Document:

exv4w19

Exhibit 4.19

     FOR THE PURPOSES OF SECTIONS 1272, 1273 AND 1275 OF THE INTERNAL REVENUE CODE OF 1986, AS
AMENDED, THIS SECURITY IS BEING ISSUED WITH ORIGINAL ISSUE DISCOUNT. FOR EACH $1,000 PRINCIPAL
AMOUNT OF THIS SECURITY, THE ISSUE PRICE ALLOCATED TO THE NOTE IS $907.95 AND THE ISSUE DATE IS
MARCH 22, 2010.

     BEGINNING NO LATER THAN 10 DAYS AFTER THE ISSUE DATE, A HOLDER MAY OBTAIN THE ISSUE PRICE,
AMOUNT OF ORIGINAL ISSUE DISCOUNT, ISSUE DATE AND YIELD TO MATURITY OF THE SECURITIES BY SUBMITTING
A WRITTEN REQUEST FOR SUCH INFORMATION TO THE COMPANY AT THE FOLLOWING ADDRESS: ALION SCIENCE AND
TECHNOLOGY COMPANY, 1750 TYSONS BOULEVARD, SUITE 1300, MCLEAN, VA 22102, ATTENTION: GENERAL
COUNSEL.

     UNLESS THIS CERTIFICATE IS PRESENTED BY AN AUTHORIZED REPRESENTATIVE OF THE DEPOSITORY TRUST
COMPANY, A NEW YORK CORPORATION (“DTC”), NEW YORK, NEW YORK, 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 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 AN INTEREST HEREIN.

     TRANSFERS OF THIS GLOBAL SECURITY SHALL BE LIMITED TO TRANSFERS IN WHOLE, BUT NOT IN PART, TO
NOMINEES OF DTC OR TO A SUCCESSOR THEREOF OR SUCH SUCCESSOR’S NOMINEE AND TRANSFERS OF PORTIONS OF
THIS GLOBAL SECURITY SHALL BE LIMITED TO TRANSFERS MADE IN ACCORDANCE WITH THE RESTRICTIONS SET
FORTH IN THE INDENTURE REFERRED TO ON THE REVERSE HEREOF.

 

 

			
	 
	 	CUSIP:
[     ]
	 
	 	ISIN: [     ]
	 	 	 
	No.1
	 	$ [     ]

12% Senior Secured Notes due 2014

     Alion Science and Technology Corporation, a Delaware corporation, promises to pay to CEDE &
CO., or registered assigns, the principal sum of [     ] Dollars, or such greater or lesser amounts
(including any increases in such principal amount in the form of payment in kind interest) as may
from time to time be endorsed on the Schedule of Increases or Decreases in Global Security attached
hereto, on November 1, 2014.

     Interest Payment Dates: May 1 and November 1, commencing on May 1, 2010.

     Record Dates: April 15 and October 15.

     Additional provisions of this Security are set forth on the other side of this Security.

 

 

Dated: [     ]

	 	 	 	 	 	 	 	 	 	 	 

	 	 	 	 	 	 	ALION SCIENCE AND TECHNOLOGY

CORPORATION,
	 
	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	 	 	By:
	 	 
	 

	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	 	 	 	 	Name:
	 

	 	 	 	 	 	 	 	 	 	Title:
	 
	 	 	 	 	 	 	 	 	 	 
	TRUSTEE’S CERTIFICATE OF

AUTHENTICATION
	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	WILMINGTON TRUST COMPANY

as Trustee, certifies
	 	 	 	 	 	 
	 

	 	that this is one of
	 	 	 	 	 	 	 	 
	 

	 	the Securities referred
	 	 	 	 	 	 	 	 
	 

	 	to in the Indenture.
	 	 	 	 	 	 	 	 

	 	 	 	 	 	 	 	 	 	 

	 	 	By:

	 
	 	 
	 	 
	 	 
	 	 	 

	 
	 	 	 	 	 	 
	 	 	 

	Authorized Signatory	 	 	 	 	 	 

 

 

12% Senior SECURED Note Due 2014

	1.	 	Interest

     Alion Science and Technology Corporation, a Delaware corporation (such corporation, and its
successors and assigns under the Indenture hereinafter referred to, being herein called the
“Company”), promises to pay interest on the principal amount of this Security at the rate per annum
shown above, payable as set forth below; provided, however, that if a Registration
Default (as defined in the Registration Rights Agreement) occurs, additional interest will accrue
and be payable in cash on this Security (i) so long as the Company is subject to, and complies,
subject to Rule 12b-25 of the Exchange Act, with, the periodic reporting requirements of the
Exchange Act, at a rate of 0.25% per annum for the first 90-day period immediately following the
occurrence of a Registration Default, and such rate will increase by an additional 0.25% per annum
with respect to each subsequent 90-day period until all Registration Defaults have been cured, up
to a maximum additional interest rate of 1.00% per annum and (ii) otherwise, at a rate of 0.50% per
annum for the first 90-day period immediately following the occurrence of a Registration Default,
and such rate will increase by an additional 0.50% per annum with respect to each subsequent 90-day
period until all Registration Defaults have been cured, up to a maximum additional interest rate of
2.00% per annum, in each case from and including the date on which any such Registration Default
shall occur to but excluding the date on which all Registration Defaults have been cured. The
Company will pay interest semiannually in arrears on May 1 and November 1 of each year, commencing
May 1, 2010. Interest on the Securities will accrue from the most recent date to which interest
has been paid or, if no interest has been paid, from the Issue Date. Interest will be computed on
the basis of a 360-day year of twelve 30-day months. The Company will pay interest on overdue
principal at the rate borne by this Security plus 1.00% per annum, and it will pay interest on
overdue installments of interest at the same rate to the extent lawful.

     Interest on the Securities will be payable (1) at a rate of 10.000% per annum in cash (“Cash
Interest”) and (2) at a rate of 2.000% per annum by increasing the principal amount of the
Securities (“PIK Interest”). PIK Interest will be payable by increasing the principal amount of
the outstanding Securities by an amount equal to the amount of PIK Interest for the applicable
interest period rounded up to the nearest $1.00 (a “PIK Payment”). Cash Interest and PIK Interest
will be paid to Holders on a pro rata basis. Following an increase in the principal amount of the
outstanding Securities as a result of a PIK Payment, the Securities will accrue interest on such
increased principal amount from and after the related interest payment date of such PIK Payment at
the then current rate per annum at which interest accrues on the Securities. References herein to
the “principal amount” of the Securities include any increase in the principal amount of the
outstanding Securities as a result of a PIK Payment. On any interest payment date on which the
Company pays PIK Interest with respect to a global note, the principal amount of such global note
shall increase by an amount equal to the interest payable, rounded up to the nearest $1,000, to be
allocated for the credit of the Holders pro rata in accordance with their interests and rounded to
the nearest $1.00 in accordance with the procedures of DTC. In the event of any discrepancy
between the principal amount of a global note and the corresponding principal amount maintained by
DTC in accordance with DTC
procedures due to differences in rounding, the Trustee is authorized to adjust the principal
amount of such global note to conform with the principal amount maintained by DTC.

 

 

	2.	 	Method of Payment

     The Company will pay interest on the Securities (except defaulted interest) to the Persons who
are registered holders of Securities at the close of business on the April 15 or October 15 next
preceding the interest payment date even if Securities are canceled after the record date and on or
before the interest payment date. Holders must surrender Securities to a Paying Agent to collect
principal payments. The Company will pay principal and interest in money of the United States that
at the time of payment is legal tender for payment of public and private debts. Payments in
respect of the Securities represented by a Global Security (including principal, premium and
interest) will be made by wire transfer of immediately available funds to the accounts specified by
the Depository. The Company will make all payments in respect of a certificated Security
(including principal, premium and interest) by mailing a check to the registered address of each
Holder thereof; provided, however, that payments on a certificated Security will be
made by wire transfer to a U.S. dollar account maintained by the payee with a bank in the United
States if such Holder elects payment by wire transfer by giving written notice to the Trustee or
the Paying Agent to such effect designating such account no later than 30 days immediately
preceding the relevant due date for payment (or such other date as the Trustee may accept in its
discretion).

	3.	 	Paying Agent and Registrar

     Initially, Wilmington Trust Company, a Delaware banking corporation (the “Trustee”), will act
as Paying Agent and Registrar. The Company may appoint and change any Paying Agent, Registrar or
co-registrar without notice. The Company or any of its domestically incorporated or organized
Wholly Owned Subsidiaries may act as Paying Agent, Registrar or co-registrar.

	4.	 	Indenture

     The Company issued the Securities under an Indenture dated as of March 22, 2010 (“Indenture”),
among the Company, the Subsidiary Guarantors and the Trustee. The terms of the Securities include
those stated in the Indenture and those made part of the Indenture by reference to the Trust
Indenture Act of 1939 (15 U.S.C. §§ 77aaa-77bbbb) (the “Act”). Terms defined in the
Indenture and not defined herein have the meanings ascribed thereto in the Indenture. The
Securities are subject to all such terms, and Holders are referred to the Indenture and the Act for
a statement of those terms.

     The Securities are senior secured obligations of the Company. The Company shall be entitled,
subject to its compliance with Section 4.03 of the Indenture, to issue Additional Securities
pursuant to Section 2.13 of the Indenture. The Initial Securities issued as part of the Units on
the Issue Date, any Additional Securities and all Exchange Securities or Private Exchange
Securities issued in exchange therefor will be treated as a single class for all purposes under the
Indenture. The Indenture contains certain covenants that limit the ability of the Company and its
Restricted Subsidiaries to Incur additional Indebtedness; pay dividends or

 

 

distributions on, or redeem or repurchase Capital Stock; make Investments; issue or sell
Capital Stock of Restricted Subsidiaries; engage in transactions with Affiliates; change its line
of business; create certain Liens on assets; transfer or sell assets; Guarantee Indebtedness;
restrict dividends or other payments of Restricted Subsidiaries; consolidate, merge or transfer all
or substantially all of its assets and the assets of its Restricted Subsidiaries; and engage in
sale/ leaseback transactions. These covenants are subject to important exceptions and
qualifications.

	5.	 	Optional Redemption

     Except as set forth below, the Company shall not be entitled to redeem the Securities at its
option prior to April 1, 2013.

     On and after April 1, 2013, the Company shall be entitled at its option to redeem all or a
portion of the Securities from time to time upon not less than 30 nor more than 60 days’ notice, at
the redemption prices set forth below (expressed in percentages of principal amount on the
redemption date), plus accrued and unpaid interest to the redemption date (subject to the right of
Holders of record on the relevant record date to receive interest due on the relevant interest
payment date), if redeemed during the periods set forth below:

	 	 	 	 	 
	 	 	Redemption
	Period	 	Price
	April 1, 2013 to September 30, 2013
	 	 	105.0	%
	October 1, 2013 to March 31, 2014
	 	 	103.0	%
	April 1, 2014 to Maturity
	 	 	100.0	%

     In addition, at any time prior to April 1, 2013, the Company shall be entitled at its option
on one or more occasions to redeem Securities (which includes Additional Securities, if any) in an
aggregate principal amount not to exceed 35% of the aggregate principal amount of the Securities
(which includes Additional Securities, if any) originally issued at a redemption price (expressed
as a percentage of principal amount on the redemption date) of 112.000%, plus accrued and unpaid
interest to the redemption date, with the Net Cash Proceeds from one or more Qualified Equity
Offerings; provided, however, that (1) at least 65% of the aggregate principal
amount of Securities (which includes Additional Securities, if any) remains outstanding immediately
after the occurrence of each such redemption (other than Securities held, directly or indirectly,
by any Affiliate of the Company); and (2) each such redemption occurs within 90 days after the date
of the related Qualified Equity Offering.

     Prior to April 1, 2013, the Company shall be entitled at its option to redeem all, but not
less than all, of the Securities at a redemption price equal to 100% of the principal amount of the
Securities plus the Applicable Premium as of, and accrued and unpaid interest to, the redemption
date (subject to the right of Holders on the relevant record date to receive interest due on the
relevant interest payment date). Notice of such redemption must be mailed by first-class mail to
each Holder’s registered address, not less than 30 nor more than 60 days prior to the redemption
date.

 

 

     In addition, not more than once in any twelve-month period prior to April 1, 2013, the Company
shall be entitled at its option to redeem up to $31.0 million in principal amount of the Securities
at a redemption price of 103% of the principal amount thereof, plus accrued and unpaid interest, if
any, to the redemption date.

	6.	 	Notice of Redemption

     Notice of redemption will be mailed at least 30 days but not more than 60 days before the
redemption date to each Holder of Securities to be redeemed at his registered address. Securities
in denominations larger than $1,000 principal amount may be redeemed in part but only in whole
multiples of $1,000. If money sufficient to pay the redemption price of and accrued interest on
all Securities (or portions thereof) to be redeemed on the redemption date is deposited with the
Paying Agent on or before the redemption date and certain other conditions set forth in the
Indenture are satisfied, on and after such date interest ceases to accrue on such Securities (or
such portions thereof) called for redemption.

	7.	 	Put Provisions

     Upon a Change of Control, any Holder of Securities will have the right to cause the Company to
repurchase all or any part of the Securities of such Holder at a repurchase price equal to 101% of
the principal amount of the Securities to be repurchased plus accrued and unpaid interest to the
date of repurchase (subject to the right of Holders of record on the relevant record date to
receive interest due on the related interest payment date), provided, however, that
with respect to accrued but unpaid PIK Interest to the date of repurchase, such interest shall be
paid in cash at 100% of the accrued and unpaid amount thereof.

	8.	 	Guarantee

     The payment by the Company of the principal of, and premium and interest on, the Securities is
fully and unconditionally guaranteed on a joint and several senior secured basis by each of the
Subsidiary Guarantors to the extent set forth in the Indenture.

	9.	 	Collateral

     The Securities will be entitled to the benefits of certain collateral pledged for the benefit
of the Holders pursuant to the terms of the Security Documents, subject to the rights of holders of
certain Indebtedness secured by Priority Liens. Reference is hereby made to the Security Documents
and the Intercreditor Agreement for a statement of the respective rights, limitations of rights,
duties and obligations thereunder of the Company, the Subsidiary Guarantors, the Collateral Agent,
the Trustee and the Holders. The Company agrees, and each Holder by accepting a Security agrees,
to the provisions contained in the Security Documents and the Indenture and authorizes the
Collateral Agent and the Trustee to give them effect and appoints the Trustee as attorney-in-fact
for such purpose.

	10.	 	Denominations; Transfer; Exchange

     The Securities are in registered form without coupons in denominations of $1,000 principal
amount and whole multiples of $1,000; provided, however, that Securities may be

 

 

issuable in denominations or multiples of less than $1,000 to the extent necessary to
accommodate book-entry positions that have been created in denominations or multiples of less than
$1,000 by the Depository Trust Company (“DTC”). A Holder may transfer or exchange Securities in
accordance with the Indenture and the restrictions set forth in the Securities. The Registrar may
require a Holder, among other things, to furnish appropriate endorsements or transfer documents and
to pay any taxes and fees required by law or permitted by the Indenture. The Registrar need not
register the transfer of or exchange any Securities selected for redemption (except, in the case of
a Security to be redeemed in part, the portion of the Security not to be redeemed) or any
Securities for a period of 15 days before a selection of Securities to be redeemed or 15 days
before an interest payment date.

	11.	 	Persons Deemed Owners

     The registered Holder of this Security may be treated as the owner of it for all purposes.

	12.	 	Unclaimed Money

     If money for the payment of principal or interest remains unclaimed for two years, the Trustee
or Paying Agent shall pay the money back to the Company at its request unless applicable abandoned
property law designates another Person. After any such payment, Holders entitled to the money must
look only to the Company and not to the Trustee for payment.

	13.	 	Discharge and Defeasance

     Subject to certain conditions, the Company at any time shall be entitled to terminate some or
all of its obligations and the obligations of the Subsidiary Guarantors under the Securities and
the Indenture if the Company deposits with the Trustee money or U.S. Government Obligations for the
payment of principal and interest on the Securities to redemption or maturity, as the case may be.

	14.	 	Amendment, Waiver

     Subject to certain exceptions set forth in the Indenture, (a) the Indenture, the Security
Documents and the Securities may be amended with the written consent of the Holders of at least a
majority in principal amount outstanding of the Securities and (b) any default or noncompliance
with any provision may be waived with the written consent of the Holders of a majority in principal
amount outstanding of the Securities. Subject to certain exceptions set forth in the Indenture,
without the consent of any Holder, the Company, the Subsidiary Guarantors and the Trustee shall be
entitled to amend the Indenture or the Securities to cure any ambiguity, omission, defect or
inconsistency, or to comply with Article 5 of the Indenture, or to provide for uncertificated
Securities in addition to or in place of a definitive note in registered certificated form, or to
add guarantees with respect to the Securities, including Subsidiary Guarantees, or to secure the
Securities, or to add additional covenants or surrender rights and powers conferred on the Company
or the Subsidiary Guarantors, or to comply with any requirement of the SEC in connection with
qualifying the Indenture under the Act, or to make any change that does not adversely affect the
rights of any Holder, or to conform the text of the Indenture, the Security Documents or the
Securities to any provision of the “Description of the Notes” Section of the

 

 

Confidential Offering Circular of the Company dated March 11, 2010, to the extent that such
provision in such Section was intended by the Company to be a verbatim recitation of a provision of
the Indenture, the Securities or the Subsidiary Guarantees or to make amendments to provisions of
the Indenture relating to the form, authentication, transfer and legending of the Securities, or to
evidence and provide for the acceptance and appointment of a successor Trustee.

	15.	 	Defaults and Remedies

     Under the Indenture, Events of Default include (a) default for 30 days in payment of cash
interest or PIK Interest on the Securities; (b) default in payment of principal on the Securities
at maturity, upon redemption pursuant to paragraph 5 of the Securities, upon acceleration or
otherwise, or failure by the Company to redeem or purchase Securities when required; (c) failure by
the Company or any Subsidiary Guarantor to comply with other agreements in the Indenture or the
Securities, in certain cases subject to notice and lapse of time; (d) certain accelerations
(including failure to pay within any grace period after final maturity) of other Indebtedness of
the Company, any Subsidiary Guarantor or any Significant Subsidiary if the amount accelerated (or
so unpaid) exceeds $30,000,000; (e) certain events of bankruptcy or insolvency with respect to the
Company, the Subsidiary Guarantors and the Significant Subsidiaries; (f) certain judgments or
decrees for the payment of money in excess of $30,000,000; (g) cessation of the full force and
effect of any Subsidiary Guaranty, except as permitted by the Indenture, or a Subsidiary
Guarantor’s denial or disaffirmation of its obligations under its Subsidiary Guaranty; and (h) the
invalidity or unenforceability of material security interests purported to be created under any
Security Document. If an Event of Default occurs and is continuing, the Trustee or the Holders of
at least 25% in principal amount of the Securities may declare all the Securities to be due and
payable immediately. Certain events of bankruptcy or insolvency are Events of Default which will
result in the Securities being due and payable immediately upon the occurrence of such Events of
Default.

     Holders may not enforce the Indenture or the Securities except as provided in the Indenture.
The Trustee may refuse to enforce the Indenture, the Security Documents or the Securities unless it
receives indemnity or security satisfactory to it. Subject to certain limitations, Holders of a
majority in principal amount of the Securities may direct the Trustee in its exercise of any trust
or power. The Trustee may withhold from Holders notice of any continuing Default (except a Default
in payment of principal or interest) if it determines that withholding notice is in the interest of
the Holders.

	16.	 	Trustee Dealings with the Company

     Subject to certain limitations imposed by the Act, the Trustee under the Indenture, in its
individual or any other capacity, may become the owner or pledgee of Securities and may otherwise
deal with and collect obligations owed to it by the Company or its Affiliates and may otherwise
deal with the Company or its Affiliates with the same rights it would have if it were not Trustee.

 

 

	17.	 	No Recourse Against Others

     A director, officer, employee, incorporator or stockholder, as such, of the Company, any
Subsidiary Guarantor or the Trustee shall not have any liability for any obligations of the Company
under the Securities or the Indenture or for any claim based on, in respect of or by reason of such
obligations or their creation. By accepting a Security, each Holder waives and releases all such
liability. The waiver and release are part of the consideration for the issue of the Securities.

	18.	 	Authentication

     This Security shall not be valid until an authorized signatory of the Trustee (or an
authenticating agent) manually signs the certificate of authentication on the other side of this
Security.

	19.	 	Abbreviations

     Customary abbreviations may be used in the name of a Holder or an assignee, such as TEN COM
(=tenants in common), TEN ENT (=tenants by the entireties), JT TEN (=joint tenants with rights of
survivorship and not as tenants in common), CUST (=custodian), and U/G/M/A (=Uniform Gift to Minors
Act).

	20.	 	CUSIP Numbers

     Pursuant to a recommendation promulgated by the Committee on Uniform Security Identification
Procedures the Company has caused CUSIP numbers to be printed on the Securities and has directed
the Trustee to use CUSIP numbers in notices of redemption as a convenience to Holders. No
representation is made as to the accuracy of such numbers either as printed on the Securities or as
contained in any notice of redemption and reliance may be placed only on the other identification
numbers placed thereon.

	21.	 	Holders’ Compliance with Registration Rights Agreement.

     Each Holder of a Security, by acceptance hereof, acknowledges and agrees to the provisions of
the Registration Rights Agreement, including the obligations of the Holders with respect to a
registration and the indemnification of the Company to the extent provided therein.

	22.	 	Governing Law.

     THIS SECURITY SHALL BE GOVERNED BY, AND CONSTRUED IN ACCORDANCE WITH, THE LAWS OF THE STATE OF
NEW YORK.

     The Company will furnish to any Holder upon written request and without charge to the Holder a
copy of the Indenture which has in it the text of this Security in larger type. Requests may be
made to:

Alion Science and Technology

1750 Tysons Boulevard

Suite 1300

McLean, VA 22102
 

Attention:
General Counsel

 

 

 

ASSIGNMENT FORM

To assign this Security, fill in the form below:

I or we assign and transfer this Security to

     (Print or type assignee’s name, address and zip code)

     (Insert assignee’s soc. sec. or tax I.D. No.)

and irrevocably appoint                      agent to transfer this Security on the books of
the Company. The agent may substitute another to act for him.

	 	 	 	 	 	 	 

	 
	 
	 
	 	 	 	 	 	 
	Date:

	 	 
	 	Your Signature:
	 	 
	 

	 	 
	 	 	 	 
	 
	 	 	 	 	 	 
	 
	 

Sign exactly as your name appears on the other side of this Security.

In connection with any transfer of any of the Securities evidenced by this certificate occurring
prior to the earliest date that is no less than two years after the Issue Date and on which all
such Securities (except for Securities held by an affiliate of the Company) are no longer subject
to any restrictions on transfer under the Securities Act including those pursuant to Rule 144, the
undersigned confirms that such Securities are being transferred in accordance with its terms:

CHECK ONE BOX BELOW

     to the Company; or

	 	(1)	 	pursuant to an effective registration statement under the Securities
Act of 1933; or
	 
	 	(2)	 	inside the United States to a “qualified institutional buyer” (as
defined in Rule 144A under the Securities Act of 1933) that purchases for its own
account or for the account of a qualified institutional buyer to whom notice is given
that such transfer is being made in reliance on Rule 144A, in each case pursuant to and
in compliance with Rule 144A under the Securities Act of 1933; or

 

 

	 	(3)	 	outside the United States in an offshore transaction within the meaning
of Regulation S under the Securities Act in compliance with Rule 904 under the
Securities Act of 1933; or
	 
	 	(4)	 	pursuant to the exemption from registration provided by Rule 144 under
the Securities Act of 1933.
	 
	 	(5)	 	to an institutional “accredited investor” (as defined in Rule
501(a)(1), (2), (3) or (7) under the Securities Act of 1933) that has furnished to the
Trustee a signed letter containing certain representations and agreements.

Unless one of the boxes is checked, the Trustee will refuse to register any of the
Securities evidenced by this certificate in the name of any person other than the registered
holder thereof; provided, however, that if box (4) is checked, the Trustee
shall be entitled to require, prior to registering any such transfer of the Securities, such
legal opinions, certifications and other information as the Company has reasonably requested
to confirm that such transfer is being made pursuant to an exemption from, or in a
transaction not subject to, the registration requirements of the Securities Act of 1933,
such as the exemption provided by Rule 144 under such Act.

	 	 	 

	 
	 	 
	 
	 	 
	 
	 	Signature
	 	 	 
	Signature Guarantee:	 	 
	 	 	 
	 	 	 
	 
	 	 
	 
	 	 
	Signature must be guaranteed
	 	Signature

     Signatures must be guaranteed by an “eligible guarantor institution” meeting the requirements
of the Registrar, which requirements include membership or participation in the Security Transfer
Agent Medallion Program (“STAMP”) or such other “signature guarantee program” as may be determined
by the Registrar in addition to, or in substitution for, STAMP, all in accordance with the
Securities Exchange Act of 1934, as amended.

 

 

 

TO BE COMPLETED BY PURCHASER IF (2) ABOVE IS CHECKED.

     The undersigned represents and warrants that it is purchasing this Security for its own
account or an account with respect to which it exercises sole investment discretion and that it and
any such account is a “qualified institutional buyer” within the meaning of Rule 144A under the
Securities Act of 1933, and is aware that the sale to it is being made in reliance on Rule 144A and
acknowledges that it has received such information regarding the Company as the undersigned has
requested pursuant to Rule 144A or has determined not to request such information and that it is
aware that the transferor is relying upon the undersigned’s foregoing representations in order to
claim the exemption from registration provided by Rule 144A.

	 	 	 	 	 	 	 

	 
	 	 	 	 	 	 
	Dated:

	 	 
	 	 
	 	 
	 

	 	 
	 	 	 	 
	 

	 	 	 	 	 	Notice: To be executed by an executive officer

 

 

SCHEDULE OF INCREASES OR DECREASES IN GLOBAL SECURITY

The following increases or decreases in this

Global Security (including for PIK Payments) have been made:

	 	 	 	 	 	 	 	 	 

	Date of
Exchange

	 	Amount of decrease
in Principal amount
of this Global
Security
	 	Amount of
increase in
Principal amount of
this Global
Security
	 	Principal
amount of this
Global
Security
following such
decrease or
increase)
	 	Signature of
authorized officer
of Trustee or
Securities
Custodian

 

 

OPTION OF HOLDER TO ELECT PURCHASE

     If you want to elect to have this Security purchased by the Company pursuant to Section 4.06
or 4.09 of the Indenture, check the box: o

     If you want to elect to have only part of this Security purchased by the Company pursuant to
Section 4.06 or 4.09 of the Indenture, state the amount in principal amount: $___

	 	 	 	 	 	 	 	 	 

	 
	 	 	 	 	 	 	 	 
	Dated:

	 	 
	 	 
	 	Your Signature:
	 	 
	 

	 	 
	 	 	 	 	 	 
	 

	 	 	 	 	 	 	 	(Sign exactly as your name appears on the other side of this Security.)

	 	 	 

	Signature Guarantee:

	 	 
	 

	 	 
	 

	 	(Signature must be guaranteed)

     Signatures must be guaranteed by an “eligible guarantor institution” meeting the requirements
of the Registrar, which requirements include membership or participation in the Security Transfer
Agent Medallion Program (“STAMP”) or such other “signature guarantee program” as may be determined
by the Registrar in addition to, or in substitution for, STAMP, all in accordance with the
Securities Exchange Act of 1934, as amended.exv4w3

Exhibit 4.3

AMENDMENT NO. 1 TO

SUPPLEMENTAL INDENTURE NO. 1

by and between

HEALTH CARE REIT, INC.

and

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

As of June 18, 2010

SUPPLEMENTAL TO THE INDENTURE DATED AS OF MARCH 15, 2010

 

HEALTH CARE REIT, INC.

3.00% Convertible Senior Notes due 2029

 

 

     This AMENDMENT NO. 1 TO SUPPLEMENTAL INDENTURE NO. 1 (this “Amendment No. 1”) is made and
entered into as of June 18, 2010 by and between HEALTH CARE REIT, INC., a Delaware real estate
investment trust (the “Company”), and THE BANK OF NEW YORK MELLON TRUST COMPANY, N. A., a national
banking association (the “Trustee”).

WITNESSETH THAT:

     WHEREAS, the Company and the Trustee have executed and delivered an Indenture, dated as of
March 15, 2010 (as amended, supplemented or otherwise modified from time to time, the “Base
Indenture” and, together with Supplemental Indenture No. 1 dated as of March 15, 2010
(“Supplemental Indenture No. 1”), as amended by this Amendment No. 1 and as further amended,
supplemented or otherwise modified from time to time, the “Indenture”) to provide for the issuance
of the Company’s senior debt securities to be issued from time to time in one or more series; and

     WHEREAS, pursuant to the terms of the Base Indenture and Supplemental Indenture No. 1, the
Company established and issued a series of its Securities designated as its 3.00% Convertible
Senior Notes due 2029 (the “Securities”) in the initial aggregate principal amount of $342,394,000,
subject to the right of the Company to reopen such series for issuances of additional Securities of
such series; and

     WHEREAS, the Company desires to reopen such series and issue $152,009,000 aggregate principal
amount of additional Securities which will constitute a further issuance of, will be fungible with
and will form a single series with the Securities, and will have the same CUSIP number and same
terms as the Securities.

     NOW, THEREFORE, THIS AMENDMENT NO. 1 WITNESSETH:

     Pursuant to terms of the Base Indenture and Supplemental Indenture No. 1, the series of
Securities established by the Supplemental Indenture No. 1 is hereby reopened and there is hereby
authorized for issuance, authentication and delivery $152,009,000 aggregate principal amount of
additional Securities (the “Additional Securities”) of the same series as the Securities initially
issued under the Supplemental Indenture No. 1, and in consideration of the premises and the
purchase and acceptance of the Additional Securities by the Holders thereof, the Company mutually
covenants and agrees with the Trustee, for the equal and proportionate benefit of all Holders of
the Securities, that the Supplemental Indenture No. 1 is hereby supplemented and amended, to the
extent and for the purposes expressed herein, as follows:

ARTICLE 1

AMENDMENTS TO SUPPLEMENTAL INDENTURE NO. 1

     Section 1.1 The Supplemental Indenture No. 1 is hereby amended and supplemented as
follows:

     (a) The series of Securities established by the Supplemental Indenture No. 1 is hereby
reopened for the issuance of Additional Securities in an aggregate principal amount of
$152,009,000, which shall constitute a further issuance of, will be fungible with and will form a

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single series with the Securities, with the same CUSIP number as the Securities, and shall
have the same terms as the Securities, except that the Additional Securities will be issued on June
18, 2010, and interest on the Additional Securities shall accrue from June 1, 2010. The form of
the Securities, including the Additional Securities, are set forth in the Supplemental Indenture
No. 1, and such form with respect to the Additional Securities may contain such changes as may be
appropriate to reflect the issuance of the Additional Securities and the amendment of the
Supplemental Indenture No. 1 by this Amendment No. 1.

     (b) All references to the Securities in the Supplemental Indenture No. 1 and the form of the
Securities set forth in the Supplemental Indenture No. 1 shall be amended, supplemented and deemed
to include the Additional Securities issued hereunder, except that the date of issuance of, and the
date from which interest will begin to accrue on, the Additional Securities shall be as set forth
in this Amendment No. 1.

     (c) The Additional Securities shall be subject to, and be entitled to the benefits of the
Supplemental Indenture No. 1, as amended hereby, except that the date of issuance of, and the date
from which interest will begin to accrue on, the Additional Securities shall be as set forth in
this Amendment No. 1.

ARTICLE 2

EFFECTIVENESS

     Section 2.1 This Amendment No. 1 shall be effective for all purposes as of the date
and time this Amendment No. 1 has been executed and delivered by the Company and the Trustee in
accordance with Article Nine of the Indenture. As supplemented hereby, the Indenture is hereby
confirmed as being in full force and effect.

ARTICLE 3

MISCELLANEOUS

     Section 3.1 Unless otherwise provided in this Amendment No. 1, all defined terms used
in this Amendment No. 1 shall have the meanings assigned to them in the Supplemental Indenture No.
1.

     Section 3.2 In the event any provision of this Amendment No. 1 shall be held invalid
or unenforceable by any court of competent jurisdiction, such holding shall not invalidate or
render unenforceable any other provision hereof or any provision of the Indenture.

     Section 3.3 To the extent that any term of this Amendment No. 1 or the Securities
(including the Additional Securities) are inconsistent with the terms of the Indenture, the terms
of this Amendment No. 1 or the Securities (including the Additional Securities) shall govern and
supersede such inconsistent terms.

     Section 3.4 This Amendment No. 1 shall be governed by and construed in accordance with
the laws of the State of New York.

     Section 3.5 This Amendment No. 1 may be executed in several counterparts, each of
which shall be an original and all of which shall constitute but one and the same instrument.

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     IN WITNESS WHEREOF, the Company and the Trustee have caused this Amendment No. 1 to be
executed as an instrument under seal in their respective corporate names as of the date first above
written.

	 	 	 	 	 
	 	HEALTH CARE REIT, INC.

 	 
	 	By:  	/s/ George L. Chapman
 	 
	 	 	Name:  	GEORGE L. CHAPMAN 	 
	 	 	Title:  	Chairman of the Board, Chief Executive Officer and President 	 
	 

	 	 	 	 	 
	 	THE BANK OF NEW YORK MELLON TRUST

COMPANY, N. A., as Trustee

 	 
	 	By:  	/s/ Christian J. Pastura
 	 
	 	 	Name:  	CHRISTIAN J. PASTURA 	 
	 	 	Title:  	Senior Associate 	 
	 

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