Exhibit 10

 

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HOSTING AND SERVICES AGREEMENT1

 

between

 

A.G. EDWARDS TECHNOLOGY GROUP, INC.

 

and

 

BETA SYSTEMS,

 

a division of

 

THOMSON FINANCIAL INC.

 

Dated October 4, 2004

 

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1 [***] indicates that text has been deleted which is the subject of a
confidential treatment request. This text has been filed separately with the
SEC.

 

Confidential and Proprietary Information of AGE and BETA

 

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TABLE OF CONTENTS

 

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ARTICLE I

DEFINITIONS

         

ARTICLE II

TERM

    

Section 2.01

  

Pre-Conversion Agreement

   1

Section 2.02

  

Initial Term

   1

Section 2.03

  

Renewals and Extensions

   1     

ARTICLE III

SERVICES

    

Section 3.01

  

Designated Services

   2

Section 3.02

  

Additional Recipients of Services

   4

Section 3.03

  

BETA Strategic Direction

   4

Section 3.04

  

BETA User Groups

   5

Section 3.05

  

Non-exclusive and Not Requirements Contracts

   5

Section 3.06

  

Technical Architecture

   5

Section 3.07

  

Knowledge Sharing; Post Conversion Training

   5

Section 3.08

  

Improved Technology and Processes

   6

Section 3.09

  

Governmental Consents

   6

Section 3.10

  

BETA Private Consents

   6

Section 3.11

  

Changes in Law

   6

Section 3.12

  

Reports

   7

Section 3.13

  

Sale or Transfer of Equipment

   8

Section 3.14

  

Subcontractors

   8

Section 3.15

  

Conduct of BETA Personnel

   8

Section 3.16

  

Development and Project Services; FTEs

   9

Section 3.17

  

Facilities Management and Other Arrangements

   10

Section 3.18

  

BETALink APIs

   11

Section 3.19

  

Deferred Gap Schedule

   11

Section 3.20

  

File Transmissions

   13     

ARTICLE IV

CONVERSION

    

 

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ARTICLE V

NEW SERVICES

    

Section 5.01

  

New Services

   13     

ARTICLE VI

SERVICE LOCATIONS

    

Section 6.01

  

Service Locations

   14

Section 6.02

  

Safety and Operational Procedures

   14

Section 6.03

  

Security Relating to Competitors

   14     

ARTICLE VII

SERVICE LEVELS

    

Section 7.01

  

Designated Service Levels

   15

Section 7.02

  

New Service Levels

   15

Section 7.03

  

Service Level Credits

   15     

ARTICLE VIII

CONTINUED PROVISION OF SERVICES

    

Section 8.01

  

Disaster Recovery Plan

   15

Section 8.02

  

Force Majeure

   16

Section 8.03

  

Alternate Source

   17

Section 8.04

  

Allocation of Resources

   18     

ARTICLE IX

AGE SATISFACTION Surveys

    

Section 9.01

  

AGE Satisfaction Survey

   18     

ARTICLE X

GOVERNANCE, Project staff, MANAGEMENT AND ADDITIONAL PROVISIONS

REGARDING SERVICES

         

ARTICLE XI

DISPUTE RESOLUTION

    

Section 11.01

  

Continuity of Services

   19

Section 11.02

  

Dispute Resolution

   19

Section 11.03

  

Expedited Dispute Resolution

   19     

ARTICLE XII

PROPRIETARY RIGHTS

    

Section 12.01

  

BETA Software and Software

   19

 

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Section 12.02

  

BETA Tools and Tools

   19

Section 12.03

  

BETA Deferred Gap Resolutions

   20

Section 12.04

  

AGE Conversion Gap Resolutions

   20

Section 12.05

  

BETA License

   20

Section 12.06

  

AGE Work Product License

   21

Section 12.07

  

BETA Development Work and AGE Development Work

   21

Section 12.08

  

Documentary Work Product

   21

Section 12.09

  

Permissions; Training Materials

   22

Section 12.10

  

Residual Rights

   22

Section 12.11

  

No Implied Rights

   23     

ARTICLE XIII

DATA AND CONFIDENTIALITY

    

Section 13.01

  

Ownership of AGE Data

   23

Section 13.02

  

Correction of Errors

   23

Section 13.03

  

Return of Data

   24

Section 13.04

  

Data Security

   24

Section 13.05

  

General Confidentiality Obligations

   24

Section 13.06

  

Unauthorized Acts

   25

Section 13.07

  

Policy for Securities Transactions and Holdings

   26     

ARTICLE XIV

FEES AND INVOICING

    

Section 14.01

  

Fees Generally

   26

Section 14.02

  

Invoices

   27

Section 14.03

  

Time of Payment

   27

Section 14.04

  

Detailed Invoices

   27

Section 14.05

  

Adjustments to Fees

   27

Section 14.06

  

Rights of Set-Off

   28

Section 14.07

  

Proration

   28

Section 14.08

  

Unused Credits

   28

Section 14.09

  

Pricing Discussions

   28

 

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ARTICLE XV

TAXES

    

Section 15.01

  

Fees Exclusive of Taxes

   28

Section 15.02

  

Taxes Assessed for Relocating or Rerouting Services

   29

Section 15.03

  

Taxes on Owned or Leased Real or Personal Property

   29

Section 15.04

  

Cooperation Regarding Taxes

   29     

ARTICLE XVI

AUDITS

    

Section 16.01

  

SAS 70

   29

Section 16.02

  

Assistance With Regulatory Compliance

   30

Section 16.03

  

Services

   30

Section 16.04

  

Fees

   31

Section 16.05

  

Other Audits

   31

Section 16.06

  

Record Retention

   31

Section 16.07

  

Facilities

   32     

ARTICLE XVII

INSURANCE

    

Section 17.01

  

Insurance

   32

Section 17.02

  

Insurance Documentation

   33

Section 17.03

  

Risk of Loss

   33     

ARTICLE XVIII

REPRESENTATIONS AND WARRANTIES

    

Section 18.01

  

By AGE

   33

Section 18.02

  

By BETA

   34

Section 18.03

  

DISCLAIMER

   35     

ARTICLE XIX

Limitation of liability; damages

    

Section 19.01

  

Limitation of Liability

   36

Section 19.02

  

Acknowledged Direct Damages

   37     

ARTICLE XX

INDEMNITIES

    

Section 20.01

  

Indemnity by AGE

   38

 

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Section 20.02

  

Indemnity by BETA

   38

Section 20.03

  

Indemnification Procedures

   38

Section 20.04

  

Infringement

   39

Section 20.05

  

Subrogation

   39     

ARTICLE XXI

TERMINATION

    

Section 21.01

  

Termination for Convenience prior to Conversion

   40

Section 21.02

  

Termination for Convenience after Conversion

   40

Section 21.03

  

[Reserved]

   40

Section 21.04

  

Termination for Change in Control of BETA

   40

Section 21.05

  

Termination for Cause

   40

Section 21.06

  

Specific Termination Events

   41

Section 21.07

  

[Reserved]

   42

Section 21.08

  

Termination for Insolvency

   42

Section 21.09

  

Other Terminations

   43

Section 21.10

  

AGE’s Breach

   43     

ARTICLE XXII

TERMINATION FEES

    

Section 22.01

  

Calculation of Termination Fees prior to Conversion

   43

Section 22.02

  

Calculation of Termination Fees after Conversion

   43

Section 22.03

  

Partial Termination Fee Adjustment

   44

Section 22.04

  

Termination Fees

   44     

ARTICLE XXIII

TERMINATION ASSISTANCE

    

Section 23.01

  

Termination Assistance Services

   44

Section 23.02

  

Termination Rights

   44

Section 23.03

  

Termination Assistance Services Upon Partial Termination

   45     

ARTICLE XXIV

MISCELLANEOUS PROVISIONS

    

Section 24.01

  

Assignment

   45

Section 24.02

  

Notices

   46

 

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Section 24.03

  

Certain Equitable Remedies

   47

Section 24.04

  

Counterparts

   48

Section 24.05

  

Relationship

   48

Section 24.06

  

Severability

   48

Section 24.07

  

Delays; Waivers

   48

Section 24.08

  

Remedies Cumulative

   49

Section 24.09

  

Governing Law

   49

Section 24.10

  

Entire Agreement

   49

Section 24.11

  

Amendments

   49

Section 24.12

  

Survival

   49

Section 24.13

  

Third Party Beneficiaries

   49

Section 24.14

  

Covenant of Further Assurances

   50

Section 24.15

  

Negotiated Terms

   50

Section 24.16

  

Export

   50

Section 24.17

  

Conflict of Interest

   50

Section 24.18

  

Incorporation and References

   50

Section 24.19

  

Headings

   51

Section 24.20

  

Interpretation of Documents

   51

Section 24.21

  

Publicity

   51

Section 24.22

  

Parent Guarantee.

   51

Section 24.23

  

Agreement for Delivery of Security Master File

   51

 

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TABLE OF EXHIBITS

 

Exhibit 1

  Defined Terms

Exhibit 2

  Deferred Gaps

Exhibit 3

  Description of Services

Exhibit 4

  Service Levels: Designated Service Levels; Critical Service Levels; Key
Measurements; New Service Levels; and Service Level Credits-

Exhibit 5

  Fees(including Termination Fees)

Exhibit 6

  Strategic Direction

Exhibit 7

  BETA Service Locations

Exhibit 8

  AGE Software: AGE Proprietary Software; and AGE Third Party Software

Exhibit 9

  BETA Software: BETA Proprietary Software; and BETA Third Party Software and
BETA Tools

Exhibit 10

  BETA Direct Competitors

Exhibit 11

  Technical Architecture

Exhibit 12

  Governance

Exhibit 13

  Safety and Operational Procedures

Exhibit 14

  Key Personnel

Exhibit 15

  [Reserved]

Exhibit 16

  Product Availability Times

Exhibit 17

  New Services

Exhibit 18

  Summary Disaster Recovery Plan

Exhibit 19

  [Reserved]

Exhibit 20

  Standard Invoice

Exhibit 21

  System Narrative

Exhibit 22

  [Reserved]

Exhibit 23

  Record Retention Procedures

Exhibit 24

  Guarantee

 

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This HOSTING AND SERVICES AGREEMENT, dated October 4, 2004 (the “Agreement
Date”), is between AGE and BETA.

 

ARTICLE I

 

DEFINITIONS

 

The terms with initial capital letters used in this Agreement shall have the
meanings specified in Exhibit 1.

 

ARTICLE II

 

TERM

 

Section 2.01 Pre-Conversion Agreement.

 

(a) This Agreement supersedes and replaces in its entirety the Pre-Conversion
Agreement as it relates to BETA Deferred Gaps only, effective as of the
Agreement Date. The other terms of the Pre-Conversion Agreement remain in
effect. By executing this Agreement, neither Party will be deemed to have
waived, or to have released the other Party from, any obligation, claim, issue,
dispute, indemnity or liability in connection with the services provided under
the Pre-Conversion Agreement, whether arising, becoming known or discovered or
asserted before or after the Agreement Date, and any damages arising therefrom
shall not be subject to the limitations of liability set forth in Article XIX
hereof, but shall be subject to the limitations set forth in the Pre-Conversion
Agreement.

 

(b) The license and ownership rights and obligations set forth in the
Pre-Conversion Agreement shall survive any termination or expiration of the
Pre-Conversion Agreement.

 

Section 2.02 Initial Term.

 

The initial term of this Agreement shall commence on the Agreement Date and
continue until 23:59 (Central Time) on the Initial Agreement Expiration Date, or
such earlier date upon which this Agreement may be terminated in accordance with
its terms (the “Initial Term”).

 

Section 2.03 Renewals and Extensions.

 

Unless this Agreement is terminated earlier in accordance with its terms, AGE
shall notify BETA at least 180 days prior to any Expiration Date as to whether
AGE desires to renew this Agreement. If AGE provides BETA with notice that it
does not desire to renew this Agreement, then this Agreement shall terminate at
23:59 (Central Time) on the applicable Expiration Date. If AGE fails to provide
BETA with any notice regarding renewal, or provides BETA with notice that it
desires to renew this Agreement, then the term of this Agreement shall extend
for a period selected by AGE (the “Extension Period”) of up to twelve (12)
months from the applicable Expiration Date (the “Renewal Term”), at the terms
and conditions (including the Fees) in effect as of the applicable Expiration
Date.

 

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ARTICLE III

 

SERVICES

 

Section 3.01 Designated Services.

 

(a) Commencing on the Agreement Date (or such later date as is specified in this
Agreement), and continuing throughout the Term and, to the extent requested by
the AGE, during any Termination Assistance Period, BETA shall be responsible for
providing to AGE and, as directed by AGE, to AGE Companies and AGE Agents, all
of the following:

 

(1) the Conversion Services (including the services, functions, responsibilities
and projects described in Exhibit 2);

 

(2) the Hosting Services (including the services, functions, responsibilities
and projects described in Exhibit 3, Exhibit 4 and Exhibit 21);

 

(3) the Development Services (including the services, functions,
responsibilities and projects described in Exhibit 3);

 

(4) the services, functions and responsibilities that are of a nature and type
that would ordinarily be performed by an organization, or part of an
organization performing services similar to the Services within a company, in
the brokerage and financial services industry, even if not specifically
described in this Agreement; and

 

(5) any services, functions or responsibilities not specifically described in
this Agreement, but which are inherent to, or customary or required as part of
the proper performance and delivery of, all of Services (clauses (1) through and
including (5) of this Section, the “Designated Services”).

 

(b) Except as otherwise provided in this Agreement, BETA shall be responsible
for providing all facilities, personnel, Software, Tools, Equipment, Systems,
supplies and other resources necessary to provide the Services.

 

(c) Except as may otherwise be provided in this Agreement, Exhibit 3 or an
applicable Work Authorization, the Services shall be provided on a
24x7x365basis. Notwithstanding the foregoing, products set forth on Exhibit 16
shall be available only as set forth in Exhibit 16.

 

(d) Upon AGE’s prior written approval not to be unreasonably withheld or
delayed, BETA may limit the availability set forth in Section 3.01(c) for system
upgrades, maintenance or other operational considerations. For avoidance of
doubt, the foregoing shall not relieve BETA from the obligation to perform the
Services in accordance with the Service Levels. BETA will, upon request from
AGE, use reasonable efforts to extend the hours of system availability, or as
otherwise agreed by the parties through the Change Management Procedures.

 

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(e) BETA acknowledges that its provision of the Services will require
significant cooperation with third parties and BETA shall cooperate with third
parties to the extent specified in this Agreement or otherwise requested by AGE,
provided, however, that (i) any such third party is bound by confidentiality
requirements between the third party and either AGE or BETA obligating it to
keep confidential BETA confidential information consistent with the
confidentiality requirements under this Agreement, and (ii) AGE shall obtain
BETA’s approval in advance to the extent that AGE desires BETA to cooperate with
any of the third parties listed on Exhibit 10 (“BETA Direct Competitors”), which
approval will not be unreasonably withheld. BETA acknowledges that it will
cooperate and work with (x) [                 ***                 ] in
connection with [***] print and mail of AGE client-related materials (including
trade confirmations, tax documentation, account statements and other
miscellaneous documentation related to AGE’s provision of services to its
clients) and electronic storage and online delivery of such client-related
materials and (y) any other BETA Direct Competitor reasonably required by AGE to
receive the Services from BETA (and only to the extent necessary for AGE to
receive the Services from BETA). Such cooperation shall include providing to
such third parties, to the extent specified by this Agreement or otherwise
requested by AGE: (1) applicable written information concerning the usability
and interoperability of the proprietary systems, data, computing environment and
technology used in providing the Services; (2) reasonable assistance and support
services to third party service providers of AGE; and (3) access to and use of
the Systems, Software, Equipment, Tools and data used to provide the Services to
the extent reasonably required for the activities of such third party providers.
Notwithstanding the foregoing, in the event that such cooperation shall require
BETA to incur any third party fees or expenses, BETA will obtain AGE’s written
consent prior to incurring such third party fees and expenses and AGE will
reimburse BETA for such pre-approved third party fees and expenses.

 

(f) AGE may increase or decrease the amount (including volume of transactions
processed) and types of the Services it uses or receives under this Agreement,
subject, in the event of a decrease, to the payment of the minimum amounts set
forth in Exhibit 5. To the extent any additional Services requested by AGE are
New Services, such New Services will be agreed to in accordance with Article V,
Exhibit 3 and Exhibit 17.

 

(g) AGE and BETA have agreed to the BETA Deferred Gap Project Plan, which may be
amended from time to time by mutual agreement to the parties in accordance with
the PCR process set forth in Exhibit 3, for (i) implementation of all businesses
of AGE at the dates set forth therein and (ii) conversion of all files
designated by AGE to the BETA Core Systems, in each case in accordance with
Exhibit 2 and the Pre-Conversion Agreement as applicable. During the conversion
period, beginning on the Agreement Date and ending upon the Conversion Effective
Date, BETA and AGE will cooperate to ensure that the transition will occur
according to the BETA Deferred Gap Project Plan. Both parties acknowledge that
BETA is responsible for leading the efforts under the BETA Deferred Gap Project
Plan, and that certain aspects of either party’s ability to properly perform its
obligations hereunder and in Exhibit 2 and the Pre-Conversion Agreement as
applicable in a timely manner is conditioned upon the other party’s proper and
timely performance of certain obligations specified in Exhibit 2 and the
Pre-Conversion Agreement as applicable, provided, however, that BETA shall use
all commercially reasonable efforts to perform its obligations notwithstanding
AGE’s failure to perform. Each party will notify the other party of any failure
by its personnel to complete any such obligations; provided, however, that
neither party shall have any responsibility to notify the other party of any
failure that is

 

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unknown to it and the failure to provide such notice to the other party shall
not relieve a party of any of its obligations hereunder or under Exhibit 2 or
the Pre-Conversion Agreement. Both parties agree to staff their respective
project teams with personnel of high professional ability, to replace departing
personnel with substantially similar professional replacements as soon as
practical after departure and to commit reasonable management support for the
successful completion of the BETA Deferred Gap Project Plan. BETA acknowledges
and agrees that in order for the BETA Deferred Gap Project Plan to be
successful, the BETA Core Systems and associated Services and products must be
fully functional in all material respects and appropriately integrated with
AGE’s internal and third party related systems prior to the Conversion Effective
Date. The BETA Deferred Gap Project Plan shall include detailed processes on
implementing the integration of AGE’s internal and third party related systems.
BETA and AGE also agree to use all commercially reasonable efforts to convert to
the BETA Core Systems as expeditiously as possible those other businesses or
portfolios identified by AGE to BETA from time to time.

 

Section 3.02 Additional Recipients of Services.

 

(a) AGE reserves the right to designate additional AGE Companies and AGE Agents
to receive Services under this Agreement and BETA shall provide Services to such
AGE Companies and AGE Agents, provided, however, that (i) any AGE Agent is bound
by confidentiality requirements between the AGE Agent either AGE or BETA
obligating it to keep confidential BETA confidential information consistent with
the confidentiality requirements under this Agreement, and (ii) AGE shall obtain
BETA’s approval in advance to the extent that AGE desires BETA to provide any
Services to BETA Direct Competitors, which approval will not be unreasonably
withheld. AGE shall share such information with BETA as may be necessary for
BETA to determine which resources are required to meet AGE’s needs for AGE
Companies and AGE Agents. AGE shall not be obligated to obtain the Services from
BETA with respect to any AGE Companies or AGE Agents.

 

(b) For purposes of this Agreement, Services provided to AGE Companies and AGE
Agents shall be deemed to be Services provided to AGE. As used in this
Agreement, to the extent an AGE Company or AGE Agent is receiving Services under
this Agreement, references to (1) the business, operations, policies, procedures
and the like of AGE include such AGE Company or AGE Agent and (2) Services being
performed for or received by AGE shall include the performance of such Services
for and receipt of such Services by such AGE Company or AGE Agent.

 

(c) For purposes of clarity, Services provided to AGE Companies and AGE Agents
are for the purpose, among other things, of enabling the AGE Companies and AGE
Agents to enable AGE customers to benefit from the Services.

 

Section 3.03 BETA Strategic Direction.

 

BETA acknowledges that AGE has entered into this Agreement in reliance on BETA’s
plans and strategies set forth in Exhibit 6 and BETA agrees to comply with the
provisions of Exhibit 6. BETA agrees to enhance the Systems in accordance with
the BETA Strategic Directive set forth in Exhibit 6.

 

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Section 3.04 BETA User Groups.

 

(a) As a recipient of the Designated Services, BETA will ensure that AGE shall
be entitled to membership in the BETA User Committee (“BUC”) and shall have the
option to participate in all BUC activities. BUC activities provide BETA
customers with opportunities for input about ideas for changes and improvements
to BETA’s services and to receive communications about the status of new
developments, forthcoming changes and other matters of common concern to users.
BETA will ensure that the AGE Account Executive or such other person designated
by AGE shall be allowed to participate in all strategic planning sessions that
the BUC holds.

 

(b) BETA will publish to the BUC its initiatives and strategic priorities for
growing and improving the BETA platform and the related Services, and will
review the same with AGE at least annually. Such initiatives and priorities will
be subject to reasonable changes in the process in the future.

 

Section 3.05 Non-exclusive and Not Requirements Contracts.

 

Notwithstanding anything to the contrary contained in this Agreement, BETA
acknowledges and agrees that (a) this is not a requirements contract and AGE
shall not be required to obtain its requirements for any of the Services from
BETA and (b) BETA is not the exclusive provider to AGE of any of the Services
and AGE may at any time itself and/or through a third party provide and/or
obtain any services (including services to supplement, replace or render
unnecessary the Services). Each Party acknowledges that the other Party may
enter into other transactions with companies that may be competitors, suppliers
or customers of the other Party.

 

Section 3.06 Technical Architecture.

 

The BETA Core Systems shall be able to connect with and operate in conjunction
with AGE’s information management technical architecture set forth in Exhibit
11, as the same may be modified by AGE upon 30 days’ notice to BETA, or such
other period of time as may be agreed by AGE and BETA in good faith.

 

Section 3.07 Knowledge Sharing; Post Conversion Training.

 

At least once every Contract Year, and on request after at least 30 days’ notice
from AGE, BETA shall meet with representatives of AGE in order to (a) explain
how the Systems work and should be operated (including Bingo and Webex
presentations), (b) explain how the Services are delivered and provided and (c)
provide a briefing and overview and such documentation as AGE may require to
understand and operate the Systems and understand and provide the Services
itself, [                            ***                             ]. Upon
AGE’s reasonable request, BETA will provide post-Conversion training to AGE
employees on the use of the BETA Core Systems and new applications as set forth
in Exhibit 3 (including the Fees, if any, specified to be paid therein), unless
otherwise agreed by the Parties, which training may include at AGE’s request
“train the trainer” training.

 

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Section 3.08 Improved Technology and Processes.

 

BETA shall cause the Services to evolve and be enhanced, modified, replaced and
supplemented as necessary for the Services to maintain a level of technology
that allows AGE to take advantage of technological advances. In providing the
Services to AGE, BETA shall [                                         
                                        
    ***                                                                  ]
changes and proven processes and methodologies and implement technology changes
and proven processes and methodologies, and (b) at the meetings provided for in
Exhibit 12, [        ***        ] any new improvements, enhancements,
modifications, updates, releases and revisions to the Systems
[                                                                             
***                                    

                                                                     ].

 

Section 3.09 Governmental Consents.

 

BETA shall obtain, maintain and comply with all of its Governmental Consents.
AGE shall obtain, maintain and comply with all of its Governmental Consents.
Each Party shall cooperate with the other Party in obtaining and maintaining its
Governmental Consents.

 

Section 3.10 BETA Private Consents.

 

BETA shall obtain, maintain and comply with all of the BETA Private Consents.

 

Section 3.11 Changes in Law.

 

(a) BETA shall (i) use commercially reasonable efforts to promptly identify and
notify AGE of any changes in Law, including Regulatory Requirements, that BETA
has actual knowledge of and that relate to AGE’s receipt or use of the Services
and (ii) promptly identify and notify AGE of any changes in Law, including
Regulatory Requirements, that may relate to BETA’s delivery or provision of the
Services. AGE may notify BETA of any changes in Law applicable to AGE’s receipt
or use of the Services. BETA and AGE shall work together to identify the impact
of such changes on how AGE receives and uses, and BETA delivers and provides,
the Services, and attempt in good faith to reach agreement on how BETA
implements the changes required to comply with Law.

 

(b) BETA shall be responsible for modifying and/or enhancing the BETA Core
Systems and Services to comply with all such changes in Law as requested by the
BUC to the extent that it relates to BETA’s delivery or provision of the
Services. In the event that AGE requests changes or modifications that are in
addition to those requested by the BUC, AGE shall be responsible for any
additional costs or expenses for BETA to implement such changes or modifications
(which changes or modifications may be provided by the [***] FTEs set forth in
Section 3.16). By way of example, if a Regulatory Requirement is enacted which
requires that a transaction or trade be processed a certain way, then BETA shall
be responsible for ensuring that the BETA Core Systems process the transactions
or trades as required by the new Regulatory Requirement, as requested by the BUC
and AGE shall be responsible for any changes or modifications in addition to
those requested by the BUC.

 

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(c) BETA shall be responsible for all fines and penalties arising from BETA’s
noncompliance with Laws relating to BETA’s delivery or provision of the
Services, to the extent such noncompliance was not caused by AGE or a breach of
this Agreement by AGE. AGE shall be responsible for any fines and penalties
arising from any noncompliance by AGE with any Law relating to AGE’s receipt or
use of the Services, to the extent such noncompliance was not caused by BETA or
a breach of this Agreement by BETA.

 

(d) BETA shall perform the Services regardless of any changes in Law, including
Regulatory Requirements. The foregoing shall not require BETA to provide the
Services in violation of Law. If such changes in Law prevent BETA from lawfully
performing its obligations under this Agreement, BETA shall develop
[        ***        ], and with AGE’s cooperation, implement a suitable
workaround (which workaround may have been identified or requested by the BUC)
until such time as BETA can perform its obligations under this Agreement in
compliance with Law without such workaround. In the event that BETA is unable to
perform the Services as a result of any change(s) in Law because such
performance is impossible (i.e., for which no workaround is available, or which
otherwise materially exceeds the scope of the Services provided by BETA at such
time), then BETA shall provide AGE with written notice thereof as soon as
practicable and AGE thereupon may terminate this Agreement (within 90 days of
receipt of such notice) without payment of Termination Fees, provided that BETA
shall not be responsible for any damages or penalties for such failure to
deliver the Services in compliance with such change in Law, and BETA shall
provide Termination Assistance Services (to the extent it can legally do so) at
no cost to AGE. If AGE does not timely exercise its termination right set forth
in the preceding sentence, then the Parties shall implement an equitable
adjustment to the applicable Fees relating solely to that portion of the
Services no longer provided by BETA as a result of the changes in Law.

 

Section 3.12 Reports.

 

(a) BETA shall prepare and provide to AGE, in a form acceptable to AGE, the
reports specifically set forth in Exhibit 2, Exhibit 3, and Exhibit 4 and upon
AGE’s request, all or fewer of the standard reports maintained by the BETA Core
Systems. In addition, such standard reports shall be deemed to include any
additional reports created or developed as part of the BETA Deferred Gap
Resolutions or any future enhancements to the BETA Core Systems or other new
applications. AGE may request that BETA prepare and provide to AGE other reports
in addition to the aforementioned standard reports. Such request may be made
either through the Change Management Procedures or as a request for New
Services. The Parties shall use good faith efforts to agree on the fees (if any)
for, and the scope and content of, such reports. AGE shall pay any additional
charges for the preparation and provision of such additional reports that are
mutually agreed through the Change Management Procedures or the request for New
Services. For avoidance of doubt, there shall be no charge for such additional
reports to the extent they are prepared by the Full Time Equivalents set forth
in Section 3.16.

 

(b) With respect to BETA’s reporting of its provision of the Conversion
Services, BETA will provide AGE with a report in a form to be agreed upon by the
Parties concerning the progress of the Conversion Services, including (1) the
achievement of, or failure or anticipated failure to achieve, any milestones set
forth in the BETA Deferred Gap Project Plan or otherwise agreed by the Parties,
by the 10th day of each month (or if such day is not a business day then on

 

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the next business day) during BETA’s provision of the Conversion Services and
(2) such documentation and other information as AGE may request.

 

Section 3.13 Sale or Transfer of Equipment.

 

BETA shall not sell, remove or otherwise dispose of any property of AGE,
including AGE Equipment, without AGE’s consent.

 

Section 3.14 Subcontractors.

 

[                                       
                                        
                                        
                                        
                                                  
                                        
                                        
                ***                       
                                        
                                                  
                                        
                                        
                                                 ] No subcontracting shall
release BETA from its responsibilities or obligations under this Agreement. BETA
shall be responsible and liable for the work and activities of each of the BETA
Agents, including compliance with the terms of this Agreement. BETA shall be
responsible for all payments to its subcontractors. BETA shall promptly pay for
all services, materials, equipment and labor used by BETA in providing the
Services and BETA shall keep AGE’s premises, AGE Equipment, AGE Software and AGE
Tools free of all liens.

 

Section 3.15 Conduct of BETA Personnel.

 

While at the AGE Service Locations, BETA and BETA Agents shall (a) comply with
the reasonable requests and standard rules and regulations of AGE regarding
safety and health, personal and professional conduct (including adhering to
general safety practices or procedures) generally applicable to such AGE Service
Locations (provided that AGE notifies BETA of such rules and regulations) and
(b) otherwise conduct themselves in a professional and businesslike manner. BETA
shall cause the Project Staff having access to AGE Confidential Information to
maintain and enforce the confidentiality provisions of this Agreement. If AGE
notifies BETA that a particular member of the Project Staff is not conducting
himself or herself in accordance with this Agreement, BETA shall promptly (1)
investigate the matter and take appropriate action which may include (i)
removing the applicable person from the Project Staff and providing AGE with
prompt notice of such removal and (ii) replacing the applicable person with a
similarly qualified individual, or (2) take other appropriate disciplinary
action to prevent a recurrence of such conduct. In the event of multiple
violations of this Agreement by a particular member of the Project Staff, BETA
shall promptly remove the individual from the Project Staff.

 

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Section 3.16 Development and Project Services; FTEs.

 

(a) Commencing after the four-month anniversary of the Conversion Effective
Date, BETA shall, [                    ***                     ], provide [***]
Full Time Equivalents per Contract Year to provide certain development and other
project services on behalf of AGE as and when requested by AGE, provided that
such services relate to the Services or New Services. [                

 

***

 

                                                                                
                                        
                                        
                                         ]

The development and other project Services provided by these Full Time
Equivalents will not be deemed New Services unless such Services meet the
definition of New Services. The services performed by these [***] FTEs may
include the following types of services (but it is understood and agreed that
any project or special services will be performed as requested by AGE, including
any special projects set forth in this Agreement or New Services [

***                                              ]: (1) enhancements intended to
support operational improvements or efficiencies, (2) enhancements required to
support product integration with other AGE application systems; and (3) new
development intended to provide AGE with a competitive advantage in the market.
The FTEs shall also provide project management, database administration, network
design, environmental support and similar services. AGE will work with BETA to
define the required skill sets that BETA will use to support AGE projects, on a
project by project basis. [

 

***

 

                                       
                                         ]

 

(b) Any work to be provided by the FTEs hereunder shall be requested by AGE and
agreed to by the Parties in accordance with the SCR/PCR processes set forth in
Exhibit 3. BETA shall be responsible for monitoring and reporting to AGE on a
monthly basis AGE’s use of the [***] FTEs, and shall report such usage to AGE in
sufficient detail to enable AGE to confirm compliance with this Section.

 

(c) BETA may, in its sole and absolute discretion, elect to make available to
its other customers those enhancements to the BETA Core Systems developed by the
[***] FTEs. BETA acknowledges that there may be appropriate circumstances in
which AGE should receive a credit in consideration of AGE’s original development
costs of certain enhancements. Any such credit shall occur only upon the good
faith mutual agreement of the Parties. [                         

                                       
                                     ***  
                                               

            ].

 

(d) To the extent that any development costs are to be credited to AGE pursuant
to this Section 3.16, such credit shall be in scope and form as may be mutually
agreed by the Parties.

 

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(e) The Parties acknowledge that the [***] FTEs provided to AGE pursuant to this
Section 3.16 of the Agreement shall not be used or otherwise applied towards
BETA’s development and completion of the BETA Deferred Gap Resolutions.

 

(f) [***]

 

Section 3.17 Facilities Management and Other Arrangements.

 

(a) During the term of this Agreement and upon any expiration or termination,
AGE may at is option elect to enter into one of two alternative arrangements to
obtain all or part of the BETA Core Systems and other new products developed
during the term of the Agreement as set forth herein. Under the first option,
AGE shall have the ability to license BETAHost directly from BETA, and BETA will
provide and manage all facilities, equipment, and third party software necessary
for AGE to receive the Services (the “Facilities Management Option”). Under the
second option, AGE shall have the ability to license the BETA Core Systems and
other new products developed during the term of the Agreement directly from
BETA, and AGE will provide and manage all facilities, equipment, and third party
software necessary for AGE to operate the BETA Core Systems and other new
products developed during the term of the Agreement (the “Licensing Option”). In
the event that AGE exercises either of these two options, BETA will deposit the
source code to the software (and any updates thereto) and the Parties will
mutually agree upon the escrow terms pursuant to which such source code will be
updated and released.

 

(b) In the event that AGE exercises the Facilities Management Option, AGE shall
pay BETA the amount set forth in Exhibit 5 under the heading “Facilities
Management/Purchase License”, less the applicable credits identified in Exhibit
5 in such section. The Monthly Trade Processing Fees shall be reduced as set
forth in Exhibit 5, effective upon AGE’s payment of the license fee set forth in
Exhibit 5. All other terms and conditions of this Agreement (including all
Exhibits and Attachments) shall remain in full force and effect during the
remainder of the Term and any period of Termination Assistance Services.
Effective upon AGE’s payment of the license fee set forth in Exhibit 5, BETA
grants to AGE a global, limited, perpetual, irrevocable, non exclusive, non
transferable license to access and use (as set forth herein), and sublicense to
permit a third party to access and use (as set forth herein) solely in
connection with providing goods or services to or purchasing goods or services
from AGE, the BETAHost software (the “BETAHost Software”). AGE (and its
permitted third parties) may access and use the BETAHost Software only to
provide back office processing for its own brokerage operations, which include
the operations of each of AGE’s correspondent brokerage firms for which AGE
provides clearing services. Any use of the BETAHost Software by any
correspondent of AGE is deemed use by AGE, and all terms, conditions,
limitations, and restrictions on the use of the BETAHost Software imposed by
this Agreement are applicable to use of the BETAHost Software by AGE’s
correspondents. Other than as specifically authorized by this license grant, AGE
may not relicense, sublicense, sell, lease, or in any other manner convey rights
in, grant permission to use, provide access to, or make available the BETAHost
Software without BETA’s express written consent. AGE may not publish, disclose,
display, provide access to or otherwise make available any part of the BETAHost
Software, or any screens, formats, reports, or printouts used, provided,
produced, or supplied from or in connection therewith, to any person or entity
other than an employee of AGE without the prior written consent of, and on terms
acceptable to,

 

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BETA; provided, however, that AGE may disclose to governmental or regulatory
agencies or to customers of AGE such information as the BETAHost Software
specifically generates for disclosure to such governmental or Regulatory
Authorities or to such customers; and further provided that AGE may make such
copies of the documentation as are necessary for AGE’s use of BETAHost.

 

(c) In the event that AGE determines to exercise the Licensing Option, the
Parties will terminate this Agreement and will negotiate and execute a mutually
acceptable agreement addressing AGE’s license rights (which shall be consistent
in all material respects with the license set forth is Section 3.17(b)) and
BETA’s obligations to provide maintenance for such BETAHost (and BETA Core
Systems, if agreed) and such other provisions as mutually agreed by the Parties.
The fees payable for BETAHost shall be as set forth in Exhibit 5 under the
heading “Facilities Management/Purchase License”, less the applicable credits
identified in Exhibit 5 in such section. The Parties shall agree upon the
license fees for the other components of the BETA Core Systems (if applicable).
In addition, upon AGE’s request, BETA shall (a) assist AGE to determine any New
Equipment necessary for AGE to operate the BETA Core Systems and other new
products developed during the term of the Agreement itself and identify
suppliers with the most favorable terms (including the lowest cost) available to
BETA for any such New Equipment and (b) upon AGE’s request, acquire the New
Equipment on AGE’s behalf by: arranging for a third party to lease, such New
Equipment to AGE arrange for a third party to license, such New Equipment to
AGE. AGE shall pay to the supplier, third party lessor or third party licensor,
as applicable, the lease or license fees, as applicable, in respect of the New
Equipment requested by AGE. Except as otherwise agreed by the Parties or as
otherwise provided in this Agreement (i) all rights in and title to any New
Equipment purchased by BETA on behalf of AGE and paid for by AGE shall belong to
AGE and (ii) all New Equipment shall be entirely new.

 

(d) In the event that AGE exercises the Facilities Management Option, such
exercise itself shall not require AGE to pay Termination Fees at the time of
election, but the Termination Fees shall remain in effect during the remainder
of the Term. In the event that AGE exercises the Licensing Option, Termination
Fees will be mutually agreed by the Parties at that time.

 

Section 3.18 BETALink APIs.

 

[

 

***

 

                                    ]

 

Section 3.19 Deferred Gap Schedule.

 

(a) BETA agrees to complete all BETA Deferred Gap Resolutions by
[        ***        ], in accordance with Exhibit 2. Prior to
[        ***        ], the Parties will meet and confer to further define and
finalize the BETA Deferred Gap Project Plan for completion of the BETA Deferred
Gap Resolutions (including modifying the BETA Deferred Gap Project Plan to
account

 

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for scope changes and additional BETA Deferred Gaps identified after the
Agreement Date). In the event the Parties are unable to agree on a final BETA
Deferred Gap Project Plan for completion of the BETA Deferred Gap Resolutions by
[                     ***                     ], the matter shall be escalated
pursuant to Exhibit 12. The final BETA Deferred Gap Project Plan shall be used
for calculating the additional credits for failure to deliver the BETA Deferred
Gap Resolutions on time as set forth in Section 3.19(b).

 

(b) Within 10 days after the end of each calendar quarter commencing on
[            ***             ], and continuing until the BETA Deferred Gaps
Resolutions are all completed and delivered to AGE or otherwise promoted to
production, BETA shall deliver to the AGE Account Manager, for escalation to
AGE’s executive group, a description of BETA’s compliance with the BETA Deferred
Gap Project Plan and the delivery of BETA Deferred Gap Resolutions thereunder.

 

(c) In the event that BETA fails to deliver 100% of the scheduled BETA Deferred
Gap Resolutions scheduled for delivery by [             ***            ], and
BETA, after a 20-day grace period, does not deliver such BETA Deferred Gap
Resolutions, AGE shall be entitled to a credit against future Monthly Trade
Processing Fees equal to [                                    

 

***

 

                                    ]. For avoidance of doubt, if BETA has
delivered by [            ***             ] all of the BETA Deferred Gap
Resolutions scheduled to be delivered by [            ***            ], AGE will
not be entitled to a credit under this subsection (c).

 

(d) In the event that BETA fails to deliver 100% of the scheduled BETA Deferred
Gap Resolutions scheduled for delivery by [         ***        ] (no grace
period), AGE shall be entitled to a credit against future Monthly Trade
Processing Fees equal to [                

 

***

 

                            ].

 

(e) A BETA Deferred Gap Resolution will be considered to be “delivered” by BETA
for purposes of this Section 3.19 if BETA has made the BETA Deferred Gap
Resolution available to AGE prior to or on the applicable date set forth in
subsections (c) or (d) above, and such BETA Deferred Gap Resolution has all
functionality described in the applicable Deferred Gap Functional Specification.
The Parties agree that the determination of whether a particular BETA Deferred
Gap Resolution was “delivered” for purposes of this Section 3.19 may occur after
the dates set forth in subsections (c) or (d) above occurred depending on AGE’s
testing schedule as governed by the BETA Deferred Gap Project Plan. AGE will be
entitled to the credits described above for BETA’s failure to deliver the
required BETA Deferred Gap Resolutions regardless of whether the Parties
discover the failure before or after the applicable date in accordance with the
preceding sentence. Further, BETA is required to correct the deficient BETA
Deferred Gap and re-deliver to AGE in no more than four (4) weeks from AGE’s
notice of the deficiency in the BETA Deferred Gap.

 

(f) If BETA’s failure to deliver a BETA Deferred Gap Resolution prior to the
dates set forth in subsections (c) or (d) above in which it was due was because
AGE failed to comply with its obligations as set forth in the BETA Deferred Gap
Project Plans, then such applicable

 

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BETA Deferred Gap shall be excluded when determining the number of BETA Deferred
Gap Resolutions delivered on schedule.

 

(g) The BETA Deferred Gap Project Plan will be subject to the PCR Process set
forth in Exhibit 3.

 

Section 3.20 File Transmissions.

 

BETA will deliver to AGE or the designated third parties the files to be
transmitted set forth in Exhibit 4 or otherwise agreed to by the Parties within
the timeframes set forth in Exhibit 4 or otherwise agreed by the Parties. The
lists of files and transmission times by category are set forth in Attachment
4-G to Exhibit 4. The file transmission times will be extended to the levels set
forth in Attachment 4-G for the following days: PIPS, Dividends, and Month End.
The parties shall mutually agree, in good faith, on the final list of files and
transmission times for inclusion in Attachment 4-G by the Conversion Effective
Date; in each case the files and the transmission times shall be established
such that AGE is able to operate its business without disruption. For any new
files that BETA created for AGE, the Parties will mutually agree in good faith,
within 90 days after the Conversion Effective Date, to adjust the file
transmission times (up or down), taking into account continuing improvements in
BETA’s provision of the Services to AGE as BETA further understands and
integrates the Services with AGE’s systems.

 

ARTICLE IV

 

CONVERSION

 

The rights and obligations of the Parties concerning BETA Deferred Gaps shall be
as set forth in Exhibit 2. BETA will provide other pre-Conversion services in
accordance with the Pre-Conversion Agreement.

 

ARTICLE V

 

NEW SERVICES

 

Section 5.01 New Services.

 

The rights and obligations of the Parties concerning New Services shall be as
set forth in Exhibit 3 under Applications Software Development Life Cycle (but
only to the extent requested by AGE) and Exhibit 17 and shall be subject to the
execution of a Work Authorization or other documentation required by Exhibit 3,
as applicable. The parties acknowledge that New Services may include additional
Services provided by BETA for which there may be an additional monthly Fees for
such New Services, as may be agreed in accordance with Exhibit 3. To the extent
that AGE requests the enhancement, such work will either be included as part of
the [***] FTEs provided by BETA to AGE [         ***        ], or through the
execution of a Work Authorization as part of a New Services request.

 

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ARTICLE VI

 

SERVICE LOCATIONS

 

Section 6.01 Service Locations.

 

(a) The Services shall be provided to AGE from the BETA Service Locations set
forth in Exhibit 7, as may be modified by BETA from time to time. The addition,
deletion, replacement, relocation or use of any location from which Services are
to be provided shall not be subject to AGE’s approval, subject to the
restrictions below. BETA [                                             

                                                     ***
                                                                 ]. BETA shall
not relocate its data center or disaster recovery sites to any data center or
disaster recovery site that does not have, at a minimum, physical safety and
security features and data processing capabilities as the BETA Service Locations
on Exhibit 7, and such relocation will not result in a degradation of the
Services. Unless requested by AGE, BETA shall not permit any personal
identifiable AGE customer information nor any confidential or proprietary
information associated with AGE (including non-disclosed financial information,
employee information, broker names or confidential product information, etc.) to
be transmitted to or reside [                                             

                                       
     ***                                              ].

 

(b) Incremental costs incurred by AGE as a result of a relocation to, or use or
discontinuance of the use of, any location other than the locations set forth on
Exhibit 7 shall, [***].

 

(c) BETA and BETA Agents may not provide or market services to a third party
from, or conduct any other activities not directly supporting the Services at,
an AGE Service Location. The Parties acknowledge that the foregoing shall not
prohibit BETA and BETA Agents from conducting incidental activities at AGE
Service Locations which do not support the Services, such as answering cell
phone calls unrelated to the Services.

 

Section 6.02 Safety and Operational Procedures.

 

BETA shall provide the Services in accordance with the Safety and Operational
Procedures set forth in Exhibit 13. In addition, BETA will comply with AGE’s
safety and security procedures while at AGE Service Locations that AGE may
provide to BETA from time to time.

 

Section 6.03 Security Relating to Competitors.

 

If BETA intends to provide the Services from a Service Location that is shared
with (a) a third party or (b) any part of the business of BETA or any of its
Affiliates that is competitive with AGE’s businesses, then prior to providing
any of the Services from such a Service Location, BETA shall develop physical
and logical security measures, subject to AGE’s prior approval, not to be
unreasonably withheld or delayed, to restrict access in any such shared Service
Location to AGE’s Confidential Information so that BETA’s other customers do not
have access to AGE’s Confidential Information.

 

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ARTICLE VII

 

SERVICE LEVELS

 

Section 7.01 Designated Service Levels.

 

BETA shall perform the Services at least in accordance with the Service Levels
set forth in Exhibit 4. All Services for which there are no defined Service
Levels shall be performed at levels that a provider of similar services would
provide to its customers.

 

Section 7.02 New Service Levels.

 

BETA shall provide the New Services in accordance with the Service Levels
applicable to such New Services in accordance with Exhibit 4.

 

Section 7.03 Service Level Credits.

 

In the event of a failure to provide the Services in accordance with the Service
Levels, BETA shall incur the Service Level Credits identified in and calculated
according to Exhibit 4, in recognition of the diminished value of the Services
resulting from BETA’s failure to meet the Service Levels, and not as a penalty.
The Service Level Credits shall not limit or affect AGE’s right to recover, in
accordance with this Agreement, all damages incurred by AGE as a result of such
failure, or limit or affect any recourse AGE may have under this Agreement, at
law or in equity regarding such failure.

 

ARTICLE VIII

 

CONTINUED PROVISION OF SERVICES

 

Section 8.01 Disaster Recovery Plan.

 

(a) BETA shall provide Disaster Recovery Services in accordance with the BETA
Disaster Recovery Plan and the procedures set forth in Exhibit 3 (Description of
Services).

 

(b) BETA shall provide information and will participate in industry and exchange
testing necessary for AGE to comply with all regulatory requirements concerning
disaster recovery readiness. In the event of a Disaster or if the BETA Core
System is otherwise inoperative, BETA shall implement its Disaster Recovery Plan
and restore the Services to AGE in accordance with the terms of the Disaster
Recovery Plan and this Agreement. BETA agrees to recover the BETA Core Systems
[            ***            ] the declaration of a Disaster and 100% of AGE’s
Services within [         ***         ] of the declaration of a Disaster
(including all reporting and printing services). BETA will employ industry
standard best-practice third party products to maintain replicated copies of AGE
Data at the recovery center (WDC2). This AGE Data will be an appropriately
current copy of data at BETA’s primary data center, managed to the Service
Levels. A recoverable copy (defined as the production data that will be used for
recovery in the event a Disaster is declared during batch processing) of
production data will be created before the start of batch processing each
processing day at a recovery site. BETA will provide a Rapid

 

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Order Recovery capability by [         ***         ]. The Rapid Order Recovery
System will have the functionality as set forth in Exhibit 3.

 

(c) In addition, BETA will have full network capacity established for AGE and
will be able to meet contracted Service Levels when recovered. If BETA’s
recovery facility is utilized, BETA shall continue to provide the Services to
AGE from the BETA recovery facility until the BETA primary site is fully
operational again. At least semi-annually, BETA shall conduct a test of the
Disaster Recovery Plan as set forth in the Disaster Recovery Plan. BETA will
permit AGE to participate in such disaster simulations as described in the
Disaster Recovery Plan. BETA agrees to send AGE all updates or changes to the
current Disaster Recovery Plan and service levels as they occur (provided that
such changes shall not reduce, degrade, or otherwise adversely impact the
Disaster Recovery Plan and the recovery times and levels of service set forth
herein). If at any time BETA becomes aware that it is not in compliance with its
Disaster Recovery Plan, BETA will notify AGE in writing.

 

(d) In the event a disaster, crisis or other force majeure event occurs with
respect to AGE’s internal operations, BETA’s will provide order management
assistance to AGE to mitigate the effects to AGE of such disaster, crisis or
force majeure event. For avoidance of doubt, such assistance shall not include
BETA taking or entering orders.

 

(e) BETA agrees to provide AGE with a detailed summary description of BETA’s
current Disaster Recovery Plan and, upon request, allow AGE to review the
detailed Disaster Recovery Plan at BETA’s Brookfield Service Location. BETA
shall provide the summary of the Disaster Recovery Plan to AGE on or before the
Conversion Effective Date. The Parties shall incorporate the summary of the BETA
Disaster Recovery Plan as Exhibit 18 to this Agreement upon delivery by BETA to
AGE. In addition, the Parties agree to promptly update Exhibit 18 with a summary
of any additions or deletions to the Disaster Recovery Plan, including in
connection with BETA’s migration to the Rapid Order Recovery System. The summary
of the Disaster Recovery Plan will include a description for BETA’s recovery
capabilities for BETA Host (including BETA Mess (wire) and BETAHost (MF) with
terminal emulator), BETAConnect, BETALink, BETA Access, BL Server, XT Server,
and Standard Reports, and which processes will be replicated continuously to the
Disaster Recovery site.

 

Section 8.02 Force Majeure.

 

If and to the extent that a Party’s performance of any of its obligations
pursuant to this Agreement is prevented, hindered or delayed by fire, flood,
earthquake, elements of nature or acts of God, acts of war, terrorism, riots,
civil disorders, rebellions or revolutions, or any other similar cause beyond
the reasonable control of such Party (each, a “Force Majeure Event”), and such
non-performance, hindrance or delay could not have been prevented by reasonable
precautions, then the non-performing, hindered or delayed Party shall be excused
for such non-performance, hindrance or delay, of those obligations affected by
the Force Majeure Event for as long as such Force Majeure Event continues and
such Party continues to use its best efforts to recommence performance whenever
and to whatever extent possible without delay, including through the use of
alternate sources, workaround plans or other means. The Party whose

 

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performance is prevented, hindered or delayed by a Force Majeure Event shall
immediately notify the other Party of the occurrence of the Force Majeure Event
and describe in reasonable detail the nature of the Force Majeure Event and the
proposed steps such Party will take to recommence performance of its obligations
under this Agreement. The occurrence of a Force Majeure Event does not excuse,
limit or otherwise affect BETA’s obligation to provide either normal recovery
procedures or any other disaster recovery services described in this Agreement
(including in Section 8.01).

 

Section 8.03 Alternate Source.

 

(a) Other than for Acts of God, natural disaster, fire, acts of war, terrorism,
riots, civil disorders, rebellions or revolutions, or any other similar cause
beyond the reasonable control of BETA that impacts both BETA’s primary
production site and Disaster Recovery site at the same time or within close
proximity in time such that BETA could not have reasonably recovered from the
first such event, and provided that, if possible, BETA has executed its Disaster
Recovery Plan, and subject to the limitations of liability provisions set forth
in Section 19.01(a)(III), if any Force Majeure Event prevents, hinders or delays
performance of the Services for [***] continuous hours during NYSE business days
in the case of Services for which there is a Critical Service Level for the
Service Level Category “Availability”, or more than [***] days in the case of
all other Services, then without limiting or affecting AGE’s rights under this
Agreement, AGE may provide the Services itself or procure such Services from an
alternate source [

 

***

 

                                    ]. After the occurrence of a Force Majeure
Event, AGE and BETA shall work together in good faith to minimize such costs for
AGE to provide the Services itself or procure such Services from an alternate
source, and to transition the Services to AGE or another third party. If the
Force Majeure Event continues to prevent, hinder or delay performance of the
Services for more than [***] continuous hours during NYSE business days in the
case of Services for which there is a Critical Service Level for the Service
Level Category “Availability”, or more than [***] days in the case of all other
Services, AGE may terminate this Agreement, in whole or in part, as of a date
specified by AGE in a termination notice to BETA (which notice must be delivered
to BETA within [***] days after the occurrence of such event), without regard to
Section 21.05(a).

 

(b) In the event BETA does not provide any Service in accordance with this
Agreement as a result of a breach of this Agreement by BETA or BETA Agents, then
without limiting or affecting AGE’s rights under this Agreement, AGE may after
providing notice to BETA either (1) provide such Services itself or procure such
Services from an alternate source [

 

***

 

                                                                                
                             ].

 

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Section 8.04 Allocation of Resources.

 

Whenever a Force Majeure Event, disaster or other event causes BETA to allocate
limited resources between or among BETA’s customers, BETA shall not provide to
any other customers of BETA priority over AGE or otherwise treat AGE less
favorably than its other customers. In addition, in no event shall BETA redeploy
or reassign any Key Personnel in the event of a Force Majeure Event, disaster or
other event.

 

ARTICLE IX

 

AGE SATISFACTION SURVEYS

 

Section 9.01 AGE Satisfaction Survey.

 

(a) No more than once each Contract Year during the Term, BETA shall, upon AGE’s
request and at AGE’s expense, engage an unaffiliated third party approved by AGE
and BETA who specialize in conducting satisfaction surveys to conduct an AGE
satisfaction survey in respect of those aspects of the Services designated by
mutual agreement of the Parties (the “Satisfaction Surveys”). Such Satisfaction
Survey shall, at a minimum, cover a representative sampling of End Users and
senior management of AGE, as agreed by the Parties. The timing, content, scope
and method of the survey shall be mutually agreed by the Parties. The Parties
acknowledge that the Satisfaction Surveys may cover questions regarding (i) the
levels of Service provided by BETA, (ii) BETA’s and AGE’s competitiveness in the
marketplace (including the products and services BETA competitors have and AGE
competitors have), (iii) competitiveness of BETA technology, and (iv) the
evolution of the existing core business of BETA (including with respect to the
evolution of the System Narrative and the Strategic Direction).

 

(b) [

 

***

 

]            

 

(c) In the event that BETA fails to reach the agreed upon threshold in any
category of the Satisfaction Survey, BETA will implement all commercially
reasonable recommendations from the Satisfaction Survey to address and correct
such deficiencies within a reasonable timeframe.

 

ARTICLE X

 

GOVERNANCE, PROJECT STAFF, MANAGEMENT AND ADDITIONAL

PROVISIONS REGARDING SERVICES

 

The rights and obligations of the Parties concerning the management and control
of the Services and the relationship between the Parties under this Agreement
shall be as set forth in Exhibit 12.

 

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ARTICLE XI

 

DISPUTE RESOLUTION

 

Section 11.01 Continuity of Services.

 

BETA acknowledges that the timely and complete performance of its obligations
pursuant to this Agreement is critical to the business, operations and prospects
of AGE. Accordingly, in the event of a dispute between AGE and BETA, BETA shall
continue to so perform its obligations under this Agreement and AGE shall
continue to make payments in accordance with this Agreement during the
resolution of such dispute unless and until this Agreement has expired or is
terminated in accordance with its provisions and, in either case, all applicable
Termination Assistance Periods have expired.

 

Section 11.02 Dispute Resolution.

 

The informal dispute resolution provisions and the arbitration provisions set
forth in Exhibit 12 shall apply to all disputes arising under or related to this
Agreement, except as otherwise specified in Exhibit 12.

 

Section 11.03 Expedited Dispute Resolution.

 

Notwithstanding anything to the contrary contained in this Agreement, in the
event of a dispute relating to or arising out of a Default Notice, the dispute
resolution process described in Section 11.02 must be commenced and completed
within the applicable Default Cure Period.

 

ARTICLE XII

 

PROPRIETARY RIGHTS

 

Section 12.01 BETA Software and Software.

 

Effective upon the first Use by BETA of any BETA Software to provide the
Services, BETA hereby grants to AGE a global, irrevocable (during the Term and
during any Termination Assistance Period), non-exclusive, non-transferable
license to Use, and sublicense and to permit a third party to Use solely in
connection with providing goods or services to or purchasing goods or services
from AGE, (a) the BETA Proprietary Software (including BETA Deferred Gap
Resolutions owned by BETA and BETA Development Work) and (b) to the extent
permissible under the applicable third party agreements, the BETA Third Party
Software.

 

Section 12.02 BETA Tools and Tools.

 

Effective upon the first Use by BETA of any BETA Tools in connection with the
Services, BETA hereby grants to AGE a global, irrevocable (during the Term and
during any Termination Assistance Period), non-exclusive, non-transferable
license to Use, and sublicense and to permit a third party to Use solely in
connection with providing goods or services to or

 

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purchasing goods or services from AGE, the BETA Tools, including Software if not
licensed separately.

 

Section 12.03 BETA Deferred Gap Resolutions.

 

All copyrights, patents, trade secrets, and other intellectual property and
proprietary rights associated with any BETA Deferred Gap Resolutions (including
design documents, source code, object code, and other work product related to a
BETA Deferred Gap Resolution, but excluding any AGE Work Product which has been
incorporated into the BETA Deferred Gap Resolutions or any design documents,
source code, object code and other work product owned by AGE), shall be owned
exclusively by BETA, provided that BETA has incorporated such BETA Deferred Gap
Resolutions into the production environments of the BETA Core Systems. For all
BETA Deferred Gap Resolutions that are not incorporated into the BETA Core
Systems, AGE shall own all copyrights, patents, trade secrets, and other
intellectual property and proprietary rights associated therewith and BETA
hereby irrevocably assigns, transfers and conveys, and shall cause BETA Agents
to assign, transfer and convey, to AGE, at the time of creation of such BETA
Deferred Gap Resolutions, and without any requirement of further consideration,
all right, title, and interest it or they may have in such BETA Deferred Gap
Resolutions, including any copyrights, patents, trade secrets, and other
intellectual and proprietary property rights associated therewith. Upon request
of AGE, BETA shall take such further actions, and shall cause BETA Agents to
take such further actions, including execution and delivery of instruments of
conveyance, as may be appropriate to give full and proper effect to such
assignment, at AGE’s expense.

 

Section 12.04 AGE Conversion Gap Resolutions.

 

All copyrights, patents, trade secrets, and other intellectual property and
proprietary rights associated with any AGE Conversion Gap Resolutions created in
connection with the BETA Deferred Gaps (including design documents, source code,
object code, and other work product related to an AGE Conversion Gap Resolution,
but excluding any BETA Work Product which has been incorporated into the BETA
Deferred Gap Resolutions or any design documents, source code, object code or
other work product owned by BETA), shall be owned exclusively by AGE. BETA
hereby irrevocably assigns, transfers and conveys, and shall cause BETA Agents
to assign, transfer and convey, to AGE, at the time of creation of such AGE
Conversion Gap Resolutions, and without any requirement of further
consideration, all right, title, and interest it or they may have in such AGE
Conversion Gap Resolutions, including any copyrights, patents, trade secrets,
and other intellectual and proprietary property rights associated therewith.
Upon request of AGE, BETA shall take such further actions, and shall cause BETA
Agents to take such further actions, including execution and delivery of
instruments of conveyance, as may be appropriate to give full and proper effect
to such assignment, at AGE’s expense.

 

Section 12.05 BETA License.

 

AGE shall have and BETA hereby grants to AGE a royalty-free, fully paid-up,
non-exclusive, perpetual, irrevocable, world-wide right to Use and sublicense
any BETA Work Product, BETA Deferred Gap Resolutions and BETA Development Work
or BETA Documentary Work Product that is incorporated into any AGE Conversion
Gap Resolution,

 

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AGE Work Product, AGE Development Work or AGE Documentary Work Product (the
“BETA Incorporated Materials”) solely for the internal use of AGE and the AGE
Group.

 

Section 12.06 AGE Work Product License.

 

BETA shall have and AGE hereby grants to BETA a royalty-free, fully paid-up,
non-exclusive, perpetual, irrevocable, world-wide right to Use and sublicense
any AGE Work Product that is incorporated into any BETA Deferred Gap Resolution
as long as such BETA Deferred Gap Resolution has been incorporated into the
production environments of the BETA Core Systems.

 

Section 12.07 BETA Development Work and AGE Development Work.

 

Unless otherwise agreed by the Parties prior to the commencement of the
development work (including in accordance with Section 3.16), with regard to any
development work created by BETA pursuant to this Agreement (whether through New
Services, the use of the [***] FTEs per Contract Year or otherwise) and which is
intended to be incorporated into the production environments of the BETA Core
Systems and BETA’s proprietary systems (including Thomson One), BETA shall own
all copyrights, patents, trade secrets, and other intellectual property and
proprietary rights associated with such development work, including design
documents, source code, object code, or other work product related to such
development work, but excluding any AGE Work Product which has been incorporated
into such development work or any design documents, source code, object code or
other work product owned by AGE, regardless whether BETA or AGE has funded such
development work or whether the FTEs have performed such development work (the
“BETA Development Work”). With respect to any development work created by BETA
pursuant to this Agreement (whether through New Services, the use of the [***]
FTEs per Contract Year or otherwise) which is not intended to be incorporated
into the production environments of the BETA Core Systems and BETA’s proprietary
systems (including Thomson One) and which is intended to be incorporated into
AGE’s systems (including Client One), AGE shall exclusively own all copyrights,
patents, trade secrets, and other intellectual property and proprietary rights
associated with such development work, including design documents, source code,
object code, and other work product related to such development work, but
excluding any BETA Work Product which has been incorporated into such
development work or any design documents, source code, object code or other work
product owned by BETA (“AGE Development Work”) and BETA hereby irrevocably
assigns, transfers and conveys, and shall cause BETA Agents to assign, transfer
and convey, to AGE, at the time of creation of such AGE Development Work, and
without any requirement of further consideration, all right, title, and interest
it or they may have in such AGE Development Work, including any copyrights,
patents, trade secrets, and other intellectual and proprietary property rights
associated therewith.

 

Section 12.08 Documentary Work Product.

 

(a) Literary works or other works of authorship created by BETA under this
Agreement, including manuals, training materials and documentation, but
excluding (i) Software and Related Documentation, and (ii) any design documents,
trade secrets, intellectual property or other work product owned by AGE (“BETA
Documentary Work Product”), shall be owned by BETA. BETA shall exclusively own
all right, title and interest, including worldwide ownership

 

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of patent, copyright, trade secret and other intellectual property and
proprietary rights, in, to and under the BETA Documentary Work Product and all
copies made therefrom. AGE hereby irrevocably assigns, transfers and conveys,
and shall cause AGE Agents to assign, transfer and convey, to BETA, without any
requirement of further consideration, all of its and their right, title and
interest in and to such BETA Documentary Work Product, including all rights of
patent, copyright, trade secret or other intellectual property and proprietary
rights in such materials. Upon request of BETA, AGE shall take such further
actions, and shall cause AGE Agents to take such further actions, including
execution and delivery of instruments of conveyance, as may be appropriate to
give full and proper effect to such assignment, at BETA’s expense.

 

(b) Literary works or other works of authorship created by AGE under this
Agreement, including manuals, training materials and documentation, but
excluding (i) Software and Related Documentation and (ii) any design documents,
trade secrets, intellectual property or other work product owned by BETA (“AGE
Documentary Work Product”), shall be owned by AGE. AGE shall exclusively own all
right, title and interest, including worldwide ownership of patent, copyright,
trade secret and other intellectual property and proprietary rights, in, to and
under the AGE Documentary Work Product and all copies made therefrom. BETA
hereby irrevocably assigns, transfers and conveys, and shall cause BETA Agents
to assign, transfer and convey, to AGE, without any requirement of further
consideration, all of its and their right, title and interest in and to such AGE
Documentary Work Product, including all rights of patent, copyright, trade
secret or other intellectual property and proprietary rights in such materials.
Upon request of AGE, BETA shall take such further actions, and shall cause BETA
Agents to take such further actions, including execution and delivery of
instruments of conveyance, as may be appropriate to give full and proper effect
to such assignment, at AGE’s expense. AGE agrees that it will not sell or
license training materials incorporating such intellectual property to third
parties for the purpose of instructing or training such third parties in the use
or operation of the BETA Core Systems. For avoidance of doubt, the foregoing
shall not prohibit AGE from disclosing such intellectual property to its third
party contractors for the purpose of enabling AGE, AGE Entities and End Users to
use the BETA Systems and to receive the Services.

 

Section 12.09 Permissions; Training Materials.

 

BETA grants AGE all rights and licenses necessary to allow AGE and AGE Agents
(including online course developers and contract trainers) to capture and
reproduce screen shots from BETA Core Systems and use and distribute them for
AGE’s online training courses, training materials, job aids and user’s manual.
BETA further grants AGE all rights and licenses necessary to allow AGE and AGE
Agents to reproduce BETA online documentation and training manuals, or portions
thereof, to be redistributed and/or incorporated into AGE’s training manuals and
other training materials for training AGE employees and training contractors of
AGE, in each case for the purpose of enabling AGE, AGE Entities and End Users to
use the BETA Systems and to receive the Services.

 

Section 12.10 Residual Rights.

 

Notwithstanding anything to the contrary herein, the Parties and shall be free
to use and employ their general skills, know-how, and expertise and to use,
disclose and employ any generalized ideas, concepts, know-how, methods,
techniques, or skills gained or learned (but not

 

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intentionally memorized) during the course of any project between the Parties
(“Residuals”), so long as they acquire and apply such information without
disclosure of any Confidential Information or other proprietary information of
the other party and without any unauthorized use or disclosure of the other
party’s Work Product.

 

Section 12.11 No Implied Rights.

 

Except as expressly specified in this Agreement, nothing in this Agreement shall
be deemed to grant to one Party, by implication, estoppel or otherwise, any
rights in any intellectual property.

 

ARTICLE XIII

 

DATA AND CONFIDENTIALITY

 

Section 13.01 Ownership of AGE Data.

 

As between AGE and BETA, all AGE Data is, or upon creation will be, and shall
remain the property of AGE. Without AGE’s approval (in its sole discretion), AGE
Data shall not be (a) used by BETA or BETA Agents other than in connection with
providing the Services, (b) disclosed, sold, assigned, leased, licensed or
otherwise provided or made available in any manner to third parties by or
through BETA or BETA Agents, or (c) commercially or otherwise used or exploited
by or on behalf of BETA or BETA Agents. Any archival tapes or records containing
AGE Data shall be used by BETA and BETA Agents solely for back-up purposes. BETA
hereby irrevocably assigns, transfers and conveys, and shall cause BETA Agents
to assign, transfer and convey, to AGE without any requirement of further
consideration all of its and their right, title and interest in, to and under
AGE Data. Upon request by AGE, BETA shall execute and deliver, and shall cause
BETA Agents to execute and deliver, any documents that may be necessary or
desirable under any Law to protect, preserve, or enable AGE to enforce, its
rights with respect to AGE Data. BETA shall, and shall cause BETA Agents to,
process AGE Data in accordance with the terms of this Agreement. AGE hereby
instructs BETA to, and BETA shall cause BETA Agents to, take such steps in the
processing of AGE Data as are necessary or desirable for the performance of its
obligations under this Agreement. BETA shall, and shall cause BETA Agents to,
provide AGE with such assistance, information and cooperation as AGE may request
to enable AGE to allow any client, person or entity to exercise any of its, his
or her or its rights under Law in relation to the AGE Data in BETA’s possession.

 

Section 13.02 Correction of Errors.

 

BETA shall as soon as practicable correct or resolve all errors or inaccuracies
in, and damage to, AGE Data and the reports delivered to AGE under this
Agreement, to the extent caused by BETA or BETA Agents of which BETA has notice
of or otherwise becomes aware, in the manner determined by AGE. At AGE’s request
and AGE’s reasonable direction as to how to correct such error, BETA shall as
soon as practicable correct or resolve all other errors or inaccuracies in, and
damage to, AGE Data or such reports, and AGE shall reimburse BETA for its
reasonable actual direct costs therefor.

 

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Section 13.03 Return of Data.

 

Upon written request by AGE at any time or upon expiration or termination of
this Agreement, BETA shall (a) promptly return to AGE or its designee, in BETA’s
standard data structure format and on the media selected by BETA, all or any
part of the AGE Data at the costs set forth in Exhibit 5 (Deconversion Files),
and (b) erase or destroy all or any part of the AGE Data in BETA’s or BETA
Agents’ possession or control, in each case to the extent so requested by AGE,
and upon AGE’s written request, deliver to AGE written certification of such
erasure or destruction signed by an authorized signatory of BETA.
Notwithstanding the foregoing, in the event that AGE terminates this Agreement
for cause, BETA shall return to AGE or its designee, in BETA’s standard data
structure format and on the media selected by AGE, one copy of all or any part
of the AGE Data without charge to AGE.

 

Section 13.04 Data Security.

 

(a) BETA shall comply with all Data Protection Laws, as applicable to the
processing of AGE Data under this Agreement. BETA shall establish, implement and
maintain, and shall ensure the BETA Agents implement and maintain, technical and
organizational safeguards against the disclosure, access, destruction, loss,
damage or alteration of AGE Data in the possession of BETA (the “Data
Safeguards”) that shall be no less rigorous than the data security safeguards
attached hereto as Exhibit 3, Exhibit 13 and Exhibit 23. BETA shall revise the
Data Safeguards upon AGE’s reasonable request that such Data Safeguards do not
adequately protect AGE Data. In the event BETA intends to implement a change to
the Data Safeguards (including pursuant to AGE’s request), BETA shall notify AGE
and, [             ***             ], implement, and ensure that BETA Agents
implement, such change. Notwithstanding anything to the contrary contained
herein, BETA agrees that (i) it shall not disclose or use any AGE Data except to
the extent necessary to carry out its obligations hereunder and for no other
purpose, (ii) it shall not disclose AGE Data to any third party, including its
third party data suppliers without the prior consent of AGE and an agreement in
writing from such party to use or disclose such AGE Data only to the extent
necessary to carry out BETA’s obligations under this Agreement and for no other
purposes, and (iii) it shall maintain, and shall require all third parties
approved under subsection (ii) to maintain, effective information security
measures to protect AGE Data from unauthorized disclosure or use.

 

(b) Without limiting or affecting AGE’s rights under this Agreement, in the
event BETA or BETA Agents discover or are notified of a breach or potential
breach of the Data Safeguards or any Data Protection Laws, BETA shall
immediately (1) notify the AGE Account Executive of such breach or potential
breach and (2) if the applicable AGE Data was in the possession of BETA or BETA
Agents at the time of such breach or potential breach, BETA shall promptly (A)
investigate and remediate the effects of the breach or potential breach and (B)
provide AGE with assurance satisfactory to AGE that such breach or potential
breach will not recur.

 

Section 13.05 General Confidentiality Obligations.

 

Each Party acknowledges and agrees that title to, ownership of and use rights in
Confidential Information shall remain with the Party who disclosed the
Confidential Information,

 

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and that the Confidential Information disclosed in connection with this
Agreement is confidential and proprietary and constitutes valuable trade secret
information of the disclosing Party. All Confidential Information shall be held
in confidence by the receiving Party to the same extent and in at least the same
manner as the recipient protects its own Confidential Information. Neither AGE
nor BETA shall disclose, publish, release, transfer or otherwise make available
Confidential Information of, or obtained from, the other in any form to, or for
the use or benefit of, any person or entity without the disclosing Party’s
consent, when permissible under Law. Each of AGE and BETA shall, however, be
permitted to disclose relevant aspects of the other’s Confidential Information
to its officers, directors, agents, professional advisors (including attorneys
and consultants), contractors, subcontractors and employees and to the officers,
directors, agents, professional advisors, contractors, subcontractors and
employees of its Affiliates, to the extent such disclosure is not independently
restricted under any BETA Private Consents or Governmental Consents and only to
the extent that such disclosure is necessary for the performance of its duties
and obligations or the determination, preservation or exercise of its rights and
remedies under this Agreement; provided, however, that the recipient shall take
all reasonable measures to ensure that Confidential Information of the
disclosing Party is not disclosed or duplicated in contravention of the
provisions of this Agreement by such officers, directors, agents, professional
advisors, contractors, subcontractors and employees. The obligations in this
Section shall not restrict any disclosure required under Law or by any
Governmental Authority (provided that the receiving Party shall (a) notify the
disclosing Party of any actual or threatened disclosure of which it has
knowledge, of any legal compulsion of disclosure, and of any actual legal
obligation of disclosure immediately upon becoming so obligated and (b)
cooperate with the disclosing Party’s reasonable, lawful efforts to resist,
limit or delay disclosure at the disclosing Party’s expense). Without limiting
the foregoing, the Parties recognize that AGE may be required and shall be
permitted to provide disclosure regarding this Agreement to Regulatory
Authorities, including in connection with AGE filings with the Securities and
Exchange Commission, the National Association of Securities Dealers, Inc., the
New York Stock Exchange, Inc. and/or regulatory or oversight bodies in the
United States or other countries (collectively, the “Securities Authorities”),
and Securities Authorities copies of this Agreement; provided, however, that AGE
informs BETA as soon as reasonably practicable of any such disclosure (if
permitted by Law and if such disclosure is a voluntary disclosure that may be
made public) and agrees to request that each Securities Authority allow AGE to
redact all pricing or similar proprietary information from all disclosures to
the Securities Authorities that are intended to be made public and further
agrees to request that the relevant Securities Authorities not divulge any
information provided in any such disclosure and that such Securities Authorities
keep such information confidential.

 

Section 13.06 Unauthorized Acts.

 

Without limiting either Party’s rights in respect of a breach of this Article,
each Party shall:

 

(a) promptly notify the other Party of any unauthorized possession, use or
knowledge, or attempt thereof, of the other Party’s Confidential Information by
any person or entity that may become known to such Party;

 

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(b) promptly furnish to the other Party full details of the unauthorized
possession, use or knowledge, or attempt thereof;

 

(c) assist the other Party in investigating or preventing the recurrence of any
unauthorized possession, use or knowledge, or attempt thereof, of Confidential
Information;

 

(d) reasonably cooperate with the other Party in any litigation and
investigation against third parties deemed necessary by the other Party to
protect its proprietary rights; and

 

(e) promptly use its best efforts to prevent a recurrence of any such
unauthorized possession, use or knowledge, or attempt thereof, of Confidential
Information.

 

Each Party shall bear the cost it incurs as a result of compliance with this
Section; provided, however, that the Party by or through whom the unauthorized
possession, use or knowledge, or attempt thereof, occurred shall bear the costs
the other Party incurs as a result of compliance with clauses (c), (d) and (e).

 

Section 13.07 Policy for Securities Transactions and Holdings.

 

BETA acknowledges that AGE and its Affiliates are involved in regulatory
activities in the financial industries and that AGE maintains a policy requiring
its personnel to disclose to AGE certain information regarding their personal
securities and commodities accounts. If AGE suspects that any member of the
Project Staff who has or had access to AGE Data or AGE Service Locations (the
“Identified Member”) has been involved in improper, illegal or unethical use of
AGE Data, then AGE may notify BETA of such use, and BETA shall conduct an
investigation of such Identified Member and AGE will fully cooperate in BETA’s
investigation. If BETA’s investigation determines that such Identified Member
has been involved in improper, illegal or unethical use of AGE Data, BETA shall,
if permitted by Law, notify AGE of such use, and shall provide AGE with
assurance satisfactory to AGE that such use will not recur.

 

ARTICLE XIV

 

FEES AND INVOICING

 

Section 14.01 Fees Generally.

 

(a) In consideration of AGE’s receipt of the Services, and in accordance with
Section 14.02, AGE shall pay to BETA the Fees.

 

(b) Except as expressly set forth in this Agreement, (1) there shall be no
charges, fees, expenses, costs or other amounts payable by AGE in respect of
BETA’s performance of its obligations pursuant to this Agreement and (2) all
charges, fees, expenses, costs and other amounts relating to the Services
(including those related to the acquisition, maintenance, enhancement,
deployment, replacement, disposal and Use of the Systems, Software, Tools and
Equipment) are included in the Fees and shall not be charged to or reimbursed by
AGE.

 

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Section 14.02 Invoices.

 

(a) BETA shall invoice the Fees in U.S. Dollars. The Fees for the first month of
the Term shall be due and payable to BETA within 60 days after the Agreement
Date. The Fees for each subsequent month during the Term shall be due and
payable to BETA within 30 days after the later of (1) the end of the month in
which BETA provided the Services and (2) the date that AGE receives BETA’s
invoice therefor.

 

(b) BETA shall not invoice AGE for, and AGE shall not be obligated to pay, any
Fees (or other amounts expressly set forth in this Agreement) that are not
properly invoiced [                 ***                 ] after the end of the
month to which such Fees (or other amounts) correspond, provided, however, that
this provision shall only apply to Fees under BETA’s invoicing control (e.g.,
not pass-through expenses or taxes, which may possibly be invoiced by third
parties to BETA outside the three-month period).

 

Section 14.03 Time of Payment.

 

(a) Any sum not disputed by AGE in good faith due BETA pursuant to this
Agreement for which payment is not otherwise specified shall be due and payable
30 days after receipt by AGE of an invoice from BETA. Should AGE fail to pay any
undisputed sums payable hereunder within thirty (30) days after they become due,
such unpaid sums shall bear interest at the annual broker call rate or the
maximum rate allowed by law, whichever is less, from the date due until paid in
full.

 

(b) In the event that AGE in good faith disputes any Fees set forth in any
invoice, AGE shall promptly notify BETA (in any event, within thirty (30) days
of the receipt of such disputed invoice) of such dispute in writing setting
forth the basis for such dispute. If BETA disputes all or a portion of such
disputed amount, BETA shall promptly notify AGE (in any event, within ten (10)
days of the receipt of such notice from AGE) in writing setting forth the basis
for BETA’s objection. The Parties shall thereafter expedite the resolution of
such dispute in accordance with the dispute resolution set forth in Exhibit 12,
and shall use their best efforts to resolve such dispute within 60 days after
AGE’s receipt of BETA’s objection notice. In the event that it shall be
determined that AGE is responsible for all or a portion of such disputed Fees,
AGE shall pay to BETA within ten (10) days of such determination the Fees
payable by AGE to BETA, with interest at the annual broker call rate or the
maximum rate allowed by law, whichever is less, from the date such Fees were
initially due until paid in full.

 

Section 14.04 Detailed Invoices.

 

BETA shall provide all invoices with varying degrees of detail, as requested by
AGE, including as necessary to satisfy AGE’s internal accounting and charge back
requirements, and to allow AGE to accurately allocate charges by legal entity,
business unit, department, and project. A form of standard invoice is attached
hereto as Exhibit 20.

 

Section 14.05 Adjustments to Fees.

 

There shall be no periodic adjustments to the Fees, unless expressly set forth
in Exhibit 5 or Section 14.09.

 

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Section 14.06 Rights of Set-Off.

 

With respect to any amount that (a) should be reimbursed to AGE or (b) is
otherwise payable to AGE pursuant to this Agreement, in either case which amount
has been agreed upon by the Parties and appropriately documented in accordance
with this Agreement, or held to be due and owing by a final court judgment, AGE
may deduct the entire amount owed to AGE against the Fees or against other
amounts owed by AGE to BETA under this Agreement.

 

Section 14.07 Proration.

 

All periodic Fees, if any, under this Agreement are to be computed on a calendar
month basis and shall be prorated on a per diem basis for any partial month.

 

Section 14.08 Unused Credits.

 

Any unused credits against future payments owed to either Party by the other
pursuant to this Agreement shall be paid to the applicable Party within 30 days
after the earlier of the expiration or termination of this Agreement.

 

Section 14.09 Pricing Discussions.

 

[

 

***

 

].    

 

ARTICLE XV

 

TAXES

 

Section 15.01 Fees Exclusive of Taxes.

 

All Fees payable to BETA hereunder shall be exclusive of any federal, state or
local sales, use, excise, or ad valorem taxes levied, or any fines, forfeitures
or penalties assessed in connection therewith, on BETA’s provision of the
Services or AGE’s use of the BETA Core Systems hereunder. Any such taxes which
may be applicable will be paid by AGE or by BETA for AGE’s account, in which
case AGE shall reimburse BETA for amounts so paid. The Fees paid to BETA are
inclusive of any applicable personal property or other taxes attributable to
periods on or after the Agreement Date based upon or measured by BETA’s cost in
acquiring equipment, materials, supplies or services used by BETA in performing
or furnishing the Services, including all personal property and sales or use
taxes, if any, due on the BETA Equipment. BETA shall be responsible for and AGE
shall have no liability for BETA’s income, franchise or employment withholding
taxes. To the extent that any tax is required by Law to be separately identified
in BETA’s billings to AGE, BETA shall separately identify the tax and

 

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assume any and all responsibility for non-compliance, including fees, interest
and penalty assessments.

 

Section 15.02 Taxes Assessed for Relocating or Rerouting Services.

 

Any taxes assessed, as determined by AGE, including a gross-up thereon, on the
provision of the Services resulting from BETA’s relocating or rerouting the
delivery of Services to, from or through a location other than the Service
Locations used to provide the Services as of the Agreement Date shall be paid by
AGE and AGE shall receive a credit with respect to the Fees invoiced under this
Agreement equal to such payments made pursuant to this subsection.

 

Section 15.03 Taxes on Owned or Leased Real or Personal Property.

 

AGE and BETA shall each bear sole responsibility for all taxes, assessments and
other real property-related levies on its owned or leased real or personal
property.

 

Section 15.04 Cooperation Regarding Taxes.

 

AGE and BETA shall cooperate to segregate the Fees into the following separate
payment streams by tax jurisdiction: (1) those for taxable Services; (2) those
for nontaxable Services; (3) those for which a sales, use or other similar tax
has already been paid; and (4) those for which BETA functions merely as a paying
agent for AGE in receiving goods, supplies or services (including leasing and
licensing arrangements) that otherwise are nontaxable or have previously been
subject to tax. In addition, each of AGE and BETA shall cooperate with the other
to more accurately determine a Party’s tax liability and to minimize such
liability, to the extent legally permissible. Each of AGE and BETA shall provide
and make available to the other any resale certificates, information regarding
out-of-state sales or use of equipment, materials or services, and any other
exemption certificates or information requested by a Party.

 

ARTICLE XVI

 

AUDITS

 

Section 16.01 SAS 70.

 

BETA undergoes an annual SAS 70 audit with the scope of such audit to be
determined by the BETA User Group. AGE shall have the right to audit the
facilities and systems of BETA and/or any BETA subcontractor to verify BETA’s
compliance with the security and operational requirements of this Agreement if
either or both of the following occur: (1) the then current SAS 70 audit report
does not address BETA’s compliance or noncompliance
[                                                                 
***                                                                  ]; and/or
(2) the then current SAS 70 audit report reflects BETA’s noncompliance
[                                        
***                                          ]. Such audit shall include an
inspection of facilities, access to the BETA or BETA Agent systems, a review of
records and a review of policies and procedures. Such audit will be conducted at
AGE’s expense and will be performed in conjunction with the annual SAS 70 audit,
by the same audit firm conducting the SAS 70 audit, provided the BETA User Group
agrees to allow AGE to expand the scope of the SAS 70 audit to include the
issues auditable by AGE under this provision. If the

 

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BETA User Group does not so agree, AGE’s separate audit will be conducted at a
mutually agreed upon time that shall not be less than 10 business days from the
date requested by AGE by an independent third party retained by AGE. Any
deficiencies with the security or operational requirements of BETA’s facilities
or systems will be promptly corrected and resolved at BETA’s expense.

 

Section 16.02 Assistance With Regulatory Compliance.

 

(a) In addition to the rights set forth in this Article 16, upon notice from
AGE, BETA and BETA Agents shall provide AGE, AGE Agents and any of AGE’s
regulators, accountants and auditors (collectively, “AGE Auditors”) with timely
access to, and timely assistance and information they may require with respect
to, the Service Locations, Systems and Services as necessary to enable AGE to
comply with any and all current and future Regulatory Requirements that AGE is
subject to.

 

(b) For the purpose of this Section 16.02, such Regulatory Requirements include,
but are not limited to, internal control documentation and testing as it relates
to financial reporting as required by Sections 302 and 404 of the Sarbanes-Oxley
Act of 2002.

 

(c) If AGE notifies BETA of any deficiency that impairs AGE’s ability to comply
with Regulatory Requirements, BETA shall and shall cause BETA Agents to promptly
take actions to correct such deficiency.

 

Section 16.03 Services.

 

(a) Upon at least ten (10) business days’ notice from AGE, but no more than once
per Contract Year, and without unreasonably interfering with BETA’s business
operations, BETA and BETA Agents shall provide AGE, AGE Agents and AGE Auditors
with reasonable access to, and any reasonable assistance and information that
they may require with respect to, the Service Locations, Systems and Services as
necessary to enable AGE to confirm BETA’s compliance with this Agreement and Law
and to the extent not covered as part of the audit(s) described in Sections
16.01, 16.02 and 16.04. If AGE notifies BETA that any audit of BETA identifies a
bona fide problem in BETA’s general controls or security policies and
procedures, then BETA shall promptly correct such problem at BETA’s expense. If
any audit by AGE Auditors results in BETA being notified that BETA or BETA
Agents are not in compliance with Law or any audit requirement, BETA shall, and
shall cause BETA Agents to, promptly take actions to comply with such Law or
audit requirement. BETA shall bear the costs of any such response that is (a)
required by a Law or audit requirement relating to BETA’s business or (b)
necessary due to BETA’s noncompliance with any Law or audit requirement imposed
on BETA. AGE acknowledges that audits of BETA Services may cause significant
disruption to BETA Services and operations. AGE must use all commercially
reasonable efforts in connection with its audits to rely on audits conducted at
the direction of the BUC whenever possible and without physical examination
whenever possible. If AGE in order to meet its regulatory or internal policy
requirements determines that it is necessary to conduct supplemental audits AGE
shall be responsible for the cost of such audit including, but not limited to,
the reasonable out of pocket costs borne by BETA in facilitating the audit plus
the costs of additional personnel as well as the commercially reasonable impact
on disrupted Services, provided that BETA uses

 

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commercially reasonable efforts to reduce or minimize such costs (it being
acknowledged that BETA’s costs billed to AGE shall not include any profit
element or other element designed to dissuade AGE from conducting such audit)

 

Section 16.04 Fees.

 

Upon at least ten (10) business days’ notice from AGE, but no more than once per
Contract Year, and without unreasonably interfering with BETA’s business
operations, BETA shall provide AGE Auditors with access to such additional
records and supporting documentation as may be reasonably necessary and
requested by AGE Auditors to audit the Fees charged to AGE to determine if such
Fees are accurate and in accordance with this Agreement, including Section
14.10. If, as a result of such audit, AGE determines that BETA has overcharged
AGE, AGE shall notify BETA of the amount of such overcharge and BETA shall
promptly pay to AGE the amount of the overcharge, plus Interest calculated from
the date of receipt by BETA of the overcharged amount until the date of payment
to AGE. In addition, if any such audit reveals an overcharge to AGE of five
percent (5%) or more of Fees charged, BETA shall, at AGE’s option, issue to AGE
a credit for the reasonable cost of such audit against the Fees or reimburse AGE
for the reasonable cost of such audit.

 

Section 16.05 Other Audits.

 

To the extent such materials or reviews may be supplied by BETA without breach
of its obligations to third parties, BETA shall promptly make available to AGE
the results of any material reviews of audits conducted by BETA, its Affiliates
or their subcontractors relating to BETA’s operating practices and procedures to
the extent relevant to the Services, AGE or this Agreement. In addition, BETA
shall promptly make available to AGE the results of any reviews or audits
conducted by BETA’s, or its Affiliates’ or subcontractors’, external auditors
relating to BETA’s operating practices and procedures to the extent relevant to
the Services, AGE or this Agreement.

 

Section 16.06 Record Retention.

 

BETA shall retain records and supporting documentation sufficient to document
the Services and the Fees paid or payable by AGE under this Agreement in
accordance with applicable Laws and in accordance with this Agreement and BETA’s
record retention procedures set forth in Exhibit 23. BETA shall (a) maintain an
inventory, index and status of all records pertaining to the processing of
transactions for AGE so as to allow retrieval by BETA within a reasonable period
of time and (b) maintain standard BETA records in secure on-site or off-site
locations which provide at a minimum for secure storage protecting against
unauthorized access, fire, moisture and destruction. BETA shall not be
responsible for compliance with any record retention rules applicable to AGE
promulgated by any government, exchange or regulatory body, except as applicable
to BETA as a service provider to AGE. BETA shall make its policies available to
AGE upon reasonable notice. Notwithstanding anything to the contrary contained
in this Agreement, upon mutual agreement of the parties, BETA shall maintain and
retain certain Vital Records through the use of a means other then paper copies
(e.g., CD-ROM or microforms). To the extent that AGE requests AGE data outside
BETA’s standard records

 

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retention periods policy, AGE shall pay to BETA the Fees for record requests set
forth in Exhibit 5.

 

Section 16.07 Facilities.

 

BETA shall provide to AGE Auditors on BETA’s premises (or, if the audit is being
performed of a BETA Agent, the BETA Agent’s premises if necessary), space,
office furnishings (including lockable cabinets), telephone and facsimile
services, utilities and office-related equipment and duplicating services as the
AGE Auditors may require to perform the audits described in this Article.

 

ARTICLE XVII

 

INSURANCE

 

Section 17.01 Insurance.

 

During the Term and the Termination Assistance Period, BETA shall obtain and
maintain at its own cost, and require BETA Agents to obtain and maintain at
their own cost or BETA’s cost, insurance of the type and in the amounts set
forth below:

 

(a) statutory workers’ compensation in accordance with Law;

 

(b) employer’s liability insurance in an amount not less than [     ***     ]
per occurrence, covering bodily injury by accident or disease, including death;

 

(c) Commercial General Liability (including contractual liability insurance) in
an amount not less than [     ***     ] per occurrence;

 

(d) Comprehensive Automobile Liability covering all vehicles that BETA owns,
hires, leases or uses in an amount not less than [     ***     ] (combined
single limit for bodily injury and property damage);

 

(e) Excess or Umbrella Liability coverage in an amount not less than [
    ***     ] in excess of the coverage as set forth in the immediately
preceding clauses (b), (c) and (d);

 

(f) Professional Liability (also known as Errors and Omissions Liability)
insurance covering acts, errors and omissions arising out of BETA’s operations
or Services in an amount not less than [     ***     ] per claim;

 

(g) Employee Dishonesty (Fidelity) and Computer Crime coverage (for losses
arising out of or in connection with any fraudulent or dishonest acts committed
by Project Staff, acting alone or in collusion with others) in an amount not
less than [     ***     ]; and

 

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(h) All Risk Property insurance coverage in an amount not less than the higher
of the (1) fair market value, (2) AGE’s book value or (3) replacement cost of
AGE Equipment used by BETA at BETA Service Locations.

 

Section 17.02 Insurance Documentation.

 

All policies for the coverages set forth in Section 17.01 shall be primary, and
any insurance maintained by AGE shall be excess and noncontributory. Each
insurance policy shall be maintained with an insurer acceptable to AGE and BETA
shall promptly notify AGE in the event of any adverse modification or
cancellation of such policies if BETA does not replace such policy with a
similarly acceptable insurance company. BETA shall furnish AGE with certificates
of insurance evidencing that all coverages referenced in Section 17.01 are
maintained and in force, and naming AGE as an “additional insured” under the
Commercial General Liability and Comprehensive Automobile Liability and as a
loss payee under the All Risk Property. Any cancellation or material alteration
of such insurance policies shall not relieve BETA of its continuing obligation
to maintain insurance coverage in accordance with this Article.

 

Section 17.03 Risk of Loss.

 

BETA is responsible for the risk of loss of, or damage to, any property of AGE
at a BETA Service Location (if any), unless such loss or damage was caused by
the acts or omissions of AGE or an AGE Agent. AGE is responsible for the risk of
loss of, or damage to, any property of BETA at an AGE Service Location (if any),
unless such loss or damage was caused by the acts or omissions of BETA or a BETA
Agent. Where BETA procures items for AGE, including under Section 3.17, BETA is
responsible for the risk of loss of, or damage to, any such property until
delivered and accepted by AGE. In no event shall BETA sell, remove or otherwise
dispose of any property of AGE, including AGE Equipment, without AGE’s consent.

 

ARTICLE XVIII

 

REPRESENTATIONS AND WARRANTIES

 

Section 18.01 By AGE.

 

AGE represents, warrants and covenants that:

 

(a) AGE is a corporation duly incorporated, validly existing and in good
standing under the Laws of Missouri;

 

(b) AGE has all requisite corporate power and authority to execute, deliver and
perform its obligations under this Agreement;

 

(c) the execution, delivery and performance of this Agreement by AGE (1) has
been duly authorized by AGE and (2) will not conflict with, result in a breach
of or constitute a default under any other agreement to which AGE is a party or
by which AGE is bound;

 

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(d) AGE is duly licensed, authorized and qualified to do business and is in good
standing in every jurisdiction in which a license, authorization or
qualification is required for the ownership or leasing of its assets or the
transaction of business of the character transacted by it, except where the
failure to be so licensed, authorized or qualified would not have a material
adverse effect on AGE’s ability to fulfill its obligations under this Agreement;

 

(e) AGE is in compliance with all Laws applicable to AGE and has obtained all
Governmental Consents required of AGE in connection with its obligations under
this Agreement;

 

Section 18.02 By BETA.

 

BETA represents, warrants and covenants that:

 

(a) Thomson Financial Inc. is a corporation duly incorporated, validly existing
and in good standing under the Laws of New York;

 

(b) Thomson Financial Inc. has all requisite corporate power and authority to
execute, deliver and perform its obligations under this Agreement;

 

(c) the execution, delivery and performance of this Agreement by BETA (1) has
been duly authorized by BETA and (2) will not conflict with, result in a breach
of or constitute a default under any other agreement to which BETA is a party or
by which BETA is bound;

 

(d) BETA is duly licensed, authorized and qualified to do business and is in
good standing in every jurisdiction in which a license, authorization or
qualification is required for the ownership or leasing of its assets or the
transaction of business of the character transacted by it, except where the
failure to be so licensed, authorized or qualified would not have a material
adverse effect on BETA’s ability to fulfill its obligations under this
Agreement;

 

(e) BETA is in compliance with all Laws applicable to BETA and has obtained all
Governmental Consents and BETA Private Consents required of BETA in connection
with its obligations under this Agreement;

 

(f) the BETA Software, BETA Tools, BETA Equipment, BETA Work Product, Developed
Software, Systems, Services and any enhancements or modifications to the AGE
Software, AGE Tools or AGE Equipment performed by BETA or BETA Agents, or any
other resources or items provided by BETA or BETA Agents, do not and shall not
infringe upon the rights (including any proprietary rights) of any third party;

 

(g) to BETA’s knowledge no Destructive Element has been coded or introduced into
the BETA Software, BETA Tools or BETA Equipment, BETA will not code or introduce
Destructive Elements into the BETA Software, BETA Tools or BETA Equipment and
BETA uses and will use industry standard software to detect and remove
Destructive Elements from all BETA Software, BETA Tools and BETA Equipment or

 

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make such Destructive Element inoperative. If BETA becomes aware that a
Destructive Element has been introduced into the Services, Systems or Developed
Software, BETA shall use commercially reasonable efforts (i.e., those in the
industry suffering similar attacks would deploy) to assist AGE in reducing the
effects of the Destructive Element and, if the Destructive Element causes a loss
of operational efficiency or loss of data, reasonably assist AGE to the same
extent to mitigate and restore such losses. With respect to any Destructive
Elements that may be part of Services, Systems or Developed Software, BETA shall
not, nor authorize any other third party to, invoke such Destructive Elements at
any time, including upon expiration, termination or a partial termination of
this Agreement without AGE’s consent;

 

(h) all Services will be performed in a professional and workmanlike manner
using Project Staff who are properly educated, trained, skilled, experienced and
fully qualified for the Services they are to perform;

 

(i) the Work Product will conform to and perform in all material respects
accordance with their respective specifications and acceptance criteria,
including as set forth in Exhibit 2, Exhibit 3 or an applicable Work
Authorization; and

 

(j) the Services will be provided and the Systems, Developed Software, Work
Product, BETA Software, BETA Tools, BETA Equipment, and any enhancements or
modifications to the AGE Software, AGE Tools or AGE Equipment will function in
all material respects in accordance with the System Narrative set forth in
Exhibit 21 (as may be enhanced as set forth in such Exhibit) and the
modifications set forth in the BETA Deferred Gap Project Plan.

 

(k) the Fees charged to AGE for Disaster Recovery set forth in Exhibit 5
represent recovery of the incremental costs of establishing and maintaining an
enhanced Disaster Recovery facility in Wisconsin over the costs to run BETA’s
current recovery site in New York, and the amounts charged to AGE are based on
the same rates charged to each of BETA’s other customers under the Disaster
Recovery Fees (i.e., the same fixed and variable fees).

 

Section 18.03 DISCLAIMER.

 

EXCEPT AS SPECIFIED IN THIS ARTICLE, SET FORTH IN EXHIBIT 2, EXHIBIT 3 OR
OTHERWISE SET FORTH IN WRITING (INCLUDING IN A WORK AUTHORIZATION), NEITHER AGE
NOR BETA MAKES ANY OTHER WARRANTIES WITH RESPECT TO THE DESIGNATED SERVICES OR
THE SYSTEMS OR OTHERWISE HEREUNDER AND EACH EXPLICITLY DISCLAIMS ALL OTHER
WARRANTIES, EXPRESS OR IMPLIED, INCLUDING THE IMPLIED WARRANTIES OF
MERCHANTABILITY AND FITNESS FOR A SPECIFIC PURPOSE WITH REGARD TO THE DESIGNATED
SERVICES.

 

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ARTICLE XIX

 

LIMITATION OF LIABILITY; DAMAGES

 

Section 19.01 Limitation of Liability.

 

(a) (I) IN NO EVENT WILL EITHER PARTY OR ITS AFFILIATES BE LIABLE FOR ANY
INDIRECT, INCIDENTAL, CONSEQUENTIAL, SPECIAL OR PUNITIVE DAMAGES (INCLUDING
WITHOUT LIMITATION LOST PROFITS) EVEN IF ADVISED OF THE POSSIBILITY OF SUCH
DAMAGES,

 

(II) IN NO EVENT SHALL EITHER PARTY’S LIABILITY FOR DIRECT DAMAGES EXCEED AN
AMOUNT IN ANY ONE CONTRACT YEAR EQUAL TO THE FEES PAID (OR WHICH WOULD HAVE BEEN
PAID BUT FOR THE APPLICATION OF APPLICABLE CREDITS UNDER THIS AGREEMENT OR THE
PRE-CONVERSION AGREEMENT) BY AGE DURING THE PRECEDING CONTRACT YEAR OR, IN THE
EVENT THE CLAIMS ARISE PRIOR TO THE END OF THE FIRST CONTRACT YEAR, AN AMOUNT
EQUAL TO THE FEES PAID DURING THE FIRST CONTRACT YEAR (OR WHICH WOULD HAVE BEEN
PAID BUT FOR THE APPLICATION OF APPLICABLE CREDITS UNDER THIS AGREEMENT OR THE
PRE-CONVERSION AGREEMENT), AND

 

(III) IN NO EVENT SHALL BETA’S LIABILITY UNDER SECTION 8.03(a) FOR ANY FAILURE
TO PROVIDE SERVICES DUE TO A FORCE MAJEURE EVENT EXCEED THE COVER LIABILITY.

 

(b) The limitations and exculpations set forth in Section 19.01(a) shall not
apply to (A) payments for the Services required to be paid by AGE pursuant to
Article 14 or (B) credits payable by BETA (including Service Level Credits and
Credits under the Pre-Conversion Agreement).

 

(c) The limitations and exculpations set forth in Section 19.01(a) shall not
apply to any Losses suffered or incurred by AGE for any claim:

 

(1) for which BETA has agreed to indemnify AGE hereunder;

 

(2) relating to any duties or obligations of BETA or BETA Agents in respect of a
third party (including any subcontractor), it being understood that the
foregoing shall not increase any standard applied to BETA’s conduct under this
Agreement;

 

(3) relating to the inaccuracy, untruthfulness or breach of any representation
or warranty set forth in Section 18.02(a) through (f) and the first and second
sentence of 18.02(g) under this Agreement;

 

(4) relating to BETA’s failure to obtain, maintain or comply with the BETA
Private Consents or its Governmental Consents;

 

(5) relating to BETA’s failure to have in effect a Disaster Recovery Plan as
required by Section 8.01 and Exhibit 3 and to implement such Disaster Recovery
Plan as

 

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required hereunder and under the Disaster Recovery Plan in all material
respects, except to the extent that such implementation is impossible under the
circumstances (it being understood that the forgoing shall not be deemed to
require BETA’s operation under the Disaster Recovery Plan to be error-free);

 

(6) relating to any amounts, including taxes, interest and penalties, assessed
against AGE that are the obligation of BETA pursuant to Article 15;

 

(7) relating to BETA’s breach of Article 13; and

 

(8) resulting from gross negligence, fraud or willful misconduct of BETA or
BETA’s rejection of the Agreement.

 

(d) The limitations and exculpations set forth in Section 19.01(a) shall not
apply to any Losses suffered or incurred by BETA for any claim:

 

(1) for which AGE has agreed to indemnify BETA hereunder;

 

(2) relating to any duties or obligations of AGE or AGE Agents in respect of a
third party (including any subcontractor), it being understood that the
foregoing shall not increase any standard applied to AGE’s conduct under this
Agreement;

 

(3) relating to the inaccuracy, untruthfulness or breach of any representation
or warranty under this Agreement;

 

(4) relating to any amounts, including taxes, interest and penalties, assessed
against BETA that are the obligation of AGE pursuant to Article 15;

 

(5) relating to AGE’s breach of Article 13; and

 

(6) resulting from gross negligence, fraud or willful misconduct of AGE or AGE’s
rejection of the Agreement (for which AGE shall only be responsible for the
Termination Fees set forth in Exhibit 5).

 

Section 19.02 Acknowledged Direct Damages.

 

The following shall be considered direct damages and neither Party shall assert
that they are indirect, incidental, collateral, consequential or special damages
or lost profits to the extent they result directly from either Party’s failure
to perform in accordance with this Agreement:

 

(a) Third party claims asserted against either AGE or BETA for which a Party has
agreed to indemnify the other hereunder or that directly arise from or are
related to a Party’s breach of this Agreement.

 

(b) Payments, fines, penalties or interest imposed by a governmental body or
Regulatory Authority for failure to comply with requirements or deadlines; and

 

(c) Costs of cover for AGE to obtain similar services to the Services.

 

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ARTICLE XX

 

INDEMNITIES

 

Section 20.01 Indemnity by AGE.

 

AGE shall at its sole cost and expense indemnify and hold harmless BETA from and
against, all Losses suffered, incurred or sustained by BETA or to which BETA
becomes subject, resulting from, arising out of or relating to any claim:

 

(a) that the AGE Proprietary Software on or in the ClientOne Terminals provided
to BETA infringes upon the rights (including proprietary rights) of any third
party (except to the extent caused by BETA or BETA Agents); and

 

(b) relating to personal injury (including death) or any property loss or damage
resulting from AGE’s or AGE Agents’ acts or omissions.

 

AGE shall indemnify BETA from any costs incurred in connection with the
enforcement of this Section.

 

Section 20.02 Indemnity by BETA.

 

BETA shall at its sole cost and expense indemnify and hold harmless AGE from and
against, all Losses suffered, incurred or sustained by AGE or to which AGE
becomes subject, resulting from, arising out of or relating to any claim:

 

(a) that the Services, Systems, Developed Software, Work Product, BETA
Documentary Work Product, BETA Software, BETA Tools, BETA Equipment, any
enhancements or modifications to AGE Software, AGE Tools or AGE Equipment
performed by BETA or BETA Agents or any other resources or items provided or
used by BETA or BETA Agents (the “BETA IP”) infringe upon the rights (including
all intellectual property and proprietary rights) of any third party (except as
may have been caused by AGE or AGE Agents); and

 

(b) relating to personal injury (including death) or any property loss or damage
resulting from BETA’s or BETA Agents’ acts or omissions.

 

BETA shall indemnify AGE from any costs incurred in connection with the
enforcement of this Section.

 

Section 20.03 Indemnification Procedures.

 

If any third party claim is commenced against a Party entitled to
indemnification under Section 20.01 or Section 20.02 (the “Indemnified Party”),
notice thereof shall be given by the Indemnified Party to the other Party (the
“Indemnifying Party”) as promptly as practicable. Any delay by the Indemnified
Party in providing such notice shall not limit the Indemnifying Party’s
obligations pursuant to Section 20.01 or Section 20.02 except to the extent of
any Losses caused by such delay. If, after such notice, the Indemnifying Party
acknowledges that this Agreement

 

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applies with respect to such claim, then the Indemnifying Party shall be
entitled, if it so elects, in a notice promptly delivered to the Indemnified
Party to immediately take control of the defense and investigation of such claim
and to employ and engage attorneys acceptable to the Indemnified Party to handle
and defend the same, at the Indemnifying Party’s cost. The Indemnified Party
shall cooperate, at the cost of the Indemnifying Party, with the Indemnifying
Party and its attorneys in the investigation, trial and defense of such claim
and any appeal arising therefrom; provided, however, that (a) the Indemnified
Party may, at its own cost, participate, through its attorneys or otherwise, in
such investigation, trial and defense of such claim and any appeal arising
therefrom and (b) the Indemnified Party may settle such claim at any time
subject to the Indemnifying Party’s reasonable consent to the financial terms of
any such settlement. The Indemnifying Party shall have no authority, without the
prior consent of the Indemnified Party, to (1) make any admission on behalf of
the Indemnified Party, (2) settle any claim that involves a remedy other than
the payment of money by the Indemnifying Party or (3) enter into any settlement
that does not provide the Indemnified Party with a full and unconditional
release. After notice by the Indemnifying Party to the Indemnified Party of its
election to assume full control of the defense of any such claim, the
Indemnifying Party shall not be liable to the Indemnified Party for any legal
fees and expenses incurred thereafter by such Indemnified Party in connection
with the defense of that claim. If the Indemnifying Party does not assume full
control over the defense of a claim subject to such defense as provided in this
Section, the Indemnifying Party may participate in such defense, at its cost,
and the Indemnified Party shall have the right to defend the claim in such
manner as it may deem appropriate, at the cost of the Indemnifying Party.

 

Section 20.04 Infringement.

 

If the BETA IP becomes, or in BETA’s reasonable opinion is likely to become, the
subject of an infringement or misappropriation claim or proceeding, then BETA
shall promptly notify AGE of such claim or proceeding and at BETA’s expense take
the following actions in the following priority order: (i) secure the right to
continue using the item; (ii) replace or modify the item to make it
non-infringing, provided that any such replacement or modification is
functionally equivalent; or (iii) if neither (i) or (ii) is readily available to
BETA, then AGE may in its sole discretion (a) require BETA to remove the item
from the Services and the Parties shall thereafter use good faith efforts to
mutually agree upon an equitable adjustment to the Fees to adequately reflect
such removal or (b) terminate the Agreement or the affected portion of the
Services.

 

Section 20.05 Subrogation.

 

With respect to any claim for which a Party is entitled to indemnification from
the other Party pursuant to Section 20.01 or Section 20.02, the Indemnified
Party shall only be entitled to seek, or actually obtain, indemnification from
the Indemnifying Party if, prior to seeking such indemnification, the
Indemnified Party agrees that the Indemnifying Party shall be subrogated to the
rights of the Indemnified Party with respect to the claims and defenses to which
such indemnification relates.

 

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ARTICLE XXI

 

TERMINATION

 

Section 21.01 Termination for Convenience prior to Conversion.

 

Prior to Conversion, AGE may terminate this Agreement for convenience effective
as of any date by giving BETA notice of the termination at least 30 days prior
to the termination date specified in the notice.

 

Section 21.02 Termination for Convenience after Conversion.

 

After Conversion, AGE may terminate this Agreement for convenience effective as
of any date by giving BETA notice of the termination at least 180 days prior to
the termination date specified in the notice.

 

Section 21.03 [Reserved]

 

Section 21.04 Termination for Change in Control of BETA.

 

Upon the earlier of any public or general announcement of the intent for a
Change in Control of BETA or an actual Change in Control of BETA in one or more
series of transactions (in each case other than by, to or with an Affiliate of
BETA), AGE may terminate this Agreement in whole by giving BETA notice of the
termination at least 90 days prior to the termination date specified in the
notice. AGE may upon becoming aware that such Change in Control will not occur,
rescind its notice of termination provided pursuant to this Section.

 

Section 21.05 Termination for Cause.

 

(a) Without limiting, obviating or qualifying any other termination rights AGE
may have under this Agreement or Law, if BETA defaults in the performance of any
of its material obligations (or repeatedly defaults in the performance of any of
its other obligations that collectively constitute a material breach) under this
Agreement which is capable of being cured and does not cure such default within
30 days (the “BETA Default Cure Period”) after receipt of written notice of
default from AGE (the “BETA Default Notice”), then AGE may, by giving written
notice to BETA, terminate this Agreement, in whole or in part, as of the
termination date specified in the BETA Default Notice. Notwithstanding the
foregoing, AGE may immediately terminate this Agreement, in whole or in part, in
the event BETA defaults in the performance of any of its material obligations
(or repeatedly defaults in the performance of any of its other obligations)
under this Agreement which is not capable of being cured.

 

(b) Notwithstanding anything to the contrary in this Agreement, if Conversion
has not occurred by the last date for Conversion as set forth in the Deferred
Gap Project Plan specified by the Pre-Conversion Agreement, as may be modified
as set forth therein, then AGE may terminate this Agreement upon notice to BETA
effective as of the termination date specified in the notice with no cure
period.

 

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(c) If AGE fails to pay BETA any amount when due and payable under this
Agreement and fails to make such payment within 30 days after receipt of an
initial notice from BETA specifying the failure to make such payment (the “AGE
Default Notice”, and the 30 day period after the AGE Default Notice being
referred to herein collectively as the “AGE Default Cure Period”), then BETA
may, by giving written notice to AGE, terminate this Agreement as of the
termination date specified in such notice.

 

Section 21.06 Specific Termination Events.

 

(a) If BETA fails to provide any Services for which there is a Critical Service
Level for the Service Level Category “Availability” for [***] continuous hours
during NYSE business days, then AGE may, upon notice to BETA, terminate this
Agreement, in whole or in part, as of the termination date specified in the
notice.

 

(b) If BETA fails to meet either (i) [***] Expected Service Levels or (ii) [***]
Minimum Service Levels in any 12-month period (without application of any
earnback or other reset provision) for any Services for which there is a
Critical Service Level for the Service Level Categories “Availability”,
“Performance” or “File Transmission” (in each case set forth in Exhibit 4), then
AGE may, upon notice to BETA, terminate this Agreement, in whole or in part, as
of the termination date specified in the notice. For purposes of Section
21.06(b)(ii) only, BETA shall be deemed to have missed only one Minimum Service
Level for up to each three failures of Minimum Service Levels in any given
month. For example, (x) in the event that BETA fails to achieve [***] Minimum
Service Levels in a given month, such failures shall only count as 1 failure to
meet the Minimum Service Level for calculating the number of Minimum Service
Levels in clause (ii) above, (y) in the event that BETA fails to achieve [***]
Minimum Service Level in a given month, such failure shall count as one failure
to meet the Minimum Service Level for calculating the number of Minimum Service
Levels in clause (ii) above, and (z) in the event that BETA fails to achieve
[***] Minimum Service Levels in a given month, such failure shall only count as
[***] failures to meet the Minimum Service Level for calculating the number of
Minimum Service Levels in clause (ii) above. In the event that AGE adds
additional Critical Service Levels for the Service Level Categories
“Availability”, “Performance” or “File Transmission”, then the Parties will (1)
increase the number of Minimum Service Levels for which there is a failure that
will trigger the termination right herein such that the number is not greater
than [***] of the total number of Minimum Service Levels during a given year [
                ***                 ]and (2) increase the number of Expected
Service Levels for which there is a failure that will trigger the termination
right herein such that the number is not greater than [***] of the total number
of Expected Service Levels during a given year [
                ***                 ]. In addition, the Parties shall mutually
agree whether a new Critical Service Level for the Service Level Categories
“Availability”, “Performance” or “File Transmission” will count toward the
termination right set forth herein.

 

(c) If the Service Level Credits accrued exceed an amount equal to [***] of the
average monthly “At Risk Amount” (calculated in accordance with Exhibit 4) for
the previous 12 months in any 12-month period, AGE may, upon notice to BETA,
terminate this Agreement, in whole or in part, as of the termination date
specific in the notice.

 

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(d) In the case of Section 21.06(a), (b) or (c) above, AGE must exercise its
option to terminate the Agreement within 90 days of the termination right
becoming available to AGE.

 

(e) Without limiting Section 23.01 or any other provision of this Agreement,
BETA shall not permit the occurrence of a BETA Divestiture unless the acquirer
(or if there is more than one acquirer, all of the acquirers (the “BETA
Acquirer”)) agrees in writing to be bound by this Agreement (including with
respect to BETA’s obligation to provide the Services in accordance with the
terms and conditions of this Agreement). Notwithstanding any such BETA
Divestiture, if BETA (or any entity Controlled by BETA) continues to control any
assets that were being used to provide the Services prior to a BETA Divestiture,
then BETA shall remain bound by this Agreement in accordance with its terms
until completion of the final Termination Assistance Period. BETA shall notify
AGE promptly, and in any event within three days, of any public or general
announcement of a proposed BETA Divestiture. BETA shall notify AGE of the date
the proposed BETA Divestiture is expected to be legally consummated (the “AGE
Option Date”; provided that if such date is not at least three months after the
date upon which BETA provided AGE notice of the proposed BETA Divestiture, then
the “AGE Option Date” shall be the date three months after BETA provided AGE
notice of the proposed divestiture). Prior to or on the AGE Option Date, AGE
shall notify BETA of whether AGE, in its sole discretion, has elected the terms
of either the clause (1) or clause (2) below:

 

(1) BETA Acquirer shall provide the Services, and for a period of one year
following the later of the actual legal consummation of the BETA Divestiture and
the date the BETA Acquirer in such BETA Divestiture commences providing the
Services under this Agreement, AGE shall have the right, by giving notice to the
BETA Acquirer at such address provided by BETA, terminate this Agreement, in
whole or in part, effective as of the date set forth in such notice; or

 

(2) BETA shall continue to provide the Services for a period of up to two years
(but not longer than the term of the Agreement) after the actual legal
consummation of the BETA Divestiture, provided that such period may be extended
by AGE if AGE is making reasonable efforts to provide the Services itself and/or
transition the Services to a third party.

 

(f) Nothing in this Section shall be deemed to limit, obviate or qualify AGE’s
right to terminate this Agreement pursuant to Section 21.05(a) or AGE’s ability
to make monetary claims in connection with a termination by AGE of this
Agreement, including a termination claim based upon BETA’s failure to meet
Service Levels.

 

Section 21.07 [Reserved]

 

Section 21.08 Termination for Insolvency.

 

In the event that Thomson Financial Inc.:

 

(a) shall admit in writing its inability to, or be generally unable to, pay its
debts as such debts become due; or

 

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(b) shall (1) apply or consent to the appointment of, or the taking of
possession by, a receiver, custodian, trustee, examiner or liquidator of itself
or of all or a substantial part of its property or assets, (2) make a general
assignment for the benefit of its creditors, (3) commence a voluntary case under
the Title 11 of the United States Code, 11 U.S.C. Sections 101 – 1330, as
amended (the “Bankruptcy Code”), (4) file a petition seeking to take advantage
of any other law relating to bankruptcy, insolvency, reorganization,
liquidation, dissolution, arrangement or winding-up, or composition or
readjustment of debts, (5) fail to controvert in a timely and appropriate
manner, or acquiesce in writing to, any petition filed against it in an
involuntary case under the Bankruptcy Code or (6) take any corporate action for
the purpose of effecting any of the foregoing;

 

then AGE may, if allowed by Law, by giving notice thereof to BETA, terminate
this Agreement as of the date specified in such termination notice.

 

Section 21.09 Other Terminations.

 

In addition to the provisions of this Article, AGE may terminate this Agreement
as provided expressly in this Agreement.

 

Section 21.10 AGE’s Breach.

 

AGE’s failure to perform any of its responsibilities set forth in this Agreement
(other than as provided in Section 21.05(c)) shall not be deemed to be grounds
for termination by BETA, and BETA hereby expressly waives any such termination
right it may have under Law. BETA’s nonperformance of its obligations under this
Agreement shall be excused if and to the extent (a) such nonperformance is a
direct result of acts or omissions of AGE not contemplated or permitted by this
Agreement and (b) BETA provides AGE with prior notice of such nonperformance and
uses commercially reasonable efforts to perform notwithstanding AGE’s failure to
perform to the extent practicable under the circumstances.

 

ARTICLE XXII

 

TERMINATION FEES

 

Section 22.01 Calculation of Termination Fees prior to Conversion.

 

If this Agreement is terminated by AGE prior to Conversion pursuant to Section
21.01, AGE shall not be responsible for payment of any termination charges or
fees pursuant to Exhibit 5. For avoidance doubt, the termination provisions of
the Pre-Conversion Agreement continue in effect.

 

Section 22.02 Calculation of Termination Fees after Conversion.

 

Set forth in Exhibit 5 are the only termination fees that would be payable to
BETA if this Agreement is terminated pursuant to Section 21.02. Any termination
fees payable in accordance

 

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with this Article shall be due and payable on the last day that BETA provides
Services to AGE, including any Termination Assistance Services.

 

Section 22.03 Partial Termination Fee Adjustment.

 

If AGE terminates a portion of the Services pursuant to Section 21.01 or Section
21.02 or any other provision of this Agreement, then the termination fees and
the Fees shall be adjusted in accordance with Exhibit 5, or in the absence of
any provisions in Exhibit 5, the termination fees and the Fees shall be
equitably reduced.

 

Section 22.04 Termination Fees.

 

Except as otherwise specifically set forth in this Agreement, no termination
fees or other similar termination amounts shall be payable by AGE in connection
with any termination of this Agreement. For avoidance of doubt, AGE shall remain
responsible for the Fees for continued provision of Services prior to the
effective date of termination, additional Fees that may be payable for
Termination Assistance Services or additional Fees for BETA’s return of AGE Data
upon AGE’s termination for convenience, in each case to the extent specifically
set forth in this Agreement.

 

ARTICLE XXIII

 

TERMINATION ASSISTANCE

 

Section 23.01 Termination Assistance Services.

 

BETA shall, upon AGE’s request during a Termination Assistance Period, provide
the Termination Assistance Services. The Fees for BETA to provide the
Termination Assistance Services are set forth in Exhibit 5 under the heading
“Deconversion Charges”. These are the only Fees payable by AGE to BETA for
Termination Assistance Services. To the extent possible, the 20 FTEs provided
for in Section 3.16 shall be used to provide Termination Assistance Services and
AGE shall not be required to pay separate Fees for the Termination Assistance
Services provided by such FTEs. The quality and level of Services during a
Termination Assistance Period shall not be degraded and BETA shall provide the
Termination Assistance Services without causing any material disruptions to the
business of AGE. After the expiration of a Termination Assistance Period, BETA
shall (a) answer questions from AGE regarding the Services on an “as needed”
basis at the applicable rates set forth in Exhibit 5 and if not so set forth, at
BETA’s then standard rates then in effect immediately prior to the occurrence of
the Assistance Event and (b) upon AGE’s request, deliver to AGE any remaining
AGE-owned reports and documentation still in BETA’s possession.

 

Section 23.02 Termination Rights.

 

(a) Upon termination of this Agreement, each party shall promptly return to the
other party all Confidential Information of the other party and/or erase or
destroy all other Confidential Information of the other party in its possession.
Each party shall, upon the other party’s written request, certify to the other
party that all such Confidential Information has been destroyed or

 

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erased. Without limiting the foregoing, BETA shall (i) deliver to AGE all AGE
Data and a copy of all of the (a) AGE Work Product (to the extent not
incorporated into any BETA Deferred Gap Resolution as provided in Section
12.06), (b) AGE Development Work, (c) Documentary Work Product, (d) AGE
Conversion Gap Resolutions and (e) BETA Incorporated Materials, in each case, in
the form then in use and (ii) destroy or erase all other applicable copies of
the AGE Development Work, the AGE Work Product (except to the extent
incorporated in any BETA Deferred Gap Resolution as provided in Section 12.06),
the Documentary Work Product and the AGE Conversion Gap Resolutions in BETA’s
possession or control.

 

(b) Until the later of the effective date of termination of the Agreement and
the last day of any period of Termination Assistance Services, AGE shall have
the option to exercise either of the options set forth in Section 3.17
(Facilities Management and Other Options).

 

Section 23.03 Termination Assistance Services Upon Partial Termination.

 

If there is a partial termination of this Agreement, or a resourcing or
insourcing under this Agreement, then Section 23.02 shall apply only with
respect to those resources and other items referred to in Section 23.02, which
are associated with the Services being terminated, insourced or resourced. As
soon as possible after the occurrence of an Assistance Event, BETA shall notify
AGE of any such resources or other items that are necessary for the continued
provision of the Services and that cannot be replaced by BETA, in which case AGE
and BETA shall agree on, or failing prompt agreement AGE shall specify, an
appropriate allocation of such resources and other items.

 

ARTICLE XXIV

 

MISCELLANEOUS PROVISIONS

 

Section 24.01 Assignment.

 

(a) This Agreement and the rights, obligations and remedies hereunder (including
any amounts to be paid or received hereunder) shall not be assignable or
transferable by either Party (whether by merger, asset or stock sale, operation
of Law or otherwise) without the prior consent of the other Party (to be given
in its sole discretion), except that AGE may assign and transfer this Agreement
to an Affiliate or pursuant to a reorganization or Change in Control of AGE
without such consent. Upon AGE’s assignment of this Agreement and unless
otherwise agreed by the Parties, AGE shall remain responsible for all
obligations and liability under this Agreement. The consent of a Party to any
assignment of this Agreement shall not constitute such Party’s consent to
further assignment. This Agreement shall be binding on the Parties and their
respective successors and permitted assigns. Any assignment in contravention of
this subsection shall be void.

 

(b) Upon an AGE Divestiture, and only at AGE’s request, BETA shall, for a period
of up to 12 months, as designated by AGE in its sole discretion, from the
effective date of such AGE Divestiture, continue to provide the Services to the
entities or business units that are the

 

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subject of the AGE Divestiture at the Fees and Service Levels and other terms
and conditions in effect under this Agreement, provided that the acquirer of the
entities or business units that are the subject of the AGE Divestiture is not a
BETA Direct Competitor.

 

(c) If during the term of this Agreement, AGE shall acquire control of an entity
which has an agreement with BETA that covers or relates to Services provided
pursuant to this Agreement, AGE, at its option, may either (i) keep the acquired
entity’s existing contract in effect until the date of termination of the
existing contract, after which, such acquired entity may receive the benefits of
this Agreement as an AGE Company, or (ii) may with prior notice, terminate any
such existing contract without the payment by AGE or the acquired entity of any
termination fees and the acquired entity may receive the benefits of this
Agreement as an AGE Company, which termination shall be effective upon the
earlier of (A) one year after AGE’s delivery of notice to BETA or (B) the date
the entities’ trading operations are consolidated. If during the term of this
Agreement, AGE shall come under the control of an entity which has an agreement
with BETA that covers or relates to Services provided pursuant to this
Agreement, AGE, at its option, may either (i) keep this Agreement in effect
until the end of the term, after which, AGE may receive the benefits of the
acquiring entity’s agreement, or (ii) may with prior notice, terminate this
Agreement without the payment by AGE or the acquiring entity of any termination
fees and AGE may receive the benefits of the acquiring entity’s Agreement as an
AGE Company, which termination shall be effective upon the earlier of (Y) one
year after AGE’s delivery of notice to BETA or (Z) the date the entities’
trading operations are consolidated.

 

Section 24.02 Notices.

 

Except as otherwise expressly specified in this Agreement, all notices,
requests, consents, approvals, agreements, authorizations, acknowledgments,
waivers and other communications required or permitted under this Agreement
shall be in writing and shall be deemed given immediately when sent by Facsimile
to the Facsimile number specified below with receipt of confirmation of a
successful transmission or immediately when delivered by hand to the address
specified below, 5 days following deposit of the notice into the United States
mail, or 1 business day following delivery by express overnight delivery
service. A copy of any such notice shall also be sent by express overnight
delivery on the date such notice is transmitted by Facsimile to the address
specified below:

 

In the case of AGE:

 

A.G. Edwards Technology Group, Inc.

One North Jefferson

St. Louis, Missouri 63103

Attention: Vice Chairman

Facsimile No.: (314) 955-5793

and

Attention: President

Facsimile No.: (314) 955-5524

 

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With a copy to:

  A.G. Edwards & Sons, Inc.         One North Jefferson         St. Louis,
Missouri 63103         Attention: Director of Law and Compliance        
Facsimile No.: (314) 955-5913

 

   

With a copy to:

  A.G. Edwards Technology Group, Inc.         One North Jefferson         St.
Louis, Missouri 63103         Attention: [ *** ]         Facsimile: (314)
955-1470

 

In the case of BETA:

 

BETA Systems, a division of Thomson Financial Inc.

350 North Sunny Slope Road

Brookfield, Wisconsin 53005

Attn: Chief Financial Officer

Facsimile No.: (262) 789-4848

and

Attn: Managing Director

Facsimile No.: (262) 789-4848

 

   

With a copy to:

  Thomson Financial Inc.         195 Broadway         New York, New York 10007  
      Attention: General Counsel         Facsimile No.: (646) 822-3665

 

   

With a copy to:

  The Thomson Corporation         One Metro Center         Stamford, Connecticut
06902         Attention: General Counsel         Facsimile No.: (203) 969-7779

 

Either Party may change its address or facsimile number for notification
purposes by giving the other Party 30 days’ notice of the new address or
facsimile number and the date upon which it will become effective.

 

Section 24.03 Certain Equitable Remedies.

 

It is specifically understood and agreed that the breach of certain provisions
of this Agreement (“Triggering Provisions”) by either Party (the “Breaching
Party”) may result in irreparable injury to the other Party (the “Non-Breaching
Party”), that the remedy at law alone may be an inadequate remedy for such
breach and that, in addition to any other remedy for such breach, the
Non-Breaching Party shall be entitled to seek to enforce the specific
performance of this Agreement through both temporary and permanent injunctive
relief, without the necessity of proving actual damages, and without limitation
of the rights to recover such damages. The

 

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Parties agree that when AGE is the Breaching Party, the Triggering Provisions
shall include (i) any of the limitations on usage of the Services provisions
contained in this Agreement, but only to the extent of the excess over such
limitation, (ii) the provisions of Article XII (Proprietary Rights), and (iii)
the provisions of Article XIII (Data and Confidentiality), and when BETA is the
Breaching Party, the Triggering Provisions shall include the provisions of (w)
Article XIII (Data and Confidentiality), (x) the provisions of Article XII
(Proprietary Rights), (y) Article VIII (Continued Provision of Services) and (z)
Article XXIII (Termination Assistance). Notwithstanding anything to the contrary
contained in this Agreement or under Law, each of the Parties specifically
understands and agrees that any breach by it of a Triggering Provision will
result in irreparable injury to the Non-Breaching Party, that the remedy at law
alone will be an inadequate remedy for such breach and that, in addition to any
other remedy for such breach, the non-breaching Party shall be entitled to
enforce the specific performance of this Agreement through both temporary and
permanent injunctive relief, without the necessity of proving actual damages,
and without limitation of the rights to recover such damages.

 

Section 24.04 Counterparts.

 

This Agreement may be executed in any number of counterparts, each of which will
be deemed an original, but all of which taken together shall constitute one
single agreement between the Parties.

 

Section 24.05 Relationship.

 

The Parties intend to create an independent contractor relationship and nothing
contained in this Agreement shall be construed to make either AGE or BETA
partners, joint venturers, principals, agents or employees of the other. No
officer, director, employee, agent, affiliate or contractor retained by BETA to
perform work on AGE’s behalf under this Agreement shall be deemed to be an
employee, agent or contractor of AGE. Neither Party shall have any right, power
or authority, express or implied, to bind the other.

 

Section 24.06 Severability.

 

If any provision of this Agreement (or any portion thereof) or the application
of any such provision (or portion thereof) to any person or circumstance is held
to be invalid, illegal or otherwise unenforceable in any respect by arbitrators,
such provision will be modified to the extent necessary in the arbitrator’s
opinion to render such provision enforceable. Notwithstanding the preceding
sentence, the remaining provisions of this Agreement, if capable of substantial
performance, shall remain in full force and effect.

 

Section 24.07 Delays; Waivers.

 

Except where an express time frame is set forth in this Agreement, no delay or
omission by either Party to exercise any right, remedy or power it has under
this Agreement shall impair or be construed as a waiver of such right, remedy or
power. A waiver by any Party of any breach or covenant in this Agreement shall
not be construed to be a waiver of any other or succeeding breach or covenant.
All waivers must be signed by the Account Executive of the Party waiving its
rights.

 

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Section 24.08 Remedies Cumulative.

 

No right or remedy under operation of Law or herein conferred upon or reserved
to either Party is intended to be exclusive of any other right or remedy, and
each and every right and remedy shall be cumulative and in addition to any other
right or remedy under this Agreement, or under Law, whether now or hereafter
existing.

 

Section 24.09 Governing Law.

 

This Agreement and the rights and obligations of the Parties under this
Agreement shall be governed by and construed in accordance with the Laws of the
State of New York, without giving effect to the principles thereof relating to
the conflicts of Laws.

 

Section 24.10 Entire Agreement.

 

This Agreement and the Exhibits to this Agreement, and the Pre-Conversion
Agreement (to the extent not superseded and replaced as provided in Section
2.01), represent the entire agreement and understanding between the Parties with
respect to the subject matter hereof and supersedes all prior agreements and
understandings relating to such subject matter, and there are no other
representations, understandings or agreements between the Parties relative to
such subject matter.

 

Section 24.11 Amendments.

 

No amendment or supplement to this Agreement shall be valid unless in writing
and signed by the Account Executives.

 

Section 24.12 Survival.

 

The provisions of this Agreement shall remain in full force and effect until the
End Date and the terms of Articles I, XII (except Section 12.09), and XIII;
Sections 14.01 (only to the extent Fees have not been paid), 14.03, 14.06,
14.08, 15.01; Articles XVI (to the extent necessary for AGE Auditors or
Regulatory Requirements), XIX and XX, and Sections 23.02, 24.02, 24.03, 24.06,
24.08, 24.09, 24.10, 24.12, 24.13, 24.15, 24.18, 24.19, 24.20, 24.21 and 24.22
(until all obligations of BETA have been satisfied) shall survive such End Date.

 

Section 24.13 Third Party Beneficiaries.

 

This Agreement is for the sole benefit of the Parties and their permitted
assigns and each Party intends that this Agreement shall not benefit, or create
any right or cause of action in or on behalf of, any person or entity other than
the Parties and their permitted assigns; provided, however, that BETA
acknowledges and agrees that (1) AGE shall be entitled to assert actions and
claims against BETA on behalf of all entities, units and members of the AGE
Companies that have received Services as if such entities, units and members of
the AGE Companies were express third party beneficiaries of this Agreement and
(2) direct damages suffered by each entity, unit and member of the AGE Companies
arising out of or relating to BETA’s

 

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performance or failure to perform under this Agreement shall be deemed to be the
direct damages of AGE; provided, further, that if any Law nullifies or limits
the results intended by the immediately preceding proviso, each adversely
affected entity, unit and member of the AGE Companies shall be considered an
express third party beneficiary of this Agreement and shall be entitled to
assert actions and claims directly against BETA as if such entity, unit and
member of the AGE Companies were a party to this Agreement.

 

Section 24.14 Covenant of Further Assurances.

 

AGE and BETA covenant and agree that, subsequent to the execution and delivery
of this Agreement and, without any additional consideration, each of AGE and
BETA shall execute and deliver any further legal instruments and perform any
acts that are or may become necessary to effectuate the purposes of this
Agreement.

 

Section 24.15 Negotiated Terms.

 

The Parties agree that the terms and conditions of this Agreement are the result
of negotiations between the Parties and that this Agreement shall not be
construed in favor of or against any Party by reason of the extent to which any
Party or its professional advisors participated in the preparation of this
Agreement.

 

Section 24.16 Export.

 

AGE and BETA shall not knowingly export or re-export any personal computer
system, part, technical data or sub-elements under this Agreement, directly or
indirectly, to any destinations prohibited by the United States Government. The
term “technical data” in this context, means such data as is defined as
technical data by applicable United States export regulations.

 

Section 24.17 Conflict of Interest.

 

BETA shall not pay any salaries, commissions, fees or make any payments or
rebates to any employee of AGE, or to any designee of such employee, or favor
any employee of AGE, or any designee of such employee, with gifts or
entertainment of significant cost or value or with services or goods sold at
less than full market value.

 

Section 24.18 Incorporation and References.

 

In this Agreement and the Exhibits to this Agreement:

 

(a) the Exhibits to this Agreement are hereby incorporated into and deemed part
of this Agreement and all references to this Agreement shall include the
Exhibits to this Agreement;

 

(b) references to an Exhibit, Section or Article shall be to such Exhibit to, or
Section or Article of, this Agreement unless otherwise provided;

 

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(c) references to any Law shall be to such Law in changed or amended form or to
a newly adopted Law replacing a prior Law;

 

(d) references to the words “including”, “includes” or “include” or the
abbreviation “e.g.” shall mean “including, without limitation;” and

 

(e) references to the words “day” or “days” shall mean “calendar days” unless
otherwise provided.

 

Section 24.19 Headings.

 

The Table of Contents, Table of Exhibits, and Article and Section headings, are
for reference and convenience only and shall not be considered in the
interpretation of this Agreement.

 

Section 24.20 Interpretation of Documents.

 

Except as otherwise expressly set forth in the body of this Agreement or in any
of the Exhibits, in the event of a conflict between the provisions in Article 1
through Article 24 and the Exhibits, the provisions in Article 1 through Article
24 shall prevail.

 

Section 24.21 Publicity.

 

Neither Party shall, without the prior express written consent of the other
Party, publish or use any press release, advertising, promotional material,
customer list or other public statement that includes the other Party’s name or
marks, or from which the connection of such name or marks may be inferred or
implied.

 

Section 24.22 Parent Guarantee.

 

BETA shall have caused The Thomson Corporation to have executed the guarantee in
favor of AGE and AGE Companies in the form attached hereto as Exhibit 24.

 

Section 24.23 Agreement for Delivery of Security Master File.

 

Effective as of the Conversion Effective Date, the Parties hereby terminate the
Agreement for Delivery of Security Master File, dated November 2003 and
effective as of November 12, 2003. AGE shall be responsible for the charges set
forth therein (pro-rated for the portion of the month until the Conversion
Effective Date) until the termination date.

 

*     *     *     *     *

 

-51-

--------------------------------------------------------------------------------

IN WITNESS WHEREOF, each of AGE and BETA has caused this Agreement to be signed
and delivered by its duly authorized representative.

 

A.G. EDWARDS TECHNOLOGY GROUP, INC.

By:

 

/s/ Ronald J. Kessler

   

Name:

 

Ronald J. Kessler

   

Title:

 

Vice Chairman

THOMSON FINANCIAL INC.

By:

 

/s/ Christopher D. Maloney

   

Name:

 

Christopher D. Maloney

   

Title:

 

Managing Director

 

-52-

--------------------------------------------------------------------------------

 

EXHIBIT 1

TO HOSTING AND SERVICES AGREEMENT

 

DEFINITIONS

 

“24x7x365” and “24x7” shall mean twenty-four (24) hours per day, seven (7) days
per week, and three hundred sixty-five (365) days a year.

 

[***] shall have the meaning set forth in Section 3.01(e).

 

“Affiliate” shall mean, as to any entity, any other entity that, directly or
indirectly, through one or more entities, Controls, is Controlled by or is under
common Control with such first entity; as used herein entity shall mean any
company, partnership, joint venture or other form of enterprise, domestic or
foreign. With respect to AGE, Affiliate shall also include any entity that,
directly or indirectly, through one or more entities, Controls, is Controlled by
or is under common Control with AGE’s parent corporation, A.G. Edwards & Sons,
Inc.

 

“AGE” shall mean A.G. Edwards Technology Group, Inc., a Missouri Corporation.

 

“AGE Account Executive” shall have the meaning set forth in Exhibit 12.

 

“AGE Agents” shall mean the agents, subcontractors and representatives of AGE,
and suppliers, contractors and other third parties providing goods and services
to AGE other than BETA and BETA Agents.

 

“AGE Auditors” shall have the meaning set forth in Section 16.02(a).

 

“AGE Companies” shall mean (a) AGE, (b) AGE’s Affiliates and (c) any company,
partnership, joint venture or other form of enterprise, domestic or foreign, in
or which any entities referred to in clauses (a) and (b) hold at least 10% of
the issued equity or other ownership interests.

 

“AGE Data” shall mean all data (a) submitted to BETA or BETA Agents by or on
behalf of AGE, (b) obtained, developed or produced by BETA or BETA Agents in
connection with this Agreement or (c) to which BETA or BETA Agents have access
in connection with this Agreement.

 

“AGE Default Cure Period” shall have the meaning set forth in Section 21.05(c).

 

“AGE Default Notice” shall have the meaning set forth in Section 21.05(c).

 

“AGE Deferred Gap Requirements” shall have the meaning set forth in Section
2.02(a) of Exhibit 2.

 

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“AGE Deferred Gap Resolutions” shall mean those enhancements to AGE systems
created in connection with the BETA Deferred Gaps that are required in order
that AGE may access and use the BETA Core Systems in accordance with the AGE
Deferred Gap Requirements.

 

“AGE Development Work” shall have the meaning set forth in Section 12.07.

 

“AGE Divestiture” shall mean the direct or indirect conveyance, sale, transfer,
assignment or other disposition of any property or assets of a member, or
business unit of a member, of AGE Group, in one transaction or a series of
related transactions, resulting in AGE no longer Controlling such member or
business unit.

 

“AGE Documentary Work Product” shall have the meaning set forth in Section
12.08.

 

“AGE Equipment” shall mean any Equipment owned, leased, licensed or otherwise
obtained (in whole or in part) by AGE or AGE Agents and used by BETA or BETA
Agents in performing the Services pursuant to this Agreement.

 

“AGE Group” shall mean AGE Companies and AGE Agents.

 

“AGE Option Date” shall have the meaning set forth in Section 21.06(e).

 

“AGE Proprietary Software” shall mean the Software, including the Software
specified in Exhibit 8, and Related Documentation, owned, acquired or developed
by AGE and used in connection with the provision of the Services pursuant to
this Agreement.

 

“AGE Proprietary Tools” shall mean the Tools and Related Documentation set forth
in Exhibit 8, owned, acquired or developed by AGE and used in connection with
the provision of the Services pursuant to this Agreement.

 

“AGE Service Location” shall mean any AGE location owned, leased or licensed or
otherwise used by AGE for which BETA has received AGE’s approval to provide a
portion of the Services to AGE.

 

“AGE Software” shall mean the AGE Proprietary Software and the AGE Third Party
Software.

 

“AGE Third Party Software” shall mean the Software, including the Software
specified in Exhibit 8, and Related Documentation, licensed, leased or otherwise
obtained by AGE from a third party and used in connection with the provision of
the Services pursuant to this Agreement.

 

“AGE Third Party Tools” shall mean the Tools and Related Documentation set forth
in Exhibit 8, licensed, leased or otherwise obtained by AGE from a third party
and used in connection with the provision of the Services pursuant to this
Agreement.

 

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“AGE Tools” shall mean the AGE Proprietary Tools and the AGE Third Party Tools.

 

“AGE Work Product” are the tools, templates, software (object code and source
code), methodologies, processes, techniques, analytical frameworks, algorithms
and related documentation owned or developed by AGE prior to the performance of
this Agreement, or independent of BETA and outside the scope of this Agreement,
and shall include the AGE Deferred Gap Requirements.

 

“Agreement” shall mean this Hosting and Services Agreement between AGE and BETA.

 

“Agreement Date” shall have the meaning set forth in the preamble.

 

“APIs” shall have the meaning set forth in Section 9.01 of Exhibit 3.

 

“Applications” or “Applications Software” means those Software programs and
programming code (including the supporting documentation, media, online help
facilities, tutorials, and all modifications, replacements, upgrades, and
enhancements thereto) used to support day-to-day business operations and
accomplish specific business objectives and that perform specific user-related
data processing and telecommunications tasks.

 

“Assistance Event” shall mean an insourcing, resourcing or termination under, or
the expiration of, this Agreement.

 

“Bankruptcy Code” shall have the meaning set forth in Section 21.08(b).

 

“BETA” shall mean Thomson Financial Inc., a New York corporation. For avoidance
of doubt, it is understood that the Services will be provided through Thomson
Financial Inc.’s Beta Systems division.

 

“BETA Account Executive” shall have the meaning set forth in Exhibit 12.”BETA
Agents” shall mean the agents, subcontractors and representatives of BETA.

 

“BETA Acquirer” shall have the meaning set forth in Section 21.06(e).

 

“BETA Core Systems” shall mean BETAHost, BETALink, BETAConnect, BETA Access, BL
Server, XT Server, Notifications, BETALink APIs and BETALink Plus (each of which
is further described in Exhibit 21)..

 

“BETA Default Cure Period” shall have the meaning set forth in Section 21.05(a).

 

“BETA Default Notice” shall have the meaning set forth in Section 21.05(a).

 

“BETA Deferred Gap Project Plan” shall have the meaning set forth in Section
1.02 of Exhibit 2.

 

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“BETA Deferred Gap Resolutions” shall have the meaning set forth in Section 1.01
of Exhibit 2.

 

“BETA Deferred Gaps” shall have the meaning set forth in Section 1.01 of Exhibit
2.

 

“BETA Development Work” shall have the meaning set forth in Section 12.07.

 

“BETA Direct Competitors” shall have the meaning set forth in Section 3.01(e).

 

“BETA Divestiture” shall mean the conveyance, sale, transfer, assignment or
other disposition of all or any material portion of the property or assets of
BETA or its Affiliates (including any subsidiaries or business units of BETA or
its Affiliates) used in connection with the Services, in one transaction or a
series of related transactions.

 

“BETA Documentary Work Product” shall have the meaning set forth in Section
12.08.

 

“BETA Equipment” shall mean any Equipment owned, leased, licensed or otherwise
obtained (in whole or in part) by BETA or BETA Agents and used in connection
with the Services.

 

“BETA Incorporated Materials” shall have the meaning set forth in Section 12.05.

 

“BETA Private Consents” shall mean all licenses, consents, permits, approvals,
authorizations and other actions that are necessary for BETA to provide the
Services or which allow, among other things, (a) BETA and BETA Agents to use (1)
the BETA Software, BETA Tools and BETA Equipment and (2) BETA’s and BETA Agents’
other owned, leased and licensed assets, (b) BETA and BETA Agents to (1) use any
third party services procured by BETA to provide the Services and (2) assign or
license to AGE (as applicable) the AGE Development work and the BETA
Incorporated Materials and (c) AGE and AGE Agents to Use the BETA Software in
accordance with this Agreement; provided that this definition shall not include
any Governmental Consents.

 

“BETA Proprietary Software” shall mean the Software, including the Software
specified in Exhibit 9, and Related Documentation, owned, acquired or developed
by or on behalf of BETA, excluding in each case the Developed Software, and used
in connection with the Services.

 

“BETA Proprietary Tools” shall mean the Tools, including the Tools specified in
Exhibit 9, and Related Documentation, owned, acquired or developed by or on
behalf of BETA, excluding in each case the Developed Software, and used in
connection with the Services.

 

“BETA Test Region” shall have the meaning set forth in Section 16.01 of Exhibit
3.

 

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“BETA to BETA Conversion” shall have the meaning set forth in Section 1.01 of
Exhibit 3.

 

“BETA Service Location” shall mean any BETA service location specified in
Exhibit 7 and any other service location owned, leased, licensed or otherwise
used by BETA in compliance with Section 6.01.

 

“BETA Software” shall mean the BETA Proprietary Software and the BETA Third
Party Software.

 

“BETA Third Party Software” shall mean the Software, including the Software
specified in Exhibit 9, and Related Documentation, licensed, leased or otherwise
obtained by BETA or BETA Agents from a third party that is used in connection
with the Services.

 

“BETA Third Party Tools” shall mean the Tools, including the Tools specified in
Exhibit 9, and Related Documentation, licensed, leased or otherwise obtained by
BETA or BETA Agents from a third party that are used in connection with the
Services.

 

“BETA Tools” shall mean the BETA Proprietary Tools and the BETA Third Party
Tools.

 

“BETA Work Product” shall mean the tools, templates, software (object code and
source code), methodologies, processes, techniques, analytical frameworks,
algorithms and related documentation owned or developed by BETA prior to the
performance of this Agreement, or independent of AGE and outside the scope of
this Agreement.

 

“BETAHost Software” shall have the meaning set forth in Section 3.16(a).

 

“BETALink APIs” shall have the meaning set forth in Section 3.18.

 

“Breaching Party” shall have the meaning set forth in Section 24.03.

 

“BUC” shall have the meaning set forth in Section 3.04(a).

 

“Business Continuity Plan” shall have the meaning set forth in Section 12.03 of
Exhibit 3.

 

“Change Management Procedures” shall mean the procedures agreed to by the
Parties for proposing and implementing changes to the Services for which there
is no separate amendment, modification or change procedure set forth in the
Agreement (including Exhibits). For any change proposed pursuant to the Change
Management Procedures to be effective between the Parties, such change must be
agreed to in writing by authorized representatives of each of the Parties.

 

“Change in Control” shall mean the (a) consolidation or merger of a Party with
or into any entity, (b) sale, transfer or other disposition of all or
substantially all of the assets of a Party in one transaction or a series of
related transactions or (c) acquisition by any

 

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entity, or group of entities acting in concert, of beneficial ownership (as
defined in Rule 13d-3 of the Securities Act of 1934) or voting control of twenty
percent (20%) or more (or such lesser percentage that constitutes Control) of
the outstanding voting securities or other ownership interests of a Party.

 

“ChangeMan” shall have the meaning set forth in Section 3.01 of Exhibit 3.

 

“Confidential Information” of AGE or BETA, as applicable, shall mean all
information (regardless of form) of AGE and BETA, respectively, whether
disclosed to or accessed by AGE or BETA in connection with this Agreement,
including (a) with respect to AGE, all AGE Data and all information of AGE and
AGE Agents or their customers, suppliers, contractors and other third parties
doing business with AGE and (b) with respect to AGE and BETA, the existence and
terms of this Agreement and any information developed by reference to or use of
AGE’s or BETA’s information; provided, however, that except to the extent
otherwise provided by Law, the term “Confidential Information” shall not include
information that (1) is independently developed by the recipient, as
demonstrated by the recipient’s written records, without violating the
disclosing Party’s rights, (2) is or becomes publicly known (other than through
unauthorized disclosure by or through a Party), (3) is disclosed by the owner of
such information to a third party free of any obligation of confidentiality, (4)
was already known by the recipient at the time of disclosure, as demonstrated by
the recipient’s written records, and the recipient has no obligation of
confidentiality with respect to said information other than pursuant to this
Agreement or any confidentiality agreements between AGE and BETA entered into
before the Agreement Date with respect to said information or (5) is rightfully
received by a Party free of any obligation of confidentiality, provided that (i)
such recipient has no knowledge that such information is subject to a
confidentiality agreement and (ii) such information is not of a type or
character that a reasonable person would have regarded it as confidential.

 

“Contract Year” shall mean each 12-month period commencing, in the case of the
first Contract Year, on the Conversion Effective Date and thereafter upon the
completion of the immediately preceding Contract Year.

 

“Control” shall mean, with respect to any entity, the possession, directly or
indirectly, of the power to direct or cause the direction of the management and
policies of such entity, whether through the ownership of voting securities (or
other ownership interest), by contract or otherwise.

 

“Conversion” shall mean AGE’s conversion or migration to the BETA Core Systems.

 

“Conversion Effective Date” shall mean the day AGE begins trading using the BETA
Core Systems, which is tentatively scheduled to be [        ***        ].

 

“Conversion Services” shall mean the services, functions and responsibilities
set forth in Exhibit 2. “Data Protection Laws” shall mean any Laws relating to
data privacy, trans-border data flow or data protection, such as the
Gramm-Leach-Bliley Act (U.S.),

 

AGE/BETA Confidential

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the Personal Information Protection and Electronic Documents Act (Canada) and
the implementing legislation and regulations of the European Union member states
under the European Union Data Protection Directive 95/46/EC and Telecoms Data
Protection Directive 97/66/EC, in each case as amended.

 

“Crisis” shall have the meaning set forth in Section 12.05 of Exhibit 3.

 

“Critical Services” shall mean those Services specified as for which there is a
Critical Service Level.

 

“Data Safeguards” shall have the meaning set forth in Section 13.04(a).

 

“Default Cure Period” shall mean the AGE Default Cure Period or the BETA Default
Cure Period, as applicable.

 

“Default Notice” shall mean the AGE Default Notice or the BETA Default Notice,
as applicable.

 

“Deferred Gap Functional Specifications” shall have the meaning set forth in
Section 2.02(b) of Exhibit 2.

 

“Deferred Gap Technical Specifications” shall have the meaning set forth in
Section 2.02(c) of Exhibit 2.

 

“Description of Services” shall mean the services, functions, responsibilities
and projects set forth in Exhibit 3.

 

“Designated Fees” shall mean the fees set forth in Exhibit 5 for the Designated
Services.

 

“Designated Service Levels” shall mean the service levels and standards for
performance set forth in Exhibit 4 for the Designated Services.

 

“Designated Services” shall have the meaning set forth in Section 3.01(a), and,
with respect to any acquisitions by AGE or any AGE Divestiture, shall include
reasonable acquisition or divestiture support (including assessments, transition
planning and migration support).

 

“Destructive Elements” shall mean any Software, Equipment, Tools or data (a)
intentionally designed to disrupt, disable, harm or otherwise impede in any
manner, including aesthetical disruptions or distortions, the operation of the
Systems, or any Software, Equipment, Tools or data (e.g., ”viruses” or “worms”),
(b) that would disable the Systems, or any Software, Equipment, Tools or data,
or impair in any way their operation including, for example, based on the
elapsing of a period of time, exceeding an authorized number of copies,
advancement to a particular date or other numeral (e.g., ”time bombs”, “time
locks” or “drop dead” devices), (c) that would permit BETA to access the
Systems, or any Software, Equipment, Tools or data, to cause such disablement or
impairment, or otherwise to circumvent the security features of the

 

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Systems, Software, Equipment, Tools or data (e.g., “traps”, “access codes” or
“trap door” devices) or (d) which contains any other harmful, malicious or
hidden procedures, routines or mechanisms which would cause the Systems, or any
Software, Equipment, Tools or data, to cease functioning or to damage or corrupt
storage media, Software, Equipment, Tools, data or communications, or otherwise
interfere with operations.

 

“Developed Software” shall mean any Software, modifications or enhancements to,
or derivatives of, Software and Related Documentation developed pursuant to this
Agreement or otherwise paid for by AGE under this Agreement.

 

“Development Services” shall mean the services, functions, responsibilities and
projects relating to any development or project work to be performed pursuant to
a Work Authorization and otherwise in accordance with Exhibit 3.

 

“Disaster” shall have the meaning set forth in Section 12.04 of Exhibit 3.

 

“Documentary Work Product” shall have the meaning set forth in Section 12.08.

 

“DRP” or “Disaster Recovery Plan” shall mean BETA’s process supported by
complete documentation that addresses business disruption, interruption or loss
or the possibilities thereof in the event of a Disaster, a summary of which will
be set forth in Exhibit 18, and as further described in the Agreement and
Exhibit 3.

 

“End Date” shall mean the last day of the period, as determined by AGE, that
BETA will provide Termination Assistance Services.

 

“End Users” shall mean any users of the Services, as specified by AGE.

 

“Equipment” shall mean computers and related equipment, including central
processing units and other processors (e.g., microprocessors and embedded
processors), controllers, modems, communications and telecommunications
equipment (e.g., communication lines, voice, data and video), cables, storage
devices, printers, terminals, other peripherals and input and output devices,
and other tangible mechanical and electronic equipment intended for the
processing, input, output, storage, manipulation, communication, transmission
and retrieval of information and data.

 

“Extension Period” shall have the meaning set forth in Section 2.03.

 

“Facilities Management Option” shall have the meaning set forth in Section 3.16.

 

“Failover” shall have the meaning set forth in Section 12.04 of Exhibit 3.

 

“Fees” shall mean the fees payable by AGE to BETA pursuant to the express terms
of this Agreement, including Exhibit 5.

 

“Force Majeure Event” shall have the meaning set forth in Section 8.02.

 

“Full Conversion” shall have the meaning set forth in Section 1.01 of Exhibit 3.

 

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“Full Time Equivalent” or “FTE” [

 

***

 

                                                                     ]

 

“Governmental Authority” shall mean any Federal, state, municipal, local,
territorial or other governmental department, regulatory authority, judicial or
administrative body, whether domestic, foreign or international.

 

“Governmental Consents” shall mean, with respect to a Party, all licenses,
consents, permits, approvals, authorizations and other actions of any
Governmental Authority, or any notice to any Governmental Authority, which are
required by Law, including Regulatory Requirements, for the entering into of
this Agreement and the consummation of all of the transactions contemplated by
this Agreement by such Party.

 

“Help Desk” shall mean a BETA-managed help desk function that provides reactive
and proactive problem determination, resolution and /or tracking, as applicable,
under the Agreement. The Help Desk/Customer Service functions are set forth in
Exhibit 3.

 

“Hosting Services” shall mean the services, functions, responsibilities and
projects necessary for the provision of AGE’s trade processing and related
functions (including inquiry and reporting functions) using the BETA Core
Systems, including the services, functions, responsibilities and projects set
forth in Exhibit 3 and the services necessary to operate the BETA Core Systems
and provide transaction processing services to AGE in accordance with the System
Narrative.

 

“Identified Member” shall have the meaning set forth in Section 13.07.

 

“Improved Technology” shall mean any data processing or information technology
developments, including new developments in Software, Equipment or Tools, that
could be expected to have an impact on AGE’s business or on the provision or
receipt of the Services, to the extent known and made available within or by
BETA or BETA Agents.

 

“Indemnified Party” shall have the meaning set forth in Section 20.03.

 

“Indemnifying Party” shall have the meaning set forth in Section 20.03.

 

“Initial Agreement Expiration Date” shall mean the end of the eighty-sixth
(86th) full month (seven years and two months) after the Conversion Effective
Date.

 

“Initial Term” shall have the meaning set forth in Section 2.02.

 

“Interest” shall mean the Federal Funds Rate in effect from time to time.
“Federal Funds Rate” shall mean, for any period, a fluctuating interest rate per
annum equal for each day during such period to the weighted average of rates on
overnight federal funds

 

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transactions with members of the Federal Reserve System arranged by federal
funds brokers, as published for such day (or if such day is not a business day
or there is no such publication, for the next preceding business day or day on
which there is a publication) by the Federal Reserve Bank of New York.

 

“JCL” shall have the meaning set forth in Section 3.02 of Exhibit 3.

 

“Key Personnel” [                                                             
***                                                              ].

 

“Law” shall mean any declaration, decree, directive, legislative enactment,
statute, order, ordinance, regulation, rule or other binding action of or by any
Governmental Authority.

 

“Licensing Option” shall have the meaning set forth in Section 3.16.

 

“Losses” shall mean any damages (of every type), fines, penalties, deficiencies,
losses, liabilities (including settlements and judgments), costs or expenses
(including interest, court costs, reasonable fees and expenses of attorneys,
accountants, experts and other professionals or other reasonable fees and
expenses of litigation, mediation, arbitration or other actions or proceedings
or of any claim, default or assessment).

 

“NASD” shall have the meaning set forth in Section 12.01 of Exhibit 3.

 

“New Equipment” shall mean any Equipment, Software or Tools obtained by BETA on
behalf of AGE, as requested by AGE pursuant to Section 3.17.

 

“New Fees” shall mean the fees for New Services.

 

“New Service” shall mean any service that is outside the scope of the Designated
Services as of the Agreement Date.

 

“New Service Levels” shall mean any service level established by BETA and AGE in
connection with a New Service.

 

“Non-Breaching Party” shall have the meaning set forth in Section 24.03.

 

“Parties” shall mean AGE and BETA.

 

“Party” shall mean AGE or BETA, as applicable.

 

“PCR process” or “Project Change Request process” shall have the meaning set
forth in Section 6.03 of Exhibit 3.

 

“Pre-Conversion Agreement” shall mean the Pre-Conversion Agreement between the
Parties dated December 17, 2003.

 

“Procedures Manual” shall have the meaning set forth in Exhibit 12.

 

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“Project Staff” shall mean the personnel of BETA and BETA Agents who provide any
of the Services.

 

“Region” shall have the meaning set forth in Section 3.01 of Exhibit 3.

 

“Regulatory Requirements” shall mean, with respect to a Party, the Laws to which
such Party is required to submit or voluntarily submits.

 

“Related Documentation” shall mean, with respect to Software and Tools, all
materials, documentation, specifications, technical manuals, user manuals, flow
diagrams, file descriptions and other information that describe the function and
use of such Software or Tools.

 

“Renewal Term” shall have the meaning set forth in Section 2.03.

 

“Root Cause Analysis” shall mean the formal process, specified in the Procedures
Manual, to be used by BETA to diagnose the underlying cause of problems or
issues with the Software, Services or Equipment at the lowest reasonable level
so that corrective action can be taken for the purpose of avoiding repeat
failures.

 

“Satisfaction Survey” [                                        
                     ***                                         
                     ].

 

“SEC” shall have the meaning set forth in Section 12.01 of Exhibit 3.

 

“Securities Authorities” shall have the meaning set forth in Section 13.05.

 

“Service Level Credits” [                                        
                     ***                                         
                     ].

 

“Service Levels” shall mean the Designated Service Levels and the New Service
Levels.

 

“Service Location” shall mean any AGE Service Location or BETA Service Location.

 

“Services” shall mean (a) the Designated Services and (b) the New Services being
provided by BETA pursuant to this Agreement; and shall include, during a
Termination Assistance Period, the Termination Assistance Services.

 

“Software” shall mean any computer program that is used (e.g., read, compiled,
processed or manipulated) by, in or on Equipment, including: APIs; source code
or object code versions of applications programs, operating system software,
other programs, computer software languages and utilities; and Related
Documentation; in each case, in whatever form or media, including the tangible
media upon which they are recorded or printed, together with all corrections,
improvements, enhancements, modifications, updates and releases thereof.

 

“Systems” shall mean the Software, Tools and Equipment used to provide the
Services.

 

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“Term” shall mean the Initial Term and each Renewal Term, if any.

 

“Termination Assistance Period” shall mean each period of time, as designated by
AGE, commencing on the date a determination is made by AGE that there will be an
Assistance Event and continuing for up to 12 months after the commencement of
such Assistance Event, as designated by AGE, during which period BETA shall
provide the Termination Assistance Services.

 

“Termination Assistance Services” shall mean (a) the Services (including the
terminated, insourced, resourced or expired Services and, in each case, any
replacements thereof or supplements thereto), to the extent AGE requests such
Services during a Termination Assistance Period, (b) BETA’s cooperation with AGE
or any third party designated by AGE in the transfer of the Services (or
replacement or supplemental services) to AGE or a third party and (c) any New
Services requested by AGE in order to facilitate the transfer of the Services
(or replacement or supplemental services) to AGE or a third party.

 

“Tools” shall mean any development and performance testing tools, know-how,
methodologies, processes, technologies or algorithms and Related Documentation;
in each case, in whatever form or media, including the tangible media upon which
they are recorded or printed, together with all corrections, improvements,
enhancements, modifications, updates and releases thereof.

 

“Triggering Provisions” shall have the meaning set forth in Section 24.03.

 

“Use” shall mean to load, execute, compile, manipulate, process, store, purge,
transmit, receive, display, distribute, copy, maintain, modify, enhance and
create derivative works.

 

“User Acceptance Testing” or “UAT” shall have the meaning set forth in Section
6.01 of Exhibit 3.

 

“Vital Records” shall mean the records necessary to (a) resume operations of a
business, (b) reestablish the financial and legal status of a company and (c)
fulfill obligations to stock, or other equity, holders, employees, customers and
Governmental Authorities, in each case, as expeditiously as possible.

 

“Work Authorization” shall mean an authorization by AGE to BETA to perform a New
Service (including Development Services), which authorization (a) is provided in
a writing executed by the AGE Contract Manager and (b) contains a description of
the New Service to which it relates and any applicable New Service Levels,
specifies the New Fees to be paid for such New Service and specifies the
respective rights of the Parties in any Work Product resulting from such New
Service.

 

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EXHIBIT 2

TO HOSTING AND SERVICES AGREEMENT

 

DEFERRED GAPS

 

ARTICLE I

 

DEFERRED GAP RESOLUTIONS

 

Section 1.01 BETA Deferred Gap Resolutions.

 

The “BETA Deferred Gaps” are identified in Schedule A. BETA agrees to provide
all resources necessary to develop and implement those enhancements to the BETA
Core Systems required to resolve and eliminate all BETA Deferred Gaps (“BETA
Deferred Gap Resolutions”) in accordance with AGE Deferred Gap Requirements at
no development-related cost to AGE. The Parties acknowledge that the [***] FTEs
provided to AGE pursuant to Section 3.16 of the Agreement shall not be used or
otherwise applied towards BETA’s development and completion of the BETA Deferred
Gap Resolutions. Notwithstanding the foregoing, based upon the analysis
conducted by the Parties as of the date of this Agreement, the Parties do not
anticipate any infrastructure or other costs to AGE related to resolution of the
BETA Deferred Gaps. BETA will endeavor to ensure that its approach to resolving
the BETA Deferred Gaps will not result in additional costs to AGE. However, if
BETA is unable to reasonably resolve a BETA Deferred Gap without incurring
infrastructure or other similar costs, the Parties will mutually agree upon what
costs, if any, will be payable by AGE. BETA will develop and implement all BETA
Deferred Gap Resolutions in accordance with the procedures set forth in Article
II.

 

Section 1.02 BETA Deferred Gap Project Plan.

 

Attached hereto as Schedule B is a preliminary “BETA Deferred Gap Project Plan”,
which includes a description of tasks and schedule for resolution of the BETA
Deferred Gaps. The BETA Deferred Gap Project Plan attached as Schedule B is
preliminary only, historical in nature and does not represent the Parties’
current understanding with respect to the timing of certain deliverables by
BETA. The Parties will use reasonable efforts to continue to complete the tasks,
and the Parties agree to negotiate in good faith a final BETA Deferred Gap
Project Plan, including revising delivery dates where necessary, in accordance
with Section 3.19 of the Agreement. The final BETA Deferred Gap Project Plan
will be the governing plan and schedule for resolving the BETA Deferred Gaps.
BETA agrees to complete all BETA Deferred Gap Resolutions and provide all
technical deliverables in accordance with the final BETA Deferred Gap Project
Plan.

 

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Section 1.03 BETA Deferred Gap Fees.

 

So long as BETA is resolving the BETA Deferred Gaps in accordance with the BETA
Deferred Gap Project Plan as set forth in Section 2.02, commencing on the
Conversion Effective Date, AGE will pay BETA the sum of [        ***        ]
per month through [    ***    ] to resolve the BETA Deferred Gaps. In the event
that BETA fails to resolve the applicable BETA Deferred Gaps in accordance with
the dates set forth in the final BETA Deferred Gap Project Plan, AGE shall have
the right to withhold and defer payment for the applicable month until the end
of the month in which such milestone is achieved.

 

ARTICLE II

 

DEFERRED GAP PROCEDURES

 

Section 2.01 Schedule for BETA Deferred Gap Resolution.

 

BETA agrees to promptly notify AGE of any actual or anticipated deviations from
the preliminary or final BETA Deferred Gap Project Plan and escalate schedule
adjustment issues in order to ensure that all BETA Deferred Gaps are resolved
and all BETA Deferred Gap Project Plan activities are completed in accordance
with the BETA Deferred Gap Project Plan. Any changes to the BETA Deferred Gap
Project Plan must be approved by AGE in writing in accordance with the PCR
Process set forth in Exhibit 3. BETA will use its project reporting methodology
to notify AGE of any deviations from the BETA Deferred Gap Project Plan.

 

Section 2.02 Development of BETA Deferred Gap Resolutions.

 

Prior to developing any BETA Deferred Gap Resolutions, BETA will design the
proposed specifications for such resolutions and submit such design
specifications to AGE for review and sign-off in accordance with the following
approval process:

 

(a) Requirements. AGE will submit to BETA the AGE Deferred Gap Requirements for
each BETA Deferred Gap Resolution and technical deliverable using the “BETA
Systems User Request Form” attached as Schedule C. BETA will review and sign-off
on AGE’s requirements within five (5) business days or such other mutually
agreed upon time period. In addition to the requirements reflected on the BETA
Systems User Request Form, AGE also requires that each BETA Deferred Gap
Resolution function so that AGE can utilize the BETA Core Systems in the manner
represented in the architectural diagrams set forth in Exhibit 11 to the
Agreement. AGE further requires that each technical deliverable be provided so
that the technical deliverable is capable of being relied upon, incorporated
into or integrated with the AGE systems, so that AGE can utilize the BETA Core
Systems in the manner represented in the architectural diagrams set forth in
Exhibit 11. The requirements described in this Section shall be collectively
referred to as “AGE Deferred Gap Requirements.”

 

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(b) Deferred Gap Functional Specifications. For each BETA Deferred Gap
Resolution, prior to development, BETA will develop and document Deferred Gap
Functional Specifications based on AGE Deferred Gap Requirements and will submit
such specifications to AGE for review and sign-off. “Deferred Gap Functional
Specifications” means a document describing, among other things, the AGE
Deferred Gap Requirements, the affected business process and the proposed
enhancement to the BETA Core Systems. The BETA standard functional specification
document is attached as Schedule D. BETA agrees that all Deferred Gap Functional
Specifications submitted to AGE will document the components reflected in
Schedule D in at least the same level of detail as contained in Schedule D. AGE
will notify BETA of any defects or deficiencies in the Deferred Gap Functional
Specifications. BETA will correct such defects or deficiencies as promptly as
reasonably possible taking into consideration the nature of the BETA Deferred
Gap and the nature of the defect or deficiency in the Deferred Gap Functional
Specification. BETA will resubmit the corrected Deferred Gap Functional
Specifications to AGE for review and sign-off. AGE will submit its written
approval of the Deferred Gap Functional Specifications for each BETA Deferred
Gap Resolution using the form attached as Schedule E. No Deferred Gap Functional
Specification will be considered accepted until AGE’s written approval has been
submitted to BETA. Upon final written approval from AGE of a Deferred Gap
Functional Specification, BETA will proceed to develop the applicable BETA
Deferred Gap Resolution.

 

(c) Deferred Gap Technical Specifications. If required by the Deferred Gap
Project Plan, BETA will submit Deferred Gap Technical Specifications. “Deferred
Gap Technical Specifications” means a document describing the technical
components and features of a technical deliverable in sufficient detail to allow
AGE to either (1) design AGE Deferred Gap Resolutions relying upon and/or
incorporating the technical deliverable and/or (2) integrate the technical
deliverable with AGE’s systems. The Deferred Gap Technical Specifications will
not include the source code for any BETA or Thomson Financial proprietary
technical product. A sample Deferred Gap Technical Specification document is
attached as Schedule F. BETA agrees that all Deferred Gap Technical
Specifications submitted to AGE will document the components reflected in
Schedule F in at least the same level of detail as contained in Schedule F. AGE
will notify BETA of any defects or deficiencies in the Deferred Gap Technical
Specifications. BETA will promptly correct such defects or deficiencies and
resubmit the corrected Deferred Gap Technical Specifications to AGE for review
and approval. AGE will provide BETA with its preliminary approval of the
technical deliverable and Deferred Gap Technical Specifications following
satisfactory completion of the review process described in this Section. AGE’s
preliminary approval will be reflected in the form attached as Schedule E. Final
approval of each technical deliverable and Deferred Gap Technical Specification
will not be provided until AGE has successfully completed all testing of the
BETA Deferred Gap Resolution(s) and/or the AGE system that relies upon or
incorporates the technical deliverable. AGE’s final approval will be reflected
in the form attached as Schedule E.

 

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Section 2.03 Testing of BETA Deferred Gap Resolutions.

 

(a) BETA Testing. Prior to implementing any BETA Deferred Gap Resolutions, BETA
will conduct internal quality assurance tests of each resolution to validate
that all BETA Deferred Gap Resolutions function in accordance with Deferred Gap
Functional Specifications. Such testing will include unit and regression testing
of each BETA Deferred Gap Resolution. BETA will identify and correct any defects
or deficiencies discovered during its internal quality assurance testing.

 

(b) AGE Testing. Upon successful completion of BETA’s internal quality assurance
testing, BETA will submit each BETA Deferred Gap Resolution to AGE to allow AGE
to conduct its own testing. AGE will develop a test plan that will identify
AGE’s test approach and any assistance required from BETA to allow AGE to
conduct its testing. BETA agrees to provide all assistance reasonably required
and identified in AGE’s test plan to allow AGE to complete its testing. BETA’s
assistance will include: making the AGE Test Regions described in Exhibit 3
available to AGE as required to complete its testing and, making updates to the
AGE Test Regions as necessary to allow AGE to conduct its tests. AGE will
evaluate test results and BETA will promptly correct any defects or deficiencies
in each BETA Deferred Gap Resolution discovered during AGE’s testing and
resubmit the corrected BETA Deferred Gap Resolution to AGE for review and
sign-off. Following successful completion of AGE’s tests, AGE will submit its
written approval of each BETA Deferred Gap Resolution using the form attached as
Schedule G. No BETA Deferred Gap Resolution will be considered accepted until
AGE’s written approval has been submitted to BETA.

 

Section 2.04 Implementation of BETA Deferred Gap Resolutions.

 

BETA will implement all BETA Deferred Gap Resolutions that have been approved by
AGE by incorporating such gap resolutions into the production environment of the
BETA Core Systems that will be generally available to BETA’s customers,
including AGE.

 

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Schedule A to Exhibit 2

BETA Deffered Gaps

 

SCR

--------------------------------------------------------------------------------

  

GAP ID

--------------------------------------------------------------------------------

  

Description

--------------------------------------------------------------------------------

34-385

   MSGP27-2    [***]

34-393

   MSGP07-2    [***]

34-383

   MSGP47-2    [***]

34-380

   MSGP70-2    [***]

34-381

   MSGP53-2    [***]

34-518

   MFGPT65-2    [***]

34-513

   MFGPT77-2    [***]

34-505

   MFGPT100-2    [***]      MSGP05     

XX-XXX

   MFGPT112-2    [***]

34-498

   FCGP001-2    [***]

34-316

   MVGP35-2    [***]

34-658

   TLGP04    [***]

34-119

   TNGP01-2    [***]

34-121

   TNGP14-2    [***]

 

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34-465

   ROGP070-2    [***]

34-480

   ROGP050-2    [***]      ROGP30           ROGP47           ROGP60          
ROGP61           ROGP68     

34-580

   ROGP083-2    [***]

34-478

   ROGP044-2    [***]

XX-XXX

   ROGP84-2    [***]

34-579

   ROGP080-2    [***]

xx-xxx

   ROGP42-2    [***]

34-784

   BLEN001-2    [***]

34-132

   ATGP22-2    [***]

34-133

   ATGP23-2    [***]

34-279

   MGGP03-2    [***]      MGGP45     

34-267

   MGGP62-2    [***]      MGGP69     

34-265

   MGGP65-2    [***]

34-264

   MGGP67-2    [***]      MGGP04     

xx-xxx

   MGGP76-2    [***]      MGGP64     

 

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xx-xxx

   MGGP77-2    [***]      MGGP20     

34-900

   MGGP81    [***]

34-024

   CPGP27-2    [***]

34-075

   DCGP02-2    [***]

34-074

   DCGP03-2    [***]

34-071

   DCGP13-2    [***]

34-069

   DCGP21-2    [***]

XX-XXX

   AGEPCR#176    [***]

XX-XXX

   AUGP12    [***]

XX-XXX

   AUGP13    [***]

XX-XXX

   AUGP14    [***]

XX-XXX

   AUGP15    [***]

XX-XXX

   AUGP16    [***]

XX-XXX

   AUGP17    [***]

 

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XX-XXX

   AUGP18    [***]

XX-XXX

   AUGP19    [***]

XX-XXX

   AUGP20    [***]

XX-XXX

   AUGP21    [***]

XX-XXX

   AUGP22    [***]

XX-XXX

   AUGP23    [***]

XX-XXX

   AUGP24    [***]

XX-XXX

   AUGP25    [***]

34-055

   DVGP030-2    [***]

XX-XXX

   DVGP44-2    [***]      DVGP81    [***]

34-187

   TRGP31-2    [***]

XX-XXX

   TRGP34-2    [***]

34-190

   TRGP38-2    [***]

34-570

   TRGP41-2    [***]

 

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XX-XXX

   TRGP33-2    [***]

34-193

   TRGP53-2    [***]

34-300

   SMGP301-2    [***]

XX-XXX

   SMGP366-2    [***]      SMGP317    [***]      SMGP318    [***]

34-307

   P2GP030-2    [***]

34-044

   CKGP02-2    [***]

34-082

   CKGP13-2    [***]

34-078

   CKGP30-2    [***]

34-106

   BTGP03-2    [***]      BTGP02     

34-110

   BTGP022-2    [***]

34-244

   BTGP048-2    [***]

34-243

   BTGP049-2    [***]

XX-XXX

   BTGP053 -1    [***]

34-203

   OPGP002-2    [***]

34-205

   OEGP025-2    [***]

XX-XXX

   OEGP052 -2    [***]

 

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34-209

   OEGP071-2    [***]      OEGP175           OEGP219           OEGP090          
OEGP197           OEGP198           OEGP254     

34-219

   OEGP136-2    [***]

34-217

   OEGP181-2    [***]

34-215

   OEGP188-2    [***]

XX-XXX

   OEGP206-2    [***]

34-249

   OEGP248-2    [***]

34-511

   MFGPT092-2    [***]

34-245

   OEGP302-2    [***]

XX-XXX

   OEGP315 - 2    [***]

XX-XXX

   OEGP328    [***]

XX-XXX

   OEGP335    [***]

XX-XXX

   OEGP247    [***]

XX-XXX

   OEGP147    [***]

XX-XXX

   OEGP279    [***]

34-227

   OTGP021-2    [***]

 

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99-3994

   PSGP01-2    [***]

XX-XXX

   PSGP97-2    [***]

34-229

   PSGP27-2    [***]

34-426

   TMGP020-2    [***]

34-410

   TMGP022-2    [***]      TMGP23     

XX-XXX

   TMGP025-2    [***]

XX-XXX

   TMGP040-2    [***]      TMGP122     

XX-XXX

   TMGP042-2    [***]

XX-XXX

   TMGP047-2    [***]

XX-XXX

   TMGP048-2    [***]

34-561

   TMGP091-2    [***]

XX-XXX

   TMGP140-2    [***]

34-608

   TMGP221-2    [***]      TMGP164           TMGP165           TMGP168          
TMGP171           TMGP172           TMGP173           TMGP175           TMGP176
          TMGP177           TMGP178     

 

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     TMGP180           TMGP181           TMGP189           TMGP190          
TMGP196           TMGP197           TMGP198           TMGP201      34-324   
ESGP22-2    [***]      ESGP25           ESGP26           ESGP27      XX-XXX   
UTGP11-2    [***]      UTGP19           UTGP23           UTGP25           UTGP17
          UTGP30           UTGP60           UTGP62           UTGP72      34-642
   UTGP28-2    [***] xx-xxx    MAGP37-2    [***] 34-199    MAGP47-2    [***]
xx-xxx    MAGP52-2    [***] 34-202    MAGP26-2    [***]      MAGP27          
MAGP55      34-198    MAGP49-2    [***] 34-595    MAGP22-2    [***]

 

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     MAGP23     

34-596

   MAGP32-2    [***]

34-554

   TCGP12-2    [***]      TCGP22           TCGP23           TCGP25          
TCGP28           TCGP29     

34-542

   TCGP17-2    [***]

34-150

   GLGP07-2    [***]      TLGP13     

34-148

   SAGP16-2    [***]

34-147

   SAGP30-2    [***]      SAGP36     

34-146

   SAGP43-2    [***]

xx-xxx

   SAGP49-2    [***]

xx-xxx

   SAGP51-2    [***]

xx-xxx

   SAGP54-2    [***]

xx-xxx

   SAGP55-2    [***]

xx-xxx

   SAGP56-2    [***]

xx-xxx

   SAGP50-2    [***]

xx-xxx

   SAGP52-2    [***]

xx-xxx

   SAGP53-2    [***]

 

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SCHEDULE B

TO EXHIBIT 2

 

PRELIMINARY BETA DEFERRED GAP PROJECT PLAN

 

See attached documents:

 

B.1. AGE Customer Accounting BETA Gaps

 

B.2. AGE Securities Accounting BETA Gaps

 

B.3. AGE Trade Processing 2 BETA Gaps

 

B.4 AGE Info Processing BETA Gaps

 

B.5. AGE Trade Processing 1 Beta

 

B.6. AGE Cashier BETA Gaps

 

B.7. AGE Client and Advisor Services Gaps

 

AGE/BETA Confidential

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AGE Credit & Banking BETA Gaps

 

ID

--------------------------------------------------------------------------------

   SCR

--------------------------------------------------------------------------------

   Release

--------------------------------------------------------------------------------

   Gap Id

--------------------------------------------------------------------------------

  

Task Name

--------------------------------------------------------------------------------

   %
COMP

--------------------------------------------------------------------------------

   Work

--------------------------------------------------------------------------------

   Start
Date

--------------------------------------------------------------------------------

   Finish
Date

--------------------------------------------------------------------------------

  Resource
Names

--------------------------------------------------------------------------------

  On-Site
Resource
Name

--------------------------------------------------------------------------------

  Text30

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1                   [***]    [***]    [***]    [***]    [***]             2     
             [***]    [***]    [***]    [***]    [***]       [***]     3   
34-132         ATGP22-2    [***]    [***]    [***]    [***]    [***]       [***]
    4    34-132         ATGP22-2    [***]    [***]    [***]    [***]    [***]  
    [***]   [***] 5    34-132         ATGP22-2    [***]    [***]    [***]   
[***]    [***]   [***]   [***]   [***] 6    34-132         ATGP22-2    [***]   
[***]    [***]    [***]    [***]   [***]   [***]   [***] 7    34-132        
ATGP22-2    [***]    [***]    [***]    [***]    [***]       [***]   [***] 8   
34-132         ATGP22-2    [***]    [***]    [***]    [***]    [***]   [***]  
[***]   [***] 9    34-132         ATGP22-2    [***]    [***]    [***]    [***]
   [***]   [***]   [***]   [***] 10    34-132    CR48    ATGP22-2    [***]   
[***]    [***]    [***]    [***]   [***]   [***]   [***] 11    34-132        
ATGP22-2    [***]    [***]    [***]    [***]    [***]       [***]   [***] 12   
34-132         ATGP22-2    [***]    [***]    [***]    [***]    [***]       [***]
  [***] 13    34-133         ATGP23-2    [***]    [***]    [***]    [***]   
[***]       [***]     14    34-133         ATGP23-2    [***]    [***]    [***]
   [***]    [***]       [***]   [***] 15    34-133         ATGP23-2    [***]   
[***]    [***]    [***]    [***]   [***]   [***]   [***] 16    34-133        
ATGP23-2    [***]    [***]    [***]    [***]    [***]   [***]   [***]   [***] 17
   34-133         ATGP23-2    [***]    [***]    [***]    [***]    [***]      
[***]   [***] 18    34-133         ATGP23-2    [***]    [***]    [***]    [***]
   [***]   [***]   [***]   [***] 19    34-133         ATGP23-2    [***]    [***]
   [***]    [***]    [***]   [***]   [***]   [***] 20    34-133         ATGP23-2
   [***]    [***]    [***]    [***]    [***]   [***]   [***]   [***] 21   
34-133    CR63    ATGP23-2    [***]    [***]    [***]    [***]    [***]   [***]
  [***]   [***] 22    34-133         ATGP23-2    [***]    [***]    [***]   
[***]    [***]       [***]   [***] 23    34-133         ATGP23-2    [***]   
[***]    [***]    [***]    [***]       [***]   [***] 24                   [***]
   [***]    [***]    [***]    [***]       [***]     25    34-279        
MGGP03-2    [***]    [***]    [***]    [***]    [***]       [***]     26   
34-279         MGGP03-2    [***]    [***]    [***]    [***]    [***]       [***]
  [***] 27    34-279         MGGP03-2    [***]    [***]    [***]    [***]   
[***]   [***]   [***]   [***] 28    34-279         MGGP03-2    [***]    [***]   
[***]    [***]    [***]   [***]   [***]   [***] 29    34-279         MGGP03-2   
[***]    [***]    [***]    [***]    [***]       [***]   [***] 30    34-279     
   MGGP03-2    [***]    [***]    [***]    [***]    [***]   [***]   [***]   [***]
31    34-279         MGGP03-2    [***]    [***]    [***]    [***]    [***]  
[***]   [***]   [***] 32    34-279    CR52    MGGP03-2    [***]    [***]   
[***]    [***]    [***]   [***]   [***]   [***] 33    34-279         MGGP03-2   
[***]    [***]    [***]    [***]    [***]       [***]   [***] 34    34-279     
   MGGP03-2    [***]    [***]    [***]    [***]    [***]       [***]   [***] 35
   34-267         MGGP62-2    [***]    [***]    [***]    [***]    [***]      
[***]     36    34-267         MGGP62-2    [***]    [***]    [***]    [***]   
[***]       [***]   [***] 37    34-267         MGGP62-2    [***]    [***]   
[***]    [***]    [***]             38    34-267         MGGP62-2    [***]   
[***]    [***]    [***]    [***]   [***]   [***]   [***] 39    34-267        
MGGP62-2    [***]    [***]    [***]    [***]    [***]       [***]   [***] 40   
34-267         MGGP62-2    [***]    [***]    [***]    [***]    [***]   [***]  
[***]   [***] 41    34-267         MGGP62-2    [***]    [***]    [***]    [***]
   [***]   [***]   [***]   [***] 42    34-267    CR62    MGGP62-2    [***]   
[***]    [***]    [***]    [***]   [***]   [***]   [***] 43    34-267        
MGGP62-2    [***]    [***]    [***]    [***]    [***]       [***]   [***] 44   
34-267         MGGP62-2    [***]    [***]    [***]    [***]    [***]       [***]
  [***] 45    34-265         MGGP65-2    [***]    [***]    [***]    [***]   
[***]       [***]     46    34-265         MGGP65-2    [***]    [***]    [***]
   [***]    [***]       [***]   [***] 47    34-265         MGGP65-2    [***]   
[***]    [***]    [***]    [***]   [***]   [***]   [***] 48    34-265        
MGGP65-2    [***]    [***]    [***]    [***]    [***]   [***]   [***]   [***] 49
   34-265         MGGP65-2    [***]    [***]    [***]    [***]    [***]      
[***]   [***] 50    34-265         MGGP65-2    [***]    [***]    [***]    [***]
   [***]   [***]   [***]   [***] 51    34-265    CR58    MGGP65-2    [***]   
[***]    [***]    [***]    [***]   [***]   [***]   [***] 52    34-265        
MGGP65-2    [***]    [***]    [***]    [***]    [***]   [***]   [***]   [***] 53
   34-265         MGGP65-2    [***]    [***]    [***]    [***]    [***]      
[***]   [***] 54    34-265         MGGP65-2    [***]    [***]    [***]    [***]
   [***]       [***]   [***]

 

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   SCR

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55    34-264         MGGP67-2    [***]    [***]    [***]    [***]    [***]      
[***]     56    34-264         MGGP67-2    [***]    [***]    [***]    [***]   
[***]       [***]   [***] 57    34-264         MGGP67-2    [***]    [***]   
[***]    [***]    [***]   [***]   [***]   [***] 58    34-264         MGGP67-2   
[***]    [***]    [***]    [***]    [***]   [***]   [***]   [***] 59    34-264
        MGGP67-2    [***]    [***]    [***]    [***]    [***]       [***]  
[***] 60    34-264         MGGP67-2    [***]    [***]    [***]    [***]    [***]
  [***]   [***]   [***] 61    34-264         MGGP67-2    [***]    [***]    [***]
   [***]    [***]   [***]   [***]   [***] 62    34-264    CR66    MGGP67-2   
[***]    [***]    [***]    [***]    [***]   [***]   [***]   [***] 63    34-264
        MGGP67-2    [***]    [***]    [***]    [***]    [***]       [***]  
[***] 64    34-264         MGGP67-2    [***]    [***]    [***]    [***]    [***]
      [***]   [***] 65    xx-xxx         MGGP76-2    [***]    [***]    [***]   
[***]    [***]             66    xx-xxx         MGGP76-2    [***]    [***]   
[***]    [***]    [***]       [***]   [***] 67    xx-xxx         MGGP76-2   
[***]    [***]    [***]    [***]    [***]   [***]   [***]   [***] 68    xx-xxx
        MGGP76-2    [***]    [***]    [***]    [***]    [***]   [***]   [***]  
[***] 69    xx-xxx         MGGP76-2    [***]    [***]    [***]    [***]    [***]
      [***]   [***] 70    xx-xxx         MGGP76-2    [***]    [***]    [***]   
[***]    [***]   [***]   [***]   [***] 71    xx-xxx         MGGP76-2    [***]   
[***]    [***]    [***]    [***]   [***]   [***]   [***] 72    xx-xxx    CR60   
MGGP76-2    [***]    [***]    [***]    [***]    [***]   [***]   [***]   [***] 73
   xx-xxx         MGGP76-2    [***]    [***]    [***]    [***]    [***]      
[***]   [***] 74    xx-xxx         MGGP76-2    [***]    [***]    [***]    [***]
   [***]       [***]   [***] 75    xx-xxx         MGGP77-2    [***]    [***]   
[***]    [***]    [***]             76    xx-xxx         MGGP77-2    [***]   
[***]    [***]    [***]    [***]       [***]   [***] 77    xx-xxx        
MGGP77-2    [***]    [***]    [***]    [***]    [***]   [***]   [***]   [***] 78
   xx-xxx         MGGP77-2    [***]    [***]    [***]    [***]    [***]   [***]
  [***]   [***] 79    xx-xxx         MGGP77-2    [***]    [***]    [***]   
[***]    [***]       [***]   [***] 80    xx-xxx         MGGP77-2    [***]   
[***]    [***]    [***]    [***]   [***]   [***]   [***] 81    xx-xxx        
MGGP77-2    [***]    [***]    [***]    [***]    [***]   [***]   [***]   [***] 82
   xx-xxx    CR52    MGGP77-2    [***]    [***]    [***]    [***]    [***]  
[***]   [***]   [***] 83    xx-xxx         MGGP77-2    [***]    [***]    [***]
   [***]    [***]       [***]   [***] 84    xx-xxx         MGGP77-2    [***]   
[***]    [***]    [***]    [***]       [***]   [***]

 

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AGE Client Positions / Corporate Actions BETA Gaps

 

ID

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   SCR

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   Release

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   Gap Id

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Task Name

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   %
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  Work

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1                   [***]    [***]   [***]   [***]   [***]             2        
          [***]    [***]   [***]   [***]   [***]             3    34-055        
DVGP030-2    [***]    [***]   [***]   [***]   [***]       [***]     4    34-055
        DVGP030-2    [***]    [***]   [***]   [***]   [***]       [***]   [***]
5    34-055         DVGP030-2    [***]    [***]   [***]   [***]   [***]   [***]
  [***]   [***] 6    34-055         DVGP030-2    [***]    [***]   [***]   [***]
  [***]   [***]   [***]   [***] 7    34-055         DVGP030-2    [***]    [***]
  [***]   [***]   [***]       [***]   [***] 8    34-055         DVGP030-2   
[***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 9    34-055     
   DVGP030-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***]
10    34-055    CR65    DVGP030-2    [***]    [***]   [***]   [***]   [***]  
[***]   [***]   [***] 11    34-055         DVGP030-2    [***]    [***]   [***]  
[***]   [***]       [***]   [***] 12    34-055         DVGP030-2    [***]   
[***]   [***]   [***]   [***]       [***]   [***] 13    XX-XXX         DVGP44-2
   [***]    [***]   [***]   [***]   [***]       [***]     14    XX-XXX        
DVGP44-2    [***]    [***]   [***]   [***]   [***]       [***]   [***] 15   
XX-XXX         DVGP44-2    [***]    [***]   [***]   [***]   [***]   [***]  
[***]   [***] 16    XX-XXX         DVGP44-2    [***]    [***]   [***]   [***]  
[***]   [***]   [***]   [***] 17    XX-XXX         DVGP44-2    [***]    [***]  
[***]   [***]   [***]       [***]   [***] 18    XX-XXX         DVGP44-2    [***]
   [***]   [***]   [***]   [***]   [***]   [***]   [***] 19    XX-XXX        
DVGP44-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 20   
XX-XXX    CR66    DVGP44-2    [***]    [***]   [***]   [***]   [***]   [***]  
[***]   [***] 21    XX-XXX         DVGP44-2    [***]    [***]   [***]   [***]  
[***]       [***]   [***] 22    XX-XXX         DVGP44-2    [***]    [***]  
[***]   [***]   [***]       [***]   [***] 23                   [***]    [***]  
[***]   [***]   [***]       [***]     24    34-187         TRGP31-2    [***]   
[***]   [***]   [***]   [***]       [***]     25    34-187         TRGP31-2   
[***]    [***]   [***]   [***]   [***]       [***]   [***] 26    34-187        
TRGP31-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 27   
34-187         TRGP31-2    [***]    [***]   [***]   [***]   [***]   [***]  
[***]   [***] 28    34-187         TRGP31-2    [***]    [***]   [***]   [***]  
[***]       [***]   [***] 29    34-187         TRGP31-2    [***]    [***]  
[***]   [***]   [***]   [***]   [***]   [***] 30    34-187         TRGP31-2   
[***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 31    34-187     
   TRGP31-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 32
   34-187         TRGP31-2    [***]    [***]   [***]   [***]   [***]   [***]  
[***]   [***] 33    34-187    CR58    TRGP31-2    [***]    [***]   [***]   [***]
  [***]   [***]   [***]   [***] 34    34-187         TRGP31-2    [***]    [***]
  [***]   [***]   [***]       [***]   [***] 35    34-187         TRGP31-2   
[***]    [***]   [***]   [***]   [***]       [***]   [***] 36    XX-XXX        
TRGP34-2    [***]    [***]   [***]   [***]   [***]       [***]     37    XX-XXX
        TRGP34-2    [***]    [***]   [***]   [***]   [***]       [***]   [***]
38    XX-XXX         TRGP34-2    [***]    [***]   [***]   [***]   [***]   [***]
  [***]   [***] 39    XX-XXX         TRGP34-2    [***]    [***]   [***]   [***]
  [***]   [***]   [***]   [***] 40    XX-XXX         TRGP34-2    [***]    [***]
  [***]   [***]   [***]       [***]   [***] 41    XX-XXX         TRGP34-2   
[***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 42    XX-XXX     
   TRGP34-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 43
   XX-XXX    CR66    TRGP34-2    [***]    [***]   [***]   [***]   [***]   [***]
  [***]   [***] 44    XX-XXX         TRGP34-2    [***]    [***]   [***]   [***]
  [***]       [***]   [***] 45    XX-XXX         TRGP34-2    [***]    [***]  
[***]   [***]   [***]       [***]   [***] 46    34-190         TRGP38-2    [***]
   [***]   [***]   [***]   [***]       [***]    

 

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AGE Client Positions / Corporate Actions Beta Gaps

 

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   SCR

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Task Name

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   Work

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   Start
Date

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Date

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   On-Site
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47    34-190         TRGP38-2    [***]    [***]    [***]    [***]    [***]     
   [***]    [***] 48    34-190         TRGP38-2    [***]    [***]    [***]   
[***]    [***]    [***]    [***]    [***] 49    34-190         TRGP38-2    [***]
   [***]    [***]    [***]    [***]    [***]    [***]    [***] 50    34-190     
   TRGP38-2    [***]    [***]    [***]    [***]    [***]         [***]    [***]
51    34-190         TRGP38-2    [***]    [***]    [***]    [***]    [***]   
[***]    [***]    [***] 52    34-190         TRGP38-2    [***]    [***]    [***]
   [***]    [***]    [***]    [***]    [***] 53    34-190    CR55    TRGP38-2   
[***]    [***]    [***]    [***]    [***]    [***]    [***]    [***] 54   
34-190         TRGP38-2    [***]    [***]    [***]    [***]    [***]        
[***]    [***] 55    34-190         TRGP38-2    [***]    [***]    [***]    [***]
   [***]         [***]    [***] 56    34-570         TRGP41-2    [***]    [***]
   [***]    [***]    [***]         [***]      57    34-570         TRGP41-2   
[***]    [***]    [***]    [***]    [***]         [***]    [***] 58    34-570   
     TRGP41-2    [***]    [***]    [***]    [***]    [***]    [***]    [***]   
[***] 59    34-570         TRGP41-2    [***]    [***]    [***]    [***]    [***]
   [***]    [***]    [***] 60    34-570         TRGP41-2    [***]    [***]   
[***]    [***]    [***]         [***]    [***] 61    34-570         TRGP41-2   
[***]    [***]    [***]    [***]    [***]    [***]    [***]    [***] 62   
34-570         TRGP41-2    [***]    [***]    [***]    [***]    [***]    [***]   
[***]    [***] 63    34-570    CR59    TRGP41-2    [***]    [***]    [***]   
[***]    [***]    [***]    [***]    [***] 64    34-570         TRGP41-2    [***]
   [***]    [***]    [***]    [***]         [***]    [***] 65    34-570        
TRGP41-2    [***]    [***]    [***]    [***]    [***]         [***]    [***] 66
   XX-XXX         TRGP33-2    [***]    [***]    [***]    [***]    [***]        
[***]      67    XX-XXX         TRGP33-2    [***]    [***]    [***]    [***]   
[***]         [***]    [***] 68    XX-XXX         TRGP33-2    [***]    [***]   
[***]    [***]    [***]    [***]    [***]    [***] 69    XX-XXX         TRGP33-2
   [***]    [***]    [***]    [***]    [***]    [***]    [***]    [***] 70   
XX-XXX         TRGP33-2    [***]    [***]    [***]    [***]    [***]        
[***]    [***] 71    XX-XXX         TRGP33-2    [***]    [***]    [***]    [***]
   [***]    [***]    [***]    [***] 72    XX-XXX         TRGP33-2    [***]   
[***]    [***]    [***]    [***]    [***]    [***]    [***] 73    XX-XXX    CR55
   TRGP33-2    [***]    [***]    [***]    [***]    [***]    [***]    [***]   
[***] 74    XX-XXX         TRGP33-2    [***]    [***]    [***]    [***]    [***]
        [***]    [***] 75    XX-XXX         TRGP33-2    [***]    [***]    [***]
   [***]    [***]         [***]    [***] 76    34-193         TRGP53-2    [***]
   [***]    [***]    [***]    [***]         [***]      77    34-193        
TRGP53-2    [***]    [***]    [***]    [***]    [***]         [***]    [***] 78
   34-193         TRGP53-2    [***]    [***]    [***]    [***]    [***]    [***]
   [***]    [***] 79    34-193         TRGP53-2    [***]    [***]    [***]   
[***]    [***]    [***]    [***]    [***] 80    34-193         TRGP53-2    [***]
   [***]    [***]    [***]    [***]         [***]    [***] 81    34-193        
TRGP53-2    [***]    [***]    [***]    [***]    [***]    [***]    [***]    [***]
82    34-193         TRGP53-2    [***]    [***]    [***]    [***]    [***]   
[***]    [***]    [***] 83    34-193    CR61    TRGP53-2    [***]    [***]   
[***]    [***]    [***]    [***]    [***]    [***] 84    34-193         TRGP53-2
   [***]    [***]    [***]    [***]    [***]         [***]    [***] 85    34-193
        TRGP53-2    [***]    [***]    [***]    [***]    [***]         [***]   
[***] 86                   [***]    [***]    [***]    [***]    [***]          
     87    34-300         SMGP301-2    [***]    [***]    [***]    [***]    [***]
        [***]      88    34-300         SMGP301-2    [***]    [***]    [***]   
[***]    [***]         [***]    [***] 89    34-300         SMGP301-2    [***]   
[***]    [***]    [***]    [***]    [***]    [***]    [***] 90    34-300        
SMGP301-2    [***]    [***]    [***]    [***]    [***]    [***]    [***]   
[***] 91    34-300         SMGP301-2    [***]    [***]    [***]    [***]   
[***]         [***]    [***] 92    34-300         SMGP301-2    [***]    [***]   
[***]    [***]    [***]    [***]    [***]    [***]

 

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AGE Client Positions / Corporate Actions BETA Gaps

 

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   SCR

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   Release

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   Gap Id

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Task Name

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   %
COMP

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   Start
Date

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Date

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   Resource
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93    34-300         SMGP301-2    [***]    [***]    [***]    [***]    [***]   
[***]    [***]   [***] 94    34-300    CR44    SMGP301-2    [***]    [***]   
[***]    [***]    [***]    [***]    [***]   [***] 95    34-300         SMGP301-2
   [***]    [***]    [***]    [***]    [***]         [***]   [***] 96    34-300
        SMGP301-2    [***]    [***]    [***]    [***]    [***]         [***]  
[***] 97    XX-XXX         SMGP317-2    [***]    [***]    [***]    [***]   
[***]         [***]     98    XX-XXX         SMGP317-2    [***]    [***]   
[***]    [***]    [***]         [***]   [***] 99    XX-XXX         SMGP317-2   
[***]    [***]    [***]    [***]    [***]         [***]   [***] 100    XX-XXX   
     SMGP317-2    [***]    [***]    [***]    [***]    [***]         [***]  
[***] 101    XX-XXX         SMGP318-2    [***]    [***]    [***]    [***]   
[***]         [***]     102    XX-XXX         SMGP318-2    [***]    [***]   
[***]    [***]    [***]         [***]   [***] 103                   [***]   
[***]    [***]    [***]    [***]               104    XX-XXX         SMGP318-2
   [***]    [***]    [***]    [***]    [***]         [***]   [***] 105    XX-XXX
        SMGP318-2    [***]    [***]    [***]    [***]    [***]         [***]  
[***] 106    XX-XXX         SMGP366-2    [***]    [***]    [***]    [***]   
[***]         [***]     107    XX-XXX         SMGP366-2    [***]    [***]   
[***]    [***]    [***]         [***]   [***] 108    XX-XXX         SMGP366-2   
[***]    [***]    [***]    [***]    [***]    [***]    [***]   [***] 109   
XX-XXX         SMGP366-2    [***]    [***]    [***]    [***]    [***]    [***]
   [***]   [***] 110    XX-XXX         SMGP366-2    [***]    [***]    [***]   
[***]    [***]         [***]   [***] 111    XX-XXX         SMGP366-2    [***]   
[***]    [***]    [***]    [***]    [***]    [***]   [***] 112    XX-XXX        
SMGP366-2    [***]    [***]    [***]    [***]    [***]    [***]    [***]   [***]
113    XX-XXX         SMGP366-2    [***]    [***]    [***]    [***]    [***]   
[***]    [***]   [***] 114    XX-XXX         SMGP366-2    [***]    [***]   
[***]    [***]    [***]         [***]   [***] 115    XX-XXX         SMGP366-2   
[***]    [***]    [***]    [***]    [***]         [***]   [***] 116             
     [***]    [***]    [***]    [***]    [***]               117    34-307     
   P2GP030-2    [***]    [***]    [***]    [***]    [***]         [***]     118
   34-307         P2GP030-2    [***]    [***]    [***]    [***]    [***]        
[***]   [***] 119    34-307         P2GP030-2    [***]    [***]    [***]   
[***]    [***]    [***]    [***]   [***] 120    34-307         P2GP030-2   
[***]    [***]    [***]    [***]    [***]    [***]    [***]   [***] 121   
34-307         P2GP030-2    [***]    [***]    [***]    [***]    [***]        
[***]   [***] 122    34-307         P2GP030-2    [***]    [***]    [***]   
[***]    [***]    [***]    [***]   [***] 123    34-307         P2GP030-2   
[***]    [***]    [***]    [***]    [***]    [***]    [***]   [***] 124   
34-307    CR63    P2GP030-2    [***]    [***]    [***]    [***]    [***]   
[***]    [***]   [***] 125    34-307         P2GP030-2    [***]    [***]   
[***]    [***]    [***]         [***]   [***] 126    34-307         P2GP030-2   
[***]    [***]    [***]    [***]    [***]         [***]   [***] 127             
     [***]    [***]    [***]    [***]    [***]         [***]     128    34-044
        CKGP02-2    [***]    [***]    [***]    [***]    [***]         [***]    
129    34-044         CKGP02-2    [***]    [***]    [***]    [***]    [***]     
   [***]   [***] 130    34-044         CKGP02-2    [***]    [***]    [***]   
[***]    [***]    [***]    [***]   [***] 131    34-044         CKGP02-2    [***]
   [***]    [***]    [***]    [***]    [***]    [***]   [***] 132    34-044     
   CKGP02-2    [***]    [***]    [***]    [***]    [***]         [***]   [***]
133    34-044    CR54    CKGP02-2    [***]    [***]    [***]    [***]    [***]
   [***]    [***]   [***] 134    34-044         CKGP02-2    [***]    [***]   
[***]    [***]    [***]    [***]    [***]   [***] 135    34-044         CKGP02-2
   [***]    [***]    [***]    [***]    [***]    [***]    [***]   [***] 136   
34-044         CKGP02-2    [***]    [***]    [***]    [***]    [***]        
[***]   [***] 137    34-044         CKGP02-2    [***]    [***]    [***]    [***]
   [***]         [***]   [***] 138    34-082         CKGP13-2    [***]    [***]
   [***]    [***]    [***]         [***]    

 

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139    34-082         CKGP13-2    [***]    [***]    [***]    [***]    [***]     
   [***]   [***] 140    34-082         CKGP13-2    [***]    [***]    [***]   
[***]    [***]    [***]    [***]   [***] 141    34-082         CKGP13-2    [***]
   [***]    [***]    [***]    [***]    [***]    [***]   [***] 142    34-082     
   CKGP13-2    [***]    [***]    [***]    [***]    [***]         [***]   [***]
143    34-082         CKGP13-2    [***]    [***]    [***]    [***]    [***]   
[***]    [***]   [***] 144    34-082         CKGP13-2    [***]    [***]    [***]
   [***]    [***]    [***]    [***]   [***] 145    34-082         CKGP13-2   
[***]    [***]    [***]    [***]    [***]    [***]    [***]   [***] 146   
34-082         CKGP13-2    [***]    [***]    [***]    [***]    [***]    [***]   
[***]   [***] 147    34-082    CR60    CKGP13-2    [***]    [***]    [***]   
[***]    [***]    [***]    [***]   [***] 148    34-082         CKGP13-2    [***]
   [***]    [***]    [***]    [***]         [***]   [***] 149    34-082        
CKGP13-2    [***]    [***]    [***]    [***]    [***]         [***]   [***] 150
   34-078         CKGP30-2    [***]    [***]    [***]    [***]    [***]        
[***]     151    34-078         CKGP30-2    [***]    [***]    [***]    [***]   
[***]         [***]   [***] 152    34-078         CKGP30-2    [***]    [***]   
[***]    [***]    [***]               153    34-078         CKGP30-2    [***]   
[***]    [***]    [***]    [***]    [***]    [***]   [***] 154    34-078        
CKGP30-2    [***]    [***]    [***]    [***]    [***]         [***]   [***] 155
   34-078         CKGP30-2    [***]    [***]    [***]    [***]    [***]    [***]
   [***]   [***] 156    34-078         CKGP30-2    [***]    [***]    [***]   
[***]    [***]    [***]    [***]   [***] 157    34-078    CR63    CKGP30-2   
[***]    [***]    [***]    [***]    [***]    [***]    [***]   [***] 158   
34-078         CKGP30-2    [***]    [***]    [***]    [***]    [***]        
[***]   [***] 159    34-078         CKGP30-2    [***]    [***]    [***]    [***]
   [***]         [***]   [***] 160                                             
        

 

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1                   [***]    [***]    [***]    [***]    [***]                2
                  [***]    [***]    [***]    [***]    [***]         [***]      3
   34-324         ESGP22-2    [***]    [***]    [***]    [***]    [***]        
[***]      4    34-324         ESGP22-2    [***]    [***]    [***]    [***]   
[***]         [***]    [***] 5    34-324         ESGP22-2    [***]    [***]   
[***]    [***]    [***]    [***]    [***]    [***] 6    34-324         ESGP22-2
   [***]    [***]    [***]    [***]    [***]    [***]    [***]    [***] 7   
34-324         ESGP22-2    [***]    [***]    [***]    [***]    [***]        
[***]    [***] 8    34-324         ESGP22-2    [***]    [***]    [***]    [***]
   [***]    [***]    [***]    [***] 9    34-324         ESGP22-2    [***]   
[***]    [***]    [***]    [***]    [***]    [***]    [***] 10    34-324    CR66
   ESGP22-2    [***]    [***]    [***]    [***]    [***]    [***]    [***]   
[***] 11    34-324         ESGP22-2    [***]    [***]    [***]    [***]    [***]
        [***]    [***] 12    34-324         ESGP22-2    [***]    [***]    [***]
   [***]    [***]         [***]    [***] 13                   [***]    [***]   
[***]    [***]    [***]         [***]      14    XX-XXX         UTGP11-2   
[***]    [***]    [***]    [***]    [***]         [***]      15    XX-XXX     
   UTGP11-2    [***]    [***]    [***]    [***]    [***]         [***]    [***]
16    XX-XXX         UTGP11-2    [***]    [***]    [***]    [***]    [***]   
[***]    [***]    [***] 17    XX-XXX         UTGP11-2    [***]    [***]    [***]
   [***]    [***]    [***]    [***]    [***] 18    XX-XXX         UTGP11-2   
[***]    [***]    [***]    [***]    [***]         [***]    [***] 19    XX-XXX   
     UTGP11-2    [***]    [***]    [***]    [***]    [***]    [***]    [***]   
[***] 20    XX-XXX         UTGP11-2    [***]    [***]    [***]    [***]    [***]
   [***]    [***]    [***] 21    XX-XXX    CR52    UTGP11-2    [***]    [***]   
[***]    [***]    [***]    [***]    [***]    [***] 22    XX-XXX         UTGP11-2
   [***]    [***]    [***]    [***]    [***]         [***]    [***] 23    XX-XXX
        UTGP11-2    [***]    [***]    [***]    [***]    [***]         [***]     
24    34-642         UTGP28-2    [***]    [***]    [***]    [***]    [***]     
   [***]      25    34-642         UTGP28-2    [***]    [***]    [***]    [***]
   [***]         [***]      26    34-642         UTGP28-2    [***]    [***]   
[***]    [***]    [***]    [***]    [***]      27    34-642         UTGP28-2   
[***]    [***]    [***]    [***]    [***]    [***]    [***]      28    34-642   
     UTGP28-2    [***]    [***]    [***]    [***]    [***]         [***]      29
   34-642         UTGP28-2    [***]    [***]    [***]    [***]    [***]    [***]
   [***]      30    34-642         UTGP28-2    [***]    [***]    [***]    [***]
   [***]    [***]    [***]      31    34-642    CR60    UTGP28-2    [***]   
[***]    [***]    [***]    [***]    [***]    [***]      32    34-642        
UTGP28-2    [***]    [***]    [***]    [***]    [***]         [***]      33   
34-642         UTGP28-2    [***]    [***]    [***]    [***]    [***]        
[***]      34                   [***]    [***]    [***]    [***]    [***]     
   [***]      35    XX-XXX         MAGP37-2    [***]    [***]    [***]    [***]
   [***]                36    XX-XXX         MAGP37-2    [***]    [***]    [***]
   [***]    [***]         [***]    [***] 37    XX-XXX         MAGP37-2    [***]
   [***]    [***]    [***]    [***]    [***]    [***]    [***] 38    XX-XXX     
   MAGP37-2    [***]    [***]    [***]    [***]    [***]    [***]    [***]   
[***] 39    XX-XXX         MAGP37-2    [***]    [***]    [***]    [***]    [***]
        [***]    [***] 40    XX-XXX         MAGP37-2    [***]    [***]    [***]
   [***]    [***]    [***]    [***]    [***] 41    XX-XXX         MAGP37-2   
[***]    [***]    [***]    [***]    [***]    [***]    [***]    [***]

 

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42    XX-XXX    CR46    MAGP37-2    [***]    [***]   [***]   [***]   [***]  
[***]   [***]   [***] 43    XX-XXX         MAGP37-2    [***]    [***]   [***]  
[***]   [***]       [***]   [***] 44    XX-XXX         MAGP37-2    [***]   
[***]   [***]   [***]   [***]       [***]   [***] 45    34-199         MAGP47-2
   [***]    [***]   [***]   [***]   [***]       [***]     46    34-199        
MAGP47-2    [***]    [***]   [***]   [***]   [***]       [***]   [***] 47   
34-199         MAGP47-2    [***]    [***]   [***]   [***]   [***]   [***]  
[***]   [***] 48    34-199         MAGP47-2    [***]    [***]   [***]   [***]  
[***]   [***]   [***]   [***] 49    34-199         MAGP47-2    [***]    [***]  
[***]   [***]   [***]       [***]   [***] 50    34-199         MAGP47-2    [***]
   [***]   [***]   [***]   [***]   [***]   [***]   [***] 51    34-199        
MAGP47-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 52   
34-199    CR43    MAGP47-2    [***]    [***]   [***]   [***]   [***]   [***]  
[***]   [***] 53    34-199         MAGP47-2    [***]    [***]   [***]   [***]  
[***]       [***]   [***] 54    34-199         MAGP47-2    [***]    [***]  
[***]   [***]   [***]       [***]   [***] 55    XX-XXX         MAGP52-2    [***]
   [***]   [***]   [***]   [***]             56    XX-XXX         MAGP52-2   
[***]    [***]   [***]   [***]   [***]       [***]   [***] 57    XX-XXX        
MAGP52-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 58   
XX-XXX         MAGP52-2    [***]    [***]   [***]   [***]   [***]   [***]  
[***]   [***] 59    XX-XXX         MAGP52-2    [***]    [***]   [***]   [***]  
[***]       [***]   [***] 60    XX-XXX         MAGP52-2    [***]    [***]  
[***]   [***]   [***]   [***]   [***]   [***] 61    XX-XXX         MAGP52-2   
[***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 62    XX-XXX   
CR50    MAGP52-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]  
[***] 63    XX-XXX         MAGP52-2    [***]    [***]   [***]   [***]   [***]  
    [***]   [***] 64    XX-XXX         MAGP52-2    [***]    [***]   [***]  
[***]   [***]       [***]   [***] 65    34-202         MAGP26-2    [***]   
[***]   [***]   [***]   [***]       [***]     66    34-202         MAGP26-2   
[***]    [***]   [***]   [***]   [***]       [***]   [***] 67    34-202        
MAGP26-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 68   
34-202         MAGP26-2    [***]    [***]   [***]   [***]   [***]       [***]  
[***] 69    34-202         MAGP26-2    [***]    [***]   [***]   [***]   [***]  
[***]   [***]   [***] 70    34-202         MAGP26-2    [***]    [***]   [***]  
[***]   [***]   [***]   [***]   [***] 71    34-202         MAGP26-2    [***]   
[***]   [***]   [***]   [***]   [***]   [***]   [***] 72    34-202    CR55   
MAGP26-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 73   
34-202         MAGP26-2    [***]    [***]   [***]   [***]   [***]       [***]  
[***] 74    34-202         MAGP26-2    [***]    [***]   [***]   [***]   [***]  
    [***]   [***] 75    34-198         MAGP49-2    [***]    [***]   [***]  
[***]   [***]       [***]     76    34-198         MAGP49-2    [***]    [***]  
[***]   [***]   [***]       [***]   [***] 77    34-198         MAGP49-2    [***]
   [***]   [***]   [***]   [***]   [***]   [***]     78    34-198        
MAGP49-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 79   
34-198         MAGP49-2    [***]    [***]   [***]   [***]   [***]       [***]  
[***] 80    34-198         MAGP49-2    [***]    [***]   [***]   [***]   [***]  
[***]   [***]   [***] 81    34-198         MAGP49-2    [***]    [***]   [***]  
[***]   [***]   [***]   [***]   [***] 82    34-198    CR52    MAGP49-2    [***]
   [***]   [***]   [***]   [***]   [***]   [***]   [***]

 

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83    34-198         MAGP49-2    [***]    [***]   [***]   [***]   [***]      
[***]   [***] 84    34-198         MAGP49-2    [***]    [***]   [***]   [***]  
[***]       [***]   [***] 85    34-595         MAGP22-2    [***]    [***]  
[***]   [***]   [***]       [***]     86    34-595         MAGP22-2    [***]   
[***]   [***]   [***]   [***]       [***]   [***] 87    34-595         MAGP22-2
   [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 88    34-595
        MAGP22-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]  
[***] 89    34-1026         MAGP22-2    [***]    [***]   [***]   [***]   [***]  
[***]   [***]   [***] 90    34-595         MAGP22-2    [***]    [***]   [***]  
[***]   [***]       [***]   [***] 91    34-595         MAGP22-2    [***]   
[***]   [***]   [***]   [***]       [***]   [***] 92    34-595         MAGP22-2
   [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 93    34-1026
        MAGP22-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]  
[***] 94    34-595         MAGP22-2    [***]    [***]   [***]   [***]   [***]  
[***]   [***]   [***] 95    34-1026         MAGP22-2    [***]    [***]   [***]  
[***]   [***]   [***]   [***]   [***] 96    34-595    CR52    MAGP22-2    [***]
   [***]   [***]   [***]   [***]   [***]   [***]   [***] 97    34-595        
MAGP22-2    [***]    [***]   [***]   [***]   [***]       [***]   [***] 98   
34-595         MAGP22-2    [***]    [***]   [***]   [***]   [***]       [***]  
[***] 99    34-596         MAGP32-2    [***]    [***]   [***]   [***]   [***]  
    [***]     100    34-596         MAGP32-2    [***]    [***]   [***]   [***]  
[***]       [***]   [***] 101    34-596         MAGP32-2    [***]    [***]  
[***]   [***]   [***]   [***]   [***]   [***] 102    34-596         MAGP32-2   
[***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 103    34-596   
     MAGP32-2    [***]    [***]   [***]   [***]   [***]       [***]   [***] 104
   34-596         MAGP32-2    [***]    [***]   [***]   [***]   [***]   [***]  
[***]   [***] 105    34-596         MAGP32-2    [***]    [***]   [***]   [***]  
[***]   [***]   [***]   [***] 106    34-596         MAGP32-2    [***]    [***]  
[***]   [***]   [***]   [***]   [***]   [***] 107    34-596    CR55    MAGP32-2
   [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 108    34-596
        MAGP32-2    [***]    [***]   [***]   [***]   [***]       [***]   [***]
109    34-596         MAGP32-2    [***]    [***]   [***]   [***]   [***]      
[***]   [***] 110                   [***]    [***]   [***]   [***]   [***]      
[***]     111    34-554         TCGP12-2    [***]    [***]   [***]   [***]  
[***]       [***]     112    34-554         TCGP12-2    [***]    [***]   [***]  
[***]   [***]       [***]   [***] 113    34-554         TCGP12-2    [***]   
[***]   [***]   [***]   [***]   [***]   [***]   [***] 114    34-554        
TCGP12-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 115
   34-554         TCGP12-2    [***]    [***]   [***]   [***]   [***]       [***]
  [***] 116    34-554         TCGP12-2    [***]    [***]   [***]   [***]   [***]
  [***]   [***]   [***] 117    34-554         TCGP12-2    [***]    [***]   [***]
  [***]   [***]   [***]   [***]   [***] 118    34-554    CR52    TCGP12-2   
[***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 119    34-554   
     TCGP12-2    [***]    [***]   [***]   [***]   [***]       [***]   [***] 120
   34-554         TCGP12-2    [***]    [***]   [***]   [***]   [***]       [***]
  [***] 121    34-542         TCGP17-2    [***]    [***]   [***]   [***]   [***]
      [***]     122    34-542         TCGP17-2    [***]    [***]   [***]   [***]
  [***]       [***]   [***] 123    34-542         TCGP17-2    [***]    [***]  
[***]   [***]   [***]   [***]   [***]   [***]

 

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124    34-542         TCGP17-2    [***]    [***]   [***]   [***]   [***]   [***]
  [***]   [***] 125    34-542         TCGP17-2    [***]    [***]   [***]   [***]
  [***]       [***]   [***] 126    34-542         TCGP17-2    [***]    [***]  
[***]   [***]   [***]   [***]   [***]   [***] 127    34-542         TCGP17-2   
[***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 128    34-542   
CR51    TCGP17-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]  
[***] 129    34-542         TCGP17-2    [***]    [***]   [***]   [***]   [***]  
    [***]   [***] 130    34-542         TCGP17-2    [***]    [***]   [***]  
[***]   [***]       [***]   [***] 131                   [***]    [***]   [***]  
[***]   [***]       [***]     132    34-150         GLGP07-2    [***]    [***]  
[***]   [***]   [***]       [***]     133    34-150         GLGP07-2    [***]   
[***]   [***]   [***]   [***]       [***]   [***] 134    34-150         GLGP07-2
   [***]    [***]   [***]   [***]   [***]   [***]   [***]     135    34-150     
   GLGP07-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***]
136    34-150         GLGP07-2    [***]    [***]   [***]   [***]   [***]      
[***]   [***] 137    34-150         GLGP07-2    [***]    [***]   [***]   [***]  
[***]   [***]   [***]   [***] 138    34-150         GLGP07-2    [***]    [***]  
[***]   [***]   [***]   [***]   [***]   [***] 139    34-150    CR63    GLGP07-2
   [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 140    34-150
        GLGP07-2    [***]    [***]   [***]   [***]   [***]       [***]   [***]
141    34-150         GLGP07-2    [***]    [***]   [***]   [***]   [***]      
[***]   [***] 142                   [***]    [***]   [***]   [***]   [***]      
[***]     143    34-148         SAGP16-2    [***]    [***]   [***]   [***]  
[***]       [***]     144    34-148         SAGP16-2    [***]    [***]   [***]  
[***]   [***]       [***]   [***] 145    34-148         SAGP16-2    [***]   
[***]   [***]   [***]   [***]   [***]   [***]     146    34-148         SAGP16-2
   [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 147    34-148
        SAGP16-2    [***]    [***]   [***]   [***]   [***]       [***]   [***]
148    34-148         AUGP16    [***]    [***]   [***]   [***]   [***]   [***]  
      149    34-148         AUGP16    [***]    [***]   [***]   [***]   [***]    
        150    34-148         SAGP16-2    [***]    [***]   [***]   [***]   [***]
  [***]   [***]   [***] 151    XX-XXX         AUGP16    [***]    [***]   [***]  
[***]   [***]   [***]         152    XX-XXX         AUGP16    [***]    [***]  
[***]   [***]   [***]   [***]         153    XX-XXX         AUGP16    [***]   
[***]   [***]   [***]   [***]   [***]         154    34-148         SAGP16-2   
[***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 155    34-148   
CR47    SAGP16-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]  
[***] 156    34-148         SAGP16-2    [***]    [***]   [***]   [***]   [***]  
    [***]   [***] 157    34-148         SAGP16-2    [***]    [***]   [***]  
[***]   [***]       [***]   [***] 158    34-147         SAGP30-2    [***]   
[***]   [***]   [***]   [***]       [***]     159    34-147         SAGP30-2   
[***]    [***]   [***]   [***]   [***]       [***]   [***] 160    34-147        
SAGP30-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 161
   34-147         SAGP30-2    [***]    [***]   [***]   [***]   [***]       [***]
  [***] 162    34-147         SAGP30-2    [***]    [***]   [***]   [***]   [***]
  [***]   [***]   [***] 163    34-147         SAGP30-2    [***]    [***]   [***]
  [***]   [***]   [***]   [***]   [***] 164    34-147    CR40    SAGP30-2   
[***]    [***]   [***]   [***]   [***]   [***]   [***]   [***]

 

4

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AGE Enterprise Management BETA Gaps

 

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165    34-147         SAGP30-2    [***]    [***]   [***]   [***]   [***]      
[***]   [***] 166    34-147         SAGP30-2    [***]    [***]   [***]   [***]  
[***]       [***]   [***] 167    34-146         SAGP43-2    [***]    [***]  
[***]   [***]   [***]       [***]     168    34-146         SAGP43-2    [***]   
[***]   [***]   [***]   [***]       [***]   [***] 169    34-146         SAGP43-2
   [***]    [***]   [***]   [***]   [***]   [***]   [***]     170    34-146     
   SAGP43-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***]
171    34-146         SAGP43-2    [***]    [***]   [***]   [***]   [***]      
[***]   [***] 172    34-146         SAGP43-2    [***]    [***]   [***]   [***]  
[***]   [***]   [***]   [***] 173    34-146         SAGP43-2    [***]    [***]  
[***]   [***]   [***]   [***]   [***]   [***] 174    34-146    CR48    SAGP43-2
   [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 175    34-146
        SAGP43-2    [***]    [***]   [***]   [***]   [***]       [***]   [***]
176    34-146         SAGP43-2    [***]    [***]   [***]   [***]   [***]      
[***]   [***] 177    XX-XXX         SAGP49-2    [***]    [***]   [***]   [***]  
[***]       [***]     178    XX-XXX         SAGP49-2    [***]    [***]   [***]  
[***]   [***]       [***]   [***] 179    XX-XXX         SAGP49-2    [***]   
[***]   [***]   [***]   [***]   [***]   [***]     180    XX-XXX         SAGP49-2
   [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 181    XX-XXX
        SAGP49-2    [***]    [***]   [***]   [***]   [***]       [***]   [***]
182    XX-XXX         SAGP49-2    [***]    [***]   [***]   [***]   [***]   [***]
  [***]   [***] 183    XX-XXX         SAGP49-2    [***]    [***]   [***]   [***]
  [***]   [***]   [***]   [***] 184    XX-XXX    CR39    SAGP49-2    [***]   
[***]   [***]   [***]   [***]   [***]   [***]   [***] 185    XX-XXX        
SAGP49-2    [***]    [***]   [***]   [***]   [***]       [***]   [***] 186   
XX-XXX         SAGP49-2    [***]    [***]   [***]   [***]   [***]       [***]  
[***] 187    XX-XXX         SAGP51-2    [***]    [***]   [***]   [***]   [***]  
    [***]     188    XX-XXX         SAGP51-2    [***]    [***]   [***]   [***]  
[***]       [***]   [***] 189    XX-XXX         SAGP51-2    [***]    [***]  
[***]   [***]   [***]   [***]   [***]     190    XX-XXX         SAGP51-2   
[***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 191    XX-XXX   
     SAGP51-2    [***]    [***]   [***]   [***]   [***]       [***]   [***] 192
   XX-XXX         SAGP51-2    [***]    [***]   [***]   [***]   [***]   [***]  
[***]   [***] 193    XX-XXX         SAGP51-2    [***]    [***]   [***]   [***]  
[***]   [***]   [***]   [***] 194    XX-XXX    CR43    SAGP51-2    [***]   
[***]   [***]   [***]   [***]   [***]   [***]   [***] 195    XX-XXX        
SAGP51-2    [***]    [***]   [***]   [***]   [***]       [***]   [***] 196   
XX-XXX         SAGP51-2    [***]    [***]   [***]   [***]   [***]       [***]  
[***] 197    XX-XXX         SAGP54-2    [***]    [***]   [***]   [***]   [***]  
    [***]     198    XX-XXX         SAGP54-2    [***]    [***]   [***]   [***]  
[***]       [***]   [***] 199    XX-XXX         SAGP54-2    [***]    [***]  
[***]   [***]   [***]   [***]   [***]     200    XX-XXX         SAGP54-2   
[***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 201    XX-XXX   
     SAGP54-2    [***]    [***]   [***]   [***]   [***]       [***]   [***] 202
   XX-XXX         SAGP54-2    [***]    [***]   [***]   [***]   [***]   [***]  
[***]   [***] 203    XX-XXX         SAGP54-2    [***]    [***]   [***]   [***]  
[***]   [***]   [***]   [***] 204    XX-XXX    CR47    SAGP54-2    [***]   
[***]   [***]   [***]   [***]   [***]   [***]   [***] 205    XX-XXX        
SAGP54-2    [***]    [***]   [***]   [***]   [***]       [***]   [***]

 

5

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AGE Enterprise Management BETA Gaps

 

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   SCR

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   Release

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   Gap Id

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206    XX-XXX         SAGP54-2    [***]    [***]   [***]   [***]   [***]      
[***]   [***] 207    XX-XXX         SAGP55-2    [***]    [***]   [***]   [***]  
[***]       [***]     208    XX-XXX         SAGP55-2    [***]    [***]   [***]  
[***]   [***]       [***]   [***] 209    XX-XXX         SAGP55-2    [***]   
[***]   [***]   [***]   [***]   [***]   [***]     210    XX-XXX         SAGP55-2
   [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 211    XX-XXX
        SAGP55-2    [***]    [***]   [***]   [***]   [***]       [***]   [***]
212    XX-XXX         SAGP55-2    [***]    [***]   [***]   [***]   [***]   [***]
  [***]   [***] 213    XX-XXX         SAGP55-2    [***]    [***]   [***]   [***]
  [***]   [***]   [***]   [***] 214    XX-XXX    CR48    SAGP55-2    [***]   
[***]   [***]   [***]   [***]   [***]   [***]   [***] 215    XX-XXX        
SAGP55-2    [***]    [***]   [***]   [***]   [***]       [***]   [***] 216   
XX-XXX         SAGP55-2    [***]    [***]   [***]   [***]   [***]       [***]  
[***] 217    XX-XXX         SAGP56-2    [***]    [***]   [***]   [***]   [***]  
    [***]     218    XX-XXX         SAGP56-2    [***]    [***]   [***]   [***]  
[***]       [***]   [***] 219    XX-XXX         SAGP56-2    [***]    [***]  
[***]   [***]   [***]   [***]   [***]     220    XX-XXX         SAGP56-2   
[***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 221    XX-XXX   
     SAGP56-2    [***]    [***]   [***]   [***]   [***]       [***]   [***] 222
   XX-XXX         SAGP56-2    [***]    [***]   [***]   [***]   [***]   [***]  
[***]   [***] 223    XX-XXX         SAGP56-2    [***]    [***]   [***]   [***]  
[***]   [***]   [***]   [***] 224    XX-XXX    CR52    SAGP56-2    [***]   
[***]   [***]   [***]   [***]   [***]   [***]   [***] 225    XX-XXX        
SAGP56-2    [***]    [***]   [***]   [***]   [***]       [***]   [***] 226   
XX-XXX         SAGP56-2    [***]    [***]   [***]   [***]   [***]       [***]  
[***] 227    XX-XXX         SAGP50-2    [***]    [***]   [***]   [***]   [***]  
    [***]     228    XX-XXX         SAGP50-2    [***]    [***]   [***]   [***]  
[***]       [***]   [***] 229    XX-XXX         SAGP50-2    [***]    [***]  
[***]   [***]   [***]   [***]   [***]     230    XX-XXX         SAGP50-2   
[***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 231    XX-XXX   
     SAGP50-2    [***]    [***]   [***]   [***]   [***]       [***]   [***] 232
   XX-XXX         SAGP50-2    [***]    [***]   [***]   [***]   [***]   [***]  
[***]   [***] 233    XX-XXX         SAGP50-2    [***]    [***]   [***]   [***]  
[***]   [***]   [***]   [***] 234    XX-XXX    CR57    SAGP50-2    [***]   
[***]   [***]   [***]   [***]   [***]   [***]   [***] 235    XX-XXX        
SAGP50-2    [***]    [***]   [***]   [***]   [***]       [***]   [***] 236   
XX-XXX         SAGP50-2    [***]    [***]   [***]   [***]   [***]       [***]  
[***] 237    XX-XXX         SAGP52-2    [***]    [***]   [***]   [***]   [***]  
    [***]     238    XX-XXX         SAGP52-2    [***]    [***]   [***]   [***]  
[***]       [***]   [***] 239    XX-XXX         SAGP52-2    [***]    [***]  
[***]   [***]   [***]   [***]   [***]     240    XX-XXX         SAGP52-2   
[***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 241    XX-XXX   
     SAGP52-2    [***]    [***]   [***]   [***]   [***]       [***]   [***] 242
   XX-XXX         SAGP52-2    [***]    [***]   [***]   [***]   [***]   [***]  
[***]   [***] 243    XX-XXX         SAGP52-2    [***]    [***]   [***]   [***]  
[***]   [***]   [***]   [***] 244    XX-XXX    CR54    SAGP52-2    [***]   
[***]   [***]   [***]   [***]   [***]   [***]   [***] 245    XX-XXX        
SAGP52-2    [***]    [***]   [***]   [***]   [***]       [***]   [***] 246   
XX-XXX         SAGP52-2    [***]    [***]   [***]   [***]   [***]       [***]  
[***]

 

6

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AGE Enterprise Management BETA Gaps

 

ID

--------------------------------------------------------------------------------

   SCR

--------------------------------------------------------------------------------

   Release

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   Gap Id

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Task Name

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   %
COMP

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Names

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247    XX-XXX         SAGP53-2    [***]    [***]   [***]   [***]   [***]      
[***]     248    XX-XXX         SAGP53-2    [***]    [***]   [***]   [***]  
[***]       [***]   [***] 249    XX-XXX         SAGP53-2    [***]    [***]  
[***]   [***]   [***]   [***]   [***]     250    XX-XXX         SAGP53-2   
[***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 251    XX-XXX   
     SAGP53-2    [***]    [***]   [***]   [***]   [***]       [***]   [***] 252
   XX-XXX         SAGP53-2    [***]    [***]   [***]   [***]   [***]   [***]  
[***]   [***] 253    XX-XXX         SAGP53-2    [***]    [***]   [***]   [***]  
[***]   [***]   [***]   [***] 254    XX-XXX    CR58    SAGP53-2    [***]   
[***]   [***]   [***]   [***]   [***]   [***]   [***] 255    XX-XXX        
SAGP53-2    [***]    [***]   [***]   [***]   [***]       [***]   [***] 256   
XX-XXX         SAGP53-2    [***]    [***]   [***]   [***]   [***]       [***]  
[***]

 

7

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AGE Info Processing BETA Gaps

 

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   Gap Id

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1                   [***]    [***]   [***]   [***]   [***]             2        
          [***]    [***]   [***]   [***]   [***]             3    34-900        
MGGP81    [***]    [***]   [***]   [***]   [***]             4    34-900        
MGGP81    [***]    [***]   [***]   [***]   [***]             5    34-900        
MGGP81    [***]    [***]   [***]   [***]   [***]   [***]         6    34-900   
     MGGP81    [***]    [***]   [***]   [***]   [***]   [***]         7   
34-900         MGGP81    [***]    [***]   [***]   [***]   [***]             8   
34-900         MGGP81    [***]    [***]   [***]   [***]   [***]   [***]        
9    34-900         MGGP81    [***]    [***]   [***]   [***]   [***]   [***]    
    10    34-900    CR65    MGGP81    [***]    [***]   [***]   [***]   [***]  
[***]         11    34-900         MGGP81    [***]    [***]   [***]   [***]  
[***]             12    34-900         MGGP81    [***]    [***]   [***]   [***]
  [***]             13                   [***]    [***]   [***]   [***]   [***]
      [***]     14    34-024         CPGP27-2    [***]    [***]   [***]   [***]
  [***]       [***]     15    34-024         CPGP27-2    [***]    [***]   [***]
  [***]   [***]       [***]     16    34-024         CPGP27-2    [***]    [***]
  [***]   [***]   [***]   [***]   [***]     17    34-024         CPGP27-2   
[***]    [***]   [***]   [***]   [***]   [***]   [***]     18    34-024        
CPGP27-2    [***]    [***]   [***]   [***]   [***]       [***]     19    34-024
        CPGP27-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]    
20    34-024         CPGP27-2    [***]    [***]   [***]   [***]   [***]   [***]
  [***]     21    34-024    CR34    CPGP27-2    [***]    [***]   [***]   [***]  
[***]   [***]   [***]     22    34-024         CPGP27-2    [***]    [***]  
[***]   [***]   [***]       [***]     23    34-024         CPGP27-2    [***]   
[***]   [***]   [***]   [***]       [***]     24                   [***]   
[***]   [***]   [***]   [***]       [***]     25    34-075         DCGP02-2   
[***]    [***]   [***]   [***]   [***]       [***]     26    34-075        
DCGP02-2    [***]    [***]   [***]   [***]   [***]       [***]   [***] 27   
34-075         DCGP02-2    [***]    [***]   [***]   [***]   [***]   [***]  
[***]   [***] 28    34-075         DCGP02-2    [***]    [***]   [***]   [***]  
[***]   [***]   [***]   [***] 29    34-075         DCGP02-2    [***]    [***]  
[***]   [***]   [***]       [***]   [***] 30    34-075         DCGP02-2    [***]
   [***]   [***]   [***]   [***]   [***]   [***]   [***] 31    34-075        
DCGP02-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 32   
34-075    CR51    DCGP02-2    [***]    [***]   [***]   [***]   [***]   [***]  
[***]   [***] 33    34-075         DCGP02-2    [***]    [***]   [***]   [***]  
[***]       [***]   [***] 34    34-075         DCGP02-2    [***]    [***]  
[***]   [***]   [***]       [***]   [***] 35    34-074         DCGP03-2    [***]
   [***]   [***]   [***]   [***]       [***]     36    34-074         DCGP03-2
   [***]    [***]   [***]   [***]   [***]       [***]   [***] 37    34-074     
   DCGP03-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 38
   34-074         DCGP03-2    [***]    [***]   [***]   [***]   [***]   [***]  
[***]   [***] 39    34-074         DCGP03-2    [***]    [***]   [***]   [***]  
[***]       [***]   [***] 40    34-074         DCGP03-2    [***]    [***]  
[***]   [***]   [***]   [***]   [***]   [***] 41    34-074         DCGP03-2   
[***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 42    34-074   
CR51    DCGP03-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]  
[***] 43    34-074         DCGP03-2    [***]    [***]   [***]   [***]   [***]  
    [***]   [***] 44    34-074         DCGP03-2    [***]    [***]   [***]  
[***]   [***]       [***]   [***] 45    34-071         DCGP13-2    [***]   
[***]   [***]   [***]   [***]       [***]     46    34-071         DCGP13-2   
[***]    [***]   [***]   [***]   [***]       [***]   [***] 47    34-071        
DCGP13-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 48   
34-071         DCGP13-2    [***]    [***]   [***]   [***]   [***]   [***]  
[***]   [***]

 

1

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49    34-071         DCGP13-2    [***]    [***]   [***]   [***]   [***]   [***]
  [***]   [***] 50    34-071         DCGP13-2    [***]    [***]   [***]   [***]
  [***]   [***]   [***]   [***] 51    34-071         DCGP13-2    [***]    [***]
  [***]   [***]   [***]       [***]   [***] 52    34-071         DCGP13-2   
[***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 53    34-071     
   DCGP13-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 54
   34-071    CR62    DCGP13-2    [***]    [***]   [***]   [***]   [***]   [***]
  [***]   [***] 55    34-071         DCGP13-2    [***]    [***]   [***]   [***]
  [***]       [***]   [***] 56    34-071         DCGP13-2    [***]    [***]  
[***]   [***]   [***]       [***]   [***] 57    34-069         DCGP21-2    [***]
   [***]   [***]   [***]   [***]       [***]     58    34-069         DCGP21-2
   [***]    [***]   [***]   [***]   [***]       [***]   [***] 59    34-069     
   DCGP21-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 60
   34-069         DCGP21-2    [***]    [***]   [***]   [***]   [***]   [***]  
[***]   [***] 61    34-069         DCGP21-2    [***]    [***]   [***]   [***]  
[***]       [***]   [***] 62    34-069         DCGP21-2    [***]    [***]  
[***]   [***]   [***]   [***]   [***]   [***] 63    34-069         DCGP21-2   
[***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 64    34-069   
CR63    DCGP21-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]  
[***] 65    34-069         DCGP21-2    [***]    [***]   [***]   [***]   [***]  
    [***]   [***] 66    34-069         DCGP21-2    [***]    [***]   [***]  
[***]   [***]       [***]   [***] 67                   [***]    [***]   [***]  
[***]   [***]             68    XX-XXX         AUGP26-2    [***]    [***]  
[***]   [***]   [***]       [***]     69    XX-XXX         AUGP26-2    [***]   
[***]   [***]   [***]   [***]       [***]   [***] 70    XX-XXX         AUGP26-2
   [***]    [***]   [***]   [***]   [***]   [***]         71    XX-XXX        
AUGP26-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 72   
XX-XXX         AUGP26-2    [***]    [***]   [***]   [***]   [***]   [***]  
[***]   [***] 73    XX-XXX         AUGP26-2    [***]    [***]   [***]   [***]  
[***]   [***]   [***]   [***] 74    XX-XXX         AUGP26-2    [***]    [***]  
[***]   [***]   [***]   [***]   [***]   [***] 75    XX-XXX         AUGP26-2   
[***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 76    XX-XXX   
CR41    AUGP26-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]  
[***] 77    XX-XXX         AUGP26-2    [***]    [***]   [***]   [***]   [***]  
[***]   [***]   [***] 78    XX-XXX         AUGP26-2    [***]    [***]   [***]  
[***]   [***]       [***]   [***] 79    XX-XXX         AUGP26-2    [***]   
[***]   [***]   [***]   [***]       [***]   [***] 80    XX-XXX         AUGP12-2
   [***]    [***]   [***]   [***]   [***]       [***]   [***] 81    XX-XXX     
   AUGP12-2    [***]    [***]   [***]   [***]   [***]       [***]   [***] 82   
XX-XXX         AUGP12-2    [***]    [***]   [***]   [***]   [***]   [***]      
  83    XX-XXX         AUGP12-2    [***]    [***]   [***]   [***]   [***]  
[***]   [***]   [***] 84    XX-XXX         AUGP12-2    [***]    [***]   [***]  
[***]   [***]             85    XX-XXX         AUGP12-2    [***]    [***]  
[***]   [***]   [***]   [***]         86    XX-XXX         AUGP12-2    [***]   
[***]   [***]   [***]   [***]   [***]         87    XX-XXX         AUGP12-2   
[***]    [***]   [***]   [***]   [***]   [***]         88    XX-XXX        
AUGP12-2    [***]    [***]   [***]   [***]   [***]   [***]         89    XX-XXX
        AUGP12-2    [***]    [***]   [***]   [***]   [***]   [***]         90   
XX-XXX    CR50    AUGP12-2    [***]    [***]   [***]   [***]   [***]   [***]    
    91    XX-XXX         AUGP12-2    [***]    [***]   [***]   [***]   [***]    
        92    XX-XXX         AUGP12-2    [***]    [***]   [***]   [***]   [***]
            93    XX-XXX         AUGP13-2    [***]    [***]   [***]   [***]  
[***]       [***]   [***] 94    XX-XXX         AUGP13    [***]    [***]   [***]
  [***]   [***]       [***]   [***] 95    XX-XXX         AUGP13    [***]   
[***]   [***]   [***]   [***]   [***]         96    XX-XXX         AUGP13   
[***]    [***]   [***]   [***]   [***]   [***]   [***]   [***]

 

2

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97    XX-XXX         AUGP13    [***]    [***]   [***]   [***]   [***]          
  98    XX-XXX         AUGP13    [***]    [***]   [***]   [***]   [***]   [***]
        99    XX-XXX         AUGP13    [***]    [***]   [***]   [***]   [***]  
[***]         100    XX-XXX         AUGP13    [***]    [***]   [***]   [***]  
[***]   [***]         101    XX-XXX         AUGP13    [***]    [***]   [***]  
[***]   [***]   [***]         102    XX-XXX         AUGP13    [***]    [***]  
[***]   [***]   [***]   [***]         103    XX-XXX    CR52    AUGP13    [***]
   [***]   [***]   [***]   [***]   [***]         104    XX-XXX         AUGP13   
[***]    [***]   [***]   [***]   [***]             105    XX-XXX         AUGP13
   [***]    [***]   [***]   [***]   [***]             106    XX-XXX        
AUGP14    [***]    [***]   [***]   [***]   [***]       [***]   [***] 107   
XX-XXX         AUGP14    [***]    [***]   [***]   [***]   [***]       [***]  
[***] 108    XX-XXX         AUGP14    [***]    [***]   [***]   [***]   [***]  
[***]         109    XX-XXX         AUGP14    [***]    [***]   [***]   [***]  
[***]   [***]   [***]   [***] 110    XX-XXX         AUGP14    [***]    [***]  
[***]   [***]   [***]             111    XX-XXX         AUGP14    [***]    [***]
  [***]   [***]   [***]   [***]         112    XX-XXX         AUGP14    [***]   
[***]   [***]   [***]   [***]   [***]         113    XX-XXX         AUGP14   
[***]    [***]   [***]   [***]   [***]   [***]         114    XX-XXX        
AUGP14    [***]    [***]   [***]   [***]   [***]   [***]         115    XX-XXX
        AUGP14    [***]    [***]   [***]   [***]   [***]   [***]         116   
XX-XXX    CR61    AUGP14    [***]    [***]   [***]   [***]   [***]   [***]      
  117    XX-XXX         AUGP14    [***]    [***]   [***]   [***]   [***]        
    118    XX-XXX         AUGP14    [***]    [***]   [***]   [***]   [***]      
      119    XX-XXX         AUGP15    [***]    [***]   [***]   [***]   [***]    
  [***]   [***] 120    XX-XXX         AUGP15    [***]    [***]   [***]   [***]  
[***]       [***]   [***] 121    XX-XXX         AUGP15    [***]    [***]   [***]
  [***]   [***]   [***]         122    XX-XXX         AUGP15    [***]    [***]  
[***]   [***]   [***]   [***]   [***]   [***] 123    XX-XXX         AUGP15   
[***]    [***]   [***]   [***]   [***]             124    XX-XXX         AUGP15
   [***]    [***]   [***]   [***]   [***]   [***]         125    XX-XXX        
AUGP15    [***]    [***]   [***]   [***]   [***]   [***]         126    XX-XXX
        AUGP15    [***]    [***]   [***]   [***]   [***]   [***]         127   
XX-XXX         AUGP15    [***]    [***]   [***]   [***]   [***]   [***]        
128    XX-XXX         AUGP15    [***]    [***]   [***]   [***]   [***]   [***]  
      129    XX-XXX    CR64    AUGP15    [***]    [***]   [***]   [***]   [***]
  [***]         130    XX-XXX         AUGP15    [***]    [***]   [***]   [***]  
[***]             131    XX-XXX         AUGP15    [***]    [***]   [***]   [***]
  [***]             132    XX-XXX         AUGP16    [***]    [***]   [***]  
[***]   [***]       [***]   [***] 133    XX-XXX         AUGP16    [***]    [***]
  [***]   [***]   [***]       [***]   [***] 134    XX-XXX         AUGP16   
[***]    [***]   [***]   [***]   [***]   [***]         135    XX-XXX        
AUGP16    [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 136   
XX-XXX         AUGP16    [***]    [***]   [***]   [***]   [***]             137
   XX-XXX         AUGP16    [***]    [***]   [***]   [***]   [***]   [***]      
  138    XX-XXX         AUGP16    [***]    [***]   [***]   [***]   [***]   [***]
        139    XX-XXX         AUGP16    [***]    [***]   [***]   [***]   [***]  
[***]         140    XX-XXX         AUGP16    [***]    [***]   [***]   [***]  
[***]   [***]         141    XX-XXX         AUGP16    [***]    [***]   [***]  
[***]   [***]   [***]         142    XX-XXX    CR50    AUGP16    [***]    [***]
  [***]   [***]   [***]   [***]         143    XX-XXX         AUGP16    [***]   
[***]   [***]   [***]   [***]             144    XX-XXX         AUGP16    [***]
   [***]   [***]   [***]   [***]            

 

3

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AGE Info Processing BETA Gaps

 

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145    XX-XXX         AUGP17    [***]    [***]   [***]   [***]   [***]      
[***]   [***] 146    XX-XXX         AUGP17    [***]    [***]   [***]   [***]  
[***]       [***]   [***] 147    XX-XXX         AUGP17    [***]    [***]   [***]
  [***]   [***]   [***]         148    XX-XXX         AUGP17    [***]    [***]  
[***]   [***]   [***]   [***]   [***]   [***] 149    XX-XXX         AUGP17   
[***]    [***]   [***]   [***]   [***]             150    XX-XXX         AUGP17
   [***]    [***]   [***]   [***]   [***]   [***]         151    XX-XXX        
AUGP17    [***]    [***]   [***]   [***]   [***]   [***]         152    XX-XXX
        AUGP17    [***]    [***]   [***]   [***]   [***]   [***]         153   
XX-XXX         AUGP17    [***]    [***]   [***]   [***]   [***]   [***]        
154    XX-XXX         AUGP17    [***]    [***]   [***]   [***]   [***]   [***]  
      155    XX-XXX    CR64    AUGP17    [***]    [***]   [***]   [***]   [***]
  [***]         156    XX-XXX         AUGP17    [***]    [***]   [***]   [***]  
[***]             157    XX-XXX         AUGP17    [***]    [***]   [***]   [***]
  [***]             158    XX-XXX         AUGP18    [***]    [***]   [***]  
[***]   [***]       [***]   [***] 159    XX-XXX         AUGP18    [***]    [***]
  [***]   [***]   [***]       [***]   [***] 160    XX-XXX         AUGP18   
[***]    [***]   [***]   [***]   [***]   [***]         161    XX-XXX        
AUGP18    [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 162   
XX-XXX         AUGP18    [***]    [***]   [***]   [***]   [***]             163
   XX-XXX         AUGP18    [***]    [***]   [***]   [***]   [***]   [***]      
  164    XX-XXX         AUGP18    [***]    [***]   [***]   [***]   [***]   [***]
        165    XX-XXX         AUGP18    [***]    [***]   [***]   [***]   [***]  
[***]         166    XX-XXX         AUGP18    [***]    [***]   [***]   [***]  
[***]   [***]         167    XX-XXX         AUGP18    [***]    [***]   [***]  
[***]   [***]   [***]         168    XX-XXX    CR64    AUGP18    [***]    [***]
  [***]   [***]   [***]   [***]         169    XX-XXX         AUGP18    [***]   
[***]   [***]   [***]   [***]             170    XX-XXX         AUGP18    [***]
   [***]   [***]   [***]   [***]             171    XX-XXX         AUGP19   
[***]    [***]   [***]   [***]   [***]       [***]   [***] 172    XX-XXX        
AUGP19    [***]    [***]   [***]   [***]   [***]       [***]   [***] 173   
XX-XXX         AUGP19    [***]    [***]   [***]   [***]   [***]             174
   XX-XXX         AUGP19    [***]    [***]   [***]   [***]   [***]   [***]  
[***]   [***] 175    XX-XXX         AUGP19    [***]    [***]   [***]   [***]  
[***]   [***]         176    XX-XXX         AUGP19    [***]    [***]   [***]  
[***]   [***]   [***]         177    XX-XXX         AUGP19    [***]    [***]  
[***]   [***]   [***]   [***]         178    XX-XXX         AUGP19    [***]   
[***]   [***]   [***]   [***]   [***]         179    XX-XXX         AUGP19   
[***]    [***]   [***]   [***]   [***]   [***]         180    XX-XXX        
AUGP19    [***]    [***]   [***]   [***]   [***]   [***]         181    XX-XXX
   CR64    AUGP19    [***]    [***]   [***]   [***]   [***]   [***]         182
   XX-XXX         AUGP19    [***]    [***]   [***]   [***]   [***]            
183    XX-XXX         AUGP19    [***]    [***]   [***]   [***]   [***]          
  184    XX-XXX         AUGP20    [***]    [***]   [***]   [***]   [***]      
[***]   [***] 185    XX-XXX         AUGP20    [***]    [***]   [***]   [***]  
[***]       [***]   [***] 186    XX-XXX         AUGP20    [***]    [***]   [***]
  [***]   [***]   [***]         187    XX-XXX         AUGP20    [***]    [***]  
[***]   [***]   [***]   [***]   [***]   [***] 188    XX-XXX         AUGP20   
[***]    [***]   [***]   [***]   [***]             189    XX-XXX         AUGP20
   [***]    [***]   [***]   [***]   [***]   [***]         190    XX-XXX        
AUGP20    [***]    [***]   [***]   [***]   [***]   [***]         191    XX-XXX
        AUGP20    [***]    [***]   [***]   [***]   [***]   [***]         192   
XX-XXX         AUGP20    [***]    [***]   [***]   [***]   [***]   [***]        

 

4

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AGE Info Processing BETA Gaps

 

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193    XX-XXX         AUGP20    [***]    [***]   [***]   [***]   [***]   [***]  
      194    XX-XXX    CR42    AUGP20    [***]    [***]   [***]   [***]   [***]
  [***]         195    XX-XXX         AUGP20    [***]    [***]   [***]   [***]  
[***]             196    XX-XXX         AUGP20    [***]    [***]   [***]   [***]
  [***]             197    XX-XXX         AUGP21    [***]    [***]   [***]  
[***]   [***]       [***]   [***] 198    XX-XXX         AUGP21    [***]    [***]
  [***]   [***]   [***]       [***]   [***] 199    XX-XXX         AUGP21   
[***]    [***]   [***]   [***]   [***]   [***]         200    XX-XXX        
AUGP21    [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 201   
XX-XXX         AUGP21    [***]    [***]   [***]   [***]   [***]             202
   XX-XXX         AUGP21    [***]    [***]   [***]   [***]   [***]   [***]      
  203    XX-XXX         AUGP21    [***]    [***]   [***]   [***]   [***]   [***]
        204    XX-XXX         AUGP21    [***]    [***]   [***]   [***]   [***]  
[***]         205    XX-XXX         AUGP21    [***]    [***]   [***]   [***]  
[***]   [***]         206    XX-XXX         AUGP21    [***]    [***]   [***]  
[***]   [***]   [***]         207    XX-XXX    CR52    AUGP21    [***]    [***]
  [***]   [***]   [***]   [***]         208    XX-XXX         AUGP21    [***]   
[***]   [***]   [***]   [***]             209    XX-XXX         AUGP21    [***]
   [***]   [***]   [***]   [***]             210    XX-XXX         AUGP22   
[***]    [***]   [***]   [***]   [***]       [***]   [***] 211    XX-XXX        
AUGP22    [***]    [***]   [***]   [***]   [***]       [***]   [***] 212   
XX-XXX         AUGP22    [***]    [***]   [***]   [***]   [***]   [***]        
213    XX-XXX         AUGP22    [***]    [***]   [***]   [***]   [***]   [***]  
[***]   [***] 214    XX-XXX         AUGP22    [***]    [***]   [***]   [***]  
[***]             215    XX-XXX         AUGP22    [***]    [***]   [***]   [***]
  [***]   [***]         216    XX-XXX         AUGP22    [***]    [***]   [***]  
[***]   [***]   [***]         217    XX-XXX         AUGP22    [***]    [***]  
[***]   [***]   [***]   [***]         218    XX-XXX         AUGP22    [***]   
[***]   [***]   [***]   [***]   [***]         219    XX-XXX         AUGP22   
[***]    [***]   [***]   [***]   [***]   [***]         220    XX-XXX    CR52   
AUGP22    [***]    [***]   [***]   [***]   [***]   [***]         221    XX-XXX
        AUGP22    [***]    [***]   [***]   [***]   [***]             222   
XX-XXX         AUGP22    [***]    [***]   [***]   [***]   [***]             223
   XX-XXX         AUGP23    [***]    [***]   [***]   [***]   [***]       [***]  
[***] 224    XX-XXX         AUGP23    [***]    [***]   [***]   [***]   [***]    
  [***]   [***] 225    XX-XXX         AUGP23    [***]    [***]   [***]   [***]  
[***]   [***]         226    XX-XXX         AUGP23    [***]    [***]   [***]  
[***]   [***]   [***]   [***]   [***] 227    XX-XXX         AUGP23    [***]   
[***]   [***]   [***]   [***]             228    XX-XXX         AUGP23    [***]
   [***]   [***]   [***]   [***]   [***]         229    XX-XXX         AUGP23   
[***]    [***]   [***]   [***]   [***]   [***]         230    XX-XXX        
AUGP23    [***]    [***]   [***]   [***]   [***]   [***]         231    XX-XXX
        AUGP23    [***]    [***]   [***]   [***]   [***]   [***]         232   
XX-XXX         AUGP23    [***]    [***]   [***]   [***]   [***]   [***]        
233    XX-XXX    CR53    AUGP23    [***]    [***]   [***]   [***]   [***]  
[***]         234    XX-XXX         AUGP23    [***]    [***]   [***]   [***]  
[***]             235    XX-XXX         AUGP23    [***]    [***]   [***]   [***]
  [***]             236    XX-XXX         AUGP24    [***]    [***]   [***]  
[***]   [***]       [***]   [***] 237    XX-XXX         AUGP24    [***]    [***]
  [***]   [***]   [***]       [***]   [***] 238    XX-XXX         AUGP24   
[***]    [***]   [***]   [***]   [***]   [***]         239    XX-XXX        
AUGP24    [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 240   
XX-XXX         AUGP24    [***]    [***]   [***]   [***]   [***]            

 

5

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241    XX-XXX         AUGP24    [***]    [***]   [***]   [***]   [***]   [***]  
      242    XX-XXX         AUGP24    [***]    [***]   [***]   [***]   [***]  
[***]         243    XX-XXX         AUGP24    [***]    [***]   [***]   [***]  
[***]   [***]         244    XX-XXX         AUGP24    [***]    [***]   [***]  
[***]   [***]   [***]         245    XX-XXX         AUGP24    [***]    [***]  
[***]   [***]   [***]   [***]         246    XX-XXX    CR50    AUGP24    [***]
   [***]   [***]   [***]   [***]   [***]         247    XX-XXX         AUGP24   
[***]    [***]   [***]   [***]   [***]             248    XX-XXX         AUGP24
   [***]    [***]   [***]   [***]   [***]             249    XX-XXX        
AUGP25    [***]    [***]   [***]   [***]   [***]       [***]   [***] 250   
XX-XXX         AUGP25    [***]    [***]   [***]   [***]   [***]       [***]  
[***] 251    XX-XXX         AUGP25    [***]    [***]   [***]   [***]   [***]  
[***]         252    XX-XXX         AUGP25    [***]    [***]   [***]   [***]  
[***]   [***]   [***]   [***] 253    XX-XXX         AUGP25    [***]    [***]  
[***]   [***]   [***]             254    XX-XXX         AUGP25    [***]    [***]
  [***]   [***]   [***]   [***]         255    XX-XXX         AUGP25    [***]   
[***]   [***]   [***]   [***]   [***]         256    XX-XXX         AUGP25   
[***]    [***]   [***]   [***]   [***]   [***]         257    XX-XXX        
AUGP25    [***]    [***]   [***]   [***]   [***]   [***]         258    XX-XXX
        AUGP25    [***]    [***]   [***]   [***]   [***]   [***]         259   
XX-XXX    CR52    AUGP25    [***]    [***]   [***]   [***]   [***]   [***]      
  260    XX-XXX         AUGP25    [***]    [***]   [***]   [***]   [***]        
    261    XX-XXX         AUGP25    [***]    [***]   [***]   [***]   [***]      
     

 

6

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1                   [***]    [***]   [***]   [***]   [***]             2        
          [***]    [***]   [***]   [***]   [***]       [***]     3    34-106   
     BTGP03-2    [***]    [***]   [***]   [***]   [***]       [***]     4   
34-106         BTGP03-2    [***]    [***]   [***]   [***]   [***]       [***]  
[***] 5    34-106         BTGP03-2    [***]    [***]   [***]   [***]   [***]  
[***]   [***]   [***] 6    34-106         BTGP03-2    [***]    [***]   [***]  
[***]   [***]   [***]   [***]   [***] 7    34-106         BTGP03-2    [***]   
[***]   [***]   [***]   [***]       [***]   [***] 8    34-106         BTGP03-2
   [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 9    34-106   
     BTGP03-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***]
10    34-106    CR42    BTGP03-2    [***]    [***]   [***]   [***]   [***]  
[***]   [***]   [***] 11    34-106         BTGP03-2    [***]    [***]   [***]  
[***]   [***]       [***]   [***] 12    34-106         BTGP03-2    [***]   
[***]   [***]   [***]   [***]       [***]   [***] 13    34-110         BTGP022-2
   [***]    [***]   [***]   [***]   [***]       [***]     14    34-110        
BTGP022-2    [***]    [***]   [***]   [***]   [***]       [***]   [***] 15   
34-110         BTGP022-2    [***]    [***]   [***]   [***]   [***]   [***]  
[***]   [***] 16    34-110         BTGP022-2    [***]    [***]   [***]   [***]  
[***]   [***]   [***]   [***] 17    34-110         BTGP022-2    [***]    [***]  
[***]   [***]   [***]       [***]   [***] 18    34-110         BTGP022-2   
[***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 19    34-110     
   BTGP022-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***]
20    34-110    CR65    BTGP022-2    [***]    [***]   [***]   [***]   [***]  
[***]   [***]   [***] 21    34-110         BTGP022-2    [***]    [***]   [***]  
[***]   [***]       [***]   [***] 22    34-110         BTGP022-2    [***]   
[***]   [***]   [***]   [***]       [***]   [***] 23    34-244         BTGP048-2
   [***]    [***]   [***]   [***]   [***]       [***]     24    34-244        
BTGP048-2    [***]    [***]   [***]   [***]   [***]       [***]   [***] 25   
34-244         BTGP048-2    [***]    [***]   [***]   [***]   [***]   [***]  
[***]   [***] 26    34-244         BTGP048-2    [***]    [***]   [***]   [***]  
[***]   [***]   [***]   [***] 27    34-244         BTGP048-2    [***]    [***]  
[***]   [***]   [***]       [***]   [***] 28    34-244         BTGP048-2   
[***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 29    34-244     
   BTGP048-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***]
30    34-244    CR66    BTGP048-2    [***]    [***]   [***]   [***]   [***]  
[***]   [***]   [***] 31    34-244         BTGP048-2    [***]    [***]   [***]  
[***]   [***]       [***]   [***] 32    34-244         BTGP048-2    [***]   
[***]   [***]   [***]   [***]       [***]   [***] 33    34-243         BTGP049-2
   [***]    [***]   [***]   [***]   [***]       [***]     34    34-243        
BTGP049-2    [***]    [***]   [***]   [***]   [***]       [***]   [***] 35   
34-243         BTGP049-2    [***]    [***]   [***]   [***]   [***]   [***]  
[***]   [***] 36    34-243         BTGP049-2    [***]    [***]   [***]   [***]  
[***]   [***]   [***]   [***] 37    34-243         BTGP049-2    [***]    [***]  
[***]   [***]   [***]       [***]   [***] 38    34-243         BTGP049-2   
[***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 39    34-243     
   BTGP049-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***]
40    34-243    CR63    BTGP049-2    [***]    [***]   [***]   [***]   [***]  
[***]   [***]   [***] 41    34-243         BTGP049-2    [***]    [***]   [***]  
[***]   [***]       [***]   [***]

 

1

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42    34-243         BTGP049-2    [***]    [***]   [***]   [***]   [***]      
[***]   [***] 43    XX-XXX         BTGP053-1    [***]    [***]   [***]   [***]  
[***]       [***]     44    XX-XXX         BTGP053    [***]    [***]   [***]  
[***]   [***]       [***]   [***] 45    XX-XXX         BTGP053    [***]    [***]
  [***]   [***]   [***]   [***]   [***]   [***] 46    XX-XXX         BTGP053   
[***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 47    XX-XXX     
   BTGP053    [***]    [***]   [***]   [***]   [***]       [***]   [***] 48   
XX-XXX         BTGP053    [***]    [***]   [***]   [***]   [***]   [***]   [***]
  [***] 49    XX-XXX         BTGP053    [***]    [***]   [***]   [***]   [***]  
[***]   [***]   [***] 50    XX-XXX    CR52    BTGP053    [***]    [***]   [***]
  [***]   [***]   [***]   [***]   [***] 51    XX-XXX         BTGP053    [***]   
[***]   [***]   [***]   [***]       [***]   [***] 52    XX-XXX         BTGP053
   [***]    [***]   [***]   [***]   [***]       [***]     53                  
[***]    [***]   [***]   [***]   [***]       [***]     54    34-203        
OPGP002-2    [***]    [***]   [***]   [***]   [***]       [***]     55    34-203
        OPGP002-2    [***]    [***]   [***]   [***]   [***]       [***]   [***]
56    34-203         OPGP002-2    [***]    [***]   [***]   [***]   [***]      
[***]   [***] 57    34-203         OPGP002-2    [***]    [***]   [***]   [***]  
[***]       [***]   [***] 58    34-203         OPGP002-2    [***]    [***]  
[***]   [***]   [***]   [***]   [***]   [***] 59    34-203         OPGP002-2   
[***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 60    34-203     
   OPGP002-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***]
61    34-203    CR65    OPGP002-2    [***]    [***]   [***]   [***]   [***]    
  [***]   [***] 62    34-203         OPGP002-2    [***]    [***]   [***]   [***]
  [***]       [***]   [***] 63    34-203         OPGP002-2    [***]    [***]  
[***]   [***]   [***]       [***]   [***] 64                   [***]    [***]  
[***]   [***]   [***]       [***]     65    34-205    GP080    OEGP025-2   
[***]    [***]   [***]   [***]   [***]       [***]     66    34-205        
OEGP025-2    [***]    [***]   [***]   [***]   [***]       [***]   [***] 67   
34-205         OEGP025-2    [***]    [***]   [***]   [***]   [***]   [***]  
[***]   [***] 68    34-205         OEGP025-2    [***]    [***]   [***]   [***]  
[***]   [***]   [***]   [***] 69    34-205         OEGP025-2    [***]    [***]  
[***]   [***]   [***]       [***]   [***] 70    34-205         OEGP025-2   
[***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 71    34-205     
   OEGP025-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***]
72    34-205    CR63    OEGP025-2    [***]    [***]   [***]   [***]   [***]  
[***]   [***]   [***] 73    34-205         OEGP025-2    [***]    [***]   [***]  
[***]   [***]       [***]   [***] 74    34-205         OEGP025-2    [***]   
[***]   [***]   [***]   [***]       [***]   [***] 75    XX-XXX         OEGP052-2
   [***]    [***]   [***]   [***]   [***]       [***]     76    XX-XXX        
OEGP052-2    [***]    [***]   [***]   [***]   [***]       [***]   [***] 77   
XX-XXX         OEGP052-2    [***]    [***]   [***]   [***]   [***]   [***]  
[***]   [***] 78    XX-XXX         OEGP052-2    [***]    [***]   [***]   [***]  
[***]   [***]   [***]   [***] 79    XX-XXX         OEGP052-2    [***]    [***]  
[***]   [***]   [***]       [***]   [***] 80    XX-XXX         OEGP052-2   
[***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 81    XX-XXX     
   OEGP052-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***]
82    XX-XXX         OEGP052-2    [***]    [***]   [***]   [***]   [***]   [***]
  [***]   [***]

 

2

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83    XX-XXX         OEGP052-2    [***]    [***]   [***]   [***]   [***]      
[***]   [***] 84    XX-XXX         OEGP052-2    [***]    [***]   [***]   [***]  
[***]       [***]   [***] 85    34-209         OEGP071-2    [***]    [***]  
[***]   [***]   [***]       [***]     86    34-209         OEGP071-2    [***]   
[***]   [***]   [***]   [***]       [***]   [***] 87    34-209         OEGP071-2
   [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 88    34-209
        OEGP071-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]  
[***] 89    34-209         OEGP071-2    [***]    [***]   [***]   [***]   [***]  
    [***]   [***] 90    34-209         OEGP071-2    [***]    [***]   [***]  
[***]   [***]   [***]   [***]   [***] 91    34-209         OEGP071-2    [***]   
[***]   [***]   [***]   [***]   [***]   [***]   [***] 92    34-209    CR64   
OEGP071-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 93
   34-209         OEGP071-2    [***]    [***]   [***]   [***]   [***]      
[***]   [***] 94    34-209         OEGP071-2    [***]    [***]   [***]   [***]  
[***]       [***]   [***] 95    34-219         OEGP136-2    [***]    [***]  
[***]   [***]   [***]       [***]     96    34-219         OEGP136-2    [***]   
[***]   [***]   [***]   [***]       [***]   [***] 97    34-219         OEGP136-2
   [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 98    34-219
        OEGP136-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]  
[***] 99    34-219         OEGP136-2    [***]    [***]   [***]   [***]   [***]  
    [***]   [***] 100    34-219         OEGP136-2    [***]    [***]   [***]  
[***]   [***]   [***]   [***]   [***] 101    34-219         OEGP136-2    [***]
   [***]   [***]   [***]   [***]   [***]   [***]   [***] 102    34-219    CR50
   OEGP136-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***]
103    34-219         OEGP136-2    [***]    [***]   [***]   [***]   [***]      
[***]   [***] 104    34-219         OEGP136-2    [***]    [***]   [***]   [***]
  [***]       [***]   [***] 105    34-217         OEGP181-2    [***]    [***]  
[***]   [***]   [***]       [***]     106    34-217         OEGP181-2    [***]
   [***]   [***]   [***]   [***]       [***]   [***] 107    34-217        
OEGP181-2    [***]    [***]   [***]   [***]   [***]       [***]   [***] 108   
34-217         OEGP181-2    [***]    [***]   [***]   [***]   [***]   [***]  
[***]   [***] 109    34-217         OEGP181-2    [***]    [***]   [***]   [***]
  [***]       [***]   [***] 110    34-217         OEGP181-2    [***]    [***]  
[***]   [***]   [***]   [***]   [***]   [***] 111    34-217         OEGP181-2   
[***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 112    34-217   
CR56    OEGP181-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]  
[***] 113    34-217         OEGP181-2    [***]    [***]   [***]   [***]   [***]
      [***]   [***] 114    34-217         OEGP181-2    [***]    [***]   [***]  
[***]   [***]       [***]   [***] 115    34-215         OEGP188-2    [***]   
[***]   [***]   [***]   [***]       [***]     116    34-215         OEGP188-2   
[***]    [***]   [***]   [***]   [***]       [***]   [***] 117    34-215        
OEGP188-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 118
   34-215         OEGP188-2    [***]    [***]   [***]   [***]   [***]   [***]  
[***]   [***] 119    34-215         OEGP188-2    [***]    [***]   [***]   [***]
  [***]       [***]   [***] 120    34-215         OEGP188-2    [***]    [***]  
[***]   [***]   [***]   [***]   [***]   [***] 121    34-215         OEGP188-2   
[***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 122    34-215   
CR42    OEGP188-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]  
[***] 123    34-215         OEGP188-2    [***]    [***]   [***]   [***]   [***]
      [***]   [***]

 

3

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124    34-215         OEGP188-2    [***]    [***]   [***]   [***]   [***]      
[***]   [***] 125    XX-XXX    GP140    OEGP206-2    [***]    [***]   [***]  
[***]   [***]       [***]     126    XX-XXX         OEGP206-2    [***]    [***]
  [***]   [***]   [***]       [***]   [***] 127    XX-XXX         OEGP206-2   
[***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 128    XX-XXX   
     OEGP206-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***]
129    XX-XXX         OEGP206-2    [***]    [***]   [***]   [***]   [***]      
[***]   [***] 130    XX-XXX         OEGP206-2    [***]    [***]   [***]   [***]
  [***]   [***]   [***]   [***] 131    XX-XXX         OEGP206-2    [***]   
[***]   [***]   [***]   [***]   [***]   [***]   [***] 132    XX-XXX    CR35   
OEGP206-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 133
   XX-XXX         OEGP206-2    [***]    [***]   [***]   [***]   [***]      
[***]   [***] 134    XX-XXX         OEGP206-2    [***]    [***]   [***]   [***]
  [***]       [***]   [***] 135    34-249    GP042    OEGP248-2    [***]   
[***]   [***]   [***]   [***]       [***]     136    34-249         OEGP248-2   
[***]    [***]   [***]   [***]   [***]       [***]   [***] 137    34-249        
OEGP248-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 138
   34-249         OEGP248-2    [***]    [***]   [***]   [***]   [***]   [***]  
[***]   [***] 139    34-249         OEGP248-2    [***]    [***]   [***]   [***]
  [***]       [***]   [***] 140    34-249         OEGP248-2    [***]    [***]  
[***]   [***]   [***]   [***]   [***]   [***] 141    34-249         OEGP248-2   
[***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 142    34-249   
CR45    OEGP248-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]  
[***] 143    34-249         OEGP248-2    [***]    [***]   [***]   [***]   [***]
      [***]   [***] 144    34-249         OEGP248-2    [***]    [***]   [***]  
[***]   [***]       [***]   [***] 145    34-511         MFGPT092-2    [***]   
[***]   [***]   [***]   [***]       [***]     146    34-511         MFGPT092-2
   [***]    [***]   [***]   [***]   [***]       [***]   [***] 147    34-511     
   MFGPT092-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***]
148    34-511         MFGPT092-2    [***]    [***]   [***]   [***]   [***]  
[***]   [***]   [***] 149    34-511         MFGPT092-2    [***]    [***]   [***]
  [***]   [***]   [***]   [***]   [***] 150    34-511         MFGPT092-2   
[***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 151    34-511   
     MFGPT092-2    [***]    [***]   [***]   [***]   [***]       [***]   [***]
152    34-511         MFGPT092-2    [***]    [***]   [***]   [***]   [***]      
[***]   [***] 153    34-511         MFGPT092-2    [***]    [***]   [***]   [***]
  [***]   [***]   [***]   [***] 154    34-511         MFGPT092-2    [***]   
[***]   [***]   [***]   [***]   [***]   [***]   [***] 155    34-511        
MFGPT092-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 156
   34-511         MFGPT092-2    [***]    [***]   [***]   [***]   [***]   [***]  
[***]   [***] 157    34-511    CR54    MFGPT092-2    [***]    [***]   [***]  
[***]   [***]   [***]   [***]   [***] 158    34-511         MFGPT092-2    [***]
   [***]   [***]   [***]   [***]       [***]   [***] 159    34-511        
MFGPT092-2    [***]    [***]   [***]   [***]   [***]       [***]   [***] 160   
34-245         OEGP302-2    [***]    [***]   [***]   [***]   [***]       [***]  
  161    34-245         OEGP302-2    [***]    [***]   [***]   [***]   [***]    
  [***]   [***] 162    34-245         OEGP302-2    [***]    [***]   [***]  
[***]   [***]   [***]   [***]   [***] 163    34-245         OEGP302-2    [***]
   [***]   [***]   [***]   [***]   [***]   [***]   [***] 164    34-245        
OEGP302-2    [***]    [***]   [***]   [***]   [***]       [***]   [***]

 

4

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AGE FC Order Entry BETA Gaps

 

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165    34-245         OEGP302-2    [***]    [***]   [***]   [***]   [***]  
[***]   [***]   [***] 166    34-245         OEGP302-2    [***]    [***]   [***]
  [***]   [***]   [***]   [***]   [***] 167    34-245    CR38    OEGP302-2   
[***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 168    34-245   
     OEGP302-2    [***]    [***]   [***]   [***]   [***]       [***]   [***] 169
   34-245         OEGP302-2    [***]    [***]   [***]   [***]   [***]      
[***]   [***] 170    XX-XXX         OEGP315-2    [***]    [***]   [***]   [***]
  [***]       [***]     171    XX-XXX         OEGP315    [***]    [***]   [***]
  [***]   [***]       [***]   [***] 172    XX-XXX         OEGP315    [***]   
[***]   [***]   [***]   [***]   [***]   [***]   [***] 173    XX-XXX        
OEGP315    [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 174   
XX-XXX         OEGP315    [***]    [***]   [***]   [***]   [***]       [***]  
[***] 175    XX-XXX         OEGP315    [***]    [***]   [***]   [***]   [***]  
[***]   [***]   [***] 176    XX-XXX         OEGP315    [***]    [***]   [***]  
[***]   [***]   [***]   [***]   [***] 177    XX-XXX    CR41    OEGP315    [***]
   [***]   [***]   [***]   [***]   [***]   [***]   [***] 178    XX-XXX        
OEGP315    [***]    [***]   [***]   [***]   [***]       [***]   [***] 179   
XX-XXX         OEGP315    [***]    [***]   [***]   [***]   [***]       [***]    
180    XX-XXX    GP074    OEGP328-2    [***]    [***]   [***]   [***]   [***]  
    [***]     181    XX-XXX         OEGP328    [***]    [***]   [***]   [***]  
[***]       [***]   [***] 182    XX-XXX         OEGP328    [***]    [***]  
[***]   [***]   [***]   [***]         183    XX-XXX         OEGP328    [***]   
[***]   [***]   [***]   [***]   [***]   [***]   [***] 184    XX-XXX        
OEGP328    [***]    [***]   [***]   [***]   [***]       [***]   [***] 185   
XX-XXX         OEGP328    [***]    [***]   [***]   [***]   [***]   [***]   [***]
  [***] 186    XX-XXX         OEGP328    [***]    [***]   [***]   [***]   [***]
  [***]   [***]   [***] 187    XX-XXX    CR41    OEGP328    [***]    [***]  
[***]   [***]   [***]       [***]   [***] 188    XX-XXX         OEGP328    [***]
   [***]   [***]   [***]   [***]       [***]   [***] 189    XX-XXX        
OEGP328    [***]    [***]   [***]   [***]   [***]       [***]   [***] 190   
XX-XXX         OEGP335    [***]    [***]   [***]   [***]   [***]       [***]    
191    XX-XXX         OEGP335    [***]    [***]   [***]   [***]   [***]      
[***]   [***] 192    XX-XXX         OEGP335    [***]    [***]   [***]   [***]  
[***]   [***]         193    XX-XXX         OEGP335    [***]    [***]   [***]  
[***]   [***]   [***]   [***]   [***] 194    XX-XXX         OEGP335    [***]   
[***]   [***]   [***]   [***]       [***]   [***] 195    XX-XXX         OEGP335
   [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 196    XX-XXX
        OEGP335    [***]    [***]   [***]   [***]   [***]   [***]   [***]  
[***] 197    XX-XXX    CR53    OEGP335    [***]    [***]   [***]   [***]   [***]
      [***]   [***] 198    XX-XXX         OEGP335    [***]    [***]   [***]  
[***]   [***]       [***]   [***] 199    XX-XXX         OEGP335    [***]   
[***]   [***]   [***]   [***]       [***]   [***] 200                   [***]   
[***]   [***]   [***]   [***]       [***]     201    34-227         OTGP021-2   
[***]    [***]   [***]   [***]   [***]       [***]     202    34-227        
OTGP021-2    [***]    [***]   [***]   [***]   [***]       [***]   [***] 203   
34-227         OTGP021-2    [***]    [***]   [***]   [***]   [***]   [***]  
[***]   [***] 204    34-227         OTGP021-2    [***]    [***]   [***]   [***]
  [***]   [***]   [***]   [***] 205    34-227         OTGP021-2    [***]   
[***]   [***]   [***]   [***]       [***]   [***]

 

5

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AGE FC Order Entry BETA Gaps

 

ID

--------------------------------------------------------------------------------

   SCR

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   Release

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   Gap Id

--------------------------------------------------------------------------------

  

Task Name

--------------------------------------------------------------------------------

   %
COMP

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  Work

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  Start
Date

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206    34-227         OTGP021-2    [***]    [***]   [***]   [***]   [***]  
[***]   [***]   [***] 207    34-227         OTGP021-2    [***]    [***]   [***]
  [***]   [***]   [***]   [***]   [***] 208    34-227    CR59    OTGP021-2   
[***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 209    34-227   
     OTGP021-2    [***]    [***]   [***]   [***]   [***]       [***]   [***] 210
   34-227         OTGP021-2    [***]    [***]   [***]   [***]   [***]      
[***]   [***] 211                   [***]    [***]   [***]   [***]   [***]      
[***]     212    99-3994         PSGP01-2    [***]    [***]   [***]   [***]  
[***]       [***]     213    99-3994         PSGP01-2    [***]    [***]   [***]
  [***]   [***]       [***]   [***] 214    99-3994         PSGP01-2    [***]   
[***]   [***]   [***]   [***]       [***]   [***] 215    XX-XXX         PSGP97-2
   [***]    [***]   [***]   [***]   [***]       [***]     216    XX-XXX        
PSGP97-2    [***]    [***]   [***]   [***]   [***]       [***]   [***] 217   
XX-XXX         PSGP97-2    [***]    [***]   [***]   [***]   [***]   [***]  
[***]   [***] 218    XX-XXX         PSGP97-2    [***]    [***]   [***]   [***]  
[***]   [***]   [***]   [***] 219    XX-XXX         PSGP97-2    [***]    [***]  
[***]   [***]   [***]       [***]   [***] 220    XX-XXX         PSGP97-2   
[***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 221    XX-XXX   
     PSGP97-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***]
222    XX-XXX    CR49    PSGP97-2    [***]    [***]   [***]   [***]   [***]  
[***]   [***]   [***] 223    XX-XXX         PSGP97-2    [***]    [***]   [***]  
[***]   [***]       [***]   [***] 224    XX-XXX         PSGP97-2    [***]   
[***]   [***]   [***]   [***]       [***]     225                   [***]   
[***]   [***]   [***]   [***]       [***]     226    34-229         PSGP27-2   
[***]    [***]   [***]   [***]   [***]       [***]     227    34-229        
PSGP27-2    [***]    [***]   [***]   [***]   [***]       [***]   [***] 228   
34-229         PSGP27-2    [***]    [***]   [***]   [***]   [***]   [***]  
[***]   [***] 229    34-229         PSGP27-2    [***]    [***]   [***]   [***]  
[***]   [***]   [***]   [***] 230    34-229         PSGP27-2    [***]    [***]  
[***]   [***]   [***]       [***]   [***] 231    34-229         PSGP27-2   
[***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 232    34-229   
     PSGP27-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***]
233    34-229    CR61    PSGP27-2    [***]    [***]   [***]   [***]   [***]  
[***]   [***]   [***] 234    34-229         PSGP27-2    [***]    [***]   [***]  
[***]   [***]       [***]   [***] 235    34-229         PSGP27-2    [***]   
[***]   [***]   [***]   [***]       [***]   [***] 236                   [***]   
[***]   [***]   [***]   [***]       [***]     237    34-426    GP302   
TMGP020-2    [***]    [***]   [***]   [***]   [***]             238    34-426   
     TMGP020-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]     239
   34-426         TMGP020-2    [***]    [***]   [***]   [***]   [***]      
[***]   [***] 240    34-426         TMGP020-2    [***]    [***]   [***]   [***]
  [***]   [***]   [***]   [***] 241    34-426         TMGP020-2    [***]   
[***]   [***]   [***]   [***]   [***]   [***]   [***] 242    34-426        
TMGP020-2    [***]    [***]   [***]   [***]   [***]       [***]   [***] 243   
34-426         TMGP020-2    [***]    [***]   [***]   [***]   [***]   [***]  
[***]   [***] 244    34-426         TMGP020-2    [***]    [***]   [***]   [***]
  [***]   [***]   [***]   [***] 245    34-426         TMGP020-2    [***]   
[***]   [***]   [***]   [***]   [***]   [***]   [***] 246    34-426        
TMGP020-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***]

 

6

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AGE FC Order Entry BETA Gaps

 

ID

--------------------------------------------------------------------------------

   SCR

--------------------------------------------------------------------------------

   Release

--------------------------------------------------------------------------------

   Gap Id

--------------------------------------------------------------------------------

  

Task Name

--------------------------------------------------------------------------------

   %
COMP

--------------------------------------------------------------------------------

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  Start
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Date

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247    34-426         TMGP020-2   

[***]

   [***]   [***]   [***]   [***]   [***]   [***]   [***] 248    34-426        
TMGP020-2   

[***]

   [***]   [***]   [***]   [***]   [***]   [***]   [***] 249    34-426        
TMGP020-2   

[***]

   [***]   [***]   [***]   [***]       [***]   [***] 250    34-426        
TMGP020-2   

[***]

   [***]   [***]   [***]   [***]       [***]   [***] 251    34-410        
TMGP022-2   

[***]

   [***]   [***]   [***]   [***]             252    34-410         TMGP022-2   

[***]

   [***]   [***]   [***]   [***]   [***]   [***]     253    34-410        
TMGP022-2   

[***]

   [***]   [***]   [***]   [***]       [***]   [***] 254    34-410        
TMGP022-2   

[***]

   [***]   [***]   [***]   [***]   [***]   [***]   [***] 255    34-410        
TMGP022-2   

[***]

   [***]   [***]   [***]   [***]   [***]   [***]   [***] 256    34-410        
TMGP022-2   

[***]

   [***]   [***]   [***]   [***]       [***]   [***] 257    34-410        
TMGP022-2   

[***]

   [***]   [***]   [***]   [***]   [***]   [***]   [***] 258    34-410        
TMGP022-2   

[***]

   [***]   [***]   [***]   [***]   [***]   [***]   [***] 259    34-410        
TMGP022-2   

[***]

   [***]   [***]   [***]   [***]   [***]   [***]   [***] 260    34-410        
TMGP022-2   

[***]

   [***]   [***]   [***]   [***]   [***]   [***]   [***] 261    34-410        
TMGP022-2   

[***]

   [***]   [***]   [***]   [***]   [***]   [***]   [***] 262    34-410        
TMGP022-2   

[***]

   [***]   [***]   [***]   [***]   [***]   [***]   [***] 263    34-410        
TMGP022-2   

[***]

   [***]   [***]   [***]   [***]       [***]   [***] 264    34-410        
TMGP022-2   

[***]

   [***]   [***]   [***]   [***]       [***]   [***] 265    XX-XXX    GP12   
TMGP025-2   

[***]

   [***]   [***]   [***]   [***]             266    XX-XXX         TMGP025-2   

[***]

   [***]   [***]   [***]   [***]   [***]   [***]     267    XX-XXX        
TMGP025-2   

[***]

   [***]   [***]   [***]   [***]       [***]   [***] 268    XX-XXX        
TMGP025-2   

[***]

   [***]   [***]   [***]   [***]   [***]   [***]   [***] 269    XX-XXX        
TMGP025-2   

[***]

   [***]   [***]   [***]   [***]   [***]   [***]   [***] 270    XX-XXX        
TMGP025-2   

[***]

   [***]   [***]   [***]   [***]       [***]   [***] 271    XX-XXX        
TMGP025-2   

[***]

   [***]   [***]   [***]   [***]   [***]   [***]   [***] 272    XX-XXX        
TMGP025-2   

[***]

   [***]   [***]   [***]   [***]   [***]   [***]   [***] 273    XX-XXX        
TMGP025-2   

[***]

   [***]   [***]   [***]   [***]   [***]   [***]   [***] 274    XX-XXX        
TMGP025-2   

[***]

   [***]   [***]   [***]   [***]   [***]   [***]   [***] 275    XX-XXX        
TMGP025-2   

[***]

   [***]   [***]   [***]   [***]   [***]   [***]   [***] 276    XX-XXX        
TMGP025-2   

[***]

   [***]   [***]   [***]   [***]   [***]   [***]   [***] 277    XX-XXX        
TMGP025-2   

[***]

   [***]   [***]   [***]   [***]       [***]   [***] 278    XX-XXX        
TMGP025-2   

[***]

   [***]   [***]   [***]   [***]       [***]   [***] 279    XX-XXX    GP264   
TMGP040-2   

[***]

   [***]   [***]   [***]   [***]             280    XX-XXX    PT092    TMGP040-2
  

[***]

   [***]   [***]   [***]   [***]   [***]   [***]     281    XX-XXX        
TMGP040-2   

[***]

   [***]   [***]   [***]   [***]       [***]   [***] 282    XX-XXX        
TMGP040-2   

[***]

   [***]   [***]   [***]   [***]   [***]   [***]   [***] 283    XX-XXX        
TMGP040-2   

[***]

   [***]   [***]   [***]   [***]   [***]   [***]   [***] 284    XX-XXX        
TMGP040-2   

[***]

   [***]   [***]   [***]   [***]       [***]   [***] 285    XX-XXX        
TMGP040-2   

[***]

   [***]   [***]   [***]   [***]   [***]   [***]   [***] 286    XX-XXX        
TMGP040-2   

[***]

   [***]   [***]   [***]   [***]   [***]   [***]   [***] 287    XX-XXX        
TMGP040-2   

[***]

   [***]   [***]   [***]   [***]   [***]   [***]   [***]

 

7

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AGE FC Order Entry BETA Gaps

 

ID

--------------------------------------------------------------------------------

   SCR

--------------------------------------------------------------------------------

   Release

--------------------------------------------------------------------------------

   Gap Id

--------------------------------------------------------------------------------

  

Task Name

--------------------------------------------------------------------------------

   %
COMP

--------------------------------------------------------------------------------

  Work

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  Start
Date

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  Finish
Date

--------------------------------------------------------------------------------

  Resource
Names

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  On- Site
Resource
Name

--------------------------------------------------------------------------------

  Text30

--------------------------------------------------------------------------------

288    XX-XXX         TMGP040-2   

[***]

   [***]   [***]   [***]   [***]   [***]   [***]   [***] 289    XX-XXX        
TMGP040-2   

[***]

   [***]   [***]   [***]   [***]   [***]   [***]   [***] 290    XX-XXX        
TMGP040-2   

[***]

   [***]   [***]   [***]   [***]   [***]   [***]   [***] 291    XX-XXX        
TMGP040-2   

[***]

   [***]   [***]   [***]   [***]       [***]   [***] 292    XX-XXX        
TMGP040-2   

[***]

   [***]   [***]   [***]   [***]       [***]   [***] 293    XX-XXX    GP248   
TMGP042-2   

[***]

   [***]   [***]   [***]   [***]             294    XX-XXX         TMGP042-2   

[***]

   [***]   [***]   [***]   [***]   [***]   [***]     295    XX-XXX        
TMGP042-2   

[***]

   [***]   [***]   [***]   [***]       [***]   [***] 296    XX-XXX        
TMGP042-2   

[***]

   [***]   [***]   [***]   [***]   [***]   [***]   [***] 297    XX-XXX        
TMGP042-2   

[***]

   [***]   [***]   [***]   [***]   [***]   [***]   [***] 298    XX-XXX        
TMGP042-2   

[***]

   [***]   [***]   [***]   [***]       [***]   [***] 299    XX-XXX        
TMGP042-2   

[***]

   [***]   [***]   [***]   [***]   [***]   [***]   [***] 300    XX-XXX        
TMGP042-2   

[***]

   [***]   [***]   [***]   [***]   [***]   [***]   [***] 301    XX-XXX        
TMGP042-2   

[***]

   [***]   [***]   [***]   [***]   [***]   [***]   [***] 302    XX-XXX        
TMGP042-2   

[***]

   [***]   [***]   [***]   [***]   [***]   [***]   [***] 303    XX-XXX        
TMGP042-2   

[***]

   [***]   [***]   [***]   [***]   [***]   [***]   [***] 304    XX-XXX        
TMGP042-2   

[***]

   [***]   [***]   [***]   [***]   [***]   [***]   [***] 305    XX-XXX        
TMGP042-2   

[***]

   [***]   [***]   [***]   [***]       [***]   [***] 306    XX-XXX        
TMGP042-2   

[***]

   [***]   [***]   [***]   [***]       [***]   [***] 307    XX-XXX    GPT10   
TMGP047-2   

[***]

   [***]   [***]   [***]   [***]             308    XX-XXX         TMGP047-2   

[***]

   [***]   [***]   [***]   [***]   [***]   [***]     309    XX-XXX        
TMGP047-2   

[***]

   [***]   [***]   [***]   [***]       [***]   [***] 310    XX-XXX        
TMGP047-2   

[***]

   [***]   [***]   [***]   [***]   [***]   [***]   [***] 311    XX-XXX        
TMGP047-2   

[***]

   [***]   [***]   [***]   [***]   [***]   [***]   [***] 312    XX-XXX        
TMGP047-2   

[***]

   [***]   [***]   [***]   [***]       [***]   [***] 313    XX-XXX        
TMGP047-2   

[***]

   [***]   [***]   [***]   [***]   [***]   [***]   [***] 314    XX-XXX        
TMGP047-2   

[***]

   [***]   [***]   [***]   [***]   [***]   [***]   [***] 315    XX-XXX        
TMGP047-2   

[***]

   [***]   [***]   [***]   [***]   [***]   [***]   [***] 316    XX-XXX        
TMGP047-2   

[***]

   [***]   [***]   [***]   [***]   [***]   [***]   [***] 317    XX-XXX        
TMGP047-2   

[***]

   [***]   [***]   [***]   [***]   [***]   [***]   [***] 318    XX-XXX        
TMGP047-2   

[***]

   [***]   [***]   [***]   [***]   [***]   [***]   [***] 319    XX-XXX        
TMGP047-2   

[***]

   [***]   [***]   [***]   [***]       [***]   [***] 320    XX-XXX        
TMGP047-2   

[***]

   [***]   [***]   [***]   [***]       [***]   [***] 321    XX-XXX        
TMGP048-2   

[***]

   [***]   [***]   [***]   [***]             322    XX-XXX         TMGP048-2   

[***]

   [***]   [***]   [***]   [***]   [***]   [***]     323    XX-XXX        
TMGP048-2   

[***]

   [***]   [***]   [***]   [***]       [***]   [***] 324    XX-XXX        
TMGP048-2   

[***]

   [***]   [***]   [***]   [***]   [***]   [***]   [***] 325    XX-XXX        
TMGP048-2   

[***]

   [***]   [***]   [***]   [***]   [***]   [***]   [***] 326    XX-XXX        
TMGP048-2   

[***]

   [***]   [***]   [***]   [***]       [***]   [***] 327    XX-XXX        
TMGP048-2   

[***]

   [***]   [***]   [***]   [***]   [***]   [***]   [***] 328    XX-XXX        
TMGP048-2   

[***]

   [***]   [***]   [***]   [***]   [***]   [***]   [***]

 

8

--------------------------------------------------------------------------------

AGE FC Order Entry BETA Gaps

 

ID

--------------------------------------------------------------------------------

   SCR

--------------------------------------------------------------------------------

   Release

--------------------------------------------------------------------------------

   Gap Id

--------------------------------------------------------------------------------

  

Task Name

--------------------------------------------------------------------------------

   %
COMP

--------------------------------------------------------------------------------

   Work

--------------------------------------------------------------------------------

   Start
Date

--------------------------------------------------------------------------------

   Finish
Date

--------------------------------------------------------------------------------

   Resource
Names

--------------------------------------------------------------------------------

   On-Site
Resource
Name

--------------------------------------------------------------------------------

   Text30

--------------------------------------------------------------------------------

329    XX-XXX         TMGP048-2    [***]    [***]    [***]    [***]    [***]   
[***]    [***]    [***] 330    XX-XXX         TMGP048-2    [***]    [***]   
[***]    [***]    [***]    [***]    [***]    [***] 331    XX-XXX        
TMGP048-2    [***]    [***]    [***]    [***]    [***]    [***]    [***]   
[***] 332    XX-XXX         TMGP048-2    [***]    [***]    [***]    [***]   
[***]    [***]    [***]    [***] 333    XX-XXX         TMGP048-2    [***]   
[***]    [***]    [***]    [***]         [***]    [***] 334    XX-XXX        
TMGP048-2    [***]    [***]    [***]    [***]    [***]         [***]    [***]
335    34-421    P0328    TMGP074-2    [***]    [***]    [***]    [***]    [***]
        [***]      336    34-421         TMGP074-2    [***]    [***]    [***]   
[***]    [***]         [***]    [***] 337    34-421         TMGP074-2    [***]
   [***]    [***]    [***]    [***]    [***]    [***]      338    34-421        
TMGP074-2    [***]    [***]    [***]    [***]    [***]    [***]    [***]   
[***] 339    34-421         TMGP074-2    [***]    [***]    [***]    [***]   
[***]         [***]    [***] 340    34-421         TMGP074-2    [***]    [***]
   [***]    [***]    [***]         [***]    [***] 341    34-561    GP043   
TMGP091-2    [***]    [***]    [***]    [***]    [***]                342   
34-561    GP016    TMGP091-2    [***]    [***]    [***]    [***]    [***]   
[***]    [***]      343    34-561         TMGP091-2    [***]    [***]    [***]
   [***]    [***]         [***]    [***] 344    34-561         TMGP091-2   
[***]    [***]    [***]    [***]    [***]    [***]    [***]    [***] 345   
34-561         TMGP091-2    [***]    [***]    [***]    [***]    [***]    [***]
   [***]    [***] 346    34-561         TMGP091-2    [***]    [***]    [***]   
[***]    [***]         [***]    [***] 347    34-561         TMGP091-2    [***]
   [***]    [***]    [***]    [***]    [***]    [***]    [***] 348    34-561   
     TMGP091-2    [***]    [***]    [***]    [***]    [***]    [***]    [***]   
[***] 349    34-561         TMGP091-2    [***]    [***]    [***]    [***]   
[***]    [***]    [***]    [***] 350    34-561         TMGP091-2    [***]   
[***]    [***]    [***]    [***]    [***]    [***]    [***] 351    34-561     
   TMGP091-2    [***]    [***]    [***]    [***]    [***]    [***]    [***]   
[***] 352    34-561         TMGP091-2    [***]    [***]    [***]    [***]   
[***]    [***]    [***]    [***] 353    34-561         TMGP091-2    [***]   
[***]    [***]    [***]    [***]         [***]    [***] 354    34-561        
TMGP091-2    [***]    [***]    [***]    [***]    [***]         [***]    [***]
355    XX-XXX    GP206    TMGP140-2    [***]    [***]    [***]    [***]    [***]
               356    XX-XXX         TMGP140-2    [***]    [***]    [***]   
[***]    [***]    [***]    [***]      357    XX-XXX         TMGP140-2    [***]
   [***]    [***]    [***]    [***]         [***]    [***] 358    XX-XXX        
TMGP140-2    [***]    [***]    [***]    [***]    [***]    [***]    [***]   
[***] 359    XX-XXX         TMGP140-2    [***]    [***]    [***]    [***]   
[***]    [***]    [***]    [***] 360    XX-XXX         TMGP140-2    [***]   
[***]    [***]    [***]    [***]         [***]    [***] 361    XX-XXX        
TMGP140-2    [***]    [***]    [***]    [***]    [***]    [***]    [***]   
[***] 362    XX-XXX         TMGP140-2    [***]    [***]    [***]    [***]   
[***]    [***]    [***]    [***] 363    XX-XXX         TMGP140-2    [***]   
[***]    [***]    [***]    [***]    [***]    [***]    [***] 364    XX-XXX     
   TMGP140-2    [***]    [***]    [***]    [***]    [***]    [***]    [***]   
[***] 365    XX-XXX         TMGP140-2    [***]    [***]    [***]    [***]   
[***]    [***]    [***]    [***] 366    XX-XXX         TMGP140-2    [***]   
[***]    [***]    [***]    [***]    [***]    [***]    [***] 367    XX-XXX     
   TMGP140-2    [***]    [***]    [***]    [***]    [***]         [***]    [***]
368    XX-XXX         TMGP140-2    [***]    [***]    [***]    [***]    [***]   
     [***]    [***] 369    34-608    UIT’s    TMGP221-2    [***]    [***]   
[***]    [***]    [***]               

 

9

--------------------------------------------------------------------------------

AGE FC Order Entry BETA Gaps

 

ID

--------------------------------------------------------------------------------

   SCR

--------------------------------------------------------------------------------

   Release

--------------------------------------------------------------------------------

   Gap Id

--------------------------------------------------------------------------------

  

Task Name

--------------------------------------------------------------------------------

   %
COMP

--------------------------------------------------------------------------------

   Work

--------------------------------------------------------------------------------

   Start
Date

--------------------------------------------------------------------------------

   Finish
Date

--------------------------------------------------------------------------------

   Resource
Names

--------------------------------------------------------------------------------

   On-Site
Resource
Name

--------------------------------------------------------------------------------

   Text30

--------------------------------------------------------------------------------

370    34-608         TMGP221-2    [***]    [***]    [***]    [***]    [***]   
[***]    [***]      371    34-608         TMGP221-2    [***]    [***]    [***]
   [***]    [***]         [***]    [***] 372    34-608         TMGP221-2   
[***]    [***]    [***]    [***]    [***]    [***]    [***]    [***] 373   
34-608         TMGP221-2    [***]    [***]    [***]    [***]    [***]    [***]
   [***]    [***] 374    34-608         TMGP221-2    [***]    [***]    [***]   
[***]    [***]         [***]    [***] 375    34-608         TMGP221-2    [***]
   [***]    [***]    [***]    [***]    [***]    [***]    [***] 376    34-608   
     TMGP221-2    [***]    [***]    [***]    [***]    [***]    [***]    [***]   
[***] 377    34-608         TMGP221-2    [***]    [***]    [***]    [***]   
[***]    [***]    [***]    [***] 378    34-608         TMGP221-2    [***]   
[***]    [***]    [***]    [***]    [***]    [***]    [***] 379    34-608     
   TMGP221-2    [***]    [***]    [***]    [***]    [***]    [***]    [***]   
[***] 380    34-608         TMGP221-2    [***]    [***]    [***]    [***]   
[***]    [***]    [***]    [***] 381    34-608         TMGP221-2    [***]   
[***]    [***]    [***]    [***]         [***]    [***] 382    34-608        
TMGP221-2    [***]    [***]    [***]    [***]    [***]         [***]    [***]

 

10

--------------------------------------------------------------------------------

AGE Cashier BETA Gaps for 11-04

 

ID

--------------------------------------------------------------------------------

   SCR

--------------------------------------------------------------------------------

   Release

--------------------------------------------------------------------------------

   Gap Id

--------------------------------------------------------------------------------

  

Task Name

--------------------------------------------------------------------------------

   %
COMP

--------------------------------------------------------------------------------

   Work

--------------------------------------------------------------------------------

   Start
Date

--------------------------------------------------------------------------------

   Finish
Date

--------------------------------------------------------------------------------

   Resource
Names

--------------------------------------------------------------------------------

   On- Site
Resource
Name

--------------------------------------------------------------------------------

   Text30

--------------------------------------------------------------------------------

1                   [***]    [***]    [***]    [***]    [***]                2
                  [***]    [***]    [***]    [***]    [***]                3   
               [***]    [***]    [***]    [***]    [***]                4   
34-385         MSGP27-2    [***]    [***]    [***]    [***]    [***]        
[***]      5    34-385         MSGP27-2    [***]    [***]    [***]    [***]   
[***]         [***]    [***] 6    34-385         MSGP27-2    [***]    [***]   
[***]    [***]    [***]    [***]    [***]    [***] 7    34-385         MSGP27-2
   [***]    [***]    [***]    [***]    [***]    [***]    [***]    [***] 8   
34-385         MSGP27-2    [***]    [***]    [***]    [***]    [***]    [***]   
[***]    [***] 9    34-385         MSGP27-2    [***]    [***]    [***]    [***]
   [***]         [***]    [***] 10    34-385         MSGP27-2    [***]    [***]
   [***]    [***]    [***]    [***]    [***]    [***] 11    34-385        
MSGP27-2    [***]    [***]    [***]    [***]    [***]    [***]    [***]    [***]
12    34-385    CR40    MSGP27-2    [***]    [***]    [***]    [***]    [***]   
[***]    [***]    [***] 13    34-385         MSGP27-2    [***]    [***]    [***]
   [***]    [***]         [***]    [***] 14    34-385         MSGP27-2    [***]
   [***]    [***]    [***]    [***]         [***]    [***] 15    34-393        
MSGP07-2    [***]    [***]    [***]    [***]    [***]         [***]      16   
34-393         MSGP07-2    [***]    [***]    [***]    [***]    [***]        
[***]    [***] 17    34-393         MSGP07-2    [***]    [***]    [***]    [***]
   [***]    [***]    [***]    [***] 18    34-393         MSGP07-2    [***]   
[***]    [***]    [***]    [***]    [***]    [***]    [***] 19    34-393        
MSGP07-2    [***]    [***]    [***]    [***]    [***]    [***]    [***]    [***]
20    34-393         MSGP07-2    [***]    [***]    [***]    [***]    [***]     
   [***]    [***] 21    34-393         MSGP07-2    [***]    [***]    [***]   
[***]    [***]    [***]    [***]    [***] 22    34-393         MSGP07-2    [***]
   [***]    [***]    [***]    [***]    [***]    [***]    [***] 23    34-393   
CR49    MSGP07-2    [***]    [***]    [***]    [***]    [***]    [***]    [***]
   [***] 24    34-393         MSGP07-2    [***]    [***]    [***]    [***]   
[***]         [***]    [***] 25    34-393         MSGP07-2    [***]    [***]   
[***]    [***]    [***]         [***]    [***] 26    34-393    PR53    MSGP07-2
   [***]    [***]    [***]    [***]    [***]         [***]    [***] 27    34-383
        MSGP47-2    [***]    [***]    [***]    [***]    [***]         [***]     
28    34-383         MSGP47-2    [***]    [***]    [***]    [***]    [***]     
   [***]    [***] 29    34-383         MSGP47-2    [***]    [***]    [***]   
[***]    [***]    [***]    [***]    [***] 30    34-383         MSGP47-2    [***]
   [***]    [***]    [***]    [***]    [***]    [***]    [***] 31    34-383     
   MSGP47-2    [***]    [***]    [***]    [***]    [***]    [***]    [***]   
[***] 32    34-383         MSGP47-2    [***]    [***]    [***]    [***]    [***]
        [***]    [***] 33    34-383         MSGP47-2    [***]    [***]    [***]
   [***]    [***]    [***]    [***]    [***] 34    34-383         MSGP47-2   
[***]    [***]    [***]    [***]    [***]    [***]    [***]    [***] 35   
34-383    CR37    MSGP47-2    [***]    [***]    [***]    [***]    [***]    [***]
   [***]    [***] 36    34-383         MSGP47-2    [***]    [***]    [***]   
[***]    [***]         [***]    [***] 37    34-383         MSGP47-2    [***]   
[***]    [***]    [***]    [***]         [***]    [***] 38    34-380        
MSGP70-2    [***]    [***]    [***]    [***]    [***]         [***]      39   
34-380         MSGP70-2    [***]    [***]    [***]    [***]    [***]        
[***]    [***] 40    34-380         MSGP70-2    [***]    [***]    [***]    [***]
   [***]    [***]    [***]    [***] 41    34-380         MSGP70-2    [***]   
[***]    [***]    [***]    [***]    [***]    [***]    [***]

 

1

--------------------------------------------------------------------------------

AGE Cashier BETA Gaps for 11-04

 

ID

--------------------------------------------------------------------------------

   SCR

--------------------------------------------------------------------------------

   Release

--------------------------------------------------------------------------------

   Gap Id

--------------------------------------------------------------------------------

  

Task Name

--------------------------------------------------------------------------------

   %
COMP

--------------------------------------------------------------------------------

  Work

--------------------------------------------------------------------------------

  Start
Date

--------------------------------------------------------------------------------

  Finish
Date

--------------------------------------------------------------------------------

  Resource
Names

--------------------------------------------------------------------------------

  On-Site
Resource
Name

--------------------------------------------------------------------------------

  Text30

--------------------------------------------------------------------------------

42    34-380         MSGP70-2    [***]    [***]   [***]   [***]   [***]   [***]
  [***]   [***] 43    34-380         MSGP70-2    [***]    [***]   [***]   [***]
  [***]       [***]   [***] 44    34-380         MSGP70-2    [***]    [***]  
[***]   [***]   [***]   [***]   [***]   [***] 45    34-380         MSGP70-2   
[***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 46    34-380   
CR52    MSGP70-2    [***]    [***]   [***]   [***]   [***]       [***]   [***]
47    34-380         MSGP70-2    [***]    [***]   [***]   [***]   [***]      
[***]   [***] 48    34-380         MSGP70-2    [***]    [***]   [***]   [***]  
[***]       [***]   [***] 49    34-381         MSGP53-2    [***]    [***]  
[***]   [***]   [***]       [***]     50    34-381         MSGP53-2    [***]   
[***]   [***]   [***]   [***]       [***]   [***] 51    34-381         MSGP53-2
   [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 52    34-381
        MSGP53-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]  
[***] 53    34-381         MSGP53-2    [***]    [***]   [***]   [***]   [***]  
[***]   [***]   [***] 54    34-381         MSGP53-2    [***]    [***]   [***]  
[***]   [***]       [***]   [***] 55    34-381         MSGP53-2    [***]   
[***]   [***]   [***]   [***]   [***]   [***]   [***] 56    34-381        
MSGP53-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 57   
34-381    CR51    MSGP53-2    [***]    [***]   [***]   [***]   [***]   [***]  
[***]   [***] 58    34-381         MSGP53-2    [***]    [***]   [***]   [***]  
[***]       [***]   [***] 59    34-381         MSGP53-2    [***]    [***]  
[***]   [***]   [***]       [***]   [***] 60                   [***]    [***]  
[***]   [***]   [***]             61    34-518         MFGPT65-2    [***]   
[***]   [***]   [***]   [***]       [***]     62    34-518         MFGPT65-2   
[***]    [***]   [***]   [***]   [***]       [***]   [***] 63    34-518        
MFGPT65-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 64
   34-518         MFGPT65-2    [***]    [***]   [***]   [***]   [***]   [***]  
[***]   [***] 65    34-518         MFGPT65-2    [***]    [***]   [***]   [***]  
[***]       [***]   [***] 66    34-518         MFGPT65-2    [***]    [***]  
[***]   [***]   [***]   [***]   [***]   [***] 67    34-518         MFGPT65-2   
[***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 68    34-518   
CR50    MFGPT65-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]  
[***] 69    34-518         MFGPT65-2    [***]    [***]   [***]   [***]   [***]  
    [***]   [***] 70    34-518         MFGPT65-2    [***]    [***]   [***]  
[***]   [***]       [***]   [***] 71    34-513         MFGPT77-2    [***]   
[***]   [***]   [***]   [***]       [***]     72    34-513         MFGPT77-2   
[***]    [***]   [***]   [***]   [***]       [***]   [***] 73    34-513        
MFGPT77-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 74
   34-513         MFGPT77-2    [***]    [***]   [***]   [***]   [***]   [***]  
[***]   [***] 75    34-513         MFGPT77-2    [***]    [***]   [***]   [***]  
[***]   [***]   [***]   [***] 76    34-513         MFGPT77-2    [***]    [***]  
[***]   [***]   [***]       [***]   [***] 77    34-513         MFGPT77-2   
[***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 78    34-513     
   MFGPT77-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***]
79    34-513    CR39    MFGPT77-2    [***]    [***]   [***]   [***]   [***]  
[***]   [***]   [***] 80    34-513         MFGPT77-2    [***]    [***]   [***]  
[***]   [***]       [***]   [***] 81    34-513         MFGPT77-2    [***]   
[***]   [***]   [***]   [***]       [***]   [***] 82    34-505        
MFGPT100-2    [***]    [***]   [***]   [***]   [***]       [***]    

 

2

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83    34-505         MFGPT100-2    [***]    [***]   [***]   [***]   [***]      
[***]   [***] 84    34-505         MFGPT100-2    [***]    [***]   [***]   [***]
  [***]   [***]   [***]   [***] 85    34-505         MFGPT100-2    [***]   
[***]   [***]   [***]   [***]   [***]   [***]   [***] 86    34-505        
MFGPT100-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 87
   34-505         MFGPT100-2    [***]    [***]   [***]   [***]   [***]      
[***]   [***] 88    34-505         MFGPT100-2    [***]    [***]   [***]   [***]
  [***]   [***]   [***]   [***] 89    34-505         MFGPT100-2    [***]   
[***]   [***]   [***]   [***]   [***]   [***]   [***] 90    34-505    CR49   
MFGPT100-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 91
   34-505         MFGPT100-2    [***]    [***]   [***]   [***]   [***]      
[***]   [***] 92    34-505         MFGPT100-2    [***]    [***]   [***]   [***]
  [***]       [***]   [***] 93    XX-XXX         MFGPT112-2    [***]    [***]  
[***]   [***]   [***]       [***]     94    XX-XXX         MFGPT112-2    [***]
   [***]   [***]   [***]   [***]       [***]   [***] 95    XX-XXX        
MFGPT112-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 96
   XX-XXX         MFGPT112-2    [***]    [***]   [***]   [***]   [***]   [***]  
[***]   [***] 97    XX-XXX         MFGPT112-2    [***]    [***]   [***]   [***]
  [***]   [***]   [***]   [***] 98    XX-XXX         MFGPT112-2    [***]   
[***]   [***]   [***]   [***]       [***]   [***] 99    XX-XXX        
MFGPT112-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 100
   XX-XXX         MFGPT112-2    [***]    [***]   [***]   [***]   [***]   [***]  
[***]   [***] 101    XX-XXX    CR45    MFGPT112-2    [***]    [***]   [***]  
[***]   [***]   [***]   [***]   [***] 102    XX-XXX         MFGPT112-2    [***]
   [***]   [***]   [***]   [***]       [***]   [***] 103    XX-XXX        
MFGPT112-2    [***]    [***]   [***]   [***]   [***]       [***]   [***] 104   
               [***]    [***]   [***]   [***]   [***]             105    34-498
        FCGP001-2    [***]    [***]   [***]   [***]   [***]       [***]     106
   34-498         FCGP001-2    [***]    [***]   [***]   [***]   [***]      
[***]   [***] 107    34-498         FCGP001-2    [***]    [***]   [***]   [***]
  [***]   [***]   [***]   [***] 108    34-498         FCGP001-2    [***]   
[***]   [***]   [***]   [***]   [***]   [***]   [***] 109    34-498        
FCGP001-2    [***]    [***]   [***]   [***]   [***]       [***]   [***] 110   
34-498         FCGP001-2    [***]    [***]   [***]   [***]   [***]   [***]  
[***]   [***] 111    34-498         FCGP001-2    [***]    [***]   [***]   [***]
  [***]   [***]   [***]   [***] 112    34-498    CR56    FCGP001-2    [***]   
[***]   [***]   [***]   [***]   [***]   [***]   [***] 113    34-498        
FCGP001-2    [***]    [***]   [***]   [***]   [***]       [***]   [***] 114   
34-498         FCGP001-2    [***]    [***]   [***]   [***]   [***]       [***]  
[***] 115                   [***]    [***]   [***]   [***]   [***]            
116    34-316         MVGP35-2    [***]    [***]   [***]   [***]   [***]      
[***]     117    34-316         MVGP35-2    [***]    [***]   [***]   [***]  
[***]       [***]   [***] 118    34-316         MVGP35-2    [***]    [***]  
[***]   [***]   [***]   [***]   [***]   [***] 119    34-316         MVGP35-2   
[***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 120    34-316   
     MVGP35-2    [***]    [***]   [***]   [***]   [***]       [***]   [***] 121
   34-316         MVGP35-2    [***]    [***]   [***]   [***]   [***]   [***]  
[***]   [***] 122    34-316         MVGP35-2    [***]    [***]   [***]   [***]  
[***]   [***]   [***]   [***] 123    34-316    CR64    MVGP35-2    [***]   
[***]   [***]   [***]   [***]   [***]   [***]   [***]

 

3

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124    34-316         MVGP35-2    [***]    [***]   [***]   [***]   [***]      
[***]   [***] 125    34-316         MVGP35-2    [***]    [***]   [***]   [***]  
[***]       [***]   [***] 126                   [***]    [***]   [***]   [***]  
[***]             127    34-119         TNGP01-2    [***]    [***]   [***]  
[***]   [***]       [***]     128    34-119         TNGP01-2    [***]    [***]  
[***]   [***]   [***]       [***]   [***] 129    34-119         TNGP01-2   
[***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 130    34-119   
     TNGP01-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***]
131    34-119         TNGP01-2    [***]    [***]   [***]   [***]   [***]      
[***]   [***] 132    34-119         TNGP01-2    [***]    [***]   [***]   [***]  
[***]   [***]   [***]   [***] 133    34-119         TNGP01-2    [***]    [***]  
[***]   [***]   [***]   [***]   [***]   [***] 134    34-119    CR55    TNGP01-2
   [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 135    34-119
        TNGP01-2    [***]    [***]   [***]   [***]   [***]       [***]   [***]
136    34-119         TNGP01-2    [***]    [***]   [***]   [***]   [***]      
[***]   [***] 137    34-121         TNGP14-2    [***]    [***]   [***]   [***]  
[***]       [***]     138    34-121         TNGP14-2    [***]    [***]   [***]  
[***]   [***]       [***]   [***] 139    34-121         TNGP14-2    [***]   
[***]   [***]   [***]   [***]   [***]   [***]   [***] 140    34-121        
TNGP14-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 141
   34-121         TNGP14-2    [***]    [***]   [***]   [***]   [***]       [***]
  [***] 142    34-121         TNGP14-2    [***]    [***]   [***]   [***]   [***]
  [***]   [***]   [***] 143    34-121         TNGP14-2    [***]    [***]   [***]
  [***]   [***]   [***]   [***]   [***] 144    34-121    CR52    TNGP14-2   
[***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 145    34-121   
     TNGP14-2    [***]    [***]   [***]   [***]   [***]       [***]   [***] 146
   34-121         TNGP14-2    [***]    [***]   [***]   [***]   [***]       [***]
  [***] 147                   [***]    [***]   [***]   [***]   [***]            
148    34-465         ROGP070-2    [***]    [***]   [***]   [***]   [***]      
[***]     149    34-465         ROGP070-2    [***]    [***]   [***]   [***]  
[***]       [***]   [***] 150    34-465         ROGP070-2    [***]    [***]  
[***]   [***]   [***]   [***]   [***]   [***] 151    34-465         ROGP070-2   
[***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 152    34-465   
     ROGP070-2    [***]    [***]   [***]   [***]   [***]       [***]   [***] 153
   34-465         ROGP070-2    [***]    [***]   [***]   [***]   [***]   [***]  
[***]   [***] 154    34-465         ROGP070-2    [***]    [***]   [***]   [***]
  [***]   [***]   [***]   [***] 155    34-465    CR52    ROGP070-2    [***]   
[***]   [***]   [***]   [***]   [***]   [***]   [***] 156    34-465        
ROGP070-2    [***]    [***]   [***]   [***]   [***]       [***]   [***] 157   
34-465         ROGP070-2    [***]    [***]   [***]   [***]   [***]       [***]  
[***] 158    34-480         ROGP050-2    [***]    [***]   [***]   [***]   [***]
      [***]     159    34-480         ROGP050-2    [***]    [***]   [***]  
[***]   [***]       [***]   [***] 160    34-480         ROGP050-2    [***]   
[***]   [***]   [***]   [***]       [***]     161    34-480         ROGP050-2   
[***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 162    34-480   
     ROGP050-2    [***]    [***]   [***]   [***]   [***]       [***]   [***] 163
   34-480         ROGP050-2    [***]    [***]   [***]   [***]   [***]   [***]  
[***]   [***] 164    34-480         ROGP050-2    [***]    [***]   [***]   [***]
  [***]   [***]   [***]   [***]

 

4

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165    34-480    CR52    ROGP050-2    [***]    [***]   [***]   [***]   [***]  
[***]   [***]   [***] 166    34-480         ROGP050-2    [***]    [***]   [***]
  [***]   [***]       [***]   [***] 167    34-480         ROGP050-2    [***]   
[***]   [***]   [***]   [***]       [***]   [***] 168    34-580        
ROGP083-2    [***]    [***]   [***]   [***]   [***]       [***]     169   
34-580         ROGP083-2    [***]    [***]   [***]   [***]   [***]       [***]  
[***] 170    34-580         ROGP083-2    [***]    [***]   [***]   [***]   [***]
  [***]   [***]   [***] 171    34-580         ROGP083-2    [***]    [***]  
[***]   [***]   [***]   [***]   [***]   [***] 172    34-580         ROGP083-2   
[***]    [***]   [***]   [***]   [***]       [***]   [***] 173    34-580        
ROGP083-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 174
   34-580         ROGP083-2    [***]    [***]   [***]   [***]   [***]   [***]  
[***]   [***] 175    34-580    CR52    ROGP083-2    [***]    [***]   [***]  
[***]   [***]   [***]   [***]   [***] 176    34-580         ROGP083-2    [***]
   [***]   [***]   [***]   [***]       [***]   [***] 177    34-580        
ROGP083-2    [***]    [***]   [***]   [***]   [***]       [***]   [***] 178   
34-478         ROGP044-2    [***]    [***]   [***]   [***]   [***]       [***]  
  179    34-478         ROGP044-2    [***]    [***]   [***]   [***]   [***]    
  [***]   [***] 180    34-478         ROGP044-2    [***]    [***]   [***]  
[***]   [***]   [***]   [***]   [***] 181    34-478         ROGP044-2    [***]
   [***]   [***]   [***]   [***]   [***]   [***]   [***] 182    34-478        
ROGP044-2    [***]    [***]   [***]   [***]   [***]       [***]   [***] 183   
34-478         ROGP044-2    [***]    [***]   [***]   [***]   [***]   [***]  
[***]   [***] 184    34-478         ROGP044-2    [***]    [***]   [***]   [***]
  [***]   [***]   [***]   [***] 185    34-478    CR57    ROGP044-2    [***]   
[***]   [***]   [***]   [***]       [***]   [***] 186    34-478        
ROGP044-2    [***]    [***]   [***]   [***]   [***]       [***]   [***] 187   
34-478         ROGP044-2    [***]    [***]   [***]   [***]   [***]       [***]  
[***] 188    XX-XXX         ROGP84-2    [***]    [***]   [***]   [***]   [***]  
    [***]     189    XX-XXX         ROGP84-2    [***]    [***]   [***]   [***]  
[***]       [***]   [***] 190    XX-XXX         ROGP84-2    [***]    [***]  
[***]   [***]   [***]   [***]   [***]   [***] 191    XX-XXX         ROGP84-2   
[***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 192    XX-XXX   
     ROGP84-2    [***]    [***]   [***]   [***]   [***]       [***]   [***] 193
   XX-XXX         ROGP84-2    [***]    [***]   [***]   [***]   [***]   [***]  
[***]   [***] 194    XX-XXX         ROGP84-2    [***]    [***]   [***]   [***]  
[***]   [***]   [***]   [***] 195    XX-XXX    CR52    ROGP84-2    [***]   
[***]   [***]   [***]   [***]       [***]   [***] 196    XX-XXX         ROGP84-2
   [***]    [***]   [***]   [***]   [***]       [***]   [***] 197    XX-XXX     
   ROGP84-2    [***]    [***]   [***]   [***]   [***]       [***]   [***] 198   
34-579         ROGP080-2    [***]    [***]   [***]   [***]   [***]       [***]  
  199    34-579         ROGP080-2    [***]    [***]   [***]   [***]   [***]    
  [***]   [***] 200    34-579         ROGP080-2    [***]    [***]   [***]  
[***]   [***]   [***]   [***]   [***] 201    34-579         ROGP080-2    [***]
   [***]   [***]   [***]   [***]   [***]   [***]   [***] 202    34-579        
ROGP080-2    [***]    [***]   [***]   [***]   [***]       [***]   [***] 203   
34-579         ROGP080-2    [***]    [***]   [***]   [***]   [***]   [***]  
[***]   [***] 204    34-579         ROGP080-2    [***]    [***]   [***]   [***]
  [***]   [***]   [***]   [***] 205    34-579         ROGP080-2    [***]   
[***]   [***]   [***]   [***]   [***]   [***]   [***]

 

5

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206    34-579    CR59    ROGP080-2    [***]    [***]   [***]   [***]   [***]  
[***]   [***]   [***] 207    34-579         ROGP080-2    [***]    [***]   [***]
  [***]   [***]       [***]   [***] 208    34-579         ROGP080-2    [***]   
[***]   [***]   [***]   [***]       [***]   [***] 209    XX-XXX         ROGP42-2
   [***]    [***]   [***]   [***]   [***]       [***]     210    XX-XXX        
ROGP42-2    [***]    [***]   [***]   [***]   [***]       [***]   [***] 211   
XX-XXX         ROGP42-2    [***]    [***]   [***]   [***]   [***]   [***]  
[***]   [***] 212    XX-XXX         ROGP42-2    [***]    [***]   [***]   [***]  
[***]   [***]   [***]   [***] 213    XX-XXX         ROGP42-2    [***]    [***]  
[***]   [***]   [***]   [***]   [***]   [***] 214    XX-XXX         ROGP42-2   
[***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 215    XX-XXX   
     ROGP42-2    [***]    [***]   [***]   [***]   [***]       [***]   [***] 216
   XX-XXX         ROGP42-2    [***]    [***]   [***]   [***]   [***]       [***]
  [***] 217    XX-XXX         ROGP42-2    [***]    [***]   [***]   [***]   [***]
  [***]   [***]   [***] 218    XX-XXX         ROGP42-2    [***]    [***]   [***]
  [***]   [***]   [***]   [***]   [***] 219    XX-XXX         ROGP42-2    [***]
   [***]   [***]   [***]   [***]   [***]   [***]   [***] 220    XX-XXX        
ROGP42-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 221
   XX-XXX    CR57    ROGP42-2    [***]    [***]   [***]   [***]   [***]   [***]
  [***]   [***] 222    XX-XXX         ROGP42-2    [***]    [***]   [***]   [***]
  [***]       [***]   [***] 223    XX-XXX         ROGP42-2    [***]    [***]  
[***]   [***]   [***]       [***]   [***] 224    XX-XXX         ROGP42-2   
[***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 225             
     [***]    [***]   [***]   [***]   [***]       [***]     226    34-658     
   TLGP04-2    [***]    [***]   [***]   [***]   [***]       [***]   [***] 227   
34-658         TLGP04-2    [***]    [***]   [***]   [***]   [***]   [***]  
[***]   [***] 228    34-658         TLGP04-2    [***]    [***]   [***]   [***]  
[***]   [***]   [***]   [***] 229    34-658         TLGP04-2    [***]    [***]  
[***]   [***]   [***]       [***]   [***] 230    34-658         TLGP04-2   
[***]    [***]   [***]   [***]   [***]   [***]   [***]   [***] 231    34-658   
     TLGP04-2    [***]    [***]   [***]   [***]   [***]   [***]   [***]   [***]
232    34-658    CR59    TLGP04-2    [***]    [***]   [***]   [***]   [***]  
[***]   [***]   [***] 233    34-658         TLGP04-2    [***]    [***]   [***]  
[***]   [***]       [***]   [***] 234    34-658         TLGP04-2    [***]   
[***]   [***]   [***]   [***]       [***]   [***]

 

6

--------------------------------------------------------------------------------

AGE Client and Advisor Services BETA Gaps

 

ID

--------------------------------------------------------------------------------

   SCR

--------------------------------------------------------------------------------

   Release

--------------------------------------------------------------------------------

   Gap Id

--------------------------------------------------------------------------------

  

Task Name

--------------------------------------------------------------------------------

   %
COMP

--------------------------------------------------------------------------------

  Work

--------------------------------------------------------------------------------

  Start
Date

--------------------------------------------------------------------------------

  Finish
Date

--------------------------------------------------------------------------------

  Resource
Names

--------------------------------------------------------------------------------

  On-Site
Resource
Name

--------------------------------------------------------------------------------

  Text30

--------------------------------------------------------------------------------

1                   [***]    [***]   [***]   [***]   [***]             2        
          [***]    [***]   [***]   [***]   [***]       [***]     3    34-784   
     BLEN001-2    [***]    [***]   [***]   [***]   [***]       [***]     4   
34-784         BLEN001-2    [***]    [***]   [***]   [***]   [***]       [***]  
  5    34-784         BLEN001-2    [***]    [***]   [***]   [***]   [***]  
[***]   [***]     6    34-784         BLEN001-2    [***]    [***]   [***]  
[***]   [***]   [***]   [***]     7    34-784         BLEN001-2    [***]   
[***]   [***]   [***]   [***]   [***]   [***]     8    34-784         BLEN001-2
   [***]    [***]   [***]   [***]   [***]       [***]     9    34-784        
BLEN001-2    [***]    [***]   [***]   [***]   [***]       [***]     10    34-784
        BLEN001-2    [***]    [***]   [***]   [***]   [***]       [***]     11
   34-784         BLEN001-2    [***]    [***]   [***]   [***]   [***]   [***]  
[***]     12    34-784         BLEN001-2    [***]    [***]   [***]   [***]  
[***]       [***]     13    34-784         BLEN001-2    [***]    [***]   [***]  
[***]   [***]       [***]     14    34-784         BLEN001-2    [***]    [***]  
[***]   [***]   [***]       [***]     15    34-784         BLEN001-2    [***]   
[***]   [***]   [***]   [***]       [***]    

 

1

--------------------------------------------------------------------------------

 

Schedule C

to Exhibit 2

 

BETA SYSTEMS USER REQUEST FORM

All fields are required unless otherwise noted.

 

Request Date         Firm ID #       BETA ID #    

Firm Name       A.G. Edwards       Firm #       34    

Workstream         Module         Gap ID#      

 

BETA Liaison (onsite owner of module)

 

Name  

   

Phone Number  

   

Fax Number  

      Email Address      

 

Primary User Contact (Person able to answer questions about this request)

 

Name  

   

Phone Number  

   

Fax Number  

      Email Address      

 

BETA Account Manager

 

Name  

   

Phone Number  

   

Fax Number  

      Email Address      

DOBE Department Number  

      Date forwarded to Business Analyst      

 

Business Analyst

 

Name  

   

Phone Number  

   

Fax Number  

      Email Address      

 

AGE/BETA Confidential

Page 1 of 3

--------------------------------------------------------------------------------

 

BETA SYSTEMS USER REQUEST FORM

All fields are required unless otherwise noted.

 

Does request have any time constraints? Yes                       No
                 (only complete if BETA change is needed prior to conversion)

 

If yes, please indicate the implementation date and reason

 

Date                                                  

 

(Please note: If this is a regulatory issue, a copy of the regulatory rule must
be submitted with this request.)

 

[Note: Text enclosed in square brackets and displayed in blue italics
(style=InfoBlue) is included to provide guidance to the author and should be
deleted before publishing the document]

 

Requirements

 

_______________________________________________________________________________________________________

 

[User Requirements of the system should be specified here. Suggestions:

 

  • What do you expect the system to do for you?

 

  • Application Features, specific calculations, data presentation, etc...

 

  • Assumptions and dependencies

 

_______________________________________________________________________________________________________

 

_______________________________________________________________________________________________________

 

Other Details _______________________________________________________________________________________________

 

Describe the possible new online(s) and/or changes to existing online(s)/data
files._____________________________________

 

_______________________________________________________________________________________________________

 

[Suggestions: New screen functionality (NOT screen shots), list fields/input
needed, etc.]

 

What are the various inquiries for each online?
(If applicable) _____________________________________________________

 

What levels of security are needed?

 

[Suggestions: TSAR level information, entitlements, user sensitive data being
used, etc.]

 

_______________________________________________________________________________________________________

 

_______________________________________________________________________________________________________

 

What are the system availability needs?

 

[Suggestions: hours of use, after market hours activities, 24X7 etc.]

 

_______________________________________________________________________________________________________

 

_______________________________________________________________________________________________________

 

AGE/BETA Confidential

Page 2 of 3

--------------------------------------------------------------------------------

 

BETA SYSTEMS USER REQUEST FORM

All fields are required unless otherwise noted.

 

Report/Datafile Details (Complete the questions below if applicable.)

 

[Note: Provide report examples whenever possible.]

 

Describe the possible new report(s)/datafile(s) and/or changes to existing
report(s)/datafile(s)

 

_______________________________________________________________________________________________________

 

_______________________________________________________________________________________________________

 

Do you want to see the same information more than one way?     Yes
                 No             

Describe each view in detail.

 

_______________________________________________________________________________________________________

 

_______________________________________________________________________________________________________

 

How often should each view be generated?
____________________________________________________________________

 

_______________________________________________________________________________________________________

 

_______________________________________________________________________________________________________

 

Outside Vendor Details (Complete if applicable.)

 

Is an outside vendor required?     Yes                  No             

If yes, the following sections must be completed.

Vendor Name
___________________________________________________________________________________________

 

Vendor Address
_________________________________________________________________________________________

 

_______________________________________________________________________________________________________

 

Contact Name

 

______________________________________________________________________________________________________

 

[The following information is not required. If a record layout is available,
please submit it with this request.]

 

Additional Contacts
______________________________________________________________________________________

 

Website URL
___________________________________________________________________________________________

 

Communication interface requirements (if applicable)

 

[Describe any communications interfaces to other systems or devices such as
local area networks, remote serial devices, etc.]

 

_______________________________________________________________________________________________________

 

Add’l hardware/software requirements (if applicable)

 

[This section could describe any purchased components to be used with the
system, any applicable licensing or usage restrictions, and any associated
compatibility/interoperability or interface standards.]

 

_______________________________________________________________________________________________________

 

AGE/BETA Confidential

Page 3 of 3

--------------------------------------------------------------------------------

 

Schedule D

to Exhibit 2

 

FUNCTIONAL SPECIFICATIONS

(Sample)

 

BETA Systems Functional Specification Form

 

The attached form is the standard BETA Functional Specification document. This
represents the base document before being customized to the specification being
written. Depending on the circumstance of the specification, some of the
sections or individual points within a section apply and are completed for the
spec and some do not. The form serves as a guide to prompt the Business Analyst
who is developing the specification with what may need to be elements of the
spec. The end result is that the Functional Specification conveys the detailed
design of the new functionality in a form that the user can read. The user then
has the ability to review and sign off, assured that BETA understands and meets
the requirements of a change. In addition, the functional Specification is
turned over to the Development staff for programming of the software needed to
match the specification.

 

AGE/BETA Confidential

Page 1 of 5

--------------------------------------------------------------------------------

BETA SYSTEMS FUNCTIONAL SPECIFICATION FORM

All fields are required unless otherwise noted.

 

Request Date                                              Firm ID #
                                                 BETA ID #

___________________

          Firm Name                                                       Firm #
                                              BETA Liaison           Name
                                        
                                        
                                        
                                                                             
Phone Number                                         
                                        
                                        
                                                              Fax Number
                                                 Email Address
                                               Primary User Contact (Person able
to answer questions about this request)      Name
                                        
                                        
                                        
                                                                             
Phone Number                                         
                                        
                                        
                                                              Fax Number
                                             Email Address
                                               BETA Account Manager          
Name                                         
                                        
                                        
                                                                             
Phone Number                                         
                                        
                                        
                                                              Fax Number
                                                 Email Address
                                               DOBE Department Number
                            Date forwarded to Business Analyst
                                                           Business Analyst     
Name                                         
                                        
                                        
                                                                          Phone
Number                                         
                                        
                                        
                                                          Fax Number
                                                 Email Address
                                        
                                                             

 

AGE/BETA Confidential

Page 2 of 5

--------------------------------------------------------------------------------

FUNCTIONAL SPECS, Continued

 

Spec Status

 

Is additional information needed from other BETA resources? (e.g. Business
Analyst, Programmer)

 

Yes                                                           No             

 

Narrative Introduction

 

Scope

 

Scope does include

 

Scope does not include

 

On-line Specification

 

Please note: The design definition must be done for each screen added or
enhanced. Also note, this design must also be done for each BETALink
enhancement.

 

Fields

 

Independent Edits (e.g. A, B or C)

 

Relationship Edits (e.g. This field can only be a 4 if this other field is an X)

 

User keys (inquiry methods)

 

Sort criteria (account, type, security)

 

Function codes

 

Error messages

 

Totals

 

TSAR levels

 

Functionality of the screen

 

Procedures for adding a record

 

Procedures for correcting a record

 

Procedures for voiding a record

 

Procedures for deleting a record (if different than voiding)

 

Procedures for transmitting a record (include re-transmitting)

 

Online Availability

 

How long will data be available on-line?

 

How will information be archived?

 

If BETA is responsible for archiving, how long will the information be archived?

 

AGE/BETA Confidential

Page 3 of 5

--------------------------------------------------------------------------------

Report Specification

 

Please note: A report specification must be defined for each report added or
changed.

 

Frequency (daily, weekly, monthly, etc)

 

Field Headings

 

Size

 

Location of the report

 

Sort criteria (account, type, security)

 

Page breaks

 

Totals

 

Total breaks

 

If by sub

 

AGE/BETA Confidential

Page 4 of 5

--------------------------------------------------------------------------------

System Flow

 

Please note: Include for each BETALink enhancement (If applicable).

 

Other affected screens

 

Other affected reports

 

Other affected processes (Does this change an already existing process?)

 

Timings (cutoffs, deadlines)

 

Interfaces (files coming into or from BETA)

 

Record layouts

 

How will information be sent in or out? Firm by firm              Bulk
            

 

Communication type NDM             MDH              Web             
                    FTP              LU6.2             

 

How often will information be exchanged?

 

Daily              Weekly              Monthly              Multi Batch
             Continuous             

 

Are there any dependencies on other jobs, files or information? Yes             
No             

 

User sign-off needs             

 

Please indicate the number of times the user will need to sign-off before
process can continue.

 

Please note: There may be a need to talk to a programmer or other expert to
obtain system flow.

 

AGE/BETA Confidential

Page 5 of 5

--------------------------------------------------------------------------------

 

Schedule E

to Exhibit 2

 

FUNCTIONAL AND TECHNICAL SPECIFICATIONS SIGN OFF FORM

 

Gap ID     Workstream         Module     BETA SCR #        

 

Sign-off

 

Date                                         
                                                             

 

AGE Business Reviewer(s)                                         
                                        
                                                     

 

AGE/BETA Confidential

Page 1 of 1

--------------------------------------------------------------------------------

 

Schedule F

to Exhibit 2

 

POST-CONVERSION TECHNICAL SPECIFICATION

 

Sample

 

[***]

 

AGE/BETA Confidential

Page 1 of 14

--------------------------------------------------------------------------------

 

Schedule G

to Exhibit 2

 

SIGN OFF FOR COMPLETION OF TESTING

 

Gap ID     Workstream         Module     BETA SCR #        

 

Sign-off

 

Date                                         
                                                             

 

AGE Business Reviewer(s)                                         
                                        
                                                     

 

AGE/BETA Confidential

Page 1 of 1

--------------------------------------------------------------------------------

 

EXHIBIT 3

TO HOSTING AND SERVICES AGREEMENT

 

DESCRIPTION OF SERVICES

 

AGE/BETA Confidential

--------------------------------------------------------------------------------

[***]

 

--------------------------------------------------------------------------------

 

EXHIBIT 4

 

[***]

 

--------------------------------------------------------------------------------

 

EXHIBIT 5

TO HOSTING AND SERVICES AGREEMENT

 

[***]

 

AGE/BETA Confidential

--------------------------------------------------------------------------------

 

EXHIBIT 6

TO HOSTING AND SERVICES AGREEMENT

 

STRATEGIC DIRECTION

 

As part of BETA’s corporate strategic direction, BETA has plans to enhance the
BETA systems to provide the capabilities described below. The manner of
implementing the enhancements is subject to infrastructure and system
architecture considerations.

 

[                                                                               
                   ***                                         
                                                          ]

 

Page 1 of 2

--------------------------------------------------------------------------------

 

EXHIBIT 7

TO HOSTING AND SERVICES AGREEMENT

 

BETA SERVICE LOCATIONS

 

Location    List of Services provided at this location      United States     
    

350 N. Sunny Slope Road

Brookfield, WI 53005

  

Pre-Conversion Services

Conversion Services

Hosting Services

Help Desk/Customer Service

Business Continuity /Disaster Recovery Services

Development Services

    

(address confidential)

Wisconsin Data Center 2, WI

  

Hosting Services

BC/DR Services

    

111 Fulton Street,

7th Floor

New York, NY 10038

   Account Management     

50 California Street

17th Floor

San Francisco, CA

94111

   Account Management      England          

33 Aldgate High St.

EC3N 1 EA

4th Floor, London

United Kingdom

   BETA London product development and support      India          

15 Bahai’s Bhavan Rd

Bangalore-560 025, India

   Quality Assurance and development      Hong Kong          

10/F., Gloucester Tower

The Landmark 11 Pedder St.

Central, Hong Kong

   BETA London Employee – product development and support     

 

AGE/BETA Confidential

Page 1 of 1

--------------------------------------------------------------------------------

 

EXHIBIT 8

TO HOSTING AND SERVICES AGREEMENT

 

AGE SOFTWARE

 

AGE Proprietary Software:

 

Client One

 

ClientOne is AGE’s proprietary Financial Consultant Workstation. The proprietary
ClientOne container provides for the integration and navigation of a full suite
of financial services applications that enable AGE’s Financial Consultants to
serve their clients and attract new business. The proprietary and third party
applications which constitute the ClientOne Workstation, represent multiple
technologies, and are made available to each Financial Consultant via a Windows
NT/XP workstation.

 

AGE Third Party Software:

 

Attachmate myEXTRA Version 7.1.

 

Attachmate myEXTRA 7.1 is web-based 3270 terminal emulator application, which
provides secure, browser-based access to IBM mainframe host systems, such as
BETAHost.

 

AGE/BETA Confidential

Page 1 of 1

--------------------------------------------------------------------------------

 

Exhibit 9

To Hosting and Services Agreement

 

BETA SOFTWARE

 

VENDOR

--------------------------------------------------------------------------------

  

PRODUCT

--------------------------------------------------------------------------------

   VERSION

--------------------------------------------------------------------------------

  LICENSE
TYPE

--------------------------------------------------------------------------------

  LICENSE
LIMIT

--------------------------------------------------------------------------------

***

   ***    ***       ***

***

   ***    ***       ***      ***    ***              ***    ***       ***     
***    ***       ***      ***                   ***    ***       ***      ***   
***       ***      ***            ***      ***    ***              ***    ***  
           ***    ***       ***      ***    ***       ***      ***    ***      
       ***    ***       ***      ***    ***       ***      ***    ***       ***
     ***    ***       ***      ***    ***              ***    ***       ***     
***            ***      ***            ***      ***            ***      ***     
      ***      ***            ***      ***    ***       ***      ***    ***    
  ***      ***    ***              ***    ***              ***            ***  
   ***    ***        

***

   ***    ***   ***   ***      ***    ***   ***   ***

***

   ***    ***   ***   ***      ***    ***   ***   ***      ***        ***   ***
     ***    ***   ***   ***      ***    ***   ***   ***      ***    ***   ***  
***      ***    ***   ***   ***      ***    ***   ***   ***      ***    ***  
***   ***      ***    ***   ***   ***      ***    ***   ***   ***      ***   
***   ***   ***      ***    ***   ***   ***      ***    ***   ***   ***      ***
   ***   ***   ***      ***        ***   ***      ***    ***   ***   ***     
***    ***   ***   ***      ***    ***   ***   ***

***

   ***    ***   ***    

***

   ***    ***   ***          ***    ***        

 

AGE/BETA Confidential

Page 1 of 3

--------------------------------------------------------------------------------

VENDOR

--------------------------------------------------------------------------------

  

PRODUCT

--------------------------------------------------------------------------------

   VERSION

--------------------------------------------------------------------------------

  LICENSE
TYPE

--------------------------------------------------------------------------------

  LICENSE
LIMIT

--------------------------------------------------------------------------------

     ***    ***              ***    ***              ***    ***              ***
   ***              ***    ***              ***    ***              ***         
         ***    ***              ***                   ***                   ***
                  ***                   ***                   ***               
   ***    ***              ***                   ***                   ***   
***              ***    ***              ***    ***              ***    ***    
         ***    ***              ***    ***              ***                  
***    ***              ***    ***              ***                   ***       
           ***                   ***                   ***                   ***
   ***                           ***

***

   ***    ***                             ***    ***    ***         ***    ***
   ***       ***      ***            ***      ***    ***       ***      ***   
***       ***      ***            ***      ***    ***       ***                
   

***

   ***    ***         ***    ***    ***   ***   ***      ***                    
             ***    ***    ***   ***   ***      ***    ***                      
      ***    ***    ***              ***    ***              ***    ***        
     ***                   ***    ***              ***    ***              ***
                  ***                   ***                                   
                  ***    ***    ***         ***    ***    ***                  
          ***    ***    ***   ***   ***

 

AGE/BETA Confidential

Page 2 of 3

--------------------------------------------------------------------------------

VENDOR

--------------------------------------------------------------------------------

  

PRODUCT

--------------------------------------------------------------------------------

   VERSION

--------------------------------------------------------------------------------

  LICENSE
TYPE

--------------------------------------------------------------------------------

  LICENSE
LIMIT

--------------------------------------------------------------------------------

***

   ***    ***   ***   ***

***

                 

***

   ***    ***        

***

   ***    ***              ***    ***              ***    ***              ***
   ***        

***

                 

***

   ***    ***   ***   ***      ***    ***   ***   ***      ***    ***   ***  
***      ***    ***   ***   ***

***

   ***    ***   ***   ***

***

   ***    ***        

***

   ***    ***   ***   ***

***

   ***    ***        

***

   ***    ***              ***                   ***                   ***     
       

***

   ***    ***   ***   ***      ***    ***   ***   ***

***

   ***    ***        

***

   ***    ***        

***

   ***    ***   ***   ***

***

                 

***

                 

Vendor

--------------------------------------------------------------------------------

            Description of Software

--------------------------------------------------------------------------------

***

            ***    

***

            ***    

***

            ***    

***

            ***    

***

            ***    

***

            ***    

***

            ***    

***

            ***    

BETA Proprietary Software*

 

*  Includes all associated BETA Proprietary Software applications, modules and
other software associated with such software products.

***

            

***

            

***

            

***

            

***

            

***

            

***

            

***

            

 

AGE/BETA Confidential

Page 3 of 3

--------------------------------------------------------------------------------

 

EXHIBIT 10

TO HOSTING AND SERVICES AGREEMENT

 

BETA DIRECT COMPETITORS

 

ADP:

 

  • Brokerage Services Group

 

  • Wilco

 

Sungard Phase 3:

 

  • Asset Management Systems

 

  • Securities Processing

 

  • Wealth Management Services

 

Pershing/BNY

 

FiServ Securities

 

Computer Research, Inc.

 

Brokerage Computer Systems

 

Comprehensive Software Systems

 

The Davidsohn Group

 

Securities BackOffice Solutions Inc.

 

Shadow Financial Services Corp.

 

AGE/BETA Confidential

Page 1 of 1

--------------------------------------------------------------------------------

 

EXHIBIT 11

TO HOSTING AND SERVICES AGREEMENT

 

TECHNICAL ARCHITECTURE

 

See attached documents:

 

1. [***]

 

2. [***]

 

AGE/BETA Confidential

Page 1 of 1

--------------------------------------------------------------------------------

 

EXHIBIT 12

TO HOSTING AND SERVICES AGREEMENT

 

GOVERNANCE STRUCTURE AND MODEL

 

This document contains confidential and proprietary contract information; except
with the express prior written permission of AGE and BETA, such information may
not be published, disclosed, or used for any other purpose.

 

AGE/BETA Confidential

Page 1 of 21

--------------------------------------------------------------------------------

[***]

 

--------------------------------------------------------------------------------

 

EXHIBIT 13

TO HOSTING AND SERVICES AGREEMENT

 

SECURITY AND OPERATIONAL PROCEDURES

 

Security Procedures:

 

1. Virus Protection Requirement: BETA’s Systems, Applications, and/or programs
shall be protected against viruses, worms, Trojan horses, logic bombs, and other
Destructive Elements. BETA shall, at all times have current anti-viral
protection, prevention, and detection software with the most up-to-date virus
signature files installed. To protect the integrity of software and information
(including AGE Data), BETA shall also have in place policies and procedures
designed to prevent and detect the introduction of Destructive Elements. BETA’s
controls shall include, but not be limited to the following:

 

a) Maintaining a formal policy to protect against risks associated with
obtaining files and software either from or via external networks, or on any
other medium, indicating what protective measures should be taken.

 

b) Installing and regular updating anti-virus detection and repair software to
scan computers and media either as a precautionary control or on a routine
basis.

 

c) Checking any files on electronic media of uncertain or unauthorized origin,
or files received over untrusted networks, for viruses before use.

 

d) Checking any electronic mail attachments and downloads for Destructive
Elements before use. This check may be carried out at different places, for
example at electronic mail servers, desktop computers or when entering the
network of the organization.

 

e) Maintaining and if necessary promptly implementing appropriate business
continuity plans for recovering from virus attacks, including all necessary data
and software back-up and recovery arrangements.

 

2. Firewall Protection Requirement: BETA shall use firewalls to control the
security of its networks and Systems on a continuous 24x7x365 basis. BETA shall
ensure secure controls within the networks and Systems to segregate groups of
information services, users, and information systems.

 

3. Audit Trail Requirement: BETA’s Systems and Applications shall provide AGE
the ability to audit activity on the System or Application that houses AGE Data.
These audit trail functions include, but are not limited to (a) unsuccessful
logon attempts resulting in a system lockout, (b) report or query capabilities
to list current AGE End

 

AGE/BETA Confidential

Page 1 of 6

--------------------------------------------------------------------------------

Users, (c) report or query capabilities to list End User access permissions, and
(d) report of End Users that have not logged on in at least 60 days.

 

AGE may request Beta to provide additional information during a specific
security investigation. BETA will use best efforts to gather available data to
assist in such investigation.

 

4. System Testing and Verification Requirement: BETA shall provide AGE pertinent
security review information that relates to the security of AGE Data residing on
the BETA Systems. AGE shall participate with the BETA user community (BUC) to
determine the scope of SAS 70 audits (which shall, in no event, be less than
those specified in the Agreement), and receive copies of all SAS 70 audits of
BETA. BETA shall allow AGE to perform periodic security audits on a mutually
agreed upon time and approach to validate the security of AGE Data residing on
the BETA Systems.

 

5. Security Incident Response and Reporting Requirement: For the purposes of
this Exhibit, a “security incident” is defined as any suspicious or unauthorized
activity that may expose any AGE Data or information to any accidental or
unauthorized disclosure, corruption, loss, change, theft, sabotage, or
unavailability. BETA shall have incident management responsibilities and
procedures in place to ensure a quick, effective and orderly response to
security incidents, and shall promptly implement such responsibilities and
procedures in the event of a security incident. The following controls are
required:

 

a) Procedures should be established to cover all potential types of security
incident, including:

 

1) Information system failures and loss of Service.

 

2) Denial of Service.

 

3) Errors resulting from incomplete or inaccurate business data.

 

4) Breaches of confidentiality.

 

b) In addition to normal contingency plans (designed to recover Systems or
Services as quickly as possible) the procedures shall also cover:

 

1) Analysis and identification of the cause of the security incident.

 

2) Planning and implementation of remedies to prevent recurrence, if necessary.

 

3) Collection of audit trails and similar evidence.

 

4) Communication with those affected by or involved with recovery from the
security incident.

 

5) Reporting the action to the appropriate authority.

 

c) Audit trails and similar evidence shall be collected and secured, as
appropriate, for:

 

1) Internal problem analysis.

 

Page 2 of 6

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2) Use as evidence in relation to a potential breach of the Agreement, breach of
regulatory requirement or Law or in the event of civil or criminal proceedings,
as related to any computer abuse or data protection legislation.

 

3) Negotiating for compensation from third party software and service suppliers.

 

d) Action to recover from security breaches and correct system failures that are
carefully and formally controlled. The procedures shall ensure that:

 

1) Only clearly identified and authorized staff and third party personnel are
allowed access to live Systems and AGE Data.

 

2) All emergency actions taken are documented in detail.

 

3) Emergency action is reported to BETA and AGE management and reviewed in an
orderly manner.

 

4) The integrity of business systems and controls is confirmed with minimal
delay.

 

In the event a security incident does occur, BETA shall report the incident(s)
to AGE within 24 hours of BETA’s initial detection of the security incident.
BETA shall also comply with all relevant Laws relating to notification of
security incidents involving AGE Data.

 

6. Secure Transmission Requirement: All transmissions or communication of any
AGE Data and information between AGE and BETA shall be secured by at least
128-bit encryption strength and dedicated telecommunication lines, unless
alternate connectivity is mutually agreed upon.

 

7. Security Policies and Procedures Requirement: BETA shall provide AGE with
BETA’s security policies and procedures on, at least, an annual basis, whenever
major System, Application, and program revisions occur, and whenever requested
by AGE. BETA shall also provide AGE with external audit reports pertaining to
any System, Application, or program that uses, store, transmits, receives, or
otherwise handles AGE Data and information within 60 days of the date of the
report.

 

8. Security Maintenance Requirement: BETA shall keep all hardware, Systems, and
Software that uses, stores, transmits, receives, or otherwise handles AGE Data
and information updated to ensure full protection of the AGE Data. Without
limiting the generality of the foregoing, BETA shall comply with the following:

 

a) Equipment shall be maintained in accordance with the supplier’s recommended
service intervals and specifications.

 

b) Only authorized maintenance personnel shall carry out repairs and service
equipment.

 

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c) Records shall be kept of all suspected or actual faults and all preventive
and corrective maintenance.

 

d) Appropriate controls shall be taken when sending Equipment off BETA’s
premises for maintenance. Measures shall be taken to ensure that any AGE Data is
either purged or made unreadable by encryption methods when any storage device
is off premises for maintenance.

 

Operational Requirements:

 

1. Organization and Administration. BETA shall maintain and implement
organizational control policies and procedures to ensure that:

 

  • Human Resources – All organizational structure, job descriptions, functional
and administrative responsibilities, and lines of authority and reporting are
clearly defined and communicated through organization charts, which are updated
periodically to provide adequate supervisory control. Incompatible duties within
IT (Information Technology) will be adequately segregated and personnel properly
supervised.

 

  • Policies and Procedures – IT policies and procedures have been developed and
maintained to guide IT operations, and communicated to BETA’s IT personnel.

 

  • Compliance — Periodic reviews are performed by BETA on the Application
Systems and the information service function to ensure their compliance with
legal and regulatory requirements and meeting performance standards, including
Service Levels.

 

  • Internal Audit — Audits on quality control are conducted regularly by
independent and qualified personnel. Findings shall be documented in reports and
AGE and BETA management shall be briefed on a timely basis the performance
results, regulatory and contractual changes affecting BETA and its customers.

 

  • Insurance — Comprehensive insurance coverage is maintained in accordance
with the Agreement to minimize the effect of business interruptions.

 

2. Computer Operations. BETA shall maintain and implement control policies and
procedures to ensure that:

 

  • Job Processing –Processing is initiated by authorized individuals, scheduled
appropriately, monitored and deviations are identified and resolved, and written
procedures are in place to properly restart and rerun production jobs.

 

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  • Data Transmissions – Data transmissions between BETA and user organizations
or third parties are monitored, complete, accurate and secure.

 

  • Service Management – Problems reported by AGE and other BETA customers and
problems discovered internally are assigned to the appropriate business team for
resolution and are addressed within reasonable timeframes.

 

  • System Availability and Capacity - System availability, System capacity and
network bandwidth are maintained at appropriate levels.

 

3. System Development, Maintenance, and Documentation. BETA shall maintain and
implement control policies and procedures to ensure that:

 

  • Application Development, Maintenance and Documentation –Changes to
Application Software are properly authorized, tested, approved, implemented and
documented.

 

  • System Software Maintenance and Implementation – Changes to existing Systems
Software are properly authorized, tested, approved, implemented and documented.

 

  • Network and Telecommunication Device Settings –End Users are required to
complete an infrastructure access form for the modification of firewall and
router settings. Proper approval of the changes must be obtained and documented
by authorized representatives from the security, network and system departments.
When approved, the change is scheduled during an assigned change control period.

 

  • Segregation Between Test and Production – There is a clear separation
between test and production Systems and demonstration of the Systems use test
accounts in a test system that maintains the confidentiality of user
organization data.

 

4. Access Control. BETA shall maintain and implement control policies and
procedures to ensure that:

 

  • Physical Access – Physical access to computer Equipment, storage media and
program documentation is limited to properly authorized individuals.

 

  • Logical Access – Logical access to Applications, programs, AGE Data, and
other user organization data is limited to properly authorized individuals.

 

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  • Remote Access — Unauthorized individuals cannot gain access to Systems,
Applications, programs and AGE Data from the Internet or by dial-in, which
policies and procedures shall include the use of hardware/software firewalls.

 

5. Disaster Recovery and Business Continuity. BETA shall maintain and implement
control policies and procedures to ensure that:

 

  • Disaster Recovery and Business Continuity – Disaster Recovery Plans and
business continuity policies, procedures and arrangements enable minimal
disruption of Application processing activities and Services to End User
organizations.

 

  • Backups – Critical data is consistently backed up and stored in a secure
location.

 

  • Environmental Protection – Safeguards are in place to prevent or limit
damage from known hazards.

 

  • UPS – Uninterrupted power supply (UPS) are properly installed and maintained
to provide power to critical Systems in the event of a power failure.
Diesel-powered generators are on-site with enough fuel to operate for an
appropriate length of time.

 

Operational Requirements shall be maintained for the mainframe, NT, other
distributed systems (1), and network devices (2).

 

  (1) Examples of other distributed systems in the Beta environment include the
XT Server, Beta Access Server, BETA Connect servers and the Powermart Server
(RS6000, RGATES and BLONDS)

 

  (2) Examples of other network devices in the Beta environment include ESCON
Directors, IBM 2216, IBM 3745, CISCO 7505, CISCO 6509 and CISCO 1900.

 

Page 6 of 6

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EXHIBIT 14

TO HOSTING AND SERVICES AGREEMENT

 

KEY PERSONNEL AND KEY POSITIONS

 

[***]

 

AGE/BETA Confidential

Page 1 of 2

--------------------------------------------------------------------------------

 

EXHIBIT 15

TO HOSTING AND SERVICES AGREEMENT

 

[RESERVED]

 

AGE/BETA Confidential

Page 1 of 1

--------------------------------------------------------------------------------

 

EXHIBIT 16

TO HOSTING AND SERVICES AGREEMENT

 

PRODUCT AVAILABILITY TIMES

 

All times are considered System Time (Eastern Time)

 

BETAHost

 

Daily:

7:00 AM to 7:00 PM* (production available)

7:00 PM to 12:00 AM (limited update availability)

Saturday/Sunday

7:00 AM to 9:00 PM (production available)

9:00 PM to 7:00 AM (unavailable IPL and Maintenance)

7:00 AM to Monday 7:00 AM (production available)

 

*Assuming AGE production batch begins at 7:00 PM.

 

BLServer Inquiry Times:

 

Same as BETAHost Inquiry time as the basis including the planned notified outage
but with an extra benefit:

Inquiry 24x7x365 (Except Planned announced outages)

 

BLServer Update:

 

Same as BETAHost update. (Not 24x7x365)

 

BETALink Inquiry and Update

 

Same as BETAHost

 

XTServer:

 

XTServer has neither Inquiry nor Update capability. XTServer will send a message
of events that take place in BETAHost.

During BETAHost Update time: Available

During BETAHost Batch time: Available

During a Planned Outage: Not Available

 

AGE/BETA Confidential

Page 1 of 1

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EXHIBIT 17

TO HOSTING AND SERVICES AGREEMENT

 

NEW SERVICES

 

Section 1.01 New Services.

 

The following shall apply to AGE’s request for New Services to the extent that
such request is not otherwise a request for a change, enhancement, or project
for which AGE and BETA will use the SCR Process described in Exhibit 3. In the
event that AGE makes such a request for New Services, BETA and AGE shall
promptly meet and confer to agree upon a process for determining the following:

 

(a) a description of the services, function and responsibilities anticipated to
be performed in connection with such New Service;

 

(b) a schedule for commencing and completing (or maintaining) such New Service;

 

(c) BETA’s prospective fees for such New Service and, if requested by AGE, a
“not to exceed” amount; and

 

(d) such other information reasonably requested by either Party.

 

BETA shall not begin performing any New Service until the AGE Account Executive
has provided BETA with authorization to perform the New Service.

 

Section 1.02 Third Party Services.

 

Notwithstanding any request made to BETA by AGE pursuant to Section 1.01 above
or any other provision in the Agreement, AGE shall have the right at any time to
perform any New Service itself and/or to contract with a third party to perform
any New Service.

 

AGE/BETA Confidential

Page1 of 1

--------------------------------------------------------------------------------

 

EXHIBIT 18

TO HOSTING AND SERVICES AGREEMENT

 

[***]

 

AGE/BETA Confidential

Page 1 of 1

--------------------------------------------------------------------------------

 

EXHIBIT 19

TO HOSTING AND SERVICES AGREEMENT

 

[RESERVED]

 

AGE/BETA Confidential

Page 1 of 1

--------------------------------------------------------------------------------

Exhibit 20 - Pro forma Invoice

 

[***]

 

--------------------------------------------------------------------------------

 

EXHIBIT 21

TO HOSTING AND SERVICES AGREEMENT

 

I. System Narrative -

 

1. BETAHost®

 

BETAHost is a mainframe-based, integrated, parameter driven, user defined,
real-time processing system, consisting of user transactions commonly referred
to as “online functions”. These functions are used to enter and process orders
for securities, and to maintain customer and firm accounts. Onlines feature
useful color indications, consistent commands, and fill-in-the-blank formats.
Functions are grouped according to departments typically found in a back office.
Menu-driven access is provided to various online systems such as branch, order
processing, tax reporting applications, and back office applications.

 

BETA will provide AGE with, and the BETA Core Systems will have, the full
additional functionality required to resolve AGE’s Conversion Gaps (as described
in the Pre-Conversion Agreement) and the BETA Deferred Gaps.

 

The included departments and their corresponding online functions and reports
are more fully described in the Online Documentation CD attached hereto and
incorporated herein as Attachment 21-A.

 

BETAHost includes the following functionality components (at a high level, with
additional functionality within each of the items set forth below). The
following functionality components are also included in the Online Documentation
CD. :

 

  • ACATS Processing

 

  • Non-ACATS Tracking System

 

  • ACATS Fund/SERV

 

  • Accounts Payable

 

  • Account Master

 

  • Account Demographic Information

 

  • Account Householding

 

  • ACH Processing

 

  • Asset Allocation System (Mutual Funds)

 

  • Auto Exchange Links

 

  • Cashiering - Autocage

 

  • Automated Margin Notification Systems

 

  • Automated Customer Fee Processing

 

  • Block/Average Price Trading

 

  • Integrated Option Assignment & Exercise System

 

  • Automated REG-T Extensions

 

  • Automated Periodic Investments/Withdrawal

 

  • Bank Reconciliation Interfaces

 

  • Block Order Allocation

 

  • Blue Sheet Reporting (Regulatory)

 

AGE/BETA Confidential

Page 1 of 11

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  • Bond calculator

 

  • Branch New Account Opening

 

  • Branch Cashiering Support

 

  • Branch Check Requests

 

  • Cash Management

 

  • Cash Debit System

 

  • Check Processing

 

  • Year-End Tax Reporting

 

  • Centralized Security Master

 

  • User Customized Security Master

 

  • Collateral Loan System

 

  • Combined Trade Date/Settlement Stock Record

 

  • Compliance/Regulatory Support and Reporting

 

  • Qualified Plan/IRA Processing & Reporting System

 

  • Fund/SERV, non-Fund/SERV Processing System

 

  • Customer and Broker Reorg Notification System

 

  • Links to External IRA Custodial Processing Services

 

  • Correspondent Clearing Support

 

  • Customer Tax Reporting

 

  • Customer Statements Parameters

 

  • Customer ACH Interface

 

  • Customer Suitability Trading Edits

 

  • Customized Margin Interest Rates

 

  • Debit/credit card processing

 

  • Derivatives Processing

 

  • Dividends/Reorg/Proxy Interface

 

  • DTC Direct Deposit System

 

  • DTC Direct Mail

 

  • Fail Contol

 

  • FIPS Reporting

 

  • Floor Broker Billing System

 

  • Frozen Fund Processing

 

  • GSCC/MBSCC Interfaces

 

  • Historical Stock Record

 

  • Integrated General Ledger System

 

  • Integrated Compliance Monitoring

 

  • Interactive I.D.

 

  • Institutional Delivery System

 

  • Institutional Block Order Entry System

 

  • Inventory Offering/Trading

 

  • Inventory Risk Management

 

  • Lead/Prospecting Support

 

  • Listed and Corporate Pricing

 

  • Managed Accounts

 

  • Customized Margin Requirements by Account

 

  • Multi-Currency Capability

 

  • Mutual Fund Order/Network Processing

 

  • New Accounts

 

  • Online Dividend Announcement

 

  • Online Dividend Reinvestment

 

  • Online Reorg Announcements

 

  • Order Review/Release Support

 

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  • Order File History

 

  • Order processing

 

  • OTC Trading Interface

 

  • OATS-Compliant Interface

 

  • Periodic Investment System

 

  • Prime Brokerage Accounting/Trading

 

  • Professional Execution Services

 

  • Registered Rep Registration

 

  • Stock Record Activity

 

  • Security Processing

 

  • Required Minimum Distribution

 

  • Restricted Securities Processing

 

  • Restricted Trade Capabilities

 

  • Real-time P&S

 

  • Multiple Intra-day P&S Comparisons

 

  • Sophisticated Order Routing

 

  • Stock Loan Interfaces (internal and external)

 

  • Syndicate Order Entry

 

  • Syndicate Trading System

 

  • Systematic Funds Distribution

 

  • Tax Lot Accounting

 

  • Third Market Listed Trading Interfaces

 

  • Real time margin calculations

 

  • User Defined Firm Parameters

 

  • User –defined system Security and Internal Audit Functionality

 

  • User-Defined broker commission and Payout System

 

  • When-issued processing

 

  • WRAP Account System

 

  • What-if scenarios

 

  • Real-time Inventory Accounting

 

BETAHost processes foreign and domestic securities, as included within the
Security Master file and allows AGE to trade multiple currencies within a single
account number. BETAHost maintains a foreign currency exchange rate file with
history and supports multiple currencies in the general ledger as well as in
inventory trading accounts. Foreign currency activity is stored for use by
online screens, for printed reports and the monthly statement file.

 

BETA Systems provides connectivity to a variety of security industry interfaces
that support AGE’s business model. These interfaces include but are not limited
to Accounting – General Ledger, Asset Allocation Performance Reporting Systems,
Bank/Off Premise Depositories, Clearing/Settlement Systems, Client Internet
Support Systems, Client Verification Credit Checks, Cool Storage Systems, Mutual
Funds – Annuities (non-NSCC), Pricing/Corporate Action Vendors, Print Vendors,
Proxy Services, Regulatory, Statement/Confirm Vendors,
Exchanges/ECNs/Third-Market Trading – Routing Systems, and Tax Reporting
Systems.

 

Page 3 of 11

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BETAHost Services also include:

 

  • Help Desk and Customer Services as described in the Exhibit 3.

 

  • National Account Management – manages client relationship (i.e. client
advocate, resolves client issues) as described in Exhibit 12.

 

  • Business analysts – high-level support for customer service.

 

  • Mission Control – maintains and manages system capacity management &
planning, proactive performance analysis & management, real-time monitoring of
exchange/trade connections, monitors network & communication
lines/infrastructure and operations management of interfaces between BETA,
Client and third-party vendors.

 

BETAHost will also have the functionality described below:

 

[

 

***

 

].

 

[

 

***

 

].

 

[

 

***

 

]

 

The mutually agreed upon functional specifications pursuant to the
Pre-Conversion Agreement contain the functionality supported by trailers.

 

2. BETA Access™:

 

BETA Access is data delivery system. It provides BETAHost data and is compatible
with ODBC database products.

 

BETA Access connects the BETA mainframe to AGE’s existing database server via a
secure communication line. Data is downloaded from the BETAHost system to AGE’s
onsite database, creating a single source of distribution for data and reduces
the problems inherent with transferring files. BETA Access provides a flexible
nightly or weekly transfer schedule.

 

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3. BLServer™:

 

BLServer is an Application Programming Interface (API) solution that allows AGE
to perform synchronous, two-way data transactions between AGE server and a
series of servers on the BETA mainframe. Using a secure TCP/IP network socket
connection, AGE can access the very same data available via BETALink and
BETAHost applications.

 

BLServer leverages business logic for both inbound and outbound data
transmissions. BLServer provides interactive, real-time data access to
comprehensive account, equities, options and mutual fund information; and
supports both inquiry and update messages to the databases.

 

4. XT Server™:

 

XTServer is an event-triggered data update delivery system that provides AGE
with the ability to receive delivery of real-time transaction messages processed
by BETAHost and transmitted via MQSeries™ servers.

 

Real-time transactions—such as trade executions for equity, options, mutual
fund, and fixed income; intraday-posted cash entries; intraday account security
transfers; security master file updates and process/job completions—trigger the
message queuing and delivery process between MQSeries servers.

 

MQSeries processing services transmits the messages to AGE. Message formats use
platform-independent XML universal computing language. Once the transaction
messages are received at AGE’s local MQSeries server, AGE applies AGE’s business
logic to automatically route, integrate and process them to satisfy AGE’s
end-user application requirements.

 

5. Notifications – Event based middleware

 

[

 

***

 

]

 

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The mutually agreed upon functional specifications pursuant to the
Pre-Conversion Agreement contain the functionality supported by the event based
middleware.

 

6. BETAConnect™:

 

BETAConnect is an Application Programming Interface (API) to BETAHost. This API
system accepts and processes orders, administrative messages, execution reports,
status messages, and unsolicited trade message types at the protocol or
application levels.

 

BETAConnect supports multiple order-processing messaging formats, including
variations of the Common Message Switch/Floor Communications Standard (CMS/FCS)
or the Financial Information eXchange (FIX) format over a TCP/IP communication
network. BETAConnect supports asynchronous, order-processing messages, and
connects execution provider systems, including exchange, third market, ECN, and
trading entities. Security is handled through a combination of TCP/IP
addressing, firewalls, router access lists, and password-protected user logon
IDs.

 

7. Enhanced BETALink (Modular Client Function System)

 

Enhanced BETALink includes the mutually agreed functionality of BETALink set
forth for standard BETALink (see “DEFINITIONS of Optional Services to AGE” of
BETALink). Enhanced BETALink is provided to AGE with tab content of BETALink.
AGE is responsible for creating user workbooks or equivalent and providing a
container (i.e., Client One). A special interface is provided so that AGE can
create value-add, non-competing, solutions to the desktop. The mutually agreed
upon functional specifications pursuant to the Pre-Conversion Agreement set
forth the tab level functions selected by AGE.

 

8. BETAHost™ Customer History:

 

BETAHost™ Customer History provides the ability to subscribe to extended data
storage of AGE records beyond the standard retention period. Extended data
storage is available for Customer Ledger (CLED) up to two years beyond the
standard retention period, Order History (OHIS) up to sixty days beyond the
standard retention period, and Statement Account Reconciliation (STAR) up to two
years.

 

AGE financial consultants and front office personnel can access extended data
storage records using the Enhanced BETALink Activity, and Order Inquiry tabs.
AGE back office personnel can access extended data storage records through
familiar BETAHost CLED/AHIS, OHIS and STAR functions.

 

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9. BETAHost™ Oasys Directsm:

 

BETAHost™ Oasys Directsm interface provides integrated functionality by
consolidation of AGEs back-office/institutional electronic trade allocation and
acceptance activities — including fixed income allocations — into real-time
integrated system.

 

With BETAHost™ integration, OASYS Directsm back-office/institutional trade
allocation and acceptance activities are transacted using AGE’s BETAHost™
terminals. This includes the ability to correct account numbers on-line to
facilitate the trade allocation process.

 

The interface provides the flexibility to include additional trade detail
information (i.e., special commissions, exchange codes, block desk ID’s), even
the ability to edit and re-send additional information throughout the day. In
addition, users can choose to send a trade and allocation to BETA’s Block
Trading System.

 

II. DEFINITIONS of Optional Services to AGE

 

1. BETALink™:

 

BETALink is a financial advisor front office workstation that provides real-time
and batch account-related client and security information (positions, balances,
open and closed holdings, margins, etc.) order entry capability and access to
firm inventory offerings. This Windows-based product runs within the Thomson ONE
workstation framework, which provides market data information and integration
capabilities.

 

BETALink provides financial advisors with a user-focus workbook presentation
style with mark-to-market, auto populate, tax lots, inventory for sale,
calculators, reports and commission history features. It allows advisors to
track and analyze commission information, calculate commissions and bond rates,
and generate pre-defined reports.

 

2. BETALink Plus™:

 

As a companion of BETALink, BETALink Plus provides financial advisors with a
multi-functional contact management productivity tool that incorporates key
account information and a business calendar to manage customer relationships.

 

BETALink Plus allows advisors to pull up critical data that leverages BETA’s
single data source, right from their workstation. They can move seamlessly from
BETALink Plus’ customer data to BETALink’s account data with a simple
right-mouse click.

 

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3. BETAHost™ OnDemand Report Archiving:

 

BETAHost™ OnDemand provides a solution to manage archival, retrieval,
presentation and distribution of BETAHost reports on portable storage media to
facilitate compliance with the SEC’s long-term data retention requirements.
Using DVD (Digital Video Disks) or CD-ROM technology, the Report Archival
Management Service provides digital storage as an option to retaining paper
hardcopy or microfiche report records for regulatory compliance.

 

Reports are organized and logically grouped in folders. Folders can be searched
through a ‘fill-in-the-blank’ query, to locate the desired report and specific
information within a report. Searches can be applied against a single report, a
group of reports or against a folder. Password security insures that only
designated members of your operation’s staff have access to archived firm
records.

 

4. BETAHost™ OnDemand On-line Report Viewing:

 

BETAHost™ OnDemand On-Line report viewing provides the ability to view BETAHost
reports through firms’ viewers such as a PC application and a standard Web
browser. Through these client viewers, a firm’s staff can review any report from
their personal workstation, rather than having to use a separate, dedicated
terminal.

 

Reports are organized and logically grouped in folders, storing one report type
per folder. This categorization accommodates review of your business information
for operational purposes on a daily, weekly, or monthly basis.

 

Folders can be searched through ‘fill-in-the-blank’ queries and search strings
to locate a desired report and specific information within a report. While
electronically viewing a report, users can append annotations, providing
references for future purposes.

 

5. BETAHost™ ALERTsm Direct:

 

BETAHost™ ALERTsm Direct provides integrated functionality by consolidation of a
firm’s back-office/institutional standing settlement and account instructions
into a integrated system.

 

With BETAHost integration, ALERTsm Direct back-office/institutional standing
settlement and account instruction activities are transacted using your firm’s
BETAHost terminals, providing automatic updates of standing settlement
instructions.

 

Instructions are stored in custodian settlement models and automatically
transmitted to broker/dealers affected by the change. Furthermore, custodians
are notified when changes are made to accounts attached to the bank’s settlement
models.

 

6. Business Consulting Services:

 

A fee based brokerage consulting service business to assist BETA customers with
industry and BETA systems expertise. In addition provide customers project
management support for their internal projects, assist customer with identifying

 

Page 8 of 11

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responsibilities on joint projects, assist customers staffing and recruiting,
and provide industry related /core clearing training.

 

7. Automated Security Master Set-up

 

The automated security master set-up helps streamline the process of updating
the Security Master by reducing manual involvement, while preserving data
integrity. The process supports some fixed income security types and is subject
to the data available within database sources available to BETA.

 

8. BETAHost™ Repo:

 

BETAHost™ Repo integrates the BETA REPO server with BETAHost. It provides the
ability to enter into various types of Repurchase Agreements (Repo), including
but not limited to multiple collateral, term, open, hold-in-custody, as-of Repo,
classic (cash against one piece of collateral), reverse Repo.

 

BETAHost Repo presentation allows AGE to maintain key characteristics of AGE’s
individual Repo Contracts, including, but not limited to base/variable rates,
collateral substitutions, collateral re-pricing, fixed rate changes and
amend/cancel & rebill. Modifications such as rate revisions are historically
maintained by the system to facilitate reviews and audits during the term of the
Repo.

 

To assist AGE in managing collateral for a Repo, BETAHost Repo provides a list
of available securities, including an overview of real-time trading positions
(AGE selects which trading inventory to include), real-time Repo/reverse Repo
positions and total quantity available. Inquiries can be made by book or
position (long/short/all) and can include/exclude zero balances.

 

AGE can select desired pieces of collateral for a Repo transaction. Once filled,
AGE has the ability to select and overwrite the quantity and price of individual
pieces, enabling a trader to easily monitor and manage the collateral used for a
Repo.

 

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BETAHost Repo provides AGE with reports to track Repo exposure by counterparty,
inventory and CUSIP. Through BETAHost integration, several online functions are
also available to query Repo details.

 

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Attachment 21-A.

 

Online Documentation CD

 

Dated as of September 21, 2004

 

On file with Mayer, Brown, Rowe & Maw LLP, A.G. Edwards & Sons Law Department,
Thomson Financial Inc. Law Department and each of the Account Executives.

 

Page 11 of 11

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EXHIBIT 22

TO HOSTING AND SERVICES AGREEMENT

 

[RESERVED]

 

AGE/BETA Confidential

Page 1 of 1

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EXHIBIT 23

TO HOSTING AND SERVICES AGREEMENT

 

BETA RECORD RETENTION PROCEDURES

 

1. Invoices – Copies of all BETA monthly invoices will be retained permanently.

 

2. Reports – All production reports produced by the BETA Core System will be
retained in SAR for a period of six months for research and reference purposes.
AGE will receive all relevant production reports (list to be determined by AGE)
and AGE will be responsible for permanent record retention.

 

3. Recoverable Data –BETA will employ industry standard best-practice vendor
products to maintain replicated copies of data (including AGE Data) at the
recovery site. This data will be an appropriately current copy of data at the
primary data center. A recoverable copy (defined as the production data that
would be used for recovery in the event of Disaster declaration during batch) of
production data will be created before the start of batch each processing day at
the recovery site.

 

4. Master Files –BETA will maintain five generations (business days records) of
all Master Files. These Master Files contain the primary ledgers necessary to
process AGE Data and provide the Service. BETA will employ a month-end process,
which combines the accumulated ledger records, creates the Monthly Cumulative
Master File. The Monthly Cumulative Master File will be retained for 13 months
after the month in which is was created.

 

5 Data Files (BETAAccess) –BETA will make the data elements from the Service
available to AGE in raw data format, offering the data for customized individual
use by AGE. Limited generations (at least 3 generations) of the BETA Access data
files are retained for comparison purposes to create delta files. AGE will be
responsible for permanent record retention.

 

AGE/BETA Confidential

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EXHIBIT 24

TO HOSTING AND SERVICES AGREEMENT

 

GUARANTY

 

THIS GUARANTY is made on this              day of October, 2004, by The Thomson
Corporation, an Ontario corporation (“Guarantor”), in favor of A.G. Edwards
Technology Group, Inc., a Missouri corporation (“AGE”) and the AGE Companies (as
defined herein), on behalf of Beta Systems, a division of Thomson Financial
Inc., a New York corporation (“Beta”).

 

WHEREAS, AGE and Beta will execute a certain Hosting and Services Agreement,
dated as of the date hereof (“Contract”), pursuant to which BETA will provide
AGE with certain services described in the Contract.

 

WHEREAS, AGE has agreed to enter into the Contract upon the express condition
that this Guaranty be executed and delivered by Guarantor.

 

NOW THEREFORE, in consideration of the foregoing and other good and valuable
consideration, the receipt and sufficiency of which are hereby acknowledged by
the parties hereto, and in order to induce AGE to enter into the Contract,
Guarantor hereby covenants and agrees with AGE, its successors and assigns, as
follows:

 

1. Guarantor absolutely, unconditionally and irrevocably guarantees to AGE and
AGE Companies, as and when due under the Contract, the prompt and complete
performance and payment by Beta of all the terms, covenants, conditions,
obligations and liabilities of the Contract which are to be performed by Beta
including indemnity obligations, subject to any rights Beta may have against AGE
or the AGE Companies under the Contract (the “Obligations”). Guarantor further
agrees to pay all reasonable expenses (including all reasonable fees and
disbursements of counsel) that may be paid or incurred by AGE in enforcing any
rights with respect to this Guaranty.

 

2. Prior to proceeding against Guarantor hereunder, AGE shall first demand
performance of Beta. In any action against Guarantor, Guarantor shall have the
benefit of Beta’s remedies under the Contract.

 

3. Except as set forth in this Guaranty, the Guaranty is absolute and
unconditional and shall not be released, discharged, mitigated, impaired or
affected by any modifications or amendments of the Contract or by any waiver or
by failure of AGE to enforce any of the terms, covenants and conditions or by
any extension of time or indulgence extended by AGE to Beta, except to the
extent of such modification, waiver or extension.

 

4. Guarantor’s liability under this Guaranty shall not be deemed waived,
impaired, modified, changed, released or limited in any manner whatsoever by
reason of the release or the discharge of Beta under the Contract in any
bankruptcy, reorganization or insolvency proceedings or other liquidation or
dissolution of BETA or any bankruptcy, reorganization, insolvency, liquidation
or dissolution of AGE or Guarantor.

 

5. For purposes of this Guaranty: (a) the term “Beta” shall be deemed to include
Thomson Financial Inc., as named in the Contract, and any affiliate or
subsidiary of Beta (“Beta Affiliate”), to the extent the Contract can be
assigned to such Beta Affiliate pursuant to the terms thereof. To the extent the
Contract is assigned in whole or in part to a third party other than a

 

AGE/BETA Confidential

Page 1 of 5

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Beta Affiliate (“Non-Beta Affiliate Assignee”), this Guaranty shall be of no
further force or effect as it relates to the obligations of such Non-Beta
Affiliated Assignee, unless otherwise agreed to in writing by Guarantor.

 

(b) the term “AGE Companies” shall be deemed to include (i) AGE, (ii) AGE’s
Affiliates and (iii) any company, partnership, joint venture or other form of
enterprise, domestic or foreign, in or which any entities referred to in clauses
(i) and (ii) hold at least 10% of the issued equity or other ownership
interests. “AGE Affiliate” shall mean, as to AGE, any other entity that,
directly or indirectly, through one or more entities, Controls, is Controlled by
or is under common Control with such first entity; as used herein “entity” shall
mean any company, partnership, joint venture or other form of enterprise,
domestic or foreign. AGE Affiliate shall also include any entity that, directly
or indirectly, through one or more entities, Controls, is Controlled by or is
under common Control with AGE’s parent corporation, A.G. Edwards & Sons, Inc.
“Control” shall mean, with respect to any entity, the possession, directly or
indirectly, of the power to direct or cause the direction of the management and
policies of such entity, whether through the ownership of voting securities (or
other ownership interest), by contract or otherwise.

 

6. All notices, demands and other communications required or desired to be given
hereunder shall be in writing and shall be deemed to have been properly given
when hand delivered or sent by United States certified mail, return receipt
requested, postage prepaid, addressed as follows:

 

If to AGE:

   A.G. Edwards Technology Group, Inc.      One North Jefferson      St. Louis,
Missouri 63103      Attn: Director of Law and Compliance

If to Guarantor:

          The Thomson Corporation      Metro Center at One Station Place     
Stamford, CT 06902      Attn: General Counsel

with a copy to:

   Beta Systems      c/o Thomson Financial Inc.      195 Broadway      New York,
NY 10007      Attn: Thomson Financial General Counsel

 

All such notices shall be considered given on the date when delivered, if
delivered by hand, or three (3) days after deposit in the United States mail,
addressed as set forth above, if mailed.

 

7. The performance and construction of this Guaranty shall be governed by and
construed in accordance with the laws of the State of New York.

 

8. Any suit, action or other legal proceeding against Guarantor under this
Guaranty may be brought in the State of New York and Guarantor hereby submits to
the jurisdiction of such court. Guarantor further agrees that service of process
with respect to any such suit, action or proceeding may be made upon Guarantor
(a) by registered or certified mail, return receipt

 

AGE/BETA Confidential

Page 2 of 5

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requested, sent to Guarantor at its address indicated in paragraph 6 above, or
(b) by service upon Beta at the address indicated in paragraph 6 above, at AGE’s
option. Guarantor hereby irrevocably appoints Beta its true and lawful
attorney-in-fact in its name, place and stead to accept such service.

 

9. In the event of any litigation between the parties, the substantially
prevailing party shall be entitled to reimbursement of reasonable attorney’s
fees and expenses from the other.

 

10. The Guarantor represents and warrants that:

 

(a) it has received and reviewed a copy of the Contract;

 

(b) it is duly organized and validly existing under the laws of its jurisdiction
of organization and has the power and authority and legal right to own and
operate its property and to conduct the business in which it is currently
engaged;

 

(c) it has the power and authority and the legal right to execute and deliver,
and to perform its obligations under, this Guaranty, and has taken all necessary
action to authorize its execution, delivery and performance of this Guaranty and
this Guaranty has been duly authorized and executed;

 

(d) this Guaranty constitutes a legal, valid and binding obligation of the
Guarantor, enforceable in accordance with its terms, subject to the effects of
bankruptcy, solvency, reorganization, moratorium and other similar laws relating
to or affecting creditors’ rights generally, general equitable principles
(whether considered in a proceeding in equity or at law);

 

(e) the execution, delivery and performance of this Guaranty will not violate or
result in default in any applicable Law, rule or regulation or any judgment,
order or decree or agreement, instrument or undertaking applicable to the
Guarantor and will not result in, or require, the imposition or creation of any
lien on any of its properties or revenues pursuant to any of the foregoing;

 

(f) no consent or authorization of, or filing or registration with, any
governmental authority, and no consent of any other person or entity, is
required in connection with the execution, delivery, performance, validity or
enforceability of this Guaranty, other than as may have been obtained or made
and is in full force and effect; and

 

(g) it is not entitled to immunity from judicial proceedings and agrees that, in
the event any AGE brings any suit, action or proceeding in New York to enforce
any obligation or liability of the Guarantor arising, directly or indirectly,
out of or relating to this Guaranty, no immunity from such suit, action or
proceeding will be claimed by or on behalf of the Guarantor.

 

11. If the Contract or any portion thereof is declared invalid or unenforceable
in any respect, this Guaranty shall remain in effect with respect to the
remaining portions of the Contract.

 

12. This Guaranty shall remain in full force and effect and be binding upon the
Guarantor and its successors and assigns, and shall inure to the benefit of AGE
and the respective

 

AGE/BETA Confidential

Page 3 of 5

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successors, transferees and assigns of AGE (to the extent that the Obligations
have been transferred and are owing to such successor, transferee or assignee in
accordance with the Contract), until all the Obligations owing to AGE and the
obligations of the Guarantor under this Guaranty shall have been satisfied by
performance in full or indefeasible payment in full in cash. This Guaranty shall
be construed as a continuing, absolute, unconditional and irrevocable guarantee
of performance and payment by Guarantor of the Obligations and shall remain in
full force and effect until all the Obligations owing to AGE and the obligations
of the Guarantor under this Guarantee shall have been satisfied by performance
in full or indefeasible payment in full in cash.

 

AGE/BETA Confidential

Page 4 of 5

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IN WITNESS WHEREOF, the undersigned has executed this Guaranty as of the day and
year first above written.

 

THE THOMSON CORPORATION By:     Name:     Title:    

 

By:     Name:     Title:    

 

AGE/BETA Confidential

Page 5 of 5

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GUARANTY

 

THIS GUARANTY is made on this 4th day of October, 2004, by The Thomson
Corporation, an Ontario corporation (“Guarantor”), in favor of A.G. Edwards
Technology Group, Inc., a Missouri corporation (“AGE”) and the AGE Companies (as
defined herein), on behalf of Beta Systems, a division of Thomson Financial
Inc., a New York corporation (“Beta”).

 

WHEREAS, AGE and Beta will execute a certain Hosting and Services Agreement,
dated as of the date hereof (“Contract”), pursuant to which BETA will provide
AGE with certain services described in the Contract.

 

WHEREAS, AGE has agreed to enter into the Contract upon the express condition
that this Guaranty be executed and delivered by Guarantor.

 

NOW THEREFORE, in consideration of the foregoing and other good and valuable
consideration, the receipt and sufficiency of which are hereby acknowledged by
the parties hereto, and in order to induce AGE to enter into the Contract,
Guarantor hereby covenants and agrees with AGE, its successors and assigns, as
follows:

 

1. Guarantor absolutely, unconditionally and irrevocably guarantees to AGE and
AGE Companies, as and when due under the Contract, the prompt and complete
performance and payment by Beta of all the terms, covenants, conditions,
obligations and liabilities of the Contract which are to be performed by Beta
including indemnity obligations, subject to any rights Beta may have against AGE
or the AGE Companies under the Contract (the “Obligations”). Guarantor further
agrees to pay all reasonable expenses (including all reasonable fees and
disbursements of counsel) that may be paid or incurred by AGE in enforcing any
rights with respect to this Guaranty.

 

2. Prior to proceeding against Guarantor hereunder, AGE shall first demand
performance of Beta. In any action against Guarantor, Guarantor shall have the
benefit of Beta’s remedies under the Contract.

 

3. Except as set forth in this Guaranty, the Guaranty is absolute and
unconditional and shall not be released, discharged, mitigated, impaired or
affected by any modifications or amendments of the Contract or by any waiver or
by failure of AGE to enforce any of the terms, covenants and conditions or by
any extension of time or indulgence extended by AGE to Beta, except to the
extent of such modification, waiver or extension.

 

4. Guarantor’s liability under this Guaranty shall not be deemed waived,
impaired, modified, changed, released or limited in any manner whatsoever by
reason of the release or the discharge of Beta under the Contract in any
bankruptcy, reorganization or insolvency proceedings or other liquidation or
dissolution of BETA or any bankruptcy, reorganization, insolvency, liquidation
or dissolution of AGE or Guarantor.

 

5. For purposes of this Guaranty: (a) the term “Beta” shall be deemed to include
Thomson Financial Inc., as named in the Contract, and any affiliate or
subsidiary of Beta (“Beta Affiliate”), to the extent the Contract can be
assigned to such Beta Affiliate pursuant to the terms thereof. To the extent the
Contract is assigned in whole or in part to a third party other than a Beta
Affiliate (“Non-Beta Affiliate Assignee”), this Guaranty shall be of no further
force or

 

1

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effect as it relates to the obligations of such Non-Beta Affiliated Assignee,
unless otherwise agreed to in writing by Guarantor.

 

(b) the term “AGE Companies” shall be deemed to include (i) AGE, (ii) AGE’s
Affiliates and (iii) any company, partnership, joint venture or other form of
enterprise, domestic or foreign, in or which any entities referred to in clauses
(i) and (ii) hold at least 10% of the issued equity or other ownership
interests. “AGE Affiliate” shall mean, as to AGE, any other entity that,
directly or indirectly, through one or more entities, Controls, is Controlled by
or is under common Control with such first entity; as used herein “entity” shall
mean any company, partnership, joint venture or other form of enterprise,
domestic or foreign. AGE Affiliate shall also include any entity that, directly
or indirectly, through one or more entities, Controls, is Controlled by or is
under common Control with AGE’s parent corporation, A.G. Edwards & Sons, Inc.
“Control” shall mean, with respect to any entity, the possession, directly or
indirectly, of the power to direct or cause the direction of the management and
policies of such entity, whether through the ownership of voting securities (or
other ownership interest), by contract or otherwise.

 

6. All notices, demands and other communications required or desired to be given
hereunder shall be in writing and shall be deemed to have been properly given
when hand delivered or sent by United States certified mail, return receipt
requested, postage prepaid, addressed as follows:

 

If to AGE:

  A.G. Edwards Technology Group, Inc.     One North Jefferson     St. Louis,
Missouri 63103     Attn: Director of Law and Compliance

If to Guarantor:

  The Thomson Corporation     Metro Center at One Station Place     Stamford, CT
06902     Attn: General Counsel

with a copy to:

  Beta Systems     c/o Thomson Financial Inc.     195 Broadway     New York, NY
10007     Attn: Thomson Financial General Counsel

 

All such notices shall be considered given on the date when delivered, if
delivered by hand, or three (3) days after deposit in the United States mail,
addressed as set forth above, if mailed.

 

7. The performance and construction of this Guaranty shall be governed by and
construed in accordance with the laws of the State of New York.

 

8. Any suit, action or other legal proceeding against Guarantor under this
Guaranty may be brought in the State of New York and Guarantor hereby submits to
the jurisdiction of such court. Guarantor further agrees that service of process
with respect to any such suit, action or proceeding may be made upon Guarantor
(a) by registered or certified mail, return receipt requested, sent to Guarantor
at its address indicated in paragraph 6 above, or (b) by service upon

 

2

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Beta at the address indicated in paragraph 6 above, at AGE’s option. Guarantor
hereby irrevocably appoints Beta its true and lawful attorney-in-fact in its
name, place and stead to accept such service.

 

9. In the event of any litigation between the parties, the substantially
prevailing party shall be entitled to reimbursement of reasonable attorney’s
fees and expenses from the other.

 

10. The Guarantor represents and warrants that:

 

(a) it has received and reviewed a copy of the Contract;

 

(b) it is duly organized and validly existing under the laws of its jurisdiction
of organization and has the power and authority and legal right to own and
operate its property and to conduct the business in which it is currently
engaged;

 

(c) it has the power and authority and the legal right to execute and deliver,
and to perform its obligations under, this Guaranty, and has taken all necessary
action to authorize its execution, delivery and performance of this Guaranty and
this Guaranty has been duly authorized and executed;

 

(d) this Guaranty constitutes a legal, valid and binding obligation of the
Guarantor, enforceable in accordance with its terms, subject to the effects of
bankruptcy, solvency, reorganization, moratorium and other similar laws relating
to or affecting creditors’ rights generally, general equitable principles
(whether considered in a proceeding in equity or at law);

 

(e) the execution, delivery and performance of this Guaranty will not violate or
result in default in any applicable Law, rule or regulation or any judgment,
order or decree or agreement, instrument or undertaking applicable to the
Guarantor and will not result in, or require, the imposition or creation of any
lien on any of its properties or revenues pursuant to any of the foregoing;

 

(f) no consent or authorization of, or filing or registration with, any
governmental authority, and no consent of any other person or entity, is
required in connection with the execution, delivery, performance, validity or
enforceability of this Guaranty, other than as may have been obtained or made
and is in full force and effect; and

 

(g) it is not entitled to immunity from judicial proceedings and agrees that, in
the event any AGE brings any suit, action or proceeding in New York to enforce
any obligation or liability of the Guarantor arising, directly or indirectly,
out of or relating to this Guaranty, no immunity from such suit, action or
proceeding will be claimed by or on behalf of the Guarantor.

 

11. If the Contract or any portion thereof is declared invalid or unenforceable
in any respect, this Guaranty shall remain in effect with respect to the
remaining portions of the Contract.

 

12. This Guaranty shall remain in full force and effect and be binding upon the
Guarantor and its successors and assigns, and shall inure to the benefit of AGE
and the respective successors, transferees and assigns of AGE (to the extent
that the Obligations have been

 

3

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transferred and are owing to such successor, transferee or assignee in
accordance with the Contract), until all the Obligations owing to AGE and the
obligations of the Guarantor under this Guaranty shall have been satisfied by
performance in full or indefeasible payment in full in cash. This Guaranty shall
be construed as a continuing, absolute, unconditional and irrevocable guarantee
of performance and payment by Guarantor of the Obligations and shall remain in
full force and effect until all the Obligations owing to AGE and the obligations
of the Guarantor under this Guarantee shall have been satisfied by performance
in full or indefeasible payment in full in cash.

 

4

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IN WITNESS WHEREOF, the undersigned has executed this Guaranty as of the day and
year first above written.

 

THE THOMSON CORPORATION

By:

 

/s/ Dierdre Stanley

Name:

 

Dierdre Stanley

Title:

 

SVP and General Counsel

 

5