<SEC-DOCUMENT>0001534254-16-000177.txt : 20160203
<SEC-HEADER>0001534254-16-000177.hdr.sgml : 20160203
<ACCEPTANCE-DATETIME>20160203140239
ACCESSION NUMBER:		0001534254-16-000177
CONFORMED SUBMISSION TYPE:	8-K
PUBLIC DOCUMENT COUNT:		2
CONFORMED PERIOD OF REPORT:	20160203
ITEM INFORMATION:		Entry into a Material Definitive Agreement
ITEM INFORMATION:		Financial Statements and Exhibits
FILED AS OF DATE:		20160203
DATE AS OF CHANGE:		20160203

FILER:

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			CION Investment Corp
		CENTRAL INDEX KEY:			0001534254
		IRS NUMBER:				453058280
		STATE OF INCORPORATION:			MD
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		8-K
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	814-00941
		FILM NUMBER:		161384254

	BUSINESS ADDRESS:	
		STREET 1:		3 PARK AVENUE
		STREET 2:		36TH FLOOR
		CITY:			NEW YORK
		STATE:			NY
		ZIP:			10016
		BUSINESS PHONE:		212 - 418 - 4700

	MAIL ADDRESS:	
		STREET 1:		3 PARK AVENUE
		STREET 2:		36TH FLOOR
		CITY:			NEW YORK
		STATE:			NY
		ZIP:			10016

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	C&#298;ON Investment Corp
		DATE OF NAME CHANGE:	20111104
</SEC-HEADER>
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<div style="TEXT-INDENT: 0pt; DISPLAY: block">&#160;</div>

<div style="TEXT-ALIGN: center; TEXT-INDENT: 0pt; DISPLAY: block; FONT-FAMILY: Times New Roman; MARGIN-LEFT: 0pt; FONT-SIZE: 10pt; FONT-WEIGHT: bold; MARGIN-RIGHT: 0pt">CURRENT REPORT</div>

<div style="TEXT-ALIGN: center; TEXT-INDENT: 0pt; DISPLAY: block; FONT-FAMILY: Times New Roman; MARGIN-LEFT: 0pt; FONT-SIZE: 10pt; FONT-WEIGHT: bold; MARGIN-RIGHT: 0pt">Pursuant to Section 13 or 15(d) of the</div>

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<div style="TEXT-ALIGN: center; TEXT-INDENT: 0pt; DISPLAY: block; FONT-FAMILY: Times New Roman; MARGIN-LEFT: 0pt; FONT-SIZE: 10pt; MARGIN-RIGHT: 0pt"><font style="FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt; FONT-WEIGHT: bold">Date of Report</font> (Date of earliest event reported):&#160;<font style="DISPLAY: inline; FONT-WEIGHT: bold">February 3</font><font style="FONT-FAMILY: times new roman; FONT-SIZE: 10pt; FONT-WEIGHT: bold">, 2016</font><font style="FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt; FONT-WEIGHT: normal">&#160;(January 30, 2016)</font></div>

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<font style="DISPLAY: inline; FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt">&#160;(Exact Name of Registrant as Specified in Charter)</font></div>

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<div style="TEXT-ALIGN: center; TEXT-INDENT: 0pt; DISPLAY: block; FONT-FAMILY: times new roman; MARGIN-LEFT: 0pt; FONT-SIZE: 10pt; MARGIN-RIGHT: 0pt"><font style="DISPLAY: inline; FONT-FAMILY: times new roman; FONT-SIZE: 10pt">(State or Other Jurisdiction of </font><font style="DISPLAY: inline; FONT-FAMILY: times new roman; FONT-SIZE: 10pt">Incorporation)</font></div>
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<td style="BORDER-BOTTOM: black 2px solid; TEXT-ALIGN: center; WIDTH: 38%"><font style="FONT-FAMILY: times new roman; FONT-SIZE: 10pt; FONT-WEIGHT: bold">3 Park Avenue, 36<font style="DISPLAY: inline; FONT-SIZE: 70%; VERTICAL-ALIGN: text-top">th</font> Floor</font>

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<div style="FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt">Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:</div>

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<div style="FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt">[&#160;&#160;] Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)</div>

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<div style="FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt">[&#160;&#160;] Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)</div>

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<div style="FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt">[&#160;&#160;] Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))</div>

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<div style="FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt">[&#160;&#160;] Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))</div>

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<div style="TEXT-ALIGN: justify; FONT-FAMILY: times new roman; FONT-SIZE: 10pt; FONT-WEIGHT: bold">Item 1.01. Entry Into a Material Definitive Agreement.</div>
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<div style="TEXT-ALIGN: justify; LINE-HEIGHT: 11.4pt; FONT-FAMILY: 'Times New Roman Baltic', serif; FONT-SIZE: 10pt">Effective January 30, 2016 (the "Effective Date"), C&#298;ON Investment Corporation ("C&#298;ON") entered into the first amendment (the "First Amendment") to its revolving credit facility (the "EWB Credit Facility") with East West Bank ("EWB"). </div>

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<div style="TEXT-ALIGN: justify; LINE-HEIGHT: 11.4pt; TEXT-INDENT: 36pt; FONT-FAMILY: 'Times New Roman', serif; FONT-SIZE: 10pt">Under the original EWB Credit Facility, the borrowing base <font style="FONT-FAMILY: 'Times New Roman Baltic', serif; FONT-SIZE: 10pt">was the lesser of (i) the average monthly net proceeds received by C&#298;ON from the sale of its equity securiti</font>es during the trailing three month period ending on the last day of the immediately preceding calendar month; or (ii) 50% of collateral securing the EWB Credit Facility.</div>

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<div style="TEXT-ALIGN: justify; LINE-HEIGHT: 11.4pt; TEXT-INDENT: 36pt; FONT-FAMILY: 'Times New Roman', serif; FONT-SIZE: 10pt">Under the First Amendment, during the period commencing on the Effective Date through July 31, 2016, (i) the trailing equity component of the borrowing base was removed; (ii) the borrowing base was decreased to 40% of the collateral securing the EWB Credit Facility; and (iii) the required&#160;minimum fair market value of the collateral securing the EWB Credit Facility was increased from two to two and one-half times all outstanding advances under the EWB Credit Facility.&#160; Subsequent to July 31, 2016, these amended provisions will revert back to their original terms. No other material terms of the&#160;EWB Credit Facility have been amended in connection with the&#160;First Amendment.</div>

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<div style="TEXT-ALIGN: justify; LINE-HEIGHT: 11.4pt; TEXT-INDENT: 36pt; FONT-FAMILY: 'Times New Roman', serif; FONT-SIZE: 10pt">The foregoing description of the First Amendment to the EWB Credit Facility is a summary only and is qualified in all respects by the provisions of the First Amendment, a copy of which is attached hereto as Exhibit 10.1 and incorporated by reference herein.</div>
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<div style="DISPLAY: inline; FONT-SIZE: 80%; FONT-WEIGHT: bold">Item 9.01. Financial Statements and Exhibits</div>

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<td style="TEXT-ALIGN: left; LINE-HEIGHT: 15pt; WIDTH: 82.86%" valign="top">
<div style="TEXT-ALIGN: left; LINE-HEIGHT: 14.4pt; TEXT-INDENT: 0pt; DISPLAY: block; FONT-FAMILY: times new roman; MARGIN-LEFT: 0pt; FONT-SIZE: 10pt; MARGIN-RIGHT: 0pt">First Amendment to Loan and Security Agreement, dated as of January 28, 2016, by and between <font style="DISPLAY: inline; FONT-WEIGHT: normal">C&#298;ON </font>Investment Corporation and East West Bank</div>
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<div style="TEXT-ALIGN: justify; TEXT-INDENT: 36pt; FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt">Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.</div>

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<div style="TEXT-ALIGN: left; TEXT-INDENT: 0pt; DISPLAY: block; FONT-FAMILY: times new roman; MARGIN-LEFT: 0pt; FONT-SIZE: 10pt; MARGIN-RIGHT: 0pt">By: <font style="FONT-FAMILY: times new roman; FONT-SIZE: 10pt; TEXT-DECORATION: underline">/s/ Michael A. Reisner</font></div>
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<td style="TEXT-INDENT: 18pt; WIDTH: 4%; FONT-FAMILY: times new roman; FONT-SIZE: 10pt" valign="top">Co-President and Co-Chief Executive Officer</td>
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<TYPE>EX-10.1
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<div style="TEXT-ALIGN: center; LINE-HEIGHT: 11.4pt; FONT-FAMILY: 'Times New Roman', serif; MARGIN-BOTTOM: 12pt; FONT-SIZE: 10pt; FONT-WEIGHT: bold">FIRST AMENDMENT TO LOAN AND SECURITY AGREEMENT</div>

<div style="TEXT-ALIGN: justify; LINE-HEIGHT: 11.4pt; TEXT-INDENT: 36pt; FONT-FAMILY: 'Times New Roman', serif; MARGIN-BOTTOM: 12pt; FONT-SIZE: 10pt">This First Amendment to Loan and Security Agreement (this "Amendment") is entered into as of January 28, 2016, by and between EAST WEST BANK ("Bank") and <font style="FONT-FAMILY: 'Times New Roman Baltic', serif; FONT-SIZE: 10pt">C&#298;ON INVESTMENT CORPORATION, a Maryland corporation </font>("Borrower").</div>

<div style="TEXT-ALIGN: center; LINE-HEIGHT: 11.4pt; FONT-FAMILY: 'Times New Roman', serif; MARGIN-BOTTOM: 12pt; FONT-SIZE: 10pt"><u>RECITALS</u></div>

<div style="TEXT-ALIGN: justify; LINE-HEIGHT: 11.4pt; TEXT-INDENT: 36pt; FONT-FAMILY: 'Times New Roman', serif; MARGIN-BOTTOM: 12pt; FONT-SIZE: 10pt">Borrower and Bank are parties to that certain Loan and Security Agreement dated as of April 30, 2015 (as amended from time to time, collectively, the "Agreement").&#160; The parties desire to amend the Agreement in accordance with the terms of this Amendment.</div>

<div style="TEXT-ALIGN: justify; LINE-HEIGHT: 11.4pt; TEXT-INDENT: 36pt; FONT-FAMILY: 'Times New Roman', serif; MARGIN-BOTTOM: 12pt; FONT-SIZE: 10pt">NOW, THEREFORE, the parties agree as follows:</div>

<div style="TEXT-ALIGN: justify; TEXT-INDENT: 36pt; MARGIN-BOTTOM: 12pt"><font style="FONT-FAMILY: 'Times New Roman', serif; FONT-SIZE: 10pt">1.</font><font style="FONT-SIZE: 5.14pt" id="TRGRRTFtoHTMLTab">&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;</font><font style="FONT-FAMILY: 'Times New Roman', serif; FONT-SIZE: 10pt">The following defined terms set forth in Section 1.1 of the Agreement hereby are added , or amended and restated, as follows:</font></div>

<div style="TEXT-ALIGN: justify; LINE-HEIGHT: 11.4pt; TEXT-INDENT: 36pt; FONT-FAMILY: 'Times New Roman', serif; MARGIN-BOTTOM: 12pt; MARGIN-LEFT: 36pt; FONT-SIZE: 10pt"><font style="FONT-STYLE: italic; FONT-FAMILY: 'Times New Roman', serif; FONT-SIZE: 10pt; FONT-WEIGHT: bold">"Borrowing Base" </font>means an amount equal to, (a) from the First Amendment Closing Date through July 31, 2016, forty percent (40%) of Collateral, as determined by Bank with reference to the most recent Borrowing Base Certificate delivered by Borrower and&#160;(b) at all times thereafter, the lesser of (i) the average monthly net proceeds received by Borrower from the sale of its equity securities during the trailing three (3) month period ending on the last day of the immediately preceding calendar month of Borrower or (ii) fifty percent (50%) of Collateral, as determined by Bank with reference to the most recent Borrowing Base Certificate delivered by Borrower.</div>

<div style="TEXT-ALIGN: justify; LINE-HEIGHT: 11.4pt; TEXT-INDENT: 36pt; FONT-FAMILY: 'Times New Roman', serif; MARGIN-BOTTOM: 6pt; MARGIN-LEFT: 36pt; FONT-SIZE: 10pt">"<font style="FONT-STYLE: italic; FONT-FAMILY: 'Times New Roman', serif; FONT-SIZE: 10pt; FONT-WEIGHT: bold">Borrowing Base Certificate</font>" is a borrowing base certificate in form attached hereto as, (a) from the First Amendment Closing Date through July 31, 2016, <font style="FONT-FAMILY: 'Times New Roman', serif; FONT-SIZE: 10pt"><u>Exhibit C-1</u></font>, and (b) at all times thereafter, <font style="FONT-FAMILY: 'Times New Roman', serif; FONT-SIZE: 10pt"><u>Exhibit C-2</u></font>.</div>

<div style="TEXT-ALIGN: justify; LINE-HEIGHT: 11.4pt; TEXT-INDENT: 36pt; FONT-FAMILY: 'Times New Roman', serif; MARGIN-BOTTOM: 6pt; MARGIN-LEFT: 36pt; FONT-SIZE: 10pt">"<font style="FONT-STYLE: italic; FONT-FAMILY: 'Times New Roman', serif; FONT-SIZE: 10pt; FONT-WEIGHT: bold">First Amendment Closing Date</font>" is January 30, 2016.</div>

<div style="TEXT-ALIGN: justify; TEXT-INDENT: 36pt; MARGIN-BOTTOM: 12pt"><font style="FONT-FAMILY: 'Times New Roman', serif; FONT-SIZE: 10pt">2.</font><font style="FONT-SIZE: 5.14pt" id="TRGRRTFtoHTMLTab">&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;</font><font style="FONT-FAMILY: 'Times New Roman', serif; FONT-SIZE: 10pt">Section 6.7 of the Agreement hereby is amended and restated in its entirety to read as follows:</font></div>

<div style="TEXT-ALIGN: justify; LINE-HEIGHT: 11.4pt; TEXT-INDENT: 36pt; MARGIN-BOTTOM: 12pt; MARGIN-LEFT: 36pt"><font style="FONT-FAMILY: 'Times New Roman', serif; FONT-SIZE: 10pt">"</font><font style="FONT-FAMILY: 'Times New Roman', serif; FONT-SIZE: 10pt; FONT-WEIGHT: bold">6.7</font><font style="FONT-SIZE: 5.14pt" id="TRGRRTFtoHTMLTab">&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;</font><font style="FONT-FAMILY: 'Times New Roman', serif; FONT-SIZE: 10pt"><font style="FONT-FAMILY: 'Times New Roman', serif; FONT-SIZE: 10pt; FONT-WEIGHT: bold">Fair Market Value of Collateral</font>.&#160; The Collateral shall at all times have a Fair Market Value of not less than, (a) from the First Amendment Closing Date through July 31, 2016, the aggregate amount of Advances outstanding hereunder, multiplied by two and a half (2.5) and (b) at all times thereafter, the aggregate amount of Advances outstanding hereunder, multiplied by two (2)."</font></div>

<div style="TEXT-ALIGN: justify; TEXT-INDENT: 36pt; MARGIN-BOTTOM: 12pt"><font style="FONT-FAMILY: 'Times New Roman', serif; FONT-SIZE: 10pt">3.</font><font style="FONT-SIZE: 5.14pt" id="TRGRRTFtoHTMLTab">&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;</font><font style="FONT-FAMILY: 'Times New Roman', serif; FONT-SIZE: 10pt"><font style="FONT-FAMILY: 'Times New Roman', serif; FONT-SIZE: 10pt"><u>Exhibit A</u></font> to the Agreement hereby is replaced with <font style="FONT-FAMILY: 'Times New Roman', serif; FONT-SIZE: 10pt"><u>Exhibit A</u></font> attached hereto.</font></div>

<div style="TEXT-ALIGN: justify; TEXT-INDENT: 36pt; MARGIN-BOTTOM: 12pt"><font style="FONT-FAMILY: 'Times New Roman', serif; FONT-SIZE: 10pt">4.</font><font style="FONT-SIZE: 5.14pt" id="TRGRRTFtoHTMLTab">&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;</font><font style="FONT-FAMILY: 'Times New Roman', serif; FONT-SIZE: 10pt"><font style="FONT-FAMILY: 'Times New Roman', serif; FONT-SIZE: 10pt"><u>Exhibit C</u></font> to the Agreement hereby is replaced with <font style="FONT-FAMILY: 'Times New Roman', serif; FONT-SIZE: 10pt"><u>Exhibit C-1</u></font> and <font style="FONT-FAMILY: 'Times New Roman', serif; FONT-SIZE: 10pt"><u>Exhibit C-2</u></font> attached hereto.</font></div>

<div style="TEXT-ALIGN: justify; TEXT-INDENT: 36pt; MARGIN-BOTTOM: 12pt"><font style="FONT-FAMILY: 'Times New Roman', serif; FONT-SIZE: 10pt">5.</font><font style="FONT-SIZE: 5.14pt" id="TRGRRTFtoHTMLTab">&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;</font><font style="FONT-FAMILY: 'Times New Roman', serif; FONT-SIZE: 10pt"><font style="FONT-FAMILY: 'Times New Roman', serif; FONT-SIZE: 10pt"><u>Exhibit D</u></font> to the Agreement hereby is replaced with <font style="FONT-FAMILY: 'Times New Roman', serif; FONT-SIZE: 10pt"><u>Exhibit D</u></font> attached hereto.</font></div>

<div style="TEXT-ALIGN: justify; TEXT-INDENT: 36pt; MARGIN-BOTTOM: 12pt"><font style="FONT-FAMILY: 'Times New Roman', serif; FONT-SIZE: 10pt">6.</font><font style="FONT-SIZE: 5.14pt" id="TRGRRTFtoHTMLTab">&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;</font><font style="FONT-FAMILY: 'Times New Roman', serif; FONT-SIZE: 10pt">No course of dealing on the part of Bank or its officers, nor any failure or delay in the exercise of any right by Bank, shall operate as a waiver thereof, and any single or partial exercise of any such right shall not preclude any later exercise of any such right.&#160; Bank's failure at any time to require strict performance by Borrower of any provision shall not affect any right of Bank thereafter to demand strict compliance and performance.&#160; Any suspension or waiver of a right must be in writing signed by an officer of Bank.</font></div>

<div style="TEXT-ALIGN: justify; TEXT-INDENT: 36pt; MARGIN-BOTTOM: 12pt"><font style="FONT-FAMILY: 'Times New Roman', serif; FONT-SIZE: 10pt">7.</font><font style="FONT-SIZE: 5.14pt" id="TRGRRTFtoHTMLTab">&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;</font><font style="FONT-FAMILY: 'Times New Roman', serif; FONT-SIZE: 10pt">Unless otherwise defined, all initially capitalized terms in this Amendment shall be as defined in the Agreement.&#160; The Agreement, as amended hereby, shall be and remain in full force and effect in accordance with its respective terms and hereby is ratified and confirmed in all respects.&#160; Except as expressly set forth herein, the execution, delivery, and performance of this Amendment shall not operate as a waiver of, or as an amendment of, any right, power, or remedy of Bank under the Agreement, as in effect prior to the date hereof.</font></div>

<div style="TEXT-ALIGN: justify; TEXT-INDENT: 36pt; MARGIN-BOTTOM: 12pt"><font style="FONT-FAMILY: 'Times New Roman', serif; FONT-SIZE: 10pt">8.</font><font style="FONT-SIZE: 5.14pt" id="TRGRRTFtoHTMLTab">&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;</font><font style="FONT-FAMILY: 'Times New Roman', serif; FONT-SIZE: 10pt">Borrower represents and warrants that the Representations and Warranties contained in the Agreement are true and correct as of the date of this Amendment, and that no Event of Default has occurred and is continuing.</font></div>

<div style="TEXT-ALIGN: justify; TEXT-INDENT: 36pt; MARGIN-BOTTOM: 12pt"><font style="FONT-FAMILY: 'Times New Roman', serif; FONT-SIZE: 10pt">9.</font><font style="FONT-SIZE: 5.14pt" id="TRGRRTFtoHTMLTab">&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;</font><font style="FONT-FAMILY: 'Times New Roman', serif; FONT-SIZE: 10pt">As a condition to the effectiveness of this Amendment, Bank shall have received, in form and substance satisfactory to Bank, the following:</font></div>

<div style="TEXT-ALIGN: justify; TEXT-INDENT: 108pt; MARGIN-BOTTOM: 12pt"><font style="FONT-FAMILY: 'Times New Roman', serif; FONT-SIZE: 10pt">(a)</font><font style="FONT-SIZE: 5.14pt" id="TRGRRTFtoHTMLTab">&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;</font><font style="FONT-FAMILY: 'Times New Roman', serif; FONT-SIZE: 10pt">this Amendment, duly executed by Borrower;</font></div>

<div style="TEXT-ALIGN: justify; TEXT-INDENT: 108pt; MARGIN-BOTTOM: 12pt"><font style="FONT-FAMILY: 'Times New Roman', serif; FONT-SIZE: 10pt">(b)</font><font style="FONT-SIZE: 5.14pt" id="TRGRRTFtoHTMLTab">&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;</font><font style="FONT-FAMILY: 'Times New Roman', serif; FONT-SIZE: 10pt">a certificate with respect to incumbency and resolutions of Borrower, authorizing the execution and delivery of this Amendment;</font></div>

<div style="TEXT-ALIGN: justify; TEXT-INDENT: 108pt; MARGIN-BOTTOM: 12pt"><font style="FONT-FAMILY: 'Times New Roman', serif; FONT-SIZE: 10pt">(c)</font><font style="FONT-SIZE: 5.14pt" id="TRGRRTFtoHTMLTab">&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;</font><font style="FONT-FAMILY: 'Times New Roman', serif; FONT-SIZE: 10pt">the filing of a UCC-3 financing statement amendment substantially in the form of <font style="FONT-FAMILY: 'Times New Roman', serif; FONT-SIZE: 10pt"><u>Exhibit A</u></font> attached hereto;</font></div>

<div style="TEXT-ALIGN: justify; TEXT-INDENT: 108pt; MARGIN-BOTTOM: 12pt"><font style="FONT-FAMILY: 'Times New Roman', serif; FONT-SIZE: 10pt">(d)</font><font style="FONT-SIZE: 5.14pt" id="TRGRRTFtoHTMLTab">&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;</font><font style="FONT-FAMILY: 'Times New Roman', serif; FONT-SIZE: 10pt">a fully earned and non-refundable amendment fee equal to Fifteen Thousand Dollars ($15,000);</font></div>

<div style="TEXT-ALIGN: justify; TEXT-INDENT: 108pt; MARGIN-BOTTOM: 12pt"><font style="FONT-FAMILY: 'Times New Roman', serif; FONT-SIZE: 10pt">(e)</font><font style="FONT-SIZE: 5.14pt" id="TRGRRTFtoHTMLTab">&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;</font><font style="FONT-FAMILY: 'Times New Roman', serif; FONT-SIZE: 10pt">all reasonable Bank Expenses incurred through the date of this Amendment, which may be debited from any of Borrower's accounts; and</font></div>

<div style="TEXT-ALIGN: justify; TEXT-INDENT: 108pt; MARGIN-BOTTOM: 12pt"><font style="FONT-FAMILY: 'Times New Roman', serif; FONT-SIZE: 10pt">(f)</font><font style="FONT-SIZE: 5.14pt" id="TRGRRTFtoHTMLTab">&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;</font><font style="FONT-FAMILY: 'Times New Roman', serif; FONT-SIZE: 10pt">such other documents, and completion of such other matters, as Bank may reasonably deem necessary or appropriate.</font></div>

<div style="TEXT-ALIGN: justify; MARGIN-BOTTOM: 12pt; MARGIN-LEFT: 36pt"><font style="FONT-FAMILY: 'Times New Roman', serif; FONT-SIZE: 10pt">10.</font><font style="FONT-SIZE: 5.14pt" id="TRGRRTFtoHTMLTab">&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;</font><font style="FONT-FAMILY: 'Times New Roman', serif; FONT-SIZE: 10pt">This Amendment may be executed in two or more counterparts, each of which shall be deemed an original, but all of which together shall constitute one instrument.</font></div>

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<div style="TEXT-ALIGN: justify; LINE-HEIGHT: 11.4pt; TEXT-INDENT: 36pt; FONT-FAMILY: 'Times New Roman', serif; MARGIN-BOTTOM: 12pt; FONT-SIZE: 10pt">IN WITNESS WHEREOF, the undersigned have executed this Amendment as of the first date above written.</div>

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<div style="TEXT-ALIGN: left; LINE-HEIGHT: 11.4pt"><font style="FONT-FAMILY: 'Times New Roman', serif; FONT-SIZE: 10pt">By: </font><font style="FONT-STYLE: italic; FONT-FAMILY: 'Times New Roman', serif; FONT-SIZE: 10pt"><u>/s/ Michael A. Reisner</u></font><font style="FONT-SIZE: 5.08pt" id="TRGRRTFtoHTMLTab">&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;</font></div>
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