Document:

EX-10.1

 Exhibit 10.1 

FIRST AMENDMENT TO AMENDED AND RESTATED CREDIT AGREEMENT 

THIS FIRST AMENDMENT TO AMENDED AND RESTATED CREDIT AGREEMENT (the “Amendment”), dated as of December 13, 2013, amends that
certain Amended and Restated Credit Agreement dated as of March 27, 2013 (the “Credit Agreement”), by and among KOPPERS INC., a Pennsylvania corporation (the “Borrower”), the GUARANTORS (as defined in the Credit Agreement),
the LENDERS (as defined in the Credit Agreement), and PNC BANK, NATIONAL ASSOCIATION, as Administrative Agent (the “Administrative Agent”). 

WITNESSETH: 

WHEREAS, Borrower has requested the Lenders to increase their Revolving Credit Commitments by an aggregate amount of $50,000,000 in accordance
with Section 2.11 of the Credit Agreement, and the Increasing Lenders have agreed to such increases as described in this Amendment. Capitalized terms not otherwise defined in this Amendment have the meanings given to them in the Credit
Agreement. 
 WHEREAS, the Borrower also has requested (i) that the Lenders allow for additional increases in the Revolving Credit
Commitments in excess of $350,000,000, and (ii) the Lenders agree to modify the covenant with respect to permitted guaranties under the Credit Agreement, and the Lenders have agreed to the foregoing, subject to the terms set forth in this
Amendment. 
 NOW, THEREFORE, the parties hereto, in consideration of their mutual covenants and agreements herein contained and intending
to be legally bound hereby, covenant and agree as follows: 
 1. Recitals. The foregoing recitals are true and correct and
incorporated herein by reference. 
 2. Amendments to Credit Agreement. 

(a) Section 1.1 [Defined Terms]. The following new defined terms are hereby inserted in Section 1.1 of the Credit Agreement
in alphabetical order: 
 “First Amendment shall mean the First Amendment to Amended and Restated Credit Agreement, dated as of
December 13, 2013.” 
 “First Amendment Effective Date shall mean the date upon which the First Amendment became
effective pursuant to its terms.” 

 (b) Section 2.11 [Increase in Revolving Credit Commitments] of the Credit Agreement is
hereby amended and restated as follows: 
 “2.11 Increase in Revolving Credit Commitments. 

2.11.1 Increasing Lenders and New Lenders. The Borrower may, at any time from and after the First Amendment Effective Date and
prior to the Expiration Date, but not more often than two (2) times during the term of this Agreement, request that (1) the current Lenders increase their Revolving Credit Commitments (any current Lender which elects to increase its
Revolving Credit Commitment shall be referred to as an “Increasing Lender”) or (2) one or more new lenders reasonably satisfactory to the Borrower and the Administrative Agent (each a “New Lender”) join this
Agreement and provide a Revolving Credit Commitment hereunder, subject to the following terms and conditions: 
 (i) No
Obligation to Increase. No current Lender shall be obligated to increase its Revolving Credit Commitment and any increase in the Revolving Credit Commitment by any current Lender shall be in the sole discretion of such current Lender. 

(ii) Defaults. There shall exist no Events of Default or Potential Default on the effective date of such increase after
giving effect to such increase. 
 (iii) Aggregate Revolving Credit Commitments. The aggregate amount of such
additional increases shall not exceed $100,000,000, and after giving effect to such increase, the total Revolving Credit Commitments shall not exceed $450,000,000. 

(iv) Resolutions; Opinion. The Loan Parties shall deliver to the Administrative Agent on or before the effective date of
such increase the following documents in a form reasonably acceptable to the Administrative Agent: (1) certifications of their corporate secretaries with attached resolutions certifying that the increase in the Revolving Credit Commitment has
been approved by such Loan Parties, and (2) an opinion of counsel addressed to the Administrative Agent and the Lenders addressing the authorization and execution of the Loan Documents by, and enforceability of the Loan Documents against, the
Loan Parties. 
 (v) Notes. The Borrower shall execute and deliver (1) to each Increasing Lender a replacement
revolving credit Note reflecting the new amount of such Increasing Lender’s Revolving Credit Commitment after giving effect to the increase (and the prior Note issued to such Increasing Lender shall be deemed to be terminated) and (2) to
each New Lender a revolving credit Note reflecting the amount of such New Lender’s Revolving Credit Commitment. 
 (vi)
Increasing Lenders. Each Increasing Lender shall confirm its agreement to increase its Revolving Credit Commitment pursuant to an acknowledgement in a form acceptable to the Administrative Agent, signed by it and the Borrower and delivered to
the Administrative Agent at least five (5) days before the effective date of such increase. 
 (vii) New
Lenders—Joinder. Each New Lender shall execute a lender joinder in substantially the form of Exhibit 2.11 pursuant to which such New Lender shall join and become a party to this Agreement and the other Loan Documents with a Revolving
Credit Commitment in the amount set forth in such lender joinder. 

  
 2 

 2.11.2 Treatment of Outstanding Loans and Letters of Credit. 

(i) Repayment of Outstanding Loans; Borrowing of New Loans. On the effective date of such increase, the Borrower shall
repay all Loans then outstanding, subject to the Borrower’s indemnity obligations under Section 5.10 [Indemnity]; provided that it may borrow new Loans with a Borrowing Date on such date. Each of the Lenders shall participate in any
new Loans made on or after such date in accordance with their respective Ratable Shares after giving effect to the increase in Revolving Credit Commitments contemplated by this Section 2.11. 

(ii) Outstanding Letters of Credit. Repayment of Outstanding Loans; Borrowing of New Loans. On the effective date of
such increase, each Increasing Lender and each New Lender (i) will be deemed to have purchased a participation in each then outstanding Letter of Credit equal to its Ratable Share of such Letter of Credit and the participation of each other
Lender in such Letter of Credit shall be adjusted accordingly and (ii) will acquire, (and will pay to the Administrative Agent, for the account of each Lender, in immediately available funds, an amount equal to) its Ratable Share of all
outstanding Participation Advances.” 
 (c) Subsection (iii) of Section 8.2.1 [Indebtedness] of the Credit Agreement is
hereby amended and restated as follows: 
 “(iii) Indebtedness of a Loan Party to another Loan Party which is subordinated in
accordance with the provisions of Section 8.1.12 [Subordination of Intercompany Loans], and Indebtedness of Foreign Subsidiaries to the Loan Parties and their Subsidiaries to the extent permitted under Section 8.2.4(vi);” 

(d) Schedule 1.1(B) [Commitments of Lenders and Addresses for Notices] to the Credit Agreement is hereby amended and restated in its
entirety in the form attached hereto as Schedule 1.1(B). 
 3. Conditions Precedent. The Borrower, the Guarantors and the
Lenders acknowledge that this Amendment shall not be effective until the date each of the following conditions precedent has been satisfied (such date is referred to herein as the “Effective Date”): 

(a) The Borrower, the Guarantors, the Increasing Lenders, the Required Lenders, and the Administrative Agent shall have executed, and
delivered to the Administrative Agent, this Amendment; 
 (b) The Borrower shall have delivered to the Administrative Agent a closing
certificate dated the Effective Date certifying to the accuracy of representations and warranties, compliance with covenants and conditions and absence of any Potential Default or Event of Default under the Credit Agreement; 

  
 3 

 (c) The Borrower shall have delivered to the Administrative Agent for the benefit of each Lender
a certificate dated the Effective Date and signed by the Secretary or an Assistant Secretary of each of the Loan Parties, certifying as appropriate as to: 

(i) all action taken by each Loan Party in connection with this Amendment and the other Loan Documents; 

(ii) the names of the officer or officers authorized to sign this Amendment and the other Loan Documents and the true
signatures of such officer or officers and specifying the Authorized Officers permitted to act on behalf of each Loan Party for purposes of this Amendment and the true signatures of such Authorized Officers, on which the Administrative Agent and
each Lender may conclusively rely; and 
 (iii) copies of its organizational documents, including its certificate of
incorporation, bylaws, certificate of limited partnership, partnership agreement, certificate of formation, and limited liability company agreement as in effect on the date of this Amendment, certified by the corporate secretary of other appropriate
officer, or alternatively, a certification by such corporate secretary or other appropriate officer that such documents remain unchanged and in full force and effect since the time of the certification provided to the Administrative Agent and the
Lenders on March 27, 2013; 
 (d) Since December 31, 2012, no Material Adverse Change shall have occurred with respect to the
Borrower or any of the Guarantors; 
 (e) No default or event of default shall have occurred or will occur under the terms of any other
agreement involving borrowed money or the extension of credit or any other Indebtedness under which any Loan Party or Subsidiary of any Loan Party may be obligated as a borrower or guarantor as a result of and after giving effect to the transactions
contemplated by this Amendment; 
 (f) The Borrower shall have executed and delivered to the Administrative Agent, for further delivery to
the applicable Lenders, a replacement Revolving Credit Note in the stated principal amount of each Increasing Lender’s Revolving Credit Commitment set forth on Schedule 1.1(B), as amended and restated pursuant to this Amendment. 

(g) The Borrower and the Guarantors shall have obtained all approvals and consents necessary to consummate the transactions contemplated by
this Amendment; 
 (h) The Borrower shall have paid to the Administrative Agent all fees required to be paid in connection with this
Amendment, and the Borrower shall have reimbursed the Administrative Agent all fees and expenses, including without limitation, attorneys’ fees, for which the Administrative Agent is entitled to be reimbursed; and 

(i) All legal details and proceedings in connection with the transactions contemplated by this Amendment and all other Loan Documents to be
delivered to the Lenders shall be in form and substance reasonably satisfactory to the Administrative Agent. 

  
 4 

 4. Incorporation into Credit Agreement. This Amendment shall be incorporated into the
Credit Agreement by this reference. 
 5. Full Force and Effect. Except as expressly modified by this Amendment, all of the terms,
conditions, representations, warranties and covenants of the Credit Agreement and the other Loan Documents are true and correct and shall continue in full force and effect without modification, including without limitation, all liens and security
interests securing the Borrower’s indebtedness to the Lenders and all Guaranty Agreements executed and delivered by the Guarantors. The Loan Parties acknowledge and agree that such liens and security interests and guaranty obligations extend to
the increased amount of the Obligations which result from the increase of the Revolving Credit Commitments pursuant to this Amendment, and no novation with respect to the Indebtedness of the Loan Parties to the Lender and their Affiliates is
intended or shall result from such increase. 
 6. Reimbursement of Expenses. The Borrower unconditionally agrees to pay and
reimburse the Administrative Agent and save the Administrative Agent harmless against liability for the payment of reasonable out-of-pocket costs, expenses and disbursements, including without limitation, fees and expenses of counsel incurred by the
Administrative Agent in connection with the development, preparation, execution, administration, interpretation or performance of this Amendment and all other documents or instruments to be delivered in connection herewith. 

7. Counterparts. This Amendment may be executed by different parties hereto in any number of separate counterparts, each of which, when
so executed and delivered shall be an original and all such counterparts shall together constitute one and the same instrument. 
 8.
Entire Agreement. This Amendment sets forth the entire agreement and understanding of the parties with respect to the transactions contemplated hereby and supersedes all prior understandings and agreements, whether written or oral, between
the parties hereto relating to the subject matter hereof. No representation, promise, inducement or statement of intention has been made by any party which is not embodied in this Amendment, and no party shall be bound by or liable for any alleged
representation, promise, inducement or statement of intention not set forth herein. 
 9. Governing Law. This Amendment shall be
deemed to be a contract under the laws of the Commonwealth of Pennsylvania and for all purposes shall be governed by and construed and enforced in accordance with the internal laws of the Commonwealth of Pennsylvania without regard to its conflict
of laws principles. 
 [SIGNATURE PAGES FOLLOW] 

  
 5 

 [SIGNATURE PAGE TO FIRST AMENDMENT TO 

AMENDED AND RESTATED CREDIT AGREEMENT] 

IN WITNESS WHEREOF, the parties hereto, by their officers thereunto duly authorized, have executed this First Amendment as of the day and year
first above written. 
  

			
	KOPPERS INC.
		
	By:	 	 /s/ Louann E. Tronsberg Deihle

	Name:	 	 Louann E. Tronsberg Deihle

	Title:	 	 Treasurer

 [SIGNATURE PAGE TO FIRST AMENDMENT TO 

AMENDED AND RESTATED CREDIT AGREEMENT] 
  

 
			
	KOPPERS HOLDINGS INC.
		
	By:	 	 /s/ Louann E. Tronsberg Deihle

	Name:	 	 Louann E. Tronsberg Deihle

	Title:	 	 Treasurer

 [SIGNATURE PAGE TO FIRST AMENDMENT TO 

AMENDED AND RESTATED CREDIT AGREEMENT] 
  

 
			
	KOPPERS WORLD-WIDE VENTURES CORPORATION
		
	By:	 	 /s/ Louann E. Tronsberg Deihle

	Name:	 	 Louann E. Tronsberg Deihle

	Title:	 	 Vice President

 [SIGNATURE PAGE TO FIRST AMENDMENT TO 

AMENDED AND RESTATED CREDIT AGREEMENT] 
  

 
			
	KOPPERS DELAWARE, INC.
		
	By:	 	 /s/ Louann E. Tronsberg Deihle

	Name:	 	 Louann E. Tronsberg Deihle

	Title:	 	 Treasurer

 [SIGNATURE PAGE TO FIRST AMENDMENT TO 

AMENDED AND RESTATED CREDIT AGREEMENT] 
  

 
			
	KOPPERS ASIA LLC
		
	By:	 	 /s/ Louann E. Tronsberg Deihle

	Name:	 	 Louann E. Tronsberg Deihle

	Title:	 	 Treasurer

 [SIGNATURE PAGE TO FIRST AMENDMENT TO 

AMENDED AND RESTATED CREDIT AGREEMENT] 
  

 
			
	KOPPERS CONCRETE PRODUCTS, INC.
		
	By:	 	 /s/ Louann E. Tronsberg Deihle

	Name:	 	 Louann E. Tronsberg Deihle

	Title:	 	 Treasurer

 [SIGNATURE PAGE TO FIRST AMENDMENT TO 

AMENDED AND RESTATED CREDIT AGREEMENT] 
  

 
			
	CONCRETE PARTNERS, INC.
		
	By:	 	 /s/ Louann E. Tronsberg Deihle

	Name:	 	 Louann E. Tronsberg Deihle

	Title:	 	 Treasurer

 [SIGNATURE PAGE TO FIRST AMENDMENT TO 

AMENDED AND RESTATED CREDIT AGREEMENT] 
  

 
			
	KOPPERS VENTURES LLC
		
	By:	 	 /s/ Louann E. Tronsberg Deihle

	Name:	 	 Louann E. Tronsberg Deihle

	Title:	 	 Treasurer & Assistant Secretary

 [SIGNATURE PAGE TO FIRST AMENDMENT TO 

AMENDED AND RESTATED CREDIT AGREEMENT] 
  

 
			
	PNC BANK, NATIONAL ASSOCIATION, individually and as Administrative Agent
		
	By:	 	 /s/ Tracy J. DeCock

	Name:	 	Tracy J. DeCock
	Title:	 	Senior Vice President

 [SIGNATURE PAGE TO FIRST AMENDMENT TO 

AMENDED AND RESTATED CREDIT AGREEMENT] 
  

 
			
	CITIZENS BANK OF PENNSYLVANIA, individually and as Syndication Agent
		
	By:	 	 /s/ Carl S. Tabacjar, Jr.

	Name:	 	 Carl S. Tabacjar, Jr.

	Title:	 	 Vice President

 [SIGNATURE PAGE TO FIRST AMENDMENT TO 

AMENDED AND RESTATED CREDIT AGREEMENT] 
  

 
			
	BANK OF AMERICA, N.A.,
	individually and as Documentation Agent
		
	By:	 	 /s/ Beth A. Henry

	Name:	 	 Beth A. Henry

	Title:	 	 Vice President

 [SIGNATURE PAGE TO FIRST AMENDMENT TO 

AMENDED AND RESTATED CREDIT AGREEMENT] 
  

 
			
	WELLS FARGO BANK, N.A., individually and as Syndication Agent
		
	By:	 	 /s/ J. Barrett Donovan

	Name:	 	 J. Barrett Donovan

	Title:	 	 Senior Vice President

 [SIGNATURE PAGE TO FIRST AMENDMENT TO 

AMENDED AND RESTATED CREDIT AGREEMENT] 
  

 
			
	FIRST COMMONWEALTH BANK, individually and as Syndication Agent
		
	By:	 	 /s/ Joe Hynds

	Name:	 	 Joe Hynds

	Title:	 	 Senior Vice President

 [SIGNATURE PAGE TO FIRST AMENDMENT TO 

AMENDED AND RESTATED CREDIT AGREEMENT] 
  

 
			
	FIFTH THIRD BANK
		
	By:	 	 /s/ Michael S. Barnett

	Name:	 	 Michael S. Barnett

	Title:	 	 Managing Director

 [SIGNATURE PAGE TO FIRST AMENDMENT TO 

AMENDED AND RESTATED CREDIT AGREEMENT] 
  

 
			
	THE BANK OF TOKYO-MITSUBISHI UFJ, LTD.
		
	By:	 	 /s/ Mustafa I.A. Kahn

	Name:	 	 Mustafa Khan

	Title:	 	 Director

 [SIGNATURE PAGE TO FIRST AMENDMENT TO 

AMENDED AND RESTATED CREDIT AGREEMENT] 
  

 
			
	FIRST NATIONAL BANK OF PENNSYLVANIA
		
	By:	 	 /s/ Dennis F. Lennon

	Name:	 	 Dennis F. Lennon

	Title:	 	 Vice President

 [SIGNATURE PAGE TO FIRST AMENDMENT TO 

AMENDED AND RESTATED CREDIT AGREEMENT] 
  

 
			
	THE HUNTINGTON NATIONAL BANK
		
	By:	 	 /s/ Michael Kiss

	Name:	 	 Michael Kiss

	Title:	 	 Vice President

 [SIGNATURE PAGE TO FIRST AMENDMENT TO 

AMENDED AND RESTATED CREDIT AGREEMENT] 
  

 
			
	TRISTATE CAPITAL BANK
		
	By:	 	 /s/ Paul J. Oris

	Name:	 	 Paul J. Oris

	Title:	 	 Senior Vice President

 SCHEDULE 1.1(B) 

COMMITMENTS OF LENDERS AND ADDRESSES FOR NOTICES 

Part 1 - Commitments of Lenders and Addresses for Notices to Lenders 
  

															
	 Lender
	  	Amount of
Commitment for
Revolving Credit
Loans	 	  	Commitment	 	  	Ratable Share	 
					
	 Name:
	  	PNC Bank, National Association	  	$	65,166,666.66	  	  	$	65,166,666.66	  	  	 	18.619047617	% 
	 Address:
	  	 Three PNC Plaza
 225 Fifth Avenue

Pittsburgh, Pennsylvania 15222
	  				  				  			
	 Attention:
	  	 Tracy J. DeCock, Senior Vice President

tracy.decock@pnc.com
	  				  				  			
	 Telephone:
	  	(412) 762-9999	  				  				  			
	 Telecopy:
	  	(412) 762-4718	  				  				  			
	  
 with a copy to:

 
	  				  				  			
	 Name:
	  	PNC Agency Services	  				  				  			
	 Address:
	  	 PNC Bank, National Association
 PNC Firstside
Center
 500 First Avenue
 Pittsburgh, Pennsylvania
15219
	  				  				  			
	 Attention:
	  	 Rini Davis

rini.davis@pnc.com
	  				  				  			
	 Telephone:
	  	(412) 762-7638	  				  				  			
	 Telecopy:
	  	(412) 762-8672	  				  				  			
					
	 Name:
	  	Citizens Bank of Pennsylvania	  	$	53,500,000.00	  	  	$	53,500,000.00	  	  	 	15.285714286	% 
	 Address:
	  	 525 William Penn Place – 153-2910

Pittsburgh, Pennsylvania 15219-1729
	  				  				  			
	 Attention:
	  	 Philip R. Medsger, Senior Vice President

philip.r.medsger@rbscitizens.com
	  				  				  			
	 Telephone:
	  	(412) 867-2384	  				  				  			
	 Telecopy:
	  	(412) 552-6306	  				  				  			
					
	 Name:
	  	Bank of America, N.A.	  	$	47,666,666.67	  	  	$	47,666,666.67	  	  	 	13.619047620	% 
	 Address:
	  	 Four Penn Center, Suite 1100, 1600 JFK Blvd.

Philadelphia, PA 19103
  
	  				  				  			
	 Attention:
	  	 Joseph E. Flynn, Senior Vice President

Joseph.flynn@baml.com
	  				  				  			
	 Telephone:
	  	(267) 675-0214	  				  				  			
	 Telecopy:
	  	(212) 909-8551	  				  				  			

															
	 Lender
	  	Amount of
Commitment for
Revolving Credit
Loans	 	  	Commitment	 	  	Ratable Share	 
					
	 Name:
	  	Wells Fargo Bank, N.A.	  	$	47,666,666.67	  	  	$	47,666,666.67	  	  	 	13.619047620	% 
	 Address:
	  	 444 Liberty Avenue, Suite 1400
 Pittsburgh,
PA 15222
	  				  				  			
	 Attention:
	  	 J. Barrett Donovan, Vice President

b.donovan@wellsfargo.com
	  				  				  			
	 Telephone:
	  	(412) 454-4603	  				  				  			
	 Telecopy:
	  	(412) 454-4609	  				  				  			
					
	 Name:
	  	Fifth Third Bank	  	$	36,000,000.00	  	  	$	36,000,000.00	  	  	 	10.285714286	% 
	 Address:
	  	 707 Grant Street, 20th Floor

Pittsburgh, Pennsylvania 15219
	  				  				  			
	 Attention:
	  	 Michael S. Barnett

Michael.Barnett@53.com
	  				  				  			
	 Telephone:
	  	(412) 291-5457	  				  				  			
	 Telecopy:
	  	(412) 291-5411	  				  				  			
					
	 Name:
	  	First Commonwealth Bank	  	$	30,000,000.00	  	  	$	30,000,000.00	  	  	 	8.571428571	% 
	 Address:
	  	 Frick Building - Suite 1600
 437 Grant
Street
 Pittsburgh, Pennsylvania 15219
	  				  				  			
	 Attention:
	  	 Joe Hynds

JHynds@fcbanking.com
	  				  				  			
	 Telephone:
	  	(412) 690-2202	  				  				  			
	 Telecopy:
	  	(412) 690-2206	  				  				  			
					
	 Name:
	  	The Bank of Tokyo-Mitsubishi UFJ, Ltd.	  	$	23,333,333.33	  	  	$	23,333,333.33	  	  	 	6.666666666	% 
	 Address:
	  	 1251 Avenue of the Americas
 New York, New
York 10020-1104
	  				  				  			
	 Attention:
	  	 Stephen Hall

shall@us.mufg.jp
	  				  				  			
	 Telephone:
	  	(212) 782-4394	  				  				  			
	 Telecopy:
	  	(212) 782-6445	  				  				  			
					
	 Name:
	  	First National Bank of Pennsylvania	  	$	23,333,333.33	  	  	$	23,333,333.33	  	  	 	6.666666666	% 
	 Address:
	  	 One North Shore, 12 Federal St, Ste. 500

Pittsburgh, Pennsylvania 15212
	  				  				  			
	 Attention:
	  	 Dennis F. Lennon, Vice President

lennon@fnb-corp.com
	  				  				  			
	 Telephone:
	  	(412) 395-2042	  				  				  			
	 Telecopy:
	  	(412) 231-3584	  				  				  			

															
	 Lender
	  	Amount of
Commitment for
Revolving Credit
Loans	 	  	Commitment	 	  	Ratable Share	 
					
	 Name:
	  	The Huntington National Bank	  	$	11,666,666.67	  	  	$	11,666,666.67	  	  	 	3.333333333	% 
	 Address:
	  	 125 South Wacker Dr., Suite 2840
 HCCHIL

Chicago, Illinois 60606
	  				  				  			
	 Attention:
	  	 Michael Kiss

michael.kiss@huntington.com
	  				  				  			
	 Telephone:
	  	(312) 762-2163	  				  				  			
	 Telecopy:
	  	(877) 433-8992	  				  				  			
					
	 Name:
	  	TriState Capital Bank	  	$	11,666,666.67	  	  	$	11,666,666.67	  	  	 	3.333333333	% 
	 Address:
	  	 One Oxford Centre - Suite 2700
 Pittsburgh,
Pennsylvania 15219
	  				  				  			
	 Attention:
	  	 Paul J. Oris, Senior Vice President

poris@tscbank.com
	  				  				  			
	 Telephone:
	  	(412) 304-0344	  				  				  			
	 Telecopy:
	  	(412) 304-0391	  				  				  			
		  		  	  
	  
	 	  	  
	  
	 	  	  
	  
	 
				
	 TOTAL
	  	$	350,000,000.00	  	  	$	350,000,000.00	  	  	 	100.000000000	% 
		  		  	  
	  
	 	  	  
	  
	 	  	  
	  
	 

 SCHEDULE 1.1(B) 

COMMITMENTS OF LENDERS AND ADDRESSES FOR NOTICES 

Part 2 - Addresses for Notices to Borrower and Guarantors: 

ADMINISTRATIVE AGENT 
  

			
	Name:	  	PNC Bank, National Association
	Address:	  	Three PNC Plaza
		  	225 Fifth Avenue
		  	Pittsburgh, Pennsylvania 15222
	Attention:	  	Tracy J. DeCock, Senior Vice President
		  	tracy.decock@pnc.com
	Telephone:	  	(412) 762-9999
	Telecopy:	  	(412) 762-4718
	
	with a copy to:
		
	Name:	  	PNC Agency Services
	Address:	  	PNC Bank, National Association
		  	PNC Firstside Center
		  	500 First Avenue
		  	Pittsburgh, Pennsylvania 15219
	Attention:	  	Rini Davis
	Telephone:	  	(412)762-7638
	Telecopy:	  	(412)762-8672
	
	BORROWER:
		
	Name:	  	Koppers Inc.
	Address:	  	436 Seventh Avenue
		  	Pittsburgh, Pennsylvania 15219
	Attention:	  	Louann E. Tronsberg-Deihle
	Telephone:	  	(412) 227-2472
	Telecopy:	  	(412) 227-2159    

			
	GUARANTORS:
		
	Name:	  	[Name]
		  	c/o Koppers Inc.
	Address:	  	436 Seventh Avenue
		  	Pittsburgh, Pennsylvania 15219
	Attention:	  	Louann E. Tronsberg-Deihle
	Telephone:	  	(412) 227-2472
	Telecopy:	  	(412) 227-2159<![CDATA[Certificate of Designation of Wells Fargo & Company]]>

 Exhibit 4.1 

WELLS FARGO & COMPANY 
  

 
 CERTIFICATE
OF DESIGNATION 
 Pursuant to Section 151(g) of the 

General Corporation Law 
 of the
State of Delaware 
  
  

6.625% FIXED-TO-FLOATING RATE NON-CUMULATIVE PERPETUAL 

CLASS A PREFERRED STOCK, SERIES R 

(Without Par Value) 
  

 
 WELLS
FARGO & COMPANY, a corporation organized and existing under the laws of the State of Delaware (the “Corporation”), HEREBY CERTIFIES that, pursuant to authority conferred upon the Board of Directors of the Corporation (the
“Board of Directors”) by the provisions of the Restated Certificate of Incorporation of the Corporation, as amended, which authorize the issuance of not more than 20,000,000 shares of Preferred Stock, without par value, and pursuant
to authority conferred upon the Securities Committee of the Board of Directors (the “Committee”) in accordance with Section 141(c) of the General Corporation Law of the State of Delaware (the “General Corporation
Law”), the following resolutions were duly adopted by the Committee pursuant to the unanimous written consent of the Committee duly adopted on December 11, 2013, in accordance with Section 141(f) of the General Corporation Law:

 RESOLVED, that pursuant to the authority vested in the Committee and in accordance with the resolutions of the
Board of Directors dated January 27, 2009, the provisions of the Restated Certificate of Incorporation, the By-laws of the Corporation, and applicable law, a series of Preferred Stock, no par value, of the Corporation be and hereby is created,
and that the designation and number of shares of such series, and the voting and other powers, designations, preferences and relative, participating, optional or other rights, and the qualifications, limitations and restrictions thereof, of the
shares of such series, are as follows: 
 RIGHTS AND PREFERENCES 

Section 1.        Designation. The shares of such series of Preferred Stock shall be
designated 6.625% Fixed-to-Floating Rate Non-Cumulative Perpetual Class A Preferred Stock, Series R, with no par value and a liquidation preference amount of $25,000 per share (the “Series R Preferred Stock”). Each share
of Series R Preferred Stock shall be identical in all respects to every other share of Series R Preferred Stock except with respect to the date from which dividends may accrue. Series R Preferred Stock will rank equally with Parity Stock with
respect to the payment of dividends and distribution of assets in the event of any voluntary or involuntary liquidation, dissolution or winding up of the affairs of the Corporation and will rank senior to Junior Stock with respect to the payment of
dividends and/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 R Preferred Stock shall be 34,500. Such number may from time to time be increased (but not in excess of the total number of authorized shares of Preferred Stock) or decreased (but not below the number of
shares of Series R Preferred Stock then outstanding) by further resolution 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 a certificate
pursuant to the provisions of the General Corporation Law stating that such increase or decrease, as the case may be, has been so authorized. The Corporation shall have the authority to issue fractional shares of Series R Preferred Stock. 

Section 3.        Definitions. As used herein with respect to Series R Preferred
Stock: 
 “Business Day” means for dividends payable for the Fixed Rate Period (as defined below) any day, other than a
Saturday or Sunday, that is neither a legal holiday nor a day on which banking institutions are authorized or required by law or regulation to close in New York, New York, and for dividends payable for the Floating Rate Period (as defined below), it
means any date that would be considered a Business Day during the Fixed Rate Period that is also a London Banking Day (as defined below). 

“Calculation Agent” means Wells Fargo Bank, N.A. or any other successor appointed by the Corporation, acting as Calculation
Agent. 
 “Certificate of Designation” means this Certificate of Designation relating to the Series R Preferred Stock, as
it may be amended from time to time. 
 “Common Stock” means the common stock of the Corporation, par value $12/3 per share, as the same exists at the date of this Certificate of Designation or as such stock may be constituted from time to time. 

“Depositary Company” has the meaning set forth in Section 6(d) hereof. 

“Designated LIBOR Page” means the display on Reuters, or any successor service, on page LIBOR01, or any other page as may
replace that page on that service, for the purpose of displaying the London interbank rates for U.S. dollars. 
 “Dividend Payment
Date” has the meaning set forth in Section 4(a) hereof. 
 “Dividend Period” has the meaning set forth in
Section 4(a) hereof. 
 “DTC” means The Depository Trust Company, together with its successors and assigns. 

“Fixed Rate Period” has the meaning set forth in Section 4(a) hereof. 

“Floating Rate Period” has the meaning set forth in Section 4(a) hereof. 

  
 2 

 “Junior Stock” means the Common Stock and any other class or series of stock of
the Corporation now existing or hereafter authorized over which the Series R 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. 
 “LIBOR Determination Date” means the second London Banking Day immediately
preceding the first day of the relevant Dividend Period. 
 “Liquidation Preference” has the meaning set forth in
Section 5(a) hereof. 
 “London Banking Day” means any day on which commercial banks and foreign exchange markets
settle payments in London. 
 “Nonpayment Event” shall have the meaning set forth in Section 7(b). 

“Parity Stock” means any other class or series of stock of the Corporation now existing or hereafter authorized that ranks on
par with the Series R Preferred Stock in the payment of dividends (whether such dividends are cumulative or non-cumulative) or in the distribution of assets in the event of any voluntary or involuntary liquidation, dissolution or winding up of the
affairs of the Corporation. 
 “Preference Stock” means any and all series of preference stock, having no par value, of the
Corporation. 
 “Preferred Stock” means any and all series of preferred stock, having no par value, of the Corporation,
including the Series R Preferred Stock. 
 “Preferred Stock Directors” shall have the meaning set forth in
Section 7(b). 
 “Regulatory Capital Treatment Event” means the Corporation’s reasonable determination that as a
result of any (i) amendment to, clarification of, or change (including any announced prospective change) in, the laws or regulations of the United States or any political subdivision of or in the United States that is enacted or becomes
effective on or after December 11, 2013; (ii) proposed change in those laws or regulations that is announced or becomes effective on or after December 11, 2013; or (iii) official administrative decision or judicial decision or
administrative action or other official pronouncement interpreting or applying those laws or regulations that is announced on or after December 11, 2013, there is more than an insubstantial risk that the Corporation will not be entitled to
treat the full liquidation preference amount of all shares of Series R Preferred Stock then outstanding as Tier 1 capital (or its equivalent) for purposes of the capital adequacy guidelines or regulations of the appropriate federal banking agency,
as then in effect and applicable, for as long as any share of Series R Preferred Stock is outstanding. 
 “Series R Preferred
Stock” has the meaning set forth in Section 1 hereof. 

  
 3 

 “Three-month LIBOR” means, for any LIBOR Determination Date, the arithmetic mean
of the offered rates for deposits in U.S. dollars for a three-month period commencing on the second London Banking Day immediately following that LIBOR Determination Date that appear on the Designated LIBOR Page as of 11:00 a.m., London time, on
that LIBOR Determination Date, if at least two offered rates appear on the Designated LIBOR Page, provided that if the specified Designated LIBOR Page by its terms provides only for a single rate, that single rate will be used. If (i) fewer
than two offered rates appear or (ii) no rate appears and the Designated LIBOR Page by its terms provides only for a single rate, then the Calculation Agent will request the principal London offices of each of four major banks in the London
interbank market, as selected by the Calculation Agent, to provide the Calculation Agent with its offered quotation for deposits in U.S. dollars for a three-month period commencing on the second London Banking Day immediately following that LIBOR
Determination Date to prime banks in the London interbank market at approximately 11:00 a.m., London time, on that LIBOR Determination Date and in a principal amount that is representative of a single transaction in U.S. dollars in that market at
that time. If at least two quotations are provided, Three-month LIBOR determined on that LIBOR Determination Date will be the arithmetic mean of those quotations. If fewer than two quotations are provided, Three-month LIBOR will be the arithmetic
mean of the rates quoted at approximately 11:00 a.m., New York City time, on that LIBOR Determination Date by three major banks in New York City selected by the Calculation Agent for loans in U.S. dollars to leading European banks for a three-month
period and in a principal amount that is representative of a single transaction in U.S. dollars in that market at that time. If the banks so selected by the Calculation Agent are not quoting as set forth above, Three-month LIBOR for that LIBOR
Determination Date will remain Three-month LIBOR for the immediately preceding Dividend Period or, in the case of the Dividend Period beginning March 15, 2024, 6.625%. All percentages used in or resulting from any calculation of Three-month
LIBOR will be rounded, if necessary, to the nearest one hundred-thousandth of a percentages point, with .000005% rounded up to .00001%. The determination of Three-month LIBOR for each relevant Dividend Period by the Calculation Agent will (in the
absence of manifest error) be final and binding. 
 “Voting Parity Stock” means any Parity Stock having similar voting
rights as the Series R Preferred Stock. 
 Section 4.        Dividends. 

(a)        Rate. Dividends on the Series R Preferred Stock will not be mandatory. Holders of
Series R Preferred Stock shall be entitled to receive, when, as and if 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 on the liquidation preference amount of $25,000 per share of the Series R Preferred Stock, payable quarterly in arrears on the 15th day of March, June,
September and December, commencing March 15, 2014, From December 18, 2013 to, but excluding, March 15, 2024 (the “Fixed Rate Period”), dividends will accrue at an annual rate of 6.625%, and from, and including,
March 15, 2024 (the “Floating Rate Period”), dividends will accrue at an annual rate equal to Three-month LIBOR plus 3.69%. Notwithstanding the foregoing, if any date on or prior to March 15, 2024 on which dividends
otherwise would be payable 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 

  
 4 

 
Business Day, without any interest or other payment in respect of such delay, and if any date after March 15, 2024 on which dividends otherwise would be payable is not a Business Day, then
payment of any dividend otherwise payable on that date will be made on the next succeeding Business Day unless that day falls in the next calendar month, in which case payment of any dividend otherwise payable on that date will be the immediately
preceding Business Day, and dividends will accrue to the actual payment date (each such day on which dividends are payable a “Dividend Payment Date”). A “Dividend Period” means the period from, and including, a
Dividend Payment Date to, but excluding, the next succeeding Dividend Payment Date, except for the initial Dividend Period, which will be the period from, and including, December 18, 2013 to, but excluding, March 15, 2014. The record date
for payment of dividends on the Series R Preferred Stock shall be the last Business Day of the calendar month immediately preceding the month during which the Dividend Payment Date falls or such other date as determined by the Corporation’s
Board of Directors. The amount of dividends payable for the Fixed Rate Period shall be computed on the basis of a 360-day year of twelve 30-day months. The amount of dividends payable for the Floating Rate Period shall be computed on the basis
of a 360-day year and the actual number of days elapsed. Dollar amounts resulting from that calculation will be rounded to the nearest cent, with one-half cent being rounded upward. The Calculation Agent’s determination of any dividend rate,
and its calculation of the amount of dividends payable for the Floating Rate Period, will be maintained on file at the Calculation Agent’s principal offices. 

(b)        Non-Cumulative Dividends. Dividends on shares of Series R Preferred Stock shall
be non-cumulative. To the extent that any dividends payable on the shares of Series R Preferred Stock on any Dividend Payment Date are not declared prior to such Dividend Payment Date, then such dividends shall not cumulate and shall cease to
accrue and be payable, and the Corporation shall have no obligation to pay, and the holders of Series R Preferred Stock shall have no right to receive, dividends accrued for such Dividend Period on the Dividend Payment Date for such Dividend Period
or at any time in the future or interest with respect to such dividends, whether or not dividends are declared for any subsequent Dividend Period with respect to Series R Preferred Stock or any other series of authorized Preferred Stock, Preference
Stock, or Common Stock of the Corporation. 
 (c)        Priority of Dividends. So long
as any shares of Series R Preferred Stock remain outstanding, 
 (1) no dividend shall be declared and paid or set aside for payment and no
distribution shall be declared and made or set aside for payment on any Common Stock, and no shares of Common Stock shall be repurchased, redeemed or otherwise acquired for consideration by the Corporation, directly or indirectly, nor shall any
monies be paid to or made available for a sinking fund for the redemption of any such Common Stock by the Corporation (other than (i) a dividend payable in Common Stock or (ii) the acquisition of shares of Common Stock in exchange for, or
through application of proceeds of the sale of, shares of Common Stock); 
 (2) no dividend shall be declared and paid or set aside for
payment and no distribution shall be declared and made or set aside for payment on any Junior Stock other than Common Stock, and no shares of Junior Stock other than Common Stock shall be repurchased, redeemed or otherwise acquired for consideration
by the Corporation, directly or indirectly, nor shall any 

  
 5 

 
monies be paid to or made available for a sinking fund for the redemption of any such Junior Stock other than Common Stock by the Corporation (other than (i) a dividend payable solely in
shares of Junior Stock, (ii) any dividend in connection with the implementation of a stockholder rights plan, or the redemption or repurchase of any rights under any such plan, (iii) any dividend in the form of stock, warrants, options or
other rights where the dividend stock or stock issuable upon exercise of such warrants, options or other rights is the same stock as that on which the dividend is being paid or ranks equally with or junior to such stock, (iv) as a result of a
reclassification of Junior Stock other than Common Stock for or into other Junior Stock, (v) the exchange or conversion of one share of Junior Stock other than Common Stock for or into another share of Junior Stock, (vi) through the use of
proceeds of a substantially contemporaneous sale of other shares of Junior Stock, (vii) any purchase, redemption or other acquisition of Junior Stock other than Common Stock pursuant to any of the Corporation’s or any of its
subsidiaries’ employee, consultant or director incentive or benefit plans or arrangements (including any employment, severance or consulting arrangements) adopted before or after December 11, 2013, (viii) any purchase of fractional
interests in shares of Junior Stock other than Common Stock pursuant to the conversion or exchange provisions of such Junior Stock other than Common Stock or the securities being converted or exchanged, (ix) the purchase of Junior Stock other
than Common Stock by Wells Fargo Securities, LLC, or any other affiliate of the Corporation, in connection with the distribution thereof or (x) the purchase of Junior Stock other than Common Stock by Wells Fargo Securities, LLC, or any other
affiliate of the Corporation, in connection with market-making or other secondary market activities in the ordinary course of business); and 

(3) no shares of Parity Stock will 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 R Preferred Stock and such Parity Stock during a Dividend Period (other than (i) as a result of a reclassification of Parity Stock for or into other Parity
Stock or Junior Stock, (ii) the exchange or conversion of one share of Parity Stock for or into another share of Parity Stock or Junior Stock, (iii) through the use of proceeds of a substantially contemporaneous sale of other shares of
Parity Stock or Junior Stock, (iv) any purchase, redemption or other acquisition of Parity Stock pursuant to any of the Corporation’s or any of its subsidiaries’ employee, consultant or director incentive or benefit plans or
arrangements (including any employment, severance or consulting arrangements) adopted before or after December 11, 2013, (v) any purchase of fractional interests in shares of Parity Stock pursuant to the conversion or exchange provisions
of such Parity Stock or the securities being converted or exchanged, (vi) the purchase of Parity Stock by Wells Fargo Securities, LLC, or any other affiliate of the Corporation, in connection with the distribution thereof or (vii) the
purchase of Parity Stock by Wells Fargo Securities, LLC, or any other affiliate of the Corporation, in connection with market-making or other secondary market activities in the ordinary course of business), 

unless, in each case, the full dividends for the then-current Dividend Period on all outstanding shares of the Series R Preferred Stock have been declared and
paid or declared and a sum sufficient for the payment of those dividends has been set aside. 
 Subject to the succeeding sentence, for so
long as any shares of Series R Preferred Stock remain outstanding, no dividends shall be declared, paid, or set aside for payment on any Parity 

  
 6 

 
Stock for any period unless full dividends on all outstanding shares of Series R Preferred Stock for the then-current Dividend Period have been paid in full or declared and a sum sufficient for
the payment thereof set aside. To the extent the Corporation declares dividends on the Series R Preferred Stock and on any Parity Stock but cannot make full payment of those declared dividends, the Corporation will allocate the dividend
payments on a proportional basis among the holders of shares of Series R Preferred Stock and the holders of any Parity Stock then outstanding where the terms of such Parity Stock provide similar dividend rights. 

Subject to the foregoing, and not otherwise, such 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 the Common Stock and any other stock that is Parity Stock or Junior Stock, from time to time out of any assets
legally available for such payment, and the shares of Series R Preferred Stock shall not be entitled to participate in any such dividends. 

Section 5.        Liquidation Rights. 

(a)        Liquidation. In the event of any voluntary or involuntary liquidation,
dissolution or winding up of the affairs of the Corporation, holders of Series R Preferred Stock shall be entitled to receive in full out of assets available for distribution to its stockholders before any distribution or payment out of the assets
of the Corporation may be made to or set aside for the holders of the Common Stock or any other Junior Stock, and subject to the rights of the holders of Parity Stock or any stock of the Corporation ranking senior to the Series R Preferred Stock as
to such distribution, a liquidating distribution in the amount of $25,000 per share, plus an amount equal to any dividends which have been declared but not yet paid, without accumulation of any undeclared dividends, to the date of liquidation (the
“Liquidation Preference”). The holders of Series R Preferred Stock shall not be entitled to any further payments 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 the assets of the Corporation are not sufficient to pay in
full the Liquidation Preference to all holders of Series R Preferred Stock and all holders of any Parity Stock, the amounts paid to the holders of Series R Preferred Stock and to the holders of all Parity Stock shall be pro rata in accordance
with the respective aggregate liquidation preference of Series R Preferred Stock and all such Parity Stock. 

(c)        Residual Distributions. If the Liquidation Preference has been paid in full to
all holders of Series R Preferred Stock and all other amounts payable upon liquidation, dissolution or winding up of the Corporation have been paid in full to all holders of any Parity Stock, the holders of Common Stock and any other 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, conveyance, exchange or transfer (for cash, shares of stock, securities or other consideration) of all or substantially all of the property and assets of the Corporation shall

  
 7 

 
not be deemed a voluntary or involuntary dissolution, liquidation 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 corporation or person or the merger, consolidation or any other business combination transaction of any other corporation or person into or with the Corporation be deemed to be a voluntary or
involuntary dissolution, liquidation or winding up of the affairs of the Corporation. 

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, subject to the prior approval of the Federal Reserve Board, out of funds legally available therefor, in whole or in part, the shares of Series R Preferred
Stock at the time outstanding, at any time on any Dividend Payment Date on or after March 15, 2024, upon notice given as provided in Section 6(b) below. The redemption price for shares of Series R Preferred Stock shall be $25,000 per
share plus an amount equal to any dividends that have been declared but not paid up to the redemption date without accumulation of any undeclared dividends. 

Notwithstanding the foregoing, within 90 days of the Corporation’s good faith determination that a Regulatory Capital Treatment Event has
occurred, the Corporation, at the option of its Board of Directors or any duly authorized committee of the Board of Directors of the Corporation, may, subject to the approval of the appropriate federal banking agency, redeem out of funds legally
available therefor, in whole, but not in part, the shares of Series R Preferred Stock at the time outstanding, prior to March 15, 2024, upon notice given as provided in Section 6(b) below. The redemption price for shares of Series R
Preferred Stock shall be $25,000 per share plus an amount equal to any dividends that have been declared but not paid, without accumulation of any undeclared dividends. 

(b)        Notice of Redemption. Notice of every redemption of shares of Series R
Preferred Stock shall be 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. Such mailing shall be
at least 40 days and not more than 70 days before the date fixed for redemption. Any notice mailed as provided in 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 give such notice by mail, or any defect in such notice or in the mailing thereof, to any holder of shares of Series R Preferred Stock designated for redemption shall not affect the validity of the proceedings for the redemption of
any other shares of Series R Preferred Stock. Each notice shall state (i) the redemption date; (ii) the number of shares of Series R Preferred Stock to be redeemed and, if fewer than all the shares held by such holder are to be
redeemed, if applicable, the number of such shares to be redeemed from such holder; (iii) the redemption price; (iv) the place or places where the certificates for those shares are to be surrendered for payment of the redemption price; and
(v) that dividends on the shares to be redeemed will cease to accrue on the redemption date. Notwithstanding the foregoing, if the Series R Preferred Stock is held in book-entry form through DTC, the Corporation may give such notice in any
manner permitted by DTC.

  
 8 

 (c)        Partial Redemption. In case of any
redemption of only part of the shares of Series R Preferred Stock at the time outstanding, the shares of Series R Preferred Stock to be redeemed shall be selected either pro rata from the holders of record of Series R Preferred Stock in
proportion to the number of Series R Preferred Stock held by such holders or in such other manner consistent with the rules and policies of the New York Stock Exchange 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 R Preferred Stock shall be redeemed from time to time. 

(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 irrevocably set aside by the Corporation, separate and apart from its other assets, in trust for the pro rata 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”) in trust for the pro rata 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 dividends with respect to such shares shall cease to accrue after such 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 Depository Company at any time after the redemption date from the
funds so deposited, 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 two years from the redemption date shall, to the extent permitted by law, be released or repaid to the Corporation, after which time the holders of the shares so called for
redemption shall look only to the Corporation for payment of the redemption price of such shares. 

Section 7.        Voting Rights. 

(a)        General. The holders of Series R Preferred Stock shall not be entitled to vote on
any matter except as set forth in paragraph 7(b) below or as required by applicable law. 

(b)        Right To Elect Two Directors Upon Nonpayment Events. Whenever dividends payable on
any shares of Series R Preferred Stock or any class or series of Voting Parity Stock have not been declared and paid in an aggregate amount equal to, as to any class or series, at least six quarterly Dividend Periods or their equivalent, whether or
not for consecutive Dividend Periods (a “Nonpayment Event”), the holders of the outstanding Series R Preferred Stock, voting together as a class with holders of Voting Parity Stock whose voting rights are exercisable, will be
entitled to vote for the election of two additional directors of the Corporation’s Board of Directors at the Corporation’s next annual meeting of stockholders and at each subsequent annual meeting of stockholders (the “Preferred
Stock Directors”) by a plurality 

  
 9 

 
of the votes cast; provided that the Board of Directors shall at no time include more than two Preferred Stock Directors (including, for purposes of this limitation, all directors that the
holders of any series of Voting Parity Stock are entitled to elect pursuant to like voting rights). Upon the vesting of such right of such holders, the maximum authorized number of members of the Board of Directors shall automatically be increased
by two and the two vacancies so created shall be filled by vote of the holders of the outstanding Series R Preferred Stock (together with the holders of shares of any one or more other series of Voting Parity Stock). At elections for such directors,
each holder of the Series R Preferred Stock shall be entitled to 25 votes for each share held (the holders of shares of any other series of Voting Parity Stock being entitled to such number of votes, if any, for each share of such stock as may be
granted to them). The right of the holders of the Series R Preferred Stock (voting together as a class with the holders of shares of any one or more other series of Voting Parity Stock) to elect Preferred Stock Directors shall continue until such
time as the Corporation has paid in full dividends for the equivalent of at least four quarterly Dividend Periods or their equivalent, at which time such right with respect to the Series R Preferred Stock shall terminate, except as provided by law,
and subject to revesting in the event of each and every subsequent default of the character described in this Section 7(b). 
 Upon any
termination of the right of the holders of all shares of Series R Preferred Stock and Voting Parity Stock to vote for Preferred Stock Directors, the term of office of all Preferred Stock Directors then in office elected by only those holders voting
as a class shall terminate immediately. Any Preferred Stock Director may be removed at any time without cause by the holders of a majority of the outstanding shares of Series R Preferred Stock and Voting Parity Stock, when they have the voting
rights described above (voting together as a class). In case any vacancy shall occur among the Preferred Stock Directors, a successor may be elected by a plurality of the votes cast by the holders of Series R Preferred Stock and Voting Parity Stock
having the voting rights described above, voting together as a class, unless the vacancy has already been filled. The Preferred Stock Directors shall each be entitled to one vote per director on any matter that shall come before the Board of
Directors for a vote. Whenever the term of office of the directors elected by such holders voting as a class shall end and the special voting powers vested in such holders as provided in this Section 7(b) shall have expired, the number of
directors shall be such number as may be provided for in the By-Laws irrespective of any increase made pursuant to this Section 7(b). 

(c)        Other Voting Rights. In addition to any other vote required by law or the Restated
Certificate of Incorporation, so long as any shares of the Series R Preferred Stock remain outstanding, the vote or consent of the holders of the outstanding shares of Series R Preferred Stock and outstanding shares of all other series of Voting
Parity Stock entitled to vote on the matter, by a vote of at least 66 2/3% in voting power of all such outstanding Series R Preferred Stock and such Voting Parity Stock, voting together as a class, given in person or by proxy, either in writing
without a meeting or at any meeting called for the purpose, shall be necessary to permit, effect or validate any one or more of the following actions, whether or not such approval is required by Delaware law: (i) the issuance of any class or series
of Preferred Stock or Preference Stock ranking senior to the Series R Preferred Stock in the payment of dividends or the distribution of assets in the event of the Corporation’s voluntary or involuntary liquidation, dissolution or winding up;
(ii) any amendment, alteration or repeal of any provision of the Restated Certificate of Incorporation, including the Certificate of Designation, or the 

  
 10 

 
Bylaws that would adversely affect the rights, preferences, privileges or voting powers of the Series R Preferred Stock; (iii) any amendment or alteration of the Restated Certificate of
Incorporation, including the Certificate of Designation, or Bylaws to authorize, create, or increase the authorized amount of, any shares of, or any securities convertible into shares of, any class or series of the Corporation’s capital stock
ranking senior to the Series R Preferred Stock with respect to either the payment of dividends or in the distribution of assets in the event of the Corporation’s voluntary or involuntary liquidation, dissolution or winding up; or (iv) any
consummation of a reclassification involving the Series R Preferred Stock or a merger or consolidation with another corporation or other entity, except holders of the Series R Preferred Stock will have no right to vote under this section 7(c)(iv) if
in each case (a) the shares of Series R Preferred Stock remain outstanding or, in the case of any such merger or consolidation with respect to which the Corporation is not the surviving or resulting entity, are converted into or exchanged for
preference securities of the surviving or resulting entity or its ultimate parent, and (b) such shares of Series R Preferred Stock remaining outstanding or such preference securities, as the case may be, have such rights, preferences,
privileges and voting powers, taken as a whole, as are not materially less favorable to the holders thereof than the rights, preferences, privileges and voting powers of the Series R Preferred Stock, taken as a whole; provided, however, that
any authorization, creation or increase in the authorized amount of or issuance of the Series R Preferred Stock or any Parity Stock or Junior Stock or any securities convertible into any class or series of Parity Stock (whether dividends payable in
respect of such Parity Stock are cumulative or non-cumulative) or Junior Stock will be deemed not to adversely affect the rights, preferences, privileges or voting powers of the Series R Preferred Stock, and holders of the Series R Preferred Stock
shall have no right to vote thereon. 
 If any amendment, alteration, repeal, reclassification, merger or consolidation specified in this
Section 7(c) would adversely affect one or more but not all series of voting Preferred Stock (including the Series R Preferred Stock), then only those series affected by and entitled to vote on the matter shall vote on the matter together as a
class (in lieu of all other series of Preferred Stock). 
 Each holder of the Series R Preferred Stock will have 25 votes per share on any
matter on which holders of the Series R Preferred Stock are entitled to vote, whether separately or together with any other series of stock of the Corporation (the holders of any shares of any other series of stock being entitled to such number of
votes, if any, for each share of stock as may be granted to them), pursuant to Delaware law or otherwise, including by written consent. 

(d)        Changes after Provision for Redemption. No vote or consent of the holders of Series
R Preferred Stock shall be required pursuant to Section 7(b) or (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 Series R Preferred Stock shall have
been redeemed, or notice of redemption has been given and sufficient funds shall have been irrevocably deposited in trust to effect such redemption. 

(e)        Procedures for Voting and Consents. The rules and procedures for calling and
conducting any meeting of the holders of Series R Preferred Stock (including, without limitation, the fixing of a record date in connection therewith), the solicitation and use of proxies at such a meeting, the obtaining of written consents and any
other aspect or matter with regard to such a 

  
 11 

 
meeting or such consents shall be governed by any rules the Board of Directors, in its discretion, may adopt from time to time, which rules and procedures shall conform to the requirements of the
Restated Certificate of Incorporation, the Bylaws, applicable law and any national securities exchange or other trading facility in which the Series R Preferred Stock is listed or traded at the time. 

Section 8.        Preemption and Conversion. The holders of Series R Preferred Stock shall
not have any rights of preemption or rights to convert such Series R Preferred Stock into shares of any other class of capital stock of the Corporation. 

Section 9.        Reacquired Shares. Shares of Series R Preferred Stock which have been
issued and 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 10.        No Sinking Fund. Shares of Series R Preferred Stock are not subject to
the operation of a sinking fund. 
 Section 11.        Additional Classes or Series of
Stock. Notwithstanding anything set forth in the Restated Certificate of Incorporation or this Certificate of Designation to the contrary, the Board of Directors of the Corporation, or any authorized committee of the Board of Directors of the
Corporation, (i) without the vote of the holders of the Series R Preferred Stock, may authorize and issue additional shares of Junior Stock and Parity Stock and (ii) with the requisite vote of the holders of the Series R Preferred Stock
and Parity Stock entitled to vote thereon, may authorize and issue any additional class or series of Preferred Stock or Preference Stock senior to the Series R Preferred Stock as to the payment of dividends and/or the distribution of assets upon any
voluntary or involuntary liquidation, dissolution or winding up of the affairs of the Corporation. 

  
 12 

 IN WITNESS WHEREOF, WELLS
FARGO & COMPANY has caused this Certificate of Designation to be signed by Barbara S. Brett, its Senior Vice President and Assistant Treasurer, and Jeannine E. Zahn, its Assistant Secretary,
this 17th day of December, 2013. 
  

			
	WELLS FARGO & COMPANY
		
	By:	 	 /s/ Barbara S. Brett

		 	 Barbara S. Brett, Senior Vice President and

Assistant Treasurer

 /s/ Jeannine E.
Zahn                           

Jeannine E. Zahn, Assistant Secretary 

[Signature Page to Series R Certificate of Designation]

Source: [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00224-of-00352.parquet"}, [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00224-of-00352.parquet"}]]