Document:

Settlement and Patent License Agmt

 Exhibit 10.1 
 CONFIDENTIAL TREATMENT HAS BEEN REQUESTED FOR PORTIONS OF THIS EXHIBIT. THE COPY FILED HEREWITH OMITS THE INFORMATION SUBJECT TO THE CONFIDENTIALITY REQUEST. OMISSIONS ARE DESIGNATED AS [XXXX]. A
COMPLETE VERSION OF THIS EXHIBIT HAS BEEN FILED SEPARATELY WITH THE SECURITIES AND EXCHANGE COMMISSION. 
 CONFIDENTIAL 

SETTLEMENT AND PATENT LICENSE AGREEMENT 
 This settlement and patent license agreement, dated as of the 1st day of August 2012, is entered into between: 
 KONINKLIJKE PHILIPS ELECTRONICS N.V., having its registered office in Eindhoven, The Netherlands (“Philips”) 
 and 
 NEXXUS LIGHTING, INC., having its registered office in Charlotte, North Carolina,
U.S.A. (“Licensee”) 
 Philips and Licensee hereinafter also referred to individually as “a Party” and collectively as
“the Parties”. 
 WHEREAS, Philips is in the business of making and selling LED-based luminaires and retrofit bulbs and has developed
and acquired valuable technology and intellectual property rights for the control of such devices; 
 WHEREAS, Licensee is also in the business
of selling LED-based luminaires and retrofit bulbs and wishes to obtain a license under certain Philips’ patents for LED-based luminaires and retrofit bulbs, and Philips is willing to grant such license on the terms and conditions set forth
below; 
 NOW, THEREFORE, in consideration of the foregoing premises and the mutual covenants herein contained, the Parties hereby agree as
follows: 
 DEFINITIONS 
 When used in this Agreement, the following terms shall have the meanings ascribed thereto below: 

“Affiliate(s)” shall mean any one or more legal entities (i) directly or indirectly owned or controlled by Philips or Licensee,
(ii) directly or indirectly owning or controlling Licensee, or (iii) directly or indirectly owned or controlled by the legal entity owning or controlling Licensee, but any such legal entity shall only be considered an Affiliate of Licensee
for as long as such direct or indirect ownership or control exists. For the purposes of this 

  
 1 

 CONFIDENTIAL 
  

definition a legal entity shall be deemed to own and/or to control another legal entity if more than 50% (fifty percent) of the voting stock of the latter legal entity, ordinarily entitled to
vote in the meetings of shareholders of that entity, (or, if there is no such stock, more than 50% (fifty percent) of the ownership of or control in the latter legal entity) is held directly or indirectly by the owning and/or controlling legal
entity. 
 “Agreement” shall mean this patent license agreement, including the following Annexes: 

 

	 	•	 	 Annex A – Patent List; 

  

	 	•	 	 Annex B – Audit Guidelines; 

  

	 	•	 	 Annex C – Qualified Supplier List; and 

  

	 	•	 	 Annex D – List of trademarks of Licensee and its Affiliates. 

 “Disqualifying Audit” shall mean the occurrence of any of the following: 
  

	(i)	3 reports of audits in accordance with Clause 4.1 and/or Clause 4.3 revealing that Licensee has underpaid the amount due for any royalty reporting period by more than
[XXXX]% ([XXXX] percent) of the total amount due for such period, or 

  

	(ii)	1 report of an audit in accordance with Clause 4.1 and/or Clause 4.3 revealing that Licensee has underpaid the amount due for any period by more than [XXXX]%
([XXXX]percent) of the total amount due for such period. 

 “Effective Date” shall mean the date first written
above. 
 “Exempt Product” shall mean an LED-based luminaire (i.e., a Product other than a Retrofit Bulb) that meets all of the
following conditions: 
  

	 	(i)	all LED light engine modules (i.e., LEDs placed on one or more common circuit boards) comprised in the LED-based luminaire are Qualified Components;

  

	 	(ii)	all LED drivers comprised in the LED-based luminaire are Qualified Components; 

 

	 	(iii)	all components, if any, for controlling the light output of the LEDs comprised in the LED-based luminaire are Qualified Components; 

and the trademark of the respective Qualified Supplier is identifiable on each Qualified Component in the LED-based luminaire. 

“Field” shall mean [XXXX]. 

“Lawsuit” shall mean the cause of action styled as Koninklijke Philips Electronics N.V. and Philips Solid-State Lighting Solutions,
Inc. v. Nexxus Lighting, Inc., 12-cv-10549 in the United States District Court for the District of Massachusetts. 
 “Licensed
Product” shall mean a Product: (i) [XXXX], (ii) [XXXX], and (iii) [XXXX]. 
 “Net Revenue” shall mean
[XXXX]. 
 “Patents” shall mean the patents and patent applications listed in Annex A, including any future
divisionals, re-issues, re-examinations, continuations and continuations-in-part thereof. 

  
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 CONFIDENTIAL 
  

“Product” shall mean an individual and discrete LED-based luminaire, including but not limited to a fixture, and an individual and
discrete Retrofit Bulb that has, either on the luminaire or Retrofit Bulb itself or on its packaging, a trade mark (e.g., product name) that is owned or exclusively used by Licensee and/or its Affiliates as set forth in Annex D. [XXXX]. 

“Qualified Component” shall mean an LED light engine module (i.e., LEDs placed on one or more common circuit boards), an LED driver or
any other component or device for controlling the light output of an LED (individually, a “Component”), that is sourced directly or indirectly from a Qualified Supplier, that has the trademark (e.g., company name or product brand name) of
the respective Qualified Supplier identified on such Component. 
 “Qualified Supplier” shall mean a company that is listed in
Annex C. 
 “Reporting Form” shall mean a statement that satisfies the requirements of Clause 3.4. 

“Retrofit Bulb” shall mean a socket-based, LED-based light source, including but not limited to a bulb or a tube, that 

 

	(i)	contains all LED driver circuitry required to drive the LEDs, 

  

	(ii)	has a form-factor which is substantially similar to a conventional, non-LED light source, 

 

	(iii)	is intended to be operated in a previously-installed and operated conventional (e.g. incandescent, fluorescent, halogen) luminaire (fixture), and

  

	(iv)	is meant to replace a non-LED light source which was previously installed in such a conventional luminaire. 

Accordingly, and for the avoidance of doubt, an LED-based light source which is to be operated in a newly-installed luminaire shall not be a Retrofit
Bulb. Notwithstanding the above, an LED-based light source capable of communicating, either directly or indirectly, with a device outside thereof shall not be treated as a Retrofit Bulb under this Agreement. 

“Royalty-Bearing Products” shall mean all individual, discrete Products with the exception of Exempt Products. 

“Royalty Rate” shall mean [XXXX]% [XXXX], [XXXX] 
 1 – SETTLEMENT OF PENDING LITIGATION 
  

	1.1	Within ten (10) days of this Agreement being fully executed, the Parties shall jointly file a Stipulation of Dismissal, pursuant to Fed. R. Civ. P.
41(a)(1)(A)(ii), with the United States District Court for the District of Massachusetts, dismissing their respective claims against each other in connection with the Lawsuit. [XXXX]. 

 

	1.2	[XXXX]. 

  
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 CONFIDENTIAL 
  

2 – GRANT OF RIGHTS 
  

	2.1	For the term of this Agreement and subject to its provisions, Philips hereby grants to Licensee and its Affiliates a world-wide, non-exclusive, non-transferable,
indivisible and royalty-bearing license, without the right to grant sub-licenses, under the issued Patents solely for the account of Licensee and/or its Affiliates to make, have made, offer for sale, use and sell Products intended and/or marketed
for use within the Field. 

 For the avoidance of doubt, no license shall be granted under this Agreement for
Products manufactured by a third party, which are sold to Licensee and/or any of its Affiliates, but subsequently sold back to that third party or any Affiliates of that third party, and for Products not carrying a trademark (e.g., brand name) of
Licensee and/or any of its Affiliates as set forth in Annex D. 
  

	2.2	Philips shall not assert any of the Patents against any system comprising Licensed Products provided that (i) the system is only marketed and used within the
Field, and (ii) the system does not comprise any Product other than a Licensed Product, which Product would require a license under any of the issued Patents. 

 

	2.3	Subject to the receipt of the one-time, lump sum payment specified in Clause 3.1, Philips hereby releases, acquits and forever discharges Licensee, its Affiliates, as
well as its customers and distributors from any claims of infringement of the Patents arising from the manufacture or sale of Products by Licensee and/or its Affiliates prior to the Effective Date, which if taken place after the Effective Date would
have been licensed under this Agreement. The release and license set forth above are personal and non-transferable and not intended as, and are not a grant of, any rights under the Patents to any third party not expressly covered by this Agreement.
This release does not apply to sales of any products of a company or entity acquired by Licensee and/or its Affiliates after the Effective Date. 

 3 – ROYALTIES, REPORTS AND PAYMENT 
  

	3.1	Within thirty (30) days of the execution of this Agreement, Licensee shall make a non-refundable, non-recoupable one-time lump-sum payment of $[XXXX] to Philips.

 In consideration of the rights and licenses granted hereunder by Philips to Licensee and its Affiliates,
Licensee shall pay to Philips a royalty in accordance with the provisions of Clause 3.8. 

  
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 CONFIDENTIAL 
  

 

	3.2	All payments by Licensee to Philips hereunder shall be made in US Dollars to Philips’ US Dollar bank account with [XXXX] under the following references:

  

					
		  	US-Dollar bank account no.:	  	[XXXX]
		  	Name:	  	Koninklijke Philips Electronics N.V. – Licenses
		  	Bank:	  	[XXXX]
		  	Swiftcode:	  	[XXXX]
		  	ABAcode:	  	[XXXX]
		  	Ref:	  	[XXXX]

 Any payment or sales value in the Reporting Form under this Agreement in a currency other than US Dollars
shall be converted to US Dollar. The rate of exchange for converting such currency shall be the European Central Bank fixing rate of the relevant currency as officially quoted by the European Central Bank for payment of currency transactions on the
day that the amount is due and payable. 
  

	3.3	Within 30 days following 31 March, 30 June, 30 September and 31 December of each calendar year during the term of this Agreement, Licensee shall
(even in the event that null Net Revenue has to be reported) submit to Philips, by means Philips may direct, as default a Reporting Form certified by an authorized representative of Licensee. 

 

	3.4	[XXXX]: 

  

	 	(i)	[XXXX]; and 

	 	(ii)	[XXXX]. 

 Philips shall maintain
all information included in the Reporting Forms and provided under this Clause 3.4 as confidential information in accordance with the provisions of Clause 5. 
  

	3.5	The royalty payable to Philips hereunder for a given quarterly period shall be calculated as follows: [XXXX]. 

The Royalty-Bearing Products, as defined, shall include all Products regardless of where such Products are made or sold and regardless of
whether such Products may practice any of the inventions that are claimed in an issued patents contained within the Patents, but shall not include Exempt Products. 
 [XXXX] 
 The Royalty Rate shall be [XXXX]% [XXXX], [XXXX]. 

[XXXX] 
  

	3.6	[XXXX] 

  

	3.7	Licensee acknowledges and agrees that the Annex C may be updated by Philips from time to time to reflect changes in the status of the Qualified Suppliers,
effective as per Licensee’s notification. As far as reasonably required by Philips to verify Qualified Suppliers’ supply of Qualified Components to Licensee, Licensee herewith waives any confidentiality obligation it may have imposed on
its Qualified Suppliers that could prevent such verification. 

  
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 CONFIDENTIAL 
  

 

	3.8	Without prejudice to Licensee’s obligation to promptly make up for any underpayment, royalties shall be due at the same time Reporting Forms are due as set forth
in Clause 3.3 and Licensee shall pay all royalties due as calculated in accordance with Clause 3.5 and reported in the Reporting Form to Philips according to Clauses 3.3 and 3.4. Any payment under this Agreement that is not made on or before the
date(s) specified herein, shall accrue interest at the rate of [XXXX]% ([XXXX] percent) per month (or part thereof), or the maximum amount permitted by law, whichever is lower, without any notification being required. In no event shall Licensee have
the right to set off any payments due hereunder against any claim, of whatever nature, that it or any of its Affiliates may have against Philips or any of its Affiliates. Any excess payment amount shall be credited to immediate subsequent payment
obligations and not be refunded by Philips. 

  

	3.9	All costs, stamp duties, taxes and other similar levies arising from or in connection with the conclusion of this Agreement shall be borne by Licensee. In the event
that the governmental authorities of any country impose any withholding tax on payments made by Licensee to Philips hereunder and requires Licensee to withhold such tax from such payments, Licensee may deduct such tax from such payments. In such
event, Licensee shall promptly provide Philips with tax receipts issued by the relevant tax authorities. 

  

	3.10	Change of Control: In the event of (a) any consolidation or merger of Licensee with or into any other entity in which the holders of Licensee’s
outstanding shares immediately before such consolidation or merger do not, but immediately after such consolidation or merger, do retain stock, representing a majority of the voting power of the surviving entity or stock representing a majority of
the voting power of an entity that wholly owns, directly or indirectly, the surviving entity; (b) the sale, transfer or assignment of securities of Licensee representing a majority of the voting power of all of Licensee’s outstanding
voting securities to an acquiring party or group; or (c) the sale of all or substantially all of Licensee’s assets, Licensee shall notify Philips immediately and Philips shall have the right to request in writing a re-negotiation of the
Royalty Rate. If such renegotiation is not successful with 6 months of the request, Philips may terminate the Agreement. In the event that one or more employees of Licensee or its Affiliates acquire more than 50% (fifty percent) of the voting stock
of Licensee, ordinarily entitled to vote in the meetings of shareholders of Licensee (i.e. a management buy-out), and provided that Licensee does not become directly or indirectly owned or controlled by another legal entity (other than said
employees), Philips shall have no right to request a re-negotiation of the Royalty Rate. [XXXX] 

 4 –
AUDITING 
  

	4.1	[XXXX] 

  

	4.2	[XXXX] 

  

	4.3	[XXXX] 

  
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 CONFIDENTIAL 
  

5 – CONFIDENTIALITY 
  

	5.1	For a period of 5 years from the first date of disclosure, Philips shall use any information obtained from Licensee in accordance with this Agreement and designated
“confidential” only for the following purposes: 

  

	 	(a)	to verify the accuracy of information provided in Reporting Forms submitted by Licensee; 

 

	 	(b)	to ensure compliance with any royalty or other payment obligation; 

  

	 	(c)	to confirm the license status of any Product; 

  

	 	(d)	to disclose the information to an auditor for any purpose indicated in this Agreement; 

 

	 	(e)	to enforce Philips’ rights under this Agreement or other related agreements. 

 

	5.2	Philips shall not disclose any such confidential information to any employee other than those engaged in Philips’ licensing programs or to any third party,
provided that the foregoing shall not prevent Philips from disclosing such information pursuant to an order of a competent court or administrative authority. 

 

	5.3	The contents, but not the mere existence of this Agreement are and shall be kept confidential by the Parties and their Affiliates. Philips shall be permitted to list
the Licensee on a Philips website identifying the Licensee as having obtained a license under the Philips SSL Luminaire and Retrofit Bulb License Program. [XXXX] 

 

	5.4	No confidentiality obligation shall apply to the extent information so acquired: 

 

	 	(i)	was known to the receiving Party or its Affiliates prior to the date on which such information was acquired from the disclosing Party or its Affiliates;

  

	 	(ii)	is or has become available to the public through no default of the receiving Party or its Affiliates; 

 

	 	(iii)	was or is received from a third party who was under no confidentiality obligation in respect of such information; 

 

	 	(iv)	must be disclosed pursuant to an order of a competent court or administrative authority or pursuant to any mandatory law. 

6 – NO WARRANTY AND INDEMNIFICATION 
  

	6.1	Licensee acknowledges that third parties may own intellectual property rights relevant to the Products other than the Patents licensed to Licensee hereunder. Philips
makes no warranty whatsoever that the manufacture, sale or other disposal of Products or the use of information supplied by Philips hereunder, does not infringe or will not cause infringement of any intellectual property rights other than the
Patents. 

  
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 CONFIDENTIAL 
  

 

	6.2	Licensee acknowledges that Philips may own intellectual property rights other than the Patents licensed to Licensee hereunder that may be relevant to other aspects than
the control of the LEDs in the Products (such as, but not limited to the esthetic appearance of the Products). Philips makes no warranty whatsoever that the manufacture, sale or other disposal of Products or the use of information supplied by
Philips hereunder, does not infringe or will not cause infringement of any intellectual property rights referred to in the previous sentence. 

  

	6.3	Licensee shall defend, indemnify and hold Philips and its Affiliates harmless from and against any and all third party claims in connection with Products manufactured,
sold or otherwise disposed of by Licensee and/or its Affiliates. 

 7 – TERM AND TERMINATION

  

	7.1	This Agreement shall enter into force on the Effective Date and shall remain in force until the expiration of the last to expire patent included in the Patents, unless
terminated earlier in accordance with its provisions. 

  

	7.2	Without prejudice to the provisions of Clauses 7.3, 7.4 and 7.5, each Party may terminate this Agreement at any time by means of a written notice to the other Party in
the event that the other Party fails to perform any obligation under this Agreement and such failure is not remedied within 30 days after receipt of a notice specifying the nature of such failure and requiring it to be remedied. Such right of
termination shall not be exclusive of any other right or remedy to which the non-breaching Party may be entitled and all such remedies shall be cumulative. 

 

	7.3	Philips shall be entitled to terminate this Agreement effective immediately upon a Disqualifying Audit. 

 

	7.4	[XXXX] 

  

	7.5	Philips may terminate this Agreement forthwith by means of a written notice to Licensee in the event that a creditor or other claimant takes possession of, or a
receiver, administrator or similar officer is appointed over any of the assets of Licensee, or in the event that Licensee makes any voluntary arrangement with its creditors or becomes subject to any court or administration order pursuant to any
bankruptcy or insolvency law. 

  

	7.6	Upon the termination of this Agreement by Philips for any reason pursuant to this Clause 7, Licensee and its Affiliates shall immediately cease the manufacture and/or
sale of Product infringing any Patent. 

  

	7.7	All provisions of this Agreement intended to survive (whether express or implied) the expiry or termination of this Agreement shall so survive. Expiration or
termination of the Agreement shall not relieve the Parties of their obligations accrued prior to such expiration or termination, and all rights and obligations of this Agreement which by their nature extend beyond its termination remain in effect
until fulfilled and shall apply to and be binding upon the Parties’ respective successors and permitted assignees. 

  
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 CONFIDENTIAL 
  

For the avoidance of doubt and without any limitation, the following provisions of this Agreement shall survive expiration or termination
of this Agreement: 
  

	 	a)	The obligation of Licensee to pay all royalties accrued as of the Effective Date up to the date of expiration or termination of this Agreement, including any interest
on overdue royalties, if any; 

  

	 	b)	The provisions of Clauses 3 and 4 of this Agreement; 

  

	 	c)	The obligation of the Parties and their Affiliates to maintain information in confidence regarding the terms of this Agreement and the performance of the Parties under
this Agreement; 

  

	 	d)	Any cause of action or claim of Philips accrued or to accrue because of any breach or default by Licensee. 

8 – MISCELLANEOUS 
  

	8.1	Notice: Any notice other than the Reporting Forms by either Party under this Agreement shall be given in writing and signed by an authorized representative of
the notifying Party by means of a letter, facsimile or electronic mail directed: 

  

					
		  	If to Philips:	  	Koninklijke Philips Electronics N.V.
		  		  	 c/o Philips Intellectual Property & Standards
 Building HTC-44
 P.O. Box 220
 5600 AE Eindhoven
 The Netherlands
 Fax +31 40 274 34 89
 Email: [XXXX]
 Attention: [XXXX]

			
		  	If to Licensee:	  	Nexxus Lighting, Inc.
		  		  	 124 Floyd Smith Drive, Suite 300

F.a.o. Michael Bauer, CEO
 Fax
(704) 405-0422
 E-mail: mbauer@nexxuslighting.com

  

	8.2	Nothing in this Agreement shall be construed as: 

  

	 	(a)	imposing on either Party any obligation to instigate any suit or action for infringement of any of the Patents or to defend any suit or action brought by a third party
challenging the validity of any such Patents. Licensee and its Affiliates shall have no right to instigate any such suit or action for infringement of any of the Patents or to defend any such suit or action challenging the validity of any such
Patents; 

  

	 	(b)	imposing any obligation to file any patent application or to secure any patent or to maintain any patent in force; 

 

	 	(c)	conferring any license or right to copy or imitate the appearance and/or design of any product of Philips or its Affiliates; 

  
 - 9 -

 CONFIDENTIAL 
  

 

	 	(d)	conferring any license or other rights to manufacture, sell or otherwise dispose of any product or device other than a Licensed Product. In particular, this Agreement
does not confer any license to modules, components or subassemblies for LED-based luminaires or Retrofit Bulbs; 

  

	 	(e)	a warranty or representation by Philips as to the validity or scope of any Patent; 

 

	 	(f)	a warranty or representation that any Product is, or will be, free from infringement of patents other than the Patents or other intellectual property rights of Philips
or third parties,; 

  

	 	(g)	unless otherwise provided in this Agreement, an obligation to provide any manufacturing or technical information, or any information concerning pending patent
applications; 

  

	 	(h)	granting by implication, estoppel, or otherwise any licenses or rights under any patent or patent application other than the Patents; 

 

	 	(i)	conferring a right to use in advertising, publicity or otherwise, any trademark or trade name of Philips or its Affiliates, [XXXX]. 

 

	8.3	Free to Prosecute and Abandon: Licensee acknowledges and agrees that Philips is entitled to abandon and apply for amendments to any Patent. Licensee consents to
such abandonment or amendment as Philips or its Affiliates may undertake or apply for in the future. 

  

	8.4	Integration: The Agreement sets forth the entire understanding between the Parties and supersedes and replaces all prior understanding and agreements between the
Parties as to the subject matter hereof. No variation of this Agreement shall be binding upon either Party, unless made in writing and signed by an authorized representative of each of the Parties. 

 

	8.5	Export Laws and Regulations: Licensee hereby acknowledges that the rights and obligations of the Agreement may be subject to the laws and regulations relating to
the export of Products. Without limitation, Licensee shall comply with all such laws and regulations. Licensee shall indemnify Philips against any claim or damages resulting from Licensee’s conduct in contravention of the aforementioned export
control laws and regulations. 

  

	8.6	No Waiver: Neither the failure nor the delay of either Party to enforce any provision of this Agreement shall constitute a waiver of such provision or of the
right of either Party to enforce each and every provision of this Agreement. 

  

	8.7	Severability: Should any provision of this Agreement be finally determined void or unenforceable in any judicial proceeding, such determination shall not affect
the operation of the remaining provisions hereof, provided that, in such event, each Party shall have the right to terminate this Agreement by means of a written notice to the other Party. 

 

	8.8	Assignment: This Agreement shall inure to the benefit of and be binding upon each of the Parties. Any assignment of this Agreement in whole or in part by
Licensee requires the prior written consent of Philips, [XXXX]. Any such assignment shall be done by means of a written instrument, signed by a duly authorized representative of each Party. 

  
 - 10 -

 CONFIDENTIAL 
  

 

	8.9	Venue and Choice of Law: This Agreement shall be governed by and construed in accordance with laws of the State of New York. Any dispute between the Parties in
connection with this Agreement (including any question regarding its existence, validity or termination) shall be submitted to the Federal District Court for the Southern District of New York provided that, in case the dispute concerns
Licensee’s obligations concerning royalty reporting or payment obligations or Licensee’s obligations of confidentiality, Philips may at its sole discretion submit such dispute to the competent courts in the venue of Licensee’s
registered office. Licensee hereby irrevocably waives any objection to the jurisdiction, process and venue of any such court and to the effectiveness, execution and enforcement of any order or judgment (including, but not limited to, a default
judgment) of any such court in relation to this Agreement, to the maximum extent permitted by the law of any jurisdiction, the laws of which might be claimed to be applicable regarding the effectiveness, enforcement or execution of such order or
judgment. 

 IN WITNESS WHEREOF, the Parties have caused this Agreement to be executed and delivered by their duly authorized
representatives, as of the date first written above. 
  

					
	Koninklijke Philips Electronics N.V.	 		 	Nexxus Lighting, Inc.
			
	/s/ R.J. Peters	 		 	/s/ Michael A. Bauer
	(signature)	 		 	(signature)
	Name: R.J. Peters	 		 	Name: Michael A. Bauer
	Title: Chief Intellectual Property Officer	 		 	Title: President/CEO

  
 - 11 -

 Annex A to the LED-based Luminaire and Retrofit Bulb Patent License Agreement 

List of Patents 
  

															
	 CTY
	  	Fil.Date	  	Application No.	  	Pub. Data	  	Publication No.	  	Grant Date	  	Grant No.	  	Expiry Date
	 AT
	  	2001-Jan-08	  	01907413.7	  		  		  	2006-Jun-14	  	E330448	  	2021-Jan-08
	 AT
	  	2001-Apr-24	  	03028671.0	  		  		  	2010-Apr-14	  	E464771	  	2021-Apr-24
	 AT
	  	2001-Apr-24	  	07075990.7	  	2008-Feb-13	  	1887836	  	2012-Mar-07	  	E548887	  	2021-Apr-24
	 AT
	  	2001-Oct-25	  	01997118.3	  		  		  	2009-Jun-17	  	E434152	  	2021-Oct-25
	 AT
	  	2002-Jun-21	  	02738518.6	  		  		  	2008-Dec-10	  	E417490	  	2022-Jun-21
	 AT
	  	2002-Jul-18	  	02751538.6	  		  		  	2006-May-17	  	E326826	  	2022-Jul-18
	 AT
	  	2002-Jul-18	  	02751537.8	  		  		  	2006-May-24	  	E327654	  	2022-Jul-18
	 AT
	  	2003-May-09	  	03736588.9	  		  		  	2008-Dec-03	  	E416597	  	2023-May-09
	 AT
	  	2003-Aug-28	  	03791823.2	  		  		  	2010-Jan-13	  	E455451	  	2023-Aug-28
	 AT
	  	2005-Jul-14	  	05763182.2	  	2007-Apr-11	  	1772044-A	  		  		  	2025-Jul-14
	 AT
	  	2006-May-24	  	06765708.0	  		  		  	2009-Mar-18	  	1889519	  	2026-May-24
	 AT
	  	2006-Dec-13	  	06842469.6	  	2008-Sep-10	  	1966624	  	2011-Jun-29	  	E514958	  	2026-Dec-13
	 AT
	  	2007-Sep-20	  	07826476.9	  		  		  	2011-Mar-02	  	E500710	  	2027-Sep-20
	 AT
	  	2007-Nov-06	  	07826984.2	  		  		  	2010-Jul-28	  	E476087	  	2027-Nov-06
	 AT
	  	2007-Nov-27	  	07862228.9	  		  		  	2011-Mar-02	  	E500469	  	2027-Nov-27
	 AT
	  	2008-Apr-04	  	08737714.9	  		  		  	2010-Oct-06	  	E483939	  	2028-Apr-04
	 AT
	  	2008-Dec-02	  	08857778.8	  	2010-Sep-29	  	2232951-A	  	2011-Jul-06	  	2232951	  	
	 AU
	  	1998-Aug-26	  	2006202217	  		  		  	2009-Jan-22	  	2006202217	  	
	 AU
	  	1998-Aug-26	  	2003203584	  		  		  	2006-Jul-13	  	2003203584	  	2018-Aug-26
	 AU
	  	1998-Aug-26	  	92060/98	  		  		  	2003-May-22	  	757000	  	2018-Aug-26
	 AU
	  	1998-Dec-17	  	2004200183	  		  		  	2007-Oct-04	  	2004200183	  	2018-Dec-17
	 AU
	  	1998-Dec-17	  	2007216901	  		  		  	2008-Oct-30	  	2007216901	  	2018-Dec-17
	 AU
	  	2005-Mar-14	  	2005222987	  		  		  	2009-Nov-05	  	2005222987	  	2025-Mar-14
	 AU
	  	2005-Dec-02	  	2005317838	  		  		  		  		  	2025-Dec-02
	 AU
	  	2006-May-23	  	2006249979	  		  		  	2011-Dec-08	  	2006249979	  	2026-May-23
	 BE
	  	1998-Jan-22	  	98900141.7	  	1999-Jan-13	  	0890059-A1	  	2004-Jun-23	  	0890059	  	2018-Jan-22
	 BE
	  	2001-Apr-24	  	03028671.0	  		  		  	2010-Apr-14	  	1422975	  	2021-Apr-24
	 BE
	  	2001-Apr-24	  	07075990.7	  	2008-Feb-13	  	1887836	  	2012-Mar-07	  	1887836	  	2021-Apr-24
	 BE
	  	2001-Aug-14	  	01203099.5	  		  		  	2009-Oct-14	  	1182396	  	2021-Aug-14
	 BE
	  	2001-Oct-25	  	01997118.3	  		  		  	2009-Jun-17	  	1337784	  	2021-Oct-25
	 BE
	  	2002-Jun-21	  	02738518.6	  		  		  	2008-Dec-10	  	1405551	  	2022-Jun-21
	 BE
	  	2003-May-09	  	03736588.9	  		  		  	2008-Dec-03	  	1502483	  	2023-May-09
	 BE
	  	2003-Aug-28	  	03791823.2	  		  		  	2010-Jan-13	  	1535495	  	2023-Aug-28
	 BE
	  	2005-Nov-09	  	05809900.3	  		  		  	2011-Feb-09	  	1815536	  	2025-Nov-09
	 BE
	  	2006-May-24	  	06765708.0	  		  		  	2009-Mar-18	  	1889519	  	2026-May-24
	 BE
	  	2006-Dec-13	  	06842469.6	  	2008-Sep-10	  	1966624	  	2011-Jun-29	  	1966624	  	2026-Dec-13
	 BE
	  	2007-Sep-20	  	07826476.9	  		  		  	2011-Mar-02	  	2074866	  	2027-Sep-20
	 BE
	  	2007-Nov-27	  	07862228.9	  		  		  	2011-Mar-02	  	2089656	  	2027-Nov-27
	 BE
	  	2008-Mar-31	  	08737675.2	  	2010-Jan-13	  	2143303-A	  	2012-Aug-08	  	2143303	  	2028-Mar-31
	 BE
	  	2008-Apr-04	  	08737714.9	  		  		  	2010-Oct-06	  	2135005	  	2028-Apr-04
	 BE
	  	2008-Dec-02	  	08857778.8	  	2010-Sep-29	  	2232951-A	  	2011-Jul-06	  	2232951	  	2028-Dec-02
	 BR
	  	2006-May-24	  	PI 0610118-6	  		  		  		  		  	2026-May-24
	 BR
	  	2007-Aug-17	  	PI 0715880-7	  		  		  		  		  	2027-Aug-17
	 BR
	  	2007-Aug-22	  	PI 0715802-5	  		  		  		  		  	2027-Aug-22
	 BR
	  	2007-Sep-20	  	PI 0717018-1	  		  		  		  		  	2027-Sep-20
	 BR
	  	2007-Oct-11	  	PI 0717788-7	  		  		  		  		  	2027-Oct-11
	 BR
	  	2007-Oct-31	  	PI 0718151-5	  		  		  		  		  	2027-Oct-31
	 BR
	  	2007-Nov-06	  	PI 0718524-3	  		  		  		  		  	2027-Nov-06
	 BR
	  	2007-Nov-27	  	PI 0719124-3	  		  		  		  		  	2027-Nov-27
	 BR
	  	2007-Dec-11	  	PI 0720017-0	  		  		  		  		  	2027-Dec-11
	 BR
	  	2007-Dec-11	  	PI 0720213-0	  		  		  		  		  	2027-Dec-11
	 BR
	  	2007-Dec-12	  	PI 0720064-1	  		  		  		  		  	2027-Dec-12
	 BR
	  	2008-Mar-31	  	PI 0809846-8	  		  		  		  		  	2028-Mar-31
	 BR
	  	2008-Dec-02	  	PI 0820090-4	  		  		  		  		  	2028-Dec-02
	 BR
	  	2008-Dec-02	  	PI 0820957-0	  		  		  		  		  	2028-Dec-02
	 CA
	  	1998-Jan-22	  	2249423	  		  		  	2009-Sep-15	  	2249423	  	2018-Jan-22
	 CA
	  	1998-Jul-27	  	2267406	  		  		  	2006-Mar-07	  	2267406	  	2018-Jul-27
	 CA
	  	1998-Aug-26	  	2466717	  		  		  	2010-Jan-26	  	2466717	  	2018-Aug-26
	 CA
	  	1998-Aug-26	  	2302227	  		  		  	2004-Jul-27	  	2302227	  	2018-Aug-26
	 CA
	  	1998-Dec-17	  	2314163	  		  		  	2008-Sep-23	  	2314163	  	2018-Dec-17
	 CA
	  	2004-Jul-20	  	2533195	  	2005-Jan-27	  	2533195	  		  		  	2024-Jul-20
	 CA
	  	2004-Jul-21	  	2533209	  	2005-Jan-27	  	2533209	  		  		  	2024-Jul-21
	 CA
	  	2005-Jan-28	  	2554863	  	2005-Aug-11	  	2554863	  	2012-Jul-10	  	2554863	  	2025-Jan-28
	 CA
	  	2005-Mar-14	  	2559718	  		  		  	2012-May-22	  	2559718	  	2025-Mar-14
	 CA
	  	2005-Mar-14	  	2730210	  		  		  		  		  	2025-Mar-14
	 CA
	  	2005-Jun-23	  	2572335	  	2006-Jan-12	  	2572335	  		  		  	2025-Jun-23
	 CA
	  	2005-Jul-29	  	2576099	  	2006-Feb-09	  	2576099	  		  		  	2025-Jul-29

  

					
		 	Page 1 of 23	  	17 August 2012

 Annex A to the LED-based Luminaire and Retrofit Bulb Patent License Agreement 

List of Patents 
  

															
	 CTY
	  	Fil.Date	  	Application No.	  	Pub. Data	  	Publication No.	  	Grant Date	  	Grant No.	  	Expiry Date
	 CA
	  	2005-Aug-02	  	2576304	  	2006-Feb-16	  	2576304	  		  		  	2025-Aug-02
	 CA
	  	2005-Sep-29	  	2521973	  	2006-Mar-29	  	2521973	  		  		  	2025-Sep-29
	 CA
	  	2005-Oct-12	  	2583357	  	2006-Apr-20	  	2583357	  		  		  	2025-Oct-12
	 CA
	  	2005-Oct-12	  	2583355	  	2006-Apr-20	  	2583355	  		  		  	2025-Oct-12
	 CA
	  	2005-Nov-23	  	2589207	  	2006-Jun-01	  	2589207	  		  		  	2025-Nov-23
	 CA
	  	2005-Dec-16	  	2619613	  		  		  		  		  	2025-Dec-16
	 CA
	  	2005-Dec-20	  	2591205	  		  		  		  		  	2025-Dec-20
	 CA
	  	2006-Jan-05	  	2606687	  	2006-Jul-13	  	2606687	  		  		  	2026-Jan-05
	 CA
	  	2006-Jan-25	  	2609877	  	2006-Aug-03	  	2609877	  		  		  	2026-Jan-25
	 CA
	  	2006-Mar-01	  	2637757	  		  		  		  		  	2026-Mar-01
	 CA
	  	2006-Apr-06	  	2614575	  	2006-Oct-12	  	2614575	  		  		  	2026-Apr-06
	 CA
	  	2006-May-08	  	2642028	  		  		  		  		  	2026-May-08
	 CA
	  	2006-May-23	  	2609531	  		  		  		  		  	2026-May-23
	 CA
	  	2006-Dec-20	  	2632385	  		  		  		  		  	2026-Dec-20
	 CA
	  	2007-Jan-03	  	2640567	  		  		  		  		  	2027-Jan-03
	 CA
	  	2007-Dec-11	  	2708978	  		  		  		  		  	2027-Dec-11
	 CA
	  	2007-Dec-11	  	2,708,980	  		  		  		  		  	2027-Dec-11
	 CA
	  	2007-Dec-12	  	2708984	  		  		  		  		  	2027-Dec-12
	 CH
	  	2001-Apr-24	  	03028671.0	  		  		  	2010-Apr-14	  	1422975	  	2021-Apr-24
	 CH
	  	2001-Apr-24	  	07075990.7	  	2008-Feb-13	  	1887836	  	2012-Mar-07	  	1887836	  	2021-Apr-24
	 CH
	  	2001-Oct-25	  	01997118.3	  		  		  	2009-Jun-17	  	1337784	  	2021-Oct-25
	 CH
	  	2002-Jun-21	  	02738518.6	  		  		  	2008-Dec-10	  	1405551	  	2022-Jun-21
	 CH
	  	2003-May-09	  	03736588.9	  		  		  	2008-Dec-03	  	1502483	  	2023-May-09
	 CH
	  	2003-Aug-28	  	03791823.2	  		  		  	2010-Jan-13	  	1535495	  	2023-Aug-28
	 CH
	  	2006-May-24	  	06765708.0	  		  		  	2009-Mar-18	  	1889519	  	2026-May-24
	 CH
	  	2007-Nov-27	  	07862228.9	  		  		  	2011-Mar-02	  	2089656	  	2027-Nov-27
	 CH
	  	2008-Dec-02	  	08857778.8	  	2010-Sep-29	  	2232951-A	  	2011-Jul-06	  	2232951	  	
	 CN
	  	1997-Aug-08	  	97191154.1	  	1998-Nov-18	  	1199524-A	  	2003-Aug-27	  	97191154.1	  	2017-Aug-08
	 CN
	  	1997-Sep-08	  	97191438.9	  	1999-Jan-13	  	1205069-A	  	2003-Apr-16	  	97191438.9	  	2017-Sep-08
	 CN
	  	1998-Jan-22	  	98800051.2	  	1999-May-05	  	1216094-A	  	2003-Apr-30	  	98800051.2	  	2018-Jan-22
	 CN
	  	1998-Jul-16	  	98801403.3	  	2000-Jan-12	  	1241349-A	  	2005-Mar-09	  	98801403.3	  	2018-Jul-16
	 CN
	  	1998-Jul-16	  	98801402.5	  	2000-Jan-12	  	1241348-A	  	2004-Feb-18	  	98801402.5	  	2018-Jul-16
	 CN
	  	1998-Jul-27	  	98801404.1	  	2000-Jan-12	  	1241350-A	  	2004-Mar-24	  	98801404.1	  	2018-Jul-27
	 CN
	  	1999-Jun-17	  	99801067.7	  	2000-Nov-15	  	1273759-A	  	2006-Nov-29	  	99801067.7	  	2019-Jun-17
	 CN
	  	1999-Sep-08	  	99802434.1	  	2001-Mar-28	  	1289397-A	  	2003-Oct-15	  	99802434.1	  	2019-Sep-08
	 CN
	  	1999-Sep-17	  	99802435.X	  	2001-Mar-28	  	1289454-A	  	2005-Nov-16	  	99802435.X	  	2019-Sep-17
	 CN
	  	1999-Dec-02	  	99802963.7	  	2001-Apr-11	  	1291282-A	  	2003-Jul-09	  	99802963.7	  	2019-Dec-02
	 CN
	  	2000-Jul-03	  	00801240.7	  	2001-Oct-03	  	1316174-A	  	2007-May-30	  	1319415	  	2020-Jul-03
	 CN
	  	2000-Jul-28	  	00802179.1	  	2001-Dec-19	  	1327707-A	  	2006-Jan-18	  	00802179.1	  	2020-Jul-28
	 CN
	  	2000-Sep-15	  	00802081.7	  	2001-Nov-14	  	1322456-A	  	2006-Feb-08	  	00802081.7	  	2020-Sep-15
	 CN
	  	2000-Oct-10	  	00802488.X	  	2002-Feb-13	  	1336092-A	  	2004-Dec-01	  	00802488.X	  	2020-Oct-10
	 CN
	  	2000-Oct-12	  	00804517.8	  	2002-Mar-27	  	1342387-A	  	2005-Feb-09	  	00804517.8	  	2020-Oct-12
	 CN
	  	2000-Oct-12	  	00804516.X	  	2002-Mar-27	  	1342388-A	  	2006-Mar-29	  	00804516.X	  	2020-Oct-12
	 CN
	  	2000-Nov-17	  	00803336.6	  	2002-Jun-26	  	1355936-A	  	2005-Nov-16	  	00803336.6	  	2020-Nov-17
	 CN
	  	2001-Jan-08	  	01800162.9	  	2002-Aug-07	  	1363198-A	  	2005-May-11	  	01800162.9	  	2021-Jan-08
	 CN
	  	2001-Aug-19	  	01135741.X	  	2002-Mar-13	  	1339664-A	  	2005-Jul-20	  	01135741.X	  	2021-Aug-19
	 CN
	  	2001-Sep-05	  	01802758.X	  	2003-Jan-22	  	1393118-A	  	2006-Aug-09	  	01802758.X	  	2021-Sep-05
	 CN
	  	2001-Nov-09	  	01806195.8	  	2003-Aug-13	  	1436438-A	  	2007-May-30	  	1319420	  	2021-Nov-09
	 CN
	  	2001-Dec-03	  	01807029.9	  	2003-May-21	  	1419797-A	  	2007-May-30	  	01807029.9	  	2021-Dec-03
	 CN
	  	2001-Dec-12	  	01805639.3	  	2003-Mar-26	  	1406450-A	  	2008-Jun-04	  	100393177	  	2021-Dec-12
	 CN
	  	2001-Dec-12	  	01805636.9	  	2003-Sep-17	  	1443304-A	  	2005-Feb-23	  	01805636.9	  	2021-Dec-12
	 CN
	  	2002-Feb-28	  	02800565.1	  	2003-Nov-26	  	1459180-A	  	2008-Aug-27	  	100414943	  	2022-Feb-28
	 CN
	  	2002-Mar-14	  	02800705.0	  	2003-Nov-26	  	1459216-A	  	2008-Feb-06	  	100367827	  	2022-Mar-14
	 CN
	  	2002-Mar-19	  	02800893.6	  	2003-Dec-03	  	1460393-A	  	2009-May-20	  	02800893.6	  	2022-Mar-19
	 CN
	  	2002-Apr-25	  	02801561.4	  	2004-Jan-28	  	1471630-A	  	2008-Jun-04	  	100392367	  	2022-Apr-25
	 CN
	  	2002-May-24	  	02801831.1	  	2003-Dec-24	  	1463566-A	  	2008-Apr-09	  	100381018	  	2022-May-24
	 CN
	  	2002-Jun-07	  	02811453.1	  	2004-Jul-21	  	1514919-A	  	2006-Feb-08	  	02811453.1	  	2022-Jun-07
	 CN
	  	2002-Jun-21	  	02813396.X	  	2004-Aug-18	  	1522555-A	  	2008-Jun-04	  	100393181	  	2022-Jun-21
	 CN
	  	2002-Jul-23	  	02802991.7	  	2005-Jul-06	  	1636280-A	  	2008-Apr-23	  	100383986	  	2022-Jul-23
	 CN
	  	2002-Aug-09	  	02815923.3	  	2004-Oct-27	  	1541503-A	  	2008-Nov-05	  	02815923.3	  	2022-Aug-09
	 CN
	  	2002-Sep-30	  	02819551.5	  	2005-Jan-12	  	1565147-A	  	2008-Jul-16	  	100403858-C	  	2022-Sep-30
	 CN
	  	2002-Oct-16	  	02820873.0	  	2005-Feb-02	  	1575623-A	  	2009-May-20	  	02820873.0	  	2022-Oct-16
	 CN
	  	2002-Nov-15	  	02824219.X	  	2005-Mar-23	  	1600047-A	  	2008-Dec-24	  	02824219.X	  	2022-Nov-15
	 CN
	  	2002-Nov-29	  	02825370.1	  	2005-Jun-29	  	1633828-A	  	2009-Aug-19	  	02825370.1	  	2022-Nov-29
	 CN
	  	2002-Dec-18	  	02825834.7	  	2005-Apr-13	  	1606766-A	  	2008-Nov-19	  	02825834.7	  	2022-Dec-18
	 CN
	  	2002-Dec-20	  	02826433.9	  	2006-Apr-05	  	1757267-A	  	2010-Jan-27	  	02826433.9	  	2022-Dec-20
	 CN
	  	2003-Feb-06	  	03803878.1	  	2005-Jun-29	  	1633827-A	  	2009-Apr-08	  	03803878.1	  	2023-Feb-06

  

					
		 	Page 2 of 23	  	17 August 2012

 Annex A to the LED-based Luminaire and Retrofit Bulb Patent License Agreement 

List of Patents 
  

															
	 CTY
	  	Fil.Date	  	Application No.	  	Pub. Data	  	Publication No.	  	Grant Date	  	Grant No.	  	Expiry Date
	 CN
	  	2003-Jun-12	  	200910165991.8	  		  		  	2012-Apr-11	  	ZL200910165991.8	  	2023-Jun-12
	 CN
	  	2003-Jun-12	  	03814939.7	  	2005-Aug-31	  	1663323	  	2010-Jun-23	  	03814939.7	  	2023-Jun-12
	 CN
	  	2003-Nov-11	  	200380104180.8	  	2006-Jan-04	  	1717958	  	2008-Dec-03	  	200380104180.8	  	2023-Nov-11
	 CN
	  	2003-Dec-11	  	200380106660.8	  	2006-Mar-08	  	1745603	  	2009-Nov-04	  	200380106660.8	  	2023-Dec-11
	 CN
	  	2003-Dec-11	  	200380106654.2	  	2006-Feb-01	  	1729722	  	2010-Jun-09	  	200380106654.2	  	2023-Dec-11
	 CN
	  	2003-Dec-12	  	200380106591.0	  	2006-Feb-01	  	1729721	  	2009-Apr-22	  	200380106591.0	  	2023-Dec-12
	 CN
	  	2003-Dec-18	  	200380107539.7	  	2006-Feb-08	  	1732717	  	2009-May-27	  	200380107539.7	  	2023-Dec-18
	 CN
	  	2003-Dec-18	  	200380107534.4	  	2006-Feb-08	  	1732716	  	2009-May-27	  	200380107534.4	  	2023-Dec-18
	 CN
	  	2004-Apr-21	  	200480017409.9	  	2006-Jul-26	  	1809867	  		  		  	2024-Apr-21
	 CN
	  	2004-Apr-22	  	200480012275.1	  	2006-Jun-07	  	1784931	  		  		  	2024-Apr-22
	 CN
	  	2004-Apr-22	  	200480012309.7	  	2006-Jun-07	  	1784932	  	2011-Sep-28	  	200480012309.7	  	2024-Apr-22
	 CN
	  	2004-Apr-30	  	200480012040.2	  	2006-Jun-07	  	1784930	  	2009-Aug-19	  	200480012040.2	  	2024-Apr-30
	 CN
	  	2004-Jul-21	  	200480027554.5	  	2006-Nov-01	  	1857034A	  	2009-Sep-23	  	200480027554.5	  	2024-Jul-21
	 CN
	  	2004-Sep-07	  	200480025822.X	  	2006-Oct-18	  	1849707	  	2008-Sep-03	  	200480025822.X	  	2024-Sep-07
	 CN
	  	2004-Sep-21	  	200480027802.6	  		  	1856815	  	2009-Apr-29	  	200480027802.6	  	2024-Sep-21
	 CN
	  	2004-Nov-05	  	200480033302.3	  		  		  	2010-Jun-23	  	200480033302.3	  	2024-Nov-05
	 CN
	  	2005-Mar-23	  	200580011303.2	  	2007-Apr-04	  	1942701A	  	2010-May-05	  	200580011303.2	  	2025-Mar-23
	 CN
	  	2005-Apr-27	  	200580014515.6	  	2007-Apr-18	  	1951157-A	  	2011-Feb-02	  	200580014515.6	  	2025-Apr-27
	 CN
	  	2005-May-02	  	200580014299.5	  	2007-Apr-18	  	1950791-A	  	2009-Sep-09	  	200580014299.5	  	2025-May-02
	 CN
	  	2005-Jun-23	  	200580028760.2	  	2007-Aug-01	  	101010649A	  		  		  	2025-Jun-23
	 CN
	  	2005-Jun-28	  	201110041331.6	  	2011-May-18	  	102065618-A	  		  		  	2025-Jun-28
	 CN
	  	2005-Jul-14	  	200580024425.5	  	2007-Jun-27	  	1989792-A	  		  		  	2025-Jul-14
	 CN
	  	2005-Sep-19	  	200580033142.7	  	2008-Jan-16	  	101107474-A	  	2009-Jul-29	  	200580033142.7	  	2025-Sep-19
	 CN
	  	2005-Sep-20	  	200580033788.5	  	2007-Sep-12	  	101036106-A	  	2010-Jun-02	  	200580033788.5	  	2025-Sep-20
	 CN
	  	2005-Oct-12	  	200580040566.6	  	2008-Feb-20	  	101128979A	  	2011-Oct-19	  	200580040566.6	  	2025-Oct-12
	 CN
	  	2005-Oct-12	  	200580040560.9	  	2008-Feb-13	  	101124853A	  	2011-Jul-13	  	200580040560.9	  	2025-Oct-12
	 CN
	  	2005-Oct-26	  	200580037105.3	  	2007-Oct-03	  	101049048-A	  	2009-Oct-14	  	200580037105.3	  	2025-Oct-26
	 CN
	  	2005-Nov-09	  	200580039474.6	  	2007-Oct-31	  	101065850-A	  	2009-Jan-07	  	200580039474.6	  	2025-Nov-09
	 CN
	  	2005-Nov-24	  	200580040875.3	  	2007-Oct-31	  	101065997-A	  		  		  	2025-Nov-24
	 CN
	  	2005-Dec-02	  	200580043765.2	  		  		  		  		  	
	 CN
	  	2005-Dec-16	  	200580051854.1	  	2008-Oct-22	  	101292574-A	  		  		  	2025-Dec-16
	 CN
	  	2006-Jan-18	  	200680002707.X	  	2008-Jan-16	  	101107886-A	  		  		  	2026-Jan-18
	 CN
	  	2006-Apr-19	  	200680014386.5	  	2008-Apr-23	  	101167408-A	  	2009-Sep-23	  	200680014386.5	  	2026-Apr-19
	 CN
	  	2006-May-10	  	200680017903.4	  	2008-May-14	  	101180563-A	  	2009-Oct-28	  	200680017903.4	  	2026-May-10
	 CN
	  	2006-May-24	  	200680017970.6	  	2008-May-14	  	101180921A	  	2009-Oct-14	  	200680017970.6	  	2026-May-24
	 CN
	  	2006-Sep-25	  	200680035831.6	  	2009-Oct-07	  	101554087A	  		  		  	2026-Sep-25
	 CN
	  	2006-Oct-02	  	200680036937.8	  	2008-Oct-01	  	101278469-A	  		  		  	2026-Oct-02
	 CN
	  	2006-Nov-13	  	200680042799.4	  	2008-Nov-19	  	101310142-A	  		  		  	2026-Nov-13
	 CN
	  	2006-Nov-20	  	200680043725.2	  	2008-Nov-26	  	101313171	  	2010-May-19	  	200680043725.2	  	2026-Nov-20
	 CN
	  	2006-Dec-06	  	200680046928.7	  	2008-Dec-24	  	101331802-A	  		  		  	2026-Dec-06
	 CN
	  	2006-Dec-11	  	200680046620.2	  	2008-Dec-17	  	101326399-A	  	2011-Apr-20	  	200680046620.2	  	2026-Dec-11
	 CN
	  	2006-Dec-13	  	200680048780.0	  	2009-Jan-14	  	101346639A	  	2012-Jun-20	  	200680048780.0	  	2026-Dec-13
	 CN
	  	2006-Dec-20	  	200680048430.4	  	2009-Mar-04	  	101379887-A	  		  		  	2026-Dec-20
	 CN
	  	2007-Jan-10	  	200780002655.0	  	2009-Feb-18	  	101371114-A	  		  		  	2027-Jan-10
	 CN
	  	2007-Jan-26	  	200780004173.9	  	2009-Mar-04	  	10137879-A	  	2011-Aug-17	  	200780004173.9	  	2027-Jan-26
	 CN
	  	2007-Mar-02	  	200780008173.6	  	2009-Mar-25	  	101395791-A	  	2012-Jul-04	  	200780008173.6	  	2027-Mar-02
	 CN
	  	2007-Mar-02	  	200780009262.2	  	2009-Apr-08	  	101406104-A	  	2010-Oct-27	  	200780009262.2	  	2027-Mar-02
	 CN
	  	2007-Apr-20	  	200780016059.8	  	2009-May-20	  	101438625-A	  	2011-Sep-07	  	200780016059.8	  	2027-Apr-20
	 CN
	  	2007-May-02	  	200780017134.2	  	2009-May-27	  	101444144-A	  		  		  	2027-May-02
	 CN
	  	2007-Jun-19	  	200780024585.9	  	2009-Jul-08	  	101479995-A	  	2012-Aug-08	  	200780024585.9	  	2027-Jun-19
	 CN
	  	2007-Jun-20	  	200780024786.9	  	2009-Jul-15	  	101485235-A	  		  		  	2027-Jun-20
	 CN
	  	2007-Jun-21	  	200780023606.5	  	2009-Jul-08	  	101480104A	  	2011-Mar-09	  	200780023606.5	  	2027-Jun-21
	 CN
	  	2007-Jul-03	  	200780025769.7	  	2009-Jul-22	  	101491159A	  	2011-Apr-06	  	00780025769.7	  	2027-Jul-03
	 CN
	  	2007-Jul-05	  	200780029567.X	  	2009-Aug-05	  	101501392-A	  	2011-Nov-30	  	200780029567.X	  	2027-Jul-05
	 CN
	  	2007-Aug-09	  	200780049308.3	  	2010-Feb-17	  	101653041-A	  		  		  	2027-Aug-09
	 CN
	  	2007-Aug-17	  	200780030549.3	  	2009-Aug-12	  	101506574-A	  		  		  	2027-Aug-17
	 CN
	  	2007-Aug-22	  	200780031358.9	  	2009-Aug-12	  	101507363-A	  		  		  	2027-Aug-22
	 CN
	  	2007-Sep-03	  	200780033950.2	  	2009-Aug-26	  	101518153-A	  		  		  	2027-Sep-03
	 CN
	  	2007-Sep-18	  	200780036117.3	  	2009-Nov-11	  	101578704-A	  	2012-Jul-18	  	200780036117.3	  	2027-Sep-18
	 CN
	  	2007-Sep-20	  	200780037394.6	  	2009-Sep-02	  	101523982-A	  	2012-Mar-14	  	200780037394.6	  	2027-Sep-20
	 CN
	  	2007-Sep-20	  	200780037138.7	  	2009-Sep-02	  	101523981-A	  		  		  	2027-Sep-20
	 CN
	  	2007-Sep-20	  	200780037111.8	  	2009-Sep-02	  	101523980A	  	2011-May-04	  	200780037111.8	  	2027-Sep-20
	 CN
	  	2007-Sep-20	  	200780035025.3	  	2009-Sep-30	  	101548583-A	  		  		  	2027-Sep-20
	 CN
	  	2007-Oct-11	  	200780038644.8	  	2009-Sep-16	  	101529290-A	  	2012-Jul-18	  	200780038644.8	  	2027-Oct-11
	 CN
	  	2007-Oct-19	  	200780038990.6	  	2009-Nov-25	  	101589650-A	  		  		  	2027-Oct-19
	 CN
	  	2007-Oct-31	  	200780040671.9	  	2009-Sep-16	  	101536606-A	  	2012-Aug-08	  	200780040671.9	  	2027-Oct-31
	 CN
	  	2007-Nov-06	  	200780041864.6	  	2009-Sep-16	  	101536607-A	  		  		  	2027-Nov-06

  

					
		 	Page 3 of 23	  	17 August 2012

 Annex A to the LED-based Luminaire and Retrofit Bulb Patent License Agreement 

List of Patents 
  

															
	 CTY
	  	Fil.Date	  	Application No.	  	Pub. Data	  	Publication No.	  	Grant Date	  	Grant No.	  	Expiry Date
	 CN
	  	2007-Nov-09	  	200780041888.1	  	2009-Dec-30	  	101617565-A	  	2011-Nov-02	  	200780041888.1	  	2027-Nov-09
	 CN
	  	2007-Nov-27	  	200780043734.6	  	2009-Oct-14	  	101558588-A	  		  		  	2027-Nov-27
	 CN
	  	2007-Nov-27	  	200780043933.7	  	2010-Jan-13	  	101627253-A	  	2011-May-18	  	200780043933.7	  	2027-Nov-27
	 CN
	  	2007-Dec-05	  	200780046024.9	  	2009-Oct-21	  	101563954-A	  	2011-Aug-17	  	200780046024.9	  	2027-Dec-05
	 CN
	  	2007-Dec-07	  	200780045408.9	  	2009-Oct-07	  	101554094-A	  		  		  	2027-Dec-07
	 CN
	  	2007-Dec-11	  	200780045801.8	  	2009-Oct-14	  	101558686-A	  		  		  	2027-Dec-11
	 CN
	  	2007-Dec-11	  	20078004558.8	  	2009-Oct-28	  	101569239-A	  		  		  	2027-Dec-11
	 CN
	  	2007-Dec-12	  	200780046075.1	  	2009-Oct-14	  	101558688-A	  		  		  	2027-Dec-12
	 CN
	  	2008-Mar-31	  	200880011084.1	  	2010-Mar-03	  	101663919-A	  		  		  	2028-Mar-31
	 CN
	  	2008-Apr-04	  	200880011268.8	  	2010-Feb-24	  	101657678-A	  		  		  	2028-Apr-04
	 CN
	  	2008-Apr-15	  	200880012748.6	  	2010-Mar-17	  	101675709-A	  	2011-Oct-05	  	200880012748.6	  	2028-Apr-15
	 CN
	  	2008-Apr-21	  	200880013685.6	  	2010-Mar-10	  	101669404-A	  	2012-Mar-28	  	ZL200880013685.6	  	2028-Apr-21
	 CN
	  	2008-Apr-23	  	200880013851.2	  	2010-Mar-10	  	101669405-A	  	2012-Jun-13	  	200880013851.2	  	2028-Apr-23
	 CN
	  	2008-Apr-28	  	200880014646.8	  	2010-Mar-17	  	101675712-A	  		  		  	2028-Apr-28
	 CN
	  	2008-May-02	  	200880021634.8	  	2010-Mar-31	  	101688652-A	  	2012-May-30	  	200880021634.8	  	2028-May-02
	 CN
	  	2008-May-09	  	200880016188.1	  	2010-Mar-24	  	101681231-A	  		  		  	2028-May-09
	 CN
	  	2008-May-30	  	200880019098.8	  	2010-Mar-24	  	101681598-A	  		  		  	2028-May-30
	 CN
	  	2008-Jun-09	  	200880020234.5	  	2010-Mar-31	  	101688646-A	  		  		  	2028-Jun-09
	 CN
	  	2008-Jun-23	  	200880022375.0	  	2010-Mar-31	  	101690396-A	  		  		  	2028-Jun-23
	 CN
	  	2008-Jun-30	  	200880023350.2	  	2010-Apr-08	  	101690397-A	  	2012-Jul-18	  	200880023350.2	  	2028-Jun-30
	 CN
	  	2008-Jul-21	  	200880100067.5	  	2010-Jun-23	  	101755483-A	  	2012-May-30	  	200880100067.5	  	2028-Jul-21
	 CN
	  	2008-Aug-14	  	200880103749.1	  	2010-Aug-11	  	101785362-A	  		  		  	2028-Aug-14
	 CN
	  	2008-Nov-24	  	200880118159.6	  	2010-Nov-03	  	101878673-A	  		  		  	2028-Nov-24
	 CN
	  	2008-Dec-02	  	200880119151.1	  	2010-Nov-17	  	101889476-A	  	2012-Jul-18	  	200880119151.1	  	2028-Dec-02
	 CN
	  	2008-Dec-02	  	200880119309.5	  	2010-Nov-24	  	101889477-A	  		  		  	2028-Dec-02
	 CN
	  	2008-Dec-16	  	200880121633.0	  	2010-Dec-01	  	101903825A	  		  		  	2028-Dec-16
	 CN
	  	2008-Dec-22	  	200880122363.5	  	2010-Dec-08	  	101910721A	  		  		  	2028-Dec-22
	 CN
	  	2008-Dec-29	  	200880127692.9	  	2011-Jan-26	  	101960921	  		  		  	2028-Dec-29
	 CZ
	  	2003-May-09	  	03736588.9	  		  		  	2008-Dec-03	  	1502483	  	2023-May-09
	 CZ
	  	2003-Aug-28	  	03791823.2	  		  		  	2010-Jan-13	  	1535495	  	2023-Aug-28
	 CZ
	  	2006-May-24	  	06765708.0	  		  		  	2009-Mar-18	  	1889519	  	2026-May-24
	 CZ
	  	2007-Nov-27	  	07862228.9	  		  		  	2011-Mar-02	  	2089656	  	2027-Nov-27
	 CZ
	  	2008-Dec-02	  	08857778.8	  	2010-Sep-29	  	2232951-A	  	2011-Jul-06	  	2232951	  	2028-Dec-02
	 DE
	  	1997-Aug-08	  	97932965.3	  		  		  	2005-Nov-09	  	69734569.6	  	2017-Aug-08
	 DE
	  	1997-Sep-08	  	97936833.9	  	1998-Sep-16	  	0864064-A1	  	2002-Dec-04	  	69717598.7	  	2017-Sep-08
	 DE
	  	1998-Jan-22	  	98900141.7	  	1999-Jan-13	  	0890059-A1	  	2004-Jun-23	  	69824669.1	  	2018-Jan-22
	 DE
	  	1998-Jul-16	  	98929597.7	  	1999-Jul-21	  	0929993-A1	  	2004-Oct-06	  	69826825.3	  	2018-Jul-16
	 DE
	  	1998-Jul-16	  	98929590.2	  	1999-Jul-21	  	0929992-A1	  	2003-Aug-06	  	69816958.1	  	2018-Jul-16
	 DE
	  	1998-Jul-27	  	98932457.9	  	1999-Jul-21	  	0929994-A1	  	2003-Jul-02	  	69816023.1	  	2018-Jul-27
	 DE
	  	1998-Aug-26	  	98944539.0	  		  		  	2002-Aug-07	  	69807092.5	  	2018-Aug-26
	 DE
	  	1999-Jun-17	  	99922465.2	  	2000-Sep-13	  	1034690-A1	  	2003-Oct-29	  	69912391.7	  	2019-Jun-17
	 DE
	  	1999-Sep-03	  	99943116.6	  		  		  	2003-Nov-05	  	69912623.1	  	2019-Sep-03
	 DE
	  	1999-Sep-17	  	99948820.8	  		  		  	2008-Jan-16	  	69937993.8	  	2019-Sep-17
	 DE
	  	1999-Nov-24	  	99957760.4	  		  		  	2010-Oct-06	  	69942838.6	  	2019-Nov-24
	 DE
	  	1999-Dec-02	  	99962235.0	  	2000-Dec-06	  	1056993-A1	  	2003-Mar-26	  	69906260.8	  	2019-Dec-02
	 DE
	  	2000-Jul-14	  	00950360.8	  	2002-Jul-24	  	1224845	  	2005-Nov-02	  	60023730.3	  	2020-Jul-14
	 DE
	  	2000-Jul-14	  	05077467.8	  		  		  	2009-May-06	  	60042177.5	  	2020-Jul-14
	 DE
	  	2000-Jul-14	  	09160257.3	  		  		  	2011-Mar-02	  	60045697.8	  	2020-Jul-14
	 DE
	  	2000-Jul-28	  	00948011.2	  	2001-Jul-25	  	1118252-A1	  	2003-Oct-01	  	60005637.6	  	2020-Jul-28
	 DE
	  	2000-Sep-15	  	00964189.5	  	2001-Oct-04	  	1138177-A1	  	2004-Dec-01	  	60016377.6	  	2020-Sep-15
	 DE
	  	2000-Oct-10	  	00972733.0	  	2001-Oct-10	  	1142452-A1	  	2004-Mar-10	  	60008854.5	  	2020-Oct-10
	 DE
	  	2000-Oct-12	  	00967866.5	  	2001-Oct-17	  	1145602-A	  	2004-Mar-10	  	60008855.3	  	2020-Oct-12
	 DE
	  	2000-Oct-12	  	00972760.3	  	2001-Oct-31	  	1149510-A1	  	2003-Feb-12	  	60001386.3	  	2020-Oct-12
	 DE
	  	2000-Nov-20	  	00980578.9	  	2002-Aug-28	  	1234140	  	2005-Aug-10	  	60021911.9	  	2020-Nov-20
	 DE
	  	2001-Jan-08	  	01907413.7	  		  		  	2006-Jun-14	  	60120563.4	  	2021-Jan-08
	 DE
	  	2001-Apr-24	  	03028671.0	  		  		  	2010-Apr-14	  	60141857.3	  	2021-Apr-24
	 DE
	  	2001-Apr-24	  	07075990.7	  	2008-Feb-13	  	1887836	  	2012-Mar-07	  	60146245.9	  	2021-Apr-24
	 DE
	  	2001-Jun-21	  	01948546.5	  	2003-Mar-26	  	1295515	  	2011-Dec-28	  	1295515	  	2021-Jun-21
	 DE
	  	2001-Aug-14	  	01203099.5	  		  		  	2009-Oct-14	  	60140161.1	  	2021-Aug-14
	 DE
	  	2001-Sep-05	  	01965257.7	  		  		  	2005-Dec-14	  	60115927.6	  	2021-Sep-05
	 DE
	  	2001-Oct-25	  	01997118.3	  		  		  	2009-Jun-17	  	60139022.9	  	2021-Oct-25
	 DE
	  	2001-Nov-09	  	01990408.5	  		  		  	2006-Apr-12	  	60118777.6	  	2021-Nov-09
	 DE
	  	2001-Dec-03	  	01989575.4	  		  		  	2005-Aug-10	  	60112612.2	  	2021-Dec-03
	 DE
	  	2001-Dec-12	  	01272187.4	  		  		  	2005-Jun-08	  	60111421.3	  	2021-Dec-12
	 DE
	  	2001-Dec-12	  	01272182.5	  		  		  	2006-Aug-02	  	60122005.6	  	2021-Dec-12
	 DE
	  	2002-Feb-28	  	02701491.9	  		  		  	2005-Nov-09	  	60207218.2	  	2022-Feb-28
	 DE
	  	2002-Mar-14	  	02703803.3	  		  		  	2007-Aug-08	  	60221654.0	  	2022-Mar-14

  

					
		 	Page 4 of 23	  	17 August 2012

 Annex A to the LED-based Luminaire and Retrofit Bulb Patent License Agreement 

List of Patents 
  

															
	 CTY
	  	Fil.Date	  	Application No.	  	Pub. Data	  	Publication No.	  	Grant Date	  	Grant No.	  	Expiry Date
	 DE
	  	2002-Mar-26	  	10213394.8	  	2002-Oct-31	  	10213394-A1	  		  		  	2022-Mar-26
	 DE
	  	2002-Apr-25	  	02722631.5	  		  		  	2008-Dec-17	  	60230406.7	  	2022-Apr-25
	 DE
	  	2002-May-10	  	02734387.0	  	2004-Feb-11	  	1388276	  	2011-Aug-10	  	60240739.7	  	2022-May-10
	 DE
	  	2002-May-30	  	02739485.7	  		  		  	2010-May-05	  	60236280.6	  	2022-May-30
	 DE
	  	2002-Jun-07	  	02735758.1	  		  		  	2006-Aug-09	  	60213804.3	  	2022-Jun-07
	 DE
	  	2002-Jun-21	  	02738518.6	  		  		  	2008-Dec-10	  	60230275.7	  	2022-Jun-21
	 DE
	  	2002-Jul-18	  	02751538.6	  		  		  	2006-May-17	  	60211526.4	  	2022-Jul-18
	 DE
	  	2002-Jul-18	  	02751537.8	  		  		  	2006-May-24	  	60211710.0	  	2022-Jul-18
	 DE
	  	2002-Aug-09	  	02755483.1	  	2004-May-26	  	1421830-A	  	2011-Oct-12	  	60241309.5	  	2022-Aug-09
	 DE
	  	2002-Sep-17	  	02773430.0	  	2004-Jun-16	  	1428415	  	2012-Jul-18	  	60243345.2	  	2022-Sep-17
	 DE
	  	2002-Sep-30	  	02800685.6	  		  		  	2006-May-10	  	60211366.0	  	2022-Sep-30
	 DE
	  	2002-Oct-16	  	02775101.5	  		  		  	2007-Apr-11	  	60219504.7	  	2022-Oct-16
	 DE
	  	2002-Nov-15	  	02781532.3	  		  		  	2008-Feb-27	  	60225333.0	  	2022-Nov-15
	 DE
	  	2002-Nov-29	  	02785772.1	  		  		  	2009-Sep-16	  	60233752.6	  	2022-Nov-29
	 DE
	  	2002-Dec-18	  	02790614.8	  	2004-Sep-22	  	1459280-A	  	2012-Feb-15	  	1459280	  	2022-Dec-18
	 DE
	  	2002-Dec-20	  	02790641.1	  	2007-Aug-23	  	60215701-T2	  	2006-Oct-25	  	60215701.3	  	2022-Dec-20
	 DE
	  	2003-Feb-06	  	03700452.0	  		  		  	2006-Jul-05	  	60306624.0	  	2023-Feb-06
	 DE
	  	2003-May-09	  	03736588.9	  		  		  	2008-Dec-03	  	60325042.4	  	2023-May-09
	 DE
	  	2003-Jun-12	  	03735929.6	  		  		  	2009-May-06	  	60327526.5	  	2023-Jun-12
	 DE
	  	2003-Aug-28	  	03791823.2	  		  		  	2010-Jan-13	  	60330967.4	  	2023-Aug-28
	 DE
	  	2003-Sep-19	  	03103461.4	  	2004-Apr-21	  	1411751-A2	  	2012-May-30	  	60341070.7	  	2023-Sep-19
	 DE
	  	2003-Nov-11	  	03758604.7	  		  		  	2010-Mar-03	  	60331582.8	  	2023-Nov-11
	 DE
	  	2003-Dec-01	  	10356608.2	  	2004-Jun-17	  	10356608-A1	  		  		  	2023-Dec-01
	 DE
	  	2003-Dec-11	  	03777081.5	  		  		  	2008-Dec-03	  	60325093.9	  	2023-Dec-11
	 DE
	  	2003-Dec-18	  	03777121.9	  		  		  	2008-Apr-09	  	60320307.8	  	2023-Dec-18
	 DE
	  	2003-Dec-18	  	03813963.0	  		  		  	2009-Feb-25	  	60326392.5	  	2023-Dec-18
	 DE
	  	2004-Apr-22	  	04728861.8	  		  		  	2007-Mar-07	  	602004005180.2	  	2024-Apr-22
	 DE
	  	2004-Apr-30	  	04730612.1	  		  		  	2008-Apr-16	  	602004013138.5	  	2024-Apr-30
	 DE
	  	2004-Nov-22	  	04811765.9	  		  		  	2010-Apr-28	  	602004026908.5	  	2024-Nov-22
	 DE
	  	2005-Apr-27	  	05731773.7	  		  		  	2009-Nov-18	  	602005017769.8	  	2025-Apr-27
	 DE
	  	2005-Jun-23	  	05759404.6	  	2007-Apr-25	  	1776628	  	2011-Nov-30	  	602005031481.4	  	2025-Jun-23
	 DE
	  	2005-Jul-14	  	05763182.2	  	2007-Apr-11	  	1772044-A	  		  		  	2025-Jul-14
	 DE
	  	2005-Aug-02	  	05772133.4	  	2007-May-09	  	1782660	  	2011-Oct-12	  	602005030601.3	  	
	 DE
	  	2005-Oct-12	  	05791339.4	  	2007-Jun-27	  	1800401	  	2012-Apr-04	  	60 2005 033 518.8	  	2025-Oct-12
	 DE
	  	2005-Nov-09	  	05809900.3	  		  		  	2011-Feb-09	  	602005026312.8	  	2025-Nov-09
	 DE
	  	2005-Nov-24	  	05826628.9	  		  		  	2011-Jan-26	  	602005026161.3	  	2025-Nov-24
	 DE
	  	2005-Dec-16	  	05820993.3	  	2007-Feb-22	  	1922905-A1	  	2012-Jul-04	  	602005035047.0	  	2025-Dec-16
	 DE
	  	2006-Apr-19	  	06727966.1	  	2006-Nov-02	  	1878319 -A	  	2011-Nov-02	  	1878319	  	2026-Apr-19
	 DE
	  	2006-May-10	  	06744904.1	  		  		  	2009-Jul-22	  	602006007991.5	  	2026-May-10
	 DE
	  	2006-May-24	  	06765708.0	  		  		  	2009-Mar-18	  	602006005813.6	  	2026-May-24
	 DE
	  	2006-Oct-02	  	06809462.2	  	2008-Jun-25	  	1935085-A	  	2012-Mar-28	  	602006028511.6	  	2026-Oct-02
	 DE
	  	2006-Nov-20	  	06821499.8	  		  		  	2012-Jan-11	  	602006027079.8	  	2026-Nov-20
	 DE
	  	2006-Dec-06	  	06832117.3	  	2008-Sep-03	  	1964451-A	  	2011-Jul-06	  	602006022985.2	  	2026-Dec-06
	 DE
	  	2006-Dec-11	  	06832203.1	  		  		  	2010-Sep-29	  	602006017258.3	  	2026-Dec-11
	 DE
	  	2006-Dec-13	  	06842469.6	  	2008-Sep-10	  	1966624	  	2011-Jun-29	  	602006022851.1	  	2026-Dec-13
	 DE
	  	2007-Mar-02	  	07735026.2	  	2008-Nov-26	  	1994635-A	  	2012-Jun-27	  	602007023611.8	  	2027-Mar-02
	 DE
	  	2007-Apr-20	  	07735597.2	  	2009-Jan-21	  	2016804-A	  	2011-Jun-29	  	602007015521.5	  	2027-Apr-20
	 DE
	  	2007-Jun-21	  	07825830.8	  		  		  	2011-Apr-06	  	602007013754.3	  	2027-Jun-21
	 DE
	  	2007-Jul-03	  	07825879.5	  	2009-Apr-01	  	2042003-A	  		  		  	2027-Jul-03
	 DE
	  	2007-Jul-05	  	07825886.0	  		  		  	2010-Mar-31	  	602007005658.6	  	2027-Jul-05
	 DE
	  	2007-Sep-18	  	07826420.7	  		  		  	2010-Mar-24	  	602007005501.6	  	2027-Sep-18
	 DE
	  	2007-Sep-20	  	07826476.9	  		  		  	2011-Mar-02	  	602007012918.4	  	2027-Sep-20
	 DE
	  	2007-Sep-20	  	07826474.4	  		  		  	2010-Apr-21	  	602007006043.5	  	2027-Sep-20
	 DE
	  	2007-Nov-06	  	07826984.2	  		  		  	2010-Jul-28	  	602007008130.0	  	2027-Nov-06
	 DE
	  	2007-Nov-09	  	07840007.4	  		  		  	2010-Jul-14	  	602007007804.0	  	2027-Nov-09
	 DE
	  	2007-Nov-27	  	07862228.9	  		  		  	2011-Mar-02	  	602007012927.3	  	2027-Nov-27
	 DE
	  	2007-Dec-04	  	07849329.3	  		  		  	2011-Apr-06	  	602007013807.8	  	2027-Dec-04
	 DE
	  	2007-Dec-05	  	07849344.2	  	2009-Sep-23	  	2103188-A	  	2012-Aug-01	  	60 2007 024 437.4	  	2027-Dec-05
	 DE
	  	2007-Dec-07	  	07849372.3	  	2009-Sep-23	  	2103190-A	  		  		  	2027-Dec-07
	 DE
	  	2008-Mar-31	  	08737675.2	  	2010-Jan-13	  	2143303-A	  	2012-Aug-08	  	602008017813.7	  	2028-Mar-31
	 DE
	  	2008-Apr-04	  	08737714.9	  		  		  	2010-Oct-06	  	602008002911.5	  	2028-Apr-04
	 DE
	  	2008-Apr-21	  	08737928.5	  		  		  	2010-Sep-15	  	602008002579.9	  	2028-Apr-21
	 DE
	  	2008-May-09	  	08763076.0	  	2010-Feb-24	  	2156279-A	  	2011-Dec-21	  	602008012194.1	  	2028-May-09
	 DE
	  	2008-Jun-23	  	08763422.6	  	2010-Mar-17	  	2163132-A	  		  		  	2028-Jun-23
	 DE
	  	2008-Aug-14	  	08789608.0	  		  		  	2011-Apr-27	  	602008006564.2	  	2028-Aug-14
	 DE
	  	2008-Dec-02	  	08857778.8	  	2010-Sep-29	  	2232951-A	  	2011-Jul-06	  	602008008161.3	  	2028-Dec-02
	 DE
	  	2008-Dec-29	  	08870459.8	  	2010-Sep-22	  	2229803-A	  	2011-Oct-26	  	602008010974.7	  	2028-Dec-29

  

					
		 	Page 5 of 23	  	17 August 2012

 Annex A to the LED-based Luminaire and Retrofit Bulb Patent License Agreement 

List of Patents 
  

															
	 CTY
	  	Fil.Date	  	Application No.	  	Pub. Data	  	Publication No.	  	Grant Date	  	Grant No.	  	Expiry Date
	 DK
	  	1999-Sep-03	  	99943116.6	  		  		  	2003-Nov-05	  	1110198	  	2019-Sep-03
	 DK
	  	2001-Apr-24	  	03028671.0	  		  		  	2010-Apr-14	  	1422975	  	2021-Apr-24
	 DK
	  	2001-Apr-24	  	07075990.7	  	2008-Feb-13	  	1887836	  	2012-Mar-07	  	1887836	  	2021-Apr-24
	 DK
	  	2001-Oct-25	  	01997118.3	  		  		  	2009-Jun-17	  	1337784	  	2021-Oct-25
	 DK
	  	2002-Jun-21	  	02738518.6	  		  		  	2008-Dec-10	  	1405551	  	2022-Jun-21
	 DK
	  	2003-May-09	  	03736588.9	  		  		  	2008-Dec-03	  	1502483	  	2023-May-09
	 DK
	  	2003-Aug-28	  	03791823.2	  		  		  	2010-Jan-13	  	1535495	  	2023-Aug-28
	 DK
	  	2006-May-24	  	06765708.0	  		  		  	2009-Mar-18	  	1889519	  	2026-May-24
	 DK
	  	2007-Apr-20	  	07735597.2	  	2009-Jan-21	  	2016804-A	  	2011-Jun-29	  	2016804	  	2027-Apr-20
	 DK
	  	2007-Sep-20	  	07826476.9	  		  		  	2011-Mar-02	  	2074866	  	2027-Sep-20
	 DK
	  	2007-Nov-27	  	07862228.9	  		  		  	2011-Mar-02	  	2089656	  	2027-Nov-27
	 DK
	  	2008-Dec-02	  	08857778.8	  	2010-Sep-29	  	2232951-A	  	2011-Jul-06	  	2232951	  	2028-Dec-02
	 EP
	  	1998-Jul-28	  	98937339.4	  	2000-May-17	  	EP1000295	  		  		  	2018-Jul-28
	 EP
	  	1998-Aug-26	  	01130297.3	  	2002-Apr-10	  	1195740	  		  		  	2018-Aug-26
	 EP
	  	1998-Aug-26	  	98944539.0	  	1999-Mar-04	  	1016062	  	2002-Aug-07	  	1016062	  	2018-Aug-26
	 EP
	  	1998-Dec-17	  	98964035.4	  	1999-Jun-24	  	1040398	  		  		  	2018-Dec-17
	 EP
	  	1999-Sep-03	  	03011110.8	  	2004-Feb-25	  	1391650	  		  		  	2019-Sep-03
	 EP
	  	1999-Sep-08	  	99969780.8	  	2000-Nov-02	  	1047904-A1	  		  		  	2019-Sep-08
	 EP
	  	2000-Nov-17	  	00979608.7	  	2001-Nov-21	  	1155455-A1	  		  		  	2020-Nov-17
	 EP
	  	2000-Nov-20	  	05076817.5	  	2005-Dec-28	  	1610593	  		  		  	2020-Nov-20
	 EP
	  	2001-Apr-24	  	07075990.7	  	2008-Feb-13	  	1887836	  	2012-Mar-07	  	1887836	  	2021-Apr-24
	 EP
	  	2001-Jun-21	  	01948546.5	  	2003-Mar-26	  	1295515	  	2011-Dec-28	  	1295515	  	2021-Jun-21
	 EP
	  	2001-Jun-21	  	10182095.9	  	2011-Sep-07	  	2364067-A	  		  		  	2021-Jun-21
	 EP
	  	2002-Jul-23	  	02755430.2	  	2004-May-06	  	1415345-A	  		  		  	2022-Jul-23
	 EP
	  	2002-Jul-29	  	02751564.2	  	2004-Jun-23	  	1430281-A	  		  		  	2022-Jul-29
	 EP
	  	2002-Sep-17	  	02773430.0	  	2004-Jun-16	  	1428415	  	2012-Jul-18	  	1428415	  	2022-Sep-17
	 EP
	  	2002-Nov-15	  	02781532.3	  	2004-Sep-22	  	1459599-A	  	2008-Feb-27	  	1459599	  	2022-Nov-15
	 EP
	  	2002-Dec-09	  	02788334.7	  	2004-Sep-29	  	1461981-A	  		  		  	2022-Dec-09
	 EP
	  	2002-Dec-12	  	02796002.0	  		  		  		  		  	2022-Dec-12
	 EP
	  	2002-Dec-18	  	02790614.8	  	2004-Sep-22	  	1459280-A	  	2012-Feb-15	  	1459280	  	2022-Dec-18
	 EP
	  	2002-Dec-19	  	02796002.0	  	2004-Sep-22	  	1459600	  		  		  	2022-Dec-19
	 EP
	  	2003-May-09	  	03736588.9	  	2003-Nov-20	  	1502483-A	  	2008-Dec-03	  	1502483	  	2023-May-09
	 EP
	  	2003-Sep-19	  	03103461.4	  	2004-Apr-21	  	1411751-A2	  	2012-May-30	  	1411751	  	2023-Sep-19
	 EP
	  	2003-Dec-11	  	03813686.7	  	2005-Sep-28	  	1579735-A	  		  		  	2023-Dec-11
	 EP
	  	2003-Dec-12	  	03777092.2	  	2005-Sep-28	  	1579732-A	  		  		  	2023-Dec-12
	 EP
	  	2004-Apr-21	  	04760087.9	  	2006-Feb-01	  	1620843	  		  		  	2024-Apr-21
	 EP
	  	2004-May-04	  	04751358.5	  	2006-Feb-01	  	1620676	  		  		  	2024-May-04
	 EP
	  	2004-Jul-20	  	04737972.2	  	2006-Apr-26	  	1649210	  		  		  	2024-Jul-20
	 EP
	  	2004-Jul-21	  	04737997.9	  	2006-Apr-26	  	1649730	  		  		  	2024-Jul-21
	 EP
	  	2004-Sep-07	  	04769950.9	  	2006-Jun-07	  	1665380-A	  		  		  	2024-Sep-07
	 EP
	  	2004-Sep-07	  	11171721.1	  	2011-Oct-05	  	2372765	  		  		  	2024-Sep-07
	 EP
	  	2004-Sep-21	  	04770043.0	  	2006-Jun-14	  	1668622-A	  		  		  	2024-Sep-21
	 EP
	  	2004-Nov-05	  	04799073.4	  	2006-Aug-02	  	1685745-A	  		  		  	2024-Nov-05
	 EP
	  	2004-Dec-07	  	04106358.7	  	2005-Jun-15	  	1542346-A2	  		  		  	2024-Dec-07
	 EP
	  	2005-Mar-02	  	05724343.8	  	2006-Dec-13	  	1729615	  		  		  	2025-Mar-02
	 EP
	  	2005-Mar-14	  	05725602.6	  	2006-Dec-13	  	1731004	  		  		  	2025-Mar-14
	 EP
	  	2005-Mar-15	  	05731338.9	  	2007-Feb-21	  	1754121	  		  		  	2025-Mar-15
	 EP
	  	2005-Mar-23	  	05709077.1	  	2007-Jan-10	  	1740879-A	  		  		  	2025-Mar-23
	 EP
	  	2005-May-02	  	05733786.7	  	2007-Jan-24	  	1745681-A	  		  		  	2025-May-02
	 EP
	  	2005-Jun-23	  	05759404.6	  	2007-Apr-25	  	1776628	  	2011-Nov-30	  	1776628	  	2025-Jun-23
	 EP
	  	2005-Jun-28	  	05752840.8	  	2007-Mar-28	  	1767065-A	  		  		  	2025-Jun-28
	 EP
	  	2005-Jul-14	  	05763182.2	  	2007-Apr-11	  	1772044-A	  		  		  	2025-Jul-14
	 EP
	  	2005-Jul-29	  	05770329.0	  	2007-May-02	  	1779708	  		  		  	2025-Jul-29
	 EP
	  	2005-Sep-19	  	05783602.5	  	2007-Jul-11	  	1805452	  		  		  	2025-Sep-19
	 EP
	  	2005-Sep-20	  	05783948.2	  	2007-Jun-27	  	1800204-A	  		  		  	2025-Sep-20
	 EP
	  	2005-Oct-12	  	05791339.4	  	2007-Jun-27	  	1800401	  	2012-Apr-04	  	1800401	  	2025-Oct-12
	 EP
	  	2005-Oct-12	  	05791268.5	  	2007-Jul-04	  	1803331	  		  		  	2025-Oct-12
	 EP
	  	2005-Oct-26	  	05805151.7	  	2007-Jul-18	  	1808051-A	  		  		  	2025-Oct-26
	 EP
	  	2005-Nov-23	  	05810845.7	  	2007-Aug-29	  	1825717	  		  		  	2025-Nov-23
	 EP
	  	2005-Dec-02	  	05815525.0	  		  		  		  		  	2025-Dec-02
	 EP
	  	2005-Dec-16	  	05820993.3	  	2007-Feb-22	  	1922905-A1	  	2012-Jul-04	  	1922905	  	2025-Dec-16
	 EP
	  	2005-Dec-20	  	05854746.4	  	2007-Oct-31	  	1849152	  		  		  	2025-Dec-20
	 EP
	  	2006-Jan-05	  	06701369.8	  	2007-Oct-24	  	1846949	  		  		  	2026-Jan-05
	 EP
	  	2006-Jan-18	  	06710691.4	  	2007-Oct-10	  	1842401-A	  		  		  	2026-Jan-18
	 EP
	  	2006-Mar-01	  	06705226.6	  	2008-Jan-23	  	1880585	  		  		  	2026-Mar-01
	 EP
	  	2006-Apr-06	  	06721762.0	  	2008-Jan-02	  	1872625	  		  		  	2026-Apr-06
	 EP
	  	2006-Apr-19	  	06727966.1	  	2006-Nov-02	  	1878319 -A	  	2011-Nov-02	  	1878319	  	2026-Apr-19

  

					
		 	Page 6 of 23	  	17 August 2012

 Annex A to the LED-based Luminaire and Retrofit Bulb Patent License Agreement 

List of Patents 
  

															
	 CTY
	  	Fil.Date	  	Application No.	  	Pub. Data	  	Publication No.	  	Grant Date	  	Grant No.	  	Expiry Date
	 EP
	  	2006-May-08	  	06770064.1	  	2008-Oct-29	  	1984667-A	  		  		  	2026-May-08
	 EP
	  	2006-May-23	  	06771039.2	  	2008-Mar-05	  	1893912	  		  		  	2026-May-23
	 EP
	  	2006-May-23	  	06770907.1	  	2008-Feb-27	  	1891371	  		  		  	2026-May-23
	 EP
	  	2006-Jun-06	  	06799936.7	  	2008-Mar-05	  	1894075	  		  		  	2026-Jun-06
	 EP
	  	2006-Sep-25	  	06821145.7	  	2008-Jun-18	  	1932394-A	  		  		  	2026-Sep-25
	 EP
	  	2006-Oct-02	  	06809462.2	  	2008-Jun-25	  	1935085-A	  	2012-Mar-28	  	1935085	  	2026-Oct-02
	 EP
	  	2006-Nov-13	  	06821415.4	  	2008-Aug-06	  	1952055	  		  		  	2026-Nov-13
	 EP
	  	2006-Nov-20	  	06821499.8	  		  		  	2012-Jan-11	  	1954975	  	2026-Nov-20
	 EP
	  	2006-Dec-13	  	11155525.6	  	2011-May-25	  	2325670-A	  		  		  	2026-Dec-13
	 EP
	  	2006-Dec-20	  	06840495.3	  	2008-Sep-10	  	1967049-A	  		  		  	2026-Dec-20
	 EP
	  	2007-Jan-03	  	07716200.6	  	2008-Sep-24	  	1972183	  		  		  	2027-Jan-03
	 EP
	  	2007-Jan-10	  	07700561.9	  	2008-Oct-15	  	1979726	  		  		  	2027-Jan-10
	 EP
	  	2007-Mar-02	  	07735026.2	  	2008-Nov-26	  	1994635-A	  	2012-Jun-27	  	1994635	  	2027-Mar-02
	 EP
	  	2007-Mar-02	  	07713186.0	  	2008-Dec-03	  	1997352-A	  		  		  	2027-Mar-02
	 EP
	  	2007-May-02	  	07735739.0	  	2009-Jan-28	  	2018795-A	  		  		  	2027-May-02
	 EP
	  	2007-Jun-19	  	07789721.3	  	2009-Mar-25	  	2039069-A	  		  		  	2027-Jun-19
	 EP
	  	2007-Jun-20	  	07789748.6	  	2009-Mar-25	  	2039227	  		  		  	2027-Jun-20
	 EP
	  	2007-Jul-03	  	07825879.5	  	2009-Apr-01	  	2042003-A	  		  		  	2027-Jul-03
	 EP
	  	2007-Aug-09	  	07836669.7	  	2009-Nov-18	  	2119318-A	  		  		  	2027-Aug-09
	 EP
	  	2007-Aug-17	  	07800472.8	  	2009-May-06	  	2054662A	  		  		  	2027-Aug-17
	 EP
	  	2007-Aug-22	  	07800465.2	  	2009-May-13	  	2057867A	  		  		  	2027-Aug-22
	 EP
	  	2007-Sep-03	  	07826244.1	  	2009-Jun-10	  	2067383-A	  		  		  	2027-Sep-03
	 EP
	  	2007-Sep-20	  	07826475.1	  	2009-Jul-15	  	2078446-A	  		  		  	2027-Sep-20
	 EP
	  	2007-Sep-20	  	07815866.4	  	2009-Jun-10	  	2067381-A	  		  		  	2027-Sep-20
	 EP
	  	2007-Oct-11	  	07826710.1	  	2009-Jul-01	  	2074451-A	  		  		  	2027-Oct-11
	 EP
	  	2007-Oct-19	  	07861452.6	  	2009-Aug-12	  	2087776A	  		  		  	2027-Oct-19
	 EP
	  	2007-Oct-31	  	07816094.2	  	2009-Aug-12	  	2087772-A	  		  		  	2027-Oct-31
	 EP
	  	2007-Nov-27	  	07849266.7	  	2009-Aug-26	  	2092669-A	  		  		  	2027-Nov-27
	 EP
	  	2007-Nov-27	  	07862228.9	  	2009-Aug-19	  	2089656-A	  	2011-Mar-02	  	2089656	  	2027-Nov-27
	 EP
	  	2007-Dec-05	  	07849344.2	  	2009-Sep-23	  	2103188-A	  	2012-Aug-01	  	2103188	  	2027-Dec-05
	 EP
	  	2007-Dec-07	  	07849372.3	  	2009-Sep-23	  	2103190-A	  		  		  	2027-Dec-07
	 EP
	  	2007-Dec-07	  	10194284.5	  	2011-Mar-30	  	2302983A	  		  		  	2027-Dec-07
	 EP
	  	2007-Dec-11	  	07855500.0	  	2009-Aug-26	  	2092796-A	  		  		  	2027-Dec-11
	 EP
	  	2007-Dec-11	  	07855501.8	  	2009-Aug-26	  	2092797A	  		  		  	2027-Dec-11
	 EP
	  	2007-Dec-12	  	07855511.7	  	2009-Aug-26	  	2092798-A	  		  		  	2027-Dec-12
	 EP
	  	2008-Mar-31	  	08737675.2	  	2010-Jan-13	  	2143303-A	  	2012-Aug-08	  	2143303	  	2028-Mar-31
	 EP
	  	2008-Apr-15	  	08737850.1	  	2010-Jan-06	  	2140733-A	  		  		  	2028-Apr-15
	 EP
	  	2008-Apr-23	  	08737957.4	  	2010-Jan-20	  	2145508A	  		  		  	2028-Apr-23
	 EP
	  	2008-Apr-28	  	08738006.9	  	2010-Jan-27	  	2147576-A	  		  		  	2028-Apr-28
	 EP
	  	2008-Apr-30	  	08747200.7	  	2010-Mar-17	  	2163134-A	  		  		  	2028-Apr-30
	 EP
	  	2008-Apr-30	  	12154690.7	  	2012-May-30	  	2458940-A1	  		  		  	2028-Apr-30
	 EP
	  	2008-May-02	  	08747429.2	  	2010-Jan-27	  	2147244-A	  		  		  	2028-May-02
	 EP
	  	2008-May-09	  	08763076.0	  	2010-Feb-24	  	2156279-A	  	2011-Dec-21	  	2156279	  	2028-May-09
	 EP
	  	2008-May-30	  	08763152.9	  	2010-Mar-10	  	2160731-A	  		  		  	2028-May-30
	 EP
	  	2008-Jun-09	  	08763251.9	  	2010-Mar-31	  	2167866-A	  		  		  	2028-Jun-09
	 EP
	  	2008-Jun-23	  	08763422.6	  	2010-Mar-17	  	2163132-A	  		  		  	2028-Jun-23
	 EP
	  	2008-Jun-30	  	08789176.8	  	2010-Mar-24	  	2165576-A	  		  		  	2028-Jun-30
	 EP
	  	2008-Jul-21	  	08789379.8	  		  		  		  		  	2028-Jul-21
	 EP
	  	2008-Nov-24	  	08855505.7	  	2010-Aug-18	  	2218308-A	  		  		  	2028-Nov-24
	 EP
	  	2008-Dec-02	  	11159944.5	  	2011-Aug-03	  	2352362-A2	  		  		  	2028-Dec-02
	 EP
	  	2008-Dec-02	  	08858115.2	  	2010-Aug-25	  	2220914-A	  		  		  	2028-Dec-02
	 EP
	  	2008-Dec-16	  	08862035.6	  	2010-Oct-06	  	2235589-A	  		  		  	2028-Dec-16
	 EP
	  	2008-Dec-22	  	08863774.9	  	2010-Oct-06	  	2235435-A	  		  		  	2028-Dec-22
	 EP
	  	2008-Dec-29	  	08870459.8	  	2010-Sep-22	  	2229803-A	  	2011-Oct-26	  	2229803	  	2028-Dec-29
	 ES
	  	1998-Jan-22	  	98900141.7	  	1999-Jan-13	  	0890059-A1	  	2004-Jun-23	  	0890059	  	2018-Jan-22
	 ES
	  	1998-Aug-26	  	98944539.0	  		  		  	2002-Aug-07	  	1016062	  	2018-Aug-26
	 ES
	  	1999-Sep-17	  	99948820.8	  		  		  	2008-Jan-16	  	1046196	  	2019-Sep-17
	 ES
	  	2000-Jul-14	  	00950360.8	  	2002-Jul-24	  	1224845	  	2005-Nov-02	  	1224845	  	2020-Jul-14
	 ES
	  	2000-Jul-14	  	05077467.8	  		  		  	2009-May-06	  	1624728	  	2020-Jul-14
	 ES
	  	2000-Jul-14	  	09160257.3	  		  		  	2011-Mar-02	  	2139299	  	2020-Jul-14
	 ES
	  	2000-Nov-20	  	00980578.9	  	2002-Aug-28	  	1234140	  	2005-Aug-10	  	1234140	  	2020-Nov-20
	 ES
	  	2001-Apr-24	  	03028671.0	  		  		  	2010-Apr-14	  	1422975	  	2021-Apr-24
	 ES
	  	2001-Apr-24	  	07075990.7	  	2008-Feb-13	  	1887836	  	2012-Mar-07	  	1887836	  	2021-Apr-24
	 ES
	  	2001-Jun-21	  	01948546.5	  	2003-Mar-26	  	1295515	  	2011-Dec-28	  	1295515	  	2021-Jun-21
	 ES
	  	2001-Aug-14	  	01203099.5	  		  		  	2009-Oct-14	  	1182396	  	2021-Aug-14
	 ES
	  	2001-Oct-25	  	01997118.3	  		  		  	2009-Jun-17	  	1337784	  	2021-Oct-25
	 ES
	  	2002-May-10	  	02734387.0	  	2004-Feb-11	  	1388276	  	2011-Aug-10	  	1388276	  	2022-May-10

  

					
		 	Page 7 of 23	  	17 August 2012

 Annex A to the LED-based Luminaire and Retrofit Bulb Patent License Agreement 

List of Patents 
  

															
	 CTY
	  	Fil.Date	  	Application No.	  	Pub. Data	  	Publication No.	  	Grant Date	  	Grant No.	  	Expiry Date
	 ES
	  	2002-May-30	  	02739485.7	  		  		  	2010-May-05	  	1393599	  	2022-May-30
	 ES
	  	2002-Jun-21	  	02738518.6	  		  		  	2008-Dec-10	  	1405551	  	2022-Jun-21
	 ES
	  	2002-Sep-17	  	02773430.0	  	2004-Jun-16	  	1428415	  	2012-Jul-18	  	1428415	  	2022-Sep-17
	 ES
	  	2003-May-09	  	03736588.9	  		  		  	2008-Dec-03	  	1502483	  	2023-May-09
	 ES
	  	2003-Aug-28	  	03791823.2	  		  		  	2010-Jan-13	  	1535495	  	2023-Aug-28
	 ES
	  	2003-Nov-11	  	03758604.7	  		  		  	2010-Mar-03	  	1568255	  	2023-Nov-11
	 ES
	  	2003-Dec-11	  	03777081.5	  		  		  	2008-Dec-03	  	1576858	  	2023-Dec-11
	 ES
	  	2004-Nov-22	  	04811765.9	  		  		  	2010-Apr-28	  	1687692	  	2024-Nov-22
	 ES
	  	2005-Jun-23	  	05759404.6	  	2007-Apr-25	  	1776628	  	2011-Nov-30	  	1776628	  	2025-Jun-23
	 ES
	  	2005-Jul-14	  	05763182.2	  	2007-Apr-11	  	1772044-A	  		  		  	2025-Jul-14
	 ES
	  	2005-Aug-02	  	05772133.4	  	2007-May-09	  	1782660	  	2011-Oct-12	  	1782660	  	2025-Aug-02
	 ES
	  	2005-Oct-12	  	05791339.4	  	2007-Jun-27	  	1800401	  	2012-Apr-04	  	1800401	  	2025-Oct-12
	 ES
	  	2005-Nov-09	  	05809900.3	  		  		  	2011-Feb-09	  	1815536	  	2025-Nov-09
	 ES
	  	2006-Apr-19	  	06727966.1	  	2006-Nov-02	  	1878319 -A	  	2011-Nov-02	  	1878319	  	2026-Apr-19
	 ES
	  	2006-May-24	  	06765708.0	  		  		  	2009-Mar-18	  	1889519	  	2026-May-24
	 ES
	  	2006-Oct-02	  	06809462.2	  	2008-Jun-25	  	1935085-A	  	2012-Mar-28	  	1935085	  	2026-Oct-02
	 ES
	  	2006-Dec-11	  	06832203.1	  		  		  	2010-Sep-29	  	1963735	  	2026-Dec-11
	 ES
	  	2006-Dec-13	  	06842469.6	  	2008-Sep-10	  	1966624	  	2011-Jun-29	  	1966624	  	2026-Dec-13
	 ES
	  	2007-Apr-20	  	07735597.2	  	2009-Jan-21	  	2016804-A	  	2011-Jun-29	  	2016804	  	2027-Apr-20
	 ES
	  	2007-Jul-05	  	07825886.0	  		  		  	2010-Mar-31	  	2052181	  	2027-Jul-05
	 ES
	  	2007-Sep-20	  	07826476.9	  		  		  	2011-Mar-02	  	2074866	  	2027-Sep-20
	 ES
	  	2007-Nov-06	  	07826984.2	  		  		  	2010-Jul-28	  	2082620	  	2027-Nov-06
	 ES
	  	2007-Nov-09	  	07840007.4	  		  		  	2010-Jul-14	  	2082621	  	2027-Nov-09
	 ES
	  	2007-Nov-27	  	07862228.9	  		  		  	2011-Mar-02	  	2089656	  	2027-Nov-27
	 ES
	  	2007-Dec-07	  	07849372.3	  	2009-Sep-23	  	2103190-A	  		  		  	2027-Dec-07
	 ES
	  	2008-Mar-31	  	08737675.2	  	2010-Jan-13	  	2143303-A	  	2012-Aug-08	  	2143303	  	2028-Mar-31
	 ES
	  	2008-Apr-04	  	08737714.9	  		  		  	2010-Oct-06	  	2135005	  	2028-Apr-04
	 ES
	  	2008-May-09	  	08763076.0	  	2010-Feb-24	  	2156279-A	  	2011-Dec-21	  	2156279	  	2028-May-09
	 ES
	  	2008-Jun-23	  	08763422.6	  	2010-Mar-17	  	2163132-A	  		  		  	2028-Jun-23
	 ES
	  	2008-Aug-14	  	08789608.0	  		  		  	2011-Apr-27	  	2181565	  	2028-Aug-14
	 ES
	  	2008-Dec-02	  	08857778.8	  	2010-Sep-29	  	2232951-A	  	2011-Jul-06	  	2232951	  	2028-Dec-02
	 ES
	  	2008-Dec-29	  	08870459.8	  	2010-Sep-22	  	2229803-A	  	2011-Oct-26	  	2229803	  	2028-Dec-29
	 FI
	  	2001-Apr-24	  	03028671.0	  		  		  	2010-Apr-14	  	1422975	  	2021-Apr-24
	 FI
	  	2001-Apr-24	  	07075990.7	  	2008-Feb-13	  	1887836	  	2012-Mar-07	  	1887836	  	2021-Apr-24
	 FI
	  	2002-Jun-21	  	02738518.6	  		  		  	2008-Dec-10	  	1405551	  	2022-Jun-21
	 FI
	  	2003-May-09	  	03736588.9	  		  		  	2008-Dec-03	  	1502483	  	2023-May-09
	 FI
	  	2003-Aug-28	  	03791823.2	  		  		  	2010-Jan-13	  	1535495	  	2023-Aug-28
	 FI
	  	2006-May-24	  	06765708.0	  		  		  	2009-Mar-18	  	1889519	  	2026-May-24
	 FI
	  	2007-Apr-20	  	07735597.2	  	2009-Jan-21	  	2016804-A	  	2011-Jun-29	  	2016804	  	2027-Apr-20
	 FI
	  	2007-Sep-20	  	07826476.9	  		  		  	2011-Mar-02	  	2074866	  	2027-Sep-20
	 FI
	  	2008-Dec-02	  	08857778.8	  	2010-Sep-29	  	2232951-A	  	2011-Jul-06	  	2232951	  	2028-Dec-02
	 FR
	  	1997-Aug-08	  	97932965.3	  		  		  	2005-Nov-09	  	0870384	  	2017-Aug-08
	 FR
	  	1997-Sep-08	  	97936833.9	  	1998-Sep-16	  	0864064-A1	  	2002-Dec-04	  	0864064	  	2017-Sep-08
	 FR
	  	1998-Jan-22	  	98900141.7	  	1999-Jan-13	  	0890059-A1	  	2004-Jun-23	  	0890059	  	2018-Jan-22
	 FR
	  	1998-Jul-16	  	98929597.7	  	1999-Jul-21	  	0929993-A1	  	2004-Oct-06	  	0929993	  	2018-Jul-16
	 FR
	  	1998-Jul-16	  	98929590.2	  	1999-Jul-21	  	0929992-A1	  	2003-Aug-06	  	0929992	  	2018-Jul-16
	 FR
	  	1998-Jul-27	  	98932457.9	  	1999-Jul-21	  	0929994-A1	  	2003-Jul-02	  	0929994	  	2018-Jul-27
	 FR
	  	1998-Aug-26	  	98944539.0	  		  		  	2002-Aug-07	  	1016062	  	2018-Aug-26
	 FR
	  	1999-Jun-17	  	99922465.2	  	2000-Sep-13	  	1034690-A1	  	2003-Oct-29	  	1034690	  	2019-Jun-17
	 FR
	  	1999-Sep-03	  	99943116.6	  		  		  	2003-Nov-05	  	1110198	  	2019-Sep-03
	 FR
	  	1999-Sep-17	  	99948820.8	  		  		  	2008-Jan-16	  	1046196	  	2019-Sep-17
	 FR
	  	1999-Dec-02	  	99962235.0	  	2000-Dec-06	  	1056993-A1	  	2003-Mar-26	  	1056993	  	2019-Dec-02
	 FR
	  	2000-Jul-14	  	00950360.8	  	2002-Jul-24	  	1224845	  	2005-Nov-02	  	1224845	  	2020-Jul-14
	 FR
	  	2000-Jul-14	  	05077467.8	  		  		  	2009-May-06	  	1624728	  	2020-Jul-14
	 FR
	  	2000-Jul-14	  	09160257.3	  		  		  	2011-Mar-02	  	2139299	  	2020-Jul-14
	 FR
	  	2000-Jul-28	  	00948011.2	  	2001-Jul-25	  	1118252-A1	  	2003-Oct-01	  	1118252	  	2020-Jul-28
	 FR
	  	2000-Sep-15	  	00964189.5	  	2001-Oct-04	  	1138177-A1	  	2004-Dec-01	  	1138177	  	2020-Sep-15
	 FR
	  	2000-Oct-10	  	00972733.0	  	2001-Oct-10	  	1142452-A1	  	2004-Mar-10	  	1142452	  	2020-Oct-10
	 FR
	  	2000-Oct-12	  	00967866.5	  	2001-Oct-17	  	1145602-A	  	2004-Mar-10	  	1145602	  	2020-Oct-12
	 FR
	  	2000-Oct-12	  	00972760.3	  	2001-Oct-31	  	1149510-A1	  	2003-Feb-12	  	1149510	  	2020-Oct-12
	 FR
	  	2000-Nov-20	  	00980578.9	  	2002-Aug-28	  	1234140	  	2005-Aug-10	  	1234140	  	2020-Nov-20
	 FR
	  	2001-Jan-08	  	01907413.7	  		  		  	2006-Jun-14	  	1166604	  	2021-Jan-08
	 FR
	  	2001-Apr-24	  	03028671.0	  		  		  	2010-Apr-14	  	1422975	  	2021-Apr-24
	 FR
	  	2001-Apr-24	  	07075990.7	  	2008-Feb-13	  	1887836	  	2012-Mar-07	  	1887836	  	2021-Apr-24
	 FR
	  	2001-Jun-21	  	01948546.5	  	2003-Mar-26	  	1295515	  	2011-Dec-28	  	1295515	  	2021-Jun-21
	 FR
	  	2001-Aug-14	  	01203099.5	  		  		  	2009-Oct-14	  	1182396	  	2021-Aug-14
	 FR
	  	2001-Sep-05	  	01965257.7	  		  		  	2005-Dec-14	  	1321012	  	2021-Sep-05

  

					
		 	Page 8 of 23	  	17 August 2012

 Annex A to the LED-based Luminaire and Retrofit Bulb Patent License Agreement 

List of Patents 
  

															
	 CTY
	  	Fil.Date	  	Application No.	  	Pub. Data	  	Publication No.	  	Grant Date	  	Grant No.	  	Expiry Date
	 FR
	  	2001-Oct-25	  	01997118.3	  		  		  	2009-Jun-17	  	1337784	  	2021-Oct-25
	 FR
	  	2001-Nov-09	  	01990408.5	  		  		  	2006-Apr-12	  	1338181	  	2021-Nov-09
	 FR
	  	2001-Dec-03	  	01989575.4	  		  		  	2005-Aug-10	  	1346609	  	2021-Dec-03
	 FR
	  	2001-Dec-12	  	01272187.4	  		  		  	2005-Jun-08	  	1348319	  	2021-Dec-12
	 FR
	  	2001-Dec-12	  	01272182.5	  		  		  	2006-Aug-02	  	1348318	  	2021-Dec-12
	 FR
	  	2002-Feb-28	  	02701491.9	  		  		  	2005-Nov-09	  	1371211	  	2022-Feb-28
	 FR
	  	2002-Mar-14	  	02703803.3	  		  		  	2007-Aug-08	  	1374642	  	2022-Mar-14
	 FR
	  	2002-Apr-25	  	02722631.5	  		  		  	2008-Dec-17	  	1393029	  	2022-Apr-25
	 FR
	  	2002-May-10	  	02734387.0	  	2004-Feb-11	  	1388276	  	2011-Aug-10	  	1388276	  	2022-May-10
	 FR
	  	2002-May-30	  	02739485.7	  		  		  	2010-May-05	  	1393599	  	2022-May-30
	 FR
	  	2002-Jun-07	  	02735758.1	  		  		  	2006-Aug-09	  	1399694	  	2022-Jun-07
	 FR
	  	2002-Jun-21	  	02738518.6	  		  		  	2008-Dec-10	  	1405551	  	2022-Jun-21
	 FR
	  	2002-Aug-09	  	02755483.1	  	2004-May-26	  	1421830-A	  	2011-Oct-12	  	1421830	  	2022-Aug-09
	 FR
	  	2002-Sep-17	  	02773430.0	  	2004-Jun-16	  	1428415	  	2012-Jul-18	  	1428415	  	2022-Sep-17
	 FR
	  	2002-Sep-30	  	02800685.6	  		  		  	2006-May-10	  	1438877	  	2022-Sep-30
	 FR
	  	2002-Oct-16	  	02775101.5	  		  		  	2007-Apr-11	  	1440604	  	2022-Oct-16
	 FR
	  	2002-Nov-15	  	02781532.3	  		  		  	2008-Feb-27	  	1459599	  	2022-Nov-15
	 FR
	  	2002-Nov-29	  	02785772.1	  		  		  	2009-Sep-16	  	1461982	  	2022-Nov-29
	 FR
	  	2002-Dec-18	  	02790614.8	  	2004-Sep-22	  	1459280-A	  	2012-Feb-15	  	1459280	  	2022-Dec-18
	 FR
	  	2002-Dec-20	  	02790641.1	  		  		  	2006-Oct-25	  	1461980	  	2022-Dec-20
	 FR
	  	2003-Feb-06	  	03700452.0	  		  		  	2006-Jul-05	  	1479270	  	2023-Feb-06
	 FR
	  	2003-May-09	  	03736588.9	  		  		  	2008-Dec-03	  	1502483	  	2023-May-09
	 FR
	  	2003-Jun-12	  	03735929.6	  		  		  	2009-May-06	  	1518445	  	2023-Jun-12
	 FR
	  	2003-Aug-28	  	03791823.2	  		  		  	2010-Jan-13	  	1535495	  	2023-Aug-28
	 FR
	  	2003-Nov-11	  	03758604.7	  		  		  	2010-Mar-03	  	1568255	  	2023-Nov-11
	 FR
	  	2003-Dec-11	  	03777081.5	  		  		  	2008-Dec-03	  	1576858	  	2023-Dec-11
	 FR
	  	2003-Dec-18	  	03777121.9	  		  		  	2008-Apr-09	  	1579733	  	2023-Dec-18
	 FR
	  	2003-Dec-18	  	03813963.0	  		  		  	2009-Feb-25	  	1579736-A	  	2023-Dec-18
	 FR
	  	2004-Apr-22	  	04728861.8	  		  		  	2007-Mar-07	  	1623602	  	2024-Apr-22
	 FR
	  	2004-Apr-30	  	04730612.1	  		  		  	2008-Apr-16	  	1623604	  	2024-Apr-30
	 FR
	  	2004-Nov-22	  	04811765.9	  		  		  	2010-Apr-28	  	1687692	  	2024-Nov-22
	 FR
	  	2005-Apr-27	  	05731773.7	  		  		  	2009-Nov-18	  	1752024	  	2025-Apr-27
	 FR
	  	2005-Jun-23	  	05759404.6	  	2007-Apr-25	  	1776628	  	2011-Nov-30	  	1776628	  	2025-Jun-23
	 FR
	  	2005-Jul-14	  	05763182.2	  	2007-Apr-11	  	1772044-A	  		  		  	2025-Jul-14
	 FR
	  	2005-Aug-02	  	05772133.4	  	2007-May-09	  	1782660	  	2011-Oct-12	  	1782660	  	2025-Aug-02
	 FR
	  	2005-Oct-12	  	05791339.4	  	2007-Jun-27	  	1800401	  	2012-Apr-04	  	1800401	  	2025-Oct-12
	 FR
	  	2005-Nov-09	  	05809900.3	  		  		  	2011-Feb-09	  	1815536	  	2025-Nov-09
	 FR
	  	2005-Nov-24	  	05826628.9	  		  		  	2011-Jan-26	  	1820373	  	2025-Nov-24
	 FR
	  	2005-Dec-16	  	05820993.3	  	2007-Feb-22	  	1922905-A1	  	2012-Jul-04	  	1922905	  	2025-Dec-16
	 FR
	  	2006-Apr-19	  	06727966.1	  	2006-Nov-02	  	1878319 -A	  	2011-Nov-02	  	1878319	  	2026-Apr-19
	 FR
	  	2006-May-10	  	06744904.1	  		  		  	2009-Jul-22	  	1889112	  	2026-May-10
	 FR
	  	2006-May-24	  	06765708.0	  		  		  	2009-Mar-18	  	1889519	  	2026-May-24
	 FR
	  	2006-Oct-02	  	06809462.2	  	2008-Jun-25	  	1935085-A	  	2012-Mar-28	  	1935085	  	2026-Oct-02
	 FR
	  	2006-Nov-20	  	06821499.8	  		  		  	2012-Jan-11	  	1954975	  	2026-Nov-20
	 FR
	  	2006-Dec-06	  	06832117.3	  	2008-Sep-03	  	1964451-A	  	2011-Jul-06	  	1964451	  	2026-Dec-06
	 FR
	  	2006-Dec-11	  	06832203.1	  		  		  	2010-Sep-29	  	1963735	  	2026-Dec-11
	 FR
	  	2006-Dec-13	  	06842469.6	  	2008-Sep-10	  	1966624	  	2011-Jun-29	  	1966624	  	2026-Dec-13
	 FR
	  	2007-Apr-20	  	07735597.2	  	2009-Jan-21	  	2016804-A	  	2011-Jun-29	  	2016804	  	2027-Apr-20
	 FR
	  	2007-Jun-21	  	07825830.8	  		  		  	2011-Apr-06	  	2036406	  	2027-Jun-21
	 FR
	  	2007-Jul-03	  	07825879.5	  	2009-Apr-01	  	2042003-A	  		  		  	2027-Jul-03
	 FR
	  	2007-Jul-05	  	07825886.0	  		  		  	2010-Mar-31	  	2052181	  	2027-Jul-05
	 FR
	  	2007-Sep-18	  	07826420.7	  		  		  	2010-Mar-24	  	2074658	  	2027-Sep-18
	 FR
	  	2007-Sep-20	  	07826476.9	  		  		  	2011-Mar-02	  	2074866	  	2027-Sep-20
	 FR
	  	2007-Sep-20	  	07826474.4	  		  		  	2010-Apr-21	  	2084941	  	2027-Sep-20
	 FR
	  	2007-Nov-06	  	07826984.2	  		  		  	2010-Jul-28	  	2082620	  	2027-Nov-06
	 FR
	  	2007-Nov-09	  	07840007.4	  		  		  	2010-Jul-14	  	2082621	  	2027-Nov-09
	 FR
	  	2007-Nov-27	  	07862228.9	  		  		  	2011-Mar-02	  	2089656	  	2027-Nov-27
	 FR
	  	2007-Dec-04	  	07849329.3	  		  		  	2011-Apr-06	  	2103189	  	2027-Dec-04
	 FR
	  	2007-Dec-05	  	07849344.2	  	2009-Sep-23	  	2103188-A	  	2012-Aug-01	  	2103188	  	2027-Dec-05
	 FR
	  	2007-Dec-07	  	07849372.3	  	2009-Sep-23	  	2103190-A	  		  		  	2027-Dec-07
	 FR
	  	2008-Mar-31	  	08737675.2	  	2010-Jan-13	  	2143303-A	  	2012-Aug-08	  	2143303	  	2028-Mar-31
	 FR
	  	2008-Apr-04	  	08737714.9	  		  		  	2010-Oct-06	  	2135005	  	2028-Apr-04
	 FR
	  	2008-Apr-21	  	08737928.5	  		  		  	2010-Sep-15	  	2143304	  	2028-Apr-21
	 FR
	  	2008-May-09	  	08763076.0	  	2010-Feb-24	  	2156279-A	  	2011-Dec-21	  	2156279	  	2028-May-09
	 FR
	  	2008-Jun-23	  	08763422.6	  	2010-Mar-17	  	2163132-A	  		  		  	2028-Jun-23
	 FR
	  	2008-Aug-14	  	08789608.0	  		  		  	2011-Apr-27	  	2181565	  	2028-Aug-14
	 FR
	  	2008-Dec-02	  	08857778.8	  	2010-Sep-29	  	2232951-A	  	2011-Jul-06	  	2232951	  	2028-Dec-02

  

					
		 	Page 9 of 23	  	17 August 2012

 Annex A to the LED-based Luminaire and Retrofit Bulb Patent License Agreement 

List of Patents 
  

															
	 CTY
	  	Fil.Date	  	Application No.	  	Pub. Data	  	Publication No.	  	Grant Date	  	Grant No.	  	Expiry Date
	 FR
	  	2008-Dec-29	  	08870459.8	  	2010-Sep-22	  	2229803-A	  	2011-Oct-26	  	2229803	  	2028-Dec-29
	 GB
	  	1997-Aug-08	  	97932965.3	  		  		  	2005-Nov-09	  	0870384	  	2017-Aug-08
	 GB
	  	1997-Sep-08	  	97936833.9	  	1998-Sep-16	  	0864064-A1	  	2002-Dec-04	  	0864064	  	2017-Sep-08
	 GB
	  	1998-Jan-22	  	98900141.7	  	1999-Jan-13	  	0890059-A1	  	2004-Jun-23	  	0890059	  	2018-Jan-22
	 GB
	  	1998-Jul-16	  	98929597.7	  	1999-Jul-21	  	0929993-A1	  	2004-Oct-06	  	0929993	  	2018-Jul-16
	 GB
	  	1998-Jul-16	  	98929590.2	  	1999-Jul-21	  	0929992-A1	  	2003-Aug-06	  	0929992	  	2018-Jul-16
	 GB
	  	1998-Jul-27	  	98932457.9	  	1999-Jul-21	  	0929994-A1	  	2003-Jul-02	  	0929994	  	2018-Jul-27
	 GB
	  	1998-Aug-26	  	98944539.0	  		  		  	2002-Aug-07	  	1016062	  	2018-Aug-26
	 GB
	  	1999-Sep-03	  	99943116.6	  		  		  	2003-Nov-05	  	1110198	  	2019-Sep-03
	 GB
	  	1999-Sep-17	  	99948820.8	  		  		  	2008-Jan-16	  	1046196	  	2019-Sep-17
	 GB
	  	1999-Nov-24	  	99957760.4	  		  		  	2010-Oct-06	  	1133657	  	2019-Nov-24
	 GB
	  	1999-Dec-02	  	99962235.0	  	2000-Dec-06	  	1056993-A1	  	2003-Mar-26	  	1056993	  	2019-Dec-02
	 GB
	  	2000-Jul-14	  	00950360.8	  	2002-Jul-24	  	1224845	  	2005-Nov-02	  	1224845	  	2020-Jul-14
	 GB
	  	2000-Jul-14	  	05077467.8	  		  		  	2009-May-06	  	1624728	  	2020-Jul-14
	 GB
	  	2000-Jul-14	  	09160257.3	  		  		  	2011-Mar-02	  	2139299	  	2020-Jul-14
	 GB
	  	2000-Jul-28	  	00948011.2	  	2001-Jul-25	  	1118252-A1	  	2003-Oct-01	  	1118252	  	2020-Jul-28
	 GB
	  	2000-Sep-15	  	00964189.5	  	2001-Oct-04	  	1138177-A1	  	2004-Dec-01	  	1138177	  	2020-Sep-15
	 GB
	  	2000-Oct-10	  	00972733.0	  	2001-Oct-10	  	1142452-A1	  	2004-Mar-10	  	1142452	  	2020-Oct-10
	 GB
	  	2000-Oct-12	  	00967866.5	  	2001-Oct-17	  	1145602-A	  	2004-Mar-10	  	1145602	  	2020-Oct-12
	 GB
	  	2000-Oct-12	  	00972760.3	  	2001-Oct-31	  	1149510-A1	  	2003-Feb-12	  	1149510	  	2020-Oct-12
	 GB
	  	2000-Nov-20	  	00980578.9	  	2002-Aug-28	  	1234140	  	2005-Aug-10	  	1234140	  	2020-Nov-20
	 GB
	  	2001-Jan-08	  	01907413.7	  		  		  	2006-Jun-14	  	1166604	  	2021-Jan-08
	 GB
	  	2001-Apr-24	  	03028671.0	  		  		  	2010-Apr-14	  	1422975	  	2021-Apr-24
	 GB
	  	2001-Apr-24	  	07075990.7	  	2008-Feb-13	  	1887836	  	2012-Mar-07	  	1887836	  	2021-Apr-24
	 GB
	  	2001-Jun-21	  	01948546.5	  	2003-Mar-26	  	1295515	  	2011-Dec-28	  	1295515	  	2021-Jun-21
	 GB
	  	2001-Aug-14	  	01203099.5	  		  		  	2009-Oct-14	  	1182396	  	2021-Aug-14
	 GB
	  	2001-Sep-05	  	01965257.7	  		  		  	2005-Dec-14	  	1321012	  	2021-Sep-05
	 GB
	  	2001-Oct-25	  	01997118.3	  		  		  	2009-Jun-17	  	1337784	  	2021-Oct-25
	 GB
	  	2001-Nov-09	  	01990408.5	  		  		  	2006-Apr-12	  	1338181	  	2021-Nov-09
	 GB
	  	2001-Dec-03	  	01989575.4	  		  		  	2005-Aug-10	  	1346609	  	2021-Dec-03
	 GB
	  	2001-Dec-12	  	01272187.4	  		  		  	2005-Jun-08	  	1348319	  	2021-Dec-12
	 GB
	  	2001-Dec-12	  	01272182.5	  		  		  	2006-Aug-02	  	1348318	  	2021-Dec-12
	 GB
	  	2002-Feb-28	  	02701491.9	  		  		  	2005-Nov-09	  	1371211	  	2022-Feb-28
	 GB
	  	2002-Mar-14	  	02703803.3	  		  		  	2007-Aug-08	  	1374642	  	2022-Mar-14
	 GB
	  	2002-Apr-25	  	02722631.5	  		  		  	2008-Dec-17	  	1393029	  	2022-Apr-25
	 GB
	  	2002-May-10	  	02734387.0	  	2004-Feb-11	  	1388276	  	2011-Aug-10	  	1388276	  	2022-May-10
	 GB
	  	2002-May-30	  	02739485.7	  		  		  	2010-May-05	  	1393599	  	2022-May-30
	 GB
	  	2002-Jun-07	  	02735758.1	  		  		  	2006-Aug-09	  	1399694	  	2022-Jun-07
	 GB
	  	2002-Jun-21	  	02738518.6	  		  		  	2008-Dec-10	  	1405551	  	2022-Jun-21
	 GB
	  	2002-Aug-09	  	02755483.1	  	2004-May-26	  	1421830-A	  	2011-Oct-12	  	1421830	  	2022-Aug-09
	 GB
	  	2002-Sep-17	  	02773430.0	  	2004-Jun-16	  	1428415	  	2012-Jul-18	  	1428415	  	2022-Sep-17
	 GB
	  	2002-Sep-30	  	02800685.6	  		  		  	2006-May-10	  	1438877	  	2022-Sep-30
	 GB
	  	2002-Oct-16	  	02775101.5	  		  		  	2007-Apr-11	  	1440604	  	2022-Oct-16
	 GB
	  	2002-Nov-15	  	02781532.3	  		  		  	2008-Feb-27	  	1459599	  	2022-Nov-15
	 GB
	  	2002-Nov-29	  	02785772.1	  		  		  	2009-Sep-16	  	1461982	  	2022-Nov-29
	 GB
	  	2002-Dec-18	  	02790614.8	  	2004-Sep-22	  	1459280-A	  	2012-Feb-15	  	1459280	  	2022-Dec-18
	 GB
	  	2002-Dec-20	  	02790641.1	  		  		  	2006-Oct-25	  	1461980	  	2022-Dec-20
	 GB
	  	2003-Feb-06	  	03700452.0	  		  		  	2006-Jul-05	  	1479270	  	2023-Feb-06
	 GB
	  	2003-May-09	  	03736588.9	  		  		  	2008-Dec-03	  	1502483	  	2023-May-09
	 GB
	  	2003-Jun-12	  	03735929.6	  		  		  	2009-May-06	  	1518445	  	2023-Jun-12
	 GB
	  	2003-Aug-28	  	03791823.2	  		  		  	2010-Jan-13	  	1535495	  	2023-Aug-28
	 GB
	  	2003-Nov-11	  	03758604.7	  		  		  	2010-Mar-03	  	1568255	  	2023-Nov-11
	 GB
	  	2003-Dec-11	  	03777081.5	  		  		  	2008-Dec-03	  	1576858	  	2023-Dec-11
	 GB
	  	2003-Dec-18	  	03777121.9	  		  		  	2008-Apr-09	  	1579733	  	2023-Dec-18
	 GB
	  	2003-Dec-18	  	03813963.0	  		  		  	2009-Feb-25	  	1579736	  	2023-Dec-18
	 GB
	  	2004-Apr-22	  	04728861.8	  		  		  	2007-Mar-07	  	1623602	  	2024-Apr-22
	 GB
	  	2004-Apr-30	  	04730612.1	  		  		  	2008-Apr-16	  	1623604	  	2024-Apr-30
	 GB
	  	2004-Nov-22	  	04811765.9	  		  		  	2010-Apr-28	  	1687692	  	2024-Nov-22
	 GB
	  	2004-Dec-12	  	0427744.8	  		  		  	2008-Sep-03	  	2421367	  	2024-Dec-12
	 GB
	  	2005-Apr-27	  	05731773.7	  		  		  	2009-Nov-18	  	1752024	  	2025-Apr-27
	 GB
	  	2005-Jun-23	  	05759404.6	  	2007-Apr-25	  	1776628	  	2011-Nov-30	  	1776628	  	2025-Jun-23
	 GB
	  	2005-Jul-14	  	05763182.2	  	2007-Apr-11	  	1772044-A	  		  		  	2025-Jul-14
	 GB
	  	2005-Aug-02	  	05772133.4	  	2007-May-09	  	1782660	  	2011-Oct-12	  	1782660	  	2025-Aug-02
	 GB
	  	2005-Oct-12	  	05791339.4	  	2007-Jun-27	  	1800401	  	2012-Apr-04	  	1800401	  	2025-Oct-12
	 GB
	  	2005-Nov-09	  	05809900.3	  		  		  	2011-Feb-09	  	1815536	  	2025-Nov-09
	 GB
	  	2005-Nov-24	  	05826628.9	  		  		  	2011-Jan-26	  	1820373	  	2025-Nov-24
	 GB
	  	2005-Dec-16	  	05820993.3	  	2007-Feb-22	  	1922905-A1	  	2012-Jul-04	  	1922905	  	2025-Dec-16

  

					
		 	Page 10 of 23	  	17 August 2012

 Annex A to the LED-based Luminaire and Retrofit Bulb Patent License Agreement 

List of Patents 
  

															
	 CTY
	  	Fil.Date	  	Application No.	  	Pub. Data	  	Publication No.	  	Grant Date	  	Grant No.	  	Expiry Date
	 GB
	  	2006-Apr-19	  	06727966.1	  	2006-Nov-02	  	1878319 -A	  	2011-Nov-02	  	1878319	  	2026-Apr-19
	 GB
	  	2006-May-10	  	06744904.1	  		  		  	2009-Jul-22	  	1889112	  	2026-May-10
	 GB
	  	2006-May-24	  	06765708.0	  		  		  	2009-Mar-18	  	1889519	  	2026-May-24
	 GB
	  	2006-Oct-02	  	06809462.2	  	2008-Jun-25	  	1935085-A	  	2012-Mar-28	  	1935085	  	2026-Oct-02
	 GB
	  	2006-Nov-20	  	06821499.8	  		  		  	2012-Jan-11	  	1954975	  	2026-Nov-20
	 GB
	  	2006-Dec-06	  	06832117.3	  	2008-Sep-03	  	1964451-A	  	2011-Jul-06	  	1964451	  	2026-Dec-06
	 GB
	  	2006-Dec-11	  	06832203.1	  		  		  	2010-Sep-29	  	1963735	  	2026-Dec-11
	 GB
	  	2006-Dec-13	  	06842469.6	  	2008-Sep-10	  	1966624	  	2011-Jun-29	  	1966624	  	2026-Dec-13
	 GB
	  	2007-Mar-02	  	07735026.2	  	2008-Nov-26	  	1994635-A	  	2012-Jun-27	  	1994635	  	2027-Mar-02
	 GB
	  	2007-Apr-20	  	07735597.2	  	2009-Jan-21	  	2016804-A	  	2011-Jun-29	  	2016804	  	2027-Apr-20
	 GB
	  	2007-Jun-21	  	07825830.8	  		  		  	2011-Apr-06	  	2036406	  	2027-Jun-21
	 GB
	  	2007-Jul-03	  	07825879.5	  	2009-Apr-01	  	2042003-A	  		  		  	2027-Jul-03
	 GB
	  	2007-Jul-05	  	07825886.0	  		  		  	2010-Mar-31	  	2052181	  	2027-Jul-05
	 GB
	  	2007-Sep-18	  	07826420.7	  		  		  	2010-Mar-24	  	2074658	  	2027-Sep-18
	 GB
	  	2007-Sep-20	  	07826476.9	  		  		  	2011-Mar-02	  	2074866	  	2027-Sep-20
	 GB
	  	2007-Sep-20	  	07826474.4	  		  		  	2010-Apr-21	  	2084941	  	2027-Sep-20
	 GB
	  	2007-Nov-06	  	07826984.2	  		  		  	2010-Jul-28	  	2082620	  	2027-Nov-06
	 GB
	  	2007-Nov-09	  	07840007.4	  		  		  	2010-Jul-14	  	2082621	  	2027-Nov-09
	 GB
	  	2007-Nov-27	  	07862228.9	  		  		  	2011-Mar-02	  	2089656	  	2027-Nov-27
	 GB
	  	2007-Dec-04	  	07849329.3	  		  		  	2011-Apr-06	  	2103189	  	2027-Dec-04
	 GB
	  	2007-Dec-05	  	07849344.2	  	2009-Sep-23	  	2103188-A	  	2012-Aug-01	  	2103188	  	2027-Dec-05
	 GB
	  	2007-Dec-07	  	07849372.3	  	2009-Sep-23	  	2103190-A	  		  		  	2027-Dec-07
	 GB
	  	2008-Mar-31	  	08737675.2	  	2010-Jan-13	  	2143303-A	  	2012-Aug-08	  	2143303	  	2028-Mar-31
	 GB
	  	2008-Apr-04	  	08737714.9	  		  		  	2010-Oct-06	  	2135005	  	2028-Apr-04
	 GB
	  	2008-Apr-21	  	08737928.5	  		  		  	2010-Sep-15	  	2143304	  	2028-Apr-21
	 GB
	  	2008-May-09	  	08763076.0	  	2010-Feb-24	  	2156279-A	  	2011-Dec-21	  	2156279	  	2028-May-09
	 GB
	  	2008-Jun-23	  	08763422.6	  	2010-Mar-17	  	2163132-A	  		  		  	2028-Jun-23
	 GB
	  	2008-Aug-14	  	08789608.0	  		  		  	2011-Apr-27	  	2181565	  	2028-Aug-14
	 GB
	  	2008-Dec-02	  	08857778.8	  	2010-Sep-29	  	2232951-A	  	2011-Jul-06	  	2232951	  	
	 GB
	  	2008-Dec-29	  	08870459.8	  	2010-Sep-22	  	2229803-A	  	2011-Oct-26	  	2229803	  	2028-Dec-29
	 HK
	  	1998-Aug-26	  	00104718.3	  	2000-Nov-10	  	1025416	  	2002-Nov-01	  	1025416	  	2018-Aug-26
	 HK
	  	1998-Aug-26	  	02107347.3	  	2002-Dec-20	  	1046056-A	  		  		  	2018-Aug-26
	 HK
	  	1998-Dec-17	  	00106717.9	  	2001-Jan-19	  	1027637	  		  		  	2018-Dec-17
	 HK
	  	2000-Nov-20	  	06106682.4	  	2006-Aug-11	  	1085079A	  		  		  	2020-Nov-20
	 HK
	  	2001-Apr-24	  	08106879.5	  	2012-Jul-27	  	1112153	  		  		  	
	 HK
	  	2001-Jun-21	  	03106910.1	  	2003-Dec-12	  	1054839A	  		  		  	2021-Jun-21
	 HK
	  	2004-Apr-21	  	06108506.4	  	2006-Nov-03	  	1088431	  		  		  	2024-Apr-21
	 HK
	  	2004-Jul-21	  	06111786.9	  	2007-Jan-12	  	1091361	  		  		  	2024-Jul-21
	 HK
	  	2005-Mar-14	  	07101947.5	  	2007-May-04	  	1095474	  		  		  	2025-Mar-14
	 HK
	  	2005-Jun-23	  	08101283.6	  	2008-Jul-18	  	1110661	  		  		  	2025-Jun-23
	 HK
	  	2005-Oct-12	  	08104443.7	  	2012-Aug-31	  	1114958-A	  		  		  	2025-Oct-12
	 HK
	  	2005-Oct-12	  	08104241.1	  	2008-Oct-31	  	1114497	  	2011-Nov-25	  	1114497B	  	2025-Oct-12
	 HK
	  	2008-Mar-05	  	08102545.8	  		  		  		  		  	
	 HU
	  	2003-May-09	  	03736588.9	  		  		  	2008-Dec-10	  	E005628	  	2023-May-09
	 HU
	  	2003-Aug-28	  	03791823.2	  		  		  	2010-Jan-13	  	1535495	  	2023-Aug-28
	 HU
	  	2006-May-24	  	06765708.0	  		  		  	2009-Mar-18	  	E005833	  	2026-May-24
	 HU
	  	2008-Dec-02	  	08857778.8	  	2010-Sep-29	  	2232951-A	  	2011-Jul-06	  	2232951	  	2028-Dec-02
	 IE
	  	2001-Apr-24	  	03028671.0	  		  		  	2010-Apr-14	  	1422975	  	2021-Apr-24
	 IE
	  	2001-Apr-24	  	07075990.7	  	2008-Feb-13	  	1887836	  	2012-Mar-07	  	1887836	  	2021-Apr-24
	 IE
	  	2003-May-09	  	03736588.9	  		  		  	2008-Dec-03	  	1502483	  	2023-May-09
	 IE
	  	2003-Aug-28	  	03791823.2	  		  		  	2010-Jan-13	  	1535495	  	2023-Aug-28
	 IN
	  	1999-Sep-17	  	IN/PCT/00/00088	  		  		  	2007-Oct-08	  	210549	  	2019-Sep-17
	 IN
	  	2004-Jul-21	  	949/DELNP/2006	  		  		  		  		  	2024-Jul-21
	 IN
	  	2005-Jun-23	  	1611/MUMNP/2006	  		  		  		  		  	2025-Jun-23
	 IN
	  	2005-Oct-12	  	683/MUMNP/2007	  		  		  		  		  	2025-Oct-12
	 IN
	  	2005-Oct-12	  	684/MUMNP/2007	  		  		  		  		  	2025-Oct-12
	 IN
	  	2005-Dec-02	  	2338/KOLNP/2007	  		  		  		  		  	
	 IN
	  	2005-Dec-16	  	413/MUMNP/2008	  		  		  		  		  	2025-Dec-16
	 IN
	  	2006-May-24	  	5411/CHENP/2007	  		  		  		  		  	2026-May-24
	 IN
	  	2006-Sep-25	  	1494/CHENP/2008	  		  		  		  		  	2026-Sep-25
	 IN
	  	2006-Nov-13	  	2472/CHENP/2008	  		  		  		  		  	2026-Nov-13
	 IN
	  	2006-Nov-20	  	2527/CHENP/2008	  		  		  		  		  	2026-Nov-20
	 IN
	  	2006-Dec-20	  	1233/MUMNP/2008	  		  		  		  		  	2026-Dec-20
	 IN
	  	2007-Jan-10	  	3715/CHENP/2008	  		  		  		  		  	2027-Jan-10
	 IN
	  	2007-Jan-26	  	4002/CHENP/2008	  		  		  		  		  	2027-Jan-26
	 IN
	  	2007-Mar-02	  	4704/CHENP/2008	  		  		  		  		  	2027-Mar-02
	 IN
	  	2007-Apr-20	  	5937/CHENP/2008	  		  		  		  		  	2027-Apr-20

  

					
		 	Page 11 of 23	  	17 August 2012

 Annex A to the LED-based Luminaire and Retrofit Bulb Patent License Agreement 

List of Patents 
  

															
	 CTY
	  	Fil.Date	  	Application No.	  	Pub. Data	  	Publication No.	  	Grant Date	  	Grant No.	  	Expiry Date
	 IN
	  	2007-Jun-19	  	6765/CHENP/2008	  		  		  		  		  	2027-Jun-19
	 IN
	  	2007-Jul-03	  	126/CHENP/2009	  		  		  		  		  	2027-Jul-03
	 IN
	  	2007-Aug-09	  	4602/CHENP/2009	  		  		  		  		  	2027-Aug-09
	 IN
	  	2007-Aug-17	  	882/CHENP/2009	  		  		  		  		  	2027-Aug-17
	 IN
	  	2007-Aug-22	  	974/CHENP/2009	  		  		  		  		  	2027-Aug-22
	 IN
	  	2007-Sep-03	  	1845/CHENP/2009	  		  		  		  		  	2027-Sep-03
	 IN
	  	2007-Sep-18	  	2289/CHENP/2009	  		  		  		  		  	2027-Sep-18
	 IN
	  	2007-Sep-20	  	2426/CHENP/2009	  		  		  		  		  	2027-Sep-20
	 IN
	  	2007-Sep-20	  	2431/CHENP/2009	  		  		  		  		  	2027-Sep-20
	 IN
	  	2007-Sep-20	  	2428/CHENP/2009	  		  		  		  		  	2027-Sep-20
	 IN
	  	2007-Sep-20	  	2045/CHENP/2009	  		  		  		  		  	2027-Sep-20
	 IN
	  	2007-Oct-11	  	2645/CHENP/2009	  		  		  		  		  	2027-Oct-11
	 IN
	  	2007-Oct-19	  	2701/CHENP/2009	  		  		  		  		  	2027-Oct-19
	 IN
	  	2007-Oct-31	  	3012/CHENP/2009	  		  		  		  		  	2027-Oct-31
	 IN
	  	2007-Nov-09	  	3217/CHENP/2009	  		  		  		  		  	2027-Nov-09
	 IN
	  	2007-Nov-27	  	3697/CHENP/2009	  		  		  		  		  	2027-Nov-27
	 IN
	  	2007-Nov-27	  	3470/CHENP/2009	  		  		  		  		  	2027-Nov-27
	 IN
	  	2007-Dec-07	  	3934/CHENP/2009	  		  		  		  		  	2027-Dec-07
	 IN
	  	2007-Dec-11	  	4031/CHENP/2009	  		  		  		  		  	2027-Dec-11
	 IN
	  	2007-Dec-11	  	4032/CHENP/2009	  		  		  		  		  	2027-Dec-11
	 IN
	  	2007-Dec-12	  	4067/CHENP/2009	  		  		  		  		  	2027-Dec-12
	 IN
	  	2008-Mar-31	  	6310/CHENP/2009	  		  		  		  		  	2028-Mar-31
	 IN
	  	2008-Apr-23	  	6827/CHENP/2009	  		  		  		  		  	2028-Apr-23
	 IN
	  	2008-Apr-30	  	7331/CHENP/2009	  		  		  		  		  	2028-Apr-30
	 IN
	  	2008-May-02	  	7333/CHENP/2009	  		  		  		  		  	2028-May-02
	 IN
	  	2008-Jun-09	  	121/CHENP/2010	  		  		  		  		  	2028-Jun-09
	 IN
	  	2008-Dec-02	  	4134/CHENP/2010	  		  		  		  		  	2028-Dec-02
	 IN
	  	2008-Dec-02	  	4135/CHENP/2010	  		  		  		  		  	2028-Dec-02
	 IN
	  	2008-Dec-22	  	4501/CHENP/2010	  		  		  		  		  	2028-Dec-22
	 IN
	  	2008-Dec-29	  	4633/CHENP/2010	  		  		  		  		  	2028-Dec-29
	 IT
	  	1998-Jan-22	  	98900141.7	  	1999-Jan-13	  	0890059-A1	  	2004-Jun-23	  	0890059	  	2018-Jan-22
	 IT
	  	1998-Aug-26	  	98944539.0	  		  		  	2002-Aug-07	  	1016062	  	2018-Aug-26
	 IT
	  	1999-Sep-03	  	99943116.6	  		  		  	2003-Nov-05	  	1110198	  	2019-Sep-03
	 IT
	  	1999-Sep-17	  	99948820.8	  		  		  	2008-Jan-16	  	1046196	  	2019-Sep-17
	 IT
	  	2000-Jul-14	  	00950360.8	  	2002-Jul-24	  	1224845	  	2005-Nov-02	  	1224845	  	2020-Jul-14
	 IT
	  	2000-Jul-14	  	05077467.8	  		  		  	2009-May-06	  	1624728	  	2020-Jul-14
	 IT
	  	2000-Jul-14	  	09160257.3	  		  		  	2011-Mar-02	  	2139299	  	2020-Jul-14
	 IT
	  	2000-Nov-20	  	00980578.9	  	2002-Aug-28	  	1234140	  	2005-Aug-10	  	1234140	  	2020-Nov-20
	 IT
	  	2001-Apr-24	  	03028671.0	  		  		  	2010-Apr-14	  	1422975	  	2021-Apr-24
	 IT
	  	2001-Apr-24	  	07075990.7	  	2008-Feb-13	  	1887836	  	2012-Mar-07	  	1887836	  	2021-Apr-24
	 IT
	  	2001-Jun-21	  	01948546.5	  	2003-Mar-26	  	1295515	  	2011-Dec-28	  	1295515	  	2021-Jun-21
	 IT
	  	2001-Aug-14	  	01203099.5	  		  		  	2009-Oct-14	  	1182396	  	2021-Aug-14
	 IT
	  	2001-Oct-25	  	01997118.3	  		  		  	2009-Jun-17	  	1337784	  	2021-Oct-25
	 IT
	  	2002-May-10	  	02734387.0	  	2004-Feb-11	  	1388276	  	2011-Aug-10	  	1388276	  	2022-May-10
	 IT
	  	2002-May-30	  	02739485.7	  		  		  	2010-May-05	  	1393599	  	2022-May-30
	 IT
	  	2002-Jun-21	  	02738518.6	  		  		  	2008-Dec-10	  	1405551	  	2022-Jun-21
	 IT
	  	2002-Sep-17	  	02773430.0	  	2004-Jun-16	  	1428415	  	2012-Jul-18	  	1428415	  	2022-Sep-17
	 IT
	  	2003-May-09	  	03736588.9	  		  		  	2008-Dec-03	  	1502483	  	2023-May-09
	 IT
	  	2003-Aug-28	  	03791823.2	  		  		  	2010-Jan-13	  	1535495	  	2023-Aug-28
	 IT
	  	2003-Nov-11	  	03758604.7	  		  		  	2010-Mar-03	  	1568255	  	2023-Nov-11
	 IT
	  	2003-Dec-11	  	03777081.5	  		  		  	2008-Dec-03	  	1576858	  	2023-Dec-11
	 IT
	  	2004-Nov-22	  	04811765.9	  		  		  	2010-Apr-28	  	1687692	  	2024-Nov-22
	 IT
	  	2005-Jun-23	  	05759404.6	  	2007-Apr-25	  	1776628	  	2011-Nov-30	  	1776628	  	2025-Jun-23
	 IT
	  	2005-Jul-14	  	05763182.2	  	2007-Apr-11	  	1772044-A	  		  		  	2025-Jul-14
	 IT
	  	2005-Aug-02	  	05772133.4	  	2007-May-09	  	1782660	  	2011-Oct-12	  	1782660	  	2025-Aug-02
	 IT
	  	2005-Oct-12	  	05791339.4	  	2007-Jun-27	  	1800401	  	2012-Apr-04	  	1800401	  	2025-Oct-12
	 IT
	  	2005-Nov-09	  	05809900.3	  		  		  	2011-Feb-09	  	1815536	  	2025-Nov-09
	 IT
	  	2006-Apr-19	  	06727966.1	  	2006-Nov-02	  	1878319 -A	  	2011-Nov-02	  	1878319	  	2026-Apr-19
	 IT
	  	2006-May-24	  	06765708.0	  		  		  	2009-Mar-18	  	1889519	  	2026-May-24
	 IT
	  	2006-Oct-02	  	06809462.2	  	2008-Jun-25	  	1935085-A	  	2012-Mar-28	  	1935085	  	2026-Oct-02
	 IT
	  	2006-Nov-20	  	06821499.8	  		  		  	2012-Jan-11	  	1954975	  	2026-Nov-20
	 IT
	  	2006-Dec-11	  	06832203.1	  		  		  	2010-Sep-29	  	1963735	  	2026-Dec-11
	 IT
	  	2006-Dec-13	  	06842469.6	  	2008-Sep-10	  	1966624	  	2011-Jun-29	  	1966624	  	2026-Dec-13
	 IT
	  	2007-Apr-20	  	07735597.2	  	2009-Jan-21	  	2016804-A	  	2011-Jun-29	  	2016804	  	2027-Apr-20
	 IT
	  	2007-Jul-05	  	07825886.0	  		  		  	2010-Mar-31	  	2052181	  	2027-Jul-05
	 IT
	  	2007-Sep-20	  	07826476.9	  		  		  	2011-Mar-02	  	2074866	  	2027-Sep-20
	 IT
	  	2007-Nov-06	  	07826984.2	  		  		  	2010-Jul-28	  	2082620	  	2027-Nov-06

  

					
		 	Page 12 of 23	  	17 August 2012

 Annex A to the LED-based Luminaire and Retrofit Bulb Patent License Agreement 

List of Patents 
  

															
	 CTY
	  	Fil.Date	  	Application No.	  	Pub. Data	  	Publication No.	  	Grant Date	  	Grant No.	  	Expiry Date
	 IT
	  	2007-Nov-09	  	07840007.4	  		  		  	2010-Jul-14	  	2082621	  	2027-Nov-09
	 IT
	  	2007-Nov-27	  	07862228.9	  		  		  	2011-Mar-02	  	2089656	  	2027-Nov-27
	 IT
	  	2007-Dec-07	  	07849372.3	  	2009-Sep-23	  	2103190-A	  		  		  	2027-Dec-07
	 IT
	  	2008-Mar-31	  	08737675.2	  	2010-Jan-13	  	2143303-A	  	2012-Aug-08	  	2143303	  	2028-Mar-31
	 IT
	  	2008-Apr-04	  	08737714.9	  		  		  	2010-Oct-06	  	2135005	  	2028-Apr-04
	 IT
	  	2008-May-09	  	08763076.0	  	2010-Feb-24	  	2156279-A	  	2011-Dec-21	  	2156279	  	2028-May-09
	 IT
	  	2008-Jun-23	  	08763422.6	  	2010-Mar-17	  	2163132-A	  		  		  	2028-Jun-23
	 IT
	  	2008-Aug-14	  	08789608.0	  		  		  	2011-Apr-27	  	2181565	  	2028-Aug-14
	 IT
	  	2008-Dec-02	  	08857778.8	  	2010-Sep-29	  	2232951-A	  	2011-Jul-06	  	2232951	  	
	 IT
	  	2008-Dec-29	  	08870459.8	  	2010-Sep-22	  	2229803-A	  	2011-Oct-26	  	2229803	  	2028-Dec-29
	 JP
	  	1997-Aug-08	  	98-512405	  	2007-Mar-14	  	P3892909	  	2006-Dec-15	  	3892909	  	2017-Aug-08
	 JP
	  	1997-Sep-08	  	98-518128	  	2000-Feb-29	  	00-502500	  	2007-Nov-16	  	4040688	  	2017-Sep-08
	 JP
	  	1998-Jan-22	  	98-529200	  	2000-Jun-06	  	00-507042	  	2007-Sep-21	  	4014227	  	2018-Jan-22
	 JP
	  	1998-Jul-16	  	99-510709	  	2001-Jan-30	  	01-501361	  	2008-Jul-25	  	4159119	  	2018-Jul-16
	 JP
	  	1998-Jul-16	  	99-510708	  	2001-Jan-30	  	01-501360	  	2009-Feb-20	  	4260226	  	2018-Jul-16
	 JP
	  	1998-Jul-27	  	99-510721	  	2001-Jan-30	  	01-501363	  	2009-Jan-09	  	4240546	  	2018-Jul-27
	 JP
	  	1998-Jul-28	  	2000-505424	  		  		  		  		  	2018-Jul-28
	 JP
	  	1998-Aug-26	  	2003-028908	  	2004-Jan-08	  	04-006253	  	2008-Dec-12	  	4230236	  	2018-Aug-26
	 JP
	  	1998-Dec-17	  	00-539392	  	2004-Apr-15	  	04-511878	  	2011-Apr-08	  	4718008	  	2018-Dec-17
	 JP
	  	1998-Dec-17	  	2007-186183	  	2008-Feb-14	  	08-034385	  	2010-Feb-05	  	4451899	  	2018-Dec-17
	 JP
	  	1998-Dec-17	  	09-051067	  		  		  		  		  	2018-Dec-17
	 JP
	  	1998-Dec-17	  	2011-86460	  		  		  		  		  	2018-Dec-17
	 JP
	  	1999-Sep-08	  	00-572611	  	2002-Aug-13	  	02-525836	  	2009-Sep-18	  	4376464	  	2019-Sep-08
	 JP
	  	1999-Sep-17	  	2000-572951	  	2003-Oct-07	  	03-529889	  	2009-Aug-28	  	4366016	  	2019-Sep-17
	 JP
	  	1999-Dec-02	  	08-75819	  	2008-Aug-28	  	2008-198618	  	2010-Dec-10	  	4642870	  	2019-Dec-02
	 JP
	  	1999-Dec-02	  	00-589914	  	2002-Oct-08	  	02-533870	  	2008-Jun-27	  	4147004	  	2019-Dec-02
	 JP
	  	2000-Jul-14	  	2001-510276	  	2003-Feb-04	  	03-504829	  	2008-Dec-12	  	4230145	  	2020-Jul-14
	 JP
	  	2000-Jul-28	  	01-515660	  	2003-Feb-18	  	03-506838	  		  		  	2020-Jul-28
	 JP
	  	2000-Sep-15	  	01-527610	  	2003-Mar-18	  	03-511006	  	2010-Apr-30	  	4502353	  	2020-Sep-15
	 JP
	  	2000-Oct-10	  	01-534928	  	2003-Apr-08	  	03-513453	  	2012-Jan-20	  	4908709	  	2020-Oct-10
	 JP
	  	2000-Oct-12	  	01-534929	  	2003-Apr-08	  	03-513420	  	2011-Apr-28	  	4731079	  	2020-Oct-12
	 JP
	  	2000-Oct-12	  	01-534931	  	2003-Apr-08	  	03-513454	  	2012-Jan-20	  	4908710	  	2020-Oct-12
	 JP
	  	2000-Nov-17	  	11-041957	  		  		  		  		  	2020-Nov-17
	 JP
	  	2000-Nov-17	  	01-542388	  	2003-May-07	  	03-515956	  		  		  	2020-Nov-17
	 JP
	  	2001-Jan-08	  	01-557340	  	2003-Jul-22	  	03-522393	  	2011-Apr-28	  	4731085	  	2021-Jan-08
	 JP
	  	2001-Apr-24	  	2001-578157	  	2003-Oct-21	  	2003-531467	  		  		  	2021-Apr-24
	 JP
	  	2001-Apr-24	  	11-093193	  		  		  		  		  	2021-Apr-24
	 JP
	  	2001-Jun-21	  	2002-504188	  	2004-Jan-15	  	04-501497	  	2011-Jul-01	  	4773673	  	2021-Jun-21
	 JP
	  	2001-Aug-20	  	01-248530	  	2002-Apr-26	  	02-124104	  	2011-May-27	  	4749623	  	2021-Aug-20
	 JP
	  	2001-Sep-05	  	02-526803	  	2004-Mar-25	  	04-509431	  	2011-May-27	  	4749653	  	2021-Sep-05
	 JP
	  	2001-Nov-09	  	02-543265	  	2004-May-13	  	04-514252	  	2009-Apr-17	  	4294954	  	2021-Nov-09
	 JP
	  	2001-Dec-03	  	02-549030	  	2004-May-27	  	04-515891	  	2008-Apr-25	  	4116435	  	2021-Dec-03
	 JP
	  	2001-Dec-12	  	02-553873	  	2004-Jun-10	  	04-517445	  	2008-Mar-14	  	4094952	  	2021-Dec-12
	 JP
	  	2001-Dec-12	  	02-553872	  	2004-Jun-10	  	04-517444	  	2009-Feb-20	  	4263484	  	2021-Dec-12
	 JP
	  	2002-Feb-28	  	02-570478	  	2004-Aug-19	  	04-525563	  	2008-Jun-20	  	4141840	  	2022-Feb-28
	 JP
	  	2002-Mar-14	  	02-573484	  	2004-Jul-02	  	04-519826	  	2008-Apr-25	  	4117196	  	2022-Mar-14
	 JP
	  	2002-Apr-25	  	02-588121	  	2004-Sep-16	  	04-528566	  	2008-Jan-18	  	4067973	  	2022-Apr-25
	 JP
	  	2002-May-10	  	2002-588729	  	2005-Apr-07	  	05-509245	  	2008-Oct-31	  	4208576	  	2022-May-10
	 JP
	  	2002-May-24	  	02-592686	  	2004-Sep-02	  	04-527138	  	2011-Jan-07	  	4657579	  	2022-May-24
	 JP
	  	2002-May-30	  	2007-320844	  	2008-Apr-03	  	2008-78162	  	2010-Mar-12	  	4474457	  	2022-May-30
	 JP
	  	2002-May-30	  	2003-501242	  	2005-Apr-14	  	05-510007	  	2009-Jul-31	  	4351040	  	2022-May-30
	 JP
	  	2002-Jun-05	  	2003-502812	  	2004-Nov-11	  	04-534355	  	2008-Aug-22	  	4173091	  	2022-Jun-05
	 JP
	  	2002-Jul-18	  	03-514856	  	2004-Dec-02	  	04-536433	  	2008-Jun-13	  	4139326	  	2022-Jul-18
	 JP
	  	2002-Jul-29	  	03-527366	  	2005-Jan-27	  	05-502869	  	2008-Mar-21	  	4098237	  	2022-Jul-29
	 JP
	  	2002-Aug-09	  	03-521671	  	2005-Jan-06	  	05-500680	  	2009-Aug-21	  	4360903	  	2022-Aug-09
	 JP
	  	2002-Sep-17	  	2003-529819	  	2005-Feb-10	  	05-504411	  	2010-May-28	  	4518793	  	2022-Sep-17
	 JP
	  	2002-Sep-17	  	09-29980	  		  		  		  		  	2022-Sep-17
	 JP
	  	2002-Sep-30	  	03-535510	  	2005-Feb-24	  	05-505940-A	  	2009-May-29	  	4317751	  	2022-Sep-30
	 JP
	  	2002-Oct-16	  	03-539396	  	2005-Mar-17	  	05-507546	  	2008-Jul-11	  	4152885	  	2022-Oct-16
	 JP
	  	2002-Nov-15	  	03-550561	  	2005-Apr-28	  	2005-512334	  	2009-Aug-07	  	4353804	  	2022-Nov-15
	 JP
	  	2002-Nov-29	  	03-553881	  	2005-May-12	  	05-513724	  	2008-Oct-10	  	4198599	  	2022-Nov-29
	 JP
	  	2002-Dec-09	  	03-557260	  	2005-May-12	  	2005-513754	  	2011-Jan-28	  	4672259	  	2022-Dec-09
	 JP
	  	2002-Dec-20	  	03-557257	  	2005-May-12	  	05-513819	  	2010-Dec-10	  	4642355	  	2022-Dec-20
	 JP
	  	2003-Feb-06	  	03-568937	  	2005-Jun-16	  	05-518102	  	2010-Nov-26	  	4633363	  	2023-Feb-06
	 JP
	  	2003-Feb-06	  	2003-567137	  	2005-Jun-09	  	05-517278	  	2010-Dec-24	  	4652691	  	2023-Feb-06
	 JP
	  	2003-May-09	  	04-504577	  	2005-Aug-18	  	05-524960	  	2009-Jul-24	  	4347794	  	2023-May-09
	 JP
	  	2003-Jun-12	  	04-515363	  	2005-Oct-13	  	05-531140	  	2010-Jul-30	  	4558484	  	2023-Jun-12

  

					
		 	Page 13 of 23	  	17 August 2012

 Annex A to the LED-based Luminaire and Retrofit Bulb Patent License Agreement 

List of Patents 
  

															
	 CTY
	  	Fil.Date	  	Application No.	  	Pub. Data	  	Publication No.	  	Grant Date	  	Grant No.	  	Expiry Date
	 JP
	  	2003-Aug-28	  	2004-531526	  	2005-Dec-08	  	05-537613	  	2010-Nov-12	  	4625697	  	2023-Aug-28
	 JP
	  	2003-Oct-10	  	2003-351532	  	2004-Apr-30	  	2004-134804	  	2011-Mar-25	  	4707315	  	2023-Oct-10
	 JP
	  	2003-Dec-03	  	03-404464	  	2004-Jul-02	  	04-186159	  	2010-Sep-17	  	4588994	  	2023-Dec-03
	 JP
	  	2003-Dec-11	  	2004-561862	  	2006-Mar-30	  	2006-511082	  		  		  	2023-Dec-11
	 JP
	  	2003-Dec-11	  	04-561838	  	2006-Mar-30	  	06-511078	  	2012-Jan-13	  	4901104	  	2023-Dec-11
	 JP
	  	2003-Dec-12	  	04-561856	  	2006-Mar-30	  	06-511081	  	2011-Sep-09	  	4818610	  	2023-Dec-12
	 JP
	  	2003-Dec-18	  	2004-563472	  	2006-Apr-13	  	2006-512883	  	2010-Mar-19	  	4477509	  	2023-Dec-18
	 JP
	  	2004-Apr-22	  	2006-506559	  	2006-Nov-09	  	2006-525664	  	2012-Mar-30	  	4959324	  	2024-Apr-22
	 JP
	  	2004-Apr-22	  	10-249882	  		  		  		  		  	2024-Apr-22
	 JP
	  	2004-Apr-22	  	2006-506560	  	2006-Nov-09	  	2006-525634	  		  		  	2024-Apr-22
	 JP
	  	2004-Apr-30	  	2006-506595	  	2006-Nov-09	  	2006-525665	  	2012-Mar-30	  	4959325	  	2024-Apr-30
	 JP
	  	2004-Jul-21	  	2006-520640	  	2006-Dec-14	  	2006-528419	  		  		  	2024-Jul-21
	 JP
	  	2004-Sep-07	  	06-525258	  	2007-Mar-08	  	2007-505448	  	2011-Feb-18	  	4685016	  	2024-Sep-07
	 JP
	  	2004-Sep-21	  	06-527545	  	2007-Mar-22	  	2007-507069	  	2011-Jan-14	  	4663644	  	2024-Sep-21
	 JP
	  	2004-Nov-05	  	06-539036	  	2007-May-10	  	2007-511903	  		  		  	2024-Nov-05
	 JP
	  	2004-Dec-09	  	04-382425	  	2005-Aug-18	  	05-224094	  	2011-Jul-08	  	4778226	  	2024-Dec-09
	 JP
	  	2005-Mar-14	  	07-504024	  	2007-Oct-25	  	07-529872	  		  		  	2025-Mar-14
	 JP
	  	2005-Mar-14	  	11-088313	  		  		  		  		  	2025-Mar-14
	 JP
	  	2005-Mar-23	  	07-507874	  	2007-Nov-15	  	07-533092	  	2011-Jul-29	  	4792459	  	2025-Mar-23
	 JP
	  	2005-Apr-27	  	07-512612	  	2007-Dec-13	  	2007-536720	  	2011-Apr-15	  	4722126	  	2025-Apr-27
	 JP
	  	2005-May-02	  	07-512634	  	2007-Dec-13	  	07-536722	  		  		  	2025-May-02
	 JP
	  	2005-Jun-23	  	07-518425	  	2008-Feb-14	  	08-504654	  	2011-Jul-15	  	4782785	  	2025-Jun-23
	 JP
	  	2005-Jun-28	  	07-518790	  	2008-Feb-21	  	08-505439	  	2011-Jul-29	  	4790710	  	2025-Jun-28
	 JP
	  	2005-Jul-14	  	07-522092	  	2008-Mar-13	  	08-507817	  		  		  	2025-Jul-14
	 JP
	  	2005-Sep-19	  	07-534125	  		  		  	2012-Feb-24	  	4931819	  	2025-Sep-19
	 JP
	  	2005-Sep-20	  	07-534133	  	2008-May-15	  	2008-516377	  	2011-May-27	  	4751397	  	2025-Sep-20
	 JP
	  	2005-Oct-26	  	07-538580	  		  		  		  		  	2025-Oct-26
	 JP
	  	2005-Nov-09	  	07-542385	  		  		  		  		  	2025-Nov-09
	 JP
	  	2005-Nov-24	  	07-542477	  		  		  		  		  	2025-Nov-24
	 JP
	  	2005-Dec-02	  	2007-546202	  		  		  		  		  	
	 JP
	  	2006-Jan-18	  	07-550928	  	2008-Jul-24	  	2008-527667	  		  		  	2026-Jan-18
	 JP
	  	2006-Apr-19	  	08-508358	  		  		  		  		  	2026-Apr-19
	 JP
	  	2006-May-08	  	08-554218	  		  		  		  		  	2026-May-08
	 JP
	  	2006-May-10	  	08-512970	  		  		  	2011-Aug-26	  	4808250	  	2026-May-10
	 JP
	  	2006-May-23	  	2008-513654	  		  		  		  		  	2026-May-23
	 JP
	  	2006-May-23	  	2012-020810	  		  		  		  		  	
	 JP
	  	2006-May-24	  	08-513004	  		  		  		  		  	2026-May-24
	 JP
	  	2006-Sep-25	  	2012-151758	  		  		  		  		  	
	 JP
	  	2006-Sep-25	  	08-531873	  	2009-Jun-04	  	2009-521777-A	  		  		  	2026-Sep-25
	 JP
	  	2006-Oct-02	  	08-534125	  	2009-Mar-19	  	09-512264	  	2012-Apr-13	  	4971338	  	2026-Oct-02
	 JP
	  	2006-Nov-13	  	08-540755	  		  		  		  		  	2026-Nov-13
	 JP
	  	2006-Nov-20	  	08-540774	  	2009-Apr-23	  	2009-516895	  		  		  	2026-Nov-20
	 JP
	  	2006-Dec-06	  	08-545175	  	2009-May-14	  	09-519489	  		  		  	2026-Dec-06
	 JP
	  	2006-Dec-11	  	08-543993	  		  		  		  		  	2026-Dec-11
	 JP
	  	2006-Dec-13	  	08-546734	  		  		  		  		  	2026-Dec-13
	 JP
	  	2006-Dec-20	  	08-546051	  	2009-May-21	  	02520331-A	  		  		  	2026-Dec-20
	 JP
	  	2007-Jan-10	  	08-550883	  		  		  		  		  	2027-Jan-10
	 JP
	  	2007-Jan-26	  	08-551939	  	2009-Jul-09	  	09525595-A	  		  		  	2027-Jan-26
	 JP
	  	2007-Mar-02	  	08-558950	  		  		  		  		  	2027-Mar-02
	 JP
	  	2007-Mar-02	  	2008-557867	  		  		  		  		  	2027-Mar-02
	 JP
	  	2007-Apr-20	  	2009-508558	  	2009-Oct-01	  	2009-535833A	  		  		  	2027-Apr-20
	 JP
	  	2007-May-02	  	2009-508612	  	2009-Oct-01	  	2009-536779A	  		  		  	2027-May-02
	 JP
	  	2007-Jun-19	  	2009-517512	  		  		  		  		  	2027-Jun-19
	 JP
	  	2007-Jun-20	  	2009-517521	  	2009-Dec-03	  	2009-543280	  		  		  	2027-Jun-20
	 JP
	  	2007-Jun-21	  	09-516049	  	2009-Nov-26	  	2009-541929	  		  		  	2027-Jun-21
	 JP
	  	2007-Jul-05	  	09-523375	  		  		  		  		  	2027-Jul-05
	 JP
	  	2007-Aug-09	  	09-544826	  		  		  		  		  	2027-Aug-09
	 JP
	  	2007-Aug-17	  	09-524056	  		  		  		  		  	2027-Aug-17
	 JP
	  	2007-Aug-22	  	09-524853	  		  		  		  		  	2027-Aug-22
	 JP
	  	2007-Sep-03	  	09-527254	  		  		  		  		  	2027-Sep-03
	 JP
	  	2007-Sep-18	  	09-529809	  		  		  		  		  	2027-Sep-18
	 JP
	  	2007-Sep-20	  	09-530979	  		  		  		  		  	2027-Sep-20
	 JP
	  	2007-Sep-20	  	09-530978	  		  		  		  		  	2027-Sep-20
	 JP
	  	2007-Sep-20	  	09-530977	  		  		  		  		  	2027-Sep-20
	 JP
	  	2007-Sep-20	  	09-528563	  		  		  		  		  	2027-Sep-20
	 JP
	  	2007-Oct-11	  	09-531966	  		  		  		  		  	2027-Oct-11
	 JP
	  	2007-Oct-19	  	09-533388	  		  		  		  		  	2027-Oct-19

  

					
		 	Page 14 of 23	  	17 August 2012

 Annex A to the LED-based Luminaire and Retrofit Bulb Patent License Agreement 

List of Patents 
  

															
	 CTY
	  	Fil.Date	  	Application No.	  	Pub. Data	  	Publication No.	  	Grant Date	  	Grant No.	  	Expiry Date
	 JP
	  	2007-Oct-31	  	09-533629	  		  		  		  		  	2027-Oct-31
	 JP
	  	2007-Nov-06	  	09-535848	  		  		  		  		  	2027-Nov-06
	 JP
	  	2007-Nov-09	  	09-536318	  		  		  		  		  	2027-Nov-09
	 JP
	  	2007-Nov-27	  	09-538825	  		  		  		  		  	2027-Nov-27
	 JP
	  	2007-Nov-27	  	09-538417	  		  		  		  		  	2027-Nov-27
	 JP
	  	2007-Dec-05	  	09-540909	  		  		  		  		  	2027-Dec-05
	 JP
	  	2007-Dec-07	  	09-539865	  		  		  		  		  	2027-Dec-07
	 JP
	  	2007-Dec-11	  	09-539580	  		  		  		  		  	2027-Dec-11
	 JP
	  	2007-Dec-11	  	09-539581	  		  		  		  		  	2027-Dec-11
	 JP
	  	2007-Dec-12	  	09-540561	  		  		  		  		  	2027-Dec-12
	 JP
	  	2008-Mar-31	  	10-501631	  		  		  		  		  	2028-Mar-31
	 JP
	  	2008-Apr-04	  	10-501646	  		  		  		  		  	2028-Apr-04
	 JP
	  	2008-Apr-15	  	10-503645	  		  		  		  		  	2028-Apr-15
	 JP
	  	2008-Apr-21	  	10-504932	  		  		  		  		  	2028-Apr-21
	 JP
	  	2008-Apr-23	  	10-504945	  		  		  		  		  	2028-Apr-23
	 JP
	  	2008-Apr-28	  	10-504964	  		  		  		  		  	2028-Apr-28
	 JP
	  	2008-Apr-30	  	2010-507530	  		  		  		  		  	2028-Apr-30
	 JP
	  	2008-May-02	  	2010-507545	  		  		  		  		  	2028-May-02
	 JP
	  	2008-May-09	  	10-508013	  		  		  		  		  	2028-May-09
	 JP
	  	2008-May-30	  	10-510926	  		  		  	2011-Oct-28	  	4850969	  	2028-May-30
	 JP
	  	2008-Jun-09	  	10-511758	  		  		  		  		  	2028-Jun-09
	 JP
	  	2008-Jun-23	  	10-514203	  		  		  		  		  	2028-Jun-23
	 JP
	  	2008-Jun-30	  	10-514221	  		  		  		  		  	2028-Jun-30
	 JP
	  	2008-Jul-21	  	10-517525	  		  		  		  		  	2028-Jul-21
	 JP
	  	2008-Aug-14	  	10-520668	  		  		  		  		  	2028-Aug-14
	 JP
	  	2008-Nov-24	  	10-535490	  		  		  		  		  	2028-Nov-24
	 JP
	  	2008-Dec-02	  	10-536566	  		  		  		  		  	2028-Dec-02
	 JP
	  	2008-Dec-02	  	10-536567	  		  		  		  		  	2028-Dec-02
	 JP
	  	2008-Dec-16	  	10-539006	  		  		  		  		  	2028-Dec-16
	 JP
	  	2008-Dec-22	  	2010-539035	  		  		  		  		  	2028-Dec-22
	 JP
	  	2008-Dec-29	  	2010-540211	  		  		  		  		  	2028-Dec-29
	 KR
	  	1998-Jan-22	  	98-707511	  	2000-Nov-06	  	10-2000-0064753	  	2005-Feb-03	  	0471705	  	2018-Jan-22
	 KR
	  	1999-Sep-08	  	10-2000-7005688	  		  		  	2007-Nov-08	  	10-0776837	  	2019-Sep-08
	 KR
	  	1999-Sep-17	  	10-2000-7005691	  		  		  	2007-Mar-26	  	10-0702273	  	2019-Sep-17
	 KR
	  	2001-Jan-08	  	2001-7012370	  		  		  	2007-Jun-28	  	10-0735943	  	2021-Jan-08
	 KR
	  	2001-Dec-12	  	10-2002-7011159	  		  		  	2008-Feb-13	  	10-0805396	  	2021-Dec-12
	 KR
	  	2002-Mar-19	  	10-2002-7016146	  		  		  	2008-May-26	  	10-0834185	  	2022-Mar-19
	 KR
	  	2002-Apr-25	  	10-2003-7000231	  		  		  	2008-Oct-17	  	10-0865222	  	2022-Apr-25
	 KR
	  	2002-May-14	  	10-2002-7006159	  		  		  	2007-Dec-14	  	10-0788062	  	2021-Sep-05
	 KR
	  	2002-Jun-07	  	10-2003-7001707	  		  		  	2008-May-19	  	10-0832161	  	2022-Jun-07
	 KR
	  	2002-Jun-21	  	10-2003-7002792	  		  		  	2009-Jul-24	  	10-0910128	  	2022-Jun-21
	 KR
	  	2002-Jul-23	  	10-2003-7004098	  		  		  	2009-Sep-01	  	10-0916178	  	2022-Jul-23
	 KR
	  	2002-Nov-29	  	10-2004-7009711	  		  		  	2011-Jan-24	  	10-1011662	  	2022-Nov-29
	 KR
	  	2002-Dec-20	  	10-2004-7010172	  		  		  	2010-Apr-28	  	10-0956305	  	2022-Dec-20
	 KR
	  	2003-Feb-06	  	10-2004-7012496	  		  		  	2010-May-25	  	10-0960825	  	2023-Feb-06
	 KR
	  	2003-Jun-12	  	10-2004-7020971	  		  		  	2010-Jun-21	  	10-0966514	  	2023-Jun-12
	 KR
	  	2003-Dec-03	  	10-2003-0087088	  		  		  	2010-Nov-11	  	10-0994952	  	2023-Dec-03
	 KR
	  	2003-Dec-11	  	10-2005-7011572	  		  		  	2010-Sep-08	  	10-0982167	  	2023-Dec-11
	 KR
	  	2003-Dec-11	  	10-2005-7011369	  		  		  	2010-Aug-19	  	10-0978019	  	2023-Dec-11
	 KR
	  	2003-Dec-18	  	10-2011-7011987	  		  		  		  		  	
	 KR
	  	2003-Dec-18	  	10-2005-7011977	  		  		  		  		  	2023-Dec-18
	 KR
	  	2003-Dec-18	  	10-2005-7011980	  		  		  	2011-Mar-21	  	10-1025176	  	2023-Dec-18
	 KR
	  	2004-Apr-30	  	10-2005-7020971	  		  		  		  		  	2024-Apr-30
	 KR
	  	2004-Nov-05	  	10-2006-7009277	  		  		  		  		  	2024-Nov-05
	 KR
	  	2004-Dec-09	  	10-2004-103566	  		  		  	2011-Nov-07	  	10-1083083	  	2024-Dec-09
	 KR
	  	2005-Mar-14	  	10-2006-7021272	  		  		  		  		  	2025-Mar-14
	 KR
	  	2005-Apr-27	  	10-2006-7025486	  		  		  		  		  	2025-Apr-27
	 KR
	  	2005-May-02	  	10-2006-7025609	  		  		  		  		  	2025-May-02
	 KR
	  	2005-Sep-19	  	10-2007-7009712	  		  		  	2012-May-11	  	10-1147342	  	2025-Sep-19
	 KR
	  	2005-Nov-24	  	10-2007-7014805	  		  		  		  		  	2025-Nov-24
	 KR
	  	2006-Apr-19	  	10-2007-7027589	  		  		  		  		  	2026-Apr-19
	 KR
	  	2006-May-08	  	10-2008-7022053	  		  		  		  		  	2026-May-08
	 KR
	  	2006-May-10	  	10-2007-7030185	  		  		  		  		  	2026-May-10
	 KR
	  	2006-May-23	  	10-2007-7029980	  		  		  		  		  	2026-May-23
	 KR
	  	2006-May-24	  	10-2007-7030347	  		  		  		  		  	2026-May-24
	 KR
	  	2006-Sep-25	  	10-2008-7010046	  		  		  		  		  	2026-Sep-25
	 KR
	  	2006-Nov-20	  	10-2008-7015070	  		  		  		  		  	2026-Nov-20

  

					
		 	Page 15 of 23	  	17 August 2012

 Annex A to the LED-based Luminaire and Retrofit Bulb Patent License Agreement 

List of Patents 
  

															
	 CTY
	  	Fil.Date	  	Application No.	  	Pub. Data	  	Publication No.	  	Grant Date	  	Grant No.	  	Expiry Date
	 KR
	  	2006-Dec-06	  	10-2008-7017076	  		  		  		  		  	2026-Dec-06
	 KR
	  	2006-Dec-11	  	10-2008-7016877	  		  		  		  		  	2026-Dec-11
	 KR
	  	2006-Dec-20	  	10-2008-7016959	  		  		  		  		  	2026-Dec-20
	 KR
	  	2007-Jan-10	  	10-2008-7020167	  		  		  		  		  	2027-Jan-10
	 KR
	  	2007-Jan-26	  	10-2008-7021117	  		  		  		  		  	2027-Jan-26
	 KR
	  	2007-Apr-20	  	10-2008-7029364	  		  		  		  		  	2027-Apr-20
	 KR
	  	2007-May-02	  	10-2008-7030125	  		  		  		  		  	2027-May-02
	 KR
	  	2007-Jun-20	  	10-2009-7002014	  		  		  		  		  	2027-Jun-20
	 KR
	  	2007-Jun-21	  	10-2009-7001463	  		  		  		  		  	2027-Jun-21
	 KR
	  	2007-Aug-09	  	10-2009-7016344	  		  		  		  		  	2027-Aug-09
	 KR
	  	2007-Aug-17	  	10-2009-7005417	  		  		  		  		  	2027-Aug-17
	 KR
	  	2007-Aug-22	  	10-2009-7005632	  		  		  		  		  	2027-Aug-22
	 KR
	  	2007-Sep-20	  	10-2009-7009232	  		  		  		  		  	2027-Sep-20
	 KR
	  	2007-Sep-20	  	10-2009-7009353	  		  		  		  		  	2027-Sep-20
	 KR
	  	2007-Sep-20	  	10-2009-7009080	  		  		  		  		  	2027-Sep-20
	 KR
	  	2007-Sep-20	  	10-2009-7007947	  		  		  		  		  	2027-Sep-20
	 KR
	  	2007-Oct-11	  	10-2009-7010027	  		  		  		  		  	2027-Oct-11
	 KR
	  	2007-Oct-19	  	10-2009-7010127	  		  		  		  		  	2027-Oct-19
	 KR
	  	2007-Oct-31	  	10-2009-7011106	  		  		  		  		  	2027-Oct-31
	 KR
	  	2007-Nov-09	  	10-2009-7011892	  		  		  		  		  	2027-Nov-09
	 KR
	  	2007-Nov-27	  	10-2009-7013310	  		  		  		  		  	2027-Nov-27
	 KR
	  	2007-Dec-11	  	10-2009-7014358	  		  		  		  		  	2027-Dec-11
	 KR
	  	2007-Dec-11	  	10-2009-7014433	  		  		  		  		  	2027-Dec-11
	 KR
	  	2007-Dec-12	  	10-2009-7014503	  		  		  		  		  	2027-Dec-12
	 KR
	  	2008-Apr-15	  	10-2009-702477	  		  		  		  		  	2028-Apr-15
	 KR
	  	2008-Apr-23	  	10-2009-7024700	  		  		  		  		  	2028-Apr-23
	 KR
	  	2008-Apr-28	  	10-2009-7025193	  		  		  		  		  	2028-Apr-28
	 KR
	  	2008-May-02	  	10-2009-7025447	  		  		  		  		  	2028-May-02
	 KR
	  	2008-May-09	  	10-2009-7026170	  		  		  		  		  	2028-May-09
	 KR
	  	2008-Jul-21	  	10-2010-7003857	  		  		  		  		  	2028-Jul-21
	 KR
	  	2008-Dec-02	  	10-2010-7015021	  		  		  		  		  	2028-Dec-02
	 KR
	  	2008-Dec-02	  	10-2010-7014991	  		  		  		  		  	2028-Dec-02
	 KR
	  	2008-Dec-22	  	10-2010-7016494	  		  		  		  		  	2028-Dec-22
	 KR
	  	2008-Dec-29	  	10-2010-7017189	  		  		  		  		  	2028-Dec-29
	 MX
	  	2007-Sep-20	  	A/2009/003541	  		  		  	2011-Aug-04	  	288977	  	2027-Sep-20
	 MX
	  	2007-Oct-11	  	2009/003898	  		  		  	2012-May-21	  	299363	  	2027-Oct-11
	 MX
	  	2007-Oct-31	  	MX/A/09/004521	  		  		  	2011-Apr-04	  	285403	  	2027-Oct-30
	 MX
	  	2007-Nov-27	  	MX/A/09/005600	  		  		  		  		  	2027-Nov-27
	 MX
	  	2007-Dec-07	  	2009/005915	  		  		  	2011-Aug-15	  	289327	  	2027-Dec-07
	 MX
	  	2009-Mar-18	  	2009/002916	  		  		  	2011-Apr-04	  	285404	  	2029-Mar-18
	 MY
	  	2002-Jun-28	  	PI20022452	  		  		  	2007-Aug-30	  	MY-131472-A	  	2022-Aug-30
	 MY
	  	2006-May-23	  	PI20062381	  		  		  		  		  	
	 NL
	  	1998-Jan-22	  	98900141.7	  	1999-Jan-13	  	0890059-A1	  	2004-Jun-23	  	0890059	  	2018-Jan-22
	 NL
	  	1999-Sep-03	  	99943116.6	  		  		  	2003-Nov-05	  	1110198	  	2019-Sep-03
	 NL
	  	1999-Sep-17	  	99948820.8	  		  		  	2008-Jan-16	  	1046196	  	2019-Sep-17
	 NL
	  	2000-Jul-14	  	00950360.8	  	2002-Jul-24	  	1224845	  	2005-Nov-02	  	1224845	  	2020-Jul-14
	 NL
	  	2000-Jul-14	  	05077467.8	  		  		  	2009-May-06	  	1624728	  	2020-Jul-14
	 NL
	  	2000-Nov-20	  	00980578.9	  	2002-Aug-28	  	1234140	  	2005-Aug-10	  	1234140	  	2020-Nov-20
	 NL
	  	2001-Apr-24	  	03028671.0	  		  		  	2010-Apr-14	  	1422975	  	2021-Apr-24
	 NL
	  	2001-Apr-24	  	07075990.7	  	2008-Feb-13	  	1887836	  	2012-Mar-07	  	1887836	  	2021-Apr-24
	 NL
	  	2001-Aug-14	  	01203099.5	  		  		  	2009-Oct-14	  	1182396	  	2021-Aug-14
	 NL
	  	2001-Oct-25	  	01997118.3	  		  		  	2009-Jun-17	  	1337784	  	2021-Oct-25
	 NL
	  	2002-Jun-21	  	02738518.6	  		  		  	2008-Dec-10	  	1405551	  	2022-Jun-21
	 NL
	  	2003-May-09	  	03736588.9	  		  		  	2008-Dec-03	  	1502483	  	2023-May-09
	 NL
	  	2003-Aug-28	  	03791823.2	  		  		  	2010-Jan-13	  	1535495	  	2023-Aug-28
	 NL
	  	2005-Nov-09	  	05809900.3	  		  		  	2011-Feb-09	  	1815536	  	2025-Nov-09
	 NL
	  	2006-May-24	  	06765708.0	  		  		  	2009-Mar-18	  	1889519	  	2026-May-24
	 NL
	  	2006-Dec-13	  	06842469.6	  	2008-Sep-10	  	1966624	  	2011-Jun-29	  	1966624	  	2026-Dec-13
	 NL
	  	2007-Apr-20	  	07735597.2	  	2009-Jan-21	  	2016804-A	  	2011-Jun-29	  	2016804	  	2027-Apr-20
	 NL
	  	2007-Sep-20	  	07826476.9	  		  		  	2011-Mar-02	  	2074866	  	2027-Sep-20
	 NL
	  	2007-Nov-06	  	07826984.2	  		  		  	2010-Jul-28	  	2082620	  	2027-Nov-06
	 NL
	  	2007-Nov-27	  	07862228.9	  		  		  	2011-Mar-02	  	2089656	  	2027-Nov-27
	 NL
	  	2008-Apr-04	  	08737714.9	  		  		  	2010-Oct-06	  	2135005	  	2028-Apr-04
	 NL
	  	2008-Dec-02	  	08857778.8	  	2010-Sep-29	  	2232951-A	  	2011-Jul-06	  	2232951	  	2028-Dec-02
	 NO
	  	2007-Jun-19	  	20090389	  		  		  		  		  	2027-Jun-01
	 NO
	  	2008-Dec-02	  	08857778.8	  	2010-Sep-29	  	2232951-A	  	2011-Jul-06	  	2232951	  	2028-Dec-02
	 PL
	  	2005-Nov-09	  	05809900.3	  		  		  	2011-Feb-09	  	1815536	  	2025-Nov-09

  

					
		 	Page 16 of 23	  	17 August 2012

 Annex A to the LED-based Luminaire and Retrofit Bulb Patent License Agreement 

List of Patents 
  

															
	 CTY
	  	Fil.Date	  	Application No.	  	Pub. Data	  	Publication No.	  	Grant Date	  	Grant No.	  	Expiry Date
	 PL
	  	2006-May-24	  	06765708.0	  		  		  	2009-Mar-18	  	1889519	  	2026-May-24
	 PL
	  	2006-Dec-13	  	06842469.6	  	2008-Sep-10	  	1966624	  	2011-Jun-29	  	1966624	  	2026-Dec-13
	 PL
	  	2007-Nov-27	  	07862228.9	  		  		  	2011-Mar-02	  	2089656	  	2027-Nov-27
	 PL
	  	2008-Mar-31	  	08737675.2	  	2010-Jan-13	  	2143303-A	  	2012-Aug-08	  	2143303	  	2028-Mar-31
	 PL
	  	2008-Dec-02	  	08857778.8	  	2010-Sep-29	  	2232951-A	  	2011-Jul-06	  	2232951	  	2028-Dec-02
	 PT
	  	2001-Apr-24	  	03028671.0	  		  		  	2010-Apr-14	  	1422975	  	2021-Apr-24
	 PT
	  	2001-Apr-24	  	07075990.7	  	2008-Feb-13	  	1887836	  	2012-Mar-07	  	1887836	  	2021-Apr-24
	 PT
	  	2002-Jun-21	  	02738518.6	  	2009-Mar-12	  	20090312	  	2008-Dec-10	  	1405551	  	2022-Jun-21
	 PT
	  	2003-May-09	  	03736588.9	  		  		  	2008-Dec-03	  	1502483	  	2023-May-09
	 RU
	  	2006-Nov-13	  	2008124163	  	2009-Dec-27	  	2008124163-A	  	2011-Aug-20	  	2426939	  	2026-Nov-13
	 RU
	  	2006-Dec-20	  	2008129778	  	2010-Jan-27	  	2008129778-A	  	2011-Aug-20	  	2427109	  	2026-Dec-20
	 RU
	  	2007-Mar-02	  	2008139417	  	2010-Apr-20	  	NO. 11	  	2011-Aug-27	  	2427954	  	2027-Mar-02
	 RU
	  	2007-Apr-20	  	2008147407	  	2010-Jun-10	  	2008147407	  	2011-May-27	  	2420043	  	2027-Apr-20
	 RU
	  	2007-Aug-09	  	2009129947	  	2011-Feb-10	  	2009129947	  		  		  	2027-Aug-09
	 RU
	  	2007-Aug-17	  	2009109424	  	2010-Oct-27	  	2009109424-A	  	2012-Apr-27	  	2449212	  	2027-Aug-17
	 RU
	  	2007-Aug-22	  	2009110170	  	2010-Sep-27	  	27	  		  		  	2027-Aug-22
	 RU
	  	2007-Sep-18	  	2009115864	  	2011-Nov-10	  	2009115864A	  	2011-Dec-20	  	2437184	  	2027-Sep-18
	 RU
	  	2007-Sep-20	  	2009117249	  		  		  	2011-Apr-10	  	2416179	  	2027-Sep-20
	 RU
	  	2007-Sep-20	  	2009117251	  	2010-Nov-20	  	NO.32	  	2011-Aug-27	  	2427983	  	2027-Sep-20
	 RU
	  	2007-Sep-20	  	2009117223	  	2010-Nov-20	  	2009117223-A	  	2011-Sep-10	  	2428822	  	2027-Sep-20
	 RU
	  	2007-Sep-20	  	2009114716	  	2010-Oct-27	  	2009114716-A	  	2012-Apr-10	  	2447624	  	2027-Sep-20
	 RU
	  	2007-Oct-19	  	2009118599	  		  		  		  		  	2027-Oct-19
	 RU
	  	2007-Oct-31	  	2009120477	  	2010-Dec-10	  	NO.34	  		  		  	2027-Oct-31
	 RU
	  	2007-Nov-09	  	2009122178	  	2010-Dec-20	  	2009122178-A	  		  		  	2027-Nov-09
	 RU
	  	2007-Nov-27	  	2009124921	  	2011-Jan-10	  	2009124921	  		  		  	2027-Nov-27
	 RU
	  	2007-Nov-27	  	2009124435	  	2011-Jan-10	  	2009124435-A	  	2012-Mar-27	  	2446348	  	2027-Nov-27
	 RU
	  	2007-Dec-11	  	2009126539	  	2011-Jan-20	  	2009126539	  		  		  	2027-Dec-11
	 RU
	  	2007-Dec-11	  	2009126538	  	2011-Jan-20	  	2009126538-A	  	2012-Jun-10	  	2453078	  	2027-Dec-11
	 RU
	  	2007-Dec-12	  	2009126568	  	2011-Aug-25	  	2009126568-A	  		  		  	2027-Dec-12
	 RU
	  	2008-Mar-31	  	2009140317	  	2011-May-10	  	2009140317-A	  		  		  	2028-Mar-31
	 RU
	  	2008-Apr-04	  	2009140774	  	2011-May-10	  	2009140774	  		  		  	2028-Apr-04
	 RU
	  	2008-Apr-30	  	2009145107	  	2011-Jun-20	  	2009145107-A	  		  		  	2028-Apr-30
	 RU
	  	2008-May-02	  	2009145081	  	2011-Jun-20	  	2009145081-A	  		  		  	2028-May-02
	 RU
	  	2008-Dec-02	  	2010128104	  	2012-Jan-20	  	2010128104 A	  		  		  	2028-Dec-02
	 RU
	  	2008-Dec-02	  	2010128098	  	2012-Jan-20	  	2010128098-A	  		  		  	2028-Dec-02
	 RU
	  	2008-Dec-16	  	2010129425	  	2012-Jan-27	  	2010129425-A	  		  		  	2028-Dec-16
	 RU
	  	2008-Dec-22	  	2010130662	  	2012-Jan-27	  	2010130662-A	  		  		  	2028-Dec-22
	 RU
	  	2008-Dec-29	  	201032148	  	2012-Feb-10	  	2010132148 A	  		  		  	2028-Dec-29
	 SE
	  	1998-Aug-26	  	98944539.0	  		  		  	2002-Aug-07	  	1016062	  	2018-Aug-26
	 SE
	  	2001-Apr-24	  	03028671.0	  		  		  	2010-Apr-14	  	1422975	  	2021-Apr-24
	 SE
	  	2001-Apr-24	  	07075990.7	  	2008-Feb-13	  	1887836	  	2012-Mar-07	  	1887836	  	2021-Apr-24
	 SE
	  	2001-Oct-25	  	01997118.3	  		  		  	2009-Jun-17	  	1337784	  	2021-Oct-25
	 SE
	  	2002-Jun-21	  	02738518.6	  		  		  	2008-Dec-10	  	1405551	  	2022-Jun-21
	 SE
	  	2003-May-09	  	03736588.9	  		  		  	2008-Dec-03	  	1502483	  	2023-May-09
	 SE
	  	2003-Aug-28	  	03791823.2	  		  		  	2010-Jan-13	  	1535495	  	2023-Aug-28
	 SE
	  	2005-Jul-14	  	05763182.2	  	2007-Apr-11	  	1772044-A	  		  		  	2025-Jul-14
	 SE
	  	2006-May-24	  	06765708.0	  		  		  	2009-Mar-18	  	1889519	  	2026-May-24
	 SE
	  	2007-Nov-27	  	07862228.9	  		  		  	2011-Mar-02	  	2089656	  	2027-Nov-27
	 SE
	  	2008-Apr-04	  	08737714.9	  		  		  	2010-Oct-06	  	2135005	  	2028-Apr-04
	 SE
	  	2008-Dec-02	  	08857778.8	  	2010-Sep-29	  	2232951-A	  	2011-Jul-06	  	2232951	  	2028-Dec-02
	 TR
	  	2001-Apr-24	  	03028671.0	  		  		  	2010-Apr-14	  	1422975	  	2021-Apr-24
	 TR
	  	2001-Apr-24	  	07075990.7	  	2008-Feb-13	  	1887836	  	2012-Mar-07	  	TR 2012 05504 T4	  	2021-Apr-24
	 TR
	  	2003-May-09	  	03736588.9	  		  		  	2008-Dec-03	  	2009/01179	  	2023-May-09
	 TR
	  	2007-Dec-07	  	07849372.3	  	2009-Sep-23	  	2103190-A	  		  		  	2027-Dec-07
	 TR
	  	2008-Mar-31	  	08737675.2	  	2010-Jan-13	  	2143303-A	  	2012-Aug-08	  	2143303	  	2028-Mar-31
	 TR
	  	2008-Jun-23	  	08763422.6	  	2010-Mar-17	  	2163132-A	  		  		  	2028-Jun-23
	 TR
	  	2008-Dec-02	  	08857778.8	  	2010-Sep-29	  	2232951-A	  	2011-Jul-06	  	TR 2011 09543 T4	  	2028-Dec-02
	 TW
	  	1997-Jun-26	  	86108962	  	1998-Apr-21	  	330233	  	1998-Aug-01	  	093750	  	2017-Jun-25
	 TW
	  	1997-Oct-28	  	86115967	  	2000-Mar-11	  	384583	  	2000-Mar-11	  	112395	  	2017-Oct-27
	 TW
	  	2000-Oct-12	  	089217682	  	2002-Oct-01	  	505352	  	2003-Feb-11	  	UM-194837	  	2012-Oct-11
	 TW
	  	2001-Mar-07	  	090105228	  	2006-Dec-21	  	I-269514	  	2006-Dec-21	  	I-269514	  	2021-Mar-06
	 TW
	  	2001-Nov-02	  	090127304	  	2002-Dec-01	  	512548	  	2003-Apr-03	  	NI-167363	  	2021-Nov-01
	 TW
	  	2002-Jan-28	  	091101387	  	2003-Jun-01	  	535455	  	2003-Sep-22	  	NI-178628	  	2022-Jan-27
	 TW
	  	2002-Mar-25	  	091105724	  	2007-Oct-21	  	I288910	  	2007-Oct-21	  	I288910	  	2022-Mar-24
	 TW
	  	2002-Jun-18	  	091113240	  	2003-Oct-11	  	557587	  	2004-Feb-05	  	187949	  	2022-Jun-17
	 TW
	  	2002-Sep-05	  	091120295	  	2005-Feb-11	  	I227778	  	2005-Feb-11	  	I227778	  	2022-Sep-04
	 TW
	  	2002-Oct-02	  	091122749	  	2005-Jan-01	  	I226208	  	2005-Jan-01	  	I226208	  	2022-Oct-01

  

					
		 	Page 17 of 23	  	17 August 2012

 Annex A to the LED-based Luminaire and Retrofit Bulb Patent License Agreement 

List of Patents 
  

															
	 CTY
	  	Fil.Date	  	Application No.	  	Pub. Data	  	Publication No.	 	Grant Date	  	Grant No.	  	Expiry Date
	 TW
	  	2002-Oct-14	  	091116352	  	2007-Nov-01	  	I289339	 	2007-Nov-01	  	I289339	  	2022-Oct-13
	 TW
	  	2002-Dec-20	  	091136808	  	2003-Sep-01	  	I284002	 	2007-Jul-11	  	I284002	  	2022-Dec-19
	 TW
	  	2003-Feb-11	  	092102751	  	2003-Sep-01	  	I279764	 	2007-Apr-21	  	I279764	  	2023-Feb-10
	 TW
	  	2003-Oct-09	  	092128124	  	2004-Sep-01	  	200416643-A	 	2012-Feb-21	  	I358688	  	2023-Oct-09
	 TW
	  	2003-Dec-16	  	092135551	  	2004-Dec-16	  	200428896	 		  		  	2023-Dec-16
	 TW
	  	2003-Dec-17	  	092135784	  	2004-Nov-01	  	200423433	 	2011-Jun-11	  	I343658	  	2023-Dec-17
	 TW
	  	2003-Dec-23	  	092136559	  	2004-Nov-01	  	200423021	 		  		  	2023-Dec-23
	 TW
	  	2004-May-04	  	093112540	  	2005-Feb-16	  	200507300	 	2011-Sep-21	  	I349376	  	2024-May-04
	 TW
	  	2004-May-05	  	093112693	  	2005-Feb-01	  	200505059	 		  		  	2024-May-05
	 TW
	  	2004-Sep-06	  	093126823	  	2005-Apr-16	  	I329724	 	2010-Sep-01	  	I329724	  	2024-Sep-06
	 TW
	  	2004-Nov-10	  	093134369	  	2005-Jul-01	  	200521954	 		  		  	2024-Nov-10
	 TW
	  	2004-Dec-09	  	093138177	  	2005-Dec-16	  	200541197-A	 	2012-Jun-01	  	I365589	  	2024-Dec-09
	 TW
	  	2005-Sep-26	  	094133269	  	2006-Jun-01	  	200617322-A	 	2011-Aug-21	  	I347421	  	2025-Sep-26
	 TW
	  	2005-Nov-15	  	094140158	  	2007-Feb-01	  	200701514	 		  		  	2025-Nov-15
	 TW
	  	2005-Nov-25	  	094141604	  	2006-Sep-16	  	200633593-A	 		  		  	2025-Nov-25
	 TW
	  	2006-Apr-25	  	095114717	  	2007-Jan-16	  	200704282-A	 		  		  	2026-Apr-25
	 TW
	  	2006-May-22	  	095118135	  	2007-Feb-01	  	200704967-A	 		  		  	2026-May-22
	 TW
	  	2006-May-22	  	095118163	  	2007-Jan-16	  	20073206	 		  		  	2026-May-22
	 TW
	  	2006-Sep-22	  	095135135	  	2007-Dec-16	  	200745482-A	 		  		  	2026-Sep-22
	 TW
	  	2006-Nov-21	  	095143025	  	2008-Jan-16	  	200804917-A	 		  		  	2026-Nov-21
	 TW
	  	2006-Dec-08	  	095146251	  	2007-Aug-16	  	200730768-A	 		  		  	2026-Dec-08
	 TW
	  	2006-Dec-12	  	095146499	  	2007-Oct-01	  	200735930-A	 		  		  	2026-Dec-12
	 TW
	  	2007-Jan-16	  	096101623	  	2007-Dec-16	  	200746901-A	 		  		  	2027-Jan-16
	 TW
	  	2007-Jan-29	  	096103240	  	2008-Jan-01	  	200803618-A	 		  		  	2027-Jan-29
	 TW
	  	2007-Apr-27	  	096115127	  	2008-Jan-01	  	200803605-A	 		  		  	2027-Apr-27
	 TW
	  	2007-Jun-22	  	096122541	  	2008-Feb-16	  	200810610-A	 		  		  	2027-Jun-22
	 TW
	  	2007-Jul-04	  	096124329	  	2008-Jun-01	  	200824499-A	 		  		  	2027-Jul-04
	 TW
	  	2007-Aug-06	  	096128882	  	2008-Aug-16	  	200834137A	 		  		  	2027-Aug-06
	 TW
	  	2007-Sep-26	  	096135772	  	2008-Jun-01	  	200823438	 		  		  	2027-Sep-26
	 TW
	  	2007-Oct-03	  	096137104	  	2008-Sep-01	  	200836585-A	 		  		  	2027-Oct-03
	 TW
	  	2007-Oct-03	  	096137124	  	2008-Sep-16	  	200838351-A	 		  		  	2027-Oct-03
	 TW
	  	2007-Oct-03	  	096137085	  	2008-Nov-16	  	200845807*A	 		  		  	2027-Oct-03
	 TW
	  	2007-Nov-07	  	096142100	  	2008-Sep-01	  	200836586-A	 		  		  	2027-Nov-07
	 TW
	  	2007-Dec-05	  	096146364	  	2008-Oct-16	  	200841767-A	 		  		  	2027-Dec-05
	 TW
	  	2008-Apr-24	  	097115122	  	2009-Mar-16	  	200913786-A	 		  		  	2028-Apr-24
	 TW
	  	2008-Apr-30	  	097116009	  	2009-Mar-16	  	200913780-A	 		  		  	2028-Apr-30
	 TW
	  	2008-May-13	  	097117601	  	2009-Feb-01	  	200905543-A	 		  		  	2028-May-13
	 TW
	  	2008-Jun-24	  	097123569	  	2009-May-01	  	200920172-A	 		  		  	2028-Jun-24
	 TW
	  	2008-Jun-30	  	097124610	  	2009-May-16	  	200922370-A	 		  		  	2028-Jun-30
	 TW
	  	2008-Jul-21	  	097127685	  	2009-Apr-16	  	200916687-A	 		  		  	2028-Jul-21
	 TW
	  	2008-Nov-27	  	097146017	  	2009-Jul-16	  	200932037-A	 		  		  	2028-Nov-27
	 US
	  	1996-Sep-03	  	08/707274	  		  		 	1999-Jun-01	  	5909429	  	2016-Sep-03
	 US
	  	1997-Aug-26	  	08/920156	  		  		 	2000-Jan-18	  	6016038	  	2017-Aug-26
	 US
	  	1997-Oct-14	  	08/943310	  		  		 	1999-Sep-07	  	5947587	  	2017-Oct-14
	 US
	  	1998-Jan-23	  	09/012319	  		  		 	2001-Jun-26	  	6250774	  	2018-Jan-23
	 US
	  	1998-Jul-28	  	09/493119	  		  		 	2004-Sep-28	  	6796680	  	2018-Jul-28
	 US
	  	1998-Aug-03	  	09/128147	  		  		 	2000-Jan-11	  	6013988	  	2018-Aug-03
	 US
	  	1998-Aug-03	  	09/128148	  		  		 	2000-Jul-25	  	6094014	  	2018-Aug-03
	 US
	  	1998-Dec-17	  	09/213537	  		  		 	2001-Sep-18	  	6292901	  	2017-Aug-26
	 US
	  	1998-Dec-17	  	09/213189	  		  		 	2002-Oct-01	  	6459919	  	2017-Aug-26
	 US
	  	1998-Dec-17	  	09/213659	  		  		 	2001-Apr-03	  	6211626	  	2017-Aug-26
	 US
	  	1998-Dec-17	  	09/215624	  		  		 	2003-Mar-04	  	6528954	  	2017-Aug-26
	 US
	  	1998-Dec-17	  	09/213548	  		  		 	2000-Dec-26	  	6166496	  	2018-Dec-17
	 US
	  	1998-Dec-17	  	09/213581	  		  		 	2006-May-02	  	7038398	  	2017-Aug-26
	 US
	  	1998-Dec-17	  	09/213540	  	2001-Oct-11	  	2001-0028227-A1	 	2004-Apr-13	  	6720745	  	2017-Aug-26
	 US
	  	1998-Dec-18	  	09/216262	  		  		 	2000-Oct-03	  	6127783	  	2018-Dec-18
	 US
	  	1999-Jun-15	  	09/333739	  	2003-Apr-24	  	2003-0076281-A1	 	2008-Apr-01	  	7352339	  	2017-Dec-25
	 US
	  	1999-Jun-29	  	09/342828	  		  		 	2000-Nov-14	  	6147458	  	2019-Jun-29
	 US
	  	1999-Aug-10	  	09/371374	  		  		 	2002-Jan-22	  	6340864	  	2019-Aug-10
	 US
	  	1999-Sep-03	  	09/786457	  		  		 	2004-Jan-13	  	6676284	  	2019-Sep-03
	 US
	  	1999-Sep-15	  	09/396561	  		  		 	2001-May-22	  	6234645	  	2019-Sep-15
	 US
	  	1999-Sep-24	  	09/406284	  		  		 	2001-May-22	  	6234648	  	2019-Sep-24
	 US
	  	1999-Sep-24	  	09/856806	  		  		 	2003-Aug-26	  	6609813	  	2019-Nov-24
	 US
	  	1999-Sep-27	  	09/406648	  		  		 	2000-Dec-05	  	6157093	  	2019-Sep-27
	 US
	  	1999-Oct-22	  	09/425770	  		  		 	2000-Nov-21	  	6150774	  	2017-Aug-26
	 US
	  	1999-Nov-01	  	09/431583	  		  		 	2001-Jun-19	  	6249088	  	2019-Nov-01
	 US
	  	1999-Nov-01	  	09/431585	  		  		 	2001-Mar-13	  	6201353	  	2019-Nov-01

  

					
		 	Page 18 of 23	  	17 August 2012

 Annex A to the LED-based Luminaire and Retrofit Bulb Patent License Agreement 

List of Patents 
  

															
	 CTY
	  	Fil.Date	  	Application No.	  	Pub. Data	  	Publication No.	  	Grant Date	  	Grant No.	  	Expiry Date
	 US
	  	1999-Nov-01	  	09/431584	  		  		  	2001-Feb-27	  	6194839	  	2019-Nov-01
	 US
	  	1999-Dec-02	  	09/453420	  		  		  	2003-Feb-04	  	6513949	  	2019-Dec-02
	 US
	  	2000-Jul-06	  	09/610717	  		  		  	2001-Oct-16	  	6304464	  	2020-Jul-06
	 US
	  	2000-Jul-14	  	09/616214	  		  		  	2006-Nov-21	  	7139617	  	2023-Jan-05
	 US
	  	2000-Jul-27	  	09/626905	  		  		  	2002-Jan-22	  	6340868	  	2017-Aug-26
	 US
	  	2000-Sep-15	  	09/663050	  		  		  	2002-Sep-03	  	6445139	  	2018-Dec-18
	 US
	  	2000-Sep-25	  	09/669121	  		  		  	2004-Oct-19	  	6806659	  	2017-Aug-26
	 US
	  	2000-Nov-15	  	09/713185	  		  		  	2003-Jan-14	  	6507158	  	2021-Feb-18
	 US
	  	2000-Nov-20	  	09/716819	  		  		  	2006-Mar-21	  	7014336	  	2020-Nov-20
	 US
	  	2000-Dec-07	  	09/732197	  		  		  	2002-Aug-27	  	6441558	  	2020-Dec-07
	 US
	  	2000-Dec-27	  	09/749154	  		  		  	2002-Dec-17	  	6495964	  	2019-Feb-05
	 US
	  	2000-Dec-27	  	09/749170	  		  		  	2002-Jun-25	  	6411046	  	2020-Dec-27
	 US
	  	2001-Jan-31	  	09/773159	  		  		  	2003-Jun-17	  	6580309	  	2021-Jan-31
	 US
	  	2001-Mar-08	  	09/802104	  	2002-Sep-12	  	2002-0126020-A1	  	2004-Dec-14	  	6831569	  	2022-Jul-10
	 US
	  	2001-Mar-13	  	09/805368	  	2002-Apr-25	  	2002-0048169 A1	  	2007-Mar-06	  	7186003	  	2018-May-04
	 US
	  	2001-Mar-13	  	09/805590	  	2002-Jun-13	  	2002-0070688-A1	  	2006-Jun-20	  	7064498	  	2017-Aug-26
	 US
	  	2001-Mar-16	  	09/810142	  	2002-Oct-10	  	2002-0145041-A1	  	2003-Jan-28	  	6510995	  	2021-Mar-16
	 US
	  	2001-Mar-19	  	09/811984	  		  		  	2002-May-07	  	6384545	  	2021-Mar-19
	 US
	  	2001-Mar-22	  	09/815418	  	2002-Apr-25	  	2002-0047646-A1	  	2003-Jun-10	  	6577080	  	2017-Aug-26
	 US
	  	2001-Mar-29	  	09/820517	  	2002-Nov-21	  	2002-0171373-A1	  	2003-Jan-14	  	6507159	  	2021-Jun-21
	 US
	  	2001-May-08	  	09/851099	  	2003-Jan-16	  	2003-0011832-A1	  	2006-Jan-31	  	6992803	  	2023-Sep-27
	 US
	  	2001-May-25	  	09/865895	  	2002-Nov-28	  	2002-0176262-A1	  	2003-Jun-10	  	6577512	  	2021-May-25
	 US
	  	2001-May-30	  	09/870418	  	2002-Jun-20	  	2002-0078221-A1	  	2008-Apr-01	  	7353071	  	2023-Jul-10
	 US
	  	2001-May-30	  	09/870193	  	2002-Apr-25	  	2002-0047628-A1	  	2003-Aug-19	  	6608453	  	2017-Aug-26
	 US
	  	2001-Jun-07	  	09/876661	  	2003-Feb-13	  	2003-0030808-A1	  	2004-May-25	  	6741351	  	2021-Jun-07
	 US
	  	2001-Jun-21	  	09/886958	  	2002-Mar-28	  	2002-0038157-A1	  	2007-Jun-05	  	7228190	  	2023-Nov-08
	 US
	  	2001-Jul-02	  	09/897329	  	2003-Jan-02	  	2003-0001521-A1	  	2003-Oct-28	  	6639368	  	2021-Jul-12
	 US
	  	2001-Jul-26	  	09/917294	  	2002-Apr-18	  	2002-0044066-A1	  	2006-Apr-18	  	7031920	  	2019-Sep-22
	 US
	  	2001-Jul-26	  	09/915700	  	2003-Jan-30	  	2003-0020415-A1	  	2003-Sep-09	  	6617795	  	2021-Jul-26
	 US
	  	2001-Aug-03	  	09/922211	  	2003-Feb-06	  	2003-0025120-A1	  	2003-Sep-16	  	6621235	  	2022-Jan-01
	 US
	  	2001-Aug-15	  	09/930735	  	2003-Feb-20	  	2003-0034742-A1	  	2004-May-11	  	6734639	  	2021-Aug-16
	 US
	  	2001-Aug-20	  	09/933557	  	2002-Apr-18	  	2002-0044456-A1	  	2003-May-13	  	6561690	  	2021-Aug-20
	 US
	  	2001-Sep-06	  	09/948209	  	2002-Apr-25	  	2002-0048177-A1	  	2003-Oct-21	  	6636003	  	2021-Sep-06
	 US
	  	2001-Oct-04	  	09/971367	  	2002-May-16	  	2002-0057061-A1	  	2004-Sep-07	  	6788011	  	2017-Aug-26
	 US
	  	2001-Oct-05	  	09/972111	  	2003-Apr-10	  	2003-0066945-A1	  	2003-Jul-22	  	6596977	  	2021-Nov-29
	 US
	  	2001-Oct-22	  	10/083329	  	2003-Apr-24	  	2003-0076056-A1	  	2003-Oct-07	  	6630801	  	2021-Oct-22
	 US
	  	2001-Oct-25	  	10/045629	  	2002-Nov-21	  	2002-0171378-A1	  	2005-Nov-22	  	6967448	  	2022-Nov-22
	 US
	  	2001-Dec-05	  	10/012000	  	2003-Jun-05	  	2003-0102819-A1	  	2003-Jul-01	  	6586890	  	2021-Dec-05
	 US
	  	2001-Dec-19	  	10/024737	  		  		  	2003-Apr-22	  	6552495	  	2021-Dec-19
	 US
	  	2001-Dec-21	  	10/028140	  	2003-Jun-26	  	2003-0117591-A1	  	2005-Aug-23	  	6932477	  	2021-Dec-21
	 US
	  	2001-Dec-27	  	10/029831	  	2003-Jul-03	  	2003-0122507-A1	  	2004-Apr-20	  	6724159	  	2021-Dec-27
	 US
	  	2001-Dec-28	  	10/037490	  	2003-Jul-03	  	2003-0122502-A1	  	2005-Feb-08	  	6853150	  	2021-Dec-28
	 US
	  	2002-Feb-19	  	10/078221	  	2002-Oct-10	  	2002-0145394-A1	  	2007-Jan-09	  	7161556	  	2022-Oct-28
	 US
	  	2002-May-10	  	10/143549	  	2002-Dec-26	  	2002-0195975-A1	  	2004-Oct-05	  	6801003	  	2017-Aug-26
	 US
	  	2002-May-30	  	10/159593	  	2003-Jan-16	  	2003-0011538-A1	  	2007-May-22	  	7221104	  	2019-May-28
	 US
	  	2002-May-30	  	10/158579	  	2003-Mar-27	  	2003-0057886-A1	  	2004-Aug-17	  	6777891	  	2017-Aug-28
	 US
	  	2002-Jun-05	  	10/163164	  	2004-Dec-28	  	2004-0212320-A1	  	2007-Jun-12	  	7231060	  	2020-Jun-28
	 US
	  	2002-Jun-05	  	10/163085	  	2003-Feb-06	  	2003-0028260-A1	  	2007-Jun-19	  	7233831	  	2022-Jun-30
	 US
	  	2002-Jun-13	  	10/171463	  	2003-Mar-27	  	2003-0057887-A1	  	2007-Jul-10	  	7242152	  	2017-Sep-04
	 US
	  	2002-Jun-17	  	10/174499	  	2003-Mar-27	  	2003-0057890-A1	  	2005-Dec-13	  	6975079	  	2018-Dec-25
	 US
	  	2002-Jun-25	  	10/179352	  	2003-Dec-25	  	2003-0234342-A1	  	2006-Feb-14	  	6998594	  	2022-Aug-03
	 US
	  	2002-Jul-18	  	10/483862	  		  		  	2005-Dec-06	  	6972525	  	2022-Jul-30
	 US
	  	2002-Jul-18	  	10/483861	  	2004-Sep-16	  	2004-0178749-A1	  	2005-Jul-26	  	6922022	  	2022-Jul-18
	 US
	  	2002-Jul-29	  	10/489044	  	2004-Dec-16	  	2004-0251404-A1	  	2008-Jan-29	  	7323676	  	2022-Oct-02
	 US
	  	2002-Sep-17	  	10/245788	  	2003-Jul-17	  	2003-0133292-A1	  		  		  	
	 US
	  	2002-Sep-17	  	10/245786	  	2003-Jul-24	  	2003-0137258-A1	  	2005-Nov-15	  	6965205	  	2017-Aug-26
	 US
	  	2002-Sep-26	  	10/255565	  	2003-May-29	  	2003-0100837-A1	  	2007-Dec-11	  	7308296	  	2017-Nov-06
	 US
	  	2002-Nov-19	  	10/299870	  		  		  	2004-Jul-13	  	6762562	  	2022-Nov-19
	 US
	  	2002-Nov-22	  	10/302315	  	2003-Apr-10	  	2003-0067773-A1	  	2004-Feb-17	  	6692136	  	2019-Dec-02
	 US
	  	2002-Dec-19	  	10/323445	  	2003-May-08	  	2003-0085749-A1	  	2006-Jul-04	  	7071762	  	2021-Jan-31
	 US
	  	2003-Feb-06	  	10/504139	  	2005-Apr-28	  	2005-0088209-A1	  	2008-Dec-09	  	7463070	  	2024-Jan-18
	 US
	  	2003-Feb-06	  	10/360594	  	2004-Aug-19	  	2004-0160199-A1	  	2007-Apr-10	  	7202613	  	2017-Aug-26
	 US
	  	2003-Apr-22	  	10/420506	  	2004-Feb-19	  	2004-0032226-A1	  	2005-Nov-29	  	6969954	  	2021-Aug-07
	 US
	  	2003-May-09	  	10/435687	  	2004-Oct-28	  	2004-0212321-A1	  	2006-May-02	  	7038399	  	2017-Dec-22
	 US
	  	2003-Aug-28	  	10/650476	  	2004-May-13	  	2004-0090787-A1	  	2007-Apr-17	  	7204622	  	2024-Jan-09
	 US
	  	2003-Oct-03	  	10/678971	  	2004-Jul-08	  	2004-0130909-A1	  	2007-Nov-27	  	7300192	  	2017-Aug-27
	 US
	  	2003-Oct-09	  	10/684066	  		  		  	2005-Aug-16	  	6930452	  	2023-Oct-09

  

					
		 	Page 19 of 23	  	17 August 2012

 Annex A to the LED-based Luminaire and Retrofit Bulb Patent License Agreement 

List of Patents 
  

 

															
	 CTY
	  	Fil.Date	  	Application No.	  	Pub. Data	  	Publication No.	  	Grant Date	  	Grant No.	  	Expiry Date
	 US
	  	2003-Oct-30	  	10/698019	  	2004-Aug-12	  	2004-0155609-A1	  	2006-Nov-07	  	7132804	  	2018-Mar-07
	 US
	  	2003-Nov-04	  	10/701132	  	2004-May-13	  	2004-0090191-A1	  	2007-Jan-09	  	7161311	  	2017-Aug-26
	 US
	  	2003-Nov-10	  	10/705643	  	2004-Jun-03	  	2004-0105261-A1	  	2008-Jun-17	  	7387405	  	2017-Aug-26
	 US
	  	2003-Nov-11	  	10/536260	  	2006-Jul-06	  	2006-0146528-A1	  	2008-Jan-01	  	7314289	  	2024-May-07
	 US
	  	2003-Dec-02	  	10/726854	  		  		  	2006-Apr-18	  	7030572	  	2024-Mar-19
	 US
	  	2003-Dec-11	  	10/539981	  		  		  	2007-Aug-28	  	7262559	  	2024-Jan-15
	 US
	  	2003-Dec-12	  	10/539980	  	2006-Mar-23	  	2006-0061288-A1	  	2008-Oct-07	  	7432668	  	2024-May-06
	 US
	  	2003-Dec-18	  	10/540671	  	2006-Apr-20	  	2006-0082397-A1	  	2008-Oct-28	  	7443209	  	2025-Oct-17
	 US
	  	2004-Jan-12	  	10/755156	  		  		  	2006-Oct-10	  	7118248	  	2020-Feb-28
	 US
	  	2004-Feb-27	  	10/789062	  	2004-Oct-28	  	2004-0212323-A1	  	2005-Aug-23	  	6933685	  	2021-Dec-27
	 US
	  	2004-Mar-18	  	10/803540	  	2004-Dec-23	  	2004-0257007-A1	  	2007-Feb-20	  	7180252	  	2018-Nov-03
	 US
	  	2004-Mar-26	  	10/810481	  	2004-Sep-16	  	2004-0178751-A1	  	2007-Sep-25	  	7274160	  	2017-Sep-28
	 US
	  	2004-Apr-12	  	10/822579	  		  		  	2005-Feb-08	  	6853151	  	2022-Nov-19
	 US
	  	2004-Apr-21	  	10/828933	  	2005-Jun-02	  	2005-0116667-A1	  	2008-Apr-15	  	7358929	  	2019-Mar-10
	 US
	  	2004-Apr-22	  	10/555677	  	2006-Oct-19	  	2006-0232219-A1	  	2011-Mar-22	  	7911151	  	2026-Sep-09
	 US
	  	2004-Apr-22	  	10/555678	  	2006-Dec-28	  	2006-0290710-A1	  	2008-Apr-15	  	7358961	  	2024-Sep-17
	 US
	  	2004-Apr-30	  	10/555680	  	2006-Nov-30	  	2006-0267514-A1	  	2009-Mar-31	  	7511436	  	2025-Apr-19
	 US
	  	2004-May-05	  	10/839765	  	2005-Jun-16	  	2005-0128751-A1	  	2007-Feb-20	  	7178941	  	2024-May-05
	 US
	  	2004-May-10	  	10/842257	  	2004-Dec-02	  	2004-0240890-A1	  	2007-Aug-07	  	7253566	  	2018-Jun-06
	 US
	  	2004-May-14	  	10/846775	  	2004-Oct-28	  	2004-0212993-A1	  	2008-Sep-23	  	7427840	  	2017-Aug-26
	 US
	  	2004-Jul-21	  	10/897309	  	2005-Mar-24	  	2005/0063063	  	2007-Aug-14	  	7255458	  	2024-Jul-21
	 US
	  	2004-Jul-22	  	10/897990	  	2005-Mar-24	  	2005/0062446	  	2006-Nov-28	  	7140752	  	2024-Aug-06
	 US
	  	2004-Aug-11	  	10/915947	  	2005-Feb-17	  	2005-0035728-A1	  	2008-Nov-11	  	7449847	  	2020-Jan-17
	 US
	  	2004-Aug-11	  	10/916018	  	2005-Mar-24	  	2005-0062440-A1	  	2006-Nov-14	  	7135824	  	2017-Sep-29
	 US
	  	2004-Aug-31	  	10/930345	  	2005-Feb-10	  	2005-0030744-A1	  	2007-Aug-14	  	7255457	  	2021-Mar-17
	 US
	  	2004-Sep-07	  	10/570866	  	2007-Jan-11	  	2007-0007898-A1	  	2009-Apr-21	  	7521872	  	2025-Feb-09
	 US
	  	2004-Sep-21	  	10/572846	  	2006-Dec-28	  	2006-0291199-A1	  	2010-May-11	  	7714521	  	2027-Sep-12
	 US
	  	2004-Sep-30	  	10/954334	  	2005-Mar-03	  	2005-0047134-A1	  	2010-Dec-07	  	7845823	  	2021-Feb-09
	 US
	  	2004-Oct-04	  	10/958168	  	2006-Jul-13	  	2006-0152172-A9	  		  		  	
	 US
	  	2004-Nov-03	  	10/980024	  	2005-Mar-24	  	2005-0063194-A1	  	2009-Apr-28	  	7525254	  	2019-Jun-21
	 US
	  	2004-Nov-05	  	10/578650	  	2007-Apr-12	  	2007-0080652-A1	  	2009-Aug-11	  	7573729	  	2025-Jan-05
	 US
	  	2004-Nov-16	  	10/990090	  	2005-Jul-14	  	2005-0151489-A1	  	2008-Nov-18	  	7453217	  	2018-Jun-23
	 US
	  	2004-Nov-22	  	10/995038	  	2005-Nov-10	  	2005-0248299-A1	  	2009-Mar-03	  	7502034	  	2024-Nov-22
	 US
	  	2004-Dec-09	  	11/010015	  	2005-Aug-04	  	2005-0168199	  	2007-Apr-10	  	7202641	  	2025-Oct-28
	 US
	  	2005-Jan-28	  	11/046176	  	2005-Sep-22	  	2005/0207166	  	2007-Sep-11	  	7267461	  	2025-Sep-21
	 US
	  	2005-Feb-07	  	11/052328	  		  		  	2006-Jun-27	  	7067992	  	2022-Nov-19
	 US
	  	2005-Feb-22	  	11/064069	  	2006-Jan-26	  	2006-0016960-A1	  	2009-Jan-27	  	7482565	  	2020-Dec-25
	 US
	  	2005-Mar-02	  	11/070870	  	2005-Dec-15	  	2005-0275626-A1	  		  		  	
	 US
	  	2005-Mar-08	  	11/076461	  	2005-Oct-27	  	2005-0236998-A1	  		  		  	
	 US
	  	2005-Mar-14	  	11/079461	  	2005-Sep-29	  	2005-0213352-A1	  	2008-Dec-02	  	7459864	  	2025-Mar-14
	 US
	  	2005-Mar-14	  	11/079904	  	2005-Sep-29	  	2005-0213353-A1	  	2009-Jul-07	  	7557521	  	2025-Sep-23
	 US
	  	2005-Mar-14	  	11/079450	  	2005-Oct-20	  	2005-0231133-A1	  	2007-Aug-14	  	7256554	  	2025-Mar-14
	 US
	  	2005-Mar-14	  	11/079928	  	2005-Oct-06	  	2005-0218838-A1	  	2007-Jun-19	  	7233115	  	2025-Jul-30
	 US
	  	2005-Mar-14	  	11/079448	  	2005-Oct-06	  	2005-0218870-A1	  	2010-Feb-09	  	7659673	  	2026-Dec-21
	 US
	  	2005-Mar-14	  	11/079905	  	2005-Oct-06	  	2005-0219872-A1	  	2008-Apr-15	  	7358706	  	2026-Mar-16
	 US
	  	2005-Mar-23	  	10/599860	  	2007-Aug-23	  	2007-0195525-A1	  	2009-Feb-17	  	7490953	  	2025-Apr-19
	 US
	  	2005-Mar-31	  	11/095916	  	2005-Nov-17	  	2005-0253533-A1	  	2008-Apr-15	  	7358679	  	2018-Feb-25
	 US
	  	2005-Apr-06	  	11/101046	  	2006-Jan-05	  	2006/0001381	  	2007-Apr-10	  	7202608	  	2025-Apr-06
	 US
	  	2005-Apr-14	  	11/106381	  	2005-Dec-29	  	2005-0285547-A1	  	2007-Jan-09	  	7161313	  	2017-Aug-26
	 US
	  	2005-Apr-27	  	11/568626	  	2008-Nov-20	  	2008-0284348-A1	  	2010-Mar-09	  	7675238	  	2027-Mar-13
	 US
	  	2005-May-02	  	11/568627	  	2007-Oct-04	  	2007-0230159-A1	  		  		  	2025-May-02
	 US
	  	2005-Jun-28	  	11/570944	  	2008-Nov-13	  	2008-0278094-A1	  	2010-Feb-23	  	7667409	  	2026-Oct-20
	 US
	  	2005-Jul-14	  	11/572229	  	2008-Apr-24	  	2008-0094003-A1	  	2010-Sep-07	  	7791289	  	2027-Dec-31
	 US
	  	2005-Aug-04	  	11/197283	  	2006-Feb-09	  	2006/0028156	  	2008-Feb-12	  	7329998	  	2026-Jul-22
	 US
	  	2005-Aug-05	  	11/198633	  		  		  	2009-Feb-17	  	7490957	  	2023-Mar-04
	 US
	  	2005-Aug-05	  	11/198248	  	2006-Apr-06	  	2006/0071823	  	2009-Jan-27	  	7482760	  	2025-Aug-05
	 US
	  	2005-Sep-12	  	11/225377	  	2006-Jun-22	  	2006-0132061-A1	  	2009-Jun-02	  	7542257	  	2026-Dec-23
	 US
	  	2005-Sep-19	  	11/575761	  	2008-Jun-12	  	2008-0137360-A1	  	2010-Oct-12	  	7810974	  	2026-Nov-13
	 US
	  	2005-Sep-20	  	11/576282	  	2009-Jul-16	  	2009-0179586-A1	  	2010-Jun-08	  	7731387	  	2027-Feb-13
	 US
	  	2005-Sep-29	  	11/241787	  	2006-Apr-20	  	2006/0082331	  	2008-Jul-01	  	7394210	  	2025-Sep-29
	 US
	  	2005-Oct-12	  	10/557817	  	2007-Jul-05	  	2007/0153026	  	2010-Jun-15	  	7738002	  	2027-May-05
	 US
	  	2005-Oct-12	  	10/558124	  	2007-May-17	  	2007/0108846	  	2009-Aug-11	  	7573209	  	2026-Jan-15
	 US
	  	2005-Oct-26	  	11/577995	  	2008-Jun-12	  	2008-0136350-A1	  	2011-Mar-15	  	7906917	  	2028-Jul-13
	 US
	  	2005-Nov-23	  	11/285980	  	2006-May-25	  	2006/0109219	  	2008-Sep-09	  	7423387	  	2026-Nov-22
	 US
	  	2005-Nov-24	  	11/719882	  	2009-Jul-02	  	2009-0168415-A1	  		  		  	2025-Nov-24
	 US
	  	2005-Dec-02	  	11/721512	  		  		  	2010-May-18	  	7719209	  	2026-Jan-27
	 US
	  	2005-Dec-20	  	11/313427	  	2006-Jul-20	  	2006-0158881-A1	  	2010-May-04	  	7710369	  	2029-Mar-03

  

					
		 	Page 20 of 23	  	17 August 2012

 Annex A to the LED-based Luminaire and Retrofit Bulb Patent License Agreement 

List of Patents 
  

 

															
	 CTY
	  	Fil.Date	  	Application No.	  	Pub. Data	  	Publication No.	  	Grant Date	  	Grant No.	  	Expiry Date
	 US
	  	2005-Dec-20	  	11/312205	  	2006-May-18	  	2006-0104058-A1	  	2008-Apr-08	  	7354172	  	2025-Mar-15
	 US
	  	2005-Dec-21	  	11/314190	  	2007-Feb-22	  	2007/0040512	  	2008-Jan-15	  	7319298	  	2025-Dec-21
	 US
	  	2005-Dec-30	  	11/322891	  	2006-May-25	  	2006-0109649-A1	  	2009-Apr-21	  	7520634	  	2017-Nov-15
	 US
	  	2006-Jan-03	  	11/325080	  	2007-Jul-05	  	2007-0152797-A1	  	2009-Nov-17	  	7619370	  	2028-Jan-06
	 US
	  	2006-Jan-05	  	10/567179	  		  		  		  		  	2026-Jan-05
	 US
	  	2006-Jan-18	  	11/813351	  	2008-Aug-28	  	2008-0203940-A1	  	2010-Oct-05	  	7808191	  	2027-Dec-26
	 US
	  	2006-Jan-25	  	11/339983	  	2006-Oct-26	  	2006/0239689	  	2010-Mar-30	  	7689130	  	2027-Jul-16
	 US
	  	2006-Mar-02	  	11/366364	  	2006-Sep-14	  	2006/0202914	  	2009-May-26	  	7538499	  	2027-Feb-20
	 US
	  	2006-Apr-06	  	10/583297	  	2008-Dec-04	  	2008-0297054-A1	  	2011-Feb-22	  	7893631	  	2026-Apr-06
	 US
	  	2006-Apr-18	  	11/379191	  	2006-Sep-21	  	2006-0208667-A1	  	2008-Apr-01	  	7352138	  	2017-Aug-26
	 US
	  	2006-Apr-19	  	11/912341	  	2008-Aug-07	  	2008-0185499-A1	  	2010-Jan-26	  	7652236	  	2026-Apr-19
	 US
	  	2006-May-08	  	11/429715	  	2007-Aug-16	  	2007-0188114-A1	  	2009-Mar-31	  	7511437	  	2027-Jul-10
	 US
	  	2006-May-10	  	11/915303	  	2008-Aug-14	  	2008-0192209-A1	  	2010-Aug-03	  	7766489	  	2027-Jan-19
	 US
	  	2006-May-19	  	11/436974	  	2007-Mar-08	  	2007/0051881	  	2008-Jun-17	  	7388665	  	2026-Jun-11
	 US
	  	2006-May-22	  	11/419660	  	2006-Nov-23	  	2006-0262521-A1	  	2011-Nov-22	  	8061865	  	2029-Jan-04
	 US
	  	2006-May-23	  	11/419995	  	2006-Nov-23	  	2006-0262544-A1	  	2010-Apr-27	  	7703951	  	2027-May-12
	 US
	  	2006-May-23	  	11/419998	  	2006-Nov-23	  	2006-0262545-A1	  	2010-Aug-03	  	7766518	  	2027-Dec-21
	 US
	  	2006-Jun-06	  	11/422589	  	2006-Dec-07	  	2006-0273741-A1	  	2010-Aug-17	  	7777427	  	2029-Jun-17
	 US
	  	2006-Jun-26	  	11/426338	  	2006-Nov-02	  	2006/0245174	  	2009-Aug-11	  	7573210	  	2026-Aug-10
	 US
	  	2006-Jul-14	  	11/485992	  	2007-Apr-26	  	2007/0091620	  	2010-Feb-23	  	7665883	  	2026-Nov-28
	 US
	  	2006-Aug-28	  	11/467713	  	2006-Dec-21	  	2006-0285325-A1	  	2008-Apr-01	  	7350936	  	2017-Aug-26
	 US
	  	2006-Sep-25	  	12/088360	  	2008-Nov-06	  	2008-0273331-A1	  	2010-Aug-28	  	7802902	  	2027-Jun-24
	 US
	  	2006-Oct-02	  	12/089236	  	2008-Nov-06	  	2008-0272743-A1	  	2011-Feb-22	  	7893661	  	2028-Mar-10
	 US
	  	2006-Oct-13	  	11/549593	  	2008-Sep-18	  	2008-0224024-A1	  	2010-Mar-30	  	7687753	  	2025-Oct-10
	 US
	  	2006-Oct-13	  	11/549576	  	2007-Mar-29	  	2007/0069664	  	2008-Sep-02	  	7420335	  	2025-Jun-19
	 US
	  	2006-Nov-13	  	12/093463	  	2008-Oct-16	  	2008-0253119-A1	  	2011-Mar-29	  	7914173	  	2027-Apr-28
	 US
	  	2006-Nov-17	  	11/561031	  	2007-Apr-19	  	2007-0086754-A1	  	2010-Oct-05	  	7809448	  	2020-Aug-23
	 US
	  	2006-Nov-20	  	12/094616	  	2008-Dec-04	  	2008-0298053-A1	  	2010-Jun-08	  	7731390	  	2026-Nov-20
	 US
	  	2006-Dec-06	  	12/096801	  	2008-Oct-30	  	2008-0265797-A1	  		  		  	2026-Dec-06
	 US
	  	2006-Dec-11	  	12/096613	  	2008-Dec-04	  	2008-0298054-A1	  	2011-Feb-01	  	7878688	  	2027-Aug-16
	 US
	  	2006-Dec-13	  	12/097927	  	2009-Jan-01	  	2009-0002981-A1	  		  		  	2026-Dec-13
	 US
	  	2006-Dec-20	  	11/613442	  	2007-Apr-19	  	2007/0085489	  	2008-Apr-15	  	7358681	  	2025-Apr-06
	 US
	  	2006-Dec-20	  	12/158019	  	2009-May-28	  	2009-0134817-A1	  	2011-Aug-16	  	7999484	  	2027-Sep-26
	 US
	  	2006-Dec-22	  	11/615124	  	2007-Sep-06	  	2007-0206375-A1	  	2009-Jun-23	  	7550935	  	2018-May-15
	 US
	  	2007-Jan-10	  	12/160947	  		  		  	2011-Sep-20	  	8022632	  	2028-Mar-16
	 US
	  	2007-Jan-22	  	11/625608	  	2007-May-24	  	2007-0115658-A1	  	2011-Jun-14	  	7959320	  	2017-Aug-26
	 US
	  	2007-Jan-22	  	11/625622	  	2007-May-24	  	2007-0115665-A1	  	2009-Aug-11	  	7572028	  	2017-Nov-10
	 US
	  	2007-Jan-26	  	12/162372	  	2009-Jan-22	  	2009-0021182-A1	  	2012-Jul-10	  	8217587	  	2027-Jan-26
	 US
	  	2007-Feb-08	  	11/672664	  	2007-Jun-28	  	2007-0145915-A1	  	2012-Jun-26	  	8207821	  	2027-May-28
	 US
	  	2007-Mar-02	  	12/282845	  	2009-May-21	  	2009-0128059-A1	  	2011-Jul-19	  	7980726	  	2028-Jan-16
	 US
	  	2007-Mar-13	  	11/685468	  	2007-Jul-05	  	2007-0153514-A1	  		  		  	
	 US
	  	2007-Mar-15	  	11/686491	  	2007-Dec-20	  	2007-0291483-A1	  	2009-Jun-23	  	7550931	  	2018-Apr-05
	 US
	  	2007-Apr-02	  	11/695396	  	2007-Nov-29	  	2007/0274084	  	2010-Feb-02	  	7654703	  	2025-Jan-28
	 US
	  	2007-Apr-20	  	11/737805	  	2007-Aug-16	  	2007-0189026-A1	  	2009-Feb-24	  	7495671	  	2025-Jan-20
	 US
	  	2007-Apr-20	  	12/298795	  	2009-Nov-19	  	2009-0284174-A1	  	2011-Dec-13	  	8076872	  	2028-Aug-31
	 US
	  	2007-Apr-26	  	11/740380	  	2007-Aug-16	  	2007-0188427-A1	  	2009-Oct-06	  	7598686	  	2017-Dec-18
	 US
	  	2007-May-01	  	11/742697	  	2007-Aug-23	  	2007-0195526-A1	  	2010-Feb-09	  	7659674	  	2017-Aug-26
	 US
	  	2007-May-02	  	12/299655	  	2009-Jul-16	  	2009-0179596-A1	  	2012-May-22	  	8183784	  	2029-Apr-05
	 US
	  	2007-May-14	  	11/748100	  	2007-Nov-15	  	2007-0263379-A1	  	2010-Jan-09	  	7658506	  	2028-Feb-01
	 US
	  	2007-May-21	  	11/804938	  		  		  	2009-Mar-24	  	7507001	  	2023-May-13
	 US
	  	2007-Jun-12	  	11/761478	  	2007-Oct-11	  	2007-0236156-A1	  	2009-Oct-06	  	7598681	  	2017-Aug-26
	 US
	  	2007-Jun-12	  	11/761491	  	2007-Oct-11	  	2007-0237284-A1	  	2009-Oct-06	  	7598684	  	2017-Oct-28
	 US
	  	2007-Jun-19	  	12/303760	  	2010-Sep-16	  	2010-0231363-A1	  	2011-Nov-22	  	8063750	  	2028-Mar-12
	 US
	  	2007-Jun-20	  	12/306020	  	2009-Sep-17	  	2009-0230884-A1	  	2012-Mar-13	  	8134461	  	2028-Nov-27
	 US
	  	2007-Jun-21	  	12/306008	  	2009-Nov-12	  	2009-0278473-A1	  	2011-Jul-19	  	7982414	  	2028-Jul-16
	 US
	  	2007-Jul-03	  	12/306736	  	2009-Jul-30	  	2009-0189448-A1	  	2012-Jul-03	  	8212393	  	2029-Jan-13
	 US
	  	2007-Jul-05	  	12/374320	  	2009-Sep-17	  	2009-0231878-A1	  	2010-Dec-21	  	7854539	  	2027-Dec-05
	 US
	  	2007-Jul-10	  	11/775551	  	2008-Jan-17	  	2008-0012506-A1	  	2008-Dec-09	  	7462997	  	2017-Aug-26
	 US
	  	2007-Jul-12	  	11/777008	  	2008-Jan-17	  	2008/0013314	  	2010-Aug-10	  	7772787	  	2028-Oct-30
	 US
	  	2007-Jul-20	  	11/814472	  		  		  	2011-Feb-22	  	7894050	  	2026-May-19
	 US
	  	2007-Jul-20	  	11/780574	  	2008-Jan-17	  	2008-0012502-A1	  	2010-Jun-15	  	7737643	  	2026-Apr-08
	 US
	  	2007-Aug-09	  	11/836568	  		  		  	2011-Sep-27	  	8026673	  	2030-Jul-27
	 US
	  	2007-Aug-09	  	11/836550	  	2008-Jul-10	  	2008-0164854-A1	  	2012-Mar-13	  	8134303	  	2030-Nov-26
	 US
	  	2007-Aug-09	  	11/836560	  		  		  		  		  	2027-Aug-09
	 US
	  	2007-Aug-16	  	11/893486	  	2008-Mar-20	  	2008/0068839	  	2010-May-11	  	7712926	  	2028-Feb-15
	 US
	  	2007-Aug-21	  	11/842612	  	2008-Feb-28	  	2008/0048095	  	2009-Aug-04	  	7569807	  	2027-Nov-28
	 US
	  	2007-Aug-24	  	60/968002	  		  		  		  		  	

  

					
		 	Page 21 of 23	  	17 August 2012

 Annex A to the LED-based Luminaire and Retrofit Bulb Patent License Agreement 

List of Patents 
  

 

															
	 CTY
	  	Fil.Date	  	Application No.	  	Pub. Data	  	Publication No.	  	Grant Date	  	Grant No.	  	Expiry Date
	 US
	  	2007-Sep-03	  	12/439307	  	2010-Apr-15	  	2010-0094439-A1	  		  		  	2027-Sep-03
	 US
	  	2007-Sep-18	  	12/439798	  	2009-Dec-31	  	2009-0321666-A1	  		  		  	2027-Sep-18
	 US
	  	2007-Sep-20	  	12/443852	  	2010-Feb-04	  	2010-0026191-A1	  	2011-Nov-29	  	8067898	  	2028-Aug-30
	 US
	  	2007-Sep-20	  	12/443859	  	2010-Jul-01	  	2010-164399-A1	  	2012-Jan-31	  	8106599	  	2028-May-09
	 US
	  	2007-Sep-20	  	12/443855	  	2010-Mar-25	  	2010-0072902-A1	  	2011-Oct-11	  	8035313	  	2028-Sep-27
	 US
	  	2007-Sep-20	  	11/858847	  	2008-Mar-20	  	2008/0068192	  	2010-Mar-30	  	7688002	  	2027-Nov-28
	 US
	  	2007-Oct-11	  	12/445320	  	2010-Apr-15	  	2010-0091488-A1	  	2011-Nov-01	  	8047696	  	2028-Mar-31
	 US
	  	2007-Oct-19	  	11/875196	  	2008-Apr-24	  	2008-0094005-A1	  	2011-Jun-14	  	7961113	  	2029-Oct-16
	 US
	  	2007-Oct-31	  	11/931684	  	2008-May-01	  	2008/0101064	  	2010-Jun-08	  	7731389	  	2028-Aug-01
	 US
	  	2007-Nov-06	  	12/513520	  	2010-Mar-25	  	2010-0072901-A1	  	2011-Sep-06	  	8013533	  	2028-Aug-25
	 US
	  	2007-Nov-09	  	11/938051	  		  		  	2010-Aug-24	  	7781979	  	2029-Feb-17
	 US
	  	2007-Nov-27	  	12/516027	  	2010-Feb-25	  	2010-0045478-A1	  		  		  	2027-Nov-27
	 US
	  	2007-Nov-27	  	11/945480	  		  		  	2010-Oct-05	  	7806558	  	2028-Dec-31
	 US
	  	2007-Dec-04	  	12/517371	  	2010-Apr-08	  	2010-0084995-A1	  	2012-Feb-14	  	8115410	  	2029-Feb-05
	 US
	  	2007-Dec-04	  	60/992186	  		  		  		  		  	
	 US
	  	2007-Dec-05	  	12/517810	  	2010-Dec-09	  	2010-0308745-A1	  	2012-May-08	  	8174210	  	2029-Jan-13
	 US
	  	2007-Dec-07	  	12/517367	  	2010-Apr-01	  	2010-0079091-A1	  		  		  	2027-Dec-07
	 US
	  	2007-Dec-11	  	12/001786	  	2008-Sep-04	  	2008-0215279-A1	  	2011-Jan-11	  	7868562	  	2029-Jan-25
	 US
	  	2007-Dec-11	  	12/001642	  	2008-Jul-10	  	2008-0167734-A1	  		  		  	2027-Dec-11
	 US
	  	2007-Dec-12	  	11/955196	  		  		  		  		  	2027-Dec-12
	 US
	  	2008-Mar-31	  	12/593308	  	2010-Apr-29	  	2010-0102732-A1	  	2012-Jun-19	  	8203284	  	2029-Jan-06
	 US
	  	2008-Apr-04	  	12/593382	  	2010-May-13	  	2010-0118531-A1	  	2012-Jul-17	  	8220958	  	2028-Apr-04
	 US
	  	2008-Apr-15	  	12/595646	  	2010-May-13	  	2010-0117543-A1	  	2012-Sep-04	  	8258707	  	2028-Apr-15
	 US
	  	2008-Apr-21	  	12/596484	  	2010-Jun-03	  	2010-0134041-A1	  	2012-Apr-17	  	8159454	  	2028-Dec-05
	 US
	  	2008-Apr-23	  	12/596863	  	2010-May-13	  	2010-0117656-A1	  	2011-Dec-13	  	8076953	  	2028-Jun-29
	 US
	  	2008-Apr-28	  	12/598098	  	2010-Jun-03	  	2010-0134042-A1	  		  		  	2028-Apr-28
	 US
	  	2008-Apr-30	  	12/113320	  	2008-Nov-13	  	2008-0278092-A1	  		  		  	2028-Apr-30
	 US
	  	2008-May-02	  	12/114062	  	2008-Nov-13	  	2008-0278941-A1	  	2011-Feb-01	  	7878683	  	2028-Aug-20
	 US
	  	2008-May-09	  	12/599351	  	2010-Dec-02	  	2010-0301780-A1	  		  		  	2028-May-09
	 US
	  	2008-May-30	  	12/602206	  	2010-Jul-08	  	2010-0171771-A1	  		  		  	2028-May-30
	 US
	  	2008-Jun-09	  	12/663522	  	2010-Jul-01	  	2010-0165618-A1	  		  		  	2028-Jun-09
	 US
	  	2008-Jun-23	  	12/665126	  	2010-Jul-29	  	2010-0188007-A1	  	2012-Sep-04	  	8258713	  	2028-Jun-23
	 US
	  	2008-Jun-30	  	12/666826	  	2010-Jul-22	  	2010-0181936-A1	  	2012-Aug-14	  	8242710	  	2028-Jun-30
	 US
	  	2008-Jul-21	  	12/669059	  	2010-Aug-05	  	2010-0194293-A1	  	2012-Apr-17	  	8159155	  	2029-Apr-18
	 US
	  	2008-Aug-14	  	12/673038	  	2012-May-17	  	US-2012-0119670-A1	  		  		  	2028-Aug-14
	 US
	  	2008-Aug-29	  	12/281165	  	2009-Jan-22	  	2009-0021175-A1	  		  		  	2028-Aug-29
	 US
	  	2008-Nov-05	  	12/265354	  	2009-Mar-19	  	2009-0072761-A1	  		  		  	2025-Dec-09
	 US
	  	2008-Nov-24	  	12/744088	  	2010-Sep-30	  	2010-0244734-A1	  		  		  	2028-Nov-24
	 US
	  	2008-Dec-02	  	12/746540	  	2010-Sep-30	  	2010-0244707-A1	  		  		  	2028-Dec-02
	 US
	  	2008-Dec-02	  	12/746551	  	2010-Oct-21	  	2010-0264834-A1	  		  		  	2028-Dec-02
	 US
	  	2008-Dec-16	  	12/747521	  	2010-Oct-28	  	2010-0271843-A1	  		  		  	2028-Dec-16
	 US
	  	2008-Dec-22	  	12/808910	  	2011-Nov-24	  	2011-0285292-A1	  		  		  	2028-Dec-22
	 US
	  	2008-Dec-29	  	12/810535	  	2011-Feb-10	  	2011-0035404-A1	  		  		  	2028-Dec-29
	 US
	  	2008-Dec-30	  	12/345953	  	2010-Jun-17	  	2010-0148689-A1	  	2011-Sep-06	  	8013281	  	2020-Dec-20
	 US
	  	2009-May-28	  	12/473739	  	2010-Sep-16	  	2010-0231133-A1	  		  		  	2027-Nov-09
	 US
	  	2010-Jan-27	  	12/694353	  	2010-May-27	  	2010-0127633-A1	  	2011-Jul-26	  	7986103	  	2025-Jun-28
	 US
	  	2010-Aug-11	  	12/854200	  	2011-Mar-03	  	2011-0050122-A1	  	2012-Feb-21	  	8120279	  	2025-Jul-14
	 US
	  	2010-Oct-08	  	12/900535	  	2011-Feb-03	  	2011-0025205-A1	  	2012-Aug-14	  	8240900	  	2025-Sep-19
	 US
	  	2010-Dec-22	  	12/975991	  	2011-Apr-21	  	2011-0090684-A1	  		  		  	2028-Aug-20
	 US
	  	2011-May-16	  	13/108551	  	2011-Sep-08	  	2011-0216538-A1	  		  		  	2031-May-16
	 US
	  	2011-Nov-04	  	13/289609	  	2012-Feb-23	  	US-2012-0044670-A1	  	2012-Jun-26	  	8206001	  	2026-May-22
	 US
	  	2012-Mar-12	  	13/417622	  	2012-Jul-05	  	US-2012-0169254-A1	  		  		  	
	 US
	  	2012-Jun-04	  	13/487305	  		  		  		  		  	

 LEGEND 
  

			
	 CTY
	  	Country Code as used by WIPO
	 App Nr
	  	Number of the patent application at the respective patent office
	 Fil date
	  	Filing Date
	 Pub Nr
	  	Publication Number
	 Pub date
	  	Publication Date
	 Grant Nr
	  	Grant Number
	 Grant date
	  	Grant Date
	 Exp date
	  	Estimated Expiry Date*

  

	*	In case the estimated expiry date deviates from the actual expiry date, the latter prevails. 

  

					
		 	Page 22 of 23	  	17 August 2012

 Annex A to the LED-based Luminaire and Retrofit Bulb Patent License Agreement 

List of Patents 
  

 

															
	 CTY
	 	 Fil.Date
	  	Application No.	  	Pub. Data	  	Publication No.	  	Grant Date	  	Grant No.	  	Expiry Date

 NOTES: 
  

	1.	The above list of Patents is for information purposes only and may be updated from time to time. In the event of any discrepancy between the above information and any
patent license agreement related to this licensing program, the patent license agreement shall prevail. 

	2.	For any question, contact us at:         info.SSLlicensing@philips.com 

  

					
		 	Page 23 of 23	  	17 August 2012

 Annex B 
 To 
 Patent License Agreement 

AUDIT GUIDELINES 
 Licensee
shall have its C.F.O. or accountant make the following statement pursuant to Section 4.1 of the Settlement and Patent License Agreement: 

Licensee has reviewed the accompanying Reporting Forms, duly initialed by us for identification purposes, for the period starting [ddmmyy] and ending
[ddmmyy] as submitted under the terms of a license agreement dated August 1, 2012, between Philips and Nexxus Lighting, Inc. (“the Agreement”). 
 Basis of opinion 
 We have conducted our review in accordance with those elements of
generally accepted international standards for the purposes of forming an opinion on the Reporting Forms. We are reasonably assured that the Reporting Forms are free of material misstatements. We have examined, on a test basis, evidence supporting
the amounts and disclosures in the Reporting Forms. 
 Opinion 
 In our opinion, the Reporting Forms referred to above present fairly, in all material respects, the information required to be reported under the Agreement by Nexxus Lighting, Inc. for the [xx] month
period ending [ddmmyy] and the amount of royalties corresponding therewith, under the Agreement referred to above. 
 (signed) 

[date] 
 Enclosures: Reporting Forms (xx pages)

 [XXXX] = CERTAIN INFORMATION ON THIS PAGE HAS BEEN OMITTED AND FILED SEPARATELY WITH THE SECURITIES AND
EXCHANGE COMMISSION. CONFIDENTIAL TREATMENT HAS BEEN REQUESTED WITH RESPECT TO THE OMITTED INFORMATION. 
 Annex C 

To 
 Patent License
Agreement 
 List of Qualified Suppliers 
 [XXXX] 
 [XXXX] 
 [XXXX] 

 Annex D 
 To 
 Patent License Agreement 

List of Trademarks Used for Licensed Products: 
 ArrayTMIndenture

 Exhibit 4.1 

 
  

 
 E*TRADE Financial Corporation

 as Issuer 
 and 
 The Bank of New York Mellon Trust Company, N.A. 

as Trustee 
  

 
 Senior
Indenture 
 Dated as of November 14, 2012 

 
  

 
  

 

 TABLE OF CONTENTS 

 

							
	 	  	 	  	Page	 
	 ARTICLE I
	   

	 DEFINITIONS AND INCORPORATION BY REFERENCE
	   

	 Section 1.01
	  	Definitions	  	 	1	  
	 Section 1.02
	  	Incorporation by Reference of Trust Indenture Act	  	 	23	  
	 Section 1.03
	  	Rules of Construction	  	 	23	  
	
	 ARTICLE II
	   

	 THE NOTES
	   

			
	 Section 2.01
	  	Forms Generally and Dating	  	 	24	  
	 Section 2.02
	  	Amount Unlimited; Issuable in Series	  	 	24	  
	 Section 2.03
	  	Execution and Authentication	  	 	26	  
	 Section 2.04
	  	Registrar, Paying Agent and Authenticating Agent; Paying Agent to Hold Money in Trust	  	 	27	  
	 Section 2.05
	  	Replacement Notes	  	 	27	  
	 Section 2.06
	  	Outstanding Notes	  	 	28	  
	 Section 2.07
	  	Temporary Notes	  	 	28	  
	 Section 2.08
	  	Cancellation	  	 	29	  
	 Section 2.09
	  	CUSIP and CINS Numbers	  	 	29	  
	 Section 2.10
	  	Registration, Transfer and Exchange	  	 	29	  
	 Section 2.11
	  	Restrictions on Transfer and Exchange	  	 	31	  
	 Section 2.12
	  	Issuance of Additional Notes	  	 	31	  
	
	 ARTICLE III
	   

	 REDEMPTION
	   

			
	 Section 3.01
	  	Optional Redemption	  	 	32	  
	 Section 3.02
	  	Repurchase at the Option of the Holder	  	 	32	  
	
	 ARTICLE IV
	   

	 COVENANTS
	   

			
	 Section 4.01
	  	Payment of Notes	  	 	32	  
	 Section 4.02
	  	Maintenance of Office or Agency	  	 	33	  
	 Section 4.03
	  	Limitation on Indebtedness and Issuances of Preferred Stock	  	 	33	  
	 Section 4.04
	  	Limitation on Restricted Payments	  	 	35	  
	 Section 4.05
	  	Limitation on Dividend and Other Payment Restrictions Affecting Restricted Subsidiaries or Regulated Subsidiaries	  	 	39	  
	 Section 4.06
	  	Limitation on the Issuance and Sale of Capital Stock of Restricted Subsidiaries or Regulated Subsidiaries	  	 	40	  
	 Section 4.07
	  	Future Subsidiary Guarantees	  	 	41	  
	 Section 4.08
	  	Limitation on Transactions with Affiliates	  	 	42	  
	 Section 4.09
	  	Limitation on Liens	  	 	43	  
	 Section 4.10
	  	Limitation on Asset Sales	  	 	44	  
	 Section 4.11
	  	Repurchase of Notes Upon a Change of Control	  	 	46	  
	 Section 4.12
	  	Limitation on Lines of Business	  	 	46	  

  
 -i-

							
	 	  	 	  	Page	 
	 Section 4.13
	  	Effectiveness of Covenants	  	 	46	  
	 Section 4.14
	  	SEC Reports and Reports to Holders	  	 	46	  
	 Section 4.15
	  	[Intentionally Omitted]	  	 	46	  
	 Section 4.16
	  	Compliance Certificates	  	 	47	  
	 Section 4.17
	  	Waiver of Stay, Extension or Usury Laws	  	 	47	  
	
	 ARTICLE V
	   

	 CONSOLIDATION, MERGER OR SALE OF ASSETS
	   

			
	 Section 5.01
	  	Consolidation, Merger and Sale of Assets	  	 	48	  
	 Section 5.02
	  	Successor Substituted	  	 	48	  
	
	 ARTICLE VI
	   

	 EVENTS OF DEFAULT AND REMEDIES
	   

			
	 Section 6.01
	  	Events of Default	  	 	49	  
	 Section 6.02
	  	Acceleration	  	 	51	  
	 Section 6.03
	  	Control by Majority	  	 	51	  
	 Section 6.04
	  	Limitation on Suits	  	 	52	  
	 Section 6.05
	  	Rights of Holders to Receive Payment	  	 	52	  
	 Section 6.06
	  	Collection Suit by Trustee	  	 	52	  
	 Section 6.07
	  	Trustee May File Proofs of Claim	  	 	53	  
	 Section 6.08
	  	Priorities	  	 	53	  
	 Section 6.09
	  	Undertaking for Costs	  	 	53	  
	 Section 6.10
	  	Restoration of Rights and Remedies	  	 	53	  
	 Section 6.11
	  	Rights and Remedies Cumulative	  	 	54	  
	 Section 6.12
	  	Delay or Omission Not Waiver	  	 	54	  
	
	 ARTICLE VII
	   

	 THE TRUSTEE
	   

			
	 Section 7.01
	  	General	  	 	54	  
	 Section 7.02
	  	Certain Rights of Trustee	  	 	55	  
	 Section 7.03
	  	Individual Rights of Trustee	  	 	56	  
	 Section 7.04
	  	Trustee’s Disclaimer	  	 	56	  
	 Section 7.05
	  	Notice of Default	  	 	56	  
	 Section 7.06
	  	Reports by Trustee to Holders	  	 	56	  
	 Section 7.07
	  	Compensation and Indemnity	  	 	57	  
	 Section 7.08
	  	Replacement of Trustee	  	 	57	  
	 Section 7.09
	  	Successor Trustee by Merger	  	 	58	  
	 Section 7.10
	  	Eligibility	  	 	58	  
	 Section 7.11
	  	Money Held in Trust	  	 	58	  
	
	 ARTICLE VIII
	   

	 DEFEASANCE AND DISCHARGE
	   

			
	 Section 8.01
	  	Discharge of Company’s Obligations	  	 	58	  
	 Section 8.02
	  	Legal Defeasance	  	 	59	  
	 Section 8.03
	  	Covenant Defeasance	  	 	60	  
	 Section 8.04
	  	Application of Trust Money	  	 	61	  

  
 -ii-

							
	 	  	 	  	Page	 
	 Section 8.05
	  	Repayment to Company	  	 	61	  
	 Section 8.06
	  	Reinstatement	  	 	61	  
	
	 ARTICLE IX
	   

	 AMENDMENTS, SUPPLEMENTS AND WAIVERS
	   

			
	 Section 9.01
	  	Amendments Without Consent of Holders	  	 	61	  
	 Section 9.02
	  	Amendments with Consent of Holders	  	 	62	  
	 Section 9.03
	  	Effect of Consent	  	 	63	  
	 Section 9.04
	  	Trustee’s Rights and Obligations	  	 	63	  
	 Section 9.05
	  	Conformity with Trust Indenture Act	  	 	64	  
	 Section 9.06
	  	Payments for Consents	  	 	64	  
	
	 ARTICLE X
	   

	 GUARANTEES
	   

			
	 Section 10.01
	  	Guarantees	  	 	64	  
	 Section 10.02
	  	Limitation on Subsidiary Guarantor Liability	  	 	65	  
	 Section 10.03
	  	Execution and Delivery of the Guarantee	  	 	65	  
	 Section 10.04
	  	Guarantors May Consolidate, etc., on Certain Terms	  	 	65	  
	 Section 10.05
	  	Releases Following Certain Events	  	 	66	  
	
	 ARTICLE XI
	   

	 MISCELLANEOUS
	   

			
	 Section 11.01
	  	Trust Indenture Act of 1939	  	 	66	  
	 Section 11.02
	  	Noteholder Communications; Noteholder Actions	  	 	67	  
	 Section 11.03
	  	Notices	  	 	67	  
	 Section 11.04
	  	Certificate and Opinion as to Conditions Precedent	  	 	68	  
	 Section 11.05
	  	Statements Required in Certificate or Opinion	  	 	68	  
	 Section 11.06
	  	Payment Date Other Than a Business Day	  	 	69	  
	 Section 11.07
	  	Governing Law	  	 	69	  
	 Section 11.08
	  	No Adverse Interpretation of Other Agreements	  	 	69	  
	 Section 11.09
	  	Successors	  	 	69	  
	 Section 11.10
	  	Duplicate Originals	  	 	69	  
	 Section 11.11
	  	Separability	  	 	69	  
	 Section 11.12
	  	Table of Contents and Headings	  	 	69	  
	 Section 11.13
	  	No Liability of Directors, Officers, Employees, Incorporators, Members and Stockholders	  	 	69	  
	 Section 11.14
	  	Waiver of Jury Trial	  	 	70	  
	 Section 11.15
	  	Force Majeure	  	 	70	  
	 Section 11.16
	  	Submission of Jurisdiction	  	 	70	  
			
	 EXHIBIT A
	  	DTC Legend	  			

  
 -iii-

 INDENTURE, dated as of November 14, 2012, between E*TRADE Financial Corporation, a
Delaware corporation, as the Company and The Bank of New York Mellon Trust Company, N.A., a national banking association, as Trustee (each as more fully set forth in Section 1.01). 

RECITALS 

WHEREAS, for its lawful corporate purposes, the Company has duly authorized the execution and delivery of this Indenture to provide for
the issuance of unsecured debt securities in one or more series (the “Notes”) up to such principal amount or amounts as may from time to time be authorized in accordance with the terms of this Indenture and to provide, among other
things, for the authentication, delivery and administration thereof; 
 WHEREAS, all things necessary to make this Indenture a
valid indenture and agreement according to its terms have been done; 
 WHEREAS, this Indenture is subject to, and will be
governed by, the provisions of the Trust Indenture Act of 1939 (the “Trust Indenture Act” or “TIA”) that are required to be a part of and govern indentures qualified under the Trust Indenture Act; and 

NOW, THEREFORE, in consideration of the premises and the purchases of the Notes by the Holders (as defined below) thereof, the Company
and the Trustee mutually covenant and agree for the equal and proportionate benefit of the respective Holders from time to time of the Notes as follows: 
 ARTICLE I 
 DEFINITIONS AND INCORPORATION BY REFERENCE 

Section 1.01 Definitions. 
 “2015 Indenture” means this Indenture dated as of November 22, 2005 between the Company and The Bank of New York Mellon, as trustee, as amended or supplemented from time to time.

 “2015 Notes” means the 7-7/8% Senior Notes due 2015 issued pursuant to the 2015 Indenture, to the extent
outstanding on the Issue Date. 
 “2016 Indenture” means this Indenture dated as of May 19, 2011 between
the Company and The Bank of New York Mellon Trust Company, N.A., as trustee, as amended or supplemented from time to time. 

“2016 Notes” means the 6.75% Notes due 2016 issued pursuant to the 2016 Indenture, to the extent outstanding on the
Issue Date. 
 “2017 Indenture” means this Indenture dated as of November 29, 2007 between the Company and
The Bank of New York Mellon, as trustee, as amended or supplemented from time to time. 
 “2017 Notes” means
the 12.5% Springing Lien Notes due 2017 issued pursuant to the 2017 Indenture, to the extent outstanding on the Issue Date (plus Capitalized Interest (as defined in the 2017 Indenture) on such 12.5% Springing Lien Notes due 2017). 

 “2019 Indenture” means this Indenture dated as of August 25, 2009
between the Company and The Bank of New York Mellon, as trustee, as amended or supplemented from time to time. 
 “2019
Notes” means the Class A Convertible Debentures due 2019 and the Class B Convertible Debentures due 2019, in each case issued pursuant to the 2019 Indenture, in each case to the extent outstanding on the Issue Date. 

“Acquired Indebtedness” means Indebtedness of a Person existing at the time such Person becomes a Restricted Subsidiary
or Indebtedness of a Restricted Subsidiary assumed in connection with an Asset Acquisition by such Restricted Subsidiary; provided such Indebtedness was not Incurred in connection with or in contemplation of such Person becoming a Restricted
Subsidiary or such Asset Acquisition. 
 “Additional Notes” means any Notes issued under this Indenture
pursuant to Section 2.12. 
 “Adjusted Consolidated Net Income” means, for any period, the aggregate net
income (or loss) of the Company and its Restricted Subsidiaries and Regulated Subsidiaries for such period determined in conformity with GAAP; provided that the following items shall be excluded in computing Adjusted Consolidated Net Income
(without duplication): 
 (1) the net income (or loss) of any Person that is not a Restricted Subsidiary or
Regulated Subsidiary, except that the Company’s equity in the net income of any such Person for such period (to the extent not otherwise excluded pursuant to clauses (2) through (6) below) will be included up to the aggregate amount
of cash actually distributed by such Person during such period to the Company or to its Restricted Subsidiaries or Regulated Subsidiaries (less minority interest therein) as a dividend or other distribution; 

(2) the net income (or loss) of any Person accrued prior to the date it becomes a Restricted Subsidiary or Regulated
Subsidiary or is merged into or consolidated with the Company or any of its Restricted Subsidiaries or Regulated Subsidiaries or all or substantially all of the property and assets of such Person are acquired by the Company or any of its Restricted
Subsidiaries or Regulated Subsidiaries; 
 (3) the net income of any Restricted Subsidiary to the extent that the
declaration or payment of dividends or similar distributions by such Restricted Subsidiary of such net income is not at the time permitted by the operation of the terms of its charter or any agreement, instrument, judgment, decree, order, statute,
rule or governmental regulation applicable to such Restricted Subsidiary; 
 (4) the net income of any Regulated
Subsidiary (x) to the extent that the declaration or payment of dividends or similar distributions by such Regulated Subsidiary of such net income is not at the time permitted by the operation of the terms of its charter or any agreement or
instrument with a Person, other than such Regulated Subsidiaries applicable regulatory authorities, or any judgment or decree applicable to such Regulated Subsidiary (y) other than to the extent that such Regulated Subsidiary reasonably
believes, in good faith, that such net income could be distributed, declared or paid as a dividend or similar distribution without causing such Regulated Subsidiary to fail to be at least “adequately capitalized” as defined in the
regulations of applicable regulatory authorities, or to meet minimum capital requirements imposed by applicable regulatory authorities; 
 (5) any gains or losses (on an after-tax basis) attributable to Asset Sales or Regulated Sales; 

  
 -2-

 (6) solely for purposes of calculating the amount of Restricted Payments
that may be made pursuant to clause (D) of Section 4.04(a), any amount paid or accrued as dividends on Preferred Stock of the Company owned by Persons other than the Company and any of its Restricted Subsidiaries and Regulated
Subsidiaries; 
 (7) all extraordinary gains and, solely for purposes of calculating the Consolidated Fixed
Charge Coverage Ratio, extraordinary losses; 
 (8) the cumulative effect of changes in accounting principles;
and 
 (9) the net after-tax effect of impairment charges related to goodwill and other intangible assets.

 “Affiliate” means, as applied to any Person, any other Person directly or indirectly controlling, controlled
by, or under direct or indirect common control with, such Person. For purposes of this definition, “control” (including, with correlative meanings, the terms “controlling,” “controlled by” and “under common control
with”), as applied to any Person, means the possession, directly or indirectly, of the power to direct or cause the direction of the management and policies of such Person, whether through the ownership of voting securities, by contract or
otherwise. 
 “Agent Member” means a member of, or a participant in, the Depositary. 

“Asset Acquisition” means (1) an investment by the Company or any of its Restricted Subsidiaries or Regulated
Subsidiaries in any other Person pursuant to which such Person shall become a Restricted Subsidiary or a Regulated Subsidiary or shall be merged into or consolidated with the Company or any of its Restricted Subsidiaries or Regulated Subsidiaries;
provided that such Person’s primary business is a Related Business or (2) an acquisition by the Company or any of its Restricted Subsidiaries or Regulated Subsidiaries of the property and assets of any Person other than the Company
or any of its Restricted Subsidiaries or Regulated Subsidiaries that constitute substantially all of a division or line of business of such Person that is a Related Business. 
 “Asset Sale” means any sale, transfer or other disposition (including by way of merger, consolidation or Sale-Leaseback Transaction) in one transaction or a series of related transactions
by the Company or any of its Restricted Subsidiaries to any Person other than the Company or any of its Restricted Subsidiaries or Regulated Subsidiaries of: 
 (1) all or any of the Capital Stock of any Restricted Subsidiary; 

(2) all or substantially all of the property and assets of an operating unit or business of the Company or any of its
Restricted Subsidiaries; or 
 (3) any other property and assets (other than the Capital Stock or other
Investment in an Unrestricted Subsidiary) of the Company or any of its Restricted Subsidiaries outside the ordinary course of business of the Company or such Restricted Subsidiary and, 
 in each case, that is not governed by the provisions of this Indenture applicable to mergers, consolidations and sales of assets of the Company; provided that “Asset Sale” shall not
include: 
 (a) sales or other dispositions of Investment Securities, inventory, receivables and other current
assets; 

  
 -3-

 (b) sales, transfers or other dispositions of assets constituting a
Permitted Investment or Restricted Payment permitted to be made under Section 4.04; 
 (c) sales, transfers
or other dispositions of assets with a fair market value not in excess of $10.0 million in any transaction or series of related transactions; 
 (d) any sale, transfer, assignment or other disposition of any property equipment that has become damaged, worn out, obsolete or otherwise unsuitable for use in connection with, or no longer used in
connection with, the business of the Company or its Restricted Subsidiaries; 
 (e) an issuance of Capital Stock
by a Restricted Subsidiary or the sale, transfer or other disposition by the Company or a Restricted Subsidiary of the Capital Stock of a Restricted Subsidiary or Regulated Subsidiary, in each case to the Company, a Wholly Owned Restricted
Subsidiary or a Wholly Owned Regulated Subsidiary; 
 (f) the licensing, sublicensing, lease, assignment or
sublease of any real or personal property in the ordinary course of business; or 
 (g) Permitted Liens, or
foreclosure on assets as a result of Liens permitted under Section 4.09. 
 “Authenticating Agent” refers
to a Person engaged to authenticate the Notes in the stead of the Trustee. 
 “Average Life” means, at any date
of determination with respect to any debt security, the quotient obtained by dividing (1) the sum of the products of (a) the number of years from such date of determination to the dates of each successive scheduled principal payment of
such debt security and (b) the amount of such principal payment by (2) the sum of all such principal payments. 

“Bank Regulated Subsidiary” means (i) ETB Holdings, Inc. (provided that such entity is a savings and loan
holding company, as defined under the Home Owners’ Loan Act, as amended, or a bank holding company, as defined under the Bank Holding Company Act, as amended, but in no event shall such entity mean, or include, the Company), (ii) any
direct or indirect insured depository institution subsidiary of the Company that is regulated by foreign, federal or state banking regulators, including, without limitation, the OCC, FDIC and Federal Reserve or (iii) any Subsidiary of a Bank
Regulated Subsidiary all of the Common Stock of which is owned by such Bank Regulated Subsidiary and the sole purpose of which is to issue trust preferred or similar securities where the proceeds of the sale of such securities are invested in such
Bank Regulated Subsidiary and where such proceeds would be treated as Tier I capital were such Bank Regulated Subsidiary a bank holding company regulated by the Board of Governors of the Federal Reserve System. 

“Board of Directors” means, with respect to any Person, the Board of Directors of such Person or any duly authorized
committee of such Board of Directors, or any other group performing comparable functions. 
 “Board Resolution”
means, with respect to any Person, a copy of a resolution certified by the Secretary or an Assistant Secretary of such Person to have been duly adopted by the Board of Directors of such Person and to be in full force and effect on the date of such
certification, and delivered to the Trustee. 

  
 -4-

 “Broker Dealer Regulated Subsidiary” means any direct or indirect
subsidiary of the Company that is registered as a broker dealer pursuant to Section 15 of the Exchange Act or that is regulated as a broker dealer or underwriter under any foreign securities law. 

“Business Day” means any day except a Saturday, Sunday or other day on which commercial banks in New York City or in the
city where the Corporate Trust Office of the Trustee is located are authorized by law to close. 
 “Capital
Stock” means, with respect to any Person, any and all shares, interests, participations or other equivalents (however designated, whether voting or non-voting) in equity of such Person, whether outstanding on the Issue Date or issued
thereafter, including, without limitation, all Common Stock and Preferred Stock. 
 “Capitalized Lease” means,
as applied to any Person, any lease of any property (whether real, personal or mixed) of which the discounted present value of the rental obligations of such Person as lessee, in conformity with GAAP, is required to be capitalized on the balance
sheet of such Person. 
 “Capitalized Lease Obligations” means the discounted present value of the rental
obligations under a Capitalized Lease. 
 “Certificated Note” means a Note in registered individual form
without interest coupons. 
 “Change of Control” means such time as: 

(1) a “person” or “group” (within the meaning of Sections 13(d) and 14(d)(2) of the Exchange Act),
becomes the ultimate “beneficial owner” (as defined in Rule 13d-3 under the Exchange Act) of more than 50% of the total voting power of the Voting Stock of the Company on a fully diluted basis; 

(2) individuals who on the Issue Date constitute the Board of Directors (together with any new directors whose election by
the Board of Directors or whose nomination by the Board of Directors for election by the Company’s stockholders was approved by a vote of at least a majority of the members of the Board of Directors then in office who either were members of the
Board of Directors on the Issue Date or whose election or nomination for election was previously so approved) cease for any reason to constitute a majority of the members of the Board of Directors then in office; or 

(3) the consummation of any merger or business combination if, after such transaction, holders of the Company’s
Voting Stock before the transaction do not hold a majority of the voting power of the Company’s Voting Stock immediately after the transaction. 
 “Common Stock” means, with respect to any Person, any and all shares, interests, participations or other equivalents (however designated, whether voting or non-voting) of such
Person’s equity, other than Preferred Stock of such Person, whether outstanding on the Issue Date or issued thereafter, including, without limitation, all series and classes of such common stock. 

“Company” means the party named as such in the first paragraph of this Indenture or any successor obligor under this
Indenture and the Notes pursuant to Article V. 
 “Company Request or Company Order” means a written
request or order signed in the name of the Company by an Officer of the Company, and delivered to the Trustee. 

  
 -5-

 “Consolidated EBITDA” means, for any period, Adjusted Consolidated Net
Income for such period plus, to the extent such amount was deducted in calculating such Adjusted Consolidated Net Income: 
 (1) Consolidated Interest Expense; 
 (2) income taxes; 

(3) depreciation expense; 
 (4) amortization expense; and 
 (5) all other non-cash items
reducing Adjusted Consolidated Net Income (other than items that will require cash payments and for which an accrual or reserve is, or is required by GAAP to be, made), less all non-cash items increasing Adjusted Consolidated Net Income, all as
determined on a consolidated basis for the Company, its Restricted Subsidiaries and its Regulated Subsidiaries in conformity with GAAP; 

provided that, if any Restricted Subsidiary or Regulated Subsidiary is not a Wholly Owned Restricted Subsidiary, or Wholly Owned Regulated
Subsidiary, as the case may be, Consolidated EBITDA shall be reduced (to the extent not otherwise reduced in accordance with GAAP) by an amount equal to (A) the amount of the Adjusted Consolidated Net Income attributable to such Restricted
Subsidiary or Regulated Subsidiary multiplied by (B) the percentage of Common Stock of such Restricted Subsidiary or Regulated Subsidiary not owned on the last day of such period by the Company or any of its Restricted Subsidiaries or any of
its Wholly Owned Regulated Subsidiaries. 
 “Consolidated Fixed Charge Coverage Ratio” means, with respect to
any Person, the ratio of Consolidated EBITDA of such Person during the most recent four full fiscal quarters (the “Four Quarter Period”), for which financial statements are available, ending on or prior to the date of the transaction
giving rise to the need to calculate the Consolidated Fixed Charge Coverage Ratio (the “Transaction Date”), to Consolidated Fixed Charges of such Person for the Four Quarter Period. In addition to and without limitation of the foregoing,
for purposes of this definition, Consolidated EBITDA and Consolidated Fixed Charges shall be calculated after giving effect on a pro forma basis for the period of such calculation to: 

(1) the incurrence or repayment of any Indebtedness of such Person or any of its Restricted Subsidiaries or Regulated
Subsidiaries (and the application of the proceeds thereof) giving rise to the need to make such calculation and any incurrence or repayment of other Indebtedness (and the application of the proceeds thereof), other than the incurrence or repayment
of Indebtedness in the ordinary course of business for working capital purposes pursuant to working capital facilities, occurring during the Four Quarter Period or at any time subsequent to the last day of the Four Quarter Period and on or prior to
the Transaction Date, as if such incurrence or repayment, as the case may be (and the application of the proceeds thereof), occurred on the first day of the Four Quarter Period; and 

(2) any Asset Sales or Asset Acquisitions (including, without limitation, any Asset Acquisition giving rise to the need to
make such calculation as a result of such Person or one of its Restricted Subsidiaries or Regulated Subsidiaries (including any Person who becomes a Restricted Subsidiary or Regulated Subsidiaries as a result of the Asset Acquisition) incurring,
assuming or otherwise being liable for Acquired Indebtedness and also including any Consolidated EBITDA attributable to the assets which are the subject of the Asset Acquisition or Asset Sale during the Four Quarter Period) occurring during the Four
Quarter Period or at any time subsequent to the last day of the Four Quarter Period and on or prior to the Transaction Date, as if such Asset Sale or Asset Acquisition (including the incurrence, assumption or liability for any such Acquired
Indebtedness) occurred on the first day of the Four Quarter Period. 

  
 -6-

 If such Person or any of its Restricted Subsidiaries or Regulated Subsidiaries directly or indirectly
guarantees Indebtedness of a third Person, the preceding sentence shall give effect to the incurrence of such guaranteed Indebtedness as if such Person or any Restricted Subsidiary of such Person had directly incurred or otherwise assumed such
guaranteed Indebtedness. Furthermore, in calculating “Consolidated Fixed Charges”: 
 (1) interest on
outstanding Indebtedness determined on a fluctuating basis as of the Transaction Date and which will continue to be so determined thereafter shall be deemed to have accrued at a fixed rate per annum equal to the rate of interest on such Indebtedness
in effect on the Transaction Date; 
 (2) if interest on any Indebtedness actually incurred on the Transaction
Date may optionally be determined at an interest rate based upon a factor of a prime or similar rate, a eurocurrency interbank offered rate, or other rates, then the interest rate in effect on the Transaction Date will be deemed to have been in
effect during the Four Quarter Period; and 
 (3) notwithstanding clause (1) above, interest on Indebtedness
determined on a fluctuating basis, to the extent such interest is covered by agreements relating to Interest Swap Obligations, shall be deemed to accrue at the rate per annum resulting after giving effect to the operation of such agreements.

 “Consolidated Fixed Charges” means, with respect to any Person for any period, the sum, without duplication,
of (1) Consolidated Interest Expense, plus (2) the product of (A) the amount of all dividend payments on any series of Preferred Stock of such Person (other than (x) dividends paid in Qualified Capital Stock and
(y) dividends on the Preferred Stock, the net proceeds of which will be used for the Distribution, to the extent they are paid in kind or accrete, except to the extent they constitute Disqualified Capital Stock) paid, accrued or scheduled to be
paid or accrued during such period times (B) a fraction, the numerator of which is one and the denominator of which is one minus the then current effective consolidated federal, state and local tax rate of such Person, expressed as a decimal.

 “Consolidated Interest Expense” means, for any period, the aggregate amount of interest in respect of
Indebtedness (including, without limitation, amortization of original issue discount on any Indebtedness and the interest portion of any deferred payment obligation of the type described under clause (4) of the definition of
“Indebtedness,” calculated in accordance with the effective interest method of accounting; all commissions, discounts and other fees and charges owed with respect to letters of credit and bankers’ acceptance financing; Indebtedness
that is Guaranteed or secured by the Company, any of its Restricted Subsidiaries, or any of its Regulated Subsidiaries), and all but the principal component of rentals in respect of Capitalized Lease Obligations paid, accrued or scheduled to be paid
or to be accrued by the Company, its Restricted Subsidiaries and its Regulated Subsidiaries during such period; excluding, however, (1) any amount of such interest of any Restricted Subsidiary or Regulated Subsidiary if the net income of such
Restricted Subsidiary or Regulated Subsidiary is excluded in the calculation of Adjusted Consolidated Net Income pursuant to clause (3) or (4) of the definition thereof (but only in the same proportion as the net income of such Restricted
Subsidiary or Regulated Subsidiary is excluded from the calculation of Adjusted Consolidated Net Income pursuant to clause (3) or (4) of the definition thereof) and (2) any premiums, fees and expenses (and any amortization thereof)
payable in connection with the offering of the 2015 Notes, 2016 Notes, 2017 Notes or 2019 Notes or the Notes all as determined on a consolidated basis (without taking into account Unrestricted Subsidiaries) in conformity with GAAP, and
(3) interest payments on trust preferred or similar securities issued by a Regulated Subsidiary to the extent the proceeds of the sale of such securities are invested in a Regulated Subsidiary. 

  
 -7-

 “Consolidated Net Worth” means, at any date of determination,
stockholders’ equity as set forth on the most recently available quarterly or annual consolidated balance sheet of the Company and its Restricted Subsidiaries and Regulated Subsidiaries (which shall be as of a date not more than 90 days prior
to the date of such computation, and which shall not take into account Unrestricted Subsidiaries), plus, to the extent not included, any Preferred Stock of the Company, less any amounts attributable to Disqualified Stock or any equity security
convertible into or exchangeable for Indebtedness, the cost of treasury stock and the principal amount of any promissory notes receivable from the sale of the Capital Stock of the Company or any of its Restricted Subsidiaries or Regulated
Subsidiaries, each item to be determined in conformity with GAAP (excluding the effects of foreign currency exchange adjustments under Financial Accounting Standards Board Statement of Financial Accounting Standards No. 52). 

“Corporate Trust Office” means the designated office of the Trustee at which the corporate trust
business of the Trustee is administered, which at the date of this Indenture is located at 525 William Penn Place,
38th Floor, Pittsburgh, PA 15259, Attn: Corporate Trust
Administration, or such other address as the Trustee may designate from time to time by notice to the Holders and the Company, or the principal corporate trust office of any successor Trustee (or such other address as such successor Trustee may
designate from time to time by notice to the Holders and the Company). 
 “Credit Facility” means a debt
facility or other financing arrangement (including, without limitation, commercial paper facilities or indentures) of, or Guaranteed by, the Company and used by the Company, its Restricted Subsidiaries or its Regulated Subsidiaries for working
capital or other general corporate purposes, providing for revolving credit loans, term loans, letters of credit or other long-term indebtedness, including any notes, mortgages, guarantees, collateral documents, instruments and agreements executed
in connection therewith together with the related documents, as such agreements may be amended (including any amendment and restatement), supplemented, replaced or otherwise modified from time to time (other than, for the avoidance of doubt, the
2015 Notes, 2016 Notes, 2017 Notes, 2019 Notes or any Notes issued under this Indenture). 
 “Default” means,
with respect to any series of Notes, any event that is, or after notice or passage of time or both would be, an Event of Default. 
 “Depositary” means, with respect to a series of Notes represented by one or more Global Notes, the depositary of such series, which will initially be DTC. 

“Disqualified Stock” means any class or series of Capital Stock of any Person that by its terms or otherwise is
(1) required to be redeemed prior to a date that is 91 days following the Stated Maturity of the applicable series of Notes, (2) redeemable at the option of the holder of such class or series of Capital Stock at any time prior to the
Stated Maturity of the applicable series of Notes or (3) convertible into or exchangeable for Capital Stock referred to in clause (1) or (2) above or Indebtedness having a scheduled maturity prior to the Stated Maturity of the
applicable series of Notes; provided that any Capital Stock that would not constitute Disqualified Stock but for provisions thereof giving holders thereof the right to require such Person to repurchase or redeem such Capital Stock upon the
occurrence of an “asset sale” or “change of control” occurring prior to the Stated Maturity of the applicable series of Notes shall not constitute Disqualified Stock if the “asset sale” or “change of control”
provisions applicable to such Capital Stock are no more favorable to the holders of such Capital Stock than the provisions contained in Section 4.10 and Section 4.11 and such Capital Stock specifically provides that such Person will not
repurchase or redeem any such stock pursuant to such provision prior to the Company’s repurchase of such Notes as are required to be repurchased pursuant to Section 4.10 and Section 4.11. 

  
 -8-

 “Domestic Subsidiary” means any Restricted Subsidiary of the Company with
total assets as determined under GAAP of at least $100,000, as set forth on the most recently available quarterly or annual consolidated balance sheet of such Restricted Subsidiary other than a Restricted Subsidiary that is (1) a Foreign
Subsidiary or (2) a Subsidiary of any such Foreign Subsidiary. 
 “DTC” means The Depository Trust
Company, a New York corporation, and its successors. 
 “DTC Legend” means the legend set forth in Exhibit A.

 “Event of Default” has the meaning assigned to such term in Section 6.01. 

“Exchange Act” means the Securities Exchange Act of 1934, as amended. 

“Excluded Contribution” with respect to the Company means net cash proceeds from: 

(1) contributions to its common equity capital; and 

(2) the sale (other than to a Subsidiary of the Company or to any management equity plan or stock option plan or any other
management or employee benefit plan or agreement of the Company) of Capital Stock (other than Disqualified Stock) of the Company, 
 in each
case designated as Excluded Contributions pursuant to an Officers’ Certificate delivered by the Company executed by the principal financial officer of the Company on the date such capital contributions are made or the date such equity interests
are sold, as the case may be, which are excluded from the calculation set forth in clause (D) of the first paragraph under Section 4.04. 
 “fair market value” means the price that would be paid in an arm’s-length transaction between an informed and willing seller under no compulsion to sell and an informed and willing
buyer under no compulsion to buy which, if determined by the Board of Directors as evidenced by a Board Resolution, shall be conclusively determined. 
 “FDIC” means the Federal Deposit Insurance Corporation. 

“Federal Reserve” means the Board of Governors of the Federal Reserve System of the United States, together with its
constituent banks and agencies. 
 “Foreign Subsidiary” means any Subsidiary of the Company that is an entity
which is a controlled foreign corporation under Section 957 of the Internal Revenue Code or any subsidiary that is otherwise organized under the laws of a jurisdiction other than the United States, any state thereof, or the District of
Columbia. 
 “GAAP” means generally accepted accounting principles in the United States of America as in effect
as of the date of this Indenture, including, without limitation, those set forth in the opinions and pronouncements of the Accounting Principles Board of the American Institute of Certified Public Accountants and statements and pronouncements of the
Financial Accounting Standards Board or in such other statements by such other entity as approved by a significant segment of the accounting profession. All ratios and computations contained or referred to in this Indenture with respect to a series
of Notes shall be computed in conformity with GAAP applied on a consistent basis, except that calculations made for purposes of determining compliance with the terms of the covenants and with other provisions of this Indenture shall be made without
giving effect to (1) the amortization of any expenses incurred in connection with the offering of the Notes and (2) except as otherwise provided, the amortization or writedown of any amounts required or permitted by Accounting Principles
Board Opinion Nos. 16 and 17 and Statement of Financial Accounting Standards No. 142. 

  
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 “Global Note” means a Note in registered global form without interest
coupons. 
 “Guarantee” means any obligation, contingent or otherwise, of any Person directly or indirectly
guaranteeing any Indebtedness of any other Person and, without limiting the generality of the foregoing, any obligation, direct or indirect, contingent or otherwise, of such Person (1) to purchase or pay (or advance or supply funds for the
purchase or payment of) such Indebtedness of such other Person (whether arising by virtue of partnership arrangements, or by agreements to keep-well, to purchase assets, goods, securities or services (unless such purchase arrangements are on
arm’s-length terms and are entered into in the ordinary course of business), to take-or-pay, or to maintain financial statement conditions or otherwise) or (2) entered into for purposes of assuring in any other manner the obligee of such
Indebtedness of the payment thereof or to protect such obligee against loss in respect thereof (in whole or in part); provided that the term “Guarantee” shall not include endorsements for collection or deposit in the ordinary course
of business, letters of credit issued by a Bank Regulated Subsidiary in the ordinary course of its business or STAMP or other signature guarantees made by a Regulated Subsidiary in the ordinary course of its business. The term “Guarantee”
used as a verb has a corresponding meaning. 
 “Hedging Obligations” means, with respect to any Person, the
obligations of such person under (i) currency exchange, interest rate, commodity, credit or equity swap, forward or futures agreements, currency exchange, interest rate, commodity, credit or equity cap agreements, currency exchange, interest
rate, commodity, credit or equity collar agreements, or currency exchange, interest rate, commodity, credit or equity puts or calls, and (ii) other agreements or arrangements designed to protect such Person, directly or indirectly, against
fluctuations in currency exchange, interest rate, commodity or equity prices. 
 “Holder” or
“Noteholder” means the registered holder of any Note. 
 “Incur” means, with respect to any
Indebtedness, to incur, create, issue, assume, Guarantee or otherwise become liable for or with respect to, or become responsible for, the payment of, contingently or otherwise, such Indebtedness; provided that (1) any Indebtedness of a
Person existing at the time such Person becomes a Restricted Subsidiary will be deemed to be incurred by such Restricted Subsidiary at the time it becomes a Restricted Subsidiary and (2) neither the accrual of interest nor the accretion of
original issue discount shall be considered an Incurrence of Indebtedness. 
 “Indebtedness” means, with
respect to any Person at any date of determination (without duplication): 
 (1) all indebtedness of such Person
for borrowed money; 
 (2) all obligations of such Person evidenced by bonds, debentures, notes or other similar
instruments; 
 (3) all obligations of such Person in respect of letters of credit or other similar instruments
(including reimbursement obligations with respect thereto, but excluding letters of credit issued by such Person and excluding obligations with respect to letters of credit (including trade letters of credit) securing obligations (other than
obligations described in (1) or (2) above or (5), (6) or (7) below) entered into in the ordinary course of business of such Person to the extent such letters of credit are not drawn upon or, if drawn upon, to the extent such
drawing is reimbursed no later than the third Business Day following receipt by such Person of a demand for reimbursement); 

  
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 (4) all obligations of such Person to pay the deferred and unpaid purchase
price of property or services, which purchase price is recorded as a liability under GAAP and due more than six months after the date of placing such property in service or taking delivery and title thereto or the completion of such services, except
Trade Payables; 
 (5) all Capitalized Lease Obligations; 

(6) all Indebtedness of other Persons secured by a Lien on any asset of such Person, whether or not such Indebtedness is
assumed by such Person; provided that the amount of such Indebtedness shall be the lesser of (A) the fair market value of such asset at such date of determination and (B) the amount of such Indebtedness; 

(7) all Indebtedness of other Persons Guaranteed by such Person to the extent such Indebtedness is Guaranteed by such
Person; 
 (8) Acquired Indebtedness; 

(9) to the extent not otherwise included in this definition, net obligations under Hedging Obligations (other than Hedging
Obligations not entered into for speculative investment purposes and designed to protect the Company or its Restricted Subsidiaries or Regulated Subsidiaries against fluctuations in commodity prices, equity prices, foreign currency exchange rates or
interest rates and that do not increase the Indebtedness of the obligor outstanding at any time other than as a result of fluctuations in commodity prices, foreign currency exchange rates or interest rates or by reason of fees, indemnities and
compensation payable thereunder); and 
 (10) all obligations to redeem or repurchase Disqualified Stock issued
by such Person, 
 provided that Indebtedness shall not include: 

(a) obligations arising from products and services offered by Bank Regulated Subsidiaries or Broker Dealer Regulated
Subsidiaries in the ordinary course including, but not limited to, deposits, CDs, prepaid forward contracts, swaps, exchangeable debt securities, foreign currency purchases or sales and letters of credit; 

(b) indebtedness or other obligations incurred in the ordinary course arising from margin lending, Stock Loan activities
or foreign currency settlement obligations of a Broker Dealer Regulated Subsidiary; 
 (c) indebtedness of the
Company or any Restricted Subsidiary represented by letters of credit for the account of the Company or such Restricted Subsidiary, as the case may be, in order to provide security for workers’ compensation claims, payment obligations in
connection with self-insurance or similar requirements in the ordinary course of business; 
 (d) Purchase Money
Indebtedness of the Company or any Restricted Subsidiary not to exceed at any one time outstanding 5% of Consolidated Net Worth; 
 (e) indebtedness arising from agreements of the Company or a Restricted Subsidiary providing for indemnification, adjustment of purchase price 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; 

  
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 (f) indebtedness Incurred by Professional Path, Inc. in the ordinary course
of its proprietary trading activities in an amount not to exceed at any one time outstanding of $5 million; 

(g) advances from the Federal Home Loan Bank, Federal Reserve Bank (or similar institution), repurchase and reverse
repurchase agreements relating to Investment Securities, medium term notes, treasury tax and loan balances, special direct investment balances, bank notes, commercial paper, term investment option balances, brokered certificates of deposit, dollar
rolls, and fed funds purchased, in each case incurred in the ordinary course of a Regulated Subsidiary’s business; 
 (h) Indebtedness Incurred by a Regulated Subsidiary and Guaranteed by the Company (i)(A) the proceeds of which are used to satisfy applicable minimum capital requirements imposed by applicable regulatory
authorities of such Regulated Subsidiary and (B) where the provision of such Guarantee by the Company is required by the applicable regulatory authority or (ii) where the provision of such Guarantee by the Company is required by a bank,
clearing house or other market participant in connection with the ordinary course of a Broker Dealer Regulated Subsidiary’s business. 
 The amount of Indebtedness of any Person at any date shall be the outstanding balance at such date of all unconditional obligations as described above and, with respect to contingent obligations, the
maximum liability upon the occurrence of the contingency giving rise to the obligation, provided 
 (A)
that the amount outstanding at any time of any Indebtedness issued with original issue discount is the face amount of such Indebtedness less the remaining unamortized portion of the original issue discount of such Indebtedness at such time as
determined in conformity with GAAP, 
 (B) that money borrowed and set aside at the time of the Incurrence of any
Indebtedness in order to prefund the payment of the interest on such Indebtedness shall not be deemed to be “Indebtedness” so long as such money is held to secure the payment of such interest and 

(C) that Indebtedness shall not include: 

(x) any liability for federal, state, local or other taxes, 

(y) performance, surety or appeal bonds provided in the ordinary course of business or 

(z) agreements providing for indemnification, adjustment of purchase price or similar obligations, or Guarantees or
letters of credit, surety bonds or performance bonds securing any obligations of the Company or any of its Restricted Subsidiaries pursuant to such agreements, in any case Incurred in connection with the disposition of any business, assets or
Restricted Subsidiary (other than Guarantees of Indebtedness Incurred by any Person acquiring all or any portion of such business, assets or Restricted Subsidiary for the purpose of financing such acquisition), so long as the principal amount does
not to exceed the gross proceeds actually received by the Company or any Restricted Subsidiary in connection with such disposition. 
 “Indenture” means this indenture, as amended or supplemented from time to time. 

  
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 “Indentures” means this Indenture, the 2015 Notes Indenture, the 2016 Notes
Indenture, the 2017 Notes Indenture, and the 2019 Notes Indenture. 
 “Insurance Regulated Subsidiary” means
any Subsidiary which conducts an insurance business such that it is regulated by any supervisory agency, state insurance department other state, federal or foreign insurance regulatory body or the National Association of Insurance Commissioners.

 “Interest Payment Date,” when used with respect to any installment of interest on a Note of a particular
series, means the date specified in such Note or in a Board Resolution or in an indenture supplemental hereto with respect to such series as the fixed date on which an installment of interest with respect to Notes of that series is due and payable.

 “Interest Swap Obligations” means the obligations of any Person pursuant to any arrangement with any other
Person, whereby, directly or indirectly, such Person is entitled to receive from time to time periodic payments calculated by applying either a floating or a fixed rate of interest on a stated notional amount in exchange for periodic payments made
by such other Person calculated by applying a fixed or a floating rate of interest on the same notional amount and shall include, without limitation, interest rate swaps, caps, floors, collars and similar agreements. 

“Investment” in any Person means any direct or indirect advance, loan or other extension of credit (including, without
limitation, by way of Guarantee or similar arrangement; but excluding Investment Securities, advances to customers or suppliers in the ordinary course of business that are, in conformity with GAAP, recorded as accounts receivable, prepaid expenses
or deposits on the balance sheet of the Company or its Restricted Subsidiaries and endorsements for collection or deposit arising in the ordinary course of business) or capital contribution to (by means of any transfer of cash or other property to
others or any payment for property or services for the account or use of others), or any purchase or acquisition of Capital Stock, bonds, notes, debentures or other similar instruments issued by, such Person and shall include (1) the
designation of a Restricted Subsidiary as an Unrestricted Subsidiary or as a Regulated Subsidiary and (2) the retention of the Capital Stock (or any other Investment) by the Company or any of its Restricted Subsidiaries, of (or in) any Person
that has ceased to be a Restricted Subsidiary, including without limitation, by reason of any transaction permitted by clause (3) or (4) of Section 4.06. For purposes of the definition of “Unrestricted Subsidiary” and
Section 4.04, (a) the amount of or a reduction in an Investment shall be equal to the fair market value thereof at the time such Investment is made or reduced and (b) in the event the Company or a Restricted Subsidiary makes an
Investment by transferring assets to any Person and as part of such transaction receives Net Cash Proceeds, the amount of such Investment shall be the fair market value of the assets less the amount of Net Cash Proceeds so received, provided
the Net Cash Proceeds are applied in accordance with clause (A) or (B) of Section 4.10. 
 “Investment
Grade Status” shall occur when a series of Notes receives a rating of “BBB-” or higher from S&P or a rating of “Baa3” or higher from Moody’s. 

“Investment Securities” means marketable securities of a Person (other than an Affiliate or joint venture of the Company
or any Restricted Subsidiary or any Regulated Subsidiary), mortgages, credit card and other loan receivables, futures contracts on marketable securities, interest rates and foreign currencies used for the hedging of marketable securities, mortgages
or credit card and other loan receivables purchased, borrowed, sold, loaned or pledged by such Person in the ordinary course of its business. 
 “Issue Date” “ means, with respect to a series of Notes, the date on which Notes of such series are originally issued. 

  
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 “Lien” means any mortgage, pledge, security interest, encumbrance, lien or
charge of any kind (including, without limitation, any conditional sale or other title retention agreement or lease in the nature thereof or any agreement to give any security interest). 

“Moody’s” means Moody’s Investors Service, Inc. and its successors. 

“Net Cash Proceeds” means: 
 (a) with respect to any Asset Sale or Regulated Sale, the proceeds of such Asset Sale or Regulated Sale in the form of cash or cash equivalents, including payments in respect of deferred payment
obligations (to the extent corresponding to the principal, but not interest, component thereof) when received in the form of cash or cash equivalents and proceeds from the conversion of other property received when converted to cash or cash
equivalents, net of 
 (1) brokerage commissions and other fees and expenses (including attorney’s fees,
accountants’ fees, underwriters’, placement agents’ and other investment bankers’ fees, commissions and consultant fees) related to such Asset Sale or Regulated Sale; 

(2) provisions for all taxes (whether or not such taxes will actually be paid or are payable) as a result of such Asset
Sale or Regulated Sale without regard to the consolidated results of operations of the Company and its Restricted Subsidiaries, taken as a whole, together with any actual distributions to shareholders of the type contemplated under
Section 4.04(b)(9) with respect to the taxable income relating to such Asset Sale or Regulated Sale; 
 (3)
payments made to repay Indebtedness or any other obligation outstanding at the time of such Asset Sale or Regulated Sale that either (x) is secured by a Lien on the property or assets sold or (y) is required to be paid as a result of such
sale and 
 (4) appropriate amounts to be provided by the Company, any Restricted Subsidiary or any Regulated
Subsidiary as a reserve against any liabilities associated with such Asset Sale or Regulated Sale, including, without limitation, pension and other post-employment benefit liabilities, liabilities related to environmental matters and liabilities
under any indemnification obligations associated with such Asset Sale or Regulated Sale, all as determined in conformity with GAAP; and 
 (b) with respect to any issuance or sale of Capital Stock, the proceeds of such issuance or sale in the form of cash or cash equivalents, including payments in respect of deferred payment obligations (to
the extent corresponding to the principal, but not interest, component thereof) when received in the form of cash or cash equivalents and proceeds from the conversion of other property received when converted to cash or cash equivalents, net of
attorney’s fees, accountants’ fees, underwriters’ or placement agents’ fees, discounts or commissions and brokerage, consultant and other fees incurred in connection with such issuance or sale and net of taxes paid or payable as
a result thereof. 
 “Note” or “Notes” “ has the meaning assigned to such term in the
first recital of this Indenture, or, as the case may be, Notes that have been authenticated and delivered under this Indenture. 

“Notes Guarantee” has the meaning set forth in Section 4.07. 

  
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 “Obligations” means any principal, interest, penalties, fees,
indemnifications, reimbursements, damages and other liabilities payable under the documentation governing any Indebtedness. 

“OCC” means the United States Office of the Comptroller of the Currency. 

“Offer to Purchase” means an offer to purchase Notes of one or more series by the Company from the Holders commenced by
mailing a notice to the Trustee and each Holder stating: 
 (1) the covenant pursuant to which the offer is being
made and that all such Notes validly tendered will be accepted for payment on a pro rata basis; 
 (2) the
purchase price and the date of purchase (which shall be a Business Day no earlier than 30 days nor later than 60 days from the date such notice is mailed) (the “Payment Date”); 

(3) that any Note of a series subject to purchase not tendered will continue to accrue interest pursuant to its terms;

 (4) that, unless the Company defaults in the payment of the purchase price, any Note accepted for payment
pursuant to the Offer to Purchase shall cease to accrue interest on and after the Payment Date; 
 (5) that
Holders electing to have a Note purchased pursuant to the Offer to Purchase will be required to surrender such Note, together with the form entitled “Option of the Holder to Elect Purchase” on the reverse side of such Note completed, to
the Paying Agent at the address specified in the notice prior to the close of business on the Business Day immediately preceding the Payment Date; 
 (6) that Holders of a series of Notes subject to repurchase will be entitled to withdraw their election if the Paying Agent receives, not later than the close of business on the third Business Day
immediately preceding the Payment Date, a telegram, facsimile transmission or letter setting forth the name of such Holder, the principal amount of such Notes delivered for purchase and a statement that such Holder is withdrawing his election to
have such Notes purchased; and 
 (7) that Holders whose Notes are being purchased only in part will be issued
new Notes of the applicable series equal in principal amount to the unpurchased portion of such Notes surrendered; provided that each Note purchased and each new Note of the applicable series issued shall be in a principal amount of $2,000 or
multiples of $1,000 in excess thereof (or other authorized denominations for such Notes established pursuant to Section 2.02). 
 On the
Payment Date, the Company shall (a) accept for payment on a pro rata basis Notes of a series subject to purchase or portions thereof tendered pursuant to an Offer to Purchase; (b) deposit with the Paying Agent money sufficient to pay the
purchase price of all such Notes or portions thereof so accepted; and (c) deliver, or cause to be delivered, to the Trustee all such Notes or portions thereof so accepted together with an Officers’ Certificate specifying such Notes or
portions thereof accepted for payment by the Company. The Paying Agent shall promptly mail to the Holders of Notes so accepted payment in an amount equal to the purchase price, and the Trustee shall promptly authenticate and mail to such Holders a
new Note of the applicable series equal in principal amount to any unpurchased portion of the Note surrendered; provided that each Note purchased and each new Note issued shall be in a principal amount of $2,000 or multiples of $1,000 in
excess thereof (or other authorized denominations for such Notes 

  
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established pursuant to Section 2.02). The Company will publicly announce the results of an Offer to Purchase as soon as practicable after the Payment Date. The Trustee shall act as the
Paying Agent for an Offer to Purchase. The Company will comply with Rule 14e-l under the Exchange Act and any other securities laws and regulations thereunder to the extent such laws and regulations are applicable, if the Company is required to
repurchase Notes pursuant to an Offer to Purchase. 
 “Officer” means the chairman of the Board of Directors,
the president or chief executive officer, any vice president, the chief financial officer, the treasurer or any assistant treasurer, or the secretary or any assistant secretary, of the Company. 

“Officers’ Certificate” means a certificate signed in the name of the Company (i) by the chairman of the Board
of Directors, the president or chief executive officer or a vice president and (ii) by the chief financial officer, the treasurer or any assistant treasurer or the secretary or any assistant secretary. 

“Opinion of Counsel” means an opinion from legal counsel that meets the requirements of Section 11.04 of this
Indenture. 
 “Original Issue Discount Note” means any Note that provides for an amount less than the principal
amount thereof to be due and payable upon a declaration of acceleration of the maturity thereof pursuant to Section 6.02. 

“Original Notes” means the Notes of a series issued on the applicable Issue Date and any Notes issued in replacement
thereof pursuant to the terms of this Indenture or any supplement thereto. 
 “outstanding,” with respect to
any Note, has the meaning set forth in Section 2.06. 
 “Pari Passu Indebtedness” has the meaning set
forth in Section 4.10. 
 “Paying Agent” refers to a Person engaged to perform the obligations of the
Trustee in respect of payments made or funds held hereunder in respect of a series of Notes. 
 “Permitted
Investment” means: 
 (1) an Investment in the Company or a Restricted Subsidiary or a Regulated
Subsidiary or a Person which will, upon the making of such Investment, become a Restricted Subsidiary or Regulated Subsidiary or be merged or consolidated with or into or transfer or convey all or substantially all its assets to, the Company or a
Restricted Subsidiary or Regulated Subsidiary; provided that such person’s primary business is a Related Business on the date of such Investment; 
 (2) Temporary Cash Investments and Investment Securities; 
 (3)
payroll, travel and similar advances to cover matters that are expected at the time of such advances ultimately to be treated as expenses in accordance with GAAP; 

(4) stock, obligations or securities received in satisfaction of judgments; 

(5) an Investment in an Unrestricted Subsidiary consisting solely of an Investment in another Unrestricted Subsidiary;

  
 -16-

 (6) Hedging Obligations not entered into for speculative investment purposes
and designed to protect the Company or its Restricted Subsidiaries or Regulated Subsidiaries against fluctuations in commodity prices, securities prices, foreign currency exchange rates or interest rates; and 

(7) any Investment made as a result of the receipt of non-cash consideration from an Asset Sale that was made pursuant to
and in compliance with Section 4.10. 
 “Permitted Liens” means: 

(1) Liens for taxes, assessments, governmental charges or claims that are being contested in good faith by appropriate
legal proceedings promptly instituted and diligently conducted and for which a reserve or other appropriate provision, if any, as shall be required in conformity with GAAP shall have been made; 

(2) statutory and common law Liens of landlords and carriers, warehousemen, mechanics, suppliers, materialmen, repairmen
or other similar Liens (including a lender’s unexercised rights of set-off) arising in the ordinary course of business and with respect to amounts not yet delinquent or being contested in good faith by appropriate legal proceedings promptly
instituted and diligently conducted and for which a reserve or other appropriate provision, if any, as shall be required in conformity with GAAP shall have been made; 

(3) Liens incurred or deposits made in the ordinary course of business in connection with workers’ compensation,
unemployment insurance and other types of social security; 
 (4) Liens incurred or deposits made to secure the
performance of tenders, bids, leases, statutory or regulatory obligations, bankers’ acceptances, surety and appeal bonds, government contracts, performance and return-of-money bonds and other obligations of a similar nature incurred in the
ordinary course of business (exclusive of obligations for the payment of borrowed money); 
 (5) easements,
rights-of-way, municipal and zoning ordinances and similar charges, encumbrances, title defects or other irregularities that do not materially interfere with the ordinary course of business of the Company or any of its Restricted Subsidiaries;

 (6) leases or subleases granted to others that do not materially interfere with the ordinary course of
business of the Company and its Restricted Subsidiaries, taken as a whole; 
 (7) Liens encumbering property or
assets under construction arising from progress or partial payments by a customer of the Company or its Restricted Subsidiaries relating to such property or assets; 

(8) any interest or title of a lessor in the property subject to any Capitalized Lease or operating lease; 

(9) Liens arising from filing Uniform Commercial Code financing statements regarding leases; 

(10) Liens on property of, or on shares of Capital Stock or Indebtedness of, any Person existing at the time such Person
becomes, or becomes a part of, any Restricted Subsidiary; provided that such Liens do not extend to or cover any property or assets of the Company or any Restricted Subsidiary other than the property or assets acquired; 

  
 -17-

 (11) Liens in favor of the Company or any Restricted Subsidiary; 

(12) Liens arising from the rendering of a final judgment or order against the Company or any Restricted Subsidiary that
does not give rise to an Event of Default; 
 (13) Liens securing reimbursement obligations with respect to
letters of credit that encumber documents and other property relating to such letters of credit and the products and proceeds thereof; 
 (14) 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; 

(15) Liens encumbering customary initial deposits and margin deposits, and other Liens that are within the general
parameters customary in the industry and incurred in the ordinary course of business, in each case, securing Indebtedness under Hedging Obligations not entered into for speculative investment purposes and designed to protect the Company or any of
its Restricted Subsidiaries from fluctuations in interest rates, currencies or the price of commodities or securities; 
 (16) Liens arising out of conditional sale, title retention, consignment or similar arrangements for the sale of goods entered into by the Company or any of its Restricted Subsidiaries in the ordinary
course of business in accordance with the past practices of the Company and its Restricted Subsidiaries prior to the Issue Date; 
 (17) Liens on shares of Capital Stock of any Unrestricted Subsidiary to secure Indebtedness of such Unrestricted Subsidiary; and 

(18) Liens on or sales of receivables or mortgages. 

“Person” means an individual, a corporation, a partnership, a limited liability company, an association, a trust or any
other entity or organization, including a government or political subdivision or an agency or instrumentality thereof. 

“Preferred Stock” of any Person means any Capital Stock of such Person that has preferential rights to any other Capital
Stock of such Person with respect to dividends or redemptions or upon liquidation. 
 “Purchase Money
Indebtedness” means indebtedness (1) incurred to finance the cost (including the cost of improvement or construction and fees and expenses related to the acquisition) of real or personal property acquired after the Issue Date,
provided that (a) the amount of such indebtedness does not exceed 100% of such cost, and (b) such indebtedness is incurred prior to, at the time of, or within twelve months after the later of the acquisition, the completion of
construction or the commencement of full operation of such property; or (2) issued in exchange for, or the net proceeds of which are used to refinance or refund, then outstanding Purchase Money Indebtedness and any refinancings or refundings
thereof in accordance with Section 4.03(a)(3). The term “Indebtedness” for purposes of Section 4.03(a)(3) and Section 4.09(4), (6), (7)and (9) shall be deemed to include “Purchase Money Indebtedness.”

  
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 “Rating Agency” means any “nationally recognized statistical rating
organization,” as such term is defined in Section 3(a)(62) of the Exchange Act. 
 “Rating Category”
means (i) with respect to S&P, any of the following categories: AAA, AA, A, BBB, BB, B, CCC, CC, C and D (or equivalent successor categories); (ii) with respect to Moody’s, any of the following categories: Aaa, Aa, A,
Baa, Ba, B, Caa, Ca, C and D (or equivalent successor categories); and (iii) the equivalent of any such category of S&P or Moody’s used by another Rating Agency. In determining whether the rating of the Notes of any series has
decreased by one or more gradations, gradations within Rating Categories (+ and – for S&P; 1, 2 and 3 for Moody’s; or the equivalent gradations for another Rating Agency) shall be taken into account (e.g., with respect to S&P, a
decline in rating from BB+ to BB, as well as from BB– to B+, will constitute a decrease of one gradation). 

“Rating Decline” means (i) a decrease of one or more gradations (including gradations within Rating Categories as
well as between Rating Categories) in the rating of the a series of Notes by both Moody’s and S&P or (ii) a withdrawal of the rating of such Notes by Moody’s and S&P, in each case, directly as a result of a Change of Control;
provided, however, that such decrease or withdrawal occurs on, or within 30 days following, the date of public notice of the occurrence of a Change of Control or of the intention by the Company, or a stockholder of the Company, as
applicable, to effect a Change of Control, which period shall be extended so long as the rating of such Notes relating to the Change of Control as noted by the Rating Agency is under publicly announced consideration for downgrade by the applicable
Rating Agency. 
 “Register” has the meaning assigned to such term in Section 2.09. 

“Registrar” means a Person engaged to maintain the Register with respect to a series of Notes. 

“Regular Record Date” for the interest payable on any Interest Payment Date (except a date for payment of overdue
interest) shall mean the date specified as such in the Notes of any particular series, or, if no such date is so specified, if such Interest Payment Date is the first day of a calendar month, the fifteenth day of the next preceding calendar month
or, if such Interest Payment Date is the fifteenth day of a calendar month, the first day of such calendar month, whether or not such record date is a Business Day. 
 “Regulated Sale” means any sale, transfer or other disposition (including by way of merger, consolidation or Sale-Leaseback Transaction) in one transaction or a series of related
transactions by the Company or any of its Restricted Subsidiaries or Regulated Subsidiaries to any Person other than the Company or any of its Restricted Subsidiaries or Regulated Subsidiaries of: 

(1) all or any of the Common Stock of any Regulated Subsidiary that constitutes a Significant Subsidiary, or 

(2) all or substantially all of the property and assets of an operating unit or business of any Regulated Subsidiary that
constitutes a Significant Subsidiary, 
 in each case, that is not governed by the provisions of this Indenture applicable to mergers,
consolidations and sales of assets of the Company; provided that “Regulated Sale” shall not include an issuance, sale, transfer or other disposition of Capital Stock by a Regulated Subsidiary to the Company, a Wholly Owned
Restricted Subsidiary or a Wholly Owned Regulated Subsidiary. 
 “Regulated Subsidiary” means a Broker Dealer
Regulated Subsidiary, a Bank Regulated Subsidiary or an Insurance Regulated Subsidiary or any other Subsidiary subject to minimum capital requirements or other similar material regulatory requirements imposed by applicable regulatory authorities.

  
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 “Related Business” means any financial services business which is the same
as or ancillary or complementary to any business of the Company and its Restricted Subsidiaries and Regulated Subsidiaries that is being conducted on the Issue Date, including, but not limited to, activities under Section 4(k) of the Bank
Holding Company Act, as amended, or Section 10 of the Home Owners’ Loan Act, as amended, broker-dealer services, insurance, investment advisory services, specialist and other market making activities, trust services, underwriting and the
creation of and offers and sales of interests in mutual funds. 
 “Replacement Assets” means, on any date,
property or assets (other than cash or Temporary Cash Investments) of a nature or type or that are used in a business (or an Investment in a company having property or assets of a nature or type, or engaged in a business) similar or related to the
nature or type of the property and assets of, or the business of, the Company and its Restricted Subsidiaries and its Regulated Subsidiaries existing on such date. 
 “Responsible Officer” shall mean, when used with respect to the Trustee, any officer within the corporate trust department of the Trustee, including any vice president, assistant vice
president, assistant secretary, assistant treasurer, trust officer or any other officer of the Trustee who customarily performs functions similar to those performed by the Persons who at the time shall be such officers, respectively, or to whom any
corporate trust matter is referred because of such person’s knowledge of and familiarity with the particular subject and who shall have direct responsibility for the administration of this Indenture. 

“Restricted Subsidiary” means any Subsidiary of the Company other than an Unrestricted Subsidiary, or a Regulated
Subsidiary. 
 “Sale-Leaseback Transaction” means, with respect to any Person, an arrangement whereby such
Person sells or transfers property and then or thereafter leases such property or any substantial part thereof which such Person intends to use for substantially the same purpose or purposes as the property sold or transferred, provided that
for purposes of this definition, “property” shall not include Investment Securities. 
 “S&P”
means Standard & Poor’s Ratings Group, a division of The McGraw-Hill Companies, and its successors. 

“Secured Indebtedness Cap” means, on any date, an amount equal to 1.0 times the Consolidated EBITDA of the Company for
the most recently ended Four Quarter Period for which financial statements are available immediately preceding such date. For purposes of making the computation referred to above, Consolidated EBITDA shall be calculated after giving effect on a pro
forma basis for the period of such calculation to any Asset Sales or Asset Acquisitions (including, without limitation, any Asset Acquisition giving rise to the need to make such calculation as a result of such Person or one of its Restricted
Subsidiaries or Regulated Subsidiaries (including any Person who becomes a Restricted Subsidiary or Regulated Subsidiary as a result of the Asset Acquisition) incurring, assuming or otherwise being liable for Acquired Indebtedness and also including
any Consolidated EBITDA attributable to the assets which are the subject of the Asset Acquisition or Asset Sale during the Four Quarter Period) occurring during the Four Quarter Period or at any time subsequent to the last day of the Four Quarter
Period and on or prior to the date of such calculation, as if such Asset Sale or Asset Acquisition (including the incurrence, assumption or liability for any such Acquired Indebtedness) occurred on the first day of the Four Quarter Period.

 “Securities Act” means the Securities Act of 1933, as amended. 

  
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 “Significant Subsidiary” means, at any date of determination, any
Restricted Subsidiary that, together with its Subsidiaries, (1) for the most recent fiscal year of the Company, accounted for more than 10% of the consolidated revenues of the Company and its Restricted Subsidiaries or (2) as of the end of
such fiscal year, was the owner of more than 10% of the consolidated assets of the Company and its Restricted Subsidiaries, all as set forth on the most recently available consolidated financial statements of the Company for such fiscal year.

 “Stated Maturity” means, (1) with respect to any debt security, the date specified in such debt
security as the fixed date on which the final installment of principal of such debt security is due and payable and (2) with respect to any scheduled installment of principal of or interest on any debt security, the date specified in such debt
security as the fixed date on which such installment is due and payable. 
 “Stock Loan” means a
“Loan” as used in the Master Securities Loan Agreement published from time to time by the Bond Market Association. 

“Subsidiary” means, with respect to any Person, any corporation, association or other business entity of which more than
50% of the voting power of the outstanding Voting Stock is owned, directly or indirectly, by such Person and one or more other Subsidiaries of such Person. 
 “Subsidiary Guarantor” means any Domestic Subsidiary which provides a Note Guarantee of the Company’s obligations under a series of Notes and this Indenture pursuant to
Section 4.07. 
 “Temporary Cash Investment” means any of the following: 

(1) direct obligations of the United States of America or any agency thereof or obligations fully and unconditionally
guaranteed by the United States of America or any agency thereof, in each case maturing within two years unless such obligations are deposited by the Company (x) to defease any Indebtedness or (y) in a collateral or escrow account or
similar arrangement to prefund the payment of interest on any indebtedness; 
 (2) demand deposits, time deposit
accounts, bankers acceptances, certificates of deposit and money market deposits maturing within one year of the date of acquisition thereof issued by a bank or trust company which 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, and which bank or trust company (i) has capital, surplus and undivided profits aggregating in excess of $100 million (or the foreign currency equivalent thereof)
and has outstanding debt which is rated “A” (or such similar equivalent rating) or higher by at least one nationally recognized statistical rating organization (as such term is defined in Section 3(a)(62) of the Exchange Act) or
(ii) is a money market fund sponsored by a registered broker dealer or mutual fund distributor; 
 (3)
repurchase obligations with a term of not more than 30 days for underlying securities of the types described in clause (1) above entered into with a bank or trust company meeting the qualifications described in clause (2) above;

 (4) commercial paper, maturing not more than one year after the date of acquisition, issued by a corporation
(other than an Affiliate of the Company) organized and in existence under the laws of the United States of America, any state thereof 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 l” (or higher) according to S&P; 
 (5) securities with maturities of six months or less from the date of acquisition issued or fully and unconditionally 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 Moody’s; 

  
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 (6) Indebtedness issued by Persons with a rating of “A” or higher
from S&P or “A-2” or higher from Moody’s (or reasonably equivalent ratings of another internationally recognized ratings agency) in each case with maturities not exceeding two years from the date of acquisition; and 

(7) any mutual fund that has at least 95% of its assets continuously invested in investments of the types described in
clauses (1) through (6) above. 
 “Trade Payables” means, with respect to any Person, any accounts
payable or any other indebtedness or monetary obligation to trade creditors created, assumed or Guaranteed by such Person or any of its Subsidiaries arising in the ordinary course of business in connection with the acquisition of goods or services.

 “Transaction Date” means, with respect to the Incurrence of any Indebtedness, the date such Indebtedness is
to be Incurred and, with respect to any Restricted Payment, the date such Restricted Payment is to be made. 

“Trustee” means the party named as such in the first paragraph of this Indenture or any successor trustee under this
Indenture pursuant to Article VII. 
 “Trust Indenture Act” or “TIA” has the meaning assigned
to such term in the third recital of this Indenture. 
 “Unrestricted Subsidiary” means (1) any Subsidiary
of the Company that at the time of determination shall be designated an Unrestricted Subsidiary by the Board of Directors in the manner provided below; and (2) any Subsidiary of an Unrestricted Subsidiary. The Board of Directors may designate
any Restricted Subsidiary or Regulated Subsidiary (including any newly acquired or newly formed Subsidiary of the Company) to be an Unrestricted Subsidiary unless such Subsidiary owns any Capital Stock of, or owns or holds any Lien on any property
of, the Company or any Restricted Subsidiary; provided that (A) any Guarantee by the Company or any Restricted Subsidiary of any Indebtedness of the Subsidiary being so designated shall be deemed an “Incurrence” of such
Indebtedness and an “Investment” by the Company or such Restricted Subsidiary (or both, if applicable) at the time of such designation; (B) either (I) the Subsidiary to be so designated has total assets of $1,000 or less or (II)
if such Subsidiary has assets greater than $1,000, such designation would be permitted under Section 4.04 and (C) if applicable, the Incurrence of Indebtedness and the Investment referred to in clause (A) of this proviso would be
permitted under the Section 4.03 and Section 4.04. The Board of Directors may designate any Unrestricted Subsidiary to be a Restricted Subsidiary; provided that (a) no Default or Event of Default shall have occurred and be
continuing at the time of or after giving effect to such designation and (b) all Liens and Indebtedness of such Unrestricted Subsidiary outstanding immediately after such designation would, if Incurred at such time, have been permitted to be
Incurred (and shall be deemed to have been Incurred) for all purposes of this Indenture. Any such designation by the Board of Directors shall be evidenced to the Trustee by promptly filing with the Trustee a copy of the Board Resolution giving
effect to such designation and an Officers’ Certificate certifying that such designation complied with the foregoing provisions. 
 “U.S. Government Obligations” means securities that are (1) direct obligations of the United States of America for the payment of which its full faith and credit is pledged or
(2) obligations of a Person controlled or supervised by and acting as an agency or instrumentality of the United States of America the payment of which is unconditionally guaranteed as a full faith and credit obligation by the United

  
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States of America, which, in either case, are not callable or redeemable at the option of the issuer thereof at any time prior to the Stated Maturity of the applicable series of Notes, and shall
also include a depository receipt issued by a bank or trust company as custodian with respect to any such U.S. Government Obligation or a specific payment of interest on or principal of any such U.S. Government Obligation held by such custodian for
the account of the holder of a depository receipt; provided that (except as required by law) such custodian is not authorized to make any deduction from the amount payable to the holder of such depository receipt from any amount received by
the custodian in respect of the U.S. Government Obligation or the specific payment of interest on or principal of the U.S. Government Obligation evidenced by such depository receipt. 

“Voting Stock” means with respect to any Person, Capital Stock of any class or kind ordinarily having the power to vote
for the election of directors, managers or other voting members of the governing body of such Person. 
 “Wholly
Owned” means, with respect to any Subsidiary of any Person, the ownership all of the outstanding Capital Stock of such Subsidiary by such Person or one or more Wholly Owned Subsidiaries of such Person. 

“Yield to Maturity” means the yield to maturity on a series of Notes, calculated at the time of issuance of such series,
or, if applicable, at the most recent redetermination of interest on such series, and calculated in accordance with accepted financial practice. 
 Section 1.02 Incorporation by Reference of Trust Indenture Act. Whenever this Indenture refers to a provision of the Trust Indenture Act, or TIA, the provision is incorporated by reference in
and made a part of this Indenture. The following TIA terms used in this Indenture have the following meanings: 

“indenture securities” means the Notes to be issued from time to time under this Indenture; 

“indenture security holder” means a Holder or a Noteholder with respect to a series of such Notes;

 “indenture to be qualified” means this Indenture; 

“indenture trustee” or “institutional trustee” means the Trustee; and 

“obligor” on indenture securities means the Company or any other obligor on the applicable series of
Notes. 
 All other TIA terms used in this Indenture that are defined by the TIA, defined by TIA reference to another statute or
defined by a rule of the Commission and not otherwise defined herein have the meanings assigned to them therein. 

Section 1.03 Rules of Construction. Unless the context otherwise requires: 

(i) a term has the meaning assigned to it; 

(ii) an accounting term not otherwise defined has the meaning assigned to it in accordance with GAAP; 

  
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 (iii) “or” is not exclusive; 

(iv) words in the singular include the plural, and words in the plural include the singular; 

(v) provisions apply to successive events and transactions; 

(vi) “herein,” “hereof” and other words of similar import refer to this Indenture as a whole and not
to any particular Article, Section or other subdivision; 
 (vii) all ratios and computations based on GAAP
contained in this Indenture shall be computed in accordance with the definition of GAAP set forth in Section 1.01; and 
 (viii) all references to Sections or Articles refer to Sections or Articles of this Indenture unless otherwise indicated. 
 ARTICLE II 
 THE NOTES 

Section 2.01 Forms Generally and Dating. The Notes of each series shall be substantially in such form (not inconsistent with
this Indenture) as shall be established by or pursuant to a Board Resolution and set forth in an Officers’ Certificate, or in one or more indentures supplemental hereto, in each case with such appropriate insertions, omissions, substitutions
and other variations as are required or permitted by this Indenture and may have imprinted or otherwise reproduced thereon such legends, notations or endorsements as may be required to comply with any law or with any rules or regulations pursuant
thereto, or with any rules of any securities exchange or to conform to general usage, all as may be determined by the officer executing such Notes, as evidenced by such officer’s execution of the Notes. Each Note will be dated the date of its
authentication.The Notes shall be issuable only in registered form without coupons. 
 The Trustee’s certificate of
authentication on all Notes shall be in substantially the following form: 
 This is one of the Notes of the series designated
herein and referred to in the within-mentioned Indenture. 
  

			
	 THE BANK OF NEW YORK MELLON
 TRUST COMPANY, N.A., as Trustee

		
	By:	 	  

		 	Authorized Signatory

 Section 2.02 Amount Unlimited; Issuable in Series. 

Subject to compliance with this Section 2.02 and any other term or condition of this Indenture (including, without limitation,
Section 4.03), the aggregate principal amount of Notes which may be authenticated and delivered under this Indenture is unlimited. 

  
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 The Notes may be issued in one or more series. There shall be established in or pursuant to
a Board Resolution and set forth in an Officers’ Certificate, or established in one or more indentures supplemental hereto, prior to the issuance of Notes of any series: 
 (a) the title of the Notes of the series including CUSIP numbers, if available (which shall distinguish the Notes of the series from all other Notes); 

(b) any limit upon the aggregate principal amount of the Notes of the series that may be authenticated and delivered under this Indenture
(except for Notes authenticated and delivered upon registration of transfer of, or in exchange for, or in lieu of, other Notes of the series pursuant to Section 2.05, Section 2.07, Section 2.10 or upon partial redemption or repurchase
of a Note if such Note is subject to redemption as set forth in Article III or upon partial repurchase of a Note pursuant to an Offer to Purchase); 
 (c) the date or dates on which the principal of the Notes of the series is payable; 
 (d) the rate or rates at which the Notes of the series shall bear interest, if any, or the method by which such rate shall be determined, the date or dates from which such interest shall accrue, the
Interest Payment Dates on which such interest shall be payable and the Regular Record Dates for the determination of Holders to whom interest is payable on such Interest Payment Dates; 

(e) the right, if any, to extend the interest payment periods and the duration of such extension; 

(f) the place or places where the principal of and any interest on Notes of the series shall be payable (if other than as provided in
Section 4.02); 
 (g) the price or prices at which, the period or periods within which and the terms and conditions upon
which Notes of the series may be redeemed, in whole or in part, at the option of the Company; 
 (h) the obligation, if any, of
the Company to redeem, purchase or repay Notes of the series at the option of a Holder thereof and the price or prices at which and the period or periods within which and the terms and conditions upon which Notes of the series shall be redeemed,
purchased or repaid, in whole or in part, pursuant to such obligation; 
 (i) if other than denominations of $2,000 and any
multiple of $1,000 in excess thereof, the denominations in which Notes of the series shall be issuable; 
 (j) the percentage of
the principal amount at which the Notes will be issued, and, if other than the principal amount thereof, the portion of the principal amount of Notes of the series which shall be payable upon declaration of acceleration of the maturity thereof
pursuant to Section 4.01 or recoverable pursuant to Section 6.06; 
 (k) whether the Notes are issuable under Rule
144A, Regulation S or any other exemption under the Securities Act and, in such case, any provisions unique to such form of issuance including any transfer restrictions or exchange and registration rights; 

(l) any and all other terms of the series (which terms shall not be inconsistent with the provisions of this Indenture) including any
terms which may be required by or advisable under U.S. law or regulations or advisable in connection with the marketing of Notes in that series; 

  
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 (m) whether the Notes are issuable as Global Notes and, in such case, the identity of the
Depositary for such series; 
 (n) any deletion from, modification of or addition to the Events of Default or covenants provided
for with respect to the Notes of the series; 
 (o) any provisions granting special rights to Holders when a specified event
occurs; 
 (p) any special tax implications of the Notes, including provisions for Original Issue Discount Notes; 

(q) any trustees, authenticating or paying agents, transfer agents or registrars or any other agents with respect to the Notes of such
series; 
 (r) any guarantor or co-issuer of the Notes of the series; 

(s) any special interest premium or other premium; 
 (t) whether the Notes are convertible into or exchangeable for cash, common stock or other equity securities of the Company or a combination thereof and the terms and conditions upon which such conversion
or exchange shall be effected; and 
 (u) the currency in which payments shall be made, if other than U.S. dollars. 

Section 2.03 Execution and Authentication. 
 (a) An Officer shall execute the Notes for the Company by facsimile or manual signature in the name and on behalf of the Company. If an Officer whose signature is on a Note no longer holds that office at
the time the Note is authenticated, the Note will still be valid. 
 (b) A Note will not be valid until the Trustee manually
signs the certificate of authentication on the Note, with the signature conclusive evidence that the Note has been authenticated under this Indenture. 
 (c) At any time and from time to time after the execution and delivery of this Indenture, the Company may deliver Notes of any series (including Additional Notes pursuant to Section 2.12) executed by
the Company to the Trustee for authentication, together with a Company Order, signed in the name of the Company. The Trustee, in accordance with such written order, shall authenticate and deliver such Notes. In authenticating such Notes and
accepting the additional responsibilities under this Indenture in relation to such Notes, the Trustee shall be entitled to receive, in addition to the documents required under Section 11.04, and (subject to Section 7.01) shall be fully
protected in relying upon an Opinion of Counsel, prepared in accordance with Section 11.04 to the effect that: 
 (1) the form or forms and terms of such Notes have been established by or pursuant to a Board Resolution and set forth in an Officers’ Certificate, or by a supplemental indenture as permitted by
Section 2.01 and Section 2.02 in conformity with the provisions of this Indenture; and 
 (2) such
Notes when authenticated and delivered by the Trustee and issued by the Company in the manner and subject to any conditions specified in such Opinion of Counsel, will constitute valid and binding obligations of the Issuer entitled to the benefits of
this Indenture, and 

  
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enforceable against the Company in accordance with their terms, except to the extent that enforcement thereof may be limited by bankruptcy, insolvency, reorganization, moratorium, fraudulent
conveyance or similar laws now or hereafter in effect relating to creditors’ rights generally, and general principles of equity (regardless of whether enforceability is considered in a proceeding in equity or at law). 

The Trustee shall have the right to decline to authenticate and deliver any Notes under this Section 2.03 if the Trustee, being
advised by counsel, determines that such action may not lawfully be taken or if the Trustee in good faith shall determine that such action would expose the Trustee to personal liability to existing Holders. 

Section 2.04 Registrar, Paying Agent and Authenticating Agent; Paying Agent to Hold Money in Trust. 

(a) The Company may appoint one or more Registrars and one or more Paying Agents, and the Trustee may appoint an Authenticating Agent, in
which case each reference in this Indenture to the Trustee in respect of the obligations of the Trustee to be performed by that Agent will be deemed to be references to the Agent. The Company may act as Registrar or (except for purposes of Article
8) Paying Agent. In each case the Company and the Trustee will enter into an appropriate agreement with the Agent implementing the provisions of this Indenture relating to the obligations of the Trustee to be performed by the Agent and the related
rights. The Company initially appoints the Trustee as Registrar and Paying Agent. 
 (b) The Company will require each Paying
Agent other than the Trustee to agree in writing that the Paying Agent will hold in trust for the benefit of the Holders of a series of Notes or the Trustee all money held by the Paying Agent for the payment of principal of and interest on such
Notes and will promptly notify the Trustee of any default by the Company in making any such payment. If the Company or any Subsidiary acts as Paying Agent, it shall segregate the money held by it as Paying Agent for such Notes and hold it as a
separate trust fund. The Company at any time may require a Paying Agent to pay all money held by it to the Trustee and account for any funds disbursed, and the Trustee may at any time during the continuance of any payment default with respect to a
series of Notes, upon written request to a Paying Agent, require the Paying Agent to pay all money held by it in trust for such Notes to the Trustee and to account for any funds disbursed. Upon doing so, the Paying Agent will have no further
liability for the money so paid over to the Trustee. 
 Section 2.05 Replacement Notes. If a mutilated Note is
surrendered to the Trustee or if a Holder claims that its Note has been lost, destroyed or wrongfully taken, the Company will issue and the Trustee will authenticate a replacement Note of the same series of like tenor and principal amount and
bearing a number not contemporaneously outstanding. Every replacement Note is an additional obligation of the Company and entitled to the benefits of this Indenture equally and proportionately with any and all other Notes of such series duly
authenticated and delivered under this Indenture; provided that (i) the requirements of Section 8-405 of the Uniform Commercial Code are met, such that the Holder (a) satisfies the Company that such requirements have been met
within a reasonable time after such Holder has notice of such loss, destruction or wrongful taking and the Registrar for such Notes does not register a transfer prior to receiving such notification, (b) makes such request to the Company prior
to the Note being acquired by a protected purchaser as defined in Section 8-303 of the Uniform Commercial Code (a “protected purchaser”) and (c) satisfies any other reasonable requirements of the Trustee, and (ii) the
requirements of this Section 2.05 are met. An affidavit of lost certificate and an indemnity bond must be furnished that is sufficient in the judgment of both the Trustee and the Company to protect the Company, the Trustee or any Agent from any
loss that any of them may suffer if a Note is replaced. The Company 

  
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may charge the Holder for the expenses of the Company and the Trustee in replacing a Note. In case the mutilated, lost, destroyed or wrongfully taken Note has become or is about to become due and
payable, the Company in its discretion may pay the Note instead of issuing a replacement Note. 
 Section 2.06
Outstanding Notes. 
 (a) Notes of a series outstanding at any time are all Notes of such series that have been
authenticated by the Trustee under this Indenture except for 
 (1) Notes cancelled by the Trustee or delivered
to it for cancellation; 
 (2) any Note which has been replaced pursuant to Section 2.05 unless and until
the Trustee and the Company receive proof satisfactory to them that the replaced Note is held by a bona fide purchaser; and 
 (3) on or after the maturity date or any redemption date or date for purchase of the Notes of such series pursuant to an Offer to Purchase, those Notes or portions thereof of such series payable or to be
redeemed or purchased on that date for which the Trustee (or Paying Agent, other than the Company or an Affiliate of the Company) holds money sufficient to pay all amounts then due. 

(b) A Note does not cease to be outstanding because the Company or one of its Affiliates holds the Note, provided that in
determining whether the Holders of the requisite principal amount of the outstanding Notes of a series have given or taken any request, demand, authorization, direction, notice, consent, waiver or other action hereunder, Notes of such series owned
by the Company or any Affiliate of the Company will be disregarded and deemed not to be outstanding, (it being understood that in determining whether the Trustee is protected in relying upon any such request, demand, authorization, direction,
notice, consent, waiver or other action, only such Notes which the Trustee knows to be so owned will be so disregarded). Notes so owned which have been pledged in good faith may be regarded as outstanding if the pledgee establishes to the
satisfaction of the Trustee the pledgee’s right so to act with respect to such Notes and that the pledgee is not the Company or any Affiliate of the Company. 
 (c) In determining whether the Holders of the requisite principal amount of outstanding Notes of any series have given any request, demand, authorization, direction, notice, consent or waiver hereunder,
the principal amount of an Original Issue Discount Note that shall be deemed to be outstanding for such purposes shall be the amount of the principal thereof that would be due and payable as of the date of such determination upon a declaration of
acceleration of the maturity thereof pursuant to Section 6.02. 
 Section 2.07 Temporary Notes. Until
definitive Notes of a series are ready for delivery, the Company may prepare and the Trustee will authenticate temporary Notes of such series. Temporary Notes will be substantially in the form of definitive Notes but may have insertions,
substitutions, omissions and other variations determined to be appropriate by the Officer executing the temporary Notes, as evidenced by the execution of the temporary Notes. If temporary Notes of a series are issued, the Company will cause
definitive Notes of such series to be prepared without unreasonable delay. After the preparation of such definitive Notes, the temporary Notes will be exchangeable for definitive Notes upon surrender of the temporary Notes at the office or agency of
the Company designated for the purpose pursuant to Section 4.02, without charge to the Holder. Upon surrender for cancellation of any temporary Notes the Company will execute and the Trustee will authenticate and deliver in exchange therefor a
like principal amount of definitive Notes of authorized denominations of the same series. Until so exchanged, the temporary Notes will be entitled to the same benefits under this Indenture as definitive Notes of such series. 

  
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 Section 2.08 Cancellation. The Company at any time may deliver to the Trustee
for cancellation any Notes previously authenticated and delivered hereunder which the Company may have acquired in any manner whatsoever, and may deliver to the Trustee for cancellation any Notes previously authenticated hereunder which the Company
has not issued and sold. Any Registrar or the Paying Agent will forward to the Trustee any Notes surrendered to it for transfer, exchange or payment. The Trustee will cancel all Notes surrendered for transfer, exchange, payment or cancellation and
dispose of them in accordance with its normal procedures or the written instructions of the Company. The Company may not issue new Notes to replace Notes it has paid in full or delivered to the Trustee for cancellation. 

Section 2.09 CUSIP and CINS Numbers. The Company in issuing Notes may use “CUSIP” and “CINS” numbers, and
the Trustee will use CUSIP numbers or CINS numbers in notices of redemption or exchange or in Offers to Purchase as a convenience to Holders, the notice to state that no representation is made as to the correctness of such numbers either as printed
on the Notes or as contained in any notice of redemption or exchange or Offer to Purchase. The Company will promptly notify the Trustee in writing of any change in the CUSIP or CINS numbers. 

Section 2.10 Registration, Transfer and Exchange. 
 (a) The Notes will be issued in registered form only, without coupons, and the Company shall cause the Trustee to maintain a register (the “Register”) of the Notes, for registering the
record ownership of the Notes by the Holders and transfers and exchanges of the Notes. 
 (b) (1) If the Company shall establish
pursuant to Section 2.02 that the Notes of a particular series are to be issued as Global Notes, each Global Note of such series will be registered in the name of the Depositary or its nominee and, so long as DTC is serving as the Depositary
thereof, will bear the DTC Legend. 
 (2) Each Global Note will be delivered to the Trustee as custodian for the Depositary.
Transfers of a Global Note (but not a beneficial interest therein) will be limited to transfers thereof in whole, but not in part, to the Depositary, its successors or their respective nominees, except (1) as set forth in
Section 2.10(b)(4) and (2) transfers of portions thereof in the form of Certificated Notes may be made upon request of an Agent Member (for itself or on behalf of a beneficial owner) by written notice given to the Trustee by or on behalf
of the Depositary in accordance with customary procedures of the Depositary and in compliance with this Section 2.10 and Section 2.11. 
 (3) Agent Members will have no rights under this Indenture with respect to any Global Note held on their behalf by the Depositary, and the Depositary may be treated by the Company, the Trustee and any
agent of the Company or the Trustee as the absolute owner and Holder of such Global Note for all purposes whatsoever. Notwithstanding the foregoing, the Depositary or its nominee may grant proxies and otherwise authorize any Person (including any
Agent Member and any Person that holds a beneficial interest in a Global Note through an Agent Member) to take any action which a Holder is entitled to take under this Indenture or the Notes, and nothing herein will impair, as between the Depositary
and its Agent Members, the operation of customary practices governing the exercise of the rights of a holder of any security. 

(4) If (x) the Depositary for a series of Notes notifies the Company that it is unwilling or unable to continue as Depositary for
such series and a successor depositary is not appointed by the Company within 90 days of the notice or (y) an Event of Default has occurred and is continuing with respect to such 

  
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series of Notes and the Trustee has received a request from the Depositary, the Trustee will promptly exchange each beneficial interest in a Global Note of such series for one or more
Certificated Notes in authorized denominations having an equal aggregate principal amount registered in the name of the owner of such beneficial interest, as identified to the Trustee by the Depositary, and thereupon the Global Note will be deemed
canceled. 
 (c) Each Certificated Note will be registered in the name of the holder thereof or its nominee. 

(d) A Holder may transfer a Note (or a beneficial interest therein) to another Person or exchange a Note (or a beneficial interest
therein) for another Note or Notes of any authorized denomination of the same series by presenting to the Trustee a written request therefor stating the name of the proposed transferee or requesting such an exchange, accompanied by any
certification, opinion or other document required by Section 2.11. The Trustee will promptly register any transfer or exchange that meets the requirements of this Section 2.10 by noting the same in the register maintained by the Trustee
for the purpose; provided that 
 (x) no transfer or exchange will be effective until it is registered in
such register and 
 (y) the Trustee will not be required (i) to issue, register the transfer of or exchange
a Note of any series for a period of 15 days before a selection of Notes of such series to be redeemed or purchased pursuant to an Offer to Purchase, (ii) to register the transfer of or exchange any Note so selected for redemption or purchase
in whole or in part, except, in the case of a partial redemption or purchase, that portion of any Note not being redeemed or purchased, or (iii) if a redemption or a purchase pursuant to an Offer to Purchase is to occur after a Regular Record
Date but on or before the corresponding Interest Payment Date for a series of Notes, to register the transfer of or exchange any Note of such series on or after the applicable Regular Record Date and before the date of redemption or purchase. Prior
to the registration of any transfer, the Company, the Trustee and their agents will treat the Person in whose name the Note is registered as the owner and Holder thereof for all purposes (whether or not the Note is overdue), and will not be affected
by notice to the contrary. 
 From time to time the Company will execute and the Trustee will authenticate additional Notes as
necessary in order to permit the registration of a transfer or exchange in accordance with this Section 2.10. 
 No service
charge will be imposed in connection with any transfer or exchange of any Note, but the Company may require payment of a sum sufficient to cover any transfer tax or similar governmental charge payable in connection therewith (other than a transfer
tax or other similar governmental charge payable upon exchange pursuant to subsection (b)(4)). 
 (e) (1) Global Note to
Global Note. If a beneficial interest in a Global Note is transferred or exchanged for a beneficial interest in another Global Note, the Trustee will (x) record a decrease in the principal amount of the Global Note being transferred or
exchanged equal to the principal amount of such transfer or exchange and (y) record a like increase in the principal amount of the other Global Note. Any beneficial interest in one Global Note that is transferred to a Person who takes delivery
in the form of an interest in another Global Note, or exchanged for an interest in another Global Note, will, upon transfer or exchange, cease to be an interest in such Global Note and become an interest in the other Global Note and, accordingly,
will thereafter be subject to all transfer and exchange restrictions, if any, and other procedures applicable to beneficial interests in such other Global Note for as long as it remains such an interest. 

  
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 (2) Global Note to Certificated Note. If a beneficial interest in a Global Note is
transferred or exchanged for a Certificated Note, the Trustee will (x) record a decrease in the principal amount of such Global Note equal to the principal amount of such transfer or exchange and (y) deliver one or more new Certificated
Notes in authorized denominations of the applicable series having an equal aggregate principal amount to the transferee (in the case of a transfer) or the owner of such beneficial interest (in the case of an exchange), registered in the name of such
transferee or owner, as applicable. 
 (3) Certificated Note to Global Note. If a Certificated Note is transferred or
exchanged for a beneficial interest in a Global Note, the Trustee will (x) cancel such Certificated Note, (y) record an increase in the principal amount of such Global Note equal to the principal amount of such transfer or exchange and
(z) in the event that such transfer or exchange involves less than the entire principal amount of the canceled Certificated Note, deliver to the Holder thereof one or more new Certificated Notes in authorized denominations of the applicable
series having an aggregate principal amount equal to the untransferred or unexchanged portion of the canceled Certificated Note, registered in the name of the Holder thereof. 
 (4) Certificated Note to Certificated Note. If a Certificated Note is transferred or exchanged for another Certificated Note, the Trustee will (x) cancel the Certificated Note being
transferred or exchanged, (y) deliver one or more new Certificated Notes in authorized denominations of the applicable series having an aggregate principal amount equal to the principal amount of such transfer or exchange to the transferee (in
the case of a transfer) or the Holder of the canceled Certificated Note (in the case of an exchange), registered in the name of such transferee or Holder, as applicable, and (z) if such transfer or exchange involves less than the entire
principal amount of the canceled Certificated Note, deliver to the Holder thereof one or more Certificated Notes in authorized denominations of the applicable series having an aggregate principal amount equal to the untransferred or unexchanged
portion of the canceled Certificated Note, registered in the name of the Holder thereof. 
 (f) Neither the Trustee nor the
Registrar shall have any obligation or duty to monitor, determine or inquire as to compliance with any restrictions on transfer imposed under this Indenture or under applicable law with respect to any transfer of any interest in any Note (including
any transfers between or among Agent Members or beneficial owners of interests in any Global Note) other than to require delivery of such certificates and other documentation or evidence as are expressly required by, and to do so if and when
expressly required by the terms of, this Indenture, and to examine the same to determine substantial compliance as to form with the express requirements hereof. 
 (g) Neither the Trustee nor any agent shall have any responsibility for any actions taken or not taken by the Depositary. 
 Section 2.11 Restrictions on Transfer and Exchange. The transfer or exchange of any Note (or a beneficial interest therein) may only be made in accordance with Section 2.10 and, in the
case of a Global Note (or a beneficial interest therein), the applicable rules and procedures of the Depositary. The Trustee shall refuse to register any requested transfer or exchange that does not comply with the preceding sentence. 

Section 2.12 Issuance of Additional Notes. All Notes of any one series shall be substantially identical except as to
denomination and except as may otherwise be provided in or pursuant to the applicable Board Resolution and set forth in an Officers’ Certificate, or in any indenture supplemental hereto. The Company shall be entitled to issue Additional Notes
of a series under this Indenture that shall have identical terms as the Original Notes of such series, other than with respect to the date of issuance, issue price, amount of interest payable on the first Interest Payment Date applicable to such
Additional Notes and, if applicable, the first Interest Payment Date for such Additional Notes; provided that if such 

  
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Additional Notes are not fungible with the Original Notes of such series for U.S. federal income tax purposes, such Additional Notes will have one or more separate CUSIP numbers; and provided
further that such issuance is not prohibited by the terms of this Indenture, including, without limitation, Section 4.03 and Section 4.09. The Original Notes and any Additional Notes of a series shall be treated as a single class for
all purposes under this Indenture. 
 With respect to any Additional Notes, the Company shall set forth in a Board Resolution
and in an Officers’ Certificate, or in one or more indentures supplemental hereto, a copy of each of which shall be delivered to the Trustee, the following information: 

(a) the aggregate principal amount of such Additional Notes to be authenticated and delivered pursuant to this Indenture;

 (b) the issue price, the issue date, the CUSIP number of such Additional Notes, the first Interest Payment
Date and the amount of interest payable on such first Interest Payment Date applicable thereto and the date from which interest shall accrue; and 
 (c) whether such Additional Notes shall be transfer restricted Notes or have any registration or exchange rights. 
 ARTICLE III 
 REDEMPTION 

Section 3.01 Optional Redemption. If Notes of a series are to be redeemable at the Company’s option prior to the Stated
Maturity of such Notes, such redemption rights shall be established pursuant to a Board Resolution and set forth in an Officers’ Certificate, or established in one or more indentures supplemental hereto prior to the issuance of such Notes
pursuant to Section 2.02 hereof. 
 Section 3.02 Repurchase at the Option of the Holder. If Notes of a
series are to be redeemable at the option of the Holders thereof prior to the Stated Maturity of such Notes other than as set forth in this Indenture, such repurchase rights shall be established pursuant to a Board Resolution and set forth in an
Officers’ Certificate, or established in one or more indentures supplemental hereto prior to the issuance of such Notes pursuant to Section 2.02 hereof. 
 ARTICLE IV 
 COVENANTS 

Section 4.01 Payment of Notes. The Company shall pay, or cause to be paid, the principal of, premium, if any, and interest on
the Notes of any series on the dates and in the manner provided in the Notes of that series and this Indenture. An installment of principal, premium, if any, or interest shall be considered paid on the date due if the Trustee or Paying Agent (other
than the Company, a Subsidiary of the Company, or any Affiliate of any of them) holds as of 10:00 a.m. (New York City time) on that date money designated for and sufficient to pay the installment. If the Company or any Subsidiary of the Company or
any Affiliate of any of them acts as Paying Agent, an installment of principal, premium, if any, or interest shall be considered paid on the due date if the entity acting as Paying Agent complies with Section 2.04(b). As provided in
Section 6.07, upon any bankruptcy or reorganization procedure relative to the Company, the Trustee shall serve as the Paying Agent, if any, for the Notes. 
 The Company shall pay interest on overdue principal and premium, if any, and interest on overdue installments of interest, to the extent lawful, at the rate per annum specified in the Notes. 

  
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 Section 4.02 Maintenance of Office or Agency. The Company will maintain in the
Borough of Manhattan, The City of New York, an office or agency where Notes of one or more series may be surrendered for registration of transfer or exchange or for presentation for payment and where notices and demands to or upon the Company in
respect of the Notes of those series and this Indenture may be served as long as any Notes remain outstanding. The Company will give prompt written notice to the Trustee of the location, and any change in the location, of such office or agency. If
at any time the Company shall fail to maintain any such required office or agency or shall fail to furnish the Trustee with the address thereof, such presentations, surrenders, notices and demands may be made or served at the address of the Trustee
set forth in Section 11.03. 
 The Company may also from time to time designate one or more other offices or agencies where
the Notes of one or more series may be presented or surrendered for any or all such purposes and may from time to time rescind such designations; provided that no such designation or rescission shall in any manner relieve the Company of its
obligation to maintain an office or agency in the Borough of Manhattan, The City of New York, for such purposes. The Company shall give prompt written notice to the Trustee of any such designation or rescission and of any change in the location of
any such other office or agency. 
 The Company hereby initially designates the office or agency of the Trustee in the Borough
of Manhattan, The City of New York as such office of the Company in accordance with Section 2.04. 
 Section 4.03
Limitation on Indebtedness and Issuances of Preferred Stock. 
 (a) With respect to each series of Notes, the Company
will not, and will not permit any of its Restricted Subsidiaries to, Incur any Indebtedness, including Disqualified Stock, and the Company will not permit any Restricted Subsidiary to issue Preferred Stock; provided that the Company or any
Subsidiary Guarantor may Incur Indebtedness and any Restricted Subsidiary may Incur Acquired Indebtedness if, after giving effect to the Incurrence of such Indebtedness and the receipt and application of the proceeds therefrom, the Company’s
Consolidated Fixed Charge Coverage Ratio would be greater than 2.0:1. 
 Notwithstanding the foregoing, the Company and any
Restricted Subsidiary (except as specified below) may Incur each and all of the following: 
 (1) Indebtedness of
the Company under any Credit Facility in an aggregate principal amount at any one time outstanding (with letters of credit being deemed to have a principal amount equal to the maximum potential liability of the Company and its Restricted
Subsidiaries thereunder) not to exceed $300 million; 
 (2) Indebtedness owed (A) to the Company or any
Subsidiary Guarantor evidenced by an unsubordinated promissory note or (B) to any Restricted Subsidiary or Regulated Subsidiary; provided that (x) any event which results in any such Restricted Subsidiary or Regulated Subsidiary
ceasing to be a Restricted Subsidiary or Regulated Subsidiary or any subsequent transfer of such Indebtedness (other than to the Company or another Restricted Subsidiary or Regulated Subsidiary) shall be deemed, in each case, to constitute an
Incurrence of such Indebtedness not permitted by this clause (2) and (y) if the Company (or any Subsidiary that is a Subsidiary Guarantor at the time such Indebtedness is Incurred) is the obligor on such Indebtedness, such Indebtedness
must be expressly contractually subordinated in right of payment to the Notes, in the case of the Company, or the Note Guarantee, in the case of a Subsidiary Guarantor; 

(3) Indebtedness issued in exchange for, or the net proceeds of which are used to refinance or refund, then outstanding
Indebtedness (other than Indebtedness outstanding under 

  
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clause (1), (2), (4), 5(x), (7) or (8)) and any refinancings thereof in an amount not to exceed the amount so refinanced or refunded (plus premiums, accrued interest, fees and
expenses); provided that (a) Indebtedness the proceeds of which are used to refinance or refund the Notes or Indebtedness that is pari passu with, or subordinated in right of payment to, the Notes or a Note Guarantee shall only be
permitted under this clause (3) if (x) in case the Notes are refinanced in part or the Indebtedness to be refinanced is pari passu with the Notes or a Note Guarantee, such new Indebtedness, by its terms or by the terms of any agreement or
instrument pursuant to which such new Indebtedness is outstanding, is pari passu with, or subordinate in right of payment to, the remaining Notes or the Note Guarantee, or (y) in case the Indebtedness to be refinanced is subordinated in right
of payment to the Notes or a Note Guarantee, such new Indebtedness, by its terms or by the terms of any agreement or instrument pursuant to which such new Indebtedness is issued or remains outstanding, is expressly made subordinate in right of
payment to the Notes or the Note Guarantee at least to the extent that the Indebtedness to be refinanced is subordinated to the Notes or the Note Guarantee, (b) such new Indebtedness, determined as of the date of Incurrence of such new
Indebtedness, does not mature prior to the Stated Maturity of the Indebtedness to be refinanced or refunded, and the Average Life of such new Indebtedness is at least equal to the remaining Average Life of the Indebtedness to be refinanced or
refunded and (c) such new Indebtedness is Incurred by the Company or a Subsidiary Guarantor or by the Restricted Subsidiary that is the obligor on the Indebtedness to be refinanced or refunded; 

(4) Indebtedness of the Company, to the extent the net proceeds thereof are promptly (A) used to purchase Notes, 2016
Notes or 2019 Notes tendered in an Offer to Purchase made as a result of a Change in Control or (B) deposited to defease or discharge the Notes, 2016 Notes or 2019 Notes as set forth in Article 8; 

(5) (x) Indebtedness under the 2015 Notes and the 2017 Notes, (y) Indebtedness existing on the Issue Date (other than
the 2015 Notes and the 2017 Notes, but including the Notes (but not, for the avoidance of doubt, any Additional Notes)) and (z) Guarantees of Indebtedness of the Company or of any Restricted Subsidiary by any Restricted Subsidiary
(provided the Guarantee of such Indebtedness is permitted by and made in accordance with Section 4.07); 
 (6) (x) Indebtedness, Disqualified Stock or Preferred Stock of the Company or any Subsidiary Guarantor Incurred to finance an acquisition or (y) Acquired Indebtedness; provided,
however, that, in the case of both of clauses (x) and (y), after giving effect to such acquisition, merger or amalgamation and the Incurrence of such Indebtedness either: (i) the Company would be permitted to Incur at least $1.00 of
additional Indebtedness pursuant to the first paragraph of this Section 4.03(a); or (ii) the Consolidated Fixed Charge Coverage Ratio of the Company would be equal to or greater than immediately prior to such acquisition, merger or
amalgamation; 
 (7) Indebtedness of Foreign Subsidiaries in an aggregate principal amount at any time
outstanding not to exceed $10.0 million; and 
 (8) Indebtedness not otherwise permitted hereunder in an
aggregate principal amount at any time outstanding not to exceed $50 million for the Company and its Restricted Subsidiaries. 

(b) Notwithstanding any other provision of this Section 4.03, the maximum amount of Indebtedness that may be Incurred pursuant to
this Section 4.03 will not be deemed to be exceeded, with respect to any outstanding Indebtedness due solely to the result of fluctuations in the exchange rates of currencies or due to fluctuations in the value of commodities or securities
which underlie such Indebtedness. For the purposes of determining compliance with any restriction on the Incurrence of Indebtedness (x), 

  
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the U.S dollar equivalent principal amount of any Indebtedness denominated in a foreign currency shall be calculated based on the relevant currency exchange rate in effect on the date such
Indebtedness was Incurred, in the case of term debt, or first committed, in the case of revolving credit debt and (y) the principal amount of any Indebtedness which is calculated by reference to any underlying security or commodity shall be
calculated based on the relevant closing price of such commodity or security on the date such Indebtedness was incurred. 
 (c)
For purposes of determining any particular amount of Indebtedness under this Section 4.03, (x) Indebtedness outstanding under any Credit Facility on the Issue Date shall be treated as Incurred pursuant to clause (1) of the second
paragraph of clause (a) of this Section 4.03, (y) Guarantees, Liens or obligations with respect to letters of credit supporting Indebtedness otherwise included in the determination of such particular amount shall not be included and
(z) any Liens (but not the underlying Indebtedness) granted pursuant to the equal and ratable provisions referred to in Section 4.09 shall not be treated as Indebtedness. For purposes of determining compliance with this Section 4.03,
if an item of Indebtedness meets the criteria of more than one of the types of Indebtedness described above (other than Indebtedness referred to in clause (x) of the preceding sentence), including under the first paragraph of part (a), the
Company, in its sole discretion, shall classify, and from time to time may reclassify, such item of Indebtedness. 
 (d) Neither
the Company nor any Subsidiary Guarantor will Incur any Indebtedness if such Indebtedness is subordinate in right of payment to any other Indebtedness unless such Indebtedness is also subordinate in right of payment to the Notes or the applicable
Note Guarantee to the same extent. 
 (e) The Company will not permit any Regulated Subsidiary (x) to Incur any
Indebtedness the proceeds of which are not invested in the business of such Bank Regulated Subsidiary (or any Subsidiary of such Bank Regulated Subsidiary) or such Broker Dealer Regulated Subsidiary (or any Subsidiary of such Broker Dealer Regulated
Subsidiary which is also a Regulated Subsidiary) and (y) to Incur any Indebtedness for the purpose, directly or indirectly, of dividending or distributing the proceeds of such Indebtedness to the Company or any Restricted Subsidiary; except
that the Incurrence of Indebtedness by a Regulated Subsidiary that does not comply with (x) and (y) above shall be permitted provided that such Incurrence complies with paragraph (a) of this Section 4.03 as if such paragraph
applied to such Regulated Subsidiary. 
 Section 4.04 Limitation on Restricted Payments. 

(a) The Company will not, and will not permit any Restricted Subsidiary or Regulated Subsidiary to, directly or indirectly, 

(1) declare or pay any dividend or make any distribution on or with respect to its Capital Stock held by Persons other
than the Company or any of its Restricted Subsidiaries or Regulated Subsidiaries (other than (w) dividends or distributions payable solely in shares of its Capital Stock (other than Disqualified Stock) or in options, warrants or other rights to
acquire shares of such Capital Stock, (x) pro rata dividends or distributions on Common Stock of Restricted Subsidiaries or Regulated Subsidiaries held by minority stockholders, (y) dividends or distributions on non-voting Preferred Stock
the proceeds from the sale of which were invested in the business of such Regulated Subsidiary (or any Subsidiary of such Regulated Subsidiary which is also a Regulated Subsidiary), and (z) pro rata dividends on Preferred Stock of Subsidiaries
that are real estate investment trusts, including Highland REIT, Inc., held by minority stockholders; 

  
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 (2) purchase, call for redemption or redeem, retire or otherwise acquire for
value any shares of Capital Stock of (A) the Company or any Subsidiary Guarantor (including options, warrants or other rights to acquire such shares of Capital Stock) held by any Person (other than the Company, any Restricted Subsidiary or any
Regulated Subsidiary) or (B) a Restricted Subsidiary or Subsidiary Guarantor (including options, warrants or other rights to acquire such shares of Capital Stock) held by any Affiliate of the Company (other than the Company or a Wholly Owned
Restricted Subsidiary or Wholly Owned Regulated Subsidiary); 
 (3) make any voluntary or optional principal
payment, or voluntary or optional redemption, repurchase, defeasance, or other acquisition or retirement for value, of Indebtedness of the Company that is subordinated in right of payment to the Notes or any Indebtedness of a Subsidiary Guarantor
that is subordinated in right of payment to a Note Guarantee; or 
 (4) (a) with respect to the Company and any
Restricted Subsidiary, make any Investment, other than a Permitted Investment, in any Person, and (b) with respect to any Regulated Subsidiary, make any Investment in an Unrestricted Subsidiary (such payments or any other actions described in
clauses (1) through (4) above being collectively “Restricted Payments”); 
 if, at the time of, and after giving effect to,
the proposed Restricted Payment: 
 (A) a Default or Event of Default shall have occurred and be continuing;

 (B) the Company could not Incur at least $1.00 of Indebtedness under the first paragraph of part (a) of
Section 4.03; 
 (C) the subsidiary subject to the Restricted Payment is both a Regulated Subsidiary and a
Significant Subsidiary that is not in compliance with applicable regulatory capital or other material requirements of its regulators, such as the OCC, FDIC or Federal Reserve, or any applicable state, federal or self regulatory organization, or
would fail to be in compliance with applicable regulatory requirements as a consequence of the payment; or 
 (D)
the aggregate amount of all Restricted Payments made after the Issue Date shall exceed the sum of 
 (1) 50% of
the aggregate amount of the Adjusted Consolidated Net Income (or, if the Adjusted Consolidated Net Income is a loss, minus 100% of the amount of such loss) accrued on a cumulative basis during the period (taken as one accounting period) beginning on
the first day of the fiscal quarter in which the Issue Date falls and ending on the last day of such fiscal quarter preceding the Transaction Date for which reports have been filed with the SEC or provided to the Trustee, provided that such
Adjusted Consolidated Net Income may only be recognized during those quarters for which the Company has filed reports with the SEC to the extent provided in Section 4.15 or has furnished comparable financial information to the Trustee
plus 
 (2) the aggregate Net Cash Proceeds received by the Company after the Issue Date as a capital
contribution or from the issuance and sale of its Capital Stock (other than Disqualified Stock, Preferred Stock or Excluded Contributions) to a Person who is not a Subsidiary of the Company, including an issuance or sale permitted by this Indenture
of Indebtedness of the Company for cash subsequent to the Issue Date upon the conversion of such Indebtedness into Capital Stock (other than Disqualified Stock) of the Company, or from the issuance to a Person who is not a Subsidiary of the Company
of any options, warrants or other rights to acquire Capital Stock of the Company (in each case, exclusive of any Disqualified Stock or any options, warrants or other rights that are redeemable at the option of the holder, or are required to be
redeemed, prior to the Stated Maturity of the applicable series of Notes), plus 

  
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 (3) an amount equal to the net reduction in Investments (other than
reductions in Permitted Investments) in any Person resulting from payments of interest on Indebtedness, dividends, repayments of loans or advances, or other transfers of assets, in each case to the Company or any Restricted Subsidiary or Regulated
Subsidiary or from the Net Cash Proceeds from the sale of any such Investment (except, in each case, to the extent any such payment or proceeds are included in the calculation of Adjusted Consolidated Net Income), from the release of any Guarantee
or from redesignations of Unrestricted Subsidiaries as Restricted Subsidiaries (valued in each case as provided in the definition of “Investments”), not to exceed, in each case, the amount of Investments previously made by the Company or
any Restricted Subsidiary or Regulated Subsidiary in such Person or Unrestricted Subsidiary plus 
 (4)
$100 million. 
 (b) The foregoing provision shall not be violated by reason of: 

(1) the payment of any dividend or redemption of any Capital Stock within 60 days after the related date of declaration or
call for redemption if, at said date of declaration or call for redemption, such payment or redemption would comply with the preceding paragraph; 
 (2) the redemption, repurchase, defeasance or other acquisition or retirement for value of Indebtedness that is subordinated in right of payment to the Notes or any Note Guarantee including premium, if
any, and accrued interest, with the proceeds of, or in exchange for, Indebtedness Incurred under clause (3) of the second paragraph of part (a) of Section 4.03; 

(3) the repurchase, redemption or other acquisition of Capital Stock of the Company, a Subsidiary Guarantor, a Restricted
Subsidiary or a Regulated Subsidiary (or options, warrants or other rights to acquire such Capital Stock) or a dividend on such Capital Stock in exchange for, or out of the proceeds of a capital contribution or a substantially concurrent offering
of, shares of Capital Stock (other than Disqualified Stock) of the Company (or options, warrants or other rights to acquire such Capital Stock); provided that such options, warrants or other rights are not redeemable at the option of the
holder, or required to be redeemed, in each case other than in connection with a Change of Control of the Company (provided that prior to any such repurchase, redemption or other acquisition in connection with a change of control, the Company
has made an Offer to Purchase and purchased all Notes of each applicable series, all 2016 Notes and all 2019 Notes (in each case then outstanding) validly tendered for payment in accordance with Section 4.11), prior to the Stated Maturity of
such Notes, 2016 Notes and 2019 Notes, respectively; 
 (4) the making of any principal payment or the
repurchase, redemption, retirement, defeasance or other acquisition for value of Indebtedness which is subordinated in right of payment to the Notes or any Note Guarantee in exchange for, or out of the proceeds of a capital contribution or a
substantially concurrent offering of, shares of the Capital Stock (other than Disqualified Stock) of the Company (or options, warrants or other rights to acquire such Capital Stock); provided that such options, warrants or other rights are
not redeemable at the option of the holder, or required to be redeemed, in each case other than in connection with a Change of Control of the Company (provided that prior to any such repurchase, redemption or other acquisition in connection
with a change of control, the Company has made an Offer to Purchase and purchased all Notes of each applicable series, all 2016 Notes and all 2019 Notes (in each case then outstanding) validly tendered for payment in accordance with
Section 4.11), prior to the Stated Maturity of the Notes, 2016 Notes and 2019 Notes, respectively; 

  
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 (5) payments or distributions to dissenting stockholders pursuant to
applicable law, pursuant to or in connection with a consolidation, merger or transfer of assets of the Company, any Restricted Subsidiary or any Regulated Subsidiary and that, in the case of the Company, comply with the provisions of this Indenture
applicable to mergers, consolidations and transfers of all or substantially all of the property and assets of the Company; 
 (6) Investments acquired as a capital contribution to, or in exchange for, or out of the proceeds of a substantially concurrent offering of, Capital Stock (other than Disqualified Stock) of the Company;

 (7) the repurchase of Capital Stock deemed to occur upon the exercise of options or warrants if such Capital
Stock represents all or a portion of the exercise price thereof; 
 (8) the repurchase, redemption or other
acquisition of the Company’s Capital Stock (or options, warrants or other rights to acquire such Capital Stock) from Persons who are, or were formerly directors or employees of the Company and their Affiliates, heirs and executors;
provided that the aggregate amount of all such repurchases pursuant to this clause (8) shall not exceed $50 million; 
 (9) the repurchase of Common Stock of the Company, or the declaration or payment of dividends on Common Stock (other than Disqualified Stock) of the Company; provided that the aggregate amount of
all such declarations, payments or repurchases pursuant to this clause (9) shall not exceed $100 million in any fiscal year; provided further that at the time of declaration of such dividend or at the time of such repurchase (x) no
Default or Event of Default has occurred and is continuing, and (y) the Company is able to Incur at least an additional $1.00 of Indebtedness pursuant to the first paragraph of Section 4.03; 

(10) Restricted Payments by the Company or any Restricted Subsidiary to allow the payment of cash in lieu of the issuance
of fractional shares upon the exercise of options or warrants or upon the conversion or exchange of Capital Stock or debt securities that are convertible into, or exchangeable for, Capital Stock of any such Person; or 

(11) Restricted Payments in an amount not to exceed the amount of Excluded Contributions received since the Issue Date;

 provided that, except in the case of clause (1), no Default or Event of Default (excluding, in each case, clause (i) of
Section 6.01) shall have occurred and be continuing or occur as a consequence of the actions or payments set forth therein. 
 (c) Each Restricted Payment permitted pursuant to the preceding paragraph (other than the Restricted Payment referred to in clause (2) thereof, an exchange of Capital Stock for Capital Stock or
Indebtedness referred to in clause (3) or (4) thereof, an Investment acquired as a capital contribution or in exchange for Capital Stock referred to in clause (6) thereof, the repurchase of Capital Stock referred to in clause
(7) thereof, the repurchase of Common Stock referred to in clause (9) thereof and Restricted Payments referred to in clause (11) thereof), and the Net Cash Proceeds from any issuance of Capital Stock referred to in clause (3),
(4) or (6), shall be included in calculating whether the conditions of clause (D) of the first paragraph of this Section 4.04 have been met with respect to any subsequent Restricted Payments. If the proceeds of an issuance of Capital
Stock of the Company are used for the redemption, 

  
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repurchase or other acquisition of one or more applicable series of Notes, or Indebtedness that is pari passu with such Notes or any Note Guarantee of the applicable series of Notes, then the Net
Cash Proceeds of such issuance shall be included in clause (D) of the first paragraph of this Section 4.04 only to the extent such proceeds are not used for such redemption, repurchase or other acquisition of Indebtedness. 

(d) For purposes of determining compliance with this Section 4.04, (x) the amount, if other than in cash, of any Restricted
Payment shall be determined in good faith by the Board of Directors, whose determination shall be conclusive and evidenced by a Board Resolution and (y) if a Restricted Payment meets the criteria of more than one of the types of Restricted
Payments described in the above clauses, including the first paragraph of this Section 4.04, the Company, in its sole discretion, may order and classify, and from time to time may reclassify, such Restricted Payment if it would have been
permitted at the time such Restricted Payment was made and at the time of such reclassification. 
 Section 4.05
Limitation on Dividend and Other Payment Restrictions Affecting Restricted Subsidiaries or Regulated Subsidiaries. The Company will not, and will not permit any Restricted Subsidiary or Regulated Subsidiary to, create or otherwise cause or
suffer to exist or become effective any consensual encumbrance or restriction of any kind on the ability of any Restricted Subsidiary or Regulated Subsidiary (other than any Subsidiary Guarantor) to 

(1) pay dividends or make any other distributions permitted by applicable law on any Capital Stock of such Restricted
Subsidiary or Regulated Subsidiary owned by the Company or any other Restricted Subsidiary or Regulated Subsidiary; 
 (2) pay any Indebtedness owed to the Company or any other Restricted Subsidiary or Regulated Subsidiary; 
 (3) make loans or advances to the Company or any other Restricted Subsidiary or Regulated Subsidiary; or 
 (4) transfer any of its property or assets to the Company or any other Restricted Subsidiary or Regulated Subsidiary. 
 The foregoing provisions shall not restrict any encumbrances or restrictions: 
 (1) existing on the Issue Date in any Credit Facility, this Indentures or any other agreements in effect on the Issue Date, and any extensions, refinancings, renewals or replacements of such agreements;
provided that the encumbrances and restrictions in any such extensions, refinancings, renewals or replacements taken as a whole are no less favorable in any material respect to the Holders than those encumbrances or restrictions that are then
in effect and that are being extended, refinanced, renewed or replaced; 
 (2) existing under or by reason of
applicable law including rules and regulations of and agreements with any regulatory authority having jurisdiction over the Company, any Restricted Subsidiary, or any Regulated Subsidiary, including, but not limited to the OCC, the FDIC, the Federal
Reserve, the SEC, any self regulatory organization of which such Regulated Subsidiary is a member, or the imposition of conditions or requirements pursuant to the enforcement authority of any such regulatory authority; 

(3) existing with respect to any Person or the property or assets of such Person acquired by the Company or any Restricted
Subsidiary or Regulated Subsidiary, existing at the time of such acquisition and not incurred in contemplation thereof, which encumbrances or restrictions 

  
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 are not applicable to any Person or the property or assets of any Person other than such
Person or the property or assets of such Person so acquired and any extensions, refinancings, renewals or replacements thereof; provided that the encumbrances and restrictions in any such extensions, refinancings, renewals or replacements
taken as a whole are no less favorable in any material respect to the Holders than those encumbrances or restrictions that are then in effect and that are being extended, refinanced, renewed or replaced; 

(4) in the case of clause (4) of the first paragraph of this Section 4.05: 

(A) that restrict in a customary manner the subletting, assignment or transfer of any property or asset that is a lease,
license, conveyance or contract or similar property or asset; 
 (B) existing by virtue of any transfer of,
agreement to transfer, option or right with respect to, or Lien on, any property or assets of the Company, any Restricted Subsidiary or any Regulated Subsidiary not otherwise prohibited by this Indenture; or 

(C) arising or agreed to in the ordinary course of business, not relating to any Indebtedness, and that do not,
individually or in the aggregate, detract from the value of property or assets of the Company or any Restricted Subsidiary or Regulated Subsidiary in any manner material to the Company or any Restricted Subsidiary or Regulated Subsidiary taken as a
whole; 
 (5) with respect to a Restricted Subsidiary or Regulated Subsidiary and imposed pursuant to an
agreement that has been entered into for the sale or disposition of all or substantially all of the Capital Stock of, or property and assets of, such Restricted Subsidiary or Regulated Subsidiary; 

(6) customary provisions in joint venture agreements and other similar agreements, relating solely to the relevant joint
venture or other similar arrangement; 
 (7) restrictions on cash or other deposits imposed by customers under
contracts entered into in the ordinary course of business; 
 (8) restrictions in other Indebtedness,
Disqualified Stock or Preferred Stock of a Foreign Subsidiary permitted to be incurred subsequent to the Issue Date pursuant to Section 4.03(a)(7) that are imposed solely on the Foreign Subsidiary party thereto; or 

(9) customary financial covenants, minimum net worth requirements or collateral coverage requirements in securities
facilities that in the reasonable judgment of the Company do not impair its ability to comply with its obligations with respect to the Notes. 
 Nothing contained in this Section 4.05 shall prevent the Company, any Restricted Subsidiary or any Regulated Subsidiary from (1) creating, incurring, assuming or suffering to exist any Liens
otherwise permitted in Section 4.09 or (2) restricting the sale or other disposition of property or assets of the Company or any of its Restricted Subsidiaries or Regulated Subsidiaries that secure Indebtedness of the Company or any of its
Restricted Subsidiaries or Regulated Subsidiaries. 
 Section 4.06 Limitation on the Issuance and Sale of Capital Stock
of Restricted Subsidiaries or Regulated Subsidiaries. The Company will not sell, and will not permit any Restricted Subsidiary or Regulated Subsidiary, directly or indirectly, to issue or sell, any shares of Capital Stock of a Restricted
Subsidiary or Regulated Subsidiary (including options, warrants or other rights to purchase shares of such Capital Stock) except: 

  
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 (1) (i) with respect to the capital stock of a Restricted Subsidiary, to the
Company or a Wholly Owned Restricted Subsidiary or, (ii) in the case of Regulated Subsidiary, to the Company, a Wholly Owned Restricted Subsidiary or a Wholly Owned Regulated Subsidiary; 

(2) issuances of director’s qualifying shares or sales to foreign nationals of shares of Capital Stock of foreign
Restricted Subsidiaries, to the extent required by applicable law; 
 (3) if, immediately after giving effect to
such issuance or sale, such Restricted Subsidiary would no longer constitute a Restricted Subsidiary and any Investment in such Person remaining after giving effect to such issuance or sale would have been permitted to be made under
Section 4.04 if made on the date of such issuance or sale; 
 (4) (i) sales of Common Stock (including
options, warrants or other rights to purchase shares of such Common Stock but excluding Disqualified Stock) of a Restricted Subsidiary or a Regulated Subsidiary by the Company, a Restricted Subsidiary or a Regulated Subsidiary, provided that
the Company or such Restricted Subsidiary or Regulated Subsidiary applies the Net Cash Proceeds of any such sale in accordance with clause (A) or (B) of Section 4.10 and (ii) issuances of Preferred Stock of a Restricted
Subsidiary if such Restricted Subsidiary would be entitled to Incur such Indebtedness under Section 4.03; or 
 (5) sales of Capital Stock, other than Common Stock, by a Regulated Subsidiary or a Subsidiary of such Regulated Subsidiary, the proceeds of which are invested in the business of such Regulated
Subsidiary. 
 Section 4.07 Future Subsidiary Guarantees. The Company will not permit any Restricted Subsidiary or
Regulated Subsidiary, directly or indirectly, to Guarantee any Indebtedness (“Guaranteed Indebtedness”) of the Company or any Restricted Subsidiary other than a Foreign Subsidiary (other than the 2016 Notes and the 2019 Notes
outstanding on the date of this Indenture), unless (a) such Restricted Subsidiary or Regulated Subsidiary, to the extent permitted by law, simultaneously executes and delivers a supplemental indenture to this Indenture providing for a Guarantee
(a “Note Guarantee”) of payment of the outstanding Notes of each series by such Restricted Subsidiary or Regulated Subsidiary and (b) such Restricted Subsidiary or Regulated Subsidiary waives and will not in any manner
whatsoever claim or take the benefit or advantage of, any rights of reimbursement, indemnity or subrogation or any other rights against the Company or any other Restricted Subsidiary or Regulated Subsidiary as a result of any payment by such
Restricted Subsidiary or Regulated Subsidiary under its Note Guarantee until the Notes of each such series have been paid in full. The obligations of any such future Subsidiary Guarantor will be limited so as not to constitute a fraudulent
conveyance under applicable federal or state laws. 
 If the Guaranteed Indebtedness is (A) pari passu in right of
payment with the Notes of such series or any Note Guarantee of such series, then the Guarantee of such Guaranteed Indebtedness with respect to such series shall be pari passu in right of payment with, or subordinated to, such Note Guarantee
or (B) subordinated in right of payment to such Notes or any such Note Guarantee, then the Guarantee of such Guaranteed Indebtedness shall be subordinated in right of payment to such Note Guarantee at least to the extent that the Guaranteed
Indebtedness is subordinated to the Notes of such series or the Notes Guarantee of such series. 

  
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 Notwithstanding the foregoing, any Note Guarantee by a Restricted Subsidiary or Regulated
Subsidiary may provide by its terms that it shall be automatically and unconditionally released and discharged upon any: 
 (1) sale, exchange or transfer, to any Person not an Affiliate of the Company, of all of the Company’s and each Restricted Subsidiary’s and Regulated Subsidiary’s Capital Stock in, or all
or substantially all the assets of, such Restricted Subsidiary or Regulated Subsidiary (which sale, exchange or transfer is not prohibited by this Indenture) or upon the designation of such Restricted Subsidiary or Regulated Subsidiary as an
Unrestricted Subsidiary in accordance with the terms of this Indenture; or 
 (2) the release or discharge of the
Guarantee which resulted in the creation of such Note Guarantee, except a discharge or release by or as a result of payment under such Guarantee. 
 Section 4.08 Limitation on Transactions with Affiliates. The Company will not, and will not permit any Restricted Subsidiary or Regulated Subsidiary to, directly or indirectly, enter into,
renew or extend any transaction (including, without limitation, the purchase, sale, lease or exchange of property or assets, or the rendering of any service) with any Affiliate of the Company or any Affiliates of any Restricted Subsidiary or
Regulated Subsidiary, except upon fair and reasonable terms no less favorable to the Company or such Restricted Subsidiary or Regulated Subsidiary than could be obtained, at the time of such transaction or, if such transaction is pursuant to a
written agreement, at the time of the execution of the agreement providing therefor, in a comparable arm’s-length transaction with a Person that is not such an Affiliate. 
 The foregoing limitation does not limit, and shall not apply to: 

(1) transactions (A) approved by a majority of the disinterested members of the Board of Directors or (B) for
which the Company, a Restricted Subsidiary or a Regulated Subsidiary delivers to the Trustee a written opinion of a nationally recognized investment banking, accounting, valuation or appraisal firm stating that the transaction is fair to the Company
or such Restricted Subsidiary or Regulated Subsidiary from a financial point of view; 
 (2) any transaction
solely among the Company, its Wholly Owned Restricted Subsidiaries or its Wholly Owned Regulated Subsidiaries or any combination thereof; 
 (3) the payment of reasonable and customary regular fees to directors of the Company who are not employees of the Company and customary indemnification arrangements entered into by the Company;

 (4) any payments or other transactions pursuant to any tax-sharing agreement between the Company and any other
Person with which the Company files a consolidated tax return or with which the Company is part of a consolidated group for tax purposes; 
 (5) any sale of shares of Capital Stock (other than Disqualified Stock) of the Company; 
 (6) the granting or performance of registration rights under a written agreement and approved by the Board of Directors of the Company, containing customary terms, taken as a whole; 

  
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 (7) loans to an Affiliate who is an officer, director or employee of the
Company, a Restricted Subsidiary or a Regulated Subsidiary by a Regulated Subsidiary in the ordinary course of business in accordance with Sections 7 and 13(k) of the Exchange Act; 

(8) deposit, checking, banking and brokerage products and services typically offered to our customers on substantially the
same terms and conditions as those offered to our customers, or in the case of a Bank Regulated Subsidiary, as otherwise permitted under Regulation O promulgated by the Board of Governors of under the Federal Reserve System; 

(9) any Permitted Investments or any Restricted Payments not prohibited by Section 4.04; or 

(10) any agreement of a Restricted Subsidiary acquired after the Issue Date in existence at the date such Person becomes a
Restricted Subsidiary. 
 Notwithstanding the foregoing, any transaction or series of related transactions covered by the first
paragraph of this Section 4.08 and not covered by clauses (2) through (6) of this paragraph, (a) the aggregate amount of which exceeds $25 million in value, must be approved or determined to be fair in the manner provided for in
clause (l)(A) or (B) above and (b) the aggregate amount of which exceeds $50 million in value, must be determined to be fair in the manner provided for in clause (l)(B) above. 

Section 4.09 Limitation on Liens. With respect to each series of Notes, the Company will not, and will not permit any
Restricted Subsidiary to, create, incur, assume or suffer to exist any Lien on any of its assets or properties of any character, or any shares of Capital Stock or Indebtedness of any Restricted Subsidiary, without making effective provision for all
of the Notes of such series and all other amounts due under this Indenture to be directly secured equally and ratably with (or, if the obligation or liability to be secured by such Lien is subordinated in right of payment to such Notes, prior to)
the obligation or liability secured by such Lien. 
 The foregoing limitation does not apply to: 

(1) Liens existing on the Issue Date; 

(2) Liens granted after the Issue Date on any assets or Capital Stock of the Company or its Restricted Subsidiaries
created in favor of the Holders; 
 (3) Liens with respect to the assets of a Restricted Subsidiary granted by
such Restricted Subsidiary to the Company or a Wholly Owned Restricted Subsidiary or Wholly Owned Regulated Subsidiary to secure Indebtedness owing to the Company or such other Restricted Subsidiary or Regulated Subsidiary; 

(4) Liens securing Indebtedness which is Incurred to refinance secured Indebtedness which is permitted to be Incurred
under clause (3) of the second paragraph of Section 4.03(a); provided that such Liens do not extend to or cover any property or assets of the Company or any Restricted Subsidiary or Regulated Subsidiary other than the property or
assets securing the Indebtedness being refinanced; 
 (5) Liens to secure Indebtedness (including Hedging
Obligations with respect thereto) in an aggregate amount not to exceed the greater of (x) $300 million and (y) an amount equal to the Secured Indebtedness Cap on the date on which such Lien is to be incurred; 

  
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 (6) Liens (including extensions and renewals thereof) upon real or personal
property acquired after the Issue Date; provided that (a) any such Lien is created solely for the purpose of securing Indebtedness Incurred, in accordance with Section 4.03, to finance the cost (including the cost of improvement or
construction and fees and expenses related to the acquisition) of the item of property or assets subject thereto and such Lien is created prior to, at the time of or within twelve months after the later of the acquisition, the completion of
construction or the commencement of full operation of such property, (b) the principal amount of the Indebtedness secured by such Lien does not exceed 100% of such cost and (c) any such Lien shall not extend to or cover any property or
assets other than such item of property or assets and any improvements on such item; 
 (7) Liens on cash set
aside at the time of the Incurrence of any Indebtedness, or government securities purchased with such cash, in either case to the extent that such cash or government securities pre-fund the payment of interest on such Indebtedness and are held in a
collateral or escrow account or similar arrangement to be applied for such purpose; 
 (8) Liens incurred by the
Company or a Restricted Subsidiary for the benefit of a Regulated Subsidiary in the ordinary course of business including Liens incurred in the Broker Dealer Regulated Subsidiary’s securities business with respect to obligations that do not
exceed $200 million at any one time outstanding and that are not incurred in connection with the borrowing of money or the obtaining of advances or credit (other than trade credit in the ordinary course of business); 

(9) Liens to secure Indebtedness under clauses (7) (limited to the assets of the Foreign Subsidiary incurring such
Indebtedness) and (8) of Section 4.03(a); or 
 (10) Permitted Liens. 

Section 4.10 Limitation on Asset Sales. The Company will not, and will not permit any Restricted Subsidiary to, consummate
any Asset Sale, unless (1) the consideration received by the Company or such Restricted Subsidiary is at least equal to the fair market value of the assets sold or disposed of and (2) at least 75% of the consideration received consists of
(a) cash or Temporary Cash Investments, (b) the assumption of unsubordinated Indebtedness of the Company or any Subsidiary Guarantor or Indebtedness of any other Restricted Subsidiary (in each case, other than Indebtedness owed to the
Company), provided that the Company, such Subsidiary Guarantor, such Restricted Subsidiary, as the case may be is irrevocably and unconditionally released from all liability under such Indebtedness or (c) Replacement Assets. 

The Company will not, and will not permit any Restricted Subsidiary or Regulated Subsidiary to consummate any Regulated Sale unless
(1) the consideration received by the Company or such Restricted Subsidiary or Regulated Subsidiary is at least equal to the fair market value of the assets sold or disposed of and (2) at least 75% of the consideration received consists of
(a) cash or Temporary Cash Investments, (b) the assumption of unsubordinated Indebtedness of the Company or any Subsidiary Guarantor or Indebtedness of any other Restricted Subsidiary or Regulated Subsidiary (in each case, other than
Indebtedness owed to the Company), provided that the Company, such Subsidiary Guarantor, such Restricted Subsidiary or such Regulated Subsidiary, as the case may be is irrevocably and unconditionally released from all liability under such
Indebtedness or (c) Replacement Assets. 
 If and to the extent that the Net Cash Proceeds received by the Company or any
of its Restricted Subsidiaries or Regulated Subsidiaries (excluding the first $300 million of Net Cash Proceeds received by the Company or any of its Restricted Subsidiaries or Regulated Subsidiaries from Asset Sales and Regulated Sales after the
Issue Date) from one or more Asset Sales or Regulated Sales in any period of 12 

  
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consecutive months exceed 10% of Consolidated Net Worth (determined as of the date closest to the commencement of such 12 month period for which a consolidated balance sheet of the Company and
its Subsidiaries has been filed with the SEC or provided to the Trustee), then the Company shall or shall cause the relevant Restricted Subsidiary or Regulated Subsidiary to: 

(1) within twelve months after the date Net Cash Proceeds so received exceed 10% of Consolidated Net Worth, 

(A) apply an amount equal to such excess Net Cash Proceeds to permanently repay unsubordinated Indebtedness of the Company
or Indebtedness or to redeem or repurchase Capital Stock, otherwise permitted by this Indenture, of any Restricted Subsidiary or Regulated Subsidiary, in each case owing to or owned by a Person other than the Company or any Affiliate of the Company;
or 
 (B) invest an equal amount, or the amount not so applied pursuant to clause (A) (or enter into a
definitive agreement committing to so invest within 12 months after the date of such agreement), in Replacement Assets; and 
 (2) apply (no later than the end of the 12-month period referred to in clause (1)) such excess Net Cash Proceeds (to the extent not applied pursuant to clause (1)) as provided in the following
paragraphs of this Section 4.10. 
 If and to the extent that the Net Cash Proceeds received by the Company or any of its
Restricted Subsidiaries or Regulated Subsidiaries from one or more Regulated Sales in any period of 12 consecutive months exceed 10% of Consolidated Net Worth (determined as of the date closest to the commencement of such 12 month period for which a
consolidated balance sheet of the Company and its Subsidiaries has been filed with the SEC or provided to the Trustee), then the Company shall or shall cause the relevant Restricted Subsidiary or Regulated Subsidiary to apply (no later than the end
of the 12-month period referred to in clause (1)) such excess Net Cash Proceeds (to the extent not applied pursuant to clause (1)) as provided in the following paragraphs of this Section 4.10. 

The amount of such excess Net Cash Proceeds required to be applied (or to be committed to be applied) during such 12-month period as set
forth in clause (1) of the preceding sentence and not applied as so required by the end of such period shall constitute “Excess Proceeds.” 
 If, as of the first day of any calendar month, the aggregate amount of Excess Proceeds not theretofore subject to an Offer to Purchase pursuant to this Section 4.10 totals at least $50 million, the
Company must commence, not later than the fifteenth Business Day of such month, and consummate an Offer to Purchase from the Holders of all series of Notes then outstanding (and if required by the terms of any Indebtedness that is pari passu
with such Notes (“Pari Passu Indebtedness”), from the holders of such Pari Passu Indebtedness) on a pro rata basis an aggregate principal amount of Notes of all such outstanding series (and Pari Passu Indebtedness) equal to the
Excess Proceeds on such date, at a purchase price equal to 100% of their principal amount, plus, in each case, accrued interest (if any) to the Payment Date. 
 To the extent that the aggregate amount of Notes and Pari Passu Indebtedness so validly tendered and not properly withdrawn pursuant to an Offer to Purchase is less than the Excess Proceeds, the Company
may use any remaining Excess Proceeds for any other purpose which is permitted by this Indenture. 
 If the aggregate principal
amount of Notes surrendered by holders thereof and other Pari Passu Indebtedness surrendered by holders or lenders, collectively, exceeds the amount of Excess Proceeds, the Trustee shall select the Notes and Pari Passu Indebtedness to be purchased
on a pro rata basis on the basis of the aggregate principal amount of tendered Notes and Pari Passu Indebtedness. Upon completion of such Offer to Purchase, the amount of Excess Proceeds shall be reset to zero. 

  
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 Section 4.11 Repurchase of Notes Upon a Change of Control. The Company must
commence, within 30 days of the later of (1) the occurrence of a Change of Control, and (2) a Rating Decline, and consummate an Offer to Purchase for all Notes of each series then outstanding, at a purchase price equal to 101% of their
principal amount, plus accrued interest (if any) to the Payment Date; provided that the Company shall not be required to make an Offer to Purchase unless a Rating Decline occurs. 

The Company will not be required to make an Offer to Purchase with respect to a series of Notes upon the occurrence of a Change of
Control, if a third party makes an offer to purchase the Notes of such series in the manner, at the times and price and otherwise in compliance with the requirements of this Indenture applicable to an Offer to Purchase for a Change of Control and
purchases all such Notes validly tendered and not withdrawn in such offer to purchase. 
 Section 4.12 Limitation on
Lines of Business. The Company will not, and will not permit any Restricted Subsidiary or Regulated Subsidiary to, engage in any business other than a Related Business, except to an extent that so doing would not be material to the Company and
its Restricted Subsidiaries, taken as a whole. 
 Section 4.13 Effectiveness of Covenants. The covenants set forth
in Sections 4.03, 4.04, 4.05, 4.06, 4.07, 4.08, 4.10, 4.12 and 4.14 will no longer be in effect upon the Company attaining Investment Grade Status (collectively, the “Terminated Covenants”). The Terminated Covenants will not be
reinstated regardless of whether the Company’s credit rating is subsequently downgraded from Investment Grade Status. 

Section 4.14 SEC Reports and Reports to Holders. The Company will deliver to the Trustee within 30 days after the filing of
the same with the Securities and Exchange Commission, quarterly and annual reports and of the information, documents and other reports, if any, which the Company is required to file with the Securities and Exchange Commission pursuant to
Section 13 or 15(d) of the Exchange Act. Notwithstanding that the Company may not be subject to the reporting requirements of Section 13 or 15(d) of the Exchange Act, the Company will file with the Securities and Exchange Commission, to
the extent permitted, and provide the Trustee and Holders with such annual reports and such information, documents and other reports specified in Sections 13 and 15(d) of the Exchange Act, provided that the Company need not file such reports
or other information if, and so long as, it would not be required to do so pursuant to Rule 12h-5 under the Exchange Act. The Company will also comply with the other provisions of the TIA, Section 314(a). Delivery of such reports, information
and documents to the Trustee is for informational purposes only and the Trustee’s receipt of such shall not constitute constructive notice of any information contained therein or determinable from information contained therein, including the
Company’s compliance with any of its covenants hereunder (as to which the Trustee is entitled to rely exclusively on Officers’ Certificates). 
 Notwithstanding the foregoing, the Company will be deemed to have furnished such reports referred to above to the Trustee and the Holders if the Company has filed such reports with the SEC via the EDGAR
filing system and such reports are publicly available. 
 Section 4.15 [Intentionally Omitted] 

  
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 Section 4.16 Compliance Certificates. 

(a) Officers of the Company must certify, on or before a date not more than 90 days after the end of each fiscal year, that a review has
been conducted of the activities of the Company and its Restricted Subsidiaries and Regulated Subsidiaries and the Company’s and its Restricted Subsidiaries’ and its Regulated Subsidiaries’ performance under this Indenture and that,
to their knowledge, the Company has fulfilled all obligations hereunder, or, if there has been a default in the fulfillment of any such obligation, specifying each such default and the nature and status thereof. The Company will also be obligated to
notify the Trustee of any default or defaults in the performance of any covenants or agreements under this Indenture. Such certificate shall contain a certification from the principal executive officer, principal financial officer or principal
accounting officer of the Company as to his or her knowledge of the Company’s compliance with all conditions and covenants under this Indenture. For purposes of this Section 4.16, such compliance shall be determined without regard to any
period of grace or requirement of notice provided under this Indenture. If any of the officers of the Company signing such certificate has knowledge of such a Default or Event of Default, the certificate shall describe any such Default or Event of
Default and its status. The first certificate to be delivered pursuant to this Section 4.16(a) shall be for the first fiscal year beginning after the execution of this Indenture. 

(b) The Company shall deliver to the Trustee, within 90 days after the end of each fiscal year, beginning with the fiscal year in which
this Indenture was executed, a certificate signed by the Company’s independent certified public accountants stating (i) that their audit examination has included a review of the terms of this Indenture and the Notes as they relate to
accounting matters, (ii) that they have read the most recent Officers’ Certificate delivered to the Trustee pursuant to paragraph (a) of this Section 4.16 and (iii) whether, in connection with their audit examination,
anything came to their attention that caused them to believe that the Company was not in compliance with any of the terms, covenants, provisions or conditions of Article IV and Section 5.01 of this Indenture as they pertain to accounting
matters and, if any Default or Event of Default has come to their attention, specifying the nature and period of existence thereof; provided that such independent certified public accountants shall not be liable in respect of such statement
by reason of any failure to obtain knowledge of any such Default or Event of Default that would not be disclosed in the course of an audit examination conducted in accordance with generally accepted auditing standards in effect at the date of such
examination. The Company shall not be required to comply with the foregoing clause (b) with respect to any fiscal year if such compliance would be contrary to the recommendations of the American Institute of Certified Public Accountants so long
as the Company delivers to the Trustee within 90 days after the end of such fiscal year an Officers’ Certificate stating that such compliance would be so contrary and any facts particular to the Company that may have caused such compliance to
be so contrary. 
 Section 4.17 Waiver of Stay, Extension or Usury Laws. The Company covenants (to the extent that
it may lawfully do so) that it will not at any time insist upon, or plead, or in any manner whatsoever claim or take the benefit or advantage of, any stay or extension law or any usury law or other law wherever enacted, now or at any time hereafter
in force, or that may affect the covenants or the performance of this Indenture; and (to the extent that it may lawfully do so) the Company hereby expressly waives all benefit or advantage of any such law and covenants that it will not hinder, delay
or impede the execution of any power herein granted to the Trustee, but will suffer and permit the execution of every such power as though no such law had been enacted. 

  
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 ARTICLE V 
 CONSOLIDATION, MERGER OR SALE OF ASSETS 
 Section 5.01
Consolidation, Merger and Sale of Assets. The Company will not consolidate with, merge with or into, or sell, convey, transfer, lease or otherwise dispose of all or substantially all of its property and assets (as an entirety or substantially
an entirety in one transaction or a series of related transactions) to, any Person or permit any Person to merge with or into it unless: 
 (1) it shall be the continuing Person, or the Person (if other than it) formed by such consolidation or into which it is merged or that acquired or leased such property and assets of (the
“Surviving Person”) shall be an entity organized and validly existing under the laws of the United States of America or any jurisdiction thereof and shall expressly assume, by a supplemental indenture, executed and delivered to the
Trustee, all of the Company’s obligations under this Indenture and the Notes; provided, that if such continuing Person or Person shall not be a corporation, such entity shall organize or have a wholly-owned Subsidiary in the form of a
corporation organized and validly existing under the laws of the United States or any jurisdiction thereof, and shall cause such corporation to expressly assume, as a party to the supplemental indenture referenced above, as a co-obligor, each of
such continuing Person or Person’s obligations under this Indenture and the Notes; 
 (2) immediately after
giving effect to such transaction, no Default or Event of Default shall have occurred and be continuing; 
 (3)
immediately after giving effect to such transaction on a pro forma basis the Company or the Surviving Person, as the case may be, (i) could Incur at least $1.00 of Indebtedness under the first paragraph of Section 4.03(a) or (ii) the
Company’s or the Surviving Person’s Consolidated Fixed Charge Coverage Ratio would be greater than or equal to such ratio for the Company and the Restricted Subsidiaries immediately prior to such transaction; 

(4) it delivers to the Trustee an Officers’ Certificate (attaching the arithmetic computations to demonstrate
compliance with clause (3)) and Opinion of Counsel, in each case stating that such consolidation, merger or transfer and such supplemental indenture complies with this provision and that all conditions precedent provided for herein relating to
such transaction have been complied with; and 
 (5) each Subsidiary Guarantor, unless such Subsidiary Guarantor
is the Person with which the Company has entered into a transaction under this Section 5.01, shall have by amendment to its Note Guarantee confirmed that its Note Guarantee shall apply to the obligations of the Company or the Surviving Person
in accordance with the Notes of each applicable series and this Indenture; 
 provided, however, that clause (3) above does
not apply if, in the good faith determination of the Board of Directors of the Company, whose determination shall be evidenced by a Board Resolution, the principal purpose of such transaction is to change the state of organization or convert the
form of organization of the Company to another form, and any such transaction shall not have as one of its purposes the evasion of the foregoing limitations. 
 Section 5.02 Successor Substituted. Upon any consolidation or merger, or any sale, conveyance, transfer, lease or other disposition of all or substantially all of the property and assets of
the Company in accordance with Section 5.01 of this Indenture, the successor Person formed by such consolidation or into which the Company is merged or to which such sale, conveyance, transfer, lease or other 

  
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disposition is made shall succeed to, and be substituted for, and may exercise every right and power of, the Company under this Indenture with the same effect as if such successor Person had been
named as the Company herein; provided that the Company shall not be released from its obligation to pay the principal of, premium, if any, or interest on the Notes of each series then outstanding in the case of a lease of all or substantially
all of its property and assets. 
 ARTICLE VI 
 EVENTS OF DEFAULT AND REMEDIES 
 Section 6.01 Events of
Default. Any of the following events shall constitute an “Event of Default” hereunder with respect to Notes of any series: 
 (a) default in the payment of principal of (or premium, if any, on) any Note of such series when the same becomes due and payable at maturity, upon acceleration, redemption or otherwise; 

(b) default in the payment of interest on any Note of such series when the same becomes due and payable, and such default
continues for a period of 30 days; 
 (c) default in the performance or breach of the provisions of this
Indenture applicable to mergers, consolidations and transfers of all or substantially all of the assets of the Company or the failure by the Company to make or consummate an Offer to Purchase with respect to such series in accordance with
Section 4.10 or Section 4.11; 
 (d) the Company or any Subsidiary Guarantor defaults in the
performance of or breaches any other covenant or agreement in this Indenture or under the Notes of such series (other than a default specified in clause (a), (b) or (c) of this Section 6.01) and such default or breach continues for a
period of 30 consecutive days (or, in the case of a failure to comply with its agreement to deliver reports to the Trustee or Holders of the Notes as described under Section 4.14, 60 consecutive days) after written notice by the Trustee or the
Holders of 25% or more in aggregate principal amount of the Notes of such series; 
 (e) there occurs with
respect to any issue or issues of Indebtedness of the Company or any Significant Subsidiary having an outstanding principal amount of $50 million or more in the aggregate for all such issues of all such Persons, whether such Indebtedness now exists
or shall hereafter be created, (I) an event of default that has caused the holder thereof to declare such Indebtedness to be due and payable prior to its Stated Maturity and such Indebtedness has not been discharged in full or such acceleration
has not been rescinded or annulled within 45 days of such acceleration or (II) the failure to make a principal payment at the final (but not any interim) fixed maturity and such defaulted payment shall not have been made, waived or extended;

 (f) any final judgment or order (not covered by insurance), that is non-appealable, for the payment of money
in excess of $50 million in the aggregate for all such final judgments or orders against all such Persons (treating any deductibles, self-insurance or retention as not so covered) shall be rendered against the Company or any Significant Subsidiary
and shall not be paid, stayed or discharged, and there shall be any period of 45 consecutive days following entry of the final judgment or order that causes the aggregate amount for all such final judgments or orders outstanding and not paid or
discharged against all such Persons to exceed $50 million during which a stay of enforcement of such final judgment or order, by reason of a pending appeal or otherwise, shall not be in effect; 

  
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 (g) a court having jurisdiction in the premises enters a decree or order for
(A) relief in respect of the Company or any Significant Subsidiary in an involuntary case under any applicable bankruptcy, insolvency or other similar law now or hereafter in effect, (B) appointment of a receiver, liquidator, assignee,
custodian, trustee, sequestrator or similar official of the Company or any Significant Subsidiary or for all or substantially all of the property and assets of the Company or any Significant Subsidiary or (C) the winding up or liquidation of
the affairs of the Company or any Significant Subsidiary and, in each case, such decree or order shall remain unstayed and in effect for a period of 60 consecutive days; 

(h) the Company or any Significant Subsidiary (A) commences a voluntary case under any applicable bankruptcy,
insolvency or other similar law now or hereafter in effect, or consents to the entry of an order for relief in an involuntary case under any such law, (B) consents to the appointment of or taking possession by a receiver, liquidator, assignee,
custodian, trustee, sequestrator or similar official of the Company or any Significant Subsidiary or for all or substantially all of the property and assets of the Company or any Significant Subsidiary or (C) effects any general assignment for
the benefit of creditors; 
 (i) failure by any Broker Dealer Regulated Subsidiary that is a Significant
Subsidiary to meet the minimum capital requirements imposed by applicable regulatory authorities, and such condition continues for a period of 30 days after the Company or such Broker Dealer Regulated Subsidiary first becomes aware of such failure;

 (j) failure by any Bank Regulated Subsidiary that is a Significant Subsidiary to be at least “adequately
capitalized,” as defined in regulations of applicable regulatory authorities; provided that an Event of Default under this clause (j) shall not have occurred until (x) 45 days from the time that such Bank Regulated Subsidiary
has notice or is deemed to have notice of such failure unless a capital restoration plan has been filed the with OCC within that time or (y) the expiration of a 90-day period commencing on the earlier of the date of initial submission of a
capital restoration plan to the OCC (unless such capital plan is approved by the OCC before the expiration of such 90-day period or, if the OCC has notified the Company that it needs additional time to determine whether to approve such capital plan,
in which case such 90-day period shall be extended until the OCC determines whether to approve such capital plan, such capital plan is approved by the OCC upon the expiration of such extended period); 

(k) if the Company or any Subsidiary that holds Capital Stock of a Broker Dealer Regulated Subsidiary that is a
Significant Subsidiary shall become ineligible to hold such Capital Stock by reason of a statutory disqualification or otherwise; 
 (l) the Commission shall revoke the registration of any Broker Dealer Regulated Subsidiary that is a Significant Subsidiary as a broker-dealer under the Exchange Act or any such Broker Dealer Regulated
Subsidiary shall fail to maintain such registration; 
 (m) the Examining Authority (as defined in Rule 15c3-l)
for any Broker Dealer Regulated Subsidiary that is a Significant Subsidiary shall suspend (and shall not reinstate within 10 days) or shall revoke such Broker Dealer Regulated Subsidiary’s status as a member organization thereof; 

(n) the occurrence of any event of acceleration in a subordination agreement, as defined in Appendix D to Rule 15c3-l of
the Exchange Act, to which the Company or any Broker Dealer Regulated Subsidiary that is a Significant Subsidiary is a party; 

  
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 (o) any Subsidiary Guarantor that is a Significant Subsidiary repudiates its
obligations under its Note Guarantee with respect to such series of Notes or, except as permitted by this Indenture, any Note Guarantee of such series is determined to be unenforceable or invalid or shall for any reason cease to be in full force and
effect; 
 (p) any other Event of Default provided in the Officers’ Certificate, supplemental indenture or
Board Resolution under which such series of Notes is issued or in the Notes of such series. 
 Section 6.02
Acceleration. If an Event of Default (other than an Event of Default specified in clause (g) or (h) of Section 6.01 that occurs with respect to the Company or any Subsidiary Guarantor) occurs and is continuing under this
Indenture, the Trustee or the Holders of at least 25% in aggregate principal amount of the Notes of the applicable series then outstanding, by written notice to the Company (and to the Trustee if such notice is given by the Holders), may, and the
Trustee at the request of such Holders shall, declare the principal (or, if the Notes of such series are Original Issue Discount Notes, such portion of the principal amount as may be specified with respect to such series) of, premium, if any, and
accrued interest on the applicable series of Notes to be immediately due and payable. Upon a declaration of acceleration, such principal of, premium, if any, and accrued interest shall be immediately due and payable. In the event of a declaration of
acceleration because an Event of Default set forth in clause (e) of Section 6.01 has occurred and is continuing, such declaration of acceleration shall be automatically rescinded and annulled if the event of default triggering such Event
of Default pursuant to clause (e) of Section 6.01 shall be remedied or cured by the Company or the relevant Significant Subsidiary or waived by the holders of the relevant Indebtedness within 60 days after the declaration of acceleration
with respect thereto. If an Event of Default specified in clause (g) or (h) of Section 6.01 occurs with respect to the Company, the principal of, premium, if any, and accrued interest on the Notes of each series then outstanding shall
automatically become and be immediately due and payable without any declaration or other act on the part of the Trustee or any Holder. The Holders of at least a majority in principal amount of the outstanding Notes of the applicable series by
written notice to the Company and to the Trustee, may waive all past defaults and rescind and annul a declaration of acceleration and its consequences if (x) all existing Events of Default, other than the nonpayment of the principal of,
premium, if any, and interest on the applicable series of Notes that have become due solely by such declaration of acceleration, have been cured or waived and (y) the rescission would not conflict with any judgment or decree of a court of
competent jurisdiction. 
 For all purposes under this Indenture, if a portion of the principal of any Original Issue Discount
Notes shall have been accelerated and declared due and payable pursuant to the provisions hereof, then, from and after such declaration, unless such declaration has been rescinded and annulled, the principal amount of such Original Issue Discount
Notes shall be deemed, for all purposes hereunder, to be such portion of the principal thereof as shall be due and payable as a result of such acceleration, and payment of such portion of the principal thereof as shall be due and payable as a result
of such acceleration, together with interest, if any, thereon and all other amounts owing thereunder, shall constitute payment in full of such Original Issue Discount Notes. 
 Section 6.03 Control by Majority. With respect to the Notes of any series, the Holders of at least a majority in aggregate principal amount of the outstanding Notes of the applicable series
may direct the time, method and place of conducting any proceeding for any remedy available to the Trustee or exercising any trust or power conferred on the Trustee; provided that the Trustee may refuse to follow any direction that conflicts
with law or this Indenture, that may involve the Trustee in personal liability, or that the Trustee determines in good faith may be unduly prejudicial to the rights of Holders of Notes of the applicable series not joining in the giving of such
direction and may take any other action it deems proper that is not inconsistent with any such direction received from Holders of Notes of that series. 

  
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 Section 6.04 Limitation on Suits. A Holder of any Note of any series may not
institute any proceeding, judicial or otherwise, with respect to this Indenture or that series of Notes, or for the appointment of a receiver or trustee, or for any other remedy hereunder, unless: 

(1) the Holder gives the Trustee written notice of a continuing Event of Default; 

(2) the Holders of at least 25% in aggregate principal amount of outstanding Notes of such series make a written request
to the Trustee to pursue the remedy; 
 (3) such Holder or Holders offer the Trustee indemnity satisfactory to
the Trustee against any costs, liability or expense; 
 (4) the Trustee does not comply with the request within
60 days after receipt of the request and the offer of indemnity; and 
 (5) during such 60-day period, the
Holders of a majority in aggregate principal amount of the outstanding Notes of the applicable series do not give the Trustee a direction that is inconsistent with the request; 

For purposes of Section 6.03 of this Indenture and this Section 6.04, the Trustee shall comply with TIA Section 316(a) in
making any determination of whether the Holders of the required aggregate principal amount of outstanding Notes of a particular series have concurred in any request or direction of the Trustee to pursue any remedy available to the Trustee or the
Holders with respect to this Indenture or the Notes of that series or otherwise under the law. 
 A Holder may not use this
Indenture to prejudice the rights of another Holder of Notes of the same series or to obtain a preference or priority over such other Holder (it being understood that the Trustee does not have any affirmative duty to ascertain whether or not such
actions or forbearances are unduly prejudicial to such Holders). 
 Section 6.05 Rights of Holders to Receive
Payment. Notwithstanding any other provision of this Indenture, the right of any Holder of a Note of any series to receive payment of the principal of, premium, if any, or interest on, such Note or to bring suit for the enforcement of any such
payment, on or after the due date expressed in the Notes of such series, shall not be impaired or affected without the consent of the Holder. 
 Section 6.06 Collection Suit by Trustee. If an Event of Default in payment of principal, premium or interest on a Note of any series specified in clause (a) or (b) of
Section 6.01 occurs and is continuing, the Trustee may recover judgment in its own name and as trustee of an express trust against the Company or any other obligor of that Note for the whole amount of principal, premium, if any, and accrued
interest remaining unpaid, together with interest on overdue principal, premium, if any, and, to the extent that payment of such interest is lawful, interest on overdue installments of interest, in each case at the rate (or Yield to Maturity, in the
case of Original Issue Discount Notes) specified in the Notes of such series, and such further amount as shall be sufficient to cover the costs and expenses of collection, including the reasonable compensation, expenses, disbursements and advances
of the Trustee, its agents and counsel. 

  
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 Section 6.07 Trustee May File Proofs of Claim. The Trustee may file such proofs
of claim and other papers or documents as may be necessary or advisable in order to have the claims of the Trustee (including any claim for the reasonable compensation, expenses, disbursements and advances of the Trustee, its agents and counsel, and
any other amounts due the Trustee under Section 7.07) and the Holders of a series of Notes allowed in any judicial proceedings relative to the Company (or any other obligor of such Notes), its creditors or its property and shall be entitled and
empowered to collect and receive any monies, securities or other property payable or deliverable upon conversion or exchange of the Notes of such series or upon any such claims and to distribute the same, and any custodian, receiver, assignee,
trustee, liquidator, sequestrator or other similar official in any such judicial proceeding is hereby authorized by each Holder of such series to make such payments to the Trustee and, in the event that the Trustee shall consent to the making of
such payments directly to the Holders of such series, to pay to the Trustee any amount due to it for the reasonable compensation, expenses, disbursements and advances of the Trustee, its agents and counsel, and any other amounts due the Trustee
under Section 7.07. Nothing herein contained shall be deemed to empower the Trustee to authorize or consent to, or accept or adopt on behalf of any Holder, any plan of reorganization, arrangement, adjustment or composition affecting the Notes
of the applicable series or the rights of any Holder thereof, or to authorize the Trustee to vote in respect of the claim of any such Holder in any such proceeding. 
 Section 6.08 Priorities. If the Trustee collects any money pursuant to this Article VI in respect of any series of Notes, it shall pay out the money in the following order: 

First: to the Trustee for all amounts due under Section 7.07; 

Second: to Holders of such Notes in respect of which such money was collected for amounts then due and unpaid for
principal of, premium, if any, and interest on such Notes in respect of which or for the benefit of which such money has been collected, ratably, without preference or priority of any kind, according to the amounts due and payable on such Notes for
principal, premium, if any, and interest, respectively; and 
 Third: to the Company or any other obligors of
such Notes in respect of which such money was collected, as their interests may appear, or as a court of competent jurisdiction may direct. 
 The Trustee, upon prior written notice to the Company, may fix a record date and payment date for any payment to Holders of such Notes in respect of which such money was collected pursuant to this
Section 6.08. 
 Section 6.09 Undertaking for Costs. In any suit for the enforcement of any right or remedy
under this Indenture or in any suit against the Trustee for any action taken or omitted by it as Trustee, a court may require any party litigant in such suit to file an undertaking to pay the costs of the suit, and the court may assess reasonable
costs, including reasonable attorneys’ fees and expenses, against any party litigant in the suit having due regard to the merits and good faith of the claims or defenses made by the party litigant. This Section 6.09 does not apply to a
suit by the Trustee, a suit by a Holder pursuant to Section 6.05, or a suit by Holders of more than 10% in principal amount of the outstanding Notes of any series. 
 Section 6.10 Restoration of Rights and Remedies. If the Trustee or any Holder has instituted any proceeding to enforce any right or remedy under this Indenture and such proceeding has been
discontinued or abandoned for any reason, or has been determined adversely to the Trustee or to such Holder, then, and in every such case, subject to any determination in such proceeding, the Company, the Trustee and the Holders of such series of
Notes shall be restored severally and respectively to their former positions hereunder and thereafter all rights and remedies of the Company, Trustee and such Holders shall continue as though no such proceeding had been instituted. 

  
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 Section 6.11 Rights and Remedies Cumulative. Except as otherwise provided with
respect to the replacement or payment of mutilated, destroyed, lost or wrongfully taken Notes in Section 2.05, no right or remedy herein conferred upon or reserved to the Trustee or to the Holders is intended to be exclusive of any other right
or remedy, and every right and remedy shall, to the extent permitted by law, be cumulative and in addition to every other right and remedy given hereunder or now or hereafter existing at law or in equity or otherwise. The assertion or employment of
any right or remedy hereunder, or otherwise, shall not prevent the concurrent assertion or employment of any other appropriate right or remedy. 
 Section 6.12 Delay or Omission Not Waiver. No delay or omission of the Trustee or of any Holder of any Note to exercise any right or remedy accruing upon any Event of Default shall impair any
such right or remedy or constitute a waiver of any such Event of Default or an acquiescence therein. Every right and remedy given by this Article VI or by law to the Trustee or to the Holders may be exercised from time to time, and as often as may
be deemed expedient, by the Trustee or by the Holders of any series of Notes, as the case may be. 
 ARTICLE VII

 THE TRUSTEE 
 Section 7.01 General. 
 (a) The duties and responsibilities of the
Trustee are as provided by the TIA and as set forth herein. Whether or not expressly so provided, every provision of this Indenture relating to the conduct or affecting the liability of or affording protection to the Trustee is subject to this
Article. 
 (b) Except during the continuance of an Event of Default, the Trustee need perform only those duties that are
specifically set forth in this Indenture and no others, and no implied covenants or obligations will be read into this Indenture against the Trustee. In case an Event of Default has occurred and is continuing with respect to a series of Notes, the
Trustee shall exercise those rights and powers vested in it by this Indenture, and use the same degree of care and skill in their exercise, as a prudent person would exercise or use under the circumstances in the conduct of such person’s own
affairs. 
 (c) No provision of this Indenture shall be construed to relieve the Trustee from liability for its own negligent
action, its own negligent failure to act or its own willful misconduct, except that: 
 (1) this subsection shall
not be construed to limit the effect of subsection (b) of this Section 7.01; 
 (2) the Trustee shall
not be liable for any error of judgment made in good faith by a Responsible Officer, unless it shall be proved that the Trustee was negligent in ascertaining the pertinent facts; 

(3) the Trustee shall not be liable with respect to any action taken or omitted to be taken by it in good faith in
accordance with the direction of the Holders of a majority in principal amount of the outstanding Notes of any series, determined as provided in Sections 1.01, 2.06, 6.02 or 6.03, relating to the time, method and place of conducting any proceeding
for any remedy available to the Trustee, or exercising any trust or power conferred upon the Trustee, under this Indenture with respect to the Notes of such series; and 

  
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 (4) no provision of this Indenture shall require the Trustee to expend or
risk its own funds or otherwise incur any financial liability in the performance of any of its duties hereunder, or in the exercise of any of its rights or powers, if it shall have reasonable grounds for believing that repayment of such funds or
adequate indemnity against such risk or liability is not reasonably assured to it. 
 Section 7.02 Certain Rights of
Trustee. Subject to TIA Sections 315(a) through (d): 
 (1) In the absence of bad faith on its part, the
Trustee may conclusively rely, and will be protected in acting or refraining from acting, upon any resolution, certificate, statement, instrument, opinion, report, notice, request, direction, consent, order, bond, debenture, note, other evidence of
indebtedness or other paper or document believed by it to be genuine and to have been signed or presented by the proper Person. The Trustee need not investigate any fact or matter stated in the document, but, in the case of any document which is
specifically required to be furnished to the Trustee pursuant to any provision hereof, the Trustee shall examine the document to determine whether it conforms to the requirements of this Indenture (but need not confirm or investigate the accuracy of
mathematical calculations or other facts stated therein). The Trustee, in its discretion, may make further inquiry or investigation into such facts or matters as it sees fit. 

(2) Any request or direction of the Company mentioned herein shall be sufficiently evidenced by a Company Request or
Company Order and any resolution of the Board of Directors may be sufficiently evidenced by a Board Resolution. 

(3) Before the Trustee acts or refrains from acting, it may require an Officers’ Certificate or an Opinion of Counsel
conforming to Section 11.05 and the Trustee will not be liable for any action it takes or omits to take in good faith in reliance on the certificate or opinion. 

(4) The Trustee may act through its attorneys and agents and will not be responsible for the misconduct or negligence of
any agent appointed with due care. 
 (5) The Trustee will be under no obligation to exercise any of the rights
or powers vested in it by this Indenture at the request or direction of any of the Holders, unless such Holders have offered to the Trustee reasonable security or indemnity satisfactory to it against the costs, expenses and liabilities that might be
incurred by it in compliance with such request or direction. 
 (6) The Trustee may consult with counsel of its
selection, and the advice of such counsel or any Opinion of Counsel will be full and complete authorization and protection in respect of any action taken, suffered or omitted by it hereunder in good faith and in reliance thereon. 

(7) The Trustee shall not be deemed to have notice of any Default or Event of Default unless a Responsible Officer of the
Trustee has actual knowledge thereof or unless written notice of any event which is in fact such a default is received by the Trustee at the Corporate Trust Office of the Trustee, and such notice references the Notes of the applicable series and
this Indenture. 
 (8) The rights, privileges, protections, immunities and benefits given to the Trustee,
including, without limitation, its right to be indemnified, are extended to, and shall be enforceable by, the Trustee in each of its capacities hereunder, and each agent, custodian and other Person employed to act hereunder. 

  
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 (9) The Trustee may request that the Company deliver an Officers’
Certificate setting forth the names of individuals and/or titles of officers authorized at such time to take specified actions pursuant to this Indenture, which Officers’ Certificate may be signed by any person authorized to sign an
Officers’ Certificate, including any person specified as so authorized in any such certificate previously delivered and not superseded; and 
 (10) In no event shall the Trustee be responsible or liable for special, indirect, or consequential loss or damage of any kind whatsoever (including, but not limited to, loss of profit) irrespective of
whether the Trustee has been advised of the likelihood of such loss or damage and regardless of the form of action. 

Section 7.03 Individual Rights of Trustee. The Trustee, in its individual or any other capacity, may become the owner or
pledgee of Notes and may otherwise deal with the Company or its Affiliates with the same rights it would have if it were not the Trustee. Any Agent may do the same with like rights. However, the Trustee is subject to TIA Sections 310(b) and 311. For
purposes of TIA Section 311(b)(4) and (6): 
 (a) “cash transaction” means any transaction
in which full payment for goods or securities sold is made within seven days after delivery of the goods or securities in currency or in checks or other orders drawn upon banks or bankers and payable upon demand; and 

(b) “self-liquidating paper” means any draft, bill of exchange, acceptance or obligation which is made,
drawn, negotiated or incurred for the purpose of financing the purchase, processing, manufacturing, shipment, storage or sale of goods, wares or merchandise and which is secured by documents evidencing title to, possession of, or a lien upon, the
goods, wares or merchandise or the receivables or proceeds arising from the sale of the goods, wares or merchandise previously constituting the security, provided the security is received by the Trustee simultaneously with the creation of the
creditor relationship arising from the making, drawing, negotiating or incurring of the draft, bill of exchange, acceptance or obligation. 
 Section 7.04 Trustee’s Disclaimer. The Trustee (i) makes no representation as to the validity or adequacy of this Indenture or the Notes of any series, (ii) is not accountable
for the Company’s use or application of the proceeds from the Notes of any series and (iii) is not responsible for any statement in such Notes other than its certificate of authentication. 

Section 7.05 Notice of Default. If any Default occurs and is continuing with respect to a series of Notes and is known to a
Responsible Officer of the Trustee, the Trustee will send notice of the Default to each Holder of such Notes within 90 days after it occurs, unless the Default has been cured; provided that, except in the case of a default in the payment of
the principal of or interest on any Note, the Trustee may withhold the notice if and so long as the board of directors, the executive committee or a trust committee of directors of the Trustee in good faith determines that withholding the notice is
in the interest of the Holders of such Notes. Notice to such Holders under this Section will be given in the manner and to the extent provided in TIA Section 313(c). 
 Section 7.06 Reports by Trustee to Holders. Within 60 days after each May 15, beginning with May 15, 2013, the Trustee will mail to each Holder, as provided in TIA
Section 313(c), a brief report dated as of such May 15, if required by TIA Section 313(a), and file such reports with each stock exchange upon which its Notes are listed and with the Commission as required by TIA Section 313(d).
The Company will promptly notify the Trustee in writing if and when the Notes of any series are listed on any stock exchange and of any delisting thereof. 

  
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 Section 7.07 Compensation and Indemnity. 

(a) The Company will pay the Trustee compensation as agreed upon in writing for its services. The compensation of the Trustee is not
limited by any law on compensation of a Trustee of an express trust. The Company will reimburse the Trustee upon request for all reasonable out-of-pocket expenses, disbursements and advances incurred or made by the Trustee, including the reasonable
compensation and expenses of the Trustee’s agents and counsel. 
 (b) The Company will indemnify the Trustee or any
predecessor Trustee and their agents for, and hold them harmless against, any and all loss, liability, damage, claim or expense, including taxes (other than taxes based upon, measured by or determined by the income of the Trustee) incurred by it
without negligence or bad faith on its part arising out of or in connection with the acceptance or administration of this Indenture and its duties under this Indenture and the Notes, including the costs and expenses of defending itself against any
claim (whether asserted by the Company, any Holder or any other Person) or liability and of complying with any process served upon it or any of its officers in connection with the exercise or performance of any of its powers or duties under this
Indenture and the Notes. 
 (c) To secure the Company’s payment obligations in this Section, the Trustee will have a lien
prior to the Notes of each series on all money or property held or collected by the Trustee, in its capacity as Trustee, except money or property held in trust to pay principal of and interest on particular Notes. 

(d) To the extent the Trustee incurs expenses or renders services in connection with an Event of Default specified in
Section 6.01(g) or Section 6.01(h), the expenses (including the reasonable charges and expenses of its counsel) and the compensation for the services are intended to constitute expenses of administration under any applicable Federal or
state bankruptcy, insolvency or other similar law. 
 This section shall survive the resignation or removal of the Trustee or
the termination of this Indenture. 
 Section 7.08 Replacement of Trustee. 

(a) (1) The Trustee may resign at any time with respect to one or more or all series of Notes by written notice to the Company.

 (2) The Holders of a majority in principal amount of the outstanding Notes of a series may remove the Trustee by written
notice to the Trustee. 
 (3) If the Trustee is no longer eligible under Section 7.10 or in the circumstances described in
TIA Section 310(b), any Holder that satisfies the requirements of TIA Section 310(b) may petition any court of competent jurisdiction for the removal of the Trustee and the appointment of a successor Trustee with respect to such series of
Notes. 
 (4) The Company may remove the Trustee with respect to any or all series of Notes if: (i) the Trustee is no
longer eligible under Section 7.10; (ii) the Trustee is adjudged a bankrupt or an insolvent; (iii) a receiver or other public officer takes charge of the Trustee or its property; or (iv) the Trustee becomes incapable of acting.

 (5) A resignation or removal of the Trustee and appointment of a successor Trustee will become effective only upon the
successor Trustee’s acceptance of appointment as provided in this Section. 

  
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 (b) If the Trustee has been removed by the Holders of a series of Notes, Holders of a
majority in principal amount of the Notes of such series may appoint a successor Trustee with the consent of the Company. Otherwise, if the Trustee resigns or is removed, or if a vacancy exists in the office of Trustee for any reason, the Company
will promptly appoint a successor Trustee. If the successor Trustee does not deliver its written acceptance within 30 days after the retiring Trustee resigns or is removed, the retiring Trustee, the Company or the Holders of a majority in principal
amount of the outstanding Notes of the applicable series may petition any court of competent jurisdiction at the expense of the Company in the case of the Trustee, for the appointment of a successor Trustee with respect to such series. 

(c) Upon delivery by the successor Trustee with respect to a series of Notes of a written acceptance of its appointment to the retiring
Trustee and to the Company, (i) the retiring Trustee will transfer all property held by it as Trustee of such series to the successor Trustee, subject to the lien provided for in Section 7.07, (ii) the resignation or removal of the
retiring Trustee will become effective, and (iii) the successor Trustee will have all the rights, powers and duties of the Trustee under this Indenture and the Notes of the applicable series. Upon request of any successor Trustee, the Company
will execute any and all instruments for fully vesting in and confirming to the successor Trustee all such rights, powers and trusts. The Company will give notice of any resignation and any removal of the Trustee and each appointment of a successor
Trustee to all Holders of the applicable series, and include in the notice the name of the successor Trustee and the address of its Corporate Trust Office. 
 (d) Notwithstanding replacement of the Trustee with respect to a series of Notes pursuant to this Section, the Company’s obligations under Section 7.07 will continue for the benefit of the
retiring Trustee. 
 (e) The Trustee agrees to give the notices provided for in, and otherwise comply with, TIA
Section 310(b). 
 Section 7.09 Successor Trustee by Merger. If the Trustee consolidates with, merges or
converts into, or transfers all or substantially all of its corporate trust business to, another corporation or national banking association, the resulting, surviving or transferee corporation or national banking association without any further act
will be the successor Trustee with the same effect as if the successor Trustee had been named as the Trustee in this Indenture. 

Section 7.10 Eligibility. This Indenture must always have a Trustee that satisfies the requirements of TIA
Section 310(a) and has a combined capital and surplus of at least $25,000,000 as set forth in its most recent published annual report of condition. 
 Section 7.11 Money Held in Trust. The Trustee will not be liable for interest on any money received by it except as it may agree with the Company. Money held in trust by the Trustee need not
be segregated from other funds except to the extent required by law and except for money held in trust under Article VIII. 

ARTICLE VIII 
 DEFEASANCE AND DISCHARGE 
 Section 8.01 Discharge of Company’s
Obligations. 
 (a) Subject to paragraph (b), the Company’s obligations under the Notes of a series and this Indenture,
and each Subsidiary Guarantor’s obligations under its Note Guarantee of such series, will terminate if: 

  
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 (1) either: 

(a) all Notes of such series that have been authenticated and delivered (other than destroyed, lost or stolen Notes that
have been replaced, Notes that are paid pursuant to Section 4.01 and Notes for whose payment money or securities have theretofore been deposited in trust and thereafter repaid to the Company pursuant to Section 8.05) have been delivered to
the Trustee for cancellation and the Company has paid all sums payable under such Indenture with respect to such Notes; or 
 (b) all Notes of such series (other than any Notes convertible into or exchangeable for cash, common stock or other equity securities of the Company or a combination thereof), mature within one year or
are to be called for redemption within one year and the Company has irrevocably deposited with the Trustee, as trust funds in trust solely for the benefit of the holders, money or U.S. Government Obligations sufficient, without consideration of any
reinvestment of interest, to pay principal, premium, if any, and accrued interest on such Notes to the date of maturity or redemption and all other sums payable under such Indenture; 

(2) no Default or Event of Default shall have occurred and be continuing with respect to such series of Notes on the date
of such deposit and such deposit will not result in a breach or violation of, or constitute a default under this Indenture or any other instrument to which the Company or any Subsidiary Guarantor is a party or by which the Company or any Subsidiary
Guarantor is bound; 
 (3) the Company has delivered irrevocable instructions to the Trustee to apply the
deposited money toward the payment of such Notes at maturity or the redemption date, as applicable; and 
 (4)
the Company delivers to the Trustee an Officers’ Certificate and an Opinion of Counsel, in each case stating that all conditions precedent provided for herein relating to the satisfaction and discharge of this Indenture with respect to such
series of Notes have been complied with. 
 (b) After satisfying the conditions in clause (1)(a), only the Company’s
obligations under Section 7.07 will survive with respect to such series of Notes. After satisfying the conditions in clause (1)(b), (2) and (3), only the Company’s obligations in Article II and Sections 4.01, 4.02, 7.07, 7.08, 8.05
and 8.06 will survive with respect to such series of Notes. In either case, the Trustee upon request will acknowledge in writing the discharge of the Company’s obligations under the applicable series of Notes and this Indenture other than the
surviving obligations. 
 Section 8.02 Legal Defeasance. On the 123rd day following the deposit referred to in
clause (1), the Company will be deemed to have paid and will be discharged from its obligations in respect of the applicable series of Notes under this Indenture, other than its obligations in Article II and Sections 4.01, 4.02, 7.07, 7.08, 8.05 and
8.06, and each Subsidiary Guarantor’s obligations under its Note Guarantee of such Notes will terminate, provided the following conditions have been satisfied: 

(1) The Company has irrevocably deposited in trust with the Trustee, as trust funds solely for the benefit of the Holders
of Notes of the applicable series, money and/or U.S. Government Obligations or a combination thereof sufficient, in the opinion of a nationally recognized firm of independent public accountants expressed in a written certificate thereof delivered to
the Trustee, without consideration of any reinvestment, to pay principal of, premium, if any, and accrued interest on the Notes of such series to maturity or redemption, as the case may be, provided that any redemption before maturity has
been irrevocably provided for under arrangements satisfactory to the Trustee. 

  
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 (2) Immediately after giving effect to such deposit on a pro forma basis, no
Event of Default, or event that after the giving of notice or lapse of time or both would become an Event of Default, shall have occurred and be continuing with respect to such series of Notes on the date of such deposit or during the period ending
on the 123rd day after the date of such deposit, and such deposit shall not result in a breach or violation of, or constitute a default under, any other agreement or instrument to which the Company or any of its Subsidiaries is a party or by which
the Company or any of its Subsidiaries is bound. 
 (3) The Company has delivered to the Trustee: 

(A) either (x) an Opinion of Counsel to the effect that Holders of such Notes will not recognize income, gain or loss
for federal income tax purposes as a result of the defeasance and will be subject to federal income tax on the same amount and in the same manner and at the same times as would have been the case if such deposit, defeasance and discharge had not
occurred, which Opinion of Counsel must be based upon (and accompanied by a copy of) a ruling of the Internal Revenue Service to the same effect unless there has been a charge in applicable federal income tax law after the Issue Date such that a
ruling is no longer required or (y) a ruling directed to the Trustee received from the Internal Revenue Service to the same effect as the aforementioned Opinion of Counsel; and 

(B) the defeasance trust is not required to register as an investment company under the Investment Company Act of 1940
and, after the passage of 123 days following the deposit, the trust fund will not be subject to the effect of Section 547 of the United States Bankruptcy Code or Section 15 of the New York Debtor and Creditor Law. 

(4) The Company has delivered to the Trustee an Officers’ Certificate and an Opinion of Counsel, in each case stating
that all conditions precedent provided for herein relating to the defeasance have been complied with. 
 Prior to the end of the
123-day period, none of the Company’s obligations under this Indenture with respect to such series of Notes will be discharged. Thereafter, the Trustee upon request will acknowledge in writing the discharge of the Company’s obligations
with respect to such series of Notes under this Indenture except for the surviving obligations specified above. 

Section 8.03 Covenant Defeasance. The Company may, subject as provided herein, be released from its respective obligations to
comply with, and shall have no liability in respect of any term, condition or limitation, set forth in Sections 4.03, 4.04, 4.05, 4.06, 4.07, 4.08, 4.09, 4.10 and 4.12, clause (3) of Section 5.01, clause (c) of Section 6.01 with
respect to such clause (3) of Section 5.01, clause (d) of Section 6.01 with respect to the covenants contained in Sections 4.03, 4.04, 4.05, 4.06, 4.07, 4.08, 4.09, 4.10 and 4.12, and clauses (e) and (f) of
Section 6.01 shall not constitute an Event of Default under Section 6.01 with respect to a series of Notes (“Covenant Defeasance”) if: 

(i) The Company has complied with clauses (1), (2), 3(B), and (4) of Section 8.02 with respect to such series;
and 

  
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 (ii) the Company has delivered to the Trustee an Opinion of Counsel to the
effect that the Holders of such series will not recognize income, gain or loss for federal income tax purposes as a result of such deposit and defeasance and will be subject to federal income tax on the same amount and in the same manner and at the
same times as would otherwise have been the case if such deposit and defeasance had not occurred. 
 Except as specifically
stated above, none of the Company’s obligations under this Indenture will be discharged. 
 Section 8.04
Application of Trust Money. Subject to Section 8.05, the Trustee will hold in trust the money or U.S. Government Obligations deposited with it pursuant to Sections 8.01, 8.02 or 8.03, and apply the deposited money and the proceeds from
deposited U.S. Government Obligations to the payment of principal of and interest on the Notes of the applicable series in accordance with such Notes and this Indenture. Such money and U.S. Government Obligations need not be segregated from other
funds except to the extent required by law. 
 Section 8.05 Repayment to Company. Subject to Sections 7.07, 8.01,
8.02 and 8.03, the Trustee will promptly pay to the Company upon request any excess money held by the Trustee at any time and thereupon be relieved from all liability with respect to such money. The Trustee will pay to the Company upon request any
money held for payment with respect to the Notes of a series that remains unclaimed for two years, provided that before making such payment the Trustee may at the expense of the Company publish once in a newspaper of general circulation in
New York City, or send to each Holder of such series entitled to such money, notice that the money remains unclaimed and that after a date specified in the notice (at least 30 days after the date of the publication or notice) any remaining unclaimed
balance of money will be repaid to the Company. After payment to the Company, Holders entitled to such money must look solely to the Company for payment, unless applicable law designates another Person, and all liability of the Trustee with respect
to such money will cease. 
 Section 8.06 Reinstatement. If and for so long as the Trustee is unable to apply any
money or U.S. Government Obligations held in trust pursuant to Sections 8.01, 8.02 or 8.03 by reason of any legal proceeding or by reason of any order or judgment of any court or governmental authority enjoining, restraining or otherwise prohibiting
such application, the Company’s obligations under this Indenture with respect to such series of Notes will be reinstated as though no such deposit in trust had been made. If the Company makes any payment of principal of or interest on any such
Notes because of the reinstatement of its obligations, it will be subrogated to the rights of the Holders of such Notes to receive such payment from the money or U.S. Government Obligations held in trust. 

ARTICLE IX 

AMENDMENTS, SUPPLEMENTS AND WAIVERS 
 Section 9.01 Amendments Without Consent of Holders. 
 (a) The Company
and the Trustee may amend or supplement this Indenture or the Notes of any series without notice to or the consent of any Noteholder: 
 (1) to cure any ambiguity, defect or inconsistency in this Indenture or any series of Notes, provided that such amendments or supplements shall not, in the good faith opinion of the Board of
Directors of the Company as evidenced by a board resolution, adversely affect the interest of the holders thereof in any material respect; 
 (2) to comply with Section 4.07 or Article V; 

  
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 (3) to comply with any requirements of the Commission in connection with the
qualification of this Indenture under the TIA; 
 (4) to evidence and provide for the acceptance of an
appointment hereunder by a successor Trustee; 
 (5) make any change that, in the good faith opinion of the Board
of Directors as evidenced by a Board Resolution, does not materially and adversely affect the rights of any Holder of a series of Notes; 
 (6) to provide for uncertificated Notes of a series in addition to or in place of certificated Notes of such series; 

(7) to provide for the issuance of Additional Notes of a series in accordance with this Indenture; 

(8) add or release Guarantees with respect to the Notes of a series in accordance with the applicable provisions of this
Indenture; 
 (9) secure the Notes of any series; 

(10) conform any provision in this Indenture or the Notes of any series to the prospectus, offering memorandum, offering
circular or any other document pursuant to which the Notes of such series were offered; or 
 (11) establish the
form or forms or terms of the Notes of any series as contemplated by Section 2.01 and Section 2.02 of this Indenture. 

Section 9.02 Amendments with Consent of Holders. 
 (a) Except as otherwise provided in Section 6.05, Section 9.01 or paragraph (b) below, the Company and the Trustee may amend this Indenture and the Notes of any series with the consent of
the Holders of a majority in aggregate principal amount of the outstanding Notes of such series, and the Holders of a majority in principal amount of the outstanding Notes of any series by written notice to the Trustee may waive future compliance by
the Company with any provision of this Indenture with respect to such series of Notes or with any provisions of the Notes of such series. 
 (b) Notwithstanding the provisions of paragraph (a), without the consent of the Holder of each affected Note of a particular series, an amendment or waiver may not 

(1) change the Stated Maturity of the principal of, or any installment of interest on, the Notes of such series,

 (2) reduce the principal amount of, or premium, if any, or interest on, the Notes of such series, 

(3) change the optional redemption dates or optional redemption prices of the Notes of such series from those established
pursuant to a Board Resolution and set forth in an Officers’ Certificate, or established in one or more indentures supplemental hereto pursuant to Sections 2.02 and 3.01, 

  
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 (4) change the place or currency of payment of principal of, or premium, if
any, or interest on, the Notes of such series, 
 (5) impair the right to institute suit for the enforcement of
any payment on or after the Stated Maturity (or, in the case of a redemption, on or after the Redemption Date) of the Notes of such series, 
 (6) waive a default in the payment of principal of, premium, if any, or interest on the Notes of such series or modify any provision of this Indenture relating to modification or amendment thereof,

 (7) reduce the above-stated percentage of outstanding Notes of such series, the consent of whose holders is
necessary to modify or amend this Indenture, 
 (8) release any Subsidiary Guarantor from its Notes Guarantee
with respect to a series of Notes, except as provided in this Indenture, or 
 (9) reduce the percentage or
aggregate principal amount of outstanding Notes of such series the consent of whose Holders is necessary for waiver of compliance with certain provisions of this Indenture or for waiver of certain defaults. 

(c) It is not necessary for Noteholders of a series to approve the particular form of any proposed amendment, supplement or waiver, but
is sufficient if their consent approves the substance thereof. 
 (d) An amendment, supplement or waiver under this Section will
become effective on receipt by the Trustee of written consents from the Holders of the requisite percentage in principal amount of the outstanding Notes of the applicable series. After an amendment, supplement or waiver under this Section becomes
effective, the Company will send to the Holders affected thereby a notice briefly describing the amendment, supplement or waiver. The Company will send supplemental indentures to Holders of the applicable series upon request. Any failure of the
Company to send such notice, or any defect therein, will not, however, in any way impair or affect the validity of any such supplemental indenture or waiver. 
 Section 9.03 Effect of Consent. 
 (a) After an amendment, supplement
or waiver becomes effective, it will bind every Holder of the applicable series of Notes unless it is of the type requiring the consent of each Holder affected. If the amendment, supplement or waiver is of the type requiring the consent of each
Holder affected, the amendment, supplement or waiver will bind each Holder that has consented to it and every subsequent Holder of a Note that evidences the same debt as the Note of the consenting Holder. 

(b) If an amendment, supplement or waiver changes the terms of the Notes of a series, the Trustee may require the Holder of any Note of
such series to deliver it to the Trustee so that the Trustee may place an appropriate notation of the changed terms on such Note and return it to the Holder, or exchange it for a new Note of the applicable series that reflects the changed terms. The
Trustee may also place an appropriate notation on any Note of such series thereafter authenticated. However, the effectiveness of the amendment, supplement or waiver is not affected by any failure to annotate or exchange Notes in this fashion.

 Section 9.04 Trustee’s Rights and Obligations. The Trustee is entitled to receive, and will be fully
protected in conclusively relying upon, an Officers’ Certificate and an Opinion of Counsel (each conforming to Section 11.04) stating that the execution of any amendment, supplement or waiver authorized

  
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pursuant to this Article is authorized or permitted by this Indenture. If the Trustee has received such an Opinion of Counsel, it shall sign the amendment, supplement or waiver so long as the
same does not adversely affect the rights of the Trustee. The Trustee may, but is not obligated to, execute any amendment, supplement or waiver that affects the Trustee’s own rights, duties or immunities under this Indenture. 

Section 9.05 Conformity with Trust Indenture Act. Every supplemental indenture executed pursuant to this Article shall
conform to the requirements of the TIA. 
 Section 9.06 Payments for Consents. Neither the Company nor any of its
Subsidiaries or Affiliates may, directly or indirectly, pay or cause to be paid any consideration, whether by way of interest, fee or otherwise, to any Holder of a series of Notes for or as an inducement to any consent, waiver or amendment of any of
the terms or provisions of this Indenture or such Notes unless such consideration is offered to be paid or agreed to be paid to all Holders of Notes of the applicable series that consent, waive or agree to amend such term or provision within the
time period set forth in the solicitation documents relating to the consent, waiver or amendment. 
 ARTICLE X 

GUARANTEES 

Section 10.01 Guarantees. Subject to this Article X, each of the Subsidiary Guarantors hereby, jointly and severally,
unconditionally guarantees to each Holder of Notes of each applicable series and to the Trustee and its successors and assigns, irrespective of the validity and enforceability of this Indenture, such Notes or the obligations of the Company hereunder
or thereunder, that: (a) the principal of, premium, if any, and interest on the Notes of each applicable series will be promptly paid in full when due, whether at maturity, by acceleration, redemption or otherwise, and interest on the overdue
principal of, premium, if any, and interest on such Notes (at the applicable rate of interest or Yield to Maturity (in the case of Original Issue Discount Notes)), if any, if lawful, and all other obligations of the Company to the Holders or the
Trustee hereunder or thereunder will be promptly paid in full or performed, all in accordance with the terms hereof and thereof; and (b) in the case of any extension of time of payment or renewal of any such Notes or any of such other
obligations, that the same will be promptly paid in full when due or performed in accordance with the terms of the extension or renewal, whether at stated maturity, by acceleration or otherwise. Failing payment when due of any amount so guaranteed
or any performance so guaranteed for whatever reason, the Subsidiary Guarantors shall be jointly and severally obligated to pay the same immediately. Each Subsidiary Guarantor agrees that this is a guarantee of payment and not a guarantee of
collection. 
 The Subsidiary Guarantors hereby agree that their obligations hereunder shall be unconditional, irrespective of
the validity, regularity or enforceability of the Notes of any applicable series or this Indenture, the absence of any action to enforce the same, any waiver or consent by any Holder of such Notes with respect to any provisions hereof or thereof,
the recovery of any judgment against the Company, any action to enforce the same or any other circumstance which might otherwise constitute a legal or equitable discharge or defense of a guarantor. Each Subsidiary Guarantor hereby waives diligence,
presentment, demand of payment, filing of claims with a court in the event of insolvency or bankruptcy of the Company, any right to require a proceeding first against the Company, protest, notice and all demands whatsoever and covenant that this
Guarantee shall not be discharged except by complete performance of the obligations contained in the Notes of each applicable series and this Indenture or pursuant to Section 10.04. 

If any Holder or the Trustee is required by any court or otherwise to return to the Company, the Subsidiary Guarantors or any custodian,
trustee, liquidator or other similar official acting in relation to either the Company or the Subsidiary Guarantors, any amount paid by either to the Trustee or such Holder, this Guarantee, to the extent theretofore discharged, shall be reinstated
in full force and effect. 

  
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 Each Subsidiary Guarantor agrees that it shall not be entitled to any right of subrogation
in relation to the Holders of any series of Notes in respect of any obligations guaranteed hereby until payment in full of all obligations with respect to such Notes guaranteed hereby. Each Subsidiary Guarantor further agrees that, as between the
Guarantors, on the one hand, and the Holders and the Trustee, on the other hand, (x) the maturity of the obligations guaranteed hereby may be accelerated as provided in Article VI for the purposes of this Guarantee, notwithstanding any stay,
injunction or other prohibition preventing such acceleration in respect of the obligations guaranteed hereby, and (y) in the event of any declaration of acceleration of such obligations as provided in Article VI, such obligations (whether or
not due and payable) shall forthwith become due and payable by the Subsidiary Guarantors for the purpose of this Guarantee. The Subsidiary Guarantors shall have the right to seek contribution from any non paying Subsidiary Guarantor so long as the
exercise of such right does not impair the rights of the Holders under the Guarantee. 
 Section 10.02 Limitation on
Subsidiary Guarantor Liability. Each Subsidiary Guarantor, and by its acceptance of Notes, each Holder, hereby confirms that it is the intention of all such parties that the Guarantee of such Subsidiary Guarantor not constitute a fraudulent
transfer or conveyance for purposes of Bankruptcy Law, the Uniform Fraudulent Conveyance Act, the Uniform Fraudulent Transfer Act or any similar federal or state law to the extent applicable to any Guarantee. To effectuate the foregoing intention,
the Trustee, the Holders and the Subsidiary Guarantors hereby irrevocably agree that the obligations of such Subsidiary Guarantor under its Guarantee and this Article X shall be limited to the maximum amount as will, after giving effect to such
maximum amount and all other contingent and fixed liabilities of such Subsidiary Guarantor that are relevant under such laws, and after giving effect to any collections from, rights to receive contribution from or payments made by or on behalf of
any other Subsidiary Guarantor in respect of the obligations of such other Subsidiary Guarantor under this Article X, result in the obligations of such Subsidiary Guarantor under its Guarantee to not constitute a fraudulent transfer or conveyance.

 Section 10.03 Execution and Delivery of the Guarantee. In the event that the Company is required to cause a
Regulated Subsidiary or Restricted Subsidiary to guarantee the Notes of any series pursuant to Section 4.07, the Company shall cause such Subsidiaries to execute supplemental indentures to this Indenture and Guarantees in accordance with
Section 4.07 and this Article X, to the extent applicable. 
 Section 10.04 Guarantors May Consolidate, etc., on
Certain Terms. No Subsidiary Guarantor may consolidate with or merge with or into (whether or not such Subsidiary Guarantor is the surviving Person) another Person whether or not affiliated with such Subsidiary Guarantor unless: 

(a) subject to the other provisions of this Section, the Person formed by or surviving any such consolidation or merger
(if other than a Subsidiary Guarantor or the Company) shall be a corporation organized and validly existing under the laws of the United States or any state thereof or the District of Columbia, and unconditionally assumes all the obligations of such
Subsidiary Guarantor, pursuant to a supplemental indenture in form and substance reasonably satisfactory to the Trustee, under the Notes of each applicable series, this Indenture and the Guarantee on the terms set forth herein or therein;

 (b) immediately after giving effect to such transaction, no Default or Event of Default exists under this
Indenture; and 

  
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 (c) the Company would be permitted, immediately after giving effect to such
transaction, to incur at least $1.00 of additional Indebtedness (other than Permitted Indebtedness) pursuant to the first paragraph of Section 4.03(a). 
 In case of any such consolidation, merger, sale or conveyance and upon the assumption by the successor Person, by one or more supplemental indentures, executed and delivered to the Trustee and
satisfactory in form to the Trustee, of the Guarantee endorsed upon the Notes of each applicable series and the due and punctual performance of all of the covenants and conditions of this Indenture to be performed by the Subsidiary Guarantor, such
successor Person shall succeed to and be substituted for the Subsidiary Guarantor with the same effect as if it had been named herein as a Subsidiary Guarantor. Such successor Person thereupon may cause to be signed any or all of the Guarantees to
be endorsed upon all of the Notes of each applicable series issuable hereunder which theretofore shall not have been signed by the Company and delivered to the Trustee. All the Guarantees so issued shall in all respects have the same legal rank and
benefit under this Indenture as the Guarantees theretofore and thereafter issued in accordance with the terms of this Indenture as though all of such Guarantees had been issued at the date of the execution hereof. 

Except as set forth in Articles IV and V, and notwithstanding clause (c) above, nothing contained in this Indenture or in any Notes
of any series shall prevent any consolidation or merger of a Subsidiary Guarantor with or into the Company or another Subsidiary Guarantor, or shall prevent any sale or conveyance of the property of a Subsidiary Guarantor as an entirety or
substantially as an entirety to the Company or another Subsidiary Guarantor. 
 Section 10.05 Releases Following Certain
Events. In the event of a (i) sale or other disposition of all of the assets of any Subsidiary Guarantor, by way of merger, consolidation or otherwise, or a sale, exchange or transfer to any Person (other than an Affiliate of the Company)
of all of the capital stock of any Subsidiary Guarantor, (ii) the designation of any Subsidiary Guarantor as an Unrestricted Subsidiary or (iii) the defeasance of the Notes of a series in accordance with Section 8.01, in each case in
compliance with the terms of this Indenture, then such Subsidiary Guarantor (in the event of a sale, exchange, transfer or other disposition, by way of merger, consolidation or otherwise, of all of the capital stock of such Subsidiary Guarantor) or
the corporation acquiring the property (in the event of a sale or other disposition of all or substantially all of the assets of such Subsidiary Guarantor) will be released and relieved of any obligations under its Guarantee under this Indenture
(or, in the case of (iii), with respect to such Notes only); provided that, in the case of (i) above, the Net Cash Proceeds of such sale or other disposition are applied in accordance with the applicable provisions of this Indenture,
including without limitation Section 4.10. Upon delivery by the Company to the Trustee of an Officers’ Certificate and an Opinion of Counsel to the effect that such sale or other disposition was made by the Company in accordance with the
applicable provisions of this Indenture, including, in the case of a release pursuant to (i) above and Section 4.10, the Trustee shall execute any documents reasonably required in order to evidence the release of any Subsidiary Guarantor
from its obligations under its Guarantee. 
 Any Subsidiary Guarantor not released from its obligations under its Guarantee
shall remain liable for the full amount of principal of and interest on the Notes of each applicable series and for the other obligations of any Subsidiary Guarantor under this Indenture as provided in this Article X. 

ARTICLE XI 

MISCELLANEOUS 
 Section 11.01 Trust Indenture Act of 1939. This Indenture shall incorporate and be governed by the provisions of the TIA that are required to be part of and to govern indentures qualified
under the TIA. 

  
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 Section 11.02 Noteholder Communications; Noteholder Actions. 

(a) The rights of Holders to communicate with other Holders of a series with respect to this Indenture or the Notes are as provided by
the TIA, and the Company and the Trustee shall comply with the requirements of TIA Sections 312(a) and 312(b). Neither the Company nor the Trustee will be held accountable by reason of any disclosure of information as to names and addresses of
Holders made pursuant to the TIA. 
 (b) (1) Any request, demand, authorization, direction, notice, consent to amendment,
supplement or waiver or other action provided by this Indenture to be given or taken by a Holder (an “act”) may be evidenced by an instrument signed by the Holder delivered to the Trustee. The fact and date of the execution of the
instrument, or the authority of the person executing it, may be proved in any manner that the Trustee deems sufficient. 
 (2)
The Trustee may make reasonable rules for action by or at a meeting of Holders of a series, which will be binding on all such Holders. 
 (c) Any act by the Holder of a Note of any series binds that Holder and every subsequent Holder of a Note that evidences the same debt as the Note of the acting Holder, even if no notation thereof appears
on the Note. Subject to paragraph (d), a Holder may revoke an act as to its Notes, but only if the Trustee receives the notice of revocation before the date the amendment or waiver or other consequence of the act becomes effective. 

(d) The Company may, but is not obligated to, fix a record date (which need not be within the time limits otherwise prescribed by TIA
Section 316(c)) for the purpose of determining the Holders of a series entitled to act with respect to any amendment or waiver or in any other regard, except that during the continuance of an Event of Default with respect to a series of Notes,
only the Trustee may set a record date as to notices of default, any declaration or acceleration or any other remedies or other consequences of such Event of Default. If a record date is fixed, those Persons that were Holders of such Notes at such
record date and only those Persons will be entitled to act, or to revoke any previous act, whether or not those Persons continue to be Holders after the record date. No act will be valid or effective for more than 90 days after the applicable record
date. 
 Section 11.03 Notices. 
 (a) Any notice or communication to the Company will be deemed given if in writing (i) when delivered in person or (ii) five days after mailing when mailed by first class mail, or (iii) when
sent by facsimile transmission, with transmission confirmed. Notices or communications to a Subsidiary Guarantor will be deemed given if given to the Company. Any notice to the Trustee will be effective only upon receipt. In each case the notice or
communication should be addressed as follows: 
 if to the Company: 

E*TRADE Financial Corporation 
 1271 Avenue of the Americas, 14th Floor 
 New York, New York 10020 

  
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 if to the Trustee: 
 The Bank of New York Mellon Trust Company, N.A. 
 525 William
Penn Place, 38th Floor 

Pittsburgh, PA 15259 
 Attn: Corporate Trust Administration 
 Fax: 412-236-1196 

The Company or the Trustee by notice to the other may designate additional or different addresses for subsequent notices or communications. 

In addition to the foregoing, the Trustee agrees to accept and act upon notice, instructions or directions pursuant to this Indenture
sent by unsecured e-mail, facsimile transmission or other similar unsecured electronic methods. If the party elects to give the Trustee e-mail or facsimile instructions (or instructions by a similar electronic method) and the Trustee in its
discretion elects to act upon such instructions, the Trustee’s understanding of such instructions shall be deemed controlling. The Trustee shall not be liable for any losses, costs or expenses arising directly or indirectly from the
Trustee’s reliance upon and compliance with such instructions notwithstanding such instructions conflict or are inconsistent with a subsequent written instruction. The party providing electronic instructions agrees to assume all risks arising
out of the use of such electronic methods to submit instructions and directions to the Trustee, including without limitation the risk of the Trustee acting on unauthorized instructions, and the risk or interception and misuse by third parties.
Except as otherwise expressly provided with respect to published notices, any notice or communication to a Holder will be deemed given when mailed to the Holder at its address as it appears on the applicable Register by first class mail or, as to
any Global Note registered in the name of the Depositary, as agreed by the Company, the Trustee and the Depositary. Copies of any notice or communication to a Holder, if given by the Company, will be mailed to the Trustee at the same time. Defect in
mailing a notice or communication to any particular Holder will not affect its sufficiency with respect to other Holders of the applicable series of Notes. 
 (b) Where this Indenture provides for notice, the notice may be waived in writing by the Person entitled to receive such notice, either before or after the event, and the waiver will be the equivalent of
the notice. Waivers of notice by Holders must be filed with the Trustee, but such filing is not a condition precedent to the validity of any action taken in reliance upon such waivers. 

Section 11.04 Certificate and Opinion as to Conditions Precedent. Upon any request or application by the Company to the
Trustee to take any action under this Indenture, the Company will furnish to the Trustee: 
 (1) an
Officers’ Certificate stating that, in the opinion of the signers, all conditions precedent, if any, provided for in this Indenture relating to the proposed action have been complied with; and 

(2) an Opinion of Counsel stating that all such conditions precedent have been complied with. 

Section 11.05 Statements Required in Certificate or Opinion. Each certificate or opinion with respect to compliance with a
condition or covenant provided for in this Indenture must include: 
 (1) a statement that each person signing
the certificate or opinion has read the covenant or condition and the related definitions; 

  
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 (2) a brief statement as to the nature and scope of the examination or
investigation upon which the statement or opinion contained in the certificate or opinion is based; 
 (3) a
statement that, in the opinion of each such person, that person has made such examination or investigation as is necessary to enable the person to express an informed opinion as to whether or not such covenant or condition has been complied with;
and 
 (4) a statement as to whether or not, in the opinion of each such person, such condition or covenant has
been complied with, provided that an Opinion of Counsel may rely on an Officers’ Certificate or certificates of public officials with respect to matters of fact. 
 Section 11.06 Payment Date Other Than a Business Day. Except as provided pursuant to Section 2.01 and Section 2.02 pursuant to a Board Resolution and set forth in an Officers’
Certificate, or established in one or more indentures supplemental hereto, each in accordance with Section 2.02, if any payment with respect to a payment of any principal of, premium, if any, or interest on any Note (including any payment to be
made on any date fixed for redemption or purchase of any Note) is due on a day which is not a Business Day, then the payment need not be made on such date, but may be made on the next Business Day with the same force and effect as if made on such
date, and no interest will accrue for the intervening period. 
 Section 11.07 Governing Law. This Indenture,
including any Note Guaranties, and the Notes shall be governed by, and construed in accordance with, the laws of the State of New York. 
 Section 11.08 No Adverse Interpretation of Other Agreements. This Indenture may not be used to interpret another indenture or loan or debt agreement of the Company or any Subsidiary of the
Company, and no such indenture or loan or debt agreement may be used to interpret this Indenture. 
 Section 11.09
Successors. All agreements of the Company or any Subsidiary Guarantor in this Indenture and the Notes of each applicable series will bind its successors. All agreements of the Trustee in this Indenture will bind its successor. 

Section 11.10 Duplicate Originals. The parties may sign any number of copies of this Indenture. Each signed copy shall be an
original, but all of them together represent the same agreement. 
 Section 11.11 Separability. In case any
provision in this Indenture or in the Notes of any series is invalid, illegal or unenforceable, the validity, legality and enforceability of the remaining provisions of this Indenture or such series of Notes will not in any way be affected or
impaired thereby. 
 Section 11.12 Table of Contents and Headings. The Table of Contents and headings of the
Articles and Sections of this Indenture have been inserted for convenience of reference only, are not to be considered a part of this Indenture and in no way modify or restrict any of the terms and provisions of this Indenture. 

Section 11.13 No Liability of Directors, Officers, Employees, Incorporators, Members and Stockholders. No director, officer,
employee, incorporator, member or stockholder of the Company or any Subsidiary Guarantor, as such, will have any liability for any obligations of the Company or such Subsidiary Guarantor under the Notes, any Note Guarantee or this Indenture or for
any claim based on, in respect of, or by reason of, such obligations. Each Holder of Notes by accepting a Note waives and releases all such liability. The waiver and release are part of the consideration for issuance of the Notes. 

  
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 Section 11.14 Waiver of Jury Trial. EACH OF THE COMPANY, EACH SUBSIDIARY
GUARANTOR AND THE TRUSTEE HEREBY IRREVOCABLY WAIVES, TO THE FULLEST EXTENT PERMITTED BY APPLICABLE LAW, ANY AND ALL RIGHT TO TRIAL BY JURY IN ANY LEGAL PROCEEDING ARISING OUT OF OR RELATING TO THIS INDENTURE, THE NOTES OR THE TRANSACTIONS
CONTEMPLATED HEREBY. 
 Section 11.15 Force Majeure. In no event shall the Trustee be responsible or liable for any
failure or delay in the performance of its obligations hereunder arising out of or caused by, directly or indirectly, forces beyond its control, including, without limitation, strikes, work stoppages, accidents, acts of war or terrorism, civil or
military disturbances, nuclear or natural catastrophes or acts of God, and interruptions, loss or malfunctions of utilities, communications or computer (software and hardware) services; it being understood that the Trustee shall use reasonable
efforts which are consistent with accepted practices in the banking industry to resume performance as soon as practicable under the circumstances. 
 Section 11.16 Submission of Jurisdiction. The Company hereby irrevocably submits to the jurisdiction of any New York State court sitting in the Borough of Manhattan in the City of New York or
any federal court sitting in the Borough of Manhattan in the City of New York in respect of any suit, action or proceeding arising out of or relating to this Indenture and the Notes, and irrevocably accepts for itself and in respect of its property,
generally and unconditionally, jurisdiction of the aforesaid courts. 

  
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 SIGNATURES 
 IN WITNESS WHEREOF, the parties hereto have caused this Indenture to be duly executed as of the date first written above. 

 

			
	 E*TRADE FINANCIAL CORPORATION
 as Issuer

		
	By:	 	/s/ Matthew J. Audette
		 	Name:   Matthew J. Audette
		 	Title:     Chief Financial Officer
	
	 THE BANK OF NEW YORK MELLON TRUST
 COMPANY, N.A., as Trustee

		
	By:	 	/s/ Julie Hoffman-Ramos
		 	Name:   Julie Hoffman-Ramos
		 	Title:     Vice President

 EXHIBIT A 
 DTC LEGEND 
 UNLESS THIS CERTIFICATE IS PRESENTED BY AN AUTHORIZED REPRESENTATIVE
OF THE DEPOSITORY TRUST COMPANY, A NEW YORK CORPORATION (“DTC”), TO THE COMPANY OR ITS AGENT FOR REGISTRATION OF TRANSFER, EXCHANGE OR PAYMENT, AND ANY CERTIFICATE ISSUED IS REGISTERED IN THE NAME OF CEDE & CO. OR IN SUCH OTHER
NAME AS IS REQUESTED BY AN AUTHORIZED REPRESENTATIVE OF DTC (AND ANY PAYMENT IS MADE TO CEDE & CO. OR TO SUCH OTHER ENTITY AS IS REQUESTED BY AN AUTHORIZED REPRESENTATIVE OF DTC), ANY TRANSFER, PLEDGE OR OTHER USE HEREOF FOR VALUE OR
OTHERWISE BY OR TO ANY PERSON IS WRONGFUL INASMUCH AS THE REGISTERED OWNER HEREOF, CEDE & CO., HAS A BENEFICIAL INTEREST HEREIN. 
 TRANSFERS OF THIS GLOBAL NOTE ARE LIMITED TO TRANSFERS IN WHOLE, BUT NOT IN PART, TO NOMINEES OF CEDE & CO. OR TO A SUCCESSOR THEREOF OR SUCH SUCCESSOR’S NOMINEE AND TRANSFERS OF PORTIONS OF
THIS GLOBAL NOTE ARE LIMITED TO TRANSFERS MADE IN ACCORDANCE WITH THE TRANSFER PROVISIONS OF THIS INDENTURE. 

  
 A-1

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