Document:

Integrated Facilities Managenent Services Agreement

 Exhibit 10.72 
 INTEGRATED FACILITIES MANAGEMENT SERVICES AGREEMENT 
 This Integrated Facilities Management Services Agreement (this
“Agreement” as such term is defined in Article 33), is made and entered into as of February 4, 2009 (the “Effective Date”), by and between Amgen Inc., a Delaware corporation having a place of business at
One Amgen Center Drive, Thousand Oaks, California 91320 (“Company”), and Jones Lang LaSalle Americas, Inc., a Maryland corporation having a place of business at 200 E. Randolph Drive, Chicago, IL 60601 (“Provider”)
(each a “Party”, and collectively, the “Parties”). 
 RECITALS 
 WHEREAS, Company is engaged in the business of the research, development and commercialization of human therapeutics; 
 WHEREAS, Provider is in the business of, among other things, performing integrated facilities services with respect to facilities’ operations and maintenance and
general services; and 
 WHEREAS, pursuant to the terms of this Agreement, Company wishes to engage Provider to provide services to Company, and Provider
wishes to provide services to Company. 
 NOW THEREFORE, in consideration of the promises and mutual covenants set forth herein, and for other good and
valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the Parties agree as follows: 
  

	1.	DEFINED TERMS 

 1.1 Definitions for Certain Defined Terms.
The definitions of certain defined terms used in this Agreement are set forth in Article 33. 
 1.2 Defined Terms Defined in Agreement. An
index of certain defined terms defined in the body of this Agreement or the exhibits to this Agreement also is set forth in Article 33. 
  

	2.	SERVICES 

 2.1 General. Commencing on the Effective Date and
continuing throughout the Term and Termination Assistance Period, Provider shall provide to Company pursuant to the terms of this Agreement the following services, functions and responsibilities, as they may evolve or be supplemented, amended,
enhanced, improved, modified or replaced in accordance with this Agreement (collectively, the “Services”): 
  

	 	(i)	the services, functions and responsibilities described in this Agreement, including (a) the services, functions, responsibilities and Deliverables described in Exhibit A
(Description of Services), (b) the services, functions and responsibilities relating to the Transition, including Transition Deliverables, and (c) the Termination Assistance Services; 

  

	 	(ii)	any services, functions, tasks or responsibilities not specifically described in the Agreement but that are necessary or required for the proper function or provision of the
foregoing consistent with the purposes hereunder; 

  

	 	(iii)	the services, functions and responsibilities described in any Order approved in writing by Company; 

  

	 	(iv)	the services, functions and responsibilities described in any Changes approved in writing by Company pursuant to the Change Control Process; and 

  

					
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	 	(v)	the facilities-related services, functions and responsibilities performed in the ordinary course during the twelve (12) month period preceding the Effective Date by Affected
Personnel (i) that are suppliers under Assigned Contracts that were transitioned to Provider or displaced, or (ii) whose functions were displaced or replaced, in each case as a result of this Agreement, even if such services, functions and
responsibilities are not specifically described in this Agreement. 

 2.2 Evolution and Improvement of Services. It is anticipated that
the Services will evolve and be supplemented, modified, improved, enhanced or replaced by Provider over time to keep pace with advancements and improvements in the means and methods of delivering Services. These changes will modify the Services and
will not require an Order except to the extent that a change results in Services that are materially different from and materially in addition to those then being provided by Provider. Without limiting the foregoing: 
 (i) Provider shall offer Company a first priority right to participate in any Provider pilot programs for any new processes, best practices or technology;
and 
 (ii) Provider shall identify and propose the implementation of any technology or process related to the Services that is likely to:

 (1) improve the efficiency and effectiveness of the Services (including cost savings); 
 (2) result in cost savings or revenue increases to Company in areas of its business outside of the Services; 
 (3) enhance Company’s ability to conduct its business or serve its customers; or 
 (4) achieve Company’s objectives set out in this Agreement faster or more efficiently than the then current strategies. 
 2.3 New Service Request. The Parties acknowledge and agree that this Agreement is intended to provide the framework for a global relationship for the Services to
be provided by Provider and its Affiliates pursuant to this Agreement. During the Term of this Agreement, Company or an Affiliate of Company may from time-to-time initiate a request for Provider or an Affiliate of Provider to perform new services on
its behalf, including new categories of services or services at new buildings or Company sites (“New Services”) to the extent the New Services are similar to the Services or services provided by Provider to other customers or
consistent with Provider’s integrated facilities management services business generally. In engaging Provider to perform New Services, Company or its Affiliate shall enter into one or more written Orders (each an “Order”)
pursuant to which such New Services shall be performed. A template form of Order is attached hereto as Exhibit K (Example Form of Order). Upon execution thereof by each Party, each Order will incorporate the terms of this Agreement and will
form a distinct contract between the Parties (or Affiliates of the Parties, as specified in the Order) in relation to the relevant Services being provided under that Order; provided, however, any Order where an Affiliate of Provider is proposed to
be the “Provider” with respect to such New Services also shall be executed by Provider as shown on the example form of Order attached hereto as Exhibit K (Example Form of Order). Any Services performed pursuant to an Order shall be
governed by the terms and conditions of this Agreement; provided, however, that (i) if an Affiliate of Provider is the “Provider” under the Order, such Provider and such Affiliate shall be deemed jointly and severally to be the
Provider under the terms and provisions of this Agreement with respect to the New Services under such Order and (ii) if any of the provisions of this Agreement would conflict with or otherwise violate any Applicable Laws of the
jurisdiction where the Services under such Order will be performed or Company’s facilities governed by such Order are located, then such Order may modify the provisions of this Agreement to the extent of such conflict or violation if both
Company and Provider each have consented to such modifications in writing. If an Order is to be executed with an Affiliate of Company, Provider shall have the right to approve such Affiliate, which approval shall not be unreasonably withheld or
delayed. 
  

					
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 2.4 Scope. Provider shall furnish and be responsible for all materials, equipment and activities that are
necessary or required for its performance of the Services, including without limitation all supervision, administration, coordination, labor, inspection, testing and other services, equipment, supplies and other goods, means, methods, techniques,
sequences, licenses, permits, approvals and documents. 
 2.5 Non-Exclusivity of Services. 
  

	 	(i)	Nothing in this Agreement requires Company to acquire from Provider the Services. Company may, in its sole discretion, acquire additional services similar to the Services from any
Third Party Suppliers or perform such services internally. 

  

	 	(ii)	During the Term and the Termination Assistance Period, Company may increase or decrease the volume of the Services as a result of Company electing to provide such volumes internally
or obtain such volumes from a Third Party Supplier. 

  

	 	(iii)	Company shall not be obligated to acquire any of the Services from Provider with respect to any additional business unit, site or entity including pursuant to an acquisition.
However, subject to Section 2.3 above, Company will have the option pursuant to an Order for New Services to direct Provider to provide Services under and in accordance with the terms of this Agreement to service any additional entity or
business unit, and, if such additional entity or business unit has an agreement with Provider for facilities management related services at the time of such acquisition, Provider will not impose any termination fees on Company or such entity or
business unit in connection with termination of such agreement and replacement with such agreement with the new Order hereunder[*]. 

  

	 	(iv)	After giving notice to Provider, as provided in the following sentence, Company may insource or obtain from a third party any portion of the Services. Before insourcing or obtaining
from a third party any portion of the Services, Company shall (i) give prior written notice to Provider that Company is contemplating such insourcing or alternative sourcing, including a description of the affected Services and allow the
Provider at least fifteen (15) days to discuss such proposed changes prior to Company making any proposed commitments with respect to such insourcing or third party engagement and (ii) not terminate the Services proposed to be insourced or
serviced by an alternative provider prior to the date thirty (30) days after such fifteen-day discussion period. In the event Company insources or obtains from a third party a portion of the Services, but not the entire scope of Service,
Provider shall notify Company during the fifteen-day discussion period whether there are any [*] that Provider will incur pursuant to any Subcontracts and Supply Contracts related to the Services proposed to be terminated, and Company
will have the option of assuming the applicable Subcontracts and Supply Contracts [*]. Any termination of Services pursuant to this Section 2.5 shall be evidenced by a Change in accordance with the Change Control Process.
[*] 

 2.6 Standard of Care. Provider shall meet the Standard of Care in the performance of its obligations hereunder.

 2.7 Interpretation of Documents. In the event of a conflict or inconsistency between the terms of the main body of this Agreement and the Orders
(if any), Exhibits, Schedules, Attachments or Appendices, the terms of this Agreement shall prevail. However, (i) a term or terms of an Order shall control to the extent the Order expressly provides that such term(s) supersede and control over
the terms of the Agreement and, (ii) to the extent that a conflict is with respect to the quality of the Services, the Exhibit A (Description of Services) and Exhibit C (Key Performance Indicators/Service Level Agreements) shall
prevail. No other terms, including without limitation any terms or conditions set forth in any document issued by Provider, are effective unless accepted by Company in writing. 
  

					
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	Note: Redacted portions have been marked with [*]. The redacted portions are subject to a request for confidential treatment that has been submitted to the Securities and Exchange
Commission.

 2.8 Affiliates. When an Order is entered into by one or more Affiliates of Provider, both the applicable Affiliate
and Provider shall be jointly and severally liable and responsible to Company and its Affiliates for all obligations to be undertaken by such Affiliate(s) of Provider under the Order. In the event that any of Provider’s Affiliates fail to
perform any of their obligations under any Order issued hereunder, Provider shall cause such obligations to be discharged in accordance with the requirements of this Agreement and the applicable Order. Provider acknowledges and agrees that Company
may seek recourse directly against Provider for the failure of any of Provider’s Affiliates to perform any obligations under any Order without seeking or exhausting remedies against such Provider Affiliates. Provider’s liability to Company
under this Section 2.8 shall not be reduced or otherwise modified by any full or partial discharge or reduction of a Provider Affiliate’s liability to Company under any bankruptcy, insolvency or other proceeding. If an Order is
executed by an Affiliate of Company (subject to Provider’s approval right pursuant to Section 2.3 above), the obligations of the Affiliate under the Order shall be independent obligations of such Affiliate and Company shall not
have joint and several liability with respect to the Order unless otherwise expressly agreed by Company in writing. 
 2.9 Non-Solicitation of
Employees. Except as provided in Section 12.8 or Section 18.8, during the Term and Termination Assistance Period and for a period of [*] months thereafter, neither Party shall directly or indirectly solicit for hire any
personnel or employees of the other Party [*] unless such Party has consulted with the other Party and obtained permission to solicit such employee of the other Party for employment. This Section 2.9 shall not apply in the
event that any employee of a Party seeks employment with the other Party in response to a general advertisement or recruiting effort not directed at such employee or Party, or any employee of either Party who is terminated or otherwise released from
employment by Party or its Affiliates. 
  

	3.	SERVICE LEVELS AND CUSTOMER SATISFACTION 

 3.1 General.
Provider shall perform the Services at least (i) at the level of the Service Levels (including applicable SLA Targets and KPI Targets) set forth in Exhibit C (Key Performance Indicators/Service Level Agreements) or in the applicable
Order and (ii) where no KPI Target or SLA Target is set forth in Exhibit C (Key Performance Indicators/Service Level Agreements) or the applicable Order, at the same level and with at least the same degree of accuracy, quality,
completeness, timeliness, responsiveness, security and efficiency as was provided prior to the Effective Date by or for Company. At all times Provider’s level of performance shall be at least equal to the Service Levels or, in cases where
Service Levels do not exist, to accepted industry standards of first tier providers of services similar to the Services. 
 3.2 Service Level Failure.
Provider shall inform Company immediately if Provider is unable, or is reasonably likely to be unable, to provide the Services in accordance with the Service Levels (including applicable SLA Targets and KPI Targets) or this Agreement or if any
organizational, security-related or other changes will materially affect, or are reasonably likely to materially affect, the provision of the Services. Without limiting the remedies available to Company hereunder, upon Provider’s failure to
provide any of the Services in accordance with the Service Levels required with respect thereto, whether or not the cause of such failure is immediately identified and cured by Provider, Provider shall immediately: (i) perform an analysis to
identify the root cause of such failure; (ii) identify the procedures necessary for correcting the failure and implementing such procedures to effectuate such correction; (iii) provide Company with a report detailing the findings and
procedures identified and implemented under (i) and (ii) above; and (iv) take appropriate preventive measures so that the problem does not recur. 
 3.3 Cooperation with Third Parties. In order for Provider to provide the Services in accordance with the Service Levels, Provider may be required to coordinate its efforts with Third Party Suppliers. With respect to Service Level
failures caused by Third Party Suppliers, except as set forth in Section 3.4, Provider’s failure to meet such Service Levels shall not be excused and Provider shall remain responsible for the performance of the Services in
accordance with the Service Levels. 
  

					
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	Note: Redacted portions have been marked with [*]. The redacted portions are subject to a request for confidential treatment that has been submitted to the Securities and Exchange
Commission.

 3.4 Excused Service Level Failure. To the extent Provider demonstrates to Company’s reasonable satisfaction
that any SLA Failure or KPI Failure is directly attributable to: (A) a breach of this Agreement by Company that prevents Provider from meeting the applicable SLA Target or KPI Target; or (B) acts or omissions of Company or a Third Party
Supplier, provided that (1) Provider was unable to notify Company in writing of the consequences of such acts or omissions or Company disregarded any notice made by Provider as to the consequences of such acts or omissions, (2) Provider
complied with the requirements of any applicable BC Plan, and (3) Provider was unable to take other reasonable steps to avert such consequences, then the measurement of such SLA Target or KPI Target shall be adjusted to account for the
abovementioned factors during the period that such factors were in effect. 
 3.5 Periodic Reviews. At least annually or more often as set forth in
each Order or the service metrics specified in this Agreement, Company and Provider shall review the Service Levels and make adjustments to them as appropriate to reflect improved performance capabilities associated with advances in the technology
and methods used to perform the Services. The Parties expect and understand that the Service Levels shall be optimized over time. 
 3.6 Measurement and
Monitoring Tools. Provider shall, with respect to each Service Level, prior to the date that such Service Level takes effect, implement and/or test measurement and monitoring tools and procedures acceptable to Company to measure and report
Provider’s performance of the Services against the applicable Service Levels. Such measurement and monitoring tools and procedures shall permit reporting at a level of detail sufficient to verify Provider’s compliance with the Service
Levels. Without limiting Provider’s responsibility to develop and maintain such measurement and monitoring tools and procedures, if at any time such measurement and monitoring tools are temporarily inoperable or unavailable, Provider may
manually prepare the applicable studies and reports. Provider shall also provide Company with on-line access to the most current data used by Provider to calculate its performance against the Service Levels and the measurement and monitoring tools
and procedures utilized by Provider to generate such data. Given the nature of Company’s multi-vendor environment, any such data may be shared by Company with third party providers, provided that such third party providers have executed
appropriate non-disclosure agreements or are otherwise bound by confidentiality obligations. Notwithstanding the foregoing, Company shall not disclose any KPI Scorecard and SLA Scorecard to any Provider Competitors. The use of any such data by the
third party providers shall be limited to managing the provision and delivery of services, products and resources to Company and resolving any issues or problems relating to the provision and delivery of any such services, products or resources.
Company shall not be required to pay any amount in addition to the Services Costs for (i) such measurement and monitoring tools or (ii) any resources utilized in connection with such measurement and monitoring tools. 
 3.7 Third Party Provider Performance Data. Provider acknowledges and agrees that it may receive performance data from third party providers and such performance
data shall be Confidential Information of Company. Provider further agrees that it shall use such performance data only for managing the provision and delivery of services, products and resources and resolving any problems or issues that relate to
such services, products and resources. Provider shall not use any such performance data for any other purpose, except as otherwise agreed by Company. 
 3.8
Service Level Reporting. No later than the first business day falling on or after the fifteenth (15th) day of each calendar month (or as otherwise specified in Exhibit C) during the Term and Termination Assistance Period, Provider
shall provide Company with a monthly (or as otherwise specified in Exhibit C) performance report describing Provider’s performance of the Services in the preceding month (or other time frame specified in Exhibit C), which report
shall be made available to Company in an online, electronic form. Each such report shall: 
  

	 	(i)	for each area of the Services, assess the degree to which Provider has attained or failed to attain the Service Levels; 

  

	 	(ii)	explain any Service Level failures and include a plan for corrective action where appropriate; 

  

					
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	 	(iii)	identify any problems or issues of which Provider becomes aware that are being caused by the acts or omissions of any Third Party Suppliers and agree with the proposed steps
necessary to resolve any such problems or issues; 

  

	 	(iv)	include such documentation and other information as Company may reasonably request to verify compliance with the Service Levels; and 

  

	 	(v)	include a quarter-to-date and year-to-date analysis and report identifying service trends in Provider’s performance of the Services. Such analysis and report shall provide
observations and suggestions for the continuous improvement and enhancement of the Services in accordance with Section 2.2. 

 The
foregoing information shall be updated on a monthly basis unless a different reporting period is set forth in Exhibit C (Key Performance Indicators/Service Level Agreements). Any failure by Provider to report on Provider’s success or
failure to meet any Service Level, including if such failure results from Provider’s failure to implement, or delay in implementing, appropriate measurement and monitoring tools pursuant to Section 3.6, shall be deemed to be a
Service Level failure with respect to the applicable Service Level for the applicable Measurement Period[*]. 
 3.9 Customer Satisfaction
Surveys. 
  

	 	(i)	As set forth in Exhibit N (Customer Satisfaction), Provider shall, on a periodic basis throughout the Term and Termination Assistance Period, survey a representative
sample of users of the Services to ascertain their level of satisfaction with Provider’s management and provision of the Services. The representative sample, survey format and questions shall be as described in Exhibit N (Customer
Satisfaction) and shall be subject to Company’s review and approval. 

  

	 	(ii)	Provider shall continuously monitor customer satisfaction surveys. If such surveys show any material or recurring dissatisfaction, Provider shall, within thirty (30) days of
the completion of the applicable customer satisfaction survey, (a) conduct a root cause analysis as to the cause of such dissatisfaction; (b) develop an action plan to address and improve the level of satisfaction; (c) present such
plan to Company for its review, comment and approval; and (d) take action in accordance with the approved plan and as necessary to improve the level of satisfaction. Provider’s action plan developed hereunder shall set forth the specific
measures to be taken by Provider and the dates by which each such measure shall be completed. Following implementation of such action plan, Provider shall conduct a follow-up survey with the affected management to confirm that the cause of any
dissatisfaction has been addressed and that the level of satisfaction has improved. 

  

	4.	COVENANTS OF PROVIDER 

 4.1 Maintenance. Provider shall
maintain all Company Provided Equipment and Provider Equipment so that they operate in accordance with their specifications, including (A) maintaining such Equipment in good operating condition, subject to normal wear and tear; and
(B) undertaking repairs and preventive maintenance on such Equipment in accordance with the applicable Equipment manufacturer’s recommendations. 
 4.2 Completion of Milestones and Deliverables. Provider shall complete each milestone and Deliverable on the Schedule set forth in each Order. Provider shall promptly notify Company upon completion of each milestone or Deliverable
and promptly deliver all relevant Work Product to Company. 
 4.3 Facilities and Space. Provider shall provide the initial Services under this
Agreement from the Agreed Service Locations and New Services from the locations specified in the applicable Order. 

  

					
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	Note: Redacted portions have been marked with [*]. The redacted portions are subject to a request for confidential treatment that has been submitted to the Securities and Exchange
Commission.

 
Provider shall ensure that the relevant Provider Personnel comply with the security requirements of Company in relation to their access to their dedicated
area and that each Provider Personnel will operate a “clean desk” policy. 
 4.4 Dedicated Personnel. If specified in Exhibit A
(Description of Services) or an applicable Order, certain Provider Personnel assigned to perform Services shall be dedicated to performance of the Services. Provider shall ensure that all Personnel so identified are dedicated solely to performance
of such Services and shall not assign such Personnel to any other project unless otherwise agreed in writing by the Parties. 
 4.5 Quality Assurance.
Provider shall establish, implement and enforce quality assurance programs and procedures commensurate with the Services to be provided hereunder. Provider shall identify those Provider Personnel responsible for and authorized to act as
Provider’s designated representative(s) with respect to such quality assurance programs and procedures and such Provider Personnel shall be considered Key Provider Personnel hereunder. Company shall have the right to review and audit
Provider’s quality assurance programs and procedures. 
 4.6 Compliance. Provider shall (i) comply with all Company Policies that apply to
the Services or Provider’s obligations hereunder of which Provider is aware or Company has notified Provider, (ii) assist Company to ensure that such Services are in compliance with Company’s legal, regulatory and compliance
obligations, and (iii) ensure that the provision of the Services will be in compliance with Applicable Law. Unless otherwise agreed in Exhibit A (Description of Services) or an applicable Order, Provider shall obtain and maintain all
necessary governmental or regulatory licenses, authorizations, permits or consents required to provide the Services. Company shall have the right to modify the Company Policies from time to time with notice to Provider. Provider shall comply with
all such revised Company Policies. In the event Provider is required to implement revised Company Policies as a result of changes in law or changes otherwise generally affecting Provider or other customers of Provider, Provider shall not be entitled
to any additional Management Fees as a result thereof, but Reimbursable Costs may be modified in accordance with the Change Control Process. In the event Provider is required to implement changes solely because of changes to Company Policies,
Provider shall be entitled to recover reasonable incremental Service Costs associated therewith in accordance with the Change Control Process. 
 4.7
Conflicts. Provider shall not enter into any agreement, whether written or oral, that would materially adversely affect Provider’s ability to fulfill its obligations or that would constitute a default hereunder. 
 4.8 Use of Third Party Intellectual Property. Company understands that Provider will use software that is Third Party Intellectual Property to provide the
Services. Upon the request of Company, Provider shall provide Company with an updated list of the foregoing being used in connection with the Services, and upon request from Company shall provide a copy of the license for such Third Party
Intellectual Property. Upon reasonable prior notice, Company may conduct supervised reviews within Provider’s offices of any aspects of Provider’s software and discuss any issues with Provider. During any such reviews Company shall not
have access to any software or software customizations constituting Provider Intellectual Property Rights and made for or exclusively used by other clients and not used to provide the Services. In addition to the foregoing prior to Provider using or
entering into any agreements to license or use any Third Party Intellectual Property that will be used to provide the Services or create any Work Product, Provider shall provide a copy of such agreement to Company. Provider shall not use any such
Intellectual Property, including computer software, to provide the Services unless Company has approved in advance in writing the applicable agreement to license or use such software. Without limiting the foregoing, unless otherwise approved by
Company in writing, any such license for Third Party Intellectual Property shall expressly permit the license to be assigned or sub-licensed to Company without further approval of the licensor. 
 4.9 Evidence of Compliance. Upon Company’s written request, Provider shall furnish any evidence Company reasonably requests relating to Provider’s
obligations hereunder and its ability to fulfill such 

  

					
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obligations or substantiate its representations hereunder at any time during the Term and Termination Assistance Period, and to the extent related to
obligations that survive the termination or expiration of this Agreement, the period of such survival. The substance, form and timing of such evidence shall be subject to Company’s reasonable satisfaction. 
 4.10 Competitors. Provider shall not provide any Services to Company from a site or facility of any Competitor without Company’s prior written consent. If
Provider is to provide Company with Services from a shared environment where such Services either are provided from a Provider site that is shared with a Competitor or such Services are provided to a Competitor from the same site or location,
Provider shall develop a process, subject to Company’s approval, to restrict access in any such shared environment so that such Competitor, and any other third party, shall have no access to Company’s Work Product or Confidential
Information. 
  

	5.	ESTABLISHING ORDERS AND CHANGE CONTROL 

 5.1 Requests for Change
or New Services. Commencing on the Effective Date and from time-to-time during the Term and Termination Assistance Period, Company may (i) request in writing (each, a “Change Request”) that Provider terminate, remove,
replace or change a Service or Service Level (a “Change”) or (ii) request that Provider perform a New Service pursuant to an Order as provided in Section 2.3 above. Without limiting the generality of the foregoing,
a Change requested by Company may involve (a) the deletion of buildings or facilities from the scope of Services under this Agreement; (b) the augmentation of work and Services to be performed by Provider with respect to one or more
Company buildings or facilities; and/or (c) the elimination or modification of one or more Services Categories, Service Levels or scopes of Service. Change Requests and Orders for New Services shall be addressed and implemented in accordance
with the provisions of this Article 5, the Change Control Process and, where applicable, Company’s change management requirements. Any actions taken or not taken by Provider in anticipation of execution of this Agreement, any
modification, any Order or any Change Request are taken at its sole risk and expense. Any estimate or forecast by Company of services that may be furnished by Provider before or during the Term or Termination Assistance Period does not constitute a
commitment of any kind. 
 5.2 Order Placement for New Services and Acceptance. In the event Company notifies Provider that it intends to proceed with
Provider on the basis of a project proposal, Company and Provider shall diligently negotiate in good faith to mutually agree upon an Order. Unless and until the Parties have executed an Order, neither Party shall have any obligations with respect to
the services proposed in a project proposal. Provider shall perform Services pursuant to each executed Order issued during the Term and Termination Assistance Period. Each Order shall define the specific scope of Services that Provider shall
undertake, as well as any special terms and conditions associated therewith. All Orders issued hereunder shall be subject to the terms and conditions of this Agreement. Provider shall promptly execute and return any Order issued by Company and
approved by Provider hereunder to evidence Provider’s acceptance of such Order and the terms set forth therein. Without limiting Company’s remedies, Company may withdraw an Order or defer the commencement of performance under such Order
and/or the payment of Services Costs thereunder unless and until Provider has executed and delivered a counterpart original of the Order to Company. Notwithstanding anything to the contrary, Provider’s acknowledgment, receipt, or commencement
of performance of any obligations under an Order is deemed an acceptance of that Order in accordance with the terms contained in that Order and this Agreement. 
 5.3 Response to Request for New Services. Upon receipt of a request to add a New Service, Provider shall, within ten (10) days or such other longer time as specified in the project request, provide Company with a written
proposal for the performance of such additional Service, which proposal shall include: (i) a description of the services, functions and responsibilities to be performed in connection with such additional Service; (ii) a Schedule for
commencing performance of such additional Service; (iii) Provider’s prospective Services Costs for such additional Service; (iv) the impact of such additional Service on the calculation of Provider’s Shared Savings and Management
Fee at Risk under the applicable Order; and (v) such other information as may be reasonably requested by Company. On the 

  

					
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request of Company, Provider shall provide Company with any other information that Company may reasonably require to assess the project proposal. Provider
shall not begin performing any such additional Service until Company has provided written authorization for such additional Service. In performing additional Services pursuant to a Change, Provider shall perform such Services in a manner that does
not adversely impact Company’s business operations. 
 5.4 Request for Change. 
  

	 	(i)	If Company desires to propose a Change Request, it shall deliver a written notice to Provider describing the proposed Change and establishing a reasonable period for Provider to
respond. For each proposed Change, Provider shall, within the period of time specified by Company, prepare a written response indicating: (i) the effect of the proposal, if any, on the amounts payable by Company under the relevant Order and
this Agreement, and the manner in which such effect was calculated; (ii) the effect of the proposal, if any, on Provider’s performance of the Services, including the effect on Service Levels; (iii) the anticipated time schedule for
implementing the Change; and (iv) any other information reasonably necessary for, or requested by, Company to make an informed decision regarding the proposed change. 

  

	 	(ii)	If Provider desires to propose a Change, including any Change proposed by Provider by right pursuant to other provisions of this Agreement, it shall deliver a written notice to
Company setting forth the information described in the previous sentence. In the event that a Change will result in a Material Change in Provider’s recurring costs in connection with its performance hereunder, Provider and Company shall
negotiate in good faith to modify the Service Costs payable hereunder or under the applicable Order to reflect such changed costs. 

 5.5
Costs. Provider may use Direct Provider Labor to prepare proposals, responses and documentation in connection with proposed Orders and Changes. Each Party shall otherwise bear its own costs in connection with proposals, responses and
documentation in connection with any proposed Orders and Changes. 
 5.6 Effect of Acceptance. No Change shall become effective without the written
approval of Company and Provider. If approved by Company and Provider, any such Change shall thereafter be deemed part of Provider’s obligations under this Agreement and the relevant Order. Under no circumstances shall Provider be entitled to
payment for any Change in Services that has not been approved by Company in accordance with this Article 5. 
 5.7 No Obligation. Provider
acknowledges that Provider is expected to accomplish the Services on the terms and conditions specified in this Agreement, including the Service Costs agreed to by Provider, and that Company is under no obligation to agree to any Changes requested
by Provider except as expressly provided in this Agreement. 
 5.8 Effect on Service Levels and Key Performance Indicators. In the event that
(i) either Party proposes a Change that will affect any Service Level for the Services affected by such Change, (ii) such Change constitutes a Material Change; (iii) Provider identifies the effect of such Change on any applicable
Service Level pursuant to Section 5.4, and (iv) Company accepts such Change in writing, then, upon implementation of such Change by Provider, the affected Service Level shall be reduced solely to the extent of the effect of such
Change identified by Provider; provided that, (a) the implemented Change shall have no effect on any other Service Levels, and (b) Provider and Company shall cooperate to attempt to restore such affected Service Level through future
Changes. Except as provided in the previous sentence, no Change shall have any effect on Provider’s obligation to perform the Services at the Service Levels. Notwithstanding anything in this Agreement to the contrary, Provider acknowledges and
agrees that, unless a Change Request constitutes a Material Change, there shall be no adjustment or modification to any Services Costs (other than Reimbursable Costs), [*] Provider’s Shared Savings metrics, “not to
exceed” amount or other incentives under the applicable Order. 
  

					
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	Note: Redacted portions have been marked with [*]. The redacted portions are subject to a request for confidential treatment that has been submitted to the Securities and Exchange
Commission.

 5.9 Effect on Services Costs. To the extent that a proposed Change can be accommodated within the existing level
of resources then being used by Provider in performing the Services hereunder and those resources are appropriate for the proposed New Service or changed Service without degradation to Provider’s compliance with all applicable performance
requirements under this Agreement, the Services Costs payable by Company under this Agreement and the Cost Baseline shall not be increased as a result of such Change. 
 5.10 Emergency Changes. In the event of an Emergency, Provider shall be permitted to suspend, remove, replace or change a Service (a “Provider Emergency Change”) without Company’s prior
written approval to the extent reasonably necessary to deal with such Emergency, provided that (i) Provider exercises reasonable efforts to secure Company’s prior approval of such Provider Emergency Change, (ii) such Provider
Emergency Change is necessary to respond to such Emergency, and (iii) Provider gives Company notice of such Provider Emergency Change immediately upon implementing such Provider Emergency Change. Any expenditures proposed to be made by Provider
in connection with such Emergency shall be subject to the provisions of Exhibit D (Pricing). Company may, without first complying with the foregoing provisions of this Article 5, require that Provider terminate, remove, replace or
change a Service or perform a New Service in the event of any Emergency (a “Company Emergency Change,” and a Provider Emergency Change and a Company Emergency Change may be referred to herein as an “Emergency
Change”), and Provider shall implement such Company Emergency Change promptly following Company’s request to Provider. As soon as possible following any Emergency Change, but in any event no later than fourteen (14) days following
such Emergency Change, the Parties shall negotiate in good faith any modifications to Services Costs, Provider’s Shared Savings and/or the [*] which are necessitated by such Emergency Change. Provider shall meet the Standard of
Care in implementing any Emergency Change, and except as specifically necessary to deal with the Emergency Change nothing contained in this Section 5.10 shall operate or be construed to relieve Provider of its obligations to perform, or
limit Provider’s liability for the performance of, the Services in accordance with this Agreement. 
  

	6.	TRANSITION 

 6.1 Transition Plan. Commencing on the Effective
Date, Provider shall plan, prepare for and conduct activities to transition the applicable Services to Provider (the “Transition”). The Transition shall be conducted in accordance with a written plan (the “Transition
Plan”) which, at a minimum, shall include: 
  

	 	(i)	a detailed description of the Services being transitioned to Provider; 

  

	 	(ii)	a detailed description of the Transition activities and responsibilities to be performed by Provider in order for Provider to properly complete the Transition, including a detailed
description of each Transition milestone and timeline, operational reviews, strategic planning, and training; 

  

	 	(iii)	a detailed description of the Deliverables to be completed by Provider (“Transition Deliverables”); 

  

	 	(iv)	a detailed description of any tasks that Company is required to complete or information the Company is required to provide in connection with the Transition;

  

	 	(v)	a proposed plan for transitioning all Assigned Contracts to Provider; 

  

	 	(vi)	a plan for dealing with systems and security access; 

  

	 	(vii)	a detailed description of the technology, methods, procedures, Personnel and organization that Provider shall use to perform the Transition, and a process to address labor
transition and any labor-related issues; 

  

					
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	Note: Redacted portions have been marked with [*]. The redacted portions are subject to a request for confidential treatment that has been submitted to the Securities and Exchange
Commission.

	 	(viii)	a detailed schedule and workplan of all Transition activities to be completed in connection with the Transition, including the dates on which each such activity and any Transition
milestone shall be completed; 

  

	 	(ix)	a schedule of Transition milestones (each a “Transition Milestone”), together with an allocation of the Transition Cost installments to be paid upon satisfaction of
such Transition Milestone [*]; 

  

	 	(x)	a detailed description of the potential risks associated with the Transition and the risk mitigation strategies that shall be employed by Provider to eliminate or minimize such
risks; 

  

	 	(xi)	a process and set of standards and completion criteria acceptable to Company to which Provider shall adhere in the performance of the Transition and that shall enable Company to
determine whether Provider has successfully completed the Transition activities and Transition Deliverables associated with each Transition milestone; and 

  

	 	(xii)	any other information and planning necessary to ensure that the Transition takes place on schedule and without disruption to Company’s business or operations.

 6.2 Final Transition Plan. A preliminary Transition Plan is set forth in Schedule 4 of Exhibit A (Transition). Within
thirty (30) days after the Effective Date, Provider shall prepare and deliver to Company a more detailed final Transition Plan, which shall be consistent with the preliminary Transition Plan and shall meet the requirements set forth in
Section 6.1 above. The Transition Milestones and the payments and credits allocated to such Transition Milestones shall not be changed from the preliminary Transition Plan unless approved in writing by Company. The final Transition Plan
and any subsequent changes to the Transition Plan shall be subject to written approval by Company, which approval shall not be unreasonably withheld, delayed or conditioned. 
 6.3 Transition Costs. The Transition Costs are payable by Company to Provider up to the amount shown in Attachment D.4 of Exhibit D and will be paid in installments upon achievement of Transition
Milestones as set forth in the Transition Plan. Transition Milestones will be extended on a day-for-day basis for any critical path delays in achieving such Transition Milestones due to any Force Majeure Events or Excused Company-Related Delays.

 6.4 Implementation. Provider shall perform the Transition in accordance with the Transition Plan and in such a manner so as to minimize any
disruption to Company’s business or operations (except to the extent that Provider has provided Company with reasonable advance written notice of such disruption and Company has agreed in writing that such disruption is acceptable). Provider
shall provide all cooperation and assistance reasonably required and requested by Company in connection with Company’s evaluation and testing of the Transition Deliverables. 
 6.5 Transition Manager. Each Party shall designate an individual to manage the Transition (each a “Transition Manager”) during the Transition Period. The Provider Transition Manager shall
manage the Transition on a dedicated, full-time basis during the Transition period. The Provider Transition Manager shall (i) report to the Provider Program Manager, (ii) serve as the single point of accountability for Provider for the
Transition and (iii) have day-to-day authority for ensuring that the Transition is completed in accordance with the Transition Plan. The Provider Transition Manager shall be one of Provider’s Key Provider Personnel. 
 6.6 Meeting and Reporting Requirements. The Provider Transition Manager shall meet at least once each week with the Company Transition Manager to report on
Provider’s progress in performing the Transition and meeting the requirements of the Transition Plan. As part of each weekly meeting, Provider shall provide Company with a written status report that shall include (i) an updated status
chart detailing the then-current status of all Transition activities, including the Transition Deliverables, against the 

  

					
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	Note: Redacted portions have been marked with [*]. The redacted portions are subject to a request for confidential treatment that has been submitted to the Securities and Exchange
Commission.

 
Transition Plan, and (ii) any issues or problems that Provider is experiencing in connection with the Transition and any efforts or remedial actions
that Provider is undertaking to resolve such issues or problems. The meetings described in this Section 6.6 shall take place at the time and place reasonably designated by Company, and with agendas specified by Company. 
 6.7 Company’s Right to Participate in the Transition. Company reserves the right to monitor, test and otherwise participate in the Transition. Provider shall
immediately notify Company if such monitoring, testing or participation has caused (or in Provider’s reasonable opinion may cause) a problem or delay in the Transition and work with Company to prevent or circumvent such problem or delay.

 6.8 Completion of Transition. The Transition shall not be considered to be complete until all Transition Deliverables have been accepted by
Company. [*] 
 6.9 Termination by Company. In the event that (i) Provider fails to achieve acceptance of a Transition deliverable
within thirty (30) days of the applicable Transition Milestone (provided that for purposes of this Section 6.9, such milestone deadline will be extended by the period of critical path delay caused by a Force Majeure Event or by the
fault or negligence of Company, up to a maximum extension of sixty (60) days), or [*] Company may, upon notice to Provider, terminate this Agreement, in whole or in part, as of the termination date specified in the notice, without cost or
penalty and without the payment of any termination charges. 
  

	7.	STEP-IN RIGHTS 

 7.1 Step-In. If any Service Disruption
occurs, Company may, at its option and without prejudice to any other rights or remedies under this Agreement or the relevant Order, undertake one or more of the following (each a “Step-In”): 
  

	 	(i)	Where Company considers it necessary to do so, in its reasonable business judgment, suspend Provider’s right and obligation to provide any or all of the Services; and/or

  

	 	(ii)	Itself provide, and/or engage a replacement service provider to provide any or all of the disrupted Services; and/or 

  

	 	(iii)	Locate one or more Company Personnel in any Agreed Service Location to work with the relevant Provider Personnel and to oversee and manage the provision of all or any Services.

 7.2 Obligations During Step-In. For the period in which the Step-In continues, Services Costs will not be payable in respect of those
Services that are subject to the Step-In. 
 7.3 Resumption of Services. After a Step-In, unless Company has terminated the relevant Services pursuant
to the terms of this Agreement or any Order, Company shall allow Provider to resume the provision of the Services that are the subject of the Step-In as soon as reasonably practicable after both of the following are satisfied: 
  

	 	(i)	The relevant Service Disruption has ceased; and 

  

	 	(ii)	Provider has demonstrated through the submission and execution of a corrective action plan to Company’s reasonable satisfaction that it will be able to meet the relevant
Service Levels (if applicable) and otherwise provide the relevant Services in accordance with the relevant Order and this Agreement if it resumes provision of those Services. 

 Provider shall use diligent, commercially reasonably efforts to resume Services subject to a Step-In as soon as reasonably possible. 
  

					
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	Note: Redacted portions have been marked with [*]. The redacted portions are subject to a request for confidential treatment that has been submitted to the Securities and Exchange
Commission.

 7.4 Termination During Step-In. Without limiting any rights or remedies of Company hereunder, if the requirements
for ending a Step-In set forth in Section 7.3 have not been met within thirty (30) days of commencement of the Step-In (provided that for purposes of this Section 7.4, such period will be extended by the period of
critical path delay caused by any Force Majeure Event or by the fault or negligence of Company, up to a maximum extension of sixty (60) days), then Company may immediately terminate for cause all or any part of this Agreement. Upon such
termination, Provider shall be entitled to Services Costs in accordance with the terms of this Agreement and the applicable Order up to the date of the last provision of the Services. 
 7.5 Upon Termination. If Company elects to terminate any Services pursuant to Section 7.4, it may, in its discretion, require Provider to complete any partially-completed Deliverables, provided that
Provider may invoice Company for the relevant Services Costs for the work involved. 
 7.6 Rights and Remedies. For the avoidance of doubt, the rights
and remedies of Company under this Article 7 are in addition to and not in substitution for any other rights or remedies available to Company under any other Section of this Agreement, under any Order, or at common law or in equity.

  

	8.	BUSINESS CONTINUITY AND DISASTER RECOVERY 

 8.1 BC Plan.
Provider shall, as part of the Services, in accordance with Company’s BC Policies, develop, maintain, test and implement a business continuity plan in respect of the Services that provides for the emergency response and management, recovery,
restoration and ongoing performance of the Services following any Disaster or any other discontinuation of business that disrupts such performance (“BC Plan”). Provider and Company shall cooperate to jointly develop and mutually
approve the initial BC Plan within sixty (60) days after the Effective Date. If, as the result of the occurrence of a Disaster and subsequent implementation of the BC Plan by Provider, the volume and/or scope of Services or the cost of
providing the Services is materially increased, the Provider may, within thirty (30) days after the occurrence of the Disaster, submit a Change Request to Company with respect to Provider’s implementation of the BC Plan, in which case
Provider shall submit a proposal with respect to the proposed Change and the Change Request shall be resolved in accordance with the provisions of Section 5.5. Provider’s failure to submit a Change Request prior to the expiration of
such thirty-day period shall constitute a waiver of any right to seek a modification of the Services Costs and Provider’s Shared Savings metrics under this Agreement in connection with implementation of the BC Plan or any schedule obligations
under this Agreement and the applicable Order impacted by the implementation of such BC Plan. 
 8.2 BC Principles. The BC Plan shall be sufficient to
ensure that Provider is able to continue providing the Services if there is a Disaster (i) affecting Company or (ii) affecting only Provider and not Company. Without detracting from the general principles set forth above, each BC Plan
shall: 
  

	 	(i)	Provide for the prompt and efficient handling of incidents, disruptions, interruptions or Disasters that impair Provider’s ability to perform the obligations of Provider under
this Agreement and the relevant Order; 

  

	 	(ii)	Consider the following assumptions in the planning process: single building failure; wide-scale disruption; loss of data center and information systems; loss of critical staff; and
the ability to access pre-staged supplies and equipment under most likely circumstances; 

  

	 	(iii)	Comply with the BC Policies; 

  

	 	(iv)	Provide and replenish supplies and equipment necessary for response and recovery; and 

  

	 	(v)	Provide for notification procedures (24X7, 365), including home phone numbers to include key contact information for purposes that the Company can notify/activate Provider’s
response. 

  

					
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 8.3 Content of BC Plan. The BC Plan shall be set forth in Exhibit P (Business Continuity Policies) or the
relevant Order and Provider shall specifically include in such BC Plan the following: 
  

	 	(i)	Procedures whereby Provider shall test the effectiveness of the BC Plan and Provider’s ability to restore the Services, as documented in the BC Plan; 

 

	 	(ii)	Procedures whereby Provider shall deliver to Company the appropriate periodic reports confirming Provider’s ongoing compliance with the BC Policies and other Company Policies;
and 

  

	 	(iii)	Identification of a person or persons to be responsible for the BC Plan to serve as a liaison point between Company and Provider. 

 8.4 Modification of BC Plan. Provider acknowledges that the BC Plan may require modification during the Term or Termination Assistance Period or the term of any
relevant Order as a result of changes in law applicable to Company, and/or changes in the BC Policies. Provider shall cooperate with Company and promptly implement such changes in order to permit Company to comply with such changes. If any change is
required to a BC Plan as a result of a change in any of the BC Policies, such change will be implemented by Provider through the Change Control Process. 
 8.5 Compliance and Maintenance of BC Plan. Once a BC Plan is deemed appropriate, Provider shall comply with the requirements set forth in such BC Plan as it relates to this Agreement or the relevant Order. Provider shall maintain the
BC Plan throughout the Term or the term of the relevant Order and Termination Assistance Period and implement the relevant BC Plan in accordance with its terms as part of the Services in order to minimize the effect of a Disaster or other incident
affecting the provision of the Services to Company. 
 8.6 Periodic Review. Provider shall periodically review (at least every twelve
(12) months) each BC Plan and discuss with Company any such review so as to confirm that it meets Company’s requirements from time to time. Company shall have the option at any time to have the BC Plan reviewed by an independent third
party at Company’s cost. The results of such review shall be discussed with Provider and, where appropriate, implemented by Provider. 
 8.7 Periodic
Testing. Provider shall periodically test (at least every twelve (12) months) all recovery strategies and critical systems and infrastructure as identified in the BC Plan. Provider shall discuss and agree to such testing with Company and
allow Company the opportunity to participate, observe and monitor the testing. After the testing has been concluded, Provider shall provide Company with a detailed summary of the results applicable to the Services and with an action plan to remedy
any inadequacies highlighted by the testing. This may be required to be accomplished through participation in Company-directed exercises (including without limitation call tree, table top or full scale disaster walkthrough exercises). 
 8.8 Crisis Management Procedures. Provider shall maintain current documented crisis management procedures and shall inform Company immediately upon becoming aware
that a Disaster has occurred or is likely to occur. Following the occurrence or knowledge of the likely occurrence of a Disaster, Provider shall immediately invoke its crisis management procedures implementing the BC Plan while fully communicating
the status to Company throughout its implementation of the BC Plan. 
  

	9.	ACQUISITION AND DIVESTMENT SUPPORT 

 9.1 Rights Upon
Divestiture. In the event that Company divests an entity or business unit, Provider shall, at Company’s request, continue to provide the Services to Company and such divested entity or business unit at the Services Costs and on the terms
and conditions then in effect if appropriate to the scale of Services, provided that such divested entity will agree to comply with the terms and conditions of this Agreement. At Company’s request, Provider shall separately invoice such
divested entity. To the 

  

					
	Confidential	 	14	 	

 
extent applicable, Services and Deliverables for Company and its divested entity shall be combined for purposes of determining Services Costs. Provider shall
not unreasonably withhold, delay or condition its consent to novation of this Agreement in parts as relates to the divested entity or business unit and the Services remaining to be provided to Company. In the event the Parties are not able to reach
agreement regarding such a novation and Company elects to terminate some or all of the Services as they relate to the acquired or divested entity, Provider shall provide Termination Assistance Services as requested by Company or to the acquired or
divested entity in accordance with the terms of this Agreement. 
 9.2 Ongoing Support. Subject to Section 9.4, Provider shall provide to
Company, and Company shall pay the costs of, the following support in relation to any actual or potential divestments: 
  

	 	(i)	Assist Company in planning, preparing and implementing any transition or changes related to the Services as a result of such divestment; 

  

	 	(ii)	Perform infrastructure changes as a result of such divestment; 

  

	 	(iii)	Perform increased data and physical security as a result of such divestment; and 

  

	 	(iv)	Perform increased disaster recovery planning. 

 9.3 Potential
Acquisitions. Subject to Section 9.4, in relation to potential business acquisitions by Company of a business or entity that may have requirements for Services, Provider shall provide Company, and Company shall pay the incremental costs,
with the following support: 
  

	 	(i)	Assist Company in planning, preparing and implementing any transition or changes related to the Services as a result of an acquisition; 

  

	 	(ii)	As part of these activities, perform an analysis of the acquired business’ (or to-be-acquired business’) current facilities management and related services and the impacts
to the acquired business and Company; 

  

	 	(iii)	Taking into account economies of scale and other synergies between the acquired business and Company, use reasonable efforts to reduce Services Costs associated with the Services;

  

	 	(iv)	Perform infrastructure changes due to an acquisition; 

  

	 	(v)	Perform increased data and physical security as required; 

  

	 	(vi)	Provide temporary staffing as required ensuring uninterrupted Services; and 

  

	 	(vii)	Perform increased disaster recovery planning, as may be required. 

 9.4
Support Fees. Provider shall provide acquisition and divestment support as described in this Article 9 as part of the Services to the extent that such acquisition support may appropriately be provided using Direct Provider Labor and
applicable resources then primarily assigned to the performance of the Services without adversely impacting Service Levels or Provider’s ability or costs to perform such Services. If acquisition or divestment support will require the use of
different or additional resources beyond that which Provider is then using to provide the Services in accordance with the Service Levels, then Provider may request that Company execute an Order with respect to such acquisition or divestment support
services and pay Provider’s reasonable incremental costs in accordance with Article 5 above. 
  

					
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	10.	BENCHMARKING 

 10.1 Generally. Company shall have the right
to conduct benchmarking exercises in accordance with this Article 10 to measure Provider’s performance in relation to the Services and the Services Costs associated with the Services to determine if the Provider’s performance
matches, and the Services Costs, are in line with Best Practices. A benchmarking exercise may be initiated by the Company by giving not less than thirty (30) days notice to Provider. Company may elect to have benchmarking conducted in relation
to any or all of the Services, including any particular Services Categories, Subcontracts and/or Supply Contracts (a “Benchmark Category”). The Benchmarker shall not be a Provider Competitor. Each Party shall provide cooperation and
assistance to facilitate the benchmarking process, including making staff and all relevant information and materials available to the Benchmarker. Provider shall have the right to give input into the selection of the Benchmarker. 
 10.2 Process. Unless agreed otherwise by the Parties, the Benchmarker shall base its assessment on the data from the twelve (12) month period immediately
proceeding initiation of the benchmarking process, provided that for Subcontracts and Supply Contracts, the Benchmarker also can take into account the then prevailing market terms and practices for similar types of contracts. The Parties shall
ensure that benchmarking exercises are carried out in a way that causes no disturbance to the performance of the Services or to the Company’s underlying business. 
 10.3 Tasks. For each Benchmark Category that is the subject of benchmarking, the Benchmarker shall perform at least the tasks described below. The Benchmarker may decide in its reasonable discretion how those
tasks are to be carried out. The Benchmarker shall: 
  

	 	(i)	Compare the price of Comparable Services with the then-current Services Costs for each Benchmark Category against which benchmarking is undertaken; 

  

	 	(ii)	Form a view on whether Provider has reasonably availed itself of all cost effective productivity improvements available through technology advances or otherwise since the Effective
Date (or Order Effective Date, as applicable) or the last preceding benchmarking exercise involving the relevant Benchmark Category, whichever is later; 

  

	 	(iii)	Recommend appropriate practices for adoption by the Parties for the conduct of the Services; 

  

	 	(iv)	Present a full report of its findings to Provider and the Company jointly; and 

  

	 	(v)	Be required to comply with the reasonable confidentiality requirements of both Parties. 

 10.4 Fees. [*] shall pay the Benchmarker’s fees and other out of pocket expenses incurred by the Benchmarker in connection with the benchmarking process. Provider may utilize Direct Provider
Labor in connection with its coordination and cooperation with the Benchmarker, and otherwise each Party shall bear its own internal costs and expenses associated with the benchmarking. 
 10.5 Findings. The Benchmarker shall issue its initial report to the Parties within one-hundred-and-twenty (120) days of commencement of the requested benchmarking exercise. In conducting the benchmarking,
the Benchmarker shall normalize the data used to perform the benchmarking to accommodate, as appropriate, differences in volume of services, scope of services, service levels, financing or payment streams, and other pertinent factors. Each Party
shall be provided a reasonable opportunity (but no more than thirty (30) days) to review, comment on and request changes in the Benchmarker’s proposed findings. Within ten (10) days of receiving any comments from the Parties, the
Benchmarker shall issue a final report of its findings and conclusions. The Parties shall promptly meet to discuss the Benchmarker’s findings. 
  

					
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	Note: Redacted portions have been marked with [*]. The redacted portions are subject to a request for confidential treatment that has been submitted to the Securities and Exchange
Commission.

 10.6 Adjustment of Services Costs. If the benchmarking shows that the Services Costs for the relevant Benchmark
Category are higher than the prevailing general market rate of charges for Comparable Services, [*]. Provider shall not be entitled to any increase in Services Costs or any reduction in the Service Levels, scope or standards of the
Services in connection with the benchmarking unless otherwise agreed in writing by Company.  
 10.7 Service Levels. If the benchmarking shows
that Provider’s performance of the Services is at a level below Best Practice and without prejudice to any other right or remedy of Company, Company shall reasonably assist Provider in determining the causes of the variance, and
[*]. The action plan may include, where appropriate, providing additional staffing, increasing levels of training, upgrading equipment and software, introducing new and improved tools and improving processes, and rebidding and/or
replacing Subcontracts or Supply Contracts (including, without limitation, any Subcontracts or Supply Contracts that are performed by an Affiliate of Provider). To the extent that the causes of the variance arise as a result of technology decisions
reached jointly by the Parties and Provider is using such technology as intended by the Parties, Provider shall not be obliged to mitigate or reduce the variance. 
 10.8 Termination. If Provider fails to improve deficient Service Levels to meet Best Practices or reduce Services Costs to eliminate any above-market variance in accordance with this Article 10, and without prejudice to any
other rights or remedy of Company, Company shall be entitled to terminate this Agreement or all or some of the Services with respect to the deficient or above-market Benchmark Category, and no termination fee or charge shall apply with respect to
such termination. 
 10.9 Market Reviews. Independently from the benchmarking process set forth in this Article 10, Company may, from time
to time, at its costs and expense, carry out market review exercises with the objective of assessing whether Company is obtaining the best value in respect of the Services Costs for some or all of the Services. Company, at its cost and expense, may
appoint third parties to assist with such market reviews exercises on its behalf. 
 10.10 Access. Provider agrees that the relevant third parties
shall have the right to access all materials and information that Company is entitled pursuant to this Agreement and any relevant Order solely for the purposes set forth in this Article 10 provided that such relevant third parties will agree
in writing to be bound by confidentiality obligations substantially similar to those contained in Article 27 of this Agreement. Provider shall, on request, provide Company and such third parties with such assistance and information as
they may reasonably require to facilitate the conduct of the benchmarking and/or market review exercise and the achievement of the market review objectives. 
  

	11.	DELIVERABLES AND OWNERSHIP 

 11.1 Deliverables. Provider
shall furnish to Company any Deliverables set forth in this Agreement and any Orders, and shall ensure that any such Deliverables meet the requirements and specifications set forth in this Agreement or the applicable Order. Unless otherwise set
forth herein or in an Order, all Deliverables that use units of measurement shall use standard English units, and all Deliverables shall be written in the English language. Originals and copies of Deliverables shall be of the highest quality,
legible, clear, full form and readable. 
 11.2 Ownership of Work Product. Company shall be the exclusive owner of all right, title, and interest in
and to all Work Product and all Intellectual Property rights therein (excluding Provider Intellectual Property Rights), and Provider hereby assigns to Company all right, title, and interest therein. Provider shall, at request of Company, perform any
acts that Company may reasonably deem necessary or desirable to evidence or confirm Company’s ownership interest in the Work Product and Intellectual Property rights therein, including but not limited to making further written assignments in a
form determined by Company. 
 11.3 Transfer of Work Product. Unless otherwise requested by Company, Provider shall transfer to Company all Work
Product and any reproductions thereof immediately upon (i) completion of the 

  

					
	Confidential	 	17	 	
	
	Note: Redacted portions have been marked with [*]. The redacted portions are subject to a request for confidential treatment that has been submitted to the Securities and Exchange
Commission.

 
Services to be performed under each Order or earlier termination of such Order, (ii) termination of this Agreement, or
(iii) five (5) business days after Company’s written request. Provider shall not use Work Product for any purposes other than fulfilling Provider’s obligations hereunder without Company’s prior written consent.

 11.4 Review of Deliverables. Concurrent with furnishing the Deliverables (in either draft or final form) to Company, Provider shall provide Company
with such information as may be required or necessary and in such degree of detail to allow Company to review and approve such Deliverables on a fully informed basis. Such review and approval of Deliverables by Company shall not relieve Provider of
any of its obligations or liabilities hereunder. No Deliverables, the final forms of which have been approved by Company, shall be changed or revised by the Provider without the written consent of Company. 
 11.5 Inspection and Testing. Unless expressly provided otherwise in an Order, the procedure provided under this Section 11.5 shall apply to the
acceptance of all Deliverables (i) that include computer software or Equipment, or (ii) for which the applicable Order specifies inspection and testing. Company shall test all Deliverables against the acceptance criteria set forth herein
or in the applicable Order. If, in Company’s reasonable judgment, a Deliverable does not meet such criteria, Company shall notify Provider in writing of the deficiency in such Deliverable, and Provider shall promptly, at its expense and in no
event more than twenty (20) days after receiving notice of such deficiency, cure any such deficiencies and provide a corrected Deliverable to Company, or in the event that no cure is possible within such twenty (20) day period, Provider
shall provide to Company a plan and schedule for curing such deficiencies. Any corrected Deliverable shall be subject to the same acceptance criteria and be evaluated for acceptance by Company as if it were the original Deliverable, provided that
Provider shall have no more than two (2) opportunities to correct the defects in any Deliverable. After such two (2) opportunities to correct the defects, Company shall have the option (i) of having Provider continue to correct such
defect under the terms of this Section 11.5, or (ii) to finally reject such Deliverable, to receive its money back for such Deliverable, and to terminate, at its option, the applicable portion or the entire Agreement or the relevant
Order related to the defective Deliverable, [*]. The foregoing remedy is in addition to Company’s other rights and remedies at law and under this Agreement. 
 11.6 Obligations of Provider Personnel. Provider shall ensure, at no cost to Company, that all of Provider Personnel who contribute to any Work Product have agreed in advance in writing that such contributions
are assigned to Company or Provider. If any agreements with any of Provider Personnel provide such rights to Provider rather than to Company, Company shall acquire all ownership rights therein pursuant to Section 11.2. 
 11.7 Provider Intellectual Property Rights; License of Provider Intellectual Property Rights. Company acknowledges and agrees that Provider is the exclusive owner
of all right, title and interest in and to all Provider Intellectual Property Rights, and except as otherwise provided herein, no rights in or to the Provider Intellectual Property Rights are granted, transferred or conveyed to Company on account of
this Agreement. During the Term of this Agreement and thereafter as provided in Section 18.6, Provider hereby grants to Company an irrevocable, non-exclusive, worldwide (if applicable), royalty-free license under all Provider
Intellectual Property Rights included in or necessary to utilize the Work Product, to prepare, compile, install, make, use, execute, access, reproduce, modify and/or adapt the Provider Intellectual Property Rights in order for Company to utilize the
Work Product as contemplated by this Agreement. The license granted hereunder shall include the right of Company to grant to Company Affiliates, agents and representatives the right to do any of the foregoing, provided that such Affiliates, agents
and representatives use the Provider Intellectual Property Rights solely in connection with the use of the Work Product as contemplated by this Agreement. 
 11.8 [Intentionally Omitted] 
 11.9 License Rights in Bankruptcy. All rights and licenses granted under this Section 11.9 by
Provider to Company are, and shall otherwise be deemed to be, for purposes of Section 365(n) of the United States Bankruptcy Code (“Code”), licenses to rights to “intellectual property” as defined under the
Code. The Parties agree that Company shall retain and may fully exercise all of its rights and elections under 

  

					
	Confidential	 	18	 	
	
	Note: Redacted portions have been marked with [*]. The redacted portions are subject to a request for confidential treatment that has been submitted to the Securities and Exchange
Commission.

 
the Code. The Parties further agree that, in the event of the commencement of bankruptcy proceedings by or against Provider under the Code, Company shall be
entitled to retain all of its rights under this Section 11.9, including any licenses granted hereunder. 
  

	12.	RELATIONSHIP BETWEEN COMPANY AND PROVIDER 

 12.1 Account
Executives. Each Party shall designate an account executive (each an “Account Executive”) who shall serve as the primary representative to the other Party with respect to performance of such Party under this Agreement and who
shall be considered Key Provider Personnel hereunder. The Account Executive for each Party shall (i) have overall responsibility for managing and coordinating the performance of such Party’s obligations under this Agreement, and
(ii) be authorized to act for and on behalf of such Party with respect to all matters relating to this Agreement in coordination with such Party’s other relevant Personnel. Before designating an employee as an Account Executive, Provider
shall notify Company of the proposed assignment, shall introduce the individual to appropriate representatives of Company, and shall provide Company with a resume and such other information regarding the individual that may be reasonably requested
by Company. Provider’s appointment or replacement of any Account Executive shall be subject to Company’s prior consent. The Account Executives of each Party and other Key Provider Personnel as of the Effective Date are as set forth in
Schedule 7 (Key Provider Personnel) of Exhibit A (Description of Services) or in the applicable Order. [*] 
 12.2
Program Managers. Each Party shall designate a project manager for the Services to be performed under this Agreement and each Order (each a “Program Manager”). Each Program Manager shall be deemed to have authority to issue,
execute, grant or provide any approvals, requests, notices or other communications required hereunder or requested by the other Party in connection with the Services under this Agreement or such Order. 
 12.3 [Intentionally Omitted] 
 12.4 Policies and Procedures Guide.
Provider shall develop within 90 days after the Effective Date and maintain a policies and procedures guide (the “Policies and Procedures Guide”) that describes how Provider shall perform and deliver the Services under this
Agreement and each Order, the Equipment and software being used, and the documentation (e.g., operations manuals, user guides, specifications) that provides further details of such activities. The Policies and Procedures Guide shall describe the
activities Provider proposes to undertake in order to provide the Services, including the direction, supervision, monitoring, staffing, response times, controls, reporting, communications, planning and oversight activities normally undertaken to
provide services of the type Provider is to provide under this Agreement. The Policies and Procedures Guide also shall include descriptions of the acceptance testing and quality assurance procedures approved by Company, Provider’s problem
management and escalation procedures, process for the delivery of all applicable Services, prioritization procedures and any specific reporting requirements for the particular Services, and the other standards and procedures of Provider pertinent to
Company’s interaction with Provider in obtaining the Services. The Policies and Procedures Guide shall be suitable for use by Company to understand the Services. 
 12.5 Development of Guide. Within sixty (60) days after the Effective Date and each Order Effective Date, Provider shall deliver an initial draft Policies and Procedures Guide to Company for Company’s
review, comment and approval. Company shall provide its approval or comments and suggestions within thirty (30) days of receipt of the draft Policies and Procedures Guide. Within thirty (30) days of receiving Company’s comments or
suggestions, Provider shall incorporate such comments or suggestions and re-submit the Policies and Procedures Guide for Company’s approval. Throughout the Term and Termination Assistance Period, Provider shall be responsible for updating the
Policies and Procedures Guide to ensure that it remains current and reflects any changes to the Services, operations and business processes, and any changes or updates to the Policies and Procedures Guide shall be provided to Company for review,
comment and approval. 
 12.6 Conflicts. Provider shall perform the Services in accordance with the Policies and Procedures Guide, provided however
that until such time as the Policies and Procedures Guide is developed, 

  

					
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	Note: Redacted portions have been marked with [*]. The redacted portions are subject to a request for confidential treatment that has been submitted to the Securities and Exchange
Commission.

 
Provider shall provide the Services in accordance with the policies and procedures being followed by Company immediately prior to the Effective Date and each
applicable Order Effective Date. In the event of a conflict between the provisions of this Agreement and the Policies and Procedures Guide, the provisions of this Agreement shall control. 
 12.7 Knowledge Transfer. Upon the request of Company, Provider shall provide Company, at no additional cost, with training of its Personnel on Provider’s
premises for the purpose of transferring to Company the know-how of Provider used to perform the Services. Such knowledge transfer may be accomplished using Direct Provider Labor and available resources dedicated to the Services provided that the
use of such persons and resources does not adversely affect the performance of the Services. The knowledge transfer shall be sufficient to enable Company to perform the Services in the event of a Step-In or other event resulting in transfer of the
Services to Company. Any such transfer of knowledge shall not act as a transfer of any Provider Intellectual Property Rights except as described in Article 11 of this Agreement; provided that such transfer shall include all know-how for
purposes of using the licenses granted pursuant to Article 11. 
 12.8 Transferred Employees. In the event the Transition Plan or an Order
provides for the transfer of Company employees to Provider, Provider shall comply with the provisions thereof with respect to providing offers of employment to such Company employees that Provider intends to hire for the purposes of providing the
Services after the Effective Date or the applicable Order Effective Date (“Transferred Employees”). Such Transferred Employees will be covered by the provisions of Section 13.11 of this Agreement. Accordingly, Provider
shall treat the Transferred Employees as its employees for all purposes, including tax reporting and employee benefits, and that Provider will obtain from each Transferred Employee a signed statement in a form acceptable to Company
[*]. Furthermore, Provider agrees that it will supervise, pay, evaluate, and set the hours of work of the Transferred Employees pursuant to the terms hereof or of the Order, provide the Transferred Employees with all necessary tools,
supplies, offices and equipment, and provide training to the Transferred Employees on how to perform their services. 
 12.9 [Intentionally Omitted]

 12.10 Qualified Personnel. Provider shall hire, train, assign and retain an adequate number of Personnel, including without limitation supervisory
and administrative staff, to perform its obligations under this Agreement and each Order at all times, including periods during which Personnel actively deployed in the provision of Services are unable to provide the Services due to sickness,
holiday or any other such absence. All Provider Personnel shall be competent, qualified, trained, honest, trustworthy, reliable and non-violent, and shall not pose a risk of serious harm to others. 
 12.11 Designation of Key Provider Personnel. Company and Provider may designate certain employees of Provider as key employees (“Key Provider
Personnel”), who shall be dedicated to Company’s account (and stationed at locations approved by Company) as regards the Services to be performed under this Agreement and an applicable Order, which Key Provider Personnel shall be named
in Schedule 7 (Key Provider Personnel) of Exhibit A (Description of Services) or the relevant Order, if known. Provider shall cause each of the Key Provider Personnel to devote substantially full time and effort to the provision
of the Services for at least [*] from the date that each such Key Provider Personnel assumes the respective responsibilities. Before designating an employee as, or replacing, a Key Provider Personnel, Provider shall notify Company of
the proposed assignment within at least thirty (30) days prior to such planned designation, shall introduce the individual to appropriate representatives of Company, and shall provide Company with a résumé and other information
regarding the individual that may be reasonably requested by Company. Provider’s appointment of any Key Provider Personnel shall be subject to Company’s prior written consent. If Company objects in good faith to the proposed designation of
any Key Provider Personnel, the Parties shall attempt to resolve Company’s concerns to the reasonable satisfaction of Company. If the Parties have not been able to resolve Company’s concerns within five (5) business days, Provider
shall (1) not assign the individual to that position and (2) propose to Company the assignment of another individual of suitable ability and qualifications. 
  

					
	Confidential	 	20	 	
	
	Note: Redacted portions have been marked with [*]. The redacted portions are subject to a request for confidential treatment that has been submitted to the Securities and Exchange
Commission.

 12.12 Replacement or Reassignment of Key Provider Personnel. Except as a result of voluntary resignation or a
termination For Cause (as used in this Agreement with respect to termination of Personnel “For Cause” shall mean theft, fraud, violence, harassment, discrimination, gross misconduct, or the like), Provider shall not, without
obtaining a prior written approval from Company, reassign or replace any Key Provider Personnel for the shorter of (i) the duration of the Services to be performed under this Agreement or the relevant Order, or (ii) [*] after
designation as a Key Provider Personnel. Thereafter, Provider may only replace or reassign a Key Provider Personnel after [*] notice to Company, except: (i) upon written consent of Company, not to be unreasonably withheld;
(ii) upon a Key Provider Personnel’s voluntary resignation from Provider; (iii) upon the dismissal of a Key Provider Personnel by Provider; or (iv) upon the inability of a Key Provider Personnel to work due to sickness or
disability. 
 In the event that any Key Provider Personnel is reassigned or otherwise removed from performing certain Services before such Services are
completed, Provider shall as soon as practicable, and subject to the approval of Company, assign an appropriate replacement who shall thereafter be designated as a Key Provider Personnel. In order to ensure a smooth transition between such Key
Provider Personnel, Company and Provider shall jointly agree (such agreement not to be unreasonably withheld, conditioned or delayed by either Party) upon an appropriate overlap period during which both the Key Provider Personnel being reassigned or
removed and the replacement Key Provider Personnel are assigned to support the provision of Services under this Agreement or the relevant Order(s). Unless otherwise agreed by the Parties, under no circumstances shall Provider transfer or remove more
than ten percent (10%) of the Key Provider Personnel in any given six (6) month period other than terminations For Cause. 
 12.13 Special
Replacement or Reassignment. In the event that Provider desires to replace or reassign a Key Provider Personnel for reasons other than those set forth in Section 12.12, Provider may make a written request to the Company Program
Manager, who shall review such request on a case-by-case basis. In the event that the Company Program Manager reasonably declines Provider’s request, Provider shall have the right to request that the issue be considered by representatives
nominated by Company and Provider, who shall meet in good faith to discuss the request and resolve the matter, taking into account such factors as project impact, availability of alternate resources, and costs. In the event that such representatives
are unable to resolve the matter, the determination of Company shall govern. 
 12.14 Staffing Issues. During the first twelve (12) months after
the Effective Date, Provider shall give written notice to Company (a “Staffing Notice”) within ten (10) days of the occurrence of either of the following: (i) more than ten percent (10%) of the employees (including
all full-time and part-time employees) of Provider that have performed, or are scheduled to perform, Services either have (a) resigned their positions with Provider, (b) had their employment or engagement with Provider terminated by
Provider, or (c) been assigned or proposed to be assigned by Provider to work for or on behalf of other clients of Provider; or (ii) Provider does not reasonably anticipate that it will have a sufficient number of qualified employees to
complete the Services in a timely manner and consistent with the requirements of this Agreement. In the event such staffing issue occurs, Provider shall not be relieved from its obligations to provide the Services hereunder, and no later than ten
(10) days after Provider provides such Staffing Notice, Provider shall develop and submit to Company for Company’s approval an action plan (a “Staffing Action Plan”) pursuant to which Provider shall retain a sufficient
number of new employees, or otherwise assign employees from other divisions or Affiliates of Provider, to perform Services and to cause the Services to be completed in a timely manner and consistent with the requirements of this Agreement. Upon
Company’s approval of a Staffing Action Plan, Provider shall promptly and diligently implement such Company-approved Staffing Action Plan. Upon Company’s request and otherwise on a monthly basis after Company’s approval of a Staffing
Action Plan, Provider shall provide Company with a written report describing any changes in Provider’s staffing of the Services and any other facts and circumstances which may impact Provider’s ability to provide adequate staffing to
timely perform the Services in a manner consistent with the requirements of this Agreement. 
 12.15 Assignment to Company Competitors. Provider shall
not assign an individual filling a Key Provider Personnel to the account of any Company Competitor without Company’s prior written consent (1) while such individual is assigned to Company’s account, and (2) for a period of
[*] following the date that such individual is removed from or ceases to provide services in connection with Company’s account. 

  

					
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	Note: Redacted portions have been marked with [*]. The redacted portions are subject to a request for confidential treatment that has been submitted to the Securities and Exchange
Commission.

 
In the event an individual filling a Key Provider Personnel position voluntarily resigns from the employ of, or is involuntarily terminated by, Provider,
Provider shall not be obligated to actively prevent such individual from becoming employed by a Company Competitor at any period of time thereafter. Should this Section 12.15 be declared unenforceable or invalid by a court with
jurisdiction, on the basis that it exceeds statutorily required territorial or time limits on extensions of obligation not to compete, such a declaration will render this provision invalid only as it relates to the excess over what is allowed under
Applicable Law. The provision will be deemed amended to comply with statutorily required limits. 
 12.16 Project Staff. Provider shall provide
Company with notice prior to replacing any member of Provider Personnel assigned to perform the Services (“Project Staff”), and shall provide Company with immediate notice in the event any member of the Project Staff is replaced.
Company reserves the right to review the qualifications of Project Staff. Provider shall use commercially reasonable efforts to maintain a stable Project Staff and shall replace Project Staff in a manner to prevent any material impact on the
provision of Services. Provider acknowledges that all Personnel assigned to perform Services shall be required to execute all documents required under the Company Policies, including, but not limited to, the documents listed in Exhibit I
(Company Standard Operating Procedures) and Exhibit J (Company Standard Policies). In addition, prior to performing Services, Provider shall cause its Provider Personnel to execute Company’s Temporary Worker/Contractor Orientation
Materials, including, but not limited to, the Assignment Guidelines, Non-Employee Information Security Agreement; Proprietary Information and Inventions Agreement for Non-Employees; List of Inventions and Works; Mutual Agreement to Arbitrate Claims;
and Harassment/Discrimination Policy, set forth as Exhibit B (Company’s Temporary Worker/Contractor Orientation Materials). 
 12.17
Company Request for Replacement. Company shall have the right to request in good faith that Provider remove any Key Provider Personnel or other Project Staff for any reason that does not violate Law. Such request shall be in writing, state
Company’s basis for requesting the removal of the Key Provider Personnel or other Project Staff, and be reviewed by Provider’s Program Manager and Company’s Program Manager to develop a mutually agreeable resolution. With respect to
Key Provider Personnel, other Personnel or other Project Staff working on Company premises, (i) if requested by Company, Provider shall immediately remove such individual from Company premises pending resolution of the request and (ii) in
the event that the parties are unable to develop a mutually agreeable resolution, Provider shall permanently remove such Key Provider Personnel or other Project Staff from the performance of the Services on Company premises in accordance with the
Company’s direction. Provider shall replace any Key Provider Personnel or Project Staff removed hereunder as soon as reasonably possible, with replacement Personnel approved by Company, which approval will not be unreasonably withheld or
delayed. Nothing in this Section 12.17 shall operate or be construed to limit Provider’s responsibility for the acts or omissions of Provider Personnel, or be construed as joint employment. 
 12.18 Review Meetings and Progress Reports. Upon the request of Company’s Program Manager, each Party’s Program Manager, as well as appropriate
additional Personnel involved in the performance of Services, shall meet at a location designated by Company, or at Company’s option, conduct a telephone conference call or web conference meeting, to discuss the Services. Unless otherwise
agreed by Company, in order to facilitate proper management of Services under this Agreement and the applicable Order, Provider shall, at each such meeting (or if no meeting is solicited by Company, at least once each month during the Term and
Termination Assistance Period), provide Company with a written status report in which Provider identifies any problem or circumstance encountered by Provider, or which Provider gained knowledge of during the period since the last such status report,
that (i) may prevent or tend to prevent Provider from completing any of its obligations hereunder or under such Order, or (ii) may cause or tend to cause Provider to generate Services Costs in excess of those previously agreed by the
Parties. If applicable, Provider shall identify the amount of excess Services Costs, if any, and the cause of any identified problem or circumstance and steps taken or proposed to be taken by Provider to remedy the problem or circumstance; provided,
however, that Company shall not be billed or liable for any such excess Services Costs incurred by Provider without the prior written approval of Company in accordance with the Change Control Process. 
  

					
	Confidential	 	22	 	

 12.19 Visits. Provider Personnel, including, but not limited to, Provider’s Program Managers as requested by
Company, shall, to the extent deemed necessary by Provider to provide direct support of the existing Services, at the expense of Company, visit any of Company’s locations or the sites of third-party consultants or service providers of Company
to discuss the Services. Company shall be obligated to reimburse travel expenses incurred in connection with such visits only to the extent such expenses are reimbursable under Provider’s travel policies and Company’s travel policies, and
then only to the extent of the lesser of the aggregate amounts reimbursable under each policy. Company or its representative may at any time elect, at Company’s expense and upon reasonable notice to Provider, to visit Provider’s facilities
at which Services are being performed. Provider shall make available specialists as designated by Company and Provider to discuss the Services. 
 12.20
Cooperation with Third Party Suppliers. Provider has been advised and acknowledges that, under separate agreements, Company may retain other providers or suppliers to perform certain services related to those Services to be performed
hereunder by Provider (individually, a “Third Party Supplier” and collectively, “Third Party Suppliers”). Provider shall coordinate its performance hereunder with the services of Third Party Suppliers so as to
facilitate successful completion of each project or performance of the Services, including without limitation providing cooperation and information to and attending meetings with such other suppliers to enable the successful implementation of their
services. To the extent expressly included in Provider’s obligations hereunder or under an Order or reasonably inferable therefrom, Provider shall (i) coordinate the Services with such other services as though such other services were
performed by Provider, (ii) cooperate with Company and Third Party Suppliers so as to allow such Third Party Suppliers to provide any services (including services similar to the Services) or products in an integrated and seamless manner without
disruption to Company’s business or the Company Facilities, and (iii) to the extent included as part of the Services, manage the performance of Third Party Suppliers under the applicable agreements with Third Party Suppliers. Provider
shall immediately notify Company when an act or omission of a Third Party Supplier may cause a problem or delay in Provider providing the Services and Provider shall cooperate with Company to prevent or circumvent such problem or delay. 

12.21 Software and Hardware Verification. Unless otherwise set forth in an Order, (i) within thirty (30) days of the Effective Date or an Order
Effective Date, or (ii) for new software or hardware used to provide Services, prior to implementing use of such new software or hardware, Provider shall verify that all software and hardware of Provider that will be used by Provider to provide
the Services, and all interconnections to Company systems and networks, operate in accordance with their specifications and intended functions in a reliable manner. In the event that during such verification Provider finds any nonconformities,
Provider shall provide to Company within the respective period specified in clause (i) or (ii) above, an action plan to eliminate such nonconformities within ninety (90) days. Prior to using any other software or hardware to provide
the Services or creating new interconnections with Company systems and networks, Provider shall verify that such software, hardware or interconnection operates in accordance with its specifications and intended functions in a reliable manner. Prior
to testing any such software, hardware or interconnections, Provider shall document the testing protocols to be used and submit such testing protocols to Company to obtain written approval thereof. 
 12.22 Continuous Improvement and Best Practices. Provider shall: (i) on a continuous basis, as part of its total quality management process, seek to improve
the quality, pricing and technology available to Company in connection with the Services; (ii) seek to identify and apply proven techniques and tools from other installations within its operations that Provider and Company agree would benefit
Company either operationally or financially; (iii) use commercially reasonable efforts to advise Company of any new developments relating to the Services; and (iv) upon Company’s request, at a mutually agreeable price, assist in the
evaluation and testing of such developments in connection with the performance of the Services. Without limiting the foregoing, on the request of Company, Provider shall (i) report to Company on any of the foregoing, and (ii) inform
Company of any new products, processes, trends and directions of which Provider is aware, that may be relevant to Company’s business. 
  

					
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 12.23 Transitioned Personnel. 
  

	 	(i)	Affected Employees. 

 Provider shall offer
employment to those Affected Employees who Provider intends to hire and who are not in ARD Countries. The terms for such offers of employment and for employment of the Affected Employees shall be as set forth in Schedule 8 (Affected
Personnel) to Exhibit A (Description of Services) or the applicable Order and shall comply with the requirements set forth in Exhibit F (Human Resources Provisions). Provider shall treat the Transferred Employees as its employees for
all purposes, including tax reporting and employee benefits, and that Provider will obtain from each Transferred Employee a signed statement in a form acceptable to Company [*]. Provider shall supervise, pay, evaluate, discipline and set the
hours of work of the Transitioned Employees, provide the Transitioned Employees with all necessary tools, supplies, offices and equipment, and provide training to the Transitioned Employees on how to perform their services. 
  

	 	(ii)	Affected Contractors. 

 The Company contractor
agreements identified in Schedule 10 (Assigned and Managed Contracts; Company Contractor Agreements) to Exhibit A (Description of Services) or the applicable Order (the “Company Contractor Agreements”) shall be either
assumed by Provider or terminated or allowed to expire as provided in the Transition Plan. Company shall be responsible for the costs, charges and fees associated with such actions. If requested by Company, Provider shall use commercially reasonable
efforts to continue to use those Personnel of Affected Contractors identified in Schedule 8 (Affected Personnel) to Exhibit A (Description of Services) or the applicable Order as “Key Company Contractor Personnel” to perform
the Services for the period specified therein. 
  

	 	(iii)	Critical Affected Personnel/Key Transferred Employees. 

 Provider acknowledges that certain of the Affected Personnel are Affected Personnel who Company believes are critical to Provider in providing the Services (“Critical Affected Personnel”). The Critical Affected Personnel
shall be identified by Company pursuant to the timing specified in Exhibit F (Human Resources Provisions) or, if applicable, for those Critical Affected Personnel identified in an Order, specified in that Order. Provider shall provide offers
of employment to the Critical Affected Personnel and use good faith efforts to retain the Critical Affect Personnel in accordance with the terms and requirements of Exhibit F (Human Resources Provisions). During the first [*]
following the commencement of this Agreement or the applicable Order, Provider shall use the Critical Affected Personnel who become Transferred Employees (the “Key Transferred Employees”) to provide Services and shall not,
without meeting the terms of this Section 12.23(iii), do the following: (A) terminate, except For Cause, the employment of any Critical Affected Personnel who become employees of Provider or (B) transfer, relocate or reassign
any Key Transferred Employees unless such transfer, relocation or reassignment is initially requested by such Key Transferred Employee. In the event Provider intends to terminate, transfer, or reassign any Key Transferred Employees during the
initial [*] following the applicable employment effective date, Provider will (1) provide timely notice to Company of this termination, transfer, or reassignment, and (2) give due consideration to Company’s concerns with
respect to the impact of terminating, transferring, or reassigning unless such relocation, transfer or reassignment is initially requested by such Key Transferred Employee prior to so terminating, transferring, or reassigning any such person.

  

					
	Confidential	 	24	 	
	
	Note: Redacted portions have been marked with [*]. The redacted portions are subject to a request for confidential treatment that has been submitted to the Securities and Exchange
Commission.

	 	(iv)	Acquired Rights Directive. 

 In accordance with its
obligations under local legislation implementing ARD Laws, any relevant collective bargaining agreements and other Applicable Laws, Provider shall provide to Company in writing such information as is necessary so as to enable Company to carry out in
good time its obligations to inform and consult under ARD Laws, and any other Applicable Laws. It is the Parties’ intention that ARD Laws shall apply to each of the Affected Employees in ARD Countries (“ARD Affected
Employees”), that the time of transfer under ARD Laws be the date of hire by Provider, and that the contract of employment between Company and each of the ARD Affected Employees shall have effect on and from the date of hire by Provider as
if originally made between each such ARD Affected Employee and Provider. Provider shall comply with ARD Laws (and other Applicable Laws) with respect to the ARD Affected Employees before, on and after the date of hire by Provider. To the extent that
any entitlement under a ARD Affected Employee’s contract of employment or ancillary employment rights is not automatically transferred to Provider under ARD Laws (e.g., certain occupational pension rights in the United Kingdom), then
[*]. 
  

	 	(v)	Provider may not transfer the employment of the Transitioned Employees to any third party who is not performing any of the Services and shall during the Term remain the employer of
the Transitioned Employees except only to the extent: (1) that ARD Laws shall apply to transfer the employment of any Transitioned Employees to any third party, Subcontractor or Supplier which, subject to the terms of this Agreement, Provider
engages to perform any of the Services; or (2) that Provider shall terminate the employment of any Transitioned Employees for misconduct, incapability, or economic reasons. 

  

	 	(vi)	If ARD Laws do not operate to transfer to Provider any ARD Affected Employee who is working in an ARD Country, Provider shall within fourteen (14) days of becoming aware that
such ARD Affected Employee has not transferred make to the ARD Affected Employee an offer of employment on such terms that would have applied had the ARD Affected Employee transferred to Provider under ARD Laws, such offer to remain open for a
period of twenty-eight (28) days. Provider shall reimburse Company for all costs of employing such ARD Affected Employee during the period up to and including the earlier of the date on which he or she commences employment with Provider and the
date on which the offer of employment to be made by Provider expires. 

  

	 	(vii)	The parties will set forth additional applicable provisions related to ARD Countries, ARD Laws, or ARD Affected Employees in an Order, including without limitation Service Costs and
costs associated with the transfer or non-transfer of ARD Affected Employees. 

  

	13.	SUBCONTRACTING AND RESPONSIBILITY FOR PERSONNEL 

 13.1
Subcontractors. Any subcontracting in connection with this Agreement shall be pursuant to an appropriate written agreement (a “Subcontract”) between Provider and such subcontractor (each, a “Subcontractor”)
and shall include provisions that meet or exceed the requirements of this Agreement and that are relevant to the Services subject to such Subcontract. Provider shall not enter into any Major Subcontract except in compliance with
Section 13.8 below. Additionally, Provider must obtain Company’s prior written consent, not to be unreasonably withheld or delayed, if Provider plans to self-perform or have Provider’s Affiliate perform any of the Services
including without limitation Services that have previously been performed by Provider’s Subcontractors or Third Party Suppliers. Each Subcontract shall identify Company as an intended third party beneficiary that may enforce any
confidentiality, warranty and similar rights under such Subcontract. Each Subcontract shall require the Subcontractor, at no cost to Company, to correct such Subcontractor’s performance not meeting the requirements of the Subcontract. All
Subcontracts shall be for a term not to exceed the period for which Services are to be provided to Company and shall be terminable without cause at Provider’s election upon no more than ninety (90)

  

					
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	Note: Redacted portions have been marked with [*]. The redacted portions are subject to a request for confidential treatment that has been submitted to the Securities and Exchange
Commission.

 
days notice without termination penalty or charge. Company shall not be obligated to reimburse Provider for any termination penalty or charge incurred by
Provider under a Subcontract except to the extent that, prior to entering into such Subcontract, Provider disclosed to and Company agreed in writing to reimburse therefor (any termination fees so agreed by Company, an “Approved Subcontract
Termination Fee”). Company shall only be obligated to reimburse Provider for Approved Subcontract Termination Fees to the extent such are actually incurred and paid by Provider. Company shall have the right, at any time, to negotiate and
contract directly with any subcontractor for any goods or services, including without limitation those to be provided hereunder, provided that any actual modification of the Services shall be made in accordance with the Change Control Process. If
requested by Company, Provider shall promptly provide a copy of any Major Subcontracts or Subcontracts for amounts in excess of $20,000 to Company within ten (10) days after such request. 
 13.2 Certain Subcontractors. Company shall have the right to pre-approve Subcontractors for Major Subcontracts, and Company may reject such proposed
Subcontractors in Company’s good faith business judgment. The Subcontractors listed on Schedule 13 to Exhibit A (Approved Major Subcontracts) are approved for the initial Services indicated on such Schedule, provided that Company
may modify such pre-approved list of Subcontractors from time to time with respect to future Subcontracts. Company shall have the right to specify the use by Provider of certain Subcontractors. Such specification by Company shall not (i) create
any liability for Company to any Subcontractor or privity of contract between Company and any such Subcontractor, or (ii) relieve Provider of its obligations hereunder or constitute a representation or endorsement by Company that such
Subcontractor is qualified or capable to perform. Provider shall not substitute or replace any Subcontractor approved or specified by Company if Company objects in good faith to such substitution or replacement. If (A) Provider determines that
Company’s specification of a Subcontractor materially increases the costs of the Services or (B) such Subcontractor does not agree to Subcontract terms and conditions required by this Agreement, then a Change shall be determined in
accordance with the Change Control Process set forth in Article 5. Provider’s failure to request a Change prior execution of the applicable Subcontract shall constitute a waiver of any right to seek a modification of the Services
Costs or Provider’s Shared Savings payable under this Agreement in connection with the applicable Subcontract. 
 13.3 Supply Contracts/Equipment
Leases. Provider shall identify to Company Supply Contracts that are required to perform the Services in accordance with this Agreement or the applicable Order and the Service Levels. Such Supply Contracts shall be entered into by Company or
Provider as determined by Company in its reasonable discretion. Company shall have the right to specify the use by Provider of certain Third Party Suppliers. Such specification by Company shall not (i) create any liability for Company to any
Third Party Suppliers or privity of contract between Company and any such Supplier unless Company is a party to the applicable Supply Contract, or (ii) relieve Provider of its obligations hereunder or constitute a representation or endorsement
by Company that such Supplier is qualified or capable to perform. Provider shall not substitute or replace any Supplier approved or specified by Company if Company objects in good faith to such substitution or replacement. If Provider determines
that (i) Company’s specification of a Supplier materially and adversely increases the costs of the Services or (ii) a designated Subcontractor does not agree to Subcontract terms and conditions required by this Agreement, then a
Change shall be determined in accordance with the Change Control Process set forth in Article 5. Provider’s failure to request a Change prior execution of the applicable Supply Contract shall constitute a waiver of any right to seek
a modification of the Services Costs or Provider’s Shared Savings payable under this Agreement in connection with the applicable Supply Contract. Company shall not be obligated to reimburse Provider for any termination penalty or charge
incurred by Provider under a Supply Contract except to the extent that, prior to entering into such Supply Contract, Provider disclosed to and Company agreed in writing to reimburse such (any termination fees so agreed by Company, an
“Approved Supply Contract Termination Fee”). Company shall only be obligated to reimburse Provider Approved Supply Contract Termination Fees to the extent such are actually incurred and paid by Provider. Provider shall provide a
notice and, if requested by Company, copy of each Major Supply Contract and other Supply Contract in excess of $20,000 to Company within ten (10) days after execution of such Supply Contract. With respect to any Provider Equipment procured or
leased by Provider as a Reimbursable Cost in connection with the Services, Provider’s responsibilities shall include: (A) evaluating the Provider Equipment and the qualifications of the Provider Equipment vendor; (B)

  

					
	Confidential	 	26	 	

 
negotiating commercially reasonable pricing and terms; (C) ordering, receiving, configuring, installing, testing, maintaining and distributing all new
Provider Equipment; (D) performing tracking and asset management for all such Provider Equipment; and (E) tracking license counts, informing Company of any discrepancies with applicable license count restrictions, and assisting Company in
restoring compliance with applicable license count restrictions. With respect to any new Provider Equipment leased by Provider that may be assumed by Company upon termination of this Agreement, (1) Supplier shall structure its leasing
arrangements so that the applicable leases may be assigned to Company upon the termination or expiration of this Agreement and so that any ongoing payments under those leases payable by Company after such assignment are consistent with, and no
greater than, the payments payable by Provider prior to such assignment, and (2) such leases shall be subject to prior review and approval by Company. 
 13.4 Supplier Diversity. Company desires to use small business entities that qualify as small (disadvantaged, veteran, service disabled veteran, women owned, and HUBZone) businesses (as defined by the United States Small Business
Administration). In recognition thereof, Provider will work to develop additional suppliers, use reasonable efforts to employ qualified vendors and subcontractors where appropriate and feasible in providing the Services. Provider shall keep records
of small business subcontracts and shall be able to produce a report, upon Company’s request, of Provider’s small business spend percentages along with any examples of good faith efforts to subcontract with small businesses. Those
spend percentages and other requirements are listed in Attachment 2 to Exhibit J (Provider Diversity Plan). 
 13.5 Assignability.
Provider shall structure its arrangements with Subcontractors and Third Party Suppliers that will be primarily dedicated to the performance of the Services so that the relevant contracts may be assigned to Company (or upon Company’s request
replaced with a novation of the Subcontract or Supply Agreement between Company and the applicable Subcontractor or Supplier) upon the termination of this Agreement as to the applicable Services covered by such Subcontract or Supply Agreement and so
that there are no assignment or termination fees and the ongoing fees under those arrangements payable by Company after such assignment (or novation) are consistent with and no higher than the fees payable by Provider prior to such assignment (or
novation). If Provider is not able to accomplish the foregoing after using commercially reasonable efforts, Provider shall notify Company and discuss with Company the consequences (including any impact on the Services and Service Levels) of Provider
not being able to use the services from the provider who shall not allow the assignment sought by Company. If, following that discussion, Company directs Provider to not use such services, and Provider is not able to find a suitable work-around,
Provider shall be relieved of its obligations under the Agreement to the extent its ability to perform is adversely impacted by the inability to use such third party services. 
 13.6 Control and Risk. Provider shall properly direct and control Subcontractors and Third Party Suppliers, and inspect Subcontractors’ and Third Party Suppliers’ performance for defects and
deficiencies. No agreement between Provider and any Subcontractor or Supplier shall relieve Provider from any of its obligations or liabilities hereunder. Nothing in this Agreement or any Subcontract shall create any contractual relationship, with
the exception of the above-mentioned third party beneficiary right, between Company and any Subcontractor including without limitation any obligation on Company’s part to pay, or be responsible for the payment of, any sums to any Subcontractor.

 13.7 Affiliates. Provider shall provide Company written notice regarding any Subcontractors or Third Party Suppliers that are Provider’s
Affiliates prior to entering into any agreement with an Affiliate in connection with the Services. Any such agreement shall be subject to Company’s prior written consent. Any Subcontract or Supply Contract with an Affiliate that is considered a
Reimbursable Cost shall not exceed market prices and shall not result in the payment of any profit to Provider or its Affiliate Subcontractor or Supplier. Company may elect, in its sole and absolute discretion, to cause any Subcontract or Supply
Contract that is considered a Reimbursable Cost and that Provider proposes to award to an Affiliate to be competitively bid in accordance with Section 13.13 to bidders that are not Provider’s Affiliates. 
 13.8 Payments to Subcontractors and Third Party Suppliers. Except to the extent Company has either withheld payment or not timely made a properly invoiced payment
with respect to such Subcontractor or 

  

					
	Confidential	 	27	 	

 
Supplier, Provider shall promptly pay each Subcontractor and Supplier the amount to which such Subcontractor or Supplier is entitled no later than the due
date for payment under the applicable Subcontract or Supply Contract unless (i) Provider has a good faith dispute regarding the charges of such Provider Personnel, (ii) the terms of the Subcontract or Supply Contract between Provider and
Provider Personnel permit Provider to withhold payment in the event of a good faith dispute and (iii) Provider has not billed Company and been paid by Company for the contested amounts. Provider shall, by appropriate agreement with each
Subcontractor, require each Subcontractor to make payments to its own approved sub-subcontractors in a similar manner. Upon request, Provider shall submit to Company copies of all checks and payments to Subcontractors. Should Provider neglect or
refuse to cause to be paid promptly any bill or charge legitimately incurred by Provider in support of the Services, Company shall have the right, but not the obligation to, pay such bill or charge directly, and Provider shall immediately reimburse
Company for the same. If Provider does not so reimburse Company, Company may offset the amount of such bill or charge pursuant to Section 21.4. With respect to any Subcontracts or Supply Contracts being paid for by Company as
Reimbursable Costs or which costs otherwise directly affect the Services Costs, Provider shall exercise reasonable efforts to qualify for early payment, cash and trade discounts, refunds, rebates, credits, and concessions, and Company shall be
credited with the full amount of any such discount, commission, or compensation obtained or received by Provider, directly or indirectly, in connection with any such contracts. 
 13.9 Notice of Breach. Provider shall provide Company with prompt written notice of all actual or potential disputes with Subcontractors and Third Party Suppliers, including, without limitation, breaches,
defaults, insolvencies, defects in Subcontractor’s and Supplier’s services, and work stoppages. Such notice shall include the reasons and circumstances giving rise to such disputes in such detail so as to enable Company, in its sole
discretion, to exercise any of its rights or remedies against such Subcontractor or Supplier, or to require Provider to obtain Company’s prior written approval of any settlement. Notwithstanding the foregoing, neither the provisions of this
Section 13.9 nor the exercise by Company of any of its rights or remedies shall relieve Provider of any of its obligations or liabilities under this Agreement. 
 13.10 Control of Subcontractors and Other Personnel. Provider shall be responsible for (i) [*] management and coordination of the performance of all such Personnel and Affiliates. [*]
Subject to Section 13.8 above, Provider shall be responsible for all payments to, and claims by, Provider Personnel and Provider’s Affiliates relating to this Agreement and to the Services performed hereunder. 
 13.11 Not Company Employees. Provider acknowledges and agrees that Company shall have no responsibility or liability for treating Provider Personnel (including
without limitation Transferred Employees and Key Transferred Employees) as employees of Company for any purpose. Neither Provider nor any of Provider Personnel shall be eligible for coverage or to receive any benefit under any Company provided
worker’s compensation plans, employee plans or programs or employee benefits arrangement, including without limitation any and all medical and dental plans, bonus or incentive plans, retirement benefit plans, stock plans, disability benefit
plans, life insurance and any and all other such plans or benefits. 
 13.12 Co-Employment; Joint Employer; Common Law Employee. Provider acknowledges
that some or all of its Personnel may be assigned or deployed to work within Company Facilities. Provider further acknowledges that some or all of its Personnel may be former Company employees. Finally, Provider acknowledges, with respect to the
Personnel referenced in this Section 13.12, in particular, but inclusive of all of Provider’s Personnel, there is a risk that such Personnel may attempt to assert claims predicated on the allegation (i) that Company and
Provider are their joint employers; (ii) that Company and Provider are their co-employers; and/or (iii) that they are the common law employees of Company. Provider shall use its best efforts to provide its Personnel adequate supervision,
evaluations and feedback, and shall, as appropriate, monitor and evaluate each of Provider’s Personnel’s functioning in the workplace while assigned to work at a Company Facility, and shall use its best efforts to ensure that none of
Provider’s Personnel are, either directly or indirectly, supervised by, directed by or controlled by Company Personnel. In the event that Provider or any of its Personnel determine that said Personnel are, either directly or indirectly, being
supervised, directed or controlled by Company Personnel, Provider shall immediately notify Company of same and shall take all necessary steps, including, but not limited to, coordinating with Company management Personnel to terminate such
supervision, direction or control. 
  

					
	Confidential	 	28	 	
	
	Note: Redacted portions have been marked with [*]. The redacted portions are subject to a request for confidential treatment that has been submitted to the Securities and Exchange
Commission.

 13.13 Competitive Bidding. Unless otherwise permitted in this Section 13.13, all Major Subcontracts
and Major Supply Contracts shall be awarded on the basis of competitive bidding, solicited in the following manner: 
  

	 	(i)	A minimum of three (3) written bids shall be obtained from qualified vendors. Company shall have the right to pre-approve bidders for Major Subcontracts.

  

	 	(ii)	Company reserves the right to review and amend bid specifications prior to solicitation; 

  

	 	(iii)	Provider shall disclose to Company any relationship Provider may have with any prospective bidder, including if such is an Affiliate. 

  

	 	(iv)	All bids in excess of [*] are subject to the approval of Company. Company reserves the right to accept or reject any and all bids. 

  

	 	(v)	Provider must obtain the prior written approval of Company prior to accepting any bid that (A) is not the lowest bid, or (B) is from an Affiliate.

  

	 	(vi)	If Provider recommends acceptance of any bid other than the lowest bid, Provider shall adequately support, in writing, its recommendation to Company. Company shall be free to accept
or reject, in its sole discretion, any and all such bids. 

  

	 	(vii)	Provider shall obtain proof of insurance from the selected vendor prior to commencement of services. 

 Subject to Company’s prior written approval, certain Major Subcontracts and Major Supply Contracts may be entered into without competitive bidding, which may include Provider use of national or global contracts
or sole-source direct negotiation. In this case Provider shall prove the economic or qualitative benefit of this approach to Company’s reasonable satisfaction. 
 13.14 Labor Management. Provider shall meet the Standard of Care in its efforts to prevent and avoid labor-related disputes or other human resources issues which may disrupt or interfere with the performance of
the Services or the activities of Company or Third Party Suppliers. To the extent that Company has requested or Provider has communicated to Company plans with respect to labor usage for a portion of the Services, Provider shall manage the award and
performance of the affected Services consistent with such plan. Whenever Provider has knowledge of any actual or potential labor dispute or disruption involving Provider’s Personnel that may materially affect the Services or operations of
Company or Third Party Suppliers, Provider shall promptly notify Company of such and the Parties shall cooperate to minimize the effect of such dispute or disruption on the provision of Services, Company’s operations and Third Party
Suppliers’ performance, whether or not such labor dispute or disruption occurs at a Company Facility. With respect to all labor disputes, jurisdictional or other shutdowns, slowdowns, strikes, or other work stoppages or actions affecting the
Services or the operations of Company (collectively, “Labor Disputes”) of which Provider or a union with which Provider has a collective bargaining agreement is a target, Provider shall promptly take all commercially reasonable
necessary action toward elimination and/or settlement of such Labor Disputes; provided, however, that the cost of Labor Disputes of which Provider is a target shall be borne by Provider except to the extent any such Labor Dispute is the direct
result of an act or omission of Company or arises directly out of the decision by Company to enter into this Agreement and reasonably near in time to the date of transition of the Transferred Employees to Provider. With respect to Labor Disputes in
which Company, one of its Affiliates, or a union with which it or they have a CBA is a target, Provider shall exert its best efforts to continue providing Services. Notwithstanding the foregoing, neither the provisions of this
Section 13.14 nor the exercise by Company of any of its rights and remedies hereunder shall relieve Provider of any of its obligations or liabilities hereunder. 
  

					
	Confidential	 	29	 	
	
	Note: Redacted portions have been marked with [*]. The redacted portions are subject to a request for confidential treatment that has been submitted to the Securities and Exchange
Commission.

	14.	ASSIGNED AND MANAGED CONTRACTS 

 14.1 Assigned Contracts. In
accordance with the Transition Plan or the applicable Order, and subject to Provider having obtained any applicable Required Consents, Company shall assign to Provider, and Provider shall assume from Company, the Assigned Contracts set forth in
Schedule 10 to Exhibit A (Assigned and Managed Contracts/Company Contractor Agreements) or the applicable Order. Provider shall pay directly, or reimburse Company if Company has paid, the charges and other amounts under the Assigned
Contracts, where such charges are attributable to the periods on or after the Effective Date or the Order Effective Date, subject to reimbursement of such charges that are considered Reimbursable Costs. Provider shall comply with the duties imposed
on Company under such contracts. Company shall pay any costs, expenses and fees (including license, re-licensing, transfer or upgrade fees or termination charges) as may be required to obtain the Parties’ respective Required Consents.

 14.2 Managed Contracts. In accordance with this Agreement and the applicable Order, and subject to Provider having obtained any applicable Required
Consents, Provider shall manage, administer and maintain the Managed Contracts. Provider shall provide Company with no less than 90 days notice of any renewal, termination or cancellation dates and fees with respect to the Managed Contracts.
Provider shall not renew, modify, terminate or cancel, or request or grant any consents or waivers under any Managed Contracts without the consent of Company. Any fees or charges or other liabilities or obligations imposed upon Company in connection
with any such renewal, modification, termination or cancellation of, or consent or waiver under, the Managed Contracts that is obtained or given without Company’s consent, which consent shall not be unreasonably withheld or delayed, shall be
paid or discharged, as applicable, by Provider. 
 14.3 Managed Contract Invoices. Provider shall (i) receive all Managed Contract invoices,
(ii) review and correct any errors in any such Managed Contract invoices in a timely manner, and (iii) submit to Company for payment. 
 14.4
Performance Under Managed Contracts. At all times Provider shall remain responsible for the management, administration and maintenance of the Managed Contracts. With respect to the performance of contractors under Managed Contracts, Provider
shall promptly notify Company of any breach of, or misuse or fraud in connection with, any Managed Contracts of which Provider becomes aware or receives written notification, and shall cooperate with Company to prevent or stay any such breach,
misuse or fraud. Provider shall not be liable for (i) any breach of, or misuse or fraud in connection with, by a contractor under any Managed Contract or (ii) for Provider’s failure to provide the Services or to meet the Services
Levels as a result of any breach, misuse, or fraud by a contractor under a Managed Contract except to the extent such breach, misuse or fraud resulted from Provider’s failure to prudently manage, administer and maintain the Managed Contract.

 14.5 Provider Required Consents. Provider, with the necessary cooperation of Company, shall obtain and maintain any consents, authorizations or
approvals that are necessary for Provider to provide the Services (collectively, the “Provider Required Consents”), including those consents that are necessary to allow: 
  

	 	(i)	Provider to assign to Company any of its interests in Work Product as described in Article 11; 

  

	 	(ii)	Company to use any Provider Equipment during the Term and the Termination Assistance Period; 

  

	 	(iii)	Company to take an assignment to any Provider Equipment leases pursuant to Article 31; and 

  

					
	Confidential	 	30	 	

	 	(iv)	Provider to take an assignment to any Assigned Contracts pursuant to this Article 14. 

 14.6 Company Required Consents. Company, with the cooperation of Provider, shall obtain and maintain all consents, authorizations or approvals that are necessary to allow Provider to use any of the Company
Provided Equipment as permitted in the Agreement. 
 14.7 Compliance with Required Consents. Provider and Company shall comply with the requirements
of each of the required consents. 
 14.8 [Intentionally Omitted] 
 14.9 Alternative Approaches. If either Party is unable to obtain a required consent, then, unless and until such required consent is obtained, Provider and Company shall determine and adopt such mutually agreeable alternative
approaches as are necessary and sufficient to provide the Services without such required consent. If such alternative approaches are required for a period longer than sixty (60) days following the Effective Date or an Order Effective Date, the
Parties shall equitably adjust the terms of the Agreement and reduce the Services Costs to reflect any additional costs and expenses being incurred by Company and any Services not being received by Company. In addition, if Provider fails to obtain a
Provider Required Consent within sixty (60) days of the Effective Date or an Order Effective Date and such failure has a material adverse impact on Company’s receipt of the Services, Company may, upon notice to Provider, terminate the
Agreement, in whole or in part, as of the termination date specified in the notice, without cost or penalty and without the payment of any termination charges. The failure to obtain any Provider Required Consent shall not relieve Provider of its
obligations under the Agreement and Provider shall not be entitled to any additional compensation or reimbursement of any amounts in connection with obtaining or failing to obtain any Provider Required Consent or implementing any alternative
approach required by such failure. 
  

	15.	AUDITS AND RECORDKEEPING 

 15.1 Fee Audits. All books and
records relating to the performance of Provider’s obligations hereunder, any amounts payable to Provider hereunder, all Services that are self-performed by Provider and all Subcontracts and Supply Contracts with Affiliates of Provider shall be
maintained by Provider and made available to Company and Company’s Personnel for copy, review, audit and other business purposes related to the performance of Provider’s and the Services hereunder at such reasonable times, upon reasonable
notice and during normal business hours at reasonable locations. Except for self-performed Services and Subcontracts and Supply Contracts with Affiliates of Provider, Company’s audit rights shall not include the right to audit the makeup of
fixed price costs or fixed rates agreed upon by Company. Should Provider fail to maintain such books and records as required hereunder and under Section 15.5 below, Provider shall provide its good faith assistance and reimburse Company
for its reasonable costs in recreating such books and records. In the event that any audit by Company reveals any overpayment by Company (which overpayment may include without limitation Provider’s inability to produce adequate supporting
documentation for any Service Costs paid by Company), then Provider shall repay to Company the overpaid amount upon Company’s written demand therefor and if such audit reveals underpayment by Company, then Company shall pay such underpaid
amount upon written demand therefor and an invoice in accordance with Exhibit Q (Invoicing and Accounting Requirements). Company’s performance of an audit and Provider’s repayment of any overpaid amounts shall not limit any of
Company’s rights and remedies with respect to such overpaid amounts or Provider’s performance of its obligations under this Agreement, all of which rights and remedies are reserved by Company. Provider shall cause the provisions of this
Article 15 to be incorporated in the provisions of each Subcontractor agreement. 
 15.2 Records Retention. Provider shall maintain
complete and correct books and records relating to the performance of all of its obligations hereunder and all costs, liabilities and obligations incurred hereunder, including without limitation those relating to the Services Costs and
Provider’s Shared Savings. All records and accounts relating to financial matters must be in a format consistent with Generally Accepted Accounting Practices (“GAAP”). Upon Company’s request, Provider shall disclose to

  

					
	Confidential	 	31	 	

 
and discuss with Company, Provider’s accounting principles and practices. Any modification or addition to Provider’s accounting practices during
the Term or Termination Assistance Period (other than in accordance with GAAP) shall be disclosed to Company prior to its implementation. Further, such modification of Provider’s accounting practice shall be subject to the prior written
approval of Company. Such books and records shall be maintained for a period of no less than seven (7) years after the Term and Termination Assistance Period, if any. 
 15.3 Processing Audits. Upon reasonable advance notice from Company, and provided that such audits do not interfere with Provider’s ability to perform the Services, Provider shall, at Company’s
expense, provide such auditors and inspectors as Company may designate with access during normal working hours to any site, facility, or performance documentation for the purpose of performing audits or inspections of security, internal and external
compliance, legally required audits, audits in connection with government investigations, and audits required under Company’s corporate policies, including normal IT and business audits. 
 15.4 Facilities. Provider shall provide to Company and such auditors and inspectors as Company may designate in writing, on Provider’s premises (or if the
audit is being performed of a Subcontractor, the Subcontractor’s premises if necessary) office space, office furnishings, telephone and facsimile services, utilities and office-related equipment and duplicating services as Company or such
auditors and inspectors may reasonably require to perform the audits described in this Article 15. 
 15.5 SAS 70 Type II Report. During the
Term (and the Termination Assistance Period), on the request of Company from time-to-time in addition to the schedule Provider may itself establish, Provider shall obtain a SAS 70 Type II Report. Provider shall provide Company with a copy of the SAS
70 Type II Report within fifteen (15) days of Provider’s receipt thereof from the Service Auditor. [*] If Provider obtains reports or conducts reviews that provide evaluations of Provider’s control objectives and control activities,
Provider shall notify Company of such and provide copies of such reports or reviews to Company at no cost to Company. If the reports or reviews in the preceding sentence contain any confidential third party data or information, Provider may redact
such confidential data or information from the copies provided to Company. 
 15.6 Provider Personnel Reports. If any Services are provided by
Subcontractors, and if such Services (or any controls or other aspects of such Services) would fall within the scope of the SAS 70 Type II Report had such Services been provided directly by Provider, then Provider shall cause each such Subcontractor
to comply with the requirements of Section 15.5 and Section 15.7. 
 15.7 Certification. As requested by Company, Provider
shall either (i) certify to Company in writing that during the applicable SAS 70 Gap Period no changes have been made to the Services, the manner in which the Services are provided or operated, applicable controls, or the Control Objectives
that could reasonably be expected to have any impact on the contents of, or opinions set forth in, the applicable SAS 70 Type II Report; or (ii) provide Company with a written description of any such changes. 
 15.8 Disclosure. The SAS 70 Type II Report shall be Confidential Information of Provider (or the applicable Provider Personnel); provided, however, that
notwithstanding the foregoing or the confidentiality provisions of this Agreement, Company (and Company’s independent auditors) shall be permitted to disclose the SAS 70 Type II Report (or any of the content thereof) to any person, entity or
Governmental Authority as necessary for Company to comply with the Sarbanes-Oxley Act of 2002 or any other Applicable Laws. 
 15.9 Control
Objectives. Company may establish compliance and control objectives applicable to the Services by delivering such objectives in writing to Provider (“Control Objectives”). Company may update the Control Objectives at any time
during the Term (or the Termination Assistance Period) provided that, subject to the Change Control Process, Company shall be responsible for any additional costs incurred by Provider in complying with the updated Control Objectives to the extent
that such updated Control Objectives apply only to Company and not to any other customer of Provider. To the extent that such updated Control Objectives apply to other customers of Provider, then the costs associated with compliance with such
updated Control Objectives shall be, subject to the Change Control Process, equitably allocated among Company and such customers. 
  

					
	Confidential	 	32	 	
	
	Note: Redacted portions have been marked with [*]. The redacted portions are subject to a request for confidential treatment that has been submitted to the Securities and Exchange
Commission.

 15.10 Sarbanes-Oxley Requirements. Provider recognizes that Company is subject to the Sarbanes-Oxley Act of 2002.
In addition to the Control Objectives, Provider shall provide whatever assistance is necessary to assist Company in complying with such requirements with respect to its outsourced functions. Provider shall comply with Company’s financial
reporting and control processes as set forth in the Policies and Procedures Guide (and as such processes are revised from time to time by Company) and provide Company with copies of all related records, reports and data as necessary for Company to
satisfy the Sarbanes-Oxley Act of 2002. Provider shall recommend and, subject to Company approval, implement compliance measures to satisfy the Sarbanes-Oxley Act of 2002 with respect to the Services. Provider may use Direct Provider Labor in
complying with the requirements of this Section 15.10. 
  

	16.	TIMELINES FOR PERFORMANCE 

 16.1 Time of the Essence. Time is
of the essence with respect to this Agreement. Execution of this Agreement and any Order shall constitute Provider’s representation and warranty that Provider is fully capable of performing, and will perform the applicable obligations in
accordance with the Schedule set forth herein or in each Order. In the event Provider fails to so perform, Company may seek to recover damages, costs and expenses from Provider by reason of such failure of performance. 
 16.2 Schedule. If applicable to the Services set forth in an Order, Provider shall develop and submit to Company within ten (10) days of each Order Effective
Date a detailed schedule for that Order based on Company’s requirements and Provider’s obligations thereunder (a “Schedule”). The Schedule shall indicate the timing of the performance of such obligations, including without
limitation commencement, submission of Deliverables, milestones, meeting dates and completion. The Schedule shall include without limitation time for necessary bidding (if any), reviews, revisions, applications to Governmental Authorities, and
required approvals. Provider shall not exceed the dates set forth in such Schedule. 
 16.3 Suspension. Company may, at any time, by written notice to
Provider, suspend all or any portion of Provider’s performance hereunder. Upon receipt of such notice, Provider shall do the following, unless the notice requires otherwise: 
  

	 	(i)	Immediately discontinue such performance on the date and to the extent specified in the notice; 

  

	 	(ii)	Incur no further obligations, including without limitation placement of orders, Subcontracts or Supply Contracts for material, services or facilities, with respect to the suspended
performance; 

  

	 	(iii)	Promptly make every reasonable effort to obtain suspension or assignment to Company or Company’s designee, upon terms satisfactory to Company, of all obligations, including
without limitation orders, Subcontracts or Supply Contracts, to the extent such relate to the performance of such suspended performance; 

  

	 	(iv)	Protect and maintain any materials and supplies utilized in such performance, and any work completed or in progress; and 

  

	 	(v)	Mitigate costs associated with any such suspension. 

 16.4 Costs of
Suspension. Within thirty (30) days of the effective date of any suspension by Company, Provider shall submit an itemization of expenses and time expended through the effective date of the suspension, together with cost, pricing, or other
documents or data required by Company. Suspensions may only be withdrawn by written notice from Company, specifying the effective date and scope of the withdrawal. Provider shall immediately resume performance unless otherwise specified in such
notice. If 

  

					
	Confidential	 	33	 	

 
Provider believes that an adjustment to the Services Costs or the Schedule hereunder or under an Order is justified as a result of the suspension or
withdrawal of suspension, such suspension or withdrawal of suspension shall constitute a Change and Provider shall request such adjustment in accordance with the Change Control Process provisions hereunder. The Annual Budget and Cost Baseline for
determining Provider’s Shared Savings shall be equitably modified to take into account any period of suspension hereunder. 
 16.5 Acceleration of
Performance. Provider shall notify Company immediately upon determining that it may be unable to meet the Schedule in whole or in part. Additionally, Company may inform Provider that Company has determined, in its reasonable judgment, that
Provider may be unable to meet the Schedule in whole or in part. Within five (5) days of such notice or information, Provider shall submit to Company a proposed action plan to ensure compliance with the Schedule. If Company determines in its
reasonable judgment that such action plan will not ensure compliance with the Schedule, Company may direct Provider to take steps necessary to accelerate its performance. If Provider believes that an adjustment to the Services Costs is justified as
a result of such acceleration and that such acceleration constitutes a Change, Provider shall request such adjustment in accordance with the Change Control Process. Any incremental costs incurred by Provider as a result of such acceleration shall
constitute a Change and shall be subject to the Change Control Process. Except to the extent provided for in any approved Change, Company shall have no liability to Provider for or arising out of the acceleration. If, within a reasonable period as
determined by Company, Provider fails (i) to provide an action plan for accelerating and improving performance to meet the Schedule, or (ii) to diligently proceed to accelerate performance in accordance with such action plan, Company may
take whatever actions it deems appropriate to meet the Schedule. The reasonable costs of any such actions shall be borne by Provider. No actions taken by Company under this Section 16.5 shall relieve Provider of its obligations under
this Agreement, including without limitation meeting the Schedule. 
 16.6 Remedies for Failure to Timely Perform. Provider acknowledges that in the
event Provider fails to timely perform under this Agreement, Company will suffer substantial damages, costs and expenses by reason of such failure of performance. The Parties may provide in this Agreement or in any Order for Service Costs credits to
apply with respect to Provider’s failure to meet prescribed Schedule requirements, in which event the terms of such Service Costs credit provision shall apply with respect to failure to meet such Schedule requirements. Notwithstanding the
availability of Service Costs Credits, Company shall be entitled to enforce any and all remedies available under this Agreement, at law and/or in equity with respect to any failure of Provider to timely perform its obligations in accordance with the
terms of this Agreement, including the recovery of actual damages. 
  

	17.	TERM AND TERMINATION 

 17.1 Term. The term of this Agreement
shall commence on the Effective Date and shall continue for a period of five (5) years (“Initial Term”) unless earlier terminated in accordance with this Article 17. This Agreement shall automatically renew for
additional one (1) year periods (each a “Renewal Term,” and together with the Initial Term, the “Term”) unless Company provides written notice of non-renewal no later than three (3) months prior to the
expiration of the Initial Term or then-current Renewal Term. 
 17.2 Effect on Orders. Upon expiration or termination of this Agreement in accordance
with this Article 17, this Agreement shall remain in effect with respect to any then-open Order(s) issued under this Agreement until completion of Provider’s performance thereunder unless terminated by Company for cause or convenience as
provided below. Upon termination of this Agreement by Company for cause, Company shall have the right to terminate any and all Orders entered into hereunder. 
 17.3 Termination for Convenience. Company shall have the right to terminate this Agreement or any Order in whole or in part at any time, with or without cause, by giving Provider written notice specifying the extent of termination at
least [*] months prior to the designated termination date. 
 17.4 Remedies Upon Termination for Convenience. In the event of
termination under Section 17.3, Provider shall be entitled to Services Costs in accordance with the terms of this Agreement and the 

  

					
	Confidential	 	34	 	
	
	Note: Redacted portions have been marked with [*]. The redacted portions are subject to a request for confidential treatment that has been submitted to the Securities and Exchange
Commission.

 
applicable Order up to the date of termination, as well as for Termination Assistance Services to the extent requested by Company. [*] In no
event shall Company be liable to Provider for any direct, indirect, special or consequential damages, lost profits, penalties or costs arising out of any termination for convenience. 
  

	17.5	Termination for Cause by Company. In the event that: 

  

	 	(i)	Provider commits a material breach of this Agreement or an Order, which breach is capable of being cured within thirty (30) days after notice of breach from Company to
Provider, but is not cured in such 30-day period; 

  

	 	(ii)	Provider commits a material breach of this Agreement or an Order that is not capable of being cured within thirty (30) days but is capable of being cured within sixty
(60) days and fails to (a) proceed promptly and diligently to correct the breach, (b) develop within thirty (30) days following written notice of breach from Company a complete plan for curing the breach, and (c) cure the
breach within sixty (60) days of notice thereof; 

  

	 	(iii)	Provider commits a material breach of this Agreement or an Order that is not subject to cure with due diligence within sixty (60) days of written notice thereof;

  

	 	(iv)	Provider commits numerous breaches of its duties or obligations which collectively constitute a material breach of this Agreement or the applicable Order; 

 

	 	(v)	Provider fails to furnish Company, upon Company’s reasonable request, with assurances satisfactory to Company evidencing Provider’s ability to complete its obligations
hereunder in compliance with all of the requirements of this Agreement; 

  

	 	(vi)	Provider makes a general assignment for the benefit of its creditors, or a petition in bankruptcy is filed by or against Provider, or a receiver shall be appointed on account of
Provider’s insolvency; 

  

	 	(vii)	an Event of Deteriorating Provider Condition (other than the events described in Section 17.7 below) occurs; 

  

	 	(viii)	a KPI Default occurs; or 

  

	 	(ix)	Provider otherwise persistently fails to meet the Service Levels; 

 then
Company may, by giving written notice to Provider, terminate this Agreement, in whole or in part, or the applicable Order as of the date specified in the notice of termination. If Company chooses to terminate this Agreement in part, the Service
Costs payable under this Agreement shall be equitably adjusted to reflect those services that are terminated. Termination under this Section 17.5 shall be without cost or penalty and without the payment of any termination charges.

 17.6 Termination for Cause by Provider. [*] Any notice required pursuant to this Section 17.6 shall be sent in accordance
with the requirements of Section 32.3 to the addresses set forth therein and a copy shall also be concurrently sent to the address set forth below: 
 Vice President, Engineering 
 Amgen Inc. 
 Mailstop: 38-4-B 
 One Amgen Center Drive

 Thousand Oaks, CA 91320-1799 
 Fax Number: [*] 
  

					
	Confidential	 	35	 	
	
	Note: Redacted portions have been marked with [*]. The redacted portions are subject to a request for confidential treatment that has been submitted to the Securities and Exchange
Commission.

 17.7 Other Termination by Company. In the event: 
  

	 	(i)	Provider transfers, sells, assigns or otherwise disposes of (a) all or substantially all of its assets or (b) any controlling interest in its business (whether in the form
of stock or otherwise); or 

  

	 	(ii)	Provider consolidates with or merges into another corporation or entity, or permits the consolidation with or merger into another entity; 

 then Company may, by giving written notice to Provider, terminate this Agreement, in whole or in part, or the applicable Order as of the date specified in the notice of
termination. If Company chooses to terminate this Agreement in part, the Services Costs payable under this Agreement shall be equitably adjusted to reflect those services that are terminated. Termination under this Section 17.7 shall be
without cost or penalty and without the payment of any termination charges. 
 17.8 Remedies Upon Termination for Cause. In the event of termination
of this Agreement or any Order, without prejudice to other rights or remedies, Company may complete performance of Provider’s obligations by whatever method Company deems appropriate. 
 17.9 No Actual Default. If, after termination for cause under this Article 17, it is determined for any reason that a Party was not in default, the rights
and obligations of the Parties shall be the same as if the notice of termination had been issued as a termination for convenience. 
 17.10 Upon
Termination. Without limiting the obligations of Provider under Article 18, upon receipt of notice of termination, Provider shall do the following unless otherwise specified by Company: 
  

	 	(i)	Incur no further obligations, including without limitation placement of orders, Subcontracts or Supply Contracts for material, services or facilities; 

  

	 	(ii)	Mitigate costs associated with such termination; 

  

	 	(iii)	Preserve any Work Product or other performance that is in progress or completed until Company or Company’s designee takes possession thereof; and 

  

	 	(iv)	Deliver all Work Product to Company in accordance with Company’s reasonable instructions. 

 17.11 Discontinuance. On the date of termination, Provider shall discontinue, and cause any of Provider Personnel to discontinue, performance hereunder to the extent specified in the termination notice from
Company; provided, however, the provisions of this Section 17.11 shall not operate to excuse Provider’s performance of Termination Assistance Services during the Termination Assistance Period, in accordance with Article 18 of
this Agreement. 
 17.12 Termination of Dependent Orders. In the event that an Order is terminated for cause, Company shall have the option to
terminate any other Orders identified therein as being dependent on the terminated Order. 
 17.13 Notice of Deteriorating Financial Condition. In the
event of the occurrence of any fact or circumstance relating to an Event of Deteriorating Provider Condition, Provider shall immediately provide notification of such event to Company (except to the extent Provider is precluded from making such
disclosure pursuant to applicable securities laws) and Provider shall use its commercially reasonable efforts to (i) secure from all relevant third parties, including Third Party Suppliers and Subcontractors, all rights reasonably required for
Company to continue to receive the Services and to exercise its rights under this Agreement, and (ii) at the expense of Company, cooperate with Company and any third party service Providers selected by Company, to establish and implement a
contingency plan to avoid 

  

					
	Confidential	 	36	 	

 
disruption of Services in the event that Provider is unable to meet its obligations under this Agreement. At any time that Provider is not a publicly
reporting company under the securities Laws of the United States, Provider shall, within forty-five (45) days of the end of each calendar quarter, provide Company with sufficient financial information to enable Company to determine whether an
Event of Deteriorating Provider Condition has occurred during such calendar quarter. In the event that Company becomes aware of an Event of Deteriorating Provider Condition for which Provider has not provided such notification to Company, Company
shall have the immediate right to take all reasonable actions to ensure continued availability of the Services, either by the Provider, Company or its third party designee, including, but not limited to, pursuant to a Step-in in accordance with
Article 7. 
 17.14 Survival. All provisions of this Agreement that by their nature would apply to the Termination Assistance Services shall
continue in effect during the Termination Assistance Period. In addition, the provisions of Sections 2.9, 4.9, 7.5, 9.1, 11.2, 11.3, 11.7, 12.15, 12.23(iv), 14.5, 14.7, 15.1, 15.2, 15.3, 15.4, 16.6, 18.6, 18.9, 20.2, 22.3, 23.3, 25.2, 25.3, 28.3,
28.4, 28.5, 28.6, 32.5, and 32.7 and Articles 17, 18, 27, 29, 30 and 32 shall survive termination of this Agreement (and expiration of the Termination Assistance Period), together with any other obligations of Provider that by their nature would
survive such termination. 
  

	18.	TERMINATION ASSISTANCE SERVICES 

 18.1 Termination Assistance
Services. Upon expiration or termination of all or part of the Services or this Agreement for any reason, Provider shall for a period of twelve (12) months (the “Termination Assistance Period”), upon Company’s request
and at Company’s expense, continue to provide the Services that were provided prior thereto and any reasonable cooperation requested by Company that may be required from Provider to facilitate the efficient and orderly transfer of the affected
Services to Company or a third-party service provider, as applicable, or Company’s designee (“Termination Assistance Services”). The rights of Company under this Article 18 shall be without prejudice to the Parties’
rights to pursue legal remedies for breach of this Agreement, either for breaches prior to termination or during the period this Agreement is continued in force post-termination. Ongoing Services during the Termination Assistance Period shall be
provided at the prevailing Services Costs in effect immediately prior to such termination. Any material incremental costs incurred by Provider in providing the Termination Assistance Services shall constitute a Change and shall be subject to the
Change Control Process. In the event Provider exercises its termination rights pursuant to Section 17.6, then, [*]. 
 18.2
Development of Termination Plan. If and to the extent requested by Company, whether prior to or upon expiration or termination of this Agreement or during any Termination Assistance Period, Provider shall assist Company in developing a
termination plan which shall specify the tasks to be performed by the Parties in connection with the Termination Assistance Services and the schedule for the performance of such tasks. The plan shall include descriptions of the Services, Service
Levels, fees, documentation (such as operating manuals) and access requirements that will promote an orderly transition of the Services, and a list of all assets, software, licenses, personnel and other contracts to be transitioned to Company or its
designee. 
 18.3 Absolute Obligation. [*] Provider acknowledges and agrees that it shall have an absolute and unconditional obligation
to provide Company with Termination Assistance Services. Provider’s quality and level of performance during the Termination Assistance Period shall continue to comply with the Standard of Care and all requirements of this Agreement unless
otherwise expressly approved in the Termination Plan. 
 18.4 Post-Termination Assistance. For a period of six (6) months following the
Termination Assistance Period, Provider shall: (i) at Company’s expense, answer all reasonable and pertinent verbal or written questions from Company regarding the Services; and (ii) deliver to Company any remaining Company-owned
reports and documentation still in Provider’s possession. 
 18.5 Transfer of Agreements. With respect to, Subcontracts, Supplier Contracts, and
contracts for any other third-party services applicable to the terminated Services, Company shall have the right to have 

  

					
	Confidential	 	37	 	
	
	Note: Redacted portions have been marked with [*]. The redacted portions are subject to a request for confidential treatment that has been submitted to the Securities and Exchange
Commission.

 
such contracts assigned to Company provided that Company assumes all ongoing obligations under such contracts from and after the effective date of such
assignment. With respect to Third Party Intellectual Property used by Provider in connection with the performance of the Services that are subject to Termination Assistance Services, during the Termination Assistance Period, Provider shall, at the
request of Company, assign the licenses of such Third Party Intellectual Property to Company or its designee, provided that: (i) Provider shall have the right to assign such licenses or contracts, and (ii) Company shall assume all future
contractual responsibility and liability under such licenses and contracts, including payment of future license fees, maintenance fees and other charges. In connection with any license or contract transfer under this Paragraph, Company shall pay any
transfer fees that the Parties were unable to avoid through reasonable good faith efforts, unless otherwise set forth in an Order. 
 18.6 Transfer of
Software. No Provider Intellectual Property Rights will transfer to Company upon expiration or termination of the Services except as specifically permitted pursuant to this Section 18.6. [*] Provider shall not be liable
for any changes made to the data by Company. 
 18.7 Transfer of Equipment. For any Provider Equipment that was used to provide Services at the time
of notice of termination or expiration of this Agreement and/or to provide to Termination Assistance Services, Provider shall allow Company or its designee to (a) purchase, at fair market value at the time of Company’s purchase, any
equipment supplies, tools or equipment owned by Provider that is used primarily or exclusively to provide the terminated Services; and/or (b) assume the lease of any equipment leased by Provider. Following the Termination Assistance Services
period, each Party shall return to the other Party any assets owned by such other Party to which it is not given ongoing rights as part of the termination plan. 
 18.8 Transfer of Personnel. Notwithstanding Section 2.9 above, Company or its Affiliates or designees shall have the right to extend offers of employment to any and all Provider Personnel, including Key Provider
Personnel, primarily assigned to or working on the applicable terminated Services at the time of notice of termination or expiration of this Agreement and/or to provide to Termination Assistance Services. Provider shall provide reasonable access to
these employees. Provider [*] shall not [*] interfere with Company’s employment efforts. 
 18.9 Other Transfer. Upon
expiration or termination of this Agreement, or at the end of the Termination Assistance Period, Provider shall transfer to Company or its designees (except as provided below) (i) copies of all software transferred or licensed to Company
pursuant to this Article 18, (ii) all equipment transferred or licensed to Company pursuant to this Article 18, (iii) to the extent available or requested by Company to be so documented, copies of all applicable requirements,
standards, policies, reports and report formats, user manuals, technical manuals, system architecture, processes, operating procedures and other documentation relating to the terminated Services, and (iv) all know-how of Provider reasonably
required to perform the Services. 
  

	19.	COMPENSATION 

 19.1 Contract Price and Pricing Schedule.
Pricing structures for the Services are set forth in Exhibit D (Pricing) of this Agreement and each Order shall set forth one or more pricing structures under which the applicable Services shall be performed, which may include the pricing
structures set forth in Exhibit D (Pricing). Company shall pay Provider all fees and compensation due to Provider in connection with such Services in accordance with the terms of Exhibit D (Pricing) and other applicable terms of this
Agreement and the applicable Order (“Services Costs”), which Services Costs shall include the Management Fees, Reimbursable Costs, Incentive Compensation and any Provider’s Shared Savings payable to Provider pursuant to
Exhibit D (Pricing) or any Order. With respect to all Services subject to acceptance testing, Company shall have no obligation to pay Provider for any Services unless and until such Services have successfully met the acceptance testing
requirements and all other requirements prerequisite to payment in accordance with this Agreement and any relevant Order. Company shall not be billed for any charges or expenses other than those Services Costs or Reimbursable Costs stated and
expressly authorized in this Agreement or an Order. 
  

					
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	Note: Redacted portions have been marked with [*]. The redacted portions are subject to a request for confidential treatment that has been submitted to the Securities and Exchange
Commission.

 19.2 Reimbursable Costs. Company may agree to pay or reimburse Provider for some or all Reimbursable Costs
incurred by Provider in connection with its performance under this Agreement or an Order. Such Reimbursable Costs shall be subject to the pricing structures set forth in Exhibit D (Pricing), including a [*]. In no event shall
Company be obligated to reimburse Provider for any Reimbursable Costs (i) that are not authorized in writing by Company, (ii) that are not Reimbursable Costs in accordance with this Agreement or the applicable Order, or (iii) that are
incurred in excess of the Company-approved amount or [*]. 
 19.3 Charge Increases and Decreases. Unless otherwise agreed in writing by
Company or as otherwise provided in this Agreement or an Order, Provider shall not increase the Service Costs above the prices for such Services specified in this Agreement or the applicable Order. On mutual agreement of the Parties, Provider may
decrease the Services Costs payable for any Services to reflect changed market conditions and/or improvements in technology. 
 19.4 No Services Costs for
Errors or Defective Performance. In no event shall Provider be entitled to receive Services Costs for charges to the extent arising out of or resulting from (i) any costs or expenses incurred by the Provider or its Affiliates or payable by
Company to remedy any error, omission or mistake of Provider, its Affiliates or their respective Personnel or breach of this Agreement or any Order by Provider, its Affiliates or their respective Personnel, or (ii) any incremental or additional
costs or expenses incurred by Provider or its Affiliates or payable by Company to remedy any error, omission or mistake of Provider, its Affiliates or their respective Personnel or breach of this Agreement or any Order by Provider, its Affiliates or
their respective Personnel. 
  

	20.	TAXES 

 20.1 Taxes, Exemptions and Reductions. Company
reserves the right to modify this Agreement, as necessary, to receive the benefits of any available tax exemptions or reductions. Provider shall cooperate with Company’s efforts to realize the benefits of any tax exemptions or tax structures
that may be available to Company in connection with any Order issued pursuant to this Agreement or any element(s) of the Services. 
 20.2 Tax Claims.
If any Governmental Authority makes any claim with respect to any taxes for which Company may be responsible, Provider shall notify Company regarding such claim immediately after Provider’s discovery of such claim. Further, Provider shall
reasonably assist Company with the investigation and assessment of such claim. If required by Company, Provider shall challenge the imposition of any taxes for which Company may be responsible or request a refund of such taxes. In accordance with
the requirements of Exhibit Q (Invoicing and Accounting Requirements), Company shall reimburse Provider for reasonable attorneys’ fees incurred in challenging any imposition of taxes or requesting a refund of such taxes pursuant to the
preceding sentence. 
 20.3 Government Tax Filings. Provider shall file with the Internal Revenue Service and provide to all Subcontractors any Form
1099 or other report required by relevant sections of Applicable Law, including the Internal Revenue Code of 1986, as amended, or any successor provisions. Provider shall withhold from payments to such Subcontractors and remit promptly to the
Internal Revenue Service, all amounts necessary to insure compliance with relevant sections of Applicable Law, including the Internal Revenue Code of 1986 as amended, or any successor provisions. Provider shall provide copies of all such reports to
Company promptly after filing the same with the Internal Revenue Service or other Governmental Authority. 
  

	21.	INVOICING AND PAYMENT 

 21.1 Invoicing. Provider shall
invoice Company for the Services in accordance with the requirements of Exhibit Q (Invoicing and Accounting Requirements) to this Agreement. 
  

					
	Confidential	 	39	 	
	
	Note: Redacted portions have been marked with [*]. The redacted portions are subject to a request for confidential treatment that has been submitted to the Securities and Exchange
Commission.

 21.2 Timing of Payments; Disputes. Company may dispute Provider invoices in accordance with the provisions of
Exhibit Q (Invoicing and Accounting Requirements) to this Agreement. Company shall pay all undisputed invoice amounts in accordance with the provisions of Exhibit Q (Invoicing and Accounting Requirements) to this Agreement.

 21.3 Security Interest. To the extent of any progress payments made by Company arising from or related to this Agreement, Provider grants to
Company a security interest in all raw materials and components committed by or on behalf of Provider for use in connection with this Agreement or any Order, wherever located. Upon Company’s request, Provider shall execute a written security
agreement and financing statement that grants the foregoing security interest to Company in form and content satisfactory to Company. 
 21.4 Right of
Off-Set. With respect to any amount that (i) should be reimbursed to a Party under this Agreement or an Order, or (ii) is otherwise payable to a Party under this Agreement or an Order, such Party may, upon notice to the other Party,
deduct the entire amount owed to such Party from the Services Costs otherwise payable or expenses owed to the other Party pursuant to this Agreement or the applicable Order. The rights granted under this Paragraph shall not apply to amounts relating
to services provided by third parties relative to Provider’s provision of Services. Any credits due Company that are not applied against Provider’s invoices or that are due to Provider by Company shall be paid to within thirty
(30) days after receipt of written request for such payment. 
 21.5 Withholding Payment. Company may, in whole or in part, decline to approve
any request for payment hereunder, withhold or offset against any payment or, due to subsequently discovered evidence or inspection, nullify any payment previously made to such extent as may be necessary, in Company’s reasonable opinion, to
protect Company from loss due to Provider’s failure to meet its obligations hereunder. The conditions or occurrences for which Company may withhold or offset against any payment include without limitation Provider’s failure to properly
make payments to Subcontractors in accordance with Section 13.8. If, through subsequently discovered evidence or subsequent observations, Company becomes aware that it could have withheld approval and payment (but did not), Company
reserves the right to deduct the applicable amount from later invoices or obtain a credit from Provider for the applicable amount. The provisions of this Section 21.5 shall not lessen or diminish, but shall be in addition to, the right
or duty of Company to withhold payments under the provisions of Applicable Law respecting the withholding of sums due to Provider. 
  

	22.	GOVERNMENT 

 22.1 Changes to Applicable Laws. Provider shall
notify Company of (i) any changes or anticipated changes in Applicable Laws of which Provider is aware or should be aware that may impact performance of the Services, (ii) the impact of such changes on performance of Provider’s
obligations hereunder and the intent of this Agreement, and (iii) recommendations for modifications to such performance to comply with such changes, subject to Company’s approval pursuant to the Change Control Process. 
 22.2 Equal Opportunity/Affirmative Action. For any performance required under this Agreement (i) between two business entities based in the United States of
America and (ii) being performed in the United States of America and/or its territories, Provider agrees that, unless otherwise specifically exempted, this Agreement shall be performed in full compliance with all Applicable Laws, including
without limitation applicable equal opportunity/affirmative action requirements; of Title VII of the Civil Rights Act of 1964; Executive Orders No. 11141 and 11246, as amended; Sections (1) and (3) of Executive Order No. 11625
relating to the promotion of Minority Business Enterprises; Americans with Disabilities Act; Age Discrimination in Employment Act; Fair Labor Standards Act; Family Medical Leave Act; the Vietnam Era Veterans’ Readjustment Assistance Act of
1974; Rehabilitation Act of 1973; and all corresponding implementing rules and regulations, all of which, including without limitation the contract clauses required and regulations promulgated thereunder, are incorporated herein by reference.

 22.3 Inspections and Government Contacts. To the extent that Provider is or becomes aware of meetings with or inspections by Governmental
Authorities regarding Provider’s obligations hereunder, 

  

					
	Confidential	 	40	 	

 
Provider shall notify Company within one (1) business day of becoming aware of any such meeting or inspection with any such Governmental Authority.
Company shall have the right to be present at all such meetings and inspections that are (i) of general nature; or (ii) specific to Provider’s conduct of Services under this Agreement or any applicable Order. Provider shall provide
Company with an opportunity to comment on drafts of documents Provider is required to submit to Governmental Authorities pursuant to its obligations hereunder. Provider shall submit to Company copies of documents to be submitted to Governmental
Authorities or insurance companies relating to Provider’s obligations hereunder, including, without limitation, reports of accidents or injuries occurring on Company’s premises. Notwithstanding anything contained in this Agreement to the
contrary, Provider shall not initiate or participate in any communications with any Governmental Authorities concerning the subject matter hereof unless required by law or requested to do so by Company and, then, only upon prior consultation with
Company. 
 22.4 Ethics and Conflict of Interest. In its performance of its obligations hereunder, Provider shall adhere to business practices that
meet and are in the spirit of Applicable Laws and ethical principles, including, without limitation the following: 
  

	 	(i)	All transactions undertaken in connection with Provider’s obligations hereunder shall be accurately reflected in Provider’s records; and 

  

	 	(ii)	Provider shall perform its obligations hereunder and conduct itself with respect to Subcontractors and third parties so as to avoid loss or embarrassment to Company including loss
or embarrassment due to any real or apparent conflict of interest. 

  

	23.	SAFETY 

 23.1 Safety Obligations. Provider and Provider
Personnel shall comply with the business practices, hours, working conditions and Company Policies related to Provider’s performance hereunder, including, but not limited to, Company Policies regarding safety attached or listed in Exhibit
I (Company Standard Operating Procedures) and Exhibit J (Company Standard Policies). Provider shall be solely responsible to inquire, inspect and acquaint itself with all conditions at Company Facilities, subject to Company’s obligation to
disclose pertinent information. In the performance of its obligations hereunder, Provider shall at all times: (i) require the presence, as appropriate, of competent supervisory personnel; (ii) keep the Company Facilities clean and safe,
including without limitation keeping the Company Facilities free from debris and hazards; and (iii) be responsible for the safe and orderly performance of such obligations in accordance with this Agreement, any Orders and all Applicable Laws.
Upon expiration or termination of this Agreement or, if applicable, expiration of the Termination Assistance Period, Provider shall remove all of Provider’s equipment and unused material from the Company Facilities, thoroughly clean up all
refuse and debris, and leave the site neat, orderly and in good condition, normal wear and tear excepted. In addition, to the extent Provider performs such obligations on Company Facilities, Provider shall (i) cooperate with Company and comply
with Company’s hours, working conditions and Company Facilities’ policies; and (ii) repair or replace to Company’s satisfaction any property that is damaged or destroyed by Provider or Provider Personnel. Provider shall notify
Company as promptly as possible upon becoming aware of an inspection under, or any alleged violation of the Occupational Safety and Health Act or similar Applicable Laws in connection with the Services. Provider shall be responsible for removing or
disposing of any hazardous materials that it uses in providing Services and for the remediation of any areas impacted by the release of such hazardous materials. 
 23.2 Safety Exhibit. Provider shall meet the obligations set forth in the Safety Appendix attached hereto as Exhibit L (Safety Appendix), as may be revised by Company from time to time (subject to Section 4.6), and any
additional safety requirements specified in an Order. 
 23.3 Hazardous Materials. 
  

	 	(i)	 To the extent that Company has actual knowledge of the presence of hazardous chemical substances on a Company Facility at the commencement of Provider’s
performance of activities on such Company Facility that could in Company’s opinion (i)

  

					
	Confidential	 	41	 	

	 	 
pose hazards to human health or safety of Provider’s or Provider’s Personnel working on the Company Facility given the scope of Provider’s
Services to be performed or (ii) significantly affect Provider’s performance hereunder on such Company Facility, if requested in writing by Provider prior to commencement of its performance on such Company Facility, Company shall disclose
such pre-existing conditions to Provider. Conditions, including the presence of any hazardous chemical substance, described or referenced in any reports or studies given to or made available to Provider, or in any studies or investigations by
Provider, shall be deemed to have been disclosed upon receipt by Provider of such information. If Company provides any such disclosure(s) of pre-existing conditions to Provider, Provider shall fully review and familiarize itself with such
disclosure(s) and shall (A) exercise the Standard of Care in dealing with the disclosed pre-existing conditions; (B) conform to, and otherwise not interfere with any existing programs, controls, limitations or activities which are in place
as a result of the presence of such substances, and (C) take such steps (and require all contractors to take such steps) in accordance with the Standard of Care, including but not limited to workplace controls, required use of personal
protective equipment, or limitations on location and scope of Services to address any hazard to human health or safety. 

  

	 	(ii)	Provider must comply with all Applicable Laws in the performance of its obligations hereunder including without limitation those regarding hazardous and toxic substances and
associated disclosure requirements. Additionally, Provider must comply with Company’s chemical release and hazardous and toxic substances disclosure and notification requirements, including those specified in the Chemical Release/Hazardous and
Toxic Substances Disclosure Requirements Appendix attached hereto. For Services performed in California or Company’s Facilities, Provider shall comply with the requirements of the Safe Drinking Water and Toxic Enforcement Act of 1986 and
amendments thereto (commonly referred to as “Proposition 65”). Such compliance may require the posting of notices on the Company Facility to warn people on the Company Facility of the potential for exposure to products which contain
certain levels of chemicals known to the State of California to cause cancer, birth defects or other reproductive harm, as identified and listed by the Governor or the Health and Welfare Agency of the State of California pursuant to the requirements
of Proposition 65. Provider shall inquire of its Subcontractors whether they have received any such warning notices from product manufacturers for products being used on the Company Facility, and shall ensure that any such notice, or a general
warning sign, is posted conspicuously on the Company Facility so that it is likely to be read and understood by those who may be affected. Provider shall maintain records of any inquiries of its Subcontractors, and any responses received from them,
and shall make these records available to any individual who inquires about potential exposures. If Provider causes or discovers (i) a reportable release of a hazardous substance or extremely hazardous substance; or (ii) a discharge or
release, or potential discharge or release, of a regulated quantity of a listed chemical into a source of drinking water, which includes discharges or releases onto or into land, or into air, so long as the chemical will be deposited directly and
immediately into a source of drinking water, then Provider shall immediately stop the activities causing or threatening such discharge or release, prevent or limit human, environmental, or natural resource exposure to the discharge or release, and
take reasonable steps to stop any continuing discharge or release. Provider shall immediately notify Company that such a discharge or release has occurred or is threatened. Company will then determine whether the substances that gave rise to the
actual or threatened discharge or release may be used at the Company Facility or need to be removed from the Company Facility in order to comply with the requirements of Proposition 65. 

  

	 	(iii)	 In the event that the removal or remediation of hazardous or toxic substances (other than a Provider Substance Release, as defined below) located on the Company
Facility is required under any Applicable Law (a “Company Substance Condition”), then Company shall be responsible for the removal or remediation of such Company 

  

					
	Confidential	 	42	 	

	 	 
Substance Condition, and Provider shall give full cooperation to persons authorized to conduct such removal or remedial actions and take all reasonable steps
related to the Services to prevent any future or additional discharge or release with respect to such Company Substance Condition. Company shall indemnify, defend and hold Provider harmless from and against any and all third-party claims directly
arising from a Company Substance Condition. The immediately foregoing indemnity, defense and hold harmless obligations expressly exclude any claims in connection with the exacerbation of any Company Substance Condition arising from the negligence or
willful misconduct of Provider or its Personnel. 

  

	 	(iv)	In the event that hazardous or toxic substances were brought onto and released on the Company Facility by Provider or its Personnel in violation of this Agreement, an Order or
Applicable Law, then Provider at its sole cost and expense shall be responsible for and cause the removal and remediation of such hazardous or toxic substances to the fullest extent required to restore the affected property to the condition required
by Company for its intended use of such property (the “Remediation Standard”). At a minimum, the Remediation Standard shall comply with Applicable Laws. Provider’s removal and remediation activities pursuant to the preceding
sentence shall comply with the guidance and direction of Company’s EHS department. If a hazardous or toxic substance present at the Company Facility prior to the commencement of the Services hereunder or under an Order, or subsequently brought
to the Company Facility by Company, is released or otherwise exacerbated as a result of the negligence or willful misconduct of Provider or Provider’s Personnel, then Company, at Provider’s sole cost and expense, shall cause such hazardous
or toxic substance to be removed or otherwise remediated to the Remediation Standard. Provider shall immediately reimburse Company for the costs incurred by Company in performing the remediation described in the preceding sentence. For the purpose
of this Agreement, the releases of hazardous substances described in this paragraph individually shall be referred to in this Agreement as, a “Provider Substance Release.” Provider shall indemnify, defend and hold the Company
Indemnified Parties harmless from and against any and all third-party claims arising from or related to a Provider Substance Release and Provider’s failure to perform the removal or remediation of a Provider Substance Release when required by
this Section 23.3(iv). 

 23.4 Company Facilities. 
  

	 	(i)	Provider shall use the Company Facilities for the sole and exclusive purpose of providing the Services, subject to Company’s approval in its discretion of another use. Company
grants Provider a license for all such approved use of the Company Facilities. The use of Company Facilities by Provider does not constitute a leasehold or other property interest in favor of Provider. 

  

	 	(ii)	Provider shall use the Company Facilities in an efficient manner and in a manner that is coordinated, and does not interfere, with Company’s business or operations. To the
extent that Provider operates the space in a manner that unnecessarily increases facility or other costs incurred by Company, Company reserves the right to deduct such excess costs from the Services Costs payable hereunder. Provider shall be
responsible for any damage to the Company Facilities resulting from the abuse, misuse, neglect or negligence of Provider or other failure to comply with its obligations respecting the Company Facilities. 

  

	 	(iii)	Provider shall keep the Company Facilities in good order, not commit or permit waste or damage to Company Facilities or use Company Facilities for any unlawful purpose or act, and
shall comply with Company’s standard policies and procedures and applicable leases as these are made available to Provider regarding access to and use of the Company Facilities. 

  

					
	Confidential	 	43	 	

	 	(iv)	Provider shall permit Company Personnel to enter into those portions of the Company Facilities occupied by Provider Personnel at any time. 

  

	 	(v)	Provider shall not make improvements or changes involving structural, mechanical or electrical alterations to the Company Facilities without Company’s prior written approval.
Any improvements to the Company Facilities shall become the property of Company. 

  

	 	(vi)	When the Company Facilities are no longer required for performance of the Services, Provider shall return them to Company in substantially the same condition as when Provider began
use of them, subject to normal wear and tear. 

  

	24.	SECURITY 

 24.1 Access. Company shall provide the Project
Staff with access to Company Facilities during normal working hours as reasonably required to perform the Services. If any Provider Personnel require access to a Company site or facility outside of normal working hours, Provider shall request the
necessary permission from Company, which permission shall not be unreasonably withheld, conditioned or delayed. 
 24.2 Security Obligations on
Company’s Premises. At all times when present at Company’s premises, Provider and Provider Personnel shall comply with Company Policies, including those related to security. 
 24.3 Access to Provider’s Premises. If requested by Company in connection with Provider’s performance of this Agreement, Provider shall provide safe and
convenient access for Company to Provider’s premises. 
 24.4 Restrictions on Access. Any Provider Personnel who are required to enter any of
Company’s premises may be required to complete a badge request form and must adhere to all security requirements of Company’s security manager. Such Personnel of Provider may also be required to sign Company’s Confidential Disclosure
and Information Security Agreements and will have restricted access to Company’s Facilities for business purposes only from 8:30 a.m. to 5:30 p.m. Monday through Friday, unless otherwise pre-approved by Company. Upon completion of such
Personnel’s assignment at Company’s Facilities and/or in the event of termination of this Agreement, all badges shall be returned immediately to Company’s Security Department. 
 24.5 Background Checks. No Personnel of Provider will (i) perform Services at a Company site, (ii) receive an access badge from Company,
(iii) drive Company-owned or leased vehicles or (iv) routinely transport Company Personnel, without Provider, first providing to Company’s Security Department the Background Check Certification Form attached hereto as Exhibit M
(Background Check Certification Form) for the applicable Personnel. For all Provider Personnel (including Transitioned Employees), Provider shall perform, or shall use an outside agency to perform, the background check and all legally required
notifications to Provider Personnel set forth in the Background Check Certification Form. Failure or refusal to provide the requisite Background Check Certification Form, or submission of a Background Check Certification Form without having
performed the requisite background check, shall constitute a breach hereunder for which Company may terminate this Agreement immediately for cause, notwithstanding any right of Provider to cure. Provider shall return the appropriate Background Check
Certification Form for Provider’s representatives to the address set forth below the applicable Company site listed at the bottom of such form, prior to the Provider representative beginning his/her assignment at or for Company. In addition,
Provider will provide verification to Company that it performed similar background investigations for all existing Provider Personnel regularly involved in the provision of Services at the time such employees were hired by Provider or at some
subsequent time that is prior to their regular involvement in the provision of Services to Company. 
 24.6 Information Systems Security. In the event
this Agreement or an Order provides for remote access to Company’s electronic information systems (“CIS”) by Provider, Provider shall at all times protect CIS through procedures and tools deemed satisfactory to Company. Such
procedures and tools shall include without limitation: 
  

	 	(i)	A mechanism to determine and immediately report to Company possible security breaches; 

  

					
	Confidential	 	44	 	

	 	(ii)	Controls to ensure the return or destruction, at Company’s direction, of information transmitted through CIS; 

  

	 	(iii)	A process for maintaining the confidentiality, integrity and availability of information transmitted through CIS; and 

  

	 	(iv)	Methods for controlling access to CIS, which shall include without limitation (i) permitted access methods; (ii) an authorization process for users’ access and
privileges; and (iii) maintenance of a list of authorized users. 

 24.7 Access to CIS. Prior to Provider remotely accessing CIS,
in order for Company to determine its satisfaction with the foregoing procedures and tools, Provider shall submit to Company: 
  

	 	(i)	A list of established connections that Provider has with the electronic information systems of third parties in order for Company to evaluate security issues associated with such
connections and CIS; 

  

	 	(ii)	A copy of Provider’s security policies applicable to electronic information systems; and 

  

	 	(iii)	A copy of Provider’s most recent external penetration test or network audit of its electronic information systems. 

 24.8 CIS Audit. Without limiting any rights and remedies hereunder, Company shall have the right to audit and monitor the procedures and tools required pursuant
to Sections 24.6 and 24.7 to ensure compliance with the requirements hereunder. Company shall have the right to revoke or limit Provider’s access to CIS at any time, including without limitation in the event Provider is deemed by
Company, in its sole discretion, to have failed to comply with the requirements of this Article 24. In addition to its other obligations hereunder, Provider shall return to Company immediately upon any such revocation any hardware and
software provided to Provider by or on behalf of Company for use with CIS. 
 24.9 Access Protections. All Provider interconnectivity to Company
computing systems and/or networks and all attempts at such interconnectivity shall be only through Company’s security gateways/firewalls. Provider will not access, and will not permit unauthorized persons or entities to access, Company
computing systems and/or networks without Company’s express written authorization, and any such actual or attempted access shall be consistent with any such authorization. 
 24.10 Viruses. Provider shall use the latest version available of a mutually agreed virus detection/scanning program (i) prior to any attempt to access any of Company’s computing systems and/or
networks, (ii) prior to use of any software in connection with the Services, and (iii) prior to delivery or transfer of any software to Company. Upon detecting a virus, all attempts to access Company’s computing systems and/or
networks shall immediately cease and shall not resume until any such virus has been eliminated. Without limiting the foregoing, each Party shall use commercially reasonable efforts to avoid the transmission of any virus from its own systems to the
other Party’s systems. 
 24.11 Information Systems. To the extent Provider creates, uses or modifies software or information systems in
connection with providing the Services, Provider represents and warrants that all such software or information systems shall be maintained in a fully validated state. 
  

					
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 24.12 Security Breaches. In the event of an attack or threatened or suspected intrusion or other breach of
security against any computing systems and/or networks, hardware and/or software used to provide the Services, Provider shall, at its expense, and without limiting the Service Level obligations hereunder, take whatever steps are necessary to
immediately protect such systems, networks, hardware and/or software and prevent any further breaches, including, without limitation: (i) preventing further access to the systems, networks, hardware and software from the source of the attack,
(ii) immediately backing up the affected systems and any related systems, (iii) enhancing defensive systems to prevent any similar breaches in the future, (iv) contacting the ISP where the threat or attack originated and/or law
enforcement authorities; (v) investigating the extent of the damage, if any, (vi) producing an incident report detailing Provider’s findings and providing such report to Company, (vii) providing supplemental monitor traffic from
the attack source until risk of further attacks is deemed to be eliminated, and (viii) temporarily disabling the Services, if warranted by the circumstances and with prior approval of Company, provided that such Services are reinstated as soon
as the risk of further breaches is deemed to have been eliminated or adequate additional security measures have been implemented. Provider shall immediately contact Company upon discovering such an attack or threatened or suspected intrusion or
breach of security and provide to Company all information reasonably requested, and the Parties shall mutually agree on appropriate measures to be taken with respect thereto. 
 24.13 Company Disabling Access. In the event that Company shall disable Provider’s access to Company’s computing systems and/or networks, Provider shall be excused from failure to meet any Service
Levels only to the extent such failure is a direct result of such disabled access, provided that such disabled access is not caused by Provider or is initiated to protect Company’s computing systems and/or networks from a virus or disabling
device on Provider’s computing systems and/or networks. 
 24.14 Office Space. To the extent Company agrees to provide office space to Provider,
Company shall provide Project Staff with reasonable office space, office furnishings, janitorial services and utilities (including air conditioning) consistent with that which Company provides to its own similarly situated Personnel. Provider may
not provide services to other customers of Provider from space provided by Company without Company’s prior written consent. Company shall have the option during the Term to relocate Provider Personnel located on Company’s premises to other
comparable locations or facilities within the same metropolitan area. 
 24.15 Equipment Space. In the event that Provider shall be required to house
Equipment on Company premises in connection with the Services, Company shall provide Provider with adequate space, air conditioning, and security for such Equipment. Such space shall meet the reasonable operating specifications and environmental
conditions specified by Provider. 
 24.16 Company Assets. All assets owned, leased or otherwise held by Company during the Term or Termination
Assistance Period (“Company Assets”) shall at all times remain the sole property of Company; provided, however, Provider shall operate, repair, maintain and replace Company Assets as specified in this Agreement. Company Assets
required by Provider to perform its obligations hereunder are set forth in detail in Exhibit R, (Company Assets) or the relevant Order. Provider shall have access to and use of such Company Assets as set forth herein or in the relevant
Order(s) and may manage such assets as required or appropriate to enable Provider to properly perform the Services. 
  

	25.	REGULATORY COMPLIANCE 

 25.1 Compliance with Regulatory
Requirements. Provider understands and agrees that the Services provided hereunder may be in support of an IND or NDA submissions to the U.S. Food and Drug Administration (“FDA”) and/or similar regulatory submissions to any
Governmental Authority and Provider shall provide such Services and conduct its activities hereunder in compliance with all Applicable Laws related to such submissions. 
 25.2 Information and Support Involving Governmental Authorities. Provider shall provide Company with all cooperation and assistance reasonably required by Company in connection with informal presentations,
administrative hearings or court proceedings involving any Governmental Authority or other U.S. or international agency, and in private party litigation, to the extent such may be related to a project initiated hereunder. 
  

					
	Confidential	 	46	 	

 25.3 Documentation. Provider will prepare, maintain, and safeguard complete and accurate documentation regarding
the Services provided hereunder in compliance with all Applicable Laws, and the terms of this Agreement. 
 25.4 Additional Warranties and Covenants
Relating to Regulatory Compliance. Provider represents, warrants and covenants that (i) it has significant expertise and experience in providing services of the kind contemplated by this Agreement, and (ii) it is familiar with
Applicable Laws relating to the Services, including, but not limited to, the Health Insurance Portability and Accountability Act of 1996 and its implementing regulations set forth at 45 Code of Federal Regulations (“C.F.R.”) Parts
160 and 164, the Federal Food, Drug, and Cosmetic Act and the regulations promulgated pursuant thereto, and current good clinical practices and current good laboratory practices (each as defined under Applicable Laws). 
 25.5 Deliverables. Provider represents, warrants and covenants that each Deliverable (1) shall conform to the specifications and requirements for such
Deliverable agreed upon by the Parties, and (2) shall comply with cGMP, as applicable. 
 25.6 No Debarment. Provider represents and warrants
that neither Provider nor any of Provider Personnel rendering services in connection with this Agreement is presently: (i) the subject of a debarment action or is debarred pursuant to the Generic Drug Enforcement Act of 1992, (ii) the
subject of a disqualification proceeding or is disqualified as a clinical investigator pursuant to 21 C.F.R. §312.70, (iii) the subject of an exclusion proceeding or excluded from participation in any federal health care program under 42
C.F.R. Part 1001 et seq., or (iv) listed on the United States Department of Health & Human Services, Office of Research Integrity’s Administrative Actions Listing. Provider shall notify Company immediately upon any inquiry
concerning, or the commencement of any such proceeding concerning Provider or any of its Personnel. 
 25.7 HIPAA. To the extent that Provider
requires access in order to provide the Services or is otherwise provided access, Provider shall adhere to all current and future laws pertaining to privacy or confidentiality of patient information, including without limitation, the Health
Insurance Portability and Accountability Act of 1996 (45 C.F.R. parts 160 and 164)(“HIPAA”), and regulations, including without limitation, laws and regulations related to medical records and patient privacy, confidentiality, and
consumer protection. 
  

	26.	REPRESENTATIONS AND WARRANTIES 

 26.1 Mutual Representations.
Each Party hereby represents and warrants to the other Party as follows: 
  

	 	(i)	Due Authorization. Such Party is a corporation duly organized and in good standing as of the Effective Date, and the execution, delivery and performance of this Agreement by
such Party have been duly authorized by all necessary action on the part of such Party. 

  

	 	(ii)	Due Execution. This Agreement has been duly executed and delivered by such Party and, with due authorization, execution and delivery by the other Party, constitutes a legal,
valid and binding obligation of such Party, enforceable against such Party in accordance with its terms. 

  

	 	(iii)	No Conflict. Such Party’s execution, delivery and performance of this Agreement do not: (i) violate, conflict with or result in the breach of any provision of the
charter or by-laws (or similar organizational documents) of the Party; or (ii) conflict with or violate any law or governmental order applicable to the Party or any of its assets, properties or businesses. 

  

					
	Confidential	 	47	 	

	 	(iv)	Duly Licensed. Such Party is duly licensed, authorized or qualified to do business and is in good standing in every jurisdiction in which a license, authorization or
qualification is required for the ownership or leasing of its assets or the transaction of business of the character transacted by it except where the failure to be so licensed, authorized or qualified would not have a material adverse effect on
such Party’s ability to fulfill its obligations hereunder. 

 26.2 Provider Representations. Provider hereby represents, warrants
and covenants to Company as follows: 
  

	 	(i)	Infringement. The performance of the Services, the use of the Work Product, Provider Intellectual Property Rights and Third Party Intellectual Property, and Company’s
exercise of the rights granted to Company under this Agreement, do not and will not infringe, misappropriate or conflict with any Intellectual Property right of any third party. No confidential, proprietary or trade secret information that will be
used in performing the Services has been misappropriated from any third party. 

  

	 	(ii)	Quality. In performing the Services, Provider shall meet the professional standard of diligence, care, timeliness, trust and skill exercised by experienced members of
Provider’s profession with expertise in performing services similar to those to be provided hereunder. Provider possesses a high level of expertise in the business, administration, management and supervision required to undertake its
obligations contemplated hereunder and is fully and properly licensed, qualified, experienced, equipped, organized and financed to perform hereunder. 

  

	 	(iii)	Compliance with Laws. In performing under this Agreement, Provider shall comply with all Applicable Laws. 

  

	 	(iv)	Kickbacks. No employee, agent or representative of Provider has been offered, shall be offered, has received, or shall receive, directly or indirectly, from Company, any
gratuities, merchandise, cash, services benefit, fee, commission, dividend, gift, or other inducements or consideration of any kind in connection with this Agreement. 

  

	 	(v)	Title. Provider shall have good, free and clear title to all Work Product that Provider may deliver to Company under this Agreement, free and clear of any liens, claims or
encumbrances. 

  

	 	(vi)	Deliverables. At the time of delivery thereof to Company, the Work Product shall (i) function in accordance to any written specifications and requirements for such Work
Product, (ii) be free from defects, errors and deficiencies, (iii) be fit for the purposes and uses communicated by Company to Provider, its Affiliates and their respective Personnel or expected by a person receiving services similar to
this provided by the Provider under this Agreement and the applicable Order, (iv) meet the timelines set forth herein or in the applicable Order, and (v) comply with all Applicable Laws. 

  

	 	(vii)	Required Consents. Provider has obtained and possesses any and all necessary rights and consents to perform the Services and its obligations under this Agreement, including
the right to grant Company the rights granted hereunder. 

  

	 	(viii)	Capability to Perform. Provider is capable of and will perform its obligations hereunder and under each Order within the time limits and periods applicable thereto.

  

	 	(ix)	Financial Condition. Provider is financially solvent, able to pay its debts as they mature, and possesses sufficient working capital to complete its obligations hereunder.

  

					
	Confidential	 	48	 	

	 	(x)	Employment Issues. Provider is an employer subject to, and shall comply with, all Applicable Laws, including without limitation applicable wage and hour statutes,
unemployment compensation statutes and occupational safety and health statutes, and shall be responsible for withholding and payment of any and all payroll taxes and contributions, including without limitation federal, state, provincial,
commonwealth and local income taxes; Federal Insurance Contributions Act, Federal Unemployment Tax Act and state unemployment contributions; and workers’ compensation and disability insurance payments. 

  

	 	(xi)	Third Party Intellectual Property. No Work Product provided hereunder shall incorporate or require use of any Third Party Intellectual Property for which Company would be
liable for royalty or other payments separate and apart from the Service Costs unless specifically agreed to in writing by Company. 

  

	 	(xii)	No Conflict. Provider’s execution, delivery and performance of this Agreement do not conflict with, result in any breach of, constitute a default (or event which with
the giving of notice or lapse of time, or both, would become a default) under, require any consent under, or give to others any rights of termination, amendment, acceleration, suspension, revocation or cancellation of any note, bond, mortgage or
indenture, contract, agreement, lease, sublease, license, permit, franchise or other instrument or arrangement to which Provider is a party. 

  

	 	(xiii)	Personnel. Provider shall use an adequate number of qualified individuals who possess the requisite training, education, licensing, experience and skill to perform its
obligations hereunder. 

  

	 	(xiv)	Technology and Equipment. Provider shall provide the Services using proven, current technology, Equipment and software that shall enable Company to take advantage of
technological advancements in Provider’s industry. All Equipment provided by Provider pursuant to this Agreement shall be new, not refurbished or reconditioned, except to the extent agreed to by Company in writing, and Provider is either the
owner of, or authorized to use, the Equipment provided by Provider pursuant to this Agreement. 

  

	 	(xv)	Provider Due Diligence. Prior to entering into this Agreement, Provider has undertaken all inspections, investigations and analysis as Provider deems necessary and
appropriate in connection with entering into this Agreement and committing to provide the Services upon the terms and conditions set forth in this Agreement. Provider hereby acknowledges that Company has delivered or made available to Provider all
information and documents Provider has deemed necessary, including all information and documents requested by Provider (collectively, the “Due Diligence Information”) for Provider to enter into this Agreement and perform its
obligations under this Agreement in accordance with its terms. Provider shall not be relieved of any of its obligations under this Agreement, as a result of (i) its failure to review the Due Diligence Information or any documents referred to
therein, or (ii) its failure to request any other information or documents from Company. 

 26.3 Warranties Not Exclusive. The
warranties provided hereunder are not sole or exclusive, shall not be construed to modify or limit in any way any rights or remedies which Company may otherwise have against Provider, and are in addition to any other express or implied warranties
set forth in this Agreement or provided by law. The warranties set forth herein do not extend to any Equipment or Services that have been intentionally misused by Company contrary to clear, documented instructions without the supervision of and
prior written approval of Provider, or if Company removes or renders illegible the relevant Provider serial numbers or warranty date decals. 
 26.4 Third
Party Warranties. Provider shall secure on the Company’s behalf the maximum warranty period available for all goods and services provided by third parties; which period, unless expressly 

  

					
	Confidential	 	49	 	

 
agreed to by Company in writing and on a case-by-case basis, shall be for a period of no less than eighteen (18) months after completion of the subject
Services. Without limiting the other provisions of this Article 26, Provider shall assign to Company all warranties provided by Subcontractors or other third parties who furnish goods and/or services in connection with Provider’s
performance hereunder. Provider warrants that it shall perform its obligations in such manner so as to preserve any such third party warranties. Provider shall use commercially reasonable efforts to assist Company in enforcing such third party
warranties. In the event that Provider’s best efforts are unsuccessful, Provider shall perform all obligations under such third party warranties at Provider’s expense. 
 26.5 Warranty Corrective Actions. In the event Provider fails to meet a warranted condition under this Agreement, Provider shall promptly identify an action plan for (i) correcting such warranted
condition; and (ii) correcting any damages arising out of or resulting from Provider’s failure to meet such warranted condition. Such action plan shall be subject to Company’s approval and be promptly implemented by Provider to
Company’s satisfaction. The implementation of such action plan and all actions taken in furtherance thereof shall be governed by the terms of this Agreement. Provider shall bear all costs associated with and incidental to such implementation.
If Provider refuses or is not able to promptly identify or implement an action plan satisfactory to Company, Company may take corrective actions as it sees fit, all at Provider’s expense. 
  

	27.	CONFIDENTIALITY 

 27.1 Confidentiality. Each Party shall
maintain in confidence all Confidential Information of the other Party, and shall not disclose such Confidential Information to any third party except to those of its Personnel as are necessary in connection with the receiving Party’s
activities as contemplated by this Agreement, and shall not use Confidential Information of the other Party for any purpose other than the performance of its obligations hereunder. In maintaining the confidentiality of Confidential Information of
the other Party, each Party shall exercise the same degree of care that it exercises with its own confidential information, and in no event less than a reasonable degree of care. Each Party shall ensure that each of its Personnel holds in confidence
and makes no use of the Confidential Information of the other Party for any purpose other than those permitted under this Agreement or otherwise required by law. Each Party shall clearly and completely convey the requirements of this Article 27
to all of its Personnel to ensure such requirements are understood and followed. [*] 
 27.2 Exceptions. The obligation of
confidentiality contained in this Agreement shall not apply to the extent that a Party can demonstrate that (a) the disclosed information was at the time of such disclosure to such Party already in (or thereafter enters) the public domain other
than as a result of actions of such Party or its Personnel in violation hereof; (b) the disclosed information was rightfully known to such Party without any obligation of confidentiality prior to the date of disclosure to such Party;
(c) the disclosed information was received by such Party on an unrestricted basis from a source unrelated to any Party to this Agreement and not under a duty of confidentiality; or (d) the information was independently developed by such
Party without use of or reference to Company’s Confidential Information. In the event that the Party receiving Confidential Information receives a request from a third party, pursuant to a valid subpoena, legally valid governmental authority
request, or other valid legal request, that requires it to disclose Company’s Confidential Information, prior to disclosing such Confidential Information or Company Data, such Party shall (i) give the other Party prompt (but in no event
later than forty eight (48) hours after receipt of the request) prior written notice of the requested disclosure which notice shall include a copy of such subpoena or request, (ii) use reasonable efforts to resist disclosing the
Confidential Information, (iii) cooperate with the other Party on request to obtain a protective order or otherwise limit the disclosure of the Confidential Information, (iv) consent to an injunction or protective order and not oppose the
other Party’s request to intervene, and (v) prior to such disclosure, provide a letter from its counsel confirming that the Confidential Information is, in fact, required to be disclosed. A disclosure of Confidential Information in
accordance with the preceding sentence of this Section 27.2 shall not be deemed a breach of the confidentiality obligations hereunder. 
 27.3
Unauthorized Disclosure. Each Party acknowledges and confirms that the Confidential Information of the other Party constitutes proprietary information or trade secrets valuable to the other 

  

					
	Confidential	 	50	 	
	
	Note: Redacted portions have been marked with [*]. The redacted portions are subject to a request for confidential treatment that has been submitted to the Securities and Exchange
Commission.

 
Party, and that the unauthorized use, loss or outside disclosure of such Confidential Information may cause irreparable injury to the other Party. Each Party
shall notify the other Party immediately upon discovery of any unauthorized use or disclosure of Confidential Information, and will cooperate with the other Party in every reasonable way to help regain possession of such Confidential Information and
to prevent its further unauthorized use. 
 27.4 Injunctive Relief. Each Party acknowledges that monetary damages is not a sufficient remedy for
unauthorized disclosure of Confidential Information of the other Party and that the other Party shall be entitled, without waiving other rights or remedies, to such injunctive or equitable relief as may be deemed proper by a court of competent
jurisdiction. 
 27.5 Return of Information. Upon the earlier of (i) completion of the Services to be performed under each Order,
(ii) expiration or termination of an Order or this Agreement, or (iii) a written request by the other Party, each Party shall return to the other Party all Confidential Information in its possession or control, including any copies,
reproductions, or derivative works thereof. 
 27.6 Company Data. All Company Data is and shall remain the property of Company and shall be deemed
Confidential Information of Company. Except with the prior written consent of Company, Company Data shall not be (i) used by Provider other than in connection with providing the Services, (ii) disclosed, sold, assigned, leased or otherwise
provided to third parties by Provider, (iii) commercially exploited by or on behalf of Provider, or (iv) allowed by Provider to be used or disclosed for any such purpose by third parties. Upon the request of Company, Provider shall
(i) at Company’s expense, promptly return to Company, in the format and on the media requested by Company, all Company Data, and (ii) erase or destroy all Company Data in Provider’s possession. Any archival tapes or other media
containing Company Data shall be used by Provider solely for back-up purposes. 
 27.7 No Implied Rights. Subject to the provisions of
Article 11, each Party’s Confidential Information shall remain the property of that Party. Nothing contained in this Section 27.7 shall be construed as obligating a Party to disclose its Confidential Information to the
other Party, or as granting to or conferring on a Party, expressly or impliedly, any rights or license to the Confidential Information of the other Party, and any such obligation or grant shall only be as provided by other provisions of this
Agreement. 
  

	28.	RISK ALLOCATION 

 28.1 Insurance Coverage. Provider shall at
all times during the Term and Termination Assistance Period maintain the insurance coverage set forth in Exhibit O (Insurance Provisions). The insurance obligations hereunder shall be in addition to and in no way be construed to limit the
indemnification obligations set forth herein. 
 28.2 Force Majeure. A “Force Majeure Event” shall be an event, occurrence or
circumstance that (a) directly impacts the Company Facilities; (b) directly impacts the Party’s performance of its obligations that must be performed on the Company Facilities; and (c) is caused, directly or indirectly, by acts
of God, war, riots, terrorism, embargos, industry-wide strikes and boycotts, acts of public enemy, acts of military authority, earthquake, fire or flood; provided that (i) such Party is without fault or negligence in causing such delay;
(ii) such delay could not have been prevented by reasonable precautions taken by such Party, including without limitation the use of alternate sources or workaround plans; (iii) such Party uses commercially reasonable efforts to recommence
performance of such obligations whenever and to whatever extent possible following the Force Majeure Event; and (iv) such Party immediately notifies the other Party by the most expedient method possible (to be confirmed in writing) and
describes at a reasonable level of detail the circumstances causing the delay. A Party shall not be liable for any delay in performance of its obligations hereunder if and to the extent such delay is caused by a Force Majeure Event. During the
duration of the Force Majeure Event, the Party so affected shall use its reasonable commercial efforts to avoid or remove such Force Majeure Event and shall take reasonable steps to resume its performance under this Agreement with the least possible
delay. Whenever a Force Majeure Event causes Provider to allocate limited resources between or among Provider’s customers, Company shall receive priority allocation of such resources. Notwithstanding anything to the contrary in this 

  

					
	Confidential	 	51	 	

 
Paragraph, in the event Provider’s performance under this Agreement or any Order(s) is delayed for a period of thirty (30) days or more due to a
delay excusable under this Section 28.2, Company may terminate this Agreement and/or such Order(s) immediately upon notice to Provider. 
 28.3
Consequential Damages. SUBJECT TO SECTION 28.5, NEITHER PARTY SHALL BE LIABLE TO THE OTHER PARTY FOR ANY INDIRECT, INCIDENTAL, EXEMPLARY, SPECIAL OR CONSEQUENTIAL DAMAGES ARISING OUT OF OR IN CONNECTION WITH THIS AGREEMENT, EVEN IF
SUCH PARTY HAS BEEN ADVISED OF THE POSSIBILITY OF SUCH DAMAGES. 
 28.4 Limitation of Liability. Subject to Section 28.5, each
Party’s total liability to the other per calendar year, whether in contract or in tort (including breach of warranty, negligence and strict liability in tort) shall be limited to an amount equal to [*]. 
 28.5 Exceptions. The limitations set forth in Section 28.3 and Section 28.4 shall not apply with respect to: (1) damages occasioned
by the unlawful acts or omissions, willful misconduct or gross negligence of a Party; (2) claims that are the subject of indemnification hereunder; (3) breach of Article 27; and (4) damages occasioned by improper or wrongful
termination of this Agreement or abandonment of the Services by Provider; (5) Service Costs payable to Provider by Company in accordance with this Agreement or payable by Provider to its Personnel; and (6) any [*].

 28.6 Mitigation. Each Party shall have a duty to mitigate damages for which the other Party is responsible. 
  

	29.	INDEMNIFICATION 

 29.1 Provider Indemnification. Provider
shall defend, indemnify and hold harmless Company, its Affiliates, and their respective officers, directors and Personnel (the “Company Indemnified Parties”) from and against any and all third party (for purposes of this Section,
“third party” shall include Provider Personnel) suits, actions, legal or administrative proceedings, claims, liens, demands, damages, liabilities, losses, costs, fees, penalties, fines and expenses (including without limitation
attorneys’ fees and expenses (both Company’s in-house and outside attorneys), and costs of investigation, litigation, settlement, and judgment) (“Losses”) arising out of or related to: 
  

	 	(i)	Claims arising out of or related to breach of Provider’s representations, warranties and covenants set forth in this Agreement; 

  

	 	(ii)	Breaches of Article 27; 

  

	 	(iii)	Any and all acts or omissions of Provider or its Personnel (unless performed under the specific instructions of Company) resulting in any death, bodily injury or damage to real or
tangible personal property in connection with the Services, or any intentional, fraudulent, tortious or negligent act or omission of Provider or Provider Personnel; 

  

	 	(iv)	Any and all acts or omissions of Provider that results in the breach by a Company Indemnified Party of (A) its contractual obligations to a third party or (B) any legal or
regulatory requirement applicable to such Company Indemnified Party, which contractual obligation or legal or regulatory requirement is within the scope of the Services or is being managed by or the responsibility of Provider in connection with the
Services; 

  

	 	(v)	Relating to Provider’s failure to observe or perform any duties or obligations to be observed or performed on or after the Effective Date by Provider under any contracts,
including software licenses, Equipment leases, Assigned Contracts and Managed Contracts, in each case, that are within the scope of Services or being managed by or the responsibility of Provider in connection with the Services, except to the extent
Company has either withheld or not timely made a properly invoiced payment with respect to such Subcontractor or Supplier; 

  

					
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	Note: Redacted portions have been marked with [*]. The redacted portions are subject to a request for confidential treatment that has been submitted to the Securities and Exchange
Commission.

	 	(vi)	Claims that the performance or use of the Services, or that the Deliverables, Provider Equipment, any other enhancements or modifications to any works prepared or provided by
Provider or any other resources or items provided to Company by Provider (collectively, “Provider Provided Items”) infringe the Intellectual Property or other proprietary rights of such third party, except as may have been caused by
(A) a modification or misuse of such Provider Provided Items other than according to or in compliance with the specifications or designs of such Provider Provided Items, or (B) the combination, operation or use of such Provider Provided
Items with Equipment not furnished or approved by Provider or not contemplated by the documentation for or expected use of such Provider Provided Items; 

  

	 	(vii)	Any claim by Provider Personnel against any Company Indemnified Party [*]; 

  

	 	(viii)	Any claim or action by, on behalf of, or related to, Affected Personnel to the extent accruing on or after the Effective Date[*]; 

  

	 	(ix)	Any claims relating to any Transitioned Personnel arising before, on or after the Effective Date arising from the acts or omissions of Provider, or one of its Affiliates
[*]; 

  

	 	(x)	[*]; and 

  

	 	(xi)	Claims arising from a breach of Article 18. 

 29.2 Company
Indemnification. Company shall indemnify and hold harmless Provider, its Affiliates, and their respective officers, directors and Personnel (the “Provider Indemnified Parties”) from and against any and all Losses arising out of
or related to: 
  

	 	(i)	Claims arising out of or related to breach of Company’s representations, warranties and covenants set forth in this Agreement; 

  

	 	(ii)	The acts or omissions of Company or its Personnel resulting in any death, bodily injury or damage to real or tangible personal property, or any intentional, fraudulent, tortious or
negligent act or omission of Company or Company Personnel; 

  

	 	(iii)	Any claims by, or on behalf of, or related to the Transferred Employee arising from the acts or omissions of the Company, or one of its Affiliates, prior to the Effective Date,
including claims relating to employment or engagement, occupational health and safety, worker’s compensation, ERISA or arising under other Applicable Laws[*]; 

  

	 	(iv)	Any claims relating to the termination by Company of Affected Employees or Affected Contractors who either refuse, for whatever reason, to accept Provider’s offer of employment
or engagement in accordance with Section 12.23(i), Section 12.23(ii) or Section 12.23(iv), or who object to the transfer of their employment to Provider with or without good reason; 

  

	 	(v)	[*]; and 

  

	 	(vi)	Claims by or on behalf of Transitioned Employees that the transfer of their employment to Provider or the terms on which Provider proposes to employ them is [*] in
breach of their contract of employment. 

  

					
	Confidential	 	53	 	
	
	Note: Redacted portions have been marked with [*]. The redacted portions are subject to a request for confidential treatment that has been submitted to the Securities and Exchange
Commission.

 29.3 Infringement. If any Provider Provided Item becomes, or in Provider’s reasonable opinion is likely to
become, the subject of an infringement, including misappropriation, claim or proceeding, Provider shall, in addition to indemnifying Company as provided in this Article 29 and to the other rights Company may have under this Agreement,
(i) promptly at Provider’s expense secure the right to continue using the Provider Provided Item, or (ii) if this cannot be accomplished with commercially reasonable efforts, then at Provider’s expense, replace or modify the
Provider Provided Item to make it non-infringing, provided that any such replacement or modification shall not degrade the performance or quality of the Provider Provided Item or any affected component of the Services, or (C) if neither of the
foregoing can be accomplished by Provider with commercially reasonable efforts, and only in such event, then remove the Provider Provided Item from the Services, in which case the Services Costs shall be equitably adjusted to reflect such removal.

 29.4 Indemnification Procedures. With respect to third-party claims for which a Party is seeking indemnification hereunder, the following
procedures shall apply: 
  

	 	(i)	Promptly after receipt by any entity entitled to indemnification under Section 29.1 and Section 29.2 of notice of the assertion or the commencement of any
action, proceeding or other claim by a third party in respect of which the indemnitee shall seek indemnification pursuant to any such Section, the indemnitee shall notify the indemnitor of such claim in writing. No failure to so notify an indemnitor
shall relieve it of its obligations under this Agreement except to the extent that it can demonstrate actual damages attributable to such failure. Within fifteen (15) days following receipt of written notice from the indemnitee relating to any
claim, but no later than ten (10) days before the date on which any response to a complaint or summons is due, the indemnitor shall notify the indemnitee in writing if the indemnitor acknowledges its indemnification obligation and elects to
assume control of the defense and settlement of that claim (a “Notice of Election”). 

  

	 	(ii)	If the indemnitor delivers a Notice of Election relating to any claim within the required notice period, the indemnitor shall be entitled to have sole control over the defense and
settlement of such claim; provided that (1) the indemnitee shall be entitled to participate in the defense of such claim and to employ counsel at its own expense to assist in the handling of such claim; and (2) the indemnitor shall obtain
the prior written approval of the indemnitee before entering into any settlement of such claim or ceasing to defend against such claim. After the indemnitor has delivered a Notice of Election relating to any claim in accordance with the preceding
paragraph, the indemnitor shall not be liable to the indemnitee for any legal expenses incurred by the indemnitee in connection with the defense of that claim. In addition, the indemnitor shall not be required to indemnify the indemnitee for any
amount paid or payable by the indemnitee in the settlement of any claim for which the indemnitor has delivered a timely Notice of Election if such amount was agreed to without the written consent of the indemnitor. 

  

	 	(iii)	If the indemnitor does not deliver a Notice of Election relating to a claim, or otherwise fails to acknowledge its indemnification obligation or to assume the defense of a claim,
within the required notice period, the indemnitee shall have the right to defend the claim in such manner as it may deem appropriate, at the cost and expense of the indemnitor, including payment of any judgment or award and the costs of settlement
or compromise of the claim. The indemnitor shall promptly reimburse the indemnitee for all such costs and expenses, including payment of any judgment or award and the costs of settlement or compromise of the claim. 

 29.5 Subrogation. In the event that an indemnitor shall be obligated to indemnify an indemnitee pursuant to this Article 29, the indemnitor shall,
upon fulfillment of its obligations with respect to indemnification, including payment in full of all amounts due pursuant to its indemnification obligations, be subrogated to the rights of the indemnitee with respect to the claims to which such
indemnification relates. 
  

					
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 29.6 Liens by Provider. To the extent permitted by Applicable Law, Provider hereby waives and releases any and all
lien rights and similar rights for payment for services, labor, equipment or materials furnished by Provider in performance of its obligations hereunder and granted by law to persons supplying materials, equipment, services and other items of value
to improve or modify land or the structures thereon, which Provider may have against Company’s or Company’s landlord’s premises, property or funds payable to Company. 
 29.7 Third-Party Liens. Except to the extent Company has either withheld or not timely made a properly invoiced payment with respect to such Subcontractor or Supplier, if a lien affecting any of Company’s
rights is filed by any Supplier or Subcontractor, Provider must remove the lien within ten (10) days of notice of lien or of written demand from Company, whichever is earlier. If Provider fails to remove the lien, Company may (i) pay the
amount of the lien, (ii) bond the removal of the lien, or (iii) take any other step necessary to remove the lien. Provider shall immediately reimburse Company for the cost of removal of any such lien, including without limitation all
attorneys’ fees and costs, upon receipt of written demand from Company. If Provider fails to reimburse Company, Company may back charge or withhold the cost of removal, including without limitation all attorneys’ fees and costs, from any
amount that Company may be required to pay to Provider for performance of its obligations hereunder. 
  

	30.	DISPUTE RESOLUTION 

 30.1 Identification of Problems. During
the Term and Termination Assistance Period, each Party shall bring to the attention of the other Party any issues that may reasonably be expected to prevent such Party from completing, or that may delay or otherwise affect the performance of, its
obligations under this Agreement. 
 30.2 Dispute Resolution Procedures. Should a dispute arise that, in the opinion of either Party, threatens to
impair the continued performance of this Agreement by either or both of the Parties, the aggrieved Party shall provide the other Party with written notice setting forth the nature of such dispute. The dispute shall be referred to a committee of
four, comprised of two senior executives of each Party. The committee shall convene as promptly as possible, and in no event more than two (2) business days after receipt of such notice, to attempt to resolve the problem as promptly as
possible. The committee shall continue to meet in accordance with a schedule that it shall determine until the problem shall be resolved. If the problem is not resolved within five (5) business days after the first meeting of the committee
(“Resolution Period”), either Party shall be free to pursue all available remedies, at law or in equity, consistent with the terms of this Agreement, unless the Parties shall agree in writing to extend the Resolution Period.
Notwithstanding the foregoing, either Party may, before, during, or after the Resolution Period, apply to a court of competent jurisdiction for a temporary restraining order, preliminary injunction of other equitable relief, where such relief is
necessary to protect its interests. Notwithstanding any other provision of this Agreement, in the event that any Party believes in good faith a dispute or potential dispute to be “urgent,” such Party shall have no obligations to utilize
the dispute resolution mechanism set forth in this Paragraph, and such Party may immediately seek any remedies available to such Party at law or in equity. 
  

	31.	EQUIPMENT 

 31.1 Company Provided Equipment. Company shall
retain ownership of all Equipment that is owned by Company as of the Effective Date, or that is subsequently acquired in the name of the Company during the Term or Termination Assistance Period, and supplied by Company to Provider and used to
provide the Services (“Company Provided Equipment”). Company will retain the lease agreements for all Equipment that is leased in Company’s name as of the Effective Date, or that is subsequently leased in the name of the
Company during the Term or Termination Assistance Period. Company shall provide Provider with access to such Company Provided Equipment on an “as is, where is” basis for use by Provider in delivering the Services. Company’s and
Provider’s respective responsibilities with respect to the upgrade, replacement and refreshing of Company Provided Equipment may vary by Equipment type and shall be as set forth in Exhibit G (Equipment List) or the applicable Order.
Company shall be responsible for procuring any upgrades with respect to such Company Provided Equipment. Unless 

  

					
	Confidential	 	55	 	

 
otherwise set forth herein or in the applicable Order, Provider shall manage and maintain all of the Company Provided Equipment in accordance with the
maintenance schedules recommended by the applicable Equipment manufacturer. 
 31.2 Provider Equipment. Provider shall be responsible for providing
any Equipment other than the Company Provided Equipment that is necessary or required to provide the Services (collectively, the “Provider Equipment”). Provider shall install, operate, manage and maintain all of the Provider
Equipment, in accordance with the maintenance schedules recommended by the applicable Equipment manufacturer. All Provider Equipment shall be currently supported by the applicable Equipment manufacturer. Notwithstanding the location of Provider
Equipment at a Company Facility, all right, title and interest in and to any such Provider Equipment shall be and remain in Provider, and Company shall not have any title or ownership interest in the Provider Equipment; provided, however, by the
delivery of written notice to Provider, Company may elect to cause Provider to transfer to Company or its designee ownership of any Provider Equipment designated by Company in such notice that is no longer used in the performance of Services under
this Agreement or any Order issued pursuant to this Agreement. 
 31.3 New Equipment. Provider shall acquire new Equipment in addition to, or in
replacement of, existing Provider Equipment and Company Provided Equipment that is necessary or appropriate to provide the Services in accordance with the Service Levels. Unless otherwise set forth herein or in the applicable Order, such new
Equipment shall be purchased or leased in the name of Provider, except for purchases or leases of upgrades or replacements for Company Provided Equipment, which shall be purchased or leased in the name of Company. 
 31.4 Procurement Responsibilities. With respect to Equipment procured by Provider to meet its obligations hereunder, Provider’s responsibilities shall
include: (i) evaluating the Equipment and the qualifications of the Equipment vendor; (ii) negotiating the most favorable pricing and terms; and (iii) ordering, receiving, configuring, installing, testing, maintaining and distributing
all new Equipment. 
 31.5 Asset Tracking. Company shall perform tracking and asset management for all Company Provided Equipment and Provider
Equipment, and ensure compliance with applicable contractual restrictions. With respect to any Provider Equipment leased by Provider, Provider shall structure its leasing arrangements so that the applicable leases may be assigned to Company upon the
termination of this Agreement and so that any ongoing payments under those leases payable by Company after such assignment are consistent with, and no higher than, the payments payable by Provider prior to such assignment. 
 31.6 Equipment Disposal. Provider shall be responsible for the disposal of Provider Equipment and Company Provided Equipment no longer required by Provider for
the provision of the Services. Provider shall dispose of all such Equipment in a manner consistent with the requirements of Applicable Law and Company Policies. 
  

	32.	MISCELLANEOUS 

 32.1 Consents. Unless otherwise specified in
this Agreement, all consents, approvals, acceptances or similar actions to be given by either Party under this Agreement shall not be unreasonably withheld, conditioned or delayed and each Party shall make only reasonable requests under this
Agreement. 
 32.2 Assignment. Company has specifically contracted with Provider because of its unique experience, expertise and qualifications; and,
therefore, Provider may not assign or delegate Provider’s obligations under this Agreement, either in whole or in part, without the prior written consent of Company. Any attempt by Provider to assign or delegate this Agreement, in whole or in
part, without Company’s prior written consent, shall be deemed a default hereunder and such assignment or delegation shall be voidable at the option of Company. Company may assign this Agreement at any time without the prior consent of
Provider. Notwithstanding the foregoing, any assignment of Provider’s obligations hereunder by operation of law, or pursuant to any plan of merger or consolidation, shall be deemed an assignment for which prior written consent of Company is not
required; provided, however, that in any such event 

  

					
	Confidential	 	56	 	

 
Provider shall provide prompt prior written notice of such event and Company may terminate this Agreement pursuant to Section 17.7. This
Agreement shall be binding on the Parties and their respective successors and permitted assigns. 
 32.3 Notices. Any notice required or permitted
hereunder shall be in writing and shall be deemed given as of the date it is (i) delivered by hand; or (ii) received by registered or certified mail, postage prepaid, return receipt requested; or (iii) confirmed as received if by
facsimile; or (iv) received by nationally recognized, overnight courier, and addressed to the party to receive such notice at the address set forth below, or such other address as is subsequently specified in writing: 
  

			
	If to Company:	  	If to Provider:
		
	 Vice President, Global Strategic Sourcing
	  	 CEO, Corporate Solutions

	 Amgen Inc.
	  	 Jones Lang LaSalle Americas, Inc.

	 Mailstop: 91-2-C
	  	 200 East Randolph Drive

	 One Amgen Center Drive
	  	 Chicago, IL 60601

	 Thousand Oaks, CA 91320-1799
	  	 Fax Number: [*]

	 Fax Number: [*]
	  	
		
	With a copy to:	  	With a copy to:
		
	 General Counsel
	  	 Chief Commercial Counsel, Americas

	 Attn: Operations Group
	  	 Jones Lang LaSalle Americas, Inc.

	 Amgen Inc.
	  	 200 East Randolph Drive

	 Mailstop: 28-1-A
	  	 Chicago, IL 60601

	 One Amgen Center Drive
	  	 Fax Number: [*]

	 Thousand Oaks, CA 91320-1799
	  	
	 Fax Number: [*]
	  	
		
	With a copy of any notices of an indemnity claim that triggers a Notice of Election under Section 29.4:	  	With a copy of any notices of an indemnity claim that triggers a Notice of Election under Section 29.4:
		
	 Director, Corporate Insurance
	  	 Jones Lang LaSalle

	 Amgen Inc.
	  	 Attn: Risk Management Department

	 One Amgen Center Drive
	  	 Jones Lang LaSalle Americas, Inc.

	 Mail Stop 24-2-A
	  	 200 East Randolph Drive

	 Thousand Oaks, CA 91320-1799
	  	 Chicago, IL 60601

	 Fax Number: [*]
	  	 Fax Number: [*]

 32.4 Governing Law. This Agreement shall be governed by the laws of the State of California, excluding
conflict of law rules. 
 32.5 Venue and Jurisdiction. With respect to any dispute arising out of or related to this Agreement or the transactions
contemplated hereby, the Parties hereby irrevocably and unconditionally submit to the exclusive jurisdiction and venue (and waive any claim of forum non conveniens) of (i) the state or federal courts sitting in Ventura County, California; or
(ii) if such court does not have jurisdiction, the United States District Court for the Central District of California. 
 32.6 Independent
Contractor. Provider shall be acting as an independent contractor in performing the Services and shall not be considered or deemed to be an agent, employee, joint venturer or partner of Company. Provider shall have no authority to contract for
or to bind Company in any manner and shall not represent itself as an agent of Company or as otherwise authorized to act for or on behalf of Company. 
  

					
	Confidential	 	57	 	
	
	Note: Redacted portions have been marked with [*]. The redacted portions are subject to a request for confidential treatment that has been submitted to the Securities and Exchange
Commission.

 32.7 Publicity. Except for the purposes of performance hereunder, neither Party shall use or allow its Personnel
to use the other Party’s name, the names of the other Party’s Affiliates, or any derivatives thereof without the other Party’s prior written consent, which may be withheld at the other Party’s sole discretion. This prohibition of
use shall include without limitation use in any publicity or advertising, including without limitation media releases, public announcements, or public disclosures. A Party violating this Section 32.7 shall immediately provide notice to
the other Party in the event it becomes aware of any violation of this prohibition and, at the violating Party’s sole expense, take such steps necessary to cease and cure such violation to the non-violating Party’s satisfaction.

 32.8 Cumulative Remedies. Except as expressly provided herein, no remedy made available to either Party hereunder is intended to be exclusive of
any other remedy provided hereunder or available at law or in equity. 
 32.9 Amendment. This Agreement may not be amended or modified except by an
instrument in writing signed by authorized representatives of Company and Provider. Unless otherwise specified by Company, to be effective, a representative of Company’s Global Strategic Sourcing Department must authorize in writing any
amendment or modification to this Agreement including without limitation amendments or modifications to Service Levels and the scope of Services. 
 32.10
No Waiver. The failure of either Party to enforce at any time for any period the provisions of or any rights deriving from this Agreement shall not be construed to be a waiver of such provisions or rights or the right of such Party thereafter
to enforce such provisions. 
 32.11 Severability. If any term or other provision of this Agreement is invalid, illegal or incapable of being enforced
by any law or public policy, all other terms and provisions of this Agreement shall nevertheless remain in full force and effect so long as the economic or legal substance of the transactions contemplated hereby is not affected in any manner
materially adverse to any Party. 
 32.12 Headings. The descriptive headings contained in this Agreement are for convenience of reference only and
shall not affect in any way the meaning or interpretation of the Agreement. 
 32.13 Counterparts. This Agreement may be executed in one or more
counterparts, and by the respective Parties in separate counterparts, each of which when executed shall be deemed to be an original but all of which taken together shall constitute one and the same Agreement. 
 32.14 Entire Agreement. This Agreement and the Orders constitute the entire agreement between the Parties with respect to the subject matter hereof, and no oral
or written statement that is not expressly set forth in this Agreement or the Orders may be used to interpret or vary the meaning of the terms and conditions hereof. This Agreement, including the Exhibits attached hereto and any Orders, supersede
any prior or contemporaneous agreements and understandings, whether written or oral, between the Parties with respect to the subject matter hereof. 
 32.15
Third Party Beneficiaries. Except as expressly provided herein, nothing in this Agreement, either express or implied, is intended to or shall confer upon any third party any legal or equitable right, benefit or remedy of any nature whatsoever
under or by reason of this Agreement. 
  

	33.	DEFINITIONS 

 33.1 Certain Defined Terms. The following
defined terms as used in the Agreement, including its exhibits and appendices, shall have the meanings set forth below. 
  

					
	Confidential	 	58	 	

 Affected Contractors. “Affected Contractors” means those individuals or entities who are subject
to Company Contractor Agreements and who are identified as “affected contractors” in Schedule 8 (Affected Personnel) of Exhibit A (Description of Services) or an applicable Order. 
 Affected Employees. “Affected Employees” means those Company employees identified as “affected employees” in Schedule 8 (Affected
Personnel) of Exhibit A (Description of Services) or an applicable Order. 
 Affected Personnel. “Affected Personnel” means,
collectively, Affected Contractors and Affected Employees. 
 Affiliate. “Affiliate” means any entity controlling, controlled by or
under common control with a Party, but only for so long as such control continues, where “control” means: (i) the ownership of at least fifty percent (50%) of the equity or beneficial interest of such entity, or the right to vote
for or appoint a majority of the board of directors or other governing body of such entity; or (ii) the power to directly or indirectly direct or cause the direction of the management and policies of such entity by any means whatsoever.

 Agreed Service Location. “Agreed Service Location” means any premises and facilities approved by Company and specified in
Exhibit A (Description of Services) or an applicable Order as a location from which or for which the Services will be performed. 
 Agreement.
“Agreement” means this Integrated Facilities Management Services Agreement and all appendices, exhibits, schedules and other attachments thereto, and all amendments of any of the foregoing. 
 Applicable Law. “Applicable Law” means any country, international, federal, state, provincial, commonwealth, cantonal or local government law,
statute, rule, requirement, code, regulation, permit, ordinance, authorization or similar such governmental requirement and interpretation and guidance documents of the same by a Governmental Authority as applicable to Provider, Company, the
Services, or this Agreement. 
 ARD Countries. “ARD Countries” means those jurisdictions that have implemented ARD Laws and in which
Company or one of its Affiliates employs Affected Employees. 
 ARD Laws. “ARD Laws” means (1) the European Community Council
Directive (77/187/EEC) of February 14, 1977 as consolidated by Council Directive 2001/23/EC of March 12, 2001, in each case as amended from time to time, and legislation and Laws implementing such directives in any country in which an
Agreed Service Location or a location from which Provider performs Services is located or where Transitioned Employees are employed; and (2) equivalent legislation and Laws dealing with the same subject matter as such directives. 
 Assigned Contracts. “Assigned Contracts” means any third party agreements that are assigned, in whole or in part, to Provider from Company or its
Affiliates, such agreements to be identified as “Assigned Contracts” in Schedule 10 (Assigned and Managed Contracts/Company Contractor Agreements) of Exhibit A (Description of Services) or an applicable Order. 
 BC Policies. “BC Policies” means the business continuity and disaster recovery policies, standards and guidelines set forth in Exhibit P
(Business Continuity Policies), as modified by Company from time-to-time. 
 Benchmarker. “Benchmarker” means an independent and
industry-recognized organization appointed by Company that is acknowledged by the Parties (each Party acting reasonably) to have directly relevant benchmarking expertise, methodology and data sources. 
  

					
	Confidential	 	59	 	

 Best Practice. “Best Practice” means the relevant best industry standards and practices for the
performance of Comparable Services. 
 cGMP. “cGMP” means (i) the applicable regulatory requirements, as amended from time to
time, for current good manufacturing practices, including without limitation those promulgated by the Food and Drug Administration under the United States Federal Food, Drug and Cosmetic Act, 21 C.F.R. § 210 et seq. or under
the Public Health Service Act, Biological Products, 21 C.F.R. §§ 600-610, the European Medicines Agency or Health Canada under the Food and Drugs Act (Canada), R.S. 1985, CF-27 and its associated regulations; (ii) any applicable
guidance documents published by a Governmental Authority; and (iii) current industry practice consistent and in accordance therewith. 
 Change
Control Process. “Change Control Process” means the process for making Changes to Services set forth in Article 5. 
 Company
Data. “Company Data” means all Company data stored, processed, accessed, or accessible by Provider, including data that Provider has derived from such information, in connection with the Services. 
 Company Facilities. “Company Facilities” means physical premises owned or controlled by Company at which Services are being performed by
Provider. 
 Company Policies. “Company Policies” means any of Company’s compliance, safety, security and other rules, programs,
regulations, policies and procedures (including Standard Operating Procedures) applicable to Provider or this Agreement, including, but not limited to, the BC Policies and the rules, programs, regulations and policies set forth in Exhibit I (Company
Standard Operating Procedures) and Exhibit J (Company Standard Policies), as modified from time-to-time in accordance with Section 4.6. 
 Comparable Services. “Comparable Services” means services that are supplied by third parties, and that are similar to the relevant Services (or the relevant category of such Services), having regard to factors such
as the nature and size of Provider, Company, the relevant geographies, the Service Levels and volumes, the quality, nature and type of the relevant Services and the standard to which such Services are subject, any particular or unique circumstances
in which such Services are received/supplied and any other relevant factors. 
 Competitor.
“Competitor” means any company or entity that, either independently or through its Affiliates, competes (or intends to compete) in a material manner with Company and includes without limitation the following: [*] 
 Confidential Information. “Confidential Information” of a Party means all information, unless specifically identified by such Party as non-confidential, regardless of how communicated or stored, concerning the
operations, affairs, products and businesses of such Party, the financial affairs of such Party, and the relations of such Party with its customers, employees and service providers, including without limitation, confidential or proprietary
information, trade secrets, data, drafts, documents, communications, plans, know-how, formulas, improvements, designs, estimates, calculations, test results, specimens, schematics, drawings, tracings, studies, specifications, surveys, facilities,
photographs, documentation, software, equipment, processes, programs, reports, orders, maps, models, agreements, ideas, methods, discoveries, inventions, patents, concepts, research, development, business and financial information, customer or
client lists, account information, procedures, computer information and databases, business plans, budget forecasts, business arrangements, financial information and estimates, personnel data, and long-term plans and goals. “Confidential
Information” of Company shall include (i) all information relating to the Services and Orders, including the terms and conditions of this Agreement, (ii) the specifications, designs, documents, correspondence, software,
documentation, data and other materials and Work Products produced by or for Provider in the course of performing the Services other than Provider Intellectual Property Rights, (iii) Deliverables and Company data, and (iv) other Company
information or data stored or otherwise or communicated, and obtained, received, transmitted, processed, stored, archived, maintained or derived by Provider under this Agreement or in connection with the 

  

					
	Confidential	 	60	 	
	
	Note: Redacted portions have been marked with [*]. The redacted portions are subject to a request for confidential treatment that has been submitted to the Securities and Exchange
Commission.

 
Services. “Confidential Information” of Provider shall include all information concerning the operations, affairs and businesses of
Provider, the financial affairs of Provider, and the relations of Provider with its other customers, employees and suppliers (including customer lists, customer (other than Company) information, account information, and consumer markets).

 Deliverables. “Deliverables” means any and all tangible Work Product, reports, data, specifications, designs, documents,
correspondence, software, documentation, and other materials, Work Product and other deliverables resulting from the Services. 
 Disaster.
“Disaster” means any incident, unplanned disruption or unplanned interruption whether relating to information processing facilities, inaccessibility of buildings, and unavailability of resources or otherwise (including a Force
Majeure Event) that impairs the ability of Provider to perform any of the Services. 
 Equipment. “Equipment” means computer,
telecommunications, mechanical, electrical and other equipment (without regard to the entity owning or leasing such equipment) used by Provider to provide the Services. 
 Event of Deteriorating Provider Condition. “Event of Deteriorating Provider Condition” means any of the following events: (i) Provider ceases to do business as a going concern, makes an
assignment for the benefit of creditors, is unable to pay its debts as they become due, is insolvent or the subject of receivership, or any substantial part of Provider’s property is or becomes subject to any levy, seizure, assignment or sale
for or by any creditor or governmental agency without being released or satisfied within ten (10) days thereafter; (ii) Provider’s auditors issue an opinion expressing doubt as to whether Provider can maintain itself as a “going
concern,” or Provider’s credit is materially downgraded by a nationally recognized credit agency; (iii) any judgment or tax lien is filed or issued against Provider that materially impacts Provider’s ability to provide the
Services to Company; (iv) bankruptcy proceedings, whether voluntary or involuntary, are commenced by or against Provider; (v) Provider sells all or substantially all of its assets, or a material portion of its assets related to the
Services; and (vi) there is a material adverse change in the Provider’s business, financial condition or prospects that is reasonably likely to result in a delay in the performance of Provider’s obligations hereunder, or a reduction
in the quality of such performance. 
 Excused Company-Related Delay. “Excused Company-Related Delay” means a critical path delay in the
performance of the Services that Provider demonstrates to Company’s reasonable satisfaction is directly attributable to: (A) a breach of this Agreement by Company; or (B) acts or omissions of Company or a Third Party Supplier,
provided that (i) Provider is without fault or negligence in causing such delay; (ii) such delay could not have been prevented by reasonable precautions taken by Provider, including without limitation the use of alternate sources or
workaround plans; (iii) Provider uses commercially reasonable efforts to mitigate the impacts of the delay; and (iv) Provider immediately notifies Company by the most expedient method possible (to be confirmed in writing) and describes at
a reasonable level of detail the circumstances causing the delay. 
 Governmental Authority. “Governmental Authority” means any and
all governmental or regulatory authorities having jurisdiction over this Agreement and/or any Services or Orders associated therewith, including the FDA or any counterpart of the FDA outside of the United States. 
 Intellectual Property. “Intellectual Property” means: (i) patents, patent applications and statutory invention registrations;
(ii) trademarks, service marks, domain names, trade dress, logos, and other source identifiers, including registrations and applications for registration thereof; (iii) copyrights, including registrations and applications for registration
thereof; (iv) trade secrets; (v) moral rights; and (vi) any other industrial or proprietary rights similar to the foregoing. 
 Major
Subcontracts. “Major Subcontracts” means (i) all Subcontracts with compensation exceeding [*]; (ii) those Subcontracts that include the performance of any of the following Services: (a) installation
or maintenance of high voltage electrical systems; fire and life safety systems; critical process control systems including without limitation building automation systems and critical equipment monitoring 

  

					
	Confidential	 	61	 	
	
	Note: Redacted portions have been marked with [*]. The redacted portions are subject to a request for confidential treatment that has been submitted to the Securities and Exchange
Commission.

 
systems; utility systems; bulk and specialty gas storage, monitoring, and delivery systems; high purity systems; energy management of /ventilation/air
conditioning systems and refrigeration; (b) security guard services; (c) maintenance planning and administration; (d) capital projects; (f) engineering; (g) laundry; (h) pest control; (i) utilities;
(j) specialty maintenance research; or (k) instrument calibration; and (iii) any other Subcontracts or types of Subcontracts that Company may in the future designate as “Major Subcontracts.” 
 Major Supply Contracts. “Major Supply Contracts” means (i) all Supply Contracts with compensation exceeding [*]; (ii) Supply Contracts
materially related to the Major Subcontracts and (iii) any other Supply Contracts or types of Supply Contracts that Company may in the future designate as “Major Supply Contracts.” 
 Managed Contracts. “Managed Contracts” means any third party agreements to which Company or an Affiliate of Company is a party and for which
Provider assumes management responsibility in connection with the Services, including any agreements identified as “Managed Contracts” in Exhibit A (Description of Services) or an applicable Order. “Managed
Contracts” shall not include the Assigned Contracts. 
 Material Change. “Material Change” means any Change Request
or series of Change Requests that involves a change in the scope of Services in excess of US$200,000.00 in any calendar year. 
 Order Effective
Date. “Order Effective Date” means the date set forth in an Order for commencement of Services under such Order. 
 Personnel.
“Personnel” of a Party means such Party’s directors, officers, employees, Subcontractors, Third Party Suppliers, consultants, representatives and agents, excluding the other Party, who contribute or who are dedicated to the
performance of such Party’s obligations under this Agreement. 
 Provider Competitor. “Provider Competitor” means any of the
following entities and their respective Affiliates [*] 
 Provider Intellectual Property Rights. “Provider Intellectual Property
Rights” means any and all software and other Intellectual Property rights either (i) owned by or licensed to Provider and incorporated in or required to operate or utilize any Work Product which intellectual property is pre-existing on
the Effective Date or the Order Effective Date governing the development of such Work Product or (ii) developed by Provider after the Effective Date or the Order Effective Date provided that the development of such Provider Intellectual
Property Rights was not part of the Work Product performed pursuant to any Services to be performed under this Agreement or any Order issued pursuant to this Agreement. 
 Reimbursable Costs. “Reimbursable Costs” means those actual and necessary costs (excluding Non-Reimbursable Costs), all without any mark-up that (i) Company agrees to pay Provider in
accordance with the terms of this Agreement, and (ii) Provider reasonably and properly incurs in performing its obligations hereunder. 
 SAS 70 Gap
Period. “SAS 70 Gap Period” means the period of time between the issuance of a SAS 70 Type II Report by the service auditor and the date of the assessment by Company of the adequacy of Company’s controls pursuant to the
Compliance Objectives. 
 SAS 70 Type II Report. “SAS 70 Type II Report” means a written opinion of a service auditor, issued in
accordance with and subject to the requirements of SAS 70, covering the Services, and addressing (i) whether Provider’s description of its controls presents fairly, in all material respects, the relevant aspects of Provider’s controls
that had been placed in operation as of a specified date, (ii) whether such controls were suitably designed to achieve the Control Objectives, and (iii) whether the controls that were tested were operating with sufficient effectiveness to
provide reasonable, but not absolute, assurance that the Control Objectives were achieved during the period specified; together with the service auditor’s 

  

					
	Confidential	 	62	 	
	
	Note: Redacted portions have been marked with [*]. The redacted portions are subject to a request for confidential treatment that has been submitted to the Securities and Exchange
Commission.

 
(a) description of the Control Objectives, (b) report on the operating effectiveness of the controls, and (c) description of the tests of the
operating effectiveness of the controls that may be relevant to specified assertions in Company’s financial statements, and the results of those tests. The SAS 70 Type II Report will contain any additional information that may be required under
SAS 70 and will contain a paragraph stating that the SAS 70 Type II Report is intended to be used by customers of Provider and such customers’ independent auditors. 
 Service Categories. “Services Categories” shall mean those specific kinds or types of Services to be performed by Provider or by its Subcontractors. The initial Services Categories are
identified in Exhibit A (Description of Services). The parties may add Services Categories by mutual written agreement. 
 Service Disruption.
“Service Disruption” means the occurrence of (i) a disruption of any of the Services caused by a Force Majeure Event, or (ii) any other material disruption of the Services. 
 Service Levels. “Service Levels” for a Service means the service metrics and key performance indicators for such Service set forth in Exhibit
C (Key Performance Indicators/Service Level Agreements) or the Order governing the performance of such Service, including the SLA Targets and KPI Targets. 
 Standard of Care. “Standard of Care” means (i) meeting the professional standards of diligence, care, timeliness, trust, dependability, safety, efficiency, economy and skill exercised by members of
Provider’s profession in the United States with expertise in providing comparable first class services substantially similar in size, scope, cost and complexity to those to be provided hereunder, (ii) exercising such professional standards
by appropriate action or inaction during the Term and any Termination Assistance Period, and (iii) complying with all Applicable Laws. 
 Stranded
Costs. “Stranded Costs” means [*]. 
 Supplier. “Supplier” means a third party who has entered
into a Supply Contract. 
 Supply Contracts. “Supply Contracts” means third party trade and supply agreements that are required in
the prudent conduct of the reasonable and ordinary performance of the applicable Services. 
 Third Party Intellectual Property. “Third Party
Intellectual Property” means Intellectual Property licensed by Provider from third parties and used to provide the Services or incorporated in any Work Product. 
 Transitioned Contractors. “Transitioned Contractors” means Affected Contractors whose contractor agreements are either terminated or assigned pursuant to Section 12.23(ii).

 Transitioned Employees. “Transitioned Employees” means Affected Employees who either accept an offer of employment with Provider
or whose employment is transitioned to Provider pursuant to relevant ARD Laws (or the equivalent in countries outside of the EU) and become employed by Provider effective as of the start of business on the Effective Date or such other date as to
which the Parties mutually agree. 
 Transitioned Personnel. “Transitioned Personnel” means, collectively, Transitioned Employees and
Transitioned Contractors. 
 Work Product. “Work Product” means any and all work product, Deliverables, reports, data, developments,
inventions, ideas and discoveries, technology, including patentable and unpatentable inventions, test results, testing methods, materials, and Intellectual Property developed, discovered, improved, authored, derived, invented or acquired by, for, or
on behalf of Company in connection with or while performing Services, including improvements, variations, modifications, or derivative works to Intellectual Property. Innovations, practices, procedures, inventions, ideas, discoveries and technology
developed by Provider only in connection with the Services or for Company’s account shall be exclusive Work Product of Company. Innovations, practices, procedures, inventions, ideas, discoveries and 

  

					
	Confidential	 	63	 	
	
	Note: Redacted portions have been marked with [*]. The redacted portions are subject to a request for confidential treatment that has been submitted to the Securities and Exchange
Commission.

 
technology developed by Provider generally in connection with the Services and services provided to other customers of Provider shall not be exclusive Work
Product of Company. With respect to Provider Intellectual Property Rights, Work Product shall only include the licenses and rights provided for in this Agreement, and Company shall not be conveyed full ownership of such Provider Intellectual
Property Rights. 
 33.2 Other Defined Terms. 
  

			
	 “Account Executive”
	  	Section 12.1
		
	 “Aggregate KPI Score”
	  	Exhibit C
		
	 “Aggregate SLA Score”
	  	Exhibit C
		
	 “Allocated MFAR Portion”
	  	Exhibit C
		
	 “Annual Budgets”
	  	Exhibit D
		
	 “Approved Equipment Lease Termination Fee”
	  	Section 13.3
		
	 “Approved Subcontract Termination Fee”
	  	Section 13.1
		
	 “Approved Supply Contract Termination Fee”
	  	Section 13.3
		
	 “ARD Affected Employees”
	  	Section 12.23(iv)
		
	 “Base Management Fee”
	  	Exhibit D
		
	 “BC Plan”
	  	Section 8.1
		
	 “Benchmark Category”
	  	Section 10.1
		
	 “Burden Rates”
	  	Exhibit D
		
	 “C.F.R.”
	  	Section 25.4
		
	 “Change”
	  	Section 5.1
		
	 “Change Request”
	  	Section 5.1
		
	 “Chemical Release”
	  	Exhibit L
		
	 “CIS”
	  	Section 24.6
		
	 “CMMS”
	  	Exhibit A
		
	 “Code”
	  	Section 11.9
		
	 “Company”
	  	Preamble
		
	 “Company Assets”
	  	Section 24.16
		
	 “Company Contractor Agreements”
	  	Section 12.23(ii)

  

					
	Confidential	 	64	 	

			
	“Company Emergency Change”	  	Section 5.10
		
	“Company Indemnified Parties”	  	Section 29.1
		
	“Company Provided Equipment”	  	Section 31.1
		
	“Company Substance Condition”	  	Section 23.3 (iii)
		
	“Control Objectives”	  	Section 15.9
		
	“Controllable Costs”	  	Exhibit D
		
	“Cost Baseline”	  	Exhibit D
		
	[*]	  	Exhibit D
		
	[*]	  	Exhibit D
		
	“Critical Affected Personnel”	  	Section 12.23(iii)
		
	“Direct Provider Labor”	  	Exhibit D
		
	“Direct Provider Labor Allocation”	  	Exhibit D
		
	“Disqualifying Event”	  	Exhibit C
		
	“Due Diligence Information”	  	Section 26.2(xv)
		
	“Effective Date”	  	Preamble
		
	“Emergency”	  	Exhibit D
		
	“Emergency Change”	  	Section 5.10
		
	“FDA”	  	Section 25.1
		
	“Fiscal Quarter”	  	Exhibit D
		
	“Fiscal Year”	  	Exhibit D
		
	“Fiscal Year Prior to the Measurement Year”	  	Exhibit D
		
	“For Cause”	  	Section 12.12
		
	“Force Majeure Event”	  	Section 28.2
		
	“GAAP”	  	Section 15.2
		
	“HIPAA”	  	Section 25.7
		
	“Incentive Compensation”	  	Exhibit D

  

					
	Confidential	 	65	 	
	
	Note: Redacted portions have been marked with [*]. The redacted portions are subject to a request for confidential treatment that has been submitted to the Securities and Exchange
Commission.

			
	“Incidental Expenses”	  	Exhibit D
		
	“Initial Term”	  	Section 17.1
		
	“Key Performance Indicators” or “KPIs”	  	Exhibit C
		
	“Key Provider Personnel”	  	Section 12.11
		
	“Key Transferred Employee”	  	Section 12.23(iii)
		
	“KPI Default”	  	Exhibit C
		
	“KPI Failure”	  	Exhibit C
		
	“KPI Multiplier”	  	Exhibit C
		
	“KPI Out-Performance Bonus”	  	Exhibit D
		
	“KPI Score”	  	Exhibit C
		
	“KPI Scorecard”	  	Exhibit C
		
	“KPI Table”	  	Exhibit C
		
	“KPI Target”	  	Exhibit C
		
	“Labor Disputes”	  	Section 13.14
		
	“Losses”	  	Section 29.1
		
	“Managed Costs”	  	Exhibit D
		
	“Managed Facility”	  	Exhibit D
		
	“Management Fee”	  	Exhibit D
		
	“Management Fee at Risk”	  	Exhibit D
		
	“Management Fee at Risk Earned”	  	Exhibit C
		
	“Measurement Period”	  	Exhibit C
		
	“Measurement Year”	  	Exhibit D
		
	“MFAR Amount at Risk”	  	Exhibit C
		
	“MFAR Amount Earned”	  	Exhibit C
		
	“Minimum Savings”	  	Exhibit D
		
	“MSDS”	  	Exhibit L

  

					
	Confidential	 	66	 	

			
	“New Services”	  	Section 2.3
		
	“Non-Controllable Costs”	  	Exhibit D
		
	“Non-Reimbursable Costs”	  	Exhibit D
		
	“Notice of Election”	  	Section 29.4(i)
		
	“Operating Costs and Expenses”	  	Exhibit D
		
	“Operational Responsibility Matrix”	  	Exhibit A
		
	“Operations”	  	Exhibit A
		
	“Order”	  	Section 2.3
		
	“Order Effective Date”	  	Exhibit K
		
	“Outcomes”	  	Exhibit A
		
	“Party” or “Parties”	  	Preamble
		
	“Plan”	  	Exhibit A
		
	“PM”	  	Exhibit L
		
	“Policies and Procedures Guide”	  	Section 12.4
		
	“Potential Management Fee”	  	Exhibit D
		
	“Potential Management Fee Rate”	  	Exhibit D
		
	“Program Manager”	  	Section 12.2
		
	“Project Staff”	  	Section 12.16
		
	“Proposition 65”	  	Section 23.3 (ii)
		
	“Provider”	  	Preamble
		
	“Provider Emergency Change”	  	Section 5.10
		
	“Provider Equipment”	  	Section 31.2
		
	“Provider Indemnified Parties”	  	Section 29.2
		
	“Provider Provided Items”	  	Section 29.1(vi)
		
	“Provider Required Consents”	  	Section 14.5
		
	“Provider Senior Management”	  	Exhibit D

  

					
	Confidential	 	67	 	

			
	“Provider’s Shared Savings”	  	Exhibit D
		
	“Provider Substance Release”	  	Section 23.3(iv)
		
	“Provider T&M Project Labor”	  	Exhibit D
		
	“Remediation Standard”	  	Section 23.3(iv)
		
	“Renewal Term”	  	Section 17.1
		
	“Resolution Period”	  	Section 30.2
		
	“Savings”	  	Exhibit D
		
	“Savings Initiative”	  	Exhibit D
		
	“Savings Performance Manager”	  	Exhibit D
		
	“Schedule”	  	Section 16.2
		
	“Services”	  	Section 2.1
		
	“Services Costs”	  	Section 19.1
		
	“Service Level Agreements” or “SLAs”	  	Exhibit C
		
	“Shared Savings”	  	Exhibit D
		
	“Shared Savings Multiplier”	  	Exhibit D
		
	“Shared Savings Threshold”	  	Exhibit D
		
	“Small Project Services”	  	Exhibit A
		
	“SLA Failure”	  	Exhibit C
		
	“SLA Scorecard”	  	Exhibit C
		
	“SLA Target”	  	Exhibit C
		
	“Staffing Action Plan”	  	Section 12.14
		
	“Staffing Notice”	  	Section 12.14
		
	“Step-In”	  	Section 7.1
		
	“Subcontract”	  	Section 13.1
		
	“Subcontractor”	  	Section 13.1
		
	“Taxes”	  	Exhibit Q

  

					
	Confidential	 	68	 	

			
	“Technology Solutions”	  	Exhibit A
		
	“Term”	  	Section 17.1
		
	“Termination Assistance Period”	  	Section 18.1
		
	“Termination Assistance Services”	  	Section 18.1
		
	“Third Party Supplier” or “Third Party Suppliers”	  	Section 12.20
		
	“Three-Year Budget”	  	Exhibit D
		
	“Toxic Substances”	  	Exhibit L
		
	“Transferred Employees”	  	Section 12.8
		
	“Transition”	  	Section 6.1
		
	“Transition Costs”	  	Exhibit D
		
	“Transition Deliverables”	  	Section 6.1(iii)
		
	“Transition Manager”	  	Section 6.5
		
	“Transition Milestone”	  	Section 6.1
		
	“Transition Plan”	  	Section 6.1
		
	“Weighted Average Aggregate Annual KPI Score”	  	Exhibit D
		
	“Weighted KPI Period”	  	Exhibit D

 IN WITNESS WHEREOF, this Agreement has been executed by the Parties. 
  

									
	AMGEN INC.	 		 	JONES LANG LASALLE AMERICAS, INC.
					
	Signature:	 	 /s/    FABRIZIO BONANNI
	 		 	Signature:	 	 /s/    BRIAN P. HAKE

					
	By:	 	Fabrizio Bonanni	 		 	By:	 	Brian P. Hake
					
	Title:	 	Executive Vice President, Operations	 		 	Title:	 	Executive Vice President/ Chief Administrative Officer
	  
 Signature:
	 	 /s/    FARRYN MELTON
	 		 		 	
					
	By:	 	Farryn Melton	 		 		 	
					
	Title:	 	Vice President, Global Strategic Sourcing and Chief Procurement Officer	 		 		 	

  

					
	Confidential	 	69NYSE Group, Inc. Supplemental Executive Retirement Plan

 Exhibit 10.50 
 NYSE GROUP, INC 
 SUPPLEMENTAL EXECUTIVE RETIREMENT PLAN 
 As Amended and Restated Effective 
 December
31, 2008 

 TABLE OF CONTENTS 
  

							
	 	  	Page
	 INTRODUCTION
	  	1
		
	 PART A PROVISIONS APPLICABLE TO NYSE PARTICIPANTS AND GENERAL PROVISIONS
	  	A-1
				
	 ARTICLE
	  	1	 	DEFINITIONS	  	A-1
				
		  	1.1	 	“Actuarial Equivalent”	  	A-1
				
		  	1.2	 	“Administrator”	  	A-1
				
		  	1.3	 	“Age Fifty-Five”	  	A-1
				
		  	1.4	 	“AMEX”	  	A-1
				
		  	1.5	 	“AMEX Plan”	  	A-1
				
		  	1.6	 	“Base Benefit”	  	A-1
				
		  	1.7	 	“Base Salary”	  	A-2
				
		  	1.8	 	“Beneficiary”	  	A-2
				
		  	1.9	 	“Board”	  	A-2
				
		  	1.10	 	“Bonus”	  	A-2
				
		  	1.11	 	“Chief Officer”	  	A-2
				
		  	1.12	 	“Code”	  	A-3
				
		  	1.13	 	“Committee”	  	A-3
				
		  	1.14	 	“Compensation”	  	A-3
				
		  	1.15	 	“Disability”	  	A-4
				
		  	1.16	 	“Early Retirement Base”	  	A-4
				
		  	1.17	 	“Early Retirement Offset”	  	A-4
				
		  	1.18	 	“Eligible Employee”	  	A-4
				
		  	1.19	 	“Eligible Salary Level”	  	A-5
				
		  	1.20	 	“Employee”	  	A-5
				
		  	1.21	 	“Employer”	  	A-5
				
		  	1.22	 	“ERISA”	  	A-5
				
		  	1.23	 	“Final Average Compensation”	  	A-5
				
		  	1.24	 	“Grandfathered NYSE Participant”	  	A-5
				
		  	1.25	 	“Historic NYSE Participant”	  	A-6
				
		  	1.26	 	“Incentive Compensation Plan”	  	A-6

							
				
		  	1.27	 	“Minimum Benefit”	  	A-6
				
		  	 1.28
	 	“NYSE”	  	A-6
				
		  	 1.29
	 	“NYSE Controlled Group”	  	A-6
				
		  	 1.30
	 	“NYSE Participant”	  	A-6
				
		  	 1.31
	 	“Offset Amount”	  	A-6
				
		  	 1.32
	 	“Optional Distribution Form”	  	A-7
				
		  	 1.33
	 	“Optional Distribution Time”	  	A-8
				
		  	 1.34
	 	“Participant”	  	A-8
				
		  	 1.35
	 	“Plan”	  	A-8
				
		  	 1.36
	 	“Plan Year”	  	A-8
				
		  	 1.37
	 	“Qualifying Entity”	  	A-8
				
		  	 1.38
	 	“Qualifying Entity Plan”	  	A-8
				
		  	 1.39
	 	“Restatement Date”	  	A-8
				
		  	 1.40
	 	“Retirement Date”	  	A-8
				
		  	 1.41
	 	“Retirement Plan”	  	A-9
				
		  	 1.42
	 	“Senior Officer”	  	A-9
				
		  	 1.43
	 	“Social Security Benefit”	  	A-9
				
		  	 1.44
	 	“Specified Employee”	  	A-9
				
		  	 1.45
	 	“Spouse”	  	A-10
				
		  	 1.46
	 	“Standard Form”	  	A-10
				
		  	 1.47
	 	“Subsidiary”	  	A-10
				
		  	 1.48
	 	“Supplemental Benefit”	  	A-10
				
		  	 1.49
	 	“Termination of Employment”	  	A-10
				
		  	 1.50
	 	“2008 VRIP”	  	A-10
				
		  	 1.51
	 	Construction	  	A-10
				
	 ARTICLE
	  	 2
	 	SERVICE	  	A-10
				
		  	 2.1
	 	Definition of Service	  	A-10
				
		  	 2.2
	 	Limited Period Break in Service.	  	A-11
				
		  	 2.3
	 	Service Not Credited During Certain Periods.	  	A-12
				
		  	 2.4
	 	Service Outside of the United States.	  	A-12
				
		  	 2.5
	 	Service prior to June 1, 1999.	  	A-12
				
		  	 2.6
	 	Service after March 31, 2006.	  	A-12
				
	 ARTICLE
	  	 3
	 	ELIGIBILITY FOR PARTICIPATION	  	A-12

							
				
	 ARTICLE
	 	4	 	VESTING	  	A-12
				
		 	4.1	 	Vesting Requirements.	  	A-12
				
		 	4.2	 	Discretionary Vesting.	  	A-13
				
		 	4.3	 	Other Forfeiture.	  	A-13
				
	 ARTICLE
	 	5	 	SUPPLEMENTAL BENEFITS	  	A-13
				
		 	5.1	 	General.	  	A-13
				
		 	5.2	 	Freeze of Benefit Accruals for All NYSE Participants.	  	A-13
				
		 	5.3	 	Supplemental Benefit at or after Normal Retirement Date.	  	A-14
				
		 	5.4	 	Supplemental Benefit at Early Retirement Date.	  	A-14
				
		 	5.5	 	2008 VRIP.	  	A-14
				
	 ARTICLE
	 	6	 	PAYMENT	  	A-14
				
		 	6.1	 	Basic Form of Benefit.	  	A-14
				
	 ARTICLE
	 	7	 	DEATH OF NYSE PARTICIPANT	  	A-15
				
		 	7.1	 	Death Prior to Termination of Employment.	  	A-15
				
		 	7.2	 	Death After Termination of Employment.	  	A-17
				
		 	7.3	 	Payment of Supplemental Benefits Following NYSE Participant’s Death.	  	A-17
				
		 	7.4	 	Form of Death Benefit.	  	A-17
				
		 	7.5	 	Beneficiary’s Death.	  	A-17
				
		 	7.6	 	Death After Retirement Date.	  	A-18
				
	 ARTICLE
	 	8	 	LIFE INSURANCE	  	A-18
				
	 ARTICLE
	 	9	 	DETERMINATION OF SOCIAL SECURITY BENEFIT	  	A-18
				
	 ARTICLE
	 	10	 	NATURE OF OBLIGATIONS OF NYSE	  	A-19
				
		 	10.1	 	No Funding of Plan.	  	A-19
				
		 	10.2	 	Cost of Plan.	  	A-19
				
		 	10.3	 	Participants are Unsecured Creditors.	  	A-19
				
	 ARTICLE
	 	11	 	NON-ASSIGNMENT OF INTEREST	  	A-19
				
	 ARTICLE
	 	12	 	NOT AN EMPLOYMENT CONTRACT	  	A-19
				
	 ARTICLE
	 	13	 	WITHHOLDING	  	A-20
				
		 	13.1	 	Withholding.	  	A-20
				
	 ARTICLE
	 	14	 	ADMINISTRATION OF THE PLAN	  	A-20
				
		 	14.1	 	Authority of Administrator.	  	A-20
				
		 	14.2	 	Plan Expenses.	  	A-21

							
		 	14.3	 	Actions in Writing.	  	A-21
				
		 	14.4	 	Calculation of Benefits.	  	A-21
				
	 ARTICLE
	 	15	 	CLAIMS PROCEDURES	  	A-21
				
		 	15.1	 	Claims Procedures.	  	A-21
				
	 ARTICLE
	 	16	 	AMENDMENT AND TERMINATION	  	A-22
				
	 ARTICLE
	 	17	 	JURISDICTION	  	A-22
				
	 ARTICLE
	 	18	 	PAYMENT NOT SALARY	  	A-23
				
	 ARTICLE
	 	19	 	SEVERABILITY	  	A-23
				
	 ARTICLE
	 	20	 	NON-EXCLUSIVITY	  	A-23
				
	 ARTICLE
	 	21	 	NON-EMPLOYMENT	  	A-23
				
	 ARTICLE
	 	22	 	GENDER AND NUMBER	  	A-23
				
	 ARTICLE
	 	23	 	HEADINGS AND CAPTIONS	  	A-23
				
	 ARTICLE
	 	24	 	ENTIRE AGREEMENT	  	A-24
				
	 ARTICLE
	 	25	 	SALE OF ASSETS OF NYSE REGULATION, INC. – SPECIAL DISTRIBUTION ELECTIONS AND VESTING.	  	A-24
				
		 	25.1	 	Special Elections Permitted.	  	A-24
				
		 	25.2	 	Requirements for Effective Election.	  	A-24
				
		 	25.3	 	Changes to Elections.	  	A-24
				
		 	25.4	 	Vesting.	  	A-24
				
		 	25.5	 	Defined Terms.	  	A-24
				
	 ARTICLE
	 	26	 	COMPLIANCE	  	A-25
				
	 ARTICLE
	 	27	 	EFFECT OF DOMESTIC RELATIONS ORDERS	  	A-25
		
	 EXHIBIT A TO PART A OF THE PLAN
	  	A-26
		
	 APPENDIX A TO PART A OF THE PLAN HISTORIC BENEFIT
	  	A-27
		
	 PART B PROVISIONS APPLICABLE TO SIAC PARTICIPANTS
	  	B-1
				
	 ARTICLE
	 	1	 	DEFINITIONS	  	B-1
				
		 	1.1	 	“Affiliate Plan”	  	B-1
				
		 	1.2	 	“Affiliated Organizations”	  	B-1
				
		 	1.3	 	“Basic Plan”	  	B-1
				
		 	1.4	 	“Beneficiary”	  	B-1
				
		 	1.5	 	“Compensation”	  	B-2
				
		 	1.6	 	“Deemed Date of Hire”	  	B-2

							
				
		 	1.7	 	“Determination Period”	  	B-2
				
		 	1.8	 	“Employer”	  	B-2
				
		 	1.9	 	“Final Average Annual Compensation”	  	B-2
				
		 	1.10	 	“Grandfathered SIAC Participant”	  	B-2
				
		 	1.11	 	“Historic Benefit”	  	B-2
				
		 	1.12	 	“Historic SIAC Participant”	  	B-2
				
		 	1.13	 	“Incentive Award”	  	B-3
				
		 	1.14	 	“Non-Vested Death Benefit”	  	B-3
				
		 	1.15	 	“NYSE”	  	B-3
				
		 	1.16	 	“NYSE Controlled Group”	  	B-3
				
		 	1.17	 	“Officer”	  	B-3
				
		 	1.18	 	“Prior SIAC SERP”	  	B-3
				
		 	1.19	 	“SIAC”	  	B-3
				
		 	1.20	 	“SIAC Participant”	  	B-3
				
		 	1.21	 	“SIAC SERP”	  	B-3
				
		 	1.22	 	“Total Disability or Totally Disabled”	  	B-3
				
		 	1.23	 	“Vested Death Benefit”	  	B-3
				
		 	1.24	 	“Year of SERP Participation”	  	B-3
				
		 	1.25	 	“Year of Service”	  	B-3
				
	 ARTICLE
	 	2	 	ELIGIBILITY	  	B-4
				
	 ARTICLE
	 	3	 	RETIREMENT INCOME	  	B-4
				
		 	3.1	 	Normal or Deferred Retirement Benefit.	  	B-4
				
		 	3.2	 	Payment of Benefits.	  	B-5
				
	 ARTICLE
	 	4	 	EARLY RETIREMENT INCOME	  	B-5
				
		 	4.1	 	Entitlement to Early Retirement Benefit.	  	B-5
				
		 	4.2	 	Amount of Early Retirement Benefit.	  	B-5
				
	 ARTICLE
	 	5	 	ACCRUAL OF BENEFITS DURING DISABILITY	  	B-7
				
		 	5.1	 	Service.	  	B-7
				
		 	5.2	 	Compensation.	  	B-7
				
	 ARTICLE
	 	6	 	DEATH BENEFITS	  	B-7
				
		 	6.1	 	Non-Vested Death Benefit.	  	B-7
				
		 	6.2	 	Vested Death Benefit.	  	B-8
				
		 	6.3	 	Death After Termination But Prior to Commencement of Benefits.	  	B-9

							
				
		 	6.4	 	Death After Commencement of Benefits.	  	B-9
				
		 	6.5	 	Change in Beneficiary Designation.	  	B-9
				
		 	6.6	 	Absence of a Designated Beneficiary.	  	B-9
				
	 ARTICLE
	 	7	 	VESTING OF BENEFITS	  	B-9
				
		 	7.1	 	Conditions for Vesting.	  	B-9
				
		 	7.2	 	Payment of Vested Benefit.	  	B-9
				
		 	7.3	 	Non-vested Termination of Employment.	  	B-10
				
		 	7.4	 	Determination of Vested Benefit.	  	B-10
				
		 	7.5	 	Reemployment.	  	B-10
				
	 ARTICLE
	 	8	 	BENEFIT COMMENCEMENT AND FORM OF PAYMENT	  	B-10
				
		 	8.1	 	Commencement Date.	  	B-10
				
		 	8.2	 	Form of Payment.	  	B-11
				
		 	8.3	 	Election by Grandfathered SIAC Participants.	  	B-11
		
	 APPENDIX TO PART B HISTORIC BENEFIT
	  	B-12
		
	 PART C PROVISIONS APPLICABLE TO AMEX PARTICIPANTS
	  	C-1
				
	 ARTICLE
	 	1	 	DEFINITIONS	  	C-1
				
		 	1.1	 	“Accrued Benefit.”	  	C-1
				
		 	1.2	 	“Actuarial Equivalent.”	  	C-1
				
		 	1.3	 	“Amex Participant.”	  	C-1
				
		 	1.4	 	“Amex Prior Plans.”	  	C-1
				
		 	1.5	 	“Amex SERP.”	  	C-1
				
		 	1.6	 	“Cause.”	  	C-1
				
		 	1.7	 	“Change in Control of the Company.”	  	C-2
				
		 	1.8	 	“Company.”	  	C-2
				
		 	1.9	 	“Credited Service.”	  	C-2
				
		 	1.10	 	“Final Average Compensation.”	  	C-2
				
		 	1.11	 	“Offset Amount.”	  	C-2
				
		 	1.12	 	“Retirement Plan.”	  	C-3
				
		 	1.13	 	“Service.”	  	C-3
				
		 	1.14	 	“Social Security Benefit.”	  	C-3
				
	 ARTICLE
	 	2	 	ELIGIBILITY	  	C-3
				
	 ARTICLE
	 	3	 	AMOUNT OF ACCRUED BENEFIT	  	C-3

							
				
		 	3.1	 	Calculation of Accrued Benefit.	  	C-3
				
		 	3.2	 	No Interest Created.	  	C-4
				
		 	3.3	 	Prior Plans.	  	C-4
				
		 	3.4	 	Form of Payment.	  	C-5
				
		 	3.5	 	Commencement of Benefits.	  	C-5
				
		 	3.6	 	Vesting.	  	C-5
				
	 ARTICLE
	 	4	 	PRE-RETIREMENT DEATH BENEFIT	  	C-5
				
	 ARTICLE
	 	5	 	COVENANTS OF AMEX PARTICIPANT	  	C-6
				
	 ARTICLE
	 	6	 	LOSS OF BENEFITS	  	C-6

  

 INTRODUCTION 
 This document sets forth the NYSE Group, Inc. Supplemental Executive Retirement Plan (the “Plan”), as amended and restated effective as of December 31, 2008 (the “Restatement Date”), and
includes amendments to the Plan adopted through December 10, 2008. Certain provisions of the Plan are effective earlier or later than the Restatement Date, as provided in the Plan. 
 Purpose of the Plan. The Plan is intended to provide supplemental retirement benefits to a select group of management and highly compensated
employees of the NYSE Group, Inc. The benefits are intended to supplement the benefits payable under the Retirement Plan, as defined herein. 
 History of the Plan. The Plan was initially named the New York Stock Exchange, Inc. Supplemental Executive Retirement Plan. The Plan was effective as of January 1, 1984. The Securities Industry Automation Corporation
Supplemental Executive Retirement Plan (the “SIAC SERP”), which was originally adopted as of December 19, 1985, was merged into the Plan effective as of the Restatement Date. The American Stock Exchange LLC Supplemental
Executive Retirement Plan (“Amex SERP”), which was originally effective as of January 1, 2005, was merged into the Plan, along with, for administrative purposes, certain prior plans (the “Amex Prior Plans”) described
therein, effective as of January 1, 2009. Each of the SIAC SERP and the Amex SERP was previously amended to comply with Section 409A of the Code. The Plan is renamed and amended to make NYSE Group, Inc. the Plan sponsor, effective as of
December 10, 2008. 
 Parts A, B and C of the Plan. This Plan consists of three parts. Part A applies with respect to eligible
employees who accrued benefits under the Plan prior to March 31, 2006. Part B applies with respect to eligible employees who accrued benefits under the SIAC SERP prior to March 31, 2006. Part C applies with respect to eligible employees
who accrued benefits under the Amex SERP prior to December 31, 2008. 
 In addition, the administrative sections of Part A, namely
Articles 8 through 27, and certain defined terms in Article 1 of Part A, apply to entire Plan, including Parts B and C. 
 Amex Prior
Plans. The Plan documents of the AMEX Prior Plans reflect the benefits payable under those plans, and such Amex Prior Plans are attached to the end of this Plan document. However, the AMEX Prior Plans are expressly made subject to the
administrative provisions of Section 14.1 and Article 15 of the Plan. 
 Participants to whom the Restated Plan is Applicable.
The benefits of any Participant in the Plan prior to January 1, 2007 who incurred a Termination of Employment, as defined herein, prior to January 1, 2007 shall be governed under the terms of the Plan in existence at the time of the
Participant’s Termination of Employment, except as otherwise specifically provided in the Plan. The benefits of any Participant in the SIAC SERP who incurred a Termination of Employment prior the Restatement Date, shall be governed under the
terms of the SIAC SERP in existence at the time of the Participant’s Termination of Employment, except as otherwise specifically provided in the Plan. The benefits of any Participant in the Amex SERP who 

 
incurred a Termination of Employment prior to January 1, 2009 shall be governed under the terms of the Amex SERP in existence at the time of the
Participant’s Termination of Employment, except as otherwise specifically provided in the Plan. 
 Notwithstanding the foregoing, the
form and timing of distribution of any benefits under the Plan for the following participants shall be determined under the provisions of the Plan: (i) benefits which commence on or after January 1, 2007 with respect to any person who was
a participant in the Plan on or prior to March 31, 2006, (ii) benefits which commence on or after the Restatement Date with respect to any person who was a participant in the SIAC SERP prior to the Restatement Date and (iii) benefits
which commence on or after the January 1, 2009 with respect to any person who was a participant in the Amex SERP prior to January 1, 2009. 
 Conformance with Code Section 409A. The Plan is intended to conform to the requirements of Section 409A of the Code, as defined herein, and any regulations promulgated thereunder to the extent
applicable and shall be construed in a manner consistent with the requirements of such section of the Code, except with respect to the Amex Prior Plans. The amendments contained in the Plan to comply with Section 409A are effective
January 1, 2007 with respect to Part A of the Plan and are effective January 1, 2008 with respect to the SIAC SERP and the AMEX SERP and Parts B and C of the Plan, except as provided herein. The AMEX Prior Plans are grandfathered from
Section 409A. 
 Effect of Letter Agreements. Notwithstanding the provisions of the Plan, Part B of the Plan shall be superceded
by the terms of a letter agreement entered into with a SIAC Participant to the extent of any conflict between Part B of the Plan and such letter agreement. 

 PART A 
 PROVISIONS APPLICABLE TO NYSE PARTICIPANTS AND 
 GENERAL PROVISIONS 
 The following provisions of Part A of the Plan apply to NYSE Participants, as defined in Part A, and certain provisions where indicated apply to all
Participants. All section references in Part A of the Plan are to the relevant sections of Part A unless otherwise indicated. 
 ARTICLE 1

 DEFINITIONS 
 For purposes of this Plan, the following definitions apply: 
 1.1 “Actuarial Equivalent” means
an amount equal in value on an actuarial basis, as determined by an actuary selected by the Committee, determined using the mortality table prescribed by the Secretary of the Treasury pursuant to Section 417(e)(3) of the Code at the beginning
of the Plan Year in which the NYSE Participant’s Retirement Date occurs and the applicable interest rate used by the NYSE to calculate pension expense with respect to the Plan in accordance with Statement of Financial Accounting Standards
No. 87 at the beginning of the Plan Year in which the NYSE Participant’s Retirement Date occurs. For NYSE Participants and SIAC Participants (as defined in Part B of the Plan) who have a Termination of Employment on or after
September 1, 2008, “Termination of Employment” shall be substituted for “Retirement Date” in the immediately preceding sentence. 
 1.2 “Administrator” means the person or persons so designated and acting under Article 14 of the Plan. 
 1.3 “Age Fifty-Five” means the first day of the calendar month nearest a NYSE Participant’s fifty-fifth
(55th) birthday, provided that if such birthday shall occur on a day equidistant from the first day of two months, then Age Fifty-Five shall be deemed to be the first day of the month during which such birthday occurs. 
 1.4 “AMEX” means American Stock Exchange, Inc. or its successor entities. 
 1.5 “AMEX Plan” means any defined benefit pension plan which is qualified under Code Section 401(a), or any
other defined benefit pension plan, funded or unfunded, which is or has been maintained by American Stock Exchange, Inc. or its successors, excluding any individual deferred compensation arrangements and funded or unfunded defined contribution
plans. 
 1.6 “Base Benefit” means an amount equal to the NYSE Participant’s Final Average
Compensation multiplied by a percentage that is equal to the sum of: 
 (a) two and one-half percent (2  1/2%) for each of the first ten (10) years of the NYSE Participant’s Service,
plus 

 (b) two percent (2%) for each of the next ten (10) years of the NYSE
Participant’s Service, plus 
 (c) one and one-half percent (1
 1/2%) for each of the next ten (10) years of the NYSE Participant’s Service, plus 
 (d) one percent (1%) for each year of Service thereafter. 
 1.7 “Base Salary” means the annual base salary of a NYSE Participant earned from the NYSE including, without
limitation, (i) any amounts reduced pursuant to the NYSE Participant’s salary reduction agreement under Sections 125 or 401(k) of the Code (if any), (ii) any amounts that the NYSE Participant elects to defer under any nonqualified
deferred compensation plan or arrangement maintained by the NYSE, and (iii) any portion of the NYSE Participant’s base salary that the NYSE Participant elects to reduce pursuant to any other salary reduction arrangement by the NYSE,
including, without limitation, an arrangement under Section 132(f) of the Code. Salary shall not include any other compensation, including, without limitation, commissions, Bonus, overtime pay, severance pay, any payment under the Incentive
Compensation Plan or any other incentive plan, benefits paid under any qualified plan, any group medical, dental or other welfare benefit plan, noncash compensation, fringe benefits (cash and non-cash), reimbursements or other expense allowances,
moving expenses or any other additional compensation, including without limitation, lump sum payments in lieu of accrued but unused vacation. 
 1.8 “Beneficiary” means the individual designated by the Participant, in a manner acceptable to the Committee, to receive benefits payable under this Plan in the event of the Participant’s death.
If no Beneficiary is designated, the Participant’s Beneficiary shall be his Spouse, or if the Participant is not married, the Participant’s estate. A Participant’s Beneficiary election (or any election to revoke or change a prior
election) must be made and filed with the Committee, in writing, on such form(s) prescribed by the Committee. 
 1.9
“Board” means the Board of Directors of the NYSE. 
 1.10 “Bonus”
means payments made (or would have been paid if not for an election made pursuant to an employee benefit plan maintained by the NYSE to defer all or a portion of such amount) under an annual bonus plan or arrangement maintained by the NYSE. Payments
made (or which would have been paid if not for an election made pursuant to an employee benefit plan maintained by the NYSE to defer all or a portion of such amount) under an annual bonus plan maintained by the NYSE shall be deemed attributable to
the year, and the respective months in such year with respect to which such payments were earned, regardless of the times of making such payments. No payment in the nature of a bonus or award or premium for overtime or additional work or otherwise
paid to a NYSE Participant under any bonus or other plan or program existing prior to the inception of, or in any way apart from an annual bonus plan maintained by the NYSE shall in any way be deemed to be a payment either under an annual bonus plan
maintained by the NYSE or included in any computation or determination of Final Average Compensation or of meeting the Eligible Salary Level. 
 1.11 “Chief Officer” means the Chairman of the NYSE and: 
 (a) the Chief
Regulatory Officer with respect to the Employees who, directly or indirectly, report to him, 

 (b) the Chief Executive Officer with respect to the Employees who, directly or
indirectly, report to him, and 
 (c) the Chief Executive Officer and Chief Regulatory Officer with respect to those Employees
who, directly or indirectly, report to both the Chief Executive Officer and Chief Regulatory Officer. 
 1.12
“Code” means the Internal Revenue Code of 1986, as amended. Reference to any section or subsection of the Code includes reference to any comparable or succeeding provisions of any legislation that amends,
supplements or replaces such section or subsection. 
 1.13 “Committee” means the Committee of at least
two (2) individuals appointed by the Board for purposes of administering the Plan, or any successor committee. If a Participant serves on the Committee, such Participant shall not be authorized to make any determinations or decisions with
respect to his participation hereunder or with respect to payment of a Supplemental Benefit to such Participant hereunder. 
 1.14
“Compensation” means for any year: 
 (a) with respect to a NYSE Participant who at the
earlier of March 31, 2006 or his Termination of Employment had never been a Senior Officer, the Participant’s Base Salary in such Plan Year; and 
 (b) with respect to a NYSE Participant who is not a Senior Officer on the earlier
of March 31, 2006 or his Termination of Employment, but had previously been a Senior Officer, Base Salary plus two-thirds ( 2/3) of the NYSE Participant’s Bonus for such Plan Year or the respective months, in any period on or after January 1, 1986; provided, that, with respect to a Participant who was a Senior Officer but was demoted, subsequent
Bonuses earned after such demotion shall not count as Bonuses for purposes of the Plan; and provided, further, that in no event shall the amount in this subsection (b) exceed the NYSE Participant’s Base Salary in such Plan Year; and

 (c) with respect to a NYSE Participant who was a Senior Officer on the earlier of March 31, 2006 or his
Termination of Employment, the sum of: 
  

	 	(i)	the NYSE Participant’s Base Salary in such Plan Year; and 

  

	 	 (ii)
	 two-thirds ( 2/3) of the NYSE Participant’s Bonus for such Plan Year or the respective months, in any period on or after January 1, 1986; provided that in no event shall the amount in this subsection (c)(ii) exceed the
NYSE Participant’s Base Salary in such Plan Year. 

 Notwithstanding anything herein to the contrary, in no
event shall Base Salary or Bonus paid after March 31, 2006 be taken into account for purposes of the Plan. 

 1.15 “Disability” means an incapacity for which the Participant is
(1) receiving, for at least three months, disability benefits under the NYSE’s Long Term Disability Plan by reason of any medically determinable physical or mental impairment that can be expected to result in death or can be expected to
last for a continuous period of not less than twelve (12) months, (2) unable to engage in any substantial gainful activity by reason of any medically determinable physical or mental impairment that can be expected to result in death or can
be expected to last for a continuous period of not less than twelve (12) months, and would be eligible to receive benefits under NYSE’s Long Term Disability Plan if he participated in such plan or (3) for which the Participant is
receiving Social Security disability benefits. 
 1.16 “Early
Retirement Base” means an amount equal to one-twelfth ( 1/12) of the NYSE Participant’s Base
Benefit reduced by a percentage equal to the product of four percent (4%) multiplied by the number of years and fractional portion of a year elapsing between the date of the NYSE Participant’s Early Retirement Date and the date of the NYSE
Participant’s sixtieth (60) birthday. There shall be no reduction if a NYSE Participant’s Retirement Date occurs on or after his sixtieth (60th) birthday. 
 1.17 “Early Retirement Offset” means an amount equal to the sum of: 
 (a) the sum of the amounts of the NYSE Participant’s monthly retirement benefit with respect to Service available upon the NYSE
Participant’s Early Retirement Date in the form of a single life annuity under the Retirement Plan (but not including the NYSE Participant’s Supplemental Retirement Income, as defined under the Retirement Plan, and before adjustment for
any pre-retirement joint and survivor coverage, under the Retirement Plan), a Qualifying Entity Plan (with regard to Service prior to March 31, 2006 with the Qualifying Entity recognized under the Qualifying Entity Plan which is also recognized
hereunder), or an AMEX Plan (with regard to Service with American Stock Exchange, Inc. prior to March 31, 2006 recognized under an AMEX Plan to the extent also recognized hereunder); plus 
 (b) With respect to a NYSE Participant whose Retirement Date is on or after his attainment of age sixty-two (62), the NYSE
Participant’s Social Security Benefit amount and with respect to a NYSE Participant whose Retirement Date occurs prior to his attainment of age sixty-two (62), the NYSE Participant’s Social Security Benefit amount, but only with respect to
the period after the NYSE Participant attains age sixty-two (62). 
 The benefit in subparagraph (a) is calculated assuming the NYSE
Participant’s benefit under the Retirement Plan commences at the later of Age Fifty-Five or the NYSE Participant’s Termination of Employment and is not dependent on when the NYSE Participant elects to receive benefits under the Retirement
Plan. 
 1.18 “Eligible Employee” means any Employee other than an Employee whose (i) primary
place of employment with the NYSE is outside of the United States and (ii) primary residence was outside of the United States upon the commencement of his employment with the Employer, unless such Employee is designated in writing as a NYSE
Participant in this Plan by the Chairman of the NYSE. Notwithstanding any other provision of the Plan to the contrary, no 
  

 
person who has waived participation in the Plan under any individual compensation, retirement or other agreement shall be an Eligible Employee under the
Plan. An individual classified by the NYSE at the time services are provided as either an independent contractor or an individual who is not classified as an Employee due to the NYSE treating any services provided by him as being provided by another
entity which is providing such individual’s services to the NYSE shall not be eligible to participate in this Plan during the period the individual is so initially classified even if such individual is later retroactively reclassified as an
employee during all or any part of such period pursuant to applicable law or otherwise. 
 1.19 “Eligible Salary Level” means an amount, increased each Plan Year by the average salary increase percentage, if any, used in a budget, approved by the Board, for executive, managerial and
professional employees of the NYSE. The Eligible Salary Levels for the 2004, 2005 and 2006 Plan Years are: One Hundred Seventy One Thousand Three Hundred Fifty-One Dollars ($171,351) for 2004, One Hundred Seventy Eight Thousand Two Hundred and Five
($178,205) for 2005 and One Hundred Eighty Four Thousand Four Hundred Forty-Two ($184,442) for 2006. A NYSE Participant shall be deemed to have attained the Eligible Salary Level in any month in which his monthly Base Salary rate equals or exceeds
one-twelfth ( 1/12) of the Eligible Salary Level for the applicable Plan Year. 
 1.20 “Employee” means any person employed by the Employer. 
 1.21 “Employer” means the NYSE and any adopting Subsidiary. 
 1.22 “ERISA” means the Employee Retirement Income Security Act of 1974, as amended. Reference to any section or
subsection of ERISA includes reference to any comparable or succeeding provisions of any legislation that amends, supplements or replaces such section or subsection. 
 1.23 “Final Average Compensation” means the annual average amount of a NYSE Participant’s Compensation as an Employee during the highest consecutive sixty
(60) (ignoring, for this purpose, any breaks in continuous paid employment with the NYSE) calendar months of employment with the NYSE prior to his Termination of Employment which yields the highest average. Such average is the result obtained
by dividing the total Compensation of a NYSE Participant during the considered sixty (60) month period by five (5). Compensation received from a Qualifying Entity shall not be considered and any period of employment with a Qualifying Entity
shall be ignored when calculating Final Average Compensation. Notwithstanding the foregoing, for purposes of determining a NYSE Participant’s Final Average Compensation, in the case of a NYSE Participant who was not an Employee for at least
sixty (60) calendar months, Final Average Compensation shall mean the annual average of the NYSE Participant’s Compensation as an Employee during the consecutive (ignoring, for this purpose, any breaks in continuous paid employment with
the NYSE) calendar months of employment with the NYSE determined by dividing the total Compensation of a NYSE Participant during such period of employment with the NYSE by the number of years, including fractional parts thereof (but only full months
shall be considered), for which such Compensation was paid. Final Average Compensation cannot increase after March 31, 2006. 
 1.24
“Grandfathered NYSE Participant” means a NYSE Participant who: 
 (a) had attained Age
Fifty-Five by January 1, 2005; 

 (b) was a participant in the Plan on January 1, 2005; and 
 (c) was an Employee on or after January 1, 2005. 
 1.25 “Historic NYSE Participant” means a Historic NYSE Participant as defined in Appendix A to this Part A of the Plan, including, effective June 1, 2008, a NYSE Participant
who qualifies as a Historic NYSE Participant by reason of his participation in the 2008 VRIP. 
 1.26 “Incentive
Compensation Plan” means the incentive plan adopted by the NYSE effective as of January 1, 1984, as amended. 
 1.27
“Minimum Benefit” means a minimum Supplemental Benefit equal to: 
 (a) the hypothetical
vested monthly accrued benefit (based on the provisions of the Retirement Plan) that would be paid in a single life annuity to the NYSE Participant (or in the case of the NYSE Participant’s death before benefits commence, the NYSE
Participant’s surviving Spouse) under the Retirement Plan on the NYSE Participant’s actual Retirement Date (or death, if applicable) had he elected a distribution of his benefits under the Retirement Plan on such Retirement Date (or death,
if applicable) and if the limitations of Code Sections 401(a)(17) and 415 (as applied under the Retirement Plan) did not apply, less 
 (b) the monthly benefit the NYSE Participant (or the NYSE Participant’s surviving Spouse, if applicable) would receive under the Retirement Plan in the form of a single life annuity if commenced on the NYSE
Participant’s actual Retirement Date (or death, if applicable). 
 The benefit in subparagraph (b) is calculated assuming the NYSE
Participant’s benefit under the Retirement Plan commences at the later of Age Fifty-Five or the NYSE Participant’s Termination of Employment and is not dependent on when the NYSE Participant elects to receive benefits under the Retirement
Plan. 
 1.28 “NYSE” means the New York Stock Exchange, Inc. and any successor by merger,
consolidation, purchase or otherwise. Effective March 6, 2006, NYSE means the New York Stock Exchange LLC and any successor by merger, consolidation, purchase or otherwise. With respect to periods on and after the Restatement Date, NYSE means
NYSE Group, Inc. 
 1.29 “NYSE Controlled Group” shall mean NYSE and any corporation which is a member
of a controlled group of corporations (as defined in Code Section 414(b)) which includes NYSE and any trade or business (whether or not incorporated) which is under common control (as defined in Code Section 414(c)) with NYSE. 

1.30 “NYSE Participant” means an Employee covered under Part A of the Plan in accordance with Article III.

 1.31 “Offset Amount” means the sum of: 
 (a) the sum of the amounts of the NYSE Participant’s monthly retirement benefit with respect to Service, commencing on his Retirement
Date, in the form of a single life annuity under the Retirement Plan before adjustment for any pre-retirement joint and survivor coverage, under the Retirement Plan, (but not including the NYSE Participant’s Supplemental Retirement Income, as
defined under the Retirement Plan), a Qualifying Entity Plan (with regard to Service prior to March 31, 2006 with the Qualifying Entity recognized under the Qualifying Entity Plan which is also recognized hereunder), or an AMEX Plan (with
regard to Service with Amex prior to March 31, 2006) recognized under an AMEX Plan which is also recognized hereunder); plus 

 (b) the amount of the NYSE Participant’s Social Security Benefit; 
 provided, however, that, effective June 1, 2008, the actual value of any additional benefit realized, if any, under the Retirement Plan or any
Qualifying Entity Plan as a result of a NYSE Participant’s participation in the 2008 VRIP shall not be included under subparagraph (a). 
 1.32 “Optional Distribution Form” means 
 (a) With respect to a NYSE
Participant who is married on his Retirement Date, one of the following forms of distribution of Supplemental Benefits: 
  

	 	(i)	A joint and 50% survivor annuity pursuant to which a monthly life annuity shall be payable to the NYSE Participant during his lifetime commencing at the Optional Distribution Time
elected by the NYSE Participant, with fifty percent (50%) of such reduced benefit continued monthly to the NYSE Participant’s spouse thereafter for the duration of the spouse’s lifetime after the death of the NYSE Participant;

  

	 	(ii)	A joint and 75% survivor annuity pursuant to which a monthly life annuity shall be payable to the NYSE Participant during his lifetime, commencing at the Optional Distribution Time
elected by the NYSE Participant, with seventy-five percent (75%) of such reduced benefit continued monthly to the NYSE Participant’s spouse thereafter for the duration of the spouse’s lifetime after the death of the NYSE Participant;

  

	 	(iii)	A joint and 100% survivor annuity pursuant to which a monthly life annuity shall be payable to the NYSE Participant during his lifetime, commencing at the Optional Distribution Time
elected by the NYSE Participant, with one hundred percent (100%) of such reduced benefit continued monthly to the NYSE Participant’s spouse thereafter for the duration of the spouse’s lifetime after the death of the NYSE Participant;
and 

	 	(iv)	Equal monthly installments over a period of twenty (20) years or less (in full years) commencing at the Optional Distribution Time elected by the NYSE Participant.

 (b) With respect to a NYSE Participant who is not married on his Retirement Date, equal monthly installments
over a period of twenty (20) years or less (in full years) commencing at the Optional Distribution Time elected by the NYSE Participant. 
 Each Optional Distribution Form shall be the Actuarial Equivalent of the Standard Form of benefit. Installments shall be payable on the first day of each month, starting at the Optional Distribution Time, until all monthly installments
elected by the Participant have been paid. 
 1.33 “Optional Distribution Time” means one of the
following times, to the extent available under the Plan, to commence the distribution of Supplemental Benefits: 
 (a) the
first day of the month coincident with or next following the NYSE Participant’s Retirement Date or death; or 
 (b) the
January 1 next following the NYSE Participant’s Retirement Date or death. 
 1.34
“Participant” means a NYSE Participant, as defined in Part A of the Plan, a SIAC Participant, as defined in Part B of the Plan, or an Amex Participant, as defined in Part C of the Plan. 
 1.35 “Plan” means the NYSE Group, Inc. Supplemental Executive Retirement Plan, as amended from time to time.

 1.36 “Plan Year” means the twelve (12) month period ending December 31st of each year.

 1.37 “Qualifying Entity” means the National Securities Clearing Corporation, The Depository
Trust & Clearing Corporation, and any of such entities’ subsidiaries designated by the NYSE as Qualifying Entities. 
 1.38
“Qualifying Entity Plan” means any defined benefit pension plan that is qualified under Code Section 401(a), or any other defined benefit pension plan, funded or unfunded, that is or has been maintained by
a Qualifying Entity, excluding any individual deferred compensation arrangements and defined contribution plans. 
 1.39
“Restatement Date” means December 31, 2008. 
 1.40 “Retirement
Date” means a NYSE Participant’s Early Retirement Date, Normal Retirement Date or Deferred Retirement Date, as follows: 
 (a) “Early Retirement Date” means the first day of the first calendar month coinciding with or next following such time as the NYSE Participant has both attained Age Fifty-Five (55) and incurred
a Termination of Employment, provided such day shall be prior to the NYSE Participant’s Normal Retirement Date. 

 (b) “Normal Retirement Date” means the first day of the calendar month
nearest a NYSE Participant’s sixty-fifth (65th) birthday, provided he has incurred a Termination of Employment. If such birthday shall occur on a day equidistant from the first day of two months, then a NYSE Participant’s Normal
Retirement Date shall be deemed to be the first day of the month during which such birthday occurs. 
 (c) “Deferred
Retirement Date” means the first day of a month nearest the date of a NYSE Participant’s Termination of Employment where such Termination of Employment occurs after the NYSE Participant’s Normal Retirement Date. 
 1.41 “Retirement Plan” means the Revised Retirement Plan for Eligible Employees of the New York Stock Exchange and
Subsidiary Companies (as amended and restated effective as of January 1, 2008) and as amended from time to time thereafter. 
 1.42
“Senior Officer” means an Employee who holds a title of senior vice president or above (or any person in an equivalent position), as determined by the Committee, unless such Employee has waived eligibility in
the Plan or the Board has excluded such Employee from participating in the Plan. 
 1.43 “Social Security
Benefit” means the monthly amount (as determined by the Committee) to which a NYSE Participant would be entitled, determined as of the earlier of the date of the Participant’s Termination of Employment or March 31, 2006
(based on an assumption that the Participant has no further earnings considered after the earlier of the Participant’s Termination of Employment or March 31, 2006 and without regard to changes in the Social Security laws or cost of living
increases in Social Security benefits after the earlier of the date of the Participant’s Termination of Employment or March 31, 2006 ) under Section 402 of Title II of the Social Security Act as a monthly “old-age insurance
benefit,” then in effect, on his own (and not as a Spouse or otherwise) and without any reduction or deduction (for earnings or otherwise), determined as if such benefit commenced in the first month, coinciding with or next following the
commencement of the Participant’s Supplemental Benefit, in which such benefit under the Social Security Act could be payable to the Participant. 
 1.44 “Specified Employee” shall mean a Participant who, as
of the date of his Termination of Employment, is a key employee (as defined under Code Section 416(i)(1)(A)(i), (ii) or (iii) but determined without reference to Code Section 416(i)(5)) of the Employer, as determined in
accordance with the rules and procedures specified by the Committee in accordance with the requirements of Section 409A of the Code and the Treasury Regulations issued thereunder. The status of a Participant as a Specified Employee during the
Measurement Period (defined herein) shall be determined annually on December 31st of the Plan Year immediately preceding the Measurement Period
(“Identification Date”). The Measurement Period shall be the twelve (12) month period beginning on the April 1st succeeding the
Identification Date for which it relates and ending on the March 31st of the following Plan Year. 
  

 1.45 “Spouse” means an individual’s legal spouse. 

1.46 “Standard Form” means ten equal annual installment payments (including interest on such payments) that are
the Actuarial Equivalent (ignoring mortality) of the following amount: the Participant’s benefit calculated as a single life annuity, payable immediately, and then converted into a lump sum amount that is the Actuarial Equivalent (including
mortality) of such single life annuity. Each installment shall be paid on each successive anniversary date of the first installment paid to the Participant or beneficiary, to the extent applicable, under the Plan until all installments have been
paid. 
 1.47 “Subsidiary” means any corporation (other than the NYSE and any Qualifying Entity) in an
unbroken chain of corporations beginning with the NYSE if, each of the corporations other than the last corporation in the unbroken chain owns stock possessing fifty percent (50%) or more of the total combined voting power of all classes of
stock in one of the other corporations in such chain. 
 1.48 “Supplemental Benefit” means any benefit
payable under this Plan. 
 1.49 “Termination of Employment” means a termination of employment as an
Employee from all of the NYSE Controlled Group for any reason whatsoever, including but not limited to death, Disability, retirement, resignation or involuntary termination, provided, that, such employment termination constitutes a “separation
from service” within the meaning of Section 409(a)(2)(A)(i) of the Code and the Treasury Regulations issued thereunder. 
 1.50
“2008 VRIP” the NYSE Group, Inc. and Participating Subsidiaries 2008 Voluntary Resignation Incentive Program. 
 1.51 Construction. For purposes of the Plan, the masculine includes the feminine and the singular includes the plural. 
 ARTICLE 2 
 SERVICE 
 2.1 Definition of Service. Subject to Section 2.3 of the Plan, “Service” means the total sum of the periods of time,
expressed as years and fractions of years (with such fraction representing completed months of employment), occurring prior to a NYSE Participant’s Termination of Employment as follows: 
 (a) A period during which the NYSE Participant was continuously paid directly or indirectly or continuously entitled to payment for the performance of
duties as an Employee of the Employer immediately prior to the NYSE Participant’s Termination of Employment. For purposes of this Plan, service as an Employee of the Employer shall be deemed to include service as an Employee of New York Stock
Exchange, the unincorporated association which was the predecessor of NYSE, to the extent such service with such association immediately preceded such service with the NYSE. 

 (b) A period during which the NYSE Participant was continuously paid directly or indirectly or
continuously entitled to payment for the performance of duties as an employee of a Qualifying Entity; provided such period preceded, either immediately or within a “Limited Period Break in Service”, a period described in paragraph
(a) above. 
 (c) A period during which the NYSE Participant was continuously paid directly or indirectly or continuously entitled to
payment for the performance of duties as an employee of the Employer or a Qualifying Entity if such period preceded, either immediately or within a “Limited Period Break in Service”, a period described in paragraphs (a) or
(b) above. 
 (d) A period during which the NYSE Participant was on a leave of absence, either paid or unpaid, other than military
leave, authorized by the Employer or a Qualifying Entity in connection with a period described in paragraphs (a) or (b) above. 
 (e) A period during which the NYSE Participant was absent from employment directly from the Employer or a Qualifying Entity in connection with a period described in paragraphs (a), (b) or (c) above in order to perform military
service for the United States of America, provided that the NYSE Participant returns to the employ of the Employer or Qualifying Entity prior to the end of any period prescribed by the laws of the United States during which he has reemployment
rights with the Employer or Qualifying Entity or as otherwise required by law. 
 (f) In connection with a period described in paragraphs
(a), (b) or (c) above, a period during which the NYSE Participant received payments under a (i) short term disability plan, (ii) long term disability plan or (iii) workers’ compensation plan maintained by the Employer
or Qualifying Entity to comply with applicable state law 
 (g) A period during which the NYSE Participant was continuously paid directly or
indirectly or continuously entitled to payment for the performance of duties as an employee of American Stock Exchange, Inc., but only if such period immediately preceded a period both for which the NYSE Participant was continuously entitled to
payment for the performance of duties as an employee of a Qualifying Entity and which commenced within four (4) months of the date of incorporation of such Qualifying Entity, but not later than July 31, 1972. For purposes of this Plan,
service as an employee of American Stock Exchange, Inc. shall be deemed to include service as an employee of American Stock Exchange, the unincorporated association which was the predecessor of American Stock Exchange, Inc., to the extent such
service with such association immediately preceded such service with American Stock Exchange, Inc. 
 Notwithstanding the foregoing, no
period of time shall be included more than one time as Service. 
 2.2 Limited Period Break in Service. For purposes of the
Plan, a “Limited Period Break in Service” means the number of consecutive years in a period of time, not exceeding the greater of (i) five (5) or (ii) the aggregate number of years of Service credited to such NYSE
Participant for the period prior to the time his Service was broken, during which the NYSE Participant is not an Employee of the NYSE or a Qualifying Entity. 

 2.3 Service Not Credited During Certain Periods. No credit for benefit determination
purposes will be given for any period of Service of a NYSE Participant with respect to which the NYSE Participant was required, but did not make, employee contributions to the Retirement Plan or Qualifying Entity Plan or with respect to which
required employee contributions were made and have been, or will be, withdrawn and not repaid, with interest, as provided in the Retirement Plan or Qualifying Entity Plan. 
 2.4 Service Outside of the United States. Notwithstanding any other provision to the contrary, unless otherwise provided in writing by the
Chairman of the NYSE at the time of commencement of employment of an individual whose primary residence is outside of the United States at the time his employment with the Employer commences, Service shall not include any period of time in which
such NYSE Participant’s primary place of employment with the Employer or a Qualifying Entity is outside of the United States. Notwithstanding the foregoing, effective January 1, 2004, Service shall include any period of time in which a
NYSE Participant’s primary place of employment with the Employer or Qualifying Entity is outside of the United States. 
 2.5
Service prior to June 1, 1999. For purposes of Article II, any period prior to August 1, 1997 which was recognized as Service under the Plan prior to June 1, 1999 shall continue to be recognized as Service under the Plan
on and after to June 1, 1999. 
 2.6 Service after March 31, 2006. Service after March 31, 2006 shall not count
towards accrual of a benefit under the Plan but shall count for vesting purposes. 
 ARTICLE 3 
 ELIGIBILITY FOR PARTICIPATION 
 Participants in the Plan immediately before the Restatement Date who have benefits under the Plan which have not been fully paid shall be NYSE Participants in the Plan as of the Restatement Date. No employee became a participant in the Plan
on or after March 31, 2006. 
 ARTICLE 4 
 VESTING 
 4.1 Vesting Requirements. Except as otherwise provided herein, a NYSE
Participant shall become vested in his Supplemental Benefits upon the earlier of: 
 (a) the later of: 
  

	 	(i)	the NYSE Participant’s attainment of Age Fifty-Five (55) while an Employee; 

  

	 	(ii)	 the date on which the NYSE Participant’s Base Salary has equaled or exceeded the Eligible Salary Level for thirty-six (36) months out of the latest one
hundred twenty (120) months of employment (or if the number of calendar months of employment with the 

	 	 
Employer immediately prior to the NYSE Participant’s Termination of Employment is less than one hundred twenty (120) months, during such shorter
period); and 

  

	 	(iii)	such NYSE Participant has been employed by the Employer for an aggregate of thirty-six (36) months. 

 (b) the NYSE Participant’s completion of ten (10) years of Service. 
 Except as provided in Article VII of the Plan, Supplemental Benefits shall not be paid with respect to a NYSE Participant who incurs a Termination of Employment without
satisfying the requirements of Paragraph (a) or (b) above or, with respect to a Historic Benefit, the conditions of Appendix A to this Part A of the Plan. 
 4.2 Discretionary Vesting. The Chief Officer may waive the vesting requirements enumerated under Section 4.1 above or Section 2.3 of Appendix A to Part A of the Plan, with respect to any NYSE
Participant who incurs a Termination of Employment at the initiation of the NYSE, as determined in the sole discretion of the Chief Officer, provided, however, that any such waiver with respect to the Chief Executive Officer or Chief Regulatory
Officer may only be made by the Human Resources Policy & Compensation Committee of the Board and any other waiver made by the Chief Officer must be promptly communicated to the Human Resources Policy & Compensation Committee of the
Board. Any waiver pursuant to this Section shall only be effective if made in writing. 
 4.3 Other Forfeiture. The Human
Resources Policy & Compensation Committee of the Board may forfeit the Supplemental Benefits with respect to a NYSE Participant (or his surviving Spouse or Beneficiary) under the Plan in the event that the NYSE Participant is discharged for
willful, deliberate, or gross misconduct, or if such grounds exist at the time of the NYSE Participant’s Termination of Employment even if such Termination of Employment is for other reasons. Such determination, and whether or not benefits
shall be forfeited shall be determined by the Committee, in its sole discretion, based on the relevant facts and circumstances. 
 ARTICLE
5 
 SUPPLEMENTAL BENEFITS 
 5.1 General. A NYSE Participant’s Supplemental Benefit shall be computed as a monthly benefit payable for the NYSE Participant’s life following his Retirement Date. Payment of a NYSE
Participant’s Supplemental Benefit shall be made in accordance with Article VI. 
 5.2 Freeze of Benefit Accruals for All NYSE
Participants. Notwithstanding any provision in this Plan to the contrary, the benefit accrual of each NYSE Participant under the Plan shall cease effective March 31, 2006. As a result, no NYSE Participant shall earn any Service for
benefit accrual purposes after March 31, 2006, and the Compensation paid to any NYSE Participant after that date shall not be taken into account for benefit accrual purposes under the Plan. 

 5.3 Supplemental Benefit at or after Normal Retirement Date. The monthly amount of a NYSE
Participant’s Supplemental Benefit commencing on his Normal Retirement Date or Deferred Retirement Date shall be equal to the greatest of: 
 (a) the NYSE Participant’s Base Benefit, divided by twelve (12), minus the NYSE Participant’s Offset Amount; 
 (b) the NYSE Participant’s Minimum Benefit; 
 (c) the NYSE Participant’s Historic
Benefit, as described in Section 2.1 of Appendix A to this Part A of the Plan, but, only if the NYSE Participant is a Historic NYSE Participant, and the NYSE Participant has satisfied the conditions for a Historic Benefit pursuant to
Section 2.3 of Appendix A. 
 5.4 Supplemental Benefit at Early Retirement Date. The monthly amount of a NYSE
Participant’s Supplemental Benefit commencing on his Early Retirement Date shall be equal to the greatest of: 
 (a) the
NYSE Participant’s Early Retirement Base minus the NYSE Participant’s Early Retirement Offset; 
 (b) the NYSE
Participant’s Minimum Benefit; and 
 (c) the NYSE Participant’s Historic Benefit, as described in Section 2.2
of Appendix A, but only if the NYSE Participant is a Historic NYSE Participant and has satisfied the conditions for a Historic Benefit pursuant to Section 2.3 of Appendix A. 
 5.5 2008 VRIP. Effective June 1, 2008, age and Service credited as a result of a Participant’s participation in the 2008 VRIP
shall be included for purposes of determining the vesting and retirement eligibility of the Minimum Benefit and the Supplemental Benefit and shall be included for purposes of determining whether the pre-conditions for an Historic Benefit have been
met, as described in Section 2.3 of Appendix A. 
 ARTICLE 6 
 PAYMENT 
 6.1 Basic Form of Benefit. 
 (a) Subject to subsection (b) of this Section, the Supplemental Benefit of a NYSE Participant shall commence being paid in the Standard Form
commencing on the first day of the month coincident with or next following the NYSE Participant’s Retirement Date. 
 (b)
Notwithstanding subsection (a) of this Section, a Grandfathered NYSE Participant shall have his Supplemental Benefit paid in an Optional Distribution Form, and at an Optional Distribution Time, provided that an election of such Optional
Distribution Form and Optional Distribution Time was filed with the Committee prior to October 7, 2004. 

 (c) In the case of a NYSE Participant who is a Specified Employee, unless the termination is due to death
or Disability, distribution of his benefits shall commence on the later of (i) the first day of the calendar month which is at least six (6) calendar months after such Termination of Employment or (ii) the otherwise applicable date
determined pursuant to the foregoing provisions of Section 6.1. If distribution of a Participant’s benefit is delayed for six (6) calendar months in accordance with the foregoing, each payment which would have been made earlier under
the provisions of the Plan shall be paid at the six month date and increased with interest (at the rate described in Section 1.1 of the Plan) to the deferred distribution date. 
 ARTICLE 7 
 DEATH OF NYSE PARTICIPANT 
 7.1 Death Prior to Termination of Employment. If a NYSE Participant dies prior to incurring a Termination of Employment, in lieu of all
other benefits under the Plan, such NYSE Participant’s Beneficiary shall receive a Supplemental Benefit, at such time as specified in Section 7.3 of the Plan, equal to the greatest amount computed under paragraphs (a) or, if
applicable, (b) or (c) below. 
 (a) The Actuarial Equivalent amount of the NYSE Participant’s Supplemental
Benefit computed under Article V as if the NYSE Participant had incurred a Termination of Employment on the date immediately before the date on which the NYSE Participant died. 
 (b) If a NYSE Participant who is a Senior Officer and was a Senior Officer on March 31, 2006 dies prior to his Termination of
Employment and shall have completed at least ten (10) years of Service and have attained Age Fifty-Five (55), the Actuarial Equivalent amount of Fifty percent (50%) of the difference of (x)—(y), where: 
 (x) is equal to one-twelfth ( 1/12) of the NYSE Participant’s Base Benefit amount; provided that such Base Benefit shall be computed using the sum of the NYSE Participant’s years of Service
to the first day of the month in which the NYSE Participant’s death occurred or March 31, 2006 if earlier, plus the years (which, for the purpose of this calculation only, shall be deemed years of Service), if any, from the first day of
the month in which the NYSE Participant’s death shall have occurred to the date when the NYSE Participant would have attained age sixty-five (65), but not later than March 31, 2006, should he have survived. In calculating the foregoing
amount, if the NYSE Participant dies prior to his sixty-fifth (65th) birthday, it shall be assumed that the NYSE Participant had attained age sixty-five (65) (but in no event shall any Service which would have occurred after March 31,
2006 be counted in calculating the benefit under this Section 7.1), and the NYSE Participant’s Final Average Compensation shall be the sum of (I) the amount of the NYSE Participant’s Base Salary at the time of his death, but not
later than March 31, 2006, plus (II) an amount equal to Two-Thirds ( 2/3) of the NYSE Participant’s Bonus during
the three (3) years immediately preceding the NYSE Participant’s death, but not later than March 31, 2006, divided by three (3). 

 (y) is equal to the sum of: 
 (A) the amount of the NYSE Participant’s monthly retirement benefit with respect to Service accrued at the NYSE Participant’s
death which would otherwise be available to the NYSE Participant if the NYSE Participant’s Termination of Employment had occurred on his date of death and if the NYSE Participant had not died, in the form of a single life annuity (but not
including the NYSE Participant’s Supplemental Retirement Income, as defined under the Retirement Plan) under the Retirement Plan, a Qualifying Entity Plan (with regard to Service prior to March 31, 2006 with the Qualifying Entity
recognized under the Qualifying Entity Plan which is also recognized hereunder), and an AMEX Plan (with regard to Service with American Stock Exchange, Inc. recognized under an AMEX Plan which is also recognized hereunder); plus 
 (B) With respect to a NYSE Participant whose death is on or after his attainment of age sixty-two (62), the amount estimated by the
Committee as the NYSE Participant’s Social Security Benefit amount to which the NYSE Participant would have been entitled as of his date of death if the NYSE Participant’s Termination of Employment had occurred on his date of death and the
NYSE Participant had not died; or with respect to a NYSE Participant whose death occurred prior to age sixty-two (62), the amount estimated by the Committee as the NYSE Participant’s Social Security Benefit amount commencing at age sixty-two
(62), but only with respect to the period after the NYSE Participant would have attained age sixty-two (62), which the NYSE Participant would have been entitled to receive as of such date on which the NYSE Participant would have attained age
sixty-two (62) had he survived, assuming the NYSE Participant’s Retirement Date had occurred on his date of death, and without any deduction with respect to the period from the NYSE Participant’s date of death to the date that the
NYSE Participant would have attained age sixty-two (62). 
 The amount determined under Section 7.1(b) shall be reduced to its Actuarial
Equivalent as if the NYSE Participant had not died, had a Termination of Employment at age sixty-five (65) (if he died prior to age sixty-five (65)), and had elected the Joint and 50% Survivor Annuity with his Beneficiary as the joint
annuitant. 
 (c) The Actuarial Equivalent amount of the applicable amount set forth in Exhibit A to the Plan. 

 Notwithstanding the foregoing, the Participant’s Beneficiary shall be entitled to receive the Actuarial Equivalent
of the Minimum Benefit as his Supplemental Benefit in lieu of the amount calculated under Section 7.1 above if such Minimum Benefit is greater than the Supplemental Benefit calculated pursuant to Section 7.1 above. 
 7.2 Death After Termination of Employment. If a NYSE Participant dies after incurring a Termination of Employment but prior to the
commencement of the NYSE Participant’s Supplemental Benefits, in lieu of all other benefits under the Plan, such NYSE Participant’s Beneficiary shall receive a Supplemental Benefit, at such time as specified in Section 7.3 of the
Plan, equal to the greatest amount computed under paragraphs (a) or (b) below. 
 (a) The Actuarial Equivalent amount of the NYSE
Participant’s Supplemental Benefit computed under Article V herein as if the NYSE Participant had incurred a Termination of Employment on the date immediately before the date on which the NYSE Participant died. 
 (b) The Actuarial Equivalent amount of the applicable amount set forth in Exhibit A to the Plan. 
 7.3 Payment of Supplemental Benefits Following NYSE Participant’s Death. If a NYSE Participant dies prior to the commencement of the
NYSE Participant’s Supplemental Benefits, such NYSE Participant’s Beneficiary shall receive the Supplemental Benefit described in Section 7.1 or 7.2 of the Plan commencing as of the first day of the month coincident with or next
following the later of: 
  

	 	(i)	the date that the NYSE Participant would have had attained Age Fifty-Five had he survived; or 

  

	 	(ii)	the date of the NYSE Participant’s death. 

 7.4
Form of Death Benefit. 
 (a) A NYSE Participant’s Beneficiary shall receive the applicable monthly benefit calculated
pursuant to this Article VII in the Standard Form commencing on the first day of the month coincident with or next following the later of: (i) the NYSE Participant’s death or (ii) the date that the NYSE Participant would have attained
Age Fifty-Five (55) if he had survived. 
 (b) Notwithstanding subsection (a) of this Section 7.4, the Supplemental Benefit of
a Grandfathered NYSE Participant shall be paid to his Beneficiary in an Optional Distribution Form, and at an Optional Distribution Time, provided, that such election was made and filed with the Committee prior to October 7, 2004. 

7.5 Beneficiary’s Death. If the Beneficiary of a NYSE Participant shall die within seven (7) days of the NYSE
Participant’s death and both the Beneficiary’s death and the NYSE Participant’s death occurred in the course of or as a direct result of the same accident or other event, then for the purposes of this Article VII, such Beneficiary
shall be deemed to have died before the NYSE Participant. 

 7.6 Death After Retirement Date. If a NYSE Participant dies on or after his Retirement Date
and following the commencement of the payment of his Supplemental Benefit, no death benefits will be payable hereunder upon the death of the NYSE Participant unless the NYSE Participant is receiving Supplemental Benefits in a form of benefit with a
survivor benefit or that is paid over a specific period regardless of the NYSE Participant’s (or Beneficiary’s) death. If a NYSE Participant is receiving a form of benefit with a survivor benefit, any benefits becoming due will be paid in
accordance with such form of benefit. 
 ARTICLE 8 
 LIFE INSURANCE 
 The Committee may require a Participant to assist the NYSE, in obtaining life
insurance policies on the life of such Participant. Such life insurance policies, if any, as determined by the NYSE, shall be owned by, and payable to, the NYSE or a trust established by the NYSE. The Participant may be required to complete an
application for life insurance, furnish underwriting information, including medical examination by a life insurance company-approved examiner, and authorize release of medical history to the life insurance company’s underwriter, as designated
by the Committee. No election of the NYSE to insure the life of any Participant shall give such Participant or any other person any right or interest in or to any insurance contract or policy issued to the NYSE or to a trust established by the NYSE,
or in or to any proceeds thereof. 
 ARTICLE 9 
 DETERMINATION OF SOCIAL SECURITY BENEFIT 
 In the event that the Social Security
Administration shall furnish to the NYSE a statement, in writing, in any form, regarding the Social Security Benefit amount to which a Participant shall or could be entitled or regarding the earnings history or other information relating to a
Participant for purposes of matters related to the Social Security Act, the Committee may rely on any such information contained in any such statement. In the event that the Social Security Administration or any other person shall not have furnished
directly to the NYSE a statement, by such time and in such form and manner and containing such information as the Committee may, in the Committee’s discretion, deem necessary or appropriate in order to make any such estimate of the amount of a
Social Security Benefit as may be necessary for purposes of the Plan or to make any other estimate or determination in connection with the computation of any benefit which may or could be payable hereunder, the Committee from time to time may, but
need not, make any such estimate or determination of any such Social Security Benefit or of any other amount or age or other factor as the Committee shall in the Committee’s discretion deem necessary or appropriate in connection with any such
computation. Without limitation of the foregoing provisions of this Article or of any other provisions hereof, the Committee shall have the authority, under rules of uniform application, to interpret the provisions of the Plan, to determine all
facts relating to a Participant’s Service, age, compensation and employment status, and to estimate and determine value equivalencies relating to offset of payments or entitlements from the Retirement Plan or any Qualifying Entity Plan or under
the Social Security Act and all such interpretations and determinations shall be conclusive. 

 ARTICLE 10 
 NATURE OF OBLIGATIONS OF NYSE 
 10.1 No Funding of Plan. The Employer will make
all benefit payments under the Plan to Participants or Beneficiaries, where applicable. No funds or assets of the Employer will be segregated or physically set aside with respect to the Plan. Notwithstanding the foregoing, the Employer may
contribute assets to a trust fund in order to assist the Employer in paying some or all benefits to Participants and/or their Beneficiaries. However, the Employer will attempt to ensure that no funds or assets shall be segregated or physically set
aside with respect to the Employer’s obligations under the Plan in a manner which would cause the Plan to be “funded” for purposes of ERISA and/or the Code. This Plan shall be maintained to provide supplemental retirement benefits for
a select group of management and highly compensated employees. If the Employer establishes a trust fund in connection with the Plan, the assets of such trust fund shall be subject to the claims of the general creditors of the Employer in the event
that the Employer becomes insolvent. 
 10.2 Cost of Plan. All expenses in administering the Plan will be paid by the NYSE. No
Participant contributions to the Plan are required or permitted. 
 10.3 Participants are Unsecured Creditors. A Participant or
Beneficiary, where applicable, will not have any interest in any specific asset of the Employer as a result of the Plan. Any right to receive benefits under the Plan will be only the right of an unsecured general creditor of NYSE. 
 ARTICLE 11 
 NON-ASSIGNMENT OF
INTEREST 
 Except as may be required by law, benefits payable under the Plan will not be subject to assignment, transfer, sale,
pledge, encumbrance, alienation or charge by a Participant, surviving spouse, or other Beneficiary where applicable. No Participant shall be entitled to borrow at any time any amount under the Plan. 
 ARTICLE 12 
 NOT AN EMPLOYMENT
CONTRACT 
 Neither the existence of this Plan, nor the right of any person to participate in the Plan, nor the actual participation
in the Plan by a person, shall create any right in any person to continue in the employ of the Employer or any Affiliated Organization for any specific length of time. 

 ARTICLE 13 
 WITHHOLDING 
 13.1 Withholding. 
 (a) All payments under this Plan shall be subject to the withholding of such amounts relating to federal, state or local taxes as the NYSE may reasonably
determine it should withhold based on applicable law or regulations. 
 (b) The Committee may accelerate payments to Participants under the
Plan to provide for the payment of employment taxes under the Federal Insurance Contributions Act (FICA) incurred with respect to the Plan and federal state or local income and withholding taxes as a result of the payment of such FICA amount, up to
the amount of such taxes due, as provided in Treasury Regulation 1.409A-3(j)(4)(vi) and other applicable guidance under Section 409A of the Code. 
 ARTICLE 14 
 ADMINISTRATION OF THE PLAN 
 14.1 Authority of Administrator. 
 (a) The Administrator and the Committee shall have the full power and authority to interpret, construe and administer this Plan in their sole discretion based on the provisions of the Plan documents and to decide any questions and settle
all controversies that may arise in connection with the Plan. Interpretations and constructions of the Plan made by the Administrator and the Committee and actions taken thereunder, made in their sole discretion, including any valuation of the
benefit under the Plan, any determination under this Section 14 or under Section 15, or the amount of the payment to be made hereunder, shall be based on the Plan documents and shall be final, binding and conclusive on all persons for all
persons. Neither the Administrator nor any member of the Committee (or any designee of the Committee) shall be liable to any person for any action taken or omitted in connection with the interpretation and administration of this Plan. To the extent
that a form prescribed by the Committee (or its designee) to be used in the operation and administration of the Plan does not conflict with the terms and provisions of the Plan document, such form shall be evidence of (i) the Committee’s
interpretation, construction and administration of this Plan and (ii) decisions or rules made by the Committee (or its designee) pursuant to the authority granted to the Committee under the Plan. 
 (b) The Plan shall be subject to, and administered in accordance with, the Rules of Operation and Administration of the NYSE Group, Inc. and Affiliates
NonQualified Deferred Compensation Plans, the provisions of which are incorporated into the Plan by reference. 
 (c) The Committee shall
have the authority to adopt, alter or repeal such administrative rules, guidelines and practices governing the Plan and perform all acts as it shall 

 
from time to time deem advisable; to construe and interpret the terms and provisions of the Plan; and to otherwise supervise the administration of the Plan.
The Committee, in its discretion, may delegate its authority hereunder to one or more Employees of the Employer for purposes of handling the day-to-day administration of the Plan. 
 14.2 Plan Expenses. All expenses incurred in administering the Plan will be paid by the Employer. No Participant contributions to the Plan
are required or permitted. 
 14.3 Actions in Writing. All consents, elections and other actions required or permitted by
Participants or other persons under the Plan shall be made in writing on such forms and in such manner as the Administrator may require. Forms shall be effective only if filed with the Administrator. 
 14.4 Calculation of Benefits. Benefits payable from the Plan shall be calculated by a qualified actuary designated by the NYSE, and the
determination of the amount of any such benefit by such actuary shall be conclusive. 
 ARTICLE 15 
 CLAIMS PROCEDURES 
 15.1
Claims Procedures. 
 (a) The Committee shall appoint an administrator (“Administrator”) who shall have the authority
and discretion to determine all initial claims for benefits under the Plan by Participants or their Beneficiaries based on the Plan documents. 
 (b) Within ninety (90) days after receiving a claim (or within forty-five (45) days if the claim involves a determination of Disability (“Disability Claim”)), the Administrator shall notify the Participant or Beneficiary
of his decision in writing, giving the reasons for the decision, if adverse to the claimant, and the other required information specified in this Section 16. The 90-day period may be extended for up to one hundred and eighty (180) days (or
in the case of a Disability Claim, for seventy-five (75) days or up to a maximum of one hundred and five (105) days), if the claimant is notified of the need for additional time, including notification of the reason for the delay.
Notification of the need for an extension shall be provided by the Administrator to the claimant prior to the end of the initial 90-day period or initial 45-day period in the case of a Disability Claim. 
 (c) If the decision is adverse to the claimant, the Administrator shall advise the claimant of the specific reason(s) for the denial, the Plan provisions
involved, of any additional information or material that he must provide to perfect his claim and why, and of his right to request a review of the decision, the procedures to be followed and the claimant’s right to bring an action under
Section 502(a) of ERISA following an adverse benefit determination. 
 (d) A claimant may request a review of an adverse decision by
written request to the Committee made within sixty (60) days (or within one hundred and eighty days (180) days, if a Disability Claim) after receipt of the decision. The claimant, or his duly authorized representative, may review pertinent
documents and submit written issues and comments. In the case of a Disability Claim, if the Administrator is also a member of the Committee, such Administrator shall not be permitted to review the appeal of such claim. 

 (e) Within sixty (60) days (or within forty-five (45) days if a Disability Claim), after
receiving a request for review, the Committee shall notify the claimant in writing of (i) its decision; (ii) the specific reasons for the adverse benefit determination, with references to the specific Plan provisions upon which the denial
is based; (iii) a statement that the claimant is entitled to receive, upon request and free of charge, reasonable access to and copies of all documents, records and other information relevant to the claim; and (iv) a statement of the
claimant’s right to bring a civil action under Section 502(a) of ERISA. If the Committee determines that additional time is needed to review the claim, the initial 60-day period (or initial 45-day period in the case of a Disability Claim)
may be extended by 60 days from the end of the initial 60-day period or, in the case of a Disability Claim, by 45 days from the end of the initial 45-day period. The extension notice will indicate the special circumstances requiring the extension
and will indicate the date by which the Committee expects to make a determination upon review. 
 (f) The Committee may at any time alter the
claims procedure set forth above, so long as the revised claims procedure complies with Section 503 of ERISA, and the regulations issued thereunder (“ERISA Claims Procedure Rules”). For the avoidance of doubt, the provisions of the
ERISA Claims Procedure Rules are incorporated herein by reference. 
 ARTICLE 16 
 AMENDMENT AND TERMINATION 
 The
Plan may be amended or terminated at any time by the Employer, provided that no such amendment or termination shall reduce the retirement income earned prior to such amendment or termination by any Participant who has satisfied the conditions for
being vested under the Plan on the date of such amendment or termination. Upon termination of the Plan, distributions may be made in accordance with the provisions of the Plan as if no such termination had occurred. Any distributions at any other
time or in any other form following termination of the Plan shall be permitted only to the extent permissible under Section 409A of the Code and Treasury regulations and other applicable guidance issued under Section 409A. 
 ARTICLE 17 
 JURISDICTION

 To the extent legally required, the Code and Parts 1 and 5 of Title I of ERISA, shall govern the Plan and, if any provision hereof is
in violation of any applicable requirement thereof, the NYSE reserves the right to retroactively amend this Plan to comply therewith. To the extent not governed by the Code and Parts 1 and 5 of Title I of ERISA, this Plan shall be governed by the
laws of the State of New York, without regard to conflict of law provisions. 

 ARTICLE 18 
 PAYMENT NOT SALARY 
 Any benefit payable under this Plan shall not be deemed salary or other
compensation to the Employee for the purposes of computing benefits to which he may be entitled under any pension plan or other arrangement of any NYSE for the benefit of its employees. 
 ARTICLE 19 
 SEVERABILITY 
 In case any provision of this Plan shall be illegal or invalid for any reason, said illegality or invalidity shall not affect the remaining parts hereof,
but this Plan shall be construed and enforced as if such illegal and invalid provision never existed 
 ARTICLE 20 
 NON-EXCLUSIVITY 
 The adoption
of the Plan by an NYSE shall not be construed as creating any limitations on the power of the NYSE to adopt such other supplemental retirement income arrangements as it deems desirable, and such arrangements may be either generally applicable or
limited in application. 
 ARTICLE 21 
 NON-EMPLOYMENT 
 This Plan is not an agreement of employment, and it shall not grant the
employee any rights of employment or interfere in any way with the right of NYSE to terminate the employment of the Employee at any time. 
 ARTICLE 22 
 GENDER AND NUMBER 
 Wherever used in this Plan, the masculine shall be deemed to include the feminine and the singular shall be deemed to include the plural, unless the context clearly indicates otherwise. 
 ARTICLE 23 
 HEADINGS AND
CAPTIONS 
 The headings and captions herein are provided for reference and convenience only. They shall not be considered part of
the Plan and shall not be employed in the construction of the Plan. 

 ARTICLE 24 
 ENTIRE AGREEMENT 
 This Plan, along with the Participants’ elections hereunder,
constitutes the entire agreement between the NYSE and the Participants pertaining to the subject matter herein and supersedes any other plan or agreement, whether written or oral, pertaining to the subject matter herein. No agreements or
representations, other than as set forth herein, have been made by the NYSE with respect to the subject matter herein. 
 ARTICLE 25 

 SALE OF ASSETS OF NYSE REGULATION, INC. – SPECIAL DISTRIBUTION 
 ELECTIONS AND VESTING. 
 25.1 Special Elections Permitted.
An Eligible Transferred Operations Participant (as such term is defined below) shall be permitted to elect, in accordance with the provisions of Section 25.2 below, to defer the commencement of distribution of his vested Supplemental Benefits
to attainment of age sixty (60). 
 25.2 Requirements for Effective Election. An Eligible Transferred Operations Participant
who wishes to make an election permitted under Section 25.1 above shall be required to complete and sign a distribution election form prior to the Closing Date (as defined below) and otherwise in the time and manner required by the Committee.
An election made pursuant to Section 25.1 is intended to be made pursuant to, and in accordance with, the requirements of Q&A-19 of IRS Notice 2005-1, as amended, and otherwise in accordance with Section 409A of the Code. 

25.3 Changes to Elections. Once an election made by a Participant pursuant to Section 25.1 above with respect to his Supplemental
Benefits becomes effective, such election may not be amended, modified or terminated. 
 25.4 Vesting. Notwithstanding the
provisions of the Plan, an Eligible Transferred Operations Participant shall be entitled to a Supplemental Benefit if, at the time of his Termination of Employment with NASD, the Eligible Transferred Operations Participant’s combined total
employment service with the Employer and NASD (“Combined Service”) equals or exceeds ten years. If, however, at the time of an Eligible Transferred Operations Participant’s Termination of Employment with NASD, the total Combined
Service of such participant is less than ten years, his Supplemental Benefit shall be forfeited at the time of such employment termination. 
 25.5 Defined Terms. For purposes of the Plan, the following definitions shall apply: 
 (a) “NYSE
Regulation Asset Purchase Agreement” means the Asset Purchase Agreement dated on or about July 30, 2007, by and among NYSE Group, Inc., NYSE Regulation, Inc. and the National Association of Securities Dealers, Inc.
(“NASD”) pursuant to which NYSE Group will sell a portion of NYSE Regulation, Inc. (the “Transferred Operations”) to the NASD. 

 (b) “NYSE Regulation Sale Transaction” means the transactions contemplated by the
provisions of the NYSE Regulation Asset Purchase Agreement. 
 (c) “Closing Date” means the closing date for the NYSE
Regulation Sale Transaction. 
 (d) “Eligible Transferred Operations Participant” means a Participant in the Plan who
will transfer to employment with NASD on the Closing Date and who will not attain Age Fifty-Five on or before December 31, 2007. 
 ARTICLE 26 
 COMPLIANCE 
 Although the Employer makes no guarantee with respect to the tax treatment of payments hereunder, the Plan is intended to comply with the requirements of Section 409A of the Code and shall be limited, construed
and interpreted in accordance with such intent. Accordingly, the NYSE reserves the right through the action of the Committee to amend the provisions of the Plan at any time and in any manner without the consent of Participants solely to comply with
the requirements of Section 409A and to avoid the imposition of an excise tax under Section 409A on any payment to be made hereunder, provided that there is no reduction in the benefits provided hereunder. Notwithstanding the foregoing, in
no event whatsoever shall the Employer be liable for any additional tax, interest or penalty that may be imposed on a Participant by Section 409A or any damages for failing to comply with Section 409A of the Code. 
 ARTICLE 27 
 EFFECT OF DOMESTIC
RELATIONS ORDERS 
 Notwithstanding any other provision of the Plan to the contrary, to the extent permitted by Section 409A of
the Code, the time of payment or schedule of payment of a benefit under the Plan may be accelerated to the extent required by a domestic relations order (as defined in Section 4l4(p)(1)(B) of the Code), provided that such payment is required to
be made to an individual other than the Participant. 

 EXHIBIT A TO PART A OF THE PLAN 
  

					
	 Title or Equivalent
	  	 Service with NYSE
	  	 Amount

	Group Executive Vice President, and Executive Vice President	  	More than (10) years	  	Two (2) years Base Salary
	  	More than five (5) years but less than ten (10) years	  	One and one-half (1 1/2) years Base Salary
	  	Less than five (5) years	  	One (1) year Base Salary
			
	 Senior Vice President
 and Vice President

	  	More than twelve (12) years	  	One and one-half (1 1/2) years Base Salary
	  	Less than twelve (12) years	  	One (1) year Base Salary
			
	Assistant Vice President	  	Fifteen (15) years or more	  	One (1) year Base Salary
	  	Less than Fifteen (15) years	  	Two (2) weeks Base Salary for each year of Service
			
	All others	  	Fifteen (15) years or more	  	Nine (9) months Base Salary
	  	Less than Fifteen (15) years	  	Two (2) weeks Base Salary for each year of Service

 APPENDIX A TO PART A OF THE PLAN 
 HISTORIC BENEFIT 
 ARTICLE I 
 DEFINITIONS 
 Solely for purposes of this
Appendix A to the Plan, the following definitions apply: 
 1.1 “Compensation” means: (i) with respect to a
Participant who on December 31, 2003 has never been a Senior Officer, Base Salary; (ii) with respect to a Participant who is not a Senior Officer on December 31, 2003 but had previously been a Senior Officer, Base Salary plus the
amounts of payments made (or would have been paid if not for an election made under an employee benefit plan maintained by the NYSE to defer all or a portion of such amounts) under an annual bonus plan or other arrangement maintained by the NYSE
attributable to the respective months in any period on or after January 1, 1986 during which the Participant’s Base Salary equaled or exceeded the Eligible Salary Level and the Participant was a Senior Officer; (iii) with respect to a
Participant who was a Senior Officer on December 31, 2003, Base Salary plus the amounts of payments made (or would have been paid if not for an election made pursuant to an employee benefit plan maintained by the NYSE to defer all or a portion
of such amounts) under an annual bonus plan or other arrangement maintained by the NYSE attributable to the respective months, in any period on or after January 1, 1986, during which the Participant’s Base Salary equaled or exceeded the
Eligible Salary Level. Payments made (or would have been paid if not for an election made pursuant to an employee benefit plan maintained by the NYSE to defer all or a portion of such amount) under an annual bonus plan or other arrangement
maintained by the NYSE shall be deemed attributable to the year, and the respective months or months in such year with respect to which such payments were earned, regardless of the times of making such payments. No payment in the nature of a bonus
or award or premium for overtime or additional work or otherwise paid to a Participant under any bonus or other plan or program existing prior to the inception of, or in any way apart from, the bonus plan or arrangement shall in any way be deemed to
be a payment either under the bonus plan or arrangement or included in any computation or determination of Eligible Salary Level or Final Average Compensation. 
 1.2 “Final Average Compensation” means the annual average of a Participant’s Compensation as an Employee during the thirty-six (36) consecutive (ignoring, for this purpose, any breaks
in continuous paid employment with the NYSE) calendar months of employment with the NYSE on or prior to December 31, 2003 out of the last one hundred and twenty (120) months (or, if less than one hundred and twenty (120) months, the
number of calendar months of employment with the NYSE on or prior to December 31, 2003) which yields the highest average. Such average is the result obtained by dividing the total Compensation of a Participant during the considered thirty-six
(36) month period by three (3). Compensation received from a Qualifying Entity shall not be considered (and any period of employment with a Qualifying Entity shall be ignored when calculating one hundred twenty (120) months or thirty-six
(36) consecutive months). Notwithstanding the foregoing, for purposes of determining a Participant’s Final Average Compensation, in the case of a Participant who was not an Employee for at least thirty-six (36) calendar months, Final
Average Compensation shall mean the annual average of the 
  

 
Participant’s Compensation as an Employee during the consecutive (ignoring, for this purpose, any breaks in continuous paid employment with the NYSE)
calendar months of employment with the NYSE determined by dividing the total Compensation of a Participant during such period of employment with the NYSE by the number of years, including fractional parts thereof (but only full months shall be
considered), for which such Compensation was paid. 
 1.3 “Frozen Early
Retirement Benefit” means an amount equal to one-twelfth ( 1/12) of the Participant’s Base Benefit,
computed as of December 31, 2003, reduced by a percentage equal to the product of two percent (2%) times the number of years and fractional portion of a year elapsing between the date of his Early Retirement Date and the date of the
Participant’s sixtieth (60) birthday. There shall be no reduction if a Participant’s Retirement Date occurs on or after his sixtieth birthday. 
 1.4 “Historic Benefit” means the Supplemental Benefit calculated pursuant to Article II of this Appendix A. 
 1.5 “Historic NYSE Participant” means a Participant who meets all of the conditions in either paragraph (a) or paragraph (b) of this Section 1.5: 
 (a) The Participant (i) was a Participant in the Plan on December 31, 2003, (ii) had not incurred a Termination of NYSE
Employment before October 7, 2004, and (iii) is not a Specified Executive; or 
 (b) The Participant (i) was a
Participant in the Plan on December 31, 2003, (ii) had not incurred a Termination of NYSE Employment before October 7, 2004, (iii) is not a Specified Executive and (d) participated in the 2008 VRIP. 
 1.6 “Service” means, solely for purposes of this Appendix A, Service, as defined in Article II of the Plan, but only recognized
through December 31, 2003. 
 1.7 “Specified Executive” means Robert G. Britz and Catherine R. Kinney.

 ARTICLE II 
 HISTORIC BENEFIT OF HISTORIC NYSE PARTICIPANTS 
 2.1 Normal Retirement Date or Deferred Retirement
Date. Subject to Section 2.3 of this Appendix A, a Historic NYSE Participant’s Historic Benefit commencing on his Normal Retirement Date or Deferred Retirement Date shall be a monthly amount equal to equal to the greater of
(a) the Historic NYSE Participant’s Minimum Benefit computed as of December 31, 2003 using Service and Compensation as defined in this Appendix A or (b) the Historic NYSE Participant’s Base Benefit computed as of
December 31, 2003 using Service and Compensation, as defined in this Appendix A, divided by twelve (12), minus the Historic NYSE Participant’s Offset Amount, but determined as if the Historic NYSE Participant had a Termination of
Employment on December 31, 2003. 
 2.2 Early Retirement Date. Subject to Section 2.3 of this Appendix A, a Historic
NYSE Participant’s Historic Benefit commencing on his Early Retirement Date shall be a 

 
monthly amount equal to the greater of (i) the Historic NYSE Participant’s Minimum Benefit computed as of December 31, 2003 using Service and
Compensation as defined in this Appendix A, or (ii) the Historic NYSE Participant’s Frozen Early Retirement Benefit minus the Historic NYSE Participant’s Early Retirement Offset, but determined as if the Historic NYSE Participant had
a Termination of Employment on December 31, 2003. 
 2.3 Pre-Conditions for Historic Benefit. Notwithstanding any other
provision in the Plan to the contrary, a Historic NYSE Participant shall not be eligible for an Historic Benefit if one of the following applies to the Historic NYSE Participant: 
 (a) such Historic NYSE Participant’s Base Salary with the NYSE does not equal or exceed the Eligible Salary Level for at least
thirty-six (36) months out of the last one hundred twenty (120) months of employment (or, if the number of calendar months of employment with the NYSE immediately prior to the Historic NYSE Participant’s Termination of Employment is
less than one hundred twenty (120) months, during such shorter period) with the NYSE; or 
 (b) such Historic NYSE
Participant has not been employed by the NYSE for at least an aggregate of thirty-six (36) months; or 
 (c) such
Historic NYSE Participant incurs a Termination of NYSE Employment before his attainment of Age Fifty-Five (55), for any reason whatsoever including, but not limited to, disability, termination prior thereto by the Historic NYSE Participant with or
without good reason or termination prior thereto by the NYSE with or without cause. 
 Notwithstanding anything contained herein to the contrary, age and
service credited as a result of a Participant’s participation in the 2008 VRIP shall be included for purposes of determining whether the pre-condition requirements set forth in Section 2.3 of this Article II have been met. 
 ARTICLE III 
 HISTORIC BENEFIT OF
SPECIFIED EXECUTIVES 
 3.1 Amount of Historic Benefit. Notwithstanding Article II of this Appendix A to the contrary,
the Historic Benefit of a Specified Executive shall be a single life annuity, payable annually, based on the Specified Executive’s Termination of Employment in accordance with the Table 3.1 below, less his Social Security Benefit (such offset
to begin upon the first day of the month coincident with or next following the later of the Specified Executive’s (a) attainment of age 62 or (b) Retirement Date): Notwithstanding the foregoing, the benefit in this Article III shall
be paid in the Standard Form. 

 TABLE 3.1 
 HISTORIC BENEFIT OF SPECIFIED EXECUTIVES 
  

				
	 AGE AT TERMINATION OF
EMPLOYMENT
	  	ANNUAL AMOUNT
	 On or after 55 but before 56
	  	$	1,000,000
		
	 On or after 56 but before 57
	  	$	1,050,000
		
	 On or after 57 but before 58
	  	$	1,100,000
		
	 On or after 58 but before 59
	  	$	1,150,000
		
	 On or after 59 but before 60
	  	$	1,200,000
		
	 60 or later
	  	$	1,250,000

 3.2 Vesting Provisions. Notwithstanding Section 4.1 of the Plan, a Specified
Executive shall be partially vested in his or her Historic Benefit as follows: 
 (a) As of December 2, 2004, Robert G.
Britz shall be vested in an amount equal to $950,000 of his Historic Benefit; and 
 (b) As of December 2, 2004,
Catherine R. Kinney shall be vested in an amount equal to $900,000 of her Historic Benefit. 

 PART B 
 PROVISIONS APPLICABLE TO SIAC PARTICIPANTS 
 The following provisions of Part B of the Plan
apply to SIAC Participants, as defined in Part B of the Plan. Unless otherwise indicated, all Section references in Part B of the Plan are references to the relevant sections of Part B. Defined terms shall have the meaning ascribed in Part A of the
Plan to the extent such terms are not defined in this Part B of the Plan . 
 ARTICLE 1 
 DEFINITIONS 
 1.1
“Affiliate Plan” means any defined benefit pension plan maintained by the National Securities Clearing Corporation, the Depository Trust Company, or Depository Trust & Clearing Corporation. 
 1.2 “Affiliated Organizations” means any of the organizations maintaining an Affiliate Plan. 
 1.3 “Basic Plan” means, effective as of January 1, 2008, the Revised Retirement Plan for Eligible Employees of the New York
Stock Exchange and Subsidiary Companies (as amended and restated effective as of January 1, 2008) and as amended from time to time thereafter, and prior to January 1, 2008, the Revised Retirement Plan for Eligible Employees of the
Securities Industry Automation Corporation. 
 1.4 “Beneficiary” means the person or entity designated by the SIAC
Participant on the appropriate form provided by the Administrator to receive the Death Benefits determined under Article 6, or, in the absence of such designation, such SIAC Participant’s estate. 
  

 1.5 “Compensation” means (a) base salary paid to a SIAC Participant or
deferred by the SIAC Participant during such period and (b) in the case of a SIAC Participant who at any time during his employment with the Employer held the office of Senior Vice President (or a higher office), an amount equal to two-thirds
of the amount of any annual Incentive Awards paid to the SIAC Participant or deferred by the SIAC Participant for such period of time; provided that the amount described in clause (b) shall not exceed such SIAC Participant’s base salary.
Notwithstanding the foregoing, compensation paid to a Participant with respect to periods after March 31, 2006 shall not be taken into account for purposes of calculating benefits under Part B of the Plan. 
 1.6 “Deemed Date of Hire” means (a) with respect to any SIAC Participant who begins employment with the Employer or any
Affiliated Organization at any time between and including the first day and the fifteenth day of any month, the first day of such month, and (b) with respect to any SIAC Participant who begins employment with the Employer or any Affiliated
Organization during any such period at any time between and including the sixteenth day and the last day of any month, the first day of the immediately following month. 
 1.7 “Determination Period” means the period (a) beginning on the later of (x) the SIAC Participant’s Deemed Date of Hire, or (y) the first day of the calendar year that is
the first of the ten consecutive calendar years ending on or prior to the SIAC Participant’s Termination of Employment, and (b) ending on the SIAC Participant’s Termination of Employment. Notwithstanding the foregoing, a SIAC
Participant’s Determination Period shall not end later than March 31, 2006. 
 1.8 “Employer” means NYSE on
or after November 1, 2006 and prior to November 1, 2006 shall mean SIAC and/or Sector, Inc. 
 1.9 “Final Average Annual
Compensation” means the five-year average of the total Compensation of a SIAC Participant paid or deferred during (a) the sixty consecutive month period ending on the earlier of the SIAC Participant’s Termination of Employment
or March 31, 2006, or (b) the five consecutive full calendar years in the Determination Period for which the total Compensation of such SIAC Participant is greatest, whichever of (a) or (b) is the period for which such total
Compensation of such SIAC Participant is greater, subject to the provisions of Article 5. Notwithstanding the foregoing, in computing Final Average Annual Compensation pursuant to (a) above, only the five highest Incentive Awards paid
consecutively in such sixty month period shall be taken into account. 
 1.10 “Grandfathered SIAC Participant” means
a SIAC Participant who (a) was an employee of an Employer and a participant in the Prior SIAC SERP on May 18, 2005 and (b) would have been vested pursuant to Section 8.1 of the Prior SIAC SERP in effect on May 18, 2005 if he
incurred a Termination of Employment on such date. 
 1.11 “Historic Benefit” means the benefit calculated pursuant
to the Appendix to Part B. 
 1.12 “Historic SIAC Participant” means an individual who was an employee of the
Employer and a Participant in the Prior SIAC SERP on May 18, 2005. 
  

 1.13 “Incentive Award” means the total discretionary performance bonus, if any,
paid to or deferred by a SIAC Participant by the Employer in respect of a calendar year. 
 1.14 “Non-Vested Death
Benefit” means the benefit payable under the Plan in accordance with Section 6.1 in the event of the death of a SIAC Participant. 
 1.15 “NYSE” means the NYSE Group, Inc. 
 1.16 “NYSE Controlled Group” means NYSE
and any corporation which is a member of a controlled group of corporations (as defined in Code Section on 414(b)) which includes NYSE and any trade or business (whether or not incorporated) which is under common control (as defined in Code
Section 414(c)) with NYSE. 
 1.17 “Officer” means an officer of the Employer. 
 1.18 “Prior SIAC SERP” means the Securities Industry Automation Corporation Supplemental Executive Retirement Plan as in effect
immediately prior to May 19, 2005. 
 1.19 “SIAC” means the Securities Industry Automation Corporation.

 1.20 “SIAC Participant” means a person covered under Part B of the Plan in accordance with Article 2. 

1.21 “SIAC SERP” means the Securities Industry Automation Corporation Supplemental Executive Retirement Plan. 
 1.22 “Total Disability or Totally Disabled” means an incapacity for which the SIAC Participant is (a) receiving, for at
least three months, disability benefits under the NYSE’s Long Term Disability Plan by reason of any medically determinable physical or mental impairment that can be expected to result in death or can be expected to last for a continuous period
of not less than twelve (12) months, (b) unable to engage in any substantial gainful activity by reason of any medically determinable physical or mental impairment that can be expected to result in death or can be expected to last for a
continuous period of not less than twelve (12) months, and would be eligible to receive benefits under NYSE’s Long Term Disability Plan if he participated in such plan or (c) for which the SIAC Participant is receiving Social Security
disability benefits. 
 1.23 “Vested Death Benefit” means the benefit payable under the Plan in accordance with
Section 6.2 or 6.3 in the event of the death of a SIAC Participant, or in the case of more than one Beneficiary, the portion of such benefit determined by the SIAC Participant on an appropriate form provided by the Administrator. 
 1.24 “Year of SERP Participation” means each twelve consecutive month period commencing on the date the person becomes a SIAC
Participant in the Plan and each anniversary thereof measured to such SIAC Participant’s Termination of Employment. 
 1.25
“Year of Service” means a period of twelve consecutive months, prior to Normal or Deferred Retirement Date, in which a person is employed by the Employer or, if immediately preceding a period of employment with the Employer,
by an Affiliated Organization, with the 

  

 SERP 2005 

 
first such period of twelve months commencing on such person’s Deemed Date of Hire by the Employer or Affiliated Organization, as the case may be.
Credit will be given for a partial Year of Service with each month of a period of employment equal to one-twelfth of a Year of Service. For this purpose, a SIAC Participant’s period of employment will be measured to the first day of the month
preceding his Termination of Employment if such Termination of Employment occurs prior to the sixteenth day of the month and will be measured to the first day of the month following his Termination of Employment if such Termination of Employment
occurs on or after the sixteenth day of the month. No credit for benefit determination purposes will be given for any period with respect to which required employee contributions to the Basic Plan or any defined benefit pension plan maintained by
the aforementioned companies were not made, or were made and have been, or will be, withdrawn and not repaid in accordance with the provisions of said plan. Notwithstanding the foregoing, a period of employment rendered by a SIAC Participant on or
after March 31, 2006 shall not be taken into consideration in computing the amount of a benefit under Part B of the Plan, but shall continue to count for vesting purposes. 
 ARTICLE 2 
 ELIGIBILITY 
 Participants in the SIAC SERP immediately before the Restatement Date who have benefits thereunder which have not been fully paid shall be SIAC
Participants in the Plan as of the Restatement Date. No employee became a Participant in the SIAC SERP on or after March 31, 2006. 
 ARTICLE 3 
 RETIREMENT INCOME 
 3.1 Normal or Deferred Retirement Benefit. Except as otherwise provided herein, the Employer will pay to a SIAC Participant a benefit upon his Normal or Deferred Retirement Date calculated as follows,
provided the benefit is vested as provided herein: 
 (a) The SIAC Participant’s Final Average Annual Compensation shall
be multiplied by a percentage equal to the sum of: 
  

	 	(i)	2.5% for each of the first ten Years of Service, plus 

  

	 	(ii)	2.0% for each of the next ten Years of Service, plus 

  

	 	(iii)	1.5% for each of the next ten Years of Service, plus 

  

	 	(iv)	1% for each Year of Service in excess of thirty (30). 

 (b) Less: 
  

	 	(i)	the SIAC Participant’s normal retirement benefit (or, if applicable, deferred retirement benefit) payable as a single life annuity, before adjustment for any pre-retirement
joint and survivor coverage, received from the Basic Plan and any Affiliate Plan based on Years of Service before March 31, 2006 included in the determination of the benefit calculated in the preceding subparagraph; and

  

	 	(ii)	the SIAC Participant’s Primary Social Security retirement benefit payable at age 65 or, if applicable, his Deferred Retirement Date, as determined by the Administrator,
based on the Social Security law in effect in the 2006 calendar year, and assuming no future earnings, indexing, or cost of living adjustments after March 31, 2006. 

 (c) The remainder resulting from the subtraction in the preceding subparagraph shall be the SIAC Participant’s annual Plan benefit at
his Normal or Deferred Retirement Date payable in the form of a single life annuity prior to conversion to the Standard Form. 
 Notwithstanding the foregoing, the benefit of a Historic SIAC Participant shall not be less than his Historic Benefit, as described in Section 1 of Part II of the Appendix to Part B, but only if the SIAC Participant has satisfied the
conditions for a Historic Benefit as described in the Appendix to Part B. 
 The benefit in subparagraph (b)(i) is calculated assuming the
SIAC Participant’s benefit under the Retirement Plan or Affiliate Plan commences at the later of the SIAC Participant’s Termination of Employment or age 55 and is not dependent on when the SIAC Participant elects to receive benefits under
the Retirement Plan or Affiliate Plan. 
 3.2 Payment of Benefits. Benefits shall be paid as described in Article 8.

 ARTICLE 4 
 EARLY
RETIREMENT INCOME 
 4.1 Entitlement to Early Retirement Benefit. A SIAC Participant shall be entitled to a benefit
determined under this Article 4 if, upon his Termination of Employment prior to the SIAC Participant’s Normal Retirement Date, the SIAC Participant has completed at least ten Years of Service or completed at least three Years of SERP
Participation and reached at least age 55. Such benefit shall be paid as provided in Article 8. In no event shall benefits described in this Article 4 commence before the SIAC Participant has attained age 55. 
 4.2 Amount of Early Retirement Benefit. A SIAC Participant who retires under Section 4.1 shall receive a benefit calculated as
follows: 
 (a) the benefit determined under Section 3.1(a); 

 (b) Multiplied by: a percentage equal to 1 (one) minus the product of .04 times the
number of years, including fractions of years, elapsing between the date his benefit commences and age 60; 
 (c) Less: the
SIAC Participant’s benefit available as a single life annuity, before adjustment for any pre-retirement joint and survivor coverage as established under the Retirement Plan, and any Affiliate Plan based on Years of Service before March 31,
2006 included in the determination of the benefit calculated in subparagraph (a) above as of the date the SIAC Participant’s benefit commences, assuming the SIAC Participant’s benefits under these plans commenced on the same date as
the SIAC Participant’s benefit under this Plan; provided, however, for purposes of this Section 4.2(c), the benefit under the Retirement Plan or Affiliate Plan will be increased or reduced using the Retirement Plan’s or Affiliate
Plan’s factors to reflect the assumed date of benefit commencement; and further, provided, that the actual value of any additional benefit realized under the Retirement Plan or any Affiliate Plan as a result of a Participant’s
participation in the 2008 VRIP shall not be included in the reduction calculation contemplated herein;” 
 (d) Less: an
amount estimated to be equal to the Primary Social Security retirement benefit for which the SIAC Participant is eligible at age 62 (or later age, if applicable), as determined by the Administrator, based on the law in effect on the date the SIAC
Participant’s benefit commences, assuming that there will be no future earnings. Such reduction shall commence at age 62 if the Participant incurs a Termination of Employment prior to age 62, or if a Participant incurs a Termination of
Employment after age 62, on the Participant’s Termination of Employment. 
 (e) The remainder resulting from the
subtraction in the preceding paragraphs shall be the SIAC Participant’s annual Plan benefit upon his early retirement payable in the form of a single life annuity prior to conversion to the Standard Form. 
 Notwithstanding the foregoing, the benefit of a Historic SIAC Participant shall not be less than his Historic Benefit, as described in Section 2 of
Part II of the Appendix to Part B of the Plan, but only if the SIAC Participant has satisfied the conditions for a Historic Benefit as described in Section 3 of Part II of the Appendix to Part B; provided that, notwithstanding anything
contained herein to the contrary, age and Years of Service for purposes of determining whether the conditions of Section 3 of Part II of the Appendix to Part B have been satisfied shall include any age and service credit received under the 2008
VRIP. 
 The benefit in subparagraph (c) is calculated assuming the SIAC Participant’s benefit under the Retirement Plan or
Affiliate Plan commences at the later of age 55 or the SIAC Participant’s Termination of Employment and is not dependent on when the SIAC Participant elects to receive benefits under the Retirement Plan or Affiliate Plan. 

 ARTICLE 5 
 ACCRUAL OF BENEFITS DURING DISABILITY 
 5.1 Service. 
 A SIAC Participant whose employment with the Employer terminates as a result of a Total Disability shall continue to accrue Years of Service and Years of
SERP Participation under the Plan for benefit accrual and vesting purposes from the onset of the Total Disability until his Normal Retirement Date or until such SIAC Participant’s death or cessation of Total Disability, whichever shall first
occur, but in no event later than March 31, 2006. Notwithstanding any of the foregoing, no SIAC Participant who has a Total Disability shall accrue a benefit hereunder after March 31, 2006, but may accrue Years of Service and Years of SERP
Participation for vesting purposes to the extent provided above. 
 5.2 Compensation. 
 Such SIAC Participant’s Final Average Compensation shall not be less than (a) the total base salary paid by the Employer to such SIAC
Participant or deferred by such SIAC Participant during the twelve months preceding such SIAC Participant’s Total Disability, plus, (b) in the case of a SIAC Participant who at any time during his employment with the Employer held the
office of Senior Vice President (or a higher office), two-thirds of the average of the annual Incentive Awards paid by the Employer to such SIAC Participant or deferred by such SIAC Participant during the last five annual periods preceding such SIAC
Participant’s Total Disability; provided that the amount of any annual Incentive Award included in computing Final Average Compensation shall not exceed the SIAC Participant’s base salary for the applicable annual period. Notwithstanding
the foregoing, for purposes of computing Final Average Compensation for a SIAC Participant with a Total Disability, only the five highest Incentive Awards paid consecutively in the five annual periods preceding such SIAC Participant’s Total
Disability shall be taken into account. For purposes of this Article V, the phrase “five annual periods” means (i) the sixty consecutive month period immediately preceding the SIAC Participant’s Total Disability or (ii) the
last five consecutive full calendar years preceding the SIAC Participant’s Total Disability, whichever period results in the higher benefit. Notwithstanding the foregoing, the Final Average Compensation of a SIAC Participant who is accruing a
benefit hereunder as of March 31, 2006 shall be determined as of such date and shall not increase thereafter. 
 ARTICLE 6

 DEATH BENEFITS 
 6.1 Non-Vested Death Benefit. If a SIAC Participant dies while actively employed by the Employer or on Total Disability prior to having satisfied the vesting requirements of Section 7,1, his Beneficiary shall be entitled
to the Non-Vested Death Benefit which shall initially be calculated as a single sum amount, but which shall be payable in the Standard Form commencing on the first day of the month following the later of the date the SIAC Participant would have
attained age 55 or the date of death. Such single sum amount shall be equal to (a) 24 

 
times such SIAC Participant’s monthly base salary rate at March 31, 2006 (without regard to any salary reduction agreement in effect for the SIAC
Participant on the date of death under any plan maintained by the Employer), plus, (b)(i) in the case of a SIAC Participant who at any time during his employment with the Employer held the office of Senior Vice President, the amount of the annual
Incentive Award paid by the Employer to such SIAC Participant or deferred by such SIAC Participant, if any, within the twelve calendar months prior to March 31, 2006 or (ii) in the case of a SIAC Participant who at any time during his
employment with the Employer held the office of Executive Vice President or higher office, twice the amount of the annual Incentive Award paid by the Employer to such SIAC Participant or deferred by such SIAC Participant, if any, within the twelve
calendar months prior to March 31, 2006. This benefit will be reduced by the Actuarial Equivalent value of any death benefit payable to such Beneficiary from the Part B of the Retirement Plan and any Affiliate Plan (or which would be payable to
such Beneficiary if such Beneficiary were named as the SIAC Participant’s beneficiary under the Retirement Plan and/or Affiliate Plan), with respect to the period of Service prior to March 31, 2006, other than any death benefit payable
from the Retirement Plan on account of election of the Survivor Income Option under the Employer’s Welfare Plan. 
 6.2 Vested
Death Benefit. If a SIAC Participant dies while actively employed by the Employer at or after completing at least ten Years of Service, or after age 55 and after completing at least three Years of SERP Participation, or at or after attaining
age 65, or, alternatively, after age 65 while on Total Disability, the SIAC Participant’s Beneficiary shall be entitled to a Vested Death Benefit which shall be paid in the Standard Form commencing on the first day of the month following the
later of the date the SIAC Participant would have attained age 55 or month of death, equal to the following: 
 (a) the amount
calculated under Section 3.1(a) based on Years of Service to March 31, 2006; minus 
 (b) any death benefit payable
to the spouse under the Retirement Plan and any Affiliate Plan based on Years of Service included in the determination of the benefit calculated in Section 6.2(a) above; provided, however, in no event will the Vested Death Benefit payable from
this Plan be reduced by any benefits payable on account of participation in the Survivor Income Option under the Employer’s Welfare Plan; minus 
 (c) the SIAC Participant’s estimated Primary Social Security retirement benefit payable at age 65 (or, if later, at the SIAC Participant’s death) based on the law in effect on the date of death and an
assumption that there will be no future earnings. 
 For this purpose, the Standard Form shall be calculated reflecting the SIAC
Participant’s life expectancy and using as the date benefits commence the later of age 55 or the SIAC Participant’s age at the date of his death. 
 In no event will the Standard Form of payment of the Vested Death Benefit payable to any Beneficiary be less than the Standard Form payable as the Non-Vested Death Benefit under Section 6.1. 

 6.3 Death After Termination But Prior to Commencement of Benefits. If a terminated SIAC
Participant dies after satisfying the vesting requirements of the Plan but prior to the date his benefit commences, his Beneficiary shall be entitled to a Vested Death Benefit payable in the Standard Form determined under Section 6.2 based on
the SIAC Participant’s Years of Service as of the date of Termination of Employment or, if earlier, March 31, 2006, commencing on the first day of the month following the later of the date the SIAC Participant would have attained age 55 or
the date of the SIAC Participant’s death. 
 6.4 Death After Commencement of Benefits. If a SIAC Participant dies after
the commencement of benefits, but prior to the payment of ten installments, the unpaid installments shall continue to be paid annually to his Beneficiary until, in total, ten annual installments have been paid. However, if the SIAC Participant made
an election pursuant to Section 8.3(a), a benefit shall be payable upon the SIAC Participant’s death after commencement of benefits only in accordance with the terms of the distribution option elected by the SIAC Participant pursuant to
such Section. 
 6.5 Change in Beneficiary Designation. A SIAC Participant may change a Beneficiary designation without the
consent of any person at any time prior to the SIAC Participant’s death, provided such revised Beneficiary designation is made on the appropriate form provided by the Administrator and is filed with the Administrator (in accordance with
procedures established by the Administrator) prior to such SIAC Participant’s death. 
 6.6 Absence of a Designated
Beneficiary. In the absence of an effective Beneficiary designation, the Non-Vested Death Benefit or Vested Death Benefit, as the case may be, in respect of the SIAC Participant shall be paid annually to his estate until, in total (including
all payments made prior to death), ten annual installments have been paid. 
 ARTICLE 7 
 VESTING OF BENEFITS 
 7.1
Conditions for Vesting. A SIAC Participant shall be 100% vested in a benefit payable pursuant to Article 3 or 4, provided that, as of his Termination of Employment, he has completed at least ten Years of Service or, alternatively,
attained at least age 55 and completed at least three Years of SERP Participation while an employee of an Employer or, prior to March 31, 2006, an Affiliated Organization. In addition, a SIAC Participant shall be 100% vested in a benefit
payable pursuant to Article 3 upon attainment of age 65 while in the service of the Employer, or attainment of age 65 while Totally Disabled (provided the SIAC Participant has been Totally Disabled continuously from his Termination of Employment).

 Notwithstanding the foregoing, a Historic SIAC Participant shall vest in his Historic Benefit in accordance with Section 3 of Part II
of the Appendix to Part B. 
 7.2 Payment of Vested Benefit. A SIAC Participant, who has satisfied the vesting requirements of
Section 7.1 shall be entitled to a benefit following his Termination of Employment, but not earlier than the attainment of age 55. Such benefit shall be paid as provided in Article 8. 

 7.3 Non-vested Termination of Employment. Except as otherwise provided in the Appendix to
Part B with respect to an Historic Benefit, if a SIAC Participant has a Termination of Employment for a reason other than Total Disability, retirement on or after Normal Retirement Date, before completing at least ten Years of Service or reaching
age 55, and completing at least three Years of SERP Participation, he shall not receive any benefits under Part B of the Plan. 
 7.4
Determination of Vested Benefit. Except as otherwise provided in the Appendix to Part B with respect to an Historic Benefit, for the purpose of determining the Plan benefit in which a SIAC Participant vests pursuant to this Article 7,
the SIAC Participant’s Plan benefit shall be determined on the basis of his Final Average Compensation and Years of Service at his date of Termination of Employment or, if earlier, March 31, 2006. Except as otherwise provided in the
Appendix to Part B with respect to a Historic Benefit, in the event that payment commences prior to the SIAC Participant’s attainment of age 60, the benefit otherwise payable at age 60 will be reduced in accordance with Section 4.2.

 7.5 Reemployment. If a former SIAC Participant again becomes reemployed by the Employer, his benefits shall continue to be
paid during such reemployment (or shall commence at such time that his retirement benefits shall otherwise commence without regard to the SIAC Participant’s reemployment). 
 ARTICLE 8 
 BENEFIT COMMENCEMENT AND FORM OF PAYMENT 
 8.1 Commencement Date. 
 (a)
Except as provided in this Section 8.1 and Section 8.3, benefits payable to a SIAC Participant shall commence to be paid on the first day of the month coinciding with or first following the applicable date specified below: 
 (i) with respect to a retirement benefit payable under Article 3, the SIAC Participant’s Normal or Deferred Retirement Date; or

 (ii) with respect to an early retirement benefit payable under Article 4, the date of the SIAC Participant’s
Termination of Employment prior to his Normal Retirement Date after the SIAC Participant has satisfied the conditions to be entitled to a benefit under Section 4.1 and reached at least age 55, or 
 (iii) with respect to a vested benefit payable under Section 7.1, the later of the applicable vesting date specified in
Section 7.1 or the date the SIAC Participant attains age 55. 
 In no event shall distribution of a Participant’s benefits commence
prior to his Termination of Employment. 

 (b) In the case of a SIAC Participant who is a Specified Employee and incurs a Termination of Employment
on or after November 1, 2006, unless the termination is due to death or Total Disability, distribution of his benefits shall commence on the later of (i) the first day of the calendar month which is at least six (6) calendar months
after such Termination of Employment or (ii) the otherwise applicable date determined pursuant to the foregoing provisions of Section 8.1(a), or pursuant to Section 8.3. If distribution of a Participant’s benefit is delayed for
six (6) calendar months in accordance with the foregoing, each payment which would have been made earlier under the provisions of the Plan shall be paid at the six month date and increased with interest (at the rate described in
Section 1.1 of the Plan) to the deferred distribution date. 
 (c) With respect to a SIAC Participant who has been an officer of the
Employer subject to a six-month delay in the commencement of his benefits under the Plan, but is not a Specified Employee at his Termination of Employment, the amendments made by Section 8.1(b) shall not cause an amount to be paid in 2008 that
would not otherwise be payable in 2008 prior to the amendments made by Section 8.1(b). 
 8.2 Form of Payment. Except as
provided in Section 8.3, benefits payable to a SIAC Participant pursuant to Article 3, Article 4 or Section 8.1 shall be paid in the Standard Form. 
 8.3 Election by Grandfathered SIAC Participants. Notwithstanding Section 8.1 or Section 8.2, each Grandfathered SIAC Participant shall be given an irrevocable election, in accordance with
procedures established by the Administrator, to: 
 (a) Have the form of payment and the time of payment of his benefit
determined in accordance with the last election made prior to May 19, 2005 by such Grandfathered SIAC Participant in accordance with the terms of the Prior SIAC SERP, or 
 (b) Have the form and time of payment of his benefit determined in accordance with the terms of Part B of the Plan as restated herein and
as it may subsequently be amended. 
 Provided, however, that if the Grandfathered SIAC Participant terminates employment prior to having an
election made pursuant to Section 8.3(a) in effect for at least twelve (12) months, such election shall be null and void, and such Grandfathered SIAC Participant’s benefit shall be paid pursuant to Section 8.3(b). 

 APPENDIX TO PART B 
 HISTORIC BENEFIT 
 I. DEFINITIONS 
 Solely for purposes of this Appendix to Part B to the Plan, the following definitions apply: 
 1. “Compensation” shall mean (a) base salary paid to a SIAC Participant or deferred by the SIAC Participant during such
period; plus (b) in the case of a SIAC Participant who at any time during his employment with the Employer was or is a Senior Vice President of the Employer, an amount equal to one-half of the amount of any annual Incentive Awards paid to or
deferred by the SIAC Participant for such period of time; and plus (c) in the case of a SIAC Participant who at any time during his employment with the Employer held the office of Executive Vice President or a higher office, an amount equal to
the amount of any annual Incentive Awards paid to or deferred by the SIAC Participant for such period of time. 
 2. “Final
Average Annual Compensation” shall mean the three-year average of the total Compensation of a SIAC Participant paid or deferred during (a) the thirty-six consecutive month period ending on the SIAC Participant’s Termination of
Employment, or (b) the three consecutive full calendar years in the Determination Period for which the total Compensation of such SIAC Participant is greatest, whichever of (a) or (b) is the period for which such total Compensation of
such SIAC Participant is greater, subject to the provisions of Article 5 of Part B. Notwithstanding the foregoing, in computing Final Average Annual Compensation pursuant to (a) above, only the three highest Incentive Awards paid consecutively
in such thirty-six month period shall be taken into account. 
 3. “Years of Service” shall mean, for purposes of
Sections 1 and 2 of Part II of this Appendix to Part B, the Historic SIAC Participant’s Years of Service computed under the Prior SIAC SERP as of May 18, 2005. 
 II. HISTORIC BENEFIT OF HISTORIC SIAC PARTICIPANTS 
 1. Normal Retirement Date or
Deferred Retirement Date. Subject to Section 3 of Part II of this Appendix to Part B, a Historic SIAC Participant’s Historic Benefit commencing on his Normal Retirement Date or Deferred Retirement Date shall be an annual
amount equal to the Historic SIAC Participant’s benefit computed under Sections 4.1(a) and (b) of the Prior SIAC SERP using Years of Service, Compensation and Final Average Compensation as defined in Appendix A to the Prior SIAC SERP
as of May 18, 2005 and assuming, for purposes of the computation, that such Historic SIAC Participant incurred a Termination of Employment on May 18, 2005. 
 2. Early Retirement Date. Subject to Section 3 of Part II of this Appendix to Part B, a Historic SIAC Participant’s Historic Benefit commencing on his Early Retirement Date shall be an annual
amount equal to an amount computed under Sections 5.2(a)-(d) of the Prior SIAC SERP using Years of Service, Compensation and Final Average Compensation as defined in Appendix A to the Prior SIAC SERP as of May 18, 2005 with the following
further modifications and assumptions: 
 (a) that the Historic SIAC Participant incurred a Termination of Employment on
May 18, 2005; 

 (b) applying the reduction factors described in Sections 5.2(b) and (c) as of such
Historic SIAC Participant’s actual benefit commencement date; and 
 (c) in determining the offset pursuant to
Section 5.2(d), using the Social Security law in effect on May 18, 2005. 
 3. Pre-Conditions for Historic Benefit.
Notwithstanding any other provision in the Plan to the contrary, a Historic SIAC Participant shall not be eligible for a Historic Benefit unless such Historic SIAC Participant satisfies the requirements for a vested benefit in accordance with
Section 8.1 of the Prior SIAC SERP as of his actual Termination of Employment. 

 PART C 
 PROVISIONS APPLICABLE TO AMEX PARTICIPANTS 
 The following provisions of Part C of the Plan
apply to Amex Participants, as defined in Part C of the Plan. Unless otherwise indicated, all Section references in Part C of the Plan are references to the relevant sections of Part C. Defined terms shall have the meaning ascribed in Part A of the
Plan to the extent such terms are not defined in this Part C of the Plan. 
 ARTICLE 1 
 DEFINITIONS 
 As used in the
Plan the following definitions shall apply: 
 1.1 “Accrued Benefit.” The Amex Participant’s earned
benefit under this Plan, as computed in accordance with the Plan. 
 1.2 “Actuarial Equivalent.” For purposes
of determining the amount of any lump sum payment under the Plan, actuarial equivalence shall be determined using the applicable mortality table specified in Code Section 417(e)(3) and the annual interest rate on 30-year Treasury securities
specified by the Commissioner for the third calendar month preceding the first day of the Plan Year during which payment of the Accrued Benefit will be made. 
 1.3 “Amex Participant.” An Employee covered under Part C of the Plan. 
 1.4
“Amex Prior Plans.” The Amex Prior Plans as defined in Section 3.3(a). 
 1.5 “Amex
SERP.” The American Stock Exchange LLC Supplemental Executive Retirement Plan. 
 1.6
“Cause.” For purposes of this Plan, the Company shall have “Cause” to terminate the Amex Participant’s employment upon (i) the willful and continued failure by the Amex Participant to substantially
perform the Amex Participant’s duties with the Company (other than any such failure resulting from the Amex Participant’s incapacity due to physical or mental illness), after a demand for substantial performance is delivered to the Amex
Participant by the Board which specifically identifies the manner in which the Board believes that the Amex Participant has not substantially performed the Amex Participant’s duties, or (ii) the willful engaging by the Amex Participant in
gross misconduct materially and demonstrably injurious to the Company. For purposes of this definition, no act, or failure to act, on the Amex Participant’s part shall be considered “willful” unless done, or omitted to be done, by the
Amex Participant not in good faith and without reasonable belief that the Amex Participant’s action or omission was in the best interest of the Company. Notwithstanding the foregoing, the Amex Participant’s employment shall not be deemed
to have been terminated for Cause unless and until there shall have been delivered to the Amex Participant a copy of a resolution duly adopted by the affirmative vote of not less than three-quarters of the entire membership of the Board at a meeting
of the Board called and held for such purpose (after reasonable notice to the Amex Participant and an opportunity for the Amex Participant, together with the Amex Participant’s 

 
counsel, to be heard before the Board), finding that in the good faith opinion of the Board the Amex Participant was guilty of conduct set forth above in
clauses (i) or (ii) of this definition and specifying the particulars thereof in detail. 
 1.7 “Change in Control of
the Company.” A “Change in Control of the Company” shall be deemed to have occurred consistent with the provisions of Section 409A of the Code and any Treasury Regulations or other guidance issued thereunder.

 1.8 “Company.” American Stock Exchange LLC, its affiliates and subsidiaries, prior to
October 1, 2008 and NYSE Group, Inc. on and after October 1, 2008. 
 1.9 “Credited
Service.” The service credited to an Amex Participant as “Service” under the Retirement Plan but beginning only as of January 1, 2005, except with respect to the Pre-Retirement Death Benefit, where
all Service of the Amex Participant will be taken into account, and except as with respect certain Amex Participants who are subject to Section 3.3(b) (relating to prior service with the NASD), who will be deemed to have earned Credited Service
from their respective dates of hire. Credited Service after December 31, 2008 shall not be counted for purposes of determining the amount of a Participant’s Accrued Benefits or Pre-Retirement Death Benefit under this Part C of the Plan.

 1.10 “Final Average Compensation.” The
Amex Participant’s (i) average base pay for the sixty consecutive months of employment prior to December 31, 2008 for which his base pay was the highest plus (ii) one third ( 1/3) of the Amex Participant’s average earned incentive compensation over the last five years prior to the Amex Participant’s retirement or other Termination of
Employment. (but not later than December 31, 2008). For purposes of this paragraph, the Amex Participant’s employment with a predecessor of the Company shall also be taken into account. 
 1.11 “Offset Amount.” 
 (a) For Senior Vice Presidents, the Offset Amount as of the date of payment shall equal the sum of (i) the Amex Participant’s benefit in the Retirement Plan in the form of a single life annuity as of the
date of payment hereunder (including any actuarial reductions applicable under the terms of the Retirement Plan) plus (ii) the Actuarial Equivalent amount (as of the date of payment hereunder) of the Amex Participant’s Social Security
Benefit at age 62 (or later, if the Amex Participant has already attained age 62). 
 (b) For Amex Participants with a more
senior rank than Senior Vice President, the Offset Amount shall be equal to the Amex Participant’s benefit under the Retirement Plan in the form of a single life annuity as of the date of payment hereunder (including any actuarial reductions
applicable under the terms of the Pension Plan). 
 (c) For any Amex Participant who is a Senior Vice President and who was a
participant in an Amex Prior Plan, the Offset Amount described in subparagraph (a)(ii) above shall be further adjusted by multiplying it by a fraction, the numerator of which is the Amex Participant’s Credited Service taking into account only
periods on 

 
and after January 1, 2005 and the denominator of which is the Amex Participant’s total Service, including any service earned prior to
January 1, 2005 with any predecessor of the Company. 
 The benefit in subparagraph (a)(i) and (b) is calculated assuming the
Participant’s benefit under Part C of the Retirement Plan commences on the date of the Participant’s Termination of Employment and is not dependent on when the Participant elects to receive benefits under the Retirement Plan. 

1.12 “Retirement Plan.” Part C of the Retirement Plan on and after January 1, 2009 and the American
Stock Exchange LLC Employees Retirement Plan prior to January 1, 2009. 
 1.13 “Service.” Service shall
have the meaning ascribed thereto in Part C of the Retirement Plan and shall include Service prior to January 1, 2005. Notwithstanding anything in the previous sentence to the contrary, Service for all purposes of this Plan shall only take into
account such periods of time when the Amex Participant shall actually have been a Participant in this Plan, the Amex SERP or in a predecessor thereto. 
 1.14 “Social Security Benefit.” The monthly amount (as determined by the Committee) that an Amex Participant would be entitled as of the earlier of the date of the Amex
Participant’s Termination of Employment or December 31, 2008 (based on an assumption that the Amex Participant has no further earnings considered after the earlier of the Amex Participant’s Termination of Employment or
December 31, 2008 and without regard to changes in the Social Security laws or cost of living increases in Social Security benefits after the earlier of the date of the Amex Participant’s Termination of Employment or December 31, 2008
) under Section 402 of Title II of the Social Security Act as a monthly “old-age insurance benefit,” then in effect, on his own (and not as a Spouse or otherwise) and without any reduction or deduction (for earnings or otherwise),
determined as if such benefit commenced in the first month, coinciding with or next following the commencement of the Participant’s Accrued Benefit, in which such benefit under the Social Security Act could be payable to the Participant.

 ARTICLE 2 
 ELIGIBILITY 
 Participants in the Amex SERP on December 31, 2008 who have benefits under the Amex SERP which
have not been fully paid shall be Amex Participants in the Plan as of the January 1, 2009. No employee became a Participant in the Amex SERP on or after October 1, 2008. 
 ARTICLE 3 
 AMOUNT OF ACCRUED BENEFIT 
 3.1 Calculation of Accrued Benefit. 
 (a) The annual Accrued Benefit payable under the Plan for an Amex Participant who is a Senior Vice President shall be an amount equal to the product of (i) four 

 
percent (4%) of Final Average Compensation multiplied by (ii) years of Credited Service, up to a maximum of fifteen (15) years of Credited
Service, for a maximum Accrued Benefit of sixty percent (60%) of such Amex Participant’s Final Average Compensation; which amount shall be reduced by one-quarter of one percent (.25%) for each month by which the Amex Participant’s
payment date hereunder precedes such Amex Participant’s attainment of age 62. The Offset Amount shall be subtracted from this amount to arrive at the final Accrued Benefit. If the resulting amount is a negative number, the final Accrued Benefit
under this Plan shall be deemed to be zero. 
 (b) The annual Accrued Benefit payable under the Plan for an Amex Participant with a title
more senior than Senior Vice President shall be an amount equal to the product of (i) six percent (6%) of Final Average Compensation multiplied by (ii) years of Credited Service, up to a maximum of ten (10) years of Credited
Service, for a maximum Accrued Benefit of sixty percent (60%) of such Amex Participant’s Final Average Compensation; which amount shall be reduced by one-quarter of one percent (.25%) for each month by which the Amex Participant’s
payment date hereunder precedes such Amex Participant’s attainment of age 62. The Offset Amount shall be subtracted from this amount to arrive at the final Accrued Benefit. If the resulting amount is a negative number, the final Accrued Benefit
under this Plan shall be deemed to be zero. 
 (c) The maximum gross (before subtracting the Offset Amount) Accrued Benefit under this Plan
of 60% of an Amex Participant’s Final Average Compensation shall be reduced for all Amex Participants by the Actuarial Equivalent of the amount payable under the Amex Prior Plans, stated as an annual benefit for the Participant’s life. The
benefit in subparagraph (c) is calculated assuming the Participant’s benefits under the Amex Prior Plans commence on the Participant’s Termination of Employment and is not dependent on when the Participant elects to receive benefits
under the Retirement Plan. 
 3.2 No Interest Created. Neither the Amex Participant nor his surviving spouse or beneficiary
shall have any interest in any specific asset of the Company, including policies of insurance. The Amex Participant and his surviving spouse or beneficiary shall have only the right to receive the benefits provided under the Plan. 
 3.3 Prior Plans. 
 (a) Amex
Participants who were first employed by the American Stock Exchange, Inc. (a predecessor of the Company) participated in either or both of the (i) American Stock Exchange Inc. Supplementary Retirement and Savings Plan and the (ii) American
Stock Exchange Inc. Supplementary Retirement and Savings Plan – A (collectively the “Amex Prior Plans”), both of which are nonqualified executive plans, and both of which were frozen as of December 31, 2004. The Employer has kept
a list of the Participants in such plans and the benefit that each such Participant had earned in the Amex Prior Plans as of December 31, 2004. No further benefits accrue to any participant in such plans as of January 1, 2005. Any amounts
accrued under such plans as of December 31, 2004 shall be paid by the Company as of whatever date such payments would have been made under those plans and in whatever form payments would have been made under those plans. To the extent that such
plans included an earnings component, whereby earnings on a notional nonqualified amount are added periodically to the 

 
nonqualified amount, such earnings shall continue to be added on and after January 1, 2005 and shall be subject to the terms of such Amex Prior Plans
and effective October 1, 2008, any administrative procedures with respect to crediting of such earnings adopted by the NYSE. 
 (b) Amex
Participants who were first employed by the National Association of Securities Dealers, Inc. (“NASD”) (a predecessor of the Company) shall be deemed to have participated in this Plan effective as of their respective dates of hire,
notwithstanding the effective date of the Plan being January 1, 2005. 
 3.4 Form of Payment. The Accrued Benefit shall be
paid to the Amex Participant in a single sum payment which shall be the Actuarial Equivalent of the Accrued Benefit. 
 3.5
Commencement of Benefits. The benefit payable to an Amex Participant under the Plan shall be paid on the first day of the month coincident with or next following his Termination of Employment, except that in the case of an Amex
Participant who is a Specified Employee, payment shall not in any event be made until the first business day of the month which is at least six months after the date of his Termination of Employment (or, if earlier, (a) the date of death or
(b) the later of Termination of Employment or Disability of the Amex Participant). If distribution of a Participant’s benefit is delayed for six (6) calendar months in accordance with the foregoing, the single sum payment which would
have been made earlier under the provisions of the Plan shall be paid at the six month date and increased with interest (at the rate described in Section 1.2 of the Plan) to the deferred distribution date. 
 3.6 Vesting. The Company shall have no obligation to pay the Accrued Benefit to the Amex Participant if the Amex Participant terminates
employment with the Company for any reason (i) prior to age 55, or (ii) with less than ten (10) years of Service. Additionally, no payment shall be made to an Amex Participant whose employment is terminated for Cause. 
 ARTICLE 4 
 PRE-RETIREMENT DEATH
BENEFIT 
 If the Amex Participant dies while employed by the NYSE after attaining age 55 and completing ten (10) years of
Credited Service (including service after December 31, 2008 for purposes of qualifying for a death benefit, but not for purposes of determining the amount of the death benefit), the Company will pay a death benefit to the Amex
Participant’s surviving spouse or other beneficiary calculated as described herein. Such death benefit shall be in lieu of the Accrued Benefit otherwise payable under Article 3. The survivor of an Amex Participant who dies while in a higher
position than a Senior Vice President shall receive an amount equal to three times the Amex Participant’s base salary at the earlier of time of his death or December 31, 2008, and the survivor of a Senior Vice President shall receive an
amount equal to one-half of the Amex Participant’s base salary at the earlier of the time of his death or December 31, 2008. All death benefits payable as computed hereunder shall be payable in 120 monthly installments over a period of ten
years, commencing on the first day of the month coincident with or next following the Amex Participant’s death. No benefit shall be payable under this Plan to the survivor of an Amex Participant who commits suicide. 

 ARTICLE 5 
 COVENANTS OF AMEX PARTICIPANT 
 By accepting payments hereunder the Amex Participant covenants
that for a period of three (3) years after the Amex Participant leaves the employment of the Company, he will not engage in any activities which, in the opinion of the Company, are in competition with the Company or any of its subsidiaries
without first obtaining the written consent of the Company; provided, however, that this provision shall not apply if, within five (5) years after a Change in Control of the Company, the Amex Participant’s employment with the Company is
terminated by the Company without Cause. 
 ARTICLE 6 
 LOSS OF BENEFITS 
 If the Amex Participant fails to observe or perform any of the covenants by
the Amex Participant contained herein in any material respect, the Amex Participant shall forfeit all rights which he may have to any benefits for which provision is made herein. Additionally, if the Amex Participant shall already have received all
or part of his benefit from this Plan, he shall be required to repay any amounts received. The Company shall further be entitled to injunctive relief and any applicable equitable remedies in order to prevent a failure by the Amex Participant to
comply with the covenants contained herein. 

 IN WITNESS WHEREOF, NYSE Group, Inc. has executed
this amended and restated Plan, effective as of December 31, 2008, except as otherwise provided in the Plan, this 22nd day of December, 2008.

  

			
	NYSE GROUP, INC.
		
	By	 	  

		 	Leroy M. Whitaker, Senior Vice-President

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