Document:

Global Research and Development Outsourced Services Agreement

 Exhibit 10.9 

CONFIDENTIAL TREATMENT 

REQUESTED PURSUANT TO RULE 406 

GLOBAL RESEARCH AND DEVELOPMENT 

OUTSOURCED SERVICES AGREEMENT 

by and between 

GLAXOSMITHKLINE RESEARCH & DEVELOPMENT LIMITED 

(“GSK”) 

and 
 SHANGHAI
CHEMPARTNER CO., LTD. 
 & 

CHINA GATEWAY LIFE SCIENCE (HOLDING) LTD. (HK) 

(“ChemPartner”) 

23rd
 December, 2009 

 CONTENTS 

 

					
			
	1.	  	DEFINITIONS	  	1
			
	2.	  	PURPOSE OF AGREEMENT	  	14
			
	3.	  	TERM OF AGREEMENT	  	15
			
	4.	  	OUTSOURCED SERVICES (“OS”)	  	15
			
	5.	  	NON EXCLUSIVE APPOINTMENT AND FLEXIBLE RESOURCES	  	17
			
	6.	  	FEES AND PAYMENT	  	18
			
	7.	  	CHANGE MANAGEMENT	  	19
			
	8.	  	ChemPartner OBLIGATIONS	  	19
			
	9.	  	PERFORMANCE	  	22
			
	10.	  	NON PERFORMANCE	  	22
			
	11.	  	SITE	  	25
			
	12.	  	MATERIALS	  	26
			
	13.	  	BIOLOGICAL MATERIAL/SAMPLE	  	28
			
	14.	  	INTELLECTUAL PROPERTY RIGHTS	  	29
			
	15.	  	CONFIDENTIALITY	  	32
			
	16.	  	PERSONAL DATA PROTECTION	  	35
			
	17.	  	DISCLOSURE AND EXCHANGE OF INFORMATION	  	35
			
	18.	  	GOVERNANCE	  	36
			
	19.	  	RECORD KEEPING, RECORD RETENTION AND DATA RECORDING	  	37
			
	20.	  	AUDIT	  	38
			
	21.	  	INFORMATION TECHNOLOGY INFRASTRUCTURE SYSTEM	  	40
			
	22.	  	EMPLOYEES	  	42
			
	23.	  	INSURANCE	  	49
			
	24.	  	BUSINESS CONTINUITY PLAN	  	50
			
	25.	  	INDEMNITIES AND LIABILITIES	  	50
			
	26.	  	WARRANTIES	  	52
			
	27.	  	GSK POLICIES AND PROCEDURES	  	53
			
	28.	  	ETHICAL STANDARDS AND HUMAN RIGHTS	  	54
			
	29.	  	WASTE	  	55
			
	30.	  	TERMINATION	  	55
			
	31.	  	CONSEQUENCES OF TERMINATION	  	56
			
	32.	  	ASSISTANCE	  	58
			
	33.	  	PERMITS	  	58

					
	 34.
	  	COMPLIANCE WITH LAW AND REGULATIONS	  	58
			
	 35.
	  	ANTI-CORRUPTION, ANTI MONEY LAUNDERING AND TRADE SANCTIONS	  	59
			
	 36.
	  	GOVERNING LAW AND ALTERNATIVE DISPUTE RESOLUTION	  	60
			
	 37.
	  	GENERAL PROVISIONS	  	61

 LIST OF SCHEDULES AND APPENDICES:

 Appendix 1: Amendment to Master Agreement 

Appendix 2: Floor map of GSK Designated Space 

Appendix 3: Confidentiality Disclosure Agreement 

Appendix 4: Visitor Agreement 
 Schedule 1:
Discovery Outsourced Services 
 Schedule 2: Statement of Work, Project Form and Study Protocol 

Schedule 3: Research Agreement 
 Schedule 4:
Commercial Fees and Payment 
 Schedule 5: Governance 

Schedule 6: Performance Measurements and Performance Review 

Schedule 7: GSK Deliverables Matrix 
 Schedule 8:
Material Transfer Agreement 
 Schedule 9: Biological Samples and Human Tissue 

Schedule 10: Animal Welfare 
 Schedule 11:
Information Technology Infrastructure System 
 Schedule 12: Data Protection 

Schedule 13: Record Keeping and Record Retention Policy 

Schedule 14: Data Integrity and Data Recording 

Schedule 15: Business Continuity Plan 
 Schedule
16: Compliance and GSK Policies and Procedures 
 Schedule 17: GSK Recognition Schedule 

 GLOBAL RESEARCH AND DEVELOPMENT OUTSOURCED SERVICES AGREEMENT 

This Global Research and Development Outsourced Services Agreement (“AGREEMENT”) is made as of the 23rd day of December, 2009 (“EFFECTIVE
DATE”) between GLAXOSMITHKLINE RESEARCH AND DEVELOPMENT LIMITED, (“GSK”), registered in England and Wales under company number 835139 and having its registered office at 980 Great West Road, Brentford, Middlesex TW8 9GS,
United Kingdom and SHANGHAI CHEMPARTNER Co., Ltd., registered in China, and having its principal business address at No. 5 Building, 998 Hailei Road, Zhangjiang Hi-Tech Park Pudong New Area, 201203 Shanghai, People’s Republic of China as
well as its holding company China Gateway Life Science (holding) Ltd. (HK) registered in 3/F, Shun Feng International Centre 182 Queen’s Road East, Hong Kong (collectively “ChemPartner”). 

GSK and ChemPartner are herein referred to each as a “PARTY” and, collectively, as the “PARTIES”. 

WHEREAS 
  

	I.	The PARTIES previously entered into a Master agreement for the outsourcing of services (“Master Agreement”) on January 1, 2007 for the provision of
chemistry services (“Master Agreement”), as amended by Amendment No. 1, having an effective date 1st January, 2009. 

  

	II.	The PARTIES have agreed to increase the scope of services currently been provided by ChemPartner under the Master Agreement and execute this AGREEMENT that will replace
in its entirety the Master Agreement and will govern the relationship between the PARTIES. 

  

	III.	The PARTIES wish to continue their research and development collaboration under this AGREEMENT in the terms set forth below. 

NOW THEREFORE in consideration of the foregoing and the covenants and promises contained herein, the PARTIES agree as follows:

  

	1.	DEFINITIONS 

  

	1.1	The following terms shall have the following meanings when used in this AGREEMENT: 

 

					
	“ACQUIRED RIGHTS DIRECTIVE”	 		  	means Council Directive 2001/23/EC on the approximation of the laws of Member States relating to the safeguarding of employees’ rights in the event of transfers of
undertakings, businesses or parts of undertakings or businesses.
			
	“ADDITIONAL DISCOVERY OUTSOURCED SERVICES (“ADOS”)	 		  	means additional discovery outsourced services as agreed by the PARTIES in writing that are materially different from and in addition to the DOS, specified in Schedule 1.

			
	“ADDITIONAL OUTSOURCED SERVICES (“AOS”)”	 		  	means such additional services as agreed by the PARTIES in writing that are different from and in addition to the DOS and/or ADOS.
			
	“ADME/T”	 		  	means any in vivo, in silico, in vitro and/or in vivo ASSAY that is used to define absorption, distribution, metabolism, excretion and toxicity of a COMPOUND.
			
	“AFFILIATE”	 		  	shall mean any corporation or non-corporate business entity which CONTROLS, is CONTROLLED by, or is under common CONTROL with a PARTY to this
AGREEMENT.

  

  

1 

					
	“AGREEMENT”	 		  	means this AGREEMENT for the global research and development outsourced services and all its schedules (“Schedules”) and Appendices
(“Appendices”).
			
	“ARISING IP”	 		  	means any and all INTELLECTUAL PROPERTY RIGHTS which arise in connection with the performance of this AGREEMENT and all OS, including, without limitation, any INVENTION or
COMPOUND and any and all INTELLECTUAL PROPERTY RIGHTS associated with or arising from any INVENTION or COMPOUND.
			
	“ASSAY”	 		  	means any measurement of chemical properties and/or biological activity IN VITRO, IN VIVO, ex vivo and/or ADME/T of a COMPOUND.
			
	“ASSAY DEVELOPMENT”	 		  	means the development of an ASSAY and REAGENTS for a GSK TARGET. ASSAY DEVELOPMENT shall include, without limitation, development of cell-free and cell based biological models,
engineered or native, which may be suitable for GSK TARGET specific COMPOUNDS.
			
	“ASSET”	 		  	means any of the following: GSK TARGET – relevant hit molecules, REAGENTS, SCREENING ASSAYS, or other assets of a PARTY which are proposed by such PARTY under a PROJECT or
RESEARCH AGREEMENT.
			
	“AUDIT”	 		  	means any audit, inspection or monitoring activity, and “to Audit” means to conduct any such audit, inspection or monitoring
activity.

  

  

2 

					
	“BIOLOGY ADDITIONAL MATERIAL(s)”	 		  	means any single biology REAGENT or MATERIAL required per STUDY PROTOCOL with a value greater of *. GSK will only pay excess value above * , upon prior approval by GSK DESIGNATED
REPRESENTATIVE.
			
	“BIOLOGICAL STEP”	 		  	means *
			
	“BIOLOGICAL MATERIAL/SAMPLE”	 		  	means any human biological material, including any portion of an organ, any tissue, skin, bone, muscle, connective tissue, blood, cerebrospinal fluid, cells, gametes, or
sub-cellular structures such as DNA, or any derivative of such human biological material such as stem cells or cell lines; and any human biological product, including, but not limited to, hair, nail clippings, teeth, urine, faeces, breast milk, and
sweat.
			
	“BIOMARKERS”	 		  	means substances used as indicators of a GSK TARGET effect of a COMPOUND, according to the specifications provided by GSK.
			
	“BUSINESS CONTINUITY PLAN”	 		  	means ChemPartner business continuity plan, as set out in Schedule 15 which reflects GSK’s requirements in the event that ChemPartner is prevented or hindered from
providing the OS to GSK.
			
	“CANDIDATE”	 		  	means a PRE-CANDIDATE with * that possesses all other requisite GSK-defined efficacy and safety profiles deemed sufficient by GSK to progress to pre-clinical development, as
described in the CANDIDATE SELECTION CRITERIA, specifically set out in a PROJECT and/or PROGRAM.
			
	“CANDIDATE SELECTION CRITERIA”	 		  	means the criteria set forth in a specific SOW and/or a RESEARCH AGREEMENT for a CANDIDATE.
			
	“CHANGE”	 		  	means a change to the OS and/or PERFORMANCE MEASUREMENTS, or any other part of this AGREEMENT, or a change in the method in which the OS are delivered, including a change to the
IT INFRAESTRUCTURE SYSTEM, systems and processes underlying the delivery of the OS and/or the IT EQUIPMENT and/or SOFTWARE required for the performance of the OS.
			
	“CHEMISTRY ADDITIONAL MATERIAL(s)	 		  	means any single chemistry REAGENT or MATERIAL required per PROJECT FORM in excess value of * (or * as appropriate) and total value of greater that *. GSK will only pay excess
value above *, upon prior approval by GSK DESIGNATED REPRESENTATIVE.

  

	*	Indicates where text has been omitted pursuant to a request for confidential treatment under Rule 406 of the Securities Act of 1933, as amended. The omitted materials
have been filed separately with the Securities and Exchange Commission. 

  

  

3 

					
	“ChemPartner BACKGROUND IP”	 		  	means any PATENTS, know-how and/or any INTELLECTUAL PROPERTY RIGHTS owned by, assigned to, or licensed to ChemPartner and/or ChemPartner AFFILIATES which are necessary or useful
for the conduct of the OS under this AGREEMENT and which are either existing on the EFFECTIVE DATE or will be owned, assigned to or licensed to ChemPartner and/or ChemPartner AFFILIATES at any time during the TERM of this AGREEMENT.
			
	“ChemPartner BUSINESS CONFIDENTIAL INFORMATION”	 		  	mean any and all scientific, technical and non-technical information of ChemPartner obtained or learned by the GSK EMPLOYEE during the course of his/her co-location, including
but not limited to information regarding (a) patent and patent applications, (b) trade secret, and (c) proprietary information, mask works, ideas, designed compounds or structures (“ChemPartner Compounds”), gene sequences, cell lines,
samples, media, chemical compounds, assays, biological materials, techniques, sketches, drawings, works of authorship, models, inventions, know-how, processes, apparatuses, equipment, algorithms, software programs, software source documents, and
formulae related to the current, future, and proposed products and services of ChemPartner, and including, without limitation, ChemPartner’s information concerning research, experimental work, development, design details and specifications,
engineering, financial information, procurement requirements, purchasing, manufacturing, customer lists, investors, employees, business and contractual relationships, business forecasts, sales and merchandising, marketing plans and other proprietary
information of ChemPartner.
			
	“ChemPartner DESIGNATED REPRESENTATIVE”	 		  	means ChemPartner designated representatives as named in the relevant SOW and any associated PROJECT FORM/STUDY PROTOCOL, or any RESEARCH AGREEMENT.
			
	“ChemPartner EMPLOYEE(S)”	 		  	means those individuals who are employed, appointed or otherwise engaged FULL TIME by ChemPartner to provide the OS, or for any other term that may be agreed by the PARTIES. Such
individuals will be selected and approved by GSK at all times, in accordance with Clause 22.
			
	“ChemPartner INFORMATION”	 		  	means all ChemPartner BUSINESS CONFIDENTIAL INFORMATION and ChemPartner CONFIDENTIAL INFORMATION provided by ChemPartner to GSK pursuant to this AGREEMENT.
			
	“ChemPartner IT LIASON”	 		  	means the ChemPartner designated representative for the IT INFRASTRUCTURE SYSTEM, as described in Schedule
11.

  

  

4 

					
	“ChemPartner LIASON LEAD”	 		  	means the ChemPartner primary point of contact for G SK regarding the execution, performance and overall management of this AGREEMENT, as detailed in Clause
18.2.
			
	“ChemPartner PATENT”	 		  	means (a) all national, regional and international patent applications, including priority and provisional patent applications, (b) all patent applications derived from or
claiming priority from the foregoing patent applications (a), including divisionals, continuations, continuations-in-part, converted provisionals, and continued prosecution applications, (c) any and all patents that have issued or been granted or in
the future issue or are granted from the foregoing patent applications ((a) and (b)), including without limitation patents for INVENTIONS, utility models, petty patents, design patents and certificates of invention, (d) any and all reissues,
re-examinations, revalidations, confirmations, restorations or extensions, including any patent term extensions, supplementary protection certificates and the like of the foregoing patents or patent applications ((a), (b) and (c)).
			
	“COMMERCIALLY REASONABLE EFFORTS”	 		  	means taking all such steps and performing them in such a way as a well managed company would undertake to achieve a particular desired result for its own benefit assuming such
company was acting in a determined, prudent and reasonable manner.
			
	“COMPOUND”	 		  	means a therapeutic agent or chemical entity synthesized as part of a PROJECT or PROGRAM.

 

  

5 

					
	“CONFIDENTIAL INFORMATION”	 		  	means any and all chemical entities, specific or generic chemical structures and formulae, COMPOUNDs, chemical arrays, ASSAYS, ASSAY DEVELOPMENT, ASSETS, BIOMARKERS, ADME/T,
REAGENTS, formulations, processes and methodologies, drawings, documents, laboratory notebooks, information and other MATERIALS supplied to GSK or ChemPartner or to a THIRD PARTY associated with ChemPartner (including, without limitation, the
ChemPartner EMPLOYEES, agents or sub-contractors), information concerning the terms and provisions of this AGREEMENT, including but without prejudice to the generality of the foregoing all readable or computer or other machine readable data,
diagrams and flow charts, GSK KNOW-HOW, ideas, concepts, proposals or other confidential information relating to either PARTY’s technology, technical processes, business affairs or finances (including oral, documentary, magnetic, electronic,
graphic or digitised form or by demonstration or observation) and all such confidential information relating to a subsidiary, supplier, customer or client of either PARTY supplied to or acquired by the other in connection with this AGREEMENT
including the performance of the OS or arising from the performance of the OS. Failure to mark any of the CONFIDENTIAL INFORMATION as confidential or proprietary shall not affect its status as CONFIDENTIAL INFORMATION under the terms of the
AGREEMENT.
			
		 		  	As the context may require, means GSK CONFIDENTIAL INFORMATION and/or ChemPartner CONFIDENTIAL INFORMATION.
			
	“CONFLICT OF INTEREST”	 		  	means a PROJECT and/or a PROGRAM of a THIRD PARTY based and/or using the same GSK TARGET.
			
	“CONSUMABLE(s)”	 		  	means any item used to perform the science, which does not have a fixed asset life (excluding MATERIALS, BIOLOGY ADDITIONAL MATERIALS and/or CHEMISTRY ADDITIONAL MATERIALS and/or
REAGENTS).
			
	“CONTRACT YEAR”	 		  	means a period of twelve (12) months commencing on the EFFECTIVE DATE and on each successive anniversary of the EFFECTIVE DATE.
			
	 “CONTROL”

“CONTROLLED”
	 		  	and/or means (1) ownership by one entity, directly or indirectly, beneficially or legally, of at least fifty-one percent (51%) of the voting stock of another entity (or such
lesser percentage which is the maximum allowed to be owned by an entity in a particular jurisdiction); (2) the power of one entity to direct the management or policies of another entity, by contract or otherwise; or (3) any other relationship
between a party and an entity which both GSK and ChemPartner have agreed in writing may be considered an “AFFILIATE” of a PARTY.
			
	“DATA”	 		  	means any data or record used, stored, received or created (in electronic or hardcopy format) by ChemPartner in providing the OS under this
AGREEMENT.

  

  

6 

					
	“DELIVERABLE(s)”	 		  	means:
			
		 		  	(a) in relation to a SOW, all work product specifically identified as a deliverable in a SOW and associated PROJECT FORM(s) and/or STUDY PROTOCOL(s)
			
		 		  	(b) in relation to a RESEARCH AGREEMENT, all work product specifically identified as a deliverable in such RESEARCH AGREEMENT;
			
		 		  	and in each case all other work product not specifically identified therein but produced by ChemPartner and ChemPartner EMPLOYEES, agents and sub-contractors in the course of
performing the OS.
			
	“DISCOVERY OUTSOURCED	 		  	means those services listed in Schedule 1 to this SERVICES” or “DOS” AGREEMENT.
			
	“DOSE RESPONSE CURVE”	 		  	means *
			
	“EMPLOYMENT LIABILITIES”	 		  	means any costs, claims, demands or expenses (including reasonable legal and other professional expenses) and all losses, damages, compensation and other liabilities relating to
the employment or engagement of an individual, including those incurred by or attributed to any THIRD PARTY or sub contractor of ChemPartner (which shall include any incurred as a result of an indemnity or warranty given, or to be given, by GSK to a
THIRD PARTY or sub-contractor).
			
	“EQUIPMENT”	 		  	means paper laboratory notebooks (pLNBs), and any other equipment utilised by ChemPartner in performing the OS, provided by GSK, which is not an IT EQUIPMENT.
			
	“ESCALATION PROCEDURE”	 		  	means the escalation procedure as described in Schedule 5.
			
	“ENVIRONMENT”	 		  	means all or any of the media of air, water and land (wherever occurring) and any living organisms or systems supported by those media (including man) and in relation to the
media of air and water includes without limitation, the air and water within buildings and the air and water within other natural or man-made structures above or below ground and includes, all natural resources and the built
environment.
			
	“ENVIRONMENTAL LAWS”	 		  	shall mean all or any, national or local laws or regulations, arising through statute, subordinate legislation or common law or any relevant code of practice, guidance, standard
or other advisory material issued by any competent authority which from time to time relate to the pollution of the ENVIRONMENT, the protection of the ENVIRONMENT, the protection of natural amenity, the creation of any noise, vibration, radiation,
common law or statutory nuisance, or the production, disposal, release, use, storage, spillage, deposit, escape, discharge, leak, emission, recovery, transport of or radiation from any HAZARDOUS MATERIAL or WASTE.

 

	*	Indicates where text has been omitted pursuant to a request for confidential treatment under Rule 406 of the Securities Act of 1933, as amended. The omitted materials
have been filed separately with the Securities and Exchange Commission. 

  

  

7 

					
			
	“EXCESS MATERIAL(s)”	 		  	means any remaining MATERIAL(s) in possession of ChemPartner that are required to be returned, destroyed or disposed upon completion and/or termination of a PROJECT and/or a
PROGRAM, in accordance with GSK instructions and Clause 12.
			
	“FEES”	 		  	means the amounts payable by GSK to ChemPartner for the provision of OS, as detailed in Schedule 4.
			
	“FLEXIBLE DOS” or “FDOS” or “FLEXIBLE”	 		  	means a combination of all the DOS (ADOS and/or AOS), as described in Section B of Schedule 1, or as specified by GSK on a PROJECT by PROJECT basis. Intellectual input of
the FDOS will be predominately driven by GSK.
			
	“FORCE MAJEURE”	 		  	has the meaning set out in Clause 37.8.
			
	“FULLY INTEGRATED SERVICES” or “FIS”	 		  	mean a combination of all the DOS (or ADOS and/or AOS), as described in Section C of Schedule 1, or as specified by GSK on a PROGRAM by PROGRAM basis. Intellectual input
of the FIS will be predominately driven by ChemPartner.
			
	“FULL TIME”	 		  	means working on average eight (8) hours per day, available to work 235 days in twelve (12) months.
			
	“FUNCTIONAL DOS” or “FUNCTIONAL”	 		  	means any one of the DOS functions, as described in Section A of Schedule 1, or as specified by GSK on a PROJECT by PROJECT basis.
			
	“GOOD CITIZEN LAWS”	 		  	means any applicable anti-corruption, anti-bribery and anti-money laundering laws and related rules and regulations, decrees and/or official government orders, as detailed in
Clause 35.
			
	“GOVERNANCE”	 		  	means the governance model for the provision of the OS set out in Schedule 5.
			
	“GSK BACKGROUND IP”	 		  	means any GSK PATENTS and GSK KNOW-HOW and/or any INTELLECTUAL PROPERTY RIGHTS owned by, assigned to or licensed to GSK and/or GSK AFFILIATES which are necessary or useful for
the conduct of the OS under this AGREEMENT and which are either existing on the EFFECTIVE DATE or will be owned by, assigned to or licensed to GSK and/or GSK AFFILIATES at any time during the TERM of this AGREEMENT. GSK BACKGROUND IP does not
include GSK ARISING IP.

  

  

8 

					
	“GSK BUSINESS UNIT”	 		  	means any business unit of GSK requiring the OS under this AGREEMENT.
			
	 “GSK DELIVERABLES

MATRIX”
	 		  	means the baseline criteria for the provision of the DELIVERABLES in a PROJECT and/or a PROGRAM, as described in Schedule 7.
			
	“GSK DESIGNATED REPRESENTATIVE”	 		  	means the GSK designated representatives per GSK BUSINESS UNIT as named in the relevant SOW and any associated PROJECT FORM/STUDY PROTOCOL, or any RESEARCH
AGREEMENT.
			
	“GSK DESIGNATED SPACE”	 		  	means any physical space within the SITE dedicated only to the performance of the OS, or any other part of the SITE not dedicated exclusively to GSK where the OS are conducted,
provided that it is audited and approved by GSK.
			
	“GSK EMPLOYEE(S)”	 		  	means any full-time or part-time employee of GlaxoSmithKline plc, SmithKline Beecham Corp. d/b/a GlaxoSmithKline, GlaxoSmithKline Research and Development Limited, or any other
GSK AFFILIATE.
			
	“GSK INFORMATION”	 		  	means all GSK CONFIDENTIAL INFORMATION provided by GSK to ChemPartner pursuant to this AGREEMENT.
			
	“GSK IT LIASON”	 		  	means the GSK designated representative for the IT INFRASTRUCTURE SYSTEM, as described in Schedule 11.
			
	“GSK KNOW-HOW”	 		  	means all technical information, technologies, DATA, INVENTIONS, trade secrets, practices, methods, knowledge, know-how, skill, experience, physical, chemical or biological
materials, physical, chemical or biological processes, COMPOUNDS, chemical formulas, ASSAYS, ASSETS, BIOMARKERS, ADME/T, REAGENTS, MATERIALS, documentation, scientific and technical data and other information that GSK developed, owns, rightfully
acquired or otherwise had a right to use prior to the date of this AGREEMENT or which it develops and obtains during and after the TERM of this AGREEMENT.
			
	“GSK LIASON LEAD”	 		  	means the G SK primary point of contact for ChemPartner regarding the execution, performance and overall management of this AGREEMENT, as detailed in Clause
18.2.
			
	“GSK PATENT”	 		  	means (a) all national, regional and international patent applications, including priority and provisional patent applications, (b) all patent applications derived from or
claiming priority from the foregoing patent applications (a), including divisionals, continuations, continuations-in-part, converted provisionals, and continued prosecution applications, (c) any and all patents that have issued or been granted or in
the future issue or are granted from the foregoing patent applications ((a) and (b)), including without limitation patents for INVENTIONS, utility models, petty patents, design patents and certificates of invention, (d) any and all reissues,
re-examinations, revalidations, confirmations, restorations or extensions, including any patent term extensions, supplementary protection certificates and the like of the foregoing patents or patent applications ((a), (b) and
(c)).

  

  

9 

					
			
	“GSK POLICIES AND PROCEDURES”	 		  	means GSK internal compliance, policies, procedures and guidelines that are made available to ChemPartner in accordance with Clause 27, and which are listed under Schedule
16.
			
	“GSK RECOGNITION SCHEME”	 		  	means a procedure that intends to acknowledge those ChemPartner EMPLOYEES who have made significant contributions through working at a high standard of quality, efficiency and
integrity in a PROJECT, in accordance with Schedule 17.
			
	“GSK TARGET”	 		  	means a molecular entity such as an enzyme, receptor, or ion channel that is under research and development within a PROJECT and/or PROGRAM, where the aim is to modify the
activity of the molecular entity.
			
	“HAZARDOUS MATERIAL”	 		  	means any pollutant, or any hazardous, toxic, radioactive, noxious, corrosive or caustic substance, whether in solid, liquid or gaseous form which alone or in combination with
others is capable of causing harm to the ENVIRONMENT.
			
	“INTELLECTUAL PROPERTY RIGHTS”	 		  	means any and all PATENTS, trademarks, rights in confidence and trade secrets, INVENTIONS, KNOW-HOW or business names or signs, domain names, logos, trade dress, registered
designs, design rights, copyrights and database rights, moral rights, including all rights or forms of protection having an equivalent or similar nature or effect anywhere in the word, whether enforceable, registered, unregistered or registerable
(including all renewals, extensions and applications for registration) in respect of the same.
			
	“IT EQUIPMENT”	 		  	means computers, telecommunications and network, hardware, and any other equipment and their associated peripherals and connecting equipment utilised by ChemParner in performing
the OS, provided by GSK.
			
	“IT INFRASTRUCTURE SYSTEM”	 		  	means the DATA, IT EQUIPMENT and SOFTWARE used by or on behalf of GSK to provide, or which forms part of the OS, or which is used in connection with the OS, as detailed in
Section 1 of Schedule 11.

  

  

10 

					
			
	“INVENTION”	 		  	means any and all inventions (whether patentable or not), discoveries, developments, improvements, works of authorship, COMPOUNDS, formulas, processes including processes for the
synthesis or manufacture of chemical entities (including COMPOUNDS), chemical intermediates for use in the synthesis or manufacture of chemical entities (including COMPOUNDS), compositions of matter, formulations, methods of use or delivery, data,
reports, specifications, computer programs or models and related documentation, know-how or trade secrets which are conceived, reduced to practice or otherwise made by or developed by GSK or ChemPartner or by a THIRD PARTY associated with
ChemPartner (including, without limitation, ChemPartner EMPLOYEES, agents or sub-contractor) pursuant to this Agreement including in connection with or arising from the performance of the OS, or which reflect or contain GSK CONFIDENTIAL INFORMATION.

			
	“IN-VITRO”	 		  	means any study conducted in an artificial environment outside a living organism.
			
	“IN-VIVO”	 		  	means any study conducted in live animals.
			
	“JOINT RESEARCH COMMITTEE(S)”	 		  	means the scientific governance model that will oversee the execution and progression of a RESEARCH AGREEMENT, as described in Schedule 5.
			
	“LEAD COMPOUND”	 		  	means a COMPOUND identified by GSK that has the GSK-requisite pharmacological and/or biological activity at the specified biological GSK TARGET, and whose chemical structure is
used as a starting point for chemical modifications in order to improve the potency, selectivity, and/or pharmacokinetic parameters for advancement of said COMPOUNDS to CANDIDATE SELECTION CRITERIA.
			
	“LEAD OPTIMISATION”	 		  	means the progressive development of a LEAD COMPOUND to a CANDIDATE SELECTION CRITERIA.
			
	“LOSS/LOSSES”	 		  	means, of whatever nature and whether foreseeable or not, all actions, proceedings, judgments, liabilities, costs, claims, demands, fines, penalties, losses, damage, expenses
(including, on a solicitor and own client basis, legal fees and fees of other professional advisers).
			
	“MATERIAL(S)”	 		  	means any COMPOUND, REAGENT, ASSET, BIOLOGY MATERIAL/ SAMPLE, non-human biological material, BIOLOGY ADDITIONAL MATERIALS and/or CHEMISTRY ADDITIONAL MATERIALS that could be used
or provided by GSK to ChemPartner at the SITE, including but not limited to any material in whatever form (including written, magnetic, electronic, graphic or digitised), including any methodologies, processes, know-how, reports, specifications,
business rules or requirements, manuals, user guides, training materials and instructions and material relating to GSK SOFTWARE or its design, development, modification, operation, support or
maintenance.

  

  

11 

					
	“OUTSOURCED SERVICES (“OS”)	 		  	means any DOS, as detailed in Schedule 1, and/or any FIS, and/or any ADOS; and/or any AOS.
			
	“PATENT”	 		  	means a GSK PATENT and/or ChemPartner PATENT as the context may require.
			
	“PERFORMANCE MEASUREMENTS”	 		  	means the set of criterion established in the DELIVERABLES; and/or PERFORMANCE METRICS, and/or QUALITATIVE FEEDBACK; and/or GSK DELIVERABLES MATRIX; and/or any additional
criteria GSK may establish for a PROJECT and/or PROGRAM from time to time, as described in Schedule 6.
			
	“PERFORMANCE METRICS”	 		  	means the actual quantitative measurement, as described in Section 2.2.1, 2.2.2 and 2.2.3 of Schedule 6.
			
	“PERFORMANCE REPORTS”	 		  	means the actual quantitative performance information reports submitted by ChemPartner referred to in Section 5 of Schedule 6.
			
	“PERFORMANCE REVIEW(s)”	 		  	means the forum set up by the PARTIES to review the overall PERFORMANCE MEASUREMENTS, including ways of working and monitor the overall progress of the OS provided under the
AGREEMENT, as referred to in Section 6 of Schedule 6.
			
	“PERSONAL DATA”	 		  	shall mean any information relating to an identified or identifiable natural person (‘data subject’); an identifiable person is one who can be identified, directly or
indirectly, in particular by reference to an identification number or to one or more factors specific to his physical, physiological, mental, economic, cultural or social identity.
			
	“PRE-CANDIDATE SELECTION”	 		  	means a novel, patentable, clinically-progressable COMPOUND that meets all GSK-requisite CANDIDATE SELECTION CRITERIA prior to * (including histopathology results), as
specifically set out in a SOW and/or a RESEARCH AGREEMENT.
			
	“PROGRAM”	 		  	means FULLY INTEGRATED SERVICES provided by ChemPartner in accordance with the specifics of a RESEARCH AGREEMENT, as detailed in Schedule 3.
			
	“PROJECT (s)”	 		  	means any DOS (excluding FULLY INTEGRATED SERVICES) to be conducted by ChemPartner in accordance with a STATEMENT OF WORK (“SOW”), associated PROJECT FORM(s) and/or
STUDY PROTOCOL(s).

  
  

	*	Indicates where text has been omitted pursuant to a request for confidential treatment under Rule 406 of the Securities Act of 1933, as amended. The omitted materials
have been filed separately with the Securities and Exchange Commission. 

  

  

12 

					
	“PROJECT FORM (s)”	 		  	means a form detailing a discreet set of FUNCTIONAL chemistry OS (excluding FULLY INTEGRATED SERVICES) required by a GSK BUSINESS UNIT under the relevant SOW, as described in
Section 3 of Schedule 2.
			
	“QUALITATIVE FEEDBACK”	 		  	means feedback on observations, behaviours and ways of working to support the measurement of the performance, as described in Section 3 of Schedule 6.
			
	“REAGENT”	 		  	means a substance used in a chemical or biological reaction, or an ASSAY.
			
	“REGULATOR”	 		  	means any applicable body having regulatory or supervisory authority enforceable by law over any part of GSK’s or ChemPartner’s business relating to the OS in any
relevant jurisdiction that the PARTIES may notify to one another from time to time, and “REGULATORY” shall be interpreted accordingly.
			
	“RESEARCH AGREEMENT”	 		  	means a written instrument in substantially the form of Schedule 3 which is entered into by the PARTIES (or in the case of GSK by one of its AFFILIATES) setting out the
scientific, business and commercial details for the provision of FULLY INTEGRATED SERVICES, as required by a GSK BUSINESS UNIT.
			
	“RESEARCH PLAN”	 		  	means a plan containing the scientific characteristics, requirements and the technical operating plan for the provision of FULLY INTEGRATED SERVICES by ChemPartner under a
RESEARCH AGREEMENT, as detailed in Schedule 3.
			
	“SCREENING ASSAYS”	 		  	means high throughput screening (“HTS”) of libraries of COMPOUNDS using the ASSAY developed under ASSAY DEVELOPMENT.
			
	“SERVICE DEFAULT”	 		  	means any event or occurrence on account of ChemPartner that may result into a major disruption or interruption in (a) the provision of the OS; or (b) the execution of the
AGREEMENT, as described in Clause 10.2.
			
	“SERVICE PROBLEM”	 		  	means any event or occurrence on account of ChemPartner that may result into a minor disruption or interruption of the (a) provision of the OS; or (b) the execution of the
AGREEMENT, as described in Clause 10.1.
			
	“SITE”	 		  	means the ChemPartner’s site locate in Shanghai, People Republic of China or at such other site at which the OS will be provided as may be agreed by the PARTIES from time to
time, provided that it is audited and approved in writing by GSK.

  

  

13 

					
			
	“SOFTWARE”	 		  	means all systems and computer programs, electronic laboratory notebooks (eLNBs), including application software, enhancements, supporting documentation and associated materials
that are utilised by ChemPartner in performance of the OS pursuant to this AGREEMENT.
			
		 		  	As the context may require, means GSK SOFTWARE and/or ChemPartner’s SOFTWARE
			
	“STAGES”	 		  	means any of the stages of the GSK DELIVERABLES MATRIX, as described in Schedule 7.
			
	“STATEMENT OF WORK” or “SOW”	 		  	means a written instrument in substantially the form of Section 2 of Schedule 2 which is entered into by the PARTIES (or in the case of GSK by one of its AFFILIATES)
setting out the details of the OS required by each GSK BUSINESS UNIT.
			
	“STUDY PROTOCOL/STUDY/IES”	 		  	means a study in the form of Section 4 of Schedule 2 detailing a specific set of discrete FUNCTIONAL biology OS required by a GSK BUSINESS UNIT under the relevant SOW.

			
	“TAXES”	 		  	shall mean all indirect taxes like value added tax, service tax, etc. imposed by the People’s Republic of China.
			
	“TECHNOLOGY REGULATIONS”	 		  	means the People’s Republic of China Administration of Technology Import and Export Regulations, promulgated by the State Council of the People’s Republic of China on
10 December 2001 and effective 1 January 2002.
			
	“TERM”	 		  	means the INITIAL TERM and any RENEWAL TERM, as specified in Clause 3.
			
	“THIRD PARTY”	 		  	shall mean a party other than GSK or ChemPartner and their respective AFFILIATES.
			
	“VALIDATED REAGENT”	 		  	means is a REAGENT (protein, cell line, virus, cDNA) that is fully verified according to GSK’s requirements both in terms of identity, DNA sequence, protein and peptide mass
spectrometric analysis, etc and in terms of function (receptor coupled response in cells, enzyme activity, binding.
			
	“WASTE”	 		  	means any unwanted or surplus substance (including specially regulated waste), irrespective of whether it is capable of being recycled or recovered or has any
value.
			
	“WORKING DAY(S)”	 		  	means (except where otherwise agreed in relation to any OS) any day other than a Saturday, Sunday, bank or public holiday in People’s Republic of China.
			
	“WORKING HOURS”	 		  	means 8.30 am to 5.30 pm in the country where OS are to be performed.

  

	2.	PURPOSE OF AGREEMENT 

  

	2.1	The purpose of this AGREEMENT is to establish a framework that enables GSK to consider utilising ChemPartner to provide OS to support GSK research and development
activities. 

  

  

14 

	2.2	The collaboration between GSK and ChemPartner will be conducted under the terms and conditions set forth in this AGREEMENT and could be structured as follows:

  

	 	I.	PROJECT(s) 

 ChemPartner
may undertake a PROJECT(s), as assigned by a GSK BUSINESS UNIT from time to time. Such PROJECT(s) will be monitored by each PARTY respective Scientific Operations Team (“SOT”), as further provided in Section 4 of
Schedule 5. 
 Once a PROJECT is agreed by the PARTIES, each PARTY respective SOTs shall complete, review and approve
the corresponding SOW, associated PROJECT FORM(s) and/or STUDY PROTOCOL(s) in the formats provided under Schedule 2. 

Any intellectual input in a PROJECT(s) will be predominantly driven by GSK. 

 

	 	II.	PROGRAM(s)  

 ChemPartner
may undertake in accordance with the applicable RESEARCH AGREEMENT (in the format provided in Schedule 3) a PROGRAM(s) as assigned by GSK BUSINESS UNITS from time to time. Where a PROGRAM is proposed by a GSK BUSINESS UNIT, a JOINT RESEARCH
COMMITTEE (“JRC”) (as described in Section 5 of Schedule 5) will be formed to review, approve and agree the corresponding RESEARCH AGREEMENT that will govern such PROGRAM. 

Any intellectual input in a PROGRAM(s) will be predominantly driven by ChemPartner. 

 

	3.	TERM OF AGREEMENT 

  

	3.1	This AGREEMENT shall commence on the EFFECTIVE DATE and, unless earlier terminated as provided in this AGREEMENT, shall continue in force for a period of three
(3) years from that EFFECTIVE DATE (“INITIAL TERM”) 

  

	3.2	At any time during the twelve (12) month period prior to the expiry of the INITIAL TERM (“OPTION PERIOD”), GSK may, in its absolute discretion, extend
the INITIAL TERM on the same terms and conditions set out in this AGREEMENT for such further period as GSK shall determine, provided that, such extension shall not exceed a maximum period of two (2) years from the anticipated date of expiry of
the INITIAL TERM. GSK shall exercise this option by giving ChemPartner, during the OPTION PERIOD, written notice of its intention to extend the INITIAL TERM (“RENEWAL TERM”). 

The Parties will discuss the commercial terms applicable to the RENEWAL TERM. 

 

	3.3	The specific duration of each PROJECT and/or PROGRAM will be determined by GSK in each SOW and/or RESEARCH AGREEMENT. 

 

	4.	OUTSOURCED SERVICES (“OS”) 

  

	4.1	ChemPartner shall, for the duration of the TERM, maintain the facilities, resources and capability to provide to GSK the OS described in Schedule 1 and/or any
FIS, and/or any ADOS and/or any AOS at the SITE. 

 GSK may amend the OS from time to time in writing. However,
prior to the amendment, GSK will consult with ChemPartner on their scientific, technical, and/or cost capabilities, at which point ChemPartner will have the right to opt out from the provision of the modified OS. 

 

  

15 

	4.2	The precise scope of the OS will be assigned by GSK on a PROJECT by PROJECT basis, and/or a PROGRAM by PROGRAM basis. The PARTIES will document the provision of the OS
by means of a SOW for each specific PROJECT or a RESEARCH AGREEMENT for each specific PROGRAM, as follows: 

  

	 	4.2.1	For FUNCTIONAL chemistry OS, by means of a SOW and associated PROJECT FORM(s) (as attached in Section 2 and 3 of Schedule 2). 

 

	 	4.2.2	For FUNCTIONAL biology OS, by means of a SOW and associated STUDY PROTOCOL(s) (as attached in Section 2 and 4 of Schedule 2). 

 

	 	4.2.3	For FDOS, by means of a SOW and associated PROJECT FORM(s) and/or STUDY PROTOCOL(s) (as attached in Section 2 and 3 of Schedule 2), as appropriate.

  

	 	4.2.4	For FIS OS, by means of a RESEARCH AGREEMENT (as attached in Schedule 3). 

 

	4.3	IN-VIVO activities shall be conducted in compliance with GSK approved protocols and policies on ethical care and welfare of animals, as set out in Schedule
10. Prior to the commencement of any animal work, ChemPartner will require written authorisation from GSK. 

  

	4.4	The PARTIES agree that any GSK AFFILIATES shall be entitled to enter into a SOW, and associated PROJECT FORM(s) and/or STUDY PROTOCOL(s) and/or RESEARCH AGREEMENT(s).

  

	4.5	In the event any provision contained in this AGREEMENT conflicts with any provision in a SOW and/or any associated PROJECT FORM(s), and/or STUDY PROTOCOL(s) and/or
RESEARCH AGREEMENT(s), the provision contained in this AGREEMENT shall prevail, unless otherwise established in the relevant SOW and/or any associated PROJECT FORM(s), and/or STUDY PROTOCOL(s) and/or RESEARCH AGREEMENT(s). However, any amendments to
Clauses 6, 7, 10, 11, 12, 13, 14, 15, 16, 18, 19, 20, 21, 24, 25, 26, 27, 28, 29, 30, 35 and 36 of this AGREEMENT should be approved in writing by the GSK LIASON LEAD and GSK Legal. 

 

	4.6	Once the scope of a PROJECT has been agreed, ChemPartner shall undertake activities required to complete the OS for such PROJECT(s) in accordance with the terms of this
AGREEMENT and the relevant SOW and/or any associated PROJECT FORM(s) and/or STUDY PROTOCOL(s). ChemPartner will ensure that the appropriate ChemPartner EMPLOYEES are allocated to the respective PROJECT(s), as described in Clause 22 and all the
required MATERIALS and other resources are available or ordered as necessary. 

  

	4.7	Once the scope of a PROGRAM has been agreed, ChemPartner shall undertake activities required to complete the FIS OS for such PROGRAM(s) in accordance with the terms of
this AGREEMENT and the relevant RESEARCH AGREEMENT. ChemPartner will ensure that the appropriate ChemPartner EMPLOYEES are allocated to the respective PROGRAM(s), as described in Clause 22 and all the required MATERIALS and other resources are
available or ordered as necessary. 

  

	4.8	During the TERM of this AGREEMENT, GSK may wish to obtain ADOS and/or AOS. 

 

	 	(i)	In the event that GSK requires ADOS and/or AOS, GSK may consider ChemPartner’s capabilities for the specific provision of ADOS and/or AOS.

  

  

16 

	 	(ii)	Should GSK wish to proceed with ChemPartner providing the ADOS and/or AOS, the PARTIES will determine an appropriate description of such services based on GSK
requirements and ChemPartner will provide the GSK LIASON LEAD with the specifics scientific, technical and commercial details for the ADOS and/or AOS required. ChemPartner shall not begin performing any ADOS and/or AOS until their corresponding
description and commercial arrangements are approved by GSK in writing. Once approved by GSK, the ADOS and/or AOS will be provided in accordance with the terms and conditions set out in this AGREEMENT, unless otherwise agreed by the PARTIES.

  

	 	(iii)	GSK reserves the right to seek competitive bids from other THIRD PARTIES for the provision of ADOS and/or AOS. In the event that GSK engages a THIRD PARTY to perform
any ADOS and/or AOS, ChemPartner shall, co-operate with GSK and such THIRD PARTY to the extent reasonably required by GSK, and as required in Clause 32. 

  

	4.9	PARTIES acknowledge that over time there is a continuous need for scientific technological advancements and improvements to the OS, which may involve the evolution,
additions, modifications, enhancements and replacements to the existing OS, which will be agreed by the OS Management Board. 

Such CHANGES due to technological advancements and improvements to the OS shall not be regarded as ADOS and/or AOS and will not incur any
additional costs for GSK. 
  

	5.	NON EXCLUSIVE APPOINTMENT AND FLEXIBLE RESOURCES 

  

	5.1	Non Exclusive Appointment 

  

	5.1.1	GSK appoints ChemPartner on a non-exclusive basis to carry out the OS from the EFFECTIVE DATE until the termination or expiry of this AGREEMENT, a SOW and/or a RESEARCH
AGREEMENT. 

  

	5.1.2	ChemPartner accepts that GSK shall have no obligation to purchase any minimum volume of OS from ChemPartner. GSK shall determine an indicative non binding forecast each
CONTRACT YEAR for the number of ChemPartner EMPLOYEEs. Such forecast will not oblige GSK to any purchase volume of OS. 

  

	5.2	Flexible Resources 

  

	5.2.1	The PARTIES have agreed that GSK will have the flexibility to ramp-up and/or down the number of ChemPartner EMPLOYEES within the below timeframes, in accordance with
the scientific needs of GSK PROJECT(s) and/or PROGRAM(S). 

  

	5.2.2	GSK may require ChemPartner to reduce the number of ChemPartner EMPLOYEEs for each PROJECT(s) and/or PROGRAM(s), by giving ChemPartner no less than ninety
(90) days notice. 

  

	5.2.3	GSK may require ChemPartner to increase the number of ChemPartner EMPLOYEEs for each PROJECT(s) and/or PROGRAM(s), by giving ChemPartner no less that thirty
(30) days notice, or as agreed on a case-by-case basis. 

  

	5.2.4	FUNCTIONAL DOS and FDOS are interchangeable, based on GSK requirements. GSK will give ChemPartner a fifteen (15) days notice for changing the OS. Prior to the
change of OS, GSK will consult with ChemPartner on their scientific, technical, and/or cost capabilities. 

  

	5.2.5	GSK may, from time to time review the possibility of obtaining the OS from alternative THIRD PARTIES who may offer equivalent OS (including, but not limited to):

  

	 	(i)	at the same quality, scientific technology specifications, volume, timelines; and/or 

 

  

17 

	 	(ii)	at the same levels of productivity; and/or 

  

	 	(iii)	that accomplish the same PERFORMANCE MEASUREMENTS; 

  

	 	(iv)	at a lower price than the agreed FEES in this AGREEMENT. 

  

	5.2.6	Should GSK be able to obtain the OS from a THIRD PARTY with any of the benefits as described in Section 5.2.5 above, GSK shall notify ChemPartner and will provide
ChemPartner with the opportunity to meet GSK requirements within thirty (30) days. Upon the thirty (30) day period elapsing, GSK will have the right to remove the OS from ChemPartner within sixty (60) days notice period.

 During the notice period, ChemPartner shall continue to supply GSK the OS at the agreed FEES for the CONTRACT
YEAR, or as agreed in the PROJECT and/or PROGRAM. ChemPartner will comply with Clause 32. 
  

	6.	FEES AND PAYMENT 

  

	6.1	GSK shall, subject to ChemPartner’s appropriate performance of its obligations under this AGREEMENT, pay ChemPartner for the performance of the OS performed
pursuant to PROJECT(s) and/or PROGRAM(s) agreed under to this AGREEMENT. The FEES for the OS are detailed in Schedule 4. 

  

	6.2	GSK shall, subject to Clause 6.1, make payment of the FEES in arrears to ChemPartner’s bank account (as indicated in Schedule 4, or as agreed in writing by
the PARTIES) within sixty (60) days of receiving ChemPartner’s invoice in a form approved by GSK (such approval not to be unreasonably withheld or delayed) and in compliance with Chinese statutory requirements. ChemPartner shall submit
invoices on a monthly basis in arrears at the end of the month in which the OS were performed. 

  

	6.3	All FEES expressed in this AGREEMENT shall be inclusive of any TAXES which may be chargeable thereon at the applicable rates. 

 

	6.4	Unless otherwise agreed by the PARTIES in writing, ChemPartner shall submit invoices every month only in respect of OS actually performed, and/or costs incurred, in
accordance with this AGREEMENT and as set out in Schedule 4. 

  

	6.5	ChemPartner shall immediately communicate to GSK any CHANGE or amendment to laws or regulations that may affect the FEES and payment terms. 

 

	6.6	For the avoidance of doubt, unless and until the PARTIES agree in writing to a variation of the FEES, there shall be no increase or variation in the FEES payable under
this AGREEMENT. 

  

	6.7	Payment by GSK of any or all of the FEES shall not constitute any admission or acceptance by GSK in relation to the performance of the OS or otherwise by ChemPartner of
its obligations under this AGREEMENT. 

  

	6.8	Any withholding of applicable TAXES levied by tax authorities in the People’s Republic of China on the payments made by GSK shall be deducted and borne by
ChemPartner. 

  

  

18 

	6.9	ChemPartner shall be solely responsible for all income, TAXES, national insurance, social security and other withholdings or contributions which are or may be payable
out of, or as a result of the receipt of, any FEES or other monies paid or payable in respect of, the OS. If GSK becomes responsible or liable for any such TAXES, withholding or contribution, then without prejudice to any other right or remedy
available to it under this AGREEMENT or otherwise, GSK may withhold the same from any payment to ChemPartner or otherwise demand reimbursement or payment by ChemPartner of the same (including any penalty, interest and legal and related expenses and
costs). 

  

	6.10	GSK shall make payment for the OS in the country in which the OS are performed and to the ChemPartner or its AFFILIATES that is performing the OS. Any exception to this
rule shall be approved in writing by GSK Legal and GSK Finance through the GSK LIASON LEAD. In case of an exception, GSK may request ChemPartner Legal to issue a certificate or equivalent, whereby it is guarantee that ChemPartner is in compliance
with applicable tax regulations. 

  

	6.11	Any exercise by GSK of its rights under this Clause 6 or Clause 25 shall be without prejudice to any other rights or remedies available to GSK under this AGREEMENT or
otherwise. 

  

	7.	CHANGE MANAGEMENT 

  

	7.1	Any CHANGE to the OS shall be agreed by the PARTIES in writing and deemed part of this AGREEMENT. 

 

	7.2	Any CHANGE on the PERFORMANCE MEASUREMENTS will be discussed and approved by the PARTIES LIASON LEADs. 

 

	7.3	Any CHANGE on the IT INFRASTRUCTURE SYSTEM shall be assessed and approved by the PARTIES respective LIASON LEADs and IT LIASONs, as described in Schedule 11.

  

	7.4	Except for Clause 7.2 and Clause 7.3, any other CHANGE in the AGREEMENT will be assessed and approved by the Outsourced Services Management Board (“OSMB”) or
the respective Joint Research Committee (“JRC”), as appropriate. In case of discrepancies regarding a CHANGE, the PARTIES shall refer the issue to the GSK LIASON LEAD, who will be responsible for escalating the matter to the competent
GOVERNANCE body defined herein for resolution. 

  

	7.5	Pending agreement or rejection of a CHANGE, ChemPartner shall continue to provide the OS, as agreed under this AGREEMENT. 

 

	7.6	Any discussions which may take place between the PARTIES in connection with any request or proposal for a CHANGE shall be without prejudice to the rights of either
PARTY under this AGREEMENT, and granted by law. 

  

	7.7	Any work or service (other than the OS, AOS and/or ADOS) undertaken or carried out by ChemPartner without an agreed CHANGE, shall be undertaken or carried out entirely
at the expense and liability of ChemPartner. 

  

	8.	CHEMPARTNER OBLIGATIONS 

  

	8.1	Except as expressly set out in the applicable SOW and/or any associated PROJECT FORM(s), and/or STUDY PROTOCOL(s) and/or RESEARCH AGREEMENT(s), ChemPartner shall be
responsible for providing, at its own cost, all facilities, personnel, equipment and other resources it requires to provide the OS and to perform its obligations under the AGREEMENT. 

 

  

19 

	8.2	ChemPartner shall perform the OS at the SITE within the GSK DESIGNATED SPACE and shall not assign and/or relocate any of the OS under this AGREEMENT to premises located
outside the People’s Republic of China, unless authorised in writing by GSK. 

  

	8.3	ChemPartner shall provide any services and functions not specified in this AGREEMENT which are reasonable and necessarily required for, or related to, the proper
performance of the OS. 

  

	8.4	In providing the OS, ChemPartner shall use COMMERCIALLY REASONABLE EFFORTS to: 

 

	 	(i)	ensure that all OS are performed on a ‘time shall be of the essence’ basis; 

 

	 	(ii)	use the care, skill and diligence expected of an experienced and professional provider of services in the United Kingdom being the same as or similar to the OS and, as
a minimum, not less than that required in accordance with the best practice in ChemPartner’s industry, profession or trade; 

  

	 	(iii)	supply the DELIVERABLES to GSK and ensure that all DELIVERABLES conform to description, are fit for purpose and are free from defects, errors and omissions;

  

	 	(iv)	ensure that ownership of the DELIVERABLES vests in GSK upon delivery (if not sooner, as required by this AGREEMENT) and without any encumbrances;

  

	 	(v)	transparent and accurate communication with GSK; 

  

	 	(vi)	ensure that the OS are performed wherever applicable in accordance with the requirements of good laboratory practice (GLP) as set out in European Directives 99/11/EEC
and 99/12/EEC, the Good Laboratory Practice Regulations 1997 (UK) and the equivalent legal requirements operating in the United States, Japan and Australia; 

 

	 	(vii)	ensure that the OS are performed in conformity with world’s best practice laboratory, research and statistical techniques, standards and protocols and that such
work is recorded in writing and is capable of independent audit and traceability; 

  

	 	(viii)	ensure that all work performed under this AGREEMENT is of a standard that can be reasonably expected to pass the scrutiny of the regulator of medicines in the United
States, European Union, Japan and Australia collectively as a minimum; 

  

	 	(ix)	not use or introduce any THIRD PARTY INTELLECTUAL PROPERTY RIGHTs into its performance of the OS without first notifying GSK of its wish to do so and obtaining
GSK’s prior written consent; and where such consent is given ChemPartner shall ensure that, unless otherwise agreed in writing and subject to any restriction imposed by the oral or written agreement between ChemPartner and the legal owner of
such THIRD PARTY INTELLECTUAL PROPERTY RIGHTS, both ChemPartner, GSK and all GSK AFFILIATES shall have the right to use such THIRD PARTY INTELLECTUAL PROPERTY RIGHTS in perpetuity without restriction and free of charge; 

 

	 	(x)	insure that in performing the OS that it does not by or through any act or omission do anything to put GSK in breach of any laws, regulations, other subordinate
legislation, codes or practices; 

  

	 	(xi)	ensure that all OS are provided free from tort (including negligence); 

 

  

20 

	 	(xii)	disclose immediately to GSK in writing all CONFLICTS OF INTEREST as soon as ChemPartner becomes aware of such CONFLICT OF INTEREST; 

 

	 	(xiii)	use industry standards regarding quality, technology, processes, materials, techniques; 

 

	 	(xiv)	ensure that all MATERIALS, EQUIPMENT, IT EQUIPMENT and other ASSETS used on behalf of GSK to provide the OS are dedicated to the exclusive provision of the OS in all
material aspects; 

  

	 	(xv)	ensure the continuing uninterrupted availability of, and properly maintain in accordance with Schedule 11, the IT INFRASTRUCTURE SYSTEM used in the provision of
the OS subject to normal wear and tear; 

  

	 	(xvi)	ensure that the manner in which it performs or provides the OS does not have any adverse effect on the name, trading image, reputation or business of GSK;

  

	 	(xvii)	ensure that it complies, and shall procure that ChemPartner’s EMPLOYEES, sub-contractors and agents comply, with all applicable national, regional and local
regulations on ENVIRONMENT LAWS, and in particular with Clause 29 in all material aspects; 

  

	 	(xviii)	ensure that it complies, and shall procure that ChemPartner’s EMPLOYEES, sub-contractors and agents comply, with all G S K POLICIES AND PROCEDURES, as detailed in
Schedule 16 in all material aspects; 

  

	 	(xix)	notify GSK in a timely manner in writing of all known public holidays in the region where the OS are to be performed, at the beginning of each CONTRACT YEAR;

  

	 	(xx)	report immediately to GSK any SERVICE PROBLEM during the TERM of this AGREEMENT. 

 

	8.5	ChemPartner shall ensure that all ChemPartner EMPLOYEES assigned to a PROJECT(s) and/or PROGRAM(s) have a working knowledge of written and oral English language;

  

	8.6	ChemPartner shall comply with the requirements established in Clause 22.2 (b) regarding ChemPartner EMPLOYEES academic qualifications; 

 

	8.7	ChemPartner shall not use temporary ChemPartner EMPLOYEES for the provision of the OS. Only FULL TIME ChemPartner EMPLOYEES shall be able to work in GSK PROJECTS and/or
PROGRAMS, unless approved in writing by GSK LIASON LEAD. 

  

	8.8	Where applicable, ChemPartner shall comply with all applicable local and national laws and regulations with respect to obtaining the informed consent of any patient or
parent/guardian/legal representative, as establish in Clause 13. 

  

	8.9	Observe the CONFIDENTIALITY as set out in Clause 15 of this AGREEMENT and GSK INTELLECTUAL PROPERTY RIGHTs as described in Clause 14. 

 

	8.10	ChemPartner shall comply with all requirements and specifications regarding DATA integrity and DATA recording as described in Schedule 14.

  

	8.11	Where applicable, ChemPartner shall comply with the requirements and procedure for providing cash awards to ChemPartner EMPLOYEES under the GSK RECOGNITION SCHEME, as
described in Schedule 17. 

  

  

21 

	8.12	Notify the GSK DESIGNATED REPRESENTATIVE and the GSK LIASON LEAD in writing of any CHANGE regarding the ChemPartner DESIGNATED REPRESENTATIVE, ChemPartner LIASON LEAD
and/or ChemPartner EMPLOYEES assigned to the PROJECT(s) and/or the PROGRAM(s). 

  

	8.13	ChemPartner may from time to time be required to work with GSK AFFILIATES and GSK sub-contractors in the provision of the OS. Unless expressly directed otherwise in
writing, ChemPartner will be required to interact with them in the same way as they would interact with GSK under the terms of this AGREEMENT. 

  

	9.	PERFORMANCE 

  

	9.1	PERFORMANCE MEASUREMENTS 

  

	9.1.1	From the EFFECTIVE DATE, ChemPartner shall comply with the PERFORMANCE MEASUREMENTS, as described in Section 2 and 3 of Schedule 6, or as agreed by the
PARTIES on a PROJECT by PROJECT basis, or PROGRAM by PROGRAM basis. 

  

	9.1.2	Section 2 and 3 of Schedule 6 may be amended by GSK from time to time in writing. 

 

	9.1.3	In the event ChemPartner fails to comply with any of the PERFORMANCE MEASUREMENTS, ChemPartner shall notify in writing the GSK’s DESIGNATED REPRESENTATIVE
identified under the relevant SOW and the GSK LIASION LEAD (and such other GSK contacts as may be notified) as soon as the non-performance arises. 

  

	9.1.4	In addition to the above, ChemPartner shall report its non-compliance to any of the PERFORMANCE MEASUREMENTS in the PERFORMANCE REPORTS, as described in Section 5
of Schedule 6. 

  

	9.2	Benchmarking Process 

  

	9.2.1	GSK will use the PERFORMANCE MEASUREMENTS to conduct the benchmark process across GSK’s preferred suppliers providing similar OS as those provided by ChemPartner.

  

	9.2.2	The PARTIES will conduct biannual PERFORMANCE REVIEW meetings, in accordance with Section 6 of Schedule 6. 

 

	10.	NON PERFORMANCE 

  

	10.1	SERVICE PROBLEM 

  

	10.1.1	The following scenarios will be regarded as a SERVICE PROBLEM: 

  

	 	A)	Failure to provide any of the OS in accordance with the terms and conditions of this AGREEMENT or the relevant SOW, or any associated PROJECT FORM(s) and/or STUDY
PROTOCOL(s), and/or RESEARCH AGREEMENT; 

  

	 	B)	Failure to achieve in a PROJECT and/or PROGRAM, the PERFORMANCE MEASUREMENTS established in Section 2 and 3 of Schedule 6; 

 

	 	C)	Low performance based on benchmarking of the PERFORMANCE MEASUREMENTS across the GSK preferred suppliers for the provision of the OS, as described in Section 4 of
Schedule 6; 

  

	 	D)	Failure to implement any OS improvements agreed by the PARTIES in the PERFORMANCE REVIEWs, in accordance with Section 6 of Schedule 6;

  

  

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	 	E)	Failure to follow the standards and processes indicated by GSK at all times regarding DATA integrity and DATA recording, as described in Schedule 14;

  

	 	F)	Failure to ensure that all ChemPartner EMPLOYEES assigned to a PROJECT(s) and/or PROGRAM(s) have a working knowledge of written and oral English language;

  

	 	G)	Failure to comply with Clause 22.2 (b) regarding ChemPartner EMPLOYEES academic qualifications; or 

 

	 	H)	An attrition or turnover of * or more of ChemPartner EMPLOYEES, calculated on an * basis. 

 

	10.1.2	In the event ChemPartner is in a SERVICE PROBLEM scenario, ChemPartner shall undertake the obligation to: 

 

	 	A)	Inform the respective GSK BUSINESS UNIT member of the Scientific Operations Team (“SOT”) and the GSK LIASON LEAD about the SERVICE PROBLEM in writing;

  

	 	B)	Investigate the underlying causes of the SERVICE PROBLEM to determine the cause of the SERVICE PROBLEM and preserve any information and/or data indicating the origin
and cause of the SERVICE PROBLEM; 

  

	 	C)	Prepare and deliver to the respective GSK BUSINESS UNIT member of the SOT and the GSK LIASON LEAD a report identifying the SERVICE PROBLEM and, where possible, its
causes and ChemPartner’s proposed corrective action plan within five (5) days from the notification; 

  

	 	D)	Use COMMERCIALLY REASONABLE EFFORTS to minimise the impact of the SERVICE PROBLEM and prevent it from recurring; 

 

	 	E)	Implement ChemPartner proposed corrective action plan, following prior approval from GSK; and 

 

	 	F)	Keep the respective GSK BUSINESS UNIT member of the SOT and the GSK LIASON LEAD informed of the execution of the agreed actions. 

 

	10.1.3	Once the SERVICE PROBLEM is identified, the respective GSK BUSINESS UNIT member of the SOT, and/or the respective OSMB member (as appropriate) will give notice to
ChemPartner requiring rectification of the SERVICE PROBLEM within thirty (30) days of the date of such notice (“GRACE PERIOD”). 

  

	10.1.4	During the GRACE PERIOD, GSK may at its own discretion select between the following options: 

 

	 	A)	Request ChemPartner to repeat any part of the OS that are affected by the SERVICE PROBLEM (“REWORKS”) in order to correct errors at no additional costs for
GSK; or 

  
  

	*	Indicates where text has been omitted pursuant to a request for confidential treatment under Rule 406 of the Securities Act of 1933, as amended. The omitted materials
have been filed separately with the Securities and Exchange Commission. 

  

  

23 

	 	B)	Request ChemPartner to conduct the REWORKS through a THIRD PARTY previously selected by GSK at no additional costs for GSK. GSK shall deduct the time spent and/or
associated costs of the REWORKS according to Section 4 of Schedule 4; 

  

	10.1.5	Once the GRACE PERIOD elapses, the respective GSK BUSINESS UNIT member of the SOT and/or the respective OSMB member (as appropriate) shall re-evaluate the SERVICE
PROBLEM scenario during thirty (30) days from the end of the GRACE PERIOD (“TRIAL PERIOD”), with no additional cost for GSK. 

If after the TRIAL PERIOD, ChemPartner is able to provide the OS as before the SERVICE PROBLEM was notified, the SERVICE PROBLEM scenario
will then cease. ChemPartner will then continue performing the OS as usual, in accordance with the terms and conditions of this AGREEMENT, respective SOW and/or PROJECT FORM(s), and/or STUDY PROTOCOL(s), and/or RESEARCH AGREEMENT. 

 

	10.2	SERVICE DEFAULT 

  

	10.2.1	Should the TRIAL PERIOD elapse without ChemPartner favourably resolving the SERVICE PROBLEM, the SERVICE PROBLEM will convert into a SERVICE DEFAULT. The respective GSK
BUSINESS UNIT member of the SOT, and/or the respective OSMB member (as appropriate) shall notify the GSK LIASON LEAD and the respective OSMB, who will notify ChemPartner about the SERVICE DEFAULT situation. 

 

	10.2.2	Upon formal notice to ChemPartner, GSK may: 

  

	 	A)	Temporary suspend or remove the OS (or part thereof) which are subject matter of the SERVICE DEFAULT from ChemPartner; and 

 

	 	B)	Recover from ChemPartner the FEES originally charged for the OS subject matter of the SERVICE PROBLEM and those FEES that have been accrued during the TRIAL PERIOD; and

 If the OS subject matter of the SERVICE DEFAULT are removed: 

 

	 	a)	The Removed OS shall no longer be part of the SOW and/or associated PROJECT FORM, and/or STUDY PROTOCOL, and/or RESEARCH AGREEMENT from the date specified in the notice
issued, as described in Clause 10.2.1 above; and 

  

	 	C)	If necessary, the FEES shall be equitably adjusted to reflect the reduced scope and/or volume of the OS. 

GSK shall deduct the time spent and/or associated FEES of the REWORKS according to Section 5 of Schedule 4. 

 

	10.2.3	GSK may terminate the respective PROJECT(s) and/or PROGRAM(s) as permitted under Clause 30. 

 

	10.3	EXCEPTIONS TO NON PERFORMANCE 

  

	10.3.1	A failure by ChemPartner to achieve any of the DELIVERABLES shall not be deemed to be a SERVICE PROBLEM where the root cause is one or more of the following conditions
(unless the event is the result of actions or omissions of ChemPartner, ChemPartner EMPLOYEES or ChemPartner sub-contractors): 

  

	 	A)	any action taken by ChemPartner at the authorised request of GSK, provided that ChemPartner shall use its best endeavours to advise GSK if it is aware of;

  

  

24 

	 	B)	any possibility that compliance with that request would have adverse consequences not previously notified to GSK; 

 

	 	C)	negligent or wilful misconduct of GSK (including its sub-contractors, agents); 

 

	 	D)	FORCE MAJEURE, as established in Clause 37.8. 

  

	10.3.2	This Clause 10 shall be with prejudice to or limitation of any other rights or remedies available to GSK. 

 

	11.	SITE 

  

	11.1	ChemPartner warrants that all the OS shall be conducted and performed at the SITE within the GSK DESIGNATED SPACE in accordance with the terms and conditions
established in this AGREEMENT. 

  

	11.2	ChemPartner shall promptly notify and shall keep GSK fully and properly informed at all times of all matters concerning the SITE and the GSK DESIGNATED SPACE to the
extent that such matters may impact the provision of the OS or may cause GSK to incur in any LOSS, damage or reputation loss. 

  

	11.3	ChemPartner shall ensure that all research activities related to the provision of the OS at the GSK DESIGNATED SPACE will be kept separate from the business undertaken
for THIRD PARTIES. Consequently, ChemPartner will maintain laboratory and storage space dedicated solely to the provision of GSK OS at the GSK DESIGNATED SPACE. Upon the execution of this AGREEMENT, ChemPartner will provide GSK with a floor map or
sketch and the technical characteristics of the GSK DESIGNATED SPACE that will be assigned to the performance of the OS within the SITE, hereto attached as Appendix 2. 

 

	11.4	ChemPartner shall install a GSK approved card swipe security system or equivalent in the GSK DESIGNATED SPACE and shall ensure that all other security requirements
(specified by GSK at all times) in respect of the GSK DESIGNATED SPACE are fulfilled at all times throughout the TERM of this AGREEMENT. 

  

	11.5	No THIRD PARTIES shall be given access to the GSK DESIGNATED SPACE without accompanied by ChemPartner EMPLOYEES or otherwise without the prior written consent of GSK.
This prohibition does not apply to GSK EMPLOYEEs working on the PROJECT(s) and/or PROGRAM(s) and REGULATORY authorities, or to any exception herein specified. 

 

	11.6	ChemPartner shall be responsible for the requisite installation, maintenance and upgrades of secure data transmission lines between the GSK DESIGNATED SPACE and GSK, as
requested by GSK. 

  

	11.7	All DATA and/or documentation related to the OS shall not be removed from the GSK DESIGNATED SPACE and shall be protected from physical damage, loss or theft, by
installing lockable cabinets for securing GSK documentation in the GSK DESIGNATED SPACE. 

  

	11.8	Printers and faxes used for the provision of the OS shall be located within the GSK DESIGNATED SPACE. 

 

  

25 

	11.9	Servers, firewalls, routers, network switches and communications equipment used in the delivery of the OS to GSK, may be located outside of the GSK DESIGNATED SPACE but
this location must be within a secure room (“Secure Room”) with appropriate environmental controls and where access is limited by an electronic access control system (or an equivalent system approved by GSK). Such Secure Room
(s) shall be secured against unauthorised access by electronic card access control. ChemPartner shall limit access only to ChemPartner EMPLOYEES requiring access to perform the OS. 

 

	11.10	Should ChemPartner wish to locate resources in an additional GSK DESIGNATED SPACE, in a new location (another building in the same city or in another city), this Clause
shall apply. ChemPartner will notify the GSK LIASON LEAD of the new location seven (7) WORKING DAYS prior to the relocation. 

  

	11.11	Photographs may not be taken within the GSK DESIGNATED SPACE without written permission of GSK (this includes photographs taken using mobile with cameras).

  

	11.12	Meetings shall preferably be held within the GSK DESIGNATED SPACE. Where meetings are required to be located in Video Conference facilities or Management Offices
outside of the GSK DESIGNATED SPACE, appropriate controls shall be implemented to ensure that any GSK DATA or documentation is not left unattended in such locations and is brought back into the GSK DESIGNATED SPACE on meeting completion.

  

	12.	MATERIALS 

  

	12.1	GSK may supply ChemPartner with MATERIALS for the performance of the OS. 

  

	12.2	The use of BIOLOGY ADDITIONAL MATERIALS and/or CHEMISTRY ADDITIONAL MATERIALS in ChemPartner’s performance of the OS must be approved in writing by GSK.

  

	12.3	In the event ChemPartner requires purchasing BIOLOGY ADDITIONAL MATERIALS and/or CHEMISTRY ADDITIONAL MATERIALS, ChemPartner will provide GSK with quotes from their
preferred suppliers who meet quality, quantity and timeline requirements. In addition, ChemPartner will highlight the preferred option and will seek GSK approval before proceeding. 

 

	12.4	Notwithstanding the above, GSK may: 

  

	 	A)	Supply the BIOLOGY ADDITIONAL MATERIALS and/or CHEMISTRY ADDITIONAL MATERIALS to ChemPartner at no cost for ChemPartner; or 

 

	 	B)	Provide ChemPartner with the contact details of GSK preferred suppliers, in order for ChemPartner to conduct the purchase directly. 

 

	12.5	ChemPartner shall use the MATERIALS exclusively on GSK PROJECT(s) and/or PROGRAM(s) and in accordance with GSK specifications and instructions at all times. Any EXCESS
MATERIALS from a PROJECT and/or PROGRAM may be used for other GSK PROJECT and/or PROGRAM. ChemPartner will not transfer possession or control of any MATERIALS to a THIRD PARTY, remove, or transport the MATERIALS from the SITE without GSK written
authorisation. 

  

  

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	12.6	Should the value of a single BIOLOGY ADDITIONAL MATERIAL required in a STUDY PROTOCOL be greater than *, GSK will only pay excess value above * per CONSUMABLE, upon
prior approval by GSK DESIGNATED REPRESENTATIVE. 

  

	12.7	Should the value of a single CHEMISTRY ADDITIONAL MATERIAL required in a PROJECT FORM be greater than * (or * as appropriate) and a total value of greater than *. GSK
will only pay excess value above *, upon prior approval by G S K DESIGNATED REPRESENTATIVE. 

  

	12.8	ChemPartner shall not use the MATERIALS supplied by GSK for any unlawful purposes. 

 

	12.9	For those MATERIALS supplied by GSK, GSK shall appoint GSK preferred suppliers for the shipments of the MATERIALS to the SITE. The PARTIES shall enter into a Material
Transfer Agreement (“MTA”), as set out in Schedule 8, whereby the terms and conditions of the transportation of the MATERIALS will be determined. 

 

	12.10	All legal, custom requirements retaining to the labelling, packaging, dispatch and delivery of the MATERIALS must be met by GSK, if the MATERIALS are supplied by GSK.

  

	12.11	ChemPartner shall keep the MATERIALS supplied by GSK stored and labelled in such a way that they are visibly marked and readily identifiable as belonging to GSK.

  

	12.12	ChemPartner shall store the MATERIALS supplied by GSK at the GSK DESIGNATED SPACE at the SITE in accordance with the technical, safety and handling instructions
provided by GSK at all times. Should the MATERIALS supplied by GSK be stored at a different location, ChemPartner will inform GSK and provide the relevant information regarding said location. Any new storage location must be authorised in writing by
GSK. 

  

	12.13	ChemPartner shall permit G S K by means of its G S K DESIGNATED REPRESENTATIVE or duly authorised representative to inspect the MATERIALS supplied by GSK at all
reasonable times and, for such purpose, to enter the GSK DESIGNATED SPACE where the MATERIALS may be located. ChemPartner shall grant reasonable access to the GSK DESIGNATED SPACE for such inspection during normal WORKING HOURS.

  

	12.14	ChemPartner shall be responsible for taking all reasonable measures to ensure the security of the MATERIALS whilst in the GSK DESIGNATED SPACE at the SITE.

  

	12.15	In the event ChemPartner requires equipment and materials in addition to the MATERIALS and/or EQUIPMENT and/or IT EQUIPMENT to provide the OS, ChemPartner will obtain
such equipment and materials at its own expense. Such equipment and materials shall be acquired in the name of ChemPartner and the title shall vest in ChemPartner. 

 

	12.16	ChemPartner shall take all reasonable care of all MATERIALS supplied by GSK, and where it becomes aware that any MATERIALS supplied by GSK have been stolen, lost,
destroyed or damaged, it shall promptly inform the GSK DESIGNATE REPRESENTATIVE and the GSK LIASON LEAD to that effect in writing. 

  

	12.17	Risk of loss or damage to the MATERIALS supplied by GSK shall pass to ChemPartner on delivery. 

 

	*	Indicates where text has been omitted pursuant to a request for confidential treatment under Rule 406 of the Securities Act of 1933, as amended. The omitted materials
have been filed separately with the Securities and Exchange Commission. 

  

  

27 

	12.18	Without limiting and subject to the foregoing ChemPartner shall be responsible for any damage to or LOSS of the MATERIALS supplied by GSK arising out of or in
connection with any negligence, misuse, mishandling of or otherwise caused by ChemPartner or its officers, ChemPartner EMPLOYEES, agents and sub-contractors. 

 

	12.19	On termination or expiry of this AGREEMENT, and/or a SOW, and/or PROJECT FORM, and/or STUDY PROTOCOL, and/or a RESEARCH PROGRAM, ChemPartner shall return all remaining
EXCESS MATERIALS that are property of GSK, in accordance with the corresponding SOW and/or RESEARCH AGREEMENT. GSK shall have the right, at all reasonable times, upon prior notice and during normal WORKING HOURS, to enter the SITE to inspect and
retrieve any of the EXCESS MATERIALS. 

  

	12.20	ChemPartner shall have a period of five (5) WORKING DAYS from the date of its receipt of a shipment of the MATERIALS supplied by GSK to inspect and reject such
shipment for non-conformance with the specifications provided by GSK at all times. If ChemPartner rejects such shipment, it shall promptly so notify the GSK BUSINESS UNIT member of the SOT and provide him/her with samples of such shipment for
testing. If GSK testing determines that the samples did not conform to the specifications provided by GSK, the PARTIES shall submit the samples of such shipment to a mutually acceptable independent laboratory for testing. If such independent
laboratory determines that the shipment conformed to the specifications provided by GSK, ChemPartner shall bear all expenses of testing such shipment samples. If GSK or such independent laboratory confirms that such shipment did not meet the
specifications provided by GSK, GSK shall replace, at no cost for ChemPartner, that portion of the shipment which does not conform to said specifications, and shall bear all expenses of shipping and testing of the samples. Any nonconforming portion
of any shipment shall be disposed of as directed by GSK BUSINESS UNIT member of the SOT, at GSK’s expense. Any MATERIALS that ChemPartner does not reject pursuant to this Clause 12, shall be deemed accepted, and all claims with respect to
MATERIALS supplied by GSK not conforming with the specifications shall be deemed waived by ChemPartner, except as to latent defects which are not reasonably discoverable, render the shipment not conforming to specifications, and are solely caused by
GSK. 

  

	12.21	ChemPartner acknowledges that at no time will any right, title or interest in or to any of the MATERIALS supplied by GSK pass to ChemPartner and that ChemPartner shall
at all times act as bailee only of such MATERIALS. ChemPartner shall hold all MATERIALS strictly to the order of GSK, who shall remain the owner of the MATERIALS. ChemPartner shall have no general, contractual, equitable or any other right or
interest in or lien over the MATERIALS. 

  

	13.	BIOLOGICAL MATERIAL/SAMPLE 

  

	13.1	ChemPartner shall not use any BIOLOGICAL SAMPLE in the performance of OS without notifying GSK of such intended use and obtaining GSK’s consent thereto.

  

	13.2	To the extent it may be applicable, any BIOLOGICAL SAMPLE obtained from patients or subject volunteers or other donors by ChemPartner to perform the OS, must be:

  

	 	A)	obtained in compliance with all applicable national, regional and local laws regarding the collection, storage, transfer, use and disposal of human tissues and
regarding the use and disclosure of human health information in all material aspects; and 

  

	 	B)	obtained with relevant requirements for ethics committee approvals, as required; and 

 

  

28 

	 	C)	obtained the informed consent of the concerned individuals of such BIOLOGICAL SAMPLE, and in the case of post mortem BIOLOGICAL SAMPLE, supplied with consent provided
by or on behalf of the original donor that specifically includes consent: (i) for the BIOLOGICAL SAMPLE to be used in commercial research (and with respect to the supply of any BIOLOGICAL SAMPLE collected after September 1st 2006;
(ii) that such research use may include DNA analysis) which could result in commercial gain; (iii) that the BIOLOGICAL SAMPLE shall not be transferred to other commercial entities or THIRD PARTIES; (iv) that to the extent to which
collected BIOLOGICAL SAMPLE will be associated with information identifying the donor in anonymous way; (v) if applicable, that information regarding the donor may be transferred and used with the BIOLOGICAL SAMPLE in anonymous way; and
(vi) that the donor has been informed not to expect to benefit from any commercial gain. 

  

	14.	INTELLECTUAL PROPERTY RIGHTS 

  

	14.1	Except as expressly provided in this AGREEMENT, no express or implied licenses or other rights are provided or transferred to ChemPartner by GSK under any GSK PATENTS,
GSK KNOW-HOW, GSK BACKGROUND IP or other INTELLECTUAL PROPERTY RIGHTS of GSK, beyond those necessary for ChemPartner to perform its obligations under this AGREEMENT and specified in this AGREEMENT. GSK is the owner, assignee or licensee of G SK
PATENTS, G SK KNOW-HOW, GSK BACKGROUND IP and other INTELLECTUAL PROPERTY RIGHTS of GSK, and this AGREEMENT does not affect GSK’s interests in such rights. 

 

	14.2	ChemPartner shall not, and shall procure that its agents, sub-contractors and ChemPartner EMPLOYEES do not use or copy any ARISING IP, CONFIDENTIAL INFORMATION of GSK,
GSK KNOW-HOW, GSK PATENTS, GSK BACKGROUND IP or any other INTELLECTUAL PROPERTY RIGHTS of GSK for any other purpose other than for complying with its obligations under this AGREEMENT. GSK hereby grants ChemPartner a fully paid-up, non-exclusive
licence or sublicence (as the case may be) during the TERM of this AGREEMENT to use GSK BACKGROUND IP only to the extent necessary and for the sole purpose of performing its obligations under this AGREEMENT, but for no other purpose. ChemPartner may
not grant any sub-licence to use GSK BACKGROUND IP, except ChemPartner may allow its AFFILIATES and any person working for or on behalf of ChemPartner, to use GSK BACKGROUND IP for the sole purpose of complying with ChemPartner’s obligations
under this AGREEMENT. 

  

	14.3	ChemPartner shall promptly disclose to GSK any INVENTION and COMPOUNDS created pursuant to the performance of this AGREEMENT. GSK should keep such disclosure
CONFIDENTIAL. 

  

	14.4	ChemPartner hereby agrees that any and all ARISING IP, including, without limitation, any and all INTELLECTUAL PROPERTY RIGHTS associated with or arising from any
INVENTION or COMPOUND, shall immediately upon creation vest in and become the property of GSK. ChemPartner hereby assigns wholly and exclusively all title and interest it holds in ARISING IP to GSK. 

 

	14.5	At the request of GSK, and without further payment save for the reimbursement of its reasonable costs, ChemPartner shall execute, and (if required) shall procure that
its agents, ChemPartner EMPLOYEES and contractors shall execute, any such assignment or other document as may be necessary or desirable or required by GSK to perfect the vesting and assignment of ARISING IP. 

 

	14.6	ChemPartner shall procure from each THIRD PARTY, AFFILIATE and/or sub-contractors assisting ChemPartner in the performance of this AGREEMENT and all OS an assignment to
GSK of all title and interest of said THIRD PARTY, AFFILIATE and/or sub-contractors in ARISING IP, to the same extent as set out in Clause 14.4. ChemPartner shall procure from each such THIRD PARTY, AFFILIATE and/or sub-contractor the execution of
any assignment or other document as may be necessary or desirable or required by GSK to perfect the assignment or vesting of ARISING IP to the same extent as set out in Clause 14.5. 

 

  

29 

	14.7	ChemPartner shall ensure that all ChemPartner EMPLOYEES are engaged on the basis that all ARISING IP in work and results created by them pursuant to the OS and this
Agreement vest in ChemPartner, so as to enable ChemPartner to comply with clause 14.4. Without limiting clause 14.6 where any THIRD PARTY, AFFILIATE or sub-contractor is involved in the OS, such PARTY will be engaged by ChemPartner on the basis that
ARISING IP and results will vest in, be assigned to or be owned by GSK. 

  

	14.8	ChemPartner undertakes that it shall be solely responsible for any and all obligations to reward or remunerate its ChemPartner EMPLOYEES, agents and sub-contractor in
connection with any claims for, or rights to, or disputes in connection with payment or compensation arising from or connected with ARISING IP, and shall hold GSK exempted from any such claims from any ChemPartner EMPLOYEES, agents or
sub-contractors. Without limiting the foregoing, ChemPartner acknowledges that GSK shall not be responsible or liable for any claims for compensation by ChemPartner EMPLOYEES in the event that ChemPartner EMPLOYEES (or any of them) are named as
inventor or co-inventor of an INVENTION described or claimed in a PATENT filed by GSK or an AFFILIATE of GSK or otherwise contribute to any INVENTION, and ChemPartner shall be fully responsible for all claims for compensation made by ChemPartner
EMPLOYEES under the People’s Republic of China Patent Law and any other applicable statute or regulation. 

  

	14.9	ChemPartner shall assist GSK in any action instituted by GSK against any THIRD PARTY making unauthorised use of ARISING IP, and G SK shall reimburse ChemPartner’s
reasonable and actual costs in providing such assistance. 

  

	14.10	ChemPartner shall promptly inform GSK of any infringement or threatened infringement of GSK’s rights in ARISING IP which comes to the notice of ChemPartner.

  

	14.11	ChemPartner acknowledges that GSK shall have the sole right at its own expense to prepare, file in its own name or that of GSK AFFILIATES, prosecute, maintain and
abandon in any and all countries or regions of the world selected at GSK’s sole discretion any PATENT or other registerable right in respect of any INVENTION, COMPOUND and/or INTELLECTUAL PROPERTY RIGHT vesting in and/or assigned to GSK
pursuant to this Clause 14. ChemPartner shall, at GSK’s expense, comply with all reasonable requests to do all things necessary for the prosecution, grant or registration of such PATENTS or other registerable INTELLECTUAL PROPERTY RIGHTS and
shall procure similar compliance from its agents, AFFILIATES, ChemPartner EMPLOYEES and sub-contractors. 

  

	14.12	ChemPartner acknowledges that the intention of the PARTIES is that in carrying out its obligations under the AGREEMENT and performance of the OS it will not use or
contribute INTELLECTUAL PROPERTY RIGHTS owned by it and ChemPartner agrees not to use its own INTELLECTUAL PROPERTY RIGHTS in carrying out its obligations under the AGREEMENT, unless otherwise agreed by GSK. 

 

	14.13	Without prejudice to clause 14.12, ChemPartner shall grant to GSK, and shall procure the grant to GSK from its ChemPartners, agents and ChemPartner EMPLOYEES as
appropriate of, a perpetual, worldwide, fully paid-up, non-exclusive licence to use any INTELLECTUAL PROPERTY RIGHTS and materials or know-how owned by, assigned to or licensed to ChemPartner or its ChemPartners, agents and ChemPartner EMPLOYEES, as
may in fact be necessary for GSK to obtain the full benefit of the OS, the results thereof and all ARISING IP during or after the TERM, without further consideration unless agreed otherwise. 

 

  

30 

	14.14	All ChemPartner BACKGROUND IP created by ChemPartner independently of this AGREEMENT shall remain with ChemPartner. 

 

	14.15	ChemPartner hereby grants and (if required) shall procure that its sub-contractors, agents and ChemPartner EMPLOYEES grant to GSK a royalty-free, irrevocable,
world-wide, non-exclusive, perpetual licence (including a licence to sub-licence any THIRD PARTY for and on behalf of GSK) to: 

  

	 	A)	ChemPartner BACKGROUND IP brought to this AGREEMENT by ChemPartner, its AFFILIATES, its agents and ChemPartner EMPLOYEES at the EFFECTIVE DATE and used for carrying out
ChemPartner’s obligations under the AGREEMENT; and 

  

	 	B)	any INTELLECTUAL PROPERTY RIGHTS subsequently brought into existence by ChemPartner, its AFFILIATES, its agents and ChemPartner EMPLOYEES other than as a result of
performance of its obligations under this AGREEMENT, all for the purposes of the use and exploitation by GSK and/or GSK AFFILIATES of ARISING IP. 

  

	14.16	ChemPartner shall procure the grant to GSK and its sub-contractors, AFFILIATES, agents and ChemPartner EMPLOYEES of a worldwide, fully paid-up, non-exclusive licence to
use (as may be reasonably necessary for GSK to exercise its rights under this AGREEMENT) any THIRD PARTY software and THIRD PARTY material licensed or otherwise supplied to ChemPartner and used in carrying out ChemPartner’s obligations under
the AGREEMENT that may be necessary for the purpose of obtaining the full benefit of the OS during the TERM of this AGREEMENT without further consideration unless agreed otherwise. The licence granted under this Clause shall take effect on the date
that the relevant THIRD PARTY software and THIRD PARTY material is first used by or on behalf of ChemPartner to carry out its obligations under the AGREEMENT. 

 

	14.17	Notwithstanding the provisions of this Clause 14, and for the avoidance of any doubt, the PARTIES hereby agree that the assignment of ARISING IP and licences in favour
of GSK and the licence in favour of ChemPartner hereunder shall not incorporate the assignment or licence of any prohibited or restricted technology for the purposes of the Technology Regulations and all notices or catalogues issued by the
authorities thereunder, including the Catalogue of Technology of which China Prohibits or Restricts the Import and the Catalogue of Technology of which China Prohibits or Restricts the Export and any future such notices or catalogues issued pursuant
to the Technology Regulations. The PARTIES agree that if any restricted technology would otherwise have been assigned or licensed hereunder save for this provision, that the PARTIES will apply to the Ministry of Commerce of the State Council of the
People’s Republic of China in accordance with the Technology Regulations for a licence to export or import the technology in question, and shall enter into a separate licence or assignment agreement in respect of such technology.

  

	14.18	The PARTIES acknowledge that the import of all MATERIALS into the People’s Republic of China (“PRC”) for use by ChemPartner shall be the subject of
separate Material Transfer Agreements agreed between the PARTIES, as detailed in Schedule 8, and the PARTIES shall cooperate with each other in registering or obtaining approval of the same by the PRC authorities pursuant to the Technology
Regulations. 

  

	14.19	ChemPartner hereby warrants that it will obtain from each ChemPartner EMPLOYEE prior to the ChemPartner EMPLOYEE providing OS hereunder, a waiver under which the
ChemPartner EMPLOYEE waives to the fullest extent possible any pre-emptive rights or rights of first refusal that the ChemPartner EMPLOYEE may have, pursuant to any applicable laws or regulations of the PRC, to have transferred to him/her any and
all INTELLECTUAL PROPERTY RIGHTS which arise in connection with the performance of the OS, including without limitation ARISING IP. ChemPartner shall also obtain from each ChemPartner EMPLOYEE an undertaking from each ChemPartner EMPLOYEE to grant
to GSK and/or GSK AFFILIATES an irrevocable, worldwide, fully paid up exclusive licence to any such INTELLECTUAL PROPERTY RIGHTS that might nevertheless vest in ChemPartner EMPLOYEE despite the waiver in this section 14.19, to the extent required
for GSK and/or GSK AFFILIATES to fully and freely exploit ARISING IP. GSK reserves the right to request ChemPartner copies of the above mentioned waivers at any time. 

 

  

31 

	14.20	ChemPartner acknowledges that from time to time GSK will send GSK EMPLOYEES to work on the OS with ChemPartner at the SITE. For the avoidance of any doubt all
INTELLECTUAL PROPERTY RIGHTS which arise in connection with work undertaken by such GSK EMPLOYEES including all rights in INVENTIONS and ARISING IP shall immediately upon creation vest in GSK and that ChemPartner shall have no rights in the same.

  

	14.21	The PARTIES acknowledge that pursuant to the PRC Patent Law a “service invention creation made by a person in execution of the tasks of the entity to which he
belongs” includes any INVENTION made within one year of an employee inventor resigning from an employment, when the invention relates to the duties or tasks entrusted to him by the previous employer and that accordingly such INVENTIONS will
belong to the previous employer. ChemPartner shall require each ChemPartner EMPLOYEE who has been employed with ChemPartner for less than twelve (12) months to identify, prior to commencing the OS, the nature of the tasks, duties and work
entrusted to him by any previous employer. ChemPartner shall ensure that, for a period of twelve (12) months following the commencement of his or her employment with ChemPartner, no such ChemPartner EMPLOYEE works on any PROJECT which is
related to such prior duties, tasks or work, so as to avoid any potential conflict of ownership of ARISING IP. 

  

	15.	CONFIDENTIALITY 

  

	15.1	GSK INFORMATION shall be and remain, as between the PARTIES, the property of GSK and nothing in this AGREEMENT shall grant to ChemPartner any right, title or interest
in GSK INFORMATION, subject to any licences granted by GSK pursuant to Clause 14. No GSK INFORMATION, or any part thereof, may be assigned, leased or otherwise disposed of to THIRD PARTIES by ChemPartner or commercially exploited by or on behalf of
ChemPartner. 

  

	15.2	ChemPartner INFORMATION shall be and remain, as between the PARTIES, the property of ChemPartner and nothing in this AGREEMENT shall grant to GSK any right, title or
interest in ChemPartner INFORMATION, subject to any licences granted by ChemPartner pursuant to Clause 14. No ChemPartner Information, or any part thereof, may be assigned, leased or otherwise disposed of to THIRD PARTIES by GSK or commercially
exploited by or on behalf of GSK. 

  

	15.3	GSK (in respect of ChemPartner INFORMATION) and ChemPartner (in respect of GSK INFORMATION) shall each: 

 

	 	A)	keep confidential all such CONFIDENTIAL INFORMATION of the other PARTY (the “PROTECTED PARTY”) and shall not (except as expressly permitted by this AGREEMENT
or by the PROTECTED PARTY in writing) disclose such CONFIDENTIAL INFORMATION, make copies of material, media or software containing such CONFIDENTIAL INFORMATION or otherwise use such information except as permitted pursuant to this AGREEMENT;

  

  

32 

	 	B)	safeguard such CONFIDENTIAL INFORMATION and comply with any reasonable security requirements specified by the PROTECTED PARTY from time to time, including, where GSK is
the PROTECTED PARTY; 

  

	 	C)	implement rigorous security practices against any unauthorised copying, use, disclosure, access, alteration, damage, destruction or loss of such CONFIDENTIAL
INFORMATION; 

  

	 	D)	immediately notify the PROTECTED PARTY if it suspects or becomes aware of any unauthorised copying, use, disclosure, access, damage, destruction or loss in any form of
any of such CONFIDENTIAL INFORMATION; 

  

	 	E)	take all reasonable steps to enforce against any THIRD PARTY (and to assist the other PARTY to so enforce) any obligation of confidence imposed or required to be
imposed by this AGREEMENT; and 

  

	 	F)	do all things, execute all documents and give all assistance reasonably required by the PROTECTED PARTY to enforce any obligation of confidence imposed or required to
be imposed by this AGREEMENT. 

  

	15.4	Subject to Clauses 15.7 and 15.8, GSK (in respect of ChemPartner INFORMATION) and ChemPartner (in respect of GSK INFORMATION), as the case may be, may only use and copy
such information to the extent necessary: 

  

	 	A)	to comply with its obligations under this AGREEMENT; or 

  

	 	B)	to enable to exercise its rights under this AGREEMENT. 

  

	15.5	During the TERM, ChemPartner may disclose GSK INFORMATION to ChemPartner EMPLOYEES, ChemPartner’s professional advisers and other persons approved by GSK in
writing on a “need to know” basis. ChemPartner shall not disclose GSK INFORMATION to any PARTY other than those listed in this Clause unless and until ChemPartner: 

 

	 	A)	obtains GSK’s prior written consent; 

  

	 	B)	notifies GSK of all persons to whom GSK INFORMATION is to be disclosed or who may become aware of GSK INFORMATION before those persons are permitted access to GSK
INFORMATION; and 

  

	 	C)	arranges for any persons who are permitted access to GSK INFORMATION to give a written confidentiality undertaking directly to, or in favour of, GSK in a form
reasonably required by GSK (such undertakings to be made available to GSK on request). 

 ChemPartner shall procure
that ChemPartner EMPLOYEES, agents, sub-contractors and any ChemPartner’s professional advisers and other persons approved by GSK comply with the provisions of this Clause 14. 

 

	15.6	GSK may: 

  

	 	A)	use ChemPartner INFORMATION to receive and use the full benefit of the OS; 

 

	 	B)	disclose ChemPartner INFORMATION to GSK AFFILIATES, their respective GSK EMPLOYEES, agents and sub-contractors, and to professional advisers and other THIRD PARTIES
approved by ChemPartner in writing on a “need to know” basis, provided that GSK makes the recipient aware of GSK’s obligations under this Clause 14 and arranges for any persons who are permitted access to ChemPartner INFORMATION to
give a written confidentiality undertaking directly to, or in favour of, ChemPartner in a form reasonably required by ChemPartner (such undertakings to be made available to ChemPartner on request). 

 

  

33 

	15.7	Nothing in this AGREEMENT shall prohibit the use, copying or disclosure by GSK (in respect of ChemPartner INFORMATION) or ChemPartner (in respect of GSK INFORMATION),
as the case may be, to the extent that: 

  

	 	A)	such CONFIDENTIAL INFORMATION has been placed in the public domain other than through such PARTY’s fault or that of a person who was provided with the information
by such PARTY; 

  

	 	B)	such CONFIDENTIAL INFORMATION has been independently developed by such PARTY or its AFFILIATES without reference to the PROTECTED PARTY’S CONFIDENTIAL INFORMATION;

  

	 	C)	the other PARTY has approved in writing the particular use or disclosure of such CONFIDENTIAL INFORMATION; 

 

	 	D)	such CONFIDENTIAL INFORMATION is already known by such PARTY without an obligation of confidentiality; or 

 

	 	E)	such CONFIDENTIAL INFORMATION is independently or rightfully received from a THIRD PARTY without any obligation of confidence; or 

 

	 	F)	such disclosure is expressly required by law or otherwise by any relevant stock exchange or national or supranational governmental or REGULATORY authority or court
entitled by law to disclosure of the same, provided that such PARTY: 

  

	 	(i)	uses COMMERCIALLY REASONABLE EFFORTS to minimise any such disclosure or to assist the other PARTY to prevent or restrict the disclosure; 

 

	 	(ii)	gives the other PARTY prompt notice of such requirement to disclose to enable the other PARTY to seek an appropriate protective order; and 

 

	 	(iii)	uses COMMERCIALLY REASONABLE EFFORTS to require the recipient of such CONFIDENTIAL INFORMATION to preserve the confidential nature of such CONFIDENTIAL INFORMATION once
disclosed. 

  

	15.8	Each PARTY shall treat the negotiations and the terms of this AGREEMENT as CONFIDENTIAL INFORMATION and only use and disclose them in accordance with this Clause 15 and
Clause 37.7. 

  

	15.9	The obligations with respect to CONFIDENTIAL INFORMATION disclosed under this AGREEMENT shall survive termination or expiry of this AGREEMENT and continue for as long
as such information remains CONFIDENTIAL INFORMATION. 

  

	15.10	Upon GSK’s written request and, on termination or expiry of this AGREEMENT, ChemPartner shall promptly return all or any specified part of the GSK CONFIDENTIAL
INFORMATION and all physical and written records containing or relating to GSK INFORMATION. If requested by GSK, ChemPartner shall destroy or delete GSK INFORMATION in the manner specified by GSK and promptly certify to GSK in writing that it has
done so. 

  

  

34 

	15.11	Upon ChemPartner written request and, on termination or expiry of this AGREEMENT, GSK shall promptly return all or any specified part of ChemPartner CONFIDENTIAL
INFORMATIOIN and all physical and written records containing or relating to ChemPartner INFORMATION. If requested by ChemPartner, GSK shall destroy or delete the ChemPartner INFORMATION in the manner specified by ChemPartner and promptly certify to
ChemPartner in writing that it has done so, provided always that GSK shall not be required to return any part of ChemPartner INFORMATION which GSK, and/or the THIRD PARTY are licensed or otherwise permitted to use after the termination date pursuant
to this AGREEMENT. 

  

	15.12	The PARTIES acknowledge that the breach of this Clause 15 by a PARTY may cause the other PARTY irreparable injury for which it would not have an adequate remedy at law.
In the event of a breach, the non-breaching PARTY may be entitled to injunctive relief in addition to any other remedies it may have at law or in equity. 

  

	16.	PERSONAL DATA PROTECTION 

  

	16.1	ChemPartner represents and warrants that it will observe all applicable PERSONAL DATA protection and/or privacy requirements in the People’s Republic of China.

  

	16.2	In addition to the above, ChemPartner shall comply with the requirements of all legislation requested by GSK from time to time including, without limitation, the Data
Protection Act 1998 and the EU Data Protection Directive 95/46 (“Directive”). 

  

	16.3	To the extent that ChemPartner acts as the data processor of GSK (processing as defined in the Directive), ChemPartner shall: 

 

	 	A)	act only on GSK’s reasonable instructions or directions in respect of processing any personal data; and 

 

	 	B)	comply with the obligations in relation to the processing of PERSONAL DATA, as set out in Schedule 12. 

 

	 	C)	take and implement all such technical and organisational security procedures and measures as are necessary or appropriate to preserve the security and confidentiality
of PERSONAL DATA and to protect such PERSONAL DATA against unauthorised or unlawful processing, accidental loss, destruction or damage. 

  

	16.4	ChemPartner shall indemnify and hold GSK harmless for any damages or expense (including legal fees and costs) resulting from ChemPartner’s contravention or other
violation of any applicable PERSONAL DATA protection and/or privacy laws during the execution of this AGREEMENT. 

  

	17.	DISCLOSURE AND EXCHANGE OF INFORMATION 

  

	17.1	The PARTIES hereto agree that the success of the mutual collaboration is dependent in part on mutual trust and on a regular exchange of information between both
PARTIES. 

  

	17.2	For the purpose of this Clause, “INFORMATION” means all technical information, techniques, practices, methods, knowledge, skill, experience or test data which
is controlled by a PARTY and/or its AFFILIATE as of the EFFECTIVE DATE and at any time during this AGREEMENT and which may be useful or necessary for the provision of the OS and which includes (but is not limited), synthetic chemistry and
manufacturing techniques, DNA sequences, vectors, cells, substances, formulations, techniques, methodology, equipment, data, reports, including negative developments, pharmacological, toxicological, preclinical and clinical test data, regulatory
submission and documentation, analytical and quality control data, or description, compositions-of-matter, and ASSAYS, and/OR ADME/T related thereto. 

 

  

35 

	17.3	To this extent the PARTIES shall exchange regularly, depending on the progress made, experiences, information and all results in appropriate written or oral form,
preferably through the exchange of electronic files, taking into account the requirements for DATA management, as established in Section 3 of Schedule 11. 

 

	17.4	The exchange of INFORMATION relating to the PROJECT(s) and/or PROGRAMS(s) shall be made to the GSK DESIGNATED REPRESENTATIVE identified for each PROJECT(s) and/or
PROGRAM(s). 

  

	17.5	During the TERM of this AGREEMENT, each PARTY shall disclose and make available to the other PARTY without charge, any further INFORMATION known by such PARTY and
useful to the other PARTY for the purpose of conducting the OS under the AGREEMENT. The disclosure and the exchanges of INFORMATION hereunder shall be (i) made in English, (ii) undertaken in written form as soon as reasonably possible
after obtaining thereof. 

  

	17.6	Such disclosure shall be subject to the provisions of Clause 14 and Clause 15 and shall not give rise to any express or implied licenses, any GSK PATENT, INVENTION, or
any other INTELLECTUAL PROPERTY RIGHTS. 

  

	18.	GOVERNANCE 

  

	18.1	The overseeing of the execution of this AGREEMENT will be conducted by the following governance bodies (“BODIES”): 

 

	 	A)	Scientific Operations Teams (“SOT(s)”). 

  

	 	B)	OS Management Boards (“OSMB(s)”) 

  

	 	C)	Global Strategy and Relationship Management Board (“GSRMB”) 

  

	 	I.	CORE 

  

	 	II.	EXTENDED 

  

	 	D)	JOINT RESEARCH COMMITTEE(s) (“JRC(s)”) 

The role, composition, responsibilities and frequency of meetings of each of the above BODIES is set out in Schedule 5. 

The PARTIES shall each bear all expenses, including reasonable travel, related to the participation of their designated members in the
BODIES respectively. 
  

	18.2	LIASON LEADs 

  

	18.2.1	Promptly after the EFFECTIVE DATE, each PARTY shall appoint an individual to act as the LIASON LEAD for such PARTY in the execution and performance of this AGREEMENT.
Each PARTY shall communicate the other PARTY the name and contact details of their respective LIASON LEAD upon the signature of this AGREEMENT. 

ChemPartner shall not change ChemPartner’s LIASON LEAD without first obtaining GSK’s written consent to any proposed
replacement. 
  

  

36 

	18.2.2	The LIASON LEAD shall be the primary point of contact for the PARTIES regarding the collaboration activities contemplated under this AGREEMENT and shall facilitate all
such activities hereunder including, but not limited to, coordinate and facilitate the exchange of information described in Section 17. The LIASON LEADs shall also be responsible for chairing and assisting the Global Strategic Relationship
Board (“GSRB”) and the Outsourced Services Management Board (“OSMB”) in performing its oversight responsibilities and coordinating the activities of the Scientific Operations Teams (“SOT(s)”). 

 

	18.2.3	Each LIASON LEAD shall thereafter be permitted to attend meetings of the BODIES. 

 

	18.2.4	The LIASON LEADs shall have full authority to represent the PARTIES in relation to the performance of the OS under this AGREEMENT and all requests and instructions
provided by the LIASON LEADs shall be deemed to be requests and instructions from the PARTIES. 

  

	18.2.5	The ChemPartner LIASON LEAD shall liaise with GSK LIASON LEAD on a day-to-day basis and shall be accessible to GSK LIASON LEAD by telephone during non-WORKING HOURS,
weekends and public holidays. 

  

	19.	RECORD KEEPING, RECORD RETENTION AND DATA RECORDING 

  

	19.1	Record keeping and record retention 

  

	19.1.1	ChemPartner shall keep complete and systematic DATA related to the OS performed and any other records generated as a part of this AGREEMENT for a minimum period or one
(1) year, unless otherwise provided in Schedule 13, or agreed by the PARTIES, or as required by applicable local regulation. Such DATA shall include any operational documentation pertaining to ChemPartner’s performance under this
AGREEMENT, including records relevant to any costs or expenses incurred by ChemPartner on behalf of GSK, any financial records, procedures (including records for compliance with legal requirements, in particular Sarbanes-Oxley Act).

  

	19.1.2	ChemPartner shall preserve all such DATA (maintained in electronic and hardcopy format) in accordance with the records retention period(s) of one (1) year, or as
specified in Schedule 13, or as agreed by the PARTIES, or as required by applicable local regulation; provided, however, that ChemPartner shall preserve any DATA not identified in Schedule 13 for the greater of (a) three
(3) years, or (b) the period agreed upon in writing by the PARTIES. 

  

	19.1.3	During the TERM of this AGREEMENT and, thereafter, in accordance with any applicable records retention period(s) identified, GSK shall have the right to inspect, copy
and audit such DATA during ChemPartner regular WORKING HOURS with reasonable prior written notice to ChemPartner. ChemPartner shall fully cooperate in any such inspection or audit of its DATA at no additional cost to GSK. 

 

	19.1.4	At the end of the applicable DATA retention period, ChemPartner shall, at GSK’s election, either deliver to GSK the relevant DATA, documents and/or other
information within its possession or control at that time, or destroy the same in accordance with GSK’s directions and, if requested by GSK, certify to GSK in writing that it has done so. 

 

	19.1.5	Notwithstanding the foregoing, in the event GSK notifies ChemPartner of a litigation matter requiring preservation of certain records, ChemPartner shall suspend the
destruction of such DATA as directed by GSK or any governmental body. Before destroying or otherwise disposing of such DATA, ChemPartner shall provide GSK with sixty (60) days’ prior notice and offer GSK the opportunity to recover such
DATA or to request ChemPartner to deliver such information to GSK. GSK shall reimburse ChemPartner for its out-of-pocket expenses incurred as a result of the return of such information. 

 

  

37 

	19.2	DATA integrity and DATA recording 

  

	19.2.1	ChemPartner shall comply with all requirements and specifications regarding DATA integrity and DATA recording as described in Schedule 14. 

 

	19.2.2	ChemPartner EMPLOYEES shall not create copies of any DATA or any information produced for and/or produced throughout the provision of the OS onto removable media such
as, but not limited to: 

  

	 	•	 	 Print-outs of DATA (unless specifically required by the business process) 

 

	 	•	 	 Floppy discs 

  

	 	•	 	 Write-able CD-ROM 

  

	 	•	 	 Write-able DVD 

  

	 	•	 	 Flash Memory devices – the use of these devices is strictly forbidden 

 

	 	•	 	 PDA devices 

  

	 	•	 	 PCs and Laptops 

  

	19.2.3	The PARTIES shall agree on a PROJECT by PROJECT (by means of a relevant SOW) and/or PROGRAM by PROGRAM (by means of a relevant RESEARCH AGREEMENT) basis on the number
of paper laboratory notebooks (pLNBs) and the number of eLNB accounts that are required for each PROJECT and/or PROGRAM. 

  

	19.2.4	eLNBs accounts may only be used by ChemPartner EMPLOYEES working in a PROJECT and/or PROGRAM. Each eLNB account is assigned on an individual basis. Personal user ID and
passwords assigned to one ChemPartner EMPLOYEE cannot be shared or given to other ChemPartner EMPLOYEES working in the PROJECT and/or PROGRAM. 

  

	19.2.5	ChemPartner shall return all pLNBs to GSK: 

  

	 	A)	upon completion of the pLNBs. ChemPartner shall have one (1) month from completion to return the pLNBs. to GSK; or 

 

	 	B)	upon completion of the period established in the SOW and/or RESEARCH AGREEMENT(s). 

 

	19.2.6	All pLNB and eLNB entries shall comply with the requirements and processes set out in Schedule 14 and any applicable GSK POLICIES AND PROCEDURES.

  

	20.	AUDIT 

  

	20.1	During the TERM and for a period of six (6) years following the date of termination of the AGREEMENT, GSK shall have the right at all reasonable times and on
reasonable notice to have access to ChemPartner’s SITE and ChemPartner’S EMPLOYEES during WORKING HOURS in order to: 

  

	 	A)	AUDIT and inspect the GSK DESIGNATED SPACE and any other part of the SITE where the OS are conducted; not withstanding the foregoing, GSK may not AUDIT and inspect the
aforesaid places if such places are not under control of ChemPartner or are used to perform services for other client after termination of the AGREEMENT; 

  

	 	B)	AUDIT and inspect all DATA, records and procedures of ChemPartner which relate to the provision of the OS; and 

 

	 	C)	AUDIT and inspect compliance with the requirements of this AGREEMENT. 

 

  

38 

	20.2	As part of the AUDIT process GSK shall, at its cost, have the right to copy DATA, records and information relevant to the provision of the OS. In particular, GSK shall
have the right under this provision to 

  

	 	A)	have access to the ChemPartner’s SITE; ChemPartner’S EMPLOYEES; pLNB; eLNBs and related DATA; and 

 

	 	B)	conduct an inspection of relevant entries in pLNBs and eLNBs and the related DATA for the purposes of preparing and reviewing patent specifications which incorporate
content derived from pLNBs and eLNBs and the related DATA; and 

  

	 	C)	inspect the IT INFRASTRUCTURE SYSTEM, as described in Section 5.3 of Schedule 11. 

 

	20.3	ChemPartner shall fully co-operate, and shall ensure that ChemPartner’S EMPLOYEES shall, fully co-operate, with GSK in relation to any AUDIT.

  

	20.4	ChemPartner shall co-operate with GSK in dealing with AUDITS conducted by REGULATORS, by: 

 

	 	A)	notifying GSK as soon as practicable of any such AUDIT; 

  

	 	B)	at GSK’s request, submitting to the jurisdiction of the REGULATORS and enabling REGULATORS to perform an AUDIT of ChemPartner’s activities and providing all
cooperation requested in connection therewith; 

  

	 	C)	permitting GSK or its representatives to be present and to participate in such AUDITS; 

 

	 	D)	providing GSK with copies of any reports or written communications with such REGULATORS; and 

 

	 	E)	liaising with the G S K LIASON LEAD in respect of responses to such REGULATORS’ communications. 

 

	20.5	ChemPartner shall conduct AUDITs of, or pertaining to, the OS in a manner consistent with auditing best practices. ChemPartner shall ensure a security AUDIT is carried
out by an independent THIRD PARTY if requested by GSK from time to time. The appointment of the THIRD PARTY appointed to carry out such AUDIT shall be subject to prior approval by GSK. GSK shall reimburse ChemPartner for the reasonable costs
associated with any such security AUDIT. 

  

	20.6	ChemPartner shall promptly make available to GSK the results of any AUDIT conducted by ChemPartner or ChemPartner sub-contractor relating to the OS and this AGREEMENT.

  

	20.7	The results of the AUDIT shall be reviewed by the respective Outsourced Services Management Board (“OSMB”), who will be responsible for taking and
implementing the necessary corrective actions, and coordinating any response. 

  

	20.8	If, as a result of an AUDIT by GSK, ChemPartner is notified that it is not in compliance with any provision of this AGREEMENT, ChemPartner shall, at its own expense and
within the period of time specified by the OSMB bring the OS into compliance. 

  

  

39 

	20.9	If an AUDIT reveals that ChemPartner has overcharged GSK for the OS, GSK shall notify ChemPartner of the amount of such overcharge and ChemPartner shall promptly pay to
GSK the amount of the overcharge. In addition, ChemPartner will be requested to pay interest at the rate of * per month above LIBOR, calculated from the date ChemPartner received the overcharged amount until the date that GSK receives
repayment. 

  

	20.10	In the event that an AUDIT reveals an overcharge to GSK by the ChemPartner of * or more of the monthly FEES, ChemPartner shall reimburse GSK for the cost of such AUDIT,
in addition to the repayment of the amount overcharged together with interest in accordance with Clause 20.9. In all other circumstances, the costs of the AUDIT incurred by GSK shall be borne by GSK. 

 

	21.	INFORMATION TECHNOLOGY INFRASTRUCTURE SYSTEM 

  

	21.1	A detailed description of the IT INFRASTRUCTURE SYSTEM that the PARTIES will use during the TERM of this AGREEMENT is attached as Schedule 11.

  

	21.2	The IT INFRASTRUCTURE SYSTEM includes, without limitation the IT EQUIPMENT provided by GSK. The IT EQUIPMENT is property of GSK and consequently shall be tagged and
properly identified as such in all related documentation. ChemPartner shall take custody of the IT INFRASTRUCTURE SYSTEM and keep it free from theft, loss and damage. 

 

	21.3	In performing the OS ChemPartner shall not use any other information technology or computer system and shall ensure that all information and DATA generated in the
performance of the OS is entered onto the IT INFRASTRUCTURE SYSTEM without delay. ChemPartner shall ensure that the IT INFRASTRUCTURE SYSTEM remains at all times connected to a secure communications link accessible exclusively by GSK. Except as
expressly set out in this AGREEMENT, ChemPartner warrants that the server used in the provision of the OS is intended for the exclusive use of GSK and ChemPartner shall be responsible for its care and maintenance. ChemPartner shall inform GSK in
writing of any failure, malfunctioning, disruption, technical problem, or security breach that the IT INFRASTRUCTURE SYSTEM experiences within twenty four (24) hours from the failure, malfunctioning, disruption, technical problem, or security
breach. 

  

	21.4	ChemPartner shall restrict access to the IT INFRASTRUCTURE SYSTEM to only those ChemPartner EMPLOYEES who require such access in order to perform the OS. GSK at all
times shall provide instructions to ChemPartner regarding the access level to the IT INFRASTRUCTURE SYSTEM. ChemPartner shall implement GSK instructions within twenty four (24) hours upon receipt of written request from GSK.

  

	21.5	If required, GSK shall provide ChemPartner with the necessary SOFTWARE and instructions in order to set up and running of the IT INFRASTRUCTURE SYSTEM.

  

	21.6	GSK shall retain all right, title and interest in and to SOFTWARE supplied by GSK, including all INTELLECTUAL PROPERTY RIGHTS therein. 

 

	21.7	ChemPartner shall comply with the access and maintenance to SOFTWARE rules established under Section 1.3 (b) of Schedule 11. 

 

	21.8	ChemPartner shall use SOFTWARE only to the extent necessary for and for the sole purpose of performing its obligations under this AGREEMENT. ChemPartner shall cease in
the use of the SOFTWARE upon termination or expiry of this AGREEMENT and/or PROJECT and/or PROGRAM. 

  

	*	Indicates where text has been omitted pursuant to a request for confidential treatment under Rule 406 of the Securities Act of 1933, as amended. The omitted materials
have been filed separately with the Securities and Exchange Commission. 

  

  

40 

	21.9	ChemPartner shall not use or modify any SOFTWARE used in the IT INFRASTRUCTURE SYSTEM without obtaining GSK’s prior written consent, and such use or modifications
shall at all times be in compliance with Schedule 11 and any applicable GSK POLICIES AND PROCEDURES. 

  

	21.10	ChemPartner shall ensure that the IT INFRASTRUCTURE SYSTEM is maintained in accordance with the technology plans and instructions provided at all times by GSK, and in
accordance with all provisions of Schedule 11. ChemPartner shall promptly report to the GSK IT LIASON any enquiries regarding compliance with Schedule 11. 

 

	21.11	Any CHANGE to any IT EQUIPMENT or SOFTWARE shall be authorized by GSK in accordance with Clause 7 and Section 4 of Schedule 11. 

 

	21.12	Any purchase of additional IT EQUIPMENT or SOFTWARE that is required for the provision of the OS must be agreed in writing by the PARTIES. 

 

	21.13	GSK warrants that any SOFTWARE: 

  

	 	A)	supplied by GSK shall have first been screened by a commercially available virus checker; 

 

	 	B)	will comply and function substantially in accordance with their related user documentation. 

 

	21.14	ChemPartner shall not install, post, upload, share, store, transmit or make otherwise available to or from the IT INFRASTRUCTURE SYSTEM any materials or content:

  

	 	A)	that threatens, or deprives GSK of, the continued uninterrupted availability and normal operation of the IT INFRASTRUCTURE SYSTEM; 

 

	 	B)	that is, threatening, abusive, libellous, defamatory, abusive, obscene, vulgar, pornographic, profane, offensive, liable to incite racial hatred, discriminatory,
menacing, scandalous, inflammatory, blasphemous, in breach of confidence, in breach of privacy or which may cause annoyance or inconvenience; or 

  

	 	C)	for which ChemPartner has not obtained all necessary licenses or approvals from THIRD PARTIES; or 

 

	 	D)	which constitutes or encourages conduct that would otherwise be considered a criminal offence, give rise to liability, or otherwise be contrary to the law of or
infringe the rights of any THIRD PARTY; or 

  

	 	E)	which is technically harmful or disruptive (including, without limitation, computer viruses, logic bombs, Trojan horses, worms, data mining, corrupted data or other
malicious software or harmful data) to the functionality of this IT INFRASTRUCTURE SYSTEM. 

  

	21.15	GSK will provide ChemPartner with the security requirements and specifications required to be implemented in order to secure and protect the IT INFRASTRUCTURE SYSTEM.
ChemPartner will provide GSK written notice of any material changes in accordance to Section 4 of Schedule 11. 

  

  

41 

	21.16	All DATA shall, at all time, be stored and maintained according to Schedule 11 at the ChemPartner server intended for the exclusive use of GSK. ChemPartner
understands and acknowledges that it has no right to use or access the DATA other than for the provision of the OS as established in this AGREEMENT. 

  

	22.	EMPLOYEES 

  

	22.1	ChemPartner EMPLOYEES requirements 

  

	22.1.1	ChemPartner shall only use ChemPartner EMPLOYEES for the provision of the OS in accordance with the numbers and ratios agreed in Section 22.2 a) and 22.2 b), or as
agreed by the PARTIES from time to time in a SOW and/or RESEARCH AGREEMENT. 

 ChemPartner shall not use temporary
ChemPartner EMPLOYEES for the provision of the OS. Only FULL TIME ChemPartner EMPLOYEES shall be able to work in GSK PROJECTS and/or PROGRAMS, unless approved in writing by the GSK LIASON LEAD. 

ChemPartner shall use COMMERCIALLY REASONABLE EFFORTS to increase or decrease the ChemPartner EMPLOYEES providing the OS as appropriate on
a PROJECT by PROJECT basis and/or a PROGRAM by PROGRAM basis and in accordance with Clause 5.2.1, 5.2.2 and 5.2.3. 
  

	22.1.2	ChemPartner will not locate any ChemPartner EMPLOYEES outside the GSK DESIGNATED SPACE without obtaining the prior written consent of GSK. 

 

	22.1.3	ChemPartner shall ensure that ChemPartner EMPLOYEES are properly qualified, competent and experienced to carry out the OS which they are engaged by ChemPartner to
perform, as required in each SOW and/or RESEARCH AGREEMENT. 

  

	22.1.4	ChemPartner shall ensure that ChemPartner EMPLOYEES engaged in the provision of the OS: 

 

	 	A)	are familiar with the terms and conditions set out in this AGREEMENT, respective SOW and/or RESEARCH AGREEMENT; and 

 

	 	B)	are aware of the PERFORMANCE MEASUREMENTS; and 

  

	 	C)	are aware of the DATA integrity and DATA recording requirements, as described in Schedule 14; and 

 

	 	D)	provide the OS in compliance with the GSK POLICIES AND PROCEDURES; and 

  

	 	E)	are capable of meeting the requirements of the OS assigned to them in a professional and timely manner; and 

 

	 	F)	have a written and oral working knowledge of the English language; and 

  

	 	G)	have the required academic qualification, as established in Clause 22.2 (b), or as agreed by the PARTIES; and 

 

	 	H)	are fully briefed and trained in respect of the obligations of ChemPartner with respect to INTELLECTUAL PROPERTY RIGHTS as set out in Clause 14 and with respect to
CONFIDENTIAL INFORMATION, as described in Clause 15; and 

  

  

42 

	22.2	ChemPartner EMPLOYEE qualifications: 

  

	 	A)	ChemPartner shall ensure that * ChemPartner EMPLOYEE is dedicated FULL TIME to each SOW and/or RESEARCH AGREEMENT at all times, or as agreed by GSK.

  

	 	B)	ChemPartner shall at all times maintain a minimum ratio of * ChemPartner EMPLOYEES, unless otherwise agreed in writing with GSK in the respective SOW and/or RESEARCH
AGREEMENT. 

  

	 	C)	ChemPartner shall ensure that all ChemPartner EMPLOYEES assigned to a PROJECT(s) and/or PROGRAM(s) have a working knowledge of written and oral English language.

  

	 	D)	Before assigning a ChemPartner EMPLOYEE to a PROJECT and/or PROGRAM, ChemPartner shall: 

 

	 	(i)	notify GSK of the proposed assignment and provide the appropriate GSK DESIGNATED REPRESENTATIVE with the Curriculum Vitae of the potential ChemPartner EMPLOYEE;

  

	 	(ii)	introduce the individual to the appropriate GSK DESIGNATED REPRESENTATIVE (and, upon request, provide such representatives with the opportunity to meet with the
individual); and 

  

	 	(iii)	provide GSK with such additional information as GSK may request about the individual’s training, experience and skills relevant to the requirements of the position
and follow up on any references that GSK may require. 

  

	 	E)	Should GSK object to the assignment of a proposed individual to a PROJECT and/or a PROGRAM, ChemPartner shall not assign said individual to such PROJECT and/or PROGRAM
and shall propose to GSK the assignment of another individual who may meet the training, experience and skills required for that position. 

  

	22.3	ChemPartner EMPLOYEES Attrition Rate 

  

	22.3.1	The attrition or turnover rate of ChemPartner EMPLOYEES shall be less than *, calculated on an * basis across the execution of all SOWs and/or RESEARCH AGREEMENTS. In
addition, where SOW, RESEARCH AGREEMENT, and/or GSK BUSINESS UNIT collaborations are for less then * ChemPartner EMPLOYEES, ChemPartner shall also ensure that the attrition or turnover rate for each SOW, RESEARCH AGREEMENT and/or GSK BUSINESS UNIT
shall be less than* over a * period. 

 ChemPartner will provide the GSK LIASON LEAD with an update report on
ChemPartner’s EMPLOYEES attrition rate per GSK BUSINESS UNIT on a monthly basis, including the previous five months attrition rate information. In addition, ChemPartner shall provide the GSK LIASON LEAD with an annual report detailing the
attrition rate per SOW, RESEARCH AGREEMENT and/or GSK BUSINESS UNIT. 
  

	*	Indicates where text has been omitted pursuant to a request for confidential treatment under Rule 406 of the Securities Act of 1933, as amended. The omitted materials
have been filed separately with the Securities and Exchange Commission. 

  

  

43 

	22.3.2	Should the attrition or turnover of ChemPartner EMPLOYEES (i) be * or more across the execution of all SOWs and/or RESEARCH AGREEMENTS, and/or (ii) be * or
more over a * period for any SOW, RESEARCH AGREEMENT and/or GSK BUSINESS UNIT with less than * ChemPartner EMPLOYEES, ChemPartner will be in a SERVICE PROBLEM scenario, as described in Clause 10.1.1 (h). 

 

	22.3.3	This Clause 22.3 shall not apply when a ChemPartner EMPLOYEE: 

  

	 	A)	is unable to work if the ChemPartner EMPLOYEE is medically unable to do so for a period exceeding fifteen (15) WORKING DAYS; or 

 

	 	B)	pursues further education; or 

  

	 	C)	is on maternity/paternity leave, or 

  

	 	D)	is dismissed by ChemPartner due to poor performance, as agreed by GSK. 

  

	 	E)	upon GSK’s request, internal transfer of ChemPartner EMPLOYEES between a GSK PROJECT(s) and/or a GSK PROGRAM(s) 

 

	 	F)	GSK otherwise agrees. Such agreement will not to be unreasonably withheld. 

 

	22.4	Training, Supervision and Management of ChemPartner EMPLOYEES 

  

	 	A)	ChemPartner shall ensure that all ChemPartner EMPLOYEES complete trainings/courses that GSK may required from time to time. 

 

	 	B)	ChemPartner shall maintain accurate and up to date training records for each ChemPartner EMPLOYEE and such records shall be available for inspection by GSK.

  

	 	C)	ChemPartner shall be responsible for the supervision of the ChemPartner EMPLOYEES. 

 

	 	D)	ChemPartner shall manage and take full responsibility for all industrial relations in relation to the ChemPartner EMPLOYEES. 

 

	 	E)	ChemPartner shall use COMMERCIALLY REASONABLE EFFORTS to ensure that the ChemPartner EMPLOYEES do not: 

 

	 	(i)	behave in a non-business like or unprofessional manner; or 

  

	 	(ii)	harass or discriminate against other ChemPartner EMPLOYEES or GSK EMPLOYEES, agents or sub-contractors. 

 

	22.5	Withdrawal and Replacement of ChemPartner EMPLOYEES 

  

	22.5.1	If GSK believes that any ChemPartner EMPLOYEE is (i) a threat to health and safety according to GSK POLICIES AND PROCEDURES and applicable International standards;
or (ii) a threat to the security of GSK’s DATA or property; or (iii) in breach of this AGREEMENT (in particular Clause 22.1.4 (f), 22.1.4 (g), 22.1.4 (h)); or (iv) in breach of the GSK POLICIES AND PROCEDURES; (v) or in
breach of any THIRD PARTY policy or procedure which was previously notified to ChemPartner, at GSK discretion, GSK will request ChemPartner to remove said ChemPartner EMPLOYEE from the provision of the OS forthwith within twenty four (24) hours
from the notice. 

  

	*	Indicates where text has been omitted pursuant to a request for confidential treatment under Rule 406 of the Securities Act of 1933, as amended. The omitted materials
have been filed separately with the Securities and Exchange Commission. 

  

  

44 

	22.5.2	GSK shall be entitled to move the ChemPartner EMPLOYEES between PROJECT(s) and/or PROGRAM(s) on giving prior written notification to the ChemPartner DESIGNATED
REPRESENTATIVE and the ChemPartner LIASON LEAD. 

  

	22.5.3	ChemPartner shall use COMMERCIALLY REASONABLE EFFORTS to ensure that any ChemPartner EMPLOYEES, who for any reason intend to cease performing the OS, provide a
comprehensive and effective handover to the relevant replacement ChemPartner EMPLOYEES. ChemPartner will inform in writing the respective GSK BUSINESS UNIT member of the SOT and the GSK LIASON LEAD of the causes of the cease of the ChemPartner
EMPLOYEE, as described in Section 22.5.5 below. 

  

	 	A)	ChemPartner shall be entitled to move the ChemPartner EMPLOYEES between PROJECT(s) and/or PROGRAM(s) on giving prior written notification to the GSK LIASON LEAD. The
GSK LIASON LEAD (after prior discussion with the relevant GOVERNANCE BODIES) may approve or reject ChemPartner’s proposal within fifteen (15) WORKING DAYS from the notification. 

 

	 	B)	ChemPartner shall not, at any time during the TERM or for * thereafter transfer any of the ChemPartner EMPLOYEES to work in the provision of pharmaceutical research and
development services which compete directly with the PROJECT(s) and/or PROGRAM(s) without first obtaining the prior written consent of GSK. GSK shall be entitled in its sole discretion to refuse to give such consent or to attach conditions to its
consent. 

  

	22.5.4	In the event any ChemPartner EMPLOYEE needs to be replaced for any reason, ChemPartner shall: 

 

	 	A)	be responsible for replacing such ChemPartner EMPLOYEE with a suitable individual, who meets the requirements, as described in Section 22.1 and 22.2; and

  

	 	B)	obtain GSK’s written consent to replace such ChemPartner EMPLOYEE, such consent not to be unreasonably delayed. 

 

	22.5.5	As soon as ChemPartner becomes aware of a ChemPartner EMPLOYEE leaving, ChemPartner shall notify in writing to the GSK LIASON LEAD and respective GSK DESIGNATED
REPRESENTATIVE of the PROJECT and/or PROGRAM (i) the reasons for the ChemPartner EMPLOYEE leaving ChemPartner, (ii) his/her contact details (including but not limited to ID number and personal email address), if ChemPartner obtains such
ChemPartner EMPLOYEE’S prior consent, and (iii) if possible indicate whether the ChemPartner EMPLOYEE has been recruited by a ChemPartner competitor. 

In addition to the above, ChemPartner shall present to GSK a transitional plan that will be implemented during the ChemPartner EMPLOYEE
replacement, in accordance with Clause 32.2. 
  

	*	Indicates where text has been omitted pursuant to a request for confidential treatment under Rule 406 of the Securities Act of 1933, as amended. The omitted materials
have been filed separately with the Securities and Exchange Commission. 

  

  

45 

	22.6	Retaining ChemPartner EMPLOYEES 

  

	 	A)	ChemPartner shall ensure that the ChemPartner EMPLOYEES positions are filled at all times. 

 

	 	B)	ChemPartner shall use COMMERCIALLY REASONABLE EFFORTS to further ensure that: 

 

	 	(i)	each of the ChemPartner EMPLOYEES devotes their FULL TIME and effort to supplying the OS for a PROJECT(s) and/or a PROGRAM(s); 

 

	 	(ii)	each of the ChemPartner EMPLOYEES is offered terms and conditions of employment which are competitive with those offered elsewhere in the market for such ChemPartner
EMPLOYEES. 

  

	22.7	Pre screening and vetting of ChemPartner EMPLOYEES 

  

	 	A)	ChemPartner warrants that, as and from the EFFECTIVE DATE, it shall comply with the pre employment screening procedure in respect of each ChemPartner EMPLOYEE and shall
also comply with such pre employment screening procedure in respect of each proposed additional or replacement of ChemPartner EMPLOYEES, as described in Schedule 16. 

 

	 	B)	ChemPartner warrants that all information provided to GSK in respect of ChemPartner EMPLOYEES shall be accurate and shall be kept up to date throughout the TERM of this
AGREEMENT. 

  

	 	C)	GSK shall be entitled upon request to examine all documentation relating to the vetting procedures and/or evidencing implementation of the relevant vetting procedures
by ChemPartner. 

  

	22.8	SITE Security Access 

  

	 	A)	ChemPartner will ensure that all ChemPartner EMPLOYEES comply with the security procedures detailed in Clause 11. 

 

	 	B)	ChemPartner shall ensure that no item of GSK’s property leaves the GSK DESIGNATED SPACE at any time without the prior written approval from the GSK DESIGNATED
REPRESENTATIVE. 

  

	 	C)	ChemPartner shall ensure that no ChemPartner EMPLOYEES shall at any time use any cameras, mobiles with photograph cameras, or sound recording equipment into areas of
the GSK DESIGNATED SPACE or any other parts of the SITE where a ChemPartner EMPLOYEE is working on a PROJECTS and/or a PROGRAM(s). 

  

	 	D)	GSK shall be entitled to require ChemPartner to refuse to admit, or withdraw access authorisation as described in Section 22.5.1 to the GSK DESIGNATED SPACE to any
ChemPartner EMPLOYEE who, in the reasonable opinion of GSK, breached any of the provisions of this AGREEMENT, respective SOW and/or RESEARCH AGREEMENT, GSK POLICIES AND PROCEDURES or any applicable laws. 

 

	22.9	Health & Safety 

  

	 	A)	ChemPartner shall ensure that at all time, there is at the GSK DESIGNATED SPACE a ChemPartner designated person who is suitably qualified in first aid.

  

  

46 

	 	B)	ChemPartner undertakes to carry out a formal risk assessment of all aspects of the OS for health and safety purposes and to carry out all testing, examination and other
work necessary to minimise and, so far as reasonably practical, eliminate any risk to health or safety resulting from the performance of the OS or other things in connection therein. 

 

	 	C)	In the event that a health or safety risk has arisen or is likely to arise at the GSK DESIGNATED SPACE, ChemPartner shall notify GSK promptly in writing within five
(5) WORKING DAYS and provide GSK with adequate information relating to such risk including any safeguards which ChemPartner proposes to observe in order to ensure that the OS are performed safely. 

 

	 	D)	ChemPartner shall ensure that the OS are performed in a manner which minimises the risk of fire and that all the ChemPartner EMPLOYEES are suitably trained in safety
procedures relevant to the GSK DESIGNATED SPACE and are aware of fire alarms and fire escape plans, in compliance with Schedule 15. 

  

	22.10	GSK EMPLOYEES 

  

	22.10.1	The PARTIES have agreed that GSK could co-locate one or more GSK EMPLOYEE to oversee a PROJECT(s) and/or a PROGRAM(s) to be conducted at the GSK DESIGNATED SPACE for a
period of time agreed by the PARTIES. 

  

	22.10.2	GSK will remain the employer of the GSK EMPLOYEES, and all costs relating to the GSK EMPLOYEES shall be borne by GSK, throughout the duration of the co-location. GSK
reserves the right to substitute an existing GSK EMPLOYEE for another GSK EMPLOYEE at any time. GSK reserves the right to select the GSK EMPLOYEE and cannot guarantee which GSK EMPLOYEE will be selected or the amount of time that the GSK EMPLOYEE
will be co-located at the ChemPartner’s SITE. 

  

	22.10.3	If any GSK EMPLOYEE is (i) a threat to health and safety to any ChemPartner EMPLOYEES; or (ii) a threat to the security of ChemPartner’s data or
property, (iii) or in breach of any ChemPartner’s policy or procedure which was previously notified to GSK and to the GSK EMPLOYEES, at ChemPartner discretion, ChemPartner could request GSK to replace the said GSK EMPLOYEE within five days
from the notice. GSK shall be responsible for any losses or damages caused by a GSK EMPLOYEES as the result of breach of this Section, to ChemPartner or ChemPartner EMPLOYEES during the co-location. 

 

	22.10.4	In the period during which a GSK EMPLOYEE is co-located at the ChemPartner’s SITE, ChemPartner will provide that GSK EMPLOYEE with: 

 

	 	A)	a secure office at the GSK DESIGNATED SPACE and the requisite installation, maintenance and upgrades of secure data transmission lines between GSK EMPLOYEE office and
GSK. ChemPartner will provide a description and floor map of the secure office space at GSK request; and 

  

	 	B)	experimental laboratory space, equipment and requisite access to analytical facilities to ensure collaborative and/or independent experimentation under the terms and
conditions of the AGREEMENT, as detailed in Appendix 2. 

  

	 	C)	any other items or necessary space that may be required by the GSK EMPLOYEE to perform his activities. 

 

  

47 

	22.10.5	GSK EMPLOYEE shall be bound by: 

  

	 	A)	the terms and conditions of the confidentiality agreement entered by and between GSK and ChemPartner on 23rd December, 2009, hereto attached as Appendix 3.

  

	 	B)	a Visitor Agreement signed between ChemPartner and the GSK EMPLOYEE in the format, hereto attached as Appendix 4. 

 

	22.11	EMPLOYMENT REGULATIONS 

  

	22.11.1	Notwithstanding anything contained herein, neither of the PARTIES have contemplated the transfer of any GSK EMPLOYEE, GSK agents, sub-contractor, or consultants
(“AFFECTED PERSONS”) to ChemPartner on the EFFECTIVE DATE, or at any time thereafter, whether by application of the ACQUIRED RIGHTS DIRECTIVE (or its implementing legislation in any country) or any other applicable regulation.

  

	22.11.2	Further, notwithstanding anything contained herein, the PARTIES do not intend that the expiry or termination of this AGREEMENT shall operate to transfer the employment
of any of the ChemPartner EMPLOYEES or the liabilities associated with their employment to GSK or any THIRD PARTY. In the event that this AGREEMENT is terminate or expires, ChemPartner shall remain responsible for managing the ChemPartner
EMPLOYEES’ continuing employment in accordance with its own internal practices or procedures. This may include, without limitation, re-deploying the ChemPartner EMPLOYEES within its existing business, or making the ChemPartner EMPLOYEES
redundant at its own cost, in either case prior to the date on which the AGREEMENT terminates or expires. 

  

	22.11.3	If the contract of employment of any AFFECTED PERSON is found or alleged to have effect after the EFFECTIVE DATE, or any subsequent date on which a transfer is alleged
to take place, as if originally made with ChemPartner, Clause 22.11.4 will apply. 

  

	22.11.4	GSK will, within fourteen (14) days of being so requested by ChemPartner, make to that person an offer in writing to employ him under a new contract of employment,
to take effect immediately upon termination of his employment by ChemPartner. The contract of employment so offered will be identical in all respects to that person’s contract of employment immediately before the EFFECTIVE DATE, or subsequent
date on which a transfer is alleged to take place. Any such request shall be made by ChemPartner within fourteen (14) days of its becoming aware of the finding or allegation. Once that offer of employment has been made (or after expiry of
fourteen (14) days after it has been requested by ChemPartner), ChemPartner may terminate the employment of the person concerned and GSK will indemnify ChemPartner against any and all EMPLOYMENT LIABILITIES incurred by ChemPartner which arise
out of or in connection with the employment of any AFFECTED PERSON whose employment, or claims arising out of their employment or its termination, transfer to ChemPartner whether pursuant to the ACQUIRED RIGHTS DIRECTIVE (or its implementing
legislation in any country) or any applicable regulation, or who claim that their employment or such claims so transfer; and/or as a result of any breach of the obligations to inform and/or consult with the AFFECTED PERSONS.

  

	22.11.5	If the contract of employment of any ChemPartner EMPLOYEE is found or alleged to have effect after the expiry or termination of this AGREEMENT as if originally made
with GSK or any THIRD PARTY the provisions of Clause 22.11.6 will apply. 

  

  

48 

	22.11.6	ChemPartner will, within fourteen (14) days of being so requested by GSK, make to that person an offer in writing to employ him under a new contract of employment,
to take effect immediately upon termination of his employment by GSK or a THIRD PARTY as referred to below. The contract of employment so offered will be identical in all respects to that person’s contract of employment immediately before the
date of expiry or termination of this AGREEMENT. Any such request shall be made by GSK within fourteen (14) days of its becoming aware of the finding or allegation. Once that offer of employment has been made (or after expiry of fourteen
(14) days after it has been requested by GSK), GSK or any THIRD PARTY may terminate the employment of the person concerned and ChemPartner will indemnify GSK or any THIRD PARTY against any and all EMPLOYMENT LIABILITIES incurred by GSK or a
THIRD PARTY which arise out of or in connection with the employment of any ChemPartner EMPLOYEES whose employment, or claims arising out of their employment or its termination, transfer to GSK or a THIRD PARTY whether pursuant to the ACQUIRED RIGHTS
DIRECTIVE (or its implementing legislation in any country) or any applicable regulation. 

 The PARTIES acknowledge
that it is their intention that the benefit of this paragraph may be assigned to any THIRD PARTY at the absolute discretion of GSK. 
  

	23.	INSURANCE 

  

	23.1	Without limitation to any other term of this AGREEMENT, ChemPartner shall take out and maintain, at its own cost and expense, for the TERM of this AGREEMENT the
following insurances with a reputable insurance company and on terms reasonably acceptable to GSK: 

  

	 	A)	* for a minimum of * per claim; 

  

	 	B)	* for a minimum of * for each occurrence; 

  

	 	C)	adequate insurance against loss of, or damage to, any of the assets of the ChemPartner, the ChemPartner EMPLOYEES or any of its other suppliers which are located at the
SITE; and 

  

	23.2	This Clause 23 is not intended in any way to impose any limits on ChemPartner’s liability and shall not be construed so as to constitute acceptance by GSK of any
responsibility for liability in excess of the insurance coverage contemplated herein. 

  

	23.3	If ChemPartner fails or refuses to obtain appropriate insurance cover as contemplated in this Clause 23, in addition to any other remedies available to GSK under this
AGREEMENT or at law, GSK may give notice to the ChemPartner of such default, and if not remedied by ChemPartner within seven (7) WORKING DAYS of receipt of such notice, GSK shall be entitled to terminate this AGREEMENT pursuant to Clause 30.

  

	23.4	ChemPartner shall within thirty (30) days following the EFFECTIVE DATE and, in respect of renewals, at least ten (10) days following renewal of coverage,
provide GSK with a copy of the insurance certificate (or other acceptable evidence from ChemPartner’s insurance brokers) evidencing that the coverage and policy endorsements required under this AGREEMENT are taken out and maintained, and
containing a summary of the key provisions, including: 

  

	 	A)	the commencement and expiry dates; 

  

	 	B)	the limit or sums insured; 

  

	 	C)	the territorial limits; 

  

	 	D)	any excess, deductible or self-insurance retention; 

 

	*	Indicates where text has been omitted pursuant to a request for confidential treatment under Rule 406 of the Securities Act of 1933, as amended. The omitted materials
have been filed separately with the Securities and Exchange Commission. 

  

  

49 

	 	E)	any other exceptions or exclusions to the relevant insurance; and 

  

	 	F)	any limitations attached to such insurance. 

  

	23.5	ChemPartner shall not by any act or omission do anything to vitiate any of the insurances required to be taken out and maintained during the Term pursuant to this
Clause 23. 

  

	23.6	If ChemPartner intends to cancel, vary or not renew any such insurance policies the result of which would be to provide less coverage (in terms of either scope or
value) than the coverage in place on the EFFECTIVE DATE, then ChemPartner shall obtain GSK’s prior written consent to such cancellation, variation or non-renewal. 

 

	24.	BUSINESS CONTINUITY PLAN 

  

	24.1	At all times during the applicable PROJECT(s) and/or PROGRAMS(s), ChemPartner shall provide and maintain the capability (i) to continue operations due to a loss,
interruption or unexpected cause of removal of ChemPartner’s SITE; and (ii) to recover from unpredicted interruptions within its operating environment or IT INFRASTRUCTURE SYSTEM, resulting from a loss or disruption ranging from a
temporary loss of a critical system component to a full SITE disaster (“BUSINESS CONTINUITY”). 

  

	24.2	Prior to the execution of this AGREEMENT, ChemPartner shall deliver to GSK a detailed, written contingency plan for the recovery of business functions, business units,
business processes and resources and for the continuation of the OS provided thereunder in the event of a disruption or disaster or threats thereof, hereto attached as Schedule 15. Such BUSINESS CONTINUITY PLAN shall be reviewed annually by
the PARTIES. 

  

	24.3	As part of each BUSINESS CONTINUITY PLAN, ChemPartner shall provide contingency plans to recover from SITE disasters, fires, floods, explosions, and other events likely
to result in business interruption. It is hereby understood and agreed that GSK’s review and approval of ChemPartner’s BUSINESS CONTINUITY PLAN shall not act as a waiver of, nor in any way effect, ChemPartner’s obligations hereunder.

  

	24.4	Each BUSINESS CONTINUITY PLAN delivered by ChemPartner shall be subject to GSK review, modification, acceptance and approval. Any modifications or updates to the
BUSINESS CONTINUITY PLAN shall be incorporated by reference to Schedule 15. 

  

	25.	INDEMNITIES AND LIABILITIES 

  

	25.1	ChemPartner shall indemnify and hold GSK and all members of the GSK Group (and their directors, officers and employees) harmless from and against any and all LOSSES
directly related, actually occurred and reasonable attributable to: 

  

	 	A)	Any breach by ChemPartner of this AGREEMENT, a SOW or a RESEARCH AGREEMENT; 

 

	 	B)	Any material tortious (including negligent) acts and omissions, neglect, default, theft, wilful misconduct, or fraud on the part of ChemPartner, its employees, agents
and sub-contractors occurring during the performance of the OS or relating to any subject matter of this AGREEMENT; 

  

	 	C)	Any claims by any ChemPartner EMPLOYEES, agent, or sub-contractor of ChemPartner against GSK under this AGREEMENT; 

 

  

50 

	 	D)	All liabilities in respect of any actions, suits, proceedings, arbitrations or governmental investigations initiated after the EFFECTIVE DATE that are attributable to
ChemPartner’s performance of the OS; 

  

	 	E)	any liabilities for tax payment obligations attributable to ChemPartner’s performance of the OS after the EFFECTIVE DATE; 

 

	 	F)	Any breach by ChemPartner, its employees, agents and sub-contractor of all laws, statutes, regulations and other subordinate instruments, code or practice including
ENVIRONMENTAL LAWS that may result in ChemPartner’s breach of this AGREEMENT; 

  

	 	G)	Any claims attributable to a ChemPartner EMPLOYEE that may transfer to GSK or a THIRD PARTY as a result of the application of the Transfer of Undertakings (Protection
of Employees) Regulation (“TUPE”), or any equivalent provision in overseas legislation. 

  

	 	H)	Any claims by a THIRD PARTY attributable to the infringement or alleged infringement of GSK PATENTS and/or GSK INTELLECTUAL PROPERTY, and/or GSK CONFIDENTIAL
INFORMATION. 

  

	 	I)	any claims by a THIRD PARTY that arises out of the infringement or alleged infringement of any THIRD PARTY rights or applicable law; 

 

	 	J)	any act or omission on the part of ChemPartner, its ChemPartner EMPLOYEES, agents and sub-contractor that places GSK in breach of law, statute, regulation, and other
subordinate instruments, code or practice. 

  

	25.2	GSK shall give written notice to ChemPartner as soon as is practicable of the details of any claim or proceedings brought or threatened against it by a THIRD PARTY in
respect of which a claim will or may be made under Clause 25.1 above; and ChemPartner, may in consultation with GSK and with GSK’s prior written permission, assume and conduct the defence and/or settlement of all claims and proceedings which
may be brought by a THIRD PARTY and in doing so ChemPartner shall keep GSK advised of all progress in relation thereto, supply GSK with a copy of all advice relating to evidence, liability, quantum and strategy, consult with GSK on all future
conduct and at all times in the conduct of such claims and proceedings avoid reputation harm to GSK or bringing the GSK brand and reputation into disrepute. GSK shall, at ChemPartner’s expense, provide all reasonable assistance and
documentation required by ChemPartner in connection with, any claim or proceedings brought by a THIRD PARTY, if directly related to the OS and this AGREEMENT. 

 

	25.3	Nothing in this Clause 25 or otherwise in this AGREEMENT shall exclude or in any way limit GSK’s liability to ChemPartner for (i) fraud, (ii) death or
personal injury caused by its negligence (including negligence as defined in section 1 Unfair Contract Terms Act 1977), (iii) breach of terms regarding title implied by section 12 Sale of Goods Act 1979 (UK) and/or section. 2 Supply of Goods
and Services Act 1982 (UK), or (iv) any liability to the extent the same may not be excluded or limited as a matter of law. 

  

	25.4	Neither PARTY shall be liable to the other for any punitive, exemplary damages or for an indirect or consequential loss or damage resulting from any breach of this
AGREEMENT even if the PARTY has been advised of the possibility of such damages. 

  

  

51 

	26.	WARRANTIES 

  

	26.1	Except as otherwise disclosed, ChemPartner and GSK each represents warrants and undertakes to each other that the execution, delivery and performance of this AGREEMENT
by such PARTY: 

  

	 	A)	Has been duly authorised by all necessary corporate action; 

  

	 	B)	Does not conflict with, or result in a material breach of, the articles of incorporation or by-laws of such PARTY; 

 

	 	C)	Does not conflict with or result in a breach of any applicable laws as at the date of this AGREEMENT; and 

 

	 	D)	This AGREEMENT has been duly executed by such PARTY and constitutes a valid and legally binding obligation of such PARTY enforceable in accordance with its terms.

  

	26.2	ChemPartner represents, warrants and undertakes to GSK on a continuing basis during the TERM that each of the statements set out in this Clause 26 is true and accurate:

  

	 	A)	Neither the execution and delivery of this AGREEMENT will, directly or indirectly (i) conflict with or violates any provision of the by-laws of ChemPartner,
(ii) require on the part of ChemPartner any filing with, or any permit, authorisation, consent or approval of, any governmental authority having jurisdiction over ChemPartner, (iii) conflict with, result in a breach of, constitute a
default under, any material contract, lease, sublease, licence, sublicense, permit, agreement or mortgage for borrowed money or other arrangement to which ChemPartner is a party or by which ChemPartner is bound or to which any of the assets of
ChemPartner is subject, or (iv) violate any order, writ, injunction, decree, law or regulation applicable to ChemPartner. 

  

	 	B)	Its performance of the OS and GSK’s subsequent use of such OS, excluding using of the MATERIALS or information provided by GSK does not and will not violate any
INTELLECTUAL PROPERTY RIGHTS of any THIRD PARTY, nor has any claim of such infringement been threatened or asserted; 

  

	 	C)	There is no action, suit, claim, investigation or proceeding pending or, to the best of its knowledge, threatened against it that, if adversely decided, might adversely
affect ChemPartner’s: 

  

	 	(i)	ability to enter into this AGREEMENT; and/or 

  

	 	(ii)	the performance of its obligations hereunder; 

  

	 	D)	It is not a PARTY to any agreement which would prevent it from fulfilling its obligations under this AGREEMENT; 

 

	 	E)	During the TERM, ChemPartner shall not enter into an agreement to provide OS which would in any way conflict with or restrict its ability to perform under this
AGREEMENT; 

  

	 	F)	No items or material used by ChemPartner in the performance of OS which would result in a separate charge to GSK may be obtained from an AFFILIATE of ChemPartner
without prior written notice to GSK of such affiliation; 

  

  

52 

	 	G)	The FEES were independently established by ChemPartner and proposed to GSK without collusion with any THIRD PARTY or any ChemPartner EMPLOYEE or representative of GSK;

  

	 	H)	After signature of this AGREEMENT it shall not accept any other customers’ projects which compete directly with a PROJECT(s) and/or a PROGRAM(s), which are
conducted during the same TERM without obtaining the prior written consent of GSK. Such consent may not to be unreasonably withheld by GSK; 

  

	 	I)	When applicable, ChemPartner shall obtain, maintain and pay for all permissions, licenses, permits, registrations, certificates and governmental fees and other fees
necessary for the execution of the OS hereunder (including for the import of all MATERIALS, information and rights to be used in the performance of the OS and the export of all DELIVERABLES) in the People’s Republic of China and shall obtain
all required inspections, registrations, authorisations and approvals prior to commencement of performance of such OS; 

  

	 	J)	ChemPartner complies with the applicable laws and regulation regarding the collection, storage, use and disposal of BIOLOGICAL MATERIALS/SAMPLES.

  

	26.3	Each of the above shall be construed as a separate warranty or representation on behalf of ChemPartner and GSK as the case may be and shall not be limited or restricted
by reference to, or inference from, the terms of any other warranty or representation or any other terms of this AGREEMENT, and each PARTY acknowledges and agrees that its compliance with any or all of the warranties and representations contained in
this Clause 26 shall not of itself constitute performance of any of its other obligations under this AGREEMENT. 

  

	26.4	ChemPartner shall give notice of any claim for breach of the warranties as soon as reasonably practicable after becoming aware of such breach but failure to do so shall
not prevent ChemPartner from bringing a claim except to the extent that GSK is prejudiced thereby. 

  

	26.5	Without restricting the rights of GSK or otherwise affecting the ability of GSK to claim damages on any other basis available to it, in the event that any of the
warranties is broken or (as the case may be) proves to be untrue or misleading, ChemPartner shall, on demand, pay to GSK or, at GSK’s direction: 

  

	 	A)	the amount necessary to put GSK into the position which would have existed if the warranties had not been broken or (as the case may be) had been true and not
misleading; and 

  

	 	B)	all costs and expenses incurred by GSK, as a result of such breach and any costs (including legal costs on an indemnity basis), expenses or other liabilities which any
of them may incur either before or after the commencement of any action in connection with (i) any legal proceedings in which GSK claims that any of the warranties has been broken or is untrue or misleading and in which judgment is given for
GSK or (ii) the enforcement of any settlement of, or judgment in respect of, such claim. 

  

	26.6	The liabilities of ChemPartner under this Clause 26 shall survive the expiration or termination of this AGREEMENT. 

 

	27.	GSK POLICIES AND PROCEDURES 

  

	27.1	ChemPartner shall adopt and comply with the GSK POLICIES AND PROCEDURES detailed in Schedule 16. 

 

  

53 

	27.2	In addition to Schedule 16, GSK shall display all the GSK POLICIES AND PROCEDURES and further amendments in the Web share space located at a folder on the sFTP
Server at ChemPartner, which is available to ChemPartner and ChemPartner EMPLOYEES involved in a PROJECT(s) and/or a PROGRAM(s). When available, GSK shall post the GSK POLICIES AND PROCEDURES in Chinese language. 

 

	27.3	In the event, the GSK POLICIES AND PROCEDURES are amended, removed, replaced, or updated, GSK will notify ChemPartner. Where the amendment, removal, replacement or
addition of or to the GSK POLICIES AND PROCEDURES has a cost impact or affects the ChemPartner’s ability to provide the OS, such amendment, removal, replacement or addition shall be agreed in writing by the PARTIES. 

 

	28.	ETHICAL STANDARDS AND HUMAN RIGHTS 

  

	28.1	Unless otherwise required or prohibited by law, ChemPartner warrants that in relation to the supply of the OS under the terms of this AGREEMENT:

  

	 	A)	it will not infringe the principles set out in the International Labour Organisation Convention 138: Minimum Age, 1973 or the International Labour Organisation
Convention 182: Worst Forms of Child Labour Convention, 1999; 

  

	 	B)	it does not employ engage or otherwise use any child labour in circumstances such that the tasks performed by any such child labour could reasonably be foreseen to
cause either physical or emotional impairment to the development of such child; 

  

	 	C)	it does not use forced labour in any form (prison, indentured, bonded or otherwise) and its employees are not required to lodge papers or deposits on starting work;

  

	 	D)	it provides a safe and healthy workplace, presenting no immediate hazards to its ChemPartner EMPLOYEES. Any housing provided by ChemPartner to its ChemPartner EMPLOYEES
is safe for habitation. ChemPartner provides access to clean water, food, and emergency healthcare to its ChemPartner EMPLOYEES in the event of accidents or incidents at ChemPartner’s SITE; 

 

	 	E)	it does not discriminate against any ChemPartner EMPLOYEES on any ground (including race, religion, disability or gender); 

 

	 	F)	it does not engage in or support the use of corporal punishment, mental, physical, sexual or verbal abuse and does not use cruel or abusive disciplinary practices in
the workplace; 

  

	 	G)	it pays each ChemPartner EMPLOYEE at least the minimum wage or a fair representation of the prevailing industry wage, (whichever is the higher) and provides each
ChemPartner EMPLOYEE with all legally mandated benefits; 

  

	 	H)	it complies with all laws on working hours and employment rights in the countries in which it operates; 

 

	 	I)	it is respectful of its ChemPartner EMPLOYEES right to join and form independent trade unions and freedom of association. 

 

	28.2	ChemPartner agrees that it is responsible for controlling its own supply chain and that it shall encourage compliance with ethical standards and human rights by any
subsequent supplier of goods and OS that are used by the ChemPartner when performing its obligations under this AGREEMENT. 

  

  

54 

	28.3	ChemPartner shall ensure that it has ethical and human rights policies and an appropriate complaints procedure to deal with any breaches of such policies.

  

	29.	WASTE 

  

	29.1	If necessary, ChemPartner shall hire, direct and pay all costs for a waste ChemPartner to remove all WASTE and HAZARDOUS MATERIAL (in accordance with the Material
Safety Data Sheets of the MATERIALS (“MSDS”), ChemPartner’s internal policies, or applicable local regulations) from ChemPartner’s SITE that is derived from the performance of the OS. The costs associated with the removal of the
WASTE shall be borne by ChemPartner. ChemPartner shall obtain GSK’s written permission prior to the destruction and/or removal of any WASTE and HAZARDOUS MATERIAL, and the destruction and/or removal of any IT EQUIPMENT or MATERIALS (whether
owned by ChemPartner or GSK) relating to the WASTE and HAZARDOUS MATERIALS produced during the provision of the OS. ChemPartner shall document the destruction of any WASTE and HAZARDOUS MATERIAL in writing and provide copies of such written
documentation to the GSK DESIGNATED REPRESENTATIVE. 

  

	29.2	ChemPartner shall only dispose of WASTE and HAZARDOUS MATERIALS at the SITE and through waste management vendors that have been approved in writing by GSK, whose
approval shall not be withheld unreasonably. GSK maintains the right, but not the obligation, to witness the actual disposal of the WASTE and HAZARDOUS MATERIALS. 

 

	30.	TERMINATION 

  

	30.1	GSK may terminate this AGREEMENT or cancel any SOW and/or RESEARCH AGREEMENT at any time, without cause, by giving ChemPartner at least ninety (90) days written
notice of termination. 

  

	30.2	The cancellation of a SOW, associated PROJECT FORM(s) and/or STUDY PROTOCOL(s) and/or RESEARCH AGREEMENT(s) shall not trigger automatically the termination of the
AGREEMENT. The termination of this AGREEMENT shall have the effect of terminating all undischarged SOWs and RESEARCH AGREEMENTs. 

  

	30.3	GSK may terminate this AGREEMENT or cancel a SOW or RESEARCH AGREEMENT immediately at any time by giving written notice to ChemPartner if: 

 

	 	A)	ChemPartner commits a material breach of this AGREEMENT which breach is irremediable, or which breach (if remediable) is not remedied within fifteen (15) days
after the service of notice requiring the same; 

  

	 	B)	ChemPartner ceases or threatens to cease to trade (either in whole, or as to any part or division involved in the performance of this AGREEMENT), or becomes or is
deemed by GSK to be insolvent, is unable to pay its debts as they fall due, has a receiver, administrative receiver, administrator or manager appointed over the whole or any part of it or its assets or business, makes any composition or arrangement
with its creditors or an order or resolution is made for its dissolution or liquidation (other than for the purpose of solvent amalgamation or reconstruction), or takes or suffers any similar or analogous procedure, action or event in consequence of
debt in any jurisdiction; 

  

	 	C)	ChemPartner undergoes a change of CONTROL (and ChemPartner shall give notice to GSK of the particulars of any change of CONTROL affecting it within thirty
(30) days of any such change of CONTROL occurring); 

  

  

55 

	 	D)	ChemPartner is convicted by any court with competent jurisdiction of any offence or is otherwise guilty of serious misconduct or any conduct which brings GSK or its
clients or customers or its or their business, products or services into disrepute. 

  

	 	E)	ChemPartner assigns or attempts to transfer any interest herein or of any right or obligation hereunder without GSK’s prior written consent;

  

	 	F)	ChemPartner allows or enables the unauthorized or improper use by ChemPartner or any other person of any G S K PATENTS, INVENTIONS and/or GSK INTELLECTUAL PROPERTY
RIGHTS; 

  

	 	G)	ChemPartner exceeds the* ChemPartner EMPLOYEES attrition rate as set out in Clause 22.3.1; 

 

	 	H)	ChemPartner is in breach of Clauses 8.4(i), 8.4(vi), 8.4(viii), 8.4 (xii), 8.4 (xv), 8.4 (xviii), 10.2, 12.5, 13, 14, 15, 16, 19.1.1, 19.2.1, 23, 25.1, 27, 34 and 35;

  

	 	I)	any act or omission of ChemPartner, ChemPartner EMPLOYEES, agents or direct or indirect contractors puts GSK in breach of any GOOD CITIZEN LAWS;

  

	 	J)	GSK is in its absolute discretion unwilling to accept or tolerate a new or continuing CONFLICT OF INTEREST. 

 

	30.4	GSK may terminate this AGREEMENT in the event of a FORCE MAJEURE EVENT in accordance with Clause 37.8. 

 

	30.5	The PARTIES may by mutual agreement extend the date of termination of this AGREEMENT in respect of any notice of termination given in accordance with this Clause 30.

  

	30.6	The expiry or termination of this AGREEMENT shall not affect the continuation in force following such expiry or termination: 

 

	 	A)	Clauses which are expressed to survive its termination or expiry, or which from their nature or context it is contemplated that they are to survive termination or
expiry, (including, without limitation, Clauses 1, 14, 15, 16.4, 19, 20, 25, 30.6, 31.1, 36 and 37); and 

  

	 	B)	any provision of this Agreement necessary for its interpretation or enforcement 

 

	30.7	the expiry or termination of this Agreement (for whatever reason) shall be without prejudice to the respective rights and liabilities of each of the PARTIES accrued
prior to such expiry or termination. 

  

	31.	CONSEQUENCES OF TERMINATION 

  

	31.1	Immediately after the effective date of termination: 

  

	 	A)	ChemPartner shall promptly return to GSK or dispose of in accordance with the GSK’s instructions all GSK INFORMATION, and other DATA and documents (including
GSK’s customers’ details) and copies of them disclosed or supplied to ChemPartner pursuant to or in relation to this AGREEMENT and shall certify in writing to GSK when the same has been completed; 

 

	*	Indicates where text has been omitted pursuant to a request for confidential treatment under Rule 406 of the Securities Act of 1933, as amended. The omitted materials
have been filed separately with the Securities and Exchange Commission. 

  

  

56 

	 	B)	ChemPartner shall ensure that any GSK PATENTS, GSK INTELLECTUAL PROPERTY RIGHTS to which GSK is entitled are dealt with in accordance with Clause 14 of this AGREEMENT;
and 

  

	 	C)	ChemPartner shall promptly return the EXCESS MATERIALS to GSK in good order and condition (save for normal wear and tear) at GSK’s expense, unless the termination
has been a result of a breach of this AGREEMENT by ChemPartner. 

  

	 	D)	ChemPartner shall co-operate with GSK and/or any THIRD PARTY of the OS appointed by GSK in ensuring the smooth handover and continued running of the OS during such
handover and in particular the ChemPartner shall render such assistance to GSK and/or the THIRD PARTY as GSK may reasonably request, and in accordance with Clause 32. 

 

	31.2	Upon termination of this AGREEMENT (for whatever cause): 

  

	 	A)	Any provisions which expressly or by necessary implication are intended to come into or remain in force on or after termination shall continue in full force and effect;

  

	 	B)	Any rights or obligations to which any of the PARTIES to this AGREEMENT may be entitled or be subject before its termination shall remain in full force and effect, and;

  

	 	C)	Termination shall not affect or prejudice any right to damages or other remedy which either PARTY may have in respect of the event giving rise to the termination or any
other right to damages or other remedy which either PARTY may have in respect of any breach of this AGREEMENT which existed at or before the date of termination. 

 

	31.3	Upon termination (for whatever reason) ChemPartner shall recover as its sole remedy: (i) payment for the OS completed as per the AGREEMENT and not previously paid
for at the applicable FEES and (ii) any expenses in connection therewith which are reimbursable under the terms of this AGREEMENT and are, at the date of receipt of notice of such termination, already committed and non-cancellable, subject to
ChemPartner producing documentary evidence of such expenditure and by giving GSK (or its nominated representative) full and complete access to all books and records that relate to such costs and expenses incurred in the provision of the OS.

  

	31.4	In the event of GSK requesting ChemPartner to conduct any REWORKS, as provided in Clause 10.1.4. Such REWORKS shall be without prejudice to any right to damages or
other remedy which GSK may have in respect of the event giving rise to the REWORKS. ChemPartner shall be responsible for all reasonable transition costs incurred by GSK in the move of the OS to a THIRD PARTY. In all other cases, transition costs
shall be borne by GSK. 

  

	31.5	In the event of a removal of the OS, as provided in Clause 10.2, GSK will recover from ChemPartner the FEES charged for the OS that are been removed, as detailed in
Clause 10.2.2. Such removal shall be without prejudice to any right to damages or other remedy which GSK may have in respect of the event giving rise to the removal of the OS. ChemPartner shall be responsible for all reasonable transition costs
incurred by GSK in the move of the OS to a THIRD PARTY. In all other cases, transition costs shall be borne by GSK. 

  

  

57 

	32.	ASSISTANCE 

  

	32.1	ChemPartner will provide certain services to GSK (collectively, the “ASSISTANCE SERVICES”) to timely, efficiently and without interruption transfer the
control and responsibility for all the OS previously performed by ChemPartner to a THIRD PARTY appointed by GSK, or during the replacement of a ChemPartner EMPLOYEE. 

 

	32.2	In the event of the replacement of a ChemPartner EMPLOYEES, as part of the ASSISTANCE SERVICES, ChemPartner shall fully cooperate with GSK in order to transfer the
necessary knowledge for the performance of the OS to the new ChemPartner EMPLOYEE, so as to mitigate any reduction in the productivity. 

  

	32.3	As part of the ASSISTANCE SERVICES, ChemPartner shall fully cooperate with and work in good faith with the THIRD PARTY assigned by GSK, to: 

 

	 	A)	assist GSK in developing a written transition plan for the transition of the OS to the THIRD PARTY appointed by GSK; 

 

	 	B)	catalogue all SOFTWARE, DATA, EQUIPMENT, IT EQUIPMENT and MATERIALS used to provide the OS; 

 

	 	C)	assist in the execution of DATA migration and testing process until the transition to the THIRD PARTY has been successfully completed; 

 

	 	D)	return to GSK all EXCESS MATERIALS; 

  

	 	E)	return all pLNBs and/or EQUIPMENT and/or IT EQUIPMENT and/or GSK SOFTWARE provided by GSK; 

 

	 	F)	provide other technical assistance as requested by GSK. 

  

	33.	PERMITS 

  

	33.1	ChemPartner shall obtain, maintain and pay for all permits, certificates, governmental fees and licenses necessary for the execution of the OS hereunder in the
People’s Republic of China and shall obtain all required inspections, registrations, authorisations and approvals prior to commencement of performance of such OS. 

 

	33.2	GSK shall be responsible for obtaining any necessary import licenses or permits necessary for the entry of the MATERIALS supplied by GSK into the People’s Republic
of China and their delivery to the SITE. GSK shall be solely responsible for any and all customs duties, clearance charges, taxes, brokers’ fees and other amounts payable in connection with the importation and delivery of the MATERIALS supplied
by GSK to the SITE. 

  

	34.	COMPLIANCE WITH LAW AND REGULATIONS 

  

	34.1	Each PARTY shall perform its obligations under this AGREEMENT in a manner that complies with all applicable laws in relation to, or otherwise relevant to, its
obligations under this AGREEMENT and shall promptly notify the other PARTY if it receives a written allegation of non-compliance with any such law by any person which relates to its performance of such obligations. 

 

	34.2	Both PARTIES expressly agree that this AGREEMENT is the result of arms-length negotiations, and that neither PARTY has entered into this AGREEMENT with a corrupt motive
to obtain or retain business or to secure an unfair business advantage. 

  

  

58 

	34.3	Both PARTIES hereby warrant and undertake that they shall at all material times keep and maintain accurate and up to date accounting records to ensure that all
transactions relating to this AGREEMENT are sufficiently documented. 

  

	34.4	Both PARTIES hereby warrant that they will keep each other informed about any regulatory changes that may have an impact in the provision of the OS.

  

	35.	ANTI-CORRUPTION, ANTI MONEY LAUNDERING AND TRADE SANCTIONS 

  

	35.1	ChemPartner and GSK each agree and undertake to the other that in connection with this AGREEMENT and the transactions contemplated by this AGREEMENT, each PARTY will
comply with all applicable anti-corruption, anti-bribery and anti-money laundering laws and related rules and regulations, decrees and/or official government orders of (i) the United Kingdom, including, without limitation, the Public Bodies
Corrupt Practices Act 1889, the Prevention of Corruption Act 1906 and the Prevention of Corruption Act 1916; (ii) the United States, including, without limitation, the Foreign Corrupt Practices Act 1977; (iii) People’s Republic of
China, including, without limitation, Chapter III and Chapter VIII of Criminal Law, the Law of People’s Republic of China on Anti-money Laundering; (iv) all other applicable anti-corruption, anti-bribery and anti-money laundering laws and
related rules and regulations, decrees and/or official government orders, including, without limitation, local laws implementing the OECD Convention on Combating Bribery in International Business Transactions (together “GOOD CITIZEN
LAWS”). 

  

	35.2	ChemPartner agrees and undertakes that it and each of its affiliates and sub-contractors and their respective directors, officers, employees, agents and representatives
has not, in connection with the transactions contemplated by this AGREEMENT or in connection with any other business transactions involving GSK, made, offered, or promised to make, and will not make, offer, or promise to make or authorise any
payment or other transfer of anything of value, including without limitation any portion of the compensation, commission, or reimbursement received under this AGREEMENT or the provision of any service, gift, or entertainment, directly or indirectly
to any person or entity for the purpose of obtaining or influencing actions or decisions, or securing any improper advantage, or improperly inducing any other party to show favour or disfavour, or engage in any act or transaction in violation of any
applicable anti-corruption, anti-bribery and anti-money laundering laws and related rules and regulations. 

  

	35.3	ChemPartner agrees and undertakes that in connection with this AGREEMENT and in connection with any other business transactions involving GSK, ChemPartner and each of
its affiliates, ChemPartners, and sub-contractor will have in force effective controls and procedures to ensure that any violations of all applicable anti-corruption, anti-bribery and anti-money laundering laws and related rules and regulations are
prevented, detected and/or deterred. 

  

	35.4	ChemPartner expressly represents and warrants that any funds or property received from GSK or provided to GSK in connection with this AGREEMENT or any transactions
performed in connection herewith shall not be transferred to or from any RESTRICTED PERSON or contrary to any applicable laws, including but not limited to anti-corruption, anti-bribery and anti-money laundering laws and related rules and
regulations. 

  

	35.5	For purposes of this Clause 35.4 a “RESTRICTED PERSON” is any person who is identified from time to time by any government or legal authority under applicable
trade sanctions, export controls, anti-money laundering, non-proliferation, anti-terrorism and similar laws (together “Trade Restrictions”) as a person with whom trade or financial dealings and transactions by GSK and/or its affiliates are
prohibited or restricted, including but not limited to: 

  

  

59 

	 	A)	persons designated on the United Nations lists of persons subject to sanctions; 

 

	 	B)	the Bank of England and European Union Consolidated Lists of Financial Sanctions Targets; 

 

	 	C)	the U.S. Department of the Treasury’s Office of Foreign Assets Control (OFAC) List of Specially Designated Nationals and Other Blocked Persons (including
terrorists and narcotics traffickers); 

  

	 	D)	the U.S. Department of State’s lists of persons subject to non-proliferation sanctions; 

 

	 	E)	The U.S. Department of Commerce’s Denied Parties List, Entity List, Unverified List, General Order 3 to Part 732 List; 

 

	 	F)	persons and entities subject to Special Measures regulations under Section 311 of the USA PATRIOT Act and the Bank Secrecy Act and its regulations; and

  

	 	G)	relevant equivalent restricted party listings maintained by other relevant jurisdictions. 

 

	35.6	ChemPartner represents and warrants to GSK that: 

  

	 	A)	ChemPartner, its directors, executive officers, senior management, employees, agents, shareholders, persons having a controlling interest in ChemPartner, or its
affiliates are not a RESTRICTED PERSON or, to ChemPartner’s actual or constructive knowledge, otherwise the target of any Trade Restrictions. 

  

	 	B)	ChemPartner is qualified and competent to perform and discharge its duties under this AGREEMENT and that, to the extent required by applicable laws, regulations or
administrative requirements, ChemPartner has obtained such licences or completed such registrations as may be necessary or required to perform its duties set out in this AGREEMENT. 

 

	35.7	ChemPartner confirms that it and its directors, officers, employees, agents and representatives are aware of and understand the provisions of any applicable
anti-corruption, anti-bribery and anti-money laundering laws and related rules and regulations. 

  

	35.8	In the event that GSK in good faith believes that the ChemPartner may not be in compliance with the undertakings and/or requirements set out in Clauses 35.1, 35.2,
35.3, 35.4, 35.5, 35.6 and 35.7 of this AGREEMENT, GSK may advise ChemPartner in writing of its good faith belief and ChemPartner agrees that in such circumstances it shall co-operate fully with any and all enquiries made by or on behalf of GSK as
to any such matter, including providing all such documentation and other information as GSK may request. 

  

	35.9	Without prejudice to any rights or remedies GSK may have under the AGREEMENT or at law (including, as applicable, the right to damages for breach of contract), GSK
shall have the right to terminate the AGREEMENT or cancel an SOW and/or a RESEARCH AGREEMENT with immediate effect in the event that GSK reasonably believes that ChemPartner has acted in breach of any applicable anti-corruption, anti-bribery or
anti-money laundering laws and related rules and regulations or has otherwise acted in breach of Clause 35 of this AGREEMENT. 

  

	36.	GOVERNING LAW AND ALTERNATIVE DISPUTE RESOLUTION 

  

	36.1	This Agreement shall be governed and interpreted in accordance with English Law. 

 

  

60 

	36.2	Save for proceedings where equitable remedies are claimed or where urgent interim or interlocutory orders are claimed, and save for proceedings relating to the
enforcement of the foregoing remedies or orders or any arbitral awards arising pursuant to this provision or in the case of GSK, any claim for the payment of a liquidated sum, all disputes, controversy or claim arising from or in connection with
this Agreement, including any question regarding its existence, validity or termination, must be submitted to the International Chamber of Commerce (“ICC”), to be settled by arbitration under the United Nations Commission on International
Trade Law Arbitration Rules in accordance with the ICC Rules of Conciliation and Arbitration in force as at the date of this AGREEMENT. The seat of the arbitration will be London and the arbitration will take place at the ICC. There will be three
arbitrators. The appointing authority is the ICC. The arbitration proceedings will be conducted in English. The award of the arbitration tribunal will be final and binding. By agreeing to arbitration under this Clause, the PARTIES irrevocably waive
their right to any form of appeal, review or recourse to any state or court or their judicial authority, insofar as this waiver can be validly given. Judgment on any award may be entered in any court of competent jurisdiction. Any PARTY has the
right to seek interim injunctive relief; provisional rulings or other interim relief from a court of competent jurisdiction, both before and after the arbitral tribunal has been appointed, at any time up until the arbitral tribunal has made its
final award. The costs of arbitration must be borne by the losing party, unless otherwise decided by the arbitration award. 

  

	36.3	GSK and ChemPartner shall continue to perform their respective obligations under this AGREEMENT pending the resolution of a dispute, provided that nothing in this
Clause prevents or restricts a PARTY from lawfully exercising any of its termination rights pursuant to Clause 30 at any time. 

If for good reason GSK disputes any invoice in whole or in part it will promptly notify ChemPartner of the reason for the dispute and both
PARTIES will refer to the Outsourced Services Management Board (“OSMB”) for resolution. 
  

	37.	GENERAL PROVISIONS 

  

	37.1	ASSIGNMENT 

  

	 	A)	ChemPartner shall not assign or otherwise transfer to any person, or declare a trust in respect of, any of its rights or obligations under this AGREEMENT without
obtaining GSK’s prior written approval. 

  

	 	B)	Any permitted assignee shall assume all obligations of its assignor under this AGREEMENT. No assignment shall relieve any PARTY of responsibility for the performance of
any accrued duties and obligation which such PARTY has acquired hereunder. 

  

	37.2	PRIOR AGREEMENTS – AMENDMENTS 

  

	 	A)	The PARTIES agree that their previous agreement entered between GSK and ChemPartner on January 1, 2007 regarding the Master agreement for the Outsourcing of
Services (“Master Agreement”) for the provision of chemistry services is hereby terminated and replaced in its entirety by this AGREEMENT. This AGREEMENT cancels and replaces any written agreement and/or similar agreement in force or
signed previously by the PARTIES (or their predecessors or AFFILIATES). 

  

	 	B)	Notwithstanding the above, all the SOW(s), PROJECT FORM(s) and/or STUDY PROTOCOL(s) that until the EFFECTIVE DATE have been executed by the Parties under the Master
Agreement are hereby ratified, confirmed and reaffirmed in all respects. For the avoidance of any doubt, the following SOWs, PROJECT FORM(s) and/or STUDY PROTOCOLS(s) shall be subject to this Agreement: 

 

  

61 

 2009/10 - ChemPartner SoW 1 - MDR – US 

2009/10 - ChemPartner SoW 2 - R&D China – China 

2009/10 - ChemPartner SoW 3 - ID - US + Amendment 

AMENDMENT - 2009/10 - ChemPartner SoW 3 - ID – US 

2009/10 - ChemPartner SoW 4 - MP – US 

2009/10 - ChemPartner SoW 5 - MP – US 

2009/10 - ChemPartner SoW 6 – NS – UK 

AMENDMENT - 2009/10 - ChemPartner SoW 6 - NS – UK 

AMENDMENT - 2009/10 - ChemPartner SoW 6 - NS – UK 

2009/10 - ChemPartner SoW 7 - NS – Italy 

2009/10 - ChemPartner SoW 8 - NS – Italy 

2009/10 - ChemPartner SoW 9 - NS - UK + Amendment 

AMENDMENT - 2009/10 - ChemPartner SoW 9 - NS – UK 

AMENDMENT - 2009/10 - ChemPartner SoW 9 - NS – UK 

AMENDMENT - 2009/10 - ChemPartner SoW 9 - NS – UK 

2009/10 - ChemPartner SoW 10 - NS – UK 

2009/10 - ChemPartner SoW 11 - R – UK 

2009/10 - ChemPartner SoW 12 - Onco – US 

2009/10 - ChemPartner SoW 13 - NS - UK 

2009/10 - ChemPartner SoW 14 - NS - UK 

2009/10 - ChemPartner SoW 15 - NS – UK 
  

	 	C)	This AGREEMENT may only be amended upon the written agreement of the PARTIES. 

 

	37.3	ENTIRE AGREEMENT 

  

	 	A)	This AGREEMENT together with all SOWs and RESEARCH AGREEMENTS contains all the terms agreed between the PARTIES regarding its subject matter and supersedes any prior
agreement, understanding or arrangement between the PARTIES, whether oral or in writing. No representation, undertaking or promise shall be taken to have been given or be implied from anything said or written in negotiations between the PARTIES
prior to this AGREEMENT except as expressly stated in this AGREEMENT. Neither PARTY shall have any remedy in respect of any untrue statement made by the other upon which that PARTY relied in entering into this AGREEMENT (unless such untrue statement
was made fraudulently) and that PARTY’s only remedies shall be for breach of contract as provided in this AGREEMENT. 

  

	37.4	CUMULATIVE RIGHTS AND WAIVER 

  

	 	A)	The rights and remedies provided in this AGREEMENT and all other rights and remedies available to either PARTY at law or in equity are, to the extent permitted by law,
cumulative and not exclusive of any other right or remedy now or hereafter available at law or in equity. Neither asserting a right nor employing a remedy shall preclude the concurrent assertion of any other right or employment of any other remedy,
nor shall the failure to assert any right or remedy constitute a waiver of that right or remedy. 

  

	 	B)	A PARTY’s failure to enforce, at any time or for any period of time, any provision of this AGREEMENT, or to exercise any right or remedy shall not constitute a
waiver of that provision, right or remedy or prevent such PARTY from enforcing any or all provisions of this AGREEMENT and exercising any rights or remedies. 

  

  

62 

	37.5	COSTS 

  

	 	A)	Each PARTY to this AGREEMENT shall pay its own costs of and incidental to the negotiation, preparation, execution and carrying into effect of this AGREEMENT including
if applicable, notification and/or registration of this AGREEMENT and of any related documents or instruments to any competent authorities. 

  

	 	B)	ChemPartner shall be solely responsible for and shall duly pay any stamp duty or similar taxes arising in connection with this AGREEMENT, in compliance with applicable
regulations of the People’s Republic of China. 

  

	37.6	SEVERABILITY 

  

	 	A)	The provisions of this AGREEMENT are severable, and the unenforceability of any provision of this AGREEMENT shall not affect the enforceability of the remainder of this
AGREEMENT. The PARTIES acknowledge that it is their intention that if any provision of this AGREEMENT is determined by a court to be unenforceable as drafted, that provision should be construed in a manner designed to effectuate the purpose of that
provision to the greatest extent possible under applicable law. 

  

	37.7	PUBLICITY 

  

	 	A)	Neither PARTY shall, without the express prior written approval of the other PARTIES, use in any manner the name, trade name, logo, or trademark of such other PARTY.

  

	 	B)	Except as otherwise provided herein in Clause 15, ChemPartner shall not publicly disclose or issue press releases concerning this AGREEMENT or facts relating to it,
except with the express prior written consent of GSK. ChemPartner shall keep the existence, the terms of and the conditions covered by this AGREEMENT confidential and shall not disclose such information to any other THIRD PARTY without the prior
written consent of GSK. 

  

	37.8	FORCE MAJEURE 

  

	 	A)	Any delay in the performance of any of the duties or obligations of either PARTY hereto shall not be considered a breach of this AGREEMENT and the time required for
performance shall be extended for a period equal to the period of such delay, provided that such delay has been caused by or is the result of any acts of God, acts of the public enemy, insurrections, riots, fires, explosions, floods beyond the
control and without the fault or negligence of the party so affected (“FORCE MAJEURE EVENT”) 

  

	 	B)	Upon the occurrence of a FORCE MAJEURE EVENT, the defaulting PARTY shall: 

  

	 	(i)	promptly notify in writing the other PARTY of the occurrence of the FORCE MAJEURE EVENT, describing the circumstances causing such delay of performance to a reasonable
level of detail, and giving an estimate of when performance will recommence; and 

  

	 	(ii)	use COMMERCIALLY REASONABLE EFFORTS to perform (or recommence performing) its obligations as soon as, and to the extent, possible, including through the use of
alternative sources, workarounds and implementing the BUSINESS CONTINUITY PLAN. 

  

  

63 

	 	C)	If the FORCE MAJEURE EVENT continues for thirty (30) days following notification, the PARTY not affected by the FORCE MAJEURE EVENT may terminate this AGREEMENT or
cancel the affected SOW or RESEARCH AGREEMENT by giving not less than ten (10) days prior notice to the other PARTY. 

  

	 	D)	During the FORCE MAJEURE EVENT, the PARTIES shall meet and discuss in good faith any amendments to this AGREEMENT to permit the defaulting PARTY to comply with its
obligations under this AGREEMENT. If a FORCE MAJEURE EVENT causes ChemPartner to allocate limited resources between or among ChemPartner’s customers, ChemPartner shall give GSK equal priority with any other customer of ChemPartner, except where
otherwise agreed by the PARTIES in the BUSINESS CONTINUITY PLAN. 

  

	 	E)	ChemPartner shall not have the right to any additional payments from GSK as a result of any FORCE MAJEURE EVENT or the performance of its obligations under this Clause,
but shall be entitled to payment for the OS received by GSK up to the date of the FORCE MAJEURE EVENT. Nothing in this AGREEMENT shall require GSK to pay for OS not received. 

 

	37.9	COUNTERPARTS 

  

	 	A)	This AGREEMENT may be executed and delivered in one or more counterparts, and by the different PARTIES hereto in separate counterparts each of which when executed shall
be deemed an original, but all of which taken together shall constitute one and the same AGREEMENT. 

  

	37.10	RELATIONSHIP OF THE PARTIES 

  

	 	A)	Nothing contained in this AGREEMENT shall be construed to constitute GSK, on the one hand, or ChemPartner, on the other hand, as a partner or agent of the other PARTY
or to create any other form of legal association that would impose liability upon GSK, on the one hand, or ChemPartner on the other hand, for the act or omission of the other PARTY or provide GSK, on the one hand, or ChemPartner, on the other hand,
with the right, power, or authority to create or impose any duty or obligation on the other PARTY. Each PARTY shall remain an independent and shall act on its own name and for its own account. 

 

	 	B)	No amounts payable by GSK under this AGREEMENT, a SOW and/or a RESEARCH AGREEMENT shall be considered to be a salary payment to a ChemPartner EMPLOYEE, including for
pension and incentive compensation purposes. ChemPartner shall bear all responsibility and liability for payment of all compensation to ChemPartner EMPLOYEES. 

 

	37.11	NOTICES 

  

	 	A)	All notices hereunder shall be delivered as follows: (a) personally; (b) by facsimile and confirmed by first class mail (postage prepaid); (c) by
registered or certified mail (postage prepaid); or (d) by overnight courier service, to the following addresses of the respective PARTIES: 

  

			
	If to GSK:	  	With copy to:

  

  

64 

			
	 Attention: *
 Address:
*
	  	 Attention: Ms. Elizabeth Planell

R&D Legal Operations GlaxoSmithKline
 980
Great West Road
 Brentford
 Middlesex

 TW8 9GS; and

		
	 Tel: *
 Fax: *

Email: *
	  	 Tel. +44 (0) 20 8047 2837

Fax. +44 (0) 20 8047 6897/6898
 Email:
Elizabeth.x.planell@gsk.com

		
	If to ChemPartner:	  	With copy to:
		
	 Michel Hui
 Address: No.5
Building, 998 Hailei
 Road, Zhangjiang Hi-Tech Park

Pudong
 New Area, 201203 Shanghai,

People’s Republic of China
	  	Legal Department
		
	 Tel: 86-21-51320006
 Fax:
86-21-51320110
 Email: hui@chempartner.cn
	  	

  

	 	B)	A notice given in accordance with this Clause 37.11 shall be deemed to be received: 

 

	 	(i)	if left at the recipient’s address during WORKING HOURS, on the date of delivery; 

 

	 	(ii)	if sent by prepaid registered post, ten (10) days after the date of posting; 

 

	 	(iii)	if sent by an express courier with a reliable system for tracking delivery, on the date of delivery to the recipient; or 

 

	 	(iv)	if sent by fax to the fax number specified in this AGREEMENT (as the same may be altered by notice given in accordance with this AGREEMENT) during WORKING HOURS or, if
outside the WORKING HOURS of the recipient, the recipient’s next business day, upon production of a satisfactory transmission report by the fax machine which sent the fax, provided that a confirmation copy is sent by the PARTY giving notice in
accordance with a method specified above. 

  

	37.12	HEADINGS AND CONSTRUCTIONS 

  

	 	A)	The headings and divisions of this AGREEMENT are intended solely for convenience of reference and shall be given no effect in the construction or interpretation of this
AGREEMENT. 

  

	 	B)	Except where the context otherwise requires, wherever used, the singular shall include the plural, the plural the singular, the use of any gender shall be applicable to
all genders and the word “or” is used in the inclusive sense (and/or). Unless otherwise stated, references to days shall mean calendar days. The term “including” as used herein shall mean including, without limiting the
generality of any description preceding such term. The language of this AGREEMENT and any notice given hereunder shall be in English and no rule of strict construction shall be applied against either PARTY hereto. 

 

	*	Indicates where text has been omitted pursuant to a request for confidential treatment under Rule 406 of the Securities Act of 1933, as amended. The omitted materials
have been filed separately with the Securities and Exchange Commission. 

  

  

65 

	37.13	NO OTHER COMPENSATION 

  

	 	A)	Each PARTY hereby agrees and acknowledges that the terms of this AGREEMENT fully define all consideration, compensation to be paid, granted or delivered to or by GSK in
connection with the OS. 

  

	37.14	LANGUAGE 

  

	 	A)	In the event this AGREEMENT is translated into any other language than English, should a dispute arise as to the interpretation or construction of any of the terms of
this AGREEMENT, then the English language version shall prevail. The costs of the translation shall be borne by ChemPartner. 

  

  

66 

 IN WITNESS WHEREOF, the PARTIES hereto have caused this AGREEMENT to be executed by
their respective duly authorized representatives as of the day of the EFFECTIVE DATE. 
  

					
	GlaxoSmithKline Research and Development Limited	 		 	Shanghai ChemPartner Co., Ltd.
			
	 /s/ *
	 		 	 /s/ Michael Hui

	Name: *	 		 	Name: Michael Hui
	Position: Discovery Outsourced Services	 		 	Position: CEO
	Date:
23rd December, 2009	 		 	Date: Jan 19, 2010
			
	China Gateway Life Science (Holding) Ltd. (HK)	 		 	
			
	 /s/ Michael Hui
	 		 	
	Name: Michael Hui	 		 	
	Position:	 		 	
	Date: Jan 19, 2010	 		 	

  

	*	Indicates where text has been omitted pursuant to a request for confidential treatment under Rule 406 of the Securities Act of 1933, as amended. The omitted materials
have been filed separately with the Securities and Exchange Commission. 

  

  

67 

 SCHEDULE 1 

DISCOVERY OUTSOURCING SERVICES 
  

  

	1.	GENERAL INFORMATION 

 The
DISCOVERY OUTSOURCED SERVICES (“DOS”) shall comprise of one or more of the following: 
  

	 	A.	FUNCTIONAL DOS: 

  

					
	 DISCOVERY
OUTSOURCED

SERVICES

Function
	  	 DISCOVERY

OUTSOURCED
	  	 Description

			
	 Chemistry
	  	*	  	*
			
	 Chemistry
	  	*	  	*
			
	 Chemistry
	  	*	  	*
			
	 Chemistry
	  	*	  	*
			
	 Chemistry
	  	*	  	*
			
	 Biology
	  	*	  	*
			
	 Biology
	  	*	  	*
			
	 DISCOVERY
OUTSOURCED

SERVICES

Function
	  	 DISCOVERY

OUTSOURCED
	  	 Description

			
	 Biology
	  	*	  	*
			
	 Biology
	  	*	  	*

  

	 	B.	FLEXIBLE DISCOVERY OUTSOURCED SERVICES (“FDOS”): 

  

			
	 FLEXIBLE DISCOVERY OUTSOURCED SERVICES
	 	 Description

		
	 Flexible Discovery Outsourced Services (“FDOS”)
	 	 •     A combination of all the DOS above, or as specified by
GSK on a PROJECT by PROJECT basis.
  

•     Intellectual input predominately driven by GSK.

 

	 	C.	FULLY INTEGRATED SERVICES (“FIS”): 

  

			
	 FULLY INTEGRATED SERVICES
	 	 Description

		
	 Fully Integrated Services (“FIS”)
	 	 •     A combination of all the DOS above, or as specified by
GSK on a PROGRAM by PROGRAM basis
  

•     Intellectual input predominately driven by
ChemPartner.

  

  

1 

 The above mentioned list of DOS may be amended by GSK from time to time in writing. 

The precise scope of the DOS will be agreed by the PARTIES on a PROJECT by PROJECT basis, and/or a PROGRAM by PROGRAM basis. 

The PARTIES will document the provision of the OUTSOURCED SERVICES by means of a STATEMENT OF WORK (“SOW”) for each specific PROJECT or a
RESEARCH AGREEMENT for each specific PROGRAM, as described below: 
  

	 	a.	For chemistry DOS, by means of a SOW and associated PROJECT FORM(s) (as attached in Section 2 and 3 of Schedule 2); 

 

	 	b.	For biology DOS, by means of a SOW and associated STUDY PROTOCOL(s) (as attached in Section 2 and 4 of Schedule 2); 

 

	 	c.	For FLEXIBLE DISCOVERY OUTSOURCED SERVICES, by means of a SOW and associated PROJECT FORM(s) and/or STUDY PROTOCOL(s) (as attached in Section 2, 2 and 4 of
Schedule 2), as may be applicable; 

  

	 	d.	For FULLY INTEGRATED SERVICES, by means of a RESEARCH AGREEMENT (as attached in Schedule 3). 

 

  

2 

 SCHEDULE 2 

Statement of Work, Project Form and Study Protocol 
  

  

	1.	INTRODUCTION 

  

	1.1	Depending on the nature of the OUTSOURCED SERVICES, the following documents are required: 

 

	1.1.1	For chemistry OUTSOURCED SERVICES, by means of a SOW and a PROJECT FORM (as detailed in Section 2 and 3 of this Schedule). 

 

	1.1.2	For biology OUTSOURCED SERVICES OUTSOURCED SERVICES, by means of a SOW and a STUDY PROTOCOL (as detailed in Section 2 and 4 of Schedule). 

 

	1.1.3	For FLEXIBLE DISCOVERY OUTSOURCED SERVICES, by means of a SOW and associated PROJECT FORM(s) and/or STUDY PROTOCOL(s) (as detailed in Schedule 2), as applicable.

  

	1.1.4	For FULLY INTEGRATED SERVICES, by means of a RESEARCH AGREEMENT (as attached in Schedule 3). 

 

	2.	STATEMENT OF WORK (“SOW”) 

  

	2.1	SOWs shall be completed for all OUTSOURCED SERVICES excluding FULLY INTEGRATED SERVICES. 

 

	2.2	Each SOW shall conform to the template set forth in this Section 2. 

  

	2.3	Each GSK BUSINESS UNIT shall define in each SOW the specific requirements relating to the OUTSOURCED SERVICES in any given CONTRACT YEAR (or part thereof).

  

	2.4	GSK may at any time change the GSK DESIGNATED REPRESENTATIVE in the SOWs and will inform ChemPartner of such CHANGE in a timely manner. Likewise, at GSK’s
discretion, GSK may request ChemPartner to CHANGE the ChemPartner DESIGNATED REPRESENTATIVE. 

  

  

1 

 STATEMENT OF WORK TEMPLATE 

STATEMENT OF WORK 

This Statement of Work (“SOW”) numbered [INSERT SOW NUMBER] and dated [INSERT DATE] (“COMMENCEMENT DATE”)
is made between [PLEASE INSERT APPROPRIATE GSK BUSINESS UNIT] (“GSK”), registered in [—], with offices located at [—]
and [INSERT NAME OF ChemPartner], (“ChemPartner”), registered in [—], and having its principal business address at
[—]. 
 (GSK and ChemPartner are herein referred to each as a “PARTY” and,
collectively, as the “PARTIES”). 
  

	1.	BACKGROUND 

  

	A)	 This SOW is subject to the provisions of the Global Research and Development Outsourced Services Agreement (“AGREEMENT”) made by and between
GLAXOSMITHKLINE RESEARCH AND DEVELOPMENT LIMITED, registered in England and Wales under company number 835139 and having its registered office at 980 Great West Road, Brentford, Middlesex TW8 9GS, United Kingdom and SHANGHAI CHEMPARTNER Co., Ltd.,
registered in China, and having its principal business address at No.5 Building, 998 Hailei Road, Zhangjiang Hi-Tech Park Pudong New Area, 201203 Shanghai, People’s Republic of China as well as its holding company China Gateway Life Science
(holding) Ltd. (HK) registered in 3/F,Shun Feng International Centre 182 Queen’s Road East, Hong Kong, having an EFFECTIVE DATE of
23rd December, 2009. 

 

	B)	The defined terms as used in this SOW (including any associated PROJECT FORM(s) and/or STUDY PROTOCOL) shall unless otherwise defined herein, have attributed to them
the same meanings, as set out in the AGREEMENT. 

  

	C)	For what is not expressly regulated in this SOW, the PARTIES shall refer to the terms and conditions agreed in the AGREEMENT. 

 

	D)	The following shall apply in this SOW and to the respective PROJECT FORM(s) and/or STUDY PROTOCOL(s): 

 

							
	SOW REFERENCE NUMBER:	 		 		 	
	  
 SOW COMMENCEMENT DATE:
	 	  
 [PLEASE INSERT
DATE]

	  
 SOW END DATE:
	 	  
 [PLEASE INSERT
DATE]

  

	2.	OUTSOURCED SERVICES [PLEASE TICK ONE OR MORE BOXES AS APPROPRIATE] 

ChemPartner will provide GSK the following OUTSOURCED SERVICES: 

 

  

1 

			
	FUNCTIONAL CHEMISTRY OUTSOURCED SERVICES
		
	*	 	 ̈
		
	*	 	 ̈
		
	*	 	 ̈
		
	*	 	 ̈

  

			
	FUNCTIONAL BIOLOGY OUTSOURCED SERVICES
		
	*	  	 ̈
		
	*	  	 ̈
		
	*	  	 ̈
		
	*	  	 ̈
		
	*	  	 ̈

  

			
	FLEXIBLE DISCOVERY OUTSOURCED SERVICES
		
	[PLEASE INSERT]	  	 ̈
		
	[PLEASE INSERT]	  	 ̈
		
	[PLEASE INSERT]	  	 ̈
		
	[PLEASE INSERT]	  	 ̈
		
	[PLEASE INSERT]	  	 ̈
		
	All the above (FUNCTIONAL CHEMISTRY/BIOLOGY OUTSOURCED SERVICES)	  	 ̈

  

	2.1	Specific REQUIREMENTS for the OUTSOURCED SERVICES: [PLEASE AMEND OR DELETE AS APPROPRIATE] 

 

	 	•	 	 * 

  

	 	•	 	 * 

  

	 	•	 	 * 

  

	 	•	 	 * 

  

	 	•	 	 * 

  

	*	Indicates where text has been omitted pursuant to a request for confidential treatment under Rule 406 of the Securities Act of 1933, as amended. The omitted materials
have been filed separately with the Securities and Exchange Commission. 

  

  

2 

 The OUTSOURCED SERVICES required for each PROJECT under this SOW will be detailed in a PROJECT FORM(s)
and/or a STUDY PROTOCOL(s) (as appropriate) signed by both PARTIES, as attached hereto to this SOW. 
  

	3.	COLLABORATION OPERATING MODEL [TICK AS APPROPRIATE] 

 

					
	ChemPartner EMPLOYEEs BASED	 	 ̈
		
	FUNCTIONAL CHEMISTRY OUTSOURCED SERVICES	 	 ̈
		
	FUNCTIONAL BIOLOGY OUTSOURCED SERVICES	 	 ̈
		
	FLEXIBLE DISCOVERY OUTSOURCED SERVICES	 	 ̈
		
	FEE-FOR-SERVICE BASED	 	 ̈
			
	NUMBER OF ChemPartner EMPLOYEEs	 		 	
	 
	FUNCTIONAL CHEMISTRY OUTSOURCED SERVICES	 	 ̈	 	
	 
	FUNCTIONAL BIOLOGY OUTSOURCED SERVICES	 	 ̈	 	
	 
	FLEXIBLE DISCOVERY OUTSOURCED SERVICES	 	 ̈	 	
	 
	TOTAL NUMBER OF ChemPartner EMPLOYEES	 	 ̈	 	

  

	4.	MANAGEMENT AND COMMUNICATION 

  

	4.1	MANAGEMENT 

  

	 	•	 	 The PARTIES may appoint one or more Scientific Operation Teams (“SOTs”) in order to manage the OUTSOURCED SERVICES.

  

	 	•	 	 Each SOT shall comprise of a group leader (“GROUP LEADER”), a team leader (“TEAM LEADER”) (as appropriate) and a group of [•]
ChemPartner EMPLOYEES working on this SOW and associated PROJECTS. 

  

	 	•	 	 Subject to prior written approval by GSK, ChemPartner will appoint a GROUP LEADER and a TEAM LEADER/s (as appropriate) to manage this SOW and
associated PROJECTS. ChemPartner will appoint a back-up GROUP LEADER. 

  

	 	•	 	 The GROUP LEADER shall be accountable for the compliance of each member of the SOTs working in a PROJECT, as detailed in Section 5 below.

  

	 	•	 	 The GROUP LEADER shall have (including but not limited) a duty of care and responsibility regarding the compliance of the member of SOTs with regards
to GSK instructions on DATA management and recording in each PROJECT, as described in Schedule 13 and Schedule 14. 

  

  

3 

	4.2	COMMUNICATION [AMEND OR DELETE AS APPROPRIATE] 

 

	 	•	 	 The GROUP LEADER will coordinate this SOW and associated PROJECTS and liaise with the GSK DESIGNATED REPRESENTATIVE and other GSK contacts as may be
notified from time to time. 

  

	 	•	 	 The GROUP LEADER and/or TEAM LEADER will organize regular communication on the progress of the implementation and execution of this SOW and associated
PROJECT FORM(s) (e.g. fortnightly teleconferences or electronic reports by secure transmission or by hard-copy as required). The GROUP LEADER will ensure that the TEAM LEADER and other ChemPartner EMPLOYEES involved in the relevant PROJECT are part
of such communications. 

  

	 	•	 	 The above communications will be captured in minutes. The PARTIES will agree in advance which PARTY is responsible for drafting the minutes. A copy of
said minutes will be distributed by the responsible PARTY to the other. 

  

	5.	DELIVERABLES [GSK TO INSERT DELIVERABLES AND OTHER REQUIREMENTS. DELETE OR AMEND AS APPROPRIATE] 

 

	5.1	GENERAL REQUIREMENTS 

  

	 	•	 	 * 

  

	 	•	 	 * 

  

	 	•	 	 * 

  

	 	•	 	 * 

  

	 	•	 	 * 

 In the
event ChemPartner believe that the agreed timelines are not going to be achieved, ChemPartner shall immediately contact the GSK DESIGNATED REPRESENTATIVE, in order to re-assess the timelines and/or allocate the OUTSOURCED SERVICES to a THIRD PARTY,
at GSK discretion and in accordance with Clause 5 of the AGREEMENT. 
  

	5.2	PERFORMANCE MEASUREMENTS [AMEND OR DELETE AS APPROPRIATE] 

ChemPartner shall comply with the below minimum requirements: 

 

	5.2.1	STABILITY TESTS [AMEND OR DELETE AS APPROPRIATE] 

 

	 	•	 	 Stability tests to be carried out on no more that * diverse samples using GSK’s defined protocols.

  

	 	•	 	 If stability issues arise this will mean that all further work in relation to this SOW will be put on hold until a go / no-go decision has been made
by GSK. 

  

	5.2.2	QUALITY [AMEND OR DELETE AS APPROPRIATE] 

  

	 	•	 	 * 

  

	 	•	 	 * 

  

	 	•	 	 * 

  

	 	•	 	 * 

  

	 	•	 	 * 

  

 

	*	Indicates where text has been omitted pursuant to a request for confidential treatment under Rule 406 of the Securities Act of 1933, as amended. The omitted materials
have been filed separately with the Securities and Exchange Commission. 

  

  

4 

	5.2.3	PERFORMANCE MEASUREMENT [AMEND OR DELETE AS APPROPRIATE] 

 

	 	•	 	 Overall performance will be judged on the ability to deliver in accordance with: 

 

	 	•	 	 the criteria set out above regarding stability and quality; and 

 

	 	•	 	 the quantity and timeliness set out in this SOW and/or a PROJECT FORM(s) and/or a STUDY PROTOCOL(s) (as appropriate): and 

 

	 	•	 	 the PERFORMANCE METRICS, as described in Section 2.2.1 and 2.2.2 of Schedule 6; and 

 

	 	•	 	 the QUALITATIVE FEEDBACK, as defined in Section 3 of Schedule 6; and 

 

	 	•	 	 [the GSK DELIVERABLES MATRIX, as set out in Schedule 7 (as agreed by the PARTIES)]; and 

 

	 	•	 	 [any additional criteria that GSK may decide to establish from time to time, hereto attached as Appendix 1 to this SOW.]

  

	6.	DATA integrity and DATA recording 

ChemPartner must ensure that all work on each PROJECT is recorded in GSK paper laboratory notebooks (pLNBs), with cross referencing to
supplementary DATA, as agreed between the PARTIES. 
  

	*	Indicates where text has been omitted pursuant to a request for confidential treatment under Rule 406 of the Securities Act of 1933, as amended. The omitted materials
have been filed separately with the Securities and Exchange Commission. 

  

  

5 

 [If eLNB are used, please use the following: “ChemPartner must
ensure that all work on each PROJECT is recorded in electronic laboratory notebooks (eLBNs)
1, with cross referencing to supplementary DATA, as
agreed between the PARTIES.] 
 All DATA arising out of or in connection with the PROJECT(s) shall comply with the good DATA
integrity practices as detailed in Appendix 1 of Schedule 14 and shall be recorded in accordance with the processes detailed in Schedule 14. 

All DATA arising out of or in connection with the PROJECT(s) shall comply with the record keeping and record retention periods as agreed
in Clause 19 of the AGREEMENT and in Schedule 13. 
  

	7.	REPORTS [AMEND OR DELETE AS APPROPRIATE] 

Every [•] during the duration of this SOW, the GROUP LEADER shall provide the GSK DESIGNATED REPRESENTATIVE with a written detailed
report summarising the ChemPartner’s work and DELIVERABLES to date under this SOW. 
 The reports and any results arising
from the provision of the OUTSOURCED SERVICES under this SOW shall be deemed to be CONFIDENTIAL and exclusively owned by GSK (in accordance with Clause 14, and Clause 15 of the AGREEMENT). 

 

	8.	PRIORITISATION [AMEND OR DELETE AS APPROPRIATE] 

[GSK to give clear guidance on the prioritization of all OUTSOURCED SERVICES]. 

The prioritisation of the OUTSOURCED SERVICES may be changed at any time by GSK. 

 

	9.	DELIVERY FORMAT 

[GSK TO INCLUDE DETAILS AS APPROPRIATE] 
  

	10.	DELIVERY ADDRESS 

[GSK TO INCLUDE DETAILS AS APPROPRIATE] 
  

	11.	MATERIALS AND SHIPMENT 

  

	11.1	MATERIALS 

 GSK may, if
required, supply appropriate BIOLOGICAL ADDITIONAL MATERIALS and/or CHEMISTRY ADDITIONAL MATERIALS to ChemPartner. 
 For
BIOLOGICAL ADDITIONAL MATERIALS and/or CHEMISTRY ADDITIONAL MATERIALS, the PARTIES will refer to Clause 12 of the AGREEMENT. 

MATERIALS may be proprietary and should not be used by ChemPartner for any other purpose other than for conducting a GSK PROJECT(s). Any
EXCESS MATERIALS or intermediates derived from the MATERIALS may be required to be returned to GSK at the completion of a PROJECT(s) at no extra charge for GSK. 
  

	11.2	SHIPMENT [AMEND OR DELETE AS APPROPRIATE] 

  

	 	•	 	 Where applicable, all MATERIALS must be shipped according to the UN recommendations on the transport of dangerous goods model regulations or mode
specific regulation if more restrictive, and in accordance with the respective Material Transfer Agreement, as detailed in Schedule 8 of the AGREEMENT. 

 

	1
	 Note that when using eLNBs for recording the DATA, the business rules attached as Appendix 2 to Schedule 14 will apply.

  

  

1 

	 	•	 	 The Material Transfer Agreement will include reference to the SOW and respective PROJECT FORM and/or STUDY PROTOCOL under which the MATERIALS are
shipped. 

  

	 	•	 	 Reputable couriers must be used for all shipments and GSK preferred suppliers must be used unless otherwise agreed in writing with GSK.

  

	 	•	 	 Delivery must be made to the delivery address identified in Section 9 above. 

 

	 	•	 	 All legal / customs requirements pertaining to the labelling, packaging, dispatch and delivery of COMPOUNDS must be fulfilled by ChemPartner.

  

	12.	RECOGNITION SCHEME 

 Are
ChemPartner EMPLOYEES working on the PROJECT/s set out in this SOW entitled to benefit from the GSK RECOGNITION SCHEME, in accordance with Schedule 17 of the AGREEMENT? 

 

												
	 Yes
	  	 ̈	 	  		  	No	  	 ̈	  	

  

	13.	COMPENSATION [AMEND AS APPROPRIATE] 

ChemPartner will receive the total FEES as follows: 
  

			
	 TOTAL FEES FOR OUTSOURCED SERVICES
	 	
	 	 	 
	 Purchase Order Number for OUTSOURCED SERVICES
	 	
	 	 	 
	Purchase Order Number for BIOLOGY ADDITIONAL MATERIALS and/or CHEMISTRY ADDITIONAL MATERIALS	 	
	 	
	 	 	 
	 Purchase Order Number for GSK RECOGNITION SCHEME
	 	

 If the SOW is based on ChemPartner EMPLOYEEs; the total FEES will be the sum being calculated by the
amount of ChemPartner EMPLOYEES supplied and multiplied by the agreed rates as set out in Schedule 4 of the AGREEMENT. 

If the SOW is based on a Fee-for-Service basis; the total FEES will be determined either by: 

 

	 	a)	the rate or rates set out in Schedule 4, or 

  

	 	(b)	as agreed in writing between the PARTIES 

There shall be no additional reimbursement of expenses incurred by ChemPartner, unless otherwise agreed in writing between the PARTIES.

  

	14.	PARTIES REPRESENTATIVES [PLEASE FILL IN AS APPROPRIATE] 

GSK Designated Representatives: 
  

  

2 

					
	 	  	 Person primarily responsible for accepting
OUTSOURCED SERVICES and deliverables
(may be
changed anytime by GSK).
	  	 Person primarily responsible for contractual
relationship under this SOW (may be
changed
anytime by GSK).

	 Name:
	  		  	
	 Position:
	  		  	
	 Mailing Address:
	  		  	
	 Telephone:
	  		  	
	 Facsimile:
	  		  	
	 E-mail:
	  		  	

 ChemPartner Designated Representatives: 

 

					
	 	  	 Person primarily responsible for furnishing
OUTSOURCED SERVICES and deliverables
(may
be changed by ChemPartner only with
approval of the GSK contact person
responsible for accepting the OUTSOURCED
SERVICES and DELIVERABLES).
	  	 Person primarily responsible for contractual
relationship under this SOW (may be
changed
anytime by ChemPartner, prior approval from
GSK).

	 Name:
	  		  	
	 Position:
	  		  	
	 Mailing Address:
	  		  	
	 Telephone:
	  		  	
	 Facsimile:
	  		  	
	 E-mail:
	  		  	

  

	15.	INCORPORATION OF AGREEMENT 

The terms and conditions of the AGREEMENT are hereby incorporated by reference into and made a part of this SOW (including any relevant
PROJECT FORM(s) and/or STUDY PROTOCOL(s)). 
  

	16.	ENTIRE AGREEMENT 

 This
SOW (including any relevant PROJECT FORM(s) and/or STUDY PROTOCOL(s)), including the incorporated terms of the AGREEMENT, represents the entire and integrated agreement between ChemPartner and G S K and supersedes all prior negotiations,
representations or agreements, either written or oral, regarding the PROJECT. 
  

	17.	NOTICES 

 All notices
under this SOW and any relevant PROJECT FORM(s) and/or STUDY PROTOCOL(s) shall be sent by registered or certified mail, postage prepaid, or by overnight courier service. Notices pertaining to this SOW and any relevant PROJECT FORM(s) and/or STUDY
PROTOCOL(s) shall be sent to: 
  

					
	 	  	 If to ChemPartner:
	  	 If to GSK

	 Name:
	  		  	
	 Position:
	  		  	
	 Mailing Address:
	  		  	
	 Telephone:
	  		  	
	 Facsimile:
	  		  	
	 E-mail:
	  		  	

  

	18.	GOVERNING LAW AND ALTERNATIVE DISPUTE
RESOLUTION2 

This Agreement is governed by English law. 

Any dispute, controversy or claim from or in connection with this SOW, including any question regarding its existence, validity or
termination, must be submitted to Clause 36 of the AGREEMENT. 
  

	2
	NOTE: In the event two Chinese companies, or GSK Singapore enter into an SOW, PROJECT FORM(s) and/or STUDY PROTOCOL(s), please consult with GSK Legal and the GSK LIASON
LEAD before signature, as certain provisions need to be amended. 

  

  

3 

 IN WITNESS WHEREOF, the PARTIES or their duly authorised, having read this SOW, sign
it in duplicate counterparts and to one effect on the COMMENCEMENT DATE 
  

			
	[INSERT APPROPRIATE GSK BUSINESS UNIT]	  	[INSERT NAME OF ChemPartner]
		
	  
	  	  

	 Name:
	  	Name:
	 Position:
	  	Position:
	 Date:
	  	Date:

  

  

4 

	3.	PROJECT FORM TEMPLATE 

PROJECT FORM FOR CHEMISTRY OUTSOURCED SERVICES 

This PROJECT FORM is entered into under the terms of a STATEMENT OF WORK (“SOW”) numbered [INSERT SOW NUMBER] and
dated [INSERT DATE] (“COMMENCEMENT DATE”) and is made between [PLEASE INSERT APPROPRIATE GSK BUSINESS UNIT ] (“GSK”), registered in
[—], with offices located at [—] and [INSERT NAME OF ChemPartner], (“ChemPartner”), registered in
[—], and having its principal business address at [—]. 

(GSK and ChemPartner are herein referred to each as a “PARTY” and, collectively, as the “PARTIES”). 

 

	1.	BACKGROUND 

  

	 	A)	 This PROJECT FORM is subject to the provisions of the Global Research and Development Outsourced Services Agreement (“AGREEMENT”) made by and
between GLAXOSMITHKLINE RESEARCH AND DEVELOPMENT LIMITED, registered in England and Wales under company number 835139 and having its registered office at 980 Great West Road, Brentford, Middlesex TW8 9GS, United Kingdom and SHANGHAI CHEMPARTNER Co.,
Ltd., registered in China, and having its principal business address at No. 5 Building, 998 Hailei Road, Zhangjiang Hi-Tech Park Pudong New Area, 201203 Shanghai, People’s Republic of China as well as its holding company China Gateway Life
Science (holding) Ltd. (HK) registered in 3/F, Shun Feng International Centre 182 Queen’s Road East, Hong Kong, having an EFFECTIVE DATE of
23rd December, 2009. 

 

	 	B)	The defined terms as used in this PROJECT FORM shall unless otherwise defined herein have attributed to them the same meanings as set out in the AGREEMENT.

  

	 	C)	For what is not expressly regulated in this PROJECT FORM, the PARTIES shall refer to the terms and conditions agreed in the AGREEMENT. 

 

	 	D)	The following shall apply in this PROJECT FORM: 

  

  

5 

	 	(i)	     

  

			
	 PROJECT COMMENCEMENT DATE
	  	[PLEASE INSERT]
		
	 GSK BUSINESS UNIT
	  	[PLEASE INSERT]
		
	 PROJECT Title
	  	[PLEASE INSERT]
		
	Please provide estimated time of synthesis to prepare x g/mgs/mmols of the following COMPOUND(s)	  	[PLEASE INSERT]
		  	
		  	
		
	 ID Number (optional)
	  	[PLEASE INSERT]
		  	
		  	
	Chemistry Complexity (Refer to Section 2.2.1 (D) of Schedule 6)	  	[PLEASE INSERT]

  

	 	(ii)	Chemical Structures [PLEASE INSERT] 

  

	 	(iii)	Suggested Route (if available) [PLEASE INSERT] 

  

	 	(iv)	Key References (if available) [PLEASE INSERT] 

  

	 	(v)	Required MATERIALS and CHEMISTRY ADDITIONAL MATERIALS [INCLUDE DESCRIPTION OF ANY MATERIALS BEING PROVIDED TO ChemPartner AND IDENTIFY WHETHER THEY ARE
PROPRIETARY TO GSK OR NOT] 

  

	 	(vi)	Any additional terms and conditions [PLEASE INSERT] 

IN WITNESS WHEREOF, the PARTIES or their duly authorised, having read this PROJECT FORM, sign it in duplicate counterparts and to
one effect on the COMMENCEMENT DATE. 
  

			
	[INSERT APPROPRIATE GSK BUSINESS UNIT]	  	[INSERT NAME OF ChemPartner]
		
	  
	  	  

	Name:	  	Name:
	Position:	  	Position:
	Date:	  	Date:

  

  

6 

	4.	STUDY PROTOCOL TEMPLATE FOR BIOLOGY AND DMPK OUTSOURCED SERVICES 

STUDY PROTOCOL FOR BIOLOGY AND DMPK OUTSOURCED SERVICES 

This STUDY PROTOCOL is entered into under the terms of a STATEMENT OF WORK (“SOW”) numbered [INSERT SOW NUMBER] and dated
[INSERT DATE] (“COMMENCEMENT DATE”) and is made between [PLEASE INSERT APPROPRIATE GSK BUSINESS UNIT] (“GSK”), registered in [—], with offices
located at [—] and [INSERT NAME OF ChemPartner], (“ChemPartner”), registered in [—], and having its principal business
address at [—]. 
 (GSK and ChemPartner are herein referred to each as a “PARTY”
and, collectively, as the “PARTIES”). 
  

	1.	BACKGROUND 

  

	(I)	 This STUDY PROTOCOL is subject to the provisions of the Global Research and Development Outsourced Services Agreement (“AGREEMENT”) made by
and between GLAXOSMITHKLINE RESEARCH AND DEVELOPMENT LIMITED, registered in England and Wales under company number 835139 and having its registered office at 980 Great West Road, Brentford, Middlesex TW8 9GS, United Kingdom and SHANGHAI CHEMPARTNER
Co., Ltd., registered in China, and having its principal business address at No. 5 Building, 998 Hailei Road, Zhangjiang Hi-Tech Park Pudong New Area, 201203 Shanghai, People’s Republic of China as well as its holding company China Gateway Life
Science (holding) Ltd. (UK) registered in 3/F, Shun Feng International Centre 182 Queen’s Road East, Hong Kong, having an EFFECTIVE DATE of
23rd December, 2009. 

 

	(II)	The defined terms as used in this STUDY PROTOCOL shall unless otherwise defined herein have attributed to them the same meanings as set out in the AGREEMENT.

  

	(III)	For what is not expressly regulated in this STUDY PROTOCOL, the PARTIES shall refer to the terms and conditions agreed in the AGREEMENT. 

 

	(IV)	The following shall apply in this STUDY PROTOCOL: 

  

			
	STUDY PROTOCOL reference	  	
		
	COMMENCEMENT DATE	  	[PLEASE INSERT]
		
	GSK BUSINESS UNIT	  	[PLEASE INSERT]
		
	STUDY PROTOCOL Title	  	[PLEASE INSERT]

ChemPartner shall comply with the guidelines for providing biological DATA on COMPOUNDS, as described in Section 7 of Schedule
16. [SHOULD THE GUIDELINES BE MORE SPECIFIC FROM THE ONES INDICATED IN SECTION 7 OF SCHEDULE 16, PLEASE SPECIFY] 
  

	2.	BIOLOGY OUTSOURCED SERVICES [PLEASE FILL IN AS APPROPRIATE] 

  

	 	(A)	     

  

  

7 

			
	*	  	[PLEASE INSERT]
		
	1	  	[PLEASE INSERT]
		
	*	  	
		  	[PLEASE INSERT]
		  	
		
	*	  	[PLEASE INSERT]
		
	*	  	[PLEASE INSERT]

  

	(B)	Detail of REAGENTS to be generated and quality control criteria. To include information on any relevant methods, literature [PLEASE INSERT]

  

	(C)	Detail of ASSAY or model to be established. To include information on method, REAGENTS and activity of pharmacological standards [PLEASE INSERT]

  

	(D)	Detail of DATA analyses and quality control [PLEASE INSERT] 

  

	(E)	Required MATERIALS and BIOLOGY ADDITIONAL MATERIALS [INCLUDE DESCRIPTION OF ANY MATERIALS BEING PROVIDED TO ChemPartner AND IDENTIFY WHETHER THEY ARE PROPRIETARY
TO GSK OR NOT] 

  

	(F)	Any additional terms and conditions [PLEASE INSERT] 

  

	3.	DMPK OUTSOURCED SERVICES [PLEASE FILL IN AS APPROPRIATE] LIFE PHASE: 

 

	(A)	

  

			
	*	  	[PLEASE INSERT]
		
	*	  	[PLEASE INSERT]
		
	*	  	[PLEASE INSERT]
		
	*	  	[PLEASE INSERT]
		
	*	  	[PLEASE INSERT]
		
	*	  	[PLEASE INSERT]
		
	*	  	[PLEASE INSERT]

  

	(B)	Required MATERIALS and BIOLOGY ADDITIONAL MATERIALS [INCLUDE DESCRIPTION OF ANY MATERIALS BEING PROVIDED TO ChemPartner AND IDENTIFY WHETHER THEY ARE PROPRIETARY TO GSK
OR NOT] 

  
  

	1
	 Indicates where text has been omitted pursuant to a request for confidential treatment under Rule 406 of the Securities Act of 1933, as amended. The
omitted materials have been filed separately with the Securities and Exchange Commission. 

  

  

8 

	(C)	Any additional terms and conditions [PLEASE INSERT] 

IN WITNESS WHEREOF, the PARTIES or their duly authorised, having read this STUDY PROTOCOL, sign it in duplicate counterparts and
to one effect on the COMMENCEMENT DATE. 
  

			
	[INSERT APPROPRIATE GSK BUSINESS UNIT]	  	[INSERT NAME OF ChemPartner]
		
	  
	  	  

	Name:	  	Name:
	Position:	  	Position:
	Date:	  	Date:

  

  

9 

 SCHEDULE 3 

RESEARCH AGREEMENT 
  

  

	
	Please note that the content of this document will vary on a PROGRAM-by-PROGRAM basis. Consequently should not be used as a definitive template. Contact GSK Legal and GSK LIASON
LEAD for assistance.

 RESEARCH AGREEMENT 

This Research Agreement (“RESEARCH AGREEMENT”) is made as of [—],
[—] (“COMMENCEMENT DATE”), by and between [PLEASE INSERT APPROPRIATE GSK BUSINESS UNIT] (“GSK”), registered in
[—], with offices located at [—] and [INSERT NAME OF ChemPartner], (“ChemPartner”), registered in
[—], and having its principal business address at [—]. 

GSK and ChemPartner may be referred to herein individually as a “PARTY” or collectively as the “PARTIES”. 

WHEREAS: 
  

	I.	 This RESEARCH AGREEMENT is subject to the provisions of the Global Research and Development Outsourced Services Agreement (“AGREEMENT”) made
by and between GLAXOSMITHKLINE RESEARCH AND DEVELOPMENT LIMITED, registered in England and Wales under company number 835139 and having its registered office at 980 Great West Road, Brentford, Middlesex TW8 9GS, United Kingdom and SHANGHAI
CHEMPARTNER Co., Ltd., registered in China, and having its principal business address at No. 5 Building, 998 Hailei Road, Zhangjiang Hi-Tech Park Pudong New Area, 201203 Shanghai, People’s Republic of China as well as its holding company China
Gateway Life Science (holding) Ltd. (UK) registered in 3/F, Shun Feng International Centre 182 Queen’s Road East, Hong Kong, having an EFFECTIVE DATE of
23rd December, 2009. 

 

	II.	The Parties intend for this RESEARCH AGREEMENT to outline the execution of the FULLY INTEGRATED SERVICES (“FIS”) relating to the [INSERT NAME OF
PROGRAM] (“PROGRAM”) of the GSK BUSINESS UNIT [PLEASE INSERT NAME OF GSK BUSINESS UNIT] (“ “)] to be conducted by ChemPartner. 

 

	III.	For the purposes of this RESEARCH AGREEMENT, the terms used shall have the same meaning as set forth in the AGREEMENT, unless otherwise specified herein.

  

	IV.	For what is not expressly regulated in this RESEARCH AGREEMENT, the PARTIES shall refer to the terms and conditions agreed in the AGREEMENT. 

NOW, THEREFORE, in consideration of the covenants and obligations expressed herein, the PARTIES agree as follows: 

(A) DEFINITIONS [PLEASE INSERT DEFINITIONS THAT ARE NOT INCLUDED IN THE AGREEMENT OR SHALL HAVE A DIFFERENT MEANING FOR THE PROGRAM] 

 

  

1 

 The following terms shall have the following meanings when used in this RESEARCH AGREEMENT: 

 

			
	“BACKUP COMPOUND”	  	means [—]
		
	“CANDIDATE SELECTION”	  	means [—]
		
	“FIELD”	  	means [—]
		
	“GSK TARGET”	  	means [—]
		
	“PRE-CANDIDATE”	  	means [—]
		
	“MILESTONES”	  	means [—]
		
	“PILOT PROJECT”	  	means [—]
		
	“REGULATORY SUBMISSION”	  	means [—]
		
	“RESEARCH TERM”	  	means [—]
		
	“RIGHT OF FIRST NEGOTIATION”	  	means [—]

  

	4.	SCOPE OF PROGRAM 

  

	4.1	The primary objective of this PROGRAM shall be the identification and development of [—]. 

 

	4.2	GSK shall outline the characteristics and specific requirements of this PROGRAM, by means of a RESEARCH PLAN, as detailed in Annex 1. 

 

	4.3	The RESEARCH PLAN shall include research activities of [LEAD OPTIMISATION to PRE-CANDIDATE SELECTION]. The RESEARCH PLAN shall contain the following information:

  

	 	(i)	RESEARCH PLAN, as described in Annex 1 and; 

  

	 	(ii)	Technical Operating Plan, as detailed in Annex 2 

The PARTIES acknowledge that the primary focus of this PROGRAM will be on the GSK TARGET as determined by GSK. The LEAD OPTIMISATION activities will be
novel / de novo, unless otherwise agreed in writing by GSK. 
  

	4.4	ChemPartner shall use COMMERCIALLY REASONABLE EFFORTS to conduct this PROGRAM in accordance with the RESEARCH PLAN, consistent with the goals stated therein. If either
PARTY desires to amend or expand the RESEARCH PLAN, the PARTIES shall, upon reasonable notice of the proposed modification by the PARTY desiring the CHANGE, confer in good faith to determine the desirability of amendment. Any such amendment shall
not be effective unless agreed in writing by the PARTIES. 

  

	5.	PROGRAM PERFORMANCE 

  

	5.1	ChemPartner’s performance will be judged on the ability to deliver the FIS against GSK TARGET of quantity, quality and timeliness as set out in Annex 1 and
Annex 3. Inherent within this will be an assessment of ChemPartner’s ability to design novel target CANDIDATE molecules and the synthetic routes required to produce said molecules, using [Integrated Drug Discovery ODD - iterative
medicinal chemistry, biochemistry, cell biology, selectivity ASSAYS, developability ASSAYS, DMPK studies, IN VIVO STUDIES] to drive the PROGRAM to identification of at least one successful “PRE-CANDIDATE SELECTION” COMPOUND within
[—] years from the COMMENCEMENT DATE. [This effort will be conducted in full collaboration with [INSERT NAME OF GSK BUSINESS UNIT] 

 

  

2 

	5.2	The RESEARCH PLAN will be successful if the received COMPOUNDS are delivered according to the quality control and delivery timetable set out in Annex 1.

  

	6.	TERM 

  

	6.1	The term of the PROGRAM shall begin on the COMMENCEMENT DATE and shall terminate as stated in the RESEARCH PLAN. 

 

	7.	FUNDING OF THE PROGRAM 

In consideration for ChemPartner’s performance under the PROGRAM, GSK shall pay ChemPartner the FEES detailed in Annex 4.

  

	8.	MANAGEMENT OF THE PROGRAM 

  

	8.1	PROGRAM TEAM 

  

	8.1.1	Creation of the PROGRAM TEAM 

Within five (5) days of the date on which PARTIES agreed on the RESEARCH PLAN, the PARTIES will establish a program team
(“PROGRAM TEAM”) for the PROGRAM, as detailed below. 
 The PROGRAM TEAM shall be created by ChemPartner and approved
by the JOINT STEERING COMMITTEE (as described in Section 5 of Schedule 5 of the AGREEMENT), in accordance with the key requirements for the selection of the PROGRAM TEAM outline by GSK in the RESEARCH PLAN. 

 

	8.1.2	Composition of the PROGRAM TEAM 

[TO BE AGREED BY THE PARTIES IN ACCORDANCE WITH THE NEEDS OF THE PROGRAM. SPECIFY REQUIRED QUALIFICATIONS FOR THE TEAM
MEMBERS] 
  

	8.1.3	Meetings of the PROGRAM TEAM 

[The PROGRAM TEAM shall meet with such frequency as GSK and ChemPartner shall mutually determine to be reasonable, but not less than on a
quarterly basis either in person or by videoconference or teleconference.] 
 The above communications will be captured in
minutes. The PARTIES will agree in advance which PARTY is responsible for drafting the minutes. A copy of said minutes will be distributed by the responsible PARTY to the other. 

Each PARTY shall be responsible for expenses incurred by their representatives when attending or otherwise participating in the PROGRAM
TEAM meetings. 
  

	8.1.4	Responsibilities 

 The PROGRAM
TEAM shall be responsible for overseeing the PROGRAM, including, without limitation: 
  

	 	A)	drafting the RESEARCH PLAN for the particular COMPOUND for which it has responsibility; 

 

	 	B)	implementing the RESEARCH PLAN; 

  

	 	C)	providing for exchange of information and materials relating to the PROGRAM; 

  

  

3 

	 	D)	updating plans for the RESEARCH PLAN at least annually and, as necessary, from time to time to appropriately account for any medical, scientific, regulatory or other
changes or delays which are beyond either PARTY’s reasonable control; 

  

	 	E)	submitting the plans and work referred to in (a) and (d) to the JOINT RESEARCH COMMITTEE for its approval; 

 

	 	F)	ensuring that a smooth transition will happen at designation of a COMPOUND for the stages detailed in Annex 3; 

 

	 	G)	providing regular updates for, and report to, the JOINT RESEARCH COMMITTEE on matters relating to its area of responsibility. Without prejudice to above, the relevant
PROGRAM TEAM shall always discuss and determine, as promptly as possible, appropriate actions required where any timelines referred to in the particular RESEARCH PLAN will be delayed in any material respect. 

 

	8.2	PROGRAM LEADER 

  

	8.2.1	Within five (5) days of the date on which PARTIES agreed on the RESEARCH PLAN, the PARTIES will appoint a program leader (“PROGRAM LEADER”) for the
PROGRAM as detailed below: 

 The PROGRAM LEADER for the PROGRAM will be
[—]. 
  

	8.2.2	Responsibilities 

 The PROGRAM
LEADER shall be responsible for, including, without limitation: 
  

	 	A)	coordination of the PROGRAM and primary contact for [INSERT GSK BUSINESS UNIT] with respect to the PROGRAM. 

 

	 	B)	all decisions made in connection with the PROGRAM shall be under the control of the PROGRAM LEADER with due consideration given to any comments and input from the
PROGRAM TEAM and [INSERT GSK BUSINESS UNIT]. 

  

	 	C)	chairing the meetings of the PROGRAM TEAM. 

  

	 	D)	duty of care and responsibility regarding the compliance of the member of the PROGRAM TEAM with regards to GSK instructions on DATA management and recording in each
PROGRAM, as described in Schedule 13 and Schedule 14 of the AGREEMENT. 

  

	9.	RESEARCH RESULTS – REPORTING 

  

	9.1	The PROGRAM TEAM shall notify the JOINT RESEARCH COMMITTEE the activities conducted under the PROGRAM and the DATA, results and conclusions generated by the work
performed hereunder (“RESEARCH RESULTS”). The RESEARCH RESULTS shall be reported to the JOINT RESEARCH COMMITTEE as follows: 

  

	 	•	 	 Within sixty (60) days after completion of stage [—] of the PROGRAM, the PROGRAM LEADER shall
provide GSK with a written report summarizing the Stage/s [—] of the RESEARCH RESULTS. 

  

	 	•	 	 Within sixty (60) days after completion of stage [—] of the PROGRAM, the PROGRAM LEADER shall
provide GSK with a written report summarizing the Stage/s [—] of the RESEARCH RESULTS. 

  

	9.2	[The reports and the RESEARCH RESULTS provided by the PROGRAM TEAM LEADER shall be deemed to be CONFIDENTIAL to and exclusively owned by GSK (in accordance with
Clause 15 of the AGREEMENT). ChemPartner shall take such measures to protect the reports and the RESEARCH RESULTS as it uses to protect its own proprietary information.] 

 

  

4 

	10.	CHANGES OR ABANDONING RESEARCH PROGRAMS 

  

	10.1	In the event ChemPartner does not deliver in accordance with Section 2, GSK will have the flexibility to: 

 

	 	(a)	change the focus of the PROGRAM and even the LEAD COMPOUND following a discussion with the JOINT RESEARCH COMMITTEE. 

 

	 	(b)	terminate the RESEARCH AGREEMENT; or 

  

	 	(c)	start a new RESEARCH AGREEMENT either for the remaining term or an alternative term. 

 

	10.2	Abandonment. During the RESEARCH PROGRAM, GSK shall have the right voluntarily to terminate its participation in a RESEARCH PROGRAM when: 

 

	 	(a)	If the JOINT STEERING COMMITTEE determines that the CANDIDATE SELECTION CRITERIA for a COMPOUND has not been met and, despite further efforts, cannot be met.

  

	 	(b)	[—] 

  

	11.	INTELLECTUAL PROPERTY RIGHTS AND CONFIDENTIALITY 

[TO BE DISCUSSED AND AGREED BY THE PARTIES] 
  

	12.	PUBLICATIONS 

 [TO BE
DISCUSSED AND AGREED BY THE PARTIES] 
  

	13.	NON COMPETE [DELETE OR AMEND] 

ChemPartner shall during the RESEARCH TERM (and any extensions thereof) (i) conduct any discovery or research activities either
directly or indirectly on the LEAD COMPOUND under a PROGRAM, outside the scope of and independently related to such RESEARCH PROGRAM and/or (ii) undertake any pre-clinical or clinical RESEARCH work on the LEAD COMPOUND which result from such
PROGRAM referred outside the scope and independently from the PROGRAM as long as such LEAD COMPOUND is under research by GSK. 
  

	14.	TERMINATION 

 [TO BE
DISCUSSED AND AGREED BY THE PARTIES] 
  

	15.	MISCELLANEOUS 

  

	15.1	This RESEARCH AGREEMENT together with all Annexes contains all the terms agreed between the PARTIES regarding its subject matter and supersedes any prior agreement,
understanding or arrangement between the PARTIES, whether oral or in writing. No representation, undertaking or promise shall be taken to have been given or be implied from anything said or written in negotiations between the PARTIES prior to this
RESEARCH AGREEMENT except as expressly stated in this RESEARCH AGREEMENT. Neither PARTY shall have any remedy in respect of any untrue statement made by the other upon which that PARTY relied in entering into this RESEARCH AGREEMENT (unless such
untrue statement was made fraudulently) and that PARTY’s only remedies shall be for breach of contract as provided in this RESEARCH AGREEMENT. 

 

  

5 

	15.2	Notices given under this RESEARCH AGREEMENT shall be in writing and addressed as follows: 

 

			
	 If to GSK:

Attention:
  

Address:
 Tel:

Fax:
 Email:
	  	 With a copy to:
  

Attention [—]

		
	 If to ChemPartner:
 Attention:

 Address: [—]

Tel: [—]

Fax: [—]

Email: [—]
	  	 With a copy to:

[—]

  

	15.3	This RESEARCH AGREEMENT does not cancel or supersedes the AGREEMENT. In cases of discrepancy between the RESEARCH AGREEMENT and the AGREEMENT, the terms and conditions
of the AGREEMENTS will prevail. 

 IN WITNESS WHEREOF, the PARTIES have caused this RESEARCH AGREEMENT to
be executed by their duly authorized representatives as of the COMMENCEMENT DATE. 
  

  

6 

			
	[INSERT APPROPRIATE GSK BUSINESS UNIT]	  	[INSERT ChemPartner LEGAL ENTITY]
		
	  
	  	  

	Name:	  	Name:
	Position:	  	Position:
	Date:	  	Date:

  

  

7 

 ANNEX 1 

RESEARCH PLAN 

[Note: Please specify known scientific data/information on the PROGRAM and specific GSK BUSINESS UNIT baseline objectives based on what could be
achieved from the current known points, e.g. improvements on potency, etc] 
  

	1.	FULLY INTEGRATED SERVICES [PLEASE DESCRIBE SERVICES] 

  

	2.	QUALIFICATIONS OF PROGRAM TEAM MEMBERS 

  

	3.	DELIVERABLES [GSK TO INSERT DELIVERABLES AND OTHER REQUIREMENTS. DELETE OR AMEND AS APPROPRIATE] 

 

	 	A.	GENERAL REQUIREMENTS [AMEND OR DELETE AS APPROPRIATE] 

 

	 	B.	PERFORMANCE MEASUREMENTS 

  

	 	[—]	     

  

	 	C.	STABILITY TESTS 

  

	 	[—]	     

  

	 	D.	QUALITY 

  

	4.	DATA integrity and DATA recording 

ChemPartner must ensure that all work on each PROGRAM is recorded in GSK paper laboratory notebooks (pLNBs), with cross referencing to
supplementary DATA, as agreed between the PARTIES. 
 [If eLNB are used, please use the following:
“ChemPartner must ensure that all work on each PROGRAM is recorded in electronic laboratory notebooks
(eLNBs)1
, with cross-referencing to supplementary DATA, as agreed between the PARTIES.] 

All DATA arising out of or in connection with the PROGRAM(s) shall comply with the good DATA integrity practices as detailed in Appendix 1
of Schedule 14 and shall be recorded in accordance with the processes detailed in Schedule 14. 
 All DATA arising
out of or in connection with the PROGRAM(s) shall comply with the record keeping and record retention periods as agreed in Clause 19 of the AGREEMENT and in Schedule 13 of the AGREEMENT. 

 

	5.	PRIORITISATION [AMEND OR DELETE AS APPROPRIATE] 

[GSK to give clear guidance on the prioritization of the FIS]. 

The prioritisation of the FIS may be changed at any time by GSK. 

 

	1
	Note that when using eLNBs for recording the DATA, the business rules attached as Appendix 2 to Schedule 14 will apply. 

	6.	DELIVERY FORMAT 

[GM TO INCLUDE DETAILS AS APPROPRIATE] 
  

	7.	DELIVERY ADDRESS 

[GSK TO INCLUDE DETAILS AS APPROPRIATE] 
  

	8.	MATERIALS and SHIPMENT 

  

	 	A.	MATERIALS 

 GSK may, if
required, supply appropriate BIOLOGICAL ADDITIONAL MATERIALS and/or CHEMISTRY ADDITIONAL MATERIALS to ChemPartner. 
 For
BIOLOGICAL ADDITIONAL MATERIALS and/or CHEMISTRY ADDITIONAL MATERIALS, the PARTIES will refer to Clause 12 of the AGREEMENT. 

MATERIALS may be proprietary and should not be used by ChemPartner for any other purpose other than for conducting a PROGRAM. Any EXCESS
MATERIALS or intermediates derived from the MATERIALS may be required to be returned to GSK at the completion of a PROGRAM at no extra charge for GSK. 
  

	 	B.	SHIPMENT [AMEND OR DELETE AS APPROPRIATE] 

  

	 	1.	Where applicable, all MATERIALS must be shipped according to the UN recommendations on the transport of dangerous goods model regulations or mode specific regulation if
more restrictive, and in accordance with the respective Material Transfer Agreement, as detailed in Schedule 8 of the AGREEMENT. 

  

	 	2.	The Material Transfer Agreement will include reference to the RESEARCH AGREEMENT under which the MATERIALS are shipped. 

 

	 	3.	Reputable couriers must be used for all shipments and GSK preferred suppliers must be used unless otherwise agreed in writing with GSK. 

 

	 	4.	Delivery must be made to the delivery address identified in Section 9 above. 

 

	 	5.	All legal / customs requirements pertaining to the labelling, packaging, dispatch and delivery of COMPOUNDS must be fulfilled by ChemPartner. 

 

  

9 

 ANNEX 2 

TECHNICAL OPERATING PLAN 

[PLEASE SPECIFY WAYS OF WORKING BETWEEN THE PARTIES IN REGARDS TO THE SCIENCE, COMMUNICATIONS, ChemPartner DECISION MAKING, ETC.]

  

  

10 

 ANNEX 3 

STAGES OF THE PROGRAM 

[Note: ABILITY TO DELIVER FIS AGAINST TARGETS OF QUALITY, QUANTITY AND TIMELINES. INSERT SPECIFIC CRITERIA FOR THE PROGRAM] 

  

  

11 

 ANNEX 4 

FUNDING OF PROGRAM 

[INSERT DETAILS] 
  

  

12 

 SCHEDULE 4 

COMMERCIAL FEES AND PAYMENT 
  

  

	1.	INTRODUCTION 

  

	1.1	FEES 

  

	1.1.1	This Schedule describes the rates and methodologies for calculating the FEES payable for the performance of the OUTSOURCED SERVICES. 

 

	1.1.2	For OUTSOURCED SERVICES, the PARTIES may agree to the following commercial models and FEES structure: 

 

	 	A)	FUNCTIONAL DISCOVERY OUTSOURCE SERVICES based on the * (as described in Section 2); 

 

	 	B)	FLEXIBLE DISCOVERY OUTSOURCED SERVICES based on the * (as described in Section 2); 

 

	 	C)	* as described in Section 3, or as agreed by the PARTIES; or 

  

	 	D)	FULLY INTEGRATED SERVICES, based on the following commercial principles: 

  

	 	(i)	* 

  

	 	(ii)	* 

  

	1.1.3	The PARTIES acknowledge and agree that GSK will not be charged for the OUTSOURCED SERVICES unless a specific rate or FEES are set out in this Schedule, or agreed in
writing by the PARTIES (prior approval from GSK LIASON LEAD). 

  

	1.1.4	The FEES shall include all costs and expenses (borne by ChemPartner) associated with the provision of the OUTSOURCED SERVICES to GSK including, but not limited
to: 

  

	 	A)	* 

  

	 	B)	* 

  

	 	C)	* 

  

	 	D)	* 

  

	 	E)	* 

  

	 	F)	* 

  

	 	G)	* 

  

	 	H)	* 

  

	1.2	Inflation 

  

	*	Indicates where text has been omitted pursuant to a request for confidential treatment under Rule 406 of the Securities Act of 1933, as amended. The omitted materials
have been filed separately with the Securities and Exchange Commission. 

  

  

1 

 ChemPartner acknowledges that the FEES and rates include inflation and all other costs
implications on ChemPartner’s cost base, and that, the FEES and rates will not be subject to any indexation or other increases during the TERM of this AGREEMENT. 
  

	2.	CHEMPARTNER EMPLOYEES FEES 

ChemPartner EMPLOYEES employed for the provision of the OUTSOURCED SERVICES will be charged at the following * FEES and rates
during the TERM of the AGREEMENT. 
 The FEES shall be in US Dollars and will be calculated * per annum; or pro-rata for
any period of less than a CONTRACT YEAR (“ChemPartner EMPLOYEE FEE”). 
 The FEES shall be calculated in RMB only for
OUTSOURCED SERVICES that are contracted by GSK R&D China. 
 * FEEs : 

 

							
	 OUTSOURCED SERVICES
	 	 FUNCTIONAL

Chemistry
	 	 FUNCTIONAL

Biology
	 	 FLEXIBLE DISCOVERY

OUTSOURCED SERVICES

				
	ChemPartner EMPLOYEE FEE	 	*	 	*	 	*
				
	 OUTSOURCED SERVICES
	 	 FUNCTIONAL

Chemistry
	 	 FUNCTIONAL

Biology
	 	 FLEXIBLE DISCOVERY
OUTSOURCED
SERVICES

				
	ChemPartner EMPLOYEE FEE	 	*	 	*	 	*

 Note 1: The exchange
rate assumption from * is USD: RMB = * 
 Note 2: The RMB rate is inclusive of the local 5% business tax 

ChemPartner * FEEs: 
  

							
	 OUTSOURCED SERVICES
	 	 FUNCTIONAL

Chemistry
	 	 FUNCTIONAL

Biology
	 	 FLEXIBLE DISCOVERY
OUTSOURCED
SERVICES

				
	ChemPartner EMPLOYEE FEE	 	*	 	*	 	*
				
	 OUTSOURCED SERVICES
	 	 FUNCTIONAL

Chemistry
	 	 FUNCTIONAL

Biology
	 	 FLEXIBLE DISCOVERY
OUTSOURCED
SERVICES

				
	ChemPartner EMPLOYEE FEE	 	*	 	*	 	*

  

	*	Indicates where text has been omitted pursuant to a request for confidential treatment under Rule 406 of the Securities Act of 1933, as amended. The omitted materials
have been filed separately with the Securities and Exchange Commission. 

  

  

2 

 Note 1: The exchange rate assumption from * is USD: RMB = * 

Note 2:*. The actual FEES are reflective in the RMB CHEMPARTNER EMPLOYEE FEES referenced above. 

Note 3: The RMB rate is inclusive of the local 5% Business Tax. 

 

	3.	* COMMERCIAL MODEL AND FEES 

  

	3.1	Depending on the type and nature of the OUTSOURCED SERVICES required by GSK, the PARTIES may agree to a * commercial model. 

 

	3.2	For DMPK Services, the PARTIES have agreed in due course. 

  

	3.3	Except for the FEES which are going to be established for DMPK as described in 3.2 above, any FEES based on the * commercial model corresponding to other
OUTSOURCED SERVICES shall be calculated on either a * basis or * (as appropriate), and agreed in writing by the PARTIES. 

  

	4.	REDUCTION OF FEES 

  

	4.1	During a SERVICE PROBLEM period (as described in Clause 10.1 of the AGREEMENT), should ChemPartner be required to conduct any REWORKS, these shall be undertaken by
ChemPartner at its own cost and shall deduct the respective FEES originally charged for the OS resulting in the SERVICE PROBLEM: 

  

	 	A)	from the next invoice issued; or 

  

	 	B)	as a deduction from the final FEES; or 

  

	 	C)	as a refund in favour of GSK; or 

  

	 	D)	as agreed by the PARTIES 

  

	5.	SERVICE DEFAULT 

  

	5.1	During a SERVICE DEFAULT period (as described in Clause 10.2 of the AGREEMENT), should ChemPartner be required to conduct any REWORKS, these shall be undertaken by
ChemPartner at its own cost and shall deduct the respective FEES originally charged for the OS resulting in the SERVICE DEFAULT: 

  

	 	A)	as a refund in favour of GSK 

  

	6.	INVOICING AND PAYMENT 

  

	6.1	Invoicing 

  

	 	A)	ChemPartner shall invoice GSK monthly in arrears during the TERM of the AGREEMENT in accordance with this Section 6.1. 

 

	*	Indicates where text has been omitted pursuant to a request for confidential treatment under Rule 406 of the Securities Act of 1933, as amended. The omitted materials
have been filed separately with the Securities and Exchange Commission. 

  

  

3 

	 	B)	ChemPartner shall issue an invoice corresponding to each month’s FEES per STATEMENT OF WORK(s) and/or RESEARCH PROGRAM AGREEMENT(s). The invoice shall contain the
following data: 

  

	 	(1)	Invoice Number; 

  

	 	(2)	Invoice Date; 

  

	 	(3)	Commencement Date of the relevant STATEMENT OF WORK and/or RESEARCH PROGRAM AGREEMENT; 

 

	 	(4)	Purchase Order (PO) Number reference; 

  

	 	(5)	Dates of OUTSOURCED SERVICES covered by the invoice; 

  

	 	(6)	Payee Name and Address; 

  

	 	(7)	Tax ID / VAT Number; 

  

	 	C)	Any BIOLOGY ADDITIONAL MATERIALS and/or CHEMISTRY ADDITIONAL MATERIALS costs shall be invoiced quarterly separately incorporating point 1 to 7 as indicated above and in
accordance with Clause 12.6 and 12.7 of the AGREEMENT. In addition, ChemPartner shall provide the invoice together with any supporting documentation relating to the actual cost of the BIOLOGY ADDITIONAL MATERIALS and/or CHEMISTRY ADDITIONAL
MATERIALS obtained from THIRD PARTIES and with the corresponding reference to GSK prior approval. 

  

	 	D)	All payments, in accordance with the GSK RECOGNITION SCHEME (Schedule 17) shall be invoiced separately (incorporating points 1, 2, 3, 4, 6 and 7 as indicated
above) during the month the cash award is provided by GSK. In addition, ChemPartner shall provide the respective GSK DESIGNATED REPRESENTATIVE with confirmation that the cash award has been paid out to the ChemPartner EMPLOYEE as soon as it takes
place. 

  

	 	E)	All invoices for SOW(s) and/or RESEARCH AGREEMENT(s) that are signed by GlaxoSmithKline Research and Development Limited shall be submitted through Open Business
Exchange, or as indicated by GSK from time to time. 

  

	 	F)	All invoices for SOW(s) and/or RESEARCH AGREEMENT(s) that are signed by GlaxoSmithKline LLC shall be sent for payment to the following address (or as indicated by GSK
from time to time): 

 PO Box 981499 

El Paso, 

Texas 79998-1499 
  

	 	G)	All invoices for SOW(s) and/or RESEARCH AGREEMENT(s) that are signed by GlaxoSmithKline (China) R&D Co., Ltd shall be sent for payment to the following address (or
as indicated by GSK from time to time): 

 Attn. Finance Department 

No. 3 Building 898 Halei Road 

Zhangjiang Hi-tech Park, Pudong New area 

Shanghai 201203 
  

  

4 

	 	H)	All invoices for SOW(s) and/or RESEARCH AGREEMENT(s) that are signed by GSK FRANCE shall be sent for payment to the following address (or as indicated by GSK from time
to time): 

 Laboratoires GlaxoSmithKline, S.A.S 

Comptabilité Fournisseurs 

ZI N° 2 

23 rue Lavoisier 

BP 118 
 27091
Evreux Cedex 9, France 
  

	6.2	Payment Terms 

 Subject to the
invoices complying with the requirements set out in Section (a) (ii) above described, GSK shall pay an invoice within sixty (60) WORKING DAYS from the receipt of invoice, ChemPartner shall notify GSK as soon as reasonably practicable
in writing that it has not received such approval. GSK shall not unduly withhold approval. 
 In the event the PARTIES have
disagreement on the applicable FEES, GSK may be entitled to withhold approval of payment of such FEES and refer the matter to the GSK LIASON LEAD and ChemPartner LIASON LEAD. Should the discrepancy persist; the PARTIES shall refer to the OUTSOURCED
SERVICES MANAGEMENT BOARD for resolution in a timely manner. 
 In case of late payment of the FEES, ChemPartner shall be
entitled to charge GSK interest on the amount due at the rate of * per month above LIBOR (but in no event to exceed the highest rate of interest permitted by law). This should be calculated from the date that such FEES were due in accordance
with this Section until payment is made in full. 
  

	6.3	Payment Details 

 The FEES shall
be paid into the bank account indicated below, or to any other bank account indicated to GSK by ChemPartner in writing from time to time: 

Notwithstanding the above, GSK shall not make any payment into bank accounts located in tax havens, unless otherwise approved by GSK
Finance and GSK Legal. 
  

			
	Bank Name:	  	*
		
	Currency:	  	USD
		
	Bank Address: 	  	*
		
	SWIFT CODE: 	  	*
		
	Ultimate Beneficiary Name:	  	China Gateway Life Science (Holdings) Limited
		
	Ultimate Beneficiary Account #: 	  	*
		
	Email for wire remittance notification:	  	ytao@chempartner.cn
		
	Correspondent Bank Information:	  	

  

	*	Indicates where text has been omitted pursuant to a request for confidential treatment under Rule 406 of the Securities Act of 1933, as amended. The omitted materials
have been filed separately with the Securities and Exchange Commission. 

  

  

5 

			
	Bank Name:	  	*
		
	Swift Code:	  	*
		
	Account #:	  	*

  

	6.4	Refunds and Credits 

 If
ChemPartner receives a refund, credit or other rebate in relation to BIOLOGY ADDITIONAL MATERIALS and/or CHEMISTRY ADDITIONAL MATERIALS previously paid for by GSK, ChemPartner shall, within five (5) WORKING DAYS, notify the GSK LIASON LEAD and
the GSK DESIGNATED REPRESENTATIVE of such refund, credit or rebate and shall promptly pay the full amount of such refund, credit or rebate, as the case may be, to GSK. 
  

	6.5	Accountability records 

ChemPartner shall provide GSK with any supporting documentation and/or any further information with respect to each invoice as may be
reasonably requested by GSK, in order to verify the accuracy of the invoice and compliance with the provisions of the AGREEMENT and applicable laws. 

 

	*	Indicates where text has been omitted pursuant to a request for confidential treatment under Rule 406 of the Securities Act of 1933, as amended. The omitted materials
have been filed separately with the Securities and Exchange Commission. 

  

  

6 

 SCHEDULE 5 

GOVERNANCE 
  

  

	1.	INTRODUCTION 

 This
Schedule sets out: 
  

	 	A)	the governance structure for the AGREEMENT (a diagram of which is set out in Attachment 5-2 to this Schedule 5, including the role, composition and responsibilities of
both PARTIES required to maintain an effective working relationship; and 

  

	 	B)	the type, content and frequency of the review meetings of the BODIES that shall be held during the TERM of the AGREEMENT. 

 

	2.	GLOBAL STRATEGY AND RELATIONSHIP MANAGEMENT BOARD (GSRMB) 

  

	2.1	Role of the GSRMB 

  

	2.1.1	The GSRMB shall consist of two elements, a Core Team “Core” and an Extended Team “Extended”. 

 

	 	A)	The GSRMB Core shall agree and establish the strategic direction of the collaboration and relationship between GSK and ChemPartner with regard to OUTSOURCED SERVICES,
including, without limitation: 

  

	 	•	 	 overseeing the execution of the AGREEMENT and approving any CHANGE to the OUTSOURCED SERVICES; 

 

	 	•	 	 performing a role in any discrepancies that arises from SERVICE DEFAULTS, or from other governance boards, or between the PARTIES;

  

	 	•	 	 assessing the outputs from the various OSMBs and overall OUTSOURCED SERVICES PERFORMANCE REVIEW(S) to establish a strategic perspective for future
opportunities and the direction of the OUTSOURCED SERVICES. 

  

	2.1.2	The GSRMB Extended shall provide high-level strategic vision and potential opportunity discussions for future collaboration direction for OUTSOURCED SERVICES.

  

	2.2	Composition of the GSRMB 

  

	2.2.1	Both PARTIES shall be represented on the GSRMB by the individuals described in Attachment 5-1 to this Schedule 5. 

 

	2.2.2	GSK shall notify ChemPartner the identity and title or role of any additional GSK personnel it may require to attend a meeting of the GSRMB at least five
(5) WORKING DAYS before that meeting. 

  

	2.2.3	If GSK has notified ChemPartner pursuant to Section 2.1.2 that additional GSK personnel will be attending a meeting of the GSRMB, ChemPartner has the right to
appoint additional personnel of equivalent position to attend that meeting. Such alternative personnel may not be member of another governance boards. 

  

	2.2.4	The GSRMB shall be chaired by GSK’s LIAISON LEAD (or any other person performing the same function), unless otherwise agreed in writing by the PARTIES.

  

	2.3	Frequency of meetings 

  

	2.3.1	The GSRMB Core shall meet every six (6) months (in May/June and in November/December) following the biannual OSMB reviews and PERFORMANCE REVIEW(S) meetings, or as
otherwise agreed by the PARTIES. 

  

  

1 

	2.2.2	Each CONTRACT YEAR, one (1) meeting of the GSRMB shall take place at the ChemPartner SITE in China, and one (1) meeting shall take place at any GSK premises.

  

	2.2.3	The GSRMB Extended members shall annually attend one of the GSRMB Core meetings, or as otherwise agreed by the PARTIES. 

 

	2.2.4	The PARTIES may request ad-hoc GSRMB meetings on fifteen (15) days written notice. The requesting PARTY shall send written notice and the agenda for such meetings
to the other PARTY and individually to each GSRMB member. 

  

	3.	OUTSOURCED SERVICES MANAGEMENT BOARDS (OSMBS) 

  

	3.1	Role of the OSMBs 

  

	3.1.1	The OSMBs shall implement the strategic direction set by the GSRMB regarding the collaboration between GSK and ChemPartner. In addition, the OSMBs will have oversight
of the SOTs and JRCs, as well as the management of the AGREEMENT at an operational level, including, without limitation: 

  

	 	•	 	 responsibility for managing the delivery of the overall goals of the collaboration between the PARTIES; 

 

	 	•	 	 reviewing the budgets and forecasts requirements for the OUTSOURCED SERVICES; 

 

	 	•	 	 addressing any queries regarding the FEES, payments terms and invoicing; 

 

	 	•	 	 resolving interpretation of the terms and conditions of the AGREEMENT, SOWs and/or RESEARCH AGREEMENT(s); 

 

	 	•	 	 reviewing and approving STATEMENT OF WORK(s); 

  

	 	•	 	 assessing and resolving any SERVICE DEFAULTS, according to Clause 10.2; 

 

	 	•	 	 resolving any discrepancies that may escalate from the SOT(s), or between the PARTIES; 

 

	 	•	 	 reviewing and assessing PERFORMANCE MEASUREMENTS, or the PERFORMANCE REVIEW(S); 

 

	 	•	 	 reviewing information and data provided by the SOTs, including any operational issues; 

 

	 	•	 	 making recommendations, reviewing and/or approving any CHANGES to any aspect of the AGREEMENT, any PROJECT and/or PROGRAM (for FLEXIBLE DISCOVERY
OUTSOURCED SERVICES); 

  

	 	•	 	 making recommendations regarding the continuation and strategy of the OUTSOURCED SERVICES; 

 

	 	•	 	 overall compliance of the terms and conditions of the AGREEMENT; 

 

	 	•	 	 overall compliance of the GSK POLICIES AND PROCEDURES (Schedule 16); 

 

	 	•	 	 overall compliance of the terms and procedures established in Schedule 17 regarding GSK RECOGNITION SCHEME; 

 

	 	•	 	 reviewing documentation that ChemPartner is required to update on a regular basis pursuant to the AGREEMENT and/or SOW/PROJECT FORM/STUDY PROTOCOL;

  

  

2 

	 	•	 	 reviewing, actioning and resolving results of any internal and/or external AUDITS regarding the provision of the OUTSOURCED SERVICES;

  

	 	•	 	 escalate issues to the GSRMB (as appropriate); 

  

	 	•	 	 conducting the biannual PERFORMANCE REVIEW(S) meetings in accordance with Section 6 of the Schedule 6 of the AGREEMENT.

  

	3.2	Composition of the OSMBs 

  

	3.2.1	Depending on the specific needs of the OUTSOURCED SERVICES, GSK may set up separate OSMBs for FUNCTIONAL chemistry, FUNCTIONAL biology and FLEXIBLE DISCOVERY OUTSOURCED
SERVICES. 

  

	3.2.2	Both PARTIES shall be represented on the OSMBs by the individuals listed in Attachment 5-1 to this Schedule 5. 

 

	3.2.3	GSK shall notify ChemPartner of the identity and title or role of any additional GSK personnel it may require to attend a meeting of a specific OSMB at least five
(5) WORKING DAYS before the meeting takes place. 

  

	3.2.4	If GSK has notified ChemPartner pursuant to Section 3.2.2 that additional GSK personnel will be attending a meeting of the OSMB, ChemPartner has the right to
appoint additional personnel of equivalent position to attend that meeting. Such alternative personnel may not be members of another board. 

  

	3.2.5	Each OSMB shall be chaired on a rotation basis by a GSK OSMBs member (or any other person performing the same functions), unless otherwise agreed in writing by the
PARTIES. 

  

	3.3	Frequency of meetings 

  

	3.3.1	Each OSMB shall meet every six (6) months in May/June and in November/December for a meeting, in which the OUTSOURCED SERVICES PERFORMANCE REVIEW(S) will be
conducted, or as otherwise agreed by the PARTIES. 

  

	3.3.2	Each CONTRACT YEAR, one (1) meeting of each OSMB shall be face-to-face and shall take place at either the ChemPartner SITE in China or a GSK site in the US or in
the US, and one (1) meeting shall take place by audio or video-conference. 

  

	3.3.3	The PARTIES may request ad-hoc OSMB meetings on fifteen (15) days written notice to the other PARTY highlighting the urgency of matters and falls within the roles
of the OSMB. The requesting PARTY requesting the ad-hoc meetings shall send notices and agenda for such meetings to the other PARTY and to each OSMB member. 

 

	4.	SCIENTIFIC OPERATIONS TEAMS (SOT) 

  

	4.1	Role of the SOTs 

  

	4.1.1	The SOTs shall be the day-to-day interface between the PARTIES and shall manage the operation of the OUTSOURCED SERVICES and ChemPartner’s compliance with its
obligations under a SOW, PROJECT FORM and/or STUDY PROTOCOL, including: 

  

	 	•	 	 completing the SOW(s) for approval by the respective GSK BUSINESS UNIT OSMB member; 

 

	 	•	 	 completing, reviewing and approving the PROJECT FORM(s) and/or STUDY PROTOCOL(s); 

 

	 	•	 	 documenting the PERFORMANCE MEASUREMENTS in preparation for the respective OUTSOURCED SERVICES biannual PERFORMANCE REVIEW(S);

  

  

3 

	 	•	 	 suggesting CHANGEs to any aspect of the OUTSOURCED SERVICES; 

 

	 	•	 	 managing any failures by the PARTIES to comply with any aspects of the SOW, PROJECT FORM and/or STUDY PROTOCOL; 

 

	 	•	 	 participation in the OUTSOURCED SERVICES biannual PERFORMANCE REVIEW(S) meetings; and 

 

	 	•	 	 escalate conflicting issues to the respective OSMBs (as appropriate). 

 

	4.1.2	For FLEXIBLE DISCOVERY OUTSOURCED SERVICES, each SOT shall identify the required DOS for a PROJECT and specific scientific resources. 

 

	4.2	Composition of the SOTs 

  

	4.2.1	Each STATEMENT OF WORK will identify the respective members of the SOT. Each STATEMENT OF WORK will have at least one SOT. 

 

	4.2.2	Each SOT shall comprise at least of a group leader (“GROUP LEADER”), a team leader (“TEAM LEADER”) (as appropriate) and a group of ChemPartner
EMPLOYEES working on the STATEMENT OF WORK and associated PROJECTS. 

  

	4.2.3	Subject to prior written approval by GSK, ChemPartner will appoint a GROUP LEADER and a TEAM LEADER/s (as appropriate) to manage each STATEMENT OF WORK and associated
PROJECTS. 

  

	4.2.4	The GROUP LEADER will coordinate the STATEMENT OF WORK and liaise with the GSK DESIGNATED REPRESENTATIVE and the respective OSMB member (as required).

  

	4.2.5	Both PARTIES shall agree the operational day-to-day management of the SOTs as part of each STATEMENT OF WORK or RESEARCH AGREEMENT to achieve the requirements of the
OUTSOURCED SERVICES being provided, as agreed by the PARTIES. 

  

	4.3	Frequency of meetings 

 Each SOT
shall meet as defined in each SOW and shall document the content of the meetings as agreed by the PARTIES. 
  

	5.	JOINT RESEARCH COMMITTEE (JRC) 

  

	5.1	JRCs are only intended for FULLY INTEGRATED DISCOVERY OUTSOURCED SERVICES, as defined in the respective RESEARCH AGREEMENT. 

 

	5.2	Role of the JRCs 

  

	5.2.1	The JOINT RESEARCH COMMITTEE will be a scientific group of experts to oversee the execution and progression of each RESEARCH AGREEMENT, including, without limitation:

  

	 	•	 	 evaluating, reviewing and approving each new RESEARCH PLAN prepared by GSK and a RESEARCH TEAM; 

 

	 	•	 	 evaluating proposed CHANGEs to a RESEARCH PLAN and making informed decisions to support the scientific research; 

 

	 	•	 	 reviewing progress under a RESEARCH AGREEMENT, including, but not limited to, reviewing and assessing ChemPartner’s compliance with the PROGRAM,
decisions and outputs relating to any approved CHANGEs to a RESEARCH AGREEMENT; 

  

  

4 

	 	•	 	 providing the exchange of information relating to a PROGRAM; 

 

	 	•	 	 deciding whether the DELIVERABLE STAGES have been achieved, in accordance with the RESEARCH AGREEMENT; 

 

	5.3	Composition of the JRCs 

  

	5.3.1	Both PARTIES shall be represented on JRCs by the individuals described in Attachment 5-1 to this Schedule 5. 

 

	5.3.2	GSK shall notify ChemPartner of the identity and title or role of any additional GSK personnel it may require to attend a meeting of a specific JRC at least five
(5) WORKING DAYS before that meeting. 

  

	5.3.3	If GSK has notified ChemPartner pursuant to Section 5.3.2 that additional GSK personnel will be attending a meeting of the JRC, ChemPartner has the right to
appoint additional personnel of equivalent position to attend that meeting. 

  

	5.3.4	Each JRC shall be chaired by the GSK DESIGNATED REPRESENTATIVE (or any other person performing the same functions), unless otherwise agreed in writing by the PARTIES.

  

	5.3.5	The chairman of the each JRC will be a member to the OSMB. 

  

	5.4	Frequency of meetings 

  

	5.4.1	Each JRC shall meet at least every three (3) months in a CONTRACT YEAR for scientific discussions, or as otherwise agreed by the PARTIES. 

 

	5.4.2	Each CONTRACT YEAR, at least three (3) meeting of each JRC shall be face-to-face and shall take place at the ChemPartner SITE in China, and at least one
(1) meeting shall take place by audio or video-conference, or as otherwise agreed by the PARTIES. 

  

	5.4.3	The PARTIES may request ad-hoc JRC meetings on fifteen (15) days written notice to the other PARTY. The requesting PARTY shall send notices and the agenda for such
meetings to the other PARTY and individually to each JRC member. 

  

	6.	AGENDA AND MINUTES FOR THE GSRMB, OSMB AND JRC (“BODIES”) 

 

	6.1	Agendas 

 For every meeting of
each of the BODIES, GSK shall prepare an appropriate agenda for the forthcoming meeting and shall circulate such agenda in reasonable time to allow ChemPartner to: 
  

	 	•	 	 add any items that it wishes to incorporate into the agenda; and 

 

	 	•	 	 propose the most suitable attendees for the meeting (where applicable). 

 

	6.2	Minutes 

  

	6.2.1	Upon completion of each meeting of each BODIES, GSK shall prepare a set of minutes documenting the discussions and actions, and shall circulate all such minutes to
ChemPartner within ten (10) WORKING DAYS of the completion of such meetings. 

  

	6.2.2	Within one (1) week of receipt of the minutes relating to a meeting, the PARTIES shall agree and sign off such minutes. Any actions agreed at a meeting shall be
followed up at the next meeting, or as agreed by the PARTIES. 

  

  

5 

	7.	BEST EFFORTS 

  

	7.1	Attendance at meetings 

  

	7.1.1	Both PARTIES shall use COMMERCIALLY REASONABLE EFFORTS to ensure that its representatives at each BODIES shall not change more than is reasonably necessary from meeting
to meeting. 

  

	7.1.2	Both PARTIES shall ensure that the representatives that attend the meetings of each of the BODIES are filly empowered to participate, discuss and agree in said
meetings. The PARTIES shall use their COMMERCIALLY REASONABLE EFFORTS to ensure that matters are only referred upwards to the next appropriate level of governance if: 

 

	 	•	 	 the decision lies beyond the proper authority of the respective BODIES; and/or 

 

	 	•	 	 the PARTIES representatives have a difference of opinion as to the most appropriate course of action at the end of the meeting.

  

	8.	ESCALATION PROCEDURE 

 The
ESCALATION PROCEDURE is set out in the Attachment 5-3 and establishes the process for addressing issues arising for either PARTY during the performance and/or execution of the OUTSOURCED SERVICES, together with the timeframes for doing so, unless
such issues are subject matter of a dispute under clause 36 of the AGREEMENT. 
  

  

6 

 ATTACHMENT 5-1 

BOARD MEMBERSHIP 
  

  

7 

 ATTACHMENT 5-1 - BOARD MEMBERSHIP 

 

							
	 Board
	 	 GSK
	 	 ChemPartner

	Global Strategy
and Relationship
Management
Board	 	 - CORE -

 
 *
	 	 - EXTENDED -

 
 *
	 	  
  

*

				
	FUNCTIONAL
Management
Board/s	 	*	 		 	*
				
	 FULLY
INTEGRATED
DISCOVERY
OUTSOURCED
SERVICES
Management
Board

 
 /

 
 Joint Research
Committee(s)
	 	*	 		 	*

  

 

	*	Indicates where text has been omitted pursuant to a request for confidential treatment under Rule 406 of the Securities Act of 1933, as amended. The omitted materials
have been filed separately with the Securities and Exchange Commission. 

  

  

8 

 ATTACHMENT 5-2 

GOVERNANCE STRUCTURE 
  

  

9 

 * 
  

 

	*	Indicates where text has been omitted pursuant to a request for confidential treatment under Rule 406 of the Securities Act of 1933, as amended. The omitted materials
have been filed separately with the Securities and Exchange Commission. 

  

  

10 

 ATTACHMENT 5-3 

ESCALATION PROCEDURE 
  

  

11 

 The following matrix shows how it is expected that issues and disputes between the PARTIES will be discussed
before more formal steps are taken by either PARTY pursuant to Clause 36 of the AGREEMENT. Arrows designate route of discussion and flow of necessary information. 

The matrix contemplates three levels:- 

Scientific Operational Team Level – The DESIGNATED REPRESENTATIVE for each PARTY shall first attempt to resolve minor issues themselves
within five (5) WORKING DAYS from the date the matter is referred to an SOT. 
 Outsourced Services Management Board/s Level –
If the DESIGNATED REPRESENTATIVE of the PARTIES are unable to resolve any issues arising at the Scientific Operations Team level, the issue shall be escalated to the aligned GSK BUSINESS UNIT/s representative, or raised with the respective OSMB.
This level provides a higher level business perspective on more significant issues. The aligned GSK BUSINESS UNIT/s representative, or the respective OSMB shall resolve in five (5) days from the date the matter is referred. 

Global Strategy and Relationship Management Board Level – If the aligned GSK BUSINESS UNIT OSMB representative, or the respective OSMB are
unable to resolve any issues, the PARTIES shall escalate the matters to the LIAISON LEAD of each PARTY and the aligned GSK BUSINESS UNIT representative of the GSRMB or the GSRMB. At this level, major issues and issues applicable to more than one GSK
BUSINESS UNIT may be discussed. If no resolution is sought within ten (10) WORKING DAYS, Clause 36 of the AGREEMENT will be triggered. 

The above mentioned timelines may be extended by the PARTIES, if required. 
  

  

12 

 * 
  

 

	*	Indicates where text has been omitted pursuant to a request for confidential treatment under Rule 406 of the Securities Act of 1933, as amended. The omitted materials
have been filed separately with the Securities and Exchange Commission. 

  

  

13 

  

SCHEDULE 6 

PERFORMANCE MEASUREMENTS 

AND 

PERFORMANCE REVIEWS 
  

 

	1.	INTRODUCTION 

  

	1.1	This Schedule sets out (i) the mechanism for assessing the DELIVERABLES, (ii) PERFORMANCE METRICS; (iii) benchmarking process; (iv) the QUALITATIVE
FEEDBACK; (v) PERFORMANCE REPORTS; and (vi) PERFORMANCE REVIEWS for the OUTSOURCED SERVICES. 

  

	1.2	GSK shall apply and measure ChemPartner’s performance using the same criteria (as set out in Section 2 of this Schedule) across GSK’s preferred suppliers
providing similar OUTSOURCED SERVICES as those provided by ChemPartner. 

  

	1.3	Any amendments and/or modifications to (i) the PERFORMANCE METRICS; and/or (ii) GSK DELIVERABLES MATRIX; (iii) and/or QUALITATIVE FEEDBACK; and/or
(iv) benchmarking, (v) and any additional criteria GSK may establish for a PROJECT and/or PROGRAM may be implemented by GSK from time to time and notified to ChemPartner in writing. 

 

	1.4	ChemPartner will take all reasonable steps throughout the TERM of the AGREEMENT to improve the quality and efficiency of the OUTSOURCED SERVICES being provided.

  

	1.5	Failure to provide: 

  

	 	(i)	the DELIVERABLES; and/or 

  

	 	(ii)	low performance based on the PERFORMANCE METRICS, and/or in relation to the benchmarking process; and/or 

 

	 	(iv)	the QUALITATIVE FEEDBACK; and/or 

  

	 	(v)	the GSK DELIVERABLES MATRIX (if applicable); and/or 

  

	 	(vi)	any additional criteria GSK may establish for a PROJECT and/or PROGRAM from time to time, 

shall be regarded as a SERVICE PROBLEM as described in Clause 10.1 of the AGREEMENT. 

 

	2.	MEASUREMENT OF THE PERFORMANCE 

  

	2.1	General criteria to measure the performance of the OUTSOURCED SERVICES: 

  

	2.1.1	For functional biology, functional chemistry and FLEXIBLE DISCOVERY OUTSOURCED SERVICES, ChemPartner shall comply with the following: 

 

	 	•	 	 the quality, quantity and timeliness of the OUTSOURCED SERVICES, as set out in a SOW and/or a PROJECT FORM(s) and/or a STUDY PROTOCOL(s) (as
appropriate); and 

  

	 	•	 	 the PERFORMANCE METRICS, as described in Section 2.2.1 and 2.2.2 and 2.2.3 of Schedule 6; [and/or the GSK DELIVERABLES MATRIX, as set
out in Schedule 7 (as agreed by the PARTIES)]; and 

  

  

1 

	 	•	 	 the QUALITATIVE FEEDBACK, as defined in Section 3 of Schedule 6; and 

 

	 	•	 	 any additional criteria that GSK may decide to establish for a PROJECT and/or PROGRAM from time to time. 

 

	2.1.2	For FULLY INTEGRATED SERVICES, ChemPartner shall comply with the following: 

 

	 	•	 	 the quality, quantity and timeliness of the OUTSOURCED SERVICES, as set out in a RESEARCH AGREEMENT: and/or 

 

	 	•	 	 the GSK DELIVERABLES MATRIX, as set out in Schedule 7 (as agreed by the PARTIES); 

 

	 	•	 	 [the PERFORMANCE METRICS, as described in Section 2 of Schedule 6.] (as agreed by the PARTIES); and/or

  

	 	•	 	 any additional criteria that GSK may decide to establish for a PROGRAM from time to time. 

 

	2.2	PERFORMANCE METRICS 

  

	2.2.1	For chemistry OUTSOURCED SERVICES, the following PERFORMANCE METRICS will be taken into account: 

 

	A)	Delivery Dashboard: 

  

	 	•	 	 * 

  

	 	•	 	 * 

  

	 	•	 	 * 

  

	 	•	 	 * 

  

	 	•	 	 * 

  

	B)	Activity Dashboard: 

  

	 	•	 	 * 

  

	 	•	 	 * 

  

	 	•	 	 * 

  

 

	*	Indicates where text has been omitted pursuant to a request for confidential treatment under Rule 406 of the Securities Act of 1933, as amended. The omitted materials
have been filed separately with the Securities and Exchange Commission. 

  

  

2 

	C)	Cost Dashboard: 

  

	 	•	 	 Cost per COMPOUND 

  

	D)	At GSK discretion, GSK will apply one of the following chemistry complexity criteria in each PROJECT FORM(s) that may be applied to the PERFORMANCE METRICS in (A),
(B) and (C) above. 

  

	 	•	 	 Low -* 

  

	 	•	 	 Medium - * 

  

	 	•	 	 High - * 

  

	2.2.2	For biology OUTSOURCED SERVICES, either (1) or (2) below shall be considered as the PERFORMANCE METRICS: 

 

	(1)	Biology Routine ASSAY/s - Delivery / Activity Dashboard (on a PROJECT by PROJECT basis): 

 

	(A)	Assay Development / Transfer 

The following questions (including but not limited to) shall be answered Yes or No : 

* 
  

	(B)	Production Screening Consolidated Delivery Dashboard: 

* 
  

	(C)	At GSK discretion, GSK will apply one of the following biology Routine ASSAYS complexity criteria to each related STUDY PROTOCOL(s) that may be applied to the
PERFORMANCE METRICS in (A) and (B) above. 

  

	 	•	 	 Low - * 

  

	 	•	 	 Medium - * 

  

	 	•	 	 High - * 

  

	(2)	REAGENT Generation and Validation 

  

	A)	Delivery Dashboard: 

  

 

	*	Indicates where text has been omitted pursuant to a request for confidential treatment under Rule 406 of the Securities Act of 1933, as amended. The omitted materials
have been filed separately with the Securities and Exchange Commission. 

  

  

3 

	 	•	 	 * 

  

	 	•	 	 * 

  

	 	•	 	 * 

  

	 	•	 	 * 

  

	 	•	 	 * 

  

	B)	Activity Dashboard: 

  

	 	•	 	 * 

  

	 	•	 	 * 

  

	 	•	 	 * 

  

	C)	At GSK discretion, GSK will apply one of the following biology REAGENT Generation and Validation complexity criteria to each related STUDY PROTOCOL(s) that may be
applied to PERFORMANCE METRICS in (A) and (B) above: 

  

	 	•	 	 Low - * 

  

	 	•	 	 Medium - * 

  

	 	•	 	 High - * 

  

	2.2.3	For FLEXIBLE DISCOVERY OUTSOURCED SERVICES, a combination of the above criteria (2.2.1 and 2.2.2) shall apply, and/or as agreed by the PARTIES from time to time

  

	3.	QUALITATIVE FEEDBACK 

  

	3.1	QUALITATIVE FEEDBACK for chemistry and biology OUTSOURCED SERVICES 

The following shall be taken into account, including but not limited to four key areas: 

 

	 	•	 	 Productivity, delivery and service levels 

  

	 	•	 	 Communications and ways-of-working 

  

	 	•	 	 Documentation, reports and record keeping 

  

	 	•	 	 Problem solving 

  

 

	*	Indicates where text has been omitted pursuant to a request for confidential treatment under Rule 406 of the Securities Act of 1933, as amended. The omitted materials
have been filed separately with the Securities and Exchange Commission. 

  

  

4 

	3.2	QUALITATIVE FEEDBACK for FLEXIBLE DISCOVERY OUTSOURCED SERVICES 

A combination of the above criteria shall apply; and/or as agreed in Schedule 7, and/or as agreed by the PARTIES. 

 

	4.	BENCHMARKING PROCESS 

 GSK
will use the above criteria in Section 2.2.1, 2.2.2, 2.2.3 and 3 to conduct the benchmark process across GSK’s preferred suppliers providing similar OUTSOURCED SERVICES as those provided by ChemPartner. 

 

	5.	PERFORMANCE REPORTS 

  

	5.1	PERFORMANCE REPORTS for chemistry for OUTSOURCED SERVICES 

GSK defined templates with reference to the points highlighted in Appendix 6-1 and Appendix 6-2 shall constitute the
PERFORMANCE REPORTS. ChemPartner shall complete the GSK defined templates electronically on a monthly basis for Appendix 6-1 and on a weekly basis for Appendix 6-2. Additionally, ChemPartner shall submit said PERFORMANCE REPORTS on a
quarterly basis to the GSK’s DESIGNATED REPRESENTATIVE in each SOW and the GSK LIASION LEAD (and any other GSK contacts as may be notified). 
  

	5.2	PERFORMANCE REPORTS for biology OUTSOURCED SERVICES 

GSK defined templates with reference to the points highlighted in Appendix 6-3 and Appendix 6-4 shall constitute the
PERFORMANCE REPORTS. ChemPartner shall complete the GSK defined templates electronically on a monthly basis for Appendix 6-1 and on a weekly basis for Appendix 6-2. Additionally, ChemPartner shall submit said PERFORMANCE REPORTS on a
quarterly basis to the GSK’s DESIGNATED REPRESENTATIVE in each SOW and the GSK LIASION LEAD (and any other GSK contacts as may be notified). 
  

	5.3	PERFORMANCE REPORTS for FLEXIBLE OUTSOURCED SERVICES 

Depending on the OUTSOURCED SERVICES, GSK defined templates with reference to the points highlighted in appendices 6-1, 6-2, 6-3 and/or
6-4 shall constitute the PERFORMANCE REPORTS. ChemPartner shall complete the GSK defined templates electronically as defined in section 5.1 and 5.2 of Schedule 6 (as appropriate). Additionally, ChemPartner shall submit said PERFORMANCE
REPORTS on a quarterly basis to the GSK’s DESIGNATED REPRESENTATIVE in each SOW and the GSK LIASION LEAD (and any other GSK contacts as may be notified). 
  

	5.4	ChemPartner shall provide detailed supporting information (including, but not limited to, information necessary to enable GSK to verify the accuracy of the
measurements) for each PERFORMANCE REPORT as requested by GSK and described in this Section. 

  

	5.5	GSK may amend the format and process of the PERFORMANCE REPORTS from time to time and notify ChemPartner in writing. 

 

  

5 

	6.	PERFORMANCE REVIEW MEETINGS 

  

	6.1	Performance shall be measured on a continuous basis in accordance with the PERFORMANCE REVIEWS as described in this Section and Schedule 5, or by such other means as
may be notified in writing to ChemPartner by GSK from time to time. 

  

	6.2	Conduct of the Biannual Performance Review Meetings 

  

	6.2.1	In May/June and in November/December of each CONTRACT YEAR, GSK and ChemPartner (acting through the respective OSMB) shall meet and jointly review the overall operation
of the AGREEMENT and the OUTSOURCED SERVICES, in accordance with the provisions of this Section. 

  

	6.2.2	The May/June meeting in each CONTRACT YEAR shall serve as the annual PERFORMANCE REVIEW for the preceding CONTRACT YEAR. 

 

	6.2.3	The matters to be considered during the PERFORMANCE REVIEW(S) meetings shall include, but not be limited to the following matters: 

 

	 	a)	the progress in respect of PERFORMANCE METRICS and QUALITATIVE FEEDBACK; 

  

	 	b)	the list of issues raised in accordance with the ESCALATION PROCEDURE during the preceding CONTRACT YEAR, whether such issues have been resolved or remain outstanding
at that date of the meeting; 

  

	 	c)	the results of the QUALITATIVE FEEDBACK from all GSK scientists relating to the provision of the OUTSOURCED SERVICES carried out during the preceding CONTRACT YEAR,
including a comparison of the same against the results of such QUALITATIVE FEEDBACK during prior biannual meetings and/or CONTRACT YEARS (as appropriate); 

  

	 	d)	any improvements that could be made to the OUTSOURCED SERVICES; 

  

	 	e)	disputes arising during that preceding six (6) month period and/or CONTRACT YEAR (as appropriate); 

 

	 	f)	an overview of performance and objectives/targets for the following six (6) months and/or of the CONTRACT YEAR; 

 

	 	g)	improvements and benefits accomplished during the preceding six (6) month period and/or CONTRACT YEAR (as appropriate); 

 

	 	h)	overall OUTSOURCED SERVICES volume review; 

  

	 	i)	total cost of OUTSOURCED SERVICES for the preceding six (6) months and/or of the CONTRACT YEAR (as appropriate), including the calculation, in accordance with
Schedule 4; 

  

	 	j)	reviewing documentation that ChemPartner is required to update on a regular basis pursuant to the AGREEMENT; 

 

  

6 

	 	k)	together with any other matters as the PARTIES may agree from time to time (e.g. additional reports, further information regarding the performance of the OUTSOURCED
SERVICES). 

  

	6.3	Results of the PERFORMANCE REVIEW(S) meeting 

  

	6.3.1	Upon completion of each meeting, GSK shall prepare a set of minutes documenting the results of the PERFORMANCE REVIEW(S), and shall circulate said minutes to
ChemPartner within fifteen (15) WORKING DAYS of the completion of such meetings. 

  

	6.3.2	Within five (5) WORKING DAYS from the receipt of the minutes relating to a meeting, the PARTIES shall agree and sign off such minutes. Any actions agreed at a
meeting shall be followed up at the next meeting, or as agreed by the PARTIES. 

  

  

7 

 APPENDIX 6-1 

 

  

8 

 APPENDIX 6-1 

The following information (including, but not limited to) will need to be completed within a GSK template for each PROJECT related to chemistry
OUTSOURCED SERVICES on a quarterly basis: 
 * 

 
  

	*	Indicates where text has been omitted pursuant to a request for confidential treatment under Rule 406 of the Securities Act of 1933, as amended. The omitted materials
have been filed separately with the Securities and Exchange Commission. 

  

  

9 

 APPENDIX 6-2 

 

  

10 

  

APPENDIX 6-2 
 The
following information (including, but not limited to) will need to be completed within a GSK template on a weekly basis for each ChemPartner EMPLOYEE engaged in the provision of the chemistry OUTSOURCED SERVICES and submitted on a quarterly basis:

 * 
  

 

	*	Indicates where text has been omitted pursuant to a request for confidential treatment under Rule 406 of the Securities Act of 1933, as amended. The omitted materials
have been filed separately with the Securities and Exchange Commission. 

  

  

11 

  

APPENDIX 6-3 
  

  

12 

 APPENDIX 6-3 

The following information (including, but not limited to) will need to be completed within a GSK template for each PROJECT related to relevant biology
OUTSOURCED SERVICES on a quarterly basis: 
  

	(A)	REAGENT Generation and Validation 

* 
  

	(B)	Biology Routine ASSAYS 

* 
  

 

	*	Indicates where text has been omitted pursuant to a request for confidential treatment under Rule 406 of the Securities Act of 1933, as amended. The omitted materials
have been filed separately with the Securities and Exchange Commission. 

  

  

13 

 APPENDIX 6-4 

 

  

14 

 APPENDIX 6-4 

The following information (including, but not limited to) will need to be completed within a GSK template on a weekly basis for each ChemPartner EMPLOYEE
engaged in the provision of the relevant biology OUTSOURCED SERVICES and submitted on a quarterly basis: 
  

	(A)	REAGENT Generation and Validation 

* 
  

	(B)	Biology Routine ASSAYS 

* 
  

 

	*	Indicates where text has been omitted pursuant to a request for confidential treatment under Rule 406 of the Securities Act of 1933, as amended. The omitted materials
have been filed separately with the Securities and Exchange Commission. 

  

  

15 

  

SCHEDULE 7 

GSK DELIVERABLES MATRIX 
  

 

																											
	 	 	 	  	 Collaboration Activities
–*
	  	 Optional Future
Activities

	 	 	 	  	 Stage I
	  	 Stage II
	  	 Stage III
	  	 Stage IV
	  	 Stage V
	  	 Stage VI
	  	 Stage VII
	  	 Stage VIII
	  	 Stage IX
	  	 *

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

														
	*	 		  	 Estimated

Timeline
	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline
														
		 		  	 Estimated

Timeline
	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline
														
	*	 		  	 Estimated

Timeline
	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline
														
		 		  	 Estimated

Timeline
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	*	 		  	 Estimated

Timeline
	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline
														
		 		  	 Estimated

Timeline
	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline
														
	*	 		  	 Estimated

Timeline
	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline
														
		 		  	 Estimated

Timeline
	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline

  

	*	Indicates where text has been omitted pursuant to a request for confidential treatment under Rule 406 of the Securities Act of 1933, as amended. The omitted materials
have been filed separately with the Securities and Exchange Commission. 

  

 1 

																											
	*	 		  	 Estimated

Timeline
	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline
														
		 		  	 Estimated

Timeline
	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline	  	Estimated Timeline

  

	*	Indicates where text has been omitted pursuant to a request for confidential treatment under Rule 406 of the Securities Act of 1933, as amended. The omitted materials
have been filed separately with the Securities and Exchange Commission. 

  

 2 

  

SCHEDULE 8 

MATERIAL TRANSFER AGREEMENT 
  

 

 MATERIAL TRANSFER AGREEMENT 

THIS MATERIAL TRANSFER AGREEMENT, together with its Annexes (“MTA”) is made as of [INSERT DATE] (the “COMMENCEMENT
DATE”) by [INSERT GSK LEGAL ENTITY WHO WILL BE SHIPPPING THE MATERIALS TO ChemPartner], a company within the GlaxoSmithKline group (“GSK”) whose registered office is at
[—], a and [INSERT ChemPartner LEGAL ENTITY] (“ChemPartner”), a company registered in China, and having its principal and business address at,
[—]. 
 WHEREAS 

 

	(a)	 This MTA is subject to the provisions of the Global Research and Development Outsourced Services Agreement (“AGREEMENT”) made by and between
GLAXOSMITHKLINE RESEARCH AND DEVELOPMENT LIMITED, registered in England and Wales under company number 835139 and having its registered office at 980 Great West Road, Brentford, Middlesex TW8 9GS, United Kingdom and ChemPartner, having an EFFECTIVE
DATE of 23rd December, 2009. This MTA follows an
agreed form incorporated into the AGREEMENT, as Schedule 8. 

  

	(b)	For the purposes of this MTA, the terms used shall have the same meaning as set forth in the AGREEMENT, unless otherwise specified herein. 

 

	(c)	 GSK agrees to transfer to ChemPartner certain MATERIALS as detailed in Annex I which are proprietary to GSK and that are necessary for the
execution of the [STATEMENT OF WORK No./ PROJECT FORM/STUDY PROTOCOL No. (“PROJECT”) /RESEARCH AGREEMENT No.
(“PROGRAM”)]*

  

	(d)	For what is not expressly regulated in this MTA, the PARTIES shall refer to the terms and conditions agreed in the AGREEMENT. 

NOW IT IS HEREBY AGREED AS FOLLOWS: 
  

	1.	DEFINITIONS 

 The
following terms shall have the following meanings when used in this MTA: 
  

	1.1	“COMMERCIAL PURPOSES” means the sale, lease, license or any other transfer of the MATERIALS to a THIRD PARTY, including without limitation use of the
MATERIALS by ChemPartner or any THIRD PARTY to perform the research and development activities under the AGREEMENT that result in any sale, lease, license or transfer of the MATERIALS to a THIRD PARTY. 

 

	1.2	 “MATERIALS” shall mean all materials provided by GSK to ChemPartner, as described in Annex I attached
hereto.† 

 
 Insert reference to
corresponding SOW, PROJECT FORM or STUDY PROTOCOL under which the MATERIALS are been transferred. 
 In case of biological
materials, please contact GSK Legal before shipment, as China requires a permit. 
  

  

1 

	1.3	“ChemPartner INVESTIGATOR” means [PLEASE INSERT NAME] 

In the event of any conflict between the terms and conditions in this MTA and the terms and conditions in the AGREEMENT, then the
AGREEMENT shall take precedence and prevail. 
  

	2.	OWNERSHIP, USE AND TRANSFER 

  

	2.1	Ownership of MATERIALS 

 GSK
warrants that it is the owner of the MATERIALS and legal title to the MATERIALS shall remain with GSK. Nothing in this MTA grants any rights to ChemPartner under any INTELLECTUAL PROPERTY RIGHTS or any GSK KNOW-HOW, or any rights in the MATERIALS or
any product or process related thereto or derived therefrom other than those rights specifically set forth herein. 
 In
particular, no rights are provided to ChemPartner to use the MATERIALS or any related INTELLECTUAL PROPERTY RIGHTS of GSK for any profit-making or COMMERCIAL PURPOSES. 
  

	2.2	Use of MATERIALS 

  

	2.2.1	ChemPartner and ChemPartner INVESTIGATOR shall use the MATERIALS: 

  

	 	A)	exclusively for [PROJECT/PROGRAM] 

  

	 	B)	as established under the AGREEMENT and for no other purpose; 

  

	 	C)	in compliance with Clause 12 of the AGREEMENT; 

  

	 	D)	in compliance with all applicable laws and regulations; 

  

	 	E)	under the direction of GSK and ChemPartner’s INVESTIGATOR or other ChemPartner EMPLOYEES, working under his supervision; 

 

	2.2.2	ChemPartner and ChemPartner INVESTIGATOR shall not; 

  

	 	A)	use the MATERIALS for testing in or treatment of human subjects, or for diagnostic purposes involving human subjects without the written consent of GSK.

  

	 	B)	distribute or make available the MATERIALS to THIRD PARTIES for any purpose without the prior written consent of GSK. 

 

	 	C)	attempt to reverse engineer, deconstruct or in any way determine the structure or composition of the MATERIALS. 

In addition, ChemPartner shall only allow ChemPartner EMPLOYEES, sup-contractors and agents under its direct control and supervision to
have access to the MATERIALS. 
 If applicable, ChemPartner and ChemPartner EMPLOYEES shall comply with GSK policy on animal
welfare, as described in Schedule 10 to the AGREEMENT. 
 The MATERIALS are provided to ChemPartner on a non-exclusive
basis. 
  

  

2 

	2.3	Transfer of MATERIALS 

 GSK shall
be responsible for the transportation of the MATERIALS to ChemPartner’s SITE, unless otherwise agreed in writing by the PARTIES. 

The cost of the transfer of the MATERIALS shall be borne by GSK, unless otherwise agreed in writing by the PARTIES. 

GSK shall be responsible for insuring and obtaining insurance for the MATERIALS freighted in accordance with the legislation in force.

 In the event ChemPartner wishes to transfer the MATERIALS supplied under this MTA to another person or entity, ChemPartner
shall; 
  

	 	A)	do so under substantially the same terms and conditions as this MTA, through a new material transfer agreement; and 

 

	 	B)	obtain GSK’s consent pursuant to clause 2.2 and thereafter notify GSK in writing once the transfer has taken place. 

 

	3.	INTELLECTUAL PROPERTY AND CONFIDENTIALITY 

  

	3.1	GSK retains ownership of the MATERIALS, in accordance with Clause 14 of the AGREEMENT. 

 

	3.2	ChemPartner shall disclose to GSK any INVENTIONS or discoveries directly related to the MATERIALS, including new uses of the MATERIALS that arise under this MTA.

  

	3.3	All INTELLECTUAL PROPERTY RIGHTS in any INVENTIONS, discoveries and evaluation data, whether patentable or not, arising from ChemPartner’s use of the MATERIALS and
information shall automatically vest in and be owned by GSK. 

  

	3.4	Except as provided in this MTA, no express or implied licenses or other rights are provided to ChemPartner under any GSK PATENTS, INTELLECTUAL PROPERTY RIGHTS including
any altered forms of the MATERIALS made by ChemPartner. In particular, no express or implied license or other rights are provided to use the MATERIALS, any modifications to the MATERIALS or any related patents or other proprietary rights of GSK for
COMMERCIAL PURPOSES. 

  

	3.5	This clause 3 does not in any way limit and is subject to clause 14 of the AGREEMENT. 

 

	3.6	ChemPartner and ChemPartner INVESTIGATOR are subject to Clause 15 of the AGREEMENT regarding CONFIDENTIALITY. 

 

	4.	PERMITS, LICENCES AND APPROVALS 

  

	4.1	ChemPartner is solely responsible for compliance with all state, regional and local laws, ordinances and regulations applicable to the use, handling and storage of
MATERIALS in the People’s Republic of China (“PRC”). 

  

	4.2	ChemPartner will obtain all permits, licenses or other approvals required by any governmental authority in connection with the receipt, handling, storage, disposal and
use of the MATERIALS. 

  

	4.3	ChemPartner warrants to GSK as follows; 

  

	 	A)	that the MATERIALS may be freely and lawfully used by it in accordance with the OS contemplated under the AGREEMENT. 

 

  

3 

	 	B)	that it shall comply with all laws and regulations of the People’s Republic of China in entering into and performing this MTA. 

 

	4.4	GSK agrees to submit to and to use all reasonable efforts to register this MTA with the Ministry of Commerce of the State Council in the PRC as required under the
Regulations of the PRC for the Administration of Technology Imports and Exports and to obtain a technology import contract registration certificate from the said Ministry, and thereafter to provide a copy of any obtained certificate to ChemPartner,
within a reasonable period of the COMMENCEMENT DATE of this MTA. 

  

	5.	NOTIFICATION OF RISKS 

  

	5.1	ChemPartner and ChemPartner’s INVESTIGATOR shall inform GSK in writing of any toxicity, health risks, etc. associated with the MATERIALS that are reasonably known
to ChemPartner during the performance of this MTA and that may be discovered through the use, handling and storage of the MATERIALS. 

  

	6.	REPRESENTATIONS AND WARRANTIES 

  

	6.1	Any MATERIALS delivered pursuant to this MTA are understood to be experimental in nature and may have hazardous properties. GSK makes no representations or warranties
of any kind relating to the MATERIALS either express or implied, including but not limited to warranties of merchantability or fitness for a particular purpose, or that the use of the MATERIALS will not infringe any INTELLECTUAL PROPERTY RIGHTS.

  

	6.2	ChemPartner assumes all risk and responsibility in connection with the receipt, handling, storage, disposal, and ChemPartner’s use of the MATERIALS including
without limitation taking all appropriate safety and handling precautions to minimize health or environmental risk. 

  

	6.3	ChemPartner assumes all liability for damages, which may arise from its use, storage or disposal of the MATERIALS. GSK will not be liable to ChemPartner for any direct,
indirect, consequential or other loss, damage or expense of any kind whatsoever or in respect of any demand Made by ChemPartner, or made against ChemPartner by any other party, due to or arising from the use, storage or disposal of the MATERIALS by
ChemPartner, and whether arising from breach of contracts, negligence or howseoever. 

  

	6.4	Nothing in this MTA shall exclude liability for death or personal injury resulting from the negligence of any party, their employees, agents or their sub-contractors.

  

	6.5	ChemPartner shall be liable for and will indemnify GSK (together with its officers, servants and agents) against any and all liability, loss, damages, costs, legal
costs, professional and other expenses of any nature whatsoever incurred or suffered by GSK whether direct or consequential (including but without limitation any economic loss or other loss of profits, business or goodwill) arising out of any breach
of this MTA by ChemPartner. 

  

	7.	TERM AND TERMINATION 

  

	7.1	This MTA will remain in force until termination of the [PROJECT/PROGRAM] under which the MATERIALS are transferred to ChemPartner. Upon termination of this MTA,
ChemPartner will discontinue its use of the MATERIALS and will, upon direction of GSK, return or destroy (and certify destruction of) any remaining MATERIALS or CONFIDENTIAL INFORMATION in its possession or under its control.

  

  

4 

	7.2	Any and all provisions, promises, and warranties contained herein which by their nature or effect are required or intended to be observed, kept or performed after
termination or expiration of this MTA will survive the termination or expiration of this MTA, as the case may be, and remain binding upon and for the benefit of the PARTIES hereto. 

 

	8.	ASSIGNMENT 

 ChemPartner
shall not assign this MTA not any part thereof without the prior written consent of GSK. 
  

	9.	GENERAL PROVISION 

  

	9.1	NOTICES 

 All notices hereunder
shall be delivered as follows: (a) personally; (b) by facsimile and confirmed by first class mail (postage prepaid); (c) by registered or certified mail (postage prepaid); or (d) by overnight courier service, to the following
addresses of the respective PARTIES: 
  

			
	 If to GSK:
 Attention:
[—]
 Address: [—]

Tel: [—]

Fax: [—]

Email: [—]
	 	 With a copy to:

[—]

	 If to ChemPartner:
 Attention:
[—]
 Address: [—]

Tel: [—]

Fax: [—]

Email: [—]
	 	 With copy to:

[—]

A notice given in accordance with this Clause shall be deemed to be received: 

 

	 	A)	if left at the recipient’s address during normal business hours, on the date of delivery; 

 

	 	B)	if sent by prepaid registered post, five (5) days after the date of posting; 

 

	 	C)	if sent by an express courier with a reliable system for tracking delivery, on the date of delivery to the recipient; or 

 

	 	D)	if sent by fax to the fax number specified in this MTA (as the same may be altered by notice given in accordance with this MTA) during normal business hours or, if
outside the normal business hours of the recipient, then at the beginning of the recipient’s next business day, upon production of a satisfactory transmission report by the fax machine which sent the fax, provided that a confirmation copy is
sent by the PARTY giving notice in accordance with a method specified above. 

  

  

5 

	9.2	LANGUAGE 

 In the event that this
MTA is translated into any other language than English, then the English language version shall prevail. 
  

	9.3	GOVERNING LAW AND ALTERNATIVE DISPUTE RESOLUTIONS* 

This Agreement is governed by English law. 

Any dispute, controversy or claim from or in connection with this MTA, including any question regarding its existence, validity or
termination, must be submitted to Clause 36 of the AGREEMENT. 
  

NOTE: If two Chinese companies, two US Companies, or GSK Singapore enter into a MTA, please consult with GSK Legal and the GSK LIASON LEAD
before signature, as certain provisions need to be amended. 
  

  

6 

 IN WITNESS whereof the hands of the PARTIES or their duly authorised representatives
on the date first above written. 
  

									
	 [INSERT GSK LEGAL ENTITY WHO WILL

BE SHIPPPING THE MATERIALS TO

ChemPartner]
	 		 	[INSERT ChemPartner LEGAL ENTITY]
			
	  
	 		 	  

	Name:	 		 	Name:	 	
	Position:	 		 	Position:	 	
	Date:	 		 	Date	 	
				
	AGREED TO AND ACKNOWLEDGED BY:	 		 		 	
					
	By:	 	  
	 		 		 	
	 [INSERT NAME OF ChemPartner INVESTIGATOR]
	 		 		 	

  

  

7 

 Annex I 

[Note: this is an indicative list of MATERIALS, please amend or delete as appropriate] 

 

									
	 	  	DESCRIPTION	  	AMOUNT/VOLUME/
WEIGHT	  	SOTRAGE
CONDITIONS	  	 DELIVERY

DATE

	 MATERIALS
	  	*	  		  		  	
					
	 	  	DESCRIPTION	  	AMOUNT/VOLUME/
WEIGHT	  	SOTRAGE
CONDITIONS	  	 DELIVERY

DATE

	 BIOLOGICAL

MATERIALS
	  	*	  		  		  	

  
  

	*	Indicates where text has been omitted pursuant to a request for confidential treatment under Rule 406 of the Securities Act of 1933, as amended. The omitted materials
have been filed separately with the Securities and Exchange Commission. 

  

  

8 

 SCHEDULE 9 

BIOLOGICAL MATERIALS AND SAMPLES 
  

 

	1.	INTRODUCTION 

 ChemPartner
will have to comply with this Schedule and applicable local regulations when collecting, obtaining, or using SAMPLES for research that is conducted, sponsored, supported or funded by GSK. 

ChemPartner and ChemPartner EMPLOYEES, sub-contractors, or agents shall comply with this GSK policies and guidelines regarding the
inventory and disposal of SAMPLES, as detailed in Attachment 9-1 and 9-2 of this Schedule. 
 No human embryonic or foetal
samples may be collected, obtained or use for research conducted, sponsored, supported or funded by GSK, unless approved in writing by the GSK Chairman of Research and Development. 

 

	2.	SAMPLES COLLECTION 

  

	2.1	When SAMPLES are collected by GSK or by another entity specifically for GSK, GSK and/or ChemPartner staff members must ensure that SAMPLES are collected with informed
consent and ethics committee/ Institutional Review Board (IRB) approval in accordance with the applicable research requirements of Good Clinical Practice (International Conference on Harmonisation) and applicable local regulation. Additionally,
through informed consent, donors must be made aware that the research is being undertaken by a commercial entity and that, where applicable, the research involves the analysis of DNA and /or medical information. 

 

	2.2	When GSK obtains SAMPLES from ChemPartner that are collected for reasons unrelated to GSK, GSK staff members must confirm that the entity complied with relevant
requirements for informed consent, ethics committee/IRB approval and data privacy. In this event, ChemPartner shall inform GSK about the origin of the SAMPLES and provide any other relevant information. ChemPartner will not utilize SAMPLES that are
collected for reasons unrelated to GSK PROJECT(s) and/or PROGRAM(s), unless prior written approval by GSK. 

  

	2.3	In general, cells lines (e.g. HeLa), derivatives (e.g. isolated proteins) and preparations of human biological materials (e.g. sub-cellular fractions) that are well
established and made available for research use, do not require re- consent and/or ethics committee/IRB approval for the intended research use. GSK will make a case-by-case analysis, in order to determine whether consent is required or not.

  

	3.	USE OF SAMPLES 

  

	3.1	GSK and ChemPartner must use SAMPLES only for purposes that are consistent with the consent obtained and in compliance with relevant laws and regulations.

  

	3.2	Additional individual donor consent and ethics committee/IRB approval should be obtained when the research use intended is inconsistent with or beyond the scope of the
original consent. 

  

	3.3	Additional consent should also be obtained if the original consent did not include analysis of DNA (if relevant to the research proposal) or use of any associated
medical information (if relevant to the research proposal). 

  

	3.4	In circumstances where individual re-consent cannot practicably be obtained, approval of an ethics committee or IRB (if permissible under the relevant laws and
regulation) must be sought to determine whether the research can proceed in the absence of individual consent. 

  

  

1 

 ATTACHEMENT 9-1 

INVENTORY MANAGEMENT GUIDANCE 

SAMPLES - Inventory Management Guidance 
  

	1.	PURPOSE 

 This inventory
management process is intended to describe the required and best practice activities associated with the receipt, tracking, and storage of SAMPLES to ensure an accurate and complete inventory of SAMPLES managed by ChemPartner and ChemPartner
EMPLOYEES for research that is conducted, sponsored, supported or funded by GSK. 
  

	2.	PROCESS 

  

	2.1	Registration, Storage and Use 

Scientists must record (register) all SAMPLES in the tracking system within ten (10) working days of receipt of the SAMPLES and
associated information (manifest). This may be done via per SAMPLES registration using individual line entries or via a manifest upload. All received SAMPLES should be compared against the recorded data on the tracking system (verified) and any
discrepancies between expected SAMPLES, manifest and received SAMPLES received should be followed-up. 
 In the event that the
Scientist do not have access to a manifest for upload or when resource or facilities are not sufficient to support single SAMPLE registration and verification then the scientist may register a “batch” (shipment) of SAMPLES received as an
intermediate step. When registering a batch of SAMPLES there should be reference to any available SAMPLES manifest details. All received containers (e.g. boxes) within a batch should be verified and any discrepancies resolved. All SAMPLES within the
batch that are required for use must be registered and verified at the sample level prior to use. 
 Registration at the SAMPLES
or “batch” level must include storage location details (Figure 1). 
 Scientist must update information on the tracking
system in the event that a SAMPLES is relocated, modified or destroyed. If the discrepancy results in a lost or missing sample then the information on the tracking system must be modified to reflect this state and a discrepancy report should be
recorded (Figure 2). 
  

	2.2	Self-Inspection 

ChemPartner and ChemPartner EMPLOYEES should utilize the self-inspection process to review SAMPLES inventory within the department on a
regular basis (twice yearly for two years and yearly thereafter). 
 The self-inspection should be performed in two directions or
parts. The first part is to create a list of SAMPLES based on the storage location as indicated in the tracking system and to then verify their storage in that location (Figure 3). The second part is to select a series of SAMPLES at random from
within the storage unit, record their location and then search the tracking system to see if the location is accurately recorded (Figure 4). All discrepancies and resolution should be documented output of the process. 

Where batch registration has occurred, the self-inspection reports may include comparison of containers on the tracking system versus in
storage as well as data compiled based on the ability to locate SAMPLES at time of use. 
  

  

2 

 Output of the self-inspection should be discussed within the department and any necessary
improvements in practices and training needs identified and implemented. 
  

	2.3	Determining how many instances to compare during self-inspection 

It is recommended when managing SAMPLES to compare at minimum twenty total instances for self-inspection. This can easily be accomplished
by review of 10 instances in each direction. Larger facilities will need to conduct a larger number of comparisons. Guidance for determining the number of comparisons in each direction is provided in Figure 5. 

An example template has been provided however any template with similar content can be used to record the process and output of the
self-inspection (Figure 6). 
  

	2.4	Discrepancy Report 

Resolved discrepancies identified during routine use should be reflected through updated information on the tracking system. 

Unresolved discrepancies identified during routine use of SAMPLES should be recorded against the tracking system. The most common
unresolved discrepancies are: 
  

	 	•	 	 Lost or missing SAMPLES: SAMPLES on shipping manifest and recorded in tracking system but not present in storage location. Action: update status to
missing 

  

	 	•	 	 Unrecorded SAMPLES: SAMPLES received in shipment but not present on manifest and not recorded in tracking system. Action: record SAMPLES in tracking
system with status of “orphan” and try to resolve identity. If unable to resolve identity then destroy and update status. 

Discrepancy reports can be viewed at the time of self-inspection by reviewing all SAMPLES with a status of missing or orphan. 

 

	2.5	Process Flow Diagrams 

The process flow diagrams have been designed to guide scientist and ChemPartner management through the process of registering the receipt
of SAMPLES as well as managing their inventory through routine use. Flow diagrams also provide guidance for conduct of self-inspections and resolution and reporting of discrepancies. 

 

  

3 

 Figure 1: Receipt and Storage of SAMPLES 

* 
  

	*	Indicates where text has been omitted pursuant to a request for confidential treatment under Rule 406 of the Securities Act of 1933, as amended. The omitted materials
have been filed separately with the Securities and Exchange Commission. 

  

  

4 

 Figure 2: SAMPLES Use and Maintenance 

* 
  

	*	Indicates where text has been omitted pursuant to a request for confidential treatment under Rule 406 of the Securities Act of 1933, as amended. The omitted materials
have been filed separately with the Securities and Exchange Commission. 

  

  

5 

 Figure 3: Self-inspection to compare contents of tracking system to contents of storage unit by searching
for SAMPLES in their location as defined by the tracking system. 
 * 

 

	*	Indicates where text has been omitted pursuant to a request for confidential treatment under Rule 406 of the Securities Act of 1933, as amended. The omitted materials
have been filed separately with the Securities and Exchange Commission. 

  

  

6 

 Figure 4: Self-inspection to compare contents of storage unit to information on tracking system by selecting
SAMPLES from various random locations within the storage unit and checking to see if the location is as indicated on the tracking system. 
 *

  

	*	Indicates where text has been omitted pursuant to a request for confidential treatment under Rule 406 of the Securities Act of 1933, as amended. The omitted materials
have been filed separately with the Securities and Exchange Commission. 

  

  

7 

 Figure 5: Guidance to determine number of comparisons to evaluate during self-inspections based on total
number of SAMPLES managed within ChemPartner on behalf of GSK. 
  

			
	 # samples in storage
	 	 samples to inspect

	*	 	*
	*	 	 *

*

	*	 	*
	*	 	*

 Example: 

* 
 * 

* 
 * 

 

	*	Indicates where text has been omitted pursuant to a request for confidential treatment under Rule 406 of the Securities Act of 1933, as amended. The omitted materials
have been filed separately with the Securities and Exchange Commission. 

  

  

8 

 Figure 6: Example template for tracking self-inspection comparisons and outcomes. 

 

	
	Storage Unit/Location Inspected
	Inspected by
	Date Inspected

  

											
	Location in tracking system matches sample location
						
	 	  	 Sample ID
	  	 Reported

Location
	  	 Actual

Location
	  	 Action
	  	 Result

	 1
	  		  		  		  		  	
	 2
	  		  		  		  		  	
	 3
	  		  		  		  		  	
	 4
	  		  		  		  		  	
	 5
	  		  		  		  		  	
	 6
	  		  		  		  		  	
	 7
	  		  		  		  		  	
	 8
	  		  		  		  		  	
	 9
	  		  		  		  		  	
	 10
	  		  		  		  		  	

  

											
	Location of sample matches location in tracking system
						
	 	  	 Sample ID
	  	 Actual

Location
	  	 Reported

Location
	  	 Action
	  	 Result

	 1
	  		  		  		  		  	
	 2
	  		  		  		  		  	
	 3
	  		  		  		  		  	
	 4
	  		  		  		  		  	
	 5
	  		  		  		  		  	
	 6
	  		  		  		  		  	
	 7
	  		  		  		  		  	
	 8
	  		  		  		  		  	
	 9
	  		  		  		  		  	
	 10
	  		  		  		  		  	

  

									
	 Action
	  	 Comment
	  	 Assigned to
	  	 Date Assigned
	  	 Date Complete

	1	  		  		  		  	

  

  

9 

  

ATTACHEMENT 9-2 

SAMPLES DISPOSAL GUIDANCE 
  

  

10 

  

SAMPLES — Sample Disposal Guidance 
  

	1.	PURPOSE 

 This SAMPLES
disposal process is intended to describe the best practice activities associated with the disposal or destruction of SAMPLES. Should ChemPartner collect, store, use and dispose of SAMPLES on behalf of GSK, it is recommended that it implement these
or comparable best practice activities. 
  

	2.	SCOPE 

 Disposal of
SAMPLES does not include the depletion of the SAMPLES due to consumption or routine wastage as occurs during the use, dispensing and processing or reprocessing of the SAMPLE. Rather, it is the intentional act of discarding or destroying the SAMPLES
for reasons including: 
  

	 	•	 	 Informed consent withdrawn by the participant/donor 

  

	 	•	 	 SAMPLES received in error 

  

	 	•	 	 Insufficient SAMPLES data for storage or use 

  

	 	•	 	 End of retention period as stated in protocol, informed consent or legal agreements 

 

	 	•	 	 SAMPLES integrity is compromised 

  

	 	•	 	 SAMPLES is no longer required for experimentation 

  

	 	•	 	 To ensure compliance with local legislation 

In instances where disposal is required to ensure compliance with protocol, informed consent or other legislation, the SAMPLES should be
disposed of within thirty (30) days of notification or end of stated retention. 
  

	3.	RESPONSIBILITIES 

ChemPartner will be responsible for performing the following steps: 

 

	 	(b)	Obtain endorsement for the disposal of SAMPLES according to agreed local processes (e.g custodian or receipt of request for destruction). 

 

	 	(c)	 Locate all SAMPLES required for disposal utilizing the tracking system to include samples sent externally (e.g.
3rd Party). 

 

	 	(d)	For all SAMPLES accessible to the consignee, retrieve and dispose as per local processes. 

 

	 	(e)	 For all SAMPLES transferred to a
3rd Party, communicate the requirement for disposal per
agreed process (optional template provided) 

  

	 	(f)	Record the disposal on the tracking system. For each SAMPLES or batch of SAMPLES, the disposal record will include: 

 

	 	•	 	 Reason for disposal 

  

	 	•	 	 Method of disposal (e.g. incineration). 

  

	 	•	 	 Who completed the disposal 

  

	 	•	 	 Date of disposal 

  

  

11 

  
  

	 	(g)	Provide confirmation of disposal as required (e.g. investigator, Ethics Committee) 

Any documents generated during the request, disposal or confirmation of disposal of SAMPLES must be stored and retained as per records
retention requirements. 
  

	4.	GSK REQUEST FOR DISPOSAL OF SAMPLES 

  

									
	 PROJECT/STUDY

PROTOCOL/RESEARCH
 AGREEMENT

Number or Name:
	  	
		
	 Date of request/notification for

SAMPLE destruction:
	  	                           
              day/month/year)
			
	Total No. of SAMPLES to destroy:	  		  	
	
	  ̈ Listing of samples is included in attachment

Name and Date of Attachment
                                         
                                        Number of
pages in attachment

		
	Reason for Disposal:	  	

  

							
	 Inv name/ID
	  	 Subject ID
	  	 Accession No.
	  	 SAMPLE Barcode

		  		  		  	
		  		  		  	
		  		  		  	
		  		  		  	

  

							
	GSK DESIGNATED REPRESENTATIVE Signature:	  	  
	 	
			
	Print Name of GSK DESIGNATED REPRESENTATIVE:	  		  	  

			
	Position:	  		  	  

			
	Date:	  	  
	 	

 A copy of this form will be sent to the external laboratory or group in possession of the relevant SAMPLES. It is the
responsibility of the external laboratory or group to carry out the destruction of the SAMPLES as per client specific agreements. 
  

 
 Notification of Sample
Destruction 
  

					
	Date of receipt of request for sample(s) destruction:	 	                             
            (day/month/year)	 	
			
	Date of SAMPLE(s) destruction:	 	                             
            (day/month/year)	 	
			
	Method of SAMPLE destruction:	 	          ̈ Incineration
 ̈ Chemical/Additive

         ̈ Other
	 	

							
			
	Signature of ChemPartner DESIGNATED REPRESENTATIVE:	 	  
	 	
			
	Print Name of ChemPartner DESIGNATED REPRESENTATIVE:	 		 	  

			
	Position:	 		 	  

			
	Date:	 	  
	 	

  

  

12 

  

Confirmation of the destruction is to be sent by FAX or e-mail attachment to the GSK Contact within 30 working days of receipt of this request.

 GSK Contact: * 

Email address: * 
 Fax number: * 

 

	*	Indicates where text has been omitted pursuant to a request for confidential treatment under Rule 406 of the Securities Act of 1933, as amended. The omitted materials
have been filed separately with the Securities and Exchange Commission. 

  

  

13 

  

SCHEDULE 10 

ANIMAL WELFARE 
  

 

	1.	ChemPartner agrees to comply with all relevant statutes, legislation, regulations and guidelines for the care, welfare and ethical treatment of animals used in research
in the country where the OUTSOURCED SERVICES are being performed. In conducting any research involving the use of animals, ChemPartner further agrees to comply with the -“3R” Principles- reducing the number of animals used, replacing
animals with non-animal methods whenever possible and refining the research techniques used. All work must be conducted in adherence to the core principles for animals on research studies identified below. Local customs, norms, practices or laws may
be additive to the core principles, but ChemPartner agrees to comply, as a minimum, with these core principles: 

  

	 	A.	Access to species appropriate food and water 

  

	 	B.	Access to species specific housing, including species appropriate temperature and humidity levels 

 

	 	C.	Access to humane care and a program of veterinary care 

  

	 	D.	Ability to demonstrate species specific behaviour 

  

	 	E.	Adherence to principles of replacement, reduction and refinement in the design of IN VIVO studies 

 

	 	F.	Study design reviewed by institutional ethical review panel 

  

	 	G.	Commitment to minimizing pain and distress during IN VIVO studies 

  

	 	H.	Work performed by appropriately trained staff 

  

	2.	ChemPartner agrees that all STUDY PROTOCOL(s) shall undergo an ethical review, whether or not required by applicable law, and that written documentation confirming
ethical review shall be maintained until three (3) years after the termination of this AGREEMENT demonstrating that the review was completed. Those records shall be eligible for inspection by GSK upon reasonable notice and shall be promptly
provided to GSK upon request. 

  

	3.	If ChemPartner is currently accredited by AAALAC, ChemPartner agrees to make COMMERCIALLY REASONABLE EFFORTS to maintain its AAALAC accreditation during the life of
this AGREEMENT. 

  

	4.	ChemPartner shall conduct the OUTSOURCED SERVICES only through appropriately trained and qualified staff, and ChemPartner agrees to have policies or procedures in place
to ensure the appropriate qualification and training of its ChemPartner EMPLOYEES. 

  

	5.	Upon reasonable advance notice, GSK (or its sub-contractor/delegate) shall have the right to audit ChemPartner’s records and facilities. The scope of the audit may
include, but need not be limited to, the opportunity to view relevant internal policies, training records, building management records, animal health records, tour the facility, ethical review documents, and otherwise include any documents
reasonably necessary to assess compliance by ChemPartner with any of the terms of this Schedule. 

  

	6.	ChemPartner shall immediately provide notice to GSK of any impending inspection by a regulatory authority of OUTSOURCED SERVICES or the facilities used for the
OUTSOURCED SERVICES, and GSK shall have the right to be present at the inspection, to receive a copy of any report or findings issued by the regulatory authority, and to review and comment in advance on any proposed response by ChemPartner to the
regulatory authority. ChemPartner shall also promptly provide GSK with copies of any regulatory enforcement action or inspection findings issued to ChemPartner and relating to the ethical care and treatment of animals, regardless of whether such
enforcement action or inspection finding relates to the OUTSOURCED SERVICES. 

  

	7.	ChemPartner shall have a procedure in place to audit, assess and approve its external suppliers and distributors who supply animals to ChemPartner to (i) ascertain
and confirm the quality of the animals supplied, (ii) ensure legal requirements for the care and welfare of animals are met and (iii) ensure that only purpose bred animals are used to conduct and provide the OUTSOURCED SERVICES. The
distance of suppliers from ChemPartner’s test facility shall be minimised (where practicable) and transport processes (e.g. stocking densities, carrying crates, food and water) must ensure minimum stress. On arrival, ChemPartner shall ensure
checks are in place to confirm only healthy animals are used in the OUTSOURCED SERVICES. ChemPartner shall document the approval of its animal suppliers and distributors, which documentation shall be made available to GSK upon request. GSK shall the
right, but not the obligation, to approve any supplier of non-human primates, which right may be invoked upon notice to ChemPartner. 

  

  

1 

 SCHEDULE 11 

IT INFRASTRUCTURE SYSTEM 
  

  

2 

	1.	IT INFRASTRUCTURE SYSTEM 

  

	1.1	Description of the IT INFRASTRUCTURE SYSTEM: 

The IT INFRASTRUCTURE SYSTEM shall comprise the following: 

 

	A)	IT EQUIPMENT and SOFTWARE 

The IT INFRASTRUCTURE will minimally comprise IT EQUIPMENT and SOFTWARE to support secure email exchange and additionally may comprise IT
EQUIPMENT and SOFTWARE to support collaborative working, data exchange and business processes as agreed by ChemPartner and GSK. 

Description of IT EQUIPMENT: 
  

	 	•	 	 Secure File Transfer over SSH as a mechanism to securely transfer DATA to GSK; 

 

	 	•	 	 sFTP SERVER located at ChemPartner’s SITE so that DATA can be deposited for transfer to GSK with access limited to approved ChemPartner EMPLOYEES
and GSK staff; 

  

	 	•	 	 GSK Fileshare located inside of the GSK network with access limited to approved ChemPartner EMPLOYEES and GSK staff; 

 

	 	•	 	 GSK SERVER located inside of the GSK network to enable execution of file transfers with access limited to approved GSK staff;

 Description of SOFTWARE: 
  

	 	•	 	 Secure email solution to enable secure email communication; 

 

	 	•	 	 Collaboration software hosted by GSK with access limited to approved ChemPartner EMPLOYEES and GSK staff; 

 

	 	•	 	 File Transfer application that periodically transfers DATA from ChemPartner to GSK 

 

	 	•	 	 Required SOFTWARE for the streamlining of business processes, if agreed by the PARTIES e.g. implementation or integration of Electronic Laboratory
Notebooks (eLN13), implementation of work request management solution, etc 

 All IT EQUIPMENT and SOFTWARE
shall only be used by ChemPartner’s EMPLOYEES working in the PROJECT(s) and/or the PROGRAM(s) for recording the DATA that result from the conduction and execution of the PROJECT(s) and/or PROGRAM(s). 

Additional IT EQUIPMENT and SOFTWARE that is required for the provision of the OUTSOURCED SERVICES must be agreed in writing by the
PARTIES. 
  

	1.2	Ownership of the IT INFRASTRUCTURE SYSTEM 

Details of current IT INFRASTRUCTURE ownership are: 
  

	 	•	 	 sFTP SERVER located at ChemPartner’s SITE is property of ChemPartner and consequently shall be tagged and properly identified as such in all
related documentation. 

  

	 	•	 	 All other IT EQUIPMENT comprising the IT INFRASTRUCTURE is owned by ChemPartner. 

 

	 	•	 	 All SOFTWARE provided by GSK is owned by GSK. 

  

	1.3	Maintenance of the IT INFRASTRUCTURE SYSTEM 

The PARTIES shall each nominate one designated representative to act as IT Technical Support Liaison (“IT LIASON”) for all IT
matters related to the provision of the OUTSOURCED SERVICES. Each PARTY shall provide the contact details of their respective IT LIASON at all times and post this information in a folder on the sFTP File SERVER at ChemPartner. 

Each IT LIASON will be familiar with all of the components of the IT INFRASTRUCTURE SYSTEM and will pull in appropriate additional expert
support as needed to resolve issues in a timely manner. 
  

  

1 

 The PARTIES shall provide the following maintenance services (including but not limited to
repair works, improvements and updates): 
  

	 	A)	Maintenance of IT EQUIPMENT 

  

	 	•	 	 As per GSK instructions, any IT EQUIPMENT provided to ChemPartner needs to be: 

 

	 	(i)	Maintained by ChemPartner; 

  

	 	(ii)	To be in a physically secure location; 

  

	 	(iii)	To have maximum uptime; 

  

	 	(iv)	To have system security, as described in Section 2. 

  

	 	(v)	Labelled and identified as GSK property if owned by GSK. 

  

	 	•	 	 All costs related to the IT EQUIPMENT maintenance shall be borne by ChemPartner. 

 

	 	•	 	 In the event, certain IT EQUIPMENT requires (including but not limited) a permit, license, certificate, special insurance), the IT LIASONs shall inform
their respective LIASON LEAD for them to agree on the purchase and payment of any required permit, license and/or insurance. 

  

	 	B)	Access and maintenance of SOFTWARE 

  

	 	•	 	 Access to SOFTWARE 

GSK shall be responsible for obtaining, subject to applicable THIRD PARTY software licensors’ consents, such rights to software as
maybe required for ChemPartner to perform the OUTSOURCED SERVICES set forth in the relevant STATEMENT OF WORK and/or RESEARCH AGREEMENT. 

ChemPartner shall comply with the terms and conditions of any licence (or sub-licence) relating to access to any software which is owned
by, or licensed from THIRD PARTIES and which is required by ChemPartner to perform the OUTSOURCED SERVICES set out in the applicable STATEMENT OF WORK and/or RESEARCH AGREEMENT. 

In the event, ChemPartner requires entering into a sub-licence in order to be entitled to use the SOFTWARE provided by GSK, GSK will
negotiate with the licensor of the software. Costs shall be borne by GSK. 
 ChemPartner shall be responsible for obtaining,
subject to applicable THIRD PARTY software licensors’ consents, such rights to any additional software as maybe required for ChemPartner to perform the OUTSOURCED SERVICES and which is not provided by GSK. Costs shall be borne by ChemPartner.

  

	 	•	 	 Patch Maintenance 

ChemPartner shall maintain all ES SOFTWARE and underlying applications at patch levels that protect the IT INFRASTRUCTURE SYSTEM from
known security vulnerabilities that could allow unauthorized access or modification of DATA. 
 ChemPartner shall document and
implement procedures to ensure: (i) monitoring of appropriate sources for information regarding new or emerging threats; (ii) prompt implementation of necessary patches following appropriate change management process including testing as
appropriate; (iii) documentation of CHANGES; and (iv) notification to the GSK IT LIASON of any CHANGES performed by ChemPartner that may have an impact to the provision of the OUTSOURCED SERVICES. 

 

  

2 

	 	•	 	 Anti-Virus 

ChemPartner shall configure and use up-to-date anti-virus software to protect the SOFTWARE and underlying applications as well as any
ChemPartner hardware, SOFTWARE, networks and other systems which interface with GSK systems and/or are used to provide the OUTSOURCED SERVICES. 

ChemPartner will update anti-virus signatures at least every 24 hours. 

 

	2.	SECURITY 

  

	2.1	Access to the IT INFRASTRUCTURE SYSTEM 

  

	A)	ChemPartner General Security obligations 

ChemPartner guarantees GSK that: 
  

	 	(a)	The IT EQUIPMENT and SOFTWARE placed in the GSK DESIGNATED SPACE is environmentally protected (fire, heat, water, dust). 

 

	 	(b)	There is a fire detection/alarm system. 

  

	 	(c)	There is a security group/function with FULL TIME security guards responsible for the building and the security of the SITE. 

 

	 	(d)	Restrict access to those ChemPartner EMPLOYEES that require access to the IT INFRASTRUCTURE in order to perform their responsibilities within a PROJECT and/or PROGRAM.

  

	 	(e)	All entrances to the building are manned by security guards, or security cameras. 

 

	 	(f)	Security function ensures all persons on the SITE have identification badges showing them to be ChemPartner EMPLOYEES, contractors or visitors.

  

	 	(g)	Security function controls deliveries. 

  

	 	(h)	Security function has authority to prevent unauthorised persons or vehicles entering or leaving the SITE. 

 

	 	(i)	There are full-time manned reception desks at the main entrances to the SITE. 

 

	 	(j)	In the GSK DESIGNATED SPACE, windows are either sealed or, if they can be opened, have bars or other impediment to prevent unauthorised entry. Where windows do not
comply with this requirement, there shall be a documented security procedure for the security function to secure any such access point at close of the business. Unmanned doors cannot be opened from the outside and the roof not accessible from the
ground. 

  

	 	(k)	Installation of an electronic access control system (EACS) (or an equivalent system approved by GSK) that may be: 

 

	 	(i)	Programmable to allow or deny access based on the electronic reading of a uniquely identifiable card number. The system shall link the unique card number to a named
individual. 

  

	 	(ii)	Controls access to the GSK DESIGNATED SPACE and any of the following which are used in the performance of the OUTSOURCED SERVICES: DATA, SERVER, IT EQUIPMENT and/or any
other rooms applicable to the OUTSOURCED SERVICES. The security function sends a list of current access for these locations to the ChemPartner DESIGNATED REPRESENTATIVE, on a monthly basis, to allow periodic review of the access list for
appropriateness. 

  

  

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	 	(iii)	There is a documented process for the security function to follow in granting and revoking access via the EACS. The process links to the Joiner and Leaver procedures in
Section 2.5 of this Schedule and the controlled issue of uniquely numbered electronic access cards to individuals. 

  

	 	(iv)	Access to the GSK DESIGNATED SPACE is programmed based on the instructions of GSK – this includes above-contract support staff e.g. network engineers,
air-conditioning engineers, electricians etc. Similarly, access is revoked on the instructions of GSK. 

  

	 	(v)	The system shall display real-time access information on a screen located in a security function office or desk. Access violations are detected and logged. Repeat
violations are followed up. 

  

	 	(vi)	Evidence of revoked access should be retained by the security function. 

  

	 	(vii)	Door-open time-outs are detected and alarmed by the EACS (or other automated system) 

 

	 	(viii)	The EACS (or an equivalent system approved by GSK) can produce reports of current access permissions to particular areas and logs of access events to particular areas
for defined time-periods for use in an investigation. 

  

	 	(ix)	Procedures define how access restrictions are waived for emergency situations 

 

	B)	Authentication and Authorization 

ChemPartner shall restrict access to the components of the IT INFRASTRUCTURE SYSTEM, underlying applications and DATA under their
maintenance and control using appropriate strength authentication and authorization controls in accordance with this Schedule and good industry practices. ChemPartner shall establish, document and enforce a strong password policy in line with good
industry practices and GSK POLICIES AND PROCEDURES. 
 For any SOFTWARE and underlying applications hosted and maintained by
ChemPartner: (i) every user account must be attributable to an individual; (ii) every user must have a unique User ID with a personal secret password; (iii) all default passwords for accounts shall be changed or the accounts removed
before the system is connected to a public network; (iv) all passwords must be checked for appropriate complexity (minimum complexity settings are a minimum of 7 characters, including at least one alpha and one non-alpha character);
(v) user account passwords must not be transmitted in clear text; (vi) all password files shall be strongly encrypted while transmitted and stored; (vii) invalid logon attempts shall lock out the account after a small number of failed
logon attempts (i.e. after three (3) failed logons); (viii) all unauthorized access attempts shall be logged; (ix) all successful logins and logouts shall be logged; and (x) ChemPartner shall provide administrative support and/or
self-service functionality to reset an account only after identity verification. 
 Unauthorised access attempts whether
successful or not, shall include, without limitation, multiple failed logon attempts, extremely long password attempts in an effort to break into the system through a buffer overrun vulnerability, or other issues that might indicate an attack,
provided that infrequent access attempts with erroneous logon or password combinations shall not be considered an “unauthorised attempt”. 

The following requirements must be met for any process that supports the definition and/or management of user access to an application:

  

	 	•	 	 Passwords must be communicated through secure mechanisms. Any passwords communicated via insecure mechanisms such as unencrypted email must be reset by
the end user upon initial use. 

  

	 	•	 	 Any revocation and/or modification of user access requested by GSK must be acted upon within 24 hrs of the request of the GSK DESIGNATED REPRESENTATIVE
or GSK LIASON LEAD. 

  

	 	•	 	 Access restrictions. Administrators shall restrict end user access on a “need to know” basis, to only that information and/or functions
required to perform assigned responsibilities. 

  

  

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	 	•	 	 ChemPartner shall not grant access to any ChemPartner EMPLOYEE by means of an ID and password, unless approved in writing by the GSK DESIGNATED
REPRESENTATIVE and/or GSK IT LIASON. User account must be attributable to a single individual and must never be shared with other ChemPartner EMPLOYEES. 

 

	C)	Monitoring 

 ChemPartner
shall monitor all ChemPartner SOFTWARE and underlying applications for unauthorized access, access attempts and modification of DATA. This includes a daily review of log records for indications of unauthorized access attempts. Written procedures
shall be in place to ensure: (i) detection of any access attempt by an unauthorized account; (ii) notification of ChemPartner and accountable GSK staff regarding any unauthorized access attempt; (iii) resolution of any security breach
resulting from unauthorized access, including identification of any GSK proprietary or confidential information disclosure; and (iv) adequate auditing procedures shall be implemented by ChemPartner to sufficiently, effectively and definitively
detect and define the extent of any unauthorized access. 
 In addition to the above, ChemPartner shall: 

 

	 	(a)	regularly check for and delete viruses in the IT INFRASTRUCTURE SYSTEM that is at ChemPartner’s SITE and is owned by ChemPartner. 

 

	 	(b)	Manage, maintain and update firewalls and gateway devices protecting the IT INFRASTRUCTURE SYSTEM that is at ChemPartner’s SITE and is owned by ChemPartner;

  

	 	(c)	Collect and retain, for GSK’s review, access logs recording access to the IT INFRASTRUCTURE SYSTEM by the ChemPartner EMPLOYEES and/or GSK EMPLOYEE that is at
ChemPartner’s SITE and is owned by ChemPartner; 

  

	 	(d)	monitor network traffic and take steps to investigate unusual variations in the volume of such traffic; 

 

	 	(e)	configure and use up-to-date, state-of-the-art anti-virus and other security software to protect GSK’s and ChemPartner’s IT EQUIPMENT, SOFTWARE, networks, and
other systems which interface with the IT INFRASTRUCTURE SYSTEM and/or are used to provide the OUTSOURCED SERVICES, in a manner approved by GSK; 

ChemPartner shall not, without the prior written agreement of GSK, insert or allow the insertion into any SOFTWARE and/or the IT
INFRASTRUCTURE SYSTEM of any code that would have the effect of disabling or otherwise shutting down all or any portion of the OUTSOURCED SERVICES. With respect to any disabling code that may be part of the software and/or the IT INFRASTRUCTURE
SYSTEM, ChemPartner shall not invoke such disabling code at any time, including upon termination of the OUTSOURCED SERVICES (or any part of them), without GSK’s prior written consent. 

 

	2.2	Access to the IT EQUIPMENT and SOFTWARE 

At all times, ChemPartner shall keep an updated list of all ChemPartner EMPLOYEES with access to the IT EQUIPMENT and SOFTWARE maintained
and hosted by ChemPartner. And shall make this information available upon GSK’s request. 
 At all times, GSK shall keep an
updated list of all ChemPartner EMPLOYEES with access to the IT EQUIPMENT and SOFTWARE maintained and hosted by GSK. 
  

	2.3	Access to DATA 

 The DATA
shall only be accessible to ChemPartner’s EMPLOYEES providing the OUTSOURCED SERVICES. 
 ChemPartner shall procure that
ChemPartner EMPLOYEES shall: 
  

	 	(a)	not attempt to access, or allow access to, any files or programs used in the provision of the OUTSOURCED SERVICES, including the IT INFRASTRUCTURE SYSTEM, to which they
do not require access in order to provide the OUTSOURCED SERVICES, or to which they are prohibited from accessing under the AGREEMENT or applicable law; 

 

  

5 

	 	(b)	prevent those who do not require access in order to carry out their obligations under the AGREEMENT from gaining access to the GSK System; 

 

	 	(c)	not collect, stop, process or otherwise make use of DATA for any purpose other than that which is directly in relation to the performance of the OUTSOURCED SERVICES;

  

	 	(d)	not purport to sell, let for hire, assign rights in or otherwise dispose of any DATA; 

 

	 	(e)	not make any DATA available to any THIRD PARTY other than that which is necessary to enable that person to perform its part of the OUTSOURCED SERVICES and then only to
the extent and in compliance with the AGREEMENT; 

  

	 	(f)	not commercially exploit any of the DATA; and 

  

	 	(g)	in the course of providing the OUTSOURCED SERVICES, only grant ChemPartner EMPLOYEES access to DATA and the IT INFRASTRUCTURE SYSTEM on a need to access basis in
accordance with GSK’s security clearance/authorisation policy or otherwise at the direction of GSK. 

ChemPartner shall maintain security measures to guard against any unauthorised access, against the introduction of any viruses into the IT
INFRASTRUCTURE SYSTEM, against any instances of fraud and against any alteration or destruction of the IT INFRASTRUCTURE SYSTEM and DATA within the control of the ChemPartner. Such measures shall be no less rigorous than those maintained by the
ChemPartner for its own systems and information of a similar nature and such as are necessary to ensure that, in the event of any corruption or loss of DATA within the control of the ChemPartner, regardless of the cause, ChemPartner is in a position
to restore or procure the restoration of such DATA. At a minimum, these measures shall include: 
  

	 	(a)	the provision of software which requires all users to enter a unique User ID number and password prior to gaining access to the IT INFRASTRUCTURE SYSTEM and/or DATA;

  

	 	(b)	not using general administrator or root IDs for job functions except where first logging in with a personal ID that establishes an audit trail;

  

	 	(c)	carrying out regular changes to all passwords through an agreed ageing process with effect from the EFFECTIVE DATE; 

 

	 	(d)	removing the access authorisations, including the passwords, of any ChemPartner EMPLOYEES who leave their employment or who are otherwise; 

 

	 	(e)	removing, within two (2) hours from the moment the termination notice is give to ChemPartner, any access authorisations and passwords for any individuals who no
longer have a business need and/or are no longer authorised to access the IT INFRASTRUCTURE SYSTEM and/or DATA; 

  

	 	(f)	ongoing management, maintenance and updating of firewalls and gateway devices protecting the IT INFRASTRUCTURE SYSTEM; 

 

	 	(g)	collection and retention, for GSK’s review, of access logs recording access to the IT INFRASTRUCTURE SYSTEM by the ChemPartner EMPLOYEES and/or GSK EMPLOYEES;

  

	 	(h)	monitoring network traffic and taking steps to investigate unusual variations in the volume of such traffic; 

 

  

6 

	 	(i)	configuring and using up-to-date, state-of-the-art anti-virus and other security software to protect GSK’s and ChemPartner’s IT EQUIPMENT, SOFTWARE, networks,
and other systems which interface with the IT INFRASTRUCTURE SYSTEM and/or are used to provide the OUTSOURCED SERVICES, in a manner approved by GSK; 

  

	 	(j)	scanning SOFTWARE in accordance with good industry practice to detect and eliminate viruses; 

 

	 	(k)	scanning workstations for unauthorized software, subject to local law; and 

GSK shall have the right to establish backup security DATA and to keep backup DATA and DATA files in its possession, as described in
Section 2.6 of this Schedule. 
 ChemPartner shall comply with GSK’s reasonable requirements in respect of the
segregation of DATA, as GSK shall notify to the ChemPartner in writing from time to time. 
  

	2.4	Joiner/Leaver Process of ChemPartner’s EMPLOYEES 

  

	2.4.1	ChemPartner shall ensure that all ChemPartner EMPLOYEES providing the OUTSOURCED SERVICES are properly vetted and that adequate security checks, as described in
Schedule 15. 

  

	2.4.2	Joiner Process: 

  

	 	(a)	Joiner completes ChemPartner internal human resources standard induction process, including issue of employee photo-badge and electronic access card. ChemPartner
EMPLOYEES shall make aware of the confidentiality obligations, as described in Clause 15 and 22.1.4 (h) of the AGREEMENT. 

  

	 	(b)	ChemPartner human resources will initiate the background and criminal history checks in parallel. 

 

	 	(c)	Upon ChemPartner human resources communication that the background check is satisfactory, ChemPartner shall inform the GSK DESIGNATED REPRESENTATIVE, so that:

  

	 	•	 	 Access, including passwords and accounts, can be granted by GSK to the joiner for relevant GSK hosted IT INFRASTRUCTURE and underlying applications.

  

	 	•	 	 GSK and ChemPartner can agree that access, including passwords and accounts, can be granted by ChemPartner to the relevant ChemPartner hosted IT
INFRASTRUCTURE and underlying applications. 

  

	2.4.3	Leaver Process: 

  

	 	(a)	The Leaver Process is triggered for any ChemPartner EMPLOYEE providing OUTSOURCED SERVICES when he/she leaves ChemPartner, transfers to other duties, or absconds.

  

	 	(b)	The ChemPartner IT LIASON shall ensure the following: 

  

	 	•	 	 ChemPartner Security function is informed to revoke electronic access to the ChemPartner SITE and GSK DESIGNATED SPACE, within two (2) hours from
the moment the termination notice is given to ChemPartner. 

  

	 	•	 	 ChemPartner IT LIASON is informed to revoke accounts and passwords for access to any IT INFRASTRUCTURE and underlying applications that ChemPartner
host, within two (2) hours from the moment the termination notice is given to ChemPartner. 

  

	 	•	 	 GSK LIASON LEAD and GSK DESIGNATED REPRESENTATIVE is informed by e-mail that the Leaver has ceased to provide the OUTSOURCED SERVICES and they must
submit requests following GSK processes to revoke all access and accounts to GSK SOFTWARE and IT EQUIPMENT. 

  

  

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	2.5	Back-Up Copies and Recovery 

  

	2.5.1	ChemPartner shall take reasonable precautions (having regard to the nature of other obligations under this Schedule) to preserve the integrity of the DATA and to
prevent any corruption or loss of the DATA. 

  

	2.5.2	All back-up copies will be handled by GSK. 

  

	2.5.3	In the event that the DATA is corrupted or lost as a result of any default by ChemPartner, GSK shall have the option, in addition to any other remedies that may be
available to it either under this Schedule or otherwise, to elect either of the following remedies: 

  

	 	(a)	GSK may require ChemPartner at its own expense to restore or procure the restoration of the DATA using the back-up copy stored by GSK referred in clause 2.6.2 above; or

  

	 	(b)	GSK may itself restore or procure restoration of the DATA using the back-up copy referred to in Clause 2.6.2 above, and ChemPartner shall reimburse GSK as to all/any
reasonable expenses so incurred. 

  

	2.6	Incident Reporting and Investigation 

  

	2.6.1	If there is an indication that the IT INFRASTRUCTURE SYSTEM and/or the DATA has been compromised by any failure, disruption, malfunctioning, technical problem, or
security breach: (i) the system shall be immediately powered down; (ii) GSK’s LIASON LEAD and the IT LIASON shall be notified as soon as possible (but in any event no later than twenty four (24) hours after learning of the
incident); and (iii) contact information for GSK LIASON is (External) +1.215.751.4380, (Internal) 7/8.288.4380 or, alternatively, an e-mail message can be sent to global-it.security@GSK.com. 

 

	2.6.2	In addition, if ChemPartner or any of the ChemPartner EMPLOYEES, agents or sub-contractors are requested or required (by oral questions, interrogatories, requests for
information or documents in legal proceedings, subpoena, Court petition/order or other similar process) to disclose any of the DATA, ChemPartner shall take all reasonable steps to prevent disclosing the DATA without first providing GSK with adequate
prior written notice of any such request or requirement so that GSK may seek a protective order or other appropriate remedy and/or waive compliance with the provisions of this Schedule. In such a situation, ChemPartner shall exercise COMMERCIALLY
REASONABLE EFFORTS to preserve the CONFIDENTIALITY of the DATA, including without limitation, cooperating with GSK, at GSK’s sole cost and expense, to obtain an appropriate protective order or other reliable assurance that confidential
treatment shall be accorded the DATA by the competent authorities requesting such DATA. 

  

	2.6.3	ChemPartner shall develop, maintain and update an action plan for dealing with any breach of security at the SITE and/or the GSK DESIGNATED SPACE, including
establishing security violation and unauthorised access attempt report mechanisms. ChemPartner shall provide a copy of the action plan to GSK on request, and whenever it proposes to make changes to such plan, the ChemPartner shall consult with GSK
and give reasonable consideration to incorporating any concerns and/or suggestions made by GSK prior to implementation, 

  

	2.6.4	In the event of a security violation, or attempted security violation, at the SITE and/or the GSK DESIGNATED SPACE, ChemPartner shall: 

 

	 	•	 	 notify the GSK LIASON LEAD and the GSK IT LIASON immediately by telephone or e-mail, in either case to be confirmed in writing within twenty four
(24) hours, of any perceived or actual security risks or weaknesses detected by ChemPartner (or notified to the ChemPartner by a THIRD PARTY) in the IT INFRASTRUCTURE SYSTEM and/or the DATA; 

 

	 	•	 	 carry out immediately an investigation of the incident; 

 

	 	•	 	 where appropriate, initiate immediately corrective actions to minimise re-occurrence (within forty eight (48) hours from the security violation);
and 

  

	 	•	 	 prepare and retain documentation of the investigation of the violation and provide a copy to the GSK LIASON LEAD within five (5) days from the
security violation. 

  

  

8 

	2.6.5	ChemPartner shall define, in conjunction with GSK, a rapid response procedure and rapid response team for those security incidents identified by the rapid response team
as requiring immediate action. 

  

	2.6.6	ChemPartner shall ensure that all ChemPartner EMPLOYEES use COMMERCIALLY REASONABLE EFFORTS to ensure that they note and report: 

 

	 	•	 	 any observed or suspected security weakness or incident; and 

 

	 	•	 	 any malfunctions that cause or could cause a security or legal or regulatory incident, 

 

	 	•	 	 ChemPartner shall report any such weaknesses, incidents or malfunctions to the GSK LIASON LEAD. ChemPartner shall also establish appropriate
mechanisms, including audit trails, to enable the types, volumes and costs of such weaknesses, incidents and malfunctions. 

  

	 	•	 	 ChemPartner shall identify and implement appropriate methods to prevent recurrence of the same. 

 

	2.6.7	ChemPartner shall ensure proper segregation of duties undertaken by ChemPartner EMPLOYEES in order to reduce the opportunity for, or the risk of, unauthorised
modification or misuse of the IT INFRASTRUCTURE SYSTEM and/or the DATA. 

  

	2.7	Improvement and CHANGES to the Security 

At GSK’s request and upon reasonable prior written notice, ChemPartner and GSK will meet to discuss the adequacy of
ChemPartner’s then-current DATA security practices. Within thirty (30) days of GSK’s request, or within such other period of time as mutually agreed upon by the PARTIES, ChemPartner agree to update their respective security practices,
as reasonably requested by GSK in conjunction with such meetings, to protect the IT INFRASTRUCTURE SYSTEM in accordance therewith. If, at any time during the term hereof, the PARTIES disagree as to the precise security practices which constitute
“leading industry standards” and/or the appropriateness of GSK-requested security practices updates to protect the DATA, then, in such event, the PARTIES shall refer to the OUTSOURCED SERVICES MANAGEMENT BOARD, as described in Schedule
5 to the AGREEMENT. 
  

	2.8	BUSINESS CONTINUITY PLAN (“BCP”) 

ChemPartner shall ensure that the BCP includes: 
  

	 	(a)	back-up methodology; 

  

	 	(b)	DATA verification and storing procedures; 

  

	 	(c)	documentation of business processes, procedures and responsibilities; 

  

	 	(d)	provision of appropriate levels of spares, maintenance of the IT EQUIPMENT and test of the IT EQUIPMENT; 

 

	 	(e)	responsibilities of the Sub-ChemPartners in the event of a disaster; 

  

	 	(f)	a communications strategy between the PARTIES; and 

  

	 	(g)	procedures for reverting to normal service. 

If ChemPartner has an alternative site, GSK will work with ChemPartner to set-up alternate connectivity depending on the outage length.

 The BCP shall be reviewed by the PARTIES annually, or at such other times as may be requested by GSK or the ChemPartner.
ChemPartner BCP is attached as Schedule 15. 
  

	3.	DATA MANAGEMENT 

  

	3.1	DATA Archiving 

 All DATA
shall only be stored and kept in the sFTP SERVER at the SITE dedicated to the provision of the OUTSOURCED SERVICES. 

ChemPartner agrees to use reasonable care in safeguarding, inventorying and handling all GSK DATA and supporting documentation
(hereinafter collectively termed “Archives”) gathered, generated, or obtained in relation to performance of OUTSOURCED SERVICES under the AGREEMENT by ChemPartner, whether in intangible or tangible form (such as notebooks, original or raw
data, protocols, or final report copies). 
  

  

9 

 ChemPartner shall protect all DATA held in a physical form by adopting a “clear
desk” policy and disposing of such information securely by treating it as CONFIDENTIAL waste. ChemPartner shall ensure that all DATA, files, documentation or other records relating to the OUTSOURCED SERVICES are stored in locked filing cabinets
or similar storage areas at all times outside the ChemPartner’s WORKING HOURS. 
  

	3.2	Encryption of DATA 

ChemPartner shall limit access to DATA to those specifically authorized by GSK or GSK’s designee. When transferred over non-secure
communication channels ChemPartner will encrypt all DATA transferred between GSK or its THIRD PARTY agents (including without limitation the Internet, mail or via courier) as allowed by law. ChemPartner will encrypt at all times all GSK CONFIDENTIAL
INFORMATION and PERSONAL DATA, whether in storage, production, transmission or otherwise. GSK reserves the right to, for any reason at its sole discretion, monitor or examine electronic communications or GSK IT Resources at any time. The IT
INFRASTRUCTURE SYSTEM is provided and intended for the provision of the OUTSOURCED SERVICES. 
 When transferred over non-secure
communication channels, all DATA transmitted shall be as strongly encrypted as is permitted by law. 
 In the event the
encryption technology provided by GSK falls within the scope of the Catalogue of Technologies Prohibited or Restricted from Import, ChemPartner shall promptly inform the GSK LIASON LEAD. ChemPartner shall advice and provide support to GSK if further
approval or registration of the encryption technology is required under the Regulations of the PRC for the Administration of Technology Imports and Exports before the Ministry of Commerce (MOFCOM) and the Ministry of Science and Technology, or any
other competent authority. 
  

	3.3	Restoration of DATA 

 In
the event of an emergency, disaster or disruptive incident affecting the OUTSOURCED SERVICES, ChemPartner is to work with GSK in providing the alternate site. ChemPartner is to be responsible for equipping the site with the necessary hardware and
communication capability using COMMERCIALLY REASONABLE EFFORTS to reinstitute critical services as promptly as possible. 

During the term of the AGREEMENT, ChemPartner would replace any DATA processing IT EQUIPMENT lost in a disaster. For other expenses
associated with restoration, although not part of the current AGREEMENT, GSK and ChemPartner would be available to provide resources for the facility restoration effort. 

The roles and responsibilities for restoration of this facility shall be defined in the BCP, as described in Section 2.9 above.

  

	3.4	DATA Monitoring 

Co-operation to implement and investigate. 

ChemPartner shall monitor all SOFTWARE and system firmware for unauthorised access, access attempts and modification of DATA, which shall
include a daily review of log records for indications of unauthorised access attempts. 
 ChemPartner shall put in place, and
follow, written procedures to ensure: 
  

	 	(a)	detection of any access attempt by an unauthorised account; 

  

	 	(b)	notification of the ChemPartner and GSK IT LIASON regarding any unauthorised access attempt; 

 

  

10 

	 	(c)	resolution of any security breach resulting from unauthorised access, including identification of any proprietary or CONFIDENTIAL INFORMATION disclosure, as described
in Section 2.7 of this Schedule. 

 GSK reserves the right to monitor the DATA and IT EQUIPMENT for violations
of GSK POLICIES AND PROCEDURES, or actions that may contravene the AGREEMENT. 
  

	4.	CHANGES 

  

	4.1	Level of Changes 

 Changes
relating to network connectivity must be notified in writing to the GSK IT LIASON three (3) weeks prior to the CHANGE. 

Changes to the ChemPartner internal IT INFRASTRUCTURE SYSTEM must be notified in writing to the GSK IT LIASON ten (10) days prior to
the CHANGE. 
 Any security breach must be notified to the GSK IT LIASON within twenty four (24) hours from the breach.

  

	4.2	Process 

  

	4.2.1	Any CHANGE made by the PARTIES that may impact the ability to share/exchange DATA or causes a disruption in the level of OUTSOURCED SERVICES service between ChemPartner
and the GSK, shall be documented in writing by sending an email to the respective IT LIASON(s). 

  

	4.2.2	Where a written request for a CHANGE is submitted by the GSK IT LIASON, ChemPartner shall, unless otherwise agreed, conduct the requested CHANGE within three
(3) weeks of the date of the request. 

  

	4.2.3	Each CHANGE request shall contain: 

  

	 	(a)	the title of the CHANGE; 

  

	 	(b)	the originator and date of the request or recommendation for the CHANGE; 

  

	 	(c)	the reason for the CHANGE; 

  

	 	(d)	full details of the CHANGE, including any specifications; 

  

	 	(e)	the price, if any, of the CHANGE 

  

	4.2.4	Any CHANGE required as a result of the introduction of new GSK IT POLICIES AND PROCEDURES and/or or the modification or deletion of existing GSK IT POLICIES AND
PROCEDURES (and any resulting changes to the OUTSOURCED SERVICES and/or the FEES) shall be made in accordance with the process set out in this Section. 

  

	5.	GOVERNANCE 

  

	5.1	Governance 

 The PARTIES
shall appoint their respective IT LIASON. The IT LIASONs will coordinate with other IT stakeholders within the PARTIES organisation. 
  

	5.2	Escalation Procedure 

 In
the event of any discrepancy between ChemPartner IT LIASON AND GSK IT LIASON, the interpretation, and/or the implementation of this Schedule, the PARTIES shall refer the matter to the OUTSOURCED SERVICES MANAGEMENT BOARD, as described in Schedule
5 to the AGREEMENT. 
  

  

11 

	5.3	Audits 

 GSK has the right
to AUDIT ChemPartner as described in Clause 19 of the AGREEMENT. In addition to the referred, GSK may audit the DATA and examine the IT INFRASTRUCTURE SYSTEM that process, store, support and transmit that DATA; the IT EQUIPMENT and SOFTWARE, the
general controls and security practices and procedures regarding the IT INFRASTRUCTURE SYSTEM and the disaster recovery and back-up procedures 
  

	5.4	Compliance with GSK POLICIES AND PROCEDURES 

  

	5.4.1	ChemPartner shall comply with all GSK POLICIES AND PROCEDURES related to the IT INFRASTRUCTURE SYSTEM, as described in Schedule 15 and posted in a folder on the
sFTP SERVER at Chem Partner. 

  

	5.4.2	Where ChemPartner does not currently comply, a plan should be available to demonstrate progress towards compliance. Where ChemPartner is unsure of how to comply with a
GSK POLICY AND PROCEDURE, it is ChemPartner’s responsibility to raise this with GSK IT LIASON to obtain the necessary clarification. 

  

	5.4.3	GSK shall provide ChemPartner EMPLOYEES with all necessary materials and appropriate training in the use of the IT EQUIPMENT and IT INFRASTRUCTURE, GSK SOFTWARE and
underlying applications needed to support provision of OUTSOURCED SERVICES. 

  

  

12 

 SCHEDULE 12 

DATA PROTECTION 
  

  

	1.	DEFINITIONS 

 For the purposes of this
Schedule, the following terms shall have the following meanings: 
 “DPA” means the Data Protection Act 1998 (England and Wales)
and all subordinate legislation implemented pursuant thereto, including in all cases, as amended or replaced; 
 “GSK Personal
Data” means the PERSONAL DATA transferred by GSK, or as applicable a GSK AFFILIATE, to the ChemPartner from time to time; 

“Privacy Legislation” means, in the case of GSK, the DPA, and in all other cases (including without limitation in relation to any GSK
AFFILIATE) means all laws governing, in whole or in part, privacy and/or the protection of PERSONAL DATA and/or security requirements in relation to PERSONAL DATA having effect in any legal jurisdiction including, without limitation, Conventions,
Protocol, Directives, acts of parliament, statutes, subordinate legislation, orders, regulations, enactments, other similar instruments, common law and court made law or jurisprudence and other similar laws (and to the extent they assist with
achieving compliance, all related guidance and policy as published by any body tasked with implementing or overseeing such laws); 

“Process” in the case of GSK shall have the meaning ascribed to that expression in the DPA and in all other cases shall have the
meanings set out in the applicable Privacy Legislation; 
 “PERSONAL DATA” in the case of GSK, shall have the meaning ascribed
to that expression in the DPA, and in all other cases, shall have the meanings set out in the applicable Privacy Legislation; 
 Capitalised
expressions used in this Schedule but not defined in this Schedule shall have the meanings ascribed in to them in the AGREEMENT. 
  

	2.	DATA PROTECTION PRINCIPLES 

  

	2.1	PERSONAL DATA must: 

  

	 	•	 	 be fairly and lawfully Processed 

  

	 	•	 	 be Processed for limited purposes 

  

	 	•	 	 be adequate, relevant and not excessive 

  

	 	•	 	 be accurate 

  

	 	•	 	 not be kept longer than necessary 

  

	 	•	 	 be Processed in accordance with the Data Subject’s rights 

 

	 	•	 	 be kept secure 

  

	 	•	 	 not be transferred to countries without an adequate level of protection 

 

	3.	PERSONAL DATA 

  

	3.1	Each PARTY agrees to comply with their respective obligations under all applicable Privacy Legislation in respect of PERSONAL DATA obtained by or disclosed to it
pursuant to this AGREEMENT. 

  

	3.2	ChemPartner shall comply strictly with all requirements of applicable Privacy Legislation including, without limitation, obtaining and maintaining all necessary
registrations and notifications required by such Privacy Legislation. 

  

	3.3	ChemPartner shall not through any act or omission whether in the course of performing its obligations under this AGREEMENT or otherwise, do or fail to do anything that
puts GSK or any GSK AFFILIATE in breach of any Privacy Legislation applicable to it. 

  

	3.4	ChemPartner warrants that it is not, at the date of this AGREEMENT, and has not been since the EFFECTIVE DATE, aware of any matter or circumstance, which would cause it
to be unable to comply fully with the provisions of this Schedule 12. 

  

  

1 

	4.	DATA PROTECTION 

  

	4.1	ChemPartner accepts that in relation to all GSK Personal Data that: 

  

	 	(i)	GSK and/or the relevant GSK AFFILIATE alone shall determine the purposes for which, and the manner in which, GSK Personal Data shall be Processed by ChemPartner and
other third parties; 

  

	 	(ii)	GSK shall be the data controller (as defined in applicable Privacy Legislation); 

 

	 	(iii)	ChemPartner shall be the data processor (as defined in applicable Privacy Legislation) and shall not be entitled to Process GSK Personal Data other than pursuant to and
in accordance with the terms of this AGREEMENT. 

  

	4.2	In addition to its obligations under the Privacy Legislation, ChemPartner agrees to: 

 

	 	(i)	process GSK Personal Data only in accordance with GSK’s written instructions, or as applicable the written instructions of the relevant GSK AFFILIATE, including
without limitation in relation to any requirements as to how PERSONAL DATA is disposed of or destroyed; 

  

	 	(ii)	take all necessary steps to ensure that its Processing of GSK Personal Data is fair and lawful; 

 

	 	(iii)	process GSK Personal Data only for the purposes of performing this AGREEMENT; 

 

	 	(iv)	keep and store all PERSONAL DATA on the GSK IT INFRASTRUCTURE SYSTEM only, and without prejudice to the foregoing, within the GSK DESIGNATED SPACE;

  

	 	(v)	disclose the PERSONAL DATA only to those ChemPartner EMPLOYEES as it considers necessary for the performance of the SERVICES, provided that the ChemPartner shall have
first taken reasonable steps to ensure the reliability and integrity of all ChemPartner EMPLOYEES acquiring access to PERSONAL DATA; 

  

	 	(vi)	procure that the ChemPartner EMPLOYEES will be informed of the confidential nature of the PERSONAL DATA and the requirements of the applicable Privacy Legislation and
will receive suitable training in the requirements of the Privacy Legislation. 

  

	 	(vii)	take all necessary disciplinary actions against any of the ChemPartner EMPLOYEES who act in any way in breach of the requirements of this Schedule 12,
ChemPartner’s duty of confidentiality, or the Privacy Legislation, in a prompt manner; 

  

	 	(viii)	not transmit in any form or by any means whatsoever the PERSONAL DATA outside the designated GSK DESIGNATED SPACE from which it is providing the OUTSOURCED SERVICES
(except for the transfer of PERSONAL DATA for off site security backup at [either the ChemPartner’s or GSK’s or the relevant GSK AFFILIATE’s designated disaster recovery site]) unless requested in writing to do so by GSK or the
relevant GSK AFFILIATES. 

  

	 	(ix)	as soon as is practically possible, deliver to GSK and/or the relevant GSK AFFILIATES, at their request, all disks, tapes, other electronic storage devices and the like
in its possession, custody and control, that include or relate to the PERSONAL DATA, and shall not retain any copies therefore in any computer or electronic retrieval; 

 

	 	(x)	not disclose GSK Personal Data to any third party without GSK’s (or the relevant GSK AFFILIATE’s) prior written consent, unless the disclosure is required by
law and ChemPartner complies with Paragraph 4.2(xi); 

  

	 	(xi)	retrieve the relevant PERSONAL DATA and provide a full copy of such PERSONAL DATA to GSK, or as applicable to the relevant GSK AFFILIATE, as soon as possible but in any
event within twenty five (25) days of receipt of notice containing the request, where GSK or a GSK AFFILIATE requests PERSONAL DATA for the purpose of complying with a subject access request under the Privacy Legislation;

  

  

2 

	 	(xii)	immediately notify GSK and the relevant GSK AFFILIATE if and when the disclosure of GSK Personal Data may be required by law or by order of a court or any other
competent authority so as to allow GSK or the relevant GSK AFFILIATE to challenge such disclosure and to this end, ChemPartner shall co-operate with and assist in any challenge; 

 

	 	(xiii)	take, put in place and maintain all necessary technical and organizational security measures so as to secure the confidentiality of the PERSONAL DATA and prevent
against unauthorized or unlawful Processing of PERSONAL DATA and to protect against accidental or unlawful destruction or accidental loss, alteration, unauthorized disclosure or access, in particular where the Processing involves the transmission of
PERSONAL DATA over a network; 

  

	 	(xiv)	put into place and maintain appropriate technical and organisational measures against unauthorised access, loss, destruction, misuse, modification, disclosure or damage
to GSK Personal Data including without limitation by ensuring that only duly authorised officers, employees, agents and contractors are permitted access to GSK Personal Data and assuming full responsibility for monitoring and restricting the use of
secure passwords, user identification numbers and other security procedures; and 

  

	 	(xv)	permit GSK and any GSK AFFILIATE, by its duly authorised representatives, upon reasonable prior notice to ChemPartner from time to time, to inspect and audit
ChemPartner’s Processing activities hereunder, and comply with all instructions and directions from GSK or any GSK AFFILIATE during or as a result of such inspection and/or audit, to enable GSK to verify and/or procure that ChemPartner is in
full compliance with its obligations under this AGREEMENT regarding the Processing of GSK Personal Data; 

  

	 	(xvi)	at the request of GSK or the relevant GSK AFFILIATE following the termination or expiry of this AGREEMENT or any part of this AGREEMENT, at their discretion,
immediately return or destroy the PERSONAL DATA (including all copies of it). 

  

	4.3	In the event that: 

  

	 	(i)	PERSONAL DATA is disclosed by ChemPartner, in violation of this AGREEMENT or applicable laws pertaining to privacy or data security, or 

 

	 	(ii)	ChemPartner discovers, is notified of, or suspects that unauthorized access, acquisition, disclosure or use of PERSONAL DATA has occurred (“Privacy
Incident”), 

 ChemPartner shall notify GSK immediately in writing of any such Privacy Incident and shall
cooperate fully in the investigation of the Privacy Incident. To the extent that a Privacy Incident gives rise to a need, in GSK’s sole judgment, to provide (a) notification to public authorities, individuals, or other persons, or
(b) undertake other remedial measures (including, without limitation, notice, credit monitoring services and the establishment of a call centre to respond to inquiries (each of the foregoing a “Remedial Action”)), at GSK’s
request, ChemPartner shall, at ChemPartner’s cost, undertake such Remedial Actions. The timing, content and manner of effectuating any notices shall be determined by GSK in its sole discretion. 

 

	5.	INDIVIDUAL COMPLAINTS 

  

	5.1	If an individual complains to GSK or any GSK AFFILIATE that ChemPartner (or any ChemPartner EMPLOYEES) have, in the performance of this AGREEMENT, breached the rights
of that or any other individual or handled any PERSONAL DATA inappropriately whether through misuse or wrongful disclosure or otherwise, ChemPartner, upon request, must promptly give GSK and the affected GSK AFFILIATE sufficient details about the
complaint to enable GSK and the affected GSK AFFILIATE to complete an investigation and inquiry into the complaint and minimise any further mishandling or wrongful or unlawful use of PERSONAL DATA. ChemPartner shall assist GSK and the affected GSK
AFFILIATE to investigate the complaint by co-operating with GSK’s requests and the requests of the affected GSK AFFILIATE and further providing GSK and the affected GSK AFFILIATE and their authorised representatives with access to written
records and computer systems and permitting GSK and the affected GSK AFFILIATE to interview ChemPartner EMPLOYEES. 

  

  

3 

	5.2	If an individual complains to ChemPartner that ChemPartner (or any ChemPartner EMPLOYEES) have, in the performance of this AGREEMENT, breached the rights of that or any
other individual or handled any PERSONAL DATA inappropriately whether through misuse or wrongful disclosure or otherwise, ChemPartner must: 

  

	 	(i)	promptly inform GSK and the affected GSK AFFILIATE of the complaint; and 

  

	 	(ii)	provide GSK and the affected GSK AFFILIATE with the PERSONAL DATA that is the subject of the complaint; and 

 

	 	(iii)	assist GSK and the affected GSK AFFILIATE to investigate the complaint by cooperating with GSK’s requests and the requests of the affected GSK AFFILIATE and
further providing GSK and the affected GSK AFFILIATE and their authorised representatives with access to written records and computer systems and permitting GSK and the affected GSK AFFILIATE to interview ChemPartner EMPLOYEES.

  

	6.	PRIVACY POLICIES OF GSK 

Without limiting the provisions of Schedule 12, ChemPartner agrees to comply with each privacy, security and data processing policy of GSK
and of each GSK AFFILIATE as if it were bound by that policy in respect of PERSONAL DATA obtained by or disclosed to ChemPartner pursuant to this AGREEMENT. 
  

	7.	SUPPLIER INDEMNITY 

ChemPartner indemnifies GSK and each GSK AFFILIATE, and must keep them indemnified, in respect of all demands, claims, proceedings,
liabilities, fines, penalties, losses, damage, costs and expenses incurred by or awarded against GSK or a GSK AFFILIATE arising out of or in connection, directly or indirectly, with any breach by ChemPartner of its obligations under Clause 16 and
this Schedule 12 or under applicable Privacy Legislation. 
  

	8.	DATA TRANSFERS 

  

	8.1	GSK and ChemPartner acknowledge and accept that any GSK PERSONAL DATA Processed or to be Processed pursuant to this AGREEMENT may be subject to transfer between
countries (each a “Data Transfer”) including from a country within the European Economic Area to a country outside the European Economic Area (an “EU Data Transfer”) and, that in the event of a Data Transfer, GSK or
the GSK AFFILIATE, as applicable, may require ChemPartner and such of its AFFILIATES and contractors (including any contractors to AFFILIATES of ChemPartner) engaged in performing the SERVICES, to enter into a separate AGREEMENT for the protection
of PERSONAL DATA (including without limitation in the case of an EU Data Transfer, an AGREEMENT which provides for adequate protection in accordance with Article 25 of EU Directive 95/46/EC and any applicable local law implementations of that
Directive), and that ChemPartner shall procure the same. 

  

	8.2	In the event that GSK or any GSK AFFILIATE makes a request pursuant to Paragraph 8.1 of this Schedule 12, ChemPartner shall, and shall procure that all of its
AFFILIATES and contractors (including any contractors to AFFILIATES of ChemPartner) engaged in performing the SERVICES enter into an AGREEMENT with GSK or as appropriate the relevant GSK AFFILIATE on such terms as GSK or the relevant GSK AFFILIATE
may propose or require (which, for the avoidance of doubt, in the case of an EU Data Transfer may include the “Standard Contractual Clauses for the Transfer of Personal Data from the Community to Third Countries (Controller to Processor
Transfers or Controller to Controller)” adopted by the European Commission under Directive 95/46/EC and as amended from time to time (the “EU Model Clauses”). 

 

  

4 

	9.	SUB-CONTRACTORS 

  

	A)	Where in accordance with Clause 37.1 GSK permits ChemPartner to appoint any sub-contractor to perform, in whole or in part, any of the SERVICES, ChemPartner shall:

  

	 	(i)	choose a sub-contractor providing sufficient undertakings in respect of technical and organisational security procedures and measures; 

 

	 	(ii)	ensure that such appointment is made only under a contract evidenced in writing and approved by GSK and which for the avoidance of doubt obliges such sub-contractor to
perform its obligations in accordance with GSK’s written instructions and other safeguards imposed by GSK; and 

  

	 	(iii)	at the request of GSK, procure such sub-contractor to enter into a direct covenant with GSK and the relevant GSK AFFILIATES governing any of the issues set out in
Clause 16 of the AGREEMENT and this Schedule 12. 

  

	10.	FURTHER ASSURANCE 

ChemPartner shall, at the request of GSK and at its own cost, do and execute all such further acts, things and documents as are required
or requested by GSK to give full effect to the terms of this Schedule 12, the Data Transfers and transactions contemplated under Clause 16 of the AGREEMENT and Schedule 12. 

 

	11.	SURVIVAL OF CLAUSE 

Clause 16 of the AGREEMENT and this Schedule 12 will survive the termination of this AGREEMENT. 

 

  

5 

 SCHEDULE 13 

Record Retention Policy 
  

  

  
  

	1.	RETENTION OBLIGATIONS 

ChemPartner shall comply with the GSK Global Record Retention Policy as set forth in this Schedule. 

The retention period shall apply to all DATA generated by ChemPartner during the performance of the OUTSOURCED SERVICES. 

In the event the DATA created by ChemPartner is transferred back to GSK, ChemPartner is not required to comply with the Record Retention
Schedule periods detailed in Section 2. In these cases, ChemPartner shall observe the timeframes established by GSK for returning the DATA, as established in Clause 19.2.5 of the AGREEMENT and/or in the specific SOW and/or RESEARCH AGREEMENT.

 GSK shall notify ChemPartner any change regarding the Record Retention Policy and/or the Record Retention Schedule periods
indicated below. 
  

	2.	RECORDS RETENTION SCHEDULE 

ChemPartner shall observe the following records retention periods as detailed below: 

 

	2.1	Administrative 

  

					
	 Record Category
	 	 Description
	 	 Retention Period

			
	Administrative records	 	Documentation relating to routing administrative activities performed by ChemPartner regarding DOS provided.	 	No longer than one year
			
	Personnel/Supervisory Records	 	Documentation maintained by line managers to facilitate the day-to-day management of ChemPartner’s EMPLOYEES involved in the provision of the OUTSOURCED SERVICES under the
AGREEMENT	 	No longer than employment ends
			
	Inventory Records	 	A detailed list of all goods and MATERIALS in stock supplied by GSK to ChemPartner at the SITE and/or GSK DESIGNATED SPACE	 	Until superseded by new version

  

	2.2	Discover, Research and Develop Drugs/Products 

  

					
	 Record Category
	 	 Description
	 	 Retention Period

			
	AUDIT / Inspection Records	 	Documentation relating to the examination of internal and external controls, compliance with policies and procedures and improved process recommendations pertaining to
GxP	 	7 years after Audit is closed.
			
	Computer System Documentation — Research and development applications systems	 	Documentation relating to the design, development, validation, installation, implementation, use and retirement of regulated computer applications/systems	 	30 years after life of system
			
	Discovery Records	 	Documentation generated in the course of research and discovery of a new compound except for paper laboratory notebooks and/or supplemental DATA	 	30 years

  

  

1 

  
  

					
	 Record Category
	 	 Description
	 	 Retention Period

			
	BIOLOGICAL SAMPLE management records	 	Records that provide traceability of the acquisition and management of BIOLOGICAL SAMPLES obtained by ChemPartner for use in research and development	 	30 years . after sample exhausted or disposed of
			
	Laboratory Animal health records	 	Records related to the acquisition, care and maintenance of animals, generated outside of a defined GxP study	 	10 years after disposition
			
	Laboratory Animal Management records	 	Documentation detailing the management, environment and licenses for conducting animal studies where regulated procedures are carried out	 	5 years
			
	Paper laboratory Notebooks (pLNBs) and/or Supplementary DATA	 	Recorded sets of ideas, experimental designs, test observations, results analysis and /or conclusions derived from experiments or STUDIES performed during the research and
development of a COMPOUND	 	65 years
			
	Organization charts and job description	 	Documents which define reporting lines and responsibilities of individuals involved in the discovery, research and development of drugs / products	 	30 years after superseded by new version
			
	Policies/Procedures	 	Documentation of GxP regulated methods, processes and procedures	 	30 years after superseded by new version
			
	Preclinical study records	 	Documentation created during the management and execution of preclinical GxP studies of groups of STUDIES	 	30 years from initial approval or non-submitted closure
			
	 Record Category
	 	 Description
	 	 Retention Period

			
	Research and Development (“R&D”) facility (premises, equipment, utilities) records	 	Records validating the quality of R&D facilities, equipment and utilities systems and procedures which may be produced once only, periodically or generated via ongoing process
	 	30 years after life of facility, premises, equipment, utility.
			
	Research reports / Technical documents	 	Summary information pertaining to company sponsored research, development and medical activities	 	30 years
			
	Specimens-preclinical-laboratory Animal science slides	 	Raw specimens collected during preclinical or screening purposes	 	2 years after processing completed
			
	Specimens preclinical Laboratory Animal Science — wet tissue, blocks	 	Raw specimens collected during preclinical or screening purposes	 	6 months
			
	Specimens — preclinical slides	 	Raw specimens collected during preclinical studies	 	20 years after report issued of specimen archived
			
	Specimens — preclinical tissues and DNA samples	 	Raw specimens collected during preclinical studies	 	10 years after report issued or specimen archived

  

  

2 

  
  

					
	 Record Category
	 	 Description
	 	 Retention Period

			
	Specimens preclinical — wax blocks and electron microscopy blocks and grids	 	Raw specimens collected during preclinical studies	 	15 years after report issued or specimen archived
			
	Training /education employee records	 	Records of internal and external training and experience that demonstrate staff ability to carry out processes in accordance with regulations	 	30 years after employment ends
			
	Training /education materials records	 	Records of training /education course design, development and content used in the delivery of internal and external training events	 	15 years after superseded

  

	2.3	Manage the Organization 

  

					
	 Record Category
	 	 Description
	 	 Retention Period

			
	Accounting records	 	Documentation detailing payment /receipt transactions within ChemPartner or between ChemPartner and others	 	1 year after UK, US and local tax audits have closed or 7 years
			
	AUDIT records	 	Documentation relating to the examination of compliance with internal and external controls, policies and procedures, laws and regulations, by ChemPartner and its external suppliers
and contractors	 	7 years after Audit is closed
			
	BUSINESS CONTINUITY planning records	 	Documentation detailing plans and preparations necessary to minimize loss and maximize the continuity of critical business functions in the event of an unforeseen business
interruption	 	Until superseded by new version
			
	Communication records external	 	Communication materials prepared by or for ChemPartner for external use with investors, stock analysts, corporate regulators and the general public	 	5 years
			
	Communication records internal	 	ChemPartner’s internal communication materials distributed throughout the organization or within large business areas in relation to the AGREEMENT, SOW and/or RESEARCH
AGREEMENT	 	3 years
			
	 ChemPartner’s EMPLOYEE

records
	 	Documentation concerning terms and conditions and employment status of individual ChemPartner’s EMPLOYEES involved in the provision of the OS under the AGREEMENT, SOW and/or
RESEARCH AGREEMENT	 	7 years after employment ends
			
	Recruitment records	 	Documentation related to various types of investigations, including those pertaining to misconduct by a ChemParner EMPLOYEE or contractor, fraud, and product tampering	 	6 years after investigation is completed

  

  

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	2.4	Manufacture Products 

  

					
	 Record Category
	 	 Description
	 	 Retention Period

			
	Master Manufacturing Specifications and Procedure Records	 	Master records of standard definitions, descriptions or instructions to be followed in order to maintain statutory or regulatory compliance	 	7 years after superseded by new version

  

  

4 

 SCHEDULE 14 

DATA INTEGRITY AND DATA RECORDING 
  

  

	1.	SCOPE 

  

	1.1	This Schedule provides a detailed set of standards and processes for managing laboratory DATA in compliance with GSK POLICIES AND PROCEDURES. If the standards and
processes set out in this Schedule conflict with Good Laboratory Practices (GLP) and/or Good Manufacturing Practices (GMP), the GxP practices should be given preference over this Schedule. 

 

	1.2	The following terms shall have the following meanings when used in this Schedule: 

 

	 	•	 	 DATA means any data or record used, stored, received or created (in electronic or hardcopy format) by ChemPartner in providing the OUTSOURCED
SERVICES under this AGREEMENT 

  

	 	•	 	 Derived DATA means raw DATA (see below) that is processed either manually or computationally as part of the procedure for determining
conclusions to an experiment and therefore may be rendered into an alternative format. 

  

	 	•	 	 Interpreted DATA means the comments and conclusions made from the derived DATA files e.g. documents, reports and presentations.

  

	 	•	 	 Laboratory notebook means as a set of ideas, experimental designs, test observations, results, analyses, and/ or conclusions derived from
experiments or studies performed during the research and development of a COMPOUND / drug / product. The term “pLNB” means a bound paper laboratory notebook. The term “eLNB” means a GSK-provided electronic DATA management system
used as the primary repository for recording and managing ideas, experimental designs, etc. and that is a replacement for the pLNB. 

  

	 	•	 	 Raw DATA, whether in paper or electronic form means the record of observation or other DATA input mechanisms and includes output from readers
and instruments. 

  

	 	•	 	 Supplementary DATA is defined as Raw DATA or Derived DATA that directly supports a pLNB. It should be stored in Supplementary DATA Repositories
and cross-referenced to pLNB or eLNB records as defined in Section 8 of this Schedule. 

  

	 	•	 	 Supplementary DATA Repository means a physical or electronic location used to store Supplementary DATA referenced in pLNB or eLNB.

  

	2.	DATA INTEGRITY 

  

	2.1	All DATA shall remain at all times the property of GSK. ChemPartner shall comply with the good DATA Integrity Practices, as detailed in Appendix 1 to this
Schedule. 

  

	2.2	DATA must be stored in pLNB and/or eLNB securely with sufficient metadata in English language to enable their reliable retrieval. 

Electronic DATA must reside in secure shared areas. No DATA should be stored on local drives, CDs, floppy disks, USB memory storage
devices or any fragile or unsecured medium. 
  

	2.3	Education and training. It is the responsibility of the GSK DESIGNATED REPRESENTATIVE to put in place and operate the education and training programme on DATA
integrity. 

  

  

1 

	3.	CHEMPARTNER EMPLOYEES OBLIGATIONS REGARDING DATA INTEGRITY AND DATA RECORDING 

 

	3.1	Maintain the confidentiality and security of experimental DATA, procedures and results, including proper overnight storage of pLNBs/eLNBs and Supplementary DATA (e.g.
secured in locked cabinets or drawers); 

  

	3.2	Record all experimental procedures, DATA and results; 

  

	3.3	ChemPartner EMPLOYEES and ChemPartner shall follow the good DATA integrity practices as described in Appendix 1 of this Schedule. 

 

	3.4	Provide an index of non-archived DATA files and access by GSK to those files for pLNBs; 

 

	3.5	Return pLNBs and Supplementary DATA Repositories to GSK if not actively using them; 

 

	3.6	Return pLNBs for microfilming once complete or upon request from GSK, whichever occurs first, as described in Section 5.1.4 of this Schedule;

  

	3.7	Serve as a witness where appropriate; 

  

	3.8	Return pLNBs and related MATERIALS to GSK prior to leaving ChemPartner and identify all non-archived DATA files and provide access to them to the GSK DESIGNATED
REPRESENTATIVE; 

  

	3.9	ChemPartner shall follow the leaver checklist as detailed in Section 6 of this Schedule. 

 

	4.	PROCEDURES FOR DATA RECORDING 

  

	4.1	Issuance of pLBNs and eLNBs 

 GSK
will provide ChemPartner with the required number of pLNBs for the performance of the PROJECT and/or PROGRAM. 
 Where an eLNB
system is provided, GSK shall determine the number of eLNB accounts that are required for each PROJECT and/or PROGRAM. 
 All
pLNB/eLNB provided by GSK during the AGREEMENT, a SOW and/or a RESEARCH AGREEMENT are the property of GSK. The contents of any pLNB/eLNB shall be regarded as CONFIDENTIAL INFORMATION. The information in a pLNB/eLNB may not be publicly disclosed,
copied, or removed from the GSK DESIGNATED SPACE except by, or on the direction of authorised GSK personnel. 
  

	4.2	Signature of pLNBs 

  

	 	•	 	 Every page of a standard pLNB must be signed and dated by the ChemPartner EMPLOYEE who records an idea or conducts the experiment as soon as the work
is recorded. 

  

	 	•	 	 Sign and date using indelible ink. The use of signature stamps is prohibited. The use of date stamps is acceptable if a wet signature is included.

  

	 	•	 	 Sign and date every page of a standard pLNB as soon as the work is completed and recorded. 

 

	 	•	 	 Write “End of data” on last page used for the registration of the DATA. 

 

	 	•	 	 Draw line across each blank page following last page of the registered DATA. 

 

  

2 

	4.3	Witnessing pLNBs 

  

	 	•	 	 pLNBs must be reviewed and witnessed in accordance with GSK DESIGNATED REPRESENTATIVE instructions at all times. 

 

	 	•	 	 The author of the pLNB must write up the work close in time to when the work was done. 

 

	 	•	 	 The author must sign and date the experimental write up immediately upon completing the write up. 

 

	 	•	 	 Once the above is done, an appropriate person who can read and understand the write up must review the write up and then sign and date each page that
was reviewed as soon as possible after the author has signed and dated that material, preferably within two weeks of completing the recording of the experiment or study write up. 

 

	 	•	 	 The reviewer must be an individual who knows and understands the experiment or STUDY and is not likely to be a co-inventor.

  

	5.	DATA RECORDING 

  

	5.1	General requirements 

 All pLNB
entries must be entered in English language and in indelible ink (black or blue). Pencils must not be used or coloured inks. Legibly record the following in the pLNB, in chronological order (i.e. do not leave empty pages for experiments that are
going to be completed at a later date): 
  

	 	•	 	 In both pLNB and eLNB write ups, a brief description of the methods, EQUIPMENT, test substances, test systems used including COMPOUND numbers and names
(if applicable), chemical line equations (if appropriate), test COMPOUND and/or REAGENT, lot/batch numbers and expiration dates. 

  

	 	•	 	 Include references to pertinent information sources, such as literature, standard methods, approved protocols and reports, entries in other pLNBs or
eLNB records, or Laboratory Information Management Systems (LIMS) references. 

  

	 	•	 	 Record all DATA and observations obtained from the study or experiment including negative and incomplete results, as well as information derived during
methods development. If DATA and observations are too volumous to include in the pLNB/eLNB, they should be inserted in Supplemental material binders, as described in Section 8 of this Schedule. 

 

	 	•	 	 Include cross references to other pLNBs/eLNB, DATA held in Supplementary DATA Repositories on the page(s) of the pLNB/eLNB to which the cross-reference
applies (as appropriate); 

  

	 	•	 	 Provide risk assessments (as appropriate); 

  

	 	•	 	 In pLNB write ups, do not attach items that are (i) larger than the notebook page, or (ii) attach computer printouts with font smaller than
9; 

  

	 	•	 	 In pLNB, if only a partial page is used to complete the full write up, draw a diagonal line across the remainder of the page and sign and date it at
the bottom. 

  

	 	•	 	 To void a page, a diagonal line should be drawn across the page and the page signed and dated at the bottom. 

 

  

3 

	 	•	 	 Education and training. It is the responsibility of the GSK DESIGNATED REPRESENTATIVE to put in place and operate the education and training programme
on DATA recording. 

  

	5.2	For Chemistry pLNBs the following information is required, including but not limited to: 

 

	 	•	 	 Name of ChemPartner EMPLOYEE; 

  

	 	•	 	 the date that the experiment was started; 

  

	 	•	 	 the name of the PROJECT(s) and/or PROGRAM(s); 

  

	 	•	 	 the amounts of REAGENTS (in grams and millimoles) and solvents (milliliters) used in the experiment; 

 

	 	•	 	 the source of starting COMPOUNDS/REAGENTS (preceding and/or succeeding pLNBs), purity, and hazards; 

 

	 	•	 	 the detailed purification methods and yields; 

  

	 	•	 	 pLNB reference, if applicable GSK-vial barcode number (for all COMPOUNDS); 

 

	 	•	 	 GSK Number for final COMPOUND (each batch) 

  

	 	•	 	 the signature of the chemist with date the experiment was completed 

 

	 	•	 	 the signature of a witness (a chemist who is a ChemPartner EMPLOYEE) 

 

	 	•	 	 Cross-references to Supplementary DATA Repositories 

  

	5.3	For Bioloay/DMPK pLNBs the following information is required, including but not limited to: 

 

	 	•	 	 Name of ChemPartner EMPLOYEE; 

  

	 	•	 	 the date that the experiment was started, and the objective of the experiment 

 

	 	•	 	 the PROJECT(s) and/or PROGRAM(s); 

  

	 	•	 	 the GSK COMPOUND Number, chemist’s pLNB/eLNB reference, and GSK-vial barcode number of the test sample 

 

	 	•	 	 the reference number for the GSK AESOP or ChemPartner protocol followed 

 

	 	•	 	 any deviations from the aforementioned GSK AESOP or ChemPartner protocol 

 

	 	•	 	 all details of the experimental methods: instrument details and calibrations, DATA analysis/SOFTWARE used, observations, DATA points rejected from
analysis (and rationale) 

  

	 	•	 	 results and conclusions 

  

	 	•	 	 the signature of Biologist/DMPK scientist with date the experiment was completed 

 

	 	•	 	 the signature of a witness (a Biologist/DMPK scientist who is a ChemPartner EMPLOYEE), who can be working on the same PROJECT and/or PROGRAM, but who
is not conducting the same ASSAY), with date, upon completion of the experiment. 

  

	5.4	Management of pLNBs 

  

	 	•	 	 pLNBs shall be indexed, tracked, microfilmed, imaged and archived by the ChemPartner. COMPOUND numbers, STUDY numbers, pLNB subject information, and
supporting DATA location references shall be indexed in the corresponding database record if listed in the pLNB index by the scientist. 

  

	 	•	 	 pLNBs are microfilmed and imaged upon completion to ensure DATA protection for future reference, regulatory, or patent purposes.

  

	 	•	 	 pLNBs shall be returned to GSK: 

  

	 	•	 	 upon completion of the pLNBs. ChemPartner shall have one (1) month from completion to return the pLNBs to GSK; or 

 

	 	•	 	 upon completion of the period established in the respective SOW and/or RESEARCH AGREEMENT. 

 

  

4 

	 	•	 	 all pLNBs and related DATA that are not actively used for reference purposes must be returned to GSK for archiving immediately.

  

	5.5	Disposition of Missing Bound pLNBs 

ChemPartner must promptly report missing or destroyed pLNBs to GSK DESIGNATED REPRESENTATIVE and GSK LIASON LEAD. 

 

	6.	ELECTRONIC LABORATORY NOTEBOOK 

  

	6.1	When applicable, ChemPartner shall comply with the eLNB business rules hereto attached as Appendix 2 to this Schedule. 

 

	6.2	Specific protocols and training materials will be provided at the point in time when eLNB is offered for implementation to the ChemPartner. Said specific protocols will
be incorporated to the AGREEMENT as Appendix 3, to this Schedule. 

  

	7.	LEAVERS CHECKLIST 

ChemPartner should ensure that the following activities are carried out before a ChemPartner EMPLOYEE leaves ChemPartner: 

 

	 	•	 	 Completion of all experiments where leaver is the primary author, when applicable; 

 

	 	•	 	 All experiments finished, when applicable; 

  

	 	•	 	 All signed and closed, when applicable; 

  

	 	•	 	 All witnessed, when applicable; 

  

	 	•	 	 Notify author where leaver is co-author on any experiments to omit leaver on witness trail or close experiments before leaver goes, when applicable;

  

	 	•	 	 Any experiments that user needs to witness are completed or author needs to recall and assign to a new witness; 

 

	 	•	 	 Any templates owned by the user are copied/pasted (NOT paste reference) by new owner, when applicable; 

 

	 	•	 	 Assign full control to ChemPartner DESIGNATED REPRESENTATIVE or other ChemPartner EMPLOYEE working in the PROJECT and/or PROGRAM (prior written
approval from G S K DESIGNATED REPRESENTATIVE) on any open experiments so they can be completed. 

  

	8.	SUPPLEMENTAL MATERIAL BINDER (SMB) 

  

	8.1	GSK will provide ChemPartner with the required number of SMB for the performance of the PROJECT and/or PROGRAM. 

 

	8.2	In addition, each pLNB will have a SMB supplied by GSK for filing the Supplemental DATA. 

 

	8.2.1	In the SMB for Chemistry, pLNBs, ChemPartner will include hard copies of all of the appropriate Supplemental DATA for each intermediate and synthesized COMPOUND.
ChemPartner shall ensure that each piece of the appropriate Chemistry pLNB Supplemental DATA (H1-NMR, LCMSs, elemental analyses, analytical HPLC DATA, etc.) includes the following information: 

 

	 	A)	a cross-reference to the pLNB page number and suffix code 

  

  

5 

	 	B)	date 

  

	 	C)	Chemist’s signature 

  

	 	D)	COMPOUND’s structure 

  

	 	E)	GSK Number of the COMPOUND and GSK-vial barcode number of the sample. 

  

	8.2.2	In the SMB for the Biology/DMPK pLNBs, ChemPartner will include hard copies of all of the appropriate Supplemental DATA for each COMPOUND submitted. ChemPartner
will ensure that each piece of the appropriate Biology/DMPK pLNB Supplemental DATA includes the following information: 

  

	 	A)	GSK Number of the COMPOUND and GSK-vial barcode number of the sample tested 

 

	 	B)	a cross-reference to the GSK-Biologist’s/DMPK Scientist’s pLNB page number 

 

	 	C)	date 

  

	 	D)	Biologist’s signature 

  

  

6 

 APPENDIX 1— Good Data Integrity Practices 

Experimental Design 
  

	•	 	 All experiments must have a documented purpose and be identifiable by a unique reference. 

 

	•	 	 All experimental methodologies should be documented in pLNB/eLNB or reference made to their location. 

 

	•	 	 Experimental details must be recorded and any deviations documented and explained. 

DATA Generation 
  

	•	 	 Information about the test material must be sufficient to ensure its identification and integrity. 

 

	•	 	 EQUIPMENT used to generate the DATA should be appropriate for the purpose and evidence for acceptable performance obtained at the time of the
experiment. 

  

	•	 	 All DATA generated must be collected into a secure location so as to minimise the risk of unauthorised alteration. Electronic Raw DATA should be
captured directly into a secure structured shared area or if not possible, the DATA should be transferred to such a location as soon as possible and deleted from the original location. 

 

	•	 	 Where DATA are observational and require subjective assessment, systems should be implemented to avoid bias. 

DATA Recording 
  

	•	 	 All DATA should be recorded contemporaneously, should be retrievable and identifiable by unique reference and signed and dated by the scientist.

  

	•	 	 DATA recorded manually must be recorded in a pLNB/eLNB according to this Schedule and Appendices. 

 

	•	 	 Clear audit trails should be established that link experimental results back to the original observations with sufficient detail that the experiment
could be reliably reconstructed. 

 DATA Analysis 

 

	•	 	 Statistical methods used must be identified and recorded. Similarly, any supplementary software applications must be identified and recorded.

  

	•	 	 Selective use of DATA for inclusion or exclusion during the analysis must be fully justified. 

Reporting 
  

	•	 	 Information and conclusions in reports must be traceable back to the supporting DATA and the DATA should support the conclusions.

  

	•	 	 Results and any conclusions, and their supporting DATA must be approved by the GSK DESIGNATED REPRESENTATIVE. 

 

	•	 	 If DATA is selected for reporting, the subset of DATA utilised and the reasons for selection should be justified, documented and approved by GSK
DESIGNATED REPRESENTATIVE. 

 Data storage, Retention, Archiving 

 

	•	 	 All DATA must be stored with sufficient metadata to enable their reliable retrieval. 

 

	•	 	 All DATA must be stored securely. Electronic DATA must reside on a secure, shared area. No DATA should be stored on local drives, CD’s, floppy
disks, USB memory storage devices or any fragile or unsecured medium. 

  

	•	 	 ChemPartner shall comply with Schedule 13 on Record Retention. 

 

	•	 	 pLNBs and all Supplementary DATA should be archived and stored as instructed by GSK at all times. 

 

  

7 

 APPENDIX 2—eLNB Business Rules Summary for ChemPartner and ChemPartner EMPLOYEES 

eLNB has been developed as an electronic replacement for pLNB. The following rules shall apply: 

 

	1.	Logging on to eLNB 

  

	•	 	 GSK shall provide authorised ChemPartner EMPLOYEES with a unique user ID and password. 

 

	•	 	 Each eLNB user account is assigned on an individual basis. Personal user ID and passwords assigned to one ChemPartner EMPLOYEE cannot be shared or
given to other ChemPartner EMPLOYEES working in the PROJECT and/or PROGRAM. 

  

	•	 	 ChemPartner EMPLOYEE shall keep his/her eLNB account secure, by logging on to eLNB with his/her personal user ID and password, and by locking his/her
eLNB account and computer when away from your desk. 

  

	•	 	 If ChemPartner EMPLOYEE shares a PC, ChemPartner EMPLOYEE must logon to the computer and eLNB using his/her personal user ID and password.

  

	2.	Creating new notebooks and experiments 

  

	•	 	 Permissions can be assigned at the notebook level to allow multiple people to create experiments in a single notebook. 

 

	•	 	 Permissions are assigned by the responsible author for each experiment to the following people: supervisor (read or read/write), co-author
(read/write), designated GSK DESIGNATED REPRESENTATIVE (read). 

  

	•	 	 Notebook and experiment creators should never remove themselves from the access permissions. 

 

	•	 	 Read access to “Everyone” should never be removed from a notebook or witnessed experiment. 

 

	•	 	 Notebooks and experiments are automatically assigned unique notebook and experiment IDs e.g. N1234-98 with a maximum of 100 experiments per notebook.

  

	•	 	 Notebooks and experiments cannot be deleted or renamed. 

 

	•	 	 Unused experiments can either be reused or signed and closed. 

 

	3.	Populating experiments with DATA 

  

	•	 	 eLNB is designed to store or reference DATA which supports the conclusion, outcome or ability to reproduce an experiment, and is therefore essential in
protecting GSK’s INTELLECTUAL PROPERTY RIGHTS. 

  

	•	 	 DATA that supports the experiment should be entered at the earliest opportunity 

 

	•	 	 Other Raw or Derived DATA should NOT be recorded in eLNB but managed according to normal records retention policy, as detailed in Schedule 13.

  

	•	 	 To help you decide what DATA to capture consult with GSK DESIGNATED REPRESENTATIVE. 

 

	•	 	 Other Supplementary DATA not critical for INTELLECTUAL PROPERTY RIGHTS can be entered into eLNB in any format, but remember that the long term
readability of DATA stored in proprietary formats, such as MS Office and Graphpad cannot be guaranteed. 

  

	•	 	 DATA copied from another experiment should be referenced. It should also be updated if you become aware of changes. 

 

	•	 	 Excel add-ins can be used in eLNB, but excel macros will be removed when the experiment is saved so should be avoided. 

 

	•	 	 In any experiment, individual imported files should not exceed 2 MB, and the combined size of the experiment must not exceed 10 MB.

  

	•	 	 Some fields and information in eLNB are mandatory. “Site” is mandatory for all experiments. 

 

  

8 

	•	 	 Experiments can be written up in English or the native language of the ChemPartner
EMPLOYEE33. 

 

	•	 	 Hyperlinks and URLs external to the eLNB are not permitted. 

 

	•	 	 Any references to information within an experiment should refer to the appropriate field name rather than the spatial layout of the DATA, as fields are
rendered sequentially in the final PDF and may not preserve the same position that they have in the experiment record. 

  

	4.	Chemistry workflow 

  

	•	 	 Reaction details must be recorded when using the chemistry experiment template. ChemPartner EMPLOYEE may use either draw or copy/paste structures, or
use the reaction toolbar lookups. 

  

	•	 	 Draw out amino acid sequences in full if 5 or less amino acids are present. This ensures that all chemical information is interpreted correctly by the
GSK registration system. For chains of 6 or more amino acids please note the amino acid sequence (using one or three letter notation) in the COMPOUND Name, and submit the compound as a “no structure” registration.

  

	•	 	 eLNB references are created by adding a tag ID to the experiment ID e.g. N1222-4-10. 

 

	•	 	 If changes are made in the eLNB experiment after a COMPOUND has been registered using the eLNB chemistry registration tool, GSK chemistry registrar and
GSK DESIGNATED REPRESENTATIVE should be notified of the changes to ensure DATA integrity in all downstream systems. 

  

	•	 	 Risk assessments must be completed and confirmed by the author before any experimental work is carried out. Risk assessment data must not be pre-saved
in templates. 

  

	•	 	 If the actual reaction differs from the intended reaction, both should be recorded. 

 

	•	 	 When including instrument output in your experimental write-up, ChemPartner EMPLOYEE must use a nomenclature to name the sections, which identifies the
type of DATA and the sample identity e.g. TLC:N1234-100-13. 

  

	•	 	 Some Instruments create a spectroscopic ID which may serve to identify the analysis type — this is present in the output file name and can be used
directly. 

  

	•	 	 Where the PDF DATA file contains multiple samples and a single identifier cannot be assigned (e.g. TLC), or contains a set of grouped spectra, a title
identifying the sample sources will be required. 

  

	•	 	 All analytical results, e.g., spectra or chromatograms, must not be tampered with prior to converting into PDF for incorporation into eLNB. (NB: The
original machine-generated NMR and any integrated peak-picking output to a second PDF would need to be captured in eLNB.) 

  

	•	 	 ChemPartner EMPLOYEES must make sure GSK COMPOUND Numbers are recorded in their experiments before signing and closing. 

 

	•	 	 Chemical names of COMPOUNDS submitted to registration must be either IUPAC names, trade names or common synonyms. 

 

	•	 	 Registered COMPOUNDS should always have associated characterising DATA. 

 

	•	 	 Wherever possible, a COMPOUND which is destined for the COMPOUND bank or an ASSAY should be characterised by at least two supporting pieces of spectral
data (e.g. NMR, LCMS, HPLC, IR etc), at the time of registration. 

  

	•	 	 The minimum % purity and purity comments fields are mandatory for submissions for registration. Indicate only the analytical technique(s) by which the
purity was determined in the purity comments field. 

  

	•	 	 Information regarding the purity of a COMPOUND is important to the assignment of a COMPOUND number. Enter such information into the registration
comment field (instead of purity comment) to bring it to the attention of the COMPOUND registration group. 

 

	33
	 Data fields that are populated by selecting terms from drop-down pick-lists will always be in English to facilitate knowledge sharing and ease of
retrieval. Data fields that are populated by entering free text (e.g. Title, Objectives) should be completed in English if possible; otherwise use native language of the ChemPartner EMPLOYEE. If the language of the ChemPartner EMPLOYEE is used to
record DATA, the author must provide an English version of the DATA using his or her best efforts to effect the translation. 

  

  

9 

	•	 	 It is mandatory that a product submitted to COMPOUND registration has one hazard property. This DATA is entered into the Risk Assessment section; for
unknown hazards select “Unknown hazard treat as toxic, OHC3”. 

  

	•	 	 All reactants and products in the reaction scheme must be drawn out as free acid or free base. The appropriate salt should be added via the salt
utility in the stoichiometry table, using salt lookup mechanism. 

  

	•	 	 Structures that (i) have salts associated with them; (ii) have been pulled in using the reaction toolbar lookup and (iii) are being
referenced by GSK COMPOUND number and eLNB reference, should be left as they appear (i.e. including the salt). If these structures are modified or if the salt is deleted then the GSK COMPOUND number and eLNB reference fields will be cleared.

  

	5.	Signing, closing and witnessing experiments 

  

	•	 	 Once an experiment is completed, the responsible author initiates the e-signature workflow. 

 

	•	 	 All experiments must be electronically signed by the responsible author and co-authors if any, and counter-signed by a witness.

  

	•	 	 The witness needs to be an independent person who understands the science underpinning the experiment. Do not select the following as witness:

  

	 	•	 	 Co-authors who have contributed to an experiment 

  

	 	•	 	 Co-inventors 

  

	 	•	 	 eLNB users with read-only account 

  

	•	 	 ChemPartner DESIGNATED REPRESENTATIVE who need to complete a DATA integrity review may sign off on experiment in eLNB and perform the role of reviewing
DATA integrity, so long as he/she does not think he or she is a co-inventor. 

  

	•	 	 Witnesses should countersign experiments within 10 days of notification. Failure to do so triggers an escalation process. 

 

	•	 	 Closed experiments can be reopened and modified but have to be re-signed and witnessed. 

 

	•	 	 Ideas or conception are to be recorded using the chemistry template, signed and witnessed at the earliest possible date. 

 

	•	 	 Conception must be signed and witnessed using the same process as that for other experiments. Co-inventors for conceptions should contribute to the
conception experiment and sign-off as co-authors. 

  

  

10 

 APPENDIX 3 — eLNB Specific protocols and training materials 

[TO BE PROVIDED BY GSK TO ChemPartner IF APPLICABLE] 
  

  

11 

 SCHEDULE 15 

Business Continuity Plan 
  

  

  

 

 

  

  

1 

  
  

			
	 TABLE OF CONTENTS
	  	
		
	 PLAN OWNER AND TARGET AUDIENCE
	  	3
	 INTRODUCTION
	  	3
	 BUSINESS CONTINUITY AND EMERGENCY MANAGEMENT PLAN
	  	8
	 1.0 PROBLEM ASSESSMENT & GENERAL RESPONSE
	  	9
	 2.0 EMERGENCY RESPONSE TEAM (ERT) EVENT RESPONSE
	  	11
	 3.0 EMERGENCY MANAGEMENT TEAM (EMT) EVENT RESPONSE
	  	17
	 4.0 IT BUSINESS CONTINUITY PLAN
	  	19
	 5.0 BUSINESS NORMALIZATION
	  	23
	 APPENDIX A - PROCEDURES, RULES AND REFERENCE DOCUMENTS
	  	24
	 STANDARD OPERATING PROCEDURES (SOP)
	  	25
	 APPLICATION USER ACCEPTANCE TEST (UAT) PROCEDURES
	  	26
	 DAMAGE ASSESSMENT CHECKLIST
	  	27
	 PROCEDURE OF A/12 POLLUTION CONTROL
	  	28
	 PROCEDURE OF WATER POLLUTION CONTROL
	  	29
	 PROCEDURE OF WASTE MANAGEMENT
	  	30
	 PROCEDURE OF FIRE PROTECTION MANAGEMENT
	  	34
	 PROCEDURE OF CHEMICAL MANAGEMENT
	  	35
	 PROCEDURE OF ELECTRICAL SAFETY MANAGEMENT
	  	37
	 PROCEDURE OF CHEMICAL SPILL AND LEAKAGE
	  	39
	 RULES ON SAFETY USE OF ISOTOPE
	  	41
	 EMERGENCY PLAN FOR GAS LEAKAGE
	  	42
	 EMERGENCY PLAN FOR LABORATORY POWER FAILURE
	  	45
	 EMERGENCY PLAN FOR FIRE INCIDENTS
	  	49
	 TREATMENT METHODS OF COMMON HAZARDOUS REAGENTS
	  	56
	 SOP of Data, File 8. e-Mail backup and Recovery
	  	101
	 SOP of Backup Tape management
	  	106
	 SHANGPHARMA BUILDING EVACUATION PROCEDURE
	  	107
	 EVENT ESCALATION CRITERIA
	  	108
	 FACILITY RELOCATION PROCEDURE
	  	109
	 FAIL-OVER PROCEDURE
	  	110
	 FAIL-BACK PROCEDURE
	  	111
	 POST PROBLEM OCCURRENCE PROCEDURE
	  	112
	 SHANG-PHARMA IT/GENERAL AFFAIRS
	  	113
	 EMERGENCY RESPONSE TEAM
	  	114
	 REFERENCE DOCUMENTS
	  	115
	 BC GLOSSARY OF TERMS
	  	116
	 BUSINESS CONTINUITY ORGANIZATION ROLES AND RESPONSIBILITIES
	  	116
	 BUSINESS UNIT TEAMS
	  	116
	 FUTURE TEAMS
	  	117
	 MANAGEMENT ORGANIZATION CHART
	  	117
	 BUSINESS CONTINUITY NETWORK ARCHITECTURE
	  	118
	 BC PROCESS FLOW DIAGRAM
	  	118
	 EMERGENCY MANAGEMENT TEAM
	  	119
	 EMERGENCY RESPONSE TEAM
	  	119
	 BUSINESS UNIT TEAMS
	  	122
	 EMERGENCY SUPPLY KIT
	  	124

  

  

2 

  

Plan Owner and Target Audience 
 As the
Business Continuity Manager for ShangPharma, Ms. Yuan Jianli will own this Business Continuity Plan (BCP) and assume responsibility for both its effectiveness as a reference document for disaster management and conformance with compliance
regulations. All changes to the content of the BCP will occur under the authority of Ms. Yuan and other members of the ShangPharma Business Continuity Steering Committee. 

The target audience of this BCP is the members of the Emergency Response and Management Teams who share collectively responsibility for implementing the
steps outlined in this plan in the event of a potential or actual disaster. While the General Affairs and ShangPharma IT organizations are part of the Emergency Response Team, these two groups will be identified individually for specific tasks that
must be assigned at the division level. 
 Introduction 

ShangPharma Business Continuity Plan Policy Statement 

To safeguard against major disasters, ShangPharma will maintain a current, comprehensive and tested BCP and functional Disaster Recovery (DR) site. Should
a major disaster incapacitate the company’s operations at the ShangPharma complex, the structured response described in this BCP document will ensure the smooth migration of systems and personnel to the DR site, enabling the recovery of key
business functions within the maximum timeframes established by the business units. 
 This BCP has been developed to define the required
triggers to deploy emergency alternate business processes at the ShangPharma DR site, the steps for deployment, the methods for verifying that operations have been properly restored and data integrity assured, and all other activities for returning
to ‘normal’ business processing. 
 ShangPharma BCP policy consists of the following declarations: 

 

	 	•	 	 A comprehensive BCP will be developed, tested and maintained by a permanent Business Continuity Management organization. 

 

	 	•	 	 The BCP will cover all critical business activities, defined as having those having Recovery Point Objectives (RPO) and Recovery Time Objectives (RTO)
less than 1 day. 

  

	 	•	 	 The BCP will be periodically tested in a simulated environment to ensure that it can be implemented in emergency situations and that management and
staff understands all implementation details. 

  

	 	•	 	 All staff must be made aware of the BCP and their respective roles and responsibilities. 

 

	 	•	 	 The BCP is to be kept up to date to take into account changes in the organization or its policies. 

 

	 	•	 	 At the conclusion of the current Business Continuity project, a formal Business Continuity Policy Statement will be issued by ShangPharma COO, Kevin
Chen, that will include the following key points: 

  

	 	•	 	 Business continuity is fully integrated into existing IT Operations processes, policies and procedures. 

 

	 	•	 	 Standard Operating Procedures (SOP) exist for all major Business Continuity related procedures and they will be maintained by the current process.

  

  

3 

  
  

	 	•	 	 The use of Level 1 applications would be recovered within one (1) day and Level 2 applications within seven (7) days. Data loss for both
Level 1 and 2 applications would not exceed one (1) day. 

  

	 	•	 	 This policy statement will be communicated to all management and staff as part of the ShangPharma Information Security Policy Management process.

  

	 	•	 	 ShangPharma’s general, security and IT procedures override those described in this plan if there are any conflicts. 

BCP Scope 
 The scope of this BCP is
limited to all ShangPharma divisions operating in the ShangPharma Pudong complex in Shanghai. This BCP’s primary objective is to ensure the availability of all business functions that have been designated as mission critical. The following
elements will define this BCP for ShangPharma: 
  

	 	•	 	 This BCP is intended as an enterprise framework for ShangPharma and a key component of the Business Continuity Management program. It has been designed
to complement the division level Business Continuity plans that will address business unit specific requirements. 

  

	 	•	 	 This BCP will describe the general program structure for the Business Continuity Management program, as well as the operating procedures for the
Emergency Response Team (ERT) and the Emergency Management Team (EMT) in response to various disaster scenarios. 

  

	 	•	 	 Post-disaster operations including notification procedures, lines of authority and responsibility will be defined. 

 

	 	•	 	 The Enterprise Level BCP will be drafted and maintained by the BCP Steering Committee. 

 

	 	•	 	 The Division Level BCPs will be maintained separately by each business unit with the exception of the IT division’s, which will be incorporated
into this plan. 

  

	 	•	 	 Initial application recovery efforts will be limited to Level 1 and Level 2 systems. 

 

	 	•	 	 The initial phase of BCP development will concentrate on a single scenario: the loss of physical access to the Head Office Building and all material
resources within the structure. 

  

	 	•	 	 The focus of initial phase will be on Disaster Recovery, not Disaster Prevention (threat analysis and risk mitigation will be addressed in the next
revision of the document). 

 Business Continuity Management (BCM) Organization 

The Business Continuity Management Organization is composed of the five virtual teams described in this section that perform essential pre and post
disaster functions: the Emergency Management Team, Emergency Response Team, Business Continuity Steering Committee, IT Team and Business Unit Teams. 

The current Business Continuity Manager, Yuan Jianli, is the primary drivers of the BCM Organization, planning and executing all maintenance and
development activities for the BCM. COO Kevin Chen is the executive sponsor of the program. 
 To improve the usability of this plan the ERT,
EMT, IT and GA teams are individually color coded throughout the document. 
  

  

4 

  

Emergency Management Team (EMT) 

The Emergency Management Team is responsible for identifying, assessing, prioritizing, managing, and controlling risks. The EMT will ensure that necessary
resources are devoted to creating, maintaining, and testing the plan. The EMT fulfills its business continuity planning responsibilities by setting policy, prioritizing critical business functions, allocating sufficient resources and personnel,
providing oversight, approving the BCP, reviewing test results, and ensuring maintenance of a current plan. The effectiveness of business continuity planning depends on management’s commitment and ability to clearly identify what makes existing
business processes work. Each business unit must evaluate its own unique circumstances and environment to customize and develop a comprehensive BCP. 

The EMT should designate personnel to participate in the BCP enhancement process. Properly allocating resources will be a challenge for ShangPharma
throughout the development and maintenance phases of the BCP. In a large, complex organization such as ShangPharma, it is recommended to form a permanent Business Continuity Management (BCM) organization, either dedicated or virtual, with
representation from all key divisions. While the planning teams within the BCM may recommend certain coverage and prioritization, the EMT is responsible for understanding critical business processes and establishing the plans to meet business
process requirements in a safe and sound manner. 
 The senior managers who compose the EMT are responsible for decision support, invoking the
BCP and allocating resources and expenditures to address Business Continuity. The EMT is ultimately responsible for resolving potential disaster situations before a business critical function disruption is realized or ensuring that business critical
functions are operational within their established Recovery Time Objective (RTO) after a disaster has occurred. Once the BCP has been invoked, the EMT authorizes all actions proposed by the ERT with enterprise-wide ramifications. 

Emergency Response Team (ERT) 

The Emergency Response Team (ERT) at ShangPharma forms the core of the Business Continuity Management Organization. In the event of a major disaster
affecting ShangPharma, the ERT will initiate the specific actions outlined in this BCP that have designed to meet the recovery requirements for each business unit. The ERT is called into action under the authority of the Chief Operating Officer who
will assume leadership of the command center for BC operations that will be established at the DR site. The COO will be responsible for authorizing the activation of the BCP, maintaining operations at the DR site during the affected period, and
deciding the timing of cutover to normal operations. If the COO is unavailable, a replacement will be nominated from amongst the remaining the Emergency Management Team members and he/she will assume the responsibility for leading the ERT.

 Should the BCP be activated, ERT representatives from each division will be notified by the EMT and told to assemble at the BCP site to form
the command center for BC operations. Key members of other BC teams will be summoned by the ERT as required. As the primary functional arm of the Business Continuity Organization, the members of the Emergency Response Team (ERT) will lead all
recovery activities from the Emergency Operations Center (EOC). The ERT will be composed of representatives from senior management and key support divisions such as IT, General Affairs, Finance, Compliance and Settlement. 

The ERT is responsible for supporting ShangPharma IT in assessing emerging events and determining the appropriate course of action. Additional duties
include determining the severity of the problem, as well as deciding whether to alert the EMT and notifying the business units of a potential disaster. It is also responsible for managing the impact of a disaster and returning the business to normal
operation as expediently as possible, This includes determining the extent of the damage, managing communications with the business and external entities, managing any salvage operations, managing cleanup of the event and creating a business
normalization plan. 
  

  

5 

  

BCP Steering Committee 
 The
Business Continuity Steering Committee is responsible for maintaining the ongoing support and viability of the Business Continuity Management (BCM) Program. The BC Manager will confer with the BCP Steering committee to reach a consensus on strategic
decisions affecting the BCM program. Division level BC representatives will contact the BCP Steering Committee to voice any concerns or suggestions regarding the BCM program. 

Business Unit Teams 
 Under the
overall direction of the Emergency Response Team, the Business Unit Teams will provide support at the business unit level during a major disruptive event. The primary responsibility of each Business Unit Team Leader is to ensure that the actions
prescribed in the BCP are followed and that all staff, in particular those with BC responsibilities, understand what will be expected of them during an emergency. Each Business Unit Team will work in conjunction with the ERT to restore services and
normal operations for their division. 
 ShangPharma IT (SIT) and General Affairs (GA) Teams 

Activated during the early stages of an emergency, the ShangPharma IT Team will assume a multifaceted rote during initial disaster
response and recovery efforts. As the vanguard of the Business Continuity Management Organization, it will assist staff with initial problem categorization, critical item relocation and data backup procedures. It will assist General Affairs in the
initial assessment of damaged functional areas and with estimates for both facility recovery time and the salvageability of remaining equipment. SIT and GA will work closely with members from the ERT, EMT and when required,
3rd party vendors supporting the ShangPharma environment.
Following the assessment of damage, SIT, along with GA is responsible for salvaging equipment, data and supplies; identifying which resources remain; and determining their future utilization in rebuilding the data center or office facility and
recovery from the disaster. The members of the SIT and GA Teams become the Salvage Team. 
 The current Business Continuity Management
Organization Chart and Roles and Responsibilities List are maintained on the shared network drive (“Q”) by the ShangPharma IT division and updated on a quarterly basis, along with other components of the plan. Static versions of
the documents (current to the last update of this BCP) have been linked above for quick reference. 
 Rehearsals and Audits 

The Business Continuity Organization will conduct rehearsals and audits to verify the consistency of Business Continuity policies and procedures with
changing production configurations and business needs. These tests will be conducted to ensure the adequacy of training and state of readiness of cross-functional Business Continuity teams. The Business Continuity teams will conduct tests to
validate Business Continuity plans and continuously improve the entire program per the following policy: 
  

	 	•	 	 A full scale enterprise-wide BCP rehearsal will be conducted at a minimum once per year. 

 

	 	•	 	 The test program consists of an audit and exercise process to: 

 

	 	•	 	 Validate that the policy and procedure stays up to date with production configuration and business needs. 

 

	 	•	 	 Maintain cross trained Business Continuity teams’ readiness to respond. 

 

	 	•	 	 Identify ongoing annual test objectives to proactively verify all aspects of BCP. 

 

	 	•	 	 All tests should include a table top exercise of the BCP. 

 

  

6 

  

Note: In addition to the enterprise-wide annual BCP test, ad hoc tests at the divisional level will be conducted at various intervals
throughout the year. 
 Communication & Reporting 

The practice and enforcement of knowledge management and change control is a key success factor for the Business Continuity Management Organization.
Updates to the BCP should not be ad hoc but scheduled to occur at regular intervals by staff responsible for document maintenance. Current procedures that complement the BCM program include the following documents: 

 

	 	•	 	 Change Control Procedure is followed for specific events affecting the BCP 

 

	 	•	 	 IT Issue Tracking Procedure is utilized to facilitate troubleshooting efforts and for knowledge management 

In the event of a disaster, all recovery efforts will be managed from the Emergency Operations Center (EOC) that will be established at the DR site.
Collaboration with other parties involved with the BCP effort will occur according to the rules and procedures defined in the documents below. 
  

	 	•	 	 Emergency Call Tree lists contact information for employees and key vendors 

 

	 	•	 	 Communication/Reporting Rules regulates the exchange of information flow during emergency operations 

 

	 	•	 	 Media Relations Policy governs all interaction by employees with print and broadcast media 

 

	 	•	 	 Confidentiality of Disaster Events defines ShangPharma policy toward the dissemination of information during a disaster

 Alerts, Notifications and Declarations 

The Disaster Prevention Center (DPC) at the ShangPharma Headquarters monitors the building infrastructure on a 24 hour basis year round. Likewise, the
ShangPharma Group IT division (SIT) provides the same level of support, monitoring production IT and communication systems, in addition to tracking and resolving issues. The Business Continuity process is integrated into these existing monitoring
functions. The Business Continuity Manager will reside within the ShangPharma IT (SIT) division; thus, the current business process will channel alerts detected by staff to SIT. The invocation process is as follows: 

 

	 	1.	DPC, SIT or SIT may issue the initial event alert. 

  

	 	2.	IT or ShangPharma Management will decide to escalate to ERT if a potential or actual event is identified. 

 

	 	3.	ERT will notify EMT of potential or actual disaster and await authorization to activate the BCP. 

 

	 	4.	ERT will control communication with external parties. 

Training 
 Training of Business
Continuity teams is critical to ensure that they are prepared to execute the BCP. The ShangPharma Business Continuity training will adhere to the following policy: 
  

	 	•	 	 Business continuity process will be communicated to all employees and pertinent information will be distributed on a wallet sized card.

  

  

7 

  
  

	 	•	 	 Employees on a Business Continuity team will be required to receive Business Continuity Plan training and participate in exercises according to the
exercise policy highlighted above. 

 Business Continuity and Emergency Management Plan 

Process Overview 

 

 

 The ShangPharma Business Continuity Workflow is composed of the five major process steps illustrated above. This plan will
define the decision making criteria and plot the appropriate course of action for the ERT, EMT and SIT teams at each applicable phase in the process. Enterprise level participation in Business Continuity operations will span all five process steps
and be closely integrated with the Division level plans. Each process step is listed below in sequence, along with those Business Continuity teams with major responsibilities during the phase: 

1.0 Business Units, SIT (incl. BC Mgr), General Affairs 

2.0 Emergency Response Team 

3.0 Emergency Management Team 

4.0 Emergency Response Team, SIT 

5.0 Emergency Response Team, SIT, General Affairs 

In the following sections of the BCP general descriptions of each process step will be provided. Areas with the highest relevance to the core business
divisions such as process step 1.0 require more in-depth coverage and will include sub processes descriptions and links to separately maintained reference, rules and operating procedure documents. 

A paper copy of the plan including all external documents can be obtained from the Business Continuity Manager (BCM) in the event that electronic
versions of the plan are not available. 
  

  

8 

  
  

	1.	PROBLEM ASSESSMENT & GENERAL RESPONSE 

Problem Definition 
 A problem is defined
as an unexpected event that affects normal business operations. This can include, but not limited to: 
  

	 	•	 	 Earthquakes, avalanches, volcanic eruptions 

  

	 	•	 	 Fire 

  

	 	•	 	 Flood, tsunamis 

  

	 	•	 	 Severe weather conditions including: hail storms, blizzards, tornadoes 

 

	 	•	 	 Disease epidemic 

  

	 	•	 	 Loss of essential supply: electricity, water 

  

	 	•	 	 Loss of communications: telephone, Internet (email), 

  

	 	•	 	 Loss of transportation: road blocks, inability to transport raw chemicals due to government regulations 

 

	 	•	 	 Loss of supporting infrastructure: IT Systems 

  

	 	•	 	 Loss of staff: strikes, war 

While the specific procedures for each problem may be different, the general process for handling problems to ensure Business Continuity remains the
same. 
 Process Description 

The workflow diagram below further expands upon the Initial Assessment and General Response process step for both categorized and uncategorized problems
with the potential to affect normal business operations. 
  

  

9 

  

 

 

  

	1.1	Problem occurs and is detected by a member of the Business Continuity Management Organization or ShangPhama staff. 

 

	1.2	SIT receives notice of a Potential Threat, Issue or Event. If ShangPhama staff requires help with initial categorization, refer to Event Escalation Criteria and
Emergency Call Tree for support. 

  

	1.3	 Problem is initially categorized as Potential Threat by ShangPhama staff OR notice of threat is received from non-ShangPhama source(Disaster Prevention
Center, Security or 3rd party).

  

	1.3.1	If the Potential Threat is life threatening or potentially dangerous and expected to develop within 1 hour, SIT will coordinate with GA to immediately evacuate the
facility according to the Post Problem Occurrence Checklist and Emergency Evacuation Procedure. 

  

	1.3.2	If the Potential Threat is life threatening or potentially dangerous and expected to develop within 1 to 3 hours, SIT will coordinate with GA to ensure that all
divisions gather and prepare all key resources listed in the Critical Check List prior to evacuating the facility according to the past Problem Occurrence Checklist and Emergency Evacuation Procedure. 

 

	1.3.3	If the Potential Threat is life threatening or potentially dangerous and expected to take longer than 3 hours to develop, SIT will coordinate with GA to ensure all
divisions gather and prepare all key resources listed in the Critical Items List and backup data in accordance to the Emergency Backup Procedure and Data Synchronization Procedure, prior to evacuating the facility according to
the Post Problem Occurrence Checklist and Emergency Evacuation Procedure. 

  

	1.4	If the notice is of a non-threatening issue, SIT logs call according to IT Issue Tracking Procedure and informs the appropriate Subject Matter Expert
(SME), and then monitors the issue resolution under normal procedure. 

  

	1.4.1	The Issue is re-evaluated by the SME and the SME may declare it an Event and request SIT to notify the ERT. 

 

	1.4.2	If the Issue is resolved by the SME then SIT closes the Issue. 

  

  

10 

  
  

	2.	EMERGENCY RESPONSE TEAM (ERT) EVENT RESPONSE 

Process Description 
 The workflow diagram
below further expands upon the ERT Event Response process step that occurs once the initial problem has been assessed and categorized as a Business Continuity Event requiring escalation and ends with the invocation of the COB. 

 

 

 Mobilize Emergency Response Team 
  

	2.1	BC Mgr, SIT or GA refers to current Emergency Call Tree and mobilizes the ERT. 

Once staff has been safely evacuated from Head Office, ERT will check employee status and readiness according to
Communication & Reporting Rules. 
 If conditions permit, SIT and GA gather information on impact of event on
Head Office and report findings to ERT. 
 Determine Event Level 

 

  

11 

 SCHEDULE 16 

COMPLIANCE AND GSK POLICIES AND PROCEDURES 

The following list illustrates the GSK POLICIES AND PROCEDURES that may apply in respect of the provision of the OUTSOURCED SERVICES. It will be
compulsory for CHEMPARTNER to follow the GSK POLICIES AND PROCEDURES listed below and any others that GSK may communicate to CHEMPARTNER from time to time. 

GSK POLICIES AND PROCEDURES 
  

	 	1.	Pre-employment Screening and Security Checks  

  

	 	2.	Guidelines for External Quality Control and Data Protocols  

  

	 	3.	Material Safety Datasheet – Intermediate Solid  

  

	 	4.	Material Safety Datasheet – API Solid  

  

	 	5.	Material Safety Datasheet – Intermediate Only 

  

	 	6.	Excel Spreadsheet definition for External COMPOUND Suppliers 

  

	 	7.	Guidelines for providing biological DATA on COMPOUNDS  

  

	1.	PRE-EMPLOYMENT SCREENING AND SECURITY CHECKS 

Scope 

The purpose of this GSK POLICY AND PROCEDURE is to set out the minimum standards for the background screening and reference checking of
CHEMPARTNER EMPLOYEES and potential CHEMPARTNER EMPLOYEES that may be engaged for the provision of the OUTSOURCED SERVICES, to the extent allowed under local law. 

Upon request from GSK, CHEMPARTNER shall at * perform all background screening and reference checking that may be required by GSK in
relation to any CHEMPARTNER EMPLOYEE or potential CHEMPARTNER EMPLOYEE engaged for the provision of the OUTSOURCED SERVICES. 

Once CHEMPARTNER has conducted the required background screening and reference checking on behalf on GSK, CHEMPARTNER shall immediately
pass all information and results of the background screening and reference checking to GSK LIASON LEAD for evaluation. CHEMPARTNER may retain a copy of this information and results for its own internal purposes. 

GSK may require CHEMPARTNER to perform background screening and reference checking on all CHEMPARTNER EMPLOYEES working in a PROJECT
and/or PROGRAM, which means the employees and sub-contractors of CHEMPARTNER provided that the CHEMPARTNER EMPLOYEE: 
  

	 	•	 	 will be working at the GSK DESIGNATED SPACE at some stage; 

 

	*	Indicates where text has been omitted pursuant to a request for confidential treatment under Rule 406 of the Securities Act of 1933, as amended. The omitted materials
have been filed separately with the Securities and Exchange Commission. 

  

 

					
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 Material GSK PHARMACEUTICAL
RESEARCH COMPOUND, INTERMEDIATE, SOLID 
  
  

 

	 	•	 	 will have access to any GSK CONFIDENTIAL INFORMATION and/or DATA belonging to GSK, or access to the ASSETS and the IT EQUIPMENT used for the provision
of the OUTSOURCED SERVICES; 

  

	 	•	 	 will otherwise be working on any matter relating to the provision of the OUTSOURCED SERVICES. 

GSK may also require CHEMPARTNER to perform background screening and reference checking on any potential CHEMPARTNER EMPLOYEE, which means
any person to whom CHEMPARTNER has offered employment and who, if hired by CHEMPARTNER, may be working on any PROJECT and/or PROGRAM. CHEMPARTNER will be solely responsible for ensuring that any potential CHEMPARTNER EMPLOYEE is made aware at the
earliest possible opportunity, and in any case prior to CHEMPARTNER undertaking the background screening and reference checking, that their employment is subject to satisfactory background screening and reference checking and that they may not be
successful in their application for employment with CHEMPARTNER if GSK decides, in its sole discretion, that they will not be able to work on any PROJECT and/or PROGRAM. 

Screening 

The following are the minimum requirements of GSK in relation to any background screening and reference checking to be conducted by
CHEMPARTNER on the CHEMPARTNER EMPLOYEE or potential CHEMPARTNER EMPLOYEE: 
  

	 	•	 	 * 

  

	 	•	 	 * 

  

	 	•	 	 * 

  

	 	•	 	 * 

  

	 	•	 	 * 

  

	 	•	 	 * 

  

	 	•	 	 * 

  

	 	•	 	 * 

  

	 	•	 	 * 

  

	 	•	 	 * 

Rejection 

GSK may, in its sole discretion, require CHEMPARTNER to prohibit any CHEMPARTNER EMPLOYEE or potential CHEMPARTNER EMPLOYEE from working
on any PROJECT and/or PROGRAM, if GSK considers the CHEMPARTNER EMPLOYEE or potential CHEMPARTNER EMPLOYEE to be unsuitable on the basis of any information that is obtained from the background screening and reference checking detailed in this
Section. 
 GSK may base any rejection on any of the information that is revealed by the background screening and reference
checking and GSK is not required to provide CHEMPARTNER with any details of why it decided to reject the particular CHEMPARTNER EMPLOYEE or potential CHEMPARTNER EMPLOYEE. 

 

	*	Indicates where text has been omitted pursuant to a request for confidential treatment under Rule 406 of the Securities Act of 1933, as amended. The omitted materials
have been filed separately with the Securities and Exchange Commission. 

  

  

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 Material GSK PHARMACEUTICAL
RESEARCH COMPOUND, INTERMEDIATE, SOLID 
  
  

 

 By way of illustration only, and without limitation, GSK may reject a particular
individual if the background screening and reference checking reveals that they: 
  

	 	•	 	 have current or previous affiliation with animal rights activism; 

 

	 	•	 	 were previously employed with GSK and this employment was terminated with cause; 

 

	 	•	 	 have made false statements or claims on their CV, resume or application forms; 

 

	 	•	 	 they have provided false or exaggerated educational or professional qualifications; 

 

	 	•	 	 they have a lack of financial probity where the position applied for requires a high level of integrity; 

 

	 	•	 	 they have provided inappropriate references from referees or previous employers; 

 

	 	•	 	 they have relevant and/or undisclosed criminal convictions (where this is required by law); 

 

	 	•	 	 they have unexplained gaps in their employment history; and/or 

 

	 	•	 	 they have not co-operated with the background screening and reference checking procedures. 

Outcomes 

Where CHEMPARTNER undertakes background screening and reference checking of CHEMPARTNER EMPLOYEE or potential CHEMPARTNER EMPLOYEE, GSK
may, in its sole discretion, decide as follows: 
 GSK may reject the proposed CHEMPARTNER EMPLOYEE or potential CHEMPARTNER
EMPLOYEE in accordance with paragraph above. 
 GSK may allow CHEMPARTNER to deploy the CHEMPARTNER EMPLOYEE or potential
CHEMPARTNER EMPLOYEE to work on any GSK PROJECT and/or PROGRAM. 
 GSK is not required to provide CHEMPARTNER with reasons for
its decision regarding whether or not it rejects or approves any particular CHEMPARTNER EMPLOYEE or potential CHEMPARTNER EMPLOYEE. 

Costs 

CHEMPARTNER is solely responsible for all costs that it may incur as a result of any background screening and reference checking required
by GSK pursuant to this Section. 
  

  

3 

					
	SDS Number 129660	 	Approved/Revised 02-Nov-2005	  	Version 1

 Material GSK PHARMACEUTICAL
RESEARCH COMPOUND, INTERMEDIATE, SOLID 
  
  

 

	2.	GUIDELINES FOR EXTERNAL QUALITY CONTROL AND DATA PROTOCOLS 

Following the QA project* at GSK we recognise the immense value of our new “pure and sure” screening collection. As a result, we ensure that all
new chemical entities entering the screening collection are subject to the same high level of scrutiny ensuring the collection standard is maintained. This is typically done in-house or using vendor QC data. This guideline outlines GSK protocols for
assessing compound integrity and purity. 
 * 

 

	*	Defining and maintaining a high quality screening collection: the GSK experience, S.J.Lane, D.S.Eggleston, K.Brinded, J.Hollerton, N.L.Taylor and S.Readshaw. Drug
Discovery Toda, 11, 5/6, page 267-272, March 2006. 

	*	Indicates where text has been omitted pursuant to a request for confidential treatment under Rule 406 of the Securities Act of 1933, as amended. The omitted materials
have been filed separately with the Securities and Exchange Commission. 

  

  

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 Material GSK PHARMACEUTICAL
RESEARCH COMPOUND, INTERMEDIATE, SOLID 
  
  

 

	3.	MATERIAL SAFETY DATASHEET- INTERMEDIATE SOLID 

  

					
	SDS Number 129660	 	Approved/Revised 02-Nov-2005	 	Version 1
	 Material GSK PHARMACEUTICAL RESEARCH COMPOUND, INTERMEDIATE, SOLID

 

  

SAFETY DATA SHEET 

 

 

 (a) IDENTIFICATION OF THE SUBSTANCE/PREPARATION AND OF THE COMPANY/UNDERTAKING 

 

					
	 Material
	 	GSK PHARMACEUTICAL RESEARCH COMPOUND, INTERMEDIATE, SOLID
	 CAS Number
	 	Unassigned
	 Company Name
	 	GlaxoSmithKline, Corporate Environment, Health & Safely
		 	980 Great West Road
		 	Brentford, Middlesex	 	TW8 9GS UK
		 	UK General Information:	 	 +44-20-8047-5000

		 	Transport Emergency (EU)	 	 +44-1865-407333

		 	Medical Emergency	 	 +1-612-221-3999, Ext 221

		 	Information and Advice:	 	 US number, available 24 hours

		 		 	 Multi-language response

		
		 	 GlaxoSmithKline, Corporate Environment, Health & Safety

2200 Renaissance Blvd, Suite 105

		 	King of Prussia, PA	 	19406 US
		 	US General information:	 	 +1-888-825-5249

		 	Transport Emergency (non EU)	 	 +1-703-527-3887

		 		 	 US number, available 24 hours Multi-language response

(b) COMPOSITION / INFORMATION ON INGREDIENTS 
  

					
	 Ingredients
	  	CAS RN	  	Percentage
	GSK PHARMACEUTICAL RESEARCH COMPOUND, INTERMEDIATE, SOLID	  	Unassigned	  	100

 (c) HAZARDS IDENTIFICATION 

 

			
	 Fire and Explosion
	 	Assume that this material is capable of sustaining combustion.
		 	Assume that this material is capable of producing a dust explosion if ignited as a dust cloud.
		 	Assume that this material is capable of being ignited by an electrostatic discharge.
		
	 Health
	 	Caution - The toxicological properties of this material have not been fully investigated.
		 	Exposure might occur via inhalation; ingestion: skin, eyes.

  

  

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	SDS Number 129660	 	Approved/Revised 02-Nov-2005	  	Version 1

 Material GSK PHARMACEUTICAL
RESEARCH COMPOUND, INTERMEDIATE, SOLID 
  
  

 

			
	 Environment
	 	No information is available about the potential of this material to produce adverse environmental effects.

(d) FIRST-AID MEASURES 
  

			
	 Ingestion
	 	Never attempt to induce vomiting. Do not attempt to give any solid or liquid by mouth if the exposed subject is unconscious or semi-conscious. Wash out the mouth with water. If
the exposed subject is fully conscious, give plenty of water to drink. Obtain medical attention.
		
	 Inhalation
	 	Using appropriate personal protective equipment, move exposed subject to fresh air. If breathing is difficult or ceases, ensure and maintain ventilation. Give oxygen as
appropriate. The exposed subject should be kept warm and at rest. Obtain medical attention in cases of known or possible over exposure, or with symptoms including chest pain, difficulty breathing, loss of consciousness or other adverse effects,
which may be delayed.
		
	 Skin Contact
	 	Using appropriate personal protective equipment, remove contaminated clothing and flush exposed area with large amounts of water. Obtain medical attention if skin reaction
occurs, which may be immediate or delayed.
		
	 Eye Contact
	 	Wash immediately with clean and gently flowing water. Continue for at least 15 minutes. Obtain medical attention.
	
	NOTES TO HEALTH PROFESSIONALS
		
	 Medical Treatment
	 	Treat according to locally accepted protocols. For additional guidance, refer to the local poison control information centre.
		
	 Medical Conditions Caused or Aggravated by Exposure
	 	None for occupational exposure.
		
	 Health Surveillance Procedures
	 	Pre-placement and periodic health surveillance is not usually indicated, The final determination of the need for health surveillance should be determined by local risk
assessment.
		
	 Antidotes
	 	No specific antidotes are recommended,

 (e)
FIRE-FIGHTING MEASURES 
  

			
	Fire and Explosion Hazards	 	The flammability of this material has not been determined. As with many organic dusts, explosions can occur if this material is dispersed as a dust cloud and
ignited.
		
	Extinguishing Media	 	Water, dry powder or foam extinguishers are recommended. Carbon dioxide extinguishers may be ineffective.
		
	Special Firefighting Procedures	 	 Since toxic, corrosive or flammable vapours might be evolved from fires involving this material, self contained breathing apparatus
and full protective equipment are recommended for firefighters.
  
 Move
containers from the fire area if possible without increased personal risk.
  

If possible, contain and collect firefighting water for later disposal.

		
	Hazardous Combustion Products	 	Toxic, corrosive or flammable thermal decomposition products are expected when the material is exposed to fire.

 

  

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 Material GSK PHARMACEUTICAL
RESEARCH COMPOUND, INTERMEDIATE, SOLID 
  
  

 

 (f) ACCIDENTAL RELEASE MEASURES 

 

			
	Personal Precautions	 	Fence or cordon the affected area and do not allow individuals to touch or walk through the spilled material unless wearing appropriate protective clothing. Avoid dust
generation.
		
	Environmental Precautions	 	Prevent entry into waterways, sewers, surface drainage systems and poorly ventilated areas. If spill is outdoors, cover with plastic sheet to minimise spreading or contact with
rain.
		
	Clean-up Methods	 	Collect and place it in a suitable, property labelled container for recovery or disposal. After at solid or absorbent material has been collected, the area should be vacuumed
with HEPA filter-equipped apparatus.
		
	Decontamination Procedures	 	No specific decontamination or detoxification procedures have been identified for this material. Consider use of water, detergent solutions, or other soluble solvents (as
specified in Section 9 of this SDS), for clean-up and decontamination operations.

 (g) HANDLING AND STORAGE

  

			
	HANDLING	 	
		
	 General Requirements
	 	 Avoid dispersion as a dust cloud.
  

Depending upon the scale of operation, use of appropriate exhaust ventilation is recommended to provide routine control of fire and explosion hazards
during handling of this material.

		
	 Ignition Controls
	 	Bond and earth (ground) all plant and equipment to ensure that no isolated conductors are present. Isolated conductors can accumulate sufficient electrostatic charge to produce
discharges of many hundreds of milli-Joules.
		
	STORAGE	 	 Keep in tightly closed containers or packages away from moisture and away from sources of ignition.

 
 Avoid prolonged storage at elevated temperatures (greater than room temperature,
approximately 20 degrees C).

  

  

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	SDS Number 129660	 	Approved/Revised 02-Nov-2005	  	Version 1

 Material GSK PHARMACEUTICAL
RESEARCH COMPOUND, INTERMEDIATE, SOLID 
  
  

 

 (h) EXPOSURE CONTROLS/PERSONAL PROTECTION 

 

			
	OCCUPATIONAL EXPOSURE LIMITS
		
	 GSK Occupational
	 	3 PROVISIONAL
		
	 Hazard Category
	 	
		
	ENGINEERING CONTROLS	 	
		
	 Exposure Controls
	 	 This material has been assigned to GlaxoSmithKline Occupational Hazard Category 3 with a hygiene guide of 10 - <100
mcg/m3.
  
 An Exposure Control Approach (ECA) is established for operations
involving this material based upon the OEL/Occupational Hazard Category and the outcome of a site- or operation-specific risk assessment. Refer to the Exposure Control Matrix for more information about how ECA’s are assigned and how to
interpret them.

		
	 Containment
	 	Open handling is not recommended. Consider segregating operations, use of enclosures and sealed transfer systems.
		
	 Ventilation
	 	Local exhaust ventilation (LEV) should be used in conjunction with other control measures as a means of removing material incidentally released.
		
	 Administrative
	 	Entry to the working area should be controlled. Doors with interlocks may be needed for materials airlocks and locker rooms. Only equipment and supplies necessary for job
activities should be taken into working area.
	
	PERSONAL PROTECTIVE EQUIPMENT
		
	 Eye Protection
	 	Wear approved safety glasses with side shields or cover goggles if eye contact is possible.
		
	 Gloves
	 	The selection of gloves for a specific activity must be based on the material’s properties and on possible permeation and degradation that may occur under the circumstances
of use. Glove selection must lake into account any solvents and other hazards present. Potential allergic reactions can occur with certain glove materials (e.g. Latex) and therefore these should be avoided. Care must be exercised if insufficient
data are available and further guidance should be sought from your local EHS department.
		
	 Respirators
	 	If respiratory protective equipment (RPE) is used, the type of RPE will depend upon air concentrations present, required protection factor as well as hazards, physical properties
and warning properties of substances present. Follow local regulations for respirator use in the workplace.
		
	 Other Equipment or Procedures
	 	Consider control procedures for maintenance, cleaning and emergencies. An eye wash station should be available.

(i) PHYSICAL AND CHEMICAL PROPERTIES 
  

			
	Appearance	  	
	 Physical Form
	  	Solid.
		
	Dust Electrostatic Properties	  	
	 Minimum Ignition Energy (Cloud)
	  	No studies have been conducted.
		
	Dust Explosion Properties	  	
	 Kst
	  	No studies have been conducted.
		
	Train Fire	  	No studies have been conducted.

 (j) STABILITY
AND REACTIVITY 
  

			
	Conditions to Avoid	 	Avoid direct sunlight, conditions that might generate heal and dispersion as a dust cloud.

 

  

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 Material GSK PHARMACEUTICAL
RESEARCH COMPOUND, INTERMEDIATE, SOLID 
  
  

 

 (k) TOXICOLOGICAL INFORMATION 

 

			
	Oral Toxicity	 	No studies have been conducted.
		
	Inhalation Toxicity	 	No studies have been conducted.
		
	Skin Effects	 	No studies have been conducted.
		
	Eye Effects	 	No studies have been conducted.
		
	Target Organ Effects	 	No specific target organ effects have been identified.
		
	Sensitisation	 	No studies have been conducted.
		
	Genetic Toxicity	 	No studies have been conducted.
		
	Carcinogenicity	 	No studies have been conducted and this material is not fitted as a carcinogen by GSK, IARC, NTP or US OSHA.
		
	Reproductive Effects	 	Insufficient information available to classify for reproductive toxicity.
		
	Other Adverse Effects	 	None known for this material in humans.

(l) ECOLOGICAL INFORMATION 
  

			
	Summary	 	No information is available about the potential of this material to produce adverse environmental effects. Local regulations and procedures should be consulted prior to
environmental release.

 (m) DISPOSAL CONSIDERATIONS 

 

			
	Disposal Recommendations	 	Collect for recycling or recovery if possible. The recommended method of disposal is incineration. Wherever possible, disposal should be in an on-site licensed chemical
incinerator, if allowed by the incinerator license or permit. If no on-site incinerator is available, dispose of material in a licensed commercial chemical incinerator.
		
	Regulatory Requirements	 	Observe all local and national regulations when disposing this material.

(n) TRANSPORT INFORMATION 
 The
SDS should accompany all shipments for reference in the event of spillage or accidental release. Only authorised persons trained and competent in accordance with appropriate national and international regulatory requirements may prepare dangerous
goods for transport. 
  

			
	UN Classification and Labelling
		
	 Transport Information
	 	Transportation and shipping of this material is not restricted. It has no known, significant hazards requiring special packaging or labelling for air, maritime, US or European
ground transport purposes.

 (o) REGULATORY INFORMATION 

The information included below is an overview of the major regulatory requirements. It should not be considered to be an exhaustive summary. Local
regulations should be consulted for additional requirements. 
  

  

9 

					
	SDS Number 128638	 	Approved/Revised 29-Mar-2006	  	Version 1

 Material GSK PHARMACEUTICAL
RESEARCH COMPOUND, API, SOLID 
 EU Classification and Labelling 

None. 
  

			
	US OSHA Standard (29 CFR Part 1910.1200)
		
	 Classification
	 	This material is not classified as hazardous according to the OSHA Hazard Communication Standard.
		
	 Target Organ Statement
	 	No specific target organ effects known.
		
	Other US Regulations	 	
		
	 TSCA Status
	 	Exempt

 (p) OTHER INFORMATION 

References
                                         
   GSK Hazard Determination 
  

			
	Date Approved/Revised 02-Nov-2005	 	SDS Version Number 1

 SDS Sections Updated 

			
	Sections	 	Subsections

 COMPOSITION / INFORMATION
ON INGREDIENTS 
 EXPOSURE CONTROLS / PERSONAL PROTECTION 

PHYSICAL AND CHEMICAL PROPERTIES 
 TRANSPORT
INFORMATION 
 The information and recommendations in this safety data sheet are, to the best of our knowledge, accurate as of the date of
issue. Nothing herein shall be deemed to create any warranty, express or implied. It is the responsibility of the user to determine the applicability of this information and the suitability of the material or product for any particular purpose.

  

	4.	MATERIAL SAFETY DATASHEET – API SOLID 

  

 10 

					
	SDS Number 128638	 	Approved/Revised 29-Mar-2006	  	Version 3

 Material GSK PHARMACEUTICAL
RESEARCH COMPOUND, API, SOLID 
  
  

 

 SAFETY DATA SHEET 

 
 (a) IDENTIFICATION OF THE SUBSTANCE/PREPARATION AND OF THE COMPANY/UNDERTAKING 

 

					
	Material	 	GSK PHARMACEUTICAL RESEARCH COMPOUND, API, SOLID
		
	Synonyms	 	GSK PHARMACEUTICAL RESEARCH COMPOUND, ACTIVE PHARMACEUTICAL INGREDIENT, SOLID PROJECT CODE (NONE)
		
	CAS Number	 	Unassigned
		
	Company Name	 	GlaxoSmithKline, Corporate Environment, Health & Safely
		 	980 Great West Road
		 	Brentford, Middlesex	 	TW8 9GS UK
		 	UK General Information:	 	 +44-20-8047-5000

		 	Transport Emergency (EU)	 	 +44-1865-407333

		 	Medical Emergency	 	 +1-612-221-3999, Ext 221

		 	Information and Advice:	 	 US number, available 24 hours

		 		 	 Multi-language response

		
		 	 GlaxoSmithKline, Corporate Environment. Health & Safety

2200 Renaissance Blvd, Suite 105

		 	King of Prussia, PA	 	19406 US
		 	US General information:	 	 +1-888-825-5249

		 	Transport Emergency (non EU)	 	 +1-703-527-3887

		 		 	 US number, available 24 hours Multi-language response

(b) COMPOSITION / INFORMATION ON INGREDIENTS 
  

					
	 Ingredients
	  	 CAS RN
	  	Percentage
	GSK PHARMACEUTICAL RESEARCH COMPOUND, API, SOLID	  	Unassigned	  	100

 (c) HAZARDS IDENTIFICATION 

 

			
	Fire and Explosion	 	 Assume that this material Is capable of sustaining combustion.

Assume that this material is capable of producing a dust explosion if ignited as a dust cloud.

Assume that this material is capable of being ignited by an electrostatic discharge.

		
	Health	 	 Caution - Pharmaceutical agent.

Caution - The toxicological properties of this material have not been fully investigated. Exposure might occur via inhalation; ingestion; skin;
eyes.

		
	Environment	 	No information is available about the potential of this material to produce adverse environmental effects.

 

  

11 

					
	SDS Number 128638	 	Approved/Revised 29-Mar-2006	  	Version 3

 Material GSK PHARMACEUTICAL
RESEARCH COMPOUND, API, SOLID 
  
  

 

 (d) FIRST-AID MEASURES 

 

			
	Ingestion	 	Never attempt to induce vomiting. Do not attempt to give any sold or liquid by mouth if the exposed subject is unconscious or semiconscious. Wash out the mouth with water. If the
exposed subject is fully conscious, give plenty of water to drink. Obtain medical attention.
		
	Inhalation	 	Using appropriate personal protective equipment, move exposed subject to fresh air. If breathing is difficult or ceases, ensure and maintain ventilation. Give oxygen as
appropriate. The exposed subject should be kept warm and at rest. Obtain medical attention in cases of known or possible over exposure, or with symptoms including chest pain, difficulty breathing, toss of consciousness or other adverse effects,
which may be delayed.
		
	Skin Contact	 	Using appropriate personal protective equipment, remove contaminated clothing and flush exposed area with large amounts of water. Obtain medical attention if skin reaction
occurs, which may be immediate or delayed.
		
	Eye Contact	 	Wash immediately with clean and gently flowing water. Continue for at least 15 minutes. Obtain medical attention.
	
	NOTES TO HEALTH PROFESSIONALS
		
	 Medical Treatment
	 	Treat according to locally accepted protocols. For additional guidance, refer to the local poison control information centre.
		
	 Medical Conditions Caused or Aggravated by Exposure
	 	None for occupational exposure.
		
	 Health Surveillance Procedures
	 	Pre-placement and periodic health surveillance is not usually indicated. The final determination of the need for health surveillance should be determined by local risk
assessment.
		
	 Antidotes
	 	No specific antidotes are recommended.

 (e)
FIRE-FIGHTING MEASURES 
  

			
	Fire and Explosion Hazards	 	 The flammability of this material has not been determined.

As with many organic dusts, explosions can occur if this material is dispersed as a dust cloud and ignited.

		
	Extinguishing Media	 	Water, dry powder or foam extinguishers are recommended. Carbon dioxide extinguishers may be ineffective.
		
	Special Firefighting Procedures	 	 Since toxic, corrosive or flammable vapours might be evolved from fires involving this material, self contained breathing apparatus
and full protective equipment are recommended for firefighters.
 Move containers from the fire area if possible without increased personal risk.

 If possible, contain and collect firefighting water for later disposal.

		
	Hazardous Combustion Products	 	Toxic, corrosive or flammable thermal decomposition products are expected when the material is exposed to fire.

(f) ACCIDENTAL RELEASE MEASURES 
  

			
	Personal Precautions	 	Fence or cordon the affected area and do not allow individuals to touch or walk through the spilled material unless wearing appropriate protective clothing. Avoid dust
generation.
		
	Environmental Precautions	 	Prevent entry into waterways, sewers, surface drainage systems and poorly ventilated areas. If spill is outdoors, cover with plastic sheet to minimise spreading or contact with
rain.
		
	Clean-up Methods	 	Collect and place it in a suitable, property labelled container for recovery or disposal. After all solid or absorbent material has been collected, the area should be vacuumed with
HEPA filler-equipped apparatus.
		
	Decontamination Procedures	 	No specific decontamination or detoxification procedures have been identified for this material. Consider use of water, detergent solutions, or other soluble solvents (as
specified in Section 9 of this SDS), for clean-up and decontamination operations.

  

  

12 

					
	SDS Number 128638	 	Approved/Revised 29-Mar-2006	  	Version 3

 Material GSK PHARMACEUTICAL
RESEARCH COMPOUND, API, SOLID 
  
  

 

 (g) HANDLING AND STORAGE 

 

			
	HANDLING
		
	 General Requirements
	 	Avoid dispersion as a dust cloud. Depending upon the scale of operation, use of appropriate exhaust ventilation is recommended to provide routine control of fire and explosion
hazards during handling of this material.
		
	 Ignition Controls
	 	Bond and earth (ground) at plant and equipment to ensure that no isolated conductors are present. Isolated conductors can accumulate sufficient electrostatic charge to produce
discharges of many hundreds of milli-Joules.
		
	STORAGE	 	 Keep in tightly closed containers or packages away from moisture and away from sources of ignition.

 
 Avoid prolonged storage al elevated temperatures (greater than room temperature,
approximately 20 degrees C).

 (h) EXPOSURE CONTROLS/PERSONAL PROTECTION 

 

			
	OCCUPATIONAL EXPOSURE LIMITS
	 GSK Occupational Hazard Category
	 	3 PROVISIONAL
		
	ENGINEERING CONTROLS	 	
		
	 Exposure Controls
	 	 Only limited health effects information is available.
  

This material has been assigned to GlaxoSmithKline Occupational Hazard Category 3 with a hygiene guide of 10 - <100 mcg/m3. An Exposure Control
Approach (ECA) is established for operations involving this material based upon the OEL/Occupational Hazard Category and the outcome of a site-or operation-specific risk assessment. Refer to the Exposure Control Matrix for more information about how
ECA’s are assigned and how to interpret them.

		
	 Containment
	 	Open handling is not recommended. Consider segregating operations, use of enclosures and sealed transfer systems.
		
	 Ventilation
	 	Local exhaust ventilation (LEV) should be used in conjunction with other control measures as a means of removing material incidentally released.
		
	 Administrative
	 	Entry to the working area should be controlled. Doors with interlocks may be needed for materials airlocks and locker rooms. Only equipment and supplies necessary for job
activities should be taken into working area.
	
	PERSONAL PROTECTIVE EQUIPMENT
		
	 Eye Protection
	 	Wear approved safety glasses with side shields or cover goggles if eye contact is possible.
		
	 Gloves
	 	The selection of gloves for a specific activity must be based on the material’s properties and on possible permeation and degradation that may occur under the circumstances
of use. Glove selection must lake into account any solvents and other hazards present. Potential allergic reactions can occur with certain glove materials (e.g. Latex) and therefore these should be avoided. Care must be exercised if insufficient
data are available and further guidance should be sought from your local EHS department.
		
	 Respirators
	 	If respiratory protective equipment (RPE) is used, the type of RPE will depend upon air concentrations present, required protection factor as well as hazards, physical properties
and warning properties of substances present. Follow local regulations for respirator use in the workplace.
		
	 Other Equipment or Procedures
	 	Consider control procedures for maintenance, cleaning and emergencies. Wear appropriate clothing to avoid skin contact. An eye wash station should be
available.

 (i) PHYSICAL AND CHEMICAL PROPERTIES 

 

			
	Appearance	 	
	 Physical Form
	 	Powder.
		
	Dust Electrostatic Properties	 	
	 Minimum Ignition Energy (Cloud)
	 	No studies have been conducted.
		
	Dust Explosion Properties	 	
	 Kst
	 	No studies have been conducted.
		
	Train Fire	 	No studies have been conducted.

  

  

13 

					
	SDS Number 128638	 	Approved/Revised 29-Mar-2006	  	Version 3

 Material GSK PHARMACEUTICAL
RESEARCH COMPOUND, API, SOLID 
  
  

 

 (j) STABILITY AND REACTIVITY 

 

			
	Conditions to Avoid	 	Avoid direct sunlight, conditions that might generate heat and dispersion as a dust cloud.

(k) TOXICOLOGICAL INFORMATION 
  

			
	Oral Toxicity	 	No studies have been conducted.
		
	Inhalation Toxicity	 	No studies have been conducted.
		
	Skin Effects	 	No studies have been conducted.
		
	Eye Effects	 	No studies have been conducted.
		
	Target Organ Effects	 	No specific target organ effects have been identified.
		
	Sensitisation	 	No studies have been conducted.
		
	Genetic Toxicity	 	No studies have been conducted.
		
	Carcinogenicity	 	No studies have been conducted and this material is not listed as a carcinogen by GSK, IARC, NTP or US OSHA.
		
	Reproductive Effects	 	Insufficient information available to classify for reproductive toxicity.
		
	Other Adverse Effects	 	None known for this material in humans.

(l) ECOLOGICAL INFORMATION 
  

			
	Summary	 	No information is available about the potential of this material to produce adverse environmental effects. Local regulations and procedures should be consulted prior to
environmental release.

 (m) DISPOSAL CONSIDERATIONS 

 

			
	Disposal Recommendations	 	Collect for recycling or recovery if possible. The recommended method of disposal is incineration. Wherever possible, disposal shod be in an on-site licensed chemical
incinerator, if allowed by the incinerator license or permit. If no on-site incinerator is available, dispose of material in a licensed commercial chemical incinerator.
		
	Regulatory Requirements	 	Observe at local and national regulations when disposing of this material.

(n) TRANSPORT INFORMATION 
 The
SDS should accompany all shipments for reference in the event of spillage or accidental release. Only authorised persons trained and competent in accordance with appropriate national and international regulatory requirements may prepare dangerous
goods for transport. 
  

			
	UN Classification and Labelling
		
	Technical Name	 	GSK PHARMACEUTICAL RESEARCH COMPOUND, ACTIVE PHARMACEUTICAL INGREDIENT, SOLID
		
	Proper Shipping Name	 	Toxic sold, organic, nos (GSK PHARMACEUTICAL RESEARCH COMPOUND, API, SOLID)
		
	UN Number	 	UN 2811
		
	Class/Division	 	6.1
		
	Subsidiary Risk	 	None
		
	Packing Group	 	III

  

  

14 

					
	SDS Number 128638	 	Approved/Revised 29-Mar-2006	  	Version 3

 Material GSK PHARMACEUTICAL
RESEARCH COMPOUND, API, SOLID 
  
  

 

			
	Risk Label(s)	 	Class 6.1 Toxic
		
		 	

	
	International Air Transport (IATA Requirements)
		
	Classification and Labelling	 	As UN Classification and Labelling above
	
	International Maritime Transport (IMDG Requirements)
		
	Classification and Labelling	 	As UN Classification and Labelling above
	
	US Domestic Transport (DOT Requirements)
		
	Classification and Labelling	 	As UN Classification and Labeling above
	
	European Ground Transport (ADR/RID Requirements)
		
	Classification and Labelling	 	As UN Classification and Labelling above

(o) REGULATORY INFORMATION 
 The
information included below is an overview of the major regulatory requirements. It should not be considered to be an exhaustive summary. Local regulations should be consulted for additional requirements. 

 

			
	EU Classification and Labelling
		
	 None.
	 	
	
	US OSHA Standard (29 CFR Part 1910.1200)
		
	 Classification
	 	This material is classified as hazardous according to the OSHA Hazard Communication Standard.
		
	 Target Organ Statement
	 	No specific target organ effects known.
		
	Other US Regulations	 	
		
	 TSCA Status
	 	Exempt

 (p) OTHER INFORMATION 

References                       
                 GSK Hazard Determination 
  

			
	Date Approved/Revised 29-Mar-2006	 	SDS Version Number 3
		
	 SDS Sections Updated

Sections
	 	Subsections

 IDENTIFICATION OF
SUBSTANCE / PREPARATION AND OF COMPANY TRANSPORT INFORMATION 
 The information and recommendations in this safety data sheet are, to the best
of our knowledge, accurate as of the date of issue. Nothing herein shall be deemed to create any warranty, express or implied. It is the responsibility of the user to determine the applicability of this information and the suitability of the
material or product for any particular purpose. 
  

	5.	MATERIAL SAFETY DATASHEET – INTERMEDIATE ONLY 

  

  

15 

					
	SDS Number 130138	 	Approved/Revised 06-Feb-2006	  	Version 1

 Material GSK PHARMACEUTICAL
RESEARCH COMPOUND, INTERMEDIATE, OILY LIQUID 
  
  

 

 SAFETY DATA SHEET 

 
 (a) IDENTIFICATION OF THE SUBSTANCE/PREPARATION AND OF THE COMPANY/UNDERTAKING 

 

					
	Material	 	GSK PHARMACEUTICAL RESEARCH COMPOUND, INTERMEDIATE, OILY LIQUID
		
	CAS Number	 	Unassigned
		
	Company Name	 	GlaxoSmithKline, Corporate Environment, Health & Safety
		 	980 Great West Road
		 	Brentford, Middlesex	 	TW8 9GS UK
		 	UK General Information:	 	 +44-20-8047-5000

		 	Transport Emergency (EU)	 	 +44-1865-407333

		 	Medical Emergency	 	 +1-612-221-3999, Ext 221

		 	Information and Advice:	 	 US number, available 24 hours

		 		 	 Multi-language response

		
		 	 GlaxoSmithKline, Corporate Environment. Health & Safety

2200 Renaissance Blvd, Suite 105

		 	King of Prussia, PA	 	19406 US
		 	US General Information:	 	 +1-888-825-5249

		 	Transport Emergency (non EU)	 	 +1-703-527-3887

		 		 	 US number, available 24 hours Multi-language response

(b) COMPOSITION / INFORMATION ON INGREDIENTS 
  

					
	 Ingredients
	  	CAS RN	  	Percentage
	 GSK PHARMACEUTICAL RESEARCH COMPOUND, INTERMEDIATE, OILY LIQUID
	  	Unassigned	  	100

 (c) HAZARDS IDENTIFICATION 

 

			
	Fire and Explosion	 	This material is classified as combustible.
		
	Health	 	 Caution - The toxicological properties of this material have not been fully investigated.

Exposure might occur via inhalation; ingestion; skin; eyes.

		
	Environment	 	No information is available about the potential of this material to produce adverse environmental effects.

 

  

16 

					
	SDS Number 130138	 	Approved/Revised 06-Feb-2006	  	Version 1

 Material GSK PHARMACEUTICAL
RESEARCH COMPOUND, INTERMEDIATE, OILY LIQUID 
  
  

 

 (d) FIRST-AID MEASURES 

 

			
	Ingestion	 	Never attempt to induce vomiting. Do not attempt to give any sold or liquid by mouth if the exposed subject is unconscious or semiconscious. Wash out the mouth with water. If the
exposed subject is fully conscious, give plenty of water to drink. Obtain medical attention.
		
	Inhalation	 	Using appropriate personal protective equipment, move exposed subject to fresh air. If breathing is difficult or ceases, ensure and maintain ventilation. Give oxygen as
appropriate. The exposed subject should be kept warm and at rest. Obtain medical attention in cases of known or possible over exposure, or with symptoms including chest pain, difficulty breathing, loss of consciousness or other adverse effects,
which may be delayed.
		
	Skin Contact	 	Using appropriate personal protective equipment, remove contaminated clothing and flush exposed area with large amounts of water. Obtain medical attention if skin reaction
occurs, which may be immediate or delayed.
		
	Eye Contact	 	Wash immediately with clean and gently flowing water. Continue for at least 15 minutes. Obtain medical attention.
	
	NOTES TO HEALTH PROFESSIONALS
		
	 Medical Treatment
	 	Treat according to locally accepted protocols. For additional guidance, refer to the local poison control information centre.
		
	 Medical Conditions

Caused or Aggravated by Exposure
	 	None for occupational exposure.
		
	 Health Surveillance Procedures
	 	Pre-placement and periodic health surveillance is not usually indicated. The final determination of the need for health surveillance should be determined by local risk
assessment.
		
	 Antidotes
	 	No specific antidotes are recommended.

 (e)
FIRE-FIGHTING MEASURES 
  

			
	Fire and Explosion Hazards	 	 This material is combustible.

Fire and explosions might result if vapours are allowed to accienulate in the vicinity of a source of ignition.

		
	Extinguishing Media	 	Carbon dioxide, dry powder or foam extinguishers are recommended. Do not use water extinguishers. Water jets may intensify the fire or be ineffective.
		
	Special Firefighting Procedures	 	 Since toxic, corrosive or flammable vapours might be evolved from fires involving this material, self contained breathing apparatus
and full protective equipment are recommended for firefighters.
 Move containers from the fire area if possible without increased personal risk.

 If possible, contain and collect firefighting water for later disposal.

		
	Hazardous Combustion Products	 	Toxic, corrosive or flammable thermal decomposition products are expected when the material is exposed to fire.

(f) ACCIDENTAL RELEASE MEASURES 
  

			
	Personal Precautions	 	Stop leak and eliminate all sources of ignition (no smoking, sparks or flames). Fence or cordon the affected area and do not allow individuals to touch or walk though the spilled
material unless wearing appropriate protective clothing. Wear protective clothing and equipment consistent with the degree of hazard.
		
	Environmental Precautions	 	Prevent entry into waterways, sewers, surface drainage systems and poorly ventilated areas.
		
	Clean-up Methods	 	Spread an inert absorbent on the spill and place in a suitable, properly labelled container for recovery or disposal.
		
	Decontamination Procedures	 	No specific decontamination or detoxification procedures have been identified for this material. Consider use of water, detergent solutions, or other soluble solvents (as
specified in Section 9 of this SDS), for clean-up and decontamination operations.

 (g) HANDLING AND STORAGE

  

	
	HANDLING

  

  

17 

					
	SDS Number 130138	 	Approved/Revised 06-Feb-2006	  	Version 1

 Material GSK PHARMACEUTICAL
RESEARCH COMPOUND, INTERMEDIATE, OILY LIQUID 
  
  

 

  

			
	 GSK Process Hazard Category
	 	2
		
	 General Requirements
	 	 Assess all operations involving this material for potential fire and explosion risks and take suitable precautions based on the
guidance provided. Depending upon the scale of operation, use of appropriate exhaust ventilation is recommended to provide routine control of fire and explosion hazards during handing of this material.

 
 Ensure that any area in which this material is handled has sufficient ventilation to
avoid the build up of vapour and to control employee potential exposure to volatiles below National Occupational Exposure Limits.

		
	 Ignition Controls
	 	Bond and earth (ground) all plant and equipment to ensure that no isolated conductors are present. Isolated conductors can accumulate sufficient electrostatic charge to produce
discharges of many hundreds of mili-Joules. Keep this material away from all forms of ignition such as open flames, mechanical sparks, frictional heat and hot surfaces.
		
	STORAGE	 	 Keep material in sealed containers in a cool, well-ventilated area away from sources of ignition.

Avoid prolonged storage at elevated temperatures (greater than room temperature, approximately 20 degrees C).

(h) EXPOSURE CONTROLS/PERSONAL PROTECTION 
  

			
	OCCUPATIONAL EXPOSURE LIMITS
		
	 GSK Occupational Hazard Category
	 	3 PROVISIONAL
		
	ENGINEERING CONTROLS	 	
		
	 Exposure Controls
	 	The hygiene guide for this material is >0.5 to 5 ppm. The GSK Exposure Control Matrix recommends controls which are effective only for dusts and sold particulates. Consult
your local occupational hygiene specialist, or safety officer for effective controls for liquids, vapours, and gases.
		
	 Administrative
	 	Entry to the working area should be controlled. Doors with interlocks may be needed for materials airlocks and locker rooms. Only equipment and supplies necessary for job
activities should be taken into working area.
	
	PERSONAL PROTECTIVE EQUIPMENT
		
	 Eye Protection
	 	Wear approved safety glasses with side shields or cover goggles if eye contact is possible.
		
	 Gloves
	 	The selection of gloves for a specific activity must be based on the material’s properties and on possible permeation and degradation that may occur under the circumstances
of use. Glove selection must lake into account any solvents and other hazards present. Potential allergic reactions can occur with certain glove materials (e.g. Latex) and therefore these should be avoided. Care must be exercised if insufficient
data are available and further guidance should be sought from your local EHS department.
		
	 Respirators
	 	If respiratory protective equipment (RPE) is used, the type of RPE will depend upon air concentrations present, required protection factor as well as hazards, physical properties
and warning properties of substances present. Follow local regulations for respirator use in the workplace.
		
	 Other Equipment or Procedures
	 	Consider control procedures for maintenance, cleaning and emergencies. Wear appropriate clothing to avoid skin contact. An eye wash station should be
available.

 (i) PHYSICAL AND CHEMICAL PROPERTIES 

 

			
	 Appearance 

		
	 Physical Form
	 	Oily liquid.
		
	Boiling Point	 	> 35 °C
		
	Flash Point	 	> 60.5 °C (Closed Cup).

 (j)
STABILITY AND REACTIVITY 
  

			
	Conditions to Avoid	 	Avoid direct sunlight, conditions that might generate heat and sources of ignition.

  

  

18 

					
	SDS Number 130138	 	Approved/Revised 06-Feb-2006	  	Version 1

 Material GSK PHARMACEUTICAL
RESEARCH COMPOUND, INTERMEDIATE, OILY LIQUID 
  
  

 

 (k) TOXICOLOGICAL INFORMATION 

 

			
	Oral Toxicity	 	No studies have been conducted.
		
	Inhalation Toxicity	 	No studies have been conducted.
		
	Skin Effects	 	No studies have been conducted.
		
	Eye Effects	 	No studies have been conducted.
		
	Target Organ Effects	 	No specific target organ effects have been identified.
		
	Sensitisation	 	No studies have been conducted.
		
	Genetic Toxicity	 	No studies have been conducted.
		
	Carcinogenicity	 	No studies have been conducted and this material is not listed as a carcinogen by GSK, IARC, NTP or US OSHA.
		
	Reproductive Effects	 	Insufficient information available to classify for reproductive toxicity.
		
	Other Adverse Effects	 	None known for this material in humans.

(l) ECOLOGICAL INFORMATION 
  

			
	Summary	 	No information is available about the potential of this material to produce adverse environmental effects. Local regulations and procedures should be consulted prior to
environmental release.

 (m) DISPOSAL CONSIDERATIONS 

 

			
	Disposal Recommendations	 	Collect for recycling or recovery if possible. The recommended method of disposal is incineration. Wherever possible, disposal should be in an on-site licensed chemical
incinerator, if allowed by the incinerator license or permit. If no on-site incinerator is available, dispose of material in a licensed commercial chemical incinerator.
		
	Regulatory Requirements	 	Observe all local and national regulations when disposing of this material.

(n) TRANSPORT INFORMATION 
 The
SDS should accompany all shipments for reference in the event of spillage or accidental release. Only authorised persons trained and competent in accordance with appropriate national and international regulatory requirements may prepare dangerous
goods for transport. 
  

			
	UN Classification and Labelling	 	
		
	 Transportation Information
	 	Transportation and shipping of this material is not restricted. it has no known, significant hazards requiring special packaging or labelling for air, maritime, US or European
ground transport purposes.

 (o) REGULATORY INFORMATION 

The information included below is an overview of the major regulatory requirements. It should not be considered to be an exhaustive summary. Local
regulations should be consulted for additional requirements. 
  

			
	EU Classification and Labelling
		
	 None.
	 	
	
	US OSHA Standard (29 CFR Part 1910.1200)
		
	 Classification
	 	This material is not classified as hazardous according to the OSHA Hazard Communication Standard.
		
	 Target Organ Statement
	 	No specific target organ effects known.
		
	Other US Regulations 	 	
		
	 TSCA Status
	 	Exempt

  

  

19 

					
	SDS Number 130138	 	Approved/Revised 06-Feb-2006	  	Version 1

 Material GSK PHARMACEUTICAL
RESEARCH COMPOUND, INTERMEDIATE, OILY LIQUID 
  
  

 

 (p) OTHER INFORMATION 

References                       
                 GSK Hazard Determination 
  

			
	Date Approved/Revised 06-Feb-2006	 	SDS Version Number 1

  

			
	 SDS Sections Updated

Sections
	 	Subsections

 COMPOSITION /
INFORMATION ON INGREDIENTS 
 EXPOSURE CONTROLS / PERSONAL PROTECTION 

IDENTIFICATION OF SUBSTANCE / PREPARATION AND OF 

COMPANY 
 PHYSICAL AND CHEMICAL PROPERTIES

 The information and recommendations in this safety data sheet are, to the best of our knowledge, accurate as of the date of issue. Nothing
herein shall be deemed to create any warranty, express or implied. it is the responsibility of the user to determine the applicability of this information and the suitability of the material or product for any particular purpose. 

 

  

20 

  
  

	6.	EXCEL SPREADSHEET DEFINITION FOR EXTERNAL COMPOUND SUPPLIERS 

Excel Spreadsheet definition for External Compound Suppliers 
  

			
	Date	  	20th July
 2006
	Revision Date	  	19th July
 2007

 Purpose 

The purpose of this document is to define the “meta data” fields required to be populated, when external compound suppliers provide an Excel
spreadsheet to accompany the samples and analytical data. 
 Definition 

For LCMS please use column names below, in order specified 

* 
 For NMR, please use column names below, in
order specified 
 * 
  

	7.	GUIDELINES FOR PROVIDING BIOLOGICAL DATA ON COMPOUNDS 

CHEMPARTNER shall comply and provide a detailed ASSAY protocol in accordance with the below points as a minimum: 

Development 
 Title 

Identification 
 Protocol Origin 

Approval Workflow 
 Target 

* 
 * 

Assay 
 * 

* 
 * 

* 
 * 

* 
 * 

* 
 Data Management 

Plate Setup / Control Values 
 QA 

 

	*	Indicates where text has been omitted pursuant to a request for confidential treatment under Rule 406 of the Securities Act of 1933, as amended. The omitted materials
have been filed separately with the Securities and Exchange Commission. 

  

  

21 

  

SCHEDULE 17 

GSK RECOGNITION SCHEME 
  

 

	1.	ELIGIBILITY CRITERIA 

  

	1.1	This RECOGNITION SCHEME will only be applicable to PROJECT(s) performed under the AGREEMENT. This RECOGNITION SCHEME shall not apply to any PROGRAM(s) conducted by
ChemPartner EMPLOYEES under the AGREEMENT. 

  

	1.2	Only ChemPartner EMPLOYEES working on a PROJECT(s) set out in a SOW under the AGREEMENT may be entitled to benefit from the GSK RECOGNITION SCHEME.

  

	1.3	At GSK discretion, the GSK DESIGNATED REPRESENTATIVE of a PROJECT may wish to acknowledge a ChemPartner EMPLOYEE individually or as part of a team
(“ChemPartner’s TEAM”) in view of their significant contribution to a PROJECT through working at a high standard of quality, efficiency and integrity. 

 

	1.4	GSK may provide a ChemPartner EMPLOYEE and/or a ChemPartner TEAM with: 

  

	1.4.1	Recognition letter, in accordance with Section 2.1; and/or 

  

	1.4.2	Cash Award, in accordance with Sections 2.2, 3 and 4. 

  

	2.	GSK RECOGNITION SCHEME 

  

	2.1	Recognition letter to a ChemPartner EMPLOYEE and/or a ChemPartner’s TEAM: the content of a recognition letter will be drafted in compliance with GSK Corporate
Intellectual Property reward and recognition guidelines. 

  

	2.2	Cash Award: the GSK DESIGNATED REPRESENTATIVE may decide to nominate (i) a ChemPartner EMPLOYEE, and/or (ii) a ChemPartner’s TEAM for a cash award. Cash
awards may be of different levels: 

  

	 	•	 	 Bronze 

  

	 	•	 	 Silver 

  

	 	•	 	 Gold 

  

	2.2.1	Cash award granted to a ChemPartner EMPLOYEE individually or as a member of a ChemPartner TEAM shall be limited as follows: 

 

	 	A)	For China: 

 - Bronze award: US$
15 (shall not be given to the same ChemPartner EMPLOYEE more than three times during a CONTRACT YEAR); 
 - Silver award: US$ 25
(shall not be given to the same ChemPartner EMPLOYEE more than twice during a CONTRACT YEAR); 
 - Gold award: US$ 50 (shall not
be given to the same ChemPartner EMPLOYEE more than once during a CONTRACT YEAR); 
  

	2.2.2	In no event, shall the aggregate sum of any cash awards provided to a ChemPartner EMPLOYEE as an individual, or as a member of a ChemPartner TEAM exceed the following
amounts: 

  

  

1 

  
  

	 	(i)	US$ 50 per CONTRACT YEAR in China. 

  

	2.2.3	The above mentioned amounts may be reviewed by GSK on an annual basis. 

  

	2.2.4	Any exception to section 2.2 must be approved by GSK R&D Compliance and GSK Legal. 

 

	2.3	Any cash award provided to a ChemPartner EMPLOYEE and/or a ChemPartner TEAM shall comply with the requirements detailed in Section 3 below and shall be provided in
accordance with the procedure established under Section 4 of this Schedule. 

  

	3.	REQUIREMENTS FOR CASH AWARDS 

  

	3.1	Cash awards should be given only to a ChemPartner EMPLOYEE or to a ChemPartner TEAM that has significantly contributed to GSK PROJECTS (i.e., not to spouses or
family members). 

  

	3.2	Nothing of value may be offered or given to any government official or political party in order to influence any act or decision, obtain or retain business, obtain a
favorable government action, or otherwise obtain an unfair advantage for GSK, including but not limited to obtaining preferential tax treatment, pricing, product approvals, or other government benefit. 

 

	3.3	Nothing of value may be offered or given to a ChemPartner EMPLOYEE or a ChemPartner TEAM with the knowledge, suspicion, or belief that such third party will give cash,
property, or anything of value directly or indirectly to a government official or healthcare professional in order to persuade such individual to buy GSK’s products or otherwise favor or benefit GSK. 

 

	4.	PROCEDURE FOR PROVIDING CASH AWARDS 

  

	4.1	Each GSK BUSINESS UNIT (at their discretion) may allocate a certain amount of budget to GSK RECOGNITION SCHEME by means of the relevant SOW for the OUTSOURCED SERVICES.
The assignment of a certain amount of money for the GSK RECOGNITION SCHEME does not imply that such budget will be used or paid out in full to a ChemPartner EMPLOYEES or a ChemPartner TEAM during the duration of a SOW. 

 

	4.2	The GSK DESIGNATED REPRESENTATIVE identified in the relevant SOW will be responsible for nominating a ChemPartner EMPLOYEE and/or a ChemPartner TEAM based on
his/her/their skills and contribution to a PROJECT(s). The GSK DESIGNATED REPRESENTATIVE will communicate in writing to the ChemPartner DESIGNATED REPRESENTATIVE the name of the ChemPartner EMPLOYEE and/or ChemPartner TEAM that has been nominated
and the details of the recognition awarded. 

  

	4.3	The GSK DESIGNATED REPRESENTATIVE will be responsible for raising the appropriate purchase order (identified in a relevant SOW) for the budget allocated to the GSK
RECOGNITION SCHEME for the duration of the SOW. 

  

	4.4	ChemPartner will be responsible for paying out the cash awards to the nominated ChemPartner EMPLOYEE and/or ChemPartner TEAM, in accordance with their internal
procedures and applicable laws. 

  

	4.5	Any exceptions to the above mentioned rules must be approved by GSK R&D Compliance, GSK Legal and the GSK LIASON LEAD. 

 

  

2 

  

APPENDIX I 

Amendment to Master Agreement 
  

 

  

AMENDMENT NUMBER 1 TO MASTER AGREEMENT FOR THE OUTSOURCING OF 

SERVICES (“Amendment”) 

This Amendment number 1, effective from
January 1st 2009 (the “Effective Date”)
amends the MASTER AGREEMENT FOR THE OUTSOURCING OF SERVICES dated
January 1st 2007 (the “Master Agreement”)
made by and between GSK Research and Development Limited, (“GSK”), registered in England and Wales under company number 835139 and having its registered of at 980 Great West Road, Brentford, Middlesex TW8 9GS and ChemPartner Co., Ltd.,
(“Contractor”), registered in China, and having its principal business address at No.5 Building, 998 Hallel Road, Zhangjiang Hi-Tech Park Pudong New Area, 201203 Shanghai, People’s Republic of China. 

GSK and Contractor may be referred to herein individually as a “Party” or collectively as the “Parties”. 

WHEREAS, the Parties wish to amend the Master Agreement in certain respects as contained herein: 

 

	1.	DEFINITIONS 

  

	1.1	Clause 1.1 is amended as follows: 

By adding the following new definitions: 
  

			
	“ADDITIONAL DISCOVERY OUTSOURCED SERVICES (“ADOS”)”	  	means additional discovery outsourced services as agreed by the Parties in writing that are materially different from and in addition to the DOS, specified in Sections A and B of
Schedule 1.
		
	“ADDITIONAL OUTSOURCED SERVICES (“AOS”)”	  	means such additional services as agreed by the Parties in writing that are different from and in addition to the DOS and/or ADOS.
		
	“ASSAY”	  	means any measurement of chemical properties and/or biological activity In Vitro, In Vivo, ex vivo and/or ADME/T’ of a Compound.
		
	“ADME/T”	  	means any in vivo, in silico, in vitro and/or in vivo Assay that is used to define absorption, distribution, metabolism, excretion and toxicity of a Compound.
		
	“BIOLOGY ADDITIONAL MATERIAL(s)”	  	means any biological Reagent or Material with a value greater than * per Consumable * GSK will pay excess value above * per Consumable upon prior approval by the GSK
Representative.

  

	*	Indicates where text has been omitted pursuant to a request for confidential treatment under Rule 406 of the Securities Act of 1933, as amended. The omitted materials
have been filed separately with the Securities and Exchange Commission. 

  

  

12 

			
	“BIOLOGICAL MATERIAL/SAMPLE”	  	means any human biological material, including any portion of an organ, any tissue, skin, bone, muscle, connective tissue, blood, cerebrospinal fluid, cells, gametes, or
sub-cellular structures such as DNA/RNA, monoclonal antibodies secreted by a hybridoma cell line, or sub-sets of the original biological material such as novel plasmids or vectors), or any derivative of such human biological material such as stem
cells or cell lines; and any human biological product, including, but not limited to, hair, nail clippings, teeth, urine, faeces, breast milk, and sweat.
		
	“COMPOUND”	  	means a therapeutic agent or chemical entity synthesized as part of a Project or Program.
		
	“CONSUMABLES”	  	mean any item used to perform the science, which does not have a fixed asset life (excluding Materials, Biological Additional Materials and/or Reagents),
		
	“CONTRACTOR EMPLOYEE(s)”	  	 means those Individuals who are employed, appointed or otherwise engaged Full Time by Contractor to provide the OS, or for any other
term that may be agreed by the Parties for any ADOS and/or AOS.
  
 GSK will
have an active role in the selection of such individuals as appropriate and agreed by the Parties.

		
	“DISCOVERY OUTSOURCED SERVICES” or “DOS”	  	means those services listed in Sections A and B Schedule 1 to this Agreement.
		
	“EQUIPMENT”	  	means computers, laboratory notebooks (LBNs), electronic laboratory notebooks (eLNBs), telecommunications and network, hardware, and any other equipment and their associated
peripherals and connecting equipment utilised by “Contractor” in performing the OS, provided by GSK.
		
	“EXCESS MATERIAL”	  	means any remaining Material(s) or Biology Additional Material(s) in possession of Contractor that are required to be returned, destroyed or disposed upon completion and/or
termination of the Project and/or the Program and/or the Research Agreement, in accordance with GSK instructions and Clause 8.
		
	“FLEXIBLE DOS” or “FDOS”	  	means a combination of all the DOS (ADOS and/or AOS), as described in Section B of Schedule 1, or as specified by GSK on a Project by Project basis. Intellectual input
predominately driven by GSK.
		
	“FULLY INTEGRATED SERVICES” or “FIS”	  	mean a combination of all the DOS (or ADOS and/or AOS), as described in Section C of Schedule 1, or as specified by GSK on a Program by Program basis. Intellectual input
predominately driven by Contractor.

  

  

20 

			
	“IN-VITRO”	  	means any study conducted in an artificial environment outside a living organism.
		
	‘IN-VIVO”	  	means any study conducted in live animals.
		
	“MATERIAL(s)”	  	means any Compound, Reagent, Asset, Biological Material/Sample, non-human biological material, Biological Additional Materials that could be used or provided by GSK to Contractor
at the Site, including but not limited to any material in whatever form (including written, magnetic, electronic, graphic or digitised), including any methodologies, processes, know-how, reports, specifications, business rules or requirements,
manuals, user guides, training materials and instructions and material relating to GSK Software or its design, development, modification, operation, support or maintenance.
		
	“OUTSOURCED SERVICES (“OS”)”	  	means any DOS, as detailed in Schedule 1, and/or any FIS; and/or any ADOS; and/or any AOS.
		
	“PROGRAM”	  	means Fully Integrated Services provided by Contractor in accordance with the specifics of a Research Agreement.
		
	“REAGENT”	  	means a substance used in a chemical or biological reaction, or an Assay.
		
	“RESEARCH AGREEMENT”	  	means a written instrument which is entered into by the Parties (or in the case of GSK by one of its Affiliates) setting out the scientific, business and commercial details for
the Fully Integrated Services, as required by a GSK Business Unit.
		
	“SOFTWARE”	  	means all systems and computer programs, including application software, enhancements, supporting documentation and associated materials that are utilised by the Contractor in
performance of the OS pursuant to this Agreement.
		
	“STUDY PROTOCOL”	  	means a study (Schedule 2) detailing a specific set of discrete biology OS required by a GSK Business Unit under the relevant SOW.

 

	1.2	By amending the definition of “Additional Materials” 

“Chemical Additional Materials” means any Reagents or Materials with a value in excess of * per item, upon prior approval
by the GSK Representative. 
  

  

30 

	1.3	By amending the definition of “Project” 

““Project” means any Outsourced Services Project(s) (excluding Fully Integrated Services) to be conducted by
Contractor in accordance with a Statement of Work (“SOW’), associated Project Form(s) and/or Study Protocol(s).” 
  

	1.4	By amending the definition of “Project Form” 

““Project Form” means a form detailing a discreet set of Outsourced Services (excluding Fully Integrated Services)
required by a GSK Business Unit under the relevant SOW.” 
  

	2.	SERVICES 

 The Parties
also wish to substitute Schedule 1 with the amended Schedule 1 attached to this Amendment. 
  

	3.	CHARGES AND PAYMENTS 

Schedule 7 is amended as follows: 
  

	3.1	Section 2.1 is amended as follows: 

“Contractor Employees employed by the Contractor in providing the functional chemistry Discovery Outsourced Services will be
charged at a * per annum, or pro-rata for any period of less than a Calendar Year.” 
 “The Parties have agreed
(that GSK will have the flexibility to ramp-up and/or down Contractor Employees within reasonable timeframes in accordance with the scientific needs of an individual Project and/or Program.” 

 

	3.1.1	Section 2.2 and 2.2 shall are hereafter renumbered as Sections 2.2 and 2.3 respectively. 

 

	3.1.2	Section 5.1.4 is hereby replaced as follows: 

“5.1.4 All US invoices shall be sent for payment to the following address: 

PO Box 981499, El Paso Texas 79998-1499” 
  

	3.2	All other commercial pricing within Schedule 7 of the Master Agreement shall remain unchanged. 

 

	*	Indicates where text has been omitted pursuant to a request for confidential treatment under Rule 406 of the Securities Act of 1933, as amended. The omitted materials
have been filed separately with the Securities and Exchange Commission. 

  

  

40 

	4.	ETHICAL TREATMENT AND USE OF ANIMALS AND BIOLOGICAL SAMPLES 

Clause 11 is amended as follows: 
  

	4.1	By adding two new sections: 

“11.3 The in-vitro and drug metabolism and pharmacokinetics outsourced services shall be conducted in compliance with GSK approved
protocols and policies on ethical care and welfare of animals, as set out in Schedule 8.” 
 “11.4
Contractor shall not use any Biological Sample in the performance of OS without notifying GSK of such intended use and obtaining GSK’s consent thereto. 

To the extend it may be applicable, any Biological Sample obtained from patients or subject volunteers or other donors by Contractor to
perform the OS, must be: 
  

	 	A)	obtained in compliance with all applicable national, regional and local laws regarding the collection, storage, transfer, use and disposal of human tissues and
regarding the use and disclosure of human health information; and 

  

	 	B)	obtained with relevant requirements for ethics committee approvals; and 

 

	 	C)	obtained the informed consent of the concerned individuals of such Biological Sample, and in the case of post mortem Biological Sample, supplied with consent
provided by or on behalf of the original donor that specifically includes consent: (i) for the Biological Sample to be used in commercial research (and with respect to the supply of any, Biological Sample collected after September 1st
2006; (ii) that such research use may include DNA analysis) which could result in commercial gain; (iii) that the Biological Sample may be transferred to other commercial entitles; (iv) that to the extent to which collected Biological
Sample will be associated with information identifying the donor; if applicable, that information regarding the donor may be transferred and used with the Biological Sample; and (v) that the donor has been informed not to expect to benefit from
any commercial gain.” 

  

	5.	MATERIALS 

 Clause 8 is
hereby deleted In its entirety and replaced with the following: 
  

	 	“8.	MATERIALS 

  

	 	8.1	GSK may supply Contactor with Materials for the performance of the OS. 

 

	 	8.2	The use of Biology Additional Materials and/or Chemical Additional Materials in Contractor’s performance of the OS must be approved in writing by GSK.

  

	 	8.2.1	In the event Contractor requires purchasing Biology Additional Materials and/or Chemical Additional Materials for the performance of the OS, Contractor will provide
GSK with quotes from their preferred suppliers who meet quality, quantity and timeline requirements. In addition, Contractor will highlight the preferred option and will seek GSK approval before proceeding. 

 

  

50 

	 	8.2.2	Notwithstanding the above, GSK may: 

  

	 	(a)	Supply the Biology Additional Materials and/or Chemical Additional Materials to Contractor at no cost for Contractor; or 

 

	 	(b)	Provide Contractor with the contact details of GSK preferred suppliers, in order for Contractor to conduct the purchase directly. 

 

	 	8.3	Contractor shall use the Materials exclusively on GSK Project(s) and/or Program(s) and in accordance with GSK specifications and instructions at all times. Any
Excess Materials from a Project and/or Program may be used for other GSK Project and/or Program. Contractor will not transfer possession or control of any Materials to a Third Party, remove, or transport the Materials from the Site without GSK
written authorisation. 

  

	 	8.4	 Should the value of Biology Additional Material be greater than * per Consumable
*, GSK will pay excess value above * per Consumable, upon prior
approval by GSK Representative. 

  

	 	8.5	 Should the value of Chemical Additional Material be in excess of * per item. GSK will only pay excess value above
*, upon prior approval by GSK Representative.

  

	 	8.6	Contractor shall not use the Materials supplied by GSK for any unlawful purposes. 

 

	 	8.7	For those Materials supplied by GSK, GSK shall appoint GSK preferred suppliers for the shipments of the Materials to the Site. 

 

	 	8.8	All legal, custom requirements retaining to the labelling, packaging, dispatch and delivery of the Materials must be met by GSK, if the Materials are supplied by
GSK. 

  

	 	8.9	Contractor shall keep the Materials supplied by GSK stored and labelled in such a way that they are visibly marked and readily identifiable as belonging to GSK. 

  

	 	8.10	Contractor shall store the Materials supplied by GSK at the Site to accordance with the technical, safety and handling instructions provided by GSK at all times.
Should the materials supplied by GSK be stored at a different location, Contractor will inform GSK and provide the relevant information regarding said location. Any new storage location must be authorised in writing by GSK.

  

	 	8.11	Contractor shall permit GSK by means of its GSK Representative or duly authorised representative to inspect the Materials supplied by GSK at all reasonable times
and, for such purpose, to enter the Site where the Materials may be located Contractor shall grant reasonable access to the Site for such inspection during normal Working Hours. 

 

	*	Indicates where text has been omitted pursuant to a request for confidential treatment under Rule 406 of the Securities Act of 1933, as amended. The omitted materials
have been filed separately with the Securities and Exchange Commission. 

  

  

60 

	 	8.12	Contractor shall be responsible for taking all reasonable measures to ensure the security of the Materials whilst in the Site. 

 

	 	8.13	In the event Contractor requires equipment and materials in addition to the Materials and/or Equipment to provide the OS, Contractor will obtain such equipment and
materials at its own expense. Such equipment and materials shall be acquired in the name of the Contractor and the title shall vest in Contractor. 

  

	 	8.14	Contractor shall take all reasonable care of all Materials supplied by GSK, and where it becomes aware that any Materials supplied by GSK have been stolen, lost,
destroyed or damaged, it shall promptly inform the GSK Representative to that effect in writing. 

  

	 	8.15	Risk of loss or damage to the Materials supplied by GSK shall pass to Contractor on delivery. 

 

	 	8.16	Without limiting the foregoing Contractor shall be responsible for any damage to or LOSS of the Materials supplied by GSK arising out of or in connection with any
negligence, misuse, mishandling of or otherwise caused by Contractor or its officers, Contractor Employees, agents and sub-contactors. 

  

	 	8.17	On termination or expiry of a Project and/or a Program, Contractor shall return all remaining Excess Materials supplied by GSK, in accordance with the correspondent
SOW and/or Research Agreement. GSK shall have the right, at all reasonable times, upon prior notice and during normal Working Hours, to enter the Site to Inspect and retrieve any of the Excess Materials. 

 

	 	8.18	On termination or expiry of this Agreement, Contractor shall return all remaining Excess Materials supplied by GSK. GSK shall have the right, at all reasonable
times, upon prior notice and during normal Working Hours, to enter the Site to inspect and retrieve any of the Excess Materials. 

  

	 	8.19	Contractor acknowledges that at no time will any right, title or interest in or to any of the Materials supplied by GSK pass to Contractor and that Contractor shall
at all times act as bailee only of such Materials. Contractor shall hold all Materials strictly to the order of GSK, who shall remain the owner of the Materials. Contractor shall have no general, contractual, equitable or any other right or interest
in or lien over the Materials.” 

 All other terms and conditions of the Master Agreement shall remain in
full force and effect. 
 IN WITNESS WHEREOF, this Amendment has been executed in duplicate by the Parties hereto through
their duly authorised representatives on the date first above written. 
  

					
	 GlaxoSmithKline Research & Development

Limited
	 		 	ChemPartner Co., Ltd.
	 /s/ *
	 		 	 /s/ Michael Hui

	By: *	 		 	By: Michael Hui
	Position: Drug Discovery & Chemistry Procurement	 		 	Position: CEO
	Date: Dec/11/09	 		 	Date: Dec. 3rd, 2009

  

	*	Indicates where text has been omitted pursuant to a request for confidential treatment under Rule 406 of the Securities Act of 1933, as amended. The omitted materials
have been filed separately with the Securities and Exchange Commission. 

  

  

70 

 SCHEDULE 1 

Discovery Outsourcing Services 
  

	1.	General information 

 The
Discovery Outsourced Services (“DOS”) shall comprise of one or more of the following: 
  

	A.	FUNCTIONAL DOS: 

  

					
	 Discovery Outsourced Category
	  	 Discovery Outsourced Services
	  	 Description

			
	Chemistry	  	 *
	  	 *

			
	Chemistry	  	 *
	  	 *

			
	Chemistry	  	 *
	  	 *

			
	Chemistry	  	 *
	  	 *

			
	Chemistry	  	 *
	  	 *

 

	*	Indicates where text has been omitted pursuant to a request for confidential treatment under Rule 406 of the Securities Act of 1933, as amended. The omitted materials
have been filed separately with the Securities and Exchange Commission. 

  

  

90 

					
			
	Biology	  	 *
	  	 *

			
	Biology	  	 *
	  	 *

			
	 Discovery Outsourced Category
	  	 Discovery Outsourced Services
	  	 Description

			
	Biology	  	 *
	  	 *

			
	Biology	  	 *
	  	 *

  

	B.	FLEXIBLE DISCOVERY OUTSOURCED SERVICES (‘FDOS”): 

  

			
	 Flexible Discovery Outsourced Services
	 	 Description

		
	Flexible Discovery Outsourced Services (“FDOS”)	 	 •      A combination of all the DOS above, or as
specified by GSK on a Project by Project basis.
  

•      Intellectual input predominately driven by
GSK

 The above mentioned list of DOS may be amended by GSK from time to time in writing. 

The precise scope of the DOS will be agreed by the Parties on a Project by Project basis, and/or a Program by Program basis. 

The Parties will document the provision of the OS by means of a Statement of Work (“SOW”) for each specific Project or a Research Agreement for
each specific Program, as described below: 
  

	 	a.	For chemistry DOS, by means of a SOW and associated Project Form(s) (as attached in Schedule 2); 

 

	 	b.	For biology DOS, by means of a SOW and associated Study Protocol(s) (as attached in Schedule 2); 

 

	 	c.	For Flexible Discovery Outsourced Services, by means of a SOW and associated Project Form(s) and/or Study Protocol(s) (as attached in Schedule 2), as may be
applicable; 

  

	*	Indicates where text has been omitted pursuant to a request for confidential treatment under Rule 406 of the Securities Act of 1933, as amended. The omitted materials
have been filed separately with the Securities and Exchange Commission. 

  

  

100 

  

SCHEDULE 8 

ANIMAL WELFARE 

Contractor agrees to comply with all relevant statutes, legislation, regulations and guidelines for the care, welfare and ethical treatment of animals
used in research in the country where the Outsourced Services are being performed. In conducting any research involving the use of animals, Contractor further agrees to comply with the “3R” Principles— reducing the number of animals
used, replacing animals with non-animal methods whenever possible and refining the research techniques used. All work must be conducted in adherence to the core principles for animals on research studios identified below. Local customs, norms,
practices or laws may be additive to the core principles, but Contractor agrees to comply, as a minimum, with these core principles: 
  

	 	a.	Access to species appropriate food and water 

  

	 	b.	Access to species specific housing, including species appropriate temperature and humidity levels 

 

	 	c.	Access to humane care and a program of veterinary care 

  

	 	d.	Ability to demonstrate species specific behaviour 

  

	 	e.	Adherence to principles of replacement, reduction and refinement in the design of In Vivo studies 

 

	 	f.	Study design reviewed by institutional ethical review panel 

  

	 	g.	Commitment to minimizing pain and distress during In Vivo studies 

  

	 	h.	Work performed by appropriately trained staff 

Contractor agrees that all Study Protocol(s) shall undergo an ethical review, whether or not required by applicable law, and that written documentation
confirming ethical review shall be maintained until three (3) years after the termination of this Master Agreement demonstrating that the review was completed. Those records shall be eligible for inspection by GSK upon reasonable notice and
shall be promptly provided to GSK upon request. 
 If Contractor is currently accredited by AAALAC, Contractor agrees to make Commercially
Reasonable Efforts to maintain its AAALAC accreditation during the life of this Master Agreement. 
 Contractor shall conduct the Outsourced
Services only through appropriately trained and qualified staff, and Contractor agrees to have policies or procedures in place to ensure the appropriate qualification and training of its Contractor Employees. 

Upon reasonable advance notice, GSK (or its sub-contractor/delegate) shall have the right to audit Contractor’s records and facilities. The scope of
the audit may include, but need not be limited to, the opportunity to view relevant SOPS, training records, building management records, animal health records, tour the facility, ethical review documents, and otherwise include any documents
reasonably necessary to assess compliance by Contractor with any of the terms of this Schedule. 
 Contractor shall immediately provide notice
to GSK of any impending inspection by a regulatory authority of Outsourced Services or the facilities used for the Outsourced Services, and GSK shall have the right to be present at the inspection, to receive a copy of any report or findings issued
by the regulatory authority, mid to review and comment in advance on any proposed response by Contractor to the regulatory authority. Contractor shall also promptly provide OS with copies of any regulatory enforcement action or inspection findings
issued to Contractor and relating to the ethical care and treatment of animals, regardless of whether such enforcement action or inspection finding relates to the Outsourced Services. 

 

  

112 

 Contractor shall have a procedure in place to audit, assess and approve its external suppliers and
distributors who supply animals to Contractor to (i) ascertain and confirm the quality of the animals supplied, (ii) ensure legal requirements for the care and welfare of animals are met and (iii) ensure that only purpose bred animals
are used to conduct and provide the Outsourced Services. The distance of suppliers from Contractor’s test facility shall be minimised (where practicable) and transport processes (e.g. stocking densities, carrying orates, food and water) must
ensure minimum stress. On arrival, Contractor shall ensure checks are in place to confirm only healthy animals are used in the Outsourced Services. Contractor shall document the approval of its animal suppliers and distributors, which documentation
shall be made available to GSK upon request. GSK shall the right, but not the obligation, to approve any supplier of non-human primates, which right may be invoked upon notice to Contractor. 

 

  

120 

  

APPENDIX 2 

Floor map of GSK DESIGNATED SPACE 
  

 

  

* 
  

 

	*	Indicates where text has been omitted pursuant to a request for confidential treatment under Rule 406 of the Securities Act of 1933, as amended. The omitted materials
have been filed separately with the Securities and Exchange Commission. 

  

  

11 

  

APPENDIX 3 

CONFIDENTIALITY DISCLOSURE AGREEMENT 
  

 

  

CONFIDENTIALITY DISCLOSURE AGREEMENT 

THIS CONFIDENTIALITY DISCLOSURE AGREEMENT (the “Agreement”) is entered into on
23rd December, 2009 (“Effective Date”) by
and between Shanghai ChemPartner Co., Ltd., a Chinese Corporation with its principal office located at No. 5 Building, 998 Halei Road, Zhangjiang Hi-Tech Park, Pudong New Area, Shanghai 201203, China (“ChemPartner”) and
GlaxoSmithkline Research and Development Limited, registered in England and Wales under company number 835139 and having its registered office at 980 Great West Road, Brentford, Middlesex TW8 9GS, United Kingdom (“GSK”). 

ChemPartner and GSK are herein referred to each as a “Party” and, collectively, as the “Parties”. 

1. GSK will co-locate one or more GSK EMPLOYEE(s) to oversee a PROJECT(s) and/or a PROGRAM(s) to be conducted at the GSK DESIGNATED SPACE at the SITE as
specified in the Global Research and Development Outsourced Services Agreement entered by and between ChemPartner and GSK dated as of 22st December, 2009 (“Global Agreement”). 

2. For the purposes of this Agreement, the terms used shall have the same meaning as set forth in the Global Agreement, unless otherwise specified
herein. For what is not expressly regulated in this Agreement, the Parties shall refer to the terms and conditions agreed in the Global Agreement. 

3. “ChemPartner Business Confidential Information” shall mean any and all scientific, technical and non-technical information of ChemPartner
obtained or learned by the GSK EMPLOYEE during the course of his/her co-location, including but not limited to information regarding (a) patent and patent applications, (b) trade secret, and (c) proprietary information, mask works,
ideas, designed compounds or structures (“ChemPartner Compounds”), gene sequences, cell lines, samples, media, chemical compounds, assays, biological materials, techniques, sketches, drawings, works of authorship, models, inventions,
know-how, processes, apparatuses, equipment, algorithms, software programs, software source documents, and formulae related to the current, future, and proposed products and services of ChemPartner, and including, without limitation,
ChemPartner’s information concerning research, experimental work, development, design details and specifications, engineering, financial information, procurement requirements, purchasing, manufacturing, customer lists, investors, employees,
business and contractual relationships, business forecasts, sales and merchandising, marketing plans and other proprietary information of ChemPartner. 

4. Subject to Section 3, GSK agrees that at all times and notwithstanding any termination or expiration of this Agreement it will hold in strict
confidence and not disclose ChemPartner Business Confidential Information to any THIRD PARTY, except as approved in writing by ChemPartner, and will not use ChemPartner Business Confidential Information. 

5. GSK shall not have any obligations under this Agreement with respect to a specific portion of the ChemPartner Business Confidential Information if GSK
can demonstrate with competent evidence that such ChemPartner Business Confidential Information: 
 (a) was in the public domain
at the time it was disclosed to GSK; 
 (b) entered the public domain subsequent to the time it was disclosed to GSK, through no
fault of GSK; 
 (c) was in GSK’s possession free of any obligation of confidence at the time it was disclosed to GSK;

 (d) was rightfully communicated to GSK free of any obligation of confidence subsequent to the time it was disclosed to GSK;
or 
  

  

13 

 (e) was developed by employees or agents of GSK who had no access to ChemPartner Business
Confidential Information. 
 6. GSK recognizes and agrees that nothing contained in this Agreement shall be construed as granting any property
rights, by license or otherwise, to any ChemPartner Business Confidential information disclosed pursuant to this Agreement, or to any INVENTION or any PATENT, copyright, trademark, or other INTELLECTUAL PROPERTY RIGHT that has issued or that may
issue, based on such ChemPartner Business Confidential Information unless explicitly specified in this Agreement. GSK shall not make, have made, use or sell for any purpose any product or other item using, incorporating or derived from any
ChemPartner Business Confidential Information unless relevant licenses are granted by the ChemPartner to GSK. 
 7. ChemPartner Business
Confidential Information shall not be reproduced in any form. 
 8. All INTELLECTUAL PROPERTY RIGHTS embodied in ChemPartner Business
Confidential Information shall be and remain the sole and exclusive property of the ChemPartner except as otherwise agreed by both Parties. 

9. This Agreement shall come into effect from the Effective Date and continue until the termination of the Global Agreement. Except for Section 5 of
this Agreement, GSK obligations with respect to ChemPartner Business Confidential Information disclosed under this Agreement shall survive termination of this Agreement and continue for as long as such information remains CONFIDENTIAL INFORMATION.

 10. This Agreement shall be governed by and construed in accordance with the laws of the People’s Republic of China, without regards to
conflict of law principles. Any dispute, controversy or claim from or in connection with this SOW, including any question regarding its existence, validity or. termination, must be submitted to the China International Economic and Trade Arbitration
Commission (“CIETAC”) in accordance with the Rules of Conciliation and Arbitration. Arbitration shall be conducted in accordance with the CIETAC’s arbitration rules in effect at the time of applying for arbitration. The seat of
arbitration shall be Shanghai and the language to be used in the arbitral proceedings shall be English. The award of the arbitration tribunal will be final and binding. Judgment on any award may be entered in any court of competent jurisdiction.

 The costs of arbitration must be borne by the losing Party, unless otherwise decided by the arbitration award. 

11. This Agreement may not be amended except by a writing signed by both Parties hereto. 

12. The GSK hereby agrees that breach of this Agreement will cause ChemPartner irreparable damage for which recovery of damages would be inadequate, and
that ChemPartner shall therefore be entitled to obtain timely injunctive relief under this Agreement, as well as such further relief as may be granted by a court of competent jurisdiction, both before and after the arbitrators have been appointed.

 13. If any provision of this Agreement is found by a proper authority to be unenforceable or invalid, such unenforceability or invalidity
shall not render this Agreement unenforceable or invalid as a whole and, in such event, such provision shall be changed and interpreted so as to best accomplish the objectives of such unenforceable or invalid provision within the limits of
applicable law or applicable court decisions, or arbitration awards. 
 14. GSK will not assign or transfer any rights or obligations under this
Agreement without the prior written consent of ChemPartner. 
 15. All notices or reports permitted or required under this Agreement shall be in
writing and shall be delivered by personal delivery, electronic mail, facsimile transmission or by certified or registered mail, return receipt requested, and shall be deemed given upon personal delivery, five (5) days after deposit in the
mail, or upon acknowledgment of receipt of electronic transmission. Notices shall be sent to the following addresses or such other address as either Party may specify in writing. 

 

  

23 

  
  

	
	 If to ChemPartner:
  

Attention: Michel Hui
 Address: No.5 Building,
998 Hailei Road, Zhangjiang Hi-Tech Park Pudong New Area, 201203 Shanghai,
 People’s Republic of China

 
 Tel: 86-21-51320006

Fax: 86-21-51320110
 Email:
hui@chempartner.cn
  

	 If to GSK:
  

Attention: *
 Address: *

 
 Tel: *

Fax: *
 Email: *

IN WITNESS WHEREOF, the parties hereto have caused this Agreement to
be executed as of the Effective Date. 
  

					
	Shanghai ChemPartner Co., Ltd.	 		 	GlaxoSmithKline Research and Development Limited
			
	 /s/ Michael Hui
	 		 	 /s/ *

	Name: Michael Hui	 		 	Name*
	Title: CEO	 		 	Title: Discovery Outsourced Services
	Date: January 19, 2010	 		 	Date:
23rd December, 2009

 

	*	Indicates where text has been omitted pursuant to a request for confidential treatment under Rule 406 of the Securities Act of 1933, as amended. The omitted materials
have been filed separately with the Securities and Exchange Commission. 

  

  

33 

 APPENDIX 4 

VISITOR AGREEMENT 
  

 

 VISITOR AGREEMENT 

This Visitor Agreement (“Agreement”) is by and between Shanghai ChemPartner Co., Ltd., a company located at No.5 Building, 998
Halei Road, Zhangjiang Hi-Tech Park, Pudong New Area, Shanghai, China 201203 (“ChemPartner”), and [l], an
employee of [l] (“GSK”) a company located at
[l] (“GSK EMPLOYEE”). 

WHEREAS, 
  

	 	1.	 GSK is co-locating the GSK EMPLOYEE to oversee a PROJECT(s) and/or a PROGRAM(s) to be conducted at the GSK DESIGNATED SPACE as specified in the Global
Research and Development Outsourced Services Agreement entered by and between ChemPartner and GSK dated as of 23rd
 December, 2009 (“Global Agreement”). 

  

	 	2.	ChemPartner is willing to provide GSK EMPLOYEE with GSK DESIGNATED SPACE in order for the Visitor to oversee a PROJECT(s) and/or a PROGRAM(s) as specified in the Global
Agreement. 

 NOW, THEREFORE, in consideration of the mutual promises set forth below, it is agreed by and between
ChemPartner and the GSK EMPLOYEE: 
  

	1.	Co-Location At Gsk Designated Space 

  

	1.1	The Gsk Employee Will Be Co-Located At Gsk Designated Space To Oversee And Monitor Performance Of The [Insert Name Of Project(S) And/Or Program(S)] Outsourced To
Chempartner By [Insert Name Of Gsk Business Unit] From [l] 2009 Until
[l]. 

Gsk Will Remain The Employer Of The Gsk Employee, And All Salaries, Allowances, Benefits And Costs Relating To The Gsk Employee Shall Be
Borne By Gsk During The Co-Location. Gsk Shall Be Only Responsible For The Gsk Employee’s Safety And All Injuries Or Loss Occurred To The Gsk Employee During The Co-Location Except Such Injuries Or Loss Caused By Chempartner’s Gross
Negligence Or Willful Act. 
 The Gsk Employee Shall Comply With Chinese Laws And Regulations And Internal
Rules And Regulations Of Chempartner, As Notified By Chempartner At All Times. In Consideration Of Confidential Nature Of Chempartner’s Business, The Gsk Employee Shall Keep Confidential Chempartner’s Business Confidential Information, As
Described In The Confidentiality Agreement Entered By And Between Chempartner And Gsk Dated As Of
21st December, 2009. 

 

	1.2	Chempartner Will Provide The Gsk Employee With The Facilities Specified In Clause 22.10.5 Of The Global Agreement. No Further Facilities Will Be Provided Unless
Otherwise Agreed By Both Parties In Writing. 

  

	2.	Assignment Gsk Employee Will Not Assign Or Transfer Any Rights Or Obligations Under This Agreement Without The Prior Written Consent Of Chempartner.

  

	3.	No Agency Nothing In This Agreement Shall Be Construed As An Authorization For Any Party To Act As An Agent For Any Other Party. 

 

	4.	No Use Of Names No Party To This Agreement Will Use The Name Of Any Other Party Hereto In Advertising, Publicity, Or Otherwise Without The Express Prior Written
Permission From The Party Affected. 

  

	5.	Entire Agreement This Agreement Represents The Entire Understanding Between The Parties With Respect To The Gsk Employee’s Co-Location. It Is Further Agreed
That No Term Of This Agreement Can Be Changed Or Waived In Any Respect Except By Written Agreement Signed By Gsk Employee And Chempartner. 

  

  

12 

	6.	Warranties/Notice Gsk Employee Represents And Warrants That He/She Has The Right To Enter Into This Agreement And To Fulfill The Obligations Set Forth Hereunder.

 Any Notice Required Or Permitted To Be Given Under This Agreement, Shall Be In Writing And Shall Be Deemed To
Have Been Sufficiently Given For Al Purposes If Mailed By First Class Certified Or Registered Mail, Postage Prepaid. Unless Otherwise Specified In Writing, The Mailing Addresses Of The Parties Shall Be As Follows: 

 

			
	To Chempartner:	  	To Gsk Employee
		
	 Shanghai Chempartner Co., Ltd.

No. 5 Building, 998 Halei Road,
 Pudong New
Area, Shanghai, China
 Attn:
[l]
	  	[l]

 

	7.	Term The Term Of This Agreement Shall Come Into Effect From The Effective Date And Continue Until The Termination Of The Co-Location. 

 

	8.	No License This Agreement Shall Not Be Construed As An Obligation To Enter Into Any Subsequent Relationship. It Is Understood That No Patent Rights Or Licenses
Are Granted To Gsk Employee By This Agreement. 

  

	9.	The Terms Used In This Agreement Shall Have The Same Meaning As Set Forth In The Global Agreement, Unless Otherwise Specified Herein. For What Is Not Expressly
Regulated In This Agreement, The Parties Shall Refer To The Terms And Conditions Agreed In The Global Agreement. 

  

	10.	Jurisdiction And Venue This Agreement Shall Be Governed By And Construed In Accordance With The Laws Of The People’s Republic Of China. Any Dispute,
Controversy Or Claim From Or In Connection With This Agreement, Including Any Question Regarding Its Existence, Validity Or Termination, Must Be Submitted To The China International Economic And Trade Arbitration Commission (“Cietac”).
Arbitration Shall Be Conducted In Accordance With The Cietac’s Arbitration Rules In Effect At The Time Of Applying For Arbitration. The Seat Of Arbitration Shall Be Shanghai And The Language To Be Used In The Arbitral Proceedings Shall Be
English. The Award Of The Arbitration Tribunal Will Be Final And Binding. Judgment On Any Award May Be Entered In Any Court Of Competent Jurisdiction. The Costs Of Arbitration Must Be Borne By The Losing Party, Unless Otherwise Decided By The
Arbitration Award. 

 IN WITNESS WHEREOF, the parties have executed this Agreement effective as of the last date of
execution by their duly authorized representatives. 
  

					
	 SHANGHAI CHEMPARTNER CO.,

LTD
	 		 	GSK EMPLOYEE
			
	  
	 		 	  

	By:	 		 	By:
	Title:	 		 	Title:
	Date:	 		 	Date:

  

  

22Credit Agreement

 Exhibit 10.1 

Execution Version 

U.S. $400,000,000 

CREDIT AGREEMENT 

Dated as of October 1, 2010 

among 

QUICKSILVER GAS SERVICES LP, 

as Borrower, 
 THE
LENDERS PARTY HERETO, 
 BNP PARIBAS, 

as Administrative Agent and Collateral Agent, 

BANC OF AMERICA SECURITIES LLC, 

BNP PARIBAS SECURITIES CORP., 

and 
 RBC CAPITAL
MARKETS CORPORATION, 
 as Joint Lead Arrangers and Joint Bookrunners, 

BANK OF AMERICA, N.A., 

and 
 ROYAL BANK OF
CANADA, 
 as Syndication Agents, 

and 
 UBS
SECURITIES LLC, 
 and 

THE ROYAL BANK OF SCOTLAND PLC 

as Co-Documentation Agents. 
  

 

 TABLE OF CONTENTS 

 
  

 

					
	 	  	 	  	PAGE
		
	 ARTICLE I

DEFINITIONS
	  	
			
	 Section 1.01.
	  	Defined Terms	  	3
	 Section 1.02.
	  	Terms Generally	  	38
	 Section 1.03.
	  	Effectuation of Transfers	  	39
		
	 ARTICLE II

THE CREDITS
	  	
			
	 Section 2.01.
	  	Commitments	  	39
	 Section 2.02.
	  	Loans and Borrowings	  	39
	 Section 2.03.
	  	Requests for Borrowings	  	40
	 Section 2.04.
	  	Swingline Loans	  	41
	 Section 2.05.
	  	Revolving Letters of Credit	  	42
	 Section 2.06.
	  	Funding of Borrowings	  	46
	 Section 2.07.
	  	Interest Elections	  	47
	 Section 2.08.
	  	Termination and Reduction of Commitments	  	48
	 Section 2.09.
	  	Repayment of Loans; Evidence of Debt	  	48
	 Section 2.10.
	  	Repayment of Loans	  	49
	 Section 2.11.
	  	Prepayment of Loans	  	50
	 Section 2.12.
	  	Fees	  	51
	 Section 2.13.
	  	Interest	  	52
	 Section 2.14.
	  	Alternate Rate of Interest	  	52
	 Section 2.15.
	  	Increased Costs	  	53
	 Section 2.16.
	  	Break Funding Payments	  	54
	 Section 2.17.
	  	Taxes	  	54
	 Section 2.18.
	  	Payments Generally; Pro Rata Treatment; Sharing of Set-offs	  	56
	 Section 2.19.
	  	Mitigation Obligations; Replacement of Lenders	  	58
	 Section 2.20.
	  	Increase in Revolving Facility Commitments; Incremental Term Loan Commitments	  	59
	 Section 2.21.
	  	Illegality	  	61
	 Section 2.22.
	  	Defaulting Lenders	  	61
		
	 ARTICLE III

REPRESENTATIONS AND WARRANTIES
	  	
			
	 Section 3.01.
	  	Organization; Powers	  	63
	 Section 3.02.
	  	Authorization	  	63
	 Section 3.03.
	  	Enforceability	  	64
	 Section 3.04.
	  	Governmental Approvals	  	64
	 Section 3.05.
	  	Financial Statements	  	64

  

 i 

					
	 Section 3.06.
	  	No Material Adverse Effect	  	65
	 Section 3.07.
	  	Title to Properties; Possession Under Leases	  	65
	 Section 3.08.
	  	Litigation; Compliance with Laws	  	66
	 Section 3.09.
	  	Federal Reserve Regulations	  	66
	 Section 3.10.
	  	Investment Company Act	  	67
	 Section 3.11.
	  	Use of Proceeds	  	67
	 Section 3.12.
	  	Tax Returns	  	67
	 Section 3.13.
	  	No Material Misstatements	  	67
	 Section 3.14.
	  	Employee Benefit Plans	  	67
	 Section 3.15.
	  	Environmental Matters	  	68
	 Section 3.16.
	  	Mortgages	  	69
	 Section 3.17.
	  	Real Property	  	69
	 Section 3.18.
	  	Solvency	  	70
	 Section 3.19.
	  	Labor Matters	  	71
	 Section 3.20.
	  	Insurance	  	71
	 Section 3.21.
	  	Representations and Warranties in Acquisition Agreement	  	71
	 Section 3.22.
	  	Status as Senior Debt; Perfection of Security Interests	  	71
	 Section 3.23.
	  	Material Contracts	  	72
		
	 ARTICLE IV

CONDITIONS TO CREDIT EVENTS
	  	
			
	 Section 4.01.
	  	All Credit Events	  	72
	 Section 4.02.
	  	First Credit Event	  	73
		
	 ARTICLE V

AFFIRMATIVE COVENANTS
	  	
			
	 Section 5.01.
	  	Existence; Businesses and Properties	  	76
	 Section 5.02.
	  	Insurance	  	76
	 Section 5.03.
	  	Taxes; Payment of Obligations	  	78
	 Section 5.04.
	  	Financial Statements, Reports, Etc.	  	78
	 Section 5.05.
	  	Litigation and Other Notices	  	80
	 Section 5.06.
	  	Compliance with Laws	  	80
	 Section 5.07.
	  	Maintaining Records; Access to Properties and Inspections; Maintaining Pipeline Systems and Processing Plants	  	80
	 Section 5.08.
	  	Use of Proceeds	  	81
	 Section 5.09.
	  	Compliance with Environmental Laws	  	81
	 Section 5.10.
	  	Further Assurances	  	81
	 Section 5.11.
	  	Fiscal Year	  	82
	 Section 5.12.
	  	Reserved	  	82
		
	 ARTICLE VI

NEGATIVE COVENANTS
	  	
			
	 Section 6.01.
	  	Indebtedness	  	83

  

 ii 

					
	 Section 6.02.
	  	Liens	  	85
	 Section 6.03.
	  	Sale and Lease-back Transactions	  	89
	 Section 6.04.
	  	Investments, Loans and Advances	  	89
	 Section 6.05.
	  	Mergers, Consolidations, Sales of Assets and Acquisitions	  	91
	 Section 6.06.
	  	Dividends and Distributions	  	92
	 Section 6.07.
	  	Transactions with Affiliates	  	93
	 Section 6.08.
	  	Business of the Borrower and the Subsidiaries	  	95
	 Section 6.09.
	  	Limitation on Modifications of Indebtedness; Modifications of Certificate of Incorporation, By-laws and Certain Other Agreements; etc	  	95
	 Section 6.10.
	  	Leverage Ratio	  	97
	 Section 6.11.
	  	Interest Coverage Ratio	  	97
	 Section 6.12.
	  	Swap Agreements	  	97
		
	 ARTICLE VII

EVENTS OF DEFAULT
	  	
			
	 Section 7.01.
	  	Events of Default	  	97
		
	 ARTICLE VIII

THE AGENTS
	  	
			
	 Section 8.01.
	  	Appointment and Authority	  	100
	 Section 8.02.
	  	Rights as a Lender	  	101
	 Section 8.03.
	  	Exculpatory Provisions	  	101
	 Section 8.04.
	  	Reliance by Agents	  	102
	 Section 8.05.
	  	Delegation of Duties	  	102
	 Section 8.06.
	  	Resignation of the Agents	  	102
	 Section 8.07.
	  	Non-Reliance on the Agents, Other Lenders and Other Issuing Banks	  	103
	 Section 8.08.
	  	No Other Duties, Etc.	  	103
	 Section 8.09.
	  	Administrative Agent May File Proofs of Claim	  	103
	 Section 8.10.
	  	Collateral and Guaranty Matters	  	104
	 Section 8.11.
	  	Secured Cash Management Agreements and Secured Swap Agreements	  	104
	 Section 8.12.
	  	Indemnification	  	104
	 Section 8.13.
	  	Appointment of Supplemental Collateral Agents	  	105
	 Section 8.14.
	  	Withholding	  	105
	 Section 8.15.
	  	Enforcement	  	106
		
	 ARTICLE IX

MISCELLANEOUS
	  	
			
	 Section 9.01.
	  	Notices	  	106
	 Section 9.02.
	  	Survival of Agreement	  	107
	 Section 9.03.
	  	Binding Effect	  	107
	 Section 9.04.
	  	Successors and Assigns	  	107
	 Section 9.05.
	  	Expenses; Indemnity	  	111
	 Section 9.06.
	  	Right of Set-off	  	112

  

 iii 

					
	 Section 9.07.
	  	Applicable Law	  	112
	 Section 9.08.
	  	Waivers; Amendment	  	112
	 Section 9.09.
	  	Interest Rate Limitation	  	115
	 Section 9.10.
	  	Entire Agreement	  	115
	 Section 9.11.
	  	Waiver of Jury Trial	  	115
	 Section 9.12.
	  	Severability	  	115
	 Section 9.13.
	  	Counterparts	  	115
	 Section 9.14.
	  	Headings	  	115
	 Section 9.15.
	  	Jurisdiction; Consent to Service of Process	  	116
	 Section 9.16.
	  	Confidentiality	  	116
	 Section 9.17.
	  	Communications	  	117
	 Section 9.18.
	  	Release of Liens and Guarantees	  	118
	 Section 9.19.
	  	U.S.A. PATRIOT Act and Similar Legislation	  	119
	 Section 9.20.
	  	Judgment	  	119
	 Section 9.21.
	  	Pledge and Guarantee Restrictions	  	119
	 Section 9.22.
	  	No Fiduciary Duty	  	119
	 Section 9.23.
	  	Application of Funds	  	120

  

 iv 

 Exhibits and Schedules 

 

			
		
	 Exhibit A
	  	Form of Assignment and Acceptance
	 Exhibit B
	  	Form of Prepayment Notice
	 Exhibit C-1
	  	Form of Borrowing Request
	 Exhibit C-2
	  	Form of Swingline Borrowing Request
	 Exhibit D
	  	Form of Interest Election Request
	 Exhibit E
	  	Form of Collateral Agreement
	 Exhibit F
	  	Form of Solvency Certificate
	 Exhibit G-1
	  	Form of Revolving Note
	 Exhibit G-2
	  	Form of Incremental Term Loan Note
	 Exhibit H
	  	Form of Compliance Certificate
	 Exhibit I
	  	Form of Administrative Questionnaire
	 Exhibit J
	  	Form of Omnibus Agreement
		
	 Schedule 2.01
	  	Commitments
	 Schedule 3.04
	  	Governmental Approvals
	 Schedule 3.07(e)
	  	Condemnation Proceedings
	 Schedule 3.07(g)
	  	Subsidiaries
	 Schedule 3.07(h)
	  	Subscriptions
	 Schedule 3.08(a)
	  	Litigation
	 Schedule 3.08(b)
	  	Violations
	 Schedule 3.12
	  	Taxes
	 Schedule 3.15
	  	Environmental Matters
	 Schedule 3.17
	  	Real Property
	 Schedule 3.19
	  	Labor Matters
	 Schedule 3.20
	  	Insurance
	 Schedule 6.01
	  	Indebtedness
	 Schedule 6.02(a)
	  	Liens
	 Schedule 6.04
	  	Investments
	 Schedule 6.07
	  	Transactions with Affiliates

  

 v 

 CREDIT AGREEMENT dated as of October 1, 2010 (as amended, amended and restated,
supplemented or otherwise modified, this “Agreement”), among QUICKSILVER GAS SERVICES LP, a limited partnership organized under the laws of Delaware (the “Borrower”), the LENDERS party hereto from time to time, BNP
PARIBAS (“BNP”), as administrative agent (in such capacity, together with any successor administrative agent appointed pursuant to the provisions of Article VIII, the “Administrative Agent”), BNP, as collateral
agent (in such capacity, together with any successor collateral agent appointed pursuant to the provisions of Article VIII, the “Collateral Agent”), BANK OF AMERICA, N.A. and ROYAL BANK OF CANADA, as syndication agents (in such
capacity, the “Syndication Agents”), BANC OF AMERICA SECURITIES LLC, BNP PARIBAS SECURITIES CORP., and RBC CAPITAL MARKETS CORPORATION, as joint lead arrangers and joint bookrunners (in such capacity, the “Joint Lead
Arrangers”), and UBS SECURITIES LLC and THE ROYAL BANK OF SCOTLAND PLC, as Co-Documentation Agents (in such capacity, the “Co-Documentation Agents”). 

W I T N E S S E T H : 

WHEREAS, an Affiliate (with such term and each other capitalized term used but not defined in this preamble having the meaning assigned
thereto in Article I) of a fund managed by FRC Founders Corporation (formerly known as First Reserve Corporation) (“FRC”) and Crestwood Midstream Partners, N.A. (“Crestwood”; together with FRC, the
“Sponsors”) have formed Crestwood Holdings LLC (“HoldCo”); 
 WHEREAS, pursuant to that
certain Purchase Agreement dated as of July 22, 2010 (the “Acquisition Agreement”) between HoldCo and Quicksilver Resources, Inc. (the “Seller”), Cowtown Gas Processing L.P. and Cowtown Pipeline L.P., HoldCo
agreed to acquire (the “Acquisition”), directly or indirectly, all of the issued and outstanding Equity Interests of Quicksilver Gas Services Holdings LLC (“Holdings”); 

WHEREAS, Quicksilver Gas Services GP LLC (the “General Partner”) is a direct subsidiary of Holdings and the Borrower is
a direct subsidiary of Holdings and the General Partner; 
 WHEREAS, in connection with the consummation of the Acquisition, the
Sponsors will (a) make a cash common equity contribution to HoldCo (the “Equity Financing”), such that the Equity Financing is not less than 40% of the total pro forma capitalization of HoldCo after giving effect to the
Acquisition and related Transactions and (b) contribute additional cash common equity to HoldCo in an amount equal to the Initial Interest Payment Amount as defined in the HoldCo Credit Agreement; 

WHEREAS, pursuant to that certain Credit Agreement, dated as of August 10, 2007, among the Borrower, as borrower, the lenders party
thereto (the “Existing Lenders”), Bank of America, N.A., as administrative agent, BNP, as syndication agent, and JPMorgan Chase Bank, N.A., The Royal Bank of Scotland PLC and Fortis Capital Corp., as co-documentation agents, (the
“Existing Credit Agreement”), the Existing Lenders extended loans and other credit to the Borrower; 
 WHEREAS,
in connection with consummation of the Acquisition, the Borrower will (x) use the proceeds of the Revolving Facility Loans, in part, to repay in full all of the outstanding loans and other amounts, if any, owing under the Existing Credit
Agreement and (y) terminate the Existing Credit Agreement and all commitments thereunder (the transactions in clauses (x) and (y) collectively, the “Closing Date Refinancing”); and 

WHEREAS, the Borrower has requested that the Lenders extend credit in the form of Revolving Facility Loans and Revolving Letters of
Credit at any time and from time to time prior to the Revolving Facility Maturity Date, in an aggregate principal amount at any time outstanding not in excess of U.S.$400.0 million. 

 

 2 

 NOW, THEREFORE, the Lenders are willing to extend such credit to the Borrower on the terms
and subject to the conditions set forth herein. Accordingly, the parties hereto agree as follows: 
 ARTICLE I 

DEFINITIONS 

Section 1.01. Defined Terms. As used in this Agreement, the following terms shall have the meanings specified below: 

“ABR Borrowing” shall mean a Borrowing comprised of ABR Loans. 

“ABR Loan” shall mean any Loan (including any Swingline Loan) bearing interest at a rate determined by reference to the
Alternate Base Rate in accordance with the provisions of Article II. 
 “Acquisition” shall have the meaning
assigned to such term in the second recital hereto. 
 “Acquisition Agreement” shall have the meaning assigned
to such term in the second recital hereto. 
 “Acquisition Documents” shall mean the collective reference to
the Acquisition Agreement, and all exhibits and schedules thereto, including such documents as executed. 
 “Acquisition
Period” shall mean a period elected by the Borrower, such election to be exercised by the Borrower delivering written notice thereof to the Administrative Agent (who shall thereafter promptly notify the Lenders), commencing with the funding
date of the purchase price for any Material Acquisition permitted under Section 6.05 hereunder and ending on the earlier of (a) the date that is 270 days after such funding date, and (b) the Borrower’s election to terminate such
Acquisition Period, such election to be exercised by the Borrower delivering notice thereof to the Administrative Agent (who shall thereafter promptly notify the Lenders); provided, that, (i) once any Acquisition Period is in
effect, the next Acquisition Period may not commence until the termination of such Acquisition Period then in effect and (ii) after giving effect to the termination of such Acquisition Period in effect, the Borrower shall be in compliance with
the applicable provisions of Sections 6.10, and 6.11 and no Default shall have occurred and be continuing. 

“Additional Term Loan Tranche” shall have the meaning assigned to such term in Section 2.20. 

“Additional Real Property” shall have the meaning assigned to such term in the definition of “Collateral and
Guarantee Requirement.” 
 “Adjusted Eurodollar Rate” shall mean for any Interest Period with respect to
any Eurodollar Loan, an interest rate per annum (rounded upwards, if necessary, to the next 1/100 of 1.00%) equal to (a) the Eurodollar Rate for such Interest Period multiplied by (b) the Statutory Reserves. 

“Administrative Agent” shall have the meaning assigned to such term in the introductory paragraph of this
Agreement. 
 “Administrative Agent Fees” shall have the meaning assigned to such term in Section 2.12(d).

  

 3 

 “Administrative Questionnaire” shall mean an Administrative Questionnaire
in substantially the form of Exhibit I or any other form approved by the Administrative Agent. 

“Affiliate” shall mean, when used with respect to a specified Person, another Person that directly, or indirectly
through one or more intermediaries, Controls or is Controlled by or is under common Control with the Person specified. 

“Agent Default Period” shall mean, with respect to any Agent, any time when such Agent is a Defaulting Lender and is not
performing its role as such Agent hereunder and under the other Loan Documents. 
 “Agent Parties” shall have
the meaning assigned to such term in Section 9.17(c). 
 “Agents” shall mean the Administrative Agent and
the Collateral Agent. 
 “Agreed Security Principles” shall mean any grant of a Lien or provision of a
guarantee by any Person that could: 
 (a) result in costs (tax, administrative or otherwise) to such Person that
are materially disproportionate to the benefit obtained by the beneficiaries of such Lien and/or guarantee; 

(b) result in a Lien being granted over assets of such Person, the acquisition of which was financed from a subsidy or
payments, which financing is permitted by this Agreement, and the terms of which prohibit any assets acquired with such subsidy or payment being used as collateral; 

(c) include any lease, license, contract or agreement to which such Person is a party, and any of its rights or interest
thereunder, if and to the extent that a security interest is prohibited by or in violation of a term, provision or condition of any such lease, license, contract or agreement (unless such term, provision or condition would be rendered ineffective
with respect to the creation of the security interest hereunder pursuant to Sections 9-406, 9-407, 9-408 or 9-409 of the UCC (or any successor provision or provisions) of any relevant jurisdiction or any other applicable law (including the U.S.
Bankruptcy Code) or principles of equity); provided however that Agreed Security Principles shall not prohibit the grant of a Lien or a provision of a guarantee at such time as the contractual prohibition shall no longer be applicable and, to the
extent severable, which Lien shall attach immediately to any portion of such lease, license, contract or agreement not subject to the prohibitions specified above; provided further that the Agreed Securities Principles shall not exclude any
“proceeds” (as defined in the UCC) of any such lease, license, contract or agreement; 
 (d) result in
the contravention of applicable law, unless such applicable law would be rendered ineffective with respect to the creation of the security interest hereunder pursuant to Sections 9-406, 9-407, 9-408 or 9-409 of the UCC (or any successor provision or
provisions); provided however that Agreed Security Principles shall not prohibit the grant of a Lien or a provision of a guarantee at such time as the legal prohibition shall no longer be applicable and to the extent severable (which Lien shall
attach immediately to any portion not subject to the prohibitions specified above); or 
 (e) result in a breach
of a material agreement existing on the Closing Date and binding on such Person that may not be amended, supplemented, waived, restated or otherwise modified using commercially reasonable efforts to avoid such breach; provided that this clause
(e) shall only apply to the granting of Liens and not to the provision of any guarantee. 
  

 4 

 “Agreement” shall have the meaning assigned to such term in the
introductory paragraph of this Agreement. 
 “Alternate Base Rate” shall mean the greatest of (i) the
rate of interest per annum determined by the Administrative Agent from time to time as its prime commercial lending rate for U.S. Dollar loans in the United States for such day (the “Prime Rate”), (ii) the Federal
Funds Effective Rate plus 0.50% per annum, and (iii) the Adjusted Eurodollar Rate as of such date for a one-month Interest Period plus 1.00% per annum. The Prime Rate is not necessarily the lowest rate that the
Administrative Agent is charging to any corporate customer. Any change in the Alternate Base Rate due to a change in the Prime Rate, the Federal Funds Effective Rate or the Adjusted Eurodollar Rate shall be effective from and including the date of
such change in the Prime Rate, the Federal Funds Effective Rate or the Adjusted Eurodollar Rate, respectively. 

“Applicable Margin” shall mean for any day (a) for any Incremental Term Loan, the applicable margin per
annum set forth in the joinder agreement with respect thereto, (b) for the Revolving Facility Loans, (i) prior to the Trigger Date, (x) with respect to any Eurodollar Loan, 2.75% per annum and (y) with respect to
any ABR Loan, 1.75% per annum and (ii) on and after the Trigger Date, the applicable margin per annum set forth below under the caption “Revolving Facility Loans ABR Loan Spread” and “Revolving
Facility Loans Eurodollar Loan Spread”, as applicable, based upon the Leverage Ratio as of the last date of the most recent fiscal quarter of the Borrower and (c) for Swingline Loans, prior to the Trigger Date, 1.75% per annum,
and on or after the Trigger Date, the applicable margin per annum set forth below under the caption “Swingline Loans ABR Loan Spread”: 
  

							
	 Leverage Ratio:
	  	Revolving Facility Loans
ABR Loan Spread
/
Swingline Loans ABR
Loan Spread	 	 	Revolving Facility Loans
Eurodollar Loan Spread	 
	 Category 1: Greater than 4.50 to 1.00
	  	2.50	% 	 	3.50	% 
	 Category 2: Less than or equal to 4.50 to 1.00
but greater than 4.00 to 1.00
	  	2.25	% 	 	3.25	% 
	 Category 3: Less than or equal to 4.00 to 1.00
but greater than 3.50 to 1.00
	  	2.00	% 	 	3.00	% 
	 Category 4: Less than or equal to 3.50 to 1.00
but greater than 3.00 to 1.00
	  	1.75	% 	 	2.75	% 
	 Category 5: Less than or equal to 3.00 to 1.00
	  	1.50	% 	 	2.50	% 

 For purposes
of the foregoing, (1) the Leverage Ratio shall be determined as of the end of each fiscal quarter of the Borrower’s fiscal year based upon the consolidated financial information of the Borrower and its Subsidiaries delivered pursuant to
Section 5.04(a) or (b) and (2) each change in the 
  

 5 

 
Applicable Margin resulting from a change in the Leverage Ratio shall be effective on the first Business Day after the date of delivery to the Administrative Agent of such consolidated financial
information indicating such change and ending on the date immediately preceding the effective date of the next such change; provided that the Leverage Ratio shall be deemed to be in Category 1 at the option of the Administrative Agent or the
Required Lenders, at any time during which the Borrower fails to deliver the consolidated financial information when required to be delivered pursuant to Section 5.04(a) or (b), during the period from the expiration of the time for delivery
thereof until such consolidated financial information is delivered. 
 Notwithstanding anything to the contrary contained above
in this definition or elsewhere in this Agreement, if it is subsequently determined that the computation of the Leverage Ratio set forth in a certificate of the General Partner or a Financial Officer of the Borrower delivered to the Administrative
Agent is inaccurate for any reason and the result thereof is that the Lenders received interest or fees for any period based on an Applicable Margin that is less than that which would have been applicable had the Leverage Ratio been accurately
determined, then, for all purposes of this Agreement, the “Applicable Margin” for any day occurring within the period covered by such certificate of the General Partner or a Financial Officer of the Borrower shall retroactively be deemed
to be the relevant percentage as based upon the accurately determined Leverage Ratio for such period, and any shortfall in the interest or fees theretofor paid by the Borrower for the relevant period pursuant to Section 2.12 and
Section 2.13 as a result of the miscalculation of the Leverage Ratio shall be deemed to be (and shall be) due and payable under the relevant provisions of Section 2.12 or Section 2.13, as applicable, at the time the interest or fees
for such period were required to be paid pursuant to said Section (and shall remain due and payable until paid in full), in accordance with the terms of this Agreement); provided that, notwithstanding the foregoing, so long as an Event
of Default described in Section 7.01(h) or (i) has not occurred with respect to the Borrower, such shortfall shall be due and payable five (5) Business Days following the determination described above. 

“Approved Fund” shall have the meaning assigned to such term in Section 9.04(b). 

“Asset Acquisition” shall mean any acquisition of all or substantially all of the assets of, or all of the Equity
Interests (other than directors’ qualifying shares) in a Person or division or line of business of a Person in respect of which the aggregate consideration exceeds U.S. $5.0 million. 

“Asset Disposition” shall mean any sale, transfer or other disposition by the Borrower or any Subsidiary of the Borrower
to any Person other than the Borrower or a Subsidiary of the Borrower to the extent otherwise permitted hereunder of any asset or group of related assets (other than inventory or other assets sold, transferred or otherwise disposed of in the
ordinary course of business) in one or a series of related transactions, the Net Proceeds from which exceed U.S. $5.0 million. 

“Assignment and Acceptance” shall mean an assignment and acceptance entered into by a Lender and an assignee, and
accepted by the Administrative Agent and the Borrower (if required pursuant to Section 9.04(b)), in substantially the form of Exhibit A or such other form as shall be approved by the Administrative Agent. 

“Availability Period” shall mean the period from the Closing Date to but excluding the earlier of the Revolving Facility
Maturity Date and the date of termination of the Revolving Facility Commitments. 
 “Available Cash” shall
mean, for any period, “Available Cash” as defined in the Limited Partnership Agreement as in effect on the date of the Commitment Letter. 
  

 6 

 “Available Unused Commitment” shall mean, with respect to a Revolving
Facility Lender, at any time of determination, an amount equal to the amount by which (a) the Revolving Facility Commitment of such Revolving Facility Lender at such time exceeds (b) the Revolving Facility Credit Exposure of such Revolving
Facility Lender at such time. 
 “Board” shall mean the Board of Governors of the Federal Reserve System of the
United States of America. 
 “Borrower” shall have the meaning assigned to such term in the introductory
paragraph to this Agreement. 
 “Borrower Materials” shall have the meaning assigned to such term in
Section 9.17(b). 
 “Borrowing” shall mean a group of Loans of a single Type under a single Facility made
on a single date to the Borrower and, in the case of Eurodollar Loans, as to which a single Interest Period is in effect. 

“Borrowing Minimum” shall mean (a) in the case of a Revolving Facility Borrowing comprised entirely of Eurodollar
Loans, U.S.$500,000, (b) in the case of a Revolving Facility Borrowing comprised entirely of ABR Loans, U.S.$500,000 and (c) in the case of a Swingline Borrowing, U.S.$500,000. 

“Borrowing Multiple” shall mean (a) in the case of a Revolving Facility Borrowing comprised entirely of Eurodollar
Loans, U.S.$500,000, (b) in the case of a Revolving Facility Borrowing comprised entirely of ABR Loans, U.S.$100,000 and (c) in the case of a Swingline Borrowing, U.S.$100,000. 

“Borrowing Request” shall mean a request by the Borrower in accordance with the terms of Section 2.03 and
substantially in the form of Exhibit C-1. 
 “Business Day” shall mean any day of the year, other
than a Saturday, Sunday or other day on which banks are required or authorized to close in New York, New York, and, where used in the context of Eurodollar Loans, is also a day on which dealings are carried on in the London interbank market.

 “Calculation Period” shall mean, as of any date of determination, the period of four consecutive fiscal
quarters ending on such date or, if such date is not the last day of a fiscal quarter, ending on the last day of the fiscal quarter of the Borrower most recently ended prior to such date. 

“Capital Lease Obligations” of any Person shall mean the obligations of such Person to pay rent or other amounts under
any lease of (or other arrangement conveying the right to use) real or personal property, or a combination thereof, which obligations are required to be classified and accounted for as capital leases on a balance sheet of such Person under GAAP and,
for purposes hereof, the amount of such obligations at any time shall be the capitalized amount thereof at such time determined in accordance with GAAP. 

“Cash Interest Expense” shall mean, with respect to the Borrower and its Subsidiaries on a consolidated basis for any
period, Interest Expense for such period, less, for each of clauses (a), (b), (c) and (e) below, to the extent included in the calculation of such Interest Expense, the sum of (a) pay-in-kind Interest Expense or other noncash Interest
Expense (including as a result of the effects of purchase accounting), (b) the amortization of any financing fees or breakage costs paid by, or on behalf of, the Borrower or any of its Subsidiaries, including such fees paid in connection with
the Transactions or any amendments, waivers or other modifications of this Agreement, (c) the amortization of debt discounts, if 

 

 7 

 
any, or fees in respect of Swap Agreements, (d) cash interest income of the Borrower and its Subsidiaries for such period and (e) all non-recurring cash Interest Expense consisting of
liquidated damages for failure to timely comply with registration rights obligations and financing fees, all as calculated on a consolidated basis in accordance with GAAP; provided that Cash Interest Expense shall exclude, without duplication
of any exclusion set forth in clause (a), (b), (c), (d) or (e) above, annual agency fees paid to the Administrative Agent and/or the Collateral Agent and one-time financing fees or breakage costs paid in connection with the Transactions or
any amendments, waivers or other modifications of this Agreement. 
 “Cash Management Agreement” shall mean any
agreement to provide cash management services, including treasury, depository, overdraft, credit or debit card, electronic funds transfer, automated clearinghouse transfers of funds and other cash management arrangements. 

“Cash Management Bank” shall mean any Person that, at the time it enters into a Cash Management Agreement, is a Lender,
an Agent, or a Joint Lead Arranger or an Affiliate of a Lender, an Agent or a Joint Lead Arranger, in its capacity as a party to such Cash Management Agreement. 

A “Change in Control” shall be deemed to occur upon the occurrence of any of the following: (a) a majority
of the seats (other than vacant seats) on the board of directors of the General Partner shall at any time be occupied by Persons who were neither (i) appointed by Holdings or a Permitted Holder or (ii) appointed by such directors,
(b) except as permitted by Section 6.05(b), the Borrower shall cease to own, directly or indirectly, 100% of the outstanding Equity Interests of each of the Cowtown Entities, (c) any Person or group (within the meaning of
Rule 13d-5 of the Exchange Act as in effect on the Closing Date), other than any combination of the Permitted Holders (or a single Permitted Holder), shall own beneficially (within the meaning of Rule 13d-5 of the Exchange Act as in effect on
the Closing Date), directly or indirectly, in the aggregate Equity Interests representing 35% or more of the aggregate ordinary voting power represented by the issued and outstanding Equity Interests of the Borrower and any combination of the
Permitted Holders (including a single Permitted Holder) own beneficially (as defined above), directly or indirectly, a smaller percentage of such ordinary voting power at such time than the Equity Interests owned by such other Person or group,
(d) a “Change in Control” or similar event shall occur under any Permitted Junior Debt that is Material Indebtedness, (e) the Permitted Holders shall fail to own beneficially (within the meaning of Rule 13d-5 of the Exchange
Act as in effect on the Closing Date), directly or indirectly, in the aggregate Equity Interests representing at least 51% of (i) the aggregate ordinary voting power represented by the issued and outstanding Equity Interests of the General
Partner or (ii) the economic interest represented by the issued and outstanding Equity Interests of the General Partner, (f) at any time, (1) the Permitted Holders shall cease to directly or indirectly own and control, of record and
beneficially a majority of the issued and outstanding general partner interests in the Borrower or (2) the General Partner shall cease to be the sole general partner of the Borrower. 

“Change in Law” shall mean (a) the adoption or implementation of any treaty, law, rule or regulation after the
Closing Date, (b) any change in law, rule or regulation or in the interpretation or application thereof by any Governmental Authority after the Closing Date or (c) compliance by any Lender or Issuing Bank (or, for purposes of
Section 2.15(b), by any lending office of such Lender or Issuing Bank or by such Lender’s or Issuing Bank’s holding company, if any) with any written request, guideline or directive (whether or not having the force of law but if not
having the force of law, then being one with which the relevant party would customarily comply) of any Governmental Authority made or issued after the Closing Date; provided, that notwithstanding anything herein to the contrary, the Dodd-Frank Wall
Street Reform and Consumer Protection Act and all requests, rules, regulations, guidelines or directives thereunder or issued in connection therewith shall be deemed to be a “Change in Law”, regardless of the date enacted, adopted or
issued. 
  

 8 

 “Charges” shall have the meaning assigned to such term in
Section 9.09. 
 “Closing Date” shall mean October 1, 2010, and “Closing” shall mean
the making of the initial Loans on the Closing Date hereunder. 
 “Closing Date Real Property” shall mean the
Pipeline Systems, the Processing Plants and any Real Property owned by the Borrower or any other Loan Party on the Closing Date other than any leasehold interests. 

“Closing Date Refinancing” shall have the meaning assigned to such term in the sixth recital to this agreement.

 “Code” shall mean the Internal Revenue Code of 1986, as amended from time to time. 

“Co-Documentation Agents” shall have the meaning assigned to such term in the introductory paragraph of this
Agreement. 
 “Collateral” shall mean all the “Collateral” as defined in any Security Document and
shall also include the Mortgaged Properties. 
 “Collateral Agent” shall have the meaning assigned to such term
in the introductory paragraph of this Agreement. 
 “Collateral Agreement” shall mean the Guarantee and
Collateral Agreement, as amended, supplemented or otherwise modified from time to time, substantially in the form of Exhibit E, among the Borrower, each Subsidiary Loan Party and the Collateral Agent, and any other guarantee and
collateral agreement that may be executed after the Closing Date in favor of, and in form and substance acceptable to, the Collateral Agent. 

“Collateral and Guarantee Requirement” shall mean the requirement that: 

(a) on the Closing Date, the Collateral Agent shall have received from each Loan Party a counterpart of the Collateral
Agreement, duly executed and delivered on behalf of such Loan Party; 
 (b) on the Closing Date, the Collateral
Agent shall be the beneficiary of a pledge of all the issued and outstanding Equity Interests of each Material Subsidiary of the Borrower (except, in each case, to the extent that a pledge of such Equity Interests is not permitted under
Section 9.21) and the Collateral Agent shall have received all certificates or other instruments (if any) representing such Equity Interests, together with stock powers or other instruments of transfer with respect thereto endorsed in blank, or
shall have otherwise received a security interest over such Equity Interests satisfactory to the Collateral Agent; 

(c) in the case of any Person that becomes a Loan Party after the Closing Date, the Collateral Agent shall have received a
supplement to the Collateral Agreement, in the form specified therein, duly executed and delivered on behalf of such Loan Party; 

(d) with respect to any Equity Interests acquired by any Loan Party after the Closing Date, all such outstanding Equity
Interests directly owned by a Loan Party or any Person that becomes a Subsidiary Loan Party after the Closing Date, shall have been pledged in accordance 

 

 9 

 
with the Collateral Agreement to the extent permitted under Section 9.21, and the Collateral Agent shall have received all certificates or other instruments (if any) representing such Equity
Interests, together with stock powers or other instruments of transfer with respect thereto endorsed in blank, or shall have otherwise received a security interest over such Equity Interests satisfactory to the Collateral Agent; 

(e)(i) all Indebtedness of the Borrower and each Subsidiary of the Borrower that is owing to any Loan Party shall have
been pledged in accordance with the Collateral Agreement, (ii) all Indebtedness of the Borrower and each Subsidiary of the Borrower having an aggregate principal amount in excess of U.S.$5.0 million that is owing to any Loan Party shall be
evidenced by a promissory note or an instrument and (iii) the Collateral Agent shall have, in respect of all such Indebtedness of the Borrower and each Subsidiary of the Borrower having an aggregate principal amount in excess of
U.S.$5.0 million (other than intercompany current liabilities incurred in the ordinary course of business in connection with the cash management operations of the Borrower and its Subsidiaries), received originals of all such promissory notes
or instruments, together with note powers or other instruments of transfer with respect thereto endorsed in blank; 

(f) all documents and instruments, required by law or reasonably requested by the Collateral Agent to be executed, filed,
registered or recorded to create the Liens intended to be created by the Security Documents (in each case, including any supplements thereto) and perfect such Liens, including UCC financing statements, to the extent required by, and with the
priority required by, the Security Documents or reasonably requested by the Collateral Agent, shall have been filed, registered or recorded or delivered to the Collateral Agent for filing, registration or recording concurrently with, or promptly
following, the execution and delivery of each such Security Document; 
 (g) each Loan Party shall have obtained
all consents and approvals required to be obtained by it in connection with the execution and delivery of all Security Documents (or supplements thereto) to which it is a party and the granting by it of the Liens thereunder and the performance of
its obligations thereunder; 
 (h) the Collateral Agent shall receive from the applicable Loan Parties within 45
days following the Closing Date, with respect to each Closing Date Real Property, and in the case of (x) Material Real Property acquired after the Closing Date or (y) Real Property that becomes Material Real Property after the Closing Date
and is required to be subject to a Mortgage pursuant to Section 5.10(b) (clauses (x) and (y), collectively, the “Additional Real Property”), in each case prior to the date required pursuant to Sections 5.10(b) and (c), the
following documents and instruments that constitute Collateral: 
 (i) a Mortgage duly authorized and executed,
in form for recording in the recording office of each jurisdiction where such Closing Date Real Property or Additional Real Property to be encumbered thereby is situated, in favor of the Collateral Agent, for its benefit and the benefit of the
Secured Parties, together with such other instruments as shall be necessary or appropriate (in the reasonable judgment of the Collateral Agent) to create a Lien under applicable law, all of which shall be in form and substance reasonably
satisfactory to Collateral Agent, which Mortgage and other instruments shall be effective to create and/or maintain a first priority Lien on such Closing Date Real Property or Additional Real Property, as the case may be, subject to no Liens other
than Prior Liens and Permitted Encumbrances applicable to such Closing Date Real Property or such Additional Real Property, as the case may be; 
  

 10 

 (ii) policies or certificates of insurance of the type required by
Section 5.02 (to the extent customary and obtainable after the use of commercially reasonable efforts); 

(iii) evidence of flood insurance required by Section 5.02, in form and substance reasonably satisfactory to
Administrative Agent, it being understood that in any event the items required pursuant to this Clause (vii) shall be required to be delivered prior to or on the day on which Mortgages are delivered pursuant to clause (i) above with
respect to each Mortgaged Property; and 
 (iv) all such other items as shall be reasonably necessary in the
opinion of counsel to the Lenders to create a valid and perfected first priority mortgage Lien on such Closing Date Real Property or such Additional Real Property, subject only to Permitted Encumbrances and Prior Liens. Without limiting the
generality of the foregoing, the Administrative Agent shall have received, on behalf of itself, the Collateral Agent, the Lenders, and each Issuing Bank, opinions of local counsel for the Loan Parties in states in which the Mortgaged Properties are
located, with respect to the enforceability and validity of the Mortgages and any related fixture filings in form and substance reasonably satisfactory to the Administrative Agent; and 

(i) with respect to each of the items identified in this definition of “Collateral and Guarantee Requirement”
that are required to be delivered on a date after the Closing Date, the Administrative Agent, in each case, may (in its sole discretion) extend such date on two separate occasions by up to 30 days on each such occasion. 

Notwithstanding the foregoing provisions of this definition or anything in this Agreement or any other Loan Document to the contrary,
(a) Liens required to be granted from time to time pursuant to the term “Collateral and Guarantee Requirement” (i) shall be subject to exceptions and limitations set forth in the Security Documents and (ii) shall not
contravene the Agreed Security Principles or Section 9.21, (b) in no event shall control agreements or other control or similar arrangements be required with respect to deposit accounts or securities accounts and (c) in no event shall
the Collateral include any Excluded Assets. 
 “Commitment Fee” shall have the meaning assigned to such term in
Section 2.12(a). 
 “Commitment Letter” shall mean that certain Commitment Letter dated July 22,
2010, by and among Crestwood Holdings LLC (formerly known as First Reserve Crestwood Holdings LLC), Bank of America N.A., Banc of America Securities LLC, BNP Paribas, BNP Paribas Securities Corp. and Royal Bank of Canada. 

“Commitments” shall mean (a) with respect to any Lender, such Lender’s Revolving Facility Commitment and
Incremental Commitment, (b) with respect to any Lender that is a Swingline Lender, its Swingline Commitment, and (c) with respect to any Issuing Bank, its Revolving L/C Commitment. 

“Communications” shall have the meaning assigned to such term in Section 9.17. 

“Consolidated Debt” at any date shall mean (without duplication) all Indebtedness consisting of Capital Lease
Obligations, Indebtedness for borrowed money (other than letters of credit and performance bonds to the extent undrawn) and Indebtedness in respect of the deferred purchase price of property or services of the Borrower and its Subsidiaries
determined on a consolidated basis on such date. 
  

 11 

 “Consolidated First Lien Net Debt” at any date shall mean, Consolidated Net
Debt on such date minus, to the extent included therein, (a) all Indebtedness under any Permitted Junior Indebtedness (or any refinancing thereof permitted hereunder) or any other unsecured indebtedness of the Borrower and its
Subsidiaries and (b) any Indebtedness of the Borrower and its Subsidiaries that is secured by Liens expressly subordinated to the Liens securing the Obligations. 

“Consolidated Net Debt” at any date shall mean Consolidated Debt of the Borrower and its Subsidiaries on such date minus
cash and Permitted Investments of the Borrower and its Subsidiaries that are Loan Parties on such date in an amount not to exceed U.S. $5.0 million, to the extent the same (w) is not being held as cash collateral (other than as Collateral for
the Facilities), (x) does not constitute escrowed funds for any purpose, (y) does not represent a minimum balance requirement and (z) is not subject to other restrictions on withdrawal. 

“Consolidated Net Income” shall mean, for any period, the aggregate of the Net Income of the Borrower and its
Subsidiaries for such period determined on a consolidated basis; provided, however, that 
 (a) any net
after-tax extraordinary, unusual or nonrecurring gains or losses (less all fees and expenses related thereto) or income or expenses or charges (including, without limitation, any pension expense, casualty losses, severance expenses, facility closure
expenses, system establishment costs, mobilization expenses that are not reimbursed in an amount not to exceed U.S.$5.0 million and other restructuring expenses, benefit plan curtailment expenses, bankruptcy reorganization claims, settlement
and related expenses and fees, expenses or charges related to any offering of Equity Interests of the Borrower or any of its Subsidiaries, any Investment, acquisition or Indebtedness permitted to be incurred hereunder (in each case, whether or not
successful), including all fees, expenses, charges and change of control payments related to the Transaction), in each case, shall be excluded; provided that, with respect to each nonrecurring item, the Borrower shall have delivered to the
Administrative Agent an officers’ or General Partner’s certificate specifying and quantifying such item and stating that such item is a nonrecurring item, 

(b) any net after-tax income or loss from discontinued operations and any net after-tax gain or loss on disposal of
discontinued operations shall be excluded, 
 (c) any net after-tax gain or loss (including the effect of all
fees and expenses or charges relating thereto) attributable to business dispositions or asset dispositions other than in the ordinary course of business (as determined in good faith by the Board of Directors of the Borrower) shall be excluded,

 (d) any net after-tax income or loss (including the effect of all fees and expenses or charges relating
thereto) attributable to the refinancing, modification of or early extinguishment of indebtedness (including any net after-tax income or loss attributable to the repayment of the Existing Credit Facilities and obligations under Swap Agreements)
shall be excluded, 
 (e) the Net Income for such period of any Person that is not a Subsidiary of the Borrower,
or that is accounted for by the equity method of accounting, shall be included only to the extent of the amount of dividends or distributions or other payments paid in cash (or to the extent converted into cash) to the Borrower or a Subsidiary
thereof in respect of such period and, 
  

 12 

 (f) the Net Income for such period of any Subsidiary (that is not a Loan
Party) of the Borrower shall be excluded to the extent that the declaration or payment of dividends or similar distributions by such Subsidiary of its Net Income is not at the date of determination permitted without any prior governmental approval
(which has not been obtained) or, directly or indirectly, by the operation of the terms of its organizational documents or any agreement, instrument, judgment, decree, order, statute, rule, or governmental regulation applicable to that Subsidiary or
its stockholders or members, unless such restriction with respect to the payment of dividends or in similar distributions has been legally waived or complied with (provided that the net loss of any such Subsidiary shall be included to the
extent funds are disbursed by such Person or any other Subsidiary of such Person in respect of such loss and that Net Income of such Person shall be increased by the amount of dividends or distributions or other payments that are actually paid in
cash (or to the extent converted into cash) by such Subsidiary to the Borrower or one of its other Subsidiaries in respect of such period to the extent not already included therein), 

(g) Consolidated Net Income for such period shall not include the cumulative effect of a change in accounting principles
during such period, 
 (h) any non-cash charges from the application of the purchase method of accounting in
connection with the Transactions or any future acquisition, to the extent such charges are deducted in computing such Consolidated Net Income, shall be excluded, 

(i) accruals and reserves that are established within twelve months after the Closing Date and that are so required to be
established in accordance with GAAP shall be excluded, 
 (j) any non-cash expenses (including, without
limitation, write-downs and impairment of property, plant, equipment, goodwill and intangibles and other long-lived assets), any non-cash gains or losses on interest rate and foreign currency derivatives and any foreign currency transaction gains or
losses and any foreign currency exchange translation gains or losses that arise on consolidation of integrated operations shall be excluded, and 

(k) (i) any long-term incentive plan accruals and any non-cash compensation expense realized from grants of stock or unit
appreciation or similar rights, stock or unit options, any restricted stock or unit plan or other rights to officers, directors, and employees of the Borrower or any of its Subsidiaries shall be excluded and (ii) any long-term incentive plan
accruals and non-cash compensation expenses directly attributable to services rendered on behalf of, and directly or indirectly paid for by, the Loan Parties, realized from grants of stock or unit appreciation or similar rights, stock or unit
options, any restricted stock or unit plan or other rights to any employees of a Parent Company, shall be excluded. 

“Consolidated Total Assets” shall mean, as of any date, the total assets of the Borrower and its consolidated
Subsidiaries, determined in accordance with GAAP, in each case as set forth on the consolidated balance sheet of the Borrower as of such date. 

“Control” shall mean the possession, directly or indirectly, of the power to direct or cause the direction of the
management or policies of a Person, whether through the ownership of voting securities, by contract or otherwise, and “Controlling” and “Controlled” shall have meanings correlative thereto. 

“Cowtown Entities” shall mean each of Cowtown Gas and Cowtown Pipeline. 

“Cowtown Gas” shall mean Cowtown Gas Processing Partners L.P., a Texas limited partnership. 

“Cowtown Pipeline” shall mean Cowtown Pipeline Partners L.P., a Texas limited partnership. 

 

 13 

 “Credit Event” shall have the meaning assigned to such term in Article IV.

 “deeds” shall have the meaning assigned to such term in Section 3.17(c). 

“Default” shall mean any event or condition that upon notice, lapse of time or both would constitute an Event of
Default. 
 “Defaulting Lender” shall mean any Lender that (a) has failed to perform any of its funding
obligations under this Agreement, including with respect to Loans and participations in Letters of Credit or Swingline Loans within three Business Days of the date when due, unless the subject of a good faith dispute, (b) has notified the
Borrower or the Administrative Agent that it does not intend to comply with its funding obligations under this Agreement or has made a public statement to such effect with respect to its funding obligations under this Agreement (and such notice or
public statement has not been withdrawn), unless the subject of a good faith dispute, (c) has failed, within three Business Days after request by the Administrative Agent (whether acting on its own behalf or at the reasonable request of the
Borrower (it being understood that the Administrative Agent shall comply with any such reasonable request)), to confirm in a manner satisfactory to the Administrative Agent that it will comply with its funding obligations, unless the subject of a
good faith dispute, (d) has otherwise failed to pay over to the Administrative Agent or any other Lender any other amount required to be paid by it hereunder within three Business Days of the date when due, unless the subject of a good faith
dispute or subsequently cured, or (e) has, or has a direct or indirect parent company that has, become the subject of a proceeding under any bankruptcy or insolvency laws, or has had appointed for it a receiver, custodian, conservator, trustee,
administrator, assignee for the benefit of creditors or similar Person charged with reorganization or liquidation of its business or assets, including the Federal Deposit Insurance Corporation or any other state or federal regulatory authority
acting in such a capacity, or has taken any action in furtherance of, or indicating its consent to, approval of or acquiescence in any such proceeding or appointment; provided, that a Lender shall not become a Defaulting Lender solely as the
result of the acquisition or maintenance of an ownership interest in such Lender or its direct or indirect parent company or the exercise of control over a Lender or its direct or indirect parent company by a Governmental Authority or an
instrumentality thereof. 
 “Domestic Subsidiary” shall mean each Subsidiary that is not a Foreign Subsidiary.

 “EBITDA” shall mean, with respect to the Borrower and its Subsidiaries on a consolidated basis for any
period, the Consolidated Net Income of the Borrower and its Subsidiaries for such period plus (a) the sum of (in each case without duplication and to the extent the respective amounts described in subclauses (i) through
(xii) of this clause (a) reduced such Consolidated Net Income for the respective period for which EBITDA is being determined (but excluding any non-cash item to the extent it represents an accrual or reserve for a potential cash charge in
any future period or amortization of a prepaid cash item that was paid in a prior period)): 
 (i) provision for
Taxes based on income, profits, losses or capital of the Borrower and its Subsidiaries for such period (adjusted for the tax effect of all adjustments made to Consolidated Net Income), 

(ii) Interest Expense of the Borrower and its Subsidiaries that are Loan Parties for such period (net of interest income
of the Borrower and such Subsidiaries for such period) and to the extent not reflected in Interest Expense, costs of surety bonds in connection with financing activities, 
  

 14 

 (iii) depreciation, amortization (including, without limitation,
amortization of intangibles and deferred financing fees) and other non-cash expenses (including, without limitation write-downs and impairment of property, plant, equipment, goodwill and intangibles and other long-lived assets and the impact of
purchase accounting on the Borrower and its Subsidiaries for such period), 
 (iv) the amount of any
restructuring charges (which, for the avoidance of doubt, shall include retention, severance, systems establishment cost or excess pension, other post-employment benefits, curtailment or other excess charges); provided that with respect to
each such restructuring charge, the Borrower shall have delivered to the Administrative Agent an officers’ or General Partner’s certificate specifying and quantifying such expense or charge and stating that such expense or charge is a
restructuring charge, 
 (v) any other non-cash charges, 

(vi) equity earnings or losses in Affiliates unless funds have been disbursed to such Affiliates by the Borrower or any
Subsidiary of the Borrower, 
 (vii) other non-operating expenses, 

(viii) the minority interest expense consisting of subsidiary income attributable to minority equity interests of third
parties in any Subsidiary of the Borrower that is not a Subsidiary Loan Party in such period or any prior period, except to the extent of dividends declared or paid on Equity Interests held by third parties, 

(ix) costs of reporting and compliance requirements pursuant to the Sarbanes-Oxley Act of 2002 and under similar
legislation of any other jurisdiction; 
 (x) accretion of asset retirement obligations in accordance with SFAS
No. 143, Accounting for Asset Retirement Obligations and under similar requirements for any other jurisdiction; 

(xi) extraordinary losses and unusual or non-recurring cash charges, severance, relocation costs and curtailments or
modifications to pension and post-retirement employee benefit plans, and 
 (xii) restructuring costs related to
(A) acquisitions after the date hereof permitted under the terms hereof and (B) closure or consolidation of facilities; 

minus (b) to the extent such amounts increased such Consolidated Net Income for the respective period for which EBITDA is being determined,
non-cash items increasing Consolidated Net Income of the Borrower and its Subsidiaries for such period (but excluding any such items which represent the reversal in such period of any accrual of, or cash reserve for, anticipated cash charges in any
prior period where such accrual or reserve is no longer required). 
 “Environment” shall mean ambient and
indoor air, surface water and groundwater (including potable water, navigable water and wetlands), the land surface or subsurface strata or sediment, natural resources such as flora and fauna or as otherwise similarly defined in any Environmental
Law. 
  

 15 

 “Environmental Claim” shall mean any and all actions, suits, demands,
demand letters, claims, liens, notices of non-compliance or violation, notices of liability or potential liability, investigations, proceedings, consent orders or consent agreements relating in any way to any actual or alleged violation of
Environmental Law or any Release or threatened Release of, or exposure to, Hazardous Material. 
 “Environmental
Event” shall have the meaning assigned to such term in Section 7.01(m). 
 “Environmental Law”
shall mean, collectively, all federal, state, provincial, local or foreign laws, including common law, ordinances, regulations, rules, codes, orders, judgments or other requirements or rules of law that relate to (a) the prevention, abatement
or elimination of pollution, or the protection of the Environment, natural resources or human health, or natural resource damages, and (b) the use, generation, handling, treatment, storage, disposal, Release, transportation or regulation of, or
exposure to, Hazardous Materials, including the Comprehensive Environmental Response Compensation and Liability Act, 42 U.S.C. §§ 9601 et seq., the Endangered Species Act, 16 U.S.C. §§ 1531 et seq., the Solid Waste
Disposal Act, as amended by the Resource Conservation and Recovery Act, 42 U.S.C. §§ 6901 et seq., the Clean Air Act, 42 U.S.C. §§ 7401 et seq., the Clean Water Act, 33 U.S.C. §§ 1251 et seq., the
Toxic Substances Control Act, 15 U.S.C. §§ 2601 et seq., the National Environmental Policy Act, 42 U.S.C. §§ 4321 et seq., and the Emergency Planning and Community Right to Know Act, 42 U.S.C. §§ 11001
et seq., each as amended, and their foreign, state, provincial or local counterparts or equivalents. 
 “Equity
Financing” shall have the meaning assigned to such term in the fourth recital hereto. 
 “Equity
Interests” of any Person shall mean any and all shares, interests, rights to purchase, warrants, options, participation or other equivalents of or interests in (however designated) equity of such Person, including any preferred stock, any
limited or general partnership interest, any limited liability company membership interest and any unlimited liability company membership interests. 

“ERISA” shall mean the Employee Retirement Income Security Act of 1974, as amended from time to time, the regulations
promulgated thereunder and any successor thereto. 
 “ERISA Affiliate” shall mean any trade or business
(whether or not incorporated) that, together with the Borrower or any Subsidiary of the Borrower, is treated as a single employer under Section 414(b) or (c) of the Code, or, solely for purposes of Section 302 of ERISA and
Section 412 of the Code, is treated as a single employer under Section 414 of the Code. 
 “ERISA
Event” shall mean: (a) a Reportable Event; (b) the failure to meet the minimum funding standard of Sections 412 or 430 of the Code or Sections 302 or 303 of ERISA with respect to any Plan (whether or not waived in accordance
with Section 412(c) of the Code or Section 302(c) of ERISA) or the failure to make by its due date a required installment under Section 430(j) of the Code with respect to any Plan or the failure to make any required contribution to a
Multiemployer Plan; (c) a determination that any Plan is, or is expected to be, in “at risk” status (as defined in Section 430 of the Code or Section 303 of ERISA); (d) the incurrence by the Borrower, any Subsidiary of
the Borrower or any ERISA Affiliate of any liability under Title IV of ERISA; (e) the receipt by the Borrower, any Subsidiary of the Borrower or any ERISA Affiliate from the PBGC or a plan administrator of any notice relating to an
intention to terminate any Plan, or to appoint a trustee to administer any Plan under Section 4042 of ERISA, or the occurrence of any event or condition which could be reasonably be expected to constitute grounds under ERISA for the termination
of, or the appointment of a trustee to administer, any Plan; (f) a determination that any Multiemployer Plan is, or is expected to be, in “critical” or “endangered” status under Section 432 of the Code or
Section 305 of ERISA; (g) the incurrence by the Borrower, any Subsidiary of the Borrower or any ERISA Affiliate of any liability with respect to the withdrawal or partial withdrawal 

 

 16 

 
from any Plan or Multiemployer Plan; (h) the receipt by the Borrower, any Subsidiary of the Borrower or any ERISA Affiliate of any notice, or the receipt by any Multiemployer Plan from the
Borrower, a Subsidiary of the Borrower or any ERISA Affiliate of any notice, concerning the imposition of Withdrawal Liability or a determination that a Multiemployer Plan is, or is expected to be, insolvent or in reorganization, within the meaning
of Title IV of ERISA; or (i) the occurrence of a nonexempt prohibited transaction (within the meaning of Section 4975 of the Code or Section 406 of ERISA) which could reasonably be expected to result in liability to the Borrower or a
Subsidiary of the Borrower. 
 “Eurodollar Borrowing” shall mean a Borrowing comprised of Eurodollar Loans.

 “Eurodollar Loan” shall mean any Eurodollar Term Loan or Eurodollar Revolving Loan. 

“Eurodollar Rate” shall mean for any Interest Period with respect to any Eurodollar Loan: 

(a) the rate per annum equal to the rate determined by the Administrative Agent to be the offered rate that appears on the
page of the Reuters LIBOR 01 screen (or any successor thereto) that displays an average British Bankers Association Interest Settlement Rate for deposits in U.S. Dollars (for delivery on the first day of such Interest Period) with a term equivalent
to such Interest Period, determined as of approximately 11:00 a.m. (London time) two Business Days prior to the first day of such Interest Period (or, in the case of clause (iii) of the definition of Alternate Base Rate, approximately
11:00 a.m. (London time) on the date referenced in such clause (iii)); or 
 (b) if the rate referenced in the
preceding subsection (a) does not appear on such page or service or such page or service shall cease to be available, the rate per annum equal to the rate determined by the Administrative Agent to be the offered rate on such other page or other
service that displays an average British Bankers Association Interest Settlement Rate for deposits in U.S. Dollars (for delivery on the first day of such Interest Period) with a term equivalent to such Interest Period, determined as of approximately
11:00 a.m. (London time) two Business Days prior to the first day of such Interest Period (or, in the case of clause (iii) of the definition of Alternate Base Rate, approximately 11:00 a.m. (London time) on the date referenced in such
clause (iii)); or 
 (c) if the rates referenced in the preceding subsections (a) and (b) are not
available, the rate per annum determined by the Administrative Agent as the rate of interest (rounded upward to the next 1/100th of 1%) at which deposits in U.S. Dollars for delivery on the first day of such Interest Period in same day funds in the
approximate amount of the Eurodollar Borrowing being made, continued or converted and with a term equivalent to such Interest Period would be offered by the Administrative Agent’s London branch to major banks in the offshore U.S. Dollar
market at their request at approximately 11:00 a.m. (London time) two Business Days prior to the first day of such Interest Period (or, in the case of clause (iii) of the definition of Alternate Base Rate, approximately 11:00 a.m. (London
time) on the date referenced in such clause (iii)). 
 “Eurodollar Revolving Facility Borrowing” shall mean a
Borrowing comprised of Eurodollar Revolving Loans. 
 “Eurodollar Revolving Loan” shall mean any Revolving
Facility Loan bearing interest at a rate determined by reference to the Adjusted Eurodollar Rate in accordance with the provisions of Article II. 
  

 17 

 “Eurodollar Term Loan” shall mean any Incremental Term Loan bearing
interest at a rate determined by reference to the Adjusted Eurodollar Rate in accordance with the provisions of Article II. 

“Event of Default” shall have the meaning assigned to such term in Section 7.01. 

“Exchange Act” shall mean the Securities Exchange Act of 1934, as amended. 

“Excluded Assets” shall mean (a) Equity Interests in any Person (other than any Wholly-Owned Subsidiaries or the
Cowtown Entities) to the extent not permitted by the terms of such Person’s organizational or joint venture documents, in each case solely to the extent that the applicable Loan Parties have previously used commercially reasonable efforts to
obtain any required consents to eliminate or have waived any such restrictions contained in such organizational or joint venture documents, (b) Equity Interests constituting an amount greater than 65% of the voting Equity Interests of any
Foreign Subsidiary or any Domestic Subsidiary substantially all of which Subsidiary’s assets consist of the Equity Interest in “controlled foreign corporations” under Section 957 of the Code, (c) Equity Interests or other
assets that are held directly by a Foreign Subsidiary and (d) any “intent to use” applications for trademark or service mark registrations filed pursuant to Section 1(b) of the Lanham Act, 15 U.S.C. § 1051, unless and until
an “Amendment to Allege Use” or a “Statement of Use” under Section 1(c) or Section 1(d) of the Lanham Act has been filed, solely to the extent that such a grant of a security interest therein prior to such filing would
impair the validity or enforceability of any registration that issues from such “intent-to-use” application. 

“Excluded Indebtedness” shall mean all Indebtedness permitted to be incurred under Section 6.01. 

“Excluded Taxes” shall mean, with respect to any Agent, any Lender, any Issuing Bank or any other recipient of any
payment to be made by or on account of any obligation of any Loan Party hereunder, (a) income, franchise and similar taxes, in each case imposed on (or measured by) net income, net profits or capital by the United States of America (or any
State or other subdivision thereof) or by the jurisdiction under the laws of which such recipient is organized or in which its principal office is located or any jurisdiction in which such recipient has a present or former connection (other than any
such connection arising solely from the Loan Documents and the transactions herein) or, in the case of any Lender or Issuing Bank, in which its applicable lending office is located, (b) any branch profits tax or any similar tax that is imposed
by any jurisdiction described in clause (a) above, (c) other than in the case of an assignee pursuant to a request by a Loan Party under Section 2.19(b), (i) any federal withholding tax imposed by the United States or (ii) a
withholding tax imposed by the jurisdiction under the laws of which such Lender is organized or in which its principal office or applicable lending office (or other place of business) is located, in the case of each of clauses (i) and (ii),
that is in effect and that would apply to amounts payable hereunder to such Agent, Lender, Issuing Bank or other recipient at the time such Agent, Lender, Issuing Bank or other recipient becomes a party to any Loan Document (or designates a new
lending office), except to the extent that such Lender or Issuing Bank or other recipient (or its assignor, if any) was entitled, at the time of designation of a new lending office (or assignment), to receive additional amounts with respect to such
withholding tax pursuant to Section 2.17(a) or Section 2.17(c), (d) any withholding taxes attributable to such Lender’s or such other recipient’s failure (other than as a result of a Change in Law) to comply with
Section 2.17(e), and (e) any tax imposed by reason of Section 1471 through 1474 of the Code and regulations and official interpretations promulgated thereunder (other than as a result of a Change in Law). 

“Existing Credit Agreement” shall have the meaning assigned to such term in the fifth recital to this Agreement.

  

 18 

 “Existing Credit Facilities” shall mean the credit facilities made
available to the Borrower or any of its Subsidiaries pursuant to the Existing Credit Agreement. 
 “Facilities”
shall mean the respective facility and commitments utilized in making Loans and credit extensions hereunder, it being understood that as of the date of this Agreement there is one Facility, i.e., the Revolving Loan Facility 

“Federal Funds Effective Rate” shall mean, for any day, the weighted average (rounded upward, if necessary, to the next
1/100 of 1%) of the rates on overnight Federal funds transactions with members of the Federal Reserve System arranged by Federal funds brokers, as published on the next succeeding Business Day by the Federal Reserve Bank of New York, or, if such
rate is not so published for any day which is a Business Day, the average (rounded upward, if necessary, to the next 1/100 of 1%) of the quotations for the day of such transactions received by the Administrative Agent from three Federal funds
brokers of recognized standing selected by it. 
 “Fee Letter” shall mean that certain Fee Letter dated
July 22, 2010, by and among Crestwood Holdings LLC (formerly known as First Reserve Crestwood Holdings LLC), Bank of America N.A., Banc of America Securities LLC, BNP Paribas, BNP Paribas Securities Corp. and Royal Bank of Canada. 

“Fees” shall mean the Commitment Fees, the Revolving L/C Participation Fees, the Issuing Bank Fees, the Administrative
Agent Fees and any other fees payable under the Fee Letter. 
 “FERC” shall mean the Federal Energy Regulatory
Commission, and any successor agency thereto. 
 “Finance Co” shall mean a direct, Wholly-Owned Subsidiary of
the Borrower incorporated to become or otherwise serving as a co-issuer or co-borrower of Permitted Junior Indebtedness permitted by this Agreement, which Subsidiary meets the following conditions at all times: (a) the provisions of
Section 5.10 have been complied with in respect of such Subsidiary, and such Subsidiary is a Subsidiary Loan Party, (b) such Subsidiary shall be a corporation and (c) such Subsidiary has not (i) incurred, directly or indirectly
any Indebtedness or any other obligation or liability whatsoever other than the Indebtedness that it was formed to co-issue or co-borrow and for which it serves as co-issuer or co-borrower, (ii) engaged in any business, activity or transaction,
or owned any property, assets or Equity Interests other than (A) performing its obligations and activities incidental to the co-issuance or co-borrowing of the Indebtedness that it was formed to co-issue or co-borrower and (B) other
activities incidental to the maintenance of its existence, including legal, Tax and accounting administration, (iii) consolidated with or merged with or into any Person, or (iv) failed to hold itself out to the public as a legal entity
separate and distinct from all other Persons. 
 “Financial Officer” of any Person shall mean the Chief
Financial Officer, principal accounting officer, Treasurer, Assistant Treasurer or Controller of such Person. 

“Financial Performance Covenants” shall mean the covenants of the Borrower set forth in Sections 6.10 and 6.11.

 “First Lien Leverage Ratio” shall mean, on any date, the ratio of (a) Consolidated First Lien Net Debt
as of such date to (b) EBITDA for the period of four consecutive fiscal quarters of the Borrower most recently ended as of such date, all determined on a consolidated basis in accordance with GAAP; provided that, to the extent any Asset
Disposition or any Asset Acquisition (or any similar transaction or transactions that require a waiver or a consent of the Required Lenders pursuant to Section 6.04 or 

 

 19 

 
Section 6.05) or incurrence or repayment of Indebtedness (excluding normal fluctuations in revolving Indebtedness incurred for working capital purposes) has occurred during the relevant Test
Period, the First Lien Leverage Ratio shall be determined for the respective Test Period on a Pro Forma Basis for such occurrences. 

“Flood Insurance Laws” shall have the meaning assigned to such term in Section 5.02(b). 

“Foreign Lender” shall mean any Lender that is organized under the laws of a jurisdiction other than the United States
of America. For purposes of this definition, the United States of America, each State thereof and the District of Columbia shall be deemed to constitute a single jurisdiction. 

“Foreign Subsidiary” shall mean any Subsidiary that is either (i) incorporated or organized under the laws of any
jurisdiction other than the United States of America, any State thereof or the District of Columbia (other than an entity that is disregarded for U.S. federal tax purposes and is a direct Subsidiary of an entity organized in the United States of
America, any State thereof or the District of Columbia) or (ii) any Subsidiary of a Foreign Subsidiary. 

“GAAP” shall have the meaning assigned to such term in Section 1.02. 

“Gathering and Processing Documents” shall mean (i) the Sixth Amended and Restated Gas Gathering and Processing
Agreement between Quicksilver Resources Inc., Cowtown Pipeline Partners L.P. and Cowtown Gas Processing Partners L.P., effective September 1, 2008, to be amended by the Second Amendment to the Sixth Amended and Restated Gas Gathering and
Processing Agreement between Quicksilver Resources Inc., Cowtown Pipeline Partners L.P. and Cowtown Gas Processing Partners L.P., to be entered into as of the Closing Date, (ii) the Gas Gathering Agreement between Quicksilver Resources Inc. and
Cowtown Pipeline Partners L.P., as assignee of Cowtown Pipeline L.P., effective December 1, 2009, to be amended by the Amendment to the Gas Gathering Agreement between Quicksilver Resources Inc. and Cowtown Pipeline Partners L.P., to be entered
into as of the Closing Date, and (iii) the Amended and Restated Gas Gathering Agreement between Quicksilver Resources Inc. and Cowtown Pipeline Partners L.P., as assignee of Cowtown Pipeline L.P., effective September 1, 2008, to be amended
by the Second Amendment to the Gas Gathering Agreement between Quicksilver Resources Inc. and Cowtown Pipeline Partners L.P., to be entered into as of the Closing Date, each as amended, restated, supplemented or otherwise modified as permitted
hereunder. 
 “General Partner” shall have the meaning assigned to such term in the third recital hereto.

 “General Partner LLC Agreement” shall mean the First Amended and Restated Limited Liability Company
Agreement of the General Partner, dated as of July 24, 2007, as amended, restated, supplemented or otherwise modified as permitted hereunder. 

“Governmental Authority” shall mean any federal, state, provincial, local or foreign court or governmental agency,
authority, instrumentality or regulatory or legislative body. 
 “Guarantee” of or by any Person (the
“guarantor”) shall mean (a) any obligation, contingent or otherwise, of the guarantor guaranteeing or having the economic effect of guaranteeing any Indebtedness of any other Person (the “primary obligor”) in
any manner, whether directly or indirectly, and including any obligation of the guarantor, direct or indirect, (i) to purchase or pay (or advance or supply funds for the purchase or payment of) such Indebtedness (whether arising by virtue of
partnership arrangements, by agreement to keep well, to purchase assets, goods, securities or services, to take or pay or otherwise) or to purchase (or to advance or supply funds for the purchase of) any security for the payment of such

  

 20 

 
Indebtedness, (ii) to purchase or lease property, securities or services for the purpose of assuring the owner of such Indebtedness of the payment thereof, (iii) to maintain working
capital, equity capital or any other financial statement condition or liquidity of the primary obligor so as to enable the primary obligor to pay such Indebtedness, (iv) entered into for the purpose of assuring in any other manner the holders
of such Indebtedness of the payment thereof or to protect such holders against loss in respect thereof (in whole or in part) or (v) as an account party in respect of any letter of credit or letter of guaranty issued to support such
Indebtedness, or (b) any Lien on any assets of the guarantor securing any Indebtedness (or any existing right, contingent or otherwise, of the holder of Indebtedness to be secured by such a Lien) of any other Person, whether or not such
Indebtedness is assumed by the guarantor; provided, however, that the term “Guarantee” shall not include endorsements for collection or deposit, in either case in the ordinary course of business, or customary and reasonable
indemnity obligations in effect on the Closing Date or entered into in connection with any acquisition or disposition of assets permitted under this Agreement. 

“Hazardous Materials” shall mean all pollutants, contaminants, wastes, chemicals, materials, substances and
constituents, including explosive or radioactive substances or petroleum or petroleum distillates or breakdown constituents, asbestos or asbestos containing materials, polychlorinated biphenyls or radon gas, of any nature, in each case subject to
regulation pursuant to, or which can give rise to liability under, any Environmental Law. 
 “HoldCo” shall
have the meaning assigned to such term in the first recital hereto. 
 “HoldCo Credit Agreement” shall mean
that certain Credit Agreement, dated as of the date hereof, by and among HoldCo, as borrower, the lenders party thereto, Bank of America, N.A., as administrative agent and as collateral agent, Royal Bank of Canada, as syndication agent, BNP Paribas,
as documentation agent, and Banc of America Securities LLC, BNP Paribas Securities Corp., and RBC Capital Markets Corporation, as joint lead arrangers and joint bookrunners. 

“HoldCo Loan Documents” shall have the meaning assigned to the term “Loan Documents” in the HoldCo Credit
Agreement. 
 “Holdings” shall have the meaning assigned to such term in the second recital hereto. 

“Improvements” shall have the meaning assigned to such term in the Mortgages. 

“Increased Amount Date” shall have the meaning assigned to such term in Section 2.20. 

“Incremental Commitments” shall have the meaning assigned to such term in Section 2.20. 

“Incremental Lender” shall have the meaning assigned to such term in Section 2.20. 

“Incremental Maturity Date” shall mean the maturity date of any Additional Term Loan Tranche pursuant to
Section 2.20. 
 “Incremental Revolving Facility Commitments” shall have the meaning assigned to such term
in Section 2.20. 
 “Incremental Revolving Facility Lender” shall have the meaning assigned to such term
in Section 2.20. 
  

 21 

 “Incremental Term Facility Commitments” shall have the meaning assigned to
such term in Section 2.20. 
 “Incremental Term Lender” shall have the meaning assigned to such term in
Section 2.20. 
 “Incremental Term Loans” shall have the meaning assigned to such term in
Section 2.20. 
 “Indebtedness” of any Person shall mean, without duplication, (a) all obligations of
such Person for borrowed money, (b) all obligations of such Person evidenced by bonds, debentures, notes or similar instruments, (c) all obligations of such Person under conditional sale or other title retention agreements relating to
property or assets purchased by such Person, (d) all obligations of such Person issued or assumed as the deferred purchase price of property or services (other than trade liabilities and intercompany liabilities incurred in the ordinary course
of business and maturing within 365 days after the incurrence thereof), (e) all Guarantees by such Person of Indebtedness of others, (f) all Capital Lease Obligations of such Person, (g) all payments that such Person would have to
make in the event of an early termination, on the date Indebtedness of such Person is being determined, in respect of outstanding Swap Agreements (such payments in respect of any Swap Agreement with a counterparty being calculated subject to and in
accordance with any netting provisions in such Swap Agreement), (h) the principal component of all obligations, contingent or otherwise, of such Person (i) as an account party in respect of letters of credit (other than any letters of
credit, bank guarantees or similar instrument in respect of which a back-to-back letter of credit has been issued under or permitted by this Agreement) and (ii) in respect of banker’s acceptances. The Indebtedness of any Person shall
include the Indebtedness of any partnership in which such Person is a general partner, other than to the extent that the instrument or agreement evidencing such Indebtedness expressly limits the liability of such Person in respect thereof.

 “Indemnified Taxes” shall mean all Taxes which arise from the transactions contemplated in, or otherwise
with respect to, this Agreement, other than Excluded Taxes. 
 “Indemnitee” shall have the meaning assigned to
such term in Section 9.05(b). 
 “Information” shall have the meaning assigned to such term in
Section 3.13(a). 
 “Information Memorandum” shall mean the Confidential Information Memorandum dated
August 2010, as modified or supplemented prior to the Closing Date. 
 “Initial Lenders” shall mean the banks,
financial institutions and other institutional lenders listed on the signature pages hereof as the Initial Lenders. 

“Interest Coverage Ratio” shall mean the ratio, for the period of four fiscal quarters ended on, or if such date of
determination is not the end of a fiscal quarter, most recently prior to the date on which such determination is to be made of (a) EBITDA to (b) Cash Interest Expense; provided that to the extent any Asset Disposition or any Asset
Acquisition (or any similar transaction or transactions for which a waiver or a consent of the Required Lenders pursuant to Section 6.04 or 6.05 has been obtained) or incurrence or repayment of Indebtedness (excluding normal fluctuations in
revolving Indebtedness incurred for working capital purposes) has occurred during the relevant Test Period, the Interest Coverage Ratio shall be determined for the respective Test Period on a Pro Forma Basis for such occurrences. 

“Interest Election Request” shall mean a request by the Borrower to convert or continue a Borrowing in accordance with
Section 2.07, in substantially the form of Exhibit D. 
  

 22 

 “Interest Expense” shall mean, with respect to any Person for any period,
the sum of (a) gross interest expense of such Person for such period on a consolidated basis, including (i) the amortization of debt discounts, (ii) the amortization of all fees (including fees with respect to Swap Agreements) payable
in connection with the incurrence of Indebtedness to the extent included in interest expense, other than fees and breakage costs incurred in connection with the repayment of the Existing Credit Facilities, (iii) the portion of any payments or
accruals with respect to Capital Lease Obligations allocable to interest expense, and (iv) redeemable preferred stock dividend expenses, and (b) capitalized interest of such Person. For purposes of the foregoing, gross interest expense
shall be determined after giving effect to any net payments made or received and costs incurred by the Borrower and its Subsidiaries with respect to Swap Agreements. 

“Interest Payment Date” shall mean (a) with respect to any Eurodollar Loan, the last day of the Interest Period
applicable to the Borrowing of which such Loan is a part and, in the case of a Eurodollar Borrowing with an Interest Period of more than three months’ duration, each day that would have been an Interest Payment Date had successive Interest
Periods of three months’ duration been applicable to such Borrowing and, in addition, the date of any refinancing or conversion of such Borrowing with or to a Borrowing of a different Type, (b) with respect to any ABR Loan, the last
Business Day of each calendar quarter and (c) with respect to any Swingline Loan, the day that such Swingline Loan is required to be repaid pursuant to Section 2.09(a). 

“Interest Period” shall mean, as to any Borrowing consisting of a Eurodollar Loan, the period commencing on the date of
such Borrowing or on the last day of the immediately preceding Interest Period applicable to such Borrowing, as applicable, and ending on the numerically corresponding day (or, if there is no numerically corresponding day, on the last day) in the
calendar month that is 1, 2, 3 or 6 months thereafter (or 9 or 12 months or shorter, if at the time of the relevant Borrowing, all Lenders make interest periods of such length available), as the Borrower may elect, or the date any Eurodollar
Borrowing is converted to an ABR Borrowing in accordance with Section 2.07 or repaid or prepaid in accordance with Section 2.09, 2.10 or 2.11; provided that, (a) if any Interest Period for a Eurodollar Loan would end on a day
other than a Business Day, such Interest Period shall be extended to the next succeeding Business Day unless such next succeeding Business Day would fall in the next calendar month, in which case such Interest Period shall end on the next preceding
Business Day, (b) any Interest Period that begins on the last Business Day of a calendar month (or on a day for which there is no numerically corresponding day in the calendar month at the end of such Interest Period) shall end on the last
Business Day of the calendar month at the end of such Interest Period, and (c) no Interest Period shall extend beyond the latest of the Revolving Facility Maturity Date or any Incremental Maturity Date, as applicable. Interest shall accrue from
and including the first day of an Interest Period to but excluding the last day of such Interest Period. 

“Investment” shall have the meaning assigned to such term in Section 6.04. 

“Issuing Bank” shall mean BNP and each other Issuing Bank designated pursuant to Section 2.05(k), in each case in
its capacity as an issuer of Revolving Letters of Credit hereunder, and its successors in such capacity as provided in Section 2.05(i). An Issuing Bank may, in its discretion, arrange for one or more Revolving Letters of Credit to be issued by
Affiliates of such Issuing Bank, in which case the term “Issuing Bank” shall include any such Affiliate with respect to Revolving Letters of Credit issued by such Affiliate. 

“Issuing Bank Fees” shall have the meaning assigned to such term in Section 2.12(c). 

 

 23 

 “Joint Lead Arrangers” shall have the meaning assigned to such term in the
introductory paragraph of this Agreement. 
 “Lender” shall mean each financial institution listed on
Schedule 2.01 (and any foreign branch of such Lender), as well as any Person (other than a natural person) that becomes a “Lender” hereunder pursuant to Section 9.04 (and any foreign branch of such Person), any Person
(other than a natural person) holding outstanding Revolving Facility Loans, any Person (other than a natural person) holding outstanding Swingline Loans or any Person (other than a natural person) holding outstanding Incremental Loans. Unless the
context otherwise requires, the term “Lenders” includes the Swingline Lender. 
 “Leverage Ratio”
shall mean, on any date, the ratio of (a) Consolidated Net Debt as of such date to (b) EBITDA for the period of four consecutive fiscal quarters of the Borrower most recently ended as of such date, all determined on a consolidated basis in
accordance with GAAP; provided that to the extent any Asset Disposition or any Asset Acquisition (or any similar transaction or transactions that require a waiver or a consent of the Required Lenders pursuant to Section 6.04 or
Section 6.05) or incurrence or repayment of Indebtedness (excluding normal fluctuations in revolving Indebtedness incurred for working capital purposes) has occurred during the relevant Test Period, the Leverage Ratio shall be determined for
the respective Test Period on a Pro Forma Basis for such occurrences. 
 “Lien” shall mean, with respect to any
asset, (a) any mortgage, deed of trust, lien, hypothecation, pledge, encumbrance, charge or security interest in or on such asset, (b) the interest of a vendor or a lessor under any conditional sale agreement, capital lease or title
retention agreement (or any financing lease having substantially the same economic effect as any of the foregoing) relating to such asset and (c) in the case of securities (other than securities representing an interest in a joint venture that
is not a Subsidiary of the Borrower), any purchase option, call or similar right of a third party with respect to such securities. 

“Limited Partnership Agreement” shall mean the Second Amended and Restated Agreement of Limited Partnership of the
Borrower, dated as of February 19, 2008, as amended, restated, supplemented or otherwise modified as permitted hereunder. 

“Loan Documents” shall mean this Agreement, the Letters of Credit, the Security Documents and any promissory note issued
under Section 2.09(e). 
 “Loan Document Obligations” shall mean all amounts owing to any of the Agents,
any Issuing Bank or any Lender pursuant to the terms of this Agreement or any other Loan Document, or pursuant to the terms of any Guarantee thereof, including, without limitation, with respect to any Loan or Revolving Letter of Credit, together
with the due and punctual performance of all other obligations of the Borrower and the other Loan Parties under or pursuant to the terms of this Agreement and the other Loan Documents, in each case whether direct or indirect (including those
acquired by assumption), absolute or contingent, due or to become due, now existing or hereafter arising, and including interest and fees that accrue after the commencement by or against any Loan Party or any Affiliate thereof of any proceeding
under any bankruptcy or insolvency laws naming such Person as the debtor in such proceeding, regardless of whether such interest and fees are allowed claims in such proceeding. 

“Loan Parties” shall mean the Borrower and each Subsidiary Loan Party. 

“Loans” shall mean the Revolving Facility Loans, the Swingline Loans and the Incremental Loans. 

 

 24 

 “Majority Lenders” of any Facility shall mean, at any time, Lenders under
such Facility having (a) Loans (other than Swingline Loans) outstanding under such Facility, (b) in the case of the Revolving Facility, Revolving L/C Exposures and Swingline Exposures and (c) unused Commitments under such
Facility, that, taken together, represent more than 50% of the sum of all (x) Loans (other than Swingline Loans) outstanding under such Facility, (y) in the case of the Revolving Facility, Revolving L/C Exposures and Swingline
Exposures, and (z) the total unused Commitments under such Facility at such time. 
 “Margin Differential”
shall have the meaning specified in Section 2.20(a). 
 “Margin Stock” shall have the meaning assigned to
such term in Regulation U. 
 “Master Limited Partnership” shall mean a publicly traded limited partnership
that is properly treated as a partnership for U.S. federal income tax purposes by virtue of meeting the requirements of Section 7704(c)(1) of the Code. 

“Material Acquisition” shall mean any Permitted Business Acquisition with fair market value equal to or greater than
$50,000,000. 
 “Material Adverse Effect” shall mean 

(a) at all times other than on the Closing Date, the existence of events, conditions and/or contingencies that have had or
are reasonably likely to have (i) a materially adverse effect on the business, operations, properties, assets or financial condition of the Borrower and its Subsidiaries, taken as a whole, or (ii) a material impairment of the validity or
enforceability of, or a material impairment of the material rights, remedies or benefits available to the Lenders, any Issuing Bank, the Administrative Agent or the Collateral Agent under, any Loan Document; and 

(b) solely for purposes of determining whether or not there has been a Material Adverse Effect on the Closing Date, any
change, event, circumstance, development or occurrence that, individually or in the aggregate with all other changes, events, circumstances, developments and occurrences, has had or would reasonably be expected to have a material adverse effect on
(a) the condition (financial or otherwise), business, assets, liabilities or results of operations of the “Sold Entities” (as defined in the Acquisition Agreement), taken as a whole, excluding any change, event, circumstance,
development or occurrence to the extent resulting from, arising out of or relating to (i) the Acquisition Agreement (including the execution and announcement thereof) or the transactions contemplated thereby, (ii) changes or conditions
affecting the natural gas transportation, gathering and processing industry generally, (iii) changes in oil or natural gas commodity prices, (iv) changes in economic, market, financial, regulatory or political conditions generally,
(v) acts of war, terrorism, earthquakes, hurricanes, tornadoes or other natural disasters, (vi) changes in “Applicable Law” (as defined in the Acquisition Agreement) or “GAAP” (as defined in the Acquisition Agreement),
(vii) seasonal fluctuations affecting any of the Sold Entities or the natural gas transportation, gathering and processing industry generally, (viii) the failure of any Sold Entity to meet any internal forecasts or budgets for any period
prior to, on or after the date of the Acquisition Agreement (provided that any change, event, circumstance, development or occurrence underlying such failure that is not otherwise excluded from the definition of “Material Adverse Effect”
may be taken into account in determining whether a Material Adverse Effect has occurred) or (ix) any change in the price of the “Common Units” (as defined in the Acquisition Agreement) on the “New York Stock Exchange” (as
defined in the Acquisition Agreement), except to the extent any of the changes, events, circumstances, 
  

 25 

 
developments or occurrences referred to in clauses (ii), (iii), (iv), (v), (vi) or (vii) above materially and disproportionately impact the Sold Entities, taken as a whole, as compared
to other companies in the industries in which the Sold Entities operate (in which event only the extent of such material and disproportionate impact over the extent of the impact on such other companies may be taken into account in determining
whether a Material Adverse Effect has occurred) or (b) the ability of Seller or the “Selling Subsidiaries” (as defined in the Acquisition Agreement) to perform their respective obligations under or arising out of the Acquisition
Agreement or the other “Transaction Documents” (as defined in the Acquisition Agreement) (other than the “Glen Rose Lease” (as defined in the Acquisition Agreement)) and to consummate the transactions contemplated thereby and by
the Acquisition Agreement, except to the extent relating to those matters set forth in Section 1.01 of the “Seller Disclosure Schedules” (as defined in the Acquisition Agreement). 

“Material Indebtedness” shall mean Indebtedness (other than Loans and Letters of Credit) of the Borrower or any Relevant
Subsidiary in an aggregate principal amount exceeding U.S. $20.0 million. 
 “Material Contracts” shall
mean, collectively, (i) the Gathering and Processing Documents, and (ii) any contract or other arrangement, whether written or oral, to which the Borrower or any Relevant Subsidiary is a party as to which the breach, nonperformance,
cancellation or failure to renew by any party thereto could reasonably be expected to have a Material Adverse Effect. 

“Material Real Property” shall mean, on any date of determination, any Pipeline Systems (including any Real Property
(other than leased Real Property) upon which such Pipeline Systems are located), any Processing Plants and any other Real Property owned in fee by any Loan Party, or group of related tracts of Real Property, acquired (whether acquired in a single
transaction or in a series of transactions) or owned by a Loan Party having a fair market value (including the fair market value of improvements owned by any Loan Party and located thereon) on such date of determination exceeding
U.S.$5.0 million, provided that notwithstanding the foregoing, all Real Property (other than leased Real Property) associated with a Pipeline System shall be deemed to be Material Real Property if such Pipeline System has a fair market
value exceeding U.S.$5.0 million. 
 “Material Subsidiary” shall mean (a) Operating, Operating GP and
the Cowtown Entities, (b) any Finance Co, and (c) each Subsidiary of the Borrower now existing or hereafter acquired or formed by the Borrower which, on a consolidated basis for such Subsidiary and its Subsidiaries, (i) for the
applicable Calculation Period accounted for more than 1.5% of the consolidated revenues of the Borrower and its Subsidiaries or (ii) as of the last day of such Calculation Period, was the owner of more than 1.5% of the Consolidated Total Assets
of the Borrower and its Subsidiaries; provided that at no time shall the total assets of all Subsidiaries of the Borrower that are not Material Subsidiaries exceed, for the applicable Calculation Period, 5.0% of the Consolidated Total Assets
of the Borrower and its Subsidiaries. 
 “Maximum Leverage Ratio” shall mean, (a) on any date of
determination other than during an Acquisition Period, 5.00:1.00, and (b) on any date of determination during an Acquisition Period, 5.50:1.00. 

“Maximum Rate” shall have the meaning assigned to such term in Section 9.09. 

“Midstream Activities” shall mean with respect to any Person, collectively, the treatment, processing, gathering,
dehydration, compression, blending, transportation, storage, transmission, marketing, buying or selling or other disposition, whether for such Person’s own account or for the account of others, of oil, natural gas, natural gas liquids or other
liquid or gaseous hydrocarbons, including that used for fuel or consumed in the foregoing activities; provided, that “Midstream Activities” shall in no event include the drilling, completion or servicing of oil or gas wells, including,
without limitation, the ownership of drilling rigs. 
  

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 “Moody’s” shall mean Moody’s Investors Service, Inc. 

“Mortgaged Properties” shall mean all Real Property required to be subject to a Mortgage that is delivered pursuant to
the terms of this Agreement. 
 “Mortgages” shall mean the mortgages, deeds of trust, assignments of leases and
rents and other security documents delivered on the Closing Date pursuant to Section 4.02(h) and the Collateral and Guarantee Requirement or after the Closing Date pursuant to Section 5.10 and the Collateral and Guarantee Requirement, as
amended, supplemented or otherwise modified from time to time, with respect to Mortgaged Properties, each in form and substance reasonably satisfactory to the Collateral Agent, including all such changes as may be required to account for local law
matters. 
 “Multiemployer Plan” shall mean a multiemployer plan as defined in Section 4001(a)(3) of
ERISA subject to the provisions of Title IV of ERISA and in respect of which the Borrower, any Subsidiary of the Borrower or any ERISA Affiliate is an “employer” as defined in Section 3(5) of ERISA. 

“Net Income” shall mean, with respect to any Person, the net income (loss) of such Person, determined in accordance with
GAAP and before any reduction in respect of preferred stock dividends. 
 “Net Proceeds” shall mean:

 (a) 100% of the cash proceeds actually received by the Borrower or any Subsidiary of the Borrower (including
any cash payments received by way of deferred payment of principal pursuant to a note or installment receivable or purchase price adjustment receivable or otherwise and including casualty insurance settlements and condemnation awards, but only as
and when received) from any loss, damage, destruction or condemnation of, or any sale, transfer or other disposition (including any sale and leaseback of assets) to any Person of any asset or assets of the Borrower or any such Subsidiary of the
Borrower (other than those pursuant to Section 6.05(a), (b), (c), (e), (h), (i), or (j) net of (i) attorneys’ fees, accountants’ fees, investment banking fees, sales commissions, survey costs, title insurance premiums, and
related search and recording charges, transfer taxes, deed or mortgage recording taxes, required debt payments and required payments of other obligations relating to the applicable asset (other than pursuant hereto or pursuant to Permitted Junior
Debt) and any cash reserve for adjustment in respect of the sale price of such asset established in accordance with GAAP, including without limitation, pension and post-employment benefit liabilities and liabilities related to environmental matters
or against any indemnification obligations associated with such transaction, other customary expenses and brokerage, consultant and other customary fees actually incurred in connection therewith, and (ii) Taxes paid or payable as a result
thereof; provided that, if no Event of Default exists and the Borrower has delivered a certificate of a Responsible Officer of the Borrower to the Administrative Agent promptly following receipt of any such proceeds setting forth the
Borrower’s intention to use any portion of such proceeds, to acquire, maintain, develop, construct, improve, upgrade or repair assets useful in the business or otherwise invest in the business of the Borrower and its Subsidiaries, or make
investments pursuant to Section 6.04(j), in each case within 12 months of such receipt, such portion of such proceeds shall not constitute Net Proceeds, except to the extent (1) not so used within such 12-month period and (2) not
contracted to be used within such 12-month period and not thereafter used within 120 days of such receipt; provided, 
  

 27 

 
further, that (x) no proceeds realized in a single transaction or series of related transactions shall constitute Net Proceeds unless such proceeds shall exceed U.S.$5.0 million
and (y) no proceeds shall constitute Net Proceeds in any fiscal year until the aggregate amount of all such proceeds in such fiscal year shall exceed U.S.$10.0 million, and 

(b) 100% of the cash proceeds from the incurrence, issuance or sale by the Borrower or any other Loan Party of any
Indebtedness (other than Excluded Indebtedness), net of all taxes and fees (including investment banking fees), commissions, costs and other expenses, in each case incurred in connection with such issuance or sale. 

For purposes of calculating the amount of Net Proceeds, fees, commissions and other costs and expenses payable to the Borrower or any of its Affiliates
shall be disregarded, except for financial advisory fees customary in type and amount paid to Affiliates of the Sponsors. 

“NGA” shall have the meaning assigned to such term in Section 3.08(c). 

“Non-Consenting Lender” shall have the meaning assigned to such term in Section 2.19(c). 

“Non-U.S. Lender” shall have the meaning assigned to such term in Section 2.17(e). 

“Obligations” shall mean all amounts owing to any of the Agents, any Issuing Bank, any Lender or any other Secured Party
pursuant to the terms of this Agreement or any other Loan Document, or to any Cash Management Bank or Specified Swap Counterparty pursuant to the terms of any Secured Cash Management Agreement or Secured Swap Agreement, respectively, or pursuant to
the terms of any Guarantee thereof, including, without limitation, with respect to any Loan, Revolving Letter of Credit, Secured Cash Management Agreement or Secured Swap Agreement, together with the due and punctual performance of all other
obligations of the Borrower and the other Loan Parties under or pursuant to the terms of this Agreement, the other Loan Documents, any Secured Cash Management Agreement and any Secured Swap Agreement, in each case whether direct or indirect
(including those acquired by assumption), absolute or contingent, due or to become due, now existing or hereafter arising, and including interest and fees that accrue after the commencement by or against any Loan Party or any Affiliate thereof of
any proceeding under any bankruptcy or insolvency laws naming such Person as the debtor in such proceeding, regardless of whether such interest and fees are allowed claims in such proceeding. 

“Omnibus Agreement” shall mean that certain Omnibus Agreement to be entered into by the parties thereto substantially in
the form of Exhibit J. 
 “Operating” shall mean Quicksilver Gas Services Operating LLC, a Delaware
limited liability company. 
 “Operating GP” shall mean Quicksilver Gas Services Operating GP LLC, a Delaware
limited liability company. 
 “Other Taxes” shall mean any and all present or future stamp or documentary taxes
or any other excise or property, intangible or mortgage recording taxes, charges or similar levies arising from any payment made hereunder or from the execution, delivery or enforcement of, or otherwise with respect to, the Loan Documents.

  

 28 

 “Parent Company” shall mean any Person who, directly or indirectly, owns
any of the issued and outstanding Equity Interests of the Borrower. 
 “Parent Subordinated Note” shall mean
that certain Subordinated Promissory Note, dated as of August 10, 2007, made by the Borrower payable to the order of Quicksilver Resources Inc. and purchased by HoldCo in connection with the Acquisition. 

“Participant” shall have the meaning assigned to such term in Section 9.04(c). 

“PBGC” shall mean the Pension Benefit Guaranty Corporation referred to and defined in ERISA. 

“Perfection Certificate” shall mean a certificate in the form of Annex I to the Collateral Agreement or any other form
approved by the Collateral Agent. 
 “Permitted Business Acquisition” shall mean any acquisition of all or
substantially all the assets of, or all the Equity Interests (other than directors’ qualifying shares) in, a Person or division or line of business of a Person, other than such acquisition of, or of the assets or Equity Interests of, any Loan
Party, if (a) such acquisition was not preceded by, or effected pursuant to, an unsolicited or hostile offer, (b) such acquired Person, division or line of business of a Person is, or is engaged in, any business or business activity
conducted by the Borrower and its Subsidiaries on the Closing Date, Midstream Activities and any business or business activities incidental or related thereto, or any business or activity that is reasonably similar thereto or a reasonable extension,
development or expansion thereof or ancillary thereto, and (c) immediately after giving effect thereto: (i) no Default or Event of Default shall have occurred and be continuing or would result therefrom; (ii) all transactions related
thereto shall be consummated in accordance with applicable laws; and (iii) (A) the Borrower and its Subsidiaries shall be in compliance, on a Pro Forma Basis after giving effect to such acquisition or formation, with the Financial
Performance Covenants recomputed as at the last day of the most recently ended fiscal quarter of the Borrower and its Subsidiaries, and, if the total consideration in respect of such acquisition exceeds U.S.$10.0 million, the Borrower shall
have delivered to the Administrative Agent a certificate of a Responsible Officer of the Borrower to such effect, together with all relevant financial information for such Subsidiary or assets, and (B) any acquired or newly formed Subsidiary of
the Borrower shall not be liable for any Indebtedness (except for Indebtedness permitted by Section 6.01). 

“Permitted Encumbrances” shall mean with respect to each Real Property, Pipeline System and Processing Plant, those
Liens and other encumbrances permitted by paragraphs (b), (c), (d), (e), (h), (k), (l), (m), (v), (w), (x), (aa) or (bb) of Section 6.02. 

“Permitted Holder” shall mean each of the Sponsors and the Sponsor Affiliates. 

“Permitted Investments” shall mean: 

(a) direct obligations of the United States of America or any agency thereof or obligations guaranteed by the United
States of America or any agency thereof, in each case with maturities not exceeding two years; 
 (b) time
deposit accounts, certificates of deposit and money market deposits maturing within 180 days of the date of acquisition thereof issued by a bank or trust company that is organized under the laws of the United States of America, any state thereof, or
any foreign country recognized by the United States of America, having capital, surplus and undivided profits in excess of U.S.$250.0 million and whose long-term debt, or whose parent holding company’s long-term debt, is rated A (or such
similar equivalent rating or higher) by at least one nationally recognized statistical rating organization (as defined in Rule 436 under the Securities Act); 

 

 29 

 (c) repurchase obligations with a term of not more than 180 days for
underlying securities of the types described in clause (a) above entered into with a bank meeting the qualifications described in clause (b) above; 

(d) commercial paper, maturing not more than one year after the date of acquisition, issued by a corporation (other than
an Affiliate of the Borrower) organized and in existence under the laws of the United States of America or any foreign country recognized by the United States of America with a rating at the time as of which any investment therein is made of P-1 (or
higher) according to Moody’s, or A-1 (or higher) according to S&P; 
 (e) securities with maturities of
two years or less from the date of acquisition issued or fully guaranteed by any State, commonwealth or territory of the United States of America or by any political subdivision or taxing authority thereof, and rated at least A by S&P or A-2 by
Moody’s; 
 (f) shares of mutual funds whose investment guidelines restrict 95% of such funds’
investments to those satisfying the provisions of clauses (a) through (e) above; 
 (g) money market
funds that (i) comply with the criteria set forth in Rule 2a-7 under the Investment Company Act of 1940, (ii) are rated AAA by S&P and Aaa by Moody’s and (iii) have portfolio assets of at least U.S.$500.0 million;
and 
 (h) time deposit accounts, certificates of deposit and money market deposits in an aggregate face amount
not in excess of 1/2 of 1% of the total assets of the Borrower and its Subsidiaries, on a consolidated basis, as of the end of the Borrower’s most recently completed fiscal year. 

“Permitted Junior Debt” shall mean (a) unsecured subordinated Indebtedness issued or incurred by one or both of the
Borrower and Finance Co and (b) unsecured senior Indebtedness issued by one or both of the Borrower and Finance Co, (i) the terms of which, in the case of each of clauses (a) and (b), (1) do not provide for any scheduled
repayment, mandatory redemption or sinking fund obligation prior to the date that is 91 days after the latest of (x) the Revolving Facility Maturity Date and (y) any Incremental Facility Maturity Date, (2) do not contain covenants
that, taken as a whole, are more restrictive than those set forth in this Agreement and the other Loan Documents, (3) provide for covenants and events of default customary for Indebtedness of a similar nature as such Permitted Junior Debt and
(4) in the case of unsecured subordinated Indebtedness, provide for subordination of payments in respect of such Indebtedness to the Obligations and guarantees thereof under the Loan Documents customary for high yield securities and
(ii) in the case of each of clauses (a) and (b), in respect of which no Subsidiary of a Borrower that is not an obligor under the Loan Documents is an obligor; provided that immediately prior to and after giving effect on a Pro
Forma Basis to any incurrence of Permitted Junior Debt, no Default or Event of Default shall have occurred and be continuing or would result therefrom and the Borrower would be in compliance on a Pro Forma Basis with the Financial Performance
Covenants as of the most recently completed fiscal quarter for which financial statements are available. 
 “Permitted
Refinancing Indebtedness” shall mean any Indebtedness issued in exchange for, or the net proceeds of which are used to extend, refinance, renew, replace, defease or refund (collectively, to “Refinance”), the Indebtedness
being Refinanced (or previous refinancings thereof constituting Permitted 
  

 30 

 
Refinancing Indebtedness); provided that (a) the Borrower and its Subsidiaries shall be in compliance, on a Pro Forma Basis after giving effect to such Permitted Refinancing
Indebtedness, with the covenants contained in Section 6.10 recomputed as at the last day of the most recently ended fiscal quarter of the Borrower and its Subsidiaries, (b) the principal amount (or accreted value, if applicable) of such
Permitted Refinancing Indebtedness does not exceed the principal amount (or accreted value, if applicable) of the Indebtedness so Refinanced (plus unpaid accrued interest, breakage costs and premium thereon), (c) the average life to maturity of
such Permitted Refinancing Indebtedness is greater than or equal to that of the Indebtedness being Refinanced, (d) if the Indebtedness being Refinanced is subordinated in right of payment to the Obligations under this Agreement, such Permitted
Refinancing Indebtedness shall be subordinated in right of payment to such Obligations on terms at least as favorable to the Lenders as those contained in the documentation governing the Indebtedness being Refinanced, (e) no Permitted
Refinancing Indebtedness shall have different obligors, or greater guarantees or security, than the Indebtedness being Refinanced, and (f) if the Indebtedness being Refinanced is secured by any collateral (whether equally and ratably with, or
junior to, the Secured Parties or otherwise), such Permitted Refinancing Indebtedness may be secured by such collateral (including in respect of working capital facilities of Foreign Subsidiaries otherwise permitted under this Agreement only, any
collateral pursuant to after-acquired property clauses to the extent any such collateral secured the Indebtedness being Refinanced) on terms no less favorable to the Secured Parties than those contained in the documentation governing the
Indebtedness being Refinanced. 
 “Person” shall mean any natural person, corporation, business trust, joint
venture, association, company, partnership, limited liability company, individual or family trusts, or government or any agency or political subdivision thereof. 

“Pipeline Systems” shall mean, collectively, (a) the natural gas gathering pipelines located in the southern
portion of the Fort Worth Basin in the State of Texas that are owned by the Loan Parties in connection with their Midstream Activities, and (b) any other pipelines now or hereafter owned by any Loan Party that are used in connection with their
Midstream Activities. 
 “Plan” shall mean with respect to any Person resident in the United States, any
employee pension benefit plan subject to the provisions of Title IV of ERISA or Section 412 or 430 of the Code or Section 302 of ERISA and in respect of which the Borrower, any Subsidiary of the Borrower or any ERISA Affiliate is (or if
such plan were terminated would under Section 4069 of ERISA be deemed to be) an “employer” as defined in Section 3(5) of ERISA. 

“Platform” shall have the meaning assigned to such term in Section 9.17(b). 

“Pledged Collateral”, with respect to particular Collateral, shall have the meaning assigned to such term in the
Collateral Agreement applicable to such Collateral. 
 “primary obligor” shall have the meaning given such term
in the definition of the term “Guarantee.” 
 “Prior Liens” shall mean those Liens and other
encumbrances permitted by paragraphs (a), (c), (d), (e), (f), (i), (j), (l), (n), (o), (p), (q), (r), (dd), or (ff) of Section 6.02; provided that with licenses permitted under paragraphs (q) or (ff) of Section 6.02 shall
be deemed “Prior Liens” solely to the extent that such licenses are non-exclusive. 
  

 31 

 “Pro Forma Basis” shall mean, as to any Person, for any events as described
in clauses (a) and (b) below that occur subsequent to the commencement of a period for which the financial effect of such events is being calculated, and giving effect to the events for which such calculation is being made, such
calculation as will give pro forma effect to such events as if such events occurred on the first day of the four consecutive fiscal quarter period ended on or before the occurrence of such event (the “Reference Period”):

 (a) in making any determination of EBITDA on a Pro Forma Basis, pro forma effect shall be given to any
Asset Disposition and to any Asset Acquisition (or any similar transaction or transactions that require a waiver or consent of the Required Lenders pursuant to Section 6.04 or 6.05), in each case that occurred during the Reference Period (or,
unless the context otherwise requires, occurring during the Reference Period or thereafter and through and including the date upon which the respective Asset Acquisition or Asset Disposition is consummated); and 

(b) in making any determination on a Pro Forma Basis, (x) all Indebtedness (including Indebtedness incurred or
assumed and for which the financial effect is being calculated, whether incurred under this Agreement or otherwise, but excluding normal fluctuations in revolving Indebtedness incurred for working capital purposes) incurred or permanently repaid
during the Reference Period shall be deemed to have been incurred or repaid at the beginning of such period, (y) Interest Expense of such Person attributable to interest on any Indebtedness, for which pro forma effect is being given as
provided in preceding clause (x), bearing floating interest rates shall be computed on a pro forma basis as if the rates that would have been in effect during the period for which pro forma effect is being given had been actually
in effect during such periods and (z) with respect to distributions made pursuant to Section 6.06(e), pro forma effect shall be given to the decrease in cash and Permitted Investments resulting from such distributions. 

Pro forma calculations made pursuant to the definition of the term “Pro Forma Basis” shall be determined in good faith by a Responsible
Officer of the Borrower and, for any fiscal period ending on or prior to the first anniversary of an Asset Acquisition or Asset Disposition (or any similar transaction or transactions that require a waiver or consent of the Required Lenders pursuant
to Section 6.04 or 6.05), may include adjustments to reflect operating expense reductions and other operating improvements or synergies reasonably expected to result from such Asset Acquisition, Asset Disposition or other similar transaction,
to the extent that the Borrower delivers to the Administrative Agent (i) a certificate of the General Partner or a Financial Officer of the Borrower setting forth such operating expense reductions and other operating improvements or synergies
and (ii) information and calculations supporting in reasonable detail such estimated operating expense reductions and other operating improvements or synergies. 

“Processing Plants” shall mean, collectively, (a) the natural gas processing plant located in Hood County, Texas
that is owned by Cowtown Gas and that is used in the Loan Parties’ Midstream Activities and is integrated with the Pipeline Systems described in clause (a) of the definition thereof, and (b) any other processing plants and terminals
now or hereafter owned by the Loan Parties. 
 “Projections” shall mean the projections of the Borrower and its
Subsidiaries included in the Information Memorandum and any other projections and any forward-looking statements (including statements with respect to booked business) of such entities furnished to the Lenders or the Administrative Agent by or on
behalf of the Borrower or any of its Subsidiaries prior to the Closing Date. 
 “Property” means any interest
in any kind of property or asset, whether real, personal or mixed, tangible or intangible. 
 “PUHCA” shall
have the meaning assigned to such term in Section 3.08(c). 
  

 32 

 “Real Property” shall mean, collectively, all right, title and interest of
the Borrower or any other Loan Party in and to any and all parcels of real property owned or leased by the Borrower or any other Loan Party together with all Improvements and appurtenant fixtures, easements and other property and rights incidental
to the ownership, lease or operation thereof. Where the Loan Documents refer to Real Property as being owned by a Loan Party, this shall be deemed to include all right, title and interest in Real Property owned or held by such Loan Party (other than
leasehold interests), whether by contract or otherwise, including rights and interests in easements and rights of way. 

“Reference Period” shall have the meaning assigned to such term in the definition of the term “Pro Forma
Basis.” 
 “Refinance” shall have the meaning assigned to such term in the definition of the term
“Permitted Refinancing Indebtedness,” and “Refinanced” shall have a meaning correlative thereto. 

“Refinanced Term Loans” shall have the meaning assigned to such term in Section 9.08(e). 

“Register” shall have the meaning assigned to such term in Section 9.04(b). 

“Regulation S-X” shall mean Regulation S-X promulgated under the Securities Act. 

“Regulation U” shall mean Regulation U of the Board as from time to time in effect and all official rulings and
interpretations thereunder or thereof. 
 “Regulation X” shall mean Regulation X of the Board as from time to
time in effect and all official rulings and interpretations thereunder or thereof. 
 “Related Parties” shall
mean, with respect to any specified Person, such Person’s Affiliates and the respective directors, officers, employees, agents and advisors of such Person and such Person’s Affiliates. 

“Release” shall mean any placing, spilling, leaking, seepage, pumping, pouring, emitting, emptying, discharging,
injecting, escaping, leaching, dumping, disposing or depositing in, into or onto the Environment. 
 “Relevant
Subsidiaries” shall mean each Material Subsidiary and each other Subsidiary Loan Party. 
 “Remaining Present
Value” shall mean, as of any date with respect to any lease, the present value as of such date of the scheduled future lease payments with respect to such lease, determined with a discount rate equal to a market rate of interest for such
lease reasonably determined at the time such lease was entered into. 
 “Replacement Term Loans” shall have the
meaning assigned to such term in Section 9.08(e). 
 “Reportable Event” shall mean any reportable event as
defined in Section 4043(c) of ERISA or the regulations issued thereunder, other than those events as to which the 30-day notice period has been waived, with respect to a Plan. 

 

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 “Required Lenders” shall mean, at any time, Lenders having (a) Loans
(other than Swingline Loans) outstanding, (b) Revolving L/C Exposures, (c) Swingline Exposures and (d) Available Unused Commitments, that taken together, represent more than 50% of the sum of all (w) Loans (other than Swingline
Loans) outstanding, (x) Revolving L/C Exposures, (y) Swingline Exposures, and (z) the total Available Unused Commitments at such time. 

“Responsible Officer” of any Person shall mean any executive officer, Financial Officer, director, general partner,
managing member or sole member of such Person and any other officer or similar official thereof responsible for the administration of the obligations of such Person in respect of this Agreement. 

“Revolving Facility” shall mean the Revolving Facility Commitments and the extensions of credit made hereunder by the
Revolving Facility Lenders. 
 “Revolving Facility Borrowing” shall mean a Borrowing comprised of Revolving
Facility Loans. 
 “Revolving Facility Commitment” shall mean, with respect to each Revolving Facility Lender,
the commitment of such Revolving Facility Lender to make Eurodollar Loans and ABR Loans pursuant to Section 2.01 representing the maximum aggregate permitted amount of such Revolving Facility Lender’s Revolving Facility Credit Exposure
hereunder, as such commitment may be (a) reduced from time to time pursuant to Section 2.08 and (b) reduced or increased from time to time pursuant to assignments by or to such Lender under Section 9.04. The initial amount of
each Revolving Facility Lender’s Revolving Facility Commitment is set forth on Schedule 2.01, or in the Assignment and Acceptance pursuant to which such Revolving Facility Lender shall have assumed its Revolving Facility Commitment,
as applicable. The aggregate amount of the Revolving Facility Commitments on the date hereof is U.S.$400.0 million. To the extent applicable, Revolving Facility Commitments shall include the Incremental Revolving Facility Commitments of any
Incremental Revolving Facility Lender. 
 “Revolving Facility Credit Exposure” shall mean, at any time, the sum
of (a) the aggregate principal amount of the Revolving Facility Loans outstanding at such time, (b) the Swingline Exposure at such time and (c) the Revolving L/C Exposure at such time. The Revolving Facility Credit Exposure of any
Revolving Facility Lender at any time shall be the sum of (a) the aggregate principal amount of such Revolving Facility Lender’s Revolving Facility Loans outstanding at such time and (b) such Revolving Facility Lender’s Revolving
Facility Percentage of the Swingline Exposure and Revolving L/C Exposure at such time. 
 “Revolving Facility
Lender” shall mean a Lender with a Revolving Facility Commitment or with outstanding Revolving Facility Loans (including any Incremental Revolving Facility Lender). 

“Revolving Facility Loan” shall mean a Loan made to the Borrower by a Revolving Facility Lender pursuant to
Section 2.01 or an Incremental Revolving Facility Lender pursuant to Section 2.20. Each Revolving Facility Loan shall be a Eurodollar Loan or an ABR Loan. 

“Revolving Facility Maturity Date” shall mean October 1, 2015 (or if such date is not a Business Day, the next
succeeding Business Day, unless such Business Day is in the next calendar month, in which case the next preceding Business Day). 

“Revolving Facility Percentage” shall mean, with respect to any Revolving Facility Lender, the percentage of the total
Revolving Facility Commitments represented by such Lender’s Revolving Facility Commitment. If the Revolving Facility Commitments have terminated or expired, the Revolving Facility Percentages shall be determined based upon the Revolving
Facility Commitments most recently in effect, giving effect to any assignments pursuant to Section 9.04. 
  

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 “Revolving L/C Commitment” shall mean, with respect to each Issuing Bank,
the commitment of such Issuing Bank to issue Revolving Letters of Credit pursuant to Section 2.05, as such commitment may be (a) ratably reduced from time to time upon any reduction in the Revolving Facility Commitments pursuant to
Section 2.08 and (b) reduced or increased from time to time pursuant to assignments by or to such Issuing Bank under Section 9.04. The amount of each Issuing Banks’ Revolving L/C Commitment as of the Closing Date is set forth in
Schedule 2.01, or in the Assignment and Acceptance pursuant to which such Issuing Bank shall have assumed its Revolving L/C Commitment, as applicable. The aggregate amount of the Revolving L/C Commitments of the Issuing Bank on the date
hereof is U.S.$100.0 million. 
 “Revolving L/C Disbursement” shall mean a payment or disbursement made by
an Issuing Bank pursuant to a Revolving Letter of Credit, including, for the avoidance of doubt, a payment or disbursement made by an Issuing Bank pursuant to a Revolving Letter of Credit upon or following the reinstatement of such Revolving Letter
of Credit. 
 “Revolving L/C Exposure” shall mean at any time the sum of (a) the aggregate undrawn amount
of all Revolving Letters of Credit outstanding at such time and (b) the aggregate principal amount of all Revolving L/C Disbursements that have not yet been reimbursed at such time. The Revolving L/C Exposure of any Revolving Facility Lender at
any time shall mean its Revolving Facility Percentage of the aggregate Revolving L/C Exposure at such time. 

“Revolving L/C Participation Fees” shall have the meaning set forth in Section 2.12(b). 

“Revolving L/C Reimbursement Obligation” shall mean the Borrower’s obligation to repay Revolving L/C Disbursements
as provided in Sections 2.05(e) and (f). 
 “Revolving Letter of Credit” shall mean any letter of credit
issued pursuant to Section 2.05. 
 “rights of way” shall have the meaning assigned to such term in
Section 3.17(b). 
 “S&P” shall mean Standard & Poor’s Ratings Services, Inc., a
division of The McGraw-Hill Companies, Inc. 
 “Sale and Lease-Back Transaction” shall have the meaning
assigned to such term in Section 6.03. 
 “SEC” shall mean the Securities and Exchange Commission or any
successor thereto. 
 “Secured Parties” shall have the meaning ascribed to such term in the Collateral
Agreement and collectively shall mean all such parties. 
 “Secured Cash Management Agreement” shall mean any
Cash Management Agreement that is entered into by and between any Loan Party and any Cash Management Bank. 
 “Secured
Swap Agreement” shall mean any Swap Agreement permitted under this Agreement that is entered into by and between the Borrower and any Specified Swap Counterparty. 

“Securities Act” shall mean the Securities Act of 1933, as amended. 

 

 35 

 “Security Documents” shall mean the Mortgages, the Collateral Agreement and
each of the security agreements and other instruments and documents executed and delivered pursuant to any of the foregoing, the Collateral and Guarantee Requirement or Section 5.10. 

“Seller” shall have the meaning assigned to such term in the second recital hereto. 

“Specified Acquisition Agreement Representations” shall mean such of the representations and warranties relating to
Holdings or any of its Subsidiaries in the Acquisition Agreement as are material to the interests of the Lenders, but only to the extent that HoldCo has the right to terminate its obligations under the Acquisition Agreement or the right to not
consummate the Acquisition as a result of a breach of such representations and warranties in the Acquisition Agreement. 

“Specified Swap Counterparty” shall mean any Person that, at the time it enters into a Swap Agreement, is a Lender, an
Agent or a Joint Lead Arranger or an Affiliate of a Lender, an Agent or a Joint Lead Arranger, in its capacity as a party to such Swap Agreement. 

“Specified Representations” shall mean the representations and warranties set forth in Sections 3.01, 3.02(a),
3.02(b)(i)(A) (solely to the extent such conflict has resulted in a Material Adverse Effect (as defined in the Acquisition Agreement)), 3.02(b)(i)(B), 3.03, 3.09, 3.10, 3.18 and 3.22. 

“Sponsor Affiliate” shall mean (i) each Affiliate of a Sponsor that is neither a portfolio company nor a company
controlled by a portfolio company and (ii) each general partner of a Sponsor or Sponsor Affiliate who is a partner or employee of First Reserve Corporation. 

“Sponsors” shall have the meaning assigned to such term in the first recital hereto. 

“Statutory Reserves” shall mean a fraction (expressed as a decimal), the numerator of which is the number one and the
denominator of which is the number one minus the aggregate of the maximum reserve percentages (including any marginal, special, emergency or supplemental reserves) expressed as a decimal established by the Board and any other banking authority,
domestic or foreign, to which the Administrative Agent, any Lender or any Issuing Bank (including any branch, Affiliate or other fronting office making or holding a Loan or issuing a Revolving Letter of Credit) is subject for eurocurrency funding
(currently referred to as “Eurocurrency Liabilities” in Regulation D). Eurodollar Loans shall be deemed to constitute eurocurrency funding and to be subject to such reserve requirements without benefit of or credit for proration,
exemptions or offsets that may be available from time to time to the Administrative Agent, any Lender or any Issuing Bank under such Regulation D or any comparable regulation. Statutory Reserves shall be adjusted automatically on and as of the
effective date of any change in any reserve percentage. 
 “Subordinated Intercompany Debt” shall have the
meaning assigned to such term in Section 6.01(e). 
 “Subsidiary” shall mean, with respect to any Person
(herein referred to as the “parent”), any corporation, partnership, association, joint venture, limited liability company or other business entity of which securities or other ownership interests representing more than 50% of the
equity or more than 50% of the ordinary voting power or more than 50% of the general partnership interests are, at the time any determination is being made, directly or indirectly, owned, Controlled or held by such Person. Unless otherwise
specified, all references herein to a “Subsidiary” or to “Subsidiaries” shall refer to a Subsidiary or Subsidiaries of the Borrower. 
  

 36 

 “Subsidiary Loan Party” shall mean each direct or indirect Wholly Owned
Subsidiary of the Borrower that (a) (i) is a Domestic Subsidiary and (ii) is a Material Subsidiary, and is not a Subsidiary whose guarantee of the Obligations is prohibited under Section 9.21 or (b) at the option of the Borrower
executes and delivers the Collateral Agreement and otherwise satisfies the Collateral and Guarantee Requirement. 

“Supplemental Collateral Agent” shall have the meaning assigned to such term in Section 8.13(a). 

“Swap Agreement” shall mean any agreement with respect to any swap, forward, future or derivative transaction or option
or similar agreement involving, or settled by reference to, one or more rates, currencies, commodities, equity or debt instruments or securities, or economic, financial or pricing indices or measures of economic, financial or pricing risk or value
or any similar transaction or any combination of these transactions, provided that no phantom stock or similar plan providing for payments only on account of services provided by current or former directors, officers, employees or consultants
of the Borrower or any of its Subsidiaries or any Parent Company of the Borrower shall be a Swap Agreement. 

“Swingline Borrowing” shall mean a Borrowing comprised of Swingline Loans. 

“Swingline Borrowing Request” shall mean a request by the Borrower substantially in the form of Exhibit C-2.

 “Swingline Commitment” shall mean, with respect to each Swingline Lender, the commitment of such Swingline
Lender to make Swingline Loans pursuant to Section 2.04. The aggregate amount of the Swingline Commitments on the Closing Date is U.S.$10 million. 

“Swingline Exposure” shall mean at any time the aggregate principal amount of all outstanding Swingline Borrowings at
such time. The Swingline Exposure of any Revolving Facility Lender at any time shall mean its Revolving Facility Percentage of the aggregate Swingline Exposure at such time. 

“Swingline Lender” shall mean BNP, in its capacity as a lender of Swingline Loans, and/or any other Revolving Facility
Lender designated as such by the Borrower after the Closing Date that is reasonably satisfactory to the Borrower and the Administrative Agent and executes a counterpart to this Agreement as a Swingline Lender. 

“Swingline Loans” shall mean the swingline loans made to the Borrower pursuant to Section 2.04. 

“Syndication Agents” shall have the meaning assigned to such term in the introductory paragraph of this Agreement.

 “Taxes” shall mean any and all present or future taxes, levies, imposts, duties (including stamp duties),
deductions, charges (including ad valorem charges) or withholdings imposed by any Governmental Authority and any and all additions to tax, interest and penalties related thereto. 

“Test Period” shall mean, at any date of determination, the most recently completed four consecutive fiscal quarters of
the Borrower ending on or prior to such date. 
 “Transaction Documents” shall mean the Acquisition Documents
and the Loan Documents. 
  

 37 

 “Transactions” shall mean, collectively, the transactions to occur on,
prior to or immediately after the Closing Date pursuant to the Transaction Documents, including (a) the consummation of the Acquisition; (b) the execution and delivery of the Loan Documents and the initial borrowings hereunder;
(c) the Closing Date Refinancing; and (d) the payment of all fees and expenses owing in connection with the foregoing. 

“Trigger Date” shall mean the first date of delivery of financial statements after the Closing Date pursuant to
Section 5.04(a) or (b). 
 “Type,” when used in respect of any Loan or Borrowing, shall refer to the Rate
by reference to which interest on such Loan or on the Loans comprising such Borrowing is determined. For purposes hereof, the term “Rate” shall include the Adjusted Eurodollar Rate and the Alternate Base Rate. 

“UCC” shall mean (a) the Uniform Commercial Code as in effect in the applicable jurisdiction and
(b) certificate of title or other similar statutes relating to “rolling stock” or barges as in effect in the applicable jurisdiction. 

“U.S. Bankruptcy Code” shall mean Title 11 of the United States Code, as amended, or any similar federal or state law
for the relief of debtors. 
 “U.S. Dollars” or “U.S.$” shall mean the lawful currency of the
United States of America. 
 “U.S.A. PATRIOT Act” shall have the meaning assigned to such term in
Section 3.08(a). 
 “Wholly Owned Subsidiary” of any Person shall mean a Subsidiary of such Person, all of
the Equity Interests of which (other than directors’ qualifying shares or nominee or other similar shares required pursuant to applicable law) are owned, directly or indirectly, by such Person or any other Wholly Owned Subsidiary of such
Person. 
 “Withdrawal Liability” shall mean liability to a Multiemployer Plan as a result of a complete or
partial withdrawal from such Multiemployer Plan, as such terms are defined in Part I of Subtitle E of Title IV of ERISA. 

Section 1.02. Terms Generally. The definitions set forth or referred to in Section 1.01 shall apply equally to both the
singular and plural forms of the terms defined. Whenever the context may require, any pronoun shall include the corresponding masculine, feminine and neuter forms. The words “include,” “includes” and “including” shall
be deemed to be followed by the phrase “without limitation.” All references herein to Articles, Sections, Exhibits and Schedules shall be deemed references to Articles and Sections of, and Exhibits and Schedules to, this Agreement unless
the context shall otherwise require. Except as otherwise expressly provided herein, any reference in this Agreement to any Loan Document shall mean such document as amended, restated, supplemented or otherwise modified from time to time. Except as
otherwise expressly provided herein, all financial statements to be delivered pursuant to this Agreement shall be prepared in accordance with United States generally accepted accounting principles applied on a consistent basis
(“GAAP”) and all terms of an accounting or financial nature shall be construed and interpreted in accordance with GAAP, as in effect from time to time; provided that, if the Borrower notifies the Administrative Agent that the
Borrower requests an amendment to any provision hereof to eliminate the effect of any change occurring after the Closing Date in GAAP or in the application thereof on the operation of such provision (or if the Administrative Agent notifies the
Borrower that the Required Lenders request an amendment to any provision hereof for such purpose), regardless of whether any such notice is given before or after such change in GAAP or in the application 

 

 38 

 
thereof, then such provision shall be interpreted on the basis of GAAP as in effect and applied immediately before such change shall have become effective until such notice shall have been
withdrawn or such provision amended in accordance herewith; provided further that, notwithstanding the foregoing, upon and following the acquisition of any business or new Subsidiary by the Borrower in accordance with this Agreement, in each
case that would not constitute a “significant subsidiary” for purposes of Regulation S-X, financial items and information with respect to such newly-acquired business or Subsidiary that are required to be included in determining any
financial calculations and other financial ratios contained herein for any period prior to such acquisition shall not be required to be in accordance with GAAP so long as the Borrower is able to reasonably estimate pro forma adjustments in
respect of such acquisition for such prior periods, and in each case such estimates are made in good faith and are factually supportable. 

Section 1.03. Effectuation of Transfers. Each of the representations and warranties of the Borrower contained in this Agreement
(and all corresponding definitions) are made after giving effect to the Transactions, unless the context otherwise requires. 

ARTICLE II 
 THE
CREDITS 
 Section 2.01. Commitments. Subject to the terms and conditions set forth herein, each Revolving Facility
Lender agrees to make Revolving Facility Loans, in each case from time to time during the Availability Period, comprised of Eurodollar Loans and ABR Loans to the Borrower in U.S. Dollars in an aggregate principal amount that will not result in
(i) such Lender’s Revolving Facility Credit Exposure exceeding such Lender’s Revolving Facility Commitment and (ii) the Revolving Facility Credit Exposure exceeding the total Revolving Facility Commitments; provided,
that, the aggregate principal amount of Revolving Loans borrowed on the Closing Date, together with the aggregate face amount of any Revolving Letters of Credit issued on the Closing Date, shall not exceed U.S. $275.0 million. Within the
foregoing limits and subject to the terms and conditions set forth herein, the Borrower may borrow, prepay and reborrow Revolving Facility Loans. The Revolving Facility shall be available as ABR Loans or Eurodollar Loans. 

Section 2.02. Loans and Borrowings. (a) Each Loan to the Borrower shall be made as part of a Borrowing consisting of Loans
under the same Facility and of the same Type and in the same currency made by the Lenders ratably in accordance with their respective Commitments under the applicable Facility (or, in the case of Swingline Loans, ratably in accordance with their
respective Swingline Commitments); provided, however, that Revolving Facility Loans shall be made by the Revolving Facility Lenders ratably in accordance with their respective Revolving Facility Percentages on the date such Loans are made
hereunder. The failure of any Lender to make any Loan required to be made by it shall not relieve any other Lender of its obligations hereunder; provided that the Commitments of the Lenders are several and no Lender shall be responsible for
any other Lender’s failure to make Loans as required. 
 (b) Each Borrowing shall be comprised entirely of ABR Loans or
Eurodollar Loans as the Borrower may request in accordance herewith. 
 (c) At the commencement of each Interest Period for any
Eurodollar Borrowing, such Borrowing shall be in an aggregate amount that is an integral multiple of the Borrowing Multiple and not less than the Borrowing Minimum; provided that a Eurodollar Borrowing may be in an aggregate amount that is
equal to the entire unused balance of the Revolving Facility Commitments or that is required to finance the reimbursement of a Revolving L/C Disbursement as contemplated by 

 

 39 

 
Section 2.05(e). At the time that each ABR Borrowing by the Borrower is made, such Borrowing shall be in an aggregate amount that is an integral multiple of the Borrowing Multiple and not less
than the Borrowing Minimum; provided that an ABR Borrowing may be in an aggregate amount that is equal to the entire unused balance of the Revolving Facility Commitments or that is required to finance the reimbursement of a Revolving L/C
Disbursement as contemplated by Section 2.05(e). Each Swingline Borrowing by the Borrower shall be in an amount that is an integral multiple of the Borrowing Multiple and not less than the Borrowing Minimum. Borrowings of more than one Type and
under more than one Facility may be outstanding at the same time; provided that there shall not at any time be more than a total of (i) ten (10) Interest Periods in respect of Borrowings outstanding under the Revolving Facility and
(ii) five (5) Interest Periods in respect of Borrowings outstanding under all other Facilities. 
 (d) Notwithstanding
any other provision of this Agreement, the Borrower shall not be entitled to request, or to elect to convert or continue, any Borrowing if the Interest Period requested with respect thereto would end after, in the case of Revolving Loans, the
Revolving Facility Maturity Date and, in the case of Incremental Term Loans, the applicable Incremental Facility Maturity Date. 

Section 2.03. Requests for Borrowings. To request a Revolving Facility Borrowing and/or a Borrowing of Incremental Term Loans, the
Borrower shall notify the Administrative Agent of such request by telephone (i) in the case of a Borrowing consisting of Eurodollar Loans, not later than 11:00 a.m., New York City time, three (3) Business Days before the date of the
proposed Borrowing or (ii) in the case of a Borrowing consisting of ABR Loans, not later than 12:00 noon, New York City time, one (1) Business Day before the date of the proposed Borrowing. Each such telephonic Borrowing Request shall be
irrevocable and shall be confirmed promptly (but in any event on the same day) by hand delivery or telecopy to the Administrative Agent of a written Borrowing Request in a form approved by the Administrative Agent and signed by the Borrower. Each
such telephonic and written Borrowing Request shall specify the following information in compliance with Section 2.02: 

(a) whether the requested Borrowing is to be Revolving Facility Borrowing or a Borrowing of Incremental Term Loans;

 (b) the aggregate amount of the requested Borrowing; 

(c) the date of such Borrowing, which shall be a Business Day; 

(d) whether such Borrowing is to be an ABR Borrowing or a Eurodollar Borrowing; 

(e) in the case of a Borrowing consisting of a Eurodollar Loan, the initial Interest Period to be applicable thereto; and

 (f) the location and number of the Borrower’s account to which funds are to be disbursed. 

If no election as to the Type of Borrowing is specified, then the requested Borrowing shall be an ABR Borrowing. If no Interest Period is
specified with respect to any requested Eurodollar Borrowing, then the Borrower shall be deemed to have selected an Interest Period of one month’s duration. Promptly following receipt of a Borrowing Request in accordance with this Section, the
Administrative Agent shall advise each Lender of the details thereof and of the amount of such Lender’s Loan to be made as part of the requested Borrowing. 
  

 40 

 Section 2.04. Swingline Loans. (a) Subject to the terms and conditions set forth
herein, each Swingline Lender agrees to make Swingline Loans to the Borrower from time to time during the Availability Period in U.S. Dollars, in an aggregate principal amount at any time outstanding that will not result in (x) the aggregate
principal amount of outstanding Swingline Loans exceeding the Swingline Commitment, (y) the outstanding Swingline Loans of such Swingline Lender exceeding such Swingline Lender’s Swingline Commitments or (z) the Revolving Facility
Credit Exposure exceeding the total Revolving Facility Commitments; provided that no Swingline Lender shall be required to make a Swingline Loan to refinance an outstanding Swingline Borrowing. Within the foregoing limits and subject to the
terms and conditions set forth herein, the Borrower may borrow, prepay and reborrow Swingline Loans. All Swingline Loans shall be ABR Loans under this Agreement. 

(b) To request a Swingline Borrowing, the Borrower shall notify the Swingline Lenders of such request by telephone (confirmed by a
Swingline Borrowing Request by telecopy) not later than 11:00 a.m., New York City time on the day of the proposed Swingline Borrowing. Each such notice and Swingline Borrowing Request shall be irrevocable and shall specify (i) the
requested date (which shall be a Business Day), (ii) the amount of the requested Swingline Borrowing, (iii) the term of such Swingline Loan, and (iv) the location and number of the Borrower’s account to which funds are to be
disbursed. Each Swingline Lender shall make each Swingline Loan to be made by it hereunder in accordance with Section 2.02(a) on the proposed date thereof by wire transfer of immediately available funds by 3:00 p.m., New York City time, to the
account of the Borrower (or, in the case of a Swingline Borrowing made to finance the reimbursement of a Revolving L/C Disbursement as provided in Section 2.05(e), by remittance to the applicable Issuing Bank). 

(c) A Swingline Lender may by written notice given to the Administrative Agent (and to the other Swingline Lenders) not later than
10:00 a.m., New York City time on any Business Day, require the Revolving Facility Lenders to acquire participations on such Business Day in all or a portion of the outstanding Swingline Loans made by it. Such notice shall specify the aggregate
amount of such Swingline Loans in which the Revolving Facility Lenders will participate. Promptly upon receipt of such notice, the Administrative Agent will give notice thereof to each such Lender, specifying in such notice such Lender’s
Revolving Facility Percentage of such Swingline Loan or Loans. Each Revolving Facility Lender hereby absolutely and unconditionally agrees, upon receipt of notice as provided above, to pay to the Administrative Agent for the account of the
applicable Swingline Lender, such Revolving Facility Lender’s Revolving Facility Percentage of such Swingline Loan or Loans. Each Revolving Facility Lender acknowledges and agrees that its respective obligation to acquire participations in
Swingline Loans pursuant to this paragraph is absolute and unconditional and shall not be affected by any circumstance whatsoever, including the occurrence and continuance of a Default or reduction or termination of the Commitments, and that each
such payment shall be made without any offset, abatement, withholding or reduction whatsoever. Each Revolving Facility Lender shall comply with its obligation under this paragraph by wire transfer of immediately available funds, in the same manner
as provided in Section 2.06 with respect to Loans made by such Revolving Facility Lender (and Section 2.06 shall apply, mutatis mutandis, to the payment obligations of the Lenders), and the Administrative Agent shall promptly pay to
the applicable Swingline Lender the amounts so received by it from the Revolving Facility Lenders. The Administrative Agent shall notify the Borrower of any participations in any Swingline Loan acquired pursuant to this paragraph (c), and
thereafter payments by the Borrower in respect of such Swingline Loan shall be made to the Administrative Agent and not to the applicable Swingline Lender. Any amounts received by a Swingline Lender from the Borrower (or any other party on behalf of
the Borrower) in respect of a Swingline Loan after receipt by such Swingline Lender of the proceeds of a sale of participations therein shall be remitted promptly to the Administrative Agent; any such amounts received by the Administrative Agent
shall be remitted promptly by the Administrative Agent to the Revolving Facility Lenders that shall have made their payments pursuant to this paragraph 

 

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and to such Swingline Lender, as their interests may appear; provided that any such payment so remitted shall be repaid to such Swingline Lender or to the Administrative Agent, as
applicable, if and to the extent such payment is required to be refunded to the Borrower for any reason. The purchase of participations in a Swingline Loan pursuant to this paragraph shall not relieve the Borrower of any default in the payment
thereof. 
 Section 2.05. Revolving Letters of Credit. (a) General. Subject to the terms and conditions set
forth herein, the Borrower may request the issuance of Revolving Letters of Credit denominated in U.S. Dollars for its own account or on behalf of any other Loan Party in a form reasonably acceptable to the applicable Issuing Bank, at any time and
from time to time during the Availability Period and prior to the date that is five (5) Business Days prior to the Revolving Facility Maturity Date; provided, that, the aggregate face amount of any Revolving Letters of Credit
issued on the Closing Date, together with the aggregate principal amount of any Revolving Loans borrowed on the Closing Date, shall not exceed U.S. $275.0 million. In the event of any inconsistency between the terms and conditions of this Agreement
and the terms and conditions of any form of letter of credit application or other agreement submitted by the Borrower to, or entered into by the Borrower with, an Issuing Bank relating to any Revolving Letter of Credit, the terms and conditions of
this Agreement shall control. 
 (b) Notice of Issuance, Amendment, Renewal, Extension; Certain Conditions. To request
the issuance of a Revolving Letter of Credit (or the amendment, renewal (other than an automatic renewal in accordance with paragraph (c) of this Section) or extension of an outstanding Revolving Letter of Credit), the Borrower shall hand
deliver or telecopy (or transmit by electronic communication, if arrangements for doing so have been approved by the applicable Issuing Bank) to the applicable Issuing Bank and the Administrative Agent two (2) Business Days in advance of the
requested date of issuance, amendment, renewal or extension, a notice requesting the issuance of a Revolving Letter of Credit, or identifying the Revolving Letter of Credit to be amended, renewed or extended, and specifying the date of issuance,
amendment, renewal or extension (which shall be a Business Day), the date on which such Revolving Letter of Credit is to expire (which shall comply with paragraph (c) of this Section), the amount of such Revolving Letter of Credit, the name and
address of the beneficiary thereof and such other information as shall be necessary to issue, amend, renew or extend such Revolving Letter of Credit. If requested by the applicable Issuing Bank, the Borrower also shall submit a letter of credit
application on such Issuing Bank’s standard form in connection with any request for a Revolving Letter of Credit. A Revolving Letter of Credit shall be issued, amended, renewed or extended only if (and upon issuance, amendment, renewal or
extension of each Revolving Letter of Credit the Borrower shall be deemed to represent and warrant that), after giving effect to such issuance, amendment, renewal or extension, (i) the Revolving Facility Credit Exposure shall not exceed the
total Revolving Facility Commitments and (ii) the aggregate available amount of all Revolving Letters of Credit issued by any Issuing Bank shall not exceed such Issuing Bank’s Revolving L/C Commitment. 

(c) Expiration Date. Each Revolving Letter of Credit shall expire at or prior to the close of business on the earlier of
(A) unless the applicable Issuing Bank agrees to a later expiration date, the date one (1) year after the date of the issuance of such Revolving Letter of Credit (or, in the case of any renewal or extension thereof, one year after such
renewal or extension) and (B) the date that is five (5) Business Days prior to the Revolving Facility Maturity Date; provided that any Revolving Letter of Credit with a one-year tenor may provide for the automatic renewal thereof
for additional one-year periods (which, in no event, shall extend beyond the date referred to in clause (B) of this paragraph (c)). Notwithstanding the foregoing, the Borrower may request the issuance of one or more Revolving Letters of
Credit that expire at or prior to the close of business on the date that is five (5) Business Days prior to the Revolving Facility Maturity Date; provided that the Revolving L/C Exposure in respect of Revolving Letters of Credit issued pursuant
to this sentence shall not exceed U.S.$10.0 million. 
  

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 (d) Participations. By the issuance of a Revolving Letter of Credit (or an amendment
to a Revolving Letter of Credit increasing the amount thereof) and without any further action on the part of the applicable Issuing Bank or the Revolving Facility Lenders, such Issuing Bank hereby grants to each Revolving Facility Lender, and each
Revolving Facility Lender hereby acquires from such Issuing Bank, a participation in such Revolving Letter of Credit equal to such Revolving Facility Lender’s Revolving Facility Percentage of the aggregate amount available to be drawn under
such Revolving Letter of Credit. In consideration and in furtherance of the foregoing, each Revolving Facility Lender hereby absolutely and unconditionally agrees to pay to the Administrative Agent in U.S. Dollars such Revolving Facility
Lender’s Revolving Facility Percentage of each Revolving L/C Disbursement made by such Issuing Bank not reimbursed by the Borrower on the date due as provided in paragraph (e) of this Section, or of any reimbursement payment required to be
refunded to the Borrower for any reason. Each Revolving Facility Lender acknowledges and agrees that its obligation to acquire participations pursuant to this paragraph in respect of Revolving Letters of Credit is absolute and unconditional and
shall not be affected by any circumstance whatsoever, including any amendment, renewal or extension of any Revolving Letter of Credit or the occurrence and continuance of a Default or Event of Default or reduction or termination of the Commitments,
and that each such payment shall be made without any offset, abatement, withholding or reduction whatsoever. 
 (e)
Reimbursement. If the applicable Issuing Bank shall make any Revolving L/C Disbursement in respect of a Revolving Letter of Credit, the Borrower shall reimburse such Revolving L/C Disbursement by paying to the Administrative Agent an amount
equal to such Revolving L/C Disbursement in U.S. Dollars, not later than 3:00 p.m., New York City time, on the Business Day immediately following the date the Borrower receives notice under paragraph (g) of this Section of such Revolving L/C
Disbursement; provided that the Borrower may, subject to the conditions to borrowing set forth herein, request in accordance with Section 2.03 that such payment be financed with an ABR Loan, a Eurodollar Loan or a Swingline Borrowing in
an equivalent amount, and, in each case to the extent so financed, the Borrower’s obligation to make such payment shall be discharged and replaced by the resulting Loan or Borrowing, as applicable; provided that in the case of any
Eurodollar Loan, such request must be made three Business Days prior to such refinancing in accordance with Section 2.03. If the Borrower fails to reimburse any Revolving L/C Disbursement when due, then the Administrative Agent shall promptly
notify the applicable Issuing Bank and each other Revolving Facility Lender of the applicable Revolving L/C Disbursement, the payment then due from the Borrower and, in the case of a Revolving Facility Lender, such Lender’s Revolving Facility
Percentage thereof. Promptly following receipt of such notice, each Revolving Facility Lender shall pay to the Administrative Agent in U.S. Dollars its Revolving Facility Percentage of the payment then due from the Borrower, in the same manner as
provided in Section 2.06 with respect to Loans made by such Lender (and Section 2.06 shall apply, mutatis mutandis, to the payment obligations of the Revolving Facility Lenders), and the Administrative Agent shall promptly pay to
the applicable Issuing Bank in U.S. Dollars the amounts so received by it from the Revolving Facility Lenders. Promptly following receipt by the Administrative Agent of any payment from the Borrower pursuant to this paragraph, the Administrative
Agent shall distribute such payment to the applicable Issuing Bank or, to the extent that Revolving Facility Lenders have made payments pursuant to this paragraph to reimburse such Issuing Bank, then to such Lenders and such Issuing Bank as their
interests may appear. Any payment made by a Revolving Facility Lender pursuant to this paragraph to reimburse an Issuing Bank for any Revolving L/C Disbursement (other than the funding of an ABR Loan, a Eurodollar Loan, or a Swingline Borrowing as
contemplated above) shall not constitute a Loan and shall not relieve the Borrower of its obligation to reimburse such Revolving L/C Disbursement. 
  

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 (f) Obligations Absolute. The obligation of the Borrower to reimburse Revolving L/C
Disbursements as provided in paragraph (e) of this Section shall be absolute, unconditional and irrevocable, and shall be performed strictly in accordance with the terms of this Agreement under any and all circumstances whatsoever and
irrespective of (i) any lack of validity or enforceability of any Revolving Letter of Credit or this Agreement, or any term or provision therein, (ii) any draft or other document presented under a Revolving Letter of Credit proving to be
forged, fraudulent or invalid in any respect or any statement therein being untrue or inaccurate in any respect, (iii) payment by the applicable Issuing Bank under a Revolving Letter of Credit against presentation of a draft or other document
that does not strictly comply with the terms of such Revolving Letter of Credit or (iv) any other event or circumstance whatsoever, whether or not similar to any of the foregoing, that might, but for the provisions of this Section, constitute a
legal or equitable discharge of, or provide a right of setoff against, the Borrower’s obligations hereunder; provided that, in each case, payment by the Issuing Bank shall not have constituted gross negligence or willful misconduct.
Neither the Administrative Agent, the Lenders nor any Issuing Bank, nor any of their Related Parties, shall have any liability or responsibility by reason of or in connection with the issuance or transfer of any Revolving Letter of Credit or any
payment or failure to make any payment thereunder (irrespective of any of the circumstances referred to in the preceding sentence), or any error, omission, interruption, loss or delay in transmission or delivery of any draft, notice or other
communication under or relating to any Revolving Letter of Credit (including any document required to make a drawing thereunder), any error in interpretation of technical terms or any consequence arising from causes beyond the control of such
Issuing Bank; provided that the foregoing shall not be construed to excuse the applicable Issuing Bank from liability to the Borrower to the extent of any direct damages (as opposed to consequential damages, claims in respect of which are
hereby waived by the Borrower to the extent permitted by applicable law) suffered by the Borrower that are determined by a court having jurisdiction to have been caused by (A) such Issuing Bank’s failure to exercise reasonable care when
determining whether drafts and other documents presented under a Revolving Letter of Credit comply with the terms thereof or (B) such Issuing Bank’s refusal to issue a Revolving Letter of Credit in accordance with the terms of this
Agreement. The parties hereto expressly agree that, in the absence of gross negligence or willful misconduct on the part of the applicable Issuing Bank, such Issuing Bank shall be deemed to have exercised reasonable care in each such determination
and each refusal to issue a Revolving Letter of Credit. In furtherance of the foregoing and without limiting the generality thereof, the parties agree that, with respect to documents presented which appear on their face to be in substantial
compliance with the terms of a Revolving Letter of Credit, the applicable Issuing Bank may, in its sole discretion, either accept and make payment upon such documents without responsibility for further investigation, regardless of any notice or
information to the contrary, or refuse to accept and make payment upon such documents if such documents are not in strict compliance with the terms of such Revolving Letter of Credit. 

(g) Disbursement Procedures. The applicable Issuing Bank shall, promptly following its receipt thereof, examine all documents
purporting to represent a demand for payment under a Revolving Letter of Credit. Such Issuing Bank shall promptly notify the Administrative Agent and the Borrower by telephone (confirmed by telecopy) of such demand for payment and whether such
Issuing Bank has made or will make a Revolving L/C Disbursement thereunder; provided that any failure to give or delay in giving such notice shall not relieve the Borrower of its obligation to reimburse such Issuing Bank and the Revolving
Facility Lenders with respect to any such Revolving L/C Disbursement. 
 (h) Interim Interest. If an Issuing Bank shall
make any Revolving L/C Disbursement, then, unless the Borrower shall reimburse such Revolving L/C Disbursement in full on the date such Revolving L/C Disbursement is made, the unpaid amount thereof shall bear interest, for each day from and
including the date such Revolving L/C Disbursement is made to but excluding the date that the Borrower reimburses such Revolving L/C Disbursement, at the rate per annum equal to the rate per annum then applicable to ABR Loans; provided that,
if such Revolving L/C Disbursement is not reimbursed by the Borrower when due pursuant to paragraph (e) of this Section, then Section 2.13(c) shall 

 

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apply. Interest accrued pursuant to this paragraph shall be for the account of the applicable Issuing Bank, except that interest accrued on and after the date of payment by any Revolving Facility
Lender pursuant to paragraph (e) of this Section to reimburse such Issuing Bank shall be for the account of such Revolving Facility Lender to the extent of such payment. 

(i) Replacement of an Issuing Bank. An Issuing Bank may be replaced at any time by written agreement among the Borrower, the
Administrative Agent, the replaced Issuing Bank and the successor Issuing Bank. The Administrative Agent shall notify the Lenders of any such replacement of an Issuing Bank. At the time any such replacement shall become effective, the Borrower shall
pay all unpaid fees accrued for the account of the replaced Issuing Bank pursuant to Section 2.12. From and after the effective date of any such replacement, (i) the successor Issuing Bank shall have all the rights and obligations of the
replaced Issuing Bank under this Agreement with respect to Revolving Letters of Credit to be issued thereafter and (ii) references herein to the term “Issuing Bank” shall be deemed to refer to such successor or to any previous
Issuing Bank, or to such successor and all previous Issuing Banks, as the context shall require. After the replacement of an Issuing Bank hereunder, the replaced Issuing Bank shall remain a party hereto and shall continue to have all the rights and
obligations of such Issuing Bank under this Agreement with respect to Revolving Letters of Credit issued by it prior to such replacement but shall not be required to issue additional Revolving Letters of Credit. 

(j) Cash Collateralization. If any Event of Default shall occur and be continuing, (i) in the case of an Event of Default
described in Section 7.01(h) or 7.01(i), as provided in the following proviso or (ii) in the case of any other Event of Default, on the third Business Day following the date on which the Borrower receives notice from the Administrative
Agent (or, if the maturity of the Loans has been accelerated, Revolving Facility Lenders with Revolving L/C Exposure representing greater than 50% of the total Revolving L/C Exposure) demanding the deposit of cash collateral pursuant to this
paragraph, the Borrower shall deposit in an account with the Administrative Agent (or an account in the name of the Administrative Agent with another institution designated by the Administrative Agent), in the name of the Administrative Agent and
for the benefit of the Lenders, an amount in cash in U.S. Dollars equal to the Revolving L/C Exposure in respect of the Borrower as of such date plus any accrued and unpaid interest thereon; provided that, upon the occurrence of any Event of
Default with respect to the Borrower described in clause (h) or (i) of Section 7.01, the obligation to deposit such cash collateral shall become effective immediately, and such deposit shall become immediately due and payable in U.S.
Dollars, without demand or other notice of any kind. The Borrower also shall deposit cash collateral pursuant to this paragraph as and to the extent required by Section 2.11(b). Each such deposit pursuant to this paragraph or pursuant to
Section 2.11(b) shall be held by the Administrative Agent as collateral for the payment and performance of the obligations of the Borrower under this Agreement. The Administrative Agent shall control, including the exclusive right of
withdrawal, such account. Other than any interest earned on the investment of such deposits, which investments shall be made at the option and sole discretion of (A) for so long as an Event of Default shall be continuing, the Administrative
Agent and (B) at any other time, the Borrower, in each case, in term deposits constituting Permitted Investments and at the risk and expense of the Borrower, such deposits shall not bear interest. Interest or profits, if any, on such
investments shall accumulate in such account. Moneys in such account shall be applied by the Administrative Agent to reimburse each Issuing Bank for Revolving L/C Disbursements for which such Issuing Bank has not been reimbursed and, to the extent
not so applied, shall be held for the satisfaction of the Revolving L/C Reimbursement Obligations of the Borrower for the Revolving L/C Exposure at such time or, if the maturity of the Loans to the Borrower has been accelerated (but subject to the
consent of Revolving Facility Lenders with Revolving L/C Exposure representing greater than 50% of the total Revolving L/C Exposure), be applied to satisfy other obligations of the Borrower under this Agreement. If the Borrower is required to
provide an amount of cash collateral hereunder as a result of the occurrence of an Event of Default, such amount (to the extent not applied as aforesaid) shall be returned to the 

 

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Borrower within three (3) Business Days after all Events of Default have been cured or waived. If the Borrower is required to provide an amount of cash collateral hereunder pursuant to
Section 2.11(b), such amount together with interest thereon (to the extent not applied as aforesaid) shall be returned to the Borrower as and to the extent that, after giving effect to such return, the Borrower would remain in compliance with
Section 2.11(b) and no Event of Default shall have occurred and be continuing. 
 (k) Additional Issuing Banks. From
time to time, the Borrower may by notice to the Administrative Agent designate up to four Lenders that agree (in their sole discretion) to act in such capacity and are reasonably satisfactory to the Administrative Agent as Issuing Banks. Each such
additional Issuing Bank shall execute a counterpart of this Agreement upon the approval of the Administrative Agent (which approval shall not be unreasonably withheld) and shall thereafter be an Issuing Bank hereunder for all purposes. 

(l) Reporting. Each Issuing Bank shall (i) provide to the Administrative Agent copies of any notice received from the
Borrower pursuant to Section 2.05(b) no later than the next Business Day after receipt thereof, (ii) provide the Administrative Agent with a copy of the Revolving Letter of Credit, or the amendment, renewal or extension of the Revolving
Letter of Credit, as applicable, on the Business Day on which such Issuing Bank issues, amends, renews or extends any Revolving Letter of Credit, (iii) on each Business Day on which such Issuing Bank makes any Revolving L/C Disbursement, advise
the Administrative Agent of the date of such Revolving L/C Disbursement and the amount of such Revolving L/C Disbursement and (iv) on any other Business Day, furnish the Administrative Agent with such other information as the Administrative
Agent shall reasonably request. If requested by any Lender, the Administrative Agent shall provide copies to such Lender of the documents referred to in clause (ii) of the preceding sentence. 

Section 2.06. Funding of Borrowings. (a) Each Lender shall make each Loan to be made by it to the Borrower hereunder on the
proposed date thereof by wire transfer of immediately available funds by 12:00 noon, New York City time (or, in the case of Incremental Term Loans, such other time as shall be agreed to by the Incremental Term Lenders), to the account of the
Administrative Agent most recently designated by it for such purpose by notice to the Lenders; provided that Swingline Loans shall be made as provided in Section 2.04. The Administrative Agent will make such Loans available to the
Borrower by promptly crediting the amounts so received, in like funds, to such account of the Borrower as is designated by the Borrower in the Borrowing Request; provided that ABR Loans and Swingline Borrowings made to finance the
reimbursement of a Revolving L/C Disbursement and reimbursements as provided in Section 2.05(e) shall be remitted by the Administrative Agent to the applicable Issuing Bank. 

(b) Unless the Agent shall have received notice from a Lender prior to the proposed time of any Borrowing that such Lender will not make
available to the Administrative Agent such Lender’s share of such Borrowing, the Administrative Agent may assume that such Lender has made such share available on such date in accordance with paragraph (a) of this Section and may, in
reliance upon such assumption, make available to the Borrower a corresponding amount. In such event, if a Lender has not in fact made its share of the applicable Borrowing available to the Administrative Agent, then the applicable Lender and the
Borrower severally agree to pay to the Administrative Agent forthwith on demand (without duplication) such corresponding amount with interest thereon, for each day from and including the date such amount is made available to the Borrower to but
excluding the date of payment to the Administrative Agent, at (i) in the case of such Lender, the greater of the Federal Funds Effective Rate and a rate determined by the Administrative Agent in accordance with banking industry rules on
interbank compensation or (ii) in the case of the Borrower, the interest rate applicable to ABR Loans. If such Lender pays such amount to the Administrative Agent, then such amount shall constitute such Lender’s Loan included in such
Borrowing. 
  

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 Section 2.07. Interest Elections. (a) Each Borrowing initially shall be of the
Type specified in the applicable Borrowing Request and, in the case of a Eurodollar Borrowing, shall have an initial Interest Period as specified in such Borrowing Request. Thereafter, the Borrower may elect to convert such Borrowing to a different
Type or to continue such Borrowing and, in the case of a Eurodollar Borrowing, may elect Interest Periods therefor, all as provided in this Section. The Borrower may elect different options with respect to different portions of the affected
Borrowing, in which case each such portion shall be allocated ratably among the Lenders holding the Loans comprising such Borrowing, and the Loans comprising each such portion shall be considered a separate Borrowing. This Section shall not apply to
Swingline Borrowings, which may not be converted or continued. 
 (b) To make an election pursuant to this Section, the Borrower
shall notify the Administrative Agent of such election by telephone by the time that a Borrowing Request would be required under Section 2.03 if the Borrower were requesting a Borrowing of the Type resulting from such election to be made on the
effective date of such election. Each such telephonic Interest Election Request shall be irrevocable and shall be confirmed promptly (but in any event on the same day) by hand delivery or telecopy to the Administrative Agent of a written Interest
Election Request in a form approved by the Administrative Agent and signed by the Borrower. 
 (c) Each telephonic and written
Interest Election Request shall specify the following information in compliance with Section 2.02: 
 (i)
the Borrowing to which such Interest Election Request applies and, if different options are being elected with respect to different portions thereof, the portions thereof to be allocated to each resulting Borrowing (in which case the information to
be specified pursuant to clauses (iii) and (iv) below shall be specified for each resulting Borrowing); 

(ii) the effective date of the election made pursuant to such Interest Election Request, which shall be a Business Day;

 (iii) whether the resulting Borrowing is to be an ABR Borrowing or a Eurodollar Borrowing; and 

(iv) if the resulting Borrowing is a Eurodollar Borrowing, the Interest Period to be applicable thereto after giving
effect to such election. 
 If any such Interest Election Request made by the Borrower requests a Eurodollar Borrowing but does not specify an
Interest Period, then the Borrower shall be deemed to have selected an Interest Period of one month’s duration. 
 (d)
Promptly following receipt of an Interest Election Request, the Administrative Agent shall advise each Lender to which such Interest Election Request relates of the details thereof and of such Lender’s portion of each resulting Borrowing.

 (e) If the Borrower fails to deliver a timely Interest Election Request with respect to one of its Eurodollar Borrowings
prior to the end of the Interest Period applicable thereto, then, unless such Borrowing is repaid as provided herein, at the end of such Interest Period, the Borrower shall be deemed to have converted such Borrowing to an ABR Borrowing.
Notwithstanding any contrary 
  

 47 

 
provision hereof, if an Event of Default has occurred and is continuing and the Administrative Agent, at the written request (including a request through electronic means) of the Required Lenders
(unless such Event of Default is an Event of Default under Section 7.01(h) or (i), in which case no such request shall be required), so notifies the Borrower, then, so long as an Event of Default is continuing, (i) no outstanding Borrowing
may be converted to or continued as a Eurodollar Borrowing and (ii) unless repaid, each Eurodollar Borrowing shall be converted to an ABR Borrowing at the end of the Interest Period applicable thereto. 

Section 2.08. Termination and Reduction of Commitments. (a) Unless previously terminated, the Revolving Facility Commitments
shall terminate on the Revolving Facility Maturity Date. 
 (b) The Borrower may at any time terminate, or from time to time
reduce, the Revolving Facility Commitments; provided that (i) each reduction of the Revolving Facility Commitments shall be in an amount that is an integral multiple of U.S.$500,000 and not less than U.S.$2.0 million (or, if less,
the remaining amount of the Revolving Facility Commitments), and (ii) the Borrower shall not terminate or reduce the Revolving Facility Commitments if, after giving effect to any concurrent prepayment of the Revolving Facility Loans by the
Borrower in accordance with Section 2.11, the Revolving Facility Credit Exposure would exceed the total Revolving Facility Commitments. 

(c) The Borrower shall notify the Administrative Agent of any election to terminate or reduce the Revolving Facility Commitments under
paragraph (b) of this Section at least three (3) Business Days prior to the effective date of such termination or reduction, specifying such election and the effective date thereof. Promptly following receipt of any notice, the
Administrative Agent shall advise the applicable Lenders of the contents thereof. Each notice delivered by the Borrower pursuant to this Section shall be irrevocable; provided that a notice of termination of the Revolving Facility Commitments
delivered by the Borrower may state that such notice is conditioned upon the effectiveness of other credit facilities, in which case such notice may be revoked by the Borrower (by notice to the Administrative Agent on or prior to the specified
effective date) if such condition is not satisfied. Any termination or reduction of the Revolving Facility Commitments shall be permanent. Each reduction of the Revolving Facility Commitments shall be made ratably among the Lenders in accordance
with their respective Revolving Facility Commitments. 
 Section 2.09. Repayment of Loans; Evidence of Debt. (a) The
Borrower hereby unconditionally promises to pay (i) to the Administrative Agent for the account of each Revolving Facility Lender the then unpaid principal amount of each Revolving Facility Loan on the Revolving Facility Maturity Date and
(ii) to the Swingline Lender the then unpaid principal amount of each Swingline Loan on the earlier of the Revolving Facility Maturity Date and the first date after such Swingline Loan is made that is the 15th or last day of a calendar month
and is at least seven Business Days after such Swingline Loan is made; provided that on each date that a Revolving Facility Borrowing (other than a Borrowing that is required to finance the reimbursement of a Revolving L/C Disbursement as
contemplated by Section 2.05(e)) is made, the Borrower shall repay all Swingline Loans then outstanding. 
 (b) Each Lender
shall maintain in accordance with its usual practice an account or accounts evidencing the indebtedness of the Borrower to such Lender resulting from each Loan made by such Lender, including the amounts of principal and interest payable and paid to
such Lender from time to time hereunder. 
  

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 (c) The Administrative Agent shall maintain accounts in which it shall record (i) the
amount of each Loan made hereunder, the Facility and the Type thereof and the Interest Period (if any) applicable thereto, (ii) the amount of any principal or interest due and payable or to become due and payable to each Lender hereunder, and
(iii) any amount received by the Administrative Agent hereunder for the account of the Lenders and each Lender’s share thereof. 

(d) The entries made in the accounts maintained pursuant to paragraph (b) or (c) of this Section shall be prima facie evidence
absent manifest error of the existence and amounts of the obligations recorded therein; provided that the failure of any Lender or the Administrative Agent to maintain such accounts or any error therein shall not in any manner affect the
obligation of the Borrower to repay the Loans made in accordance with the terms of this Agreement. 
 (e) Any Lender may request
that Loans made by it be evidenced by a promissory note substantially in the form of Exhibit G-1 or Exhibit G-2, as applicable. In such event, the Borrower shall prepare, execute and deliver to such Lender a promissory note
payable to such Lender (or, if requested by such Lender, to such Lender and its registered assigns) and in a form approved by the Administrative Agent. Thereafter, the Loans evidenced by such promissory note and interest thereon shall at all times
(including, to the extent requested by any assignee, after assignment pursuant to Section 9.04) be represented by one or more promissory notes in such form payable to the payee named therein (or, if such promissory note is a registered note, to
such payee and its registered assigns). 
 Section 2.10. Repayment of Loans. (a) To the extent not previously paid,
all Revolving Facility Loans shall be due and payable on the Revolving Facility Maturity Date, and all Incremental Loans shall be due and payable as and when set forth in the joinder agreement with respect thereto and, to the extent not previously
paid, all Incremental Term Loans shall be due and payable on the Incremental Maturity Date applicable to such Incremental Term Loans. 

(b) (x) all Net Proceeds pursuant to Section 2.11(c) shall be applied (i) first, ratably among the Incremental Term
Lenders, in each case to prepay Incremental Term Loans in direct order of maturity to all amortization payments in respect of the Incremental Term Loans due in the immediately succeeding 24 month period from the date of such prepayment, and if any
such Net Proceeds remain after such payment, then on a pro rata basis to the remaining amortization payments in respect of the Incremental Term Loans, (ii) second, if any excess Net Proceeds remain after prepaying all Incremental Term
Loans then outstanding, applied ratably among the Swingline Lenders to prepay any outstanding Swingline Loans, and (iii) third, if any excess remains after prepaying all Swingline Loans then outstanding, applied ratably among the
Revolving Lenders to prepay any Revolving Facility Loans then outstanding and (y) any optional prepayments of the Revolving Facility Loans or the Incremental Term Loans pursuant to Section 2.11(a) shall be applied ratably among the
relevant Lenders under the Revolving Facility Loans or the Incremental Term Loans, as applicable, as directed by the Borrower. 

(c) Prior to any repayment of any Borrowing, the Borrower shall select the Borrowing or Borrowings to be repaid and shall notify the
Administrative Agent by telephone (confirmed by telecopy) of such selection not later than 2:00 p.m., New York City time, (i) in the case of an ABR Borrowing, one Business Day before the scheduled date of such repayment and (ii) in the
case of a Eurodollar Borrowing, three Business Days before the scheduled date of such repayment. Each repayment of a Borrowing (x) in the case of the Revolving Facility, shall be applied to the Revolving Facility Loans included in the repaid
Borrowing such that each Revolving Facility Lender receives its ratable share of such repayment (based upon the respective Revolving Facility Credit Exposures of the Revolving Facility Lenders at the time of such repayment) and (y) in all other
cases, shall be applied ratably to the Loans included in the repaid Borrowing. Notwithstanding anything to the contrary in the immediately preceding sentence, prior to any repayment of a Swingline Borrowing hereunder, the Borrower shall select the
Borrowing or Borrowings to be repaid and shall notify the Administrative Agent by telephone (confirmed by telecopy) of such selection not later than 1:00 p.m., New York City time, on the scheduled date of such repayment. 

 

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 Section 2.11. Prepayment of Loans. (a) The Borrower shall have the right at any
time and from time to time to prepay Revolving Facility Loans in whole or in part, without premium or penalty (but subject to Section 2.16), in an aggregate principal amount that is an integral multiple of the Borrowing Multiple and not less
than the Borrowing Minimum or, if less, the amount outstanding, subject to prior notice in the form of Exhibit B hereto provided in accordance with Section 2.10(c). The Borrower shall have the right to prepay Incremental Term Loans as set forth
in the applicable joinder agreement in respect of such Incremental Term Loans. 
 (b) If on any date, the Administrative Agent
notifies the Borrower that the Revolving Facility Credit Exposure exceeds the aggregate Revolving Facility Commitments of the Lenders on such date, the Borrower shall, as soon as practicable and in any event within two Business Days following such
date, prepay the outstanding principal amount of any Revolving Facility Loans (and, to the extent after giving effect to such prepayment, the Revolving Facility Credit Exposure still exceeds the aggregate Revolving Facility Commitments of the
Lenders, deposit cash collateral in an account with the Administrative Agent (or an account in the name of the Administrative Agent with another institution designated by the Administrative Agent) pursuant to Section 2.05(j)) such that the
aggregate amount so prepaid by the Borrower and cash collateral so deposited in an account with the Administrative Agent (or an account in the name of the Administrative Agent with another institution designated by the Administrative Agent) pursuant
to Section 2.05(j)) shall be sufficient to reduce such sum to an amount not to exceed the aggregate Revolving Facility Commitments of the Lenders on such date together with any interest accrued to the date of such prepayment on the aggregate
principal amount of Revolving Facility Loans prepaid. The Administrative Agent shall give prompt notice of any prepayment required under this Section 2.11(b) to the Borrower and the Lenders. 

(c) The Borrower shall apply all Net Proceeds received by it or its Subsidiaries upon (and in any event within three Business Days of)
receipt thereof to prepay any Incremental Term Loans and/or Revolving Facility Borrowings in accordance with paragraphs (b) and (c) of Section 2.10. 

(d) The Borrower shall notify the Administrative Agent in writing of any mandatory prepayment of Loans required to be made by the
Borrower pursuant to paragraph (c) of this Section 2.11 at least five (5) Business Days prior to the date of such prepayment. Each such notice shall specify the date of such prepayment and provide a reasonably detailed calculation of
the amount of such prepayment. The Administrative Agent will promptly notify each Lender of the contents of the Borrower’s prepayment notice and of such Lender’s pro rata share of the prepayment. 

(e) In the event of any termination of all the Revolving Facility Commitments, the Borrower shall, on the date of such termination, repay
or prepay all its outstanding Revolving Facility Loans and all its outstanding Swingline Loans and terminate all its outstanding Revolving Letters of Credit and/or cash collateralize such Revolving Letters of Credit in accordance with
Section 2.05(j). If as a result of any partial reduction of the Revolving Facility Commitments, the aggregate Revolving Facility Exposure would exceed the aggregate Revolving Facility Commitments of all Revolving Facility Lenders after giving
effect thereto, then the Borrower shall, on the date of such reduction, repay or prepay Revolving Facility Loans or Swingline Loans (or a combination thereof) and/or cash collateralize Revolving Letters of Credit in an amount sufficient to eliminate
such excess. 
  

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 Section 2.12. Fees. (a) The Borrower agrees to pay to each Lender, without
duplication of any other amounts paid to such Lender (other than any Defaulting Lender), through the Administrative Agent, three Business Days after the last day of March, June, September and December in each year, and on the date on which
the Revolving Facility Commitments of all the Lenders shall be terminated as provided herein, a commitment fee (a “Commitment Fee”) on the daily amount of the Available Unused Commitment of such Lender during the preceding quarter
up until the last day of such quarter (or other period commencing with the Closing Date (or the last date on which such fee was paid) and ending with the last day of such quarter or the Revolving Facility Maturity Date or the date on which the last
of the Commitments of such Lender shall be terminated, as applicable) at the rate per annum equal to 0.50%. 
 All Commitment
Fees shall be computed on the basis of the actual number of days elapsed in a year of 360 days. For the purpose of calculating any Lender’s Commitment Fee, the outstanding Swingline Loans during the period for which such Lender’s
Commitment Fee is calculated shall be deemed to be zero. The Commitment Fee due to each Lender shall begin to accrue on the Closing Date and shall cease to accrue on the date on which the last of the Commitments of such Lender shall be terminated as
provided herein. 
 (b) The Borrower from time to time agrees to pay to each Revolving Facility Lender (other than any
Defaulting Lender), through the Administrative Agent, three Business Days after the last day of March, June, September and December of each year and on the date on which the Revolving Facility Commitments of all the Lenders shall be
terminated as provided herein, a fee (a “Revolving L/C Participation Fee”) on such Lender’s Revolving Facility Percentage of the daily aggregate Revolving L/C Exposure (excluding the portion thereof attributable to unreimbursed
Revolving L/C Disbursements), during the preceding quarter (or shorter period commencing with the Closing Date (or the last date on which such fee was paid) and ending with the last day of such quarter or the Revolving Facility Maturity Date or the
date on which the Revolving Facility Commitments shall be terminated, as applicable) at the rate per annum equal to the Applicable Margin for Eurodollar Revolving Facility Borrowings effective for each day in such period. 

(c) The Borrower from time to time agrees to pay to each Issuing Bank, for its own account, (x) on the last Business Day of March,
June, September and December of each year and on the date on which the Revolving Facility Commitments of all the Lenders shall terminate as provided herein, a fronting fee in an amount equal to 0.25% per annum of the daily average
stated amount of such Revolving Letter of Credit, in respect of each Revolving Letter of Credit issued by such Issuing Bank for the period from and including the date of issuance of such Revolving Letter of Credit to and including the termination of
such Revolving Letter of Credit, plus (y) in connection with the issuance, amendment or transfer of any such Revolving Letter of Credit or any Revolving L/C Disbursement thereunder, such Issuing Bank’s customary documentary and processing
charges (collectively, “Issuing Bank Fees”). All Revolving L/C Participation Fees and Issuing Bank Fees that are payable on a per annum basis shall be computed on the basis of the actual number of days elapsed in a year of 360 days.

 (d) The Borrower agrees to pay to the Administrative Agent, for the account of the Administrative Agent, the administrative
fee set forth in clause (c) of the fourth paragraph of the Fee Letter at the times specified therein or such other administrative fee as agreed between the Borrower and the Administrative Agent in writing (such fees, the “Administrative
Agent Fees”) and to pay all other fees due and payable under clauses (a) and (b) of the fourth paragraph of the Fee Letter, provided, that, for the avoidance of doubt, for purposes of calculating the fees payable under clauses
(a) and (b) of the fourth paragraph of the Fee Letter, the aggregate amount of the Revolving Facility on the Closing Date shall be equal to $400,000,000. 

 

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 (e) All Fees shall be paid on the dates due, in immediately available funds, to the
Administrative Agent for distribution, if and as appropriate, among the Lenders, except that Issuing Bank Fees shall be paid directly to the applicable Issuing Banks. Once paid, none of the Fees shall be refundable under any circumstances.

 Section 2.13. Interest. (a) The Borrower shall pay interest on the unpaid principal amount of each ABR Loan
(including each Swingline Loan) at the Alternate Base Rate plus the Applicable Margin. 
 (b) The Borrower shall pay interest on
the unpaid principal amount of each Eurodollar Loan at the Adjusted Eurodollar Rate for the Interest Period in effect for such Eurodollar Loan plus the Applicable Margin. 

(c) Notwithstanding the foregoing, if any principal of or interest on any Loan or any Fees or other amount payable by the Borrower
hereunder is not paid when due, whether at stated maturity, upon acceleration or otherwise, the Borrower shall pay interest on such overdue amount, after as well as before judgment, at a rate per annum equal to (x) in the case of overdue
principal of any Loan, 2.00% plus the rate otherwise applicable to such Loan as provided in the preceding paragraphs of this Section or (y) in the case of any other amount, 2.00% plus the rate applicable to ABR Loans with respect to the
Revolving Facility in paragraph (a) of this Section; provided that this paragraph (c) shall not apply to any Default or Event of Default that has been waived by the Lenders pursuant to Section 9.08. 

(d) Accrued interest on each Loan shall be payable by the Borrower in arrears on each Interest Payment Date for such Loan, and in the
case of (i) Revolving Facility Loans, upon termination of the Revolving Facility Commitments and (ii) Incremental Term Loans, on the applicable Incremental Maturity Date; provided that (x) interest accrued pursuant to
paragraph (c) of this Section shall be payable on demand, (y) in the event of any repayment or prepayment of any Loan (other than a prepayment of an ABR Loan), accrued interest on the principal amount repaid or prepaid shall be payable on
the date of such repayment or prepayment and (z) in the event of any conversion of any Eurodollar Loan prior to the end of the current Interest Period therefor, accrued interest on such Loan shall be payable on the effective date of such
conversion. 
 (e) All computations of interest shall be made by the Administrative Agent taking into account the actual number
of days occurring in the period for which such interest is payable pursuant to this Section, and (i) if based on the Alternate Base Rate (if based on the Prime Rate), a year of 365 days or 366 days, as the case may be; or (ii) otherwise,
on the basis of a year of 360 days. 
 Section 2.14. Alternate Rate of Interest. If prior to the commencement of any
Interest Period for a Eurodollar Borrowing: 
 (a) the Administrative Agent determines (which determination shall be conclusive
absent manifest error) that adequate and reasonable means do not exist for ascertaining the Adjusted Eurodollar Rate for such Interest Period; or 

(b) the Administrative Agent is advised by the Required Lenders or the Majority Lenders under the Revolving Facility or any Facility of
Incremental Term Loans that the Eurodollar Rate for such Interest Period will not adequately and fairly reflect the cost to such Lenders of making or maintaining their Loans included in such Borrowing for such Interest Period; then the
Administrative Agent shall give written notice thereof to the Borrower and the Lenders as promptly as practicable thereafter and, until the Administrative Agent notifies the Borrower and the Lenders that the

  

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circumstances giving rise to such notice no longer exist, (x) any Interest Election Request that requests the conversion of any Borrowing to, or continuation of any Borrowing as, a
Eurodollar Borrowing shall be ineffective and such Borrowing shall be converted to an ABR Borrowing on the last day of the Interest Period applicable thereto, and (y) if any Borrowing Request requests a Eurodollar Borrowing, such Borrowing
shall be made as an ABR Borrowing or shall be made as a Borrowing bearing interest at such rate as the Required Lenders or the Majority Lenders under the Revolving Facility or any Facility of Incremental Term Loans shall agree adequately reflects
the costs to the Revolving Facility Lenders of making the Loans comprising such Borrowing. 
 Section 2.15. Increased
Costs. (a) If any Change in Law shall: 
 (i) impose, modify or deem applicable any reserve,
special deposit, FDIC insurance or similar requirement against assets of, deposits with or for the account of, or credit extended by, any Lender (except any such reserve requirement reflected in the Adjusted Eurodollar Rate) or Issuing Bank; or

 (ii) impose on any Lender or Issuing Bank or the London interbank market any tax, costs, expenses or
other condition affecting this Agreement or Loans made by such Lender or any Revolving Letter of Credit or participation therein (including a condition similar to the events described in clause (i) above in the form of a tax, cost or expense)
(except in each case (A) for Indemnified Taxes indemnified pursuant to Section 2.17 and Excluded Taxes and (B) for changes in the rate of tax on the overall rate of net income of such Lender); 

and the result of any of the foregoing shall be to increase the cost to such Lender of making or maintaining any Loan (or of maintaining its obligation
to make any such Loan) to the Borrower or to increase the cost to such Lender or Issuing Bank of participating in, issuing or maintaining any Revolving Letter of Credit or to reduce the amount of any sum received or receivable by such Lender or
Issuing Bank hereunder (whether of principal, interest or otherwise) (except in each case (A) for Indemnified Taxes indemnified pursuant to Section 2.17 and Excluded Taxes and (B) for changes in the rate of tax on the overall
rate of net income of such Lender), then the Borrower will pay to such Lender or Issuing Bank, as applicable, such additional amount or amounts as will compensate such Lender or Issuing Bank, as applicable, for such additional costs incurred or
reduction suffered in connection therewith. 
 (b) If any Lender or Issuing Bank determines that any Change in Law regarding
capital requirements has or would have the effect of reducing the rate of return on such Lender’s or Issuing Bank’s capital or on the capital of such Lender’s or Issuing Bank’s holding company, if any, as a consequence of this
Agreement or any of the Loans made by, or participations in Letters of Credit held by, such Lender, or the Letters of Credit issued by such Issuing Bank or as a consequence of the Commitments to make any of the foregoing, to a level below that which
such Lender or such Issuing Bank or such Lender’s or such Issuing Bank’s holding company could have achieved but for such Change in Law (taking into consideration such Lender’s or such Issuing Bank’s policies and the policies of
such Lender’s or such Issuing Bank’s holding company with respect to capital adequacy), then from time to time the Borrower shall pay to such Lender or such Issuing Bank, as applicable, such additional amount or amounts as will compensate
such Lender or such Issuing Bank or such Lender’s or such Issuing Bank’s holding company for any such reduction suffered in connection therewith. 

(c) A certificate of a Lender or an Issuing Bank setting forth the amount or amounts necessary to compensate such Lender or Issuing Bank
or its holding company, as applicable, as specified in paragraph (a) or (b) of this Section shall be delivered to the Borrower and shall be conclusive absent manifest error. The Borrower shall pay such Lender or Issuing Bank, as
applicable, the amount shown as due on any such certificate within 10 days after receipt thereof. 
  

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 (d) Promptly after any Lender or any Issuing Bank has determined that it will make a request
for increased compensation pursuant to this Section 2.15, such Lender or Issuing Bank shall notify the Borrower thereof. Failure or delay on the part of any Lender or Issuing Bank to demand compensation pursuant to this Section shall not
constitute a waiver of such Lender’s or Issuing Bank’s right to demand such compensation; provided that the Borrower shall not be required to compensate a Lender or an Issuing Bank pursuant to this Section for any increased costs or
reductions incurred more than 180 days prior to the date that such Lender or Issuing Bank, as applicable, notifies the Borrower of the Change in Law giving rise to such increased costs or reductions and of such Lender’s or Issuing Bank’s
intention to claim compensation therefor; provided further that, if the Change in Law giving rise to such increased costs or reductions is retroactive, then the 180-day period referred to above shall be extended to include the period of
retroactive effect thereof. 
 Section 2.16. Break Funding Payments. In the event of (a) the payment of any
principal of any Eurodollar Loan other than on the last day of an Interest Period applicable thereto (including as a result of an Event of Default), (b) the conversion of any Eurodollar Loan other than on the last day of the Interest Period
applicable thereto, (c) the failure to borrow, convert, continue or prepay any Eurodollar Loan on the date specified in any notice delivered pursuant hereto or (d) the assignment of any Eurodollar Loan other than on the last day of the
Interest Period applicable thereto as a result of a request by the Borrower pursuant to Section 2.19, then, in any such event, the Borrower shall compensate each Lender for the loss, cost and expense attributable to such event. In the case of a
Eurodollar Loan, such loss, cost or expense to any Lender shall be deemed to be the amount determined by such Lender to be the excess, if any, of (i) the amount of interest which would have accrued on the principal amount of such Loan had such
event not occurred, at the Eurodollar Rate that would have been applicable to such Loan, for the period from the date of such event to the last day of the then current Interest Period therefor (or, in the case of a failure to borrow, convert or
continue a Eurodollar Loan, for the period that would have been the Interest Period for such Loan), over (ii) the amount of interest which would accrue on such principal amount for such period at the interest rate which such Lender would
bid were it to bid, at the commencement of such period, for deposits in U.S. Dollars of a comparable amount and period from other banks in the Eurodollar market. A certificate of any Lender setting forth any amount or amounts that such Lender is
entitled to receive pursuant to this Section shall be delivered to the Borrower and shall be conclusive absent manifest error. The Borrower shall pay such Lender the amount shown as due on any such certificate within 10 days after receipt thereof.

 Section 2.17. Taxes. (a) Any and all payments by or on account of any obligation of any Loan Party under any Loan
Document shall be made free and clear of and without deduction for any Indemnified Taxes or Other Taxes; provided that if a Loan Party, the Administrative Agent or any other Person acting on behalf of the Administrative Agent in regards to
payments hereunder shall be required to deduct Indemnified Taxes or Other Taxes from such payments, then (i) the sum payable by the Loan Party shall be increased as necessary so that after making all required deductions (including deductions
applicable to additional sums payable under this Section) the Administrative Agent, Lender, or Issuing Bank, as applicable, receives an amount equal to the sum it would have received had no such deductions for Indemnified Taxes and Other Taxes been
made, (ii) such Loan Party, if required to deduct any such Taxes, shall make such deductions and (iii) such Loan Party, if required to deduct any such Taxes, shall timely pay the full amount deducted to the relevant Governmental Authority
in accordance with applicable law. 
  

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 (b) In addition, each Loan Party shall pay any Other Taxes payable on account of any
obligation of such Loan Party and upon the execution, delivery or enforcement of, or otherwise with respect to, the Loan Documents, to the relevant Governmental Authority in accordance with applicable law. 

(c) Each Loan Party shall indemnify the Administrative Agent, each Lender and each Issuing Bank, within 30 days after written demand
therefor, for the full amount of any Indemnified Taxes or Other Taxes (other than Indemnified Taxes or Other Taxes resulting from gross negligence or willful misconduct of the Administrative Agent, such Lender or such Issuing Bank) without
duplication of any amounts indemnified under Section 2.17(a)) paid by the Administrative Agent or such Lender or Issuing Bank, as applicable, on or with respect to any payment by or on account of any obligation of such Loan Party under, or
otherwise with respect to, any Loan Document (including Indemnified Taxes or Other Taxes imposed or asserted on or attributable to amounts payable under this Section) and any reasonable expenses arising therefrom or with respect thereto, whether or
not such Indemnified Taxes or Other Taxes were correctly or legally imposed or asserted by the relevant Governmental Authority; provided that a certificate as to the amount of such payment or liability and setting forth in reasonable detail
the basis and calculation for such payment or liability delivered to such Loan Party by a Lender or an Issuing Bank, or by the Administrative Agent on its own behalf or on behalf of a Lender or an Issuing Bank, shall be conclusive absent manifest
error of the Lender, the Issuing Bank or the Administrative Agent, as applicable. 
 (d) As soon as practicable after any
payment of Indemnified Taxes or Other Taxes by a Loan Party to a Governmental Authority, such Loan Party shall deliver to the Administrative Agent the original or a certified copy of a receipt issued by such Governmental Authority evidencing such
payment, a copy of the return reporting such payment or other evidence of such payment reasonably satisfactory to the Administrative Agent. 

(e) Each Lender or Issuing Bank that is not a “United States Person” as defined in Section 7701(a)(30) of the Code (a
“Non-U.S. Lender”) shall, to the extent it may lawfully do so, deliver to the Borrower and the Administrative Agent two copies of U.S. Internal Revenue Service Form W-8BEN (claiming the benefits of an applicable income tax treaty),
W-8EXP, W-8IMY (together with any required attachments) or Form W-8ECI, or, in the case of a Non-U.S. Lender claiming exemption from U.S. federal withholding tax under Section 871(h) or 881(c) of the Code with respect to payments of
“portfolio interest”, a statement substantially in the form of Exhibit H and a Form W-8BEN, or any subsequent versions thereof or successors thereto, properly completed and duly executed by such Non-U.S. Lender (with any other
required forms attached) claiming complete exemption from or a reduced rate of U.S. federal withholding tax on all payments by the Borrower under this Agreement and the other Loan Documents. Each Lender or Issuing Bank that is not a Non-U.S. Lender
shall, to the extent it may lawfully do so, deliver to the Borrower and the Administrative Agent two copies of U.S. Internal Revenue Service Form W-9, properly completed and duly executed by such Lender or Issuing Bank, claiming complete exemption
(or otherwise establishing an exemption) from U.S. backup withholding on all payments under this Agreement and the other Loan Documents. Such forms shall be delivered by each Lender or Issuing Bank, to the extent it may lawfully do so, on or before
the date it becomes a party to this Agreement (or, in the case of any Participant, on or before the date such Participant purchases the related participation). In addition, each Lender or Issuing Bank, to the extent it may lawfully do so, shall
deliver such forms promptly upon the obsolescence or invalidity of any form previously delivered by such Lender or Issuing Bank. Each Lender or Issuing Bank shall promptly notify the Borrower and the Administrative Agent at any time it determines
that it is no longer in a position to provide any previously delivered certificate to the Borrower or the Administrative Agent (or any other form of certification adopted by the U.S. taxing authorities for such purpose). Without limiting the
foregoing, any Lender or 
  

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Issuing Bank that is entitled to an exemption from or reduction of withholding Tax otherwise indemnified against by a Loan Party pursuant to this Section 2.17 with respect to payments under
any Loan Document shall deliver to the Borrower or the relevant Governmental Authority (with a copy to the Administrative Agent), to the extent such Lender or Issuing Bank is legally entitled to do so, at the time or times prescribed by applicable
law such properly completed and executed documentation prescribed by applicable law as may reasonably be requested by the Borrower or the Administrative Agent to permit such payments to be made without such withholding tax or at a reduced rate;
provided that in such Lender’s or Issuing Bank’s judgment such completion, execution or submission would not materially prejudice such Lender or Issuing Bank. 

(f) If the Administrative Agent, Lender or Issuing Bank determines, in good faith and in its sole discretion, that it has received a
refund of Indemnified Taxes or Other Taxes as to which it has been indemnified by a Loan Party or with respect to which a Loan Party has paid additional amounts pursuant to this Section 2.17, it shall pay over such refund to such Loan Party
(but only to the extent of indemnity payments made, or additional amounts paid, by such Loan Party under this Section 2.17 with respect to the Indemnified Taxes or Other Taxes giving rise to such refund), net of all out-of-pocket expenses of
the Administrative Agent, Lender or Issuing Bank (including any Taxes imposed with respect to such refund) as is determined by the Administrative Agent, Lender or Issuing Bank in good faith and in its sole discretion, and without interest (other
than any interest paid by the relevant Governmental Authority with respect to such refund); provided that such Loan Party, upon the request of the Administrative Agent, Lender or Issuing Bank, agrees to repay as soon as reasonably practicable
the amount paid over to such Loan Party (plus any penalties, interest or other charges imposed by the relevant Governmental Authority) to the Administrative Agent, Lender or Issuing Bank in the event such Administrative Agent, Lender or Issuing Bank
is required to repay such refund to such Governmental Authority. This paragraph shall not be construed to require the Administrative Agent, Lender or Issuing Bank to make available its Tax returns (or any other information relating to its Taxes
which it deems confidential) to the Loan Parties or any other Person. 
 Section 2.18. Payments Generally; Pro Rata
Treatment; Sharing of Set-offs. (a) Unless otherwise specified, the Borrower shall make each payment required to be made by it hereunder (whether of principal, interest, fees or reimbursement of Revolving L/C Disbursements, or of amounts
payable under Section 2.15, 2.16 or 2.17, or otherwise) prior to 2:00 p.m., New York City time, on the date when due, in immediately available funds, without condition or deduction for any defense, recoupment, set-off or counterclaim. Any
amounts received after such time on any date may, in the discretion of the Administrative Agent, be deemed to have been received on the next succeeding Business Day for purposes of calculating interest thereon. All such payments shall be made to the
Administrative Agent to the applicable account designated to the Borrower by the Administrative Agent, except payments to be made directly to the applicable Issuing Bank or the applicable Swingline Lender as expressly provided herein and except that
payments pursuant to Sections 2.15, 2.16, 2.17 and 9.05 shall be made directly to the Persons entitled thereto. The Administrative Agent shall distribute any such payments received by it for the account of any other Person to the appropriate
recipient promptly following receipt thereof. If any payment hereunder shall be due on a day that is not a Business Day, the date for payment shall be extended to the next succeeding Business Day, and, in the case of any payment accruing interest,
interest thereon shall be payable for the period of such extension. All payments hereunder of (i) principal or interest in respect of any Loan or (ii) Revolving L/C Reimbursement Obligations shall in each case be made in U.S. Dollars. All
payments of other amounts due hereunder or under any other Loan Document shall be made in U.S. Dollars. Any payment required to be made by the Administrative Agent hereunder shall be deemed to have been made by the time required if the
Administrative Agent shall, at or before such time, have taken the necessary steps to make such payment 
 in accordance with the regulations or
operating procedures of the clearing or settlement system used by the Administrative Agent to make such payment. 
  

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 (b) If at any time insufficient funds are received by and available to the Administrative
Agent from the Borrower to pay fully all amounts of principal, unreimbursed Revolving L/C Disbursements, interest and fees then due from the Borrower hereunder, such funds shall be applied (i) first, towards payment of interest and fees
then due from the Borrower hereunder, ratably among the parties entitled thereto in accordance with the amounts of interest and fees then due to such parties, and (ii) second, towards payment of principal and unreimbursed Revolving L/C
Disbursements then due from the Borrower hereunder, ratably among the parties entitled thereto in accordance with the amounts of principal and unreimbursed Revolving L/C Disbursements then due to such parties. 

(c) If any Lender shall, by exercising any right of set-off or counterclaim, through the application of any proceeds of Collateral or
otherwise, obtain payment in respect of any principal of or interest on any of its Revolving Facility Loans or Incremental Term Loans or participations in Revolving L/C Disbursements or Swingline Loans resulting in such Lender receiving payment of a
greater proportion of the aggregate amount of its Revolving Facility Loans or Incremental Term Loans and participations in Revolving L/C Disbursements and Swingline Loans and accrued interest thereon than the proportion received by any other Lender,
then the Lender receiving such greater proportion shall purchase (for cash at face value) participations in Revolving Facility Loans or Incremental Term Loans and participations in Revolving L/C Disbursements and Swingline Loans of other Lenders to
the extent necessary so that the benefit of all such payments shall be shared by the Lenders ratably in accordance with the aggregate amount of principal of and accrued interest on their respective Revolving Facility Loans or Incremental Term Loans
and participations in Revolving L/C Disbursements and Swingline Loans; provided that (i) if any such participations are purchased and all or any portion of the payment giving rise thereto is recovered, such participations shall be
rescinded and the purchase price restored to the extent of such recovery, without interest, and (ii) the provisions of this paragraph (c) shall not be construed to apply to any payment made by the Borrower pursuant to and in accordance
with the express terms of this Agreement or any payment obtained by a Lender as consideration for the assignment of or sale of a participation in any of its Loans or participations in Revolving L/C Disbursements to any assignee or participant, other
than to the Borrower or any Loan Party (as to which the provisions of this paragraph (c) shall apply). The Borrower consents to the foregoing and agrees, to the extent it may effectively do so under applicable law, that any Lender acquiring a
participation pursuant to the foregoing arrangements may exercise against the Borrower rights of set-off and counterclaim with respect to such participation as fully as if such Lender were a direct creditor of the Borrower in the amount of such
participation. 
 (d) Unless the Administrative Agent shall have received notice from the Borrower prior to the date on which
any payment by the Borrower is due to the Administrative Agent for the account of the Lenders or the applicable Issuing Bank hereunder that the Borrower will not make such payment, the Administrative Agent may assume that the Borrower has made such
payment on such date in accordance herewith and may, in reliance upon such assumption, distribute to the Lenders or the applicable Issuing Bank, as applicable, the amount due. In such event, if the Borrower has not in fact made such payment, then
each of the Lenders or the applicable Issuing Bank, as applicable, severally agrees to repay to the Administrative Agent forthwith on demand the amount so distributed to such Lender or Issuing Bank with interest thereon, for each day from and
including the date such amount is distributed to it to but excluding the date of payment to the Administrative Agent, at the greater of the Federal Funds Effective Rate and a rate determined by the Administrative Agent in accordance with banking
industry rules on interbank compensation. 
  

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 (e) If any Lender shall fail to make any payment required to be made by it pursuant to
Section 2.04(c), 2.05(d) or (e), 2.06(b) or 2.18(d), then the Administrative Agent may, in its discretion (notwithstanding any contrary provision hereof), apply any amounts thereafter received by the Administrative Agent for the account of such
Lender to satisfy such Lender’s obligations under such Sections until all such unsatisfied obligations are fully paid. 

Section 2.19. Mitigation Obligations; Replacement of Lenders. (a) If any Lender requests compensation under
Section 2.15, or if any Loan Party is required to pay any additional amount to any Lender or any Governmental Authority for the account of any Lender pursuant to Section 2.17, then such Lender shall use reasonable efforts to designate a
different lending office for funding or booking its Loans hereunder or to assign its rights and obligations hereunder to another of its offices, branches or Affiliates, if, in the reasonable judgment of such Lender, such designation or assignment
(i) would eliminate or reduce amounts payable pursuant to Section 2.15 or 2.17, as applicable, in the future and (ii) would not subject such Lender to any material unreimbursed cost or expense and would not otherwise be
disadvantageous to such Lender in any material respect. The Borrower hereby agrees to pay all reasonable costs and expenses incurred by any Lender in connection with any such designation or assignment. 

(b) If any Lender requests compensation under Section 2.15, or if any Loan Party is required to pay any additional amount to any
Lender or any Governmental Authority for the account of any Lender pursuant to Section 2.17, or is a Defaulting Lender, then such Loan Party may, at its sole expense and effort, upon notice to such Lender and the Administrative Agent, require
such Lender to assign and delegate, without recourse (in accordance with and subject to the restrictions contained in Section 9.04, all its interests, rights and obligations under this Agreement to an assignee that shall assume such obligations
(which assignee may be another Lender, if a Lender accepts such assignment); provided that (i) such Loan Party shall have received the prior written consent of the Administrative Agent and, solely in the case of an assignment of
Revolving Facility Commitments and/or Revolving Facility Loans, each Issuing Bank and each Swingline Lender, which consent shall not unreasonably be withheld, (ii) such Lender shall have received payment of an amount equal to the outstanding
principal of its Loans and participations in Revolving L/C Disbursements and Swingline Loans, accrued interest thereon, accrued fees and all other amounts payable to it hereunder, from the assignee (to the extent of such outstanding principal and
accrued interest and fees) or such Loan Party (in the case of all other amounts) and (iii) in the case of any such assignment resulting from a claim for compensation under Section 2.15 or payments required to be made pursuant to
Section 2.17, such assignment will result in a reduction in such compensation or payments. Nothing in this Section 2.19 shall be deemed to prejudice any rights that any Loan Party may have against any Lender that is a Defaulting Lender.

 (c) If any Lender (such Lender, a “Non-Consenting Lender”) has failed to consent to a proposed amendment,
waiver, discharge or termination which pursuant to the terms of Section 9.08 requires the consent of all of the Lenders affected and with respect to which the Required Lenders shall have granted their consent, then provided no Event of Default
then exists, the Borrower shall have the right (unless such Non-Consenting Lender grants such consent) to replace such Non-Consenting Lender by requiring such Non-Consenting Lender to assign its Loans and Commitments hereunder to one or more
assignees reasonably acceptable to the Administrative Agent and, solely in the case of an assignment of Revolving Facility Commitments and/or Revolving Facility Loans, each Issuing Bank and each Swingline Lender, provided that: (i) all
Obligations of the Borrower owing to such Non-Consenting Lender being replaced shall be paid in full to such Non-Consenting Lender concurrently with such assignment, and (ii) the replacement Lender shall purchase the foregoing by paying to such
Non-Consenting Lender a price equal to the principal amount thereof plus accrued and unpaid interest thereon. In connection with any such assignment the Borrower, Administrative Agent, such Non-Consenting Lender and the replacement Lender shall
otherwise comply with Section 9.04. 
  

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 Section 2.20. Increase in Revolving Facility Commitments; Incremental Term Loan
Commitments. (a) Incremental Commitments. At any time following the earlier of (x) completion of the syndication of the Revolving Loan Facility (as reasonably determined by the Administrative Agent) and (y) 90 days after
the Closing Date and prior to the Revolving Facility Maturity Date, the Borrower may by written notice to the Administrative Agent elect to request an increase to the existing Revolving Facility Commitments (any such increase, the
“Incremental Revolving Facility Commitments”) and/or may request that commitments be made in respect of term loans (the “Incremental Term Facility Commitments” and together with the Incremental Revolving Facility
Commitments, if any, the “Incremental Commitments”), in an aggregate principal amount, collectively, not to exceed the greater of (x) U.S.$50.0 million and (y) U.S.$100.0 million if on a Pro Forma Basis, after
giving effect to the incurrence of such Incremental Term Loans or such Incremental Revolving Facility Commitments, the First Lien Leverage Ratio would not exceed 3.50 to 1.00, or, in each case, a lesser amount in integral multiples of
U.S.$5.0 million. Such notice shall specify the date (an “Increased Amount Date”) on which the Borrower proposes that the Incremental Commitments, and in the case of Incremental Term Facility Commitments, the date the
Incremental Term Loans, shall be made available, which shall be a date not less than 5 Business Days after the date on which such notice is delivered to the Administrative Agent. The Borrower shall notify the Administrative Agent in writing of the
identity of each Revolving Facility Lender or other financial institution (which in any event shall not be the Borrower or an Affiliate of the Borrower) reasonably acceptable to the Administrative Agent, and in the case of any Person committing to
any Incremental Revolving Facility Commitment, reasonably acceptable to the Issuing Banks and the Swingline Lenders (each, an “Incremental Revolving Facility Lender,” an “Incremental Term Lender”, or generally, an
“Incremental Lender”, as applicable) to whom the Incremental Commitments have been (in accordance with the prior sentence) allocated and the amounts of such allocations; provided that any Lender approached to provide all or a
portion of the Incremental Commitments may elect or decline, in its sole discretion, to provide an Incremental Commitment. Such Incremental Commitments shall become effective as of such Increased Amount Date, and in the case of Incremental Term
Facility Commitments, such new Loans in respect thereof (“Incremental Term Loans”) shall be made on such Increased Amount Date; provided that (i) no Default or Event of Default shall exist on such Increased Amount Date
before or after giving effect to such Incremental Commitments and Incremental Term Loans; (ii) the representations and warranties contained in Article III and the other Loan Documents shall be true and correct in all material respects on
and as of the Increased Amount Date, except to the extent that such representations and warranties specifically refer to an earlier date, in which case they shall have been true and correct in all material respects as of such earlier date;
(iii) the Borrower and its Subsidiaries shall be in compliance, on a Pro Forma Basis after giving effect to such Incremental Commitments and Incremental Term Loans, with the covenants contained in Section 6.10 and Section 6.11
recomputed as at the last day of the most recently ended fiscal quarter of the Borrower and its Subsidiaries; (iv) such increase in the Incremental Commitments shall be evidenced by one or more joinder agreements executed and delivered to
Administrative Agent by each Incremental Lender, as applicable, and each shall be recorded in the register, each of which shall be reasonably satisfactory to the Administrative Agent and subject to the requirements set forth in Section 2.17(e);
(v) the Borrower shall make any payments required pursuant to Section 2.16 in connection with the provisions of the Incremental Commitments; (vi) the Borrower and its Affiliates shall not be permitted to commit to or participate in
any Incremental Commitments or make any Incremental Term Loans and (vii) if the Applicable Margin for any Incremental Term Loan exceeds the then applicable Applicable Margin for the Revolving Facility by more than 50 basis points (the excess of
(A) such Applicable Margin for the Incremental Term Loans over (B) the Applicable Margin for the Revolving Facility plus 50 basis points being the relevant “Margin Differential”), then each Applicable Margin for the
Revolving Facility for 
  

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each adversely affected existing Revolving Facility Commitment shall automatically be increased by the Margin Differential effective upon the making of the Incremental Term Loan. Each of the
parties hereto hereby agrees that, upon the effectiveness of any joinder agreements in connection with any Incremental Commitments as described in the preceding sentence, this Agreement shall be deemed amended to the extent (but only to the extent)
necessary to reflect the existence and terms of the Incremental Commitments and the Incremental Term Loans evidenced thereby, and the Administrative Agent and the Borrower may revise this Agreement to evidence such amendments without the consent of
any Lender. 
 (b) On any Increased Amount Date on which Incremental Revolving Facility Commitments are effected, subject to the
satisfaction of the foregoing terms and conditions, (i) each of the existing Revolving Facility Lenders shall assign to each of the Incremental Revolving Facility Lenders, and each of the Incremental Revolving Facility Lenders shall purchase
from each of the existing Revolving Facility Lenders, at the principal amount thereof, such interests in the outstanding Revolving Facility Loans and participations in Revolving Letters of Credit and Swingline Loans outstanding on such Increased
Amount Date that will result in, after giving effect to all such assignments and purchases, such Revolving Facility Loans and participations in Revolving Letters of Credit and Swingline Loans being held by existing Revolving Facility Lenders and
Incremental Revolving Facility Lenders ratably in accordance with their Revolving Facility Commitments after giving effect to the addition of such Incremental Revolving Facility Commitments to the Revolving Facility Commitments, (ii) each
Incremental Revolving Facility Commitment shall be deemed for all purposes a Revolving Facility Commitment and each Loan made thereunder shall be deemed, for all purposes, a Revolving Facility Loan and have the same terms as any existing Revolving
Facility Loan and (iii) each Incremental Revolving Facility Lender shall become a Lender with respect to the Revolving Facility Commitments and all matters relating thereto. 

(c) Subject to the satisfaction of the foregoing terms and conditions, any loans made in respect of any Incremental Term Loan Commitment
shall be made as a new tranche of term loans (an “Additional Term Loan Tranche”) or as part of an existing Additional Term Loan Tranche previously incurred pursuant to this Section 2.20; provided that (x) any
Additional Term Loan Tranche shall not mature prior to the Revolving Facility Maturity Date and the Additional Term Loan Tranche shall include such scheduled amortization provisions as determined by the Borrower and the Incremental Term Lenders
committing to such Additional Term Loan Tranche, (y) the interest rates applicable to such Additional Term Loan Tranche shall be determined by the Borrower and the Incremental Term Lenders and (z) the Additional Term Loan Tranche shall be
on terms and pursuant to documentation to be determined by the Borrower and the Incremental Term Lenders, provided that to the extent such terms and documentation are not consistent with the Revolving Facility, except to the extent provided
by sub-clauses (x) and (y) above and except to the extent necessary to reflect inherent differences between term loan facilities and revolving credit facilities, they shall be reasonably satisfactory to the Administrative Agent.

 (d) All Incremental Term Loans made on any Increased Amount Date will be made in accordance with the procedures set forth in
Section 2.03. 
 (e) The Administrative Agent shall notify the Lenders promptly upon receipt of the Borrower’s notice
of an Increased Amount Date and, in respect thereof, the Incremental Commitments and the Incremental Lenders. 
 (f) As a
condition precedent to the Borrower’s incurrence of additional Indebtedness pursuant to this Section 2.20, (i) the Borrower shall, and shall cause each Loan Party to, enter into, and deliver to the Administrative Agent and the
Collateral Agent, reaffirmations of the guarantees and the security interests and Liens granted by the Loan Parties under the Collateral Documents in a form 

 

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reasonably satisfactory to the Administrative Agent and the Collateral Agent and (ii) with respect to any Mortgaged Property, the Borrower shall, and shall cause each Loan Party to, enter
into, and deliver to the Administrative Agent and the Collateral Agent, upon the reasonable request of the Administrative Agent and/or the Collateral Agent (x) mortgage modifications or new Mortgages with respect to any Mortgaged Property in
each case in proper form for recording in the relevant jurisdiction and in a form reasonably satisfactory to the Administrative Agent and the Collateral Agent and (y) all other items reasonably requested by the Collateral Agent that are
reasonably necessary to maintain the continuing perfection or priority of the Lien of the Mortgages as security for such Obligations. 

Section 2.21. Illegality. If any Lender reasonably determines that any change in law has made it unlawful, or that any
Governmental Authority has asserted after the Closing Date that it is unlawful, for any Lender or its applicable lending office to make or maintain any Eurodollar Loans, then, on notice thereof by such Lender to the Borrower through the
Administrative Agent, any obligations of such Lender to make or continue Eurodollar Loans or to convert ABR Borrowings to Eurodollar Borrowings, as the case may be, shall be suspended until such Lender notifies the Administrative Agent and the
Borrower that the circumstances giving rise to such determination no longer exist. Upon receipt of such notice, the Borrower shall, upon demand from such Lender (with a copy to the Administrative Agent), convert all such Eurodollar Borrowings of
such Lender to ABR Borrowings on the last day of the Interest Period therefor, if such Lender may lawfully continue to maintain such Eurodollar Borrowings to such day, or immediately, if such Lender may not lawfully continue to maintain such Loans.
Upon any such prepayment or conversion, the Borrower shall also pay accrued interest on the amount so prepaid or converted. 

Section 2.22. Defaulting Lenders. Notwithstanding any provision of this Agreement to the contrary, if any Lender becomes a
Defaulting Lender, then the following provisions shall apply for so long as such Lender is a Defaulting Lender: 
 (a)
fees shall cease to accrue on the unfunded portion of the Commitments of such Defaulting Lender pursuant to Section 2.12(a); 

(b) the aggregate principal amount of Loans, Revolving L/C Exposures, Swingline Exposures and Available Unused Commitment of such
Defaulting Lender shall not be included in determining whether all Lenders, Required Lenders, Majority Lenders or affected Lenders have taken or may take any action hereunder (including any consent to any amendment or waiver pursuant to
Section 9.08); provided that (i) any waiver, amendment or modification requiring the consent of all Lenders or each affected Lender which affects such Defaulting Lender differently than other affected Lenders shall require the
consent of such Defaulting Lender, (ii) the Commitment of such Defaulting Lender may not be increased or extended without the consent of such Defaulting Lender and (iii) any amendment that reduces the principal amount of, or rate of
interest on, any Loan made by such Defaulting Lender, shall require the consent of such Defaulting Lender; 
 (c) if any
Swingline Exposure or Revolving L/C Exposure exists at the time a Lender becomes a Defaulting Lender then: 
 (i)
all or any part of such Swingline Exposure or Revolving L/C Exposure shall be reallocated among the non-Defaulting Lenders in accordance with their respective Revolving Facility Percentages but only to the extent (x) such reallocation does not
cause the aggregate Revolving Facility Credit Exposure of any non-Defaulting Lender to exceed such non-Defaulting Lender’s Revolving Facility Commitment and (y) the conditions set forth in Section 4.01 are satisfied at such time; and

  

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 (ii) if the reallocation described in clause (i) above cannot, or can
only partially, be effected, the Borrower shall within five Business Days following notice by the Administrative Agent (x) first, prepay such Swingline Exposure and (y) second, cash collateralize such Defaulting Lender’s Revolving L/C
Exposure (after giving effect to any partial reallocation pursuant to clause (i) above) in accordance with the procedures set forth in Section 2.05(j) for so long as such Revolving L/C Exposure is outstanding; 

(iii) if the Borrower cash collateralizes any portion of such Defaulting Lender’s Revolving L/C Exposure pursuant to
Section 2.22(c)(ii)(y), the Borrower shall not be required to pay any fees to such Defaulting Lender pursuant to Section 2.12 with respect to such Defaulting Lender’s Revolving L/C Exposure during the period such Defaulting
Lender’s Revolving L/C Exposure is cash collateralized; 
 (iv) if the Swingline Exposure or Revolving L/C
Exposure of the non-Defaulting Lenders is reallocated pursuant to Section 2.22(c)(i), then the fees payable to the Lenders pursuant to Section 2.12 shall be adjusted in accordance with such non-Defaulting Lenders’ Revolving Facility
Percentage; and 
 (v) if any Defaulting Lender’s Revolving L/C Exposure is neither cash collateralized nor
reallocated pursuant to Section 2.22(c)(i) or (ii), then, without prejudice to any rights or remedies of the Issuing Bank or any Lender hereunder, all facility fees that otherwise would have been payable to such Defaulting Lender (solely with
respect to the portion of such Defaulting Lender’s Revolving L/C Commitment that was utilized by such Revolving L/C Exposure) and all Revolving L/C Participation Fees payable under Section 2.12(b) with respect to such Defaulting
Lender’s Revolving L/C Exposure shall be payable to the applicable Issuing Bank until such Revolving L/C exposure is cash collateralized and / or reallocated; 

(d) so long as any Lender is a Defaulting Lender, no Swingline Lender shall be required to fund any Swingline Loan and no Issuing Bank
shall be required to issue, amend or increase any Revolving Letter of Credit, unless it is satisfied that the related exposure will be 100% covered by the Revolving Facility Commitments of the non-Defaulting Lenders or cash collateral will be
provided by the Borrower in accordance with Section 2.22(c), and participating interests in any such newly issued or increased Revolving Letter of Credit or newly made Swingline Loan shall be allocated among non-Defaulting Lenders in a manner
consistent with Section 2.22(c)(i) (and Defaulting Lenders shall not participate therein); and 
 (e) Any payment of
principal, interest, fees or other amounts received by the Administrative Agent for the account of such Defaulting Lender shall be applied at such time or times as may be determined by the Administrative Agent as follows: (i) first, to
the payment of any amounts owing by such Defaulting Lender to the Administrative Agent hereunder, (ii) second, to the payment on a pro rata basis of any amounts owing by such Defaulting Lender to any Issuing Bank or Swingline Lender,
(iii) third, as the Borrower may request (so long as no Default or Event of Default exists), to the funding of any Loan in respect of which that Defaulting Lender has failed to fund its portion thereof as required by this Agreement,
(iv) fourth, if so determined by the Administrative Agent or requested by an Issuing Bank or Swingline Lender, held in such account as cash collateral for future funding obligations of the Defaulting Lender in respect of any existing or
future participating interest in any Swingline Loan or Revolving Letter of Credit, (v) fifth, to the payment of any amounts owing to the Lenders or an Issuing Bank or Swingline Lender as a result of any judgment of a court of competent
jurisdiction obtained by any Lender or such Issuing Bank or Swingline Lender against such Defaulting Lender as a result of such 

 

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Defaulting Lender’s breach of its obligations under this Agreement, (vi) sixth, so long as no Default or Event of Default exists, to the payment of any amounts owing to the
Borrower as a result of any judgment of a court of competent jurisdiction obtained by the Borrower against that Defaulting Lender as a result of that Defaulting Lender’s breach of its obligations under this Agreement and
(vii) seventh, to such Defaulting Lender or as otherwise directed by a court of competent jurisdiction, provided, with respect to this clause (vii), that if such payment is (x) a prepayment of the principal amount of any
Loans in respect of which a Defaulting Lender has funded its participation obligations and (y) made at a time when the conditions set forth in Section 2.11 are satisfied, such payment shall be applied solely to prepay the Loans of, and
reimbursement obligations owed to, all non-Defaulting Lenders pro rata prior to being applied to the prepayment of any Loans, or reimbursement obligations owed to, any Defaulting Lender. Any payments, prepayments or other amounts paid or payable to
a Defaulting Lender that are applied (or held) to pay amounts owed by a Defaulting Lender or to post cash collateral pursuant to Section 2.05(j) shall be deemed paid to and redirected by that Defaulting Lender, and each Lender irrevocably
consents hereto. 
 (f) In the event that the Administrative Agent, the Borrower, each Issuing Bank and each Swingline Lender
each agrees that a Defaulting Lender has adequately remedied all matters that caused such Lender to be a Defaulting Lender, then the Swingline Exposure and Revolving L/C Exposure of the Lenders shall be readjusted to reflect the inclusion of such
Lender’s Revolving Facility Commitment and on such date such Lender shall purchase at par such of the Loans of the other Lenders (other than Swingline Loans) as the Administrative Agent shall determine may be necessary in order for such Lender
to hold such Loans in accordance with its Revolving Facility Percentage. 
 ARTICLE III 

REPRESENTATIONS AND WARRANTIES 

The Borrower represents and warrants to each of the Lenders with respect to itself and each of its Relevant Subsidiaries, and the
Subsidiaries to the extent applicable, that: 
 Section 3.01. Organization; Powers. The Borrower and each of its Relevant
Subsidiaries (a) is duly organized, validly existing and (if applicable) in good standing under the laws of the jurisdiction of its organization except for such failure to be in good standing which could not reasonably be expected to have a
Material Adverse Effect (b) has all requisite power and authority to own its property and assets and to carry on its business as now conducted, (c) is qualified to do business in each jurisdiction where such qualification is required,
except where the failure to so qualify could not reasonably be expected to have a Material Adverse Effect and (d) has the power and authority to execute, deliver and perform its obligations under each of the Loan Documents and each other
agreement or instrument contemplated thereby to which it is or will be a party and, in the case of the Borrower, to borrow and otherwise obtain credit hereunder. 

Section 3.02. Authorization. The execution, delivery and performance by the Borrower and each of its Relevant Subsidiaries of each
of the Loan Documents to which it is a party, and the borrowings hereunder and the Transactions (a) have been duly authorized by all necessary corporate, stockholder, limited liability company or partnership action required to be obtained by
the Borrower and such Relevant Subsidiaries and (b) will not (i) violate (A) any provision of law, statute, rule or regulation, or of the certificate or articles of incorporation or other constitutive documents or by-laws of the
Borrower or any such Relevant Subsidiary, (B) any applicable order of any court or any rule, regulation or order of any Governmental Authority or (C) any provision of any indenture, lease, agreement or other instrument to which the
Borrower or any such Relevant Subsidiary is a party or by which any of them or any of their respective property is or may be bound, (ii) be in conflict with, result in a breach of or 

 

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constitute (alone or with notice or lapse of time or both) a default under, give rise to a right of or result in any cancellation or acceleration of any right or obligation (including any
payment) or to a loss of a material benefit under any such indenture, lease, agreement or other instrument, where any such conflict, violation, breach or default referred to in clause (i) or (ii) of this clause (b), could reasonably
be expected to have, individually or in the aggregate, a Material Adverse Effect, or (c) will not result in the creation or imposition of any Lien upon or with respect to any property or assets now owned or hereafter acquired by the Borrower or
any such Relevant Subsidiary, other than the Liens permitted by Section 6.02. 
 Section 3.03. Enforceability. This
Agreement has been duly executed and delivered by the Borrower and constitutes, and each other Loan Document when executed and delivered by each Loan Party that is party thereto will constitute, a legal, valid and binding obligation of such Loan
Party enforceable against each such Loan Party in accordance with its terms, subject to (a) the effects of bankruptcy, insolvency, moratorium, reorganization, fraudulent conveyance or other laws affecting creditors’ rights generally,
(b) general principles of equity (regardless of whether such enforceability is considered in a proceeding in equity or at law) and (c) implied covenants of good faith and fair dealing. 

Section 3.04. Governmental Approvals. No action, consent or approval of, registration or filing with or any other action by any
Governmental Authority is or will be required in connection with the Transactions except for (a) the filing of UCC financing statements, (b) filings with the United States Patent and Trademark Office and the United States Copyright Office
or, with respect to intellectual property which is the subject of registration or application for registration outside the United States, such applicable patent, trademark or copyright office or other intellectual property authority,
(c) recordation of the Mortgages, (d) such consents, authorizations, filings or other actions that have either (i) been made or obtained and are in full force and effect or (ii) are listed on Schedule 3.04, and
(iii) such actions, consents, approvals, registrations or filings, the failure to be obtained or made which could not reasonably be expected to have a Material Adverse Effect. 

Section 3.05. Financial Statements. There has heretofore been furnished to the Lenders the following (and the following
representations and warranties are made with respect thereto): 
 (a) The audited consolidated balance sheets as of
December 31, 2007, December 31, 2008 and December 31, 2009 and the related audited consolidated statements of operations and retained earnings, comprehensive income and cash flows of the Borrower for the years ended December 31,
2007, December 31, 2008 and December 31, 2009, were prepared in accordance with GAAP applied not only during such periods but also as compared to the periods covered by the financial statements of the Borrower referred to in
paragraph (b) of this Section 3.05 (except as may be indicated in the notes thereto) and fairly present the consolidated financial position of the Borrower as of the dates thereof and its consolidated results of operations and cash flows
for the period then ended. 
 (b) The unaudited interim consolidated balance sheet as of June 30, 2010, and the related
statements of income, stockholders’ equity and cash flows of the Borrower for each completed fiscal quarter since the date of the most recent audited financial statements and ending 45 days prior to the Closing Date were prepared in accordance
with GAAP consistently applied not only during such periods but also as compared to the periods covered by the financial statements of the Borrower referred to in paragraph (a) of this Section 3.05 (except as may be indicated in the notes
thereto) and fairly present the consolidated financial position of the Borrower as of the dates thereof and its consolidated results of operations and cash flows for the periods then ended (subject to normal year-end adjustments). 

 

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 (c) The pro forma consolidated balance sheet of the Borrower as of June 30,
2010, prepared giving effect to the Transactions as if the Transactions had occurred on such date. Such pro forma consolidated balance sheet (i) was prepared in good faith based on assumptions that are believed by the Borrower to
be reasonable as of the Closing Date (it being understood that such assumptions are based on good faith estimates with respect to certain items and that the actual amounts of such items on the Closing Date is subject to variation),
(ii) accurately reflects all adjustments necessary to give effect to the Transactions and (iii) presents fairly, in all material respects, the pro forma financial position of the Borrower and its Subsidiaries as of June 30,
2010, as if the Transactions had occurred on such date. 
 Section 3.06. No Material Adverse Effect. Since
December 31, 2009, there has been no event or occurrence which has resulted in or would reasonably be expected to result in, individually or in the aggregate, any Material Adverse Effect. 

Section 3.07. Title to Properties; Possession Under Leases. (a) The Borrower and its Relevant Subsidiaries have good and
valid record fee simple title to all Real Property, subject solely to Prior Liens and Permitted Encumbrances and except where the failure to have such title could not reasonably be expected to have, individually or in the aggregate, a Material
Adverse Effect. The Borrower and its Relevant Subsidiaries have maintained, in all material respects and in accordance with normal industry practice, all of the machinery, equipment, vehicles, facilities and other tangible personal property now
owned or leased by the Borrower and its Relevant Subsidiaries that is necessary to conduct their business as it is now conducted. All Mortgaged Properties are free and clear of Liens other than Prior Liens and Permitted Encumbrances. 

(b) The Borrower and its Relevant Subsidiaries have complied with all obligations under all leases to which it is a party, except where
the failure to comply could not have a Material Adverse Effect, and all such leases are in full force and effect, except leases in respect of which the failure to be in full force and effect could not reasonably be expected to have a Material
Adverse Effect. The Borrower and each of its Relevant Subsidiaries enjoy peaceful and undisturbed possession under all such leases, other than leases in respect of which the failure to enjoy peaceful and undisturbed possession could not reasonably
be expected to have, individually or in the aggregate, a Material Adverse Effect. 
 (c) The Borrower and its Relevant
Subsidiaries have good title to or valid leasehold interests (subject to Permitted Encumbrances) in all real property set forth on Schedule 3.17, except as could not reasonably be expected to have a Material Adverse Effect. 

(d) The Borrower and its Relevant Subsidiaries own or possess, or have the right to use or could obtain ownership or possession of or a
right to use, on terms not materially adverse to it, all patents, trademarks, service marks, trade names and copyrights necessary for the present conduct of their business, without any known conflict with the rights of others, and free from any
burdensome restrictions, except where such conflicts and restrictions could not reasonably be expected to have, individually or in the aggregate, a Material Adverse Effect. 

(e) As of the Closing Date, neither the Borrower nor any of its Relevant Subsidiaries has received any notice of any pending or
contemplated condemnation proceeding affecting any of the Mortgaged Properties or any sale or disposition thereof in lieu of condemnation that remains unresolved as of the Closing Date, except as set forth on Schedule 3.07(e).

 (f) Neither the Borrower nor any of its Relevant Subsidiaries is obligated on the Closing Date under any right of first
refusal, option or other contractual right to sell, assign or otherwise dispose of any Mortgaged Property or any interest therein, except as permitted under Section 6.02 or 6.05. 

 

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 (g) Schedule 3.07(g) sets forth as of the Closing Date the name and jurisdiction
of incorporation, formation or organization of each Subsidiary of the Borrower and, as to each such Subsidiary, the percentage of each class of Equity Interests owned by the Borrower or by any such Subsidiary, indicating the ownership thereof.

 (h) As of the Closing Date, there are no outstanding subscriptions, options, warrants, calls, rights or other agreements or
commitments of any nature relating to any Equity Interests of the Borrower or any of its Relevant Subsidiaries, except as set forth on Schedule 3.07(h). 

Section 3.08. Litigation; Compliance with Laws. (a) Except as set forth on Schedule 3.08(a), there are no
actions, suits, investigations or proceedings at law or in equity or by or on behalf of any Governmental Authority or in arbitration now pending against, or, to the knowledge of the Borrower, threatened in writing against or affecting, the Borrower
or any of its Relevant Subsidiaries or any business, property or rights of any such Person (i) as of the Closing Date, that involve any Loan Document or the Transactions or (ii) which individually or in the aggregate could reasonably be
expected to have a Material Adverse Effect or which could reasonably be expected, individually or in the aggregate, to materially adversely affect the Transactions. Neither the Borrower nor, to the knowledge of any of the Loan Parties, any of its
Affiliates is in violation of any laws relating to terrorism or money laundering, including Executive Order No. 13224 on Terrorist Financing, effective September 23, 2001, and the Uniting and Strengthening America by Providing Appropriate
Tools Required to Intercept and Obstruct Terrorism Act of 2001, Public Law 107-56 (signed into law on October 26, 2001) (the “U.S.A. PATRIOT Act”). 

(b) (i) None of the Borrower, any Relevant Subsidiary or their respective properties or assets is in violation of (nor will the continued
operation of their material properties and assets as currently conducted violate) any currently applicable law, rule or regulation (including, but not limited to any FERC laws and regulations, Public Utility Commission of Texas regulations,
Railroad Commission of Texas regulations, zoning, building, ordinance, code or approval or any building permit), or any restriction of record or agreement affecting any Mortgaged Property or is in default with respect to any judgment, writ,
injunction or decree of any Governmental Authority, where such violation or default could reasonably be expected to have, individually or in the aggregate, a Material Adverse Effect, (ii) each of the Borrower and each Relevant Subsidiary holds
all permits, licenses, registrations, certificates, approvals, consents, clearances and other authorizations from any Governmental Authority required under any currently applicable law, rule or regulation for the operation of its business as
presently conducted, except as could not, individually or in the aggregate, reasonably be expected to have a Material Adverse Effect, (iii) neither the Borrower nor any Relevant Subsidiary (A) is subject to regulation “as a
natural-gas company” under the Natural Gas Act (“NGA”); or (B) is subject to regulation as a “public utility,” a “gas utility,” a “gas company” or other similar term under the laws of any
state and (iv) none of the Lenders, the Agents and the Joint Lead Arrangers, solely by virtue of the execution, delivery and performance of this Agreement or the other Loan Documents, or consummation of the Transactions contemplated hereby and
thereby, shall be or become: (A) a “public-utility company,” a “holding company,” an “affiliate” of a “holding company,” an “associate company” of a “holding company,” or a
“subsidiary company” of a “holding company,” as each such term is defined in PUHCA, or otherwise subject to regulation under PUHCA; (B) a “natural-gas company” or subject to regulation under the NGA; or
(C) subject to regulation under the laws of any state with respect to public utilities. 
 Section 3.09. Federal Reserve
Regulations. (a) Neither the Borrower nor any of its Relevant Subsidiaries is engaged principally, or as one of its important activities, in the business of extending credit for the purpose of purchasing or carrying Margin Stock.

  

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 (b) No part of the proceeds of any Loan will be used, whether directly or indirectly, and
whether immediately, incidentally or ultimately, (i) to purchase or carry Margin Stock or to extend credit to others for the purpose of purchasing or carrying Margin Stock or to refund indebtedness originally incurred for such purpose, or
(ii) for any purpose that entails a violation of, or that is inconsistent with, the provisions of the Regulations of the Board, including Regulation U or Regulation X. 

Section 3.10. Investment Company Act. Neither the Borrower nor any of its Relevant Subsidiaries is an “investment
company” as defined in, or subject to regulation under, the Investment Company Act of 1940, as amended. 
 Section 3.11.
Use of Proceeds. The Borrower will use the proceeds of the Revolving Facility Loans and Swingline Loans, and may request the issuance of Revolving Letters of Credit, solely for general corporate purposes (including the Closing Date
Refinancing). Notwithstanding the foregoing, the Borrower will use proceeds of Revolving Loans drawn and Revolving Letters of Credit issued on the Closing Date solely to consummate the Closing Date Refinancing and to pay fees and expenses related
thereto; provided, that, the aggregate principal amount of Revolving Loans borrowed on the Closing Date, together with the aggregate face amount of any Revolving Letters of Credit issued on the Closing Date, shall not exceed U.S.
$275.0 million. 
 Section 3.12. Tax Returns. Except as set forth on Schedule 3.12, each of the Borrower and its
Subsidiaries (i) has timely filed or caused to be timely filed all federal, state, local and non-U.S. Tax returns required to have been filed by it and each such Tax return is complete and accurate in all respects and (ii) has timely paid
or caused to be timely paid all Taxes due and payable by it and all other Taxes or assessments, except in each case referred to in clauses (i) or (ii) above, (1) if the failure to comply would not cause a Material Adverse Effect or
(2) if the Taxes or assessments are being contested in good faith by appropriate proceedings in accordance with Section 5.03 and for which the Borrower or any of its Subsidiaries (as the case may be) has set aside on its books adequate
reserves in accordance with GAAP. 
 Section 3.13. No Material Misstatements. (a) All written information (other
than the Projections, estimates and information of a general economic nature) (the “Information”) concerning the Borrower and its Subsidiaries, the Transaction and any other transactions contemplated hereby included in the
Information Memorandum or otherwise prepared by or on behalf of the Administrative Agent in connection with the Transaction or the other transactions contemplated hereby, when taken as a whole, was true and correct in all material respects, as of
the date such Information was furnished to the Lenders and as of the Closing Date, and did not contain any untrue statement of a material fact as of any such date or omit to state any material fact necessary in order to make the statements contained
therein not materially misleading in light of the circumstances under which such statements were made. 
 (b) The Projections
prepared by or on behalf of the Borrower or any of its representatives and that have been made available to any Lenders or the Administrative Agent in connection with the Transactions or the other transactions contemplated hereby (i) have been
prepared in good faith based upon assumptions believed by the Borrower to be reasonable as of the date thereof, as of the date such Projections were furnished to the Initial Lenders and as of the Closing Date, and (ii) as of the Closing Date,
have not been modified in any material respect by the Borrower. 
 Section 3.14. Employee Benefit Plans. (a) Each
Plan has been administered in compliance with the applicable provisions of ERISA and the Code (and the regulations and published interpretations thereunder) except for such noncompliance that could not reasonably be expected to have a Material
Adverse Effect. As of the Closing Date, the excess of the present value of all benefit liabilities 
  

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under each Plan of the Borrower, and each Subsidiary of the Borrower and the ERISA Affiliates (based on those assumptions used to fund such Plan), as of the last annual valuation date applicable
thereto for which a valuation is available, over the value of the assets of such Plan could not reasonably be expected to have a Material Adverse Effect, and the excess of the present value of all benefit liabilities of all underfunded Plans (based
on those assumptions used to fund each such Plan) as of the last annual valuation dates applicable thereto for which valuations are available, over the value of the assets of all such underfunded Plans could not reasonably be expected to have a
Material Adverse Effect. No ERISA Event has occurred or is reasonably expected to occur that, when taken together with all other ERISA Events which have occurred or for which liability is reasonably expected to occur, could reasonably be expected to
result in a Material Adverse Effect. 
 (b) Any foreign pension schemes sponsored or maintained by the Borrower and each of its
Subsidiaries, if any, are maintained in accordance with the requirements of applicable foreign law, except where noncompliance could not reasonably be expected to have a Material Adverse Effect. 

Section 3.15. Environmental Matters. Except as set forth on Schedule 3.15 or for matters that could not reasonably be
expected to have, individually or in the aggregate, a Material Adverse Effect (i) no written notice, request for information, order, complaint, Environmental Claim or penalty has been received or incurred by the Borrower or any of its
Subsidiaries, and there are no judicial, administrative or other actions, suits or proceedings pending or, to the knowledge of any of the Loan Parties, threatened against the Borrower or any of its Subsidiaries which allege a violation of or
liability under any Environmental Laws, in each case relating to the Borrower or any of its Subsidiaries, (ii) the Borrower and each of its Subsidiaries have obtained, and maintains in full force and effect, all permits, registrations and
licenses to the extent necessary for the conduct of its businesses and operations as currently conducted, including for the construction of all pipelines and facilities, to comply with all applicable Environmental Laws and is, and has been, in
compliance with the terms and conditions of such permits, registrations and licenses, and with all applicable Environmental Laws, (iii) neither the Borrower nor any of its Subsidiaries is conducting, funding or responsible for any
investigation, remediation, remedial action or cleanup of any Release or threatened Release of Hazardous Materials, (iv) there has been no Release or threatened Release of Hazardous Materials at any property currently or, to the knowledge of
any of the Loan Parties, formerly owned, operated or leased by the Borrower or any of its Subsidiaries that would reasonably be expected to give rise to any liability of the Borrower or any of its Subsidiaries under any Environmental Laws or
Environmental Claim against the Borrower or any of its Subsidiaries, and no Hazardous Material has been generated, owned or controlled by the Borrower or any of its Subsidiaries and transported for disposal to or Released at any location in a manner
that would reasonably be expected to give rise to any liability of the Borrower or any of its Subsidiaries under any Environmental Laws or Environmental Claim against the Borrower or any of its Subsidiaries, (v) neither the Borrower nor any of
its Subsidiaries has entered into any agreement or contract to assume, guarantee or indemnify a third party for any Environmental Claims, and (vi) to the knowledge of any of the Loan Parties, there are not currently and there have not been any
underground storage tanks owned or operated by the Borrower or any of its Subsidiaries or present or located on the Borrower’s or any such Subsidiary’s Real Property. The Borrower and each of its Subsidiaries have made available to the
Administrative Agent prior to the date hereof all environmental audits, assessment reports and other material environmental documents in its possession or control with respect to the operations of, or any Real Property owned, operated or leased by,
the Borrower and its Subsidiaries, other than such audits, assessment reports and other environmental documents not containing information that would reasonably be expected to result in any material Environmental Claims or liability to the Borrower
and its Subsidiaries, taken as a whole. For purposes of Section 7.01(a), each of the representations and warranties contained in parts (i), (iv), and (vi) of this Section 3.15 that are qualified by the knowledge of the Borrower
and its Subsidiaries shall be deemed not to be so qualified. Representations and warranties of the Borrower or any of its Subsidiaries with respect to environmental matters are limited to those in this Section 3.15 unless expressly stated.

  

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 Section 3.16. Mortgages. The Mortgages executed and delivered on or after the Closing
Date pursuant to clause (h) of the Collateral and Guarantee Requirement and Section 5.10 or otherwise shall be effective to create in favor of the Collateral Agent (for the benefit of the Secured Parties) a legal, valid and enforceable
security interest on all of the Loan Parties’ right, title and interest in and to the Mortgaged Property thereunder and the proceeds thereof, and when such Mortgages are filed or recorded in the proper real estate filing or recording offices,
the Collateral Agent (for the benefit of the Secured Parties) shall have a fully perfected first priority Lien on, and security interest in, all right, title and interest of the Loan Parties in such Mortgaged Property and, to the extent applicable,
subject to Section 9-315 of the UCC, the proceeds thereof, in each case prior and superior in right to any other Person, other than with respect to Prior Liens and Permitted Encumbrances. 

Section 3.17. Real Property. (a) Schedule 3.17 lists completely and correctly as of the Closing Date each Real
Property owned or leased by the Borrower and its Relevant Subsidiaries and the address or location thereof, including the state in which such property is located. 

(b) Subject to Prior Liens and Permitted Encumbrances, the Pipeline Systems are covered by fee deeds, rights of way, easements, leases,
servitudes, permits, licenses, or other instruments (collectively, “rights of way”) in favor of the applicable Loan Parties, recorded or filed, as applicable and if and to the extent required in accordance with applicable law to be
so recorded or filed, in the real property records of the county where the real property covered thereby is located or with the office of the applicable Railroad Commission or the applicable Department of Transportation, except where the failure of
the Pipeline Systems to be so covered, or any such documentation to be so recorded or filed, individually or in the aggregate, would not reasonably be expected to have a Material Adverse Effect. Subject to Prior Liens and Permitted Encumbrances and
except to the extent the failure would not reasonably be expected to have a Material Adverse Effect, the rights of way granted to the Borrower or any other Loan Party that cover any Pipeline Systems establish a continuous right of way for such
Pipeline Systems such that the applicable Loan Parties are able to construct, operate, and maintain the Pipeline Systems in, over, under, or across the land covered thereby in the same way that a prudent owner and operator would construct, operate,
and maintain similar assets. 
 (c) Subject to Prior Liens and Permitted Encumbrances, the Processing Plants are covered by fee
deeds, real property leases, or other instruments (collectively “deeds”) in favor of the Loan Parties, except to the extent the failure to be so covered would not reasonably be expected to have a Material Adverse Effect. Subject to
Prior Liens and Permitted Encumbrances and except to the extent the failure would not reasonably be expected to have a Material Adverse Effect, the deeds do not contain any restrictions that would prevent the Loan Parties from constructing,
operating and maintaining the Processing Plants in, over, under, and across the land covered thereby in the same way that a prudent owner and operator would construct, operate, and maintain similar assets. 

(d) There is no (i) breach or event of default on the part of the Borrower or any other Loan Party with respect to any right of way
or deed granted to the Borrower or any other Loan Party that covers any of the Processing Plants or Pipeline Systems, (ii) to the knowledge of any of the Loan Parties, breach or event of default on the part of any other party to any right of
way or deed granted to the Borrower or any other Loan Party that covers any of the Processing Plants or Pipeline Systems, and (iii) event that, with the giving of notice or lapse of time or both, would constitute such breach or event of default
on the part of the Borrower or any other Loan Party with respect to any right of way or deed granted to the Borrower or any other Loan Party that covers any of the Processing Plants or Pipeline

  

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Systems or, to the knowledge of any of the Loan Parties, on the part of any other party thereto, in the case of clauses (i), (ii) and (iii) above, to the extent any such breach, default
or event, individually or in the aggregate, would reasonably be expected to have a Material Adverse Effect. The rights of way and deeds granted to the Borrower or any other Loan Party that cover any of the Processing Plants or Pipeline Systems (to
the extent applicable) are in full force and effect in all material respects and are valid and enforceable against the applicable Loan Party party thereto in accordance with their terms (subject to the effect of any applicable bankruptcy,
reorganization, insolvency, moratorium, fraudulent transfer, fraudulent conveyance or similar laws effecting creditors’ rights generally and subject, as to enforceability to the effect of general principles of equity) and all rental and other
payments due thereunder by the applicable Loan Parties have been duly paid in accordance with the terms of the deeds and rights of way (as such terms are defined in this Section 3.17) except, in each case, to the extent that a failure,
individually or in the aggregate, would not reasonably be expected to have a Material Adverse Effect. 
 (e) The Pipeline
Systems are located within the confines of the rights of way granted to the Borrower or any other Loan Party and do not encroach upon any adjoining property, except to the extent the failure to be so located or any such encroachment would not
reasonably be expected to have a Material Adverse Effect. The Processing Plants are located within the boundaries of the property affected by the deeds, leases or other instruments to the Borrower or the other Loan Parties and do not encroach upon
any adjoining property, except to the extent the failure to be so located or any such encroachment would not reasonably be expected to have a Material Adverse Effect. The buildings and improvements owned or leased by the Borrower and the other Loan
Parties, and the operation and maintenance thereof, do not (i) contravene any applicable zoning or building law or ordinance or other administrative regulation or (ii) violate any applicable restrictive covenant or any Governmental Rule,
except to the extent the contravention or violation of which would not reasonably be expected to have a Material Adverse Effect. 

(f) The material properties used or to be used in the Loan Parties’ Midstream Activities are in good repair, working order, and
condition, normal wear and tear excepted, except to the extent the failure would not reasonably be expected to have a Material Adverse Effect. Neither the properties of the Borrower nor of any of the other Loan Parties has been affected, since the
Closing Date, in any adverse manner as a result of any fire, explosion, earthquake, flood, drought, windstorm, accident, strike or other labor disturbance, embargo, requisition or taking of Real Property or cancellation of contracts, permits or
concessions by a Governmental Authority, riot, activities of armed forces or acts of God or of any public enemy that would reasonably be expected to have a Material Adverse Effect. 

(g) No eminent domain proceeding or taking has been commenced or, to the knowledge of the Borrower or its Relevant Subsidiaries, is
contemplated with respect to all or any portion of the Pipeline Systems or the Processing Plants except for that which, individually or in the aggregate, would not reasonably be expected to have a Material Adverse Effect. 

(h) Other than Mortgaged Property with respect to which the requirements of clause (h)(vii) of the definition of Collateral and Guarantee
requirement have been satisfied, no portion of any Mortgaged Property is located in a special flood hazard area as designated by any Governmental Authority. 

Section 3.18. Solvency. (a) Immediately after giving effect to the Transactions (i) the fair value of the assets (for
the avoidance of doubt, calculated to include goodwill and other intangibles) of the Borrower and its Subsidiaries on a consolidated basis, at a fair valuation, will exceed the debts and liabilities, direct, subordinated, contingent or otherwise, of
the Borrower and its Subsidiaries on a consolidated basis; (ii) the present fair saleable value of the property of the Borrower and its Subsidiaries 
  

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on a consolidated basis will be greater than the amount that will be required to pay the probable liability of the Borrower and its Subsidiaries on a consolidated basis, on their debts and other
liabilities, direct, subordinated, contingent or otherwise, as such debts and other liabilities become absolute and matured; (iii) the Borrower and its Subsidiaries on a consolidated basis will be able to pay their debts and liabilities,
direct, subordinated, contingent or otherwise, as such debts and liabilities become absolute and matured; and (iv) the Borrower and its Subsidiaries on a consolidated basis will not have unreasonably small capital with which to conduct the
businesses in which they are engaged as such businesses are now conducted and are proposed to be conducted following the Closing Date. 

(b) The Borrower does not intend to, and does not believe that it or any of its Subsidiaries will, incur debts beyond its ability to pay
such debts as they mature, taking into account the timing and amounts of cash to be received by it or any such Subsidiary and the timing and amounts of cash to be payable on or in respect of its Indebtedness or the Indebtedness of any such
Subsidiary. 
 Section 3.19. Labor Matters. There are no strikes pending or threatened against the Borrower or any of its
Subsidiaries that, individually or in the aggregate, could reasonably be expected to have a Material Adverse Effect. The hours worked and payments made to employees of the Borrower and its Subsidiaries have not been in violation in any material
respect of the Fair Labor Standards Act or any other applicable law dealing with such matters. All material payments due from the Borrower or any of its Subsidiaries or for which any claim may be made against the Borrower or any of its Subsidiaries,
on account of wages and employee health and welfare insurance and other benefits have been paid or accrued as a liability on the books of the Borrower or such Subsidiary to the extent required by GAAP. Consummation of the Transactions will not give
rise to a right of termination or right of renegotiation on the part of any union under any collective bargaining agreement to which the Borrower or any of its Subsidiaries (or any predecessor) is a party or by which the Borrower or any of its
Subsidiaries (or any predecessor) is bound, other than collective bargaining agreements that, individually or in the aggregate, are not material to the Borrower and its Subsidiaries, taken as a whole. 

Section 3.20. Insurance. Schedule 3.20 sets forth a true, complete and correct description of all material insurance
maintained by or on behalf of the Borrower and its Relevant Subsidiaries as of the Closing Date. As of such date, such insurance is in full force and effect. The Borrower believes that the insurance maintained by or on behalf of it and its Relevant
Subsidiaries is adequate. 
 Section 3.21. Representations and Warranties in Acquisition Agreement. All representations
and warranties of each of the Loan Parties set forth in the Acquisition Agreement were true and correct in all material respects as of the time such representations and warranties were made and, to the extent required to be made on the Closing Date
under the Acquisition Agreement, shall be true and correct in all material respects as of the Closing Date as if such representations and warranties were made on and as of such date, unless stated to relate to a specific earlier date, in which case
such representations and warranties shall be true and correct in all material respects as of such earlier date. 
 Section 3.22.
Status as Senior Debt; Perfection of Security Interests. The Obligations shall rank pari passu with any other senior Indebtedness or securities of the Borrower and shall constitute senior indebtedness of the Borrower and the Relevant
Subsidiaries under and as defined in any documentation documenting any junior indebtedness of the Borrower or the Relevant Subsidiaries. Each Collateral Agreement delivered pursuant to Section 4.02 and 5.10 will, upon execution and delivery
thereof, be effective to create in favor of the Collateral Agent, for the benefit of the Secured Parties, a legal, valid and enforceable security interest in the Collateral described therein and proceeds thereof. In the case of the Pledged
Collateral described in the Collateral Agreement, when stock certificates 
  

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representing such Pledged Collateral are delivered to the Collateral Agent, and in the case of the other Collateral described in the Collateral Agreement, when financing statements and other
filings specified therein in appropriate form are filed in the offices specified therein, the Lien created by the Collateral Agreement shall constitute a fully perfected Lien on, and security interest in, all right, title and interest of the Loan
Parties in such Collateral and the proceeds thereof to the extent perfection can be obtained by filing financing statements, making such other filings specified therein or by possession, as security for the Obligations of such Loan Party, in each
case prior and superior in right to any other Person, subject, in the case of Collateral other than Pledged Collateral, to Prior Liens, and in the case of Pledged Collateral, to Liens arising (and that have priority) by operation of law. 

Section 3.23. Material Contracts. Other than as set forth on Schedule 3.23, as of the Closing Date there are no contracts
or agreements to which the Borrower or any of its Relevant Subsidiaries is a party, that, individually or in the aggregate, could reasonably be expected to have a Material Adverse Effect, or that, if terminated or if a default occurs thereunder,
individually or in the aggregate, could reasonably be expected to have a Material Adverse Effect. Each Gathering and Processing Document is in full force and effect, except for such matters in respect of such Gathering and Processing Documents that
individually, or in the aggregate, would not reasonably be expected to have a Material Adverse Effect. 
 ARTICLE IV 

CONDITIONS TO CREDIT EVENTS 

The obligations of (a) the Lenders to make Loans or (b) any Issuing Bank to issue, amend, extend or renew any Revolving Letter
of Credit hereunder (each of (a) and (b), a “Credit Event”) are subject to the satisfaction of the following conditions: 

Section 4.01. All Credit Events. On the date of each Credit Event (other than a Borrowing on the Closing Date (except with respect
to clause (a) below)): 
 (a) The Administrative Agent shall have received, in the case of a Borrowing, a Borrowing Request
as required by Section 2.03 (or a Borrowing Request shall have been deemed given in accordance with the last paragraph of Section 2.03) or, in the case of the issuance of a Revolving Letter of Credit, the applicable Issuing Bank and
the Administrative Agent shall have received a notice requesting the issuance of such Revolving Letter of Credit as required by Section 2.05(b) (in the case of any Revolving Letter of Credit). 

(b) The representations and warranties set forth in Article III hereof shall be true and correct in all material respects on and as of
the date of such Credit Event (other than an amendment, extension or renewal of a Revolving Letter of Credit without any increase in the stated amount of such Revolving Letter of Credit), as applicable, with the same effect as though made on and as
of such date, except to the extent such representations and warranties expressly relate to an earlier date (in which case such representations and warranties shall be true and correct in all material respects as of such earlier date). 

(c) At the time of and immediately after such Credit Event (other than an amendment, extension or renewal of a Revolving Letter of Credit
without any increase in the stated amount of such Revolving Letter of Credit), as applicable, no Event of Default or Default shall have occurred and be continuing. 

 

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 Each Credit Event (other than an amendment, extension or renewal of a Revolving Letter of
Credit without any increase in the stated amount of such Revolving Letter of Credit) shall be deemed to constitute a representation and warranty by the Borrower on the date of such Credit Event as to the matters specified in paragraphs (b) and
(c) of this Section 4.01. 
 Section 4.02. First Credit Event. On the Closing Date: 

(a) The Administrative Agent (or its counsel) shall have received from each party hereto either (a) a counterpart of this Agreement
signed on behalf of such party or (b) written evidence satisfactory to the Administrative Agent (which may include telecopy transmission, or electronic transmission of a PDF copy, of a signed signature page of this Agreement) that such party
has signed a counterpart of this Agreement. 
 (b) The Administrative Agent shall have received, on behalf of itself, the
Collateral Agent, the Lenders and each Issuing Bank on the Closing Date, favorable written opinions of (i) Simpson Thacher & Bartlett LLP, special counsel for the Loan Parties, and (ii) Locke Lord Bissell & Liddell LLP,
special counsel for the Loan Parties in form and substance reasonably satisfactory to the Administrative Agent (A) dated the Closing Date, (B) addressed to each Issuing Bank on the Closing Date, the Administrative Agent, the Collateral
Agent and the Lenders and (C) in form and substance reasonably satisfactory to the Administrative Agent and covering such other matters relating to the Loan Documents as the Administrative Agent shall reasonably request, and each Loan Party
hereby instructs its counsel to deliver such opinions. 
 (c) The Administrative Agent shall have received in the case of each
Loan Party each of the following: 
 (i) a copy of the certificate or articles of incorporation, partnership
agreement or limited liability agreement, including all amendments thereto, or other relevant constitutional documents under applicable law of each Loan Party, (A) in the case of a corporation, certified as of a recent date by the Secretary of
State (or other similar official) and a certificate as to the good standing (to the extent such concept or a similar concept exists under the laws of such jurisdiction) of each such Loan Party as of a recent date from such Secretary of State (or
other similar official) or (B) in the case of a partnership of or limited liability company, certified by the Secretary or Assistant Secretary, or the general partner, managing member or sole member, of each such Loan Party; and 

(ii) a certificate of the Secretary, Assistant Secretary, Director, President or similar officer or the general partner,
managing member or sole member, of each Loan Party, in each case dated the Closing Date and certifying: 
 (A)
that attached thereto is a true and complete copy of the by-laws (or partnership agreement, memorandum and articles of association, limited liability company agreement or other equivalent governing documents) of such Loan Party as in effect on the
Closing Date and at all times since a date prior to the date of the resolutions described in clause (B) below, 

(B) that attached thereto is a true and complete copy of resolutions duly adopted by the board of directors (or equivalent
governing body) of such Loan Party (or its managing general partner or managing member) authorizing the execution, delivery and performance of the Loan Documents to which such Person is a party and, in the case of the Borrower, the borrowings
hereunder, and that such resolutions have not been modified, rescinded or amended and are in full force and effect on the Closing Date, 
  

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 (C) that the certificate or articles of incorporation, partnership agreement
or limited liability agreement of such Loan Party has not been amended since the date of the last amendment thereto disclosed pursuant to clause (i) above, 

(D) as to the incumbency and specimen signature of each officer or director executing any Loan Document or any other
document delivered in connection herewith on behalf of such Loan Party, and 
 (E) as to the absence of any
pending proceeding for the dissolution or liquidation of such Loan Party or, to the knowledge of such Person, threatening the existence of such Loan Party. 

(d) The Collateral and Guarantee Requirement with respect to items to be completed as of the Closing Date shall have been satisfied and
the Administrative Agent shall have received a completed Perfection Certificate dated the Closing Date and signed by a Responsible Officer of the Borrower, together with all attachments contemplated thereby, including the results of a search of the
UCC (or equivalent under other similar law) filings made with respect to the Loan Parties in the jurisdictions contemplated by the Perfection Certificate and copies of the financing statements (or similar documents) disclosed by such search and
evidence reasonably satisfactory to the Administrative Agent that the Liens indicated by such financing statements (or similar documents) are permitted by Section 6.02 or have been released, it being understood that, to the extent any lien
search or collateral (including the creation, perfection or priority of any security interest) is not or cannot be provided on the Closing Date (other than (i) UCC, tax and judgment lien searches, (ii) the pledge and perfection of domestic
assets with respect to which a lien may be perfected by the filing of financing statements under the UCC or (iii) to the extent applicable, the delivery of equity certificates of each Loan Party (other than the Borrower) and any domestic
Subsidiaries of the Loan Parties and related stock or other powers) after use of commercially reasonable efforts to do so then the provision of any such lien search and/or Collateral shall not constitute a condition precedent to the availability of
the Revolving Facility Loans on the Closing Date, but a perfected security interest shall instead be required promptly after the Closing Date as required under the Collateral and Guarantee Requirement plus any extensions permitted hereunder, in each
case pursuant to arrangements reasonably satisfactory to the Administrative Agent; 
 (e) The Transactions and the initial
funding under the HoldCo Credit Agreement shall have been consummated or shall be consummated simultaneously with or immediately following the closing under this Agreement in accordance with the Acquisition Agreement and all other related
documentation (without material amendment, modification or waiver thereof which is adverse to the Lenders (as reasonably determined by the Administrative Agent) without the prior consent of the Administrative Agent, which consent shall not be
unreasonably withheld or delayed), including each of the following: 
 (i) The Acquisition shall have been
consummated or shall be consummated simultaneously with or immediately following the closing under this Agreement; 

(ii) The Equity Financing shall have been consummated or shall be consummated simultaneously with or immediately following
the closing under this Agreement; provided, that, to the extent all or any portion of the Equity Financing is not comprised of common equity, the terms and conditions of the Equity Financing shall be reasonably satisfactory in all
material respects to the Joint Lead Arrangers and the Administrative Agent; 
  

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 (iii) The Sponsors shall have contributed additional cash common equity to
HoldCo in an amount equal to the Initial Interest Payment Amount; and 
 (iv) The Lenders shall have received:

 (A) the financial statements referred to in Section 3.05; and 

(B) any additional financial statements received by HoldCo on or prior to the Closing Date pursuant to the Acquisition
Agreement; 
 (f) After giving effect to the Transactions, and the other transactions contemplated hereby, the Borrower and its
Relevant Subsidiaries shall have no outstanding Indebtedness other than (i) the Loans and other extensions of credit under this Agreement and (ii) other Indebtedness permitted pursuant to Section 6.01. 

(g) The Lenders shall have received a solvency certificate substantially in the form of Exhibit F and signed by the chief
financial officer or another Responsible Officer of the Borrower confirming the solvency of the Borrower and its Subsidiaries on a consolidated basis after giving effect to the Transactions. 

(h) Except as set forth in (i) the Seller Disclosure Schedules (as defined in the Acquisition Agreement), subject to the provisions
of Section 13.11 of the Acquisition Agreement or (ii) the KGS SEC Documents (as defined in the Acquisition Agreement) that are publicly available prior to the date of the Commitment Letter (excluding any forward looking disclosures set
forth in any risk factor section, any disclosures in any section relating to forward looking statements and any other disclosures included therein to the extent they are predictive or forward-looking in nature, in each case that are general in
nature and do not contain a reasonable level of detail about the specific risk of which they warn), there has not been any Material Adverse Effect since December 31, 2009. 

(i) The Agents shall have received all fees payable thereto or to any Lender or to the Joint Lead Arrangers on or prior to the Closing
Date and, to the extent invoiced, all other amounts due and payable pursuant to the Loan Documents on or prior to the Closing Date, including, to the extent invoiced, reimbursement or payment of all reasonable out-of-pocket expenses required to be
reimbursed or paid by the Loan Parties hereunder or under any Loan Document. 
 (j) The (x) Specified Representations and
(y) Specified Acquisition Agreement Representations shall be true and correct in all material respects on and as of the Closing Date. 

(k) The Administrative Agent shall have received evidence reasonably satisfactory to it that the Existing Credit Facilities have been or
concurrently with the Closing Date are being terminated, all Liens securing obligations under the Existing Credit Facilities have been or concurrently with the Closing Date are being released and all amounts outstanding thereunder have been (or will
be with the proceeds of the Loans on Closing Date) paid in full. 
 (l) The Administrative Agent shall have received a
certificate signed by a Responsible Officer of the Borrower as to the matters set forth in clauses (e), (f), (h) and (j) of this Section 4.02. 

 

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 (m) The Administrative Agent shall have received all documentation and other information
required by regulatory authorities with respect to the Borrower under applicable “know your customer” and anti-money laundering rules and regulations, including without limitation the U.S. PATRIOT Act, that has been reasonably requested by
the Administrative Agent at least 10 days in advance of the Closing Date. 
 ARTICLE V 

AFFIRMATIVE COVENANTS 

The Borrower covenants and agrees with each Lender that so long as this Agreement shall remain in effect and until the commitments have
been terminated and the principal of and interest on each Loan, all Fees and all other expenses or amounts payable under any Loan Document shall have been paid in full and all Revolving Letters of Credit have been canceled or have expired and all
amounts drawn thereunder have been reimbursed in full, unless the Required Lenders shall otherwise consent in writing, the Borrower will, and will cause each of its Relevant Subsidiaries (and, to the extent expressly set forth below, other
applicable Subsidiaries) to: 
 Section 5.01. Existence; Businesses and Properties. (a) Do or cause to be
done all things necessary to preserve, renew and keep in full force and effect its legal existence, except as otherwise expressly permitted under Section 6.05, and except for the liquidation or dissolution of any such Subsidiary if the assets
of such Subsidiary to the extent they exceed estimated liabilities are acquired by the Borrower or a Wholly Owned Subsidiary of the Borrower in such liquidation or dissolution; provided that Subsidiary Loan Parties may not be liquidated into
Subsidiaries that are not Loan Parties. 
 (b) Do or cause to be done all things necessary to (i) in the Borrower’s
reasonable business judgment obtain, preserve, renew, extend and keep in full force and effect the permits, franchises, authorizations, patents, trademarks, service marks, trade names, copyrights, licenses and rights with respect thereto necessary
to the normal conduct of its business, (ii) comply in all material respects with all material applicable laws, rules, regulations (including any zoning, building, ordinance, code or approval or any building permits or any restrictions of
record or agreements affecting the Mortgaged Properties) and judgments, writs, injunctions, decrees, permits, licenses and orders of any Governmental Authority, whether now in effect or hereafter enacted and (iii) at all times maintain and
preserve all property necessary to the normal conduct of its business and keep such property in good repair, working order and condition and from time to time make, or cause to be made, all needful and proper repairs, renewals, additions,
improvements and replacements thereto necessary in order that the business carried on in connection therewith, if any, may be properly conducted at all times (in each case except as expressly permitted by this Agreement); in each case in this
paragraph (b) except where the failure to do so could not reasonably be expected to have a Material Adverse Effect. 

Section 5.02. Insurance. (a) Keep its insurable properties insured at all times by financially sound and reputable insurers
in such amounts as shall be customary for similar businesses and maintain such other reasonable insurance (including, to the extent consistent with past practices, self-insurance), of such types, to such extent and against such risks, as is
customary with companies in the same or similar businesses and maintain such other insurance as may be required by law or any other Loan Document. 

(b) Cause all such property and casualty insurance policies with respect to the Mortgaged Properties and personal property located in the
United States to be endorsed or otherwise amended to include a “standard” or “New York” lender’s loss payable endorsement, in form and substance reasonably satisfactory to the Administrative Agent and the Collateral Agent,
which 
  

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endorsement shall provide that, from and after the Closing Date, if the insurance carrier shall have received written notice from the Administrative Agent or the Collateral Agent of the
occurrence of an Event of Default, the insurance carrier shall pay all proceeds otherwise payable to the Borrower or other Loan Party under such policies directly to the Collateral Agent; cause all such policies to contain a “Replacement Cost
Endorsement,” without any deduction for depreciation, and such other provisions as the Administrative Agent or the Collateral Agent may reasonably (in light of a Default or a material development in respect of the insured property) require from
time to time to protect their interests; deliver original or certified copies of all such policies or a certificate of an insurance broker to the Collateral Agent; cause each such policy to provide that it shall not be canceled or not renewed upon
less than 30 days’ prior written notice thereof by the insurer to the Administrative Agent and the Collateral Agent; and deliver to the Administrative Agent and the Collateral Agent, prior to the cancellation or nonrenewal of any such policy of
insurance, a copy of a renewal or replacement policy (or other evidence of renewal of a policy previously delivered to the Administrative Agent and the Collateral Agent), or insurance certificate with respect thereto, together with evidence
satisfactory to the Administrative Agent and the Collateral Agent of payment of the premium therefor. 
 (c) To the extent any
Mortgaged Property is subject to the provisions of the Flood Insurance Laws (as defined below), (i) (x) concurrently with the delivery of the mortgage in favor of the Collateral Agent in connection therewith, and (y) at any other time
if necessary for compliance with applicable Flood Insurance Laws, provide the Collateral Agent with a standard flood hazard determination form for such Mortgaged Property and (ii) if any such Mortgaged Property is located in an area designated
a “flood hazard area” in any Flood Insurance Rate Map published by the Federal Emergency Management Agency (or any successor agency), obtain flood insurance in such reasonable total amount as the Administrative Agent or the Collateral
Agent may from time to time reasonably require, and otherwise to ensure compliance with the National Flood Insurance Program as set forth in the Flood Disaster Protection Act of 1973, as it may be amended from time to time (the “Flood
Insurance Laws”). In addition, to the extent the Borrower and the Loan Parties fail to obtain or maintain satisfactory flood insurance required pursuant to the preceding sentence with respect to any Mortgaged Property, the Collateral Agent
shall be permitted, in its sole discretion, to obtain forced placed insurance at the Borrower’s expense to ensure compliance with any applicable Flood Insurance Laws. 

(d) With respect to each Mortgaged Property and any personal property located in the United States, carry and maintain comprehensive
general liability insurance including the “broad form CGL endorsement” (or equivalent coverage) and coverage on an occurrence basis against claims made for personal injury (including bodily injury, death and property damage) and umbrella
liability insurance against any and all claims, in each case in amounts and against such risks as are customarily maintained by companies engaged in the same or similar industry operating in the same or similar locations naming the Collateral Agent
as an additional insured, on forms reasonably satisfactory to the Collateral Agent. 
 (e) Notify the Administrative Agent and
the Collateral Agent promptly whenever any separate insurance concurrent in form or contributing in the event of loss with that required to be maintained under this Section 5.02 is taken out by the Borrower or its Relevant Subsidiaries; and
promptly deliver to the Administrative Agent and the Collateral Agent a duplicate original copy of such policy or policies, or an insurance certificate with respect thereto. 

(f) In connection with the covenants set forth in this Section 5.02, it is understood and agreed that: 

(i) none of the Agents, the Lenders, the Issuing Banks or their respective agents or employees shall be liable for any
loss or damage insured by the insurance policies required to be 
  

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maintained under this Section 5.02, it being understood that (x) the Borrower and its Relevant Subsidiaries shall look solely to their insurance companies or any parties other than the
aforesaid parties for the recovery of such loss or damage and (y) such insurance companies shall have no rights of subrogation against the Agents, the Lenders, any Issuing Bank or their agents or employees. If, however, the insurance policies
do not provide waiver of subrogation rights against such parties, as required above, then the Borrower hereby agrees, to the extent permitted by law, to waive, and to cause each of its Relevant Subsidiaries to waive, its right of recovery, if any,
against the Agents, the Lenders, any Issuing Bank and their agents and employees; and 
 (ii) the designation of
any form, type or amount of insurance coverage by the Administrative Agent, the Collateral Agent or the Lenders under this Section 5.02 shall in no event be deemed a representation, warranty or advice by the Administrative Agent, the Collateral
Agent or the Lenders that such insurance is adequate for the purposes of the business of the Borrower or any of its Relevant Subsidiaries or the protection of their properties. 

Section 5.03. Taxes; Payment of Obligations. Pay and discharge promptly when due all material Taxes, assessments and governmental
charges or levies imposed upon it or upon its income or profits or in respect of its property, before the same shall become delinquent or in default, as well as all lawful claims for labor, materials and supplies or otherwise that, if unpaid, might
give rise to a Lien upon such properties or any part thereof; provided, however, that such payment and discharge shall not be required with respect to any such Tax, assessment, charge, levy or claim to the extent that (i) the validity or
amount thereof shall be contested in good faith by appropriate proceedings, and the Borrower or the affected Subsidiary of the Borrower, as applicable, shall have set aside on its books reserves in accordance with GAAP with respect thereto or
(ii) the aggregate amount of such Taxes, assessments, charges, levies or claims does not exceed U.S.$2.5 million. Pay, discharge or otherwise satisfy at or before maturity or before they become delinquent, as the case may be, all its
material obligations of whatever nature, except where the amount or validity thereof is currently being contested in good faith by appropriate proceedings and reserves in conformity with GAAP with respect thereto have been provided on the books of
the Borrower or the affected Subsidiary of the Borrower or if the failure to pay, discharge or otherwise satisfy such obligation could not reasonably be expected to have a Material Adverse Effect. 

Section 5.04. Financial Statements, Reports, Etc. Furnish to the Administrative Agent (which will promptly furnish such
information to the Lenders): 
 (a) within 120 days after the end of each fiscal year, a consolidated balance sheet and related
statements of operations, cash flows and owners’ equity showing the financial position of the Borrower and its Subsidiaries as of the close of such fiscal year and the consolidated results of their operations during such year and setting forth
in comparative form the corresponding figures for the prior fiscal year, all audited by independent accountants of recognized national standing reasonably acceptable to the Administrative Agent and accompanied by an opinion of such accountants
(which shall not be qualified in any material respect) to the effect that such consolidated financial statements fairly present, in all material respects, the financial position and results of operations of the Borrower and its Subsidiaries on a
consolidated basis in accordance with GAAP; 
 (b) within 60 days after the end of each of the first three fiscal quarters of
each fiscal year, a consolidated balance sheet and related statements of operations and cash flows showing the financial position of the Borrower and its Subsidiaries as of the close of such fiscal quarter and the consolidated results of their
operations during such fiscal quarter and the then-elapsed portion of the fiscal year and setting forth in comparative form the corresponding figures for the corresponding periods of the prior fiscal year, all certified by the General Partner or a
Financial Officer of the Borrower, on behalf of 
  

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the Borrower, as fairly presenting, in all material respects, the financial position and results of operations of the Borrower and its Subsidiaries on a consolidated basis in accordance with GAAP
(subject to normal year-end audit adjustments and the absence of footnotes); 
 (c) (x) concurrently with any delivery of
financial statements under (a) or (b) above, a certificate of the General Partner or a Financial Officer of the Borrower (i) certifying that no Event of Default or Default has occurred or, if such an Event of Default or Default has
occurred, specifying the nature and extent thereof and any corrective action taken or proposed to be taken with respect thereto and (ii) setting forth a computation of the Financial Performance Covenants in detail reasonably satisfactory to the
Administrative Agent and (y) concurrently with any delivery of financial statements under (a) above, a certificate of its independent accounting firm stating whether they obtained knowledge during the course of their examination of such
statements of any Default or Event of Default under Section 6.10 or 6.11 (which certificate may be limited to accounting matters and disclaims responsibility for legal interpretations); 

(d) promptly after the same become publicly available, copies of all periodic and other available reports, proxy statements and, to the
extent requested by the Administrative Agent, other materials filed by the Borrower or any of its Relevant Subsidiaries with the SEC, or distributed to its stockholders generally, if and as applicable; 

(e) (i) upon the consummation of any Permitted Business Acquisition, the acquisition of any Relevant Subsidiary or any Person becoming a
Relevant Subsidiary, in each case if the aggregate consideration for such transaction exceeds U.S. $5.0 million, or the reasonable request of the Administrative Agent (but not, in the case of such request, more often than annually), an updated
Perfection Certificate (or, to the extent such request relates to specified information contained in the Perfection Certificate, such information) reflecting all changes since the date of the information most recently received pursuant to
Section 4.02(e), this paragraph (e) or Section 5.10(e) and (ii) concurrently with the delivery of financial statements under Section 5.04(a), a certificate executed by a Responsible Officer of the Borrower certifying
compliance with Section 5.02(c) and providing evidence of such compliance, including without limitation copies of any flood hazard determination forms required to be delivered pursuant to Section 5.02(c); 

(f) promptly, a copy of all reports submitted to the board of directors (or any committee thereof) of the Borrower or any of its Relevant
Subsidiaries in connection with any material interim or special audit made by independent accountants of the books of the Borrower or any of its Relevant Subsidiaries; 

(g) promptly, from time to time, such other information regarding the operations, business affairs and financial condition of the
Borrower or any of its Relevant Subsidiaries, or compliance with the terms of any Loan Document, or such consolidating financial statements, as in each case the Administrative Agent may reasonably request (for itself or on behalf of any Lender);

 (h) promptly upon request by the Administrative Agent, copies of: (i) each Schedule B (Actuarial
Information) to the annual report (Form 5500 Series) filed with the Internal Revenue Service with respect to a Plan; (ii) the most recent actuarial valuation report for any Plan; (iii) all notices received from a Multiemployer Plan
sponsor or a Plan sponsor or any governmental agency concerning an ERISA Event; and (iv) such other documents or governmental reports or filings relating to any Plan or Multiemployer Plan as the Administrative Agent shall reasonably request;

  

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 (i) concurrently with any delivery of financial statements under (a) or (b) above,
a report of gas gathering output and throughput with respect to the Pipeline Systems and Processing Plants; and 
 (j) No later
than one hundred and twenty (120) days following the first day of each fiscal year of the Borrower, a budget for such fiscal year in form customarily prepared by the Borrower. 

Section 5.05. Litigation and Other Notices. Furnish to the Administrative Agent written notice of the following promptly after any
Responsible Officer of the Borrower or any Relevant Subsidiary obtains actual knowledge thereof: 
 (a) any Event of Default or
Default, specifying the nature and extent thereof and the corrective action (if any) proposed to be taken with respect thereto; 

(b) the filing or commencement of, or any written threat or written notice of intention of any Person to file or commence, any action,
suit or proceeding, whether at law or in equity or by or before any Governmental Authority or in arbitration, against the Borrower or any of its Relevant Subsidiaries as to which an adverse determination is reasonably probable and which, if
adversely determined, could reasonably be expected to have a Material Adverse Effect; 
 (c) any other development specific to
the Borrower or any of its Relevant Subsidiaries that is not a matter of general public knowledge and that has had, or could reasonably be expected to have, a Material Adverse Effect; and 

(d) the occurrence of any ERISA Event that, together with all other ERISA Events that have occurred, could reasonably be expected to have
a Material Adverse Effect. 
 Section 5.06. Compliance with Laws. Comply with all laws, rules, regulations and orders of
any Governmental Authority applicable to it or its property (owned or leased), except where the failure to do so, individually or in the aggregate, could not reasonably be expected to result in a Material Adverse Effect; provided that this
Section 5.06 shall not apply to Environmental Laws, which are the subject of Section 5.09, or to laws related to Taxes, which are the subject of Section 5.03. 

Section 5.07. Maintaining Records; Access to Properties and Inspections; Maintaining Pipeline Systems and Processing Plants.
(a) Maintain all financial records in accordance with GAAP and permit any Persons designated by the Administrative Agent or, upon the occurrence and during the continuance of an Event of Default, any Lender to visit and inspect the financial
records and the properties of the Borrower or any of its Relevant Subsidiaries at reasonable times, upon reasonable prior notice to the Borrower, and as often as reasonably requested and to make extracts from and copies of such financial records,
and permit any Persons designated by the Administrative Agent or, upon the occurrence and during the continuance of an Event of Default, any Lender upon reasonable prior notice to the Borrower to discuss the affairs, finances and condition of the
Borrower or any of its Relevant Subsidiaries with the officers thereof, or the general partner, managing member or sole member thereof, and independent accountants therefor (subject to reasonable requirements of confidentiality, including
requirements imposed by law or by contract); provided that, during any calendar year absent the occurrence and continuation of an Event of Default, only one (1) visit by the Administrative Agent shall be at the Borrower’s expense;
provided, further, that when an Event of Default exists, the Administrative Agent or any Lender may do any of the foregoing at the expense of the Borrower. 
  

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 (b) (i) Maintain or cause the maintenance of the interests and rights with respect to the
rights-of-way for the Pipeline Systems and the deeds for the Processing Plants except to the extent individually or in the aggregate the failure would not reasonably be expected to have a Material Adverse Effect, (ii) subject to the Permitted
Encumbrances and except to the extent the failure could not reasonably be expected to have a Material Adverse Effect, maintain the Pipeline Systems within the confines of the rights of way granted to the applicable Loan Party with respect thereto
without material encroachment upon any adjoining property and maintain the Processing Plants within the boundaries of the deeds and without material encroachment upon any adjoining property, (iii) maintain such rights of ingress and egress
necessary to permit the Loan Parties to inspect, operate, repair, and maintain the Pipeline Systems and the Processing Plants to the extent that failure to maintain such rights, individually or in the aggregate, could reasonably be expected to have
a Material Adverse Effect and provided that the Borrower or any other Loan Party may hire third parties to perform these functions, and (iv) maintain all material agreements, licenses, permits, and other rights required for any of the foregoing
described in clauses (i), (ii) and (iii) of this Section 5.07(b) in full force and effect in accordance with their terms, timely make any payments due thereunder, and prevent any default thereunder which could result in a termination
or loss thereof, except any such failure to maintain any thereof or make any such payments, or any such default, that could not reasonably, individually or in the aggregate, be expected to have a Material Adverse Effect. 

Section 5.08. Use of Proceeds. Use the proceeds of the Loans and the issuance of Letters of Credit solely for the purposes
described in Section 3.11. 
 Section 5.09. Compliance with Environmental Laws. Comply, cause all of the
Borrower’s Subsidiaries to comply and make commercially reasonable efforts to cause all lessees and other Persons occupying its properties to comply, with all Environmental Laws applicable to its business, operations and properties; obtain and
maintain in full force and effect all material authorizations, registrations, licenses and permits required pursuant to Environmental Law for its business, operations and properties; and perform any investigation, remedial action or cleanup required
pursuant to the Release of any Hazardous Materials as required pursuant to Environmental Laws, except, in each case with respect to this Section 5.09, to the extent the failure to do so could not reasonably be expected to have, individually or
in the aggregate, a Material Adverse Effect. 
 Section 5.10. Further Assurances. (a) Execute any and all further
documents, financing statements, agreements and instruments, and take all such further actions (including the filing and recording of financing statements, fixture filings, Mortgages and other documents and recordings of Liens in stock registries or
land title registries, as applicable), that may be required under any applicable law, or that the Administrative Agent may reasonably request, to cause the Collateral and Guarantee Requirement to be and remain satisfied, all at the expense of the
applicable Loan Parties, and provide to the Administrative Agent, from time to time upon reasonable request, evidence reasonably satisfactory to the Administrative Agent as to the perfection and priority of the Liens created or intended to be
created by the Security Documents. 
 (b) (i) Grant and cause each of the Loan Parties to grant to the Collateral Agent security
interests and Mortgages in such Material Real Property acquired after the Closing Date and satisfy the requirements of clause (h) of the definition of Collateral and Guarantee Requirement with respect to such Material Real Property within sixty
(60) days after the date such Material Real Property is acquired and (ii) within sixty (60) days after the end of each fiscal quarter of the Borrower, grant and cause each of the Loan Parties to grant to the Collateral Agent security
interests and Mortgages in any Material Real Property of the Borrower or any other Loan Party that, as of the end of such fiscal quarter, constituted Material Real Property (and that is not already Mortgaged Property) and otherwise satisfy the
requirements of clause (h) of the definition of Collateral and Guarantee Requirement with respect to such Material Real Property. 
  

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 (c) Provide to the Administrative Agent, if reasonably requested, title information
(including without limitation, deeds, easements, rights of way agreements, permits and similar agreements) in form and substance reasonably satisfactory to the Administrative Agent evidencing the applicable Loan Party’s interests in such
Material Real Properties. 
 (d) If any additional direct or indirect Subsidiary of a Borrower becomes a Subsidiary Loan Party
(including as a result of becoming a Material Subsidiary) after the Closing Date within five Business Days after the date such Subsidiary becomes a Subsidiary Loan Party (including as a result of becoming a Material Subsidiary), notify the
Administrative Agent and the Lenders thereof and, within sixty (60) Business Days after the date such Subsidiary becomes a Subsidiary Loan Party (including as a result of becoming a Material Subsidiary), cause the Collateral and Guarantee
Requirement to be satisfied with respect to such Subsidiary Loan Party and with respect to any Equity Interest in or Indebtedness of such Subsidiary owned by or on behalf of any Loan Party. 

(e) In the case of any Loan Party, (i) furnish to the Collateral Agent prompt written notice of any change (A) in such Loan
Party’s corporate or organization name, (B) in such Loan Party’s identity or organizational structure or (C) in such Loan Party’s organizational identification number; provided that no Loan Party shall effect or
permit any such change unless all filings have been made, or will have been made within any statutory period, under the UCC or otherwise that are required in order for the Collateral Agent to continue at all times following such change to have a
valid, legal and perfected security interest in all the Collateral for the benefit of the Secured Parties and (ii) promptly notify the Administrative Agent if any material portion of the Collateral is damaged or destroyed. 

(f) The Collateral and Guarantee Requirement and the other provisions of this Section 5.10 need not be satisfied with respect to any
assets or Equity Interests acquired after the Closing Date in accordance with this Agreement if, and to the extent that, and for so long as doing so would violate the Agreed Security Principles or Section 9.21; provided that, upon the
reasonable request of the Collateral Agent, the Borrower shall, and shall cause any of its applicable Material Subsidiaries to, use commercially reasonable efforts to have waived or eliminated any contractual obligation that causes a violation of
the Agreed Security Principles, other than those set forth in a joint venture agreement to which the Borrower or any Subsidiary is a party. 

Section 5.11. Fiscal Year. Cause its fiscal year to end on December 31. 

Section 5.12. Reserved. 

ARTICLE VI 

NEGATIVE COVENANTS 

The Borrower covenants and agrees with each Lender that so long as this Agreement shall remain in effect and until the Commitments have
been terminated and the principal of and interest on each Loan, all Fees and all other expenses or amounts payable under any Loan Document have been paid in full and 

 

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all Letters of Credit have been canceled or have expired and all amounts drawn thereunder have been reimbursed in full, unless the Required Lenders shall otherwise consent in writing, the
Borrower will not, and will not cause or permit any of its Relevant Subsidiaries to: 
 Section 6.01. Indebtedness.
Incur, create, assume or permit to exist any Indebtedness, except: 
 (a) (i) Indebtedness existing on the Closing Date and set
forth on Schedule 6.01 (excluding Indebtedness under clause (ii) of this clause (a) and clause (b) of this Section 6.01) and any Permitted Refinancing Indebtedness incurred to Refinance such Indebtedness (other than
intercompany Indebtedness Refinanced with Indebtedness owed to a Person not affiliated with the Borrower or any Subsidiary of the Borrower) and (ii) Indebtedness under the Parent Subordinated Note on the Closing Date; 

(b) Indebtedness created hereunder and under the other Loan Documents; 

(c) Indebtedness of the Borrower and its Relevant Subsidiaries pursuant to Swap Agreements permitted by Section 6.12; 

(d) Indebtedness owed to (including obligations in respect of letters of credit or bank guarantees or similar instruments for the benefit
of) any Person providing workers’ compensation, health, disability or other employee benefits or property, casualty or liability insurance to the Borrower or any Relevant Subsidiary of the Borrower, pursuant to reimbursement or indemnification
obligations to such Person; provided that upon the incurrence of Indebtedness with respect to reimbursement obligations regarding workers’ compensation claims, such obligations are reimbursed not later than 30 days following such
incurrence; 
 (e) Indebtedness of the Borrower or any Relevant Subsidiary owing to the Borrower or any Subsidiary of the
Borrower to the extent permitted by Section 6.04, provided that Indebtedness of any Loan Party to any Subsidiary that is not a Loan Party (the “Subordinated Intercompany Debt”) shall be subordinated to the Obligations on
terms reasonably satisfactory to the Administrative Agent; 
 (f) Indebtedness in respect of performance bonds, warranty bonds,
bid bonds, appeal bonds, surety bonds, labor bonds and completion or performance guarantees and similar obligations, in each case provided in the ordinary course of business, including those incurred to secure health, safety and environmental
obligations in the ordinary course of business and Indebtedness arising out of advances on exports, advances on imports, advances on trade receivables, customer prepayments and similar transactions in the ordinary course of business and consistent
with past practice; 
 (g) Indebtedness arising from the honoring by a bank or other financial institution of a check, draft or
similar instrument drawn against insufficient funds in the ordinary course of business or other cash management services in the ordinary course of business, provided that (x) such Indebtedness (other than credit or purchase cards) is
extinguished within five Business Days of its incurrence and (y) such Indebtedness in respect of credit or purchase cards is extinguished within 60 days from its incurrence; 

(h) (i) Indebtedness of a Relevant Subsidiary acquired after the Closing Date or a Person merged into, amalgamated or consolidated
with the Borrower or any Relevant Subsidiary after the Closing Date and Indebtedness assumed in connection with the acquisition of assets, which Indebtedness in each case, exists at the time of such acquisition, merger, amalgamation or consolidation
and is not created in contemplation of such event and where such acquisition, merger, amalgamation or 
  

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consolidation is permitted by this Agreement and (ii) any Permitted Refinancing Indebtedness incurred to Refinance such Indebtedness, provided that the aggregate principal amount of
such Indebtedness at the time of, and after giving effect to, such acquisition, merger, amalgamation or consolidation, such assumption or such incurrence, as applicable (together with Indebtedness outstanding pursuant to this paragraph (h),
paragraph (i) of this Section 6.01 and the Remaining Present Value of outstanding leases permitted under Section 6.03), would not exceed the greater of U.S.$30.0 million and 5.5% of Consolidated Total Assets as of the end of the
fiscal quarter immediately prior to the date of such acquisition, merger, amalgamation or consolidation, such assumption or such incurrence, as applicable, for which financial statements have been delivered pursuant to Section 5.04; 

(i) Capital Lease Obligations, mortgage financings and purchase money Indebtedness incurred by the Borrower or any Relevant Subsidiary
prior to or within 270 days after the acquisition, lease or improvement of the respective asset permitted under this Agreement in order to finance such acquisition, lease or improvement, and any Permitted Refinancing Indebtedness in respect thereof,
in an aggregate principal amount that at the time of, and after giving effect to, the incurrence thereof (together with Indebtedness outstanding pursuant to paragraph (h) of this Section 6.01, this paragraph (i) and the Remaining
Present Value of leases permitted under Section 6.03) would not exceed the greater of U.S.$30.0 million and 5.5% of Consolidated Total Assets as of the end of the fiscal quarter immediately prior to the date of such incurrence for which
financial statements have been delivered pursuant to Section 5.04; 
 (j) Capital Lease Obligations incurred by the
Borrower or any Relevant Subsidiary in respect of any Sale and Lease-Back Transaction that is permitted under Section 6.03; 

(k) other Indebtedness, in an aggregate principal amount at any time outstanding pursuant to this Section 6.01(k) not in excess of
the greater of U.S.$30.0 million and 5.5% of Consolidated Total Assets; 
 (l) Guarantees (i) by any Loan Party of any
Indebtedness of the Borrower or any other Loan Party expressly permitted to be incurred under this Agreement, (ii) by the Borrower or any Relevant Subsidiary of Indebtedness of any Subsidiary that is not a Loan Party to the extent permitted by
Section 6.04, (iii) by any Relevant Subsidiary that is not a Loan Party of Indebtedness of another Subsidiary that is not a Loan Party and (iv) by the Borrower of Indebtedness of Foreign Subsidiaries incurred for working capital
purposes in the ordinary course of business on ordinary business terms so long as such Indebtedness is permitted to be incurred under Section 6.01(k) or (p); provided that Guarantees by any Loan Party under this Section 6.01(l) of
any other Indebtedness of a Person that is subordinated to other Indebtedness of such Person shall be expressly subordinated to the Obligations on terms consistent with those used, or to be used, for Subordinated Intercompany Debt; 

(m) Indebtedness arising from agreements of the Borrower or any Relevant Subsidiary of the Borrower providing for indemnification,
adjustment of purchase price, earn outs or similar obligations, in each case, incurred or assumed in connection with the disposition of any business, assets or a Subsidiary, other than Guarantees of Indebtedness incurred by any Person acquiring all
or any portion of such business, assets or a Subsidiary for the purpose of financing such acquisition; 
 (n) Indebtedness
supported by a Revolving Letter of Credit, in a principal amount not in excess of the stated amount of such Revolving Letter of Credit; 

(o) Indebtedness consisting of Permitted Junior Debt; 

 

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 (p) Indebtedness of Relevant Subsidiaries that are Foreign Subsidiaries (including letters
of credit or bank guarantees (other than Revolving Letters of Credit issued pursuant to Section 2.05) for working capital purposes incurred in the ordinary course of business on ordinary business terms in an aggregate amount not to exceed the
greater of U.S.$5.0 million and 1% of Consolidated Total Assets outstanding at any time); 
 (q) (i) Indebtedness incurred
and/or assumed in connection with Section 6.04(j); provided that the aggregate amount of such Indebtedness outstanding pursuant to this Section 6.01(q) shall not exceed U.S.$50.0 million and (ii) any Permitted Refinancing
Indebtedness incurred to Refinance such Indebtdness; and 
 (r) all premium (if any), interest (including post-petition
interest), fees, expenses, charges and additional or contingent interest on obligations described in paragraphs (a) through (q) above. 

Section 6.02. Liens. Create, incur, assume or permit to exist any Lien on any property or assets (including stock or other
securities of any Person, including of any Relevant Subsidiaries) at the time owned by it or on any income or revenues or rights in respect of any thereof, except (without duplication): 

(a) Liens on property or assets of the Borrower and its Relevant Subsidiaries existing on the Closing Date and set forth on Schedule
6.02(a); provided that such Liens shall secure only those obligations that they secure on the Closing Date (and extensions, renewals and refinancings of such obligations permitted by Section 6.01(a)) and shall not subsequently apply
to any other property or assets of the Borrower or any of its Relevant Subsidiaries; 
 (b) any Lien created under the Loan
Documents or permitted in respect of any Mortgaged Property by the terms of the applicable Mortgage; 
 (c) any Lien on any
property or asset of the Borrower or any Relevant Subsidiary securing Indebtedness or Permitted Refinancing Indebtedness permitted by Section 6.01(h), provided that (i) such Lien does not apply to any other property or assets of the
Borrower or any Relevant Subsidiary not securing such Indebtedness at the date of the acquisition of such property or asset (other than after-acquired property subjected to a Lien securing Indebtedness and other obligations incurred prior to such
date and which Indebtedness and other obligations are permitted hereunder that require a pledge of after-acquired property, it being understood that such requirement shall not be permitted to apply to any property to which such requirement would not
have applied but for such acquisition), (ii) such Lien is not created in contemplation of or in connection with such acquisition and (iii) in the case of a Lien securing Permitted Refinancing Indebtedness, such Lien is permitted in
accordance with clause (e) of the definition of the term “Permitted Refinancing Indebtedness”; 
 (d) Liens for
Taxes, assessments or other governmental charges or levies not yet delinquent or that are being contested in compliance with Section 5.03; 

(e) Liens imposed by law (including, without limitation, Liens in favor of customers for equipment under order or in respect of advances
paid in connection therewith) such as landlord’s, carriers’, warehousemen’s, mechanics’, materialmen’s, repairmen’s, construction or other like Liens arising in the ordinary course of business and securing obligations
that are not overdue by more than 45 days or that are being contested in good faith by appropriate proceedings and in respect of which, if applicable, the Borrower or any Relevant Subsidiary shall have set aside on its books reserves in
accordance with GAAP; 
  

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 (f) (i) pledges and deposits made in the ordinary course of business in compliance with
the Federal Employers Liability Act or any other workers’ compensation, unemployment insurance and other social security laws or regulations under U.S. or foreign law and deposits securing liability to insurance carriers under insurance or
self-insurance arrangements in respect of such obligations and (ii) pledges and deposits securing liability for reimbursement or indemnification obligations of (including obligations in respect of letters of credit or bank guarantees for the
benefit of) insurance carriers providing property, casualty or liability insurance to the Borrower or any of its Relevant Subsidiaries; 

(g) deposits to secure the performance of bids, trade contracts (other than for Indebtedness), leases (other than Capital Lease
Obligations), statutory obligations, surety and appeal bonds, costs of litigation where required by law, performance and return of money bonds, warranty bonds, bids, leases, government contracts, trade contracts, completion or performance guarantees
and other obligations of a like nature incurred in the ordinary course of business, including those incurred to secure health, safety and environmental obligations in the ordinary course of business; 

(h) zoning restrictions, by-laws and other ordinances of Governmental Authorities, easements, trackage rights, leases (other than Capital
Lease Obligations), licenses, permits, special assessments, development agreements, deferred services agreements, restrictive covenants, owners’ association encumbrances, rights-of-way, restrictions on use of real property and other similar
encumbrances that do not render title unmarketable and that, in the aggregate, do not interfere in any material respect with the ordinary conduct of the business of the Borrower or any Relevant Subsidiary or would not result in a Material Adverse
Effect; 
 (i) purchase money security interests in equipment or other property or improvements thereto hereafter acquired (or,
in the case of improvements, constructed) by the Borrower or any of its Relevant Subsidiaries (including the interests of vendors and lessors under conditional sale and title retention agreements); provided that (i) such security
interests secure Indebtedness permitted by Section 6.01(i) (including any Permitted Refinancing Indebtedness in respect thereof), (ii) such security interests are incurred, and the Indebtedness secured thereby is created, within 270 days
after such acquisition (or construction), (iii) the Indebtedness secured thereby does not exceed 100% of the cost of such equipment or other property or improvements at the time of such acquisition (or construction), including transaction costs
incurred by the Borrower or any Relevant Subsidiary in connection with such acquisition (or construction) and (iv) such security interests do not apply to any other property or assets of the Borrower or any Relevant Subsidiary (other than to
accessions to such equipment or other property or improvements); provided further that individual financings of equipment provided by a single lender may be cross-collateralized to other financings of equipment provided solely by such lender;

 (j) Liens arising out of capitalized lease transactions permitted under Section 6.03, so long as such Liens attach only
to the property sold and being leased in such transaction and any accessions thereto or proceeds thereof and related property; 

(k) Liens securing judgments that do not constitute an Event of Default under Section 7.01(j); 

(l) Liens disclosed by any title insurance policies with respect to the Mortgaged Properties and any replacement, extension or renewal of
any such Lien; provided that such replacement, extension or renewal Lien shall not cover any property other than the property that was subject to such Lien prior to such replacement, extension or renewal; provided further that the
Indebtedness and other obligations secured by such replacement, extension or renewal Lien are permitted by this Agreement; 
  

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 (m) any interest or title of, or Liens created by, a lessor under any leases or subleases
entered into by the Borrower or any Relevant Subsidiary, as tenant, in the ordinary course of business; 
 (n) Liens that are
contractual rights of set-off (i) relating to the establishment of depository relations with banks or securities intermediaries not given in connection with the issuance of Indebtedness, (ii) relating to pooled deposit or sweep accounts of
the Borrower or any of its Relevant Subsidiaries to permit satisfaction of overdraft or similar obligations incurred in the ordinary course of business of the Borrower and its Relevant Subsidiaries or (iii) relating to purchase orders and other
agreements entered into with customers of the Borrower or any of its Relevant Subsidiaries in the ordinary course of business; 

(o) Liens arising solely by virtue of any statutory or common law provision relating to security intermediaries’ or banker’s
liens, rights of set-off or similar rights; 
 (p) Liens securing obligations in respect of trade-related letters of credit
permitted under Section 6.01(f) and covering the goods (or the documents of title in respect of such goods) financed by such letters of credit and the proceeds and products thereof; 

(q) licenses of intellectual property granted in the ordinary course of business; 

(r) Liens in favor of customs and revenue authorities arising as a matter of law to secure payment of customs duties in connection with
the importation of goods, machinery or other equipment; 
 (s) Liens solely on any cash earnest money deposits made by the
Borrower or any of its Relevant Subsidiaries in connection with any letter of intent or purchase agreement permitted hereunder; 

(t) Liens arising from precautionary UCC financing statement filings regarding operating leases entered into by the Borrower or any
Relevant Subsidiary in the ordinary course of business; 
 (u) Liens securing insurance premium financing arrangements in an
aggregate principal amount not to exceed 2.0% of Consolidated Total Assets, provided that such Lien is limited to the applicable insurance contracts; 

(v) Liens given to a public utility or any Governmental Authority when required by such utility or Governmental Authority in connection
with the operations of the Borrower or any Relevant Subsidiary; 
 (w) Liens in connection with subdivision agreements site plan
control agreements, development agreements, facilities sharing agreements, cost sharing agreements and other similar agreements in connection with the use of Real Property; 

(x) Liens in favor of any tenant, occupant or licensee under any lease, occupancy agreement or license with the Borrower or any Relevant
Subsidiary; 
 (y) Liens restricting or prohibiting access to or from lands abutting controlled access highways or covenants
affecting the use to which lands may be put; 
  

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 (z) Liens incurred or pledges or deposits made in favor of a Governmental Authority to
secure the performance of the Borrower or any Relevant Subsidiary under any Environmental Law to which any assets of such Person are subject; 

(aa) Liens consisting of minor irregularities in title, boundaries, or other minor survey defects, easements, leases, restrictions,
servitudes, licenses, permits, reservations, exceptions, zoning restrictions, rights-of-way, conditions, covenants, mineral or royalty rights or reservations or oil, gas and mineral leases and rights of others in any property of the Borrower or the
Relevant Subsidiaries, including rights of eminent domain (including those for streets, roads, bridges, pipes, pipelines, natural gas gathering systems, processing facilities, railroads, electric transmission and distribution lines, telegraph and
telephone lines, the removal of oil, gas or other minerals or other similar purposes, flood control, air rights, water rights, rights of others with respect to navigable waters, sewage and drainage rights) that exist as of the Closing Date or at the
time the affected property is acquired, or are granted by the Borrower or any Relevant Subsidiary in the ordinary course of business and other similar charges or encumbrances which do not secure the payment of Indebtedness and otherwise do not
materially interfere with the occupation, use and enjoyment by the Borrower or any Relevant Subsidiary of any Mortgaged Property in the normal course of business or materially impair the value thereof; and 

(bb) contractual Liens that arise in the ordinary course of business under operating agreements, joint venture agreements, oil and gas
partnership agreements, oil and gas leases, farm-out agreements, division orders, contracts for the sale, transportation or exchange of oil and natural gas, unitization and pooling declarations and agreements, area of mutual interest agreements,
overriding royalty agreements, marketing agreements, processing agreements, net profits agreements, development agreements, gas balancing or deferred production agreements, injection, repressuring and recycling agreements, salt water or other
disposal agreements, seismic or other geophysical permits or agreements, and other agreements which are usual and customary in the oil and gas business and are for claims which are not delinquent or which are being contested in good faith by
appropriate action and for which adequate reserves have been maintained in accordance with GAAP; provided, that any such Lien referred to in this clause (bb) does not materially impair (i) the use of the property covered by such Lien for
the purposes for which such Property is held by the Borrower or any Relevant Subsidiary, or (ii) the value of such Property subject thereto; 

(cc) Liens on the assets of a Foreign Subsidiary that do not constitute Collateral and which secure Indebtedness of such Foreign
Subsidiary that is not otherwise secured by a Lien on the Collateral under the Loan Documents and which Indebtedness is permitted to be incurred under Section 6.01(k); 

(dd) Liens upon specific items of inventory or other goods (other than rigs) and proceeds of the Borrower or any of its Subsidiaries
securing such Person’s obligations in respect of banker’s acceptances issued or created for the account of such Person to facilitate the purchase, shipment or storage of such inventory or other goods (other than rigs); 

(ee) Liens on the assets of a Foreign Subsidiary which secure Indebtedness of such Foreign Subsidiary that is permitted to be incurred
under Section 6.01(p); 
 (ff) licenses granted in the ordinary course of business and leases of property of the Loan
Parties that are not material to the business and operations of the Loan Parties; 
 (gg) Liens not otherwise permitted under
this Section 6.02 securing obligations in an aggregate amount not to exceed the greater of (x) U.S. $15.0 million and (y) 3.0% of Consolidated Total 

 

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Assets; provided that to the extent such Liens permitted under this clause (gg) secure Indebtedness incurred in connection with a Permitted Business Acquisition pursuant to
Section 6.01(q), such Liens shall only be permitted to encumber the assets acquired pursuant to such Permitted Business Acquisition and shall not be permitted to encumber any other assets of the Borrower, any Material Subsidiary or any
Subsidiary Loan Party. 
 Notwithstanding the foregoing, (i) no Liens shall be permitted to exist, directly or indirectly,
on Pledged Collateral, other than Liens in favor of the Collateral Agent and Liens arising by operation of law, (ii) no Liens shall be permitted to exist, directly or indirectly, on Pledged Collateral that are prior and superior in right
to Liens in favor of the Collateral Agent other than Liens that have priority by operation of law, (iii) no Liens shall be permitted to exist, directly or indirectly, on Collateral (other than Pledged Collateral) that are prior and superior in
right to any Liens in favor of the Collateral Agent other than Prior Liens and (iv) no Liens shall be permitted to exist, directly or indirectly, on Mortgaged Property, other than Liens in favor of the Collateral Agent, Prior Liens and
Permitted Encumbrances. 
 Section 6.03. Sale and Lease-back Transactions. Enter into any arrangement, directly or
indirectly, with any Person whereby it shall sell or transfer any property, real or personal, used or useful in its business, whether now owned or hereafter acquired, and thereafter rent or lease such property or other property that it intends to
use for substantially the same purpose or purposes as the property being sold or transferred (a “Sale and Lease-Back Transaction”), provided that a Sale and Lease-Back Transaction shall be permitted so long as at the time the
lease in connection therewith is entered into, and after giving effect to the entering into of such Lease, the Remaining Present Value of such lease (together with Indebtedness outstanding pursuant to paragraphs (h) and (i) of
Section 6.01 and the Remaining Present Value of outstanding leases previously entered into under this Section 6.03) would not exceed the greater of U.S.$20.0 million or 3.5% of Consolidated Total Assets. 

Section 6.04. Investments, Loans and Advances. Purchase, hold or acquire (including pursuant to any merger or amalgamation with a
Person that is not a Relevant Subsidiary immediately prior to such merger) any Equity Interests, evidences of Indebtedness or other securities of, make or permit to exist any loans or advances (other than intercompany current liabilities incurred in
the ordinary course of business in connection with the cash management operations of the Borrower and the Loan Parties, which cash management operations shall not extend to any other Person) to or Guarantees of the obligations of, or make or permit
to exist any investment or any other interest (each, an “Investment”), in any other Person, except: 
 (a)
Investments (including, but not limited to, Investments in Equity Interests, intercompany loans, and Guarantees of Indebtedness otherwise expressly permitted hereunder) after the Closing Date by (i) Loan Parties in Subsidiaries that are not
Loan Parties in an aggregate amount (valued at the time of the making thereof and without giving effect to any write-downs or write-offs thereof) not to exceed an amount equal to the sum of, without duplication, U.S.$35.0 million plus any
return of capital actually received by the respective investors in respect of investments previously made by them pursuant to this clause 6.04(a)(i) plus, an amount equal to the fair market value of any assets or property that is
contributed or transferred from any Subsidiary that is not a Loan Party to any Loan Party from and after the Closing Date and (ii) Loan Parties in other Loan Parties; 

(b) Permitted Investments and Investments that were Permitted Investments when made; 

(c) Investments arising out of the receipt by the Borrower or any of its Relevant Subsidiaries of noncash consideration for the sale of
assets permitted under Section 6.05; 
  

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 (d) (i) loans and advances to employees of the Borrower, any of its Relevant
Subsidiaries or, to the extent such employees are providing services rendered on behalf of the Loan Parties, any Parent Company in the ordinary course of business not to exceed U.S.$5.0 million in the aggregate at any time outstanding
(calculated without regard to write-downs or write-offs thereof) and (ii) advances of payroll payments and expenses to employees of the Borrower, any of its Relevant Subsidiaries or, to the extent such employees are providing services on behalf
of the Loan Parties, any Parent Company in the ordinary course of business; 
 (e) accounts receivable arising and trade credit
granted in the ordinary course of business and any securities received in satisfaction or partial satisfaction thereof from financially troubled account debtors to the extent reasonably necessary in order to prevent or limit loss and any prepayments
and other credits to suppliers made in the ordinary course of business; 
 (f) Swap Agreements permitted pursuant to
Section 6.12; 
 (g) Investments existing on the Closing Date and set forth on Schedule 6.04; 

(h) Investments resulting from pledges and deposits referred to in Section 6.02(f) and (g); 

(i) so long as immediately before and after giving effect to such Investment no Default or Event of Default has occurred and is
continuing, other Investments by the Borrower or any of its Relevant Subsidiaries in an aggregate amount (valued at the time of the making thereof, and without giving effect to any write-downs or write-offs thereof) not to exceed the greater of
U.S.$50.0 million and 10% of Consolidated Total Assets (plus any returns of capital actually received by the respective investor in respect of investments theretofore made by it pursuant to this paragraph (i)); 

(j) Investments constituting Permitted Business Acquisitions, so long as any Person acquired in connection with such Permitted Business
Acquisitions and each of such Person’s Subsidiaries becomes a Subsidiary Loan Party to the extent required by Section 5.10; 

(k) additional Investments to the extent made with proceeds of Equity Interests of the Borrower; 

(l) Investments (including, but not limited to, Investments in Equity Interests, intercompany loans, and Guarantees of Indebtedness
otherwise expressly permitted hereunder) after the Closing Date by Relevant Subsidiaries that are not Loan Parties in any Loan Party or other Subsidiaries; 

(m) the Transactions; 

(n) Investments received in connection with the bankruptcy or reorganization of, or settlement of delinquent accounts and disputes with
or judgments against, customers and suppliers, in each case in the ordinary course of business; 
 (o) Investments of a Relevant
Subsidiary of the Borrower acquired after the Closing Date or of a corporation merged or amalgamated or consolidated into the Borrower or merged or amalgamated into or consolidated with a Relevant Subsidiary of the Borrower in accordance with
Section 6.05 after the Closing Date to the extent that such Investments were not made in contemplation of or in connection with such acquisition, merger or consolidation and were in existence on the date of such acquisition, merger,
amalgamation or consolidation; and 
  

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 (p) Guarantees by the Borrower or any of its Relevant Subsidiaries of operating leases
(other than Capital Lease Obligations) or of other obligations that do not constitute Indebtedness, in each case entered into by any Subsidiary in the ordinary course of business. 

Section 6.05. Mergers, Consolidations, Sales of Assets and Acquisitions. Merge into, amalgamate with or consolidate with any other
Person, or permit any other Person to merge into, amalgamate with or consolidate with it, or sell, transfer, lease or otherwise dispose of (in one transaction or in a series of transactions) all or any part of its assets (whether now owned or
hereafter acquired), or issue, sell, transfer or otherwise dispose of any Equity Interests of the Borrower or any Relevant Subsidiary or preferred equity interests of the Borrower or any Relevant Subsidiary, or purchase, lease or otherwise acquire
(in one transaction or a series of transactions) all or any substantial part of the assets of any other Person, except that this Section shall not prohibit: 

(a) (i) the purchase and sale of inventory, supplies, materials and equipment and the purchase and sale of rights or licenses or
leases of intellectual property, in each case in the ordinary course of business by the Borrower or any of its Relevant Subsidiaries, (ii) the sale of any other asset in the ordinary course of business by the Borrower or any of its Relevant
Subsidiaries, (iii) the sale of surplus, obsolete or worn out equipment or other property in the ordinary course of business by the Borrower or any of its Relevant Subsidiaries or (iv) the sale of Permitted Investments in the ordinary
course of business; 
 (b) if at the time thereof and immediately after giving effect thereto no Event of Default shall have
occurred and be continuing, (i) the merger or consolidation of any Relevant Subsidiary of the Borrower into the Borrower in a transaction in which the Borrower is the surviving corporation, (ii) the merger or consolidation of any Relevant
Subsidiary of the Borrower into or with any Loan Party in a transaction in which the surviving or resulting entity is a Loan Party and, in the case of each of clauses (i) and (ii), no Person other than the Borrower or a Loan Party receives any
consideration, (iii) the merger, amalgamation or consolidation of any Subsidiary of the Borrower that is not a Loan Party into or with any other Subsidiary of the Borrower that is not a Loan Party, (iv) the liquidation, winding up, or
dissolution or change in form of entity of any Relevant Subsidiary of the Borrower if the Borrower determines in good faith that such liquidation, winding up, dissolution or change in form is in the best interests of the Borrower and is not
materially disadvantageous to the Lenders or (v) the change in form of entity of the Borrower if the Borrower determines in good faith that such change in form is in the best interests of the Borrower and is not materially disadvantageous to
the Lenders; 
 (c) sales, transfers, leases or other dispositions to the Borrower or a Subsidiary of the Borrower (upon
voluntary liquidation or otherwise); provided that any sales, transfers, leases or other dispositions by a Loan Party to a Subsidiary of the Borrower that is not a Loan Party shall be made in compliance with Section 6.07; provided
further that the aggregate gross proceeds of any sales, transfers, leases or other dispositions by a Loan Party to a Subsidiary that is not a Loan Party in reliance upon this paragraph (c) and the aggregate gross proceeds of any or all
assets sold, transferred or leased in reliance upon paragraph (g) below shall not exceed, in any fiscal year of the Borrower, 5.0% of Consolidated Total Assets as of the end of the immediately preceding fiscal year; 

(d) Sale and Lease-Back Transactions permitted by Section 6.03; 

(e) Investments permitted by Section 6.04, Liens permitted by Section 6.02 and Dividends permitted by Section 6.06;

  

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 (f) the sale of defaulted receivables in the ordinary course of business and not as part of
an accounts receivables financing transaction; 
 (g) sales, transfers, leases or other dispositions of assets not otherwise
permitted by this Section 6.05; provided that the aggregate gross proceeds (including noncash proceeds) of any or all assets sold, transferred, leased or otherwise disposed of in reliance upon this paragraph (g) and in reliance upon
the second proviso to paragraph (c) above shall not exceed, in any fiscal year of the Borrower, 5% of Consolidated Total Assets as of the end of the immediately preceding fiscal year; provided further that the Net Proceeds thereof are
applied in accordance with Section 2.11(c); and provided further that after giving effect thereto, no Default or Event of Default shall have occurred; 

(h) any merger or consolidation in connection with a Permitted Business Acquisition, provided that following any such merger or
consolidation (i) involving the Borrower, the Borrower is the surviving corporation and (ii) involving a Relevant Subsidiary, the surviving or resulting entity shall be a Loan Party; 

(i) licensing and cross-licensing arrangements involving any technology or other intellectual property of the Borrower or any Relevant
Subsidiary in the ordinary course of business; and 
 (j) abandonment, cancellation or disposition of any intellectual property
of the Borrower in the ordinary course of business. 
 Notwithstanding anything to the contrary contained in Section 6.05
above, (i) the Borrower may, so long as no Event of Default shall have occurred and be continuing or would result therefrom, sell, grant or otherwise issue Equity Interests to members of management of the Borrower or any of the Subsidiaries of
the Borrower that are Loan Parties pursuant to stock option, stock ownership, stock incentive or similar plans, (ii) no sale, transfer or other disposition of assets shall be permitted by this Section 6.05 (other than sales, transfers,
leases or other dispositions to Loan Parties pursuant to paragraph (c) hereof) unless such disposition is for fair market value, (iii) no sale, transfer or other disposition of assets shall be permitted by paragraph (a), (d), or
(j) of this Section 6.05 unless such disposition is for at least 75% cash consideration and (iv) no sale, transfer or other disposition of assets in excess of U.S.$5.0 million shall be permitted by paragraph (g) of this
Section 6.05 unless such disposition is for at least 75% cash consideration; provided that for purposes of clauses (iii) and (iv), the amount of any secured Indebtedness or other Indebtedness of a Subsidiary of the Borrower that is
not a Loan Party (as shown on the Borrower’s or such Subsidiary’s most recent balance sheet or in the notes thereto) that is assumed by the transferee of any such assets shall be deemed to be cash. 

Section 6.06. Dividends and Distributions. Declare or pay, directly or indirectly, any dividend or make any other distribution (by
reduction of capital or otherwise), whether in cash, property, securities or a combination thereof, with respect to any of its Equity Interests (other than dividends and distributions on Equity Interests payable solely by the issuance of additional
shares of Equity Interests of the Person paying such dividends or distributions) or directly or indirectly redeem, purchase, retire or otherwise acquire for value any shares of any class of its Equity Interests or set aside any amount for any such
purpose; provided, however, that: 
 (a) any Relevant Subsidiary of the Borrower may declare and pay dividends to,
repurchase its Equity Interests from, or make other distributions to, the Borrower or any Relevant Subsidiary (or, in the case of Relevant Subsidiaries that are not Wholly Owned Subsidiaries of the Borrower, to the Borrower or any Subsidiary that is
a direct or indirect parent of such Subsidiary and to each other owner of Equity Interests of such Subsidiary on a pro rata basis (or more favorable basis from the perspective of the Borrower or such Subsidiary) based on their relative ownership
interests); 
  

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 (b) the Borrower and each of its Relevant Subsidiaries may repurchase, redeem or otherwise
acquire or retire to finance any such repurchase, redemption or other acquisition or retirement for value any Equity Interests of the Borrower or any of its Relevant Subsidiaries held by any current or former officer, director, consultant, or
employee of the Borrower or any Subsidiary of the Borrower or, to the extent such Equity Interests were issued as compensation for services rendered on behalf of the Loan Parties, any employee of any Parent Company, pursuant to any equity
subscription agreement, stock option agreement, shareholders’, members’ or partnership agreement or similar agreement, plan or arrangement or any Plan and the Borrower and Relevant Subsidiaries may declare and pay dividends to the Borrower
or any other Relevant Subsidiary of the Borrower the proceeds of which are used for such purposes, provided that the aggregate amount of such purchases or redemptions in cash under this paragraph (b) shall not exceed in any fiscal year
U.S.$5.0 million (plus the amount of net proceeds (x) received by the Borrower during such calendar year from sales of Equity Interests of the Borrower to directors, consultants, officers or employees of the Borrower or any of its
Affiliates in connection with permitted employee compensation and incentive arrangements and (y) of any key-man life insurance policies received during such calendar year) which, if not used in any year, may be carried forward to any subsequent
calendar year; 
 (c) noncash repurchases, redemptions or exchanges of Equity Interests deemed to occur upon exercise of stock
options or exchange of exchangeable shares if such Equity Interests represent a portion of the exercise price of such options; 

(d) provided no Default or Event of Default then exists or would result therefrom, the Borrower may declare and pay dividends or make
other distributions from the proceeds of any issuance of Equity Interests permitted to be made under this Agreement; and 
 (e)
provided (i) no Default or Event of Default then exists or would result therefrom and (ii) the Borrower shall be in compliance (on a Pro Forma Basis and after giving effect to the making of such distribution) with the provisions of
Section 6.10 and Section 6.11 as of the end of the immediately preceding fiscal quarter, the Borrower may declare or make a distribution on or with respect to the Equity Interests of the Borrower during any fiscal quarter in accordance
with the Limited Partnership Agreement in an amount not to exceed Available Cash as of the end of the immediately preceding fiscal quarter. 

Section 6.07. Transactions with Affiliates. (a) Sell or transfer any property or assets to, or purchase or acquire any
property or assets from, or otherwise engage in any other transaction with, any of its Affiliates, unless such transaction is upon terms no less favorable to the Borrower or such Relevant Subsidiary, as applicable, than would be obtained in a
comparable arm’s-length transaction with a Person that is not an Affiliate; provided that this clause (a) shall not apply to the indemnification of directors (or persons holding similar positions for non-corporate entities) of the Borrower
and its Relevant Subsidiaries in accordance with customary practice. 
 (b) The foregoing paragraph (a) shall not prohibit,
to the extent otherwise permitted under this Agreement, 
 (i) any issuance of securities, or other payments,
awards or grants in cash, securities or otherwise pursuant to, or the funding of, employment arrangements, stock options, stock ownership plans, including restricted stock plans, stock grants, directed share programs and other equity based plans
customarily maintained by similar companies and the granting and performance of registration rights approved by the General Partner or the board of directors of any Relevant Subsidiary, as applicable, 

 

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 (ii) transactions among the Borrower and the other Loan Parties and
transactions among the Relevant Subsidiaries that are not Loan Parties otherwise permitted by this Agreement, 

(iii) any indemnification agreement or any similar arrangement entered into with directors, officers, consultants and
employees of the Borrower or any of its Affiliates in the ordinary course of business and the payment of fees and indemnities to directors, officers, consultants and employees of the Borrower and its Relevant Subsidiaries in the ordinary course of
business and, to the extent such fees and indemnities are directly attributable to services rendered on behalf of the Loan Parties, any employee of any Parent Company, 

(iv) transactions pursuant to permitted agreements in existence on the Closing Date and set forth on Schedule 6.07
or any amendment thereto to the extent such amendment is not adverse to the Lenders in any material respect, 

(v) any employment agreement or employee benefit plan entered into by the Borrower or any of its Affiliates in the
ordinary course of business or consistent with past practice and payments pursuant thereto, 
 (vi) transactions
otherwise permitted under Section 6.06 and Investments permitted by Section 6.04; provided that this clause (vi) shall not apply to any Investment, whether direct or indirect, in either (x) Persons that were not Subsidiaries
immediately prior to such Investment or (y) Persons that are not Subsidiaries immediately after such Investment, 

(vii) any purchase by the Sponsors or any Sponsor Affiliate of Equity Interests of the Borrower, 

(viii) payments by the Borrower or any of its Relevant Subsidiaries to the Sponsors or any Sponsor Affiliate made for any
financial advisory, financing, underwriting or placement services or in respect of other investment banking activities, including in connection with acquisitions or divestitures, which payments are approved by General Partner or the board of
directors of any Relevant Subsidiary, as applicable, in good faith, 
 (ix) the existence of, or the performance
by the Borrower or any of its Relevant Subsidiaries of its obligations under the terms of, the Acquisition Documents, or any agreement contemplated thereunder to which it is a party as of the Closing Date, provided, however, that the
existence of, or the performance by the Borrower or any Relevant Subsidiary of obligations under any future amendment to any such existing agreement or under any similar agreement entered into after the Closing Date shall only be permitted by this
clause (ix) to the extent that the terms of any such amendment or new agreement are not otherwise disadvantageous to the Lenders in any material respect, 

(x) transactions with any Affiliate for the purchase or sale of goods, products, parts and services entered into in the
ordinary course of business in a manner consistent with past practice, 
  

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 (xi) any transaction in respect of which the Borrower delivers to the
Administrative Agent (for delivery to the Lenders) a letter addressed to the Borrower from an accounting, appraisal or investment banking firm, in each case of nationally recognized standing that is (A) in the good faith determination of the
Borrower qualified to render such letter and (B) reasonably satisfactory to the Administrative Agent, which letter states that such transaction is on terms that are no less favorable to the Borrower or Relevant Subsidiary, as applicable, than
would be obtained in a comparable arm’s-length transaction with a Person that is not an Affiliate, 
 (xii)
the payment of all fees, expenses, bonuses and awards related to the Transactions contemplated by the Acquisition Documents, including fees to the Sponsors or any Sponsor Affiliate, 

(xiii) so long as not otherwise prohibited under this Agreement, guarantees of performance by the Borrower or any Relevant
Subsidiary of any other Subsidiary or the Borrower that is not a Loan Party in the ordinary course of business, except for guarantees of Indebtedness in respect of borrowed money, 

(xiv) if such transaction is with a Person in its capacity as a holder (A) of Indebtedness of the Borrower or any
Relevant Subsidiary of the Borrower where such Person is treated no more favorably than the other holders of Indebtedness of the Borrower or any such Relevant Subsidiary or (B) of Equity Interests of the Borrower or any Relevant Subsidiary of
the Borrower where such Person is treated no more favorably than the other holders of Equity Interests of the Borrower or such Relevant Subsidiary, 

(xv) the transactions contemplated hereby and the payment of fees and expenses related thereto, and 

(xvi) payments by the Borrower or any of its Relevant Subsidiaries to any Affiliate in respect of compensation, expense
reimbursement, or benefits to or for the benefit of current or former employees, independent contractors or directors of the Borrower or any of its Subsidiaries or, to the extent such compensation, expense reimbursement, or benefits are directly
attributable to services rendered on behalf of the Loan Parties, any employee of any Parent Company, including, without limitation, pursuant to the terms and conditions of the Omnibus Agreement and the Limited Partnership Agreement. 

Section 6.08. Business of the Borrower and the Subsidiaries. Notwithstanding any other provisions hereof, engage at any time in
any business or business activity other than any business or business activity conducted by it on the Closing Date, Midstream Activities and any business or business activities incidental or related thereto, or any business or activity that is
reasonably similar thereto or a reasonable extension, development or expansion thereof or ancillary thereto, including, without limitation, the consummation of the Transactions. 

Section 6.09. Limitation on Modifications of Indebtedness; Modifications of Certificate of Incorporation, By-laws and Certain Other
Agreements; etc. (a) Amend or modify or grant any waiver or release under or terminate in any manner the articles or certificate of incorporation or by-laws or partnership agreement (including the Limited Partnership Agreement) or limited
liability company operating agreement of the Borrower or any Relevant Subsidiary), the Gathering and Processing Documents, the Transaction Documents or any Material Contract, in each case, if such amendment, modification, waiver, release or
termination could reasonably be expected to result in a Material Adverse Effect or affect the assignability of any such contract or agreement in a manner that would have an adverse effect on the rights of the Secured Parties in the Collateral
(including in such agreement as Collateral); 
  

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 (b) (i) Make, or agree or offer to pay or make, directly or indirectly, any payment or other
distribution (whether in cash, securities or other property) of or in respect of principal of or interest on Permitted Junior Debt or any payment or other distribution (whether in cash, securities or other property), including any sinking fund or
similar deposit, on account of the purchase, redemption, retirement, acquisition, cancellation or termination of any Permitted Junior Debt, except for (to the extent permitted by the subordination provisions thereof) (A) payments of regularly
scheduled interest, (B) payments made solely with the proceeds from the issuance of common Equity Interests or from equity contributions, (C) so long as no Default or Event of Default has occurred and is continuing or would result
therefrom, prepayments of any Permitted Junior Debt, provided that, (1) no such prepayments shall be made with the proceeds of Revolving Facility Loans and (2) no such prepayments shall be made if any Incremental Term Loans are then
outstanding, and (D) (1) prepayments made with the proceeds of any Permitted Refinancing Indebtedness in respect thereof or (2) prepayments with the proceeds of any non-cash interest bearing Equity Interests issued for such purchase that
are not redeemable prior to the date that is six months following the later of the Revolving Facility Maturity Date and any Incremental Maturity Date and that have terms and covenants no more restrictive than the Permitted Junior Debt being so
refinanced; or 
 (ii) Amend or modify, or permit the amendment or modification of, any provision of any
Permitted Junior Debt or any agreement relating thereto other than amendments or modifications that are not materially adverse to the Lenders and that do not affect the subordination provisions thereof (if any) in a manner adverse to the Lenders.

 (c) Enter into any agreement or instrument that by its terms restricts (i) the payment of dividends or distributions or
the making of cash advances to the Borrower or any other Loan Party by a Relevant Subsidiary or (ii) the granting of Liens by the Borrower or a Relevant Subsidiary pursuant to the Security Documents, in each case other than those arising under
any Loan Document, except, in each case, restrictions existing by reason of: 
 (A) restrictions imposed by
applicable law; 
 (B) contractual encumbrances or restrictions in effect on the Closing Date under any
agreements related to any permitted renewal, extension or refinancing of any Indebtedness existing on the Closing Date that does not expand the scope of any such encumbrance or restriction; 

(C) any restriction on a Relevant Subsidiary imposed pursuant to an agreement entered into for the sale or disposition of
all or substantially all the Equity Interests or assets of such Relevant Subsidiary pending the closing of such sale or disposition; 

(D) customary provisions in joint venture agreements and other similar agreements applicable to joint ventures entered
into in the ordinary course of business; 
 (E) any restrictions imposed by any agreement relating to secured
Indebtedness permitted by this Agreement to the extent that such restrictions apply only to the property or assets securing such Indebtedness; 

(F) customary provisions contained in leases or licenses of intellectual property and other similar agreements entered
into in the ordinary course of business; 
  

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 (G) customary provisions restricting subletting or assignment of any lease
governing a leasehold interest; 
 (H) customary provisions restricting assignment of any agreement entered into
in the ordinary course of business; 
 (I) customary restrictions and conditions contained in any agreement
relating to the sale of any asset permitted under Section 6.05 pending the consummation of such sale; 
 (J)
in the case of any Person that becomes a Relevant Subsidiary after the Closing Date, any agreement in effect at the time such Person so becomes a Relevant Subsidiary, so long as such agreement was not entered into in contemplation of such Person
becoming such a Relevant Subsidiary; or 
 (K) restrictions imposed by any Permitted Junior Indebtedness
consisting of unsecured senior Indebtedness that are substantially similar to restrictions set forth in this Agreement and in any case do not restrict the granting of Liens pursuant to the Security Documents. 

Section 6.10. Leverage Ratio. Beginning at the end of the first full fiscal quarter ending after the Closing Date, for any Test
Period, permit the Leverage Ratio on the last day of any fiscal quarter, to be in excess of the Maximum Leverage Ratio then in effect. 

Section 6.11. Interest Coverage Ratio. Beginning at the end of the first full fiscal quarter after the Closing Date, for any Test
Period, permit the Interest Coverage Ratio on the last day of any fiscal quarter to be less than 2.50:1.00. 
 Section 6.12.
Swap Agreements. Enter into any Swap Agreement, other than (a) Swap Agreements entered into in the ordinary course of business to hedge or mitigate risks to which the Borrower or any Relevant Subsidiary is exposed in the conduct of its
business or the management of its liabilities, and (b) Swap Agreements entered into in order to effectively cap, collar or exchange interest rates (from fixed to floating rates, from one floating rate to another floating rate or otherwise) with
respect to any interest-bearing liability or investment of the Borrower or any Relevant Subsidiary, which in the case of each of clauses (a) and (b) are entered into for bona fide risk mitigation purposes and that are not speculative in
nature. 
 ARTICLE VII 

EVENTS OF DEFAULT 

Section 7.01. Events of Default. In case of the happening of any of the following events (“Events of Default”):

 (a) any representation or warranty made or deemed made by the Borrower or any other Loan Party in any Loan Document, or any
representation, warranty, statement or information contained in any report, certificate, financial statement or other instrument furnished in connection with or pursuant to any Loan Document, shall prove to have been false or misleading in any
material respect when so made, deemed made or furnished by the Borrower or any other Loan Party; 
  

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 (b) default shall be made in the payment of any principal of any Loan or the reimbursement
with respect to any Revolving L/C Disbursement when and as the same shall become due and payable, whether at the due date thereof or at a date fixed for prepayment thereof or by acceleration thereof or otherwise; 

(c) default shall be made in the payment of any interest on any Loan or on any Revolving L/C Disbursement or in the payment of any Fee or
any other amount (other than an amount referred to in (b) above) due under any Loan Document, when and as the same shall become due and payable, and such default shall continue unremedied for a period of five (5) Business Days; 

(d) default shall be made in the due observance or performance by the Borrower or any of its Relevant Subsidiaries of any covenant,
condition or agreement contained in (i) Section 5.01(a) (with respect to the Borrower), 5.05(a), 5.08, 5.10(d) or in Article VI; 

(e) default shall be made in the due observance or performance by the Borrower or any of its Relevant Subsidiaries of any covenant,
condition or agreement of such Person contained in any Loan Document (other than those specified in paragraphs (b), (c) and (d) above) and such default shall continue unremedied for a period of 30 days after notice thereof from the
Administrative Agent or any Lender to the Borrower; 
 (f) (i) any event or condition occurs that (x) results in any
Material Indebtedness becoming due prior to its scheduled maturity or (y) enables or permits (with all applicable grace periods having expired) the holder or holders of any Material Indebtedness or any trustee or agent on its or their behalf to
cause any Material Indebtedness to become due, or to require the prepayment, repurchase, redemption or defeasance thereof, prior to its scheduled maturity or (ii) the Borrower or any of its Relevant Subsidiaries shall fail to pay the principal
of any Material Indebtedness at the stated final maturity thereof; provided that this clause (f) shall not apply to secured Indebtedness that becomes due as a result of the voluntary sale or transfer of the property or assets securing
such Indebtedness if such sale or transfer is permitted hereunder and under the documents providing for such Indebtedness; 

(g) there shall have occurred a Change in Control; 

(h) an involuntary proceeding shall be commenced or an involuntary petition shall be filed in a court of competent jurisdiction seeking
(i) relief in respect of the Borrower or any of its Relevant Subsidiaries, or of a substantial part of the property or assets of the Borrower or any its Relevant Subsidiaries, taken as a whole, under Title 11 of the United States Code, as now
constituted or hereafter amended or any other federal, state or foreign bankruptcy, insolvency, receivership or similar law, (ii) the appointment of a receiver, trustee, custodian, sequestrator, conservator or similar official for the Borrower
or any of its Relevant Subsidiaries or for a substantial part of the property or assets of the Borrower or any of its Relevant Subsidiaries, taken as a whole, or (iii) the winding-up or liquidation of the Borrower or any of its Relevant
Subsidiaries (except, in the case of any Relevant Subsidiary, in a transaction permitted by Section 6.05); and such proceeding or petition shall continue undismissed for 60 days or an order or decree approving or ordering any of the foregoing
shall be entered; 
 (i) the Borrower or any of its Relevant Subsidiaries shall (i) voluntarily commence any proceeding or
file any petition seeking relief under Title 11 of the United States Code, as now constituted or hereafter amended, or any other federal, state or foreign bankruptcy, insolvency, receivership or similar law, (ii) consent to the institution of,
or fail to contest in a timely and appropriate manner, any proceeding or the filing of any petition described in paragraph (h) above, (iii) apply for, request or consent to the appointment of a receiver, trustee, custodian, sequestrator,
conservator or similar 
  

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official for the Borrower or any of its Relevant Subsidiaries or for a substantial part of the property or assets of the Borrower or any of its Relevant Subsidiaries, taken as a whole,
(iv) file an answer admitting the material allegations of a petition filed against it in any such proceeding, (v) make a general assignment for the benefit of creditors or (vi) become unable, admit in writing its inability or fail
generally to pay its debts as they become due; 
 (j) the failure by the Borrower or any of its Relevant Subsidiaries to pay one
or more final judgments aggregating in excess of U.S. $20.0 million (net of any amounts which are covered by insurance or bonded), which judgments are not discharged or effectively waived or stayed for a period of 30 consecutive days, or any
action shall be legally taken by a judgment creditor to levy upon assets or properties of the Borrower or any of its Relevant Subsidiaries to enforce any such judgment; 

(k) one or more ERISA Events shall have occurred that, when taken together with all other ERISA Events that have occurred, could
reasonably be expected to result in a Material Adverse Effect; 
 (l) (i) any Loan Document shall for any reason be
asserted in writing by the Borrower or any other Loan Party not to be a legal, valid and binding obligation of any party thereto, (ii) any security interest purported to be created by any Security Document and to extend to Collateral that is
not immaterial to the Loan Parties on a consolidated basis shall cease to be, or shall be asserted in writing by any Loan Party not to be, a valid and perfected security interest (having the priority required by this Agreement or the relevant
Security Document) in the securities, assets or properties covered thereby, except to the extent that (x) any such loss of perfection or priority results from the failure of the Collateral Agent to maintain possession of certificates actually
delivered to it representing securities pledged under the Collateral Agreements or to file UCC continuation statements, (y) such loss is covered by a lender’s title insurance policy and the Administrative Agent shall be reasonably
satisfied with the credit of such insurer or (z) any such loss of validity, perfection or priority is the result of any failure by the Collateral Agent or the Administrative Agent to take any action necessary to secure the validity, perfection
or priority of the Liens or (iii) the Guarantees by any Loan Party of any of the Obligations shall cease to be in full force and effect (other than in accordance with the terms thereof), or shall be asserted in writing by the Borrower or any
other Loan Party or any other Person not to be in effect or not to be legal, valid and binding obligations; 
 (m) (A) any
Environmental Claim against the Borrower or any of its Relevant Subsidiaries, (B) any Liability of the Borrower or any of its Relevant Subsidiaries for any Release or threatened Release of Hazardous Materials or (C) any Liability of the
Borrower or any of its Relevant Subsidiaries for any actual or alleged presence, Release or threatened Release of Hazardous Materials at, under, on or from any real property currently or formerly owned, leased or operated by any predecessor of the
Borrower or any of its Relevant Subsidiaries, or any property at which the Borrower or any of its Relevant Subsidiaries has sent Hazardous Materials for treatment, storage or disposal, (each, an “Environmental Event”) shall have
occurred that, when taken together with all other Environmental Events that have occurred, could reasonably be expected to result in a Material Adverse Effect; 

(n) (i) default shall have occurred under any Gathering and Processing Document that could reasonably be expected to result in a Material
Adverse Effect or (ii) any Gathering and Processing Documents shall have been terminated and in the reasonable judgment of the Borrower it is not possible to replace such agreement with a comparable agreement within a reasonable period of time
(or, if shorter, such period of time as would prevent a Material Adverse Effect); or 
  

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 (o) HoldCo shall have failed to convert the Parent Subordinated Note into common equity
units of the Borrower by the date that is sixty days after the Closing Date; 
 then, and in every such event (other than an event with respect
to the Borrower described in paragraph (h) or (i) above), and at any time thereafter during the continuance of such event, the Administrative Agent, at the request of the Required Lenders, shall, by notice to the Borrower, take any or all
of the following actions, at the same or different times: (i) terminate forthwith the Commitments, (ii) declare the Loans then outstanding to be forthwith due and payable in whole or in part, whereupon the principal of the Loans so
declared to be due and payable, together with accrued interest thereon and any unpaid accrued Fees and all other liabilities of the Borrower accrued hereunder and under any other Loan Document, shall become forthwith due and payable, without
presentment, demand, protest or any other notice of any kind, all of which are hereby expressly waived by the Borrower, anything contained herein or in any other Loan Document to the contrary notwithstanding and (iii) demand cash collateral
pursuant to Section 2.05(j); and in any event described in paragraph (h) or (i) above, the Commitments shall automatically terminate, the principal of the Loans then outstanding, together with accrued interest thereon and any unpaid
accrued Fees and all other liabilities of the Borrower accrued hereunder and under any other Loan Document, shall automatically become due and payable and the Administrative Agent shall be deemed to have made a demand for cash collateral to the full
extent permitted under Section 2.05(j), without presentment, demand, protest or any other notice of any kind, all of which are hereby expressly waived by the Borrower, anything contained herein or in any other Loan Document to the contrary
notwithstanding. 
 ARTICLE VIII 

THE AGENTS 

Section 8.01. Appointment and Authority. (a) Each of the Lenders and the Issuing Banks hereby irrevocably appoints BNP
Paribas to act on its behalf as the Administrative Agent hereunder and under the other Loan Documents and authorizes the Administrative Agent to take such actions on its behalf and to exercise such powers as are delegated to the Administrative Agent
by the terms hereof or thereof, together with such actions and powers as are reasonably incidental thereto. 
 (b) BNP Paribas
shall also act as the Collateral Agent under the Loan Documents, and each of the Lenders (including in its capacities as a potential Specified Swap Counterparty and a potential Cash Management Bank) and the Issuing Banks hereby irrevocably appoints
and authorizes the Administrative Agent to act as the agent of such Lender or Issuing Bank for purposes of acquiring, holding and enforcing any and all Liens on Collateral granted by any of the Loan Parties to secure any of the Obligations, together
with such powers and discretion as are reasonably incidental thereto. In this connection, the Collateral Agent and any co-agents, sub-agents and attorneys-in-fact appointed by the Collateral Agent pursuant to Section 8.05 for purposes of
holding or enforcing any Lien on the Collateral (or any portion thereof) granted under the Security Documents, or for exercising any rights and remedies thereunder at the direction of the Administrative Agent, shall be entitled to the benefits of
all provisions of this Article VIII and Article IX (including Section 8.12) as though such co-agents, sub-agents and attorneys-in-fact were the Collateral Agent under the Loan Documents as if set forth in full herein with respect thereto.

 (c) Each of Bank of America, N.A. and Royal Bank of Canada is hereby appointed to act as a Syndication Agent. 

(d) Each of UBS Securities LLC and The Royal Bank of Scotland PLC are hereby appointed to act as a Co-Documentation Agent. 

 

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 (e) The provisions of this Article are solely for the benefit of the Administrative Agent,
the Collateral Agent, any appointees thereof, the Lenders and the Issuing Banks, and neither the Borrower nor any other Loan Party shall have rights as a third party beneficiary of any of such provisions. 

Section 8.02. Rights as a Lender. Any Person serving as an Agent hereunder shall have the same rights and powers in its capacity
as a Lender as any other Lender, and may exercise the same as though it were not an Agent, and the term “Lender” or “Lenders” shall, unless otherwise expressly indicated or unless the context otherwise requires, include a Person
serving as an Agent hereunder in its individual capacity. Such Person and its Affiliates may accept deposits from, lend money to, act as the financial advisor or in any other advisory capacity for and generally engage in any kind of business with
the Borrower or any Subsidiary or other Affiliate thereof as if such Person were not an Agent hereunder and without any duty to account therefor to the Lenders. 

Section 8.03. Exculpatory Provisions. No Agent shall have any duties or obligations except those expressly set forth herein and in
the other Loan Documents. Without limiting the generality of the foregoing, no Agent: 
 (a) shall be subject to any fiduciary
or other implied duties, regardless of whether a Default or Event of Default has occurred and is continuing; 
 (b) shall have
any duty to take any discretionary action or exercise any discretionary powers, except discretionary rights and powers expressly contemplated hereby or by the other Loan Documents that such Agent is required to exercise as directed in writing by the
Required Lenders (or such other number or percentage of the Lenders as shall be expressly provided for herein or in the other Loan Documents), provided that no Agent shall be required to take any action that, in its opinion or the opinion of
its counsel, may expose such Agent to liability or that is contrary to any Loan Document or applicable law; 
 (c) shall, except
as expressly set forth herein and in the other Loan Documents, have any duty to disclose, and shall not be liable for the failure to disclose, any information relating to the Borrower or any of its Affiliates that is communicated to or obtained by
the Person serving as such Agent or any of its Affiliates in any capacity; 
 (d) shall be liable for any action taken or not
taken by it (i) with the consent or at the request of the Required Lenders (or such other number or percentage of the Lenders as shall be necessary, or as such Agent shall believe in good faith shall be necessary, under the circumstances as
provided in Sections 9.08 and 7.01) or (ii) in the absence of its own gross negligence or willful misconduct; 
 (e) shall
be responsible for or have any duty to ascertain or inquire into (i) any statement, warranty or representation made in or in connection with this Agreement or any other Loan Document, (ii) the contents of any certificate, report or other
document delivered hereunder or thereunder or in connection herewith or therewith, (iii) the performance or observance of any of the covenants, agreements or other terms or conditions set forth herein or therein or the occurrence of any
Default, (iv) the validity, enforceability, effectiveness or genuineness of this Agreement, any other Loan Document or any other agreement, instrument or document, or the creation, perfection or priority of any Lien purported to be created by
the Security Documents, (v) the value or the sufficiency of any Collateral, or (v) the satisfaction of any condition set forth in Article IV or elsewhere herein, other than to confirm receipt of items expressly required to be delivered to
such Agent; and 
  

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 (f) shall be deemed to have knowledge of any Default or Event of Default unless and until
notice describing such Default or Event of Default is given to such Agent by the Borrower, a Lender or an Issuing Bank. 

Section 8.04. Reliance by Agents. Any Agent shall be entitled to rely upon, and shall not incur any liability for relying upon,
any notice, request, certificate, consent, statement, instrument, document or other writing (including any electronic message, Internet or intranet website posting or other distribution) believed by it to be genuine and to have been signed, sent or
otherwise authenticated by the proper Person. Any Agent also may rely upon any statement made to it orally or by telephone and believed by it to have been made by the proper Person, and shall not incur any liability for relying thereon. In
determining compliance with any condition hereunder to the making of a Loan or issuance of a Revolving Letter of Credit that by its terms must be fulfilled to the satisfaction of a Lender or an Issuing Bank, any Agent may presume that such condition
is satisfactory to such Lender or Issuing Bank unless such Agent shall have received notice to the contrary from such Lender or Issuing Bank prior to the making of such Loan or issuance of a Revolving Letter of Credit, as applicable. Any Agent may
consult with legal counsel (who may be counsel for the Borrower), independent accountants and other experts selected by it, and shall not be liable for any action taken or not taken by it in accordance with the advice of any such counsel,
accountants or experts. 
 Section 8.05. Delegation of Duties. Any Agent may perform any and all of its duties and
exercise its rights and powers hereunder or under any other Loan Document by or through any one or more sub-agents appointed by such Agent. Any Agent and any such sub-agent may perform any and all of its duties and exercise its rights and powers by
or through their respective Related Parties. The exculpatory provisions of this Article shall apply to any such sub-agent and to the Related Parties of each Agent and any such sub-agent, and shall apply to their respective activities in connection
with the syndication of the credit facilities provided for herein as well as activities as an Agent. 
 Section 8.06.
Resignation of the Agents. Any Agent may at any time give notice of its resignation to the Lenders, Issuing Banks and the Borrower. Upon receipt of any such notice of resignation, the Required Lenders shall have the right to appoint a
successor with the consent of the Borrower (not to be unreasonably withheld or delayed), which shall be a financial institution with an office in the United States, or an Affiliate of any such financial institution with an office in the United
States. During an Agent Default Period, the Borrower and the Required Lenders may remove the relevant Agent subject to the execution and delivery by the Borrower and the Required Lenders of removal and liability release agreements reasonably
satisfactory to the relevant Agent, which removal shall be effective upon the acceptance of appointment by a successor as such Agent. Upon any proposed removal of an Agent during an Agent Default Period, the Required Lenders shall have the right to
appoint a successor with the consent of the Borrower (not to be unreasonably withheld or delayed), which shall be a financial institution with an office in the United States, or an Affiliate of any such financial institution with an office in the
United States. In the case of the resignation of an Agent, if no such successor shall have been so appointed by the Required Lenders and the Borrower and shall have accepted such appointment within 30 days after the retiring Agent gives notice of
its resignation, then such resignation shall nonetheless become effective in accordance with such notice and (a) the retiring Agent shall be discharged from its duties and obligations hereunder and under the other Loan Documents (except that in
the case of any collateral security held by the Collateral Agent on behalf of the Secured Parties under any of the Loan Documents, the retiring Collateral Agent shall continue to hold such collateral security, as bailee, until such time as a
successor Collateral Agent is appointed), (b) all payments, communications and determinations provided to be made by, to or through the Administrative Agent shall instead be made by or to each Lender or Issuing Bank directly, until such time as
the Required Lenders and the Borrower appoint a successor Administrative Agent as provided for above in this Section and (c) the Borrower and 
  

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the Lenders agree that in no event shall the retiring Agent or any of its Affiliates or any of their respective officers, directors, employees, agents advisors or representatives have any
liability to the Loan Parties, any Lender or any other Person or entity for damages of any kind, including, without limitation, direct or indirect, special, incidental or consequential damages, losses or expenses (whether in tort, contract or
otherwise) arising out of the failure of a successor Agent to be appointed and to accept such appointment. Upon the acceptance of a successor’s appointment as Agent hereunder, such successor shall succeed to and become vested with all of the
rights, powers, privileges and duties of the retiring (or retired) or removed Agent, and the retiring or removed Agent shall be discharged from all of its duties and obligations hereunder and under the other Loan Documents (if not already discharged
therefrom as provided above in this Section). The fees payable by the Borrower to a successor Agent shall be the same as those payable to its predecessor unless otherwise agreed between the Borrower and such successor. After the retiring
Agent’s resignation or removal hereunder and under the other Loan Documents, the provisions of this Article (including Section 8.12) and Section 9.05 shall continue in effect for the benefit of such retiring or removed Agent, its
sub-agents and their respective Related Parties in respect of any actions taken or omitted to be taken by any of them while the retiring or removed Agent was acting as Agent. 

Section 8.07. Non-Reliance on the Agents, Other Lenders and Other Issuing Banks. Each Lender and each Issuing Bank acknowledges
that it has, independently and without reliance upon any Agent or any other Lender or Issuing Bank or any of their Related Parties and based on such documents and information as it has deemed appropriate, made its own credit analysis and decision to
enter into this Agreement. Each Lender and each Issuing Bank also acknowledges that it will, independently and without reliance upon any Agent or any other Lender or Issuing Bank or any of their Related Parties and based on such documents and
information as it shall from time to time deem appropriate, continue to make its own decisions in taking or not taking action under or based upon this Agreement, any other Loan Document or any related agreement or any document furnished hereunder or
thereunder. 
 Section 8.08. No Other Duties, Etc. Anything herein to the contrary notwithstanding, none of the Joint
Lead Arrangers, the Syndication Agent or the Co-Documentation Agents shall have any powers, duties or responsibilities under this Agreement or any of the other Loan Documents, except in its capacity, as applicable, as an Agent, a Lender or an
Issuing Bank hereunder. 
 Section 8.09. Administrative Agent May File Proofs of Claim. In case of the pendency of any
proceeding under any federal, state or foreign bankruptcy, insolvency, receivership or similar law or any other judicial proceeding relative to any Loan Party, the Administrative Agent (irrespective of whether the principal of any Loan shall then be
due and payable as herein expressed or by declaration or otherwise and irrespective of whether the Administrative Agent shall have made any demand on the Borrower) shall be entitled and empowered, by intervention in such proceeding or otherwise:

 (a) to file and prove a claim for the whole amount of the principal and interest owing and unpaid in respect of the Loans and
all other Obligations that are owing and unpaid and to file such other documents as may be necessary or advisable in order to have the claims of the Lenders, the Issuing Banks and the Administrative Agent (including any claim for the reasonable
compensation, expenses, disbursements and advances of the Lenders, the Issuing Banks and the Administrative Agent and their respective agents and counsel and all other amounts due the Lenders, the Issuing Banks and the Administrative Agent under
Sections 2.12, 8.12, and 9.05) allowed in such judicial proceeding; and 
 (b) to collect and receive any monies or other
property payable or deliverable on any such claims and to distribute the same; 
  

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 and any custodian, receiver, assignee, trustee, liquidator, sequestrator or other similar official in any
such judicial proceeding is hereby authorized by each Lender and each Issuing Bank to make such payments to the Administrative Agent and, if the Administrative Agent shall consent to the making of such payments directly to the Lenders and the
Issuing Banks, to pay to the Administrative Agent any amount due for the reasonable compensation, expenses, disbursements and advances of the Administrative Agent and its agents and counsel, and any other amounts due the Administrative Agent under
Sections 2.12, 8.12, and 9.05. 
 Nothing contained herein shall be deemed to authorize the Administrative Agent to authorize or
consent to or accept or adopt on behalf of any Lender or any Issuing Bank any plan of reorganization, arrangement, adjustment or composition affecting the Obligations or the rights of any Lender or any Issuing Bank to authorize the Administrative
Agent to vote in respect of the claim of any Lender or any Issuing Bank in any such proceeding. 
 Section 8.10. Collateral
and Guaranty Matters. Each of the Lenders (including in its capacities as a potential Cash Management Bank and a potential Specified Swap Counterparty) and each of the Issuing Banks irrevocably authorizes the Administrative Agent and the
Collateral Agent to release guarantees, Liens and security interests created by the Loan Documents in accordance with the provisions of Section 9.18. Upon request by the Administrative Agent or the Collateral Agent at any time, the Required
Lenders will confirm in writing such Agent’s authority provided for in the previous sentence. 
 Section 8.11. Secured
Cash Management Agreements and Secured Swap Agreements. No Cash Management Bank or Specified Swap Counterparty that obtains the benefits of the Security Documents or any Collateral by virtue of the provisions hereof or of the Security Documents
shall have any right to notice of any action or to consent to, direct or object to any action hereunder or under any other Loan Document or otherwise in respect of the Collateral (including the release or impairment of any Collateral) other than in
its capacity as a Lender and, in such case, only to the extent expressly provided in the Loan Documents. Notwithstanding any other provision of this Article VIII to the contrary, the Administrative Agent shall not be required to verify the payment
of, or that other satisfactory arrangements have been made with respect to, Obligations arising under Secured Cash Management Agreements and Secured Swap Agreements unless the Administrative Agent has received written notice of such Obligations,
together with such supporting documentation as the Administrative Agent may request, from the applicable Cash Management Bank or Specified Swap Counterparty, as the case may be. 

Section 8.12. Indemnification. Each Lender and Issuing Bank agrees (i) to reimburse the Administrative Agent, on demand, in
the amount of its pro rata share (based on its Commitments hereunder (or if such Commitments shall have expired or been terminated, in accordance with the respective principal amounts of its applicable outstanding Loans) or portion of
outstanding Revolving L/C Disbursements owed to it, as applicable) of any reasonable expenses incurred for the benefit of the Lenders and the Issuing Banks by the Administrative Agent, including reasonable counsel fees and compensation of agents and
employees paid for services rendered on behalf of the Lenders and the Issuing Banks, which shall not have been reimbursed by the Borrower and (ii) to indemnify and hold harmless the Administrative Agent and any of its directors, officers,
employees or agents, on demand, in the amount of such pro rata share, from and against any and all liabilities, Taxes, obligations, losses, damages, penalties, actions, judgments, suits, costs, expenses or disbursements of any kind or
nature whatsoever which may be imposed on, incurred by or asserted against it in its capacity as Administrative Agent or any of them in any way relating to or arising out of this Agreement or any other Loan Document or any action taken or omitted by
it or any of them under this Agreement or any other Loan Document, to the extent the same shall not have been reimbursed by the Borrower, provided that no Lender or Issuing Bank shall be liable to the Administrative Agent for any portion of
such liabilities, obligations, losses, 
  

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damages, penalties, actions, judgments, suits, costs, expenses or disbursements to the extent found in a final non-appealable judgment by a court of competent jurisdiction to have resulted
primarily from the gross negligence or wilful misconduct of the Administrative Agent or any of its directors, officers, employees or agents. 

Section 8.13. Appointment of Supplemental Collateral Agents. (a) It is the purpose of this Agreement and the other Loan
Documents that there shall be no violation of any law of any jurisdiction denying or restricting the right of banking corporations or associations or other institutions to transact business as agent or trustee in such jurisdiction. It is recognized
that in case of litigation under this Agreement or any of the other Loan Documents, and in particular in case of the enforcement of any of the Loan Documents, or in case the Collateral Agent deems that by reason of any present or future law of any
jurisdiction it may not exercise any of the rights, powers or remedies granted herein or in any of the other Loan Documents or take any other action which may be desirable or necessary in connection therewith, it may be necessary that the Collateral
Agent appoint an additional institution as a separate trustee, co-trustee, collateral agent, collateral sub-agent or collateral co-agent (any such additional individual or institution being referred to herein individually as a “Supplemental
Collateral Agent” and collectively as “Supplemental Collateral Agents”). 
 (b) In the event that the
Collateral Agent appoints a Supplemental Collateral Agent with respect to any Collateral, (i) each and every right, power, privilege or duty expressed or intended by this Agreement or any of the other Loan Documents to be exercised by or vested
in or conveyed to the Collateral Agent with respect to such Collateral shall be exercisable by and vest in such Supplemental Collateral Agent to the extent, and only to the extent, necessary to enable such Supplemental Collateral Agent to exercise
such rights, powers and privileges with respect to such Collateral and to perform such duties with respect to such Collateral, and every covenant and obligation contained in the Loan Documents and necessary to the exercise or performance thereof by
such Supplemental Collateral Agent shall run to and be enforceable by either the Collateral Agent or such Supplemental Collateral Agent, and (ii) the provisions of this Article and of Section 9.05 that refer to the Administrative
Agent, the Collateral Agent or the Agents shall inure to the benefit of such Supplemental Collateral Agent and all references therein to the Administrative Agent, the Collateral Agent or the Agents shall be deemed to be references to the
Administrative Agent, the Collateral Agent or the Agents and/or such Supplemental Collateral Agent, as the context may require. 

(c) Should any instrument in writing from any Loan Party be required by any Supplemental Collateral Agent so appointed by the Collateral
Agent for more fully and certainly vesting in and confirming to it such rights, powers, privileges and duties, such Loan Party shall execute, acknowledge and deliver any and all such instruments promptly upon request by the Collateral Agent. In case
any Supplemental Collateral Agent, or a successor thereto, shall die, become incapable of acting, resign or be removed, all the rights, powers, privileges and duties of such Supplemental Collateral Agent, to the extent permitted by law, shall vest
in and be exercised by the Collateral Agent until the appointment of a new Supplemental Collateral Agent. 
 Section 8.14.
Withholding. To the extent required by any applicable law, the Administrative Agent may withhold from any payment to any Lender or Issuing Bank an amount equivalent to any applicable withholding Tax. If any payment has been made to any Lender
or Issuing Bank by the Administrative Agent without the applicable withholding Tax being withheld from such payment and the Administrative Agent has paid over the applicable withholding Tax to the Internal Revenue Service or any other Governmental
Authority, or the Internal Revenue Service or any other Governmental Authority asserts a claim that the Administrative Agent did not properly withhold Tax from amounts paid to or for the account of any Lender or Issuing Bank because the appropriate
form was 
  

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not delivered or was not properly executed or because such Lender or Issuing Bank failed to notify the Administrative Agent of a change in circumstance which rendered the exemption from, or
reduction of, withholding Tax ineffective or for any other reason, such Lender or Issuing Bank shall indemnify the Administrative Agent fully for all amounts paid, directly or indirectly, by the Administrative Agent as Tax or otherwise, including
any penalties or interest and together with all expenses (including legal expenses, allocated internal costs and out-of-pocket expenses) incurred. 

Section 8.15. Enforcement. Notwithstanding anything to the contrary contained herein or in any other Loan Document, the authority
to enforce rights and remedies hereunder and under the other Loan Documents against the Loan Parties or any of them shall be vested exclusively in, and all actions and proceedings at law in connection with such enforcement shall be instituted and
maintained exclusively by, the Administrative Agent or the Collateral Agent in accordance with Section 7.01 and the Security Documents for the benefit of all the Lenders and the Issuing Banks or Secured Parties, as applicable; provided,
however, that the foregoing shall not prohibit (a) the Administrative Agent or the Collateral Agent from exercising on its own behalf the rights and remedies that inure to its benefit (solely in its capacity as Administrative Agent or
Collateral Agent, as applicable) hereunder and under the other Loan Documents, (b) any Lender or Issuing Bank from exercising setoff rights in accordance with Section 9.06 (subject to the terms of Section 2.18(c)), or (c) any
Lender or Issuing Bank from filing proofs of claim or appearing and filing pleadings on its own behalf during the pendency of a proceeding relative to any Loan Party under any federal, state or foreign bankruptcy, insolvency, receivership or similar
law; and provided, further, that if at any time there is no Person acting as the Administrative Agent or the Collateral Agent, as applicable, hereunder and under the other Loan Documents, then (i) the Required Lenders shall have
the rights otherwise ascribed to the Administrative Agent or the Collateral Agent, as applicable, pursuant to Section 7.01 and the Security Documents, as applicable and (ii) in addition to the matters set forth in clauses (b) and
(c) of the preceding proviso and subject to Section 2.18(c), any Lender or Issuing Bank may, with the consent of the Required Lenders, enforce any rights and remedies available to it and as authorized by the Required Lenders. 

ARTICLE IX 

MISCELLANEOUS 

Section 9.01. Notices. (a) Notices and other communications provided for herein shall be in writing and shall be delivered by
hand or overnight courier service, mailed by certified or registered mail or sent by telecopy, as follows: 
 (i)
if to the Borrower, to Quicksilver Gas Services LP at 717 Texas Ave., Suite 3150, Houston, Texas 77002, fax: (832) 519-2250, e-mail: bmanias@crestwoodlp.com; 

(ii) if to the Administrative Agent, to BNP Paribas at 787 Seventh Avenue, New York, New York 10019, Attention: Dina
Wilson; fax: 201-850-4020, e-mail: AGENCY_LS_SUPPORT@americas.bnpparibas.com; 
 (iii) if to the Collateral
Agent, to BNP Paribas at 787 Seventh Avenue, New York, New York 10019, Attention: Chris Lyons; fax: 713-659-6915, e-mail: chris.lyons@americas.bnpparibas.com; and 

(iv) if to an Issuing Bank or any Lender, to the address, telecopier number, electronic mail address or telephone number
specified in its Administrative Questionnaire. 
  

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 (b) Notices and other communications to the Lenders hereunder may be delivered or furnished
by electronic communications pursuant to procedures approved by the Administrative Agent; provided that the foregoing shall not apply to service of process, or to notices pursuant to Article II unless otherwise agreed by the Administrative
Agent and the applicable Lender. Each of the Administrative Agent, the Collateral Agent and the Borrower may, in its discretion, agree to accept notices and other communications to it hereunder by electronic communications pursuant to procedures
approved by it; provided further that approval of such procedures may be limited to particular notices or communications. 

(c) All notices and other communications given to any party hereto in accordance with the provisions of this Agreement shall be deemed to
have been given on the date of receipt if delivered by hand or overnight courier service or sent by telecopy or (to the extent permitted by paragraph (b) above) electronic means prior to 5:00 p.m. (New York time) on such date, or on the date
five Business Days after dispatch by certified or registered mail if mailed, in each case delivered, sent or mailed (properly addressed) to such party as provided in this Section 9.01 or in accordance with the latest unrevoked direction from
such party given in accordance with this Section 9.01. 
 (d) Any party hereto may change its address or telecopy number
for notices and other communications hereunder by notice to the other parties hereto. 
 Section 9.02. Survival of
Agreement. All covenants, agreements, representations and warranties made by the Borrower and the other Loan Parties herein, in the other Loan Documents and in the certificates or other instruments prepared or delivered in connection with or
pursuant to this Agreement or any other Loan Document shall be considered to have been relied upon by the Lenders and each Issuing Bank and shall survive the making by the Lenders of the Loans, the execution and delivery of the Loan Documents and
the issuance of the Letters of Credit, regardless of any investigation made by such Persons or on their behalf, and shall continue in full force and effect as long as the principal of or any accrued interest on any Loan or Revolving L/C Disbursement
or any Fee or any other amount payable under this Agreement or any other Loan Document is outstanding and unpaid or any Revolving Letter of Credit is outstanding and so long as the Commitments have not been terminated. Without prejudice to the
survival of any other agreements contained herein, indemnification and reimbursement obligations contained herein (including pursuant to Section 2.15, 2.17 and 9.05) shall survive the payment in full of the principal and interest hereunder, the
expiration of the Letters of Credit and the termination of the Commitments or this Agreement. 
 Section 9.03. Binding
Effect. This Agreement shall become effective when it shall have been executed by the Borrower and the Agents and when the Administrative Agent shall have received copies hereof which, when taken together, bear the signatures of each of the
other parties hereto, and thereafter shall be binding upon and inure to the benefit of the Borrower, each Issuing Bank, the Agents and each Lender and their respective permitted successors and assigns. 

Section 9.04. Successors and Assigns. (a) The provisions of this Agreement shall be binding upon and inure to the benefit of
the parties hereto and their respective successors and assigns permitted hereby (including any Affiliate of any Issuing Bank that issues any Revolving Letter of Credit), except that (i) the Borrower may not assign or otherwise transfer any of
its rights or obligations hereunder without the prior written consent of each Lender (and any attempted assignment or transfer by the Borrower without such consent shall be null and void) and (ii) no Lender may assign or otherwise transfer its
rights or obligations hereunder except in accordance with this Section. Nothing in this Agreement, expressed or implied, shall be construed to confer upon any Person (other than the parties hereto, their respective successors and assigns permitted
hereby (including any Affiliate of any Issuing Bank that issues any Revolving Letter of Credit), Participants (to the extent provided in paragraph (c) of this 

 

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Section), the Lenders, the Agents, each Issuing Bank and, to the extent expressly contemplated hereby, the Related Parties of each of the Agents, each Issuing Bank, and the Lenders, and the
Indemnitees) any legal or equitable right, remedy or claim under or by reason of this Agreement. 
 (b) (i) Subject to the
conditions set forth in paragraph (b)(ii) below, any Lender may assign to one or more assignees all or a portion of its rights and obligations under this Agreement (including all or a portion of its Commitment and the Loans at the time owing to
it) with the prior written consent (such consent not to be unreasonably withheld or delayed) of: 
 (A) the
Borrower; provided that no consent of the Borrower shall be required for an assignment to a Lender, an Affiliate of a Lender or an Approved Fund or, if an Event of Default pursuant to Section 7.01(b), 7.01(c), 7.01(h) or 7.01(i) has
occurred and is continuing, any other assignee (provided that any liability of the Borrower to an assignee that is an Approved Fund or Affiliate of the assigning Lender under Section 2.15 or 2.17 shall be limited to the amount, if any,
that would have been payable hereunder by the Borrower in the absence of such assignment); and provided further that so long as no Event of Default has occurred and is continuing, the Borrower may withhold its consent if the costs or the
taxes payable by the Borrower to the assignee under Section 2.15 or 2.17 shall be greater than they would have been to assignor; 

(B) the Administrative Agent; provided that no consent of the Administrative Agent shall be required for an
assignment of an Incremental Term Loan to a Person that is a Lender, an Affiliate of a Lender or Approved Fund immediately prior to giving effect to such assignment; 

(C) in the case of any assignment of any Revolving Facility Commitment, each Issuing Lender; and 

(D) in the case of any assignment of any Revolving Facility Commitment, each Swingline Lender. 

(ii) Assignments shall be subject to the following additional conditions: 

(A) except in the case of an assignment to a Lender, an Affiliate of a Lender or an Approved Fund, an assignment of the
entire remaining amount of the assigning Lender’s Commitment or contemporaneous assignments to related Approved Funds that equal at least U.S. $2.5 million in the aggregate, the amount of the Commitment and/or Loans, as applicable, of the
assigning Lender subject to each such assignment (determined as of the date the Assignment and Acceptance with respect to such assignment is delivered to the Administrative Agent) shall not be less than U.S. $5.0 million and increments of U.S.
$1.0 million in excess thereof unless the Borrower and the Administrative Agent otherwise consent; provided that no such consent of the Borrower shall be required if an Event of Default under paragraph (b), (c), (h) or
(i) of Section 7.01 has occurred and is continuing; 
 (B) each partial assignment shall be made as an
assignment of a proportionate part of all the assigning Lender’s rights and obligations in respect of a given Facility under this Agreement; 
  

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 (C) the parties to each assignment shall execute and deliver to the
Administrative Agent an Assignment and Acceptance; 
 (D) the assignee, if it shall not be a Lender, shall
deliver to the Administrative Agent an Administrative Questionnaire and any other administrative information that the Administrative Agent may reasonably request; 

(E) no such assignment shall be made to the Borrower or any of its Affiliates, or a Defaulting Lender; and 

(F) notwithstanding anything to the contrary herein, no such assignment shall be made to (x) a natural person or
(y) GoldenTree Asset Management, LP or any of its Affiliates. 
 For purposes of this Section 9.04(b), the term
“Approved Fund” shall have the following meaning: 
 “Approved Fund” shall mean any Person (other
than a natural person) that is engaged in making, purchasing, holding or investing in bank loans and similar extensions of credit in the ordinary course and that is administered or managed by a Lender, an Affiliate of a Lender or an entity or an
Affiliate of an entity that administers or manages a Lender. 
 (iii) Subject to acceptance and recording thereof
pursuant to paragraph (b)(iv) of this Section, from and after the effective date specified in each Assignment and Acceptance the assignee thereunder shall be a party hereto and, to the extent of the interest assigned by such Assignment and
Acceptance, have the rights and obligations of a Lender under this Agreement, and the assigning Lender hereunder shall, to the extent of the interest assigned by such Assignment and Acceptance, be released from its obligations under this Agreement
(and, in the case of an Assignment and Acceptance covering all of the assigning Lender’s rights and obligations under this Agreement, such Lender shall cease to be a party hereto but shall continue to be entitled to the benefits of
Section 2.15, 2.16, 2.17 and 9.05). Any assignment or transfer by a Lender of rights or obligations under this Agreement that does not comply with this Section 9.04 shall not be effective as an assignment hereunder. 

(iv) The Administrative Agent, acting for this purpose as an agent of the Borrower, shall maintain at one of its offices a
copy of each Assignment and Acceptance delivered to it and a register for the recordation of the names and addresses of the Lenders, and the Commitment of, and principal amount of the Loans and Revolving L/C Disbursements owing to, each Lender
pursuant to the terms hereof from time to time (the “Register”). The entries in the Register shall be conclusive, and the Borrower, the Agents, each Issuing Bank and the Lenders shall treat each Person whose name is recorded in the
Register pursuant to the terms hereof as a Lender hereunder for all purposes of this Agreement, notwithstanding notice to the contrary. The Register shall be available for inspection by the Borrower, any Issuing Bank and any Lender, at any
reasonable time and from time to time upon reasonable prior notice. 
 (v) The parties to each assignment shall
execute and deliver to the Administrative Agent a processing and recordation fee in the amount of $3,500; provided, however, that the Administrative Agent may, in its sole discretion, elect to waive such processing and recordation fee
in the case of any assignment. Upon its receipt of a duly completed Assignment and Acceptance executed by an assigning Lender and an assignee, any administrative information reasonably requested by the Administrative Agent (unless the assignee shall
already be a Lender hereunder), any written consent to such assignment required by paragraph (b) of this Section, and the processing and recordation fee referred 

 

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to above (unless waived as set forth above), the Administrative Agent shall accept such Assignment and Acceptance and record the information contained therein in the Register. No assignment shall
be effective for purposes of this Agreement unless it has been recorded in the Register as provided in this paragraph. 
 (c)
(i) Any Lender may, without the consent of the Borrower, the Administrative Agent or any Issuing Bank, sell participations to one or more banks or other entities (a “Participant”) in all or a portion of such Lender’s rights and
obligations under this Agreement (including all or a portion of its Commitment and the Loans and Revolving L/C Disbursements owing to it); provided that (A) such Lender’s obligations under this Agreement shall remain unchanged,
(B) such Lender shall remain solely responsible to the other parties hereto for the performance of such obligations, (C) the Borrower, the Agents, each Issuing Bank and the other Lenders shall continue to deal solely and directly with such
Lender in connection with such Lender’s rights and obligations under this Agreement and (D) such Lender shall maintain a register on which it enters the name and address of each Participant and the principal amounts of each
Participant’s interest in the Loans (or other rights or obligations) held by it, which entries shall be conclusive absent manifest error. Any agreement or instrument (oral or written) pursuant to which a Lender sells such a participation shall
provide that such Lender shall retain the sole right to exercise rights under and to enforce this Agreement and the other Loan Documents and to approve any amendment, modification or waiver of any provision of this Agreement and the other Loan
Documents; provided that (x) such agreement or instrument may provide that such Lender will not, without the consent of the Participant, agree to any amendment, modification or waiver described in Section 9.04(a)(i) or
clause (i) through (vii) of the first proviso to Section 9.08(b) that affects such Participant and (y) no other agreement (oral or written) in respect of the foregoing with respect to such Participant may exist between such
Lender and such Participant. Subject to paragraph (c)(ii) of this Section, the Borrower agrees that each Participant shall be entitled to the benefits (and subject to the requirements and limitations) of Section 2.15, 2.16 and 2.17 to the
same extent as if it were the Lender from whom it obtained its participation and had acquired its interest by assignment pursuant to paragraph (b) of this Section. To the extent permitted by law, each Participant also shall be entitled to the
benefits of Section 9.06 as though it were a Lender, provided such Participant agrees to be subject to Section 2.18(c) as though it were a Lender. 

(ii) A Participant shall not be entitled to receive any greater payment under Section 2.15, 2.16 or 2.17 than the
applicable Lender would have been entitled to receive with respect to the participation sold to such Participant, unless the sale of the participation to such Participant is made with the Borrower’s prior written consent (which shall not be
unreasonably withheld or delayed) and the Borrower may withhold its consent if a Participant would be entitled to require greater payment than the applicable Lender under such Sections. A Participant that would be a Foreign Lender if it were a
Lender shall not be entitled to the benefits of Section 2.17 to the extent such Participant fails to comply with Section 2.17(e) as though it were a Lender. 

(d) Any Lender may at any time pledge or assign a security interest in all or any portion of its rights under this Agreement and its
promissory note, if any, to secure obligations of such Lender, including any pledge or assignment to secure obligations to a Federal Reserve Bank, and this Section shall not apply to any such pledge or assignment of a security interest;
provided that no such pledge or assignment of a security interest shall release a Lender from any of its obligations hereunder or substitute any such pledgee or assignee for such Lender as a party hereto, and any such pledgee (other than a
pledgee that is the Federal Reserve Bank) shall acknowledge in writing that its rights under such pledge are in all respects subject to the limitations applicable to the pledging Lender under this Agreement or the other Loan Documents. 

 

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 Section 9.05. Expenses; Indemnity. (a) The Borrower agrees to pay all reasonable
and documented out-of-pocket expenses incurred by the Agents, the Joint Lead Arrangers and their respective Affiliates in connection with the preparation of this Agreement and the other Loan Documents, or by the Agents, the Joint Lead Arrangers and
their respective Affiliates in connection with the syndication of the Commitments or the administration of this Agreement (including expenses incurred in connection with due diligence and initial and ongoing Collateral examination to the extent
incurred with the reasonable prior approval of the Borrower and the reasonable fees, disbursements and charges for no more than one counsel in each jurisdiction where Collateral is located) or in connection with any amendments, modifications or
waivers of the provisions hereof or thereof (whether or not the Transactions hereby contemplated shall be consummated) or incurred by the Agents, the Joint Lead Arrangers and their respective Affiliates or any Lender in connection with the
enforcement or protection of their rights in connection with this Agreement and the other Loan Documents, in connection with the Loans made or the Letters of Credit issued hereunder, including the reasonable fees, charges and disbursements of
Latham & Watkins LLP, special New York counsel for the Agents and the Joint Lead Arrangers, and, in connection with any such enforcement or protection, the reasonable fees, charges and disbursements of any other counsel (including the
reasonable and documented allocated costs of internal counsel for the Agents, the Joint Lead Arrangers, any Issuing Bank or any Lender); provided, that, absent any conflict of interest, the Agents and the Joint Lead Arrangers shall not be entitled
to indemnification for the fees, charges or disbursements of more than one counsel in each jurisdiction. 
 (b) The Borrower
agrees to indemnify the Agents, the Joint Lead Arrangers, the Syndication Agents, the Co-Documentation Agents, each Issuing Bank, each Lender and each Related Party of any of the foregoing Persons (each such Person being called an
“Indemnitee”) against, and to hold each Indemnitee harmless from, any and all losses, claims, damages, liabilities and related expenses, including reasonable and documented counsel fees, charges and disbursements, incurred by or
asserted against any Indemnitee arising out of, in any way connected with, or as a result of (i) the execution or delivery of the Commitment Letter, this Agreement or any other Loan Document or any agreement or instrument contemplated hereby or
thereby, the performance by the parties hereto and thereto of their respective obligations thereunder or the consummation of the Transactions and the other transactions contemplated hereby or thereby, (ii) the use of the proceeds of the Loans
or the use of any Revolving Letter of Credit or (iii) any claim, litigation, investigation or proceeding relating to any of the foregoing, whether or not the Borrower, its Subsidiaries or any Indemnitee initiated or is a party thereto,
provided that such indemnity shall not, as to any Indemnitee, be available to the extent that such losses, claims, damages, liabilities or related expenses are determined by a court of competent jurisdiction to have resulted from the gross
negligence, bad faith, material breach of this Agreement or any of the Loan Documents or willful misconduct of such Indemnitee (treating, for this purpose only, any Agent, any Joint Lead Arranger, any Issuing Bank, any Lender and any of their
respective Related Parties as a single Indemnitee). Subject to and without limiting the generality of the foregoing sentence, the Borrower agrees to indemnify each Indemnitee against, and hold each Indemnitee harmless from, any and all losses,
claims, damages, liabilities and related expenses, including reasonable and documented counsel or consultant fees, charges and disbursements, incurred by or asserted against any Indemnitee arising out of, in any way connected with, or as a result of
(A) any Environmental Event or Environmental Claim related in any way to the Borrower or any of its Subsidiaries, or (B) any actual or alleged presence, Release or threatened Release of Hazardous Materials at, under, on or from any Real
Property currently or formerly owned, leased or operated by the Borrower or any of its Subsidiaries or by any predecessor of the Borrower or any of its Subsidiaries, or any property at which the Borrower or any of its Subsidiaries has sent Hazardous
Materials for treatment, storage or disposal, provided that such indemnity shall not, as to any Indemnitee, be available to the extent that such losses, claims, damages, liabilities or related expenses are determined by a court of competent
jurisdiction to have resulted from the gross negligence, bad faith, material breach of this Agreement or any of the Loan Documents or willful misconduct of such 

 

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Indemnitee or any of its Related Parties or would have arisen as against the Indemnitee regardless of this Agreement or any other Loan Document or any Borrowings hereunder. In no event shall any
Indemnitee be liable to any Loan Party for any consequential, indirect, special or punitive damages. No Indemnitee shall be liable for any damages arising from the use by unintended recipients of any information or other materials distributed to
such unintended recipients by such Indemnitee through telecommunications, electronic or other information transmission systems in connection with this Agreement or the other Loan Documents or the transactions contemplated hereby or thereby other
than for direct or actual damages resulting from the gross negligence or willful misconduct of such Indemnitee as determined by a court of competent jurisdiction. The provisions of this Section 9.05 shall remain operative and in full force and
effect regardless of the expiration of the term of this Agreement, the consummation of the transactions contemplated hereby, the repayment of any of the Obligations, the invalidity or unenforceability of any term or provision of the Commitment
Letter, this Agreement or any other Loan Document, or any investigation made by or on behalf of any Agent, any Issuing Bank, any Joint Lead Arranger or any Lender. All amounts due under this Section 9.05 shall be payable on written demand
therefor accompanied by reasonable documentation with respect to any reimbursement, indemnification or other amount requested. 

(c) This Section 9.05 shall not apply to Taxes. 

Section 9.06. Right of Set-off. If an Event of Default shall have occurred and be continuing, each Lender and each Issuing Bank is
hereby authorized at any time and from time to time, to the fullest extent permitted by law, to set off and apply any and all deposits (general or special, time or demand, provisional or final) at any time held and other indebtedness at any time
owing by such Lender or such Issuing Bank to or for the credit or the account of any Loan Party or any other Subsidiary that is not a Foreign Subsidiary, against any and all obligations of the Loan Parties, now or hereafter existing under this
Agreement or any other Loan Document held by such Lender or such Issuing Bank, irrespective of whether or not such Lender or such Issuing Bank shall have made any demand under this Agreement or such other Loan Document and although the obligations
may be unmatured. The rights of each Lender and each Issuing Bank under this Section 9.06 are in addition to other rights and remedies (including other rights of set-off) that such Lender or such Issuing Bank may have. 

Section 9.07. Applicable Law. THIS AGREEMENT AND THE OTHER LOAN DOCUMENTS (OTHER THAN LETTERS OF CREDIT AND AS EXPRESSLY SET FORTH
IN OTHER LOAN DOCUMENTS) SHALL BE CONSTRUED IN ACCORDANCE WITH AND GOVERNED BY THE LAWS OF THE STATE OF NEW YORK. 
 Section
9.08. Waivers; Amendment. (a) No failure or delay of the Agents, any Issuing Bank or any Lender in exercising any right or power hereunder or under any Loan Document shall operate as a waiver thereof, nor shall any single or partial
exercise of any such right or power, or any abandonment or discontinuance of steps to enforce such a right or power, preclude any other or further exercise thereof or the exercise of any other right or power. The rights and remedies of the Agents,
each Issuing Bank and the Lenders hereunder and under the other Loan Documents are cumulative and are not exclusive of any rights or remedies that they would otherwise have. No waiver of any provision of this Agreement or any other Loan Document or
consent to any departure by the Borrower or any other Loan Party therefrom shall in any event be effective unless the same shall be permitted by paragraph (b) below, and then such waiver or consent shall be effective only in the specific
instance and for the purpose for which given. No notice or demand on the Borrower or any other Loan Party in any case shall entitle such Person to any other or further notice or demand in similar or other circumstances. 

 

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 (b) Neither this Agreement nor any other Loan Document nor any provision hereof or thereof
may be waived, amended or modified except (x) in the case of this Agreement, pursuant to an agreement or agreements in writing entered into by the Borrower and the Required Lenders (or the Administrative Agent with the consent of the Required
Lenders) and (y) in the case of any other Loan Document, pursuant to an agreement or agreements in writing entered into by each party thereto and the Collateral Agent and consented to by the Required Lenders; provided, however, that no
such agreement shall 
 (i) decrease or forgive the principal amount of, or extend the final maturity of, or
decrease the rate of interest on, any Loan or any Revolving L/C Disbursement, without the prior written consent of each Lender directly affected thereby; provided that any amendment to the financial covenant definitions in this Agreement
shall not constitute a reduction in the rate of interest for purposes of this clause (i); 
 (ii) increase
or extend the Commitment of any Lender or decrease the Commitment Fees or Revolving L/C Participation Fees or other fees payable to any Lender without the prior written consent of such Lender (it being understood that waivers or modifications of
conditions precedent, covenants, Defaults or Events of Defaults shall not constitute an increase in the Commitments of any Lender), 

(iii) extend any date on which any scheduled amortization payment in respect of any Incremental Term Loan or payment of
interest on any Loan, Revolving L/C Disbursement or any Fees is due or reduce the amount of any scheduled amortization payment due with respect to any Incremental Term Loan on the date due, without the prior written consent of each Lender adversely
affected thereby, 
 (iv) amend or modify the provisions of Section 2.18(b) or (c) in a manner that
would by its terms alter the pro rata sharing of payments required thereby, without the prior written consent of each Lender adversely affected thereby, 

(v) extend the stated expiration date of any Revolving Letter of Credit beyond the Revolving Maturity Date, without the
prior written consent of each Lender directly affected thereby, 
 (vi) amend or modify the provisions of this
Section or the definition of the terms “Required Lenders”, “Majority Lenders”, or any other provision hereof specifying the number or percentage of Lenders required to waive, amend or modify any rights hereunder or make any
determination or grant any consent hereunder, without the prior written consent of each Lender adversely affected thereby (it being understood that, with the consent of the Required Lenders, additional extensions of credit pursuant to this Agreement
may be included in the determination of the Required Lenders on substantially the same basis as the Loans and Commitments are included on the Closing Date), and 

(vii) release all or substantially all the Collateral or release all or substantially all of the value of the Guarantees
of the Subsidiary Loan Parties without the prior written consent of each Lender and Issuing Bank; 
 provided further
that no such agreement shall amend, modify or otherwise affect the rights or duties of the Administrative Agent, the Collateral Agent, an Issuing Bank or a Swingline Lender hereunder or under the other Loan Documents without the prior written
consent of such Administrative 
  

 113 

 
Agent, Collateral Agent, Issuing Bank or Swingline Lender, as applicable. Each Lender shall be bound by any waiver, amendment or modification authorized by this Section 9.08 and any consent
by any Lender pursuant to this Section 9.08 shall bind any assignee of such Lender, 
 (c) Without the consent of any
Lender or Issuing Bank, the Loan Parties and the Administrative Agent and/or Collateral Agent may (in their respective sole discretion, or shall, to the extent required by any Loan Document) enter into any amendment, modification or waiver of any
Loan Document, or enter into any new agreement or instrument, to effect the granting, perfection, protection, expansion or enhancement of any security interest in any Collateral or additional property to become Collateral for the benefit of the
Secured Parties, or as required by local law to give effect to, or protect any security interest for the benefit of the Secured Parties, in any property or so that the security interests therein comply with applicable law. 

(d) Notwithstanding the foregoing, this Agreement may be amended (or amended and restated) with the written consent of the Required
Lenders, the Administrative Agent, and the Borrower (i) to add one or more additional credit facilities to this Agreement and to permit the extensions of credit from time to time outstanding thereunder and the accrued interest and fees in
respect thereof to share ratably in the benefits of this Agreement and the other Loan Documents with the Incremental Term Loans and the Revolving Facility Loans and the accrued interest and fees in respect thereof and (ii) to include
appropriately the Lenders holding such credit facilities in any determination of the Required Lenders. 
 (e) In addition,
notwithstanding the foregoing, this Agreement may be amended with the written consent of the Administrative Agent, the Borrower and the Lenders providing the relevant Replacement Term Loans (as defined below) to permit the refinancing of all
outstanding Incremental Term Loans (“Refinanced Term Loans”) with a replacement “B” term loan tranche hereunder which shall be Loans hereunder (“Replacement Term Loans”); provided that (i) the
aggregate principal amount of such Replacement Term Loans shall not exceed the aggregate principal amount of such Refinanced Term Loans, (ii) the Applicable Margin for such Replacement Term Loans shall not be higher than the Applicable Margin
for such Refinanced Term Loans, (iii) the weighted average life to maturity of such Replacement Term Loans shall not be shorter than the weighted average life to maturity of such Refinanced Term Loans at the time of such refinancing and
(iv) all other terms applicable to such Replacement Term Loans shall be substantially identical to, or less favorable to the Lenders providing such Replacement Term Loans than, those applicable to such Refinanced Term Loans, except to the
extent necessary to provide for covenants and other terms applicable to any period after the latest final maturity of the Loans in effect immediately prior to such refinancing. 

(f) Notwithstanding the foregoing, (i) technical and conforming modifications to the Loan Documents may be made with the consent of
the Borrower and the Administrative Agent to the extent necessary to integrate any Incremental Commitments on the terms and conditions provided for in Section 2.20 and (ii) any Loan Document may be amended, modified, supplemented or waived
with the written consent of the Administrative Agent and the Borrower without the need to obtain the consent of any Lender if such amendment, modification, supplement or waiver is executed and delivered in order to cure an ambiguity, omission,
mistake or defect in such Loan Document; provided that in connection with this clause (ii), in no event will the Administrative Agent be required to substitute its judgment for the judgment of the Lenders or the Required Lenders, and the
Administrative Agent may in all circumstances seek the approval of the Required Lenders, the affected Lenders or all Lenders in connection with any such amendment, modification, supplement or waiver. 

 

 114 

 Section 9.09. Interest Rate Limitation. Notwithstanding anything herein to the
contrary, if at any time the applicable interest rate, together with all fees and charges that are treated as interest under applicable law (collectively, the “Charges”), as provided for herein or in any other document executed in
connection herewith, or otherwise contracted for, charged, received, taken or reserved by any Lender or any Issuing Bank, shall exceed the maximum lawful rate (the “Maximum Rate”) that may be contracted for, charged, taken, received
or reserved by such Lender in accordance with applicable law, the rate of interest payable hereunder, together with all Charges payable to such Lender or such Issuing Bank, shall be limited to the Maximum Rate, provided that such excess
amount shall be paid to such Lender or such Issuing Bank on subsequent payment dates to the extent not exceeding the legal limitation. 

Section 9.10. Entire Agreement. This Agreement, the other Loan Documents and the agreements regarding certain Fees referred to
herein constitute the entire contract between the parties relative to the subject matter hereof. Any previous agreement among or representations from the parties or their Affiliates with respect to the subject matter hereof is superseded by this
Agreement and the other Loan Documents. Notwithstanding the foregoing, the Fee Letter shall survive the execution and delivery of this Agreement and remain in full force and effect. Nothing in this Agreement or in the other Loan Documents, expressed
or implied, is intended to confer upon any party other than the parties hereto and thereto any rights, remedies, obligations or liabilities under or by reason of this Agreement or the other Loan Documents. 

Section 9.11. Waiver of Jury Trial. EACH PARTY HERETO HEREBY WAIVES, TO THE FULLEST EXTENT PERMITTED BY APPLICABLE LAW, ANY RIGHT
IT MAY HAVE TO A TRIAL BY JURY IN RESPECT OF ANY LITIGATION DIRECTLY OR INDIRECTLY ARISING OUT OF, UNDER OR IN CONNECTION WITH THIS AGREEMENT OR ANY OF THE OTHER LOAN DOCUMENTS. EACH PARTY HERETO (i) CERTIFIES THAT NO REPRESENTATIVE, AGENT OR
ATTORNEY OF ANY OTHER PARTY HAS REPRESENTED, EXPRESSLY OR OTHERWISE, THAT SUCH OTHER PARTY WOULD NOT, IN THE EVENT OF LITIGATION, SEEK TO ENFORCE THE FOREGOING WAIVER AND (ii) ACKNOWLEDGES THAT IT AND THE OTHER PARTIES HERETO HAVE BEEN INDUCED
TO ENTER INTO THIS AGREEMENT AND THE OTHER LOAN DOCUMENTS, AS APPLICABLE, BY, AMONG OTHER THINGS, THE MUTUAL WAIVERS AND CERTIFICATIONS IN THIS SECTION 9.11. 

Section 9.12. Severability. In the event any one or more of the provisions contained in this Agreement or in any other Loan
Document should be held invalid, illegal or unenforceable in any respect, the validity, legality and enforceability of the remaining provisions contained herein and therein shall not in any way be affected or impaired thereby. The parties shall
endeavour in good-faith negotiations to replace the invalid, illegal or unenforceable provisions with valid provisions the economic effect of which comes as close as possible to that of the invalid, illegal or unenforceable provisions. 

Section 9.13. Counterparts. This Agreement may be executed in two or more counterparts, each of which shall constitute an original
but all of which, when taken together, shall constitute but one contract, and shall become effective as provided in Section 9.03. Delivery of an executed counterpart to this Agreement by facsimile transmission or an electronic transmission of a
PDF copy thereof shall be as effective as delivery of a manually signed original. Any such delivery shall be followed promptly by delivery of the manually signed original. 

Section 9.14. Headings. Article and Section headings and the Table of Contents used herein are for convenience of
reference only, are not part of this Agreement and are not to affect the construction of, or to be taken into consideration in interpreting, this Agreement. 
  

 115 

 Section 9.15. Jurisdiction; Consent to Service of Process. (a) Each of the
Borrower, the Agents, the Issuing Bank and the Lenders hereby irrevocably and unconditionally submits, for itself and its property, to the exclusive jurisdiction of any New York State court or federal court of the United States of America sitting in
New York County, and any appellate court from any thereof, in any action or proceeding arising out of or relating to this Agreement or the other Loan Documents, or for recognition or enforcement of any judgment, and each of the parties hereto hereby
irrevocably and unconditionally agrees that all claims in respect of any such action or proceeding may be heard and determined in such New York State or, to the extent permitted by law, in such federal court. The Borrower further irrevocably
consents to the service of process in any action or proceeding in such courts by the mailing thereof by any parties thereto by registered or certified mail, postage prepaid, to the Borrower at the address specified for the Loan Parties in
Section 9.01. Each of the parties hereto agrees that a final judgment in any such action or proceeding shall be conclusive and may be enforced in other jurisdictions by suit on the judgment or in any other manner provided by law. Nothing in
this Agreement (other than Section 8.09) shall affect any right that any Lender or any Issuing Bank may otherwise have to bring any action or proceeding relating to this Agreement or the other Loan Documents against the Borrower or any Loan
Party or their properties in the courts of any jurisdiction. 
 (b) Each of the Borrower, the Agents, the Issuing Banks and the
Lenders hereby irrevocably and unconditionally waives, to the fullest extent it may legally and effectively do so, any objection which it may now or hereafter have to the laying of venue of any suit, action or proceeding arising out of or relating
to this Agreement or the other Loan Documents in any New York State or federal court sitting in New York County. Each of the parties hereto hereby irrevocably waives, to the fullest extent permitted by law, the defense of an inconvenient forum to
the maintenance of such action or proceeding in any such court. 
 Section 9.16. Confidentiality. Each of the Lenders,
each Issuing Bank and each of the Agents agrees that it shall maintain in confidence any information relating to the Borrower and its Subsidiaries and their respective Affiliates furnished to it by or on behalf of the Borrower or the other Loan
Parties or such Subsidiary or Affiliate (other than information that (x) has become generally available to the public other than as a result of a disclosure by such party in breach of this Agreement, (y) has been independently developed by
such Lender, such Issuing Bank or such Agent without violating this Section 9.16 or (z) was available to such Lender, such Issuing Bank or such Agent from a third party having, to such Person’s actual knowledge, no obligations of
confidentiality to the Borrower or any of its Subsidiaries or any such Affiliate) and shall not reveal the same other than to its directors, trustees, officers, employees, agents and advisors with a need to know or to any Person that approves or
administers the Loans on behalf of such Lender or Issuing Bank (so long as each such Person shall have been instructed to keep the same confidential in accordance with this Section 9.16), except: (i) to the extent necessary to comply with
law or any legal process or the regulatory or supervisory requirements of any Governmental Authority (including bank examiners), the National Association of Insurance Commissioners or of any securities exchange on which securities of the disclosing
party or any Affiliate of the disclosing party are listed or traded, (ii) as part of reporting or review procedures to Governmental Authorities (including bank examiners) or the National Association of Insurance Commissioners, (iii) to its
parent companies, Affiliates or auditors (so long as each such Person shall have been instructed to keep the same confidential in accordance with this Section 9.16), (iv) in connection with the exercise of any remedies under any Loan
Document or in order to enforce its rights under any Loan Document in a legal proceeding, (v) to any prospective assignee of, or prospective Participant in, any of its rights under this Agreement (so long as such Person shall have been
instructed to keep the same confidential in accordance with this Section 9.16 or on terms at least as restrictive as those set forth in this Section 9.16) and (vi) to any direct or indirect contractual counterparty in Swap Agreements
or such contractual counterparty’s professional advisor (so long as each such contractual counterparty agrees to be bound by the provisions 

 

 116 

 
of this Section 9.16 or on terms at least as restrictive as those set forth in Section 9.16 and each such professional advisor shall have been instructed to keep the same confidential
in accordance with this Section 9.16). If a Lender, an Issuing Bank or an Agent is requested or required to disclose any such information (other than to its bank examiners and similar regulators, or to internal or external auditors) pursuant to
or as required by law or legal process or subpoena to the extent reasonably practicable, it shall give prompt notice thereof to the Borrower so that the Borrower may seek an appropriate protective order and such Lender, Issuing Bank or Agent will
cooperate with the Borrower (or the applicable Subsidiary or Affiliate) in seeking such protective order. 
 Section 9.17.
Communications. (a) Delivery. (i) Each Loan Party hereby agrees that it will use all reasonable efforts to provide to the Administrative Agent all information, documents and other materials that it is obligated to furnish to
the Administrative Agent pursuant to this Agreement and any other Loan Document, including, without limitation, all notices, requests, financial statements, financial and other reports, certificates and other information materials, but excluding any
such communication that (A) relates to a request for a new, or a conversion of an existing, borrowing or other extension of credit (including any election of an interest rate or interest period relating thereto), (B) relates to the payment
of any principal or other amount due under this Agreement prior to 5:00 p.m. (New York time) on the scheduled date therefor, (C) provides notice of any Default or Event of Default under this Agreement or (D) is required to be delivered to
satisfy any condition precedent to the effectiveness of this Agreement and/or any borrowing or other extension of credit hereunder (all such non-excluded communications collectively, the “Communications”), by transmitting the
Communications in an electronic/soft medium in a format reasonably acceptable to the Administrative Agent at the address referenced in Section 9.01(a)(ii). Nothing in this Section 9.17 shall prejudice the right of the Agents, the
Syndication Agent, the Co-Documentation Agents, the Joint Lead Arrangers or any Lender or Issuing Bank or any Loan Party to give any notice or other communication pursuant to this Agreement or any other Loan Document in any other manner specified in
this Agreement or any other Loan Document. 
 (ii) Each Lender agrees that notice to it (as provided in the next
sentence) specifying that the Communications have been posted to the Platform (as defined below) shall constitute effective delivery of the Communications to such Lender for purposes of the Loan Documents. Each Lender agrees (A) to notify
the Administrative Agent in writing (including by electronic communication) from time to time of such Lender’s e-mail address to which the foregoing notice may be sent by electronic transmission and (B) that the foregoing notice may be
sent to such e-mail address. 
 (b) Posting. Each Loan Party further agrees that the Administrative Agent may make the
Communications available to the Lenders by posting the Communications on Intralinks or a substantially similar electronic transmission system (the “Platform”). The Borrower hereby acknowledges that (i) the Administrative Agent
and/or the Joint Lead Arrangers will make available to the Lenders materials and/or information provided by or on behalf of the Borrower hereunder (collectively, “Borrower Materials”) by posting the Borrower Materials on the
Platform and (ii) certain of the Lenders (each, a “Public Lender”) may have personnel who do not wish to receive material non-public information with respect to the Borrower or its Affiliates, or the respective securities of
any of the foregoing, and who may be engaged in investment and other market-related activities with respect to such Persons’ securities. The Borrower hereby agrees that it will use commercially reasonable efforts to identify that portion of the
Borrower Materials that may be distributed to the Public Lenders and that (w) all such Borrower Materials shall be clearly and conspicuously marked “PUBLIC” which, at a minimum, shall mean that the word “PUBLIC” shall appear
prominently on the first page thereof; (x) by marking Borrower Materials “PUBLIC,” the Borrower shall be deemed to have authorized the Administrative Agent, the Joint Lead Arrangers, the Issuing Banks and the Lenders to treat such
Borrower Materials as 
  

 117 

 
not containing any material non-public information (although it may be sensitive and proprietary) with respect to the Borrower or its Affiliates or their respective securities for purposes of
United States Federal and state securities laws; (y) all Borrower Materials marked “PUBLIC” are permitted to be made available through a portion of the Platform designated “Public Side Information;” and (z) the
Administrative Agent and the Joint Lead Arranger shall be entitled to treat any Borrower Materials that are not marked “PUBLIC” as being suitable only for posting on a portion of the Platform not designated “Public Side
Information.” Notwithstanding the foregoing, the Borrower shall not be under any obligation to mark any Borrower Materials “PUBLIC” to the extent the Borrower determines that such Borrower Materials contain material non-public
information with respect to the Borrower or its Affiliates or their respective securities for purposes of United States Federal and state securities laws. 

(c) Platform. The Platform is provided “as is” and “as available.” The Agent Parties (as defined below) do not
warrant the accuracy or completeness of the Communications, or the adequacy of the Platform and expressly disclaim liability for errors or omissions in the Communications. No warranty of any kind, express, implied or statutory, including, without
limitation, any warranty of merchantability, fitness for a particular purpose, non-infringement of third party rights or freedom from viruses or other code defects, is made by any Agent Party in connection with the Communications or the Platform. In
no event shall the Administrative Agent, the Collateral Agent or any of its or their affiliates or any of their respective officers, directors, employees, agents advisors or representatives (collectively, “Agent Parties”) have any
liability to the Loan Parties, any Lender or Issuing Bank or any other Person or entity for damages of any kind, including, without limitation, direct or indirect, special, incidental or consequential damages, losses or expenses (whether in tort,
contract or otherwise) arising out of any Loan Party’s or the Administrative Agent’s or the Collateral Agent’s transmission of communications through the internet, except to the extent the liability of any Agent Party is found in a
final non-appealable judgment by a court of competent jurisdiction to have resulted primarily from such Agent Party’s gross negligence or willful misconduct. 

Section 9.18. Release of Liens and Guarantees. In the event that any Loan Party conveys, sells, leases, assigns, transfers or
otherwise disposes of all or any portion of its assets (including the Equity Interests of any of its Subsidiaries) to a Person that is not (and is not required to become) a Loan Party in a transaction not prohibited by the Loan Documents, the
Administrative Agent and the Collateral Agent shall promptly (and the Lenders hereby authorize the Administrative Agent and the Collateral Agent to) take such action and execute any such documents as may be reasonably requested by the Borrower and
at the Borrower’s expense to release any Liens created by any Loan Document in respect of such Equity Interests or assets that are the subject of such disposition and to release any guarantees of the Obligations, and any Liens granted to secure
the Obligations, in each case by a Person that ceases to be a Subsidiary of the Borrower as a result of a transaction described above. Any representation, warranty or covenant contained in any Loan Document relating to any such Equity Interests or
assets shall no longer be deemed to be made once such Equity Interests or assets are so conveyed, sold, leased, assigned, transferred or disposed of. The Security Documents, the guarantees made therein, the Security Interest (as defined therein) and
all other security interests granted thereby shall terminate, and each Loan Party shall automatically be released from its obligations thereunder and the security interests in the Collateral granted by any Loan Party shall be automatically released,
when all the Obligations are paid in full in cash and Commitments are terminated (other than (A) contingent indemnification obligations, (B) obligations and liabilities under Secured Cash Management Agreements and Secured Swap Agreements
and (C) obligations and liabilities under Revolving Letters of Credit as to which arrangements satisfactory to the Issuing Banks shall have been made). At such time, the Administrative Agent and the Collateral Agent agree to take such actions
as are reasonably requested by the Borrower at the Borrower’s expense to evidence and effectuate such termination and release of the guarantees, Liens and security interests created by the Loan Documents. 

 

 118 

 Section 9.19. U.S.A. PATRIOT Act and Similar Legislation. Each Lender and Issuing
Bank hereby notifies each Loan Party that pursuant to the requirements of the U.S.A. PATRIOT Act and similar legislation, as applicable, it is required to obtain, verify and record information that identifies the Loan Parties, which information
includes the name and address of each Loan Party and other information that will allow the Lenders to identify such Loan Party in accordance with such legislation. Each Loan Party agrees to furnish such information promptly upon request of a Lender.
Each Lender shall be responsible for satisfying its own requirements in respect of obtaining all such information.  

Section 9.20. Judgment. If for the purposes of obtaining judgment in any court it is necessary to convert a sum due hereunder in
one currency into another currency, the parties hereto agree, to the fullest extent that they may effectively do so, that the rate of exchange used shall be that at which in accordance with normal banking procedures the Administrative Agent could
purchase the first mentioned currency with such other currency at the Administrative Agent’s principal office in New York, New York on the Business Day preceding that on which final judgment is given. 

Section 9.21. Pledge and Guarantee Restrictions. Notwithstanding any provision of this Agreement or any other Loan Document to the
contrary (including any provision that would otherwise apply notwithstanding other provisions or that is the beneficiary of other overriding language): 

(a) (i) no more than 65% of the issued and outstanding voting Equity Interests of (x) any Foreign Subsidiary of the Borrower or
(y) any Subsidiary of the Borrower, substantially all of which Subsidiary’s assets consist of the Equity Interests in “controlled foreign corporations” under Section 957 of the Code, shall be pledged or similarly
hypothecated to guarantee, secure or support any Obligation of any Loan Party; and 
 (ii) no Foreign Subsidiary
shall guarantee or support any Obligation of the Borrower; and 
 (iii) any guarantee provided by any Domestic
Subsidiary of the Borrower, substantially all of whose assets consist of the Equity Interests in “controlled foreign corporations” under Section 957 of the Code shall be without recourse to the 35% of the issued and outstanding voting
Equity Interests held by such Domestic Subsidiary in Foreign Subsidiaries which, pursuant to clause (a)(i) above, are not required to be pledged by such Domestic Subsidiary; and 

(b) no Subsidiary shall guarantee or support any Obligation of any Loan Party if and to the extent that such guarantee or support would
contravene the Agreed Security Principles. 
 The parties hereto agree that any pledge, guaranty or security or similar interest
made or granted in contravention of this Section 9.21 shall be void ab initio, but only to the extent of such contravention. 

Section 9.22. No Fiduciary Duty. Each Agent, each Lender, each Issuing Bank and their respective Affiliates (collectively, solely
for purposes of this paragraph, the “Lenders”), may have economic interests that conflict with those of the Borrower and the other Loan Parties. The Borrower hereby agrees that subject to applicable law, nothing in the Loan
Documents or otherwise will be deemed to create an advisory, fiduciary or agency relationship or fiduciary or other implied duty between the Lenders and the Loan Parties, their equityholders or their Affiliates. The Borrower hereby acknowledges and
agrees that (i) the transactions contemplated by the Loan Documents are arm’s-length commercial transactions between the Lenders, on the one hand, and the Loan Parties, on the other, (ii) in connection therewith and with the process
leading to such transaction none of the Lenders is acting as the agent or 
  

 119 

 
fiduciary of any Loan Party, its management, equityholders, creditors or any other person, (iii) no Lender has assumed an advisory or fiduciary responsibility in favor of any Loan Party with
respect to the transactions contemplated hereby or the process leading thereto (irrespective of whether any Lender or any of its Affiliates has advised or is currently advising such Loan Party on other matters) or any other obligation to any Loan
Party except the obligations expressly set forth in the Loan Documents, (iv) the Borrower and each other Loan Party has consulted its own legal and financial advisors to the extent it has deemed appropriate and (v) the Lenders may be
engaged in a broad range of transactions that involve interests that differ from those of the Borrower and its Affiliates and no Lender has an obligation to disclose any such interests to the Borrower or its Affiliates. The Borrower further
acknowledges and agrees that it is responsible for making its own independent judgment with respect to such transactions and the process leading thereto. 

Section 9.23. Application of Funds. After the exercise of remedies provided for in Section 7.01 (or after the Loans
have automatically become immediately due and payable), any amounts received by the Administrative Agent from the Collateral Agent pursuant to Section 5.02 of the Collateral Agreement and any other amounts received by the Administrative
Agent on account of the Loan Document Obligations shall be applied by the Administrative Agent in the following order: 
 (a)
First, to payment of that portion of the Loan Document Obligations constituting fees, indemnities, expenses and other amounts (including fees, charges and disbursements of counsel to the Joint Lead Arrangers, the Administrative Agent and the
Collateral Agent) payable to the Joint Lead Arrangers, the Syndication Agent, the Co-Documentation Agent, the Administrative Agent and the Collateral Agent in their respective capacities as such; 

(b) Second, to payment of that portion of the Loan Document Obligations constituting fees, indemnities and other amounts (other
than principal, interest and Revolving L/C Participation Fees) payable to the Lenders and the Issuing Bank (including fees, charges and disbursements of counsel to the respective Lenders and the Issuing Bank) arising under the Loan Documents,
ratably among them in proportion to the respective amounts described in this clause Second payable to them; 
 (c)
Third, to payment of that portion of the Loan Document Obligations constituting accrued and unpaid Revolving L/C Participation Fees and interest on the Loans, Revolving L/C Exposure and other Obligations arising under the Loan Documents,
ratably among the Lenders and the Issuing Bank in proportion to the respective amounts described in this clause Third payable to them; 

(d) Fourth, to payment of that portion of the Loan Document Obligations constituting unpaid principal of the Loans and Revolving
L/C Reimbursement Obligations, ratably among the Lenders and the Issuing Bank in proportion to the respective amounts described in this clause Fourth held by them; 

(e) Fifth, to the Administrative Agent for the account of the Issuing Bank, to cash collateralize that portion of Revolving L/C
Exposure comprised of the aggregate undrawn amount of Revolving Letters of Credit; and 
 (f) Last, the balance, if any,
after all of the Loan Document Obligations have been indefeasibly paid in full, to the Borrower or as otherwise required by Law. 
 Subject to
Section 2.05(j), amounts used to cash collateralize the aggregate undrawn amount of Revolving Letters of Credit pursuant to clause Fifth above shall be applied to satisfy drawings under such Revolving Letters of Credit as they
occur. If any amount remains on deposit as cash collateral after all Revolving Letters of Credit have either been fully drawn or expired, such remaining amount shall be applied to the other Obligations, if any, in the order set forth above.

 [SIGNATURE PAGES FOLLOW] 
  

 120 

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

			
	 QUICKSILVER GAS SERVICES LP,

	 as Borrower

		
		 	     By: Quicksilver Gas Services GP LLC, its

    general partner

		
	 By:
	 	 /s/ William G. Manias

		 	Name: William G. Manias
		 	Title: Chief Financial Officer and secretary

[Signature Page to Credit Agreement - Opco] 

			
	BNP PARIBAS,
		 	    as Administrative Agent and Collateral Agent
		
	By:	 	 /s/ J. Christopher Lyons

		 	Name: J. Christopher Lyons
		 	Title: Managing Director
		
	By:	 	 /s/ Mark A. Cox

		 	Name: Mark A. Cox
		 	Title: Managing Director
	
	BNP PARIBAS,
		 	    as Lender
		
	By:	 	 /s/ J. Christopher Lyons

		 	Name: J. Christopher Lyons
		 	Title: Managing Director
		
	By:	 	 /s/ Mark A. Cox

		 	Name: Mark A. Cox
		 	Title: Managing Director

 Quicksilver
- OpCo Credit Agreement 

			
	BANK OF AMERICA, N.A.,
		 	    as Lender
		
	By:	 	 /s/ Ronald E. Mckaig

		 	Name: Ronald E. Mckaig
		 	Title: Senior Vice President

Quicksilver - OpCo Credit Agreement 

					
	 ROYAL BANK OF CANADA,

  as Syndication Agent and Lender

		
	By:	 	 /s/ Jason S. York

		 	Name:	 	Jason S. York
		 	Title:	 	Authorized Signatory

 Quicksilver -
OpCo Credit Agreement 

			
	 UBS AG, STAMFORD BRANCH,

  as Lender

		
	By:	 	 /s/ Mary E. Evans

		 	Name: Mary E. Evans
		 	Title: Associate Director
		
	By:	 	 /s/ Irja R. Otsa

		 	Name: Irja R. Otsa
		 	Title: Associate Director

Quicksilver - OpCo Credit Agreement 

			
	THE ROYAL BANK OF SCOTLAND PLC,
	   as Lender

		
	By:	 	 /s/ Stuart Gibson

		 	Name: Stuart Gibson
		 	Title: Director

 Quicksilver - OpCo
Credit Agreement 

			
	WELLS FARGO BANK, N.A.,
		 	      as Lender
		
	By:	 	 /s/ Shannan Townsend

		 	Name: Shannan Townsend
		 	Title: Managing Director

 Quicksilver
- OpCo Credit Agreement 

			
	BARCLAYS BANK PLC,
		 	      as Lender
		
	By:	 	 /s/ Ann E. Sutton

		 	Name: Ann E. Sutton
		 	Title: Director

 Quicksilver - OpCo
Credit Agreement 

			
	BANK OF MONTREAL,
		 	      as Lender
		
	By:	 	 /s/ Kevin Utsey

		 	Name: Kevin Utsey
		 	Title: Vice President

 Quicksilver -
OpCo Credit Agreement 

			
	CAPITAL ONE, N.A.,
		 	      as Lender
		
	By:	 	 /s/ Peter Shen

		 	Name: Peter Shen
		 	Title: Vice President

 Quicksilver -
OpCo Credit Agreement 

			
	COMERICA BANK,
		 	      as Lender
		
	By:	 	 /s/ Justin B. Crawford

		 	Name: Justin B. Crawford
		 	Title: Vice President

 Quicksilver -
OpCo Credit Agreement 

			
	REGIONS BANK,
		 	      as Lender
		
	By:	 	 /s/ Charles De Lacey

		 	Name: Charles De Lacey
		 	Title: Senior Vice President

Quicksilver - OpCo Credit Agreement 

			
	COMPASS BANK,
		 	    as Lender
		
	By:	 	 /s/ Greg Determann

		 	Name: Greg Determann
		 	Title: Senior Vice President

Quicksilver - OpCo Credit Agreement 

			
	SUMITOMO MITSUI BANKING CORPORATION,
		 	    as Lender
		
	By:	 	 /s/ Masakazu Hasegawa

		 	Name: Masakazu Hasegawa
		 	Title: General Manager

 Quicksilver -
OpCo Credit Agreement 

			
	U.S. BANK NATIONAL ASSOCIATION,
		 	    as Lender
		
	By:	 	 /s/ Monte E. Deckerd

		 	Name: Monte E. Deckerd
		 	Title: Senior Vice President

Quicksilver - OpCo Credit Agreement 

			
	ALLIED IRISH BANK, p.l.c.,
		 	    as Lender
		
	By:	 	 /s/ Vaughn Buck

		 	Name: Vaughn Buck
		 	Title: Director
		
	By:	 	 /s/ David O’Driscoll

		 	Name: David O’Driscoll
		 	Title: Assistant Vice President

Quicksilver - OpCo Credit Agreement

Source: [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00179-of-00352.parquet"}, [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00179-of-00352.parquet"}]]