Document:

Shareholders Agreement

 Exhibit 10.4 
 SHAREHOLDERS AGREEMENT 
 SHAREHOLDERS AGREEMENT dated as of
December 19, 2011 (this “Agreement”), is among Real Goods Solar, Inc., a Colorado corporation (the “Company”), Riverside Renewable Energy Investments, LLC, a Delaware limited liability company
(“Riverside”), and Gaiam, Inc., a Colorado corporation (“Gaiam” and, collectively with Riverside, the “Shareholders”). Certain terms used in this Agreement are defined in Section 1.1.

 RECITALS: 
 WHEREAS, as of the date of this Agreement, Gaiam beneficially owns 10,000,000 shares (the “Gaiam Shares”) of the Company’s common stock, par value $.0001 per share; 

WHEREAS, Riverside is a member of, and controls, Earth Friendly Energy Group Holdings, LLC, a Delaware limited liability company
(“Earth Friendly”); 
 WHEREAS, pursuant to the terms and subject to the conditions of that certain
Agreement and Plan of Merger effective as of June 21, 2011 (the “Merger Agreement”) by and among the Company, Earth Friendly, Riverside, and Real Goods Alteris, LLC, a Delaware limited liability company and wholly-owned
subsidiary of the Company (“Merger Sub”), Merger Sub has been merged with and into Earth Friendly (the “Merger”), and, pursuant to the Merger, the Company has issued 7,830,647 shares of the Company’s
Class A common stock, par value $.0001 per share (“Company Common Stock”) to Riverside (the “Riverside Shares”); 
 WHEREAS, the Shareholders and the Company wish to set forth certain understandings with respect to the Shareholders’ holdings of the Company’s common stock; 

NOW, THEREFORE, in consideration of the premises and mutual covenants contained in this Agreement and of other good and valuable
consideration, the receipt and sufficiency of which are hereby acknowledged, the parties, intending to be legally bound hereby, agree as follows: 
 ARTICLE I 
 DEFINITIONS 

1.1 Certain Definitions. For purposes of this Agreement, the following terms shall have the meanings specified in this
Section 1.1: 
 “Affiliate” of any specified Person means any other Person directly or indirectly
controlling or controlled by or under direct or indirect common control with such specified Person. For purposes of this definition, “control” when used with respect to any specified Person, means the power to direct the management and
policies of such Person, directly or indirectly, whether through the ownership of voting securities, by contract or otherwise, and the terms “controlling” and “controlled” have meanings correlative to the foregoing. 

“Annual Meeting” means an annual meeting of the shareholders of the Company. 

“Board” means the Company’s board of directors. 

  
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 “Director” means a member of the Board. 

“Executive Committee” means any committee of the Board which may exist from time to time created by the Board with the
authority to nominate persons for election to the Board. For so long as Riverside has the right to designate an individual for nomination to the Board under this Agreement, this will be the Board’s Executive Committee, which shall consist of
Jirka Rysavy and David Belluck (or successors designated by Gaiam and Riverside, respectively). 
 “Outstanding
Shares” means the issued and outstanding shares of the Company’s common stock entitled to vote in the election of Directors. 
 “Permitted Transferee” means any wholly owned Affiliate of a Shareholder, and with respect to Riverside, Riverside Fund III, L.P. 

“Person” means any individual, partnership, limited liability company, limited liability partnership, corporation,
association, joint stock company, trust, joint venture, unincorporated organization or governmental entity (or any department, agency or political subdivision). 
 “Registration Rights Agreement” means the amended and restated registration rights agreement dated the date of this Agreement by and among Gaiam, Riverside and the Company. 

“Subsidiary” and “Subsidiaries” means, with respect to any Person, any other Person of which more than
50% of the total voting power of capital stock entitled to vote (without regard to the occurrence of any contingency) in the election of Directors (or other Persons performing similar functions) are at the time directly or indirectly owned by such
specified Person. 
 “Takeover Proposal” means any inquiry, proposal or offer from any Person or
“group”, within the meaning of Section 13(d) of the Securities Exchange Act of 1934, as amended, that would result in the acquisition by such Person or group of (A) all or substantially all of the assets of the Company or its
Subsidiaries outside of the ordinary course of business, or (B) a majority of the outstanding shares of the Company (other than the acquisition of shares of the Company’s equity securities under currently outstanding derivative
securities), whether pursuant to a stock sale, merger, consolidation, share exchange, business combination, recapitalization, liquidation, dissolution or similar transaction involving the Company or any of its Subsidiaries. 

“Transfer” of Company Common Stock will include any sale, assignment, transfer, participation, gift, bequest,
distribution, or other disposition, provided that a Transfer will not include a pledge, lien or grant or a security interest in favor of a financial institution or any transfer to such financial institution in connection with the exercise of such
financial institution’s rights upon default under such pledge, lien or security interest. 

  
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 Article II 
 NOMINEE DESIGNATIONS 
 2.1 Board Matters;
Board Appointments; Nomination Right. 
 (a) Subject to the provisions of this Article II, each of Gaiam and
Riverside will have the right to designate a specific number of individuals, determined pursuant to Section 2.2, to be appointed or nominated for election to the Board. 

(b) As of the date of this Agreement, each of Gaiam and Riverside have the right to designate two (2) individuals for
appointment or nomination to the Board. The two (2) individuals designated by Gaiam, Jirka Rysavy and John Schaeffer, and the two (2) individuals designated by Riverside, David Belluck and Steve Kaufman, have been elected to the Board. So
long as Gaiam has the right to designate Directors pursuant to the provisions of this Agreement (including without limitation Section 2.2(c)), the Company will take all necessary actions to cause and maintain the election to the Board the
Directors (or their successors) Gaiam designates in accordance with the terms of this Agreement. So long as Riverside has the right to designate Directors pursuant to the provisions of this Agreement (including without limitation
Section 2.2(c)), the Company will take all necessary actions to cause and maintain the election to the Board the Directors (or their successors) Riverside designates in accordance with the terms of this Agreement. If necessary to meet the
applicable independence standards of Nasdaq or the Securities and Exchange Commission, individuals designated for election to the Board by the Shareholders will meet all such independence standards (including with respect to audit and compensation
committees). 
 (c) At every Annual Meeting at which the term of an individual elected to the Board pursuant to
this Agreement shall expire, the Shareholder designating such individual (and its Permitted Transferees, as a group) may designate such individual or a new individual to be nominated for election to the Board. 

(d) If a vacancy occurs because of the death, disability, retirement, resignation or removal of an individual elected to
the Board pursuant to this Agreement, the Shareholder designating such individual (and its Permitted Transferees, as a group) may name another individual to fill such vacancy, and the Board, subject to paragraph 2.4(b) below, shall elect such
individual to the Board to fill the vacancy. 
 (e) Each Shareholder and the Company agree that it is its
intention that for so long as Jirka Rysavy is designated to serve as a Director by Gaiam he shall be elected as the Chairman of the Board, and each Shareholder and the Company shall, to the fullest extent permitted by law, take all action necessary
to cause Jirka Rysavy to be elected as the Chairman of the Board including, if necessary (i) the removal of any such Director who may refuse to vote at a meeting of the Board, or sign a written consent in lieu of such meeting, electing Jirka
Rysavy as Chairman of the Board, and (ii) the replacement of such Director with a new Director in accordance with the provisions of Section 2.1(d). 

  
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 (f) Notwithstanding anything herein to the contrary, the Company shall not
be obligated to cause to be nominated for election to the Board or recommend to the shareholders the election of any individual as a Director of the Company if the Executive Committee determines in good faith, after consultation with legal counsel,
that such action would be inconsistent with its fiduciary duties or Nasdaq listing standards; provided, however, that if the Executive Committee determines in good faith, after consultation with legal counsel, that such action would be
inconsistent with its fiduciary duties or Nasdaq listing standards, the Company shall promptly, and sufficiently in advance of any meetings of the shareholders called with respect to such election of nominees, notify the applicable Shareholder of
such determination and the applicable Shareholder will have the right to propose additional individuals to the Executive Committee until the Executive Committee has nominated such individual(s) for election to the Board. 

2.2 Effect of Reduction of Holdings and Competition. 

(a) If at any time Gaiam and its Permitted Transferees beneficially own less than 5% of the Outstanding Shares, then
thereafter Gaiam and its Permitted Transferees will have no rights to designate or approve any individuals pursuant to Section 2.1. 
 (b) If at any time Riverside and its Permitted Transferees beneficially own less than 5% of the Outstanding Shares, then thereafter Riverside and its Permitted Transferees will have no rights to designate
or approve any individuals pursuant to Section 2.1. 
 (c) Notwithstanding anything in this Agreement to the
contrary, neither Gaiam nor Riverside may designate a number of Directors under Section 2.1 that exceeds the product of such party’s voting percentage ownership in the Company multiplied by the total number of Company Directors; provided,
however, that if such product is not a whole number, such product will be rounded up to the next whole number (unless such rounding would result in a party having the right to nominate a majority of the Board at a time when such party does not hold
a majority voting percentage ownership in the Company, in which case such product will be rounded down to the next whole number). Any reduction pursuant to this Section 2.2(c) in the number of Directors that a party may designate will first be
satisfied by elimination of the party’s right to designate Directors meeting applicable independence requirements. 
 (d) Gaiam and Riverside agree and acknowledge that each is a shareholder of the Company, or owns equity interests in a shareholder of the Company, and, as such, receives good and valuable consideration as
a result of such ownership. In exchange for such good and valuable consideration, Riverside agrees, on its behalf and on behalf of each of their Affiliates (which for purposes of this Section shall include each of Riverside’s affiliated funds,
the general partners of such funds, the directors, executive officers, managers and other principals of each such fund and general partner, including David Belluck, and Riverside’s and each such fund’s majority owned portfolio companies)
(other than the Company and its Subsidiaries) (the “Riverside Entities”), that, if any of the Riverside Entities directly or indirectly engages in the business of the sale and installation of solar energy systems to end users as
conducted by the Company and its Subsidiaries on and after the date of this Agreement (other than on behalf of the Company and its Subsidiaries or as a manufacturer or distributor of solar energy system parts and components) (a “Competitive
Business”), then Riverside and its Permitted Transferees shall immediately and thereafter forfeit all of their rights under Article II of this Agreement. In exchange for the good and valuable consideration set forth above, Gaiam agrees, on
its behalf and on behalf of each of its Affiliates (which for purposes of this Section includes 

  
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Jirka Rysavy) (other than the Company and its Subsidiaries) (the “Gaiam Entities”), that, if any of the Gaiam Entities directly or indirectly engages in any a Competitive
Business, then Gaiam and its Permitted Transferees shall immediately and thereafter forfeit all of their rights under Article II of this Agreement. Notwithstanding the foregoing, nothing in this Section 5.1(b) shall prevent the ownership of
stock of the Company and of less than 2% of the stock of a publicly-held corporation whose stock is traded on a national securities exchange or in the over-the-counter market. 
 2.3 Personal Right. Each Shareholder’s rights under this Article II are personal to such Shareholder (and its Permitted Transferees) and may not be assigned except in accordance with
Section 10.3. 
 2.4 Additional Company Obligations. 

(a) The Company agrees to undertake all necessary actions and use its best efforts to assure that, with respect to each
election of Directors hereafter: 
 (i) the individuals nominated to serve as members of the Board pursuant to
this Agreement are included in the Board’s slate of nominees and are recommended and supported for election by the Company; and 
 (ii) each such individual is included in the proxy statement prepared by the Company in connection with soliciting proxies for every meeting of the shareholders of the Company called with respect to such
election, and at every adjournment or postponement thereof, and on every action or approval by written consent of the shareholders of the Company or the Board with respect to such election. 

(b) Notwithstanding anything herein to the contrary, the Company shall not be obligated to cause to be nominated for
election to the Board or recommend to the shareholders the election of any individual if such individual fails to submit to the Company on a timely basis such questionnaires as the Company may require of its Directors generally. 

(c) Notwithstanding any rights to increase or decrease the size of the Board contained in the Company’s bylaws, for
so long as any Shareholder has any rights of designation under this Section 2, the Company shall not take any action to, and there shall not be deemed to be, any increase or decrease in the size of the Board from eight (8) members, without
the prior written consent of such Shareholder. 
 Article III 

VOTING 
 Each Shareholder agrees (a) to vote all its shares of the Company’s common stock or any other equity securities of the Company, whether now owned or hereafter acquired or that such Shareholder
may be empowered to vote (“Company Equity Securities”) (or to act by written consent with respect to such shares of the Company’s common stock or other securities), from time to time and at all times, in favor of the election
to the Board of each individual nominated to serve on the Board pursuant to this Agreement, (b) not to publicly or privately, directly or indirectly, solicit, encourage, endorse, vote (or act by written consent) in favor of, recommend or in any
way support any individual who is not nominated by the Board or 

  
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Executive Committee in accordance with this Agreement, and (c) not to publicly or privately, directly or indirectly, take, propose, encourage, solicit, endorse, recommend or vote (or act by
written consent) or take any other action relating to the removal of any individual designated by the other Shareholder from the Board (unless agreed to by such other Shareholder). 

Article IV 

NON-SOLICITATION 
 4.1 Non-Solicitation. In exchange for the good and valuable consideration, Gaiam and Riverside agree and acknowledge that each is a shareholder of the Company, or owns equity interests in a
shareholder of the Company, and, as such, receives good and valuable consideration as a result of such ownership. In exchange for such good and valuable consideration, Gaiam agrees, on its behalf and on behalf of each of the Gaiam Entities, and
Riverside agrees, on its behalf and on behalf of each of the Riverside Entities, that the Gaiam Entities and the Riverside Entities, as the case may be, shall not directly or indirectly, induce or attempt to induce any employee of the Company or any
of its Subsidiaries to leave the employ of the Company or any of its Subsidiaries or in any way interfere with the relationship between the Company or any of its Subsidiaries and any of their employees; provided, however, that none of the foregoing
activities shall be deemed a violation of this Agreement, unless such activities were conducted with the explicit knowledge of Jirka Rysavy (with respect to the Gaiam Entities) or David Belluck (with respect to the Riverside Entities; and provided,
further, that the placement of general advertisements in newspapers, magazines or electronic media (including Internet job boards) shall also not be a violation of this Agreement. Notwithstanding anything in this Section 4.1 to the contrary,
the Gaiam Entities or the Riverside Entities may employ any employee of the Company or any of its Subsidiaries if such Person approaches the Gaiam Entities or the Riverside Entities, as the case may be, on an unsolicited basis or following cessation
of such Person’s employment by the Company or any of its Subsidiaries without any solicitation by the Gaiam Entities or the Riverside Entities, as the case may be. Each of Gaiam and Riverside agrees that this covenant is reasonable with respect
to its duration, geographical area and scope. 
 4.2 Scope, etc. If, at the time of enforcement of any of the provisions
of Section 2.2(d) or this Article IV, a court holds that the restrictions stated in Section 2.2(d) or this Article IV are unreasonable under the circumstances then existing, the parties to this Agreement agree that the maximum period,
scope or geographical area reasonable under such circumstances shall be substituted for the stated period, scope or area. Each party to this Agreement acknowledges that, without provisions contained in Section 2.2(d) and this Article IV, the
Shareholders would have not entered into this Agreement. 
 Article V 

AMENDMENT TO INTERCORPORATE SERVICES AGREEMENT
AND RSOL LEASE 
 Each of Gaiam and Riverside hereby agrees that it will cause Messrs. Rysavy
and Schaeffer, and Messrs. Belluck and Kaufman, respectively, to vote to approve, effective as of the date of consummation of the Merger, that certain Amendment to Intercorporate Services Agreement in the form attached to this Agreement, and real
property lease by and between Boulder Road LLC, as landlord, and RSOL, as tenant, in the form attached to this Agreement, including, if necessary (i) the removal of any such Director who may refuse to vote at a meeting of the Company’s
Board of Directors in favor of, or sign a written consent in lieu of such meeting approving, such Amendment and Lease, and (ii) the replacement of such person with a new Director. 

  
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 In connection with such Amendment, the Amendment to Tax Sharing Agreement described in
Article VI, and additional services that Gaiam provided to the Company under the Intercorporate Services Agreement, the Company agrees to pay Gaiam a fee equal to $672,000. 
 Article VI 
 AMENDMENT TO
TAX SHARING ARRANGEMENT 
 Each of Gaiam and Riverside hereby agrees that it
will cause Messrs. Rysavy and Schaeffer, and Messrs. Belluck and Kaufman, respectively, to vote to approve, effective as of the date of consummation of the Merger, that certain Amendment to Tax Sharing Agreement in the form attached to this
Agreement; including, if necessary (i) the removal of any such Director who may refuse to vote at a meeting of the Company’s Board of Directors in favor of, or sign a written consent in lieu of such meeting approving, such Amendment, and
(ii) the replacement of such person with a new Director. 
 Article VII 

SALE OF STOCK AND TAKEOVER PROPOSALS

 7.1 Certain Restrictions. During the period beginning on the date of this Agreement and ending on the date that is
six months after the date of this Agreement, unless Gaiam and Riverside otherwise mutually agree: 
 (i) No
Shareholder shall exercise any rights to a Demand Registration or Piggyback Registration (as each such term is defined in the Registration Rights Agreement). 
 (ii) If the Company shall enter into an underwritten offering or undertake any material private placement of its shares, then each Shareholder irrevocably agrees not to effect any public sale or
distribution of any of the Company’s securities (except as part of such underwritten offering), including a sale pursuant to Rule 144 under the Securities Act, during the 10-calendar day period prior to, and during the 180-calendar day period
(or such shorter period as to which the managing underwriter or underwriters may require of any officer, Director or other stockholder bound by any similar limitation in connection with any underwritten public offering) beginning on, the closing
date of each underwritten offering made pursuant to such registration statement. 
 (iii) If either Shareholder
proposes to Transfer any shares of Company Common Stock beneficially owned by such Shareholder to any Person (other a Transfer consisting of Gaiam’s conversion of Class B Common pursuant to Section 7.3 and other than a Transfer to a
Permitted Transferee) (such Transfer a “Tag Along Sale”), the transferring Shareholder will provide written notice of the proposed Tag Along Sale to the other Shareholder (the “Transfer Notice”), which notice will
identify the transferee, the number of shares proposed to be transferred, the consideration offered for the shares and any other material terms and conditions of the proposed Tag Along Sale. If the proposed consideration for the shares consists in
part or in whole of consideration other than cash, then, to the extent reasonably available, the transferring Shareholder will provide such information relating to the consideration as the other Shareholder may reasonably

  
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request in order to evaluate such non-cash consideration. The other Shareholder will have the right (the “Tag-Along Right”), exercisable as set forth in this Section, to
Transfer, pursuant to the proposed Tag Along Sale, a number of shares equal to the other Shareholder’s Applicable Tag Percentage times the number of shares proposed to be transferred in the Tag-Along Sale, on the same terms and conditions as
the transferring Shareholder. Each Shareholder agrees to execute and deliver any documents and instruments reasonably necessary to effectuate such Tag Along Sale. For purposes of this Section 7.1, “Applicable Tag Percentage”
means a fraction, the numerator of which is the number of shares of Company Common Stock beneficially owned by Gaiam or Riverside, as applicable, and the denominator of which is the number of shares of Company Common Stock beneficially owned by both
Shareholders. Each Tag-Along Right will be exercisable by delivering written notice to the transferring Shareholder within ten (10) days after receipt of the Transfer Notice. Upon receipt of such notice (or upon passage of such ten
(10) day period if no such notice is delivered), the transferring Shareholder may consummate the proposed Transfer, at a price or prices no greater than the price set forth in the Transfer Notice and on terms and conditions no more favorable to
the transferring Shareholder than those stated in the Transfer Notice (provided that the transferee also purchases from the other Shareholder (assuming the other Shareholder has exercised its Tag-Along Right in accordance with this Section(d)), the
shares such other Shareholder is entitled to include in such Tag Along Sale at the price and on the other terms and conditions set forth in the Transfer Notice). 
 (iv) No Shareholder will (and each Shareholder will cause each of its officers, directors, employees, consultants, agents, advisors and other representatives (collectively,
“Representatives”) not to), (A) solicit, initiate or knowingly facilitate or encourage (including by way of furnishing non-public information) any inquiries regarding, or the making of any proposal or offer that constitutes, or
could reasonably be expected to lead to, a Takeover Proposal, (B) engage in, continue or otherwise participate in any discussions or negotiations regarding, or furnish to any other Person information in connection with or for the purpose of
encouraging or facilitating, a Takeover Proposal, (C) enter into any letter of intent, agreement or agreement in principle with respect to a Takeover Proposal, or (D) vote in favor of, approve, tender into or take any actions with respect
to the foregoing without the written prior consent of the other Shareholder. 
 Each Stockholder agrees that this Section 7.1 is
irrevocable and shall be binding upon its permitted successors and assigns. 
 7.2 Class B Common Stock. If the
Company’s shareholders vote on any amendment to the Company’s articles of incorporation after the date of this Agreement, then the Company, Gaiam and Riverside shall each take all actions necessary to include in such amendment any
revisions to the Company’s articles of incorporation that are necessary to eliminate the Company’s Class B common stock, par value $0.0001 per share (the “Class B Common”), as an authorized class of the Company’s capital
stock after Gaiam previously converted such Class B Common into Company Common Stock. Each of Gaiam and Riverside agree that, from and after the date of this Agreement, it shall not vote, or provide a written consent with respect to, its shares of
Company Equity Securities for any proposal to amend the Company’s articles of incorporation to permit the issuance of additional shares of Class B Common. 
 7.3 Conversion. Gaiam hereby agrees that, on or prior to December 31, 2011, Gaiam will convert each share of the Class B Common it beneficially owns into one share of the Company Common Stock,
in accordance with the terms of the Company’s articles of incorporation. From the date of this 

  
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Agreement until Gaiam converts all of its Class B Common as contemplated above, neither Gaiam nor the Company shall approve, modify, amend or enter into any transaction between the Company or any
of its subsidiaries, on the one hand, and Gaiam or any of its Affiliates (other than the Company and its subsidiaries), on the other hand; except in the ordinary course consistent with past practice and with respect to approving and entering into
the Amendment to Intercorporate Services Agreement, the real property lease and the Amendment to Tax Sharing Agreement, all in the forms attached to this Agreement. 
 Article VIII 
 DEBT COMMITMENT

 8.1 Gaiam Loan. Gaiam will make a single cash advance to the Company in the amount of $1,700,000 on or prior to
December 30, 2011, which advance will be due and payable 12 months after the date of such advance. 
 8.2 Riverside
Commitment and Loan. Riverside agrees to make single a cash advance to the Company in an amount of up to $3,150,000 (as determined by the Company’s Chief Executive Officer) within five (5) Business Days of receiving written notice from the
Company’s Chief Executive Officer. Riverside’s commitment obligation pursuant to this Article VIII will terminate at the close of business on December 31, 2012. Any such advance by Riverside will be due 12 months after the date of the
advance. 
 8.3 Promissory Note. Each advance by either Shareholder will be evidenced by a promissory note issued by the Company
in favor of the respective lender in the form attached to this Agreement, setting forth the terms and conditions of such advance. 
 8.4 Fee. If the Company does not call the advance from Riverside described in Section 8.2 on or prior to December 31, 2012, then Riverside will pay a fee of $170,000 in cash to Gaiam, promptly
and in any event within ten (10) Business Days after the termination, on December 31, 2012, of Riverside’s obligation to make the advance; provided, however, that Riverside’s obligation to pay such fee to Gaiam will expire and no
fee will be due to Gaiam if the Company repays the full amount of Gaiam’s advance on or prior to June 30, 2012. 

Article IX 

TERMINATION 
 This Agreement shall become null and void and be of no further force or effect whatsoever and neither the Shareholders nor the Company shall have any further obligations hereunder or with respect hereto
upon the first to occur of (i) the mutual written consent of the Shareholders to terminate this Agreement and (ii) the date on which either Gaiam and its Permitted Transferees, or Riverside and its Permitted Transferees, does not
beneficially own any Company Equity Securities. 
 Article X 

MISCELLANEOUS 
 10.1 Governing Law. In all respects, including all matters of construction, validity and performance, this Agreement shall be governed by, and construed and enforced in accordance with, the

  
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internal laws of the State of Colorado applicable to contracts made and performed in that State (without regard to the choice of law or conflicts of law provisions) and any applicable laws of the
United States of America. 
 10.2 Notices. All notices, demands and other communications to be given or delivered under
or by reason of the provisions of this Agreement will be in writing and will be deemed to have been given (i) when delivered if personally delivered by hand (with written confirmation of receipt), (ii) when received if sent by a nationally
recognized overnight courier service (receipt requested), or (iii) when receipt is acknowledged by an affirmative act of the party receiving notice, if sent by facsimile, telecopy or other electronic transmission device (provided that such an
acknowledgement does not include an acknowledgment generated automatically by a facsimile or telecopy machine or other electronic transmission device). Notices, demands and communications to the Company, Gaiam or Riverside will, unless another
address is specified in writing, be sent to the address indicated below: 
 If to the Company to: 

Real Goods Solar, Inc. 
 833 W. South Boulder Road 
 Louisville, Colorado 80027-2452 

Attention: John Jackson 
 Telephone: (303) 222-3809 
 Facsimile: 303-222-3700 

E-Mail: john.jackson@gaiam.com 
 with a copy (which shall not serve as notice) to: 
 Bartlit Beck Herman
Palenchar & Scott LLP 
 1899 Wynkoop, Ste 800 

Denver, Colorado 80202 
 Attention: Thomas R. Stephens 
 Telephone: (303) 592-3100 

Facsimile: (303) 592-3140 
 E-Mail: thomas.stephens@bartlit-beck.com 
 If to Gaiam to: 

Gaiam, Inc. 

833 W. South Boulder Road 
 Louisville, Colorado 80027-2452 
 Attention: John Jackson 

Telephone: (303) 222-3809 
 Facsimile: 303-222-3700 
 E-Mail: john.jackson@gaiam.com 

with a copy (which shall not serve as notice) to: 
 Bartlit Beck Herman Palenchar & Scott LLP 

  
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	 1899 Wynkoop, Ste 800

	 Denver, Colorado 80202

	 Attention: Thomas R. Stephens

	 Telephone: (303) 592-3100

	 Facsimile: (303) 592-3140

	 E-Mail: thomas.stephens@bartlit-beck.com

	
	 If to Riverside to:

	
	 c/o Riverside Partners, LLC

	 One Exeter Plaza

	 699 Boylston Street

	 Boston, Massachusetts

	 Attention: David Belluck

	 Telephone: (617) 351-2806

	 Facsimile: (617) 351-2801

	 E-Mail: dbelluck@riversidepartners.com

	
	 with a copy (which shall not serve as notice) to:

	
	 Choate Hall & Stewart LLP

	 Two International Place

	 Boston, Massachusetts 02110

	 Attention: Stephen M. L. Cohen

	 Telephone: (617) 248-5050

	 Facsimile: (617) 502-5050

	 E-Mail: scohen@choate.com

 or at such other address or addresses as the Company, Gaiam or Riverside, as the case may be, may specify by written
notice given in accordance with this Section 10.2. 
 10.3 Benefit of Parties; Assignment. The provisions of this
Agreement shall be binding upon the parties to this Agreement and their respective permitted successors and assigns and inure to the benefit of the Shareholders and their respective permitted successors and assigns. This Agreement may not be
assigned by the Company without the prior written consent of the Shareholders or by any Shareholder except with the prior written consent of the other Shareholder; provided, however, no prior consent shall be required for an assignment of
this Agreement and all (but not less than all) of the transferor’s rights and obligations under this Agreement to a Permitted Transferee, provided such Permitted Transferee expressly agrees to be bound by this Agreement. Upon any such
assignment and agreement, the Permitted Transferee shall assume all of the rights and obligation of the transferring Shareholder under this Agreement. 
 10.4 Amendment. Any provision of this Agreement may be amended or waived if, and only if, such amendment or waiver is in writing and signed, in the case of an amendment, by each of the Shareholders
to this Agreement (provided that no such amendment shall impose any material obligation on the Company without the Company’s consent), or in the case of a waiver, by the party against whom the waiver is to be effective. 

  
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 10.5 Waiver. No failure or delay by any Shareholder in exercising any right, power or
privilege under this Agreement shall operate as a waiver thereof, nor shall any single or partial exercise thereof preclude any other or further exercise thereof or the exercise of any other right, power or privilege. The rights and remedies
provided in this Agreement shall be cumulative and not exclusive of any rights or remedies provided by law. 
 10.6
Severability. If any provision of this Agreement or the application of such provision to any party or set of circumstances shall, in any jurisdiction and to any extent, be finally held invalid or unenforceable, such term or provision shall
only be ineffective as to such jurisdiction, and only to the extent of such invalidity or unenforceability, without invalidating or rendering unenforceable any other terms or provisions of this Agreement or under any other circumstances, and the
parties shall negotiate in good faith a substitute provision which comes as close as possible to the invalidated or unenforceable term or provision, and which puts each party in a position as nearly comparable as possible to the position it would
have been in but for the finding of invalidity or unenforceability, while remaining valid and enforceable. 
 10.7 Entire
Agreement. This Agreement constitutes the entire agreement among the parties to this Agreement with respect to the subject matter hereof and supersedes all prior agreements and undertakings, both written and oral, among the parties with respect
to the subject matter hereof. 
 10.8 Counterparts; Effectiveness. This Agreement may be signed in any number of
counterparts, each of which shall be an original, with the same effect as if the signatures thereto and hereto were upon the same instrument. This Agreement shall become effective when each party shall have received counterparts (or signature pages)
hereof signed by all of the other parties. 
 10.9 Specific Performance. Each of the parties acknowledges and
agrees that the parties’ respective remedies at law for a breach or threatened breach of any of the provisions of this Agreement would be inadequate and, in recognition of that fact, each agrees that, in the event of a breach or threatened
breach by any party of the provisions of this Agreement, in addition to any remedies at law, each of the Shareholders, without posting any bond, shall be entitled to seek equitable relief in the form of specific performance, a temporary restraining
order, a temporary or permanent injunction or any other equitable remedy which may then be available.  
 10.10
Beneficiaries. Notwithstanding any provision in this Agreement to the contrary, this Agreement shall not confer any rights or remedies upon any Person other than the Shareholders and each of their successors and permitted assigns. 

[Signature page follows] 

  
 12 

 IN WITNESS WHEREOF, the parties have executed this Agreement as of the date first above
written. 
  

			
	THE COMPANY:
	
	REAL GOODS SOLAR, INC., a Colorado corporation
		
	By:	 	  

		 	Name:
		 	Title:
	
	GAIAM:
	
	GAIAM, INC., a Colorado corporation
		
	By:	 	  

		 	Name:
		 	Title:
	
	RIVERSIDE:
	
	 RIVERSIDE RENEWABLE ENERGY INVESTMENTS,
 LLC, a Delaware limited company

		
	By:	 	  

		 	Name:
		 	Title:

 [Signature Page to Shareholders Agreement] 

 Amendment to Intercorporate Services Agreement 

 Real Property Lease 

 Amendment to Tax Sharing Agreement 

 Form of Promissory Note 

This promissory note (this “Note”) has not been registered under the Securities Act of 1933, as amended, or under the
securities laws of any state. No transfer, sale or other disposition of this Note may be made unless a registration statement with respect to this Note has become effective under said Act, and such registration or qualification as may be necessary
under the securities laws of any state has become effective, or the Maker (as defined below) has been furnished with an opinion of counsel satisfactory to the Maker that such registration is not required. 

Payments of principal and interest in respect of this Note are subordinated to payments of certain other indebtedness of the Maker, as
set forth herein. 
 PROMISSORY NOTE 
 Louisville, Colorado 
  

			
	$[            ]	  	[                    ], 201     (the
“Issue Date”)

 FOR VALUE RECEIVED, the undersigned, REAL GOODS SOLAR, INC., a Colorado corporation
(“Maker”), PROMISES TO PAY TO THE ORDER OF [            ] or its registered assigns (the “Payee”), the sum of
[            ] DOLLARS ($[            ]), in lawful money of the United States of America, together with interest on the unpaid
principal amount, all in accordance with the provisions stipulated herein. 
 Interest shall accrue on the principal amount of
this Note (including all amounts added to the principal balance hereof as a payment-in-kind of interest as described below) at the rate of ten percent (10.0%) per annum, compounded annually, calculated based on a 360-day year, and accruing
daily from the Issue Date until repaid. In the event all or any part of the principal amount of this Note is repaid on or prior to the one year anniversary of the Issue Date, all accrued interest on such amount repaid shall be waived. 

All unpaid principal (including all amounts added to the principal balance hereof as a payment-in-kind of interest as described below)
and all accrued but unpaid interest shall mature and become due and payable in full on the earlier of [                    ],
201    1 and the occurrence of a
Proceeding (the “Maturity Date”). For the purposes of this Note, a “Proceeding” shall mean either (a) an involuntary proceeding shall be commenced or an involuntary petition shall be filed seeking
(i) liquidation, reorganization or other relief in respect of Maker or such person’s debts, or of a substantial part of such person’s assets, under any Federal, state or foreign bankruptcy, insolvency, receivership or similar law now
or hereafter in effect or (ii) the appointment of a receiver, trustee, custodian, sequestrator, conservator or similar official for Maker or for a substantial part of such person’s assets, and, in any such case, such proceeding or petition
shall continue undismissed for a period of 60 or more days or an order or decree approving or ordering any of the foregoing shall be entered or (b) Maker shall (i) voluntarily commence any proceeding or file any 

 

	1 	 12 months after Issue Date. 

 
petition seeking liquidation, reorganization or other relief under any Federal, state or foreign bankruptcy, insolvency, receivership or similar law now or hereafter in effect, (ii) consent
to the institution of, or fail to contest in a timely and appropriate manner, any proceeding or petition described in clause (a) above, (iii) apply for or consent to the appointment of a receiver, trustee, custodian, sequestrator,
conservator or similar official for Maker or for a substantial part of such person’s assets, (iv) file an answer admitting the material allegations of a petition filed against it in any such proceeding, (v) make a general assignment
for the benefit of creditors or (vi) take any action for the purpose of effecting any of the foregoing. 
 This Note is one
of the promissory notes referred to in that certain Shareholders Agreement, dated as of December     , 2011 (as the same may be amended, restated, supplemented or otherwise modified from time to time, the “Shareholders
Agreement”), by and among Maker, Riverside Renewable Energy Investments, LLC and Gaiam, Inc., and is subject to the provisions of the Shareholders Agreement. All rights and remedies available to Payee under this Note shall be cumulative of
and in addition to all other rights and remedies granted to Payee at law or in equity. 
 Maker agrees, and Payee by accepting
this Note agrees, that this Note, and the indebtedness evidenced hereby, including all principal and interest (the “Subordinated Obligations”), shall be subordinate and junior in right of payment to the prior payment in full in cash
of all indebtedness for borrowed money (the “Senior Obligations”) owed by Maker to any lenders unaffiliated with Maker (the “Senior Lenders”), and that such subordination of the payment of the Subordinated
Obligations to the payment in full of the Senior Obligations shall be subject to customary subordination terms reasonably acceptable to such Senior Lenders, including the following: 

(a) the subordination provisions shall be effective and apply to the Subordinated Obligations until such time as
(i) the Senior Obligations shall be repaid in full in cash and (ii) all commitments of the Senior Lenders to make loans or other credit extensions to or on behalf of Maker shall expire or terminate (the “Senior Obligations
Termination”); and 
 (b) notwithstanding any provision in this Note to the contrary, prior to the
earlier of the Maturity Date and the Senior Obligations Termination, Payee shall not ask, demand, sue for, take or receive from Maker or any other person or entity, directly or indirectly, in cash or other property or by set-off or in any other
manner, and Maker shall not repay, or cause to be repaid, any or all of the Subordinated Obligations, except under customary terms reasonably acceptable to the Senior Lenders. 
 Subject to the foregoing provisions, Maker shall have the right to prepay this Note at any time without premium or penalty, provided that payments will be applied first to accrued and unpaid interest on
the principal amount and the balance, if any, to the reduction of principal. 
 No modification, amendment, termination, or
cancellation of any provision of this Note shall be valid and binding, unless it be in writing and signed by Maker and Payee. No failure or delay on the part of Payee in exercising any right, power or privilege hereunder and no course of dealing
between Maker and Payee shall operate as a waiver thereof; nor shall any single or partial exercise of any right, remedy, power or privilege hereunder preclude any other or further exercise thereof or the exercise of any other right, remedy, power
or privilege. 

  
 2 

 This note, together with the Shareholders Agreement, represents the final agreement
between Maker and Payee and may not be contradicted by evidence of prior, contemporaneous, or subsequent oral agreements between Maker and Payee. There are no unwritten oral agreements between Maker and Payee. 

This Note shall be governed by, and construed in accordance with, the laws of the State of Colorado. 

 

			
	MAKER: REAL GOODS SOLAR, INC.
		
	By:	 	  

	Name:	 	
	Title:	 	

 Acknowledged and Agreed: 
  

	
	PAYEE:  [                          
              ]
	
	By:                             
                                         
                    
	Name:
	Title:

  
 3EX-4.7

 Exhibit 4.7 
 APACHE CORPORATION 
 NON-QUALIFIED RESTORATIVE 

RETIREMENT SAVINGS PLAN 
 Effective as of January 1, 2012 

 Table of Contents 

 

					
	 Article I Definitions
	  	 	4	  
	 1.01 Account
	  	 	4	  
	 1.02 Affiliated Entity
	  	 	4	  
	 1.03 Apache
	  	 	4	  
	 1.04 Beneficiary
	  	 	4	  
	 1.05 Change of Control
	  	 	4	  
	 1.06 Code
	  	 	5	  
	 1.07 Committee
	  	 	5	  
	 1.08 Company
	  	 	5	  
	 1.09 Company Deferrals
	  	 	5	  
	 1.10 Compensation
	  	 	5	  
	 1.11 Employee
	  	 	6	  
	 1.12 Enrollment Agreement
	  	 	6	  
	 1.13 ERISA
	  	 	7	  
	 1.14 Non-Qualified Retirement Savings Plan
	  	 	7	  
	 1.15 Participant
	  	 	7	  
	 1.16 Participant Deferrals
	  	 	7	  
	 1.17 Payment Processing Date
	  	 	7	  
	 1.18 Plan
	  	 	7	  
	 1.19 Plan Year
	  	 	7	  
	 1.20 Retirement Plan
	  	 	7	  
	 1.21 Savings Plan
	  	 	7	  
	 1.22 Separation from Service and Separate from Service
	  	 	8	  
	 1.23 Trust
	  	 	8	  
	 1.24 Trust Agreement
	  	 	8	  
	 1.25 Trustee
	  	 	8	  
		
	 Article II Eligibility and Participation
	  	 	9	  
	 2.01 Eligibility and Participation
	  	 	9	  
	 2.02 Enrollment
	  	 	9	  
	 2.03 Failure of Eligibility
	  	 	9	  

  
 1 

					
		
	 Article III Contribution Deferrals
	  	 	10	  
	 3.01 Participant Deferrals
	  	 	10	  
	 3.02 Company Deferrals
	  	 	11	  
		
	 Article IV Crediting of Accounts
	  	 	13	  
	 4.01 Accounts
	  	 	13	  
	 4.02 Investments
	  	 	13	  
		
	 Article V Distributions
	  	 	15	  
	 5.01 Vesting and Forfeitures
	  	 	15	  
	 5.02 Rehires
	  	 	16	  
	 5.03 Distribution Overview
	  	 	16	  
	 5.04 Distributions after Separation from Service
	  	 	17	  
	 5.05 Payments after a Participant Dies
	  	 	18	  
	 5.06 Change of Control
	  	 	19	  
	 5.07 Divorce
	  	 	19	  
	 5.08 Administrative Delays
	  	 	20	  
	 5.09 Noncompliance with Code Section 409A
	  	 	20	  
	 5.10 Cash Payment and Withholding
	  	 	21	  
		
	 Article VI Administration
	  	 	22	  
	 6.01 The Committee — Plan Administrator
	  	 	22	  
	 6.02 Committee Duties
	  	 	22	  
	 6.03 Organization of Committee
	  	 	23	  
	 6.04 Indemnification
	  	 	23	  
	 6.05 Agent for Process
	  	 	23	  
	 6.06 Determination of Committee Final
	  	 	23	  
	 6.07 No Bonding
	  	 	23	  
		
	 Article VII Trust
	  	 	24	  
	 7.01 Trust Agreement
	  	 	24	  
	 7.02 Expenses of Trust
	  	 	24	  
		
	 Article VIII Amendment and Termination
	  	 	25	  
	 8.01 Termination of Plan
	  	 	25	  
	 8.02 Amendment
	  	 	25	  

  
 2 

					
		
	 Article IX Miscellaneous
	  	 	26	  
	 9.01 Funding of Benefits — No Fiduciary Relationship
	  	 	26	  
	 9.02 Right to Terminate Employment
	  	 	26	  
	 9.03 Inalienability of Benefits
	  	 	26	  
	 9.04 Claims Procedure
	  	 	26	  
	 9.05 Disposition of Unclaimed Distributions
	  	 	28	  
	 9.06 Distributions due Infants or Incompetents
	  	 	30	  
	 9.07 Use and Form of Words
	  	 	30	  
	 9.08 Headings
	  	 	30	  
	 9.09 Governing Law
	  	 	30	  

  
 3 

 APACHE CORPORATION 

NON-QUALIFIED RESTORATIVE 
 RETIREMENT SAVINGS PLAN 
 Apache Corporation (“Apache”) established this Apache
Corporation Non-Qualified Restorative Retirement Savings Plan (“Plan”) effective as of January 1, 2012. Apache intends for this Plan to provide a select group of management or highly compensated employees of the Company (as defined
below) (who are not participants in the Apache Corporation Non-Qualified Retirement Savings Plan) with deferred retirement benefits, in addition to the retirement benefits provided under the Apache Corporation Money Purchase Retirement Plan
and the Apache Corporation 401(k) Savings Plan, in consideration of the valuable services provided by such employees to the Company and to induce such employees to remain in the employ of the Company. 

Apache intends that the Plan not be treated as a “funded” plan for purposes of either the Code or ERISA (each as defined below). Apache also
intends for this Plan to comply with the requirements of Code Section 409A, and the Plan shall be interpreted in that light. 
 ARTICLE I. 
 DEFINITIONS 

 

	1.01	Account 

“Account” means the account maintained for each Participant to which is credited all Participant Deferrals made by a
Participant, all Company Deferrals on behalf of a Participant, and all adjustments thereto. Each Account is divided into a variety of subaccounts, as detailed in Article V. 

 

	1.02	Affiliated Entity 

“Affiliated Entity” means any legal entity that is treated as a single employer with Apache pursuant to Code Sections 414(b),
414(c), 414(m), or 414(o). 
  

	1.03	Apache 

“Apache” means Apache Corporation or any successor thereto. 

 

	1.04	Beneficiary 

“Beneficiary” means a Participant’s beneficiary, as determined in Section 5.05. 

 

	1.05	Change of Control 

“Change of Control” means an event described in Code Section 409A(a)(2)(A)(v) that pertains to Apache. 

  
 4 

	1.06	Code 

“Code” means the Internal Revenue Code of 1986, as amended. 

 

	1.07	Committee 

“Committee” means the Retirement Plan Advisory Committee provided for in Section 6.01. 

 

	1.08	Company 

“Company” means Apache and any Affiliated Entity that, with approval of the Board of Directors of Apache, has adopted the Plan.

  

	1.09	Company Deferrals 

“Company Deferrals” means the allocations to a Participant’s Account made pursuant to Section 3.02. 

 

	1.10	Compensation 

“Compensation” generally means regular compensation paid by the Company. 

(a) Inclusions. Specifically, Compensation includes: 

 

	 	(i)	regular salary or wages; 

  

	 	(ii)	overtime pay; and 

  

	 	(iii)	the regular annual bonus (i.e., incentive compensation), to the extent that it is payable in cash, and any other bonus designated by the Committee.

 (b) Exclusions. Compensation excludes: 

 

	 	(i)	commissions; 

  

	 	(ii)	severance pay; 

  

	 	(iii)	moving expenses; 

  

	 	(iv)	any gross-up of moving expenses to account for increased income taxes; 

  

	 	(v)	foreign service premiums paid as an inducement to work outside of the United States; 

 

	 	(vi)	Company contributions under the Retirement Plan; 

  

	 	(vii)	Company contributions under the Savings Plan; 

  

	 	(viii)	other contingent compensation; 

  
 5 

	 	(ix)	contributions to any other fringe benefit plan (including, but not limited to, overriding royalty payments or any other exploration-related payments);

  

	 	(x)	any amounts relating to the granting of a stock option by the Company or an Affiliated Entity, the exercise of such a stock option, or the sale or deemed sale of any
shares thereby acquired; 

  

	 	(xi)	any bonus other than a bonus described in paragraph (a)(iii); 

  

	 	(xii)	payments from any benefit plan, such as any stock appreciation right or payments from a Share Appreciation Plan, any payment from the Deferred Delivery Plan or the
Executive Restricted Stock Plan, payments pursuant to grants made under the Omnibus Equity Compensation Plan of 2007 and payments pursuant to grants made under the Omnibus Equity Compensation Plan of 2011; and 

 

	 	(xiii)	any benefit accrued under, or any payment from, any nonqualified plan of deferred compensation. 

(c) Timing Rules. 
  

	 	(i)	Participant Deferrals. For purposes of calculating Participant Deferrals, Compensation includes only those amounts paid after the Employee has executed both his
initial payout election under Section 5.04 and his Enrollment Agreement under Section 3.01. Compensation does not include any amounts paid after the Participant ceased to be eligible to participate in the Plan. A Participant who begins
participating in the middle of a Plan Year cannot make Participant Deferrals from a bonus under paragraph (a)(iii) that is attributable to the Participant’s services during the Plan Year in which his participation begins. For example, a
Participant hired in September 2012 cannot make Participant Deferrals from the incentive compensation paid to him in February 2013 for the 2012 bonus year. 

 

	 	(ii)	Company Deferrals. The Company Deferrals for a Participant, including one who begins participating in the middle of a Plan Year, are calculated by taking into
account all Compensation paid to him during the entire Plan Year, including any incentive compensation paid during the Plan Year. 

  

	1.11	Employee 

“Employee” means any common-law employee of Apache or any Affiliated Entity. An Employee ceases to be an Employee on the date he
Separates from Service. 
  

	1.12	Enrollment Agreement 

 “Enrollment Agreement” means an agreement made by an eligible employee whereby he elects the amounts to be withheld from his Compensation pursuant to Section 3.01. 

  
 6 

	1.13	ERISA 

“ERISA” means the Employee Retirement Income Security Act of 1974, as amended. 

 

	1.14	Non-Qualified Retirement Savings Plan 

 “Non-Qualified Retirement Savings Plan” means the Non-Qualified Retirement Savings Plan of Apache Corporation, as amended. 

 

	1.15	Participant 

“Participant” means any eligible employee who has begun to participate in this Plan. 

 

	1.16	Participant Deferrals 

 “Participant Deferrals” means the amounts of a Participant’s Compensation that he elects to defer and have allocated to his Account pursuant to Section 3.01. 

 

	1.17	Payment Processing Date 

 “Payment Processing Date” means the date selected by the Committee on which payments from this Plan will be processed. Except in extraordinary circumstances, there will be at least one Payment
Processing Date each calendar month. 
  

	1.18	Plan 

“Plan” means the Apache Corporation Non-Qualified Restorative Retirement Savings Plan as set forth in this document, effective
as of January 1, 2012, as amended from time to time. 
  

	1.19	Plan Year 

“Plan Year” means the period during which the Plan records are kept. The Plan Year is the calendar year. 

 

	1.20	Retirement Plan 

“Retirement Plan” means the Apache Corporation Money Purchase Retirement Plan, as amended. 

 

	1.21	Savings Plan 

“Savings Plan” means Apache Corporation 401(k) Savings Plan, as amended. 

  
 7 

	1.22	Separation from Service and Separate from Service 

 “Separation from Service” has the same meaning as the term “separation from service” in Code Section 409A(a)(2)(A)(i), determined using the default rules in the regulations and
other guidance of general applicability issued pursuant to Code Section 409A, except that a Separation from Service occurs only if both the Company and the Participant expect the Participant’s level of services to permanently drop by more
than half. A Participant who has a Separation from Service “Separates from Service”. 
  

	1.23	Spouse 

“Spouse” means the individual of the opposite sex to whom a Participant is lawfully married according to the laws of the state
of the Participant’s domicile. 
  

	1.24	Trust 

“Trust” means the trust or trusts, if any, created by the Company to provide funding for the distribution of benefits in
accordance with the provisions of the Plan. The assets of any such Trust remain subject to the claims of the Company’s general creditors in the event of the Company’s insolvency. 

 

	1.25	Trust Agreement 

“Trust Agreement” means the written instrument pursuant to which each separate Trust, or a sub-trust thereunder, is created.

  

	1.26	Trustee 

“Trustee” means one or more banks, trust companies, or insurance companies designated by the Company to hold and invest the
Trust fund and to pay benefits and expenses as authorized by the Committee in accordance with the terms and provisions of the Trust Agreement. 

  
 8 

 ARTICLE II. 
 ELIGIBILITY AND PARTICIPATION 
  

	2.01	Eligibility and Participation 

 The Committee shall from time to time in its sole discretion select those Employees who are eligible to participate in the Plan for a Plan Year from those Employees who are among a select group of
management or highly compensated employees and who are not participants in the Non-Qualified Retirement Savings Plan for the given Plan Year. Participants in the Plan may not also participate in the Non-Qualified Retirement Savings Plan
within the same Plan Year. 
  

	2.02	Enrollment 

Employees who have been selected by the Committee to participate in the Plan shall complete the enrollment procedure specified by the
Committee. The enrollment procedure may include written or electronic form(s) for the employee to designate his beneficiary or beneficiaries, provide instructions regarding the investment of his Account, make Participant Deferrals by entering into
one or more Enrollment Agreements with the Company, select a payment option for the eventual distribution of his benefits, and provide such other information as the Committee may reasonably require. 

 

	2.03	Failure of Eligibility 

 The Committee has the authority to determine that a Participant is no longer eligible to participate in the Plan. No Company Deferrals will be accrued, nor any Participant Deferrals made after the
Participant ceases to be eligible to participate in the Plan. The determination of the Committee with respect to the termination of participation in the Plan will be final and binding on all parties affected thereby. Any benefits accrued under the
Plan at the time the Participant becomes ineligible to continue participation will be distributed in accordance with the provisions of Article V. 

  
 9 

 ARTICLE III. 
 CONTRIBUTION DEFERRALS 
  

	3.01	Participant Deferrals 

  

	 	(a)	General. A Participant may elect to defer a portion of his Compensation by submitting a completed Enrollment Agreement. Each Enrollment Agreement must specify
the percentage of his total Compensation that the Participant elects to defer. Participant Deferrals are deducted through payroll withholding from the Participant’s cash Compensation payable by the Company. 

 

	 	(b)	Maximum and Minimum Deferrals. A Participant may elect to defer up to 50% of his Compensation (other than a bonus described in Section 1.10(a)(iii)) and up
to 75% of a bonus described in Section 1.10(a)(iii), in whole percentages only. The minimum deferral that a Participant may elect, for both this Plan and the Savings Plan combined, is 8% of his total Compensation. For Plan Years commencing on
or after January 1, 2013, if the Participant does not elect the minimum deferral from a bonus described in Section 1.10(a)(iii) (in his June election during such Plan year), he cannot make any deferrals from his regular pay during the next
regular-pay deferral election (in December). 

  

	 	(c)	Deadlines for Enrollment Agreements. 

  

	 	(i)	Enrollment Period. In order to make Participant Deferrals, a Participant must submit an Enrollment Agreement during the enrollment period established by the
Committee. The enrollment period must precede the Plan Year in which the services giving rise to the Compensation are performed, except in the following situations. 

 

	 	(A)	Performance-Based Compensation. If the Compensation is “performance-based compensation based on services performed over a period of at least 12 months”
(within the meaning of Code Section 409A(a)(4)(B)(iii)), the enrollment period must end at least six months before the end of the performance period. 

  

	 	(B)	New Participant. The enrollment period for a new Participant must end no later than 30 days after he became eligible to participate in the Plan; the new
Participant’s initial Enrollment Agreement may only apply to Compensation for which he has not yet performed any services. 

  

	 	(ii)	Duration. The Enrollment Agreement shall apply to Compensation, or to a specific form of Compensation, paid during one entire Plan Year unless it is earlier
canceled or revised by the Committee pursuant to subsection (f), cancelled because the Participant ceases to be eligible to participate in the Plan, or cancelled pursuant to subsection (e) (relating to hardship withdrawals from the Savings
Plan). 

  
 10 

	 	(d)	Procedures for Making Elections. The Committee has complete discretion to establish procedures for the completion of Enrollment Agreements, including the
acceptable forms and formats of the deferral election (for example, written or electronic, as a whole percentage of Compensation, and the manner in which the Enrollment Agreement coordinates with the Savings Plan). The Committee has complete
discretion to establish the enrollment periods during which Participants may make Enrollment Agreements, within the bounds described in subsections (a) and (c). The Committee may establish different enrollment periods for different types of
Compensation or different groups of Participants. The Committee may specify any default choices that will apply unless the Participant affirmatively elects otherwise. For example, the Committee could decide that the failure to complete a new
Enrollment Agreement means that (i) the prior Plan Year’s Enrollment Agreement will be continued for another year, or (ii) no Participant Deferrals will be made, or (iii) the Participant will defer 8% of his Compensation.

  

	 	(e)	Cancellation of Enrollment Agreements Following a Hardship Withdrawal from Savings Plan. If the Participant receives a hardship withdrawal from the Savings Plan,
all outstanding Enrollment Agreements that apply or might apply to Compensation paid in the six months after the hardship withdrawal shall be cancelled. The Participant may subsequently enter into new Enrollment Agreements at the usual times under
subsection (c), but the new Enrollment Agreements cannot apply to any Compensation paid within the six-month period following the hardship withdrawal from the Savings Plan. 

 

	 	(f)	Committee-Initiated Changes in Enrollment Agreement. If the amounts to be withheld from a Participant’s paycheck (including, without limitation, loan
repayments, Participant Deferrals, taxes, contributions to the Savings Plan, and premium payments for various benefits) are greater than the paycheck, (i) the Committee shall establish the order in which the deductions are applied, with the
result that Participant Deferrals may be reduced below what the Participant had elected in an Enrollment Agreement, and (ii) the Committee’s procedures shall, if practicable, also automatically increase a Participant’s Participant
Deferrals in subsequent pay period(s) covered by that Enrollment Agreement to make up for any missed deferrals. 

  

	3.02	Company Deferrals 

  

	    	The Company shall credit to a Participant’s Account a matching contribution for the Plan Year and a 6% retirement contribution for the Plan Year. Company Deferrals
begin to share in the investment earnings (or losses) at the time specified in Section 4.01. The Company may credit matching contributions to a Participant’s Account during the Plan Year on a contingent basis; if the Participant does not
satisfy the requirements to receive a matching contribution for the Plan Year, or if the matching contribution credited to the Participant’s Account for the Plan Year is incorrect, the Participant will forfeit any excess matching contribution
(adjusted to reflect investment earnings or losses thereon) credited to his Account. 

  
 11 

	 	(a)	Matching Contribution. 

  

	 	(i)	Basic Match. The “total match” for the Plan Year is equal to the Participant’s “total deferrals” for the Plan Year, up to a maximum
total match for the Plan Year of 8% of the Participant’s Compensation for the Plan Year, except that the match in this Plan is $0 if the Participant has not made the maximum contributions to the Savings Plan that are excludable from his gross
income pursuant to Code Section 402(g). 

  

	 	(ii)	Definitions. 

  

	 	    	The “total match” for a Plan Year is equal to the matching contribution to the Participant’s Account in this Plan for the Plan Year plus the Company
Matching Contribution allocated to the Participant’s account in the Savings Plan for the Plan Year. 

  

	 	    	The “total deferrals” for a Plan Year are equal to the Participant Deferrals for the Plan Year plus the Before-Tax Contributions to the Savings Plan for the
Plan Year. 

  

	 	(iii)	Additional Match. If a Participant’s match in the Savings Plan is reduced to comply with any requirement of federal law (such as the ACP test of Code
Section 401(m) or the limits imposed by Code Sections 415 or 401(a)(17)) after the match for this Plan has been calculated, then the Participant’s match for this Plan will be increased by the amount of the reduction in the match in the
Savings Plan. 

  

	 	(b)	Retirement Contribution. In order to receive an allocation of the 6% retirement contribution to the Plan for a Plan Year, an employee must be eligible to
participate in the Plan on the last business day of the Plan Year. The retirement contribution is calculated each Plan Year after the Company Mandatory Contribution is calculated in the Retirement Plan for the Plan Year. The sum of the
Participant’s retirement contribution in this Plan and his Company Mandatory Contribution in the Retirement Plan is equal to 6% of the Participant’s Compensation for the Plan Year. If a Participant’s Company Mandatory Contribution in
the Retirement Plan is reduced to comply with any requirement of federal law after the retirement contribution for this Plan has been calculated, then the Participant’s retirement contribution for this Plan will be increased by the amount of
the reduction in the Company Mandatory Contribution in the Retirement Plan. 

  

	 	(c)	Additional Contribution. A Company may make an additional Company Deferral to any Participant’s Account at any time, provided that the Company advises the
Committee in writing of the contribution. 

  
 12 

 ARTICLE IV. 
 CREDITING OF ACCOUNTS 
  

	4.01	Accounts 

  

	 	(a)	Establishment of Accounts. The Committee shall establish one Account for each Participant, which will be subdivided into various subaccounts. The Accounts and
subaccounts are merely for recordkeeping purposes, and do not represent any actual property that has been set aside for Participants. Nothing contained in this Article may be construed to require the Company or the Committee to fund any
Participant’s Account. 

  

	 	(b)	Crediting of Contributions. Participant Deferrals are credited to a Participant’s Account as of the date that the Participant Deferral would have been paid
to the Participant had there been no Enrollment Agreement. Company Deferrals are credited to a Participant’s Account as of the date that the Company Deferral was earned by the Participant. 

 

	 	(c)	Crediting of Earnings. Each Account is credited with investment earnings or losses calculated in accordance with Section 4.02. Participant Deferrals and
Company Deferrals start to be credited with investment earnings or losses as soon as administratively convenient after such amounts are credited to Accounts, except that the 6% retirement contribution under Section 3.02(b) is not credited with
investment earnings or losses until the corresponding Company Mandatory Contribution to the Retirement Plan is actually paid to the Retirement Plan (usually in late February). 

 

	4.02	Investments 

  

	 	(a)	Investment Options. All amounts credited to a Participant’s Account are credited with investment earnings or losses as if the Participant’s Account was
invested in one or more investments. The Committee shall designate the default investment as well as any alternatives, and may change the available alternatives or the default investment from time to time. One or more of the investment alternatives
may consist, in whole or in part, of Apache common stock. At such times and under such procedures as the Committee may designate, a Participant may determine the portion of his Account that is to be deemed invested in each alternative. The
Participant may make prospective changes for his investment selection as often as the Committee permits and subject to the procedures established by the Committee. A Participant may never make any retroactive changes to his investment selections.

  
 13 

	 	(b)	No Ownership Rights. A Participant has no ownership rights with respect to any investment of his Account. Nothing contained in this Article may be construed to
give any Participant any power or control to make investment directions or otherwise influence in any manner the investment and reinvestment of assets contained within any investment alternative, such control being at all times retained in the full
discretion of the Committee. As a consequence, for example, if a Participant has elected to invest a portion of his Account in Apache stock, the Participant has no voting rights with respect to that stock. 

  
 14 

 ARTICLE V. 
 DISTRIBUTIONS 
  

	5.01	Vesting and Forfeitures 

  

	 	(a)	Participant Deferrals. A Participant is fully vested in the portion of his Account that is attributable to his Participant Deferrals. 

 

	 	(b)	Company Deferrals, General Rule. A Participant’s years of completed service in this Plan are identical to his “Period of Service” in the Savings
Plan. A Participant will vest in the portion of his Plan Account that is attributable to Company Deferrals according to the following schedule, unless subsection (c) provides for faster vesting: 

 

					
	Years of Completed Service	  	Vested Portion	 
	 Less than 1
	  	 	0	% 
	 1
	  	 	20	% 
	 2
	  	 	40	% 
	 3
	  	 	60	% 
	 4
	  	 	80	% 
	 5 or more
	  	 	100	% 

  

	 	(c)	Company Deferrals, Accelerated Vesting. A Participant is fully vested in the portion of his Plan Account that is attributable to Company Deferrals in the
following circumstances. 

  

	 	(i)	The Participant is fully vested if he attains age 65 while he is an Employee. 

 

	 	(ii)	The Participant is fully vested if he becomes an Employee after attaining age 65. 

 

	 	(iii)	The Participant is fully vested if, while he is an Employee, he incurs a disability that qualifies the Employee for long-term disability payments under Apache’s
Long-Term Disability Plan. 

  

	 	(iv)	The Participant is fully vested if he dies while he is an Employee. 

  

	 	(v)	All Participants are fully vested if a change of control, as defined in the Income Continuance Plan, occurs. 

 

	 	(d)	Forfeiture Timing. The portion of a Participant’s Account that is not vested is forfeited immediately upon his Separation from Service.

  
 15 

	5.02	Rehires 

  

	 	(a)	Distributions. If a Participant Separated from Service and subsequently becomes eligible to participate in the Plan again, the benefits from his earlier episode
of participation will be paid out as originally scheduled; the new participation will not affect the timing of any benefit payments from his earlier episode of participation. 

 

	 	(b)	Vesting. If a Participant becomes eligible to again make Participant Deferrals more than five years after Separating from Service, (i) the Plan will
establish a new Account for the benefits he accrues during his second episode of participation; (ii) his years of completed service for his new Account will include only his service from his second episode; and (iii) his new service will
not increase the vesting of any benefits from his first episode of participation. If a Participant becomes eligible to again make Participant Deferrals less than five years after Separating from Service, the Participant’s years of completed
service for his benefits from his second episode of participation will include his service from both episodes of employment. 

  

	 	(c)	Restoration of Forfeiture. If a Participant begins to participate in the Plan again within five years after his Separation from Service, the exact amount of any
forfeiture upon his earlier Separation from Service will be restored to his Account, and will be credited to a separate subaccount. The restoration will occur on the 31st day after the Participant again begins participating in the Plan, but only if
the Participant is still eligible to participate in the Plan on that date. The restored subaccount vests based on his service from both episodes of employment (and thus will almost always be partially vested immediately when the Participant again
starts to participate). The vested portion of the restored subaccount will be paid to the Participant as the Participant elects in Section 5.04(a) for the payment of his new Account attributable to Company Deferrals, unless Section 5.05 or
5.06 require faster payment following the Participant’s death or a Change of Control. 

  

	5.03	Distribution Overview 

  

	 	(a)	General. In general, payment will commence on the Payment Processing Date following the earliest of the following dates, or as soon thereafter as is
administratively convenient: 

  

	 	(i)	Six months after the Participant Separates from Service. See Section 5.04. 

 

	 	(ii)	The date the Participant dies. See Section 5.05. 

  

	 	(b)	In-Service Withdrawals. In-Service withdrawals shall not be permitted under the Plan, including Participant loans or hardship withdrawals.

  

	 	(c)	Divorce. Some or all of a Participant’s benefits in this Plan may be allocated to, and distributed to, his former Spouse, pursuant to Section 5.07.

  

	 	(d)	Change of Control. Special timing rules may apply for distributions upon a Participant’s Separation from Service within the 12-month period following a
Change of Control. See Section 5.06. 

  
 16 

	5.04	Distributions after Separation from Service 

  

	 	(a)	Distribution of Participant and Company Deferrals. 

  

	 	(i)	Initial Election. Upon becoming a Participant, an Employee shall make a payout election to have his vested Account paid out in a single payment or in two to ten
annual installments. To be effective, the Participant’s payout election must be provided to the Plan within 30 days after the date the Participant became a Participant or by such earlier date established by the Committee. The single payment or
the first installment payment will be paid on the first Payment Processing Date that occurs six months or more after the Participant’s Separation from Service. Subsequent installments will be paid each 12 months thereafter.

  

	 	(ii)	Minimum Account Balance for Installments. See Section 5.04(b) for the situations when a Participant will be paid a lump sum in spite of having elected
installments. 

  

	 	(b)	Calculating Installment Payments. If the value of the Participant’s Account is less than $50,000 six months after the Participant’s Separation from
Service, the Participant will be paid a lump sum of his Account on the first Payment Processing Date that occurs six months or more after his Separation from Service. If the preceding sentence does not apply, each installment, will be equal to the
vested Account measured as short a period of time before the installment is paid as is administratively convenient, divided by the number of remaining annual installments. 

 

	 	(c)	Additional Rules for Payout Elections. The Committee has complete discretion to establish procedures for the completion of payout elections, including the
acceptable forms and formats of the payout election. The Committee has complete discretion to establish deadlines for the completion of payout elections, within the bounds described in this section. The Committee may establish default choices in the
absence of an affirmative Participant election. 

  

	 	(d)	Coordination with Other Distribution Sections. 

  

	 	(i)	Change of Control. Section 5.06 will apply to determine the timing and form and amount of certain payments made on or after a Change of Control.

  

	 	(ii)	Death. Section 5.05 will apply to determine the timing and form and amount of all payments made after the Participant dies. 

 

	 	(iii)	Divorce. Some or all of a Participant’s benefits in this Plan may be allocated to, and distributed to, his former Spouse, pursuant to Section 5.07.

  
 17 

	5.05	Payments after a Participant Dies 

  

	 	(a)	Payout. When a Participant dies, his remaining vested Account balance will be distributed to each of his Beneficiaries on the Payment Processing Date in the
fourth month following the Participant’s death, provided that the Beneficiary has completed the tax-withholding forms and supplied such other information as the Committee may reasonably require. For example, if the Participant dies in November,
the Beneficiary will be paid in March. This four-month delay should give the Beneficiary adequate time to decide whether to disclaim all or any part of his interest under subsection (d)). Each Beneficiary will receive a single payment.

  

	 	(b)	Beneficiary Designation. Each Participant shall designate one or more persons, trusts, or other entities as his Beneficiary to receive any amounts distributable
hereunder at the time of the Participant’s death. In the absence of an effective beneficiary designation as to part or all of a Participant’s interest in the Plan, such amount will be distributed to the Participant’s surviving Spouse,
if any, otherwise to the personal representative of the Participant’s estate. 

  

	 	(c)	Special Rules for Spouses. A beneficiary designation may be changed by the Participant at any time and without the consent of any previously designated
Beneficiary. However, if the Participant is married, his Spouse will be his Beneficiary unless such Spouse has consented to the designation of a different Beneficiary. To be effective, the Spouse’s consent must be in writing, witnessed by a
notary public, and filed with the Committee. If the Participant has designated his Spouse as a primary or contingent Beneficiary, and the Participant and Spouse later divorce (or their marriage is annulled), then the former Spouse will be treated as
having pre-deceased the Participant for purposes of interpreting a beneficiary designation that was completed prior to the divorce or annulment; this provision will apply only if the Committee is informed of the divorce or annulment before payment
to the former Spouse is authorized. 

  

	 	(d)	Disclaiming. Any individual or legal entity who is a beneficiary may disclaim all or any portion of his interest in the Plan, provided that the disclaimer
satisfies the requirements of Code Section 2518(b) and applicable state law. The legal guardian of a minor or legally incompetent person may disclaim for such person. The personal representative (or the individual or legal entity acting in the
capacity of the personal representative according to applicable state law) may disclaim on behalf of a beneficiary who has died. The amount disclaimed will be distributed as if the disclaimant had predeceased the individual whose death caused the
disclaimant to become a beneficiary. 

  
 18 

	5.06	Change of Control 

  

	 	(a)	Former Employees. 

  

	 	(i)	Separated More than Six Months. Each Participant who Separated from Service more than six months before the date of a Change of Control, including those already
receiving installment payments, will be paid a single payment of his entire remaining vested Account balance on the date of a Change of Control or as soon thereafter as is administratively practicable. 

 

	 	(ii)	Recent Separations. Each Participant who Separated from Service within six months before the date of the Change of Control will be paid his normally scheduled
payments for the first six months after he Separated from Service and the remainder of his vested Account balance will be paid to him six months after his Separation from Service or as soon thereafter as is administratively practicable.

  

	 	(b)	Current Employees. Each Participant who is an Employee on the date of a Change of Control, and who Separates from Service before the first anniversary of the
Change of Control, will be paid a single payment of his entire vested Account balance as soon as administratively practicable after the Separation from Service; however, if the Participant is a “specified employee,” (A) his normally
scheduled payments for the first six months after he Separated from Service will be paid as scheduled and (B) the remainder of his vested Account balance will be paid as soon as administratively practicable six months after the Separation from
Service. As used in this section, the term “specified employee” has the same meaning as in Code Section 409A(a)(2)(B)(i) and is determined using the default rules contained in the regulations and other guidance of general
applicability issued pursuant to Code Section 409A. Except as provided in paragraph (ii), each Participant who does not Separate from Service within one year of a Change of Control will be paid his benefits pursuant to Section 5.04, 5.05,
or 5.07. 

  

	5.07	Divorce 

  

	 	(a)	General. If a Participant has divorced his Spouse, all or a portion of his Account may be allocated to his former Spouse. The Participant may be a former or
current employee of the Company. 

  

	 	(b)	 Contents of Order. The allocation will occur as soon as practicable after the Plan receives a judgment, decree, or order (collectively, an
“order”) that (i) is made pursuant to a state domestic relations law or community property law, (ii) relates to the marital property rights of the former Spouse, (iii) unambiguously specifies the amount or percentage of the
Participant’s Account that is to be allocated to the former Spouse, or unambiguously specifies the manner in which the amount or percentage is to be calculated, (iv) does not allocate any benefits that have already been allocated to a
different former Spouse, (v) contains the name and last known 

  
 19 

	 	
mailing address of the Participant and the former Spouse, (vi) the name of the Plan, (vii) does not contain any provision that violates subsections (c), (d), or (e), and
(viii) contains the former Spouse’s Social Security number (or other similar taxpayer identification number) unless such number has been provided by the former Spouse to the Plan in a manner acceptable to the Committee.

  

	 	(c)	Payout Provisions. The vested portion of the amount allocated to the former Spouse will be paid to the former Spouse in a single payment on the first Payment
Processing Date that is administratively practicable after (i) the Plan has determined that the order meets the requirements of subsection (b), (ii) the Plan has communicated its interpretation of the order to the Participant and former
Spouse, and given them a reasonable amount of time (such as 30 days) to object to the Plan’s interpretation, (and if there is a timely objection, the parties must submit a revised order or withdraw their objections), and (iii) the parties
agree to the Plan’s interpretation of the order. 

  

	 	(d)	Not Fully Vested. If the former Spouse is allocated any unvested amounts, the Plan will establish a separate account for the former Spouse and she may direct the
Plan as to how those amounts will be deemed to be invested, in the same manner as a Participant directs the Plan in Article IV. Unvested amounts are forfeited at the same time as the Participant’s unvested amounts are forfeited. If an amount
allocated to the former Spouse subsequently become vested, the newly-vested amount will be paid to the former Spouse in a single payment on the first Payment Processing Date that is administratively practicable following the additional vesting. If
the former Spouse dies before award is fully vested, she shall forfeit her remaining Account balance, and that exact amount shall be returned to the Participant’s subaccount containing Company Deferrals. 

 

	 	(e)	Source of Funds. If a Participant is not fully vested in his Account when the allocation to the former Spouse occurs, the amount allocated to the former Spouse
will be taken on a pro-rata basis from each of the Participant’s subaccounts. 

  

	5.08	Administrative Delays 

 The Committee may delay any payment from this Plan for as short a period as is administratively necessary. For example, a delay may be imposed upon all payments when there is a change of recordkeeper or
trustee, and a delay may be imposed on payments to any recipient until the recipient has provided (a) the information needed to determine the appropriate tax withholding and tax reporting and (b)any other information reasonably requested by the
Committee. 
  

	5.09	Noncompliance with Code Section 409A 

 To the extent that the Company or the Committee takes any action that causes a violation of Code Section 409A or fails to take any reasonable action required to comply with Code Section 409A,
Apache shall pay an additional amount (the “gross-up”) to the individual(s) who are subject to the penalty tax under Code Section 409A(a)(1); the 

  
 20 

 
gross-up will be sufficient to put the individual in the same after-tax position he would have been in had there been no violation of Code Section 409A. The Company shall not pay a gross-up
if the cause of the violation of Code Section 409A is due to the recipient’s action or due to the recipient’s failure to take reasonable actions (such as failing to timely provide the information required for tax withholding or
failing to timely provide other information reasonably requested by the Committee — with the result that the delay in payment violates Code Section 409A). Any gross-up will be paid as soon as administratively convenient after the Committee
determines the gross-up is owed, and no later than the end of the calendar year immediately following the calendar year in which the additional taxes are remitted. However, if the gross-up is due to a tax audit or litigation addressing the existence
or amount of a tax liability, the gross-up will be paid as soon as administratively convenient after the litigation or audit is completed, and no later than the end of the calendar year following the calendar year in which the audit is completed or
there is a final and non-appealable settlement or other resolution of the litigation. 
  

	5.10	Cash Payment and Withholding 

 All payments from the Plan will be made in cash. The Plan will withhold any taxes or other amounts that it is required to withhold pursuant to any applicable law. 

  
 21 

 ARTICLE VI. 
 ADMINISTRATION 
  

	6.01	The Committee — Plan Administrator 

  

	 	(a)	Current. As of January 1, 2012, the Committee is comprised of the members of the Retirement Plan Advisory Committee. 

 

	 	(b)	Before a Change of Control. Before a “Change of Control, as defined in the Income Continuance Plan, the board of directors of Apache shall appoint an
administrative Committee consisting of no fewer than three individuals who may be, but need not be, Participants, officers, directors, or employees of the Company. Apache’s board of directors may remove Committee members at will. In the absence
of any Committee members, Apache shall become the sole Committee member. 

  

	 	(c)	After a Change of Control. This subsection applies on and after the date of a “Change of Control”, as defined in the Income Continuance Plan. The only
individuals who are able to serve on the Committee after the date of such Change of Control are those who are not then employed by Apache, its successor, or any related legal entities. No Committee members may be added on or after the day of such
Change of Control, except that, if the Committee is comprised solely of individuals, (i) the Committee may appoint a legal entity as a Committee member, and (ii) if the number of Committee members drops below three, the remaining member(s)
may not resign until having appointed a legal entity or another individual as a Committee member. If all Committee members leave the Committee (if, for example, all Committee members die before the last one appoints a new Committee member or if the
sole Committee member is a legal entity that goes out of business), the Committee shall automatically consist of the three Participants with the largest Accounts who are not then employed by Apache, its successor, or any related legal entities.

  

	 	(d)	Plan Administrator. The Committee is the Plan’s “administrator” within the meaning of ERISA Section 3(16)(A). The sole named fiduciaries of
the Plan are the Committee and any Trustees. 

  

	6.02	Committee Duties 

The Committee shall administer the Plan and shall have all discretion and powers necessary for that purpose, including, but not by way of
limitation, full discretion and power to interpret the Plan, to determine the eligibility, status, and rights of all persons under the Plan and, in general, to decide any dispute and all questions arising in connection with the Plan. The Committee
shall direct the Company, the Trustee, or both, as the case may be, concerning distributions in accordance with the provisions of the Plan. The Committee shall maintain all Plan records except records of any Trust. The Committee shall publish, file,
or disclose — or cause to be published, filed, or disclosed — all reports and disclosures required by federal or state laws. The Committee may authorize one or more of its members or agents to sign instructions, notices, and determinations
on its behalf. 

  
 22 

	6.03	Organization of Committee 

 The Committee shall adopt such rules as it deems desirable for the conduct of its affairs and for the administration of the Plan. It may appoint agents (who need not be members of the Committee) to whom
it may delegate such powers as it deems appropriate, except that any dispute shall be determined by the Committee. The Committee may make its determinations with or without meetings. It may authorize one or more of its members or agents to sign
instructions, notices, and determinations on its behalf. If a Committee decision or action affects a relatively small percentage of Plan Participants including a Committee member, such Committee member will not participate in the Committee decision
or action. The action of a majority of the disinterested Committee members constitutes the action of the Committee. 
  

	6.04	Indemnification 

The Committee and all of the agents and representatives of the Committee shall be indemnified and saved harmless by the Company against
any claims, and the expenses of defending against such claims, resulting from any action or conduct relating to the administration of the Plan, except claims judicially determined to be attributable to gross negligence or willful misconduct.

  

	6.05	Agent for Process 

Apache’s Executive Vice President and General Counsel shall be the agent of the Plan for service of all process on the Plan.

  

	6.06	Determination of Committee Final 

 The decisions made by the Committee are final and conclusive on all persons. 
  

	6.07	No Bonding 

Neither the Committee nor any committee member is required to give any bond or other security in any jurisdiction in connection with the
administration of the Plan, unless Apache determines otherwise or any applicable federal or state law so requires. 

  
 23 

 ARTICLE VII. 
 TRUST 
  

	7.01	Trust Agreement 

The Company may, but is not required to, adopt one or more Trust Agreements for the holding, investment, and administration of funds for
Plan benefits. The Trustee may maintain and allocate assets to a separate account for each Participant under the Plan. The assets of any Trust remain subject to the claims of the Company’s general creditors in the event of the Company’s
insolvency. 
  

	7.02	Expenses of Trust 

The parties expect that any Trust created pursuant to Section 7.01 will be treated as a “grantor” trust for federal and
state income tax purposes and that, as a consequence, the Company will recognize taxable income from the Trust assets, but the Trust itself will not separately be subject to income tax with respect to its income. However, if the Trust should be
separately taxable, the Trustee will pay all such taxes out of the Trust. All expenses of administering any Trust, if not paid by the Company, will be a charge against and will be paid from the assets of the Trust. 

  
 24 

 ARTICLE VIII. 
 AMENDMENT AND TERMINATION 
  

	8.01	Termination of Plan 

Apache expects to continue the Plan indefinitely, but each Company may terminate its participation in the Plan at any time with
Apache’s permission, and Apache may terminate the entire Plan at any time. 
  

	8.02	Amendment 

  

	 	(a)	Before a Change of Control. Before a “Change of Control”, as defined in the Income Continuance Plan, Apache may amend the Plan at any time and from
time to time, retroactively or otherwise, on behalf of all Companies, but no amendment may reduce any vested benefit that has accrued on the later of (a) the effective date of the amendment, or (b) the date the amendment is adopted.

  

	 	(b)	After a Change of Control. The Plan may be amended after a “Change of Control”, as defined in the Income Continuance Plan, (i) at any time but
only to the extent necessary to alleviate a material adverse tax consequence to one or more Participants, former Spouses, or Beneficiaries, and (ii) at any time after the second anniversary of such Change of Control, but only with respect to
the benefits of Participants who are then employed by Apache, its successor, or any related entity. 

  

	 	(c)	Procedure. Each amendment must be in writing. Each amendment must be approved by the board of directors of Apache or its successor, or by an officer of Apache or
its successor who is authorized by its board of directors to amend the Plan. Each amendment must be executed by an officer of Apache or its successor who is authorized to execute the amendment. 

  
 25 

 ARTICLE IX. 
 MISCELLANEOUS 
  

	9.01	Funding of Benefits — No Fiduciary Relationship 

 All benefits payable under the Plan will be paid either from the Trust or by the Company out of its general assets. Nothing contained in the Plan may be deemed to create any fiduciary relationship between
the Company and the Participants. Notwithstanding anything herein to the contrary, to the extent that any person acquires a right to receive benefits under the Plan, such right will be no greater than the right of any unsecured general creditor of
the Company, except to the extent provided in the Trust Agreement, if any. 
  

	9.02	Right to Terminate Employment 

 The Company may terminate the employment of any Participant as freely and with the same effect as if the Plan were not in existence. 

 

	9.03	Inalienability of Benefits 

 Except for disclaimers under Section 5.05(d) and payments to a former Spouse pursuant to Section 5.07, no Participant or Beneficiary has the right to assign, alienate, pledge, transfer,
hypothecate, encumber, or anticipate his interest in any benefits under the Plan, nor are the benefits subject to garnishment by any creditor, nor may the benefits under the Plan be levied upon or attached. The preceding sentence does not apply to
the enforcement of a federal tax levy made pursuant to Code Section 6331, the collection by the United States on a judgment resulting from an unpaid tax assessment, or any debt or obligation that is permitted to be collected from the Plan under
federal law (such as the Federal Debt Collection Procedures Act of 1977). 
  

	9.04	Claims Procedure 

  

	 	(a)	General. Each claim for benefits will be processed in accordance with the procedures established by the Committee. The procedures will comply with the guidelines
specified in this Section. The Committee may delegate its duties under this Section. 

  

	 	(b)	Representatives. A claimant may appoint a representative to act on his behalf. The Plan will only recognize a representative if the Plan has received a written
authorization signed by the claimant and on a form prescribed by the Committee, with the following exceptions. The Plan will recognize a claimant’s legal representative, once the Plan is provided with documentation of such representation. If
the claimant is a minor child, the Plan will recognize the claimant’s parent or guardian as the claimant’s representative. Once an authorized representative is appointed, the Plan will direct all information and notification regarding the
claim to the authorized representative and the claimant will be copied on all notifications regarding decisions, unless the claimant provides specific written direction otherwise. 

  
 26 

	 	(c)	Extension of Deadlines. The claimant may agree to an extension of any deadline that is mentioned in this Section that applies to the Plan. The Committee or the
relevant decision-maker may agree to an extension of any deadline that is mentioned in this Section that applies to the claimant. 

  

	 	(d)	Fees. The Plan may not charge any fees to a claimant for utilizing the claims process described in this Section. 

 

	 	(e)	Filing a Claim. A claim is made when the claimant files a claim in accordance with the procedures specified by the Committee. Any communication regarding
benefits that is not made in accordance with the Plan’s procedures will not be treated as a claim. 

  

	 	(f)	Initial Claims Decision. The Plan will decide a claim within a reasonable time up to 90 days after receiving the claim. The Plan will have a 90-day extension,
but only if the Plan is unable to decide within 90 days for reasons beyond its control, the Plan notifies the claimant of the special circumstances requiring the need for the extension by the 90th day after receiving the claim, and the Plan notifies
the claimant of the date by which the Plan expects to make a decision. 

  

	 	(g)	Notification of Initial Decision. The Plan will provide the claimant with written notification of the Plan’s full or partial denial of a claim, reduction of
a previously approved benefit, or termination of a benefit. The notification will include a statement of the reason(s) for the decision; references to the plan provision(s) on which the decision was based; a description of any additional material or
information necessary to perfect the claim and why such information is needed; a description of the procedures and deadlines for appeal; a description of the right to obtain information about the appeal procedures; and a statement of the
claimant’s right to sue. 

  

	 	(h)	Appeal. The claimant may appeal any adverse or partially adverse decision. To appeal, the claimant must follow the procedures specified by the Committee. The
appeal must be filed within 60 days of the date the claimant received notice of the initial decision. If the appeal is not timely and properly filed, the initial decision will be the final decision of the Plan. The claimant may submit documents,
written comments, and other information in support of the appeal. The claimant will be given reasonable access at no charge to, and copies of, all documents, records, and other relevant information. 

  
 27 

	 	(i)	Appellate Decision. The Plan will decide the appeal of a claim within a reasonable time of no more than 60 days from the date the Plan receives the
claimant’s appeal. The 60-day deadline will be extended by an additional 60 days, but only if the Committee determines that special circumstances require an extension, the Plan notifies the claimant of the special circumstances requiring the
need for the extension by the 60th day after receiving the appeal, and the Plan notifies the claimant of the date by which the Plan expects to make a decision. If an appeal is missing any information from the claimant that is needed to decide the
appeal, the Plan will notify the claimant of the missing information and grant the claimant a reasonable period to provide the missing information. If the missing information is not timely provided, the Plan will deny the claim. If the missing
information is timely provided, the 60-day deadline (or 120-day deadline with the extension) for the Plan to make its decision will be increased by the length of time between the date the Plan requested the missing information and the date the Plan
received it. 

  

	 	(j)	Notification of Decision. The Plan will provide the claimant with written notification of the Plan’s appellate decision (positive or adverse). The
notification of any adverse or partially adverse decision must include a statement of the reason(s) for the decision; reference to the plan provision(s) on which the decision was based; a description of the procedures and deadlines for a second
appeal, if any; a description of the right to obtain information about the second-appeal procedures; a statement of the claimant’s right to sue; and a statement that the claimant is entitled to receive, free of charge and upon request,
reasonable access to and copies of all documents, records, and other information relevant to the claim. 

  

	 	(k)	Limitations on Bringing Actions in Court. Once an appellate decision that is adverse or partially adverse to the claimant has been made, the claimant may file
suit in court only if he does so by the earlier of the following dates: (i) the one-year anniversary of the date of an appellate decision made on or before a Change of Control or the three-year anniversary of the date of an appellate decision
made after a Change of Control, or (ii) the date on which the statute of limitations for such claim expires. 

  

	9.05	Disposition of Unclaimed Distributions 

 It is the affirmative duty of each Participant to inform the Plan of, and to keep on file with the Plan, his current mailing address and the mailing address of any beneficiaries. If a Participant fails to
inform the Plan of these current mailing addresses, neither the Plan nor the Company is responsible for any late payment of benefits or loss of benefits. The Plan, the Committee, and the Company have no duty to search for a missing individual until
the date of a Change of Control, at which point the Company has the duty to undertake reasonable measures to search for the proper recipient of any payment under the Plan that is scheduled to be paid on or after the date of the Change of Control. If
the missing individual is not found within a year after a payment should have been made to him, all his benefits will be forfeited. If the missing individual later is found, the exact amount forfeited will be restored to his Account as soon as
administratively convenient, without any adjustment for forgone investment earnings or losses. 

  
 28 

	9.06	Distributions due Infants or Incompetents 

 If any person entitled to a distribution under the Plan is an infant, or if the Committee determines that any such person is incompetent by reason of physical or mental disability, whether or not legally
adjudicated an incompetent, the Committee has the power to cause the distributions becoming due to such person to be made to another for his benefit, without responsibility of the Committee to see to the application of such distributions.
Distributions made pursuant to such power will operate as a complete discharge of the Company, the Trustee, the Plan, and the Committee. 
  

	9.07	Use and Form of Words 

 When any words are used herein in the masculine gender, they are to be construed as though they were also used in the feminine gender in all cases where they would so apply, and vice versa. Whenever any
words are used herein in the singular form, they are to be construed as though they were also used in the plural form in all cases where they would so apply, and vice versa. 

 

	9.08	Headings 

 Headings
of Articles and Sections are inserted solely for convenience and reference, and constitute no part of the Plan. 
  

	9.09	Governing Law 

 The
Plan shall be construed in accordance with ERISA, the Code, and, to the extent applicable, the laws of the State of Texas excluding any conflicts-of-law provisions. 

  
 29 

 IN WITNESS WHEREOF, the Company has caused this duly adopted Plan to be executed below by
its duly authorized officer or representative to be effective as of January 1, 2012. 
 APACHE
CORPORATION 
 By: /s/ Margery M. Harris 

Name: Margery M. Harris 
 Its: Senior Vice President – Human Resources 
 Date:
November 7, 2011 

  
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