Indemnification Notice
9.8(a)
Indemnified Party
9.8(a)
Indemnified Party
9.8(a)
Indemnifying Party
9.8(a)
Indemnifying Party
9.8(a)
Interim Financial Statements
2.9(a)
Interim Financial Statements
2.9(a)
Latest Balance Sheet
2.9(a)
Lease
2.15
Lease
2.15
Leased Properties
2.15
Leased Properties
2.15
Leased Property
2.15
Leased Property
2.15
Leases
2.15
Leases
2.15
Licensed Intellectual Property
2.17(a)
Licensed Intellectual Property
2.17(a)
Legend Removal Request
6.11(a)
Legend Removal Request
6.11(a)
Material Contracts
2.13(a)
Material Contracts
2.13(a)
NRF Promote Agreement
Recitals
NRF Promote Agreement
Recitals
NSAM
Preamble
Non-Compete Agreements
Recitals
NSAM Guaranteed Obligations
10.16(a)
NSAM
Preamble
NSAM Guaranty
10.16(a)
NSAM Guaranteed Obligations
10.16(a)
NSAM Limited Partner
Recitals
NSAM Guaranty
10.16(a)
NSAM Luxembourg
Recitals
NSAM Incentive Plan
5.6(a)
NSAM Sub-Advisory Agreement
Recitals
NSAM Limited Partner
Recitals
OMM
10.15(a)
NSAM Luxembourg
Recitals
OMM Clients
10.15(a)
NSAM Sub-Advisory Agreement
Recitals
Owned Intellectual Property
2.17(a)
OMM
10.15(a)
Performance-Based NSAM Shares
1.2(b)
OMM Clients
10.15(a)
Principal Guaranteed Obligations
10.17(a)
Owned Intellectual Property
2.17(a)
Principal Guaranty
10.17(a)
Performance-Based NSAM Shares
1.2(b)
Principals
Preamble
Principal Guaranteed Obligations
10.17(a)
Promote Agreements
Recitals
Principal Guaranty
10.17(a)
Purchased Units
1.1
Principals
Preamble
Purchaser
Preamble
Promote Agreements
Recitals
Redemption
Recitals
I-11
Purchased Units
1.1
Redemption Agreement
Recitals
Purchaser
Preamble
Release Date
9.1
Redemption
Recitals
Reports
5.7(a)
Redemption Agreement
Recitals
Sale Engagement
10.16(a)
Release Date
9.1
SEC Filings
5.7(a)
Reports
5.7(a)
Second Seller
Preamble
RSUs
5.6(a)
Second Seller Cash Consideration
1.2(c)(ii)
Sale Engagement
10.16(a)
Sellers
Preamble
SEC Filings
5.7(a)
Straddle Period
6.10(f)
Second Seller
Preamble
Target Closing Date
1.3
Second Seller Cash Consideration
1.2(c)(ii)
Termination Date
8.1(b)
Sellers
Preamble
Time-Based NSAM Shares
1.2(a)
Straddle Period
6.10(f)
Third Party Claim
9.8(c)
Target Closing Date
1.3
Threshold Amount
9.6(a)
Termination Date
8.1(b)
Unit Purchase
Recitals
Time-Based NSAM Shares
1.2(a)
Vesting and No Sale Agreement
Recitals
Third Party Claim
9.8(c)
Threshold Amount
9.6(a)
Unit Purchase
Recitals
Vesting and No Sale Agreement
Recitals
Warrant
Recitals
I-12
EXHIBIT B
FORM OF AMENDED AND RESTATED
LIMITED LIABILITY COMPANY AGREEMENT
OF
AHI NEWCO, LLC
a Delaware Limited Liability Company
Dated as of [_______], 2014
THE LIMITED LIABILITY COMPANY INTERESTS REPRESENTED BY THIS AGREEMENT HAVE NOT
BEEN REGISTERED UNDER THE UNITED STATES SECURITIES ACT OF 1933, OR UNDER ANY
OTHER APPLICABLE SECURITIES LAWS. SUCH INTERESTS MAY NOT BE SOLD, ASSIGNED,
PLEDGED OR OTHERWISE DISPOSED OF AT ANY TIME, EXCEPT IN COMPLIANCE WITH (i) THE
REQUIREMENTS OF THE SECURITIES ACT AND ANY OTHER APPLICABLE LAWS, RULES AND
REGULATIONS AND (ii) THE OTHER TRANSFER RESTRICTIONS SET FORTH HEREIN.
TABLE OF CONTENTS
Page
ARTICLE I ORGANIZATION
3
1.1Formation of Company
3
1.2Name
3
1.3Purpose
3
1.4Documents
3
1.5Principal Office
3
1.6Registered Office
3
1.7Term
4
ARTICLE II MEMBERS
4
2.1Members
4
2.2Limitation on Liability
4
2.3U.S. Person Status
4
ARTICLE III CAPITAL; CAPITAL ACCOUNTS
4
3.1Membership Interests
4
3.2Units Held
5
3.3Additional Membership Interests
5
3.4Preemptive Rights
5
3.5Class B Incentive Units
7
3.6Capital Accounts
9
3.7Allocations
10
3.8Other Tax Matters
13
3.9Treatment of Capital Contributions
14
3.10Benefits of Agreement
14
3.11Member Loans
14
ARTICLE IV DISTRIBUTIONS
16
4.1Distributions
16
4.2Tax Distributions
17
4.3Amounts Withheld
18
4.4Limitations on