Document:

Strategic Supplier Alliance Agreement

 Exhibit 10.1 
 Confidential treatment has been requested for portions of this exhibit. The copy filed herewith omits the information subject to the confidentiality request. Omissions are designated as [***]. A complete version of this exhibit has been
filed separately with the Securities and Exchange Commission. 
 Strategic Supplier Alliance Agreement 
 This Strategic Supply Agreement (“Agreement”), effective as of the date of last signature affixed below (the “Effective Date”), is
entered into by and between the General Electric Company, a corporation organized under the laws of the State of New York, acting through its GE Healthcare Bio-Sciences business (“GE Healthcare”) and Biochrom Limited, a company
incorporated in England and having its registered office at 22 Cambridge Science Park, Milton Road, Cambridge CB4 0FJ, England (“Biochrom”). 
  

	 	1.	Introduction 

  

	 	a.	General Conditions of Supply. Pursuant to the terms and conditions of this Agreement and its Attachments, Biochrom shall sell to GE Healthcare, and GE Healthcare shall
purchase from Biochrom, those spectrophotometers identified in Attachment C as instruments, branded as Amersham and GE Healthcare offerings (the “Products”), meeting the specifications set forth in Attachment C (the
“Specifications”), in such amounts as GE Healthcare may order from time to time during the term of this Agreement. Unless otherwise expressly stated, references to this Agreement include all Attachments hereto. 

  

	 	b.	Exclusivity. 

  

	 	1.	GE Healthcare shall have exclusive, global rights excluding Canada (the “Territory”) to sell, resell, market, distribute and support the Products under the names Novaspec,
Ultrospec and Genequant (the “Names”), as defined in Section 19(b) below. Biochrom will provide GE Healthcare with all the rights, information and know-how required to enable GE Healthcare to sell, resell, market, distribute and
support the Products. GE Healthcare may, at its sole discretion and under terms and conditions it independently negotiates, utilize third parties for the distribution of Products supplied by Biochrom under this Agreement. Biochrom shall not be
limited in its ability to manufacture, supply, market, distribute, sell, resell or support any proprietary or third party product(s) in the Territory which compete(s) directly or indirectly, either on its own or through any party other than GE
Healthcare, with the Products during the Term of this Agreement so long as the products do not use the Names or have the same appearance as Products offered to GE Healthcare. 

  

	 	2.	Provided GE Healthcare has purchased [***] NanoVue instruments in 2008, a cumulative total of [***] instruments by the end of 2009 and a cumulative total of [***] instruments by the
end of 2010 GE Healthcare shall have exclusive rights to sell, resell, market, distribute and support the NanoVue Product worldwide (the “NanoVue Territory”). Failure of GE Healthcare to satisfy the above-mentioned minimum purchase
requirements shall automatically revert GE Healthcare’s exclusive rights to non-exclusive rights to the patented technology incorporated into the NanoVue. Biochrom will provide GE Healthcare with all the rights, information and know-how
required to enable GE Healthcare to sell, resell, market, distribute and support the NanoVue Product. GE Healthcare may, at its sole discretion and under terms and conditions it independently negotiates, utilize third parties for the distribution of
Products supplied by Biochrom under this Agreement. 

  

					
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	 	3.	Provided Biochrom is able to meet GE Healthcare’s needs for Products as set forth in Section 3(a) below, and provided further that GE Healthcare, in its sole discretion,
chooses to operate in the spectrophotometer market, GE Healthcare will use commercially reasonable efforts to sell Products, and will not sell other products that are competitive to the Products during the term of this Agreement;

  

	 	4.	Except as set forth in Section 1(b)(3), GE Healthcare agrees to purchase Products exclusively from Biochrom for the Term. Notwithstanding the above, the parties hereby agree
that GE Healthcare, before entering into any agreement with a third party, shall first extend to Biochrom the opportunity for Biochrom to supply to GE Healthcare new spectrophotometers with different specifications from the current Products sold by
Biochrom to GE Healthcare in accordance with GE Healthcare’s quality requirements, volume requirements, price requirements and delivery timelines (“GE Healthcare’s Commercial Requirements”). In the event Biochrom is unable or
unwilling to meet GE Healthcare’s Commercial Requirements, GE Healthcare shall be free to purchase such spectrophotometers from suppliers other than Biochrom beginning twelve (12) months after GE Healthcare first extends the opportunity to
Biochrom. 

  

	 	c.	Biochrom shall sell to GE Healthcare all components, spare parts, services, service tools, and software licenses with respect to the Products on a non-exclusive basis.

  

	 	d.	Documents. The following attachments are an integral part of this Agreement (the “Attachments”). The provisions of each Attachment shall be incorporated by
reference into and deemed to be part of this Agreement. If any conflict exists between the provisions of this Agreement and of the Attachments, or between the provisions of the Attachments themselves, the order of precedence shall be as follows:

 (1) This Agreement 
 (2) Attachment K (OEM Addendum) 
 (3) Attachment A (Annual Business Attachment) 
 (4) Attachment B (Purchased Material Quality Requirements) 
 (5) Attachment C (Products, Pricing, and Specifications) 
 (6) Attachment D (Supplier Integrity Statement)

 (7) Attachment F (Quality Plan) 
  

	 	e.	Additional Addenda. GE Healthcare and Biochrom may enter into one of the following separate Addenda modifying the type of relationship between the parties reflected in the
body of this Agreement and its various Attachments. To the extent any such Addendum is separately executed by the parties and makes reference to this Agreement, it shall be deemed to be incorporated by such reference into this Agreement, shall form
a part hereof, and shall modify this Agreement as specified in such Addendum. In such event, references herein to this Agreement shall be deemed to include any such Addendum. In the event of conflict between any terms of such Addendum and any other
terms of this Agreement and any Attachment, such Addendum shall take precedence. 

  

					
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 Check Box (If Applicable) 
  

	 	¢	OEM Purchase Addendum 

  

	 	 ̈	Contract Manufacturing Addendum 

  

	 	2.	Term/Termination 

  

	 	a.	Term. The term of this Agreement will commence as of the Effective Date and shall continue until December 31, 2012 (the “Initial Term”). GE Healthcare may
extend the Initial Term for additional one (1) year periods (the “Extension Term”). In such event, the Initial Term and the Extension Term, if any, shall be referred herein as the “Term”. 

  

	 	b.	Termination for Convenience. Neither party shall have the right to terminate this Agreement for convenience during the first twelve (12) months. Thereafter, each party
shall provide the other party no less than twelve (12) months’ written notice of its intention to terminate the Agreement 

  

	 	c.	Termination for Cause by GE Healthcare. If Biochrom breaches any material term of this Agreement and Biochrom fails to correct such breach within sixty (60) days after
receiving written notice of such breach from GE Healthcare, GE Healthcare may terminate this Agreement at any time thereafter upon written notice to Biochrom; provided, however, if such breach is not reasonably susceptible to cure within such
period, then GE Healthcare shall have the right to terminate this Agreement immediately upon written notice. GE Healthcare may also terminate all unfilled Purchase Orders without any liability except for the price of any Products previously
delivered and accepted by GE Healthcare (subject to any set-off available to GE Healthcare). GE Healthcare may also terminate this Agreement upon sixty (60) days written notice to Biochrom if any proceeding under the bankruptcy or insolvency
laws is brought against Biochrom, a receiver is appointed for Biochrom or Biochrom makes an assignment for the benefit of creditors. Any such termination shall not relieve Biochrom of its obligations and GE Healthcare shall retain all legal and
equitable remedies after such termination. 

  

	 	d.	Breach; Default. If Biochrom fails to perform or deliver Products required under this Agreement, or if Biochrom repudiates or breaches any of the material terms hereof,
including, but not limited to, Biochrom’s warranties, such events shall constitute a breach under Section 2(c). This Section 2(d) shall not be deemed to limit in any manner GE Healthcare’s rights to claim material breach by
Biochrom under Section 2(c) above. 

  

	 	e.	 Termination for Cause by Biochrom. If GE Healthcare breaches any material term of this Agreement and GE Healthcare fails to correct such breach within sixty
(60) days after receiving written notice of such breach from Biochrom, Biochrom’s exclusive remedy shall be to terminate this Agreement in full at any time thereafter upon written notice to GE Healthcare. Biochrom’s obligations with
respect to Product delivered or Purchase Orders that have been accepted shall not be affected by such termination; provided however that if Biochrom’s termination is due to nonpayment by GE Healthcare then Biochrom shall not be obligated to
fulfill any other submitted Purchase Orders, unless agreed upon in writing by the parties. Biochrom may also terminate this Agreement upon sixty (60) days written notice to GE Healthcare if any proceeding under the bankruptcy or insolvency laws
is brought against GE Healthcare or a receiver is appointed for GE Healthcare or GE Healthcare makes an assignment for the benefit of creditors. Any such termination shall not relieve GE Healthcare of its obligations and Biochrom shall retain all
legal and equitable remedies after such termination. The 

  

					
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following events shall constitute a breach under this Section 2(e): (i) if GE Healthcare does not make payments to Biochrom as specified in the
Agreement; or (ii) if GE Healthcare repudiates or breaches any of the material terms hereof, including, but not limited to, GE Healthcare warranties. Biochrom has no obligation to provide Product on an ongoing basis if GE Healthcare fails to
correct any underpayment of invoices within sixty (60) days. 

  

	 	f.	Termination of Purchase Order. GE Healthcare may terminate any Purchase Order (as defined herein) in whole or in part up until thirty (30) days before requested shipment
upon written notice to Biochrom. 

  

	 	3.	Forecast/Commitment/Quantities 

  

	 	a.	Forecasting/Sales Summary. Within fifteen (15) business days of the Effective Date and thereafter within fifteen (15) business days from the beginning of each
calendar quarter, GE Healthcare shall submit to Biochrom a non-binding, rolling forecast for the Products for the current and the subsequent quarter, as well as a quarterly sales summary. All forecasts provided by GE Healthcare or mutually developed
by the parties for GE Healthcare’s requirements for Products shall not be binding in any way on GE Healthcare. GE Healthcare may modify any such forecast at any time in its sole discretion. Biochrom represents and warrants that it has the
capacity and expertise necessary to manufacture and deliver to GE Healthcare the initially forecasted volume of Products, and any increased volume of up to ten percent (10%) greater than the initially forecasted amount. Biochrom will have the
right to review each forecast and if it cannot meet the forecast Biochrom will notify GEHC within a reasonable commercial time and the parties will agree on a revised forecast. 

  

	 	b.	No Obligation. With the sole exception of the Safety Stock described in Section 5(e) below, it is the express understanding of the parties that GE Healthcare shall have
no obligation to purchase any minimum amount of Product from Biochrom. 

  

	 	c.	GE Healthcare Product Commitment. GE Healthcare’s commitment to purchase Products from Biochrom shall be limited to Purchase Orders released by GE Healthcare and
accepted by Biochrom pursuant to Section 5 of this Agreement. 

  

	 	d.	Material Commitments: Unless agreed otherwise in writing by the parties, GE Healthcare shall not be responsible or in any way liable to Biochrom or any third party with
respect to any material commitments or production arrangements in excess of the amounts or in advance of the times necessary to meet GE Healthcare’s delivery schedule as set forth in its applicable Purchase Order. 

  

	 	4.	Pricing 

  

	 	 a.
	 Pricing. The prices specified in Attachment C (the “Prices”) include all packaging, labeling
(including but not limited to date of manufacture and bar code labeling), insurance, storage, handling, interest charges, service charges, and any other expenses associated with the development, storage, and packaging of any Product and will not be
increased until January 1st, 2009. Beginning May 1 of each year, the parties agree to negotiate in good faith adjustments to Prices, if
warranted. Any such adjustments shall be: (i) finalized by August 30 of the same year; (ii) documented utilizing the Annual Business Agreement, the form of which is set forth in Attachment A, attached hereto; and
(iii) effective January 1 of the following year. If the parties are unable to reach an agreement on any given pricing adjustment (“Pricing Dispute”), either party may submit the Pricing Dispute for resolution by mediation
pursuant to the Center for Public Resources Model Procedure for Mediation of Business Disputes as then in effect. The 

  

					
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mediation shall be conducted in New York City. Mediation will continue for at least thirty (30) days unless the mediator chooses to withdraw sooner. At
the request of either party, the mediator will be asked to provide an evaluation of the Pricing Dispute and the parties’ relative positions. Each party shall bear its own costs of mediation effort. If the Pricing Dispute cannot be resolved
through mediation, either party may commence an action to resolve the Pricing Dispute in accordance with Section 23(b). 

  

	 	b.	Price/Cost Reductions. Biochrom warrants and represents to GE Healthcare that: 

  

	 	(i)	the Prices specified in Attachment C, as amended from time to time, are and will be as low as the prices at which Biochrom is currently selling or will sell (or currently intending
to sell) the Products or similar products in the same or similar quantities. If during the Term, Biochrom reduces the price of such Products, in part or in whole, Biochrom shall: (i) promptly notify GE Healthcare in writing of such reduction;
and (ii) apply an equivalent reduction in Price to all such Products ordered by GE Healthcare which have not been previously shipped and invoiced at the time of such reduction. The Prices shall thereafter be adjusted to reflect such reduction
for the balance of the Term or until the Prices are further adjusted pursuant to this Agreement. 

  

	 	(ii)	if GE Healthcare receives a bona fide offer from a third party for similar quantities of the same or similar products or services as those being purchased from Biochrom hereunder at
a lower price, Biochrom shall [***]. If Biochrom [***] within [***] of notice from GE Healthcare, GE Healthcare may: (i) terminate this Agreement by giving an additional [***] notice to Biochrom; and/or (ii) [***] upon [***] prior notice.

  

	 	(iii)	it may, in partnership with GE Healthcare, undertake a program to achieve reductions in cost of Products by utilizing cost-effective design, lower cost components, new technology,
productivity improvements, and automation of the manufacturing process. To assist each other in this joint program, the parties agree to meet regularly as set forth in Section 9 below to discuss in good faith the opportunities, methodologies
and feasibility of reducing costs with a goal of achieving annual price reductions. 

  

	 	c.	Taxes. Unless prohibited by law, Biochrom will separately indicate on its Invoice any tax that is required to be imposed on its sale of Products to GE Healthcare.

  

	 	5.	Purchase Orders 

  

	 	a.	Purchase Order Contents. A purchase order released by GE Healthcare for Products (“Purchase Orders”) may consist of a hard copy in the form to be agreed upon by the
parties, an electronic message, or other written communication from GE Healthcare to Biochrom, which complies with the requirements of this Agreement. Purchase Orders released by GE Healthcare shall contain a Purchase Order number, identify the
delivery date or dates, and identify the quantities to be released for delivery. 

  

	 	b.	Purchase Order Lead Time. GE Healthcare shall submit Purchase Orders to Biochrom with a lead time of at least thirty (30) calendar days. Purchase Orders for delivery
within thirty (30) days, must not exceed a forty-five (45) day forecast unless previously agreed to in writing by Biochrom. 

  

	 	c.	 Changes to Purchase Order. All quantities ordered by GE Healthcare may be revised as requirements change. GE Healthcare may at any time make changes in
delivery dates, 

  

					
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shipping instructions, quantities ordered, or other terms of the Purchase Order. GE Healthcare will confirm such changes in writing, and Biochrom will advise
GE Healthcare in writing if the changes will result in changes to delivery schedules or other changes. 

  

	 	d.	Acceptance of Purchase Order. Biochrom shall be deemed to have accepted a Purchase Order upon receipt from GE Healthcare so long as such Purchase Order complies with the
terms of this Agreement. Biochrom shall send a written acknowledgement of such Purchase Order within three (3) business days of receipt of Purchase Order. Biochrom may not reject any Purchase Order submitted by GE Healthcare consistent with the
terms of this Agreement. 

  

	 	e.	Safety Stock. Biochrom shall maintain a stock of each Product sufficient to meet the next one (1) month’s of forecasted orders. Upon the expiry or earlier
termination of the Agreement by GE Healthcare, GE Healthcare shall purchase the safety stock at the prices set forth herein; provided however that GE Healthcare shall not be required to purchase more than the equivalent of one (1) month’s
of GE Healthcare’s forecast. 

  

	 	6.	Quality and Packaging 

  

	 	a.	Quality Plans. The parties are committed to quality in the performance of this Agreement. Accordingly, all Products shall conform to the Purchased Material Quality
Requirements set forth in Attachment B, attached hereto and incorporated by reference herein. 

  

	 	b.	Packaging and Labeling. Biochrom shall be responsible, at its own expense, for the safe and suitable packaging and labeling of the Products, for complying with the
requirements included in Attachment B, any Packaging Specifications included herein as Attachment I, and all applicable laws and regulations relating to the packaging, labeling, and carriage of the Products in the countries of
manufacture, shipment and destination to GE Healthcare. 

  

	 	7.	Commercial Terms 

  

	 	a.	Transportation. Unless otherwise specified by GE Healthcare, Biochrom agrees to ship Products to GE Healthcare’s primary distribution center in Sweden, currently located
at Björkgatan 30, S-751 84, Uppsala, Sweden using GE Healthcare’s designated carrier with transportation charges billed directly to GE Healthcare by the carrier. GE Healthcare will not pay premium transportation charges unless authorized
by it in writing. If Biochrom ships Products by an unauthorized method or carrier, Biochrom will pay any freight costs. Biochrom will release rail or truck shipments at the lowest valuation permitted by law. 

  

	 	b.	Title and Risk of Loss. Title and risk of loss will pass to GE Healthcare when the Products are delivered to GE Healthcare’s designated carrier or when delivered to the
agreed carrier if GE Healthcare agrees not to use GE Healthcare’s designated carrier. 

  

	 	c.	 Shipments. Biochrom agrees to make shipments in the quantities and on the dates to meet the requirements of the applicable Purchase Order. Unless otherwise
expressly stated, time is of the essence. In the event that any shipment is not made in time for delivery on the date and in the quantity set forth on the applicable Purchase Order, GE Healthcare may: (i) return to Biochrom some or all of the
Products in the shipment at Biochrom’s risk and expense, including without limitation warehouse or handling costs or (ii) direct Biochrom to make an expedited shipment of additional or replacement 

  

					
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Products, with the difference between any expedited routing and the Purchase Order routing to be paid by Biochrom. Biochrom agrees to notify GE Healthcare
immediately if Biochrom has any reason to believe that any Products will not be delivered as ordered, or a shipment will not be made as scheduled. 

  

	 	d.	Packing Lists. Each shipment made by Biochrom shall include a packing list containing the Purchase Order number, GE Healthcare product identification and part number,
quantity shipped, date of shipment, Country of Origin, Product weight, and such other information as GE Healthcare may reasonably request or is required by applicable law. 

  

	 	e.	Inspection Period. All Products delivered to GE Healthcare by Biochrom must meet the terms and conditions of this Agreement and the related Purchase Order. All Products shall
be received subject to GE Healthcare’s acceptance or rejection on or before the end of the Inspection Period. GE Healthcare may reject any entire order based upon a reasonable sampling of Products. “Inspection Period” means a
reasonable time after delivery of any Products, which in no event will be longer than ten (10) business days from date of shipment by Biochrom to allow for the performance of any inspection, installation activities, testing, or trials. Partial
or total payment by GE Healthcare for Products under this Agreement prior to the end of the Inspection Period shall not constitute its acceptance thereof, nor shall such payment remove Biochrom’s responsibility for any non-conforming items.
Biochrom agrees to provide and maintain inspection and process control systems with respect to the manufacture of Products, as provided for under ISO 9001 requirements and Biochrom agrees to keep and make available complete records of all
Biochrom’s inspection work and process control work for the life of the Products plus seven (7) years. 

  

	 	f.	Health and Safety. Biochrom shall ensure that all information held by or reasonably available to it regarding any potential hazards known or believed to exist in the
transport, handling, or use of any Products and/or performance of any services shall be received by GE Healthcare in writing prior to delivery of the Products and/or performance of the services. 

  

	 	8.	Key Performance Metrics 

  

	 	a.	Specifications. GE Healthcare shall measure Biochrom’s ability to provide Products in accordance with the Specifications targeting a goal of less than two percent
(2.0%) of the Products shipped not meeting Specifications. 

 The metric shall be calculated as follows: 
 GE Healthcare will calculate a monthly, three-month rolling Defective Parts Per Million (“DPPM”) based on Product receipts coded as
“Supplier at Fault” by the GE Healthcare Manufacturing team. 
 The Numerator shall be the number of products for each Product
received by GE Healthcare that has been coded as “Supplier at Fault” by the GE Healthcare Manufacturing team during the three-month period. 
 The Denominator shall be the total number of completed (received) products for that specific Product. 
 The
parties agree to meet no less frequently than once every quarter at a time and in a manner mutually agreeable to both, to review all performance metrics, including Biochrom’s compliance with Specifications. At the end of each year, the parties
will review all data for the previous four (4) quarters to determine if modifications are needed in any of the following: (i) manufacturing processes; (ii) quality plan; and (iii) the targeted Specification percentage. Any such
modifications shall be made with the mutual consent of the parties. 
  

					
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	 	b.	Delivery. GE Healthcare shall measure Biochrom’s On-Time Delivery targeting a goal of ninety-nine and one-half percent (99.5%) for any individual calendar quarter.

 The metric shall be calculated as follows: 
 GE Healthcare will calculate a monthly, six-month rolling, On-Time Delivery “corrected” percentage. 
 “Corrected” shall mean that GE Healthcare will not penalize Biochrom and Biochrom shall not be responsible, if GE Healthcare short cycles Biochrom’s Product lead-times (as defined in Oracle). 
 The Numerator shall be the number of completed deliveries received from Biochrom on or before the requested due date. Incomplete (partial) shipments are
not included in the calculation until they are received in full by GE Healthcare. 
 The Denominator shall be the total number of completed
(received) shipments from Biochrom. 
 The parties agree to meet no less frequently than once every quarter at a time and in a manner
mutually agreeable to both, to review all performance metrics, including Biochrom’s On-Time Delivery. At the end of each year, the parties will review all data for the previous four (4) quarters to determine if modifications are needed in
any one or a combination of the following: (i) lead time requirement; (ii) measurement criteria; and (iii) the targeted On-Time percentage. Any such modifications shall be made with the mutual consent of the parties. 
 Budget. Biochrom shall deliver Products in accordance with those Prices set forth in Attachment C as amended from time to time by mutual written
agreement of the parties. The parties agree to utilize their respective commercially reasonable efforts to work together in good faith through open dialogue to seek opportunities to increase efficiencies and decrease costs to both GE Healthcare and
Biochrom. 
  

	 	9.	Partnership Review Meetings 

 GE Healthcare and
Biochrom agree to meet no less frequently than once every quarter at a time and a place mutually agreeable to both, to review and evaluate: 
  

	 	•	 	 Performance, including metrics 

  

	 	•	 	 Sales results and forecasts, including competitive activity and marketing efforts 

  

	 	•	 	 Technical performance of the Products in the Field 

  

	 	•	 	 New Biochrom product offerings 

  

	 	•	 	 Line extensions of the technology into new fields and applications 

  

	 	•	 	 Safety stock levels 

  

	 	•	 	 Any other subjects beneficial for both Parties’ short- and long-term business collaborations. 

  

	 	10.	Invoices 

 Biochrom’s Invoices shall contain
the Purchase Order number, item number of such release, GE Healthcare part number(s) and revision number, invoice quantity, unit of measure, unit price, total invoice amount, legal name of Biochrom, phone number of Biochrom, address to which
remittance should be sent, and other such information as may be required by law or reasonably requested from time to time by GE Healthcare. 
  

					
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	 	11.	Payment Terms 

  

	 	a.	Payment Terms. GE Healthcare shall settle any invoices, prepared in accordance with this Agreement, arising under this Agreement by wire transfer within forty-five
(45) days from invoice date; provided however that in no event shall such invoice date be earlier than that actual date on which Biochrom ships Products to GE Healthcare. All sums to be paid by GE Healthcare under this Agreement shall be in
British Pounds Sterling (“GBP”), unless otherwise agreed to by the parties. GE Healthcare at its sole discretion may settle any invoices, prepared in accordance with this Agreement, arising under this Agreement by wire transfer within
fifteen (15) days from the invoice date and shall be entitled to a discount of one and two-tenths percent (1.2%) of the total invoice value. 

  

	 	b.	Late Payments. In the event GE Healthcare fails to pay invoices in accordance with Section 11(a), Biochrom shall provide notice of late payment. GE Healthcare shall have
thirty (30) days from receipt of notice to pay such outstanding invoice without penalty. For each invoice, which remains unpaid, GE Healthcare will pay interest on the outstanding amount at the rate of one percent (1%) per month beginning
with the original invoice date. However, if GE Healthcare pays less than ninety-eight percent (98%) of its invoices on-time, Biochrom shall not be obligated to provide any written notice of such outstanding invoices until such time as GE
Healthcare returns to paying ninety-eight percent (98%) or more of its invoices on-time. 

  

	 	12.	Documentation 

  

	 	a.	Customer Copies. Unless agreed otherwise in writing by GE Healthcare, each Product delivered by Biochrom shall include a manual or other form of documentation and when
relevant a software license, which contains sufficient information for proper installation and use of the Product. Additional documentation containing any applicable drawings, schematics, software license(s), software documentation, design history
files, spare part lists, theory of operation, service troubleshooting diagnostics, testing protocols, or instructions necessary for the installation, operation, and maintenance of the Products (the “Documentation”) shall be made available
to GE Healthcare for use in servicing the Products. The Documentation shall be in English and in a commercially reasonable format acceptable to GE Healthcare, and delivered to GE Healthcare. Biochrom hereby grants to GE Healthcare the right to use,
modify, and distribute sublicenses, and create derivative works of any Documentation provided to GE Healthcare for use with the marketing and sale of the Products. GE Healthcare may not make material changes to the Documentation or modify any
Product specifications without Biochrom’s prior written approval. 

  

	 	b.	Master Copy. Biochrom shall provide to GE Healthcare at no additional charge a complete set of reproducible master copies of all Documentation listed in subsection
(a) above, which GE Healthcare may reproduce without charge. If any change in the Product requires a change in the Documentation, Biochrom shall promptly notify GE Healthcare of the change and provide a revised reproducible master copy without
charge. 

  

	 	13.	Optional Services with Product. 

  

	 	a.	Support. Biochrom shall provide second tier technical and applications support to GE Healthcare for the Products. Biochrom shall respond to GE Healthcare support requests
within seventy-two (72) hours when said request is submitted on a week day. Biochrom shall respond to GE Healthcare support requests within ninety-six (96) hours when said request is submitted on a weekend. 

  

					
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	 	14.	Warranty 

  

	 	a.	Product Warranty. Biochrom represents and warrants that the Products will: 

  

	 	(i)	be delivered to GE Healthcare free of all liens, claims, or encumbrances; 

  

	 	(ii)	conform strictly to and be manufactured in accordance with all express specifications (including, but not limited to, those Specifications set forth in Attachment C),
drawings, plans, instructions, samples, or other descriptions; 

  

	 	(iii)	be fit and sufficient for the purpose(s) for which they were manufactured and sold to GE Healthcare 

  

	 	 (iv)
	 be 1st quality
(upon shipment) and merchantable; 

  

	 	(v)	be free from defects in title, design, material, and workmanship, whether latent or otherwise; 

  

	 	(vi)	have received all applicable regulatory certifications, including CE marks, as required; 

  

	 	(vii)	be manufactured, processed, and assembled by Biochrom or by a third party under Biochrom’s direction; 

  

	 	(viii)	be safe for their intended use; and 

  

	 	(ix)	not contain software code distributed under the GNU Public License (GPL) and do not include any open source software, freeware, or free use software. 

  

	 	b.	Intellectual Property Warranty. Biochrom represents and warrants that neither the Products, nor the use of the Products, will infringe any patent or copyright trade secret,
trademark, or other proprietary right of any third party. Biochrom also warrants that it has not and will not use or incorporate into Products any intellectual property of others without the party’s prior written consent, and that no other
third party, including without limitation any local, state, or Federal government holds any property rights or security interests in any Products. 

  

	 	c.	Services Warranty. Biochrom represents and warrants that all services to be performed by Biochrom will be performed in a timely, professional, and workman-like manner.

  

	 	d.	Additional Software Warranty. Biochrom represents and warrants that it has not and will not knowingly include in any software, and will use commercially reasonable efforts
within industry practices to ensure that such software does not contain any software key function, virus, code, routine, or device that may disable, damage, impair, erase, deactivate, or electronically repossess such software or any equipment or
data. 

  

	 	e.	Execution and Performance of Agreement. 

  

	 	1.	Biochrom represents and warrants that it has the full right, power, and authority to enter into and perform its obligations under this Agreement. Biochrom further represents and
warrants that the performance of its obligations under this Agreement will not result in a violation or breach of, and will not conflict with or constitute a default under any agreement, contract, commitment, or obligation to which such party or any
of its Affiliates are a party or by which it is bound and that it has not granted and will not grant during the Term of this Agreement or any renewal thereof, including any conflicting rights, license, consent or privilege with respect to the rights
granted herein. 

  

	 	2.	 GE Healthcare represents and warrants that it has full right, power, and authority to enter into and perform its obligations under this Agreement. GE Healthcare
further represents and warrants that the performance of its obligations under this Agreement will not result n a violation or breach of, and will not conflict with or constitute a default under any agreement, 

  

					
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contract, commitment, or obligation to which such party or any of its Affiliates are a party or by which it is bound and that it has not granted and will not
grant during the Term of this Agreement or any renewal thereof, including any conflicting rights, license, consent, or privilege with respect to the rights granted herein. 

  

	 	f.	Survival of Warranties. Biochrom agrees that the warranties set forth in Sections 14(a) through (e) above: (i) survive the inspection, acceptance, and use of the
Products by GE Healthcare, its distributors, sub-distributors, channel partners, and customers; (ii) are for the benefit of GE Healthcare and its successors, assigns, distributors, sub-distributors, channel partners, and customers; and
(iii) are in addition to any warranties and remedies to which Biochrom may otherwise agree or which are provided by law. Biochrom agrees to extend to GE Healthcare and GE Healthcare’s customers any warranties received from Biochrom’s
suppliers. Biochrom’s warranties in Sections 14(a)(ii), (iii), and (v) set forth above shall be for a minimum period of twelve (12) months from the date of sale by GE Healthcare (or eighteen (18) months from the date of Product
sale by Biochrom to GE Healthcare), whichever comes first and may be longer for warranties for third party-identified components that extend beyond twelve (12) months. All other warranties of Biochrom set forth herein shall survive
indefinitely. Biochrom warrants Products only as set forth in this Agreement and disclaims all other warranties. 

  

	 	g.	Returns. GE Healthcare may return or have returned to Biochrom any Product that does not conform to the representations and warranties, using Biochrom’s return process,
provided that such return process is requested within the warranty period. Any such Product shall be returned to Biochrom’s facility with all transportation, insurance, and handling charges (including return shipment to GE Healthcare or end
user) paid by GE Healthcare and the risk of loss passing to Biochrom when the Product is delivered to the carrier of GE Healthcare’s choice. Biochrom will replace or repair the returned Product to bring the Product in conformance with the
warranty, and will return a replacement or repaired Product within five (5) days after receipt of the non-conforming or defective Product. For the avoidance of doubt, all parts costs associated with repairs or replacements shall be borne solely
by Biochrom and all other costs associated with the return of Products or replacement Products, including labor costs, shall be borne solely by GE Healthcare. If it will take longer than five (5) days to repair and return the returned Product
(or its replacement), Biochrom shall promptly notify GE Healthcare of such circumstance. If Biochrom is unable to repair and return or replace the Product within thirty (30) days, Biochrom shall provide GE Healthcare a Credit as defined in
subsection (h) below. 

  

	 	h.	Credits. In accordance with this Section 14, Biochrom shall promptly issue a credit to GE Healthcare for any payment GE Healthcare made or against any outstanding
invoice with respect to such Product. GE Healthcare may take such credit on any open invoices of Biochrom. 

  

	 	i.	Set-off. GE Healthcare may set-off any amount owed from Biochrom against any amount payable at any time by GE Healthcare. 

  

	 	j.	Remedies. The remedies contained in this Section 14 are the exclusive remedies available to the parties. under this Agreement. 

  

	 	k.	 Spare Parts and Service. Biochrom shall utilize its commercially reasonable efforts to maintain for seven (7) years from the date of the last shipment
of a Product the 

  

					
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capability to repair the Product and make such repair service available to GE Healthcare and its customers, and furnish documentation, spare parts, service
tools, and instruments necessary to service the Product effectively. 

  

	 	l.	Service Capability. Biochrom shall test all repaired Products and spare parts using the test plan or procedure set forth in Attachment B. 

  

	 	15.	Indemnification 

  

	 	a.	Indemnity. Biochrom agrees to defend, indemnify, protect, and hold harmless GE Healthcare and GE Healthcare’s customers, affiliates, employees, agents, servants, and
representatives from and against any and all claims, damages, losses, liabilities, and expenses, including reasonable attorney’s fees and costs, of whatever nature, arising out of or relating to: (i) the breach by Biochrom of any covenant,
representation, or warranty contained in this Agreement; (ii) the breach by Biochrom of any covenant, representation, or warranty contained in any Attachment or Addendum forming a part hereto, including Attachment B; or (iii) any
negligent act or omission, or willful misconduct of Biochrom or its agents, employees, or subcontractors. GE Healthcare shall notify Biochrom of any such claim, suit, or proceeding, and, at the parties mutual agreement, may assist (at
Biochrom’s expense) in the defense of the same. GE Healthcare agrees to defend, indemnify, protect, and hold harmless Biochrom and Biochrom’s customers, affiliates, employees, agents, servant, and representatives from an against any and
all claims, damages, losses, liabilities, and expenses, including reasonable attorney’s fees and costs, of whatever nature, arising out of or relating to: (i) the breach by GE Healthcare of any covenant, representation, or warranty
contained in this Agreement; (ii) the breach by GE Healthcare of any covenant, representation, or warranty contained in any Attachment or Addendum forming a part hereto: or (iii) any negligent act or omission, or willful misconduct of GE
Healthcare or its agents, employees, or subcontractors. Biochrom shall notify GE Healthcare of any such claim, suit or proceeding. 

  

	 	b.	Intellectual Property Indemnity. Biochrom agrees to defend, indemnify, protect, and hold harmless GE Healthcare and GE Healthcare’s customers, affiliates, employees,
agents, servants, and representatives from and against any and all claims, damages, losses, liabilities, and expenses, including reasonable attorney’s fees and costs, of whatever nature, resulting from a claim or allegation that the use or sale
of a Product infringes or otherwise violates any patent or copyright of any third party. 

  

	 	c.	Third Party Indemnity. Biochrom shall immediately notify GE Healthcare if Biochrom knows or has reason to believe that GE Healthcare has been or will be required, as a result
of activity arising out of or related to this Agreement, by any court or administrative agency of the United States or any state or by any legal process, to respond to any subpoena, search warrant, discovery or other directive under the authority of
such court, administrative agency or process in connection with any proceeding or investigation in which Biochrom or any of its Affiliates, officers, directors, agents, employees, or subcontractors is involved. Whether or not such notice is given by
Biochrom, if GE Healthcare is not a party to such proceeding, Biochrom shall assist GE Healthcare in GE Healthcare’s attempt to reduce the burdens of compliance with any such directive, and, Biochrom shall reimburse any and all reasonable
expenses incurred by GE Healthcare and its Affiliates in complying with any such directive, including, but not limited to, attorneys’ fees, travel and lodging expenses and an hourly labor rate as determined by GE Healthcare, in its sole
discretion, to estimate consistent with United States Generally Accepted Accounting Principles and Practices (“GAAP”) the fully-loaded hourly compensation and benefits payable to employees or agents for all time spent by them in responding
to such matters. 

  

					
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	 	16.	Compliance 

  

	 	a.	Applicable laws. Biochrom represents, warrants, certifies, and covenants that its performance under this Agreement will comply with all applicable laws, ordinances, rules,
and regulations, and all conventions and standards, as amended from time to time, of each and all countries where the Products are to be manufactured, or Biochrom performance is to occur, and will provide commercially reasonable assistance for GE
Healthcare to comply with all applicable laws, ordinances, rules, and regulations, and all conventions and standards, as amended from time to time, of each and all countries where the Products are to be distributed or sold, including, without
limitation, those prohibiting bribery or similar payments or practices, and those related to environmental protection, import and export, duties and customs, wages, hours and conditions of employment, occupational safety, discrimination, sexual
harassment, immigration, subcontractor selection, health and safety, toxic substances, hazardous materials, and electrical or electronic equipment. GE Healthcare represents, warrants, certifies and covenants that its performance under this Agreement
will comply with all applicable laws, ordinances, rules, and regulations, and all conventions and standards, as amended from time to time, of each and all countries where the Products are to be sold or used, including, without limitation, those
prohibiting bribery or similar payments or practices, and those related to environmental protection, import and export, duties and customs, wages, hours and conditions of employment, occupational safety, discrimination, sexual harassment,
immigration, subcontractor selection, health and safety, toxic substances, hazardous materials, electrical or electronic equipment, and minority owned businesses. 

  

	 	b.	Import/Export. Biochrom represents and warrants that it will comply with all applicable laws, regulations, or requirements of the United States, Sweden and Japan relating to
import/export matters. In the event any issues arise regarding the regulations of any other countries the parties agree to address and remedy in good faith. GE Healthcare represents and warrants that it will comply with all applicable laws,
regulations, or requirements of the United States and Sweden relating to import/export matters for its shipments of Products from Biochrom. Biochrom will also obtain all applicable permits and licenses necessary to perform its obligations under this
Agreement, and upon GE Healthcare’s request, will provide GE Healthcare with copies of such permits and licenses. Where Products contain United States components, Biochrom will also provide GE Healthcare with details of the United States
content value as a percentage of the Product price upon GE Healthcare’s request. Additionally, Biochrom will provide ECCN and Harmonized Tariff numbers assigned to Products upon request. 

  

	 	c.	Country of Origin. Biochrom will mark each Product, and, as appropriate, Product packaging, labels, or invoices with the country of origin for the Product, in accordance with
the applicable trade and customs laws. Biochrom will also provide acceptable and auditable documentation that establishes the country of origin for Product, including without limitation, certifications of origin for Products qualifying for NAFTA
preferential duty provisions, as applicable. 

  

	 	d.	 WEEE, RoHS And Equivalent Directives. Biochrom shall indicate to GE Healthcare by declaration any Product containing any: (a) lead, mercury, cadmium,
hexavalent chromium, polybrominated biphenyls (PBB), polybrominated diphenyl ethers (PBDE), or any other hazardous substances the use of which is restricted under EU Directive 2002/95/EC (27 January 2003) (“RoHS Directive”), as amended, or
under any equivalent 

  

					
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directives or regulations. Biochrom represents, warrants, and certifies that (i) none of the Products contain any arsenic, asbestos, benzene,
polychlorinated biphenyls (PCBs), carbon tetrachloride, or any chemical restricted under the Montreal Protocol on ozone-depleting substances; and (ii) the Products shall conform with the requirements and specifications set forth in the
Specifications described in Attachment C. 

  

	 	17.	Change Notice Process 

  

	 	a.	GE Healthcare Proposed Changes. GE Healthcare may propose changes to the Products by submitting the proposed changes (identifying those changes which it deems mandatory to
make the Product suitable for use) to Biochrom. Biochrom shall respond in writing to GE Healthcare within fourteen (14) days after receipt of such changes with the following information, as applicable: (a) lead time required to implement
proposed changes; (b) impact of proposed changes on pricing of Product, including but not limited to any parts, tooling, and testing; (c) impact of proposed changes on scrap material and work in process; (d) any non-recurring
engineering or other charges to implement proposed changes; and (e) impact of proposed changes on the lead time of the Product. Within fourteen (14) days after GE Healthcare receives Biochrom’s response to GE Healthcare’s
proposed changes, the parties shall begin discussions with respect to any changes to be made to this Agreement, including all Attachments hereto. For the avoidance of doubt, all costs associated with any changes requested regarding branding changes
will be borne by GE Healthcare. If the parties fail to agree upon appropriate changes to the Agreement, the terms in effect prior to the commencement of the negotiations shall remain in full force and effect. If the requested change is significant
and necessary for GE Healthcare to continue selling the Product, GE Healthcare, at its election, may remove this Product from the Agreement after providing one hundred eighty (180) day written notice. 

  

	 	b.	Biochrom Proposed Changes. Biochrom may propose changes to the Products or the manufacturing process per Attachment B. 

  

	 	18.	Confidentiality. 

  

	 	a.	 Confidential Information. During the Term, each party (the “Recipient”) may receive or have access to certain information of the other party (the
“Discloser”) that is Confidential Information of the Discloser. For purposes of this Agreement, “Confidential Information” shall mean any information disclosed by the Discloser to the Recipient, whether technology-related or
business-related, whether furnished before or after the Effective Date and irrespective of the form of communication, that is considered competitive, confidential or proprietary in nature; provided, however, that in order for oral information to be
treated as Confidential Information, it must be identified as confidential and proprietary at the time of disclosure, and the substance of the disclosure must be provided in writing within thirty (30) days of the oral disclosure of such
information. Information about the functionality of the Products, software or firmware imbedded in or used with the Products, Discloser financial or marketing information, and information about the future product plans will be deemed Confidential
Information without the necessity of being marked. All other written information must be conspicuously marked using words such as “confidential” or “proprietary” in order to be treated as Confidential Information. The Recipient
will protect the Confidential Information with the same degree of care as the Recipient uses for its own similar information, but no less than a reasonable degree of care. Confidential Information may only be used by those employees of the Recipient
who have a need to know such information for the purposes related to this Agreement, and the Recipient shall inform such employees of the confidential nature of such 

  

					
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Confidential Information and the obligations of the Recipient hereunder. The Recipient shall be responsible for any breach of this Agreement by it or its
employees to the same extent as though such employees were parties hereto. The parties acknowledge that all intellectual property rights are deemed Confidential Information to be protected indefinitely. The parties also agree that all other
information, including but not limited to technical information (which is not intellectual property rights) and forecasts disclosed during the Term or prior to the formation of this Agreement are deemed Confidential Information to be protected for a
term of ten (10) years from the date of disclosure. 

  

	 	b.	Exclusions. The foregoing confidentiality obligations will not apply to any information that is (a) already known by the Recipient prior to disclosure,
(b) independently developed by the Recipient prior to or independent of the disclosure and can be so proven, (c) publicly available through no fault of the Recipient, (d) rightfully received from a third party with no duty of
confidentiality, (e) disclosed by the Recipient with the Discloser’s prior written approval, or (f) `required to be disclosed pursuant to any final and non-appealable order of a court or governmental agency (such as U.K. ministries or
U.S. departments, including the Securities Exchange Commission and U.S. Federal Trade Commission) of competent jurisdiction served on either party, provided that the Recipient gives the Disclosing Party written notice within two (2) days of
receipt of such order and at least thirty (30) days prior to the production or disclosure of such Confidential Information. 

  

	 	c.	Return of Confidential Information. Within fourteen (14) days after termination of this Agreement each party shall return all Confidential Information of the other party
and all copies thereof (in any media) unless a party is required to retain such material under applicable laws or regulations. All information consisting of documents, notes and other writings prepared by one party based on non-public data of the
other party shall be destroyed. 

  

	 	d.	Development. The confidentiality terms in this Section shall not be construed to limit GE Healthcare’s right to independently develop or acquire products without use of
Biochrom’s Confidential Information. 

  

	 	e.	Restrictions on Use of Design Materials and Know How. During the Term Biochrom shall be prohibited from selling to any third party: (i) the NanoVue Product except as per
1.b.2; (ii) the Novaspec, Ultrospec and Genequant Products; provided such third party is outside Canada; (iii) any substantially similar product that incorporates the proprietary technology developed solely, and paid, for by GE Healthcare;
(iv) any product which incorporates any GE Healthcare Confidential Information (as defined in this Section); or (v) any product which incorporate the patented technology of the NanoVue. After the Term, and pursuant to Section 19
below, Biochrom shall be prohibited from selling to any third party any product which incorporates any GE Healthcare Confidential Information (as defined in this Section). 

  

	 	19.	Intellectual Property/Trademarks 

  

	 	a.	GE Healthcare Intellectual Property/Tradenames. All drawings, plans, data, manufacturing aids, testing or other equipment or materials, inventions, technology, trade secrets,
know how, reproductions and/or replacements, or other proprietary information, and all intellectual property rights in the foregoing, which GE Healthcare furnishes to Biochrom shall remain GE Healthcare’s sole property.

  

					
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 No rights are granted to Biochrom under any GE Healthcare patents, copyrights, trade secrets, or other
property rights except as may be expressly agreed to by GE Healthcare in a separate writing. The use of “Amersham,” “GE,” “General Electric Company”, “GE Healthcare” and “NanoVue” are registered
trademarks and are to be used by Biochrom only in fulfillment of its obligations hereunder and only at the direction of GE Healthcare. Biochrom shall have no rights to use the name “NanoVue” after the term of this Agreement. Furthermore,
Products shall not bear the Biochrom name nor any other identifying service marks or trademarks. It is the understanding of the parties that there are limited instances of the Biochrom name used either on or in conjunction with the Product (such as
Certificate of Conformances, Instrument Badges, etc), which will be phased out during 2008. The parties further agree that effective no later than January 1, 2009, no such references to Biochrom shall appear on or in conjunction with the
Product. 
 GE Healthcare grants to Biochrom a license to use the “GE”, “GE Healthcare” ,”General Electric
Company”, “Amersham”, and “NanoVue” trademarks, as well as any service marks or logos designated by GE Healthcare, in the production of the Products to be sold by GE Healthcare and as directed by GE Healthcare. 

 

	 	b.	Biochrom Intellectual Property/Tradenames. All drawings, plans, data, manufacturing aids, testing or other equipment or materials, inventions, technology, trade secrets, know
how, reproductions and/or replacements, or other proprietary information, and all intellectual property rights in the foregoing, owned by Biochrom shall remain Biochrom’s sole property. 

 No rights are granted to GE Healthcare under any Biochrom patents, copyrights, trade secrets, or other property rights except as set forth in
Section 19(b)(i) and (ii) below, or as may be expressly agreed to by Biochrom in a separate writing. 
  

	 	(i)	Subject to the terms and conditions of this Agreement, Biochrom hereby grants to GE Healthcare, and GE Healthcare hereby accepts, an exclusive, royalty-free, irrevocable license to
sell Products under the Names in the Territory during the Term of this Agreement. 

  

	 	(ii)	Subject to the terms and conditions of this Agreement, Biochrom hereby grants to GE Healthcare’s end-users a worldwide, non-exclusive, royalty-free license to Biochrom’s
underlying technology, intellectual property, and patents only insofar as is required to enable the end-user’s use of the Products consistent with the use set forth in the Specifications 

  

	 	20.	Limitation of Liability 

 IN NO EVENT WILL EITHER
PARTY BE LIABLE TO THE OTHER PARTY FOR ANY SPECIAL, INCIDENTAL, INDIRECT, PUNITIVE, OR CONSEQUENTIAL DAMAGES (INCLUDING BUT NOT LIMITED TO LOST PROFITS, LOSS OF USE, LOST BUSINESS AND DATA), WHETHER BASED ON BREACH OF CONTRACT, TORT (INCLUDING
NEGLIGENCE), PRODUCT LIABILITY, FUNDAMENTAL BREACH, OR OTHERWISE ARISING OUT OR RELATED TO THIS AGREEMENT, AND WHETHER OR NOT SUCH PARTY HAS BEEN ADVISED OF THE POSSIBILITY OF SUCH DAMAGE. 
  

	 	21.	Limitation of Damages 

 WITH THE EXCEPTION OF
LIABILITIES UNDER SECTION 15 OR FOR VIOLATIONS OF SECTION 18, NEITHER PARTY WILL BE LIABLE UNDER THIS AGREEMENT FOR ANY AMOUNT GREATER THAN THE AGGREGATE PAYMENTS PAID UNDER THIS AGREEMENT BY GE HEALTHCARE TO BIOCHROM DURING THE CALENDAR YEAR
PREVIOUS TO THE DATE ON WHICH THE CLAIM WAS RECEIVED. 
  

					
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	 	22.	Notice 

 Any notice required under this Agreement
shall be sent by a nationally recognized overnight courier, or transmitted electronically pursuant to the terms of this Agreement. Notices will be deemed given on the date delivered to the recipient if sent by overnight courier (it being agreed that
the sender shall retain proof of transmission or delivery, as the case may be), or when accessible electronically if sent electronically pursuant to the terms of this Agreement. Notices shall be sent to the persons identified (or as otherwise
directed in writing by a party): 
  

							
	If to GE Healthcare	  	If to Biochrom
				
	Address:	  	800 Centennial Avenue	  	Address:	  	 22 Cambridge Science Park
 Milton
Road

	City:	  	Piscataway	  	City:	  	Cambridge
	State:	  	New Jersey	  	State:	  	CB4 0FJ
	Zip Code:	  	08855-1327	  		  	England
	Attention:	  	Ronald Alves	  	Attention:	  	James G Heffernan
	Fax:	  	732-457-8231	  	Fax:	  	01223 420238
		
	With a copy to	  	With a copy to
				
		  		  		  	Jaffe, Raitte, Heuer & Weiss P.C.
	Address:	  	800 Centennial Avenue	  	Address:	  	 27777 Franklin Rd.
 Suite 2500

	City:	  	Piscataway	  	City:	  	Southfield
	State:	  	NJ	  	State:	  	MI
	Zip:	  	08855-1325	  	Zip:	  	48034
	Attention:	  	General Counsel	  	Attention:	  	Sara Kruse
	Fax:	  	732-457-8463	  	Fax:	  	248-351-3082

  

	 	23.	Dispute Resolution 

  

	 	a.	Waiver of Jury Trial. THE PARTIES EXPRESSLY WAIVE AND FOREGO ANY RIGHT TO A TRIAL BY JURY. 

  

	 	b.	Arbitration. Any dispute, controversy, or claim relating to this Agreement (a “Dispute”) will be resolved first through good faith negotiations between the parties.
If the Dispute cannot be resolved through good faith negotiation within forty-five (45) days, either party may submit the Dispute to the office of the American Arbitration Association (“AAA”) in New York City, New York for binding
arbitration in accordance with the AAA’s Commercial Arbitration Rules then in effect, as amended by this Agreement. The cost of the arbitration, including the fees and expenses of the arbitrator(s), will be shared equally by the parties, with
each party paying its own attorney’s fees. The arbitrator(s) will have the authority to apportion liability between the parties, but will not have the authority to award any damages or remedies not available under the express terms of this
Agreement. The arbitration award will be presented to the parties in writing, and upon the request of either party, will include findings of fact and conclusions of law. The award may be confirmed and enforced in any court of competent jurisdiction.
With regards to any action for breach of confidentiality or intellectual property obligations, nothing in this section shall preclude either party from seeking interim equitable relief in the form of a TRO or preliminary injunction. Any such request
by a party of a court for interim equitable relief shall not be deemed a waiver of the obligation to arbitrate hereunder. 

  

					
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	 	24.	Crisis Management and Business Contingency Planning 

  

	 	a.	Business Contingency Plan. Upon GE Healthcare’s request, Biochrom shall provide to GE Healthcare a Business Contingency Plan that outlines Biochrom’s internal
contingency arrangements to ensure GE Healthcare continuity of supply if Biochrom or any of Biochrom’s suppliers are unable to provide Products or components to such Products to GE Healthcare. 

  

	 	25.	Insurance. 

 Biochrom Insurance. Without limiting
its liability under this Agreement, Biochrom agrees to maintain, during the Term and for five (5) years after the Term, worldwide general liability and property damage liability insurance coverage underwritten by a Best A-rated insurance
carrier. Such insurance shall have policy limits of no less than two million GBP (2,000,000£) per occurrence for death or personal injury and two million GBP (2,000,000£) per occurrence for real and personal property damage.
Such policy shall include a provision requiring the carrier to notify GE Healthcare in writing at least thirty (30) days prior to any cancellation, termination, or amendment of such insurance coverage. In addition, Biochrom shall maintain
Workers’ Compensation insurance in the amounts required by law. Within ten (10) days following the Effective Date of this Agreement and upon any subsequent request by GE Healthcare, Biochrom will deliver to GE Healthcare a Certificate of
Insurance verifying the foregoing insurance coverage. 
  

	 	26.	Miscellaneous. 

  

	 	a.	Independent Contractor. The relationship of the parties hereunder shall be that of independent contractors. Nothing in this Agreement shall be deemed to create a partnership,
joint venture, or similar relationship between the parties, and no party shall be deemed to be an agent of the other party. Biochrom shall indemnify, defend, and hold harmless GE Healthcare from and against any and all claims by Biochrom employees,
contractors, or subcontractors regarding entitlement to any compensation or benefits from GE Healthcare or that GE Healthcare was for any purpose their employer or co-employer, including any claim for taxes or related penalties.

  

	 	b.	Governing Law. This Agreement shall be governed and construed in accordance with the laws of the State of New York, without regard to principles of conflicts of laws. The
United Nations Convention on Contracts for International Sales of Goods shall not apply to this Agreement. 

  

	 	c.	Force Majeure. Any delay or failure of Biochrom to perform its obligations hereunder shall be excused if and to the extent that it was caused by an event or occurrence beyond
Biochrom’s reasonable control and without its fault or negligence, such as, by way of example and not by way of limitation, acts of God, actions by any government authority (whether valid or invalid), strike or labor stoppage, transportation or
shipping embargo, fires, floods, windstorms, explosions, riots, natural disasters, wars, sabotage, acts of terrorism, or court injunction or order; provided that written notice of such delay (including the anticipated duration of the delay) shall be
given by Biochrom to GE Healthcare within thirty (30) days of the occurrence of such event. During the period of such delay or failure to perform by Biochrom, GE Healthcare may acquire substitute or replacement items from one or more
alternative sources, and in such event, there may be a proportionate reduction of the quantity of Products required from Biochrom. If the delay lasts more than ninety (90) days or if Biochrom does not provide adequate assurances that the delay
will cease within ninety (90) days, GE Healthcare may terminate this Agreement and any applicable Purchase Orders and any funds pre-paid by GE Healthcare shall be promptly returned. 

  

					
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	 	d.	Assignment. This Agreement is personal to the parties and shall not be assignable by either party without the prior written consent of the other party. Any such assignment
shall be declared null and void. Notwithstanding the foregoing: (i) GE Healthcare and Biochrom may each assign its rights and obligations under this Agreement to an affiliate without the other’s prior written consent; and (ii) GE
Healthcare may assign its rights and obligations under this Agreement without Biochrom’s prior written consent incident to the sale or transfer of all or substantially all of its business provided such buyer is capable of complying with all the
obligations set forth in the Agreement and is not a direct competitor of Biochrom’s. This Agreement shall be binding upon and shall inure to the benefit of the parties hereto and their respective heirs, successors, and permitted assigns.
Notwithstanding the above, in the event a change in control occurs, either party may terminate this Agreement by immediate written notice to the other party, when such a change of control, in the reasonable opinion of the terminating party, could
preclude the other party from substantially performing its obligations under this Agreement. 

  

	 	e.	Publicity. Biochrom shall not issue any press release or announcement, use any of GE Healthcare’s products or its name or trademarks in promotional activity, or
otherwise publicly announce or comment on this Agreement without GE Healthcare’s prior written consent. Notwithstanding the foregoing, it is agreed and understood that Biochrom’s parent Harvard Bioscience, Inc. (“HBIO”) will be
required to file this Agreement with the SEC as a Material Agreement upon execution and will be required under SEC rules to disclose certain details of the terms of the Agreement in its filings with the SEC. HBIO agrees to use its best efforts to
request confidential treatment be afforded by the SEC for those sections of this Agreement that would, if made public, be detrimental to either parties’ operations. 

  

	 	f.	Amendment; Waiver; Survival. This Agreement may be modified only by a writing signed by both parties. Any failure to enforce any provision of this Agreement is not a waiver
of that provision or of either party’s right to later enforce each and every provision. The terms of this Agreement that by their nature are intended to survive its expiration will continue in full force and effect after its expiration.

  

	 	g.	Severability. If any provision of this Agreement is determined to be legally unenforceable or invalid, it shall not affect the validity or enforceability of the remainder of
the Agreement, and the remaining provisions will continue in full force and effect. The parties will substitute a provision that most closely approximates the economic intent of the invalid provision. 

  

	 	h.	Audit Rights. At GE Healthcare’s request, and at the parties’ mutual expense, Biochrom will allow GE Healthcare (directly or through third parties) to audit and
copy any documents that Biochrom has relating to the performance of its obligations under this Agreement or other applicable legal requirements. GE Healthcare shall also be allowed to audit Biochrom to ensure Biiochrom’s fulfillment of its
obligations as set forth in Attachment B. 

  

	 	i.	 New Products. Biochrom shall notify GE Healthcare of other product offerings it has and, if both parties are interested in adding such products to this
Agreement, and the parties are able to agree upon terms, such products will be added to Attachment C of this Agreement by amendment. Biochrom agrees to provide to GE Healthcare the 

  

					
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necessary Product information to enable GE Healthcare to effectively market and sell Products including, but not limited to: (i) performance data;
(ii) comparative data with key competitor products; (iii) technical descriptions; (iv) product features and benefits; (v) features and benefits comparison with key competitors; and (vi) sales and marketing collateral. The
obligations of Biochrom under this Section 26 (i) do not limit the ability of Biochrom to offer products to other persons unless and until such products are added to Attachment C of this Agreement by amendment.

  

	 	j.	New Technology. If, during the Term, Biochrom develops a product that would be a replacement for any Product provided hereunder or an upgrade of any Product, Biochrom agrees
to sell said product to GE Healthcare at GE Healthcare’s option, for a price to be negotiated in good faith between the parties. Both parties also agree that all appropriate provisions of this Agreement will apply to any such replacement or
upgraded product. Nonetheless, except as otherwise expressly provided by this Agreement, Biochrom agrees to continue to make the original Product available to GE Healthcare for twelve (12) months prior to discontinuance.

  

	 	k.	Battle of Forms. EACH PARTY HEREBY OBJECTS TO AND REJECTS THE PROVISIONS OF ANY ACKNOWLEDGEMENT, ORDER ACCEPTANCE, WARRANTY STATEMENT, OR INVOICE WHICH ARE INCONSISTENT WITH
OR IN ADDITION TO THE PROVISIONS OF THIS AGREEMENT. THIS AGREEMENT IS THE COMPLETE AND EXCLUSIVE CONTRACT BETWEEN THE PARTIES WITH RESPECT TO THE PRODUCTS AND MAY BE MODIFIED ONLY IN WRITING SIGNED BY AUTHORIZED REPRESENTATIVES OF EACH PARTY. NO
PRIOR PROPOSALS, QUOTATIONS, STATEMENTS, FORECASTS, COURSE OF DEALING, OR USAGE OF TRADE WILL BE PART OF THE AGREEMENT BETWEEN THE PARTIES. 

  

	 	l.	Previous Agreement. Notwithstanding the above, the Parties acknowledge that nothing in this Agreement shall negate or supercede the surviving provisions of the August 1, 2001
Agreement (“Old Agreement”). For the avoidance of doubt, any warranty claims made with respect to products sold under the Old Agreement shall be remedied in accordance with the terms provided under the Old Agreement

  

					
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 IN WITNESS WHEREOF, the undersigned have executed this Agreement as of the Effective Date. 
  

									
	 GE HEALTHCARE BIO-SCIENCES CORP.
 doing business as GE Healthcare
	 		 	BIOCHROM LIMITED
					
	Signature:	 	 /s/ Jan Erneberg
	 		 	Signature:	 	 /s/ James G Heffernan

	Printed Name:	 	Jan Erneberg	 		 	Printed Name:	 	James G Heffernan
	Title:	 	MD	 		 	Title:	 	Managing Director
	Date:	 	March 27, 2008	 		 	Date:	 	February 19, 2008
				
		 		 		 	Duly Authorized By: Harvard Bioscience
					
		 		 		 	Signature:	 	 /s/ Susan Luscinski

		 		 		 	Printed Name:	 	Susan Luscinski
		 		 		 	Title:	 	Chief Operating Officer Harvard Bioscience, Inc.
		 		 		 	Date:	 	February 18, 2008

  

					
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 Attachment A 
 GE Healthcare - Biochrom 
 Annual Business Attachment (“ABA”) 
 This Attachment is only used upon the anniversary of the Effective Date of the Agreement to capture any changes intended by the parties. 
  
  
 GE Healthcare / Biochrom Strategic Supplier Alliance Agreement dated:
                                        
(hereinafter “Agreement”) 
 ABA Revision Number:              
 ABA Effective Date:              
 ABA Term:              
  
  
  

	 	1.	Pricing. 

  

	 	2.	Quality. 

  

	 	3.	Delivery. 

  

	 	4.	Non-Binding Annual Forecast. 

  

	 	5.	Biochrom and GE Healthcare hereby agree that there are no outstanding material commitments as of the date of this Attachment. 

  

	 	6.	Any Other Terms (including Safety Stock, Material Commitments, Payment Terms, etc.). 

 The terms and conditions as stated herein are firm for the term of this Attachment. This Attachment may not be modified except by written amendment by the parties. If the term of this Attachment shall lapse, the terms
and conditions of this Attachment shall continue until further updated by the parties, or until the expiration or termination of the Agreement. All other terms and conditions of the Agreement shall remain in full force and effect. In the event of a
conflict, this Attachment shall control. 
 IN WITNESS WHEREOF, the parties hereto have caused this Attachment to the Agreement to be executed by their duly
authorized officers or representatives. 
  

									
	 GE HEALTHCARE BIO-SCIENCES CORP.
 doing business as GE Healthcare
	 		 	BIOCHROM LIMITED
					
	Signature:	 	 /s/ Jan Erneberg
	 		 	Signature:	 	 /s/ James G Heffernan

	Printed Name:	 	Jan Erneberg	 		 	Printed Name:	 	James G Heffernan
	Title:	 	MD	 		 	Title:	 	Managing Director
	Date:	 	March 27, 2008	 		 	Date:	 	February 21, 2008

  

					
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 Attachment B 
 Purchased Material Quality Requirements 
 Quality Items 
 The goal for Biochrom’s quality performance is zero defects for each item delivered. The measurement of defects for Biochrom by part may be calculated periodically
and either reported directly to Biochrom or available on request. Biochrom will accept returns of material with proper approval, for which they are the original source. GE Healthcare will document the reason for return on a GE Healthcare Shipping
Document, which physically accompanies the shipment. Biochrom will follow any processing instructions documented on the GE Healthcare Shipping Document which shall be in accordance with Section 14(g) of the Agreement unless GE Healthcare sends
written changes which Biochrom agrees to in writing. Upon reasonable request from GE Healthcare, Biochrom will provide documented plans and/or procedures for rework, repair and testing of defective returns. Upon reasonable request from GE
Healthcare, Biochrom will provide documented corrective actions plans to prevent future deviations from specification. 
 Delivery 

The goal for delivery performance on all Products is 100% on-time. A shipment is on time if it is available at the designated shipment point based upon fulfillment of
the required lead time, or such other date as mutually agreed upon by the parties. No line item is considered on-time unless it is complete as specified on the purchase order. On-time delivery performance from Biochrom, by part, may be calculated
periodically by GE Healthcare and is either reported directly to Biochrom or available on request. In the event of late deliveries, Biochrom will respond to reasonable written requests from GE Healthcare for documented corrective action plans to
assure future on-time deliveries. 
 Compliance 
 Where required, or otherwise agreed by the Parties, Biochrom will maintain compliance to industry standards and product listings such as UL, CSA, IEC etc., for all Products delivered to GE Healthcare. Additionally, Biochrom will maintain
compliance with government regulations including reporting, record keeping and production testing applicable to the manufacture of radiation emitting devices and electromagnetic compatibility for all Products delivered to GE Healthcare. If
Electrostatic Discharge (ESD) sensitive devices are supplied to GE Healthcare, Biochrom must have an active ESD program and use proper ESD handling procedures. Applicable components include circuit boards, electronic assemblies with exposed
components or connectors, semi-conductors and any other devices that may require ESD protection. Records of the testing done and training provided must be maintained. 
 Change Notification. Changes proposed by Seller, both material and process changes, which may affect form, fit, function, reliability, serviceability, performance, regulatory compliance, or safety or
must be submitted along with a written change notice, for GEHC Sourcing approval. This includes, but is not limited to, changes of sources of material and parts, changes in manufacturing processes, test procedures, manufacturing locations,
relocation or replacement of equipment and any similar changes that are anticipated by lower tiered suppliers. Items affected by such changes will not be delivered against any GE Healthcare purchase order before Biochrom receives written approval
for the changes from GE Healthcare Sourcing. As a minimum, the change notice must include Biochrom’s affected part number, date of implementation, serial number affectivity of the assembly that is changed, reason for the change, specific
details of the change and supporting data that demonstrates that reliability has not been impacted negatively. This change notice must be sent to GE Healthcare a minimum of ninety (90) calendar days in advance of the proposed implementation
date. GE Healthcare then has fifteen (15) days to respond to Biochrom with approval of the change, disapproval of the change, or a request for samples for evaluation by GE Healthcare. 
 Packaging and Shipping Methods. 
 Biochrom shall provide
packaging and shipping methods to prevent cosmetic, mechanical and electrical damage to the Products. A packing list showing purchase order number, part number, 

  

					
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total number of articles/boxes shipped, date of shipment and quantity must be affixed to the outside of the container. Peanuts of any kind are not to be used
as packaging material for any electrostatic components. 
 Quality Record Retention. 
 Biochrom shall maintain clear, clean and accurate records of results of acceptance activities for each Product delivered to GE Healthcare. These records shall include the
test/inspection criteria, revision level of documents/equipment/software used, activities performed (planning, routing or traveler sheets), dates of test/inspection, results and identification of the individual(s) conducting the activities. Where
applicable, these records should include a list of the equipment used for test/inspection. All records retained for the Product shall be stored by Biochrom until GE Healthcare notifies Biochrom that the product life has ended. 
 Quality and Safety Reporting. 
 Biochrom shall maintain a
documented reporting system to GE Healthcare when Biochrom has knowledge of any product issue related to safety or quality, which results in the stopping of a shipment or a Product recall. Any actions taken by Biochrom to report a recall to a
regulated agency must be communicated to GE Healthcare within twenty-four (24) hours. GE Healthcare has the right to request Biochrom to provide all documents regarding the specific issue including the analysis, root cause and corrective action
taken to minimize any risk to GE Healthcare customers. 
 Quality Systems. Biochrom shall maintain a documented quality system that encompasses
the following areas: how quality documents are generated and controlled, how manufacturing processes are controlled, how special or automated processes are validated, how suppliers are controlled, how test equipment is calibrated and controlled,
handling of defective material, how corrective action processes are controlled, and how statistical process control is implemented. The ISO 9001:2000 Standard and the FDA Quality System Regulation (Code of Federal Regulations 21 CFR Part 820) are
examples of the types of Quality System structure and discipline that should be referenced. GE Healthcare may audit the Biochrom’s quality system at periodic intervals upon reasonable written advance notification. GE Healthcare may also request
periodic, joint quality assurance meetings at the Biochrom’s facility to be updated on the status of product quality and reliability. 
 This document
shall be an addendum to any existing purchase agreement or existing purchase orders between Biochrom and GE Healthcare. Any conflict between the purchase agreement and purchase order regarding material quality requirements shall be resolved pursuant
to the terms of this document. 
  

					
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 Attachment C 
 Products, Pricing and Specifications 
 SECTION I 
 None of the following products contain any arsenic, asbestos, benzene, polychlorinated biphenyls (PCBs), carbon tetrachloride, or any chemical restricted under the Montreal Protocol on ozone-depleting substances;

 Genequant 100 
 Genequant 1300 
 Novaspec III 
 Novaspec Plus 
 Swift II 
 Swift II CFR 
 Ultrospec 10 
 Ultrospec 20 
 Ultrospec 500 
 Ultrospec 1100 
 Ultrospec 2100 
 Ultrospec 3100 
 Ultrospec 3300 
 Ultrospec 4300 
 Ultrospec 5300 
 Ultrospec 6300 
 NanoVue 
 Genequant Capillary cell 
  

					
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 SECTION II 
 Products
shall conform with the requirements and specifications set forth in the Specifications described below:. 
  

			
	SPECIFICATION: GENEQUANT 100
		
	Wavelength range	  	190 - 900 nm
	Monochromator	  	Flat grating
	Wavelength calibration	  	Automatic upon switch on
	Spectral bandwidth	  	5 nm
	Wavelength accuracy	  	±2 nm
	Wavelength reproducibility	  	±1 nm
	Light sources	  	Pulsed xenon lamp
	Detector	  	Dual 1024 element CCD arrays
	Photometric range	  	- 0.300 to 2.500A, 0 to 199%T
	Photometric linearity	  	±0.005 Abs or 1% of the reading, whichever is the greater @ 546 nm
	Photometric reproducibility	  	±0.003 Abs (0 to 0.5 Abs), ±0.007 Abs (0.5-1.0 Abs)
	Stray light	  	<0.5% at 220 nm and 340 nm using NaNO2
	Zero stability	  	±0.01 Abs/hour after 20 min warm up @ 340 nm
	Noise	  	0.005 pk to pk 0.002 pms
	Digital output	  	USB port standard
	Dimensions	  	260 x 390 x 100 mm
	Weight	  	<4.5 kg
	Power input	  	18Vdc from a 90-250 V, 50/60 Hz, Max 30 VA mains power pack
	
	SPECIFICATION: GENEQUANT 1300
		
	Wavelength range	  	190 - 1100 nm
	Monochromator	  	Flat grating
	Wavelength calibration	  	Automatic upon switch on
	Spectral bandwidth	  	5 nm
	Wavelength accuracy	  	±2 nm
	Wavelength reproducibility	  	±1 nm
	Light sources	  	Pulsed xenon lamp
	Detector	  	Dual 1024 element CCD arrays
	Photometric range	  	- 0.300 to 2.500A, 0 to 199%T
	Photometric linearity	  	±0.005 Abs or 1% of the reading, whichever is the greater @ 546 nm
	Photometric reproducibility	  	±0.003 Abs (0 to 0.5 Abs), ±0.007 Abs (0.5-1.0 Abs)
	Stray light	  	<0.5% at 220 nm and 340 nm using NaNO2
	Zero stability	  	±0.01 Abs/hour after 20 min warm up @ 340 nm

  

					
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	Noise	  	0.005 pk to pk 0.002 pms
	Digital output	  	USB port standard, Bluetooth option
	Dimensions	  	260 x 390 x 100 mm
	Weight	  	<4.5 kg
	Power input	  	18Vdc from a 90-250 V, 50/60 Hz, Max 30 VA mains power pack
	
	SPECIFICATION: NOVASPEC III
		
	Wavelength range	  	330 - 800 nm
	Monochromator	  	Flat grating
	Wavelength calibration	  	Automatic upon switch on
	Spectral bandwidth	  	7 nm
	Wavelength accuracy	  	±2nm
	Wavelength reproducibility	  	±1nm
	Light sources	  	Pulsed Tungsten halogen
	Detector	  	Diode array
	Photometric range	  	- 0.300 to 2.500A, 0 to 200%T
	Photometric linearity	  	± 2.0 % or ± 0.010A to 1.000A at 546nm, whichever is the greater
	Photometric reproducibility	  	< 0.002 A at 0A and 500nm
	Stray Light	  	< 1%T 340nm according to ANSI/ASTM E387-72
	Stability	  	±0.005A/h at 0A and 546nm after warm-up
	Noise	  	± 0.002A near 0A and ± 0.020A near 2A at 600nm
	Analogue output	  	 1V per 1 Abs (±10%), 1V = 0A offset
 1V per
100%T (±10%), 0V = 0%T offset

	Digital output	  	9 pin serial
	Dimensions	  	180 x 270 x 390 mm
	Weight	  	1.75 kg
	Power input	  	90-265 V, 50/60 Hz, 15 VA
	
	SPECIFICATION: NOVASPEC PLUS
		
	Wavelength range	  	330 - 800 nm
	Monochromator	  	Flat grating
	Wavelength calibration	  	Automatic upon switch on
	Spectral bandwidth	  	7 nm
	Wavelength accuracy	  	±2nm
	Wavelength reproducibility	  	±1nm
	Light sources	  	Pulsed Tungsten halogen

  

					
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	Detector	  	Diode array
	Photometric range	  	- 0.300 to 2.500A, 0.3 to 199%T
	Photometric linearity	  	± 2.0% or ± 0.010A to 1.000A at 546nm, whichever is the greater
	Photometric reproducibility	  	< 0.002 A at 0A and 500nm
	Stray Light	  	< 1%T 340nm according to ANSI/ASTM E387-72
	Stability	  	±0.005A/h at 0A and 546nm after warm-up
	Noise	  	v 0.002A near 0A and ± 0.020A near 2A at 600nm
	Analogue output	  	 1V per 1 Abs (±10%), 1V = 0A offset
 1V per
100%T (v10%), 0V = 0%T offset

	Digital output	  	9 pin serial
	Dimensions	  	180 x 270 x 390 mm
	Weight	  	1.75 kg
	Power input	  	90-265 V, 50/60 Hz, 15 VA

  

					
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 SWIFT II 
 This software operates in the Windows® 95, 98, 2000 and
NT environments and comprises a number application modules, listed below. 
  

							
	 Full name
	 	 Module name
	 	 Abbreviation
	 	 Folder Name

	 Wavelength Scanning
	 	SCAN	 	WS	 	Wavescan
	 Reaction Kinetics
	 	KIN	 	RK	 	Kinetics
	 Quantification
	 	QUANT	 	QA	 	Quantity
	 Time Drive
	 	TIME	 	TD	 	Tdrive
	 Multi Wavelength
	 	MULTI	 	MW	 	Multi
	 Fraction Analysis
	 	FRAC	 	FA	 	Fraction
	 Culture
	 	CULTURE	 	CU	 	Culture
	 Melting temperature
	 	Tm	 	Tm	 	Tm

 SWIFT II CFR 
 This software operates in the Windows® 2000 and XP
environments and comprises a number of application modules, listed below. 
  

							
	 Full name
	 	 Module name
	 	 Abbreviation
	 	 Folder Name

	 Wavelength Scanning
	 	SCAN	 	WS	 	Wavescan
	 Reaction Kinetics
	 	KIN	 	RK	 	Kinetics
	 Quantification
	 	QUANT	 	QA	 	Quantity
	 Time Drive
	 	TIME	 	TD	 	Tdrive
	 Multi Wavelength
	 	MULTI	 	MW	 	Multi
	 Fraction Analysis
	 	FRAC	 	FA	 	Fraction
	 Culture
	 	CULTURE	 	CU	 	Culture
	 Melting temperature
	 	Tm	 	Tm	 	Tm
	 CFR Administrator
	 	CFR Admin	 	CFR Admin	 	

 Instrument Control is associated with each of these application modules. This simulates the display of a
stand-alone instrument, representing basic operation mode. After installation of the software, this should be the first module examined (Folder name is Instrument). 
  

					
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	 •
	 	 The Application utilizes the security model provided with Windows® 2000/XP. Users are identified by there Windows® login name & password, eliminating the need for separate password list. The Windows® 2000/XP handles the authentication and data security based on the privileges. 

  

	 •
	 	 The Application enables administrator to set permissions and access rights for each Windows® user group. 

  

	•	 	 CFR Admin module provides system administrators with, user management capabilities and to enable the required security functions to be established.

  

	•	 	 Dialog boxes display parameters, control options and results. The applications make use of the new style controls, especially the tabbed dialog boxes, which
allow the various dialog box contents to be grouped into logical pages. The new Windows Controls are used throughout the applications to enhance the program. 

  

	•	 	 The applications all accept drag and drop, allowing files to be dropped onto the application. The files are loaded automatically, and processed in a manner
suitable to the window type upon which it falls. 

  

	•	 	 The colours and line styles for each application can be defined using the dialog box in the Setup page. In some cases text sizes can also be defined, for
ease of use and visibility. 

  

	•	 	 Printouts are divided into three categories; these are Index (group) Reports, Graph (individual) Reports and Spreadsheet Reports. The report can be broken
down into different printable components that can be customised to suit. The graphs can be customised independently of the display, and the contents of the report can be defined to include parameters, graphs, and results and data points. The colours
of the graph can be defined (including line styles), and the grid can be turned On/Off. Add-in sections can also be defined and allow the contents of an existing .TXT file to be added to the printouts. 

  

	•	 	 The colours of the graph can be defined (including line styles), and the grid can be turned On/Off. The axis can be defined independently of the scaling
modes. Labels and Results formatting can be switched On/Off, and if relevant, the display modes can be specified. 

  

	•	 	 Schemes for the above options can be defined to suit user preference and recalled for use when appropriate, making for ease of use in a multi user
environment. 

  

	•	 	 All results obtained with the software can be saved in a format that is compatible with Microsoft Excel. 

  

	•	 	 Graphical results are copied to clipboard in a metafile format for ease of importing into, and scaling within, other software packages.

  

	 •
	 	 The Application provides exporting data into various formats including Microsoft® Excel Spread Sheets and Adobe® Acrobat® 

  

	•	 	 On line, context sensitive help is available. 

  

					
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 The software has been produced in accordance with the ISO 9001 certification of the manufacturer. 
  

	•	 	 The principle of Good Laboratory Practice (GLP) is that a record is kept of instrument performance. The audit trail, or automatic run log as it can be known, is a
record of the software manipulations that are carried out in order to obtain the experimental result. In particular, it is a means of ensuring that data points are not edited to give, for example, a better straight line than was actually obtained
during an analysis. 

  

	•	 	 The Audit Logs in the application are divided into two categories; File level log keeps track of the operations performed on the particular file (Ex:
- Save, Print, Math Operations etc.). Application Level Log keeps track of the operations performed by different modules (Ex: - Login time, Logoff time, mode of operation etc.) 

  

	•	 	 If requested, the instrument will go through a GLP self test routine upon switch on and calibration. A GLP print out is available on request.

  

					
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	SPECIFICATION: Ultrospec 2100
		
	Wavelength range	  	190 - 900nm
	Monochromator	  	1200 lines/mm Aberration corrected concave grating
	Maximum scanning speed	  	3000 nm/minute
	Spectral bandwidth	  	< 3nm
	Wavelength accuracy	  	± 1nm
	Wavelength reproducibility	  	± 0.5nm
	Light source	  	xenon lamp
	Detectors	  	two silicon photodiodes
	Photometric range	  	- 3.000 to 3.000A, -9999 to 9999 concentration units, 0.1 to 200%T
	Photometric accuracy	  	± 0.5% or ± 0.003A to 3.000A at 546 nm, whichever is the larger
	Photometric reproducibility	  	within 0.5% of absorbance value to 3.000A at 546 nm
	Stability	  	± 0.001A per hour at 340nm at 0A
	Stray light	  	<0.05%T at 220nm using NaI and <0.05%T at 340nm using NaNO2
	Digital output	  	9 pin serial and Centronics parallel
	Sample compartment size	  	210 x 140 x 80mm
	Dimensions	  	510 x 350 x 160mm
	Weight	  	13kg
	Power requirements	  	100 - 240V AC ± 10%, 50/60Hz, 80VA
	
	SPECIFICATION: Ultrospec 3100
		
	Wavelength range	  	190 - 900nm
	Monochromator	  	1200 lines/mm Aberration corrected concave grating
	Maximum scanning speed	  	3000 nm/minute
	Spectral bandwidth	  	< 3nm
	Wavelength accuracy	  	± 1nm
	Wavelength reproducibility	  	± 0.5nm
	Light source	  	xenon lamp
	Detectors	  	two silicon photodiodes
	Photometric range	  	- 3.000 to 3.000A, -99999 to 99999 concentration units, 0.1 to 200%T

  

					
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	Photometric accuracy	  	± 0.5% or ± 0.003A to 3.000A at 546 nm, whichever is the larger
	Photometric reproducibility	  	within 0.5% of absorbance value to 3.000A at 546nm
	Stability	  	± 0.001A per hour at 340nm at 0A
	Stray light	  	<0.05%T at 220nm using NaI and <0.05%T at 340nm using NaNO2
	Digital output	  	9 pin serial and Centronics parallel
	Sample compartment size	  	210 x 140 x 80mm
	Dimensions	  	520 x 370 x 230mm
	Weight	  	13kg
	Power requirements	  	90 - 265V AC ± 10%, 50/60Hz, 80VA

  

					
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	SPECIFICATION: Ultrospec 3300
		
	Wavelength range	  	190 -1100nm in 0.1nm data intervals
	Monochromator	  	1200 lines/mm Aberration corrected concave grating
	Maximum scanning speed	  	7300 nm/minute at 2 nm intervals
	Spectral bandwidth	  	< 1.8nm
	Wavelength accuracy	  	± 0.7nm
	Wavelength reproducibility	  	± 0.2nm
	Light source	  	Tungsten halogen and deuterium lamps
	Detectors	  	silicon photodiode
	Photometric range	  	- 3.000 to 3.000A, -99999 to 99999 concentration units, 0.1 to 200%T
	Photometric accuracy	  	± 0.5% or ± 0.003A to 3.000A at 546 nm, whichever is the larger
	Photometric reproducibility	  	within 0.5% of absorbance value to 3.000A at 546nm
	Stability	  	± 0.001A per hour at 340nm at 0A after warm up (deuterium lamp)
	Stray light	  	<0.025%T at 220nm using NaI and <0.025%T at 340nm using NaNO2
	Digital output	  	9 pin serial and Centronics parallel
	Sample compartment size	  	210 x 140 x 80mm
	Dimensions	  	520 x 370 x 230mm
	Weight	  	13kg
	Power requirements	  	90 - 265V AC, 50/60Hz, 150VA

  

					
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	SPECIFICATION: Ultrospec 4300
		
	Wavelength range	  	190 - 1100nm, in 0.1 nm steps
	Monochromator	  	1200 lines/mm Aberration corrected concave grating
	Spectral bandwidth	  	1.8 nm
	Scan speeds	  	6200 nm/minute survey scan at 1.0 nm steps down to 405 nm/minute fine detail scan at 0.1 nm steps
	Wavelength accuracy	  	± 0.7 nm
	Wavelength reproducibility	  	± 0.2nm
	Light sources	  	tungsten halogen and deuterium lamps
	Detector	  	silicon photodiode
	Photometric range	  	- 3.000 to 3.000A, 0.01 to 99999 concentration units, 0.1 to 200%T
	Photometric accuracy (linearity)	  	± 0.5% or ± 0.003A to 2.000A at 546 nm, whichever is the greater
	Photometric reproducibility	  	within 0.5% of absorbance value to 3.000A at 546nm
	Noise	  	 ± 0.001A near 0A at 546nm,
 ± 0.002A near
2A at 546nm

	Baseline flatness	  	± 0.003A
	Stability	  	± 0.001A per hour at 340nm near OA after warm-up (tungsten lamp)
	Stray light	  	< 0.025%T at 220nm using NaI and < 0.025%T at 340nm using NaNO2
	Digital output	  	9 pin Serial
	Sample compartment size	  	210 x 140 x 80mm
	Dimensions	  	500 x 360 x 190mm
	Weight	  	13kg
	Power requirements	  	90-265 V AC, 50/60Hz, 150VA

  

					
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	SPECIFICATION: Ultrospec 5300
		
	Wavelength range	  	190 - 1100nm, in 0.1 nm steps
	Monochromator	  	1200 lines/mm Aberration corrected concave grating
	Spectral bandwidth	  	1.0 nm
	Scan speeds	  	2100 nm/minute survey scan at 1.0 nm steps down to 135 nm/minute fine detail scan at 0.1 nm steps
	Wavelength accuracy	  	± 0.5 nm
	Wavelength reproducibility	  	± 0.2nm
	Light sources	  	tungsten halogen and deuterium lamps
	Detector	  	silicon photodiode
	Photometric range	  	- 3.000 to 3.000A, 0.01 to 99999 concentration units, 0.1 to 200%T
	Photometric accuracy (linearity)	  	± 0.5% or ± 0.003A to 2.000A at 546 nm, whichever is the greater
	Photometric reproducibility	  	within 0.5% of absorbance value to 3.000A at 546nm
	Noise	  	 ± 0.001A near 0A at 546nm,
 ± 0.002A near
2A at 546nm

	Baseline flatness	  	± 0.003A
	Stability	  	± 0.001A per hour at 340nm near 0A after warm-up (tungsten lamp)
	Stray light	  	< 0.025%T at 220nm using NaI and < 0.025%T at 340nm using NaNO2
	Digital output	  	9 pin Serial
	Sample compartment size	  	210 x 140 x 80mm
	Dimensions	  	500 x 360 x 190mm
	Weight	  	13kg
	Power requirements	  	90-265 V AC, 50/60Hz, 150VA

  

					
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	SPECIFICATION AND WARRANTY: Ultrospec 6300
		
	Wavelength range	  	190 -1100nm in 0.1nm data intervals
	Monochromator	  	1200 lines/mm Aberration corrected concave grating
	Maximum scanning speed	  	2450 nm/minute at 2 nm intervals
	Spectral bandwidth	  	1.0nm
	Wavelength accuracy	  	± 0.5nm
	Wavelength reproducibility	  	± 0.2nm
	Light source	  	Tungsten halogen and deuterium lamps
	Detectors	  	silicon photodiode
	Photometric range	  	- 3.000 to 3.000A, -99999 to 99999 concentration units, 0.1 to 200%T
	Photometric accuracy	  	± 0.5% or ± 0.003A to 3.000A at 546 nm, whichever is the larger
	Photometric reproducibility	  	within 0.5% of absorbance value to 3.000A at 546nm
	Stability	  	± 0.001A per hour at 340nm at 0A after warm up (deuterium lamp)
	Stray light	  	<0.025%T at 220nm using NaI and <0.025%T at 340nm using NaNO2
	Digital output	  	9 pin serial and Centronics parallel
	Sample compartment size	  	210 x 140 x 80mm
	Dimensions	  	520 x 370 x 230mm
	Weight	  	13kg
	Power requirements	  	90 - 265V AC, 50/60Hz, 150VA
	
	SPECIFICATION: ULTROSPEC 10
		
	Wavelength	  	600nm
	Bandwidth	  	40nm
	Range	  	Optical Density –0.3A to 1.99A
	Accuracy	  	<±0.05A at 1A using Neutral Density Filters
	Repeatability	  	±0.02A at 1A
	Cuvette holder	  	Fixed with drain hole. Accepts 10mm pathlength semi micro and macro cuvettes or 14-17mm round tubes.
	Output	  	RS232

  

					
	GE Healthcare Proprietary and Confidential	 		  	
	09oct06	 	37	  	

			
	Memory	  	99 readings
	Display	  	Custom LCD
	Power requirements	  	External power adaptor (110 to 220V, 50/60Hz, 20VA) or internal rechargeable NiMH battery
	Approximate dimensions	  	180 x 150 x 60mm
	Weight	  	0.6kg

  

					
	GE Healthcare Proprietary and Confidential	 		  	
	09oct06	 	38	  	

			
	SPECIFICATION: ULTROSPEC 20
		
	Wavelength range	  	440 – 680nm
	Standard gelatin filters	  	440, 470, 490, 520, 550, 580, 590 and 680nm
	Bandwidth	  	40nm
	Range	  	 Absorbance –0.3A to 1.99A
 % Transmission – 0
– 199% T

	Accuracy	  	<±0.05A at 1A using Neutral Density Filters
	Repeatability	  	±0.02A at 1A using cuvettes
	Operational modes	  	Absorbance, Transmission, Kinetics
	Cuvette holder	  	Fixed with drain hole. Accepts 10mm pathlength semi micro and macro cuvettes or 16mm round tubes. Can accept 10-12mm tubes with optional adapters
	Output	  	 0 – 2V for 0 – 2Abs or 0 – 1.99V for 0 –199%T (via 2 x 4mm sockets, ~ 100mV offset in the output voltage)
 RS232

	Power requirements	  	External power adaptor (110 to 220V, 50/60Hz, 20VA) or internal rechargeable NiMH battery (mains/battery version only)
	Approximate dimensions	  	180 x 150 x 60mm
	Weight	  	0.6kg

  

					
	GE Healthcare Proprietary and Confidential	 		  	
	09oct06	 	39	  	

			
	SPECIFICATION: NanoVue
		
	Wavelength range	  	200-1100 nm (scanning 200-950 nm)
	Monochromator	  	Flat grating
	Wavelength calibration	  	Automatic upon switch on
	Wavelength accuracy	  	±2 nm across range, ±1 nm from 240nm to 330nm
	Wavelength reproducibility	  	±0.5 nm
	Light sources	  	Pulsed xenon lamp
	Detector	  	Dual 1024 element CCD arrays
	Photometric range	  	0 to 125 A(10mm pathlength equivalence)
	Photometric accuracy	  	±1% at 257nm at 0.7-0.8A
	Digital output	  	USB port standard, Bluetooth option
	Dimensions	  	260 x 390 x 100 mm
	Weight	  	<4.5 kg
	Power input	  	18Vdc from a 90-250 V, 50/60 Hz, Max 30 VA mains power pack

 SPECIFICATION: GENEQUANT CAPILLIARY CELL 
  

	•	 	 Use of the capillary cell enables the user to avoid the time and sample wasted in dilution of concentrated nucleic acid material isolated from, for example, a
minprep or PCR amplification procedure prior to quantification at 260 nm. Dilution is normally carried out to bring the sample absorbance, typically up to 40 OD, to within the standard spectrophotometric range, typically up to 3 OD, when using a
standard 10 mm pathlength cell. 

  

	•	 	 The pathlength of the quartz capillaries used in the capillary cell is 0.5mm. This pathlength therefore gives an absorbance reading that is one-twentieth the
reading given by the same sample in a standard 10mm pathlength cell. Use of the capillary cell is ideal for samples of low volume and high concentrations and measurements on samples as small as 3 μl in volume may be performed. Diluted samples
will typically give variable absorbance readings and therefore poor reproducibility because the readings will approach the noise level of the spectrophotometer used. 

  

					
	GE Healthcare Proprietary and Confidential	 		  	
	09oct06	 	40	  	

			
	SPECIFICATION: Ultrospec 500 asnd 1100
		
	Wavelength range	  	325- 900 nm (Ultrospec 500 pro) or 200 – 900 nm (Ultrospec 1100 pro)
	Monochromator	  	Plane grating with 1200 lines/mm
	Wavelength calibration	  	automatic upon switch on
	Spectral bandwidth	  	5 nm
	Wavelength accuracy	  	±2nm
	Wavelength reproducibility	  	± 0.5nm
	Light sources	  	tungsten halogen and deuterium arc (Ultrospec 1100 pro)
	Detector	  	single solid state silicon photodiode
	Photometric range	  	- 0.300 to 3.000A, 0.01 to 99999 concentration units, 0.1 to 200%T
	Photometric linearity	  	±0.5% or ± 0.005A to 2.000A at 546nm, whichever is the greater
	Photometric reproducibility	  	0.5% of absorbance value to 2.000A at 546nm
	Stray Light	  	typically <0.2%T at 220nm using NaI, <0.2%T at 340nm using NaNO2 according to ANSI/ASTM
E387-72
	Stability	  	±0.002A/h at 0A and 546nm after warm-up, typically 30 minutes
	Noise	  	± 0.001A near 0A and ± 0.002A near 2A at 600nm
	Scan speed	  	250 nm/minute
	Analogue output	  	100mV per 1.000A via interface lead
	Digital output	  	 Centronics parallel as standard
 9 pin serial via
interface adapter lead

	Dimensions	  	370 x 430 x 130 mm
	Weight	  	6 kg
	Power requirements	  	90-265 V, 50/60 Hz, 100 VA

  

					
	GE Healthcare Proprietary and Confidential	 		  	
	09oct06	 	41	  	

 GE Healthcare shall receive the full benefit of any component or material price savings resulting from the use of GE
preferred suppliers or suppliers identified by GE Healthcare on Products purchased by GE Healthcare. During the first year of a savings benefit Biochrom will calculate the benefit amount quarterly within fifteen (15) days of quarter end and
issue GE Healthcare a corresponding credit, which GE Healthcare may use in the following year to apply against invoice payments. Following the first year of savings, the Price to GE Healthcare will be reduced to reflect the savings benefit.

 Biochrom shall be entitled to the full benefit of any component or material price savings resulting from the use of GE Healthcare preferred suppliers or
suppliers identified by GE Healthcare on products sold by Biochrom to other customers. 
 Instruments 
  

					
	 	  	Part Number	  	2008 GE Healthcare
Transfer Price
	 GE Healthcare Spectros
	  		  	
	 Ultrospec 10
	  	80-2116-30	  	[***]
	 Ultrospec 20
	  	80-2116-36	  	[***]
	 Novaspec III
	  	80-2118-00	  	[***]
	 Novaspec Plus
	  	80-2117-50	  	[***]
	 Novaspec Plus + HCH
	  	80-2117-51	  	[***]
	 Ultrospec 500 pro
	  	80-2112-50	  	[***]
	 Genequant III (100)
	  	80-2130-00	  	[***]
	 Genequant III (100) + Printer
	  	80-2130-01	  	[***]
	 Genequant III (100) + Bluetooth
	  	80-2130-02	  	[***]
	 Genequant III (1300)
	  	80-2120-00	  	[***]
	 Genequant III (1300) + Printer
	  	80-2120-01	  	[***]
	 Genequant III (1300) + Bluetooth
	  	80-2120-02	  	[***]
	 NanoVue
	  	80-2140-00	  	[***]
	 NanoVue + Printer
	  	80-2140-01	  	[***]
	 NanoVue + Bluetooth
	  	80-2140-02	  	[***]
	 NanoVue (US)
	  	80-2140-20	  	[***]
	 NanoVue + Printer (US)
	  	80-2140-21	  	[***]
	 NanoVue + Bluetooth (US)
	  	80-2140-22	  	[***]
	 Ultrospec 1100 pro
	  	80-2112-00	  	[***]
	 Ultrospec 2100 pro
	  	80-2112-21	  	[***]
	 Ultrospec 3100 pro
	  	80-2112-31	  	[***]
	 Ultrospec 3300 pro
	  	80-2112-33	  	[***]
	 Ultrospec 4300 pro
	  	80-2112-43	  	[***]
	 Ultrospec 5300 pro
	  	80-2117-70	  	[***]
	 Ultrospec 6300 pro
	  	80-2117-60	  	[***]

  

					
	GE Healthcare Proprietary and Confidential	 		  	
	09oct06	 	42	  	

 Accessories and Spares 
  

					
	 Product Description
	  	 ProductID
	  	 2008 GE
 Transfer Price

	 Deuterium Lamp Assy
	  	80-2106-17	  	[***]
	 Deuterium Lamp Assy
	  	80-2109-11	  	[***]
	 Sipper - Ultrospec 2000 Series
	  	80-2106-15	  	[***]
	 Sipper - Ultrospec Pro Series
	  	80-2112-15	  	[***]
	 Concave Diffraction Grating
	  	80-2106-80	  	[***]
	 Power Supply Assy (Ce)Supp til
	  	80-2107-39	  	[***]
	 Deuterium Lamp Assy Gqpro
	  	80-2109-86	  	[***]
	 10mm Peltier Heated Cell Holde
	  	80-2106-13	  	[***]
	 Swift II - Method V2.6
	  	80-2108-31	  	[***]
	 Main Pcb Replacemnt Gq Pro+Cur
	  	80-2114-51	  	[***]
	 Deuterium Lamp Genequant
	  	80-2104-56	  	[***]
	 Deuterium Lamp And Mount Asy v
	  	80-2100-58	  	[***]
	 Printer Paper (Packet 5) Therm
	  	80-2009-80	  	[***]
	 Temperature Control Unit
	  	80-2105-49	  	[***]
	 Microvolume Cell Holder (50 uL
	  	80-2106-09	  	[***]
	 Swift II Cfr Compliant Softwar
	  	80-2117-57	  	[***]
	 Ultramicrovol Cell Hldr, 2ax a
	  	80-2106-06	  	[***]
	 10mm Single Cell Holder
	  	80-2106-05	  	[***]
	 Dpu414 Parallel 220/240V Print
	  	80-2108-80	  	[***]
	 Main Pcb Assy 4082 SuppTill07
	  	80-2110-35	  	[***]
	 Serv Filter Kit Only All Brnds
	  	80-2116-67	  	[***]
	 Tm Progr Heated C Holdr+ s/w
	  	80-2106-14	  	[***]
	 Tungsten Halogen Lamp
	  	80-2106-16	  	[***]
	 Serial I/F Adptr Lead +ss s/w
	  	80-2109-02	  	[***]
	 Printer Stand Ultrospec 2100 P
	  	80-2112-13	  	[***]
	 Main Pcb Assembly
	  	80-2110-11	  	[***]
	 RS232C I/F Cable M/F 9-9
	  	80-2105-97	  	[***]
	 Keyboard + Window Supp til08
	  	80-2106-50	  	[***]
	 Main Pcb Assy, U2100Pro
	  	80-2111-22	  	[***]
	 Swift 1000 V2.06
	  	80-2110-00	  	[***]
	 6 Posn Peltier Heated Cell Ch
	  	80-2106-04	  	[***]
	 Tungsten Lamp 20W 12V
	  	80-2022-94	  	[***]
	 GQ Calibration Check Filter Se
	  	80-2109-88	  	[***]
	 Xenon Lamp
	  	80-2111-29	  	[***]
	 Spreadsheet Interface Software
	  	80-2110-73	  	[***]
	 Grating Holographic
	  	80-2073-87	  	[***]
	 Water Heatd Cell Holder,10-40m
	  	80-2106-08	  	[***]
	 Deuterium Lamp & Collar
	  	80-2103-29	  	[***]
	 MAIN PCB 4040 (CE)
	  	80-2107-34	  	[***]
	 Lamp Assy U100 Pro Spares
	  	80-2115-33	  	[***]
	 Epson-Ibm Parallel I/F Lead
	  	80-2071-87	  	[***]

  

					
	GE Healthcare Proprietary and Confidential	 		  	
	09oct06	 	43	  	

					
	 2 Position Manual Cell Changer
	  	80-2109-04	  	[***]
	 U3100 Keyboard Assy Spare AB
	  	80-2112-11	  	[***]
	 Xenon Psu Pcb Assy
	  	80-2111-26	  	[***]
	 8 Posn Water Heated Cell Chang
	  	80-2109-70	  	[***]
	 Printer Stand
	  	80-2109-96	  	[***]
	 Main PCB Assy, U3100
	  	80-2111-20	  	[***]
	 VGA Display 31/3300
	  	80-2111-67	  	[***]
	 U2100 Keyboard Assy Spare AB
	  	80-2112-12	  	[***]
	 Keyboard-G/Q Pro & Pro + Spare
	  	80-2116-64	  	[***]
	 Keybrd/Display Assy New. Till0
	  	80-2110-17	  	[***]
	 U3300Pro Keybrd & Window AB
	  	80-2114-44	  	[***]
	 PVC Software for GeneQuant 100
	  	80-2120-20	  	[***]
	 Grating Assy. Support Till Aug
	  	80-2077-48	  	[***]
	 Filter Update Kit+Slv v1.5
	  	80-2110-28	  	[***]
	 Hplc Cell Holder And Flowcell
	  	80-2106-11	  	[***]
	 Power Supply +15V 5.5A Spares
	  	80-2114-34	  	[***]
	 Filter Wheel & Motor Assy till
	  	80-2077-51	  	[***]
	 Dpu-414 Serial 220/240V Printe
	  	80-2108-79	  	[***]
	 Xenon Lamp GQ1300/100
	  	80-2130-12	  	[***]
	 Keyboard & Window Supp till08
	  	80-2111-31	  	[***]
	 Filter 10 Dia * 1 Thk Supp Til
	  	80-2078-04	  	[***]
	 Photometer Pcb Assy Supp til08
	  	80-2108-09	  	[***]
	 Power Supply
	  	80-2111-28	  	[***]
	 Keyboard + Window AB Supp til0
	  	80-2106-57	  	[***]
	 Filter Quadrt Assy Supp end08
	  	80-2107-48	  	[***]
	 Photometer Pcb Assy
	  	80-2109-38	  	[***]
	 Power Supply +24V 1.6A Spares
	  	80-2114-35	  	[***]
	 Display Replacement Gq Pro
	  	80-2114-50	  	[***]
	 Cylindrical Cell Holder
	  	80-2106-10	  	[***]
	 Dc-Dc Converter Assy
	  	80-2111-27	  	[***]
	 Co-Pro Pcb Assy U3300 Pro PTR
	  	80-2117-12	  	[***]
	 Inverter Pcb Assy Spares Item
	  	80-2114-36	  	[***]
	 Photometer Sig Chan Assy U2100
	  	80-2114-91	  	[***]
	 Photometer Pcb Support Till 20
	  	80-2077-69	  	[***]
	 Gq1300 Main Pcb
	  	80-2120-16	  	[***]
	 GQ100 Main Pcb
	  	80-2130-10	  	[***]
	 Support Plinth Ultrospec Pro S
	  	80-2112-14	  	[***]
	 FILTER QUADRANT
	  	80-2109-41	  	[***]
	 Lamp-Select Motor
	  	80-2109-39	  	[***]
	 U500Pro Keyboard Ab Spare
	  	80-2116-86	  	[***]
	 Test Tube Adapters (10,12,16mm
	  	80-2117-47	  	[***]
	 Cover Spring Update Kit
	  	80-2115-42	  	[***]
	 10mm Electr Heated Cell Holder
	  	80-2106-12	  	[***]
	 Main PCB 4080
	  	80-2104-57	  	[***]
	 Top Cover Assy 4082 Supp Till0
	  	80-2110-32	  	[***]

  

					
	GE Healthcare Proprietary and Confidential	 		  	
	09oct06	 	44	  	

					
	 Gq1300/100 Display
	  	80-2120-17	  	[***]
	 Control Eprom Assy U1100
	  	80-2118-39	  	[***]
	 Photometer Pcb’S 4082
	  	80-2110-33	  	[***]
	 Qual/Perf Verif Logbook For Bi
	  	80-2109-50	  	[***]
	 Filter Quadrant Assy, Xe
	  	80-2111-39	  	[***]
	 Tungsten Dtw Pcb Assy Spares
	  	80-2114-33	  	[***]
	 Membrane Keypad (U10)
	  	80-2118-99	  	[***]
	 Display - Genequant
	  	80-2106-23	  	[***]
	 U1100 Pro Keyboard Ab Spare
	  	80-2116-84	  	[***]
	 Vdas Photodiode Array Assembly
	  	80-2118-75	  	[***]
	 Top Cover Assy Classic
	  	80-2114-46	  	[***]
	 Multi-Size Sample Holder Nova2
	  	80-2077-57	  	[***]
	 Psu 18V Gq1300/100
	  	80-2120-12	  	[***]
	 Filter Wheel Assy 4082
	  	80-2110-34	  	[***]
	 Control EProm V1.9
	  	80-2112-06	  	[***]
	 Hitachi LCD Display
	  	80-2111-23	  	[***]
	 50mm Single Cell Holder
	  	80-2106-07	  	[***]
	 U3300 Mains Input Components
	  	80-2118-78	  	[***]
	 Chart Recorder Lead
	  	80-2109-03	  	[***]
	 Spectrophotometry Demo Kit
	  	80-2108-64	  	[***]
	 Membrane Keyboard
	  	80-2090-96	  	[***]
	 SINGLE CELL HOLDER - USE
	  	80-2108-10	  	[***]
	 Display Assy 1100 Pro
	  	80-2114-38	  	[***]
	 Filter Motor Assembly
	  	80-2118-15	  	[***]
	 Filter Wheel S/A Support till0
	  	80-2077-52	  	[***]
	 Pump Tubing (Pkt Of 6)
	  	80-2080-74	  	[***]
	 PTR Lamp Select Motor
	  	80-2117-29	  	[***]
	 Filter 10 Dia * 1 Thk Supp til
	  	80-2078-03	  	[***]
	 Lamp Select Mirror 4090
	  	80-2108-62	  	[***]
	 Dust Cover
	  	80-2109-13	  	[***]
	 GQ1300/100 Keypad
	  	80-2130-15	  	[***]
	 Filter Quadrant Assy U1100/500
	  	80-2114-37	  	[***]
	 Printer Cable (Seiko) 9Way M-F
	  	80-2118-18	  	[***]
	 CHART RECORDER CABLE
	  	80-2105-95	  	[***]
	 Filter Motor Assembly
	  	80-2106-46	  	[***]
	 Filter Motor Assembly
	  	80-2109-40	  	[***]
	 Adj Lens Target
	  	80-2001-13	  	[***]
	 Keyboard - Genequant II
	  	80-2106-22	  	[***]
	 Keyboard - Genequant
	  	80-2106-21	  	[***]
	 Fitting Kit Extnl Sample Deliv
	  	80-2109-08	  	[***]
	 Collimating Mirror
	  	80-2104-54	  	[***]
	 50mm Pathlength Cell Holder
	  	80-2109-05	  	[***]
	 Lamp Holder - Support to Aug09
	  	80-2005-85	  	[***]
	 Lens Cleaning Cloth
	  	80-2046-49	  	[***]
	 Lamp Access Cover supp til 08
	  	80-2108-60	  	[***]
	 Contrl Eprom Assy V1.8 IC106
	  	80-2110-54	  	[***]
	 Side Arm Spring Clip For GQ
	  	80-2105-64	  	[***]

  

					
	GE Healthcare Proprietary and Confidential	 		  	
	09oct06	 	45	  	

 Attachment D 
 Supplier Integrity Statement 
 [ see separate attachment ] 
  

					
	GE Healthcare Proprietary and Confidential	 		  	
	09oct06	 	46	  	

			
	

	 	 A Message from GE Healthcare
  
 General Electric Company and its GE Healthcare business (“GE”) are committed to unyielding Integrity and high standards of business conduct in everything we do,
especially in our dealings with our suppliers, service providers and consultants (collectively “suppliers”). Integrity is the foundation upon which we build our business success – our quality products and services, our forthright
relations with customers and suppliers and, ultimately, our winning record. GE’s quest for excellence begins and ends with our commitment to ethical conduct.
  
 GE bases supplier relationships on lawful, efficient and fair practices, and expects its suppliers to adhere to applicable legal requirements in their business
relationships, including those with their employees, with their local communities and with GE. The quality of our supplier relationships often has a direct bearing on the quality of our customer relationships. Likewise, the quality of our
suppliers’ products and services affects the quality of our own products and services.
  
 To help GE suppliers understand the GE commitment to unyielding Integrity and the standards of business conduct that all GE suppliers must meet, GE has prepared this Integrity Guide for Suppliers, Service Providers and
Consultants. The Guide is divided into four sections:
  
 •        GE Code of Conduct
  
 •        GE Compliance Obligations
  
 •        Responsibilities of GE Suppliers
  
 •        How to Raise an Integrity Concern
  
 Suppliers should carefully review this Guide, especially the section, Responsibilities of GE
Suppliers. Suppliers are responsible for ensuring that they and their employees and representatives comply with the standards of conduct required of GE suppliers. Please contact the GE manager you work with or any GE Compliance Resource if you
have any questions about this Guide or the standards of conduct required of GE suppliers.
  
 GE Code of Conduct
  
 GE’s commitment to total, unyielding Integrity
is set forth in GE’s Compliance Handbook, Integrity: The Spirit and The Letter of Our Commitment (the “Spirit & Letter”). The policies set forth in the Spirit & Letter govern the
conduct of all GE employees and are supplemented by compliance procedures and guidelines adopted by GE components. All GE employees must comply not only with the “letter” of the Company’s compliance policies, but also with their
“spirit.”
  
 The “spirit” of GE’s Integrity commitment is set
forth in the GE Code of Conduct, which each GE employee has made a personal commitment to follow:
  
 •        Obey applicable laws and regulations governing our business conduct
worldwide.
  
 •        Be honest, fair and trustworthy in all of your GE activities and relationships.
  
 •        Avoid all conflicts of interest between work and personal
affairs.
  
 •        Foster an atmosphere in which equal opportunity extends to every member of the diverse GE community.
  
 •        Strive to create a safe workplace and to protect the
environment.
  
 •        Through leadership at all levels, sustain a culture where ethical conduct is recognized, valued and exemplified by all employees.
  
 At GE, nothing – not customer service, competitiveness, direct orders from
a
 supervisor or “making the numbers” – is more important than Integrity.

  

 Integrity Guide for Suppliers, Service Providers, and Consultants 

									
		  	Page 1 of 5	  		  	25 Nov 2004	  	

 GE Compliance Obligations 
 All GE employees are obligated to comply with the requirements – the “letter”– of GE’s compliance policies set forth in the Spirit & Letter. These policies implement the GE Code of Conduct and are
supplemented by compliance procedures and guidelines adopted by GE businesses. A summary of some of the key compliance obligations of GE employees follows: 
 CONFLICTS OF INTEREST 
  

	•	 	 Financial, business, or other non-work related activities must be lawful and free of conflicts with one’s responsibilities to GE. 

 

	•	 	 All personal or family relationships, including those of significant others, with current or prospective suppliers you select, manage or evaluate, must be reported
to GE management. 

  

	•	 	 GE equipment, information or other property must not be used to conduct personal or non-GE business without prior permission from GE management.

 IMPROPER PAYMENTS 
  

	•	 	 GE employees must always adhere to the highest standards of honesty and integrity in all contacts on behalf of GE. They must never offer bribes, kickbacks, illegal
political contributions or other improper payments to any customer, government official or third party. They must follow the laws of the United States and other countries relating to these matters. 

  

	•	 	 GE employees must not give significant gifts or provide any extravagant entertainment to a customer or supplier without prior GE management approval. They must make
sure all business entertainment and gifts are lawful and disclosed to the other party’s employer. 

  

	•	 	 They must employ only reputable people and firms as GE representatives and understand and obey any requirements governing the use of third party representatives.

 SUPPLIER RELATIONSHIPS 
  

	•	 	 GE employees must only utilize suppliers that comply with applicable legal requirements in their business relationships, including those with their employees, their
local environments and with GE. 

  

	•	 	 GE employees must follow applicable laws and government regulations covering supplier relationships. 

  

	•	 	 GE employees must provide a competitive opportunity for suppliers to earn a share of GE’s purchasing volume, including small businesses and businesses owned by
the disadvantaged, minorities and women. 

 COMPLYING WITH COMPETITION LAWS 
  

	•	 	 GE employees must never propose or enter into any agreement with a GE competitor to fix prices, terms and conditions of sale, costs, profit margins, or other
aspects of the competitive process. 

  

	•	 	 GE employees must not propose or enter into any agreements or understandings with GE customers restricting resale prices. 

 FOLLOWING INTERNATIONAL TRADE CONTROLS 
  

	•	 	 GE employees must understand and follow applicable international trade control and customs laws and regulations, including those in the Integrity Guide for
Suppliers, Service Providers, and Consultants relating to licensing, shipping and import documentation and reporting and record retention requirements. 

  

	•	 	 GE employees must never participate in boycotts or other restrictive trade practices sanctioned under U.S. law. 

  

	•	 	 GE employees must make sure all transactions are screened in accordance with applicable export/import requirements; and that any apparent conflict between U.S. and
applicable local law requirements is promptly disclosed to GE counsel. 

 INSIDER TRADING OR DEALING & STOCK TIPPING

  

	•	 	 GE employees must never buy, sell or suggest to someone else that they should buy or sell stock or other securities of any company (including GE) while aware of
significant or material nonpublic information (inside information) about that company. Information is significant or material when it is likely that an ordinary investor would consider the information important in making an investment decision.

  

	•	 	 GE employees must not pass on or disclose inside information unless necessary for the conduct of GE business — and never pass on or disclose such information
if he or she suspects that the information will be used for an improper trading purpose. GE employees must always try to avoid inadvertent disclosures of material non-public information. 

 FINANCIAL CONTROLS AND RECORDS 
  

	•	 	 GE employees must keep and report all GE records, including any time records, in an accurate, timely, complete, and confidential manner. GE employees may not
release GE records to third parties unless authorized by GE management. 

  

	•	 	 GE employees must cooperate with GE’s auditors and give them full access to any records you maintain reflecting GE transactions and business activities.

  

	•	 	 Financial statements and reports prepared for or on behalf of GE (including any component) must fairly present the financial position, results of operations, and/or
other financial data for the periods and/or the dates specified. 

 FAIR EMPLOYMENT PRACTICES 
  

	•	 	 GE employees must extend equal opportunity, fair treatment and a harassment free work environment to all employees, co-workers, consultants and other business
associates without regard to their race, color, religion, national origin, sex, age, disability, veteran status or other characteristic protected by law. 

 ENVIRONMENT, HEALTH AND SAFETY 
  

	•	 	 GE employees must learn how to conduct their activities in compliance with all applicable environmental and worker health and safety laws and regulations and
conduct their activities accordingly. 

  

	•	 	 They must ensure that all new product designs or changes or services offerings are reviewed for compliance with GE guidelines. 

 

	•	 	 GE employees must use care in handling hazardous materials or operating processes or equipment that use hazardous materials to prevent unplanned releases into
the workplace or the environment. 

  

	•	 	 GE employees must report to GE management all spills of hazardous materials; any concern that GE products are unsafe; and any potential violation of
environmental, health or safety laws, regulations or company practices or requests to violate established EHS procedures. 

 INTELLECTUAL PROPERTY 
  

	•	 	 GE employees must identify and protect commercially significant GE intellectual property. 

  

	•	 	 GE employees must respect valid patents, copyrighted materials and other protected intellectual property of others. 

 PRIVACY 
  

	•	 	 GE employees must comply with all applicable consumer and other data protection laws, regulations and treaties. 

  

	•	 	 GE employees must provide individual consumers with reasonable notices in compliance with local law. 

 MONEY LAUNDERING PREVENTION 
  

	•	 	 GE employees must comply with all applicable laws that prohibit money laundering and that require the reporting of cash or other suspicious transactions.

  

	•	 	 They must follow their business’ “Know Your Customer” procedure and obtain adequate information about prospective customers, joint venture partners
and affiliates to demonstrate that they are involved in legitimate business activities and that their funds come from legitimate sources. 

  

	•	 	 They must follow their business’ rules on acceptable forms of payment. 

  

	•	 	 Learn to identify and carefully watch for warning signs that may indicate money laundering or other illegal activities or violations of GE policies.

  

 Integrity Guide for Suppliers, Service Providers, and Consultants 

									
		  	Page 2 of 5	  		  	19 July 2005	  	

			
	 Responsibilities of GE Suppliers
  
 GE will only do business with suppliers that comply with all applicable legal requirements as well as applicable GE Policy requirements (The Spirit and the Letter of Our
Commitment), including those relating to labor, environment, health and safety, intellectual property rights and improper payments. Accordingly, suppliers that transact business with GE Healthcare are expected to adhere to standards of business
conduct consistent with those described in this section of the Guide. Your commitment to full compliance with these standards is the foundation of a mutually beneficial business relationship with GE Healthcare.
  
 In addition to supplier compliance with its contractual obligations under any purchase order or
agreement with GE, GE requires and expects that each GE supplier shall comply with all applicable legal requirements and GE Policy requirements. GE also requires that its supplier ensure that their sub-tier-suppliers similarly comply with the
same legal requirements and GE policy. These requirements include (but are not limited to):
  
 •        Code of Conduct. Maintaining and enforcing written company policies
requiring adherence to lawful business practices, including a prohibition against bribery of government officials.
  
 •        Minimum Age. Employing workers above any applicable minimum age
requirement.
  
 •        Forced Labor. Not using forced, prison or indentured labor, or workers subject to any form of compulsion or coercion.
  
 •        Environmental Compliance. Commitment to observing applicable environmental laws and regulations.
  

Actions that GE will consider evidence of a commitment to observing applicable environmental laws and regulations include:
  
 —     maintaining and
enforcing written and comprehensive environmental management programs which are subject to periodic audit;
  
 —     continuing compliance with all required environmental permits; and
  
 —     strictly not permitting
any discharge to the environment in violation of law, issued/required permits, or that would otherwise have an adverse impact on the environment.
  
 •        Health & Safety. Providing workers with a workplace that
complies with applicable health and safety standards as well as appropriate living conditions.
  
 •        Business Practices and Dealings with GE. Suppliers may NOT offer or
provide, directly or indirectly, anything of value, including cash, bribes or kickbacks, to any GE employee, representative or customer or government official in connection with any GE procurement, transaction or business dealing. Such prohibition
includes the offering or providing of any consulting, employment or similar position by a supplier to any GE employee (or their family member or significant other) involved with a GE procurement. GE also requires that a GE supplier NOT offer or
provide GE employees and representatives with any gifts, other than gifts of nominal value to commemorate or recognize a particular GE-supplier business transaction or activity. In particular, a GE supplier shall not offer, invite or permit GE
employees and representatives to participate in any supplier or supplier-sponsored contest, game or promotion.
  
 •        Business Entertainment of GE Employees and Representatives.
Suppliers must respect and comply with the business entertainment (including travel and living) policies established by GE and which govern GE employees and representatives. A GE supplier is expected to understand the business entertainment policies
of the applicable GE component or operation before offering or providing any GE employee or representative any business entertainment. Business entertainment should never be offered to a GE employee and representative by a supplier under
circumstances that create the appearance of an impropriety.
  
 •        Collusive Conduct and GE Procurements. Adhering to all applicable competition laws. They must avoid prohibited communications or entering into agreements
with competitors that can affect competition. Specifically, they may not share or exchange any price, cost or other competitive information or undertake any other collusive conduct with any other third party supplier or bidder to GE with respect to
any proposed, pending or current GE procurement. Suppliers must be mindful to avoid even the appearance of improper conduct.
  
 •        Intellectual & Other Property Rights. Respecting the
intellectual and other property rights of others, especially GE. In that regard, a GE supplier shall:
	 	

  

 Integrity Guide for Suppliers, Service Providers, and Consultants 

									
		  	Page 3 of 5	  		  	19 July 2005	  	

			
	 —     only use GE information and property (including tools, drawings and
specifications) for the purpose for which they are provided to the supplier and for no other purposes.
  
 —     take appropriate steps to safeguard and maintain the confidentiality of GE proprietary
information, including maintaining it in confidence and in secure work areas and not disclosing it to third parties (including other customers, subcontractors, etc.) without the prior written permission of GE.
  
 —     only transmit GE
information over the Internet on an encrypted basis.
  
 —     observe and respect all GE patents, trademarks and copyrights and comply with such restrictions or prohibitions on their use as GE may from time to time establish.
  
 •        Export and International Trade Controls & Customs Matters. GE and its affiliates are subject to numerous United States Trade and Export Controls. Any export of services,
technology (including technical information) or financial transactions with individuals or entities sanctioned by the U.S. government may be subject to U.S. Export and Trade Controls or other applicable laws. Suppliers should familiarize themselves
with requirements applicable to GE and its affiliates with respect to services performed for GE and may not transfer GE technical information to any third party without the express, written permission of GE. Suppliers must comply with all applicable
export controls laws and regulations in the export or re-export of GE technical information, including any restrictions on access and use applicable to non-U.S. nationals, and must ensure that all invoices and any customs or similar documentation
submitted to GE or governmental authorities in connection with transactions involving GE accurately describe the goods and services provided or delivered and the price thereof. Suppliers may not participate in any boycotts or restrictive trade
practices prohibited by U.S. laws.
  
 •        Privacy. Complying with privacy and data protection laws with respect to data and personal information of GE customers, employees and other suppliers.
  
 •        Money Laundering Prevention. Complying with applicable anti-money laundering laws and regulations and GE policies established for money laundering prevention. In that regard,
suppliers shall:
  
 1.      Implement due diligence standards and processes in writing in order to obtain sufficient information about GE customers, borrowers, as well as third parties.
  
 2.      Designate acceptable
form of payment and assume that payments collected on behalf of GE come from legitimate and legal sources in accordance with GE Source of Funds policies.
  
 3.      Develop acceptable processes to ensure that suspicious activity of any borrower or other
third party is reported to GE and, if required, to proper government authorities.
  
 •        Prohibition of Use of Sub-Tier Suppliers or Third Parties to Evade
Requirements. The use of sub-tier suppliers or other third parties to evade legal requirements applicable to the supplier and any of the standards set forth in this Section of the Guide is not permitted.
  
 The foregoing standards are subject to modification at the discretion of GE. Please contact the GE
manager you work with or any GE Compliance Resource if you have any questions about these standards and/or their application to particular circumstances. Each GE supplier is responsible for ensuring that the supplier, its employees,
representatives and sub-tier suppliers understand and comply with these standards. GE will only do business with those suppliers that comply with applicable legal requirements and reserves the right, based on its assessment of information
then available to GE, to terminate, without liability to GE, any pending purchase order or contract with any supplier that does not comply with the standards set forth in this section of the Guide.
  
 [Remainder of page intentionally left blank]
	 	

  

 Integrity Guide for Suppliers, Service Providers, and Consultants 

									
		  	Page 4 of 5	  		  	19 July 2005	  	

 How to Raise an Integrity Concern 
 Each GE supplier is expected to promptly inform GE of any Integrity concern involving GE, whether or not the concern involves the supplier, as soon as the supplier has knowledge of such Integrity concern. A GE
supplier shall also take such steps as GE may reasonably request to assist GE in the investigation of any Integrity concern involving GE or its employees and the supplier. An Integrity concern may be raised by a GE supplier with cognizant GE
management, GE or GE Healthcare Helplines, or any GE Compliance Resource (i.e., Company legal counsel or auditor). 
 I. Define your concern: Who or
what is the concern? When did it arise? What are the relevant facts? 
 II. Raise the concern –
prompt reporting is crucial: 
  

	 	•	 	 Discuss with a GE Healthcare Manager 

  

	 	•	 	 A GE or GE Healthcare Compliance Resource will promptly review and investigate the concern. 

 III. GE Policy forbids retaliation against any person reporting an Integrity concern 
 GE’s quest for competitive excellence begins and ends with our commitment to ethical conduct. 
  

			
	AGREED TO AND ACCEPTED BY SUPPLIER
		
	BY:	 	 /s/ James G. Heffernan

	TITLE:	 	Group Managing Director
	DATE:	 	February 21, 2008

			
	SUPPLIER NAME:	 	Biochrom LTD

  

 Integrity Guide for Suppliers, Service Providers, and Consultants 

									
		  	Page 5 of 5	  		  	19 July 2005	  	

 Attachment F 
 Quality Plan 

							
	Biochrom Ltd. Quality Manual	 	ISSUE 15	  	REV: D	  	1

  

 

 
 Quality Manual 
 ISO 13485:2003

 ISO 9001:2000 
  

			
	Issue level:	 	15
		
	Revision level:	 	C
		
	Date:	 	July 2007
		
	Approved by:	 	M. Ellis (Quality System Manager)

  

					
	Issue: 15	  		  	
	Revision description:	  	D:	  	13485:2003 Scope added
			
		  	C:	  	Details for clinical product controls added
			
		  	B:	  	Revised due to procedure removal
			
		  	A:	  	Organisation chart removed

							
	Biochrom Ltd. Quality Manual	 	ISSUE 15	  	REV: D	  	2

  

					
			
	Issue: 14	  		  	
			
	Revision description:	  	A:	  	Manual re-written to address new standard
			
	Issue: 13	  		  	
			
	Revision description:	  	A:	  	Manual re-written to address new standard, and encompass continual process development within organisation.
			
		  	B:	  	Sec.7.3 Design & Development; process definitions and related procedures reviewed and clarified.
			
		  		  	Process chart support services responsibility redefined
			
		  	C:	  	Sec.8.5.3 Preventive Action reference sources expanded to include H&S, and Disaster Recovery Plan
			
		  	D:	  	Sec. 3.0 Quality Policy Statement revised Organogram up-dated.
			
		  	E:	  	Organogram up-dated.

							
	Biochrom Ltd. Quality Manual	 	ISSUE 15	  	REV: D	  	3

  

	1.0	INTRODUCTION 

  

	1.1	CONTENTS LIST 

 This quality manual consists of the
following sections: 
 Introduction:- 
 1: Contents List 
 2: Background / History 
 3: Quality Policy / Scope / Process path 
 Section 4: Quality Management System 
 Section 5: Management Responsibility 
 Section 6: Resource Management 
 Section 7: Product Realisation 
 Section 8: Measurement, Analysis & Improvement 
  

	2.0	COMPANY BACKGROUND / HISTORY 

 Biochrom, originally
known as LKB Biochrom, was established in 1970 to develop and manufacture Amino Acid Analysers, a technology in which Biochrom enjoys a leading position to this day. 
 In 1974, Biochrom came to Cambridge, becoming only the second company to take up residence on the new Cambridge Science Park, now world renowned for innovation in high technology and life sciences. 
 During the early 1980’s, the company introduced a range of UV / Visible spectrophotometers, whose names Ultrospec and Novaspec, quickly became
established in the life sciences community. Over 40,000 of these instruments have been sold worldwide, mostly via Biochrom’s long standing life sciences distribution partner, Amersham Biosciences. 
 In 1993, the company launched the first UV spectrophotometer dedicated to nucleic acid analysis, Genequant, and over 10,000 units have subsequently been
sold world-wide. 
 In 1999, Biochrom became part of Harvard Biosciences, launching a new range of UV / Visible spectrophotometers for
general analytical applications to complement the current well-renowned life science instruments, via a developing and expanding distributor network. 
 In 2002 Biochrom acquired WPA a local business manufacturing a range of UV / Visible spectrophotometers and electrochemistry instrumentation. WPA branded products are now manufactured at the Biochrom Cambridge site
and sold through the already established WPA network of distributors. 

							
	Biochrom Ltd. Quality Manual	 	ISSUE 15	  	REV: D	  	4

  

 Also in 2002 Biochrom expand its product ranges, in the shape of microtitre plate readers, washers
and liquid dispensers, provided by Asys a company subsidiary located in Austria. 
 Biochrom has been greatly assisted in this rapid and
continuous growth and product development over the past 20 years by certification initially to ISO 9001-1987 and thence to ISO 9001:1994. Biochrom is now certified to ISO 9001:2000, 13485 and the EU Directive 98/79 EC 1998 for In-vitro Diagnostic
Devices. 
  

	3.0	QUALITY POLICY 

 Is stated as follows:- 

We strive to be perceived by our customers as a company whose products, services and support consistently exceed those of our competitors.

 We are working to build a company that is regarded by its employees as one they are proud to work for, that communicates with them,
listens and responds appropriately, values them and invests in them. 
 In the event that one of our customers has a problem with our
products or our actions, we will react immediately and decisively to overcome it. 
 We will always do what we have agreed to do,
keeping our customers informed of progress. 
 We want to be the preferred supplier for our products and services in our chosen
field. 
  

	3.1	SCOPE 

 The scope of the current certification is
defined as follows:- 
 9001:2000 
 “Design, manufacture and in-house repair and servicing of analytical instruments: Manufacture of support chemicals for analytical instruments.” 

							
	Biochrom Ltd. Quality Manual	 	ISSUE 15	  	REV: D	  	5

  

 13485:2003 
 “Production of IVD kit for diagnosis of Phenylketonuria” 
  

	3.2	PROCESS PATH 

 See Appendix 1. 
  

	4.0	QUALITY MANAGEMENT SYSTEM 

  

	4.1	GENERAL REQUIREMENTS 

 The quality management system
shall establish, document, maintain, monitor and measure processes and procedures, and will continually seek to improve its effectiveness in accordance with the requirements of the companies ISO system , as a result of analysis and implementation of
planned actions. 
  

	4.2	DOCUMENTATION REQUIREMENTS 

 4.2.1 The company’s quality system
shall include a quality policy, statement of quality objectives, quality manual referencing documented procedures, the procedures, and effective operational documents for purposes of process control, improvement and record keeping. 
  

			
	 Procedures:
	 	 QSM404 – Document Control
 QSM408 – Quality
Records

  

	4.2.2	Quality Manual 

 The Management Representative, on
behalf of the Managing Director, shall maintain the manual, procedure referencing, and review the necessary interactions between the processes required to fulfil contractual requirement. 
 The scope of the current certificate is to be found in Section 1.3. 
  

	4.2.3	Control of Documents 

 Records required by the
system shall be controlled, reference sec. 4.2.4. 
 Documents required by the system shall be controlled, as defined in procedure QSM404.

 British & International Standards and related quality system supplements used within the company are listed and maintained at
current issue level by the Quality Systems Manager. 
 Relevant current issues will be available at all appropriate points of use,
irrespective of the nature of the documentation. 
 Functions / organisations will have access to relevant background information upon which
to base regular review and approval, unless otherwise specified. 

							
	Biochrom Ltd. Quality Manual	 	ISSUE 15	  	REV: D	  	6

  

			
	Procedures:	 	QSM404 – Document Control
		 	QSM408 – Quality Records
		 	BDP621 – Specification & Drawing Control

  

	4.2.4	Control of records 

 The relevant operating
procedure defines all appropriate operational records documentation, and criteria for control of those records. 
 Procedure: QSM408 –
Quality Records 
  

	5.0	MANAGEMENT RESPONSIBILITY 

  

	5.1	MANAGEMENT COMMITMENT 

 The company shall
demonstrate its commitment to continuous improvement through the establishment and review of a Quality Policy, defined and measured quality objectives, regular, documented management reviews, the effective management of appropriate resources, and
demonstrable communication of all relevant issues within the company. 
 Procedure: QSM409 – Management Review 
  

	5.2	CUSTOMER FOCUS 

 The company shall determine
specified, and where possible, unspecified customer requirements, with regard to statutory and regulatory requirements. Customer perception of company performance and delivered quality will also be monitored. 
  

	5.3	QUALITY POLICY 

 The Quality Policy shall define the
company management’s commitment to continuous improvement and provide the framework for quality objectives, all to be regularly reviewed for suitability by means of the management review. 
 Procedure: QSM409 – Management Review 
  

	5.4	PLANNING 

  

	5.4.1	Quality Objectives 

 The company will establish and
measure quality objectives, (operationally known as Key Performance Indicators), derived from senior management review, the quality manual, and will consider the following, where applicable:- 
 Procedure: QSM409 – Management Review 
  

	5.4.2	Quality management system planning 

 Company
management shall ensure that the quality manual, procedures and objectives will meet the requirements of the companies ISO system, and that change, enhancement and improvement will not compromise the integrity of the system. 

							
	Biochrom Ltd. Quality Manual	 	ISSUE 15	  	REV: D	  	7

  

	5.5	ORGANISATION 

  

	5.5.1	Responsibility and authority 

 An organisation
chart showing functional relationships, authorities and responsibilities will be maintained. (Appendix 1) 
  

	5.5.2	Management Representative 

 Senior management will
appoint a Management Representative, who will report to said senior management on the performance and effectiveness of the quality system. 
 The Management Representative will have the necessary authority and responsibility to ensure the effectiveness of the Quality Management System, and that the requirements of ISO systems are met and maintained, and will be responsible for
system administration. 
 The Management Representative’s accountabilities will be reviewed and maintained. 
  

	5.6	MANAGEMENT REVIEW 

 The Quality Management System
will be reviewed at defined intervals by senior management with executive responsibilities. Management Reviews will review subjects defined by, but not be limited to, criteria described as follows:- 
  

			
	Procedure:	 	QSM409 – Management Review

  

	6.0	RESOURCE MANAGEMENT 

  

	6.1	PROVISION OF RESOURCES 

 The company will identify
and provide the resources required, to implement and maintain the Quality Management System, and continually improve its effectiveness. 
  

	6.2	HUMAN RESOURCES 

  

	6.2.1	Management will ensure competence is achieved by means of suitable training, provided for all personnel performing work affecting product quality. 

 

	6.2.2	Training 

 Processes for competence, awareness and
training are defined as follows:- 
  

			
	Procedures:	 	BTR201 – Identification of Training Needs
		 	BTR202 – Recruitment
		 	BTR203 – New Employee Induction

							
	Biochrom Ltd. Quality Manual	 	ISSUE 15	  	REV: D	  	8

  

	6.3/4	INFRASTRUCTURE / WORK ENVIRONMENT 

 Buildings,
workplaces and equipment will be provided and maintained where appropriate to ensure continued process capability, the total providing an environment which allows for, and contributes to, defined product conformity. 
  

			
	Procedures:	 	QSM414 – Health & Safety Management Audit
		 	BIT1001 – Tape back-up system for Network Servers

  

	7.0	PRODUCT REALISATION 

  

	7.1	PLANNING OF PRODUCT REALISATION 

 This section
describes how an enquiry or order is assessed to ensure that the customer’s specified and implied requirements can be fully satisfied, and how such activities are co-ordinated. The company shall have a regard for quality objectives, processes,
documents, resources, monitoring, validation, verification and test activities, in order to achieve realisation. 
  

	7.2	CUSTOMER RELATED PROCESS 

  

	7.2.1	Determination of requirements related to the product 

 Prior to the submission of a tender (quotation), or the formal acceptance of the order, a review of the customer’s requirements will be undertaken, as defined in 7.2.2. 
 Order acceptance and review will apply to all incoming orders to the company, from distributors, end user customers, including non-standard product.

  

	7.2.2/3  Review	of requirements related to the product / Customer Communication 

 Customer orders will be reviewed to ensure that customer requirements are understandable, can be fulfilled, and that agreement can be reached between both parties where variances occur between order details and
published sales information. Amendments to sales orders will be handled in a controlled manner. 
 This review will confirm the following
criteria, but will not be limited to:- 
 Distribution agreements, order documentation, customer specifications, product sales groupings and
classifications, regulatory requirements, relevant national and in-house standards, procedures and delivery requirements. 
  

			
	Procedures:	 	BSM707 – Part Grouping Structures
		 	BSM711 – Contracts with Distributors
		 	BSM714 – AAA Order Review
		 	BPL510 - Order Acceptance
		 	BPL507 – Amendments to Purchase / Sales orders

  

	7.3	DESIGN & DEVELOPMENT 

  

	7.3.1	Design & development planning 

 All design
activities performed in Biochrom Ltd. will be executed in a controlled manner, with full communication and exchange of information to all personnel, (including any approved sub-contractor), involved in the design. 

							
	Biochrom Ltd. Quality Manual	 	ISSUE 15	  	REV: D	  	9

  

 Plans will be developed using Market Requirement specifications, Requirements and Definitions phase
reviews; appropriately chosen staff will form project teams, plus key representatives of critical suppliers, under the direction of a project leader reporting the to the Research & Development Director. 
 Processes and criteria for design activities are defined as follows:- 
  

			
	Procedures:	 	BDP613 – The Project File
		 	BDP631 – Project Control

 Within projects particular details are further defined as follows:- 
  

			
	Procedures:	 	BDP608 – Software Overview
		 	BDP614 – Product Definition & Design Overview Documents
		 	BDP621 – Specification & Drawing Control
		 	BDP629 – Software User Interface Specification

  

	7.3.2	Design & development inputs 

 Inputs will
be defined with the aid of product definition documents, software user interface specifications, software functional requirements specifications, for the current project, and document contents required to be carried forward from previous product
projects. Special consideration must be given to products that fall into the category of IVD during the input of risk analysis. 
  

			
	Procedure:	 	BDP610 – Software Test Plans & Master Test Scripts
		 	BDP633 – Risk Management

  

	7.3.3	Design & development outputs 

 Outputs will
be defined with the aid of working documents, drawings, engineering specifications, software overviews and risk management, leading to review at High level, Detail and Integration phase reviews. 
  

			
	Procedure:	 	BDP617 – Transport Test of Products
		 	BDP620 – Paint & Finish Solvent Susceptibility
		 	BDP621 – Specification & Drawing Control
		 	BDP633 – Risk Management
		 	BPE804 – Control of Build-files

  

	7.3.4	Design & development review 

 Reviews will
take place in a structured and controlled manner, using the development review procedure documents as defined in procedure BDP631. Reviews, both formal and informal, will be recorded, reviewed, necessary actions taken and implemented, outputs
further recorded, reviewed, and assessed for impact upon already completed elements of a project. 
 Procedure: BDP631 – Project Control

  

	7.3.5	Design & development verification 

 The R
& D Director will appoint suitably qualified personnel to write specific product, chemical product, and / or software verification / test plans, in accordance with procedure BDP631. 

							
	Biochrom Ltd. Quality Manual	 	ISSUE 15	  	REV: D	  	10

  

 Tests will be performed by suitably qualified personnel to ensure that design and development outputs
meet the design and development inputs as defined in the Product Definition Document. 
 Results will be reviewed, via the Verification phase
review, and necessary actions recorded, implemented, recorded again, reviewed and if satisfactory, documented and held with the relevant project file. 
  

			
	Procedures:	  	BDP606 – Software Numbering, Archiving & Releasing
		  	BDP610 – Software Test Plans & Master Test Scripts
		  	BDP613 – The Project File
		  	BDP614 – Product Definition Documents
		  	BDP621 – Specification & Drawing Control
		  	BDP631 – Project Control

  

	7.3.6	Design & development validation 

 The R
& D Director will appoint suitably qualified personnel to write specific product, chemical product, and / or software validation / test plans, in accordance with procedure BDP631. 
 Validation of associated product manuals, (if applicable), will be included. 
 Validation will take place prior to product release. 
 Validation results will be reviewed, via the Validation & Launch Readiness phase review and necessary actions recorded, implemented, recorded again, reviewed and if satisfactory, documented and held with the
relevant project file. 
  

			
	Procedures:	  	BDP610 – Software Test Plans & Master Test Scripts
		  	BDP613 – The Project File
		  	BDP631 – Project Control
		  	BSM708 – Market Readiness Review
		  	BMT327 – Production Readiness Review

  

	7.3.7	Control of design & development changes 

 Such changes will be identified normally, but not be limited to individual design phase reviews, which reviews will record changes, review, verify and validate as required, with due regard for the impact upon previously validated elements
of the project. 
  

			
	Procedures:	  	BDP622 - Modifications
		  	BDP631 – Project Control

  

	7.4	PURCHASING 

  

	7.4.1	Purchasing Process 

 This section describes the way
in which the company ensures purchased product conforms to specified requirements. 

							
	Biochrom Ltd. Quality Manual	 	ISSUE 15	  	REV: D	  	11

  

	7.4.2	Purchasing Information 

 Purchasing documents will
contain a clear description of the product or service ordered. 
 Descriptions will contain, as appropriate, drawing references, catalogue
numbers, identification codes and titles, grades, styles, process and skill requirements, inspection instructions, packing instructions and associated quality system requirements. 
 All purchasing documents will be reviewed prior to release to the sub-contractor. 
  

			
	Procedures:	  	BPL505 – Purchasing – Production Material
		  	BPL507 – Amendments to Purchase / Sales Orders
		  	BPL509 – Purchasing Alternative Parts

  

	7.4.3	Verification of Purchased Product 

 All
sub-contractors will be evaluated to determine their ability to meet specified requirements; approval will take the form of an initial evaluation followed by regular performance monitoring. 
 The sub-contractor’s quality system and any specific quality assurance criteria will be observed and noted. 
 A schedule of all approved sub-contractors will be maintained. 
 Procedure: BPL508 – Supplier Selection 
  

	7.5	PRODUCTION & SERVICE PROVISION 

  

	7.5.1	Control of production & service provision 

 All production activities, including labelling and packing will be planned and defined prior to execution, by means of customer requirement specifications, work instructions, process requirements, drawing references, standards,
specifications, control plans, the company integrated business system, and measuring and monitoring criteria. 
 Procedures: 
 BMT304 – Manufacturing Control 
 BMT310
– Serial no, packing, manufactured chemical, labelling and CD printing 
 BMT327 – Production Readiness Review 
 BPE810 – Software Control 
  

	7.5.2	Validation of processes for production & service provision 

 Production activities will be monitored by means of stage and final test / inspection. 
 Special processes
which can not always be verified by inspection and testing, will be carried out by competent, trained personnel, under defined and controlled conditions, and will be monitored and reviewed. 

							
	Biochrom Ltd. Quality Manual	 	ISSUE 15	  	REV: D	  	12

  

			
	Procedures:	  	BMT304 – Manufacturing Control
		  	BPE811 – Handling of Electro static devices
		  	BTR201 –Identification of Training Needs.

  

	7.5.3	Identification & Traceability 

 All
products and sub-assemblies are identified throughout the production process. 
 Identification is achieved by direct identification, (ie. a
serial number), by location identification, (storage bins / vessels), and / or by use of associated documentation. 
 All chemical products
are to be allocated unique batch numbers, which allow traceability to constituent parts. Lot traceability procedure BMT313 specifies actions to be taken throughout manufacturing, storage and shipping processes, to ensure maintenance of traceability.

  

			
	Procedures:	  	BMT303 – Storage & Handling
		  	BMT304 – Manufacturing Control
		  	BMT305 – Testing of Sub assemblies
		  	BMT313 – Traceability
		  	BMT314 – Issues from Stores
		  	BMT323 – Unplanned Receipts into Stock
		  	BPE803 – Change of Build-files
		  	BPE804 – Control of Build-files
		  	BPE805 – EPROM Replication & Issue Control
		  	BPE812 – Updating Serial Number Data
		  	BMT326 – CD ROM Replication & Issue Control
		  	BMT328 – Control of Chemical Build / Method Files
		  	BMT329 – Writing of Chemical Build / Method Files
		  	BMT330 – Change of Chemical Build / Method Files

  

	7.5.4	Customer Property 

 All customer supplied material
and / or instruments and accessories, will be identified as such upon receipt, inspected for transit damage, quantity delivered, and the presence of appropriate documentation. 
 Procedure: BMT315 – Control of Customer Supplied Material 
  

	7.5.5	Preservation of Product 

 This section describes the
manner in which product quality and identification is maintained during all stages of handling, storage, packaging and preservation. 
 The
processes and criteria are defined as follows:- 
  

			
	 Procedures:
	  	BMT303 – Storage and Handling
		  	BMT304 – Manufacturing Control
		  	BMT314 – Issues from Stores
		  	BMT323 – Unplanned receipts into stock
		  	BMT311 – Manufacturing Static Protection

							
	Biochrom Ltd. Quality Manual	 	ISSUE 15	  	REV: D	  	13

  

	7.6	CONTROL OF MONITORING & MEASURING DEVICES 

 All inspection, measuring, test equipment, and test software that is used to demonstrate a product’s conformance to specification is calibrated to establish its measurement uncertainty. 
 Test hardware such as jigs and fixtures, used as a form of inspection, are checked at prescribed intervals, to ensure that it is not damaged and is
suitable for use. 
 Records are kept and maintained of all calibration and checks carried out. 
 Equipment that needs to be calibrated or checked is identified by a positive recall system and is made available for recalibration or check on or before
its calibration due date. 
 The processes and criteria are defined as follows:- 
  

			
	Procedure:	  	BMT324 – Preventive Maintenance & Housekeeping Instructions
		  	QSM405 – Calibration & Checking of Manufacturing Aids

  

	8.0	MEASUREMENT, ANALYSIS & IMPROVEMENT 

  

	8.1	General 

 The company shall implement monitoring,
measurement, analysis and improvement processes required to ensure product conformity, to ensure overall conformity and improvement of the effectiveness of the quality system. 
  

	8.2	Monitoring & measurement 

  

	8.2.1	Customer satisfaction 

 The company will monitor
performance in respect of satisfying customer requirements by means of a review of the established quality objectives at a management review. 
  

			
	Procedure:	  	BSM715 – Customer Complaints
		  	QSM411 – Internal Complaints

  

	8.2.2	Internal audit 

 An audit programme will be
maintained to ensure that all aspects of the Quality Management System are audited; the frequency of audits will be determined according to the results of previous audits and the significance of individual system activities. All aspects of the
Quality Management System will be audited at least one per year, by means of a “process” driven audit. 

							
	Biochrom Ltd. Quality Manual	 	ISSUE 15	  	REV: D	  	14

  

 The processes and criteria are defined as follows:- 
  

			
	 Procedure:
	  	QSM412 – Internal Quality Audits

  

	8.2.3	Monitoring & measurement of processes 

 Wherever possible, the company shall monitor all significant processes for effectiveness, by means of internal audit, and other key performance activity / reporting, such that process outputs contribute meaningfully to defined company
quality objectives. 
  

			
	 Procedure:
	  	QSM412 – Internal Quality Audits

  

	8.2.4	Monitoring & measurement of product 

 All
material used in company products has been verified as conforming to specified requirements. 
 No products are released from the company
without the appropriate quality criteria being satisfactorily completed. 
 Manufacturing operate a system of operator control, all operators
being trained and authorised to perform quality controls on products that they produce. 
 All chemical products are only quality tested by
appropriately trained and qualified chemical quality personnel. 
  

			
	Procedures:	  	BMT301 – Goods Receiving
		  	BMT302 – Straylight Turret & Holmium Filters
		  	BMT304 – Manufacturing Control
		  	BMT305 – Testing of Sub-assemblies
		  	QSM403 – Optical Absorbance Filters
		  	QSM408 – Quality Records

  

	8.3	Control of nonconforming product 

 All
non-conforming products will be identified and segregated by labels and location. 
 In exceptional circumstances, non-conforming product and
/ or materials may be used by the approval of a concession note. A concession will only be authorised when the non-conformity will not detract from the performance of the product. 

							
	Biochrom Ltd. Quality Manual	 	ISSUE 15	  	REV: D	  	15

  

 The processes and criteria are defined as follows:- 
  

			
	Procedures:	  	BMT316 – Control of Non-conforming Product
		  	QSM407 – Concessions
		  	QSM413 – Product Recall
		  	QSM415 – Sales Stop

 Special consideration must be given to nonconforming product bearing the notified body registration
number 0088. 
 The processes and criteria are defined in the following procedures:- 
  

			
	Procedures:	  	BMT316 – Control of Non-conforming Product
		  	QSM413 – Product Recall
		  	QSM415 – Sales Stop
		  	BSM715 – Customer Complaints

  

	8.4	Analysis of data 

 The company shall devise suitable
and effective methods for analysing appropriate data, collated from processes and key performance indicators, contributing to the overall effectiveness of product and improvement of the quality management system. 
 Procedures defining processes from which data is most likely to be collated are:- 
  

			
	Procedures:	  	BMT304 – Manufacturing Control
		  	BPL508– Supplier Selection
		  	BSM715 – Customer Complaints
		  	QSM410 – Corrective Action
		  	QSM411 – Internal Complaints

  

	8.5	Improvement 

  

	8.5.1	Continual improvement 

 The company shall
continually improve the effectiveness of the quality system by means of effective analysis of key performance indicators and external measures such as customer complaints, by means of regular management review, which shall determine the
effectiveness of current measures and outline the need for implementation of action plans. 

							
	Biochrom Ltd. Quality Manual	 	ISSUE 15	  	REV: D	  	16

  

			
	Procedures:	  	BSM715 – Customer Complaints
		  	QSM409 – Management Review
		  	QSM410 – Corrective Action
		  	QSM411 – Internal Complaints

  

	8.5.2	Corrective action 

 Manufacturing processes,
concessions, service reports (if available), and customer complaints will be analysed in order that trends may be highlighted, and necessary actions be planned and implemented to prevent recurrence. 
 Corrective action resulting from the analysis of the above data sources, will be handled by the corrective action procedure, and if necessary the
modification procedure. 
  

			
	Procedures:	  	BDP 622 – Modifications
		  	BSM715 – Customer Complaints
		  	BSS907– Modifications Strike Level Register
		  	BSS908– Returns & Repair System
		  	QSM407 – Concessions
		  	QSM410 – Corrective Action
		  	QSM411 – Internal Complaints
		  	QSM413 – Product Recall
		  	QSM415 – Sales Stop

  

	8.5.3	Preventive action 

 Periodically, an analysis of
nonconformity will be undertaken to determine suitable preventive measures to prevent actual or potential non-conformities. Sources to be used will be supplier deficiencies, internal rejects, concessions, customer complaints and internal audit
reports. 
 Where preventive measures analysis results in procedure change, changes will be highlighted in the normal way to appropriate
personnel, with the reasons for the change. 
 Actions implemented will be reviewed for effectiveness via the internal audit process.

  

			
	Procedures:	  	BPL508 – Supplier Selection
		  	BSM715 – Customer Complaints
		  	QSM407 – Concessions
		  	QSM410 – Corrective Action
		  	QSM411 – Internal Complaints
		  	QSM412 – Internal Quality Audits
		  	QSM414 – H&S Management Audit
		  	Company H&S Procedures
		  	Company H&S Risk Assessments

							
	Biochrom Ltd. Quality Manual	 	ISSUE 15	  	REV: D	  	17

  

 It is to be noted that H&S Procedures and Risk Assessments are not ISO controlled documents, but
are subject to an ISO procedure review in respect of H&S, and management review. 

 Appendix 1 – Process Path 
 

 

 

 

 Attachment K 
 OEM Addendum 
 This OEM Purchase Addendum (this “Addendum”), effective as of the date of
last signature affixed below (“Effective Date”), is made by and between the General Electric Company, a corporation organized under the laws of the state of New York, acting through its GE Healthcare business (“GE Healthcare”),
and Biochrom Limited (“Biochrom”). This Addendum forms a part of that certain Strategic Supplier Alliance Agreement, dated even date herewith (the “Agreement”), by and between GE Healthcare and Biochrom. 

  

	1.	Defined Terms. Capitalized terms used herein but not otherwise defined herein shall have the meanings assigned to such terms in the Agreement. 

  

	2.	General. This Addendum specifies additional terms and conditions under which Biochrom will sell, license and support the Products. The Products are regarded as “Original
Equipment Manufacturer” products that will be sold separately or incorporated into other GE Healthcare products for resale in the Territory under GE Healthcare’s private label. The Products and the GE Healthcare products with which the
Product may be incorporated will be marketed, sold, serviced, and supported by GE Healthcare’s field organization and channel partners, subject to the marketing, sales, service, and support obligations of Biochrom under this Addendum and the
Agreement. In the event of conflict between this Addendum and any other terms or conditions of the Agreement or any Attachment thereto, the Agreement shall control. 

  

	3.	Marketing Rights Warranty. Biochrom warrants that it has the unrestricted right to manufacture, sell, service, market, and deliver to GE Healthcare in the Territory the
Products, including any replacement parts, components or sub-assemblies for the Products. Further, Biochrom hereby warrants that it is under no restriction, and that it will not assume or assert any such restriction, which would prevent GE
Healthcare and its affiliates from marketing the Products anywhere in the Territory. 

  

	4.	Private Labeling. Biochrom will ensure that the Products contain the GE Healthcare Marks (as such term is later defined herein), lot number and packaging specified by GE
Healthcare and conforming to GE Healthcare specifications for external appearance (which will not require any material change in form or dimensions of the Products or require commercially unreasonable actions). Except as provided herein, Supplier
will have no other right or license in any GE Healthcare Marks. Private labeling of the Products shall include but shall not be limited to: (1) manuals with the GE Healthcare format, logo and font; (2) GE Healthcare logos in all user
interface and screens; (3) GE Healthcare logo for the main system rating / ID plate; and (4) “Made for GE Healthcare” labels on all components with a rating/ID plate. 

  

	5.	Country of Origin Marking. Biochrom will mark each Product, or the container if there is no room on the Product, with the country of origin. Biochrom will, in marking
Products, comply with the requirements of the customs authorities of the country of receipt. 

  

	6.	 Documentation License. Biochrom hereby grants GE Healthcare a non-exclusive, non-transferable, fully paid up license to use, reproduce, distribute and
prepare derivative works in GE Healthcare’s name all documentation and other information related to the Products prepared by Biochrom, other than Confidential Information, furnished by Biochrom under the Agreement. GE Healthcare has the right
to use or modify Biochrom’s Product documentation or excerpts therefrom, for instance as follows: Functional description, Instruction sheet and 

	 	 
product labels, Operators aids, Promotion information, and Product/Function description. Biochrom shall provide GE Healthcare with this Product documentation
free of charge both as a print version and on data media in readable form. These rights with respect to such documentation will extend to GE Healthcare and its affiliates, distributors, sub-distributors, field organization, channel partners, and
customers or users of the Products or GE Healthcare products incorporating the Products (“Eligible Persons”). GE Healthcare may reproduce such documentation without Biochrom’s logo or other identification of source, subject to
affixing copyright notices to all copies of documentation. 

  

	7.	No Rights In Marks. Except as otherwise specified in the private labeling section above, nothing in the Agreement or this Addendum should be construed to grant either party
any rights in the trademarks, trade names or service marks of the other party. Biochrom acknowledges, however, that GE Healthcare may use the name of the Products in advertising and marketing the Products or any GE Healthcare product that
incorporates the Product. In addition, GE Healthcare will be able to use Biochrom’s trademarks on GE Healthcare’s website and for use with any documentation or marketing materials for the Product. The Products will be affixed with
copyright notices sufficient to give notice as to the rights of the parties in their respective products. 

  

	8.	Software/Firmware. The price for any Products purchased under the Agreement includes a perpetual, paid-up, worldwide, irrevocable license to GE Healthcare and Eligible
Persons to distribute, copy, have copied, license, sub-license and use in the marketing, distribution, sale, operation, support, maintenance and repair of the Products, any software and/or firmware supplied by Biochrom to GE Healthcare or
incorporated into, or included or bundled with, the Product, including updates to such software or firmware. Biochrom hereby grants to GE Healthcare all sublicense rights required to market and sell the Products in accordance with the Agreement. All
rights granted hereunder shall survive any termination of the Agreement as long as the applicable party remains in compliance with the terms of use for such Products. Nothing in the Agreement shall be construed as a sale of any rights in the
software. Biochrom shall promptly make available to GE Healthcare (and at least simultaneously to the time it makes similar updates available to other customers or distributors of its products that use similar software or firmware) all updates
relating to such software or firmware, including detailed descriptions and installation instructions. 

  

	9.	Non-recurring Engineering Costs. Biochrom shall provide at no charge to GE Healthcare reasonable engineering support, including support for integration efforts of the
Products with the GE Healthcare product, unless otherwise agreed to in writing by the parties. 

  

	10.	Parts Pricing. During the Term and until the end of the seven (7) year following the last shipment of a Product under the Agreement, the prices for any replacement
parts, components or sub-assemblies of the Products (to the extent not otherwise provided pursuant to an applicable warranty obligation) will be Biochrom’s published prices, less a discount of [***], unless the parties otherwise agree to a
price schedule for such items. 

  

	11.	 Duty To Remove Marks Or Destroy Noncomplying Products. Biochrom agrees not to sell, transfer, distribute, or otherwise convey any part, component, Product or
service bearing or incorporating any GE Healthcare trademark, trade name or service mark, part numbers or other identifiers, including any GE Healthcare packaging, copyrights or code (“GE Healthcare Marks”), to any party other than to GE
Healthcare or any affiliate of GE Healthcare. Biochrom will remove from all rejected, returned or unpurchased Products, which are not intended to be 

	 	 
returned to GE Healthcare any such GE Healthcare Marks, even if such removal would require destruction of the Products. Biochrom further agrees not to
represent that such Products are built for GE Healthcare or to GE Healthcare specifications. Biochrom will defend and indemnify GE Healthcare against any claims, losses, liabilities, costs or expenses that GE Healthcare may incur as a result of
Biochrom’s breach of this obligation. 

  

	12.	Shortages. In the event of a shortage or shortages in allocated quantities of components, common to Biochrom’s other product lines and utilized in the manufacture of the
Product, Biochrom agrees to allocate components to GE Healthcare, based on the proportional share of GE Healthcare’s prior six months of shipments. 

  

	13.	Service Availability. Biochrom agrees to make its service personnel available to GE Healthcare personnel (via phone, e-mail and/or fax) during regular business hours at no
cost to GE Healthcare to address support obligations under the Agreement. If required, on an emergency basis, Biochrom agrees on a worldwide basis to make on-site service available at an additional charge to GE Healthcare. The cost for on-site
service shall be determined on a case-by-case basis. 

  

	14.	Training. GE Healthcare maintains the right to train its service organization with respect to installation, operation, maintenance and repair of the Products, as deemed
appropriate by GE Healthcare, while maintaining full warranty benefits provided by Biochrom. This in no way obligates Biochrom to warranty instruments damaged by GE Healthcare personnel. 

  

	15.	Requests for Service. All requests for service from customers shall be directed to GE Healthcare, who may arrange for the customer to ship the applicable Product directly to
Biochrom. Biochrom will repair and return Product in accordance with GE Healthcare instructions and Biochrom will bill GE Healthcare. The rates for service shall be agreed upon from time-to-time by GE Healthcare and Biochrom.

  

	16.	Product Certification. 

  

	 	(i)	Biochrom shall manufacture the Products in strict conformance with all agreed applicable requirements, such as CE Marking, UL, IEC, CSA, MHLW, CCC, or equivalent applicable
regulatory body, each as may be modified from time to time, and maintain the same at Biochrom’s sole expense. Unless agreed to otherwise in writing, if a party proposes a change in purchase specification, that party shall be responsible for any
additional Product certification or regulatory approval costs that may be necessary. See the Compliance section of Attachment B. 

  

	 	(ii)	Upon GE Healthcare’s request, Biochrom shall provide GE Healthcare, GE Healthcare’s notified body, or the appropriate regulatory authority, with a copy of all regulatory
certification reports including, but not limited to, technical documentation (set up according to Annexes II.4, or III from EU Directives 90/385/CEE- 93/42/CEE; Annexe VII from Directive 93/42/CEE; the annexe from Directive 2003/32/CE; and Annexe
III from Directive 98/79/CE). Biochrom shall also comply, at its own costs, with international quality standards ISO9001:2000 as may be modified from time to time. 

	17.	Provision of Information by Biochrom. Biochrom shall, at the request of GE Healthcare, provide GE Healthcare with all relevant information on Product reliability and
performance, at no cost to GE Healthcare. 

  

	18.	Regulatory Approvals and other Governmental Registrations. Biochrom shall be solely responsible for identifying, obtaining, and maintaining at its sole cost and expense all
applicable clearances and approvals that are required for the development, manufacture, or sale of any Product in the United States, Sweden and Japan, and Biochrom represents and warrants that it has obtained all such approvals for any Product
existing as of the Effective Date. For countries Biochrom does not hold regulatory approvals for, test reports and all necessary data to meet the country specific regulatory requirements have to be prepared and made available to GE Healthcare on
request, and GE Healthcare shall apply, in its name and at its cost, for all governmental registrations required for GE Healthcare to market Products during the Term as a distributor in such countries, unless the applicable laws of a particular
country require that such registrations be obtained by and in the name of the manufacturer of the applicable product, in which event Biochrom shall apply for such approvals at GE Healthcare’s cost. Biochrom shall reasonably cooperate with GE
Healthcare in its efforts to obtain such approvals. Biochrom agrees that GE Healthcare shall have access to all of Biochrom’s non-confidential regulatory submissions for the Products to the extent necessary to exercise its rights or fulfill its
obligations hereunder. 

  

	19.	Complaint Handling. GE Healthcare will be responsible for the coordination of customer complaint investigations. As determined by GE Healthcare, Biochrom will investigate
customer complaints at no charge and supply GE Healthcare with a written report summarizing the cause for the complaint and any corrective actions required within 14 days of receipt by Biochrom of such complaint, it being understood that, depending
on the nature of the complaint and investigation, the initial (14-day) response may be limited in scope and then followed up by a complete response as soon as reasonably practicable thereafter. 

  

	20.	Recalls and Field Corrections. In the event of any recall, product withdrawal or field correction of any Product that is required the parties agree that (a) they shall
promptly notify each other and (b) they shall fully cooperate with each other concerning the necessity and nature of such action. GE Healthcare shall be the point of contact for purchasers of any Product (whether directly or through its
distributors) and for coordination of any recall or field correction activities involving such Products. In the event that any Product requires field correction or is recalled as a result of (a) the supply by Biochrom of any Product not
complying with the terms and conditions of the Agreement (including all representations, covenants, and warranties included in the Agreement) or (b) the negligent or intentionally wrongful act or omission of Biochrom or its affiliates or their
representatives, then Biochrom shall bear all costs and expenses, including but not limited to the costs and expenses related to such recall or field correction, communications and meetings with all required regulatory agencies, replacement stock,
service labor, installation, travel, notifying customers of such recall and any replacement product to be delivered to those same customers, including shipping costs. To the extent that any such recall or field correction is due in part to the
negligent or intentional acts or omissions of GE Healthcare, GE Healthcare shall be responsible for such costs and expenses equitably in proportion to its fault. 

  

	21.	 Third-Party Infringement. In the event there is infringement by a third party of any Biochrom patent for the Product (“Third Party Infringement”)
and GE Healthcare becomes aware of such infringement, GE Healthcare may give Biochrom written notice to that effect, including with such written notice evidence establishing a prima facie case of infringement by such third party. 

	 	 
Biochrom shall bear all expenses of any suit brought by it based upon such infringement and shall retain all damages or other monies awarded or received in
settlement of such suit. If, after the expiration of ninety (90) days from the date of such notice, Biochrom has not obtained a discontinuance of such infringement or brought suit against the third party infringer, then the parties shall
appoint by mutual agreement an attorney with at least 15 years experience in litigating patent infringement lawsuits in the United States, who is a partner at a law firm with a nationally recognized intellectual property practice and who has no
prior relationship with either party (“Independent Patent Counsel”). Such Independent Patent Counsel shall evaluate the identified Third Party Infringement and advise the parties in writing by not later than 60 days after his or her
appointment whether he or she believes there is a reasonable likelihood of success in pursuing a claim for the Third Party Infringement. The cost of Independent Patent Counsel shall be shared equally by the parties. If Independent Patent Counsel
determines that there is a reasonable likelihood of success and by the 30th day after such advice Biochrom has still not obtained a discontinuance
of such infringement or brought suit against the third party infringer, then GE Healthcare shall have the right, but not the obligation, to bring suit against such infringer. Biochrom will cooperate with GE Healthcare in any such suit for
infringement brought by GE Healthcare against such third party, and shall have the right to consult with GE Healthcare and to participate in and be represented by independent counsel in such litigation at its own expense. GE Healthcare shall bear
all expenses of such suit, and shall retain any damages or other monies awarded or received in consequence of such litigation. 

  

	22.	Lifetime Buy Rights. Biochrom acknowledges its obligation to manufacture, supply and support the Products without interruption for the Term. If, however, after the third year
of shipment of such Products, Biochrom seeks to discontinue the supply or support of any Product (a “Discontinued Product”), Biochrom will give notice to GE Healthcare no less than six months in advance of the last date the Discontinued
Product can be ordered. After receipt of notice of discontinuance, GE Healthcare may Purchase from Supplier such quantity of the Discontinued Product as GE Healthcare deems necessary for its future requirements. 

  

	23.	In the event GE Healthcare decide to cease selling one of its products, GE Healthcare will give Biochrom no less than six months’ advance written notice.

  

	24.	

 IN WITNESS WHEREOF, the undersigned have executed this Addendum as of
the Effective Date. 
  

									
	Biochrom Limited	 		 	GE Healthcare Bio-Sciences Corp.
					
	By:	 	 /s/ James G Heffernan
	 		 	By:	 	 /s/ Jan Erneberg

	Name:	 	James G Heffernan	 		 	Name:	 	Jan Erneberg
	Title:	 	Managing Director	 		 	Title:	 	MD
	Date:	 	February 21, 2008	 		 	Date:	 	March 27, 2008PepsiCo Pension Equalization Plan

 EXHIBIT 10.46 
 PEPSICO 
 PENSION EQUALIZATION PLAN 
 (PEP) 
 Plan Document for the Section 409A Program 
 (January 1, 2005 Restatement, As Amended Through December 2008) 

 PEPSICO PENSION EQUALIZATION PLAN 
 Table of Contents 
  

					
	 	  	 	  	 Page No.

	 ARTICLE I FOREWORD
	  	I-1
		
	 ARTICLE II DEFINITIONS AND CONSTRUCTION
	  	II-1
			
	 2.1
	  	 Definitions
	  	II-1
			
	 2.2
	  	 Construction
	  	II-17
		
	 ARTICLE III PARTICIPATION AND SERVICE
	  	III-1
			
	 3.1
	  	 Participation
	  	III-1
			
	 3.2
	  	 Service
	  	III-1
			
	 3.3
	  	 Credited Service
	  	III-1
		
	 ARTICLE IV REQUIREMENTS FOR BENEFITS
	  	IV-1
			
	 4.1
	  	 Normal 409A Retirement Pension
	  	IV-1
			
	 4.2
	  	 Early 409A Retirement Pension
	  	IV-1
			
	 4.3
	  	 409A Vested Pension
	  	IV-1
			
	 4.4
	  	 Late 409A Retirement Pension
	  	IV-1
			
	 4.5
	  	 409A Disability Pension
	  	IV-2
			
	 4.6
	  	 Pre-Retirement Spouse’s 409A Pension
	  	IV-2
			
	 4.7
	  	 Vesting
	  	IV-3
			
	 4.8
	  	 Time of Payment
	  	IV-3
			
	 4.9
	  	 Cashout Distributions
	  	IV-4
			
	 4.10
	  	 Reemployment of Certain Participants
	  	IV-4
			
	 4.11
	  	 Forfeiture of Benefits
	  	IV-4

  

 i 

					
	 ARTICLE V AMOUNT OF RETIREMENT PENSION
	  	V-1
			
	 5.1
	  	 Participant’s 409A Pension:
	  	V-1
			
	 5.2
	  	 PEP Guarantee
	  	V-2
			
	 5.3
	  	 Amount of Pre-Retirement Spouse’s 409A Pension
	  	V-8
			
	 5.4
	  	 Certain Adjustments
	  	V-10
			
	 5.5
	  	 Excludable Employment
	  	V-11
			
	 5.6
	  	 Pre- 409A Pension:
	  	V-12
			
	 5.7
	  	 Offset
	  	V-12
		
	 ARTICLE VI DISTRIBUTION OF BENEFITS
	  	VI-1
			
	 6.1
	  	 Form and Timing of Distributions
	  	VI-1
			
	 6.2
	  	 Available Forms of Payment
	  	VI-4
			
	 6.3
	  	 Procedures for Elections
	  	VI-7
			
	 6.4
	  	 Special Rules for Survivor Options
	  	VI-8
			
	 6.5
	  	 Designation of Beneficiary
	  	VI-9
			
	 6.6
	  	 Required Delay for Key Employees
	  	VI-10
			
	 6.7
	  	 Payment of FICA and Related Income Taxes
	  	VI-11
		
	 ARTICLE VII ADMINISTRATION
	  	VII-1
			
	 7.1
	  	 Authority to Administer Plan
	  	VII-1
			
	 7.2
	  	 Facility of Payment
	  	VII-1
			
	 7.3
	  	 Claims Procedure
	  	VII-1
			
	 7.4
	  	 Effect of Specific References
	  	VII-4

  

 ii 

							
	 ARTICLE VIII MISCELLANEOUS
	  	VIII-1
			
	 8.1
	  	 Nonguarantee of Employment
	  	VIII-1
			
	 8.2
	  	 Nonalienation of Benefits
	  	VIII-1
			
	 8.3
	  	 Unfunded Plan
	  	VIII-1
			
	 8.4
	  	 Action by the Company
	  	VIII-1
			
	 8.5
	  	 Indemnification
	  	VIII-2
			
	 8.6
	  	 Compliance with Section 409A:
	  	VIII-2
			
	 8.7
	  	 Authorized Transfers
	  	VIII-3
		
	 ARTICLE IX AMENDMENT AND TERMINATION
	  	IX-1
			
	 9.1
	  	 Continuation of the Plan
	  	IX-1
			
	 9.2
	  	 Amendments
	  	IX-1
			
	 9.3
	  	 Termination
	  	IX-1
			
	 9.4
	  	 Change in Control
	  	IX-2
		
	 ARTICLE X ERISA PLAN STRUCTURE
	  	X-1
		
	 ARTICLE XI APPLICABLE LAW
	  	XI-1
		
	 ARTICLE XII SIGNATURE
	  	XII-1
		
	 APPENDIX
	  	1
		
	 ARTICLE A TRANSITION PROVISIONS
	  	2
			
	 ARTICLE B
	  	 COMPUTATION OF HIGHEST AVERAGE MONTHLY EARNINGS DURING CERTAIN SEVERANCE WINDOWS
	  	15
		
	 ARTICLE C INTERNATIONAL TRANSFER PARTICIPANTS
	  	18

  

 iii 

 ARTICLE I 
 Foreword 
 The PepsiCo Pension Equalization Plan (“PEP” or
“Plan”) has been established by PepsiCo for the benefit of salaried employees of the PepsiCo Organization who participate in the PepsiCo Salaried Employees Retirement Plan (“Salaried Plan”). PEP provides benefits for eligible
employees whose pension benefits under the Salaried Plan are limited by the provisions of the Internal Revenue Code of 1986, as amended. In addition, PEP provides benefits for certain eligible employees based on the pre-1989 Salaried Plan formula.

 The Plan was last amended and restated in its entirety effective as of January 1, 1989, and this restatement was
subsequently amended. 
 This document is effective as of January 1, 2005 (the “Effective Date”). It sets
forth the terms of the Plan that are applicable to benefits that are subject to Section 409A, i.e., generally, benefits that are earned or vested after December 31, 2004 (the “409A Program”). All other benefits under the
Plan shall be governed by the document referenced in the preceding paragraph, which sets forth the pre-Section 409A terms of the Plan (the “Pre-409A Program”). Together, this document and the document for the Pre-409A Program describe
the terms of a single plan. However, amounts subject to the terms of this 409A Program and amounts subject to the terms of the Pre-409A Program shall be tracked separately at all times. The preservation of the terms of the Pre-409A Program, without
material modification, and the separation between the 409A Program amounts and the Pre-409A Program amounts are intended to be sufficient to permit the pre-409A Program to remain exempt from Section 409A as grandfathered benefits. 

 

 I-1 

 ARTICLE II 
 Definitions and Construction 
 2.1 Definitions: This section provides
definitions for certain words and phrases listed below. These definitions can be found on the pages indicated. 
  

					
	 	  	 	  	 Page

	 (a)
	  	 Accrued Benefit
	  	II-2  
	 (b)
	  	 Actuarial Equivalent
	  	II-2  
	 (c)
	  	 Annuity
	  	II-3  
	 (d)
	  	 Annuity Starting Date
	  	II-4  
	 (e)
	  	 Code
	  	II-4  
	 (f)
	  	 Company
	  	II-4  
	 (g)
	  	 Covered Compensation
	  	II-4  
	 (h)
	  	 Credited Service
	  	II-4  
	 (i)
	  	 Disability Retirement Pension
	  	II-4  
	 (j)
	  	 Early Retirement Pension
	  	II-4  
	 (k)
	  	 Effective Date
	  	II-4  
	 (l)
	  	 Elapsed Time Service
	  	II-5  
	 (m)
	  	 Eligible Spouse
	  	II-5  
	 (n)
	  	 Employee
	  	II-5  
	 (o)
	  	 Employer
	  	II-5  
	 (p)
	  	 ERISA
	  	II-5  
	 (q)
	  	 FICA Amount
	  	II-5  
	 (r)
	  	 409A Program
	  	II-6  
	 (s)
	  	 Highest Average Monthly Earnings
	  	II-6  
	 (t)
	  	 Key Employee
	  	II-6  
	 (u)
	  	 Late Retirement Date
	  	II-8  
	 (v)
	  	 Late 409A Retirement Pension
	  	II-8  
	 (w)
	  	 Normal Retirement Age
	  	II-8  
	 (x)
	  	 Normal Retirement Date
	  	II-8  
	 (y)
	  	 Normal 409A Retirement Pension
	  	II-8  
	 (z)
	  	 Participant
	  	II-8  
	 (aa)
	  	 Pension
	  	II-8  
	 (bb)
	  	 PepsiCo Organization
	  	II-9  
	 (cc)
	  	 Plan
	  	II-9  
	 (dd)
	  	 Plan Administrator
	  	II-9  
	 (ee)
	  	 Plan Year
	  	II-9  
	 (ff)
	  	 Pre-409A Program
	  	II-9  
	 (gg)
	  	 Pre-Retirement Spouse’s Pension
	  	II-9  
	 (hh)
	  	 Primary Social Security Amount
	  	II-10
	 (ii)
	  	 Prohibited Misconduct
	  	II-11
	 (jj)
	  	 Qualified Joint and Survivor Annuity
	  	II-13
	 (kk)
	  	 Retirement
	  	II-14

  

 II-1 

					
	 (ll)
	  	 Retirement Date
	  	II-14
	 (mm)
	  	 Retirement Pension
	  	II-14
	 (nn)
	  	 Salaried Plan
	  	II-14
	 (oo)
	  	 Section 409A
	  	II-14
	 (pp)
	  	 Separation from Service
	  	II-14
	 (qq)
	  	 Service
	  	II-16
	 (rr)
	  	 Single Life Annuity
	  	II-16
	 (ss)
	  	 Single Lump Sum
	  	II-16
	 (tt)
	  	 Social Security Act
	  	II-17
	 (uu)
	  	 Taxable Wage Base
	  	II-17
	 (vv)
	  	 Vested Pension
	  	II-17

 Where the following words and phrases, in boldface and underlined, appear in this Plan (including
the Foreword) with initial capitals they shall have the meaning set forth below, unless a different meaning is plainly required by the context. 
 (a) Accrued Benefit: The Pension payable at Normal Retirement Date determined in accordance with Article V, based on the Participant’s Highest Average Monthly Earnings and
Credited Service at the date of determination. 
 (b) Actuarial Equivalent: Except as otherwise
specifically set forth in the Plan or any Appendix to the Plan with respect to a specific benefit determination, a benefit of equivalent value computed on the basis of the factors set forth below. The application of the following assumptions to the
computation of benefits payable under the Plan shall be done in a uniform and consistent manner. In the event the Plan is amended to provide new rights, features or benefits, the following actuarial factors shall not apply to these new elements
unless specifically adopted by the amendment. 
 (1) Annuities and Inflation Protection: To determine
the amount of a Pension payable in the form of a Qualified Joint and Survivor Annuity or optional form of survivor annuity, as an annuity with inflation protection, or as a period certain and life annuity, the Plan Administrator shall 

  

 II-2 

 
select the factors that are to be used. Effective January 1, 2009, the initial factors selected by the Plan Administrator are set forth in Schedule 1,
below (prior factors appear in the Appendix). Thereafter, the Plan Administrator shall review such initial factors from time to time and shall amend such factors in its discretion. A Participant shall have no right to have any of the actuarial
factors specified under the Plan from time to time applied to his benefit (or any portion thereof), except to the extent that a particular factor is currently in effect at the time it is to be applied under the Plan. For the avoidance of doubt, it
is expressly intended and binding upon Participants that any actuarial factors selected by the Plan Administrator from time-to-time may be applied retroactively to already accrued benefits, and without regard to the actuarial factors that may have
applied previously for such purpose. 
 SCHEDULE 1 
  

					
	 Date
	 	 Mortality Table Factors
	 	 Interest Rate Factor

	January 1, 2009-Present	 	GAR 94	 	5%

 (2) Lump Sums: To determine the lump sum value of a
Pension, or a Pre-Retirement Spouse’s Pension under Section 4.6, the factors applicable for such purposes under the Salaried Plan shall apply. 
 (3) Other Cases: To determine the adjustment to be made in the Pension payable to or on behalf of a Participant in other cases, the factors are those applicable for such purpose under the
Salaried Plan. 
 (c) Annuity: A Pension payable as a series of monthly payments for at least
the life of the Participant. 
  

 II-3 

 (d) Annuity Starting Date: The Annuity Starting Date shall
be the first day of the first period for which an amount is payable under this Plan as an annuity or in any other form. A Participant who: (1) is reemployed after his initial Annuity Starting Date, and (2) is entitled to benefits hereunder
after his reemployment, shall have a subsequent Annuity Starting Date for such benefits only to the extent provided in Section 6.3(b). 
 (e) Code: The Internal Revenue Code of 1986, as amended from time to time. All references herein to particular Code Sections shall also refer to any successor provisions and shall
include all related regulations, interpretations and other guidance. 
 (f) Company: PepsiCo,
Inc., a corporation organized and existing under the laws of the State of North Carolina or its successor or successors. 
 (g) Covered Compensation: “Covered Compensation” as that term is defined in the Salaried Plan. 
 (h) Credited Service: The period of a Participant’s employment, calculated in accordance with Section 3.3, which is counted for purposes of determining the amount of
benefits payable to, or on behalf of, the Participant. 
 (i) Disability Retirement Pension:
The Retirement Pension available to a Participant under Section 4.5. 
 (j) Early 409A Retirement
Pension: The 409A Retirement Pension available to a Participant under Section 4.2. 
 (k)
Effective Date: The date upon which this document for the 409A Program is effective, January 1, 2005. Certain identified provisions of the 409A Program or the Plan may be effective on different dates, to the extent noted
herein. 
  

 II-4 

 (l) Elapsed Time Service: The period of time beginning
with a Participant’s first date of employment with the PepsiCo Organization and ending with the Participant’s Final Separation from Service, irrespective of any breaks in service between those two dates. By way of illustration, if a
Participant began employment with the PepsiCo Organization on January 1, 2000, left the employment of the PepsiCo Organization from January 1, 2001 until December 31, 2004, and was then reemployed by the PepsiCo Organization on
January 1, 2005 until he had a Final Separation from Service on December 31, 2008, the Participant would have eight years of Elapsed Time Service as of his Final Separation from Service. 
 (m) Eligible Spouse: The spouse of a Participant to whom the Participant is married on the earlier of the
Participant’s Annuity Starting Date or the date of the Participant’s death. 
 (n)
Employee: An individual who qualifies as an “Employee” as that term is defined in the Salaried Plan. 
 (o) Employer: An entity that qualifies as an “Employer” as that term is defined in the Salaried Plan. 
 (p) ERISA: Public Law No. 93-406, the Employee Retirement Income Security Act of 1974, including any amendments thereto, any similar subsequent federal laws, and any rules and
regulations from time to time in effect under any of such laws. 
 (q) FICA Amount: The
Participant’s share of the Federal Insurance Contributions Act (FICA) tax imposed on the 409A Pension and Pre-409A Pension of the Participant under Code Sections 3101, 3121(a) and 3121(v)(2). 
  

 II-5 

 (r) 409A Program: The program described in this document.
The term “409A Program” is used to identify the portion of the Plan that is subject to Section 409A. 
 (s) Highest Average Monthly Earnings: “Highest Average Monthly Earnings” as that term is defined in the Salaried Plan, but without regard to the limitation imposed by section 401(a)(17) of the Code (as such
limitation is interpreted and applied under the Salaried Plan). Notwithstanding the foregoing, to the extent that a Participant receives, during a leave of absence, earnings that would be counted as Highest Average Monthly Earnings if they were
received during a period of active service, but that will be received after the Participant’s Separation from Service, the Plan Administrator may provide for determining the Participant’s 409A Pension at Separation from Service by
projecting the benefit the Participant would have if all such earnings were taken into account under the Plan. 
 (t) Key Employee: The individuals identified in accordance with the following paragraphs. 
 (1) In General. Any Participant who at any time during the applicable year is: 
 (i) An
officer of any member of the PepsiCo Organization having annual compensation greater than $130,000 (as adjusted for the applicable year under Code Section 416(i)(1)); 
 (ii) A 5-percent owner of any member of the PepsiCo Organization; or 
 (iii) A 1-percent owner of any member of the PepsiCo Organization having annual compensation of more than $150,000.

  

 II-6 

 For purposes of subparagraph (i) above, no more than 50 employees identified in the
order of their annual compensation shall be treated as officers. For purposes of this Section, annual compensation means compensation as defined in Treas. Reg. §1.415(c)-2(a), without regard to Treas. Reg. §§1.415(c)-2(d),
1.415(c)-2(e), and 1.415(c)-2(g). The Plan Administrator shall determine who is a Key Employee in accordance with Code Section 416(i) (provided, that Code Section 416(i)(5) shall not apply in making such determination), and provided
further than the applicable year shall be determined in accordance with Section 409A and that any modification of the foregoing definition that applies under Section 409A shall be taken into account. 
 (2) Applicable Year. Effective from and after December 31, 2007, the Plan Administrator shall determine Key
Employees effective as of the last day of each calendar year, based on compensation for such year, and such designation shall be effective for purposes of this Plan for the twelve-month period commencing on April 1st of the next following calendar year (e.g., the Key Employee determination by the Plan Administrator as of December 31, 2008 shall apply to the
period from April 1, 2009 to March 31, 2010). 
 (3) Rule of Administrative Convenience.
Effective from and after December 31, 2007, in addition to the foregoing, the Plan Administrator shall treat all other employees classified as Band IV and above on the applicable determination date prescribed in paragraph (2) (i.e.,
the period commencing on April 1st of the next following calendar year) as Key Employees for purposes of 

  

 II-7 

 
the Plan for the twelve-month period commencing on April 1st of the next following calendar year; provided that if this would result in counting more than 200 individuals as Key Employees as of any such determination date, then the number treated as Key Employees will be reduced to 200 by
eliminating from consideration those employees otherwise added by this paragraph (3) in order by their base compensation, from the lowest to the highest. 
 (u) Late Retirement Date: The Late Retirement Date shall be the first day of the month coincident with or immediately following a Participant’s actual Retirement Date occurring
after his Normal Retirement Age. 
 (v) Late 409A Retirement Pension: The 409A Retirement
Pension available to a Participant under Section 4.4. 
 (w) Normal Retirement Age: The
Normal Retirement Age under the Plan is age 65 or, if later, the age at which a Participant first has 5 Years of Elapsed Time Service. 
 (x) Normal Retirement Date: A Participant’s Normal Retirement Date shall be the first day of the month coincident with or immediately following a Participant’s Normal Retirement Age.

 (y) Normal 409A Retirement Pension: The Retirement Pension available to a Participant under
Section 4.1. 
 (z) Participant: An Employee participating in the Plan in accordance with
the provisions of Section 3.1. 
 (aa) Pension: One or more payments that are payable by
the Plan to a person who is entitled to receive benefits under the Plan. The term “409A Pension” shall 

  

 II-8 

 
be used to refer to the portion of a Pension that is derived from the 409A Program. The term “Pre-409A Pension” shall be used to refer to the
portion of a Pension that is derived from the Pre-409A Program. 
 (bb) PepsiCo Organization:
The controlled group of organizations of which the Company is a part, as defined by Code section 414 and regulations issued thereunder. An entity shall be considered a member of the PepsiCo Organization only during the period it is one of the group
of organizations described in the preceding sentence. 
 (cc) Plan: The PepsiCo Pension
Equalization Plan, the Plan set forth herein and in the Pre-409A Program document(s), as the Plan may be amended from time to time (subject to the limitations on amendment that are applicable hereunder and under the Pre-409A Program). The Plan is
also sometimes referred to as PEP, or as the PepsiCo Pension Benefit Equalization Plan. 
 (dd) Plan
Administrator: The PepsiCo Administration Committee (PAC), which shall have authority to administer the Plan as provided in Article VII. 
 (ee) Plan Year: The 12-month period commencing on January 1 and ending on December 31. 
 (ff) Pre-409A Program: The portion of the Plan that governs deferrals that are not subject to
Section 409A. The terms of the Pre-409A Program are set forth in a separate document (or separate set of documents). 
 (gg) Pre-Retirement Spouse’s Pension: The Pension available to an Eligible Spouse under the Plan. The term “Pre-Retirement Spouse’s 409A Pension” shall be used to refer to the Pension
available to an Eligible Spouse under Section 4.6 of this document. 
  

 II-9 

 (hh) Primary Social Security Amount: In determining
Pension amounts, Primary Social Security Amount shall mean: 
 (1) For purposes of determining the amount of
a Retirement, Vested or Pre-Retirement Spouse’s Pension, the Primary Social Security Amount shall be the estimated monthly amount that may be payable to a Participant commencing at age 65 as an old-age insurance benefit under the provisions of
Title II of the Social Security Act, as amended. Such estimates of the old-age insurance benefit to which a Participant would be entitled at age 65 shall be based upon the following assumptions: 
 (i) That the Participant’s social security wages in any year prior to Retirement or Separation from Service are
equal to the Taxable Wage Base in such year, and 
 (ii) That he will not receive any social security wages
after Retirement or Separation from Service. 
 However, in computing a Vested Pension under Formula A of Section 5.2,
the estimate of the old-age insurance benefit to which a Participant would be entitled at age 65 shall be based upon the assumption that he continued to receive social security wages until age 65 at the same rate as the Taxable Wage Base in effect
at his Separation from Service. For purposes of this subsection, “social security wages” shall mean wages within the meaning of the Social Security Act. 
  

 II-10 

 (2) For purposes of determining the amount of a Disability Pension, the
Primary Social Security Amount shall be (except as provided in the next sentence) the initial monthly amount actually received by the disabled Participant as a disability insurance benefit under the provisions of Title II of the Social Security Act,
as amended and in effect at the time of the Participant’s Retirement due to disability. Notwithstanding the preceding sentence, for any period that a Participant receives a Disability Pension before receiving a disability insurance benefit
under the provisions of Title II of the Social Security Act, then the Participant’s Primary Social Security Amount for such period shall be determined pursuant to paragraph (1) above. 
 (3) For purposes of paragraphs (1) and (2), the Primary Social Security Amount shall exclude amounts that may be
available because of the spouse or any dependent of the Participant or any amounts payable on account of the Participant’s death. Estimates of Primary Social Security Amounts shall be made on the basis of the Social Security Act as in effect at
the Participant’s Separation from Service, without regard to any increases in the social security wage base or benefit levels provided by such Act which take effect thereafter. 
 (ii) Prohibited Misconduct: Any of the following activities engaged in, directly or indirectly, by a
Participant shall constitute Prohibited Misconduct: 
 (1) The Participant accepting any employment,
assignment, position or responsibility, or acquiring any ownership interest, which involves the Participant’s “Participation” (as defined below) in a business entity that markets, sells, distributes or produces “Covered
Products” (as defined below), unless such business entity makes retail sales or consumes Covered Products without in any way competing with the PepsiCo Organization. 
  

 II-11 

 (2) The Participant, directly or indirectly (including through someone
else acting on the Participant’s recommendation, suggestion, identification or advice), soliciting any PepsiCo Organization employee to leave the PepsiCo Organization’s employment or to accept any position with any other entity.

 (3) The Participant using or disclosing to anyone any confidential information regarding the PepsiCo
Organization other than as necessary in his or her position with the PepsiCo Organization. Such confidential information shall include all non-public information the Participant acquired as a result of his or her positions with the PepsiCo
Organization which might be of any value to a competitor of the PepsiCo Organization, or which might cause any economic loss or substantial embarrassment to the PepsiCo Organization or its customers, bottlers, distributors or suppliers if used or
disclosed. Examples of such confidential information include non-public information about the PepsiCo Organization’s customers, suppliers, distributors and potential acquisition targets; its business operations and structure; its product lines,
formulas and pricing; its processes, machines and inventions; its research and know-how; its financial data; and its plans and strategies. 
 (4) The Participant engaging in any acts that are considered to be contrary to the PepsiCo Organization’s best interests, including violating the Company’s Code of Conduct, engaging in
unlawful trading in the securities of the 

  

 II-12 

 
Company or of any other company based on information gained as a result of his or her employment with the PepsiCo Organization, or engaging in any other
activity which constitutes gross misconduct. 
 (5) The Participant engaging in any activity that
constitutes fraud. 
 For purposes of this subsection, “Participation” shall be construed broadly to include:
(i) serving as a director, officer, employee, consultant or contractor with respect to such a business entity; (ii) providing input, advice, guidance or suggestions to such a business entity; or (iii) providing a recommendation or
testimonial on behalf of such a business entity or one or more products it produces. For purposes of this subsection, “Covered Products” shall mean any product that falls into one or more of the following categories, so long as the PepsiCo
Organization is producing, marketing, selling or licensing such product anywhere in the world – beverages, including without limitation carbonated soft drinks, tea, water, juice drinks, sports drinks, coffee drinks and value-added dairy drinks;
juices and juice products; snacks, including salty snacks, sweet snacks meat snacks, granola and cereal bars, and cookies; hot cereals; pancake mixes; value-added rice products; pancake syrups; value-added pasta products; ready-to-eat cereals; dry
pasta products; or any product or service that the Participant had reason to know was under development by the PepsiCo Organization during the Participant’s employment with the PepsiCo Organization. 
 (jj) Qualified Joint and Survivor Annuity: An Annuity which is payable to the Participant for life with 50
percent of the amount of such Annuity payable after the Participant’s death to his surviving Eligible Spouse for life. If the Eligible 

  

 II-13 

 
Spouse predeceases the Participant, no survivor benefit under a Qualified Joint and Survivor Annuity shall be payable to any person. The amount of a
Participant’s monthly payment under a Qualified Joint and Survivor Annuity shall be reduced to the extent provided in Sections 5.1 and 5.2, as applicable. 
 (kk) Retirement: Separation from Service for reasons other than death after a Participant has fulfilled the requirements for either a Normal, Early, Late, or Disability Retirement
Pension under Article IV. 
 (ll) Retirement Date: The date immediately following the
Participant’s Retirement. 
 (mm) Retirement Pension: The Pension payable to a Participant
upon Retirement under the Plan. The term “409A Retirement Pension” shall be used to refer to the portion of a Retirement Pension that is derived from the 409A Program. The term “Pre-409A Retirement Pension” shall be used to refer
to the portion of a Retirement Pension that is derived from the Pre-409A Program. 
 (nn) Salaried
Plan: The PepsiCo Salaried Employees Retirement Plan, as it may be amended from time to time. 
 (oo)
Section 409A: Section 409A of the Code. 
 (pp) Separation from
Service: A Participant’s separation from service with the PepsiCo Organization, within the meaning of Section 409A(a)(2)(A)(i). The term may also be used as a verb (i.e., “Separates from Service”) with no change in
meaning. Notwithstanding the preceding sentence, a Participant’s transfer to an entity owned 20% or more by the Company will not constitute a Separation of Service to the extent permitted by Section 409A. A Participant’s “Final
Separation from Service” is the 

  

 II-14 

 
date of his Separation from Service that most recently precedes his Annuity Starting Date; provided, however, that to the extent a Participant is reemployed
after an Annuity Starting Date, he will have a new Final Separation from Service with respect to any benefits to which he becomes entitled as a result of his reemployment. The following principles shall generally apply in determining when a
Separation from Service occurs: 
 (1) A Participant separates from service with the Company if the Employee
dies, retires, or otherwise has a termination of employment with the Company. Whether a termination of employment has occurred is determined based on whether the facts and circumstance indicate that the Company and the Employee reasonably
anticipated that no further services would be performed after a certain date or that the level of bona fide services the Employee would perform after such date (as an employee or independent contractor) would permanently decrease to no more than 20
percent of the average level of bona fide services performed over the immediately preceding 36-month period (or the full period in which the Employee provided services to the Company if the Employee has been providing services for less than 36
months). 
 (2) An Employee will not be deemed to have experienced a Separation from Service if such
Employee is on military leave, sick leave, or other bona fide leave of absence, to the extent such leave does not exceed a period of six months or, if longer, such longer period of time during which a right to re-employment is protected by either
statute or contract. If the period of leave exceeds six months and the individual does not retain a right to re-employment under an applicable statute or by contract, the employment relationship is deemed 

  

 II-15 

 
to terminate on the first date immediately following such six-month period. Notwithstanding the foregoing, where a leave of absence is due to 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 six months, where such impairment causes the Employee to be unable to perform the duties of his or
her position of employment or any substantially similar position of employment, a 29-month period of absence may be substituted for such six-month period. 
 (3) If an Employee provides services both an as employee and as a member of the Board of Directors of the Company, the services provided as a Director are generally not taken into account in
determining whether the Employee has Separated from Service as an Employee for purposes of the Plan, in accordance with final regulations under Section 409A. 
 (qq) Service: The period of a Participant’s employment calculated in accordance with Section 3.2
for purposes of determining his entitlement to benefits under the Plan. 
 (rr) Single Life
Annuity: A level monthly Annuity payable to a Participant for his life only, with no survivor benefits to his Eligible Spouse or any other person. 
 (ss) Single Lump Sum: The distribution of a Participant’s total 409A Pension in the form of a single payment, which payment shall be the Actuarial Equivalent of the
Participant’s 409A Pension as of the Participant’s Normal Retirement Date (or Late Retirement Date, if applicable), but not less than the Actuarial Equivalent of the Participant’s 409A Pension as of the Participant’s Early
Retirement Date, in the case of a Participant who is entitled to an immediate Early 409A Retirement Pension. 
  

 II-16 

 (tt) Social Security Act: The Social Security Act of the
United States, as amended, an enactment providing governmental benefits in connection with events such as old age, death and disability. Any reference herein to the Social Security Act (or any of the benefits provided thereunder) shall be taken as a
reference to any comparable governmental program of another country, as determined by the Plan Administrator, but only to the extent the Plan Administrator judges the computation of those benefits to be administratively feasible. 
 (uu) Taxable Wage Base: The contribution and benefit base (as determined under section 230 of the Social
Security Act) in effect for the Plan Year. 
 (vv) Vested Pension: The Pension available to a
Participant under Section 4.3. The term “409A Vested Pension” shall be used to refer to the portion of a Vested Pension that is derived from the 409A Program. The term “Pre-409A Vested Pension” shall be used to refer to the
portion of a Vested Pension that is derived from the Pre-409A Program. 
 2.2 Construction: The terms of the Plan
shall be construed in accordance with this section. 
 (a) Gender and Number: The masculine gender,
where appearing in the Plan, shall be deemed to include the feminine gender, and the singular may include the plural, unless the context clearly indicates to the contrary. 
  

 II-17 

 (b) Compounds of the Word “Here”: The words
“hereof”, “hereunder” and other similar compounds of the word “here” shall mean and refer to the entire Plan, not to any particular provision or section. 
 (c) Examples: Whenever an example is provided or the text uses the term “including” followed by a
specific item or items, or there is a passage having a similar effect, such passages of the Plan shall be construed as if the phrase “without limitation” followed such example or term (or otherwise applied to such passage in a manner that
avoids limits on its breadth of application). 
 (d) Subdivisions of the Plan Document: This Plan
document is divided and subdivided using the following progression: articles, sections, subsections, paragraphs, subparagraphs, clauses, and sub-clauses. Articles are designated by capital roman numerals. Sections are designated by Arabic numerals
containing a decimal point. Subsections are designated by lower-case letters in parentheses. Paragraphs are designated by Arabic numerals in parentheses. Subparagraphs are designated by lower-case roman numerals in parentheses. Clauses are
designated by upper-case letters in parentheses. Sub-clauses are designated by upper-case roman numerals in parentheses. Any reference in a section to a subsection (with no accompanying section reference) shall be read as a reference to the
subsection with the specified designation contained in that same section. A similar rule shall apply with respect to paragraph references within a subsection and subparagraph references within a paragraph. 
  

 II-18 

 ARTICLE III 
 Participation and Service 
 3.1 Participation: An Employee shall be a
Participant in the Plan during the period: 
 (a) When he would be currently entitled to receive a Pension
under the Plan if his employment terminated at such time, or 
 (b) When he would be so entitled but for the
vesting requirement of Section 4.7. 
 It is expressly contemplated that an Employee, who is entitled to receive a Pension under the
Plan as of a particular time, may subsequently cease to be entitled to receive a Pension under the Plan. 
 3.2
Service: A Participant’s entitlement to a Pension and to a Pre-Retirement Spouse’s Pension for his Eligible Spouse shall be determined under Article IV based upon his period of Service. A Participant’s period of Service shall
be determined under Article III of the Salaried Plan. If a Participant’s period of Service (as so determined) would extend beyond the Participant’s Separation from Service date because of a leave of absence, the Plan Administrator may
provide for determining the Participant’s 409A Pension at Separation from Service by projecting the benefit the Participant would have if all such Service were taken into account under the Plan. 
 3.3 Credited Service: The amount of a Participant’s Pension and a Pre-Retirement Spouse’s Pension shall be based upon
the Participant’s period of Credited Service, as determined under Article III of the Salaried Plan. If a Participant’s period of Credited Service (as so determined) would extend beyond the Participant’s Separation from Service date
because 

  

 III-1 

 
of a leave of absence, the Plan Administrator may provide for determining the Participant’s 409A Pension at Separation from Service by projecting the
benefit the Participant would have if all such Service were taken into account under the Plan. 
  

 III-2 

 ARTICLE IV 
 Requirements for Benefits 
 A Participant shall be eligible to receive a Pension and
a surviving Eligible Spouse shall be eligible for certain survivor benefits as provided in this Article. The amount of any such Pension or survivor benefit shall be determined in accordance with Article V. 
 4.1 Normal 409A Retirement Pension: A Participant shall be eligible for a Normal 409A Retirement Pension if he Separates from
Service after attaining Normal Retirement Age. 
 4.2 Early 409A Retirement Pension: A Participant shall be eligible
for an Early 409A Retirement Pension if he Separates from Service prior to attaining Normal Retirement Age but after attaining at least age 55 and completing 10 or more years of Elapsed Time Service. 
 4.3 409A Vested Pension: A Participant who is vested under Section 4.7 shall be eligible to receive a 409A Vested Pension if
he Separates from Service before he is eligible for a Normal 409A Retirement Pension or an Early 409A Retirement Pension. A Participant who terminates employment prior to satisfying the vesting requirement in Section 4.7 shall not be eligible
to receive a Pension under this Plan. 
 4.4 Late 409A Retirement Pension: A Participant who continues without a
Separation from Service after his Normal Retirement Age shall not receive a Pension until his Late Retirement Date. Thereafter, a Participant shall be eligible for a Late Retirement Pension determined in accordance with Section 4.4 of the
Salaried Plan (but without regard to any requirement for notice of suspension under ERISA section 203(a)(3)(B) or any adjustment as under Section 5.5(d) of the Salaried Plan). 
  

 IV-1 

 4.5 409A Disability Pension: A Participant shall be eligible for a 409A
Disability Pension if he meets the requirements for a Disability Pension under the Salaried Plan. A Participant’s 409A Disability Pension, if any, shall generally be comprised of two parts. The first part shall represent the benefits with
respect to a disabled Participant’s Credited Service through the day of the Participant’s Separation from Service (i.e., the Participant’s “Pre-Separation Accruals”). In the event the disabled Participant continues to
receive Credited Service related to the disability after such Separation from Service, the Participant’s 409A Disability Pension shall have a second part, which shall represent all benefits accrued with respect to Credited Service from the date
immediately following the Participant’s Separation from Service until the earliest of the Participant’s (i) attainment of age 65, (ii) benefit commencement date under the Salaried Plan or (iii) recovery from the disability
(i.e., the Participant’s “Post-LTD Accruals”). 
 4.6 Pre-Retirement Spouse’s 409A
Pension: A Pre-Retirement Spouse’s 409A Pension is payable under this section only in the event the Participant dies prior to his Annuity Starting Date. Any Pre-Retirement Spouse’s 409A Pension payable on behalf of a Participant shall
commence as of the first day of the month following the later of (i) the Participant’s death and, (ii) the date the Participant attains or would have attained age 55. Subject to Section 4.9, any Pre-Retirement Spouse’s 409A
Pension shall continue monthly for the life of the Eligible Spouse. 
 (a) Active, Disabled and Retired
Employees: A Pre-Retirement Spouse’s 409A Pension shall be payable under this subsection to a Participant’s Eligible Spouse (if any) who is entitled under the Salaried Plan to the pre-retirement spouse’s pension for survivors of
active, disabled and retired employees. The amount (if any) of such Pension shall be determined in accordance with the provisions of Section 5.3 (with the 409A Pension, if any, determined after application of Section 5.6). 
  

 IV-2 

 (b) Vested Employees: A Pre-Retirement Spouse’s 409A Pension
shall be payable under this subsection to a Participant’s Eligible Spouse (if any) who is entitled under the Salaried Plan to the pre-retirement spouse’s pension for survivors of vested terminated Employees. The amount (if any) of such
Pension shall be determined in accordance with the provisions of Section 5.3 (with the 409A Pension, if any, determined after application of Section 5.6). If pursuant to this Section 4.6(b) a Participant has Pre-Retirement
Spouse’s coverage in effect for his Eligible Spouse, any Pension calculated for the Participant under Section 5.2(b) shall be reduced for each year such coverage is in effect by the applicable percentage set forth below (based on the
Participant’s age at the time the coverage is in effect) with a pro rata reduction for any portion of a year. No reduction shall be made for coverage in effect within the 90-day period following a Participant’s termination of employment.

  

				
	 Attained Age
	  	Annual Charge	 
	 Up to 35
	  	.0	%
	 35 — 39
	  	.075	%
	 40 — 44
	  	.1	%
	 45 — 49
	  	.175	%
	 50 — 54
	  	.3	%
	 55 — 59
	  	.5	%
	 60 — 64
	  	.5	%

 4.7 Vesting: A Participant shall be fully vested in, and have a
nonforfeitable right to, his Accrued Benefit at the time he becomes fully vested in his accrued benefit under the Salaried Plan. 
 4.8 Time of Payment: The distribution of a Participant’s 409A Pension shall commence as of the time specified in Section 6.1, subject to Section 6.6. 
  

 IV-3 

 4.9 Cashout Distributions: Notwithstanding the availability or applicability of a
different form of payment under Article VI, the following rules shall apply in the case of certain small benefit Annuity payments: 
 (a) Distribution of Participant’s Pension: If at a Participant’s Annuity Starting Date the Actuarial Equivalent lump sum value of the Participant’s PEP Pension is equal to or less than $15,000,
the Plan Administrator shall distribute to the Participant such lump sum value of the Participant’s PEP Pension. 
 (b) Distribution of Pre-Retirement Spouse’s Pension Benefit: If at the time payments are to commence to an Eligible Spouse under Section 4.6, the Actuarial Equivalent lump sum value of the PEP
Pre-Retirement Spouse’s Pension to be paid is equal to or less than $15,000, the Plan Administrator shall distribute to the Eligible Spouse such lump sum value of the PEP Pre-Retirement Spouse’s Pension. 
 Any lump sum distributed under this section shall be in lieu of the Pension that otherwise would be distributable to the Participant or Eligible Spouse
hereunder. 
 4.10 Reemployment of Certain Participants: In the case of a current or former Participant who is
receiving his Pension as an Annuity under Section 6.1(b), and who is reemployed and is eligible to re-participate in the Salaried Plan after his Annuity Starting Date, payment of his 409A Pension will continue to be paid in the same form as it
was paid prior to his reemployment. Any additional 409A Pension that is earned by the Participant shall be paid based on the Separation from Service that follows the Participant’s re-employment. 
 4.11 Forfeiture of Benefits: Effective beginning with benefits accrued after December 31, 2008 (“Post-2008
Accruals”), and notwithstanding any other provision of this Plan to the contrary, if the Plan Administrator determines that a Participant has engaged in Prohibited 

  

 IV-4 

 
Misconduct at any time prior to the second anniversary of his or her Separation from Service, the Participant shall forfeit all Post-2008 Accruals (whether
paid previously, being paid currently or payable in the future), and his or her 409A Pension shall be adjusted to reflect such forfeiture and previously paid Post-2008 Accruals shall be recovered. 
  

 IV-5 

 ARTICLE V 
 Amount of Retirement Pension 
 When a 409A Pension becomes payable to or on behalf
of a Participant under this Plan, the amount of such 409A Pension shall be determined under Section 5.1 or 5.3 (whichever is applicable), subject to any adjustments required under Sections 4.6(b) and 5.4. 
 5.1 Participant’s 409A Pension: 
 (a) Calculating the 409A Pension: A Participant’s 409A Pension shall be calculated as follows (on the basis specified in subsection (b) below and using the definitions appearing
in subsection (c) below): 
 (1) His Total Pension, reduced by 
 (2) His Salaried Plan Pension, and then further reduced by (but not below zero) 
 (3) His Pre-409A Pension. 
 (b) Basis for Determining: The 409A Pension Benefit amount in subsection (a) above shall be determined on a basis that takes into account applicable reductions for early commencement
and that reflects, as applicable, the relative value of forms of payment. 
 (c) Definitions: The
following definitions apply for purposes of this section. 
 (1) A Participant’s “Total
Pension” means the greater of: 
 (i) The amount of the Participant’s pension determined under the
terms of the Salaried Plan, but without regard to: (A) the limitations imposed by sections 401(a)(17) and 415 of the Code (as such 

  

 V-1 

 
limitations are interpreted and applied under the Salaried Plan), and (B) the actuarial adjustment under Section 5.7(d) of the Salaried Plan
(relating to benefits that are deferred beyond the Participant’s Normal Retirement Date); or 
 (ii)
The amount (if any) of the Participant’s PEP Guarantee determined under Section 5.2. 
 As necessary to ensure the
Participant’s receipt of a “greater of” benefit, the foregoing comparison shall be made by reflecting, as applicable, the relative value of forms of payment. 
 (2) A Participant’s “Salaried Plan Pension” means the amount of the Participant’s pension determined
under the terms of the Salaried Plan. 
 (3) A Participant’s “Pre-409A Pension” means the
amount of the Participant’s pension determined under Section 5.6. 
 5.2 PEP Guarantee: A Participant who
is eligible under subsection (a) below shall be entitled to a PEP Guarantee benefit determined under subsection (b) below. In the case of other Participants, the PEP Guarantee shall not apply. 
 (a) Eligibility: A Participant shall be covered by this section if the Participant has 1988 pensionable earnings
from an Employer of at least $75,000. For purposes of this section, “1988 pensionable earnings” means the Participant’s remuneration for the 1988 calendar year, within the meaning of the Salaried Plan as in effect in 1988. “1988
pensionable earnings” does not include remuneration from an entity attributable to any period when that entity was not an Employer. 
  

 V-2 

 (b) PEP Guarantee Formula: The amount of a Participant’s PEP
Guarantee shall be determined under the applicable formula in paragraph (1), subject to the special rules in paragraph (2). 
 (1) Formulas: The amount of a Participant’s Pension under this paragraph shall be determined in accordance with subparagraph (i) below. However, if the Participant was actively employed by the PepsiCo
Organization in a classification eligible for the Salaried Plan prior to July 1, 1975, the amount of his Pension under this paragraph shall be the greater of the amounts determined under subparagraphs (i) and (ii), provided that
subparagraph (ii)(B) shall not apply in determining the amount of a Vested Pension. 
 (i) Formula A:
The Pension amount under this subparagraph shall be: 
 (A) 3 percent of the Participant’s Highest
Average Monthly Earnings for the first 10 years of Credited Service, plus 
 (B) 1 percent of the
Participant’s Highest Average Monthly Earnings for each year of Credited Service in excess of 10 years, less 
 (C) 1-2/3 percent of the Participant’s Primary Social Security Amount multiplied by years of Credited Service not in excess of 30 years. 
 In determining the amount of a Vested Pension under this Formula A, the Pension shall first be calculated on the basis of (I) the Credited Service the 

  

 V-3 

 
Participant would have earned had he remained in the employ of the Employer until his Normal Retirement Age, and (II) his Highest Average Monthly Earnings
and Primary Social Security Amount at his Separation from Service, and then shall be reduced by multiplying the resulting amount by a fraction, the numerator of which is the Participant’s actual years of Credited Service on his Separation from
Service and the denominator of which is the years of Credited Service he would have earned had he remained in the employ of an Employer until his Normal Retirement Age. 
 (ii) Formula B: The Pension amount under this subparagraph shall be the greater of (A) or (B) below:

 (A) 1-1/2 percent of Highest Average Monthly Earnings times the number of years of Credited Service, less
50 percent of the Participant’s Primary Social Security Amount, or 
 (B) 3 percent of Highest Average
Monthly Earnings times the number of years of Credited Service up to 15 years, less 50 percent of the Participant’s Primary Social Security Amount. 
 In determining the amount of a Disability Pension under Formula A or B above, the Pension shall be calculated on the basis of the Participant’s Credited Service (determined in accordance with
Section 3.3(d)(3) of the Salaried Plan), and his Highest Average Monthly Earnings and Primary Social Security Amount at the date of disability. 
  

 V-4 

 (2) Calculation: The amount of the PEP Guarantee shall be
determined pursuant to paragraph (1) above, subject to the following special rules: 
 (i) Surviving
Eligible Spouse’s Annuity: Subject to subparagraph (iii) below and the last sentence of this subparagraph, if the Participant has an Eligible Spouse, the Participant’s Eligible Spouse shall be entitled to receive a survivor
annuity equal to 50 percent of the Participant’s Annuity under this section, with no corresponding reduction in such Annuity for the Participant. Annuity payments to a surviving Eligible Spouse shall begin on the first day of the month
coincident with or following the Participant’s death and shall end with the last monthly payment due prior to the Eligible Spouse’s death. If the Eligible Spouse is more than 10 years younger than the Participant, the survivor benefit
payable under this subparagraph shall be adjusted as provided below. 
 (A) For each full year more than 10
but less than 21 that the surviving Eligible Spouse is younger than the Participant, the survivor benefit payable to such spouse shall be reduced by 0.8 percent. 
 (B) For each full year more than 20 that the surviving Eligible Spouse is younger than the Participant, the survivor
benefit payable to such spouse shall be reduced by an additional 0.4 percent. 
 (ii) Reductions: The
following reductions shall apply in determining a Participant’s PEP Guarantee. 
  

 V-5 

 (A) If the Participant will receive an Early Retirement Pension, the
payment amount shall be reduced by 3/12ths of 1 percent for each month by which the benefit commencement date precedes the date the Participant would attain his Normal Retirement Date. 
 (B) If the Participant is entitled to a Vested Pension, the payment amount shall be reduced to the actuarial equivalent
of the amount payable at his Normal Retirement Date (if payment commences before such date), and the Section 4.6(b) reductions for any Pre-Retirement Spouse’s coverage shall apply. 
 (C) This clause applies if the Participant will receive his Pension in a form that provides an Eligible Spouse benefit,
continuing for the life of the surviving spouse, that is greater than that provided under subparagraph (i). In this instance, the Participant’s Pension under this section shall be reduced so that the total value of the benefit payable on the
Participant’s behalf is the actuarial equivalent of the Pension otherwise payable under the foregoing provisions of this section. 
 (D) This clause applies if the Participant will receive his Pension in a form that provides a survivor annuity for a beneficiary who is not his Eligible Spouse. In this instance, the Participant’s Pension under
this section shall be reduced so that the total value of the benefit payable on the Participant’s behalf is the actuarial equivalent of a Single Life Annuity for the Participant’s life. 
  

 V-6 

 (E) This clause applies if the Participant will receive his Pension in
a Annuity form that includes inflation protection described in Section 6.2(b). In this instance, the Participant’s Pension under this section shall be reduced so that the total value of the benefit payable on the Participant’s behalf
is the actuarial equivalent of the elected Annuity without such protection. 
 (iii) Lump Sum
Conversion: The amount of the Retirement Pension determined under this section for a Participant whose Retirement Pension will be distributed in the form of a lump sum shall be the actuarial equivalent of the Participant’s PEP Guarantee
determined under this section, taking into account the value of any survivor benefit under subparagraph (i) above and any early retirement reductions under subparagraph (ii)(A) above. 
 For purposes of this paragraph (2), actuarial equivalence shall be determined taking into account the PEP Guarantee’s purpose to
preserve substantially the value of a benefit under the pre-1989 terms of the Plan and the 409A Plan’s design that offers alternative annuities that are considered actuarial equivalent for purposes of Section 409A (taking into account,
without limitation, the special rule for subsidized joint and survivor annuities in Treasury Regulation § 1.409A-3(b)(ii)(C)). 
  

 V-7 

 5.3 Amount of Pre-Retirement Spouse’s 409A Pension: The monthly amount of
the Pre-Retirement Spouse’s 409A Pension payable to a surviving Eligible Spouse under Section 4.6 shall be determined under subsection (a) below. 
 (a) Calculation: An Eligible Spouse’s Pre-Retirement Spouse’s 409A Pension shall be equal to: 
 (1) The Eligible Spouse’s Total Pre-Retirement Spouse’s Pension, reduced by 
 (2) The Eligible Spouse’s Salaried Plan Pre-Retirement Spouse’s Pension, and then further reduced by
(but not below zero) 
 (3) The Eligible Spouse’s Pre-Retirement Spouse’s Pension derived from the
Pre-409A Program. 
 (b) Definitions: The following definitions apply for purposes of this section.

 (1) An Eligible Spouse’s “Total Pre-Retirement Spouse’s Pension” means the greater
of: 
 (i) The amount of the Eligible Spouse’s pre-retirement spouse’s pension determined under
the terms of the Salaried Plan, but without regard to: (A) the limitations imposed by sections 401(a)(17) and 415 of the Code (as such limitations are interpreted and applied under the Salaried Plan), and (B) the actuarial adjustment under
Section 5.5(d) of the Salaried Plan; or 
 (ii) The amount (if any) of the Eligible Spouse’s PEP
Guarantee Pre-Retirement Spouse’s Pension determined under subsection (c). 
  

 V-8 

 In making this comparison, the benefits in subparagraphs (i) and (ii) above
shall be calculated as if payable as of what would be the Normal Retirement Date of the Participant related to the Eligible Spouse. 
 (2) An “Eligible Spouse’s Salaried Plan Pre-Retirement Spouse’s Pension” means the Pre-Retirement Spouse’s Pension that would be payable to the Eligible Spouse under the terms of the Salaried
Plan. 
 (3) An “Eligible Spouse’s Pre-Retirement Spouse’s Pension derived from the Pre-409A
Program” means the Pre-Retirement Spouse’s Pension that would be payable to the Eligible Spouse under the terms of the Pre-409A Program. 
 (c) PEP Guarantee Pre-Retirement Spouse’s Pension: An Eligible Spouse’s PEP Guarantee Pre-Retirement Spouse’s Pension shall be determined in accordance with paragraph
(1) or (2) below, whichever is applicable, with reference to the PEP Guarantee (if any) that would have been available to the Participant under Section 5.2. 
 (1) Normal Rule: The Pre-Retirement Spouse’s Pension payable under this paragraph shall be equal to the
amount that would be payable as a survivor annuity, under a Qualified Joint and Survivor Annuity, if the Participant had: 
 (i) Separated from Service on the date of death (or, if earlier, his actual Separation from Service); 
 (ii) Commenced a Qualified Joint and Survivor Annuity on the same date payments of the Qualified Pre-Retirement Spouse’s Pension are to commence; and 
  

 V-9 

 (iii) Died on the day immediately following such commencement.

 (2) Special Rule for Active and Disabled Employees: Notwithstanding paragraph (1) above, the
Pre-Retirement Spouse’s Pension paid on behalf of a Participant described in Section 4.6(a) shall not be less than an amount equal to 25 percent of such Participant’s PEP Guarantee determined under Section 5.2. For this purpose,
Credited Service shall be determined as provided in Section 3.3(d)(2) of the Salaried Plan, and the deceased Participant’s Highest Average Monthly Earnings, Primary Social Security Amount and Covered Compensation shall be determined as of
his date of death. A Pre-Retirement Spouse’s Pension under this paragraph is not reduced for early commencement. 
 Principles similar
to those applicable under – (i) Section 5.1(b), and (ii) the last sentence of Section 5.2(b)(2) shall apply in determining the Pre-Retirement Spouse’s 409A Pension under this section. 
 5.4 Certain Adjustments: Pensions determined under the foregoing sections of this Article are subject to adjustment as provided
in this section. For purposes of this section, “specified plan” shall mean the Salaried Plan or a nonqualified pension plan similar to this Plan. A nonqualified pension plan is similar to this Plan if it is sponsored by a member of the
PepsiCo Organization and if its benefits are not based on participant pay deferrals. 
 (a) Adjustments
for Rehired Participants: This subsection shall apply to a current or former Participant who is reemployed after his Annuity Starting Date and 

  

 V-10 

 
whose benefit under the Salaried Plan is recalculated based on an additional period of Credited Service. In the event of any such recalculation, the
Participant’s PEP Pension shall also be recalculated hereunder to the maximum extent permissible under Section 409A. For this purpose and to the maximum extent permissible under Section 409A, the PEP Guarantee under Section 5.2
is adjusted for in-service distributions and prior distributions in the same manner as benefits are adjusted under the Salaried Plan, but by taking into account benefits under this Plan and any specified plans. 
 (b) Adjustment for Increased Pension Under Other Plans: If the benefit paid under a specified plan on behalf of a
Participant is increased after PEP benefits on his behalf have been determined (whether the increase is by order of a court, by agreement of the plan administrator of the specified plan, or otherwise), then the PEP benefit for the Participant shall
be recalculated to the maximum extent permissible under Section 409A. If the recalculation identifies an overpayment hereunder, the Plan Administrator shall take such steps as it deems advisable to recover the overpayment. It is specifically
intended that there shall be no duplication of payments under this Plan and any specified plans to the maximum extent permissible under Section 409A. 
 5.5 Excludable Employment: An executive who has signed a written agreement with the Company pursuant to which the individual either (i) waives eligibility under the Plan (even if the
individual otherwise meets the definition of Employee under the Plan), or (ii) agrees not to participate in the Plan, shall not thereafter become entitled to a benefit or to any increase in benefits in connection with such employment (whichever
applies). Written agreements may be entered into either before or after the executive becomes eligible for or begins participation in the Plan, and such written agreement may take any form that is deemed effective by the Company. This
Section 5.5 shall apply with respect to agreements that are entered into on or after January 1, 2009. 
  

 V-11 

 5.6 Pre-409A Pension: A Participant’s Pre-409A Pension is the portion of the
Participant’s Pension that is grandfathered under Treasury Regulation § 1.409A-6(a)(3)(i) and (iv). Principles similar to those applicable under – (i) Section 5.1(b), and (ii) the last sentence of Section 5.2(b)(2)
shall apply in determining the Pre-409A Pension under this section. 
 5.7 Offset: Notwithstanding any other
provision of the Plan, the Company may reduce the amount of any payment or benefit that is or would be payable to or on behalf of a Participant by the amount of any obligation of the Participant to the Company that is or becomes due and payable,
provided that (1) the obligation of the Participant to the Company was incurred during the employment relationship, (2) the reduction during any Plan Year may not exceed the amount allowed under Code Section 409A and (3) the
reduction is made at the same time and in the same amount as the obligation otherwise would have been due and collectable from the Participant. 
  

 V-12 

 ARTICLE VI 
 Distribution of Benefits 
 The terms of this Article govern (i) the
distribution of benefits to a Participant who becomes entitled to a 409A Pension, and (ii) the continuation of benefits (if any) to such Participant’s beneficiary following the Participant’s death. A Pre-Retirement Spouse’s
Pension derived from the 409A Program shall be payable as an Annuity for the life of the Eligible Spouse in all cases, subject to Section 4.9 (cashout distributions). The distribution of a Pre-409A Pension is governed by the terms of the
Pre-409A Program. 
 6.1 Form and Timing of Distributions: Benefits under the 409A Program shall be distributed as
follows: 
 (a) 409A Retirement Pension: The following rules govern the distribution of a
Participant’s 409A Retirement Pension: 
 (1) Generally: A Participant’s 409A Retirement
Pension shall be distributed as a Single Lump Sum on the first day of the month that is coincident with or next follows the Participant’s Retirement Date, subject to paragraph (2) and Section 6.6 (delay for Key Employees). 

(2) Prior Payment Election: Notwithstanding paragraph (1), a Participant who is entitled to a 409A Retirement
Pension and who made an election (i) up to and including December 31, 2007, and (ii) at least six months prior to and in a calendar year prior to the Participant’s Annuity Starting Date shall receive his benefit in accordance
with such payment election. A payment election allowed a Participant to choose either (i) to receive a distribution of his benefit in an Annuity form, (ii) to commence distribution of his benefit at a time 

  

 VI-1 

 
other than as provided in paragraph 6.1(a)(1), or both (i) and (ii). A payment election made by a Participant who is only eligible to receive a Vested
Pension on his Separation from Service shall be disregarded. Subject to Section 4.9 (cashouts), a Participant who has validly elected to receive an Annuity shall receive his benefit as a Qualified Joint and Survivor Annuity if he is married or
as a Single Life Annuity if he is unmarried, unless he elects one of the optional forms of payment described in Section 6.2 in accordance with the election procedures in Section 6.3(a). A Participant shall be considered married if he is
married on his Annuity Starting Date (with such Annuity Starting Date determined taking into account any election applicable under this subsection). To the extent a Participant’s benefit commences later than it would under paragraph 6.1(a)(1)
as a result of an election under this paragraph 6.1(a)(2), the Participant’s benefit will be paid with interest equal to that specified in Section 2.1(b)(3), which interest shall be paid at the time elected by the Participant under this
paragraph 6.1(a)(2). 
 (b) 409A Vested Pension: Subject to Sections 4.9, Section 6.6 and
subsection (c) below, a Participant’s 409A Vested Pension shall be distributed in accordance with paragraph (1) or (2) below, unless, in the case of a married Participant (as determined under the standards in paragraph 6.1(a)(2),
above), he elects one of the optional forms of payment distributions in Section 6.2 in accordance with the election procedures in Section 6.3(a): 
 (1) Separation Prior to Age 55: In the case of a Participant who Separates from Service with at least five years of Service prior to attaining 

  

 VI-2 

 
age 55, the Participant’s 409A Vested Pension shall be distributed as an Annuity commencing on the first of the month that is coincident with or
immediately follows the date he attains age 55, which shall be the Annuity Starting Date of his 409A Vested Pension. A distribution under this subsection shall be in the form of a Qualified Joint and Survivor Annuity if the Participant is married,
or as a Single Life Annuity if he is not married. A Participant shall be considered married for purposes of this paragraph if he is married on the Annuity Starting Date of his 409A Vested Pension. 
 (2) Separation at Ages 55 Through 64: In the case of a Participant who Separates from Service with at least five
years but less than ten years of Service and on or after attaining age 55 but prior to attaining age 65, the Participant’s 409A Vested Pension shall be distributed as an Annuity (as provided in paragraph (1) above) commencing on the first
of the month that follows his Separation from Service. 
 (c) Disability Pension: The portion of a
Participant’s 409A Disability Pension representing Pre-Separation Accruals shall be paid on the first day of the month following the later of (i) the Participant’s attainment of age 55 and (ii) the Participant’s Separation
from Service. The available forms of payment for the portion of a Participant’s 409A Disability Pension representing Pre-Separation Accruals shall be those forms available to a Participant who is entitled to a Vested Pension, as set forth in
Section 6.2, below (including the different forms available to a married versus an unmarried Participant). The portion of a Participant’s 409A Disability Pension representing Post-LTD Accruals shall be paid on the first day of the month
following the Participant’s attainment of age 65 in a lump sum. 
  

 VI-3 

 6.2 Available Forms of Payment: This section sets forth the payment options
available to a Participant who is entitled to a Retirement Pension under paragraph 6.1(a)(2) above or a Vested Pension under subsection 6.1(b) above. 
 (a) Basic Forms: A Participant who is entitled to a Retirement Pension may choose one of the following optional forms of payment by making a valid election in accordance with the election
procedures in Section 6.3(a). A Participant who is entitled to a Vested Pension and who is married on his Annuity Starting Date may choose one of the optional forms of payment available under paragraphs (1), 2(ii) or 2(iii) below with his
Eligible Spouse as his beneficiary (and no other optional form of payment available under this subsection (a) shall be permitted to such a Participant). A Participant who is entitled to a Vested Pension and who is not married on his Annuity
Starting Date shall receive a Single Life Annuity. Each optional annuity is the actuarial equivalent of the Single Life Annuity: 
 (1) Single Life Annuity Option: A Participant may receive his 409A Pension in the form of a Single Life Annuity, which provides monthly payments ending with the last payment due prior to his death. 

(2) Survivor Options: A Participant may receive his 409A Pension in accordance with one of the following
survivor options: 
 (i) 100 Percent Survivor Option: The Participant shall receive a reduced 409A
Pension payable for life, ending with the last monthly payment due prior to his death. Payments in the same reduced 

  

 VI-4 

 
amount shall continue after the Participant’s death to his beneficiary for life, beginning on the first day of the month coincident with or following
the Participant’s death and ending with the last monthly payment due prior to the beneficiary’s death. 
 (ii) 75 Percent Survivor Option: The Participant shall receive a reduced 409A Pension payable for life, ending with the last monthly payment due prior to his death. Payments in the amount of 75 percent of such reduced 409A Pension
shall be continued after the Participant’s death to his beneficiary for life, beginning on the first day of the month coincident with or following the Participant’s death and ending with the last monthly payment due prior to the
beneficiary’s death. 
 (iii) 50 Percent Survivor Option: The Participant shall receive a
reduced 409A Pension payable for life, ending with the last monthly payment due prior to his death. Payments in the amount of 50 percent of such reduced 409A Pension shall be continued after the Participant’s death to his beneficiary for life,
beginning on the first day of the month coincident with or following the Participant’s death and ending with the last monthly payment due prior to the beneficiary’s death. A 50 percent survivor option under this paragraph shall be a
Qualified Joint and Survivor Annuity if the Participant’s beneficiary is his Eligible Spouse. 
 (iv)
Ten Years Certain and Life Option: The Participant shall receive a reduced 409A Pension which shall be payable monthly for his lifetime but for not less than 120 months. If the retired Participant dies 

  

 VI-5 

 
before 120 payments have been made, the monthly 409A Pension amount shall be paid for the remainder of the 120 month period to the Participant’s primary
beneficiary (or if the primary beneficiary has predeceased the Participant, the Participant’s contingent beneficiary). 
 (b) Inflation Protection: The following levels of inflation protection may be provided to any Participant who elects to receive all or a part of his 409A Retirement Pension as an Annuity: 
 (1) 5 Percent Inflation Protection: A Participant’s monthly benefit shall be initially reduced, but
thereafter shall be increased if inflation in the prior year exceeds 5 percent. The amount of the increase shall be the difference between inflation in the prior year and 5 percent. 
 (2) 7 Percent Inflation Protection: A Participant’s monthly benefit shall be initially reduced, but
thereafter shall be increased if inflation in the prior year exceeds 7 percent. The amount of the increase shall be the difference between inflation in the prior year and 7 percent. 
 Benefits shall be subject to increase in accordance with this subsection each January 1, beginning with the second January 1
following the Participant’s Annuity Starting Date. The amount of inflation in the prior year shall be determined based on inflation in the 12-month period ending on September 30 of such year, with inflation measured in the same manner as
applies on the Effective Date for adjusting Social Security benefits for changes in the cost of living. Inflation protection that is in effect shall carry over to any survivor benefit payable on behalf of a Participant, and shall increase the
otherwise applicable survivor benefit as provided above. Any election by a Participant to receive inflation protection shall be irrevocable by such Participant or his surviving beneficiary. 
  

 VI-6 

 6.3 Procedures for Elections: This section sets forth the procedures for making
Annuity Starting Date elections (i.e., elections under Section 6.2). Subsection (a) sets forth the procedures for making a valid election of an optional form of payment under Section 6.2 and subsection (b) includes special
rules for Participants with multiple Annuity Starting Dates. An election under this Article VI shall be treated as received on a particular day if it is: (i) postmarked that day, or (ii) actually received by the Plan Administrator on that
day. Receipt under (ii) must occur by the close of business on the date in question, which time is to be determined by the Plan Administrator. Spousal consent is not required for an election to be valid. 
 (a) Election of an Optional Form of Payment: To be valid, an election of an optional form of Annuity under
Section 6.2, for (i) a Participant’s 409A Retirement Pension (if a proper election was made under paragraph 6.1(a)(2)) or (ii) a Participant’s 409A Vested Terminated Pension, must be in writing, signed by the Participant,
and received by the Plan Administrator at least one day prior to the Annuity Starting Date that applies to the Participant’s Pension in accordance with Section 6.1. In addition, an election under this subsection must specify one of the
optional forms of payment available under Section 6.2 and a beneficiary, if applicable, in accordance with Section 6.5 below. To the extent permitted by the Plan Administrator, an election made through electronic media shall be considered
to satisfy the requirement for a written election, and an electronic affirmation of such an election shall be considered to satisfy the requirement for a signed election. 
  

 VI-7 

 (b) Multiple Annuity Starting Dates: When amounts become payable
to a Participant in accordance with Article IV, they shall be payable as of the Participant’s Annuity Starting Date and the election procedures (in this section and Sections 6.1 and 6.5) shall apply to all of the Participant’s unpaid
accruals as of such Annuity Starting Date, with the following exception. In the case of a Participant who is rehired after his initial Annuity Starting Date and who (i) is currently receiving an Annuity that remained in pay status upon rehire,
or (ii) was previously paid a lump sum distribution (other than a cashout distribution described in Section 4.9(a)), the Participant’s subsequent Annuity Starting Date (as a result of his subsequent Separation from Service), and the
election procedures at such subsequent Annuity Starting Date, shall apply only to the portion of his benefit that accrues after his rehire. Any prior accruals that remain to be paid as of the Participant’s subsequent Annuity Starting Date shall
continue to be payable in accordance with the elections made at his initial Annuity Starting Date. 
 6.4 Special Rules
for Survivor Options: The following special rules shall apply for the survivor options available under Section 6.2. 
 (a) Effect of Certain Deaths: If a Participant makes an election under Section 6.3(a) to receive his 409A Retirement Pension in the form of an optional Annuity that includes a benefit for a surviving
beneficiary under Section 6.2 and the Participant or his beneficiary (beneficiaries in the case of the optional form of payment in Section 6.2(a)(2)(iv)) dies prior to the Annuity Starting Date of such Annuity, the election shall be
disregarded. If the Participant dies after this Annuity Starting Date but before his 409A Retirement Pension actually commences, the election shall be given effect and the 

  

 VI-8 

 
amount payable to his surviving Eligible Spouse or other beneficiary shall commence on the first day of the month following his death (any back payments due
the Participant shall be payable to his estate). In the case of a Participant who has elected the form of payment described in Section 6.2(a)(2)(iv), if such Participant: (i) dies after his Annuity Starting Date, (ii) without a
surviving primary or contingent beneficiary, and (iii) before receiving 120 payments under the form of payment, then the remaining payments due under such form of payment shall be paid to the Participant’s estate. If payments have
commenced under such form of payment to a Participant’s primary or contingent beneficiary and such beneficiary dies before payments are completed, then the remaining payments due under such form of payment shall be paid to such
beneficiary’s estate. 
 (b) Non-Spouse Beneficiaries: If a Participant’s beneficiary is not
his Eligible Spouse, he may not elect: 
 (1) The 100 percent survivor option described in
Section 6.2(a)(2)(i) if his non-spouse beneficiary is more than 10 years younger than he is, or 
 (2)
The 75 percent survivor option described in Section 6.2(a)(2)(ii) if his non-spouse beneficiary is more than 19 years younger than he is. 
 6.5 Designation of Beneficiary: A Participant who has elected under Section 6.2 to receive all or part of his Retirement Pension in a form of payment that includes a survivor option shall designate a
beneficiary who will be entitled to any amounts payable on his death. Such designation shall be made on the election form used to choose such optional form of payment or an approved election form filed under the Salaried Plan, whichever is
applicable. In 

  

 VI-9 

 
the case of the survivor option described in Section 6.2(a)(2)(iv), the Participant shall be entitled to name both a primary beneficiary and a
contingent beneficiary. A Participant (whether active or former) shall have the right to change or revoke his beneficiary designation at any time prior to his Annuity Starting Date. The designation of any beneficiary, and any change or revocation
thereof, shall be made in accordance with rules adopted by the Plan Administrator. A beneficiary designation shall not be effective unless and until filed with the Plan Administrator. If no beneficiary is properly designated and a Participant’s
elects a survivor’s option described in Section 6.2(a)(2), the Participant’s beneficiary shall be his Eligible Spouse. A Participant entitled to a Vested Pension does not have the right or ability to name a beneficiary; if the
Participant is permitted under Section 6.2 to elect an optional form of payment, then his beneficiary shall be his Eligible Spouse on his Annuity Starting Date. 
 6.6 Required Delay for Key Employees: Notwithstanding Section 6.1 above, if a Participant is classified as a Key Employee upon his Separation from Service (or at such other time for
determining Key Employee status as may apply under Section 409A), then distributions to the Participant shall commence as follows: 
 (a) Distribution of a Retirement Pension: In the case of a Key Employee Participant who is entitled to a 409A Retirement Pension, distributions shall commence on the earliest first of the month that is at least
six months after the date the Participant Separates from Service (or, if earlier, the Participant’s death). For periods before 2009, commencement of distributions, however, shall not be delayed under the preceding sentence if the
Participant’s 409A Retirement Pension commences at the same time as his pension under the Salaried Plan in accordance with Section 6.1(b)(3)(i). 
  

 VI-10 

 (b) Distribution of a Vested Pension. In the case of a
Participant who is entitled to a 409A Vested Pension, distributions shall commence as provided in Section 6.1(b), or if later, on the earliest first of the month that is at least six months after the Participant’s Separation from Service
(or, if earlier, the Participant’s death). For periods before 2009, commencement of distributions, however, shall not be delayed under the preceding sentence if the Participant’s 409A Vested Pension commences at the same time as his
pension under the Salaried Plan in accordance with Section 6.1(b)(3)(i). 
 (c) Interest Paid for
Delay. Any payments to the Participant that are delayed in accordance with the provisions of this Section 6.6 shall be accumulated and paid as a lump sum payment, with interest equal to that specified in Section 2.1(b)(3), on the date
payment occurs in accordance with subsection (a) or (b) above, whichever is applicable. If a Participant’s beneficiary or estate is paid under subsection (a) or (b) above as a result of his death, then any payments that
would have been made to the Participant and that were delayed in accordance with the provisions of this Section 6.6 shall be paid as otherwise provided in the Plan, with interest equal to that specified in Section 2.1(b)(3). 
 6.7 Payment of FICA and Related Income Taxes: As provided in subsections (a) through (c) below, a portion of a
Participant’s 409A Pension shall be paid as a single lump sum and remitted directly to the Internal Revenue Service (“IRS”) in satisfaction of the Participant’s FICA Amount and the related withholding of income tax at source on
wages (imposed under Code Section 3401 or the corresponding withholding provisions of the applicable state, local or foreign tax laws as a result of the payment of the FICA Amount) and the additional withholding of income tax at source on wages
that is attributable to the pyramiding of wages and taxes. 
  

 VI-11 

 (a) Timing of Payment: As of the date that the Participant’s
FICA Amount and related income tax withholding are due to be deposited with the IRS, a lump sum payment equal to the Participant’s FICA Amount and any related income tax withholding shall be paid from the Participant’s 409A Pension and
remitted to the IRS (or other applicable tax authority) in satisfaction of such FICA Amount and income tax withholding related to such FICA Amount. The classification of a Participant as a Key Employee (as defined in Section 2.1(t)) shall have
no effect on the timing of the lump sum payment under this subsection (a). 
 (b) Reduction of 409A
Pension. To reflect the payment of a Participant’s FICA Amount and any related income tax liability, the Participant’s 409A Pension shall be reduced, effective as of the date for payment of the lump sum in accordance with subsection
(a) above, with such reduction being the Actuarial Equivalent of the lump sum payment used to satisfy the Participant’s FICA Amount and related income tax withholding. It is expressly contemplated that this reduction may occur effective as
of a date that is after the date payment of a Participant’s 409A Pension commences. 
 (A) No Effect
on Commencement of 409A Pension. The Participant’s 409A Pension shall commence in accordance with the terms of this Plan. The lump sum payment to satisfy the Participant’s FICA Amount and related income tax withholding shall not affect
the time of payment of the 

  

 VI-12 

 
Participant’s actuarially reduced 409A Pension, including not affecting any required delay in payment to a Participant who is classified as a Key
Employee. 
  

 VI-13 

 ARTICLE VII 
 Administration 
 7.1 Authority to Administer Plan: The Plan shall be
administered by the Plan Administrator, which shall have the authority to interpret the Plan and issue such regulations as it deems appropriate. The Plan Administrator shall maintain Plan records and make benefit calculations, and may rely upon
information furnished it by the Participant in writing, including the Participant’s current mailing address, age and marital status. The Plan Administrator’s interpretations, determinations, regulations and calculations shall be final and
binding on all persons and parties concerned. The Company, in its capacity as Plan Administrator or in any other capacity, shall not be a fiduciary of the Plan and any restrictions that apply to a party in interest under section 406 of ERISA shall
not apply to the Company or otherwise under the Plan. 
 7.2 Facility of Payment: Whenever, in the Plan
Administrator’s opinion, a person entitled to receive any payment of a benefit or installment thereof hereunder is under a legal disability or is incapacitated in any way so as to be unable to manage his financial affairs, the Plan
Administrator may make payments to such person or to the legal representative of such person for his benefit, or the Plan Administrator may apply the payment for the benefit of such person in such manner as it considers advisable. Any payment of a
benefit or installment thereof in accordance with the provisions of this section shall be a complete discharge of any liability for the making of such payment under the provisions of the Plan. 
 7.3 Claims Procedure: The Plan Administrator shall have the exclusive discretionary authority to construe and to interpret the
Plan, to decide all questions of eligibility for benefits and to determine the amount of such benefits, and its decisions on such matters are final and conclusive. As a result, benefits under this Plan will be paid only if the Plan 

  

 VII-1 

 
Administrator decides in its discretion that the person claiming such benefits is entitled to them. This discretionary authority is intended to be absolute,
and in any case where the extent of this discretion is in question, the Plan Administrator is to be accorded the maximum discretion possible. Any exercise of this discretionary authority shall be reviewed by a court, arbitrator or other tribunal
under the arbitrary and capricious standard (i.e., the abuse of discretion standard). If, pursuant to this discretionary authority, an assertion of any right to a benefit by or on behalf of a Participant or beneficiary (a
“claimant”) is wholly or partially denied, the Plan Administrator, or a party designated by the Plan Administrator, will provide such claimant within the 90-day period following the receipt of the claim by the Plan Administrator, a
comprehensible written notice setting forth: 
 (a) The specific reason or reasons for such denial;

 (b) Specific reference to pertinent Plan provisions on which the denial is based; 
 (c) A description of any additional material or information necessary for the claimant to submit to perfect the claim and
an explanation of why such material or information is necessary; and 
 (d) A description of the Plan’s
claim review procedure (including the time limits applicable to such process and a statement of the claimant’s right to bring a civil action under ERISA following a further denial on review). 
 If the Plan Administrator determines that special circumstances require an extension of time for processing the claim it may extend the response period
from 90 to 180 days. If this occurs, the Plan Administrator will notify the claimant before the end of the initial 90-day period, indicating the special circumstances requiring the extension and the date by which the Plan Committee 

  

 VII-2 

 
expects to make the final decision. The claim review procedure is available upon written request by the claimant to the Plan Administrator, or the designated
party, within 60 days after receipt by the claimant of written notice of the denial of the claim. Upon review, the Plan Administrator shall provide the claimant a full and fair review of the claim, including the opportunity to submit to the Plan
Administrator comments, document, records and other information relevant to the claim and the Plan Administrator’s review shall take into account such comments, documents, records and information regardless of whether it was submitted or
considered at the initial determination. The decision on review will be made within 60 days after receipt of the request for review, unless circumstances warrant an extension of time not to exceed an additional 60 days. If this occurs, notice of the
extension will be furnished to the claimant before the end of the initial 60-day period, indicating the special circumstances requiring the extension and the date by which the Plan Administrator expects to make the final decision. The final decision
shall be in writing and drafted in a manner calculated to be understood by the claimant; include specific reasons for the decision with references to the specific Plan provisions on which the decision is based; and provide that the claimant is
entitled to receive, upon request ad free of charge, reasonable access to, and copies of, all documents, records, and other information relevant to his or her claim for benefits. 
 Any claim under the Plan that is reviewed by a court, arbitrator or any other tribunal shall be reviewed solely on the basis of the record before the Plan Administrator at the time it made its
determination. In addition, any such review shall be conditioned on the claimant’s having fully exhausted all rights under this section. Any notice or other notification that is required to be sent to a claimant under this section may be sent
pursuant to any method approved under Department of Labor Regulation Section 2520.104b-1 or other applicable guidance. 
  

 VII-3 

 7.4 Effect of Specific References: Specific references in the Plan to the Plan
Administrator’s discretion shall create no inference that the Plan Administrator’s discretion in any other respect, or in connection with any other provision, is less complete or broad. 
  

 VII-4 

 ARTICLE VIII 
 Miscellaneous 
 8.1 Nonguarantee of Employment: Nothing contained in this
Plan shall be construed as a contract of employment between an Employer and any Employee, or as a right of any Employee to be continued in the employment of an Employer, or as a limitation of the right of an Employer to discharge any of its
Employees, with or without cause. 
 8.2 Nonalienation of Benefits: Benefits payable under the Plan or the right to
receive future benefits under the Plan shall not be subject in any manner to anticipation, alienation, sale, transfer, assignment, pledge, encumbrance, charge, garnishment, execution, or levy of any kind, either voluntary or involuntary, and any
attempt to anticipate, alienate, sell, transfer, assign, pledge, encumber, charge or otherwise dispose of any right to benefits payable hereunder, including any assignment or alienation in connection with a divorce, separation, child support or
similar arrangement, shall be null and void and not binding on the Company. The Company shall not in any manner be liable for, or subject to, the debts, contracts, liabilities, engagements or torts of any person entitled to benefits hereunder.

 8.3 Unfunded Plan: The Company’s obligations under the Plan shall not be funded, but shall constitute
liabilities by the Company payable when due out of the Company’s general funds. To the extent the Participant or any other person acquires a right to receive benefits under this Plan, such right shall be no greater than the rights of any
unsecured general creditor of the Company. 
 8.4 Action by the Company: Any action by the Company under this Plan
may be made by the Board of Directors of the Company or by the Compensation Committee of the Board of Directors, with a report of any actions taken by it to the Board of Directors. In addition, such action may be made by any other person or persons
duly authorized by resolution of said Board to take such action. 
  

 VIII-1 

 8.5 Indemnification: Unless the Board of Directors of the Company shall determine
otherwise, the Company shall indemnify, to the full extent permitted by law, any employee acting in good faith within the scope of his employment in carrying out the administration of the Plan. 
 8.6 Compliance with Section 409A: 
 (a) General: It is the intention of the Company that the Plan shall be construed in accordance with the applicable requirements of Section 409A. Further, in the event that the Plan
shall be deemed not to comply with Section 409A, then neither the Company, the Board of Directors, the Plan Administrator nor its or their designees or agents shall be liable to any Participant or other person for actions, decisions or
determinations made in good faith. 
 (b) Non-duplication of benefits: In the interest of clarity, and
to determine benefits in compliance with the requirements of Section 409A, provisions have been included in this 409A Document describing the calculation of benefits under certain specific circumstances, for example, provisions relating to the
inclusion of salary continuation during certain window severance programs in the calculation of Highest Average Monthly Earnings, as specified in Appendix C. Notwithstanding this or any similar provision, no duplication of benefits may at any time
occur under the Plan. Therefore, to the extent that a specific provision of the Plan provides for recognizing a benefit determining element (such as pensionable earnings or service) and this same element is or could be recognized in some other way
under the Plan, the specific 

  

 VIII-2 

 
provision of the Plan shall govern and there shall be absolutely no duplicate recognition of such element under any other provision of the Plan, or pursuant
to the Plan’s integration with the Salaried Plan. This provision shall govern over any contrary provision of the Plan that might be interpreted to support duplication of benefits. 
 8.7 Authorized Transfers: If a Participant transfers to an entity that is not part of the PepsiCo Organization, the liability for
any benefits accrued while the Participant was employed by the PepsiCo Organization shall remain with the Company. 
  

 VIII-3 

 ARTICLE IX 
 Amendment and Termination 
 This Article governs the Company’s right to amend
and or terminate the Plan. The Company’s amendment and termination powers under this Article shall be subject, in all cases, to the restrictions on amendment and termination in Section 409A and shall be exercised in accordance with such
restrictions to ensure continued compliance with Section 409A. 
 9.1 Continuation of the Plan: While the
Company and the Employers intend to continue the Plan indefinitely, they assume no contractual obligation as to its continuance. In accordance with Section 8.4, the Company hereby reserves the right, in its sole discretion, to amend, terminate,
or partially terminate the Plan at any time provided, however, that no such amendment or termination shall adversely affect the amount of benefit to which a Participant or his beneficiary is entitled under Article IV on the date of such amendment or
termination, unless the Participant becomes entitled to an amount equal to such benefit under another plan or practice adopted by the Company (except as necessary to comply with Section 409A). Specific forms of payment are not protected under
the preceding sentence. 
 9.2 Amendments: The Company may, in its sole discretion, make any amendment or amendments
to this Plan from time to time, with or without retroactive effect, including any amendment necessary to ensure continued compliance with Section 409A. An Employer (other than the Company) shall not have the right to amend the Plan. 

9.3 Termination: The Company may terminate the Plan, either as to its participation or as to the participation of one or more
Employers. If the Plan is terminated with respect to fewer than all of the Employers, the Plan shall continue in effect for the benefit of the Employees of the remaining Employers. Upon termination, the distribution of Participants’ 409A
Pensions shall be subject to restrictions applicable under Section 409A. 
  

 IX-1 

 9.4 Change in Control: The Company intends to have the maximum discretionary
authority to terminate the Plan and make distributions in connection with a Change in Control (defined as provided in Section 409A), and the maximum flexibility with respect to how and to what extent to carry this out following a Change in
Control as is permissible under Section 409A. The previous sentence contains the exclusive terms under which a distribution shall be made in connection with any Change in Control in the case of benefits that are derived from this 409A Program.

  

 IX-2 

 ARTICLE X 
 ERISA Plan Structure 
 This Plan document in conjunction with the plan document(s)
for the Pre-409A Program encompasses three separate plans within the meaning of ERISA, as are set forth in subsections (a), (b) and (c). This division into separate plans became effective as of July 1, 1996; previously the plans set forth
in subsections (b) and (c) were a single plan within the meaning of ERISA. 
 (a) Excess Benefit
Plan: An excess benefit plan within the meaning of section 3(36) of ERISA, maintained solely for the purpose of providing benefits for Salaried Plan participants in excess of the limitations on benefits imposed by section 415 of the Code.

 (b) Excess Compensation Top Hat Plan: A plan maintained by the Company primarily for the purpose of
providing deferred compensation for a select group of management or highly compensated employees within the meaning of sections 201(2) and 401(a)(1) of ERISA. The plan provides benefits for Salaried Plan participants in excess of the limitations
imposed by section 401(a)(17) of the Code on benefits under the Salaried Plan (after taking into account any benefits under the Excess Benefit Plan). For ERISA reporting purposes, this portion of PEP may be referred to as the PepsiCo Pension
Equalization Plan I. 
 (c) Preservation Top Hat Plan: A plan maintained by the Company primarily for
the purpose of providing deferred compensation for a select group of management or highly compensated employees within the meaning of sections 201(2) and 401(a)(1) of ERISA. The plan provides preserves benefits for those Salaried Plan 

  

 X-1 

 
participants described in section 5.2(a) hereof, by preserving for them the pre-1989 level of benefit accrual that was in effect before the Salaried
Plan’s amendment effective January 1, 1989 (after taking into account any benefits under the Excess Benefit Plan and Excess Compensation Top Hat Plan). For ERISA reporting purposes, this portion of PEP shall be referred to as the PepsiCo
Pension Equalization Plan II. 
 Benefits under this Plan shall be allocated first to the Excess Benefit Plan, to the extent of benefits paid
for the purpose indicated in (a) above; then any remaining benefits shall be allocated to the Excess Compensation Top Hat Plan, to the extent of benefits paid for the purpose indicated in (b) above; then any remaining benefits shall be
allocated to the Preservation Top Hat Plan. These three plans are severable for any and all purposes as directed by the Company. 
  

 X-2 

 ARTICLE XI 
 Applicable Law 
 All questions pertaining to the construction, validity and effect
of the Plan shall be determined in accordance with the provisions of ERISA. In the event ERISA is not applicable or does not preempt state law, the laws of the state of New York shall govern. 
 If any provision of this Plan is, or is hereafter declared to be, void, voidable, invalid or otherwise unlawful, the remainder of the
Plan shall not be affected thereby. 
  

 XI-1 

 ARTICLE XII 
 SIGNATURE 
 The above Plan is hereby adopted and approved, to be effective as of January 1,
2005, this 12th day of December, 2008. 
  

			
	 PepsiCo, Inc.

		
	 By:
	 	 /s/    Cynthia M. Trudell

  

			
	 APPROVED

		
	 By:
	 	 /s/ Chris Bellanca

		 	 Law Department

		
	 By:
	 	 /s/ Maryanne Bifulco

		 	 Tax Department

  

 XII-1 

 APPENDIX 
 The following Appendix articles modify particular terms of the Plan. Except as specifically modified in the Appendix, the foregoing main provisions of the Plan shall fully apply in determining the rights and benefits
of Participants and beneficiaries (and of any other individual claiming a benefit through or under the foregoing). In the event of a conflict between the Appendix and the foregoing main provision of the Plan, the Appendix shall govern. 

 

 1 

 APPENDIX ARTICLE A 
 Transition Provisions 
  

	 A.1
	 Scope. 

 This Article A provides the transition rules for the Plan that were effective at some time during the period beginning January 1, 2005 and ending December 31, 2008 (the “Transition Period”). The time period during which
each provision in this Article A was effective is set forth below. 
  

	 A.2
	 Transition Rules for Article II (Definitions). 

 (a) Actuarial Equivalent. In addition to the provisions provided in Article II for determining actuarial equivalence under the Plan, for the duration of the Transition Period, to determine
the amount of a Pension payable in the form of a Qualified Joint and Survivor Annuity or optional form of survivor annuity, as an annuity with inflation protection, or as a Single Life Annuity, the Plan Administrator used the actuarial factors under
the Salaried Plan. 
 (b) Key Employee. In addition to the provisions provided in Article II for identifying Key
Employees, the following operating rules were in effect for the indicated time periods – 
 (1)
Operating Rules for 2005. To ensure that the Company did not fail to identify any Key Employees, in the case of Separation from Service distributions during the 2005 Plan Year, the Company treated as Key Employees all Participants (and former
Participants) classified (or grandfathered) for any portion of the 2005 Plan Year as Band IV and above. 
 (2)
Operating Rules for 2006 and 2007. To ensure that the Company did not fail to identify any Key Employees, in the case of Separation from Service distributions during the 2006 Plan Year and 2007 Plan Year, the Company treated as Key Employees
for such applicable Plan Year of their Separation from Service those individuals who met the provisions of (3) or (4) below (or both). 
  

 2 

 (3) The Company shall treat as Key Employees all Participants (and former
Participants) who are classified (or grandfathered) as Band IV and above for any portion of the Plan Year prior to the Plan Year of their Separation from Service; and 
 (4) The Company shall treat as a Key Employee any Participant who would be a Key Employee as of his or her Separation from
Service date based on the standards in this paragraph (4). For purposes of this paragraph (4), the Company shall determine Key Employees based on compensation (as defined in Code Section 415(c)(3)) that is taken into account as follows:

 (A) If the determination is in connection with a Separation from Service in the first calendar quarter of
a Plan Year, the determination shall be made using compensation earned in the calendar year that is two years prior to the current calendar year (e.g., for a determination made in the first quarter of 2006, compensation earned in the 2004
calendar year shall be used); and 
 (B) If the determination is in connection with a Separation from Service
in the second, third or fourth calendar quarter of a Plan Year, the determination shall be made using the compensation earned in the prior calendar year (e.g., for a determination made in the second quarter of 2006, compensation earned in the
2005 calendar year shall be used). 
  

 3 

	 A.3
	 Transition Rules for Article VI (Distributions): 

 409A Pensions that would have been paid out during the Transition Period under the provisions set forth in the main body of the Plan (but for the application of permissible transition rules under
Section 409A) shall be paid out on March 1, 2009. 
  

	 A.4
	 Transition Rules for Article VII (Administration): 

 Effective during the Transition Period, the language of Section 8.6(a) shall be replaced in its entirety with the following language: 
 “8.6(a) Compliance with Section 409A: 
 At all times during each Plan Year, this Plan shall be operated (i) in accordance with the requirements of
Section 409A, and (ii) to preserve the status of deferrals under the Pre-409A Program as being exempt from Section 409A, i.e., to preserve the grandfathered status of the Pre-409A Program. Any action that may be taken (and, to the
extent possible, any action actually taken) by the Plan Administrator or the Company shall not be taken (or shall be void and without effect), if such action violates the requirements of Section 409A or if such action would adversely affect the
grandfather of the Pre-409A Program. If the failure to take an action under the Plan would violate Section 409A, then to the extent it is possible thereby to avoid a violation of Section 409A, the rights and effects under the Plan shall be
altered to avoid such violation. A corresponding rule shall apply with respect to a failure to take an action that would adversely affect the grandfather of the Pre-409A Program. Any provision in this Plan document that is determined to violate the
requirements of Section 409A or to adversely affect the grandfather of the Pre-409A Program shall be void and without effect. In addition, any provision that is required to appear in this Plan document to satisfy the 

  

 4 

 
requirements of Section 409A, but that is not expressly set forth, shall be deemed to be set forth herein, and the Plan shall be administered in all
respects as if such provision were expressly set forth. A corresponding rule shall apply with respect to a provision that is required to preserve the grandfather of the Pre-409A Program. In all cases, the provisions of this Section shall apply
notwithstanding any contrary provision of the Plan that is not contained in this Section.” 
  

	 A.5
	 Transition Rules for Severance Benefits. 

 Effective during the Transition Period, the following provisions shall apply according to their specified terms. 
 (a) Definitions: 
 (1) Where the following words and phrases, in
boldface and underlined, appear in this Section A.5 with initial capitals they shall have the meaning set forth below, unless a different meaning is plainly required by the context. Any terms used in this Article A of the Appendix with initial
capitals and not defined herein shall have the same meaning as in the main Plan, unless a different meaning is plainly required by the context. 
 (2) “Special Early Retirement” shall mean the Participant’s attainment of at least age 50 but less than age 55 with 10 years of Elapsed Time Service as of the date of
his Retirement, provided, however, that with respect to the 2008 Severance at Section A.5(d), for purposes of determining whether a Participant has met the age and service requirements, a Participant’s age and years of Elapsed Time Service are
rounded up to the nearest whole year. 
  

 5 

 (b) 2005 Severance: 
 (1) Non-Retirement Eligible Employees: With respect to any Participant who terminated in 2005 as a result of a
severance window program and who was not eligible for Retirement as of the date of his Separation from Service, the Participant’s 409A Pension shall be paid as a Vested Pension under Section 6.1(b) of the Plan document, provided, however,
that the Participant’s 409A Pension will be paid at the same time as his Salaried Plan benefit. The available forms of payment shall be those forms available to a Participant who is entitled to a Vested Pension, as set forth in Section 6.2
of the Plan document. 
 (2) Non-Retirement Eligible Employees with Payments in 2007: With respect to
any Participant who terminated in 2005 as a result of a severance window program, who was not eligible for Retirement as of the date of his Separation from Service, and whose 409A Pension Payment would otherwise be paid during 2007, the
Participant’s 409A Pension shall be paid as a Vested Pension under Section 6.1(b) of the Plan document, provided, however, that the Participant’s 409A Pension will be paid at the later of (i) January 1, 2007 or
(ii) when the Participant attained age 55. The available forms of payment shall be those forms available to a Participant who is entitled to a Vested Pension, as set forth in Section 6.2 of the Plan document. 
 (3) Retirement Eligible Employees: With respect to any Participant who terminated in 2005 as a result of a
severance window program and who fulfilled the requirements for either a Normal or Early Retirement Pension under Article IV of the Plan document as of February 5, 2006, the Participant’s 409A Pension shall be paid on the first day of the
month following the Participant’s Separation from Service in a lump sum. 
  

 6 

 (4) Retirement Eligible Employees (With Credit): With respect to
any Participant who terminated in 2005 as a result of a severance window program and who fulfilled the requirements for either a Normal or Early Retirement Pension under Article IV of the Plan document as of his Separation from Service as a result
of being provided additional Credited Service time by the Company, the Participant’s 409A Pension shall be paid on the first day of the month following the Participant’s Separation from Service in a lump sum. 
 (5) Special Early Retirement Eligible: With respect to any Participant who terminated in 2005 as a result of a
severance window program and who fulfilled the requirements to be eligible for Special Early Retirement as of his Separation from Service, the Participant’s 409A Pension shall be paid on the first day of the month following the
Participant’s Separation from Service in a lump sum. 
 (c) 2007 Severance: 
 (1) Non-Retirement Eligible Employees: With respect to any Participant who terminated in 2007 as a result of a
severance window program and who was not eligible for Retirement as of the date of his Separation from Service, the Participant’s 409A Pension shall be paid as a Vested Pension under Section 6.1(b) of the Plan document. The available forms
of payment shall be those forms available to a Participant who is entitled to a Vested Pension, as set forth in Section 6.2 of the Plan document. 
 (2) Retirement Eligible Employees: With respect to any Participant who terminated in 2007 as a result of a severance window program and who fulfilled the requirements for either a Normal
or Early Retirement Pension under Article IV of the Plan document as of his Separation from Service, the Participant’s 409A Pension shall be 

  

 7 

 
paid on the first day of the month following the Participant’s Separation from Service in a lump sum; provided, however, that if a Participant made a
valid Prior Payment Election under Section 6.1(a)(2) of the Plan document, his 409A Pension shall be paid according to such election. 
 (3) Employee Who Become Retirement Eligible: 
 (i) 409A
Pension: With respect to any Participant who terminated in 2007 as a result of a severance window program and who fulfilled the requirements for either a Normal or Early Retirement Pension under Article IV of the Plan document between his
Separation from Service and the last day of his paid leave of absence (if any), the Participant’s 409A Pension shall be paid on the first day of the month following the later of (i) Participant’s attainment of age 55 and (ii) his
Separation from Service; the 409A Pension shall be paid as a Vested Pension under Section 6.1(b) of the Plan document. The available forms of payment shall be those forms available to a Participant who is entitled to a Vested Pension, as set
forth in Section 6.2 of the Plan document. 
 (ii) PEP Kicker: Any amount paid to a Participant
otherwise described under this paragraph (3) as a replacement for benefits that the Participant could have earned under the Plan but for his Separation from Service shall be paid as a single lump sum, provided, however, that if a Participant
made a valid Prior Payment Election under Section 6.1(a)(2) of the Plan document, the amounts described in this subparagraph (ii) shall be paid according to such election. All amounts to be paid shall be paid on the first day of the month
following the later of (i) the Participant’s attainment of age 55 or (ii) the Participant’s Separation from Service. 
  

 8 

 (4) Special Retirement Eligible Employees: 
 (i) 409A Pension: With respect to any Participant who terminated in 2007 as a result of a severance window program
and who fulfilled the requirements to be eligible for Special Early Retirement as of his Separation from Service, the Participant’s 409A Pension shall be paid on the first day of the month following the Participant’s attainment of age 55
as a Vested Pension under Section 6.1(b) of the Plan document. The available forms of payment shall be those forms available to a Participant who is entitled to a Vested Pension, as set forth in Section 6.2 of the Plan document.

 (ii) PEP Kicker: Any amount paid to a Participant otherwise described under this paragraph
(4) as a replacement for benefits that the Participant could have earned under the Plan but for his Separation from Service shall be paid as a single lump sum, provided, however, that if a Participant made a valid Prior Payment Election under
Section 6.1(a)(2) of the Plan document, the amounts described in this subparagraph (ii) shall be paid according to such election. All amounts to be paid shall be paid on the first day of the month following the Participant’s
attainment of age 55. 
 (5) Employees Who Become Special Retirement Eligible: 
 (i) 409A Pension: With respect to any Participant who terminated in 2007 as a result of a severance window program
and who fulfilled the requirements to be eligible for Special Early Retirement during the period between his Separation from Service and the last day of his paid leave of absence 

  

 9 

 
(if any), the Participant’s 409A Pension shall be paid on the first day of the month following the Participant’s attainment of age 55 as a Vested
Pension under Section 6.1(b) of the Plan document. The available forms of payment shall be those forms available to a Participant who is entitled to a Vested Pension, as set forth in Section 6.2 of the Plan document. 
 (ii) PEP Kicker: Any amount paid to a Participant otherwise described under this paragraph (5) as a
replacement for benefits that the Participant could have earned under the Plan but for his Separation from Service shall be paid as a single lump sum, provided, however, that if a Participant made a valid Prior Payment Election under
Section 6.1(a)(2) of the Plan document, the amounts described in this subparagraph (ii) shall be paid according to such election. All amounts to be paid shall be paid on the first day of the month following the Participant’s
attainment of age 55. 
 (d) 2008 Severance: 
 (1) Non-Retirement Eligible Employees: With respect to any Participant who terminated in 2008 as a result of a
severance window program and who was not eligible for Retirement as of the date of his Separation from Service, the Participant’s 409A Pension shall be paid as a Vested Pension under Section 6.1(b) of the Plan document. The available forms
of payment shall be those forms available to a Participant who is entitled to a Vested Pension, as set forth in Section 6.2 of the Plan document. 
 (2) Retirement Eligible Employees: With respect to any Participant who terminated in 2008 as a result of a severance window program and who fulfilled the requirements for either a Normal
or Early Retirement Pension under Article IV of the 

  

 10 

 
Plan document as of his Separation from Service, the Participant’s 409A Pension shall be paid on the first day of the month following the
Participant’s Separation from Service in a lump sum; provided, however, that if a Participant made a valid Prior Payment Election under Section 6.1(a)(2) of the Plan document, his 409A Pension shall be paid according to such election.

 (3) Employee Who Become Retirement Eligible: 
 (i) 409A Pension: With respect to any Participant who terminated in 2008 as a result of a severance window program
and who fulfilled the requirements for either a Normal or Early Retirement Pension under Article IV of the Plan document between his Separation from Service and the last day of his paid leave of absence (if any), the Participant’s 409A Pension
shall be paid on the first day of the month following the later of (i) Participant’s attainment of age 55 and (ii) his Separation from Service; the 409A Pension shall be paid as a Vested Pension under Section 6.1(b) of the Plan
document. The available forms of payment shall be those forms available to a Participant who is entitled to a Vested Pension, as set forth in Section 6.2 of the Plan document. 
 (ii) PEP Kicker: Any amount paid to a Participant otherwise described under this paragraph (3) as a
replacement for benefits that the Participant could have earned under the Plan but for his Separation from Service shall be paid as a single lump sum, provided, however, that if a Participant made a valid Prior Payment Election under
Section 6.1(a)(2) of the Plan document, the amounts described in this subparagraph (ii) shall be paid according to such election. All amounts to be paid shall be paid on the first day of the month following the later of
(i) Participant’s attainment of age 55 or (ii) the Participant’s Separation from Service. 
  

 11 

 (4) Employees Who Are or Become Special Retirement Eligible:

 (i) 409A Pension: With respect to any Participant who terminated in 2008 as a result of a severance
window program and who fulfilled the requirements to be eligible for Special Early Retirement as of his Separation from Service or during the period between his Separation from Service and the last day of his paid leave of absence (if any), the
Participant’s 409A Pension shall be paid on the first day of the month following the Participant’s attainment of age 55 as a Vested Pension under Section 6.1(b) of the Plan document. The available forms of payment shall be those forms
available to a Participant who is entitled to a Vested Pension, as set forth in Section 6.2 of the Plan document. 
 (ii) PEP Kicker: Any amount paid to a Participant otherwise described under this paragraph (4) as a replacement for benefits that the Participant could have earned under the Plan but for his Separation
from Service shall be paid as a single lump sum, provided, however, that if a Participant made a valid Prior Payment Election under Section 6.1(a)(2) of the Plan document, the amounts described in this subparagraph (ii) shall be paid
according to such election. All amounts to be paid shall be paid on the first day of the month following the Participant’s attainment of age 55. 
 (e) Delay for Key Employees: To the extent that a Participant is a Key Employee (as defined in Section A.2(b), above) with respect to any payment provided under this Section A.5, and to the extent that payment
of his 409A Pension is on account of his Separation from Service, his 409A Pension shall be subject to the delay in payment provided under Section 6.6 of the main Plan document. 
  

 12 

 (f) Compliance with 19(c): All payments that are to be made under this Section A.5
were scheduled to made during the calendar year in which the Participant terminated employment, with payments to be made as provided herein. All elections made by the Company with respect to such payments were made in compliance with Notice 2005-1
and other provisions of Code Section 409A. 
  

	 A.6
	 Certain Participants 

 The following transition rules shall apply only with respect to the following described Participants: 
 (a) A Participant’s PEP Credited Service shall be deemed to be five years if the Participant terminates employment in 2005 while classified as Band VI (or equivalent), and his employment with an Employer was for
a limited duration assignment of less than five years. A Participant shall be deemed to be vested for purposes of this Plan if the Participant terminates employment in 2005 while classified as Band VI (or equivalent), and his employment with an
Employer was for a limited duration assignment of less than five years. 
 (b) In the case of a Participant who on
October 9, 2007 selects an Annuity Starting Date of November 1, 2007 for the Participant’s Pension under the Salaried Plan which is payable in a single lump sum (after taking into account the special rule in Section 6.3(a)(2), if
necessary), the portion of the Participant’s benefit under the Plan that is not subject to Section 409A of the Code shall be paid in a single lump sum six months after the Participant’s Annuity Starting Date under the Salaried
Plan. 
  

 13 

 (c) In the case of a Participant who on September 3, 2004 selects a fixed date of
payment of February 1, 2005 for the Participant’s Pension under the Plan, the following provisions shall apply: 
 (1) such fixed date shall be the commencement date for the Participant’s benefit under the Plan, and 
 (2) the calculation of the Participant’s benefit under the Plan shall be made taking into account service to be performed during any period for which the Participant is to provide consulting services to the
Company, even if such services are to be performed after the payment date specified in paragraph (1). 
  

 14 

 APPENDIX ARTICLE B 
 Computation of Earnings and Service During Certain Severance Windows 
  

	 B.1
	 Definitions: 

 Where the following words and phrases, in boldface and underlined, appear in this Appendix C with initial capitals they shall have the meaning set forth below, unless a different meaning is plainly required by the context. Any terms used in
this Article B of the Appendix with initial capitals and not defined herein shall have the same meaning as in the main Plan, unless a different meaning is plainly required by the context. 
 (a) “Severance Program” shall mean a program providing certain severance benefits that are paid while the
program’s participants are on a severance leave of absence that is determined by the Plan Administrator to qualify for recognition as Service under Section B.3 and Credited Service under Section B.4 of Article B. 
 (b) “Eligible Bonus” shall mean an annual incentive payment that is payable to the Participant under the
Severance Program and that is identified under the terms of the Severance Program as eligible for inclusion in determining the Participant’s Highest Average Monthly Earnings. 
  

	 B.2
	 Inclusion of Salary and Eligible Bonus: 

 The Plan Administrator may specify that, pursuant to a Participant’s participation in a severance window program provided by the Company, if a Participant receives a severance benefit pursuant to a Severance
Program, all salary continuation and any Eligible Bonus earned or to be earned during the first 12 months of a leave of absence period provided to the Participant under such Severance Program will be counted toward the Participant’s Highest
Average Monthly Earnings, even if such salary or other earnings are to be received after a Participant’s Separation from Service. In particular, if payment of a Participant’s 409A Pension is to be made 

  

 15 

 
at Separation from Service and prior to the Participant’s receipt of all of the salary continuation or Eligible Bonus that is payable to the Participant
from the Severance Program, the Participant’s Highest Average Monthly Earnings shall be determined by taking into account the full salary continuation and eligible bonus that is projected to be payable to the Participant during the first 12
months of a period of leave of absence that is granted to the Participant under the Severance Program. 
  

	 B.3
	 Inclusion of Credited Service: 

 The Plan Administrator may specify that, pursuant to a Participant’s participation in a severance window program provided by the Company, if a Participant receives a severance benefit under a Severance Program,
all Credited Service earned or to be earned during the first 12 months of the period of severance will be counted toward the Participant’s Credited Service for purposes of determining the Participant’s Pension and a Pre-Retirement
Spouse’s Pension, even if the period of time counted as Credited Service under the Severance Program occurs after a Participant’s Separation from Service. 
  

	 B.4
	 Inclusion of Service: 

 The Plan Administrator may specify that, pursuant to a Participant’s participation in a severance window program provided by the Company, if a Participant receives a severance benefit under a Severance Program,
all Service earned or to be earned during the first 12 months of the period of severance will be counted toward the Participant’s Service for purposes of determining the Participant’s Pension and a Pre-Retirement Spouse’s Pension,
even if the period of time counted as Service under the Severance Program occurs after a Participant’s Separation from Service. 
  

 16 

	 B.5
	 Reduction to Reflect Early Payment: 

 If the Participant receives either (1) additional Credited Service or (2) additional earnings that are included in Highest Average Monthly Earnings under Sections B.2 or B.3 of this Article B, as a result of
a severance benefit provided under a Severance Program and such additional Credited Service or earnings are included in the calculation of the Participant’s Pension prior to the time that the Credited Service is actually performed by the
Participant, or the earnings are actually paid to the Participant, the Pension paid to the Participant shall be adjusted actuarially to reflect the receipt of the portion of the Pension attributable to such Credited Service or earnings received on
account of the Severance Program prior to the time such Credited Service is performed or such earnings are actually paid to the Participant. For purposes of determining the adjustment to be made, the Plan shall use the rate provided under the
Salaried Plan for early payment of benefits. 
  

 17 

 APPENDIX ARTICLE C 
 International Transfer Participants 
  

	 C.1
	 Scope: 

 This Article provides special rules for calculating the benefit of an individual who is an “International Transfer Participant” under Section C.2 below. The benefit of an International Transfer Participant shall be determined
under Section C. 3 below, subject to Section C.4 below. Once a benefit is determined for an International Transfer Participant under this Article, such benefit shall be subject to the Plan’s normal conditions and shall be paid in accordance
with the Plan’s normal terms. All benefits paid under this Article are subject to Code section 409A, including those accrued prior to January 1, 2005. This Article is effective April 1, 2007. 
  

	 C.2
	 International Transfer Participants: 

 An International Transfer Participant is a Participant who is: 
 (a) General Rule: An
individual who, following a transfer to an April 2007 Foreign Subsidiary (as defined under Section 2.1(r)(5) of the Salaried Plan), would qualify as an Employee within the meaning of Section 2.1(q)(2)(vi) of the Salaried Plan (U.S. citizen
or resident alien on qualifying temporary international assignment) but for the fact that his assignment with the April 2007 Foreign Subsidiary is in a position of employment that is classified as Band 4 (or its equivalent) or higher; or 

(b) Special Rule for Certain Permanent Assignments to Mexico: Notwithstanding subsection (a) above, an International
Transfer Participant also includes an individual who was transferred to an April 2007 Foreign Subsidiary based in Mexico, and who would qualify as an Employee within the meaning of Section 2.1(q)(2)(vi) of the Salaried Plan but for the fact
that: 
 (1) His assignment with the April 2007 Foreign Subsidiary is in a position that is classified as Band
4 (or its equivalent) or higher; 
  

 18 

 (2) Mexico is his home country on the records of the Expat Centre for
Excellence group or its successor (in accordance with Section 2.1(q)(2)(vi) of the Salaried Plan); and 
 (3) The duration of his assignment with the April 2007 Foreign Subsidiary in Mexico is not limited to 5 years or less. 
 An
individual described in subsection (a) or (b) above may still qualify as an International Transfer Participant if his transfer to an April 2007 Foreign Subsidiary occurred prior to April 1, 2007 (the effective date of this Article),
provided he satisfied the terms of subsection (a) or (b) above on the date of his transfer. 
  

	 C.3
	 Benefit Formula for International Transfer Participants: 

 Except as provided in this Section C.3, an International Transfer Participant’s benefit under the Plan shall be determined using a calculation methodology that is substantially similar to
that which applies under Section 5.1 of the Plan. 
 (c) Total Pension for International Transfer Participant:
Notwithstanding the preceding sentence, an International Transfer Participant’s “Total Pension” (as defined in Section 5.1(c)(1) of the Plan) shall be calculated as if he continued to receive Credited Service and Earnings under
the Salaried Plan while working for the April 2007 Foreign Subsidiary to which he transferred following his employment with an Employer based in the United States, without regard to the actual date on which he ceased receiving Credited Service and
Earnings under the Salaried Plan. However, the Total Pension of an International Transfer Participant whose transfer to an April 2007 Foreign Subsidiary occurred prior to 1992 shall not take into account Credited Service and Earnings for employment
with the April 2007 Foreign Subsidiary prior to 1992. 
  

 19 

 (d) Calculation of International Transfer Participant’s Benefit: The
International Transfer Participant’s benefit under the Plan shall be calculated by reducing his Total Pension as determined under subsection (a) above (expressed as a lump sum as of his benefit commencement date under the Plan) by the
following amounts: 
 (1) The amount of his actual benefit under the Salaried Plan (expressed as a lump sum
amount on his benefit commencement date), and 
 (2) Any amounts paid to him from a “qualifying
plan” as that term is defined under Section 3.6(c)(4) of the Salaried Plan (Transfers and Non-Duplication) with respect to his assignment with the April 2007 Foreign Subsidiary (with such amounts expressed as a lump sum on his benefit
commencement date under this Plan). 
  

	 C.4
	 Alternative Arrangements Permitted: 

 Notwithstanding any provision of this Article or the Plan to the contrary, the Company and a Participant who would qualify as an International Transfer Participant under Section C.2 above may agree in writing to
disregard the provisions of this Article in favor of another mutually agreed upon benefit arrangement under the Plan, in which case this Article shall not apply. 
  

 20

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