Document:

Corporate Capital Trust 8-K

Exhibit 10.1

 

CONTROL AGREEMENT 

 

Control Agreement dated
as of July 22, 2013 (this “Agreement”), by and among The Bank of Nova Scotia (“Party A”),
Halifax Funding LLC (“Party B”), and State Street Bank and Trust Company (the “Custodian”).

 

WHEREAS, pursuant
to a custodian contract between the Custodian and Party B (as amended and in effect from time to time, the “Custodian
Agreement”), the Custodian acts as custodian for Party B’s assets and maintains a custodial account for Party B;
and

 

WHEREAS, pursuant
to the terms of an ISDA Master Agreement and Credit Support Annex between Party A and Party B initially dated as of November 15,
2012 (including all schedules thereto and confirmations of transactions thereunder and as amended and in effect from time to time,
the “Master Agreement”), Party B will from time to time grant to Party A a security interest in certain assets
in the custodial account to secure Party B’s obligations to Party A under the Master Agreement; and

 

WHEREAS, Party A,
Party B and the Custodian are entering into this Agreement to provide for the perfection of the security interest by control;

 

NOW, THEREFORE,
the parties hereto hereby agree as follows:

 

1.Definitions
and Interpretation.

 

(a)Terms defined
in the Uniform Commercial Code of the Commonwealth of Massachusetts (the “UCC”) have the same meaning in this
Agreement as in the UCC. The term “instruction”, as used in this Agreement, includes an instruction under section 9-104(a)(2)
of the UCC.

 

(b)The term “Notice
of Exclusive Control” is defined in Section 3(c). For purposes of Sections 2(d) and 3(c), a reasonable time for the Custodian
to act on a Notice of Exclusive Control may not extend beyond (i) if the Notice of Exclusive Control is received by the Custodian
on or before 12 noon on the Custodian’s local time of a banking day, the end of the next banking day following the banking
day of receipt or (ii) if the Notice of Exclusive Control is received by the Custodian after 12 noon on the Custodian’s local
time of a banking day, the end of the second banking day following the banking day of receipt.

 

2.Collateral Accounts.

 

(a)Party B will from
time to time instruct the Custodian, by any of the means mutually agreed to between Party B and the Custodian, to segregate certain
U.S. cash and U.S. dollar-denominated certificated and negotiable certificates of deposit (each, a “Certificate of Deposit”),
to the extent in each case acceptable to all parties hereto and in which Party B has granted a security interest to Party A (after
giving effect to the segregation, the “Collateral”).

 

(b)Collateral other
than cash Collateral will be identified and segregated on the Custodian’s books and records under the name of Party B as
the entitlement holder for the benefit of Party A. The identification and segregation of the non-cash Collateral are herein referred
to as the “Securities Account”.

 

(c)The
Custodian will satisfy the requirement to segregate cash Collateral by identifying and crediting the cash Collateral to a separate
deposit account (the “Deposit Account” and, together with the Securities Account, the “Collateral Accounts”)
under the name of Party B as the Custodian’s customer for the benefit of Party A.

 

    	 

    	 

    

(d)The Custodian
will credit to the Deposit Account all interest, dividends and other income received by the Custodian on the Collateral, which
interest, dividends and other income, when so credited, shall constitute Collateral for all purposes hereof.

 

3.Control of the
Collateral Accounts.

 

(a)
The Custodian will not comply with instructions or entitlement orders concerning the Collateral originated solely by Party
B, except as provided in Section 2(a).

 

(b)Except
as provided in Section 2(a) and subject to Section 3(c) and 3(d), the Custodian will take actions with respect to the Collateral
Accounts only upon written instructions and entitlement orders jointly executed and delivered by Party A and Party B except that,
if at any time a Net Shortfall is payable by Party B to Party A or a Net Surplus is payable by Party A to Party B (in either case
pursuant to the terms of the Master Confirmation), Party A may, by notice to the Custodian and Party B, instruct the Custodian
to release to Party A or Party B (as applicable) such amount of the Collateral as is specified in Party A’s notice. Party
A agrees with Party B that each such notice shall direct the release of only that portion of the Collateral that has an aggregate
Value equal to the applicable Net Shortfall or Net Surplus. For purposes hereof, “Net Shortfall”,
“Net Surplus” and “Value”
shall have the respective meanings as are ascribed to such terms in the Total Return Swap Transaction Master Confirmation, dated
November 15, 2012, entered into between Party A and Party B. Party A and Party B will provide the Custodian, in the form of Exhibit
A (as it may be amended from time to time), the names and signatures of their respective authorized parties who may give notices,
instructions or entitlement orders concerning the Collateral Accounts. Methods of notice, instruction or entitlement order other
than as specified pursuant to the preceding sentence may be used if Party A, Party B and the Custodian agree to appropriate security
procedures. For the avoidance of doubt, Custodian shall have no duty to determine if a
Net Shortfall or Net Surplus exists and shall have no responsibility for determining Value as used in this agreement. 

 

(c)Upon receipt by
the Custodian from Party A of a notice in the form of Exhibit B (a “Notice of Exclusive Control”)
and following a reasonable time for the Custodian to act thereon (as prescribed in Section 1(b) above), and, thereafter until the
Custodian’s receipt of a Revocation of Exclusive Control (as defined below), the Custodian shall comply with instructions
or entitlement orders originated solely by Party A with respect to the Collateral Accounts, without any further consent of Party
B.

 

(d)If a Notice of Exclusive
Control is delivered by Party A to the Custodian, and subsequently, pursuant to the Master Agreement or otherwise, Party A becomes
no longer entitled to give notices, instructions or entitlement orders concerning the Collateral Accounts at the exclusion of Party
B, then Party A agrees promptly to send a notice to the Custodian directing the Custodian to comply with instructions or entitlement
orders and other directions concerning the Collateral Accounts originated jointly by Party A and Party B as contemplated by Section
3(b) (a “Revocation of Exclusive Control”). Party A agrees with Party B (without limiting anything in Section
5) that Party A shall not issue a Notice of Exclusive Control (or its equivalent) with respect to any Collateral Account unless
an Event of Default or Termination Event (as defined in the Master Agreement) has occurred and is continuing at the time such Notice
of Exclusive Control (or its equivalent) is issued.

 

4.Additional Assurances
and Duties of the Custodian.

 

(a)The Custodian
confirms that the Securities Account is, and will remain, a securities account and that the Deposit Account is, and will remain,
a deposit account. The Custodian will act as a securities intermediary with respect to the Securities Account and a bank with respect
to the Deposit Account. As a consequence of the Custodian Agreement being governed by the laws of the Commonwealth of Massachusetts,
the Commonwealth of Massachusetts is the jurisdiction of the Custodian as securities intermediary and bank for purposes of the
UCC. 

    	2

    	 

    

 

(b)Each
of the parties hereto agree that all Certificates of Deposit credited to the Securities Account shall be treated as financial assets
as contemplated by Article 8 of the UCC. The Custodian will not treat as a financial asset any cash or cash balance in the Securities
Account. Any financial assets credited to the Collateral Accounts shall be registered in the name of
the Custodian, its subcustodian or their respective nominees, indorsed to the Custodian, its subcustodian or their respective nominees
or in blank or credited to another securities account maintained in the name of the Custodian, and in no case will any financial
asset credited to the Collateral Accounts be registered in the name of Party B, payable to the order of Party B or specially indorsed
to Party B except to the extent that the foregoing have been specially indorsed to the Custodian or in blank. 
If for any reason any Certificate of Deposit is not capable of being treated as a financial
asset for all purposes of Article 8 of the UCC, each of the parties hereto agree that the purpose of this Agreement is to grant
to Party A constructive possession of such Certificate of Deposit pursuant to section 9-313 of the UCC and, for purposes of giving
effect thereto, the Custodian hereby acknowledges that it holds, and will hold, possession of each such Certificate of Deposit
credited to the Collateral Accounts as bailee exclusively for the benefit of Party A subject to the terms of this Agreement including,
without limitation, all exculpations, indemnities and other benefits accorded to the Custodian under this Agreement when acting
as securities intermediary, bailee or bank.

 

(c)The
Custodian confirms that (1) it has not entered into and will not enter into any agreement (other than the Custodian Agreement)
with any other person or entity under which the Custodian has agreed to (x) comply with instructions or entitlement orders of such
other person or entity relating to the Collateral or the Collateral Accounts, or (y) hold possession of any Collateral for the
benefit of such other person or entity, (2) except for the claims and interest of Custodian, Party A
and Party B in the Collateral Accounts, the Custodian does not know of any claim to, or interest in, the Collateral Accounts or
in any cash or other financial asset credited thereto, (3) apart from the Custodian Agreement there are no other agreements entered
into between the Custodian and Party B with respect to the Collateral Accounts that enable Party B to deal with assets in the Collateral
Accounts, and (4) the Custodian has not entered into, and until the termination of this Agreement will not enter into, any agreement
with Party B purporting to limit or condition the obligation of the Custodian to comply with the terms of this Agreement. If any
person asserts any lien, encumbrance or adverse claim (including any writ, garnishment, judgment, warrant of attachment, execution
or similar process) against either the Collateral Accounts or in any cash, financial assets or other assets credited thereto, the
Custodian will promptly notify Party A, provided, however, that the Custodian’s failure to do so shall not give rise to any
liability hereunder. 

 

(d)Upon any pledge,
release, or substitution of Collateral in the Collateral Accounts, the Custodian will notify Party A within one business day of
such change. The Custodian will provide to Party A a copy of a statement of the Collateral Accounts within five (5) business days
of the end of the calendar month and upon reasonable request from time to time; provided, however, that the Custodian’s failure
to forward a copy of such statement to Party A will not give rise to any liability hereunder.

 

5.Exculpation
of the Custodian.

 

(a)The Custodian
will have no responsibility or liability for (i) determining the adequacy of the Collateral, (ii) making or verifying any calculations
related to any Collateral requirements, (iii) the effect of foreign law with respect to any Collateral issued, or for which the
issuer's jurisdiction is, outside of the United States or that is maintained with a foreign clearing corporation or a foreign depositary
bank, (iv) the effect of foreign law with respect to any insolvency proceeding of Party B in which the insolvency tribunal is located
outside of the United States or (v) otherwise the creation, attachment, perfection or priority of any security interest in favor
of Party A or the adequacy of the remedies of Party A to enforce any security interest.

 

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(b)The Custodian
will have no responsibility or liability (i) to Party A for complying with instructions and entitlement orders under Section 2(a)
originated by Party B, (ii) to Party B for complying with a Notice of Exclusive Control or with instructions or entitlement orders
under Section 3(c) originated by Party A, or (iii) to Party A for complying with a Notice of Exclusive Control or with instructions
or entitlement orders under Section 3(c) originated by Party A.

(c)The Custodian will have
no duty to investigate or make any determination to verify (i) the existence of a default or termination event under the Master
Agreement or otherwise, (ii) compliance by either Party A or Party B with the Master Agreement or applicable law or (iii) Party
A’s right to issue a Notice of Exclusive Control or originate instructions or entitlement orders under Section 3(c).

(d)The Custodian will have
no responsibility or liability with respect to the Collateral Accounts except to the extent expressly set forth in this Agreement
including, without limitation, with respect to any duty to preserve, exercise or enforce rights in the Collateral or the Collateral
Accounts. The Custodian will not be liable or responsible for any action done or omitted to be done by it in good faith and in
the absence of gross negligence or willful misconduct and may rely and shall be protected in acting upon any notice, instruction,
entitlement order or other communication which it reasonably believes to be genuine and authorized.

 

(e)The Custodian
will not be liable for delays, errors or losses occurring by reason of circumstances beyond its control, including, without limitation,
acts of God, market disorder, terrorism, insurrection, war, riots, failure of transportation or equipment, or failure of vendors,
communication or power supply.

 

(f)The Custodian will have no responsibility
or liability to Party A or Party B or to any other person or entity for acting in accordance with any judicial or arbitral process,
injunction or other order, writ, judgment, decree or claim of judicial lien relating to the Collateral Accounts, even if subsequently
modified, vacated or otherwise determined to have been without legal force or effect.

 

(g)In no event will the Custodian be
liable to any Party A, Party B or any other person for indirect, consequential or special damages, even if the Custodian has been
advised of the possibility or likelihood of such damages.

 

6.Indemnification in Favor of the Custodian.

 

(a)Party B will indemnify and hold
the Custodian harmless with regard to any losses or liabilities of the Custodian (including reasonable attorneys’ fees) imposed
on or incurred by the Custodian arising out of any action or omission of the Custodian in accordance with any notice, instruction,
or entitlement order under this Agreement.

 

(b)Party A will indemnify and hold
the Custodian harmless with regard to any losses or liabilities of the Custodian (including reasonable attorneys’ fees) imposed
on or incurred by the Custodian to the extent caused by (i) any action or omission of the Custodian in accordance with any notice,
instruction, or entitlement order under this Agreement originated by Party A or (ii) the reversal of any provisional credit to
either Collateral Account occurring following the Custodian’s receipt of a Notice of Exclusive Control.

 

7.The Custodian’s Compensation
and Reimbursement Rights; Security Interest.

 

(a)Party
B will pay and reimburse the Custodian for any reasonable advances, fees, costs, expenses (including, without limitation, reasonable
attorneys’ fees and costs) and disbursements actually paid or incurred by the Custodian in connection with this Agreement.
Any fees, expenses or other amounts that may be owing to the Custodian from time to time pursuant to the terms of this Agreement
or the Custodian Agreement shall be secured by any security interest that the Custodian may have been granted under the Custodian
Agreement or applicable law. Upon a default by Party B in making payment or reimbursement, the Custodian shall be entitled to exercise
its rights and remedies as a secured party and under applicable law against the Collateral and Collateral Accounts, in accordance
with the terms of the Custodian Agreement and applicable law. The Custodian agrees that if it extends
credit to Party B other than in the form of overdrafts or advances used to acquire the Collateral credited to the Collateral Accounts
or fees or expenses pertaining to the maintenance of the Collateral Accounts, any lien on the Collateral securing such credit shall
be subordinated to the lien of Party A with respect to the Collateral unless otherwise agreed by Party A in writing. 

 

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(b)The
Custodian will not be obligated to advance cash or investments to, for or on behalf of Party B in the Collateral Accounts. However,
if the Custodian does advance cash or investments to the Collateral Accounts for any purpose, Party B’s obligations to reimburse
or repay the Custodian under Section 7(a) shall be secured by the security interest referred to in Section 7(a).

 

(c) Except
as provided in this Section 7, none of the cash, financial assets or other items held in or credited to the Collateral Accounts
or any security entitlement in respect thereof will be subject to deduction, set-off, banker’s lien or any other right in
favor of any person other than Party B.

 

8.Relationship to Custodian Agreement.

 

(a)If a provision of this Agreement
in favor of Party A conflicts with a provision of the Custodian Agreement, the provision of this Agreement shall control. However,
this Agreement does not confer on Party A (i) any third-party rights under the Custodian Agreement or (ii) any greater rights in
respect of the Collateral than would be available to Party B under the Custodian Agreement in the absence of this Agreement.

 

(b)If a provision of this Agreement
in favor of the Custodian provides a greater right to the Custodian against Party B or subjects the Custodian to a lesser liability
to Party B than under the Custodian Agreement, the provision of this Agreement shall control.

 

(c)Except as provided in Section 8(a)
or (b), this Agreement does not modify the terms of the Custodian Agreement, and the Custodian shall be and remain entitled to
all of the exculpations, indemnities and other benefits in its favor under the Custodian Agreement, including those with respect
to the Custodian’s actions and omissions under this Agreement. Instructions and entitlement orders originated by any party
under this Agreement will constitute “Proper Instructions” under and as defined in the Custodian Agreement.

 

9.Notices.
Any notice, instruction, entitlement order or other communication required to be given hereunder will be in writing and may be
sent by hand, or by facsimile transmission, or overnight delivery by any recognized delivery service, prepaid or, for termination
of this Agreement only, by certified or registered mail, and addressed as follows, or to such other address as any party may hereafter
notify the other parties in writing:

 

If to Party A, then: 

 

The Bank of Nova Scotia

GWS – Collateral Management

720 King St. West, 4th Floor, Toronto, Ontario

Attention: Senior Manager – Global Wholesale
Services

Telephone.: 416-866-4587

Facsimile: 416-866-6865

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If to Party B, then:

 

Halifax Funding LLC

CNL Fund Advisors Company

450 South Orange Avenue

Orlando, FL. 32801

Attention: Paul Saint-Pierre, Chief Financial Officer

Telephone: (866) 745-3797

Facsimile: (407) 540-7653

 

If to the Custodian, then:

 

State Street Bank and Trust Company

200 Clarendon Street

Boston, MA.  02116

Attention: Gregory V. Nikiforow, Vice President 

Telephone: (617) 662-9085 

Facsimile: (617) 937-6033 

 

10.Termination.

 

(a)This Agreement may be terminated
by (i) Party B with the prior written consent of Party A, or (ii) Party A with the prior written consent of Party B. The Custodian
may terminate this Agreement upon sixty (60) days’ prior written notice to the other parties. Upon termination of this Agreement,
if obligations of Party B to Party A under the Master Agreement still exist, any Collateral in the Collateral Accounts will, subject
to any reserves reasonably established by the Custodian to secure any liabilities secured by any security interest or right of
recoupment or setoff in favor of the Custodian, be transferred to a successor custodian designated jointly in writing by Party
A and Party B. If no joint designation is made on or before the last day of such 60-day period, the Custodian, Party A or Party
B may petition a court of competent jurisdiction for the appointment of a successor Custodian.

 

(b) Upon termination
of this Agreement, if no obligations of Party B to Party A under the Master Agreement exist, Party A will have no further right
to originate instructions or entitlement orders concerning the Collateral or the Collateral Accounts, and the rights of Party B
concerning the Collateral and the Collateral Accounts shall be governed by the Custodian Agreement.

 

(c)Termination will
not affect any rights created or obligations incurred under this Agreement prior to termination. This Section and Sections 5, 6,
7, 11 and 12 will survive the termination of this Agreement.

 

11.Limited Recourse
to Party B. This Agreement is being executed on behalf of Party B by an authorized trustee or officer of Party B acting in
such capacity and not individually. Any recourse of the Custodian or Party A for the obligations of Party B under this Agreement
are limited to the assets and property of Party B.

 

12.Successors
and Assigns. This Agreement will be binding upon the parties and their respective successors and assigns. The Custodian
may transfer its rights and duties under this Agreement to any

successor to the Custodian
under the Custodian Agreement. Otherwise, this Agreement may not be assigned without the written consent of all parties.

 

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13.Governing Law; Jury Trial
Waiver; Waiver of Immunity. This Agreement is governed by the laws of the Commonwealth of Massachusetts, without giving effect
to any conflict of laws rules. To the extent permitted by law, each party waives any right to trial by jury in any legal
proceeding arising out of or relating to this Agreement. If in any jurisdiction Party A or Party B may now or hereafter be entitled
to claim, for itself or its assets, immunity from suit, attachment (before or after judgment) or other legal process, the party
irrevocably agrees not to claim, and hereby waives, such immunity.

 

14.Miscellaneous.
No amendment or modification of this Agreement will be effective unless it is in writing and signed by each of the parties hereto.
If any provision of this Agreement is held illegal, void or unenforceable, the remainder of this Agreement will remain in effect.
Any headings appearing on this Agreement are for convenience only and do not affect the interpretation of this Agreement. This
Agreement may be executed in several counterparts, each of which shall be deemed to be an original, and all such counterparts taken
together shall constitute one and the same Agreement. Counterparts may be executed in either original or electronically transmitted
form (e.g., faxes or emailed portable document format (PDF) form), and the parties hereby adopt as original any signatures received
via electronically transmitted form. This Agreement supersedes and terminates, as of the date hereof, all prior Control Agreements,
or similar agreements, among Party A, Party B and Custodian relating to the Master Agreement or any predecessor ISDA master agreement.

 

15. No
Implied Waivers; Remedies Not Exclusive. No failure by Party A to exercise, and no delay in exercising and no course of dealing
with respect to, any right or remedy under this Agreement shall operate as a waiver thereof; nor shall any single or partial exercise
by Party A of any right or remedy under this Agreement preclude any other or further exercise thereof or the exercise of any other
right or remedy. The rights and remedies specified this Agreement are cumulative and are not exclusive of any other rights or remedies
provided by law.

 

16. Representations
and Warranties.

 

(a)Party B
hereby represents and warrants to Party A and the Custodian as follows:

		(i)	Party B has been duly formed and is validly existing and in good standing under the laws of its
jurisdiction of incorporation/formation and has the full power and authority to execute, deliver and perform this Agreement and
all obligations required hereunder and has taken all necessary action to authorize this Agreement on the terms and conditions hereof,
the execution, delivery and performance of this Agreement and the performances of all obligations imposed upon it hereunder. No
consent of any other person including, without limitation, shareholders and creditors of Party B, and no license, permit, approval
or authorization of, exemption by, notice or report to, or registration, filing or declaration with, any governmental authority
is required by Party B in connection with this Agreement or the execution, delivery, performance, validity or enforceability of
this Agreement and the obligations imposed upon it hereunder. This Agreement constitutes, and each instrument or document required
hereunder, when executed and delivered by Party B and all other parties hereunder, will constitute, the legally valid and binding
obligations of Party B enforceable against Party B in accordance with their terms subject, as to enforcement, (a) to the effect
of bankruptcy, insolvency or similar laws affecting generally the enforcement of creditors’ rights as such laws would apply
in the event of any bankruptcy, receivership, insolvency or similar event applicable to Party B and (b) to general equitable principles
(whether enforceability of such principles is considered in a proceeding at law or in equity).

		(ii)	The execution, delivery and performance of this Agreement and the documents and instruments required
hereunder will not violate any provision of any existing law or regulation binding on Party B, or any order, judgment, award or
decree of any court, arbitrator or governmental authority binding on Party B, or the governing instruments of, or any securities
issued by, Party B or of any mortgage, indenture, lease, contract or other agreement, instrument or undertaking to which Party
B is a party or by which Party B or any of its assets may be bound and will not result in, or require, the creation or imposition
of any lien on any of its property, assets or revenues pursuant to the provisions of any such mortgage, indenture, lease, contract
or other agreement, instrument or undertaking.

    	7

    	 

    

 

(b)The Custodian hereby
represents and warrants to Party A and Party B as follows:

 

		(i)	The Custodian is duly organized and validly existing under the laws
of the jurisdiction of its organization or incorporation and has the power to execute, deliver and perform this Agreement and has
taken all necessary entity action to authorize such execution, delivery and performance.

		(ii)	The execution delivery and performance of this Agreement and the
documents and instruments required hereunder will not violate any provision of any existing law or regulation binding on Custodian,
or any provision of its constitutional documents, any order or judgment of any court or other agency of government applicable to
Custodian or any contractual restriction binding on or affecting Custodian. 

 

		(iii)	The Custodian is qualified to act as a custodian under Section 17(f)
of the Investment Company Act of 1940, as amended.

 

(c)Party A hereby represents
and warrants to Party B and the Custodian as follows:

 

		(ii)	Party A is duly organized and validly existing under the laws of
the jurisdiction of its organization or incorporation and, if relevant under such laws, in good standing, and has the power to
execute, deliver and perform this Agreement and has taken all necessary entity action to authorize such execution, delivery and
performance.

		(iii)	The execution delivery and performance of this Agreement and the
documents and instruments required hereunder will not violate any provision of any existing law or regulation binding on Party
A, or any provision of its constitutional documents, any order or judgment of any court or other agency of government applicable
to Party A or any contractual restriction binding on or affecting Party A.

 

[REMAINDER OF PAGE LEFT INTENTIONALLY BLANK]

 

    	8

    	 

    

 

 

IN WITNESS WHEREOF,
the parties have caused this Agreement to be executed by their respective officers or duly authorized representatives as of the
date first above written.

 

	HALIFAX
    FUNDING LLC	 
	 	 
	By:	Corporate Capital Trust, Inc., its Designated Manager
	 	 	 
	 	 	 
	By:	/s/ Paul S. Saint-Pierre	
	Name:	Paul
S. Saint-Pierre	 
	Title:	Chief
    Financial Officer 	 

 

 

	THE BANK OF NOVA SCOTIA
			 
	 	 	 
	By:		/s/
    Ronny Sirizzott
	Name:	 	
    Ronny Sirizzott
	Title:	 	Director

 

 

 

	STATE STREET BANK AND TRUST COMPANY
		 	 
	 	 	 
	By:		/s/
    Michael F. Rogers
	Name:	 	 Michael
    F. Rogers 
	Title:	 	Executive
    Vice President

 

 

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Exhibit A

 

To

 

Control
Agreement among HALIFAX FUNDING LLC,

THE BANK
OF NOVA scotia, 

and State
Street Bank and Trust Company 

Dated
as of July 22, 2013

 

 

AUTHORIZED
PERSONS FOR [PARTY A]

 

State Street Bank and Trust
Company is directed to accept and act upon written instructions or entitlement orders received from any one of the following persons
at The Bank of Nova Scotia:

 

 

 

	
        Name

         
	Telephone/Facsimile	Signature
	1.	
        1. Telephone

        Facsimile
	1.  _____________________
	2.	
        2. Telephone

        Facsimile
	2.  _____________________
	3.	
        3. Telephone

        Facsimile
	3.  _____________________
	4.	
        4. Telephone

        Facsimile
	4.  _____________________
	5.	
        5. Telephone

        Facsimile
	5.  ______________________

 

 

 

	STATE STREET BANK AND TRUST COMPANY	 
			 
	Authorized By:	 	 
		as authorized agent of The Bank of Nova Scotia
	 
	 	 	 
	Name:	 	 
	 	 	 
	Title:		 
	 	 	 
	Date:	 	 

 

    	10

    	 

    

 

Exhibit
B

 

 

[Letterhead
of The Bank of Nova Scotia]

Date:
______________

State
Street Bank and Trust Company

200 Clarendon Street

Boston,
MA.  02116

Attention: Gregory V. Nikiforow

 

RE:
Halifax Funding LLC

 

NOTICE
OF EXCLUSIVE CONTROL

 

We
hereby instruct you pursuant to the terms of that certain Control Agreement dated as of July 22, 2013 (as from time to time amended
and supplemented, the “Control Agreement”) among the undersigned, Halifax Funding LLC (“Party B”)
and you, as the Custodian, that you (i) will not follow any instructions or entitlement orders of the specific Party B listed
above with respect to the Collateral or the Collateral Accounts held by you for such Party B, and (ii) unless and until otherwise
expressly instructed by the undersigned, will exclusively follow the entitlement orders and instructions of the undersigned with
respect to such Collateral or such Collateral Accounts. 

	 	 	Very
    truly yours,
	 	 	 
	 	 	The
    Bank of Nova Scotia
	 	 	 
	 	 	 
	 	 	By:	
	 	 		Authorized
    Signatory
	 	 		 

  cc:
[Investment manager]

 

    	11Corporate Capital Trust 8-K

Exhibit 10.2

AMENDING
AGREEMENT

 

 

THIS
AMENDING AGREEMENT dated as of the 22 day of July, 2013 MADE BETWEEN:

 

 

THE
BANK OF NOVA SCOTIA

(“Scotia”)

AND:

HALIFAX
FUNDING LLC

(“Halifax”)

AND:

CORPORATE
CAPITAL TRUST, INC.

   (“CCT”)

AND:

THE
BANK OF NOVA SCOTIA TRUST COMPANY OF NEW YORK

 

(“BNSTrust”)

 

 

WHEREAS
Scotia and Halifax have entered into an ISDA Master Agreement, dated as of November 15, 2012 (as amended, the “Master
Agreement”) and an ISDA Credit Support Annex, dated as of November 15, 2012 (as amended, the “Credit
Support Annex”);

 

AND
WHEREAS Scotia and Halifax have entered into Total Return Swap Transaction Master Confirmation, dated November 15, 2012 (the
“Master Confirmation”);

 

AND
WHEREAS Scotia, Halifax, CCT and BNSTrust have entered into a Custodian Agreement, dated November 15, 2012 (as amended the
“Custodian Agreement”);

 

AND
WHEREAS the parties hereto wish to effect certain amendments to the terms of the Schedule to the Master Agreement and the
Credit Support Annex;

 

AND
WHEREAS the parties hereto wish to terminate the Custodian Agreement;

 

NOW
THEREFORE THIS AMENDING AGREEMENT WITNESSETH THAT in consideration of the premises and other good and valuable consideration
the receipt and sufficiency of which is hereby acknowledged by the parties hereto, the parties hereby agree as follows:

 

		(1)	Notwithstanding
                                                                                                                           the
                                                                                                                           terms
                                                                                                                           of
                                                                                                                           the
                                                                                                                           Master
                                                                                                                           Confirmation,
                                                                                                                           if,
                                                                                                                           at
                                                                                                                           any
                                                                                                                           time
                                                                                                                           following
                                                                                                                           the
                                                                                                                           occurrence
                                                                                                                           of
                                                                                                                           a Credit
                                                                                                                           Rating
                                                                                                                           Decline
                                                                                                                           Event,
                                                                                                                           Halifax
                                                                                                                           exercises
                                                                                                                           its
                                                                                                                           rights
                                                                                                                           under
                                                                                                                           Section
                                                                                                                           4(A)
                                                                                                                           of
                                                                                                                           the
                                                                                                                           Master
                                                                                                                           Confirmation
                                                                                                                           to
                                                                                                                           delete
                                                                                                                           all
                                                                                                                           of
                                                                                                                           the
                                                                                                                           Trade
                                                                                                                           Face
                                                                                                                           Amounts
                                                                                                                           of
                                                                                                                           all
                                                                                                                           of
                                                                                                                           the
                                                                                                                           Reference
                                                                                                                           Obligations
                                                                                                                           comprised
                                                                                                                           in
                                                                                                                           the
                                                                                                                           Portfolio,
                                                                                                                           the
                                                                                                                           Make-Whole
                                                                                                                           Spread
                                                                                                                           Amount
                                                                                                                           shall
                                                                                                                           be
                                                                                                                           deemed
                                                                                                                           to
                                                                                                                           be
                                                                                                                           zero
                                                                                                                           but
                                                                                                                           only
                                                                                                                           if
                                                                                                                           such
                                                                                                                           Credit
                                                                                                                           Rating
                                                                                                                           Decline
                                                                                                                           Event
                                                                                                                           is
                                                                                                                           continuing
                                                                                                                           as
                                                                                                                           at
                                                                                                                           the
                                                                                                                           time
                                                                                                                           Halifax
                                                                                                                           elects
                                                                                                                           to
                                                                                                                           delete
                                                                                                                           such
                                                                                                                           Reference
                                                                                                                           Obligations.

For
purposes hereof, “Credit Rating Decline Event” means Party A’s credit rating with respect to its
long-term, senior unsecured indebtedness as determined by Standard & Poor’s Rating Services, a division of The McGraw-Hill
Companies, Inc., or its successor (“S&P”) or Moody's Investors Services, Inc., or its successor
(“Moody’s”) (or if neither S&P or Moody’s ratings are available, any other nationally
recognized ratings service) declines below “BBB+” or “Baa1”.

		(2)	Part
                                                                                                                           4(f)
                                                                                                                           of
                                                                                                                           the
                                                                                                                           Schedule
                                                                                                                           to
                                                                                                                           the
                                                                                                                           Master
                                                                                                                           Agreement
                                                                                                                           as
                                                                                                                           it
                                                                                                                           applies
                                                                                                                           to
                                                                                                                           Halifax
                                                                                                                           is
                                                                                                                           hereby
                                                                                                                           deleted
                                                                                                                           in
                                                                                                                           its
                                                                                                                           entirety
                                                                                                                           and
                                                                                                                           replaced
                                                                                                                           with
                                                                                                                           the
                                                                                                                           following:

		“In
                                                relation to Party B:	(1)
the Credit Support Annex, dated November 15, 2012, between Party A and Party B, and (2) the Control Agreement, dated July 22,
2013, between Party A, Party B and State Street Bank and Trust Company.”

 

    	 

    	 

    

		(3)	Paragraph
                                                                                                                           13(b)(ii)
                                                                                                                           of
                                                                                                                           the
                                                                                                                           Schedule
                                                                                                                           to
                                                                                                                           the
                                                                                                                           Credit
                                                                                                                           Support
                                                                                                                           Annex
                                                                                                                           is
                                                                                                                           hereby
                                                                                                                           deleted
                                                                                                                           in
                                                                                                                           its
                                                                                                                           entirety
                                                                                                                           and
                                                                                                                           replaced
                                                                                                                           with
                                                                                                                           the
                                                                                                                           following:

“(ii)Eligible
Collateral. The following items will qualify as “Eligible Collateral” for the party specified:

	 	Eligible
    Collateral	Party
    A	Party
    B	Valuation
    Percentage
	 	Cash	n/a	X	100%
	 	Certificates
    of Deposit	n/a	X	Where
    the relevant Certificate of Deposit is (x) issued by Party A,100%, and (y) not issued by Party A, 95%

			

 

For
purposes hereof, “Certificate of Deposit” means a USD-denominated, negotiable, certificated certificate
of deposit issued by The Bank of Nova Scotia having a remaining term to maturity of not more than 365 days and that can paid or
delivered by book entry on the books of The Depository Trust Company; provided, however, that if Party A’s credit rating
with respect to its long-term, senior unsecured indebtedness as determined by S&P or Moody's (as defined in the Master Confirmation)
(or if neither S&P or Moody’s ratings are available, any other nationally recognized ratings service) declines below
“BBB+” or “Baa1, Party B may elect to satisfy any Delivery Amount through the Transfer of any USD-denominated,
negotiable, certificated certificate of deposit (i) having a remaining term to maturity of not more than 365 days, (ii) which
can be paid or delivered by book entry on the books of The Depository Trust Company, and (iii) that is issued by a U.S. domestic,
FDIC-insured commercial bank or trust company organized under the laws of the United States, or a political subdivision thereof,
that has at all times (1) a market capitalization of at least USD 10,000,000,000; and (3) a long-term debt or deposit rating of
at least A3 from Moody’s and A- from S&P.”

 

		(4)	Paragraph
                                                                                                                           13(i)
                                                                                                                           of
                                                                                                                           the
                                                                                                                           Schedule
                                                                                                                           to
                                                                                                                           the
                                                                                                                           Credit
                                                                                                                           Support
                                                                                                                           Annex
                                                                                                                           is
                                                                                                                           hereby
                                                                                                                           deleted
                                                                                                                           in
                                                                                                                           its
                                                                                                                           entirety
                                                                                                                           and
                                                                                                                           replaced
                                                                                                                           with
                                                                                                                           the
                                                                                                                           following:

			“Eligibility
                                                        to Hold Posted Collateral; Custodians. Notwithstanding Paragraph 6(b)(i),
                                                        Party A shall hold Posted Collateral pursuant to Paragraph 6(b) only through
                                                        State Street Bank and Trust Company (notwithstanding Paragraph 6(b)(i),
                                                        the “Custodian”) subject to the provisions of the Control
                                                        Agreement (as specified below).

Use
of Posted Collateral. The provisions of Paragraph 6(c) will not apply. Party A shall not exercise its rights under the Control
Agreement to instruct the Custodian to release Collateral (as defined therein) as directed by Party A unless and until a Net Shortfall
(as defined in the Total Return Swap Transaction Master Confirmation, dated November 15, 2012, between Party A and Party B (the
“Master Confirmation”)) is owing by Party B pursuant to the terms of the Master Confirmation or an Event of
Default or Termination Event with respect to Party B has occurred and is continuing or an Early Termination Date has been designated
as a result of an Event of Default, Termination Event with respect to Party B.”

    	2

    	 

    
		(5)	Paragraph
                                                                                                                           8(b)
                                                                                                                           of
                                                                                                                           the
                                                                                                                           Credit
                                                                                                                           Support
                                                                                                                           Annex
                                                                                                                           shall
                                                                                                                           not
                                                                                                                           apply
                                                                                                                           in
                                                                                                                           respect
                                                                                                                           of
                                                                                                                           any
                                                                                                                           Posted
                                                                                                                           Collateral
                                                                                                                           in
                                                                                                                           respect
                                                                                                                           of
                                                                                                                           which
                                                                                                                           Party
                                                                                                                           A has
                                                                                                                           issued
                                                                                                                           the
                                                                                                                           relevant
                                                                                                                           written
                                                                                                                           direction
                                                                                                                           to
                                                                                                                           the
                                                                                                                           Custodian
                                                                                                                           in
                                                                                                                           accordance
                                                                                                                           with
                                                                                                                           the
                                                                                                                           definition
                                                                                                                           of
                                                                                                                           “Transfer”.

		(6)	All
                                                                                                                           references
                                                                                                                           in
                                                                                                                           the
                                                                                                                           Credit
                                                                                                                           Support
                                                                                                                           Annex
                                                                                                                           to
                                                                                                                           (i)
                                                                                                                           “Custodian
                                                                                                                           Agreement”
                                                                                                                           shall
                                                                                                                           be
                                                                                                                           deemed
                                                                                                                           references
                                                                                                                           to
                                                                                                                           the
                                                                                                                           Control
                                                                                                                           Agreement,
                                                                                                                           dated
                                                                                                                           July
                                                                                                                           22,
                                                                                                                           2013,
                                                                                                                           between
                                                                                                                           Party
                                                                                                                           A,
                                                                                                                           Party
                                                                                                                           B and
                                                                                                                           State
                                                                                                                           Street
                                                                                                                           Bank
                                                                                                                           and
                                                                                                                           Trust
                                                                                                                           Company
                                                                                                                           (the
                                                                                                                           “Control
                                                                                                                           Agreement”),
                                                                                                                           (ii)
                                                                                                                           “Collateral
                                                                                                                           Account”
                                                                                                                           shall
                                                                                                                           be
                                                                                                                           deemed
                                                                                                                           references
                                                                                                                           to
                                                                                                                           the
                                                                                                                           Securities
                                                                                                                           Account,
                                                                                                                           the
                                                                                                                           Deposit
                                                                                                                           Account
                                                                                                                           or
                                                                                                                           both
                                                                                                                           (as
                                                                                                                           each
                                                                                                                           is
                                                                                                                           defined
                                                                                                                           in
                                                                                                                           the
                                                                                                                           Control
                                                                                                                           Agreement),
                                                                                                                           and
                                                                                                                           (iii)
                                                                                                                           “Depository
                                                                                                                           Account”
                                                                                                                           shall
                                                                                                                           be
                                                                                                                           deemed
                                                                                                                           references
                                                                                                                           to
                                                                                                                           the
                                                                                                                           Deposit
                                                                                                                           Account
                                                                                                                           (as
                                                                                                                           defined
                                                                                                                           in
                                                                                                                           the
                                                                                                                           Control
                                                                                                                           Agreement).

		(7)	The
                                                                                                                           definition
                                                                                                                           of
                                                                                                                           “Transfer”
                                                                                                                           set
                                                                                                                           out
                                                                                                                           in
                                                                                                                           Paragraph
                                                                                                                           13(m)(xiv)
                                                                                                                           of
                                                                                                                           the
                                                                                                                           Schedule
                                                                                                                           to
                                                                                                                           the
                                                                                                                           Credit
                                                                                                                           Support
                                                                                                                           Annex
                                                                                                                           is
                                                                                                                           hereby
                                                                                                                           deleted
                                                                                                                           in
                                                                                                                           its
                                                                                                                           entirety
                                                                                                                           and
                                                                                                                           replaced
                                                                                                                           with
                                                                                                                           the
                                                                                                                           following:

			“Paragraph
                                                        (i) of the definition of “Transfer” shall be deleted and replaced
                                                        with the following:

		“(i)	in
                                                                                                                                    the
                                                                                                                                    case
                                                                                                                                    of
                                                                                                                                    Cash
                                                                                                                                    to
                                                                                                                                    be
                                                                                                                                    Transferred
                                                                                                                                    by
                                                                                                                                    Party
                                                                                                                                    B,
                                                                                                                                    by
                                                                                                                                    wire
                                                                                                                                    transfer
                                                                                                                                    into
                                                                                                                                    the
                                                                                                                                    Deposit
                                                                                                                                    Account
                                                                                                                                    (as
                                                                                                                                    defined
                                                                                                                                    in
                                                                                                                                    the
                                                                                                                                    Control
                                                                                                                                    Agreement)
                                                                                                                                    and
                                                                                                                                    in
                                                                                                                                    the
                                                                                                                                    case
                                                                                                                                    of
                                                                                                                                    Cash
                                                                                                                                    to
                                                                                                                                    be
                                                                                                                                    Transferred
                                                                                                                                    by
                                                                                                                                    Party
                                                                                                                                    A,
                                                                                                                                    by
                                                                                                                                    the
                                                                                                                                    issuance
                                                                                                                                    of
                                                                                                                                    a
                                                                                                                                    written
                                                                                                                                    direction
                                                                                                                                    to
                                                                                                                                    the
                                                                                                                                    Custodian
                                                                                                                                    directing
                                                                                                                                    the
                                                                                                                                    payment
                                                                                                                                    to
                                                                                                                                    Party
                                                                                                                                    B
                                                                                                                                    out
                                                                                                                                    of
                                                                                                                                    such
                                                                                                                                    Deposit
                                                                                                                                    Account
                                                                                                                                    of
                                                                                                                                    the
                                                                                                                                    requisite
                                                                                                                                    amount
                                                                                                                                    of
                                                                                                                                    cash
                                                                                                                                    subject
                                                                                                                                    to
                                                                                                                                    the
                                                                                                                                    existing
                                                                                                                                    balance
                                                                                                                                    of
                                                                                                                                    the
                                                                                                                                    Deposit
                                                                                                                                    Account;
                                                                                                                                    and

		(ii)	in
                                                                                                                              the
                                                                                                                              case
                                                                                                                              of
                                                                                                                              Certificates
                                                                                                                              of
                                                                                                                              Deposit
                                                                                                                              to
                                                                                                                              be
                                                                                                                              Transferred
                                                                                                                              by
                                                                                                                              Party
                                                                                                                              B,
                                                                                                                              the
                                                                                                                              book
                                                                                                                              entry
                                                                                                                              transfer
                                                                                                                              thereof
                                                                                                                              on
                                                                                                                              the
                                                                                                                              books
                                                                                                                              of
                                                                                                                              The
                                                                                                                              Depository
                                                                                                                              Trust
                                                                                                                              Company
                                                                                                                              to
                                                                                                                              the
                                                                                                                              Securities
                                                                                                                              Account
                                                                                                                              in
                                                                                                                              the
                                                                                                                              name
                                                                                                                              of
                                                                                                                              the
                                                                                                                              Custodian
                                                                                                                              (as
                                                                                                                              specified
                                                                                                                              in
                                                                                                                              the
                                                                                                                              Control
                                                                                                                              Agreement),
                                                                                                                              and,
                                                                                                                              in
                                                                                                                              the
                                                                                                                              case
                                                                                                                              of
                                                                                                                              Certificates
                                                                                                                              of
                                                                                                                              Deposit
                                                                                                                              to
                                                                                                                              be
                                                                                                                              Transferred
                                                                                                                              by
                                                                                                                              Party
                                                                                                                              A,
                                                                                                                              by
                                                                                                                              the
                                                                                                                              issuance
                                                                                                                              of
                                                                                                                              a
                                                                                                                              written
                                                                                                                              direction
                                                                                                                              to
                                                                                                                              Custodian
                                                                                                                              directing
                                                                                                                              the
                                                                                                                              release
                                                                                                                              to
                                                                                                                              Party
                                                                                                                              B
                                                                                                                              out
                                                                                                                              of
                                                                                                                              the
                                                                                                                              Securities
                                                                                                                              Account
                                                                                                                              of
                                                                                                                              such
                                                                                                                              Certificates
                                                                                                                              of
                                                                                                                              Deposit.”

 

		(8)	The
                                                                                                                           definition
                                                                                                                           of
                                                                                                                           “Custodian
                                                                                                                           Agreement”
                                                                                                                           set
                                                                                                                           out
                                                                                                                           in
                                                                                                                           Paragraph
                                                                                                                           13(m)(xiv)
                                                                                                                           of
                                                                                                                           the
                                                                                                                           Schedule
                                                                                                                           to
                                                                                                                           the
                                                                                                                           Credit
                                                                                                                           Support
                                                                                                                           Annex
                                                                                                                           is
                                                                                                                           hereby
                                                                                                                           deleted.

 

		(9)	Paragraph
                                                                                                                           13(m)(xvi)
                                                                                                                           of
                                                                                                                           the
                                                                                                                           Schedule
                                                                                                                           to
                                                                                                                           the
                                                                                                                           Credit
                                                                                                                           Support
                                                                                                                           Annex
                                                                                                                           is
                                                                                                                           hereby
                                                                                                                           amended
                                                                                                                           by
                                                                                                                           deleting
                                                                                                                           the
                                                                                                                           words
                                                                                                                           “the
                                                                                                                           Account
                                                                                                                           Documents
                                                                                                                           (as
                                                                                                                           defined
                                                                                                                           in
                                                                                                                           the
                                                                                                                           Custodian
                                                                                                                           Agreement)”
                                                                                                                           and
                                                                                                                           substituting
                                                                                                                           “the
                                                                                                                           relevant
                                                                                                                           documents
                                                                                                                           and
                                                                                                                           agreements
                                                                                                                           evidencing
                                                                                                                           the
                                                                                                                           Collateral
                                                                                                                           Accounts
                                                                                                                           entered
                                                                                                                           into
                                                                                                                           between
                                                                                                                           Party
                                                                                                                           B and
                                                                                                                           the
                                                                                                                           Custodian”.

 

(10)For
all purposes of the Credit Support Annex, “Value” means, in the context of a Certificate of Deposit issued
by Party A, the principal amount thereof so long as such Certificate of Deposit constitutes a primary issuance arranged through
a Designated Party (as defined in the Master Confirmation) of Party A on behalf of Party B or its custodian for the express purpose
of enabling Party B to satisfy any Delivery Amount obligation and was not acquired by Party B or its custodian from any vendor
in any secondary trading market in which certificates of deposit may trade. The Value of any posted Certificate of Deposit issued
by Party A which does not satisfy the foregoing shall be deemed to be zero. In respect of any Certificated of Deposit not issued
by Party A, the Value thereof shall be equal to the bid price obtained by the Valuation Agent on the relevant Valuation Date multiplied
by the Valuation Percentage.

 

    	3

    	 

    

		(11)	The
                                                                                                                            parties
                                                                                                                            hereto
                                                                                                                            hereby
                                                                                                                            agree
                                                                                                                            that
                                                                                                                            the
                                                                                                                            Custodian
                                                                                                                            Agreement
                                                                                                                            is
                                                                                                                            hereby
                                                                                                                            terminated
                                                                                                                            saving
                                                                                                                            and
                                                                                                                            excepting
                                                                                                                            those
                                                                                                                            provisions
                                                                                                                            thereof
                                                                                                                            which
                                                                                                                            are
                                                                                                                            expressly
                                                                                                                            stated
                                                                                                                            to
                                                                                                                            remain
                                                                                                                            in
                                                                                                                            full
                                                                                                                            force
                                                                                                                            and
                                                                                                                            effect
                                                                                                                            notwithstanding
                                                                                                                            the
                                                                                                                            termination
                                                                                                                            of
                                                                                                                            such
                                                                                                                            agreement.

		(12)	Each
                                                                                                                            of
                                                                                                                            the
                                                                                                                            parties
                                                                                                                            hereto
                                                                                                                            makes
                                                                                                                            with
                                                                                                                            respect
                                                                                                                            to
                                                                                                                            itself
                                                                                                                            the
                                                                                                                            representations
                                                                                                                            and
                                                                                                                            warranties
                                                                                                                            set
                                                                                                                            forth
                                                                                                                            in
                                                                                                                            Section
                                                                                                                            3(a)
                                                                                                                            of
                                                                                                                            the
                                                                                                                            Master
                                                                                                                            Agreement,
                                                                                                                            except
                                                                                                                            that,
                                                                                                                            all
                                                                                                                            references
                                                                                                                            in
                                                                                                                            such
                                                                                                                            Section
                                                                                                                            3(a)
                                                                                                                            of
                                                                                                                            the
                                                                                                                            Master
                                                                                                                            Agreement
                                                                                                                            to
                                                                                                                            "this
                                                                                                                            Agreement"
                                                                                                                            (or
                                                                                                                            words
                                                                                                                            or
                                                                                                                            phrases
                                                                                                                            of
                                                                                                                            similar
                                                                                                                            meaning)
                                                                                                                            shall
                                                                                                                            be
                                                                                                                            deemed
                                                                                                                            to
                                                                                                                            be
                                                                                                                            references
                                                                                                                            to
                                                                                                                            this
                                                                                                                            Amending
                                                                                                                            Agreement
                                                                                                                            and
                                                                                                                            the
                                                                                                                            Schedule
                                                                                                                            to
                                                                                                                            the
                                                                                                                            Master
                                                                                                                            Agreement
                                                                                                                            and
                                                                                                                            the
                                                                                                                            Schedule
                                                                                                                            to
                                                                                                                            the
                                                                                                                            Credit
                                                                                                                            Support
                                                                                                                            Annex
                                                                                                                            as
                                                                                                                            amended
                                                                                                                            hereby.

		(13)	From
                                                                                                                            and
                                                                                                                            after
                                                                                                                            the
                                                                                                                            date
                                                                                                                            of
                                                                                                                            this
                                                                                                                            Amending
                                                                                                                            Agreement,
                                                                                                                            all
                                                                                                                            references
                                                                                                                            in
                                                                                                                            the
                                                                                                                            Master
                                                                                                                            Agreement
                                                                                                                            or
                                                                                                                            the
                                                                                                                            Credit
                                                                                                                            Support
                                                                                                                            Annex
                                                                                                                            to
                                                                                                                            "this
                                                                                                                            Agreement"
                                                                                                                            (or
                                                                                                                            words
                                                                                                                            or
                                                                                                                            phrases
                                                                                                                            of
                                                                                                                            similar
                                                                                                                            meaning)
                                                                                                                            and
                                                                                                                            all
                                                                                                                            references
                                                                                                                            to
                                                                                                                            “this
                                                                                                                            Annex”
                                                                                                                            (or
                                                                                                                            words
                                                                                                                            or
                                                                                                                            phrases
                                                                                                                            of
                                                                                                                            similar
                                                                                                                            meaning)
                                                                                                                            shall
                                                                                                                            be
                                                                                                                            deemed
                                                                                                                            to
                                                                                                                            be
                                                                                                                            references
                                                                                                                            to
                                                                                                                            the
                                                                                                                            Master
                                                                                                                            Agreement
                                                                                                                            and
                                                                                                                            the
                                                                                                                            Credit
                                                                                                                            Support
                                                                                                                            Annex
                                                                                                                            as
                                                                                                                            amended
                                                                                                                            hereby.

 

		(14)	This
                                                                                                                            Amending
                                                                                                                            Agreement
                                                                                                                            shall
                                                                                                                            be
                                                                                                                            governed
                                                                                                                            and
                                                                                                                            construed
                                                                                                                            in
                                                                                                                            accordance
                                                                                                                            with
                                                                                                                            the
                                                                                                                            laws
                                                                                                                            of
                                                                                                                            the
                                                                                                                            State
                                                                                                                            of
                                                                                                                            New
                                                                                                                            York.

 

		(15)	All
                                                                                                                            capitalized
                                                                                                                            terms
                                                                                                                            used
                                                                                                                            but
                                                                                                                            not
                                                                                                                            defined
                                                                                                                            herein
                                                                                                                            shall
                                                                                                                            have
                                                                                                                            the
                                                                                                                            meaning
                                                                                                                            ascribed
                                                                                                                            to
                                                                                                                            such
                                                                                                                            terms
                                                                                                                            in
                                                                                                                            the
                                                                                                                            Master
                                                                                                                            Agreement.

 

		(16)	All
                                                                                                                            other
                                                                                                                            provisions
                                                                                                                            of
                                                                                                                            the
                                                                                                                            Master
                                                                                                                            Agreement
                                                                                                                            and
                                                                                                                            the
                                                                                                                            Credit
                                                                                                                            Support
                                                                                                                            Annex
                                                                                                                            shall
                                                                                                                            remain
                                                                                                                            in
                                                                                                                            full
                                                                                                                            force
                                                                                                                            and
                                                                                                                            effect
                                                                                                                            unamended
                                                                                                                            and
                                                                                                                            are
                                                                                                                            hereby
                                                                                                                            ratified
                                                                                                                            by
                                                                                                                            the
                                                                                                                            parties
                                                                                                                            hereto
                                                                                                                            in
                                                                                                                            all
                                                                                                                            respects.

 

		(17)	This
                                                                                                                            Amending
                                                                                                                            Agreement
                                                                                                                            may
                                                                                                                            be
                                                                                                                            executed
                                                                                                                            and
                                                                                                                            delivered
                                                                                                                            in
                                                                                                                            counterparts
                                                                                                                            which
                                                                                                                            when
                                                                                                                            taken
                                                                                                                            together
                                                                                                                            shall
                                                                                                                            constitute
                                                                                                                            a
                                                                                                                            single
                                                                                                                            and
                                                                                                                            original
                                                                                                                            agreement
                                                                                                                            between
                                                                                                                            the
                                                                                                                            parties.

 

		(18)	This
                                                                                                                            Amending
                                                                                                                            Agreement
                                                                                                                            shall
                                                                                                                            enure
                                                                                                                            to
                                                                                                                            the
                                                                                                                            benefit
                                                                                                                            of
                                                                                                                            and
                                                                                                                            be
                                                                                                                            binding
                                                                                                                            upon
                                                                                                                            the
                                                                                                                            parties
                                                                                                                            hereto
                                                                                                                            and
                                                                                                                            their
                                                                                                                            respective
                                                                                                                            successors
                                                                                                                            and
                                                                                                                            assigns.

    	4

    	 

    

IN
WITNESS WHEREOF the parties hereto have executed this Amending Agreement as of the day and year first above written. 

 

 

	THE
    BANK OF NOVA SCOTIA HALIFAX FUNDING LLC	 	HALIFAX
    FUNDING LLC
		
	 	By:	Corporate
                                                                                              Capital Trust, Inc., its Designated
                                                                                              Manager

	 	 	 	 	 
	 	 	 	 	 
	By:	/s/
    Ronny Sirizzoti	 	By:	/s/
    Paul S. Saint-Pierre
	Name/Title:	Ronny
    Sirizzoti/Director	 	Name/Title:	Paul
    S. Saint-Pierre/Chief Financial Officer

 
                       

		
	 		

		 	 	By:	 
	 	 	 	Name/Title:	 

 

 

	CORPORATE
    CAPITAL TRUST, INC.	 	THE
    BANK OF NOVA SCOTIA TRUST COMPANY OF NEW YORK
		
	 		

	 	 	 	 	 
	 	 	 	 	 
	By:	/s/
    Paul S. Saint-Pierre	 	By:	/s/
    John F. Neylan
	Name/Title:	 
    Paul S. Saint-Pierre/chief Financial Officer	 	Name/Title:	John
    F. Neylan/Trust Officer

 

  

	By:	 	 	By:	 
	Name/Title:	 	 	Name/Title:	 

 

 

    	5

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