "extent", "that", "(", "A", ")", "the", "Consolidated", "Total", "Leverage", "Ratio", "is", "less", "than", "2", ".", "50", "to", "1", ".", "00", "as", "of", "the", "end", "of", "the", "two", "consecutive", "fiscal", "quarters", "of", "the", "Borrowers", "immediately", "preceding", "the", "date", "such", "Excess", "Cash", "Flow", "payment", "would", "otherwise", "be", "required", "under", "this", "Section", "2", ".", "8", "(", "b", ")", "(", "iii", ")", ",", "and", "the", "Borrowers", "have", "delivered", "to", "the", "Administrative", "Agent", "the", "compliance", "certificates", "required", "by", "Section", "6", ".", "2", "(", "a", ")", "hereof", "with", "detailed", "calculations", "evidencing", "the", "Consolidated", "Total", "Leverage", "Ratio", "on", "such", "dates", "and", "(", "B", ")", "no", "Default", "or", "Event", "of", "Default", "has", "occurred", "and", "is", "continuing", "on", "April", "30th", "of", "such", "year", "when", "the", "Excess", "Cash", "Flow", "payment", "would", "otherwise", "be", "required", "under", "this", "Section", "2", ".", "8", "(", "b", ")", "(", "iii", ")", ".", "The", "amount", "of", "each", "such", "prepayment", "shall", "be", "applied", "first", "to", "the", "outstanding", "Priority", "Term", "Loans", "and", "Incremental", "Priority", "Term", "Loans", ",", "if", "any", ",", "until", "paid", "in", "full", "(", "such", "payments", "being", "applied", "to", "the", "remaining", "amortization", "payments", "on", "the", "Priority", "Term", "Loans", "and", "Incremental", "Priority", "Term", "Loans", ",", "if", "any", ",", "in", "the", "inverse", "order", "of", "maturity", ")", ",", "then", "to", "the", "outstanding", "Second", "Out", "Term", "Loans", "and", "Incremental", "Second", "Out", "Term", "Loans", ",", "if", "any", ",", "until", "paid", "in", "full", "(", "such", "payments", "being", "applied", "to", "the", "remaining", "payments", "on", "the", "Second", "Out", "Term", "Loans", "and", "Incremental", "Second", "Out", "Term", "Loans", ",", "if", "any", ",", "in", "the", "inverse", "order", "of", "maturity", ")", ",", "then", "to", "the", "Revolving", "Loans", "until", "paid", "in", "full", ",", "and", "then", "to", "the", "Swing", "Loans", "."]}
{"id": "11392", "text": "Section 2.16. Incremental Facilities. (a) Requests and Consents. The Borrowers may, by written notice from the Borrowers Agent to the Administrative Agent (each, an Incremental Facility Request), from time to time on or after the Closing Date, request the addition of a new tranche of term loans, which at the Borrowers option shall be either incremental priority term loans (each, an Incremental Priority Term Loan Commitment and the term loans thereunder, an Incremental Priority Term Loan) or incremental second out term loans (each, an Incremental Second Out Term Loan Commitment and the term loans thereunder, an Incremental Second Out Term Loan) and/or increases in the Revolving Credit Commitments (each, an Incremental Revolving Credit Commitment and the loans thereunder, Incremental Revolving Loans; each Incremental Priority Term Loan Commitment, Incremental Second Out Term Loan Commitment and each Incremental Revolving Credit Commitment are sometimes referred to herein individually as an Incremental Facility and collectively as the Incremental Facilities) or a combination thereof, in Dollars in an aggregate amount not to exceed $40,000,000 for all such Incremental Facilities (Incremental Facility Amount); provided that no commitment of any Lender shall be increased without the consent of such Lender. Such notice shall set forth (A) the amount of the Incremental Priority Term Loan Commitment, Incremental Second Out Term Loan Commitment or Incremental Revolving Credit Commitment being requested (which shall be in a minimum amount of $5,000,000 (or less, if an amount equal to the remaining Incremental Facility Amount) and multiples of $500,000 in excess thereof), (B) the date (an Incremental Effective Date) on which such Incremental Facility is requested to become effective (which shall not, unless otherwise agreed to by the Administrative Agent, be less than fifteen (15) Business Days nor more than sixty (60) days after the date of such notice), and (C) if an Incremental Term Loan Commitment, whether the related Incremental Term Loan is to be a Eurodollar Loan or a Base Rate Loan (and, if a Eurodollar Loan, the Interest Period therefor). There shall not be more than four (4) Incremental Facilities during the term of this Agreement. The Administrative Agent shall notify the Lenders of the proposed Incremental Facility and provide a time period ending at least five (5) Business Days prior to the Incremental Effective Date to join such Incremental Facility. Each Lender shall notify the Administrative Agent within such time period whether or not it agrees to join the Incremental Facility and, if so, whether by an amount equal to, greater than, or less than its applicable Percentage of such requested increase. Any Lender not responding within such time period shall be deemed to have declined to join such Incremental Facility. The Administrative Agent shall notify the Borrowers and each Lender of the Lenders responses to each request made hereunder. To achieve the full amount of a requested increase and subject to the approval of the Administrative Agent (which approvals shall not be unreasonably withheld), the Borrowers may also invite additional Eligible Assignees to become Lenders pursuant to a joinder agreement or amendment in form and substance satisfactory to the Administrative Agent and its counsel.", "ner": [[199, 204, "Principal"], [273, 278, "Principal"], [297, 300, "Principal"], [594, 595, "Title"]], "tokenized_text": ["Section", "2", ".", "16", ".", "Incremental", "Facilities", ".", "(", "a", ")", "Requests", "and", "Consents", ".", "The", "Borrowers", "may", ",", "by", "written", "notice", "from", "the", "Borrowers", "Agent", "to", "the", "Administrative", "Agent", "(", "each", ",", "an", "Incremental", "Facility", "Request", ")", ",", "from", "time", "to", "time", "on", "or", "after", "the", "Closing", "Date", ",", "request", "the", "addition", "of", "a", "new", "tranche", "of", "term", "loans", ",", "which", "at", 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"referred", "to", "herein", "individually", "as", "an", "Incremental", "Facility", "and", "collectively", "as", "the", "Incremental", "Facilities", ")", "or", "a", "combination", "thereof", ",", "in", "Dollars", "in", "an", "aggregate", "amount", "not", "to", "exceed", "$", "40", ",", "000", ",", "000", "for", "all", "such", "Incremental", "Facilities", "(", "Incremental", "Facility", "Amount", ")", ";", "provided", "that", "no", "commitment", "of", "any", "Lender", "shall", "be", "increased", "without", "the", "consent", "of", "such", "Lender", ".", "Such", "notice", "shall", "set", "forth", "(", "A", ")", "the", "amount", "of", "the", "Incremental", "Priority", "Term", "Loan", "Commitment", ",", "Incremental", "Second", "Out", "Term", "Loan", "Commitment", "or", "Incremental", "Revolving", "Credit", "Commitment", "being", "requested", "(", "which", "shall", "be", "in", "a", "minimum", "amount", "of", "$", "5", ",", "000", ",", "000", "(", "or", "less", ",", "if", "an", "amount", "equal", "to", "the", "remaining", "Incremental", "Facility", "Amount", ")", "and", "multiples", "of", "$", "500", ",", "000", "in", "excess", "thereof", ")", ",", "(", "B", ")", "the", "date", "(", "an", "Incremental", "Effective", "Date", ")", "on", "which", "such", "Incremental", "Facility", "is", "requested", "to", "become", "effective", "(", "which", "shall", "not", ",", "unless", "otherwise", "agreed", "to", "by", "the", "Administrative", "Agent", ",", "be", "less", "than", "fifteen", "(", "15", ")", "Business", "Days", "nor", "more", "than", "sixty", "(", "60", ")", "days", "after", "the", "date", "of", "such", "notice", ")", ",", "and", "(", "C", ")", "if", "an", "Incremental", "Term", "Loan", "Commitment", ",", "whether", "the", "related", "Incremental", "Term", "Loan", "is", "to", "be", "a", "Eurodollar", "Loan", "or", "a", "Base", "Rate", "Loan", "(", "and", ",", "if", "a", "Eurodollar", "Loan", ",", "the", "Interest", "Period", "therefor", ")", ".", "There", "shall", "not", "be", "more", "than", "four", "(", "4", ")", "Incremental", "Facilities", "during", "the", "term", "of", "this", "Agreement", ".", "The", "Administrative", "Agent", "shall", "notify", "the", "Lenders", "of", "the", "proposed", "Incremental", "Facility", "and", "provide", "a", "time", "period", "ending", "at", "least", "five", "(", "5", ")", "Business", "Days", "prior", "to", "the", "Incremental", "Effective", "Date", "to", "join", "such", "Incremental", "Facility", ".", "Each", "Lender", "shall", "notify", "the", "Administrative", "Agent", "within", "such", "time", "period", "whether", "or", "not", "it", "agrees", "to", "join", "the", "Incremental", "Facility", "and", ",", "if", "so", ",", "whether", "by", "an", "amount", "equal", "to", ",", "greater", "than", ",", "or", "less", "than", "its", "applicable", "Percentage", "of", "such", "requested", "increase", ".", "Any", "Lender", "not", "responding", "within", "such", "time", "period", "shall", "be", "deemed", "to", "have", "declined", "to", "join", "such", "Incremental", "Facility", ".", "The", "Administrative", "Agent", "shall", "notify", "the", "Borrowers", "and", "each", "Lender", "of", "the", "Lenders", "responses", "to", "each", "request", "made", "hereunder", ".", "To", "achieve", "the", "full", "amount", "of", "a", "requested", "increase", "and", "subject", "to", "the", "approval", "of", "the", "Administrative", "Agent", "(", "which", "approvals", "shall", "not", "be", "unreasonably", "withheld", ")", ",", "the", "Borrowers", "may", "also", "invite", "additional", "Eligible", "Assignees", "to", "become", "Lenders", "pursuant", "to", "a", "joinder", "agreement", "or", "amendment", "in", "form", "and", "substance", "satisfactory", "to", "the", "Administrative", "Agent", "and", "its", "counsel", "."]}
{"id": "15393", "text": "(c) Terms. (i) The final maturity date of any Incremental Priority Term Loan or any Incremental Second Out Term Loan that is a separate tranche shall be no earlier than the maturity date of the initial Priority Term Loans or initial Second Out Term Loans, as applicable, and (ii) the Weighted Average Life to Maturity of any such Incremental Priority Term Loan or Incremental Second Out Term Loan shall not be shorter than the Weighted Average Life to Maturity of the initial Priority Term Loans or initial Second Out Term Loans, as applicable. If the Weighted Average Yield (as reasonably determined by the Administrative Agent, but excluding reasonable and customary arrangement, structuring and underwriting fees paid or payable to the Administrative Agent or any of its Affiliates with respect to such Incremental Priority Term Loan or such Incremental Second Out Term Loan) applicable to any Incremental Priority Term Loan or Incremental Second Out Term Loan exceeds by more than 0. 50% per annum the corresponding Weighted Average Yield applicable to the then outstanding initial Priority Term Loans or initial Second Out Term Loans, as applicable, or any outstanding prior Incremental Priority Term Loan or any outstanding prior Incremental Second Out Term Loan, as applicable (each, an Existing Term Facility and the amount of such excess above 0. 50% being referred to herein as the Yield Differential), then the Applicable Margin with respect to the applicable Existing Term Facility (the existing Priority Term Loans and existing Incremental Priority Term Loans, if any, where an Incremental Priority Term Loan is being borrowed, or the existing Second Out Term Loans and existing Incremental Second Out Term Loans, if any, where an Incremental Second Out Term Loan is being borrowed, as the case may be) shall automatically be increased by the Yield Differential, effective upon the making of such Incremental Priority Term Loan or such Incremental Second Out Term Loan (it being agreed that to the extent the Weighted Average Yield with respect to such Incremental Priority Term Loan or such Incremental Second Out Term Loan is greater than the Weighted Average Yield of an Existing Term Facility solely as a result of a higher LIBOR floor, then the increased interest rate applicable to an Existing Term Facility shall be effected solely by increasing the LIBOR floor applicable thereto). Except with respect to amortization, pricing, and final maturity as set forth in this clause (c), any Incremental Priority Term Loan or Incremental Second Out Term Loan shall be on terms consistent with the initial Priority Term Loans or initial Second Out Term Loans, as applicable, and, in any event, if any such terms of an Incremental Priority Term Loan or Incremental Second Out Term Loan are more favorable to the Lenders under such Incremental Facility, such terms shall be automatically incorporated and applied to the then outstanding initial Priority Term Loans and any outstanding prior Incremental Priority Term Loans, or the then outstanding initial Second Out Term Loans and any outstanding prior Incremental Second Out Term Loans, as applicable. Any Incremental Revolving Loans shall be on the same terms (as amended from time to time) (including all-in pricing and maturity date) as, and pursuant to documentation applicable to, the initial Revolving Loans.", "ner": [[10, 11, "TerminationDate"], [174, 177, "Percentage"], [240, 241, "Percentage"]], "tokenized_text": ["(", "c", ")", "Terms", ".", "(", "i", ")", "The", "final", "maturity", "date", "of", "any", "Incremental", "Priority", "Term", "Loan", "or", "any", "Incremental", "Second", "Out", "Term", "Loan", "that", "is", "a", "separate", "tranche", "shall", "be", "no", "earlier", "than", "the", "maturity", "date", "of", "the", "initial", "Priority", "Term", "Loans", "or", "initial", "Second", "Out", "Term", "Loans", ",", "as", "applicable", ",", "and", "(", "ii", ")", "the", "Weighted", "Average", "Life", "to", "Maturity", "of", "any", "such", "Incremental", "Priority", "Term", "Loan", "or", "Incremental", "Second", "Out", "Term", "Loan", "shall", "not", "be", "shorter", "than", "the", "Weighted", "Average", "Life", "to", "Maturity", "of", "the", "initial", "Priority", "Term", "Loans", "or", "initial", "Second", "Out", "Term", "Loans", ",", "as", "applicable", ".", "If", "the", "Weighted", "Average", "Yield", "(", "as", "reasonably", "determined", "by", "the", "Administrative", "Agent", ",", "but", "excluding", "reasonable", "and", "customary", "arrangement", ",", "structuring", "and", "underwriting", "fees", "paid", "or", "payable", "to", "the", "Administrative", "Agent", "or", "any", "of", "its", "Affiliates", "with", "respect", "to", "such", "Incremental", "Priority", "Term", "Loan", "or", "such", "Incremental", "Second", "Out", "Term", "Loan", ")", "applicable", "to", "any", "Incremental", "Priority", "Term", "Loan", "or", "Incremental", "Second", "Out", "Term", "Loan", "exceeds", "by", "more", "than", "0", ".", "50", "%", "per", "annum", "the", "corresponding", "Weighted", "Average", "Yield", "applicable", "to", "the", "then", "outstanding", "initial", "Priority", "Term", "Loans", "or", "initial", "Second", "Out", "Term", "Loans", ",", "as", "applicable", ",", "or", "any", "outstanding", "prior", "Incremental", "Priority", "Term", "Loan", "or", "any", "outstanding", "prior", "Incremental", "Second", "Out", "Term", "Loan", ",", "as", "applicable", "(", "each", ",", "an", "Existing", "Term", "Facility", "and", "the", "amount", "of", "such", "excess", "above", "0", ".", "50", "%", "being", "referred", "to", "herein", "as", "the", "Yield", "Differential", ")", ",", "then", "the", "Applicable", "Margin", "with", "respect", "to", "the", "applicable", "Existing", "Term", "Facility", "(", "the", "existing", "Priority", "Term", "Loans", "and", "existing", "Incremental", "Priority", "Term", "Loans", ",", "if", "any", ",", "where", "an", "Incremental", "Priority", "Term", "Loan", "is", "being", "borrowed", ",", "or", "the", "existing", "Second", "Out", "Term", "Loans", "and", "existing", "Incremental", "Second", "Out", "Term", "Loans", ",", "if", "any", ",", "where", "an", "Incremental", "Second", "Out", "Term", "Loan", "is", "being", "borrowed", ",", "as", "the", "case", "may", "be", ")", "shall", "automatically", "be", "increased", "by", "the", "Yield", "Differential", ",", "effective", "upon", "the", "making", "of", "such", "Incremental", "Priority", "Term", "Loan", "or", "such", "Incremental", "Second", "Out", "Term", "Loan", "(", "it", "being", "agreed", "that", "to", "the", "extent", "the", "Weighted", "Average", "Yield", "with", "respect", "to", "such", "Incremental", "Priority", "Term", "Loan", "or", "such", "Incremental", "Second", "Out", "Term", "Loan", "is", "greater", "than", "the", "Weighted", "Average", "Yield", "of", "an", "Existing", "Term", "Facility", "solely", "as", "a", "result", "of", "a", "higher", "LIBOR", "floor", ",", "then", "the", "increased", "interest", "rate", "applicable", "to", "an", "Existing", "Term", "Facility", "shall", "be", "effected", "solely", "by", "increasing", "the", "LIBOR", "floor", "applicable", "thereto", ")", ".", "Except", "with", "respect", "to", "amortization", ",", "pricing", ",", "and", "final", "maturity", "as", "set", "forth", "in", "this", "clause", "(", "c", ")", ",", "any", "Incremental", "Priority", "Term", "Loan", "or", "Incremental", "Second", "Out", "Term", "Loan", "shall", "be", "on", "terms", "consistent", "with", "the", "initial", "Priority", "Term", "Loans", "or", "initial", "Second", "Out", "Term", "Loans", ",", "as", "applicable", ",", "and", ",", "in", "any", "event", ",", "if", "any", "such", "terms", "of", "an", "Incremental", "Priority", "Term", "Loan", "or", "Incremental", "Second", "Out", "Term", "Loan", "are", "more", "favorable", "to", "the", "Lenders", "under", "such", "Incremental", "Facility", ",", "such", "terms", "shall", "be", "automatically", "incorporated", "and", "applied", "to", "the", "then", "outstanding", "initial", "Priority", "Term", "Loans", "and", "any", "outstanding", "prior", "Incremental", "Priority", "Term", "Loans", ",", "or", "the", "then", "outstanding", "initial", "Second", "Out", "Term", "Loans", "and", "any", "outstanding", "prior", "Incremental", "Second", "Out", "Term", "Loans", ",", "as", "applicable", ".", "Any", "Incremental", "Revolving", "Loans", "shall", "be", "on", "the", "same", "terms", "(", "as", "amended", "from", "time", "to", "time", ")", "(", "including", "all-in", "pricing", "and", "maturity", "date", ")", "as", ",", "and", "pursuant", "to", "documentation", "applicable", "to", ",", "the", "initial", "Revolving", "Loans", "."]}
{"id": "15396", "text": "(d) Hazardous Materials have not been transported or disposed of to or from the properties currently or formerly owned, leased or operated by any Loan Party or any Subsidiary thereof in material violation of, or in a manner or to a location which could give rise to material liability under, Environmental Laws, nor have any Hazardous Materials been generated, treated, stored or disposed of at, on or under any of such properties in violation of, or in a manner that could give rise to material liability under, any applicable Environmental Laws; and", "ner": [[55, 56, "Regulation"]], "tokenized_text": ["(", "d", ")", "Hazardous", "Materials", "have", "not", "been", "transported", "or", "disposed", "of", "to", "or", "from", "the", "properties", "currently", "or", "formerly", "owned", ",", "leased", "or", "operated", "by", "any", "Loan", "Party", "or", "any", "Subsidiary", "thereof", "in", "material", "violation", "of", ",", "or", "in", "a", "manner", "or", "to", "a", "location", "which", "could", "give", "rise", "to", "material", "liability", "under", ",", "Environmental", "Laws", ",", "nor", "have", "any", "Hazardous", "Materials", "been", "generated", ",", "treated", ",", "stored", "or", "disposed", "of", "at", ",", "on", "or", "under", "any", "of", "such", "properties", "in", "violation", "of", ",", "or", "in", "a", "manner", "that", "could", "give", "rise", "to", "material", "liability", "under", ",", "any", "applicable", "Environmental", "Laws", ";", "and"]}
{"id": "15398", "text": "Section 5.16. No Material Adverse Change. Since December 31 , 2015, there has been no material adverse change in the business, operations financial condition, Property, or liabilities (actual or contingent) of Turning Point and its Subsidiaries, taken as a whole, and no event has occurred or condition arisen, either individually or in the aggregate, that has had or could reasonably be expected to have a Material Adverse Effect.", "ner": [[11, 14, "EffectiveDate"]], "tokenized_text": ["Section", "5", ".", "16", ".", "No", "Material", "Adverse", "Change", ".", "Since", "December", "31", ",", "2015", ",", "there", "has", "been", "no", "material", "adverse", "change", "in", "the", "business", ",", "operations", "financial", "condition", ",", "Property", ",", "or", "liabilities", "(", "actual", "or", "contingent", ")", "of", "Turning", "Point", "and", "its", "Subsidiaries", ",", "taken", "as", "a", "whole", ",", "and", "no", "event", "has", "occurred", "or", "condition", "arisen", ",", "either", "individually", "or", "in", "the", "aggregate", ",", "that", "has", "had", "or", "could", "reasonably", "be", "expected", "to", "have", "a", "Material", "Adverse", "Effect", "."]}
{"id": "15399", "text": "Section 5.20. Compliance with Sanctions Programs. Each Loan Party and each Subsidiary thereof is in compliance with the requirements of all Sanctions Programs applicable to it. Each Loan Party has provided to the Administrative Agent, the L/C Issuer, and the Lenders all information regarding such Loan Party and its directors, officers, Affiliates and Subsidiaries necessary for the Administrative Agent, the L/C Issuer, and the Lenders to comply with all applicable Sanctions Programs. To the best of each Loan Partys knowledge, neither any Loan Party nor any of its officers or directors, Affiliates or Subsidiaries is, as of the date hereof, a Sanctioned Person. No part of the proceeds of the Loans will be used, directly or indirectly, for any payments to any governmental official or employee, political party, official of a political party, candidate for political office, or anyone else acting in an official capacity, in order to obtain, retain or direct business or obtain any improper advantage, in violation of the United States Foreign Corrupt Practices Act of 1977 or the United Kingdom Bribery Act of 2010 .", "ner": [[192, 199, "Act"], [202, 207, "Act"]], "tokenized_text": ["Section", "5", ".", "20", ".", "Compliance", "with", "Sanctions", "Programs", ".", "Each", "Loan", "Party", "and", "each", "Subsidiary", "thereof", "is", "in", "compliance", "with", "the", "requirements", "of", "all", "Sanctions", "Programs", "applicable", "to", "it", ".", "Each", "Loan", "Party", "has", "provided", "to", "the", "Administrative", "Agent", ",", "the", "L", "/", "C", "Issuer", ",", "and", "the", "Lenders", "all", "information", "regarding", "such", "Loan", "Party", "and", "its", "directors", ",", "officers", ",", "Affiliates", "and", "Subsidiaries", "necessary", "for", "the", "Administrative", "Agent", ",", "the", "L", "/", "C", "Issuer", ",", "and", "the", "Lenders", "to", "comply", "with", "all", "applicable", "Sanctions", "Programs", ".", "To", "the", "best", "of", "each", "Loan", "Partys", "knowledge", ",", "neither", "any", "Loan", "Party", "nor", "any", "of", "its", "officers", "or", "directors", ",", "Affiliates", "or", "Subsidiaries", "is", ",", "as", "of", "the", "date", "hereof", ",", "a", "Sanctioned", "Person", ".", "No", "part", "of", "the", "proceeds", "of", "the", "Loans", "will", "be", "used", ",", "directly", "or", "indirectly", ",", "for", "any", "payments", "to", "any", "governmental", "official", "or", "employee", ",", "political", "party", ",", "official", "of", "a", "political", "party", ",", "candidate", "for", "political", "office", ",", "or", "anyone", "else", "acting", "in", "an", "official", "capacity", ",", "in", "order", "to", "obtain", ",", "retain", "or", "direct", "business", "or", "obtain", "any", "improper", "advantage", ",", "in", "violation", "of", "the", "United", "States", "Foreign", "Corrupt", "Practices", "Act", "of", "1977", "or", "the", "United", "Kingdom", "Bribery", "Act", "of", "2010", "."]}
{"id": "12400", "text": "(d) When the First Lien Guaranty and Security Agreement (or a short form intellectual property security agreement) is filed in the United States Patent and Trademark Office and the United States Copyright Office and when financing statements, releases and other filings in appropriate form are filed in the offices specified in Schedule 9 of the First Lien Guaranty and Security Agreement, the Administrative Agent shall have a fully perfected Lien on, and security interest in, all right, title and interest of the applicable Loan Parties in the Intellectual Property (as defined in the First Lien Guaranty and Security Agreement) in which a security interest may be perfected by filing, recording or registering a security agreement, financing statement or analogous document in the United States Patent and Trademark Office or the United States Copyright Office , as applicable, in each case prior and superior in right to any other Person (it being understood that subsequent recordings in the United States Patent and Trademark Office and the United States Copyright Office may be necessary to perfect a Lien on registered trademarks, trademark applications and copyrights acquired by the Loan Parties after the Closing Date), except for Permitted Prior Liens.", "ner": [[5, 10, "Title"]], "tokenized_text": ["(", "d", ")", "When", "the", "First", "Lien", "Guaranty", "and", "Security", "Agreement", "(", "or", "a", "short", "form", "intellectual", "property", "security", "agreement", ")", "is", "filed", "in", "the", "United", "States", "Patent", "and", "Trademark", "Office", "and", "the", "United", "States", "Copyright", "Office", "and", "when", "financing", "statements", ",", "releases", "and", "other", "filings", "in", "appropriate", "form", "are", "filed", "in", "the", "offices", "specified", "in", "Schedule", "9", "of", "the", "First", "Lien", "Guaranty", "and", "Security", "Agreement", ",", "the", "Administrative", "Agent", "shall", "have", "a", "fully", "perfected", "Lien", "on", ",", "and", "security", "interest", "in", ",", "all", "right", ",", "title", "and", "interest", "of", "the", "applicable", "Loan", "Parties", "in", "the", "Intellectual", "Property", "(", "as", "defined", "in", "the", "First", "Lien", "Guaranty", "and", "Security", "Agreement", ")", "in", "which", "a", "security", "interest", "may", "be", "perfected", "by", "filing", ",", "recording", "or", "registering", "a", "security", "agreement", ",", "financing", "statement", "or", "analogous", "document", "in", "the", "United", "States", "Patent", "and", "Trademark", "Office", "or", "the", "United", "States", "Copyright", "Office", ",", "as", "applicable", ",", "in", "each", "case", "prior", "and", "superior", "in", "right", "to", "any", "other", "Person", "(", "it", "being", "understood", "that", "subsequent", "recordings", "in", "the", "United", "States", "Patent", "and", "Trademark", "Office", "and", "the", "United", "States", "Copyright", "Office", "may", "be", "necessary", "to", "perfect", "a", "Lien", "on", "registered", "trademarks", ",", "trademark", "applications", "and", "copyrights", "acquired", "by", "the", "Loan", "Parties", "after", "the", "Closing", "Date", ")", ",", "except", "for", "Permitted", "Prior", "Liens", "."]}
{"id": "15401", "text": "(c) Additional Foreign Subsidiaries. Notify the Administrative Agent promptly after any Person becomes a First Tier Foreign Subsidiary, and promptly thereafter (and, in any event, within fortyfive (45) days after such notification; provided that the Administrative Agent may extend such time period by (x) an additional fifteen (15) days in its sole discretion and (y) an unlimited number of days thereafter with the consent of the Required Lenders), cause (i) the applicable Loan Party to deliver to the Administrative Agent Collateral Documents pledging sixtyfive percent (65%) of the total outstanding voting Ownership Interests (and one hundred percent ( 100% ) of the nonvoting Ownership Interests) of any such new First Tier Foreign Subsidiary, which Collateral Documents shall be governed by the law of the jurisdiction of organization of such First Tier Foreign Subsidiary, and a consent thereto executed by such new First Tier Foreign Subsidiary (including, if applicable, original certificated Ownership Interests (or the equivalent thereof pursuant to the applicable Legal Requirements and practices of any relevant foreign jurisdiction) evidencing the Ownership Interests of such new First Tier Foreign Subsidiary, together with an appropriate undated stock or other transfer power for each certificate duly executed in blank by the registered owner thereof), (ii) such Person to deliver to the Administrative Agent such opinions, documents and certificates referred to in Section 3.2 as may be reasonably requested by the Administrative Agent, (iii) such Person to deliver to the Administrative Agent such updated Schedules to the Loan Documents as requested by the Administrative Agent with regard to such Person and (iv) such Person to deliver to the Administrative Agent such other documents as may be reasonably requested by the Administrative Agent, all in form, content and scope reasonably satisfactory to the Administrative Agent. For the avoidance of doubt, no guaranty by (or pledge of any of the assets or Ownership Interests (other than up to sixtyfive percent (65%) of the voting Ownership Interests and one hundred percent ( 100% ) of the nonvoting Ownership Interests of a First Tier Foreign Subsidiary) of) any First Tier Foreign Subsidiary shall be required to the extent such guaranty or pledge would have a material adverse tax consequence for either Borrower or result in a violation of applicable Legal Requirements.", "ner": [[103, 107, "Percentage"], [118, 120, "Percentage"], [122, 123, "Percentage"], [381, 382, "Percentage"]], "tokenized_text": ["(", "c", ")", "Additional", "Foreign", "Subsidiaries", ".", "Notify", "the", "Administrative", "Agent", "promptly", "after", "any", "Person", "becomes", "a", "First", "Tier", "Foreign", "Subsidiary", ",", "and", "promptly", "thereafter", "(", "and", ",", "in", "any", "event", ",", "within", "fortyfive", "(", "45", ")", "days", "after", "such", "notification", ";", "provided", "that", "the", "Administrative", "Agent", "may", "extend", "such", "time", "period", "by", "(", "x", ")", "an", "additional", "fifteen", "(", "15", ")", "days", "in", "its", "sole", "discretion", "and", "(", "y", ")", "an", "unlimited", "number", "of", "days", "thereafter", "with", "the", "consent", "of", "the", "Required", "Lenders", ")", ",", "cause", "(", "i", ")", "the", "applicable", "Loan", "Party", "to", "deliver", "to", "the", "Administrative", "Agent", "Collateral", "Documents", "pledging", "sixtyfive", "percent", "(", "65", "%", ")", "of", "the", "total", "outstanding", "voting", "Ownership", "Interests", "(", "and", "one", "hundred", "percent", "(", "100", "%", ")", "of", "the", "nonvoting", "Ownership", "Interests", ")", "of", "any", "such", "new", "First", "Tier", "Foreign", "Subsidiary", ",", "which", "Collateral", "Documents", "shall", "be", "governed", "by", "the", "law", "of", "the", "jurisdiction", "of", "organization", "of", "such", "First", "Tier", "Foreign", "Subsidiary", ",", "and", "a", "consent", "thereto", "executed", "by", "such", "new", "First", "Tier", "Foreign", "Subsidiary", "(", "including", ",", "if", "applicable", ",", "original", "certificated", "Ownership", "Interests", "(", "or", "the", "equivalent", "thereof", "pursuant", "to", "the", "applicable", "Legal", "Requirements", "and", "practices", "of", "any", "relevant", "foreign", "jurisdiction", ")", "evidencing", "the", "Ownership", "Interests", "of", "such", "new", "First", "Tier", "Foreign", "Subsidiary", ",", "together", "with", "an", "appropriate", "undated", "stock", "or", "other", "transfer", "power", "for", "each", "certificate", "duly", "executed", "in", "blank", "by", "the", "registered", "owner", "thereof", ")", ",", "(", "ii", ")", "such", "Person", "to", "deliver", "to", "the", "Administrative", "Agent", "such", "opinions", ",", "documents", "and", "certificates", "referred", "to", "in", "Section", "3", ".", "2", "as", "may", "be", "reasonably", "requested", "by", "the", "Administrative", "Agent", ",", "(", "iii", ")", "such", "Person", "to", "deliver", "to", "the", "Administrative", "Agent", "such", "updated", "Schedules", "to", "the", "Loan", "Documents", "as", "requested", "by", "the", "Administrative", "Agent", "with", "regard", "to", "such", "Person", "and", "(", "iv", ")", "such", "Person", "to", "deliver", "to", "the", "Administrative", "Agent", "such", "other", "documents", "as", "may", "be", "reasonably", "requested", "by", "the", "Administrative", "Agent", ",", "all", "in", "form", ",", "content", "and", "scope", "reasonably", "satisfactory", "to", "the", "Administrative", "Agent", ".", "For", "the", "avoidance", "of", "doubt", ",", "no", "guaranty", "by", "(", "or", "pledge", "of", "any", "of", "the", "assets", "or", "Ownership", "Interests", "(", "other", "than", "up", "to", "sixtyfive", "percent", "(", "65", "%", ")", "of", "the", "voting", "Ownership", "Interests", "and", "one", "hundred", "percent", "(", "100", "%", ")", "of", "the", "nonvoting", "Ownership", "Interests", "of", "a", "First", "Tier", "Foreign", "Subsidiary", ")", "of", ")", "any", "First", "Tier", "Foreign", "Subsidiary", "shall", "be", "required", "to", "the", "extent", "such", "guaranty", "or", "pledge", "would", "have", "a", "material", "adverse", "tax", "consequence", "for", "either", "Borrower", "or", "result", "in", "a", "violation", "of", "applicable", "Legal", "Requirements", "."]}
{"id": "15402", "text": "(h) Liens securing Indebtedness permitted under Section 7.1(d); provided that (i) such Liens shall be created substantially simultaneously with the acquisition, repair, improvement or lease, as applicable, of the related Property, (ii) such Liens do not at any time encumber any property other than the Property financed by such Indebtedness and (iii) the principal amount of Indebtedness secured by any such Lien shall at no time exceed one hundred percent ( 100% ) of the original price for the purchase, repair improvement or lease amount (as applicable) of such Property at the time of purchase, repair, improvement or lease (as applicable);", "ner": [[8, 11, "Regulation"], [90, 91, "Percentage"]], "tokenized_text": ["(", "h", ")", "Liens", "securing", "Indebtedness", "permitted", "under", "Section", "7", ".", "1", "(", "d", ")", ";", "provided", "that", "(", "i", ")", "such", "Liens", "shall", "be", "created", "substantially", "simultaneously", "with", "the", "acquisition", ",", "repair", ",", "improvement", "or", "lease", ",", "as", "applicable", ",", "of", "the", "related", "Property", ",", "(", "ii", ")", "such", "Liens", "do", "not", "at", "any", "time", "encumber", "any", "property", "other", "than", "the", "Property", "financed", "by", "such", "Indebtedness", "and", "(", "iii", ")", "the", "principal", "amount", "of", "Indebtedness", "secured", "by", "any", "such", "Lien", "shall", "at", "no", "time", "exceed", "one", "hundred", "percent", "(", "100", "%", ")", "of", "the", "original", "price", "for", "the", "purchase", ",", "repair", "improvement", "or", "lease", "amount", "(", "as", "applicable", ")", "of", "such", "Property", "at", "the", "time", "of", "purchase", ",", "repair", ",", "improvement", "or", "lease", "(", "as", "applicable", ")", ";"]}
{"id": "15405", "text": "(r) Liens not otherwise permitted hereunder on assets other than the Collateral securing Indebtedness or other obligations in the aggregate principal amount not to exceed $2,500,000 at any time outstanding.", "ner": [[27, 32, "Principal"]], "tokenized_text": ["(", "r", ")", "Liens", "not", "otherwise", "permitted", "hereunder", "on", "assets", "other", "than", "the", "Collateral", "securing", "Indebtedness", "or", "other", "obligations", "in", "the", "aggregate", "principal", "amount", "not", "to", "exceed", "$", "2", ",", "500", ",", "000", "at", "any", "time", "outstanding", "."]}
{"id": "11406", "text": "(c) Turning Point shall be permitted to make a single dividend or distribution to its shareholders or to make a redemption or purchase of shares (any such dividend, distribution, redemption or purchase, a Restricted Quarterly Distribution) in each fiscal quarter of Turning Point, so long as (i) both immediately before and after giving effect thereto, no Default or Event of Default has occurred and is continuing on the date of such Restricted Quarterly Distribution, and (ii) the Borrowers shall have Unused Revolving Credit Commitments of at least $10,000,000 after giving effect to such Restricted Quarterly Distribution; provided that the aggregate amount of Restricted Quarterly Distributions during any Fiscal Year shall not exceed the sum of the aggregate amount of mandatory and voluntary principal payments made on the Priority Term Loans during such Fiscal Year pursuant to Sections 2.7 and 2.8 and that were made prior to the date of the proposed Restricted Quarterly Distribution; provided, further, that, Turning Point shall be permitted to make a Restricted Quarterly Distribution during any Fiscal Year after May 15 of such Fiscal Year, without any limit as to the amount of such dividend or distribution, if (A) prior to such Restricted Quarterly Distribution, the Borrowers have made the Excess Cash Flow payment required to be made, if any, pursuant to Section 2.8(b)(iii) with respect to the immediately preceding Fiscal Year, (B) the Consolidated Total Leverage Ratio is less than 2.50 to 1.00 as of the end of the two consecutive fiscal quarters of the Borrowers immediately preceding the date of such Restricted Quarterly Distribution, and the Borrowers have delivered to the Administrative Agent the compliance certificates required by Section 6.2(a) hereof with detailed calculations evidencing such Consolidated Total Leverage Ratio on such dates, and (C) the Borrowers have delivered a compliance certificate in the form of Exhibit E attached hereto evidencing that, after giving effect to such Restricted Quarterly Distribution (including any Borrowing advanced on such date to make such Restricted Quarterly Distribution), Turning Points pro forma Consolidated Total Leverage Ratio is less than 2.50 to 1.00; and", "ner": [[101, 106, "Principal"], [156, 163, "Regulation"], [251, 257, "Regulation"], [281, 287, "Ratio"], [325, 328, "Regulation"]], "tokenized_text": ["(", "c", ")", "Turning", "Point", "shall", "be", "permitted", "to", "make", "a", "single", "dividend", "or", "distribution", "to", "its", "shareholders", "or", "to", "make", "a", "redemption", "or", "purchase", "of", "shares", "(", "any", "such", "dividend", ",", "distribution", ",", "redemption", "or", "purchase", ",", "a", "Restricted", "Quarterly", "Distribution", ")", "in", "each", "fiscal", "quarter", "of", "Turning", "Point", ",", "so", "long", "as", "(", "i", ")", "both", "immediately", "before", "and", "after", "giving", "effect", "thereto", ",", "no", "Default", "or", "Event", "of", "Default", "has", "occurred", "and", "is", "continuing", "on", "the", "date", "of", "such", "Restricted", "Quarterly", "Distribution", ",", "and", "(", "ii", ")", "the", "Borrowers", "shall", "have", "Unused", "Revolving", "Credit", "Commitments", "of", "at", "least", "$", "10", ",", "000", ",", "000", "after", "giving", "effect", "to", "such", "Restricted", "Quarterly", "Distribution", ";", "provided", "that", "the", "aggregate", "amount", "of", "Restricted", "Quarterly", "Distributions", "during", "any", "Fiscal", "Year", "shall", "not", "exceed", "the", "sum", "of", "the", "aggregate", "amount", "of", "mandatory", "and", "voluntary", "principal", "payments", "made", "on", "the", "Priority", "Term", "Loans", "during", "such", "Fiscal", "Year", "pursuant", "to", "Sections", "2", ".", "7", "and", "2", ".", "8", "and", "that", "were", "made", "prior", "to", "the", "date", "of", "the", "proposed", "Restricted", "Quarterly", "Distribution", ";", "provided", ",", "further", ",", "that", ",", "Turning", "Point", "shall", "be", "permitted", "to", "make", "a", "Restricted", "Quarterly", "Distribution", "during", "any", "Fiscal", "Year", "after", "May", "15", "of", "such", "Fiscal", "Year", ",", "without", "any", "limit", "as", "to", "the", "amount", "of", "such", "dividend", "or", "distribution", ",", "if", "(", "A", ")", "prior", "to", "such", "Restricted", "Quarterly", "Distribution", ",", "the", "Borrowers", "have", "made", "the", "Excess", "Cash", "Flow", "payment", "required", "to", "be", "made", ",", "if", "any", ",", "pursuant", "to", "Section", "2", ".", "8", "(", "b", ")", "(", "iii", ")", "with", "respect", "to", "the", "immediately", "preceding", "Fiscal", "Year", ",", "(", "B", ")", "the", "Consolidated", "Total", "Leverage", "Ratio", "is", "less", "than", "2", ".", "50", "to", "1", ".", "00", "as", "of", "the", "end", "of", "the", "two", "consecutive", "fiscal", "quarters", "of", "the", "Borrowers", "immediately", "preceding", "the", "date", "of", "such", "Restricted", "Quarterly", "Distribution", ",", "and", "the", "Borrowers", "have", "delivered", "to", "the", "Administrative", "Agent", "the", "compliance", "certificates", "required", "by", "Section", "6", ".", "2", "(", "a", ")", "hereof", "with", "detailed", "calculations", "evidencing", "such", "Consolidated", "Total", "Leverage", "Ratio", "on", "such", "dates", ",", "and", "(", "C", ")", "the", "Borrowers", "have", "delivered", "a", "compliance", "certificate", "in", "the", "form", "of", "Exhibit", "E", "attached", "hereto", "evidencing", "that", ",", "after", "giving", "effect", "to", "such", "Restricted", "Quarterly", "Distribution", "(", "including", "any", "Borrowing", "advanced", "on", "such", "date", "to", "make", "such", "Restricted", "Quarterly", "Distribution", ")", ",", "Turning", "Points", "pro", "forma", "Consolidated", "Total", "Leverage", "Ratio", "is", "less", "than", "2", ".", "50", "to", "1", ".", "00", ";", "and"]}
{"id": "15407", "text": "(iv) other transactions on terms as favorable as would be obtained by it in a comparable armslength transaction with an independent, unrelated third party as determined, (x) with respect to any transaction or series of related transactions involving consideration of less than $2,500,000 , in the reasonable, good faith judgment of the Borrowers, (y) with respect to any transaction or series of related transactions involving consideration of at least $2,500,000 but less than $5,000,000, in good faith by the Board of Directors (or equivalent governing body) of Turning Point and (z) with respect to any transaction or series of related transactions involving consideration of $5,000,000 or more, in a written opinion from an independent investment banking firm of nationally recognized standing;", "ner": [[48, 53, "Principal"], [93, 98, "Principal"], [115, 116, "Parties"]], "tokenized_text": ["(", "iv", ")", "other", "transactions", "on", "terms", "as", "favorable", "as", "would", "be", "obtained", "by", "it", "in", "a", "comparable", "armslength", "transaction", "with", "an", "independent", ",", "unrelated", "third", "party", "as", "determined", ",", "(", "x", ")", "with", "respect", "to", "any", "transaction", "or", "series", "of", "related", "transactions", "involving", "consideration", "of", "less", "than", "$", "2", ",", "500", ",", "000", ",", "in", "the", "reasonable", ",", "good", "faith", "judgment", "of", "the", "Borrowers", ",", "(", "y", ")", "with", "respect", "to", "any", "transaction", "or", "series", "of", "related", "transactions", "involving", "consideration", "of", "at", "least", "$", "2", ",", "500", ",", "000", "but", "less", "than", "$", "5", ",", "000", ",", "000", ",", "in", "good", "faith", "by", "the", "Board", "of", "Directors", "(", "or", "equivalent", "governing", "body", ")", "of", "Turning", "Point", "and", "(", "z", ")", "with", "respect", "to", "any", "transaction", "or", "series", "of", "related", "transactions", "involving", "consideration", "of", "$", "5", ",", "000", ",", "000", "or", "more", ",", "in", "a", "written", "opinion", "from", "an", "independent", "investment", "banking", "firm", "of", "nationally", "recognized", "standing", ";"]}
{"id": "15408", "text": "Section 7.14. Limitations on Turning Point. (a) Own or otherwise hold any Property other than (i) the Ownership Interests of NATC Holding and Turning Point Brands, LLC, ( ii) Investments permitted hereunder, (iii) minute books and other corporate books and records of NATC Holding and Turning Point Brands, LLC, and (iv) other miscellaneous nonmaterial assets;", "ner": [], "tokenized_text": ["Section", "7", ".", "14", ".", "Limitations", "on", "Turning", "Point", ".", "(", "a", ")", "Own", "or", "otherwise", "hold", "any", "Property", "other", "than", "(", "i", ")", "the", "Ownership", "Interests", "of", "NATC", "Holding", "and", "Turning", "Point", "Brands", ",", "LLC", ",", "(", "ii", ")", "Investments", "permitted", "hereunder", ",", "(", "iii", ")", "minute", "books", "and", "other", "corporate", "books", "and", "records", "of", "NATC", "Holding", "and", "Turning", "Point", "Brands", ",", "LLC", ",", "and", "(", "iv", ")", "other", "miscellaneous", "nonmaterial", "assets", ";"]}
{"id": "15410", "text": "(ii) Collateral Documents. The First Lien Guaranty and Security Agreement or any other Loan Document that purports to create a Lien shall, for any reason, fail or cease to create a valid and perfected and, other than Permitted Prior Liens, first priority Lien in and upon any significant portion of the Collateral, except as a result of a disposition of the applicable Collateral in a transaction permitted under this Agreement; or", "ner": [[7, 12, "Title"]], "tokenized_text": ["(", "ii", ")", "Collateral", "Documents", ".", "The", "First", "Lien", "Guaranty", "and", "Security", "Agreement", "or", "any", "other", "Loan", "Document", "that", "purports", "to", "create", "a", "Lien", "shall", ",", "for", "any", "reason", ",", "fail", "or", "cease", "to", "create", "a", "valid", "and", "perfected", "and", ",", "other", "than", "Permitted", "Prior", "Liens", ",", "first", "priority", "Lien", "in", "and", "upon", "any", "significant", "portion", "of", "the", "Collateral", ",", "except", "as", "a", "result", "of", "a", "disposition", "of", "the", "applicable", "Collateral", "in", "a", "transaction", "permitted", "under", "this", "Agreement", ";", "or"]}
{"id": "15412", "text": "(iii) to release any Guarantor from its obligations under any Loan Documents (A) if such Person ceases to be a Loan Party as a result of a transaction permitted under the Loan Documents or (B) except after the occurrence and during the continuance of a Default or Event of Default, if such Person is a Foreign Subsidiary and the guaranty by (or pledge of any of the assets or Ownership Interests (other than up to sixtyfive percent (65%) of the voting Ownership Interests and one hundred percent ( 100% ) of the nonvoting Ownership Interests of a First Tier Foreign Subsidiary) of) such Foreign Subsidiary results in a material adverse tax consequence for the Borrowers or results in a violation of applicable Legal Requirements; and", "ner": [[87, 88, "Percentage"], [96, 98, "Percentage"], [100, 101, "Percentage"]], "tokenized_text": ["(", "iii", ")", "to", "release", "any", "Guarantor", "from", "its", "obligations", "under", "any", "Loan", "Documents", "(", "A", ")", "if", "such", "Person", "ceases", "to", "be", "a", "Loan", "Party", "as", "a", "result", "of", "a", "transaction", "permitted", "under", "the", "Loan", "Documents", "or", "(", "B", ")", "except", "after", "the", "occurrence", "and", "during", "the", "continuance", "of", "a", "Default", "or", "Event", "of", "Default", ",", "if", "such", "Person", "is", "a", "Foreign", "Subsidiary", "and", "the", "guaranty", "by", "(", "or", "pledge", "of", "any", "of", "the", "assets", "or", "Ownership", "Interests", "(", "other", "than", "up", "to", "sixtyfive", "percent", "(", "65", "%", ")", "of", "the", "voting", "Ownership", "Interests", "and", "one", "hundred", "percent", "(", "100", "%", ")", "of", "the", "nonvoting", "Ownership", "Interests", "of", "a", "First", "Tier", "Foreign", "Subsidiary", ")", "of", ")", "such", "Foreign", "Subsidiary", "results", "in", "a", "material", "adverse", "tax", "consequence", "for", "the", "Borrowers", "or", "results", "in", "a", "violation", "of", "applicable", "Legal", "Requirements", ";", "and"]}
{"id": "15413", "text": "Turning Point Brands, Inc.", "ner": [], "tokenized_text": ["Turning", "Point", "Brands", ",", "Inc", "."]}
{"id": "15414", "text": "Facsimile No.: (502) 581-1087", "ner": [[4, 7, "PII_Ref"]], "tokenized_text": ["Facsimile", "No", ".", ":", "(", "502", ")", "581-1087"]}
{"id": "15416", "text": "(a) Governing Law. This Agreement and the other Loan Documents and any claim, controversy, dispute or cause of action (whether in contract or tort or otherwise) based upon, arising out of or relating to this Agreement or any other Loan Document (except, as to any other Loan Document, as expressly set forth therein) and the transactions contemplated hereby and thereby shall be governed by, and construed in accordance with, the law of the State of New York for contracts made and to be performed wholly within the State of New York , without regard to principles of conflicts of laws requiring applications of the law of any other jurisdiction.", "ner": [[87, 90, "Court"]], "tokenized_text": ["(", "a", ")", "Governing", "Law", ".", "This", "Agreement", "and", "the", "other", "Loan", "Documents", "and", "any", "claim", ",", "controversy", ",", "dispute", "or", "cause", "of", "action", "(", "whether", "in", "contract", "or", "tort", "or", "otherwise", ")", "based", "upon", ",", "arising", "out", "of", "or", "relating", "to", "this", "Agreement", "or", "any", "other", "Loan", "Document", "(", "except", ",", "as", "to", "any", "other", "Loan", "Document", ",", "as", "expressly", "set", "forth", "therein", ")", "and", "the", "transactions", "contemplated", "hereby", "and", "thereby", "shall", "be", "governed", "by", ",", "and", "construed", "in", "accordance", "with", ",", "the", "law", "of", "the", "State", "of", "New", "York", "for", "contracts", "made", "and", "to", "be", "performed", "wholly", "within", "the", "State", "of", "New", "York", ",", "without", "regard", "to", "principles", "of", "conflicts", "of", "laws", "requiring", "applications", "of", "the", "law", "of", "any", "other", "jurisdiction", "."]}
{"id": "15418", "text": "(c) Register. The Administrative Agent, acting solely for this purpose as a nonfiduciary agent of the Borrowers, shall maintain a copy of each Assignment and Assumption delivered to it and a register for the recordation of the names and addresses of the Lenders, and the Commitments of, and principal amounts of (and stated interest on) the Loans owing to, each Lender pursuant to the terms hereof from time to time (the Register). The entries in the Register shall be conclusive, absent manifest error, and the Borrowers, the Administrative Agent and the Lenders shall treat each Person whose name is recorded in the Register pursuant to the terms hereof as a Lender hereunder for all purposes of this Agreement. The Register shall be available for inspection by either Borrower and any Lender (but only to the extent of entries in the Register that are applicable to such Lender), at any reasonable time and from time to time upon reasonable prior notice.", "ner": [], "tokenized_text": ["(", "c", ")", "Register", ".", "The", "Administrative", "Agent", ",", "acting", "solely", "for", "this", "purpose", "as", "a", "nonfiduciary", "agent", "of", "the", "Borrowers", ",", "shall", "maintain", "a", "copy", "of", "each", "Assignment", "and", "Assumption", "delivered", "to", "it", "and", "a", "register", "for", "the", "recordation", "of", "the", "names", "and", "addresses", "of", "the", "Lenders", ",", "and", "the", "Commitments", "of", ",", "and", "principal", "amounts", "of", "(", "and", "stated", "interest", "on", ")", "the", "Loans", "owing", "to", ",", "each", "Lender", "pursuant", "to", "the", "terms", "hereof", "from", "time", "to", "time", "(", "the", "Register", ")", ".", "The", "entries", "in", "the", "Register", "shall", "be", "conclusive", ",", "absent", "manifest", "error", ",", "and", "the", "Borrowers", ",", "the", "Administrative", "Agent", "and", "the", "Lenders", "shall", "treat", "each", "Person", "whose", "name", "is", "recorded", "in", "the", "Register", "pursuant", "to", "the", "terms", "hereof", "as", "a", "Lender", "hereunder", "for", "all", "purposes", "of", "this", "Agreement", ".", "The", "Register", "shall", "be", "available", "for", "inspection", "by", "either", "Borrower", "and", "any", "Lender", "(", "but", "only", "to", "the", "extent", "of", "entries", "in", "the", "Register", "that", "are", "applicable", "to", "such", "Lender", ")", ",", "at", "any", "reasonable", "time", "and", "from", "time", "to", "time", "upon", "reasonable", "prior", "notice", "."]}
{"id": "15419", "text": "(b) Electronic Execution of Assignments. The words execution, signed, signature, and words of like import in any Assignment and Assumption shall be deemed to include electronic signatures or the keeping of records in electronic form, each of which shall be of the same legal effect, validity or enforceability as a manually executed signature or the use of a paperbased recordkeeping system, as the case may be, to the extent and as provided for in any applicable Legal Requirements, including the Federal Electronic Signatures in Global and National Commerce Act, the New York State Electronic Signatures and Records Act, or any other similar state laws based on the Uniform Electronic Transactions Act.&lt; br/&gt;", "ner": [[95, 99, "Act"], [102, 109, "Act"], [120, 123, "Act"]], "tokenized_text": ["(", "b", ")", "Electronic", "Execution", "of", "Assignments", ".", "The", "words", "execution", ",", "signed", ",", "signature", ",", "and", "words", "of", "like", "import", "in", "any", "Assignment", "and", "Assumption", "shall", "be", "deemed", "to", "include", "electronic", "signatures", "or", "the", "keeping", "of", "records", "in", "electronic", "form", ",", "each", "of", "which", "shall", "be", "of", "the", "same", "legal", "effect", ",", "validity", "or", "enforceability", "as", "a", "manually", "executed", "signature", "or", "the", "use", "of", "a", "paperbased", "recordkeeping", "system", ",", "as", "the", "case", "may", "be", ",", "to", "the", "extent", "and", "as", "provided", "for", "in", "any", "applicable", "Legal", "Requirements", ",", "including", "the", "Federal", "Electronic", "Signatures", "in", "Global", "and", "National", "Commerce", "Act", ",", "the", "New", "York", "State", "Electronic", "Signatures", "and", "Records", "Act", ",", "or", "any", "other", "similar", "state", "laws", "based", "on", "the", "Uniform", "Electronic", "Transactions", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "15421", "text": "Section 11.23. Inconsistencies with Other Documents; Intercreditor Agreement. (a) Subject to Section 11.23(b), in the event there is a conflict or inconsistency between this Agreement and any other Loan Document, the terms of this Agreement shall control; provided that any provision of the Collateral Documents which imposes additional burdens on either Borrower or any of its Subsidiaries or further restricts the rights of either Borrower or any of its Subsidiaries or gives the Administrative Agent or Lenders additional rights shall not be deemed to be in conflict or inconsistent with this Agreement and shall be given full force and effect. Notwithstanding anything in any Collateral Document to the contrary, at all times prior to Priority Lien Obligations Discharge Date, each reference in any Collateral Document to Required Lenders shall be deemed to be a reference to Required Priority Lenders.", "ner": [[0, 3, "Regulation"], [10, 11, "Title"]], "tokenized_text": ["Section", "11", ".", "23", ".", "Inconsistencies", "with", "Other", "Documents", ";", "Intercreditor", "Agreement", ".", "(", "a", ")", "Subject", "to", "Section", "11", ".", "23", "(", "b", ")", ",", "in", "the", "event", "there", "is", "a", "conflict", "or", "inconsistency", "between", "this", "Agreement", "and", "any", "other", "Loan", "Document", ",", "the", "terms", "of", "this", "Agreement", "shall", "control", ";", "provided", "that", "any", "provision", "of", "the", "Collateral", "Documents", "which", "imposes", "additional", "burdens", "on", "either", "Borrower", "or", "any", "of", "its", "Subsidiaries", "or", "further", "restricts", "the", "rights", "of", "either", "Borrower", "or", "any", "of", "its", "Subsidiaries", "or", "gives", "the", "Administrative", "Agent", "or", "Lenders", "additional", "rights", "shall", "not", "be", "deemed", "to", "be", "in", "conflict", "or", "inconsistent", "with", "this", "Agreement", "and", "shall", "be", "given", "full", "force", "and", "effect", ".", "Notwithstanding", "anything", "in", "any", "Collateral", "Document", "to", "the", "contrary", ",", "at", "all", "times", "prior", "to", "Priority", "Lien", "Obligations", "Discharge", "Date", ",", "each", "reference", "in", "any", "Collateral", "Document", "to", "Required", "Lenders", "shall", "be", "deemed", "to", "be", "a", "reference", "to", "Required", "Priority", "Lenders", "."]}
{"id": "15422", "text": "Turning Point Brands, Inc. | | | |", "ner": [], "tokenized_text": ["Turning", "Point", "Brands", ",", "Inc", ".", "|", "|", "|", "|"]}
{"id": "15425", "text": "Senior Vice President and Chief Financial Officer [Signature Page to First Lien Credit Agreement ]", "ner": [[0, 2, "Role"], [4, 6, "Role"], [11, 14, "Title"]], "tokenized_text": ["Senior", "Vice", "President", "and", "Chief", "Financial", "Officer", "[", "Signature", "Page", "to", "First", "Lien", "Credit", "Agreement", "]"]}
{"id": "10426", "text": "Fifth Third Bank , an Ohio banking corporation, as a Lender, as L/C Issuer, and as Administrative Agent | | | |", "ner": [[0, 2, "Parties"]], "tokenized_text": ["Fifth", "Third", "Bank", ",", "an", "Ohio", "banking", "corporation", ",", "as", "a", "Lender", ",", "as", "L", "/", "C", "Issuer", ",", "and", "as", "Administrative", "Agent", "|", "|", "|", "|"]}
{"id": "15427", "text": "| Senior Vice President [Signature Page to First Lien Credit Agreement ]", "ner": [[1, 3, "Role"], [8, 11, "Title"]], "tokenized_text": ["|", "Senior", "Vice", "President", "[", "Signature", "Page", "to", "First", "Lien", "Credit", "Agreement", "]"]}
{"id": "15429", "text": "| Director [Signature Page to First Lien Credit Agreement ]", "ner": [[6, 9, "Title"]], "tokenized_text": ["|", "Director", "[", "Signature", "Page", "to", "First", "Lien", "Credit", "Agreement", "]"]}
{"id": "15430", "text": "Regions Bank , as a Lender and as Documentation Agent ---|--- | | |", "ner": [], "tokenized_text": ["Regions", "Bank", ",", "as", "a", "Lender", "and", "as", "Documentation", "Agent", "-", "-", "-", "|", "-", "-", "-", "|", "|", "|"]}
{"id": "15431", "text": "| Executive Vice President [Signature Page to First Lien Credit Agreement ]", "ner": [[1, 3, "Role"], [8, 11, "Title"]], "tokenized_text": ["|", "Executive", "Vice", "President", "[", "Signature", "Page", "to", "First", "Lien", "Credit", "Agreement", "]"]}
{"id": "15432", "text": "| Authorized Agent [Signature Page to First Lien Credit Agreement ]", "ner": [[7, 10, "Title"]], "tokenized_text": ["|", "Authorized", "Agent", "[", "Signature", "Page", "to", "First", "Lien", "Credit", "Agreement", "]"]}
{"id": "15434", "text": "| Principal [Signature Page to First Lien Credit Agreement ]", "ner": [[1, 1, "Principal"], [6, 9, "Title"]], "tokenized_text": ["|", "Principal", "[", "Signature", "Page", "to", "First", "Lien", "Credit", "Agreement", "]"]}
{"id": "15435", "text": "Reference is made to the First Lien Credit Agreement , dated as of February 17, 2017 , by and among Turning Point Brands , Inc., a Delaware corporation (Turning Point), and North Atlantic Trading Company, Inc. , a Delaware corporation (NATC and together with Turning Point, the Borrowers), the Guarantors party thereto, the Lenders party thereto, and Fifth Third Bank , an Ohio banking corporation, as Administrative Agent and L/C Issuer (as amended, restated, modified or supplemented from time to time, the Credit Agreement). Capitalized terms used herein and not defined herein have the meanings assigned to them in the Credit Agreement. [The Borrowers have failed to pay their Reimbursement Obligation in the amount of $__________. Your Revolver Percentage of the unpaid Reimbursement Obligation is $_____________] or [__________________________ has been required to return a payment by the Borrowers of a Reimbursement Obligation in the amount of $_______________. Your Revolver Percentage of the returned Reimbursement Obligation is $_______________.]", "ner": [[5, 8, "Title"], [13, 16, "EffectiveDate"], [21, 26, "Parties"], [37, 43, "Parties"], [71, 73, "Parties"], [103, 104, "Title"], [123, 124, "Title"], [140, 140, "Percentage"]], "tokenized_text": ["Reference", "is", "made", "to", "the", "First", "Lien", "Credit", "Agreement", ",", "dated", "as", "of", "February", "17", ",", "2017", ",", "by", "and", "among", "Turning", "Point", "Brands", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "Turning", "Point", ")", ",", "and", "North", "Atlantic", "Trading", "Company", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "NATC", "and", "together", "with", "Turning", "Point", ",", "the", "Borrowers", ")", ",", "the", "Guarantors", "party", "thereto", ",", "the", "Lenders", "party", "thereto", ",", "and", "Fifth", "Third", "Bank", ",", "an", "Ohio", "banking", "corporation", ",", "as", "Administrative", "Agent", "and", "L", "/", "C", "Issuer", "(", "as", "amended", ",", "restated", ",", "modified", "or", "supplemented", "from", "time", "to", "time", ",", "the", "Credit", "Agreement", ")", ".", "Capitalized", "terms", "used", "herein", "and", "not", "defined", "herein", "have", "the", "meanings", "assigned", "to", "them", "in", "the", "Credit", "Agreement", ".", "[", "The", "Borrowers", "have", "failed", "to", "pay", "their", "Reimbursement", "Obligation", "in", "the", "amount", "of", "$", "__________", ".", "Your", "Revolver", "Percentage", "of", "the", "unpaid", "Reimbursement", "Obligation", "is", "$", "_____________", "]", "or", "[", "__________________________", "has", "been", "required", "to", "return", "a", "payment", "by", "the", "Borrowers", "of", "a", "Reimbursement", "Obligation", "in", "the", "amount", "of", "$", "_______________", ".", "Your", "Revolver", "Percentage", "of", "the", "returned", "Reimbursement", "Obligation", "is", "$", "_______________", ".", "]"]}
{"id": "15436", "text": "Fifth Third Bank , as L/C Issuer | |", "ner": [], "tokenized_text": ["Fifth", "Third", "Bank", ",", "as", "L", "/", "C", "Issuer", "|", "|"]}
{"id": "15438", "text": "Reference is made to the First Lien Credit Agreement , dated as of February 17, 2017 , by and among Turning Point Brands , Inc., a Delaware corporation (Turning Point), and North Atlantic Trading Company, Inc. , a Delaware corporation (NATC and together with Turning Point, the Borrowers), the Guarantors party thereto, the Lenders party thereto, and Fifth Third Bank , an Ohio banking corporation, as Administrative Agent and L/C Issuer (as amended, restated, modified or supplemented from time to time, the Credit Agreement). Capitalized terms used herein and not defined herein have the meanings assigned to them in the Credit Agreement. The undersigned, as agent for the Borrowers, hereby gives you notice irrevocably, pursuant to Section 2.5 of the Credit Agreement, of the Borrowing specified below:", "ner": [[5, 8, "Title"], [13, 16, "EffectiveDate"], [21, 26, "Parties"], [37, 43, "Parties"], [71, 73, "Parties"], [103, 104, "Title"], [123, 124, "Title"], [149, 150, "Title"]], "tokenized_text": ["Reference", "is", "made", "to", "the", "First", "Lien", "Credit", "Agreement", ",", "dated", "as", "of", "February", "17", ",", "2017", ",", "by", "and", "among", "Turning", "Point", "Brands", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "Turning", "Point", ")", ",", "and", "North", "Atlantic", "Trading", "Company", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "NATC", "and", "together", "with", "Turning", "Point", ",", "the", "Borrowers", ")", ",", "the", "Guarantors", "party", "thereto", ",", "the", "Lenders", "party", "thereto", ",", "and", "Fifth", "Third", "Bank", ",", "an", "Ohio", "banking", "corporation", ",", "as", "Administrative", "Agent", "and", "L", "/", "C", "Issuer", "(", "as", "amended", ",", "restated", ",", "modified", "or", "supplemented", "from", "time", "to", "time", ",", "the", "Credit", "Agreement", ")", ".", "Capitalized", "terms", "used", "herein", "and", "not", "defined", "herein", "have", "the", "meanings", "assigned", "to", "them", "in", "the", "Credit", "Agreement", ".", "The", "undersigned", ",", "as", "agent", "for", "the", "Borrowers", ",", "hereby", "gives", "you", "notice", "irrevocably", ",", "pursuant", "to", "Section", "2", ".", "5", "of", "the", "Credit", "Agreement", ",", "of", "the", "Borrowing", "specified", "below", ":"]}
{"id": "15443", "text": "Turning Point Brands, Inc. ---|--- | | | |", "ner": [], "tokenized_text": ["Turning", "Point", "Brands", ",", "Inc", ".", "-", "-", "-", "|", "-", "-", "-", "|", "|", "|", "|"]}
{"id": "15444", "text": "____________, 20__ ---|--- For Value Received, the undersigned, Turning Point Brands, Inc. , a Delaware corporation (Turning Point), and North Atlantic Trading Company, Inc. , a Delaware corporation (NATC and together with Turning Point, the Borrowers), hereby unconditionally promise to pay to _________________________ (the Lender) or its registered assigns at the principal office of Fifth Third Bank , an Ohio banking corporation, as Administrative Agent, in Cincinnati, Ohio (or such other location as the Administrative Agent may designate to the Borrowers), in immediately available funds, the principal sum of ___________________ Dollars ($__________) or, if less, the aggregate unpaid principal amount of the Second Out Term Loan made or maintained by the Lender to the Borrowers pursuant to the Credit Agreement, in installments in the amounts called for by Section 2.7(b) of the Credit Agreement, commencing on June 30, 2017, together with interest on the principal amount of such Second Out Term Loan from time to time outstanding hereunder at the rates, and payable in the manner and on the dates, specified in the Credit Agreement.", "ner": [[17, 22, "Parties"], [33, 39, "Parties"], [76, 78, "Parties"], [90, 92, "Address"], [121, 121, "Principal"], [152, 153, "Title"], [172, 173, "Title"], [218, 219, "Title"]], "tokenized_text": ["____________", ",", "20__", "-", "-", "-", "|", "-", "-", "-", "For", "Value", "Received", ",", "the", "undersigned", ",", "Turning", "Point", "Brands", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "Turning", "Point", ")", ",", "and", "North", "Atlantic", "Trading", "Company", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "NATC", "and", "together", "with", "Turning", "Point", ",", "the", "Borrowers", ")", ",", "hereby", "unconditionally", "promise", "to", "pay", "to", "_________________________", "(", "the", "Lender", ")", "or", "its", "registered", "assigns", "at", "the", "principal", "office", "of", "Fifth", "Third", "Bank", ",", "an", "Ohio", "banking", "corporation", ",", "as", "Administrative", "Agent", ",", "in", "Cincinnati", ",", "Ohio", "(", "or", "such", "other", "location", "as", "the", "Administrative", "Agent", "may", "designate", "to", "the", "Borrowers", ")", ",", "in", "immediately", "available", "funds", ",", "the", "principal", "sum", "of", "___________________", "Dollars", "(", "$", "__________", ")", "or", ",", "if", "less", ",", "the", "aggregate", "unpaid", "principal", "amount", "of", "the", "Second", "Out", "Term", "Loan", "made", "or", "maintained", "by", "the", "Lender", "to", "the", "Borrowers", "pursuant", "to", "the", "Credit", "Agreement", ",", "in", "installments", "in", "the", "amounts", "called", "for", "by", "Section", "2", ".", "7", "(", "b", ")", "of", "the", "Credit", "Agreement", ",", "commencing", "on", "June", "30", ",", "2017", ",", "together", "with", "interest", "on", "the", "principal", "amount", "of", "such", "Second", "Out", "Term", "Loan", "from", "time", "to", "time", "outstanding", "hereunder", "at", "the", "rates", ",", "and", "payable", "in", "the", "manner", "and", "on", "the", "dates", ",", "specified", "in", "the", "Credit", "Agreement", "."]}
{"id": "15445", "text": "This Second Out Term Note (this Note) is one of the Second Out Term Notes referred to in the First Lien Credit Agreement dated as of February 17, 2017 , among the Borrowers, the Guarantors party thereto, the Lenders party thereto, and Fifth Third Bank , an Ohio banking corporation, as Administrative Agent and L/C Issuer (as amended, restated, modified or supplemented from time to time, the Credit Agreement), and this Note and the holder hereof are entitled to all the benefits and security provided for thereby or referred to therein, to which Credit Agreement reference is hereby made for a statement thereof. All defined terms used in this Note, except terms otherwise defined herein, shall have the same meaning as in the Credit Agreement.", "ner": [[21, 24, "Title"], [28, 31, "EffectiveDate"], [48, 50, "Parties"], [80, 81, "Title"], [109, 110, "Title"], [142, 143, "Title"]], "tokenized_text": ["This", "Second", "Out", "Term", "Note", "(", "this", "Note", ")", "is", "one", "of", "the", "Second", "Out", "Term", "Notes", "referred", "to", "in", "the", "First", "Lien", "Credit", "Agreement", "dated", "as", "of", "February", "17", ",", "2017", ",", "among", "the", "Borrowers", ",", "the", "Guarantors", "party", "thereto", ",", "the", "Lenders", "party", "thereto", ",", "and", "Fifth", "Third", "Bank", ",", "an", "Ohio", "banking", "corporation", ",", "as", "Administrative", "Agent", "and", "L", "/", "C", "Issuer", "(", "as", "amended", ",", "restated", ",", "modified", "or", "supplemented", "from", "time", "to", "time", ",", "the", "Credit", "Agreement", ")", ",", "and", "this", "Note", "and", "the", "holder", "hereof", "are", "entitled", "to", "all", "the", "benefits", "and", "security", "provided", "for", "thereby", "or", "referred", "to", "therein", ",", "to", "which", "Credit", "Agreement", "reference", "is", "hereby", "made", "for", "a", "statement", "thereof", ".", "All", "defined", "terms", "used", "in", "this", "Note", ",", "except", "terms", "otherwise", "defined", "herein", ",", "shall", "have", "the", "same", "meaning", "as", "in", "the", "Credit", "Agreement", "."]}
{"id": "15446", "text": "____________, 20__ ---|--- For Value Received, the undersigned, Turning Point Brands, Inc. , a Delaware corporation (Turning Point), and North Atlantic Trading Company, Inc. , a Delaware corporation (NATC and together with Turning Point, the Borrowers), hereby unconditionally promise to pay to ____________________________ (the Lender) or its registered assigns, on the Revolving Credit Termination Date of the hereinafter defined Credit Agreement, at the principal office of Fifth Third Bank , an Ohio banking corporation, as Administrative Agent, in Cincinnati, Ohio (or such other location as the Administrative Agent may designate to the Borrowers), in immediately available funds, the principal sum of ___________________ Dollars ($__________) or, if less, the aggregate unpaid principal amount of all Revolving Loans made by the Lender to the Borrowers pursuant to the Credit Agreement, together with interest on the principal amount of each Revolving Loan from time to time outstanding hereunder at the rates, and payable in the manner and on the dates, specified in the Credit Agreement.", "ner": [[17, 22, "Parties"], [33, 39, "Parties"], [82, 83, "Title"], [90, 92, "Parties"], [104, 106, "Address"], [135, 135, "Principal"], [162, 163, "Title"], [199, 200, "Title"]], "tokenized_text": ["____________", ",", "20__", "-", "-", "-", "|", "-", "-", "-", "For", "Value", "Received", ",", "the", "undersigned", ",", "Turning", "Point", "Brands", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "Turning", "Point", ")", ",", "and", "North", "Atlantic", "Trading", "Company", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "NATC", "and", "together", "with", "Turning", "Point", ",", "the", "Borrowers", ")", ",", "hereby", "unconditionally", "promise", "to", "pay", "to", "____________________________", "(", "the", "Lender", ")", "or", "its", "registered", "assigns", ",", "on", "the", "Revolving", "Credit", "Termination", "Date", "of", "the", "hereinafter", "defined", "Credit", "Agreement", ",", "at", "the", "principal", "office", "of", "Fifth", "Third", "Bank", ",", "an", "Ohio", "banking", "corporation", ",", "as", "Administrative", "Agent", ",", "in", "Cincinnati", ",", "Ohio", "(", "or", "such", "other", "location", "as", "the", "Administrative", "Agent", "may", "designate", "to", "the", "Borrowers", ")", ",", "in", "immediately", "available", "funds", ",", "the", "principal", "sum", "of", "___________________", "Dollars", "(", "$", "__________", ")", "or", ",", "if", "less", ",", "the", "aggregate", "unpaid", "principal", "amount", "of", "all", "Revolving", "Loans", "made", "by", "the", "Lender", "to", "the", "Borrowers", "pursuant", "to", "the", "Credit", "Agreement", ",", "together", "with", "interest", "on", "the", "principal", "amount", "of", "each", "Revolving", "Loan", "from", "time", "to", "time", "outstanding", "hereunder", "at", "the", "rates", ",", "and", "payable", "in", "the", "manner", "and", "on", "the", "dates", ",", "specified", "in", "the", "Credit", "Agreement", "."]}
{"id": "15447", "text": "This Revolving Note (this Note) is one of the Revolving Notes referred to in the First Lien Credit Agreement dated as of February 17, 2017 , among the Borrowers, the Guarantors party thereto, the Lenders party thereto, and Fifth Third Bank , an Ohio banking corporation, as Administrative Agent and L/C Issuer (as amended, restated, modified or supplemented from time to time, the Credit Agreement), and this Note and the holder hereof are entitled to all the benefits and security provided for thereby or referred to therein, to which Credit Agreement reference is hereby made for a statement thereof. All defined terms used in this Note, except terms otherwise defined herein, shall have the same meaning as in the Credit Agreement.", "ner": [[17, 20, "Title"], [24, 27, "EffectiveDate"], [44, 46, "Parties"], [76, 77, "Title"], [105, 106, "Title"], [138, 139, "Title"]], "tokenized_text": ["This", "Revolving", "Note", "(", "this", "Note", ")", "is", "one", "of", "the", "Revolving", "Notes", "referred", "to", "in", "the", "First", "Lien", "Credit", "Agreement", "dated", "as", "of", "February", "17", ",", "2017", ",", "among", "the", "Borrowers", ",", "the", "Guarantors", "party", "thereto", ",", "the", "Lenders", "party", "thereto", ",", "and", "Fifth", "Third", "Bank", ",", "an", "Ohio", "banking", "corporation", ",", "as", "Administrative", "Agent", "and", "L", "/", "C", "Issuer", "(", "as", "amended", ",", "restated", ",", "modified", "or", "supplemented", "from", "time", "to", "time", ",", "the", "Credit", "Agreement", ")", ",", "and", "this", "Note", "and", "the", "holder", "hereof", "are", "entitled", "to", "all", "the", "benefits", "and", "security", "provided", "for", "thereby", "or", "referred", "to", "therein", ",", "to", "which", "Credit", "Agreement", "reference", "is", "hereby", "made", "for", "a", "statement", "thereof", ".", "All", "defined", "terms", "used", "in", "this", "Note", ",", "except", "terms", "otherwise", "defined", "herein", ",", "shall", "have", "the", "same", "meaning", "as", "in", "the", "Credit", "Agreement", "."]}
{"id": "15448", "text": "_________, 20__ ---|--- For Value Received, the undersigned, Turning Point Brands, Inc. , a Delaware corporation (Turning Point), and North Atlantic Trading Company, Inc. , a Delaware corporation (NATC and together with Turning Point, the Borrowers), hereby unconditionally promise to pay to Fifth Third Bank , an Ohio banking corporation (the Lender) or its registered assigns, on the Revolving Credit Termination Date of the hereinafter defined Credit Agreement, at the principal office of Fifth Third Bank , an Ohio banking corporation, as Administrative Agent, in Cincinnati, Ohio (or such other location as the Administrative Agent may designate to the Borrowers), in immediately available funds, the principal sum of ________________ Dollars ($____________) or, if less, the aggregate unpaid principal amount of all Swing Loans made by the Lender to the Borrowers pursuant to the Credit Agreement, together with interest on the principal amount of each Swing Loan from time to time outstanding hereunder at the rates, and payable in the manner and on the dates, specified in the Credit Agreement.", "ner": [[17, 22, "Parties"], [33, 39, "Parties"], [62, 64, "Parties"], [89, 90, "Title"], [111, 113, "Address"], [142, 142, "Principal"], [169, 170, "Title"], [206, 207, "Title"]], "tokenized_text": ["_________", ",", "20__", "-", "-", "-", "|", "-", "-", "-", "For", "Value", "Received", ",", "the", "undersigned", ",", "Turning", "Point", "Brands", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "Turning", "Point", ")", ",", "and", "North", "Atlantic", "Trading", "Company", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "NATC", "and", "together", "with", "Turning", "Point", ",", "the", "Borrowers", ")", ",", "hereby", "unconditionally", "promise", "to", "pay", "to", "Fifth", "Third", "Bank", ",", "an", "Ohio", "banking", "corporation", "(", "the", "Lender", ")", "or", "its", "registered", "assigns", ",", "on", "the", "Revolving", "Credit", "Termination", "Date", "of", "the", "hereinafter", "defined", "Credit", "Agreement", ",", "at", "the", "principal", "office", "of", "Fifth", "Third", "Bank", ",", "an", "Ohio", "banking", "corporation", ",", "as", "Administrative", "Agent", ",", "in", "Cincinnati", ",", "Ohio", "(", "or", "such", "other", "location", "as", "the", "Administrative", "Agent", "may", "designate", "to", "the", "Borrowers", ")", ",", "in", "immediately", "available", "funds", ",", "the", "principal", "sum", "of", "________________", "Dollars", "(", "$", "____________", ")", "or", ",", "if", "less", ",", "the", "aggregate", "unpaid", "principal", "amount", "of", "all", "Swing", "Loans", "made", "by", "the", "Lender", "to", "the", "Borrowers", "pursuant", "to", "the", "Credit", "Agreement", ",", "together", "with", "interest", "on", "the", "principal", "amount", "of", "each", "Swing", "Loan", "from", "time", "to", "time", "outstanding", "hereunder", "at", "the", "rates", ",", "and", "payable", "in", "the", "manner", "and", "on", "the", "dates", ",", "specified", "in", "the", "Credit", "Agreement", "."]}
{"id": "15450", "text": "The terms and provisions of Sections 11.4 (Amendments, Waivers and Consents) , 11.11 (Successors and Assigns; Participations), 11.18 (Severability of Provisions), 11.19 (Counterparts; Integration; Effectiveness; Electronic Execution), 11.26 (Construction), of the Credit Agreement are hereby incorporated herein by reference, and shall apply to this Note mutatis mutandis as if fully set forth herein.", "ner": [[5, 8, "Regulation"], [60, 61, "Title"]], "tokenized_text": ["The", "terms", "and", "provisions", "of", "Sections", "11", ".", "4", "(", "Amendments", ",", "Waivers", "and", "Consents", ")", ",", "11", ".", "11", "(", "Successors", "and", "Assigns", ";", "Participations", ")", ",", "11", ".", "18", "(", "Severability", "of", "Provisions", ")", ",", "11", ".", "19", "(", "Counterparts", ";", "Integration", ";", "Effectiveness", ";", "Electronic", "Execution", ")", ",", "11", ".", "26", "(", "Construction", ")", ",", "of", "the", "Credit", "Agreement", "are", "hereby", "incorporated", "herein", "by", "reference", ",", "and", "shall", "apply", "to", "this", "Note", "mutatis", "mutandis", "as", "if", "fully", "set", "forth", "herein", "."]}
{"id": "15451", "text": "THE TERMS AND PROVISIONS OF SECTIONS 11.7 (GOVERNING LAW, JURISDICTION, ETC.) AND 11.8 (WAIVER OF JURY TRIAL) OF THE CREDIT AGREEMENT ARE HEREBY INCORPORATED HEREIN BY REFERENCE, AND SHALL APPLY TO THIS NOTE MUTATIS MUTANDIS AS IF FULLY SET FORTH HEREIN.", "ner": [[30, 31, "Title"]], "tokenized_text": ["THE", "TERMS", "AND", "PROVISIONS", "OF", "SECTIONS", "11", ".", "7", "(", "GOVERNING", "LAW", ",", "JURISDICTION", ",", "ETC", ".", ")", "AND", "11", ".", "8", "(", "WAIVER", "OF", "JURY", "TRIAL", ")", "OF", "THE", "CREDIT", "AGREEMENT", "ARE", "HEREBY", "INCORPORATED", "HEREIN", "BY", "REFERENCE", ",", "AND", "SHALL", "APPLY", "TO", "THIS", "NOTE", "MUTATIS", "MUTANDIS", "AS", "IF", "FULLY", "SET", "FORTH", "HEREIN", "."]}
{"id": "15455", "text": "This Incremental Second Out Term Note (this Note) is one of the Incremental Second Out Term Notes referred to in the First Lien Credit Agreement dated as of February 17, 2017 , among the Borrowers, the Guarantors party thereto, the Lenders party thereto, and Fifth Third Bank , an Ohio banking corporation, as Administrative Agent and L/C Issuer (as amended, restated, modified or supplemented from time to time, the Credit Agreement), and this Note and the holder hereof are entitled to all the benefits and security provided for thereby or referred to therein, to which Credit Agreement reference is hereby made for a statement thereof. All defined terms used in this Note, except terms otherwise defined herein, shall have the same meaning as in the Credit Agreement.", "ner": [[23, 26, "Title"], [30, 33, "EffectiveDate"], [50, 52, "Parties"], [82, 83, "Title"], [111, 112, "Title"], [144, 145, "Title"]], "tokenized_text": ["This", "Incremental", "Second", "Out", "Term", "Note", "(", "this", "Note", ")", "is", "one", "of", "the", "Incremental", "Second", "Out", "Term", "Notes", "referred", "to", "in", "the", "First", "Lien", "Credit", "Agreement", "dated", "as", "of", "February", "17", ",", "2017", ",", "among", "the", "Borrowers", ",", "the", "Guarantors", "party", "thereto", ",", "the", "Lenders", "party", "thereto", ",", "and", "Fifth", "Third", "Bank", ",", "an", "Ohio", "banking", "corporation", ",", "as", "Administrative", "Agent", "and", "L", "/", "C", "Issuer", "(", "as", "amended", ",", "restated", ",", "modified", "or", "supplemented", "from", "time", "to", "time", ",", "the", "Credit", "Agreement", ")", ",", "and", "this", "Note", "and", "the", "holder", "hereof", "are", "entitled", "to", "all", "the", "benefits", "and", "security", "provided", "for", "thereby", "or", "referred", "to", "therein", ",", "to", "which", "Credit", "Agreement", "reference", "is", "hereby", "made", "for", "a", "statement", "thereof", ".", "All", "defined", "terms", "used", "in", "this", "Note", ",", "except", "terms", "otherwise", "defined", "herein", ",", "shall", "have", "the", "same", "meaning", "as", "in", "the", "Credit", "Agreement", "."]}
{"id": "15457", "text": "1. This certificate is delivered to you pursuant to Section 6.2 of the First Lien Credit Agreement dated as of February 17, 2017 , by and among the Borrowers, the Guarantors party thereto, the Lenders party thereto and Fifth Third Bank , as Administrative Agent and L/C Issuer (as amended, restated, modified or supplemented from time to time, the Credit Agreement). Capitalized terms used herein and not defined herein shall have the meanings assigned thereto in the Credit Agreement.", "ner": [[16, 19, "Title"], [23, 26, "EffectiveDate"], [44, 46, "Parties"], [71, 72, "Title"], [91, 92, "Title"]], "tokenized_text": ["1", ".", "This", "certificate", "is", "delivered", "to", "you", "pursuant", "to", "Section", "6", ".", "2", "of", "the", "First", "Lien", "Credit", "Agreement", "dated", "as", "of", "February", "17", ",", "2017", ",", "by", "and", "among", "the", "Borrowers", ",", "the", "Guarantors", "party", "thereto", ",", "the", "Lenders", "party", "thereto", "and", "Fifth", "Third", "Bank", ",", "as", "Administrative", "Agent", "and", "L", "/", "C", "Issuer", "(", "as", "amended", ",", "restated", ",", "modified", "or", "supplemented", "from", "time", "to", "time", ",", "the", "Credit", "Agreement", ")", ".", "Capitalized", "terms", "used", "herein", "and", "not", "defined", "herein", "shall", "have", "the", "meanings", "assigned", "thereto", "in", "the", "Credit", "Agreement", "."]}
{"id": "15458", "text": "This Assignment and Assumption (this Assignment and Assumption) is dated as of the Effective Date set forth below and is entered into by and between [Insert Name of Assignor] (the Assignor), and the parties identified on the Schedules hereto and [the] [each]1 Assignee identified on the Schedules hereto as Assignee or as Assignees (collectively, the Assignees and each, an Assignee). [It is understood and agreed that the rights and obligations of the [Assignees] [Assignors]2 hereunder are several and not joint.]3 Capitalized terms used but not defined herein shall have the meanings given to them in the First Lien Credit Agreement identified below (as amended, restated, amended and restated, supplemented or otherwise modified from time to time, the Credit Agreement), receipt of a copy of which is hereby acknowledged by [the] [each] Assignee. The Standard Terms and Conditions set forth in Annex 1 attached hereto are hereby agreed to and incorporated herein by reference and made a part of this Assignment and Assumption as if set forth herein in full.", "ner": [[122, 125, "Title"], [148, 149, "Title"]], "tokenized_text": ["This", "Assignment", "and", "Assumption", "(", "this", "Assignment", "and", "Assumption", ")", "is", "dated", "as", "of", "the", "Effective", "Date", "set", "forth", "below", "and", "is", "entered", "into", "by", "and", "between", "[", "Insert", "Name", "of", "Assignor", "]", "(", "the", "Assignor", ")", ",", "and", "the", "parties", "identified", "on", "the", "Schedules", "hereto", "and", "[", "the", "]", "[", "each", "]", "1", "Assignee", "identified", "on", "the", "Schedules", "hereto", "as", "Assignee", "or", "as", "Assignees", "(", "collectively", ",", "the", "Assignees", "and", "each", ",", "an", "Assignee", ")", ".", "[", "It", "is", "understood", "and", "agreed", "that", "the", "rights", "and", "obligations", "of", "the", "[", "Assignees", "]", "[", "Assignors", "]", "2", "hereunder", "are", "several", "and", "not", "joint", ".", "]", "3", "Capitalized", "terms", "used", "but", "not", "defined", "herein", "shall", "have", "the", "meanings", "given", "to", "them", "in", "the", "First", "Lien", "Credit", "Agreement", "identified", "below", "(", "as", "amended", ",", "restated", ",", "amended", "and", "restated", ",", "supplemented", "or", "otherwise", "modified", "from", "time", "to", "time", ",", "the", "Credit", "Agreement", ")", ",", "receipt", "of", "a", "copy", "of", "which", "is", "hereby", "acknowledged", "by", "[", "the", "]", "[", "each", "]", "Assignee", ".", "The", "Standard", "Terms", "and", "Conditions", "set", "forth", "in", "Annex", "1", "attached", "hereto", "are", "hereby", "agreed", "to", "and", "incorporated", "herein", "by", "reference", "and", "made", "a", "part", "of", "this", "Assignment", "and", "Assumption", "as", "if", "set", "forth", "herein", "in", "full", "."]}
{"id": "15459", "text": "Turning Point Brands, Inc. , a Delaware corporation, and North Atlantic Trading Company, Inc. , a Delaware corporation | | 4.", "ner": [[0, 5, "Parties"], [12, 18, "Parties"]], "tokenized_text": ["Turning", "Point", "Brands", ",", "Inc", ".", ",", "a", "Delaware", "corporation", ",", "and", "North", "Atlantic", "Trading", "Company", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "|", "|", "4", "."]}
{"id": "10460", "text": "Fifth Third Bank , an Ohio banking corporation, as administrative agent under the Credit Agreement | | 5.", "ner": [[0, 2, "Parties"], [14, 15, "Title"]], "tokenized_text": ["Fifth", "Third", "Bank", ",", "an", "Ohio", "banking", "corporation", ",", "as", "administrative", "agent", "under", "the", "Credit", "Agreement", "|", "|", "5", "."]}
{"id": "15461", "text": "First Lien Credit Agreement dated as of February 17, 2017 , by and among Turning Point Brands, Inc. , a Delaware corporation, North Atlantic Trading Company, Inc. , a Delaware corporation, the Guarantors party thereto, the Lenders party thereto, and Fifth Third Bank , as Administrative Agent and L/C Issuer | | 6.", "ner": [[0, 3, "Title"], [7, 10, "EffectiveDate"], [15, 20, "Parties"], [26, 32, "Parties"], [49, 51, "Parties"]], "tokenized_text": ["First", "Lien", "Credit", "Agreement", "dated", "as", "of", "February", "17", ",", "2017", ",", "by", "and", "among", "Turning", "Point", "Brands", ",", "Inc", ".", ",", "a", "Delaware", "corporation", ",", "North", "Atlantic", "Trading", "Company", ",", "Inc", ".", ",", "a", "Delaware", "corporation", ",", "the", "Guarantors", "party", "thereto", ",", "the", "Lenders", "party", "thereto", ",", "and", "Fifth", "Third", "Bank", ",", "as", "Administrative", "Agent", "and", "L", "/", "C", "Issuer", "|", "|", "6", "."]}
{"id": "15464", "text": "Regions Bank , as an Arranger6", "ner": [[0, 1, "Parties"]], "tokenized_text": ["Regions", "Bank", ",", "as", "an", "Arranger6"]}
{"id": "15467", "text": "This Assignment and Assumption shall be binding upon, and inure to the benefit of, the parties hereto and their respective successors and assigns. This Assignment and Assumption may be executed in any number of counterparts, which together shall constitute one instrument. Delivery of an executed counterpart of a signature page of this Assignment and Assumption by telecopy shall be effective as delivery of a manually executed counterpart of this Assignment and Assumption. This Assignment and Assumption shall be governed by, and construed in accordance with, the law of the State of New York for contracts made and to be performed wholly within the State of New York , without regard to principles of conflicts of laws requiring application of the law of any other jurisdiction.", "ner": [[97, 100, "Court"]], "tokenized_text": ["This", "Assignment", "and", "Assumption", "shall", "be", "binding", "upon", ",", "and", "inure", "to", "the", "benefit", "of", ",", "the", "parties", "hereto", "and", "their", "respective", "successors", "and", "assigns", ".", "This", "Assignment", "and", "Assumption", "may", "be", "executed", "in", "any", "number", "of", "counterparts", ",", "which", "together", "shall", "constitute", "one", "instrument", ".", "Delivery", "of", "an", "executed", "counterpart", "of", "a", "signature", "page", "of", "this", "Assignment", "and", "Assumption", "by", "telecopy", "shall", "be", "effective", "as", "delivery", "of", "a", "manually", "executed", "counterpart", "of", "this", "Assignment", "and", "Assumption", ".", "This", "Assignment", "and", "Assumption", "shall", "be", "governed", "by", ",", "and", "construed", "in", "accordance", "with", ",", "the", "law", "of", "the", "State", "of", "New", "York", "for", "contracts", "made", "and", "to", "be", "performed", "wholly", "within", "the", "State", "of", "New", "York", ",", "without", "regard", "to", "principles", "of", "conflicts", "of", "laws", "requiring", "application", "of", "the", "law", "of", "any", "other", "jurisdiction", "."]}
{"id": "15470", "text": "This instrument or agreement (and the indebtedness evidenced hereby) is subject to the terms and conditions of that certain Debt Subordination Agreement dated as of [_____________], 20[__], by and between [_____________], and Fifth Third Bank , as Administrative Agent, which agreement (as amended or otherwise modified) is incorporated herein by reference.", "ner": [[21, 23, "Title"], [44, 46, "Parties"]], "tokenized_text": ["This", "instrument", "or", "agreement", "(", "and", "the", "indebtedness", "evidenced", "hereby", ")", "is", "subject", "to", "the", "terms", "and", "conditions", "of", "that", "certain", "Debt", "Subordination", "Agreement", "dated", "as", "of", "[", "_____________", "]", ",", "20", "[", "__", "]", ",", "by", "and", "between", "[", "_____________", "]", ",", "and", "Fifth", "Third", "Bank", ",", "as", "Administrative", "Agent", ",", "which", "agreement", "(", "as", "amended", "or", "otherwise", "modified", ")", "is", "incorporated", "herein", "by", "reference", "."]}
{"id": "15471", "text": "17. This Subordination Agreement and any claim, controversy, dispute or cause of action (whether in contract or tort or otherwise) based upon, arising out of or relating to this Subordination Agreement and the transactions contemplated hereby shall be governed by, and construed in accordance with, the law of the State of New York for contracts made and to be performed wholly within the State of New York , without regard to principles of conflicts of laws requiring application of the law of any other jurisdiction.", "ner": [[3, 4, "Title"], [57, 60, "Court"]], "tokenized_text": ["17", ".", "This", "Subordination", "Agreement", "and", "any", "claim", ",", "controversy", ",", "dispute", "or", "cause", "of", "action", "(", "whether", "in", "contract", "or", "tort", "or", "otherwise", ")", "based", "upon", ",", "arising", "out", "of", "or", "relating", "to", "this", "Subordination", "Agreement", "and", "the", "transactions", "contemplated", "hereby", "shall", "be", "governed", "by", ",", "and", "construed", "in", "accordance", "with", ",", "the", "law", "of", "the", "State", "of", "New", "York", "for", "contracts", "made", "and", "to", "be", "performed", "wholly", "within", "the", "State", "of", "New", "York", ",", "without", "regard", "to", "principles", "of", "conflicts", "of", "laws", "requiring", "application", "of", "the", "law", "of", "any", "other", "jurisdiction", "."]}
{"id": "15474", "text": "| ---|---|---|---|---|---|---|---|---|--- Fifth Third Bank", "ner": [], "tokenized_text": ["|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "Fifth", "Third", "Bank"]}
{"id": "15475", "text": "| Capital One ,", "ner": [[1, 2, "Parties"]], "tokenized_text": ["|", "Capital", "One", ","]}
{"id": "15476", "text": "North Atlantic Trading Company, Inc.", "ner": [[0, 6, "Parties"]], "tokenized_text": ["North", "Atlantic", "Trading", "Company", ",", "Inc", "."]}
{"id": "15477", "text": "100% * * *", "ner": [[0, 1, "Percentage"]], "tokenized_text": ["100", "%", "*", "*", "*"]}
{"id": "15478", "text": "777 Boston Post Road ,&lt; br/&gt;", "ner": [[0, 3, "Address"]], "tokenized_text": ["777", "Boston", "Post", "Road", ",", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "11480", "text": "76 Maple Tree Ave .", "ner": [[0, 4, "Address"]], "tokenized_text": ["76", "Maple", "Tree", "Ave", "."]}
{"id": "15481", "text": "Stamford, CT 06906 | | | | | |", "ner": [[0, 3, "Address"]], "tokenized_text": ["Stamford", ",", "CT", "06906", "|", "|", "|", "|", "|", "|"]}
{"id": "15482", "text": "Louisville, KY 40229 | | | | | |", "ner": [[0, 3, "Address"]], "tokenized_text": ["Louisville", ",", "KY", "40229", "|", "|", "|", "|", "|", "|"]}
{"id": "15484", "text": "Unit 21, Harpur Hill Business Park", "ner": [[3, 6, "Address"]], "tokenized_text": ["Unit", "21", ",", "Harpur", "Hill", "Business", "Park"]}
{"id": "15487", "text": "198 West Liberty Street", "ner": [[0, 3, "Address"]], "tokenized_text": ["198", "West", "Liberty", "Street"]}
{"id": "15489", "text": "3050 Biscayne Blvd # 801", "ner": [[0, 4, "Address"]], "tokenized_text": ["3050", "Biscayne", "Blvd", "#", "801"]}
{"id": "15490", "text": "Miami, FL 33137 | | | | | |", "ner": [[0, 3, "Address"]], "tokenized_text": ["Miami", ",", "FL", "33137", "|", "|", "|", "|", "|", "|"]}
{"id": "12492", "text": "Within ten (10) Business Days following the Closing Date (which date may be extended by the Administrative Agent in its sole discretion), the Administrative Agent shall have received certificates of insurance required to be obtained under this Agreement in form and substance satisfactory to the Administrative Agent, naming Fifth Third Bank , as Administrative Agent, as additional insured and/or lender loss payable, as applicable. ---|---|---", "ner": [], "tokenized_text": ["Within", "ten", "(", "10", ")", "Business", "Days", "following", "the", "Closing", "Date", "(", "which", "date", "may", "be", "extended", "by", "the", "Administrative", "Agent", "in", "its", "sole", "discretion", ")", ",", "the", "Administrative", "Agent", "shall", "have", "received", "certificates", "of", "insurance", "required", "to", "be", "obtained", "under", "this", "Agreement", "in", "form", "and", "substance", "satisfactory", "to", "the", "Administrative", "Agent", ",", "naming", "Fifth", "Third", "Bank", ",", "as", "Administrative", "Agent", ",", "as", "additional", "insured", "and", "/", "or", "lender", "loss", "payable", ",", "as", "applicable", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "15493", "text": "Within thirty (30) days after the Closing Date (which date may be extended by the Administrative Agent in its sole discretion), the Administrative Agent shall have received a copy of each endorsement for each insurance policy required to be maintained under this Agreement in form and substance satisfactory to the Administrative Agent, naming Fifth Third Bank , as Administrative Agent, as additional insured and/or lender loss payable, as applicable. ---|---|--- * * *", "ner": [], "tokenized_text": ["Within", "thirty", "(", "30", ")", "days", "after", "the", "Closing", "Date", "(", "which", "date", "may", "be", "extended", "by", "the", "Administrative", "Agent", "in", "its", "sole", "discretion", ")", ",", "the", "Administrative", "Agent", "shall", "have", "received", "a", "copy", "of", "each", "endorsement", "for", "each", "insurance", "policy", "required", "to", "be", "maintained", "under", "this", "Agreement", "in", "form", "and", "substance", "satisfactory", "to", "the", "Administrative", "Agent", ",", "naming", "Fifth", "Third", "Bank", ",", "as", "Administrative", "Agent", ",", "as", "additional", "insured", "and", "/", "or", "lender", "loss", "payable", ",", "as", "applicable", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "*", "*", "*"]}
{"id": "15494", "text": "NEC Financial Services, LLC", "ner": [], "tokenized_text": ["NEC", "Financial", "Services", ",", "LLC"]}
{"id": "15498", "text": "EEA Member Country: any of the member states of the European Union, Iceland, Liechtenstein , and Norway.", "ner": [], "tokenized_text": ["EEA", "Member", "Country", ":", "any", "of", "the", "member", "states", "of", "the", "European", "Union", ",", "Iceland", ",", "Liechtenstein", ",", "and", "Norway", "."]}
{"id": "15499", "text": "Title: Vice President, Secretary , and General Counsel", "ner": [[2, 3, "Role"], [5, 5, "Role"], [8, 9, "Role"]], "tokenized_text": ["Title", ":", "Vice", "President", ",", "Secretary", ",", "and", "General", "Counsel"]}
{"id": "15500", "text": "FLASH TECHNOLOGY, LLC , a Delaware limited liability company", "ner": [[0, 3, "Parties"]], "tokenized_text": ["FLASH", "TECHNOLOGY", ",", "LLC", ",", "a", "Delaware", "limited", "liability", "company"]}
{"id": "15501", "text": "GENFARE HOLDINGS, LLC,&lt; br/&gt;", "ner": [[0, 3, "Parties"]], "tokenized_text": ["GENFARE", "HOLDINGS", ",", "LLC", ",", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "15502", "text": "MARLEY ENGINEERED PRODUCTS LLC,&lt; br/&gt;", "ner": [[0, 3, "Parties"]], "tokenized_text": ["MARLEY", "ENGINEERED", "PRODUCTS", "LLC", ",", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "15503", "text": "SPX COOLING TECHNOLOGIES, INC.,&lt; br/&gt;", "ner": [[1, 5, "Parties"]], "tokenized_text": ["SPX", "COOLING", "TECHNOLOGIES", ",", "INC", ".", ",", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "11505", "text": "ADMINISTRATIVE AGENT: BANK OF AMERICA, N.A.,&lt; br/&gt;", "ner": [[3, 10, "Parties"]], "tokenized_text": ["ADMINISTRATIVE", "AGENT", ":", "BANK", "OF", "AMERICA", ",", "N", ".", "A", ".", ",", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "15507", "text": "DEUTSCHE BANK AG DEUTSCHLANDGESCHFT BRANCH ,", "ner": [[0, 2, "Parties"]], "tokenized_text": ["DEUTSCHE", "BANK", "AG", "DEUTSCHLANDGESCHFT", "BRANCH", ","]}
{"id": "14508", "text": "COMMERZBANK AG, NEW YORK BRANCH,&lt; br/&gt;", "ner": [[0, 1, "Parties"], [3, 5, "Address"]], "tokenized_text": ["COMMERZBANK", "AG", ",", "NEW", "YORK", "BRANCH", ",", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "15509", "text": "COMMERZBANK AG, FRANKFURT BRANCH,&lt; br/&gt;", "ner": [[0, 1, "Parties"], [3, 4, "Address"]], "tokenized_text": ["COMMERZBANK", "AG", ",", "FRANKFURT", "BRANCH", ",", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "15511", "text": "THE BANK OF TOKYO-MITSUBISHI UFJ, LTD.,&lt; br/&gt;", "ner": [[1, 7, "Parties"]], "tokenized_text": ["THE", "BANK", "OF", "TOKYO-MITSUBISHI", "UFJ", ",", "LTD", ".", ",", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "15512", "text": "JPMORGAN CHASE BANK, N.A.,&lt; br/&gt;", "ner": [[0, 7, "Parties"]], "tokenized_text": ["JPMORGAN", "CHASE", "BANK", ",", "N", ".", "A", ".", ",", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "15513", "text": "HSBC BANK USA, NATIONAL ASSOCIATION,&lt; br/&gt;", "ner": [[0, 2, "Parties"]], "tokenized_text": ["HSBC", "BANK", "USA", ",", "NATIONAL", "ASSOCIATION", ",", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "15516", "text": "WELLS FARGO BANK, NATIONAL ASSOCIATION,&lt; br/&gt;", "ner": [[0, 2, "Parties"]], "tokenized_text": ["WELLS", "FARGO", "BANK", ",", "NATIONAL", "ASSOCIATION", ",", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "15518", "text": "This Common Stock and Warrant Purchase Agreement, dated as of [], 201[] (this Agreement), is entered into by and among RespireRx Pharmaceuticals Inc. (the Company), a corporation incorporated in the state of Delaware, and the undersigned persons and entities listed on the schedule of investors attached hereto as Schedule I (the Investors). This Agreement is expected to be one of several like agreements, collectively the Common Stock and Warrant Purchase Agreements.", "ner": [[1, 6, "Title"], [11, 16, "EffectiveDate"], [28, 31, "Parties"], [42, 44, "Court"], [85, 87, "Title"]], "tokenized_text": ["This", "Common", "Stock", "and", "Warrant", "Purchase", "Agreement", ",", "dated", "as", "of", "[", "]", ",", "201", "[", "]", "(", "this", "Agreement", ")", ",", "is", "entered", "into", "by", "and", "among", "RespireRx", "Pharmaceuticals", "Inc", ".", "(", "the", "Company", ")", ",", "a", "corporation", "incorporated", "in", "the", "state", "of", "Delaware", ",", "and", "the", "undersigned", "persons", "and", "entities", "listed", "on", "the", "schedule", "of", "investors", "attached", "hereto", "as", "Schedule", "I", "(", "the", "Investors", ")", ".", "This", "Agreement", "is", "expected", "to", "be", "one", "of", "several", "like", "agreements", ",", "collectively", "the", "Common", "Stock", "and", "Warrant", "Purchase", "Agreements", "."]}
{"id": "15519", "text": "(a) Authorization of the Issuance of the Common Stock and Warrants. The Company has authorized the issuance and sale of up to $1,500,000 of Common Stock and Warrants in units comprised of (i) one share of the Companys Common Stock, par value $0.001 (Common Stock), and (ii) one warrant to purchase one additional share of the Companys Common Stock (as amended, restated or otherwise modified from time to time pursuant to Section 7,Warrant), which are being sold together. The Warrants shall be in substantially the form set out in Exhibit A hereto and represent the right to purchase one share of Common Stock during the Warrant exercise period at the Warrant exercise price per share of Common Stock. References to an Exhibit or Schedule are references to an Exhibit or Schedule attached to this Agreement unless otherwise specified. References to a Section are references to a Section of this Agreement unless otherwise specified.", "ner": [[25, 30, "Principal"], [53, 56, "Price"]], "tokenized_text": ["(", "a", ")", "Authorization", "of", "the", "Issuance", "of", "the", "Common", "Stock", "and", "Warrants", ".", "The", "Company", "has", "authorized", "the", "issuance", "and", "sale", "of", "up", "to", "$", "1", ",", "500", ",", "000", "of", "Common", "Stock", "and", "Warrants", "in", "units", "comprised", "of", "(", "i", ")", "one", "share", "of", "the", "Companys", "Common", "Stock", ",", "par", "value", "$", "0", ".", "001", "(", "Common", "Stock", ")", ",", "and", "(", "ii", ")", "one", "warrant", "to", "purchase", "one", "additional", "share", "of", "the", "Companys", "Common", "Stock", "(", "as", "amended", ",", "restated", "or", "otherwise", "modified", "from", "time", "to", "time", "pursuant", "to", "Section", "7", ",", "Warrant", ")", ",", "which", "are", "being", "sold", "together", ".", "The", "Warrants", "shall", "be", "in", "substantially", "the", "form", "set", "out", "in", "Exhibit", "A", "hereto", "and", "represent", "the", "right", "to", "purchase", "one", "share", "of", "Common", "Stock", "during", "the", "Warrant", "exercise", "period", "at", "the", "Warrant", "exercise", "price", "per", "share", "of", "Common", "Stock", ".", "References", "to", "an", "Exhibit", "or", "Schedule", "are", "references", "to", "an", "Exhibit", "or", "Schedule", "attached", "to", "this", "Agreement", "unless", "otherwise", "specified", ".", "References", "to", "a", "Section", "are", "references", "to", "a", "Section", "of", "this", "Agreement", "unless", "otherwise", "specified", "."]}
{"id": "15520", "text": "(b) Issuance of Common Stock and Warrants. At each Closing provided for in Section 1(c) in respect of a particular Investor, on the terms and subject to the conditions hereof, the Company agrees to issue and sell to such Investor, and such Investor agrees to purchase from the Company, shares of Common Stock and Warrants equal in number to the investment amount (Investment Amount) set forth opposite the respective Investors name on Schedule I divided by the aggregate purchase price for (i) one share of Common Stock and (ii) one Warrant to purchase one additional share of Common Stock (Unit Purchase Price). The Unit Purchase Price shall be $2.50 per unit and shall be the same Unit Purchase Price for all Closings (as defined below). The Warrants shall have a cash and a cashless exercise provision and shall be exercisable at 110% percent of the Unit Purchase Price which exercise price is $2.75 per share. The obligations of the Investors to purchase the Common Stock and Warrants are several and not joint obligations and no Investor shall have any liability to any Person for the performance or non-performance of any obligation by any other Investor hereunder. The aggregate Investment Amounts for the purchase of Common Stock and Warrants hereunder shall not exceed $1,500,000 .", "ner": [[127, 130, "Price"], [166, 167, "Percentage"], [178, 181, "Price"], [243, 248, "Principal"]], "tokenized_text": ["(", "b", ")", "Issuance", "of", "Common", "Stock", "and", "Warrants", ".", "At", "each", "Closing", "provided", "for", "in", "Section", "1", "(", "c", ")", "in", "respect", "of", "a", "particular", "Investor", ",", "on", "the", "terms", "and", "subject", "to", "the", "conditions", "hereof", ",", "the", "Company", "agrees", "to", "issue", "and", "sell", "to", "such", "Investor", ",", "and", "such", "Investor", "agrees", "to", "purchase", "from", "the", "Company", ",", "shares", "of", "Common", "Stock", "and", "Warrants", "equal", "in", "number", "to", "the", "investment", "amount", "(", "Investment", "Amount", ")", "set", "forth", "opposite", "the", "respective", "Investors", "name", "on", "Schedule", "I", "divided", "by", "the", "aggregate", "purchase", "price", "for", "(", "i", ")", "one", "share", "of", "Common", "Stock", "and", "(", "ii", ")", "one", "Warrant", "to", "purchase", "one", "additional", "share", "of", "Common", "Stock", "(", "Unit", "Purchase", "Price", ")", ".", "The", "Unit", "Purchase", "Price", "shall", "be", "$", "2", ".", "50", "per", "unit", "and", "shall", "be", "the", "same", "Unit", "Purchase", "Price", "for", "all", "Closings", "(", "as", "defined", "below", ")", ".", "The", "Warrants", "shall", "have", "a", "cash", "and", "a", "cashless", "exercise", "provision", "and", "shall", "be", "exercisable", "at", "110", "%", "percent", "of", "the", "Unit", "Purchase", "Price", "which", "exercise", "price", "is", "$", "2", ".", "75", "per", "share", ".", "The", "obligations", "of", "the", "Investors", "to", "purchase", "the", "Common", "Stock", "and", "Warrants", "are", "several", "and", "not", "joint", "obligations", "and", "no", "Investor", "shall", "have", "any", "liability", "to", "any", "Person", "for", "the", "performance", "or", "non-performance", "of", "any", "obligation", "by", "any", "other", "Investor", "hereunder", ".", "The", "aggregate", "Investment", "Amounts", "for", "the", "purchase", "of", "Common", "Stock", "and", "Warrants", "hereunder", "shall", "not", "exceed", "$", "1", ",", "500", ",", "000", "."]}
{"id": "15522", "text": "(h) The Company and the Companys subsidiaries hereby represent, warranty and covenant that they have not, and so long as the Investor continues to have the exchange right provided by Section 1(b) of this Agreement, neither the Company, nor its subsidiaries, shall enter into a financing transaction pursuant to Sections 3(a)(9) or 3(a)(10) of the Securities Act of 1933 , as amended, or enter into any equity, debt, convertible or equity-linked securities financing arrangement having full-ratchet anti-dilution provisions without a floor or that have an indeterminant number (and potentially infinite number) of shares issuable pursuant to such provisions.", "ner": [[77, 80, "Act"]], "tokenized_text": ["(", "h", ")", "The", "Company", "and", "the", "Companys", "subsidiaries", "hereby", "represent", ",", "warranty", "and", "covenant", "that", "they", "have", "not", ",", "and", "so", "long", "as", "the", "Investor", "continues", "to", "have", "the", "exchange", "right", "provided", "by", "Section", "1", "(", "b", ")", "of", "this", "Agreement", ",", "neither", "the", "Company", ",", "nor", "its", "subsidiaries", ",", "shall", "enter", "into", "a", "financing", "transaction", "pursuant", "to", "Sections", "3", "(", "a", ")", "(", "9", ")", "or", "3", "(", "a", ")", "(", "10", ")", "of", "the", "Securities", "Act", "of", "1933", ",", "as", "amended", ",", "or", "enter", "into", "any", "equity", ",", "debt", ",", "convertible", "or", "equity-linked", "securities", "financing", "arrangement", "having", "full-ratchet", "anti-dilution", "provisions", "without", "a", "floor", "or", "that", "have", "an", "indeterminant", "number", "(", "and", "potentially", "infinite", "number", ")", "of", "shares", "issuable", "pursuant", "to", "such", "provisions", "."]}
{"id": "15524", "text": "(c) Source of Funds. Each Investor severally represents that, as to each source of funds (each a Source) to be used by such Investor to pay the purchase price of the Common Stock and Warrants to be purchased by such Investor hereunder, the Source does not include assets of any employee benefit plan, other than a plan exempt from the coverage of the Employee Retirement Income Security Act of 1974 , as amended from time to time, and the rules and regulations promulgated thereunder from time to time in effect.", "ner": [[71, 77, "Act"]], "tokenized_text": ["(", "c", ")", "Source", "of", "Funds", ".", "Each", "Investor", "severally", "represents", "that", ",", "as", "to", "each", "source", "of", "funds", "(", "each", "a", "Source", ")", "to", "be", "used", "by", "such", "Investor", "to", "pay", "the", "purchase", "price", "of", "the", "Common", "Stock", "and", "Warrants", "to", "be", "purchased", "by", "such", "Investor", "hereunder", ",", "the", "Source", "does", "not", "include", "assets", "of", "any", "employee", "benefit", "plan", ",", "other", "than", "a", "plan", "exempt", "from", "the", "coverage", "of", "the", "Employee", "Retirement", "Income", "Security", "Act", "of", "1974", ",", "as", "amended", "from", "time", "to", "time", ",", "and", "the", "rules", "and", "regulations", "promulgated", "thereunder", "from", "time", "to", "time", "in", "effect", "."]}
{"id": "15525", "text": "(a) Brokers and Finders Fees. At the Companys sole discretion, the Company may pay (i) a cash placement agent fee, brokerage commission, finders fee or similar payment of up to 10% of the aggregate of all Unit Purchase Prices to any qualified referral source, which may be an affiliate of the Company, to which it can legally make such payment, in the form of cash, as well as (ii) a warrant fee in the form of a warrant or warrants (Placement Agent Warrants), exercisable into up to 10% of that number of shares of Common Stock issued (but not the Warrants or shares of Common Stock underlying the Warrants). Such Placement Agent Warrants shall be exercisable at 110% of the Unit Purchase Price (which is the same exercise price as the Warrants purchased by the Investors) for each share for which the Placement Agent Warrant is exercised and shall expire on the same expiration date as the Warrants purchased by the Investors. The Placement Agent Warrants shall have a cashless exercise provision. Placement Agent Warrants may be issued to designees of the qualified referral source upon request by the qualified referral source, as may be agreed by the Company in its sole discretion, subject to applicable securities laws. Officers, directors, managers, employees, affiliates and associated persons of the Company, and affiliates of any of the foregoing qualified referral sources, are eligible to invest as Investors in the Common Stock and Warrants, and are eligible to, and may, receive fees, directly or indirectly (including, without limitation, fees in respect of such person or persons investments in the Common Stock and Warrants).", "ner": [[38, 39, "Percentage"], [96, 98, "Shares"], [105, 106, "Percentage"], [139, 140, "Percentage"]], "tokenized_text": ["(", "a", ")", "Brokers", "and", "Finders", "Fees", ".", "At", "the", "Companys", "sole", "discretion", ",", "the", "Company", "may", "pay", "(", "i", ")", "a", "cash", "placement", "agent", "fee", ",", "brokerage", "commission", ",", "finders", "fee", "or", "similar", "payment", "of", "up", "to", "10", "%", "of", "the", "aggregate", "of", "all", "Unit", "Purchase", "Prices", "to", "any", "qualified", "referral", "source", ",", "which", "may", "be", "an", "affiliate", "of", "the", "Company", ",", "to", "which", "it", "can", "legally", "make", "such", "payment", ",", "in", "the", "form", "of", "cash", ",", "as", "well", "as", "(", "ii", ")", "a", "warrant", "fee", "in", "the", "form", "of", "a", "warrant", "or", "warrants", "(", "Placement", "Agent", "Warrants", ")", ",", "exercisable", "into", "up", "to", "10", "%", "of", "that", "number", "of", "shares", "of", "Common", "Stock", "issued", "(", "but", "not", "the", "Warrants", "or", "shares", "of", "Common", "Stock", "underlying", "the", "Warrants", ")", ".", "Such", "Placement", "Agent", "Warrants", "shall", "be", "exercisable", "at", "110", "%", "of", "the", "Unit", "Purchase", "Price", "(", "which", "is", "the", "same", "exercise", "price", "as", "the", "Warrants", "purchased", "by", "the", "Investors", ")", "for", "each", "share", "for", "which", "the", "Placement", "Agent", "Warrant", "is", "exercised", "and", "shall", "expire", "on", "the", "same", "expiration", "date", "as", "the", "Warrants", "purchased", "by", "the", "Investors", ".", "The", "Placement", "Agent", "Warrants", "shall", "have", "a", "cashless", "exercise", "provision", ".", "Placement", "Agent", "Warrants", "may", "be", "issued", "to", "designees", "of", "the", "qualified", "referral", "source", "upon", "request", "by", "the", "qualified", "referral", "source", ",", "as", "may", "be", "agreed", "by", "the", "Company", "in", "its", "sole", "discretion", ",", "subject", "to", "applicable", "securities", "laws", ".", "Officers", ",", "directors", ",", "managers", ",", "employees", ",", "affiliates", "and", "associated", "persons", "of", "the", "Company", ",", "and", "affiliates", "of", "any", "of", "the", "foregoing", "qualified", "referral", "sources", ",", "are", "eligible", "to", "invest", "as", "Investors", "in", "the", "Common", "Stock", "and", "Warrants", ",", "and", "are", "eligible", "to", ",", "and", "may", ",", "receive", "fees", ",", "directly", "or", "indirectly", "(", "including", ",", "without", "limitation", ",", "fees", "in", "respect", "of", "such", "person", "or", "persons", "investments", "in", "the", "Common", "Stock", "and", "Warrants", ")", "."]}
{"id": "15527", "text": "Vice President, Treasurer and Secretary", "ner": [[0, 1, "Role"], [3, 3, "Role"]], "tokenized_text": ["Vice", "President", ",", "Treasurer", "and", "Secretary"]}
{"id": "12529", "text": "Glen Rock, NJ 07452", "ner": [[0, 4, "Address"]], "tokenized_text": ["Glen", "Rock", ",", "NJ", "07452"]}
{"id": "15530", "text": "Investor Name, Contact Name, Address, Phone, Fax| |", "ner": [[6, 6, "Address"]], "tokenized_text": ["Investor", "Name", ",", "Contact", "Name", ",", "Address", ",", "Phone", ",", "Fax", "|", "|"]}
{"id": "15533", "text": "a) Exercise of Warrant. Exercise of the purchase rights represented by this Warrant may be made, in whole or in part, at any time or times on any Business Day (as defined below) on or after the Initial Exercise Date and on or before the Termination Date by delivery to the Company (or such other office or agency of the Company as it may designate by notice in writing to the registered Holder at the address of the Holder appearing on the books of the Company) of a duly completed and executed facsimile or electronic mail copy of the Notice of Exercise form annexed hereto (the Notice of Exercise). The Company shall use reasonable best efforts to not affect the exercise of any portion of this Warrant, and the Holder shall not have the right to exercise any portion of this Warrant, pursuant to the terms and conditions of this Warrant and any such exercise shall be null and void and treated as if never made, to the extent that after giving effect to such exercise, the Holder together with any parties with whom or with which the Holders ownership interest must be aggregated (Attribution Parties), collectively would beneficially own in excess of 4.99% (the Maximum Percentage) of the shares of Common Stock outstanding immediately after giving effect to such exercise. For purposes of the foregoing sentence, the aggregate number of shares of Common Stock beneficially owned by the Holder and the other Attribution Parties shall include the number of shares of Common Stock held by the Holder and all other Attribution Parties plus the number of shares of Common Stock issuable upon exercise of this Warrant with respect to which the determination of such sentence is being made, but shall exclude shares of Common Stock which would be issuable upon (A) exercise of the remaining, unexercised portion of this Warrant beneficially owned by the Holder or any of the other Attribution Parties and (B) exercise or conversion of the unexercised or unconverted portion of any other securities of the Company (including, without limitation, any convertible notes or convertible preferred stock or warrants) beneficially owned by the Holder or any other Attribution Party subject to a limitation on conversion or exercise analogous to the limitation contained in this Section 2(a). For purposes of this Section 2(a), beneficial ownership shall be calculated in accordance with Section 13(d) of the Securities Exchange Act of 1934 (the 1934 Act) and the rules promulgated thereunder. For purposes of determining the number of outstanding shares of Common Stock the Holder may acquire upon the exercise of this Warrant without exceeding the Maximum Percentage, the Holder may rely on the number of outstanding shares of Common Stock as reflected in (x) the Companys most recent Annual Report on Form 10-K, Quarterly Report on Form 10-Q, Current Report on Form 8-K or other public filing with the SEC, as the case may be, (y) a more recent public announcement by the Company or (z) any other more recent written notice by the Company or the Transfer Agent, if any, setting forth the number of shares of Common Stock outstanding (the Reported Outstanding Share Number). If the Company receives a Notice of Exercise from the Holder at a time when the actual number of outstanding shares of Common Stock is less than the Reported Outstanding Share Number, the Company shall (i) notify the Holder in writing of the number of shares of Common Stock then outstanding and, to the extent that such Notice of Exercise would otherwise cause the Holders beneficial ownership, as determined pursuant to this Section 2(a), to exceed the Maximum Percentage, the Holder must notify the Company of a reduced number of Warrant Shares to be acquired pursuant to such Notice of Exercise (the number of shares by which such purchase is reduced, the Reduction Shares) and (ii) as soon as reasonably practicable, the Company shall return to the Holder any exercise price paid by the Holder for the Reduction Shares. For any reason at any time, upon the written or oral request of the Holder, the Company shall within one (1) Business Day confirm orally and in writing or by electronic mail to the Holder the number of shares of Common Stock then outstanding. In any case, the number of outstanding shares of Common Stock shall be determined after giving effect to the conversion or exercise of securities of the Company, including this Warrant, by the Holder and any other Attribution Party since the date as of which the Reported Outstanding Share Number was reported. In the event that the issuance of shares of Common Stock to the Holder upon exercise of this Warrant results in the Holder and the other Attribution Parties being deemed to beneficially own, in the aggregate, more than the Maximum Percentage of the number of outstanding shares of Common Stock (as determined under Section 13(d) of the 1934 Act and the rules promulgated thereunder), the number of shares so issued by which the Holders and the other Attribution Parties aggregate beneficial ownership exceeds the Maximum Percentage (the Excess Shares) shall be deemed null and void and shall be cancelled ab initio, and the Holder shall not have the power to vote or to transfer the Excess Shares. As soon as reasonably practicable after the issuance of the Excess Shares has been deemed null and void, (i) the Company shall return to the Holder the exercise price paid by the Holder for the Excess Shares, and (ii) the Holder shall provide any documentation reasonably requested by the Company to effect such cancellation on the records of the Company and its transfer agent. Upon delivery of a written notice to the Company, the Holder may from time to time increase or decrease the Maximum Percentage to any other percentage as specified in such notice; provided that (i) any such increase in the Maximum Percentage will not be effective until the sixty-first (61st) day after such notice is delivered to the Company, and (ii) any such increase or decrease will apply only to the Holder and the other Attribution Parties and not to any other holder of Warrants issued in connection with the Purchase Agreement that is not an Attribution Party of the Holder. For purposes of clarity, the shares of Common Stock issuable pursuant to the terms of this Warrant in excess of the Maximum Percentage shall not be deemed to be beneficially owned by the Holder for any purpose including for purposes of Section 13(d) or Rule 16a-1(a)(1) of the 1934 Act. No prior inability to exercise this Warrant pursuant to this paragraph shall have any effect on the applicability of the provisions of this paragraph with respect to any subsequent determination of exercisability. The provisions of this paragraph shall be construed and implemented in a manner otherwise than in strict conformity with the terms of this Section 2(a) to the extent necessary to correct this paragraph or any portion of this paragraph which may be defective or inconsistent with the intended beneficial ownership limitation contained in this Section 2(a) or to make changes or supplements necessary or desirable to properly give effect to such limitation. The limitation contained in this paragraph may not be waived and shall apply to a successor holder of this Warrant. Within three (3) Business Days (as defined below) following the date of exercise as aforesaid, the Holder shall deliver the aggregate Exercise Price (as defined below) for the shares specified in the applicable Notice of Exercise by wire transfer in immediately available funds or cashiers check drawn on a United States bank in immediately available funds. A Business Day means any day other than a Saturday or Sunday or any day that national commercial banks in New York City, New York are authorized or required to close or any day that the NADSAQ stock markets or any other nationally recognized stock markets are closed. Notwithstanding anything herein to the contrary, the Holder shall not be required to physically surrender this Warrant to the Company until the Holder has purchased all of the Warrant Shares available hereunder and the Warrant has been exercised in full, in which case, the Holder shall surrender this Warrant to the Company for cancellation within three (3) Business Days of the date the final Notice of Exercise is delivered to the Company. Partial exercises of this Warrant resulting in purchases of a portion of the total number of Warrant Shares available hereunder shall have the effect of lowering the outstanding number of Warrant Shares purchasable hereunder in an amount equal to the applicable number of Warrant Shares purchased. The Company, either directly or through its representative, shall maintain, or cause to be maintained, records showing the number of Warrant Shares purchased and the date of such purchases, which records shall be deemed to be accurate absent manifest error. The Company shall deliver any objection to any Notice of Exercise within two (2) Business Days of actual receipt of such notice. The Holder and any assignee, by acceptance of this Warrant, acknowledge and agree that, by reason of the provisions of this paragraph, following the purchase of a portion of the Warrant Shares hereunder, the number of Warrant Shares available for purchase hereunder at any given time may be less than the amount stated on the face hereof.", "ner": [[221, 224, "Percentage"], [227, 228, "Percentage"], [444, 448, "Act"], [451, 452, "Act"], [692, 693, "Shares"], [1150, 1151, "Act"], [1210, 1217, "Regulation"], [1440, 1445, "Address"]], "tokenized_text": ["a", ")", "Exercise", "of", "Warrant", ".", "Exercise", "of", "the", "purchase", "rights", "represented", "by", "this", "Warrant", "may", "be", "made", ",", "in", "whole", "or", "in", "part", ",", "at", "any", "time", "or", "times", "on", "any", "Business", "Day", "(", "as", "defined", "below", ")", "on", "or", "after", "the", "Initial", "Exercise", "Date", "and", "on", "or", "before", "the", "Termination", "Date", "by", "delivery", "to", "the", "Company", "(", "or", "such", "other", "office", "or", "agency", "of", "the", "Company", "as", "it", "may", "designate", "by", "notice", "in", "writing", "to", "the", "registered", "Holder", "at", "the", "address", "of", "the", "Holder", "appearing", "on", "the", "books", "of", "the", "Company", ")", "of", "a", "duly", "completed", "and", "executed", "facsimile", "or", "electronic", "mail", "copy", "of", "the", "Notice", "of", "Exercise", "form", "annexed", "hereto", "(", "the", "Notice", "of", "Exercise", ")", ".", "The", "Company", "shall", "use", "reasonable", "best", "efforts", "to", "not", "affect", "the", "exercise", "of", "any", "portion", "of", "this", "Warrant", ",", "and", "the", "Holder", "shall", "not", "have", "the", "right", "to", "exercise", "any", "portion", "of", "this", "Warrant", ",", "pursuant", "to", "the", "terms", "and", "conditions", "of", "this", "Warrant", "and", "any", "such", "exercise", "shall", "be", "null", "and", "void", "and", "treated", "as", "if", "never", "made", ",", "to", "the", "extent", "that", "after", "giving", "effect", "to", "such", "exercise", ",", "the", "Holder", "together", "with", "any", "parties", "with", "whom", "or", "with", "which", "the", "Holders", "ownership", "interest", "must", "be", "aggregated", "(", "Attribution", "Parties", ")", ",", "collectively", "would", "beneficially", "own", "in", "excess", "of", "4", ".", "99", "%", "(", "the", "Maximum", "Percentage", ")", "of", "the", "shares", "of", "Common", "Stock", "outstanding", "immediately", "after", "giving", "effect", "to", "such", "exercise", ".", "For", "purposes", "of", "the", "foregoing", "sentence", ",", "the", "aggregate", "number", "of", "shares", "of", "Common", "Stock", "beneficially", "owned", "by", "the", "Holder", "and", "the", "other", "Attribution", "Parties", "shall", "include", "the", "number", "of", "shares", "of", "Common", "Stock", "held", "by", "the", "Holder", "and", "all", "other", "Attribution", "Parties", "plus", "the", "number", "of", "shares", "of", "Common", "Stock", "issuable", "upon", "exercise", "of", "this", "Warrant", "with", "respect", "to", "which", "the", "determination", "of", "such", "sentence", "is", "being", "made", ",", "but", "shall", "exclude", "shares", "of", "Common", "Stock", "which", "would", "be", "issuable", "upon", "(", "A", ")", "exercise", "of", "the", "remaining", ",", "unexercised", "portion", "of", "this", "Warrant", "beneficially", "owned", "by", "the", "Holder", "or", "any", "of", "the", "other", "Attribution", "Parties", "and", "(", "B", ")", "exercise", "or", "conversion", "of", "the", "unexercised", "or", "unconverted", "portion", "of", "any", "other", "securities", "of", "the", "Company", "(", "including", ",", "without", "limitation", ",", "any", "convertible", "notes", "or", "convertible", "preferred", "stock", "or", "warrants", ")", "beneficially", "owned", "by", "the", "Holder", "or", "any", "other", "Attribution", "Party", "subject", "to", "a", "limitation", "on", "conversion", "or", "exercise", "analogous", "to", "the", "limitation", "contained", "in", "this", "Section", "2", "(", "a", ")", ".", "For", "purposes", "of", "this", "Section", "2", "(", "a", ")", ",", "beneficial", "ownership", "shall", "be", "calculated", "in", "accordance", "with", "Section", "13", "(", "d", ")", "of", "the", "Securities", "Exchange", "Act", "of", "1934", "(", "the", "1934", "Act", ")", "and", "the", "rules", "promulgated", "thereunder", ".", "For", "purposes", "of", "determining", "the", "number", "of", "outstanding", "shares", "of", "Common", "Stock", "the", "Holder", "may", "acquire", "upon", "the", "exercise", "of", "this", "Warrant", "without", "exceeding", "the", "Maximum", "Percentage", ",", "the", "Holder", "may", "rely", "on", "the", "number", "of", "outstanding", "shares", "of", "Common", "Stock", "as", "reflected", "in", "(", "x", ")", "the", "Companys", "most", "recent", "Annual", "Report", "on", "Form", "10-K", ",", "Quarterly", "Report", "on", "Form", "10-Q", ",", "Current", "Report", "on", "Form", "8-K", "or", "other", "public", "filing", "with", "the", "SEC", ",", "as", "the", "case", "may", "be", ",", "(", "y", ")", "a", "more", "recent", "public", "announcement", "by", "the", "Company", "or", "(", "z", ")", "any", "other", "more", "recent", "written", "notice", "by", "the", "Company", "or", "the", "Transfer", "Agent", ",", "if", "any", ",", "setting", "forth", "the", "number", "of", "shares", "of", "Common", "Stock", "outstanding", "(", "the", "Reported", "Outstanding", "Share", "Number", ")", ".", "If", "the", "Company", "receives", "a", "Notice", "of", "Exercise", "from", "the", "Holder", "at", "a", "time", "when", "the", "actual", "number", "of", "outstanding", "shares", "of", "Common", "Stock", "is", "less", "than", "the", "Reported", "Outstanding", "Share", "Number", ",", "the", "Company", "shall", "(", "i", ")", "notify", "the", "Holder", "in", "writing", "of", "the", "number", "of", "shares", "of", "Common", "Stock", "then", "outstanding", "and", ",", "to", "the", "extent", "that", "such", "Notice", "of", "Exercise", "would", "otherwise", "cause", "the", "Holders", "beneficial", "ownership", ",", "as", "determined", "pursuant", "to", "this", "Section", "2", "(", "a", ")", ",", "to", "exceed", "the", "Maximum", "Percentage", ",", "the", "Holder", "must", "notify", "the", "Company", "of", "a", "reduced", "number", "of", "Warrant", "Shares", "to", "be", "acquired", "pursuant", "to", "such", "Notice", "of", "Exercise", "(", "the", "number", "of", "shares", "by", "which", "such", "purchase", "is", "reduced", ",", "the", "Reduction", "Shares", ")", "and", "(", "ii", ")", "as", "soon", "as", "reasonably", "practicable", ",", "the", "Company", "shall", "return", "to", "the", "Holder", "any", "exercise", "price", "paid", "by", "the", "Holder", "for", "the", "Reduction", "Shares", ".", "For", "any", "reason", "at", "any", "time", ",", "upon", "the", "written", "or", "oral", "request", "of", "the", "Holder", ",", "the", "Company", "shall", "within", "one", "(", "1", ")", "Business", "Day", "confirm", "orally", "and", "in", "writing", "or", "by", "electronic", "mail", "to", "the", "Holder", "the", "number", "of", "shares", "of", "Common", "Stock", "then", "outstanding", ".", "In", "any", "case", ",", "the", "number", "of", "outstanding", "shares", "of", "Common", "Stock", "shall", "be", "determined", "after", "giving", "effect", "to", "the", "conversion", "or", "exercise", "of", "securities", "of", "the", "Company", ",", "including", "this", "Warrant", ",", "by", "the", "Holder", "and", "any", "other", "Attribution", "Party", "since", "the", "date", "as", "of", "which", "the", "Reported", "Outstanding", "Share", "Number", "was", "reported", ".", "In", "the", "event", "that", "the", "issuance", "of", "shares", "of", "Common", "Stock", "to", "the", "Holder", "upon", "exercise", "of", "this", "Warrant", "results", "in", "the", "Holder", "and", "the", "other", "Attribution", "Parties", "being", "deemed", "to", "beneficially", "own", ",", "in", "the", "aggregate", ",", "more", "than", "the", "Maximum", "Percentage", "of", "the", "number", "of", "outstanding", "shares", "of", "Common", "Stock", "(", "as", "determined", "under", "Section", "13", "(", "d", ")", "of", "the", "1934", "Act", "and", "the", "rules", "promulgated", "thereunder", ")", ",", "the", "number", "of", "shares", "so", "issued", "by", "which", "the", "Holders", "and", "the", "other", "Attribution", "Parties", "aggregate", "beneficial", "ownership", "exceeds", "the", "Maximum", "Percentage", "(", "the", "Excess", "Shares", ")", "shall", "be", "deemed", "null", "and", "void", "and", "shall", "be", "cancelled", "ab", "initio", ",", "and", "the", "Holder", "shall", "not", "have", "the", "power", "to", "vote", "or", "to", "transfer", "the", "Excess", "Shares", ".", "As", "soon", "as", "reasonably", "practicable", "after", "the", "issuance", "of", "the", "Excess", "Shares", "has", "been", "deemed", "null", "and", "void", ",", "(", "i", ")", "the", "Company", "shall", "return", "to", "the", "Holder", "the", "exercise", "price", "paid", "by", "the", "Holder", "for", "the", "Excess", "Shares", ",", "and", "(", "ii", ")", "the", "Holder", "shall", "provide", "any", "documentation", "reasonably", "requested", "by", "the", "Company", "to", "effect", "such", "cancellation", "on", "the", "records", "of", "the", "Company", "and", "its", "transfer", "agent", ".", "Upon", "delivery", "of", "a", "written", "notice", "to", "the", "Company", ",", "the", "Holder", "may", "from", "time", "to", "time", "increase", "or", "decrease", "the", "Maximum", "Percentage", "to", "any", "other", "percentage", "as", "specified", "in", "such", "notice", ";", "provided", "that", "(", "i", ")", "any", "such", "increase", "in", "the", "Maximum", "Percentage", "will", "not", "be", "effective", "until", "the", "sixty-first", "(", "61st", ")", "day", "after", "such", "notice", "is", "delivered", "to", "the", "Company", ",", "and", "(", "ii", ")", "any", "such", "increase", "or", "decrease", "will", "apply", "only", "to", "the", "Holder", "and", "the", "other", "Attribution", "Parties", "and", "not", "to", "any", "other", "holder", "of", "Warrants", "issued", "in", "connection", "with", "the", "Purchase", "Agreement", "that", "is", "not", "an", "Attribution", "Party", "of", "the", "Holder", ".", "For", "purposes", "of", "clarity", ",", "the", "shares", "of", "Common", "Stock", "issuable", "pursuant", "to", "the", "terms", "of", "this", "Warrant", "in", "excess", "of", "the", "Maximum", "Percentage", "shall", "not", "be", "deemed", "to", "be", "beneficially", "owned", "by", "the", "Holder", "for", "any", "purpose", "including", "for", "purposes", "of", "Section", "13", "(", "d", ")", "or", "Rule", "16a-1", "(", "a", ")", "(", "1", ")", "of", "the", "1934", "Act", ".", "No", "prior", "inability", "to", "exercise", "this", "Warrant", "pursuant", "to", "this", "paragraph", "shall", "have", "any", "effect", "on", "the", "applicability", "of", "the", "provisions", "of", "this", "paragraph", "with", "respect", "to", "any", "subsequent", "determination", "of", "exercisability", ".", "The", "provisions", "of", "this", "paragraph", "shall", "be", "construed", "and", "implemented", "in", "a", "manner", "otherwise", "than", "in", "strict", "conformity", "with", "the", "terms", "of", "this", "Section", "2", "(", "a", ")", "to", "the", "extent", "necessary", "to", "correct", "this", "paragraph", "or", "any", "portion", "of", "this", "paragraph", "which", "may", "be", "defective", "or", "inconsistent", "with", "the", "intended", "beneficial", "ownership", "limitation", "contained", "in", "this", "Section", "2", "(", "a", ")", "or", "to", "make", "changes", "or", "supplements", "necessary", "or", "desirable", "to", "properly", "give", "effect", "to", "such", "limitation", ".", "The", "limitation", "contained", "in", "this", "paragraph", "may", "not", "be", "waived", "and", "shall", "apply", "to", "a", "successor", "holder", "of", "this", "Warrant", ".", "Within", "three", "(", "3", ")", "Business", "Days", "(", "as", "defined", "below", ")", "following", "the", "date", "of", "exercise", "as", "aforesaid", ",", "the", "Holder", "shall", "deliver", "the", "aggregate", "Exercise", "Price", "(", "as", "defined", "below", ")", "for", "the", "shares", "specified", "in", "the", "applicable", "Notice", "of", "Exercise", "by", "wire", "transfer", "in", "immediately", "available", "funds", "or", "cashiers", "check", "drawn", "on", "a", "United", "States", "bank", "in", "immediately", "available", "funds", ".", "A", "Business", "Day", "means", "any", "day", "other", "than", "a", "Saturday", "or", "Sunday", "or", "any", "day", "that", "national", "commercial", "banks", "in", "New", "York", "City", ",", "New", "York", "are", "authorized", "or", "required", "to", "close", "or", "any", "day", "that", "the", "NADSAQ", "stock", "markets", "or", "any", "other", "nationally", "recognized", "stock", "markets", "are", "closed", ".", "Notwithstanding", "anything", "herein", "to", "the", "contrary", ",", "the", "Holder", "shall", "not", "be", "required", "to", "physically", "surrender", "this", "Warrant", "to", "the", "Company", "until", "the", "Holder", "has", "purchased", "all", "of", "the", "Warrant", "Shares", "available", "hereunder", "and", "the", "Warrant", "has", "been", "exercised", "in", "full", ",", "in", "which", "case", ",", "the", "Holder", "shall", "surrender", "this", "Warrant", "to", "the", "Company", "for", "cancellation", "within", "three", "(", "3", ")", "Business", "Days", "of", "the", "date", "the", "final", "Notice", "of", "Exercise", "is", "delivered", "to", "the", "Company", ".", "Partial", "exercises", "of", "this", "Warrant", "resulting", "in", "purchases", "of", "a", "portion", "of", "the", "total", "number", "of", "Warrant", "Shares", "available", "hereunder", "shall", "have", "the", "effect", "of", "lowering", "the", "outstanding", "number", "of", "Warrant", "Shares", "purchasable", "hereunder", "in", "an", "amount", "equal", "to", "the", "applicable", "number", "of", "Warrant", "Shares", "purchased", ".", "The", "Company", ",", "either", "directly", "or", "through", "its", "representative", ",", "shall", "maintain", ",", "or", "cause", "to", "be", "maintained", ",", "records", "showing", "the", "number", "of", "Warrant", "Shares", "purchased", "and", "the", "date", "of", "such", "purchases", ",", "which", "records", "shall", "be", "deemed", "to", "be", "accurate", "absent", "manifest", "error", ".", "The", "Company", "shall", "deliver", "any", "objection", "to", "any", "Notice", "of", "Exercise", "within", "two", "(", "2", ")", "Business", "Days", "of", "actual", "receipt", "of", "such", "notice", ".", "The", "Holder", "and", "any", "assignee", ",", "by", "acceptance", "of", "this", "Warrant", ",", "acknowledge", "and", "agree", "that", ",", "by", "reason", "of", "the", "provisions", "of", "this", "paragraph", ",", "following", "the", "purchase", "of", "a", "portion", "of", "the", "Warrant", "Shares", "hereunder", ",", "the", "number", "of", "Warrant", "Shares", "available", "for", "purchase", "hereunder", "at", "any", "given", "time", "may", "be", "less", "than", "the", "amount", "stated", "on", "the", "face", "hereof", "."]}
{"id": "15534", "text": "b) Exercise Price. The exercise price per share of the Common Stock under this Warrant initially shall be $2.75 per share ( 110% of Unit Purchase Price as defined in the Purchase Agreement), subject to adjustment hereunder (including, without limitation, under Sections 2 and 3 hereof) (as adjusted, the Exercise Price).", "ner": [[20, 23, "Price"], [27, 28, "Percentage"], [37, 38, "Title"]], "tokenized_text": ["b", ")", "Exercise", "Price", ".", "The", "exercise", "price", "per", "share", "of", "the", "Common", "Stock", "under", "this", "Warrant", "initially", "shall", "be", "$", "2", ".", "75", "per", "share", "(", "110", "%", "of", "Unit", "Purchase", "Price", "as", "defined", "in", "the", "Purchase", "Agreement", ")", ",", "subject", "to", "adjustment", "hereunder", "(", "including", ",", "without", "limitation", ",", "under", "Sections", "2", "and", "3", "hereof", ")", "(", "as", "adjusted", ",", "the", "Exercise", "Price", ")", "."]}
{"id": "15535", "text": "e. Call Provision. If at any time prior to the expiration of, or the exercise by the Holder of this Warrant the closing price of Companys common stock is 200% or more than the Unit Purchase Price for five (5) consecutive trading days (the Trading Price Condition), the Company shall have the right to call, redeem and cancel this Warrant on the tenth day after written notice by the Company to the Holder and payment to the Holder in cash of $0.001 per Warrant Share. To effectively exercise this call provision, such written notice of intent to exercise the call provision under this Section 2(e) must be provided by the Company by the close of business on the second trading day following satisfaction of the Trading Price Condition. The Holder may exercise this Warrant on a cash or cashless basis after written notice by the Company, but before the tenth day after such written notice, which exercise shall nullify the Companys right to call, redeem and cancel this Warrant. Failure by the Company to provide timely notice shall preclude the Company from exercising this call provision with respect to the satisfaction of the Trading Price Condition over that five (5) consecutive trading day period but shall not preclude the Company from exercising this call provision with respect to satisfaction of the Trading Price Condition over any other subsequent five (5) consecutive trading days. The Company may not call, redeem or cancel any portion of this Warrant that may not be exercised during the ten (10) day notification period pursuant to the restrictions on exercise in Section 2(a).", "ner": [[32, 33, "Percentage"], [91, 94, "Principal"]], "tokenized_text": ["e", ".", "Call", "Provision", ".", "If", "at", "any", "time", "prior", "to", "the", "expiration", "of", ",", "or", "the", "exercise", "by", "the", "Holder", "of", "this", "Warrant", "the", "closing", "price", "of", "Companys", "common", "stock", "is", "200", "%", "or", "more", "than", "the", "Unit", "Purchase", "Price", "for", "five", "(", "5", ")", "consecutive", "trading", "days", "(", "the", "Trading", "Price", "Condition", ")", ",", "the", "Company", "shall", "have", "the", "right", "to", "call", ",", "redeem", "and", "cancel", "this", "Warrant", "on", "the", "tenth", "day", "after", "written", "notice", "by", "the", "Company", "to", "the", "Holder", "and", "payment", "to", "the", "Holder", "in", "cash", "of", "$", "0", ".", "001", "per", "Warrant", "Share", ".", "To", "effectively", "exercise", "this", "call", "provision", ",", "such", "written", "notice", "of", "intent", "to", "exercise", "the", "call", "provision", "under", "this", "Section", "2", "(", "e", ")", "must", "be", "provided", "by", "the", "Company", "by", "the", "close", "of", "business", "on", "the", "second", "trading", "day", "following", "satisfaction", "of", "the", "Trading", "Price", "Condition", ".", "The", "Holder", "may", "exercise", "this", "Warrant", "on", "a", "cash", "or", "cashless", "basis", "after", "written", "notice", "by", "the", "Company", ",", "but", "before", "the", "tenth", "day", "after", "such", "written", "notice", ",", "which", "exercise", "shall", "nullify", "the", "Companys", "right", "to", "call", ",", "redeem", "and", "cancel", "this", "Warrant", ".", "Failure", "by", "the", "Company", "to", "provide", "timely", "notice", "shall", "preclude", "the", "Company", "from", "exercising", "this", "call", "provision", "with", "respect", "to", "the", "satisfaction", "of", "the", "Trading", "Price", "Condition", "over", "that", "five", "(", "5", ")", "consecutive", "trading", "day", "period", "but", "shall", "not", "preclude", "the", "Company", "from", "exercising", "this", "call", "provision", "with", "respect", "to", "satisfaction", "of", "the", "Trading", "Price", "Condition", "over", "any", "other", "subsequent", "five", "(", "5", ")", "consecutive", "trading", "days", ".", "The", "Company", "may", "not", "call", ",", "redeem", "or", "cancel", "any", "portion", "of", "this", "Warrant", "that", "may", "not", "be", "exercised", "during", "the", "ten", "(", "10", ")", "day", "notification", "period", "pursuant", "to", "the", "restrictions", "on", "exercise", "in", "Section", "2", "(", "a", ")", "."]}
{"id": "15536", "text": "e) Representation by the Holder. The Holder, by the acceptance hereof, represents and warrants that it is acquiring this Warrant and, upon any exercise hereof, will acquire the Warrant Shares issuable upon such exercise, for its own account and not with a view to or for distributing or reselling such Warrant Shares or any part thereof in violation of the Securities Act or any applicable state securities law, except pursuant to sales registered or exempted under the Securities Act. The Holder acknowledges that the Warrant Shares will not be registered under the Securities Act of 1933 , as amended, or any applicable statute or foreign securities law, and will therefore not be freely transferable.", "ner": [[67, 68, "Act"], [101, 104, "Act"]], "tokenized_text": ["e", ")", "Representation", "by", "the", "Holder", ".", "The", "Holder", ",", "by", "the", "acceptance", "hereof", ",", "represents", "and", "warrants", "that", "it", "is", "acquiring", "this", "Warrant", "and", ",", "upon", "any", "exercise", "hereof", ",", "will", "acquire", "the", "Warrant", "Shares", "issuable", "upon", "such", "exercise", ",", "for", "its", "own", "account", "and", "not", "with", "a", "view", "to", "or", "for", "distributing", "or", "reselling", "such", "Warrant", "Shares", "or", "any", "part", "thereof", "in", "violation", "of", "the", "Securities", "Act", "or", "any", "applicable", "state", "securities", "law", ",", "except", "pursuant", "to", "sales", "registered", "or", "exempted", "under", "the", "Securities", "Act", ".", "The", "Holder", "acknowledges", "that", "the", "Warrant", "Shares", "will", "not", "be", "registered", "under", "the", "Securities", "Act", "of", "1933", ",", "as", "amended", ",", "or", "any", "applicable", "statute", "or", "foreign", "securities", "law", ",", "and", "will", "therefore", "not", "be", "freely", "transferable", "."]}
{"id": "15537", "text": "e) Jurisdiction. This Warrant is a contract between the Company and the Holder and its terms shall be governed by and construed in accordance with the laws of the State of New York applicable to contracts made and to be performed in the State of New York , without giving effect to any choice or conflict of law provision or rule of that or any other jurisdiction. The Company and each Holder irrevocably consent to the jurisdiction of the United States federal courts and the state courts located in New York City, in any suit or proceeding based on or arising under this Warrant and irrevocably agree that all claims in respect of such suit or proceeding may be determined in such courts. The Company and each Holder irrevocably waives the defense of an inconvenient forum to the maintenance of such suit or proceeding in such forum. The Company further agrees that service of process upon the Company mailed by first class mail shall be deemed in every respect effective service of process upon the Company in any such suit or proceeding. Nothing herein shall affect the right of any Holder to serve process in any other manner permitted by law. The Company agrees that a final non-appealable judgment in any such suit or proceeding shall be conclusive and may be enforced in other jurisdictions by suit on such judgment or in any other lawful manner.", "ner": [[31, 34, "Court"], [92, 94, "Address"]], "tokenized_text": ["e", ")", "Jurisdiction", ".", "This", "Warrant", "is", "a", "contract", "between", "the", "Company", "and", "the", "Holder", "and", "its", "terms", "shall", "be", "governed", "by", "and", "construed", "in", "accordance", "with", "the", "laws", "of", "the", "State", "of", "New", "York", "applicable", "to", "contracts", "made", "and", "to", "be", "performed", "in", "the", "State", "of", "New", "York", ",", "without", "giving", "effect", "to", "any", "choice", "or", "conflict", "of", "law", "provision", "or", "rule", "of", "that", "or", "any", "other", "jurisdiction", ".", "The", "Company", "and", "each", "Holder", "irrevocably", "consent", "to", "the", "jurisdiction", "of", "the", "United", "States", "federal", "courts", "and", "the", "state", "courts", "located", "in", "New", "York", "City", ",", "in", "any", "suit", "or", "proceeding", "based", "on", "or", "arising", "under", "this", "Warrant", "and", "irrevocably", "agree", "that", "all", "claims", "in", "respect", "of", "such", "suit", "or", "proceeding", "may", "be", "determined", "in", "such", "courts", ".", "The", "Company", "and", "each", "Holder", "irrevocably", "waives", "the", "defense", "of", "an", "inconvenient", "forum", "to", "the", "maintenance", "of", "such", "suit", "or", "proceeding", "in", "such", "forum", ".", "The", "Company", "further", "agrees", "that", "service", "of", "process", "upon", "the", "Company", "mailed", "by", "first", "class", "mail", "shall", "be", "deemed", "in", "every", "respect", "effective", "service", "of", "process", "upon", "the", "Company", "in", "any", "such", "suit", "or", "proceeding", ".", "Nothing", "herein", "shall", "affect", "the", "right", "of", "any", "Holder", "to", "serve", "process", "in", "any", "other", "manner", "permitted", "by", "law", ".", "The", "Company", "agrees", "that", "a", "final", "non-appealable", "judgment", "in", "any", "such", "suit", "or", "proceeding", "shall", "be", "conclusive", "and", "may", "be", "enforced", "in", "other", "jurisdictions", "by", "suit", "on", "such", "judgment", "or", "in", "any", "other", "lawful", "manner", "."]}
{"id": "15538", "text": "| RespireRx Pharmaceuticals Inc. ---|--- | | | By: | | Name: | Jeff Eliot Margolis | Title: | Vice President, Treasurer, Secretary and Interim CFO", "ner": [[1, 4, "Parties"], [29, 30, "Role"], [32, 32, "Role"], [34, 34, "Role"], [36, 37, "Role"]], "tokenized_text": ["|", "RespireRx", "Pharmaceuticals", "Inc", ".", "-", "-", "-", "|", "-", "-", "-", "|", "|", "|", "By", ":", "|", "|", "Name", ":", "|", "Jeff", "Eliot", "Margolis", "|", "Title", ":", "|", "Vice", "President", ",", "Treasurer", ",", "Secretary", "and", "Interim", "CFO"]}
{"id": "15539", "text": "To: RespireRx Pharmaceuticals Inc.", "ner": [[2, 5, "Parties"]], "tokenized_text": ["To", ":", "RespireRx", "Pharmaceuticals", "Inc", "."]}
{"id": "15543", "text": "ENERGY TRANSFER PARTNERS, L.P.", "ner": [[0, 7, "Parties"]], "tokenized_text": ["ENERGY", "TRANSFER", "PARTNERS", ",", "L", ".", "P", "."]}
{"id": "14544", "text": "ENERGY TRANSFER EQUITY, L.P.", "ner": [], "tokenized_text": ["ENERGY", "TRANSFER", "EQUITY", ",", "L", ".", "P", "."]}
{"id": "15546", "text": "Exchange Act means the Securities Exchange Act of 1934 , as amended from time to time, and the rules and regulations of the Commission promulgated thereunder.", "ner": [[0, 1, "Act"], [4, 8, "Act"]], "tokenized_text": ["Exchange", "Act", "means", "the", "Securities", "Exchange", "Act", "of", "1934", ",", "as", "amended", "from", "time", "to", "time", ",", "and", "the", "rules", "and", "regulations", "of", "the", "Commission", "promulgated", "thereunder", "."]}
{"id": "15547", "text": "Partnership Securities means any class or series of equity interest in ETP (but excluding any options, rights, warrants and appreciation rights relating to an equity interest in ETP), including the Common Units, Class E Units, Class G Units, Class H Units, Class I Units, Class J Units, Class K Units, Series A Preferred Units and the Incentive Distribution Rights.", "ner": [[46, 48, "Shares"], [54, 56, "Shares"], [58, 60, "Shares"]], "tokenized_text": ["Partnership", "Securities", "means", "any", "class", "or", "series", "of", "equity", "interest", "in", "ETP", "(", "but", "excluding", "any", "options", ",", "rights", ",", "warrants", "and", "appreciation", "rights", "relating", "to", "an", "equity", "interest", "in", "ETP", ")", ",", "including", "the", "Common", "Units", ",", "Class", "E", "Units", ",", "Class", "G", "Units", ",", "Class", "H", "Units", ",", "Class", "I", "Units", ",", "Class", "J", "Units", ",", "Class", "K", "Units", ",", "Series", "A", "Preferred", "Units", "and", "the", "Incentive", "Distribution", "Rights", "."]}
{"id": "15549", "text": "Private Placement means the private placement of common units representing limited partner interests in Purchaser pursuant to the Common Unit Purchase Agreement dated as of January 6, 2017 by and among Purchaser and the purchasers party thereto.", "ner": [[18, 21, "Title"], [25, 28, "EffectiveDate"]], "tokenized_text": ["Private", "Placement", "means", "the", "private", "placement", "of", "common", "units", "representing", "limited", "partner", "interests", "in", "Purchaser", "pursuant", "to", "the", "Common", "Unit", "Purchase", "Agreement", "dated", "as", "of", "January", "6", ",", "2017", "by", "and", "among", "Purchaser", "and", "the", "purchasers", "party", "thereto", "."]}
{"id": "15553", "text": "(a) As of the date of this Agreement, prior to the issuance and sale of the Purchased Units, as contemplated hereby, the issued and outstanding limited partner interests of ETP consist of 530,654,971 Common Units, 8,853,382 Class E Units, 90,706,000 Class G Units, 81,001,069 Class H Units, 100 Class I Units, 0 Class J Units, 101,525,429 Class K Units , 1,912,569 Series A Cumulative Convertible Preferred Units and the Incentive Distribution Rights. The only issued and outstanding general partner interests of ETP are the interests of the General Partner described in the Partnership Agreement. All outstanding Common Units, Class E Units, Class G Units, Class H Units, Class I Units, Class K Units, Series A Preferred Units and Incentive Distribution Rights and the limited partner interests represented thereby have been duly authorized and validly issued in accordance with the Partnership Agreement and are fully paid (to the extent required under the Partnership Agreement) and nonassessable (except as such nonassessability may be affected by matters described in Sections 17-303, 17-607 and 17-804 of the Delaware Revised Uniform Limited Partnership Act ( the Delaware LP Act)).&lt; br/&gt;", "ner": [[128, 129, "Act"], [212, 217, "Regulation"], [220, 225, "Act"], [228, 230, "Act"]], "tokenized_text": ["(", "a", ")", "As", "of", "the", "date", "of", "this", "Agreement", ",", "prior", "to", "the", "issuance", "and", "sale", "of", "the", "Purchased", "Units", ",", "as", "contemplated", "hereby", ",", "the", "issued", "and", "outstanding", "limited", "partner", "interests", "of", "ETP", "consist", "of", "530", ",", "654", ",", "971", "Common", "Units", ",", "8", ",", "853", ",", "382", "Class", "E", "Units", ",", "90", ",", "706", ",", "000", "Class", "G", "Units", ",", "81", ",", "001", ",", "069", "Class", "H", "Units", ",", "100", "Class", "I", "Units", ",", "0", "Class", "J", "Units", ",", "101", ",", "525", ",", "429", "Class", "K", "Units", ",", "1", ",", "912", ",", "569", "Series", "A", "Cumulative", "Convertible", "Preferred", "Units", "and", "the", "Incentive", "Distribution", "Rights", ".", "The", "only", "issued", "and", "outstanding", "general", "partner", "interests", "of", "ETP", "are", "the", "interests", "of", "the", "General", "Partner", "described", "in", "the", "Partnership", "Agreement", ".", "All", "outstanding", "Common", "Units", ",", "Class", "E", "Units", ",", "Class", "G", "Units", ",", "Class", "H", "Units", ",", "Class", "I", "Units", ",", "Class", "K", "Units", ",", "Series", "A", "Preferred", "Units", "and", "Incentive", "Distribution", "Rights", "and", "the", "limited", "partner", "interests", "represented", "thereby", "have", "been", "duly", "authorized", "and", "validly", "issued", "in", "accordance", "with", "the", "Partnership", "Agreement", "and", "are", "fully", "paid", "(", "to", "the", "extent", "required", "under", "the", "Partnership", "Agreement", ")", "and", "nonassessable", "(", "except", "as", "such", "nonassessability", "may", "be", "affected", "by", "matters", "described", "in", "Sections", "17-303", ",", "17-607", "and", "17-804", "of", "the", "Delaware", "Revised", "Uniform", "Limited", "Partnership", "Act", "(", "the", "Delaware", "LP", "Act", ")", ")", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "15558", "text": "Section 4.07 Restricted Securities. The Purchaser understands that the Purchased Units are characterized as restricted securities under the federal securities Laws inasmuch as they are being acquired from ETP in a transaction not involving a public offering and that under such Laws such securities may be resold without registration under the Securities Act only in certain limited circumstances. In this connection, the Purchaser represents that it is knowledgeable with respect to Rule 144 under the Securities Act.&lt; br/&gt;", "ner": [[54, 55, "Act"], [76, 77, "Regulation"]], "tokenized_text": ["Section", "4", ".", "07", "Restricted", "Securities", ".", "The", "Purchaser", "understands", "that", "the", "Purchased", "Units", "are", "characterized", "as", "restricted", "securities", "under", "the", "federal", "securities", "Laws", "inasmuch", "as", "they", "are", "being", "acquired", "from", "ETP", "in", "a", "transaction", "not", "involving", "a", "public", "offering", "and", "that", "under", "such", "Laws", "such", "securities", "may", "be", "resold", "without", "registration", "under", "the", "Securities", "Act", "only", "in", "certain", "limited", "circumstances", ".", "In", "this", "connection", ",", "the", "Purchaser", "represents", "that", "it", "is", "knowledgeable", "with", "respect", "to", "Rule", "144", "under", "the", "Securities", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "15559", "text": "THIS SECURITY HAS NOT BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED, AND IS SUBJECT TO THE TERMS OF THE SECOND AMENDED AND RESTATED LIMITED PARTNERSHIP AGREEMENT, AS AMENDED, OF ENERGY TRANSFER PARTNERS, L.P. THE HOLDER OF THIS SECURITY ACKNOWLEDGES FOR THE BENEFIT OF ENERGY TRANSFER PARTNERS, L.P. THAT THIS SECURITY MAY NOT BE SOLD, OFFERED, RESOLD, PLEDGED OR OTHERWISE TRANSFERRED IF SUCH TRANSFER WOULD (A) VIOLATE THE THEN APPLICABLE FEDERAL OR STATE SECURITIES LAWS OR RULES AND REGULATIONS OF THE SECURITIES AND EXCHANGE COMMISSION, ANY STATE SECURITIES COMMISSION OR ANY OTHER GOVERNMENTAL AUTHORITY WITH JURISDICTION OVER SUCH TRANSFER, (B) TERMINATE THE EXISTENCE OR QUALIFICATION OF ENERGY TRANSFER PARTNERS, L.P. UNDER THE LAWS OF THE STATE OF DELAWARE, OR (C) CAUSE ENERGY TRANSER PARTNERS, L.P. TO BE TREATED AS AN ASSOCIATION TAXABLE AS A CORPORATION OR OTHERWISE TO BE TAXED AS AN ENTITY FOR FEDERAL INCOME TAX", "ner": [[28, 31, "Act"], [48, 50, "Title"], [56, 58, "Parties"]], "tokenized_text": ["THIS", "SECURITY", "HAS", "NOT", "BEEN", "REGISTERED", "WITH", "THE", "SECURITIES", "AND", "EXCHANGE", "COMMISSION", "OR", "THE", "SECURITIES", "COMMISSION", "OF", "ANY", "STATE", "IN", "RELIANCE", "UPON", "AN", "EXEMPTION", "FROM", "REGISTRATION", "UNDER", "THE", "SECURITIES", "ACT", "OF", "1933", ",", "AS", "AMENDED", ",", "AND", "IS", "SUBJECT", "TO", "THE", "TERMS", "OF", "THE", "SECOND", "AMENDED", "AND", "RESTATED", "LIMITED", "PARTNERSHIP", "AGREEMENT", ",", "AS", "AMENDED", ",", "OF", "ENERGY", "TRANSFER", "PARTNERS", ",", "L", ".", "P", ".", "THE", "HOLDER", "OF", "THIS", "SECURITY", "ACKNOWLEDGES", "FOR", "THE", "BENEFIT", "OF", "ENERGY", "TRANSFER", "PARTNERS", ",", "L", ".", "P", ".", "THAT", "THIS", "SECURITY", "MAY", "NOT", "BE", "SOLD", ",", "OFFERED", ",", "RESOLD", ",", "PLEDGED", "OR", "OTHERWISE", "TRANSFERRED", "IF", "SUCH", "TRANSFER", "WOULD", "(", "A", ")", "VIOLATE", "THE", "THEN", "APPLICABLE", "FEDERAL", "OR", "STATE", "SECURITIES", "LAWS", "OR", "RULES", "AND", "REGULATIONS", "OF", "THE", "SECURITIES", "AND", "EXCHANGE", "COMMISSION", ",", "ANY", "STATE", "SECURITIES", "COMMISSION", "OR", "ANY", "OTHER", "GOVERNMENTAL", "AUTHORITY", "WITH", "JURISDICTION", "OVER", "SUCH", "TRANSFER", ",", "(", "B", ")", "TERMINATE", "THE", "EXISTENCE", "OR", "QUALIFICATION", "OF", "ENERGY", "TRANSFER", "PARTNERS", ",", "L", ".", "P", ".", "UNDER", "THE", "LAWS", "OF", "THE", "STATE", "OF", "DELAWARE", ",", "OR", "(", "C", ")", "CAUSE", "ENERGY", "TRANSER", "PARTNERS", ",", "L", ".", "P", ".", "TO", "BE", "TREATED", "AS", "AN", "ASSOCIATION", "TAXABLE", "AS", "A", "CORPORATION", "OR", "OTHERWISE", "TO", "BE", "TAXED", "AS", "AN", "ENTITY", "FOR", "FEDERAL", "INCOME", "TAX"]}
{"id": "15561", "text": "(a) Binding Effect. This Agreement shall be binding upon ETP, the Purchaser, and their respective successors and permitted assigns. Except as expressly provided in this Agreement (including, without limitation, Article V), this Agreement shall not be construed so as to confer any right or benefit upon any Person other than the Parties and their respective successors and permitted assigns.", "ner": [[12, 12, "Parties"]], "tokenized_text": ["(", "a", ")", "Binding", "Effect", ".", "This", "Agreement", "shall", "be", "binding", "upon", "ETP", ",", "the", "Purchaser", ",", "and", "their", "respective", "successors", "and", "permitted", "assigns", ".", "Except", "as", "expressly", "provided", "in", "this", "Agreement", "(", "including", ",", "without", "limitation", ",", "Article", "V", ")", ",", "this", "Agreement", "shall", "not", "be", "construed", "so", "as", "to", "confer", "any", "right", "or", "benefit", "upon", "any", "Person", "other", "than", "the", "Parties", "and", "their", "respective", "successors", "and", "permitted", "assigns", "."]}
{"id": "15562", "text": "Energy Transfer Partners, L.P. 8111 Westchester Drive, Suite 600", "ner": [[8, 13, "Address"]], "tokenized_text": ["Energy", "Transfer", "Partners", ",", "L", ".", "P", ".", "8111", "Westchester", "Drive", ",", "Suite", "600"]}
{"id": "15564", "text": "8111 Westchester Drive, Suite 600", "ner": [[0, 5, "Address"]], "tokenized_text": ["8111", "Westchester", "Drive", ",", "Suite", "600"]}
{"id": "15566", "text": "Latham &amp; Watkins LLP 811 Main Street, Suite 3700 Houston, Texas 77002 Facsimile: (713) 546-5401 Attention: William N. Finnegan", "ner": [[6, 15, "Address"], [18, 21, "PII_Ref"], [24, 27, "PII_Ref"]], "tokenized_text": ["Latham", "&", "amp", ";", "Watkins", "LLP", "811", "Main", "Street", ",", "Suite", "3700", "Houston", ",", "Texas", "77002", "Facsimile", ":", "(", "713", ")", "546-5401", "Attention", ":", "William", "N", ".", "Finnegan"]}
{"id": "15568", "text": "By: Energy Transfer Partners GP, L.P.,&lt; br/&gt;", "ner": [[2, 5, "Parties"]], "tokenized_text": ["By", ":", "Energy", "Transfer", "Partners", "GP", ",", "L", ".", "P", ".", ",", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "15570", "text": "THIS REGISTRATION RIGHTS AGREEMENT (this Agreement) is made and entered into as of January 12, 2017, by and between ENERGY TRANSFER PARTNERS, L.P. , a Delaware limited partnership (ETP) and ENERGY TRANSFER EQUITY, L.P. , a Delaware limited partnership (ETE).", "ner": [[1, 3, "Title"], [15, 18, "EffectiveDate"], [23, 30, "Parties"], [40, 47, "Parties"]], "tokenized_text": ["THIS", "REGISTRATION", "RIGHTS", "AGREEMENT", "(", "this", "Agreement", ")", "is", "made", "and", "entered", "into", "as", "of", "January", "12", ",", "2017", ",", "by", "and", "between", "ENERGY", "TRANSFER", "PARTNERS", ",", "L", ".", "P", ".", ",", "a", "Delaware", "limited", "partnership", "(", "ETP", ")", "and", "ENERGY", "TRANSFER", "EQUITY", ",", "L", ".", "P", ".", ",", "a", "Delaware", "limited", "partnership", "(", "ETE", ")", "."]}
{"id": "11575", "text": "Section 2.02 Underwritten Offering. In the event that the Selling Holders holding a majority of the Common Units elect to dispose of Registrable Securities under the Shelf Registration Statement pursuant to an Underwritten Offering, ETP shall enter into an underwriting agreement in customary form with the Managing Underwriter and other underwriters, which shall include, among other provisions, indemnities to the effect and to the extent provided in Section 2.07, and shall take all such other reasonable actions as are requested by the Managing Underwriter in order to expedite or facilitate the registration and disposition of the Registrable Securities. In connection with any Underwritten Offering under this Agreement, ETP shall be entitled to select the Managing Underwriter or Underwriters, subject to the consent of ETE not to be unreasonably withheld. No Selling Holder may participate in such Underwritten Offering unless such Selling Holder agrees to sell its Registrable Securities on the basis provided in such underwriting agreement and completes and executes all questionnaires, powers of attorney, indemnities and other documents reasonably required under the terms of such underwriting agreement. Each Selling Holder may, at its option, require that any or all of the representations and warranties by, and the other agreements on the part of, ETP to and for the benefit of such underwriters also be made to and for such Selling Holders benefit and that any or all of the conditions precedent to the obligations of such underwriters under such underwriting agreement also be conditions precedent to its obligations. No Selling Holder shall be required to make any representations or warranties to or agreements with ETP other than representations, warranties or agreements regarding such Selling Holder and its ownership of the securities being registered on its behalf and its intended method of distribution and any other representation required by law. If any Selling Holder disapproves of the terms of an underwriting, such Selling Holder may elect to withdraw therefrom by notice to ETP and the Managing Underwriter; provided, however, that such withdrawal must be made up to and including the time of pricing of such offering to be effective. No such withdrawal or abandonment shall affect ETPs obligation to pay Registration Expenses.", "ner": [[43, 44, "Title"]], "tokenized_text": ["Section", "2", ".", "02", "Underwritten", "Offering", ".", "In", "the", "event", "that", "the", "Selling", "Holders", "holding", "a", "majority", "of", "the", "Common", "Units", "elect", "to", "dispose", "of", "Registrable", "Securities", "under", "the", "Shelf", "Registration", "Statement", "pursuant", "to", "an", "Underwritten", "Offering", ",", "ETP", "shall", "enter", "into", "an", "underwriting", "agreement", "in", "customary", "form", "with", "the", "Managing", "Underwriter", "and", "other", "underwriters", ",", "which", "shall", "include", ",", "among", "other", "provisions", ",", "indemnities", "to", "the", "effect", "and", "to", "the", "extent", "provided", "in", "Section", "2", ".", "07", ",", "and", "shall", "take", "all", "such", "other", "reasonable", "actions", "as", "are", "requested", "by", "the", "Managing", "Underwriter", "in", "order", "to", "expedite", "or", "facilitate", "the", "registration", "and", "disposition", "of", "the", "Registrable", "Securities", ".", "In", "connection", "with", "any", "Underwritten", "Offering", "under", "this", "Agreement", ",", "ETP", "shall", "be", "entitled", "to", "select", "the", "Managing", "Underwriter", "or", "Underwriters", ",", "subject", "to", "the", "consent", "of", "ETE", "not", "to", "be", "unreasonably", "withheld", ".", "No", "Selling", "Holder", "may", "participate", "in", "such", "Underwritten", "Offering", "unless", "such", "Selling", "Holder", "agrees", "to", "sell", "its", "Registrable", "Securities", "on", "the", "basis", "provided", "in", "such", "underwriting", "agreement", "and", "completes", "and", "executes", "all", "questionnaires", ",", "powers", "of", "attorney", ",", "indemnities", "and", "other", "documents", "reasonably", "required", "under", "the", "terms", "of", "such", "underwriting", "agreement", ".", "Each", "Selling", "Holder", "may", ",", "at", "its", "option", ",", "require", "that", "any", "or", "all", "of", "the", "representations", "and", "warranties", "by", ",", "and", "the", "other", "agreements", "on", "the", "part", "of", ",", "ETP", "to", "and", "for", "the", "benefit", "of", "such", "underwriters", "also", "be", "made", "to", "and", "for", "such", "Selling", "Holders", "benefit", "and", "that", "any", "or", "all", "of", "the", "conditions", "precedent", "to", "the", "obligations", "of", "such", "underwriters", "under", "such", "underwriting", "agreement", "also", "be", "conditions", "precedent", "to", "its", "obligations", ".", "No", "Selling", "Holder", "shall", "be", "required", "to", "make", "any", "representations", "or", "warranties", "to", "or", "agreements", "with", "ETP", "other", "than", "representations", ",", "warranties", "or", "agreements", "regarding", "such", "Selling", "Holder", "and", "its", "ownership", "of", "the", "securities", "being", "registered", "on", "its", "behalf", "and", "its", "intended", "method", "of", "distribution", "and", "any", "other", "representation", "required", "by", "law", ".", "If", "any", "Selling", "Holder", "disapproves", "of", "the", "terms", "of", "an", "underwriting", ",", "such", "Selling", "Holder", "may", "elect", "to", "withdraw", "therefrom", "by", "notice", "to", "ETP", "and", "the", "Managing", "Underwriter", ";", "provided", ",", "however", ",", "that", "such", "withdrawal", "must", "be", "made", "up", "to", "and", "including", "the", "time", "of", "pricing", "of", "such", "offering", "to", "be", "effective", ".", "No", "such", "withdrawal", "or", "abandonment", "shall", "affect", "ETPs", "obligation", "to", "pay", "Registration", "Expenses", "."]}
{"id": "12576", "text": "(i) make available to the appropriate representatives of the Managing Underwriter and Selling Holders access to such information and ETP personnel as is reasonable and customary to enable such parties to establish a due diligence defense under the Securities Act;&lt; br/&gt;", "ner": [[40, 41, "Act"]], "tokenized_text": ["(", "i", ")", "make", "available", "to", "the", "appropriate", "representatives", "of", "the", "Managing", "Underwriter", "and", "Selling", "Holders", "access", "to", "such", "information", "and", "ETP", "personnel", "as", "is", "reasonable", "and", "customary", "to", "enable", "such", "parties", "to", "establish", "a", "due", "diligence", "defense", "under", "the", "Securities", "Act", ";", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "15577", "text": "Section 2.04 Cooperation by Holders. ETP shall have no obligation to include in the Shelf Registration Statement Common Units of a Holder who has failed to timely furnish such information which, in the opinion of counsel to ETP, is reasonably required in order for the Shelf Registration Statement or any prospectus or prospectus supplement thereto, as applicable, to comply with the Securities Act.&lt; br/&gt;", "ner": [[68, 69, "Act"]], "tokenized_text": ["Section", "2", ".", "04", "Cooperation", "by", "Holders", ".", "ETP", "shall", "have", "no", "obligation", "to", "include", "in", "the", "Shelf", "Registration", "Statement", "Common", "Units", "of", "a", "Holder", "who", "has", "failed", "to", "timely", "furnish", "such", "information", "which", ",", "in", "the", "opinion", "of", "counsel", "to", "ETP", ",", "is", "reasonably", "required", "in", "order", "for", "the", "Shelf", "Registration", "Statement", "or", "any", "prospectus", "or", "prospectus", "supplement", "thereto", ",", "as", "applicable", ",", "to", "comply", "with", "the", "Securities", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "11578", "text": "Energy Transfer Equity, L.P. 8111 Westchester Drive, Suite 600", "ner": [[8, 13, "Address"]], "tokenized_text": ["Energy", "Transfer", "Equity", ",", "L", ".", "P", ".", "8111", "Westchester", "Drive", ",", "Suite", "600"]}
{"id": "15579", "text": "Section 3.08 Governing Law. This Agreement will be construed in accordance with and governed by the laws of the State of Delaware without regard to principles of conflicts of laws.", "ner": [[22, 24, "Court"]], "tokenized_text": ["Section", "3", ".", "08", "Governing", "Law", ".", "This", "Agreement", "will", "be", "construed", "in", "accordance", "with", "and", "governed", "by", "the", "laws", "of", "the", "State", "of", "Delaware", "without", "regard", "to", "principles", "of", "conflicts", "of", "laws", "."]}
{"id": "15582", "text": "{W5670291.3} 2 1.3 Defined Terms Used in this Agreement. In addition to the terms defined above and throughout this Agreement, the following terms used in this Agreement shall be construed to have the meanings set forth or referenced below. (a) Affiliate means, with respect to a specified Person, any other Person, whether now in existence or hereafter created, directly or indirectly controlling, controlled by or under direct or indirect common control with such specified Person. For purposes of this definition, control (including, with correlative meanings, controlling, controlled by and under common control with) means the power to direct or cause the direction of the management and policies of such Person, directly or indirectly, whether through the ownership of voting securities, by contract or otherwise. (b) Asset Purchase Agreement has the meaning set forth in the recitals to this Agreement. (c) Business Day means any day except Saturday, Sunday or any other day on which commercial banks located in the State of New York are authorized or required by Law to be closed for business. (d) Buyer has the meaning set forth in the recitals to this Agreement. (e) Closing has the meaning set forth in Section 1.2. (f) Commission means the United States Securities and Exchange Commission. (g) Common Units has the meaning set forth in the recitals to this Agreement. (h) Confidential Information means any confidential information provided to the Investor regarding the Parent and its Affiliates or any fact relating to discussions or negotiations with the Parent in connection with the Transaction Documents. (i) Credit Facility means that certain Credit Agreement dated December 9, 2014 among Sprague Operating Resources LLC, the several lenders parties thereto, and JPMorgan Chase Bank, N.A., as administrative agent, as amended, restated and/or supplemented from time to time. (j) Damages means any loss, damage, claim or liability (joint or several) to which a party hereto may become subject under the Securities Act, the Exchange Act, or other federal or state law, insofar as such loss, damage, claim or liability (or any action in respect thereof) arises out of or is based upon: (i) any untrue statement or alleged untrue statement of a material fact contained in any registration statement of the Parent, including any preliminary prospectus or final prospectus contained therein or any amendments or supplements thereto; (ii) an omission or alleged omission to state therein a material fact required to be stated therein, or necessary to make the statements therein not misleading; or (iii) any violation or", "ner": [[154, 156, "Title"], [192, 195, "Court"], [314, 315, "Title"], [317, 320, "EffectiveDate"], [322, 325, "Parties"], [334, 341, "Parties"], [388, 389, "Act"], [392, 393, "Act"]], "tokenized_text": ["{", "W5670291", ".", "3", "}", "2", "1", ".", "3", "Defined", "Terms", "Used", "in", "this", "Agreement", ".", "In", "addition", "to", "the", "terms", "defined", "above", "and", "throughout", "this", "Agreement", ",", "the", "following", "terms", "used", "in", "this", "Agreement", "shall", "be", "construed", "to", "have", "the", "meanings", "set", "forth", "or", "referenced", "below", ".", "(", "a", ")", "Affiliate", "means", ",", "with", "respect", "to", "a", "specified", "Person", ",", "any", "other", "Person", ",", "whether", "now", "in", "existence", "or", "hereafter", "created", ",", "directly", "or", "indirectly", "controlling", ",", "controlled", "by", "or", "under", "direct", "or", "indirect", "common", "control", "with", "such", "specified", "Person", ".", "For", "purposes", "of", "this", "definition", ",", "control", "(", "including", ",", "with", "correlative", "meanings", ",", "controlling", ",", "controlled", "by", "and", "under", "common", "control", "with", ")", "means", "the", "power", "to", "direct", "or", "cause", "the", "direction", "of", "the", "management", "and", "policies", "of", "such", "Person", ",", "directly", "or", "indirectly", ",", "whether", "through", "the", "ownership", "of", "voting", "securities", ",", "by", "contract", "or", "otherwise", ".", "(", "b", ")", "Asset", "Purchase", "Agreement", "has", "the", "meaning", "set", "forth", "in", "the", "recitals", "to", "this", "Agreement", ".", "(", "c", ")", "Business", "Day", "means", "any", "day", "except", "Saturday", ",", "Sunday", "or", "any", "other", "day", "on", "which", "commercial", "banks", "located", "in", "the", "State", "of", "New", "York", "are", "authorized", "or", "required", "by", "Law", "to", "be", "closed", "for", "business", ".", "(", "d", ")", "Buyer", "has", "the", "meaning", "set", "forth", "in", "the", "recitals", "to", "this", "Agreement", ".", "(", "e", ")", "Closing", "has", "the", "meaning", "set", "forth", "in", "Section", "1", ".", "2", ".", "(", "f", ")", "Commission", "means", "the", "United", "States", "Securities", "and", "Exchange", "Commission", ".", "(", "g", ")", "Common", "Units", "has", "the", "meaning", "set", "forth", "in", "the", "recitals", "to", "this", "Agreement", ".", "(", "h", ")", "Confidential", "Information", "means", "any", "confidential", "information", "provided", "to", "the", "Investor", "regarding", "the", "Parent", "and", "its", "Affiliates", "or", "any", "fact", "relating", "to", "discussions", "or", "negotiations", "with", "the", "Parent", "in", "connection", "with", "the", "Transaction", "Documents", ".", "(", "i", ")", "Credit", "Facility", "means", "that", "certain", "Credit", "Agreement", "dated", "December", "9", ",", "2014", "among", "Sprague", "Operating", "Resources", "LLC", ",", "the", "several", "lenders", "parties", "thereto", ",", "and", "JPMorgan", "Chase", "Bank", ",", "N", ".", "A", ".", ",", "as", "administrative", "agent", ",", "as", "amended", ",", "restated", "and", "/", "or", "supplemented", "from", "time", "to", "time", ".", "(", "j", ")", "Damages", "means", "any", "loss", ",", "damage", ",", "claim", "or", "liability", "(", "joint", "or", "several", ")", "to", "which", "a", "party", "hereto", "may", "become", "subject", "under", "the", "Securities", "Act", ",", "the", "Exchange", "Act", ",", "or", "other", "federal", "or", "state", "law", ",", "insofar", "as", "such", "loss", ",", "damage", ",", "claim", "or", "liability", "(", "or", "any", "action", "in", "respect", "thereof", ")", "arises", "out", "of", "or", "is", "based", "upon", ":", "(", "i", ")", "any", "untrue", "statement", "or", "alleged", "untrue", "statement", "of", "a", "material", "fact", "contained", "in", "any", "registration", "statement", "of", "the", "Parent", ",", "including", "any", "preliminary", "prospectus", "or", "final", "prospectus", "contained", "therein", "or", "any", "amendments", "or", "supplements", "thereto", ";", "(", "ii", ")", "an", "omission", "or", "alleged", "omission", "to", "state", "therein", "a", "material", "fact", "required", "to", "be", "stated", "therein", ",", "or", "necessary", "to", "make", "the", "statements", "therein", "not", "misleading", ";", "or", "(", "iii", ")", "any", "violation", "or"]}
{"id": "15583", "text": "{W5670291.3} 3 alleged violation by the indemnifying party (or any of its agents or Affiliates) of the Securities Act, the Exchange Act, any state securities law, or any rule or regulation promulgated under the Securities Act, the Exchange Act, or any state securities law. (k) Delaware LP Act means the Delaware Revised Uniform Limited Partnership Act. ( l) Exchange Act means the Securities Exchange Act of 1934 , as amended from time to time, and the rules and regulations of the Commission promulgated thereunder. (m) Excluded Registration means (i) a registration relating to the sale of securities to employees of the Parent or an Affiliate pursuant to an equity option, purchase, or similar plan; (ii) a registration relating to an SEC Rule 145 transaction; (iii) a registration on any form that does not include substantially the same information as would be required to be included in a registration statement covering the sale of the Registrable Securities; or (iv) a registration in which the only Common Units being registered are Common Units issuable upon conversion of debt securities that are also being registered. (n) GAAP has the meaning set forth in Section 2.8. (o) General Partner means Sprague Resources GP LLC, a Delaware limited liability company. (p) Governmental Authority means, with respect to a particular Person, any country, state, county, city and political subdivision in which such Person or such Persons Property is located or which exercises valid jurisdiction over any such Person or such Persons Property, and any court, agency, department, commission, board, bureau or instrumentality of any of them (including the Internal Revenue Service and any foreign, state or local tax authorities) and any monetary authority that exercises valid jurisdiction over any such Person or such Persons Property. (q) Investor has the meaning set forth in the introductory paragraph to this Agreement. (r) Knowledge, including the phrase to the knowledge of the Parent, or similar phrases, shall mean the actual knowledge of David Glendon and Gary Rinaldi. (s) Law means any applicable federal, state, local or foreign order, writ, injunction, judgment, settlement, award, decree, statute, law, rule, rule of common law or regulation promulgated by a Governmental Authority. (t) Lien means any interest in Property securing an obligation owed to, or a claim by, a Person other than the owner of the Property, whether such interest is based on the common law, statute or contract, and whether such obligation or claim is fixed or contingent, and including, the lien or security interest arising from a mortgage, encumbrance, pledge,", "ner": [[23, 24, "Act"], [27, 28, "Act"], [59, 61, "Act"], [78, 82, "Act"], [147, 149, "Regulation"], [319, 321, "Court"]], "tokenized_text": ["{", "W5670291", ".", "3", "}", "3", "alleged", "violation", "by", "the", "indemnifying", "party", "(", "or", "any", "of", "its", "agents", "or", "Affiliates", ")", "of", "the", "Securities", "Act", ",", "the", "Exchange", "Act", ",", "any", "state", "securities", "law", ",", "or", "any", "rule", "or", "regulation", "promulgated", "under", "the", "Securities", "Act", ",", "the", "Exchange", "Act", ",", "or", "any", "state", "securities", "law", ".", "(", "k", ")", "Delaware", "LP", "Act", "means", "the", "Delaware", "Revised", "Uniform", "Limited", "Partnership", "Act", ".", "(", "l", ")", "Exchange", "Act", "means", "the", "Securities", "Exchange", "Act", "of", "1934", ",", "as", "amended", "from", "time", "to", "time", ",", "and", "the", "rules", "and", "regulations", "of", "the", "Commission", "promulgated", "thereunder", ".", "(", "m", ")", "Excluded", "Registration", "means", "(", "i", ")", "a", "registration", "relating", "to", "the", "sale", "of", "securities", "to", "employees", "of", "the", "Parent", "or", "an", "Affiliate", "pursuant", "to", "an", "equity", "option", ",", "purchase", ",", "or", "similar", "plan", ";", "(", "ii", ")", "a", "registration", "relating", "to", "an", "SEC", "Rule", "145", "transaction", ";", "(", "iii", ")", "a", "registration", "on", "any", "form", "that", "does", "not", "include", "substantially", "the", "same", "information", "as", "would", "be", "required", "to", "be", "included", "in", "a", "registration", "statement", "covering", "the", "sale", "of", "the", "Registrable", "Securities", ";", "or", "(", "iv", ")", "a", "registration", "in", "which", "the", "only", "Common", "Units", "being", "registered", "are", "Common", "Units", "issuable", "upon", "conversion", "of", "debt", "securities", "that", "are", "also", "being", "registered", ".", "(", "n", ")", "GAAP", "has", "the", "meaning", "set", "forth", "in", "Section", "2", ".", "8", ".", "(", "o", ")", "General", "Partner", "means", "Sprague", "Resources", "GP", "LLC", ",", "a", "Delaware", "limited", "liability", "company", ".", "(", "p", ")", "Governmental", "Authority", "means", ",", "with", "respect", "to", "a", "particular", "Person", ",", "any", "country", ",", "state", ",", "county", ",", "city", "and", "political", "subdivision", "in", "which", "such", "Person", "or", "such", "Persons", "Property", "is", "located", "or", "which", "exercises", "valid", "jurisdiction", "over", "any", "such", "Person", "or", "such", "Persons", "Property", ",", "and", "any", "court", ",", "agency", ",", "department", ",", "commission", ",", "board", ",", "bureau", "or", "instrumentality", "of", "any", "of", "them", "(", "including", "the", "Internal", "Revenue", "Service", "and", "any", "foreign", ",", "state", "or", "local", "tax", "authorities", ")", "and", "any", "monetary", "authority", "that", "exercises", "valid", "jurisdiction", "over", "any", "such", "Person", "or", "such", "Persons", "Property", ".", "(", "q", ")", "Investor", "has", "the", "meaning", "set", "forth", "in", "the", "introductory", "paragraph", "to", "this", "Agreement", ".", "(", "r", ")", "Knowledge", ",", "including", "the", "phrase", "to", "the", "knowledge", "of", "the", "Parent", ",", "or", "similar", "phrases", ",", "shall", "mean", "the", "actual", "knowledge", "of", "David", "Glendon", "and", "Gary", "Rinaldi", ".", "(", "s", ")", "Law", "means", "any", "applicable", "federal", ",", "state", ",", "local", "or", "foreign", "order", ",", "writ", ",", "injunction", ",", "judgment", ",", "settlement", ",", "award", ",", "decree", ",", "statute", ",", "law", ",", "rule", ",", "rule", "of", "common", "law", "or", "regulation", "promulgated", "by", "a", "Governmental", "Authority", ".", "(", "t", ")", "Lien", "means", "any", "interest", "in", "Property", "securing", "an", "obligation", "owed", "to", ",", "or", "a", "claim", "by", ",", "a", "Person", "other", "than", "the", "owner", "of", "the", "Property", ",", "whether", "such", "interest", "is", "based", "on", "the", "common", "law", ",", "statute", "or", "contract", ",", "and", "whether", "such", "obligation", "or", "claim", "is", "fixed", "or", "contingent", ",", "and", "including", ",", "the", "lien", "or", "security", "interest", "arising", "from", "a", "mortgage", ",", "encumbrance", ",", "pledge", ","]}
{"id": "15585", "text": "{W5670291.3} 5 than 50% of the outstanding voting equity is directly or indirectly owned or controlled by such Person or one or more Subsidiaries of such Person. (ii) Transaction Documents means this Agreement and the Asset Purchase Agreement. (jj) Units has the meaning set forth in the recitals to this Agreement. 2\\. Representations and Warranties of the Parent. The Parent hereby represents and warrants to the Investor that, except as set forth in the SEC Reports, which exceptions shall be deemed to be part of the representations and warranties made hereunder, the following representations are true and complete as of the date hereof and as of the date of the Closing, except as otherwise indicated. The Disclosure Schedule shall be arranged in sections corresponding to the numbered and lettered sections and subsections contained in this Section 2, and the disclosures in any section or subsection of the Disclosure Schedule shall qualify other sections and subsections in this Section 2 to the extent it is readily apparent from a reading of the disclosure that such disclosure is applicable to such other sections and subsections. 2.1 Organization and Qualification. The Parent and each of the Subsidiaries is an entity duly incorporated or otherwise organized, validly existing and in good standing under the laws of the jurisdiction of its incorporation or organization, with the requisite power and authority to own and use its properties and assets and to carry on its business as currently conducted. Neither the Parent nor any Subsidiary is in violation or default of any of the provisions of its respective certificate or articles of incorporation, bylaws or other organizational or charter documents. Each of the Parent and the Subsidiaries is duly qualified to conduct business and is in good standing as a foreign corporation or other entity in each jurisdiction in which the nature of the business conducted or property owned by it makes such qualification necessary, except where the failure to be so qualified or in good standing, as the case may be, would not reasonably be expected to result in: (i) a material adverse effect on the legality, validity or enforceability of any Transaction Document, (ii) a material adverse effect on the results of operations, assets, business or financial condition of the Parent and the Subsidiaries, taken as a whole, or (iii) a material adverse effect on the Parents ability to perform in any material respect on a timely basis its obligations under any Transaction Document (any of (i), (ii) or (iii), a Material Adverse Effect). 2.2 Authorization; Enforcement. The Parent has the requisite limited partnership power and authority to enter into and to consummate the transactions contemplated by the Transaction Documents and otherwise to carry out its obligations hereunder and thereunder, as applicable. The execution and delivery of this Agreement and the other Transaction Documents by the Parent and the consummation by it of the transactions contemplated hereby and thereby have been duly authorized by all necessary action on the part of the Parent and no further action is required by the Parent, the General Partner or the holders of the Parents Common Units in connection herewith or therewith other than in connection with the Required Approvals. This Agreement and each other Transaction Document to which it is a party has been (or upon delivery will have been) duly executed by the Parent and, when delivered in accordance with the terms hereof and thereof, will constitute the valid and binding obligation", "ner": [[7, 8, "Percentage"], [43, 45, "Title"]], "tokenized_text": ["{", "W5670291", ".", "3", "}", "5", "than", "50", "%", "of", "the", "outstanding", "voting", "equity", "is", "directly", "or", "indirectly", "owned", "or", "controlled", "by", "such", "Person", "or", "one", "or", "more", "Subsidiaries", "of", "such", "Person", ".", "(", "ii", ")", "Transaction", "Documents", "means", "this", "Agreement", "and", "the", "Asset", "Purchase", "Agreement", ".", "(", "jj", ")", "Units", "has", "the", "meaning", "set", "forth", "in", "the", "recitals", "to", "this", "Agreement", ".", "2", "\\", ".", "Representations", "and", "Warranties", "of", "the", "Parent", ".", "The", "Parent", "hereby", "represents", "and", "warrants", "to", "the", "Investor", "that", ",", "except", "as", "set", "forth", "in", "the", "SEC", "Reports", ",", "which", "exceptions", "shall", "be", "deemed", "to", "be", "part", "of", "the", "representations", "and", "warranties", "made", "hereunder", ",", "the", "following", "representations", "are", "true", "and", "complete", "as", "of", "the", "date", "hereof", "and", "as", "of", "the", "date", "of", "the", "Closing", ",", "except", "as", "otherwise", "indicated", ".", "The", "Disclosure", "Schedule", "shall", "be", "arranged", "in", "sections", "corresponding", "to", "the", "numbered", "and", "lettered", "sections", "and", "subsections", "contained", "in", "this", "Section", "2", ",", "and", "the", "disclosures", "in", "any", "section", "or", "subsection", "of", "the", "Disclosure", "Schedule", "shall", "qualify", "other", "sections", "and", "subsections", "in", "this", "Section", "2", "to", "the", "extent", "it", "is", "readily", "apparent", "from", "a", "reading", "of", "the", "disclosure", "that", "such", "disclosure", "is", "applicable", "to", "such", "other", "sections", "and", "subsections", ".", "2", ".", "1", "Organization", "and", "Qualification", ".", "The", "Parent", "and", "each", "of", "the", "Subsidiaries", "is", "an", "entity", "duly", "incorporated", "or", "otherwise", "organized", ",", "validly", "existing", "and", "in", "good", "standing", "under", "the", "laws", "of", "the", "jurisdiction", "of", "its", "incorporation", "or", "organization", ",", "with", "the", "requisite", "power", "and", "authority", "to", "own", "and", "use", "its", "properties", "and", "assets", "and", "to", "carry", "on", "its", "business", "as", "currently", "conducted", ".", "Neither", "the", "Parent", "nor", "any", "Subsidiary", "is", "in", "violation", "or", "default", "of", "any", "of", "the", "provisions", "of", "its", "respective", "certificate", "or", "articles", "of", "incorporation", ",", "bylaws", "or", "other", "organizational", "or", "charter", "documents", ".", "Each", "of", "the", "Parent", "and", "the", "Subsidiaries", "is", "duly", "qualified", "to", "conduct", "business", "and", "is", "in", "good", "standing", "as", "a", "foreign", "corporation", "or", "other", "entity", "in", "each", "jurisdiction", "in", "which", "the", "nature", "of", "the", "business", "conducted", "or", "property", "owned", "by", "it", "makes", "such", "qualification", "necessary", ",", "except", "where", "the", "failure", "to", "be", "so", "qualified", "or", "in", "good", "standing", ",", "as", "the", "case", "may", "be", ",", "would", "not", "reasonably", "be", "expected", "to", "result", "in", ":", "(", "i", ")", "a", "material", "adverse", "effect", "on", "the", "legality", ",", "validity", "or", "enforceability", "of", "any", "Transaction", "Document", ",", "(", "ii", ")", "a", "material", "adverse", "effect", "on", "the", "results", "of", "operations", ",", "assets", ",", "business", "or", "financial", "condition", "of", "the", "Parent", "and", "the", "Subsidiaries", ",", "taken", "as", "a", "whole", ",", "or", "(", "iii", ")", "a", "material", "adverse", "effect", "on", "the", "Parents", "ability", "to", "perform", "in", "any", "material", "respect", "on", "a", "timely", "basis", "its", "obligations", "under", "any", "Transaction", "Document", "(", "any", "of", "(", "i", ")", ",", "(", "ii", ")", "or", "(", "iii", ")", ",", "a", "Material", "Adverse", "Effect", ")", ".", "2", ".", "2", "Authorization", ";", "Enforcement", ".", "The", "Parent", "has", "the", "requisite", "limited", "partnership", "power", "and", "authority", "to", "enter", "into", "and", "to", "consummate", "the", "transactions", "contemplated", "by", "the", "Transaction", "Documents", "and", "otherwise", "to", "carry", "out", "its", "obligations", "hereunder", "and", "thereunder", ",", "as", "applicable", ".", "The", "execution", "and", "delivery", "of", "this", "Agreement", "and", "the", "other", "Transaction", "Documents", "by", "the", "Parent", "and", "the", "consummation", "by", "it", "of", "the", "transactions", "contemplated", "hereby", "and", "thereby", "have", "been", "duly", "authorized", "by", "all", "necessary", "action", "on", "the", "part", "of", "the", "Parent", "and", "no", "further", "action", "is", "required", "by", "the", "Parent", ",", "the", "General", "Partner", "or", "the", "holders", "of", "the", "Parents", "Common", "Units", "in", "connection", "herewith", "or", "therewith", "other", "than", "in", "connection", "with", "the", "Required", "Approvals", ".", "This", "Agreement", "and", "each", "other", "Transaction", "Document", "to", "which", "it", "is", "a", "party", "has", "been", "(", "or", "upon", "delivery", "will", "have", "been", ")", "duly", "executed", "by", "the", "Parent", "and", ",", "when", "delivered", "in", "accordance", "with", "the", "terms", "hereof", "and", "thereof", ",", "will", "constitute", "the", "valid", "and", "binding", "obligation"]}
{"id": "15586", "text": "{W5670291.3} 6 of the Parent enforceable against the Parent in accordance with its terms, except (i) as limited by general equitable principles and applicable bankruptcy, insolvency, reorganization, moratorium and other laws of general application affecting enforcement of creditors rights generally, (ii) as limited by laws relating to the availability of specific performance, injunctive relief or other equitable remedies and (iii) insofar as indemnification and contribution provisions may be limited by applicable law or public policy. 2.3 No Conflicts. The execution, delivery and performance by the Parent of this Agreement, the issuance and sale of the Units and the consummation by it of the transactions contemplated hereby do not and will not (i) conflict with or violate any provision of the Parents or any Subsidiarys certificate or articles of incorporation, bylaws or other organizational or charter documents, or (ii) conflict with, or constitute a default (or an event that with notice or lapse of time or both would become a default) under, result in the creation of any Lien upon any of the properties or assets of the Parent or any Subsidiary, or give to others any rights of termination, amendment, acceleration or cancellation (with or without notice, lapse of time or both) of, any agreement, credit facility, debt or other instrument (evidencing a Parent or Subsidiary debt or otherwise) or other understanding to which the Parent or any Subsidiary is a party or by which any property or asset of the Parent or any Subsidiary is bound or affected and which is filed as an exhibit to the Parents Annual Report on Form 10-K for the year ended December 31, 2015 or Quarterly Reports on Form 10-Q for the quarters ended March 31, 2016, June 30 , 2016 or September 30, 2016 (a Material Agreement), or (iii) subject to the Required Approvals, conflict with or result in a violation of any law, rule, regulation, order, judgment, injunction, decree or other restriction of any court or governmental authority to which the Parent or a Subsidiary is subject (including federal and state securities laws and regulations), or by which any property or asset of the Parent or a Subsidiary is bound or affected; except in the case of each of clauses (ii) and (iii), such as would not reasonably be expected to result in a Material Adverse Effect. 2.4 Filings, Consents and Approvals. The Parent is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Parent of this Agreement, other than: (i) any approvals required by the Commission in connection with any registration statement filed in connection with the registration rights granted hereunder, (ii) any approvals required by the New York Stock Exchange with respect to the issuance and sale of the Units or the listing of the Units thereon, and (iii) the filing of Form D with the Commission (if the Parent elects to rely on Rule 506 of Regulation D under the Securities Act) and such filings as are required to be made under applicable state securities laws (collectively, the Required Approvals). 2.5 Issuance of the Units. The Units and the limited partner interests represented thereby will be, at the Closing, duly authorized by Parent in accordance with the Partnership Agreement and, when issued by the Parent and paid for in accordance with this Agreement, will be duly and validly issued, fully paid (to the extent required under the Partnership Agreement), non- assessable (except as such non-assessability may be affected by matters described in Sections 17-303, 17-607 and 17-804 of the Delaware LP Act), and will be", "ner": [[325, 328, "EffectiveDate"], [330, 333, "EffectiveDate"], [335, 338, "EffectiveDate"], [341, 342, "Title"], [562, 565, "Court"], [604, 605, "Regulation"], [607, 608, "Regulation"], [611, 612, "Act"], [668, 669, "Title"], [721, 726, "Regulation"], [729, 731, "Act"]], "tokenized_text": ["{", "W5670291", ".", "3", "}", "6", "of", "the", "Parent", "enforceable", "against", "the", "Parent", "in", "accordance", "with", "its", "terms", ",", "except", "(", "i", ")", "as", "limited", "by", "general", "equitable", "principles", "and", "applicable", "bankruptcy", ",", "insolvency", ",", "reorganization", ",", "moratorium", "and", "other", "laws", "of", "general", "application", "affecting", "enforcement", "of", "creditors", "rights", "generally", ",", "(", "ii", ")", "as", "limited", "by", "laws", "relating", "to", "the", "availability", "of", "specific", "performance", ",", "injunctive", "relief", "or", "other", "equitable", "remedies", "and", "(", "iii", ")", "insofar", "as", "indemnification", "and", "contribution", "provisions", "may", "be", "limited", "by", "applicable", "law", "or", "public", "policy", ".", "2", ".", "3", "No", "Conflicts", ".", "The", "execution", ",", "delivery", "and", "performance", "by", "the", "Parent", "of", "this", "Agreement", ",", "the", "issuance", "and", "sale", "of", "the", "Units", "and", "the", "consummation", "by", "it", "of", "the", "transactions", "contemplated", "hereby", "do", "not", "and", "will", "not", "(", "i", ")", "conflict", "with", "or", "violate", "any", "provision", "of", "the", "Parents", "or", "any", "Subsidiarys", "certificate", "or", "articles", "of", "incorporation", ",", "bylaws", "or", "other", "organizational", "or", "charter", "documents", ",", "or", "(", "ii", ")", "conflict", "with", ",", "or", "constitute", "a", "default", "(", "or", "an", "event", "that", "with", "notice", "or", "lapse", "of", "time", "or", "both", "would", "become", "a", "default", ")", "under", ",", "result", "in", "the", "creation", "of", "any", "Lien", "upon", "any", "of", "the", "properties", "or", "assets", "of", "the", "Parent", "or", "any", "Subsidiary", ",", "or", "give", "to", "others", "any", "rights", "of", "termination", ",", "amendment", ",", "acceleration", "or", "cancellation", "(", "with", "or", "without", "notice", ",", "lapse", "of", "time", "or", "both", ")", "of", ",", "any", "agreement", ",", "credit", "facility", ",", "debt", "or", "other", "instrument", "(", "evidencing", "a", "Parent", "or", "Subsidiary", "debt", "or", "otherwise", ")", "or", "other", "understanding", "to", "which", "the", "Parent", "or", "any", "Subsidiary", "is", "a", "party", "or", "by", "which", "any", "property", "or", "asset", "of", "the", "Parent", "or", "any", "Subsidiary", "is", "bound", "or", "affected", "and", "which", "is", "filed", "as", "an", "exhibit", "to", "the", "Parents", "Annual", "Report", "on", "Form", "10-K", "for", "the", "year", "ended", "December", "31", ",", "2015", "or", "Quarterly", "Reports", "on", "Form", "10-Q", "for", "the", "quarters", "ended", "March", "31", ",", "2016", ",", "June", "30", ",", "2016", "or", "September", "30", ",", "2016", "(", "a", "Material", "Agreement", ")", ",", "or", "(", "iii", ")", "subject", "to", "the", "Required", "Approvals", ",", "conflict", "with", "or", "result", "in", "a", "violation", "of", "any", "law", ",", "rule", ",", "regulation", ",", "order", ",", "judgment", ",", "injunction", ",", "decree", "or", "other", "restriction", "of", "any", "court", "or", "governmental", "authority", "to", "which", "the", "Parent", "or", "a", "Subsidiary", "is", "subject", "(", "including", "federal", "and", "state", "securities", "laws", "and", "regulations", ")", ",", "or", "by", "which", "any", "property", "or", "asset", "of", "the", "Parent", "or", "a", "Subsidiary", "is", "bound", "or", "affected", ";", "except", "in", "the", "case", "of", "each", "of", "clauses", "(", "ii", ")", "and", "(", "iii", ")", ",", "such", "as", "would", "not", "reasonably", "be", "expected", "to", "result", "in", "a", "Material", "Adverse", "Effect", ".", "2", ".", "4", "Filings", ",", "Consents", "and", "Approvals", ".", "The", "Parent", "is", "not", "required", "to", "obtain", "any", "consent", ",", "waiver", ",", "authorization", "or", "order", "of", ",", "give", "any", "notice", "to", ",", "or", "make", "any", "filing", "or", "registration", "with", ",", "any", "court", "or", "other", "federal", ",", "state", ",", "local", "or", "other", "governmental", "authority", "or", "other", "Person", "in", "connection", "with", "the", "execution", ",", "delivery", "and", "performance", "by", "the", "Parent", "of", "this", "Agreement", ",", "other", "than", ":", "(", "i", ")", "any", "approvals", "required", "by", "the", "Commission", "in", "connection", "with", "any", "registration", "statement", "filed", "in", "connection", "with", "the", "registration", "rights", "granted", "hereunder", ",", "(", "ii", ")", "any", "approvals", "required", "by", "the", "New", "York", "Stock", "Exchange", "with", "respect", "to", "the", "issuance", "and", "sale", "of", "the", "Units", "or", "the", "listing", "of", "the", "Units", "thereon", ",", "and", "(", "iii", ")", "the", "filing", "of", "Form", "D", "with", "the", "Commission", "(", "if", "the", "Parent", "elects", "to", "rely", "on", "Rule", "506", "of", "Regulation", "D", "under", "the", "Securities", "Act", ")", "and", "such", "filings", "as", "are", "required", "to", "be", "made", "under", "applicable", "state", "securities", "laws", "(", "collectively", ",", "the", "Required", "Approvals", ")", ".", "2", ".", "5", "Issuance", "of", "the", "Units", ".", "The", "Units", "and", "the", "limited", "partner", "interests", "represented", "thereby", "will", "be", ",", "at", "the", "Closing", ",", "duly", "authorized", "by", "Parent", "in", "accordance", "with", "the", "Partnership", "Agreement", "and", ",", "when", "issued", "by", "the", "Parent", "and", "paid", "for", "in", "accordance", "with", "this", "Agreement", ",", "will", "be", "duly", "and", "validly", "issued", ",", "fully", "paid", "(", "to", "the", "extent", "required", "under", "the", "Partnership", "Agreement", ")", ",", "non", "-", "assessable", "(", "except", "as", "such", "non-assessability", "may", "be", "affected", "by", "matters", "described", "in", "Sections", "17-303", ",", "17-607", "and", "17-804", "of", "the", "Delaware", "LP", "Act", ")", ",", "and", "will", "be"]}
{"id": "15588", "text": "{W5670291.3} 9 2.14 Investment Company. The Parent is not, and is not an Affiliate of, and immediately after the issuance of the Units, will not be or be an Affiliate of, an investment company within the meaning of the Investment Company Act of 1940 , as amended. 2.15 Listing and Maintenance Requirements. The Parents Common Units are registered pursuant to Section 12(b) or 12(g) of the Exchange Act, and the Parent has taken no action designed to, or which to its knowledge is likely to have the effect of, terminating the registration of such units under the Exchange Act nor has the Parent received any notification that the Commission is contemplating terminating such registration. The Parent has not, in the 12 months preceding the date hereof, received notice from the NYSE to the effect that the Parent is not in compliance with the listing or maintenance requirements thereof. The Parent is, and has no reason to believe that it will not in the foreseeable future continue to be, in compliance with all such listing and maintenance requirements. The Units are currently eligible for electronic transfer through the American Stock Transfer &amp; Trust Company and the Parent is current in payment of fees thereto in connection with such electronic transfer. 3\\. Representations and Warranties of the Investor. The Investor hereby represents and warrants as of the date hereof and as of the Closing to the Parent as follows (unless such representation or warranty is as of a date otherwise specified): 3.1 Organization; Authority. The Investor is an entity duly incorporated, validly existing and in good standing under the laws of the jurisdiction of its incorporation with full right, corporate power and authority to enter into and to consummate the transactions contemplated by this Agreement and otherwise to carry out its obligations hereunder. The execution and delivery of this Agreement and performance by the Investor of the transactions contemplated hereby have been duly authorized by all necessary corporate action on the part of the Investor. This Agreement has been duly executed by the Investor, and when delivered by the Investor in accordance with the terms hereof, will constitute the valid and legally binding obligation of the Investor, enforceable against it in accordance with its terms, except: (i) as limited by general equitable principles and applicable bankruptcy, insolvency, reorganization, moratorium and other laws of general application affecting enforcement of creditors rights generally, (ii) as limited by laws relating to the availability of specific performance, injunctive relief or other equitable remedies and (iii) insofar as indemnification and contribution provisions may be limited by applicable law. 3.2 No Conflicts. The execution, delivery and performance by the Investor of this Agreement, the issuance and sale of the Units and the consummation by it of the transactions contemplated hereby do not and will not (i) conflict with or violate any provision of the Investors certificate or articles of incorporation, bylaws or other organizational or charter documents, or (ii) conflict with, or constitute a default (or an event that with notice or lapse of time or both would become a default) under, result in the creation of any Lien upon any of the properties or assets of the Investor, or give to others any rights of termination, amendment, acceleration or cancellation (with or without notice, lapse of time or both) of, any agreement, credit facility, debt or other instrument (evidencing an Investor debt or otherwise) or other", "ner": [[50, 54, "Act"], [75, 84, "Regulation"], [87, 88, "Act"], [381, 382, "Title"]], "tokenized_text": ["{", "W5670291", ".", "3", "}", "9", "2", ".", "14", "Investment", "Company", ".", "The", "Parent", "is", "not", ",", "and", "is", "not", "an", "Affiliate", "of", ",", "and", "immediately", "after", "the", "issuance", "of", "the", "Units", ",", "will", "not", "be", "or", "be", "an", "Affiliate", "of", ",", "an", "investment", "company", "within", "the", "meaning", "of", "the", "Investment", "Company", "Act", "of", "1940", ",", "as", "amended", ".", "2", ".", "15", "Listing", "and", "Maintenance", "Requirements", ".", "The", "Parents", "Common", "Units", "are", "registered", "pursuant", "to", "Section", "12", "(", "b", ")", "or", "12", "(", "g", ")", "of", "the", "Exchange", "Act", ",", "and", "the", "Parent", "has", "taken", "no", "action", "designed", "to", ",", "or", "which", "to", "its", "knowledge", "is", "likely", "to", "have", "the", "effect", "of", ",", "terminating", "the", "registration", "of", "such", "units", "under", "the", "Exchange", "Act", "nor", "has", "the", "Parent", "received", "any", "notification", "that", "the", "Commission", "is", "contemplating", "terminating", "such", "registration", ".", "The", "Parent", "has", "not", ",", "in", "the", "12", "months", "preceding", "the", "date", "hereof", ",", "received", "notice", "from", "the", "NYSE", "to", "the", "effect", "that", "the", "Parent", "is", "not", "in", "compliance", "with", "the", "listing", "or", "maintenance", "requirements", "thereof", ".", "The", "Parent", "is", ",", "and", "has", "no", "reason", "to", "believe", "that", "it", "will", "not", "in", "the", "foreseeable", "future", "continue", "to", "be", ",", "in", "compliance", "with", "all", "such", "listing", "and", "maintenance", "requirements", ".", "The", "Units", "are", "currently", "eligible", "for", "electronic", "transfer", "through", "the", "American", "Stock", "Transfer", "&", "amp", ";", "Trust", "Company", "and", "the", "Parent", "is", "current", "in", "payment", "of", "fees", "thereto", "in", "connection", "with", "such", "electronic", "transfer", ".", "3", "\\", ".", "Representations", "and", "Warranties", "of", "the", "Investor", ".", "The", "Investor", "hereby", "represents", "and", "warrants", "as", "of", "the", "date", "hereof", "and", "as", "of", "the", "Closing", "to", "the", "Parent", "as", "follows", "(", "unless", "such", "representation", "or", "warranty", "is", "as", "of", "a", "date", "otherwise", "specified", ")", ":", "3", ".", "1", "Organization", ";", "Authority", ".", "The", "Investor", "is", "an", "entity", "duly", "incorporated", ",", "validly", "existing", "and", "in", "good", "standing", "under", "the", "laws", "of", "the", "jurisdiction", "of", "its", "incorporation", "with", "full", "right", ",", "corporate", "power", "and", "authority", "to", "enter", "into", "and", "to", "consummate", "the", "transactions", "contemplated", "by", "this", "Agreement", "and", "otherwise", "to", "carry", "out", "its", "obligations", "hereunder", ".", "The", "execution", "and", "delivery", "of", "this", "Agreement", "and", "performance", "by", "the", "Investor", "of", "the", "transactions", "contemplated", "hereby", "have", "been", "duly", "authorized", "by", "all", "necessary", "corporate", "action", "on", "the", "part", "of", "the", "Investor", ".", "This", "Agreement", "has", "been", "duly", "executed", "by", "the", "Investor", ",", "and", "when", "delivered", "by", "the", "Investor", "in", "accordance", "with", "the", "terms", "hereof", ",", "will", "constitute", "the", "valid", "and", "legally", "binding", "obligation", "of", "the", "Investor", ",", "enforceable", "against", "it", "in", "accordance", "with", "its", "terms", ",", "except", ":", "(", "i", ")", "as", "limited", "by", "general", "equitable", "principles", "and", "applicable", "bankruptcy", ",", "insolvency", ",", "reorganization", ",", "moratorium", "and", "other", "laws", "of", "general", "application", "affecting", "enforcement", "of", "creditors", "rights", "generally", ",", "(", "ii", ")", "as", "limited", "by", "laws", "relating", "to", "the", "availability", "of", "specific", "performance", ",", "injunctive", "relief", "or", "other", "equitable", "remedies", "and", "(", "iii", ")", "insofar", "as", "indemnification", "and", "contribution", "provisions", "may", "be", "limited", "by", "applicable", "law", ".", "3", ".", "2", "No", "Conflicts", ".", "The", "execution", ",", "delivery", "and", "performance", "by", "the", "Investor", "of", "this", "Agreement", ",", "the", "issuance", "and", "sale", "of", "the", "Units", "and", "the", "consummation", "by", "it", "of", "the", "transactions", "contemplated", "hereby", "do", "not", "and", "will", "not", "(", "i", ")", "conflict", "with", "or", "violate", "any", "provision", "of", "the", "Investors", "certificate", "or", "articles", "of", "incorporation", ",", "bylaws", "or", "other", "organizational", "or", "charter", "documents", ",", "or", "(", "ii", ")", "conflict", "with", ",", "or", "constitute", "a", "default", "(", "or", "an", "event", "that", "with", "notice", "or", "lapse", "of", "time", "or", "both", "would", "become", "a", "default", ")", "under", ",", "result", "in", "the", "creation", "of", "any", "Lien", "upon", "any", "of", "the", "properties", "or", "assets", "of", "the", "Investor", ",", "or", "give", "to", "others", "any", "rights", "of", "termination", ",", "amendment", ",", "acceleration", "or", "cancellation", "(", "with", "or", "without", "notice", ",", "lapse", "of", "time", "or", "both", ")", "of", ",", "any", "agreement", ",", "credit", "facility", ",", "debt", "or", "other", "instrument", "(", "evidencing", "an", "Investor", "debt", "or", "otherwise", ")", "or", "other"]}
{"id": "15589", "text": "{W5670291.3} 10 understanding to which the Investor is a party or by which any property or asset of the Investor is bound or affected, or (iii) subject to the Required Approvals, conflict with or result in a violation of any law, rule, regulation, order, judgment, injunction, decree or other restriction of any court or governmental authority to which the Investor is subject (including federal and state securities laws and regulations), or by which any property or asset of the Investor is bound or affected; except in the case of each of clauses (ii) and (iii), such as would not reasonably be expected to result in a Material Adverse Effect. 3.3 Understandings or Arrangements. The Investor understands that the Units are restricted securities and have not been registered under the Securities Act or any applicable state securities law and is acquiring the Units as principal for its own account and not with a view to or for distributing or reselling such Units or any part thereof in violation of the Securities Act or any applicable state securities law, has no present intention of distributing any of such Units in violation of the Securities Act or any applicable state securities law and has no direct or indirect arrangement or understandings with any other persons to distribute or regarding the distribution of such Units in violation of the Securities Act or any applicable state securities law (this representation and warranty not limiting the Investors right to sell the Units pursuant to an effective registration statement or otherwise in compliance with applicable federal and state securities laws). 3.4 Unregistered Securities. (a) Accredited Investor Status; Sophisticated Investor. The Investor is an accredited investor within the meaning of Rule 501 under the Securities Act and is able to bear the risk of its investment in the Units. The Investor has such knowledge and experience in financial and business matters that it is capable of evaluating the merits and risks of the purchase of the Units. (b) Information. The Investor has been furnished with materials relating to the business, finances and operations of the Parent and its Subsidiaries and relating to the offer and sale of the Units that have been requested by the Investor. The Investor has been afforded the opportunity to ask questions of the Parent and its Subsidiaries. The Investor understands and acknowledges that its purchase of the Units involves a high degree of risk and uncertainty. The Investor has sought such accounting, legal and tax advice as it has considered necessary to make an informed investment decision with respect to its investment in the Units. (c) Investor Representation. The Investor is purchasing the Units for its own account and not with a view to distribution in violation of any securities Laws. The Investor has been advised and understands and acknowledges that none of the Units have been registered under the Securities Act or under the blue sky Laws of any jurisdiction and may, subject to the provisions hereof, be resold only if registered pursuant to the provisions of the Securities Act ( or if eligible, pursuant to the provisions of Rule 144 promulgated under the Securities Act or pursuant to another available exemption from the registration requirements of the Securities Act). The Investor has been advised of and is", "ner": [[156, 157, "Act"], [320, 321, "Regulation"], [573, 574, "Regulation"]], "tokenized_text": ["{", "W5670291", ".", "3", "}", "10", "understanding", "to", "which", "the", "Investor", "is", "a", "party", "or", "by", "which", "any", "property", "or", "asset", "of", "the", "Investor", "is", "bound", "or", "affected", ",", "or", "(", "iii", ")", "subject", "to", "the", "Required", "Approvals", ",", "conflict", "with", "or", "result", "in", "a", "violation", "of", "any", "law", ",", "rule", ",", "regulation", ",", "order", ",", "judgment", ",", "injunction", ",", "decree", "or", "other", "restriction", "of", "any", "court", "or", "governmental", "authority", "to", "which", "the", "Investor", "is", "subject", "(", "including", "federal", "and", "state", "securities", "laws", "and", "regulations", ")", ",", "or", "by", "which", "any", "property", "or", "asset", "of", "the", "Investor", "is", "bound", "or", "affected", ";", "except", "in", "the", "case", "of", "each", "of", "clauses", "(", "ii", ")", "and", "(", "iii", ")", ",", "such", "as", "would", "not", "reasonably", "be", "expected", "to", "result", "in", "a", "Material", "Adverse", "Effect", ".", "3", ".", "3", "Understandings", "or", "Arrangements", ".", "The", "Investor", "understands", "that", "the", "Units", "are", "restricted", "securities", "and", "have", "not", "been", "registered", "under", "the", "Securities", "Act", "or", "any", "applicable", "state", "securities", "law", "and", "is", "acquiring", "the", "Units", "as", "principal", "for", "its", "own", "account", "and", "not", "with", "a", "view", "to", "or", "for", "distributing", "or", "reselling", "such", "Units", "or", "any", "part", "thereof", "in", "violation", "of", "the", "Securities", "Act", "or", "any", "applicable", "state", "securities", "law", ",", "has", "no", "present", "intention", "of", "distributing", "any", "of", "such", "Units", "in", "violation", "of", "the", "Securities", "Act", "or", "any", "applicable", "state", "securities", "law", "and", "has", "no", "direct", "or", "indirect", "arrangement", "or", "understandings", "with", "any", "other", "persons", "to", "distribute", "or", "regarding", "the", "distribution", "of", "such", "Units", "in", "violation", "of", "the", "Securities", "Act", "or", "any", "applicable", "state", "securities", "law", "(", "this", "representation", "and", "warranty", "not", "limiting", "the", "Investors", "right", "to", "sell", "the", "Units", "pursuant", "to", "an", "effective", "registration", "statement", "or", "otherwise", "in", "compliance", "with", "applicable", "federal", "and", "state", "securities", "laws", ")", ".", "3", ".", "4", "Unregistered", "Securities", ".", "(", "a", ")", "Accredited", "Investor", "Status", ";", "Sophisticated", "Investor", ".", "The", "Investor", "is", "an", "accredited", "investor", "within", "the", "meaning", "of", "Rule", "501", "under", "the", "Securities", "Act", "and", "is", "able", "to", "bear", "the", "risk", "of", "its", "investment", "in", "the", "Units", ".", "The", "Investor", "has", "such", "knowledge", "and", "experience", "in", "financial", "and", "business", "matters", "that", "it", "is", "capable", "of", "evaluating", "the", "merits", "and", "risks", "of", "the", "purchase", "of", "the", "Units", ".", "(", "b", ")", "Information", ".", "The", "Investor", "has", "been", "furnished", "with", "materials", "relating", "to", "the", "business", ",", "finances", "and", "operations", "of", "the", "Parent", "and", "its", "Subsidiaries", "and", "relating", "to", "the", "offer", "and", "sale", "of", "the", "Units", "that", "have", "been", "requested", "by", "the", "Investor", ".", "The", "Investor", "has", "been", "afforded", "the", "opportunity", "to", "ask", "questions", "of", "the", "Parent", "and", "its", "Subsidiaries", ".", "The", "Investor", "understands", "and", "acknowledges", "that", "its", "purchase", "of", "the", "Units", "involves", "a", "high", "degree", "of", "risk", "and", "uncertainty", ".", "The", "Investor", "has", "sought", "such", "accounting", ",", "legal", "and", "tax", "advice", "as", "it", "has", "considered", "necessary", "to", "make", "an", "informed", "investment", "decision", "with", "respect", "to", "its", "investment", "in", "the", "Units", ".", "(", "c", ")", "Investor", "Representation", ".", "The", "Investor", "is", "purchasing", "the", "Units", "for", "its", "own", "account", "and", "not", "with", "a", "view", "to", "distribution", "in", "violation", "of", "any", "securities", "Laws", ".", "The", "Investor", "has", "been", "advised", "and", "understands", "and", "acknowledges", "that", "none", "of", "the", "Units", "have", "been", "registered", "under", "the", "Securities", "Act", "or", "under", "the", "blue", "sky", "Laws", "of", "any", "jurisdiction", "and", "may", ",", "subject", "to", "the", "provisions", "hereof", ",", "be", "resold", "only", "if", "registered", "pursuant", "to", "the", "provisions", "of", "the", "Securities", "Act", "(", "or", "if", "eligible", ",", "pursuant", "to", "the", "provisions", "of", "Rule", "144", "promulgated", "under", "the", "Securities", "Act", "or", "pursuant", "to", "another", "available", "exemption", "from", "the", "registration", "requirements", "of", "the", "Securities", "Act", ")", ".", "The", "Investor", "has", "been", "advised", "of", "and", "is"]}
{"id": "10591", "text": "{W5670291.3} 13 (c) Obligations of the Parent. In connection with its obligations under this Section 4.2, the Parent shall: (i) prepare and file with the Commission the registration statements with respect to the Registrable Securities in accordance with the terms of this Agreement and use its commercially reasonable efforts to cause such registration statements to become effective and keep such registration statements effective until the distribution contemplated in such registration statements has been completed and as may be necessary to comply with the provisions of the Securities Act with respect to the disposition of the securities covered by such registration statements; (ii) prepare and file with the Commission such amendments and supplements to such registration statements, and the prospectus used in connection with such registration statements, as may be necessary to comply with the Securities Act in order to enable the disposition of all securities covered by such registration statement; (iii) furnish to the Investor such numbers of copies of a prospectus, including a preliminary prospectus, as required by the Securities Act, and such other documents as the Investor may reasonably request in order to facilitate its disposition of its Registrable Securities; (iv) use its commercially reasonable efforts to register and qualify the securities covered by such registration statements under such other securities or blue-sky laws of such jurisdictions as shall be reasonably requested by the Investor; provided that the Parent shall not be required to qualify to do business or to file a general consent to service of process in any such states or jurisdictions, unless the Parent is already subject to service in such jurisdiction and except as may be required by the Securities Act; ( v) in the event of any underwritten public offering, enter into and perform its obligations under an underwriting agreement, in usual and customary form, with the underwriter(s) of such offering; (vi) use its commercially reasonable efforts to cause all such Registrable Securities covered by such registration statements to be listed on a national securities exchange or trading system and each securities exchange and trading system (if any) on which similar securities issued by the Parent are then listed; (vii) provide a transfer agent and registrar for all Registrable Securities registered pursuant to this Agreement and provide a CUSIP number for all such Registrable Securities, in each case not later than the effective date of such registration;", "ner": [[99, 100, "Act"], [327, 328, "Title"], [420, 421, "PII_Ref"]], "tokenized_text": ["{", "W5670291", ".", "3", "}", "13", "(", "c", ")", "Obligations", "of", "the", "Parent", ".", "In", "connection", "with", "its", "obligations", "under", "this", "Section", "4", ".", "2", ",", "the", "Parent", "shall", ":", "(", "i", ")", "prepare", "and", "file", "with", "the", "Commission", "the", "registration", "statements", "with", "respect", "to", "the", "Registrable", "Securities", "in", "accordance", "with", "the", "terms", "of", "this", "Agreement", "and", "use", "its", "commercially", "reasonable", "efforts", "to", "cause", "such", "registration", "statements", "to", "become", "effective", "and", "keep", "such", "registration", "statements", "effective", "until", "the", "distribution", "contemplated", "in", "such", "registration", "statements", "has", "been", "completed", "and", "as", "may", "be", "necessary", "to", "comply", "with", "the", "provisions", "of", "the", "Securities", "Act", "with", "respect", "to", "the", "disposition", "of", "the", "securities", "covered", "by", "such", "registration", "statements", ";", "(", "ii", ")", "prepare", "and", "file", "with", "the", "Commission", "such", "amendments", "and", "supplements", "to", "such", "registration", "statements", ",", "and", "the", "prospectus", "used", "in", "connection", "with", "such", "registration", "statements", ",", "as", "may", "be", "necessary", "to", "comply", "with", "the", "Securities", "Act", "in", "order", "to", "enable", "the", "disposition", "of", "all", "securities", "covered", "by", "such", "registration", "statement", ";", "(", "iii", ")", "furnish", "to", "the", "Investor", "such", "numbers", "of", "copies", "of", "a", "prospectus", ",", "including", "a", "preliminary", "prospectus", ",", "as", "required", "by", "the", "Securities", "Act", ",", "and", "such", "other", "documents", "as", "the", "Investor", "may", "reasonably", "request", "in", "order", "to", "facilitate", "its", "disposition", "of", "its", "Registrable", "Securities", ";", "(", "iv", ")", "use", "its", "commercially", "reasonable", "efforts", "to", "register", "and", "qualify", "the", "securities", "covered", "by", "such", "registration", "statements", "under", "such", "other", "securities", "or", "blue-sky", "laws", "of", "such", "jurisdictions", "as", "shall", "be", "reasonably", "requested", "by", "the", "Investor", ";", "provided", "that", "the", "Parent", "shall", "not", "be", "required", "to", "qualify", "to", "do", "business", "or", "to", "file", "a", "general", "consent", "to", "service", "of", "process", "in", "any", "such", "states", "or", "jurisdictions", ",", "unless", "the", "Parent", "is", "already", "subject", "to", "service", "in", "such", "jurisdiction", "and", "except", "as", "may", "be", "required", "by", "the", "Securities", "Act", ";", "(", "v", ")", "in", "the", "event", "of", "any", "underwritten", "public", "offering", ",", "enter", "into", "and", "perform", "its", "obligations", "under", "an", "underwriting", "agreement", ",", "in", "usual", "and", "customary", "form", ",", "with", "the", "underwriter", "(", "s", ")", "of", "such", "offering", ";", "(", "vi", ")", "use", "its", "commercially", "reasonable", "efforts", "to", "cause", "all", "such", "Registrable", "Securities", "covered", "by", "such", "registration", "statements", "to", "be", "listed", "on", "a", "national", "securities", "exchange", "or", "trading", "system", "and", "each", "securities", "exchange", "and", "trading", "system", "(", "if", "any", ")", "on", "which", "similar", "securities", "issued", "by", "the", "Parent", "are", "then", "listed", ";", "(", "vii", ")", "provide", "a", "transfer", "agent", "and", "registrar", "for", "all", "Registrable", "Securities", "registered", "pursuant", "to", "this", "Agreement", "and", "provide", "a", "CUSIP", "number", "for", "all", "such", "Registrable", "Securities", ",", "in", "each", "case", "not", "later", "than", "the", "effective", "date", "of", "such", "registration", ";"]}
{"id": "15603", "text": "[Signature Pageto Indemnification Agreement ]", "ner": [[3, 4, "Title"]], "tokenized_text": ["[", "Signature", "Pageto", "Indemnification", "Agreement", "]"]}
{"id": "15605", "text": "THIS INDEMNIFICATION AGREEMENT (the Agreement) is made and entered into as of ____________________, 20___ between Funko, Inc. , a Delaware corporation (the Company), and _______________________________ (Indemnitee).", "ner": [[1, 2, "Title"], [18, 21, "Parties"]], "tokenized_text": ["THIS", "INDEMNIFICATION", "AGREEMENT", "(", "the", "Agreement", ")", "is", "made", "and", "entered", "into", "as", "of", "____________________", ",", "20___", "between", "Funko", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "the", "Company", ")", ",", "and", "_______________________________", "(", "Indemnitee", ")", "."]}
{"id": "15611", "text": "THIS SETTLEMENT AND RELEASE AGREEMENT (this Agreement), dated as of February20, 2017 (Effective Date), is made and entered into by and among Yahoo! Inc. , a Delaware corporation (Seller), Yahoo Holdings Inc. , a Delaware corporation (the Company), and Verizon Communications Inc., a Delaware corporation (Purchaser). Capitalized terms used but not otherwise defined herein have the meanings set forth in Section1 below.", "ner": [[3, 4, "Title"], [13, 15, "EffectiveDate"], [29, 32, "Parties"], [41, 44, "Parties"], [55, 58, "Parties"]], "tokenized_text": ["THIS", "SETTLEMENT", "AND", "RELEASE", "AGREEMENT", "(", "this", "Agreement", ")", ",", "dated", "as", "of", "February20", ",", "2017", "(", "Effective", "Date", ")", ",", "is", "made", "and", "entered", "into", "by", "and", "among", "Yahoo", "!", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "Seller", ")", ",", "Yahoo", "Holdings", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "the", "Company", ")", ",", "and", "Verizon", "Communications", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "Purchaser", ")", ".", "Capitalized", "terms", "used", "but", "not", "otherwise", "defined", "herein", "have", "the", "meanings", "set", "forth", "in", "Section1", "below", "."]}
{"id": "15614", "text": "Facsimile: (650) 493-6811 Attn: | | Larry Sonsini Email: | | LSonsini@wsgr.com", "ner": [[2, 5, "PII_Ref"], [10, 11, "PII_Ref"], [16, 20, "PII_Ref"]], "tokenized_text": ["Facsimile", ":", "(", "650", ")", "493-6811", "Attn", ":", "|", "|", "Larry", "Sonsini", "Email", ":", "|", "|", "LSonsini", "@", "wsgr", ".", "com"]}
{"id": "15616", "text": "Basking Ridge, NJ 07920", "ner": [[0, 4, "Address"]], "tokenized_text": ["Basking", "Ridge", ",", "NJ", "07920"]}
{"id": "15617", "text": "Facsimile: 908-766-3818 Attn: | | William L. Horton, Jr., Senior Vice President, Deputy General | | Counsel and Corporate Secretary | | Michael Rosenblat, Vice President, Associate General Counsel Email: | |", "ner": [[2, 2, "PII_Ref"], [7, 13, "Role"], [15, 17, "Role"], [29, 30, "Role"]], "tokenized_text": ["Facsimile", ":", "908-766-3818", "Attn", ":", "|", "|", "William", "L", ".", "Horton", ",", "Jr", ".", ",", "Senior", "Vice", "President", ",", "Deputy", "General", "|", "|", "Counsel", "and", "Corporate", "Secretary", "|", "|", "Michael", "Rosenblat", ",", "Vice", "President", ",", "Associate", "General", "Counsel", "Email", ":", "|", "|"]}
{"id": "15619", "text": "EX-10.5 5 bfdi_ex105.htm SUBLEASE AGREEMENT BETWEEN GLOBAL PUBLIC SAFETY, LLC AND BREKFORD CORP.", "ner": [[7, 8, "Title"], [10, 14, "Parties"], [16, 17, "Parties"]], "tokenized_text": ["EX-10", ".", "5", "5", "bfdi_ex105", ".", "htm", "SUBLEASE", "AGREEMENT", "BETWEEN", "GLOBAL", "PUBLIC", "SAFETY", ",", "LLC", "AND", "BREKFORD", "CORP", "."]}
{"id": "15622", "text": "THIS SUBLEASE (\"Sublease\") is made as of the 28th day of February 2017 , by and between Global Public Safety, LLC a Delaware limited liability company (Landlord) and B rekford Corp. , a Delaware corporation (\"Tenant\").", "ner": [[12, 16, "EffectiveDate"], [21, 25, "Parties"], [35, 38, "Parties"]], "tokenized_text": ["THIS", "SUBLEASE", "(", "\"", "Sublease", "\"", ")", "is", "made", "as", "of", "the", "28th", "day", "of", "February", "2017", ",", "by", "and", "between", "Global", "Public", "Safety", ",", "LLC", "a", "Delaware", "limited", "liability", "company", "(", "Landlord", ")", "and", "B", "rekford", "Corp", ".", ",", "a", "Delaware", "corporation", "(", "\"", "Tenant", "\"", ")", "."]}
{"id": "15624", "text": "Rent shall be paid to the Landlord at 7020 Dorsey Road, Suite C, Hanover, MD 21076, or to such address as Landlord may from time to time notify Tenant, without prior demand, and without abatement, deduction, or set-off except as set forth in this Sublease.", "ner": [[8, 18, "Address"]], "tokenized_text": ["Rent", "shall", "be", "paid", "to", "the", "Landlord", "at", "7020", "Dorsey", "Road", ",", "Suite", "C", ",", "Hanover", ",", "MD", "21076", ",", "or", "to", "such", "address", "as", "Landlord", "may", "from", "time", "to", "time", "notify", "Tenant", ",", "without", "prior", "demand", ",", "and", "without", "abatement", ",", "deduction", ",", "or", "set-off", "except", "as", "set", "forth", "in", "this", "Sublease", "."]}
{"id": "15625", "text": "To Landlord: Global Public Safety, LLC , 7020 Dorsey Road, Suite C, Hanover, Maryland <sup> 21076, or at such other address as Landlord may furnish to Tenant for this purpose.", "ner": [], "tokenized_text": ["To", "Landlord", ":", "Global", "Public", "Safety", ",", "LLC", ",", "7020", "Dorsey", "Road", ",", "Suite", "C", ",", "Hanover", ",", "Maryland", "<", "sup", ">", "21076", ",", "or", "at", "such", "other", "address", "as", "Landlord", "may", "furnish", "to", "Tenant", "for", "this", "purpose", "."]}
{"id": "15628", "text": "EX-10.1 4 fs12017ex10i_forgeinnovation.htm CONSULTING AGREEMENT DATED NOV. 5, 2016, BETWEEN THE COMPANY AND SPEEDLIGHT CONSULTING SERVICES INC", "ner": [[7, 8, "Title"], [10, 14, "EffectiveDate"], [20, 23, "Parties"]], "tokenized_text": ["EX-10", ".", "1", "4", "fs12017ex10i_forgeinnovation", ".", "htm", "CONSULTING", "AGREEMENT", "DATED", "NOV", ".", "5", ",", "2016", ",", "BETWEEN", "THE", "COMPANY", "AND", "SPEEDLIGHT", "CONSULTING", "SERVICES", "INC"]}
{"id": "15629", "text": "THIS CONSULTING AGREEMENT (this Agreement) is made and entered into as of 11/05/2016 (the Effective Date), by and between Forge Innovation Development Corp. (the Company) and Speedlight Consulting Services Inc. (the Consultant). The parties (collectively, the Parties) hereto hereby agree as follows:", "ner": [[1, 2, "Title"], [14, 18, "EffectiveDate"], [28, 32, "Parties"], [38, 42, "Parties"]], "tokenized_text": ["THIS", "CONSULTING", "AGREEMENT", "(", "this", "Agreement", ")", "is", "made", "and", "entered", "into", "as", "of", "11", "/", "05", "/", "2016", "(", "the", "Effective", "Date", ")", ",", "by", "and", "between", "Forge", "Innovation", "Development", "Corp", ".", "(", "the", "Company", ")", "and", "Speedlight", "Consulting", "Services", "Inc", ".", "(", "the", "Consultant", ")", ".", "The", "parties", "(", "collectively", ",", "the", "Parties", ")", "hereto", "hereby", "agree", "as", "follows", ":"]}
{"id": "12630", "text": "| -| Coordinate with Legal Counse l, Transfer Agent, Broker Dealer/Market Maker and OTC market to finish the process of quoted for the Company (OTCQB) ---|---|--- | -| Coordinate with Accounting (for financial statement consolidation, MD&amp;A and footnotes), Auditing firm and Legal Counse l to review/compose the financials, footnotes and MD&amp;A for quarterly, annually, S-1 and 8K filings | -| Assessments, interviews and other inquiries to properly ascertain areas where financial practices can be improved | -| Training, mentoring and other guidance to enhance the effectiveness and efficiency of Company personnel in the area of financial management.", "ner": [], "tokenized_text": ["|", "-", "|", "Coordinate", "with", "Legal", "Counse", "l", ",", "Transfer", "Agent", ",", "Broker", "Dealer", "/", "Market", "Maker", "and", "OTC", "market", "to", "finish", "the", "process", "of", "quoted", "for", "the", "Company", "(", "OTCQB", ")", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "|", "Coordinate", "with", "Accounting", "(", "for", "financial", "statement", "consolidation", ",", "MD", "&", "amp", ";", "A", "and", "footnotes", ")", ",", "Auditing", "firm", "and", "Legal", "Counse", "l", "to", "review", "/", "compose", "the", "financials", ",", "footnotes", "and", "MD", "&", "amp", ";", "A", "for", "quarterly", ",", "annually", ",", "S-1", "and", "8K", "filings", "|", "-", "|", "Assessments", ",", "interviews", "and", "other", "inquiries", "to", "properly", "ascertain", "areas", "where", "financial", "practices", "can", "be", "improved", "|", "-", "|", "Training", ",", "mentoring", "and", "other", "guidance", "to", "enhance", "the", "effectiveness", "and", "efficiency", "of", "Company", "personnel", "in", "the", "area", "of", "financial", "management", "."]}
{"id": "15631", "text": "This Agreement will commence on the effective date set forth and continue for a period of Ten months from the effective date. The Company may at its option agree to renew, extend and revise this Agreement prior to its expiration. However, if the quoted process cannot be finished within ten-month period, the Company and the Consultant agree the services to be continued as follows:", "ner": [[16, 17, "TerminationDate"]], "tokenized_text": ["This", "Agreement", "will", "commence", "on", "the", "effective", "date", "set", "forth", "and", "continue", "for", "a", "period", "of", "Ten", "months", "from", "the", "effective", "date", ".", "The", "Company", "may", "at", "its", "option", "agree", "to", "renew", ",", "extend", "and", "revise", "this", "Agreement", "prior", "to", "its", "expiration", ".", "However", ",", "if", "the", "quoted", "process", "cannot", "be", "finished", "within", "ten-month", "period", ",", "the", "Company", "and", "the", "Consultant", "agree", "the", "services", "to", "be", "continued", "as", "follows", ":"]}
{"id": "15632", "text": "1). If the delay was caused by the Company without any reasonable ground, the Consultant shall have the right to choose to continue or terminate the services at any time. If the service was terminated, all the unpaid compensation ( 3,000,000 shares of Companys rule 144 restricted stock) shall be issued to the Consultant immediately. However, if the Consultant agrees to continue the services, additional fees may be charged from the Company for service performed.", "ner": [[45, 49, "Shares"], [53, 54, "Regulation"]], "tokenized_text": ["1", ")", ".", "If", "the", "delay", "was", "caused", "by", "the", "Company", "without", "any", "reasonable", "ground", ",", "the", "Consultant", "shall", "have", "the", "right", "to", "choose", "to", "continue", "or", "terminate", "the", "services", "at", "any", "time", ".", "If", "the", "service", "was", "terminated", ",", "all", "the", "unpaid", "compensation", "(", "3", ",", "000", ",", "000", "shares", "of", "Companys", "rule", "144", "restricted", "stock", ")", "shall", "be", "issued", "to", "the", "Consultant", "immediately", ".", "However", ",", "if", "the", "Consultant", "agrees", "to", "continue", "the", "services", ",", "additional", "fees", "may", "be", "charged", "from", "the", "Company", "for", "service", "performed", "."]}
{"id": "10634", "text": "The Company agrees to pay the Consultant 3,000,000 shares of the Companys Rule 144 Restricted Stock for the consulting service compensation of the contract period. However, the Consultants compensation WILL NOT include the fees of the Company to retain the services of Legal Counsel, Transfer Agent, Broker Dealer/Market Maker, OTC market, Accounting and Auditing firms for the purposes of quoted on the OTC market (OTCQB).", "ner": [[7, 11, "Shares"], [16, 19, "Regulation"]], "tokenized_text": ["The", "Company", "agrees", "to", "pay", "the", "Consultant", "3", ",", "000", ",", "000", "shares", "of", "the", "Companys", "Rule", "144", "Restricted", "Stock", "for", "the", "consulting", "service", "compensation", "of", "the", "contract", "period", ".", "However", ",", "the", "Consultants", "compensation", "WILL", "NOT", "include", "the", "fees", "of", "the", "Company", "to", "retain", "the", "services", "of", "Legal", "Counsel", ",", "Transfer", "Agent", ",", "Broker", "Dealer", "/", "Market", "Maker", ",", "OTC", "market", ",", "Accounting", "and", "Auditing", "firms", "for", "the", "purposes", "of", "quoted", "on", "the", "OTC", "market", "(", "OTCQB", ")", "."]}
{"id": "15636", "text": "Forge Innovation Development Corp.", "ner": [], "tokenized_text": ["Forge", "Innovation", "Development", "Corp", "."]}
{"id": "15637", "text": "17700 Castleton Street, Suite 469", "ner": [[0, 5, "Address"]], "tokenized_text": ["17700", "Castleton", "Street", ",", "Suite", "469"]}
{"id": "15639", "text": "Address: 1108 W Valley Blvd. Suite 6-10, Alhambra CA 91803", "ner": [[2, 12, "Address"]], "tokenized_text": ["Address", ":", "1108", "W", "Valley", "Blvd", ".", "Suite", "6-10", ",", "Alhambra", "CA", "91803"]}
{"id": "15641", "text": "(h)Arbitration. Any controversy between or among the Parties involving any claim arising out of or relating to this Agreement or the other Agreements or documents contemplated herein shall be finally settled by arbitration in Los Angeles County, California, in accordance with the then current Commercial Arbitration Rules of the American Arbitration Association, and judgment upon the award rendered by the arbitrator(s) may be entered in any court having jurisdiction thereof. The arbitrator shall have the power to issue any award, judgment, decree or order of relief that a court of law or equity could issue under such applicable law and any such award, judgment, decree or order of relief shall be in compliance with California law.", "ner": [[38, 42, "Court"], [50, 52, "Regulation"]], "tokenized_text": ["(", "h", ")", "Arbitration", ".", "Any", "controversy", "between", "or", "among", "the", "Parties", "involving", "any", "claim", "arising", "out", "of", "or", "relating", "to", "this", "Agreement", "or", "the", "other", "Agreements", "or", "documents", "contemplated", "herein", "shall", "be", "finally", "settled", "by", "arbitration", "in", "Los", "Angeles", "County", ",", "California", ",", "in", "accordance", "with", "the", "then", "current", "Commercial", "Arbitration", "Rules", "of", "the", "American", "Arbitration", "Association", ",", "and", "judgment", "upon", "the", "award", "rendered", "by", "the", "arbitrator", "(", "s", ")", "may", "be", "entered", "in", "any", "court", "having", "jurisdiction", "thereof", ".", "The", "arbitrator", "shall", "have", "the", "power", "to", "issue", "any", "award", ",", "judgment", ",", "decree", "or", "order", "of", "relief", "that", "a", "court", "of", "law", "or", "equity", "could", "issue", "under", "such", "applicable", "law", "and", "any", "such", "award", ",", "judgment", ",", "decree", "or", "order", "of", "relief", "shall", "be", "in", "compliance", "with", "California", "law", "."]}
{"id": "15645", "text": "This Consulting/Advisory Board Agreement (the Agreement) is entered into effective as of [May 1st], 2017 (the Effective Date) by and between Dr. James Mul located at [ 10441 University Center Drive, Tampa, FL 33612] (the Consultant) and Stony Hill Corp. , a Nevada corporation (Stony Hill and together with the Consultant, the Parties).", "ner": [[1, 5, "Title"], [16, 21, "EffectiveDate"], [30, 33, "Parties"], [36, 46, "Address"], [52, 55, "Parties"]], "tokenized_text": ["This", "Consulting", "/", "Advisory", "Board", "Agreement", "(", "the", "Agreement", ")", "is", "entered", "into", "effective", "as", "of", "[", "May", "1st", "]", ",", "2017", "(", "the", "Effective", "Date", ")", "by", "and", "between", "Dr", ".", "James", "Mul", "located", "at", "[", "10441", "University", "Center", "Drive", ",", "Tampa", ",", "FL", "33612", "]", "(", "the", "Consultant", ")", "and", "Stony", "Hill", "Corp", ".", ",", "a", "Nevada", "corporation", "(", "Stony", "Hill", "and", "together", "with", "the", "Consultant", ",", "the", "Parties", ")", "."]}
{"id": "15647", "text": "(a) Term; Termination. The Consultants performance of Services shall commence on the Effective Date and shall continue thereafter for three (3) years , unless sooner terminated as provided herein (the Term). Stony Hill or the Consultant may terminate this Agreement at any time upon providing the other party written notice of such termination at least ten (10) business days prior to the termination date.", "ner": [[23, 27, "TerminationDate"]], "tokenized_text": ["(", "a", ")", "Term", ";", "Termination", ".", "The", "Consultants", "performance", "of", "Services", "shall", "commence", "on", "the", "Effective", "Date", "and", "shall", "continue", "thereafter", "for", "three", "(", "3", ")", "years", ",", "unless", "sooner", "terminated", "as", "provided", "herein", "(", "the", "Term", ")", ".", "Stony", "Hill", "or", "the", "Consultant", "may", "terminate", "this", "Agreement", "at", "any", "time", "upon", "providing", "the", "other", "party", "written", "notice", "of", "such", "termination", "at", "least", "ten", "(", "10", ")", "business", "days", "prior", "to", "the", "termination", "date", "."]}
{"id": "15648", "text": "Inventions shall mean, for purposes of this Section 7, ideas, discoveries, creations, manuscripts and properties, innovations, improvements, know-how, inventions, trade secrets, apparatus, developments, techniques, methods, biological processes, cell lines, laboratory notebooks and formulas (whether or not patentable or copyrightable or constituting trade secrets) conceived, made or discovered by the Consultant (whether alone or with others) within the Field (i) solely as a direct result of consulting with Stony Hill under this Agreement and (ii) not in the course of the Consultants activities as an employee of Principal Institution. In no event shall the Consultants obligations hereunder relate to any right, title or interest that the Consultant may have in ideas, discoveries, creations, manuscripts and properties, innovations, improvements, know-how, inventions, trade secrets, apparatus, developments, techniques, methods, biological processes, cell lines, laboratory notebooks and formulas (whether or not patentable or copyrightable or constituting trade secrets) conceived, made or discovered by the Consultant (whether alone or with others) with the use of facilities or findings of any Affiliated Institution and that the Consultant is required to assign to his Affiliated Institution pursuant to the rules and regulations of such Affiliated Institution. Further, Stony Hill will have no rights by reason of this Agreement in any publication, invention, discovery, improvement, or other intellectual property whatsoever, whether or not publishable, patentable, or copyrightable, which is developed as a result of a program of research financed, in whole or in part, by funds provided by or under the control of the Principal Institution. The Consultant agrees to not knowingly use or incorporate any third party proprietary information into any Inventions or to disclose such information to Stony Hill. Upon termination of this Agreement with Stony Hill, the Consultant shall provide to Stony Hill in writing a full, signed statement of all Inventions in which the Consultant participated prior to termination of this Agreement.", "ner": [], "tokenized_text": ["Inventions", "shall", "mean", ",", "for", "purposes", "of", "this", "Section", "7", ",", "ideas", ",", "discoveries", ",", "creations", ",", "manuscripts", "and", "properties", ",", "innovations", ",", "improvements", ",", "know-how", ",", "inventions", ",", "trade", "secrets", ",", "apparatus", ",", "developments", ",", "techniques", ",", "methods", ",", "biological", "processes", ",", "cell", "lines", ",", "laboratory", "notebooks", "and", "formulas", "(", "whether", "or", "not", "patentable", "or", "copyrightable", "or", "constituting", "trade", "secrets", ")", "conceived", ",", "made", "or", "discovered", "by", "the", "Consultant", "(", "whether", "alone", "or", "with", "others", ")", "within", "the", "Field", "(", "i", ")", "solely", "as", "a", "direct", "result", "of", "consulting", "with", "Stony", "Hill", "under", "this", "Agreement", "and", "(", "ii", ")", "not", "in", "the", "course", "of", "the", "Consultants", "activities", "as", "an", "employee", "of", "Principal", "Institution", ".", "In", "no", "event", "shall", "the", "Consultants", "obligations", "hereunder", "relate", "to", "any", "right", ",", "title", "or", "interest", "that", "the", "Consultant", "may", "have", "in", "ideas", ",", "discoveries", ",", "creations", ",", "manuscripts", "and", "properties", ",", "innovations", ",", "improvements", ",", "know-how", ",", "inventions", ",", "trade", "secrets", ",", "apparatus", ",", "developments", ",", "techniques", ",", "methods", ",", "biological", "processes", ",", "cell", "lines", ",", "laboratory", "notebooks", "and", "formulas", "(", "whether", "or", "not", "patentable", "or", "copyrightable", "or", "constituting", "trade", "secrets", ")", "conceived", ",", "made", "or", "discovered", "by", "the", "Consultant", "(", "whether", "alone", "or", "with", "others", ")", "with", "the", "use", "of", "facilities", "or", "findings", "of", "any", "Affiliated", "Institution", "and", "that", "the", "Consultant", "is", "required", "to", "assign", "to", "his", "Affiliated", "Institution", "pursuant", "to", "the", "rules", "and", "regulations", "of", "such", "Affiliated", "Institution", ".", "Further", ",", "Stony", "Hill", "will", "have", "no", "rights", "by", "reason", "of", "this", "Agreement", "in", "any", "publication", ",", "invention", ",", "discovery", ",", "improvement", ",", "or", "other", "intellectual", "property", "whatsoever", ",", "whether", "or", "not", "publishable", ",", "patentable", ",", "or", "copyrightable", ",", "which", "is", "developed", "as", "a", "result", "of", "a", "program", "of", "research", "financed", ",", "in", "whole", "or", "in", "part", ",", "by", "funds", "provided", "by", "or", "under", "the", "control", "of", "the", "Principal", "Institution", ".", "The", "Consultant", "agrees", "to", "not", "knowingly", "use", "or", "incorporate", "any", "third", "party", "proprietary", "information", "into", "any", "Inventions", "or", "to", "disclose", "such", "information", "to", "Stony", "Hill", ".", "Upon", "termination", "of", "this", "Agreement", "with", "Stony", "Hill", ",", "the", "Consultant", "shall", "provide", "to", "Stony", "Hill", "in", "writing", "a", "full", ",", "signed", "statement", "of", "all", "Inventions", "in", "which", "the", "Consultant", "participated", "prior", "to", "termination", "of", "this", "Agreement", "."]}
{"id": "15651", "text": "12\\. Other Consulting Services . During the Term, without the prior written consent of Stony Hill, the Consultant will not be employed or engaged by or otherwise render services for or on behalf of another company engaged in the Field. Stony Hill agrees that the Consultant may serve as a member of scientific advisory boards or in a similar capacity with, and provide consulting services to, other companies in scientific areas outside of the Field, provided that such services do not conflict or materially interfere with his Services hereunder.", "ner": [], "tokenized_text": ["12", "\\", ".", "Other", "Consulting", "Services", ".", "During", "the", "Term", ",", "without", "the", "prior", "written", "consent", "of", "Stony", "Hill", ",", "the", "Consultant", "will", "not", "be", "employed", "or", "engaged", "by", "or", "otherwise", "render", "services", "for", "or", "on", "behalf", "of", "another", "company", "engaged", "in", "the", "Field", ".", "Stony", "Hill", "agrees", "that", "the", "Consultant", "may", "serve", "as", "a", "member", "of", "scientific", "advisory", "boards", "or", "in", "a", "similar", "capacity", "with", ",", "and", "provide", "consulting", "services", "to", ",", "other", "companies", "in", "scientific", "areas", "outside", "of", "the", "Field", ",", "provided", "that", "such", "services", "do", "not", "conflict", "or", "materially", "interfere", "with", "his", "Services", "hereunder", "."]}
{"id": "11652", "text": "14\\. Disclosure of Relationship . The Parties each shall be entitled to disclose that the Consultant is providing consulting services to Stony Hill for which he is being compensated and is on the Stony Hill AB, and Stony Hill may use the Consultants name, including in any business plan, press release, advertisement, prospectus or other offering document of Stony Hill or its affiliates, so long as any such usage (a) is limited to reporting factual events or occurrences only, and (b) is made in a manner that could not reasonably constitute a specific endorsement by the Consultant of Stony Hill or of any program, product or service of Stony Hill. However, Stony Hill shall not use the Consultants name in any press release, or quote the Consultant in any Stony Hill materials (including advertisements), or otherwise use the Consultants name in a manner not specifically permitted by the preceding sentence, unless in each case Stony Hill obtains in advance the Consultants consent. The foregoing consents shall not be unreasonably withheld or delayed by the Consultant. Notwithstanding the foregoing, if, in the opinion of Stony Hills counsel, Stony Hill is required by applicable law to use the Consultants name in a press release or governmental filing and, under the circumstances, Stony Hill is not reasonably able to obtain the advance written consent of the Consultant, as applicable, to such use, then Stony Hill may proceed without obtaining the advance written consent of the Consultant.", "ner": [], "tokenized_text": ["14", "\\", ".", "Disclosure", "of", "Relationship", ".", "The", "Parties", "each", "shall", "be", "entitled", "to", "disclose", "that", "the", "Consultant", "is", "providing", "consulting", "services", "to", "Stony", "Hill", "for", "which", "he", "is", "being", "compensated", "and", "is", "on", "the", "Stony", "Hill", "AB", ",", "and", "Stony", "Hill", "may", "use", "the", "Consultants", "name", ",", "including", "in", "any", "business", "plan", ",", "press", "release", ",", "advertisement", ",", "prospectus", "or", "other", "offering", "document", "of", "Stony", "Hill", "or", "its", "affiliates", ",", "so", "long", "as", "any", "such", "usage", "(", "a", ")", "is", "limited", "to", "reporting", "factual", "events", "or", "occurrences", "only", ",", "and", "(", "b", ")", "is", "made", "in", "a", "manner", "that", "could", "not", "reasonably", "constitute", "a", "specific", "endorsement", "by", "the", "Consultant", "of", "Stony", "Hill", "or", "of", "any", "program", ",", "product", "or", "service", "of", "Stony", "Hill", ".", "However", ",", "Stony", "Hill", "shall", "not", "use", "the", "Consultants", "name", "in", "any", "press", "release", ",", "or", "quote", "the", "Consultant", "in", "any", "Stony", "Hill", "materials", "(", "including", "advertisements", ")", ",", "or", "otherwise", "use", "the", "Consultants", "name", "in", "a", "manner", "not", "specifically", "permitted", "by", "the", "preceding", "sentence", ",", "unless", "in", "each", "case", "Stony", "Hill", "obtains", "in", "advance", "the", "Consultants", "consent", ".", "The", "foregoing", "consents", "shall", "not", "be", "unreasonably", "withheld", "or", "delayed", "by", "the", "Consultant", ".", "Notwithstanding", "the", "foregoing", ",", "if", ",", "in", "the", "opinion", "of", "Stony", "Hills", "counsel", ",", "Stony", "Hill", "is", "required", "by", "applicable", "law", "to", "use", "the", "Consultants", "name", "in", "a", "press", "release", "or", "governmental", "filing", "and", ",", "under", "the", "circumstances", ",", "Stony", "Hill", "is", "not", "reasonably", "able", "to", "obtain", "the", "advance", "written", "consent", "of", "the", "Consultant", ",", "as", "applicable", ",", "to", "such", "use", ",", "then", "Stony", "Hill", "may", "proceed", "without", "obtaining", "the", "advance", "written", "consent", "of", "the", "Consultant", "."]}
{"id": "15656", "text": "19\\. Governing Law. This Agreement shall be governed by and construed in accordance with the internal laws of the State of California, without regard to conflict of law principles.", "ner": [[22, 24, "Court"]], "tokenized_text": ["19", "\\", ".", "Governing", "Law", ".", "This", "Agreement", "shall", "be", "governed", "by", "and", "construed", "in", "accordance", "with", "the", "internal", "laws", "of", "the", "State", "of", "California", ",", "without", "regard", "to", "conflict", "of", "law", "principles", "."]}
{"id": "15658", "text": "Stony Hill Corp., President Chris Bridges", "ner": [[0, 3, "Parties"], [5, 7, "Role"]], "tokenized_text": ["Stony", "Hill", "Corp", ".", ",", "President", "Chris", "Bridges"]}
{"id": "15660", "text": "EX-10.1 5 xplosion_ex101.htm EXCLUSIVE GLOBAL RIGHTS AGREEMENT", "ner": [[8, 10, "Title"]], "tokenized_text": ["EX-10", ".", "1", "5", "xplosion_ex101", ".", "htm", "EXCLUSIVE", "GLOBAL", "RIGHTS", "AGREEMENT"]}
{"id": "15661", "text": "EXCLUSIVE GLOBAL RIGHTS AGREEMENT", "ner": [[1, 3, "Title"]], "tokenized_text": ["EXCLUSIVE", "GLOBAL", "RIGHTS", "AGREEMENT"]}
{"id": "15662", "text": "THIS AGREEMENT dated for reference the 7thday of December 2015 .", "ner": [[1, 1, "Title"], [6, 9, "EffectiveDate"]], "tokenized_text": ["THIS", "AGREEMENT", "dated", "for", "reference", "the", "7thday", "of", "December", "2015", "."]}
{"id": "15665", "text": "8.1| The Technology Holder represents and warrants that at the time of execution of this Agreement it has not received notice of any claim by a third party of an ownership interest in or infringement of third party rights by the Technology Holder patents. Except for the foregoing and as set forth in Section 12.2, the Technology Holder makes no representations or warranties of any kind, express or implied, concerning the Technology Holder patents, including, but not limited to, representations and warranties as to non- infringement, merchantability and fitness for any particular purpose. ---|---", "ner": [], "tokenized_text": ["8", ".", "1", "|", "The", "Technology", "Holder", "represents", "and", "warrants", "that", "at", "the", "time", "of", "execution", "of", "this", "Agreement", "it", "has", "not", "received", "notice", "of", "any", "claim", "by", "a", "third", "party", "of", "an", "ownership", "interest", "in", "or", "infringement", "of", "third", "party", "rights", "by", "the", "Technology", "Holder", "patents", ".", "Except", "for", "the", "foregoing", "and", "as", "set", "forth", "in", "Section", "12", ".", "2", ",", "the", "Technology", "Holder", "makes", "no", "representations", "or", "warranties", "of", "any", "kind", ",", "express", "or", "implied", ",", "concerning", "the", "Technology", "Holder", "patents", ",", "including", ",", "but", "not", "limited", "to", ",", "representations", "and", "warranties", "as", "to", "non", "-", "infringement", ",", "merchantability", "and", "fitness", "for", "any", "particular", "purpose", ".", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "13666", "text": "| 8.2| The Technology Holder PATENTS, TECHNOLOGY , any other intellectual property rights AND ANY OTHER INFORMATION OR TECHNOLOGY PROVIDED BY the Technology Holder AND USED IN THE MANUFACTURE, USE, IMPORT, SALE, OFFER FOR SALE, or LEASE ARE PROVIDED ON AN AS IS BASIS AND the Technology Holder MAKES NO REPRESENTATIONS OR WARRANTIES, EXPRESS OR IMPLIED, WITH RESPECT THERETO. BY WAY OF EXAMPLE BUT NOT OF LIMITATION, the Technology Holder MAKES NO REPRESENTATIONS OR WARRANTIES (I) OF COMMERCIAL UTILITY , OR (II) OF MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE, OR (III) THAT THE USE OF THE Technology Holder PATENTS, intellectual property OR THE LICENSED TECHNOLOGY, WILL NOT INFRINGE ANY PATENT, COPYRIGHT, TRADEMARK, OR OTHER PROPRIETARY OR PROPERTY RIGHTS OF OTHERS.", "ner": [], "tokenized_text": ["|", "8", ".", "2", "|", "The", "Technology", "Holder", "PATENTS", ",", "TECHNOLOGY", ",", "any", "other", "intellectual", "property", "rights", "AND", "ANY", "OTHER", "INFORMATION", "OR", "TECHNOLOGY", "PROVIDED", "BY", "the", "Technology", "Holder", "AND", "USED", "IN", "THE", "MANUFACTURE", ",", "USE", ",", "IMPORT", ",", "SALE", ",", "OFFER", "FOR", "SALE", ",", "or", "LEASE", "ARE", "PROVIDED", "ON", "AN", "AS", "IS", "BASIS", "AND", "the", "Technology", "Holder", "MAKES", "NO", "REPRESENTATIONS", "OR", "WARRANTIES", ",", "EXPRESS", "OR", "IMPLIED", ",", "WITH", "RESPECT", "THERETO", ".", "BY", "WAY", "OF", "EXAMPLE", "BUT", "NOT", "OF", "LIMITATION", ",", "the", "Technology", "Holder", "MAKES", "NO", "REPRESENTATIONS", "OR", "WARRANTIES", "(", "I", ")", "OF", "COMMERCIAL", "UTILITY", ",", "OR", "(", "II", ")", "OF", "MERCHANTABILITY", "OR", "FITNESS", "FOR", "A", "PARTICULAR", "PURPOSE", ",", "OR", "(", "III", ")", "THAT", "THE", "USE", "OF", "THE", "Technology", "Holder", "PATENTS", ",", "intellectual", "property", "OR", "THE", "LICENSED", "TECHNOLOGY", ",", "WILL", "NOT", "INFRINGE", "ANY", "PATENT", ",", "COPYRIGHT", ",", "TRADEMARK", ",", "OR", "OTHER", "PROPRIETARY", "OR", "PROPERTY", "RIGHTS", "OF", "OTHERS", "."]}
{"id": "15671", "text": "Construction of Agreement. The Parties acknowledge and agree that both Parties substantially participated in negotiating the provisions of this Agreement; therefore, both Parties agree that this Agreement shall not be construed more favorably toward one Party than the other Party, regardless of which Party primarily drafted the Agreement. The Section and other headings in this Agreement are for convenience of reference only and shall not affect, expressly or by implication, the meaning or interpretation of any of the provisions hereof.", "ner": [], "tokenized_text": ["Construction", "of", "Agreement", ".", "The", "Parties", "acknowledge", "and", "agree", "that", "both", "Parties", "substantially", "participated", "in", "negotiating", "the", "provisions", "of", "this", "Agreement", ";", "therefore", ",", "both", "Parties", "agree", "that", "this", "Agreement", "shall", "not", "be", "construed", "more", "favorably", "toward", "one", "Party", "than", "the", "other", "Party", ",", "regardless", "of", "which", "Party", "primarily", "drafted", "the", "Agreement", ".", "The", "Section", "and", "other", "headings", "in", "this", "Agreement", "are", "for", "convenience", "of", "reference", "only", "and", "shall", "not", "affect", ",", "expressly", "or", "by", "implication", ",", "the", "meaning", "or", "interpretation", "of", "any", "of", "the", "provisions", "hereof", "."]}
{"id": "15675", "text": "XPLOSION INCORPORATED , a Nevada corporation (hereinafter referred to as \"the Xplosion Incorporated\")", "ner": [[0, 1, "Parties"], [13, 14, "Parties"]], "tokenized_text": ["XPLOSION", "INCORPORATED", ",", "a", "Nevada", "corporation", "(", "hereinafter", "referred", "to", "as", "\"", "the", "Xplosion", "Incorporated", "\"", ")"]}
{"id": "15676", "text": "This LOAN AGREEMENT , dated as of January 12, 2017 (as amended, supplemented or otherwise modified, this Agreement) is made between American Realty Capital Hospitality Trust, Inc. , a Maryland corporation (the Borrower) and Summit Hotel OP, LP (the Lender).", "ner": [[1, 2, "Title"], [7, 10, "EffectiveDate"], [26, 33, "Parties"], [43, 47, "Parties"]], "tokenized_text": ["This", "LOAN", "AGREEMENT", ",", "dated", "as", "of", "January", "12", ",", "2017", "(", "as", "amended", ",", "supplemented", "or", "otherwise", "modified", ",", "this", "Agreement", ")", "is", "made", "between", "American", "Realty", "Capital", "Hospitality", "Trust", ",", "Inc", ".", ",", "a", "Maryland", "corporation", "(", "the", "Borrower", ")", "and", "Summit", "Hotel", "OP", ",", "LP", "(", "the", "Lender", ")", "."]}
{"id": "15677", "text": "WHEREAS, the Borrower and the Lender have entered into that certain Loan Agreement, dated as of February 11, 2016 (as amended, supplemented or otherwise modified from time to time, the Existing Loan Agreement), pursuant to which the Lender extended a loan to the Borrower in an aggregate original principal amount of $27,500,000 ; and", "ner": [[12, 13, "Title"], [18, 21, "EffectiveDate"], [37, 38, "Title"], [59, 64, "Principal"]], "tokenized_text": ["WHEREAS", ",", "the", "Borrower", "and", "the", "Lender", "have", "entered", "into", "that", "certain", "Loan", "Agreement", ",", "dated", "as", "of", "February", "11", ",", "2016", "(", "as", "amended", ",", "supplemented", "or", "otherwise", "modified", "from", "time", "to", "time", ",", "the", "Existing", "Loan", "Agreement", ")", ",", "pursuant", "to", "which", "the", "Lender", "extended", "a", "loan", "to", "the", "Borrower", "in", "an", "aggregate", "original", "principal", "amount", "of", "$", "27", ",", "500", ",", "000", ";", "and"]}
{"id": "15679", "text": "1.Use of Proceeds. The proceeds of the Loan made by the Lender on the date hereof will be deemed applied as consideration for the entry into that certain letter agreement, dated as of January 12, 2017 , between American Realty Capital Hospitality Portfolio SMT ALT, LLC, Summit Hotel OP, LP and each of the Sellers identified therein (the Summit II PSA Amendment, amending that certain Real Estate Purchase and Sale Agreement, dated as of June 2, 2015, by and among American Realty Capital Hospitality Portfolio SMT, LLC , as Original Purchaser, the Sellers party thereto and Summit Hotel OP, LP , in its capacity as Seller Representative for the Sellers (as amended, supplemented or otherwise modified, the Summit II Purchase Agreement)).", "ner": [[37, 40, "EffectiveDate"], [43, 51, "Parties"], [53, 57, "Parties"], [75, 80, "Title"], [93, 100, "Parties"], [136, 139, "Title"]], "tokenized_text": ["1", ".", "Use", "of", "Proceeds", ".", "The", "proceeds", "of", "the", "Loan", "made", "by", "the", "Lender", "on", "the", "date", "hereof", "will", "be", "deemed", "applied", "as", "consideration", "for", "the", "entry", "into", "that", "certain", "letter", "agreement", ",", "dated", "as", "of", "January", "12", ",", "2017", ",", "between", "American", "Realty", "Capital", "Hospitality", "Portfolio", "SMT", "ALT", ",", "LLC", ",", "Summit", "Hotel", "OP", ",", "LP", "and", "each", "of", "the", "Sellers", "identified", "therein", "(", "the", "Summit", "II", "PSA", "Amendment", ",", "amending", "that", "certain", "Real", "Estate", "Purchase", "and", "Sale", "Agreement", ",", "dated", "as", "of", "June", "2", ",", "2015", ",", "by", "and", "among", "American", "Realty", "Capital", "Hospitality", "Portfolio", "SMT", ",", "LLC", ",", "as", "Original", "Purchaser", ",", "the", "Sellers", "party", "thereto", "and", "Summit", "Hotel", "OP", ",", "LP", ",", "in", "its", "capacity", "as", "Seller", "Representative", "for", "the", "Sellers", "(", "as", "amended", ",", "supplemented", "or", "otherwise", "modified", ",", "the", "Summit", "II", "Purchase", "Agreement", ")", ")", "."]}
{"id": "15680", "text": "2.Repayment of Principal. The entire principal amount of the Loan, and any accrued and unpaid interest, shall be due and payable on July 31, 2017 (the Maturity Date). The Borrower shall repay the principal amount of the Loan in installments of $1,000,000 on the last day of each of May, June and July 2017 (the Amortization Payments). The Loan may be prepaid in whole or in part at any time, without payment of any penalty or premium. Notwithstanding any provision to the contrary in this Agreement, upon the Closing Date, as defined in the Summit II Purchase Agreement (as amended, supplemented or otherwise modified, the Summit II PSA Closing Date), the Loan shall be deemed paid in full and the Borrower shall have no further obligations with respect thereto, except for unpaid interest accrued and payable in cash under Section 3(a)(i), Section 3(a)(ii), Section 3(b)(i) and Section 3(b)(ii) prior to the Summit II PSA Closing Date, which shall be due and payable on the Summit II PSA Closing Date. If the closing of the acquisition contemplated by the Summit II Purchase Agreement does not occur under the revised terms of the Summit II PSA Amendment, then the full amount of the Loan shall become due and payable on the Maturity Date.", "ner": [[27, 30, "TerminationDate"], [50, 55, "Principal"], [116, 119, "Title"]], "tokenized_text": ["2", ".", "Repayment", "of", "Principal", ".", "The", "entire", "principal", "amount", "of", "the", "Loan", ",", "and", "any", "accrued", "and", "unpaid", "interest", ",", "shall", "be", "due", "and", "payable", "on", "July", "31", ",", "2017", "(", "the", "Maturity", "Date", ")", ".", "The", "Borrower", "shall", "repay", "the", "principal", "amount", "of", "the", "Loan", "in", "installments", "of", "$", "1", ",", "000", ",", "000", "on", "the", "last", "day", "of", "each", "of", "May", ",", "June", "and", "July", "2017", "(", "the", "Amortization", "Payments", ")", ".", "The", "Loan", "may", "be", "prepaid", "in", "whole", "or", "in", "part", "at", "any", "time", ",", "without", "payment", "of", "any", "penalty", "or", "premium", ".", "Notwithstanding", "any", "provision", "to", "the", "contrary", "in", "this", "Agreement", ",", "upon", "the", "Closing", "Date", ",", "as", "defined", "in", "the", "Summit", "II", "Purchase", "Agreement", "(", "as", "amended", ",", "supplemented", "or", "otherwise", "modified", ",", "the", "Summit", "II", "PSA", "Closing", "Date", ")", ",", "the", "Loan", "shall", "be", "deemed", "paid", "in", "full", "and", "the", "Borrower", "shall", "have", "no", "further", "obligations", "with", "respect", "thereto", ",", "except", "for", "unpaid", "interest", "accrued", "and", "payable", "in", "cash", "under", "Section", "3", "(", "a", ")", "(", "i", ")", ",", "Section", "3", "(", "a", ")", "(", "ii", ")", ",", "Section", "3", "(", "b", ")", "(", "i", ")", "and", "Section", "3", "(", "b", ")", "(", "ii", ")", "prior", "to", "the", "Summit", "II", "PSA", "Closing", "Date", ",", "which", "shall", "be", "due", "and", "payable", "on", "the", "Summit", "II", "PSA", "Closing", "Date", ".", "If", "the", "closing", "of", "the", "acquisition", "contemplated", "by", "the", "Summit", "II", "Purchase", "Agreement", "does", "not", "occur", "under", "the", "revised", "terms", "of", "the", "Summit", "II", "PSA", "Amendment", ",", "then", "the", "full", "amount", "of", "the", "Loan", "shall", "become", "due", "and", "payable", "on", "the", "Maturity", "Date", "."]}
{"id": "15681", "text": "(a)from the date of the Loan to February 11, 2017, thirteen percent ( 13.0% ) per annum (the Basic Interest Rate) until the principal amount has been paid in full (or such earlier date upon which the entire principal amount of the Loan has been paid in full or deemed paid in full under Section 2), of which (i) a portion of the Basic Interest Rate equal to nine percent ( 9.0% ) per annum shall be paid in cash on the last day of each calendar month commencing with January 31, 2017 (each such date, an Interest Payment Date) and (ii) the remaining portion of the Basic Interest Rate equal to four percent ( 4.0% ) per annum, compounded monthly on each Interest Payment Date during such period, together with any incremental amount of accrued interest to the extent interest accrues at the Default Interest Rate, shall be paid in kind and added to the principal amount of the Loan then outstanding on the Maturity Date, unless otherwise paid in cash on or prior to such date; provided that such amount described in Section 3(a)(ii) shall not be added to the principal amount of the Loan, but instead shall be payable in cash on the earlier of (x) the Summit II PSA Closing Date and (y) the termination of the Summit II Purchase Agreement as the result of a breach of the Summit II Purchase Agreement by American Realty Capital Hospitality Portfolio SMT ALT, LLC or its successor or permitted assignee; and", "ner": [[18, 21, "Percentage"], [86, 89, "Percentage"], [108, 111, "TerminationDate"], [139, 142, "Percentage"], [264, 267, "Title"]], "tokenized_text": ["(", "a", ")", "from", "the", "date", "of", "the", "Loan", "to", "February", "11", ",", "2017", ",", "thirteen", "percent", "(", "13", ".", "0", "%", ")", "per", "annum", "(", "the", "Basic", "Interest", "Rate", ")", "until", "the", "principal", "amount", "has", "been", "paid", "in", "full", "(", "or", "such", "earlier", "date", "upon", "which", "the", "entire", "principal", "amount", "of", "the", "Loan", "has", "been", "paid", "in", "full", "or", "deemed", "paid", "in", "full", "under", "Section", "2", ")", ",", "of", "which", "(", "i", ")", "a", "portion", "of", "the", "Basic", "Interest", "Rate", "equal", "to", "nine", "percent", "(", "9", ".", "0", "%", ")", "per", "annum", "shall", "be", "paid", "in", "cash", "on", "the", "last", "day", "of", "each", "calendar", "month", "commencing", "with", "January", "31", ",", "2017", "(", "each", "such", "date", ",", "an", "Interest", "Payment", "Date", ")", "and", "(", "ii", ")", "the", "remaining", "portion", "of", "the", "Basic", "Interest", "Rate", "equal", "to", "four", "percent", "(", "4", ".", "0", "%", ")", "per", "annum", ",", "compounded", "monthly", "on", "each", "Interest", "Payment", "Date", "during", "such", "period", ",", "together", "with", "any", "incremental", "amount", "of", "accrued", "interest", "to", "the", "extent", "interest", "accrues", "at", "the", "Default", "Interest", "Rate", ",", "shall", "be", "paid", "in", "kind", "and", "added", "to", "the", "principal", "amount", "of", "the", "Loan", "then", "outstanding", "on", "the", "Maturity", "Date", ",", "unless", "otherwise", "paid", "in", "cash", "on", "or", "prior", "to", "such", "date", ";", "provided", "that", "such", "amount", "described", "in", "Section", "3", "(", "a", ")", "(", "ii", ")", "shall", "not", "be", "added", "to", "the", "principal", "amount", "of", "the", "Loan", ",", "but", "instead", "shall", "be", "payable", "in", "cash", "on", "the", "earlier", "of", "(", "x", ")", "the", "Summit", "II", "PSA", "Closing", "Date", "and", "(", "y", ")", "the", "termination", "of", "the", "Summit", "II", "Purchase", "Agreement", "as", "the", "result", "of", "a", "breach", "of", "the", "Summit", "II", "Purchase", "Agreement", "by", "American", "Realty", "Capital", "Hospitality", "Portfolio", "SMT", "ALT", ",", "LLC", "or", "its", "successor", "or", "permitted", "assignee", ";", "and"]}
{"id": "15682", "text": "(b)from February 11, 2017 to the Maturity Date, fourteen percent (1 4.0% ) per annum until the principal amount has been paid in full and the Loan has been fully satisfied on the Maturity Date (or such earlier date upon which the entire principal amount of the Loan and all interest thereon has been paid in full), of which (i) a portion of the Basic Interest Rate equal to nine percent ( 9.0% ) per annum shall be paid in cash on each Interest Payment Date and (ii) a portion of the Basic Interest Rate equal to five percent (5.0%) per annum, compounded monthly on each Interest Payment Date during such period, together with any incremental amount of accrued interest to the extent interest accrues at the Default Interest Rate, shall be paid in kind and added to the principal amount of the Loan then outstanding on the Maturity Date, unless otherwise paid in cash on or prior to such date; provided that such amount described in Section 3(b)(ii) shall not be added to the principal amount of the Loan, but instead shall be payable in cash on the earlier of (x) the Summit II PSA Closing Date and (y) the Maturity Date.", "ner": [[4, 7, "EffectiveDate"], [16, 20, "Percentage"], [86, 89, "Percentage"], [116, 117, "Percentage"], [119, 122, "Percentage"]], "tokenized_text": ["(", "b", ")", "from", "February", "11", ",", "2017", "to", "the", "Maturity", "Date", ",", "fourteen", "percent", "(", "1", "4", ".", "0", "%", ")", "per", "annum", "until", "the", "principal", "amount", "has", "been", "paid", "in", "full", "and", "the", "Loan", "has", "been", "fully", "satisfied", "on", "the", "Maturity", "Date", "(", "or", "such", "earlier", "date", "upon", "which", "the", "entire", "principal", "amount", "of", "the", "Loan", "and", "all", "interest", "thereon", "has", "been", "paid", "in", "full", ")", ",", "of", "which", "(", "i", ")", "a", "portion", "of", "the", "Basic", "Interest", "Rate", "equal", "to", "nine", "percent", "(", "9", ".", "0", "%", ")", "per", "annum", "shall", "be", "paid", "in", "cash", "on", "each", "Interest", "Payment", "Date", "and", "(", "ii", ")", "a", "portion", "of", "the", "Basic", "Interest", "Rate", "equal", "to", "five", "percent", "(", "5", ".", "0", "%", ")", "per", "annum", ",", "compounded", "monthly", "on", "each", "Interest", "Payment", "Date", "during", "such", "period", ",", "together", "with", "any", "incremental", "amount", "of", "accrued", "interest", "to", "the", "extent", "interest", "accrues", "at", "the", "Default", "Interest", "Rate", ",", "shall", "be", "paid", "in", "kind", "and", "added", "to", "the", "principal", "amount", "of", "the", "Loan", "then", "outstanding", "on", "the", "Maturity", "Date", ",", "unless", "otherwise", "paid", "in", "cash", "on", "or", "prior", "to", "such", "date", ";", "provided", "that", "such", "amount", "described", "in", "Section", "3", "(", "b", ")", "(", "ii", ")", "shall", "not", "be", "added", "to", "the", "principal", "amount", "of", "the", "Loan", ",", "but", "instead", "shall", "be", "payable", "in", "cash", "on", "the", "earlier", "of", "(", "x", ")", "the", "Summit", "II", "PSA", "Closing", "Date", "and", "(", "y", ")", "the", "Maturity", "Date", "."]}
{"id": "15683", "text": "17.Governing Law. This Agreement and the Loan shall be governed and interpreted in accordance with the laws of the State of New York .", "ner": [[22, 25, "Court"]], "tokenized_text": ["17", ".", "Governing", "Law", ".", "This", "Agreement", "and", "the", "Loan", "shall", "be", "governed", "and", "interpreted", "in", "accordance", "with", "the", "laws", "of", "the", "State", "of", "New", "York", "."]}
{"id": "15686", "text": "American Realty Capital Hospitality Trust, Inc.", "ner": [], "tokenized_text": ["American", "Realty", "Capital", "Hospitality", "Trust", ",", "Inc", "."]}
{"id": "15688", "text": "Telephone No.: (646) 626-8857", "ner": [[4, 7, "PII_Ref"]], "tokenized_text": ["Telephone", "No", ".", ":", "(", "646", ")", "626-8857"]}
{"id": "15689", "text": "Facsimile No.: (212) 969-2900", "ner": [[4, 7, "PII_Ref"]], "tokenized_text": ["Facsimile", "No", ".", ":", "(", "212", ")", "969-2900"]}
{"id": "15691", "text": "Summit Hotel OP, LP", "ner": [], "tokenized_text": ["Summit", "Hotel", "OP", ",", "LP"]}
{"id": "15695", "text": "600 South Main Avenue, Suite 102", "ner": [[0, 6, "Address"]], "tokenized_text": ["600", "South", "Main", "Avenue", ",", "Suite", "102"]}
{"id": "15696", "text": "Sioux Falls, SD 57104", "ner": [], "tokenized_text": ["Sioux", "Falls", ",", "SD", "57104"]}
{"id": "15697", "text": "Facsimile No.: (605) 334-4814", "ner": [[4, 7, "PII_Ref"]], "tokenized_text": ["Facsimile", "No", ".", ":", "(", "605", ")", "334-4814"]}
{"id": "15698", "text": "Telephone No.: (605) 334-0005", "ner": [[4, 7, "PII_Ref"]], "tokenized_text": ["Telephone", "No", ".", ":", "(", "605", ")", "334-0005"]}
{"id": "15700", "text": "29 Section 7.01Termination 29", "ner": [], "tokenized_text": ["29", "Section", "7", ".", "01Termination", "29"]}
{"id": "15706", "text": "DPA shall mean Section 721 of the Defense Production Act of 1950 , as amended ( 50 U.S.C. 4565 ), and implementing regulations promulgated thereunder (31 C.F.R. Part 800).", "ner": [[3, 4, "Regulation"], [7, 11, "Act"], [16, 23, "Regulation"], [32, 40, "Regulation"]], "tokenized_text": ["DPA", "shall", "mean", "Section", "721", "of", "the", "Defense", "Production", "Act", "of", "1950", ",", "as", "amended", "(", "50", "U", ".", "S", ".", "C", ".", "4565", ")", ",", "and", "implementing", "regulations", "promulgated", "thereunder", "(", "31", "C", ".", "F", ".", "R", ".", "Part", "800", ")", "."]}
{"id": "15709", "text": "Knowledge of the Company or the Companys Knowledge means, the knowledge of Peter A. Cohen, Jeffrey M. Solomon, John Holmes, Stephen A. Lasota and Owen Littman, and the knowledge that any such individual would have after reasonable inquiry of the employees reporting directly to such individual.", "ner": [], "tokenized_text": ["Knowledge", "of", "the", "Company", "or", "the", "Companys", "Knowledge", "means", ",", "the", "knowledge", "of", "Peter", "A", ".", "Cohen", ",", "Jeffrey", "M", ".", "Solomon", ",", "John", "Holmes", ",", "Stephen", "A", ".", "Lasota", "and", "Owen", "Littman", ",", "and", "the", "knowledge", "that", "any", "such", "individual", "would", "have", "after", "reasonable", "inquiry", "of", "the", "employees", "reporting", "directly", "to", "such", "individual", "."]}
{"id": "15710", "text": "Person means any individual, partnership, firm, corporation, limited liability company, association, trust, unincorporated organization or other entity, as well as any syndicate or group that would be deemed to be a Person under Section 13(d)(3) of the Exchange Act.&lt; br/&gt;", "ner": [[51, 52, "Act"]], "tokenized_text": ["Person", "means", "any", "individual", ",", "partnership", ",", "firm", ",", "corporation", ",", "limited", "liability", "company", ",", "association", ",", "trust", ",", "unincorporated", "organization", "or", "other", "entity", ",", "as", "well", "as", "any", "syndicate", "or", "group", "that", "would", "be", "deemed", "to", "be", "a", "Person", "under", "Section", "13", "(", "d", ")", "(", "3", ")", "of", "the", "Exchange", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "12714", "text": "Section 2.03 Closing. Subject to the terms and conditions of this Agreement and the other Transaction Agreements, the issuance, sale and purchase of the Shares contemplated by this Agreement and the funding of the Loan in accordance with the Term Loan Agreement shall take place at a closing (the Closing) to be held at 10:00 a.m. (New York time) at the offices of Willkie Farr &amp; Gallagher LLP, 787 Seventh Avenue, New York, New York 10019 on the third Business Day after the date that the parties have received notice that each of the conditions set forth in Article VI of this Agreement has been satisfied or has been waived in accordance with the terms hereof (such date, the Closing Date), or at such other date, time and place as the Company and the Investor may mutually agree upon in writing.", "ner": [[44, 46, "Title"], [85, 94, "Address"]], "tokenized_text": ["Section", "2", ".", "03", "Closing", ".", "Subject", "to", "the", "terms", "and", "conditions", "of", "this", "Agreement", "and", "the", "other", "Transaction", "Agreements", ",", "the", "issuance", ",", "sale", "and", "purchase", "of", "the", "Shares", "contemplated", "by", "this", "Agreement", "and", "the", "funding", "of", "the", "Loan", "in", "accordance", "with", "the", "Term", "Loan", "Agreement", "shall", "take", "place", "at", "a", "closing", "(", "the", "Closing", ")", "to", "be", "held", "at", "10", ":", "00", "a", ".", "m", ".", "(", "New", "York", "time", ")", "at", "the", "offices", "of", "Willkie", "Farr", "&", "amp", ";", "Gallagher", "LLP", ",", "787", "Seventh", "Avenue", ",", "New", "York", ",", "New", "York", "10019", "on", "the", "third", "Business", "Day", "after", "the", "date", "that", "the", "parties", "have", "received", "notice", "that", "each", "of", "the", "conditions", "set", "forth", "in", "Article", "VI", "of", "this", "Agreement", "has", "been", "satisfied", "or", "has", "been", "waived", "in", "accordance", "with", "the", "terms", "hereof", "(", "such", "date", ",", "the", "Closing", "Date", ")", ",", "or", "at", "such", "other", "date", ",", "time", "and", "place", "as", "the", "Company", "and", "the", "Investor", "may", "mutually", "agree", "upon", "in", "writing", "."]}
{"id": "11715", "text": "Section 2.05 Closing Deliveries by the Investor. At the Closing , the Investor shall deliver to the Company:", "ner": [], "tokenized_text": ["Section", "2", ".", "05", "Closing", "Deliveries", "by", "the", "Investor", ".", "At", "the", "Closing", ",", "the", "Investor", "shall", "deliver", "to", "the", "Company", ":"]}
{"id": "15717", "text": "Section 3.01 Due Organization and Good Standing of the Company. The Company has been duly organized and is validly existing as a corporation in good standing under the Law of the State of Delaware and has all necessary corporate power and authority to enter into this Agreement and each of the other Transaction Agreements, to carry out its obligations hereunder and thereunder, to consummate the transactions contemplated hereby and thereby, and to own, lease and operate its properties, and to carry on its business as currently being conducted. The Company is duly qualified to do business and is in good standing as a foreign corporation in each other jurisdiction in which such qualification is required, except where the failure so to qualify or to be in good standing would not, individually or in the aggregate, result in a Material Adverse Effect. True, complete and correct copies of the Companys amended and restated certificate of incorporation and bylaws, each as in effect as of the date of this Agreement, have previously been made available to the Investor.", "ner": [[34, 36, "Court"]], "tokenized_text": ["Section", "3", ".", "01", "Due", "Organization", "and", "Good", "Standing", "of", "the", "Company", ".", "The", "Company", "has", "been", "duly", "organized", "and", "is", "validly", "existing", "as", "a", "corporation", "in", "good", "standing", "under", "the", "Law", "of", "the", "State", "of", "Delaware", "and", "has", "all", "necessary", "corporate", "power", "and", "authority", "to", "enter", "into", "this", "Agreement", "and", "each", "of", "the", "other", "Transaction", "Agreements", ",", "to", "carry", "out", "its", "obligations", "hereunder", "and", "thereunder", ",", "to", "consummate", "the", "transactions", "contemplated", "hereby", "and", "thereby", ",", "and", "to", "own", ",", "lease", "and", "operate", "its", "properties", ",", "and", "to", "carry", "on", "its", "business", "as", "currently", "being", "conducted", ".", "The", "Company", "is", "duly", "qualified", "to", "do", "business", "and", "is", "in", "good", "standing", "as", "a", "foreign", "corporation", "in", "each", "other", "jurisdiction", "in", "which", "such", "qualification", "is", "required", ",", "except", "where", "the", "failure", "so", "to", "qualify", "or", "to", "be", "in", "good", "standing", "would", "not", ",", "individually", "or", "in", "the", "aggregate", ",", "result", "in", "a", "Material", "Adverse", "Effect", ".", "True", ",", "complete", "and", "correct", "copies", "of", "the", "Companys", "amended", "and", "restated", "certificate", "of", "incorporation", "and", "bylaws", ",", "each", "as", "in", "effect", "as", "of", "the", "date", "of", "this", "Agreement", ",", "have", "previously", "been", "made", "available", "to", "the", "Investor", "."]}
{"id": "15718", "text": "(a) The authorized shares of capital stock of the Company consist of 62,500,000 shares of Class A Common Stock, 62,500,000 shares of Class B Common Stock of the Company, par value $0.01 per share (Class B Common Stock and, with the Class A Common Stock, the Common Stock) and 10,000,000 shares of Series A Convertible Preferred Stock of the Company (Preferred Stock). As of March 23, 2017, (i) 120,750 shares of Preferred Stock are issued and outstanding, (ii) 27,312,493 shares of Class A Common Stock are issued and outstanding, (iii) no shares of Class B Common Stock are issued and outstanding, (iv) 10,139,040 shares of Class A Common Stock are held in treasury, (v) 4,595,975 shares of Class A Common Stock are reserved for issuance upon conversion of the Preferred Stock, (vi) 5,475,548 shares of Class A Common Stock are reserved for issuance under restricted stock units under the Equity Plans, (vii) 75,000 shares of Class A Common Stock are reserved for issuance under stock appreciation rights under the Equity Plans. All of the outstanding shares of capital stock of the Company are duly authorized and validly issued, fully paid and non-assessable, and were issued in compliance with the applicable registration and qualification requirements of applicable Law.", "ner": [[14, 18, "Shares"], [43, 46, "Price"], [68, 72, "Shares"], [98, 100, "Shares"], [113, 117, "Shares"], [147, 151, "Shares"], [166, 170, "Shares"], [191, 195, "Shares"], [218, 220, "Shares"]], "tokenized_text": ["(", "a", ")", "The", "authorized", "shares", "of", "capital", "stock", "of", "the", "Company", "consist", "of", "62", ",", "500", ",", "000", "shares", "of", "Class", "A", "Common", "Stock", ",", "62", ",", "500", ",", "000", "shares", "of", "Class", "B", "Common", "Stock", "of", "the", "Company", ",", "par", "value", "$", "0", ".", "01", "per", "share", "(", "Class", "B", "Common", "Stock", "and", ",", "with", "the", "Class", "A", "Common", "Stock", ",", "the", "Common", "Stock", ")", "and", "10", ",", "000", ",", "000", "shares", "of", "Series", "A", "Convertible", "Preferred", "Stock", "of", "the", "Company", "(", "Preferred", "Stock", ")", ".", "As", "of", "March", "23", ",", "2017", ",", "(", "i", ")", "120", ",", "750", "shares", "of", "Preferred", "Stock", "are", "issued", "and", "outstanding", ",", "(", "ii", ")", "27", ",", "312", ",", "493", "shares", "of", "Class", "A", "Common", "Stock", "are", "issued", "and", "outstanding", ",", "(", "iii", ")", "no", "shares", "of", "Class", "B", "Common", "Stock", "are", "issued", "and", "outstanding", ",", "(", "iv", ")", "10", ",", "139", ",", "040", "shares", "of", "Class", "A", "Common", "Stock", "are", "held", "in", "treasury", ",", "(", "v", ")", "4", ",", "595", ",", "975", "shares", "of", "Class", "A", "Common", "Stock", "are", "reserved", "for", "issuance", "upon", "conversion", "of", "the", "Preferred", "Stock", ",", "(", "vi", ")", "5", ",", "475", ",", "548", "shares", "of", "Class", "A", "Common", "Stock", "are", "reserved", "for", "issuance", "under", "restricted", "stock", "units", "under", "the", "Equity", "Plans", ",", "(", "vii", ")", "75", ",", "000", "shares", "of", "Class", "A", "Common", "Stock", "are", "reserved", "for", "issuance", "under", "stock", "appreciation", "rights", "under", "the", "Equity", "Plans", ".", "All", "of", "the", "outstanding", "shares", "of", "capital", "stock", "of", "the", "Company", "are", "duly", "authorized", "and", "validly", "issued", ",", "fully", "paid", "and", "non-assessable", ",", "and", "were", "issued", "in", "compliance", "with", "the", "applicable", "registration", "and", "qualification", "requirements", "of", "applicable", "Law", "."]}
{"id": "15719", "text": "Section 3.06 Governmental Approvals. The Company or any of its Subsidiaries is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any Governmental Authority or other Person pursuant to any Law or requirement in effect on the date hereof in connection with the execution, delivery and performance by the Company of this Agreement or any of the other Transaction Agreements, other than in connection with or in compliance with (i) its obligations under the Securities Act and the Exchange Act, ( ii) the listing of the Shares pursuant to the rules and regulations of NASDAQ, (iii) the HSR Act, ( iv) the CFIUS Approval and (v) state securities or blue sky Law (collectively, the Company Governmental Approvals), and, subject to the accuracy of the representations and warranties of the Investor in Section 4.04, no authorization, consent, order, license, permit or approval of, or registration, declaration, notice or filing with, any Governmental Authority or other Person may be necessary for the consummation by the Company of the transactions contemplated by this Agreement or any of the other Transaction Agreements, except, in each case, for such authorizations, consents, approvals or filings that, if not obtained or made, would not, individually or in the aggregate, reasonably be expected to materially and adversely affect the consummation by the Company of the transactions contemplated in this Agreement or any of the other Transaction Agreement or the performance by the Company of its obligations hereunder or thereunder. Without limiting the generality of the foregoing, the consummation of the transactions contemplated by the Transaction Agreements will not result in the assignment (as defined in the Investment Advisers Act of 1940 and the Investment Company Act of 1940 ) of any investment advisory agreement to which the Company or any of its Subsidiaries is a party or otherwise require consent or other approval of any advisory client of the Company or any of its Subsidiaries.", "ner": [[99, 100, "Act"], [103, 104, "Act"], [127, 128, "Act"], [330, 334, "Act"], [337, 341, "Act"]], "tokenized_text": ["Section", "3", ".", "06", "Governmental", "Approvals", ".", "The", "Company", "or", "any", "of", "its", "Subsidiaries", "is", "not", "required", "to", "obtain", "any", "consent", ",", "waiver", ",", "authorization", "or", "order", "of", ",", "give", "any", "notice", "to", ",", "or", "make", "any", "filing", "or", "registration", "with", ",", "any", "Governmental", "Authority", "or", "other", "Person", "pursuant", "to", "any", "Law", "or", "requirement", "in", "effect", "on", "the", "date", "hereof", "in", "connection", "with", "the", "execution", ",", "delivery", "and", "performance", "by", "the", "Company", "of", "this", "Agreement", "or", "any", "of", "the", "other", "Transaction", "Agreements", ",", "other", "than", "in", "connection", "with", "or", "in", "compliance", "with", "(", "i", ")", "its", "obligations", "under", "the", "Securities", "Act", "and", "the", "Exchange", "Act", ",", "(", "ii", ")", "the", "listing", "of", "the", "Shares", "pursuant", "to", "the", "rules", "and", "regulations", "of", "NASDAQ", ",", "(", "iii", ")", "the", "HSR", "Act", ",", "(", "iv", ")", "the", "CFIUS", "Approval", "and", "(", "v", ")", "state", "securities", "or", "blue", "sky", "Law", "(", "collectively", ",", "the", "Company", "Governmental", "Approvals", ")", ",", "and", ",", "subject", "to", "the", "accuracy", "of", "the", "representations", "and", "warranties", "of", "the", "Investor", "in", "Section", "4", ".", "04", ",", "no", "authorization", ",", "consent", ",", "order", ",", "license", ",", "permit", "or", "approval", "of", ",", "or", "registration", ",", "declaration", ",", "notice", "or", "filing", "with", ",", "any", "Governmental", "Authority", "or", "other", "Person", "may", "be", "necessary", "for", "the", "consummation", "by", "the", "Company", "of", "the", "transactions", "contemplated", "by", "this", "Agreement", "or", "any", "of", "the", "other", "Transaction", "Agreements", ",", "except", ",", "in", "each", "case", ",", "for", "such", "authorizations", ",", "consents", ",", "approvals", "or", "filings", "that", ",", "if", "not", "obtained", "or", "made", ",", "would", "not", ",", "individually", "or", "in", "the", "aggregate", ",", "reasonably", "be", "expected", "to", "materially", "and", "adversely", "affect", "the", "consummation", "by", "the", "Company", "of", "the", "transactions", "contemplated", "in", "this", "Agreement", "or", "any", "of", "the", "other", "Transaction", "Agreement", "or", "the", "performance", "by", "the", "Company", "of", "its", "obligations", "hereunder", "or", "thereunder", ".", "Without", "limiting", "the", "generality", "of", "the", "foregoing", ",", "the", "consummation", "of", "the", "transactions", "contemplated", "by", "the", "Transaction", "Agreements", "will", "not", "result", "in", "the", "assignment", "(", "as", "defined", "in", "the", "Investment", "Advisers", "Act", "of", "1940", "and", "the", "Investment", "Company", "Act", "of", "1940", ")", "of", "any", "investment", "advisory", "agreement", "to", "which", "the", "Company", "or", "any", "of", "its", "Subsidiaries", "is", "a", "party", "or", "otherwise", "require", "consent", "or", "other", "approval", "of", "any", "advisory", "client", "of", "the", "Company", "or", "any", "of", "its", "Subsidiaries", "."]}
{"id": "15720", "text": "Section 3.07 Authorization of the Shares. The Shares have been duly and validly authorized for issuance and sale to the Investor pursuant to this Agreement and, when issued and delivered by the Company pursuant to this Agreement against payment of the consideration set forth herein, will be validly issued, fully paid and non-assessable and free from all preemptive or similar rights, Taxes (other than Transfer Taxes) and Encumbrances. The issuance of the Shares pursuant to this Agreement is not subject to preemptive or other similar rights of any security holder of the Company and is exempt from registration under the Securities Act.&lt; br/&gt;", "ner": [[110, 111, "Act"]], "tokenized_text": ["Section", "3", ".", "07", "Authorization", "of", "the", "Shares", ".", "The", "Shares", "have", "been", "duly", "and", "validly", "authorized", "for", "issuance", "and", "sale", "to", "the", "Investor", "pursuant", "to", "this", "Agreement", "and", ",", "when", "issued", "and", "delivered", "by", "the", "Company", "pursuant", "to", "this", "Agreement", "against", "payment", "of", "the", "consideration", "set", "forth", "herein", ",", "will", "be", "validly", "issued", ",", "fully", "paid", "and", "non-assessable", "and", "free", "from", "all", "preemptive", "or", "similar", "rights", ",", "Taxes", "(", "other", "than", "Transfer", "Taxes", ")", "and", "Encumbrances", ".", "The", "issuance", "of", "the", "Shares", "pursuant", "to", "this", "Agreement", "is", "not", "subject", "to", "preemptive", "or", "other", "similar", "rights", "of", "any", "security", "holder", "of", "the", "Company", "and", "is", "exempt", "from", "registration", "under", "the", "Securities", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "12722", "text": "Section 3.16 Investment Company Act. The Company is not required, and upon the issuance and sale of the Shares and the funding of the Loan as herein contemplated and the application of the net proceeds therefrom to the capital or any other accounts of the Company in accordance with the terms of the Transaction Agreements will not be required, to register as an investment company under the Investment Company Act of 1940 .", "ner": [[4, 6, "Act"], [57, 58, "Title"], [72, 76, "Act"]], "tokenized_text": ["Section", "3", ".", "16", "Investment", "Company", "Act", ".", "The", "Company", "is", "not", "required", ",", "and", "upon", "the", "issuance", "and", "sale", "of", "the", "Shares", "and", "the", "funding", "of", "the", "Loan", "as", "herein", "contemplated", "and", "the", "application", "of", "the", "net", "proceeds", "therefrom", "to", "the", "capital", "or", "any", "other", "accounts", "of", "the", "Company", "in", "accordance", "with", "the", "terms", "of", "the", "Transaction", "Agreements", "will", "not", "be", "required", ",", "to", "register", "as", "an", "investment", "company", "under", "the", "Investment", "Company", "Act", "of", "1940", "."]}
{"id": "15723", "text": "(a) All employee benefit plans, as defined in Section 3(3) of the Employee Retirement Income Security Act of 1974 , as amended (ERISA), as to which the Company or any entity which, with the Company, would be deemed to be a single employer under Section 414(b), (c), (m) or (o) of the Code, has any liability and that are subject to Title IV of ERISA or Section 302 of ERISA or Section 412 of the Code shall be referred to herein as Company Plans. No liability has been incurred under Title IV of ERISA, Section 302 of ERISA or Section 412 of the Code that would have a Material Adverse Effect, and, to the Knowledge of the Company, no facts exist or events have occurred that would result in any such liability that would have a Material Adverse Effect. As of the date hereof, there has been no adverse change in the funded status of the Company Plans and each other pension and other post-employment benefit plans (as such terms are used in Statement of Financial Accounting Standards No. 158) with respect to which the Company has any liability, considered individually and in the aggregate, since December 31, 2016, that could have a Material Adverse Effect.", "ner": [[18, 24, "Act"], [29, 29, "Act"]], "tokenized_text": ["(", "a", ")", "All", "employee", "benefit", "plans", ",", "as", "defined", "in", "Section", "3", "(", "3", ")", "of", "the", "Employee", "Retirement", "Income", "Security", "Act", "of", "1974", ",", "as", "amended", "(", "ERISA", ")", ",", "as", "to", "which", "the", "Company", "or", "any", "entity", "which", ",", "with", "the", "Company", ",", "would", "be", "deemed", "to", "be", "a", "single", "employer", "under", "Section", "414", "(", "b", ")", ",", "(", "c", ")", ",", "(", "m", ")", "or", "(", "o", ")", "of", "the", "Code", ",", "has", "any", "liability", "and", "that", "are", "subject", "to", "Title", "IV", "of", "ERISA", "or", "Section", "302", "of", "ERISA", "or", "Section", "412", "of", "the", "Code", "shall", "be", "referred", "to", "herein", "as", "Company", "Plans", ".", "No", "liability", "has", "been", "incurred", "under", "Title", "IV", "of", "ERISA", ",", "Section", "302", "of", "ERISA", "or", "Section", "412", "of", "the", "Code", "that", "would", "have", "a", "Material", "Adverse", "Effect", ",", "and", ",", "to", "the", "Knowledge", "of", "the", "Company", ",", "no", "facts", "exist", "or", "events", "have", "occurred", "that", "would", "result", "in", "any", "such", "liability", "that", "would", "have", "a", "Material", "Adverse", "Effect", ".", "As", "of", "the", "date", "hereof", ",", "there", "has", "been", "no", "adverse", "change", "in", "the", "funded", "status", "of", "the", "Company", "Plans", "and", "each", "other", "pension", "and", "other", "post-employment", "benefit", "plans", "(", "as", "such", "terms", "are", "used", "in", "Statement", "of", "Financial", "Accounting", "Standards", "No", ".", "158", ")", "with", "respect", "to", "which", "the", "Company", "has", "any", "liability", ",", "considered", "individually", "and", "in", "the", "aggregate", ",", "since", "December", "31", ",", "2016", ",", "that", "could", "have", "a", "Material", "Adverse", "Effect", "."]}
{"id": "15725", "text": "Section 4.04 Governmental Approvals. The Investor is not required to obtain any consent, waiver, authorization or order of, give any notice to, or make any filing or registration with, any Governmental Authority or other Person in the United States or China pursuant to any Law or requirement in effect on the date hereof in connection with the execution, delivery and performance by the Investor of this Agreement or any of the other Transaction Agreements, other than as a result of the identity or status of the Company and/or its Subsidiaries in connection with (i) its obligations under the Exchange Act, ( ii) the HSR Act and (iii) the CFIUS Approval (together with the Company Governmental Approvals, the Governmental Approvals), and, subject to the accuracy of the representations and warranties of the Company in Section 3.06, no authorization, consent, order, license, permit or approval of, or registration, declaration, notice or filing with, any Governmental Authority may be necessary, under applicable Law in effect on the date hereof, for the consummation by the Investor of the transactions contemplated by this Agreement or any of the other Transaction Agreements, except, in each case, for such authorizations, consents, approvals or filings that, if not obtained or made, would not, individually or in the aggregate, reasonably be expected to materially and adversely affect the consummation by the Investor of the transactions contemplated in this Agreement or any of the other Transaction Agreements or the performance by the Investor of its obligations hereunder or thereunder.", "ner": [[112, 113, "Act"], [119, 120, "Act"]], "tokenized_text": ["Section", "4", ".", "04", "Governmental", "Approvals", ".", "The", "Investor", "is", "not", "required", "to", "obtain", "any", "consent", ",", "waiver", ",", "authorization", "or", "order", "of", ",", "give", "any", "notice", "to", ",", "or", "make", "any", "filing", "or", "registration", "with", ",", "any", "Governmental", "Authority", "or", "other", "Person", "in", "the", "United", "States", "or", "China", "pursuant", "to", "any", "Law", "or", "requirement", "in", "effect", "on", "the", "date", "hereof", "in", "connection", "with", "the", "execution", ",", "delivery", "and", "performance", "by", "the", "Investor", "of", "this", "Agreement", "or", "any", "of", "the", "other", "Transaction", "Agreements", ",", "other", "than", "as", "a", "result", "of", "the", "identity", "or", "status", "of", "the", "Company", "and", "/", "or", "its", "Subsidiaries", "in", "connection", "with", "(", "i", ")", "its", "obligations", "under", "the", "Exchange", "Act", ",", "(", "ii", ")", "the", "HSR", "Act", "and", "(", "iii", ")", "the", "CFIUS", "Approval", "(", "together", "with", "the", "Company", "Governmental", "Approvals", ",", "the", "Governmental", "Approvals", ")", ",", "and", ",", "subject", "to", "the", "accuracy", "of", "the", "representations", "and", "warranties", "of", "the", "Company", "in", "Section", "3", ".", "06", ",", "no", "authorization", ",", "consent", ",", "order", ",", "license", ",", "permit", "or", "approval", "of", ",", "or", "registration", ",", "declaration", ",", "notice", "or", "filing", "with", ",", "any", "Governmental", "Authority", "may", "be", "necessary", ",", "under", "applicable", "Law", "in", "effect", "on", "the", "date", "hereof", ",", "for", "the", "consummation", "by", "the", "Investor", "of", "the", "transactions", "contemplated", "by", "this", "Agreement", "or", "any", "of", "the", "other", "Transaction", "Agreements", ",", "except", ",", "in", "each", "case", ",", "for", "such", "authorizations", ",", "consents", ",", "approvals", "or", "filings", "that", ",", "if", "not", "obtained", "or", "made", ",", "would", "not", ",", "individually", "or", "in", "the", "aggregate", ",", "reasonably", "be", "expected", "to", "materially", "and", "adversely", "affect", "the", "consummation", "by", "the", "Investor", "of", "the", "transactions", "contemplated", "in", "this", "Agreement", "or", "any", "of", "the", "other", "Transaction", "Agreements", "or", "the", "performance", "by", "the", "Investor", "of", "its", "obligations", "hereunder", "or", "thereunder", "."]}
{"id": "15726", "text": "(ii) it may not sell or otherwise transfer the Shares, except pursuant to an effective registration under the Securities Act and in accordance with the Investor Rights Agreement, or in a transaction which, in the opinion of counsel reasonably satisfactory to the Company or the Investor, qualifies as an exempt transaction under the Securities Act and the rules and regulations promulgated thereunder; provided, however, that no opinion of counsel will be required if the sale or transfer of such shares is pursuant to Rule 144 promulgated under the Securities Act ( or any other similar rule or regulation of the SEC that may at any time permit the Company to sell its securities to the public without registration);", "ner": [[21, 22, "Act"], [28, 30, "Shares"], [92, 93, "Regulation"]], "tokenized_text": ["(", "ii", ")", "it", "may", "not", "sell", "or", "otherwise", "transfer", "the", "Shares", ",", "except", "pursuant", "to", "an", "effective", "registration", "under", "the", "Securities", "Act", "and", "in", "accordance", "with", "the", "Investor", "Rights", "Agreement", ",", "or", "in", "a", "transaction", "which", ",", "in", "the", "opinion", "of", "counsel", "reasonably", "satisfactory", "to", "the", "Company", "or", "the", "Investor", ",", "qualifies", "as", "an", "exempt", "transaction", "under", "the", "Securities", "Act", "and", "the", "rules", "and", "regulations", "promulgated", "thereunder", ";", "provided", ",", "however", ",", "that", "no", "opinion", "of", "counsel", "will", "be", "required", "if", "the", "sale", "or", "transfer", "of", "such", "shares", "is", "pursuant", "to", "Rule", "144", "promulgated", "under", "the", "Securities", "Act", "(", "or", "any", "other", "similar", "rule", "or", "regulation", "of", "the", "SEC", "that", "may", "at", "any", "time", "permit", "the", "Company", "to", "sell", "its", "securities", "to", "the", "public", "without", "registration", ")", ";"]}
{"id": "15728", "text": "Section 5.03 HSR Act. The Company and the Investor agree to make an appropriate filing of a Notification and Report Form pursuant to the HSR Act with respect to the transactions contemplated hereby as promptly as practicable, and in any event within fifteen (15) Business Days following (but not including) the date hereof, and to supply as promptly as practicable any additional information and documentary material that may be requested pursuant to the HSR Act and to take all other actions necessary to cause the expiration or termination of the applicable waiting periods under the HSR Act as soon as practicable. The Company and the Investor shall each pay 50% of all the costs, expenses and filing fees incurred in connection with obtaining approval pursuant to the HSR Act.&lt; br/&gt;", "ner": [[4, 5, "Act"], [119, 120, "Percentage"]], "tokenized_text": ["Section", "5", ".", "03", "HSR", "Act", ".", "The", "Company", "and", "the", "Investor", "agree", "to", "make", "an", "appropriate", "filing", "of", "a", "Notification", "and", "Report", "Form", "pursuant", "to", "the", "HSR", "Act", "with", "respect", "to", "the", "transactions", "contemplated", "hereby", "as", "promptly", "as", "practicable", ",", "and", "in", "any", "event", "within", "fifteen", "(", "15", ")", "Business", "Days", "following", "(", "but", "not", "including", ")", "the", "date", "hereof", ",", "and", "to", "supply", "as", "promptly", "as", "practicable", "any", "additional", "information", "and", "documentary", "material", "that", "may", "be", "requested", "pursuant", "to", "the", "HSR", "Act", "and", "to", "take", "all", "other", "actions", "necessary", "to", "cause", "the", "expiration", "or", "termination", "of", "the", "applicable", "waiting", "periods", "under", "the", "HSR", "Act", "as", "soon", "as", "practicable", ".", "The", "Company", "and", "the", "Investor", "shall", "each", "pay", "50", "%", "of", "all", "the", "costs", ",", "expenses", "and", "filing", "fees", "incurred", "in", "connection", "with", "obtaining", "approval", "pursuant", "to", "the", "HSR", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "11729", "text": "Section 5.04 Board Representation. Upon the Closing, (i) the Company shall increase the size of its board of directors by three directors and (ii) the Company shall cause its board of directors to fill this vacancy with three directors designated by the Investor who shall (w) be reasonably acceptable to the Company (which acceptance shall not be unreasonably withheld), (x) be approved by the Nominating and Governance Committee of the Companys board of directors, (y) meet all qualifications required by written policy of the Company and (z) meet the independence standards set forth in the NASDAQ listing rules (the Investor Designees).", "ner": [], "tokenized_text": ["Section", "5", ".", "04", "Board", "Representation", ".", "Upon", "the", "Closing", ",", "(", "i", ")", "the", "Company", "shall", "increase", "the", "size", "of", "its", "board", "of", "directors", "by", "three", "directors", "and", "(", "ii", ")", "the", "Company", "shall", "cause", "its", "board", "of", "directors", "to", "fill", "this", "vacancy", "with", "three", "directors", "designated", "by", "the", "Investor", "who", "shall", "(", "w", ")", "be", "reasonably", "acceptable", "to", "the", "Company", "(", "which", "acceptance", "shall", "not", "be", "unreasonably", "withheld", ")", ",", "(", "x", ")", "be", "approved", "by", "the", "Nominating", "and", "Governance", "Committee", "of", "the", "Companys", "board", "of", "directors", ",", "(", "y", ")", "meet", "all", "qualifications", "required", "by", "written", "policy", "of", "the", "Company", "and", "(", "z", ")", "meet", "the", "independence", "standards", "set", "forth", "in", "the", "NASDAQ", "listing", "rules", "(", "the", "Investor", "Designees", ")", "."]}
{"id": "15730", "text": "Section 5.05 Securities Law Filings. The Investor shall timely file all forms, reports and documents required to be filed with the SEC (including filing any required statements of Beneficial Ownership on Schedule 13D or Schedule 13G and such filings as may be required under Section 16 of the Exchange Act).&lt; br/&gt;", "ner": [[53, 54, "Act"]], "tokenized_text": ["Section", "5", ".", "05", "Securities", "Law", "Filings", ".", "The", "Investor", "shall", "timely", "file", "all", "forms", ",", "reports", "and", "documents", "required", "to", "be", "filed", "with", "the", "SEC", "(", "including", "filing", "any", "required", "statements", "of", "Beneficial", "Ownership", "on", "Schedule", "13D", "or", "Schedule", "13G", "and", "such", "filings", "as", "may", "be", "required", "under", "Section", "16", "of", "the", "Exchange", "Act", ")", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "15732", "text": "1 Harbour Road, Wanchai, Hong Kong", "ner": [[0, 7, "Address"]], "tokenized_text": ["1", "Harbour", "Road", ",", "Wanchai", ",", "Hong", "Kong"]}
{"id": "15737", "text": "Section 4.14. | Leases and Rents | 56 ---|---|--- | | Section 4.15. | Management Agreement | 58 | | Section 4.16. | Payment for Labor and Materials | 60 | | Section 4.17. | Performance of Other Agreements | 61 | | Section 4.18. | Debt Cancellation | 61 | | Section 4.19. | ERISA | 61 | | Section 4.20. | No Joint Assessment | 62 | | Section 4.21. | Alterations | 62 | | Section 4.22. | Intentionally Omitted | 63 | | Section 4.23. | Leasing Agreements | 63 | | Section 4.24. | Embargoed Person | 64 | | Section 4.25. | O&amp;M Program | 64 | | ARTICLE 5. ENTITY COVENANTS | 64 | | Section 5.1. | Single Purpose Entity/Separateness | 64 | | Section 5.2. | Independent Director | 69 | | Section 5.3. | Change of Name, Identity or Structure | 70 | | Section 5.4. | Business and Operations | 71 | | ARTICLE 6. NO SALE OR ENCUMBRANCE | 71 | | Section 6.1. | Transfer Definitions | 71 | | Section 6.2. | No Sale/Encumbrance | 71 | | Section 6.3. | Permitted Equity Transfers | 72 | | Section 6.4. | Assumption | 74 | | Section 6.5. | Lenders Rights | 76 | | Section 6.6. | Economic Sanctions, Anti-Money Laundering and Transfers | 76 | | ARTICLE 7. INSURANCE; CASUALTY; CONDEMNATION; RESTORATION | 77 | | Section 7.1. | Insurance | 77 | | Section 7.2. | Casualty | 82 | | Section 7.3. | Condemnation | 82 | | Section 7.4. | Restoration | 83 | | ARTICLE 8. RESERVE FUNDS | 87 | | Section 8.1. | Intentionally Omitted | 87 | | Section 8.2. | Replacement Reserve Funds | 87 | | Section 8.3. | Leasing Reserve Funds | 88 | -iii-| ---|---|---", "ner": [[30, 31, "Title"], [130, 131, "Title"]], "tokenized_text": ["Section", "4", ".", "14", ".", "|", "Leases", "and", "Rents", "|", "56", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "|", "Section", "4", ".", "15", ".", "|", "Management", "Agreement", "|", "58", "|", "|", "Section", "4", ".", "16", ".", "|", "Payment", "for", "Labor", "and", "Materials", "|", "60", "|", "|", "Section", "4", ".", "17", ".", "|", "Performance", "of", "Other", "Agreements", "|", "61", "|", "|", "Section", "4", ".", "18", ".", "|", "Debt", "Cancellation", "|", "61", "|", "|", "Section", "4", ".", "19", ".", "|", "ERISA", "|", "61", "|", "|", "Section", "4", ".", "20", ".", "|", "No", "Joint", "Assessment", "|", "62", "|", "|", "Section", "4", ".", "21", ".", "|", "Alterations", "|", "62", "|", "|", "Section", "4", ".", "22", ".", "|", "Intentionally", "Omitted", "|", "63", "|", "|", "Section", "4", ".", "23", ".", "|", "Leasing", "Agreements", "|", "63", "|", "|", "Section", "4", ".", "24", ".", "|", "Embargoed", "Person", "|", "64", "|", "|", "Section", "4", ".", "25", ".", "|", "O", "&", "amp", ";", "M", "Program", "|", "64", "|", "|", "ARTICLE", "5", ".", "ENTITY", "COVENANTS", "|", "64", "|", "|", "Section", "5", ".", "1", ".", "|", "Single", "Purpose", "Entity", "/", "Separateness", "|", "64", "|", "|", "Section", "5", ".", "2", ".", "|", "Independent", "Director", "|", "69", "|", "|", "Section", "5", ".", "3", ".", "|", "Change", "of", "Name", ",", "Identity", "or", "Structure", "|", "70", "|", "|", "Section", "5", ".", "4", ".", "|", "Business", "and", "Operations", "|", "71", "|", "|", "ARTICLE", "6", ".", "NO", "SALE", "OR", "ENCUMBRANCE", "|", "71", "|", "|", "Section", "6", ".", "1", ".", "|", "Transfer", "Definitions", "|", "71", "|", "|", "Section", "6", ".", "2", ".", "|", "No", "Sale", "/", "Encumbrance", "|", "71", "|", "|", "Section", "6", ".", "3", ".", "|", "Permitted", "Equity", "Transfers", "|", "72", "|", "|", "Section", "6", ".", "4", ".", "|", "Assumption", "|", "74", "|", "|", "Section", "6", ".", "5", ".", "|", "Lenders", "Rights", "|", "76", "|", "|", "Section", "6", ".", "6", ".", "|", "Economic", "Sanctions", ",", "Anti-Money", "Laundering", "and", "Transfers", "|", "76", "|", "|", "ARTICLE", "7", ".", "INSURANCE", ";", "CASUALTY", ";", "CONDEMNATION", ";", "RESTORATION", "|", "77", "|", "|", "Section", "7", ".", "1", ".", "|", "Insurance", "|", "77", "|", "|", "Section", "7", ".", "2", ".", "|", "Casualty", "|", "82", "|", "|", "Section", "7", ".", "3", ".", "|", "Condemnation", "|", "82", "|", "|", "Section", "7", ".", "4", ".", "|", "Restoration", "|", "83", "|", "|", "ARTICLE", "8", ".", "RESERVE", "FUNDS", "|", "87", "|", "|", "Section", "8", ".", "1", ".", "|", "Intentionally", "Omitted", "|", "87", "|", "|", "Section", "8", ".", "2", ".", "|", "Replacement", "Reserve", "Funds", "|", "87", "|", "|", "Section", "8", ".", "3", ".", "|", "Leasing", "Reserve", "Funds", "|", "88", "|", "-", "iii", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "15739", "text": "Approved ID Provider shall mean each of CT Corporation, Corporation Service Company, National Registered Agents, Inc., Wilmington Trust Company, Stewart Management Company and Lord Securities Corporation; provided, that, (A) the foregoing shall be deemed Approved ID Providers unless and until disapproved by any Rating Agency and (B) additional national providers of Independent Directors may be deemed added to the foregoing hereunder to the extent reasonably approved in writing by Lender and approved in writing by the Rating Agencies.", "ner": [[7, 8, "Parties"], [10, 12, "Parties"], [14, 19, "Parties"], [21, 23, "Parties"], [25, 27, "Parties"], [29, 31, "Parties"]], "tokenized_text": ["Approved", "ID", "Provider", "shall", "mean", "each", "of", "CT", "Corporation", ",", "Corporation", "Service", "Company", ",", "National", "Registered", "Agents", ",", "Inc", ".", ",", "Wilmington", "Trust", "Company", ",", "Stewart", "Management", "Company", "and", "Lord", "Securities", "Corporation", ";", "provided", ",", "that", ",", "(", "A", ")", "the", "foregoing", "shall", "be", "deemed", "Approved", "ID", "Providers", "unless", "and", "until", "disapproved", "by", "any", "Rating", "Agency", "and", "(", "B", ")", "additional", "national", "providers", "of", "Independent", "Directors", "may", "be", "deemed", "added", "to", "the", "foregoing", "hereunder", "to", "the", "extent", "reasonably", "approved", "in", "writing", "by", "Lender", "and", "approved", "in", "writing", "by", "the", "Rating", "Agencies", "."]}
{"id": "15740", "text": "Bankruptcy Event shall mean the occurrence of any one or more the of the following: (i) Borrower or any SPE Component Entity shall commence any case, proceeding or other action (A) under the Bankruptcy Code and/or any Creditors Rights Laws seeking to have an order for relief entered with respect to it, or seeking to adjudicate it a bankrupt or insolvent, or seeking reorganization, liquidation or dissolution or (B) seeking appointment of a receiver, trustee, custodian, conservator or other similar official for it or for all or substantially all of its assets; (ii) Borrower or any SPE Component Entity shall make a general assignment for the benefit of its creditors; (iii) Borrower, any SPE Component Entity, Guarantor or Affiliated Manager (and/or Person owning an interest (directly or indirectly) in Borrower, any SPE Component Entity, Guarantor or Affiliated Manager, but excluding any Person whose indirect interest in Borrower, any SPE Component Entity and/or Affiliated Manager and/or direct or indirect interest in Guarantor is derived solely from its ownership of shares of stock in ARCNYC REIT, that are listed on the New York Stock Exchange, NASDAQ Global Select Market or another nationally recognized stock exchange, unless (I) such Person is an officer and/or director of Borrower, any SPE Component Entity, Guarantor , any Affiliated Manager and/or their respective Affiliates, (II) such Person owns a ten percent (10%) or greater interest in ARCNYC REIT through its ownership of shares of stock in ARCNYC REIT that are listed on the New York Stock Exchange, NASDAQ Global Select Market or another nationally recognized stock exchange and/or (III) such Person Controls Borrower, any SPE Component Entity, Guarantor , any Affiliated Manager and/or their respective Affiliates) files, or joins or colludes in the filing of, (A) an involuntary petition against Borrower or any SPE Component Entity under the Bankruptcy Code or any other Creditors Rights Laws, or solicits or causes to be solicited or colludes with petitioning creditors for any involuntary petition under the Bankruptcy Code or any other Creditors Rights Laws against Borrower or any SPE Component Entity or (B) any case, proceeding or other action under the Bankruptcy Code or any other Creditors Rights Laws seeking issuance of a warrant of attachment, execution, distraint or similar process against all or substantially all of Borrowers or any SPE Component Entitys assets; (iv) Borrower or any SPE Component Entity files an answer consenting to or otherwise acquiescing in or joining in any involuntary petition filed against it, by any other Person under the Bankruptcy Code or any other Creditors Rights Laws, or solicits or causes to be solicited or colludes with petitioning creditors for any involuntary petition from any Person against Borrower or any SPE Component Entity; (v) Borrower, any SPE Component Entity, Guarantor or Affiliated Manager (and/or Person owning an interest (directly or indirectly) in Borrower, any SPE Component Entity, Guarantor or Affiliated Manager, but excluding any Person whose indirect interest in Borrower, any SPE Component Entity and/or Affiliated Manager and/or direct or indirect interest in Guarantor is derived solely from its ownership of shares of stock in ARCNYC REIT that are listed on the New York Stock Exchange, NASDAQ Global Select Market or another nationally recognized stock exchange, unless (I) such Person is an officer and/or director of Borrower, any SPE Component Entity, Guarantor , any Affiliated Manager and/or their respective Affiliates, (II) such Person owns a ten percent (10%) or greater interest in ARCNYC REIT through its ownership of shares of stock in ARCNYC REIT that are listed on the New York Stock Exchange, NASDAQ Global Select Market or another nationally recognized stock exchange and/or (III) such Person Controls Borrower, any SPE Component Entity, Guarantor , any Affiliated Manager and/or their respective Affiliates) consents to or acquiesces in or joins in an application for the appointment of a custodian, receiver, trustee, or examiner for Borrower, any SPE Component Entity or any portion of the Property; and (vi)Borrower or any SPE Component Entity admits, in writing or in any legal proceeding, its insolvency or inability to pay its debts as they become due.", "ner": [[39, 40, "Act"], [45, 47, "Act"], [209, 210, "Shares"], [276, 277, "Percentage"], [675, 676, "Percentage"]], "tokenized_text": ["Bankruptcy", "Event", "shall", "mean", "the", "occurrence", "of", "any", "one", "or", "more", "the", "of", "the", "following", ":", "(", "i", ")", "Borrower", "or", "any", "SPE", "Component", "Entity", "shall", "commence", "any", "case", ",", "proceeding", "or", "other", "action", "(", "A", ")", "under", "the", "Bankruptcy", "Code", "and", "/", "or", "any", "Creditors", "Rights", "Laws", "seeking", "to", "have", "an", "order", "for", "relief", "entered", "with", "respect", "to", 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"are", "listed", "on", "the", "New", "York", "Stock", "Exchange", ",", "NASDAQ", "Global", "Select", "Market", "or", "another", "nationally", "recognized", "stock", "exchange", "and", "/", "or", "(", "III", ")", "such", "Person", "Controls", "Borrower", ",", "any", "SPE", "Component", "Entity", ",", "Guarantor", ",", "any", "Affiliated", "Manager", "and", "/", "or", "their", "respective", "Affiliates", ")", "files", ",", "or", "joins", "or", "colludes", "in", "the", "filing", "of", ",", "(", "A", ")", "an", "involuntary", "petition", "against", "Borrower", "or", "any", "SPE", "Component", "Entity", "under", "the", "Bankruptcy", "Code", "or", "any", "other", "Creditors", "Rights", "Laws", ",", "or", "solicits", "or", "causes", "to", "be", "solicited", "or", "colludes", "with", "petitioning", "creditors", "for", "any", "involuntary", "petition", "under", "the", "Bankruptcy", "Code", "or", "any", "other", "Creditors", "Rights", "Laws", "against", "Borrower", "or", "any", "SPE", "Component", "Entity", "or", "(", "B", ")", "any", "case", ",", "proceeding", "or", "other", "action", "under", "the", "Bankruptcy", "Code", "or", "any", "other", "Creditors", "Rights", "Laws", "seeking", "issuance", "of", "a", "warrant", "of", "attachment", ",", "execution", ",", "distraint", "or", "similar", "process", "against", "all", "or", "substantially", "all", "of", "Borrowers", "or", "any", "SPE", "Component", "Entitys", "assets", ";", "(", "iv", ")", "Borrower", "or", "any", "SPE", "Component", "Entity", "files", "an", "answer", "consenting", "to", "or", "otherwise", "acquiescing", "in", "or", "joining", "in", "any", "involuntary", "petition", "filed", "against", "it", ",", "by", "any", "other", "Person", "under", "the", "Bankruptcy", "Code", "or", "any", "other", "Creditors", "Rights", "Laws", ",", "or", "solicits", "or", "causes", "to", "be", "solicited", "or", "colludes", "with", "petitioning", "creditors", "for", "any", "involuntary", "petition", "from", "any", "Person", "against", "Borrower", "or", "any", "SPE", "Component", "Entity", ";", "(", "v", ")", "Borrower", ",", "any", "SPE", "Component", "Entity", ",", "Guarantor", "or", "Affiliated", "Manager", "(", "and", "/", "or", "Person", "owning", "an", "interest", "(", "directly", "or", "indirectly", ")", "in", "Borrower", ",", "any", "SPE", "Component", "Entity", ",", "Guarantor", "or", "Affiliated", "Manager", ",", "but", "excluding", "any", "Person", "whose", "indirect", "interest", "in", "Borrower", ",", "any", "SPE", "Component", "Entity", "and", "/", "or", "Affiliated", "Manager", "and", "/", "or", "direct", "or", "indirect", "interest", "in", "Guarantor", "is", "derived", "solely", "from", "its", "ownership", "of", "shares", "of", "stock", "in", "ARCNYC", "REIT", "that", "are", "listed", "on", "the", "New", "York", "Stock", "Exchange", ",", "NASDAQ", "Global", "Select", "Market", "or", "another", "nationally", "recognized", "stock", "exchange", ",", "unless", "(", "I", ")", "such", "Person", "is", "an", "officer", "and", "/", "or", "director", "of", "Borrower", ",", "any", "SPE", "Component", "Entity", ",", "Guarantor", ",", "any", "Affiliated", "Manager", "and", "/", "or", "their", "respective", "Affiliates", ",", "(", "II", ")", "such", "Person", "owns", "a", "ten", "percent", "(", "10", "%", ")", "or", "greater", "interest", "in", "ARCNYC", "REIT", "through", "its", "ownership", "of", "shares", "of", "stock", "in", "ARCNYC", "REIT", "that", "are", "listed", "on", "the", "New", "York", "Stock", "Exchange", ",", "NASDAQ", "Global", "Select", "Market", "or", "another", "nationally", "recognized", "stock", "exchange", "and", "/", "or", "(", "III", ")", "such", "Person", "Controls", "Borrower", ",", "any", "SPE", "Component", "Entity", ",", "Guarantor", ",", "any", "Affiliated", "Manager", "and", "/", "or", "their", "respective", "Affiliates", ")", "consents", "to", "or", "acquiesces", "in", "or", "joins", "in", "an", "application", "for", "the", "appointment", "of", "a", "custodian", ",", "receiver", ",", "trustee", ",", "or", "examiner", "for", "Borrower", ",", "any", "SPE", "Component", "Entity", "or", "any", "portion", "of", "the", "Property", ";", "and", "(", "vi", ")", "Borrower", "or", "any", "SPE", "Component", "Entity", "admits", ",", "in", "writing", "or", "in", "any", "legal", "proceeding", ",", "its", "insolvency", "or", "inability", "to", "pay", "its", "debts", "as", "they", "become", "due", "."]}
{"id": "15744", "text": "Exchange Act shall mean the Securities and Exchange Act of 1934 , as amended.", "ner": [[0, 1, "Act"], [5, 10, "Act"]], "tokenized_text": ["Exchange", "Act", "shall", "mean", "the", "Securities", "and", "Exchange", "Act", "of", "1934", ",", "as", "amended", "."]}
{"id": "15745", "text": "Indemnified Person shall mean Lender, any Affiliate of Lender that has filed any registration statement relating to the Securitization or has acted as the sponsor or depositor in connection with the Securitization, any Affiliate of Lender that acts as an underwriter, placement agent or initial purchaser of Securities issued in the Securitization, any other co-underwriters, co- placement agents or co-initial purchasers of Securities issued in the Securitization, and each of their respective officers, directors, partners, employees, representatives, agents and Affiliates and each Person or entity who Controls any such Person within the meaning of Section 15 of the Securities Act of 1933 as amended or Section 20 of the Security Exchange Act of 1934 as amended, any Person who is or will have been involved in the origination of the Loan on behalf of Lender, any Person who is or will have been involved in the servicing of the Loan secured hereby, any Person in whose name the encumbrance created by the Security Instrument is or will have been recorded, any Person who may hold or acquire or will have held a full or partial direct interest in the Loan secured hereby as well as custodians, trustees and other fiduciaries who hold or have held a full or partial direct interest in the Loan secured hereby for the benefit of third parties as well as the respective directors, officers, shareholders, partners, employees, agents, representatives of any and all of the foregoing (including, but not limited to, any successors by merger, consolidation or acquisition of all or a substantial portion of Lenders assets and business) and any receiver or other fiduciary appointed in a foreclosure or other Creditors Rights Laws proceeding.", "ner": [[110, 113, "Act"], [121, 125, "Act"]], "tokenized_text": ["Indemnified", "Person", "shall", "mean", "Lender", ",", "any", "Affiliate", "of", "Lender", "that", "has", "filed", "any", "registration", "statement", "relating", "to", "the", "Securitization", "or", "has", "acted", "as", "the", "sponsor", "or", "depositor", "in", "connection", "with", "the", "Securitization", ",", "any", "Affiliate", "of", "Lender", "that", "acts", "as", "an", "underwriter", ",", "placement", "agent", "or", "initial", "purchaser", "of", "Securities", "issued", "in", "the", "Securitization", ",", "any", "other", "co-underwriters", ",", "co", "-", "placement", "agents", "or", "co-initial", "purchasers", "of", "Securities", "issued", "in", "the", "Securitization", ",", "and", "each", "of", "their", "respective", "officers", ",", "directors", ",", "partners", ",", "employees", ",", "representatives", ",", "agents", "and", "Affiliates", "and", "each", "Person", "or", "entity", "who", "Controls", "any", "such", "Person", "within", "the", "meaning", "of", "Section", "15", "of", "the", "Securities", "Act", "of", "1933", "as", "amended", "or", "Section", "20", "of", "the", "Security", "Exchange", "Act", "of", "1934", "as", "amended", ",", "any", "Person", "who", "is", "or", "will", "have", "been", "involved", "in", "the", "origination", "of", "the", "Loan", "on", "behalf", "of", "Lender", ",", "any", "Person", "who", "is", "or", "will", "have", "been", "involved", "in", "the", "servicing", "of", "the", "Loan", "secured", "hereby", ",", "any", "Person", "in", "whose", "name", "the", "encumbrance", "created", "by", "the", "Security", "Instrument", "is", "or", "will", "have", "been", "recorded", ",", "any", "Person", "who", "may", "hold", "or", "acquire", "or", "will", "have", "held", "a", "full", "or", "partial", "direct", "interest", "in", "the", "Loan", "secured", "hereby", "as", "well", "as", "custodians", ",", "trustees", "and", "other", "fiduciaries", "who", "hold", "or", "have", "held", "a", "full", "or", "partial", "direct", "interest", "in", "the", "Loan", "secured", "hereby", "for", "the", "benefit", "of", "third", "parties", "as", "well", "as", "the", "respective", "directors", ",", "officers", ",", "shareholders", ",", "partners", ",", "employees", ",", "agents", ",", "representatives", "of", "any", "and", "all", "of", "the", "foregoing", "(", "including", ",", "but", "not", "limited", "to", ",", "any", "successors", "by", "merger", ",", "consolidation", "or", "acquisition", "of", "all", "or", "a", "substantial", "portion", "of", "Lenders", "assets", "and", "business", ")", "and", "any", "receiver", "or", "other", "fiduciary", "appointed", "in", "a", "foreclosure", "or", "other", "Creditors", "Rights", "Laws", "proceeding", "."]}
{"id": "15746", "text": "Legal Requirements shall mean all federal, state, county, municipal and other governmental statutes, laws, rules, orders, regulations, ordinances, judgments, decrees and injunctions of Governmental Authorities affecting Borrower or the Property or any part thereof, or the construction, use, alteration or operation thereof, or any part thereof, whether now or hereafter enacted and in force, including, without limitation, the Americans with Disabilities Act of 1990 , and all Permits, authorizations and regulations relating thereto, and all covenants, agreements, restrictions and encumbrances contained in any instruments, either of record or known to Borrower, at any time in force affecting Borrower or the Property or any part thereof, including, without limitation, any which may (i) require repairs, modifications or alterations in or to the Property or any part thereof, or (ii) in any way limit the use and enjoyment thereof.", "ner": [[76, 81, "Act"]], "tokenized_text": ["Legal", "Requirements", "shall", "mean", "all", "federal", ",", "state", ",", "county", ",", "municipal", "and", "other", "governmental", "statutes", ",", "laws", ",", "rules", ",", "orders", ",", "regulations", ",", "ordinances", ",", "judgments", ",", "decrees", "and", "injunctions", "of", "Governmental", "Authorities", "affecting", "Borrower", "or", "the", "Property", "or", "any", "part", "thereof", ",", "or", "the", "construction", ",", "use", ",", "alteration", "or", "operation", "thereof", ",", "or", "any", "part", "thereof", ",", "whether", "now", "or", "hereafter", "enacted", "and", "in", "force", ",", "including", ",", "without", "limitation", ",", "the", "Americans", "with", "Disabilities", "Act", "of", "1990", ",", "and", "all", "Permits", ",", "authorizations", "and", "regulations", "relating", "thereto", ",", "and", "all", "covenants", ",", "agreements", ",", "restrictions", "and", "encumbrances", "contained", "in", "any", "instruments", ",", "either", "of", "record", "or", "known", "to", "Borrower", ",", "at", "any", "time", "in", "force", "affecting", "Borrower", "or", "the", "Property", "or", "any", "part", "thereof", ",", "including", ",", "without", "limitation", ",", "any", "which", "may", "(", "i", ")", "require", "repairs", ",", "modifications", "or", "alterations", "in", "or", "to", "the", "Property", "or", "any", "part", "thereof", ",", "or", "(", "ii", ")", "in", "any", "way", "limit", "the", "use", "and", "enjoyment", "thereof", "."]}
{"id": "15749", "text": "Property Condition Report shall mean that certain Property Condition Report prepared by EBI as Project # 111700026 6 and delivered to Lender in connection with the closing of the Loan.", "ner": [], "tokenized_text": ["Property", "Condition", "Report", "shall", "mean", "that", "certain", "Property", "Condition", "Report", "prepared", "by", "EBI", "as", "Project", "#", "111700026", "6", "and", "delivered", "to", "Lender", "in", "connection", "with", "the", "closing", "of", "the", "Loan", "."]}
{"id": "15751", "text": "Securities Act shall mean the Securities Act of 1933 , as amended.", "ner": [[0, 1, "Act"], [5, 8, "Act"]], "tokenized_text": ["Securities", "Act", "shall", "mean", "the", "Securities", "Act", "of", "1933", ",", "as", "amended", "."]}
{"id": "15752", "text": "Significant Obligor shall have the meaning set forth in Item 1101(k) of Regulation AB under the Securities Act.&lt; br/&gt;", "ner": [[9, 13, "Regulation"], [15, 16, "Regulation"], [19, 20, "Act"]], "tokenized_text": ["Significant", "Obligor", "shall", "have", "the", "meaning", "set", "forth", "in", "Item", "1101", "(", "k", ")", "of", "Regulation", "AB", "under", "the", "Securities", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "15755", "text": "Section 2.1.Loan Commitment; Disbursement to Borrower. Except as expressly and specifically set forth herein or in the other Loan Documents, Lender has no obligation or other commitment to loan any funds to Borrower or otherwise make disbursements to Borrower. Borrower hereby waives any right Borrower may have to make any claim to the contrary.", "ner": [], "tokenized_text": ["Section", "2", ".", "1", ".", "Loan", "Commitment", ";", "Disbursement", "to", "Borrower", ".", "Except", "as", "expressly", "and", "specifically", "set", "forth", "herein", "or", "in", "the", "other", "Loan", "Documents", ",", "Lender", "has", "no", "obligation", "or", "other", "commitment", "to", "loan", "any", "funds", "to", "Borrower", "or", "otherwise", "make", "disbursements", "to", "Borrower", ".", "Borrower", "hereby", "waives", "any", "right", "Borrower", "may", "have", "to", "make", "any", "claim", "to", "the", "contrary", "."]}
{"id": "15758", "text": "Section 3.11.Borrowers Principal Place of Business. Borrowers principal place of business and its chief executive office as of the date hereof is 106 York Road, Jenkintown, Pennsylvania 19046. Borrowers mailing address, as set forth in the opening paragraph hereof or as changed in accordance with the provisions hereof, is true and correct. Borrowers organizational identification number assigned by the state of its incorporation or organization is 5679095. Borrowers federal tax identification number is 47-2882737. No Borrower is subject to back-up withholding taxes.", "ner": [[27, 34, "Address"], [77, 77, "PII_Ref"], [85, 85, "PII_Ref"]], "tokenized_text": ["Section", "3", ".", "11", ".", "Borrowers", "Principal", "Place", "of", "Business", ".", "Borrowers", "principal", "place", "of", "business", "and", "its", "chief", "executive", "office", "as", "of", "the", "date", "hereof", "is", "106", "York", "Road", ",", "Jenkintown", ",", "Pennsylvania", "19046", ".", "Borrowers", "mailing", "address", ",", "as", "set", "forth", "in", "the", "opening", "paragraph", "hereof", "or", "as", "changed", "in", "accordance", "with", "the", "provisions", "hereof", ",", "is", "true", "and", "correct", ".", "Borrowers", "organizational", "identification", "number", "assigned", "by", "the", "state", "of", "its", "incorporation", "or", "organization", "is", "5679095", ".", "Borrowers", "federal", "tax", "identification", "number", "is", "47-2882737", ".", "No", "Borrower", "is", "subject", "to", "back-up", "withholding", "taxes", "."]}
{"id": "15759", "text": "Section 3.27.Investment Company Act. Borrower is not (a) an investment company or a company controlled by an investment company, within the meaning of the Investment Company Act of 1940 , as amended; (b) a holding company or a subsidiary company of a holding company or an affiliate of either a holding company or a subsidiary company within the meaning of the Public Utility Holding Company Act of 1935 , as amended; or (c) subject to any other federal or state law or regulation which purports to restrict or regulate its ability to borrow money.", "ner": [[5, 7, "Act"], [32, 36, "Act"], [72, 78, "Act"]], "tokenized_text": ["Section", "3", ".", "27", ".", "Investment", "Company", "Act", ".", "Borrower", "is", "not", "(", "a", ")", "an", "investment", "company", "or", "a", "company", "controlled", "by", "an", "investment", "company", ",", "within", "the", "meaning", "of", "the", "Investment", "Company", "Act", "of", "1940", ",", "as", "amended", ";", "(", "b", ")", "a", "holding", "company", "or", "a", "subsidiary", "company", "of", "a", "holding", "company", "or", "an", "affiliate", "of", "either", "a", "holding", "company", "or", "a", "subsidiary", "company", "within", "the", "meaning", "of", "the", "Public", "Utility", "Holding", "Company", "Act", "of", "1935", ",", "as", "amended", ";", "or", "(", "c", ")", "subject", "to", "any", "other", "federal", "or", "state", "law", "or", "regulation", "which", "purports", "to", "restrict", "or", "regulate", "its", "ability", "to", "borrow", "money", "."]}
{"id": "15760", "text": "Section 3.29.Embargoed Person. As of the date hereof, (a) none of the funds or other assets of any Borrower Party or any Affiliated Manager constitute property of, or are beneficially owned, directly or indirectly, by any Person or government that is the subject of economic sanctions under U.S. law, including but not limited to, the USA PATRIOT Act of 2001 , 107 Public Law 56 (October 26, 2001) (including the anti-terrorism provisions thereof) and in other statutes and all orders, rules and regulations of the United States government and its various executive departments, agencies and offices related to applicable anti-money laundering laws and regulations, the International Emergency Economic Powers Act, 50 U.S.C. 1701 et seq., the Trading with the Enemy Act, 50 U.S.C. App. 1 et seq., and any Executive Orders or regulations promulgated thereunder (collectively referred as the Patriot Act) with the result that transactions involving or the investment in any such Borrower Party or any such Affiliated Manager (whether directly or indirectly) is prohibited by applicable law or the Loan made by Lender is in violation of applicable law (Embargoed Person); (b)none of the funds or other assets of any Borrower Party or any Affiliated Manager constitute property of, or are beneficially owned, directly or indirectly, by any Embargoed Person; (c) no Embargoed Person has any interest of any nature whatsoever in any Borrower Party or any Affiliated Manager, with the result that transactions involving or the investment in any such Borrower Party (whether directly or indirectly), is prohibited by applicable law or the Loan is in violation of applicable law; and (d) none of the funds of any Borrower Party or any Affiliated Manager have been derived from, or are the proceeds of, any unlawful activity with the result that transactions involving or the investment in any such Borrower Party or any such Affiliated Manager (whether directly or indirectly), is prohibited by applicable law or the Loan is in violation of applicable law; provided, that, each of the representations and warranties above are made only to Borrowers knowledge with respect to the direct and/or indirect ownership of any shares of stock in ARCNYC REIT that are listed on the New York Stock Exchange, NASDAQ Global Select Market or another nationally recognized stock exchange. Any violation of the foregoing shall, at Lenders option, constitute an Event of Default hereunder.", "ner": [[71, 75, "Act"], [77, 80, "Regulation"], [82, 85, "EffectiveDate"], [129, 133, "Act"], [135, 142, "Regulation"], [148, 152, "Act"], [154, 163, "Regulation"], [181, 182, "Act"], [429, 430, "Shares"]], "tokenized_text": ["Section", "3", ".", "29", ".", "Embargoed", "Person", ".", "As", "of", "the", "date", "hereof", ",", "(", "a", ")", "none", "of", "the", "funds", "or", "other", "assets", "of", "any", "Borrower", "Party", "or", "any", "Affiliated", "Manager", "constitute", "property", "of", ",", "or", "are", "beneficially", "owned", ",", "directly", "or", "indirectly", ",", "by", "any", "Person", "or", "government", "that", "is", "the", "subject", "of", "economic", "sanctions", "under", "U", ".", "S", ".", "law", ",", "including", "but", "not", "limited", "to", ",", "the", "USA", "PATRIOT", "Act", "of", "2001", ",", "107", "Public", "Law", "56", "(", "October", "26", ",", "2001", ")", "(", "including", "the", "anti-terrorism", "provisions", "thereof", ")", "and", "in", "other", "statutes", "and", "all", "orders", ",", "rules", "and", "regulations", "of", "the", "United", "States", "government", "and", "its", "various", "executive", "departments", ",", "agencies", "and", "offices", "related", "to", "applicable", "anti-money", "laundering", "laws", "and", "regulations", ",", "the", "International", "Emergency", "Economic", "Powers", "Act", ",", "50", "U", ".", "S", ".", "C", ".", "1701", "et", "seq", ".", ",", "the", "Trading", "with", "the", "Enemy", "Act", ",", "50", "U", ".", "S", ".", "C", ".", "App", ".", "1", "et", "seq", ".", ",", "and", "any", "Executive", "Orders", "or", "regulations", "promulgated", "thereunder", "(", "collectively", "referred", "as", "the", "Patriot", "Act", ")", "with", "the", "result", "that", "transactions", "involving", "or", "the", "investment", "in", "any", "such", "Borrower", "Party", "or", "any", "such", "Affiliated", "Manager", "(", "whether", "directly", "or", "indirectly", ")", "is", "prohibited", "by", "applicable", "law", "or", "the", "Loan", "made", "by", "Lender", "is", "in", "violation", "of", "applicable", "law", "(", "Embargoed", "Person", ")", ";", "(", "b", ")", "none", "of", "the", "funds", "or", "other", "assets", "of", "any", "Borrower", "Party", "or", "any", "Affiliated", "Manager", "constitute", "property", "of", ",", "or", "are", "beneficially", "owned", ",", "directly", "or", "indirectly", ",", "by", "any", "Embargoed", "Person", ";", "(", "c", ")", "no", "Embargoed", "Person", "has", "any", "interest", "of", "any", "nature", "whatsoever", "in", "any", "Borrower", "Party", "or", "any", "Affiliated", "Manager", ",", "with", "the", "result", "that", "transactions", "involving", "or", "the", "investment", "in", "any", "such", "Borrower", "Party", "(", "whether", "directly", "or", "indirectly", ")", ",", "is", "prohibited", "by", "applicable", "law", "or", "the", "Loan", "is", "in", "violation", "of", "applicable", "law", ";", "and", "(", "d", ")", "none", "of", "the", "funds", "of", "any", "Borrower", "Party", "or", "any", "Affiliated", "Manager", "have", "been", "derived", "from", ",", "or", "are", "the", "proceeds", "of", ",", "any", "unlawful", "activity", "with", "the", "result", "that", "transactions", "involving", "or", "the", "investment", "in", "any", "such", "Borrower", "Party", "or", "any", "such", "Affiliated", "Manager", "(", "whether", "directly", "or", "indirectly", ")", ",", "is", "prohibited", "by", "applicable", "law", "or", "the", "Loan", "is", "in", "violation", "of", "applicable", "law", ";", "provided", ",", "that", ",", "each", "of", "the", "representations", "and", "warranties", "above", "are", "made", "only", "to", "Borrowers", "knowledge", "with", "respect", "to", "the", "direct", "and", "/", "or", "indirect", "ownership", "of", "any", "shares", "of", "stock", "in", "ARCNYC", "REIT", "that", "are", "listed", "on", "the", "New", "York", "Stock", "Exchange", ",", "NASDAQ", "Global", "Select", "Market", "or", "another", "nationally", "recognized", "stock", "exchange", ".", "Any", "violation", "of", "the", "foregoing", "shall", ",", "at", "Lenders", "option", ",", "constitute", "an", "Event", "of", "Default", "hereunder", "."]}
{"id": "15761", "text": "Section 3.32.Bank Holding Company. Borrower is not a bank holding company or a direct or indirect subsidiary of a bank holding company as defined in the Bank Holding Company Act of 1956 , as amended, and Regulation Y thereunder of the Board of Governors of the Federal Reserve System.", "ner": [[31, 36, "Act"], [42, 43, "Regulation"], [47, 49, "Act"]], "tokenized_text": ["Section", "3", ".", "32", ".", "Bank", "Holding", "Company", ".", "Borrower", "is", "not", "a", "bank", "holding", "company", "or", "a", "direct", "or", "indirect", "subsidiary", "of", "a", "bank", "holding", "company", "as", "defined", "in", "the", "Bank", "Holding", "Company", "Act", "of", "1956", ",", "as", "amended", ",", "and", "Regulation", "Y", "thereunder", "of", "the", "Board", "of", "Governors", "of", "the", "Federal", "Reserve", "System", "."]}
{"id": "15763", "text": "(a)Assuming none of the assets of Lender being used in connection with the Loan constitute plan assets within the meaning of 29 C.F.R. Section 2510 .3-101 and Section 3(42) of ERISA, Borrower shall not engage in any transaction which would cause any obligation, or action taken or to be taken, hereunder (or the exercise by Lender of any of its rights hereunder or under the other Loan Documents) to be a non-exempt prohibited transaction under ERISA.", "ner": [[24, 34, "Regulation"], [36, 40, "Regulation"], [42, 42, "Title"]], "tokenized_text": ["(", "a", ")", "Assuming", "none", "of", "the", "assets", "of", "Lender", "being", "used", "in", "connection", "with", "the", "Loan", "constitute", "plan", "assets", "within", "the", "meaning", "of", "29", "C", ".", "F", ".", "R", ".", "Section", "2510", ".", "3-101", "and", "Section", "3", "(", "42", ")", "of", "ERISA", ",", "Borrower", "shall", "not", "engage", "in", "any", "transaction", "which", "would", "cause", "any", "obligation", ",", "or", "action", "taken", "or", "to", "be", "taken", ",", "hereunder", "(", "or", "the", "exercise", "by", "Lender", "of", "any", "of", "its", "rights", "hereunder", "or", "under", "the", "other", "Loan", "Documents", ")", "to", "be", "a", "non-exempt", "prohibited", "transaction", "under", "ERISA", "."]}
{"id": "15764", "text": "| (A)| Equity interests in Borrower are publicly offered securities, within the meaning of 29 C.F.R. 2510 .3 101(b)(2); ---|---|---", "ner": [[18, 28, "Regulation"]], "tokenized_text": ["|", "(", "A", ")", "|", "Equity", "interests", "in", "Borrower", "are", "publicly", "offered", "securities", ",", "within", "the", "meaning", "of", "29", "C", ".", "F", ".", "R", ".", "2510", ".", "3", "101", "(", "b", ")", "(", "2", ")", ";", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "15768", "text": "Section 4.24.Embargoed Person. Each Borrower Party and each Affiliated Manager has performed and shall perform reasonable due diligence to insure that at all times throughout the term of the Loan, including after giving effect to any Sale or Pledge or other transfer permitted pursuant to the Loan Documents, (a)none of the funds or other assets of any Borrower Party and/or any Affiliated Manager constitute property of, or are beneficially owned, directly or indirectly, by any Embargoed Person; (b)no Embargoed Person has any interest of any nature whatsoever in any Borrower Party or any Affiliated Manager, as applicable, with the result that the investment in any Borrower Party or any Affiliated Manager, as applicable (whether directly or indirectly), is prohibited by law or the Loan is in violation of law; and (c)none of the funds of any Borrower Party or any Affiliated Manager, as applicable, have been derived from, or are the proceeds of, any unlawful activity, including money laundering, terrorism or terrorism activities, with the result that the investment in any Borrower Party or any such Affiliated Manager, as applicable (whether directly or indirectly), is prohibited by law or the Loan is in violation of law, or may cause the Property (or any portion thereof) to be subject to forfeiture or seizure. Notwithstanding the foregoing, the representations, warranties and covenants above are made only to Borrowers knowledge with respect to the direct or indirect ownership of any shares of stock in ARCNYC REIT that are listed on the New York Stock Exchange, NASDAQ Global Select Market or another nationally recognized stock exchange. Any violation of the foregoing shall, at Lenders option, constitute an Event of Default hereunder.", "ner": [[287, 288, "Shares"]], "tokenized_text": ["Section", "4", ".", "24", ".", "Embargoed", "Person", ".", "Each", "Borrower", "Party", "and", "each", "Affiliated", "Manager", "has", "performed", "and", "shall", "perform", "reasonable", "due", "diligence", "to", "insure", "that", "at", "all", "times", "throughout", "the", "term", "of", "the", "Loan", ",", "including", "after", "giving", "effect", "to", "any", "Sale", "or", "Pledge", "or", "other", "transfer", "permitted", "pursuant", "to", "the", "Loan", "Documents", ",", "(", "a", ")", "none", "of", "the", "funds", "or", "other", "assets", "of", "any", "Borrower", "Party", "and", "/", "or", "any", "Affiliated", "Manager", "constitute", "property", "of", ",", "or", "are", "beneficially", "owned", ",", "directly", "or", "indirectly", ",", "by", "any", "Embargoed", "Person", ";", "(", "b", ")", "no", "Embargoed", "Person", "has", "any", "interest", "of", "any", "nature", "whatsoever", "in", "any", "Borrower", "Party", "or", "any", "Affiliated", "Manager", ",", "as", "applicable", ",", "with", "the", "result", "that", "the", "investment", "in", "any", "Borrower", "Party", "or", "any", "Affiliated", "Manager", ",", "as", "applicable", "(", "whether", "directly", "or", "indirectly", ")", ",", "is", "prohibited", "by", "law", "or", "the", "Loan", "is", "in", "violation", "of", "law", ";", "and", "(", "c", ")", "none", "of", "the", "funds", "of", "any", "Borrower", "Party", "or", "any", "Affiliated", "Manager", ",", "as", "applicable", ",", "have", "been", "derived", "from", ",", "or", "are", "the", "proceeds", "of", ",", "any", "unlawful", "activity", ",", "including", "money", "laundering", ",", "terrorism", "or", "terrorism", "activities", ",", "with", "the", "result", "that", "the", "investment", "in", "any", "Borrower", "Party", "or", "any", "such", "Affiliated", "Manager", ",", "as", "applicable", "(", "whether", "directly", "or", "indirectly", ")", ",", "is", "prohibited", "by", "law", "or", "the", "Loan", "is", "in", "violation", "of", "law", ",", "or", "may", "cause", "the", "Property", "(", "or", "any", "portion", "thereof", ")", "to", "be", "subject", "to", "forfeiture", "or", "seizure", ".", "Notwithstanding", "the", "foregoing", ",", "the", "representations", ",", "warranties", "and", "covenants", "above", "are", "made", "only", "to", "Borrowers", "knowledge", "with", "respect", "to", "the", "direct", "or", "indirect", "ownership", "of", "any", "shares", "of", "stock", "in", "ARCNYC", "REIT", "that", "are", "listed", "on", "the", "New", "York", "Stock", "Exchange", ",", "NASDAQ", "Global", "Select", "Market", "or", "another", "nationally", "recognized", "stock", "exchange", ".", "Any", "violation", "of", "the", "foregoing", "shall", ",", "at", "Lenders", "option", ",", "constitute", "an", "Event", "of", "Default", "hereunder", "."]}
{"id": "15770", "text": "(iv)the offer, sale, transfer or issuance (but not pledge) of shares of stock in ARCNYC REIT or in any other Restricted Party that, in each instance, is a publicly traded entity, provided (x) such shares of stock are listed on the New York Stock Exchange, NASDAQ Global Select Market or another nationally recognized stock exchange or (y) such shares are sold in the ordinary course of business and in accordance with all applicable Legal Requirements to retail investors in a manner consistent with previous offerings and sales conducted by the REIT prior to the date of such sale, transfer or issuance;", "ner": [[21, 22, "Shares"]], "tokenized_text": ["(", "iv", ")", "the", "offer", ",", "sale", ",", "transfer", "or", "issuance", "(", "but", "not", "pledge", ")", "of", "shares", "of", "stock", "in", "ARCNYC", "REIT", "or", "in", "any", "other", "Restricted", "Party", "that", ",", "in", "each", "instance", ",", "is", "a", "publicly", "traded", "entity", ",", "provided", "(", "x", ")", "such", "shares", "of", "stock", "are", "listed", "on", "the", "New", "York", "Stock", "Exchange", ",", "NASDAQ", "Global", "Select", "Market", "or", "another", "nationally", "recognized", "stock", "exchange", "or", "(", "y", ")", "such", "shares", "are", "sold", "in", "the", "ordinary", "course", "of", "business", "and", "in", "accordance", "with", "all", "applicable", "Legal", "Requirements", "to", "retail", "investors", "in", "a", "manner", "consistent", "with", "previous", "offerings", "and", "sales", "conducted", "by", "the", "REIT", "prior", "to", "the", "date", "of", "such", "sale", ",", "transfer", "or", "issuance", ";"]}
{"id": "15773", "text": "Section 6.6.Economic Sanctions , Anti-Money Laundering and Transfers. Borrower shall (a) at all times comply with the representations and covenants contained in Sections 3.29 and 4.24 such that the same remain true, correct and not violated or breached and (b) not permit a Prohibited Transfer to occur and shall cause the ownership requirements specified in this Article 6 (including, without limitation, those stipulated in Section 6.3 hereof) to be complied with at all times. Borrower hereby represents that, other than in connection with the Loan, the Loan Documents and any Permitted Encumbrances, as of the date hereof, there exists no Sale or Pledge of Borrower and/or any SPE Component Entity.", "ner": [[29, 36, "Regulation"]], "tokenized_text": ["Section", "6", ".", "6", ".", "Economic", "Sanctions", ",", "Anti-Money", "Laundering", "and", "Transfers", ".", "Borrower", "shall", "(", "a", ")", "at", "all", "times", "comply", "with", "the", "representations", "and", "covenants", "contained", "in", "Sections", "3", ".", "29", "and", "4", ".", "24", "such", "that", "the", "same", "remain", "true", ",", "correct", "and", "not", "violated", "or", "breached", "and", "(", "b", ")", "not", "permit", "a", "Prohibited", "Transfer", "to", "occur", "and", "shall", "cause", "the", "ownership", "requirements", "specified", "in", "this", "Article", "6", "(", "including", ",", "without", "limitation", ",", "those", "stipulated", "in", "Section", "6", ".", "3", "hereof", ")", "to", "be", "complied", "with", "at", "all", "times", ".", "Borrower", "hereby", "represents", "that", ",", "other", "than", "in", "connection", "with", "the", "Loan", ",", "the", "Loan", "Documents", "and", "any", "Permitted", "Encumbrances", ",", "as", "of", "the", "date", "hereof", ",", "there", "exists", "no", "Sale", "or", "Pledge", "of", "Borrower", "and", "/", "or", "any", "SPE", "Component", "Entity", "."]}
{"id": "15777", "text": "(b)Lender shall cause the disbursement to Borrower the Unfunded Obligations Funds (or portions thereof) upon satisfaction by Borrower of each of the following conditions: (i) Borrower shall submit a request for payment to Lender at least ten (10) days prior to the date on which Borrower requests such payment be made and, if such request relates to a disbursement of Unfunded Obligations Funds for tenant improvements, leasing commissions, free rent obligations, such request shall provide evidence reasonably satisfactory to Lender that such for tenant improvements, leasing commissions and/or free rent obligations under the applicable Lease for which Borrower is requesting disbursement of Unfunded Obligations Funds has expired and/or have been paid to the Tenant, (ii) on the date such request is received by Lender and on the date such payment is to be made, no Event of Default shall exist and remain uncured; (iii) to the extent the amount of the requested disbursement for any item set forth on Schedule III (together with any previous disbursements for such item) exceeds the amount set forth on Schedule III, Lender shall have reasonably approved such disbursement; (iv) Lender shall have received a certificate from Borrower (A) stating that (I) with respect to disbursements of Unfunded Obligations Funds for credits for tenant improvements, all tenant improvements at the Property to be funded by the requested disbursement have been completed in good and workmanlike manner and in accordance with all applicable federal, state and local laws, rules and regulations, such certificate to be accompanied by a copy of any license, permit or other approval by any Governmental Authority, if any, required in connection with the tenant improvements and (II) with respect to disbursement of Unfunded Obligations Funds for free rent credits, the applicable rent credits and/or other credits under the Lease for which disbursement is sought by Borrower has expired and/or have been paid to Tenant, (B) with respect to disbursements of Unfunded Obligations Funds for credits for tenant improvements, identifying each Person that supplied materials or labor in connection with the tenant improvements to be funded by the requested disbursement and (C) with respect to disbursements of Unfunded Obligations Funds for credits for tenant improvements, stating that each such Person has been paid in full with respect to all amounts then due or will be paid in full with respect to all amounts then due upon such disbursement (or for ongoing work, such Person has been or will be paid upon such disbursement for the work identified in such certificate from Borrower with respect to such disbursement), such certificate to be accompanied by, as applicable, partial (with respect to such ongoing work) or complete lien waivers, invoices and/or other evidence of payment reasonably satisfactory to Lender; (v) at Lenders option, if the cost of the individual tenant improvement exceeds $100,000, a title search for the Property indicating that the Property is free from all liens, claims and other encumbrances other than Permitted Encumbrances, (vi) at Lenders option, if the cost of the individual tenant improvement exceeds $100,000, Lender shall have received a report reasonably satisfactory to Lender in its reasonable discretion from an architect or engineer reasonably approved by Lender in respect of such architect or engineers inspection of such tenant improvement, and (vii) Lender shall have received such other evidence as Lender shall reasonably request that the tenant improvements at the Property to be funded by the requested disbursement have been completed (to the extent applicable) and/or leasing commissions to be funded by the requested disbursement are due and payable and are paid for or will be paid upon such disbursement to Borrower. Lender shall not be required to disburse Unfunded Obligations Funds more frequently than once each calendar month nor in an amount less than the Minimum Disbursement Amount (or a lesser amount if the total amount of Unfunded Obligations Funds remaining, is less than the Minimum Disbursement Amount, in which case only one disbursement of the amount remaining in the account shall be made). Notwithstanding the foregoing if a Trigger Period exists, any disbursement of Unfunded Obligations Funds with respect to free rent credits shall instead of being disbursed to Borrower be deposited into the Cash Management Account for application in accordance with the Cash Management Agreement on the next Monthly Payment Date. Following the completion of all Unfunded Obligations as reasonably determined by Lender, so long as no Event of Default has occurred and is continuing, Lender shall cause any Unfunded Obligations Funds remaining in the Unfunded Obligations Account to be disbursed to Borrower.", "ner": [[78, 79, "Rent"], [538, 541, "Principal"], [803, 805, "Title"]], "tokenized_text": ["(", "b", ")", "Lender", "shall", "cause", "the", "disbursement", "to", "Borrower", "the", "Unfunded", "Obligations", "Funds", "(", "or", "portions", "thereof", ")", "upon", "satisfaction", "by", "Borrower", "of", "each", "of", "the", "following", "conditions", ":", "(", "i", ")", "Borrower", "shall", "submit", "a", "request", "for", "payment", "to", "Lender", "at", "least", "ten", "(", "10", ")", "days", "prior", "to", "the", "date", "on", "which", "Borrower", "requests", "such", "payment", "be", "made", "and", ",", "if", "such", "request", "relates", "to", "a", "disbursement", "of", "Unfunded", "Obligations", "Funds", "for", "tenant", "improvements", ",", "leasing", "commissions", ",", "free", "rent", "obligations", ",", "such", "request", "shall", "provide", "evidence", "reasonably", "satisfactory", "to", "Lender", "that", "such", "for", "tenant", "improvements", ",", "leasing", "commissions", "and", "/", "or", "free", "rent", "obligations", "under", "the", "applicable", "Lease", "for", "which", "Borrower", "is", "requesting", "disbursement", "of", "Unfunded", "Obligations", "Funds", "has", "expired", "and", "/", "or", "have", "been", "paid", "to", "the", "Tenant", ",", "(", "ii", ")", "on", "the", "date", "such", "request", "is", "received", "by", "Lender", "and", "on", "the", "date", "such", "payment", "is", "to", "be", "made", ",", "no", "Event", "of", "Default", "shall", "exist", "and", "remain", "uncured", ";", "(", "iii", ")", "to", "the", "extent", "the", "amount", "of", "the", "requested", "disbursement", "for", "any", "item", "set", "forth", "on", "Schedule", "III", "(", "together", "with", "any", "previous", "disbursements", "for", "such", "item", ")", "exceeds", "the", "amount", "set", "forth", "on", "Schedule", "III", ",", "Lender", "shall", "have", "reasonably", "approved", "such", "disbursement", ";", "(", "iv", ")", "Lender", "shall", "have", "received", "a", "certificate", "from", "Borrower", "(", "A", ")", "stating", "that", "(", "I", ")", "with", "respect", "to", "disbursements", "of", "Unfunded", "Obligations", "Funds", "for", "credits", "for", "tenant", "improvements", ",", "all", "tenant", "improvements", "at", "the", "Property", "to", "be", "funded", "by", "the", "requested", "disbursement", "have", "been", "completed", "in", "good", "and", "workmanlike", "manner", "and", "in", "accordance", "with", "all", "applicable", "federal", ",", "state", "and", "local", "laws", ",", "rules", "and", "regulations", ",", "such", "certificate", "to", "be", "accompanied", "by", "a", "copy", "of", "any", "license", ",", "permit", "or", "other", "approval", "by", "any", "Governmental", "Authority", ",", "if", "any", ",", "required", "in", "connection", "with", "the", "tenant", "improvements", "and", "(", "II", ")", "with", "respect", "to", "disbursement", "of", "Unfunded", "Obligations", "Funds", "for", "free", "rent", "credits", ",", "the", "applicable", "rent", "credits", "and", "/", "or", "other", "credits", "under", "the", "Lease", "for", "which", "disbursement", "is", "sought", "by", "Borrower", "has", "expired", "and", "/", "or", "have", "been", "paid", "to", "Tenant", ",", "(", "B", ")", "with", "respect", "to", "disbursements", "of", "Unfunded", "Obligations", "Funds", "for", "credits", "for", "tenant", "improvements", ",", "identifying", "each", "Person", "that", "supplied", "materials", "or", "labor", "in", "connection", "with", "the", "tenant", "improvements", "to", "be", "funded", "by", "the", "requested", "disbursement", "and", "(", "C", ")", "with", "respect", "to", "disbursements", "of", "Unfunded", "Obligations", "Funds", "for", "credits", "for", "tenant", "improvements", ",", "stating", "that", "each", "such", "Person", "has", "been", "paid", "in", "full", "with", "respect", "to", "all", "amounts", "then", "due", "or", "will", "be", "paid", "in", "full", "with", "respect", "to", "all", "amounts", "then", "due", "upon", "such", "disbursement", "(", "or", "for", "ongoing", "work", ",", "such", "Person", "has", "been", "or", "will", "be", "paid", "upon", "such", "disbursement", "for", "the", "work", "identified", "in", "such", "certificate", "from", "Borrower", "with", "respect", "to", "such", "disbursement", ")", ",", "such", "certificate", "to", "be", "accompanied", "by", ",", "as", "applicable", ",", "partial", "(", "with", "respect", "to", "such", "ongoing", "work", ")", "or", "complete", "lien", "waivers", ",", "invoices", "and", "/", "or", "other", "evidence", "of", "payment", "reasonably", "satisfactory", "to", "Lender", ";", "(", "v", ")", "at", "Lenders", "option", ",", "if", "the", "cost", "of", "the", "individual", "tenant", "improvement", "exceeds", "$", "100", ",", "000", ",", "a", "title", "search", "for", "the", "Property", "indicating", "that", "the", "Property", "is", "free", "from", "all", "liens", ",", "claims", "and", "other", "encumbrances", "other", "than", "Permitted", "Encumbrances", ",", "(", "vi", ")", "at", "Lenders", "option", ",", "if", "the", "cost", "of", "the", "individual", "tenant", "improvement", "exceeds", "$", "100", ",", "000", ",", "Lender", "shall", "have", "received", "a", "report", "reasonably", "satisfactory", "to", "Lender", "in", "its", "reasonable", "discretion", "from", "an", "architect", "or", "engineer", "reasonably", "approved", "by", "Lender", "in", "respect", "of", "such", "architect", "or", "engineers", "inspection", "of", "such", "tenant", "improvement", ",", "and", "(", "vii", ")", "Lender", "shall", "have", "received", "such", "other", "evidence", "as", "Lender", "shall", "reasonably", "request", "that", "the", "tenant", "improvements", "at", "the", "Property", "to", "be", "funded", "by", "the", "requested", "disbursement", "have", "been", "completed", "(", "to", "the", "extent", "applicable", ")", "and", "/", "or", "leasing", "commissions", "to", "be", "funded", "by", "the", "requested", "disbursement", "are", "due", "and", "payable", "and", "are", "paid", "for", "or", "will", "be", "paid", "upon", "such", "disbursement", "to", "Borrower", ".", "Lender", "shall", "not", "be", "required", "to", "disburse", "Unfunded", "Obligations", "Funds", "more", "frequently", "than", "once", "each", "calendar", "month", "nor", "in", "an", "amount", "less", "than", "the", "Minimum", "Disbursement", "Amount", "(", "or", "a", "lesser", "amount", "if", "the", "total", "amount", "of", "Unfunded", "Obligations", "Funds", "remaining", ",", "is", "less", "than", "the", "Minimum", "Disbursement", "Amount", ",", "in", "which", "case", "only", "one", "disbursement", "of", "the", "amount", "remaining", "in", "the", "account", "shall", "be", "made", ")", ".", "Notwithstanding", "the", "foregoing", "if", "a", "Trigger", "Period", "exists", ",", "any", "disbursement", "of", "Unfunded", "Obligations", "Funds", "with", "respect", "to", "free", "rent", "credits", "shall", "instead", "of", "being", "disbursed", "to", "Borrower", "be", "deposited", "into", "the", "Cash", "Management", "Account", "for", "application", "in", "accordance", "with", "the", "Cash", "Management", "Agreement", "on", "the", "next", "Monthly", "Payment", "Date", ".", "Following", "the", "completion", "of", "all", "Unfunded", "Obligations", "as", "reasonably", "determined", "by", "Lender", ",", "so", "long", "as", "no", "Event", "of", "Default", "has", "occurred", "and", "is", "continuing", ",", "Lender", "shall", "cause", "any", "Unfunded", "Obligations", "Funds", "remaining", "in", "the", "Unfunded", "Obligations", "Account", "to", "be", "disbursed", "to", "Borrower", "."]}
{"id": "15778", "text": "(a)Borrower shall, simultaneously herewith, establish an Eligible Account with Wells Fargo Bank, National Association (the Restricted Account) pursuant to the Restricted Account Agreement in the name of ARC NYC123WILLIAM, LLC <sup> for the sole and exclusive benefit of Lender into which Borrower shall deposit, or cause to be deposited, all revenue generated by the Property. Pursuant to the Restricted Account Agreement, funds on deposit in the Restricted Account shall be transferred on each Business Day to the Cash Management Account.", "ner": [[14, 19, "Parties"], [28, 30, "Title"], [35, 38, "Parties"]], "tokenized_text": ["(", "a", ")", "Borrower", "shall", ",", "simultaneously", "herewith", ",", "establish", "an", "Eligible", "Account", "with", "Wells", "Fargo", "Bank", ",", "National", "Association", "(", "the", "Restricted", "Account", ")", "pursuant", "to", "the", "Restricted", "Account", "Agreement", "in", "the", "name", "of", "ARC", "NYC123WILLIAM", ",", "LLC", "<", "sup", ">", "for", "the", "sole", "and", "exclusive", "benefit", "of", "Lender", "into", "which", "Borrower", "shall", "deposit", ",", "or", "cause", "to", "be", "deposited", ",", "all", "revenue", "generated", "by", "the", "Property", ".", "Pursuant", "to", "the", "Restricted", "Account", "Agreement", ",", "funds", "on", "deposit", "in", "the", "Restricted", "Account", "shall", "be", "transferred", "on", "each", "Business", "Day", "to", "the", "Cash", "Management", "Account", "."]}
{"id": "15780", "text": "(b)Borrower shall maintain the Restricted Account for the term of the Loan, which Restricted Account shall be under the sole dominion and control of Lender (subject to the terms hereof and of the Restricted Account Agreement). The Restricted Account shall have a title evidencing the foregoing in a manner reasonably acceptable to Lender. Borrower hereby grants to Lender a first-priority security interest in the Restricted Account and all deposits at any time contained therein and the proceeds thereof and will take all commercially reasonable actions necessary to maintain in favor of Lender a perfected first priority security interest in the Restricted Account. Borrower hereby authorizes Lender to file UCC Financing Statements and continuations thereof to perfect Lenders security interest in the Restricted Account and all deposits at any time contained therein and the proceeds thereof. All reasonable costs and expenses for establishing and maintaining the Restricted Account (or any successor thereto) shall be paid by Borrower. All monies now or hereafter deposited into the Restricted Account shall be deemed additional security for the Debt while such funds are in the Restricted Account. Borrower shall pay all sums due from Borrower under and otherwise comply with the Restricted Account Agreement. Borrower shall not alter or modify either the Restricted Account or the Restricted Account Agreement, in each case without the prior written consent of Lender. The Restricted Account Agreement shall permit (and Borrower shall provide) Lender online access to bank and other financial statements relating to the Restricted Account (including, without limitation, a listing of the receipts being collected therein). In connection with any Secondary Market Transaction, Lender shall have the right to cause the Restricted Account to be entitled with such other designation as Lender may select to reflect an assignment or transfer of Lenders rights and/or interests with respect to the Restricted Account. Lender shall provide Borrower with prompt written notice of any such renaming of the Restricted Account. Borrower shall not further pledge, assign or grant any security interest in the Restricted Account or the monies deposited therein or permit any lien or encumbrance to attach thereto, or any levy to be made thereon, or any UCC Financing Statements, except those naming Lender as the secured party, to be filed with respect thereto. The Restricted Account (i) shall be an Eligible Account and (ii) shall not be commingled with other monies held by Borrower or Bank. Upon (A) Bank ceasing to be an Eligible Institution, (B) the Restricted Account ceasing to be an Eligible Account, (C) any resignation by Bank or termination of the Restricted Account Agreement by Bank or Lender and/or (D) the occurrence and continuance of an Event of Default, Borrower shall, within fifteen (15) days of Lenders request, (1) terminate the existing Restricted Account Agreement, (2) appoint a new Bank (which such Bank shall (I) be an Eligible Institution, (II) other than during the continuance of an Event of Default, be selected by Borrower and reasonably approved by Lender and (III) during the continuance of an Event of Default, be selected by Lender), (3) cause such Bank to open a new Restricted Account (which such account shall be an Eligible Account) and enter into a new Restricted Account Agreement with Lender and Borrower on substantially the same terms and conditions as the previous Restricted Account Agreement and (4) send new Tenant Direction Notices and the other notices required pursuant to the terms hereof relating to such new Restricted Account Agreement and Restricted Account. Borrower constitutes and appoints Lender its true and lawful attorney-in-fact with full power of substitution to, during the continuation of an Event of Default, complete or undertake any action required of Borrower under this Section 9.2 in the name of Borrower in the event Borrower fails to do the same. Such power of attorney shall be deemed to be a power coupled with an interest and cannot be revoked.", "ner": [[38, 40, "Title"]], "tokenized_text": ["(", "b", ")", "Borrower", "shall", "maintain", "the", "Restricted", "Account", "for", "the", "term", "of", "the", "Loan", ",", "which", "Restricted", "Account", "shall", "be", "under", "the", "sole", "dominion", "and", "control", "of", "Lender", "(", "subject", "to", "the", "terms", "hereof", "and", "of", "the", "Restricted", "Account", "Agreement", ")", ".", "The", "Restricted", "Account", "shall", "have", "a", "title", "evidencing", "the", "foregoing", "in", "a", "manner", "reasonably", "acceptable", "to", "Lender", ".", "Borrower", "hereby", "grants", "to", "Lender", "a", "first-priority", "security", "interest", "in", "the", "Restricted", "Account", "and", "all", "deposits", "at", "any", "time", "contained", "therein", "and", "the", "proceeds", "thereof", "and", "will", "take", "all", "commercially", "reasonable", "actions", "necessary", "to", "maintain", "in", "favor", "of", "Lender", "a", "perfected", "first", "priority", "security", "interest", "in", "the", "Restricted", "Account", ".", "Borrower", "hereby", "authorizes", "Lender", "to", "file", "UCC", "Financing", "Statements", "and", "continuations", "thereof", "to", "perfect", "Lenders", "security", "interest", "in", "the", "Restricted", "Account", "and", "all", "deposits", "at", "any", "time", "contained", "therein", "and", "the", "proceeds", "thereof", ".", "All", "reasonable", "costs", "and", "expenses", "for", "establishing", "and", "maintaining", "the", "Restricted", "Account", "(", "or", "any", "successor", "thereto", ")", "shall", "be", "paid", "by", "Borrower", ".", "All", "monies", "now", "or", "hereafter", "deposited", "into", "the", "Restricted", "Account", "shall", "be", "deemed", "additional", "security", "for", "the", "Debt", "while", "such", "funds", "are", "in", "the", "Restricted", "Account", ".", "Borrower", "shall", "pay", "all", "sums", "due", "from", "Borrower", "under", "and", "otherwise", "comply", "with", "the", "Restricted", "Account", "Agreement", ".", "Borrower", "shall", "not", "alter", "or", "modify", "either", "the", "Restricted", "Account", "or", "the", "Restricted", "Account", "Agreement", ",", "in", "each", "case", "without", "the", "prior", "written", "consent", "of", "Lender", ".", "The", "Restricted", "Account", "Agreement", "shall", "permit", "(", "and", "Borrower", "shall", "provide", ")", "Lender", "online", "access", "to", "bank", "and", "other", "financial", "statements", "relating", "to", "the", "Restricted", "Account", "(", "including", ",", "without", "limitation", ",", "a", "listing", "of", "the", "receipts", "being", "collected", "therein", ")", ".", "In", "connection", "with", "any", "Secondary", "Market", "Transaction", ",", "Lender", "shall", "have", "the", "right", "to", "cause", "the", "Restricted", "Account", "to", "be", "entitled", "with", "such", "other", "designation", "as", "Lender", "may", "select", "to", "reflect", "an", "assignment", "or", "transfer", "of", "Lenders", "rights", "and", "/", "or", "interests", "with", "respect", "to", "the", "Restricted", "Account", ".", "Lender", "shall", "provide", "Borrower", "with", "prompt", "written", "notice", "of", "any", "such", "renaming", "of", "the", "Restricted", "Account", ".", "Borrower", "shall", "not", "further", "pledge", ",", "assign", "or", "grant", "any", "security", "interest", "in", "the", "Restricted", "Account", "or", "the", "monies", "deposited", "therein", "or", "permit", "any", "lien", "or", "encumbrance", "to", "attach", "thereto", ",", "or", "any", "levy", "to", "be", "made", "thereon", ",", "or", "any", "UCC", "Financing", "Statements", ",", "except", "those", "naming", "Lender", "as", "the", "secured", "party", ",", "to", "be", "filed", "with", "respect", "thereto", ".", "The", "Restricted", "Account", "(", "i", ")", "shall", "be", "an", "Eligible", "Account", "and", "(", "ii", ")", "shall", "not", "be", "commingled", "with", "other", "monies", "held", "by", "Borrower", "or", "Bank", ".", "Upon", "(", "A", ")", "Bank", "ceasing", "to", "be", "an", "Eligible", "Institution", ",", "(", "B", ")", "the", "Restricted", "Account", "ceasing", "to", "be", "an", "Eligible", "Account", ",", "(", "C", ")", "any", "resignation", "by", "Bank", "or", "termination", "of", "the", "Restricted", "Account", "Agreement", "by", "Bank", "or", "Lender", "and", "/", "or", "(", "D", ")", "the", "occurrence", "and", "continuance", "of", "an", "Event", "of", "Default", ",", "Borrower", "shall", ",", "within", "fifteen", "(", "15", ")", "days", "of", "Lenders", "request", ",", "(", "1", ")", "terminate", "the", "existing", "Restricted", "Account", "Agreement", ",", "(", "2", ")", "appoint", "a", "new", "Bank", "(", "which", "such", "Bank", "shall", "(", "I", ")", "be", "an", "Eligible", "Institution", ",", "(", "II", ")", "other", "than", "during", "the", "continuance", "of", "an", "Event", "of", "Default", ",", "be", "selected", "by", "Borrower", "and", "reasonably", "approved", "by", "Lender", "and", "(", "III", ")", "during", "the", "continuance", "of", "an", "Event", "of", "Default", ",", "be", "selected", "by", "Lender", ")", ",", "(", "3", ")", "cause", "such", "Bank", "to", "open", "a", "new", "Restricted", "Account", "(", "which", "such", "account", "shall", "be", "an", "Eligible", "Account", ")", "and", "enter", "into", "a", "new", "Restricted", "Account", "Agreement", "with", "Lender", "and", "Borrower", "on", "substantially", "the", "same", "terms", "and", "conditions", "as", "the", "previous", "Restricted", "Account", "Agreement", "and", "(", "4", ")", "send", "new", "Tenant", "Direction", "Notices", "and", "the", "other", "notices", "required", "pursuant", "to", "the", "terms", "hereof", "relating", "to", "such", "new", "Restricted", "Account", "Agreement", "and", "Restricted", "Account", ".", "Borrower", "constitutes", "and", "appoints", "Lender", "its", "true", "and", "lawful", "attorney-in-fact", "with", "full", "power", "of", "substitution", "to", ",", "during", "the", "continuation", "of", "an", "Event", "of", "Default", ",", "complete", "or", "undertake", "any", "action", "required", "of", "Borrower", "under", "this", "Section", "9", ".", "2", "in", "the", "name", "of", "Borrower", "in", "the", "event", "Borrower", "fails", "to", "do", "the", "same", ".", "Such", "power", "of", "attorney", "shall", "be", "deemed", "to", "be", "a", "power", "coupled", "with", "an", "interest", "and", "cannot", "be", "revoked", "."]}
{"id": "15782", "text": "(c)Borrower and Guarantor shall provide in connection with each of (i) a preliminary and a final private placement memorandum, offering memorandum or offering circular, (ii) a free writing prospectus, (iii) a preliminary and final prospectus or prospectus supplement and (iv) a structural and collateral term sheet, as applicable, an agreement (A) certifying that Borrower has examined the portions of such Disclosure Documents specified by Lender and that each such Disclosure Document, as it relates to Borrower, Borrower Affiliates, the Property (or any portion thereof), any Affiliated Manager, Guarantor , the Management Agreement, the terms of the Loan Documents and the use of Loan proceeds (but excluding any forward-looking budgets and projections) (collectively, with the Provided Information, the Covered Disclosure Information), does not contain any untrue statement of a material fact or omit to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading, (B) indemnifying Lender (and for purposes of this Section 11.2(c), Lender hereunder shall include its officers and directors), the Affiliate of Lender (Lender Affiliate) that has filed the registration statement relating to the Securitization (the Registration Statement), each of its directors, each of its officers who have signed the Registration Statement or Affiliate of Lender that has acted as sponsor or depositor in connection with the Securitization, and each Person that controls the Affiliate within the meaning of Section 15 of the Securities Act or Section 20 of the Exchange Act ( collectively, the Lender Group), and Lender Affiliate, and any other placement agent, initial purchaser or underwriter with respect to the Securitization, each of their respective directors and each Person who controls Lender Affiliate or any other placement agent or underwriter within the meaning of Section 15 of the Securities Act and Section 20 of the Exchange Act ( collectively, the Underwriter Group) for any Liabilities to which Lender, the Lender Group or the Underwriter Group may become subject insofar as the Liabilities arise out of or are based upon any untrue statement or alleged untrue statement of any material fact contained in the Covered Disclosure Information or arise out of or are based upon the omission or alleged omission to state therein a material fact required to be stated in the Covered Disclosure Information or necessary in order to make the statements in the Covered Disclosure Information, in light of the circumstances under which they were made, not misleading and (C) agreeing to reimburse Lender, the Lender Group and/or the Underwriter Group for any out- of-pocket legal or other expenses reasonably incurred by Lender, the Lender Group and the Underwriter Group in connection with investigating or defending the Liabilities; provided, however, that (I) Borrower and Guarantor will be liable in any such case under Section 11.2(b) or clauses (B) or (C) above only to the extent that any such loss claim, damage or liability arises out of or is based upon any such untrue statement or omission made therein in reliance upon and in conformity with information furnished to Lender by or on behalf of Borrower in connection with the preparation of the Disclosure Document or in connection with the underwriting or closing of the Loan, including, without limitation, financial statements of Borrower, operating statements and rent rolls with respect to the Property, or is contained in the Disclosure Documents with respect to the matters referenced in clause (A) above (but, in each case, excluding forward-looking budgets and projections), (II) Borrower and Guarantor shall not be obligated to provide the certification set forth in clause (A) above or be liable under Section 11.2(b) or clause (B) or (C) above if Borrower has not been afforded five (5) Business Days to review and comment on the applicable sections of the applicable Disclosure Document, and (III) Borrower and Guarantor shall not be liable under Section 11.2(b) or clause (B) or (C) above with respect to any statement or omission or any failure of Lender to accurately transcribe any portion of the Covered Disclosure Information provided by Borrower if Borrower shall have notified Lender as to the existence of such untrue statement, omission or inaccuracy within a reasonable period of time prior to pricing of the securities and Lender shall have failed to cause such Disclosure Document to be revised accordingly. The indemnification provided for in clauses (B) and (C) above shall be effective (subject to the proviso set forth in the immediately preceding sentence) whether or not the indemnification agreement described above is provided. The aforesaid indemnity will be in addition to any liability which Borrower and Guarantor may otherwise have subject to Section 13.1.", "ner": [[115, 116, "Title"], [205, 208, "Regulation"], [290, 291, "Regulation"], [294, 295, "Act"], [297, 298, "Regulation"], [301, 302, "Act"]], "tokenized_text": ["(", "c", ")", "Borrower", "and", "Guarantor", "shall", "provide", "in", "connection", "with", "each", "of", "(", "i", ")", "a", "preliminary", "and", "a", "final", "private", "placement", "memorandum", ",", "offering", "memorandum", "or", "offering", "circular", ",", "(", "ii", ")", "a", "free", "writing", "prospectus", ",", "(", "iii", ")", "a", "preliminary", "and", "final", "prospectus", "or", "prospectus", "supplement", "and", "(", "iv", ")", "a", "structural", "and", "collateral", "term", "sheet", ",", "as", "applicable", ",", "an", "agreement", "(", "A", ")", "certifying", "that", "Borrower", "has", "examined", "the", "portions", "of", "such", "Disclosure", "Documents", "specified", "by", "Lender", "and", "that", "each", "such", "Disclosure", "Document", ",", "as", "it", "relates", "to", "Borrower", ",", "Borrower", "Affiliates", ",", "the", "Property", "(", "or", "any", "portion", "thereof", ")", ",", "any", "Affiliated", "Manager", ",", "Guarantor", ",", "the", "Management", "Agreement", ",", "the", "terms", "of", "the", "Loan", "Documents", "and", "the", "use", "of", "Loan", "proceeds", "(", "but", "excluding", "any", "forward-looking", "budgets", "and", "projections", ")", "(", "collectively", ",", "with", "the", "Provided", "Information", ",", "the", "Covered", "Disclosure", "Information", ")", ",", "does", "not", "contain", "any", "untrue", "statement", "of", "a", "material", "fact", "or", "omit", "to", "state", "a", "material", "fact", "necessary", "in", "order", "to", "make", "the", "statements", "made", ",", "in", "the", "light", "of", "the", "circumstances", "under", "which", "they", "were", "made", ",", "not", "misleading", ",", "(", "B", ")", "indemnifying", "Lender", "(", "and", "for", "purposes", "of", "this", "Section", "11", ".", "2", "(", "c", ")", ",", "Lender", "hereunder", "shall", "include", "its", "officers", "and", "directors", ")", ",", "the", "Affiliate", "of", "Lender", "(", "Lender", "Affiliate", ")", "that", "has", "filed", "the", "registration", "statement", "relating", "to", "the", "Securitization", "(", "the", "Registration", "Statement", ")", ",", "each", "of", "its", "directors", ",", "each", "of", "its", "officers", "who", "have", "signed", "the", "Registration", "Statement", "or", "Affiliate", "of", "Lender", "that", "has", "acted", "as", "sponsor", "or", "depositor", "in", "connection", "with", "the", "Securitization", ",", "and", "each", "Person", "that", "controls", "the", "Affiliate", "within", "the", "meaning", "of", "Section", "15", "of", "the", "Securities", "Act", "or", "Section", "20", "of", "the", "Exchange", "Act", "(", "collectively", ",", "the", "Lender", "Group", ")", ",", "and", "Lender", "Affiliate", ",", "and", "any", "other", "placement", "agent", ",", "initial", "purchaser", "or", "underwriter", "with", "respect", "to", "the", "Securitization", ",", "each", "of", "their", "respective", "directors", "and", "each", "Person", "who", "controls", "Lender", "Affiliate", "or", "any", "other", "placement", "agent", "or", "underwriter", "within", "the", "meaning", "of", "Section", "15", "of", "the", "Securities", "Act", "and", "Section", "20", "of", "the", "Exchange", "Act", "(", "collectively", ",", "the", "Underwriter", "Group", ")", "for", "any", "Liabilities", "to", "which", "Lender", ",", "the", "Lender", "Group", "or", "the", "Underwriter", "Group", "may", "become", "subject", "insofar", "as", "the", "Liabilities", "arise", "out", "of", "or", "are", "based", "upon", "any", "untrue", "statement", "or", "alleged", "untrue", "statement", "of", "any", "material", "fact", "contained", "in", "the", "Covered", "Disclosure", "Information", "or", "arise", "out", "of", "or", "are", "based", "upon", "the", "omission", "or", "alleged", "omission", "to", "state", "therein", "a", "material", "fact", "required", "to", "be", "stated", "in", "the", "Covered", "Disclosure", "Information", "or", "necessary", "in", "order", "to", "make", "the", "statements", "in", "the", "Covered", "Disclosure", "Information", ",", "in", "light", "of", "the", "circumstances", "under", "which", "they", "were", "made", ",", "not", "misleading", "and", "(", "C", ")", "agreeing", "to", "reimburse", "Lender", ",", "the", "Lender", "Group", "and", "/", "or", "the", "Underwriter", "Group", "for", "any", "out", "-", "of-pocket", "legal", "or", "other", "expenses", "reasonably", "incurred", "by", "Lender", ",", "the", "Lender", "Group", "and", "the", "Underwriter", "Group", "in", "connection", "with", "investigating", "or", "defending", "the", "Liabilities", ";", "provided", ",", "however", ",", "that", "(", "I", ")", "Borrower", "and", "Guarantor", "will", "be", "liable", "in", "any", "such", "case", "under", "Section", "11", ".", "2", "(", "b", ")", "or", "clauses", "(", "B", ")", "or", "(", "C", ")", "above", "only", "to", "the", "extent", "that", "any", "such", "loss", "claim", ",", "damage", "or", "liability", "arises", "out", "of", "or", "is", "based", "upon", "any", "such", "untrue", "statement", "or", "omission", "made", "therein", "in", "reliance", "upon", "and", "in", "conformity", "with", "information", "furnished", "to", "Lender", "by", "or", "on", "behalf", "of", "Borrower", "in", "connection", "with", "the", "preparation", "of", "the", "Disclosure", "Document", "or", "in", "connection", "with", "the", "underwriting", "or", "closing", "of", "the", "Loan", ",", "including", ",", "without", "limitation", ",", "financial", "statements", "of", "Borrower", ",", "operating", "statements", "and", "rent", "rolls", "with", "respect", "to", "the", "Property", ",", "or", "is", "contained", "in", "the", "Disclosure", "Documents", "with", "respect", "to", "the", "matters", "referenced", "in", "clause", "(", "A", ")", "above", "(", "but", ",", "in", "each", "case", ",", "excluding", "forward-looking", "budgets", "and", "projections", ")", ",", "(", "II", ")", "Borrower", "and", "Guarantor", "shall", "not", "be", "obligated", "to", "provide", "the", "certification", "set", "forth", "in", "clause", "(", "A", ")", "above", "or", "be", "liable", "under", "Section", "11", ".", "2", "(", "b", ")", "or", "clause", "(", "B", ")", "or", "(", "C", ")", "above", "if", "Borrower", "has", "not", "been", "afforded", "five", "(", "5", ")", "Business", "Days", "to", "review", "and", "comment", "on", "the", "applicable", "sections", "of", "the", "applicable", "Disclosure", "Document", ",", "and", "(", "III", ")", "Borrower", "and", "Guarantor", "shall", "not", "be", "liable", "under", "Section", "11", ".", "2", "(", "b", ")", "or", "clause", "(", "B", ")", "or", "(", "C", ")", "above", "with", "respect", "to", "any", "statement", "or", "omission", "or", "any", "failure", "of", "Lender", "to", "accurately", "transcribe", "any", "portion", "of", "the", "Covered", "Disclosure", "Information", "provided", "by", "Borrower", "if", "Borrower", "shall", "have", "notified", "Lender", "as", "to", "the", "existence", "of", "such", "untrue", "statement", ",", "omission", "or", "inaccuracy", "within", "a", "reasonable", "period", "of", "time", "prior", "to", "pricing", "of", "the", "securities", "and", "Lender", "shall", "have", "failed", "to", "cause", "such", "Disclosure", "Document", "to", "be", "revised", "accordingly", ".", "The", "indemnification", "provided", "for", "in", "clauses", "(", "B", ")", "and", "(", "C", ")", "above", "shall", "be", "effective", "(", "subject", "to", "the", "proviso", "set", "forth", "in", "the", "immediately", "preceding", "sentence", ")", "whether", "or", "not", "the", "indemnification", "agreement", "described", "above", "is", "provided", ".", "The", "aforesaid", "indemnity", "will", "be", "in", "addition", "to", "any", "liability", "which", "Borrower", "and", "Guarantor", "may", "otherwise", "have", "subject", "to", "Section", "13", ".", "1", "."]}
{"id": "15785", "text": "Facsimile No.: (215) 303-7083", "ner": [[4, 7, "PII_Ref"]], "tokenized_text": ["Facsimile", "No", ".", ":", "(", "215", ")", "303-7083"]}
{"id": "15791", "text": "ANY LEGAL SUIT, ACTION OR PROCEEDING AGAINST LENDER OR BORROWER ARISING OUT OF OR RELATING TO THIS AGREEMENT OR THE OTHER LOAN DOCUMENTS WILL BE INSTITUTED IN (OR, IF PREVIOUSLY INSTITUTED, MOVED TO) ANY FEDERAL OR STATE COURT DESIGNATED BY LENDER IN THE CITY OF NEWYORK, COUNTY OF NEW YORK. BORROWER HEREBY (I) WAIVES ANY OBJECTIONS WHICH IT MAY NOW OR HEREAFTER HAVE BASED ON VENUE AND/OR FORUM NON CONVENIENS OF ANY SUCH SUIT, ACTION OR PROCEEDING AND (II) IRREVOCABLY SUBMITS TO THE EXCLUSIVE JURISDICTION OF ANY SUCH COURT IN ANY SUIT, ACTION OR PROCEEDING . BORROWER AND LENDER HEREBY ACKNOWLEDGE AND AGREE THAT THE FOREGOING AGREEMENT, WAIVER AND SUBMISSION ARE MADE PURSUANT TO SECTION5-1402 OF THE NEWYORK GENERAL OBLIGATIONS LAW.", "ner": [[48, 55, "Court"]], "tokenized_text": ["ANY", "LEGAL", "SUIT", ",", "ACTION", "OR", "PROCEEDING", "AGAINST", "LENDER", "OR", "BORROWER", "ARISING", "OUT", "OF", "OR", "RELATING", "TO", "THIS", "AGREEMENT", "OR", "THE", "OTHER", "LOAN", "DOCUMENTS", "WILL", "BE", "INSTITUTED", "IN", "(", "OR", ",", "IF", "PREVIOUSLY", "INSTITUTED", ",", "MOVED", "TO", ")", "ANY", "FEDERAL", "OR", "STATE", "COURT", "DESIGNATED", "BY", "LENDER", "IN", "THE", "CITY", "OF", "NEWYORK", ",", "COUNTY", "OF", "NEW", "YORK", ".", "BORROWER", "HEREBY", "(", "I", ")", "WAIVES", "ANY", "OBJECTIONS", "WHICH", "IT", "MAY", "NOW", "OR", "HEREAFTER", "HAVE", "BASED", "ON", "VENUE", "AND", "/", "OR", "FORUM", "NON", "CONVENIENS", "OF", "ANY", "SUCH", "SUIT", ",", "ACTION", "OR", "PROCEEDING", "AND", "(", "II", ")", "IRREVOCABLY", "SUBMITS", "TO", "THE", "EXCLUSIVE", "JURISDICTION", "OF", "ANY", "SUCH", "COURT", "IN", "ANY", "SUIT", ",", "ACTION", "OR", "PROCEEDING", ".", "BORROWER", "AND", "LENDER", "HEREBY", "ACKNOWLEDGE", "AND", "AGREE", "THAT", "THE", "FOREGOING", "AGREEMENT", ",", "WAIVER", "AND", "SUBMISSION", "ARE", "MADE", "PURSUANT", "TO", "SECTION5-1402", "OF", "THE", "NEWYORK", "GENERAL", "OBLIGATIONS", "LAW", "."]}
{"id": "15797", "text": "| BORROWER: ---|--- | | ARC NYC123WILLIAM, LLC , a Delaware limited liability company | | | By: | /s/ Michael A. Ead | | Name: Michael A. Ead | | Title: Authorized Signatory", "ner": [[12, 15, "Parties"], [31, 34, "Parties"]], "tokenized_text": ["|", "BORROWER", ":", "-", "-", "-", "|", "-", "-", "-", "|", "|", "ARC", "NYC123WILLIAM", ",", "LLC", ",", "a", "Delaware", "limited", "liability", "company", "|", "|", "|", "By", ":", "|", "/", "s", "/", "Michael", "A", ".", "Ead", "|", "|", "Name", ":", "Michael", "A", ".", "Ead", "|", "|", "Title", ":", "Authorized", "Signatory"]}
{"id": "15800", "text": "675 Massachusetts Avenue, Cambridge, Massachusetts", "ner": [[0, 6, "Address"]], "tokenized_text": ["675", "Massachusetts", "Avenue", ",", "Cambridge", ",", "Massachusetts"]}
{"id": "15801", "text": "THIS LEASE AGREEMENT (the Lease) is made and entered into as of this 24th day of August, 2015 , by and between U.S. REIF CENTRAL PLAZA MASSACHUSETTS, LLC , a Delaware limited liability company (the Landlord), and SPERO OPCO INC. , a Delaware corporation (the Tenant).", "ner": [[1, 2, "Title"], [15, 20, "EffectiveDate"], [25, 34, "Parties"], [47, 50, "Parties"]], "tokenized_text": ["THIS", "LEASE", "AGREEMENT", "(", "the", "Lease", ")", "is", "made", "and", "entered", "into", "as", "of", "this", "24th", "day", "of", "August", ",", "2015", ",", "by", "and", "between", "U", ".", "S", ".", "REIF", "CENTRAL", "PLAZA", "MASSACHUSETTS", ",", "LLC", ",", "a", "Delaware", "limited", "liability", "company", "(", "the", "Landlord", ")", ",", "and", "SPERO", "OPCO", "INC", ".", ",", "a", "Delaware", "corporation", "(", "the", "Tenant", ")", "."]}
{"id": "15803", "text": "10.2 Quality and Performance of Work. All construction work required or permitted by this Lease shall be done in a good and workmanlike manner by contractors approved by Landlord and in compliance with the rules and regulations of the Building (the Building Rules and Regulations), attached hereto and made a part hereof as Exhibit E, all insurance requirements of this Lease, and all applicable laws, statutes, codes, ordinances, orders, rules, regulations, conditions of approval and requirements of all federal, state, county, municipal and other governmental authorities, including the requirements of the Americans with Disabilities Act ( ADA) (collectively, Legal Requirements). Tenant acknowledges that in connection with any Alterations it shall not take any action which would cause a work stoppage, picketing, labor disruption or other dispute (the Labor Disruption). In addition, Tenant acknowledges that if any Alterations require the Tenant to access any portion of the Building outside of the Premises beyond normal construction hours (Monday through Friday between the hours of 7:30am to 3:30pm) (the Construction Hours), Tenant shall pay to Landlord for cost of Landlords on-site supervisory personnel at the rate of $75.00 per hour within fifteen (15)days of invoice from Landlord.", "ner": [[110, 113, "Act"]], "tokenized_text": ["10", ".", "2", "Quality", "and", "Performance", "of", "Work", ".", "All", "construction", "work", "required", "or", "permitted", "by", "this", "Lease", "shall", "be", "done", "in", "a", "good", "and", "workmanlike", "manner", "by", "contractors", "approved", "by", "Landlord", "and", "in", "compliance", "with", "the", "rules", "and", "regulations", "of", "the", "Building", "(", "the", "Building", "Rules", "and", "Regulations", ")", ",", "attached", "hereto", "and", "made", "a", "part", "hereof", "as", "Exhibit", "E", ",", "all", "insurance", "requirements", "of", "this", "Lease", ",", "and", "all", "applicable", "laws", ",", "statutes", ",", "codes", ",", "ordinances", ",", "orders", ",", "rules", ",", "regulations", ",", "conditions", "of", "approval", "and", "requirements", "of", "all", "federal", ",", "state", ",", "county", ",", "municipal", "and", "other", "governmental", "authorities", ",", "including", "the", "requirements", "of", "the", "Americans", "with", "Disabilities", "Act", "(", "ADA", ")", "(", "collectively", ",", "Legal", "Requirements", ")", ".", "Tenant", "acknowledges", "that", "in", "connection", "with", "any", "Alterations", "it", "shall", "not", "take", "any", "action", "which", "would", "cause", "a", "work", "stoppage", ",", "picketing", ",", "labor", "disruption", "or", "other", "dispute", "(", "the", "Labor", "Disruption", ")", ".", "In", "addition", ",", "Tenant", "acknowledges", "that", "if", "any", "Alterations", "require", "the", "Tenant", "to", "access", "any", "portion", "of", "the", "Building", "outside", "of", "the", "Premises", "beyond", "normal", "construction", "hours", "(", "Monday", "through", "Friday", "between", "the", "hours", "of", "7", ":", "30am", "to", "3", ":", "30pm", ")", "(", "the", "Construction", "Hours", ")", ",", "Tenant", "shall", "pay", "to", "Landlord", "for", "cost", "of", "Landlords", "on-site", "supervisory", "personnel", "at", "the", "rate", "of", "$", "75", ".", "00", "per", "hour", "within", "fifteen", "(", "15", ")", "days", "of", "invoice", "from", "Landlord", "."]}
{"id": "15804", "text": "13.1 Tenant shall not assign, pledge, mortgage or otherwise transfer or encumber this Lease, nor sublet all or any part of the Premises or permit the same to be occupied or used by anyone other than Tenant or its employees, guests and invitees (the Transfer) without Landlords prior written consent such consent not to be unreasonably withheld, conditioned or delayed. Landlord shall respond to any request for consent within ten (10)days. Any consent by Landlord hereunder shall not constitute a waiver of strict future compliance by Tenant of the provisions of this Section13 or a release of Tenant from the full performance by Tenant of any of the terms, covenants, conditions, agreements or provisions of this Lease. Any assignment or subletting in contravention of the provisions of this Section13 shall be void. Notwithstanding anything to the contrary contained in this Section13 or elsewhere in this Lease, any assignment or subletting shall be subject to the following further conditions and limitations set forth in this Section13\\. Notwithstanding the foregoing, Tenant shall have the right without Landlords consent to have up to two (2)other companies in which Tenant, Tenants shareholders or Atlas Venture partners have an ownership interest occupy up to forty percent (40%) of the Premises in the aggregate provided such portions of the Premises are not separately demised.", "ner": [[229, 230, "Percentage"]], "tokenized_text": ["13", ".", "1", "Tenant", "shall", "not", "assign", ",", "pledge", ",", "mortgage", "or", "otherwise", "transfer", "or", "encumber", "this", "Lease", ",", "nor", "sublet", "all", "or", "any", "part", "of", "the", "Premises", "or", "permit", "the", "same", "to", "be", "occupied", "or", "used", "by", "anyone", "other", "than", "Tenant", "or", "its", "employees", ",", "guests", "and", "invitees", "(", "the", "Transfer", ")", "without", "Landlords", "prior", "written", "consent", "such", "consent", "not", "to", "be", "unreasonably", "withheld", ",", "conditioned", "or", "delayed", ".", "Landlord", "shall", "respond", "to", "any", "request", "for", "consent", "within", "ten", "(", "10", ")", "days", ".", "Any", "consent", "by", "Landlord", "hereunder", "shall", "not", "constitute", "a", "waiver", "of", "strict", "future", "compliance", "by", "Tenant", "of", "the", "provisions", "of", "this", "Section13", "or", "a", "release", "of", "Tenant", "from", "the", "full", "performance", "by", "Tenant", "of", "any", "of", "the", "terms", ",", "covenants", ",", "conditions", ",", "agreements", "or", "provisions", "of", "this", "Lease", ".", "Any", "assignment", "or", "subletting", "in", "contravention", "of", "the", "provisions", "of", "this", "Section13", "shall", "be", "void", ".", "Notwithstanding", "anything", "to", "the", "contrary", "contained", "in", "this", "Section13", "or", "elsewhere", "in", "this", "Lease", ",", "any", "assignment", "or", "subletting", "shall", "be", "subject", "to", "the", "following", "further", "conditions", "and", "limitations", "set", "forth", "in", "this", "Section13", "\\", ".", "Notwithstanding", "the", "foregoing", ",", "Tenant", "shall", "have", "the", "right", "without", "Landlords", "consent", "to", "have", "up", "to", "two", "(", "2", ")", "other", "companies", "in", "which", "Tenant", ",", "Tenants", "shareholders", "or", "Atlas", "Venture", "partners", "have", "an", "ownership", "interest", "occupy", "up", "to", "forty", "percent", "(", "40", "%", ")", "of", "the", "Premises", "in", "the", "aggregate", "provided", "such", "portions", "of", "the", "Premises", "are", "not", "separately", "demised", "."]}
{"id": "15814", "text": "| | ---|---|--- By: | | U.S. REIF CENTRAL PLAZA MASSACHUSETTS MANAGER, LLC | | a Delaware limited liability company, its Manager | By: | | U.S. REAL ESTATE INVESTMENT FUND REIT, INC. | | a Delaware corporation, its Manager", "ner": [[17, 27, "Parties"], [43, 54, "Parties"]], "tokenized_text": ["|", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "By", ":", "|", "|", "U", ".", "S", ".", "REIF", "CENTRAL", "PLAZA", "MASSACHUSETTS", "MANAGER", ",", "LLC", "|", "|", "a", "Delaware", "limited", "liability", "company", ",", "its", "Manager", "|", "By", ":", "|", "|", "U", ".", "S", ".", "REAL", "ESTATE", "INVESTMENT", "FUND", "REIT", ",", "INC", ".", "|", "|", "a", "Delaware", "corporation", ",", "its", "Manager"]}
{"id": "15820", "text": "7\\. SURVIVAL. If, upon the expiration or earlier termination of this Lease, the amount of any Additional Rent due hereunder has not yet been determined, an appropriate payment from Tenant to Landlord or refund from Landlord to Tenant, shall be made promptly after such determination, subject to the limitation in Section2.3 above.", "ner": [[21, 22, "Rent"]], "tokenized_text": ["7", "\\", ".", "SURVIVAL", ".", "If", ",", "upon", "the", "expiration", "or", "earlier", "termination", "of", "this", "Lease", ",", "the", "amount", "of", "any", "Additional", "Rent", "due", "hereunder", "has", "not", "yet", "been", "determined", ",", "an", "appropriate", "payment", "from", "Tenant", "to", "Landlord", "or", "refund", "from", "Landlord", "to", "Tenant", ",", "shall", "be", "made", "promptly", "after", "such", "determination", ",", "subject", "to", "the", "limitation", "in", "Section2", ".", "3", "above", "."]}
{"id": "15822", "text": "7\\. For purposes of this Exhibit G, fair market rent shall mean rental rate for premises comparable to the Premises in the Building and comparable buildings in the area of the Building in the Cambridge Central Square market (including but not limited to those buildings located at 350 Massachusetts Avenue, 955 Massachusetts Avenue, 1100 Massachusetts Avenue and 1050 Massachusetts Avenue ) taking into account all relevant factors, including, applicable base years and allowances and construction of improvements.", "ner": [[37, 39, "Address"], [51, 57, "Address"], [59, 61, "Address"], [63, 65, "Address"]], "tokenized_text": ["7", "\\", ".", "For", "purposes", "of", "this", "Exhibit", "G", ",", "fair", "market", "rent", "shall", "mean", "rental", "rate", "for", "premises", "comparable", "to", "the", "Premises", "in", "the", "Building", "and", "comparable", "buildings", "in", "the", "area", "of", "the", "Building", "in", "the", "Cambridge", "Central", "Square", "market", "(", "including", "but", "not", "limited", "to", "those", "buildings", "located", "at", "350", "Massachusetts", "Avenue", ",", "955", "Massachusetts", "Avenue", ",", "1100", "Massachusetts", "Avenue", "and", "1050", "Massachusetts", "Avenue", ")", "taking", "into", "account", "all", "relevant", "factors", ",", "including", ",", "applicable", "base", "years", "and", "allowances", "and", "construction", "of", "improvements", "."]}
{"id": "16000", "text": "This agreement (the Agreement) is entered into effective April 1, 2017 (the Effective Date), by and between KEVIN L. KREMKE (the Executive) and DELEK US HOLDINGS, INC. (the Company), who, in return for the mutual promises set forth herein, agree as follows:", "ner": [[10, 13, "EffectiveDate"], [23, 26, "Parties"], [32, 37, "Parties"]], "tokenized_text": ["This", "agreement", "(", "the", "Agreement", ")", "is", "entered", "into", "effective", "April", "1", ",", "2017", "(", "the", "Effective", "Date", ")", ",", "by", "and", "between", "KEVIN", "L", ".", "KREMKE", "(", "the", "Executive", ")", "and", "DELEK", "US", "HOLDINGS", ",", "INC", ".", "(", "the", "Company", ")", ",", "who", ",", "in", "return", "for", "the", "mutual", "promises", "set", "forth", "herein", ",", "agree", "as", "follows", ":"]}
{"id": "16005", "text": "Company, shall restrict its disclosure to those directors, employees or independent contractors of the Company with a need to know such Confidential Information, and shall not disclose, copy or use Confidential Information for the benefit of anyone other than the Company without the Companys prior written consent. However, nothing in this Agreement shall prohibit the Executive from reporting possible violations of law to any governmental agency or entity in accordance with applicable whistleblower protection provisions including, without limitation, the rules promulgated under Section 21F of the Exchange Act or Section 806 of the Sarbanes-Oxley Act of 2002 , or require the Executive to notify the Company (or obtain its prior approval) of any such reporting. Executive shall, upon Companys request or his termination of employment, return to the Company and/or certify in a form satisfactory to the Company the destruction of any and all written documents containing Confidential Information in his possession, custody or control. For the avoidance of doubt, Executive shall not retain any copy in any form of any Confidential Information following such request or termination.", "ner": [[90, 91, "Regulation"], [94, 95, "Act"], [97, 98, "Regulation"], [101, 104, "Act"]], "tokenized_text": ["Company", ",", "shall", "restrict", "its", "disclosure", "to", "those", "directors", ",", "employees", "or", "independent", "contractors", "of", "the", "Company", "with", "a", "need", "to", "know", "such", "Confidential", "Information", ",", "and", "shall", "not", "disclose", ",", "copy", "or", "use", "Confidential", "Information", "for", "the", "benefit", "of", "anyone", "other", "than", "the", "Company", "without", "the", "Companys", "prior", "written", "consent", ".", "However", ",", "nothing", "in", "this", "Agreement", "shall", "prohibit", "the", "Executive", "from", "reporting", "possible", "violations", "of", "law", "to", "any", "governmental", "agency", "or", "entity", "in", "accordance", "with", "applicable", "whistleblower", "protection", "provisions", "including", ",", "without", "limitation", ",", "the", "rules", "promulgated", "under", "Section", "21F", "of", "the", "Exchange", "Act", "or", "Section", "806", "of", "the", "Sarbanes-Oxley", "Act", "of", "2002", ",", "or", "require", "the", "Executive", "to", "notify", "the", "Company", "(", "or", "obtain", "its", "prior", "approval", ")", "of", "any", "such", "reporting", ".", "Executive", "shall", ",", "upon", "Companys", "request", "or", "his", "termination", "of", "employment", ",", "return", "to", "the", "Company", "and", "/", "or", "certify", "in", "a", "form", "satisfactory", "to", "the", "Company", "the", "destruction", "of", "any", "and", "all", "written", "documents", "containing", "Confidential", "Information", "in", "his", "possession", ",", "custody", "or", "control", ".", "For", "the", "avoidance", "of", "doubt", ",", "Executive", "shall", "not", "retain", "any", "copy", "in", "any", "form", "of", "any", "Confidential", "Information", "following", "such", "request", "or", "termination", "."]}
{"id": "16006", "text": "If Executive terminates his employment during the Term other than for a Good Reason and provides at least three months advance written notice of termination (even if the Required Notice is less than three months), Executive shall be entitled to a single lump sum payment upon termination equal to 50% of his annualized salary at the time the notice of termination is delivered and the costs of continuing family health insurance coverage under COBRA for 12 months following termination of employment, provided, that the Company may, in its sole discretion, (A) pay such amounts directly to the applicable provider or (B) pay an equivalent amount directly to Executive.", "ner": [[52, 53, "Percentage"], [77, 77, "Act"]], "tokenized_text": ["If", "Executive", "terminates", "his", "employment", "during", "the", "Term", "other", "than", "for", "a", "Good", "Reason", "and", "provides", "at", "least", "three", "months", "advance", "written", "notice", "of", "termination", "(", "even", "if", "the", "Required", "Notice", "is", "less", "than", "three", "months", ")", ",", "Executive", "shall", "be", "entitled", "to", "a", "single", "lump", "sum", "payment", "upon", "termination", "equal", "to", "50", "%", "of", "his", "annualized", "salary", "at", "the", "time", "the", "notice", "of", "termination", "is", "delivered", "and", "the", "costs", "of", "continuing", "family", "health", "insurance", "coverage", "under", "COBRA", "for", "12", "months", "following", "termination", "of", "employment", ",", "provided", ",", "that", "the", "Company", "may", ",", "in", "its", "sole", "discretion", ",", "(", "A", ")", "pay", "such", "amounts", "directly", "to", "the", "applicable", "provider", "or", "(", "B", ")", "pay", "an", "equivalent", "amount", "directly", "to", "Executive", "."]}
{"id": "16007", "text": "Separation Release. Notwithstanding anything to the contrary, but subject to any applicable six-month delay required by Section 18 hereof and Section 409A of the Internal Revenue Code of 1986 , as amended (Section 409A), if a payment is otherwise payable to Executive hereunder, payment of such Separation Payment shall be payable in cash to him at the end of the month following the month in which his separation from service (within the meaning of Section 409A) occurs (or such later date as may be required by law). However, Executives right to receive the Separation Payment shall be conditioned upon (i) his execution and delivery to the Company of a Separation Release (and the expiration of any statutorily mandated revocation period) within 30 days (or such longer period as may be required by law) following the separation from service date and (ii) his continued compliance with this Agreement and any other restrictive covenants to which he is bound. If Executive fails to timely execute and deliver the Separation Release or if he timely revokes his acceptance of the Separation Release thereafter (if such revocation is permitted), he shall not be entitled to the Separation Payment and shall repay any Separation Payment received. If the foregoing consideration and revocation periods begin in one taxable year and end in a second taxable year, payment will be made in the second taxable year.", "ner": [[0, 1, "Title"], [22, 23, "Regulation"], [26, 30, "Act"]], "tokenized_text": ["Separation", "Release", ".", "Notwithstanding", "anything", "to", "the", "contrary", ",", "but", "subject", "to", "any", "applicable", "six-month", "delay", "required", "by", "Section", "18", "hereof", "and", "Section", "409A", "of", "the", "Internal", "Revenue", "Code", "of", "1986", ",", "as", "amended", "(", "Section", "409A", ")", ",", "if", "a", "payment", "is", "otherwise", "payable", "to", "Executive", "hereunder", ",", "payment", "of", "such", "Separation", "Payment", "shall", "be", "payable", "in", "cash", "to", "him", "at", "the", "end", "of", "the", "month", "following", "the", "month", "in", "which", "his", "separation", "from", "service", "(", "within", "the", "meaning", "of", "Section", "409A", ")", "occurs", "(", "or", "such", "later", "date", "as", "may", "be", "required", "by", "law", ")", ".", "However", ",", "Executives", "right", "to", "receive", "the", "Separation", "Payment", "shall", "be", "conditioned", "upon", "(", "i", ")", "his", "execution", "and", "delivery", "to", "the", "Company", "of", "a", "Separation", "Release", "(", "and", "the", "expiration", "of", "any", "statutorily", "mandated", "revocation", "period", ")", "within", "30", "days", "(", "or", "such", "longer", "period", "as", "may", "be", "required", "by", "law", ")", "following", "the", "separation", "from", "service", "date", "and", "(", "ii", ")", "his", "continued", "compliance", "with", "this", "Agreement", "and", "any", "other", "restrictive", "covenants", "to", "which", "he", "is", "bound", ".", "If", "Executive", "fails", "to", "timely", "execute", "and", "deliver", "the", "Separation", "Release", "or", "if", "he", "timely", "revokes", "his", "acceptance", "of", "the", "Separation", "Release", "thereafter", "(", "if", "such", "revocation", "is", "permitted", ")", ",", "he", "shall", "not", "be", "entitled", "to", "the", "Separation", "Payment", "and", "shall", "repay", "any", "Separation", "Payment", "received", ".", "If", "the", "foregoing", "consideration", "and", "revocation", "periods", "begin", "in", "one", "taxable", "year", "and", "end", "in", "a", "second", "taxable", "year", ",", "payment", "will", "be", "made", "in", "the", "second", "taxable", "year", "."]}
{"id": "15008", "text": "Any person (as defined in Section 13(h)(8)(E) of the Exchange Act ), other than the Company or any of its subsidiaries or any employee benefit plan of the Company or any of its subsidiaries, becomes the beneficial owner (as defined in Rule 13d-3 under the Exchange Act ), directly or indirectly, of securities of the Company (or any successor to all or substantially all of the Companys assets) representing more than 30% of the combined voting power of the Companys (or such successors) then outstanding voting securities that may be cast for the election of directors of the Company (other than as a result of an issuance of securities initiated by the Company (or such successor) in the ordinary course of business);", "ner": [[19, 20, "Act"], [54, 55, "Regulation"], [88, 89, "Percentage"]], "tokenized_text": ["Any", "person", "(", "as", "defined", "in", "Section", "13", "(", "h", ")", "(", "8", ")", "(", "E", ")", "of", "the", "Exchange", "Act", ")", ",", "other", "than", "the", "Company", "or", "any", "of", "its", "subsidiaries", "or", "any", "employee", "benefit", "plan", "of", "the", "Company", "or", "any", "of", "its", "subsidiaries", ",", "becomes", "the", "beneficial", "owner", "(", "as", "defined", "in", "Rule", "13d-3", "under", "the", "Exchange", "Act", ")", ",", "directly", "or", "indirectly", ",", "of", "securities", "of", "the", "Company", "(", "or", "any", "successor", "to", "all", "or", "substantially", "all", "of", "the", "Companys", "assets", ")", "representing", "more", "than", "30", "%", "of", "the", "combined", "voting", "power", "of", "the", "Companys", "(", "or", "such", "successors", ")", "then", "outstanding", "voting", "securities", "that", "may", "be", "cast", "for", "the", "election", "of", "directors", "of", "the", "Company", "(", "other", "than", "as", "a", "result", "of", "an", "issuance", "of", "securities", "initiated", "by", "the", "Company", "(", "or", "such", "successor", ")", "in", "the", "ordinary", "course", "of", "business", ")", ";"]}
{"id": "16009", "text": "During any 12 month period within the Term, Continuing Directors cease for any reason to constitute at least a majority of the Board. For this purpose, a Continuing Director is any person who at the beginning of the Term was a member of the Board, or any person first elected to the Board during the Term whose election, or the nomination for election by the Companys shareholders, was approved by a vote of at least two-thirds of the Continuing Directors then in office, but excluding any person (A) initially appointed or elected to office as result of either an actual or threatened election and/or proxy contest by or on behalf of any person or group (within the meaning of Section 13(d) of the Exchange Act ) other than the Board, or (B) designated by any person or group (within the meaning of Section 13(d) of the Exchange Act ) ) who has entered into an agreement with the Company to effect a transaction described in Section 11(b)(i) through (iv).", "ner": [[81, 81, "Percentage"], [138, 139, "Act"]], "tokenized_text": ["During", "any", "12", "month", "period", "within", "the", "Term", ",", "Continuing", "Directors", "cease", "for", "any", "reason", "to", "constitute", "at", "least", "a", "majority", "of", "the", "Board", ".", "For", "this", "purpose", ",", "a", "Continuing", "Director", "is", "any", "person", "who", "at", "the", "beginning", "of", "the", "Term", "was", "a", "member", "of", "the", "Board", ",", "or", "any", "person", "first", "elected", "to", "the", "Board", "during", "the", "Term", "whose", "election", ",", "or", "the", "nomination", "for", "election", "by", "the", "Companys", "shareholders", ",", "was", "approved", "by", "a", "vote", "of", "at", "least", "two-thirds", "of", "the", "Continuing", "Directors", "then", "in", "office", ",", "but", "excluding", "any", "person", "(", "A", ")", "initially", "appointed", "or", "elected", "to", "office", "as", "result", "of", "either", "an", "actual", "or", "threatened", "election", "and", "/", "or", "proxy", "contest", "by", "or", "on", "behalf", "of", "any", "person", "or", "group", "(", "within", "the", "meaning", "of", "Section", "13", "(", "d", ")", "of", "the", "Exchange", "Act", ")", "other", "than", "the", "Board", ",", "or", "(", "B", ")", "designated", "by", "any", "person", "or", "group", "(", "within", "the", "meaning", "of", "Section", "13", "(", "d", ")", "of", "the", "Exchange", "Act", ")", ")", "who", "has", "entered", "into", "an", "agreement", "with", "the", "Company", "to", "effect", "a", "transaction", "described", "in", "Section", "11", "(", "b", ")", "(", "i", ")", "through", "(", "iv", ")", "."]}
{"id": "16011", "text": "COMPANY: DELEK US HOLDINGS, INC. EXECUTIVE:", "ner": [[2, 7, "Parties"]], "tokenized_text": ["COMPANY", ":", "DELEK", "US", "HOLDINGS", ",", "INC", ".", "EXECUTIVE", ":"]}
{"id": "16013", "text": "EMPLOYMENT AGREEMENT (this Agreement), dated as of 7/14, 2014 (the Effective Date), by and between Emerald Expositions, LLC , a Delaware limited liability company (the Company), and Philip Evans (the Executive) (each of the Executive and the Company, a Party, and collectively, the Parties).", "ner": [[0, 1, "Title"], [10, 14, "EffectiveDate"], [24, 27, "Parties"], [40, 41, "Parties"]], "tokenized_text": ["EMPLOYMENT", "AGREEMENT", "(", "this", "Agreement", ")", ",", "dated", "as", "of", "7", "/", "14", ",", "2014", "(", "the", "Effective", "Date", ")", ",", "by", "and", "between", "Emerald", "Expositions", ",", "LLC", ",", "a", "Delaware", "limited", "liability", "company", "(", "the", "Company", ")", ",", "and", "Philip", "Evans", "(", "the", "Executive", ")", "(", "each", "of", "the", "Executive", "and", "the", "Company", ",", "a", "Party", ",", "and", "collectively", ",", "the", "Parties", ")", "."]}
{"id": "16016", "text": "1.1. Term. Subject to Section 3 hereof, the Company agrees to continue to employ the Executive, and the Executive agrees to continue to be employed by the Company, in each case pursuant to this Agreement, for a period commencing on the Effective Date and ending on the fifth anniversary of the Effective Date (the Initial Term); provided, however, that the period of the Executives employment pursuant to this Agreement shall be automatically extended for successive one-year periods thereafter (each, a Renewal Term), in each case unless either Party hereto provides the other Party hereto with written notice that such period shall not be so extended at least 30 days in advance of the expiration of the Initial Term or the then-current Renewal Term, as applicable (the Initial Term and any Renewal Term, collectively, the Term). The Executives period of employment pursuant to this Agreement shall hereinafter be referred to as the Employment Period.", "ner": [[55, 56, "TerminationDate"], [88, 88, "RenewalTerm"]], "tokenized_text": ["1", ".", "1", ".", "Term", ".", "Subject", "to", "Section", "3", "hereof", ",", "the", "Company", "agrees", "to", "continue", "to", "employ", "the", "Executive", ",", "and", "the", "Executive", "agrees", "to", "continue", "to", "be", "employed", "by", "the", "Company", ",", "in", "each", "case", "pursuant", "to", "this", "Agreement", ",", "for", "a", "period", "commencing", "on", "the", "Effective", "Date", "and", "ending", "on", "the", "fifth", "anniversary", "of", "the", "Effective", "Date", "(", "the", "Initial", "Term", ")", ";", "provided", ",", "however", ",", "that", "the", "period", "of", "the", "Executives", "employment", "pursuant", "to", "this", "Agreement", "shall", "be", "automatically", "extended", "for", "successive", "one-year", "periods", "thereafter", "(", "each", ",", "a", "Renewal", "Term", ")", ",", "in", "each", "case", "unless", "either", "Party", "hereto", "provides", "the", "other", "Party", "hereto", "with", "written", "notice", "that", "such", "period", "shall", "not", "be", "so", "extended", "at", "least", "30", "days", "in", "advance", "of", "the", "expiration", "of", "the", "Initial", "Term", "or", "the", "then-current", "Renewal", "Term", ",", "as", "applicable", "(", "the", "Initial", "Term", "and", "any", "Renewal", "Term", ",", "collectively", ",", "the", "Term", ")", ".", "The", "Executives", "period", "of", "employment", "pursuant", "to", "this", "Agreement", "shall", "hereinafter", "be", "referred", "to", "as", "the", "Employment", "Period", "."]}
{"id": "16017", "text": "1.2. Duties. During the Employment Period, the Executive shall serve as the Companys Chief Financial Officer and in such other positions as an officer or director of the Company and such affiliates of the Company as the Executive and the board of directors (the Board) of Expo Event Holdco, Inc., a Delaware corporation (Parent) shall mutually agree from time to time, and shall report directly to the Chief Executive Officer. In the Executives position as Chief Financial Officer , the Executive shall perform such duties, functions and responsibilities during the Employment Period as are commensurate with such position, as reasonably and lawfully directed by the Chief Executive Officer. The Executives principal place of employment shall be the Companys headquarters in San Juan Capistrano, California.", "ner": [[18, 20, "Role"], [80, 82, "Role"], [121, 123, "Role"], [137, 141, "Address"]], "tokenized_text": ["1", ".", "2", ".", "Duties", ".", "During", "the", "Employment", "Period", ",", "the", "Executive", "shall", "serve", "as", "the", "Companys", "Chief", "Financial", "Officer", "and", "in", "such", "other", "positions", "as", "an", "officer", "or", "director", "of", "the", "Company", "and", "such", "affiliates", "of", "the", "Company", "as", "the", "Executive", "and", "the", "board", "of", "directors", "(", "the", "Board", ")", "of", "Expo", "Event", "Holdco", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "Parent", ")", "shall", "mutually", "agree", "from", "time", "to", "time", ",", "and", "shall", "report", "directly", "to", "the", "Chief", "Executive", "Officer", ".", "In", "the", "Executives", "position", "as", "Chief", "Financial", "Officer", ",", "the", "Executive", "shall", "perform", "such", "duties", ",", "functions", "and", "responsibilities", "during", "the", "Employment", "Period", "as", "are", "commensurate", "with", "such", "position", ",", "as", "reasonably", "and", "lawfully", "directed", "by", "the", "Chief", "Executive", "Officer", ".", "The", "Executives", "principal", "place", "of", "employment", "shall", "be", "the", "Companys", "headquarters", "in", "San", "Juan", "Capistrano", ",", "California", "."]}
{"id": "16024", "text": "8.5.Governing Law. This Agreement shall be construed and enforced in accordance with, and the laws of the State of California hereto shall govern the rights and obligations of the parties, without giving effect to the conflicts of law principles thereof.", "ner": [[23, 25, "Court"]], "tokenized_text": ["8", ".", "5", ".", "Governing", "Law", ".", "This", "Agreement", "shall", "be", "construed", "and", "enforced", "in", "accordance", "with", ",", "and", "the", "laws", "of", "the", "State", "of", "California", "hereto", "shall", "govern", "the", "rights", "and", "obligations", "of", "the", "parties", ",", "without", "giving", "effect", "to", "the", "conflicts", "of", "law", "principles", "thereof", "."]}
{"id": "16030", "text": "This Employment Agreement (the Agreement) is entered into by and between Randy Berholtz (you or your) and Innovus Pharmaceuticals, Inc. , a Nevada corporation (the Company). This Agreement has an effective date of January 9, 2017 (the Effective Date).", "ner": [[1, 2, "Title"], [13, 14, "Parties"], [21, 25, "Parties"], [42, 45, "EffectiveDate"]], "tokenized_text": ["This", "Employment", "Agreement", "(", "the", "Agreement", ")", "is", "entered", "into", "by", "and", "between", "Randy", "Berholtz", "(", "you", "or", "your", ")", "and", "Innovus", "Pharmaceuticals", ",", "Inc", ".", ",", "a", "Nevada", "corporation", "(", "the", "Company", ")", ".", "This", "Agreement", "has", "an", "effective", "date", "of", "January", "9", ",", "2017", "(", "the", "Effective", "Date", ")", "."]}
{"id": "16031", "text": "1. Position and Responsibilities. As of the Effective Date, you will be employed by the Company as the Companys Executive Vice President , Corporate Development and General Counsel ( General Counsel ). In addition, you will serve as the Companys Secretary. As Executive Vice President , Corporate Development and General Counsel , you shall report directly to the Companys President and Chief Executive Officer (the CEO) or to the Companys Chief Operating Officer (the COO). Your office will be located at the Companys headquarters at 9171 Towne Centre Drive, Suite 440, San Diego, CA 92122.", "ner": [[22, 24, "Role"], [67, 69, "Role"], [72, 72, "Role"], [78, 80, "Role"], [83, 83, "Role"], [96, 107, "Address"]], "tokenized_text": ["1", ".", "Position", "and", "Responsibilities", ".", "As", "of", "the", "Effective", "Date", ",", "you", "will", "be", "employed", "by", "the", "Company", "as", "the", "Companys", "Executive", "Vice", "President", ",", "Corporate", "Development", "and", "General", "Counsel", "(", "General", "Counsel", ")", ".", "In", "addition", ",", "you", "will", "serve", "as", "the", "Companys", "Secretary", ".", "As", "Executive", "Vice", "President", ",", "Corporate", "Development", "and", "General", "Counsel", ",", "you", "shall", "report", "directly", "to", "the", "Companys", "President", "and", "Chief", "Executive", "Officer", "(", "the", "CEO", ")", "or", "to", "the", "Companys", "Chief", "Operating", "Officer", "(", "the", "COO", ")", ".", "Your", "office", "will", "be", "located", "at", "the", "Companys", "headquarters", "at", "9171", "Towne", "Centre", "Drive", ",", "Suite", "440", ",", "San", "Diego", ",", "CA", "92122", "."]}
{"id": "15032", "text": "(a) Base Salary. Commencing on the Effective Date, you will be paid an annual base salary of two hundred and eighty thousand dollars ( $280,000.00 ) (the Base Salary) for your services as General Counsel , payable in the time and manner that the Company customarily pays its employees provided that you will receive pro-rata payments of Base Salary at least once each calendar month (subject to the going concern exception described below). Your Base Salary will be reviewed periodically by the Board and may be increased (but not decreased) by the Board.", "ner": [[28, 33, "Salary"], [44, 45, "Role"]], "tokenized_text": ["(", "a", ")", "Base", "Salary", ".", "Commencing", "on", "the", "Effective", "Date", ",", "you", "will", "be", "paid", "an", "annual", "base", "salary", "of", "two", "hundred", "and", "eighty", "thousand", "dollars", "(", "$", "280", ",", "000", ".", "00", ")", "(", "the", "Base", "Salary", ")", "for", "your", "services", "as", "General", "Counsel", ",", "payable", "in", "the", "time", "and", "manner", "that", "the", "Company", "customarily", "pays", "its", "employees", "provided", "that", "you", "will", "receive", "pro-rata", "payments", "of", "Base", "Salary", "at", "least", "once", "each", "calendar", "month", "(", "subject", "to", "the", "going", "concern", "exception", "described", "below", ")", ".", "Your", "Base", "Salary", "will", "be", "reviewed", "periodically", "by", "the", "Board", "and", "may", "be", "increased", "(", "but", "not", "decreased", ")", "by", "the", "Board", "."]}
{"id": "16033", "text": "You shall be eligible for additional grants of Compensatory Equity in order to ensure that you have competitive equity compensation. All grants of Compensatory Equity shall be issued pursuant to: (i) a Board-approved employee stock incentive plan (the Plan) and (ii) an effective registration statement filed (and maintained) by the Company with the Securities and Exchange Commission in accordance with the Securities Act of 1933 , as amended.", "ner": [[71, 74, "Act"]], "tokenized_text": ["You", "shall", "be", "eligible", "for", "additional", "grants", "of", "Compensatory", "Equity", "in", "order", "to", "ensure", "that", "you", "have", "competitive", "equity", "compensation", ".", "All", "grants", "of", "Compensatory", "Equity", "shall", "be", "issued", "pursuant", "to", ":", "(", "i", ")", "a", "Board-approved", "employee", "stock", "incentive", "plan", "(", "the", "Plan", ")", "and", "(", "ii", ")", "an", "effective", "registration", "statement", "filed", "(", "and", "maintained", ")", "by", "the", "Company", "with", "the", "Securities", "and", "Exchange", "Commission", "in", "accordance", "with", "the", "Securities", "Act", "of", "1933", ",", "as", "amended", "."]}
{"id": "16034", "text": "Additionally, all outstanding unvested Compensatory Equity awards shall fully vest and become exercisable (to the extent exercise is required) upon a Change in Control occurring during your Service (as defined below). You may also elect to establish a trading plan for Company securities in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934 , as amended (the Exchange Act). For purposes of this Agreement and your Compensatory Equity, Service shall mean service by you as an employee, director and/or consultant of the Company (or any subsidiary or parent or affiliated entity of the Company).", "ner": [[52, 53, "Regulation"], [56, 60, "Act"]], "tokenized_text": ["Additionally", ",", "all", "outstanding", "unvested", "Compensatory", "Equity", "awards", "shall", "fully", "vest", "and", "become", "exercisable", "(", "to", "the", "extent", "exercise", "is", "required", ")", "upon", "a", "Change", "in", "Control", "occurring", "during", "your", "Service", "(", "as", "defined", "below", ")", ".", "You", "may", "also", "elect", "to", "establish", "a", "trading", "plan", "for", "Company", "securities", "in", "accordance", "with", "Rule", "10b5-1", "of", "the", "Securities", "Exchange", "Act", "of", "1934", ",", "as", "amended", "(", "the", "Exchange", "Act", ")", ".", "For", "purposes", "of", "this", "Agreement", "and", "your", "Compensatory", "Equity", ",", "Service", "shall", "mean", "service", "by", "you", "as", "an", "employee", ",", "director", "and", "/", "or", "consultant", "of", "the", "Company", "(", "or", "any", "subsidiary", "or", "parent", "or", "affiliated", "entity", "of", "the", "Company", ")", "."]}
{"id": "16036", "text": "Except as may be permitted below on this section 9, the parties agree that any dispute between the parties arising out of or relating to the negotiation, execution or performance of this Agreement shall be settled by expedited binding arbitration in accordance with the Employment Arbitration Rules and Mediation Procedures of the American Arbitration Association. The location for the arbitration shall be San Diego, California . The arbitration award shall be made within sixty (60) days of the filing of the notice of intention to arbitrate (demand), and the arbitrator(s) shall agree to comply with this schedule before accepting appointment. Any award made by such arbitrator(s) shall be final, binding and conclusive on the parties for all purposes, and judgment upon the award rendered by the arbitrators may be entered in any court having jurisdiction thereof. The parties each agree that the arbitration provisions of this Agreement shall provide each party with its exclusive remedy, and each party expressly waives any right it might have to seek redress in any other forum, except as otherwise expressly provided in this Agreement. By electing arbitration as the means for final settlement of all claims, the parties hereby waive their respective rights to, and agree not to, sue each other in any action in a Federal, State or local court with respect to such claims, but may seek to enforce in court an arbitration award rendered pursuant to this Agreement. The parties specifically agree to waive their respective rights to a trial by jury, and further agree that no demand, request or motion will be made for trial by jury. In the event that either party brings an action under Section 9 to enforce or effect its rights under or relating to this Agreement (a Proceeding), the prevailing party shall be entitled to recover its costs and expenses, including the costs of mediation, arbitration, litigation, court fees, and reasonable attorneys fees incurred in connection with such an action. The Company shall pay for all arbitration- specific costs, including but not limited to the arbitration filing fee.", "ner": [[46, 51, "Address"], [54, 56, "Court"], [65, 68, "Address"]], "tokenized_text": ["Except", "as", "may", "be", "permitted", "below", "on", "this", "section", "9", ",", "the", "parties", "agree", "that", "any", "dispute", "between", "the", "parties", "arising", "out", "of", "or", "relating", "to", "the", "negotiation", ",", "execution", "or", "performance", "of", "this", "Agreement", "shall", "be", "settled", "by", "expedited", "binding", "arbitration", "in", "accordance", "with", "the", "Employment", "Arbitration", "Rules", "and", "Mediation", "Procedures", "of", "the", "American", "Arbitration", "Association", ".", "The", "location", "for", "the", "arbitration", "shall", "be", "San", "Diego", ",", "California", ".", "The", "arbitration", "award", "shall", "be", "made", "within", "sixty", "(", "60", ")", "days", "of", "the", "filing", "of", "the", "notice", "of", "intention", "to", "arbitrate", "(", "demand", ")", ",", "and", "the", "arbitrator", "(", "s", ")", "shall", "agree", "to", "comply", "with", "this", "schedule", "before", "accepting", "appointment", ".", "Any", "award", "made", "by", "such", "arbitrator", "(", "s", ")", "shall", "be", "final", ",", "binding", "and", "conclusive", "on", "the", "parties", "for", "all", "purposes", ",", "and", "judgment", "upon", "the", "award", "rendered", "by", "the", "arbitrators", "may", "be", "entered", "in", "any", "court", "having", "jurisdiction", "thereof", ".", "The", "parties", "each", "agree", "that", "the", "arbitration", "provisions", "of", "this", "Agreement", "shall", "provide", "each", "party", "with", "its", "exclusive", "remedy", ",", "and", "each", "party", "expressly", "waives", "any", "right", "it", "might", "have", "to", "seek", "redress", "in", "any", "other", "forum", ",", "except", "as", "otherwise", "expressly", "provided", "in", "this", "Agreement", ".", "By", "electing", "arbitration", "as", "the", "means", "for", "final", "settlement", "of", "all", "claims", ",", "the", "parties", "hereby", "waive", "their", "respective", "rights", "to", ",", "and", "agree", "not", "to", ",", "sue", "each", "other", "in", "any", "action", "in", "a", "Federal", ",", "State", "or", "local", "court", "with", "respect", "to", "such", "claims", ",", "but", "may", "seek", "to", "enforce", "in", "court", "an", "arbitration", "award", "rendered", "pursuant", "to", "this", "Agreement", ".", "The", "parties", "specifically", "agree", "to", "waive", "their", "respective", "rights", "to", "a", "trial", "by", "jury", ",", "and", "further", "agree", "that", "no", "demand", ",", "request", "or", "motion", "will", "be", "made", "for", "trial", "by", "jury", ".", "In", "the", "event", "that", "either", "party", "brings", "an", "action", "under", "Section", "9", "to", "enforce", "or", "effect", "its", "rights", "under", "or", "relating", "to", "this", "Agreement", "(", "a", "Proceeding", ")", ",", "the", "prevailing", "party", "shall", "be", "entitled", "to", "recover", "its", "costs", "and", "expenses", ",", "including", "the", "costs", "of", "mediation", ",", "arbitration", ",", "litigation", ",", "court", "fees", ",", "and", "reasonable", "attorneys", "fees", "incurred", "in", "connection", "with", "such", "an", "action", ".", "The", "Company", "shall", "pay", "for", "all", "arbitration", "-", "specific", "costs", ",", "including", "but", "not", "limited", "to", "the", "arbitration", "filing", "fee", "."]}
{"id": "16039", "text": "1. PARTIES. The parties to this Agreement and Release are Randy Berholtz (Executive) and Innovus Pharmaceuticals, Inc. , a Nevada corporation, (the Company).", "ner": [[12, 13, "Parties"], [18, 22, "Parties"]], "tokenized_text": ["1", ".", "PARTIES", ".", "The", "parties", "to", "this", "Agreement", "and", "Release", "are", "Randy", "Berholtz", "(", "Executive", ")", "and", "Innovus", "Pharmaceuticals", ",", "Inc", ".", ",", "a", "Nevada", "corporation", ",", "(", "the", "Company", ")", "."]}
{"id": "16041", "text": "3. EXECUTIVES PROMISES. In consideration for the promises and payments contained in the Employment Agreement , each party agrees as follows:", "ner": [[15, 16, "Title"]], "tokenized_text": ["3", ".", "EXECUTIVES", "PROMISES", ".", "In", "consideration", "for", "the", "promises", "and", "payments", "contained", "in", "the", "Employment", "Agreement", ",", "each", "party", "agrees", "as", "follows", ":"]}
{"id": "16043", "text": "Notwithstanding the foregoing, with respect to Executives release, this Release does not release (a) claims that cannot be released as a matter of law, (b) claims arising after the effective date of this Release including those under the Employment Agreement , (c) claims to enforce any of Executives rights to post-termination benefits provided by the Employment Agreement , (d) claims for indemnification or coverage under a directors and officers liability insurance policy as provided in the Employment Agreement or under any other contract or under applicable law, (e) claims to enforce any of Executives vested benefits under any employee benefit plan of the Company including without limitation his Compensatory Equity (as defined in the Employment Agreement ), (f) Executives right to file a charge, testify, assist, or cooperate with the EEOC or to file a claim under the Fair Labor Standards Act, or (g) Executives rights arising solely as a shareholder of the Company.", "ner": [[45, 46, "Title"], [159, 162, "Act"]], "tokenized_text": ["Notwithstanding", "the", "foregoing", ",", "with", "respect", "to", "Executives", "release", ",", "this", "Release", "does", "not", "release", "(", "a", ")", "claims", "that", "cannot", "be", "released", "as", "a", "matter", "of", "law", ",", "(", "b", ")", "claims", "arising", "after", "the", "effective", "date", "of", "this", "Release", "including", "those", "under", "the", "Employment", "Agreement", ",", "(", "c", ")", "claims", "to", "enforce", "any", "of", "Executives", "rights", "to", "post-termination", "benefits", "provided", "by", "the", "Employment", "Agreement", ",", "(", "d", ")", "claims", "for", "indemnification", "or", "coverage", "under", "a", "directors", "and", "officers", "liability", "insurance", "policy", "as", "provided", "in", "the", "Employment", "Agreement", "or", "under", "any", "other", "contract", "or", "under", "applicable", "law", ",", "(", "e", ")", "claims", "to", "enforce", "any", "of", "Executives", "vested", "benefits", "under", "any", "employee", "benefit", "plan", "of", "the", "Company", "including", "without", "limitation", "his", "Compensatory", "Equity", "(", "as", "defined", "in", "the", "Employment", "Agreement", ")", ",", "(", "f", ")", "Executives", "right", "to", "file", "a", "charge", ",", "testify", ",", "assist", ",", "or", "cooperate", "with", "the", "EEOC", "or", "to", "file", "a", "claim", "under", "the", "Fair", "Labor", "Standards", "Act", ",", "or", "(", "g", ")", "Executives", "rights", "arising", "solely", "as", "a", "shareholder", "of", "the", "Company", "."]}
{"id": "16044", "text": "3.2 The waiver and release set forth in paragraph 3.1 applies to claims of which either party does not currently have knowledge and each party specifically waives the benefit of the provisions of Section 1542 of the Civil Code of the State of California which reads as follows: A general release does not extend to claims which the creditor does not know or suspect to exist in his or her favor at the time of executing the release, which if known by him or her must have materially affected his or her settlement with the debtor.", "ner": [[37, 38, "Regulation"], [45, 47, "Court"]], "tokenized_text": ["3", ".", "2", "The", "waiver", "and", "release", "set", "forth", "in", "paragraph", "3", ".", "1", "applies", "to", "claims", "of", "which", "either", "party", "does", "not", "currently", "have", "knowledge", "and", "each", "party", "specifically", "waives", "the", "benefit", "of", "the", "provisions", "of", "Section", "1542", "of", "the", "Civil", "Code", "of", "the", "State", "of", "California", "which", "reads", "as", "follows", ":", "A", "general", "release", "does", "not", "extend", "to", "claims", "which", "the", "creditor", "does", "not", "know", "or", "suspect", "to", "exist", "in", "his", "or", "her", "favor", "at", "the", "time", "of", "executing", "the", "release", ",", "which", "if", "known", "by", "him", "or", "her", "must", "have", "materially", "affected", "his", "or", "her", "settlement", "with", "the", "debtor", "."]}
{"id": "15045", "text": "4. CONSULTATION, REVIEW, AND REVOCATION. In accordance with the Age Discrimination in Employment Act of 1967 (ADEA) as amended by the Older Workers Benefit Protection Act, Executive is advised to consult with an attorney before signing this Release. Executive is given a period of 45 days in which to consider whether to enter into this Release. Executive does not have to utilize the entire 45 day period before signing this Release, and may waive this right. If Executive does enter into this Release, Executive may revoke the Release within 7 days after the execution of the Release. Any revocation must be in writing and must be received by the Company no later than midnight of the seventh day after execution by Executive. The Release is not effective or enforceable until after this 7-day period has passed without revocation.", "ner": [[13, 19, "Act"], [27, 31, "Act"]], "tokenized_text": ["4", ".", "CONSULTATION", ",", "REVIEW", ",", "AND", "REVOCATION", ".", "In", "accordance", "with", "the", "Age", "Discrimination", "in", "Employment", "Act", "of", "1967", "(", "ADEA", ")", "as", "amended", "by", "the", "Older", "Workers", "Benefit", "Protection", "Act", ",", "Executive", "is", "advised", "to", "consult", "with", "an", "attorney", "before", "signing", "this", "Release", ".", "Executive", "is", "given", "a", "period", "of", "45", "days", "in", "which", "to", "consider", "whether", "to", "enter", "into", "this", "Release", ".", "Executive", "does", "not", "have", "to", "utilize", "the", "entire", "45", "day", "period", "before", "signing", "this", "Release", ",", "and", "may", "waive", "this", "right", ".", "If", "Executive", "does", "enter", "into", "this", "Release", ",", "Executive", "may", "revoke", "the", "Release", "within", "7", "days", "after", "the", "execution", "of", "the", "Release", ".", "Any", "revocation", "must", "be", "in", "writing", "and", "must", "be", "received", "by", "the", "Company", "no", "later", "than", "midnight", "of", "the", "seventh", "day", "after", "execution", "by", "Executive", ".", "The", "Release", "is", "not", "effective", "or", "enforceable", "until", "after", "this", "7-day", "period", "has", "passed", "without", "revocation", "."]}
{"id": "15046", "text": "5.1 This Release shall be deemed to have been executed and delivered within the State of California , and the rights and obligations of the parties hereunder shall be construed and enforced in accordance with, and governed by, the laws of the State of California .", "ner": [[16, 18, "Court"]], "tokenized_text": ["5", ".", "1", "This", "Release", "shall", "be", "deemed", "to", "have", "been", "executed", "and", "delivered", "within", "the", "State", "of", "California", ",", "and", "the", "rights", "and", "obligations", "of", "the", "parties", "hereunder", "shall", "be", "construed", "and", "enforced", "in", "accordance", "with", ",", "and", "governed", "by", ",", "the", "laws", "of", "the", "State", "of", "California", "."]}
{"id": "16048", "text": "EX-10.3 3 fs12017a2iex10iii_american.htm EMPLOYMENT AGREEMENT WITH KIRA HUANG", "ner": [[7, 8, "Title"], [10, 11, "Parties"]], "tokenized_text": ["EX-10", ".", "3", "3", "fs12017a2iex10iii_american", ".", "htm", "EMPLOYMENT", "AGREEMENT", "WITH", "KIRA", "HUANG"]}
{"id": "16051", "text": "Title as Chief Financial Officer , the Employee is required to perform duties and undertake the following responsibilities in a professional manner.", "ner": [[2, 4, "Role"]], "tokenized_text": ["Title", "as", "Chief", "Financial", "Officer", ",", "the", "Employee", "is", "required", "to", "perform", "duties", "and", "undertake", "the", "following", "responsibilities", "in", "a", "professional", "manner", "."]}
{"id": "16052", "text": "(a) As full compensation for all services provided the employee shall be paid at the rate of USD 4,500 per month. Such payments shall be subject to such normal statutory deductions by the Employer.", "ner": [[19, 22, "Salary"]], "tokenized_text": ["(", "a", ")", "As", "full", "compensation", "for", "all", "services", "provided", "the", "employee", "shall", "be", "paid", "at", "the", "rate", "of", "USD", "4", ",", "500", "per", "month", ".", "Such", "payments", "shall", "be", "subject", "to", "such", "normal", "statutory", "deductions", "by", "the", "Employer", "."]}
{"id": "15053", "text": "This agreement shall be governed by the laws of the State of Delaware .", "ner": [[10, 12, "Court"]], "tokenized_text": ["This", "agreement", "shall", "be", "governed", "by", "the", "laws", "of", "the", "State", "of", "Delaware", "."]}
{"id": "16057", "text": "(i)Base Salary. During the Employment Period, Executive shall receive an annual base salary in an amount equal to three hundred twenty five thousand dollars ( $325,000 ), less all applicable withholdings, which shall be paid in accordance with the customary payroll practices of the Company and prorated for partial calendar years of employment (as in effect from time to time, the Annual Base Salary). The Annual Base Salary shall be subject to annual review by the Board, in its sole discretion, for possible increase and any such increased Annual Base Salary documented in the form of a resolution adopted by the Board or an amendment to this Agreement shall constitute Annual Base Salary for purposes of this Agreement.", "ner": [[30, 33, "Salary"]], "tokenized_text": ["(", "i", ")", "Base", "Salary", ".", "During", "the", "Employment", "Period", ",", "Executive", "shall", "receive", "an", "annual", "base", "salary", "in", "an", "amount", "equal", "to", "three", "hundred", "twenty", "five", "thousand", "dollars", "(", "$", "325", ",", "000", ")", ",", "less", "all", "applicable", "withholdings", ",", "which", "shall", "be", "paid", "in", "accordance", "with", "the", "customary", "payroll", "practices", "of", "the", "Company", "and", "prorated", "for", "partial", "calendar", "years", "of", "employment", "(", "as", "in", "effect", "from", "time", "to", "time", ",", "the", "Annual", "Base", "Salary", ")", ".", "The", "Annual", "Base", "Salary", "shall", "be", "subject", "to", "annual", "review", "by", "the", "Board", ",", "in", "its", "sole", "discretion", ",", "for", "possible", "increase", "and", "any", "such", "increased", "Annual", "Base", "Salary", "documented", "in", "the", "form", "of", "a", "resolution", "adopted", "by", "the", "Board", "or", "an", "amendment", "to", "this", "Agreement", "shall", "constitute", "Annual", "Base", "Salary", "for", "purposes", "of", "this", "Agreement", "."]}
{"id": "15058", "text": "For purposes of this Agreement, Change in Control means, with respect to the Company, the first to occur of any of the following: (i)the acquisition by any person or group (as defined in section 13(d) of the Securities Exchange Act of 1934 , as amended), other than by (A)the Company or any of its affiliates; (B)any employee benefit plan of the Company or any of its affiliates; or (C)any holder of equity units issued in connection with the Companys 2016 reorganization, through one transaction or a series of related transactions of more than 50% of the combined voting power of the then outstanding voting securities of the Company; (ii)the merger or consolidation of the Company as a result of which persons who were unit holders of the Company immediately prior to such merger or consolidation, do not, immediately thereafter, own, directly or indirectly, 50% or more of the combined voting power entitled to vote generally in the election of directors of the merged or consolidated company; or (iii)the sale, transfer or other disposition of all or substantially all of the assets of the Company and its subsidiaries (determined on a consolidated basis) through one transaction or a series of related transactions occurring during any period of twelve (12)consecutive months to one or more persons who are not, immediately prior to such sale, transfer or other disposition, unit holders or affiliates of the Company.", "ner": [[41, 45, "Regulation"], [48, 52, "Act"], [118, 119, "Percentage"], [178, 179, "Percentage"]], "tokenized_text": ["For", "purposes", "of", "this", "Agreement", ",", "Change", "in", "Control", "means", ",", "with", "respect", "to", "the", "Company", ",", "the", "first", "to", "occur", "of", "any", "of", "the", "following", ":", "(", "i", ")", "the", "acquisition", "by", "any", "person", "or", "group", "(", "as", "defined", "in", "section", "13", "(", "d", ")", "of", "the", "Securities", "Exchange", "Act", "of", "1934", ",", "as", "amended", ")", ",", "other", "than", "by", "(", "A", ")", "the", "Company", "or", "any", "of", "its", "affiliates", ";", "(", "B", ")", "any", "employee", "benefit", "plan", "of", "the", "Company", "or", "any", "of", "its", "affiliates", ";", "or", "(", "C", ")", "any", "holder", "of", "equity", "units", "issued", "in", "connection", "with", "the", "Companys", "2016", "reorganization", ",", "through", "one", "transaction", "or", "a", "series", "of", "related", "transactions", "of", "more", "than", "50", "%", "of", "the", "combined", "voting", "power", "of", "the", "then", "outstanding", "voting", "securities", "of", "the", "Company", ";", "(", "ii", ")", "the", "merger", "or", "consolidation", "of", "the", "Company", "as", "a", "result", "of", "which", "persons", "who", "were", "unit", "holders", "of", "the", "Company", "immediately", "prior", "to", "such", "merger", "or", "consolidation", ",", "do", "not", ",", "immediately", "thereafter", ",", "own", ",", "directly", "or", "indirectly", ",", "50", "%", "or", "more", "of", "the", "combined", "voting", "power", "entitled", "to", "vote", "generally", "in", "the", "election", "of", "directors", "of", "the", "merged", "or", "consolidated", "company", ";", "or", "(", "iii", ")", "the", "sale", ",", "transfer", "or", "other", "disposition", "of", "all", "or", "substantially", "all", "of", "the", "assets", "of", "the", "Company", "and", "its", "subsidiaries", "(", "determined", "on", "a", "consolidated", "basis", ")", "through", "one", "transaction", "or", "a", "series", "of", "related", "transactions", "occurring", "during", "any", "period", "of", "twelve", "(", "12", ")", "consecutive", "months", "to", "one", "or", "more", "persons", "who", "are", "not", ",", "immediately", "prior", "to", "such", "sale", ",", "transfer", "or", "other", "disposition", ",", "unit", "holders", "or", "affiliates", "of", "the", "Company", "."]}
{"id": "16059", "text": "(d)Governing Law. THIS AGREEMENT WILL BE GOVERNED BY AND CONSTRUED IN ACCORDANCE WITH THE LAWS OF THE STATE OF DELAWARE , WITHOUT GIVING EFFECT TO ANY CHOICE OF LAW OR CONFLICTING PROVISION OR RULE THAT WOULD CAUSE THE LAWS OF ANY JURISDICTION OTHER THAN THE STATE OF DELAWARE TO BE APPLIED. IN FURTHERANCE OF THE FOREGOING, THE INTERNAL LAW OF THE STATE OF DELAWARE WILL CONTROL THE INTERPRETATION AND CONSTRUCTION OF THIS AGREEMENT, EVEN IF UNDER SUCH JURISDICTIONS CHOICE OF LAW OR CONFLICT OF LAW ANALYSIS, THE SUBSTANTIVE LAW OF SOME OTHER JURISDICTION WOULD ORDINARILY APPLY.", "ner": [[21, 23, "Court"]], "tokenized_text": ["(", "d", ")", "Governing", "Law", ".", "THIS", "AGREEMENT", "WILL", "BE", "GOVERNED", "BY", "AND", "CONSTRUED", "IN", "ACCORDANCE", "WITH", "THE", "LAWS", "OF", "THE", "STATE", "OF", "DELAWARE", ",", "WITHOUT", "GIVING", "EFFECT", "TO", "ANY", "CHOICE", "OF", "LAW", "OR", "CONFLICTING", "PROVISION", "OR", "RULE", "THAT", "WOULD", "CAUSE", "THE", "LAWS", "OF", "ANY", "JURISDICTION", "OTHER", "THAN", "THE", "STATE", "OF", "DELAWARE", "TO", "BE", "APPLIED", ".", "IN", "FURTHERANCE", "OF", "THE", "FOREGOING", ",", "THE", "INTERNAL", "LAW", "OF", "THE", "STATE", "OF", "DELAWARE", "WILL", "CONTROL", "THE", "INTERPRETATION", "AND", "CONSTRUCTION", "OF", "THIS", "AGREEMENT", ",", "EVEN", "IF", "UNDER", "SUCH", "JURISDICTIONS", "CHOICE", "OF", "LAW", "OR", "CONFLICT", "OF", "LAW", "ANALYSIS", ",", "THE", "SUBSTANTIVE", "LAW", "OF", "SOME", "OTHER", "JURISDICTION", "WOULD", "ORDINARILY", "APPLY", "."]}
{"id": "16064", "text": "/s/ Stephen D. Williams | | Name: Stephen D. Williams | | Title: Authorized Person EXECUTIVE /s/ Jack Richardson Jack Richardson", "ner": [[3, 6, "Parties"], [25, 26, "Parties"]], "tokenized_text": ["/", "s", "/", "Stephen", "D", ".", "Williams", "|", "|", "Name", ":", "Stephen", "D", ".", "Williams", "|", "|", "Title", ":", "Authorized", "Person", "EXECUTIVE", "/", "s", "/", "Jack", "Richardson", "Jack", "Richardson"]}
{"id": "16065", "text": "EX-10.5 3 iaso_ex105.htm EMPLOYMENT AGREEMENT", "ner": [[7, 8, "Title"]], "tokenized_text": ["EX-10", ".", "5", "3", "iaso_ex105", ".", "htm", "EMPLOYMENT", "AGREEMENT"]}
{"id": "16066", "text": "EXECUTIVE EMPLOYMENT AND NON-COMPETE AGREEMENT", "ner": [[1, 4, "Title"]], "tokenized_text": ["EXECUTIVE", "EMPLOYMENT", "AND", "NON-COMPETE", "AGREEMENT"]}
{"id": "16068", "text": "WHEREAS, Executive has been appointed Chief Financial Officer and is an integral part of the Companys executive and management operations;", "ner": [[6, 8, "Role"]], "tokenized_text": ["WHEREAS", ",", "Executive", "has", "been", "appointed", "Chief", "Financial", "Officer", "and", "is", "an", "integral", "part", "of", "the", "Companys", "executive", "and", "management", "operations", ";"]}
{"id": "16069", "text": "WHEREAS, it is the desire of the Board of Directors of the Company to assure itself of the continued executive and management services of Executive by employing Executive in the position of Chief Financial Officer ;", "ner": [[8, 10, "Role"], [33, 35, "Role"]], "tokenized_text": ["WHEREAS", ",", "it", "is", "the", "desire", "of", "the", "Board", "of", "Directors", "of", "the", "Company", "to", "assure", "itself", "of", "the", "continued", "executive", "and", "management", "services", "of", "Executive", "by", "employing", "Executive", "in", "the", "position", "of", "Chief", "Financial", "Officer", ";"]}
{"id": "16072", "text": "5.2. Bonus. Executive shall be eligible annually under a Company bonus plan providing for a maximum bonus of forty percent ( 40% ) of the Base Salary. The amount of the bonus shall be determined by the Board of Directors, based on its assessment, in its discretion, of Executives performance and that of the Company against appropriate goals established annually by the Board of Directors. Any bonus compensation less applicable taxes and withholding paid to Executive shall be in addition to the Base Salary.", "ner": [[25, 26, "Percentage"]], "tokenized_text": ["5", ".", "2", ".", "Bonus", ".", "Executive", "shall", "be", "eligible", "annually", "under", "a", "Company", "bonus", "plan", "providing", "for", "a", "maximum", "bonus", "of", "forty", "percent", "(", "40", "%", ")", "of", "the", "Base", "Salary", ".", "The", "amount", "of", "the", "bonus", "shall", "be", "determined", "by", "the", "Board", "of", "Directors", ",", "based", "on", "its", "assessment", ",", "in", "its", "discretion", ",", "of", "Executives", "performance", "and", "that", "of", "the", "Company", "against", "appropriate", "goals", "established", "annually", "by", "the", "Board", "of", "Directors", ".", "Any", "bonus", "compensation", "less", "applicable", "taxes", "and", "withholding", "paid", "to", "Executive", "shall", "be", "in", "addition", "to", "the", "Base", "Salary", "."]}
{"id": "15073", "text": "a. The Company shall grant to Executive a warrant with cashless exercise provisions to purchase Five Hundred Thousand (500,000) shares of common stock of the Company at an exercise price of $0.40 per share with an expiration date five (5) years from the grant or vesting date, whichever is later (the Warrant) in the form attached hereto as Exhibit A.", "ner": [[16, 18, "Shares"], [20, 22, "Shares"], [36, 39, "Price"]], "tokenized_text": ["a", ".", "The", "Company", "shall", "grant", "to", "Executive", "a", "warrant", "with", "cashless", "exercise", "provisions", "to", "purchase", "Five", "Hundred", "Thousand", "(", "500", ",", "000", ")", "shares", "of", "common", "stock", "of", "the", "Company", "at", "an", "exercise", "price", "of", "$", "0", ".", "40", "per", "share", "with", "an", "expiration", "date", "five", "(", "5", ")", "years", "from", "the", "grant", "or", "vesting", "date", ",", "whichever", "is", "later", "(", "the", "Warrant", ")", "in", "the", "form", "attached", "hereto", "as", "Exhibit", "A", "."]}
{"id": "16075", "text": "16\\. Governing Law. This Agreement shall be governed by and construed and enforced in accordance with the laws of the State of Colorado without regard to its principles regarding conflicts of law.", "ner": [[23, 25, "Court"]], "tokenized_text": ["16", "\\", ".", "Governing", "Law", ".", "This", "Agreement", "shall", "be", "governed", "by", "and", "construed", "and", "enforced", "in", "accordance", "with", "the", "laws", "of", "the", "State", "of", "Colorado", "without", "regard", "to", "its", "principles", "regarding", "conflicts", "of", "law", "."]}
{"id": "16078", "text": "THIS CERTIFIES THAT, for value received, Duane Knight or his successors or assigns (collectively, the Holder) is entitled to purchase from IASO BioMed, Inc. (the Corporation), such number of vested shares out of a total of Five Hundred Thousand (500,000) fully paid and nonassessable shares (the Shares) of the Corporations $0.0001 par value common stock (the Common Stock), at an exercise price of Forty Cents ( $0.40 ) per Share (the Exercise Price), subject to adjustment as herein provided. Two Hundred Fifty Thousand ( 250,000 ) Shares shall vest on the issued date set forth above and an additional Two Hundred Fifty Thousand Shares shall vest one year from the issue date hereof unless otherwise terminated or accelerated pursuant to holders employment agreement with the Company, effective March 1, 2017. The vested portion of this Warrant may be exercised by Holder, in whole or in part, at any time during the period beginning with the issuance date above and ending on the date that is five years from the vesting date hereof, at which time all of Holders rights hereunder shall expire.", "ner": [[50, 52, "Shares"], [66, 69, "Price"], [88, 91, "Price"], [108, 111, "Shares"], [113, 115, "Shares"], [159, 162, "EffectiveDate"]], "tokenized_text": ["THIS", "CERTIFIES", "THAT", ",", "for", "value", "received", ",", "Duane", "Knight", "or", "his", "successors", "or", "assigns", "(", "collectively", ",", "the", "Holder", ")", "is", "entitled", "to", "purchase", "from", "IASO", "BioMed", ",", "Inc", ".", "(", "the", "Corporation", ")", ",", "such", "number", "of", "vested", "shares", "out", "of", "a", "total", "of", "Five", "Hundred", "Thousand", "(", "500", ",", "000", ")", "fully", "paid", "and", "nonassessable", "shares", "(", "the", "Shares", ")", "of", "the", "Corporations", "$", "0", ".", "0001", "par", "value", "common", "stock", "(", "the", "Common", "Stock", ")", ",", "at", "an", "exercise", "price", "of", "Forty", "Cents", "(", "$", "0", ".", "40", ")", "per", "Share", "(", "the", "Exercise", "Price", ")", ",", "subject", "to", "adjustment", "as", "herein", "provided", ".", "Two", "Hundred", "Fifty", "Thousand", "(", "250", ",", "000", ")", "Shares", "shall", "vest", "on", "the", "issued", "date", "set", "forth", "above", "and", "an", "additional", "Two", "Hundred", "Fifty", "Thousand", "Shares", "shall", "vest", "one", "year", "from", "the", "issue", "date", "hereof", "unless", "otherwise", "terminated", "or", "accelerated", "pursuant", "to", "holders", "employment", "agreement", "with", "the", "Company", ",", "effective", "March", "1", ",", "2017", ".", "The", "vested", "portion", "of", "this", "Warrant", "may", "be", "exercised", "by", "Holder", ",", "in", "whole", "or", "in", "part", ",", "at", "any", "time", "during", "the", "period", "beginning", "with", "the", "issuance", "date", "above", "and", "ending", "on", "the", "date", "that", "is", "five", "years", "from", "the", "vesting", "date", "hereof", ",", "at", "which", "time", "all", "of", "Holders", "rights", "hereunder", "shall", "expire", "."]}
{"id": "16079", "text": "(c) The Warrant may not be transferred, and the Shares issuable upon exercise of this Warrant, may not be transferred without the Holder obtaining an opinion of counsel, which opinion and counsel are satisfactory to the Corporation, stating that the proposed transaction will not result in a prohibited transaction under the Securities Act and applicable Blue Sky Laws. By accepting this Warrant, the Holder agrees to act in accordance with any conditions imposed on such transfer by any such opinion of counsel.", "ner": [[57, 58, "Act"]], "tokenized_text": ["(", "c", ")", "The", "Warrant", "may", "not", "be", "transferred", ",", "and", "the", "Shares", "issuable", "upon", "exercise", "of", "this", "Warrant", ",", "may", "not", "be", "transferred", "without", "the", "Holder", "obtaining", "an", "opinion", "of", "counsel", ",", "which", "opinion", "and", "counsel", "are", "satisfactory", "to", "the", "Corporation", ",", "stating", "that", "the", "proposed", "transaction", "will", "not", "result", "in", "a", "prohibited", "transaction", "under", "the", "Securities", "Act", "and", "applicable", "Blue", "Sky", "Laws", ".", "By", "accepting", "this", "Warrant", ",", "the", "Holder", "agrees", "to", "act", "in", "accordance", "with", "any", "conditions", "imposed", "on", "such", "transfer", "by", "any", "such", "opinion", "of", "counsel", "."]}
{"id": "16082", "text": "11\\. Notices. All notices or communications hereunder, except as herein otherwise specifically provided, shall be in writing. Notices sent to the Holder shall be mailed, hand delivered or faxed and confirmed to the Holder at his, her or its address set forth in the Corporations records. Notices sent to the Corporation shall be mailed, hand delivered or faxed and confirmed to IASO BioMed, Inc. c/o Richard Schell, CEO, 7315 E Peakview Avenue, Centennial, Colorado 80111, or to such other address as the Corporation or the Holder shall notify the other as provided in this Section.", "ner": [[82, 82, "Role"], [84, 92, "Address"]], "tokenized_text": ["11", "\\", ".", "Notices", ".", "All", "notices", "or", "communications", "hereunder", ",", "except", "as", "herein", "otherwise", "specifically", "provided", ",", "shall", "be", "in", "writing", ".", "Notices", "sent", "to", "the", "Holder", "shall", "be", "mailed", ",", "hand", "delivered", "or", "faxed", "and", "confirmed", "to", "the", "Holder", "at", "his", ",", "her", "or", "its", "address", "set", "forth", "in", "the", "Corporations", "records", ".", "Notices", "sent", "to", "the", "Corporation", "shall", "be", "mailed", ",", "hand", "delivered", "or", "faxed", "and", "confirmed", "to", "IASO", "BioMed", ",", "Inc", ".", "c", "/", "o", "Richard", "Schell", ",", "CEO", ",", "7315", "E", "Peakview", "Avenue", ",", "Centennial", ",", "Colorado", "80111", ",", "or", "to", "such", "other", "address", "as", "the", "Corporation", "or", "the", "Holder", "shall", "notify", "the", "other", "as", "provided", "in", "this", "Section", "."]}
{"id": "16083", "text": "THE UNDERSIGNED, the holder of the Warrant referenced below (the Warrant), hereby irrevocably elects to exercise the purchase right represented by such Warrant for, and to purchase thereunder, ___________________________shares of common stock of IASO BioMed, Inc. (the Shares) to which such Warrant relates, herewith makes payment of $________________ therefor in cash, certified check or bank draft, and hereby requests that a certificate evidencing the Shares be delivered to ________________________________________, the address of whom is set forth below the signature of the undersigned.", "ner": [[58, 58, "Principal"]], "tokenized_text": ["THE", "UNDERSIGNED", ",", "the", "holder", "of", "the", "Warrant", "referenced", "below", "(", "the", "Warrant", ")", ",", "hereby", "irrevocably", "elects", "to", "exercise", "the", "purchase", "right", "represented", "by", "such", "Warrant", "for", ",", "and", "to", "purchase", "thereunder", ",", "___________________________shares", "of", "common", "stock", "of", "IASO", "BioMed", ",", "Inc", ".", "(", "the", "Shares", ")", "to", "which", "such", "Warrant", "relates", ",", "herewith", "makes", "payment", "of", "$", "________________", "therefor", "in", "cash", ",", "certified", "check", "or", "bank", "draft", ",", "and", "hereby", "requests", "that", "a", "certificate", "evidencing", "the", "Shares", "be", "delivered", "to", "________________________________________", ",", "the", "address", "of", "whom", "is", "set", "forth", "below", "the", "signature", "of", "the", "undersigned", "."]}
{"id": "16088", "text": "During the Term of this Agreement, the Executive shall serve as Chief Operating Officer of the Company. The Executive shall have such duties and responsibilities as are set forth on the Job Description attached hereto as Exhibit A, and such other duties as the Chairman of the Board of the Company may reasonably assign from time to time. During the Term of this Agreement, the Executive shall devote substantially all her working time and efforts to the business and affairs of the Company and shall work in good faith to perform her duties, provided however that the Executive may engage in activities relating to personal matters (including personal financial matters) and in such corporate, industry, civic and charitable activities, so long as such service does not materially interfere with the performance of her duties hereunder or violate her obligations under Section 6 below.", "ner": [[12, 14, "Role"], [47, 47, "Role"]], "tokenized_text": ["During", "the", "Term", "of", "this", "Agreement", ",", "the", "Executive", "shall", "serve", "as", "Chief", "Operating", "Officer", "of", "the", "Company", ".", "The", "Executive", "shall", "have", "such", "duties", "and", "responsibilities", "as", "are", "set", "forth", "on", "the", "Job", "Description", "attached", "hereto", "as", "Exhibit", "A", ",", "and", "such", "other", "duties", "as", "the", "Chairman", "of", "the", "Board", "of", "the", "Company", "may", "reasonably", "assign", "from", "time", "to", "time", ".", "During", "the", "Term", "of", "this", "Agreement", ",", "the", "Executive", "shall", "devote", "substantially", "all", "her", "working", "time", "and", "efforts", "to", "the", "business", "and", "affairs", "of", "the", "Company", "and", "shall", "work", "in", "good", "faith", "to", "perform", "her", "duties", ",", "provided", "however", "that", "the", "Executive", "may", "engage", "in", "activities", "relating", "to", "personal", "matters", "(", "including", "personal", "financial", "matters", ")", "and", "in", "such", "corporate", ",", "industry", ",", "civic", "and", "charitable", "activities", ",", "so", "long", "as", "such", "service", "does", "not", "materially", "interfere", "with", "the", "performance", "of", "her", "duties", "hereunder", "or", "violate", "her", "obligations", "under", "Section", "6", "below", "."]}
{"id": "16090", "text": "Governing Law. This Agreement shall be governed and construed in accordance with the laws of the State of Florida without regard to conflicts of law.", "ner": [[17, 19, "Court"]], "tokenized_text": ["Governing", "Law", ".", "This", "Agreement", "shall", "be", "governed", "and", "construed", "in", "accordance", "with", "the", "laws", "of", "the", "State", "of", "Florida", "without", "regard", "to", "conflicts", "of", "law", "."]}
{"id": "16091", "text": "As Chief Operating Officer , the Executive shall be responsible for duties and responsibilities including without limitation oversight and execution of the following:", "ner": [[1, 3, "Role"]], "tokenized_text": ["As", "Chief", "Operating", "Officer", ",", "the", "Executive", "shall", "be", "responsible", "for", "duties", "and", "responsibilities", "including", "without", "limitation", "oversight", "and", "execution", "of", "the", "following", ":"]}
{"id": "16093", "text": "This Agreement (this Agreement) is made effective as of February 16, 2017 (the Effective Date), by and between Heritage Bank of St. Tammany (the Bank), a federally-chartered institution, and W. David Crumhorn (Executive).", "ner": [[11, 14, "EffectiveDate"], [24, 29, "Parties"], [40, 43, "Parties"]], "tokenized_text": ["This", "Agreement", "(", "this", "Agreement", ")", "is", "made", "effective", "as", "of", "February", "16", ",", "2017", "(", "the", "Effective", "Date", ")", ",", "by", "and", "between", "Heritage", "Bank", "of", "St", ".", "Tammany", "(", "the", "Bank", ")", ",", "a", "federally-chartered", "institution", ",", "and", "W", ".", "David", "Crumhorn", "(", "Executive", ")", "."]}
{"id": "16096", "text": "(a)The term of this Agreement will begin as of the Effective Date and will continue until the third anniversary of the Effective Date. The Board of Directors (other than Executive, if applicable) will review the Agreement at least ninety (90) days prior the expiration of the term for the purpose of determining whether to extend the term of the Agreement for another three years or such other time period as mutually agreed upon by the parties. Nothing in this Agreement shall mandate or prohibit a continuation of Executives employment following the expiration of the term of this Agreement, upon such terms and conditions as the Bank and Executive may mutually agree.", "ner": [[20, 21, "TerminationDate"], [71, 72, "RenewalTerm"]], "tokenized_text": ["(", "a", ")", "The", "term", "of", "this", "Agreement", "will", "begin", "as", "of", "the", "Effective", "Date", "and", "will", "continue", "until", "the", "third", "anniversary", "of", "the", "Effective", "Date", ".", "The", "Board", "of", "Directors", "(", "other", "than", "Executive", ",", "if", "applicable", ")", "will", "review", "the", "Agreement", "at", "least", "ninety", "(", "90", ")", "days", "prior", "the", "expiration", "of", "the", "term", "for", "the", "purpose", "of", "determining", "whether", "to", "extend", "the", "term", "of", "the", "Agreement", "for", "another", "three", "years", "or", "such", "other", "time", "period", "as", "mutually", "agreed", "upon", "by", "the", "parties", ".", "Nothing", "in", "this", "Agreement", "shall", "mandate", "or", "prohibit", "a", "continuation", "of", "Executives", "employment", "following", "the", "expiration", "of", "the", "term", "of", "this", "Agreement", ",", "upon", "such", "terms", "and", "conditions", "as", "the", "Bank", "and", "Executive", "may", "mutually", "agree", "."]}
{"id": "15097", "text": "(a)The compensation specified under this Agreement shall constitute consideration paid by the Bank in exchange for duties described in Section1 of this Agreement. The Bank shall pay Executive, as compensation, a salary of not less than $173,200 per year (Base Salary). Base Salary shall include any amounts of compensation deferred by Executive under any employee benefit plan or deferred compensation arrangement maintained by the Bank. Base Salary shall be payable in accordance with the Banks customary payroll practices. During the term of this Agreement, Executives Base Salary shall be reviewed at least annually by December 31st of each year. The review shall be conducted by the Board of Directors or by a committee designated by the Board of Directors. The committee or the Board of Directors may increase, but not decrease, Executives Base Salary at any time, except for a decrease not in excess of any decrease generally applicable to all senior officers of the Bank. Any increase in Base Salary shall become the Base Salary for purposes of this Agreement.", "ner": [[42, 45, "Salary"]], "tokenized_text": ["(", "a", ")", "The", "compensation", "specified", "under", "this", "Agreement", "shall", "constitute", "consideration", "paid", "by", "the", "Bank", "in", "exchange", "for", "duties", "described", "in", "Section1", "of", "this", "Agreement", ".", "The", "Bank", "shall", "pay", "Executive", ",", "as", "compensation", ",", "a", "salary", "of", "not", "less", "than", "$", "173", ",", "200", "per", "year", "(", "Base", "Salary", ")", ".", "Base", "Salary", "shall", "include", "any", "amounts", "of", "compensation", "deferred", "by", "Executive", "under", "any", "employee", "benefit", "plan", "or", "deferred", "compensation", "arrangement", "maintained", "by", "the", "Bank", ".", "Base", "Salary", "shall", "be", "payable", "in", "accordance", "with", "the", "Banks", "customary", "payroll", "practices", ".", "During", "the", "term", "of", "this", "Agreement", ",", "Executives", "Base", "Salary", "shall", "be", "reviewed", "at", "least", "annually", "by", "December", "31st", "of", "each", "year", ".", "The", "review", "shall", "be", "conducted", "by", "the", "Board", "of", "Directors", "or", "by", "a", "committee", "designated", "by", "the", "Board", "of", "Directors", ".", "The", "committee", "or", "the", "Board", "of", "Directors", "may", "increase", ",", "but", "not", "decrease", ",", "Executives", "Base", "Salary", "at", "any", "time", ",", "except", "for", "a", "decrease", "not", "in", "excess", "of", "any", "decrease", "generally", "applicable", "to", "all", "senior", "officers", "of", "the", "Bank", ".", "Any", "increase", "in", "Base", "Salary", "shall", "become", "the", "Base", "Salary", "for", "purposes", "of", "this", "Agreement", "."]}
{"id": "16099", "text": "Agreement). Any payments hereunder shall be made in a lump sum within thirty (30) days after the Date of Termination, or in the event that Section 409A of the Internal Revenue Code of 1986 , as amended (Code) applies to the payment, and Executive is considered a Specified Employee under Code Section 409A, on the first day of the seventh month following the Date of Termination. The payments shall not be reduced in the event Executive obtains other employment following termination of employment.", "ner": [[30, 31, "Regulation"], [34, 38, "Act"]], "tokenized_text": ["Agreement", ")", ".", "Any", "payments", "hereunder", "shall", "be", "made", "in", "a", "lump", "sum", "within", "thirty", "(", "30", ")", "days", "after", "the", "Date", "of", "Termination", ",", "or", "in", "the", "event", "that", "Section", "409A", "of", "the", "Internal", "Revenue", "Code", "of", "1986", ",", "as", "amended", "(", "Code", ")", "applies", "to", "the", "payment", ",", "and", "Executive", "is", "considered", "a", "Specified", "Employee", "under", "Code", "Section", "409A", ",", "on", "the", "first", "day", "of", "the", "seventh", "month", "following", "the", "Date", "of", "Termination", ".", "The", "payments", "shall", "not", "be", "reduced", "in", "the", "event", "Executive", "obtains", "other", "employment", "following", "termination", "of", "employment", "."]}
{"id": "16101", "text": "(b) If Executive is suspended from office and/or temporarily prohibited from participating in the conduct of the Banks affairs by a notice served under Section 8(e)(3) [ 12USC 1818 (e)(3)] or 8(g)(1) [ 12 USC 1818 (g)(1)] of the Federal Deposit Insurance Act ( the FDI Act), the Banks obligations under this Agreement shall be suspended as of the date of service, unless stayed by appropriate proceedings. If the charges in the notice are dismissed, the Bank may in its discretion (i) pay Executive all or part of the compensation withheld while its contract obligations were suspended and (ii) reinstate (in whole or in part) any of its obligations which were suspended.", "ner": [[67, 70, "Act"], [73, 74, "Act"]], "tokenized_text": ["(", "b", ")", "If", "Executive", "is", "suspended", "from", "office", "and", "/", "or", "temporarily", "prohibited", "from", "participating", "in", "the", "conduct", "of", "the", "Banks", "affairs", "by", "a", "notice", "served", "under", "Section", "8", "(", "e", ")", "(", "3", ")", "[", "12USC", "1818", "(", "e", ")", "(", "3", ")", "]", "or", "8", "(", "g", ")", "(", "1", ")", "[", "12", "USC", "1818", "(", "g", ")", "(", "1", ")", "]", "of", "the", "Federal", "Deposit", "Insurance", "Act", "(", "the", "FDI", "Act", ")", ",", "the", "Banks", "obligations", "under", "this", "Agreement", "shall", "be", "suspended", "as", "of", "the", "date", "of", "service", ",", "unless", "stayed", "by", "appropriate", "proceedings", ".", "If", "the", "charges", "in", "the", "notice", "are", "dismissed", ",", "the", "Bank", "may", "in", "its", "discretion", "(", "i", ")", "pay", "Executive", "all", "or", "part", "of", "the", "compensation", "withheld", "while", "its", "contract", "obligations", "were", "suspended", "and", "(", "ii", ")", "reinstate", "(", "in", "whole", "or", "in", "part", ")", "any", "of", "its", "obligations", "which", "were", "suspended", "."]}
{"id": "16102", "text": "(c) If Executive is removed and/or permanently prohibited from participating in the conduct of the Banks affairs by an order issued under Section 8(e)(4) [ 12 USC 1818 (e)(4)] or 8(g)(1) [ 12 USC 1818 (g)(1)] of the FDI Act, all obligations of the Bank under this Agreement shall terminate as of the effective date of the order, but vested rights of the contracting parties shall not be affected.", "ner": [[26, 37, "Regulation"], [66, 67, "Act"]], "tokenized_text": ["(", "c", ")", "If", "Executive", "is", "removed", "and", "/", "or", "permanently", "prohibited", "from", "participating", "in", "the", "conduct", "of", "the", "Banks", "affairs", "by", "an", "order", "issued", "under", "Section", "8", "(", "e", ")", "(", "4", ")", "[", "12", "USC", "1818", "(", "e", ")", "(", "4", ")", "]", "or", "8", "(", "g", ")", "(", "1", ")", "[", "12", "USC", "1818", "(", "g", ")", "(", "1", ")", "]", "of", "the", "FDI", "Act", ",", "all", "obligations", "of", "the", "Bank", "under", "this", "Agreement", "shall", "terminate", "as", "of", "the", "effective", "date", "of", "the", "order", ",", "but", "vested", "rights", "of", "the", "contracting", "parties", "shall", "not", "be", "affected", "."]}
{"id": "16104", "text": "(e) All obligations under this Agreement shall be terminated, except to the extent determined that continuation of this Agreement is necessary for the continued operation of the Bank, (i) by the Comptroller of the Currency (the Comptroller) or his or her designee, at the time the FDIC enters into an agreement to provide assistance to or on behalf of the Bank under the authority contained in Section 13(c) [ 12 USC 1823 (c)] of the FDI Act; or (ii)by the Comptroller or his or her designee at the time the Comptroller or his or her designee approves a supervisory merger to resolve problems related to operation of the Bank or when the Bank is determined by the Comptroller to be in an unsafe or unsound condition. Any rights of the parties that have already vested, however, shall not be affected by such action.", "ner": [[81, 86, "Regulation"], [90, 91, "Act"]], "tokenized_text": ["(", "e", ")", "All", "obligations", "under", "this", "Agreement", "shall", "be", "terminated", ",", "except", "to", "the", "extent", "determined", "that", "continuation", "of", "this", "Agreement", "is", "necessary", "for", "the", "continued", "operation", "of", "the", "Bank", ",", "(", "i", ")", "by", "the", "Comptroller", "of", "the", "Currency", "(", "the", "Comptroller", ")", "or", "his", "or", "her", "designee", ",", "at", "the", "time", "the", "FDIC", "enters", "into", "an", "agreement", "to", "provide", "assistance", "to", "or", "on", "behalf", "of", "the", "Bank", "under", "the", "authority", "contained", "in", "Section", "13", "(", "c", ")", "[", "12", "USC", "1823", "(", "c", ")", "]", "of", "the", "FDI", "Act", ";", "or", "(", "ii", ")", "by", "the", "Comptroller", "or", "his", "or", "her", "designee", "at", "the", "time", "the", "Comptroller", "or", "his", "or", "her", "designee", "approves", "a", "supervisory", "merger", "to", "resolve", "problems", "related", "to", "operation", "of", "the", "Bank", "or", "when", "the", "Bank", "is", "determined", "by", "the", "Comptroller", "to", "be", "in", "an", "unsafe", "or", "unsound", "condition", ".", "Any", "rights", "of", "the", "parties", "that", "have", "already", "vested", ",", "however", ",", "shall", "not", "be", "affected", "by", "such", "action", "."]}
{"id": "15105", "text": "(f) Any payments made to Executive pursuant to this Agreement or otherwise are subject to and conditioned upon compliance with 12 U.S.C. Section 1828 (k) and any rules and regulations promulgated thereunder, including 12 C.F.R. Part 359, and to the extent applicable, 12 C.F.R. 563 .39.", "ner": [[22, 30, "Regulation"], [43, 51, "Regulation"], [59, 69, "Regulation"]], "tokenized_text": ["(", "f", ")", "Any", "payments", "made", "to", "Executive", "pursuant", "to", "this", "Agreement", "or", "otherwise", "are", "subject", "to", "and", "conditioned", "upon", "compliance", "with", "12", "U", ".", "S", ".", "C", ".", "Section", "1828", "(", "k", ")", "and", "any", "rules", "and", "regulations", "promulgated", "thereunder", ",", "including", "12", "C", ".", "F", ".", "R", ".", "Part", "359", ",", "and", "to", "the", "extent", "applicable", ",", "12", "C", ".", "F", ".", "R", ".", "563", ".", "39", "."]}
{"id": "15107", "text": "The Bank and the Company shall provide Executive (including his heirs, executors and administrators) with coverage under a standard directors and officers liability insurance policy at its expense. The Bank shall indemnify Executive (and his heirs, executors and administrators) to the fullest extent permitted under its Articles of Incorporation, Bylaws and applicable law against all expenses and liabilities reasonably incurred by him in connection with or arising out of any action, suit or proceeding in which he may be involved by reason of his having been a director or officer of the Bank (whether or not he continues to be a director or officer at the time of incurring the expenses or liabilities), the expenses and liabilities to include, but not be limited to, advancement of legal fees and expenses, judgments, court costs and attorneys fees and the cost of reasonable settlements. Any such indemnification shall be made consistent with Section 18(k) of the Federal Deposit Insurance Act , 12 U.S.C. 1828 (k), and the regulations issued thereunder in 12 C.F.R. Part 359.", "ner": [[53, 55, "Title"], [57, 57, "Title"], [174, 177, "Act"], [179, 186, "Regulation"], [197, 205, "Regulation"]], "tokenized_text": ["The", "Bank", "and", "the", "Company", "shall", "provide", "Executive", "(", "including", "his", "heirs", ",", "executors", "and", "administrators", ")", "with", "coverage", "under", "a", "standard", "directors", "and", "officers", "liability", "insurance", "policy", "at", "its", "expense", ".", "The", "Bank", "shall", "indemnify", "Executive", "(", "and", "his", "heirs", ",", "executors", "and", "administrators", ")", "to", "the", "fullest", "extent", "permitted", "under", "its", "Articles", "of", "Incorporation", ",", "Bylaws", "and", "applicable", "law", "against", "all", "expenses", "and", "liabilities", "reasonably", "incurred", "by", "him", "in", "connection", "with", "or", "arising", "out", "of", "any", "action", ",", "suit", "or", "proceeding", "in", "which", "he", "may", "be", "involved", "by", "reason", "of", "his", "having", "been", "a", "director", "or", "officer", "of", "the", "Bank", "(", "whether", "or", "not", "he", "continues", "to", "be", "a", "director", "or", "officer", "at", "the", "time", "of", "incurring", "the", "expenses", "or", "liabilities", ")", ",", "the", "expenses", "and", "liabilities", "to", "include", ",", "but", "not", "be", "limited", "to", ",", "advancement", "of", "legal", "fees", "and", "expenses", ",", "judgments", ",", "court", "costs", "and", "attorneys", "fees", "and", "the", "cost", "of", "reasonable", "settlements", ".", "Any", "such", "indemnification", "shall", "be", "made", "consistent", "with", "Section", "18", "(", "k", ")", "of", "the", "Federal", "Deposit", "Insurance", "Act", ",", "12", "U", ".", "S", ".", "C", ".", "1828", "(", "k", ")", ",", "and", "the", "regulations", "issued", "thereunder", "in", "12", "C", ".", "F", ".", "R", ".", "Part", "359", "."]}
{"id": "16108", "text": "Attest: | | HERITAGE BANK OF ST. TAMMANY ---|---|---", "ner": [[4, 9, "Parties"]], "tokenized_text": ["Attest", ":", "|", "|", "HERITAGE", "BANK", "OF", "ST", ".", "TAMMANY", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "16112", "text": "2. | Duties. During the Term, Executive shall serve on a full-time basis as the Chief Financial Officer of the Company. Executives duties and responsibilities as the Chief Financial Officer of the Company shall include those duties customarily associated with an officer with a similar title or as may be assigned to him from time to time by the Board of Directors of the Company or any committee thereof (the Board of Directors). Executive shall be assigned to work primarily out of the Companys Boston, Massachusetts office or any other Company office that is or will be located within 20 miles thereof (the Primary Office Location), it being understood and agreed that Executive shall be required to travel as necessary in the course of his employment. Executive shall devote his full business-time attention and energies and use his best efforts in his employment with the Company; provided, however, that this Agreement shall not be interpreted as prohibiting Executive from ---|---", "ner": [[18, 20, "Role"], [91, 93, "Address"]], "tokenized_text": ["2", ".", "|", "Duties", ".", "During", "the", "Term", ",", "Executive", "shall", "serve", "on", "a", "full-time", "basis", "as", "the", "Chief", "Financial", "Officer", "of", "the", "Company", ".", "Executives", "duties", "and", "responsibilities", "as", "the", "Chief", "Financial", "Officer", "of", "the", "Company", "shall", "include", "those", "duties", "customarily", "associated", "with", "an", "officer", "with", "a", "similar", "title", "or", "as", "may", "be", "assigned", "to", "him", "from", "time", "to", "time", "by", "the", "Board", "of", "Directors", "of", "the", "Company", "or", "any", "committee", "thereof", "(", "the", "Board", "of", "Directors", ")", ".", "Executive", "shall", "be", "assigned", "to", "work", "primarily", "out", "of", "the", "Companys", "Boston", ",", "Massachusetts", "office", "or", "any", "other", "Company", "office", "that", "is", "or", "will", "be", "located", "within", "20", "miles", "thereof", "(", "the", "Primary", "Office", "Location", ")", ",", "it", "being", "understood", "and", "agreed", "that", "Executive", "shall", "be", "required", "to", "travel", "as", "necessary", "in", "the", "course", "of", "his", "employment", ".", "Executive", "shall", "devote", "his", "full", "business-time", "attention", "and", "energies", "and", "use", "his", "best", "efforts", "in", "his", "employment", "with", "the", "Company", ";", "provided", ",", "however", ",", "that", "this", "Agreement", "shall", "not", "be", "interpreted", "as", "prohibiting", "Executive", "from", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "15114", "text": "| Company (Payment) would constitute in whole or in part an excess parachute payment within the meaning of Section 280G of the Internal Revenue Code of 1986 , as amended (the Code) subject to the excise tax imposed by Section4999 of the Code (the Excise Tax), then such Payment shall be either (i)the full amount of such Payment or (ii)such lesser amount (with cash payments being reduced before equity compensation) as would result if the Payment were reduced until no portion of the Payment was subject to the Excise Tax, whichever of the foregoing amounts, taking into account the applicable federal state and local employment taxes, income taxes, and the Excise Tax, results in Executives retention, on an after-tax basis, of the greater net amount. ---|---", "ner": [[20, 21, "Regulation"], [24, 28, "Act"], [43, 43, "Regulation"]], "tokenized_text": ["|", "Company", "(", "Payment", ")", "would", "constitute", "in", "whole", "or", "in", "part", "an", "excess", "parachute", "payment", "within", "the", "meaning", "of", "Section", "280G", "of", "the", "Internal", "Revenue", "Code", "of", "1986", ",", "as", "amended", "(", "the", "Code", ")", "subject", "to", "the", "excise", "tax", "imposed", "by", "Section4999", "of", "the", "Code", "(", "the", "Excise", "Tax", ")", ",", "then", "such", "Payment", "shall", "be", "either", "(", "i", ")", "the", "full", "amount", "of", "such", "Payment", "or", "(", "ii", ")", "such", "lesser", "amount", "(", "with", "cash", "payments", "being", "reduced", "before", "equity", "compensation", ")", "as", "would", "result", "if", "the", "Payment", "were", "reduced", "until", "no", "portion", "of", "the", "Payment", "was", "subject", "to", "the", "Excise", "Tax", ",", "whichever", "of", "the", "foregoing", "amounts", ",", "taking", "into", "account", "the", "applicable", "federal", "state", "and", "local", "employment", "taxes", ",", "income", "taxes", ",", "and", "the", "Excise", "Tax", ",", "results", "in", "Executives", "retention", ",", "on", "an", "after-tax", "basis", ",", "of", "the", "greater", "net", "amount", ".", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "16116", "text": "21. | Governing Law. This Agreement has been executed and delivered in the Commonwealth of Massachusetts and its validity, interpretation, performance and enforcement will be governed by the laws of that state applicable to contacts made and to be performed entirely within that state. ---|---", "ner": [[15, 17, "Court"]], "tokenized_text": ["21", ".", "|", "Governing", "Law", ".", "This", "Agreement", "has", "been", "executed", "and", "delivered", "in", "the", "Commonwealth", "of", "Massachusetts", "and", "its", "validity", ",", "interpretation", ",", "performance", "and", "enforcement", "will", "be", "governed", "by", "the", "laws", "of", "that", "state", "applicable", "to", "contacts", "made", "and", "to", "be", "performed", "entirely", "within", "that", "state", ".", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "16118", "text": "| governed by the Federal Arbitration Act, 9 U.S.C. 1-16 , and not state law. The arbitration shall be conducted before a single neutral arbitrator appointed in accordance with the Arbitration Rules. The arbitrator may award any form of remedy or relief that would otherwise be available in court (including equitable relief such as injunctions, temporary restraining orders, etc.), consistent with applicable law. Unless the parties agree otherwise, the neutral arbitrator and the members of any appeal panel shall be former or retired judges or justices of any Massachusetts state or federal court with experience in matters involving employment disputes. The party initiating arbitration will be responsible for paying the filing fee for the arbitration required by the arbitration service provider; provided, however, Executives payment of any such filing fee shall not exceed the filing fee for a civil action in the Massachusetts state court system and the Company shall reimburse Executive for any such fee in excess of that amount. The Company will pay the arbitrators fee to the extent required by law. Any award pursuant to said arbitration shall be accompanied by a detailed written opinion of the arbitrator setting forth the reason for the award. Executive knows that options other than arbitration, such as state and federal administrative and judicial remedies, are available to resolve any discrimination claim, and despite such knowledge Executive agrees to arbitrate all claims pursuant to this Section. Executive understands that by signing this Agreement, he is waiving, and will forever be precluded from asserting, his right to utilize statutory administrative procedures and to seek judicial remedies with respect to such claims. ---|---", "ner": [[4, 6, "Act"], [8, 15, "Regulation"], [37, 38, "Regulation"]], "tokenized_text": ["|", "governed", "by", "the", "Federal", "Arbitration", "Act", ",", "9", "U", ".", "S", ".", "C", ".", "1-16", ",", "and", "not", "state", "law", ".", "The", "arbitration", "shall", "be", "conducted", "before", "a", "single", "neutral", "arbitrator", "appointed", "in", "accordance", "with", "the", "Arbitration", "Rules", ".", "The", "arbitrator", "may", "award", "any", "form", "of", "remedy", "or", "relief", "that", "would", "otherwise", "be", "available", "in", "court", "(", "including", "equitable", "relief", "such", "as", "injunctions", ",", "temporary", "restraining", "orders", ",", "etc", ".", ")", ",", "consistent", "with", "applicable", "law", ".", "Unless", "the", "parties", "agree", "otherwise", ",", "the", "neutral", "arbitrator", "and", "the", "members", "of", "any", "appeal", "panel", "shall", "be", "former", "or", "retired", "judges", "or", "justices", "of", "any", "Massachusetts", "state", "or", "federal", "court", "with", "experience", "in", "matters", "involving", "employment", "disputes", ".", "The", "party", "initiating", "arbitration", "will", "be", "responsible", "for", "paying", "the", "filing", "fee", "for", "the", "arbitration", "required", "by", "the", "arbitration", "service", "provider", ";", "provided", ",", "however", ",", "Executives", "payment", "of", "any", "such", "filing", "fee", "shall", "not", "exceed", "the", "filing", "fee", "for", "a", "civil", "action", "in", "the", "Massachusetts", "state", "court", "system", "and", "the", "Company", "shall", "reimburse", "Executive", "for", "any", "such", "fee", "in", "excess", "of", "that", "amount", ".", "The", "Company", "will", "pay", "the", "arbitrators", "fee", "to", "the", "extent", "required", "by", "law", ".", "Any", "award", "pursuant", "to", "said", "arbitration", "shall", "be", "accompanied", "by", "a", "detailed", "written", "opinion", "of", "the", "arbitrator", "setting", "forth", "the", "reason", "for", "the", "award", ".", "Executive", "knows", "that", "options", "other", "than", "arbitration", ",", "such", "as", "state", "and", "federal", "administrative", "and", "judicial", "remedies", ",", "are", "available", "to", "resolve", "any", "discrimination", "claim", ",", "and", "despite", "such", "knowledge", "Executive", "agrees", "to", "arbitrate", "all", "claims", "pursuant", "to", "this", "Section", ".", "Executive", "understands", "that", "by", "signing", "this", "Agreement", ",", "he", "is", "waiving", ",", "and", "will", "forever", "be", "precluded", "from", "asserting", ",", "his", "right", "to", "utilize", "statutory", "administrative", "procedures", "and", "to", "seek", "judicial", "remedies", "with", "respect", "to", "such", "claims", ".", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "16119", "text": "| (b) | Exceptions. The Parties agree not to institute any litigation or proceedings against each other in connection with this Agreement except as provided in this Section, provided, however, that the Company shall have the right to seek injunctive relief or other equitable remedies in a court of competent jurisdiction as provided in Section10 or with regard to any other Restrictive Covenant (e.g., non-disclosure, non-competition, non-solicitation, etc.) between the Company and Executive. Any such injunctive relief or other equitable remedies shall be sought exclusively in any federal or state court of competent jurisdiction in the Commonwealth of Massachusetts , and both parties consent to the exclusive jurisdiction of the state and federal courts of Massachusetts for such purposes. Moreover, nothing in this Section shall be construed to preclude Executive from participating or cooperating in any investigation or proceeding conducted by the Massachusetts Commission Against Discrimination, the Equal Employment Opportunity Commission or any other administrative agency. However, in the event that a charge or complaint is filed against the Company with any administrative agency or in the event of an authorized investigation, charge or lawsuit filed against the Company by any administrative agency, Executive expressly waives and shall not accept any award or damages from such a proceeding but instead will pursue any claim for such damages in an arbitration proceeding as set forth in this Section. ---|---|---", "ner": [[113, 115, "Court"], [161, 164, "Court"]], "tokenized_text": ["|", "(", "b", ")", "|", "Exceptions", ".", "The", "Parties", "agree", "not", "to", "institute", "any", "litigation", "or", "proceedings", "against", "each", "other", "in", "connection", "with", "this", "Agreement", "except", "as", "provided", "in", "this", "Section", ",", "provided", ",", "however", ",", "that", "the", "Company", "shall", "have", "the", "right", "to", "seek", "injunctive", "relief", "or", "other", "equitable", "remedies", "in", "a", "court", "of", "competent", "jurisdiction", "as", "provided", "in", "Section10", "or", "with", "regard", "to", "any", "other", "Restrictive", "Covenant", "(", "e", ".", "g", ".", ",", "non-disclosure", ",", "non-competition", ",", "non-solicitation", ",", "etc", ".", ")", "between", "the", "Company", "and", "Executive", ".", "Any", "such", "injunctive", "relief", "or", "other", "equitable", "remedies", "shall", "be", "sought", "exclusively", "in", "any", "federal", "or", "state", "court", "of", "competent", "jurisdiction", "in", "the", "Commonwealth", "of", "Massachusetts", ",", "and", "both", "parties", "consent", "to", "the", "exclusive", "jurisdiction", "of", "the", "state", "and", "federal", "courts", "of", "Massachusetts", "for", "such", "purposes", ".", "Moreover", ",", "nothing", "in", "this", "Section", "shall", "be", "construed", "to", "preclude", "Executive", "from", "participating", "or", "cooperating", "in", "any", "investigation", "or", "proceeding", "conducted", "by", "the", "Massachusetts", "Commission", "Against", "Discrimination", ",", "the", "Equal", "Employment", "Opportunity", "Commission", "or", "any", "other", "administrative", "agency", ".", "However", ",", "in", "the", "event", "that", "a", "charge", "or", "complaint", "is", "filed", "against", "the", "Company", "with", "any", "administrative", "agency", "or", "in", "the", "event", "of", "an", "authorized", "investigation", ",", "charge", "or", "lawsuit", "filed", "against", "the", "Company", "by", "any", "administrative", "agency", ",", "Executive", "expressly", "waives", "and", "shall", "not", "accept", "any", "award", "or", "damages", "from", "such", "a", "proceeding", "but", "instead", "will", "pursue", "any", "claim", "for", "such", "damages", "in", "an", "arbitration", "proceeding", "as", "set", "forth", "in", "this", "Section", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "16120", "text": "| | | | ---|---|---|---|--- NEWSTAR FINANCIAL, INC. | By: | |", "ner": [[23, 27, "Parties"]], "tokenized_text": ["|", "|", "|", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "NEWSTAR", "FINANCIAL", ",", "INC", ".", "|", "By", ":", "|", "|"]}
{"id": "16122", "text": "General Release. Except with respect to any rights, obligations or duties arising out of this Agreement, and in consideration of the payments and benefits set forth in this Agreement, Executive hereby releases and discharges NewStar and anyone acting by, through or on behalf of NewStar, including but not limited NewStars directors, officers, employees, stockholders, representatives and agents (collectively, the Releasees), to the fullest extent permitted by law, of and from any and all complaints, charges, lawsuits or claims for relief of any kind by Executive that he now has, ever had or ever may have against the Releasees, or any of them, whether known or unknown, arising out of any matter or thing that has happened before he signs this Agreement, including but not limited to (i)claims for tort or contract; (ii)claims arising out of, based on, or connected with Executives employment, including terms and conditions of employment, by NewStar and the cessation of that employment; and (iii)claims arising under any federal, state or local labor, employment or discrimination laws, including but not limited to the following (all as amended): Title VII of the Civil Rights Act of 1964 , the Age Discrimination in Employment Act of 1967 (ADEA), the Americans with Disabilities Act ( ADA), the Equal Pay Act of 1963 , the Genetic Information Non-Discrimination Act , the Family and Medical Leave Act , the Massachusetts Fair Employment Practices Act ( G.L. c. 151B), the Massachusetts Civil Rights Act , the Massachusetts Equal Rights Act , the Massachusetts Wage Act , and any other local, state or federal law, policy, order, regulation or guideline affecting or relating to claims or rights of employees. The release contained herein is a GENERAL RELEASE, including of statutory claims. Nothing in this Agreement shall be construed to preclude Executive from participating or cooperating in any investigation or proceeding conducted by the Equal Employment Opportunity Commission, or any other local, state or federal administrative agency, including with respect to a challenge to this General Release. However, in the event that a charge or complaint is filed against the Releasees, or any of them, with any administrative agency or in the event of an authorized investigation, charge or lawsuit filed against the Releasees, or any of them, by any administrative agency, Executive expressly waives and shall not accept any award or damages therefrom.", "ner": [[227, 231, "Act"], [234, 240, "Act"], [246, 249, "Act"], [255, 259, "Act"], [262, 265, "Act"], [268, 272, "Act"], [275, 279, "Act"], [281, 287, "Regulation"], [291, 294, "Act"], [297, 300, "Act"], [303, 305, "Act"]], "tokenized_text": ["General", "Release", ".", "Except", "with", "respect", "to", "any", "rights", ",", "obligations", "or", "duties", "arising", "out", "of", "this", "Agreement", ",", "and", "in", "consideration", "of", "the", "payments", "and", "benefits", "set", "forth", "in", "this", "Agreement", ",", "Executive", "hereby", "releases", "and", "discharges", "NewStar", "and", "anyone", "acting", "by", ",", "through", "or", "on", "behalf", "of", "NewStar", ",", "including", "but", "not", "limited", "NewStars", "directors", ",", "officers", ",", "employees", ",", "stockholders", ",", "representatives", "and", "agents", "(", "collectively", ",", "the", "Releasees", ")", ",", "to", "the", "fullest", "extent", "permitted", "by", "law", ",", "of", "and", "from", "any", "and", "all", "complaints", ",", "charges", ",", "lawsuits", "or", "claims", "for", "relief", "of", "any", "kind", "by", "Executive", "that", "he", "now", "has", ",", "ever", "had", "or", "ever", "may", "have", "against", "the", "Releasees", ",", "or", "any", "of", "them", ",", "whether", "known", "or", "unknown", ",", "arising", "out", "of", "any", "matter", "or", "thing", "that", "has", "happened", "before", "he", "signs", "this", "Agreement", ",", "including", "but", "not", "limited", "to", "(", "i", ")", "claims", "for", "tort", "or", "contract", ";", "(", "ii", ")", "claims", "arising", "out", "of", ",", "based", "on", ",", "or", "connected", "with", "Executives", "employment", ",", "including", "terms", "and", "conditions", "of", "employment", ",", "by", "NewStar", "and", "the", "cessation", "of", "that", "employment", ";", "and", "(", "iii", ")", "claims", "arising", "under", "any", "federal", ",", "state", "or", "local", "labor", ",", "employment", "or", "discrimination", "laws", ",", "including", "but", "not", "limited", "to", "the", "following", "(", "all", "as", "amended", ")", ":", "Title", "VII", "of", "the", "Civil", "Rights", "Act", "of", "1964", ",", "the", "Age", "Discrimination", "in", "Employment", "Act", "of", "1967", "(", "ADEA", ")", ",", "the", "Americans", "with", "Disabilities", "Act", "(", "ADA", ")", ",", "the", "Equal", "Pay", "Act", "of", "1963", ",", "the", "Genetic", "Information", "Non-Discrimination", "Act", ",", "the", "Family", "and", "Medical", "Leave", "Act", ",", "the", "Massachusetts", "Fair", "Employment", "Practices", "Act", "(", "G", ".", "L", ".", "c", ".", "151B", ")", ",", "the", "Massachusetts", "Civil", "Rights", "Act", ",", "the", "Massachusetts", "Equal", "Rights", "Act", ",", "the", "Massachusetts", "Wage", "Act", ",", "and", "any", "other", "local", ",", "state", "or", "federal", "law", ",", "policy", ",", "order", ",", "regulation", "or", "guideline", "affecting", "or", "relating", "to", "claims", "or", "rights", "of", "employees", ".", "The", "release", "contained", "herein", "is", "a", "GENERAL", "RELEASE", ",", "including", "of", "statutory", "claims", ".", "Nothing", "in", "this", "Agreement", "shall", "be", "construed", "to", "preclude", "Executive", "from", "participating", "or", "cooperating", "in", "any", "investigation", "or", "proceeding", "conducted", "by", "the", "Equal", "Employment", "Opportunity", "Commission", ",", "or", "any", "other", "local", ",", "state", "or", "federal", "administrative", "agency", ",", "including", "with", "respect", "to", "a", "challenge", "to", "this", "General", "Release", ".", "However", ",", "in", "the", "event", "that", "a", "charge", "or", "complaint", "is", "filed", "against", "the", "Releasees", ",", "or", "any", "of", "them", ",", "with", "any", "administrative", "agency", "or", "in", "the", "event", "of", "an", "authorized", "investigation", ",", "charge", "or", "lawsuit", "filed", "against", "the", "Releasees", ",", "or", "any", "of", "them", ",", "by", "any", "administrative", "agency", ",", "Executive", "expressly", "waives", "and", "shall", "not", "accept", "any", "award", "or", "damages", "therefrom", "."]}
{"id": "16123", "text": "This Employment Agreement (Agreement) is made and entered into by and between Daseke,Inc. , a Delaware corporation (the Company), and Don Daseke (Employee) effective as of February27, 2017 (the Effective Date).", "ner": [[1, 2, "Title"], [14, 17, "Parties"], [28, 29, "Parties"], [36, 38, "EffectiveDate"]], "tokenized_text": ["This", "Employment", "Agreement", "(", "Agreement", ")", "is", "made", "and", "entered", "into", "by", "and", "between", "Daseke", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "the", "Company", ")", ",", "and", "Don", "Daseke", "(", "Employee", ")", "effective", "as", "of", "February27", ",", "2017", "(", "the", "Effective", "Date", ")", "."]}
{"id": "16124", "text": "1. Employment. During the Employment Period (as defined in Section4), the Company shall employ Employee, and Employee shall serve, as Chief Executive Officer (CEO) and President of the Company and in such other position or positions as may be assigned from time to time by the board of directors (the Board) of the Company. In addition, during the Employment Period, the Company shall nominate the Employee to serve as Chairman of the Board for no additional consideration.", "ner": [[27, 29, "Role"], [31, 31, "Role"], [34, 34, "Role"], [83, 83, "Role"]], "tokenized_text": ["1", ".", "Employment", ".", "During", "the", "Employment", "Period", "(", "as", "defined", "in", "Section4", ")", ",", "the", "Company", "shall", "employ", "Employee", ",", "and", "Employee", "shall", "serve", ",", "as", "Chief", "Executive", "Officer", "(", "CEO", ")", "and", "President", "of", "the", "Company", "and", "in", "such", "other", "position", "or", "positions", "as", "may", "be", "assigned", "from", "time", "to", "time", "by", "the", "board", "of", "directors", "(", "the", "Board", ")", "of", "the", "Company", ".", "In", "addition", ",", "during", "the", "Employment", "Period", ",", "the", "Company", "shall", "nominate", "the", "Employee", "to", "serve", "as", "Chairman", "of", "the", "Board", "for", "no", "additional", "consideration", "."]}
{"id": "16125", "text": "(a) Base Salary. During the Employment Period, the Company shall pay to Employee an annualized base salary of $550,000 (the Base Salary) in consideration for Employees services under this Agreement, payable in substantially equal installments in conformity with the Companys customary payroll practices for other senior executives as may exist from time to time, but no less frequently than monthly. The Base Salary shall be reviewed by the Compensation Committee of the Board (the Compensation Committee) in accordance with the Companys policies and practices, but no less frequently than once annually, and may be increased but not decreased (unless agreed to in writing by Employee). To the extent applicable, the term Base Salary shall include any such increases (or decreases agreed to in writing by Employee) to the Base Salary enumerated above.", "ner": [[22, 25, "Salary"]], "tokenized_text": ["(", "a", ")", "Base", "Salary", ".", "During", "the", "Employment", "Period", ",", "the", "Company", "shall", "pay", "to", "Employee", "an", "annualized", "base", "salary", "of", "$", "550", ",", "000", "(", "the", "Base", "Salary", ")", "in", "consideration", "for", "Employees", "services", "under", "this", "Agreement", ",", "payable", "in", "substantially", "equal", "installments", "in", "conformity", "with", "the", "Companys", "customary", "payroll", "practices", "for", "other", "senior", "executives", "as", "may", "exist", "from", "time", "to", "time", ",", "but", "no", "less", "frequently", "than", "monthly", ".", "The", "Base", "Salary", "shall", "be", "reviewed", "by", "the", "Compensation", "Committee", "of", "the", "Board", "(", "the", "Compensation", "Committee", ")", "in", "accordance", "with", "the", "Companys", "policies", "and", "practices", ",", "but", "no", "less", "frequently", "than", "once", "annually", ",", "and", "may", "be", "increased", "but", "not", "decreased", "(", "unless", "agreed", "to", "in", "writing", "by", "Employee", ")", ".", "To", "the", "extent", "applicable", ",", "the", "term", "Base", "Salary", "shall", "include", "any", "such", "increases", "(", "or", "decreases", "agreed", "to", "in", "writing", "by", "Employee", ")", "to", "the", "Base", "Salary", "enumerated", "above", "."]}
{"id": "16129", "text": "immediately following the month in which Employee timely remits the Monthly Premium Payment. Employee shall be eligible to receive such reimbursement payments until the earlier of: (x)the date Employee is no longer eligible to receive COBRA continuation coverage, (y)the date on which Employee becomes eligible to receive coverage under a group health plan sponsored by another employer (and any such eligibility shall be promptly reported to the Company by Employee) and (z)eighteen months following the Termination Date; provided, however, that Employee acknowledges and agrees that (1)the election of COBRA continuation coverage and the payment of any premiums due with respect to such COBRA continuation coverage shall remain Employees sole responsibility, and the Company shall assume no obligation for payment of any such premiums relating to such COBRA continuation coverage, (2)in no event shall the Company be required to pay a Monthly Reimbursement Amount if such payment could reasonably be expected to subject the Company to sanctions imposed pursuant to Section2716 of the Patient Protection and Affordable Care Act of 2010 and the related regulations and guidance promulgated thereunder (collectively, the PPACA) and (3)if payment of a Monthly Reimbursement Amount cannot be provided to Employee without subjecting the Company to sanctions imposed pursuant to Section2716 of the PPACA or otherwise causing the Company to incur a penalty, tax or other adverse impact on the Company, then the Company and Employee shall negotiate in good faith to determine an alternative manner in which the Company may provide a substantially equivalent benefit to Employee without such adverse impact on the Company.", "ner": [[40, 40, "Act"], [108, 108, "Act"], [122, 122, "Act"], [147, 147, "Act"], [187, 194, "Act"], [207, 207, "Act"]], "tokenized_text": ["immediately", "following", "the", "month", "in", "which", "Employee", "timely", "remits", "the", "Monthly", "Premium", "Payment", ".", "Employee", "shall", "be", "eligible", "to", "receive", "such", "reimbursement", "payments", "until", "the", "earlier", "of", ":", "(", "x", ")", "the", "date", "Employee", "is", "no", "longer", "eligible", "to", "receive", "COBRA", "continuation", "coverage", ",", "(", "y", ")", "the", "date", "on", "which", "Employee", "becomes", "eligible", "to", "receive", "coverage", "under", "a", "group", "health", "plan", "sponsored", "by", "another", "employer", "(", "and", "any", "such", "eligibility", "shall", "be", "promptly", "reported", "to", "the", "Company", "by", "Employee", ")", "and", "(", "z", ")", "eighteen", "months", "following", "the", "Termination", "Date", ";", "provided", ",", "however", ",", "that", "Employee", "acknowledges", "and", "agrees", "that", "(", "1", ")", "the", "election", "of", "COBRA", "continuation", "coverage", "and", "the", "payment", "of", "any", "premiums", "due", "with", "respect", "to", "such", "COBRA", "continuation", "coverage", "shall", "remain", "Employees", "sole", "responsibility", ",", "and", "the", "Company", "shall", "assume", "no", "obligation", "for", "payment", "of", "any", "such", "premiums", "relating", "to", "such", "COBRA", "continuation", "coverage", ",", "(", "2", ")", "in", "no", "event", "shall", "the", "Company", "be", "required", "to", "pay", "a", "Monthly", "Reimbursement", "Amount", "if", "such", "payment", "could", "reasonably", "be", "expected", "to", "subject", "the", "Company", "to", "sanctions", "imposed", "pursuant", "to", "Section2716", "of", "the", "Patient", "Protection", "and", "Affordable", "Care", "Act", "of", "2010", "and", "the", "related", "regulations", "and", "guidance", "promulgated", "thereunder", "(", "collectively", ",", "the", "PPACA", ")", "and", "(", "3", ")", "if", "payment", "of", "a", "Monthly", "Reimbursement", "Amount", "cannot", "be", "provided", "to", "Employee", "without", "subjecting", "the", "Company", "to", "sanctions", "imposed", "pursuant", "to", "Section2716", "of", "the", "PPACA", "or", "otherwise", "causing", "the", "Company", "to", "incur", "a", "penalty", ",", "tax", "or", "other", "adverse", "impact", "on", "the", "Company", ",", "then", "the", "Company", "and", "Employee", "shall", "negotiate", "in", "good", "faith", "to", "determine", "an", "alternative", "manner", "in", "which", "the", "Company", "may", "provide", "a", "substantially", "equivalent", "benefit", "to", "Employee", "without", "such", "adverse", "impact", "on", "the", "Company", "."]}
{"id": "16131", "text": "16. Applicable Law; Submission to Jurisdiction. This Agreement shall in all respects be construed according to the laws of the State of Texas without regard to its conflict of laws principles that would result in the application of the laws of another jurisdiction. With respect to any claim or dispute related to or arising under this Agreement, the parties hereby consent to the arbitration provisions of Section11 and recognize and agree that should any resort to a court be necessary and permitted under this Agreement, then they consent to the exclusive jurisdiction, forum and venue of the state and federal courts located in Dallas, Dallas County, Texas.", "ner": [[23, 25, "Court"], [110, 115, "Address"]], "tokenized_text": ["16", ".", "Applicable", "Law", ";", "Submission", "to", "Jurisdiction", ".", "This", "Agreement", "shall", "in", "all", "respects", "be", "construed", "according", "to", "the", "laws", "of", "the", "State", "of", "Texas", "without", "regard", "to", "its", "conflict", "of", "laws", "principles", "that", "would", "result", "in", "the", "application", "of", "the", "laws", "of", "another", "jurisdiction", ".", "With", "respect", "to", "any", "claim", "or", "dispute", "related", "to", "or", "arising", "under", "this", "Agreement", ",", "the", "parties", "hereby", "consent", "to", "the", "arbitration", "provisions", "of", "Section11", "and", "recognize", "and", "agree", "that", "should", "any", "resort", "to", "a", "court", "be", "necessary", "and", "permitted", "under", "this", "Agreement", ",", "then", "they", "consent", "to", "the", "exclusive", "jurisdiction", ",", "forum", "and", "venue", "of", "the", "state", "and", "federal", "courts", "located", "in", "Dallas", ",", "Dallas", "County", ",", "Texas", "."]}
{"id": "16132", "text": "Daseke,Inc. --- ATTN: Chief Financial Officer 15455 Dallas Parkway, Suite440 Addison, TX 75001 &lt; br/&gt;", "ner": [[0, 3, "Parties"], [9, 11, "Role"], [12, 20, "Address"]], "tokenized_text": ["Daseke", ",", "Inc", ".", "-", "-", "-", "ATTN", ":", "Chief", "Financial", "Officer", "15455", "Dallas", "Parkway", ",", "Suite440", "Addison", ",", "TX", "75001", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "16133", "text": "Don Daseke --- The most recent address on the Companys records.", "ner": [], "tokenized_text": ["Don", "Daseke", "-", "-", "-", "The", "most", "recent", "address", "on", "the", "Companys", "records", "."]}
{"id": "16137", "text": "(a) Base Salary. During the Employment Period, the Executive shall receive an annual base salary (the Base Salary) of no less than $400,000 , payable in accordance with the Companys regular payroll practices. The Base Salary shall be reviewed periodically by the Compensation Committee of the Board (the Compensation Committee), and may be increased but not decreased.", "ner": [[28, 31, "Salary"]], "tokenized_text": ["(", "a", ")", "Base", "Salary", ".", "During", "the", "Employment", "Period", ",", "the", "Executive", "shall", "receive", "an", "annual", "base", "salary", "(", "the", "Base", "Salary", ")", "of", "no", "less", "than", "$", "400", ",", "000", ",", "payable", "in", "accordance", "with", "the", "Companys", "regular", "payroll", "practices", ".", "The", "Base", "Salary", "shall", "be", "reviewed", "periodically", "by", "the", "Compensation", "Committee", "of", "the", "Board", "(", "the", "Compensation", "Committee", ")", ",", "and", "may", "be", "increased", "but", "not", "decreased", "."]}
{"id": "16146", "text": "This General Release of All Claims (this Agreement) is entered into by and between Vinu Thomas (Employee) and Presidio, Inc. , a Delaware corporation (the Company), dated as of the date an executed copy of this Agreement has been delivered by Employee to the Company, as set forth in the signature block at the end of this Agreement (the Effective Date).", "ner": [[8, 8, "Title"], [16, 17, "Parties"], [22, 25, "Parties"]], "tokenized_text": ["This", "General", "Release", "of", "All", "Claims", "(", "this", "Agreement", ")", "is", "entered", "into", "by", "and", "between", "Vinu", "Thomas", "(", "Employee", ")", "and", "Presidio", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "the", "Company", ")", ",", "dated", "as", "of", "the", "date", "an", "executed", "copy", "of", "this", "Agreement", "has", "been", "delivered", "by", "Employee", "to", "the", "Company", ",", "as", "set", "forth", "in", "the", "signature", "block", "at", "the", "end", "of", "this", "Agreement", "(", "the", "Effective", "Date", ")", "."]}
{"id": "16148", "text": "Except as provided in the next paragraph, in consideration of the payments made and to be made, and benefits provided and to be provided, to Employee pursuant to the Employment Agreement, as of the Effective Date, Employee unconditionally and forever releases, discharges, and waives any and all actual and potential claims, liabilities, demands, actions, causes of action, suits, costs, controversies, judgments, decrees, verdicts, attorneys and consultants fees, damages, indemnities, and obligations of every kind and nature, in law, equity, or otherwise, known and unknown, suspected and unsuspected, disclosed and undisclosed, arising out of or in any way related to the Employment Agreement and the subject matter thereto, and any other agreements, events, acts, or conduct at any time prior to and including the Effective Date other than the Excluded Obligations (as defined below) (the Released Claims) against the Released Parties. The Released Claims include any and all matters relating to Employees employment including, without limitation, claims or demands related to salary, bonuses, commissions, stock, equity awards, or any other ownership interest in the Company or any of its subsidiaries or affiliates, vacation pay, fringe benefits, expense reimbursements, severance pay, or any other form of compensation; claims for discrimination based upon race, color, sex, creed, national origin, age, disability, or any other characteristic protected by federal, state, or local law or any other violation of any Equal Employment Opportunity Law, ordinance, rule, regulation, or order, including, without limitation, TitleVII of the Civil Rights Act of 1964 , as amended, the Civil Rights Act of 1991 ; the Americans with Disabilities Act ; claims under the Employee Retirement Income Security Act of 1974 , as amended, the Equal Pay Act , the Fair Labor Standards Act , as amended, the Family and Medical Leave Act of 1993 , as amended, or the laws of any country governing discrimination in employment, the payment of wages or benefits, or any other aspect of employment. The Released Claims also include claims for wrongful discharge, fraud, or misrepresentation under any statute, rule, or regulation or under the common law and any other claims under the common law.", "ner": [[32, 33, "Title"], [306, 310, "Act"], [316, 320, "Act"], [323, 326, "Act"], [331, 337, "Act"], [343, 345, "Act"], [348, 351, "Act"], [357, 363, "Act"]], "tokenized_text": ["Except", "as", "provided", "in", "the", "next", "paragraph", ",", "in", "consideration", "of", "the", "payments", "made", "and", "to", "be", "made", ",", "and", "benefits", "provided", "and", "to", "be", "provided", ",", "to", "Employee", "pursuant", "to", "the", "Employment", "Agreement", ",", "as", "of", "the", "Effective", "Date", ",", "Employee", "unconditionally", "and", "forever", "releases", ",", "discharges", ",", "and", "waives", "any", "and", "all", "actual", "and", "potential", "claims", ",", "liabilities", ",", "demands", ",", "actions", ",", "causes", "of", "action", ",", "suits", ",", "costs", ",", "controversies", ",", "judgments", ",", "decrees", ",", "verdicts", ",", "attorneys", "and", "consultants", "fees", ",", "damages", ",", "indemnities", ",", "and", "obligations", "of", "every", "kind", "and", "nature", ",", "in", "law", ",", "equity", ",", "or", "otherwise", ",", "known", "and", "unknown", ",", "suspected", "and", "unsuspected", ",", "disclosed", "and", "undisclosed", ",", "arising", "out", "of", "or", "in", "any", "way", "related", "to", "the", "Employment", "Agreement", "and", "the", "subject", "matter", "thereto", ",", "and", "any", "other", "agreements", ",", "events", ",", "acts", ",", "or", "conduct", "at", "any", "time", "prior", "to", "and", "including", "the", "Effective", "Date", "other", "than", "the", "Excluded", "Obligations", "(", "as", "defined", "below", ")", "(", "the", "Released", "Claims", ")", "against", "the", "Released", "Parties", ".", "The", "Released", "Claims", "include", "any", "and", "all", "matters", "relating", "to", "Employees", "employment", "including", ",", "without", "limitation", ",", "claims", "or", "demands", "related", "to", "salary", ",", "bonuses", ",", "commissions", ",", "stock", ",", "equity", "awards", ",", "or", "any", "other", "ownership", "interest", "in", "the", "Company", "or", "any", "of", "its", "subsidiaries", "or", "affiliates", ",", "vacation", "pay", ",", "fringe", "benefits", ",", "expense", "reimbursements", ",", "severance", "pay", ",", "or", "any", "other", "form", "of", "compensation", ";", "claims", "for", "discrimination", "based", "upon", "race", ",", "color", ",", "sex", ",", "creed", ",", "national", "origin", ",", "age", ",", "disability", ",", "or", "any", "other", "characteristic", "protected", "by", "federal", ",", "state", ",", "or", "local", "law", "or", "any", "other", "violation", "of", "any", "Equal", "Employment", "Opportunity", "Law", ",", "ordinance", ",", "rule", ",", "regulation", ",", "or", "order", ",", "including", ",", "without", "limitation", ",", "TitleVII", "of", "the", "Civil", "Rights", "Act", "of", "1964", ",", "as", "amended", ",", "the", "Civil", "Rights", "Act", "of", "1991", ";", "the", "Americans", "with", "Disabilities", "Act", ";", "claims", "under", "the", "Employee", "Retirement", "Income", "Security", "Act", "of", "1974", ",", "as", "amended", ",", "the", "Equal", "Pay", "Act", ",", "the", "Fair", "Labor", "Standards", "Act", ",", "as", "amended", ",", "the", "Family", "and", "Medical", "Leave", "Act", "of", "1993", ",", "as", "amended", ",", "or", "the", "laws", "of", "any", "country", "governing", "discrimination", "in", "employment", ",", "the", "payment", "of", "wages", "or", "benefits", ",", "or", "any", "other", "aspect", "of", "employment", ".", "The", "Released", "Claims", "also", "include", "claims", "for", "wrongful", "discharge", ",", "fraud", ",", "or", "misrepresentation", "under", "any", "statute", ",", "rule", ",", "or", "regulation", "or", "under", "the", "common", "law", "and", "any", "other", "claims", "under", "the", "common", "law", "."]}
{"id": "16149", "text": "2\\. Release and Waiver of Claims Under the Age Discrimination in Employment Act &lt; br/&gt;", "ner": [[10, 14, "Act"]], "tokenized_text": ["2", "\\", ".", "Release", "and", "Waiver", "of", "Claims", "Under", "the", "Age", "Discrimination", "in", "Employment", "Act", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "16157", "text": "This Employment Agreement (Agreement) is made and entered into by and between Swift Energy Company , a Delaware corporation (the Company), and Christopher M. Abundis (Employee), effective as of March 20, 2017 (as applicable, the Effective Date).", "ner": [[1, 2, "Title"], [14, 16, "Parties"], [27, 30, "Parties"], [38, 41, "EffectiveDate"]], "tokenized_text": ["This", "Employment", "Agreement", "(", "Agreement", ")", "is", "made", "and", "entered", "into", "by", "and", "between", "Swift", "Energy", "Company", ",", "a", "Delaware", "corporation", "(", "the", "Company", ")", ",", "and", "Christopher", "M", ".", "Abundis", "(", "Employee", ")", ",", "effective", "as", "of", "March", "20", ",", "2017", "(", "as", "applicable", ",", "the", "Effective", "Date", ")", "."]}
{"id": "16159", "text": "(a) Base Salary. During the Employment Period, the Company shall pay to Employee an annualized base salary of $315,000 (the Base Salary) in consideration for Employees services under this Agreement, payable in substantially equal installments in conformity with the Companys customary payroll practices for other senior executives as may exist from time to time, but no less frequently than monthly. The Base Salary shall be reviewed by the Board in accordance with the Companys policies and practices, but no less frequently than once annually, and may be increased but not decreased unless such decrease is agreed to in writing by Employee. To the extent applicable, the term Base Salary shall include any such increases (or decreases agreed to in writing by Employee) to the Base Salary enumerated above.", "ner": [[22, 25, "Salary"]], "tokenized_text": ["(", "a", ")", "Base", "Salary", ".", "During", "the", "Employment", "Period", ",", "the", "Company", "shall", "pay", "to", "Employee", "an", "annualized", "base", "salary", "of", "$", "315", ",", "000", "(", "the", "Base", "Salary", ")", "in", "consideration", "for", "Employees", "services", "under", "this", "Agreement", ",", "payable", "in", "substantially", "equal", "installments", "in", "conformity", "with", "the", "Companys", "customary", "payroll", "practices", "for", "other", "senior", "executives", "as", "may", "exist", "from", "time", "to", "time", ",", "but", "no", "less", "frequently", "than", "monthly", ".", "The", "Base", "Salary", "shall", "be", "reviewed", "by", "the", "Board", "in", "accordance", "with", "the", "Companys", "policies", "and", "practices", ",", "but", "no", "less", "frequently", "than", "once", "annually", ",", "and", "may", "be", "increased", "but", "not", "decreased", "unless", "such", "decrease", "is", "agreed", "to", "in", "writing", "by", "Employee", ".", "To", "the", "extent", "applicable", ",", "the", "term", "Base", "Salary", "shall", "include", "any", "such", "increases", "(", "or", "decreases", "agreed", "to", "in", "writing", "by", "Employee", ")", "to", "the", "Base", "Salary", "enumerated", "above", "."]}
{"id": "16161", "text": "(c) Incentive Compensation. During the Employment Period, Employee shall be eligible to (i) participate in all of the Companys short-term and long-term incentive compensation plans, programs or arrangements made available to other senior executives and (ii) receive awards under the Swift Energy Company 2016 Equity Incentive Plan, as amended from time to time, or any other equity incentive plan, program or arrangement made available to other senior executives (the Equity Incentive Plan), in each case, in amounts determined by the Board (or a committee thereof) in its sole discretion and subject to the terms and conditions of such plans, programs or arrangements as in effect from time to time. Except as set forth in Section 3(d) and (e), nothing herein shall be construed to give Employee any rights to any amount or type of grant or award except as provided in a written award agreement with Employee and approved by the Board (or a committee thereof).", "ner": [], "tokenized_text": ["(", "c", ")", "Incentive", "Compensation", ".", "During", "the", "Employment", "Period", ",", "Employee", "shall", "be", "eligible", "to", "(", "i", ")", "participate", "in", "all", "of", "the", "Companys", "short-term", "and", "long-term", "incentive", "compensation", "plans", ",", "programs", "or", "arrangements", "made", "available", "to", "other", "senior", "executives", "and", "(", "ii", ")", "receive", "awards", "under", "the", "Swift", "Energy", "Company", "2016", "Equity", "Incentive", "Plan", ",", "as", "amended", "from", "time", "to", "time", ",", "or", "any", "other", "equity", "incentive", "plan", ",", "program", "or", "arrangement", "made", "available", "to", "other", "senior", "executives", "(", "the", "Equity", "Incentive", "Plan", ")", ",", "in", "each", "case", ",", "in", "amounts", "determined", "by", "the", "Board", "(", "or", "a", "committee", "thereof", ")", "in", "its", "sole", "discretion", "and", "subject", "to", "the", "terms", "and", "conditions", "of", "such", "plans", ",", "programs", "or", "arrangements", "as", "in", "effect", "from", "time", "to", "time", ".", "Except", "as", "set", "forth", "in", "Section", "3", "(", "d", ")", "and", "(", "e", ")", ",", "nothing", "herein", "shall", "be", "construed", "to", "give", "Employee", "any", "rights", "to", "any", "amount", "or", "type", "of", "grant", "or", "award", "except", "as", "provided", "in", "a", "written", "award", "agreement", "with", "Employee", "and", "approved", "by", "the", "Board", "(", "or", "a", "committee", "thereof", ")", "."]}
{"id": "16162", "text": "by the Company hereunder (the Annual Equity Award). The Annual Equity Award shall have an aggregate target value, determined as of the applicable date(s) of grant, of approximately 70% of Employees Base Salary as in effect on date of grant for such Annual Equity Award (the Award Year). The amount and type(s) of equity award shall be determined by the Board (or a committee thereof) annually, in its sole discretion, but it is anticipated that the one- half of the Annual Equity Award shall consist of restricted stock units subject to time-based vesting (the Time RSUs) and one-half of the Annual Equity Award shall consist of restricted stock units subject to performance- based vesting (the Performance RSUs). The terms and conditions (including vesting) applicable to the Annual Equity Award shall be determined by the Board (or a committee thereof) annually, in its sole discretion, but it is anticipated that the Time RSUs shall vest in three substantially equal annual installments on the first, second and third anniversary of the applicable date of grant and the Performance RSUs shall cliff vest in full on the third anniversary of the applicable date of grant, subject to satisfaction of applicable performance condition(s) established by the Board (or a committee thereof), in its sole discretion, and communicated to Employee on such date of grant and set forth in the applicable award agreement. Notwithstanding the foregoing, Employee shall receive an Annual Equity Award for calendar year 2017 (the 2017 Guaranteed Annual Equity Award), which shall be granted in calendar year 2018 provided that Employee remains continuously employed by the Company from the Effective Date through the applicable date of grant, that shall consist of (i) Time RSUs with an aggregate value equal to approximately 17.5% of Employees Base Salary and (ii) Performance RSUs with an aggregate target value equal to approximately 17.5% of Employees Base Salary. In addition, Employee shall be eligible to receive an Annual Equity Award for the calendar year 2017 (the 2017 Performance Annual Equity Award) based on the achievement of performance targets established by the Board (or a committee thereof) related to the Companys budget and forecast in place sixty (60) days following the Effective Date, which shall be granted in calendar year 2018 provided that Employee remains continuously employed by the Company from the Effective Date through the applicable date of grant, that shall consist of (i) Time RSUs with aggregate value equal to approximately 17.5% of Employees Base Salary and (ii) Performance RSUs with aggregate target value equal to approximately 17.5% of Employees Base Salary. In each case, the 2017 Guaranteed Annual Equity Award and the 2017 Performance Annual Equity Award will be subject to the anticipated terms and conditions described above in this Section 3(e) for Annual Equity Awards generally.", "ner": [[36, 37, "Percentage"], [95, 97, "Percentage"], [115, 116, "Shares"], [119, 119, "Ratio"], [139, 140, "Shares"], [267, 268, "Title"], [338, 341, "Percentage"]], "tokenized_text": ["by", "the", "Company", "hereunder", "(", "the", "Annual", "Equity", "Award", ")", ".", "The", "Annual", "Equity", "Award", "shall", "have", "an", "aggregate", "target", "value", ",", "determined", "as", "of", "the", "applicable", "date", "(", "s", ")", "of", "grant", ",", "of", "approximately", "70", "%", "of", "Employees", "Base", "Salary", "as", "in", "effect", "on", "date", "of", "grant", "for", "such", "Annual", "Equity", "Award", "(", "the", "Award", "Year", ")", ".", "The", "amount", "and", "type", "(", "s", ")", "of", "equity", "award", "shall", "be", "determined", "by", "the", "Board", "(", "or", "a", "committee", "thereof", ")", "annually", ",", "in", "its", "sole", "discretion", ",", "but", "it", "is", "anticipated", "that", "the", "one", "-", "half", "of", "the", "Annual", "Equity", "Award", "shall", "consist", "of", "restricted", "stock", "units", "subject", "to", "time-based", "vesting", "(", "the", "Time", "RSUs", ")", "and", "one-half", "of", "the", "Annual", "Equity", "Award", "shall", "consist", "of", "restricted", "stock", "units", "subject", "to", "performance", "-", "based", "vesting", "(", "the", "Performance", "RSUs", ")", ".", "The", "terms", "and", "conditions", "(", "including", "vesting", ")", "applicable", "to", "the", "Annual", "Equity", "Award", "shall", "be", "determined", "by", "the", "Board", "(", "or", "a", "committee", "thereof", ")", "annually", ",", "in", "its", "sole", "discretion", ",", "but", "it", "is", "anticipated", "that", "the", "Time", "RSUs", "shall", "vest", "in", "three", "substantially", "equal", "annual", "installments", "on", "the", "first", ",", "second", "and", "third", "anniversary", "of", "the", "applicable", "date", "of", "grant", "and", "the", "Performance", "RSUs", "shall", "cliff", "vest", "in", "full", "on", "the", "third", "anniversary", "of", "the", "applicable", "date", "of", "grant", ",", "subject", "to", "satisfaction", "of", "applicable", "performance", "condition", "(", "s", ")", "established", "by", "the", "Board", "(", "or", "a", "committee", "thereof", ")", ",", "in", "its", "sole", "discretion", ",", "and", "communicated", "to", "Employee", "on", "such", "date", "of", "grant", "and", "set", "forth", "in", "the", "applicable", "award", "agreement", ".", "Notwithstanding", "the", "foregoing", ",", "Employee", "shall", "receive", "an", "Annual", "Equity", "Award", "for", "calendar", "year", "2017", "(", "the", "2017", "Guaranteed", "Annual", "Equity", "Award", ")", ",", "which", "shall", "be", "granted", "in", "calendar", "year", "2018", "provided", "that", "Employee", "remains", "continuously", "employed", "by", "the", "Company", "from", "the", "Effective", "Date", "through", "the", "applicable", "date", "of", "grant", ",", "that", "shall", "consist", "of", "(", "i", ")", "Time", "RSUs", "with", "an", "aggregate", "value", "equal", "to", "approximately", "17", ".", "5", "%", "of", "Employees", "Base", "Salary", "and", "(", "ii", ")", "Performance", "RSUs", "with", "an", "aggregate", "target", "value", "equal", "to", "approximately", "17", ".", "5", "%", "of", "Employees", "Base", "Salary", ".", "In", "addition", ",", "Employee", "shall", "be", "eligible", "to", "receive", "an", "Annual", "Equity", "Award", "for", "the", "calendar", "year", "2017", "(", "the", "2017", "Performance", "Annual", "Equity", "Award", ")", "based", "on", "the", "achievement", "of", "performance", "targets", "established", "by", "the", "Board", "(", "or", "a", "committee", "thereof", ")", "related", "to", "the", "Companys", "budget", "and", "forecast", "in", "place", "sixty", "(", "60", ")", "days", "following", "the", "Effective", "Date", ",", "which", "shall", "be", "granted", "in", "calendar", "year", "2018", "provided", "that", "Employee", "remains", "continuously", "employed", "by", "the", "Company", "from", "the", "Effective", "Date", "through", "the", "applicable", "date", "of", "grant", ",", "that", "shall", "consist", "of", "(", "i", ")", "Time", "RSUs", "with", "aggregate", "value", "equal", "to", "approximately", "17", ".", "5", "%", "of", "Employees", "Base", "Salary", "and", "(", "ii", ")", "Performance", "RSUs", "with", "aggregate", "target", "value", "equal", "to", "approximately", "17", ".", "5", "%", "of", "Employees", "Base", "Salary", ".", "In", "each", "case", ",", "the", "2017", "Guaranteed", "Annual", "Equity", "Award", "and", "the", "2017", "Performance", "Annual", "Equity", "Award", "will", "be", "subject", "to", "the", "anticipated", "terms", "and", "conditions", "described", "above", "in", "this", "Section", "3", "(", "e", ")", "for", "Annual", "Equity", "Awards", "generally", "."]}
{"id": "16165", "text": "revocation period has not fully expired without revocation of the Release by Employee, then Employee shall not be entitled to any portion of the Severance Consideration. As used herein, the Release Expiration Date is that date that is twenty-one (21) days following the date upon which the Company delivers the Release to Employee (which shall occur no later than seven (7) days after the Termination Date) or, in the event that such termination of employment is in connection with an exit incentive or other employment termination program (as such phrase is defined in the Age Discrimination in Employment Act of 1967 , as amended), the date that is forty-five (45) days following such delivery date.", "ner": [[105, 111, "Act"]], "tokenized_text": ["revocation", "period", "has", "not", "fully", "expired", "without", "revocation", "of", "the", "Release", "by", "Employee", ",", "then", "Employee", "shall", "not", "be", "entitled", "to", "any", "portion", "of", "the", "Severance", "Consideration", ".", "As", "used", "herein", ",", "the", "Release", "Expiration", "Date", "is", "that", "date", "that", "is", "twenty-one", "(", "21", ")", "days", "following", "the", "date", "upon", "which", "the", "Company", "delivers", "the", "Release", "to", "Employee", "(", "which", "shall", "occur", "no", "later", "than", "seven", "(", "7", ")", "days", "after", "the", "Termination", "Date", ")", "or", ",", "in", "the", "event", "that", "such", "termination", "of", "employment", "is", "in", "connection", "with", "an", "exit", "incentive", "or", "other", "employment", "termination", "program", "(", "as", "such", "phrase", "is", "defined", "in", "the", "Age", "Discrimination", "in", "Employment", "Act", "of", "1967", ",", "as", "amended", ")", ",", "the", "date", "that", "is", "forty-five", "(", "45", ")", "days", "following", "such", "delivery", "date", "."]}
{"id": "16170", "text": "with the Company shall be finally settled by arbitration in Harris County, Texas before, and in accordance with the then-existing American Arbitration Association (AAA) Employment Arbitration Rules . The arbitration award shall be final and binding on both parties. Any arbitration conducted under this Section 10 shall be heard by a single arbitrator (the Arbitrator) selected in accordance with the then-applicable rules of the AAA. The Arbitrator shall expeditiously (and, if practicable, within ninety (90) days after the selection of the Arbitrator) hear and decide all matters concerning the dispute. Except as expressly provided to the contrary in this Agreement, the Arbitrator shall have the power to (i) gather such materials, information, testimony and evidence as the Arbitrator deems relevant to the dispute before him or her (and each party shall provide such materials, information, testimony and evidence requested by the Arbitrator), and (ii) grant injunctive relief and enforce specific performance. The decision of the Arbitrator shall be reasoned, rendered in writing, be final and binding upon the disputing parties and the parties agree that judgment upon the award may be entered by any court of competent jurisdiction; provided, however, that the parties agree that the Arbitrator and any court enforcing the award of the Arbitrator shall not have the right or authority to award punitive or exemplary damages to any disputing party. The party whom the Arbitrator determines is the prevailing party in such arbitration shall be eligible to receive, at the discretion of the Arbitrator, in addition to any other award pursuant to such arbitration or associated judgment, reimbursement from the other party of all reasonable legal fees and costs associated with such arbitration and associated judgment.", "ner": [[10, 13, "Court"]], "tokenized_text": ["with", "the", "Company", "shall", "be", "finally", "settled", "by", "arbitration", "in", "Harris", "County", ",", "Texas", "before", ",", "and", "in", "accordance", "with", "the", "then-existing", "American", "Arbitration", "Association", "(", "AAA", ")", "Employment", "Arbitration", "Rules", ".", "The", "arbitration", "award", "shall", "be", "final", "and", "binding", "on", "both", "parties", ".", "Any", "arbitration", "conducted", "under", "this", "Section", "10", "shall", "be", "heard", "by", "a", "single", "arbitrator", "(", "the", "Arbitrator", ")", "selected", "in", "accordance", "with", "the", "then-applicable", "rules", "of", "the", "AAA", ".", "The", "Arbitrator", "shall", "expeditiously", "(", "and", ",", "if", "practicable", ",", "within", "ninety", "(", "90", ")", "days", "after", "the", "selection", "of", "the", "Arbitrator", ")", "hear", "and", "decide", "all", "matters", "concerning", "the", "dispute", ".", "Except", "as", "expressly", "provided", "to", "the", "contrary", "in", "this", "Agreement", ",", "the", "Arbitrator", "shall", "have", "the", "power", "to", "(", "i", ")", "gather", "such", "materials", ",", "information", ",", "testimony", "and", "evidence", "as", "the", "Arbitrator", "deems", "relevant", "to", "the", "dispute", "before", "him", "or", "her", "(", "and", "each", "party", "shall", "provide", "such", "materials", ",", "information", ",", "testimony", "and", "evidence", "requested", "by", "the", "Arbitrator", ")", ",", "and", "(", "ii", ")", "grant", "injunctive", "relief", "and", "enforce", "specific", "performance", ".", "The", "decision", "of", "the", "Arbitrator", "shall", "be", "reasoned", ",", "rendered", "in", "writing", ",", "be", "final", "and", "binding", "upon", "the", "disputing", "parties", "and", "the", "parties", "agree", "that", "judgment", "upon", "the", "award", "may", "be", "entered", "by", "any", "court", "of", "competent", "jurisdiction", ";", "provided", ",", "however", ",", "that", "the", "parties", "agree", "that", "the", "Arbitrator", "and", "any", "court", "enforcing", "the", "award", "of", "the", "Arbitrator", "shall", "not", "have", "the", "right", "or", "authority", "to", "award", "punitive", "or", "exemplary", "damages", "to", "any", "disputing", "party", ".", "The", "party", "whom", "the", "Arbitrator", "determines", "is", "the", "prevailing", "party", "in", "such", "arbitration", "shall", "be", "eligible", "to", "receive", ",", "at", "the", "discretion", "of", "the", "Arbitrator", ",", "in", "addition", "to", "any", "other", "award", "pursuant", "to", "such", "arbitration", "or", "associated", "judgment", ",", "reimbursement", "from", "the", "other", "party", "of", "all", "reasonable", "legal", "fees", "and", "costs", "associated", "with", "such", "arbitration", "and", "associated", "judgment", "."]}
{"id": "16171", "text": "14. Applicable Law; Submission to Jurisdiction. This Agreement shall in all respects be construed according to the laws of the State of Texas without regard to its conflict of laws principles that would result in the application of the laws of another jurisdiction. With respect to any claim or dispute related to or arising under this Agreement, the parties hereby consent to the arbitration provisions of Section 10 and recognize and agree that should any resort to a court be necessary and permitted under this Agreement, then they consent to the exclusive jurisdiction, forum and venue of the state and federal courts located in Houston, Harris County, Texas.", "ner": [[23, 25, "Court"], [111, 116, "Address"]], "tokenized_text": ["14", ".", "Applicable", "Law", ";", "Submission", "to", "Jurisdiction", ".", "This", "Agreement", "shall", "in", "all", "respects", "be", "construed", "according", "to", "the", "laws", "of", "the", "State", "of", "Texas", "without", "regard", "to", "its", "conflict", "of", "laws", "principles", "that", "would", "result", "in", "the", "application", "of", "the", "laws", "of", "another", "jurisdiction", ".", "With", "respect", "to", "any", "claim", "or", "dispute", "related", "to", "or", "arising", "under", "this", "Agreement", ",", "the", "parties", "hereby", "consent", "to", "the", "arbitration", "provisions", "of", "Section", "10", "and", "recognize", "and", "agree", "that", "should", "any", "resort", "to", "a", "court", "be", "necessary", "and", "permitted", "under", "this", "Agreement", ",", "then", "they", "consent", "to", "the", "exclusive", "jurisdiction", ",", "forum", "and", "venue", "of", "the", "state", "and", "federal", "courts", "located", "in", "Houston", ",", "Harris", "County", ",", "Texas", "."]}
{"id": "16172", "text": "Swift Energy Company c/o Sean Woolverton, Chief Executive Officer 575 North Dairy Ashford Suite 1200 Houston, Texas 77079 Email: chris.abundis@swiftenergy.com", "ner": [[0, 2, "Parties"], [6, 7, "Parties"], [9, 11, "Role"], [12, 21, "Address"], [24, 30, "PII_Ref"]], "tokenized_text": ["Swift", "Energy", "Company", "c", "/", "o", "Sean", "Woolverton", ",", "Chief", "Executive", "Officer", "575", "North", "Dairy", "Ashford", "Suite", "1200", "Houston", ",", "Texas", "77079", "Email", ":", "chris", ".", "abundis", "@", "swiftenergy", ".", "com"]}
{"id": "15183", "text": "Commencing as of the Effective Date, the Company shall pay the Executive an annual rate of base salary of at least US$650,000 , in periodic installments in accordance with the Company's customary U.S. payroll practices, but no less frequently than monthly. The Executive's base salary shall be reviewed annually by the Board and the Board may, but shall not be required to, increase the base salary during the Employment Term. The Executive's annual base salary, as in effect from time to time, is hereinafter referred to as \"Base Salary\".", "ner": [[22, 26, "Salary"]], "tokenized_text": ["Commencing", "as", "of", "the", "Effective", "Date", ",", "the", "Company", "shall", "pay", "the", "Executive", "an", "annual", "rate", "of", "base", "salary", "of", "at", "least", "US", "$", "650", ",", "000", ",", "in", "periodic", "installments", "in", "accordance", "with", "the", "Company", "'", "s", "customary", "U", ".", "S", ".", "payroll", "practices", ",", "but", "no", "less", "frequently", "than", "monthly", ".", "The", "Executive", "'", "s", "base", "salary", "shall", "be", "reviewed", "annually", "by", "the", "Board", "and", "the", "Board", "may", ",", "but", "shall", "not", "be", "required", "to", ",", "increase", "the", "base", "salary", "during", "the", "Employment", "Term", ".", "The", "Executive", "'", "s", "annual", "base", "salary", ",", "as", "in", "effect", "from", "time", "to", "time", ",", "is", "hereinafter", "referred", "to", "as", "\"", "Base", "Salary", "\"", "."]}
{"id": "16184", "text": "(a) The Executive shall have the opportunity to earn an annual bonus (the amount actually earned, the \"Annual Bonus\") equal to at least 125% of Base Salary (the amount available to be earned, the \"Target Bonus\"), based on the achievement of annual performance goals established by the Board or the Compensation Committee of the Board (the \"Compensation Committee\"). The Compensation Committee does not have discretion to award the Executive an Annual Bonus that would result in the payment to the Executive of an amount that is greater than 250% of Base Salary.", "ner": [[30, 31, "Percentage"], [107, 108, "Percentage"]], "tokenized_text": ["(", "a", ")", "The", "Executive", "shall", "have", "the", "opportunity", "to", "earn", "an", "annual", "bonus", "(", "the", "amount", "actually", "earned", ",", "the", "\"", "Annual", "Bonus", "\"", ")", "equal", "to", "at", "least", "125", "%", "of", "Base", "Salary", "(", "the", "amount", "available", "to", "be", "earned", ",", "the", "\"", "Target", "Bonus", "\"", ")", ",", "based", "on", "the", "achievement", "of", "annual", "performance", "goals", "established", "by", "the", "Board", "or", "the", "Compensation", "Committee", "of", "the", "Board", "(", "the", "\"", "Compensation", "Committee", "\"", ")", ".", "The", "Compensation", "Committee", "does", "not", "have", "discretion", "to", "award", "the", "Executive", "an", "Annual", "Bonus", "that", "would", "result", "in", "the", "payment", "to", "the", "Executive", "of", "an", "amount", "that", "is", "greater", "than", "250", "%", "of", "Base", "Salary", "."]}
{"id": "16186", "text": "Subject to the terms and conditions of the applicable programs, as amended from time to time, during the Employment Term, the Executive shall be entitled to fringe benefits and perquisites consistent with the practices of the Company for the Chief Executive Officer . The Company reserves the right to amend or cancel any fringe benefits and perquisites programs at any time in its sole discretion, subject to the terms of such programs.", "ner": [[42, 44, "Role"]], "tokenized_text": ["Subject", "to", "the", "terms", "and", "conditions", "of", "the", "applicable", "programs", ",", "as", "amended", "from", "time", "to", "time", ",", "during", "the", "Employment", "Term", ",", "the", "Executive", "shall", "be", "entitled", "to", "fringe", "benefits", "and", "perquisites", "consistent", "with", "the", "practices", "of", "the", "Company", "for", "the", "Chief", "Executive", "Officer", ".", "The", "Company", "reserves", "the", "right", "to", "amend", "or", "cancel", "any", "fringe", "benefits", "and", "perquisites", "programs", "at", "any", "time", "in", "its", "sole", "discretion", ",", "subject", "to", "the", "terms", "of", "such", "programs", "."]}
{"id": "16187", "text": "(a) If any of the payments or benefits received or to be received by the Executive including, without limitation, any payment or benefits received in connection with a Change in Control or the Executive's termination of employment, whether pursuant to the terms of this Agreement or any other plan, arrangement or agreement, or otherwise (all such payments collectively referred to herein as the 280G Payments) constitute parachute payments within the meaning of Section 280G of the Internal Revenue Code (the Code) and would, but for this Section 5.10, be subject to the excise tax imposed under Section 4999 of the Code (the Excise Tax), then prior to making the 280G Payments, a calculation shall be made comparing (i) the Net Benefit (as defined below) to the Executive of the 280G Payments after payment of the Excise Tax to (ii) the Net Benefit to the Executive if the 280G Payments are limited to the extent necessary to avoid being subject to the Excise Tax. If, and only if, the amount calculated under (i) above is less than the amount under (ii) above, the 280G Payments will be reduced to the minimum extent necessary so that no portion of the 280G Payments is subject to the Excise Tax. \"Net Benefit\" shall mean the present value of the 280G Payments net of all federal, state, local, foreign income, payroll, and excise taxes. If multiple amounts are subject to reduction, the amounts shall be reduced (but not below zero) in a manner determined by the Company that is consistent with the requirements of Section 409A of the Code (Section 409A) and otherwise so as to maximize the after-tax benefit to the Executive.", "ner": [[83, 84, "Regulation"], [87, 89, "Act"], [113, 114, "Regulation"], [306, 307, "Regulation"]], "tokenized_text": ["(", "a", ")", "If", "any", "of", "the", "payments", "or", "benefits", "received", "or", "to", "be", "received", "by", "the", "Executive", "including", ",", "without", "limitation", ",", "any", "payment", "or", "benefits", "received", "in", "connection", "with", "a", "Change", "in", "Control", "or", "the", "Executive", "'", "s", "termination", "of", "employment", ",", "whether", "pursuant", "to", "the", "terms", "of", "this", "Agreement", "or", "any", "other", "plan", ",", "arrangement", "or", "agreement", ",", "or", "otherwise", "(", "all", "such", "payments", "collectively", "referred", "to", "herein", "as", "the", "280G", "Payments", ")", "constitute", "parachute", "payments", "within", "the", "meaning", "of", "Section", "280G", "of", "the", "Internal", "Revenue", "Code", "(", "the", "Code", ")", "and", "would", ",", "but", "for", "this", "Section", "5", ".", "10", ",", "be", "subject", "to", "the", "excise", "tax", "imposed", "under", "Section", "4999", "of", "the", "Code", "(", "the", "Excise", "Tax", ")", ",", "then", "prior", "to", "making", "the", "280G", "Payments", ",", "a", "calculation", "shall", "be", "made", "comparing", "(", "i", ")", "the", "Net", "Benefit", "(", "as", "defined", "below", ")", "to", "the", "Executive", "of", "the", "280G", "Payments", "after", "payment", "of", "the", "Excise", "Tax", "to", "(", "ii", ")", "the", "Net", "Benefit", "to", "the", "Executive", "if", "the", "280G", "Payments", "are", "limited", "to", "the", "extent", "necessary", "to", "avoid", "being", "subject", "to", "the", "Excise", "Tax", ".", "If", ",", "and", "only", "if", ",", "the", "amount", "calculated", "under", "(", "i", ")", "above", "is", "less", "than", "the", "amount", "under", "(", "ii", ")", "above", ",", "the", "280G", "Payments", "will", "be", "reduced", "to", "the", "minimum", "extent", "necessary", "so", "that", "no", "portion", "of", "the", "280G", "Payments", "is", "subject", "to", "the", "Excise", "Tax", ".", "\"", "Net", "Benefit", "\"", "shall", "mean", "the", "present", "value", "of", "the", "280G", "Payments", "net", "of", "all", "federal", ",", "state", ",", "local", ",", "foreign", "income", ",", "payroll", ",", "and", "excise", "taxes", ".", "If", "multiple", "amounts", "are", "subject", "to", "reduction", ",", "the", "amounts", "shall", "be", "reduced", "(", "but", "not", "below", "zero", ")", "in", "a", "manner", "determined", "by", "the", "Company", "that", "is", "consistent", "with", "the", "requirements", "of", "Section", "409A", "of", "the", "Code", "(", "Section", "409A", ")", "and", "otherwise", "so", "as", "to", "maximize", "the", "after-tax", "benefit", "to", "the", "Executive", "."]}
{"id": "16189", "text": "This Agreement, for all purposes, shall be construed in accordance with the laws of the state of Minnesota without regard to conflicts of law principles. Any action or proceeding by either of the parties to enforce this Agreement shall be brought only in a state or federal court located in the state of Minnesota . The parties hereby irrevocably submit to the exclusive jurisdiction of such courts and waive the defense of inconvenient forum to the maintenance of any such action or proceeding in such venue.", "ner": [[17, 19, "Court"]], "tokenized_text": ["This", "Agreement", ",", "for", "all", "purposes", ",", "shall", "be", "construed", "in", "accordance", "with", "the", "laws", "of", "the", "state", "of", "Minnesota", "without", "regard", "to", "conflicts", "of", "law", "principles", ".", "Any", "action", "or", "proceeding", "by", "either", "of", "the", "parties", "to", "enforce", "this", "Agreement", "shall", "be", "brought", "only", "in", "a", "state", "or", "federal", "court", "located", "in", "the", "state", "of", "Minnesota", ".", "The", "parties", "hereby", "irrevocably", "submit", "to", "the", "exclusive", "jurisdiction", "of", "such", "courts", "and", "waive", "the", "defense", "of", "inconvenient", "forum", "to", "the", "maintenance", "of", "any", "such", "action", "or", "proceeding", "in", "such", "venue", "."]}
{"id": "15191", "text": "Signature: | /s/ David J. Colo | ---|---|---", "ner": [[6, 9, "Parties"]], "tokenized_text": ["Signature", ":", "|", "/", "s", "/", "David", "J", ".", "Colo", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "16194", "text": "(d) Code means the Internal Revenue Code of 1986 , as amended.", "ner": [[6, 10, "Act"]], "tokenized_text": ["(", "d", ")", "Code", "means", "the", "Internal", "Revenue", "Code", "of", "1986", ",", "as", "amended", "."]}
{"id": "16197", "text": "(g) Effective Date means July21, 2016 .", "ner": [[6, 8, "EffectiveDate"]], "tokenized_text": ["(", "g", ")", "Effective", "Date", "means", "July21", ",", "2016", "."]}
{"id": "16198", "text": "(i) A material diminution in the Executives responsibilities, duties, title, reporting responsibilities within the business organization, status, role or authority as Chief Executive Officer of the Corporation.", "ner": [[28, 30, "Role"]], "tokenized_text": ["(", "i", ")", "A", "material", "diminution", "in", "the", "Executives", "responsibilities", ",", "duties", ",", "title", ",", "reporting", "responsibilities", "within", "the", "business", "organization", ",", "status", ",", "role", "or", "authority", "as", "Chief", "Executive", "Officer", "of", "the", "Corporation", "."]}
{"id": "16199", "text": "(iv) Removal from, or failure to re-elect, the Executive to the position of Chief Executive Officer .", "ner": [[17, 19, "Role"]], "tokenized_text": ["(", "iv", ")", "Removal", "from", ",", "or", "failure", "to", "re-elect", ",", "the", "Executive", "to", "the", "position", "of", "Chief", "Executive", "Officer", "."]}
{"id": "12200", "text": "2\\. EMPLOYMENT; DUTIES. Subject to the terms and conditions set forth in this Agreement, the Corporation shall employ the Executive as President and Chief Executive Officer of the Corporation. Subject to the yearly election by the Board of Directors in the exercise of its judgment, it is contemplated that the Executive will continue to be elected to the positions of President and Chief Executive Officer . The Board may appoint another individual as President of the Corporation from time to time. As Chief Executive Officer , the Executive will have all of the duties, responsibilities and authority commensurate with the position in companies of similar size and type and such other duties, not inconsistent with his position, as assigned to him by the Board from time to time, subject also at all times to the control of the Board. All employees and independent contractors shall report to Executive or his designee, provided that as necessary for governance purposes the Chief Financial Officer, the General Counsel and the audit staff may also report to the Board or a Committee thereof. The Executive shall report directly to the Board, which shall have general control of the business of the Corporation. The Executive agrees to perform his duties and discharge his responsibilities in a faithful manner and to the best of his ability and to use all reasonable efforts to promote the interests of the Corporation. The Executive may not engage in other gainful employment except with the prior consent of the Board of Directors of the Corporation. With the prior consent of the Board of Directors of the Corporation, the Executive may become a director, trustee or other fiduciary of other corporations, trusts or entities. Notwithstanding the foregoing, the Executive may manage his passive investments, including by acting as trustee for any trust formed for the benefit of himself, his spouse, their respective parents and his lineal descendants, and be involved in charitable, civic and religious interests so long as they do not materially interfere with the performance of the Executives duties hereunder.", "ner": [[26, 26, "Role"], [28, 30, "Role"], [42, 44, "Role"], [69, 71, "Role"], [90, 92, "Role"], [173, 175, "Role"], [178, 179, "Role"]], "tokenized_text": ["2", "\\", ".", "EMPLOYMENT", ";", "DUTIES", ".", "Subject", "to", "the", "terms", "and", "conditions", "set", "forth", "in", "this", "Agreement", ",", "the", "Corporation", "shall", "employ", "the", "Executive", "as", "President", "and", "Chief", "Executive", "Officer", "of", "the", "Corporation", ".", "Subject", "to", "the", "yearly", "election", "by", "the", "Board", "of", "Directors", "in", "the", "exercise", "of", "its", "judgment", ",", "it", "is", "contemplated", "that", "the", "Executive", "will", "continue", "to", "be", "elected", "to", "the", "positions", "of", "President", "and", "Chief", "Executive", "Officer", ".", "The", "Board", "may", "appoint", "another", "individual", "as", "President", "of", "the", "Corporation", "from", "time", "to", "time", ".", "As", "Chief", "Executive", "Officer", ",", "the", "Executive", "will", "have", "all", "of", "the", "duties", ",", "responsibilities", "and", "authority", "commensurate", "with", "the", "position", "in", "companies", "of", "similar", "size", "and", "type", "and", "such", "other", "duties", ",", "not", "inconsistent", "with", "his", "position", ",", "as", "assigned", "to", "him", "by", "the", "Board", "from", "time", "to", "time", ",", "subject", "also", "at", "all", "times", "to", "the", "control", "of", "the", "Board", ".", "All", "employees", "and", "independent", "contractors", "shall", "report", "to", "Executive", "or", "his", "designee", ",", "provided", "that", "as", "necessary", "for", "governance", "purposes", "the", "Chief", "Financial", "Officer", ",", "the", "General", "Counsel", "and", "the", "audit", "staff", "may", "also", "report", "to", "the", "Board", "or", "a", "Committee", "thereof", ".", "The", "Executive", "shall", "report", "directly", "to", "the", "Board", ",", "which", "shall", "have", "general", "control", "of", "the", "business", "of", "the", "Corporation", ".", "The", "Executive", "agrees", "to", "perform", "his", "duties", "and", "discharge", "his", "responsibilities", "in", "a", "faithful", "manner", "and", "to", "the", "best", "of", "his", "ability", "and", "to", "use", "all", "reasonable", "efforts", "to", "promote", "the", "interests", "of", "the", "Corporation", ".", "The", "Executive", "may", "not", "engage", "in", "other", "gainful", "employment", "except", "with", "the", "prior", "consent", "of", "the", "Board", "of", "Directors", "of", "the", "Corporation", ".", "With", "the", "prior", "consent", "of", "the", "Board", "of", "Directors", "of", "the", "Corporation", ",", "the", "Executive", "may", "become", "a", "director", ",", "trustee", "or", "other", "fiduciary", "of", "other", "corporations", ",", "trusts", "or", "entities", ".", "Notwithstanding", "the", "foregoing", ",", "the", "Executive", "may", "manage", "his", "passive", "investments", ",", "including", "by", "acting", "as", "trustee", "for", "any", "trust", "formed", "for", "the", "benefit", "of", "himself", ",", "his", "spouse", ",", "their", "respective", "parents", "and", "his", "lineal", "descendants", ",", "and", "be", "involved", "in", "charitable", ",", "civic", "and", "religious", "interests", "so", "long", "as", "they", "do", "not", "materially", "interfere", "with", "the", "performance", "of", "the", "Executives", "duties", "hereunder", "."]}
{"id": "15202", "text": "8\\. INDEMNIFICATION. The Corporation agrees that if the Executive is made a party, or is threatened to be made a party, to any action, suit or proceeding, whether civil, criminal, administrative or investigative (a Proceeding), by reason of the fact that he is or was a director, officer or employee of the Corporation or is or was serving at the request of the Corporation as a director, officer, member, employee or agent of another corporation, partnership, joint venture, trust or other enterprise, including service with respect to employee benefit plans, whether or not the basis of such Proceeding is the Executives alleged action in an official capacity while serving as a director, officer, member, employee or agent, the Executive shall be indemnified and held harmless by the Corporation to the fullest extent legally permitted or authorized by the Corporations certificate of incorporation or bylaws or resolutions of the Corporations Board of Directors or, if greater, by the laws of the State of New York , against all cost, expense, liability and loss (including, without limitation, attorneys fees, judgments, fines, ERISA excise taxes or penalties and amounts paid or to be paid in settlement) reasonably incurred or suffered by the Executive in connection therewith, and such indemnification shall continue as to the Executives heirs, executors and administrators.", "ner": [[164, 166, "Title"], [187, 190, "Court"]], "tokenized_text": ["8", "\\", ".", "INDEMNIFICATION", ".", "The", "Corporation", "agrees", "that", "if", "the", "Executive", "is", "made", "a", "party", ",", "or", "is", "threatened", "to", "be", "made", "a", "party", ",", "to", "any", "action", ",", "suit", "or", "proceeding", ",", "whether", "civil", ",", "criminal", ",", "administrative", "or", "investigative", "(", "a", "Proceeding", ")", ",", "by", "reason", "of", "the", "fact", "that", "he", "is", "or", "was", "a", "director", ",", "officer", "or", "employee", "of", "the", "Corporation", "or", "is", "or", "was", "serving", "at", "the", "request", "of", "the", "Corporation", "as", "a", "director", ",", "officer", ",", "member", ",", "employee", "or", "agent", "of", "another", "corporation", ",", "partnership", ",", "joint", "venture", ",", "trust", "or", "other", "enterprise", ",", "including", "service", "with", "respect", "to", "employee", "benefit", "plans", ",", "whether", "or", "not", "the", "basis", "of", "such", "Proceeding", "is", "the", "Executives", "alleged", "action", "in", "an", "official", "capacity", "while", "serving", "as", "a", "director", ",", "officer", ",", "member", ",", "employee", "or", "agent", ",", "the", "Executive", "shall", "be", "indemnified", "and", "held", "harmless", "by", "the", "Corporation", "to", "the", "fullest", "extent", "legally", "permitted", "or", "authorized", "by", "the", "Corporations", "certificate", "of", "incorporation", "or", "bylaws", "or", "resolutions", "of", "the", "Corporations", "Board", "of", "Directors", "or", ",", "if", "greater", ",", "by", "the", "laws", "of", "the", "State", "of", "New", "York", ",", "against", "all", "cost", ",", "expense", ",", "liability", "and", "loss", "(", "including", ",", "without", "limitation", ",", "attorneys", "fees", ",", "judgments", ",", "fines", ",", "ERISA", "excise", "taxes", "or", "penalties", "and", "amounts", "paid", "or", "to", "be", "paid", "in", "settlement", ")", "reasonably", "incurred", "or", "suffered", "by", "the", "Executive", "in", "connection", "therewith", ",", "and", "such", "indemnification", "shall", "continue", "as", "to", "the", "Executives", "heirs", ",", "executors", "and", "administrators", "."]}
{"id": "15204", "text": "Computer Task Group, Incorporated", "ner": [], "tokenized_text": ["Computer", "Task", "Group", ",", "Incorporated"]}
{"id": "16211", "text": "Company after the date hereof with respect to nonperformance of the payment obligations of the Company set forth in Section3 of the Agreement) or any other document or oral agreement relating to employment, compensation, benefits, severance or post-employment issues. Executive, for and on behalf of the Releasing Parties, hereby releases the Released Parties from any and all claims, demands, actions, or causes of action, whether known or unknown, arising from or related in any way to any employment of or past failure or refusal to employ Executive by the Company, or any other past claim that relates in any way to Executives employment, compensation, benefits, reemployment, or application for employment, with the exception of any claim Executive may have against the Company for enforcement of the Agreement. The matters released include, but are not limited to, any claims under federal, state or local laws, including the Age Discrimination in Employment Act ( ADEA) as amended by the Older Workers Benefit Protection Act ( OWBPA), any common law tort, contract or statutory claims, and any claims for attorneys fees and costs. Further, Executive, for and on behalf of the Releasing Parties, waives and releases the Released Parties from any claims that this Release was procured by fraud or signed under duress or coercion so as to make the Release not binding. Executive is not relying upon any representations by the Companys legal counsel in deciding to enter into this Release. Executive understands and agrees that by signing this Release Executive, for and on behalf of the Releasing Parties, is giving up the right to pursue any legal claims that Executive or the Releasing Parties may have against the Released Parties with respect to the claims released hereby. Provided, nothing in this provision of this Release shall be construed to prohibit Executive from challenging the validity of the ADEA release in this Section of the Release or from filing a charge or complaint with the Equal Employment Opportunity Commission or any state agency or from participating in any investigation or proceeding conducted by the Equal Employment Opportunity Commission or state agency. However, the Released Parties will assert all such claims have been released in a final binding settlement.", "ner": [[169, 173, "Act"], [181, 185, "Act"], [361, 364, "Parties"]], "tokenized_text": ["Company", "after", "the", "date", "hereof", "with", "respect", "to", "nonperformance", "of", "the", "payment", "obligations", "of", "the", "Company", "set", "forth", "in", "Section3", "of", "the", "Agreement", ")", "or", "any", "other", "document", "or", "oral", "agreement", "relating", "to", "employment", ",", "compensation", ",", "benefits", ",", "severance", "or", "post-employment", "issues", ".", "Executive", ",", "for", "and", "on", "behalf", "of", "the", "Releasing", "Parties", ",", "hereby", "releases", "the", "Released", "Parties", "from", "any", "and", "all", "claims", ",", "demands", ",", "actions", ",", "or", "causes", "of", "action", ",", "whether", "known", "or", "unknown", ",", "arising", "from", "or", "related", "in", "any", "way", "to", "any", "employment", "of", "or", "past", "failure", "or", "refusal", "to", "employ", "Executive", "by", "the", "Company", ",", "or", "any", "other", "past", "claim", "that", "relates", "in", "any", "way", "to", "Executives", "employment", ",", "compensation", ",", "benefits", ",", "reemployment", ",", "or", "application", "for", "employment", ",", "with", "the", "exception", "of", "any", "claim", "Executive", "may", "have", "against", "the", "Company", "for", "enforcement", "of", "the", "Agreement", ".", "The", "matters", "released", "include", ",", "but", "are", "not", "limited", "to", ",", "any", "claims", "under", "federal", ",", "state", "or", "local", "laws", ",", "including", "the", "Age", "Discrimination", "in", "Employment", "Act", "(", "ADEA", ")", "as", "amended", "by", "the", "Older", "Workers", "Benefit", "Protection", "Act", "(", "OWBPA", ")", ",", "any", "common", "law", "tort", ",", "contract", "or", "statutory", "claims", ",", "and", "any", "claims", "for", "attorneys", "fees", "and", "costs", ".", "Further", ",", "Executive", ",", "for", "and", "on", "behalf", "of", "the", "Releasing", "Parties", ",", "waives", "and", "releases", "the", "Released", "Parties", "from", "any", "claims", "that", "this", "Release", "was", "procured", "by", "fraud", "or", "signed", "under", "duress", "or", "coercion", "so", "as", "to", "make", "the", "Release", "not", "binding", ".", "Executive", "is", "not", "relying", "upon", "any", "representations", "by", "the", "Companys", "legal", "counsel", "in", "deciding", "to", "enter", "into", "this", "Release", ".", "Executive", "understands", "and", "agrees", "that", "by", "signing", "this", "Release", "Executive", ",", "for", "and", "on", "behalf", "of", "the", "Releasing", "Parties", ",", "is", "giving", "up", "the", "right", "to", "pursue", "any", "legal", "claims", "that", "Executive", "or", "the", "Releasing", "Parties", "may", "have", "against", "the", "Released", "Parties", "with", "respect", "to", "the", "claims", "released", "hereby", ".", "Provided", ",", "nothing", "in", "this", "provision", "of", "this", "Release", "shall", "be", "construed", "to", "prohibit", "Executive", "from", "challenging", "the", "validity", "of", "the", "ADEA", "release", "in", "this", "Section", "of", "the", "Release", "or", "from", "filing", "a", "charge", "or", "complaint", "with", "the", "Equal", "Employment", "Opportunity", "Commission", "or", "any", "state", "agency", "or", "from", "participating", "in", "any", "investigation", "or", "proceeding", "conducted", "by", "the", "Equal", "Employment", "Opportunity", "Commission", "or", "state", "agency", ".", "However", ",", "the", "Released", "Parties", "will", "assert", "all", "such", "claims", "have", "been", "released", "in", "a", "final", "binding", "settlement", "."]}
{"id": "16216", "text": "EX-10.4 6 exhibit10-4.htm EMPLOYMENT AGREEMENT OF BRIAN MORRIS", "ner": [[7, 8, "Title"]], "tokenized_text": ["EX-10", ".", "4", "6", "exhibit10-4", ".", "htm", "EMPLOYMENT", "AGREEMENT", "OF", "BRIAN", "MORRIS"]}
{"id": "15220", "text": "Klondex G&amp;S shall pay to the Employee an amount equal to the employee cost of employee and spouse coverage under the Anthem Medical, Anthem Dental and EyeMed Vision Plans (or any plans which replace these plans), on an after tax basis, regardless of whether or not the Employee has elected such coverage (the \"Other Compensation\"). The Other Compensation will be reviewed by the President from time to time.", "ner": [[28, 29, "Title"], [77, 77, "Role"]], "tokenized_text": ["Klondex", "G", "&", "amp", ";", "S", "shall", "pay", "to", "the", "Employee", "an", "amount", "equal", "to", "the", "employee", "cost", "of", "employee", "and", "spouse", "coverage", "under", "the", "Anthem", "Medical", ",", "Anthem", "Dental", "and", "EyeMed", "Vision", "Plans", "(", "or", "any", "plans", "which", "replace", "these", "plans", ")", ",", "on", "an", "after", "tax", "basis", ",", "regardless", "of", "whether", "or", "not", "the", "Employee", "has", "elected", "such", "coverage", "(", "the", "\"", "Other", "Compensation", "\"", ")", ".", "The", "Other", "Compensation", "will", "be", "reviewed", "by", "the", "President", "from", "time", "to", "time", "."]}
{"id": "16222", "text": "An amount equal to 4% of the Employee's monthly Base Salary (determined as of the Termination Date) multiplied by 12, provided that for each completed year of service (but not to exceed six years) measured from the Employee's Date of Hire, an additional amount equal to 4% of one month's base salary will be added. For greater certainty, in no circumstances shall the Employee be entitled to a Separation Payment that is more than the equivalent of a total of 18 months of the payments in paragraphs 5.4(a)(i),(ii),(iii) and (iv) above (i.e., 12 months plus an additional month for each of the first six years of completed of service from Employee's Date of Hire, up to a maximum of an additional 6 months). With respect to the calculation in paragraph 5.4(a)(iii), the target annual bonus amount shall be used without regard to the achievement of any corporate and personal targets established in connection with such target bonus amount.", "ner": [[4, 5, "Percentage"], [24, 24, "Ratio"]], "tokenized_text": ["An", "amount", "equal", "to", "4", "%", "of", "the", "Employee", "'", "s", "monthly", "Base", "Salary", "(", "determined", "as", "of", "the", "Termination", "Date", ")", "multiplied", "by", "12", ",", "provided", "that", "for", "each", "completed", "year", "of", "service", "(", "but", "not", "to", "exceed", "six", "years", ")", "measured", "from", "the", "Employee", "'", "s", "Date", "of", "Hire", ",", "an", "additional", "amount", "equal", "to", "4", "%", "of", "one", "month", "'", "s", "base", "salary", "will", "be", "added", ".", "For", "greater", "certainty", ",", "in", "no", "circumstances", "shall", "the", "Employee", "be", "entitled", "to", "a", "Separation", "Payment", "that", "is", "more", "than", "the", "equivalent", "of", "a", "total", "of", "18", "months", "of", "the", "payments", "in", "paragraphs", "5", ".", "4", "(", "a", ")", "(", "i", ")", ",", "(", "ii", ")", ",", "(", "iii", ")", "and", "(", "iv", ")", "above", "(", "i", ".", "e", ".", ",", "12", "months", "plus", "an", "additional", "month", "for", "each", "of", "the", "first", "six", "years", "of", "completed", "of", "service", "from", "Employee", "'", "s", "Date", "of", "Hire", ",", "up", "to", "a", "maximum", "of", "an", "additional", "6", "months", ")", ".", "With", "respect", "to", "the", "calculation", "in", "paragraph", "5", ".", "4", "(", "a", ")", "(", "iii", ")", ",", "the", "target", "annual", "bonus", "amount", "shall", "be", "used", "without", "regard", "to", "the", "achievement", "of", "any", "corporate", "and", "personal", "targets", "established", "in", "connection", "with", "such", "target", "bonus", "amount", "."]}
{"id": "15224", "text": "Applicable Law ---|--- This Agreement will be governed by and be construed in accordance with the Laws of the State of Nevada . Venue for any action brought by the parties to this Agreement will be in the courts of the State of Nevada .", "ner": [[25, 27, "Court"]], "tokenized_text": ["Applicable", "Law", "-", "-", "-", "|", "-", "-", "-", "This", "Agreement", "will", "be", "governed", "by", "and", "be", "construed", "in", "accordance", "with", "the", "Laws", "of", "the", "State", "of", "Nevada", ".", "Venue", "for", "any", "action", "brought", "by", "the", "parties", "to", "this", "Agreement", "will", "be", "in", "the", "courts", "of", "the", "State", "of", "Nevada", "."]}
{"id": "16225", "text": "/s/ Brian Morris | | /s/ Barry Dahl ---|---|--- BRIAN MORRIS | | Witness Signature | | January 28, 2016 | | Barry Dahl Date Signed | | Witness Name | | | | | | [REDACTED] | | Witness Address", "ner": [[3, 4, "Parties"], [10, 11, "Parties"], [23, 24, "Parties"], [31, 34, "EffectiveDate"]], "tokenized_text": ["/", "s", "/", "Brian", "Morris", "|", "|", "/", "s", "/", "Barry", "Dahl", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "BRIAN", "MORRIS", "|", "|", "Witness", "Signature", "|", "|", "January", "28", ",", "2016", "|", "|", "Barry", "Dahl", "Date", "Signed", "|", "|", "Witness", "Name", "|", "|", "|", "|", "|", "|", "[", "REDACTED", "]", "|", "|", "Witness", "Address"]}
{"id": "16227", "text": "In consideration of the promises set forth in the Employment Agreement between the Employee and the Company, effective March 1, 2015 (the \"Employment Agreement\"), the Employee and the Company agree as follows:", "ner": [[9, 10, "Title"], [16, 16, "Parties"], [19, 22, "EffectiveDate"]], "tokenized_text": ["In", "consideration", "of", "the", "promises", "set", "forth", "in", "the", "Employment", "Agreement", "between", "the", "Employee", "and", "the", "Company", ",", "effective", "March", "1", ",", "2015", "(", "the", "\"", "Employment", "Agreement", "\"", ")", ",", "the", "Employee", "and", "the", "Company", "agree", "as", "follows", ":"]}
{"id": "16228", "text": "(b) Specific Release of ADEA Claims. In further consideration of the payments and benefits provided to the Employee under the Employment Agreement, the Releasors hereby unconditionally release and forever discharge the Releasees from any and all Claims that the Releasors may have as of the date the Employee signs this Release arising under the federal Age Discrimination in Employment Act of 1967 , as amended, and the applicable rules and regulations promulgated thereunder (\"ADEA\"). By signing this Release, the Employee hereby acknowledges and confirms the following: (i) the Employee was advised by the Company in connection with his termination to consult with an attorney of his choice prior to signing this Release and to have such attorney explain to the Employee the terms of this Release, including, without limitation, the terms relating to the Employee's release of claims arising under; (ii) the Employee was given a period of not fewer than [21]/[45] days to consider the terms of this Release and to consult with an attorney of his choosing with respect thereto; (iii) the Employee knowingly and voluntarily accepts the terms of this Release; [and (iv) in accordance with the requirements of ADEA regarding an \"employment termination program\", the Employee was provided with the information appended hereto as Schedule 1]. The Employee also understands that he has seven (7) days following the date on which he signs this Release within which to revoke the release contained in this paragraph, by providing the Company a written notice of his revocation of the release and waiver contained in this paragraph.", "ner": [[6, 6, "Act"], [23, 24, "Title"], [59, 65, "Act"]], "tokenized_text": ["(", "b", ")", "Specific", "Release", "of", "ADEA", "Claims", ".", "In", "further", "consideration", "of", "the", "payments", "and", "benefits", "provided", "to", "the", "Employee", "under", "the", "Employment", "Agreement", ",", "the", "Releasors", "hereby", "unconditionally", "release", "and", "forever", "discharge", "the", "Releasees", "from", "any", "and", "all", "Claims", "that", "the", "Releasors", "may", "have", "as", "of", "the", "date", "the", "Employee", "signs", "this", "Release", "arising", "under", "the", "federal", "Age", "Discrimination", "in", "Employment", "Act", "of", "1967", ",", "as", "amended", ",", "and", "the", "applicable", "rules", "and", "regulations", "promulgated", "thereunder", "(", "\"", "ADEA", "\"", ")", ".", "By", "signing", "this", "Release", ",", "the", "Employee", "hereby", "acknowledges", "and", "confirms", "the", "following", ":", "(", "i", ")", "the", "Employee", "was", "advised", "by", "the", "Company", "in", "connection", "with", "his", "termination", "to", "consult", "with", "an", "attorney", "of", "his", "choice", "prior", "to", "signing", "this", "Release", "and", "to", "have", "such", "attorney", "explain", "to", "the", "Employee", "the", "terms", "of", "this", "Release", ",", "including", ",", "without", "limitation", ",", "the", "terms", "relating", "to", "the", "Employee", "'", "s", "release", "of", "claims", "arising", "under", ";", "(", "ii", ")", "the", "Employee", "was", "given", "a", "period", "of", "not", "fewer", "than", "[", "21", "]", "/", "[", "45", "]", "days", "to", "consider", "the", "terms", "of", "this", "Release", "and", "to", "consult", "with", "an", "attorney", "of", "his", "choosing", "with", "respect", "thereto", ";", "(", "iii", ")", "the", "Employee", "knowingly", "and", "voluntarily", "accepts", "the", "terms", "of", "this", "Release", ";", "[", "and", "(", "iv", ")", "in", "accordance", "with", "the", "requirements", "of", "ADEA", "regarding", "an", "\"", "employment", "termination", "program", "\"", ",", "the", "Employee", "was", "provided", "with", "the", "information", "appended", "hereto", "as", "Schedule", "1", "]", ".", "The", "Employee", "also", "understands", "that", "he", "has", "seven", "(", "7", ")", "days", "following", "the", "date", "on", "which", "he", "signs", "this", "Release", "within", "which", "to", "revoke", "the", "release", "contained", "in", "this", "paragraph", ",", "by", "providing", "the", "Company", "a", "written", "notice", "of", "his", "revocation", "of", "the", "release", "and", "waiver", "contained", "in", "this", "paragraph", "."]}
{"id": "16230", "text": "Any determination of a Termination for Cause under this Agreement shall be made by resolution adopted by at least a two-thirds ( 2/3 ) vote of the Board at a meeting called and held for that purpose. Executive shall be provided with reasonable notice of such meeting and shall be given the opportunity to be heard, with the presence of counsel, prior to such vote being taken by the Board.", "ner": [[20, 25, "Ratio"]], "tokenized_text": ["Any", "determination", "of", "a", "Termination", "for", "Cause", "under", "this", "Agreement", "shall", "be", "made", "by", "resolution", "adopted", "by", "at", "least", "a", "two-thirds", "(", "2", "/", "3", ")", "vote", "of", "the", "Board", "at", "a", "meeting", "called", "and", "held", "for", "that", "purpose", ".", "Executive", "shall", "be", "provided", "with", "reasonable", "notice", "of", "such", "meeting", "and", "shall", "be", "given", "the", "opportunity", "to", "be", "heard", ",", "with", "the", "presence", "of", "counsel", ",", "prior", "to", "such", "vote", "being", "taken", "by", "the", "Board", "."]}
{"id": "15231", "text": "a payment equal to the product of (i) the Annual Bonus, if any, that the Executive would have earned for the fiscal year in which the Termination Date (as determined in accordance with Section 5.6) occurs based on achievement of the applicable performance goals for such year and (ii) a fraction, the numerator of which is the number of days the Executive was employed by the Company during the year of termination and the denominator of which is the number of days in such year (the \"Pro-Rata Bonus\"). This amount shall be paid on the date that annual bonuses are paid to similarly situated executives, but in no event later than two-and-a-half ( 2 1/2 ) months following the end of the fiscal year in which the Termination Date occurs; ---|--- * * *", "ner": [[130, 133, "Ratio"]], "tokenized_text": ["a", "payment", "equal", "to", "the", "product", "of", "(", "i", ")", "the", "Annual", "Bonus", ",", "if", "any", ",", "that", "the", "Executive", "would", "have", "earned", "for", "the", "fiscal", "year", "in", "which", "the", "Termination", "Date", "(", "as", "determined", "in", "accordance", "with", "Section", "5", ".", "6", ")", "occurs", "based", "on", "achievement", "of", "the", "applicable", "performance", "goals", "for", "such", "year", "and", "(", "ii", ")", "a", "fraction", ",", "the", "numerator", "of", "which", "is", "the", "number", "of", "days", "the", "Executive", "was", "employed", "by", "the", "Company", "during", "the", "year", "of", "termination", "and", "the", "denominator", "of", "which", "is", "the", "number", "of", "days", "in", "such", "year", "(", "the", "\"", "Pro-Rata", "Bonus", "\"", ")", ".", "This", "amount", "shall", "be", "paid", "on", "the", "date", "that", "annual", "bonuses", "are", "paid", "to", "similarly", "situated", "executives", ",", "but", "in", "no", "event", "later", "than", "two-and-a-half", "(", "2", "1", "/", "2", ")", "months", "following", "the", "end", "of", "the", "fiscal", "year", "in", "which", "the", "Termination", "Date", "occurs", ";", "-", "-", "-", "|", "-", "-", "-", "*", "*", "*"]}
{"id": "15232", "text": "(b) For each year of the Employment Term the Company shall issue to the Executive an annual stock bonus (the Annual Stock Bonus and together with the Annual Cash Bonus, the Annual Bonuses) equal to the amount of restricted shares of the Companys common stock, par value $0.015 (Common Stock) obtained by dividing $200,000 by the 30-day trading average of the Common Stock prior to the payment date.", "ner": [[53, 56, "Price"], [64, 67, "Salary"]], "tokenized_text": ["(", "b", ")", "For", "each", "year", "of", "the", "Employment", "Term", "the", "Company", "shall", "issue", "to", "the", "Executive", "an", "annual", "stock", "bonus", "(", "the", "Annual", "Stock", "Bonus", "and", "together", "with", "the", "Annual", "Cash", "Bonus", ",", "the", "Annual", "Bonuses", ")", "equal", "to", "the", "amount", "of", "restricted", "shares", "of", "the", "Companys", "common", "stock", ",", "par", "value", "$", "0", ".", "015", "(", "Common", "Stock", ")", "obtained", "by", "dividing", "$", "200", ",", "000", "by", "the", "30-day", "trading", "average", "of", "the", "Common", "Stock", "prior", "to", "the", "payment", "date", "."]}
{"id": "16234", "text": "WHEREAS, the parties desire that, upon the terms and subject to the conditions contained herein, the Company shall issue and sell to the Investor, from time to time as provided herein, and the Investor shall purchase up to Two Million Dollars ( $2,000,000.00 ) of the Companys Common Stock (as defined below);", "ner": [[47, 54, "Principal"]], "tokenized_text": ["WHEREAS", ",", "the", "parties", "desire", "that", ",", "upon", "the", "terms", "and", "subject", "to", "the", "conditions", "contained", "herein", ",", "the", "Company", "shall", "issue", "and", "sell", "to", "the", "Investor", ",", "from", "time", "to", "time", "as", "provided", "herein", ",", "and", "the", "Investor", "shall", "purchase", "up", "to", "Two", "Million", "Dollars", "(", "$", "2", ",", "000", ",", "000", ".", "00", ")", "of", "the", "Companys", "Common", "Stock", "(", "as", "defined", "below", ")", ";"]}
{"id": "16238", "text": "Maximum Commitment Amount shall mean Two Million Dollars ( $2,000,000.00 ).", "ner": [[9, 16, "Principal"]], "tokenized_text": ["Maximum", "Commitment", "Amount", "shall", "mean", "Two", "Million", "Dollars", "(", "$", "2", ",", "000", ",", "000", ".", "00", ")", "."]}
{"id": "16240", "text": "Rule 144 shall mean Rule 144 under the Securities Act or any similar provision then in force under the Securities Act.&lt; br/&gt;", "ner": [[0, 1, "Regulation"], [8, 9, "Act"]], "tokenized_text": ["Rule", "144", "shall", "mean", "Rule", "144", "under", "the", "Securities", "Act", "or", "any", "similar", "provision", "then", "in", "force", "under", "the", "Securities", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "16242", "text": "Short Sales shall mean all short sales as defined in Rule 200 of Regulation SHO under the Exchange Act.&lt; br/&gt;", "ner": [[10, 11, "Regulation"], [13, 14, "Regulation"], [17, 18, "Act"]], "tokenized_text": ["Short", "Sales", "shall", "mean", "all", "short", "sales", "as", "defined", "in", "Rule", "200", "of", "Regulation", "SHO", "under", "the", "Exchange", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "16243", "text": "Section 4.3 CAPITALIZATION. As of the date hereof, the authorized capital stock of the Company consists of (a) 200,000,000 shares of Common Stock, par value of $0.0001 per share, of which approximately 105,072,899 shares of Common Stock are issued and outstanding and (b) 15,000,000 shares of preferred stock of which 409,500 shares are issued and outstanding. Except as set forth on Schedule 4.3, the Company has not issued any capital stock since its most recently filed periodic report under the Exchange Act, other than pursuant to the exercise of employee stock options under the Companys stock option plans, the issuance of shares of Common Stock to employees pursuant to the Companys employee stock purchase plans and pursuant to the conversion and/or exercise of Common Stock Equivalents outstanding as of the date of the most recently filed periodic report under the Exchange Act. No Person has any right of first refusal, preemptive right, right of participation, or any similar right to participate in the transactions contemplated by the Transaction Documents. Except as set forth on Schedule 4.3 and except as a result of the purchase and sale of the Securities, there are no outstanding options, warrants, scrip rights to subscribe to, calls or commitments of any character whatsoever relating to, or securities, rights or obligations convertible into or exercisable or exchangeable for, or giving any Person any right to subscribe for or acquire any shares of Common Stock, or contracts, commitments, understandings or arrangements by which the Company or any Subsidiary is or may become bound to issue additional shares of Common Stock or Common Stock Equivalents. The issuance and sale of the Securities will not obligate the Company to issue shares of Common Stock or other securities to any Person (other than the Investor) and will not result in a right of any holder of Company securities to adjust the exercise, conversion, exchange or reset price under any of such securities. There are no stockholders agreements, voting agreements or other similar agreements with respect to the Companys capital stock to which the Company is a party or, to the knowledge of the Company, between or among any of the Companys stockholders.", "ner": [[24, 28, "Shares"], [37, 40, "Price"], [47, 51, "Shares"], [64, 68, "Shares"], [75, 77, "Shares"], [111, 112, "Act"], [385, 386, "Title"]], "tokenized_text": ["Section", "4", ".", "3", "CAPITALIZATION", ".", "As", "of", "the", "date", "hereof", ",", "the", "authorized", "capital", "stock", "of", "the", "Company", "consists", "of", "(", "a", ")", "200", ",", "000", ",", "000", "shares", "of", "Common", "Stock", ",", "par", "value", "of", "$", "0", ".", "0001", "per", "share", ",", "of", "which", "approximately", "105", ",", "072", ",", "899", "shares", "of", "Common", "Stock", "are", "issued", "and", "outstanding", "and", "(", "b", ")", "15", ",", "000", ",", "000", "shares", "of", "preferred", "stock", "of", "which", "409", ",", "500", "shares", "are", "issued", "and", "outstanding", ".", "Except", "as", "set", "forth", "on", "Schedule", "4", ".", "3", ",", "the", "Company", "has", "not", "issued", "any", "capital", "stock", "since", "its", "most", "recently", "filed", "periodic", "report", "under", "the", "Exchange", "Act", ",", "other", "than", "pursuant", "to", "the", "exercise", "of", "employee", "stock", "options", "under", "the", "Companys", "stock", "option", "plans", ",", "the", "issuance", "of", "shares", "of", "Common", "Stock", "to", "employees", "pursuant", "to", "the", "Companys", "employee", "stock", "purchase", "plans", "and", "pursuant", "to", "the", "conversion", "and", "/", "or", "exercise", "of", "Common", "Stock", "Equivalents", "outstanding", "as", "of", "the", "date", "of", "the", "most", "recently", "filed", "periodic", "report", "under", "the", "Exchange", "Act", ".", "No", "Person", "has", "any", "right", "of", "first", "refusal", ",", "preemptive", "right", ",", "right", "of", "participation", ",", "or", "any", "similar", "right", "to", "participate", "in", "the", "transactions", "contemplated", "by", "the", "Transaction", "Documents", ".", "Except", "as", "set", "forth", "on", "Schedule", "4", ".", "3", "and", "except", "as", "a", "result", "of", "the", "purchase", "and", "sale", "of", "the", "Securities", ",", "there", "are", "no", "outstanding", "options", ",", "warrants", ",", "scrip", "rights", "to", "subscribe", "to", ",", "calls", "or", "commitments", "of", "any", "character", "whatsoever", "relating", "to", ",", "or", "securities", ",", "rights", "or", "obligations", "convertible", "into", "or", "exercisable", "or", "exchangeable", "for", ",", "or", "giving", "any", "Person", "any", "right", "to", "subscribe", "for", "or", "acquire", "any", "shares", "of", "Common", "Stock", ",", "or", "contracts", ",", "commitments", ",", "understandings", "or", "arrangements", "by", "which", "the", "Company", "or", "any", "Subsidiary", "is", "or", "may", "become", "bound", "to", "issue", "additional", "shares", "of", "Common", "Stock", "or", "Common", "Stock", "Equivalents", ".", "The", "issuance", "and", "sale", "of", "the", "Securities", "will", "not", "obligate", "the", "Company", "to", "issue", "shares", "of", "Common", "Stock", "or", "other", "securities", "to", "any", "Person", "(", "other", "than", "the", "Investor", ")", "and", "will", "not", "result", "in", "a", "right", "of", "any", "holder", "of", "Company", "securities", "to", "adjust", "the", "exercise", ",", "conversion", ",", "exchange", "or", "reset", "price", "under", "any", "of", "such", "securities", ".", "There", "are", "no", "stockholders", "agreements", ",", "voting", "agreements", "or", "other", "similar", "agreements", "with", "respect", "to", "the", "Companys", "capital", "stock", "to", "which", "the", "Company", "is", "a", "party", "or", ",", "to", "the", "knowledge", "of", "the", "Company", ",", "between", "or", "among", "any", "of", "the", "Companys", "stockholders", "."]}
{"id": "15246", "text": "Los Angeles, CA 90036", "ner": [[0, 4, "Address"]], "tokenized_text": ["Los", "Angeles", ",", "CA", "90036"]}
{"id": "15248", "text": "260 Newport Center Drive", "ner": [[0, 3, "Address"]], "tokenized_text": ["260", "Newport", "Center", "Drive"]}
{"id": "16250", "text": "Section 9.2 INDEMNIFICATION. Each party (an Indemnifying Party) agrees to indemnify and hold harmless the other party along with its officers, directors, employees, and authorized agents, and each Person or entity, if any, who controls such party within the meaning of Section 15 of the Securities Act or Section 20 of the Exchange Act ( an Indemnified Party) from and against any Damages, joint or several, and any action in respect thereof to which the Indemnified Party becomes subject to, resulting from, arising out of or relating to (i) any misrepresentation, breach of warranty or nonfulfillment of or failure to perform any covenant or agreement on the part of the Indemnifying Party contained in this Agreement, (ii) any untrue statement or alleged untrue statement of a material fact contained in the Registration Statement or any post-effective amendment thereof or supplement thereto, or the omission or alleged omission therefrom of a material fact required to be stated therein or necessary to make the statements therein not misleading, (iii) any untrue statement or alleged untrue statement of a material fact contained in any preliminary prospectus or contained in the final prospectus (as amended or supplemented, if the Company files any amendment thereof or supplement thereto with the SEC) or the omission or alleged omission to state therein any material fact necessary to make the statements made therein, in the light of the circumstances under which the statements therein were made, not misleading, or (iv) any violation or alleged violation by the Company of the Securities Act, the Exchange Act, any state securities law or any rule or regulation under the Securities Act, the Exchange Act or any state securities law, as such Damages are incurred, except to the extent such Damages result primarily from the Indemnified Partys failure to perform any covenant or agreement contained in this Agreement or the Indemnified Partys negligence, recklessness or bad faith in performing its obligations under this Agreement; provided, however, that the foregoing indemnity agreement shall not apply to any Damages of an Indemnified Party to the extent, but only to the extent, arising out of or based upon any untrue statement or alleged untrue statement or omission or alleged omission made by an Indemnifying Party in reliance upon and in conformity with written information furnished to the Indemnifying Party by the Indemnified Party expressly for use in the Registration Statement, any post-effective amendment thereof or supplement thereto, or any preliminary prospectus or final prospectus (as amended or supplemented).", "ner": [[52, 53, "Regulation"], [56, 57, "Act"], [63, 64, "Act"], [370, 371, "Title"]], "tokenized_text": ["Section", "9", ".", "2", "INDEMNIFICATION", ".", "Each", "party", "(", "an", "Indemnifying", "Party", ")", "agrees", "to", "indemnify", "and", "hold", "harmless", "the", "other", "party", "along", "with", "its", "officers", ",", "directors", ",", "employees", ",", "and", "authorized", "agents", ",", "and", "each", "Person", "or", "entity", ",", "if", "any", ",", "who", "controls", "such", "party", "within", "the", "meaning", "of", "Section", "15", "of", "the", "Securities", "Act", "or", "Section", "20", "of", "the", "Exchange", "Act", "(", "an", "Indemnified", "Party", ")", "from", "and", "against", "any", "Damages", ",", "joint", "or", "several", ",", "and", "any", "action", "in", "respect", "thereof", "to", "which", "the", "Indemnified", "Party", "becomes", "subject", "to", ",", "resulting", "from", ",", "arising", "out", "of", "or", "relating", "to", "(", "i", ")", "any", "misrepresentation", ",", "breach", "of", "warranty", "or", "nonfulfillment", "of", "or", "failure", "to", "perform", "any", "covenant", "or", "agreement", "on", "the", "part", "of", "the", "Indemnifying", "Party", "contained", "in", "this", "Agreement", ",", "(", "ii", ")", "any", "untrue", "statement", "or", "alleged", "untrue", "statement", "of", "a", "material", "fact", "contained", "in", "the", "Registration", "Statement", "or", "any", "post-effective", "amendment", "thereof", "or", "supplement", "thereto", ",", "or", "the", "omission", "or", "alleged", "omission", "therefrom", "of", "a", "material", "fact", "required", "to", "be", "stated", "therein", "or", "necessary", "to", "make", "the", "statements", "therein", "not", "misleading", ",", "(", "iii", ")", "any", "untrue", "statement", "or", "alleged", "untrue", "statement", "of", "a", "material", "fact", "contained", "in", "any", "preliminary", "prospectus", "or", "contained", "in", "the", "final", "prospectus", "(", "as", "amended", "or", "supplemented", ",", "if", "the", "Company", "files", "any", "amendment", "thereof", "or", "supplement", "thereto", "with", "the", "SEC", ")", "or", "the", "omission", "or", "alleged", "omission", "to", "state", "therein", "any", "material", "fact", "necessary", "to", "make", "the", "statements", "made", "therein", ",", "in", "the", "light", "of", "the", "circumstances", "under", "which", "the", "statements", "therein", "were", "made", ",", "not", "misleading", ",", "or", "(", "iv", ")", "any", "violation", "or", "alleged", "violation", "by", "the", "Company", "of", "the", "Securities", "Act", ",", "the", "Exchange", "Act", ",", "any", "state", "securities", "law", "or", "any", "rule", "or", "regulation", "under", "the", "Securities", "Act", ",", "the", "Exchange", "Act", "or", "any", "state", "securities", "law", ",", "as", "such", "Damages", "are", "incurred", ",", "except", "to", "the", "extent", "such", "Damages", "result", "primarily", "from", "the", "Indemnified", "Partys", "failure", "to", "perform", "any", "covenant", "or", "agreement", "contained", "in", "this", "Agreement", "or", "the", "Indemnified", "Partys", "negligence", ",", "recklessness", "or", "bad", "faith", "in", "performing", "its", "obligations", "under", "this", "Agreement", ";", "provided", ",", "however", ",", "that", "the", "foregoing", "indemnity", "agreement", "shall", "not", "apply", "to", "any", "Damages", "of", "an", "Indemnified", "Party", "to", "the", "extent", ",", "but", "only", "to", "the", "extent", ",", "arising", "out", "of", "or", "based", "upon", "any", "untrue", "statement", "or", "alleged", "untrue", "statement", "or", "omission", "or", "alleged", "omission", "made", "by", "an", "Indemnifying", "Party", "in", "reliance", "upon", "and", "in", "conformity", "with", "written", "information", "furnished", "to", "the", "Indemnifying", "Party", "by", "the", "Indemnified", "Party", "expressly", "for", "use", "in", "the", "Registration", "Statement", ",", "any", "post-effective", "amendment", "thereof", "or", "supplement", "thereto", ",", "or", "any", "preliminary", "prospectus", "or", "final", "prospectus", "(", "as", "amended", "or", "supplemented", ")", "."]}
{"id": "16251", "text": "Section 10.1 GOVERNING LAW; JURISDICTION. This Agreement shall be governed by and interpreted in accordance with the laws of the State of Nevada without regard to the principles of conflicts of law. Each of the Company and the Investor hereby submits to the exclusive jurisdiction of the United States federal and state courts located in Kansas, County of Johnson, with respect to any dispute arising under the Transaction Documents or the transactions contemplated thereby.", "ner": [[24, 26, "Court"], [60, 64, "Court"]], "tokenized_text": ["Section", "10", ".", "1", "GOVERNING", "LAW", ";", "JURISDICTION", ".", "This", "Agreement", "shall", "be", "governed", "by", "and", "interpreted", "in", "accordance", "with", "the", "laws", "of", "the", "State", "of", "Nevada", "without", "regard", "to", "the", "principles", "of", "conflicts", "of", "law", ".", "Each", "of", "the", "Company", "and", "the", "Investor", "hereby", "submits", "to", "the", "exclusive", "jurisdiction", "of", "the", "United", "States", "federal", "and", "state", "courts", "located", "in", "Kansas", ",", "County", "of", "Johnson", ",", "with", "respect", "to", "any", "dispute", "arising", "under", "the", "Transaction", "Documents", "or", "the", "transactions", "contemplated", "thereby", "."]}
{"id": "16254", "text": "TO: KODIAK CAPITAL GROUP, LLC", "ner": [[2, 6, "Parties"]], "tokenized_text": ["TO", ":", "KODIAK", "CAPITAL", "GROUP", ",", "LLC"]}
{"id": "16263", "text": "4.3 Capitalization. The capital stock of Ninebell outstanding as of the date hereof consists, and as of immediately prior to the Closing will consist, of 80,000 Ninebell Ordinary Shares, all of which are and will be held of record and beneficially by Shareholder. When issued and delivered in accordance with the terms of this Agreement, the Shares will be validly issued, fully paid and non-assessable and free of restrictions on transfer other than restrictions created by or imposed by this Agreement.", "ner": [[30, 32, "Shares"]], "tokenized_text": ["4", ".", "3", "Capitalization", ".", "The", "capital", "stock", "of", "Ninebell", "outstanding", "as", "of", "the", "date", "hereof", "consists", ",", "and", "as", "of", "immediately", "prior", "to", "the", "Closing", "will", "consist", ",", "of", "80", ",", "000", "Ninebell", "Ordinary", "Shares", ",", "all", "of", "which", "are", "and", "will", "be", "held", "of", "record", "and", "beneficially", "by", "Shareholder", ".", "When", "issued", "and", "delivered", "in", "accordance", "with", "the", "terms", "of", "this", "Agreement", ",", "the", "Shares", "will", "be", "validly", "issued", ",", "fully", "paid", "and", "non-assessable", "and", "free", "of", "restrictions", "on", "transfer", "other", "than", "restrictions", "created", "by", "or", "imposed", "by", "this", "Agreement", "."]}
{"id": "16265", "text": "5.5 Repurchase of Shares. In the event the Closing is completed but the Follow-On Closing (as defined in the Corollary Agreement) is not completed, ACM shall have the right, but not the obligation, to demand that Ninebell and/or Shareholder to purchase the Shares from ACM for an aggregate price of US$1,200,000 , provided that if the Follow-On Closing is not completed solely as the result of a material failure by ACM to perform its material obligations under the Corollary Agreement, then ACM shall have no such demand right and instead Ninebell shall have the right, but not the obligation, to require ACM to resell the Shares to Ninebell for an aggregate price of US$1,200,000 . In order to exercise its rights under this Section5.5, ACM or Ninebell (as the case may be) shall deliver written notice of such exercise to the other parties hereto in accordance with Section6.7, and the related repurchase and resale of the Shares shall occur on a mutually agreed date no later than seven days after delivery of such notice. The provisions of this Section5.5 shall terminate as of 5 p.m., Pacific daylight saving time, on June30, 2017.", "ner": [[23, 24, "Title"], [60, 66, "Principal"]], "tokenized_text": ["5", ".", "5", "Repurchase", "of", "Shares", ".", "In", "the", "event", "the", "Closing", "is", "completed", "but", "the", "Follow-On", "Closing", "(", "as", "defined", "in", "the", "Corollary", "Agreement", ")", "is", "not", "completed", ",", "ACM", "shall", "have", "the", "right", ",", "but", "not", "the", "obligation", ",", "to", "demand", "that", "Ninebell", "and", "/", "or", "Shareholder", "to", "purchase", "the", "Shares", "from", "ACM", "for", "an", "aggregate", "price", "of", "US", "$", "1", ",", "200", ",", "000", ",", "provided", "that", "if", "the", "Follow-On", "Closing", "is", "not", "completed", "solely", "as", "the", "result", "of", "a", "material", "failure", "by", "ACM", "to", "perform", "its", "material", "obligations", "under", "the", "Corollary", "Agreement", ",", "then", "ACM", "shall", "have", "no", "such", "demand", "right", "and", "instead", "Ninebell", "shall", "have", "the", "right", ",", "but", "not", "the", "obligation", ",", "to", "require", "ACM", "to", "resell", "the", "Shares", "to", "Ninebell", "for", "an", "aggregate", "price", "of", "US", "$", "1", ",", "200", ",", "000", ".", "In", "order", "to", "exercise", "its", "rights", "under", "this", "Section5", ".", "5", ",", "ACM", "or", "Ninebell", "(", "as", "the", "case", "may", "be", ")", "shall", "deliver", "written", "notice", "of", "such", "exercise", "to", "the", "other", "parties", "hereto", "in", "accordance", "with", "Section6", ".", "7", ",", "and", "the", "related", "repurchase", "and", "resale", "of", "the", "Shares", "shall", "occur", "on", "a", "mutually", "agreed", "date", "no", "later", "than", "seven", "days", "after", "delivery", "of", "such", "notice", ".", "The", "provisions", "of", "this", "Section5", ".", "5", "shall", "terminate", "as", "of", "5", "p", ".", "m", ".", ",", "Pacific", "daylight", "saving", "time", ",", "on", "June30", ",", "2017", "."]}
{"id": "16266", "text": "6.4 Governing Law. This Agreement and any controversy arising out of or relating to this Agreement shall be governed by and construed in accordance with the General Corporation Law of the State of Delaware .", "ner": [[34, 36, "Court"]], "tokenized_text": ["6", ".", "4", "Governing", "Law", ".", "This", "Agreement", "and", "any", "controversy", "arising", "out", "of", "or", "relating", "to", "this", "Agreement", "shall", "be", "governed", "by", "and", "construed", "in", "accordance", "with", "the", "General", "Corporation", "Law", "of", "the", "State", "of", "Delaware", "."]}
{"id": "16270", "text": "| | ---|---|--- MOON-SOO CHOI /s/ Moon-Soo Choi Address: | | C-104, Bundang Technopark | | 145 Yatap-Dong, Bundang-Gu | | Seongnam-Si | | Gyeonggi-Do, Korea, 463-760 Signature Page to Ordinary Share Purchase Agreement", "ner": [[13, 14, "Parties"], [18, 19, "Parties"], [24, 27, "Address"], [30, 33, "Address"], [36, 36, "Address"], [39, 43, "Address"]], "tokenized_text": ["|", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "MOON-SOO", "CHOI", "/", "s", "/", "Moon-Soo", "Choi", "Address", ":", "|", "|", "C-104", ",", "Bundang", "Technopark", "|", "|", "145", "Yatap-Dong", ",", "Bundang-Gu", "|", "|", "Seongnam-Si", "|", "|", "Gyeonggi-Do", ",", "Korea", ",", "463-760", "Signature", "Page", "to", "Ordinary", "Share", "Purchase", "Agreement"]}
{"id": "16271", "text": "ASSET-BASED REVOLVING CREDIT AGREEMENT", "ner": [[0, 3, "Title"]], "tokenized_text": ["ASSET-BASED", "REVOLVING", "CREDIT", "AGREEMENT"]}
{"id": "16272", "text": "Dated as of February 17, 2017 <sup> among", "ner": [[3, 6, "EffectiveDate"]], "tokenized_text": ["Dated", "as", "of", "February", "17", ",", "2017", "<", "sup", ">", "among"]}
{"id": "16273", "text": "Keane Group, Inc., as the Parent Guarantor Keane Group Holdings , LLC, as <sup> the Lead Borrower, and", "ner": [[0, 4, "Parties"], [10, 14, "Parties"]], "tokenized_text": ["Keane", "Group", ",", "Inc", ".", ",", "as", "the", "Parent", "Guarantor", "Keane", "Group", "Holdings", ",", "LLC", ",", "as", "<", "sup", ">", "the", "Lead", "Borrower", ",", "and"]}
{"id": "16274", "text": "Bank of America, N.A. , as Administrative Agent and Collateral Agent and The Lenders Party Hereto", "ner": [[0, 7, "Parties"]], "tokenized_text": ["Bank", "of", "America", ",", "N", ".", "A", ".", ",", "as", "Administrative", "Agent", "and", "Collateral", "Agent", "and", "The", "Lenders", "Party", "Hereto"]}
{"id": "15276", "text": "Citigroup Global Markets Inc . PNC Capital Markets LLC", "ner": [], "tokenized_text": ["Citigroup", "Global", "Markets", "Inc", ".", "PNC", "Capital", "Markets", "LLC"]}
{"id": "16278", "text": "5.01 | Existence, Qualification and Power | 97 ---|---|--- 5.02 | Authorization; No Contravention | 97 5.03 | Governmental Authorization; Other Consents | 98 5.04 | Binding Effect | 98 5.05 | Financial Statements; No Material Adverse Effect | 98 5.06 | Litigation | 99 5.07 | No Default | 99 5.08 | Ownership of Property; Liens | 99 5.09 | Environmental Compliance | 99 5.10 | Taxes | 100 5.11 | ERISA Compliance | 100 5.12 | Subsidiaries; Equity Interests | 101 5.13 | Margin Regulations; Investment Company Act | 101 5.14 | Disclosure | 101 5.15 | Compliance with Laws | 101 5.16 | Intellectual Property; Licenses, Etc. | 102 5.17 | Labor Matters | 102 5.18 | Security Documents | 102 5.19 | Solvency | 103 5.20 | Deposit Accounts | 103 5.21 | Material Contracts | 103 5.22 | USA PATRIOT Act Notice | 104 5.23 | Office of Foreign Assets Control | 104 5.24 | Use of Proceeds | 104 5.25 | Anti-Money Laundering | 104 5.26 | FCPA | 104 5.27 | Insurance | 104 5.28 | Borrowing Base Certificate | 105 5.29 | EEA Financial Institutions | 105 ARTICLE VI AFFIRMATIVE COVENANTS", "ner": [[127, 128, "Regulation"], [130, 132, "Act"], [207, 209, "Act"]], "tokenized_text": ["5", ".", "01", "|", "Existence", ",", "Qualification", "and", "Power", "|", "97", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "5", ".", "02", "|", "Authorization", ";", "No", "Contravention", "|", "97", "5", ".", "03", "|", "Governmental", "Authorization", ";", "Other", "Consents", "|", "98", "5", ".", "04", "|", "Binding", "Effect", "|", "98", "5", ".", "05", "|", "Financial", "Statements", ";", "No", "Material", "Adverse", "Effect", "|", "98", "5", ".", "06", "|", "Litigation", "|", "99", "5", ".", "07", "|", "No", "Default", "|", "99", "5", ".", "08", "|", "Ownership", "of", "Property", ";", "Liens", "|", "99", "5", ".", "09", "|", "Environmental", "Compliance", "|", "99", "5", ".", "10", "|", "Taxes", "|", "100", "5", ".", "11", "|", "ERISA", "Compliance", "|", "100", "5", ".", "12", "|", "Subsidiaries", ";", "Equity", "Interests", "|", "101", "5", ".", "13", "|", "Margin", "Regulations", ";", "Investment", "Company", "Act", "|", "101", "5", ".", "14", "|", "Disclosure", "|", "101", "5", ".", "15", "|", "Compliance", "with", "Laws", "|", "101", "5", ".", "16", "|", "Intellectual", "Property", ";", "Licenses", ",", "Etc", ".", "|", "102", "5", ".", "17", "|", "Labor", "Matters", "|", "102", "5", ".", "18", "|", "Security", "Documents", "|", "102", "5", ".", "19", "|", "Solvency", "|", "103", "5", ".", "20", "|", "Deposit", "Accounts", "|", "103", "5", ".", "21", "|", "Material", "Contracts", "|", "103", "5", ".", "22", "|", "USA", "PATRIOT", "Act", "Notice", "|", "104", "5", ".", "23", "|", "Office", "of", "Foreign", "Assets", "Control", "|", "104", "5", ".", "24", "|", "Use", "of", "Proceeds", "|", "104", "5", ".", "25", "|", "Anti-Money", "Laundering", "|", "104", "5", ".", "26", "|", "FCPA", "|", "104", "5", ".", "27", "|", "Insurance", "|", "104", "5", ".", "28", "|", "Borrowing", "Base", "Certificate", "|", "105", "5", ".", "29", "|", "EEA", "Financial", "Institutions", "|", "105", "ARTICLE", "VI", "AFFIRMATIVE", "COVENANTS"]}
{"id": "16279", "text": "This ASSET-BASED REVOLVING CREDIT AGREEMENT (Agreement) is entered into as of February 17, 2017 among Keane Group Inc. , a Delaware corporation (the Parent), Keane Group Holdings , LLC , a Delaware limited liability company (the Lead Borrower), the Persons named on Schedule 1.01A hereto (and together with the Lead Borrower and each other Person that becomes a Borrower hereunder in accordance with the terms hereof, collectively, the Borrowers), the Guarantors, each lender from time to time party hereto (collectively, the Lenders and individually, a Lender) and Bank of America, N.A. as Administrative Agent and Collateral Agent.", "ner": [[1, 4, "Title"], [13, 16, "EffectiveDate"], [18, 21, "Parties"], [31, 35, "Parties"], [109, 116, "Parties"]], "tokenized_text": ["This", "ASSET-BASED", "REVOLVING", "CREDIT", "AGREEMENT", "(", "Agreement", ")", "is", "entered", "into", "as", "of", "February", "17", ",", "2017", "among", "Keane", "Group", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "the", "Parent", ")", ",", "Keane", "Group", "Holdings", ",", "LLC", ",", "a", "Delaware", "limited", "liability", "company", "(", "the", "Lead", "Borrower", ")", ",", "the", "Persons", "named", "on", "Schedule", "1", ".", "01A", "hereto", "(", "and", "together", "with", "the", "Lead", "Borrower", "and", "each", "other", "Person", "that", "becomes", "a", "Borrower", "hereunder", "in", "accordance", "with", "the", "terms", "hereof", ",", "collectively", ",", "the", "Borrowers", ")", ",", "the", "Guarantors", ",", "each", "lender", "from", "time", "to", "time", "party", "hereto", "(", "collectively", ",", "the", "Lenders", "and", "individually", ",", "a", "Lender", ")", "and", "Bank", "of", "America", ",", "N", ".", "A", ".", "as", "Administrative", "Agent", "and", "Collateral", "Agent", "."]}
{"id": "16281", "text": "Accelerated Borrowing Base Delivery Event means any of the following events: (a) the occurrence and continuance of any Event of Default, (b) if no Loans are outstanding and the aggregate amount of L/C Obligations (excluding any L/C Obligations that have been Cash Collateralized) is less than or equal to $2,500,000 , Liquidity is less than the greater of (x) seventeen and a half percent (1 7.5% ) of the Loan Cap and (y) $20,000,000 , (c) if any Loan is outstanding or the aggregate amount of L/C Obligations (excluding any L/C Obligations that have been Cash Collateralized) is in excess of $2,500,000 , Excess Availability is less than the greater of (x) seventeen and a half percent (1 7.5% ) of the Loan Cap and (y) $20,000,000 , or (d) upon written request of the Administrative Agent during any period in which Excess Availability is less than $10,000,000 , in the case of each of clauses (a), (b), (c) and (d), for at least two (2) consecutive Business Days. For purposes of this Agreement, the occurrence of an Accelerated Borrowing Base Delivery Event shall be deemed continuing (i) so long as such Event of Default has not been cured or waived, (ii) if the Accelerated Borrowing Base Delivery Event arises as a result of clause (b) of the immediately preceding sentence, until the date Liquidity shall have been at least equal to the greater of (x) seventeen and a half percent (1 7.5% ) of the Loan Cap and (y) $20,000,000 , (iii) if the Accelerated Borrowing Base Delivery Event arises as a result of clause (c) of the immediately preceding sentence, until the date Excess Availability shall have been at least equal to the greater of (x) seventeen and a half percent (1 7.5% ) of the Loan Cap and (y) $20,000,000 , and/or (iv) if the Accelerated Borrowing Base Delivery Event arises as a result of clause (d) of the immediately preceding sentence, until the date Excess Availability shall be at least $10,000,000 , in the case of each of clauses (i), (ii) and (iii), for thirty (30) consecutive calendar days, in which case an Accelerated Borrowing Base Delivery Event shall no longer be deemed to be continuing for purposes of this Agreement. The termination of an Accelerated Borrowing Base Delivery Event as provided herein shall in no way limit, waive or delay the occurrence of a subsequent Accelerated Borrowing Base Delivery Event in the event that the conditions set forth in this definition again arise.", "ner": [[61, 66, "Principal"], [78, 82, "Percentage"], [84, 88, "Percentage"], [98, 103, "Principal"], [205, 210, "Principal"]], "tokenized_text": ["Accelerated", "Borrowing", "Base", "Delivery", "Event", "means", "any", "of", "the", "following", "events", ":", "(", "a", ")", "the", "occurrence", "and", "continuance", "of", "any", "Event", "of", "Default", ",", "(", "b", ")", "if", "no", "Loans", "are", "outstanding", "and", "the", "aggregate", "amount", "of", "L", "/", "C", "Obligations", "(", "excluding", "any", "L", "/", "C", "Obligations", "that", "have", "been", "Cash", "Collateralized", ")", "is", "less", "than", "or", "equal", "to", "$", "2", ",", "500", ",", "000", ",", "Liquidity", "is", "less", "than", "the", "greater", "of", "(", "x", ")", "seventeen", "and", "a", "half", "percent", "(", "1", "7", ".", "5", "%", ")", "of", "the", "Loan", "Cap", "and", "(", "y", ")", "$", "20", ",", "000", ",", "000", ",", "(", "c", ")", "if", "any", "Loan", "is", "outstanding", "or", "the", "aggregate", "amount", "of", "L", "/", "C", "Obligations", "(", "excluding", "any", "L", "/", "C", "Obligations", "that", "have", "been", "Cash", "Collateralized", ")", "is", "in", "excess", "of", "$", "2", ",", "500", ",", "000", ",", "Excess", "Availability", "is", "less", "than", "the", "greater", "of", "(", "x", ")", "seventeen", "and", "a", "half", "percent", "(", "1", "7", ".", "5", "%", ")", "of", "the", "Loan", "Cap", "and", "(", "y", ")", "$", "20", ",", "000", ",", "000", ",", "or", "(", "d", ")", "upon", "written", "request", "of", "the", "Administrative", "Agent", "during", "any", "period", "in", "which", "Excess", "Availability", "is", "less", "than", "$", "10", ",", "000", ",", "000", ",", "in", "the", "case", "of", "each", "of", "clauses", "(", "a", ")", ",", "(", "b", ")", ",", "(", "c", ")", "and", "(", "d", ")", ",", "for", "at", "least", "two", "(", "2", ")", "consecutive", "Business", "Days", ".", "For", "purposes", "of", "this", "Agreement", ",", "the", "occurrence", "of", "an", "Accelerated", "Borrowing", "Base", "Delivery", "Event", "shall", "be", "deemed", "continuing", "(", "i", ")", "so", "long", "as", "such", "Event", "of", "Default", "has", "not", "been", "cured", "or", "waived", ",", "(", "ii", ")", "if", "the", "Accelerated", "Borrowing", "Base", "Delivery", "Event", "arises", "as", "a", "result", "of", "clause", "(", "b", ")", "of", "the", "immediately", "preceding", "sentence", ",", "until", "the", "date", "Liquidity", "shall", "have", "been", "at", "least", "equal", "to", "the", "greater", "of", "(", "x", ")", "seventeen", "and", "a", "half", "percent", "(", "1", "7", ".", "5", "%", ")", "of", "the", "Loan", "Cap", "and", "(", "y", ")", "$", "20", ",", "000", ",", "000", ",", "(", "iii", ")", "if", "the", "Accelerated", "Borrowing", "Base", "Delivery", "Event", "arises", "as", "a", "result", "of", "clause", "(", "c", ")", "of", "the", "immediately", "preceding", "sentence", ",", "until", "the", "date", "Excess", "Availability", "shall", "have", "been", "at", "least", "equal", "to", "the", "greater", "of", "(", "x", ")", "seventeen", "and", "a", "half", "percent", "(", "1", "7", ".", "5", "%", ")", "of", "the", "Loan", "Cap", "and", "(", "y", ")", "$", "20", ",", "000", ",", "000", ",", "and", "/", "or", "(", "iv", ")", "if", "the", "Accelerated", "Borrowing", "Base", "Delivery", "Event", "arises", "as", "a", "result", "of", "clause", "(", "d", ")", "of", "the", "immediately", "preceding", "sentence", ",", "until", "the", "date", "Excess", "Availability", "shall", "be", "at", "least", "$", "10", ",", "000", ",", "000", ",", "in", "the", "case", "of", "each", "of", "clauses", "(", "i", ")", ",", "(", "ii", ")", "and", "(", "iii", ")", ",", "for", "thirty", "(", "30", ")", "consecutive", "calendar", "days", ",", "in", "which", "case", "an", "Accelerated", "Borrowing", "Base", "Delivery", "Event", "shall", "no", "longer", "be", "deemed", "to", "be", "continuing", "for", "purposes", "of", "this", "Agreement", ".", "The", "termination", "of", "an", "Accelerated", "Borrowing", "Base", "Delivery", "Event", "as", "provided", "herein", "shall", "in", "no", "way", "limit", ",", "waive", "or", "delay", "the", "occurrence", "of", "a", "subsequent", "Accelerated", "Borrowing", "Base", "Delivery", "Event", "in", "the", "event", "that", "the", "conditions", "set", "forth", "in", "this", "definition", "again", "arise", "."]}
{"id": "16283", "text": "Affiliate means, with respect to any Person, (a) another Person that directly, or indirectly through one or more intermediaries, Controls or is Controlled by or is under common Control with the Person specified, (b) any director, officer, managing member, partner, trustee, or beneficiary of that Person, and (c) any Person which beneficially owns or holds ten percent ( 10% ) or more of any class of Voting Stock of such Person.", "ner": [[75, 76, "Percentage"]], "tokenized_text": ["Affiliate", "means", ",", "with", "respect", "to", "any", "Person", ",", "(", "a", ")", "another", "Person", "that", "directly", ",", "or", "indirectly", "through", "one", "or", "more", "intermediaries", ",", "Controls", "or", "is", "Controlled", "by", "or", "is", "under", "common", "Control", "with", "the", "Person", "specified", ",", "(", "b", ")", "any", "director", ",", "officer", ",", "managing", "member", ",", "partner", ",", "trustee", ",", "or", "beneficiary", "of", "that", "Person", ",", "and", "(", "c", ")", "any", "Person", "which", "beneficially", "owns", "or", "holds", "ten", "percent", "(", "10", "%", ")", "or", "more", "of", "any", "class", "of", "Voting", "Stock", "of", "such", "Person", "."]}
{"id": "16284", "text": "Aggregate Commitments means the Commitments of all the Lenders. As of the Effective Date, the Aggregate Commitments total $150,000,000 .", "ner": [[20, 25, "Principal"]], "tokenized_text": ["Aggregate", "Commitments", "means", "the", "Commitments", "of", "all", "the", "Lenders", ".", "As", "of", "the", "Effective", "Date", ",", "the", "Aggregate", "Commitments", "total", "$", "150", ",", "000", ",", "000", "."]}
{"id": "16285", "text": "| Level | Total Net Leverage Ratio | LIBOR Margin | Base Rate Margin ---|---|---|---|--- | I | Greater than 4.0:1.0 | 4.50% <sup> | 3.50% <sup> | II | Less than or equal to 4.0x but greater than 3.5:1.0 | 4.25% | 3.25% | III | Less than or equal to 3.5:1.0 | 4.00% | 3.00%", "ner": [[38, 49, "Percentage"], [54, 57, "Percentage"], [75, 86, "Percentage"], [88, 91, "Percentage"], [100, 111, "Percentage"], [113, 116, "Percentage"]], "tokenized_text": ["|", "Level", "|", "Total", "Net", "Leverage", "Ratio", "|", "LIBOR", "Margin", "|", "Base", "Rate", "Margin", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "I", "|", "Greater", "than", "4", ".", "0", ":", "1", ".", "0", "|", "4", ".", "50", "%", "<", "sup", ">", "|", "3", ".", "50", "%", "<", "sup", ">", "|", "II", "|", "Less", "than", "or", "equal", "to", "4", ".", "0x", "but", "greater", "than", "3", ".", "5", ":", "1", ".", "0", "|", "4", ".", "25", "%", "|", "3", ".", "25", "%", "|", "III", "|", "Less", "than", "or", "equal", "to", "3", ".", "5", ":", "1", ".", "0", "|", "4", ".", "00", "%", "|", "3", ".", "00", "%"]}
{"id": "16288", "text": "Bank of America means Bank of America, N.A. and its successors.", "ner": [[4, 11, "Parties"]], "tokenized_text": ["Bank", "of", "America", "means", "Bank", "of", "America", ",", "N", ".", "A", ".", "and", "its", "successors", "."]}
{"id": "16289", "text": "Base Rate means for any day a fluctuating rate per annum equal to the highest of (a) the rate of interest in effect for such day as publicly announced from time to time by Bank of America as its prime rate; (b) the Federal Funds Rate for such day, plus 0. 50% ; and (c) the LIBOR Rate for a one- month Interest Period plus 1.0% . The prime rate is a rate set by Bank of America based upon various factors including Bank of Americas costs and desired return, general economic conditions and other factors, and is used as a reference point for pricing some loans, which may be priced at, above, or below such announced rate. Any change in Bank of Americas prime rate, the Federal Funds Rate or the LIBOR Rate, respectively, shall take effect at the opening of business on the day specified in the public announcement of such change.", "ner": [[56, 59, "Percentage"], [76, 79, "Percentage"]], "tokenized_text": ["Base", "Rate", "means", "for", "any", "day", "a", "fluctuating", "rate", "per", "annum", "equal", "to", "the", "highest", "of", "(", "a", ")", "the", "rate", "of", "interest", "in", "effect", "for", "such", "day", "as", "publicly", "announced", "from", "time", "to", "time", "by", "Bank", "of", "America", "as", "its", "prime", "rate", ";", "(", "b", ")", "the", "Federal", "Funds", "Rate", "for", "such", "day", ",", "plus", "0", ".", "50", "%", ";", "and", "(", "c", ")", "the", "LIBOR", "Rate", "for", "a", "one", "-", "month", "Interest", "Period", "plus", "1", ".", "0", "%", ".", "The", "prime", "rate", "is", "a", "rate", "set", "by", "Bank", "of", "America", "based", "upon", "various", "factors", "including", "Bank", "of", "Americas", "costs", "and", "desired", "return", ",", "general", "economic", "conditions", "and", "other", "factors", ",", "and", "is", "used", "as", "a", "reference", "point", "for", "pricing", "some", "loans", ",", "which", "may", "be", "priced", "at", ",", "above", ",", "or", "below", "such", "announced", "rate", ".", "Any", "change", "in", "Bank", "of", "Americas", "prime", "rate", ",", "the", "Federal", "Funds", "Rate", "or", "the", "LIBOR", "Rate", ",", "respectively", ",", "shall", "take", "effect", "at", "the", "opening", "of", "business", "on", "the", "day", "specified", "in", "the", "public", "announcement", "of", "such", "change", "."]}
{"id": "16291", "text": "(a) 85% multiplied by the amount of Eligible Billed Accounts; plus", "ner": [[3, 4, "Percentage"]], "tokenized_text": ["(", "a", ")", "85", "%", "multiplied", "by", "the", "amount", "of", "Eligible", "Billed", "Accounts", ";", "plus"]}
{"id": "16292", "text": "(b) 75% multiplied by the amount of Eligible Unbilled Accounts; provided, that the amount attributable to this clause (b) shall not exceed 20% of the Borrowing Base (after giving effect to any Reserve, this limitation and the limitation set forth in the proviso in clause (c) below); plus", "ner": [[3, 4, "Percentage"], [29, 30, "Percentage"]], "tokenized_text": ["(", "b", ")", "75", "%", "multiplied", "by", "the", "amount", "of", "Eligible", "Unbilled", "Accounts", ";", "provided", ",", "that", "the", "amount", "attributable", "to", "this", "clause", "(", "b", ")", "shall", "not", "exceed", "20", "%", "of", "the", "Borrowing", "Base", "(", "after", "giving", "effect", "to", "any", "Reserve", ",", "this", "limitation", "and", "the", "limitation", "set", "forth", "in", "the", "proviso", "in", "clause", "(", "c", ")", "below", ")", ";", "plus"]}
{"id": "16296", "text": "(c)subject to Section 7.04, Parent ceasing to own, directly or indirectly, 100% of the total voting power of the Voting Stock of any Borrower.", "ner": [[19, 20, "Percentage"]], "tokenized_text": ["(", "c", ")", "subject", "to", "Section", "7", ".", "04", ",", "Parent", "ceasing", "to", "own", ",", "directly", "or", "indirectly", ",", "100", "%", "of", "the", "total", "voting", "power", "of", "the", "Voting", "Stock", "of", "any", "Borrower", "."]}
{"id": "16298", "text": "Code means the Internal Revenue Code of 1986 , as amended.", "ner": [[3, 7, "Act"]], "tokenized_text": ["Code", "means", "the", "Internal", "Revenue", "Code", "of", "1986", ",", "as", "amended", "."]}
{"id": "16299", "text": "(10)the amount of run-rate cost savings, operating expense reductions, restructuring charges and expenses and cost-saving synergies projected by the Lead Borrower in good faith to be realized, as a result of actions taken or expected to be taken, within 12 months of the end of such period (calculated on a pro forma basis as though such cost savings, operating expense reductions, restructuring charges and expenses and cost-saving synergies had been realized on the first day of such period), net of the amount of actual benefits realized during such period from such actions; provided that (1)such cost savings, operating expense reductions, restructuring charges and expenses and cost-saving synergies are reasonably identifiable and factually supportable, (2)no cost savings, operating expense reductions, restructuring charges and expenses and cost-saving synergies may be added pursuant to this clause (10)to the extent duplicative of any expenses or charges relating thereto that are either excluded in computing Consolidated Net Income or included (i.e., added back) in computing Consolidated EBITDA for such period, (3)such adjustments may be incremental to (but not duplicative of) pro forma adjustments made pursuant to Section1.06 and (4)the aggregate amount of cost savings, operating expense reductions and cost saving synergies added pursuant to this clause (10) together with any amounts added pursuant to clause (11)(y) below shall not exceed (A) (a) $7,500,000 during the two Fiscal Quarter periods ending after the Effective Date and (b) thereafter, 15.0% of Consolidated EBITDA for such Measurement Period (prior to giving effect to the addbacks pursuant to this clause (10) and clause (11)(y) below) plus (B) the amount of any such cost savings, operating expense reductions, restructuring charges and expenses and cost-savings synergies that would be permitted to be included in financial statements prepared in accordance with Regulation S-X under the Securities Act during such Measurement Period; plus", "ner": [[220, 222, "Regulation"], [273, 278, "Principal"], [296, 299, "Percentage"], [369, 370, "Regulation"], [373, 374, "Act"]], "tokenized_text": ["(", "10", ")", "the", "amount", "of", "run-rate", "cost", "savings", ",", "operating", "expense", "reductions", ",", "restructuring", "charges", "and", "expenses", "and", "cost-saving", "synergies", "projected", "by", "the", "Lead", "Borrower", "in", "good", "faith", "to", "be", "realized", ",", "as", "a", "result", "of", "actions", "taken", "or", "expected", "to", "be", "taken", ",", "within", "12", "months", "of", "the", "end", "of", "such", "period", "(", "calculated", "on", "a", "pro", "forma", "basis", "as", "though", "such", "cost", "savings", ",", "operating", "expense", "reductions", ",", "restructuring", "charges", "and", "expenses", "and", "cost-saving", "synergies", "had", "been", "realized", "on", "the", "first", "day", "of", "such", "period", ")", ",", "net", "of", "the", "amount", "of", "actual", "benefits", "realized", "during", "such", "period", "from", "such", "actions", ";", "provided", "that", "(", "1", ")", "such", "cost", "savings", ",", "operating", "expense", "reductions", ",", "restructuring", "charges", "and", "expenses", "and", "cost-saving", "synergies", "are", "reasonably", "identifiable", "and", "factually", "supportable", ",", "(", "2", ")", "no", "cost", "savings", ",", "operating", "expense", "reductions", ",", "restructuring", "charges", "and", "expenses", "and", "cost-saving", "synergies", "may", "be", "added", "pursuant", "to", "this", "clause", "(", "10", ")", "to", "the", "extent", "duplicative", "of", "any", "expenses", "or", "charges", "relating", "thereto", "that", "are", "either", "excluded", "in", "computing", "Consolidated", "Net", "Income", "or", "included", "(", "i", ".", "e", ".", ",", "added", "back", ")", "in", "computing", "Consolidated", "EBITDA", "for", "such", "period", ",", "(", "3", ")", "such", "adjustments", "may", "be", "incremental", "to", "(", "but", "not", "duplicative", "of", ")", "pro", "forma", "adjustments", "made", "pursuant", "to", "Section1", ".", "06", "and", "(", "4", ")", "the", "aggregate", "amount", "of", "cost", "savings", ",", "operating", "expense", "reductions", "and", "cost", "saving", "synergies", "added", "pursuant", "to", "this", "clause", "(", "10", ")", "together", "with", "any", "amounts", "added", "pursuant", "to", "clause", "(", "11", ")", "(", "y", ")", "below", "shall", "not", "exceed", "(", "A", ")", "(", "a", ")", "$", "7", ",", "500", ",", "000", "during", "the", "two", "Fiscal", "Quarter", "periods", "ending", "after", "the", "Effective", "Date", "and", "(", "b", ")", "thereafter", ",", "15", ".", "0", "%", "of", "Consolidated", "EBITDA", "for", "such", "Measurement", "Period", "(", "prior", "to", "giving", "effect", "to", "the", "addbacks", "pursuant", "to", "this", "clause", "(", "10", ")", "and", "clause", "(", "11", ")", "(", "y", ")", "below", ")", "plus", "(", "B", ")", "the", "amount", "of", "any", "such", "cost", "savings", ",", "operating", "expense", "reductions", ",", "restructuring", "charges", "and", "expenses", "and", "cost-savings", "synergies", "that", "would", "be", "permitted", "to", "be", "included", "in", "financial", "statements", "prepared", "in", "accordance", "with", "Regulation", "S-X", "under", "the", "Securities", "Act", "during", "such", "Measurement", "Period", ";", "plus"]}
{"id": "16301", "text": "anniversary of the Maturity Date, (ii) shall not require annual amortization payments in excess of 10% of the aggregate original principal amount of such Indebtedness, (iii) shall not have cross-defaults to Section 7.14, and (iv) the aggregate outstanding principal amount of which shall not exceed the sum of (A) $150,000,000 plus (B) an additional principal amount equal to $150,000,000 plus (C) an unlimited amount subject to (x) Consolidated EBITDA for the four fiscal quarter period occurring immediately prior thereto being in excess of $75,000,000 and (y) immediately after giving pro forma effect thereto and to the use of proceeds thereof, the Fixed Charge Coverage Ratio shall be at least 1.0:1.0, and any Permitted Refinancings thereof.", "ner": [[18, 19, "Percentage"], [63, 68, "Principal"], [113, 118, "Principal"], [147, 153, "Ratio"]], "tokenized_text": ["anniversary", "of", "the", "Maturity", "Date", ",", "(", "ii", ")", "shall", "not", "require", "annual", "amortization", "payments", "in", "excess", "of", "10", "%", "of", "the", "aggregate", "original", "principal", "amount", "of", "such", "Indebtedness", ",", "(", "iii", ")", "shall", "not", "have", "cross-defaults", "to", "Section", "7", ".", "14", ",", "and", "(", "iv", ")", "the", "aggregate", "outstanding", "principal", "amount", "of", "which", "shall", "not", "exceed", "the", "sum", "of", "(", "A", ")", "$", "150", ",", "000", ",", "000", "plus", "(", "B", ")", "an", "additional", "principal", "amount", "equal", "to", "$", "150", ",", "000", ",", "000", "plus", "(", "C", ")", "an", "unlimited", "amount", "subject", "to", "(", "x", ")", "Consolidated", "EBITDA", "for", "the", "four", "fiscal", "quarter", "period", "occurring", "immediately", "prior", "thereto", "being", "in", "excess", "of", "$", "75", ",", "000", ",", "000", "and", "(", "y", ")", "immediately", "after", "giving", "pro", "forma", "effect", "thereto", "and", "to", "the", "use", "of", "proceeds", "thereof", ",", "the", "Fixed", "Charge", "Coverage", "Ratio", "shall", "be", "at", "least", "1", ".", "0", ":", "1", ".", "0", ",", "and", "any", "Permitted", "Refinancings", "thereof", "."]}
{"id": "16303", "text": "(c)fifty percent ( 50% ) or more of the Accounts from a referenced Customer are deemed ineligible hereunder, provided that such percentage may, in the Collateral Agents Permitted Discretion be increased from time to time;", "ner": [[6, 7, "Percentage"]], "tokenized_text": ["(", "c", ")", "fifty", "percent", "(", "50", "%", ")", "or", "more", "of", "the", "Accounts", "from", "a", "referenced", "Customer", "are", "deemed", "ineligible", "hereunder", ",", "provided", "that", "such", "percentage", "may", ",", "in", "the", "Collateral", "Agents", "Permitted", "Discretion", "be", "increased", "from", "time", "to", "time", ";"]}
{"id": "16304", "text": "(h)the Customer is the United States of America, any state or any department, agency or instrumentality of any of them, unless the applicable Borrower assigns its right to payment of such Account to the Administrative Agent pursuant to the Assignment of Claims Act of 1940 <sup> , as amended (31 U.S.C. Sub-Section 3727 et seq. and 41 U.S.C. Sub-Section 15 et seq.) or has otherwise complied with other applicable statutes or ordinances, but only to the extent the aggregate amount of all such Accounts not subject to such assignment pursuant to this clause (h) and all Eligible Unbilled Accounts not subject to such assignment pursuant to clause (i) of the definition of Eligible Unbilled Accounts exceeds $3,000,000 as of any date of determination;", "ner": [[7, 10, "Parties"], [45, 50, "Act"], [58, 66, "Regulation"], [71, 79, "Regulation"], [143, 148, "Principal"]], "tokenized_text": ["(", "h", ")", "the", "Customer", "is", "the", "United", "States", "of", "America", ",", "any", "state", "or", "any", "department", ",", "agency", "or", "instrumentality", "of", "any", "of", "them", ",", "unless", "the", "applicable", "Borrower", "assigns", "its", "right", "to", "payment", "of", "such", "Account", "to", "the", "Administrative", "Agent", "pursuant", "to", "the", "Assignment", "of", "Claims", "Act", "of", "1940", "<", "sup", ">", ",", "as", "amended", "(", "31", "U", ".", "S", ".", "C", ".", "Sub-Section", "3727", "et", "seq", ".", "and", "41", "U", ".", "S", ".", "C", ".", "Sub-Section", "15", "et", "seq", ".", ")", "or", "has", "otherwise", "complied", "with", "other", "applicable", "statutes", "or", "ordinances", ",", "but", "only", "to", "the", "extent", "the", "aggregate", "amount", "of", "all", "such", "Accounts", "not", "subject", "to", "such", "assignment", "pursuant", "to", "this", "clause", "(", "h", ")", "and", "all", "Eligible", "Unbilled", "Accounts", "not", "subject", "to", "such", "assignment", "pursuant", "to", "clause", "(", "i", ")", "of", "the", "definition", "of", "Eligible", "Unbilled", "Accounts", "exceeds", "$", "3", ",", "000", ",", "000", "as", "of", "any", "date", "of", "determination", ";"]}
{"id": "16305", "text": "(p)when aggregated with other Accounts owing by any such Customer, it exceeds (i) with respect to any such Customer that is rated (or whose parent is rated) at least Baa3 by Moodys or BBB- by Standard and Poors, 35% of the aggregate Eligible Billed Accounts and Eligible Unbilled Accounts, (ii) with respect to Chevron Corporation, Exxon Mobil Corporation or Royal Dutch Shell plc, 45% of the aggregate Eligible Billed Accounts and Eligible Unbilled Accounts or (iii) with respect to any other such Customer, 20% of the aggregate Eligible Billed Accounts and Eligible Unbilled Accounts; provided that, any such Account shall only be excluded to the extent of such excess.", "ner": [[48, 49, "Percentage"], [79, 80, "Percentage"], [103, 104, "Percentage"]], "tokenized_text": ["(", "p", ")", "when", "aggregated", "with", "other", "Accounts", "owing", "by", "any", "such", "Customer", ",", "it", "exceeds", "(", "i", ")", "with", "respect", "to", "any", "such", "Customer", "that", "is", "rated", "(", "or", "whose", "parent", "is", "rated", ")", "at", "least", "Baa3", "by", "Moodys", "or", "BBB", "-", "by", "Standard", "and", "Poors", ",", "35", "%", "of", "the", "aggregate", "Eligible", "Billed", "Accounts", "and", "Eligible", "Unbilled", "Accounts", ",", "(", "ii", ")", "with", "respect", "to", "Chevron", "Corporation", ",", "Exxon", "Mobil", "Corporation", "or", "Royal", "Dutch", "Shell", "plc", ",", "45", "%", "of", "the", "aggregate", "Eligible", "Billed", "Accounts", "and", "Eligible", "Unbilled", "Accounts", "or", "(", "iii", ")", "with", "respect", "to", "any", "other", "such", "Customer", ",", "20", "%", "of", "the", "aggregate", "Eligible", "Billed", "Accounts", "and", "Eligible", "Unbilled", "Accounts", ";", "provided", "that", ",", "any", "such", "Account", "shall", "only", "be", "excluded", "to", "the", "extent", "of", "such", "excess", "."]}
{"id": "16307", "text": "(q)when aggregated with other Accounts owing by any such Customer, it exceeds (i) with respect to any such Customer that is rated (or whose parent is rated) at least Baa3 by Moodys or BBB- by Standard and Poors, 35% of the aggregate Eligible Billed Accounts and Eligible Unbilled Accounts, (ii) with respect to Chevron Corporation, Exxon Mobil Corporation or Royal Dutch Shell plc, 45% of the aggregate Eligible Billed Accounts and Eligible Unbilled Accounts or (iii) with respect to any other such Customer, 20% of the aggregate Eligible Billed Accounts and Eligible Unbilled Accounts; provided that, any such Account shall only be excluded to the extent of such excess.", "ner": [[48, 49, "Percentage"], [79, 80, "Percentage"], [103, 104, "Percentage"]], "tokenized_text": ["(", "q", ")", "when", "aggregated", "with", "other", "Accounts", "owing", "by", "any", "such", "Customer", ",", "it", "exceeds", "(", "i", ")", "with", "respect", "to", "any", "such", "Customer", "that", "is", "rated", "(", "or", "whose", "parent", "is", "rated", ")", "at", "least", "Baa3", "by", "Moodys", "or", "BBB", "-", "by", "Standard", "and", "Poors", ",", "35", "%", "of", "the", "aggregate", "Eligible", "Billed", "Accounts", "and", "Eligible", "Unbilled", "Accounts", ",", "(", "ii", ")", "with", "respect", "to", "Chevron", "Corporation", ",", "Exxon", "Mobil", "Corporation", "or", "Royal", "Dutch", "Shell", "plc", ",", "45", "%", "of", "the", "aggregate", "Eligible", "Billed", "Accounts", "and", "Eligible", "Unbilled", "Accounts", "or", "(", "iii", ")", "with", "respect", "to", "any", "other", "such", "Customer", ",", "20", "%", "of", "the", "aggregate", "Eligible", "Billed", "Accounts", "and", "Eligible", "Unbilled", "Accounts", ";", "provided", "that", ",", "any", "such", "Account", "shall", "only", "be", "excluded", "to", "the", "extent", "of", "such", "excess", "."]}
{"id": "16310", "text": "Excluded Swap Obligation means, with respect to any Guarantor, any Swap Obligation if, and to the extent that, all or a portion of the guarantee of such Guarantor of, or the grant by such Guarantor of a security interest to secure, such Swap Obligation (or any guarantee thereof) is or becomes illegal under the Commodity Exchange Act or any rule, regulation or order of the Commodity Futures Trading Commission (or the application or official interpretation of any thereof) by virtue of such Guarantors failure for any reason to constitute an eligible contract participant as defined in the Commodity Exchange Act and the regulations thereunder (determined after giving to any keepwell, support or other agreement for the benefit of such Guarantor and any and all guarantees of such Guarantors Swap Obligations by other Loan Parties) at the time such guarantee or grant of a security interest by such Guarantor becomes effective with respect to such Swap Obligation. If a Swap Obligation arises under a master agreement governing more than one swap, such exclusion shall apply only to the portion of such Swap Obligation that is attributable to swaps for which such guarantee or security interest is or becomes excluded in accordance with the first sentence of this definition.", "ner": [[62, 64, "Act"], [178, 179, "Title"]], "tokenized_text": ["Excluded", "Swap", "Obligation", "means", ",", "with", "respect", "to", "any", "Guarantor", ",", "any", "Swap", "Obligation", "if", ",", "and", "to", "the", "extent", "that", ",", "all", "or", "a", "portion", "of", "the", "guarantee", "of", "such", "Guarantor", "of", ",", "or", "the", "grant", "by", "such", "Guarantor", "of", "a", "security", "interest", "to", "secure", ",", "such", "Swap", "Obligation", "(", "or", "any", "guarantee", "thereof", ")", "is", "or", "becomes", "illegal", "under", "the", "Commodity", "Exchange", "Act", "or", "any", "rule", ",", "regulation", "or", "order", "of", "the", "Commodity", "Futures", "Trading", "Commission", "(", "or", "the", "application", "or", "official", "interpretation", "of", "any", "thereof", ")", "by", "virtue", "of", "such", "Guarantors", "failure", "for", "any", "reason", "to", "constitute", "an", "eligible", "contract", "participant", "as", "defined", "in", "the", "Commodity", "Exchange", "Act", "and", "the", "regulations", "thereunder", "(", "determined", "after", "giving", "to", "any", "keepwell", ",", "support", "or", "other", "agreement", "for", "the", "benefit", "of", "such", "Guarantor", "and", "any", "and", "all", "guarantees", "of", "such", "Guarantors", "Swap", "Obligations", "by", "other", "Loan", "Parties", ")", "at", "the", "time", "such", "guarantee", "or", "grant", "of", "a", "security", "interest", "by", "such", "Guarantor", "becomes", "effective", "with", "respect", "to", "such", "Swap", "Obligation", ".", "If", "a", "Swap", "Obligation", "arises", "under", "a", "master", "agreement", "governing", "more", "than", "one", "swap", ",", "such", "exclusion", "shall", "apply", "only", "to", "the", "portion", "of", "such", "Swap", "Obligation", "that", "is", "attributable", "to", "swaps", "for", "which", "such", "guarantee", "or", "security", "interest", "is", "or", "becomes", "excluded", "in", "accordance", "with", "the", "first", "sentence", "of", "this", "definition", "."]}
{"id": "16311", "text": "Existing ABL Credit Agreement means that certain Amended and Restated Revolving Credit and Security Agreement, dated August 8, 2014, by and among KGH Intermediate Holdco I, LLC, KGH Intermediate Holdco II, LLC, Keane Frac, LP, KS Drilling, LLC, Keane Frac ND, LLC, Keane Frac TX, LLC, and PNC Bank, National Association, as Agent (as defined therein) for certain lenders, as amended by that certain (a) First Amendment to Amended and Restated Revolving Credit and Security Agreement, dated as of December 22, 2014, (b) Second Amendment to Amended and Restated Revolving Credit and Security Agreement, dated as of April 7, 2015, and (c) Third Amendment to Amended and Restated Revolving Credit and Security Agreement, dated as of March 16, 2016.", "ner": [[1, 3, "Title"], [7, 14, "Title"], [17, 20, "EffectiveDate"], [25, 30, "Parties"], [32, 37, "Parties"], [39, 47, "Parties"], [49, 53, "Parties"], [55, 59, "Parties"], [62, 66, "Parties"], [125, 128, "EffectiveDate"], [149, 152, "EffectiveDate"]], "tokenized_text": ["Existing", "ABL", "Credit", "Agreement", "means", "that", "certain", "Amended", "and", "Restated", "Revolving", "Credit", "and", "Security", "Agreement", ",", "dated", "August", "8", ",", "2014", ",", "by", "and", "among", "KGH", "Intermediate", "Holdco", "I", ",", "LLC", ",", "KGH", "Intermediate", "Holdco", "II", ",", "LLC", ",", "Keane", "Frac", ",", "LP", ",", "KS", "Drilling", ",", "LLC", ",", "Keane", "Frac", "ND", ",", "LLC", ",", "Keane", "Frac", "TX", ",", "LLC", ",", "and", "PNC", "Bank", ",", "National", "Association", ",", "as", "Agent", "(", "as", "defined", "therein", ")", "for", "certain", "lenders", ",", "as", "amended", "by", "that", "certain", "(", "a", ")", "First", "Amendment", "to", "Amended", "and", "Restated", "Revolving", "Credit", "and", "Security", "Agreement", ",", "dated", "as", "of", "December", "22", ",", "2014", ",", "(", "b", ")", "Second", "Amendment", "to", "Amended", "and", "Restated", "Revolving", "Credit", "and", "Security", "Agreement", ",", "dated", "as", "of", "April", "7", ",", "2015", ",", "and", "(", "c", ")", "Third", "Amendment", "to", "Amended", "and", "Restated", "Revolving", "Credit", "and", "Security", "Agreement", ",", "dated", "as", "of", "March", "16", ",", "2016", "."]}
{"id": "16313", "text": "Existing Term Loan Credit Agreement means that certain credit agreement, dated as of March 16, 2016, by and among KGH Intermediate Holdco I, LLC, KGH Intermediate Holdco II, LLC, Keane Frac, LP , and CLMG Corp., as Administrative Agent (as defined therein) for certain lenders.", "ner": [[1, 4, "Title"], [14, 17, "EffectiveDate"], [22, 27, "Parties"], [29, 34, "Parties"], [36, 39, "Parties"], [42, 44, "Parties"]], "tokenized_text": ["Existing", "Term", "Loan", "Credit", "Agreement", "means", "that", "certain", "credit", "agreement", ",", "dated", "as", "of", "March", "16", ",", "2016", ",", "by", "and", "among", "KGH", "Intermediate", "Holdco", "I", ",", "LLC", ",", "KGH", "Intermediate", "Holdco", "II", ",", "LLC", ",", "Keane", "Frac", ",", "LP", ",", "and", "CLMG", "Corp", ".", ",", "as", "Administrative", "Agent", "(", "as", "defined", "therein", ")", "for", "certain", "lenders", "."]}
{"id": "16318", "text": "Payment Conditions means, at the time of determination with respect to any specified transaction or payment (including a Restricted Payment), that (a) no Event of Default then exists or would arise as a result of entering into such transaction or the making of such payment, and (b) either (i)(A) before and after giving effect to such transaction or payment, Excess Availability equals or exceeds the greater of (x) fifteen percent (15.0%) of the Loan Cap and (y) $17,500,000 (or in the case of a Restricted Payment, the greater of (xx) seventeen and a half percent (1 7.5% ) of the Loan Cap and (yy) $20,000,000 ) as at such date and on a pro forma basis for the preceding ninety (90) calendar day period, and (B) the pro forma Consolidated Fixed Charge Coverage Ratio calculated for the most recently ended Measurement Period hereof, after giving effect to such transaction or payment equals or exceeds 1.00:1.00 or (ii) after the earlier of twelve (12) months from the Effective Date and such time as the Consolidated Fixed Charge Coverage Ratio at the end of any two consecutive Measurement Periods following the Effective Date has been at least 1.00:1.00, Excess Availability equals or exceeds the greater of (x) 20% of the Loan Cap and (y) $26,250,000 (or, in the case of a Restricted Payment, the greater of (xx) 22.5% of the Loan Cap and (yy) $30,000,000) as at such date and on a pro forma basis for the preceding ninety (90) calendar day period. Prior to undertaking any transaction or payment which is subject to the Payment Conditions, the Loan Parties shall deliver to the Administrative Agent an officers certificate (1) confirming that no Event of Default then exists or would arise as a result of entering into such transaction or the making of such payment and (2) setting forth calculations showing satisfaction of the conditions contained in clause (b) above which shall be reasonably satisfactory to the Administrative Agent.", "ner": [[88, 91, "Percentage"], [101, 106, "Principal"], [123, 127, "Percentage"], [129, 133, "Percentage"], [143, 148, "Principal"], [204, 210, "Percentage"], [274, 275, "Percentage"], [284, 289, "Principal"], [307, 310, "Percentage"], [319, 324, "Principal"]], "tokenized_text": ["Payment", "Conditions", "means", ",", "at", "the", "time", "of", "determination", "with", "respect", "to", "any", "specified", "transaction", "or", "payment", "(", "including", "a", "Restricted", "Payment", ")", ",", "that", "(", "a", ")", "no", "Event", "of", "Default", "then", "exists", "or", "would", "arise", "as", "a", "result", "of", "entering", "into", "such", "transaction", "or", "the", "making", "of", "such", "payment", ",", "and", "(", "b", ")", "either", "(", "i", ")", "(", "A", ")", "before", "and", "after", "giving", "effect", "to", "such", "transaction", "or", "payment", ",", "Excess", "Availability", "equals", "or", "exceeds", "the", "greater", "of", "(", "x", ")", "fifteen", "percent", "(", "15", ".", "0", "%", ")", "of", "the", "Loan", "Cap", "and", "(", "y", ")", "$", "17", ",", "500", ",", "000", "(", "or", "in", "the", "case", "of", "a", "Restricted", "Payment", ",", "the", "greater", "of", "(", "xx", ")", "seventeen", "and", "a", "half", "percent", "(", "1", "7", ".", "5", "%", ")", "of", "the", "Loan", "Cap", "and", "(", "yy", ")", "$", "20", ",", "000", ",", "000", ")", "as", "at", "such", "date", "and", "on", "a", "pro", "forma", "basis", "for", "the", "preceding", "ninety", "(", "90", ")", "calendar", "day", "period", ",", "and", "(", "B", ")", "the", "pro", "forma", "Consolidated", "Fixed", "Charge", "Coverage", "Ratio", "calculated", "for", "the", "most", "recently", "ended", "Measurement", "Period", "hereof", ",", "after", "giving", "effect", "to", "such", "transaction", "or", "payment", "equals", "or", "exceeds", "1", ".", "00", ":", "1", ".", "00", "or", "(", "ii", ")", "after", "the", "earlier", "of", "twelve", "(", "12", ")", "months", "from", "the", "Effective", "Date", "and", "such", "time", "as", "the", "Consolidated", "Fixed", "Charge", "Coverage", "Ratio", "at", "the", "end", "of", "any", "two", "consecutive", "Measurement", "Periods", "following", "the", "Effective", "Date", "has", "been", "at", "least", "1", ".", "00", ":", "1", ".", "00", ",", "Excess", "Availability", "equals", "or", "exceeds", "the", "greater", "of", "(", "x", ")", "20", "%", "of", "the", "Loan", "Cap", "and", "(", "y", ")", "$", "26", ",", "250", ",", "000", "(", "or", ",", "in", "the", "case", "of", "a", "Restricted", "Payment", ",", "the", "greater", "of", "(", "xx", ")", "22", ".", "5", "%", "of", "the", "Loan", "Cap", "and", "(", "yy", ")", "$", "30", ",", "000", ",", "000", ")", "as", "at", "such", "date", "and", "on", "a", "pro", "forma", "basis", "for", "the", "preceding", "ninety", "(", "90", ")", "calendar", "day", "period", ".", "Prior", "to", "undertaking", "any", "transaction", "or", "payment", "which", "is", "subject", "to", "the", "Payment", "Conditions", ",", "the", "Loan", "Parties", "shall", "deliver", "to", "the", "Administrative", "Agent", "an", "officers", "certificate", "(", "1", ")", "confirming", "that", "no", "Event", "of", "Default", "then", "exists", "or", "would", "arise", "as", "a", "result", "of", "entering", "into", "such", "transaction", "or", "the", "making", "of", "such", "payment", "and", "(", "2", ")", "setting", "forth", "calculations", "showing", "satisfaction", "of", "the", "conditions", "contained", "in", "clause", "(", "b", ")", "above", "which", "shall", "be", "reasonably", "satisfactory", "to", "the", "Administrative", "Agent", "."]}
{"id": "16320", "text": "Permitted Holders shall mean (a) the Sponsors and any other Funds or managed accounts advised or managed by any Sponsor or any of a Sponsors Affiliates and Keane Investor, (b) any person that has no material assets other than the capital stock of the Parent, a parent of the Parent or capital stock of a Person engaged in a Similar Business and, directly or indirectly, holds or acquires 100% of the total voting power of the Voting Stock of the Parent, and of which no other Person or group (within the meaning of Section 13(d)(3) or Section 14(d)(2) of the Exchange Act , or any successor provision), other than any Permitted Holder specified in clause (a) above, holds more than 50% of the total voting power of the Voting Stock thereof, and (c) any group (within the meaning of Section 13(d)(3) or Section 14(d)(2) of the Exchange Act , or any successor provision) the members of which include any Permitted Holder specified in clause (a) above and that, directly or indirectly, hold or acquire beneficial ownership of the Voting Stock of the Parent (a Permitted Holder Group), so long as (i) each member of the Permitted Holder Group has voting rights proportional to the percentage of ownership interests held or acquired by such member and (ii) no Person or other group (other than a Permitted Holder specified in clause (a) above) beneficially owns more than 50% on a fully diluted basis of the Voting Stock held by the Permitted Holder Group.", "ner": [[76, 77, "Percentage"], [123, 124, "Act"], [148, 149, "Percentage"], [296, 297, "Percentage"]], "tokenized_text": ["Permitted", "Holders", "shall", "mean", "(", "a", ")", "the", "Sponsors", "and", "any", "other", "Funds", "or", "managed", "accounts", "advised", "or", "managed", "by", "any", "Sponsor", "or", "any", "of", "a", "Sponsors", "Affiliates", "and", "Keane", "Investor", ",", "(", "b", ")", "any", "person", "that", "has", "no", "material", "assets", "other", "than", "the", "capital", "stock", "of", "the", "Parent", ",", "a", "parent", "of", "the", "Parent", "or", "capital", "stock", "of", "a", "Person", "engaged", "in", "a", "Similar", "Business", "and", ",", "directly", "or", "indirectly", ",", "holds", "or", "acquires", "100", "%", "of", "the", "total", "voting", "power", "of", "the", "Voting", "Stock", "of", "the", "Parent", ",", "and", "of", "which", "no", "other", "Person", "or", "group", "(", "within", "the", "meaning", "of", "Section", "13", "(", "d", ")", "(", "3", ")", "or", "Section", "14", "(", "d", ")", "(", "2", ")", "of", "the", "Exchange", "Act", ",", "or", "any", "successor", "provision", ")", ",", "other", "than", "any", "Permitted", "Holder", "specified", "in", "clause", "(", "a", ")", "above", ",", "holds", "more", "than", "50", "%", "of", "the", "total", "voting", "power", "of", "the", "Voting", "Stock", "thereof", ",", "and", "(", "c", ")", "any", "group", "(", "within", "the", "meaning", "of", "Section", "13", "(", "d", ")", "(", "3", ")", "or", "Section", "14", "(", "d", ")", "(", "2", ")", "of", "the", "Exchange", "Act", ",", "or", "any", "successor", "provision", ")", "the", "members", "of", "which", "include", "any", "Permitted", "Holder", "specified", "in", "clause", "(", "a", ")", "above", "and", "that", ",", "directly", "or", "indirectly", ",", "hold", "or", "acquire", "beneficial", "ownership", "of", "the", "Voting", "Stock", "of", "the", "Parent", "(", "a", "Permitted", "Holder", "Group", ")", ",", "so", "long", "as", "(", "i", ")", "each", "member", "of", "the", "Permitted", "Holder", "Group", "has", "voting", "rights", "proportional", "to", "the", "percentage", "of", "ownership", "interests", "held", "or", "acquired", "by", "such", "member", "and", "(", "ii", ")", "no", "Person", "or", "other", "group", "(", "other", "than", "a", "Permitted", "Holder", "specified", "in", "clause", "(", "a", ")", "above", ")", "beneficially", "owns", "more", "than", "50", "%", "on", "a", "fully", "diluted", "basis", "of", "the", "Voting", "Stock", "held", "by", "the", "Permitted", "Holder", "Group", "."]}
{"id": "15327", "text": "Securities Laws means the Securities Act of 1933 <sup> , the Securities Exchange Act of 1934, Sarbanes-Oxley , and the applicable accounting and auditing principles, rules, standards and practices promulgated, approved or incorporated by the SEC or the PCAOB.", "ner": [[4, 7, "Act"], [13, 17, "Act"], [19, 19, "Regulation"]], "tokenized_text": ["Securities", "Laws", "means", "the", "Securities", "Act", "of", "1933", "<", "sup", ">", ",", "the", "Securities", "Exchange", "Act", "of", "1934", ",", "Sarbanes-Oxley", ",", "and", "the", "applicable", "accounting", "and", "auditing", "principles", ",", "rules", ",", "standards", "and", "practices", "promulgated", ",", "approved", "or", "incorporated", "by", "the", "SEC", "or", "the", "PCAOB", "."]}
{"id": "16331", "text": "(b)Each Committed Borrowing, each Conversion of Committed Loans from one Type to the other, and each continuation of LIBOR Rate Loans shall be made upon the Lead Borrowers irrevocable notice to the Administrative Agent, which may be given by telephone. Each such notice must be received by the Administrative Agent not later than 12:00 p.m. (i) three (3) Business Days prior to the requested date of any Borrowing of, Conversion to or continuation of LIBOR Rate Loans or of any Conversion of LIBOR Rate Loans to Base Rate Loans, and (ii) one Business Day prior to the requested date of any Borrowing of Base Rate Loans; provided, however, that if the Lead Borrower wishes to request LIBOR Rate Loans having an Interest Period of twelve months in duration as provided in the definition of Interest Period, the applicable notice must be received by the Administrative Agent not later than 11:00 a.m. four Business Days prior to the requested date of such Borrowing, conversion or continuation, whereupon the Administrative Agent shall give prompt notice to the Appropriate Lenders of such request and determine whether the requested Interest Period is acceptable to all of them. Not later than 11:00 a.m., three Business Days before the requested date of such Borrowing, conversion or continuation, the Administrative Agent shall notify the Lead Borrower (which notice may be by telephone) whether or not the requested Interest Period has been consented to by all the Lenders. Each telephonic notice by the Lead Borrower pursuant to this Section 2.02(b) must be confirmed promptly by delivery to the Administrative Agent of a written Committed Loan Notice, appropriately completed and signed by a Responsible Officer of the Lead Borrower. Each Borrowing of, Conversion to or continuation of LIBOR Rate Loans shall be in a principal amount of $1,000,000 or a whole multiple of $500,000 in excess thereof. Except as provided in Sections 2.03(c) and 2.04(c), each Borrowing of or Conversion to Base Rate Loans shall be in a principal amount of $500,000 or a whole multiple of $100,000 in excess thereof. Each Committed Loan Notice (whether telephonic or written) shall specify (i) whether the Lead Borrower is requesting a Committed Borrowing, a Conversion of Committed Loans from one Type to the other, or a continuation of LIBOR Rate Loans, (ii) the requested date of the Borrowing, Conversion or continuation, as the case may be (which shall be a Business Day), (iii) the principal amount of Committed Loans to be borrowed, Converted or continued, (iv) the Class and Type of Committed Loans to be borrowed or to which existing Committed Loans are to be Converted, and (v) if applicable, the duration of the Interest Period with respect thereto. If the Lead Borrower fails to specify a Type of Committed Loan in a Committed Loan Notice or if the Lead Borrower fails to give a timely notice requesting a Conversion or continuation, then the applicable Committed Loans shall be made as, or Converted to, Base Rate Loans. Any such automatic Conversion to Base Rate Loans shall be effective as of the last day of the Interest Period then in effect with respect to the applicable LIBOR Rate Loans. If the Lead Borrower requests a Borrowing of, Conversion to, or continuation of LIBOR Rate Loans in any such Committed Loan Notice, but fails to specify an Interest Period, it will be deemed to have specified an Interest Period of one month. Notwithstanding anything to the contrary herein, a Swing Line Loan may not be Converted to a LIBOR Rate Loan.", "ner": [[323, 324, "Role"], [349, 354, "Principal"], [360, 363, "Principal"], [412, 415, "Principal"]], "tokenized_text": ["(", "b", ")", "Each", "Committed", "Borrowing", ",", "each", "Conversion", "of", "Committed", "Loans", "from", "one", "Type", "to", "the", "other", ",", "and", "each", "continuation", "of", "LIBOR", "Rate", "Loans", "shall", "be", "made", "upon", "the", "Lead", "Borrowers", "irrevocable", "notice", "to", "the", "Administrative", "Agent", ",", "which", "may", "be", "given", "by", "telephone", ".", "Each", "such", "notice", "must", "be", "received", "by", "the", "Administrative", "Agent", "not", "later", "than", "12", ":", "00", "p", ".", "m", ".", "(", "i", ")", "three", "(", "3", ")", "Business", "Days", "prior", "to", "the", "requested", "date", "of", "any", "Borrowing", "of", ",", "Conversion", "to", "or", "continuation", "of", "LIBOR", "Rate", "Loans", "or", "of", "any", "Conversion", "of", "LIBOR", "Rate", "Loans", "to", "Base", "Rate", "Loans", ",", "and", "(", "ii", ")", "one", "Business", "Day", "prior", "to", "the", "requested", "date", "of", "any", "Borrowing", "of", "Base", "Rate", "Loans", ";", "provided", ",", "however", ",", "that", "if", "the", "Lead", "Borrower", "wishes", "to", "request", "LIBOR", "Rate", "Loans", "having", "an", "Interest", "Period", "of", "twelve", "months", "in", "duration", "as", "provided", "in", "the", "definition", "of", "Interest", "Period", ",", "the", "applicable", "notice", "must", "be", "received", "by", "the", "Administrative", "Agent", "not", "later", "than", "11", ":", "00", "a", ".", "m", ".", "four", "Business", "Days", "prior", "to", "the", "requested", "date", "of", "such", "Borrowing", ",", "conversion", "or", "continuation", ",", "whereupon", "the", "Administrative", "Agent", "shall", "give", "prompt", "notice", "to", "the", "Appropriate", "Lenders", "of", "such", "request", "and", "determine", "whether", "the", "requested", "Interest", "Period", "is", "acceptable", "to", "all", "of", "them", ".", "Not", "later", "than", "11", ":", "00", "a", ".", "m", ".", ",", "three", "Business", "Days", "before", "the", "requested", "date", "of", "such", "Borrowing", ",", "conversion", "or", "continuation", ",", "the", "Administrative", "Agent", "shall", "notify", "the", "Lead", "Borrower", "(", "which", "notice", "may", "be", "by", "telephone", ")", "whether", "or", "not", "the", "requested", "Interest", "Period", "has", "been", "consented", "to", "by", "all", "the", "Lenders", ".", "Each", "telephonic", "notice", "by", "the", "Lead", "Borrower", "pursuant", "to", "this", "Section", "2", ".", "02", "(", "b", ")", "must", "be", "confirmed", "promptly", "by", "delivery", "to", "the", "Administrative", "Agent", "of", "a", "written", "Committed", "Loan", "Notice", ",", "appropriately", "completed", "and", "signed", "by", "a", "Responsible", "Officer", "of", "the", "Lead", "Borrower", ".", "Each", "Borrowing", "of", ",", "Conversion", "to", "or", "continuation", "of", "LIBOR", "Rate", "Loans", "shall", "be", "in", "a", "principal", "amount", "of", "$", "1", ",", "000", ",", "000", "or", "a", "whole", "multiple", "of", "$", "500", ",", "000", "in", "excess", "thereof", ".", "Except", "as", "provided", "in", "Sections", "2", ".", "03", "(", "c", ")", "and", "2", ".", "04", "(", "c", ")", ",", "each", "Borrowing", "of", "or", "Conversion", "to", "Base", "Rate", "Loans", "shall", "be", "in", "a", "principal", "amount", "of", "$", "500", ",", "000", "or", "a", "whole", "multiple", "of", "$", "100", ",", "000", "in", "excess", "thereof", ".", "Each", "Committed", "Loan", "Notice", "(", "whether", "telephonic", "or", "written", ")", "shall", "specify", "(", "i", ")", "whether", "the", "Lead", "Borrower", "is", "requesting", "a", "Committed", "Borrowing", ",", "a", "Conversion", "of", "Committed", "Loans", "from", "one", "Type", "to", "the", "other", ",", "or", "a", "continuation", "of", "LIBOR", "Rate", "Loans", ",", "(", "ii", ")", "the", "requested", "date", "of", "the", "Borrowing", ",", "Conversion", "or", "continuation", ",", "as", "the", "case", "may", "be", "(", "which", "shall", "be", "a", "Business", "Day", ")", ",", "(", "iii", ")", "the", "principal", "amount", "of", "Committed", "Loans", "to", "be", "borrowed", ",", "Converted", "or", "continued", ",", "(", "iv", ")", "the", "Class", "and", "Type", "of", "Committed", "Loans", "to", "be", "borrowed", "or", "to", "which", "existing", "Committed", "Loans", "are", "to", "be", "Converted", ",", "and", "(", "v", ")", "if", "applicable", ",", "the", "duration", "of", "the", "Interest", "Period", "with", "respect", "thereto", ".", "If", "the", "Lead", "Borrower", "fails", "to", "specify", "a", "Type", "of", "Committed", "Loan", "in", "a", "Committed", "Loan", "Notice", "or", "if", "the", "Lead", "Borrower", "fails", "to", "give", "a", "timely", "notice", "requesting", "a", "Conversion", "or", "continuation", ",", "then", "the", "applicable", "Committed", "Loans", "shall", "be", "made", "as", ",", "or", "Converted", "to", ",", "Base", "Rate", "Loans", ".", "Any", "such", "automatic", "Conversion", "to", "Base", "Rate", "Loans", "shall", "be", "effective", "as", "of", "the", "last", "day", "of", "the", "Interest", "Period", "then", "in", "effect", "with", "respect", "to", "the", "applicable", "LIBOR", "Rate", "Loans", ".", "If", "the", "Lead", "Borrower", "requests", "a", "Borrowing", "of", ",", "Conversion", "to", ",", "or", "continuation", "of", "LIBOR", "Rate", "Loans", "in", "any", "such", "Committed", "Loan", "Notice", ",", "but", "fails", "to", "specify", "an", "Interest", "Period", ",", "it", "will", "be", "deemed", "to", "have", "specified", "an", "Interest", "Period", "of", "one", "month", ".", "Notwithstanding", "anything", "to", "the", "contrary", "herein", ",", "a", "Swing", "Line", "Loan", "may", "not", "be", "Converted", "to", "a", "LIBOR", "Rate", "Loan", "."]}
{"id": "16334", "text": "(g) Conflicting Provisions. This Section shall supersede any provisions in Sections 2.13 or 10.01 to the contrary.", "ner": [[13, 20, "Regulation"]], "tokenized_text": ["(", "g", ")", "Conflicting", "Provisions", ".", "This", "Section", "shall", "supersede", "any", "provisions", "in", "Sections", "2", ".", "13", "or", "10", ".", "01", "to", "the", "contrary", "."]}
{"id": "16335", "text": "ARTICLE III TAXES, YIELD PROTECTION AND ILLEGALITY; APPOINTMENT OF LEAD BORROWER", "ner": [], "tokenized_text": ["ARTICLE", "III", "TAXES", ",", "YIELD", "PROTECTION", "AND", "ILLEGALITY", ";", "APPOINTMENT", "OF", "LEAD", "BORROWER"]}
{"id": "16338", "text": "5.13Margin Regulations; Investment Company Act .&lt; <sup> br/&gt;", "ner": [[5, 7, "Act"]], "tokenized_text": ["5", ".", "13Margin", "Regulations", ";", "Investment", "Company", "Act", ".", "&", "lt", ";", "<", "sup", ">", "br", "/", "&", "gt", ";"]}
{"id": "16340", "text": "(b)When the Security Agreement (or a short form thereof) in proper form is filed in the United States Patent and Trademark Office and the United States Copyright Office and when financing statements, releases and other filings in appropriate form are filed in the offices specified on Schedule II of the Security Agreement, the Collateral Agent shall have a fully perfected Lien on, and security interest in, all right, title and interest of the applicable Loan Parties in the Intellectual Property Collateral (as defined in the Security Agreement) in which a security interest may be perfected by filing, recording or registering a security agreement, financing statement or analogous document in the United States Patent and Trademark Office or the United States Copyright Office , as applicable, in each case prior and superior in right to any other Person to the extent required by the Loan Documents, subject to Permitted Encumbrances having priority under applicable Law (it being understood that subsequent recordings in the United States Patent and Trademark Office and the United States Copyright Office may be necessary to perfect a Lien on registered trademarks, trademark applications and copyrights acquired by the Loan Parties after the Effective Date).", "ner": [[5, 6, "Title"], [114, 115, "Title"]], "tokenized_text": ["(", "b", ")", "When", "the", "Security", "Agreement", "(", "or", "a", "short", "form", "thereof", ")", "in", "proper", "form", "is", "filed", "in", "the", "United", "States", "Patent", "and", "Trademark", "Office", "and", "the", "United", "States", "Copyright", "Office", "and", "when", "financing", "statements", ",", "releases", "and", "other", "filings", "in", "appropriate", "form", "are", "filed", "in", "the", "offices", "specified", "on", "Schedule", "II", "of", "the", "Security", "Agreement", ",", "the", "Collateral", "Agent", "shall", "have", "a", "fully", "perfected", "Lien", "on", ",", "and", "security", "interest", "in", ",", "all", "right", ",", "title", "and", "interest", "of", "the", "applicable", "Loan", "Parties", "in", "the", "Intellectual", "Property", "Collateral", "(", "as", "defined", "in", "the", "Security", "Agreement", ")", "in", "which", "a", "security", "interest", "may", "be", "perfected", "by", "filing", ",", "recording", "or", "registering", "a", "security", "agreement", ",", "financing", "statement", "or", "analogous", "document", "in", "the", "United", "States", "Patent", "and", "Trademark", "Office", "or", "the", "United", "States", "Copyright", "Office", ",", "as", "applicable", ",", "in", "each", "case", "prior", "and", "superior", "in", "right", "to", "any", "other", "Person", "to", "the", "extent", "required", "by", "the", "Loan", "Documents", ",", "subject", "to", "Permitted", "Encumbrances", "having", "priority", "under", "applicable", "Law", "(", "it", "being", "understood", "that", "subsequent", "recordings", "in", "the", "United", "States", "Patent", "and", "Trademark", "Office", "and", "the", "United", "States", "Copyright", "Office", "may", "be", "necessary", "to", "perfect", "a", "Lien", "on", "registered", "trademarks", ",", "trademark", "applications", "and", "copyrights", "acquired", "by", "the", "Loan", "Parties", "after", "the", "Effective", "Date", ")", "."]}
{"id": "15341", "text": "5.22USA PATRIOT Act Notice. Each Loan Party is in compliance, in all material respects, with Patriot Act, to the extent each Loan Party is legally required to comply with the Patriot Act.&lt; br/&gt;", "ner": [[3, 4, "Act"], [20, 21, "Act"]], "tokenized_text": ["5", ".", "22USA", "PATRIOT", "Act", "Notice", ".", "Each", "Loan", "Party", "is", "in", "compliance", ",", "in", "all", "material", "respects", ",", "with", "Patriot", "Act", ",", "to", "the", "extent", "each", "Loan", "Party", "is", "legally", "required", "to", "comply", "with", "the", "Patriot", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "16342", "text": "5.23Office of Foreign Assets Control . Neither the advance of the Loans nor the use of the proceeds of the Loans, nor the lending, contribution or otherwise making available such proceeds to any Subsidiary, joint venture partner or other individual or entity, will be used to fund any activities of or business with any individual or entity, or in any Designated Jurisdiction, that at the time of such funding, is the subject of Sanctions, or in any other manner that will result in a violation by any individual or entity (including any individual or entity participating in the transaction, whether as Lender, Arranger, Administrative Agent, L/C Issuer, Swing Line Lender, or otherwise) of Sanctions. Neither the Borrowers, nor any of their Subsidiaries, nor, to the knowledge of the Borrowers and their Subsidiaries, any director, officer, employee, agent, Affiliate or representative thereof, is an individual or entity that is, or is 50% owned or controlled by any individual or entity that is (i) currently the subject or target of any Sanctions or (ii) located, organized or a resident in a Designated Jurisdiction.", "ner": [[181, 182, "Percentage"]], "tokenized_text": ["5", ".", "23Office", "of", "Foreign", "Assets", "Control", ".", "Neither", "the", "advance", "of", "the", "Loans", "nor", "the", "use", "of", "the", "proceeds", "of", "the", "Loans", ",", "nor", "the", "lending", ",", "contribution", "or", "otherwise", "making", "available", "such", "proceeds", "to", "any", "Subsidiary", ",", "joint", "venture", "partner", "or", "other", "individual", "or", "entity", ",", "will", "be", "used", "to", "fund", "any", "activities", "of", "or", "business", "with", "any", "individual", "or", "entity", ",", "or", "in", "any", "Designated", "Jurisdiction", ",", "that", "at", "the", "time", "of", "such", "funding", ",", "is", "the", "subject", "of", "Sanctions", ",", "or", "in", "any", "other", "manner", "that", "will", "result", "in", "a", "violation", "by", "any", "individual", "or", "entity", "(", "including", "any", "individual", "or", "entity", "participating", "in", "the", "transaction", ",", "whether", "as", "Lender", ",", "Arranger", ",", "Administrative", "Agent", ",", "L", "/", "C", "Issuer", ",", "Swing", "Line", "Lender", ",", "or", "otherwise", ")", "of", "Sanctions", ".", "Neither", "the", "Borrowers", ",", "nor", "any", "of", "their", "Subsidiaries", ",", "nor", ",", "to", "the", "knowledge", "of", "the", "Borrowers", "and", "their", "Subsidiaries", ",", "any", "director", ",", "officer", ",", "employee", ",", "agent", ",", "Affiliate", "or", "representative", "thereof", ",", "is", "an", "individual", "or", "entity", "that", "is", ",", "or", "is", "50", "%", "owned", "or", "controlled", "by", "any", "individual", "or", "entity", "that", "is", "(", "i", ")", "currently", "the", "subject", "or", "target", "of", "any", "Sanctions", "or", "(", "ii", ")", "located", ",", "organized", "or", "a", "resident", "in", "a", "Designated", "Jurisdiction", "."]}
{"id": "16343", "text": "5.26FCPA. The Parent and its Subsidiaries and, to the knowledge of the Parent and its Subsidiaries, their respective officers, directors, employees, agents and Affiliates while acting on behalf of the Parent or its Subsidiaries, have conducted their businesses in compliance with the anti- bribery provisions of the United States Foreign Corrupt Practices Act of 1977 and, to the extent applicable, the UK Bribery Act 2010 and other similar anti- corruption legislation in other jurisdictions and maintain policies and procedures designed to promote and achieve compliance with such laws, to the extent such laws are applicable to the Parent and its Subsidiaries. No part of the proceeds of the Loans will be used, directly or indirectly, for any payments to any governmental official or employee, political party, official of a political party, candidate for political office, or anyone else acting in an official capacity, in order to obtain, retain or direct business or obtain any improper advantage, in violation of the United States Foreign Corrupt Practices Act of 1977 , as amended, or any other applicable anti-corruption laws.", "ner": [[57, 64, "Act"], [73, 76, "Act"]], "tokenized_text": ["5", ".", "26FCPA", ".", "The", "Parent", "and", "its", "Subsidiaries", "and", ",", "to", "the", "knowledge", "of", "the", "Parent", "and", "its", "Subsidiaries", ",", "their", "respective", "officers", ",", "directors", ",", "employees", ",", "agents", "and", "Affiliates", "while", "acting", "on", "behalf", "of", "the", "Parent", "or", "its", "Subsidiaries", ",", "have", "conducted", "their", "businesses", "in", "compliance", "with", "the", "anti", "-", "bribery", "provisions", "of", "the", "United", "States", "Foreign", "Corrupt", "Practices", "Act", "of", "1977", "and", ",", "to", "the", "extent", "applicable", ",", "the", "UK", "Bribery", "Act", "2010", "and", "other", "similar", "anti", "-", "corruption", "legislation", "in", "other", "jurisdictions", "and", "maintain", "policies", "and", "procedures", "designed", "to", "promote", "and", "achieve", "compliance", "with", "such", "laws", ",", "to", "the", "extent", "such", "laws", "are", "applicable", "to", "the", "Parent", "and", "its", "Subsidiaries", ".", "No", "part", "of", "the", "proceeds", "of", "the", "Loans", "will", "be", "used", ",", "directly", "or", "indirectly", ",", "for", "any", "payments", "to", "any", "governmental", "official", "or", "employee", ",", "political", "party", ",", "official", "of", "a", "political", "party", ",", "candidate", "for", "political", "office", ",", "or", "anyone", "else", "acting", "in", "an", "official", "capacity", ",", "in", "order", "to", "obtain", ",", "retain", "or", "direct", "business", "or", "obtain", "any", "improper", "advantage", ",", "in", "violation", "of", "the", "United", "States", "Foreign", "Corrupt", "Practices", "Act", "of", "1977", ",", "as", "amended", ",", "or", "any", "other", "applicable", "anti-corruption", "laws", "."]}
{"id": "15349", "text": "7.04Fundamental Changes. Merge , dissolve, liquidate, consolidate with or into another Person, or Dispose of (whether in one transaction or in a series of transactions) all or substantially all of its assets (whether now owned or hereafter acquired) to or in favor of any Person, except that:", "ner": [], "tokenized_text": ["7", ".", "04Fundamental", "Changes", ".", "Merge", ",", "dissolve", ",", "liquidate", ",", "consolidate", "with", "or", "into", "another", "Person", ",", "or", "Dispose", "of", "(", "whether", "in", "one", "transaction", "or", "in", "a", "series", "of", "transactions", ")", "all", "or", "substantially", "all", "of", "its", "assets", "(", "whether", "now", "owned", "or", "hereafter", "acquired", ")", "to", "or", "in", "favor", "of", "any", "Person", ",", "except", "that", ":"]}
{"id": "16350", "text": "(d)so long as no Default exists or would result therefrom, a Borrower may merge with any other Person; provided that (i) such Borrower shall be the continuing or surviving corporation or (ii) if the Person formed by or surviving any such merger or consolidation is not a Borrower (any such Person, the Successor Company), (A) the Successor Company shall be an entity organized or existing under the Laws of the United States, any state thereof, the District of Columbia or any territory thereof, (B) the Successor Company shall expressly assume all the obligations of such Borrower under this Agreement and the other Loan Documents to which such Borrower is a party pursuant to a supplement hereto or thereto in form reasonably satisfactory to the Agent, (C) each Loan Party, unless it is the other party to such merger or consolidation, shall have confirmed that its obligations under the Loan Documents, including the Guarantee, shall continue to apply to the Successor Companys obligations under the Loan Agreements, (D) each Loan Party, unless it is the other party to such merger or consolidation, shall have by a supplement to the Security Agreement and other applicable Security Documents confirmed that its obligations thereunder shall apply to the Successor Companys obligations under the Loan Documents, (E) such Borrower shall have delivered to the Administrative Agent an officers certificate and an opinion of counsel, each stating that such merger or consolidation and such supplement to this Agreement or any Security Document does not conflict with this Agreement and (F) the Administrative Agent shall have received all documentation and other information required by regulatory authorities under applicable know your customer and anti-money laundering rules and regulations, including without limitation the USA PATRIOT Act reasonably requested by the Lenders; provided further that if the foregoing are satisfied, the Successor Company will succeed to, and be substituted for, such Borrower under this Agreement;", "ner": [[191, 192, "Title"], [220, 221, "Title"], [323, 325, "Act"]], "tokenized_text": ["(", "d", ")", "so", "long", "as", "no", "Default", "exists", "or", "would", "result", "therefrom", ",", "a", "Borrower", "may", "merge", "with", "any", "other", "Person", ";", "provided", "that", "(", "i", ")", "such", "Borrower", "shall", "be", "the", "continuing", "or", "surviving", "corporation", "or", "(", "ii", ")", "if", "the", "Person", "formed", "by", "or", "surviving", "any", "such", "merger", "or", "consolidation", "is", "not", "a", "Borrower", "(", "any", "such", "Person", ",", "the", "Successor", "Company", ")", ",", "(", "A", ")", "the", "Successor", "Company", "shall", "be", "an", "entity", "organized", "or", "existing", "under", "the", "Laws", "of", "the", "United", "States", ",", "any", "state", "thereof", ",", "the", "District", "of", "Columbia", "or", "any", "territory", "thereof", ",", "(", "B", ")", "the", "Successor", "Company", "shall", "expressly", "assume", "all", "the", "obligations", "of", "such", "Borrower", "under", "this", "Agreement", "and", "the", "other", "Loan", "Documents", "to", "which", "such", "Borrower", "is", "a", "party", "pursuant", "to", "a", "supplement", "hereto", "or", "thereto", "in", "form", "reasonably", "satisfactory", "to", "the", "Agent", ",", "(", "C", ")", "each", "Loan", "Party", ",", "unless", "it", "is", "the", "other", "party", "to", "such", "merger", "or", "consolidation", ",", "shall", "have", "confirmed", "that", "its", "obligations", "under", "the", "Loan", "Documents", ",", "including", "the", "Guarantee", ",", "shall", "continue", "to", "apply", "to", "the", "Successor", "Companys", "obligations", "under", "the", "Loan", "Agreements", ",", "(", "D", ")", "each", "Loan", "Party", ",", "unless", "it", "is", "the", "other", "party", "to", "such", "merger", "or", "consolidation", ",", "shall", "have", "by", "a", "supplement", "to", "the", "Security", "Agreement", "and", "other", "applicable", "Security", "Documents", "confirmed", "that", "its", "obligations", "thereunder", "shall", "apply", "to", "the", "Successor", "Companys", "obligations", "under", "the", "Loan", "Documents", ",", "(", "E", ")", "such", "Borrower", "shall", "have", "delivered", "to", "the", "Administrative", "Agent", "an", "officers", "certificate", "and", "an", "opinion", "of", "counsel", ",", "each", "stating", "that", "such", "merger", "or", "consolidation", "and", "such", "supplement", "to", "this", "Agreement", "or", "any", "Security", "Document", "does", "not", "conflict", "with", "this", "Agreement", "and", "(", "F", ")", "the", "Administrative", "Agent", "shall", "have", "received", "all", "documentation", "and", "other", "information", "required", "by", "regulatory", "authorities", "under", "applicable", "know", "your", "customer", "and", "anti-money", "laundering", "rules", "and", "regulations", ",", "including", "without", "limitation", "the", "USA", "PATRIOT", "Act", "reasonably", "requested", "by", "the", "Lenders", ";", "provided", "further", "that", "if", "the", "foregoing", "are", "satisfied", ",", "the", "Successor", "Company", "will", "succeed", "to", ",", "and", "be", "substituted", "for", ",", "such", "Borrower", "under", "this", "Agreement", ";"]}
{"id": "16356", "text": "9.19Disqualified Institutions. The Administrative Agent shall not be responsible or have any liability for, or have any duty to ascertain, inquire into, monitor or enforce, compliance with the provisions of this Agreement relating to Disqualified Institutions. Without limiting the generality of the foregoing, the Administrative Agent shall not (x) be obligated to ascertain, monitor or inquire as to whether any Lender or Participant or prospective Lender or Participant is a Disqualified Institution or (y) have any liability with respect to or arising out of any assignment or participation of Loans, or disclosure of confidential information, to any Disqualified Institution. Each Lender represents and warrants to the parties hereto that at the time it becomes a Lender, it is not a Disqualified Institution.", "ner": [], "tokenized_text": ["9", ".", "19Disqualified", "Institutions", ".", "The", "Administrative", "Agent", "shall", "not", "be", "responsible", "or", "have", "any", "liability", "for", ",", "or", "have", "any", "duty", "to", "ascertain", ",", "inquire", "into", ",", "monitor", "or", "enforce", ",", "compliance", "with", "the", "provisions", "of", "this", "Agreement", "relating", "to", "Disqualified", "Institutions", ".", "Without", "limiting", "the", "generality", "of", "the", "foregoing", ",", "the", "Administrative", "Agent", "shall", "not", "(", "x", ")", "be", "obligated", "to", "ascertain", ",", "monitor", "or", "inquire", "as", "to", "whether", "any", "Lender", "or", "Participant", "or", "prospective", "Lender", "or", "Participant", "is", "a", "Disqualified", "Institution", "or", "(", "y", ")", "have", "any", "liability", "with", "respect", "to", "or", "arising", "out", "of", "any", "assignment", "or", "participation", "of", "Loans", ",", "or", "disclosure", "of", "confidential", "information", ",", "to", "any", "Disqualified", "Institution", ".", "Each", "Lender", "represents", "and", "warrants", "to", "the", "parties", "hereto", "that", "at", "the", "time", "it", "becomes", "a", "Lender", ",", "it", "is", "not", "a", "Disqualified", "Institution", "."]}
{"id": "15357", "text": "(b) Electronic Communications. Notices and other communications to the Lenders and the L/C Issuers hereunder may be delivered or furnished by electronic communication (including e-mail and Internet or intranet websites) pursuant to procedures approved by the Administrative Agent, provided that the foregoing shall not apply to notices to any Lender or L/C Issuer pursuant to Article II if such Lender or L/C Issuer, as applicable, has notified the Administrative Agent that it is incapable of receiving notices under such Article by electronic communication. The Administrative Agent or the Lead Borrower may, in its discretion, agree to accept notices and other communications to it hereunder by electronic communications pursuant to procedures approved by it, provided that approval of such procedures may be limited to particular notices or communications.", "ner": [], "tokenized_text": ["(", "b", ")", "Electronic", "Communications", ".", "Notices", "and", "other", "communications", "to", "the", "Lenders", "and", "the", "L", "/", "C", "Issuers", "hereunder", "may", "be", "delivered", "or", "furnished", "by", "electronic", "communication", "(", "including", "e-mail", "and", "Internet", "or", "intranet", "websites", ")", "pursuant", "to", "procedures", "approved", "by", "the", "Administrative", "Agent", ",", "provided", "that", "the", "foregoing", "shall", "not", "apply", "to", "notices", "to", "any", "Lender", "or", "L", "/", "C", "Issuer", "pursuant", "to", "Article", "II", "if", "such", "Lender", "or", "L", "/", "C", "Issuer", ",", "as", "applicable", ",", "has", "notified", "the", "Administrative", "Agent", "that", "it", "is", "incapable", "of", "receiving", "notices", "under", "such", "Article", "by", "electronic", "communication", ".", "The", "Administrative", "Agent", "or", "the", "Lead", "Borrower", "may", ",", "in", "its", "discretion", ",", "agree", "to", "accept", "notices", "and", "other", "communications", "to", "it", "hereunder", "by", "electronic", "communications", "pursuant", "to", "procedures", "approved", "by", "it", ",", "provided", "that", "approval", "of", "such", "procedures", "may", "be", "limited", "to", "particular", "notices", "or", "communications", "."]}
{"id": "16360", "text": "(f) Certain Pledges. Any Lender may at any time pledge or assign a security interest in all or any portion of its rights under this Agreement (including under its Note, if any) to secure obligations of such Lender, including any pledge or assignment to secure obligations to a Federal Reserve Bank or other central bank having jurisdiction over such Lender; provided that no such pledge or assignment shall release such Lender from any of its obligations hereunder or substitute any such pledgee or assignee for such Lender as a party hereto.", "ner": [], "tokenized_text": ["(", "f", ")", "Certain", "Pledges", ".", "Any", "Lender", "may", "at", "any", "time", "pledge", "or", "assign", "a", "security", "interest", "in", "all", "or", "any", "portion", "of", "its", "rights", "under", "this", "Agreement", "(", "including", "under", "its", "Note", ",", "if", "any", ")", "to", "secure", "obligations", "of", "such", "Lender", ",", "including", "any", "pledge", "or", "assignment", "to", "secure", "obligations", "to", "a", "Federal", "Reserve", "Bank", "or", "other", "central", "bank", "having", "jurisdiction", "over", "such", "Lender", ";", "provided", "that", "no", "such", "pledge", "or", "assignment", "shall", "release", "such", "Lender", "from", "any", "of", "its", "obligations", "hereunder", "or", "substitute", "any", "such", "pledgee", "or", "assignee", "for", "such", "Lender", "as", "a", "party", "hereto", "."]}
{"id": "15363", "text": "(c)WAIVER OF VENUE. EACH LOAN PARTY IRREVOCABLY AND UNCONDITIONALLY WAIVES, TO THE FULLEST EXTENT PERMITTED BY LAW, ANY OBJECTION THAT IT MAY NOW OR HEREAFTER HAVE TO THE LAYING OF VENUE OF ANY ACTION OR PROCEEDING ARISING OUT OF OR RELATING TO THIS AGREEMENT OR ANY OTHER LOAN DOCUMENT IN ANY COURT REFERRED TO IN PARAGRAPH (B) OF THIS SECTION. EACH OF THE LOAN PARTIES HERETO HEREBY IRREVOCABLY WAIVES, TO THE FULLEST EXTENT PERMITTED BY LAW, THE DEFENSE OF AN INCONVENIENT FORUM TO THE MAINTENANCE OF SUCH ACTION OR PROCEEDING IN ANY SUCH COURT.", "ner": [], "tokenized_text": ["(", "c", ")", "WAIVER", "OF", "VENUE", ".", "EACH", "LOAN", "PARTY", "IRREVOCABLY", "AND", "UNCONDITIONALLY", "WAIVES", ",", "TO", "THE", "FULLEST", "EXTENT", "PERMITTED", "BY", "LAW", ",", "ANY", "OBJECTION", "THAT", "IT", "MAY", "NOW", "OR", "HEREAFTER", "HAVE", "TO", "THE", "LAYING", "OF", "VENUE", "OF", "ANY", "ACTION", "OR", "PROCEEDING", "ARISING", "OUT", "OF", "OR", "RELATING", "TO", "THIS", "AGREEMENT", "OR", "ANY", "OTHER", "LOAN", "DOCUMENT", "IN", "ANY", "COURT", "REFERRED", "TO", "IN", "PARAGRAPH", "(", "B", ")", "OF", "THIS", "SECTION", ".", "EACH", "OF", "THE", "LOAN", "PARTIES", "HERETO", "HEREBY", "IRREVOCABLY", "WAIVES", ",", "TO", "THE", "FULLEST", "EXTENT", "PERMITTED", "BY", "LAW", ",", "THE", "DEFENSE", "OF", "AN", "INCONVENIENT", "FORUM", "TO", "THE", "MAINTENANCE", "OF", "SUCH", "ACTION", "OR", "PROCEEDING", "IN", "ANY", "SUCH", "COURT", "."]}
{"id": "16364", "text": "(e)ACTIONS COMMENCED BY LOAN PARTIES. EACH LOAN PARTY AGREES THAT ANY ACTION COMMENCED BY ANY LOAN PARTY ASSERTING ANY CLAIM OR COUNTERCLAIM ARISING UNDER OR IN CONNECTION WITH THIS AGREEMENT OR ANY OTHER LOAN DOCUMENT SHALL BE BROUGHT SOLELY IN A COURT OF THE STATE OF NEW YORK SITTING IN NEW YORK COUNTY OR THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK AS THE ADMINISTRATIVE AGENT MAY ELECT IN ITS SOLE DISCRETION AND CONSENTS TO THE EXCLUSIVE JURISDICTION OF SUCH COURTS WITH RESPECT TO ANY SUCH ACTION.", "ner": [[48, 51, "Court"], [54, 56, "Address"], [59, 69, "Court"]], "tokenized_text": ["(", "e", ")", "ACTIONS", "COMMENCED", "BY", "LOAN", "PARTIES", ".", "EACH", "LOAN", "PARTY", "AGREES", "THAT", "ANY", "ACTION", "COMMENCED", "BY", "ANY", "LOAN", "PARTY", "ASSERTING", "ANY", "CLAIM", "OR", "COUNTERCLAIM", "ARISING", "UNDER", "OR", "IN", "CONNECTION", "WITH", "THIS", "AGREEMENT", "OR", "ANY", "OTHER", "LOAN", "DOCUMENT", "SHALL", "BE", "BROUGHT", "SOLELY", "IN", "A", "COURT", "OF", "THE", "STATE", "OF", "NEW", "YORK", "SITTING", "IN", "NEW", "YORK", "COUNTY", "OR", "THE", "UNITED", "STATES", "DISTRICT", "COURT", "FOR", "THE", "SOUTHERN", "DISTRICT", "OF", "NEW", "YORK", "AS", "THE", "ADMINISTRATIVE", "AGENT", "MAY", "ELECT", "IN", "ITS", "SOLE", "DISCRETION", "AND", "CONSENTS", "TO", "THE", "EXCLUSIVE", "JURISDICTION", "OF", "SUCH", "COURTS", "WITH", "RESPECT", "TO", "ANY", "SUCH", "ACTION", "."]}
{"id": "16366", "text": "10.17USA Patriot Act. Each Lender and the Administrative Agent (for itself and not on behalf of any Lender), which are subject to the Patriot Act ( as hereinafter defined) hereby notifies the Loan Parties that pursuant to the requirements of the USA PATRIOT Act ( Title III of Pub. L. 107-56 (signed into law October 26, 2001)) (the Patriot Act), it is required to obtain, verify and record information that identifies each Loan Party, which information includes the name and address of each Loan Party and other information that will allow such Lender or the Administrative Agent, as applicable, to identify each Loan Party in accordance with the Patriot Act.&lt; br/&gt;", "ner": [[3, 4, "Act"], [48, 50, "Act"], [55, 59, "Regulation"], [64, 67, "EffectiveDate"]], "tokenized_text": ["10", ".", "17USA", "Patriot", "Act", ".", "Each", "Lender", "and", "the", "Administrative", "Agent", "(", "for", "itself", "and", "not", "on", "behalf", "of", "any", "Lender", ")", ",", "which", "are", "subject", "to", "the", "Patriot", "Act", "(", "as", "hereinafter", "defined", ")", "hereby", "notifies", "the", "Loan", "Parties", "that", "pursuant", "to", "the", "requirements", "of", "the", "USA", "PATRIOT", "Act", "(", "Title", "III", "of", "Pub", ".", "L", ".", "107-56", "(", "signed", "into", "law", "October", "26", ",", "2001", ")", ")", "(", "the", "Patriot", "Act", ")", ",", "it", "is", "required", "to", "obtain", ",", "verify", "and", "record", "information", "that", "identifies", "each", "Loan", "Party", ",", "which", "information", "includes", "the", "name", "and", "address", "of", "each", "Loan", "Party", "and", "other", "information", "that", "will", "allow", "such", "Lender", "or", "the", "Administrative", "Agent", ",", "as", "applicable", ",", "to", "identify", "each", "Loan", "Party", "in", "accordance", "with", "the", "Patriot", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "16367", "text": "the Obligations and the termination of the Commitments. In addition, any indebtedness of any Loan Party now or hereafter held by any other Loan Party is hereby subordinated in right of payment to the prior indefeasible payment in full of the Obligations and no Loan Party will demand, sue for or otherwise attempt to collect any such indebtedness. If any amount shall erroneously be paid to any Loan Party on account of (i) such subrogation, contribution, reimbursement, indemnity or similar right or (ii) any such indebtedness of any Loan Party, such amount shall be held in trust for the benefit of the Credit Parties and shall forthwith be paid to the Administrative Agent to be credited against the payment of the Obligations, whether matured or unmatured, in accordance with the terms of this Agreement and the other Loan Documents. Subject to the foregoing, to the extent that any Borrower shall, under this Agreement as a joint and several obligor, repay any of the Obligations constituting Loans made to another Borrower hereunder or other Obligations incurred directly and primarily by any other Borrower (an Accommodation Payment), then the Borrower making such Accommodation Payment shall be entitled to contribution and indemnification from, and be reimbursed by, each of the other Borrowers in an amount, for each of such other Borrowers, equal to a fraction of such Accommodation Payment, the numerator of which fraction is such other Borrowers Allocable Amount and the denominator of which is the sum of the Allocable Amounts of all of the Borrowers. As of any date of determination, the Allocable Amount of each Borrower shall be equal to the maximum amount of liability for Accommodation Payments which could be asserted against such Borrower hereunder without (a) rendering such Borrower insolvent within the meaning of Section 101 (31) of the Bankruptcy Code, Section 2 of the Uniform Fraudulent Transfer Act ( UFTA) or Section 2 of the Uniform Fraudulent Conveyance Act ( UFCA), (b) leaving such Borrower with unreasonably small capital or assets, within the meaning of Section 548 of the Bankruptcy Code, Section 4 of the UFTA, or Section 5 of the UFCA, or (c) leaving such Borrower unable to pay its debts as they become due within the meaning of Section 548 of the Bankruptcy Code or Section 4 of the UFTA, or Section 5 of the UFCA.", "ner": [[246, 246, "Ratio"], [326, 330, "Regulation"], [333, 334, "Court"], [340, 343, "Act"], [345, 345, "Act"], [352, 355, "Act"], [357, 357, "Act"], [377, 378, "Regulation"]], "tokenized_text": ["the", "Obligations", "and", "the", "termination", "of", "the", "Commitments", ".", "In", "addition", ",", "any", "indebtedness", "of", "any", "Loan", "Party", "now", "or", "hereafter", "held", "by", "any", "other", "Loan", "Party", "is", "hereby", "subordinated", "in", "right", "of", "payment", "to", "the", "prior", "indefeasible", "payment", "in", "full", "of", "the", "Obligations", "and", "no", "Loan", "Party", "will", "demand", ",", "sue", "for", "or", "otherwise", "attempt", "to", "collect", "any", "such", "indebtedness", ".", "If", "any", "amount", "shall", "erroneously", "be", "paid", "to", "any", "Loan", "Party", "on", "account", "of", "(", "i", ")", "such", "subrogation", ",", "contribution", ",", "reimbursement", ",", "indemnity", "or", "similar", "right", "or", "(", "ii", ")", "any", "such", "indebtedness", "of", "any", "Loan", "Party", ",", "such", "amount", "shall", "be", "held", "in", "trust", "for", "the", "benefit", "of", "the", "Credit", "Parties", "and", "shall", "forthwith", "be", "paid", "to", "the", "Administrative", "Agent", "to", "be", "credited", "against", "the", "payment", "of", "the", "Obligations", ",", "whether", "matured", "or", "unmatured", ",", "in", "accordance", "with", "the", "terms", "of", "this", "Agreement", "and", "the", "other", "Loan", "Documents", ".", "Subject", "to", "the", "foregoing", ",", "to", "the", "extent", "that", "any", "Borrower", "shall", ",", "under", "this", "Agreement", "as", "a", "joint", "and", "several", "obligor", ",", "repay", "any", "of", "the", "Obligations", "constituting", "Loans", "made", "to", "another", "Borrower", "hereunder", "or", "other", "Obligations", "incurred", "directly", "and", "primarily", "by", "any", "other", "Borrower", "(", "an", "Accommodation", "Payment", ")", ",", "then", "the", "Borrower", "making", "such", "Accommodation", "Payment", "shall", "be", "entitled", "to", "contribution", "and", "indemnification", "from", ",", "and", "be", "reimbursed", "by", ",", "each", "of", "the", "other", "Borrowers", "in", "an", "amount", ",", "for", "each", "of", "such", "other", "Borrowers", ",", "equal", "to", "a", "fraction", "of", "such", "Accommodation", "Payment", ",", "the", "numerator", "of", "which", "fraction", "is", "such", "other", "Borrowers", "Allocable", "Amount", "and", "the", "denominator", "of", "which", "is", "the", "sum", "of", "the", "Allocable", "Amounts", "of", "all", "of", "the", "Borrowers", ".", "As", "of", "any", "date", "of", "determination", ",", "the", "Allocable", "Amount", "of", "each", "Borrower", "shall", "be", "equal", "to", "the", "maximum", "amount", "of", "liability", "for", "Accommodation", "Payments", "which", "could", "be", "asserted", "against", "such", "Borrower", "hereunder", "without", "(", "a", ")", "rendering", "such", "Borrower", "insolvent", "within", "the", "meaning", "of", "Section", "101", "(", "31", ")", "of", "the", "Bankruptcy", "Code", ",", "Section", "2", "of", "the", "Uniform", "Fraudulent", "Transfer", "Act", "(", "UFTA", ")", "or", "Section", "2", "of", "the", "Uniform", "Fraudulent", "Conveyance", "Act", "(", "UFCA", ")", ",", "(", "b", ")", "leaving", "such", "Borrower", "with", "unreasonably", "small", "capital", "or", "assets", ",", "within", "the", "meaning", "of", "Section", "548", "of", "the", "Bankruptcy", "Code", ",", "Section", "4", "of", "the", "UFTA", ",", "or", "Section", "5", "of", "the", "UFCA", ",", "or", "(", "c", ")", "leaving", "such", "Borrower", "unable", "to", "pay", "its", "debts", "as", "they", "become", "due", "within", "the", "meaning", "of", "Section", "548", "of", "the", "Bankruptcy", "Code", "or", "Section", "4", "of", "the", "UFTA", ",", "or", "Section", "5", "of", "the", "UFCA", "."]}
{"id": "16368", "text": "IN WITNESS WHEREOF, the parties hereto have caused this Agreement to be duly executed by their respective authorized officers as of the date first above written.", "ner": [], "tokenized_text": ["IN", "WITNESS", "WHEREOF", ",", "the", "parties", "hereto", "have", "caused", "this", "Agreement", "to", "be", "duly", "executed", "by", "their", "respective", "authorized", "officers", "as", "of", "the", "date", "first", "above", "written", "."]}
{"id": "16373", "text": "FOR VALUE RECEIVED, the undersigned (individually, a Borrower and, collectively, the Borrowers), jointly and severally promise to pay to the order of _____________________ (hereinafter, with any subsequent holders, the Lender), c/o Bank of America, N.A. , 901 Main Street, 14th Floor, Dallas, Texas 75202, the principal sum of ___________________ ($______________), or, if less, the aggregate unpaid principal balance of Committed Loans made by the Lender to or for the account of any Borrower pursuant to the Credit Agreement dated as of February 17, 2017 <sup> (as amended, modified, supplemented or restated and in effect from time to time, the Credit Agreement) by and among (i) the Borrowers, (ii) Keane Group, Inc., a Delaware corporation, (iii) the guarantors party thereto, (iv) Bank of America, N.A. , as administrative agent (in such capacity, the Administrative Agent) for its own benefit and the benefit of the other Credit Parties referred to therein, (v) Bank of America, N.A. , as collateral agent (in such capacity, the Collateral Agent) for its own benefit and the benefit of the other Credit Parties, (vi) the L/C Issuers party thereto, and (vii) the lenders from time to time party thereto (individually, a Lender and, collectively, the Lenders), with interest at the rate and payable in the manner stated therein.", "ner": [[45, 52, "Parties"], [54, 64, "Address"], [72, 72, "Principal"], [104, 105, "Title"], [109, 112, "EffectiveDate"], [134, 135, "Title"], [149, 153, "Parties"]], "tokenized_text": ["FOR", "VALUE", "RECEIVED", ",", "the", "undersigned", "(", "individually", ",", "a", "Borrower", "and", ",", "collectively", ",", "the", "Borrowers", ")", ",", "jointly", "and", "severally", "promise", "to", "pay", "to", "the", "order", "of", "_____________________", "(", "hereinafter", ",", "with", "any", "subsequent", "holders", ",", "the", "Lender", ")", ",", "c", "/", "o", "Bank", "of", "America", ",", "N", ".", "A", ".", ",", "901", "Main", "Street", ",", "14th", "Floor", ",", "Dallas", ",", "Texas", "75202", ",", "the", "principal", "sum", "of", "___________________", "(", "$", "______________", ")", ",", "or", ",", "if", "less", ",", "the", "aggregate", "unpaid", "principal", "balance", "of", "Committed", "Loans", "made", "by", "the", "Lender", "to", "or", "for", "the", "account", "of", "any", "Borrower", "pursuant", "to", "the", "Credit", "Agreement", "dated", "as", "of", "February", "17", ",", "2017", "<", "sup", ">", "(", "as", "amended", ",", "modified", ",", "supplemented", "or", "restated", "and", "in", "effect", "from", "time", "to", "time", ",", "the", "Credit", "Agreement", ")", "by", "and", "among", "(", "i", ")", "the", "Borrowers", ",", "(", "ii", ")", "Keane", "Group", ",", "Inc", ".", ",", "a", "Delaware", "corporation", ",", "(", "iii", ")", "the", "guarantors", "party", "thereto", ",", "(", "iv", ")", "Bank", "of", "America", ",", "N", ".", "A", ".", ",", "as", "administrative", "agent", "(", "in", "such", "capacity", ",", "the", "Administrative", "Agent", ")", "for", "its", "own", "benefit", "and", "the", "benefit", "of", "the", "other", "Credit", "Parties", "referred", "to", "therein", ",", "(", "v", ")", "Bank", "of", "America", ",", "N", ".", "A", ".", ",", "as", "collateral", "agent", "(", "in", "such", "capacity", ",", "the", "Collateral", "Agent", ")", "for", "its", "own", "benefit", "and", "the", "benefit", "of", "the", "other", "Credit", "Parties", ",", "(", "vi", ")", "the", "L", "/", "C", "Issuers", "party", "thereto", ",", "and", "(", "vii", ")", "the", "lenders", "from", "time", "to", "time", "party", "thereto", "(", "individually", ",", "a", "Lender", "and", ",", "collectively", ",", "the", "Lenders", ")", ",", "with", "interest", "at", "the", "rate", "and", "payable", "in", "the", "manner", "stated", "therein", "."]}
{"id": "16374", "text": "THIS NOTE SHALL BE GOVERNED BY, AND CONSTRUED IN ACCORDANCE WITH, THE LAWS OF THE STATE OF NEW YORK , WITHOUT REGARD TO CONFLICTS OF LAW PRINCIPLES THEREOF.", "ner": [[17, 20, "Court"]], "tokenized_text": ["THIS", "NOTE", "SHALL", "BE", "GOVERNED", "BY", ",", "AND", "CONSTRUED", "IN", "ACCORDANCE", "WITH", ",", "THE", "LAWS", "OF", "THE", "STATE", "OF", "NEW", "YORK", ",", "WITHOUT", "REGARD", "TO", "CONFLICTS", "OF", "LAW", "PRINCIPLES", "THEREOF", "."]}
{"id": "16375", "text": "Each of the Borrowers iRREVOCABLY AND UNCONDITIONALLY SUBMITS, FOR ITSELF AND ITS PROPERTY, TO THE NONEXCLUSIVE JURISDICTION OF THE COURTS OF THE STATE OF NEW YORK SITTING IN NEW YORK COUNTY AND ANY FEDERAL COURT SITTING THEREIN, AND ANY APPELLATE COURT FROM ANY THEREOF, IN ANY ACTION OR PROCEEDING ARISING OUT OF OR RELATING TO THIS NOTE OR ANY OTHER LOAN DOCUMENT, OR FOR RECOGNITION OR ENFORCEMENT OF ANY JUDGMENT, AND EACH OF THE BORROWERS IRREVOCABLY AND UNCONDITIONALLY AGREES THAT ALL CLAIMS IN RESPECT OF ANY SUCH ACTION OR PROCEEDING MAY BE HEARD AND DETERMINED IN SUCH NEW YORK STATE COURT OR, TO THE FULLEST EXTENT PERMITTED BY APPLICABLE LAW, IN SUCH FEDERAL COURT. EACH OF THE BORROWERS AGREES THAT A FINAL JUDGMENT IN ANY SUCH ACTION OR PROCEEDING SHALL BE CONCLUSIVE AND MAY BE ENFORCED IN OTHER JURISDICTIONS BY SUIT ON THE JUDGMENT OR IN ANY OTHER MANNER PROVIDED BY LAW. NOTHING IN THIS NOTE OR IN ANY OTHER LOAN DOCUMENT SHALL AFFECT ANY RIGHT THAT THE ADMINISTRATIVE AGENT OR THE LENDER MAY OTHERWISE HAVE TO BRING ANY ACTION OR PROCEEDING RELATING TO THIS NOTE OR ANY OTHER LOAN DOCUMENT AGAINST ANY OF THE BORROWERS OR ITS PROPERTIES IN THE COURTS OF ANY JURISDICTION.", "ner": [[24, 27, "Court"], [30, 32, "Address"], [35, 36, "Court"], [103, 106, "Court"]], "tokenized_text": ["Each", "of", "the", "Borrowers", "iRREVOCABLY", "AND", "UNCONDITIONALLY", "SUBMITS", ",", "FOR", "ITSELF", "AND", "ITS", "PROPERTY", ",", "TO", "THE", "NONEXCLUSIVE", "JURISDICTION", "OF", "THE", "COURTS", "OF", "THE", "STATE", "OF", "NEW", "YORK", "SITTING", "IN", "NEW", "YORK", "COUNTY", "AND", "ANY", "FEDERAL", "COURT", "SITTING", "THEREIN", ",", "AND", "ANY", "APPELLATE", "COURT", "FROM", "ANY", "THEREOF", ",", "IN", "ANY", "ACTION", "OR", "PROCEEDING", "ARISING", "OUT", "OF", "OR", "RELATING", "TO", "THIS", "NOTE", "OR", "ANY", "OTHER", "LOAN", "DOCUMENT", ",", "OR", "FOR", "RECOGNITION", "OR", "ENFORCEMENT", "OF", "ANY", "JUDGMENT", ",", "AND", "EACH", "OF", "THE", "BORROWERS", "IRREVOCABLY", "AND", "UNCONDITIONALLY", "AGREES", "THAT", "ALL", "CLAIMS", "IN", "RESPECT", "OF", "ANY", "SUCH", "ACTION", "OR", "PROCEEDING", "MAY", "BE", "HEARD", "AND", "DETERMINED", "IN", "SUCH", "NEW", "YORK", "STATE", "COURT", "OR", ",", "TO", "THE", "FULLEST", "EXTENT", "PERMITTED", "BY", "APPLICABLE", "LAW", ",", "IN", "SUCH", "FEDERAL", "COURT", ".", "EACH", "OF", "THE", "BORROWERS", "AGREES", "THAT", "A", "FINAL", "JUDGMENT", "IN", "ANY", "SUCH", "ACTION", "OR", "PROCEEDING", "SHALL", "BE", "CONCLUSIVE", "AND", "MAY", "BE", "ENFORCED", "IN", "OTHER", "JURISDICTIONS", "BY", "SUIT", "ON", "THE", "JUDGMENT", "OR", "IN", "ANY", "OTHER", "MANNER", "PROVIDED", "BY", "LAW", ".", "NOTHING", "IN", "THIS", "NOTE", "OR", "IN", "ANY", "OTHER", "LOAN", "DOCUMENT", "SHALL", "AFFECT", "ANY", "RIGHT", "THAT", "THE", "ADMINISTRATIVE", "AGENT", "OR", "THE", "LENDER", "MAY", "OTHERWISE", "HAVE", "TO", "BRING", "ANY", "ACTION", "OR", "PROCEEDING", "RELATING", "TO", "THIS", "NOTE", "OR", "ANY", "OTHER", "LOAN", "DOCUMENT", "AGAINST", "ANY", "OF", "THE", "BORROWERS", "OR", "ITS", "PROPERTIES", "IN", "THE", "COURTS", "OF", "ANY", "JURISDICTION", "."]}
{"id": "16376", "text": "EACH OF THE Borrowers IRREVOCABLY AND UNCONDITIONALLY WAIVES, TO THE FULLEST EXTENT PERMITTED BY APPLICABLE LAW, ANY OBJECTION THAT IT MAY NOW OR HEREAFTER HAVE TO THE LAYING OF VENUE OF ANY ACTION OR PROCEEDING ARISING OUT OF OR RELATING TO THIS NOTE OR ANY OTHER LOAN DOCUMENT IN ANY COURT REFERRED TO ABOVE. EACH OF THE BORROWERS HEREBY IRREVOCABLY WAIVES, TO THE FULLEST EXTENT PERMITTED BY APPLICABLE LAW, THE DEFENSE OF AN INCONVENIENT FORUM TO THE MAINTENANCE OF SUCH ACTION OR PROCEEDING IN ANY SUCH COURT.", "ner": [], "tokenized_text": ["EACH", "OF", "THE", "Borrowers", "IRREVOCABLY", "AND", "UNCONDITIONALLY", "WAIVES", ",", "TO", "THE", "FULLEST", "EXTENT", "PERMITTED", "BY", "APPLICABLE", "LAW", ",", "ANY", "OBJECTION", "THAT", "IT", "MAY", "NOW", "OR", "HEREAFTER", "HAVE", "TO", "THE", "LAYING", "OF", "VENUE", "OF", "ANY", "ACTION", "OR", "PROCEEDING", "ARISING", "OUT", "OF", "OR", "RELATING", "TO", "THIS", "NOTE", "OR", "ANY", "OTHER", "LOAN", "DOCUMENT", "IN", "ANY", "COURT", "REFERRED", "TO", "ABOVE", ".", "EACH", "OF", "THE", "BORROWERS", "HEREBY", "IRREVOCABLY", "WAIVES", ",", "TO", "THE", "FULLEST", "EXTENT", "PERMITTED", "BY", "APPLICABLE", "LAW", ",", "THE", "DEFENSE", "OF", "AN", "INCONVENIENT", "FORUM", "TO", "THE", "MAINTENANCE", "OF", "SUCH", "ACTION", "OR", "PROCEEDING", "IN", "ANY", "SUCH", "COURT", "."]}
{"id": "16378", "text": "FOR VALUE RECEIVED, the undersigned (individually, a Borrower and, collectively, the Borrowers), jointly and severally promise to pay to BANK OF AMERICA, N.A. (hereinafter, with any subsequent holders, the Swing Line Lender) or its registered assigns, 901 Main Street, 14th Floor, Dallas, Texas 75202, the principal sum of FIFTEEN MILLION DOLLARS ($15,000,000), or, if less, the aggregate unpaid principal balance of Swing Line Loans made by the Swing Line Lender to or for the account of any Borrower pursuant to the Credit Agreement dated as of February 17, 2017 <sup> (as amended, modified, supplemented or restated and in effect from time to time, the Credit Agreement) by and among (i) the Borrowers, (ii) the guarantors party thereto, (iii) Bank of America, N.A. , as administrative agent (in such capacity, the Administrative Agent) for its own benefit and the benefit of the other Credit Parties referred to therein, (iv) Keane Group, Inc., (v) Bank of America, N.A. , as collateral agent (in such capacity, the Collateral Agent) for its own benefit and the benefit of the other Credit Parties, (vi) the L/C Issuers party thereto, and (vii) the lenders from time to time party thereto (individually, a Lender and, collectively, the Lenders), with interest at the rate and payable in the manner stated therein.", "ner": [[26, 33, "Parties"], [52, 62, "Address"], [72, 77, "Principal"], [111, 112, "Title"], [116, 119, "EffectiveDate"], [141, 142, "Title"], [164, 171, "Parties"], [204, 208, "Parties"]], "tokenized_text": ["FOR", "VALUE", "RECEIVED", ",", "the", "undersigned", "(", "individually", ",", "a", "Borrower", "and", ",", "collectively", ",", "the", "Borrowers", ")", ",", "jointly", "and", "severally", "promise", "to", "pay", "to", "BANK", "OF", "AMERICA", ",", "N", ".", "A", ".", "(", "hereinafter", ",", "with", "any", "subsequent", "holders", ",", "the", "Swing", "Line", "Lender", ")", "or", "its", "registered", "assigns", ",", "901", "Main", "Street", ",", "14th", "Floor", ",", "Dallas", ",", "Texas", "75202", ",", "the", "principal", "sum", "of", "FIFTEEN", "MILLION", "DOLLARS", "(", "$", "15", ",", "000", ",", "000", ")", ",", "or", ",", "if", "less", ",", "the", "aggregate", "unpaid", "principal", "balance", "of", "Swing", "Line", "Loans", "made", "by", "the", "Swing", "Line", "Lender", "to", "or", "for", "the", "account", "of", "any", "Borrower", "pursuant", "to", "the", "Credit", "Agreement", "dated", "as", "of", "February", "17", ",", "2017", "<", "sup", ">", "(", "as", "amended", ",", "modified", ",", "supplemented", "or", "restated", "and", "in", "effect", "from", "time", "to", "time", ",", "the", "Credit", "Agreement", ")", "by", "and", "among", "(", "i", ")", "the", "Borrowers", ",", "(", "ii", ")", "the", "guarantors", "party", "thereto", ",", "(", "iii", ")", "Bank", "of", "America", ",", "N", ".", "A", ".", ",", "as", "administrative", "agent", "(", "in", "such", "capacity", ",", "the", "Administrative", "Agent", ")", "for", "its", "own", "benefit", "and", "the", "benefit", "of", "the", "other", "Credit", "Parties", "referred", "to", "therein", ",", "(", "iv", ")", "Keane", "Group", ",", "Inc", ".", ",", "(", "v", ")", "Bank", "of", "America", ",", "N", ".", "A", ".", ",", "as", "collateral", "agent", "(", "in", "such", "capacity", ",", "the", "Collateral", "Agent", ")", "for", "its", "own", "benefit", "and", "the", "benefit", "of", "the", "other", "Credit", "Parties", ",", "(", "vi", ")", "the", "L", "/", "C", "Issuers", "party", "thereto", ",", "and", "(", "vii", ")", "the", "lenders", "from", "time", "to", "time", "party", "thereto", "(", "individually", ",", "a", "Lender", "and", ",", "collectively", ",", "the", "Lenders", ")", ",", "with", "interest", "at", "the", "rate", "and", "payable", "in", "the", "manner", "stated", "therein", "."]}
{"id": "16379", "text": "THIS SWING LINE NOTE SHALL BE GOVERNED BY, AND CONSTRUED IN ACCORDANCE WITH, THE LAWS OF THE STATE OF NEW YORK , WITHOUT REGARD TO CONFLICTS OF LAW PRINCIPLES THEREOF.", "ner": [[19, 22, "Court"]], "tokenized_text": ["THIS", "SWING", "LINE", "NOTE", "SHALL", "BE", "GOVERNED", "BY", ",", "AND", "CONSTRUED", "IN", "ACCORDANCE", "WITH", ",", "THE", "LAWS", "OF", "THE", "STATE", "OF", "NEW", "YORK", ",", "WITHOUT", "REGARD", "TO", "CONFLICTS", "OF", "LAW", "PRINCIPLES", "THEREOF", "."]}
{"id": "16380", "text": "Each of the Borrowers iRREVOCABLY AND UNCONDITIONALLY SUBMITS, FOR ITSELF AND ITS PROPERTY, TO THE NONEXCLUSIVE JURISDICTION OF THE COURTS OF THE STATE OF NEW YORK SITTING IN NEW YORK COUNTY AND ANY FEDERAL COURT SITTING THEREIN, AND ANY APPELLATE COURT FROM ANY THEREOF, IN ANY ACTION OR PROCEEDING ARISING OUT OF OR RELATING TO THIS SWING LINE NOTE OR ANY OTHER LOAN DOCUMENT, OR FOR RECOGNITION OR ENFORCEMENT OF ANY JUDGMENT, AND EACH OF THE BORROWERS IRREVOCABLY AND UNCONDITIONALLY AGREES THAT ALL CLAIMS IN RESPECT OF ANY SUCH ACTION OR PROCEEDING MAY BE HEARD AND DETERMINED IN SUCH NEW YORK STATE COURT OR, TO THE FULLEST EXTENT PERMITTED BY APPLICABLE LAW, IN SUCH FEDERAL COURT. EACH OF THE BORROWERS AGREES THAT A FINAL JUDGMENT IN ANY SUCH ACTION OR PROCEEDING SHALL BE CONCLUSIVE AND MAY BE ENFORCED IN OTHER JURISDICTIONS BY SUIT ON THE JUDGMENT OR IN ANY OTHER MANNER PROVIDED BY LAW. NOTHING IN THIS SWING LINE NOTE OR IN ANY OTHER LOAN DOCUMENT SHALL AFFECT ANY RIGHT THAT THE ADMINISTRATIVE AGENT OR THE SWING LINE LENDER MAY OTHERWISE HAVE TO BRING ANY ACTION OR PROCEEDING RELATING TO THIS SWING LINE NOTE OR ANY OTHER LOAN DOCUMENT AGAINST ANY OF THE BORROWERS OR ITS PROPERTIES IN THE COURTS OF ANY JURISDICTION.", "ner": [[24, 27, "Court"], [30, 32, "Address"], [35, 36, "Court"], [105, 108, "Court"]], "tokenized_text": ["Each", "of", "the", "Borrowers", "iRREVOCABLY", "AND", "UNCONDITIONALLY", "SUBMITS", ",", "FOR", "ITSELF", "AND", "ITS", "PROPERTY", ",", "TO", "THE", "NONEXCLUSIVE", "JURISDICTION", "OF", "THE", "COURTS", "OF", "THE", "STATE", "OF", "NEW", "YORK", "SITTING", "IN", "NEW", "YORK", "COUNTY", "AND", "ANY", "FEDERAL", "COURT", "SITTING", "THEREIN", ",", "AND", "ANY", "APPELLATE", "COURT", "FROM", "ANY", "THEREOF", ",", "IN", "ANY", "ACTION", "OR", "PROCEEDING", "ARISING", "OUT", "OF", "OR", "RELATING", "TO", "THIS", "SWING", "LINE", "NOTE", "OR", "ANY", "OTHER", "LOAN", "DOCUMENT", ",", "OR", "FOR", "RECOGNITION", "OR", "ENFORCEMENT", "OF", "ANY", "JUDGMENT", ",", "AND", "EACH", "OF", "THE", "BORROWERS", "IRREVOCABLY", "AND", "UNCONDITIONALLY", "AGREES", "THAT", "ALL", "CLAIMS", "IN", "RESPECT", "OF", "ANY", "SUCH", "ACTION", "OR", "PROCEEDING", "MAY", "BE", "HEARD", "AND", "DETERMINED", "IN", "SUCH", "NEW", "YORK", "STATE", "COURT", "OR", ",", "TO", "THE", "FULLEST", "EXTENT", "PERMITTED", "BY", "APPLICABLE", "LAW", ",", "IN", "SUCH", "FEDERAL", "COURT", ".", "EACH", "OF", "THE", "BORROWERS", "AGREES", "THAT", "A", "FINAL", "JUDGMENT", "IN", "ANY", "SUCH", "ACTION", "OR", "PROCEEDING", "SHALL", "BE", "CONCLUSIVE", "AND", "MAY", "BE", "ENFORCED", "IN", "OTHER", "JURISDICTIONS", "BY", "SUIT", "ON", "THE", "JUDGMENT", "OR", "IN", "ANY", "OTHER", "MANNER", "PROVIDED", "BY", "LAW", ".", "NOTHING", "IN", "THIS", "SWING", "LINE", "NOTE", "OR", "IN", "ANY", "OTHER", "LOAN", "DOCUMENT", "SHALL", "AFFECT", "ANY", "RIGHT", "THAT", "THE", "ADMINISTRATIVE", "AGENT", "OR", "THE", "SWING", "LINE", "LENDER", "MAY", "OTHERWISE", "HAVE", "TO", "BRING", "ANY", "ACTION", "OR", "PROCEEDING", "RELATING", "TO", "THIS", "SWING", "LINE", "NOTE", "OR", "ANY", "OTHER", "LOAN", "DOCUMENT", "AGAINST", "ANY", "OF", "THE", "BORROWERS", "OR", "ITS", "PROPERTIES", "IN", "THE", "COURTS", "OF", "ANY", "JURISDICTION", "."]}
{"id": "16385", "text": "I, the undersigned, a senior authorized financial officer of Keane Group Holdings , LLC <sup> , a Delaware limited liability company (Company), in that capacity only and not in my individual capacity (and without personal liability), do hereby certify as of the date hereof, and based upon facts and circumstances as they exist as of the date hereof (and disclaiming any responsibility for changes in such fact and circumstances after the date hereof), that:", "ner": [[6, 9, "Role"], [11, 15, "Parties"]], "tokenized_text": ["I", ",", "the", "undersigned", ",", "a", "senior", "authorized", "financial", "officer", "of", "Keane", "Group", "Holdings", ",", "LLC", "<", "sup", ">", ",", "a", "Delaware", "limited", "liability", "company", "(", "Company", ")", ",", "in", "that", "capacity", "only", "and", "not", "in", "my", "individual", "capacity", "(", "and", "without", "personal", "liability", ")", ",", "do", "hereby", "certify", "as", "of", "the", "date", "hereof", ",", "and", "based", "upon", "facts", "and", "circumstances", "as", "they", "exist", "as", "of", "the", "date", "hereof", "(", "and", "disclaiming", "any", "responsibility", "for", "changes", "in", "such", "fact", "and", "circumstances", "after", "the", "date", "hereof", ")", ",", "that", ":"]}
{"id": "16386", "text": "1.This certificate is furnished to the Administrative Agent and the Lenders pursuant to Section 4.01(a)(vi) of the Credit Agreement, dated as of February 17, 2017 <sup> , (the Credit Agreement) by and among (i) Keane Group Holdings , LLC <sup> , a Delaware limited liability company (the Lead Borrower), (ii) the Borrowers party thereto from time to time (individually, a Borrower and, together with the Lead Borrower, the Borrowers), (iii) Keane Group, Inc., a Delaware corporation, (iv) the guarantors party thereto, (v) Bank of America, N.A. , as administrative agent (in such capacity, the Administrative Agent) for its own benefit and the benefit of the other Credit Parties referred to therein, (vi) Bank of America, N.A. , as collateral agent (in such capacity, the Collateral Agent) for its own benefit and the benefit of the other Credit Parties, (vii) the L/C Issuers party thereto, and (viii) the lenders from time to time party thereto (individually, a Lender and, collectively, the Lenders). Unless otherwise defined herein, capitalized terms used in this certificate shall have the meanings set forth in the Credit Agreement.", "ner": [[27, 28, "Title"], [33, 36, "EffectiveDate"], [43, 44, "Title"], [52, 56, "Parties"], [103, 107, "Parties"], [124, 131, "Parties"], [253, 254, "Title"]], "tokenized_text": ["1", ".", "This", "certificate", "is", "furnished", "to", "the", "Administrative", "Agent", "and", "the", "Lenders", "pursuant", "to", "Section", "4", ".", "01", "(", "a", ")", "(", "vi", ")", "of", "the", "Credit", "Agreement", ",", "dated", "as", "of", "February", "17", ",", "2017", "<", "sup", ">", ",", "(", "the", "Credit", "Agreement", ")", "by", "and", "among", "(", "i", ")", "Keane", "Group", "Holdings", ",", "LLC", "<", "sup", ">", ",", "a", "Delaware", "limited", "liability", "company", "(", "the", "Lead", "Borrower", ")", ",", "(", "ii", ")", "the", "Borrowers", "party", "thereto", "from", "time", "to", "time", "(", "individually", ",", "a", "Borrower", "and", ",", "together", "with", "the", "Lead", "Borrower", ",", "the", "Borrowers", ")", ",", "(", "iii", ")", "Keane", "Group", ",", "Inc", ".", ",", "a", "Delaware", "corporation", ",", "(", "iv", ")", "the", "guarantors", "party", "thereto", ",", "(", "v", ")", "Bank", "of", "America", ",", "N", ".", "A", ".", ",", "as", "administrative", "agent", "(", "in", "such", "capacity", ",", "the", "Administrative", "Agent", ")", "for", "its", "own", "benefit", "and", "the", "benefit", "of", "the", "other", "Credit", "Parties", "referred", "to", "therein", ",", "(", "vi", ")", "Bank", "of", "America", ",", "N", ".", "A", ".", ",", "as", "collateral", "agent", "(", "in", "such", "capacity", ",", "the", "Collateral", "Agent", ")", "for", "its", "own", "benefit", "and", "the", "benefit", "of", "the", "other", "Credit", "Parties", ",", "(", "vii", ")", "the", "L", "/", "C", "Issuers", "party", "thereto", ",", "and", "(", "viii", ")", "the", "lenders", "from", "time", "to", "time", "party", "thereto", "(", "individually", ",", "a", "Lender", "and", ",", "collectively", ",", "the", "Lenders", ")", ".", "Unless", "otherwise", "defined", "herein", ",", "capitalized", "terms", "used", "in", "this", "certificate", "shall", "have", "the", "meanings", "set", "forth", "in", "the", "Credit", "Agreement", "."]}
{"id": "16388", "text": "Reference is made to the Credit Agreement dated as of February 17, 2017 <sup> (as amended, modified, supplemented or restated hereafter, the Credit Agreement) by and among (i) Keane Group Holdings , LLC <sup> , a Delaware limited liability company (the Lead Borrower), (ii) the Borrowers party thereto from time to time (individually, a Borrower and, together with the Lead Borrower, the Borrowers), (iii)Keane Group, Inc., a Delaware corporation, (iv) the guarantors party thereto, (v) Bank of America, N.A. , as administrative agent (in such capacity, the Administrative Agent) for its own benefit and the benefit of the other Credit Parties referred to therein, (vi) Bank of America, N.A. , as collateral agent for its own benefit and the benefit of the other Credit Parties, (vii) the L/C Issuers party thereto, and (viii) the lenders from time to time party thereto (individually, a Lender and, collectively, the Lenders). Unless otherwise defined herein, capitalized terms used in this certificate shall have the meanings set forth in the Credit Agreement.", "ner": [[5, 6, "Title"], [10, 13, "EffectiveDate"], [29, 30, "Title"], [38, 42, "Parties"], [89, 93, "Parties"], [110, 117, "Parties"], [230, 231, "Title"]], "tokenized_text": ["Reference", "is", "made", "to", "the", "Credit", "Agreement", "dated", "as", "of", "February", "17", ",", "2017", "<", "sup", ">", "(", "as", "amended", ",", "modified", ",", "supplemented", "or", "restated", "hereafter", ",", "the", "Credit", "Agreement", ")", "by", "and", "among", "(", "i", ")", "Keane", "Group", "Holdings", ",", "LLC", "<", "sup", ">", ",", "a", "Delaware", "limited", "liability", "company", "(", "the", "Lead", "Borrower", ")", ",", "(", "ii", ")", "the", "Borrowers", "party", "thereto", "from", "time", "to", "time", "(", "individually", ",", "a", "Borrower", "and", ",", "together", "with", "the", "Lead", "Borrower", ",", "the", "Borrowers", ")", ",", "(", "iii", ")", "Keane", "Group", ",", "Inc", ".", ",", "a", "Delaware", "corporation", ",", "(", "iv", ")", "the", "guarantors", "party", "thereto", ",", "(", "v", ")", "Bank", "of", "America", ",", "N", ".", "A", ".", ",", "as", "administrative", "agent", "(", "in", "such", "capacity", ",", "the", "Administrative", "Agent", ")", "for", "its", "own", "benefit", "and", "the", "benefit", "of", "the", "other", "Credit", "Parties", "referred", "to", "therein", ",", "(", "vi", ")", "Bank", "of", "America", ",", "N", ".", "A", ".", ",", "as", "collateral", "agent", "for", "its", "own", "benefit", "and", "the", "benefit", "of", "the", "other", "Credit", "Parties", ",", "(", "vii", ")", "the", "L", "/", "C", "Issuers", "party", "thereto", ",", "and", "(", "viii", ")", "the", "lenders", "from", "time", "to", "time", "party", "thereto", "(", "individually", ",", "a", "Lender", "and", ",", "collectively", ",", "the", "Lenders", ")", ".", "Unless", "otherwise", "defined", "herein", ",", "capitalized", "terms", "used", "in", "this", "certificate", "shall", "have", "the", "meanings", "set", "forth", "in", "the", "Credit", "Agreement", "."]}
{"id": "16389", "text": "FORM OF UNITED STATES TAX COMPLIANCE CERTIFICATE (For Foreign Participants That Are Not Treated As Partnerships For", "ner": [[2, 6, "Title"]], "tokenized_text": ["FORM", "OF", "UNITED", "STATES", "TAX", "COMPLIANCE", "CERTIFICATE", "(", "For", "Foreign", "Participants", "That", "Are", "Not", "Treated", "As", "Partnerships", "For"]}
{"id": "16390", "text": "EX-10.1 2 exhibit101-creditagreement.htm CREDIT AGREEMENT DATED FEBRUARY 3, 2017", "ner": [[7, 8, "Title"], [10, 13, "EffectiveDate"]], "tokenized_text": ["EX-10", ".", "1", "2", "exhibit101-creditagreement", ".", "htm", "CREDIT", "AGREEMENT", "DATED", "FEBRUARY", "3", ",", "2017"]}
{"id": "16391", "text": "CREDIT AGREEMENT among CALPINE CORPORATION , as Borrower and THE LENDERS PARTY HERETO, and MORGAN STANLEY SENIOR FUNDING, INC. , as Administrative Agent and MUFG UNION BANK , N.A., as Collateral Agent Dated as of February 3, 2017", "ner": [[0, 1, "Title"], [3, 4, "Parties"], [15, 21, "Parties"], [27, 34, "Parties"]], "tokenized_text": ["CREDIT", "AGREEMENT", "among", "CALPINE", "CORPORATION", ",", "as", "Borrower", "and", "THE", "LENDERS", "PARTY", "HERETO", ",", "and", "MORGAN", "STANLEY", "SENIOR", "FUNDING", ",", "INC", ".", ",", "as", "Administrative", "Agent", "and", "MUFG", "UNION", "BANK", ",", "N", ".", "A", ".", ",", "as", "Collateral", "Agent", "Dated", "as", "of", "February", "3", ",", "2017"]}
{"id": "15392", "text": "U.S.A. Patriot Act &lt; br/&gt;", "ner": [[0, 7, "Act"]], "tokenized_text": ["U", ".", "S", ".", "A", ".", "Patriot", "Act", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "15394", "text": "Applicable Margin: a percentage per annum equal to in the case of Term Loans maintained as (i) Base Rate Loans, 0.75% and (ii) Eurodollar Loans, 1.75% .", "ner": [[24, 27, "Percentage"], [35, 38, "Percentage"]], "tokenized_text": ["Applicable", "Margin", ":", "a", "percentage", "per", "annum", "equal", "to", "in", "the", "case", "of", "Term", "Loans", "maintained", "as", "(", "i", ")", "Base", "Rate", "Loans", ",", "0", ".", "75", "%", "and", "(", "ii", ")", "Eurodollar", "Loans", ",", "1", ".", "75", "%", "."]}
{"id": "15400", "text": "Code: the Internal Revenue Code of 1986 , as amended from time to time.", "ner": [[3, 7, "Act"]], "tokenized_text": ["Code", ":", "the", "Internal", "Revenue", "Code", "of", "1986", ",", "as", "amended", "from", "time", "to", "time", "."]}
{"id": "16401", "text": "ERISA: the Employee Retirement Income Security Act of 1974 , as amended from time to time, and the regulations promulgated and rulings issued thereunder.", "ner": [[0, 0, "Act"], [3, 9, "Act"]], "tokenized_text": ["ERISA", ":", "the", "Employee", "Retirement", "Income", "Security", "Act", "of", "1974", ",", "as", "amended", "from", "time", "to", "time", ",", "and", "the", "regulations", "promulgated", "and", "rulings", "issued", "thereunder", "."]}
{"id": "16403", "text": "Fee Letter: that certain administrative agent fee letter dated February 3, 2017 among the Borrower and the Joint Administrative Agent.", "ner": [[10, 13, "EffectiveDate"], [19, 21, "Parties"]], "tokenized_text": ["Fee", "Letter", ":", "that", "certain", "administrative", "agent", "fee", "letter", "dated", "February", "3", ",", "2017", "among", "the", "Borrower", "and", "the", "Joint", "Administrative", "Agent", "."]}
{"id": "16404", "text": "Flood Insurance Laws: collectively, (i) National Flood Insurance Reform Act of 1994 (which comprehensively revised the National Flood Insurance Act of 1968 and the Flood Disaster Protection Act of 1973 ) as now or hereafter in effect or any successor statute thereto, (ii) the Flood Insurance Reform Act of 2004 as now or hereafter in effect or any successor statute thereto and (iii) the Biggert-Waters Insurance Reform Act of 2012 as now or hereafter in effect or any successor statute thereto.", "ner": [[9, 15, "Act"], [21, 26, "Act"], [29, 34, "Act"], [52, 57, "Act"], [74, 79, "Act"]], "tokenized_text": ["Flood", "Insurance", "Laws", ":", "collectively", ",", "(", "i", ")", "National", "Flood", "Insurance", "Reform", "Act", "of", "1994", "(", "which", "comprehensively", "revised", "the", "National", "Flood", "Insurance", "Act", "of", "1968", "and", "the", "Flood", "Disaster", "Protection", "Act", "of", "1973", ")", "as", "now", "or", "hereafter", "in", "effect", "or", "any", "successor", "statute", "thereto", ",", "(", "ii", ")", "the", "Flood", "Insurance", "Reform", "Act", "of", "2004", "as", "now", "or", "hereafter", "in", "effect", "or", "any", "successor", "statute", "thereto", "and", "(", "iii", ")", "the", "Biggert-Waters", "Insurance", "Reform", "Act", "of", "2012", "as", "now", "or", "hereafter", "in", "effect", "or", "any", "successor", "statute", "thereto", "."]}
{"id": "16407", "text": "(26) Liens securing (a) Capital Lease Obligations and (b) other Indebtedness of the Borrower or any of its Subsidiaries incurred to finance all or any part of the acquisition, lease, construction, installation or improvement of any assets, and any refinancing, replacement, refunding, renewal or extension of any such Indebtedness without any increase thereof, in an aggregate amount, together with all other Capital Lease Obligations and Indebtedness secured by Liens pursuant to this clause (26) not to exceed $150,000,000 at any one time outstanding, so long as (i) such Liens are initially created or arise prior to or within the 90 days after the completion of such acquisition, lease, construction, installation or improvement and (ii) such Liens do not attach to assets of the Borrower or any Subsidiary other than the relevant assets acquired, leased, constructed, installed or improved;", "ner": [[94, 99, "Principal"]], "tokenized_text": ["(", "26", ")", "Liens", "securing", "(", "a", ")", "Capital", "Lease", "Obligations", "and", "(", "b", ")", "other", "Indebtedness", "of", "the", "Borrower", "or", "any", "of", "its", "Subsidiaries", "incurred", "to", "finance", "all", "or", "any", "part", "of", "the", "acquisition", ",", "lease", ",", "construction", ",", "installation", "or", "improvement", "of", "any", "assets", ",", "and", "any", "refinancing", ",", "replacement", ",", "refunding", ",", "renewal", "or", "extension", "of", "any", "such", "Indebtedness", "without", "any", "increase", "thereof", ",", "in", "an", "aggregate", "amount", ",", "together", "with", "all", "other", "Capital", "Lease", "Obligations", "and", "Indebtedness", "secured", "by", "Liens", "pursuant", "to", "this", "clause", "(", "26", ")", "not", "to", "exceed", "$", "150", ",", "000", ",", "000", "at", "any", "one", "time", "outstanding", ",", "so", "long", "as", "(", "i", ")", "such", "Liens", "are", "initially", "created", "or", "arise", "prior", "to", "or", "within", "the", "90", "days", "after", "the", "completion", "of", "such", "acquisition", ",", "lease", ",", "construction", ",", "installation", "or", "improvement", "and", "(", "ii", ")", "such", "Liens", "do", "not", "attach", "to", "assets", "of", "the", "Borrower", "or", "any", "Subsidiary", "other", "than", "the", "relevant", "assets", "acquired", ",", "leased", ",", "constructed", ",", "installed", "or", "improved", ";"]}
{"id": "16408", "text": "Rating Agencies: (1) each of Moodys and S&amp;P and (2) if any of Moodys or S&amp;P ceases to rate the Loans or fails to make a rating of the Term Loans publicly available for reasons outside of the Borrowers control, a nationally recognized statistical rating organization within the meaning of Rule 15c3-1(c)(2)(vi)(F) under the Exchange Act selected by the Borrower as a replacement agency for Moodys or S&amp;P, or both of them, as the case may be.", "ner": [[80, 81, "Act"]], "tokenized_text": ["Rating", "Agencies", ":", "(", "1", ")", "each", "of", "Moodys", "and", "S", "&", "amp", ";", "P", "and", "(", "2", ")", "if", "any", "of", "Moodys", "or", "S", "&", "amp", ";", "P", "ceases", "to", "rate", "the", "Loans", "or", "fails", "to", "make", "a", "rating", "of", "the", "Term", "Loans", "publicly", "available", "for", "reasons", "outside", "of", "the", "Borrowers", "control", ",", "a", "nationally", "recognized", "statistical", "rating", "organization", "within", "the", "meaning", "of", "Rule", "15c3-1", "(", "c", ")", "(", "2", ")", "(", "vi", ")", "(", "F", ")", "under", "the", "Exchange", "Act", "selected", "by", "the", "Borrower", "as", "a", "replacement", "agency", "for", "Moodys", "or", "S", "&", "amp", ";", "P", ",", "or", "both", "of", "them", ",", "as", "the", "case", "may", "be", "."]}
{"id": "16412", "text": "3.16. Investment Company Act; Other Regulations. No Loan Party is an investment company, or a company controlled by an investment company, within the meaning of the Investment Company Act of 1940 , as amended. No Loan Party is subject to regulation under any Requirement of Law (other than Regulation X of the Board of Governors) that limits its ability to incur Indebtedness under this Agreement and the other Loan Documents.", "ner": [[4, 6, "Act"], [33, 37, "Act"], [57, 58, "Regulation"]], "tokenized_text": ["3", ".", "16", ".", "Investment", "Company", "Act", ";", "Other", "Regulations", ".", "No", "Loan", "Party", "is", "an", "investment", "company", ",", "or", "a", "company", "controlled", "by", "an", "investment", "company", ",", "within", "the", "meaning", "of", "the", "Investment", "Company", "Act", "of", "1940", ",", "as", "amended", ".", "No", "Loan", "Party", "is", "subject", "to", "regulation", "under", "any", "Requirement", "of", "Law", "(", "other", "than", "Regulation", "X", "of", "the", "Board", "of", "Governors", ")", "that", "limits", "its", "ability", "to", "incur", "Indebtedness", "under", "this", "Agreement", "and", "the", "other", "Loan", "Documents", "."]}
{"id": "16415", "text": "(q) PATRIOT Act. The Borrower shall have delivered at least three (3) Business Days prior to the Closing Date, all documentation and other information about the Borrower and the Guarantors as has been reasonably requested in writing at least ten (10) Business Days prior to the Closing Date by the Administrative Agent and the Lenders that they reasonably determine is required by regulatory authorities under applicable know your customer and anti-money laundering rules and regulations, including without limitation the PATRIOT Act.&lt; br/&gt;", "ner": [[3, 4, "Act"]], "tokenized_text": ["(", "q", ")", "PATRIOT", "Act", ".", "The", "Borrower", "shall", "have", "delivered", "at", "least", "three", "(", "3", ")", "Business", "Days", "prior", "to", "the", "Closing", "Date", ",", "all", "documentation", "and", "other", "information", "about", "the", "Borrower", "and", "the", "Guarantors", "as", "has", "been", "reasonably", "requested", "in", "writing", "at", "least", "ten", "(", "10", ")", "Business", "Days", "prior", "to", "the", "Closing", "Date", "by", "the", "Administrative", "Agent", "and", "the", "Lenders", "that", "they", "reasonably", "determine", "is", "required", "by", "regulatory", "authorities", "under", "applicable", "know", "your", "customer", "and", "anti-money", "laundering", "rules", "and", "regulations", ",", "including", "without", "limitation", "the", "PATRIOT", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "16417", "text": "(ii) quarterly reports of the Borrower containing substantially all of the information that would have been required to be contained in a Quarterly Report on Form 10-Q under the Exchange Act if the Borrower had been a reporting company under the Exchange Act , including (A) Managements Discussion and Analysis of Financial Condition and Results of Operations and (B) unaudited quarterly financial statements prepared in accordance with GAAP as in effect from time to time and reviewed pursuant to Statement on Auditing Standards No. 100 (or any successor provision); and", "ner": [[31, 32, "Act"]], "tokenized_text": ["(", "ii", ")", "quarterly", "reports", "of", "the", "Borrower", "containing", "substantially", "all", "of", "the", "information", "that", "would", "have", "been", "required", "to", "be", "contained", "in", "a", "Quarterly", "Report", "on", "Form", "10-Q", "under", "the", "Exchange", "Act", "if", "the", "Borrower", "had", "been", "a", "reporting", "company", "under", "the", "Exchange", "Act", ",", "including", "(", "A", ")", "Managements", "Discussion", "and", "Analysis", "of", "Financial", "Condition", "and", "Results", "of", "Operations", "and", "(", "B", ")", "unaudited", "quarterly", "financial", "statements", "prepared", "in", "accordance", "with", "GAAP", "as", "in", "effect", "from", "time", "to", "time", "and", "reviewed", "pursuant", "to", "Statement", "on", "Auditing", "Standards", "No", ".", "100", "(", "or", "any", "successor", "provision", ")", ";", "and"]}
{"id": "16420", "text": "(a) The Borrower shall not, and shall not permit any of the Guarantors to, directly or indirectly, incur Indebtedness that will constitute First Lien Debt, unless the CNTA Ratio (after giving pro forma effect to any such incurrence and the application of the net proceeds thereof) is equal to or greater than 1.66 to 1.00.&lt; br/&gt;", "ner": [[60, 67, "Ratio"]], "tokenized_text": ["(", "a", ")", "The", "Borrower", "shall", "not", ",", "and", "shall", "not", "permit", "any", "of", "the", "Guarantors", "to", ",", "directly", "or", "indirectly", ",", "incur", "Indebtedness", "that", "will", "constitute", "First", "Lien", "Debt", ",", "unless", "the", "CNTA", "Ratio", "(", "after", "giving", "pro", "forma", "effect", "to", "any", "such", "incurrence", "and", "the", "application", "of", "the", "net", "proceeds", "thereof", ")", "is", "equal", "to", "or", "greater", "than", "1", ".", "66", "to", "1", ".", "00", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "16422", "text": "Houston, TX 77002 |", "ner": [[0, 3, "Address"]], "tokenized_text": ["Houston", ",", "TX", "77002", "|"]}
{"id": "16423", "text": "Telecopier No.: 832-325-4508 | |", "ner": [[4, 4, "PII_Ref"]], "tokenized_text": ["Telecopier", "No", ".", ":", "832-325-4508", "|", "|"]}
{"id": "16424", "text": "Telecopier No.: 713-830-8751 |", "ner": [[4, 4, "PII_Ref"]], "tokenized_text": ["Telecopier", "No", ".", ":", "713-830-8751", "|"]}
{"id": "16425", "text": "Morgan Stanley Senior Funding, Inc. |", "ner": [], "tokenized_text": ["Morgan", "Stanley", "Senior", "Funding", ",", "Inc", ".", "|"]}
{"id": "16427", "text": "Telecopier No.: (212) 507-6680 | |", "ner": [[4, 7, "PII_Ref"]], "tokenized_text": ["Telecopier", "No", ".", ":", "(", "212", ")", "507-6680", "|", "|"]}
{"id": "15428", "text": "80 Pine Street |", "ner": [[0, 2, "Address"]], "tokenized_text": ["80", "Pine", "Street", "|"]}
{"id": "16430", "text": "Telecopier No.: 212-378-2500 | The Collateral Agent:", "ner": [[4, 4, "PII_Ref"]], "tokenized_text": ["Telecopier", "No", ".", ":", "212-378-2500", "|", "The", "Collateral", "Agent", ":"]}
{"id": "16432", "text": "350 California St., 11th Floor |", "ner": [[0, 6, "Address"]], "tokenized_text": ["350", "California", "St", ".", ",", "11th", "Floor", "|"]}
{"id": "16433", "text": "San Francisco, CA 94014 |", "ner": [[0, 4, "Address"]], "tokenized_text": ["San", "Francisco", ",", "CA", "94014", "|"]}
{"id": "16434", "text": "Telecopier No.: 415-273-2494 | |", "ner": [[4, 4, "PII_Ref"]], "tokenized_text": ["Telecopier", "No", ".", ":", "415-273-2494", "|", "|"]}
{"id": "16435", "text": "Arranger, the Collateral Agent, the Administrative Agent and each of their respective Affiliates, directors, officers, employees, representatives, partners and agents (each, an Indemnitee) from and against any and all other liabilities, obligations, losses, damages, penalties, actions, judgments, suits, costs, expenses or disbursements of any kind or nature whatsoever with respect to the execution, delivery, enforcement, performance, preservation of rights and administration of this Agreement, the Notes, the other Loan Documents or the use of the proceeds of the Term Loans or any of the foregoing relating to the violation of, noncompliance with or liability under, any Environmental Law applicable to the operations of the Loan Parties or any of their respective properties and the reasonable fees and expenses of one legal counsel for the Indemnitees taken as a whole in connection with claims, actions or proceedings by any Indemnitee against any Loan Party under any Loan Document (all the foregoing in this clause (d), collectively, the indemnified liabilities), provided that the Borrower shall have no obligation hereunder to any Indemnitee with respect to indemnified liabilities to the extent (x) determined by the final judgment of a court of competent jurisdiction to have resulted from the bad faith, gross negligence or willful misconduct of such Indemnitee or any of such Indemnitees Related Persons, (y) resulting from a material breach by such Indemnitee or any of such Indemnitees Related Persons of its material obligations under this Agreement or the other Loan Documents or (z) related to any dispute solely among Indemnitees other than any claims against any Indemnitee in its capacity or in fulfilling its role as an Agent, an Arranger or any similar role under this Agreement and the other Loan Documents and other than any claims involving any act or omission on the part of the Borrower or its Subsidiaries; provided, further, that the Borrower shall in no event be responsible for consequential, indirect, special or punitive damages to any Indemnitee pursuant to this Section 9.5 except such consequential, indirect, special or punitive damages required to be paid by such Indemnitee in respect of any indemnified liabilities. Without limiting the foregoing, and to the extent permitted by applicable law, the Borrower agrees not to assert and to cause its Subsidiaries not to assert, and hereby waives and agrees to cause its Subsidiaries to waive, all rights for contribution or any other rights of recovery with respect to all claims, demands, penalties, fines, liabilities, settlements, damages, costs and expenses of whatever kind or nature, under or related to Environmental Laws, that any of them might have by statute or otherwise against any Indemnitee. To the extent permitted by applicable law, no Loan Party nor any of their respective Subsidiaries shall assert, and each Loan Party hereby waives, on behalf of itself and its Subsidiaries, any claim against each Lender, each Arranger, each Agent and their respective affiliates, directors, officers, employees, attorneys, representatives, agents or sub-agents, on any theory of liability, for special, indirect, consequential or punitive damages (as opposed to direct or actual damages) (whether or not the claim therefor is based on contract, tort or duty imposed by any applicable legal requirement) arising out of, in connection with, as a result of, or in any way related to, this Agreement or any Loan Document or any agreement or instrument contemplated hereby or thereby or referred to herein or therein, the transactions contemplated hereby or thereby, any Term Loan or the use of the proceeds thereof or any act or omission or event occurring in connection therewith, and each Loan Party hereby waives, releases and agrees, on behalf of themselves and each of their respective Subsidiaries, not to sue upon any such claim or any such damages, whether or not accrued and whether or not known or suspected to exist in its favor. All amounts due under this Section 9.5 shall be payable not later than 10 days after written demand therefor. Statements payable by the Borrower pursuant to this Section 9.5 shall be submitted to the Treasurer of the Borrower (Telecopy No. 713-353-9144 ), at the address of the Borrower set forth in Section 9.2 (with copies (which shall not constitute notice) to the Associate General Counsel of the Borrower at the respective addresses set forth in Section 9.2), or to such other Person or address as may be hereafter designated by the Borrower in a written notice to the Administrative Agent. The agreements in this Section shall survive repayment of the Term Loans and all other amounts payable hereunder.", "ner": [[103, 104, "Title"], [661, 662, "Title"], [780, 780, "PII_Ref"]], "tokenized_text": ["Arranger", ",", "the", "Collateral", "Agent", ",", "the", "Administrative", "Agent", "and", "each", "of", "their", "respective", "Affiliates", ",", "directors", ",", "officers", ",", "employees", ",", "representatives", ",", "partners", "and", "agents", "(", "each", ",", "an", "Indemnitee", ")", "from", "and", "against", "any", "and", "all", "other", "liabilities", ",", "obligations", ",", "losses", ",", "damages", ",", "penalties", ",", "actions", ",", "judgments", ",", "suits", ",", "costs", ",", "expenses", "or", "disbursements", "of", "any", "kind", "or", "nature", "whatsoever", "with", "respect", "to", "the", "execution", ",", "delivery", ",", "enforcement", ",", "performance", ",", "preservation", "of", "rights", "and", "administration", "of", "this", "Agreement", ",", "the", "Notes", ",", "the", "other", "Loan", "Documents", "or", "the", "use", "of", "the", "proceeds", "of", "the", "Term", "Loans", "or", "any", "of", "the", "foregoing", "relating", "to", "the", "violation", "of", ",", "noncompliance", "with", "or", "liability", "under", ",", "any", "Environmental", "Law", "applicable", "to", "the", "operations", "of", "the", "Loan", "Parties", "or", "any", "of", "their", "respective", "properties", "and", "the", "reasonable", "fees", "and", "expenses", "of", "one", "legal", "counsel", "for", "the", "Indemnitees", "taken", "as", "a", "whole", "in", "connection", "with", "claims", ",", "actions", "or", "proceedings", "by", "any", "Indemnitee", "against", "any", "Loan", "Party", "under", "any", "Loan", "Document", "(", "all", "the", "foregoing", "in", "this", "clause", "(", "d", ")", ",", "collectively", ",", "the", "indemnified", "liabilities", ")", ",", "provided", "that", "the", "Borrower", "shall", "have", "no", "obligation", "hereunder", "to", "any", "Indemnitee", "with", "respect", "to", "indemnified", "liabilities", "to", "the", "extent", "(", "x", ")", "determined", "by", "the", "final", "judgment", "of", "a", "court", "of", "competent", "jurisdiction", "to", "have", "resulted", "from", "the", "bad", "faith", ",", "gross", "negligence", "or", "willful", "misconduct", "of", "such", "Indemnitee", "or", "any", "of", "such", "Indemnitees", "Related", "Persons", ",", "(", "y", ")", "resulting", "from", "a", "material", "breach", "by", "such", "Indemnitee", "or", "any", "of", "such", "Indemnitees", "Related", "Persons", "of", "its", "material", "obligations", "under", "this", "Agreement", "or", "the", "other", "Loan", "Documents", "or", "(", "z", ")", "related", "to", "any", "dispute", "solely", "among", "Indemnitees", "other", "than", "any", "claims", "against", "any", "Indemnitee", "in", "its", "capacity", "or", "in", "fulfilling", "its", "role", "as", "an", "Agent", ",", "an", "Arranger", "or", "any", "similar", "role", "under", "this", "Agreement", "and", "the", "other", "Loan", "Documents", "and", "other", "than", "any", "claims", "involving", "any", "act", "or", "omission", "on", "the", "part", "of", "the", "Borrower", "or", "its", "Subsidiaries", ";", "provided", ",", "further", ",", "that", "the", "Borrower", "shall", "in", "no", "event", "be", "responsible", "for", "consequential", ",", "indirect", ",", "special", "or", "punitive", "damages", "to", "any", "Indemnitee", "pursuant", "to", "this", "Section", "9", ".", "5", "except", "such", "consequential", ",", "indirect", ",", "special", "or", "punitive", "damages", "required", "to", "be", "paid", "by", "such", "Indemnitee", "in", "respect", "of", "any", "indemnified", "liabilities", ".", "Without", "limiting", "the", "foregoing", ",", "and", "to", "the", "extent", "permitted", "by", "applicable", "law", ",", "the", "Borrower", "agrees", "not", "to", "assert", "and", "to", "cause", "its", "Subsidiaries", "not", "to", "assert", ",", "and", "hereby", "waives", "and", "agrees", "to", "cause", "its", "Subsidiaries", "to", "waive", ",", "all", "rights", "for", "contribution", "or", "any", "other", "rights", "of", "recovery", "with", "respect", "to", "all", "claims", ",", "demands", ",", "penalties", ",", "fines", ",", "liabilities", ",", "settlements", ",", "damages", ",", "costs", "and", "expenses", "of", "whatever", "kind", "or", "nature", ",", "under", "or", "related", "to", "Environmental", "Laws", ",", "that", "any", "of", "them", "might", "have", "by", "statute", "or", "otherwise", "against", "any", "Indemnitee", ".", "To", "the", "extent", "permitted", "by", "applicable", "law", ",", "no", "Loan", "Party", "nor", "any", "of", "their", "respective", "Subsidiaries", "shall", "assert", ",", "and", "each", "Loan", "Party", "hereby", "waives", ",", "on", "behalf", "of", "itself", "and", "its", "Subsidiaries", ",", "any", "claim", "against", "each", "Lender", ",", "each", "Arranger", ",", "each", "Agent", "and", "their", "respective", "affiliates", ",", "directors", ",", "officers", ",", "employees", ",", "attorneys", ",", "representatives", ",", "agents", "or", "sub-agents", ",", "on", "any", "theory", "of", "liability", ",", "for", "special", ",", "indirect", ",", "consequential", "or", "punitive", "damages", "(", "as", "opposed", "to", "direct", "or", "actual", "damages", ")", "(", "whether", "or", "not", "the", "claim", "therefor", "is", "based", "on", "contract", ",", "tort", "or", "duty", "imposed", "by", "any", "applicable", "legal", "requirement", ")", "arising", "out", "of", ",", "in", "connection", "with", ",", "as", "a", "result", "of", ",", "or", "in", "any", "way", "related", "to", ",", "this", "Agreement", "or", "any", "Loan", "Document", "or", "any", "agreement", "or", "instrument", "contemplated", "hereby", "or", "thereby", "or", "referred", "to", "herein", "or", "therein", ",", "the", "transactions", "contemplated", "hereby", "or", "thereby", ",", "any", "Term", "Loan", "or", "the", 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{"id": "16438", "text": "9.17. U.S.A. Patriot Act . Each Lender that is subject to the requirements of the Patriot Act hereby notifies each Loan Party that pursuant to the requirements of the Patriot Act, it is required to obtain, verify and record information that identifies each Loan Party, which information includes the name and address of such Loan Party and other information that will allow such Lender to identify such Loan Party in accordance with the Patriot Act. The Borrower shall, and shall cause each of its Subsidiaries to, provide, to the extent commercially reasonable, such information and take such actions as are reasonably requested by each Lender and the Administrative Agent to maintain compliance with the Patriot Act.&lt; br/&gt;", "ner": [[10, 11, "Act"]], "tokenized_text": ["9", ".", "17", ".", "U", ".", "S", ".", "A", ".", "Patriot", "Act", ".", "Each", "Lender", "that", "is", "subject", "to", "the", "requirements", "of", "the", "Patriot", "Act", "hereby", "notifies", "each", "Loan", "Party", "that", "pursuant", "to", "the", "requirements", "of", "the", "Patriot", "Act", ",", "it", "is", "required", "to", "obtain", ",", "verify", "and", "record", "information", "that", "identifies", "each", "Loan", "Party", ",", "which", "information", "includes", "the", "name", "and", "address", "of", "such", "Loan", "Party", "and", "other", "information", "that", "will", "allow", "such", "Lender", "to", "identify", "such", "Loan", "Party", "in", "accordance", "with", "the", "Patriot", "Act", ".", "The", "Borrower", "shall", ",", "and", "shall", "cause", "each", "of", "its", "Subsidiaries", "to", ",", "provide", ",", "to", "the", "extent", "commercially", "reasonable", ",", "such", "information", "and", "take", "such", "actions", "as", "are", "reasonably", "requested", "by", "each", "Lender", "and", "the", "Administrative", "Agent", "to", "maintain", "compliance", "with", "the", "Patriot", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "15440", "text": "COMMITMENT AMOUNT MORGAN STANLEY SENIOR FUNDING, INC.", "ner": [[2, 8, "Parties"]], "tokenized_text": ["COMMITMENT", "AMOUNT", "MORGAN", "STANLEY", "SENIOR", "FUNDING", ",", "INC", "."]}
{"id": "16442", "text": "Chambers County, Texas Channel Energy Center, LLC", "ner": [[0, 3, "Address"]], "tokenized_text": ["Chambers", "County", ",", "Texas", "Channel", "Energy", "Center", ",", "LLC"]}
{"id": "16445", "text": "Corpus Christi, TX 78407", "ner": [], "tokenized_text": ["Corpus", "Christi", ",", "TX", "78407"]}
{"id": "16446", "text": "Nueces County, Texas Delta Energy Center, LLC", "ner": [[0, 3, "Address"]], "tokenized_text": ["Nueces", "County", ",", "Texas", "Delta", "Energy", "Center", ",", "LLC"]}
{"id": "16447", "text": "Contra Costa County, CA Freestone Power Generation, LLC", "ner": [[0, 4, "Court"]], "tokenized_text": ["Contra", "Costa", "County", ",", "CA", "Freestone", "Power", "Generation", ",", "LLC"]}
{"id": "16453", "text": "Geothermal power generation facility located in Lake County and Sonoma County, California Unit 20", "ner": [[6, 12, "Court"]], "tokenized_text": ["Geothermal", "power", "generation", "facility", "located", "in", "Lake", "County", "and", "Sonoma", "County", ",", "California", "Unit", "20"]}
{"id": "16454", "text": "Common Name and Address Calpine Mid-Atlantic Generation, LLC (f/k/a/ Conectiv Delmarva Generation, LLC, successor by conversion to Conectiv Delmarva Generation , Inc.)", "ner": [[4, 8, "Parties"], [16, 20, "Parties"], [26, 31, "Parties"]], "tokenized_text": ["Common", "Name", "and", "Address", "Calpine", "Mid-Atlantic", "Generation", ",", "LLC", "(", "f", "/", "k", "/", "a", "/", "Conectiv", "Delmarva", "Generation", ",", "LLC", ",", "successor", "by", "conversion", "to", "Conectiv", "Delmarva", "Generation", ",", "Inc", ".", ")"]}
{"id": "16457", "text": "Northampton County, Pennsylvania Calpine Mid-Atlantic Generation, LLC (f/k/a/ Conectiv Delmarva Generation, LLC, successor by conversion to Conectiv Delmarva Generation , Inc.)", "ner": [[0, 3, "Address"], [4, 8, "Parties"], [16, 20, "Parties"], [26, 31, "Parties"]], "tokenized_text": ["Northampton", "County", ",", "Pennsylvania", "Calpine", "Mid-Atlantic", "Generation", ",", "LLC", "(", "f", "/", "k", "/", "a", "/", "Conectiv", "Delmarva", "Generation", ",", "LLC", ",", "successor", "by", "conversion", "to", "Conectiv", "Delmarva", "Generation", ",", "Inc", ".", ")"]}
{"id": "16458", "text": "New Castle County, Delaware Calpine Mid-Atlantic Generation, LLC (f/k/a/ Conectiv Delmarva Generation, LLC, successor by conversion to Conectiv Delmarva Generation , Inc.)", "ner": [[0, 4, "Address"], [5, 9, "Parties"], [17, 21, "Parties"], [27, 32, "Parties"]], "tokenized_text": ["New", "Castle", "County", ",", "Delaware", "Calpine", "Mid-Atlantic", "Generation", ",", "LLC", "(", "f", "/", "k", "/", "a", "/", "Conectiv", "Delmarva", "Generation", ",", "LLC", ",", "successor", "by", "conversion", "to", "Conectiv", "Delmarva", "Generation", ",", "Inc", ".", ")"]}
{"id": "16459", "text": "200 Hay Road, Wilmington, DE 19809", "ner": [], "tokenized_text": ["200", "Hay", "Road", ",", "Wilmington", ",", "DE", "19809"]}
{"id": "16462", "text": "Common Name and Address Calpine New Jersey Generation, LLC (f/k/a/ Conectiv Atlantic Generation, LLC ).", "ner": [[4, 9, "Parties"], [17, 21, "Parties"]], "tokenized_text": ["Common", "Name", "and", "Address", "Calpine", "New", "Jersey", "Generation", ",", "LLC", "(", "f", "/", "k", "/", "a", "/", "Conectiv", "Atlantic", "Generation", ",", "LLC", ")", "."]}
{"id": "16464", "text": "Cumberland County, New Jersey Calpine Mid-Atlantic Generation, LLC (f/k/a/ Conectiv Delmarva Generation, LLC, successor by conversion to Conectiv Delmarva Generation , Inc.)", "ner": [[0, 4, "Address"], [5, 9, "Parties"], [17, 21, "Parties"], [27, 32, "Parties"]], "tokenized_text": ["Cumberland", "County", ",", "New", "Jersey", "Calpine", "Mid-Atlantic", "Generation", ",", "LLC", "(", "f", "/", "k", "/", "a", "/", "Conectiv", "Delmarva", "Generation", ",", "LLC", ",", "successor", "by", "conversion", "to", "Conectiv", "Delmarva", "Generation", ",", "Inc", ".", ")"]}
{"id": "16466", "text": "Warren County, New Jersey", "ner": [[0, 4, "Address"]], "tokenized_text": ["Warren", "County", ",", "New", "Jersey"]}
{"id": "16469", "text": "Somerset County, Maryland Calpine New Jersey Generation, LLC (f/k/a/ Conectiv Atlantic Generation, LLC )", "ner": [[0, 3, "Address"], [4, 9, "Parties"], [17, 21, "Parties"]], "tokenized_text": ["Somerset", "County", ",", "Maryland", "Calpine", "New", "Jersey", "Generation", ",", "LLC", "(", "f", "/", "k", "/", "a", "/", "Conectiv", "Atlantic", "Generation", ",", "LLC", ")"]}
{"id": "16476", "text": "24 O.D. Natural Gas Pipeline, Claymont to Wilmington, DE", "ner": [], "tokenized_text": ["24", "O", ".", "D", ".", "Natural", "Gas", "Pipeline", ",", "Claymont", "to", "Wilmington", ",", "DE"]}
{"id": "16478", "text": "Common Name and Address Metcalf Energy Center, LLC", "ner": [[4, 8, "Parties"]], "tokenized_text": ["Common", "Name", "and", "Address", "Metcalf", "Energy", "Center", ",", "LLC"]}
{"id": "16481", "text": "Calpine Mid-Atlantic Generation ,", "ner": [], "tokenized_text": ["Calpine", "Mid-Atlantic", "Generation", ","]}
{"id": "16482", "text": "Calpine Bethlehem, LLC (f/k/a", "ner": [[0, 3, "Parties"]], "tokenized_text": ["Calpine", "Bethlehem", ",", "LLC", "(", "f", "/", "k", "/", "a"]}
{"id": "16484", "text": "Calpine New Jersey Generation,&lt; br/&gt;", "ner": [], "tokenized_text": ["Calpine", "New", "Jersey", "Generation", ",", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "15485", "text": "50.00% owned by Atlantic Packaging Product Ltd. Anacapa Land Company, LLC", "ner": [[0, 3, "Percentage"], [6, 10, "Parties"]], "tokenized_text": ["50", ".", "00", "%", "owned", "by", "Atlantic", "Packaging", "Product", "Ltd", ".", "Anacapa", "Land", "Company", ",", "LLC"]}
{"id": "16486", "text": "| Auburndale Peaker Energy Center, LLC", "ner": [], "tokenized_text": ["|", "Auburndale", "Peaker", "Energy", "Center", ",", "LLC"]}
{"id": "16488", "text": "| Big Blue River Wind Farm, LLC", "ner": [], "tokenized_text": ["|", "Big", "Blue", "River", "Wind", "Farm", ",", "LLC"]}
{"id": "16489", "text": "| Butter Creek Energy Center, LLC", "ner": [], "tokenized_text": ["|", "Butter", "Creek", "Energy", "Center", ",", "LLC"]}
{"id": "16490", "text": "| Byron Highway Energy Center, LLC", "ner": [], "tokenized_text": ["|", "Byron", "Highway", "Energy", "Center", ",", "LLC"]}
{"id": "16494", "text": "| Calnex Holdings, LLC", "ner": [[1, 4, "Parties"]], "tokenized_text": ["|", "Calnex", "Holdings", ",", "LLC"]}
{"id": "16496", "text": "| Calpine Auburndale Holdings, LLC", "ner": [[1, 5, "Parties"]], "tokenized_text": ["|", "Calpine", "Auburndale", "Holdings", ",", "LLC"]}
{"id": "16499", "text": "| Calpine Calistoga Holdings, LLC", "ner": [], "tokenized_text": ["|", "Calpine", "Calistoga", "Holdings", ",", "LLC"]}
{"id": "16502", "text": "| Calpine Fore River Energy Center, LLC", "ner": [], "tokenized_text": ["|", "Calpine", "Fore", "River", "Energy", "Center", ",", "LLC"]}
{"id": "16503", "text": "| Calpine Fore River Operating Company, LLC", "ner": [], "tokenized_text": ["|", "Calpine", "Fore", "River", "Operating", "Company", ",", "LLC"]}
{"id": "15505", "text": "| Calpine Gilroy 1, LLC", "ner": [], "tokenized_text": ["|", "Calpine", "Gilroy", "1", ",", "LLC"]}
{"id": "16506", "text": "| Calpine Granite Holdings, LLC", "ner": [[1, 5, "Parties"]], "tokenized_text": ["|", "Calpine", "Granite", "Holdings", ",", "LLC"]}
{"id": "15508", "text": "| Calpine Holdings, LLC", "ner": [[1, 4, "Parties"]], "tokenized_text": ["|", "Calpine", "Holdings", ",", "LLC"]}
{"id": "16510", "text": "| Calpine King City 1, LLC", "ner": [], "tokenized_text": ["|", "Calpine", "King", "City", "1", ",", "LLC"]}
{"id": "16513", "text": "| Calpine Magic Valley Pipeline, LLC", "ner": [], "tokenized_text": ["|", "Calpine", "Magic", "Valley", "Pipeline", ",", "LLC"]}
{"id": "16514", "text": "| Calpine Mexican Holdings, LLC", "ner": [[1, 5, "Parties"]], "tokenized_text": ["|", "Calpine", "Mexican", "Holdings", ",", "LLC"]}
{"id": "16515", "text": "| Calpine Mid-Atlantic Development, LLC", "ner": [], "tokenized_text": ["|", "Calpine", "Mid-Atlantic", "Development", ",", "LLC"]}
{"id": "16516", "text": "| Calpine Mid-Atlantic Energy, LLC", "ner": [], "tokenized_text": ["|", "Calpine", "Mid-Atlantic", "Energy", ",", "LLC"]}
{"id": "16518", "text": "| Calpine Mid-Atlantic Marketing, LLC", "ner": [], "tokenized_text": ["|", "Calpine", "Mid-Atlantic", "Marketing", ",", "LLC"]}
{"id": "16519", "text": "| Calpine Mid-Atlantic Operating, LLC", "ner": [], "tokenized_text": ["|", "Calpine", "Mid-Atlantic", "Operating", ",", "LLC"]}
{"id": "16521", "text": "| Calpine Northbrook Investors, LLC", "ner": [], "tokenized_text": ["|", "Calpine", "Northbrook", "Investors", ",", "LLC"]}
{"id": "16522", "text": "| Calpine Northbrook Project Holdings, LLC", "ner": [], "tokenized_text": ["|", "Calpine", "Northbrook", "Project", "Holdings", ",", "LLC"]}
{"id": "16523", "text": "| Calpine Pittsburg, LLC", "ner": [], "tokenized_text": ["|", "Calpine", "Pittsburg", ",", "LLC"]}
{"id": "16527", "text": "| CCFC Sutter Energy, LLC", "ner": [], "tokenized_text": ["|", "CCFC", "Sutter", "Energy", ",", "LLC"]}
{"id": "16530", "text": "| Champion Energy Services, LLC", "ner": [], "tokenized_text": ["|", "Champion", "Energy", "Services", ",", "LLC"]}
{"id": "15532", "text": "50.00% owned by MIT Power Canada Investment Inc. Corpus Christi Cogeneration, LLC (converted from Corpus Christi Cogeneration LP)", "ner": [[0, 3, "Percentage"], [12, 16, "Parties"], [20, 23, "Parties"]], "tokenized_text": ["50", ".", "00", "%", "owned", "by", "MIT", "Power", "Canada", "Investment", "Inc", ".", "Corpus", "Christi", "Cogeneration", ",", "LLC", "(", "converted", "from", "Corpus", "Christi", "Cogeneration", "LP", ")"]}
{"id": "16534", "text": "| Granite Ridge Operating, LLC", "ner": [], "tokenized_text": ["|", "Granite", "Ridge", "Operating", ",", "LLC"]}
{"id": "16535", "text": "49.996% directly owned by MIT Power Canada LP Inc. and 0.004% indirectly owned by MIT Power Canada Investment Inc. Guadalupe Peaking Energy Center, LLC", "ner": [[0, 3, "Percentage"], [7, 12, "Parties"], [14, 17, "Percentage"]], "tokenized_text": ["49", ".", "996", "%", "directly", "owned", "by", "MIT", "Power", "Canada", "LP", "Inc", ".", "and", "0", ".", "004", "%", "indirectly", "owned", "by", "MIT", "Power", "Canada", "Investment", "Inc", ".", "Guadalupe", "Peaking", "Energy", "Center", ",", "LLC"]}
{"id": "16536", "text": "| Los Esteros Critical Energy Facility, LLC", "ner": [], "tokenized_text": ["|", "Los", "Esteros", "Critical", "Energy", "Facility", ",", "LLC"]}
{"id": "16538", "text": "| Mankato Holdings, LLC", "ner": [], "tokenized_text": ["|", "Mankato", "Holdings", ",", "LLC"]}
{"id": "16539", "text": "| Metcalf Funding, LLC", "ner": [], "tokenized_text": ["|", "Metcalf", "Funding", ",", "LLC"]}
{"id": "16540", "text": "| Metcalf Holdings, LLC", "ner": [[1, 4, "Parties"]], "tokenized_text": ["|", "Metcalf", "Holdings", ",", "LLC"]}
{"id": "15541", "text": "| Mission Rock Energy Center, LLC", "ner": [], "tokenized_text": ["|", "Mission", "Rock", "Energy", "Center", ",", "LLC"]}
{"id": "15542", "text": "| New Steamboat Holdings, LLC", "ner": [], "tokenized_text": ["|", "New", "Steamboat", "Holdings", ",", "LLC"]}
{"id": "16543", "text": "| Pioneer Valley Energy Center, LLC", "ner": [], "tokenized_text": ["|", "Pioneer", "Valley", "Energy", "Center", ",", "LLC"]}
{"id": "16545", "text": "Third Party Ownership (if any) Rio Hondo Energy Center, LLC", "ner": [[7, 12, "Parties"]], "tokenized_text": ["Third", "Party", "Ownership", "(", "if", "any", ")", "Rio", "Hondo", "Energy", "Center", ",", "LLC"]}
{"id": "16548", "text": "| South Point Energy Center, LLC", "ner": [], "tokenized_text": ["|", "South", "Point", "Energy", "Center", ",", "LLC"]}
{"id": "16550", "text": "| White Rock Wind West, LLC", "ner": [], "tokenized_text": ["|", "White", "Rock", "Wind", "West", ",", "LLC"]}
{"id": "16551", "text": "UCC Filing Jurisdiction/Office Calpine Corporation", "ner": [[5, 6, "Parties"]], "tokenized_text": ["UCC", "Filing", "Jurisdiction", "/", "Office", "Calpine", "Corporation"]}
{"id": "16553", "text": "Secretary of State of Delaware Baytown Energy Center, LLC", "ner": [], "tokenized_text": ["Secretary", "of", "State", "of", "Delaware", "Baytown", "Energy", "Center", ",", "LLC"]}
{"id": "15556", "text": "Secretary of State of Delaware Calpine Administrative Services Company, Inc.", "ner": [], "tokenized_text": ["Secretary", "of", "State", "of", "Delaware", "Calpine", "Administrative", "Services", "Company", ",", "Inc", "."]}
{"id": "16557", "text": "Secretary of State of Delaware Calpine Auburndale Holdings, LLC", "ner": [], "tokenized_text": ["Secretary", "of", "State", "of", "Delaware", "Calpine", "Auburndale", "Holdings", ",", "LLC"]}
{"id": "16559", "text": "Secretary of State of Delaware Calpine Calistoga Holdings, LLC", "ner": [], "tokenized_text": ["Secretary", "of", "State", "of", "Delaware", "Calpine", "Calistoga", "Holdings", ",", "LLC"]}
{"id": "16560", "text": "Secretary of State of California Calpine Generating Company, LLC", "ner": [], "tokenized_text": ["Secretary", "of", "State", "of", "California", "Calpine", "Generating", "Company", ",", "LLC"]}
{"id": "16562", "text": "Secretary of State of Delaware Calpine King City, LLC", "ner": [], "tokenized_text": ["Secretary", "of", "State", "of", "Delaware", "Calpine", "King", "City", ",", "LLC"]}
{"id": "16563", "text": "Secretary of State of Delaware Calpine Magic Valley Pipeline, LLC", "ner": [], "tokenized_text": ["Secretary", "of", "State", "of", "Delaware", "Calpine", "Magic", "Valley", "Pipeline", ",", "LLC"]}
{"id": "16564", "text": "Secretary of State of Delaware Calpine Mid-Atlantic Energy, LLC", "ner": [], "tokenized_text": ["Secretary", "of", "State", "of", "Delaware", "Calpine", "Mid-Atlantic", "Energy", ",", "LLC"]}
{"id": "16567", "text": "Secretary of State of Delaware Calpine New Jersey Generation, LLC", "ner": [], "tokenized_text": ["Secretary", "of", "State", "of", "Delaware", "Calpine", "New", "Jersey", "Generation", ",", "LLC"]}
{"id": "16568", "text": "Secretary of State of Delaware Calpine Northbrook Investors, LLC", "ner": [], "tokenized_text": ["Secretary", "of", "State", "of", "Delaware", "Calpine", "Northbrook", "Investors", ",", "LLC"]}
{"id": "16569", "text": "Secretary of State of Delaware Calpine Northbrook Project Holdings, LLC", "ner": [], "tokenized_text": ["Secretary", "of", "State", "of", "Delaware", "Calpine", "Northbrook", "Project", "Holdings", ",", "LLC"]}
{"id": "12575", "text": "Secretary of State of Delaware Hillabee Energy Center, LLC", "ner": [], "tokenized_text": ["Secretary", "of", "State", "of", "Delaware", "Hillabee", "Energy", "Center", ",", "LLC"]}
{"id": "15576", "text": "Secretary of State of Delaware Metcalf Energy Center, LLC", "ner": [], "tokenized_text": ["Secretary", "of", "State", "of", "Delaware", "Metcalf", "Energy", "Center", ",", "LLC"]}
{"id": "15578", "text": "Secretary of State of Delaware Pastoria Energy Center, LLC", "ner": [], "tokenized_text": ["Secretary", "of", "State", "of", "Delaware", "Pastoria", "Energy", "Center", ",", "LLC"]}
{"id": "16579", "text": "Secretary of State of Delaware Pine Bluff Energy, LLC", "ner": [], "tokenized_text": ["Secretary", "of", "State", "of", "Delaware", "Pine", "Bluff", "Energy", ",", "LLC"]}
{"id": "16580", "text": "Secretary of State of Wisconsin South Point Energy Center, LLC", "ner": [], "tokenized_text": ["Secretary", "of", "State", "of", "Wisconsin", "South", "Point", "Energy", "Center", ",", "LLC"]}
{"id": "16581", "text": "Secretary of State of Delaware South Point Holdings, LLC", "ner": [], "tokenized_text": ["Secretary", "of", "State", "of", "Delaware", "South", "Point", "Holdings", ",", "LLC"]}
{"id": "15584", "text": "Freestone Power Generation, LLC", "ner": [[0, 4, "Parties"]], "tokenized_text": ["Freestone", "Power", "Generation", ",", "LLC"]}
{"id": "16586", "text": "Contra Costa County, California", "ner": [[0, 4, "Court"]], "tokenized_text": ["Contra", "Costa", "County", ",", "California"]}
{"id": "16588", "text": "Gas fired power generation facility located at 2346 Clearview Road, Cambridge, WI 53523", "ner": [[7, 13, "Address"]], "tokenized_text": ["Gas", "fired", "power", "generation", "facility", "located", "at", "2346", "Clearview", "Road", ",", "Cambridge", ",", "WI", "53523"]}
{"id": "15591", "text": "Calpine Mid-Atlantic Generation, LLC", "ner": [], "tokenized_text": ["Calpine", "Mid-Atlantic", "Generation", ",", "LLC"]}
{"id": "16592", "text": "Delaware City Combustion Turbine facility located at 1812 River Road, New Castle, DE 19720", "ner": [[7, 15, "Address"]], "tokenized_text": ["Delaware", "City", "Combustion", "Turbine", "facility", "located", "at", "1812", "River", "Road", ",", "New", "Castle", ",", "DE", "19720"]}
{"id": "16593", "text": "Bethlehem Power Plant located at 2245 Applebutter Road Bethlehem, PA 18015", "ner": [[5, 11, "Address"]], "tokenized_text": ["Bethlehem", "Power", "Plant", "located", "at", "2245", "Applebutter", "Road", "Bethlehem", ",", "PA", "18015"]}
{"id": "16594", "text": "Gas fired power generation facilities known as Hay Road and Edge Moor and located respectively at 198 and 200 Hay Road Wilmington, DE 19809", "ner": [[7, 8, "Address"], [10, 11, "Address"], [16, 24, "Address"]], "tokenized_text": ["Gas", "fired", "power", "generation", "facilities", "known", "as", "Hay", "Road", "and", "Edge", "Moor", "and", "located", "respectively", "at", "198", "and", "200", "Hay", "Road", "Wilmington", ",", "DE", "19809"]}
{"id": "13596", "text": "Carlls Corner Combustion Turbine located at 1623 S. Burlington Road, Bridgeton, NJ 08302", "ner": [[6, 14, "Address"]], "tokenized_text": ["Carlls", "Corner", "Combustion", "Turbine", "located", "at", "1623", "S", ".", "Burlington", "Road", ",", "Bridgeton", ",", "NJ", "08302"]}
{"id": "15597", "text": "Gloucester County, New Jersey", "ner": [[0, 4, "Court"]], "tokenized_text": ["Gloucester", "County", ",", "New", "Jersey"]}
{"id": "15598", "text": "Sherman Combustion Turbine located at 2600 S. Orchard Road,&lt; br/&gt;", "ner": [[5, 9, "Address"]], "tokenized_text": ["Sherman", "Combustion", "Turbine", "located", "at", "2600", "S", ".", "Orchard", "Road", ",", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "15601", "text": "7.Attached hereto as Exhibit B are true and complete copies of each limited liability company agreement of each of Calpine Gilroy 1, LLC, Calpine Texas Pipeline GP, LLC and Calpine Texas Pipeline LP, LLC, each as in effect on the date hereof and at all times since the resolutions referred to in paragraph 1 above were adopted. There have been no amendments, modifications or supplements to the limited liability company agreement of each of Calpine Magic Valley Pipeline , LLC and Calpine MVP, LLC since December 1, 2016.", "ner": [[21, 25, "Parties"], [27, 32, "Parties"], [34, 39, "Parties"], [83, 88, "Parties"], [90, 93, "Parties"], [95, 98, "EffectiveDate"]], "tokenized_text": ["7", ".", "Attached", "hereto", "as", "Exhibit", "B", "are", "true", "and", "complete", "copies", "of", "each", "limited", "liability", "company", "agreement", "of", "each", "of", "Calpine", "Gilroy", "1", ",", "LLC", ",", "Calpine", "Texas", "Pipeline", "GP", ",", "LLC", "and", "Calpine", "Texas", "Pipeline", "LP", ",", "LLC", ",", "each", "as", "in", "effect", "on", "the", "date", "hereof", "and", "at", "all", "times", "since", "the", "resolutions", "referred", "to", "in", "paragraph", "1", "above", "were", "adopted", ".", "There", "have", "been", "no", "amendments", ",", "modifications", "or", "supplements", "to", "the", "limited", "liability", "company", "agreement", "of", "each", "of", "Calpine", "Magic", "Valley", "Pipeline", ",", "LLC", "and", "Calpine", "MVP", ",", "LLC", "since", "December", "1", ",", "2016", "."]}
{"id": "16603", "text": "[Limited Liability Company Agreement of each of Calpine Gilroy 1, LLC, Calpine Texas Pipeline GP, LLC and Calpine Texas Pipeline LP, LLC ]", "ner": [[1, 4, "Title"], [8, 12, "Parties"], [14, 19, "Parties"], [21, 26, "Parties"]], "tokenized_text": ["[", "Limited", "Liability", "Company", "Agreement", "of", "each", "of", "Calpine", "Gilroy", "1", ",", "LLC", ",", "Calpine", "Texas", "Pipeline", "GP", ",", "LLC", "and", "Calpine", "Texas", "Pipeline", "LP", ",", "LLC", "]"]}
{"id": "16607", "text": "Reference is made to the Credit Agreement dated as of February 3, 2017 (as amended and in effect on the date hereof, the Credit Agreement; capitalized terms not defined herein shall have the meanings as defined in the Credit Agreement), among the undersigned, as Borrower, the Lenders named therein, Morgan Stanley Senior Funding , Inc., as Administrative Agent and MUFG Union Bank, N.A., as Collateral Agent. Pursuant to Section 2.2 of the Credit Agreement, the Borrower hereby requests a Borrowing of the Term Loans under the Credit Agreement, and in that connection the Borrower specifies the following information with respect to such Borrowing:", "ner": [[5, 6, "Title"], [10, 13, "EffectiveDate"], [26, 27, "Title"], [42, 43, "Title"], [58, 64, "Parties"], [70, 77, "Parties"], [91, 92, "Title"], [106, 107, "Title"]], "tokenized_text": ["Reference", "is", "made", "to", "the", "Credit", "Agreement", "dated", "as", "of", "February", "3", ",", "2017", "(", "as", "amended", "and", "in", "effect", "on", "the", "date", "hereof", ",", "the", "Credit", "Agreement", ";", "capitalized", "terms", "not", "defined", "herein", "shall", "have", "the", "meanings", "as", "defined", "in", "the", "Credit", "Agreement", ")", ",", "among", "the", "undersigned", ",", "as", "Borrower", ",", "the", "Lenders", "named", "therein", ",", "Morgan", "Stanley", "Senior", "Funding", ",", "Inc", ".", ",", "as", "Administrative", "Agent", "and", "MUFG", "Union", "Bank", ",", "N", ".", "A", ".", ",", "as", "Collateral", "Agent", ".", "Pursuant", "to", "Section", "2", ".", "2", "of", "the", "Credit", "Agreement", ",", "the", "Borrower", "hereby", "requests", "a", "Borrowing", "of", "the", "Term", "Loans", "under", "the", "Credit", "Agreement", ",", "and", "in", "that", "connection", "the", "Borrower", "specifies", "the", "following", "information", "with", "respect", "to", "such", "Borrowing", ":"]}
{"id": "16608", "text": "--- | | CALPINE CORPORATION |", "ner": [[5, 6, "Parties"]], "tokenized_text": ["-", "-", "-", "|", "|", "CALPINE", "CORPORATION", "|"]}
{"id": "15609", "text": "Reference is hereby made to the Credit Agreement, dated as of February 3, 2017 (as amended, restated, amended and restated, supplemented or otherwise modified from time to time, the Credit Agreement), among Calpine Corporation (the Borrower), the Lenders party thereto, Morgan Stanley Senior Funding , Inc., as Administrative Agent and MUFG Union Bank, N.A., as Collateral Agent. Unless otherwise defined herein, capitalized terms are used herein as defined in the Credit Agreement.", "ner": [[6, 7, "Title"], [12, 15, "EffectiveDate"], [36, 37, "Title"], [41, 42, "Parties"], [53, 59, "Parties"], [65, 72, "Parties"], [92, 93, "Title"]], "tokenized_text": ["Reference", "is", "hereby", "made", "to", "the", "Credit", "Agreement", ",", "dated", "as", "of", "February", "3", ",", "2017", "(", "as", "amended", ",", "restated", ",", "amended", "and", "restated", ",", "supplemented", "or", "otherwise", "modified", "from", "time", "to", "time", ",", "the", "Credit", "Agreement", ")", ",", "among", "Calpine", "Corporation", "(", "the", "Borrower", ")", ",", "the", "Lenders", "party", "thereto", ",", "Morgan", "Stanley", "Senior", "Funding", ",", "Inc", ".", ",", "as", "Administrative", "Agent", "and", "MUFG", "Union", "Bank", ",", "N", ".", "A", ".", ",", "as", "Collateral", "Agent", ".", "Unless", "otherwise", "defined", "herein", ",", "capitalized", "terms", "are", "used", "herein", "as", "defined", "in", "the", "Credit", "Agreement", "."]}
{"id": "16611", "text": "among Calpine Corporation (the Borrower),", "ner": [[1, 2, "Parties"]], "tokenized_text": ["among", "Calpine", "Corporation", "(", "the", "Borrower", ")", ","]}
{"id": "16612", "text": "the Lenders party thereto, Morgan Stanley Senior Funding, Inc. as administrative agent and", "ner": [[5, 11, "Parties"]], "tokenized_text": ["the", "Lenders", "party", "thereto", ",", "Morgan", "Stanley", "Senior", "Funding", ",", "Inc", ".", "as", "administrative", "agent", "and"]}
{"id": "16616", "text": "Reference is made to the CREDIT AGREEMENT , dated as of February 3, 2017 (the Agreement), among CALPINE CORPORATION , a Delaware corporation (the Borrower), MORGAN STANLEY SENIOR FUNDING, INC. , , as administrative agent (in such capacity and including any successors in such capacity, the Administrative Agent), MUFG UNION BANK , N.A., as collateral agent (in such capacity and including any successors in such capacity, the Collateral Agent and together with the Administrative Agent, the Agents), and each of the financial institutions from time to time party hereto (collectively, the Lenders). Capitalized terms used herein but not otherwise defined shall have the meaning given to such term in the Agreement.", "ner": [[5, 6, "Title"], [11, 14, "EffectiveDate"], [21, 22, "Parties"], [32, 38, "Parties"], [61, 68, "Parties"]], "tokenized_text": ["Reference", "is", "made", "to", "the", "CREDIT", "AGREEMENT", ",", "dated", "as", "of", "February", "3", ",", "2017", "(", "the", "Agreement", ")", ",", "among", "CALPINE", "CORPORATION", ",", "a", "Delaware", "corporation", "(", "the", "Borrower", ")", ",", "MORGAN", "STANLEY", "SENIOR", "FUNDING", ",", "INC", ".", ",", ",", "as", "administrative", "agent", "(", "in", "such", "capacity", "and", "including", "any", "successors", "in", "such", "capacity", ",", "the", "Administrative", "Agent", ")", ",", "MUFG", "UNION", "BANK", ",", "N", ".", "A", ".", ",", "as", "collateral", "agent", "(", "in", "such", "capacity", "and", "including", "any", "successors", "in", "such", "capacity", ",", "the", "Collateral", "Agent", "and", "together", "with", "the", "Administrative", "Agent", ",", "the", "Agents", ")", ",", "and", "each", "of", "the", "financial", "institutions", "from", "time", "to", "time", "party", "hereto", "(", "collectively", ",", "the", "Lenders", ")", ".", "Capitalized", "terms", "used", "herein", "but", "not", "otherwise", "defined", "shall", "have", "the", "meaning", "given", "to", "such", "term", "in", "the", "Agreement", "."]}
{"id": "16619", "text": "Pursuant to the provisions of Section 2.19(e) of the Agreement, the undersigned hereby certifies that (i) it is the sole record owner of the Loan(s) (as well as any Note(s) evidencing such Loan(s)) in respect of which it is providing this certificate, (ii) its direct or indirect partners/members are the sole beneficial owners of such Loan(s) (as well as any Note(s) evidencing such Loan(s)), (iii) neither the undersigned nor any of its applicable direct or indirect partners/members is a bank within the meaning of Section 881(c)(3)(A) of the Internal Revenue Code of 1986 , as amended, (the Code), (iv) none of its applicable direct or indirect partners/members is a ten percent shareholder of the Borrower within the meaning of Code Section 881(c)(3)(B), (v) none of its applicable direct or indirect partners/members is a controlled foreign corporation described in Section 881(c)(3)(C) of the Code, and (vi) no payments in connection with any Loan Document are effectively connected with the a United States trade or business conducted by the undersigned or its applicable direct or indirect partners/members.", "ner": [[5, 11, "Regulation"], [124, 134, "Regulation"], [137, 141, "Act"], [166, 167, "Percentage"], [209, 219, "Regulation"]], "tokenized_text": ["Pursuant", "to", "the", "provisions", "of", "Section", "2", ".", "19", "(", "e", ")", "of", "the", "Agreement", ",", "the", "undersigned", "hereby", "certifies", "that", "(", "i", ")", "it", "is", "the", "sole", "record", "owner", "of", "the", "Loan", "(", "s", ")", "(", "as", "well", "as", "any", "Note", "(", "s", ")", "evidencing", "such", "Loan", "(", "s", ")", ")", "in", "respect", "of", "which", "it", "is", "providing", "this", "certificate", ",", "(", "ii", ")", "its", "direct", "or", "indirect", "partners", "/", "members", "are", "the", "sole", "beneficial", "owners", "of", "such", "Loan", "(", "s", ")", "(", "as", "well", "as", "any", "Note", "(", "s", ")", "evidencing", "such", "Loan", "(", "s", ")", ")", ",", "(", "iii", ")", "neither", "the", "undersigned", "nor", "any", "of", "its", "applicable", "direct", "or", "indirect", "partners", "/", "members", "is", "a", "bank", "within", "the", "meaning", "of", "Section", "881", "(", "c", ")", "(", "3", ")", "(", "A", ")", "of", "the", "Internal", "Revenue", "Code", "of", "1986", ",", "as", "amended", ",", "(", "the", "Code", ")", ",", "(", "iv", ")", "none", "of", "its", "applicable", "direct", "or", "indirect", "partners", "/", "members", "is", "a", "ten", "percent", "shareholder", "of", "the", "Borrower", "within", "the", "meaning", "of", "Code", "Section", "881", "(", "c", ")", "(", "3", ")", "(", "B", ")", ",", "(", "v", ")", "none", "of", "its", "applicable", "direct", "or", "indirect", "partners", "/", "members", "is", "a", "controlled", "foreign", "corporation", "described", "in", "Section", "881", "(", "c", ")", "(", "3", ")", "(", "C", ")", "of", "the", "Code", ",", "and", "(", "vi", ")", "no", "payments", "in", "connection", "with", "any", "Loan", "Document", "are", "effectively", "connected", "with", "the", "a", "United", "States", "trade", "or", "business", "conducted", "by", "the", "undersigned", "or", "its", "applicable", "direct", "or", "indirect", "partners", "/", "members", "."]}
{"id": "16620", "text": "Pursuant to the provisions of Section 2.19(e) and Section 9.6(c) of the Agreement, the undersigned hereby certifies that (i) it is the sole record and beneficial owner of the participation in respect of which it is providing this certificate, (ii) it is not a bank within the meaning of Section 881(c)(3)(A) of the Internal Revenue Code of 1986 , as amended, (the Code), (iii) it is not a ten percent shareholder of the Borrower within the meaning of Code Section 881(c)(3)(B), (iv) it is not a controlled foreign corporation described in Section 881(c)(3)(C) of the Code, and (v) no payments in connection with any Loan Document are effectively connected with a United States trade or business conducted by the undersigned.", "ner": [[78, 82, "Act"], [99, 100, "Percentage"], [134, 144, "Regulation"]], "tokenized_text": ["Pursuant", "to", "the", "provisions", "of", "Section", "2", ".", "19", "(", "e", ")", "and", "Section", "9", ".", "6", "(", "c", ")", "of", "the", "Agreement", ",", "the", "undersigned", "hereby", "certifies", "that", "(", "i", ")", "it", "is", "the", "sole", "record", "and", "beneficial", "owner", "of", "the", "participation", "in", "respect", "of", "which", "it", "is", "providing", "this", "certificate", ",", "(", "ii", ")", "it", "is", "not", "a", "bank", "within", "the", "meaning", "of", "Section", "881", "(", "c", ")", "(", "3", ")", "(", "A", ")", "of", "the", "Internal", "Revenue", "Code", "of", "1986", ",", "as", "amended", ",", "(", "the", "Code", ")", ",", "(", "iii", ")", "it", "is", "not", "a", "ten", "percent", "shareholder", "of", "the", "Borrower", "within", "the", "meaning", "of", "Code", "Section", "881", "(", "c", ")", "(", "3", ")", "(", "B", ")", ",", "(", "iv", ")", "it", "is", "not", "a", "controlled", "foreign", "corporation", "described", "in", "Section", "881", "(", "c", ")", "(", "3", ")", "(", "C", ")", "of", "the", "Code", ",", "and", "(", "v", ")", "no", "payments", "in", "connection", "with", "any", "Loan", "Document", "are", "effectively", "connected", "with", "a", "United", "States", "trade", "or", "business", "conducted", "by", "the", "undersigned", "."]}
{"id": "16621", "text": "Pursuant to the provisions of Section 2.19(e) and Section 9.6(c) of the Agreement, the undersigned hereby certifies that (i) it is the sole record owner of the participation in respect of which it is providing this certificate, (ii) its direct or indirect partners/members are the sole beneficial owners of such participation, (iii) neither the undersigned nor any of its applicable direct or indirect partners/members is a bank within the meaning of Section 881(c)(3)(A) of the Internal Revenue Code of 1986 , as amended, (the Code), (iv) none of its applicable direct or indirect partners/members is a ten percent shareholder of the Borrower within the meaning of Code Section 881(c)(3)(B), (v) none of its applicable direct or indirect partners/members is a controlled foreign corporation described in Section 881(c)(3)(C) of the Code, and (vi) no payments in connection with any Loan Document are effectively connected with a United States trade or business conducted by the undersigned or its applicable direct or indirect partners/members.", "ner": [[94, 104, "Regulation"], [107, 111, "Act"], [136, 137, "Percentage"], [179, 189, "Regulation"]], "tokenized_text": ["Pursuant", "to", "the", "provisions", "of", "Section", "2", ".", "19", "(", "e", ")", "and", "Section", "9", ".", "6", "(", "c", ")", "of", "the", "Agreement", ",", "the", "undersigned", "hereby", "certifies", "that", "(", "i", ")", "it", "is", "the", "sole", "record", "owner", "of", "the", "participation", "in", "respect", "of", "which", "it", "is", "providing", "this", "certificate", ",", "(", "ii", ")", "its", "direct", "or", "indirect", "partners", "/", "members", "are", "the", "sole", "beneficial", "owners", "of", "such", "participation", ",", "(", "iii", ")", "neither", "the", "undersigned", "nor", "any", "of", "its", "applicable", "direct", "or", "indirect", "partners", "/", "members", "is", "a", "bank", "within", "the", "meaning", "of", "Section", "881", "(", "c", ")", "(", "3", ")", "(", "A", ")", "of", "the", "Internal", "Revenue", "Code", "of", "1986", ",", "as", "amended", ",", "(", "the", "Code", ")", ",", "(", "iv", ")", "none", "of", "its", "applicable", "direct", "or", "indirect", "partners", "/", "members", "is", "a", "ten", "percent", "shareholder", "of", "the", "Borrower", "within", "the", "meaning", "of", "Code", "Section", "881", "(", "c", ")", "(", "3", ")", "(", "B", ")", ",", "(", "v", ")", "none", "of", "its", "applicable", "direct", "or", "indirect", "partners", "/", "members", "is", "a", "controlled", "foreign", "corporation", "described", "in", "Section", "881", "(", "c", ")", "(", "3", ")", "(", "C", ")", "of", "the", "Code", ",", "and", "(", "vi", ")", "no", "payments", "in", "connection", "with", "any", "Loan", "Document", "are", "effectively", "connected", "with", "a", "United", "States", "trade", "or", "business", "conducted", "by", "the", "undersigned", "or", "its", "applicable", "direct", "or", "indirect", "partners", "/", "members", "."]}
{"id": "16622", "text": "Reference is made to the Credit Agreement, dated as of February 3, 2017 (the Credit Agreement; capitalized terms not defined herein shall have the meanings as defined in the Credit Agreement), among Calpine Corporation (the Borrower), the Lenders party thereto, Morgan Stanley Senior Funding, Inc. (MSSF), as Administrative Agent and MUFG Union Bank, N.A., as Collateral Agent. Pursuant to Section 2.15 of the Credit Agreement, the undersigned duly authorized officer hereby requests to [continue][convert] a Borrowing under the Credit Agreement, and in that connection the Borrower specifies the following information with respect to such Borrowing:", "ner": [[5, 6, "Title"], [11, 14, "EffectiveDate"], [17, 18, "Title"], [33, 34, "Title"], [38, 39, "Parties"], [50, 56, "Parties"], [65, 72, "Parties"], [86, 87, "Title"], [107, 108, "Title"]], "tokenized_text": ["Reference", "is", "made", "to", "the", "Credit", "Agreement", ",", "dated", "as", "of", "February", "3", ",", "2017", "(", "the", "Credit", "Agreement", ";", "capitalized", "terms", "not", "defined", "herein", "shall", "have", "the", "meanings", "as", "defined", "in", "the", "Credit", "Agreement", ")", ",", "among", "Calpine", "Corporation", "(", "the", "Borrower", ")", ",", "the", "Lenders", "party", "thereto", ",", "Morgan", "Stanley", "Senior", "Funding", ",", "Inc", ".", "(", "MSSF", ")", ",", "as", "Administrative", "Agent", "and", "MUFG", "Union", "Bank", ",", "N", ".", "A", ".", ",", "as", "Collateral", "Agent", ".", "Pursuant", "to", "Section", "2", ".", "15", "of", "the", "Credit", "Agreement", ",", "the", "undersigned", "duly", "authorized", "officer", "hereby", "requests", "to", "[", "continue", "]", "[", "convert", "]", "a", "Borrowing", "under", "the", "Credit", "Agreement", ",", "and", "in", "that", "connection", "the", "Borrower", "specifies", "the", "following", "information", "with", "respect", "to", "such", "Borrowing", ":"]}
{"id": "16623", "text": "| CALPINE CORPORATION |", "ner": [[1, 2, "Parties"]], "tokenized_text": ["|", "CALPINE", "CORPORATION", "|"]}
{"id": "16624", "text": "The undersigned, Morgan Stanley Senior Funding, Inc. (MSSF), refers to the Credit Agreement, dated as of February 3, 2017 (as amended, restated, amended and restated, supplemented or otherwise modified from time to time, the Credit Agreement), among Calpine Corporation (the Borrower), the Lenders party thereto, MSSF, as Administrative Agent and MUFG Union Bank, N.A., as Collateral Agent. Unless otherwise defined herein, terms defined in the Credit Agreement and used herein shall have the meanings given to them in the Credit Agreement. The Administrative Agent hereby gives notice of a prepayment of Term Loans to be made by the Borrower pursuant to Section 2.13(a) of the Credit Agreement of the prepayment amount set forth below. Amounts applied to prepay the Term Loans shall be applied first to the Base Rate Loans then to the Eurodollar Loans held by you. The portion of the prepayment amount to be allocated to the Term Loan held by you and the date on which such prepayment will be made to you are set forth below:", "ner": [[3, 9, "Parties"], [17, 18, "Title"], [23, 26, "EffectiveDate"], [47, 48, "Title"], [52, 53, "Parties"], [70, 77, "Parties"], [92, 93, "Title"], [106, 107, "Title"], [138, 139, "Title"]], "tokenized_text": ["The", "undersigned", ",", "Morgan", "Stanley", "Senior", "Funding", ",", "Inc", ".", "(", "MSSF", ")", ",", "refers", "to", "the", "Credit", "Agreement", ",", "dated", "as", "of", "February", "3", ",", "2017", "(", "as", "amended", ",", "restated", ",", "amended", "and", "restated", ",", "supplemented", "or", "otherwise", "modified", "from", "time", "to", "time", ",", "the", "Credit", "Agreement", ")", ",", "among", "Calpine", "Corporation", "(", "the", "Borrower", ")", ",", "the", "Lenders", "party", "thereto", ",", "MSSF", ",", "as", "Administrative", "Agent", "and", "MUFG", "Union", "Bank", ",", "N", ".", "A", ".", ",", "as", "Collateral", "Agent", ".", "Unless", "otherwise", "defined", "herein", ",", "terms", "defined", "in", "the", "Credit", "Agreement", "and", "used", "herein", "shall", "have", "the", "meanings", "given", "to", "them", "in", "the", "Credit", "Agreement", ".", "The", "Administrative", "Agent", "hereby", "gives", "notice", "of", "a", "prepayment", "of", "Term", "Loans", "to", "be", "made", "by", "the", "Borrower", "pursuant", "to", "Section", "2", ".", "13", "(", "a", ")", "of", "the", "Credit", "Agreement", "of", "the", "prepayment", "amount", "set", "forth", "below", ".", "Amounts", "applied", "to", "prepay", "the", "Term", "Loans", "shall", "be", "applied", "first", "to", "the", "Base", "Rate", "Loans", "then", "to", "the", "Eurodollar", "Loans", "held", "by", "you", ".", "The", "portion", "of", "the", "prepayment", "amount", "to", "be", "allocated", "to", "the", "Term", "Loan", "held", "by", "you", "and", "the", "date", "on", "which", "such", "prepayment", "will", "be", "made", "to", "you", "are", "set", "forth", "below", ":"]}
{"id": "16625", "text": "--- | | MORGAN STANLEY SENIOR FUNDING, INC., |", "ner": [[5, 11, "Parties"]], "tokenized_text": ["-", "-", "-", "|", "|", "MORGAN", "STANLEY", "SENIOR", "FUNDING", ",", "INC", ".", ",", "|"]}
{"id": "16631", "text": "(i) Initial Closing. Subject to the satisfaction (or waiver) of the conditions set forth in Sections 6 and 7 below, the Company shall issue and sell to the Buyer, and the Buyer agrees to purchase from the Company, on the Initial Closing Date (as defined below), a principal amount of Offered Notes (the Initial Notes) as is set forth opposite the Buyers name in column (3) on the Schedule of Buyers. The initial closing hereunder (the Initial Closing) shall take place at 10:00 a.m., New York City time, on or prior to January 26, 2017 (the Initial Closing Date) after notification of satisfaction (or waiver) of the conditions to the Initial Closing set forth in Sections 5 and 6 hereof at the offices of Troutman Sanders LLP, 875 Third Avenue, New York, New York 10022 or such other location as is mutually agreed by the Company and the Buyers.", "ner": [[158, 167, "Address"]], "tokenized_text": ["(", "i", ")", "Initial", "Closing", ".", "Subject", "to", "the", "satisfaction", "(", "or", "waiver", ")", "of", "the", "conditions", "set", "forth", "in", "Sections", "6", "and", "7", "below", ",", "the", "Company", "shall", "issue", "and", "sell", "to", "the", "Buyer", ",", "and", "the", "Buyer", "agrees", "to", "purchase", "from", "the", "Company", ",", "on", "the", "Initial", "Closing", "Date", "(", "as", "defined", "below", ")", ",", "a", "principal", "amount", "of", "Offered", "Notes", "(", "the", "Initial", "Notes", ")", "as", "is", "set", "forth", "opposite", "the", "Buyers", "name", "in", "column", "(", "3", ")", "on", "the", "Schedule", "of", "Buyers", ".", "The", "initial", "closing", "hereunder", "(", "the", "Initial", "Closing", ")", "shall", "take", "place", "at", "10", ":", "00", "a", ".", "m", ".", ",", "New", "York", "City", "time", ",", "on", "or", "prior", "to", "January", "26", ",", "2017", "(", "the", "Initial", "Closing", "Date", ")", "after", "notification", "of", "satisfaction", "(", "or", "waiver", ")", "of", "the", "conditions", "to", "the", "Initial", "Closing", "set", "forth", "in", "Sections", "5", "and", "6", "hereof", "at", "the", "offices", "of", "Troutman", "Sanders", "LLP", ",", "875", "Third", "Avenue", ",", "New", "York", ",", "New", "York", "10022", "or", "such", "other", "location", "as", "is", "mutually", "agreed", "by", "the", "Company", "and", "the", "Buyers", "."]}
{"id": "15634", "text": "(m) Certain Trading Activities. The Buyer has not directly or indirectly, nor has any Person acting on behalf of or pursuant to any understanding with the Buyer, engaged in any transactions in the securities of the Company (including, without limitation, any Short Sales (as defined below) involving the Companys securities) during the period commencing as of the time that the Buyer was first contacted regarding the specific investment in the Company contemplated by this Agreement and ending immediately prior to the execution of this Agreement by the Buyer (it being understood and agreed that for all purposes of this Agreement, and, without implication that the contrary would otherwise be true, that neither transactions nor purchases nor sales shall include the location and/or reservation of borrowable shares of Common Stock). Notwithstanding the foregoing, in the case that the Buyer is a multi-managed investment vehicle whereby separate portfolio managers manage separate portions of the Buyers assets and the portfolio managers have no direct knowledge of the investment decisions made by the portfolio managers managing other portions of the Buyers assets, the representation set forth above shall only apply with respect to the portion of assets managed by the portfolio manager that made the investment decision to purchase the Securities covered by this Agreement. Short Sales means all short sales as defined in Rule 200 promulgated under Regulation SHO under the Securities Exchange Act of 1934 , as amended (the 1934 Act ).&lt; br/&gt;", "ner": [[242, 243, "Regulation"], [246, 247, "Regulation"], [250, 254, "Act"]], "tokenized_text": ["(", "m", ")", "Certain", "Trading", "Activities", ".", "The", "Buyer", "has", "not", "directly", "or", "indirectly", ",", "nor", "has", "any", "Person", "acting", "on", "behalf", "of", "or", "pursuant", "to", "any", "understanding", "with", "the", "Buyer", ",", "engaged", "in", "any", "transactions", "in", "the", "securities", "of", "the", "Company", "(", "including", ",", "without", "limitation", ",", "any", "Short", "Sales", "(", "as", "defined", "below", ")", "involving", "the", "Companys", "securities", ")", "during", "the", "period", "commencing", "as", "of", "the", "time", "that", "the", "Buyer", "was", "first", "contacted", "regarding", "the", "specific", "investment", "in", "the", "Company", "contemplated", "by", "this", "Agreement", "and", "ending", "immediately", "prior", "to", "the", "execution", "of", "this", "Agreement", "by", "the", "Buyer", "(", "it", "being", "understood", "and", "agreed", "that", "for", "all", "purposes", "of", "this", "Agreement", ",", "and", ",", "without", "implication", "that", "the", "contrary", "would", "otherwise", "be", "true", ",", "that", "neither", "transactions", "nor", "purchases", "nor", "sales", "shall", "include", "the", "location", "and", "/", "or", "reservation", "of", "borrowable", "shares", "of", "Common", "Stock", ")", ".", "Notwithstanding", "the", "foregoing", ",", "in", "the", "case", "that", "the", "Buyer", "is", "a", "multi-managed", "investment", "vehicle", "whereby", "separate", "portfolio", "managers", "manage", "separate", "portions", "of", "the", "Buyers", "assets", "and", "the", "portfolio", "managers", "have", "no", "direct", "knowledge", "of", "the", "investment", "decisions", "made", "by", "the", "portfolio", "managers", "managing", "other", "portions", "of", "the", "Buyers", "assets", ",", "the", "representation", "set", "forth", "above", "shall", "only", "apply", "with", "respect", "to", "the", "portion", "of", "assets", "managed", "by", "the", "portfolio", "manager", "that", "made", "the", "investment", "decision", "to", "purchase", "the", "Securities", "covered", "by", "this", "Agreement", ".", "Short", "Sales", "means", "all", "short", "sales", "as", "defined", "in", "Rule", "200", "promulgated", "under", "Regulation", "SHO", "under", "the", "Securities", "Exchange", "Act", "of", "1934", ",", "as", "amended", "(", "the", "1934", "Act", ")", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "16636", "text": "(k) SEC Documents; Financial Statements. Except as disclosed in Schedule 3(k), since January 1, 2014, the Company has timely filed all reports, schedules, forms, statements and other documents required to be filed by it with the SEC pursuant to the reporting requirements of the 1934 Act ( all of the foregoing filed prior to the date hereof, and all exhibits included therein and financial statements, notes and schedules thereto and documents incorporated by reference therein being hereinafter referred to as the SEC Documents). The Company has delivered to the Buyers or their respective representatives true, correct and complete copies of the SEC Documents not available on the EDGAR system. As of their respective filing dates, the SEC Documents complied in all material respects with the requirements of the 1934 Act and the rules and regulations of the SEC promulgated thereunder applicable to the SEC Documents, and none of the SEC Documents, at the time they were filed with the SEC, contained any untrue statement of a material fact or omitted to state a material fact required to be stated therein or necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading. As of their respective filing dates, the financial statements of the Company included in the SEC Documents complied as to form in all material respects with applicable accounting requirements and the published rules and regulations of the SEC with respect thereto. Such financial statements have been prepared in accordance with United States generally accepted accounting principles, consistently applied, during the periods involved (GAAP) (except (i) as may be otherwise indicated in such financial statements or the notes thereto, or (ii) in the case of unaudited interim statements, to the extent they may exclude footnotes or may be condensed or summary statements) and fairly present in all material respects the financial position of the Company and its Subsidiaries as of the dates thereof and the results of its operations and cash flows for the periods then ended (subject, in the case of unaudited statements, to normal year-end audit adjustments which will not be material, either individually or in the aggregate). No other information provided by or on behalf of the Company to any of the Buyers which is not included in the SEC Documents, including, without limitation, information referred to in Section 2(d) of this Agreement or in the disclosure schedules to this Agreement, contains any untrue statement of a material fact or omits to state any material fact necessary in order to make the statements therein, in the light of the circumstance under which they are or were made, not misleading.", "ner": [[20, 23, "EffectiveDate"], [57, 58, "Act"], [295, 295, "Regulation"]], "tokenized_text": ["(", "k", ")", "SEC", "Documents", ";", "Financial", "Statements", ".", "Except", "as", "disclosed", "in", "Schedule", "3", "(", "k", ")", ",", "since", "January", "1", ",", "2014", ",", "the", "Company", "has", "timely", "filed", "all", "reports", ",", "schedules", ",", "forms", ",", "statements", "and", "other", "documents", "required", "to", "be", "filed", "by", "it", "with", "the", "SEC", "pursuant", "to", "the", "reporting", "requirements", "of", "the", "1934", "Act", "(", "all", "of", "the", "foregoing", "filed", "prior", "to", "the", "date", "hereof", ",", "and", "all", "exhibits", "included", "therein", "and", "financial", "statements", ",", "notes", "and", "schedules", "thereto", "and", "documents", "incorporated", "by", "reference", "therein", "being", "hereinafter", "referred", "to", "as", "the", "SEC", "Documents", ")", ".", "The", "Company", "has", "delivered", "to", "the", "Buyers", "or", "their", "respective", "representatives", "true", ",", "correct", "and", "complete", "copies", "of", "the", "SEC", "Documents", "not", "available", "on", "the", "EDGAR", "system", ".", "As", "of", "their", "respective", "filing", "dates", ",", "the", "SEC", "Documents", "complied", "in", "all", "material", "respects", "with", "the", "requirements", "of", "the", "1934", "Act", "and", "the", "rules", "and", "regulations", "of", "the", "SEC", "promulgated", "thereunder", "applicable", "to", "the", "SEC", "Documents", ",", "and", "none", "of", "the", "SEC", "Documents", ",", "at", "the", "time", "they", "were", "filed", "with", "the", "SEC", ",", "contained", "any", "untrue", "statement", "of", "a", "material", "fact", "or", "omitted", "to", "state", "a", "material", "fact", "required", "to", "be", "stated", "therein", "or", "necessary", "in", "order", "to", "make", "the", "statements", "therein", ",", "in", "the", "light", "of", "the", "circumstances", "under", "which", "they", "were", "made", ",", "not", "misleading", ".", "As", "of", "their", "respective", "filing", "dates", ",", "the", "financial", "statements", "of", "the", "Company", "included", "in", "the", "SEC", "Documents", "complied", "as", "to", "form", "in", "all", "material", "respects", "with", "applicable", "accounting", "requirements", "and", "the", "published", "rules", "and", "regulations", "of", "the", "SEC", "with", "respect", "thereto", ".", "Such", "financial", "statements", "have", "been", "prepared", "in", "accordance", "with", "United", "States", "generally", "accepted", "accounting", "principles", ",", "consistently", "applied", ",", "during", "the", "periods", "involved", "(", "GAAP", ")", "(", "except", "(", "i", ")", "as", "may", "be", "otherwise", "indicated", "in", "such", "financial", "statements", "or", "the", "notes", "thereto", ",", "or", "(", "ii", ")", "in", "the", "case", "of", "unaudited", "interim", "statements", ",", "to", "the", "extent", "they", "may", "exclude", "footnotes", "or", "may", "be", "condensed", "or", "summary", "statements", ")", "and", "fairly", "present", "in", "all", "material", "respects", "the", "financial", "position", "of", "the", "Company", "and", "its", "Subsidiaries", "as", "of", "the", "dates", "thereof", "and", "the", "results", "of", "its", "operations", "and", "cash", "flows", "for", "the", "periods", "then", "ended", "(", "subject", ",", "in", "the", "case", "of", "unaudited", "statements", ",", "to", "normal", "year-end", "audit", "adjustments", "which", "will", "not", "be", "material", ",", "either", "individually", "or", "in", "the", "aggregate", ")", ".", "No", "other", "information", "provided", "by", "or", "on", "behalf", "of", "the", "Company", "to", "any", "of", "the", "Buyers", "which", "is", "not", "included", "in", "the", "SEC", "Documents", ",", "including", ",", "without", "limitation", ",", "information", "referred", "to", "in", "Section", "2", "(", "d", ")", "of", "this", "Agreement", "or", "in", "the", "disclosure", "schedules", "to", "this", "Agreement", ",", "contains", "any", "untrue", "statement", "of", "a", "material", "fact", "or", "omits", "to", "state", "any", "material", "fact", "necessary", "in", "order", "to", "make", "the", "statements", "therein", ",", "in", "the", "light", "of", "the", "circumstance", "under", "which", "they", "are", "or", "were", "made", ",", "not", "misleading", "."]}
{"id": "16638", "text": "(p) Sarbanes-Oxley Act. Except as set forth on Schedule 3(p), the Company is in compliance with any and all applicable requirements of the Sarbanes-Oxley Act of 2002 , as amended, that are effective as of the date hereof, and any and all applicable rules and regulations promulgated by the SEC thereunder that are effective as of the date hereof. The matter set forth in Schedule 3(p) would not reasonably be expected to have a Material Adverse Effect.", "ner": [[3, 4, "Act"], [30, 33, "Act"]], "tokenized_text": ["(", "p", ")", "Sarbanes-Oxley", "Act", ".", "Except", "as", "set", "forth", "on", "Schedule", "3", "(", "p", ")", ",", "the", "Company", "is", "in", "compliance", "with", "any", "and", "all", "applicable", "requirements", "of", "the", "Sarbanes-Oxley", "Act", "of", "2002", ",", "as", "amended", ",", "that", "are", "effective", "as", "of", "the", "date", "hereof", ",", "and", "any", "and", "all", "applicable", "rules", "and", "regulations", "promulgated", "by", "the", "SEC", "thereunder", "that", "are", "effective", "as", "of", "the", "date", "hereof", ".", "The", "matter", "set", "forth", "in", "Schedule", "3", "(", "p", ")", "would", "not", "reasonably", "be", "expected", "to", "have", "a", "Material", "Adverse", "Effect", "."]}
{"id": "16639", "text": "(r) Equity Capitalization. As of the date hereof, the authorized capital stock of the Company consists of (i) 100,000,000 shares of Common Stock, of which as of the date hereof, 33,046,364 shares are issued and outstanding, 26,602,702 shares are reserved for issuance pursuant to the Companys stock option and purchase plans and 197,536,831 shares are reserved for issuance pursuant to securities (other than the aforementioned options and the Offered Notes) exercisable or exchangeable for, or convertible into, Common Stock, and (ii) 10,000,000 shares of preferred stock, par value $0.001 per share, of which as of the date hereof 10 shares are issued and outstanding as of the date hereof. No shares of Common Stock are held in treasury and all of such outstanding shares are duly authorized and have been, or upon issuance will be, validly issued and are fully paid and nonassessable. (i) None of the Companys or any Subsidiarys capital stock is subject to preemptive rights or any other similar rights or any liens or encumbrances suffered or permitted by the Company or any Subsidiary; (ii) except as disclosed in Schedule 3(r)(ii), there are no outstanding options, warrants, scrip, rights to subscribe to, calls or commitments of any character whatsoever relating to, or securities or rights convertible into, or exercisable or exchangeable for, any shares of capital stock of the Company or any of its Subsidiaries, or contracts, commitments, understandings or arrangements by which the Company or any of its Subsidiaries is or may become bound to issue additional shares or capital stock of the Company or any of its Subsidiaries or options, warrants, scrip, rights to subscribe to, calls or commitments of any character whatsoever relating to, or securities or rights convertible into, or exercisable or exchangeable for, any shares of capital stock of the Company or any of its Subsidiaries; (iii) except as disclosed in Schedule 3(r)(iii), there are no outstanding debt securities, notes, credit agreements, credit facilities or other agreements, documents or instruments evidencing Indebtedness of the Company or any of its Subsidiaries or by which the Company or any of its Subsidiaries is or may become bound; (iv) there are no financing statements securing obligations in any material amounts filed in connection with the Company or any of its Subsidiaries; (v) except as disclosed in Schedule 3(r)(v), there are no agreements or arrangements under which the Company or any of its Subsidiaries is obligated to register the sale of any of their securities under the 1933 Act ( except pursuant to the Registration Rights Agreement); (vi) there are no outstanding securities or instruments of the Company or any of its Subsidiaries which contain any redemption or similar provisions, and there are no contracts, commitments, understandings or arrangements by which the Company or any of its Subsidiaries is or may become bound to redeem a security of the Company or any of its Subsidiaries; (vii) except as disclosed in Schedule 3(r)(vii), there are no securities or instruments containing anti-dilution or similar provisions that will be triggered by the issuance of the Securities; (viii) neither the Company nor any Subsidiary has any stock appreciation rights or phantom stock plans or agreements or any similar plan or agreement; and (ix) neither the Company nor any Subsidiary has any liabilities or obligations required to be disclosed in the SEC Documents but not so disclosed in the SEC Documents, other than those incurred in the ordinary course of the Companys or any of its Subsidiarys respective businesses and which, individually or in the aggregate, do not or would not have a Material Adverse Effect. The Company has furnished or made available to the Buyers true, correct and complete copies of the Companys Articles of Incorporation, as amended and as in effect on the date hereof (the Articles of Incorporation), and the Companys Bylaws, as amended and as in effect on the date hereof (the Bylaws), and the terms of all securities convertible into, or exercisable or exchangeable for shares of Common Stock and the material rights of the holders thereof in respect thereto.", "ner": [[24, 28, "Shares"], [42, 46, "Shares"], [53, 57, "Shares"], [73, 77, "Shares"], [113, 117, "Shares"], [125, 128, "Price"], [512, 513, "Act"], [519, 521, "Shares"], [742, 744, "Title"], [758, 760, "Title"], [766, 766, "Title"], [780, 780, "Title"]], "tokenized_text": ["(", "r", ")", "Equity", "Capitalization", ".", "As", "of", "the", "date", "hereof", ",", "the", "authorized", "capital", "stock", "of", "the", "Company", "consists", "of", "(", "i", ")", "100", ",", "000", ",", "000", "shares", "of", "Common", "Stock", ",", "of", "which", "as", "of", "the", "date", "hereof", ",", "33", ",", "046", ",", "364", "shares", "are", "issued", "and", "outstanding", ",", "26", ",", "602", ",", "702", "shares", "are", "reserved", "for", "issuance", "pursuant", "to", "the", "Companys", "stock", "option", "and", "purchase", "plans", "and", "197", ",", "536", ",", "831", "shares", "are", "reserved", "for", "issuance", "pursuant", "to", "securities", "(", "other", "than", "the", "aforementioned", "options", "and", "the", "Offered", "Notes", ")", "exercisable", "or", "exchangeable", "for", ",", "or", "convertible", "into", ",", "Common", "Stock", ",", "and", "(", "ii", ")", "10", ",", "000", ",", "000", "shares", "of", "preferred", "stock", ",", "par", "value", "$", "0", ".", "001", "per", "share", ",", "of", "which", "as", "of", "the", "date", "hereof", "10", "shares", "are", "issued", "and", "outstanding", "as", "of", "the", "date", "hereof", ".", "No", "shares", "of", "Common", "Stock", "are", "held", "in", "treasury", "and", "all", "of", "such", "outstanding", "shares", "are", "duly", "authorized", "and", "have", "been", ",", "or", "upon", "issuance", "will", "be", ",", "validly", "issued", "and", "are", "fully", "paid", "and", "nonassessable", ".", "(", "i", ")", "None", "of", "the", "Companys", "or", "any", "Subsidiarys", "capital", "stock", "is", "subject", "to", "preemptive", "rights", "or", "any", "other", "similar", "rights", "or", "any", "liens", "or", "encumbrances", "suffered", "or", "permitted", "by", "the", "Company", "or", "any", "Subsidiary", ";", "(", "ii", ")", "except", "as", "disclosed", "in", "Schedule", "3", "(", "r", ")", "(", "ii", ")", ",", "there", "are", "no", "outstanding", "options", ",", "warrants", ",", "scrip", ",", "rights", "to", "subscribe", "to", ",", "calls", "or", "commitments", "of", "any", "character", "whatsoever", "relating", "to", ",", "or", "securities", "or", "rights", "convertible", "into", ",", "or", "exercisable", "or", "exchangeable", "for", ",", "any", "shares", "of", "capital", "stock", "of", "the", "Company", "or", "any", "of", "its", "Subsidiaries", ",", "or", "contracts", ",", "commitments", ",", "understandings", "or", "arrangements", "by", "which", "the", "Company", "or", "any", "of", "its", "Subsidiaries", "is", "or", "may", "become", "bound", "to", "issue", "additional", "shares", "or", "capital", "stock", "of", "the", "Company", "or", "any", "of", "its", "Subsidiaries", "or", "options", ",", "warrants", ",", "scrip", ",", "rights", "to", "subscribe", "to", ",", "calls", "or", "commitments", "of", "any", "character", "whatsoever", "relating", "to", ",", "or", "securities", "or", "rights", "convertible", "into", ",", "or", "exercisable", "or", "exchangeable", "for", ",", "any", "shares", "of", "capital", "stock", "of", "the", "Company", "or", "any", "of", "its", "Subsidiaries", ";", "(", "iii", ")", "except", "as", "disclosed", "in", "Schedule", "3", "(", "r", ")", "(", "iii", ")", ",", "there", "are", "no", "outstanding", "debt", "securities", ",", "notes", ",", "credit", "agreements", ",", "credit", "facilities", "or", "other", "agreements", ",", "documents", "or", "instruments", "evidencing", "Indebtedness", "of", "the", "Company", "or", "any", "of", "its", "Subsidiaries", "or", "by", "which", "the", "Company", "or", "any", "of", "its", "Subsidiaries", "is", "or", "may", "become", "bound", ";", "(", "iv", ")", "there", "are", "no", "financing", "statements", "securing", "obligations", "in", "any", "material", "amounts", "filed", "in", "connection", "with", "the", "Company", "or", "any", "of", "its", "Subsidiaries", ";", "(", "v", ")", "except", "as", "disclosed", "in", "Schedule", "3", "(", "r", ")", "(", "v", ")", ",", "there", "are", "no", "agreements", "or", "arrangements", "under", "which", "the", "Company", "or", "any", "of", "its", "Subsidiaries", "is", "obligated", "to", "register", "the", "sale", "of", "any", "of", "their", "securities", "under", "the", "1933", "Act", "(", "except", "pursuant", "to", "the", "Registration", "Rights", "Agreement", ")", ";", "(", "vi", ")", "there", "are", "no", "outstanding", "securities", "or", "instruments", "of", "the", "Company", "or", "any", "of", "its", "Subsidiaries", "which", "contain", "any", "redemption", "or", "similar", "provisions", ",", "and", "there", "are", "no", "contracts", ",", "commitments", ",", "understandings", "or", "arrangements", "by", "which", "the", "Company", "or", "any", "of", "its", "Subsidiaries", "is", "or", "may", "become", "bound", "to", "redeem", "a", "security", "of", "the", "Company", "or", "any", "of", "its", "Subsidiaries", ";", "(", "vii", ")", "except", "as", "disclosed", "in", "Schedule", "3", "(", "r", ")", "(", "vii", ")", ",", "there", "are", "no", "securities", "or", "instruments", "containing", "anti-dilution", "or", "similar", "provisions", "that", "will", "be", "triggered", "by", "the", "issuance", "of", "the", "Securities", ";", "(", "viii", ")", "neither", "the", "Company", "nor", "any", "Subsidiary", "has", "any", "stock", "appreciation", "rights", "or", "phantom", "stock", "plans", "or", "agreements", "or", "any", "similar", "plan", "or", "agreement", ";", "and", "(", "ix", ")", "neither", "the", "Company", "nor", "any", "Subsidiary", "has", "any", "liabilities", "or", "obligations", "required", "to", "be", "disclosed", "in", "the", "SEC", "Documents", "but", "not", "so", "disclosed", "in", "the", "SEC", "Documents", ",", "other", "than", "those", "incurred", "in", "the", "ordinary", "course", "of", "the", "Companys", "or", "any", "of", "its", "Subsidiarys", "respective", "businesses", "and", "which", ",", "individually", "or", "in", "the", "aggregate", ",", "do", "not", "or", "would", "not", "have", "a", "Material", "Adverse", "Effect", ".", "The", "Company", "has", "furnished", "or", "made", "available", "to", "the", "Buyers", "true", ",", "correct", "and", "complete", "copies", "of", "the", "Companys", "Articles", "of", "Incorporation", ",", "as", "amended", "and", "as", "in", "effect", "on", "the", "date", "hereof", "(", "the", "Articles", "of", "Incorporation", ")", ",", "and", "the", "Companys", "Bylaws", ",", "as", "amended", "and", "as", "in", "effect", "on", "the", "date", "hereof", "(", "the", "Bylaws", ")", ",", "and", "the", "terms", "of", "all", "securities", "convertible", "into", ",", "or", "exercisable", "or", "exchangeable", "for", "shares", "of", "Common", "Stock", "and", "the", "material", "rights", "of", "the", "holders", "thereof", "in", "respect", "thereto", "."]}
{"id": "16642", "text": "(dd) Off Balance Sheet Arrangements. There is no transaction, arrangement, or other relationship between the Company or any of its Subsidiaries and an unconsolidated or other off balance sheet entity that is required to be disclosed by the Company in its 1934 Act filings and is not so disclosed or that otherwise would be reasonably likely to have a Material Adverse Effect.", "ner": [[46, 47, "Act"]], "tokenized_text": ["(", "dd", ")", "Off", "Balance", "Sheet", "Arrangements", ".", "There", "is", "no", "transaction", ",", "arrangement", ",", "or", "other", "relationship", "between", "the", "Company", "or", "any", "of", "its", "Subsidiaries", "and", "an", "unconsolidated", "or", "other", "off", "balance", "sheet", "entity", "that", "is", "required", "to", "be", "disclosed", "by", "the", "Company", "in", "its", "1934", "Act", "filings", "and", "is", "not", "so", "disclosed", "or", "that", "otherwise", "would", "be", "reasonably", "likely", "to", "have", "a", "Material", "Adverse", "Effect", "."]}
{"id": "16643", "text": "(jj) Bank Holding Company Act. Neither the Company nor any of its Subsidiaries or affiliates is subject to the Bank Holding Company Act of 1956 , as amended (the BHCA) and to regulation by the Board of Governors of the Federal Reserve System (the Federal Reserve). Neither the Company nor any of its Subsidiaries or affiliates owns or controls, directly or indirectly, five percent (5%) or more of the outstanding shares of any class of voting securities or twenty-five percent (25%) or more of the total equity of a bank or any entity that is subject to the BHCA and to regulation by the Federal Reserve. Neither the Company nor any of its Subsidiaries or affiliates exercises a controlling influence over the management or policies of a bank or any entity that is subject to the BHCA and to regulation by the Federal Reserve.", "ner": [[3, 6, "Act"], [22, 27, "Act"], [75, 76, "Percentage"], [91, 92, "Percentage"], [94, 95, "Percentage"]], "tokenized_text": ["(", "jj", ")", "Bank", "Holding", "Company", "Act", ".", "Neither", "the", "Company", "nor", "any", "of", "its", "Subsidiaries", "or", "affiliates", "is", "subject", "to", "the", "Bank", "Holding", "Company", "Act", "of", "1956", ",", "as", "amended", "(", "the", "BHCA", ")", "and", "to", "regulation", "by", "the", "Board", "of", "Governors", "of", "the", "Federal", "Reserve", "System", "(", "the", "Federal", "Reserve", ")", ".", "Neither", "the", "Company", "nor", "any", "of", "its", "Subsidiaries", "or", "affiliates", "owns", "or", "controls", ",", "directly", "or", "indirectly", ",", "five", "percent", "(", "5", "%", ")", "or", "more", "of", "the", "outstanding", "shares", "of", "any", "class", "of", "voting", "securities", "or", "twenty-five", "percent", "(", "25", "%", ")", "or", "more", "of", "the", "total", "equity", "of", "a", "bank", "or", "any", "entity", "that", "is", "subject", "to", "the", "BHCA", "and", "to", "regulation", "by", "the", "Federal", "Reserve", ".", "Neither", "the", "Company", "nor", "any", "of", "its", "Subsidiaries", "or", "affiliates", "exercises", "a", "controlling", "influence", "over", "the", "management", "or", "policies", "of", "a", "bank", "or", "any", "entity", "that", "is", "subject", "to", "the", "BHCA", "and", "to", "regulation", "by", "the", "Federal", "Reserve", "."]}
{"id": "16645", "text": "(c) Reporting Status. Until the date on which the Investors (as defined in the Registration Rights Agreement) shall have sold all of the Conversion Shares and none of the Offered Notes are outstanding (the Reporting Period), the Company shall use its reasonable best efforts to file all reports required to be filed with the SEC pursuant to the 1934 Act , and the Company shall not terminate its status as an issuer required to file reports under the 1934 Act even if the 1934 Act or the rules and regulations thereunder would no longer require or otherwise permit such termination.", "ner": [[66, 67, "Act"]], "tokenized_text": ["(", "c", ")", "Reporting", "Status", ".", "Until", "the", "date", "on", "which", "the", "Investors", "(", "as", "defined", "in", "the", "Registration", "Rights", "Agreement", ")", "shall", "have", "sold", "all", "of", "the", "Conversion", "Shares", "and", "none", "of", "the", "Offered", "Notes", "are", "outstanding", "(", "the", "Reporting", "Period", ")", ",", "the", "Company", "shall", "use", "its", "reasonable", "best", "efforts", "to", "file", "all", "reports", "required", "to", "be", "filed", "with", "the", "SEC", "pursuant", "to", "the", "1934", "Act", ",", "and", "the", "Company", "shall", "not", "terminate", "its", "status", "as", "an", "issuer", "required", "to", "file", "reports", "under", "the", "1934", "Act", "even", "if", "the", "1934", "Act", "or", "the", "rules", "and", "regulations", "thereunder", "would", "no", "longer", "require", "or", "otherwise", "permit", "such", "termination", "."]}
{"id": "16647", "text": "(i) Disclosure of Transactions and Other Material Information. On or before 8:30 a.m., New York City time, on the fourth Business Day after this Agreement has been executed, the Company shall file a Current Report on Form 8-K describing the terms of the transactions contemplated by the Transaction Documents in the form required by the 1934 Act and attaching the material Transaction Documents (including, without limitation, this Agreement, the form of Note, the Registration Rights Agreement, the Security Agreement and the form of Guaranty, the 8-K Filing). Neither the Company, its Subsidiaries nor the Buyer shall issue any press releases or any other public statements with respect to the transactions contemplated hereby; provided, however, that the Company shall be entitled, without the prior approval of the Buyer, to make any press release or other public disclosure with respect to such transactions (i) in substantial conformity with the 8-K Filing and (ii) as is required by applicable law and regulations. Except for the Registration Statement required to be filed pursuant to the Registration Rights Agreement, the Form 8-K Filing and as otherwise required by applicable law and regulations, without the prior written consent of the Buyer, neither the Company nor any of its Subsidiaries or affiliates shall disclose the name of the Buyer in any filing, announcement, release or otherwise.", "ner": [[66, 67, "Act"], [89, 91, "Title"], [94, 95, "Title"]], "tokenized_text": ["(", "i", ")", "Disclosure", "of", "Transactions", "and", "Other", "Material", "Information", ".", "On", "or", "before", "8", ":", "30", "a", ".", "m", ".", ",", "New", "York", "City", "time", ",", "on", "the", "fourth", "Business", "Day", "after", "this", "Agreement", "has", "been", "executed", ",", "the", "Company", "shall", "file", "a", "Current", "Report", "on", "Form", "8-K", "describing", "the", "terms", "of", "the", "transactions", "contemplated", "by", "the", "Transaction", "Documents", "in", "the", "form", "required", "by", "the", "1934", "Act", "and", "attaching", "the", "material", "Transaction", "Documents", "(", "including", ",", "without", "limitation", ",", "this", "Agreement", ",", "the", "form", "of", "Note", ",", "the", "Registration", "Rights", "Agreement", ",", "the", "Security", "Agreement", "and", "the", "form", "of", "Guaranty", ",", "the", "8-K", "Filing", ")", ".", "Neither", "the", "Company", ",", "its", "Subsidiaries", "nor", "the", "Buyer", "shall", "issue", "any", "press", "releases", "or", "any", "other", "public", "statements", "with", "respect", "to", "the", "transactions", "contemplated", "hereby", ";", "provided", ",", "however", ",", "that", "the", "Company", "shall", "be", "entitled", ",", "without", "the", "prior", "approval", "of", "the", "Buyer", ",", "to", "make", "any", "press", "release", "or", "other", "public", "disclosure", "with", "respect", "to", "such", "transactions", "(", "i", ")", "in", "substantial", "conformity", "with", "the", "8-K", "Filing", "and", "(", "ii", ")", "as", "is", "required", "by", "applicable", "law", "and", "regulations", ".", "Except", "for", "the", "Registration", "Statement", "required", "to", "be", "filed", "pursuant", "to", "the", "Registration", "Rights", "Agreement", ",", "the", "Form", "8-K", "Filing", "and", "as", "otherwise", "required", "by", "applicable", "law", "and", "regulations", ",", "without", "the", "prior", "written", "consent", "of", "the", "Buyer", ",", "neither", "the", "Company", "nor", "any", "of", "its", "Subsidiaries", "or", "affiliates", "shall", "disclose", "the", "name", "of", "the", "Buyer", "in", "any", "filing", ",", "announcement", ",", "release", "or", "otherwise", "."]}
{"id": "16648", "text": "(o) Directors. Within 10 days of written request from the Buyer, the Board of Directors of the Company shall take all necessary action to appoint to the Board of Directors such persons as the Buyer shall determine so that, following such appointment, such persons represent one third ( 1/3) of the number of persons on the Board of Directors; provided that in order to comply with this Section 4(o), the Board of Directors shall cause such number of current members of the Board of Directors to resign from the Board rather than increase the size of the Board.", "ner": [[51, 57, "Ratio"]], "tokenized_text": ["(", "o", ")", "Directors", ".", "Within", "10", "days", "of", "written", "request", "from", "the", "Buyer", ",", "the", "Board", "of", "Directors", "of", "the", "Company", "shall", "take", "all", "necessary", "action", "to", "appoint", "to", "the", "Board", "of", "Directors", "such", "persons", "as", "the", "Buyer", "shall", "determine", "so", "that", ",", "following", "such", "appointment", ",", "such", "persons", "represent", "one", "third", "(", "1", "/", "3", ")", "of", "the", "number", "of", "persons", "on", "the", "Board", "of", "Directors", ";", "provided", "that", "in", "order", "to", "comply", "with", "this", "Section", "4", "(", "o", ")", ",", "the", "Board", "of", "Directors", "shall", "cause", "such", "number", "of", "current", "members", "of", "the", "Board", "of", "Directors", "to", "resign", "from", "the", "Board", "rather", "than", "increase", "the", "size", "of", "the", "Board", "."]}
{"id": "16649", "text": "(i) The Buyer hereby (a) appoints Passaic River Capital LLC as the collateral agent hereunder and under the Security Documents (in such capacity, the Collateral Agent), and (b) authorizes the Collateral Agent (and its officers, directors, employees and agents) to take such action on such Buyers behalf in accordance with the terms hereof and thereof. The Collateral Agent shall not have, by reason hereof or pursuant to any Security Documents, a fiduciary relationship in respect of the Buyer. Neither the Collateral Agent nor any of its officers, directors, employees and agents shall have any liability to the Buyer for any action taken or omitted to be taken in connection hereof or the Security Documents except to the extent caused by its own gross negligence or willful misconduct, and the Buyer agrees to defend, protect, indemnify and hold harmless the Collateral Agent and all of its officers, directors, employees and agents (collectively, the Collateral Agent Indemnitees) from and against any losses, damages, liabilities, obligations, penalties, actions, judgments, suits, fees, costs and expenses (including, without limitation, reasonable attorneys fees, costs and expenses) incurred by such Collateral Agent Indemnitee, whether direct, indirect or consequential, arising from or in connection with the performance by such Collateral Agent Indemnitee of the duties and obligations of Collateral Agent pursuant hereto or any of the Security Documents.", "ner": [], "tokenized_text": ["(", "i", ")", "The", "Buyer", "hereby", "(", "a", ")", "appoints", "Passaic", "River", "Capital", "LLC", "as", "the", "collateral", "agent", "hereunder", "and", "under", "the", "Security", "Documents", "(", "in", "such", "capacity", ",", "the", "Collateral", "Agent", ")", ",", "and", "(", "b", ")", "authorizes", "the", "Collateral", "Agent", "(", "and", "its", "officers", ",", "directors", ",", "employees", "and", "agents", ")", "to", "take", "such", "action", "on", "such", "Buyers", "behalf", "in", "accordance", "with", "the", "terms", "hereof", "and", "thereof", ".", "The", "Collateral", "Agent", "shall", "not", "have", ",", "by", "reason", "hereof", "or", "pursuant", "to", "any", "Security", "Documents", ",", "a", "fiduciary", "relationship", "in", "respect", "of", "the", "Buyer", ".", "Neither", "the", "Collateral", "Agent", "nor", "any", "of", "its", "officers", ",", "directors", ",", "employees", "and", "agents", "shall", "have", "any", "liability", "to", "the", "Buyer", "for", "any", "action", "taken", "or", "omitted", "to", "be", "taken", "in", "connection", "hereof", "or", "the", "Security", "Documents", "except", "to", "the", "extent", "caused", "by", "its", "own", "gross", "negligence", "or", "willful", "misconduct", ",", "and", "the", "Buyer", "agrees", "to", "defend", ",", "protect", ",", "indemnify", "and", "hold", "harmless", "the", "Collateral", "Agent", "and", "all", "of", "its", "officers", ",", "directors", ",", "employees", "and", "agents", "(", "collectively", ",", "the", "Collateral", "Agent", "Indemnitees", ")", "from", "and", "against", "any", "losses", ",", "damages", ",", "liabilities", ",", "obligations", ",", "penalties", ",", "actions", ",", "judgments", ",", "suits", ",", "fees", ",", "costs", "and", "expenses", "(", "including", ",", "without", "limitation", ",", "reasonable", "attorneys", "fees", ",", "costs", "and", "expenses", ")", "incurred", "by", "such", "Collateral", "Agent", "Indemnitee", ",", "whether", "direct", ",", "indirect", "or", "consequential", ",", "arising", "from", "or", "in", "connection", "with", "the", "performance", "by", "such", "Collateral", "Agent", "Indemnitee", "of", "the", "duties", "and", "obligations", "of", "Collateral", "Agent", "pursuant", "hereto", "or", "any", "of", "the", "Security", "Documents", "."]}
{"id": "16650", "text": "(r) No Net Short Sales. So long as the Offered Notes remain outstanding, neither Buyer nor any of its affiliates nor any entity managed or controlled by the Buyer (collectively, the Restricted Persons and each of the foregoing is referred to herein as a Restricted Person) shall maintain, in the aggregate, a Net Short Position. For purposes hereof, a Net Short Position by a Restricted Person means a position whereby such Restricted Person has executed one or more sales of Common Stock that is marked as a short sale (but not including any sale marked short exempt) and that is executed at a time when such Restricted Person has no equivalent offsetting long position in the Common Stock (or is deemed to have a long position hereunder or otherwise in accordance with Regulation SHO under the 1934 Act ); provided, further that no Short Sale shall be deemed to exist as a result of any failure by the Company (or its agents) to deliver Conversion Shares upon conversion of the Offered Notes to any Restricted Person converting such Offered Notes. For purposes of determining whether a Restricted Person has an equivalent offsetting long position in the Common Stock, such Restricted Person shall be deemed to hold long all Common Stock that is either (i) then owned by such Restricted Person, if any, (ii) then issuable to such Restricted Person as Conversion Shares pursuant to the terms of the Offered Notes then held by such Restricted Person, if any, (without regard to any limitations on conversion set forth in the Offered Notes and giving effect to any conversion price adjustments that would take effect given only the passage of time), or (iii) that may be issued as Interest Shares pursuant to the terms of the Offered Notes to such Restricted Person. Notwithstanding the foregoing, nothing contained herein (i) shall (without implication that the contrary would otherwise be true) prohibit any Restricted Person from selling long (as defined under Rule 200 promulgated under Regulation SHO under the 1934 Act ) the Securities or any other Common Stock then owned by such Restricted Person or (ii) shall constitute a covenant, or preclude any actions, with respect to the identification of the availability of, or securing of, available shares to borrow in order to effect short sales or similar transactions.", "ner": [[12, 13, "Shares"], [146, 147, "Regulation"], [150, 151, "Act"], [182, 183, "Shares"], [367, 368, "Regulation"]], "tokenized_text": ["(", "r", ")", "No", "Net", "Short", "Sales", ".", "So", "long", "as", "the", "Offered", "Notes", "remain", "outstanding", ",", "neither", "Buyer", "nor", "any", "of", "its", "affiliates", "nor", "any", "entity", "managed", "or", "controlled", "by", "the", "Buyer", "(", "collectively", ",", "the", "Restricted", "Persons", "and", "each", "of", "the", "foregoing", "is", "referred", "to", "herein", "as", "a", "Restricted", "Person", ")", "shall", "maintain", ",", "in", "the", "aggregate", ",", "a", "Net", "Short", "Position", ".", "For", "purposes", "hereof", ",", "a", "Net", "Short", "Position", "by", "a", "Restricted", "Person", "means", "a", "position", "whereby", "such", "Restricted", "Person", "has", "executed", "one", "or", "more", "sales", "of", "Common", "Stock", "that", "is", "marked", "as", "a", "short", "sale", "(", "but", "not", "including", "any", "sale", "marked", "short", "exempt", ")", "and", "that", "is", "executed", "at", "a", "time", "when", "such", "Restricted", "Person", "has", "no", "equivalent", "offsetting", "long", "position", "in", "the", "Common", "Stock", "(", "or", "is", "deemed", "to", "have", "a", "long", "position", "hereunder", "or", "otherwise", "in", "accordance", "with", "Regulation", "SHO", "under", "the", "1934", "Act", ")", ";", "provided", ",", "further", "that", "no", "Short", "Sale", "shall", "be", "deemed", "to", "exist", "as", "a", "result", "of", "any", "failure", "by", "the", "Company", "(", "or", "its", "agents", ")", "to", "deliver", "Conversion", "Shares", "upon", "conversion", "of", "the", "Offered", "Notes", "to", "any", "Restricted", "Person", "converting", "such", "Offered", "Notes", ".", "For", "purposes", "of", "determining", "whether", "a", "Restricted", "Person", "has", "an", "equivalent", "offsetting", "long", "position", "in", "the", "Common", "Stock", ",", "such", "Restricted", "Person", "shall", "be", "deemed", "to", "hold", "long", "all", "Common", "Stock", "that", "is", "either", "(", "i", ")", "then", "owned", "by", "such", "Restricted", "Person", ",", "if", "any", ",", "(", "ii", ")", "then", "issuable", "to", "such", "Restricted", "Person", "as", "Conversion", "Shares", "pursuant", "to", "the", "terms", "of", "the", "Offered", "Notes", "then", "held", "by", "such", "Restricted", "Person", ",", "if", "any", ",", "(", "without", "regard", "to", "any", "limitations", "on", "conversion", "set", "forth", "in", "the", "Offered", "Notes", "and", "giving", "effect", "to", "any", "conversion", "price", "adjustments", "that", "would", "take", "effect", "given", "only", "the", "passage", "of", "time", ")", ",", "or", "(", "iii", ")", "that", "may", "be", "issued", "as", "Interest", "Shares", "pursuant", "to", "the", "terms", "of", "the", "Offered", "Notes", "to", "such", "Restricted", "Person", ".", "Notwithstanding", "the", "foregoing", ",", "nothing", "contained", "herein", "(", "i", ")", "shall", "(", "without", "implication", "that", "the", "contrary", "would", "otherwise", "be", "true", ")", "prohibit", "any", "Restricted", "Person", "from", "selling", "long", "(", "as", "defined", "under", "Rule", "200", "promulgated", "under", "Regulation", "SHO", "under", "the", "1934", "Act", ")", "the", "Securities", "or", "any", "other", "Common", "Stock", "then", "owned", "by", "such", "Restricted", "Person", "or", "(", "ii", ")", "shall", "constitute", "a", "covenant", ",", "or", "preclude", "any", "actions", ",", "with", "respect", "to", "the", "identification", "of", "the", "availability", "of", ",", "or", "securing", "of", ",", "available", "shares", "to", "borrow", "in", "order", "to", "effect", "short", "sales", "or", "similar", "transactions", "."]}
{"id": "16651", "text": "(t) Option to Purchase Preferred Stock. From the date that the Offered Notes and the 10% Senior Secured Convertible Notes issued to the Buyer on January 27, 2106 are converted into shares of Common Stock, until Janaury 26, 2020, the Buyer has the option, in its sole and absolute discretion, to purchase 10 shares of a new series of preferred stock of the Company for a purchase price of $10.00, which new series of preferred stock will have substantially similar rights, powers, and preferences as the shares of series A preferred stock, par value $0.001 per share, which were issued to the Buyer on July 27, 2016; provided that the new series of preferred stock will provide that the Buyer will have right to appoint a majority of the members Board of Directors of the Company.", "ner": [[18, 19, "Percentage"], [79, 82, "Price"], [111, 114, "Price"]], "tokenized_text": ["(", "t", ")", "Option", "to", "Purchase", "Preferred", "Stock", ".", "From", "the", "date", "that", "the", "Offered", "Notes", "and", "the", "10", "%", "Senior", "Secured", "Convertible", "Notes", "issued", "to", "the", "Buyer", "on", "January", "27", ",", "2106", "are", "converted", "into", "shares", "of", "Common", "Stock", ",", "until", "Janaury", "26", ",", "2020", ",", "the", "Buyer", "has", "the", "option", ",", "in", "its", "sole", "and", "absolute", "discretion", ",", "to", "purchase", "10", "shares", "of", "a", "new", "series", "of", "preferred", "stock", "of", "the", "Company", "for", "a", "purchase", "price", "of", "$", "10", ".", "00", ",", "which", "new", "series", "of", "preferred", "stock", "will", "have", "substantially", "similar", "rights", ",", "powers", ",", "and", "preferences", "as", "the", "shares", "of", "series", "A", "preferred", "stock", ",", "par", "value", "$", "0", ".", "001", "per", "share", ",", "which", "were", "issued", "to", "the", "Buyer", "on", "July", "27", ",", "2016", ";", "provided", "that", "the", "new", "series", "of", "preferred", "stock", "will", "provide", "that", "the", "Buyer", "will", "have", "right", "to", "appoint", "a", "majority", "of", "the", "members", "Board", "of", "Directors", "of", "the", "Company", "."]}
{"id": "16653", "text": "| If to the Company: ---|--- | | | | Enerpulse Technologies, Inc. | | 2451 Alamo Ave. NE, | | Albuquerque, New Mexico 87106 | | Telephone: | (505) 842-5201 | | Facsimile: | (505) 213-0013 | | Attention: | Bryan Templeton, | | | Chief Financial Officer | | Email: | btempleton@enerpulse.com | | | With a copy to: | | | | Troutman Sanders LLP | | 875 Third Avenue | | New York, NY 10022 | | Telephone: | (212) 704-6249 | | Facsimile: | (212) 704-5900 | | Attention: | Aurora Cassirer, Esq . | | E-mail: | acasirer@troutmansanders.com | | | If to the Transfer Agent: | | | | Securities Transfer Corporation | | 2591 Dallas Parkway, Suite 102 | | Frisco, Texas 75034 | | Telephone: (469) 633-0101 | | Facsimile: (469) 633-0088 | | Attention: Christina Shelton, Original Issuance Department | | E-mail: shelton@stctransfer.com", "ner": [[17, 21, "Parties"], [24, 29, "Address"], [32, 36, "Address"], [42, 45, "PII_Ref"], [51, 54, "PII_Ref"], [66, 68, "Role"], [74, 78, "PII_Ref"], [91, 93, "Parties"], [96, 98, "Address"], [101, 105, "Address"], [111, 114, "PII_Ref"], [120, 123, "PII_Ref"], [139, 143, "PII_Ref"], [157, 159, "Parties"], [162, 167, "Address"], [170, 173, "Address"], [178, 181, "PII_Ref"], [186, 189, "PII_Ref"]], "tokenized_text": ["|", "If", "to", "the", "Company", ":", "-", "-", "-", "|", "-", "-", "-", "|", "|", "|", "|", "Enerpulse", "Technologies", ",", "Inc", ".", "|", "|", "2451", "Alamo", "Ave", ".", "NE", ",", "|", "|", "Albuquerque", ",", "New", "Mexico", "87106", "|", "|", "Telephone", ":", "|", "(", "505", ")", "842-5201", "|", "|", "Facsimile", ":", "|", "(", "505", ")", "213-0013", "|", "|", "Attention", ":", "|", "Bryan", "Templeton", ",", "|", "|", "|", "Chief", "Financial", "Officer", "|", "|", "Email", ":", "|", "btempleton", "@", "enerpulse", ".", "com", "|", "|", "|", "With", "a", "copy", "to", ":", "|", "|", "|", "|", "Troutman", "Sanders", "LLP", "|", "|", "875", "Third", "Avenue", "|", "|", "New", "York", ",", "NY", "10022", "|", "|", "Telephone", ":", "|", "(", "212", ")", "704-6249", "|", "|", "Facsimile", ":", "|", "(", "212", ")", "704-5900", "|", "|", "Attention", ":", "|", "Aurora", "Cassirer", ",", "Esq", ".", "|", "|", "E-mail", ":", "|", "acasirer", "@", "troutmansanders", ".", "com", "|", "|", "|", "If", "to", "the", "Transfer", "Agent", ":", "|", "|", "|", "|", "Securities", "Transfer", "Corporation", "|", "|", "2591", "Dallas", "Parkway", ",", "Suite", "102", "|", "|", "Frisco", ",", "Texas", "75034", "|", "|", "Telephone", ":", "(", "469", ")", "633-0101", "|", "|", "Facsimile", ":", "(", "469", ")", "633-0088", "|", "|", "Attention", ":", "Christina", "Shelton", ",", "Original", "Issuance", "Department", "|", "|", "E-mail", ":", "shelton", "@", "stctransfer", ".", "com"]}
{"id": "16654", "text": "EX-10.1 2 ex10-1.htm TECHNOLOGY PURCHASE AGREEMENT DATED MARCH 13, 2017.", "ner": [[7, 9, "Title"], [11, 14, "EffectiveDate"]], "tokenized_text": ["EX-10", ".", "1", "2", "ex10-1", ".", "htm", "TECHNOLOGY", "PURCHASE", "AGREEMENT", "DATED", "MARCH", "13", ",", "2017", "."]}
{"id": "16657", "text": "Dated as of March 13, 2017", "ner": [[3, 6, "EffectiveDate"]], "tokenized_text": ["Dated", "as", "of", "March", "13", ",", "2017"]}
{"id": "16658", "text": "This Technology Purchase Agreement dated as of March 13, 2017 , (the \"Agreement\") is by and between", "ner": [[1, 3, "Title"], [7, 10, "EffectiveDate"]], "tokenized_text": ["This", "Technology", "Purchase", "Agreement", "dated", "as", "of", "March", "13", ",", "2017", ",", "(", "the", "\"", "Agreement", "\"", ")", "is", "by", "and", "between"]}
{"id": "16660", "text": "Enviro Voraxial Technology, Inc. , an Idaho corporation, and Florida Precision Aerospace, Inc. a Florida corporation (\"Sellers\").", "ner": [[0, 5, "Parties"], [12, 17, "Parties"]], "tokenized_text": ["Enviro", "Voraxial", "Technology", ",", "Inc", ".", ",", "an", "Idaho", "corporation", ",", "and", "Florida", "Precision", "Aerospace", ",", "Inc", ".", "a", "Florida", "corporation", "(", "\"", "Sellers", "\"", ")", "."]}
{"id": "16662", "text": "Two Million Six Hundred Thousand U.S. Dollars ($2,600,000) shall be paid directly to Florida Precision Aerospace, Inc. ---|--- (b)", "ner": [[11, 16, "Principal"], [23, 28, "Parties"]], "tokenized_text": ["Two", "Million", "Six", "Hundred", "Thousand", "U", ".", "S", ".", "Dollars", "(", "$", "2", ",", "600", ",", "000", ")", "shall", "be", "paid", "directly", "to", "Florida", "Precision", "Aerospace", ",", "Inc", ".", "-", "-", "-", "|", "-", "-", "-", "(", "b", ")"]}
{"id": "16663", "text": "Four Hundred Thousand U.S. Dollars ($400,000) shall be paid directly Enviro Voraxial Technology, Inc. ---|--- (c)", "ner": [[9, 12, "Principal"]], "tokenized_text": ["Four", "Hundred", "Thousand", "U", ".", "S", ".", "Dollars", "(", "$", "400", ",", "000", ")", "shall", "be", "paid", "directly", "Enviro", "Voraxial", "Technology", ",", "Inc", ".", "-", "-", "-", "|", "-", "-", "-", "(", "c", ")"]}
{"id": "16664", "text": "One Million U.S. Dollars ($1,000,000) shall be held back by Purchasers to be paid to Florida Precision Aerospace, Inc. , upon completion, as determined solely by Purchasers, of both 1) the complete transfer of the Purchased Intellectually Property to Purchasers and 2) the provision by Sellers of transition information, assets and services (\"Transition Items\") to Purchasers sufficient to reasonably enable Purchasers to commercialize the Purchased Assets, including the Transition Items identified in and provided in accordance with Schedule 3.2. ---|--- (d)", "ner": [[8, 13, "Principal"], [25, 30, "Parties"]], "tokenized_text": ["One", "Million", "U", ".", "S", ".", "Dollars", "(", "$", "1", ",", "000", ",", "000", ")", "shall", "be", "held", "back", "by", "Purchasers", "to", "be", "paid", "to", "Florida", "Precision", "Aerospace", ",", "Inc", ".", ",", "upon", "completion", ",", "as", "determined", "solely", "by", "Purchasers", ",", "of", "both", "1", ")", "the", "complete", "transfer", "of", "the", "Purchased", "Intellectually", "Property", "to", "Purchasers", "and", "2", ")", "the", "provision", "by", "Sellers", "of", "transition", "information", ",", "assets", "and", "services", "(", "\"", "Transition", "Items", "\"", ")", "to", "Purchasers", "sufficient", "to", "reasonably", "enable", "Purchasers", "to", "commercialize", "the", "Purchased", "Assets", ",", "including", "the", "Transition", "Items", "identified", "in", "and", "provided", "in", "accordance", "with", "Schedule", "3", ".", "2", ".", "-", "-", "-", "|", "-", "-", "-", "(", "d", ")"]}
{"id": "16665", "text": "Schlumberger Technology Corporation : 85% for all U.S. rights in and to the Purchased Assets; ---|---", "ner": [[0, 2, "Parties"], [4, 5, "Percentage"]], "tokenized_text": ["Schlumberger", "Technology", "Corporation", ":", "85", "%", "for", "all", "U", ".", "S", ".", "rights", "in", "and", "to", "the", "Purchased", "Assets", ";", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "16667", "text": "Schlumberger Canada: 1% for all Canadian rights in and to the Purchased Assets. ---|--- Payment Mechanism. All such amounts shall be paid by wire transfer of immediately available funds in accordance with the payment instructions set forth in Schedule 3.3.", "ner": [[3, 4, "Percentage"]], "tokenized_text": ["Schlumberger", "Canada", ":", "1", "%", "for", "all", "Canadian", "rights", "in", "and", "to", "the", "Purchased", "Assets", ".", "-", "-", "-", "|", "-", "-", "-", "Payment", "Mechanism", ".", "All", "such", "amounts", "shall", "be", "paid", "by", "wire", "transfer", "of", "immediately", "available", "funds", "in", "accordance", "with", "the", "payment", "instructions", "set", "forth", "in", "Schedule", "3", ".", "3", "."]}
{"id": "15674", "text": "821 NW 57th Place", "ner": [[0, 3, "Address"]], "tokenized_text": ["821", "NW", "57th", "Place"]}
{"id": "16675", "text": "Fort Lauderdale, FL 33309", "ner": [], "tokenized_text": ["Fort", "Lauderdale", ",", "FL", "33309"]}
{"id": "16676", "text": "Sugar Land, Texas 77478", "ner": [[0, 4, "Address"]], "tokenized_text": ["Sugar", "Land", ",", "Texas", "77478"]}
{"id": "16679", "text": "GOLDMAN SACHS MORTGAGE COMPANY , SELLER", "ner": [], "tokenized_text": ["GOLDMAN", "SACHS", "MORTGAGE", "COMPANY", ",", "SELLER"]}
{"id": "16680", "text": "MORTGAGE LOAN PURCHASE AGREEMEN T Dated as of March 1, 2017", "ner": [[0, 3, "Title"], [8, 11, "EffectiveDate"]], "tokenized_text": ["MORTGAGE", "LOAN", "PURCHASE", "AGREEMEN", "T", "Dated", "as", "of", "March", "1", ",", "2017"]}
{"id": "16681", "text": "This Mortgage Loan Purchase Agreement (Agreement), dated as of March 1, 2017 , is between GS Mortgage Securities Corporation II , a Delaware corporation, as purchaser (the Purchaser), and Goldman Sachs Mortgage Company , a New York limited partnership, as seller (the Seller).", "ner": [[1, 4, "Title"], [12, 15, "EffectiveDate"], [19, 23, "Parties"], [37, 40, "Parties"]], "tokenized_text": ["This", "Mortgage", "Loan", "Purchase", "Agreement", "(", "Agreement", ")", ",", "dated", "as", "of", "March", "1", ",", "2017", ",", "is", "between", "GS", "Mortgage", "Securities", "Corporation", "II", ",", "a", "Delaware", "corporation", ",", "as", "purchaser", "(", "the", "Purchaser", ")", ",", "and", "Goldman", "Sachs", "Mortgage", "Company", ",", "a", "New", "York", "limited", "partnership", ",", "as", "seller", "(", "the", "Seller", ")", "."]}
{"id": "16682", "text": "Capitalized terms used in this Agreement not defined herein shall have the meanings ascribed to them in the Pooling and Servicing Agreement, dated as of March 1, 2017 (the Pooling and Servicing Agreement), among the Purchaser, as depositor (in such capacity, the Depositor), Midland Loan Services, a Division of PNC Bank, National Association, as master servicer (the Master Servicer), Rialto Capital Advisors, LLC, as special servicer (the Special Servicer), Pentalpha Surveillance LLC, as operating advisor (in such capacity, the Operating Advisor) and asset representations reviewer (in such capacity, the Asset Representations Reviewer), and Wells Fargo Bank, National Association, as certificate administrator (in such capacity, the Certificate Administrator) and trustee (in such capacity, the Trustee), pursuant to which the Purchaser will transfer the Mortgage Loans (as defined herein) to a trust fund and certificates and the Retained Interest representing ownership interests in the Mortgage Loans will be issued by a New York common law trust (the Trust). In exchange for the Mortgage Loans, the Trust will issue to or at the direction of the Depositor certificates to be known as GS Mortgage Securities Trust 2017-GS5, Commercial Mortgage Pass- Through Certificates, Series 2017-GS5 (collectively, the Certificates) and the Retained Interest. For purposes of this Agreement, Mortgage Loans refers to the mortgage loans listed on Exhibit A and Mortgaged Properties refers to the properties securing such Mortgage Loans.", "ner": [[18, 21, "Title"], [26, 29, "EffectiveDate"], [53, 55, "Parties"], [75, 79, "Parties"], [90, 92, "Parties"], [122, 124, "Parties"], [223, 227, "Title"], [236, 237, "Title"]], "tokenized_text": ["Capitalized", "terms", "used", "in", "this", "Agreement", "not", "defined", "herein", "shall", "have", "the", "meanings", "ascribed", "to", "them", "in", "the", "Pooling", "and", "Servicing", "Agreement", ",", "dated", "as", "of", "March", "1", ",", "2017", "(", "the", "Pooling", "and", "Servicing", "Agreement", ")", ",", "among", "the", "Purchaser", ",", "as", "depositor", "(", "in", "such", "capacity", ",", "the", "Depositor", ")", ",", "Midland", "Loan", "Services", ",", "a", "Division", "of", "PNC", "Bank", ",", "National", "Association", ",", "as", "master", "servicer", "(", "the", "Master", "Servicer", ")", ",", "Rialto", "Capital", "Advisors", ",", "LLC", ",", "as", "special", "servicer", "(", "the", "Special", "Servicer", ")", ",", "Pentalpha", "Surveillance", "LLC", ",", "as", "operating", "advisor", "(", "in", "such", "capacity", ",", "the", "Operating", "Advisor", ")", "and", "asset", "representations", "reviewer", "(", "in", "such", "capacity", ",", "the", "Asset", "Representations", "Reviewer", ")", ",", "and", "Wells", "Fargo", "Bank", ",", "National", "Association", ",", "as", "certificate", "administrator", "(", "in", "such", "capacity", ",", "the", "Certificate", "Administrator", ")", "and", "trustee", "(", "in", "such", "capacity", ",", "the", "Trustee", ")", ",", "pursuant", "to", "which", "the", "Purchaser", "will", "transfer", "the", "Mortgage", "Loans", "(", "as", "defined", "herein", ")", "to", "a", "trust", "fund", "and", "certificates", "and", "the", "Retained", "Interest", "representing", "ownership", "interests", "in", "the", "Mortgage", "Loans", "will", "be", "issued", "by", "a", "New", "York", "common", "law", "trust", "(", "the", "Trust", ")", ".", "In", "exchange", "for", "the", "Mortgage", "Loans", ",", "the", "Trust", "will", "issue", "to", "or", "at", "the", "direction", "of", "the", "Depositor", "certificates", "to", "be", "known", "as", "GS", "Mortgage", "Securities", "Trust", "2017-GS5", ",", "Commercial", "Mortgage", "Pass", "-", "Through", "Certificates", ",", "Series", "2017-GS5", "(", "collectively", ",", "the", "Certificates", ")", "and", "the", "Retained", "Interest", ".", "For", "purposes", "of", "this", "Agreement", ",", "Mortgage", "Loans", "refers", "to", "the", "mortgage", "loans", "listed", "on", "Exhibit", "A", "and", "Mortgaged", "Properties", "refers", "to", "the", "properties", "securing", "such", "Mortgage", "Loans", "."]}
{"id": "16683", "text": "The sale and conveyance of the Mortgage Loans is being conducted on an arms- length basis and upon commercially reasonable terms. As consideration for the Mortgage Loans, the Purchaser shall (i)transfer the Retained Interest to the Seller or at the Sellers direction and (ii)pay, by wire transfer of immediately available funds, to the Seller or at the Sellers direction $1,066,783,921.62, plus accrued interest on the Mortgage Loans from and including March 1, 2017 to but excluding the Closing Date (but subject to certain post-settlement adjustment for expenses incurred by the Underwriters and the Initial Purchasers on behalf of the Depositor and for which the Seller is specifically responsible). The Seller hereby directs the Depositor to transfer the Retained Interest directly to Goldman Sachs Bank USA.", "ner": [[70, 79, "Principal"]], "tokenized_text": ["The", "sale", "and", "conveyance", "of", "the", "Mortgage", "Loans", "is", "being", "conducted", "on", "an", "arms", "-", "length", "basis", "and", "upon", "commercially", "reasonable", "terms", ".", "As", "consideration", "for", "the", "Mortgage", "Loans", ",", "the", "Purchaser", "shall", "(", "i", ")", "transfer", "the", "Retained", "Interest", "to", "the", "Seller", "or", "at", "the", "Sellers", "direction", "and", "(", "ii", ")", "pay", ",", "by", "wire", "transfer", "of", "immediately", "available", "funds", ",", "to", "the", "Seller", "or", "at", "the", "Sellers", "direction", "$", "1", ",", "066", ",", "783", ",", "921", ".", "62", ",", "plus", "accrued", "interest", "on", "the", "Mortgage", "Loans", "from", "and", "including", "March", "1", ",", "2017", "to", "but", "excluding", "the", "Closing", "Date", "(", "but", "subject", "to", "certain", "post-settlement", "adjustment", "for", "expenses", "incurred", "by", "the", "Underwriters", "and", "the", "Initial", "Purchasers", "on", "behalf", "of", "the", "Depositor", "and", "for", "which", "the", "Seller", "is", "specifically", "responsible", ")", ".", "The", "Seller", "hereby", "directs", "the", "Depositor", "to", "transfer", "the", "Retained", "Interest", "directly", "to", "Goldman", "Sachs", "Bank", "USA", "."]}
{"id": "16684", "text": "(f)for so long as the Trust (or with respect to the Companion Loans, if such Companion Loan is deposited into another securitization, the trust fund under such other securitization) is subject to the reporting requirements of the Exchange Act, the Seller shall provide the Depositor (or with respect to the Companion Loans, if such Companion Loan (or a portion thereof) is deposited into another securitization, the depositor of such securitization) and the Certificate Administrator with any Additional Form 10-D Disclosure , any Additional Form 10-K Disclosure and any Form 8-K Disclosure Information indicated on ExhibitBB, ExhibitCC and ExhibitDD to the Pooling and Servicing Agreement, to the extent contemplated to be provided by the Seller, within the time periods set forth in the Pooling and Servicing Agreement; provided that, in connection with providing Additional Form 10-K Disclosure and the Sellers reporting obligations under Item 1119 of Regulation AB, upon reasonable request by the Seller, the Purchaser shall provide the Seller with a list of all parties to the Pooling and Servicing Agreement and any other Servicing Function Participant;", "ner": [[44, 45, "Act"], [115, 118, "Title"], [161, 162, "Regulation"], [164, 165, "Regulation"]], "tokenized_text": ["(", "f", ")", "for", "so", "long", "as", "the", "Trust", "(", "or", "with", "respect", "to", "the", "Companion", "Loans", ",", "if", "such", "Companion", "Loan", "is", "deposited", "into", "another", "securitization", ",", "the", "trust", "fund", "under", "such", "other", "securitization", ")", "is", "subject", "to", "the", "reporting", "requirements", "of", "the", "Exchange", "Act", ",", "the", "Seller", "shall", "provide", "the", "Depositor", "(", "or", "with", "respect", "to", "the", "Companion", "Loans", ",", "if", "such", "Companion", "Loan", "(", "or", "a", "portion", "thereof", ")", "is", "deposited", "into", "another", "securitization", ",", "the", "depositor", "of", "such", "securitization", ")", "and", "the", "Certificate", "Administrator", "with", "any", "Additional", "Form", "10-D", "Disclosure", ",", "any", "Additional", "Form", "10-K", "Disclosure", "and", "any", "Form", "8-K", "Disclosure", "Information", "indicated", "on", "ExhibitBB", ",", "ExhibitCC", "and", "ExhibitDD", "to", "the", "Pooling", "and", "Servicing", "Agreement", ",", "to", "the", "extent", "contemplated", "to", "be", "provided", "by", "the", "Seller", ",", "within", "the", "time", "periods", "set", "forth", "in", "the", "Pooling", "and", "Servicing", "Agreement", ";", "provided", "that", ",", "in", "connection", "with", "providing", "Additional", "Form", "10-K", "Disclosure", "and", "the", "Sellers", "reporting", "obligations", "under", "Item", "1119", "of", "Regulation", "AB", ",", "upon", "reasonable", "request", "by", "the", "Seller", ",", "the", "Purchaser", "shall", "provide", "the", "Seller", "with", "a", "list", "of", "all", "parties", "to", "the", "Pooling", "and", "Servicing", "Agreement", "and", "any", "other", "Servicing", "Function", "Participant", ";"]}
{"id": "16687", "text": "(iii) the Seller has commenced and is diligently proceeding with the cure of such Material Defect within such Initial Cure Period, then the Seller shall have an additional 90 days (such additional 90 day period, the Extended Cure Period) to complete such cure, or, in the event of a failure to so cure, to complete such repurchase of the related Mortgage Loan or substitute a Qualified Substitute Mortgage Loan as described above (it being understood and agreed that, in connection with the Sellers receiving such Extended Cure Period, the Seller shall deliver an Officers Certificate to the Trustee, the Special Servicer, the Operating Advisor and the Certificate Administrator setting forth the reasons such Material Defect was not cured within the Initial Cure Period and what actions the Seller is pursuing in connection with the cure of such Material Defect and stating that the Seller anticipates that such Material Defect will be cured within such Extended Cure Period); and provided, further, that, if any such Material Defect is still not cured after the Initial Cure Period and any such Extended Cure Period solely due to the failure of the Seller to have received the recorded document, then the Seller shall be entitled to continue to defer its cure, repurchase or substitution obligations in respect of such Document Defect so long as the Seller certifies to the Trustee, the Special Servicer, the Operating Advisor and the Certificate Administrator every 30 days thereafter that the Document Defect is still in effect solely because of its failure to have received the recorded document and that the Seller is diligently pursuing the cure of such defect (specifying the actions being taken), except that no such deferral of cure, repurchase or substitution may continue beyond the date that is 18 months following the Closing Date. Any such repurchase or substitution of a Mortgage Loan shall be on a whole loan, servicing released basis. The Seller shall have no obligation to monitor the Mortgage Loans regarding the existence of a Breach or a Document Defect, but if the Seller discovers a Material Defect with respect to a Mortgage Loan, it will notify the Purchaser. Periodic Payments due with respect to each Qualified Substitute Mortgage Loan (if any) after the related Due Date in the month of substitution, and Periodic Payments due with respect to each Mortgage Loan being repurchased or replaced, and received by the Master Servicer or the Special Servicer on behalf of the Trust, after the related Cut-off Date through, but not including, the related date of repurchase or substitution, shall be part of the Trust Fund. Periodic Payments due with respect to each Qualified Substitute Mortgage Loan (if any) on or prior to the related Due Date in the month of substitution, and Periodic Payments due with respect to each Mortgage Loan being repurchased or replaced and received by the Master Servicer or the Special Servicer on behalf of the Trust after the related date of repurchase or substitution, shall not be part of the Trust Fund and are to be remitted by the Master Servicer to the Seller effecting the related repurchase or substitution within two Business Days following receipt of properly identified and available funds constituting such Periodic Payment. From and after the date of substitution, each Qualified Substitute Mortgage Loan, if any, that has been substituted shall be deemed to constitute a Mortgage Loan hereunder for all purposes.", "ner": [[41, 43, "RenewalTerm"], [69, 70, "Title"], [356, 357, "Title"], [471, 472, "Principal"]], "tokenized_text": ["(", "iii", ")", "the", "Seller", "has", "commenced", "and", "is", "diligently", "proceeding", "with", "the", "cure", "of", "such", "Material", "Defect", "within", "such", "Initial", "Cure", "Period", ",", "then", "the", "Seller", "shall", "have", "an", "additional", "90", "days", "(", "such", "additional", "90", "day", "period", ",", "the", "Extended", "Cure", "Period", ")", "to", "complete", "such", "cure", ",", "or", ",", "in", "the", "event", "of", "a", "failure", "to", "so", "cure", ",", "to", "complete", "such", "repurchase", "of", "the", "related", "Mortgage", "Loan", "or", "substitute", "a", "Qualified", "Substitute", "Mortgage", "Loan", "as", "described", "above", "(", "it", "being", "understood", "and", "agreed", "that", ",", "in", "connection", "with", "the", "Sellers", "receiving", "such", "Extended", "Cure", "Period", ",", "the", "Seller", "shall", "deliver", "an", "Officers", "Certificate", "to", "the", "Trustee", ",", "the", "Special", "Servicer", ",", "the", "Operating", "Advisor", "and", "the", "Certificate", "Administrator", "setting", "forth", "the", "reasons", "such", "Material", "Defect", "was", "not", "cured", "within", "the", "Initial", "Cure", "Period", "and", "what", "actions", "the", "Seller", "is", "pursuing", "in", "connection", "with", "the", "cure", "of", "such", "Material", "Defect", "and", "stating", "that", "the", "Seller", "anticipates", "that", "such", "Material", "Defect", "will", "be", "cured", "within", "such", "Extended", "Cure", "Period", ")", ";", "and", "provided", ",", "further", ",", "that", ",", "if", "any", "such", "Material", "Defect", "is", "still", "not", "cured", "after", "the", "Initial", "Cure", "Period", "and", "any", "such", "Extended", "Cure", "Period", "solely", "due", "to", "the", "failure", "of", "the", "Seller", "to", "have", "received", "the", "recorded", "document", ",", "then", "the", "Seller", "shall", "be", "entitled", "to", "continue", "to", "defer", "its", "cure", ",", "repurchase", "or", "substitution", "obligations", "in", "respect", "of", "such", "Document", "Defect", "so", "long", "as", "the", "Seller", "certifies", "to", "the", "Trustee", ",", "the", "Special", "Servicer", ",", "the", "Operating", "Advisor", "and", "the", "Certificate", "Administrator", "every", "30", "days", "thereafter", "that", "the", "Document", "Defect", "is", "still", "in", "effect", "solely", "because", "of", "its", "failure", "to", "have", "received", "the", "recorded", "document", "and", "that", "the", "Seller", "is", "diligently", "pursuing", "the", "cure", "of", "such", "defect", "(", "specifying", "the", "actions", "being", "taken", ")", ",", "except", "that", "no", "such", "deferral", "of", "cure", ",", "repurchase", "or", "substitution", "may", "continue", "beyond", "the", "date", "that", "is", "18", "months", "following", "the", "Closing", "Date", ".", "Any", "such", "repurchase", "or", "substitution", "of", "a", "Mortgage", "Loan", "shall", "be", "on", "a", "whole", "loan", ",", "servicing", "released", "basis", ".", "The", "Seller", "shall", "have", "no", "obligation", "to", "monitor", "the", "Mortgage", "Loans", "regarding", "the", "existence", "of", "a", "Breach", "or", "a", "Document", "Defect", ",", "but", "if", "the", "Seller", "discovers", "a", "Material", "Defect", "with", "respect", "to", "a", "Mortgage", "Loan", ",", "it", "will", "notify", "the", "Purchaser", ".", "Periodic", "Payments", "due", "with", "respect", "to", "each", "Qualified", "Substitute", "Mortgage", "Loan", "(", "if", "any", ")", "after", "the", "related", "Due", "Date", "in", "the", "month", "of", "substitution", ",", "and", "Periodic", "Payments", "due", "with", "respect", "to", "each", "Mortgage", "Loan", "being", "repurchased", "or", "replaced", ",", "and", "received", "by", "the", "Master", "Servicer", "or", "the", "Special", "Servicer", "on", "behalf", "of", "the", "Trust", ",", "after", "the", "related", "Cut-off", "Date", "through", ",", "but", "not", "including", ",", "the", "related", "date", "of", "repurchase", "or", "substitution", ",", "shall", "be", "part", "of", "the", "Trust", "Fund", ".", "Periodic", "Payments", "due", "with", "respect", "to", "each", "Qualified", "Substitute", "Mortgage", "Loan", "(", "if", "any", ")", "on", "or", "prior", "to", "the", "related", "Due", "Date", "in", "the", "month", "of", "substitution", ",", "and", "Periodic", "Payments", "due", "with", "respect", "to", "each", "Mortgage", "Loan", "being", "repurchased", "or", "replaced", "and", "received", "by", "the", "Master", "Servicer", "or", "the", "Special", "Servicer", "on", "behalf", "of", "the", "Trust", "after", "the", "related", "date", "of", "repurchase", "or", "substitution", ",", "shall", "not", "be", "part", "of", "the", "Trust", "Fund", "and", "are", "to", "be", "remitted", "by", "the", "Master", "Servicer", "to", "the", "Seller", "effecting", "the", "related", "repurchase", "or", "substitution", "within", "two", "Business", "Days", "following", "receipt", "of", "properly", "identified", "and", "available", "funds", "constituting", "such", "Periodic", "Payment", ".", "From", "and", "after", "the", "date", "of", "substitution", ",", "each", "Qualified", "Substitute", "Mortgage", "Loan", ",", "if", "any", ",", "that", "has", "been", "substituted", "shall", "be", "deemed", "to", "constitute", "a", "Mortgage", "Loan", "hereunder", "for", "all", "purposes", "."]}
{"id": "16688", "text": "Registration Statement, Preliminary Prospectus, Prospectus, Preliminary Offering Circular and Final Offering Circular and the reproducing and delivery of this Agreement and the furnishing to the Underwriters of such copies of the Registration Statement, Preliminary Prospectus, Prospectus , Preliminary Offering Circular, Final Offering Circular and this Agreement as the Underwriters may reasonably request; (viii)the fees of the rating agency or agencies requested to rate the Certificates; (ix) the reasonable fees and expenses of Cadwalader, Wickersham &amp; Taft LLP, as counsel to the Purchaser; and (x) the reasonable fees and expenses of Sidley Austin LLP, as counsel to the Underwriters and the Initial Purchasers.", "ner": [[3, 4, "Title"], [12, 14, "Title"]], "tokenized_text": ["Registration", "Statement", ",", "Preliminary", "Prospectus", ",", "Prospectus", ",", "Preliminary", "Offering", "Circular", "and", "Final", "Offering", "Circular", "and", "the", "reproducing", "and", "delivery", "of", "this", "Agreement", "and", "the", "furnishing", "to", "the", "Underwriters", "of", "such", "copies", "of", "the", "Registration", "Statement", ",", "Preliminary", "Prospectus", ",", "Prospectus", ",", "Preliminary", "Offering", "Circular", ",", "Final", "Offering", "Circular", "and", "this", "Agreement", "as", "the", "Underwriters", "may", "reasonably", "request", ";", "(", "viii", ")", "the", "fees", "of", "the", "rating", "agency", "or", "agencies", "requested", "to", "rate", "the", "Certificates", ";", "(", "ix", ")", "the", "reasonable", "fees", "and", "expenses", "of", "Cadwalader", ",", "Wickersham", "&", "amp", ";", "Taft", "LLP", ",", "as", "counsel", "to", "the", "Purchaser", ";", "and", "(", "x", ")", "the", "reasonable", "fees", "and", "expenses", "of", "Sidley", "Austin", "LLP", ",", "as", "counsel", "to", "the", "Underwriters", "and", "the", "Initial", "Purchasers", "."]}
{"id": "16689", "text": "SECTION 12Governing Law.THIS AGREEMENT AND ANY CLAIM, CONTROVERSY OR DISPUTE ARISING UNDER OR RELATED TO THIS AGREEMENT, THE RELATIONSHIP OF THE PARTIES TO THIS AGREEMENT, AND/OR THE INTERPRETATION AND ENFORCEMENT OF THE RIGHTS AND DUTIES OF THE PARTIES TO THIS AGREEMENT SHALL BE GOVERNED BY AND CONSTRUED IN ACCORDANCE WITH THE INTERNAL LAWS AND DECISIONS OF THE STATE OF NEW YORK , WITHOUT REGARD TO THE CHOICE OF LAW RULES THEREOF. THE PARTIES HERETO INTEND THAT THE PROVISIONS OF SECTION 5-1401 OF THE NEW YORK GENERAL OBLIGATIONS LAW SHALL APPLY TO THIS AGREEMENT.", "ner": [[64, 67, "Court"]], "tokenized_text": ["SECTION", "12Governing", "Law", ".", "THIS", "AGREEMENT", "AND", "ANY", "CLAIM", ",", "CONTROVERSY", "OR", "DISPUTE", "ARISING", "UNDER", "OR", "RELATED", "TO", "THIS", "AGREEMENT", ",", "THE", "RELATIONSHIP", "OF", "THE", "PARTIES", "TO", "THIS", "AGREEMENT", ",", "AND", "/", "OR", "THE", "INTERPRETATION", "AND", "ENFORCEMENT", "OF", "THE", "RIGHTS", "AND", "DUTIES", "OF", "THE", "PARTIES", "TO", "THIS", "AGREEMENT", "SHALL", "BE", "GOVERNED", "BY", "AND", "CONSTRUED", "IN", "ACCORDANCE", "WITH", "THE", "INTERNAL", "LAWS", "AND", "DECISIONS", "OF", "THE", "STATE", "OF", "NEW", "YORK", ",", "WITHOUT", "REGARD", "TO", "THE", "CHOICE", "OF", "LAW", "RULES", "THEREOF", ".", "THE", "PARTIES", "HERETO", "INTEND", "THAT", "THE", "PROVISIONS", "OF", "SECTION", "5-1401", "OF", "THE", "NEW", "YORK", "GENERAL", "OBLIGATIONS", "LAW", "SHALL", "APPLY", "TO", "THIS", "AGREEMENT", "."]}
{"id": "16693", "text": "GS 2017-GS5 GSMC MORTGAGE LOAN PURCHASE AGREEMEN T", "ner": [[2, 6, "Title"]], "tokenized_text": ["GS", "2017-GS5", "GSMC", "MORTGAGE", "LOAN", "PURCHASE", "AGREEMEN", "T"]}
{"id": "16697", "text": "| (2)| Loan Document Status . Each related Mortgage Note, Mortgage , Assignment of Leases (if a separate instrument), guaranty and other agreement executed by or on behalf of the related Mortgagor, guarantor or other obligor in connection with such Mortgage Loan is the legal, valid and binding obligation of the related Mortgagor, guarantor or other obligor (subject to any non- recourse provisions contained in any of the foregoing agreements and any applicable state anti-deficiency or market value limit deficiency legislation), as applicable, and is enforceable in accordance with its terms, except (i) as such enforcement may be limited by (a) bankruptcy, insolvency, fraudulent transfer, reorganization, moratorium or other similar laws affecting the enforcement of creditors rights generally and (b) general principles of equity (regardless of whether such enforcement is considered in a proceeding in equity or at law) and (ii) that certain provisions in such Loan Documents (including, without limitation, provisions requiring the payment of default interest, late fees or prepayment/yield maintenance fees, charges and/or premiums) are, or may be, further limited or rendered unenforceable by or under applicable law, but (subject to the limitations set forth in clause (i) above) such limitations or unenforceability will not render such Loan Documents invalid as a whole or materially interfere with the Mortgagees realization of the principal benefits and/or security provided thereby (clauses (i) and (ii) collectively, the Standard Qualifications). ---|---|---", "ner": [], "tokenized_text": ["|", "(", "2", ")", "|", "Loan", "Document", "Status", ".", "Each", "related", "Mortgage", "Note", ",", "Mortgage", ",", "Assignment", "of", "Leases", "(", "if", "a", "separate", "instrument", ")", ",", "guaranty", "and", "other", "agreement", "executed", "by", "or", "on", "behalf", "of", "the", "related", "Mortgagor", ",", "guarantor", "or", "other", "obligor", "in", "connection", "with", "such", "Mortgage", "Loan", "is", "the", "legal", ",", "valid", "and", "binding", "obligation", "of", "the", "related", "Mortgagor", ",", "guarantor", "or", "other", "obligor", "(", "subject", "to", "any", "non", "-", "recourse", "provisions", "contained", "in", "any", "of", "the", "foregoing", "agreements", "and", "any", "applicable", "state", "anti-deficiency", "or", "market", "value", "limit", "deficiency", "legislation", ")", ",", "as", "applicable", ",", "and", "is", "enforceable", "in", "accordance", "with", "its", "terms", ",", "except", "(", "i", ")", "as", "such", "enforcement", "may", "be", "limited", "by", "(", "a", ")", "bankruptcy", ",", "insolvency", ",", "fraudulent", "transfer", ",", "reorganization", ",", "moratorium", "or", "other", "similar", "laws", "affecting", "the", "enforcement", "of", "creditors", "rights", "generally", "and", "(", "b", ")", "general", "principles", "of", "equity", "(", "regardless", "of", "whether", "such", "enforcement", "is", "considered", "in", "a", "proceeding", "in", "equity", "or", "at", "law", ")", "and", "(", "ii", ")", "that", "certain", "provisions", "in", "such", "Loan", "Documents", "(", "including", ",", "without", "limitation", ",", "provisions", "requiring", "the", "payment", "of", "default", "interest", ",", "late", "fees", "or", "prepayment", "/", "yield", "maintenance", "fees", ",", "charges", "and", "/", "or", "premiums", ")", "are", ",", "or", "may", "be", ",", "further", "limited", "or", "rendered", "unenforceable", "by", "or", "under", "applicable", "law", ",", "but", "(", "subject", "to", "the", "limitations", "set", "forth", "in", "clause", "(", "i", ")", "above", ")", "such", "limitations", "or", "unenforceability", "will", "not", "render", "such", "Loan", "Documents", "invalid", "as", "a", "whole", "or", "materially", "interfere", "with", "the", "Mortgagees", "realization", "of", "the", "principal", "benefits", "and", "/", "or", "security", "provided", "thereby", "(", "clauses", "(", "i", ")", "and", "(", "ii", ")", "collectively", ",", "the", "Standard", "Qualifications", ")", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "16698", "text": "| (29)| Acts of Terrorism Exclusion. With respect to each Mortgage Loan over $20 million, the related special-form all-risk insurance policy and business interruption policy (issued by an insurer meeting the Insurance Rating Requirements) do not specifically exclude Acts of Terrorism, as defined in the Terrorism Risk Insurance Act of 2002 , as amended by the Terrorism Risk Insurance Program Reauthorization Act of 2007 , as amended by the Terrorism Risk Insurance Program Reauthorization Act of 2015 (collectively referred to as TRIA), from coverage, or if such coverage is excluded, it is covered by a separate terrorism insurance policy. With respect to each other Mortgage Loan, the related special all-risk insurance policy and business interruption policy (issued by an insurer meeting the Insurance Rating Requirements) did not, as of the date of origination of the Mortgage Loan, and, to the Sellers knowledge, do not, as of the Cut-off Date, specifically exclude Acts of Terrorism, as defined in TRIA, from coverage, or if such coverage is excluded, it is covered by a separate terrorism insurance policy. With respect to each Mortgage Loan, the related Loan Documents do not expressly waive or prohibit the Mortgagee from requiring coverage for Acts of Terrorism, as defined in TRIA, or damages related thereto; provided, however, that if TRIA or a similar or subsequent statute is not in effect, then provided that terrorism insurance is commercially available, the Mortgagor under each Mortgage Loan is required to carry terrorism insurance, but in such event the Mortgagor shall not be required to spend more than the Terrorism Cap Amount on terrorism insurance coverage, and if the cost of terrorism insurance exceeds the Terrorism Cap Amount, the Mortgagor is required to purchase the maximum amount of terrorism insurance available with funds equal to the Terrorism Cap Amount. The Terrorism Cap Amount is the specified percentage (which is at least equal to 200%) of the amount of the insurance premium that is payable at such time in respect of the property and business interruption/rental loss insurance required under the related Loan Documents (without ---|---|---", "ner": [[5, 7, "Act"], [17, 19, "Principal"], [54, 59, "Act"], [65, 72, "Act"], [78, 85, "Act"], [91, 91, "Regulation"], [296, 298, "Principal"], [354, 355, "Percentage"]], "tokenized_text": ["|", "(", "29", ")", "|", "Acts", "of", "Terrorism", "Exclusion", ".", "With", "respect", "to", "each", "Mortgage", "Loan", "over", "$", "20", "million", ",", "the", "related", "special-form", "all-risk", "insurance", "policy", "and", "business", "interruption", "policy", "(", "issued", "by", "an", "insurer", "meeting", "the", "Insurance", "Rating", "Requirements", ")", "do", "not", "specifically", "exclude", "Acts", "of", "Terrorism", ",", "as", "defined", "in", "the", "Terrorism", "Risk", "Insurance", "Act", "of", "2002", ",", "as", "amended", "by", "the", "Terrorism", "Risk", "Insurance", "Program", "Reauthorization", "Act", "of", "2007", ",", "as", "amended", "by", "the", "Terrorism", "Risk", "Insurance", "Program", "Reauthorization", "Act", "of", "2015", "(", "collectively", "referred", "to", "as", "TRIA", ")", ",", "from", "coverage", ",", "or", "if", "such", "coverage", "is", "excluded", ",", "it", "is", "covered", "by", "a", "separate", "terrorism", "insurance", "policy", ".", "With", "respect", "to", "each", "other", "Mortgage", "Loan", ",", "the", "related", "special", "all-risk", "insurance", "policy", "and", "business", "interruption", "policy", "(", "issued", "by", "an", "insurer", "meeting", "the", "Insurance", "Rating", "Requirements", ")", "did", "not", ",", "as", "of", "the", "date", "of", "origination", "of", "the", "Mortgage", "Loan", ",", "and", ",", "to", "the", "Sellers", "knowledge", ",", "do", "not", ",", "as", "of", "the", "Cut-off", "Date", ",", "specifically", "exclude", "Acts", "of", "Terrorism", ",", "as", "defined", "in", "TRIA", ",", "from", "coverage", ",", "or", "if", "such", "coverage", "is", "excluded", ",", "it", "is", "covered", "by", "a", "separate", "terrorism", "insurance", "policy", ".", "With", "respect", "to", "each", "Mortgage", "Loan", ",", "the", "related", "Loan", "Documents", "do", "not", "expressly", "waive", "or", "prohibit", "the", "Mortgagee", "from", "requiring", "coverage", "for", "Acts", "of", "Terrorism", ",", "as", "defined", "in", "TRIA", ",", "or", "damages", "related", "thereto", ";", "provided", ",", "however", ",", "that", "if", "TRIA", "or", "a", "similar", "or", "subsequent", "statute", "is", "not", "in", "effect", ",", "then", "provided", "that", "terrorism", "insurance", "is", "commercially", "available", ",", "the", "Mortgagor", "under", "each", "Mortgage", "Loan", "is", "required", "to", "carry", "terrorism", "insurance", ",", "but", "in", "such", "event", "the", "Mortgagor", "shall", "not", "be", "required", "to", "spend", "more", "than", "the", "Terrorism", "Cap", "Amount", "on", "terrorism", "insurance", "coverage", ",", "and", "if", "the", "cost", "of", "terrorism", "insurance", "exceeds", "the", "Terrorism", "Cap", "Amount", ",", "the", "Mortgagor", "is", "required", "to", "purchase", "the", "maximum", "amount", "of", "terrorism", "insurance", "available", "with", "funds", "equal", "to", "the", "Terrorism", "Cap", "Amount", ".", "The", "Terrorism", "Cap", "Amount", "is", "the", "specified", "percentage", "(", "which", "is", "at", "least", "equal", "to", "200", "%", ")", "of", "the", "amount", "of", "the", "insurance", "premium", "that", "is", "payable", "at", "such", "time", "in", "respect", "of", "the", "property", "and", "business", "interruption", "/", "rental", "loss", "insurance", "required", "under", "the", "related", "Loan", "Documents", "(", "without", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "16699", "text": "| (33)| Fixed Interest Rates. Each Mortgage Loan bears interest at a rate that remains fixed throughout the remaining term of such Mortgage Loan, except in situations where default interest is imposed. ---|---|---", "ner": [[10, 11, "Title"]], "tokenized_text": ["|", "(", "33", ")", "|", "Fixed", "Interest", "Rates", ".", "Each", "Mortgage", "Loan", "bears", "interest", "at", "a", "rate", "that", "remains", "fixed", "throughout", "the", "remaining", "term", "of", "such", "Mortgage", "Loan", ",", "except", "in", "situations", "where", "default", "interest", "is", "imposed", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "16701", "text": "| (45)| Compliance with Anti-Money Laundering Laws. The Seller has complied in all material respects with all applicable anti-money laundering laws and regulations, including without limitation the USA Patriot Act of 2001 with respect to the origination of the Mortgage Loan. ---|---|---", "ner": [[7, 9, "Regulation"], [32, 36, "Act"], [44, 45, "Title"]], "tokenized_text": ["|", "(", "45", ")", "|", "Compliance", "with", "Anti-Money", "Laundering", "Laws", ".", "The", "Seller", "has", "complied", "in", "all", "material", "respects", "with", "all", "applicable", "anti-money", "laundering", "laws", "and", "regulations", ",", "including", "without", "limitation", "the", "USA", "Patriot", "Act", "of", "2001", "with", "respect", "to", "the", "origination", "of", "the", "Mortgage", "Loan", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "15702", "text": "Loan # | Mortgage Loan ---|--- 6 | Lasko Portfolio 9 | 700 Broadway 10 | Lyric Centre 18 | 225 Bush Street", "ner": [[16, 19, "Address"], [26, 28, "Address"]], "tokenized_text": ["Loan", "#", "|", "Mortgage", "Loan", "-", "-", "-", "|", "-", "-", "-", "6", "|", "Lasko", "Portfolio", "9", "|", "700", "Broadway", "10", "|", "Lyric", "Centre", "18", "|", "225", "Bush", "Street"]}
{"id": "16704", "text": "Rep. No. on Annex D-1 | | Mortgage Loan and Number as Identified on Annex A-1| | Description of Exception ---|---|---|---|--- (16) Insurance| | Simon Premium Outlets (Loan No. 12)| | All policies are required to be issued by one or more insurers having a rating of at least A by S&amp;P, or by a syndicate of insurers through which at least 75% of the coverage (if there are 4 or fewer members of the syndicate) or at least 60% of the coverage (if there are 5 or more members of the syndicate) is with insurers having such ratings, and all such insurers are required to have ratings of not less than BBB by S&amp;P. Notwithstanding the foregoing, the Mortgagor is permitted to continue to maintain the insurance coverage with the insurer(s) under the policies substantially similar to those evidenced in the certificates of insurance delivered to and approved by the lender on the origination date, provided that such insurer(s) maintain no less than the claims paying ability rating applicable thereto by S&amp;P set forth above (or by A.M. Best to the extent permitted under the Mortgage Loan Agreement) and in effect on the origination date. If any portion of a Mortgaged Property is located in a special flood hazard area, flood insurance is required to be maintained in the lesser of (a) the outstanding principal balance of the Mortgage Loan or (b) the maximum amount of such insurance available under the National Flood Insurance Act of 1968 , the Flood Disaster Protection Act of 1973 or the National Flood Insurance Reform Act of 1994 , as each may be amended. The threshold used in the Mortgage Loan documents, as it pertains to use of insurance proceeds for repair and restoration in respect of a property loss, is a fixed amount, instead of the then outstanding principal amount of the Mortgage Loan. | | | | (16) Insurance| | AMA Plaza (Loan No.14)| | All policies are required to be issued by one or more insurers having a rating of at least A by S&amp;P and A2 by Moodys (or, if Moodys does not rate such insurer, at least A: VIII by A.M. Best), or by a syndicate of insurers through which at least 75% of the coverage (if there are 4 or fewer members of the syndicate) or at least 60% of the coverage (if there are 5 or more members of the syndicate) is with insurers having such ratings, and all such insurers are required to have ratings of not less than BBB+ by S&amp;P and Baa1 by Moodys (or, if Moodys does not rate such insurer, at least A: VIII by A.M. Best). Notwithstanding the foregoing, the Mortgagor is permitted to continue to utilize Starr Surplus Lines Insurance Company (Starr), rated A: XV by A.M. Best, under the Mortgagors current policies as of the origination date provided that (1) the rating of Starr is not withdrawn or downgraded below the origination date and (2) at renewal of the current policy term In August 2017, the Mortgagor is required to replace Starr with an insurance company meeting the rating requirements set forth above. | | | | (16) Insurance| | Market at Cedar Hill (Loan No. 22)| | All policies of insurance may be issued by a syndicate of insurers through which at least 75% of the coverage (if there are 4 or fewer members of the syndicate) or at least 60% of the coverage (if there are 5 or more members of the syndicate) is with insurers having such ratings (provided that the first layers of coverage are from insurers rated at least A by S&amp;P and A2 by Moodys, if Moodys rates such insurer and is rating the Certificates, and all such insurers shall have ratings of not less than BBB+ by S&amp;P and Baa1 by Moodys, if Moodys rates such insurer and is rating the Certificates). The Mortgagors insurance provider as of the origination date is not rated by S&amp;P, but is an acceptable provider so long as it is rated by AM Best as at least A-XII. | | | | (16) Insurance| | Best Buy Braintree (Loan No. 27) Best Buy Fort Lauderdale (Loan No. 30) | | All policies of insurance may be issued by a syndicate of insurers through which at least 75% of the coverage (if there are 4 or fewer members of the syndicate) or at least 60% of the coverage (if there are 5 or more members of the syndicate) is with insurers having such ratings (provided that the first layer of coverage are from insurers rated at least A by S&amp;P and A2 by Moodys, if Moodys rates such insurer and is rating the Certificates, and all such insurers shall have ratings of not less than BBB+ by S&amp;P and Baa1 by Moodys, if Moodys rates such insurer and is rating the Certificates).", "ner": [[52, 55, "PII_Ref"], [95, 96, "Percentage"], [115, 116, "Percentage"], [247, 249, "Title"], [310, 315, "Act"], [318, 323, "Act"], [326, 332, "Act"], [447, 449, "Percentage"], [583, 585, "Percentage"], [670, 673, "PII_Ref"]], "tokenized_text": ["Rep", ".", "No", ".", "on", "Annex", "D-1", "|", "|", "Mortgage", "Loan", "and", "Number", "as", "Identified", "on", "Annex", "A-1", "|", "|", "Description", "of", "Exception", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "(", "16", ")", "Insurance", "|", "|", "Simon", "Premium", "Outlets", "(", "Loan", "No", ".", "12", ")", "|", "|", "All", "policies", "are", "required", "to", "be", "issued", "by", "one", "or", "more", "insurers", "having", "a", "rating", "of", "at", "least", "A", "by", "S", "&", "amp", ";", "P", ",", "or", "by", "a", "syndicate", "of", "insurers", "through", "which", "at", "least", "75", "%", "of", "the", "coverage", "(", "if", "there", "are", "4", "or", "fewer", "members", "of", "the", "syndicate", ")", "or", "at", "least", "60", "%", "of", "the", "coverage", "(", "if", "there", "are", 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"a", "property", "loss", ",", "is", "a", "fixed", "amount", ",", "instead", "of", "the", "then", "outstanding", "principal", "amount", "of", "the", "Mortgage", "Loan", ".", "|", "|", "|", "|", "(", "16", ")", "Insurance", "|", "|", "AMA", "Plaza", "(", "Loan", "No", ".", "14", ")", "|", "|", "All", "policies", "are", "required", "to", "be", "issued", "by", "one", "or", "more", "insurers", "having", "a", "rating", "of", "at", "least", "A", "by", "S", "&", "amp", ";", "P", "and", "A2", "by", "Moodys", "(", "or", ",", "if", "Moodys", "does", "not", "rate", "such", "insurer", ",", "at", "least", "A", ":", "VIII", "by", "A", ".", "M", ".", "Best", ")", ",", "or", "by", "a", "syndicate", "of", "insurers", "through", "which", "at", "least", "75", "%", "of", "the", "coverage", "(", "if", "there", "are", "4", "or", "fewer", "members", "of", "the", "syndicate", ")", "or", "at", "least", "60", "%", "of", "the", "coverage", "(", "if", "there", "are", "5", "or", "more", "members", "of", "the", 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",", "if", "Moodys", "rates", "such", "insurer", "and", "is", "rating", "the", "Certificates", ",", "and", "all", "such", "insurers", "shall", "have", "ratings", "of", "not", "less", "than", "BBB", "+", "by", "S", "&", "amp", ";", "P", "and", "Baa1", "by", "Moodys", ",", "if", "Moodys", "rates", "such", "insurer", "and", "is", "rating", "the", "Certificates", ")", ".", "The", "Mortgagors", "insurance", "provider", "as", "of", "the", "origination", "date", "is", "not", "rated", "by", "S", "&", "amp", ";", "P", ",", "but", "is", "an", "acceptable", "provider", "so", "long", "as", "it", "is", "rated", "by", "AM", "Best", "as", "at", "least", "A-XII", ".", "|", "|", "|", "|", "(", "16", ")", "Insurance", "|", "|", "Best", "Buy", "Braintree", "(", "Loan", "No", ".", "27", ")", "Best", "Buy", "Fort", "Lauderdale", "(", "Loan", "No", ".", "30", ")", "|", "|", "All", "policies", "of", "insurance", "may", "be", "issued", "by", "a", "syndicate", "of", "insurers", "through", "which", "at", 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{"id": "16705", "text": "Rep. No. on Annex D-1 | | Mortgage Loan and Number as Identified on Annex A-1| | Description of Exception ---|---|---|---|--- (17) Access; Utilities; Separate Tax Lots| | U.S. Industrial Portfolio (Loan No. 3)| | One Mortgagor previously owned a vacant, non-income producing outparcel adjacent to the Mortgaged Property.The outparcel is not a separate tax lot however, (i) the Mortgagor is required to cause a separate tax lot to be established prior to any applicable deadline for accomplishing the same prior to the 2017 tax year, and (ii) the Mortgagor has reserved with the lender the amount of taxes payable with respect to such parcel over the ensuing 12 months. The lender may require that the Mortgagor replenish such escrow (in an amount reasonably estimated by the lender) on each subsequent anniversary of the origination date, until such evidence of separate tax parcel is delivered to the lender. | | | | (17) Access; Utilities; Separate Tax Lots| | Lyric Centre (Loan No. 10)| | The Mortgaged Property and the adjacent tract owned by LCE Law Office Building, Inc. were previously part of the same tax parcel. In accordance with the Harris County Appraisal Districts (HCAD) policy on dividing parcels, a request was submitted in 2016 to divide the Mortgaged Property and the adjacent tract into two separate tax parcels. HCAD has issued two separate tax parcel numbers but dividing the two properties requires an appraisal and remapping, which will be completed in 2017. | | | | (24) Local Law Compliance| | Walgreens Citrus Heights (Loan No. 26)| | The Sacramento Metropolitan Fire District issued a letter, dated October 3, 2016, stating that the Mortgaged Property was subject to certain fire code violations. The Mortgagor has a post-closing obligation to exercise commercially reasonable efforts to deliver to the mortgage lender evidence that such violations have been removed of record within 60 days after the origination date. | | | | (26) Recourse Obligations| | 350 Park Avenue (Loan No. 1 ) Lafayette Centre (Loan No. 2) Pentagon Center (Loan No. 17) | | The Mortgagor is the only obligated party as it relates to the recourse carveouts and springing recourse obligations. | | | | (26) Recourse Obligations| | U.S. Industrial Portfolio (Loan No. 3)| | Recourse carveouts do not include misappropriation of condemnation proceeds. | | | | (26) Recourse Obligations| | Simon Premium Outlets (Loan No. 12)| | For so long as Simon Property Group, L.P. is the guarantor under the guaranty and indemnitor under the environmental indemnity, the recourse liability of guarantor under such documents is required to be limited to 20% of the Whole Loan as of the origination date and all of the reasonable, out-of-pocket costs and expenses (including, but not limited to, court costs and fees and reasonable attorneys fees) incurred by the lender in connection with the enforcement of, or preservation of the lenders rights under, the guaranty and the environmental indemnity. | | | | (26) Recourse Obligations| | 604 Mission Street (Loan No. 19)| | The Mortgage Loan documents contain provisions for recourse against the Mortgagor and guarantor for the commission of intentional material physical waste at the Mortgaged Property, in an amount generally limited to the amount of rents, issues, proceeds and profits from the Mortgaged Property for the 12 months preceding an event of default under the Mortgage Loan and thereafter. | | | | (29) Acts of Terrorism Exclusions| | Simon Premium Outlets (Loan No. 12)| | If TRIPRA is no longer in effect, the related Mortgagors are not required to pay annual premiums for a stand-alone policy for a Mortgaged Property in excess of an amount equal to two (2) times the then- current annual insurance premiums payable for the policies insuring such Mortgaged Property (excluding the wind and flood components of such Insurance Premiums) on a stand-alone basis.", "ner": [[61, 64, "PII_Ref"], [214, 217, "PII_Ref"], [333, 336, "Court"], [342, 345, "EffectiveDate"], [405, 407, "Address"], [414, 415, "Address"], [422, 423, "Address"], [547, 548, "Percentage"], [622, 624, "Address"], [626, 629, "PII_Ref"]], "tokenized_text": ["Rep", ".", "No", ".", "on", "Annex", "D-1", "|", "|", "Mortgage", "Loan", "and", "Number", "as", "Identified", "on", "Annex", "A-1", "|", "|", "Description", "of", "Exception", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "(", "17", ")", "Access", ";", "Utilities", ";", "Separate", "Tax", "Lots", "|", "|", "U", ".", "S", ".", "Industrial", "Portfolio", "(", "Loan", "No", ".", "3", ")", "|", "|", "One", "Mortgagor", "previously", "owned", "a", "vacant", ",", "non-income", "producing", 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"Compliance", "|", "|", "Walgreens", "Citrus", "Heights", "(", "Loan", "No", ".", "26", ")", "|", "|", "The", "Sacramento", "Metropolitan", "Fire", "District", "issued", "a", "letter", ",", "dated", "October", "3", ",", "2016", ",", "stating", "that", "the", "Mortgaged", "Property", "was", "subject", "to", "certain", "fire", "code", "violations", ".", "The", "Mortgagor", "has", "a", "post-closing", "obligation", "to", "exercise", "commercially", "reasonable", "efforts", "to", "deliver", "to", "the", "mortgage", "lender", "evidence", "that", "such", "violations", "have", "been", "removed", "of", "record", "within", "60", "days", "after", "the", "origination", "date", ".", "|", "|", "|", "|", "(", "26", ")", "Recourse", "Obligations", "|", "|", "350", "Park", "Avenue", "(", "Loan", "No", ".", "1", ")", "Lafayette", "Centre", "(", "Loan", "No", ".", "2", ")", "Pentagon", "Center", "(", "Loan", "No", ".", "17", ")", "|", "|", "The", "Mortgagor", "is", "the", "only", "obligated", "party", 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"out-of-pocket", "costs", "and", "expenses", "(", "including", ",", "but", "not", "limited", "to", ",", "court", "costs", "and", "fees", "and", "reasonable", "attorneys", "fees", ")", "incurred", "by", "the", "lender", "in", "connection", "with", "the", "enforcement", "of", ",", "or", "preservation", "of", "the", "lenders", "rights", "under", ",", "the", "guaranty", "and", "the", "environmental", "indemnity", ".", "|", "|", "|", "|", "(", "26", ")", "Recourse", "Obligations", "|", "|", "604", "Mission", "Street", "(", "Loan", "No", ".", "19", ")", "|", "|", "The", "Mortgage", "Loan", "documents", "contain", "provisions", "for", "recourse", "against", "the", "Mortgagor", "and", "guarantor", "for", "the", "commission", "of", "intentional", "material", "physical", "waste", "at", "the", "Mortgaged", "Property", ",", "in", "an", "amount", "generally", "limited", "to", "the", "amount", "of", "rents", ",", "issues", ",", "proceeds", "and", "profits", "from", "the", "Mortgaged", "Property", "for", "the", "12", "months", "preceding", "an", "event", "of", "default", "under", "the", "Mortgage", "Loan", "and", "thereafter", ".", "|", "|", "|", "|", "(", "29", ")", "Acts", "of", "Terrorism", "Exclusions", "|", "|", "Simon", "Premium", "Outlets", "(", "Loan", "No", ".", "12", ")", "|", "|", "If", "TRIPRA", "is", "no", "longer", "in", "effect", ",", "the", "related", "Mortgagors", "are", "not", "required", "to", "pay", "annual", "premiums", "for", "a", "stand-alone", "policy", "for", "a", "Mortgaged", "Property", "in", "excess", "of", "an", "amount", "equal", "to", "two", "(", "2", ")", "times", "the", "then", "-", "current", "annual", "insurance", "premiums", "payable", "for", "the", "policies", "insuring", "such", "Mortgaged", "Property", "(", "excluding", "the", "wind", "and", "flood", "components", "of", "such", "Insurance", "Premiums", ")", "on", "a", "stand-alone", "basis", "."]}
{"id": "16706", "text": "Goldman Sachs Mortgage Company (Seller) hereby certifies as follows:", "ner": [[0, 1, "Parties"]], "tokenized_text": ["Goldman", "Sachs", "Mortgage", "Company", "(", "Seller", ")", "hereby", "certifies", "as", "follows", ":"]}
{"id": "15707", "text": "| 1.| All of the representations and warranties (except as set forth on ExhibitC) of the Seller under the Mortgage Loan Purchase Agreement, dated as of March 1, 2017 (the Agreement), between GS Mortgage Securities Corporation II and Seller, are true and correct in all material respects on and as of the date hereof (or as of such other date as of which such representation is made under the terms of ExhibitB to the Agreement) with the same force and effect as if made on and as of the date hereof (or as of such other date as of which such representation is made under the terms of ExhibitB to the Agreement). ---|---|---", "ner": [[23, 26, "Title"], [31, 34, "EffectiveDate"], [41, 45, "Parties"]], "tokenized_text": ["|", "1", ".", "|", "All", "of", "the", "representations", "and", "warranties", "(", "except", "as", "set", "forth", "on", "ExhibitC", ")", "of", "the", "Seller", "under", "the", "Mortgage", "Loan", "Purchase", "Agreement", ",", "dated", "as", "of", "March", "1", ",", "2017", "(", "the", "Agreement", ")", ",", "between", "GS", "Mortgage", "Securities", "Corporation", "II", "and", "Seller", ",", "are", "true", "and", "correct", "in", "all", "material", "respects", "on", "and", "as", "of", "the", "date", "hereof", "(", "or", "as", "of", "such", "other", "date", "as", "of", "which", "such", "representation", "is", "made", "under", "the", "terms", "of", "ExhibitB", "to", "the", "Agreement", ")", "with", "the", "same", "force", "and", "effect", "as", "if", "made", "on", "and", "as", "of", "the", "date", "hereof", "(", "or", "as", "of", "such", "other", "date", "as", "of", "which", "such", "representation", "is", "made", "under", "the", "terms", "of", "ExhibitB", "to", "the", "Agreement", ")", ".", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "16708", "text": "| GOLDMAN SACHS MORTGAGE COMPANY ---|--- | | By: | | | Authorized Representative", "ner": [[1, 4, "Parties"]], "tokenized_text": ["|", "GOLDMAN", "SACHS", "MORTGAGE", "COMPANY", "-", "-", "-", "|", "-", "-", "-", "|", "|", "By", ":", "|", "|", "|", "Authorized", "Representative"]}
{"id": "16710", "text": "RECORDING REQUESTED BY: GOLDMAN SACHS MORTGAGE COMPANY", "ner": [], "tokenized_text": ["RECORDING", "REQUESTED", "BY", ":", "GOLDMAN", "SACHS", "MORTGAGE", "COMPANY"]}
{"id": "15711", "text": "KNOW ALL MEN BY THESE PRESENTS, that GOLDMAN SACHS MORTGAGE COMPANY , a New York limited partnership, not in its individual capacity but solely as seller (Seller) under the Mortgage Loan Purchase Agreement (defined below) hereby constitutes and appoints [Midland Loan Services, a Division of PNC Bank, National Association (Midland)] [Rialto Capital Advisors, LLC (Rialto)], as Attorney-In-Fact, by and through any duly appointed officers and employees, to execute and acknowledge in writing or by facsimile stamp all documents customarily and reasonably necessary and appropriate for the tasks described in item (1) below; provided however, that the documents described below may only be executed and delivered by such Attorneys-In-Fact if such documents are required or permitted under the terms of the Mortgage Loan Purchase Agreement dated as of March 1, 2017 (the Mortgage Loan Purchase Agreement) by and among GS Mortgage Securities Corporation II , a Delaware corporation, as Depositor, and Seller, and no power is granted hereunder to take any action that would be adverse to the interests of the Seller.", "ner": [[8, 11, "Parties"], [33, 36, "Title"], [46, 48, "Parties"], [53, 57, "Parties"], [63, 67, "Parties"], [151, 154, "EffectiveDate"], [165, 169, "Parties"]], "tokenized_text": ["KNOW", "ALL", "MEN", "BY", "THESE", "PRESENTS", ",", "that", "GOLDMAN", "SACHS", "MORTGAGE", "COMPANY", ",", "a", "New", "York", "limited", "partnership", ",", "not", "in", "its", "individual", "capacity", "but", "solely", "as", "seller", "(", "Seller", ")", "under", "the", "Mortgage", "Loan", "Purchase", "Agreement", "(", "defined", "below", ")", "hereby", "constitutes", "and", "appoints", "[", "Midland", "Loan", "Services", ",", "a", "Division", "of", "PNC", "Bank", ",", "National", "Association", "(", "Midland", ")", "]", "[", "Rialto", "Capital", "Advisors", ",", "LLC", "(", "Rialto", ")", "]", ",", "as", "Attorney-In-Fact", ",", "by", "and", "through", "any", "duly", "appointed", "officers", "and", "employees", ",", "to", "execute", "and", "acknowledge", "in", "writing", "or", "by", "facsimile", "stamp", "all", "documents", "customarily", "and", "reasonably", "necessary", "and", "appropriate", "for", "the", "tasks", "described", "in", "item", "(", "1", ")", "below", ";", "provided", "however", ",", "that", "the", "documents", "described", "below", "may", "only", "be", "executed", "and", "delivered", "by", "such", "Attorneys-In-Fact", "if", "such", "documents", "are", "required", "or", "permitted", "under", "the", "terms", "of", "the", "Mortgage", "Loan", "Purchase", "Agreement", "dated", "as", "of", "March", "1", ",", "2017", "(", "the", "Mortgage", "Loan", "Purchase", "Agreement", ")", "by", "and", "among", "GS", "Mortgage", "Securities", "Corporation", "II", ",", "a", "Delaware", "corporation", ",", "as", "Depositor", ",", "and", "Seller", ",", "and", "no", "power", "is", "granted", "hereunder", "to", "take", "any", "action", "that", "would", "be", "adverse", "to", "the", "interests", "of", "the", "Seller", "."]}
{"id": "15714", "text": "EX-10.1 2 ex10-1.htm SECURITIES PURCHASE AGREEMENT", "ner": [[7, 9, "Title"]], "tokenized_text": ["EX-10", ".", "1", "2", "ex10-1", ".", "htm", "SECURITIES", "PURCHASE", "AGREEMENT"]}
{"id": "16717", "text": "B.The Company and each Purchaser is executing and delivering this Agreement in reliance upon an exemption from securities registration afforded by Section 4(a)(2) of the Securities Act of 1933 <sup> , as amended (the Securities Act ), and/or Regulation D (Regulation D) as promulgated by the United States Securities and Exchange Commission (the Commission) under the Securities Act .&lt; br/&gt;", "ner": [[23, 30, "Regulation"], [33, 36, "Act"], [52, 53, "Regulation"]], "tokenized_text": ["B", ".", "The", "Company", "and", "each", "Purchaser", "is", "executing", "and", "delivering", "this", "Agreement", "in", "reliance", "upon", "an", "exemption", "from", "securities", "registration", "afforded", "by", "Section", "4", "(", "a", ")", "(", "2", ")", "of", "the", "Securities", "Act", "of", "1933", "<", "sup", ">", ",", "as", "amended", "(", "the", "Securities", "Act", ")", ",", "and", "/", "or", "Regulation", "D", "(", "Regulation", "D", ")", "as", "promulgated", "by", "the", "United", "States", "Securities", "and", "Exchange", "Commission", "(", "the", "Commission", ")", "under", "the", "Securities", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "16718", "text": "D.Prior to the Closing, the parties hereto will execute and deliver a Registration Rights Agreement, substantially in the form attached hereto as Exhibit B (the Registration Rights Agreement), pursuant to which, among other things, the Company will agree to provide, with respect to the Shares, certain registration rights under the Securities Act and the rules and regulations promulgated thereunder and applicable state securities laws.", "ner": [[15, 17, "Title"], [61, 62, "Act"]], "tokenized_text": ["D", ".", "Prior", "to", "the", "Closing", ",", "the", "parties", "hereto", "will", "execute", "and", "deliver", "a", "Registration", "Rights", "Agreement", ",", "substantially", "in", "the", "form", "attached", "hereto", "as", "Exhibit", "B", "(", "the", "Registration", "Rights", "Agreement", ")", ",", "pursuant", "to", "which", ",", "among", "other", "things", ",", "the", "Company", "will", "agree", "to", "provide", ",", "with", "respect", "to", "the", "Shares", ",", "certain", "registration", "rights", "under", "the", "Securities", "Act", "and", "the", "rules", "and", "regulations", "promulgated", "thereunder", "and", "applicable", "state", "securities", "laws", "."]}
{"id": "16723", "text": "Transfer Agent means Manhattan Transfer Registrar Company, with a mailing address of 57 Eastwood Road , Miller Place, NY <sup> 11764, or any successor transfer agent for the Company.", "ner": [[13, 24, "Address"]], "tokenized_text": ["Transfer", "Agent", "means", "Manhattan", "Transfer", "Registrar", "Company", ",", "with", "a", "mailing", "address", "of", "57", "Eastwood", "Road", ",", "Miller", "Place", ",", "NY", "<", "sup", ">", "11764", ",", "or", "any", "successor", "transfer", "agent", "for", "the", "Company", "."]}
{"id": "15724", "text": "(vii)a certificate evidencing the formation and good standing of the Company issued by the Secretary of State of the State of Delaware , as of a date within five (5) days of the Closing Date; and", "ner": [[17, 19, "Role"], [22, 24, "Court"]], "tokenized_text": ["(", "vii", ")", "a", "certificate", "evidencing", "the", "formation", "and", "good", "standing", "of", "the", "Company", "issued", "by", "the", "Secretary", "of", "State", "of", "the", "State", "of", "Delaware", ",", "as", "of", "a", "date", "within", "five", "(", "5", ")", "days", "of", "the", "Closing", "Date", ";", "and"]}
{"id": "16725", "text": "(viii)a certified copy of the Certificate of Incorporation, as certified by the Secretary of State of the State of Delaware , as of a date within ten (10) days of the Closing Date.", "ner": [[8, 10, "Title"], [16, 18, "Role"], [21, 23, "Court"]], "tokenized_text": ["(", "viii", ")", "a", "certified", "copy", "of", "the", "Certificate", "of", "Incorporation", ",", "as", "certified", "by", "the", "Secretary", "of", "State", "of", "the", "State", "of", "Delaware", ",", "as", "of", "a", "date", "within", "ten", "(", "10", ")", "days", "of", "the", "Closing", "Date", "."]}
{"id": "16726", "text": "(e)Filings, Consents and Approvals. The Company is not required to obtain any consent, waiver, approval, authorization or order of, qualification, designation, declaration, give any notice to, or make any filing or registration with, any court or other federal, state, local or other governmental authority or other Person in connection with the execution, delivery and performance by the Company of the Transaction Documents (including the issuance of the Securities), other than (i) the filing with the Commission of one or more Registration Statements in accordance with the requirements of the Registration Rights Agreement, (ii) filings required by applicable state securities laws after the date hereof, (iii) the filing of a Notice of Sale of Securities on Form D with the Commission under Regulation D of the Securities Act , ( <sup> iv) the filing of any requisite notices and/or application(s) to the Principal Trading Market for the issuance and sale of the Shares and the listing of the Shares for trading or quotation, as the case may be, thereon in the time and manner required thereby (which will be made and approved prior to the Closing), (v) the filings required in accordance with Section 4.6 of this Agreement and (vi) those that have been made or obtained prior to the date of this Agreement satisfying the requirements thereof (collectively, the Required Approvals).", "ner": [[149, 150, "Regulation"], [153, 154, "Act"]], "tokenized_text": ["(", "e", ")", "Filings", ",", "Consents", "and", "Approvals", ".", "The", "Company", "is", "not", "required", "to", "obtain", "any", "consent", ",", "waiver", ",", "approval", ",", "authorization", "or", "order", "of", ",", "qualification", ",", "designation", ",", "declaration", ",", "give", "any", "notice", "to", ",", "or", "make", "any", "filing", "or", "registration", "with", ",", "any", "court", "or", "other", "federal", ",", "state", ",", "local", "or", "other", "governmental", "authority", "or", "other", "Person", "in", "connection", "with", "the", "execution", ",", "delivery", "and", "performance", "by", "the", "Company", "of", "the", "Transaction", "Documents", "(", "including", "the", "issuance", "of", "the", "Securities", ")", ",", "other", "than", "(", "i", ")", "the", "filing", "with", "the", "Commission", "of", "one", "or", "more", "Registration", "Statements", "in", "accordance", "with", "the", "requirements", "of", "the", "Registration", "Rights", "Agreement", ",", "(", "ii", ")", "filings", "required", "by", "applicable", "state", "securities", "laws", "after", "the", "date", "hereof", ",", "(", "iii", ")", "the", "filing", "of", "a", "Notice", "of", "Sale", "of", "Securities", "on", "Form", "D", "with", "the", "Commission", "under", "Regulation", "D", "of", "the", "Securities", "Act", ",", "(", "<", "sup", ">", "iv", ")", "the", "filing", "of", "any", "requisite", "notices", "and", "/", "or", "application", "(", "s", ")", "to", "the", "Principal", "Trading", "Market", "for", "the", "issuance", "and", "sale", "of", "the", "Shares", "and", "the", "listing", "of", "the", "Shares", "for", "trading", "or", "quotation", ",", "as", "the", "case", "may", "be", ",", "thereon", "in", "the", "time", "and", "manner", "required", "thereby", "(", "which", "will", "be", "made", "and", "approved", "prior", "to", "the", "Closing", ")", ",", "(", "v", ")", "the", "filings", "required", "in", "accordance", "with", "Section", "4", ".", "6", "of", "this", "Agreement", "and", "(", "vi", ")", "those", "that", "have", "been", "made", "or", "obtained", "prior", "to", "the", "date", "of", "this", "Agreement", "satisfying", "the", "requirements", "thereof", "(", "collectively", ",", "the", "Required", "Approvals", ")", "."]}
{"id": "15729", "text": "(m)Litigation. There is no Action which (i) adversely affects or challenges the legality, validity or enforceability of any of the Transaction Documents or the Securities, or (ii) would reasonably be expected to have, individually or in the aggregate, a Material Adverse Effect. Neither the Company nor any Subsidiary, nor to the Companys Knowledge any director or officer thereof, is or has been the subject of any Action involving a claim of violation of or liability under federal or state securities laws or a claim of breach of fiduciary duty. There has not been, and to the Companys Knowledge there is not pending or contemplated, any investigation by the Commission involving the Company or, to the Companys Knowledge, any current or former director or officer of the Company. The Commission has not issued any stop order or other order suspending the effectiveness of any registration statement filed by the Company or any of its Subsidiaries under the Exchange Act or the Securities Act . There are no outstanding orders, judgments, injunctions, awards or decrees of any court, arbitrator or governmental or regulatory body against the Company or, to the Companys Knowledge, any executive officers or directors of the Company in their capacities as such, which individually or in the aggregate, would reasonably be expected to have a Material Adverse Effect.", "ner": [[177, 178, "Act"], [181, 182, "Act"]], "tokenized_text": ["(", "m", ")", "Litigation", ".", "There", "is", "no", "Action", "which", "(", "i", ")", "adversely", "affects", "or", "challenges", "the", "legality", ",", "validity", "or", "enforceability", "of", "any", "of", "the", "Transaction", "Documents", "or", "the", "Securities", ",", "or", "(", "ii", ")", "would", "reasonably", "be", "expected", "to", "have", ",", "individually", "or", "in", "the", "aggregate", ",", "a", "Material", "Adverse", "Effect", ".", "Neither", "the", "Company", "nor", "any", "Subsidiary", ",", "nor", "to", "the", "Companys", "Knowledge", "any", "director", "or", "officer", "thereof", ",", "is", "or", "has", "been", "the", "subject", "of", "any", "Action", "involving", "a", "claim", "of", "violation", "of", "or", "liability", "under", "federal", "or", "state", "securities", "laws", "or", "a", "claim", "of", "breach", "of", "fiduciary", "duty", ".", "There", "has", "not", "been", ",", "and", "to", "the", "Companys", "Knowledge", "there", "is", "not", "pending", "or", "contemplated", ",", "any", "investigation", "by", "the", "Commission", "involving", "the", "Company", "or", ",", "to", "the", "Companys", "Knowledge", ",", "any", "current", "or", "former", "director", "or", "officer", "of", "the", "Company", ".", "The", "Commission", "has", "not", "issued", "any", "stop", "order", "or", "other", "order", "suspending", "the", "effectiveness", "of", "any", "registration", "statement", "filed", "by", "the", "Company", "or", "any", "of", "its", "Subsidiaries", "under", "the", "Exchange", "Act", "or", "the", "Securities", "Act", ".", "There", "are", "no", "outstanding", "orders", ",", "judgments", ",", "injunctions", ",", "awards", "or", "decrees", "of", "any", "court", ",", "arbitrator", "or", "governmental", "or", "regulatory", "body", "against", "the", "Company", "or", ",", "to", "the", "Companys", "Knowledge", ",", "any", "executive", "officers", "or", "directors", "of", "the", "Company", "in", "their", "capacities", "as", "such", ",", "which", "individually", "or", "in", "the", "aggregate", ",", "would", "reasonably", "be", "expected", "to", "have", "a", "Material", "Adverse", "Effect", "."]}
{"id": "16730", "text": "(r) Intellectual Property. The Company and its Subsidiaries collectively own, possess, license or have other rights to use all material foreign and domestic patents, patent applications, trade and service marks, trade and service mark registrations, trade names, copyrights, licenses, inventions, trade secrets, technology, know-how and other proprietary rights and processes necessary for the conduct of their businesses, taken as a whole, as now conducted or as proposed in the SEC Reports to be conducted (collectively, the Intellectual Property). To the Companys Knowledge, (i) there are no rights of third parties to any Intellectual Property, other than as licensed by the Company; (ii) the Companys or its Subsidiaries use of any such Intellectual Property in the conduct of its business as presently conducted does not infringe upon the rights of any third parties; (ii) there is no infringement by third parties of any such Intellectual Property; (iii) there is no pending or threatened Action challenging the Companys rights in or to or scope of any such Intellectual Property; (iv) there is no pending or threatened Action challenging the validity or scope of any such Intellectual Property; and (v) there is no pending or threatened Action that the Company infringes or otherwise violates any patent, trademark, copyright, trade secret or other proprietary rights of others. The Company is not aware of any facts required to be disclosed to the U.S. Patent and Trademark Office which have not been disclosed to the U.S. Patent and Trademark Office and which would preclude the grant of a patent in connection with any patent application of the Intellectual Property or could form the basis of a finding of invalidity with respect to any issued patents of the Intellectual Property. The Company and its Subsidiaries collectively have taken reasonable security measures to protect the secrecy, confidentiality and value of all of the Intellectual Property, except where the failure to do so would not, individually or in the aggregate, have or reasonably be expected to have a Material Adverse Effect.", "ner": [], "tokenized_text": ["(", "r", ")", "Intellectual", "Property", ".", "The", "Company", "and", "its", "Subsidiaries", "collectively", "own", ",", "possess", ",", "license", "or", "have", "other", "rights", "to", "use", "all", "material", "foreign", "and", "domestic", "patents", ",", "patent", "applications", ",", "trade", "and", "service", "marks", ",", "trade", "and", "service", "mark", "registrations", ",", "trade", "names", ",", "copyrights", ",", "licenses", ",", "inventions", ",", "trade", "secrets", ",", "technology", ",", "know-how", "and", "other", "proprietary", "rights", "and", "processes", "necessary", "for", "the", "conduct", "of", "their", "businesses", ",", "taken", "as", "a", "whole", ",", "as", "now", "conducted", "or", "as", "proposed", "in", "the", "SEC", "Reports", "to", "be", "conducted", "(", "collectively", ",", "the", "Intellectual", "Property", ")", ".", "To", "the", "Companys", "Knowledge", ",", "(", "i", ")", "there", "are", "no", "rights", "of", "third", "parties", "to", "any", "Intellectual", "Property", ",", "other", "than", "as", "licensed", "by", "the", "Company", ";", "(", "ii", ")", "the", "Companys", "or", "its", "Subsidiaries", "use", "of", "any", "such", "Intellectual", "Property", "in", "the", "conduct", "of", "its", "business", "as", "presently", "conducted", "does", "not", "infringe", "upon", "the", "rights", "of", "any", "third", "parties", ";", "(", "ii", ")", "there", "is", "no", "infringement", "by", "third", "parties", "of", "any", "such", "Intellectual", "Property", ";", "(", "iii", ")", "there", "is", "no", "pending", "or", "threatened", "Action", "challenging", "the", "Companys", "rights", "in", "or", "to", "or", "scope", "of", "any", "such", "Intellectual", "Property", ";", "(", "iv", ")", "there", "is", "no", "pending", "or", "threatened", "Action", "challenging", "the", "validity", "or", "scope", "of", "any", "such", "Intellectual", "Property", ";", "and", "(", "v", ")", "there", "is", "no", "pending", "or", "threatened", "Action", "that", "the", "Company", "infringes", "or", "otherwise", "violates", "any", "patent", ",", "trademark", ",", "copyright", ",", "trade", "secret", "or", "other", "proprietary", "rights", "of", "others", ".", "The", "Company", "is", "not", "aware", "of", "any", "facts", "required", "to", "be", "disclosed", "to", "the", "U", ".", "S", ".", "Patent", "and", "Trademark", "Office", "which", "have", "not", "been", "disclosed", "to", "the", "U", ".", "S", ".", "Patent", "and", "Trademark", "Office", "and", "which", "would", "preclude", "the", "grant", "of", "a", "patent", "in", "connection", "with", "any", "patent", "application", "of", "the", "Intellectual", "Property", "or", "could", "form", "the", "basis", "of", "a", "finding", "of", "invalidity", "with", "respect", "to", "any", "issued", "patents", "of", "the", "Intellectual", "Property", ".", "The", "Company", "and", "its", "Subsidiaries", "collectively", "have", "taken", "reasonable", "security", "measures", "to", "protect", "the", "secrecy", ",", "confidentiality", "and", "value", "of", "all", "of", "the", "Intellectual", "Property", ",", "except", "where", "the", "failure", "to", "do", "so", "would", "not", ",", "individually", "or", "in", "the", "aggregate", ",", "have", "or", "reasonably", "be", "expected", "to", "have", "a", "Material", "Adverse", "Effect", "."]}
{"id": "16735", "text": "(z)No Integrated Offering. Assuming the accuracy of the Purchasers representations and warranties set forth in Section 3.2 (without giving effect to any materiality qualifiers therein), neither the Company nor any Person acting on its behalf has, directly or indirectly, at any time within the past six (6) months, made any offers or sales of any Company security or solicited any offers to buy any security under circumstances that would (i) eliminate the availability of the exemption from registration under Section 4(a)(2) or Regulation D under the Securities Act in connection with the offer and sale by the Company of the Securities as contemplated hereby or (ii) cause the Offering of the Securities pursuant to the Transaction Documents to be integrated with prior offerings by the Company for purposes of any applicable law, regulation or shareholder approval provisions, including, without limitation, under the rules and regulations of any Trading Market on which any of the securities of the Company are listed or designated.", "ner": [[104, 105, "Regulation"], [108, 109, "Act"]], "tokenized_text": ["(", "z", ")", "No", "Integrated", "Offering", ".", "Assuming", "the", "accuracy", "of", "the", "Purchasers", "representations", "and", "warranties", "set", "forth", "in", "Section", "3", ".", "2", "(", "without", "giving", "effect", "to", "any", "materiality", "qualifiers", "therein", ")", ",", "neither", "the", "Company", "nor", "any", "Person", "acting", "on", "its", "behalf", "has", ",", "directly", "or", "indirectly", ",", "at", "any", "time", "within", "the", "past", "six", "(", "6", ")", "months", ",", "made", "any", "offers", "or", "sales", "of", "any", "Company", "security", "or", "solicited", "any", "offers", "to", "buy", "any", "security", "under", "circumstances", "that", "would", "(", "i", ")", "eliminate", "the", "availability", "of", "the", "exemption", "from", "registration", "under", "Section", "4", "(", "a", ")", "(", "2", ")", "or", "Regulation", "D", "under", "the", "Securities", "Act", "in", "connection", "with", "the", "offer", "and", "sale", "by", "the", "Company", "of", "the", "Securities", "as", "contemplated", "hereby", "or", "(", "ii", ")", "cause", "the", "Offering", "of", "the", "Securities", "pursuant", "to", "the", "Transaction", "Documents", "to", "be", "integrated", "with", "prior", "offerings", "by", "the", "Company", "for", "purposes", "of", "any", "applicable", "law", ",", "regulation", "or", "shareholder", "approval", "provisions", ",", "including", ",", "without", "limitation", ",", "under", "the", "rules", "and", "regulations", "of", "any", "Trading", "Market", "on", "which", "any", "of", "the", "securities", "of", "the", "Company", "are", "listed", "or", "designated", "."]}
{"id": "16736", "text": "(aa)Registration Rights. Other than the Purchasers pursuant to the Registration Rights Agreement or as disclosed in Section 3.1(aa) of the Disclosure Schedule, no Person has any right to cause the Company to effect the registration under the Securities Act of any securities of the Company.", "ner": [[13, 15, "Title"], [47, 48, "Act"]], "tokenized_text": ["(", "aa", ")", "Registration", "Rights", ".", "Other", "than", "the", "Purchasers", "pursuant", "to", "the", "Registration", "Rights", "Agreement", "or", "as", "disclosed", "in", "Section", "3", ".", "1", "(", "aa", ")", "of", "the", "Disclosure", "Schedule", ",", "no", "Person", "has", "any", "right", "to", "cause", "the", "Company", "to", "effect", "the", "registration", "under", "the", "Securities", "Act", "of", "any", "securities", "of", "the", "Company", "."]}
{"id": "16737", "text": "(cc)Application of Takeover Protections; Rights Agreements. The Company and its board of directors have taken all necessary action, if any, in order to render inapplicable any control share acquisition, business combination, poison pill (including any distribution under a rights agreement) or other similar anti-takeover provision under the Companys charter documents or the laws of the State of Delaware that is or could reasonably be expected to become applicable to any of the Purchasers as a result of the Purchasers and the Company fulfilling their obligations or exercising their rights under the Transaction Documents, including, without limitation, the Companys issuance of the Securities and the Purchasers ownership of the Securities. The Company has not adopted a stockholder rights plan or similar arrangement relating to accumulations of beneficial ownership of Common Stock or a change in control of the Company.", "ner": [[8, 9, "Title"], [48, 49, "Title"], [66, 68, "Court"]], "tokenized_text": ["(", "cc", ")", "Application", "of", "Takeover", "Protections", ";", "Rights", "Agreements", ".", "The", "Company", "and", "its", "board", "of", "directors", "have", "taken", "all", "necessary", "action", ",", "if", "any", ",", "in", "order", "to", "render", "inapplicable", "any", "control", "share", "acquisition", ",", "business", "combination", ",", "poison", "pill", "(", "including", "any", "distribution", "under", "a", "rights", "agreement", ")", "or", "other", "similar", "anti-takeover", "provision", "under", "the", "Companys", "charter", "documents", "or", "the", "laws", "of", "the", "State", "of", "Delaware", "that", "is", "or", "could", "reasonably", "be", "expected", "to", "become", "applicable", "to", "any", "of", "the", "Purchasers", "as", "a", "result", "of", "the", "Purchasers", "and", "the", "Company", "fulfilling", "their", "obligations", "or", "exercising", "their", "rights", "under", "the", "Transaction", "Documents", ",", "including", ",", "without", "limitation", ",", "the", "Companys", "issuance", "of", "the", "Securities", "and", "the", "Purchasers", "ownership", "of", "the", "Securities", ".", "The", "Company", "has", "not", "adopted", "a", "stockholder", "rights", "plan", "or", "similar", "arrangement", "relating", "to", "accumulations", "of", "beneficial", "ownership", "of", "Common", "Stock", "or", "a", "change", "in", "control", "of", "the", "Company", "."]}
{"id": "15738", "text": "(ee)Foreign Corrupt Practices. Neither the Company nor any of its Subsidiaries, nor to the Companys Knowledge, any agent or other person acting on behalf of the Company or its Subsidiaries, has: (i) directly or indirectly, used any funds for unlawful contributions, gifts, entertainment or other unlawful expenses related to foreign or domestic political activity, (ii) made any unlawful payment to foreign or domestic government officials or employees or to any foreign or domestic political parties or campaigns from corporate funds, (iii) failed to disclose fully any contribution made by the Company (or made by any person acting on its behalf of which the Company is aware) which is in violation of law or (iv) taken any action, directly or indirectly, that would result in a violation by the Company or such persons of the Foreign Corrupt Practices Act of 1977 , as amended, and the rules and regulations thereunder.", "ner": [[159, 164, "Act"]], "tokenized_text": ["(", "ee", ")", "Foreign", "Corrupt", "Practices", ".", "Neither", "the", "Company", "nor", "any", "of", "its", "Subsidiaries", ",", "nor", "to", "the", "Companys", "Knowledge", ",", "any", "agent", "or", "other", "person", "acting", "on", "behalf", "of", "the", "Company", "or", "its", "Subsidiaries", ",", "has", ":", "(", "i", ")", "directly", "or", "indirectly", ",", "used", "any", "funds", "for", "unlawful", "contributions", ",", "gifts", ",", "entertainment", "or", "other", "unlawful", "expenses", "related", "to", "foreign", "or", "domestic", "political", "activity", ",", "(", "ii", ")", "made", "any", "unlawful", "payment", "to", "foreign", "or", "domestic", "government", "officials", "or", "employees", "or", "to", "any", "foreign", "or", "domestic", "political", "parties", "or", "campaigns", "from", "corporate", "funds", ",", "(", "iii", ")", "failed", "to", "disclose", "fully", "any", "contribution", "made", "by", "the", "Company", "(", "or", "made", "by", "any", "person", "acting", "on", "its", "behalf", "of", "which", "the", "Company", "is", "aware", ")", "which", "is", "in", "violation", "of", "law", "or", "(", "iv", ")", "taken", "any", "action", ",", "directly", "or", "indirectly", ",", "that", "would", "result", "in", "a", "violation", "by", "the", "Company", "or", "such", "persons", "of", "the", "Foreign", "Corrupt", "Practices", "Act", "of", "1977", ",", "as", "amended", ",", "and", "the", "rules", "and", "regulations", "thereunder", "."]}
{"id": "16739", "text": "(ii)Investment Company. The Company is not and, after giving effect to the offering and sale of the Securities, will not be an investment company as defined in the Investment Company Act of 1940 , as amended.", "ner": [[34, 38, "Act"]], "tokenized_text": ["(", "ii", ")", "Investment", "Company", ".", "The", "Company", "is", "not", "and", ",", "after", "giving", "effect", "to", "the", "offering", "and", "sale", "of", "the", "Securities", ",", "will", "not", "be", "an", "investment", "company", "as", "defined", "in", "the", "Investment", "Company", "Act", "of", "1940", ",", "as", "amended", "."]}
{"id": "16743", "text": "(c)Investment Intent. Such Purchaser understands that the Securities are restricted securities and have not been registered under the Securities Act or any applicable state securities law and is acquiring the Securities as principal for its own account and not with a view to, or for distributing or reselling such Securities or any part thereof in violation of the Securities Act or any applicable state securities laws. Such Purchaser is acquiring the Securities hereunder in the ordinary course of its business. Such Purchaser does not presently have any agreement, plan or understanding, directly or indirectly, with any Person to distribute or effect any distribution of any of the Securities (or any securities which are derivatives thereof) to or through any person or entity; such Purchaser is not a registered broker-dealer under Section 15 of the Exchange Act or an entity engaged in a business that would require it to be so registered as a broker-dealer.", "ner": [[22, 23, "Act"], [147, 148, "Act"]], "tokenized_text": ["(", "c", ")", "Investment", "Intent", ".", "Such", "Purchaser", "understands", "that", "the", "Securities", "are", "restricted", "securities", "and", "have", "not", "been", "registered", "under", "the", "Securities", "Act", "or", "any", "applicable", "state", "securities", "law", "and", "is", "acquiring", "the", "Securities", "as", "principal", "for", "its", "own", "account", "and", "not", "with", "a", "view", "to", ",", "or", "for", "distributing", "or", "reselling", "such", "Securities", "or", "any", "part", "thereof", "in", "violation", "of", "the", "Securities", "Act", "or", "any", "applicable", "state", "securities", "laws", ".", "Such", "Purchaser", "is", "acquiring", "the", "Securities", "hereunder", "in", "the", "ordinary", "course", "of", "its", "business", ".", "Such", "Purchaser", "does", "not", "presently", "have", "any", "agreement", ",", "plan", "or", "understanding", ",", "directly", "or", "indirectly", ",", "with", "any", "Person", "to", "distribute", "or", "effect", "any", "distribution", "of", "any", "of", "the", "Securities", "(", "or", "any", "securities", "which", "are", "derivatives", "thereof", ")", "to", "or", "through", "any", "person", "or", "entity", ";", "such", "Purchaser", "is", "not", "a", "registered", "broker-dealer", "under", "Section", "15", "of", "the", "Exchange", "Act", "or", "an", "entity", "engaged", "in", "a", "business", "that", "would", "require", "it", "to", "be", "so", "registered", "as", "a", "broker-dealer", "."]}
{"id": "16746", "text": "(q) Prohibited Purchaser. Such Purchaser represents that neither it nor, to its knowledge, any person or entity controlling, controlled by or under common control with it, nor any person having a beneficial interest in it, nor any person on whose behalf the Purchaser is acting: (i) is a person listed in the Annex to Executive Order No. 13224 (2001 ) issued by the President of the United States (Executive Order Blocking Property and Prohibiting Transactions with Persons Who Commit, Threaten to Commit, or Support Terrorism); (ii) is named on the List of Specially Designated Nationals and Blocked Persons maintained by the U.S. Office of Foreign Assets Control; (iii) is a non-U.S. shell bank or is providing banking services indirectly to a non-U.S. shell bank; (iv) is a senior non-U.S. political figure or an immediate family member or close associate of such figure; or (v) is otherwise prohibited from investing in the Company pursuant to applicable U.S. anti-money laundering, anti-terrorist and asset control laws, regulations, rules or orders (categories (i) through (v), each a Prohibited Purchaser). The Purchaser agrees to provide the Company, promptly upon request, all information that the Company reasonably deems necessary or appropriate to comply with applicable U.S. anti-money laundering, anti-terrorist and asset control laws, regulations, rules and orders. The Purchaser consents to the disclosure to U.S. regulators and law enforcement authorities by the Company and its Affiliates and agents of such information about the Purchaser as the Company reasonably deems necessary or appropriate to comply with applicable U.S. antimony laundering, anti-terrorist and asset control laws, regulations, rules and orders. If the Purchaser is a financial institution that is subject to the USA Patriot Act, the Purchaser represents that it has met all of its obligations under the USA Patriot Act. The Purchaser acknowledges that if, following its investment in the Company, the Company reasonably believes that the Purchaser is a Prohibited Purchaser, the Company has the right or may be obligated to prohibit additional investments, segregate the assets constituting the investment in accordance with applicable regulations or immediately require the Purchaser to transfer the Shares. The Purchaser further acknowledges that the Purchaser will have no claim against the Company or any of its Affiliates or agents for any form of damages as a result of any of the foregoing actions.", "ner": [[65, 71, "Regulation"], [76, 80, "Role"], [348, 350, "Act"]], "tokenized_text": ["(", "q", ")", "Prohibited", "Purchaser", ".", "Such", "Purchaser", "represents", "that", "neither", "it", "nor", ",", "to", "its", "knowledge", ",", "any", "person", "or", "entity", "controlling", ",", "controlled", "by", "or", "under", "common", "control", "with", "it", ",", "nor", "any", "person", "having", "a", "beneficial", "interest", "in", "it", ",", "nor", "any", "person", "on", "whose", "behalf", "the", "Purchaser", "is", "acting", ":", "(", "i", ")", "is", "a", "person", "listed", "in", "the", "Annex", "to", "Executive", "Order", "No", ".", "13224", "(", "2001", ")", "issued", "by", "the", "President", "of", "the", "United", "States", "(", "Executive", "Order", "Blocking", "Property", "and", "Prohibiting", "Transactions", "with", "Persons", "Who", "Commit", ",", "Threaten", "to", "Commit", ",", "or", "Support", "Terrorism", ")", ";", "(", "ii", ")", "is", "named", "on", "the", "List", "of", "Specially", "Designated", "Nationals", "and", "Blocked", "Persons", "maintained", "by", "the", "U", ".", "S", ".", "Office", "of", "Foreign", "Assets", "Control", ";", "(", "iii", ")", "is", "a", "non-U", ".", "S", ".", "shell", "bank", "or", "is", "providing", "banking", "services", "indirectly", "to", "a", "non-U", ".", "S", ".", "shell", "bank", ";", "(", "iv", ")", "is", "a", "senior", "non-U", ".", "S", ".", "political", "figure", "or", "an", "immediate", "family", "member", "or", "close", "associate", "of", "such", "figure", ";", "or", "(", "v", ")", "is", "otherwise", "prohibited", "from", "investing", "in", "the", "Company", "pursuant", "to", "applicable", "U", ".", "S", ".", "anti-money", "laundering", ",", "anti-terrorist", "and", "asset", "control", "laws", ",", "regulations", ",", "rules", "or", "orders", "(", "categories", "(", "i", ")", "through", "(", "v", ")", ",", "each", "a", "Prohibited", "Purchaser", ")", ".", "The", "Purchaser", "agrees", "to", "provide", "the", "Company", ",", "promptly", "upon", "request", ",", "all", "information", "that", "the", "Company", "reasonably", "deems", "necessary", "or", "appropriate", "to", "comply", "with", "applicable", "U", ".", "S", ".", "anti-money", "laundering", ",", "anti-terrorist", "and", "asset", "control", "laws", ",", "regulations", ",", "rules", "and", "orders", ".", "The", "Purchaser", "consents", "to", "the", "disclosure", "to", "U", ".", "S", ".", "regulators", "and", "law", "enforcement", "authorities", "by", "the", "Company", "and", "its", "Affiliates", "and", "agents", "of", "such", "information", "about", "the", "Purchaser", "as", "the", "Company", "reasonably", "deems", "necessary", "or", "appropriate", "to", "comply", "with", "applicable", "U", ".", "S", ".", "antimony", "laundering", ",", "anti-terrorist", "and", "asset", "control", "laws", ",", "regulations", ",", "rules", "and", "orders", ".", "If", "the", "Purchaser", "is", "a", "financial", "institution", "that", "is", "subject", "to", "the", "USA", "Patriot", "Act", ",", "the", "Purchaser", "represents", "that", "it", "has", "met", "all", "of", "its", "obligations", "under", "the", "USA", "Patriot", "Act", ".", "The", "Purchaser", "acknowledges", "that", "if", ",", "following", "its", "investment", "in", "the", "Company", ",", "the", "Company", "reasonably", "believes", "that", "the", "Purchaser", "is", "a", "Prohibited", "Purchaser", ",", "the", "Company", "has", "the", "right", "or", "may", "be", "obligated", "to", "prohibit", "additional", "investments", ",", "segregate", "the", "assets", "constituting", "the", "investment", "in", "accordance", "with", "applicable", "regulations", "or", "immediately", "require", "the", "Purchaser", "to", "transfer", "the", "Shares", ".", "The", "Purchaser", "further", "acknowledges", "that", "the", "Purchaser", "will", "have", "no", "claim", "against", "the", "Company", "or", "any", "of", "its", "Affiliates", "or", "agents", "for", "any", "form", "of", "damages", "as", "a", "result", "of", "any", "of", "the", "foregoing", "actions", "."]}
{"id": "15750", "text": "(e)Acknowledgement. While the Registration Statement remains effective, each Purchaser hereunder may sell the Shares in accordance with the plan of distribution contained in the Registration Statement and, if it does so, it will comply therewith and with the related prospectus delivery requirements unless an exemption therefrom is available. Each Purchaser, severally and not jointly with the other Purchasers, agrees that if it is notified by the Company in writing at any time that the Registration Statement registering the resale of the Shares is not effective or that the prospectus included in such Registration Statement no longer complies with the requirements of Section 10 of the Securities Act , such Purchaser will refrain from selling such Shares until such time as such Purchaser is notified by the Company that such Registration Statement is effective or such prospectus is compliant with Section 10 of the Securities Act , unless such Purchaser is able to, and does, sell such Shares pursuant to an available exemption from the registration requirements of Section 5 of the Securities Act . Each Purchaser acknowledges that the delivery of the Irrevocable Transfer Agent Instructions and any removal of any legends from certificates representing the Shares as set forth in this Section 4.1 is predicated on the Companys reliance upon the Purchasers acknowledgement in this Section 4.1(e).", "ner": [[115, 116, "Act"]], "tokenized_text": ["(", "e", ")", "Acknowledgement", ".", "While", "the", "Registration", "Statement", "remains", "effective", ",", "each", "Purchaser", "hereunder", "may", "sell", "the", "Shares", "in", "accordance", "with", "the", "plan", "of", "distribution", "contained", "in", "the", "Registration", "Statement", "and", ",", "if", "it", "does", "so", ",", "it", "will", "comply", "therewith", "and", "with", "the", "related", "prospectus", "delivery", "requirements", "unless", "an", "exemption", "therefrom", "is", "available", ".", "Each", "Purchaser", ",", "severally", "and", "not", "jointly", "with", "the", "other", "Purchasers", ",", "agrees", "that", "if", "it", "is", "notified", "by", "the", "Company", "in", "writing", "at", "any", "time", "that", "the", "Registration", "Statement", "registering", "the", "resale", "of", "the", "Shares", "is", "not", "effective", "or", "that", "the", "prospectus", "included", "in", "such", "Registration", "Statement", "no", "longer", "complies", "with", "the", "requirements", "of", "Section", "10", "of", "the", "Securities", "Act", ",", "such", "Purchaser", "will", "refrain", "from", "selling", "such", "Shares", "until", "such", "time", "as", "such", "Purchaser", "is", "notified", "by", "the", "Company", "that", "such", "Registration", "Statement", "is", "effective", "or", "such", "prospectus", "is", "compliant", "with", "Section", "10", "of", "the", "Securities", "Act", ",", "unless", "such", "Purchaser", "is", "able", "to", ",", "and", "does", ",", "sell", "such", "Shares", "pursuant", "to", "an", "available", "exemption", "from", "the", "registration", "requirements", "of", "Section", "5", "of", "the", "Securities", "Act", ".", "Each", "Purchaser", "acknowledges", "that", "the", "delivery", "of", "the", "Irrevocable", "Transfer", "Agent", "Instructions", "and", "any", "removal", "of", "any", "legends", "from", "certificates", "representing", "the", "Shares", "as", "set", "forth", "in", "this", "Section", "4", ".", "1", "is", "predicated", "on", "the", "Companys", "reliance", "upon", "the", "Purchasers", "acknowledgement", "in", "this", "Section", "4", ".", "1", "(", "e", ")", "."]}
{"id": "16751", "text": "4.4No Integration. The Company shall not, and shall use its commercially reasonable efforts to ensure that the Affiliates of the Company shall not, sell, offer for sale or solicit offers to buy or otherwise negotiate in respect of any security (as defined in Section 2 of the Securities Act ) that will be integrated with the offer or sale of the Securities in a manner that would require the registration under the Securities Act of the sale of the Securities to the Purchasers, or that will be integrated with the offer or sale of the Securities for purposes of the rules and regulations of any Trading Market such that it would require shareholder approval prior to the closing of such other transaction unless shareholder approval is obtained before the closing of such subsequent transaction.", "ner": [[54, 55, "Act"]], "tokenized_text": ["4", ".", "4No", "Integration", ".", "The", "Company", "shall", "not", ",", "and", "shall", "use", "its", "commercially", "reasonable", "efforts", "to", "ensure", "that", "the", "Affiliates", "of", "the", "Company", "shall", "not", ",", "sell", ",", "offer", "for", "sale", "or", "solicit", "offers", "to", "buy", "or", "otherwise", "negotiate", "in", "respect", "of", "any", "security", "(", "as", "defined", "in", "Section", "2", "of", "the", "Securities", "Act", ")", "that", "will", "be", "integrated", "with", "the", "offer", "or", "sale", "of", "the", "Securities", "in", "a", "manner", "that", "would", "require", "the", "registration", "under", "the", "Securities", "Act", "of", "the", "sale", "of", "the", "Securities", "to", "the", "Purchasers", ",", "or", "that", "will", "be", "integrated", "with", "the", "offer", "or", "sale", "of", "the", "Securities", "for", "purposes", "of", "the", "rules", "and", "regulations", "of", "any", "Trading", "Market", "such", "that", "it", "would", "require", "shareholder", "approval", "prior", "to", "the", "closing", "of", "such", "other", "transaction", "unless", "shareholder", "approval", "is", "obtained", "before", "the", "closing", "of", "such", "subsequent", "transaction", "."]}
{"id": "16754", "text": "4.9Shelf Registration; Authorized Shares. The Company shall use its commercially reasonable efforts to ensure that it has enough authorized shares of Common Stock and an effective shelf registration statement under the Securities Act to access the equity capital markets from time to time after the Closing should it be necessary or advisable to do so.", "ner": [[35, 36, "Act"]], "tokenized_text": ["4", ".", "9Shelf", "Registration", ";", "Authorized", "Shares", ".", "The", "Company", "shall", "use", "its", "commercially", "reasonable", "efforts", "to", "ensure", "that", "it", "has", "enough", "authorized", "shares", "of", "Common", "Stock", "and", "an", "effective", "shelf", "registration", "statement", "under", "the", "Securities", "Act", "to", "access", "the", "equity", "capital", "markets", "from", "time", "to", "time", "after", "the", "Closing", "should", "it", "be", "necessary", "or", "advisable", "to", "do", "so", "."]}
{"id": "16755", "text": "(f) Company Deliverables. The Company shall have delivered the Company Deliverables in accordance with Section 2.2(a).", "ner": [], "tokenized_text": ["(", "f", ")", "Company", "Deliverables", ".", "The", "Company", "shall", "have", "delivered", "the", "Company", "Deliverables", "in", "accordance", "with", "Section", "2", ".", "2", "(", "a", ")", "."]}
{"id": "16756", "text": "(d) Purchaser Deliverables. Such Purchaser shall have delivered its Purchaser Deliverables in accordance with Section 2.2(b).", "ner": [], "tokenized_text": ["(", "d", ")", "Purchaser", "Deliverables", ".", "Such", "Purchaser", "shall", "have", "delivered", "its", "Purchaser", "Deliverables", "in", "accordance", "with", "Section", "2", ".", "2", "(", "b", ")", "."]}
{"id": "16761", "text": "Registration Statements means any one or more registration statements of the Company filed under the Securities Act that covers the resale of any of the Registrable Securities pursuant to the provisions of this Agreement (including, without limitation, the Initial Registration Statement, the New Registration Statement and any Remainder Registration Statements), including (in each case) the amendments and supplements to such Registration Statements, including pre- and post-effective amendments thereto, all exhibits and all material incorporated by reference or deemed to be incorporated by reference in such Registration Statements.", "ner": [[15, 16, "Act"]], "tokenized_text": ["Registration", "Statements", "means", "any", "one", "or", "more", "registration", "statements", "of", "the", "Company", "filed", "under", "the", "Securities", "Act", "that", "covers", "the", "resale", "of", "any", "of", "the", "Registrable", "Securities", "pursuant", "to", "the", "provisions", "of", "this", "Agreement", "(", "including", ",", "without", "limitation", ",", "the", "Initial", "Registration", "Statement", ",", "the", "New", "Registration", "Statement", "and", "any", "Remainder", "Registration", "Statements", ")", ",", "including", "(", "in", "each", "case", ")", "the", "amendments", "and", "supplements", "to", "such", "Registration", "Statements", ",", "including", "pre", "-", "and", "post-effective", "amendments", "thereto", ",", "all", "exhibits", "and", "all", "material", "incorporated", "by", "reference", "or", "deemed", "to", "be", "incorporated", "by", "reference", "in", "such", "Registration", "Statements", "."]}
{"id": "16762", "text": "Rule 415 means Rule 415 promulgated by the Commission pursuant to the Securities Act , as such Rule may be amended from time to time, or any similar rule or regulation hereafter adopted by the Commission having substantially the same effect as such Rule.", "ner": [[0, 1, "Regulation"], [12, 13, "Act"]], "tokenized_text": ["Rule", "415", "means", "Rule", "415", "promulgated", "by", "the", "Commission", "pursuant", "to", "the", "Securities", "Act", ",", "as", "such", "Rule", "may", "be", "amended", "from", "time", "to", "time", ",", "or", "any", "similar", "rule", "or", "regulation", "hereafter", "adopted", "by", "the", "Commission", "having", "substantially", "the", "same", "effect", "as", "such", "Rule", "."]}
{"id": "16763", "text": "Rule 424 means Rule 424 promulgated by the Commission pursuant to the Securities Act , as such Rule may be amended from time to time, or any similar rule or regulation hereafter adopted by the Commission having substantially the same effect as such Rule.", "ner": [[0, 1, "Regulation"], [12, 13, "Act"]], "tokenized_text": ["Rule", "424", "means", "Rule", "424", "promulgated", "by", "the", "Commission", "pursuant", "to", "the", "Securities", "Act", ",", "as", "such", "Rule", "may", "be", "amended", "from", "time", "to", "time", ",", "or", "any", "similar", "rule", "or", "regulation", "hereafter", "adopted", "by", "the", "Commission", "having", "substantially", "the", "same", "effect", "as", "such", "Rule", "."]}
{"id": "16765", "text": "(b)The Company shall use its commercially reasonable efforts to cause each Registration Statement to be declared effective by the Commission as soon as practicable and, with respect to the Initial Registration Statement or the New Registration Statement, as applicable, no later than the Effectiveness Deadline (including, with respect to the Initial Registration Statement or the New Registration Statement, as applicable, filing with the Commission a request for acceleration of effectiveness in accordance with Rule 461 promulgated under the Securities Act within five Business Days after the date that the Company is notified (orally or in writing, whichever is earlier) by the Commission that such Registration Statement will not be reviewed, or not be subject to further review and the effectiveness of such Registration Statement may be accelerated), and, subject to Section 2(e), shall use its commercially reasonable efforts to keep each Registration Statement continuously effective under the Securities Act for so long as the securities registered for resale thereunder retain their character as Registrable Securities (the Effectiveness Period). The Company shall promptly notify the Holders via facsimile or electronic mail of the effectiveness of a Registration Statement or any post-effective amendment thereto on or before the first Trading Day after the date that the Company telephonically confirms effectiveness with the Commission. The Company shall, by 9:30 a.m. Boston time on the first Trading Day after the Effective Date, file a final Prospectus with the Commission, as required by Rule 424(b).", "ner": [[83, 84, "Regulation"], [88, 89, "Act"]], "tokenized_text": ["(", "b", ")", "The", "Company", "shall", "use", "its", "commercially", "reasonable", "efforts", "to", "cause", "each", "Registration", "Statement", "to", "be", "declared", "effective", "by", "the", "Commission", "as", "soon", "as", "practicable", "and", ",", "with", "respect", "to", "the", "Initial", "Registration", "Statement", "or", "the", "New", "Registration", "Statement", ",", "as", "applicable", ",", "no", "later", "than", "the", "Effectiveness", "Deadline", "(", "including", ",", "with", "respect", "to", "the", "Initial", "Registration", "Statement", "or", "the", "New", "Registration", "Statement", ",", "as", "applicable", ",", "filing", "with", "the", "Commission", "a", "request", "for", "acceleration", "of", "effectiveness", "in", "accordance", "with", "Rule", "461", "promulgated", "under", "the", "Securities", "Act", "within", "five", "Business", "Days", "after", "the", "date", "that", "the", "Company", "is", "notified", "(", "orally", "or", "in", "writing", ",", "whichever", "is", "earlier", ")", "by", "the", "Commission", "that", "such", "Registration", "Statement", "will", "not", "be", "reviewed", ",", "or", "not", "be", "subject", "to", "further", "review", "and", "the", "effectiveness", "of", "such", "Registration", "Statement", "may", "be", "accelerated", ")", ",", "and", ",", "subject", "to", "Section", "2", "(", "e", ")", ",", "shall", "use", "its", "commercially", "reasonable", "efforts", "to", "keep", "each", "Registration", "Statement", "continuously", "effective", "under", "the", "Securities", "Act", "for", "so", "long", "as", "the", "securities", "registered", "for", "resale", "thereunder", "retain", "their", "character", "as", "Registrable", "Securities", "(", "the", "Effectiveness", "Period", ")", ".", "The", "Company", "shall", "promptly", "notify", "the", "Holders", "via", "facsimile", "or", "electronic", "mail", "of", "the", "effectiveness", "of", "a", "Registration", "Statement", "or", "any", "post-effective", "amendment", "thereto", "on", "or", "before", "the", "first", "Trading", "Day", "after", "the", "date", "that", "the", "Company", "telephonically", "confirms", "effectiveness", "with", "the", "Commission", ".", "The", "Company", "shall", ",", "by", "9", ":", "30", "a", ".", "m", ".", "Boston", "time", "on", "the", "first", "Trading", "Day", "after", "the", "Effective", "Date", ",", "file", "a", "final", "Prospectus", "with", "the", "Commission", ",", "as", "required", "by", "Rule", "424", "(", "b", ")", "."]}
{"id": "16766", "text": "(c)If: (i) the Initial Registration Statement is not filed with the Commission on or prior to the Filing Deadline, (ii) the Initial Registration Statement or the New Registration Statement, as applicable, is not declared effective by the Commission (or otherwise does not become effective) for any reason on or prior to the Effectiveness Deadline or (iii) after its Effective Date and except for the reasons as set forth in Section 3(h), (A) such Registration Statement ceases for any reason (including, without limitation, by reason of a stop order or the Companys failure to update the Registration Statement), to remain continuously effective as to all Registrable Securities included in such Registration Statement or (B) the Holders are not permitted to utilize the Prospectus therein to resell such Registrable Securities for any reason (other than due to a change in the Plan of Distribution or the inaccuracy of any information regarding the Holders), in each case, for more than an aggregate of 45 calendar days (which need not be consecutive days) during any 12-month period (other than as a result of a material breach of this Agreement by a Holder or a Holders failure to return a Selling Stockholder Questionnaire within the time period provided by Section 2(d) hereof) (any such failure or breach in clauses (i) through (iii) above being referred to as an Event, and, for purposes of clauses (i) or (ii), the date on which such Event occurs, or for purposes of clause (iii), the date on which such 45 calendar day period is exceeded, being referred to as an Event Date), then in addition to any other rights the Holders may have hereunder or under applicable law: (x) within five Business Days after an Event Date relating to a failure in clause (i) only, the Company shall pay to each Holder an amount in cash, as liquidated damages and not as a penalty, equal to 1.0% of the aggregate purchase price paid by such Holder pursuant to the Purchase Agreement for any Registrable Securities held by such Holder on such Event Date; and (y) on each 30-day anniversary (or pro rata portion thereof) following any Event Date (including, for the avoidance of doubt, a failure in clause (i), in which case each 30-day anniversary shall be measured commencing on the 31st day following such Event Date) until the earlier of (1) the applicable Event is cured or (2) the Registrable Securities are eligible for resale pursuant to Rule 144 without manner of sale or volume restrictions, the Company shall pay to each Holder an amount in cash, as liquidated damages and not as a penalty, equal to 1.0% of the aggregate purchase price paid by such Holder pursuant to the Purchase Agreement for any unregistered Registrable Securities then held by such Holder. The amounts payable pursuant to the foregoing clauses (x) and (y) are referred to collectively as Liquidated Damages. The parties agree that (1) notwithstanding anything to the contrary herein or in the Purchase Agreement, no Liquidated Damages shall be payable with respect to any period after the expiration of the Effectiveness Period and in no event shall the aggregate amount of Liquidated Damages payable to a Holder exceed, in the aggregate, 6.0% of the aggregate purchase price paid by such Holder pursuant to the Purchase Agreement and (2) in no event shall the Company be liable in any 30-day period for Liquidated Damages under this Agreement in excess of 1.0% of the aggregate purchase price paid by the Holders pursuant to the Purchase Agreement. If the Company fails to pay any Liquidated Damages pursuant to this Section 2(c) in full within 30 Business Days after the date payable, the Company will pay interest thereon at a rate of 1.0% per month (or such lesser maximum amount that is permitted to be paid by applicable law) to the Holder, accruing daily from the date such Liquidated Damages are due until such amounts, plus all such interest thereon, are paid in full. Unless otherwise specified in Section 2(c), the Liquidated Damages pursuant to the terms hereof shall apply on a daily pro-rata basis for any portion of a month prior to the cure of an Event, except in the case of the first Event Date. Notwithstanding the foregoing, nothing shall preclude any Holder from pursuing or obtaining any available remedies at law, specific performance or other equitable relief with respect to this Section 2(c) in accordance with applicable law. The Company shall not be liable for Liquidated Damages under this Agreement as to any Registrable Securities which may then be resold under Rule 144 or which are not permitted by the Commission to be included in a Registration Statement due solely to SEC Guidance from the time that it is determined that such Registrable Securities are not permitted to be registered until such time as the provisions of this Agreement as to the Remainder Registration Statements required to be filed hereunder are triggered, in which case the provisions of this Section 2(c) shall once again apply, if applicable. In such case, the Liquidated Damages shall be calculated to only apply to the percentage of Registrable Securities which are permitted in accordance with SEC Guidance to be included in such Registration Statement. The Effectiveness Deadline for a Registration Statement shall be extended without default or Liquidated Damages hereunder in the event that the Companys failure to obtain the effectiveness of the Registration Statement on a timely basis results from the failure of a Holder to timely provide the Company with information requested by the Company and necessary to complete the Registration Statement in accordance with the requirements of the Securities Act ( in which the Effectiveness Deadline would be extended with respect to Registrable Securities held by such Holder).", "ner": [[383, 386, "Percentage"], [399, 400, "Title"], [494, 495, "Regulation"], [637, 640, "Percentage"], [711, 715, "Regulation"], [920, 921, "Regulation"], [1084, 1085, "Act"]], "tokenized_text": ["(", "c", ")", "If", ":", "(", "i", ")", "the", "Initial", "Registration", "Statement", "is", "not", "filed", "with", "the", "Commission", "on", "or", "prior", "to", "the", "Filing", "Deadline", ",", "(", "ii", ")", "the", 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"the", "Purchase", "Agreement", "for", "any", "Registrable", "Securities", "held", "by", "such", "Holder", "on", "such", "Event", "Date", ";", "and", "(", "y", ")", "on", "each", "30-day", "anniversary", "(", "or", "pro", "rata", "portion", "thereof", ")", "following", "any", "Event", "Date", "(", "including", ",", "for", "the", "avoidance", "of", "doubt", ",", "a", "failure", "in", "clause", "(", "i", ")", ",", "in", "which", "case", "each", "30-day", "anniversary", "shall", "be", "measured", "commencing", "on", "the", "31st", "day", "following", "such", "Event", "Date", ")", "until", "the", "earlier", "of", "(", "1", ")", "the", "applicable", "Event", "is", "cured", "or", "(", "2", ")", "the", "Registrable", "Securities", "are", "eligible", "for", "resale", "pursuant", "to", "Rule", "144", "without", "manner", "of", "sale", "or", "volume", "restrictions", ",", "the", "Company", "shall", "pay", "to", "each", "Holder", "an", "amount", "in", "cash", ",", "as", "liquidated", "damages", "and", "not", "as", "a", "penalty", ",", "equal", "to", "1", ".", "0", "%", "of", "the", "aggregate", "purchase", "price", "paid", "by", "such", "Holder", "pursuant", "to", "the", "Purchase", "Agreement", "for", "any", "unregistered", "Registrable", "Securities", "then", "held", "by", "such", "Holder", ".", "The", "amounts", "payable", "pursuant", "to", "the", "foregoing", "clauses", "(", "x", ")", "and", "(", "y", ")", "are", "referred", "to", "collectively", "as", "Liquidated", "Damages", ".", "The", "parties", "agree", "that", "(", "1", ")", "notwithstanding", "anything", "to", "the", "contrary", "herein", "or", "in", "the", "Purchase", "Agreement", ",", "no", "Liquidated", "Damages", "shall", "be", "payable", "with", "respect", "to", "any", "period", "after", "the", "expiration", "of", "the", "Effectiveness", "Period", "and", "in", "no", "event", "shall", "the", "aggregate", "amount", "of", "Liquidated", "Damages", "payable", "to", "a", "Holder", "exceed", ",", "in", "the", "aggregate", ",", "6", ".", "0", "%", "of", "the", "aggregate", "purchase", "price", "paid", "by", "such", "Holder", "pursuant", "to", "the", "Purchase", "Agreement", "and", "(", "2", ")", "in", "no", "event", "shall", "the", "Company", "be", "liable", "in", "any", "30-day", "period", "for", "Liquidated", "Damages", "under", "this", "Agreement", "in", "excess", "of", "1", ".", "0", "%", "of", "the", "aggregate", "purchase", "price", "paid", "by", "the", "Holders", "pursuant", "to", "the", "Purchase", "Agreement", ".", "If", "the", "Company", "fails", "to", "pay", "any", "Liquidated", "Damages", "pursuant", "to", "this", "Section", "2", "(", "c", ")", "in", "full", "within", "30", "Business", "Days", "after", "the", "date", "payable", ",", "the", "Company", "will", "pay", "interest", "thereon", "at", "a", "rate", "of", "1", ".", "0", "%", "per", "month", "(", "or", "such", "lesser", "maximum", "amount", "that", "is", "permitted", "to", "be", "paid", "by", "applicable", "law", ")", "to", "the", "Holder", ",", "accruing", "daily", "from", "the", "date", "such", "Liquidated", "Damages", "are", "due", "until", "such", "amounts", ",", "plus", "all", "such", "interest", "thereon", ",", "are", "paid", "in", "full", ".", "Unless", "otherwise", "specified", "in", "Section", "2", "(", "c", ")", ",", "the", "Liquidated", "Damages", "pursuant", "to", "the", "terms", "hereof", "shall", "apply", "on", "a", "daily", "pro-rata", "basis", "for", "any", "portion", "of", "a", "month", "prior", "to", "the", "cure", "of", "an", "Event", ",", "except", "in", "the", "case", "of", "the", "first", "Event", "Date", ".", "Notwithstanding", "the", "foregoing", ",", "nothing", "shall", "preclude", "any", "Holder", "from", "pursuing", "or", "obtaining", "any", "available", "remedies", "at", "law", ",", "specific", "performance", "or", "other", "equitable", "relief", "with", "respect", "to", "this", "Section", "2", "(", "c", ")", "in", "accordance", "with", "applicable", "law", ".", "The", "Company", "shall", "not", "be", "liable", "for", "Liquidated", "Damages", "under", "this", "Agreement", "as", "to", "any", "Registrable", "Securities", "which", "may", "then", "be", "resold", "under", "Rule", "144", "or", "which", "are", "not", "permitted", "by", "the", "Commission", "to", "be", "included", "in", "a", "Registration", "Statement", "due", "solely", "to", "SEC", "Guidance", "from", "the", "time", "that", "it", "is", "determined", "that", "such", "Registrable", "Securities", "are", "not", "permitted", "to", "be", "registered", "until", "such", "time", "as", "the", "provisions", "of", "this", "Agreement", "as", "to", "the", "Remainder", "Registration", "Statements", "required", "to", "be", "filed", "hereunder", "are", "triggered", ",", "in", "which", "case", "the", "provisions", "of", "this", "Section", "2", "(", "c", ")", "shall", "once", "again", "apply", ",", "if", "applicable", ".", "In", "such", "case", ",", "the", "Liquidated", "Damages", "shall", "be", "calculated", 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{"id": "16767", "text": "(b)(i) Subject to Section 3(h), prepare and file with the Commission such amendments (including post-effective amendments) and supplements to each Registration Statement and the Prospectus used in connection therewith as may be necessary to keep such Registration Statement continuously effective as to the applicable Registrable Securities for its Effectiveness Period; (ii) cause the related Prospectus to be amended or supplemented by any required Prospectus supplement (subject to the terms of this Agreement), and, as so supplemented or amended, to be filed pursuant to Rule 424; (iii) respond as promptly as reasonably practicable to any comments received from the Commission with respect to each Registration Statement or any amendment thereto and, as promptly as reasonably possible, provide the Holders true and complete copies of all correspondence from and to the Commission relating to such Registration Statement that pertains to the Holders as Selling Stockholders but not any comments that would result in the disclosure to the Holders of material and non-public information concerning the Company; and (iv) comply with the provisions of the Securities Act and the Exchange Act with respect to the disposition of all Registrable Securities covered by a Registration Statement until such time as all of such Registrable Securities cease to be Registrable Securities or shall have been disposed of (subject to the terms of this Agreement) in accordance with the intended methods of disposition by the Holders thereof as set forth in such Registration Statement as so amended or in such Prospectus as so supplemented; provided, however, that in the event the Company informs the Holders in writing that it does not satisfy the conditions specified in Rule 172 and, as a result thereof, the Holders are required to deliver a Prospectus in connection with any disposition of Registrable Securities, the Company shall deliver to the Holders a copy of the Prospectus in electronic format and each such Holder shall be responsible for the delivery of the Prospectus to the Persons to whom such Holder sells any of the Registrable Securities, and each Holder agrees to dispose of Registrable Securities in compliance with the Plan of Distribution described in the Registration Statement and otherwise in compliance with applicable federal and state securities laws. In the case of amendments and supplements to a Registration Statement which are required to be filed pursuant to this Agreement (including pursuant to this Section 3(b)) by reason of the Company filing a report on Form 10-K, Form 10-Q or Form 8-K or any analogous report under the Exchange Act, the Company shall have incorporated such report by reference into such Registration Statement, if applicable, or shall file such amendments or supplements with the Commission on the same day on which the Exchange Act report which created the requirement for the Company to amend or supplement such Registration Statement was filed.", "ner": [[8, 9, "Regulation"], [35, 35, "Title"], [102, 103, "Regulation"], [199, 200, "Act"], [203, 204, "Act"], [302, 303, "Regulation"]], "tokenized_text": ["(", "b", ")", "(", "i", ")", "Subject", "to", "Section", "3", "(", "h", ")", ",", "prepare", "and", "file", "with", "the", "Commission", "such", "amendments", "(", "including", "post-effective", "amendments", 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{"id": "16768", "text": "4.Registration Expenses . All fees and expenses incident to the Companys performance of or compliance with its obligations under this Agreement (excluding any underwriting discounts and selling commissions and all legal fees and expenses of legal counsel for any Holder) shall be borne by the Company whether or not any Registrable Securities are sold pursuant to a Registration Statement. The fees and expenses referred to in the foregoing sentence shall include, without limitation, (i) all registration and filing fees (including, without limitation, fees and expenses (A) with respect to filings required to be made with any Trading Market on which the Common Stock is then listed for trading, (B) with respect to compliance with applicable state securities or Blue Sky laws (including, without limitation, fees and disbursements of counsel for the Company in connection with Blue Sky qualifications or exemptions of the Registrable Securities and determination of the eligibility of the Registrable Securities for investment under the laws of such jurisdictions as requested by the Holders, but not including any jurisdictions outside the United States) and (C) if not previously paid by the Company pursuant to Section 3(j) hereof, with respect to any filing that may be required to be made by any broker through which a Holder intends to make sales of Registrable Securities with FINRA pursuant to FINRA Rule 5110), (ii) printing expenses (including, without limitation, expenses of printing certificates for Registrable Securities and of printing prospectuses if the printing of prospectuses is reasonably requested by the Holders of a majority of the Registrable Securities included in the Registration Statement), (iii) messenger, telephone and delivery expenses, (iv) fees and disbursements of counsel for the Company, (v) Securities Act liability insurance, if the Company so desires such insurance, and (vi) fees and expenses of all other Persons retained by the Company in connection with the consummation of the transactions contemplated by this Agreement. In addition, the Company shall be responsible for all of its internal expenses incurred in connection with the consummation of the transactions contemplated by this Agreement (including, without limitation, all salaries and expenses of its officers and employees performing legal or accounting duties), the expense of any annual audit and the fees and expenses incurred in connection with the listing of the Registrable Securities on any securities exchange as required hereunder. In no event shall the Company be responsible for any underwriting, broker or similar fees or commissions of any Holder or any legal fees or other costs of the Holders.", "ner": [[247, 249, "Regulation"], [324, 325, "Act"]], "tokenized_text": ["4", ".", "Registration", "Expenses", ".", "All", "fees", "and", "expenses", "incident", "to", "the", "Companys", "performance", "of", "or", "compliance", "with", "its", "obligations", "under", "this", "Agreement", "(", "excluding", "any", "underwriting", "discounts", "and", "selling", "commissions", "and", "all", "legal", "fees", "and", "expenses", "of", "legal", "counsel", "for", "any", "Holder", ")", "shall", "be", "borne", "by", "the", "Company", "whether", "or", "not", "any", "Registrable", "Securities", "are", "sold", "pursuant", "to", "a", "Registration", "Statement", ".", "The", "fees", "and", "expenses", "referred", "to", "in", "the", "foregoing", "sentence", "shall", "include", ",", "without", "limitation", ",", "(", "i", ")", "all", "registration", "and", "filing", "fees", "(", "including", ",", "without", "limitation", ",", "fees", "and", "expenses", "(", "A", ")", "with", "respect", "to", "filings", "required", "to", "be", "made", "with", "any", "Trading", "Market", "on", "which", "the", "Common", "Stock", "is", "then", "listed", "for", "trading", ",", "(", "B", ")", "with", "respect", "to", "compliance", "with", "applicable", "state", "securities", "or", "Blue", "Sky", "laws", "(", "including", ",", "without", "limitation", ",", "fees", "and", "disbursements", "of", "counsel", "for", "the", "Company", "in", "connection", "with", "Blue", "Sky", "qualifications", "or", "exemptions", "of", "the", "Registrable", "Securities", "and", "determination", "of", "the", "eligibility", "of", "the", "Registrable", "Securities", "for", "investment", "under", "the", "laws", "of", "such", "jurisdictions", "as", "requested", "by", "the", "Holders", ",", "but", "not", "including", "any", "jurisdictions", "outside", "the", "United", "States", ")", "and", "(", "C", ")", "if", "not", "previously", "paid", "by", "the", "Company", "pursuant", "to", "Section", "3", "(", "j", ")", "hereof", ",", "with", "respect", "to", "any", "filing", "that", "may", "be", "required", "to", "be", "made", "by", "any", "broker", "through", "which", "a", "Holder", "intends", "to", "make", "sales", "of", "Registrable", "Securities", "with", "FINRA", "pursuant", "to", "FINRA", "Rule", "5110", ")", ",", "(", "ii", ")", "printing", "expenses", "(", "including", ",", "without", "limitation", ",", "expenses", "of", "printing", "certificates", "for", "Registrable", "Securities", "and", "of", "printing", "prospectuses", "if", "the", "printing", "of", "prospectuses", "is", "reasonably", "requested", "by", "the", "Holders", "of", "a", "majority", "of", "the", "Registrable", "Securities", "included", "in", "the", "Registration", "Statement", ")", ",", "(", "iii", ")", "messenger", ",", "telephone", "and", "delivery", "expenses", ",", "(", "iv", ")", "fees", "and", "disbursements", "of", "counsel", "for", "the", "Company", ",", "(", "v", ")", "Securities", "Act", "liability", "insurance", ",", "if", "the", "Company", "so", "desires", "such", "insurance", ",", "and", "(", "vi", ")", "fees", "and", "expenses", "of", "all", "other", "Persons", "retained", "by", "the", "Company", "in", "connection", "with", "the", "consummation", "of", "the", "transactions", "contemplated", "by", "this", "Agreement", ".", "In", "addition", ",", "the", "Company", "shall", "be", "responsible", "for", "all", "of", "its", "internal", "expenses", "incurred", "in", "connection", "with", "the", "consummation", "of", "the", "transactions", "contemplated", "by", "this", "Agreement", "(", "including", ",", "without", "limitation", ",", "all", "salaries", "and", "expenses", "of", "its", "officers", "and", "employees", "performing", "legal", "or", "accounting", "duties", ")", ",", "the", "expense", "of", "any", "annual", "audit", "and", "the", "fees", "and", "expenses", "incurred", "in", "connection", "with", "the", "listing", "of", "the", "Registrable", "Securities", "on", "any", "securities", "exchange", "as", "required", "hereunder", ".", "In", "no", "event", "shall", "the", "Company", "be", "responsible", "for", "any", "underwriting", ",", "broker", "or", "similar", "fees", "or", "commissions", "of", "any", "Holder", "or", "any", "legal", "fees", "or", "other", "costs", "of", "the", "Holders", "."]}
{"id": "15769", "text": "(a)Indemnification by the Company. The Company shall, notwithstanding any termination of this Agreement, indemnify and hold harmless each Holder, the officers, directors, agents, partners, members, managers, stockholders, Affiliates and employees of each of them, each Person who controls any such Holder (within the meaning of Section 15 of the Securities Act or Section 20 of the Exchange Act) and the officers, directors, partners, members, managers, stockholders, agents and employees of each such controlling Person, to the fullest extent permitted by applicable law, from and against any and all losses, claims, damages, liabilities, amounts paid in settlement in accordance with Section 5(c) hereof, costs (including, without limitation, reasonable costs of preparation and investigation and reasonable attorneys fees) and expenses (collectively, Losses), as incurred, that arise out of or are based upon (i) any untrue or alleged untrue statement of a material fact contained in any Registration Statement, any Prospectus or in any amendment or supplement thereto (it being understood that the Holder has approved Annex A hereto for this purpose), or arising out of or relating to any omission or alleged omission to state a material fact required to be stated therein or necessary to make the statements therein (in the case of any Prospectus or supplement thereto, in light of the circumstances under which they were made) not misleading or (ii) any violation or alleged violation by the Company of the Securities Act , the Exchange Act or any state securities law, or any rule or regulation thereunder relating to the offer or sale of the Registrable Securities pursuant to the Registration Statement, except to the extent, but only to the extent that (A) such untrue statements, alleged untrue statements, omissions or alleged omissions are based solely upon information regarding such Holder furnished in writing to the Company by such Holder, or to the extent that such information relates to such Holder or such Holders proposed method of distribution of Registrable Securities and was reviewed and approved in writing by such Holder expressly for use in the Registration Statement, such Prospectus or in any amendment or supplement thereto (it being understood that each Holder has approved Annex A hereto for this purpose); provided, that such untrue statement or alleged untrue statement or omission or alleged omission had not been corrected in such Prospectus or in any amendment or supplement thereto prior to, or concurrently with, the sale of Registrable Securities to the person asserting the applicable indemnification claim, or (B) in the case of an occurrence of an event of the type specified in Section 3(c)(iii)-(vi), related to the use by a Holder of an outdated or defective Prospectus after the Company has notified such Holder in writing that the Prospectus is outdated or defective and prior to the receipt by such Holder of the Advice contemplated and defined in Section 6(d) below, following the receipt of the Advice the misstatement or omission giving rise to such Loss would have been corrected, or (C) any such Losses arise out of the Purchasers (or any other indemnified Persons) failure to send or give a copy of the Prospectus or supplement (as then amended or supplemented), if required pursuant to Rule 172 under the Securities Act ( or any successor rule), to the Persons asserting an untrue statement or alleged untrue statement or alleged untrue statement or omission or alleged omission at or prior to the written confirmation of the sale of Registrable Securities to such Person if such statement or omission was corrected in such Prospectus or supplement. The Company shall notify the Holders promptly of the institution, threat or assertion of any Proceeding arising from or in connection with the transactions contemplated by this Agreement of which the Company is aware. Such indemnity shall remain in full force and effect regardless of any investigation made by or on behalf of an Indemnified Party (as defined in Section 5(c)) and shall survive the transfer of the Registrable Securities by the Holders.", "ner": [[61, 62, "TerminationDate"], [65, 66, "Act"], [72, 73, "Act"], [192, 192, "Title"], [622, 623, "Regulation"]], "tokenized_text": ["(", "a", ")", "Indemnification", "by", "the", "Company", ".", "The", "Company", "shall", ",", "notwithstanding", "any", "termination", "of", "this", "Agreement", ",", "indemnify", "and", "hold", "harmless", "each", "Holder", ",", "the", "officers", ",", "directors", ",", "agents", ",", "partners", ",", "members", ",", "managers", ",", "stockholders", ",", "Affiliates", "and", "employees", "of", "each", "of", "them", ",", "each", "Person", "who", "controls", "any", "such", "Holder", "(", "within", "the", "meaning", "of", "Section", "15", "of", "the", "Securities", "Act", "or", "Section", "20", "of", "the", "Exchange", "Act", ")", "and", "the", "officers", ",", "directors", ",", "partners", ",", "members", ",", "managers", ",", "stockholders", ",", "agents", "and", "employees", "of", "each", "such", "controlling", "Person", ",", "to", "the", "fullest", "extent", "permitted", "by", "applicable", "law", ",", "from", "and", "against", "any", "and", "all", "losses", ",", "claims", ",", "damages", ",", "liabilities", ",", "amounts", "paid", "in", "settlement", "in", "accordance", "with", "Section", "5", "(", "c", ")", "hereof", ",", "costs", "(", "including", ",", "without", "limitation", ",", "reasonable", "costs", "of", "preparation", "and", "investigation", "and", "reasonable", "attorneys", "fees", ")", "and", "expenses", "(", "collectively", ",", "Losses", ")", ",", "as", "incurred", ",", "that", "arise", "out", "of", "or", "are", "based", "upon", "(", "i", ")", "any", "untrue", "or", "alleged", "untrue", "statement", "of", "a", "material", "fact", "contained", "in", "any", "Registration", "Statement", ",", "any", "Prospectus", "or", "in", "any", "amendment", "or", "supplement", "thereto", "(", "it", "being", "understood", "that", "the", "Holder", "has", "approved", "Annex", "A", "hereto", "for", "this", "purpose", ")", ",", "or", "arising", "out", "of", "or", "relating", "to", "any", "omission", "or", "alleged", "omission", "to", "state", "a", "material", "fact", "required", "to", "be", "stated", "therein", "or", "necessary", "to", "make", "the", "statements", "therein", "(", "in", "the", "case", "of", "any", "Prospectus", "or", "supplement", "thereto", ",", "in", "light", "of", "the", "circumstances", "under", "which", "they", "were", "made", ")", "not", "misleading", "or", "(", "ii", ")", "any", "violation", "or", "alleged", "violation", "by", "the", "Company", "of", "the", "Securities", "Act", ",", "the", "Exchange", "Act", "or", "any", "state", "securities", "law", ",", "or", "any", "rule", "or", "regulation", "thereunder", "relating", "to", "the", "offer", "or", "sale", "of", "the", "Registrable", "Securities", "pursuant", "to", "the", "Registration", "Statement", ",", "except", "to", "the", "extent", ",", "but", "only", "to", "the", "extent", "that", "(", "A", ")", "such", "untrue", "statements", ",", "alleged", "untrue", "statements", ",", "omissions", "or", "alleged", "omissions", "are", "based", "solely", "upon", "information", "regarding", "such", "Holder", "furnished", "in", "writing", "to", "the", "Company", "by", "such", "Holder", ",", "or", "to", "the", "extent", "that", "such", "information", "relates", "to", "such", "Holder", "or", "such", "Holders", "proposed", "method", "of", "distribution", "of", "Registrable", "Securities", "and", "was", "reviewed", "and", "approved", "in", "writing", "by", "such", "Holder", "expressly", "for", "use", "in", "the", "Registration", "Statement", ",", "such", "Prospectus", "or", "in", "any", "amendment", "or", "supplement", "thereto", "(", "it", "being", "understood", "that", "each", "Holder", "has", "approved", "Annex", "A", "hereto", "for", "this", "purpose", ")", ";", "provided", ",", "that", "such", "untrue", "statement", "or", "alleged", "untrue", "statement", "or", "omission", "or", "alleged", "omission", "had", "not", "been", "corrected", "in", "such", "Prospectus", "or", "in", "any", "amendment", "or", "supplement", "thereto", "prior", "to", ",", "or", "concurrently", "with", ",", "the", "sale", "of", "Registrable", "Securities", "to", "the", "person", "asserting", "the", "applicable", "indemnification", "claim", ",", "or", "(", "B", ")", "in", "the", "case", "of", "an", "occurrence", "of", "an", "event", "of", "the", "type", "specified", "in", "Section", "3", "(", "c", ")", "(", "iii", ")", "-", "(", "vi", ")", ",", "related", "to", "the", "use", "by", "a", "Holder", "of", "an", "outdated", "or", "defective", "Prospectus", "after", "the", "Company", "has", "notified", "such", "Holder", "in", "writing", "that", "the", "Prospectus", "is", "outdated", "or", "defective", "and", "prior", "to", "the", "receipt", "by", "such", "Holder", "of", "the", "Advice", "contemplated", "and", "defined", "in", "Section", "6", "(", "d", ")", "below", ",", "following", "the", "receipt", "of", "the", "Advice", "the", "misstatement", "or", "omission", "giving", "rise", "to", "such", "Loss", "would", "have", "been", "corrected", ",", "or", "(", "C", ")", "any", "such", "Losses", "arise", "out", "of", "the", "Purchasers", "(", "or", "any", "other", "indemnified", "Persons", ")", "failure", "to", "send", "or", "give", "a", "copy", "of", "the", "Prospectus", "or", "supplement", "(", "as", "then", "amended", "or", "supplemented", ")", ",", "if", "required", "pursuant", "to", "Rule", "172", "under", "the", "Securities", "Act", "(", "or", "any", "successor", "rule", ")", ",", "to", "the", "Persons", "asserting", "an", "untrue", "statement", "or", "alleged", "untrue", "statement", "or", "alleged", "untrue", "statement", "or", "omission", "or", "alleged", "omission", "at", "or", "prior", "to", "the", "written", "confirmation", "of", "the", "sale", "of", "Registrable", "Securities", "to", "such", "Person", "if", "such", "statement", "or", "omission", "was", "corrected", "in", "such", "Prospectus", "or", "supplement", ".", "The", "Company", "shall", "notify", "the", "Holders", "promptly", "of", "the", "institution", ",", "threat", "or", "assertion", "of", "any", "Proceeding", "arising", "from", "or", "in", "connection", "with", "the", "transactions", "contemplated", "by", "this", "Agreement", "of", "which", "the", "Company", "is", "aware", ".", "Such", "indemnity", "shall", "remain", "in", "full", "force", "and", "effect", "regardless", "of", "any", "investigation", "made", "by", "or", "on", "behalf", "of", "an", "Indemnified", "Party", "(", "as", "defined", "in", "Section", "5", "(", "c", ")", ")", "and", "shall", "survive", "the", "transfer", "of", "the", "Registrable", "Securities", "by", "the", "Holders", "."]}
{"id": "16772", "text": "(a)If, at any time when there are Registrable Securities then outstanding aside from the period beginning on the date when the Company files the Initial Registration Statement with the Commission and ending on the date when the Commission declares the Initial Registration Statement effective, there is not an effective Registration Statement covering all of the Registrable Securities and the Company shall determine to prepare and file with the Commission a registration statement relating to an offering for its own account or the account of others under the Securities Act of any of its equity securities (other than a registration statement relating to a rights offering, or on Form S-4 or Form S-8 (each as promulgated under the Securities Act ) or their then equivalents relating to equity securities to be issued solely in connection with any acquisition of or merger with any entity or business or equity securities issuable in connection with the Companys equity incentive or other employee benefit plans), and even if there is such an effective Registration Statement covering all of the Registrable Securities, in the event that such offering for its own account or the account of others is to be underwritten, then the Company shall deliver to each Holder a written notice of such determination, and if, within ten (10) days after the date of the delivery of such notice, any such Holder shall so request in writing, the Company shall use its commercially reasonable efforts to include in such registration statement all or any part of any Registrable Securities such Holder requests to be registered. The Company shall have the right to postpone, terminate or withdraw any registration initiated by it under this Section 6(a) prior to the effectiveness of such registration whether or not any Holder has elected to include securities in such registration.", "ner": [[92, 93, "Act"]], "tokenized_text": ["(", "a", ")", "If", ",", "at", "any", "time", "when", "there", "are", "Registrable", "Securities", "then", "outstanding", "aside", "from", "the", "period", "beginning", "on", "the", "date", "when", "the", "Company", "files", "the", "Initial", "Registration", "Statement", "with", "the", "Commission", "and", "ending", "on", "the", "date", "when", "the", "Commission", "declares", "the", "Initial", "Registration", "Statement", "effective", ",", "there", "is", "not", "an", "effective", "Registration", "Statement", "covering", "all", "of", "the", "Registrable", "Securities", "and", "the", "Company", "shall", "determine", "to", "prepare", "and", "file", "with", "the", "Commission", "a", "registration", "statement", "relating", "to", "an", "offering", "for", "its", "own", "account", "or", "the", "account", "of", "others", "under", "the", "Securities", "Act", "of", "any", "of", "its", "equity", "securities", "(", "other", "than", "a", "registration", "statement", "relating", "to", "a", "rights", "offering", ",", "or", "on", "Form", "S-4", "or", "Form", "S-8", "(", "each", "as", "promulgated", "under", "the", "Securities", "Act", ")", "or", "their", "then", "equivalents", "relating", "to", "equity", "securities", "to", "be", "issued", "solely", "in", "connection", "with", "any", "acquisition", "of", "or", "merger", "with", "any", "entity", "or", "business", "or", "equity", "securities", "issuable", "in", "connection", "with", "the", "Companys", "equity", "incentive", "or", "other", "employee", "benefit", "plans", ")", ",", "and", "even", "if", "there", "is", "such", "an", "effective", "Registration", "Statement", "covering", "all", "of", "the", "Registrable", "Securities", ",", "in", "the", "event", "that", "such", "offering", "for", "its", "own", "account", "or", "the", "account", "of", "others", "is", "to", "be", "underwritten", ",", "then", "the", "Company", "shall", "deliver", "to", "each", "Holder", "a", "written", "notice", "of", "such", "determination", ",", "and", "if", ",", "within", "ten", "(", "10", ")", "days", "after", "the", "date", "of", "the", "delivery", "of", "such", "notice", ",", "any", "such", "Holder", "shall", "so", "request", "in", "writing", ",", "the", "Company", "shall", "use", "its", "commercially", "reasonable", "efforts", "to", "include", "in", "such", "registration", "statement", "all", "or", "any", "part", "of", "any", "Registrable", "Securities", "such", "Holder", "requests", "to", "be", "registered", ".", "The", "Company", "shall", "have", "the", "right", "to", "postpone", ",", "terminate", "or", "withdraw", "any", "registration", "initiated", "by", "it", "under", "this", "Section", "6", "(", "a", ")", "prior", "to", "the", "effectiveness", "of", "such", "registration", "whether", "or", "not", "any", "Holder", "has", "elected", "to", "include", "securities", "in", "such", "registration", "."]}
{"id": "16778", "text": "Upon being notified in writing by a selling stockholder that any material arrangement has been entered into with a broker-dealer for the sale of common stock through a block trade, special offering, exchange distribution or secondary distribution or a purchase by a broker or dealer, we will file a supplement to this prospectus, if required, pursuant to Rule 424(b) under the Securities Act , disclosing (i) the name of such selling stockholder and of the participating broker-dealer(s), (ii) the number of shares involved, (iii) the price at which such shares of common stock were sold, (iv) the commissions paid or discounts or concessions allowed to such broker-dealer(s), where applicable, (v) that such broker-dealer(s) did not conduct any investigation to verify the information set out or incorporated by reference in this prospectus, and (vi) other facts material to the transaction. In addition, upon being notified in writing by the selling stockholder that a donee or pledge intends to sell more than 500 shares of common stock, we will file a supplement to this prospectus if then required in accordance with applicable securities law.", "ner": [[62, 66, "Regulation"], [69, 70, "Act"]], "tokenized_text": ["Upon", "being", "notified", "in", "writing", "by", "a", "selling", "stockholder", "that", "any", "material", "arrangement", "has", "been", "entered", "into", "with", "a", "broker-dealer", "for", "the", "sale", "of", "common", "stock", "through", "a", "block", "trade", ",", "special", "offering", ",", "exchange", "distribution", "or", "secondary", "distribution", "or", "a", "purchase", "by", "a", "broker", "or", "dealer", ",", "we", "will", "file", "a", "supplement", "to", "this", "prospectus", ",", "if", "required", ",", "pursuant", "to", "Rule", "424", "(", "b", ")", "under", "the", "Securities", "Act", ",", "disclosing", "(", "i", ")", "the", "name", "of", "such", "selling", "stockholder", "and", "of", "the", "participating", "broker-dealer", "(", "s", ")", ",", "(", "ii", ")", "the", "number", "of", "shares", "involved", ",", "(", "iii", ")", "the", "price", "at", "which", "such", "shares", "of", "common", "stock", "were", "sold", ",", "(", "iv", ")", "the", "commissions", "paid", "or", "discounts", "or", "concessions", "allowed", "to", "such", "broker-dealer", "(", "s", ")", ",", "where", "applicable", ",", "(", "v", ")", "that", "such", "broker-dealer", "(", "s", ")", "did", "not", "conduct", "any", "investigation", "to", "verify", "the", "information", "set", "out", "or", "incorporated", "by", "reference", "in", "this", "prospectus", ",", "and", "(", "vi", ")", "other", "facts", "material", "to", "the", "transaction", ".", "In", "addition", ",", "upon", "being", "notified", "in", "writing", "by", "the", "selling", "stockholder", "that", "a", "donee", "or", "pledge", "intends", "to", "sell", "more", "than", "500", "shares", "of", "common", "stock", ",", "we", "will", "file", "a", "supplement", "to", "this", "prospectus", "if", "then", "required", "in", "accordance", "with", "applicable", "securities", "law", "."]}
{"id": "16779", "text": "The selling stockholders and any broker-dealers or agents that are involved in selling the shares may be deemed to be underwriters within the meaning of the Securities Act in connection with such sales. In such event, any commissions received by such broker-dealers or agents and any profit on the resale of the shares purchased by them may be deemed to be underwriting commissions or discounts under the Securities Act .&lt; br/&gt;", "ner": [[26, 27, "Act"]], "tokenized_text": ["The", "selling", "stockholders", "and", "any", "broker-dealers", "or", "agents", "that", "are", "involved", "in", "selling", "the", "shares", "may", "be", "deemed", "to", "be", "underwriters", "within", "the", "meaning", "of", "the", "Securities", "Act", "in", "connection", "with", "such", "sales", ".", "In", "such", "event", ",", "any", "commissions", "received", "by", "such", "broker-dealers", "or", "agents", "and", "any", "profit", "on", "the", "resale", "of", "the", "shares", "purchased", "by", "them", "may", "be", "deemed", "to", "be", "underwriting", "commissions", "or", "discounts", "under", "the", "Securities", "Act", ".", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "16782", "text": "The undersigned holder of shares of the common stock, par value $0.0001 per share, of Corindus Vascular Robotics, Inc. (the Company) understands that the Company intends to file with the Securities and Exchange Commission a registration statement on Form S-3, or if Form S-3 is not available, Form S-1 (the Resale Registration Statement) for the registration and the resale under Rule 415 of the Securities Act of 1933 , as amended (the Securities Act ), of the Registrable Securities in accordance with the terms of the Registration Rights Agreement. All capitalized terms not otherwise defined herein shall have the meanings ascribed thereto in the Registration Rights Agreement.", "ner": [[12, 15, "Price"], [73, 74, "Regulation"], [77, 80, "Act"], [101, 103, "Title"]], "tokenized_text": ["The", "undersigned", "holder", "of", "shares", "of", "the", "common", "stock", ",", "par", "value", "$", "0", ".", "0001", "per", "share", ",", "of", "Corindus", "Vascular", "Robotics", ",", "Inc", ".", "(", "the", "Company", ")", "understands", "that", "the", "Company", "intends", "to", "file", "with", "the", "Securities", "and", "Exchange", "Commission", "a", "registration", "statement", "on", "Form", "S-3", ",", "or", "if", "Form", "S-3", "is", "not", "available", ",", "Form", "S-1", "(", "the", "Resale", "Registration", "Statement", ")", "for", "the", "registration", "and", "the", "resale", "under", "Rule", "415", "of", "the", "Securities", "Act", "of", "1933", ",", "as", "amended", "(", "the", "Securities", "Act", ")", ",", "of", "the", "Registrable", "Securities", "in", "accordance", "with", "the", "terms", "of", "the", "Registration", "Rights", "Agreement", ".", "All", "capitalized", "terms", "not", "otherwise", "defined", "herein", "shall", "have", "the", "meanings", "ascribed", "thereto", "in", "the", "Registration", "Rights", "Agreement", "."]}
{"id": "16783", "text": "In order to sell or otherwise dispose of any Registrable Securities pursuant to the Resale Registration Statement, a holder of Registrable Securities generally will be required to be named as a selling stockholder in the related prospectus or a supplement thereto (as so supplemented, the Prospectus), deliver the Prospectus to purchasers of Registrable Securities (including pursuant to Rule 172 under the Securities Act ) and be bound by the provisions of the Registration Rights Agreement (including certain indemnification provisions, as described below). Holders must complete and deliver this Notice and Questionnaire in order to be named as selling stockholders in the Prospectus.", "ner": [[63, 64, "Regulation"], [67, 68, "Act"], [78, 80, "Title"]], "tokenized_text": ["In", "order", "to", "sell", "or", "otherwise", "dispose", "of", "any", "Registrable", "Securities", "pursuant", "to", "the", "Resale", "Registration", "Statement", ",", "a", "holder", "of", "Registrable", "Securities", "generally", "will", "be", "required", "to", "be", "named", "as", "a", "selling", "stockholder", "in", "the", "related", "prospectus", "or", "a", "supplement", "thereto", "(", "as", "so", "supplemented", ",", "the", "Prospectus", ")", ",", "deliver", "the", "Prospectus", "to", "purchasers", "of", "Registrable", "Securities", "(", "including", "pursuant", "to", "Rule", "172", "under", "the", "Securities", "Act", ")", "and", "be", "bound", "by", "the", "provisions", "of", "the", "Registration", "Rights", "Agreement", "(", "including", "certain", "indemnification", "provisions", ",", "as", "described", "below", ")", ".", "Holders", "must", "complete", "and", "deliver", "this", "Notice", "and", "Questionnaire", "in", "order", "to", "be", "named", "as", "selling", "stockholders", "in", "the", "Prospectus", "."]}
{"id": "16785", "text": "This Investor Questionnaire (this Questionnaire) must be completed by each potential investor in connection with the offer and sale of the shares of the common stock, par value $0.0001 per share (the Securities), of Corindus Vascular Robotics, Inc., a Delaware corporation (the Company). The Securities are being offered and sold by the Company without registration under the Securities Act of 1933 , as amended (the Act), and the securities laws of certain states, in reliance on the exemptions contained in Section4(2) of the Act and on Regulation D promulgated thereunder and in reliance on similar exemptions under applicable state laws. The Company must determine that a potential investor meets certain suitability requirements before offering or selling Securities to such investor. The purpose of this Questionnaire is to assure the Company that each investor will meet the applicable suitability requirements. The information supplied by you will be used in determining whether you meet such criteria, and reliance upon the private offering exemptions from registration is based in part on the information herein supplied.", "ner": [[31, 34, "Price"], [72, 75, "Act"], [108, 109, "Regulation"]], "tokenized_text": ["This", "Investor", "Questionnaire", "(", "this", "Questionnaire", ")", "must", "be", "completed", "by", "each", "potential", "investor", "in", "connection", "with", "the", "offer", "and", "sale", "of", "the", "shares", "of", "the", "common", "stock", ",", "par", "value", "$", "0", ".", "0001", "per", "share", "(", "the", "Securities", ")", ",", "of", "Corindus", "Vascular", "Robotics", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "the", "Company", ")", ".", "The", "Securities", "are", "being", "offered", "and", "sold", "by", "the", "Company", "without", "registration", "under", "the", "Securities", "Act", "of", "1933", ",", "as", "amended", "(", "the", "Act", ")", ",", "and", "the", "securities", "laws", "of", "certain", "states", ",", "in", "reliance", "on", "the", "exemptions", "contained", "in", "Section4", "(", "2", ")", "of", "the", "Act", "and", "on", "Regulation", "D", "promulgated", "thereunder", "and", "in", "reliance", "on", "similar", "exemptions", "under", "applicable", "state", "laws", ".", "The", "Company", "must", "determine", "that", "a", "potential", "investor", "meets", "certain", "suitability", "requirements", "before", "offering", "or", "selling", "Securities", "to", "such", "investor", ".", "The", "purpose", "of", "this", "Questionnaire", "is", "to", "assure", "the", "Company", "that", "each", "investor", "will", "meet", "the", "applicable", "suitability", "requirements", ".", "The", "information", "supplied", "by", "you", "will", "be", "used", "in", "determining", "whether", "you", "meet", "such", "criteria", ",", "and", "reliance", "upon", "the", "private", "offering", "exemptions", "from", "registration", "is", "based", "in", "part", "on", "the", "information", "herein", "supplied", "."]}
{"id": "16786", "text": "______ (1) A bank as defined in Section 3(a)(2) of the Securities Act , or any savings and loan association or other institution as defined in Section 3(a)(5)(A) of the Securities Act whether acting in its individual or fiduciary capacity;", "ner": [[9, 16, "Regulation"], [19, 20, "Act"], [34, 44, "Regulation"]], "tokenized_text": ["______", "(", "1", ")", "A", "bank", "as", "defined", "in", "Section", "3", "(", "a", ")", "(", "2", ")", "of", "the", "Securities", "Act", ",", "or", "any", "savings", "and", "loan", "association", "or", "other", "institution", "as", "defined", "in", "Section", "3", "(", "a", ")", "(", "5", ")", "(", "A", ")", "of", "the", "Securities", "Act", "whether", "acting", "in", "its", "individual", "or", "fiduciary", "capacity", ";"]}
{"id": "16789", "text": "______ (4) An investment company registered under the Investment Company Act of 1940 or a business development company as defined in Section 2(a)(48) of such act;", "ner": [[10, 14, "Act"]], "tokenized_text": ["______", "(", "4", ")", "An", "investment", "company", "registered", "under", "the", "Investment", "Company", "Act", "of", "1940", "or", "a", "business", "development", "company", "as", "defined", "in", "Section", "2", "(", "a", ")", "(", "48", ")", "of", "such", "act", ";"]}
{"id": "16790", "text": "______ (5) A Small Business Investment Company licensed by the U.S. Small Business Administration under Section 301(c) or (d) of the Small Business Investment Act of 1958 ;", "ner": [[31, 36, "Act"]], "tokenized_text": ["______", "(", "5", ")", "A", "Small", "Business", "Investment", "Company", "licensed", "by", "the", "U", ".", "S", ".", "Small", "Business", "Administration", "under", "Section", "301", "(", "c", ")", "or", "(", "d", ")", "of", "the", "Small", "Business", "Investment", "Act", "of", "1958", ";"]}
{"id": "16793", "text": "3.The execution, delivery and performance of the Transaction Documents by the Company, the compliance with the terms and provisions thereof by the Company and the issuance and sale of the Securities by the Company will not (a) violate the provisions of the Companys Certificate of Incorporation or Bylaws, (b) violate any law, rule or regulation of the United States of America, the Commonwealth of Massachusetts or the State of Delaware that in our experience is normally applicable to transactions of the type contemplated by the Transaction Documents or (c) violate any agreement to which the Company is a party or bound (this opinion being limited (i) to those agreements identified on Exhibit A attached hereto (the Material Contracts) and (ii) in that we express no opinion with respect to any violation or default (x) arising under or based upon any cross-default provision insofar as it relates to a violation or default under an agreement not identified on Exhibit A attached hereto, (y) arising as a result of any violation or default under any agreement or covenant by failure to comply with any financial or numerical requirement requiring computation or (z) under any provisions therein relating to the occurrence of a material adverse event or words of similar import).", "ner": [[49, 51, "Title"], [53, 53, "Title"], [67, 70, "Court"], [73, 75, "Court"], [78, 80, "Court"], [133, 134, "Title"]], "tokenized_text": ["3", ".", "The", "execution", ",", "delivery", "and", "performance", "of", "the", "Transaction", "Documents", "by", "the", "Company", ",", "the", "compliance", "with", "the", "terms", "and", "provisions", "thereof", "by", "the", "Company", "and", "the", "issuance", "and", "sale", "of", "the", "Securities", "by", "the", "Company", "will", "not", "(", "a", ")", "violate", "the", "provisions", "of", "the", "Companys", "Certificate", "of", "Incorporation", "or", "Bylaws", ",", "(", "b", ")", "violate", "any", "law", ",", "rule", "or", "regulation", "of", "the", "United", "States", "of", "America", ",", "the", "Commonwealth", "of", "Massachusetts", "or", "the", "State", "of", "Delaware", "that", "in", "our", "experience", "is", "normally", "applicable", "to", "transactions", "of", "the", "type", "contemplated", "by", "the", "Transaction", "Documents", "or", "(", "c", ")", "violate", "any", "agreement", "to", "which", "the", "Company", "is", "a", "party", "or", "bound", "(", "this", "opinion", "being", "limited", "(", "i", ")", "to", "those", "agreements", "identified", "on", "Exhibit", "A", "attached", "hereto", "(", "the", "Material", "Contracts", ")", "and", "(", "ii", ")", "in", "that", "we", "express", "no", "opinion", "with", "respect", "to", "any", "violation", "or", "default", "(", "x", ")", "arising", "under", "or", "based", "upon", "any", "cross-default", "provision", "insofar", "as", "it", "relates", "to", "a", "violation", "or", "default", "under", "an", "agreement", "not", "identified", "on", "Exhibit", "A", "attached", "hereto", ",", "(", "y", ")", "arising", "as", "a", "result", "of", "any", "violation", "or", "default", "under", "any", "agreement", "or", "covenant", "by", "failure", "to", "comply", "with", "any", "financial", "or", "numerical", "requirement", "requiring", "computation", "or", "(", "z", ")", "under", "any", "provisions", "therein", "relating", "to", "the", "occurrence", "of", "a", "material", "adverse", "event", "or", "words", "of", "similar", "import", ")", "."]}
{"id": "16794", "text": "4.No consent, approval, authorization or order of, or filing, declaration or registration with, any federal, Delaware or Massachusetts governmental agency or body or any court is required in connection with the execution, delivery or performance of the Transaction Documents by the Company, or in connection with the issuance or sale of the Securities by the Company to the Purchasers, except (i) the filing with the Securities and Exchange Commission of one or more Registration Statements in accordance with the requirements of the Registration Rights Agreement, (ii) filings required by applicable state securities laws, (iii) the filing of a Notice of Sale of Securities on Form D with the Securities and Exchange Commission under Regulation D of the Securities Act of 1933 , as amended, (iv) the filing of any requisite notices and/or application(s) to the NYSE MKT for the issuance and sale of the Securities for trading or quotation, as the case may be, thereon in the time and manner required thereby, and (v) those that have been made or obtained prior to the date hereof.", "ner": [[95, 97, "Title"], [132, 133, "Regulation"], [136, 139, "Act"]], "tokenized_text": ["4", ".", "No", "consent", ",", "approval", ",", "authorization", "or", "order", "of", ",", "or", "filing", ",", "declaration", "or", "registration", "with", ",", "any", "federal", ",", "Delaware", "or", "Massachusetts", "governmental", "agency", "or", "body", "or", "any", "court", "is", "required", "in", "connection", "with", "the", "execution", ",", "delivery", "or", "performance", "of", "the", "Transaction", "Documents", "by", "the", "Company", ",", "or", "in", "connection", "with", "the", "issuance", "or", "sale", "of", "the", "Securities", "by", "the", "Company", "to", "the", "Purchasers", ",", "except", "(", "i", ")", "the", "filing", "with", "the", "Securities", "and", "Exchange", "Commission", "of", "one", "or", "more", "Registration", "Statements", "in", "accordance", "with", "the", "requirements", "of", "the", "Registration", "Rights", "Agreement", ",", "(", "ii", ")", "filings", "required", "by", "applicable", "state", "securities", "laws", ",", "(", "iii", ")", "the", "filing", "of", "a", "Notice", "of", "Sale", "of", "Securities", "on", "Form", "D", "with", "the", "Securities", "and", "Exchange", "Commission", "under", "Regulation", "D", "of", "the", "Securities", "Act", "of", "1933", ",", "as", "amended", ",", "(", "iv", ")", "the", "filing", "of", "any", "requisite", "notices", "and", "/", "or", "application", "(", "s", ")", "to", "the", "NYSE", "MKT", "for", "the", "issuance", "and", "sale", "of", "the", "Securities", "for", "trading", "or", "quotation", ",", "as", "the", "case", "may", "be", ",", "thereon", "in", "the", "time", "and", "manner", "required", "thereby", ",", "and", "(", "v", ")", "those", "that", "have", "been", "made", "or", "obtained", "prior", "to", "the", "date", "hereof", "."]}
{"id": "16796", "text": "7.The Company is not required to register as an investment company, as such term is defined in the Investment Company Act of 1940 , as amended.", "ner": [[21, 25, "Act"]], "tokenized_text": ["7", ".", "The", "Company", "is", "not", "required", "to", "register", "as", "an", "investment", "company", ",", "as", "such", "term", "is", "defined", "in", "the", "Investment", "Company", "Act", "of", "1940", ",", "as", "amended", "."]}
{"id": "16797", "text": "Miller Place, New York 11764", "ner": [[0, 5, "Address"]], "tokenized_text": ["Miller", "Place", ",", "New", "York", "11764"]}
{"id": "16799", "text": "You acknowledge and agree that so long as you have received written confirmation from the Companys legal counsel that a registration statement covering resales of the Shares has been declared effective by the Securities and Exchange Commission (the Commission) under the Securities Act of 1933 , as amended (the Securities Act ), and a copy of such registration statement, then, unless otherwise required by law, you shall use your commercially reasonable efforts to issue the certificates representing the Shares registered in the names of such Holders or transferees, as the case may be, within three (3) Business Days of your receipt of a notice of transfer of Shares, and such certificates shall not bear any legend restricting transfer of the Shares thereby and should not be subject to any stop-transfer restriction.", "ner": [[43, 46, "Act"]], "tokenized_text": ["You", "acknowledge", "and", "agree", "that", "so", "long", "as", "you", "have", "received", "written", "confirmation", "from", "the", "Companys", "legal", "counsel", "that", "a", "registration", "statement", "covering", "resales", "of", "the", "Shares", "has", "been", "declared", "effective", "by", "the", "Securities", "and", "Exchange", "Commission", "(", "the", "Commission", ")", "under", "the", "Securities", "Act", "of", "1933", ",", "as", "amended", "(", "the", "Securities", "Act", ")", ",", "and", "a", "copy", "of", "such", "registration", "statement", ",", "then", ",", "unless", "otherwise", "required", "by", "law", ",", "you", "shall", "use", "your", "commercially", "reasonable", "efforts", "to", "issue", "the", "certificates", "representing", "the", "Shares", "registered", "in", "the", "names", "of", "such", "Holders", "or", "transferees", ",", "as", "the", "case", "may", "be", ",", "within", "three", "(", "3", ")", "Business", "Days", "of", "your", "receipt", "of", "a", "notice", "of", "transfer", "of", "Shares", ",", "and", "such", "certificates", "shall", "not", "bear", "any", "legend", "restricting", "transfer", "of", "the", "Shares", "thereby", "and", "should", "not", "be", "subject", "to", "any", "stop-transfer", "restriction", "."]}
{"id": "16800", "text": "A form of written confirmation from the Companys outside legal counsel that a registration statement covering resales of the Shares has been declared effective by the Commission under the Securities Act ( which confirmation shall be delivered to you upon effectiveness of the registration statement) is attached hereto as Annex A.", "ner": [[29, 30, "Act"]], "tokenized_text": ["A", "form", "of", "written", "confirmation", "from", "the", "Companys", "outside", "legal", "counsel", "that", "a", "registration", "statement", "covering", "resales", "of", "the", "Shares", "has", "been", "declared", "effective", "by", "the", "Commission", "under", "the", "Securities", "Act", "(", "which", "confirmation", "shall", "be", "delivered", "to", "you", "upon", "effectiveness", "of", "the", "registration", "statement", ")", "is", "attached", "hereto", "as", "Annex", "A", "."]}
{"id": "16801", "text": "Corindus Vascular Robotics, Inc., a Delaware corporation (the Company), has entered into a Securities Purchase Agreement, dated as of [], 2017, with the buyers named therein (collectively, thePurchasers) pursuant to which the Company issued to the Purchasers shares of the Companys common stock, $0.0001 par value per share (the Common Stock). Pursuant to that certain Registration Rights Agreement of even date, the Company agreed to register the resale of the Common Stocks (theRegistrable Securities), under the Securities Act of 1933 , as amended (the Securities Act ). In connection with the Companys obligations under the Registration Rights Agreement, on [___], 2017, the Company filed a Registration Statement on Form S-3 (File No.333-) (the Registration Statement) with the Securities and Exchange Commission (the Commission) relating to the Registrable Securities which names each of the Purchasers as a selling stockholder thereunder and set forth as Exhibit A hereto.", "ner": [[19, 21, "Title"], [26, 29, "EffectiveDate"], [57, 60, "Price"], [75, 77, "Title"], [100, 103, "Act"]], "tokenized_text": ["Corindus", "Vascular", "Robotics", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "the", "Company", ")", ",", "has", "entered", "into", "a", "Securities", "Purchase", "Agreement", ",", "dated", "as", "of", "[", "]", ",", "2017", ",", "with", "the", "buyers", "named", "therein", "(", "collectively", ",", "thePurchasers", ")", "pursuant", "to", "which", "the", "Company", "issued", "to", "the", "Purchasers", "shares", "of", "the", "Companys", "common", "stock", ",", "$", "0", ".", "0001", "par", "value", "per", "share", "(", "the", "Common", "Stock", ")", ".", "Pursuant", "to", "that", "certain", "Registration", "Rights", "Agreement", "of", "even", "date", ",", "the", "Company", "agreed", "to", "register", "the", "resale", "of", "the", "Common", "Stocks", "(", "theRegistrable", "Securities", ")", ",", "under", "the", "Securities", "Act", "of", "1933", ",", "as", "amended", "(", "the", "Securities", "Act", ")", ".", "In", "connection", "with", "the", "Companys", "obligations", "under", "the", "Registration", "Rights", "Agreement", ",", "on", "[", "___", "]", ",", "2017", ",", "the", "Company", "filed", "a", "Registration", "Statement", "on", "Form", "S-3", "(", "File", "No", ".", "333", "-", ")", "(", "the", "Registration", "Statement", ")", "with", "the", "Securities", "and", "Exchange", "Commission", "(", "the", "Commission", ")", "relating", "to", "the", "Registrable", "Securities", "which", "names", "each", "of", "the", "Purchasers", "as", "a", "selling", "stockholder", "thereunder", "and", "set", "forth", "as", "Exhibit", "A", "hereto", "."]}
{"id": "16802", "text": "In connection with the foregoing, we advise you that a member of the Commissions staff has advised us by telephone that the Commission has entered an order declaring the Registration Statement effective under the Securities Act at ____ [a.m.][p.m.] on [___], 2017, and we have no knowledge, after telephonic inquiry of a member of the staff, that any stop order suspending its effectiveness has been issued or that any proceedings for that purpose are pending before, or threatened by, the Commission and the Registrable Securities are available for resale under the Securities Act pursuant to the Registration Statement. Based upon the foregoing, we are of the opinion that as of the date of this opinion, the Registrable Securities have been duly authorized and, when issued by you, will be validly issued, fully paid and non-assessable, and are registered for resale under the Securities Act under the effective Registration Statement and may be issued without a restrictive legend.", "ner": [[35, 36, "Act"]], "tokenized_text": ["In", "connection", "with", "the", "foregoing", ",", "we", "advise", "you", "that", "a", "member", "of", "the", "Commissions", "staff", "has", "advised", "us", "by", "telephone", "that", "the", "Commission", "has", "entered", "an", "order", "declaring", "the", "Registration", "Statement", "effective", "under", "the", "Securities", "Act", "at", "____", "[", "a", ".", "m", ".", "]", "[", "p", ".", "m", ".", "]", "on", "[", "___", "]", ",", "2017", ",", "and", "we", "have", "no", "knowledge", ",", "after", "telephonic", "inquiry", "of", "a", "member", "of", "the", "staff", ",", "that", "any", "stop", "order", "suspending", "its", "effectiveness", "has", "been", "issued", "or", "that", "any", "proceedings", "for", "that", "purpose", "are", "pending", "before", ",", "or", "threatened", "by", ",", "the", "Commission", "and", "the", "Registrable", "Securities", "are", "available", "for", "resale", "under", "the", "Securities", "Act", "pursuant", "to", "the", "Registration", "Statement", ".", "Based", "upon", "the", "foregoing", ",", "we", "are", "of", "the", "opinion", "that", "as", "of", "the", "date", "of", "this", "opinion", ",", "the", "Registrable", "Securities", "have", "been", "duly", "authorized", "and", ",", "when", "issued", "by", "you", ",", "will", "be", "validly", "issued", ",", "fully", "paid", "and", "non-assessable", ",", "and", "are", "registered", "for", "resale", "under", "the", "Securities", "Act", "under", "the", "effective", "Registration", "Statement", "and", "may", "be", "issued", "without", "a", "restrictive", "legend", "."]}
{"id": "16806", "text": "(a)Subject to Section13(e), in the event that (i)a determination is made by the Disinterested Directors (and, for the avoidance of doubt, not by the Independent Counsel) pursuant to Section11 of this Agreement that Indemnitee is not entitled to indemnification under this Agreement, (ii)any Advance of Expenses is not timely made pursuant to Section9 of this Agreement, (iii)no determination of entitlement to indemnification shall have been made pursuant to Section11(a) of this Agreement within 60 days after receipt by the Company of the request for indemnification, (iv)payment of indemnification is not made pursuant to Section5 or 6 or the last sentence of Section11(a) of this Agreement within thirty (30)days after receipt by the Company of a written request therefor, or (v)payment of indemnification pursuant to Section3, 4 or 7 of this Agreement is not made within thirty (30)days after a determination has been made that Indemnitee is entitled to indemnification, Indemnitee shall be entitled to an adjudication by a court of his or her entitlement to such indemnification or any Advance of Expenses. Alternatively, Indemnitee, at his or her option, may seek an award in arbitration to be conducted by a single arbitrator pursuant to the Commercial Arbitration Rules of the American Arbitration Association. Indemnitee shall commence such proceeding seeking an adjudication or an award in arbitration within one hundred eighty (180)days following the date on which Indemnitee first has the right to commence such proceeding pursuant to this Section13(a); provided, however, that the foregoing clause shall not apply in respect of a proceeding brought by Indemnitee to enforce his or her rights under Section5 of this Agreement. The Company shall not oppose Indemnitees right to seek any such adjudication or award in arbitration.", "ner": [[243, 245, "Regulation"], [248, 250, "Court"]], "tokenized_text": ["(", "a", ")", "Subject", "to", "Section13", "(", "e", ")", ",", "in", "the", "event", "that", "(", "i", ")", "a", "determination", "is", "made", "by", "the", "Disinterested", "Directors", "(", "and", ",", "for", "the", "avoidance", "of", "doubt", ",", "not", "by", "the", "Independent", "Counsel", ")", "pursuant", "to", "Section11", "of", "this", "Agreement", "that", "Indemnitee", "is", "not", "entitled", "to", "indemnification", "under", "this", "Agreement", ",", "(", "ii", ")", "any", "Advance", "of", "Expenses", "is", "not", "timely", "made", "pursuant", "to", "Section9", "of", "this", "Agreement", ",", "(", "iii", ")", "no", "determination", "of", "entitlement", "to", "indemnification", "shall", "have", "been", "made", "pursuant", "to", "Section11", "(", "a", ")", "of", "this", "Agreement", "within", "60", "days", "after", "receipt", "by", "the", "Company", "of", "the", "request", "for", "indemnification", ",", "(", "iv", ")", "payment", "of", "indemnification", "is", "not", "made", "pursuant", "to", "Section5", "or", "6", "or", "the", "last", "sentence", "of", "Section11", "(", "a", ")", "of", "this", "Agreement", "within", "thirty", "(", "30", ")", "days", "after", "receipt", "by", "the", "Company", "of", "a", "written", "request", "therefor", ",", "or", "(", "v", ")", "payment", "of", "indemnification", "pursuant", "to", "Section3", ",", "4", "or", "7", "of", "this", "Agreement", "is", "not", "made", "within", "thirty", "(", "30", ")", "days", "after", "a", "determination", "has", "been", "made", "that", "Indemnitee", "is", "entitled", "to", "indemnification", ",", "Indemnitee", "shall", "be", "entitled", "to", "an", "adjudication", "by", "a", "court", "of", "his", "or", "her", "entitlement", "to", "such", "indemnification", "or", "any", "Advance", "of", "Expenses", ".", "Alternatively", ",", "Indemnitee", ",", "at", "his", "or", "her", "option", ",", "may", "seek", "an", "award", "in", "arbitration", "to", "be", "conducted", "by", "a", "single", "arbitrator", "pursuant", "to", "the", "Commercial", "Arbitration", "Rules", "of", "the", "American", "Arbitration", "Association", ".", "Indemnitee", "shall", "commence", "such", "proceeding", "seeking", "an", "adjudication", "or", "an", "award", "in", "arbitration", "within", "one", "hundred", "eighty", "(", "180", ")", "days", "following", "the", "date", "on", "which", "Indemnitee", "first", "has", "the", "right", "to", "commence", "such", "proceeding", "pursuant", "to", "this", "Section13", "(", "a", ")", ";", "provided", ",", "however", ",", "that", "the", "foregoing", "clause", "shall", "not", "apply", "in", "respect", "of", "a", "proceeding", "brought", "by", "Indemnitee", "to", "enforce", "his", "or", "her", "rights", "under", "Section5", "of", "this", "Agreement", ".", "The", "Company", "shall", "not", "oppose", "Indemnitees", "right", "to", "seek", "any", "such", "adjudication", "or", "award", "in", "arbitration", "."]}
{"id": "12808", "text": "\\- Signature Page to Indemnification Agreement -", "ner": [[5, 6, "Title"]], "tokenized_text": ["\\", "-", "Signature", "Page", "to", "Indemnification", "Agreement", "-"]}
{"id": "16809", "text": "This Indemnification Agreement is dated as of _________, 2017 (this Agreement) and is between National Vision Holdings, Inc. , a Delaware corporation (the Company), and [Name of director] (Indemnitee).", "ner": [[1, 2, "Title"], [8, 9, "EffectiveDate"], [17, 22, "Parties"]], "tokenized_text": ["This", "Indemnification", "Agreement", "is", "dated", "as", "of", "_________", ",", "2017", "(", "this", "Agreement", ")", "and", "is", "between", "National", "Vision", "Holdings", ",", "Inc", ".", ",", "a", "Delaware", "corporation", "(", "the", "Company", ")", ",", "and", "[", "Name", "of", "director", "]", "(", "Indemnitee", ")", "."]}
{"id": "16810", "text": "(c) Section 16(b) Matters. To indemnify Indemnitee on account of any suit in which judgment is rendered against Indemnitee for disgorgement of profits made from the purchase or sale by Indemnitee of securities of the Company pursuant to the provisions of Section 16(b) of the Securities Exchange Act of 1934 , as amended.", "ner": [[3, 7, "Regulation"], [54, 58, "Act"]], "tokenized_text": ["(", "c", ")", "Section", "16", "(", "b", ")", "Matters", ".", "To", "indemnify", "Indemnitee", "on", "account", "of", "any", "suit", "in", "which", "judgment", "is", "rendered", "against", "Indemnitee", "for", "disgorgement", "of", "profits", "made", "from", "the", "purchase", "or", "sale", "by", "Indemnitee", "of", "securities", "of", "the", "Company", "pursuant", "to", "the", "provisions", "of", "Section", "16", "(", "b", ")", "of", "the", "Securities", "Exchange", "Act", "of", "1934", ",", "as", "amended", "."]}
{"id": "16814", "text": "[Signature Page to Indemnification Agreement ]", "ner": [[4, 5, "Title"]], "tokenized_text": ["[", "Signature", "Page", "to", "Indemnification", "Agreement", "]"]}
{"id": "16816", "text": "This Separation and Release Agreement (this Agreement) is entered by and between Louis A. Bianco (Executive) and CTI BioPharma Corp. , a Washington corporation (the Company), on this 13th day of March, 2017 (the Effective Date).", "ner": [[1, 4, "Title"], [14, 17, "Parties"], [22, 25, "Parties"], [37, 42, "EffectiveDate"]], "tokenized_text": ["This", "Separation", "and", "Release", "Agreement", "(", "this", "Agreement", ")", "is", "entered", "by", "and", "between", "Louis", "A", ".", "Bianco", "(", "Executive", ")", "and", "CTI", "BioPharma", "Corp", ".", ",", "a", "Washington", "corporation", "(", "the", "Company", ")", ",", "on", "this", "13th", "day", "of", "March", ",", "2017", "(", "the", "Effective", "Date", ")", "."]}
{"id": "16817", "text": "pay or reimburse the Executive for his premiums charged to continue medical coverage pursuant to the Consolidated Omnibus Budget Reconciliation Act ( COBRA), at the same or reasonably equivalent medical coverage under the group medical program available to the Companys employees generally for Executive (and, if applicable, Executives spouse and eligible dependents) as in effect immediately prior to the Separation Date, to the extent that Executive elects such continued coverage; provided that the Companys obligation to make any payment or reimbursement pursuant to this Section 4(b) shall commence with continuation coverage for April 2017 and shall cease with continuation coverage for September 2018 (or, if earlier, shall cease upon the first to occur of Executives death, the date Executive becomes eligible for coverage under the health plan of a future employer, or the date the Company ceases to offer group medical coverage to its active executive employees or the Company is otherwise under no obligation to offer COBRA continuation coverage to Executive). To the extent Executive elects COBRA coverage, he shall notify the Company in writing of such election prior to such coverage taking effect and complete any other continuation coverage enrollment procedures the Company may then have in place. The Companys obligation to pay or reimburse for premiums pursuant to this Section 4(b) does not apply to: (i) any coverage that the Company (or one of its affiliates) is not required to offer Executive pursuant to COBRA; (ii) dental, vision, or other non-medical coverage; and (iii) to any executive-level (or similar) coverage that is not available to the Companys employees generally; and | ---|--- (c)", "ner": [[16, 20, "Act"], [22, 22, "Act"], [103, 104, "EffectiveDate"], [112, 113, "EffectiveDate"], [173, 173, "Act"], [185, 185, "Act"], [265, 265, "Act"]], "tokenized_text": ["pay", "or", "reimburse", "the", "Executive", "for", "his", "premiums", "charged", "to", "continue", "medical", "coverage", "pursuant", "to", "the", "Consolidated", "Omnibus", "Budget", "Reconciliation", "Act", "(", "COBRA", ")", ",", "at", "the", "same", "or", "reasonably", "equivalent", "medical", "coverage", "under", "the", "group", "medical", "program", "available", "to", "the", "Companys", "employees", "generally", "for", "Executive", "(", "and", ",", "if", "applicable", ",", "Executives", "spouse", "and", "eligible", "dependents", ")", "as", "in", "effect", "immediately", "prior", "to", "the", "Separation", "Date", ",", "to", "the", "extent", "that", "Executive", "elects", "such", "continued", "coverage", ";", "provided", "that", "the", "Companys", "obligation", "to", "make", "any", "payment", "or", "reimbursement", "pursuant", "to", "this", "Section", "4", "(", "b", ")", "shall", "commence", "with", "continuation", "coverage", "for", "April", "2017", "and", "shall", "cease", "with", "continuation", "coverage", "for", "September", "2018", "(", "or", ",", "if", "earlier", ",", "shall", "cease", "upon", "the", "first", "to", "occur", "of", "Executives", "death", ",", "the", "date", "Executive", "becomes", "eligible", "for", "coverage", "under", "the", "health", "plan", "of", "a", "future", "employer", ",", "or", "the", "date", "the", "Company", "ceases", "to", "offer", "group", "medical", "coverage", "to", "its", "active", "executive", "employees", "or", "the", "Company", "is", "otherwise", "under", "no", "obligation", "to", "offer", "COBRA", "continuation", "coverage", "to", "Executive", ")", ".", "To", "the", "extent", "Executive", "elects", "COBRA", "coverage", ",", "he", "shall", "notify", "the", "Company", "in", "writing", "of", "such", "election", "prior", "to", "such", "coverage", "taking", "effect", "and", "complete", "any", "other", "continuation", "coverage", "enrollment", "procedures", "the", "Company", "may", "then", "have", "in", "place", ".", "The", "Companys", "obligation", "to", "pay", "or", "reimburse", "for", "premiums", "pursuant", "to", "this", "Section", "4", "(", "b", ")", "does", "not", "apply", "to", ":", "(", "i", ")", "any", "coverage", "that", "the", "Company", "(", "or", "one", "of", "its", "affiliates", ")", "is", "not", "required", "to", "offer", "Executive", "pursuant", "to", "COBRA", ";", "(", "ii", ")", "dental", ",", "vision", ",", "or", "other", "non-medical", "coverage", ";", "and", "(", "iii", ")", "to", "any", "executive-level", "(", "or", "similar", ")", "coverage", "that", "is", "not", "available", "to", "the", "Companys", "employees", "generally", ";", "and", "|", "-", "-", "-", "|", "-", "-", "-", "(", "c", ")"]}
{"id": "16818", "text": "a stock option to purchase up to 160,000 shares of Company common stock at a per share exercise price of $12.40 . As a result of this Agreement, all of the Options are vested as of the Separation Date, and each such Option shall remain exercisable through the first to occur of (i) the date that is twenty-one (21) months after the Separation Date and (ii) the expiration date of the Option as provided in the applicable option agreement; provided, however, that each such Option shall remain subject to earlier termination in connection with a change in control of the Company or a similar corporate transaction in accordance with the provisions of the equity incentive plan and/or option agreement applicable to such Option.", "ner": [[7, 9, "Shares"], [22, 26, "Price"], [90, 91, "Title"]], "tokenized_text": ["a", "stock", "option", "to", "purchase", "up", "to", "160", ",", "000", "shares", "of", "Company", "common", "stock", "at", "a", "per", "share", "exercise", "price", "of", "$", "12", ".", "40", ".", "As", "a", "result", "of", "this", "Agreement", ",", "all", "of", "the", "Options", "are", "vested", "as", "of", "the", "Separation", "Date", ",", "and", "each", "such", "Option", "shall", "remain", "exercisable", "through", "the", "first", "to", "occur", "of", "(", "i", ")", "the", "date", "that", "is", "twenty-one", "(", "21", ")", "months", "after", "the", "Separation", "Date", "and", "(", "ii", ")", "the", "expiration", "date", "of", "the", "Option", "as", "provided", "in", "the", "applicable", "option", "agreement", ";", "provided", ",", "however", ",", "that", "each", "such", "Option", "shall", "remain", "subject", "to", "earlier", "termination", "in", "connection", "with", "a", "change", "in", "control", "of", "the", "Company", "or", "a", "similar", "corporate", "transaction", "in", "accordance", "with", "the", "provisions", "of", "the", "equity", "incentive", "plan", "and", "/", "or", "option", "agreement", "applicable", "to", "such", "Option", "."]}
{"id": "16822", "text": "11.Arbitration. Any non-time barred, legally actionable controversy or claim arising out of or relating to this Agreement or any agreement evidencing an Option, the enforcement, arbitrability or interpretation of any such agreement, or because of an alleged breach, default, or misrepresentation in connection with any such agreements provisions, or any other non-time barred, legally actionable controversy or claim arising out of or relating to Executives employment or association with the Company or termination of the same, including, without limiting the generality of the foregoing, any alleged violation of state or federal statute, common law or constitution, shall be submitted to individual, final and binding arbitration, to be held in King County, Washington, before a panel of three arbitrators selected from Judicial Arbitration and Mediation Services, Inc. (JAMS), in accordance with the then-current JAMS Arbitration Rules and Procedures for employment disputes, as modified by the terms and conditions in this Section (which may be found at www.jamsadr.com under the Rules/Clauses tab). The parties will select the arbitrator by mutual agreement or, if the parties cannot agree, then by striking from a list of qualified arbitrators supplied by JAMS from their labor and employment law panel. Final resolution of any dispute through arbitration may include any remedy or relief that is provided for through any applicable state or federal statutes, or common law. Statutes of limitations shall be the same as would be applicable were the action to be brought in court. The arbitrator selected pursuant to this Agreement", "ner": [[127, 130, "Address"]], "tokenized_text": ["11", ".", "Arbitration", ".", "Any", "non-time", "barred", ",", "legally", "actionable", "controversy", "or", "claim", "arising", "out", "of", "or", "relating", "to", "this", "Agreement", "or", "any", "agreement", "evidencing", "an", "Option", ",", "the", "enforcement", ",", "arbitrability", "or", "interpretation", "of", "any", "such", "agreement", ",", "or", "because", "of", "an", "alleged", "breach", ",", "default", ",", "or", "misrepresentation", "in", "connection", "with", "any", "such", "agreements", "provisions", ",", "or", "any", "other", "non-time", "barred", ",", "legally", "actionable", "controversy", "or", "claim", "arising", "out", "of", "or", "relating", "to", "Executives", "employment", "or", "association", "with", "the", "Company", "or", "termination", "of", "the", "same", ",", "including", ",", "without", "limiting", "the", "generality", "of", "the", "foregoing", ",", "any", "alleged", "violation", "of", "state", "or", "federal", "statute", ",", "common", "law", "or", "constitution", ",", "shall", "be", "submitted", "to", "individual", ",", "final", "and", "binding", "arbitration", ",", "to", "be", "held", "in", "King", "County", ",", "Washington", ",", "before", "a", "panel", "of", "three", "arbitrators", "selected", "from", "Judicial", "Arbitration", "and", "Mediation", "Services", ",", "Inc", ".", "(", "JAMS", ")", ",", "in", "accordance", "with", "the", "then-current", "JAMS", "Arbitration", "Rules", "and", "Procedures", "for", "employment", "disputes", ",", "as", "modified", "by", "the", "terms", "and", "conditions", "in", "this", "Section", "(", "which", "may", "be", "found", "at", "www", ".", "jamsadr", ".", "com", "under", "the", "Rules", "/", "Clauses", "tab", ")", ".", "The", "parties", "will", "select", "the", "arbitrator", "by", "mutual", "agreement", "or", ",", "if", "the", "parties", "cannot", "agree", ",", "then", "by", "striking", "from", "a", "list", "of", "qualified", "arbitrators", "supplied", "by", "JAMS", "from", "their", "labor", "and", "employment", "law", "panel", ".", "Final", "resolution", "of", "any", "dispute", "through", "arbitration", "may", "include", "any", "remedy", "or", "relief", "that", "is", "provided", "for", "through", "any", "applicable", "state", "or", "federal", "statutes", ",", "or", "common", "law", ".", "Statutes", "of", "limitations", "shall", "be", "the", "same", "as", "would", "be", "applicable", "were", "the", "action", "to", "be", "brought", "in", "court", ".", "The", "arbitrator", "selected", "pursuant", "to", "this", "Agreement"]}
{"id": "15823", "text": "3101 Western Avenue, Suite 600", "ner": [[0, 5, "Address"]], "tokenized_text": ["3101", "Western", "Avenue", ",", "Suite", "600"]}
{"id": "15825", "text": "(g)Governing Law. This Agreement shall be deemed to have been executed and delivered within the State of Washington, and, except for Section 11, which shall be governed by the Federal Arbitration Act ( both substantively and procedurally), the rights and obligations of the parties hereunder shall be construed and enforced in accordance with, and governed by, the laws of the State of Washington without regard to principles of conflict of laws. The parties agree that", "ner": [[19, 21, "Court"], [27, 28, "Regulation"], [36, 38, "Act"]], "tokenized_text": ["(", "g", ")", "Governing", "Law", ".", "This", "Agreement", "shall", "be", "deemed", "to", "have", "been", "executed", "and", "delivered", "within", "the", "State", "of", "Washington", ",", "and", ",", "except", "for", "Section", "11", ",", "which", "shall", "be", "governed", "by", "the", "Federal", "Arbitration", "Act", "(", "both", "substantively", "and", "procedurally", ")", ",", "the", "rights", "and", "obligations", "of", "the", "parties", "hereunder", "shall", "be", "construed", "and", "enforced", "in", "accordance", "with", ",", "and", "governed", "by", ",", "the", "laws", "of", "the", "State", "of", "Washington", "without", "regard", "to", "principles", "of", "conflict", "of", "laws", ".", "The", "parties", "agree", "that"]}
{"id": "15826", "text": "(l) Supplementary Documents . All parties agree to cooperate fully and to execute any and all supplementary documents and to take all additional actions that may be necessary or appropriate to give full force to the basic terms and intent of this Agreement and which are not inconsistent with its terms.", "ner": [[6, 7, "Parties"]], "tokenized_text": ["(", "l", ")", "Supplementary", "Documents", ".", "All", "parties", "agree", "to", "cooperate", "fully", "and", "to", "execute", "any", "and", "all", "supplementary", "documents", "and", "to", "take", "all", "additional", "actions", "that", "may", "be", "necessary", "or", "appropriate", "to", "give", "full", "force", "to", "the", "basic", "terms", "and", "intent", "of", "this", "Agreement", "and", "which", "are", "not", "inconsistent", "with", "its", "terms", "."]}
{"id": "15827", "text": "As a condition of CTI BioPharma Corp. , a Washington corporation (together with its affiliates, successors or assigns, the Company) entering into that certain Separation and Release Agreement, dated March 13, 2017, by and between me and the Company (the Separation Agreement), and for other good and valuable consideration, the receipt and sufficiency of which I hereby acknowledge, I agree to the following:", "ner": [[4, 7, "Parties"], [29, 32, "Title"], [35, 38, "EffectiveDate"], [49, 50, "Title"]], "tokenized_text": ["As", "a", "condition", "of", "CTI", "BioPharma", "Corp", ".", ",", "a", "Washington", "corporation", "(", "together", "with", "its", "affiliates", ",", "successors", "or", "assigns", ",", "the", "Company", ")", "entering", "into", "that", "certain", "Separation", "and", "Release", "Agreement", ",", "dated", "March", "13", ",", "2017", ",", "by", "and", "between", "me", "and", "the", "Company", "(", "the", "Separation", "Agreement", ")", ",", "and", "for", "other", "good", "and", "valuable", "consideration", ",", "the", "receipt", "and", "sufficiency", "of", "which", "I", "hereby", "acknowledge", ",", "I", "agree", "to", "the", "following", ":"]}
{"id": "16830", "text": "EX-10.1 2 exh10_1.htm RETIREMENT AND RELEASE AGREEMENT, DATED FEBRUARY 23, 2017, BETWEEN PROFIRE ENERGY, INC. AND HAROLD ALBERT", "ner": [[7, 10, "Title"], [13, 16, "EffectiveDate"], [19, 23, "Parties"], [25, 26, "Parties"]], "tokenized_text": ["EX-10", ".", "1", "2", "exh10_1", ".", "htm", "RETIREMENT", "AND", "RELEASE", "AGREEMENT", ",", "DATED", "FEBRUARY", "23", ",", "2017", ",", "BETWEEN", "PROFIRE", "ENERGY", ",", "INC", ".", "AND", "HAROLD", "ALBERT"]}
{"id": "15831", "text": "(e) For and in consideration of the Consideration, and for other good and valuable consideration set forth herein, you, for and on behalf of yourself and your heirs, administrators, executors and assigns, effective the date hereof, do fully and forever release, remise and discharge Profire and each member of the Company Group, and each of their direct and indirect parents, subsidiaries and affiliates, together with their respective officers, directors, partners, shareholders, employees and agents (collectively, the \"Company Parties\"), from any and all claims whatsoever up to the Retirement Date which you had, may have had, or now have against the Company Parties, for or by reason of any matter, cause or thing whatsoever, including without limitation any claim arising out of or attributable to your Employment or the termination of your Employment with Profire or any member of the Company Group whether for tort, breach of express or implied employment contract, intentional infliction of emotional distress, wrongful termination, failure to hire, re-hire, or contract with as an independent contractor, unjust dismissal, defamation, libel or slander, or under any federal, state or local law dealing with discrimination based on age, race, sex, national origin, handicap, religion, disability or sexual orientation. This release of claims includes, but is not limited to, all claims arising under the Civil Rights Act of 1866, 42 U.S.C . 1981 et seq.; the Civil Rights Act of 1964 , 42 U.S.C. 2000 et seq.; the Civil Rights Act of 1991 ; the Rehabilitation Act of 1973 , 29 U.S.C. 701 et seq.; the Americans with Disabilities Act, 42 U.S.C . 1201 et seq.; the Family and Medical Leave Act, 29 U.S.C. 2601 et seq.; the National Labor Relations Act, 29 U.S.C. 151 et seq.; the Fair Labor Standards Act, 29 U.S.C. 201 et seq.; the Vietnam Era Veterans' Readjustment Assistance Act of 1974 ; the Employee Retirement Income Security Act of 1974 , 29 U.S.C. 1001 et seq., the Occupational Safety and Health Act, 29 U.S.C. 651 et seq.; the Worker Adjustment and Retraining Notification Act, 29 U.S.C. 2101 , et seq.; the Fair Credit Reporting Act, 15 U.S.C . 1681 et seq.; the Age Discrimination in Employment Act of 1967 , 29 U.S.C. 621 et seq.; the Equal Pay Act; the Utah Fair Employment and Housing Act; the Utah Family Rights Act; the Alberta Employment Standards Code, the Alberta Human Rights Act, the Alberta Personal Information Protection Act, and the Alberta Workers Compensation Act and any other federal, state, provincial or local human or civil rights, wage-hour, pension or labor law, rule and/or regulation, each as may be amended from time to time, and all other federal, state, provincial and local laws, the common law and any other purported restriction on an employer's right to terminate the employment of employees. As used in this Agreement, the term \"claims\" will include all claims, covenants, warranties, promises, undertakings, actions, suits, causes of action, obligations, debts, accounts, attorneys' fees, judgments, losses and liabilities, of whatsoever kind or nature, in law, equity or otherwise. The parties intend the release contained herein to be a general release of any and all claims to the fullest extent permitted by applicable law.", "ner": [[262, 266, "Act"], [268, 275, "Regulation"], [281, 285, "Act"], [287, 294, "Regulation"], [300, 304, "Act"], [307, 310, "Act"], [312, 319, "Regulation"], [325, 328, "Act"], [330, 337, "Regulation"], [343, 347, "Act"], [349, 356, "Regulation"], [362, 365, "Act"], [367, 374, "Regulation"], [380, 383, "Act"], [385, 392, "Regulation"], [398, 406, "Act"], [409, 415, "Act"], [417, 424, "Regulation"], [430, 434, "Act"], [436, 443, "Regulation"], [449, 454, "Act"], [456, 463, "Regulation"], [470, 473, "Act"], [475, 482, "Regulation"], [488, 494, "Act"], [496, 503, "Regulation"], [509, 511, "Act"], [514, 519, "Act"], [522, 525, "Act"], [528, 531, "Act"], [534, 537, "Act"], [540, 544, "Act"], [548, 551, "Act"]], "tokenized_text": ["(", "e", ")", "For", "and", "in", "consideration", "of", "the", "Consideration", ",", "and", "for", "other", "good", "and", "valuable", "consideration", "set", "forth", "herein", ",", "you", ",", "for", "and", "on", "behalf", "of", "yourself", "and", "your", "heirs", ",", "administrators", ",", "executors", "and", "assigns", ",", "effective", "the", "date", "hereof", ",", "do", "fully", "and", "forever", "release", ",", "remise", "and", "discharge", "Profire", "and", "each", "member", "of", "the", "Company", "Group", ",", "and", "each", "of", "their", "direct", "and", "indirect", "parents", ",", "subsidiaries", "and", "affiliates", ",", "together", "with", "their", "respective", "officers", ",", "directors", ",", "partners", ",", "shareholders", ",", "employees", "and", "agents", "(", "collectively", ",", "the", "\"", "Company", "Parties", "\"", ")", ",", "from", "any", "and", "all", "claims", "whatsoever", "up", "to", "the", "Retirement", "Date", "which", "you", "had", ",", "may", "have", "had", ",", "or", "now", "have", "against", "the", "Company", "Parties", ",", "for", "or", "by", "reason", "of", "any", "matter", ",", "cause", "or", "thing", "whatsoever", ",", "including", "without", "limitation", "any", "claim", "arising", "out", "of", "or", "attributable", "to", "your", "Employment", "or", "the", "termination", "of", "your", "Employment", "with", "Profire", "or", "any", "member", "of", "the", "Company", "Group", "whether", "for", "tort", ",", "breach", "of", "express", "or", "implied", "employment", "contract", ",", "intentional", "infliction", "of", "emotional", "distress", ",", "wrongful", "termination", ",", "failure", "to", "hire", ",", "re-hire", ",", "or", "contract", "with", "as", "an", "independent", "contractor", ",", "unjust", "dismissal", ",", "defamation", ",", "libel", "or", "slander", ",", "or", "under", "any", "federal", ",", "state", "or", "local", "law", "dealing", "with", "discrimination", "based", "on", "age", ",", "race", ",", "sex", ",", "national", "origin", ",", "handicap", ",", "religion", ",", "disability", "or", "sexual", "orientation", ".", "This", "release", "of", "claims", "includes", ",", "but", "is", "not", "limited", "to", ",", "all", "claims", "arising", "under", "the", "Civil", "Rights", "Act", "of", "1866", ",", "42", "U", ".", "S", ".", "C", ".", "1981", "et", "seq", ".", ";", "the", "Civil", "Rights", "Act", "of", "1964", ",", "42", "U", ".", "S", ".", "C", ".", "2000", "et", "seq", ".", ";", "the", "Civil", "Rights", "Act", "of", "1991", ";", "the", "Rehabilitation", "Act", "of", "1973", ",", "29", "U", ".", "S", ".", "C", ".", "701", "et", "seq", ".", ";", "the", "Americans", "with", "Disabilities", "Act", ",", "42", "U", ".", "S", ".", "C", ".", "1201", "et", "seq", ".", ";", "the", "Family", "and", "Medical", "Leave", "Act", ",", "29", "U", ".", "S", ".", "C", ".", "2601", "et", "seq", ".", ";", "the", "National", "Labor", "Relations", "Act", ",", "29", "U", ".", "S", ".", "C", ".", "151", "et", "seq", ".", ";", "the", "Fair", "Labor", "Standards", "Act", ",", "29", "U", ".", "S", ".", "C", ".", "201", "et", "seq", ".", ";", "the", "Vietnam", "Era", "Veterans", "'", "Readjustment", "Assistance", "Act", "of", "1974", ";", "the", "Employee", "Retirement", "Income", "Security", "Act", "of", "1974", ",", "29", "U", ".", "S", ".", "C", ".", "1001", "et", "seq", ".", ",", "the", "Occupational", "Safety", "and", "Health", "Act", ",", "29", "U", ".", "S", ".", "C", ".", "651", "et", "seq", ".", ";", "the", "Worker", "Adjustment", "and", "Retraining", "Notification", "Act", ",", "29", "U", ".", "S", ".", "C", ".", "2101", ",", "et", "seq", ".", ";", "the", "Fair", "Credit", "Reporting", "Act", ",", "15", "U", ".", "S", ".", "C", ".", "1681", "et", "seq", ".", ";", "the", "Age", "Discrimination", "in", "Employment", "Act", "of", "1967", ",", "29", "U", ".", "S", ".", "C", ".", "621", "et", "seq", ".", ";", "the", "Equal", "Pay", "Act", ";", "the", "Utah", "Fair", "Employment", "and", "Housing", "Act", ";", "the", "Utah", "Family", "Rights", "Act", ";", "the", "Alberta", "Employment", "Standards", "Code", ",", "the", "Alberta", "Human", "Rights", "Act", ",", "the", "Alberta", "Personal", "Information", "Protection", "Act", ",", "and", "the", "Alberta", "Workers", "Compensation", "Act", "and", "any", "other", "federal", ",", "state", ",", "provincial", "or", "local", "human", "or", "civil", "rights", ",", "wage-hour", ",", "pension", "or", "labor", "law", ",", "rule", "and", "/", "or", "regulation", ",", "each", "as", "may", "be", "amended", "from", "time", "to", "time", ",", "and", "all", "other", "federal", ",", "state", ",", "provincial", "and", "local", "laws", ",", "the", "common", "law", "and", "any", "other", "purported", "restriction", "on", "an", "employer", "'", "s", "right", "to", "terminate", "the", "employment", "of", "employees", ".", "As", "used", "in", "this", "Agreement", ",", "the", "term", "\"", "claims", "\"", "will", "include", "all", "claims", ",", "covenants", ",", "warranties", ",", "promises", ",", "undertakings", ",", "actions", ",", "suits", ",", "causes", "of", "action", ",", "obligations", ",", "debts", ",", "accounts", ",", "attorneys", "'", "fees", ",", "judgments", ",", "losses", "and", "liabilities", ",", "of", "whatsoever", "kind", "or", "nature", ",", "in", "law", ",", "equity", "or", "otherwise", ".", "The", "parties", "intend", "the", "release", "contained", "herein", "to", "be", "a", "general", "release", "of", "any", "and", "all", "claims", "to", "the", "fullest", "extent", "permitted", "by", "applicable", "law", "."]}
{"id": "15832", "text": "3. Opportunity for Review; Acceptance. You have until 21 days after receiving this agreement from the Company (the \"Review Period\") to review and consider this Agreement. To accept this Agreement, and the terms and conditions contained herein, prior to the expiration of the Review Period, you must execute and date this Agreement where indicated below and return the executed copy of the Agreement to Profire. In the event of your failure to execute and deliver this Agreement prior to the expiration of the Review Period, this Agreement will be null and void and of no effect, and neither Profire nor any member of the Company Group will have any obligations hereunder. By execution of this Agreement, you expressly waive any and all rights or claims arising under the Age Discrimination in Employment Act of 1967 (\"ADEA\") and: (a) You acknowledge that this waiver of rights or claims arising under the ADEA is in writing, and is knowing, voluntary and understood by you; (b) You expressly understand that this waiver specifically refers to rights or claims arising under the ADEA; (c) You expressly understand that by execution of this Agreement, you do not waive any rights or claims under the ADEA that may arise after the date the waiver is executed; (d) You acknowledge that the waiver of rights or claims arising under the ADEA is in exchange for the Consideration, which is above and beyond that to which you are entitled; (e) You acknowledge that Profire is expressly advising you to consult with an attorney of your choosing prior to executing this Agreement; (f) You have been advised by Profire that you are entitled to up to twenty-one (21) days from receipt of this Agreement within which to consider this Agreement, which period is referred to as the Review Period; (g) You acknowledge that you have been advised by Profire that you are entitled to revoke (in the event you execute this Agreement) this waiver of rights or claims arising under the ADEA within seven (7) days after executing this Agreement and that said waiver will not be, and does not become, effective or enforceable until the seven (7) day revocation period has expired (the \"Revocation Period\"); (h) The parties agree that should you exercise your right to revoke the waiver under subparagraph (g) hereof, this entire Agreement, and its obligations, including, but not limited to the obligation to provide you with Consideration and any other benefits, are null, void and of no effect; (i) You acknowledge and agree that you will communicate your decision to accept or reject this Agreement to Profire as provided herein; and (j) nothing in this Agreement will be construed to prohibit you from filing a charge or complaint, including a challenge to the validity of the waiver provision of this Agreement, with the Equal Employment Opportunity Commission or participating in any investigation conducted by the Equal Employment Opportunity Commission, though you have waived any right to monetary relief. Should you elect to revoke this Agreement within the Revocation Period, a written notice of revocation will be delivered to the Company, Attn: Ryan Oviatt, 321 South 1250 West, Suite 1, Lindon, UT 84042.", "ner": [[144, 150, "Act"], [604, 614, "Address"]], "tokenized_text": ["3", ".", "Opportunity", "for", "Review", ";", "Acceptance", ".", "You", "have", "until", "21", "days", "after", "receiving", "this", "agreement", "from", "the", "Company", "(", "the", "\"", "Review", "Period", "\"", ")", "to", "review", "and", "consider", "this", "Agreement", ".", "To", "accept", "this", "Agreement", ",", "and", "the", "terms", "and", "conditions", "contained", "herein", ",", "prior", "to", "the", "expiration", "of", "the", "Review", "Period", ",", "you", "must", "execute", "and", "date", "this", "Agreement", "where", "indicated", "below", "and", "return", "the", "executed", "copy", "of", "the", "Agreement", "to", "Profire", ".", "In", "the", "event", "of", "your", "failure", "to", "execute", "and", "deliver", "this", "Agreement", "prior", "to", "the", "expiration", "of", "the", "Review", "Period", ",", "this", "Agreement", "will", "be", "null", "and", "void", "and", "of", "no", "effect", ",", "and", "neither", "Profire", "nor", "any", "member", "of", "the", "Company", "Group", "will", "have", "any", "obligations", "hereunder", ".", "By", "execution", "of", "this", "Agreement", ",", "you", "expressly", "waive", "any", "and", "all", "rights", "or", "claims", "arising", "under", "the", "Age", "Discrimination", "in", "Employment", "Act", "of", "1967", "(", "\"", "ADEA", "\"", ")", "and", ":", "(", "a", ")", "You", "acknowledge", "that", "this", "waiver", "of", "rights", "or", "claims", "arising", "under", "the", "ADEA", "is", "in", "writing", ",", "and", "is", "knowing", ",", "voluntary", "and", "understood", "by", "you", ";", "(", "b", ")", "You", "expressly", "understand", "that", "this", "waiver", "specifically", "refers", "to", "rights", "or", "claims", "arising", "under", "the", "ADEA", ";", "(", "c", ")", "You", "expressly", "understand", "that", "by", "execution", "of", "this", "Agreement", ",", "you", "do", "not", "waive", "any", "rights", "or", "claims", "under", "the", "ADEA", "that", "may", "arise", "after", "the", "date", "the", "waiver", "is", "executed", ";", "(", "d", ")", "You", "acknowledge", "that", "the", "waiver", "of", "rights", "or", "claims", "arising", "under", "the", "ADEA", "is", "in", "exchange", "for", "the", "Consideration", ",", "which", "is", "above", "and", "beyond", "that", "to", "which", "you", "are", "entitled", ";", "(", "e", ")", "You", "acknowledge", "that", "Profire", "is", "expressly", "advising", "you", "to", "consult", "with", "an", "attorney", "of", "your", "choosing", "prior", "to", "executing", "this", "Agreement", ";", "(", "f", ")", "You", "have", "been", "advised", "by", "Profire", "that", "you", "are", "entitled", "to", "up", "to", "twenty-one", "(", "21", ")", "days", "from", "receipt", "of", "this", "Agreement", "within", "which", "to", "consider", "this", "Agreement", ",", "which", "period", "is", "referred", "to", "as", "the", "Review", "Period", ";", "(", "g", ")", "You", "acknowledge", "that", "you", "have", "been", "advised", "by", "Profire", "that", "you", "are", "entitled", "to", "revoke", "(", "in", "the", "event", "you", "execute", "this", "Agreement", ")", "this", "waiver", "of", "rights", "or", "claims", "arising", "under", "the", "ADEA", "within", "seven", "(", "7", ")", "days", "after", "executing", "this", "Agreement", "and", "that", "said", "waiver", "will", "not", "be", ",", "and", "does", "not", "become", ",", "effective", "or", "enforceable", "until", "the", "seven", "(", "7", ")", "day", "revocation", "period", "has", "expired", "(", "the", "\"", "Revocation", "Period", "\"", ")", ";", "(", "h", ")", "The", "parties", "agree", "that", "should", "you", "exercise", "your", "right", "to", "revoke", "the", "waiver", "under", "subparagraph", "(", "g", ")", "hereof", ",", "this", "entire", "Agreement", ",", "and", "its", "obligations", ",", "including", ",", "but", "not", "limited", "to", "the", "obligation", "to", "provide", "you", "with", "Consideration", "and", "any", "other", "benefits", ",", "are", "null", ",", "void", "and", "of", "no", "effect", ";", "(", "i", ")", "You", "acknowledge", "and", "agree", "that", "you", "will", "communicate", "your", "decision", "to", "accept", "or", "reject", "this", "Agreement", "to", "Profire", "as", "provided", "herein", ";", "and", "(", "j", ")", "nothing", "in", "this", "Agreement", "will", "be", "construed", "to", "prohibit", "you", "from", "filing", "a", "charge", "or", "complaint", ",", "including", "a", "challenge", "to", "the", "validity", "of", "the", "waiver", "provision", "of", "this", "Agreement", ",", "with", "the", "Equal", "Employment", "Opportunity", "Commission", "or", "participating", "in", "any", "investigation", "conducted", "by", "the", "Equal", "Employment", "Opportunity", "Commission", ",", "though", "you", "have", "waived", "any", "right", "to", "monetary", "relief", ".", "Should", "you", "elect", "to", "revoke", "this", "Agreement", "within", "the", "Revocation", "Period", ",", "a", "written", "notice", "of", "revocation", "will", "be", "delivered", "to", "the", "Company", ",", "Attn", ":", "Ryan", "Oviatt", ",", "321", "South", "1250", "West", ",", "Suite", "1", ",", "Lindon", ",", "UT", "84042", "."]}
{"id": "15833", "text": "The geographic limitation to this Section 6 is the United States of America, Canada, Brazil , and Australia. Notwithstanding your obligations under this Section 6, you will be entitled to own, as a passive investor, up to five percent (5%) of any publicly traded company without violating this provision.", "ner": [[9, 12, "Parties"], [46, 47, "Percentage"]], "tokenized_text": ["The", "geographic", "limitation", "to", "this", "Section", "6", "is", "the", "United", "States", "of", "America", ",", "Canada", ",", "Brazil", ",", "and", "Australia", ".", "Notwithstanding", "your", "obligations", "under", "this", "Section", "6", ",", "you", "will", "be", "entitled", "to", "own", ",", "as", "a", "passive", "investor", ",", "up", "to", "five", "percent", "(", "5", "%", ")", "of", "any", "publicly", "traded", "company", "without", "violating", "this", "provision", "."]}
{"id": "15834", "text": "17. Amendments; Waiver . This Agreement may not be altered or amended, and no right hereunder may be waived, except by an instrument executed by each of the parties hereto. No waiver of any term, provision, or condition of this Agreement, in any one or more instances, will be deemed to be or construed as a further or continuing waiver of any such term, provision or condition or as a waiver of any other term, provision or condition of this Agreement.", "ner": [], "tokenized_text": ["17", ".", "Amendments", ";", "Waiver", ".", "This", "Agreement", "may", "not", "be", "altered", "or", "amended", ",", "and", "no", "right", "hereunder", "may", "be", "waived", ",", "except", "by", "an", "instrument", "executed", "by", "each", "of", "the", "parties", "hereto", ".", "No", "waiver", "of", "any", "term", ",", "provision", ",", "or", "condition", "of", "this", "Agreement", ",", "in", "any", "one", "or", "more", "instances", ",", "will", "be", "deemed", "to", "be", "or", "construed", "as", "a", "further", "or", "continuing", "waiver", "of", "any", "such", "term", ",", "provision", "or", "condition", "or", "as", "a", "waiver", "of", "any", "other", "term", ",", "provision", "or", "condition", "of", "this", "Agreement", "."]}
{"id": "15835", "text": "18. Governing Law; Jurisdiction . EXCEPT WHERE PREEMPTED BY US FEDERAL LAW, THIS AGREEMENT WILL BE GOVERNED BY AND CONSTRUED IN ACCORDANCE WITH FEDERAL LAW AND THE LAWS OF THE STATE OF UTAH, APPLICABLE TO AGREEMENTS MADE AND TO BE PERFORMED IN THAT STATE. ANY DISPUTE ARISING OUT OF THIS AGREEMENT, OR THE BREACH THEREOF, WILL BE BROUGHT IN A COURT OF COMPETENT JURISDICTION IN SALT LAKE COUNTY, THE STATE OF UTAH, THE PARTIES EXPRESSLY CONSENTING TO VENUE IN SALT LAKE COUNTY, THE STATE OF UTAH , EXCEPT THAT THE COMPANY WILL HAVE THE RIGHT TO ENFORCE SECTIONS 4, 5, 6, 7 AND 13 OF THIS AGREEMENT AND APPLY FOR INJUNCTIVE RELIEF IN ANY COURT OF COMPETENT JURISDICTION IN ANY STATE, PROVINCE, OR COUNTRY IN WHICH YOUR ACTIONS MAY CONSTITUTE A BREACH OF ANY OF SECTIONS 4, 5, 6, 7 OR 13 OF THIS AGREEMENT. EACH PARTY TO THIS AGREEMENT HEREBY WAIVES ANY RIGHT TO TRIAL BY JURY IN CONNECTION WITH ANY SUIT, ACTION OR PROCEEDING UNDER OR IN CONNECTION WITH THIS AGREEMENT. THE PREVAILING PARTY IN ANY LAWSUIT THAT GIVES RISE TO CLAIMS GOVERNED BY THIS AGREEMENT WILL BE ENTITLED TO AN AWARD OF ATTORNEYS' FEES FROM THE OTHER PARTY.", "ner": [[16, 16, "Title"], [33, 35, "Court"], [72, 74, "Address"]], "tokenized_text": ["18", ".", "Governing", "Law", ";", "Jurisdiction", ".", "EXCEPT", "WHERE", "PREEMPTED", "BY", "US", "FEDERAL", "LAW", ",", "THIS", "AGREEMENT", "WILL", "BE", "GOVERNED", "BY", "AND", "CONSTRUED", "IN", "ACCORDANCE", "WITH", "FEDERAL", "LAW", "AND", "THE", "LAWS", "OF", "THE", "STATE", "OF", "UTAH", ",", "APPLICABLE", "TO", "AGREEMENTS", "MADE", "AND", "TO", "BE", "PERFORMED", "IN", "THAT", "STATE", ".", "ANY", "DISPUTE", "ARISING", "OUT", "OF", "THIS", "AGREEMENT", ",", "OR", "THE", "BREACH", "THEREOF", ",", "WILL", "BE", "BROUGHT", "IN", "A", "COURT", "OF", "COMPETENT", "JURISDICTION", "IN", "SALT", "LAKE", "COUNTY", ",", "THE", "STATE", "OF", "UTAH", ",", "THE", "PARTIES", "EXPRESSLY", "CONSENTING", "TO", "VENUE", "IN", "SALT", "LAKE", "COUNTY", ",", "THE", "STATE", "OF", "UTAH", ",", "EXCEPT", "THAT", "THE", "COMPANY", "WILL", "HAVE", "THE", "RIGHT", "TO", "ENFORCE", "SECTIONS", "4", ",", "5", ",", "6", ",", "7", "AND", "13", "OF", "THIS", "AGREEMENT", "AND", "APPLY", "FOR", "INJUNCTIVE", "RELIEF", "IN", "ANY", "COURT", "OF", "COMPETENT", "JURISDICTION", "IN", "ANY", "STATE", ",", "PROVINCE", ",", "OR", "COUNTRY", "IN", "WHICH", "YOUR", "ACTIONS", "MAY", "CONSTITUTE", "A", "BREACH", "OF", "ANY", "OF", "SECTIONS", "4", ",", "5", ",", "6", ",", "7", "OR", "13", "OF", "THIS", "AGREEMENT", ".", "EACH", "PARTY", "TO", "THIS", "AGREEMENT", "HEREBY", "WAIVES", "ANY", "RIGHT", "TO", "TRIAL", "BY", "JURY", "IN", "CONNECTION", "WITH", "ANY", "SUIT", ",", "ACTION", "OR", "PROCEEDING", "UNDER", "OR", "IN", "CONNECTION", "WITH", "THIS", "AGREEMENT", ".", "THE", "PREVAILING", "PARTY", "IN", "ANY", "LAWSUIT", "THAT", "GIVES", "RISE", "TO", "CLAIMS", "GOVERNED", "BY", "THIS", "AGREEMENT", "WILL", "BE", "ENTITLED", "TO", "AN", "AWARD", "OF", "ATTORNEYS", "'", "FEES", "FROM", "THE", "OTHER", "PARTY", "."]}
{"id": "15839", "text": "(ii) Upon the date of this Agreement the Company shall grant to David R. Wells or his designee (Wells) a stock option award covering a total of 15,000 shares of Common Stock under the Companys 2016 Omnibus Incentive Plan (the Plan) with a per share exercise price equal to offering price to the public for the Companys initial public offering, exercisable for a 4-year period from such options grant date and vesting in twelve equal quarterly installments; and", "ner": [[14, 17, "Parties"], [32, 34, "Shares"]], "tokenized_text": ["(", "ii", ")", "Upon", "the", "date", "of", "this", "Agreement", "the", "Company", "shall", "grant", "to", "David", "R", ".", "Wells", "or", "his", "designee", "(", "Wells", ")", "a", "stock", "option", "award", "covering", "a", "total", "of", "15", ",", "000", "shares", "of", "Common", "Stock", "under", "the", "Companys", "2016", "Omnibus", "Incentive", "Plan", "(", "the", "Plan", ")", "with", "a", "per", "share", "exercise", "price", "equal", "to", "offering", "price", "to", "the", "public", "for", "the", "Companys", "initial", "public", "offering", ",", "exercisable", "for", "a", "4-year", "period", "from", "such", "options", "grant", "date", "and", "vesting", "in", "twelve", "equal", "quarterly", "installments", ";", "and"]}
{"id": "14841", "text": "StoryCorp Consulting ---|---|--- |", "ner": [], "tokenized_text": ["StoryCorp", "Consulting", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "|"]}
{"id": "16843", "text": "ENDRA Life Sciences Inc. |", "ner": [], "tokenized_text": ["ENDRA", "Life", "Sciences", "Inc", ".", "|"]}
{"id": "15845", "text": "20. Governing Law. This Agreement shall be governed by and construed under the laws of the State of California (irrespective of its choice of law principles). Each party hereby consents to the exclusive jurisdiction of the state and federal courts sitting in Los Angeles County, California, in any action on a claim arising out of, under or in connection with this Agreement or the transactions contemplated by this Agreement. Each party further agrees that personal jurisdiction over such party may be effected by service of process by registered or certified mail addressed as provided in Section 9(a) of this Agreement, and that when so made shall be as if served upon such party personally within the State of California.", "ner": [[18, 20, "Court"], [47, 51, "Court"]], "tokenized_text": ["20", ".", "Governing", "Law", ".", "This", "Agreement", "shall", "be", "governed", "by", "and", "construed", "under", "the", "laws", "of", "the", "State", "of", "California", "(", "irrespective", "of", "its", "choice", "of", "law", "principles", ")", ".", "Each", "party", "hereby", "consents", "to", "the", "exclusive", "jurisdiction", "of", "the", "state", "and", "federal", "courts", "sitting", "in", "Los", "Angeles", "County", ",", "California", ",", "in", "any", "action", "on", "a", "claim", "arising", "out", "of", ",", "under", "or", "in", "connection", "with", "this", "Agreement", "or", "the", "transactions", "contemplated", "by", "this", "Agreement", ".", "Each", "party", "further", "agrees", "that", "personal", "jurisdiction", "over", "such", "party", "may", "be", "effected", "by", "service", "of", "process", "by", "registered", "or", "certified", "mail", "addressed", "as", "provided", "in", "Section", "9", "(", "a", ")", "of", "this", "Agreement", ",", "and", "that", "when", "so", "made", "shall", "be", "as", "if", "served", "upon", "such", "party", "personally", "within", "the", "State", "of", "California", "."]}
{"id": "15849", "text": "This Consulting Agreement (the \"Agreement\"), effective as of May 22, 2017 is entered into by and between Magellan Gold Corporation , herein referred to as the \"Company\"), having its principal place of business at 2010A Harbison Drive, Suite 312, Vacaville, CA 95687 and Bright Star International, Inc. , ( herein referred to as the Consultant) having its principal place of business at 109 East 17th Street, Suite 25, Cheyenne, WY 82001.", "ner": [[1, 2, "Title"], [13, 16, "EffectiveDate"], [23, 25, "Parties"], [44, 54, "Address"], [56, 61, "Parties"], [78, 89, "Address"]], "tokenized_text": ["This", "Consulting", "Agreement", "(", "the", "\"", "Agreement", "\"", ")", ",", "effective", "as", "of", "May", "22", ",", "2017", "is", "entered", "into", "by", "and", "between", "Magellan", "Gold", "Corporation", ",", "herein", "referred", "to", "as", "the", "\"", "Company", "\"", ")", ",", "having", "its", "principal", "place", "of", "business", "at", "2010A", "Harbison", "Drive", ",", "Suite", "312", ",", "Vacaville", ",", "CA", "95687", "and", "Bright", "Star", "International", ",", "Inc", ".", ",", "(", "herein", "referred", "to", "as", "the", "Consultant", ")", "having", "its", "principal", "place", "of", "business", "at", "109", "East", "17th", "Street", ",", "Suite", "25", ",", "Cheyenne", ",", "WY", "82001", "."]}
{"id": "15852", "text": "109 East 17th Street, Suite 25", "ner": [[0, 6, "Address"]], "tokenized_text": ["109", "East", "17th", "Street", ",", "Suite", "25"]}
{"id": "14854", "text": "(i) the direct or indirect sale, conveyance, transfer, lease or other disposition (other than by way of merger or consolidation), in one or a series of related transactions, of all or substantially all of the assets of Borrower and its Subsidiaries, taken as a whole, to any person (as such term is used in Sections 13(d) and 14(d) of the Exchange Act);&lt; br/&gt;", "ner": [[78, 79, "Act"]], "tokenized_text": ["(", "i", ")", "the", "direct", "or", "indirect", "sale", ",", "conveyance", ",", "transfer", ",", "lease", "or", "other", "disposition", "(", "other", "than", "by", "way", "of", "merger", "or", "consolidation", ")", ",", "in", "one", "or", "a", "series", "of", "related", "transactions", ",", "of", "all", "or", "substantially", "all", "of", "the", "assets", "of", "Borrower", "and", "its", "Subsidiaries", ",", "taken", "as", "a", "whole", ",", "to", "any", "person", "(", "as", "such", "term", "is", "used", "in", "Sections", "13", "(", "d", ")", "and", "14", "(", "d", ")", "of", "the", "Exchange", "Act", ")", ";", "&", "lt", ";", "br", "/", "&", "gt", ";"]}
{"id": "11858", "text": "Property means each, any and all real property owned now or in the future by Borrower or its Subsidiaries and the Fixtures and Improvements thereon, whether or not pledged as security for the Loans, other than the real property, Fixtures and Improvements located at 6014 S IH 35 Frontage Road, Austin, Texas and such other real property, Fixtures and Improvements which are expressly excluded in writing by Agent.", "ner": [[48, 57, "Address"]], "tokenized_text": ["Property", "means", "each", ",", "any", "and", "all", "real", "property", "owned", "now", "or", "in", "the", "future", "by", "Borrower", "or", "its", "Subsidiaries", "and", "the", "Fixtures", "and", "Improvements", "thereon", ",", "whether", "or", "not", "pledged", "as", "security", "for", "the", "Loans", ",", "other", "than", "the", "real", "property", ",", "Fixtures", "and", "Improvements", "located", "at", "6014", "S", "IH", "35", "Frontage", "Road", ",", "Austin", ",", "Texas", "and", "such", "other", "real", "property", ",", "Fixtures", "and", "Improvements", "which", "are", "expressly", "excluded", "in", "writing", "by", "Agent", "."]}
{"id": "15860", "text": "Required Lenders means one or more Lenders whose aggregate Pro Rata Shares (without regard to the Pro Rata Share of the Agent) exceeds 51% .", "ner": [[25, 26, "Percentage"]], "tokenized_text": ["Required", "Lenders", "means", "one", "or", "more", "Lenders", "whose", "aggregate", "Pro", "Rata", "Shares", "(", "without", "regard", "to", "the", "Pro", "Rata", "Share", "of", "the", "Agent", ")", "exceeds", "51", "%", "."]}
{"id": "15864", "text": "2.4.2 Mandatory Principal Payments. All principal and accrued interest for each Loan shall be due and payable on the Loan Maturity Date. Notwithstanding the foregoing, upon receipt of cash proceeds from a Qualifying Capital Transaction, Borrower shall prepay without penalty or premium the entire outstanding principal amount of this Agreement, including all unpaid PIK Interest, together with all accrued and unpaid interest. Borrower shall make all payments to each Lender in accordance with their Pro Rata Share of the applicable payment.", "ner": [[85, 87, "Ratio"]], "tokenized_text": ["2", ".", "4", ".", "2", "Mandatory", "Principal", "Payments", ".", "All", "principal", "and", "accrued", "interest", "for", "each", "Loan", "shall", "be", "due", "and", "payable", "on", "the", "Loan", "Maturity", "Date", ".", "Notwithstanding", "the", "foregoing", ",", "upon", "receipt", "of", "cash", "proceeds", "from", "a", "Qualifying", "Capital", "Transaction", ",", "Borrower", "shall", "prepay", "without", "penalty", "or", "premium", "the", "entire", "outstanding", "principal", "amount", "of", "this", "Agreement", ",", "including", "all", "unpaid", "PIK", "Interest", ",", "together", "with", "all", "accrued", "and", "unpaid", "interest", ".", "Borrower", "shall", "make", "all", "payments", "to", "each", "Lender", "in", "accordance", "with", "their", "Pro", "Rata", "Share", "of", "the", "applicable", "payment", "."]}
{"id": "15865", "text": "4.3.4 unsecured Indebtedness that, when added to all other Indebtedness incurred pursuant to this clause and then outstanding, will not exceed Five Million and No/100 Dollars ( $5,000,000 ) in the aggregate.", "ner": [[35, 40, "Principal"]], "tokenized_text": ["4", ".", "3", ".", "4", "unsecured", "Indebtedness", "that", ",", "when", "added", "to", "all", "other", "Indebtedness", "incurred", "pursuant", "to", "this", "clause", "and", "then", "outstanding", ",", "will", "not", "exceed", "Five", "Million", "and", "No", "/", "100", "Dollars", "(", "$", "5", ",", "000", ",", "000", ")", "in", "the", "aggregate", "."]}
{"id": "15866", "text": "4.10 Financial Statements. To the extent not filed with the United Stated Securities and Exchange Commission and publicly available on EDGAR, within 120 days after the end of each fiscal year and 60 days after each fiscal quarter (or if Borrower is a reporting company under the Securities and Exchange Act of 1934 , such period as required thereunder for the filing thereof), Borrower will provide to Lenders copies of the audited financial statements of Borrower and all of its consolidated Affiliates for the prior fiscal year or unaudited financial statements of Borrower and all of its consolidated Affiliates with respect to each of the first three fiscal quarters of each fiscal year.", "ner": [[52, 57, "Act"]], "tokenized_text": ["4", ".", "10", "Financial", "Statements", ".", "To", "the", "extent", "not", "filed", "with", "the", "United", "Stated", "Securities", "and", "Exchange", "Commission", "and", "publicly", "available", "on", "EDGAR", ",", "within", "120", "days", "after", "the", "end", "of", "each", "fiscal", "year", "and", "60", "days", "after", "each", "fiscal", "quarter", "(", "or", "if", "Borrower", "is", "a", "reporting", "company", "under", "the", "Securities", "and", "Exchange", "Act", "of", "1934", ",", "such", "period", "as", "required", "thereunder", "for", "the", "filing", "thereof", ")", ",", "Borrower", "will", "provide", "to", "Lenders", "copies", "of", "the", "audited", "financial", "statements", "of", "Borrower", "and", "all", "of", "its", "consolidated", "Affiliates", "for", "the", "prior", "fiscal", "year", "or", "unaudited", "financial", "statements", "of", "Borrower", "and", "all", "of", "its", "consolidated", "Affiliates", "with", "respect", "to", "each", "of", "the", "first", "three", "fiscal", "quarters", "of", "each", "fiscal", "year", "."]}
{"id": "14867", "text": "4.14 Environmental Condition of Property and Indemnity. Except as set forth in Exhibit 4.14, Borrower represents to Agent and each Lender that no portion of any Property is a protected wetland. Borrower agrees to notify Agent and Lenders immediately upon receipt of any citations, warnings, orders, notices, consent agreements, process or claims alleging or relating to violations of any Environmental Laws or to the environmental condition of each Property and shall conduct and complete all investigations and all cleanup actions necessary to comply with the Environmental Laws and to remove, in accordance with Environmental Laws, any Hazardous Material in excess of De Minimis Amounts from each Property. BORROWER SHALL DEFEND, AND HOLD AGENT, LENDERS AND ANY PARTICIPANTS, SUCCESSORS OR ASSIGNS TO LENDERS INTEREST IN THE LOANS, AND ANY OTHER PARTY WHO ACQUIRES ANY PORTION OF THE LOANS AT A FORECLOSURE SALE OR OTHERWISE THROUGH THE EXERCISE OF AGENTS AND LENDERS RIGHTS AND REMEDIES UNDER THE LOAN DOCUMENTS, AND ALL DIRECTORS, OFFICERS, EMPLOYEES AND AGENTS OF ALL OF THE AFOREMENTIONED INDEMNIFIED PARTIES, HARMLESS FROM AND AGAINST ANY AND ALL ACTUAL OR POTENTIAL DAMAGES, PENALTIES, FINES, CLAIMS , SUITS, LIABILITIES, COSTS, JUDGMENTS AND EXPENSES, INCLUDING REASONABLE ATTORNEYS, CONSULTANTS OR EXPERTS FEES OF EVERY KIND AND NATURE INCURRED, SUFFERED BY OR ASSERTED AGAINST AGENT OR LENDERS AS A DIRECT OR INDIRECT RESULT OF OR WHICH ARISE OUT OF OR RELATE IN ANY WAY TO: (A) REPRESENTATIONS MADE BY BORROWER IN THIS SECTION BEING OR BECOMING UNTRUE IN ANY MATERIAL RESPECT; (B)BORROWERS VIOLATION OF OR FAILURE TO MEET THE REQUIREMENTS OF ANY ENVIRONMENTAL LAWS; OR (C)HAZARDOUS MATERIALS WHICH, WHILE ANY PROPERTY IS SUBJECT TO THE MORTGAGE, EXIST ON ANY PROPERTY IN EXCESS OF DE MINIMIS AMOUNTS OR OTHERWISE IN VIOLATION OF ANY ENVIRONMENTAL LAW. HOWEVER, BORROWERS OBLIGATIONS UNDER THIS SECTION SHALL NOT APPLY TO ANY ACT OF AGENT OR LENDERS WHICH TAKES PLACE AFTER FORECLOSURE OR SATISFACTION OF THE MORTGAGE. THESE INDEMNIFICATION OBLIGATIONS ARE IN ADDITION TO GENERAL INDEMNIFICATION PROVISIONS SET FORTH HEREAFTER. BORROWERS OBLIGATIONS UNDER THIS SECTION SHALL CONTINUE, SURVIVE AND REMAIN IN FULL FORCE AND EFFECT NOTWITHSTANDING THE REPAYMENT OF THE OBLIGATIONS, A FORECLOSURE OF OR EXERCISE OF POWER OF SALE UNDER THIS INSTRUMENT, A DELIVERY OF A DEED IN LIEU OF FORECLOSURE, A CANCELLATION OR TERMINATION OF RECORD OF THIS INSTRUMENT AND THE TRANSFER OF ANY PROPERTY.", "ner": [[71, 72, "Act"], [286, 286, "Parties"]], "tokenized_text": ["4", ".", "14", "Environmental", "Condition", "of", "Property", "and", "Indemnity", ".", "Except", "as", "set", "forth", "in", "Exhibit", "4", ".", "14", ",", "Borrower", "represents", "to", "Agent", "and", "each", "Lender", "that", "no", "portion", "of", "any", "Property", "is", "a", "protected", "wetland", ".", "Borrower", "agrees", "to", "notify", "Agent", "and", "Lenders", "immediately", "upon", "receipt", "of", "any", "citations", ",", "warnings", ",", "orders", ",", "notices", ",", "consent", "agreements", ",", "process", "or", "claims", "alleging", "or", "relating", "to", "violations", "of", "any", "Environmental", "Laws", "or", "to", "the", "environmental", "condition", "of", "each", "Property", "and", "shall", "conduct", "and", "complete", "all", "investigations", "and", "all", "cleanup", "actions", "necessary", "to", "comply", "with", "the", "Environmental", "Laws", "and", "to", "remove", ",", "in", "accordance", "with", "Environmental", "Laws", ",", "any", "Hazardous", "Material", "in", "excess", "of", "De", "Minimis", "Amounts", "from", "each", "Property", ".", "BORROWER", "SHALL", "DEFEND", ",", "AND", "HOLD", "AGENT", ",", "LENDERS", "AND", "ANY", "PARTICIPANTS", ",", "SUCCESSORS", "OR", "ASSIGNS", "TO", "LENDERS", "INTEREST", "IN", "THE", "LOANS", ",", "AND", "ANY", "OTHER", "PARTY", "WHO", "ACQUIRES", "ANY", "PORTION", "OF", "THE", "LOANS", "AT", "A", "FORECLOSURE", "SALE", "OR", "OTHERWISE", "THROUGH", "THE", "EXERCISE", "OF", "AGENTS", "AND", "LENDERS", "RIGHTS", "AND", "REMEDIES", "UNDER", "THE", "LOAN", "DOCUMENTS", ",", "AND", "ALL", "DIRECTORS", ",", "OFFICERS", ",", "EMPLOYEES", "AND", "AGENTS", "OF", "ALL", "OF", "THE", "AFOREMENTIONED", "INDEMNIFIED", "PARTIES", ",", "HARMLESS", "FROM", "AND", "AGAINST", "ANY", "AND", "ALL", "ACTUAL", "OR", "POTENTIAL", "DAMAGES", ",", "PENALTIES", ",", "FINES", ",", "CLAIMS", ",", "SUITS", ",", "LIABILITIES", ",", "COSTS", ",", "JUDGMENTS", "AND", "EXPENSES", ",", "INCLUDING", "REASONABLE", "ATTORNEYS", ",", "CONSULTANTS", "OR", "EXPERTS", "FEES", "OF", "EVERY", "KIND", "AND", "NATURE", "INCURRED", ",", "SUFFERED", "BY", "OR", "ASSERTED", "AGAINST", "AGENT", "OR", "LENDERS", "AS", "A", "DIRECT", "OR", "INDIRECT", "RESULT", "OF", "OR", "WHICH", "ARISE", "OUT", "OF", "OR", "RELATE", "IN", "ANY", "WAY", "TO", ":", "(", "A", ")", "REPRESENTATIONS", "MADE", "BY", "BORROWER", "IN", "THIS", "SECTION", "BEING", "OR", "BECOMING", "UNTRUE", "IN", "ANY", "MATERIAL", "RESPECT", ";", "(", "B", ")", "BORROWERS", "VIOLATION", "OF", "OR", "FAILURE", "TO", "MEET", "THE", "REQUIREMENTS", "OF", "ANY", "ENVIRONMENTAL", "LAWS", ";", "OR", "(", "C", ")", "HAZARDOUS", "MATERIALS", "WHICH", ",", "WHILE", "ANY", "PROPERTY", "IS", "SUBJECT", "TO", "THE", "MORTGAGE", ",", "EXIST", "ON", "ANY", "PROPERTY", "IN", "EXCESS", "OF", "DE", "MINIMIS", "AMOUNTS", "OR", "OTHERWISE", "IN", "VIOLATION", "OF", "ANY", "ENVIRONMENTAL", "LAW", ".", "HOWEVER", ",", "BORROWERS", "OBLIGATIONS", "UNDER", "THIS", "SECTION", "SHALL", "NOT", "APPLY", "TO", "ANY", "ACT", "OF", "AGENT", "OR", "LENDERS", "WHICH", "TAKES", "PLACE", "AFTER", "FORECLOSURE", "OR", "SATISFACTION", "OF", "THE", "MORTGAGE", ".", "THESE", "INDEMNIFICATION", "OBLIGATIONS", "ARE", "IN", "ADDITION", "TO", "GENERAL", "INDEMNIFICATION", "PROVISIONS", "SET", "FORTH", "HEREAFTER", ".", "BORROWERS", "OBLIGATIONS", "UNDER", "THIS", "SECTION", "SHALL", "CONTINUE", ",", "SURVIVE", "AND", "REMAIN", "IN", "FULL", "FORCE", "AND", "EFFECT", "NOTWITHSTANDING", "THE", "REPAYMENT", "OF", "THE", "OBLIGATIONS", ",", "A", "FORECLOSURE", "OF", "OR", "EXERCISE", "OF", "POWER", "OF", "SALE", "UNDER", "THIS", "INSTRUMENT", ",", "A", "DELIVERY", "OF", "A", "DEED", "IN", "LIEU", "OF", "FORECLOSURE", ",", "A", "CANCELLATION", "OR", "TERMINATION", "OF", "RECORD", "OF", "THIS", "INSTRUMENT", "AND", "THE", "TRANSFER", "OF", "ANY", "PROPERTY", "."]}
{"id": "13869", "text": "5.2.1 Acceleration. Agent may , and upon request of a Lender, shall declare any or all Obligations to be immediately due and payable (if not earlier demanded), terminate its obligation to make Loans and other extensions of credit to Borrower, bring suit against Borrower and Guarantor to collect the Obligations, exercise any remedy available to Lenders hereunder or at law and take any action or exercise any remedy provided herein or in any other Loan Document or under applicable law. No remedy shall be exclusive of other remedies or impair the right of Agent to exercise any other remedies.", "ner": [], "tokenized_text": ["5", ".", "2", ".", "1", "Acceleration", ".", "Agent", "may", ",", "and", "upon", "request", "of", "a", "Lender", ",", "shall", "declare", "any", "or", "all", "Obligations", "to", "be", "immediately", "due", "and", "payable", "(", "if", "not", "earlier", "demanded", ")", ",", "terminate", "its", "obligation", "to", "make", "Loans", "and", "other", "extensions", "of", "credit", "to", "Borrower", ",", "bring", "suit", "against", "Borrower", "and", "Guarantor", "to", "collect", "the", "Obligations", ",", "exercise", "any", "remedy", "available", "to", "Lenders", "hereunder", "or", "at", "law", "and", "take", "any", "action", "or", "exercise", "any", "remedy", "provided", "herein", "or", "in", "any", "other", "Loan", "Document", "or", "under", "applicable", "law", ".", "No", "remedy", "shall", "be", "exclusive", "of", "other", "remedies", "or", "impair", "the", "right", "of", "Agent", "to", "exercise", "any", "other", "remedies", "."]}
{"id": "15871", "text": "5.2.3 Foreclosure. Agent may , and upon request of a Lender, shall exercise any or all of Agents remedies under the Mortgage or other Loan Documents including, without limitation, acceleration of the maturity of all payments and Obligations. Agent may , and upon request of a Lender, shall take immediate possession of each, any and all Property or any part thereof (which Borrower agrees to surrender to Agent) and manage, control or lease the same to such Persons and at such rental as it may deem proper and collect and apply Rents (as defined in the applicable Mortgage) to the payment of: (i)the Obligations, together with all costs and attorneys fees; (ii)all levies, assessments or liens which may be prior in lien or", "ner": [[27, 27, "Title"]], "tokenized_text": ["5", ".", "2", ".", "3", "Foreclosure", ".", "Agent", "may", ",", "and", "upon", "request", "of", "a", "Lender", ",", "shall", "exercise", "any", "or", "all", "of", "Agents", "remedies", "under", "the", "Mortgage", "or", "other", "Loan", "Documents", "including", ",", "without", "limitation", ",", "acceleration", "of", "the", "maturity", "of", "all", "payments", "and", "Obligations", ".", "Agent", "may", ",", "and", "upon", "request", "of", "a", "Lender", ",", "shall", "take", "immediate", "possession", "of", "each", ",", "any", "and", "all", "Property", "or", "any", "part", "thereof", "(", "which", "Borrower", "agrees", "to", "surrender", "to", "Agent", ")", "and", "manage", ",", "control", "or", "lease", "the", "same", "to", "such", "Persons", "and", "at", "such", "rental", "as", "it", "may", "deem", "proper", "and", "collect", "and", "apply", "Rents", "(", "as", "defined", "in", "the", "applicable", "Mortgage", ")", "to", "the", "payment", "of", ":", "(", "i", ")", "the", "Obligations", ",", "together", "with", "all", "costs", "and", "attorneys", "fees", ";", "(", "ii", ")", "all", "levies", ",", "assessments", "or", "liens", "which", "may", "be", "prior", "in", "lien", "or"]}
{"id": "15875", "text": "Telephone No.: (602) 382-6379", "ner": [[4, 7, "PII_Ref"]], "tokenized_text": ["Telephone", "No", ".", ":", "(", "602", ")", "382-6379"]}
{"id": "15877", "text": "8.10 Integration; Final Agreement. This Agreement and the other Loan Documents represent the final agreement between the parties and may not be contradicted by evidence of prior, contemporaneous or subsequent oral agreements of the parties. There are no unwritten oral agreements between the parties.", "ner": [[5, 6, "Title"]], "tokenized_text": ["8", ".", "10", "Integration", ";", "Final", "Agreement", ".", "This", "Agreement", "and", "the", "other", "Loan", "Documents", "represent", "the", "final", "agreement", "between", "the", "parties", "and", "may", "not", "be", "contradicted", "by", "evidence", "of", "prior", ",", "contemporaneous", "or", "subsequent", "oral", "agreements", "of", "the", "parties", ".", "There", "are", "no", "unwritten", "oral", "agreements", "between", "the", "parties", "."]}
{"id": "15879", "text": "8.12 WAIVER OF JURY TRIAL. TO THE EXTENT PERMITTED BY APPLICABLE LAW, EACH OF THE PARTIES HERETO, INCLUDING LENDER BY ACCEPTANCE HEREOF, HEREBY KNOWINGLY, VOLUNTARILY AND INTENTIONALLY WAIVES ANY RIGHT EACH MAY HAVE TO A TRIAL BY JURY IN RESPECT OF ANY LITIGATION BASED ON, OR ARISING OUT OF, UNDER OR IN CONNECTION WITH THIS AGREEMENT, OR ANY COURSE OF CONDUCT, COURSE OF DEALING, STATEMENTS (WHETHER VERBAL OR WRITTEN) OR ACTIONS OF ANY PARTY WITH RESPECT HERETO. THIS PROVISION IS A MATERIAL", "ner": [], "tokenized_text": ["8", ".", "12", "WAIVER", "OF", "JURY", "TRIAL", ".", "TO", "THE", "EXTENT", "PERMITTED", "BY", "APPLICABLE", "LAW", ",", "EACH", "OF", "THE", "PARTIES", "HERETO", ",", "INCLUDING", "LENDER", "BY", "ACCEPTANCE", "HEREOF", ",", "HEREBY", "KNOWINGLY", ",", "VOLUNTARILY", "AND", "INTENTIONALLY", "WAIVES", "ANY", "RIGHT", "EACH", "MAY", "HAVE", "TO", "A", "TRIAL", "BY", "JURY", "IN", "RESPECT", "OF", "ANY", "LITIGATION", "BASED", "ON", ",", "OR", "ARISING", "OUT", "OF", ",", "UNDER", "OR", "IN", "CONNECTION", "WITH", "THIS", "AGREEMENT", ",", "OR", "ANY", "COURSE", "OF", "CONDUCT", ",", "COURSE", "OF", "DEALING", ",", "STATEMENTS", "(", "WHETHER", "VERBAL", "OR", "WRITTEN", ")", "OR", "ACTIONS", "OF", "ANY", "PARTY", "WITH", "RESPECT", "HERETO", ".", "THIS", "PROVISION", "IS", "A", "MATERIAL"]}
{"id": "15880", "text": "INDUCEMENT TO EACH PARTY TO ACCEPT THIS AGREEMENT. EACH OF THE PARTIES AGREES THAT THE TERMS HEREOF SHALL SUPERSEDE AND REPLACE ANY PRIOR AGREEMENT RELATED TO ARBITRATION OF DISPUTES BETWEEN THE PARTIES CONTAINED IN ANY OTHER DOCUMENT OR AGREEMENT HERETOFORE EXECUTED IN CONNECTION WITH, RELATED TO OR BEING REPLACED, SUPPLEMENTED, EXTENDED OR MODIFIED BY, THIS AGREEMENT.", "ner": [[7, 7, "Title"]], "tokenized_text": ["INDUCEMENT", "TO", "EACH", "PARTY", "TO", "ACCEPT", "THIS", "AGREEMENT", ".", "EACH", "OF", "THE", "PARTIES", "AGREES", "THAT", "THE", "TERMS", "HEREOF", "SHALL", "SUPERSEDE", "AND", "REPLACE", "ANY", "PRIOR", "AGREEMENT", "RELATED", "TO", "ARBITRATION", "OF", "DISPUTES", "BETWEEN", "THE", "PARTIES", "CONTAINED", "IN", "ANY", "OTHER", "DOCUMENT", "OR", "AGREEMENT", "HERETOFORE", "EXECUTED", "IN", "CONNECTION", "WITH", ",", "RELATED", "TO", "OR", "BEING", "REPLACED", ",", "SUPPLEMENTED", ",", "EXTENDED", "OR", "MODIFIED", "BY", ",", "THIS", "AGREEMENT", "."]}
{"id": "15882", "text": "| | | | CARVANA GROUP, LLC | | | | | | | By: | |", "ner": [[4, 7, "Parties"]], "tokenized_text": ["|", "|", "|", "|", "CARVANA", "GROUP", ",", "LLC", "|", "|", "|", "|", "|", "|", "|", "By", ":", "|", "|"]}
{"id": "15884", "text": "FOR VALUE RECEIVED, the undersigned, CARVANA GROUP, LLC , a Delaware limited liability company (Borrower), hereby promises to pay to the order of , a , the principal sum of up to DOLLARS ($) or such amount as may be advanced and outstanding from time to time under this Agreement.", "ner": [[7, 10, "Parties"]], "tokenized_text": ["FOR", "VALUE", "RECEIVED", ",", "the", "undersigned", ",", "CARVANA", "GROUP", ",", "LLC", ",", "a", "Delaware", "limited", "liability", "company", "(", "Borrower", ")", ",", "hereby", "promises", "to", "pay", "to", "the", "order", "of", ",", "a", ",", "the", "principal", "sum", "of", "up", "to", "DOLLARS", "(", "$", ")", "or", "such", "amount", "as", "may", "be", "advanced", "and", "outstanding", "from", "time", "to", "time", "under", "this", "Agreement", "."]}
{"id": "15885", "text": "THIS AGREEMENT SHALL BE GOVERNED BY AND CONSTRUED UNDER THE LAWS OF THE STATE OF ARIZONA (WITHOUT REFERENCE TO CHOICE-OF-LAW DOCTRINE), WHICH THE BORROWER EXPRESSLY ELECT TO APPLY TO THIS AGREEMENT.", "ner": [[13, 15, "Court"]], "tokenized_text": ["THIS", "AGREEMENT", "SHALL", "BE", "GOVERNED", "BY", "AND", "CONSTRUED", "UNDER", "THE", "LAWS", "OF", "THE", "STATE", "OF", "ARIZONA", "(", "WITHOUT", "REFERENCE", "TO", "CHOICE-OF-LAW", "DOCTRINE", ")", ",", "WHICH", "THE", "BORROWER", "EXPRESSLY", "ELECT", "TO", "APPLY", "TO", "THIS", "AGREEMENT", "."]}
{"id": "15886", "text": "| | ---|---|--- CARVANA GROUP, LLC | By: | |", "ner": [[13, 16, "Parties"]], "tokenized_text": ["|", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "CARVANA", "GROUP", ",", "LLC", "|", "By", ":", "|", "|"]}
{"id": "15887", "text": "THIS AGREEMENT, dated as of February [], 2017, is entered into by and among CARVANA, LLC, an Arizona limited liability company (Guarantor), and VERDE INVESTMENTS, INC ., an Arizona corporation (Agent), as agent on behalf of the lenders (Lenders) from time to time party to that certain Master Loan Agreement of even date herewith (as amended, restated, supplemented, or otherwise modified from time to time, the Loan Agreement) by and between Carvana Group, LLC, a Delaware limited liability company, as borrower (Borrower), Lenders and Agent.", "ner": [[6, 10, "EffectiveDate"], [18, 20, "Parties"], [32, 36, "Parties"], [63, 65, "Title"], [87, 88, "Title"], [93, 96, "Parties"]], "tokenized_text": ["THIS", "AGREEMENT", ",", "dated", "as", "of", "February", "[", "]", ",", "2017", ",", "is", "entered", "into", "by", "and", "among", "CARVANA", ",", "LLC", ",", "an", "Arizona", "limited", "liability", "company", "(", "Guarantor", ")", ",", "and", "VERDE", "INVESTMENTS", ",", "INC", ".", ",", "an", "Arizona", "corporation", "(", "Agent", ")", ",", "as", "agent", "on", "behalf", "of", "the", "lenders", "(", "Lenders", ")", "from", "time", "to", "time", "party", "to", "that", "certain", "Master", "Loan", "Agreement", "of", "even", "date", "herewith", "(", "as", "amended", ",", "restated", ",", "supplemented", ",", "or", "otherwise", "modified", "from", "time", "to", "time", ",", "the", "Loan", "Agreement", ")", "by", "and", "between", "Carvana", "Group", ",", "LLC", ",", "a", "Delaware", "limited", "liability", "company", ",", "as", "borrower", "(", "Borrower", ")", ",", "Lenders", "and", "Agent", "."]}
{"id": "15890", "text": "of De Minimis Amounts from each Property. GUARANTOR SHALL DEFEND, AND HOLD AGENT, LENDERS AND ANY PARTICIPANTS, SUCCESSORS OR ASSIGNS TO LENDERS INTEREST IN THE LOANS, AND ANY OTHER PARTY WHO ACQUIRES ANY PORTION OF THE LOANS AT A FORECLOSURE SALE OR OTHERWISE THROUGH THE EXERCISE OF AGENTS AND LENDERS RIGHTS AND REMEDIES UNDER THE LOAN DOCUMENTS, AND ALL DIRECTORS, OFFICERS, EMPLOYEES AND AGENTS OF ALL OF THE AFOREMENTIONED INDEMNIFIED PARTIES, HARMLESS FROM AND AGAINST ANY AND ALL ACTUAL OR POTENTIAL DAMAGES, PENALTIES, FINES, CLAIMS , SUITS, LIABILITIES, COSTS, JUDGMENTS AND EXPENSES, INCLUDING REASONABLE ATTORNEYS, CONSULTANTS OR EXPERTS FEES OF EVERY KIND AND NATURE INCURRED, SUFFERED BY OR ASSERTED AGAINST AGENT OR LENDERS AS A DIRECT OR INDIRECT RESULT OF OR WHICH ARISE OUT OF OR RELATE IN ANY WAY TO: (I) REPRESENTATIONS MADE BY GUARANTOR IN THIS SECTION BEING OR BECOMING UNTRUE IN ANY MATERIAL RESPECT; (II)GUARANTORS VIOLATION OF OR FAILURE TO MEET THE REQUIREMENTS OF ANY ENVIRONMENTAL LAWS; OR (III)HAZARDOUS MATERIALS WHICH, WHILE ANY PROPERTY IS SUBJECT TO THE MORTGAGE, EXIST ON ANY PROPERTY IN EXCESS OF DE MINIMIS AMOUNTS OR OTHERWISE IN VIOLATION OF ANY ENVIRONMENTAL LAW. HOWEVER, GUARANTORS OBLIGATIONS UNDER THIS SECTION SHALL NOT APPLY TO ANY ACT OF AGENT OR LENDERS WHICH TAKES PLACE AFTER FORECLOSURE OR SATISFACTION OF THE MORTGAGE. THESE INDEMNIFICATION OBLIGATIONS ARE IN ADDITION TO GENERAL INDEMNIFICATION PROVISIONS SET FORTH HEREAFTER. GUARANTORS OBLIGATIONS UNDER THIS SECTION SHALL CONTINUE, SURVIVE AND REMAIN IN FULL FORCE AND EFFECT NOTWITHSTANDING THE REPAYMENT OF THE OBLIGATIONS, A FORECLOSURE OF OR EXERCISE OF POWER OF SALE UNDER THIS INSTRUMENT, A DELIVERY OF A DEED IN LIEU OF FORECLOSURE, A CANCELLATION OR TERMINATION OF RECORD OF THIS INSTRUMENT AND THE TRANSFER OF ANY PROPERTY.", "ner": [[183, 184, "Regulation"]], "tokenized_text": ["of", "De", "Minimis", "Amounts", "from", "each", "Property", ".", "GUARANTOR", "SHALL", "DEFEND", ",", "AND", "HOLD", "AGENT", ",", "LENDERS", "AND", "ANY", "PARTICIPANTS", ",", "SUCCESSORS", "OR", "ASSIGNS", "TO", "LENDERS", "INTEREST", "IN", "THE", "LOANS", ",", "AND", "ANY", "OTHER", "PARTY", "WHO", "ACQUIRES", "ANY", "PORTION", "OF", "THE", "LOANS", "AT", "A", "FORECLOSURE", "SALE", "OR", "OTHERWISE", "THROUGH", "THE", "EXERCISE", "OF", "AGENTS", "AND", "LENDERS", "RIGHTS", "AND", "REMEDIES", "UNDER", "THE", "LOAN", "DOCUMENTS", ",", "AND", "ALL", "DIRECTORS", ",", "OFFICERS", ",", "EMPLOYEES", "AND", "AGENTS", "OF", "ALL", "OF", "THE", "AFOREMENTIONED", "INDEMNIFIED", "PARTIES", ",", "HARMLESS", "FROM", "AND", "AGAINST", "ANY", "AND", "ALL", "ACTUAL", "OR", "POTENTIAL", "DAMAGES", ",", "PENALTIES", ",", "FINES", ",", "CLAIMS", ",", "SUITS", ",", "LIABILITIES", ",", "COSTS", ",", "JUDGMENTS", "AND", "EXPENSES", ",", "INCLUDING", "REASONABLE", "ATTORNEYS", ",", "CONSULTANTS", "OR", "EXPERTS", "FEES", "OF", "EVERY", "KIND", "AND", "NATURE", "INCURRED", ",", "SUFFERED", "BY", "OR", "ASSERTED", "AGAINST", "AGENT", "OR", "LENDERS", "AS", "A", "DIRECT", "OR", "INDIRECT", "RESULT", "OF", "OR", "WHICH", "ARISE", "OUT", "OF", "OR", "RELATE", "IN", "ANY", "WAY", "TO", ":", "(", "I", ")", "REPRESENTATIONS", "MADE", "BY", "GUARANTOR", "IN", "THIS", "SECTION", "BEING", "OR", "BECOMING", "UNTRUE", "IN", "ANY", "MATERIAL", "RESPECT", ";", "(", "II", ")", "GUARANTORS", "VIOLATION", "OF", "OR", "FAILURE", "TO", "MEET", "THE", "REQUIREMENTS", "OF", "ANY", "ENVIRONMENTAL", "LAWS", ";", "OR", "(", "III", ")", "HAZARDOUS", "MATERIALS", "WHICH", ",", "WHILE", "ANY", "PROPERTY", "IS", "SUBJECT", "TO", "THE", "MORTGAGE", ",", "EXIST", "ON", "ANY", "PROPERTY", "IN", "EXCESS", "OF", "DE", "MINIMIS", "AMOUNTS", "OR", "OTHERWISE", "IN", "VIOLATION", "OF", "ANY", "ENVIRONMENTAL", "LAW", ".", "HOWEVER", ",", "GUARANTORS", "OBLIGATIONS", "UNDER", "THIS", "SECTION", "SHALL", "NOT", "APPLY", "TO", "ANY", "ACT", "OF", "AGENT", "OR", "LENDERS", "WHICH", "TAKES", "PLACE", "AFTER", "FORECLOSURE", "OR", "SATISFACTION", "OF", "THE", "MORTGAGE", ".", "THESE", "INDEMNIFICATION", "OBLIGATIONS", "ARE", "IN", "ADDITION", "TO", "GENERAL", "INDEMNIFICATION", "PROVISIONS", "SET", "FORTH", "HEREAFTER", ".", "GUARANTORS", "OBLIGATIONS", "UNDER", "THIS", "SECTION", "SHALL", "CONTINUE", ",", "SURVIVE", "AND", "REMAIN", "IN", "FULL", "FORCE", "AND", "EFFECT", "NOTWITHSTANDING", "THE", "REPAYMENT", "OF", "THE", "OBLIGATIONS", ",", "A", "FORECLOSURE", "OF", "OR", "EXERCISE", "OF", "POWER", "OF", "SALE", "UNDER", "THIS", "INSTRUMENT", ",", "A", "DELIVERY", "OF", "A", "DEED", "IN", "LIEU", "OF", "FORECLOSURE", ",", "A", "CANCELLATION", "OR", "TERMINATION", "OF", "RECORD", "OF", "THIS", "INSTRUMENT", "AND", "THE", "TRANSFER", "OF", "ANY", "PROPERTY", "."]}
{"id": "15891", "text": "7.5 Successors and Assigns. This Agreement shall be binding upon Guarantor and Agent, and shall inure to the benefit of Guarantor, Agent, Lenders, and their respective successors and assigns.", "ner": [], "tokenized_text": ["7", ".", "5", "Successors", "and", "Assigns", ".", "This", "Agreement", "shall", "be", "binding", "upon", "Guarantor", "and", "Agent", ",", "and", "shall", "inure", "to", "the", "benefit", "of", "Guarantor", ",", "Agent", ",", "Lenders", ",", "and", "their", "respective", "successors", "and", "assigns", "."]}
{"id": "15892", "text": "7.9 Counterparts; Electronic Execution. This Agreement may be executed in two or more counterparts, with the same effect as if all parties had signed the same document. All such counterparts shall be deemed an original, shall be construed together and shall constitute one and the same instrument. Delivery of an executed counterpart of this Agreement by telefacsimile or other electronic method of transmission shall be equally as effective as delivery of an original executed counterpart of this Agreement. Any party delivering an executed counterpart of this Agreement by telefacsimile or other electronic method of transmission also shall deliver an original executed counterpart of this Agreement but the failure to deliver an original executed counterpart shall not affect the validity, enforceability, and binding effect of this Agreement. The foregoing shall apply to each other Loan Document mutatis mutandis.", "ner": [], "tokenized_text": ["7", ".", "9", "Counterparts", ";", "Electronic", "Execution", ".", "This", "Agreement", "may", "be", "executed", "in", "two", "or", "more", "counterparts", ",", "with", "the", "same", "effect", "as", "if", "all", "parties", "had", "signed", "the", "same", "document", ".", "All", "such", "counterparts", "shall", "be", "deemed", "an", "original", ",", "shall", "be", "construed", "together", "and", "shall", "constitute", "one", "and", "the", "same", "instrument", ".", "Delivery", "of", "an", "executed", "counterpart", "of", "this", "Agreement", "by", "telefacsimile", "or", "other", "electronic", "method", "of", "transmission", "shall", "be", "equally", "as", "effective", "as", "delivery", "of", "an", "original", "executed", "counterpart", "of", "this", "Agreement", ".", "Any", "party", "delivering", "an", "executed", "counterpart", "of", "this", "Agreement", "by", "telefacsimile", "or", "other", "electronic", "method", "of", "transmission", "also", "shall", "deliver", "an", "original", "executed", "counterpart", "of", "this", "Agreement", "but", "the", "failure", "to", "deliver", "an", "original", "executed", "counterpart", "shall", "not", "affect", "the", "validity", ",", "enforceability", ",", "and", "binding", "effect", "of", "this", "Agreement", ".", "The", "foregoing", "shall", "apply", "to", "each", "other", "Loan", "Document", "mutatis", "mutandis", "."]}
{"id": "15895", "text": "7.13 WAIVER OF JURY TRIAL. TO THE EXTENT PERMITTED BY APPLICABLE LAW, EACH OF THE PARTIES HERETO, INCLUDING LENDER BY ACCEPTANCE HEREOF, HEREBY KNOWINGLY, VOLUNTARILY AND INTENTIONALLY WAIVES ANY RIGHT EACH MAY HAVE TO A TRIAL BY JURY IN RESPECT OF ANY LITIGATION BASED ON, OR ARISING OUT OF, UNDER OR IN CONNECTION WITH THIS AGREEMENT, OR ANY COURSE OF CONDUCT, COURSE OF DEALING, STATEMENTS (WHETHER VERBAL OR WRITTEN) OR ACTIONS OF ANY PARTY WITH RESPECT HERETO. THIS PROVISION IS A MATERIAL INDUCEMENT TO EACH PARTY TO ACCEPT THIS AGREEMENT. EACH OF THE PARTIES AGREES THAT THE TERMS HEREOF SHALL SUPERSEDE AND REPLACE ANY PRIOR AGREEMENT RELATED TO ARBITRATION OF DISPUTES BETWEEN THE PARTIES CONTAINED IN ANY OTHER DOCUMENT OR AGREEMENT HERETOFORE EXECUTED IN CONNECTION WITH, RELATED TO OR BEING REPLACED, SUPPLEMENTED, EXTENDED OR MODIFIED BY, THIS AGREEMENT.", "ner": [[64, 64, "Title"]], "tokenized_text": ["7", ".", "13", "WAIVER", "OF", "JURY", "TRIAL", ".", "TO", "THE", "EXTENT", "PERMITTED", "BY", "APPLICABLE", "LAW", ",", "EACH", "OF", "THE", "PARTIES", "HERETO", ",", "INCLUDING", "LENDER", "BY", "ACCEPTANCE", "HEREOF", ",", "HEREBY", "KNOWINGLY", ",", "VOLUNTARILY", "AND", "INTENTIONALLY", "WAIVES", "ANY", "RIGHT", "EACH", "MAY", "HAVE", "TO", "A", "TRIAL", "BY", "JURY", "IN", "RESPECT", "OF", "ANY", "LITIGATION", "BASED", "ON", ",", "OR", "ARISING", "OUT", "OF", ",", "UNDER", "OR", "IN", "CONNECTION", "WITH", "THIS", "AGREEMENT", ",", "OR", "ANY", "COURSE", "OF", "CONDUCT", ",", "COURSE", "OF", "DEALING", ",", "STATEMENTS", "(", "WHETHER", "VERBAL", "OR", "WRITTEN", ")", "OR", "ACTIONS", "OF", "ANY", "PARTY", "WITH", "RESPECT", "HERETO", ".", "THIS", "PROVISION", "IS", "A", "MATERIAL", "INDUCEMENT", "TO", "EACH", "PARTY", "TO", "ACCEPT", "THIS", "AGREEMENT", ".", "EACH", "OF", "THE", "PARTIES", "AGREES", "THAT", "THE", "TERMS", "HEREOF", "SHALL", "SUPERSEDE", "AND", "REPLACE", "ANY", "PRIOR", "AGREEMENT", "RELATED", "TO", "ARBITRATION", "OF", "DISPUTES", "BETWEEN", "THE", "PARTIES", "CONTAINED", "IN", "ANY", "OTHER", "DOCUMENT", "OR", "AGREEMENT", "HERETOFORE", "EXECUTED", "IN", "CONNECTION", "WITH", ",", "RELATED", "TO", "OR", "BEING", "REPLACED", ",", "SUPPLEMENTED", ",", "EXTENDED", "OR", "MODIFIED", "BY", ",", "THIS", "AGREEMENT", "."]}
{"id": "15897", "text": "1. | 5435 N. Loop 1604 W, San Antonio, TX 78257 ---|---", "ner": [[3, 14, "Address"]], "tokenized_text": ["1", ".", "|", "5435", "N", ".", "Loop", "1604", "W", ",", "San", "Antonio", ",", "TX", "78257", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "15898", "text": "2. | 3507 Rio Vista Ave, Orlando, FL 32805 ---|---", "ner": [[3, 10, "Address"]], "tokenized_text": ["2", ".", "|", "3507", "Rio", "Vista", "Ave", ",", "Orlando", ",", "FL", "32805", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "15901", "text": "1. | 5435 N. Loop 1604 W, San Antonio, TX 78257 N/A at this time, as the site is currently under construction. ---|---", "ner": [[3, 14, "Address"]], "tokenized_text": ["1", ".", "|", "5435", "N", ".", "Loop", "1604", "W", ",", "San", "Antonio", ",", "TX", "78257", "N", "/", "A", "at", "this", "time", ",", "as", "the", "site", "is", "currently", "under", "construction", ".", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "15902", "text": "2. | 3507 Rio Vista Ave, Orlando, FL 32805 - N/A at this time, as the site is currently under construction. ---|---", "ner": [[3, 11, "Address"]], "tokenized_text": ["2", ".", "|", "3507", "Rio", "Vista", "Ave", ",", "Orlando", ",", "FL", "32805", "-", "N", "/", "A", "at", "this", "time", ",", "as", "the", "site", "is", "currently", "under", "construction", ".", "-", "-", "-", "|", "-", "-", "-"]}
{"id": "14907", "text": "1933 Act means the U.S. Securities Act of 1933 , as amended.", "ner": [[4, 11, "Act"]], "tokenized_text": ["1933", "Act", "means", "the", "U", ".", "S", ".", "Securities", "Act", "of", "1933", ",", "as", "amended", "."]}
{"id": "14908", "text": "1934 Act means the U.S. Securities Exchange Act of 1934 , as amended.", "ner": [[4, 12, "Act"]], "tokenized_text": ["1934", "Act", "means", "the", "U", ".", "S", ".", "Securities", "Exchange", "Act", "of", "1934", ",", "as", "amended", "."]}
{"id": "14909", "text": "Agreement shall mean this Loan Agreement as the same may be amended, modified or supplemented from time to time.", "ner": [[4, 5, "Title"]], "tokenized_text": ["Agreement", "shall", "mean", "this", "Loan", "Agreement", "as", "the", "same", "may", "be", "amended", ",", "modified", "or", "supplemented", "from", "time", "to", "time", "."]}
{"id": "10912", "text": "RenovaCare, Inc. | ---|--- | | By: | /s/ Thomas Bold | Name:", "ner": [[0, 3, "Parties"], [20, 21, "Parties"]], "tokenized_text": ["RenovaCare", ",", "Inc", ".", "|", "-", "-", "-", "|", "-", "-", "-", "|", "|", "By", ":", "|", "/", "s", "/", "Thomas", "Bold", "|", "Name", ":"]}
{"id": "14914", "text": "This Limited Waiver to Senior Secured Term Loan Agreement (this Limited Waiver) is entered into effective as of the 31st day of January, 2017 (the Effective Date), by and among Sunoco LP , a Delaware limited partnership (Borrower), Credit Suisse AG, Cayman Islands Branch, as Administrative Agent (in such capacity, the Administrative Agent), and the financial institutions parties hereto as Lenders (Lenders).", "ner": [[4, 8, "Title"], [21, 26, "EffectiveDate"], [36, 37, "Parties"], [47, 49, "Parties"]], "tokenized_text": ["This", "Limited", "Waiver", "to", "Senior", "Secured", "Term", "Loan", "Agreement", "(", "this", "Limited", "Waiver", ")", "is", "entered", "into", "effective", "as", "of", "the", "31st", "day", "of", "January", ",", "2017", "(", "the", "Effective", "Date", ")", ",", "by", "and", "among", "Sunoco", "LP", ",", "a", "Delaware", "limited", "partnership", "(", "Borrower", ")", ",", "Credit", "Suisse", "AG", ",", "Cayman", "Islands", "Branch", ",", "as", "Administrative", "Agent", "(", "in", "such", "capacity", ",", "the", "Administrative", "Agent", ")", ",", "and", "the", "financial", "institutions", "parties", "hereto", "as", "Lenders", "(", "Lenders", ")", "."]}
{"id": "14915", "text": "2.1 Counterparts. Administrative Agent shall have received counterparts of this Limited Waiver duly executed by Borrower, the Guarantors and Lenders constituting at least the Majority Lenders.", "ner": [], "tokenized_text": ["2", ".", "1", "Counterparts", ".", "Administrative", "Agent", "shall", "have", "received", "counterparts", "of", "this", "Limited", "Waiver", "duly", "executed", "by", "Borrower", ",", "the", "Guarantors", "and", "Lenders", "constituting", "at", "least", "the", "Majority", "Lenders", "."]}
{"id": "14919", "text": "AGREEMENT AND THE OTHER LOAN DOCUMENTS REPRESENT THE FINAL AGREEMENT BETWEEN THE PARTIES AND MAY NOT BE CONTRADICTED BY EVIDENCE OF PRIOR, CONTEMPORANEOUS OR ORAL AGREEMENTS OF THE PARTIES. THERE ARE NO UNWRITTEN ORAL AGREEMENTS BETWEEN OR AMONG THE PARTIES.", "ner": [], "tokenized_text": ["AGREEMENT", "AND", "THE", "OTHER", "LOAN", "DOCUMENTS", "REPRESENT", "THE", "FINAL", "AGREEMENT", "BETWEEN", "THE", "PARTIES", "AND", "MAY", "NOT", "BE", "CONTRADICTED", "BY", "EVIDENCE", "OF", "PRIOR", ",", "CONTEMPORANEOUS", "OR", "ORAL", "AGREEMENTS", "OF", "THE", "PARTIES", ".", "THERE", "ARE", "NO", "UNWRITTEN", "ORAL", "AGREEMENTS", "BETWEEN", "OR", "AMONG", "THE", "PARTIES", "."]}
{"id": "14920", "text": "4.10 Release of Claims and Waiver of Defenses. In further consideration of Administrative Agents and the Majority Lenders execution of this Limited Waiver, Borrower, on behalf of itself and its successors, assigns, affiliates, officers, directors, employees and agents hereby forever, fully, unconditionally and irrevocably waives and releases Administrative Agent, the Lenders and their respective successors, assigns, parents, subsidiaries, affiliates, officers, directors, employees and agents (collectively, the Releasees) from any and all claims, liabilities, obligations, debts, causes of action (whether at law or in equity or otherwise), defenses, counterclaims, setoffs, of any kind, whether known or unknown, whether liquidated or unliquidated, matured or unmatured, fixed or contingent, directly or indirectly arising out of, connected with, resulting from or related to any act or omission by Administrative Agent, any Lender or any other Releasee with respect to the Loan Documents and any Collateral occurring on or before the date of this Limited Waiver.", "ner": [], "tokenized_text": ["4", ".", "10", "Release", "of", "Claims", "and", "Waiver", "of", "Defenses", ".", "In", "further", "consideration", "of", "Administrative", "Agents", "and", "the", "Majority", "Lenders", "execution", "of", "this", "Limited", "Waiver", ",", "Borrower", ",", "on", "behalf", "of", "itself", "and", "its", "successors", ",", "assigns", ",", "affiliates", ",", "officers", ",", "directors", ",", "employees", "and", "agents", "hereby", "forever", ",", "fully", ",", "unconditionally", "and", "irrevocably", "waives", "and", "releases", "Administrative", "Agent", ",", "the", "Lenders", "and", "their", "respective", "successors", ",", "assigns", ",", "parents", ",", "subsidiaries", ",", "affiliates", ",", "officers", ",", "directors", ",", "employees", "and", "agents", "(", "collectively", ",", "the", "Releasees", ")", "from", "any", "and", "all", "claims", ",", "liabilities", ",", "obligations", ",", "debts", ",", "causes", "of", "action", "(", "whether", "at", "law", "or", "in", "equity", "or", "otherwise", ")", ",", "defenses", ",", "counterclaims", ",", "setoffs", ",", "of", "any", "kind", ",", "whether", "known", "or", "unknown", ",", "whether", "liquidated", "or", "unliquidated", ",", "matured", "or", "unmatured", ",", "fixed", "or", "contingent", ",", "directly", "or", "indirectly", "arising", "out", "of", ",", "connected", "with", ",", "resulting", "from", "or", "related", "to", "any", "act", "or", "omission", "by", "Administrative", "Agent", ",", "any", "Lender", "or", "any", "other", "Releasee", "with", "respect", "to", "the", "Loan", "Documents", "and", "any", "Collateral", "occurring", "on", "or", "before", "the", "date", "of", "this", "Limited", "Waiver", "."]}
{"id": "14923", "text": "| | ---|---|--- CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK, as a Lender | By: | | /s/ Dixon Schultz Name: | | Dixon Schultz Title: | | Managing Director | By: | | /s/ Michael Willis Name: | | Michael Willis Title: | | Managing Director", "ner": [[13, 18, "Parties"], [31, 32, "Parties"], [43, 44, "Role"], [53, 54, "Parties"]], "tokenized_text": ["|", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "CREDIT", "AGRICOLE", "CORPORATE", "AND", "INVESTMENT", "BANK", ",", "as", "a", "Lender", "|", "By", ":", "|", "|", "/", "s", "/", "Dixon", "Schultz", "Name", ":", "|", "|", "Dixon", "Schultz", "Title", ":", "|", "|", "Managing", "Director", "|", "By", ":", "|", "|", "/", "s", "/", "Michael", "Willis", "Name", ":", "|", "|", "Michael", "Willis", "Title", ":", "|", "|", "Managing", "Director"]}
{"id": "14925", "text": "| | ---|---|--- JPMORGAN CHASE BANK, N.A., as a Lender | By: | | /s/ Stephanie Balette Name: | | Stephanie Balette Title: | | Authorized Officer", "ner": [[13, 20, "Parties"], [33, 34, "Parties"]], "tokenized_text": ["|", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "JPMORGAN", "CHASE", "BANK", ",", "N", ".", "A", ".", ",", "as", "a", "Lender", "|", "By", ":", "|", "|", "/", "s", "/", "Stephanie", "Balette", "Name", ":", "|", "|", "Stephanie", "Balette", "Title", ":", "|", "|", "Authorized", "Officer"]}
{"id": "14926", "text": "| | ---|---|--- MORGAN STANLEY SENIOR FUNDING, INC., as a Lender | By: | | /s/ Patrick Layton Name: | | Patrick Layton Title: | | Vice President", "ner": [[13, 19, "Parties"], [32, 33, "Parties"], [44, 45, "Role"]], "tokenized_text": ["|", "|", "-", "-", "-", "|", "-", "-", "-", "|", "-", "-", "-", "MORGAN", "STANLEY", "SENIOR", "FUNDING", ",", "INC", ".", ",", "as", "a", "Lender", "|", "By", ":", "|", "|", "/", "s", "/", "Patrick", "Layton", "Name", ":", "|", "|", "Patrick", "Layton", "Title", ":", "|", "|", "Vice", "President"]}
{"id": "10939", "text": "13.Entire Agreement. This Agreement constitutes the entire agreement between the parties hereto and supersedes all prior agreements, if any, understandings and arrangements, oral or written, between the parties hereto with respect to the subject matter hereof, including without limitation any term sheets or other similar presentations.", "ner": [], "tokenized_text": ["13", ".", "Entire", "Agreement", ".", "This", "Agreement", "constitutes", "the", "entire", "agreement", "between", "the", "parties", "hereto", "and", "supersedes", "all", "prior", "agreements", ",", "if", "any", ",", "understandings", "and", "arrangements", ",", "oral", "or", "written", ",", "between", "the", "parties", "hereto", "with", "respect", "to", "the", "subject", "matter", "hereof", ",", "including", "without", "limitation", "any", "term", "sheets", "or", "other", "similar", "presentations", "."]}