Annual Report — Small Business — Form 10-KSB
Filing Table of Contents
Document/Exhibit Description Pages Size
1: 10KSB Lithium Technology Corporation Form 10-Ksb HTML 847K
2: EX-3.1 Restated Certificate of Incorporation 11 41K
3: EX-3.2 By-Laws 15 54K
4: EX-10.14 Second Amendment to Lease, Dated March 21, 2003 4 17K
5: EX-10.38 Consultancy Agreement Dated August 19, 2002 4 13K
6: EX-10.39 Consultancy Agreement Dated August 19, 2002 4 13K
7: EX-10.40 Grant Notification Dated September 11, 2000 8 21K
8: EX-10.41 Grant Notification Dated September 10, 2001 6 20K
9: EX-10.42 Grant Notification Dated July 31, 2002 4 19K
10: EX-10.43 Loan Contract No. 1101216000 Dated June 24, 1998 7 23K
11: EX-10.44 Loan Dated July 22, 1998 4 24K
12: EX-10.45 Loan Contract and Subordination Agreement 4 13K
13: EX-10.46 Gaia and Frankendael Agreement 7 20K
Participatiemaatschappij N.V.
14: EX-10.47 Partnership Agreement Between Gaia and Tamarchco 7 21K
Gmbh
15: EX-10.48 Partnership Agreement Between Gaia and Tamarchco 7 20K
Gmbh
16: EX-10.49 Partnership Agreement Between Gaia and Tamarchco 7 20K
Gmbh
17: EX-10.50 Employment Agreement-Franz Kruger 9 36K
18: EX-10.51 Employment Agreement-Ralf Tolksdorf 9 36K
19: EX-10.52 Bridge Financing Amendment Agreement 3 15K
20: EX-21.1 List of Subsidiaries 2 8K
21: EX-23.1 Consent of Pricewaterhousecoopers LLP, 2 10K
Philadelphia, Pennsylvania
22: EX-23.2 Consent of Pricewaterhousecoopers Accountants N.V. 2 10K
EX-10.40 — Grant Notification Dated September 11, 2000
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Exhibit 10.40
Federal Ministry of Education and Research (Germany), Grant Notification to
GAIA, dated September 11, 2000
[Letterhead of Federal Ministry of Education and Research]
Date
09.11.2000
BMBF D-53170 Bonn
GAIA Akkumulatorenwerke GmbH
Research
Montaniastrasse 17
99734 Nordhausen
Notification of a grant
Subj.: Grant under the federal budget, department budget 30, chapter 3006,
title 683 12, 2000 financial year, for the project: "Collaborative
project: Energy supply platform for autonomous microsystems -
microsolar; subproject: battery technology"
Promotion identification no.: 16SV1119
Re: Your application dated 13.06.2000, the subsequent deliveries of
24.08., 28.08., 14.09., 19.09., and 26.09.2000
Encl.: - Copy "Supplementary Provisions for Grants on a Cost Basis"
of the BMBF - NKBF 98 - (status as per 01.03.1999 - print 2000)"
- Total preliminary calculation
- Overview of the special information centres and nation-wide
information facilities
- Copy "Notes on the Completion of the Report Sheet and the
Document Control Sheet"
- Printed form "Report Sheet/Document Control Sheet"
- Printed form "Acknowledgement of Receipt"
- Notes for Recipients of Payments
- Further supplementary regulations and notes
- Printed form "Notification of the Promotion Identification No.
for Registrations of Proprietary Rights" (according to no. 10.3
NKBF 98)
- List of collaborators
- Printed form for recording hours
-2-
Dear Sir or Madam,
1. Amount of the grant / type and form of financing / project-tying /
appropriation period / payment schedule
As a project aid, I allocate to you a non-repayable grant of 40 % of your total
production costs actually incurred which are eligible for subsidisation and are
to be established on the basis of actual costing, however a maximum amount of
DM 765,941.00
(in words: seven - six - five - nine - four - one Deutsche Mark) (proportional
financing).
The grant is purpose-tied; it may only be used for the above project in
accordance with your application dated 13.06.2000 including any supplements (see
reference) and the enclosed total preliminary calculation amended by me after
consultation with you.
The allocation requires that the total financing of the project remains hedged.
The notification of the grant applies for the period from 01.11.2000 until
31.10.2003 (appropriation period).
Only the costs incurred for the project in the appropriation period may be
claimed under the grant.
I intend to provide the grant in cash as follows:
DM 0.00 in the 2000 financial year
DM 157,148.00 in the 2001 financial year
DM 73,732.00 in the 2002 financial year
DM 420,170.00 in the 2003 financial year
DM 114,891.00 in the 2004 financial year.
Should there be a change in the timing of your funding requirements compared to
your application, I am to be informed of this fact without delay so that an
attempt can be made to cater for the payments schedule.
-3-
2. Supplementary regulations and notes
The enclosed NKBF 98 supplementary regulations are a part of this notification
subject to the regulations set forth below:
In addition, further supplementary regulations and notes apply as follows and as
enclosed in the annex:
- Authorization by the European Commission
The promotional measure for micro-system technology underlying the grant
was authorized by the European Commission on 05.10.1993 (subsidy no. N
539/93).
- Lump-sum settlement procedure
The costs shall be billed based on the lump-sum procedure according to no.
5.6 NKBF 98. It is not possible to change from the lump-sum accounting
method to the accounting method based on cost-plus pricing formulae within
the scope of this project.
The "time sheets for lump-sum accounting" according to no. 19.4 NKBF 98 are
only to be sent if especially requested.
- Cooperation with third parties
The project is to be carried out in cooperation with the companies and
institutions shown in the list of collaborators. The cooperation is to be
described in the case reports.
- Notes for Recipients of Payments
The "Notes for Recipients of Payments" enclosed with this notification must
be observed.
-4-
- Requirements for payment of the grant
The grant cannot be paid until the notification has become legally valid
after the expiry of the period of appeal and after all other requirements
have been satisfied.
You can bring about the legal validity of the notification of the grant
earlier if you declare that you waive filing an appeal on the
acknowledgement of receipt (printed form enclosed).
A printed form for demanding the payment of the grant has already been
enclosed with the notification of the grant if the payment schedule has
planned that a payment is in the current financial year. If you do not
waive the filing of an appeal in the acknowledgement of receipt, you must
wait until the period of appeal has expired and, if applicable, enclose a
statement with the first demand for payment explaining that you have not
filed an action at the administrative court.
- Calling in a project sponsor
As the project sponsor for the sponsoring field of microsystems technology,
VDI/VDE Technologiezentrum Informationstechnik GmbH, Rheinstrasse 10 B,
D-14513 Teltow (phone: 03328/435 258) is authorised to process the grant in
the name and for account of the BMBF/1/) and to take the legal actions
required for this purpose independently in accordance with the directives
issued by BMBF.
I therefore request you to send all the records concerning the
implementation and processing of the project to the project sponsor.
3. Instructions on legal remedies
You may bring an action against this notification within one month after the
announcement thereof at the Court of Administration in Cologne, Appellhofplatz,
50667 Cologne in writing or by declaring this orally to the recording clerk of
the court.
-----------------------------------
/1)/ Federal Ministry for Education and Research
-5-
The action must name the plaintiff, the defendant and the subject matter of the
plaintiff's claim. It should contain a specific application. The facts serving
to substantiate the case and evidence should be stated.
The action and annexes should be enclosed in as many copies as required to
enable each party involved to receive one copy.
Yours sincerely
By order
von Schaewen
This copy of the notification was issued using EDP facilities and is therefore
not signed.
Status: 13.11.2000
TOTAL PRELIMINARY CALCULATION
for the period from 01.11.2000 until 31.10.2003
Subject of the project 16SV1119:
Collaborative project: Energy supply platform for autonomous
microsystems (microsolar) - subproject: battery technology
0813 Materials 0.00
0023 R&D outside services 0.00
0837 Personnel expenses 1,914,855.00
0838 Travelling expenses 0.00
0847 Project-specific depreciation 0.00
0848 Tax depreciation, other 0.00
0850 Other direct project costs 0.00
0856 Costs of internal services 0.00
0860 Administrative costs 0.00
0899 Summary 0.00
0881 Total production cost of the project (Total.../1/) 1,914,855.00
0882 Capital resources of the applicant 1,148,914.00
0883 Third-party funds/inflows 0.00
0884 Grant 765,941.00
Cash provision
Year Amount
until 1999 0.00
2000 0.00
2001 157,148.00
2002 73,732.00
2003 420,170.00
2004 114,891.00
All the amounts are stated in DM
-------------------
/1/ Partly illegible and abbr. unknown
Federal Ministry for
Education and Research (BMBF) Bonn, 9 November 2000
S14-4013-16SV1119
Annex
to the notification of the grant for Gaia Akkumulatorenwerke GmbH, Nordhausen
[Enlarge/Download Table]
List of collaborators Promotion identification no.
--------------------------------------------------------------------------------------------
Frauenhofer-Gesellschaft zur Forderung der 16SV1118
angewandten Forschung e.V., Munich
Gaia Akkumulatorenwerke GmbH, Nordhausen 16SV1119
STECA GmbH, Memmingen 16SV1120
Zentrum fur Sonnenenergie- und Wasserstoff-Forschung
Baden-Wurttemberg, Stuttgart 16SV1121
Insta Elektro GmbH & Co. KG, Ludenscheid 16SV1204
Dates Referenced Herein and Documents Incorporated by Reference
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