Document:

Supplemental Indenture

 Exhibit 4.5 
 WHEN RECORDED MAIL TO: 
 Ameren Illinois Company 

Craig W. Stensland 
 One Ameren Plaza (MC 1310)

 1901 Chouteau Avenue 
 St. Louis, MO
63103 
 AMEREN ILLINOIS COMPANY 
 (SUCCESSOR TO ILLINOIS POWER COMPANY) 
 TO 

THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A. 
 AS SUCCESSOR TRUSTEE TO 
 HARRIS TRUST AND SAVINGS BANK 

 
  

SUPPLEMENTAL INDENTURE 
 DATED AS OF AUGUST 1, 2012 
 TO 

GENERAL MORTGAGE INDENTURE AND DEED OF TRUST 
 DATED AS OF NOVEMBER 1, 1992 
  

 
 This instrument was prepared by Gregory L. Nelson,
Esq., Senior Vice President, General Counsel and Secretary of Ameren Illinois Company c/o Ameren Corporation, One Ameren Plaza, 1901 Chouteau Avenue, St. Louis, Missouri 63103. 

 
  

 SUPPLEMENTAL INDENTURE dated as of August 1, 2012 (this “Supplemental
Indenture”), made by and between AMEREN ILLINOIS COMPANY (formerly named Central Illinois Public Service Company (“CIPS”) and successor to Illinois Power Company (“IP”) pursuant to the Merger, as defined
below), a corporation organized and existing under the laws of the State of Illinois (hereinafter sometimes called the “Company”), party of the first part, and THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A., a national banking
association organized and existing under the laws of the United States, as successor trustee to Harris Trust and Savings Bank, as Trustee (the “Trustee”) under the General Mortgage Indenture and Deed of Trust dated as of
November 1, 1992, hereinafter mentioned, party of the second part; 
 WHEREAS, the Company has heretofore executed
and delivered its General Mortgage Indenture and Deed of Trust dated as of November 1, 1992 as from time to time amended and supplemented (the “Indenture”), to the Trustee, for the security of the Bonds issued and to be issued
thereunder (the “Bonds”); and 
 WHEREAS, as of 12:01 a.m. Central Time (the “Effective
Time”) on October 1, 2010, pursuant to the Agreement and Plan of Merger dated as of April 13, 2010 among CIPS, IP and Central Illinois Light Company (“CILCO”), IP and CILCO were merged with and into the Company
(the “Merger”) whereby the Company is the surviving corporation; and 
 WHEREAS, pursuant to Sections
13.01 and 14.01(a) of the Indenture, the Company and the Trustee executed the Supplemental Indenture dated as of October 1, 2010 whereby, among other things, the Company (a) assumed the due and punctual payment of the principal of and
premium, if any, and interest, if any, on all of the Bonds then Outstanding and the performance and observance of every covenant and condition of the Indenture to be performed or observed by IP and (b) subjected to the Lien of the Indenture all
equipment and fixtures (other than Excepted Property, which is expressly excepted and excluded from the Lien of the Indenture) that were owned by CIPS immediately prior to the Effective Time and were of the same kind and character as the Mortgaged
Property immediately prior to the Effective Time; and 
 WHEREAS, pursuant to Sections 13.02 and 14.01(a)(i) of the
Indenture, the Company has succeeded to, and has been substituted for, and may exercise every right and power of, IP under the Indenture with the same effect as if the Company had been named the “Company” in the Indenture; and 

WHEREAS, pursuant to Section 14.01(a) of the Indenture, the Company and the Trustee executed 59 Supplemental Indentures dated
as of January 15, 2011 subjecting to the Lien of the Indenture certain real property that was owned by CIPS immediately prior to the Merger; and 
 WHEREAS, pursuant to the terms and provisions of the Indenture there were created and authorized by supplemental indentures thereto bearing the following dates, respectively, the Mortgage Bonds of
the series issued thereunder and respectively identified opposite such dates: 
  

					
	 DATE OF

SUPPLEMENTAL
 INDENTURE
	  	 IDENTIFICATION OF SERIES
	  	 CALLED

	February 15, 1993	  	8% Series due 2023 (redeemed)	  	Bonds of the 2023 Series
			
	March 15, 1993	  	6 1/8% Series due 2000 (paid at maturity)	  	Bonds of the 2000 Series
			
	March 15, 1993	  	6 3/4% Series due 2005 (paid at maturity)	  	Bonds of the 2005 Series
			
	July 15, 1993	  	7 1/2% Series due 2025 (redeemed)	  	Bonds of the 2025 Series
			
	August 1, 1993	  	6 1/2% Series due 2003 (paid at maturity)	  	Bonds of the 2003 Series
			
	October 15, 1993	  	5 5/8% Series due 2000 (paid at maturity)	  	Bonds of the Second 2000 Series

					
	 DATE OF

SUPPLEMENTAL
 INDENTURE
	  	 IDENTIFICATION OF SERIES
	  	 CALLED

	November 1, 1993	  	Pollution Control Series M (redeemed)	  	Bonds of the Pollution Control Series M
			
	November 1, 1993	  	Pollution Control Series N (redeemed)	  	Bonds of the Pollution Control Series N
			
	November 1, 1993	  	Pollution Control Series O (redeemed)	  	Bonds of the Pollution Control Series O
			
	April 1, 1997	  	Pollution Control Series P (retired)	  	Bonds of the Pollution Control Series P
			
	April 1, 1997	  	Pollution Control Series Q (retired)	  	Bonds of the Pollution Control Series Q
			
	April 1, 1997	  	Pollution Control Series R (retired)	  	Bonds of the Pollution Control Series R
			
	March 1, 1998	  	Pollution Control Series S	  	Bonds of the Pollution Control Series S
			
	March 1, 1998	  	Pollution Control Series T	  	Bonds of the Pollution Control Series T
			
	July 15, 1998	  	6 1/4% Series due 2002 (paid at maturity)	  	Bonds of the 2002 Series
			
	September 15, 1998	  	6% Series due 2003 (paid at maturity)	  	Bonds of the Second 2003 Series
			
	June 15, 1999	  	7.50% Series due 2009 (paid at maturity)	  	Bonds of the 2009 Series
			
	July 15, 1999	  	Pollution Control Series U	  	Bonds of the Pollution Control Series U
			
	July 15, 1999	  	Pollution Control Series V (redeemed)	  	Bonds of the Pollution Control Series V
			
	May 1, 2001	  	Pollution Control Series W (retired)	  	Bonds of the Pollution Control Series W
			
	May 1, 2001	  	Pollution Control Series X (retired)	  	Bonds of the Pollution Control Series X
			
	July 1, 2002	  	10 5/8% Series due 2007 (not issued)	  	Bonds of the 2007 Series
			
	July 1, 2002	  	10 5/8% Series due 2012 (not issued)	  	Bonds of the 2012 Series
			
	December 15, 2002	  	11.50% Series due 2010 (redeemed)	  	Bonds of the 2010 Series
			
	June 1, 2006	  	Mortgage Bonds, Senior Notes Series AA	  	Bonds of Series AA
			
	August 1, 2006	  	Mortgage Bonds, 2006 Credit Agreement Series Bonds (retired)	  	2006 Credit Agreement Series Bonds

  
 2 

					
	 DATE OF

SUPPLEMENTAL
 INDENTURE
	  	 IDENTIFICATION OF SERIES
	  	 CALLED

	March 1, 2007	  	Mortgage Bonds, 2007 Credit Agreement Series Bonds (retired)	  	2007 Credit Agreement Series Bonds
			
	November 15, 2007	  	Mortgage Bonds, Senior Notes Series BB	  	Bonds of Series BB
			
	April 1, 2008	  	Mortgage Bonds, Senior Notes Series CC	  	Bonds of Series CC
			
	October 1, 2008	  	Mortgage Bonds, Senior Notes Series DD	  	Bonds of Series DD
			
	June 15, 2009	  	Mortgage Bonds, 2009 Credit Agreement Series Bonds (retired)	  	2009 Credit Agreement Series Bonds
			
	October 1, 2010	  	Mortgage Bonds, Senior Notes Series CIPS-AA	  	Series CIPS-AA Mortgage Bonds
			
	October 1, 2010	  	Mortgage Bonds, Senior Notes Series CIPS-BB (retired)	  	Series CIPS-BB Mortgage Bonds
			
	October 1, 2010	  	Mortgage Bonds, Senior Notes Series CIPS-CC	  	Series CIPS-CC Mortgage Bonds

 and 
 WHEREAS, a supplemental indenture with respect to the Bonds of the 2007 Series and the Bonds of the 2012 Series listed above was executed and filed but such Bonds of the 2007 Series
and Bonds of the 2012 Series were never issued and a release with respect to such supplemental indenture was subsequently executed and filed; and 
 WHEREAS, pursuant to Section 14.01(a) of the Indenture, the Company elects to subject to the Lien of the Indenture certain franchises, permits, licenses, easements and rights of way; and

 WHEREAS, the Company desires to create a new series of Bonds to be issued under the Indenture to be known as
“First Mortgage Bonds, Senior Notes Series EE” (the “Series EE Mortgage Bonds”); and 

WHEREAS, the Company (as successor to IP) has entered into an Indenture dated as of June 1, 2006 (as amended and
supplemented, the “Senior Note Indenture”) with The Bank of New York Mellon Trust Company, N.A., as trustee (the “Senior Note Trustee”), providing for the issuance from time to time of senior notes thereunder; and

 WHEREAS, the Company desires by this Supplemental Indenture to issue to the Senior Note Trustee the Series EE
Mortgage Bonds as security for $400,000,000 aggregate principal amount of the Company’s 2.70% Senior Secured Notes due 2022 (the “Senior Notes”) to be issued under the Senior Note Indenture; and 

WHEREAS, the Company, in the exercise of the powers and authority conferred upon and reserved to it under the provisions of the
Indenture, and pursuant to appropriate resolutions of the Board of Directors, has duly resolved and determined to make, execute and deliver to the Trustee this Supplemental Indenture in the form hereof for the purposes herein provided; and

 WHEREAS, all conditions and requirements necessary to make this Supplemental Indenture a valid, binding and legal
instrument have been done, performed and fulfilled and the execution and delivery hereof have been in all respects duly authorized; 

  
 3 

 NOW, THEREFORE, THIS SUPPLEMENTAL INDENTURE WITNESSETH: 

THAT to secure the payment of the principal of, premium, if any, and interest on all Bonds issued and Outstanding under the Indenture
when payable in accordance with the provisions thereof and hereof, and to secure the performance by the Company of, and its compliance with, the covenants and conditions of the Indenture, and in consideration of the premises and of One Dollar paid
to the Company by the Trustee and pursuant to Section 14.01 of the Indenture, the Company does hereby grant, bargain, sell, release, convey, quitclaim, assign, transfer, mortgage, pledge, set over and confirm unto the Trustee, and to its
successors in trust and to its assigns, to the extent not already included in the Mortgaged Property, all of the Company’s franchises, permits, licenses, easements and rights of way that were owned by CIPS immediately prior to the Effective
Time and are transferable and necessary for the operation and maintenance of the Mortgaged Property, which shall be and are as fully granted and conveyed by the Indenture and as fully embraced within the Lien of the Indenture as if such property,
rights and interests in property were now owned by the Company and were specifically described herein and conveyed hereby; the Company expressly reserves the right, at any time and from time to time, by one or more supplemental indentures, to
subject to the Lien and operation of the Indenture any part or all of the Excepted Property upon such terms and conditions and subject to such restrictions, limitations and reservations as may be set for in such supplemental indenture or indentures;
together with all other property of whatever kind and nature subjected to or intended to be subjected to the Lien of the Indenture by any of the terms and provisions thereof. 
 TO HAVE AND TO HOLD all such properties, rights and interests in property granted, bargained, sold, warranted, released, conveyed, assigned, transferred, mortgaged, pledged, set over and confirmed
or in which a security interest has been granted by the Company in the Indenture or intended or agreed to be so granted, together with all the appurtenances thereto, unto the Trustee and its successors and assigns forever, 

SUBJECT, HOWEVER, to Permitted Liens and to Liens which have been granted by the Company to other Persons prior to the date of the
execution and delivery of this Supplemental Indenture, and subject also, as to any property hereafter acquired by the Company, to vendors’ Liens, purchase money mortgages and other Liens thereon at the time of the acquisition thereof
(including, but not limited to the Lien of any Prior Mortgage), it being understood that with respect to any of such property which is now or hereafter becomes subject to the Lien of any Prior Mortgage, the Lien of the Indenture shall at all times
be junior and subordinate to the Lien of such Prior Mortgage; 
 BUT IN TRUST, NEVERTHELESS, for the equal and
proportionate benefit and security of all present and future holders of the Bonds and any coupons issued and to be issued thereunder and secured by the Lien of the Indenture, and to secure the payment of the principal of, premium, if any, and
interest on the Bonds issued and Outstanding under the Indenture when payable in accordance with the provisions thereof and hereof, and to secure the performance of the Company, of, and its compliance with, the covenants and conditions of the
Indenture without any preference, priority or distinction of any one Bond over any other Bond by reason of priority in the issue or negotiation thereof or otherwise. 
 PROVIDED, HOWEVER, that if, after the right, title and interest of the Trustee in and to the Mortgaged Property shall have ceased and become void in accordance with Article Nine, then and in that
case the Indenture and the estate and rights thereby granted shall cease, terminate and be void, and the Trustee shall cancel and discharge the Indenture and execute and deliver to the Company such instruments as the Company shall require to
evidence the discharge thereof; otherwise the Indenture shall be and remain in full force and effect; and 
 IT IS HEREBY
COVENANTED AND AGREED, by and between the Company and the Trustee, that all Bonds and coupons, if any, are to be authenticated, delivered and issued, and that all Mortgaged Property is to be held, subject to the further covenants, conditions,
uses and trusts in the Indenture set forth, and the Company, for itself and its successor and assigns, hereby covenants and agrees to and with the Trustee and its successors in trust under the Indenture, for the benefit of those who shall hold
Bonds, as follows: 

  
 4 

 ARTICLE I 
 DESCRIPTION OF THE SERIES EE MORTGAGE BONDS 
 Section 1. The Company hereby
creates a new series of Bonds to be known as “First Mortgage Bonds, Senior Notes Series EE” (the “Series EE Mortgage Bonds”). The Series EE Mortgage Bonds shall be executed, authenticated and delivered
in accordance with the provisions of, and shall in all respects be subject to, all of the terms, conditions and covenants of the Indenture, as supplemented and modified. The Series EE Mortgage Bonds shall be issued in the name of the
Senior Note Trustee under the Senior Note Indenture to secure any and all of the Company’s obligations under the Senior Notes and any other series of senior notes from time to time outstanding under the Senior Note Indenture. 

The Series EE Mortgage Bonds shall be dated as provided in Section 3.03 of Article Three of the Indenture. The
Series EE Mortgage Bonds shall mature on September 1, 2022, shall accrue interest from the dates set forth in the Senior Notes and shall bear interest at the same rate of interest as the Senior Notes. Interest on the Series EE
Mortgage Bonds is payable on the same dates as interest on the Senior Notes is paid, until the principal sum is paid in full. 

Upon any payment of the principal of, premium, if any, and interest on, all or any portion of the Senior Notes, whether at maturity or
prior to maturity by redemption or otherwise or upon provision for the payment thereof having been made in accordance with Section 5.01(a) of the Senior Note Indenture, the Series EE Mortgage Bonds in a principal amount equal to the
principal amount of such Senior Notes shall, to the extent of such payment of principal, premium, if any, and interest, be deemed paid and the obligation of the Company thereunder to make such payment shall be discharged to such extent and, in the
case of the payment of principal (and premium, if any), such Series EE Mortgage Bonds shall be surrendered to the Company for cancellation as provided in Section 4.08 of the Senior Note Indenture. The Trustee may at any time and all
times conclusively assume that the obligation of the Company to make payments with respect to the principal of, premium, if any, and interest on the Senior Notes, so far as such payments at the time have become due, has been fully satisfied and
discharged pursuant to the foregoing sentence unless and until the Trustee shall have received a written notice from the Senior Note Trustee signed by one of its officers stating (i) the timely payment of principal, or premium, if any, or
interest on, the Senior Notes has not been made, (ii) that the Company is in arrears as to the payments required to be made by it to the Senior Note Trustee pursuant to the Senior Note Indenture, and (iii) the amount of the arrearage.

  
 5 

 Section 2. The Series EE Mortgage Bonds and the Trustee’s Certificate of
Authentication shall be substantially in the following forms respectively: 
 [FORM OF FACE OF BOND]

NOTWITHSTANDING ANY PROVISIONS HEREOF OR IN THE INDENTURE THIS BOND IS NOT 

ASSIGNABLE OR TRANSFERABLE EXCEPT AS PERMITTED BY SECTION 4.04 OF THE INDENTURE 

DATED AS OF JUNE 1, 2006, AS AMENDED AND SUPPLEMENTED, BETWEEN AMEREN ILLINOIS 

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

AMEREN ILLINOIS COMPANY 
 (Incorporated under the laws of the State of Illinois) 
 Illinois Commerce
Commission 
 Identification No.: Ill. C.C.             

 FIRST MORTGAGE BOND, SENIOR NOTES SERIES EE 

 

					
	 No.
	  	$	        	  

 AMEREN ILLINOIS COMPANY, a corporation organized and existing under the laws of the State of Illinois
(the “Company”), which term shall include any Successor Corporation as defined in the Indenture hereinafter referred to, for value received, hereby promises to pay to The Bank of New York Mellon Trust Company, N.A., as trustee (the
“Senior Note Trustee”) under the Indenture dated as of June 1, 2006 (as amended and supplemented, the “Senior Note Indenture”), relating to the Company’s 2.70% Senior Secured Notes due 2022 (the
“Senior Notes”) in the aggregate principal amount of $            , between the Company and the Senior Note Trustee, or registered assigns, the principal sum of
$             on September 1, 2022, in any coin or currency of the United States of America, which at the time of payment is legal tender for public and private debts, and to
pay interest thereon in like coin or currency from the date of issuance (and thereafter from the dates set forth in the Senior Notes), and at the same rate of interest as the Senior Notes. Interest on overdue principal, premium, if any, and, to
the extent permitted by law, on overdue interest, shall be payable at the interest rate payable on the Senior Notes. Interest on this Mortgage Bond is payable on the same dates as interest on the Senior Notes is paid, until the principal sum of
this Mortgage Bond is paid in full. Pursuant to Article IV of the Senior Note Indenture, this Mortgage Bond is issued to the Senior Note Trustee to secure any and all obligations of the Company under the Senior Notes and any other series
of senior notes from time to time outstanding under the Senior Note Indenture. Payment of principal of, or premium, if any, or interest on, the Senior Notes shall constitute payments on this Mortgage Bond as further provided herein and in the
Supplemental Indenture of August 1, 2012 (as hereinafter defined) pursuant to which this Mortgage Bond has been issued. Both the principal of, premium, if any, and the interest on, this Mortgage Bond are payable at the office of the Senior Note
Trustee. 
 Upon any payment of the principal of, premium, if any, and interest on, all or any portion of the Senior Notes,
whether at maturity or prior to maturity by redemption or otherwise or upon provision for the payment thereof having been made in accordance with Section 5.01(a) of the Senior Note Indenture, a principal amount of this Mortgage Bond equal
to the principal amount of such Senior Notes shall, to the extent of such payment of principal, premium, if any, and interest, be deemed paid and the obligation of the Company thereunder to make such payment shall be discharged to such extent and,
in the case of the payment of principal (and premium, if any), such Mortgage Bonds shall be surrendered to the Company for cancellation as provided in Section 4.08 of the Senior Note Indenture. The Trustee (as hereinafter defined) may at
any time and all times conclusively assume that the obligation of the Company to make payments with respect to the principal of, premium, if any, and interest on, the Senior Notes, so far as such payments at the time have become due, has been fully
satisfied and discharged pursuant to the foregoing sentence unless and until the Trustee shall have received a written notice from the Senior Note Trustee signed by one of its officers stating (i) that timely payment of principal of, premium,
if any, or interest on, the Senior Notes has not been made, (ii) that the Company is in arrears as to the payments required to be made by it to the Senior Note Trustee pursuant to the Senior Note Indenture, and (iii) the amount of the
arrearage. 

  
 6 

 For purposes of Section 4.09 of the Senior Note Indenture, this Mortgage Bond shall be
deemed to be the “Related Series of Senior Note Mortgage Bonds” in respect of the Senior Notes. 
 This Mortgage
Bond shall not be entitled to any benefit under the Indenture or any indenture supplemental thereto, or become valid or obligatory for any purpose, until the form of certificate endorsed hereon shall have been signed by or on behalf of The Bank of
New York Mellon Trust Company, N.A., as successor trustee to Harris Trust and Savings Bank, the Trustee under the Indenture, or a successor trustee thereto under the Indenture (the “Trustee”). 

The provisions of this Mortgage Bond are continued on the reverse hereof and such continued provisions shall for all purposes have the
same effect as though fully set forth at this place. 
 IN WITNESS WHEREOF, Ameren Illinois Company has caused this Mortgage
Bond to be signed (manually or by facsimile signature) in its name by an Authorized Executive Officer, as defined in the aforesaid Indenture, and attested (manually or by facsimile signature) by an Authorized Executive Officer, as defined in such
Indenture on the date hereof. 
  

			
	Dated:	  	
		  	AMEREN ILLINOIS COMPANY
		
		  	By:                             
                                         
      
		  	        AUTHORIZED EXECUTIVE OFFICER
		
	ATTEST:	  	
		
	By:                             
                                         
      	  	
	        AUTHORIZED EXECUTIVE OFFICER	  	

 [FORM OF TRUSTEE’S CERTIFICATE OF AUTHENTICATION] 

This is one of the Mortgage Bonds of the series designated therein referred to in the within mentioned Indenture and the Supplemental
Indenture dated as of August 1, 2012. 
 THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A. 

as successor trustee to 
 Harris Trust and Savings Bank, 
 TRUSTEE, 

By:                      
                                       

      AUTHORIZED SIGNATORY 

  
 7 

 [FORM OF REVERSE OF BOND] 

This Mortgage Bond is one of a duly authorized issue of Mortgage Bonds of the Company (the “Mortgage Bonds”) in
unlimited aggregate principal amount, of the series hereinafter specified, all issued and to be issued under and equally secured by the General Mortgage Indenture and Deed of Trust (as amended and supplemented, the “Indenture”),
dated as of November 1, 1992, executed by the Company (as successor to Illinois Power Company) to The Bank of New York Mellon Trust Company, N.A., as successor trustee to Harris Trust and Savings Bank (the “Trustee”) to which
Indenture reference is hereby made for a description of the properties mortgaged and pledged, the nature and extent of the security, the rights of registered owners of the Mortgage Bonds and of the Trustee in respect thereof, and the terms and
conditions upon which the Mortgage Bonds are, and are to be, secured. The Mortgage Bonds may be issued in series, for various principal sums, may mature at different times, may bear interest at different rates and may otherwise vary as provided
in the Indenture. This Mortgage Bond is one of a series designated as the Series EE Mortgage Bonds of the Company, unlimited in aggregate principal amount, issued under and secured by the Indenture and described in the Supplemental
Indenture dated as of August 1, 2012 (the “Supplemental Indenture of August 1, 2012” ), between the Company and the Trustee, supplemental to the Indenture. 

This Series EE Mortgage Bond is subject to redemption in accordance with the terms of Article II of the Supplemental Indenture of
August 1, 2012. 
 This Mortgage Bond shall be governed by and construed in accordance with the laws of the State of
Illinois, except to the extent that the law of any other jurisdiction shall be mandatorily applicable. 
 In case an Event of
Default, as defined in the Indenture, shall occur, the principal of all Mortgage Bonds at any such time outstanding under the Indenture may be declared or may become due and payable, upon the conditions and in the manner and with the effect provided
in the Indenture. The Indenture provides that such declaration may be rescinded under certain circumstances. 
 ARTICLE
II 
 REDEMPTION 
 Section 1. The Series EE Mortgage Bonds are not redeemable except on the date, in the principal amount and for the redemption price that correspond to the redemption date for, the principal amount to
be redeemed of, and the redemption price for, the Senior Notes, and except as set forth in Section 2 of this Article. 
 In
the event that the Company redeems any Senior Notes prior to maturity in accordance with the provisions of the Senior Note Indenture, the Senior Note Trustee shall on the same date deliver to the Company the Series EE Mortgage Bonds in
principal amount corresponding to the Senior Notes so redeemed, as provided in Section 4.08 of the Senior Note Indenture. The Company agrees to give the Trustee notice of any such redemption of the Senior Notes on or before the date fixed
for any such redemption. 
 Section 2. Upon the occurrence of an Event of Default under the Senior Note Indenture (as defined
therein) and the acceleration of the Senior Notes, the Series EE Mortgage Bonds shall be redeemable in whole upon receipt by the Trustee (with a copy to the Company) of a written demand (hereinafter called a “EE Redemption
Demand”) from the Senior Note Trustee stating that there has occurred under the Senior Note Indenture both an Event of Default and a declaration of acceleration of payment of principal, accrued interest and premium, if any, on the Senior
Notes specifying the last date to which interest on such Senior Notes has been paid (such date being hereinafter referred to as the “EE Initial Interest Accrual Date”) and demanding redemption of the Series EE Mortgage
Bonds. The Company waives any right it may have to prior notice of such redemption under the Indenture. Upon surrender of the Series EE Mortgage Bonds by the Senior Note Trustee to the Trustee, the Series EE Mortgage Bonds shall
be redeemed at a redemption price equal to the principal amount thereof plus accrued interest thereon from the EE Initial Interest Accrual Date to the redemption date; provided, however, that in the event of a rescission or annulment of acceleration
of the Senior Notes pursuant to the last paragraph of Section 8.01(a) of the Senior Note Indenture, then any EE Redemption Demand shall thereby be deemed to be rescinded by the Senior Note Trustee although no such rescission or annulment
shall extend to or affect any subsequent default or impair any right consequent thereon. 

  
 8 

 ARTICLE III 
 ISSUE OF THE SERIES EE MORTGAGE BONDS 
 Section 1. The Company hereby
exercises the right to obtain the authentication of $400,000,000 principal amount of additional Bonds pursuant to the terms of Section 4.04 of the Indenture, all of which shall be Series EE Mortgage Bonds. The principal amount of the
Series EE Mortgage Bonds outstanding from time to time shall always be equal to the principal amount of the Senior Notes which are outstanding from time to time under the Senior Note Indenture and to the extent the Senior Note Trustee holds
Series EE Mortgage Bonds in excess of such principal amount, such Series EE Mortgage Bonds shall be deemed cancelled and retired and no longer outstanding under the Indenture. 

Section 2. Such Series EE Mortgage Bonds may be authenticated and delivered prior to the filing for recordation of this Supplemental
Indenture. 
 Section 3. For purposes of Section 4.09 of the Senior Note Indenture, the Series EE Mortgage Bonds shall
be deemed to be the “Related Series of Senior Notes Mortgage Bonds” in respect of the Senior Notes. 
 ARTICLE
IV 
 THE TRUSTEE 
 The Trustee hereby accepts the trusts hereby declared and provided, and agrees to perform the same upon the terms and conditions in the Indenture set forth and upon the following terms and conditions:

 The Trustee shall not be responsible in any manner whatsoever for or in respect of the validity or sufficiency of this
Supplemental Indenture or the due execution hereof by the Company or for or in respect of the recitals contained herein, all of which recitals are made by the Company solely. In general, each and every term and condition contained in
Article Eleven of the Indenture shall apply to this Supplemental Indenture with the same force and effect as if the same were herein set forth in full, with such omissions, variations and modifications thereof as may be appropriate to make the
same conform to this Supplemental Indenture. 
 ARTICLE V 

MISCELLANEOUS PROVISIONS 
 Except as otherwise defined herein, capitalized terms defined in the Indenture are used herein as therein defined. This Supplemental Indenture may be simultaneously executed in any number of counterparts,
each of which when so executed shall be deemed to be an original; but such counterparts shall together constitute but one and the same instrument. 

  
 9 

 IN WITNESS WHEREOF, said Ameren Illinois Company has caused this Supplemental Indenture to
be executed on its behalf by an Authorized Executive Officer as defined in the Indenture, and its corporate seal to be hereto affixed and said seal and this Supplemental Indenture to be attested by an Authorized Executive Officer as defined in the
Indenture; and said The Bank of New York Mellon Trust Company, N.A., as successor trustee to Harris Trust and Savings Bank, in evidence of its acceptance of the trust hereby created, has caused this Supplemental Indenture to be executed on its
behalf by one of its Vice Presidents and this Supplemental Indenture to be attested by its Secretary or one of its Vice Presidents; all as of August 1, 2012. 
 AMEREN ILLINOIS COMPANY 
 (CORPORATE SEAL) 

 

			
	By:	 	 /s/ Jerre E. Birdsong

		 	Name: Jerre E. Birdsong
		 	Title:   Vice President and Treasurer

 ATTEST: 
  

			
	By:	 	 /s/ Craig W. Stensland

		 	Name: Craig W. Stensland
		 	Title:   Assistant Secretary

  
 10 

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

successor trustee to 
 Harris Trust and Savings Bank, 
 TRUSTEE, 

 

			
	By:	 	 /s/ Richard Tarnas

		 	Name: Richard Tarnas
		 	Title:   Vice President

  

			
	ATTEST:
		
	By:	 	/s/ Linda Garcia
		 	Name: Linda Garcia
		 	Title:   Vice President

  
 11 

							
	 STATE OF MISSOURI
	  	)	  		  	
		  		  	ss.	  	
	 CITY OF ST. LOUIS
	  	)	  		  	

 BE IT REMEMBERED, that on this 10th day of August, 2012, before me, the undersigned, a Notary Public
within and for the City and State aforesaid, personally came Jerre E. Birdsong, Vice President and Treasurer and Craig W. Stensland, Assistant Secretary, of Ameren Illinois Company, a corporation duly organized, incorporated and existing under the
laws of the State of Illinois, who are personally known to me to be such officers, and who are personally known to me to be the same persons who executed as such officers the within instrument of writing, and such persons duly acknowledged that they
signed, sealed and delivered the said instrument as their free and voluntary act as such officers and as the free and voluntary act of said Ameren Illinois Company for the uses and purposes therein set forth. 

IN WITNESS WHEREOF, I have hereunto subscribed my name and affixed my official seal on the day and year last above written. 

 

			
		
		 	    /s/ Lynn M. Smith
		 	NOTARY PUBLIC

 My Commission Expires on 09/28/2014 
 (NOTARIAL SEAL) 
 Lynn M. Smith 
 Notary Public – Notary Seal 
 STATE OF MISSOURI 

Commission for St. Louis City 
 My Commission
Expires Sept. 28, 2014 
 Commission #10402618 

  
 12 

							
	 STATE OF ILLINOIS
	  	)	  		  	
		  		  	ss.	  	
	 CITY OF COOK
	  	)	  		  	

 BE IT REMEMBERED, that on this 9th day of August, 2012, before me, the undersigned, a Notary Public
within and for the County and State aforesaid, personally came Richard Tarnas, Vice President and Linda Garcia, Vice President, of The Bank of New York Mellon Trust Company, N.A., a national banking association duly organized, incorporated and
existing under the laws of the United States, who are personally known to me to be the same persons who executed as such officers the within instrument of writing, and such persons duly acknowledged that they signed and delivered the said instrument
as their free and voluntary act as such Vice President and Vice President, and as the free and voluntary act of said The Bank of New York Mellon Trust Company, N.A. for the uses and purposes therein set forth. 

IN WITNESS WHEREOF, I have hereunto subscribed my name and affixed my official seal on the day and year last above written. 

 

			
		
		 	/s/ Danita S. George
		 	NOTARY PUBLIC, COOK COUNTY, ILLINOIS

 My Commission Expires on 11/9/2013 
 (NOTARIAL SEAL) 
 Danita S. George 
 Notary Public 
 STATE OF ILLINOIS 
 My Commission Expires November 9, 2013 

  
 13Articles of Amendment of State Street Corporation

 Exhibit 4.1 

 

					
	 

	  	 

 William Francis Galvin
 Secretary of the Commonwealth
 One Ashburton Place, Boston, Massachusetts
02108-1512
	  	
	  	  	
	  	  	

  

					
	FORM MUST BE TYPED	  	Articles of Amendment	  	FORM MUST BE TYPED
	(General Laws Chapter 156D, Section 10.06; 950 CMR 113.34)

  

			
	(1) Exact name of corporation:	 	 State Street Corporation

  

			
	(2) Registered office address:	 	 155 Federal Street, Boston, Massachusetts 02110

	(number, street, city or town, state, zip code)

  

			
	(3) These articles of amendment affect article(s):	 	 IV

	(specify the number(s) of article(s) being amended (I-VI))

  

			
	(4) Date adopted:	 	 August 14, 2012

	(month, day, year)

 (5) Approved by: 
 (check appropriate box) 
  

	 	 ̈	the incorporators. 

  

	 	þ	the board of directors without shareholder approval and shareholder approval was not required. 

 

	 	 ̈	the board of directors and the shareholders in the manner required by law and the articles of organization. 

(6) State the article number and the text of the amendment. Unless contained in the text of the amendment, state the provisions for
implementing the exchange, reclassification or cancellation of issued shares. 
 That Article IV of the Restated Articles of
Organization be amended to designate a Series C of Preferred Stock more particularly described on Exhibit A attached hereto and made a part hereof. 
  

			
	
                    
 
	  	
	P.C.	  	c156ds1006950c11334 01/13/05

 To change the number of shares and the par value, * if any, of any type, or to designate a class or series,
of stock, or change a designation of class or series of stock, which the corporation is authorized to issue, complete the following: 
 Total
authorized prior to amendment: 
  

									
	 WITHOUT PAR VALUE
	  	 WITH PAR VALUE

	 TYPE
	  	 NUMBER OF SHARES
	  	 TYPE
	  	 NUMBER OF SHARES
	  	PAR VALUE
		  		  		  		  	
		  		  		  		  	
		  		  		  		  	

 Total authorized after amendment: 
  

									
	 WITHOUT PAR VALUE
	  	 WITH PAR VALUE

	 TYPE
	  	 NUMBER OF SHARES
	  	 TYPE
	  	 NUMBER OF SHARES
	  	PAR VALUE
		  		  		  		  	
		  		  		  		  	
		  		  		  		  	

  

	(7)	The amendment shall be effective at the time and on the date approved by the Division, unless a later effective date not more than 90 days from the date and time of
filing is specified:
                                         
                                         
                       

  

	*	G.L. Chapter 156D eliminates the concept of par value, however a corporation may specify par value in Article III. See G.L. Chapter 156D, Section 6.21, and the
comments relative thereto. 

					
	Signed by:	 	 /s/ Jeffrey N. Carp
	 	,
		 	(signature of authorized individual)	 	

  

	 	 ̈	Chairman of the board of directors, 

  

	 	 ̈	President, 

  

	 	þ	Other officer, 

  

	 	 ̈	Court-appointed fiduciary, 

 on this 14th
day of August, 2012. 

 Exhibit A 
 CERTIFICATE OF DESIGNATION 
 OF 

NON-CUMULATIVE PERPETUAL PREFERRED STOCK, SERIES C 
 OF 
 STATE STREET CORPORATION 

(Pursuant to Section 6.02 of the Massachusetts Business Corporation Act) 

State Street Corporation, a corporation organized and existing under the Massachusetts Business Corporation Act of the Commonwealth of
Massachusetts (the “Corporation”), in accordance with the provisions of Section 6.02 thereof, hereby certifies: 
 On August 14, 2012, the Chairman of the Board of Directors of the Corporation, in accordance with the votes of the Board of Directors of the Corporation adopted on February 16, 2012 and the
provisions of the Corporation’s Articles of Organization, as amended, duly adopted the following vote creating a series of 5,000 shares of preferred stock of the Corporation designated as “Non-Cumulative Perpetual Preferred Stock, Series
C”. 
 VOTED: that pursuant to the authority vested in the Chairman of the Board of Directors of the Corporation and
in accordance with the votes of the Board of Directors of the Corporation adopted on February 16, 2012 and the provisions of the Corporation’s Articles of Organization, as amended, a series of preferred stock, without par value, of the
Corporation be and hereby is created, and that the designation and number of shares, and the preferences, limitations, and relative rights thereof are as follows: 
 Section 1. Designation. The designation of the series of preferred stock shall be Non-Cumulative Perpetual Preferred Stock, Series C (hereinafter referred to as the “Series C Preferred
Stock”). Each share of Series C Preferred Stock shall be identical in all respects to every other share of Series C Preferred Stock. Series C Preferred Stock will rank (i) at least equally with Parity Stock, if any, with respect to the
payment of dividends and the distribution of assets in the event of any voluntary or involuntary liquidation, dissolution or winding up of the affairs of the Corporation (ii) and will rank senior to Junior Stock with respect to the payment of
dividends or the distribution of assets in the event of any voluntary or involuntary liquidation, dissolution or winding up of the affairs of the Corporation. 
 Section 2. Number of Shares. The number of authorized shares of Series C Preferred Stock shall be 5,000. Such number may from time to time be increased (but not in excess of the total number
of authorized shares of preferred stock set forth in the Articles of Organization) or decreased (but not below the number of shares of Series C Preferred Stock then outstanding) by further votes duly adopted by the Board of Directors of the
Corporation or any duly authorized committee of the Board of Directors of the Corporation and by the filing of articles of amendment pursuant to the provisions of the Massachusetts Business Corporation Act of the Commonwealth of Massachusetts
stating that such increase or reduction, as the case may be, has been so authorized. The Corporation shall have the authority to issue fractional shares of Series C Preferred Stock. 

 Section 3. Definitions. As used herein with respect to Series C Preferred Stock:

 (a) “Appropriate Federal Banking Agency” means the “appropriate Federal banking agency”
with respect to the Corporation as defined in Section 3(q) of the Federal Deposit Insurance Act (12 U.S.C. Section 1813(q)), or any successor provision. 
 (b) “Articles of Organization” means the Articles of Organization of the Corporation, as may be amended from time to time, and shall include this Certificate of Designation.

 (c) “Board of Directors” means the board of directors of the Corporation. 

(d) “Bylaws” means the Bylaws of the Corporation, as may be amended from time to time. 

(e) “Business Day” means any day other than a Saturday, Sunday or any other day on which banking institutions and
trust companies in New York, New York or Boston, Massachusetts are permitted or required by any applicable law to close. 

(f) “Certificate of Designation” means this Certificate of Designation relating to the Series C Preferred Stock,
as it may be amended from time to time. 
 (g) “Common Stock” means the common stock, par value $1.00
per share, of the Corporation. 
 (h) “Depositary Company” shall have the meaning set forth in
Section 6(d) hereof. 
 (i) “Dividend Payment Date” shall have the meaning set forth in
Section 4(a) hereof. 
 (j) “Dividend Period” shall have the meaning set forth in Section 4(a)
hereof. 
 (k) “DTC” means The Depository Trust Company, together with its successors and assigns.

 (l) “Junior Stock” means the Common Stock and any other class or series of stock of the Corporation
hereafter authorized over which Series C Preferred Stock has preference or priority in the payment of dividends or in the distribution of assets on any voluntary or involuntary liquidation, dissolution or winding up of the affairs of the
Corporation. 
 (m) “MBCA” means the Massachusetts Business Corporation Act, as amended from time to
time. 
 (n) “Nonpayment” shall have the meaning set forth in Section 7(c)(i) hereof. 

(o) “Parity Stock” means any other class or series of stock of the Corporation that ranks equally with Series C
Preferred Stock in the payment of dividends and in the distribution of assets on any voluntary or involuntary liquidation, dissolution or winding up of the affairs of the Corporation. 

  
 -2-

 (p) “Preferred Director” shall have the meaning set forth in
Section 7(c)(i) hereof. 
 (q) “Redemption Price” shall have the meaning set forth in
Section 6(a) hereof. 
 (r) “Regulatory Capital Treatment Event” means the Corporation’s
determination, in good faith, that, as a result of (i) any amendment to, or change in (including any announced prospective amendment or change), the laws or regulations of the United States or any political subdivision of or in the United
States that is enacted or becomes effective after the initial issuance of any share of Series C Preferred Stock, (ii) any proposed amendment or change in those laws or regulations that is announced or becomes effective after the initial
issuance of any share of Series C Preferred Stock, or (iii) any official administrative decision or judicial decision or administrative action or other official pronouncement interpreting or applying those laws or regulations that is announced
after the initial issuance of any share of Series C Preferred Stock, there is more than an insubstantial risk that the Corporation will not be entitled to treat the full liquidation value of the shares of Series C Preferred Stock then outstanding as
“tier 1 capital” (or its equivalent) for purposes of the capital adequacy guidelines of the Appropriate Federal Banking Agency, as then in effect and applicable, for as long as any share of Series C Preferred Stock is outstanding.

 (s) “Series C Preferred Stock” shall have the meaning set forth in Section 1 hereof. 

Section 4. Dividends. 
 (a) Rate. Holders of Series C Preferred Stock shall be entitled to receive, if, as and when declared by the Board of Directors of the Corporation or any duly authorized committee of the Board of
Directors of the Corporation, but only out of assets legally available therefor, non-cumulative cash dividends at a rate per annum equal to 5.250% on the liquidation preference of $100,000 per share of Series C Preferred Stock, and no more, payable
quarterly in arrears on each March 15, June 15, September 15 or December 15; provided, however, if any such day is not a Business Day, then payment of any dividend otherwise payable on that date will be made on the
next succeeding day that is a Business Day (without any interest or other payment in respect of such delay) (each such day on which dividends are payable a “Dividend Payment Date”). The period from and including the date of original
issuance of such Series C Preferred Stock or any Dividend Payment Date to but excluding the next Dividend Payment Date is a “Dividend Period.” The record date for payment of dividends on the Series C Preferred Stock shall be the
15th calendar day before such Dividend Payment Date; provided, however, if any such day is not a Business Day, then the record date will be the next succeeding day that is a Business Day. The amount of dividends payable shall be
computed on the basis of a 360-day year consisting of twelve 30-day months. Notwithstanding any other provision hereof, dividends on the Series C Preferred Stock shall not be declared, paid or set aside for payment to the extent such act would cause
the Corporation to fail to comply with laws and regulations applicable thereto, including applicable capital adequacy guidelines. 

  
 -3-

 (b) Non-Cumulative Dividends. Dividends on shares of Series C Preferred Stock shall
be non-cumulative. To the extent that any dividends payable on the shares of Series C Preferred Stock on any Dividend Payment Date are not declared and paid, in full or otherwise, on such Dividend Payment Date, then such unpaid dividends shall not
cumulate and shall not accrue or be payable for such Dividend Period, and the Corporation shall have no obligation to pay, and the holders of Series C Preferred Stock shall have no right to receive, dividends for such Dividend Period after the
Dividend Payment Date for such Dividend Period or interest with respect to such dividends, whether or not dividends are declared for any subsequent Dividend Period with respect to Series C Preferred Stock, Junior Stock or any other class or series
of authorized preferred stock of the Corporation. 
 (c) Priority of Dividends. So long as any share of Series C
Preferred Stock remains outstanding, (i) no dividend shall be declared or paid or set aside for payment and no distribution shall be declared or made or set aside for payment on any Junior Stock, other than a dividend payable solely in Junior
Stock or any dividend or distribution of capital stock or rights to acquire capital stock of the Corporation in connection with a shareholders’ rights plan or any redemption or repurchase of capital stock or rights to acquire capital stock
under any such plan, (ii) no shares of Junior Stock shall be repurchased, redeemed or otherwise acquired for consideration by the Corporation, directly or indirectly (other than (A) as a result of a reclassification of Junior Stock for or
into other Junior Stock, (B) the exchange or conversion of one share of Junior Stock for or into another share of Junior Stock, (C) through the use of the proceeds of a substantially contemporaneous sale of other shares of Junior Stock,
(D) purchases, redemptions or other acquisitions of shares of Junior Stock pursuant to any employment contract, benefit plan or other similar arrangement with or for the benefit of employees, officers, directors or consultants,
(E) purchases of shares of Junior Stock pursuant to a contractually binding requirement to buy Junior Stock existing prior to or during the most recent preceding Dividend Period for which the full dividends for the then-current Dividend Period
on all outstanding shares of Series C Preferred Stock have been declared and paid or declared and a sum sufficient for the payment thereof has been set aside, including under a contractually binding stock repurchase plan or (F) the purchase of
fractional interests in shares of Junior Stock pursuant to the conversion or exchange provisions of such stock or the security being converted or exchanged), nor shall any monies be paid to or made available for a sinking fund for the redemption of
any such securities by the Corporation and (iii) no shares of Parity Stock shall be repurchased, redeemed or otherwise acquired for consideration by the Corporation otherwise than pursuant to pro rata offers to purchase all, or a pro
rata portion, of the Series C Preferred Stock and such Parity Stock except by conversion into or exchange for Junior Stock during a Dividend Period, unless, in each case, the full dividends on all outstanding shares of Series C Preferred Stock
for the then-current Dividend Period have been declared and paid in full or declared and a sum sufficient for the payment in full thereof set aside. When dividends are not paid in full upon the shares of Series C Preferred Stock and any Parity
Stock, all dividends declared upon shares of Series C Preferred Stock and any Parity Stock shall be declared on a proportional basis so that the amount of dividends declared per share will bear to each other the same ratio that accrued dividends for
the then-current Dividend Period per share on Series C Preferred Stock, and accrued dividends, including any accumulations, on Parity Stock, bear to each other. No interest will be payable in respect of any declared but unpaid dividend payment on
shares of Series C Preferred Stock that is paid after the relevant Dividend Payment Date for such Dividend Period. If the Board of Directors of the Corporation determines not to pay any dividend or a full dividend on the Series C Preferred Stock on
a 

  
 -4-

 
Dividend Payment Date, the Corporation will provide, or cause to be provided, written notice (which may be in the form of a press release or other public announcement) to the holders of the
Series C Preferred Stock prior to such date. Subject to the foregoing, and not otherwise, dividends (payable in cash, stock or otherwise) as may be determined by the Board of Directors of the Corporation or any duly authorized committee of the Board
of Directors of the Corporation may be declared and paid on any Junior Stock and any Parity Stock from time to time out of any assets legally available therefor, and the shares of Series C Preferred Stock shall not be entitled to participate in any
such dividend. 
 Section 5. Liquidation Rights. 

(a) Voluntary or Involuntary Liquidation. In the event of any voluntary or involuntary liquidation, dissolution or winding up of
the affairs of the Corporation, holders of Series C Preferred Stock shall be entitled, out of assets legally available therefor, before any distribution of the assets of the Corporation may be made to the holders of any Junior Stock and subject to
the rights of the holders of any class or series of securities ranking senior to or on parity with Series C Preferred Stock upon liquidation and the rights of the Corporation’s depositors and other creditors, to receive in full a liquidating
distribution in the amount of the liquidation preference of $100,000 per share, plus any authorized, declared and unpaid dividends, without accumulation of any undeclared dividends. The holders of Series C Preferred Stock shall not be entitled to
any other amounts in the event of any such voluntary or involuntary liquidation, dissolution or winding up of the affairs of the Corporation other than what is expressly provided for in this Section 5. 

(b) Partial Payment. If in any distribution described in Section 5(a) above the assets of the Corporation are not sufficient
to pay in full the liquidation preference plus any declared and unpaid dividends in full to all holders of Series C Preferred Stock and all holders of any Parity Stock, the amounts paid to the holders of Series C Preferred Stock and to the holders
of all Parity Stock shall be pro rata in accordance with the respective aggregate liquidation preferences plus any authorized, declared and unpaid dividends of Series C Preferred Stock and all such Parity Stock. 

(c) Residual Distributions. If the liquidation preference plus any declared and unpaid dividends has been paid in full to all
holders of Series C Preferred Stock and all holders of any Parity Stock, the holders of Junior Stock shall be entitled to receive all remaining assets of the Corporation according to their respective rights and preferences. 

(d) Merger, Consolidation and Sale of Assets Not Liquidation. For purposes of this Section 5, the sale, lease or exchange
(for cash, securities or other property) of all or substantially all of the property and assets of the Corporation shall not constitute a voluntary or involuntary liquidation, dissolution or winding up of the affairs of the Corporation, nor shall
the merger, consolidation or any other business combination transaction of the Corporation into or with any other entity or the merger, consolidation or any other business combination transaction of any other entity into or with the Corporation in
which the holders of Series C Preferred Stock receive cash, securities or other property, constitute a voluntary or involuntary liquidation, dissolution or winding up of the affairs of the Corporation. 

  
 -5-

 Section 6. Redemption. 

(a) Optional Redemption. The Corporation, at the option of its Board of Directors or any duly authorized committee of the Board of
Directors of the Corporation, may redeem in whole or in part the shares of Series C Preferred Stock at the time outstanding, on the Dividend Payment Date on September 15, 2017 or on any Dividend Payment Date thereafter, upon notice given as
provided in Section 6(b) below. The redemption price for shares of Series C Preferred Stock shall be $100,000 per share plus dividends that have been declared but not paid, without accumulation of any undeclared dividends (the
“Redemption Price”). Notwithstanding the foregoing, within 90 days following the occurrence of a Regulatory Capital Treatment Event, the Corporation, at its option, subject to the approval of the Appropriate Federal Banking Agency,
may provide notice of its intent to redeem, as provided in Subsection (b) below, and subsequently redeem, all (but not less than all) of the shares of Series C Preferred Stock at the time outstanding at the Redemption Price applicable on such
date of redemption. 
 (b) Notice of Redemption. Notice of every redemption of shares of Series C Preferred Stock shall
be either (1) mailed by first class mail, postage prepaid, addressed to the holders of record of such shares to be redeemed at their respective last addresses appearing on the stock register of the Corporation or (2) transmitted by such
other method approved by the Depositary Company, in its reasonable discretion, to the holders of record of such shares to be redeemed. Such mailing or transmittal shall be at least 30 days and not more than 60 days before the date fixed for
redemption. Notwithstanding the foregoing, if the Series C Preferred Stock is held in book-entry form through DTC (or a successor securities depositary), the Corporation may give such notice in any manner permitted by DTC (or such successor).
Any notice provided pursuant to this Section 6(b) shall be conclusively presumed to have been duly given, whether or not the holder receives such notice, but failure duly to provide such notice, or any defect in such notice or in the
provision thereof, to any holder of shares of Series C Preferred Stock designated for redemption shall not affect the validity of the proceedings for the redemption of any other shares of Series C Preferred Stock. Each notice shall state
(i) the redemption date; (ii) the number of shares of Series C Preferred Stock to be redeemed and, if less than all the shares held by such holder are to be redeemed, the number of such shares to be redeemed by such holder (or the method
of determining such number); (iii) the Redemption Price; (iv) the place or places where the certificates evidencing such shares of Series C Preferred Stock are to be surrendered for payment of the Redemption Price; and (v) that
dividend rights on the shares to be redeemed will cease on the redemption date. 
 (c) Partial Redemption. In case of any
redemption of only part of the shares of Series C Preferred Stock at the time outstanding, the shares of Series C Preferred Stock to be redeemed shall be selected either pro rata from the holders of record of Series C Preferred Stock in
proportion to the number of Series C Preferred Stock held by such holders or by lot or in such other manner as the Board of Directors of the Corporation or any duly authorized committee of the Board of Directors of the Corporation may determine to
be fair and equitable. Subject to the provisions of this Section 6, the Board of Directors of the Corporation or any duly authorized committee of the Board of Directors shall have full power and authority to prescribe the terms and conditions
upon which shares of Series C Preferred Stock shall be redeemed from time to time. 

  
 -6-

 (d) Effectiveness of Redemption. If notice of redemption has been duly given and if
on or before the redemption date specified in the notice all funds necessary for the redemption have been set aside by the Corporation, separate and apart from its other assets, for the benefit of the holders of the shares called for redemption, so
as to be and continue to be available therefor, or deposited by the Corporation with a bank or trust company selected by the Board of Directors of the Corporation or any duly authorized committee of the Board of Directors (the “Depositary
Company”) for the benefit of the holders of the shares called for redemption, then, notwithstanding that any certificate for any share so called for redemption has not been surrendered for cancellation, on and after the redemption date all
shares so called for redemption shall cease to be outstanding, all dividend rights with respect to such shares will cease on the redemption date, and all rights with respect to such shares shall forthwith on such redemption date cease and terminate,
except only the right of the holders thereof to receive the amount payable on such redemption from the trust fund set aside by the Corporation or from the bank or trust company where the funds have been deposited at any time after the redemption
date from such funds, without interest. The Corporation shall be entitled to receive, from time to time, from the Depositary Company any interest accrued on such funds, and the holders of any shares called for redemption shall have no claim to any
such interest. Any funds so deposited and unclaimed at the end of three years from the redemption date shall, to the extent permitted by law, be released or repaid to the Corporation, and in the event of such repayment to the Corporation, the
holders of record of the shares so called for redemption shall be deemed to be unsecured creditors of the Corporation for an amount equivalent to the amount deposited as stated above for the redemption of such shares and so repaid to the
Corporation, but shall in no event be entitled to any interest. 
 Section 7. Voting Rights. The holders of Series C
Preferred Stock will have no voting rights and will not be entitled to elect any directors, except as expressly provided by law and except that: 
 (a) Supermajority Voting Rights—Amendments. Unless the vote or consent of the holders of a greater number of shares shall then be required by law, the affirmative vote or consent of the
holders of at least two-thirds of all of the shares of the Series C Preferred Stock at the time outstanding, voting separately as a single class, shall be required to authorize any amendment of the Articles of Organization (including this
Certificate of Designation and any other certificate of designation or any similar document relating to any series of preferred stock) or Bylaws which will materially and adversely affect the powers, preferences, privileges or rights of the Series C
Preferred Stock, taken as a whole; provided, however, that any increase in the amount of the authorized or issued Series C Preferred Stock or authorized preferred stock of the Corporation or the creation and issuance, or an increase in the
authorized or issued amount, of other series of preferred stock ranking equally with and/or junior to the Series C Preferred Stock with respect to the payment of dividends (whether such dividends are cumulative or non-cumulative) and/or the
distribution of assets upon voluntary or involuntary liquidation, dissolution or winding up of the affairs of the Corporation will not be deemed to adversely affect the powers, preferences, privileges or rights of the Series C Preferred Stock.

 (b) Supermajority Voting Rights—Priority. Unless the vote or consent of the holders of a greater number of shares
shall then be required by law, the affirmative vote or consent of the holders of at least two-thirds of all of the shares of the Series C Preferred Stock at the time 

  
 -7-

 
outstanding, voting separately as a single class, shall be required to issue, authorize or increase the authorized amount of, or to issue or authorize any obligation or security convertible into
or evidencing the right to purchase, any additional class or series of stock ranking senior to the shares of the Series C Preferred Stock and all other Parity Stock with respect to dividends or the distribution of assets upon liquidation,
dissolution or winding up of the Corporation. 
 (c) Special Voting Right. 

(i) Voting Right. If and whenever dividends on the Series C Preferred Stock or any other class or series of preferred stock that
ranks on parity with the Series C Preferred Stock as to payment of dividends, and upon which voting rights equivalent to those granted by this Section 7(c) have been conferred and are exercisable, have not been paid, or declared and set aside
for payment, in an aggregate amount equal, as to any class or series, to at least six quarterly Dividend Periods (whether consecutive or not) (a “Nonpayment”), the number of directors constituting the Board of Directors of the
Corporation shall be increased by two, and the holders of the Series C Preferred Stock (together with holders of any other series of the Corporation’s authorized preferred stock that ranks on parity with the Series C Preferred Stock as to
payment of dividends with equivalent voting rights), shall have the right, voting separately as a single class without regard to series, to the exclusion of the holders of Common Stock, to elect two directors of the Corporation to fill such newly
created directorships (and to fill any vacancies in the terms of such directorships), provided that the election of such directors must not cause the Corporation to violate the corporate governance requirements of the New York Stock Exchange (or
other exchange on which the Corporation’s securities may be listed) that listed companies must have a majority of independent directors and further provided that the Board of Directors of the Corporation shall at no time include more than two
such directors. Each such director elected by the holders of shares of Series C Preferred Stock and any other class or series of preferred stock having equivalent voting rights with the Series C Preferred Stock is a “Preferred
Director”. 
 (ii) Election. The election of the Preferred Directors will take place at any annual meeting of
shareholders or any special meeting of the holders of Series C Preferred Stock and any other class or series of the Corporation’s preferred stock that ranks on parity with Series C Preferred Stock as to payment of dividends and for which
dividends have not been paid, called as provided herein. At any time after the special voting power has vested pursuant to Section 7(c)(i) above, but prior to the initial election of the Preferred Directors, the secretary of the Corporation
may, and upon the written request of any holder of Series C Preferred Stock (addressed to the secretary at the Corporation’s principal office) must (unless such request is received less than 90 days before the date fixed for the next annual or
special meeting of the shareholders, in which event such election shall be held at such next annual or special meeting of shareholders), call a special meeting of the holders of Series C Preferred Stock, and any other class or series of preferred
stock that ranks on parity with Series C Preferred Stock as to payment of dividends and for which dividends have not been paid, for the election of the two directors to be elected by them as provided in Section 7(c)(iii) below. 

(iii) Notice for Special Meeting. Notice for a special meeting will be given in a similar manner to that provided in the
Corporation’s Bylaws for a special meeting of the shareholders. If the secretary of the Corporation does not call a special meeting within 20 days after receipt of 

  
 -8-

 
any such request, then any holder of Series C Preferred Stock may (at the Corporation’s expense) call such meeting, upon notice as provided in this Section 7(c)(iii), and for that
purpose will have access to the stock register of the Corporation. The Preferred Directors elected at any such special meeting will hold office until the next annual meeting of the Corporation’s shareholders unless they have been previously
terminated or removed pursuant to Section 7(c)(iv). In case any vacancy in the office of a Preferred Director occurs (other than prior to the initial election of the Preferred Directors), the vacancy may be filled by the written consent of the
Preferred Director remaining in office, or if none remains in office, by the vote of the holders of the Series C Preferred Stock (together with holders of any other class of the Corporation’s authorized preferred stock that ranks on parity with
Series C Preferred Stock as to payment of dividends with equivalent voting rights, whether or not the holders of such preferred stock would be entitled to vote for the election of directors if such default in dividends did not exist) to serve until
the next annual meeting of the shareholders. 
 (iv) Termination; Removal. Whenever full dividends have been paid
regularly on the Series C Preferred Stock and any other class or series of preferred stock that ranks on parity with the Series C Preferred Stock as to payment of dividends, if any, for at least four consecutive Dividend Periods following a
Nonpayment event, then the right of the holders of Series C Preferred Stock to elect such additional two directors will cease (but subject always to the same provisions for the vesting of the special voting rights in the case of any subsequent
Nonpayment). The terms of office of the Preferred Directors will immediately terminate and the number of directors constituting the Corporation’s board of directors will be automatically reduced accordingly. When the voting rights described in
this Section 7(c) are in effect, any Preferred Director may be removed at any time without cause by the holders of record of a majority of the outstanding shares of Series C Preferred Stock (together with holders of any other class of the
Corporation’s authorized preferred that ranks on party with the Series C Preferred Stock as to payment of dividends with equivalent voting rights, whether or not the holders of such preferred stock would be entitled to vote for the election of
directors if such default in dividends did not exist). 
 (d) Changes for Clarification. Without the consent of the
holders of Series C Preferred Stock, so long as such action does not adversely affect the powers, preferences, privileges or rights thereof, of the Series C Preferred Stock, the Corporation may amend, alter, supplement or repeal any terms of the
Series C Preferred Stock: 
 (i) to cure any ambiguity, or to cure, correct or supplement any provision contained in this
Certificate of Designation that may be defective or inconsistent; or 
 (ii) to make any provision with respect to
matters or questions arising with respect to the Series C Preferred Stock that is not inconsistent with the provisions of this Certificate of Designation. 
 (e) Changes after Provision for Redemption. No vote or consent of the holders of Series C Preferred Stock shall be required pursuant to Section 7(a), 7(b) or 7(c) above if, at or prior to the
time when any such vote or consent would otherwise be required pursuant to such Section, all outstanding shares of Series C Preferred Stock shall have been redeemed, or shall have been called for redemption upon proper notice and sufficient funds
shall have been set aside for such redemption, in each case pursuant to Section 6 above. 

  
 -9-

 (f) Inapplicability of Section 11.04(6) of the Act. The holders of Series C
Preferred Stock are not entitled to vote as a separate class or series or voting group (including without limitation, alone or together with one or more other classes or series of shares) with respect to any plan of merger or share exchange solely
as a result of Section 11.04(6) of the MBCA (or any similar successor provision of the MBCA). 
 Section 8.
Conversion. The holders of Series C Preferred Stock shall not have any rights to convert such Series C Preferred Stock into shares of any other class of capital stock of the Corporation. 

Section 9. Rank. Notwithstanding anything set forth in the Articles of Organization, the Bylaws or this Certificate of
Designation to the contrary, the Board of Directors of the Corporation or any duly authorized committee of the Board of Directors of the Corporation, without the vote of the holders of the Series C Preferred Stock, may authorize and issue additional
shares of Junior Stock, Parity Stock or, subject to the voting rights granted in Section 7(b), any class of securities ranking senior to the Series C Preferred Stock as to dividends and the distribution of assets upon any voluntary or
involuntary liquidation, dissolution or winding up of the affairs of the Corporation. 
 Section 10. Repurchase.
Subject to the limitations imposed herein, the Corporation may purchase Series C Preferred Stock from time to time to such extent, in such manner, and upon such terms as the Board of Directors of the Corporation or any duly authorized committee of
the Board of Directors of the Corporation may determine; provided, however, that the Corporation shall not use any of its funds for any such purchase when there are reasonable grounds to believe that the Corporation is, or by such
purchase would be, rendered insolvent. 
 Section 11. Unissued or Reacquired Shares. Shares of Series C Preferred
Stock not issued or which have been issued, redeemed or otherwise purchased or acquired by the Corporation shall be restored to the status of authorized but unissued shares of preferred stock without designation as to series. 

Section 12. No Sinking Fund. The Series C Preferred Stock will not be subject to any mandatory redemption, sinking fund or
other similar provisions. Holders of Series C Preferred Stock will have no right to require redemption or repurchase of any shares of Series C Preferred Stock. 
 Section 13. Record Holders. To the fullest extent permitted by applicable law, the Corporation and any transfer agent for the Series C Preferred Stock may deem and treat the record holder of
any share of Series C Preferred Stock as the true and lawful owner thereof for all purposes, and neither the Corporation nor such transfer agent shall be affected by any notice to the contrary. 

Section 14. Notices. All notices or communications in respect of the Series C Preferred Stock shall be sufficiently given if
given in writing and delivered in person or by first class mail, postage prepaid, or if given in such other manner as may be permitted in this Certificate of Designation, the Corporation’s Articles of Organization or Bylaws or by applicable
law. 

  
 -10-

 Section 15. No Preemptive Rights. No share of Series C Preferred Stock shall
have any rights of preemption whatsoever as to any securities of the Corporation, or any warrants, rights or options issued or granted with respect thereto, regardless of how such securities, or such warrants, rights or options, may be designated,
issued or granted. 
 Section 16. Other Rights. The shares of Series C Preferred Stock shall not have any voting
powers, preferences or relative, participating, optional or other special rights, or qualifications, limitations or restrictions thereof, other than as set forth herein or in the Articles of Organization or as provided by applicable law. 

[Reminder of Page Intentionally Left Blank] 

  
 -11-

 IN WITNESS WHEREOF, State Street Corporation has caused this Certificate of Designations to
be signed by Jeffrey N. Carp, its Executive Vice President, Chief Legal Officer and Secretary, this 14th day of August 2012. 
  

			
	STATE STREET CORPORATION
		
	By:	 	 /s/ Jeffrey N. Carp

	Name:	 	Jeffrey N. Carp
	Title:	 	Executive Vice President, Chief Legal Officer and Secretary

  
 -12-

  
  

 
  

	
	
	
	 [ILLEGIBLE]

	Examiner
	
	 /s/ KK

	Name approval
	
	  

	C
	
	  

	M

 

 COMMONWEALTH OF MASSACHUSETTS 

William Francis Galvin 
 Secretary of the Commonwealth 
 One Ashburton Place, Boston, Massachusetts
02108-1512 
 Articles of Amendment 
 (General Laws Chapter 156D, Section 10.06; 950 CMR 113.34) 

I hereby certify that upon examination of these articles of amendment, it appears that the provisions of the General Laws
relative thereto have been complied with, and the filing fee in the amount of $100 having been paid, said articles are deemed to have been filed with me this 15th day of August, 2012, at 11:52 a.m./p.m.  

time                   

 

					
	Effective date:	 	  
	 	
		 	(must be within 90 days of date submitted)	 	

 /s/ William Francis Galvin 
 WILLIAM FRANCIS GALVIN 
 Secretary of the Commonwealth 

Filing fee: Minimum filing fee $100 per article amended, stock increases $100 per 100,000 shares, plus $100 for each additional 100,000 shares or any
fraction thereof. 
 TO BE FILLED IN BY CORPORATION 
 Contact Information: 
  

					
	 Mark Devine c/o WilmerHale
	 	
		
	 60 State Street
	 	
		
	 Boston, Massachusetts 02109
	 	
			
	Telephone:	 	 617 526 5122
	 	

					
			
	Email:	 	 mark.devine@wilmerhale.com
	 	

 Upon filing, a copy of this filing will be available at www.sec.state.ma.us/cor. If the document is rejected, a copy of
the rejection sheet and rejected document will be available in the rejected queue.

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