Document:

EX-4.2

 Exhibit 4.2 

VOLUME SUBMITTER 

DEFINED CONTRIBUTION PLAN 

(PROFIT SHARING/401(K) PLAN) 

A FIDELITY VOLUME SUBMITTER PLAN 

Adoption Agreement No. 001 

For use With 
 Fidelity
Basic Plan Document No. 17 
 Fidelity Management & Research Company and its affiliates do not provide tax or legal advice. Nothing herein or in
any attachments hereto should be construed, or relied upon, as tax or legal advice. 
 IRS CIRCULAR 230 DISCLOSURE: To the extent this document
(including attachments), mentions or references any tax matter, it is not intended or written to be used, and cannot be used by the recipient or any other person, for the purpose of (1) avoiding penalties under the Internal Revenue Code or (2)
promoting, marketing or recommending to another party the matter addressed herein. Please consult an independent tax advisor for advice on your particular circumstances. 

  

			
	Volume Submitter Defined Contribution Plan – 10/2014	  	
		  	75004-1450689161AA

 © 2014 FMR LLC 

All rights reserved. 

 TABLE OF CONTENTS 

 

							
	 1.01
	  	PLAN INFORMATION	  	 	1	  
	 1.02
	  	EMPLOYER	  	 	2	  
	 1.03
	  	TRUSTEE	  	 	2	  
	 1.04
	  	COVERAGE	  	 	2	  
	 1.05
	  	COMPENSATION	  	 	6	  
	 1.06
	  	TESTING RULES	  	 	7	  
	 1.07
	  	DEFERRAL CONTRIBUTIONS	  	 	8	  
	 1.08
	  	EMPLOYEE CONTRIBUTIONS (AFTER-TAX CONTRIBUTIONS)	  	 	11	  
	 1.09
	  	ROLLOVER CONTRIBUTIONS	  	 	11	  
	 1.10
	  	QUALIFIED NONELECTIVE EMPLOYER CONTRIBUTIONS	  	 	12	  
	 1.11
	  	MATCHING EMPLOYER CONTRIBUTIONS	  	 	12	  
	 1.12
	  	NONELECTIVE EMPLOYER CONTRIBUTIONS	  	 	16	  
	 1.13
	  	EXCEPTIONS TO CONTINUING ELIGIBILITY REQUIREMENTS	  	 	19	  
	 1.14
	  	RETIREMENT	  	 	19	  
	 1.15
	  	DEFINITION OF DISABLED	  	 	20	  
	 1.16
	  	VESTING	  	 	20	  
	 1.17
	  	PREDECESSOR EMPLOYER SERVICE	  	 	21	  
	 1.18
	  	PARTICIPANT LOANS	  	 	21	  
	 1.19
	  	IN-SERVICE WITHDRAWALS	  	 	22	  
	 1.20
	  	FORM OF DISTRIBUTIONS	  	 	23	  
	 1.21
	  	TIMING OF DISTRIBUTIONS	  	 	24	  
	 1.22
	  	TOP HEAVY STATUS	  	 	24	  
	 1.23
	  	 CORRECTION TO MEET 415 REQUIREMENTS UNDER MULTIPLE DEFINED CONTRIBUTION PLANS
	  	 	25	  
	 1.24
	  	INVESTMENT DIRECTION	  	 	25	  
	 1.25
	  	ADDITIONAL PROVISIONS AND PROTECTED BENEFITS	  	 	26	  
	 1.26
	  	SUPERSEDING PROVISIONS	  	 	26	  
	 1.27
	  	RELIANCE ON ADVISORY LETTER	  	 	26	  
	 1.28
	  	ELECTRONIC SIGNATURE AND RECORDS	  	 	27	  
	 1.29
	  	VOLUME SUBMITTER INFORMATION:	  	 	27	  
	 EXECUTION PAGE
	  	 	28	  
	 PARTICIPATING EMPLOYERS ADDENDUM
	  	 	29	  
	 IN-SERVICE WITHDRAWALS ADDENDUM
	  	 	30	  
	 FORMS OF PAYMENT ADDENDUM
	  	 	31	  
	 ADDITIONAL PROVISIONS ADDENDUM
	  	 	32	  
	 PLAN SUPERSEDING PROVISIONS ADDENDUM
	  	 	34	  
	 TRUST SUPERSEDING PROVISIONS ADDENDUM
	  	 	35	  
	 ADDENDUM TO ADOPTION AGREEMENT
	  	 	36	  
	 EFFECTIVE DATES FOR INTERIM LEGAL COMPLIANCE SNAP OFF ADDENDUM
	  	 	37	  

  

			
	Volume Submitter Defined Contribution Plan – 10/2014	  	PS Plan
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 © 2014 FMR LLC 

All rights reserved. 

 ADOPTION AGREEMENT 

ARTICLE 1 

PROFIT SHARING/401(k) PLAN 

 

															
	1.01	 	PLAN INFORMATION
			
		 	(a)	 	Name of Plan:
			
		 		 	This is the Unisys Technical Services Savings Plan (the “Plan”)
			
		 	(b)	 	Type of Plan:
					
		 		 	(1)	 	x	 	401(k) Only
					
		 		 	(2)	 	 ̈	 	401(k) and Profit Sharing
					
		 		 	(3)	 	 ̈	 	Profit Sharing Only
			
		 	(c)	 	Administrator Name (if not the Employer):
				
		 	(d)	 	Plan Year End (month/day):	  	12/31
				
		 	(e)	 	Three Digit Plan Number:	  	021
				
		 	(f)	 	Limitation Year (check one):	  	
					
		 		 	(1)	 	 ̈	 	Calendar Year
					
		 		 	(2)	 	x	 	Plan Year
					
		 		 	(3)	 	 ̈	 	Other, (12-month period ending on the following date):
			
		 	(g)	 	Plan Status:
				
		 		 	(1)	 	Adoption Agreement Effective Date: 01/01/2016 (cannot be earlier than the later of (i) the first day of the 2007 Plan Year or (ii) the effective date of the Plan)
				
		 		 	(2)	 	The Adoption Agreement Effective Date is:
						
		 		 		 	(A)	 	x	 	A new Plan Effective Date
						
		 		 		 	(B)	 	 ̈	 	An amendment Effective Date (check one):
							
		 		 		 		 	(i)	 	 ̈	  	an amendment and restatement of this Basic Plan Document No. 17 (or restatement of former Fidelity Basic Plan Document No. 14) and its Adoption Agreement previously executed by the Employer;
							
		 		 		 		 	(ii)	 	 ̈	  	a conversion to Basic Plan Document No. 17 and its Adoption Agreement.
					
		 		 		 		 	The original effective date of the Plan:
					
		 		 	(3)	 	 ̈	 	Special Effective Dates. Certain provisions of the Plan shall be effective as of a date other than the date specified in Subsection 1.01(g)(1) above. Please complete the Special Effective Dates Addendum to the
Adoption Agreement indicating the affected provisions and their effective dates.

  

			
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		 		 	(4)	 	 ̈	 	Plan Merger Effective Dates. Certain plan(s) were merged into the Plan on or after the date specified in Subsection 1.01(g)(1) above. Please complete the appropriate subsection(s) of the Plan Mergers
Addendum.
					
		 		 	(5)	 	 ̈	 	Frozen Plan. The Plan is currently frozen. While the Plan is frozen, the definition of Compensation for purposes of determining contributions under Section 5.02 of the Basic Plan Document shall not include
compensation earned after the date the Plan is frozen. Plan assets will continue to be held on behalf of Participants and their Beneficiaries until distributed in accordance with the Plan terms. (If this provision is selected, it will
override any conflicting provision selected in the Adoption Agreement.)(Choose one.) 
						
		 		 		 	(A)	 	 ̈	 	Contributions under the Plan are permanently discontinued. Accounts of all Employees shall be 100% vested without regard to any schedule selected in 1.16.
						
		 		 		 	(B)	 	 ̈	 	Contributions under the Plan are temporarily suspended. The Employer contemplates that contributions will resume at a later date.
				
		 		 		 	Note: Deferral Contributions and Employee Contributions shall not be taken from compensation earned after the date the Plan is frozen, however, loan repayments shall continue to be made until the loan obligation
is satisfied.
		
	1.02	 	EMPLOYER
			
		 	(a)	 	Employer Name: Unisys Corporation
				
		 		 	(1)	 	Employer’s Tax Identification Number: 38-0387840
				
		 		 	(2)	 	Employer’s fiscal year end: 12/31
			
		 	(b)	 	The term “Employer” includes the following participating employers (choose one):
					
		 		 	(1)	 	 ̈	 	No other employers participate in the Plan.
					
		 		 	(2)	 	x	 	Certain other employers participate in the Plan. Please complete the Participating Employers Addendum.
		
	1.03	 	TRUSTEE
					
		 	(a)	 	Trustee Name:	 		 	Fidelity Management Trust Company
					
		 		 	Address:	 		 	245 Summer Street
						
		 		 		 		 		 	Boston, MA 02210
		
	1.04	 	COVERAGE
		
		 	All Employees who meet the conditions specified below shall be eligible to participate in the Plan:
			
		 	(a)	 	Age Requirement (check one):
					
		 		 	(1)	 	x	 	no age requirement.
					
		 		 	(2)	 	 ̈	 	must have attained age: (not to exceed 21).

  

			
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		 	(b)	 	Eligibility Service Requirement(s) - There shall be no eligibility service requirements for contributions to the Plan unless selected below for the following contributions:

  

							
	(1) Deferral Contributions, Employee Contributions, Qualified Nonelective Employer Contributions	 	(2) Nonelective Employer Contributions	 	(3) Matching Employer Contributions	 	
				
		 	X	 		 	N/A – not applicable – type(s) of contribution not selected
				
		 		 		 	days of Eligibility Service requirement (no minimum Hours of Service). (Do not indicate more than 365 days in column (1) or 730 days in either of the other columns.) 
				
		 		 		 	months of Eligibility Service requirement (no minimum Hours of Service). (Do not indicate more than 12 months in column (1) or 24 months in either of the other columns.) 
				
		 		 		 	one year of Eligibility Service requirement (at least                      (not to exceed 1,000) Hours of Service are required
during the Eligibility Computation Period).
				
		 		 		 	two years of Eligibility Service requirement (at least                      (not to exceed 1,000) Hours of Service are required
during the Eligibility Computation Period). (Select only for column (2) or (3).) 

  

					
		 	 Note: If the Employer selects an Eligibility Service requirement of more than 365 days or 12 months or selects
the two year Eligibility Service requirement, then (1) contributions subject to such Eligibility Service requirement must be 100% vested when made, and (2) if the Plan has selected either Safe Harbor Matching Employer Contributions in
Option 1.11(a)(3) or Safe Harbor Formula in Option 1.12(a)(3), then only one year of Eligibility Service (with at least 1000 Hours of Service) is required for such contributions.

 
 Note: The Plan shall be disaggregated for testing pursuant to Section 6.09 of the
Basic Plan Document if a more stringent eligibility requirement is elected in Subsection 1.04(a) or (b) either (1) with respect to Matching Employer Contributions and Option 1.11(a)(3), 401(k) Safe Harbor Matching Employer Contributions, is
selected or (2) with respect to Nonelective Employer Contributions and Option 1.12(a)(3), 401(k) Safe Harbor Formula, is selected, than with respect to Deferral Contributions.
  

Note: If different eligibility requirements are selected for Deferral Contributions than for Employer Contributions and the Plan becomes a
“top-heavy plan,” the Employer may need to make a minimum Employer Contribution on behalf of non-key Employees who have satisfied the eligibility requirements for Deferral Contributions and are employed on the last day of the Plan Year,
but have not satisfied the eligibility requirements for Employer Contributions.

  

															
		 		 	(4)	 	 ̈	 	Hours of Service Crediting. Hours of Service will be credited in accordance with the equivalency selected in the Hours of Service Equivalencies Addendum rather than in accordance with the equivalency described in
Subsection 2.01(cc) of the Basic Plan Document. Please complete the Hours of Service Equivalencies Addendum.

  

			
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		 	(c)	 	Eligibility Computation Period - The Eligibility Computation Period is the 12-consecutive-month period beginning on an Employee’s Employment Commencement Date and each 12-consecutive-month period
beginning on an anniversary of his Employment Commencement Date.
			
		 	(d)	 	Eligible Class of Employees:
				
		 		 	(1)	 	Generally, the Employees eligible to participate in the Plan are (choose one):
						
		 		 		 	(A)	 	x	 	all Employees of the Employer.
						
		 		 		 	(B)	 	 ̈	 	only Employees of the Employer who are covered by (choose one):
							
		 		 		 		 	(i)	 	 ̈	 	any collective bargaining agreement with the Employer, provided that the agreement requires the employees to be included under the Plan.
							
		 		 		 		 	(ii)	 	 ̈	 	the following collective bargaining agreement(s) with the Employer:
							
		 		 		 		 		 		 	
                                         
                                       
					
		 		 	(2)	 	x	 	Notwithstanding the selection in Subsection 1.04(d)(1) above, certain Employees of the Employer are excluded from participation in the Plan:
				
		 		 		 	Note: Certain employees (e.g., residents of Puerto Rico) are excluded automatically pursuant to Subsection 2.01(r) of the Basic Plan Document, regardless of the Employer’s selection under this
Subsection 1.04(d)(2).
						
		 		 		 	(A)	 	x	 	employees covered by a collective bargaining agreement, unless the agreement requires the employees to be included under the Plan. (Do not choose if Option 1.04(d)(1)(B) is selected above.)

						
		 		 		 	(B)	 	 ̈	 	Highly Compensated Employees as defined in Subsection 2.01(bb) of the Basic Plan Document.
						
		 		 		 	(C)	 	x	 	Leased Employees as defined in Subsection 2.01(ee) of the Basic Plan Document.
						
		 		 		 	(D)	 	x	 	nonresident aliens who do not receive any earned income from the Employer which constitutes United States source income.
						
		 		 		 	(E)	 	x	 	other:
						
		 		 		 		 		 	Any Employee of the Employer who is not employed in the Unisys Technical Services division (CUIC #0849) of the Employer is excluded from participation in the Plan. Any associate of an overseas subsidiary who is on
temporary assignment with the Employer in the U.S. is also excluded from participation in the Plan. For purposes of clarity, only those Employees employed in the Unisys Technical Services division (CUIC #0849) of the Employer and those Employees of
the participating employers listed in the Participating Employers Addendum shall be eligible to participate in the Plan.

  

			
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		 		 		 		 	Note: The eligible group defined above must be a definitely determinable group and cannot be subject to the discretion of the Employer. In addition, the design of the classifications cannot be such that the only
Non-Highly Compensated Employees benefiting under the Plan are those with the lowest compensation and/or the shortest periods of service and who may represent the minimum number of such employees necessary to satisfy coverage under Code Section
410(b).
							
		 		 		 		 	(i)	 	 ̈	 	Notwithstanding this exclusion, any Employee who would otherwise be excluded from participation solely because he is in a group described below shall be part of the class of Employees eligible to participate in the Plan
and, if he has never been a Participant in the Plan previously, will be required to meet different age and service requirements for eligibility than those specified in Subsections (a) and (b) permitting him to enter on the Entry Date immediately
following the end of the Eligibility Computation Period during which he first satisfies the following requirements: (I) has attained age 21 and (II) has completed at least 1,000 Hours of Service. This Subsection 1.04(d)(2)(E)(i) applies to the
following excluded Employees (Must choose if an exclusion in (E) above directly or indirectly imposes an age and/or service requirement for participation, for example by excluding part-time or
temporary employees):
							
		 		 		 		 		 		 	                                    
                                         
    
				
		 		 		 	Note: Exclusion of employees may adversely affect the Plan’s satisfaction of the minimum coverage requirements, as provided in Code Section 410(b).
			
		 	(e)	 	Entry Dates – The Entry Dates shall be as indicated below with respect to the applicable type(s) of contribution. (Complete the table below by checking the appropriate boxes to indicate Entry Dates
for the contributions listed.)

  

									
		 	(1) Deferral Contributions, Employee Contributions, Qualified Nonelective Employer Contributions	 	(2) Nonelective Employer Contributions	 	(3) Matching Employer Contributions	 	
					
	(A)	 		 	X	 		 	N/A – not applicable – type(s) of contribution not selected
					
	(B)	 	X	 		 	X	 	Immediate upon meeting the eligibility requirements specified in Subsections 1.04(a) and 1.04(b)
					
	(C)	 		 		 		 	the first day of each Plan Year and the first day of the seventh month of each Plan Year
					
	(D)	 		 		 		 	the first day of each Plan Year and the first day of the fourth, seventh, and tenth months of each Plan Year
					
	(E)	 		 		 		 	the first day of each month
					
	(F)	 		 		 		 	the first day of each Plan Year (Do not select if there is an Eligibility Service requirement of more than six months in Subsection 1.04(b) for the type(s) of contribution or if there is an age requirement of more than 20 1/2
in Subsection 1.04(a) for the type(s) of contribution.) 

  

															
		 		 	Note: If another plan is merged into the Plan, the Plan may provide on the Plan Mergers Addendum that the effective date of the merger is also an Entry Date with respect to certain
Employees.

  

			
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		 	(f)	 	Date of Initial Participation - An Eligible Employee shall become a Participant on the Entry Date coinciding with or immediately following the date such Eligible Employee completes the age and
service requirement(s) in Subsections 1.04(a) and (b), if any, or in Subsection 1.04(d)(2)(E)(i), if applicable, except (check one):
					
		 		 	(1)	 	x	 	no exceptions.
					
		 		 	(2)	 	 ̈	 	Eligible Employees employed on (insert date) shall become Participants on that date.
					
		 		 	(3)	 	 ̈	 	Eligible Employees who meet the age and service requirement(s) of Subsections 1.04(a) and (b) on (insert date) shall become Participants on that date.
		
	1.05	 	COMPENSATION
		
		 	Compensation, as defined in Subsection 2.01(k) of the Basic Plan Document, shall be modified as provided below.
			
		 	(a)	 	Compensation Exclusions - Compensation shall not include reimbursements or other expense allowances, fringe benefits (cash and non-cash), moving expenses, deferred compensation, welfare benefits, unused
leave (as described in Section 2.01(k)(2)), or any of the following additional item(s):
					
		 		 	(1)	 	 ̈	 	No additional exclusions.
					
		 		 	(2)	 	 ̈	 	Differential Wages.
					
		 		 	(3)	 	 ̈	 	Overtime pay.
					
		 		 	(4)	 	 ̈	 	Bonuses.
					
		 		 	(5)	 	 ̈	 	Commissions.
					
		 		 	(6)	 	 ̈	 	The value of restricted stock or of a qualified or a non-qualified stock option granted to an Employee by the Employer to the extent such value is includable in the Employee’s taxable income.
					
		 		 	(7)	 	 ̈	 	Severance pay received prior to termination of employment. (Severance pay received following termination of employment is a severance amount as described in Subsection 2.01(k) and is always excluded.)

					
		 		 	(8)	 	x	 	See Additional Provisions Addendum.
			
		 		 	Note: If the Employer selects an option, other than (1) or (2) above, with respect to Nonelective Employer Contributions, Compensation must be tested to show that it meets the requirements of Code Section 414(s),
unless 401(k) Safe Harbor Formula has been selected, or the allocations must be tested to show that they meet the general test under regulations issued under Code Section 401(a)(4). If the Employer selects an option, other than (1) or (2) above, and
Option 1.11(a)(3), Safe Harbor Matching Employer Contributions, is selected, a Participant must be permitted to make Deferral Contributions under the Plan sufficient to receive the full 401(k) Safe Harbor Matching Employer Contribution, determined
as a percentage of Compensation meeting the requirements of Code Section 414(s).
			
		 	(b)	 	Compensation for the First Year of Participation - Contributions for the Plan Year in which an Employee first becomes a Participant shall be determined based on the Employee’s Compensation as provided
below.
					
		 		 	(1)	 	 ̈	 	Compensation for the entire Plan Year. (Complete (A) below, if applicable. If (A) is not selected, the amount of any Nonelective Employer Contribution for the initial Plan Year will be determined in
accordance with this subsection 1.05(b)(1) using only Compensation from the Effective Date of the Plan through the end of the initial Plan Year.) 
						
		 		 		 	(A)	 	 ̈	 	For purposes of determining the amount of Nonelective Employer Contributions, other than 401(k) Safe Harbor Nonelective Employer Contributions, Compensation for the 12-month period ending on the last day of the initial
Plan Year shall be used.

  

			
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		 		 	(2)	 	x	 	Only Compensation for the portion of the Plan Year in which the Employee is eligible to participate in the Plan. (Complete (A) below, if applicable. If (A) is not selected, the amount of any Nonelective Employer
Contribution for the initial Plan Year will be determined in accordance with this subsection 1.05(b)(2) using only Compensation from the Effective Date of the Plan through the end of the initial Plan Year.)
						
		 		 		 	(A)	 	 ̈	 	For purposes of determining the amount of Nonelective Employer Contributions, other than 401(k) Safe Harbor Nonelective Employer Contributions, for those Employees who become Active Participants on the Effective Date of
the Plan, Compensation for the 12-month period ending on the last day of the initial Plan Year shall be used. For all other Employees, only Compensation for the period in which they are eligible shall be used.
		
	1.06	 	TESTING RULES
			
		 	(a)	 	ADP/ACP Present Testing Method - The testing method for purposes of applying the “ADP” and “ACP” tests described in Sections 6.03 and 6.06 of the Basic Plan Document shall be the (check
one):
					
		 		 	(1)	 	x	 	Current Year Testing Method - The “ADP” or “ACP” of Highly Compensated Employees for the Plan Year shall be compared to the “ADP” or “ACP” of Non-Highly Compensated
Employees for the same Plan Year. (Must choose if Option 1.11(a)(3), 401(k) Safe Harbor Matching Employer Contributions, or Option 1.12(a)(3), 401(k) Safe Harbor Formula, with respect to Nonelective Employer Contributions is
checked.) 
					
		 		 	(2)	 	 ̈	 	Prior Year Testing Method - The “ADP” or “ACP” of Highly Compensated Employees for the Plan Year shall be compared to the “ADP” or “ACP” of Non-Highly Compensated Employees
for the immediately preceding Plan Year. (Do not choose if Option 1.10(a)(1), alternative allocation formula for Qualified Nonelective Contributions.) 
					
		 		 	(3)	 	 ̈	 	Not applicable. (Only if Option 1.01(b)(3), Profit Sharing Only, is checked and Option 1.08(a)(1), Future Employee Contributions, and Option 1.11(a), Matching Employer Contributions, are not
checked or Option 1.04(d)(2)(B), excluding all Highly Compensated Employees from the eligible class of Employees, is checked.) 
			
		 		 	Note: Restrictions apply on elections to change testing methods.
			
		 	(b)	 	First Year Testing Method - If the first Plan Year that the Plan, other than a successor plan, permits Deferral Contributions or provides for either Employee or Matching Employer Contributions, occurs on
or after the Effective Date specified in Subsection 1.01(g), the “ADP” and/or “ACP” test for such first Plan Year shall be applied using the actual “ADP” and/or “ACP” of Non-Highly Compensated Employees for
such first Plan Year, unless otherwise provided below.
					
		 		 	(1)	 	 ̈	 	The “ADP” and/or “ACP” test for the first Plan Year that the Plan permits Deferral Contributions or provides for either Employee or Matching Employer Contributions shall be applied assuming a 3%
“ADP” and/or “ACP” for Non-Highly Compensated Employees. (Do not choose unless Plan uses prior year testing method described in Subsection 1.06(a)(2).)

  

			
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		 	(c)	 	HCE Determinations: Look Back Year - The look back year for purposes of determining which Employees are Highly Compensated Employees shall be the 12-consecutive-month period preceding the Plan Year, unless
otherwise provided below.
					
		 		 	(1)	 	 ̈	 	Calendar Year Determination - The look back year shall be the calendar year beginning within the preceding Plan Year. (Do not choose if the Plan Year is the calendar year.) 
			
		 	(d)	 	HCE Determinations: Top Paid Group Election - All Employees with Compensation exceeding the dollar amount specified in Code Section 414(q)(1)(B)(i) adjusted pursuant to Code Section 415(d) (e.g., $115,000
for “determination years” beginning in 2013 and “look-back years” beginning in 2012) shall be considered Highly Compensated Employees, unless Top Paid Group Election below is checked.
					
		 		 	(1)	 	x	 	Top Paid Group Election - Employees with Compensation exceeding the dollar amount specified in Code Section 414(q)(1)(B)(i) adjusted pursuant to Code Section 415(d) shall be considered Highly Compensated Employees
only if they are in the top paid group (the top 20% of Employees ranked by Compensation).
		
		 	Note: Plan provisions for Sections 1.06(c) and 1.06(d) must apply consistently to all retirement plans of the Employer for determination years that begin with or within the same calendar year
		
	1.07	 	DEFERRAL CONTRIBUTIONS
				
		 	(a)	 	x	 	Deferral Contributions - Participants may elect to have a portion of their Compensation contributed to the Plan on a before-tax basis pursuant to Code Section 401(k).
				
		 		 	(1)	 	Regular Contributions - The Employer shall make a Deferral Contribution in accordance with Section 5.03 of the Basic Plan Document on behalf of each Participant who has an executed salary reduction agreement in
effect with the Employer for the payroll period in question. Such Deferral Contribution shall not exceed the deferral limit below.
						
		 		 		 	(A)	 	x	 	The deferral limit is 80.00% (must be a whole number multiple of one percent) of Compensation.
				
		 		 		 	Note: If Catch-Up Contributions are selected below, a Participant eligible to make Catch-Up Contributions shall (subject to the statutory limits in Treasury Regulation Section 1.414(v)-1(b)(1)(i)) in any event be
permitted to contribute in excess of the specified deferral limit up to 100% of the Participant’s “effectively available Compensation” ( i.e., Compensation available after other withholding).
						
		 		 		 	(B)	 	 ̈	 	Instead of specifying a percentage of Compensation, a Participant’s salary reduction agreement may specify a dollar amount to be contributed each payroll period, provided such dollar amount does not exceed the
maximum percentage of Compensation specified in Subsection 5.03(a) of the Basic Plan Document or in Subsection 1.07(a)(1)(A) above, as applicable.
					
		 		 		 	(C)	 	A Participant may change, on a prospective basis, his salary reduction agreement (check one):
							
		 		 		 		 	(i)	 	x	  	as of the beginning of each payroll period.

  

			
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		 		 		 		 	(ii)	 	 ̈	 	as of the first day of each month.
							
		 		 		 		 	(iii)	 	 ̈	 	as of each Entry Date. (Do not select if immediate entry is elected with respect to Deferral Contributions in Subsection 1.04(e).) 
							
		 		 		 		 	(iv)	 	 ̈	 	as of the first day of each calendar quarter.
							
		 		 		 		 	(v)	 	 ̈	 	as of the first day of each Plan Year. 
							
		 		 		 		 	(vi)	 	 ̈	 	other. (Specify, but must be at least once per Plan Year)
							
		 		 		 		 		 		 	
                                        

					
		 		 		 		 	Note: Notwithstanding the Employer’s election hereunder, if Option 1.11(a)(3), 401(k) Safe Harbor Matching Employer Contributions, or Option 1.12(a)(3), 401(k) Safe Harbor Formula, with respect to Nonelective
Employer Contributions is checked, the Plan provides that an Active Participant may change his salary reduction agreement for the Plan Year within a reasonable period (not fewer than 30 days) of receiving the notice described in Section 6.09 of the
Basic Plan Document.
					
		 		 		 	(D)	 	A Participant may revoke, on a prospective basis, a salary reduction agreement at any time upon proper notice to the Administrator but in such case may not complete a new salary reduction agreement until (check
one):
							
		 		 		 		 	(i)	 	x	 	the beginning of the next payroll period.
							
		 		 		 		 	(ii)	 	 ̈	 	the first day of the next month.
							
		 		 		 		 	(iii)	 	 ̈	 	the next Entry Date . (Do not select if immediate entry is elected with respect to Deferral Contributions in Subsection 1.04(e).) 
							
		 		 		 		 	(iv)	 	 ̈	 	as of the first day of each calendar quarter. 
							
		 		 		 		 	(v)	 	 ̈	 	as of the first day of each Plan Year. 
							
		 		 		 		 	(vi)	 	 ̈	 	other. (Specify, but must be at least once per Plan Year)
							
		 		 		 		 		 		 	
                                        

						
		 		 		 	(E)	 	x	 	See Additional Provisions Addendum.
					
		 		 	(2)	 	 ̈	 	Additional Deferral Contributions - The Employer shall allow a Participant upon proper notice and approval to enter into a special salary reduction agreement to make additional Deferral Contributions in an amount
up to 100% of their effectively available Compensation for the payroll period(s) designated by the Employer.
					
		 		 	(3)	 	 ̈	 	Bonus Contributions - The Employer shall allow a Participant upon proper notice and approval to enter into a special salary reduction agreement to make Deferral Contributions from any Employer paid cash bonuses
designated by the Employer on a uniform and nondiscriminatory basis that are made for such Participants during the Plan Year in an amount up to 100% of such bonuses. The Compensation definition elected by the Employer in Subsection 1.05(a) must
include bonuses if bonus contributions are permitted. Unless a Participant has entered into a special salary reduction agreement with respect to bonuses, the percentage deferred from any Employer paid cash bonus shall be (check (A) or (B)
below):
						
		 		 		 	(A)	 	 ̈	 	Zero.
						
		 		 		 	(B)	 	 ̈	 	The same percentage elected by the Participant for his regular contributions in accordance with Subsection 1.07(a)(1) above or deemed to have been elected by the Participant in accordance with Option 1.07(a)(6)
below.

  

			
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		 		 	Note: A Participant’s contributions under Subsection 1.07(a)(2) and/or (3) may not cause the Participant to exceed the percentage limit specified by the Employer in Subsection 1.07(a)(1)(A) for the full Plan
Year. If the Administrator anticipates that the Plan will not satisfy the “ADP” and/or “ACP” test for the year, the Administrator may reduce the rate of Deferral Contributions of Participants who are Highly Compensated Employees
to an amount objectively determined by the Administrator to be necessary to satisfy the “ADP” and/or “ACP” test.
					
		 		 	(4)	 	x	 	Catch-Up Contributions - The following Participants who have attained or are expected to attain age 50 before the close of the taxable year will be permitted to make Catch-Up Contributions to the Plan, as
described in Subsection 5.03(a) of the Basic Plan Document:
						
		 		 		 	(A)	 	x	 	All such Participants.
						
		 		 		 	(B)	 	 ̈	 	All such Participants except those covered by a collective-bargaining agreement under which retirement benefits were a subject of good faith bargaining unless the bargaining agreement specifically provides for Catch-Up
Contributions to be made on behalf of such Participants.
				
		 		 		 	Note: The Employer must not select Option 1.07(a)(4) above unless all applicable plans (as defined in Code Section 414(v)(6)(A), other than any plan that is qualified under Puerto Rican law or that
covers only employees who are covered by a collective bargaining agreement under which retirement benefits were a subject of good faith bargaining) maintained by the Employer and by any other employer that is treated as a single employer with the
Employer under Code Section 414(b), (c), (m), or (o) also permit Catch-Up Contributions in the same dollar amount.
					
		 		 	(5)	 	 ̈	 	Roth 401(k) Contributions. Participants shall be permitted to irrevocably designate pursuant to Subsection 5.03(b) of the Basic Plan Document that a portion or all of the Deferral Contributions made
under this Subsection 1.07(a) are Roth 401(k) Contributions that are includable in the Participant’s gross income at the time deferred.
					
		 		 	(6)	 	 ̈	 	Automatic Enrollment Contributions. Unless they affirmatively elect otherwise, certain Eligible Employees will have their Compensation reduced in accordance with the provisions of Subsection 5.03(c) of the
Basic Plan Document (an “Automatic Enrollment Contribution”), Section 1.07(b) of the Additional Provisions Addendum, and the following:
						
		 		 		 	(A)	 	 ̈	 	All newly Eligible Employees shall be subject to the same automatic enrollment provisions.
						
		 		 		 	(B)	 	 ̈	 	The automatic enrollment provisions of the Plan shall be/are different for different groups of Eligible Employees.
						
		 		 		 	(C)	 	 ̈	 	Some form of automatic deferral increase will be part of the automatic enrollment provisions.
						
		 		 		 	(D)	 	 ̈	 	A qualified automatic contribution arrangement described in Code Section 401(k)(13) (“QACA”) has been adopted. (Select Option 1.11(a)(3) or 1.12(a)(3) and complete appropriate Addendum.)

						
		 		 		 	(E)	 	 ̈	 	An eligible automatic enrollment arrangement described in Code Section 414(w) (“EACA”) has been adopted.

  

			
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	1.08	 	EMPLOYEE CONTRIBUTIONS (AFTER-TAX CONTRIBUTIONS)
				
		 	(a)	 	x	 	Future Employee Contributions - Participants may make voluntary, non-deductible, after-tax Employee Contributions pursuant to Section 5.04 of the Basic Plan Document. The Employee
Contribution made on behalf of an Active Participant each payroll period shall not exceed the contribution limit specified in Subsection 1.08(a)(1) below.
				
		 		 	(1)	 	The contribution limit is 6% of Compensation.
				
		 	(b)	 	 ̈	 	Frozen Employee Contributions - Participants may not currently make after-tax Employee Contributions to the Plan, but the Employer does maintain frozen Employee Contributions
Accounts.
				
		 	(c)	 	x	 	See Additional Provisions Addendum.
		
	1.09	 	ROLLOVER CONTRIBUTIONS
				
		 	(a)	 	x	 	Rollover Contributions - Employees may roll over eligible amounts from other plans to the Plan subject to the additional following requirements:
					
		 		 	(1)	 	 ̈	 	The Plan will not accept rollovers of after-tax employee contributions.
					
		 		 	(2)	 	x	 	The Plan will not accept rollovers of designated Roth contributions. (Must be selected if Roth 401(k) Contributions are not elected in Subsection 1.07(a)(5).) 
				
		 	(b)	 	 ̈	 	In-Plan Roth Rollover Contributions (Choose only if Roth 401(k) Contributions are selected in Option 1.07(a)(5) above) – Unless Option 1.09(b)(1) is selected below and in accordance with
Section 5.06 of the Basic Plan Document, any Participant, spousal alternate payee or spousal Beneficiary may elect to have otherwise distributable portions of his Account, which are not part of an outstanding loan balance pursuant to Article 9 of
the Basic Plan Document and are not “designated Roth contributions” under the Plan, be considered “designated Roth contributions” for purposes of the Plan.
					
		 		 	(1)	 	 ̈	 	Only a Participant who is still employed by the Employer (or a spousal alternate payee or spousal Beneficiary of such a Participant) may elect to make such an in-plan Roth
Rollover.

  

			
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	1.10	 	QUALIFIED NONELECTIVE EMPLOYER CONTRIBUTIONS
			
		 	(a)	 	Qualified Nonelective Employer Contributions - The Employer may contribute an amount which it designates as a Qualified Nonelective Employer Contribution for any permissible purpose, as provided in Section
5.07 of the Basic Plan Document. If Option 1.07(a) or 1.08(a)(1) is checked, except as provided in Section 5.07 of the Basic Plan Document or as otherwise provided below, Qualified Nonelective Employer Contributions shall be allocated to all
Participants who were eligible to participate in the Plan at any time during the Plan Year and are Non-Highly Compensated Employees in the ratio which each such Participant’s “testing compensation”, as defined in Subsection 6.01(s) of
the Basic Plan Document, for the Plan Year bears to the total of all such Participants’ “testing compensation” for the Plan Year.
					
		 		 	(1)	 	x	 	Qualified Nonelective Employer Contributions shall be allocated only among such Participants described above who are designated by the Employer as eligible to receive a Qualified Nonelective Employer Contribution for the
Plan Year. The amount of the Qualified Nonelective Employer Contribution allocated to each such Participant shall be as designated by the Employer, but not in excess of the “regulatory maximum.” The “regulatory maximum” means 5%
(10% for Qualified Nonelective Contributions made in connection with the Employer’s obligation to pay prevailing wages) of the “testing compensation” for such Participant for the Plan Year. The “regulatory maximum” shall
apply separately with respect to Qualified Nonelective Contributions to be included in the “ADP” test and Qualified Nonelective Contributions to be included in the “ACP” test. (Cannot be selected if the Employer has elected
prior year testing in Subsection 1.06(a)(2).) 
		
	1.11	 	MATCHING EMPLOYER CONTRIBUTIONS
				
		 	(a)	 	x	 	Matching Employer Contributions - The Employer shall make Matching Employer Contributions on behalf of each of its “eligible” Participants as provided in this Section 1.11. For purposes of this
Section 1.11, an “eligible” Participant means any Participant who is an Active Participant during the Contribution Period and who satisfies the requirements of Subsection 1.11(e) or Section 1.13.
					
		 		 	(1)	 	 ̈	 	Non-Discretionary Matching Employer Contributions - The Employer shall make a Matching Employer Contribution on behalf of each “eligible” Participant in an amount equal to the following percentage of the
eligible contributions made by the “eligible” Participant during the Contribution Period (complete all that apply):
						
		 		 		 	(A)	 	 ̈	 	Flat Percentage Match:         % to all “eligible” Participants.
						
		 		 		 	(B)	 	 ̈	 	 Tiered Match:         % of the first         % of
the “eligible” Participant’s Compensation contributed to the Plan,
  

        % of the next         % of the “eligible” Participant’s
Compensation contributed to the Plan,
  

        % of the next         % of the “eligible” Participant’s
Compensation contributed to the Plan.

					
		 		 		 		 	Note: The group of “eligible” Participants benefiting under each match rate must satisfy the nondiscriminatory coverage requirements of Code Section 410(b) and the group to whom the match rate is
effectively available must not substantially favor HCEs.

  

			
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		 		 		 	(C)	 	 ̈	 	Limit on Non-Discretionary Matching Employer Contributions (check the appropriate box(es)):
							
		 		 		 		 	(i)	 	 ̈	 	Contributions in excess of         % of the “eligible” Participant’s Compensation for the Contribution Period shall not be considered for non-discretionary Matching
Employer Contributions.
							
		 		 		 		 	(ii)	 	 ̈	 	Matching Employer Contributions for each “eligible” Participant for each Plan Year shall be limited to $        .
					
		 		 	(2)	 	x	 	Discretionary Matching Employer Contributions - The Employer may make a discretionary Matching Employer Contribution on behalf of “eligible” Participants, or a designated group of “eligible”
Participants, in accordance with Section 5.08 of the Basic Plan Document. An “eligible” Participant’s allocable share of the discretionary Matching Employer Contribution shall be a percentage of the eligible contributions made by the
“eligible” Participant during the Contribution Period. The Employer may limit the eligible contributions taken into account under the allocation formula to contributions up to a specified percentage of Compensation or dollar amount or may
provide for Matching Employer Contributions to be made in a different ratio for eligible contributions above and below a specified percentage of Compensation or dollar amount. The Matching Employer Contribution is allocated among
“eligible” Participants so that each “eligible” Participant receives a rate or amount that is identical to the rate or amount received by all other “eligible” Participants (or designated group of “eligible”
Participants, if applicable) as determined by the Employer on or before the due date of the Employer’s tax return for the year of allocation.
					
		 		 		 		 	Note: If the Matching Employer Contribution made in accordance with this Subsection 1.11(a)(2) matches different percentages of contributions for different groups of “eligible” Participants, the group of
“eligible” Participants benefiting under each match rate must satisfy the nondiscriminatory coverage requirements of Code Section 410(b) and the group to whom the match rate is effectively available must not substantially favor
HCEs.
						
		 		 		 	(A)	 	 ̈	 	4% Limitation on Discretionary Matching Employer Contributions for Deemed Satisfaction of “ACP” Test - In no event may the dollar amount of the discretionary Matching Employer Contribution made on an
“eligible” Participant’s behalf for the Plan Year exceed 4% of the “eligible” Participant’s Compensation for the Plan Year . (Only if Option 1.12(a)(3), 401(k) Safe Harbor Formula, with
respect to Nonelective Employer Contributions is checked.) 
					
		 		 	(3)	 	 ̈	 	401(k) Safe Harbor Matching Employer Contributions - If the Employer elects one of the safe harbor formula Options provided in the 401(k) Safe Harbor Matching Employer Contributions Addendum to the Adoption
Agreement and provides written notice each Plan Year to all Active Participants of their rights and obligations under the Plan, the Plan shall be deemed to satisfy the “ADP” test and, under certain circumstances, the “ACP”
test.

  

			
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		 	(b)	 	 ̈	 	Additional Matching Employer Contributions - The Employer may at Plan Year end make an additional Matching Employer Contribution on behalf of each “eligible” Participant in an amount equal to a
percentage of the eligible contributions made by each “eligible” Participant during the Plan Year. The additional Matching Employer Contribution may be limited to match only contributions up to a specified percentage of Compensation or
limit the amount of the match to a specified dollar amount.
				
		 		 		 	Note: If the additional Matching Employer Contribution made in accordance with this Subsection 1.11(b) matches different percentages of contributions for different groups of “eligible” Participants, the
group of “eligible” Participants benefiting under each match rate must satisfy the nondiscriminatory coverage requirements of Code Section 410(b) and the group to whom the match rate is effectively available must not substantially favor
HCEs.
					
		 		 	(1)	 	 ̈	 	4% Limitation on additional Matching Employer Contributions for Deemed Satisfaction of “ACP” Test - In no event may the dollar amount of the additional Matching Employer Contribution made on an
“eligible” Participant’s behalf for the Plan Year exceed 4% of the “eligible” Participant’s Compensation for the Plan Year. (Only if Option 1.11(a)(3), 401(k) Safe Harbor Matching Employer Contributions, or
Option 1.12(a)(3), 401(k) Safe Harbor Formula, with respect to Nonelective Employer Contributions is checked.) 
			
		 		 	Note: If the Employer elected Option 1.11(a)(3), 401(k) Safe Harbor Matching Employer Contributions, above and wants to be deemed to have satisfied the “ADP” test, the additional Matching Employer
Contribution must meet the requirements of Section 6.09 of the Basic Plan Document. In addition to the foregoing requirements, if the Employer elected Option 1.11(a)(3), 401(k) Safe Harbor Matching Employer Contributions, or Option 1.12(a)(3),
401(k) Safe Harbor Formula, with respect to Nonelective Employer Contributions, and wants to be deemed to have satisfied the “ACP” test with respect to Matching Employer Contributions for the Plan Year, the eligible contributions matched
may not exceed the limitations in Section 6.10 of the Basic Plan Document.
			
		 	(c)	 	Contributions Matched - The Employer matches the following contributions (check appropriate box(es)):
				
		 		 	(1)	 	Deferral Contributions - Deferral Contributions made to the Plan are matched at the rate specified in this Section 1.11. Catch-Up Contributions are not matched unless the Employer elects Option 1.11(c)(1)(A)
below.
						
		 		 		 	(A)	 	 ̈	 	Catch-Up Contributions made to the Plan pursuant to Subsection 1.07(a)(4) are matched at the rates specified in this Section 1.11.
					
		 		 		 		 	Note: Notwithstanding the above, if the Employer elected Option 1.11(a)(3), 401(k) Safe Harbor Matching Employer Contributions, Deferral Contributions shall be matched at the rate specified in the 401(k) Safe
Harbor Matching Employer Contributions Addendum to the Adoption Agreement without regard to whether they are Catch-Up Contributions.
			
		 	(d)	 	Contribution Period for Matching Employer Contributions - The Contribution Period for purposes of calculating the amount of Matching Employer Contributions is:
					
		 		 	(1)	 	 ̈	 	each calendar month.
					
		 		 	(2)	 	 ̈	 	each Plan Year quarter.
					
		 		 	(3)	 	x	 	each Plan Year.
					
		 		 	(4)	 	 ̈	 	each payroll period.
					
		 		 	(5)	 	 ̈	 	The Employer shall determine the Contribution Period for calculation of any discretionary Matching Employer Contributions elected pursuant to Option 1.11(a)(2) above at the time that the matching contribution formula is
determined.

  

			
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		 		 	The Contribution Period for additional Matching Employer Contributions described in Subsection 1.11(b) is the Plan Year.
			
		 		 	Note: If Option (5) is selected, one of the other options must be selected to apply to any non-discretionary Matching Employer Contributions.
			
		 		 	Note: If Matching Employer Contributions are made more frequently than for the Contribution Period selected above, the Employer must calculate the Matching Employer Contribution required with respect to the full
Contribution Period, taking into account the “eligible” Participant’s contributions and Compensation for the full Contribution Period, and contribute any additional Matching Employer Contributions necessary to “true up” the
Matching Employer Contribution so that the full Matching Employer Contribution is made for the Contribution Period.
			
		 	(e)	 	Continuing Eligibility Requirement(s) - A Participant who is an Active Participant during a Contribution Period and makes eligible contributions during the Contribution Period shall only be entitled to
receive Matching Employer Contributions under Section 1.11 for that Contribution Period if the Participant satisfies the following requirement(s) (Check the appropriate box(es). Options (3) and (4) may not be elected together; Option (5) may not be
elected with Option (2), (3), or (4); Options (2), (3), (4), (5), and (7) may not be elected with respect to Matching Employer Contributions if Option 1.11(a)(3), 401(k) Safe Harbor Matching Employer Contributions, is checked or if Option
1.12(a)(3), 401(k) Safe Harbor Formula, with respect to Nonelective Employer Contributions is checked and the Employer intends to satisfy the Code Section 401(m)(11) safe harbor with respect to Matching Employer Contributions):
								
		 		 	(1)	 	 ̈	  	No requirements.	 		 		 	
					
		 		 	(2)	 	x	  	Is employed by the Employer or a Related Employer on the last day of the Contribution Period.
					
		 		 	(3)	 	 ̈	  	Earns at least 501 Hours of Service during the Plan Year. (Only if the Contribution Period is the Plan Year.) 
					
		 		 	(4)	 	 ̈	  	Earns at least (not to exceed 1,000) Hours of Service during the Plan Year. (Only if the Contribution Period is the Plan Year.) 
					
		 		 	(5)	 	 ̈	  	Either earns at least 501 Hours of Service during the Plan Year or is employed by the Employer or a Related Employer on the last day of the Plan Year. (Only if the Contribution Period is the Plan Year.)

					
		 		 	(6)	 	 ̈	  	Is not a Highly Compensated Employee for the Plan Year.
					
		 		 	(7)	 	 ̈	  	Is not a partner or a member of the Employer, if the Employer is a partnership or an entity taxed as a partnership.
					
		 		 	(8)	 	 ̈	  	Special continuing eligibility requirement(s) for additional Matching Employer Contributions. (Only if Option 1.11(b), Additional Matching Employer Contributions, is checked.) 
					
		 		 		 	(A)	  	The continuing eligibility requirement(s) for additional Matching Employer Contributions is/are:                     
(Fill in number of applicable eligibility requirement(s) from above, including the number of Hours of Service if Option (4) has been selected. Options (2), (3), (4), (5), and (7) may not be elected with respect to additional
Matching Employer 

  

			
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		 		 		 		  	Contributions if Option 1.11(a)(3), 401(k) Safe Harbor Matching Employer Contributions, is checked or if Option 1.12(a)(3), 401(k) Safe Harbor Formula, with respect to Nonelective Employer Contributions is checked and
the Employer intends to satisfy the Code Section 401(m)(11) safe harbor with respect to Matching Employer Contributions.)
								
		 		 	(9)	 	x	  	See Additional Provisions Addendum.	 		 		 	
			
		 		 	Note: Except when added in conjunction with the addition of a new Matching Employer Contribution, if Option (2), (3), (4), or (5) is adopted during a Contribution Period, such Option shall not become effective
until the first day of the next Contribution Period. Matching Employer Contributions attributable to the Contribution Period that are funded during the Contribution Period shall not be subject to the eligibility requirements of Option (2), (3), (4),
or (5). If Option (2), (3), (4), (5), or (7) is elected with respect to any Matching Employer Contributions and if Option 1.12(a)(3), 401(k) Safe Harbor Formula, is also elected, the Plan will not be deemed to satisfy the “ACP” test in
accordance with Section 6.10 of the Basic Plan Document and will have to pass the “ACP” test each year.
				
		 	(f)	 	 ̈	 	Qualified Matching Employer Contributions - Prior to making any Matching Employer Contribution hereunder (other than a 401(k) Safe Harbor Matching Employer Contribution), the Employer may designate all or a
portion of such Matching Employer Contribution as a Qualified Matching Employer Contribution that may be used to satisfy the “ADP” test on Deferral Contributions and excluded in applying the “ACP” test on Employee and Matching
Employer Contributions. Unless the additional eligibility requirement is selected below, Qualified Matching Employer Contributions shall be allocated to all Participants who were Active Participants during the Contribution Period and who meet
the continuing eligibility requirement(s) described in Subsection 1.11(e) above for the type of Matching Employer Contribution being characterized as a Qualified Matching Employer Contribution.
					
		 		 	(1)	 	 ̈	  	To receive an allocation of Qualified Matching Employer Contributions a Participant must also be a Non-Highly Compensated Employee for the Plan Year.
			
		 		 	Note: Qualified Matching Employer Contributions may not be excluded in applying the “ACP” test for a Plan Year if the Employer elected Option 1.11(a)(3), 401(k) Safe Harbor Matching Employer
Contributions, or Option 1.12(a)(3), 401(k) Safe Harbor Formula, with respect to Nonelective Employer Contributions, and the “ADP” test is deemed satisfied under Section 6.09 of the Basic Plan Document for such Plan Year.
			
	1.12	 	NONELECTIVE EMPLOYER CONTRIBUTIONS	 	
		
		 	 If (a) or (b) is elected below, the Employer may make Nonelective Employer Contributions on behalf of each of its
“eligible” Participants in accordance with the provisions of this Section 1.12. Except as otherwise defined in this Adoption Agreement pertaining to Nonelective Employer Contributions, for purposes of this Section 1.12, an
“eligible” Participant means a Participant who is an Active Participant during the Contribution Period and who satisfies the requirements of Subsection 1.12(d) or Section 1.13.

 
 Note: An Employer may elect both a fixed formula and a discretionary formula. If
both are selected, the discretionary formula shall be treated as an additional Nonelective Employer Contribution and allocated separately in accordance with the allocation formula selected by the Employer.

							
		 	(a)	 	 ̈	 	Fixed Formula :	 		 		 	
					
		 		 	(1)	 	 ̈	  	Fixed Percentage Employer Contribution - For each Contribution Period, the Employer shall contribute for each “eligible” Participant a percentage of such “eligible” Participant’s
Compensation equal to):
					
		 		 		 	(A)	  	        % (not to exceed 25%) to all “eligible” Participants.

  

			
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		 		  		  	Note: The allocation formula in Option 1.12(a)(1)(A) above generally satisfies a design-based safe harbor pursuant to the regulations under Code Section 401(a)(4).
					
		 		  	(2)	  	 ̈	  	Fixed Flat Dollar Employer Contribution - The Employer shall contribute for each “eligible” Participant an amount equal to:
					
		 		  		  	(A)	  	$         to all “eligible” Participants. (Complete (i) below).
						
		 		  		  		  	(i)	  	The contribution amount is based on an “eligible” Participant’s service for the following period (check one of the following):
								
		 		  		  		  		  	(I)	  	 ̈	  	Each paid hour.
								
		 		  		  		  		  	(II)	  	 ̈	  	Each Plan Year.
								
		 		  		  		  		  	(III)	  	 ̈	  	Other:                      (must be a period within the Plan Year that does not exceed one week and is uniform
with respect to all “eligible” Participants).
				
		 		  		  	Note: The allocation formula in Option 1.12(a)(2)(A) above generally satisfies a design-based safe harbor pursuant to the regulations under Code Section 401(a)(4).
					
		 		  	(3)	  	 ̈	  	401(k) Safe Harbor Formula - The Nonelective Employer Contribution specified in the 401(k) Safe Harbor Nonelective Employer Contributions Addendum is intended to satisfy the safe harbor contribution requirements
under Sections 401(k) and 401(m) of the Code such that the “ADP” test (and, under certain circumstances, the “ACP” test) is deemed satisfied. Please complete the 401(k) Safe Harbor Nonelective Employer Contributions Addendum to
the Adoption Agreement. (Choose only if Option 1.07(a), Deferral Contributions, is checked.) 
				
		 	(b)	  	 ̈	  	Discretionary Formula - The Employer may decide each Contribution Period whether to make a discretionary Nonelective Employer Contribution on behalf of “eligible” Participants in accordance with
Section 5.10 of the Basic Plan Document.
					
		 		  	(1)	  	 ̈	  	Non-Integrated Allocation Formula - In the ratio that each “eligible” Participant’s Compensation bears to the total Compensation paid to all “eligible” Participants for the Contribution
Period.
			
		 		  	Note: The allocation formula in Option 1.12(b)(1) above generally satisfies a design-based safe harbor pursuant to the regulations under Code Section 401(a)(4).
					
		 		  	(2)	  	 ̈	  	Integrated Allocation Formula - As (1) a percentage of each “eligible” Participant’s Compensation plus (2) a percentage of each “eligible” Participant’s Compensation in excess of the
“integration level” as defined below. The percentage of Compensation in excess of the “integration level” shall be equal to the lesser of the percentage of the “eligible” Participant’s Compensation allocated under
(1) above or the “permitted disparity limit” as defined below.
				
		 		  		  	Note: An Employer that has elected Option 1.12(a)(3), 401(k) Safe Harbor Formula, may not take Nonelective Employer Contributions made to satisfy the 401(k) safe harbor into account in applying the integrated
allocation formula described above.

  

			
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		 		  		  	(A)	  	“Integration level” means the Social Security taxable wage base for the Plan Year, unless the Employer elects a lesser amount in (i) or (ii) below.
						
		 		  		  		  	 (i)
	  	         % (not to exceed 100%)
of the Social Security taxable wage base for the Plan Year, or

						
		 		  		  		  	 (ii)
	  	 $         (not to exceed the Social
Security taxable wage base).

					
		 		  		  		  	“Permitted disparity limit” means the percentage provided by the following table:

  

					
	 The “Integration Level”

is         % of the

Taxable Wage Base
	  	The “Permitted
Disparity
Limit” is	 
	 20% or less
	  	 	5.7	% 
	 More than 20%, but not more than 80%
	  	 	4.3	% 
	 More than 80%, but less than 100%
	  	 	5.4	% 
	 100%
	  	 	5.7	% 

  

															
		 		 		 	The Social Security taxable wage base is the contribution and benefit base in effect under Section 230 of the Social Security Act at the beginning of the Plan Year.
				
		 		 		 	Note: The allocation formula in Option 1.12(b)(2) above generally satisfies a design-based safe harbor pursuant to the regulations under Code Section 401(a)(4).
				
		 		 		 	Note: An Employer who maintains any other plan that provides for or imputes Social Security Integration (permitted disparity) may not elect Option 1.12(b)(2).
			
		 	(c)	 	Contribution Period for Nonelective Employer Contributions - The Contribution Period for purposes of calculating the amount of Nonelective Employer Contributions is the Plan Year, unless the Employer
elects another Contribution Period below. Regardless of any selection made below, the Contribution Period for 401(k) Safe Harbor Nonelective Employer Contributions under Option 1.12(a)(3) or Nonelective Employer Contributions allocated under an
integrated formula selected under Option 1.12(b)(2) is the Plan Year.
							
		 		 	(1)	 	 ̈	  	each calendar month.	  		  	
							
		 		 	(2)	 	 ̈	  	each Plan Year quarter.	  		  	
							
		 		 	(3)	 	 ̈	  	each payroll period.	  		  	
			
		 		 	Note: If Nonelective Employer Contributions are made more frequently than for the Contribution Period selected above, the Employer must calculate the Nonelective Employer Contribution required with respect to the
full Contribution Period, taking into account the “eligible” Participant’s Compensation for the full Contribution Period, and contribute any additional Nonelective Employer Contributions necessary to “true up” the
Nonelective Employer Contribution so that the full Nonelective Employer Contribution is made for the Contribution Period.
			
		 	(d)	 	Continuing Eligibility Requirement(s) - A Participant shall only be entitled to receive Nonelective Employer Contributions for a Plan Year under this Section 1.12 if the Participant is an Active
Participant during the Plan Year and satisfies the following requirement(s) (Check the appropriate box(es) - Options (3) and (4) may not be elected together; Option (5) may not be elected with Option (2), (3), or (4); Options (2), (3), (4), (5), and
(7) may not be elected with respect to Nonelective Employer Contributions under the fixed formula if Option 1.12(a)(3), 401(k) Safe Harbor Formula, is checked):
							
		 		 	(1)	 	 ̈	  	No requirements.	  		  	

  

			
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		 		 	(2)	 	 ̈	  	Is employed by the Employer or a Related Employer on the last day of the Contribution Period.
					
		 		 	(3)	 	 ̈	  	Earns at least 501 Hours of Service during the Plan Year. (Only if the Contribution Period is the Plan Year.) 
					
		 		 	(4)	 	 ̈	  	Earns at least (not to exceed 1,000) Hours of Service during the Plan Year. (Only if the Contribution Period is the Plan Year.) 
					
		 		 	(5)	 	 ̈	  	Either earns at least 501 Hours of Service during the Plan Year or is employed by the Employer or a Related Employer on the last day of the Plan Year. (Only if the Contribution Period is the Plan Year.) 
					
		 		 	(6)	 	 ̈	  	Is not a Highly Compensated Employee for the Plan Year.
					
		 		 	(7)	 	 ̈	  	Is not a partner or a member of the Employer, if the Employer is a partnership or an entity taxed as a partnership.
					
		 		 	(8)	 	 ̈	  	Special continuing eligibility requirement(s) for discretionary Nonelective Employer Contributions. (Only if both Options 1.12(a) and (b) are checked.)
					
		 		 		 	(A)	  	The continuing eligibility requirement(s) for discretionary Nonelective Employer Contributions is/are:
                     (Fill in number of applicable eligibility requirement(s) from above, including the number of Hours of Service if
Option (4) has been selected.) 
			
		 		 	Note: Except when added in conjunction with the addition of a new Nonelective Employer Contribution, if Option (2), (3), (4), or (5) is adopted during a Contribution Period, such Option shall not become effective
until the first day of the next Contribution Period. Nonelective Employer Contributions attributable to the Contribution Period that are funded during the Contribution Period shall not be subject to the eligibility requirements of Option (2), (3),
(4), or (5).
		
	1.13	 	EXCEPTIONS TO CONTINUING ELIGIBILITY REQUIREMENTS
			
		 	 ̈	 	Death, Disability, and Retirement Exceptions - All Participants who become disabled, as defined in Section 1.15, retire, as provided in Subsection 1.14(a), (b), or (c), or die are
excepted from any last day or Hours of Service requirement. For purposes of this Section, any Participant who dies while performing qualified military service as defined in Code Section 414(u)(5) will be excepted from any last day or Hours of
Service requirement.
					
	1.14	 	RETIREMENT	  		  		  	
			
		 	(a)	 	The Normal Retirement Age under the Plan is (check one):
								
		 		 	(1)	 	x	  	age 65.	  		  		  	
					
		 		 	(2)	 	 ̈	  	age                      (specify between 55 and 64).
					
		 		 	(3)	 	 ̈	  	later of age                      (not to exceed 65) or the
                     (not to exceed 5th) anniversary of the Participant’s Employment Commencement Date.

  

			
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		 	(b)	 	 ̈	 	The Early Retirement Age is the date the Participant attains age                      and completes
                     years of Vesting Service.
			
		 		 	Note: If this Option is elected, Participants who are employed by the Employer or a Related Employer on the date they reach Early Retirement Age shall be 100% vested in their Accounts under the Plan.
				
		 	(c)	 	x	 	A Participant who becomes disabled, as defined in Section 1.15, is eligible for disability retirement.
			
		 		 	Note: If this Option is elected, Participants who are employed by the Employer or a Related Employer on the date they become disabled shall be 100% vested in their Accounts under the Plan. Pursuant to Section
11.03 of the Basic Plan Document, a Participant is not considered to be disabled until he terminates his employment with the Employer.
		
	1.15	 	DEFINITION OF DISABLED
		
		 	A Participant is disabled if he/she meets any of the requirements selected below:
				
		 	(a)	 	 ̈	 	The Participant satisfies the requirements for benefits under the Employer’s long-term disability plan.
				
		 	(b)	 	x	 	The Participant satisfies the requirements for Social Security disability benefits.
				
		 	(c)	 	 ̈	 	The Participant is determined to be disabled by a physician approved by the Employer.
		
	1.16	 	VESTING
		
		 	A Participant’s vested interest in Matching Employer Contributions and/or Nonelective Employer Contributions, other than those described in Subsection 5.11(a) of the Basic Plan Document, shall be based upon his
years of Vesting Service and the schedule selected in Subsection 1.16(c) below, except as provided in the Vesting Schedule Addendum to the Adoption Agreement or as provided in Subsection 1.22(c).
			
		 	(a)	 	When years of Vesting Service are determined, the elapsed time method shall be used.
				
		 	(b)	 	 ̈	 	Years of Vesting Service shall exclude service prior to the Plan’s original Effective Date as listed in Subsection 1.01(g)(1) or Subsection 1.01(g)(2), as applicable.
			
		 	(c)	 	Vesting Schedule(s)

  

													
					
		 	 (1)
	 	 Nonelective Employer Contributions (check one): 
	 	 (2)
	 	 Matching Employer Contributions (check one): 

							
		 	 (A)
	 	 x
	  	 N/A - No Nonelective Employer Contributions
	 	 (A)
	 	  ̈
	 	 N/A – No Matching Employer Contributions

							
		 	 (B)
	 	  ̈
	  	 100% Vesting immediately
	 	 (B)
	 	 x
	 	 100% Vesting immediately

							
		 	 (C)
	 	  ̈
	  	 3 year cliff (see C below)
	 	 (C)
	 	  ̈
	 	 3 year cliff (see C below)

							
		 	 (D)
	 	  ̈
	  	 6 year graduated (see D below)
	 	 (D)
	 	  ̈
	 	 6 year graduated (see D below)

							
		 	 (E)
	 	  ̈
	  	 Other vesting (complete E1 below)
	 	 (E)
	 	  ̈
	 	 Other vesting (complete E2 below)

  

			
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	 Years of Vesting Service
	  	Applicable Vesting Schedule(s)	 
	 	  	C	 	 	D	 	 	E1	 	 	E2	 
	 0
	  	 	0	% 	 	 	0	% 	 	 	    	% 	 	 	    	% 
	 1
	  	 	0	% 	 	 	0	% 	 	 	    	% 	 	 	    	% 
	 2
	  	 	0	% 	 	 	20	% 	 	 	    	% 	 	 	    	% 
	 3
	  	 	100	% 	 	 	40	% 	 	 	    	% 	 	 	    	% 
	 4
	  	 	100	% 	 	 	60	% 	 	 	    	% 	 	 	    	% 
	 5
	  	 	100	% 	 	 	80	% 	 	 	    	% 	 	 	    	% 
	 6 or more
	  	 	100	% 	 	 	100	% 	 	 	    	% 	 	 	100	% 

  

															
		 	Note: A schedule elected under E1 or E2 above must be at least as favorable as one of the schedules in C or D above. If the vesting schedule is amended, any such amendment must satisfy the requirements of Section
16.04 of the Basic Plan Document
		
		 	Note: The amendment of the plan to add a Fixed Nonelective Employer Contribution, Discretionary Nonelective Employer Contribution, 401(k) Safe Harbor Nonelective Employer Contribution, Fixed Matching Employer
Contribution, Discretionary Matching Employer Contribution, Additional Matching Employer Contribution, or 401(k) Safe Harbor Matching Employer Contribution and an attendant vesting schedule does not constitute an amendment to a vesting schedule
under Section 16.04 of the Basic Plan Document, unless a contribution source of the same type exists under the Plan on the effective date of such amendment. Any amendment to the vesting schedule of one such contribution source shall not require the
amendment of the vesting schedule of any other such contribution source, notwithstanding the fact that one or more Participants may be subject to different vesting schedules for such different contribution sources.
				
		 	(d)	 	 ̈	  	A vesting schedule or schedules different from the vesting schedule(s) selected above applies to certain Participants. Please complete Section (a) of the Vesting Schedule Addendum to the Adoption Agreement.
				
	1.17	 	PREDECESSOR EMPLOYER SERVICE	  		  	
				
		 	(a)	 	 ̈	  	Service for purposes of eligibility in Subsection 1.04(b) and vesting in Subsection 1.16 of this Plan shall include service with the following predecessor employer(s):
				
		 		 		  	  

				
		 		 		  	  

				
		 		 		  	  

				
	1.18	 	PARTICIPANT LOANS	  		  	
				
		 	(a)	 	x	  	Participant loans are allowed in accordance with Article 9, except as modified in the Additional Provisions Addendum.

  

			
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	1.19	 	IN-SERVICE WITHDRAWALS	  		  	
		
		 	Participants may make withdrawals prior to termination of employment under the following circumstances:
				
		 	(a)	 	x	 	Hardship Withdrawals - Hardship withdrawals shall be allowed in accordance with Section 10.05 of the Basic Plan Document, subject to a $500.00 minimum amount.
					
		 		 	(1)	 	Hardship withdrawals will be permitted from:	  	
						
		 		 		 	(A)	 	 ̈	  	A Participant’s Deferral Contributions Account only.
						
		 		 		 	(B)	 	x	  	The Accounts specified in the In-Service Withdrawals Addendum. Please complete Section (c) of the In-Service Withdrawals Addendum.
				
		 	(b)	 	x	 	Age 59 1/2 - Participants shall be entitled to receive a distribution of all or any portion of the following Accounts upon attainment of age 59 1/2:
					
		 		 	(1)	 	 ̈	 	Deferral Contributions Account.
					
		 		 	(2)	 	x	 	All vested Account balances.
					
		 		 	(3)	 	x	 	See In-Service Withdrawals Addendum.
			
		 	(c)	 	Withdrawal of Employee Contributions, Rollover Contributions and certain other contributions
				
		 		 	(1)	 	Unless otherwise provided below, Employee Contributions may be withdrawn in accordance with Section 10.02 of the Basic Plan Document at any time.
						
		 		 		 	(A)	 	x	  	Employees may not make withdrawals of Employee Contributions more frequently than:
						
		 		 		 		 		  	Employee Contributions may be withdrawn up to one time in any six-consecutive month period
				
		 		 	(2)	 	Rollover Contributions may be withdrawn in accordance with Section 10.03 of the Basic Plan Document at any time.
				
		 		 	(3)	 	Active Military Distribution (HEART Act) - Certain contributions restricted from distribution only due to Code Section 401(k)(2)(B)(i)(I) may be withdrawn by Participants performing military service in
accordance with Section 10.01 of the Basic Plan Document at any time.
				
		 	(d)	 	 ̈	 	Qualified Disaster Distribution - One or more Qualified Disaster Distributions shall be allowed in accordance with Section 10.08 of the Basic Plan Document. Please complete the In-Service Withdrawals
Addendum to the Adoption Agreement identifying each such Qualified Disaster Distribution.
				
		 	(e)	 	 ̈	 	Qualified Reservist Distribution - A Qualified Reservist Distribution shall be allowed in accordance with Section 10.09 of the Basic Plan Document.
				
		 	(f)	 	 ̈	 	Age 62 Distribution of Money Purchase Benefits - A Participant who has attained at least age 62, shall be entitled to receive a distribution of all or any portion of the vested amounts attributable to
benefit amounts accrued as a result of the Participant’s participation in a money purchase pension plan (due to a merger into this Plan of money purchase pension plan assets), if any. (Choose only if Option 1.20(d)(1)(B) is
selected.) 

  

			
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		 	(g)	 	x	 	Additional In-Service Withdrawal Provisions - Benefits are payable as (check the appropriate box(es)):
					
		 		 	(1)	 	x	 	an in-service withdrawal of vested amounts attributable to Employer Contributions maintained in a Participant’s Account (check (A) and/or (B)):
						
		 		 		 	(A)	 	x	 	for at least 36 (24 or more) months.
							
		 		 		 		 	(i)	 	x	 	Special restrictions apply to such in-service withdrawals, see the In-Service Withdrawals Addendum to the Adoption Agreement.
						
		 		 		 	(B)	 	x	 	after the Participant has at least 60 months of participation.
							
		 		 		 		 	(i)	 	x	 	Special restrictions apply to such in-service withdrawals, see the In-Service Withdrawals Addendum to the Adoption Agreement.
					
		 		 	(2)	 	x	 	another in-service withdrawal option that is permissible under the Code. Please complete the In-Service Withdrawals Addendum to the Adoption Agreement identifying the in-service withdrawal option(s).
		
		 	Note: Any withdrawal indicated in this Section may be a “protected benefit” under Code Section 411(d)(6) which can be eliminated only to the extent permitted by applicable guidance.
		
	1.20	 	FORM OF DISTRIBUTIONS
		
		 	Subject to Section 13.01, 13.02 and Article 14 of the Basic Plan Document, distributions under the Plan shall be paid as provided below.
			
		 	(a)	 	Lump Sum Payments - Lump sum payments are always available under the Plan and are the normal form of payment under the Plan except as modified in Subsection 1.20(d)(2) below.
				
		 	(b)	 	x	 	Installment Payments - Participants may elect distribution under a systematic withdrawal plan (installments).
				
		 	(c)	 	 ̈	 	Partial Withdrawals - A Participant whose employment has terminated and whose Account is distributable in accordance with the provisions of Article 12 of the Basic Plan Document may
elect to withdraw any portion of his Distributable vested interest in his Account in cash at any time.
				
		 	(d)	 	 ̈	 	Annuities (Check if the Plan is retaining any annuity form(s) of payment.)
					
		 		 	(1)	 	 ̈	 	An annuity form of payment is available under the Plan because the Plan either converted from or received a transfer of assets from a plan that was subject to the minimum funding requirements of Code Section 412 and
therefore an annuity form of payment is a protected benefit under the Plan in accordance with Code Section 411(d)(6).
				
		 		 	(2)	 	The normal form of payment under the Plan is (check (A) or (B)):
						
		 		 		 	(A)	 	 ̈	 	Lump sum is the normal form of payment for:
							
		 		 		 		 	(i)	 	 ̈	 	All Participants
							
		 		 		 		 	(ii)	 	 ̈	 	All Participants except those as indicated on the Forms of Payment Addendum.
						
		 		 		 	(B)	 	 ̈	 	Life annuity is the normal form of payment for all Participants.

  

			
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		 		 	(3)	 	 ̈	 	The Plan offers at least one other form of annuity as specified in the Forms of Payment Addendum.
			
		 		 	Note: A life annuity option will continue to be an available form of payment for any Participant who elected such life annuity payment before the effective date of its elimination.
			
		 	(e)	 	Cash Outs and Implementation of Required Rollover Rule
					
		 		 	(1)	 	x	 	If the vested Account balance payable to an individual is less than or equal to the cash out limit utilized for such individual, such Account will be distributed in accordance with the provisions of Section 13.02 or
18.04 of the Basic Plan Document. The cash out limit is:
						
		 		 		 	(A)	 	x	 	$1,000.
						
		 		 		 	(B)	 	 ̈	 	The dollar amount specified in Code Section 411(a)(11)(A) ($5,000 as of January 1, 2013). Any distribution greater than $1,000 that is made to a Participant without the Participant’s consent before the
Participant’s Normal Retirement Age (or age 62, if later) will be rolled over to an individual retirement plan designated by the Plan Administrator.
				
		 	(f)	 	x	 	See Forms of Payment Addendum.
		
	1.21	 	TIMING OF DISTRIBUTIONS
		
		 	Except as provided in Subsection 1.21(a) or (b), distribution shall be made to an eligible Participant from his vested interest in his Account as soon as reasonably practicable following the Participant’s request
for distribution pursuant to Article 12 of the Basic Plan Document.
			
		 	(a)	 	Distribution shall be made to an eligible Participant from his vested interest in his Account as soon as reasonably practicable following the date the Participant’s application for distribution is received by the
Administrator, but in no event later than his Required Beginning Date, as defined in Subsection 2.01(tt).
				
		 	(b)	 	 ̈	 	Preservation of Same Desk Rule - Check if the Employer wants to continue application of the same desk rule described in Subsection 12.01(b) of the Basic Plan Document regarding distribution of Deferral
Contributions, Qualified Nonelective Employer Contributions, Qualified Matching Employer Contributions, 401(k) Safe Harbor Matching Employer Contributions, and 401(k) Safe Harbor Nonelective Employer Contributions. (If any of the above-listed
contribution types were previously distributable upon severance from employment, this Option may not be selected.) 
		
	1.22	 	TOP HEAVY STATUS
			
		 	(a)	 	The Plan shall be subject to the Top-Heavy Plan requirements of Article 15 (check one):
					
		 		 	(1)	 	 ̈	 	for each Plan Year, whether or not the Plan is a “top-heavy plan” as defined in Subsection 15.01(g) of the Basic Plan Document.
					
		 		 	(2)	 	x	 	for each Plan Year, if any, for which the Plan is a “top-heavy plan” as defined in Subsection 15.01(g) of the Basic Plan Document.
					
		 		 	(3)	 	 ̈	 	Not applicable. (Choose only if (A) Plan covers only employees subject to a collective bargaining agreement, or (B) Option 1.11(a)(3), 401(k) Safe Harbor
Matching

  

			
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		 		 		 		 	Employer Contributions, or Option 1.12(a)(3), 401(k) Safe Harbor Formula, is selected, and the Plan does not provide for Employee Contributions or any other type of Employer Contributions.)
			
		 	(b)	 	If the Plan is or is treated as a “top-heavy plan” for a Plan Year, each non-key Employee shall receive an Employer Contribution of at least 5% (3 or 5)% of Compensation for the Plan Year or such other amount
in accordance with Section 15.03 of the Basic Plan Document or as elected on the 416 Contributions Addendum. The minimum Employer Contribution provided in this Subsection 1.22(b) shall be made under this Plan only if the Participant is not entitled
to such contribution under another qualified plan of the Employer, unless the Employer elects otherwise below:
					
		 		 	(1)	 	 ̈	 	The minimum Employer Contribution shall be paid under this Plan in any event.
					
		 		 	(2)	 	 ̈	 	Another method of satisfying the requirements of Code Section 416. Please complete the 416 Contributions Addendum to the Adoption Agreement describing the way in which the minimum contribution requirements will be
satisfied in the event the Plan is or is treated as a “top-heavy plan”.
					
		 		 	(3)	 	 ̈	 	Not applicable. (Choose only if (A) Plan covers only employees subject to a collective bargaining agreement, or (B) Option 1.11(a)(3), 401(k) Safe Harbor Matching Employer Contributions,
or Option 1.12(b)(3), 401(k) Safe Harbor Formula, is selected, and the Plan does not provide for Employee Contributions or any other type of Employer Contributions.) 
			
		 		 	Note: The minimum Employer Contribution may be less than the percentage indicated in Subsection 1.22(b) above to the extent provided in Section 15.03 of the Basic Plan Document.
			
		 	(c)	 	If the Plan is or is treated as a “top-heavy plan” for a Plan Year, the vesting schedule found in Subsection 1.16(c)(1) shall apply for such Plan Year and each Plan Year thereafter, except with regard to
Participants for whom there is a more favorable vesting schedule for Nonelective Employer Contributions. If the Employer has selected Option 1.01(b)(1) and the minimum Employer Contribution will not be immediately 100% vested, the Vesting Schedule
Addendum must contain the applicable vesting schedule.
		
	1.23	 	CORRECTION TO MEET 415 REQUIREMENTS UNDER MULTIPLE DEFINED CONTRIBUTION PLANS
			
		 	 ̈	 	Other Order for Limiting Annual Additions – If the Employer maintains other defined contribution plans, annual additions to a Participant’s Account shall be limited as provided in Section 6.12 of
the Basic Plan Document to meet the requirements of Code Section 415, unless the Employer elects this Option and completes the 415 Correction Addendum describing the order in which annual additions shall be limited among the plans.
		
	1.24	 	INVESTMENT DIRECTION
		
		 	Subject to Section 8.03 of the Basic Plan Document, Participant Accounts shall be invested (check one):
				
		 	(a)	 	 ̈	 	in accordance with the investment directions provided to the Trustee by the Employer for allocating all Participant Accounts among the Permissible Investments.
				
		 	(b)	 	x	 	in accordance with the investment directions provided to the Trustee by each Participant for allocating his entire Account among the Permissible
Investments.

  

			
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		 	(c)	 	 ̈	 	in accordance with the investment directions provided to the Trustee by each Participant for all contribution sources in his Account, except that the following sources shall be invested in accordance with the investment
directions provided by the Employer (check (1) and/or (2)):
					
		 		 	(1)	 	 ̈	 	Nonelective Employer Contributions
					
		 		 	(2)	 	 ̈	 	Matching Employer Contributions
			
		 	Note:	 	The Employer must direct the applicable sources among the Permissible Investments.
		
	1.25	 	ADDITIONAL PROVISIONS AND PROTECTED BENEFITS
				
		 	(a)	 	x	 	Additional Provisions - The Plan includes certain provisions that are not delineated through the above elections in this Adoption Agreement, but are incorporated into Fidelity Basic Plan Document 17 and are
described within the Additional Provisions Addendum. The provisions included within the Additional Provisions Addendum supplement and/or alter the provisions of this Adoption Agreement and/or the Basic Plan Document.
				
		 	(b)	 	 ̈	 	Protected Benefit Provisions - The Plan includes provisions that are “protected benefits” under Code Section 411(d)(6) and are not delineated through the above elections in this Adoption
Agreement, but are described within the Protected Benefit Provisions Addendum.
		
	1.26	 	SUPERSEDING PROVISIONS
				
		 	(a)	 	x	 	The Employer has completed the Plan Superseding Provisions Addendum to show the provisions of the Plan which supersede provisions of this Adoption Agreement and/or the Basic Plan Document.
				
		 		 		 	Note: If the Employer elects superseding provisions in Option (a) above, the Employer may not be permitted to rely on the Volume Submitter Sponsor’s advisory letter for qualification of its Plan. In addition,
such superseding provisions may in certain circumstances affect the Plan’s status as a pre-approved volume submitter plan eligible for the 6-year remedial amendment cycle.
				
		 	(b)	 	x	 	The Employer has completed the Trust Superseding Provisions Addendum to show the provisions of the Plan which supersede provisions of the Trust Agreement in the Basic Plan Document.
		
	1.27	 	RELIANCE ON ADVISORY LETTER
		
		 	An adopting Employer may rely on an advisory letter issued by the Internal Revenue Service as evidence that this Plan is qualified under Code Section 401 only to the extent provided in Section 19.02 of Revenue Procedure
2011- 49. The Employer may not rely on the advisory letter in certain other circumstances or with respect to certain qualification requirements, which are specified in the advisory letter issued with respect to this Plan and in Section 19.03 of
Revenue Procedure 2011-49. In order to have reliance in such circumstances or with respect to such qualification requirements, application for a determination letter must be made to Employee Plans Determinations of the Internal Revenue
Service.
		
		 	Failure to properly complete the Adoption Agreement and failure to operate the Plan in accordance with the terms of the Plan document may result in disqualification of the Plan.
		
		 	This Adoption Agreement may be used only in conjunction with Fidelity Basic Plan Document No. 17. The Volume Submitter Sponsor shall inform the adopting Employer of any amendments made to the Plan or of the
discontinuance or abandonment of the volume submitter plan document.

  

			
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	1.28	 	ELECTRONIC SIGNATURE AND RECORDS
		
		 	This Adoption Agreement, and any amendment thereto, may be executed or affirmed by an electronic signature or electronic record permitted under applicable law or regulation, provided the type or method of electronic signature or
electronic record is acceptable to the Trustee.

  

					
	1.29	 	VOLUME SUBMITTER INFORMATION:	 	
			
		 	Name of Volume Submitter Sponsor:	 	Fidelity Management & Research Company
		 	Address of Volume Submitter Sponsor:	 	245 Summer Street
		 		 	Boston, MA 02210

  

			
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 EXECUTION PAGE 
  

			
	Plan Name    	  	Unisys Technical Services Savings Plan (the “Plan”)
		
	Employer:	  	Unisys Corporation

 The Fidelity Basic Plan Document No. 17 and the accompanying Adoption Agreement together comprise the Volume Submitter Defined
Contribution Plan. It is the responsibility of the adopting Employer to review this volume submitter plan document with its legal counsel to ensure that the volume submitter plan is suitable for the Employer and that Adoption Agreement has been
properly completed prior to signing. 
 IN WITNESS WHEREOF, the Employer has caused this Adoption Agreement to be executed this 28th day
of December, 2015. 
  

			
	Employer:	 	 Unisys Corporation

		
	By:	 	 /s/ Gerald P. Kenney

		
	Title:	 	 SVP and General Counsel

 Note: Only one authorized signature is required to execute this Adoption Agreement unless the Employer’s corporate
policy mandates two authorized signatures. 
  

									
	Accepted by:	 	 Fidelity Management Trust Company, as Trustee
	 		 		 	
					
	By:	 	 /s/ James F. Harrigan
	 		 	Date:	 	 12/30/2015

					
	Title:	 	 Authorized Signatory
	 		 		 	

  

			
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 EXECUTION PAGE 
  

			
	Plan Name    	  	Unisys Technical Services Savings Plan (the “Plan”)
		
	Employer:	  	Unisys Corporation

 The Fidelity Basic Plan Document No. 17 and the accompanying Adoption Agreement together comprise the Volume Submitter Defined
Contribution Plan. It is the responsibility of the adopting Employer to review this volume submitter plan document with its legal counsel to ensure that the volume submitter plan is suitable for the Employer and that Adoption Agreement has been
properly completed prior to signing. 
 IN WITNESS WHEREOF, the Employer has caused this Adoption Agreement to be executed this 29th day
of December, 2015. 
  

			
	Employer:	 	 Unisys Corporation

		
	By:	 	 /s/ Janet B. Haugen

		
	Title:	 	 SVP and CFO

 Note: Only one authorized signature is required to execute this Adoption Agreement unless the Employer’s corporate
policy mandates two authorized signatures. 
  

									
	Accepted by:	 	 Fidelity Management Trust Company, as Trustee
	 		 		 	
					
	By:	 	 /s/ James F. Harrigan
	 		 	Date:	 	 12/30/2015

					
	Title:	 	 Authorized Signatory
	 		 		 	

  

			
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 EXECUTION PAGE 
  

			
	Plan Name    	  	Unisys Technical Services Savings Plan (the “Plan”)
		
	Employer:	  	Unisys Corporation

 The Fidelity Basic Plan Document No. 17 and the accompanying Adoption Agreement together comprise the Volume Submitter Defined
Contribution Plan. It is the responsibility of the adopting Employer to review this volume submitter plan document with its legal counsel to ensure that the volume submitter plan is suitable for the Employer and that Adoption Agreement has been
properly completed prior to signing. 
 IN WITNESS WHEREOF, the Employer has caused this Adoption Agreement to be executed this 28th day of December, 2015. 
  

			
	Employer:	 	 Unisys Corporation

		
	By:	 	 /s/ David A. Loeser

		
	Title:	 	 SR VP Human Resources

 Note: Only one authorized signature is required to execute this Adoption Agreement unless the Employer’s corporate
policy mandates two authorized signatures. 
  

									
	Accepted by:	 	 Fidelity Management Trust Company, as Trustee
	 		 		 	
					
	By:	 	 /s/ James F. Harrigan
	 		 	Date:	 	 12/30/2015

					
	Title:	 	 Authorized Signatory
	 		 		 	

  

			
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 PARTICIPATING EMPLOYERS ADDENDUM 

for 
 Plan Name: Unisys
Technical Services Savings Plan 
 Note: All participating employers must be a business entity of a type recognized under Treasury Regulation Section
301.7701-2(a). 
  

					
	(a)	 	x	 	Only the following Related Employers (as defined in Subsection 2.01(rr) of the Basic Plan Document) participate in the Plan (list each participating Related Employer and its Employer Tax Identification Number):
			
		 		 	Unisys Technical Services, L.L.C., 23-2802180
			
	(b)	 	 ̈	 	All Related Employer(s) as defined in Subsection 2.01(rr) of the Basic Plan Document participate in the Plan.

  

			
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 IN-SERVICE WITHDRAWALS ADDENDUM 

for 
 Plan
Name: Unisys Technical Services Savings Plan 
  

					
		
	(a)	 	Restrictions on In-Service Withdrawals of Amounts Held for Specified Period - The following restrictions apply to in-service withdrawals made in accordance with Subsection 1.19(g)(1)(A)
(cannot include any mandatory suspension of contributions restriction):
			
		 	(1)	 	A Participant who is an Employee and who has withdrawn the entire balance of his Employee Contributions (After-tax Account) and his Company Supplemental Account may, up to one time in any six consecutive month period, withdraw
the portion of the balance of his GPEP Award Account attributable to Contributions made at least 36-months prior to the date the withdrawal is requested.
		
	(b)	 	Restrictions on In-Service Withdrawals Because of Participation in Plan for 60 or More Months - The following restrictions apply to in-service withdrawals made in accordance with
Subsection 1.19(g)(1)(B) (cannot include any mandatory suspension of contributions restriction):
			
		 	(1)	 	A Participant who is an Employee may withdraw all or a portion of the balance of the vested balance of his ESOP Match, Prior 2007 Company Match, PPA 2008, PPA 2009 and any other source considered part of an “ESOP
Account”, other than the portion of his ESOP Account attributable to Safe Harbor Match, up to one time in any six-consecutive month period if the following requirements are met: (a) the Participant has withdrawn the entire balance of his
Employee Contributions (After-tax) Account; (b) the Participant’s aggregate years of participation in this Plan and any prior plan is five years.
			
		 	(2)	 	A Participant who is an Employee may withdraw all or a portion of the balance of his Company Supplemental Account up to one time in any six-consecutive month period if the following requirements are met: (a) the Participant has
withdrawn the entire balance of his Employee Contributions (After-tax) Account; (b) the Participant’s aggregate years of participation in this Plan and any prior plan is five years.
		
	(c)	 	Sources Available for In-Service Hardship Withdrawal - In-service hardship withdrawals are permitted from the sub-accounts specified below, subject to the conditions applicable to hardship
withdrawals under Section 10.05 of the Basic Plan Document:
		
		 	Deferral Contributions and vested amounts from the following sub-accounts:
		
		 	Deferral Contributions
		
	(d)	 	Other In-Service Withdrawal Provisions - In-service withdrawals from a Participant’s Accounts specified below shall be available to Participants who satisfy the requirements also specified
below (Indicate whether any such withdrawals listed are only permissible when the amounts so withdrawn are to complete a rollover described in Subsection 1.09(b) of this Adoption Agreement resulting in such amounts being retained in the Plan and
treated as “designated Roth contributions” for purposes of the Plan.): 
		
		 	In-Service Withdrawals shall be available under Adoption Agreement section 1.19 and this Addendum as described.
			
		 	(1)	 	The following restrictions apply to a Participant’s Account following an in-service withdrawal made pursuant to (d) above (cannot include any mandatory suspension of contributions restriction):
			
		 		 	In-Service Withdrawals made in accordance with Section 1.19 or this Addendum may only be withdrawn up to one time in any six-consecutive month period

  

			
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 FORMS OF PAYMENT ADDENDUM 

for 
 Plan
Name: Unisys Technical Services Savings Plan 
  

	(a)	In-Kind Distribution of Employer Stock. To the extent that a Participant’s Account is invested in Employer Stock, as defined in Section 20.12 of the Basic Plan Document, a Participant may elect
to receive distribution of his Account under the lump sum payment method in shares of Employer Stock instead of in cash. 

  

	(b)	Other Non-Annuity Form(s) of Payment. The Plan will continue to offer these form(s) of payment: 

Other Non-Annuity: Installment Payments as noted in Adoption Agreement 1.20(b), can be made at the participant’s election as monthly,
quarterly, semi-annual, or annual payments over a period of no less than one (1) year and no greater than twenty (20) years. Installment payments can be made at a Beneficiary’s election as substantially equal monthly payments over a period of
no less than the life expectancy of the Beneficiary. 

  

			
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 ADDITIONAL PROVISIONS ADDENDUM 

for 
 Plan
Name: Unisys Technical Services Savings Plan 
  

											
	(a) Additional Provision(s) – The following provisions supplement and/or, to the degree described herein, supersede other provisions of this Adoption Agreement and the Basic Plan
Document in the following manner:
		
	(1)	 	The following replaces Subsection 1.05(a):
			
		 	(a)	 	Compensation Exclusions – Compensation shall exclude the following item(s):
				
		 		 	(1)	 	Reimbursements or other expense allowances.
				
		 		 	(2)	 	Fringe benefits (cash and non-cash).
				
		 		 	(3)	 	Moving expenses.
				
		 		 	(4)	 	Deferred compensation.
				
		 		 	(5)	 	Welfare benefits.
				
		 		 	(6)	 	The value of restricted stock or of a qualified or a non-qualified stock option granted to an Employee by the Employer to the extent such value is includable in the Employee’s taxable income.
				
		 		 	(7)	 	 The following other items are excluded from Compensation (List separately any items excluded from Compensation only for a
particular group of employees and provide a description of that group.):
  
 Garden
Leave Payments. Garden Leave Payments are certain amounts negotiated under a Participant’s termination agreement that are paid during periods when no services are performed by such Participant.

			
		 		 	Note : The Participant group(s) identified above must be clearly defined in a manner that will not violate the definite predetermined allocation formula requirement of Treasury Regulation Section
1.401-1(b)(1)(ii).
			
		 		 	Note: If the Employer has selected Safe Harbor Matching Employer Contributions or 401(k) Safe Harbor Formula any exclusion listed above must be a permitted exclusion under Section 1.414(s)-1(d)(2) of the Treasury
Regulations. If the Employer has selected Safe Harbor Matching Employer Contributions, a Participant must also be permitted to make Deferral Contributions under the Plan sufficient to receive the full 401(k) Safe Harbor Matching Employer
Contribution, determined as a percentage of Compensation meeting the requirements of Code Section 414(s).
			
		 		 	Note : Compensation must be tested to show that it meets the requirements of Code Section 414(s) or, unless 401(k) Safe Harbor Formula has been selected, the allocations must be tested to show that they meet the
general test under regulations issued under Code Section 401(a)(4). With respect to Matching Employer Contributions (other than 401(k) Safe Harbor Matching Employer Contributions), Compensation for purposes of applying the limitations on Matching
Employer Contributions described in Section 6.10 of the Basic Plan Document (for deemed satisfaction of the “ACP” test), must be tested to show that it meets the requirements of Code Section 414(s).
		
	(2)	 	The following is added at the end of Subsection 1.07(a)(1)(A) as new Subsection 1.07(a)(1)(A)(i):
						
		 		 		 		 	(i)	  	The following lower deferral limit applies to Highly Compensated Employees: 18%.

  

			
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	(3)	 	The following is added at the end of Subsection 1.07(a)(1)(A) as new Subsection 1.07(a)(1)(A)(i):
						
		 		 		 		 	(i)	  	The following deferral limit applies to Participants eligible to make Catch-Up Contributions: 100.00% (cannot be less than 75 and must be a whole number multiple of one percent) of Compensation.
(Select only if Option 1.07(a)(4), Catch-Up Contributions, is selected below.) 
		
	(4)	 	The following is added at the end of Subsection 1.07(a)(1)(D) as new Subsection 1.07(a)(1)(E):
					
		 		 		 	(E)	 	The minimum Deferral Contribution is 1% of Compensation.
				
		 		 		 	Note: The ability to make Deferral Contributions is a benefit, right or feature subject to discrimination testing under Code Section 401(a)(4). If a minimum percentage is specified above, it should be reviewed to
be sure that under the facts and circumstances of the Plan, Deferral Contributions are effectively available to employees who are not Highly Compensated Employees.
		
	(5)	 	The following replaces Subsection 1.08:
			
		 	(a)	 	Future Employee Contributions - Participants may make voluntary, non-deductible, after-tax Employee Contributions pursuant to Section 5.04 of the Basic Plan Document. The Employee Contribution made on
behalf of an Active Participant each payroll period shall not be less than the minimum contribution percentage specified below, if any, and shall not exceed the contribution limit specified in Subsection 1.08(a)(1) below.
				
		 		 	(1)	 	The contribution limit is 6% of Compensation.
				
		 		 	(2)	 	The minimum contribution is 1% of Compensation.
				
		 		 		 	Note: The ability to make Employee Contributions is a benefit, right or feature subject to discrimination testing under Code Section 401(a)(4). If a minimum percentage is specified above, it should be reviewed to
be sure that under the facts and circumstances of the Plan, Employee Contributions are effectively available to employees who are not Highly Compensated Employees.
				
		 		 	(3)	 	The sum of a Participant’s Deferral Contributions plus his Employee Contributions cannot exceed 100.00% of Compensation.
		
	(6)	 	The following is added at the end of Subsection 1.18(a) as a new Subsection 1.18(a)(1) and supersedes Article 9 to the extent required:
				
		 		 	(1)	 	Loan not Due on Termination. If a Participant with an outstanding loan balance terminates employment with the Employer and all Related Employers, the outstanding principal and accrued interest on such loan shall
not be immediately due and payable as provided in Section 9.11 of the Basic Plan Document. Instead, such loan shall continue to be payable in accordance with the provisions of the loan note and Article 9 of the Basic Plan Document.
		
	(7)	 	The following replaces Section 19.05:

 19.05. Costs of Administration. All reasonable costs and expenses (including legal, accounting, and
employee communication fees) incurred by the Administrator and the Trustee in administering the Plan and Trust may be paid from the forfeitures (if any) resulting under Section 11.08, from the suspense account described in this Section, if any,
or from the remaining Trust Fund. All such costs and expenses paid from the remaining Trust Fund shall, unless allocable to the Accounts of particular Participants, be charged against the Accounts of all Participants as provided in the Service
Agreement. 
 Amounts a service provider agrees to credit to the Plan in recognition of the service provider’s compensation for Plan services will be
allocated to a suspense account from which the Administrator may pay Plan expenses and/or allocate amounts to the Accounts of Participants and Beneficiaries pro rata based on their Account balances in the Trust excluding amounts invested in a loan
pursuant to Article 9. Any amounts so allocated shall not constitute “annual additions” (as defined in Subsection 6.01(a)) under the Plan. 

  

			
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 PLAN SUPERSEDING PROVISIONS ADDENDUM 

for 
 Plan
Name: Unisys Technical Services Savings Plan 
  

	(a)	Superseding Provision(s) – The following provisions supersede other provisions of this Adoption Agreement and/or the Basic Plan Document (other than Article 20 thereof) in the manner
described: 

 (1) The following are added as additional new Subsections 1.18(a)(2), 1.18(a)(3), and 1.18(a)(4) as originally
modified via the Additional Provisions Addendum (a)(6): 
  

	 	(2)	Loans may not be taken from a Participant’s GPEP Account or tax deductible account. 

  

	 	(3)	A Participant may not have more than one loan outstanding at any time. 

  

	 	(4)	The repayment period for a loan used to acquire a principal residence may not exceed 15 years. 

(2) The following provision supersedes the applicable provisions of Section 11.04 of the Basic Plan document: 

If the Participant has no effective Beneficiary designation, his Beneficiary shall be the first of the following classes in which there is any
person surviving the Participant: (a) the Participant’s Spouse, (b) the Participant’s children, (c) the Participant’s parents, and (d) the Participant’s brothers and sisters. Unless otherwise provided in the applicable
Beneficiary form, if the Participant has no Spouse, if none of the foregoing classes include a person surviving the Participant, the Participant’s Beneficiary shall be his estate. 

  

			
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 TRUST SUPERSEDING PROVISIONS ADDENDUM 

for 
 Plan
Name: Unisys Technical Services Savings Plan 
  

	(a)	Superseding Provision(s) – The following provisions supersede other provisions of Article 20 of the Basic Plan Document in the manner described: 

The following is added to Article 20 (Trust Agreement): 

The Trustee agrees to allow the Plan to participate in the Master Trust Agreement between Fidelity and Unisys Corporation dated 01/10/2011, as
such document may be amended and in effect from time to time, for purposes of sharing all or some of the custom funds held within the Master Trust Agreement for which there are separate Operating Procedures within said Master Trust Agreement, but
only to the extent such funds are specifically designated in the Plan’s Service Agreement as Permissible Investments. 
 By executing below the Trustee
evidences its agreement to each above-listed change to the Trust Agreement. 
  

									
	Accepted by:	 	 Fidelity Management Trust Company, as Trustee
	 		 		 	
					
	By:	 	 /s/ James F. Harrigan
	 		 	Date:	 	 12/30/2015

					
	Title:	 	 Authorized Signatory
	 		 		 	

  

			
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 Volume Submitter Defined Contribution Plan 

ADDENDUM TO ADOPTION AGREEMENT 

FIDELITY BASIC PLAN DOCUMENT No. 17 

RE: American Taxpayer Relief Act of 2012 

Plan Name: Unisys Technical Services Savings Plan 

Fidelity 5-digit Plan Number: 75004 
 PREAMBLE

 Adoption and Effective Date of Amendment. This amendment of the Plan is adopted to reflect certain provisions of the American Taxpayer
Relief Act of 2012 (“ATRA”). This amendment is intended as good faith compliance with the ATRA and is to be construed in accordance with applicable guidance. This amendment shall be effective with respect to Fidelity’s Volume
Submitter plan as provided below. 
 Supersession of Inconsistent Provisions. This amendment shall supersede the provisions of the Plan
to the extent those provisions are inconsistent with the provisions of this amendment. 
  

							
	(a)	 	 ̈	 	In-Plan Roth Conversions. In accordance with Article 5 of the Basic Plan Document and as may be limited in (2) below, any Participant who is still employed by the Employer may elect to have any part of the
below-listed portions of his Account, which is fully vested, not part of an outstanding loan balance pursuant to Article 9 of the Basic Plan Document, not currently distributable and not “designated Roth contributions” under the Plan, be
considered “designated Roth contributions” for purposes of the Plan. This subsection (a) shall be effective to permit such conversions on and after the following effective date:
                (can be no earlier than January 1, 2013).
			
		 	(1)	 	The following sub-accounts are available to be converted:                     .
				
		 	(2)	 	 ̈	  	A Participant may not make an In-Plan Roth Conversion more frequently than:                     .

 Amendment Execution 

IN WITNESS WHEREOF, the Employer has caused this Amendment to be executed this      day of
        ,         . 
  

									
	Employer:	 	 Unisys Corporation
	 		 	Employer:	 	 Unisys Corporation

					
	By:	 	  
	 		 	By:	 	  

					
	Title:	 	  
	 		 	Title:	 	  

 Note: Only one authorized signature is required to execute this Adoption Agreement unless the Employer’s corporate
policy mandates two authorized signatures. 
 Accepted by: Fidelity Management Trust Company, as Trustee 

 

									
	By:	 	  
	 		 	Date:	 	  

  

			
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 EFFECTIVE DATES FOR INTERIM LEGAL COMPLIANCE SNAP OFF ADDENDUM 

for 
 Plan Name: Unisys
Technical Services Savings Plan 
 Notwithstanding any other provision of the Plan to the contrary, to comply with changes required by the final
Treasury regulations under Code Section 401(k) and 415 (“final 415 Regulations”), the Katrina Emergency Tax Relief Act (“KETRA”), the Gulf Opportunity Zone Act of 2005 (“GOZA”), the Pension Protection Act of 2006
(“PPA”), Heroes Earnings Assistance and Relief Act of 2008 (“HEART”), the Worker, Retiree and Employee Recovery Act of 2008 (“WRERA”), Proposed Treasury regulations under Code Section 401(k) & (m) (“proposed
401(k)&(m) Regulations”), Emergency Economic Stabilization Act of 2008 (“EESA”), and Small Business Jobs Act of 2010 (“SBJA”), except to the extent provided otherwise in (g) and/or (h) below, the following provisions
shall apply effective as of the dates set forth below: 
  

									
	(a)	 	415 Compliance – Effective for Plan Years and Limitation Years beginning on and after July 1, 2007, “severance amounts” (as defined in Subsection 2.01(k) of the Basic Plan Document) shall not
be included in the definition of Compensation. Amounts that would otherwise be considered “severance amounts” pursuant to Subsection 2.01(k) except for the timing or reason for the payment shall be included in the definition of
Compensation to the extent required by Subsections 2.01(k)(2)(B), (C) and/or (D) of the Basic Plan Document, and not excluded by reason of Section 1.05(a) of this Adoption Agreement, beginning on the effective date described herein, unless a
later effective date is specified below.
				
		 	(1)	 	 ̈	 	Later Effective Date. The Plan was amended to treat the payments described in Subsections 6.01(m)(4) and (5) of the Basic Plan Document as part of the definition of Compensation until Limitation Years beginning on
or after:                     (cannot be later than the date the Plan was restated onto the Fidelity Volume Submitter). 
		
	(b)	 	KETRA, GOZA and EESA Compliance – Except as otherwise indicated below, the Plan was amended to allow a Qualified Disaster Distribution to a Qualified Individual in accordance with Section 10.08 of the
Basic Plan Document for the following events provided such distribution occurred prior to January 1, 2007:
				
		 	(1)	 	 ̈	 	Unless a later is specified below, effective August 25, 2005 for a Qualified Individual in the Hurricane Katrina disaster area (as defined in Code section 1400M(2)) who has sustained an economic loss by reason of
Hurricane Katrina.
					
		 		 	(A)	 	 ̈	  	Later Effective Date:                    (cannot be later than December 31, 2006) 
				
		 	(2)	 	 ̈	 	Unless a later is specified below, effective September 23, 2005 for a Qualified Individual in the Hurricane Rita disaster area (as defined in Code section 1400M(4)) who has sustained an economic loss by reason of
Hurricane Rita.
					
		 		 	(A)	 	 ̈	  	Later Effective Date:                    (cannot be later than December 31, 2006)
				
		 	(3)	 	 ̈	 	Unless a later is specified below, effective October 23, 2005 for a Qualified Individual in the Hurricane Wilma disaster area (as defined in Code section 1400M(6)) who has sustained an economic loss by reason of
Hurricane Wilma.
					
		 		 	(A)	 	 ̈	  	Later Effective Date:                    (cannot be later than December 31, 2006) 

  

			
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		 	(4)	 	 ̈	 	For a distribution treated as a Qualified Disaster Distribution made prior to December 31, 2009 and, unless a later is specified below, effective on the date declared by the President on or after May 20, 2008, and before
August 1, 2008, under section 401 of the Robert T. Stafford Disaster Relief and Emergency Assistance Act by reason of severe storms, tornados, or flooding occurring in any of the States of Arkansas, Illinois, Indiana, Iowa, Kansas, Michigan,
Minnesota, Missouri, Nebraska, and Wisconsin.
					
		 		 	(A)	 	 ̈	 	Later Effective Date:                     (cannot be later than December 30, 2009) 
		
	(c)	 	PPA Compliance – Unless a different date is specified below, the following changes for compliance with PPA were effective as of the first day of the first Plan Year beginning on or after January 1,
2007:
				
		 	(1)	 	 ̈	 	Qualified Reservist Distributions – The Plan was amended to allow Participants to obtain a Qualified Reservist Distribution in accordance with Section 10.09 of the Basic Plan Document after the following
date: (cannot be prior to September 11, 2001).
			
		 	(2)	 	Direct Rollovers – Unless a later date is specified below, the Plan was amended to provide for the following changes:
				
		 		 	(A)	 	Unless a later date is specified below, effective for taxable years after December 31, 2006, the Plan was amended to separately account for amounts of Employee Contributions (and the earnings thereon) received as a
direct rollover from a 403(b) plan and to allow rollovers to a 403(b) plan of such amounts provided such contract provides for separate accounting of amounts so transferred (and earnings thereon).
					
		 		 		 	(i)	 	 ̈        Later Effective Date:
                     (cannot be later than the earlier of (I) the date the Plan was restated onto the Fidelity Volume Submitter or (II) the day
the Plan was first amended to allow rollovers of Employee Contributions from 403(b) plans)
				
		 		 	(B)	 	Unless a later date is specified below, effective for distributions after December 31, 2006, the Plan was amended to allow a designated beneficiary (as defined in Code section 401(a)(9)(E)) of a Participant who is not
the surviving Spouse of the Participant to elect to roll over such distribution to an individual retirement plan described in clause (i) or (ii) of paragraph (8)(B) of Code section 402(c) established for the purposes of receiving such
distribution.
					
		 		 		 	(i)	 	 ̈        Later Effective Date:
                     (cannot be later than the earlier of (I) the date the Plan was restated onto the Fidelity Volume Submitter or (II) the first
day of the first Plan Year beginning on or after January 1, 2010)
				
		 		 	(C)	 	Effective for distributions after December 31, 2007, the Plan was amended to make a Roth IRA described in Code section 408A an “eligible retirement plan,” as defined in Section 13.04(b).
				
		 	(3)	 	 ̈	 	Pre-Normal Retirement Age Pension Plan Distributions – The Plan was amended to allow Participants to obtain a distribution in accordance with Section 10.10 of the Basic Plan Document after the following date:
                     (cannot be prior to first day of the first plan year beginning after December 31, 2006). 
			
		 	(4)	 	Qualified Optional Survivor Annuity – Effective for Plan Years beginning after December 31, 2007 (subject to the effective date applicable in the event that the Plan is maintained pursuant to a collective
bargaining agreement under certain circumstances, as described in (C) below), the Plan shall also permit the Participant, subject to the spousal consent rules described in Section 14.05, to elect a qualified optional survivor annuity, which provides
for a life annuity payable to the Participant and a survivor annuity payable to the Participant’s beneficiary equal to either 75% or 50% as described in (A) or (B) below, as applicable.
				
		 		 	(A)	 	If the survivor annuity portion of the Plan’s qualified joint and survivor annuity (as defined in Section 14.01) is less than 75%, then the survivor annuity portion of the qualified optional survivor annuity shall
be 75%.

  

			
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		 		 	(B)	 	If the survivor annuity portion of the Plan’s qualified joint and survivor annuity (as defined in Section 14.01) is greater than or equal to 75%, then the survivor annuity portion of the qualified optional survivor
annuity shall be 50%.
				
		 		 	(C)	 	Notwithstanding the effective date described above in this Article 4, if the Plan is maintained pursuant to one or more collective bargaining agreements between employee representatives and one or more employers ratified
on or before August 17, 2006, then this Subsection (4) shall be effective for Plan Years beginning on and after the earlier of (i) the later of January 1, 2008 or the date on which the last of such collective bargaining agreements terminates
(determined without regard to any extension thereof after August 17, 2006), or (ii) January 1, 2009.
			
		 	(5)	 	Transfers to the Pension Benefit Guarantee Corporation upon Plan Termination – Unless a later date is specified below, the Plan was amended effective January 1, 2007 to provide that, in the event that the
Employer terminates the Plan, as described in Section 16.06, and, at the time, the whereabouts of one or more distributees are unknown, as described in Section 12.06, and the Employer so directs the Trustee, subject to applicable guidance, the
Trustee shall transfer the Accounts of such distributees to the Pension Benefit Guarantee Corporation.
					
		 		 	(A)	 	 ̈	 	Later Effective Date:                      (cannot be later than the date the Plan was restated onto the Fidelity
Volume Submitter) 
			
		 	(6)	 	Modification of rules governing Hardship Distributions – Unless a later effective date is specified below, effective beginning on August 17, 2006, the Plan allowed hardship distributions pursuant to the
reasons presented in Subsections 10.05(a)(1), (3) and (5) of the Basic Plan Document on account of a hardship/expense of a primary beneficiary.
					
		 		 	(A)	 	 ̈	 	Later Effective Date:                      (cannot be later than the date the Plan was restated onto the Fidelity
Volume Submitter)
			
		 	(7)	 	Removal of Gap Period Income – Effective for plan years beginning after December 31, 2007, the Plan does not allow the calculation of income or loss allocable to “excess deferrals”, “excess
contributions”, and “excess aggregate contributions” for the period of time elapsing between the end of the “determination year” and the date of distribution (also known as the “gap period”).
				
		 	(8)	 	 ̈	 	Previous QACA – Prior to the effective date in Section 1.01(g), the Plan previously utilized a QACA to meet the requirements of the ADP test for the following Plan Years (for each Plan Year list the
Participants covered by the QACA, the automatic enrollment rate and the deferral increase structure):
				
		 		 		 	  

				
		 		 		 	  

				
		 	(9)	 	 ̈	 	Previous EACA – Prior to the effective date in Section 1.01(g), the Plan had in place an EACA for the following Plan Years (for each Plan Year list the Participants covered by the EACA, whether there was a
permissible withdrawal permitted of the automatic enrollment contributions and, if so, the date any such permissible withdrawal was eliminated and the date after which no automatic enrollment Deferral Contributions are included in the amount of such
available withdrawal):
				
		 		 		 	  

				
		 		 		 	  

  

			
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		 	(10)	 	Discontinuing 401(k) Safe Harbor Nonelective Employer Contributions – Unless a later effective date is provided below, effective on or after July 1, 2009, the Plan may be amended to reduce or eliminate 401(k)
Safe Harbor Nonelective Employer Contributions in accordance with Section 6.12(d) of the Basic Plan Document.
					
		 		 	(A)	 	 ̈	 	Later Effective Date:                     (cannot be later than the date the Plan was restated onto the
Fidelity Volume Submitter) 
			
		 	(11)	 	Notice Adjustments – Unless a later effective date is provided below, effective for Plan Years (and the notices issued therein) beginning after December 31, 2006, the Plan was amended to provide that the
notice described in Section 13.05 would state consequences of a failure to defer and that the notice period in Sections 9.08, 12.03, 13.05 and 14.05 of the Basic Plan Document would be 180 days rather than 90 days.
					
		 		 	(A)	 	 ̈	 	Later Effective Date:                     (cannot be later than the date the Plan was restated onto the
Fidelity Volume Submitter) 
			
		 	(12)	 	Diversification out of Employer Securities – Unless a later date is provided below, the Plan was amended to provide that, if one of the Plan’s Permissible Investments is Employer Stock, all of the
following apply:
				
		 		 	(A)	 	With respect to the portion of a Participant’s or Beneficiary’s Account attributable to:
					
		 		 		 	(i)	 	Deferral, Employee and/or Rollover Contributions and invested in Employer Stock, the Participant or Beneficiary shall immediately be permitted to exchange out of Employer Stock into any other Permissible Investment
otherwise available.
					
		 		 		 	(ii)	 	Unless provided otherwise below, Matching and/or Nonelective Employer Contributions and invested in Employer Stock, the Participant or Beneficiary shall immediately be permitted to exchange out of Employer Stock into any
other Permissible Investment otherwise available.
							
		 		 		 		 	(I)	 	 ̈	 	For a Participant, such exchanges shall only be permitted after the Participant has completed at least three years of service.
				
		 		 	(B)	 	The Plan must have no fewer than three Permissible Investments, other than Employer Stock, each of which must be diversified and have materially different risk and return characteristics. A Participant or Beneficiary who
is permitted to exchange out of Employer Stock must be permitted to direct the investment of the proceeds from such an exchange out of Employer Stock into one of such Permissible Investments. Notwithstanding anything to the contrary, the following
shall apply:
					
		 		 		 	(i)	 	The Plan shall not be treated as failing to meet the requirements of this section paragraph merely because the Plan limits the time for divestment and reinvestment to periodic, reasonable opportunities occurring no less
frequently than quarterly; and
					
		 		 		 	(ii)	 	Except as provided in otherwise applicable guidance, the Plan shall not impose restrictions or conditions with respect to the investment of Employer Stock that are not imposed on the investment of other assets of the
Plan. However, the preceding sentence shall not apply to any restrictions or conditions imposed by reason of the application of securities laws.
				
		 		 	(C)	 	For purposes of this paragraph, Employer Stock shall include any employer securities (as defined in Section 407(d)(1) of ERISA) of a publicly traded company or one treated as publicly traded pursuant to
Section 401(a)(35)(F) of the Code.

  

			
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		 		 	(D)	 	 ̈	 	Employer Stock was acquired in a Plan Year beginning before January 1, 2007 and the provisions of this paragraph shall only apply to the “applicable percentage” of such securities. This provision shall be
applied separately with respect to each class of Employer Securities, but shall not apply to a Participant who has attained age 55 and completed at least three years of service (as defined in paragraph 13.1(a)(1) above) before the first Plan Year
beginning after December 31, 2005.
					
		 		 		 	(i)	 	For purposes of election, the “applicable percentage” shall be determined as follows:
						
		 		 		 		 	(I)	 	For the first Plan Year to which this paragraph applies, the applicable percentage is 33.
						
		 		 		 		 	(II)	 	For the second Plan Year to which this paragraph applies, the applicable percentage is 66.
						
		 		 		 		 	(III)	 	For the third Plan Year to which this paragraph applies and following, the applicable percentage is 100.
					
		 		 	(E)	 	 ̈	 	Delayed Effective Date for Bargained Plan. The Plan was maintained pursuant to one or more collective bargaining agreements ratified by August 17, 2006 and the effective date of the provisions of this paragraph
shall be the first day of the first Plan Year beginning on or after:
					
		 		 		 		 	Effective Date: Plan Year beginning                    (cannot be later than the earlier of the Plan Year
beginning after (i) December 31, 2008 or (ii) the later of the date on which the last of the collective bargaining agreements described above terminates (without regard to any extension on or after August 17, 2006) or December 31,
2007) 
		
	(d)	 	HEART Compliance - Unless a different date is specified below, the following changes for compliance with HEART were effective as of the first day of the first Plan Year beginning on or after January 1,
2009:
			
		 	(1)	 	Death/Disability of Participant While Performing Qualified Military Service. The Plan was amended to provide that Participants dying and/or becoming disabled on or after January 1, 2007 while performing qualified
military service as defined in Code Section 414(u)(5) (“QMS”) shall be treated under the Plan for all purposes (other than benefit accruals described in paragraph (2) below), including vesting and any exceptions to applicable last day or
Hours of Service requirements, in the same way as Active Participants who die and/or become disabled while employed, as if the Participant resumed employment with the Employer and then terminated employment on account of death or
disability.
					
		 		 	(A)	 	 ̈	 	Later Effective Date for Disabled Participants:                      (cannot be later than the date the
Plan was restated onto the Fidelity Volume Submitter). Participants becoming disabled before this date shall not be treated as having resumed employment pursuant to Section 18.06 of the Basic Plan Document on the day prior to dying or
becoming.
			
		 		 	Note: A later effective date may not be elected for Participants who die while performing QMS.
			
		 	(2)	 	Treatment of Qualified Military Service for Other Benefit Accrual Purposes. Unless a later effective date is specified below, the Plan was amended to provide that Participants dying and/or becoming disabled while
performing QMS on or after January 1, 2007 shall not be treated as having resumed employment pursuant to Section 18.06 of the Basic Plan Document on the day prior to dying or becoming disabled for purposes of calculating contributions pursuant to
Code Section 414(u)(9).
					
		 		 	(A)	 	 ̈	 	Later Effective Date:                      (cannot be later than the later of (i) the date the Plan was
restated onto the Fidelity Volume Submitter or (ii) the end of the first Plan Year 

  

			
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		 		 		 		 	beginning on or after January 1, 2010). Participants dying and/or becoming disabled after this date shall not be treated as having resumed employment pursuant to Section 18.06 of the Basic Plan Document on the day
prior to dying or becoming disabled for purposes of calculating contributions pursuant to Code Section 414(u)(9). 
			
		 	(3)	 	Differential Wages. Unless a later effective date is specified below, effective for wages paid after December 31, 2008:
				
		 		 	(A)	 	The Plan was amended to include Differential Wages in the definition of Compensation under the Plan.
						
		 		 		 	(i)	 	 ̈	 	Later Effective Date. The Plan was amended to include Differential Wages in the definition of Compensation for wages paid after the following
date:                     (cannot be later than the later of (I) the date the Plan was restated onto the Fidelity Volume Submitter or (II)
the end of the first Plan Year beginning on or after January 1, 2010) 
				
		 		 	(B)	 	The Plan was amended to provide that Compensation shall not include Differential Wages for purposes of determining the amount or allocation of contributions under Article 5 of the Plan.
						
		 		 		 	(i)	 	 ̈	 	Later Effective Date. The Plan was amended to exclude Differential Wages from Compensation for purposes of determining contributions for wages paid after the following
date:                     (cannot be later than the later of (I) the date the Plan was restated onto the Fidelity Volume Submitter or (II)
the end of the first Plan Year beginning on or after January 1, 2010) 
			
		 	(4)	 	Available In-Service Withdrawal. Unless a later effective date is specified below, the Plan was amended to provide that a Participant performing service in the uniformed services as described in Code Section
3401(h)(2)(A) shall be treated as having been severed from employment with the Employer for purposes of Code Section 401(k)(2)(B)(i)(I) and shall, as long as that service in the uniformed services continues, have the option to request a distribution
of all or any part of his or her Account restricted from distribution only due to Code Section 401(k)(2)(B)(i)(I).
					
		 		 	(A)	 	 ̈	 	Later Effective Date. The Plan was amended to allow the above-described distribution on and after the following
date:                     (cannot be later than the later of (i) the date the Plan was restated onto the Fidelity Volume Submitter or (ii)
the end of the first Plan Year beginning on or after January 1, 2010) 
		
	(e)	 	Modification of minimum distribution rules for 2009 – The Plan was amended to provide all of the following with regard to required minimum distributions for 2009 but for the enactment of Code Section
401(a)(9)(H) (“2009 RMDs”):
			
		 	(1)	 	A Participant or Beneficiary who would have been required to 2009 RMDs, and who would have satisfied that requirement by receiving distributions specifically equal to the 2009 RMDs, will not receive those distributions
for 2009 unless the Participant or Beneficiary chooses to receive such distributions.
			
		 	(2)	 	Any Participant or Beneficiary who had elected a systematic withdrawal plan (“installments”) pursuant to Section 13.01 of the Basic Plan Document to satisfy (in part or wholly) a 2009 RMD is hereby
permitted to elect to stop those installments.
			
		 	(3)	 	For only those Participants and Beneficiaries who have made the election described in paragraph (2) immediately above, there is hereby added to the Plan a partial withdrawal to allow such a Participant or Beneficiary to
withdraw any part of his or her Account prior to December 31, 2009.
			
		 	(4)	 	Participants and Beneficiaries described in paragraph (1) above will be given the opportunity to elect to receive 2009 RMDs as described in the preceding paragraphs of this Subsection.
			
		 	(5)	 	Solely for purposes of applying the direct rollover provisions of the plan, 2009 RMDs will be treated as eligible rollover distributions.

  

			
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	(f)	 	SBJA Compliance – If selected below and on the effective date provided below, the Plan was amended to allow a conversion of pre-tax assets available for withdrawal to a Roth rollover subject to the
same distribution requirements as Roth Deferral Contributions according to the following:
				
		 	(1)	 	 ̈	 	In-Plan Roth Conversion. The Plan was amended, effective on the date provided below, to allow any Participant or Beneficiary, unless otherwise specified in (B) below, to elect to have otherwise distributable
portions of his Account, which are not part of an outstanding loan balance pursuant to Article 9 of the Basic Plan Document and are not “designated Roth contributions” under the Plan, be considered “designated Roth contributions”
for purposes of the Plan.
				
		 		 	(A)	 	Effective Date:                      (cannot be prior to September 27, 2010)
					
		 		 	(B)	 	 ̈	 	On the same effective date as stated in (A) above, unless provided otherwise in (i) below, only a Participant who is still employed by the Employer or an alternate payee or spousal Beneficiary of such a Participant may
elect to make such an in-plan Roth Rollover.
						
		 		 		 	(i)	 	 ̈	 	Later Effective Date. The Plan was amended to only allow the transaction for such Participants, alternate payees and beneficiaries on and after the following date:
                    
			
	(g)	 	 ̈	 	Prior to the date specified in Subsection 1.01(g), the provisions of this amendment and restatement related to the provisions found within (a) through (f) of this Snap Off Addendum shall apply in accordance with the
provisions of this amendment and restatement, except as otherwise provided below:
			
		 		 	  

			
		 		 	  

			
		 		 	  

			
	(h)	 	 ̈	 	Prior to the date specified in Subsection 1.01(g), the provisions of this amendment and related to the provisions found within (a) through (f) of this Snap Off Addendum shall apply to all plans merged into the Plan
during the period covered by this Addendum except to the extent any such merged plan is amended to provide otherwise or as provided below:
			
		 		 	  

			
		 		 	  

			
		 		 	  

  

			
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	45EX-4.1

 Exhibit 4.1 

FORM OF WARRANT 
 THIS
WARRANT AND THE SECURITIES FOR WHICH THIS WARRANT MAY BE EXERCISED (COLLECTIVELY, THE “SECURITIES”) HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), OR APPLICABLE
STATE SECURITIES LAWS. THE SECURITIES MAY NOT BE OFFERED, SOLD, PLEDGED OR OTHERWISE TRANSFERRED EXCEPT PURSUANT TO AN EFFECTIVE REGISTRATION STATEMENT UNDER, OR AN EXEMPTION FROM THE REGISTRATION REQUIREMENTS OF, THE SECURITIES ACT AND IN
ACCORDANCE WITH ANY APPLICABLE STATE SECURITIES LAWS. 
 ATLAS ENERGY GROUP, LLC 

WARRANT TO PURCHASE COMMON UNITS 

 

			
	 Warrant No.: [●]
	 	 Number of Common Units: [●]

 Atlas Energy Group, LLC, a Delaware limited liability company (the “Company”), hereby
certifies that, for good and valuable consideration, the receipt and sufficiency of which is hereby acknowledged, [●], the registered holder hereof or its permitted assigns (the “Holder”), is entitled, subject to the terms set
forth below, to purchase from the Company, at any time or times on or after the date hereof, but not after 5:00 P.M. New York City time on the Expiration Date up to [●] ([●]) Common Units (the “Warrant
Units”) at the Exercise Price. 
 This Warrant has been issued effective as of March 30, 2016 (the “Original Issue
Date”) pursuant to that certain Second Lien Credit Agreement by and among the Company, New Atlas Holdings, LLC, Riverstone Credit Partners, L.P., as the administrative agent and collateral agent, and the other lender party thereto, dated as
of March 30, 2016 (the “Second Lien Credit Agreement”). 
 Section 1. Definitions. The following words and
terms as used in this Warrant shall have the following meanings: 
 (a) “Board” means the board of directors of the
Company. 
 (b) “Business Combination” means any of the following: (i) a merger, consolidation, statutory share
exchange or similar transaction that requires approval of the common unitholders of the Company; (ii) the sale, transfer or disposition, including any spin-off or in-kind distribution of all or substantially all of the assets, business or
securities of the Company (on a consolidated basis) to any Person or group (other than the Company or one or more of its wholly-owned subsidiaries); (iii) the dissolution, liquidation or winding up of the Company; or (iv) the Company
effecting any reorganization, recapitalization (which shall not include, for the avoidance of doubt, any issuance of Common Units for cash) or reclassification of the Common Units, other than dividends and splits subject to Section 8, or
any compulsory exchange pursuant to which the Common Units are effectively converted into or exchanged for other securities, cash or property. 

(c) “Business Day” means any day other than Saturday, Sunday or other day on which commercial banks in the city of New York
are authorized or required by law to remain closed. 
 (d) “Common Units” means (i) the common units representing
limited liability company interests in the Company and (ii) any capital securities into which such Common Units shall have been changed or any capital securities resulting from a reclassification of such Common Units. 

 (e) “Common Units Deemed Outstanding” means, at any given time, the sum of
(a) the number of Common Units actually outstanding at such time, plus (b) the number of Common Units issuable upon exercise of Options actually outstanding at such time, plus (c) the number of Common Units issuable upon conversion or
exchange of Convertible Securities actually outstanding at such time (treating as actually outstanding any Convertible Securities issuable upon exercise of Options actually outstanding at such time), in each case, regardless of whether the Options
or Convertible Securities are actually exercisable or convertible at such time; provided, that Common Units Deemed Outstanding at any given time shall not include units owned or held by or for the account of the Company or any of its wholly
owned subsidiaries. 
 (f) “Convertible Securities” means any securities (directly or indirectly) convertible into or
exchangeable for Common Units, but excluding Options. 
 (g) “Disinterested Director” means each member of the Board of
Directors who is not an officer, employee, director or other Affiliate of the party to the transaction in connection with which the Company is required to make a determination of the fair value of any assets or property. 

(h) “Excluded Issuances” means any issuance or sale (or deemed issuance or sale in accordance with
Section 8(a)(iv)) by the Company after the Original Issue Date of: (i) Common Units issued upon the exercise of this Warrant or any Common Unit or other Option issued pursuant to the terms of the Second Lien Credit Agreement;
(ii) Common Units issued directly or upon the exercise of Options to directors, officers, employees, or consultants of the Company pursuant to the Company’s long-term incentive plan (including all Common Units and Options outstanding prior
to the Original Issue Date); and (iii) additional Series A Preferred Units issued as distributions in kind to the holders of the Company’s Series A Preferred Units, which units, in each case, shall have the rights, privileges and
conversion terms as in effect on the date hereof. 
 (i) “Exercise Date” means for any given exercise of this Warrant, the
date on which the conditions to such exercise as set forth in Section 2 shall have been satisfied at or prior to 5:00 p.m., New York City time, on a Business Day, including the receipt by the Company of the Exercise Delivery Documents.

 (j) “Exercise Price” shall be equal to, with respect to each Warrant Unit, $0.20, subject to adjustment as hereinafter
provided. 
 (k) “Expiration Date” means March 30, 2026. 

(l) “Fair Market Value” means, as of any particular date: (a) the volume weighted average of the closing sales prices of
the Common Units for such day on all domestic securities exchanges on which the Common Units may at the time be listed; (b) if there have been no sales of the Common Units on any such exchange on any such day, the average of the highest bid and
lowest asked prices for the Common Units on all such exchanges at the end of such day; (c) if on any such day the Common Units are not listed on a domestic securities exchange, the closing sales price of the Common Units as quoted on the OTC
Bulletin Board, the Pink OTC Markets or similar quotation system or association for such day; or (d) if there have been no sales of the Common Units on the OTC Bulletin Board, the Pink OTC Markets or similar quotation system or association on
such day, the average of the highest bid and lowest asked prices for the Common Units quoted on the OTC Bulletin Board, the Pink OTC Markets or similar quotation system or association at the end of such day; in each case, averaged over ten
(10) consecutive Business Days ending on the Business Day immediately prior to the day as of which “Fair Market Value” is being determined; provided, that if the Common Units are listed on any

  
 2 

 
domestic securities exchange, the term “Business Day” as used in this sentence means Business Days on which such exchange is open for trading. If at any time the Common Units are not
listed on any domestic securities exchange or quoted on the OTC Bulletin Board, the Pink OTC Markets or similar quotation system or association, the “Fair Market Value” of the Common Units shall be the fair market value per unit as
determined jointly by the Board and the Holder. 
 (m) “LLC Agreement” means the Third Amended and Restated Limited
Liability Company Agreement of the Company, as the same may be amended from time to time. 
 (n) “Options” means any
warrants or other rights or options to subscribe for or purchase Common Units or Convertible Securities. 
 (o) “OTC Bulletin
Board” means the Financial Industry Regulatory Authority OTC Bulletin Board electronic inter-dealer quotation system. 
 (p)
“Person” means an individual, a limited liability company, a partnership, a joint venture, a corporation, a trust, an unincorporated organization or a government or any department or agency thereof or any other legal entity. 

(q) “Pink OTC Markets” means the OTC Markets Group Inc. electronic inter-dealer quotation system, including OTCQX, OTCQB and
OTC Pink. 
 (r) “Registration Rights Agreement” means that certain registration rights agreement dated of even date
herewith, by and among the Company, the Holder and the other parties thereto. 
 (s) “Securities Act” means the Securities
Act of 1933, as amended. 
 (t) “Warrant” means this Warrant and all Warrants issued in exchange, transfer or
replacement hereof pursuant to the terms of this Warrant. 
 Section 2. Exercise of Warrant. 

(a) Subject to the terms and conditions hereof, Warrants may be exercised by the Holder, in whole or in part, at any time on any Business Day
on or after the date hereof and prior to 5:00 P.M. New York City time on the Expiration Date by (i) delivery of a written notice, in the form attached as Exhibit A hereto (the “Exercise Notice”), of such
holder’s election to exercise his Warrants, which notice shall specify the number of Warrant Units to be purchased, and (ii) payment to the Company of an amount equal to the Exercise Price multiplied by the number of Warrant Units as to
which his Warrant is being exercised (the “Aggregate Exercise Price”) in accordance with Section 2(b). 
 (b)
Payment of the Aggregate Exercise Price shall be made, at the option of the Holder as expressed in the Exercise Notice, by the following methods: 

(i) by wire transfer of immediately available funds (or by check if the Company has not provided the Holder with wire transfer instructions
for such payment) in the amount of such Aggregate Exercise Price; or 

  
 3 

 (ii) by instructing the Company to withhold a number of Warrant Units then issuable upon
exercise of this Warrant with an aggregate Fair Market Value on the day immediately preceding the date on which the Holder deivers an Exercise Notice equal to such Aggregate Exercise Price. 

In the event of any withholding of Warrant Units pursuant to clause (ii) above where the number of units whose value is equal to the
Aggregate Exercise Price is not a whole number, the number of units withheld by the Company shall be rounded up to the nearest whole unit and the Company shall make a cash payment to the Holder (by delivery of a certified or official bank check or
by wire transfer of immediately available funds) based on the incremental fraction of a unit being so withheld by the Company in an amount equal to the product of (x) such incremental fraction of a unit being so withheld multiplied by
(y) the Fair Market Value per Warrant Unit as of the Exercise Date. 
 (c) In the event of any exercise of the rights represented by
the Warrant in compliance with Section 2, the Company shall on the second (2nd) Business Day (the “Warrant Unit Delivery Date”) following the date of its receipt of the later of the Exercise Notice and the Aggregate
Exercise Price (the “Exercise Delivery Documents”), issue the Warrant Units to which the Holder shall be entitled by registering such Warrant Units in the name of the Holder or its designee upon the books and records of the Company,
the number of Common Units to which the Holder shall be entitled. Upon the later of the date of delivery of (x) the Exercise Notice and (y) the Aggregate Exercise Price, a Holder of Warrants shall be deemed for all purposes to have become
the Holder of record of the Warrant Units with respect to which his Warrant has been exercised (the date thereof being referred to as the “Deemed Issuance Date”), irrespective of the date of delivery of the Warrant Units. In the
case of a dispute as to the determination of the arithmetic calculation of the number of Warrant Units, the Company shall promptly issue to the Holder the number of Warrant Units that is not disputed and shall submit the disputed determinations or
arithmetic calculations to the Holder within two (2) Business Days of receipt of the Holder’s Exercise Notice. If the Holder and the Company are unable to agree upon the determination of the arithmetic calculation of the number of Warrant
Units within one (1) Business Day of such disputed determination or arithmetic calculation being submitted to the Holder, then the Company shall promptly submit the disputed arithmetic calculation of the number of Warrant Units to its
independent public accountant. The Company shall direct the independent accountant to perform the determinations or calculations and notify the Company and the Holder of the results no later than two (2) Business Days after the date it receives
the disputed determinations or calculations. Such independent accountant’s determination or calculation, as the case may be, shall be deemed conclusive absent demonstrable error. 

(d) If this Warrant is submitted for exercise, as may be required by Section 2(f), and unless the rights represented by this
Warrant shall have expired or shall have been fully exercised, the Company shall, as soon as practicable and in no event later than four (4) Business Days after receipt of this Warrant and at its own expense, issue a new Warrant identical in
all respects to this Warrant except it shall represent rights to purchase the number of Warrant Units purchasable immediately prior to such exercise under this Warrant, less the number of Warrant Units with respect to which such Warrant is
exercised. 
 (e) No fractional Common Units are to be issued upon the exercise of this Warrant, but rather the number of Common Units
issued upon exercise of this Warrant shall be rounded up or down to the nearest whole number (with 0.5 rounded up). 
 (f)
Notwithstanding anything to the contrary set forth herein, upon exercise of this Warrant in accordance with the terms hereof, the Holder shall not be required to physically surrender this Warrant to the Company unless it is being exercised for all
of the Warrant Units represented by the Warrant. The Holder and the Company shall maintain records showing the number of Warrant Units 

  
 4 

 
exercised and issued and the dates of such exercises or shall use such other method, reasonably satisfactory to the Holder and the Company, so as not to require physical surrender of this Warrant
upon each such exercise. In the event of any dispute or discrepancy, such records of the Company establishing the number of Warrant Units to which the Holder is entitled shall be controlling and determinative in the absence of demonstrable error.
Notwithstanding the foregoing, if this Warrant is exercised as aforesaid, the Holder may not transfer this Warrant unless the holder first physically surrenders this Warrant to the Company, whereupon the Company will forthwith issue and deliver upon
the order of the Holder a new Warrant of like tenor, registered as the holder may request, representing in the aggregate the remaining number of Warrant Units represented by this Warrant. The Holder and any assignee, by acceptance of this Warrant,
acknowledge and agree that, by reason of the provisions of this paragraph, following exercise of any portion of this Warrant, the number of Warrant Units represented by this Warrant may be less than the number stated on the face hereof. Each Warrant
shall bear the following legend: 
 ANY TRANSFEREE OF THIS WARRANT SHOULD CAREFULLY REVIEW THE TERMS OF THIS WARRANT, INCLUDING
SECTION 2(f) THEREOF. THE NUMBER OR WARRANT UNITS FOR WHICH THIS WARRANT IS EXERCISABLE MAY BE LESS THAN THE NUMBER SET FORTH ON THE FACE HEREOF PURSUANT TO SECTION 2(f) THEREOF. 

Section 3. Representations and Covenants. The Company hereby represents, covenants and agrees as follows: 

(a) This Warrant is, and any Warrants issued in substitution for or replacement of this Warrant will upon issuance be, duly authorized and
validly issued. 
 (b) All Warrant Units that may be issued upon the exercise of the rights represented by the Warrants will, upon issuance,
be validly issued, fully paid and nonassessable, subject to applicable provisions of the Delaware Limited Liability Company Act, free of preemptive rights and free from all taxes, liens, charges and security interests with respect to the issuance
thereof. 
 (c) During the period within which the rights represented by the Warrant may be exercised, the Company will at all times have
authorized and reserved a sufficient number of Common Units to provide for the exercise of the rights then represented by the Warrants. 

(d) The Company shall promptly secure the listing of the Common Units issuable upon exercise of this Warrant on the market or exchange on
which the Common Units are traded or listed, if any, and shall maintain, so long as any other Common Units shall be so traded or listed, such listing of all Common Units from time to time issuable upon the exercise of this Warrant. 

(e) The Company will not, by amendment of its LLC Agreement or through any reorganization, transfer of assets, consolidation, merger,
dissolution, issue or sale of securities, or any other voluntary action, avoid or seek to avoid the observance or performance of any of the terms to be observed or performed by it hereunder, but will at all times in good faith assist in the carrying
out of all the provisions of the Warrants and in the taking of all such action as may reasonably be requested by the Holder of any Warrant in order to protect the exercise privilege of such Holder against impairment, consistent with the tenor and
purpose of the Warrants. Without limiting the generality of the foregoing, the Company will take all such actions as may be necessary or appropriate in order that the Company may validly and legally issue Common Units upon the exercise of any
Warrants. 

  
 5 

 (f) The Warrants will be binding upon any entity succeeding to the Company by merger,
consolidation or acquisition of all or substantially all of the Company’s assets. 
 Section 4. Taxes. Company shall pay
any and all taxes (excluding income taxes, franchise taxes or other taxes levied on gross earnings, profits or the like of Holders of Warrants) that may be payable with respect to the issuance and delivery of Warrant Units upon exercise of Warrants.

 Section 5. Holder not deemed a Member. The Holder, as such, shall not be entitled to vote or receive distributions or be
deemed the holder of Common Units for any purpose solely due to its ownership of the Warrant, nor shall anything contained in the Warrant be construed to confer upon the Holder, as such, any of the rights of a member of the Company or any right to
vote, give or withhold consent to any Company action (whether any reorganization, issue of limited liability company units or interests, reclassification of limited liability company units of interests, consolidation, merger, conveyance or
otherwise), receive notice of meetings, receive distributions or subscription rights, or otherwise, prior to the Deemed Issuance Date of the Warrant Units that such Holder is then entitled to receive upon the due exercise of this Warrant. In
addition, nothing contained in this Warrant shall be construed as imposing any obligations or liabilities on the Holder to purchase any securities (upon exercise of this Warrant or otherwise) or as a member of the Company, whether such liabilities
are asserted by the Company or by creditors of the Company. 
 Section 6. Representations of Holder. 

(a) The holder of this Warrant, by the acceptance hereof, represents that it is acquiring this Warrant, and upon exercise hereof will acquire
the Warrant Units, for its own account and not with a view towards, or for resale in connection with, the public sale or distribution of this Warrant or the Warrant Units, except pursuant to transactions registered or exempted from registration
under the Securities Act; provided, however, that by making the representations herein, the Holder does not agree to hold this Warrant or any of the Warrant Units for any minimum or other specific term and reserves the right to dispose of
this Warrant and the Warrant Units at any time in accordance with or pursuant to a registration statement or an exemption from registration under the Securities Act. 

(b) The Holder further represents, by acceptance hereof, that, as of this date, such holder is an “accredited investor” as such term
is defined in Rule 501of Regulation D promulgated by the Securities and Exchange Commission under the Securities Act (an “Accredited Investor”) and has had the opportunity to ask questions and receive answers concerning
the Company, the Warrant and the offering thereof from the Company. The Holder acknowledges that it can bear the economic and financial risk of its investment for an indefinite period, and has such knowledge and experience in financial or business
matters that it is capable of evaluating the merits and risks of the investment in the Warrant and the Warrant Units. 
 (c) The Holder
understands and acknowledges that this Warrant and the Warrant Units to be issued upon exercise hereof are “restricted securities” under the federal securities laws inasmuch as they are being acquired from the Company in a transaction not
involving a public offering and that, under such laws and applicable regulations, such securities may be resold without registration under the Securities Act only in certain limited circumstances. In addition, the Holder represents that it is
familiar with Rule 144 promulgated under the Securities Act, as presently in effect, and understands the resale limitations imposed thereby and by the Securities Act. 

(d) Each delivery of an Exercise Notice shall constitute confirmation at such time by the Holder of the representations concerning the Warrant
Units set forth in this Section 6, unless 

  
 6 

 
contemporaneous with the delivery of such Exercise Notice, the Holder notifies the Company in writing that it is not making such representations (a “Representation Notice”). If
the Holder delivers a Representation Notice in connection with an exercise, it shall be a condition to such holder’s exercise of this Warrant and the Company’s obligations set forth in Section 2 in connection with such
exercise, that the Company receive such other representations as the Company considers reasonably necessary to assure the Company that the issuance of its securities upon exercise of this Warrant shall not violate any United States or state
securities laws, and the time periods for the Company’s compliance with its obligations set forth in Section 2 shall be tolled until such Holder provides the Company with such other representations. 

Section 7. Ownership and Transfer. 

(a) The Company shall maintain at its principal executive offices or at the offices of its transfer agent (or such other office or agency of
the Company as it may designate by notice to the Holder), a register for this Warrant, in which the Company shall record the name and address of the person in whose name this Warrant has been issued, as well as the name and address of each
transferee. The Company may treat the person in whose name any Warrant is registered on the register as the owner and holder thereof for all purposes, notwithstanding any notice to the contrary, but in all events recognizing any transfers made in
accordance with the terms of this Warrant. 
 (b) This Warrant and the rights granted hereunder shall be assignable by the Holder without
the consent of the Company (subject to the requirements of Section 7(c)); in connection with any such transfer or assignment, Holder must comply with the requirements set forth in the Form of Assignment substantially in the form attached
hereto as Exhibit B. If such transfer or assignment shall be permitted by the preceding sentence, title to a Warrant shall be transferred upon delivery thereof duly endorsed by the Holder or by his duly authorized attorney or representative,
or accompanied by proper evidence of succession, assignment or authority to transfer, together with a properly completed Form of Assignment in substantially the form attached hereto as Exhibit B. The Company shall immediately register all
properly completed assignments and transfers. 
 (c) Neither the Warrant nor the Warrant Units shall be transferable by any Holder except in
compliance with all federal and applicable state securities laws. Prior to any transfer, and as a condition thereto, the Company may, in its reasonable discretion, require certification by any responsible officer of the Holder and the transferee
with respect to compliance with all federal and applicable state securities laws. 
 (d) The Company is obligated to register the resale of
the Warrant Units under the Securities Act pursuant to the Registration Rights Agreement, and the Holder (and assignees thereof) is entitled to the registration rights in respect of the Warrant Units to the extent set forth in the Registration
Rights Agreement. 
 Section 8. Adjustments. The Exercise Price and the number of Common Units issuable upon exercise of this
Warrant shall be subject to adjustment from time to time as follows; provided, that if more than one subsection of this Section 8 is applicable to a single event, the subsection shall be applied that produces the largest
adjustment and no single event shall cause an adjustment under more than one subsection of this Section 8 so as to result in duplication: 

(a) Issuance of Common Units. 

(i) Except as provided in Section 8(a)(iii) and except in the case of an event described in either Section 8(b) or
Section 8(c), if the Company shall, at any time or from time to time 

  
 7 

 
after the Original Issue Date, issue or sell, or in accordance with Section 8(a)(iv) is deemed to have issued or sold, any Common Units without consideration or for consideration per
unit less than the Exercise Price in effect immediately prior to such issuance or sale (or deemed issuance or sale), then immediately upon such issuance or sale (or deemed issuance or sale), the Exercise Price in effect immediately prior to any such
issuance or sale (or deemed issuance or sale) shall be reduced (and in no event increased) to an Exercise Price equal to the quotient obtained by dividing (x) the sum of (A) the product obtained by multiplying the number of Common Units
deemed outstanding immediately prior to such issuance or sale (or deemed issuance or sale) by of the Exercise Price then in effect plus (B) the aggregate consideration, if any, received by the Company upon such issuance or sale (or deemed
issuance or sale) by (y) the sum of (A) the number of Common Units Deemed Outstanding immediately prior to such issuance or sale (or deemed issuance or sale) plus (B) the aggregate number of Common Units issued or sold (or deemed
issued or sold) by the Company in such issuance or sale (or deemed issuance or sale). 
 (ii) Upon any and each adjustment of the Exercise
Price as provided in Section 8(a)(i), the number of Warrant Units issuable upon the exercise of this Warrant immediately prior to any such adjustment shall be increased to a number of Warrant Units equal to the quotient obtained by
dividing (x) the product of (A) the Exercise Price in effect immediately prior to any such adjustment multiplied by (B) the number of Warrant Units issuable upon exercise of this Warrant immediately prior to any such adjustment by
(y) the Exercise Price resulting from such adjustment. 
 (iii) Anything herein to the contrary notwithstanding, there shall be no
adjustment to the Exercise Price or the number of Warrant Units issuable upon exercise of this Warrant with respect to any Excluded Issuance. 

(iv) For purposes of determining the adjusted Exercise Price under Section 8(a)(i), the following shall be applicable: 

(A) If the Company shall, at any time or from time to time after the Original Issue Date, in any manner issue, distribute, grant or sell
(whether directly or by assumption in a merger or otherwise) any Options, whether or not such Options (excluding, for avoidance of doubt, the Warrants) or the right to convert or exchange any Convertible Securities issuable upon the exercise of such
Options are immediately exercisable, and the price per unit (determined as provided in this paragraph and in Section 8(a)(iv)(E)) for which Common Units are issuable upon the exercise of such Options or upon the conversion or exchange of
Convertible Securities issuable upon the exercise of such Options is less than the Exercise Price in effect immediately prior to the time of the granting or sale of such Options, then the total maximum number Common Units issuable upon the exercise
of such Options or upon conversion or exchange of the total maximum amount of Convertible Securities issuable upon the exercise of such Options shall be deemed to have been issued as of the date of granting or sale of such Options (and thereafter
shall be deemed to be outstanding for purposes of adjusting the Exercise Price under Section 8(a)(i)), at a price per unit equal to the quotient obtained by dividing (A) the sum (which sum shall constitute the applicable
consideration received for purposes of Section 8(a)(i)) of (x) the total amount, if any, received or receivable by the Company as consideration for the granting or sale of all such Options, plus (y) the minimum aggregate amount
of additional consideration payable to the Company upon the exercise of all such Options, plus (z), in the case of such Options which relate to Convertible Securities, the minimum aggregate amount of additional consideration, if any, payable to the
Company upon the issuance or sale of all such Convertible Securities and the conversion or exchange of all such Convertible Securities, by (B) the total maximum number of Common Units issuable upon the exercise of all such Options or upon the
conversion or exchange of all Convertible Securities issuable upon the exercise of all such Options. Except as otherwise provided in Section 8(a)(iv)(C), no further adjustment of the Exercise Price shall be made upon the actual issuance
of Common Units or of Convertible Securities upon exercise of such Options or upon the actual issuance of Common Units upon conversion or exchange of Convertible Securities issuable upon exercise of such Options. 

  
 8 

 (B) If the Company shall, at any time or from time to time after the Original Issue Date, in any
manner issue, distribute, grant or sell (whether directly or by assumption in a merger or otherwise) any Convertible Securities, whether or not the right to convert or exchange any such Convertible Securities is immediately exercisable, and the
price per unit (determined as provided in this paragraph and in Section 8(a)(iv)(E)) for which Common Units are issuable upon the conversion or exchange of such Convertible Securities is less than the Exercise Price in effect immediately
prior to the time of the granting or sale of such Convertible Securities, then the total maximum number of Common Units issuable upon conversion or exchange of the total maximum amount of such Convertible Securities shall be deemed to have been
issued as of the date of granting or sale of such Convertible Securities (and thereafter shall be deemed to be outstanding for purposes of adjusting the Exercise Price pursuant to Section 8(a)(i)), at a price per unit equal to the
quotient obtained by dividing (A) the sum (which sum shall constitute the applicable consideration received for purposes of Section 8(a)(i)) of (x) the total amount, if any, received or receivable by the Company as
consideration for the granting or sale of such Convertible Securities, plus (y) the minimum aggregate amount of additional consideration, if any, payable to the Company upon the conversion or exchange of all such Convertible Securities, by
(B) the total maximum number of Common Units issuable upon the conversion or exchange of all such Convertible Securities. Except as otherwise provided in Section 8(a)(iv)(C), no further adjustment of the Exercise Price shall be made
upon the actual issuance of Common Units upon conversion or exchange of such Convertible Securities. 
 (C) Upon any change in any of
(w) the total amount received or receivable by the Company as consideration for the issuance, granting or sale of any Options or Convertible Securities referred to in Section 8(a)(iv)(A) or Section 8(a)(iv)(B) hereof,
(x) the minimum aggregate amount of additional consideration, if any, payable to the Company upon the exercise of any Options or upon the issuance, conversion or exchange of any Convertible Securities referred to in
Section 8(a)(iv)(A) or Section 8(a)(iv)(B) hereof, (y) the rate at which Convertible Securities referred to in Section 8(a)(iv)(A) or Section 8(a)(iv)(B) hereof are convertible into or
exchangeable for Common Units, or (z) the maximum number of Common Units issuable in connection with any Options referred to in Section 8(a)(iv)(A) hereof or any Convertible Securities referred to in Section 8(a)(iv)(B)
hereof (in each case, other than in connection with an Excluded Issuance), then (whether or not the original issuance or sale of such Options or Convertible Securities resulted in an adjustment to the Exercise Price pursuant to this
Section 8) the Exercise Price in effect at the time of such change shall be adjusted or readjusted, as applicable, to the Exercise Price which would have been in effect at such time pursuant to the provisions of this
Section 8 had such Options or Convertible Securities still outstanding provided for such changed consideration, conversion rate or maximum number of units, as the case may be, at the time initially granted, issued or sold, but only if as
a result of such adjustment or readjustment, the Exercise Price then in effect is reduced and the number of Warrant Units issuable upon exercise of this Warrant immediately prior to any such adjustment or readjustment shall be correspondingly
adjusted or readjusted pursuant to the provisions of Section 8(a)(ii). 
 (D) Upon the expiration or termination of any
unexercised Option (or portion thereof) or any unconverted or unexchanged Convertible Security (or portion thereof) for which any adjustment (either upon its original issuance or upon a revision of its terms) was made pursuant to this
Section 8 (including upon the redemption or purchase for consideration of all or any portion of such Option or Convertible Security by the Company), the Exercise Price then in effect hereunder shall forthwith be changed pursuant to the
provisions of this Section 8 to the Exercise Price which would have been in effect at the time of such expiration or termination had such unexercised Option (or portion thereof) or unconverted or unexchanged Convertible Security (or
portion thereof), to the extent outstanding immediately prior to such expiration or termination, never been issued. 

  
 9 

 (E) If the Company shall, at any time or from time to time after the Original Issue Date, issue
or sell, or is deemed to have issued or sold in accordance with Section 8(a)(iv), any Common Units, Options or Convertible Securities: (w) for cash, the consideration received therefor shall be deemed to be the net amount received
by the Company therefor; (x) for consideration other than cash, the amount of the consideration other than cash received by the Company shall be the fair value of such consideration, except (i) where such consideration consists of
marketable securities, in which case the amount of consideration received by the Company shall be the market price (as reflected on any securities exchange, quotation system or association or similar pricing system covering such security) for such
securities as of the end of business on the date of receipt of such securities and (ii) where such consideration is received in connection with any transaction with an Affiliate of the Company, such value shall be determined in good faith by
(1) a majority of the Board of Directors of the Company, including a majority of the Disinterested Directors, or (2) a nationally recognized investment banking, appraisal or valuation firm, which is not an Affiliate of the Company, in each
case, taking into account, among all other factors deemed relevant by the Board of Directors or the investment banking, appraisal or valuation firm, the trading price and volume of such security on any national securities exchange or automated
quotation system on which such security is traded; (y) for no specifically allocated consideration in connection with an issuance or sale of other securities of the Company, together comprising one integrated transaction, the amount of the
consideration therefor shall be deemed to be the fair value of such portion of the aggregate consideration received by the Company in such transaction as is attributable to such Common Units, Options or Convertible Securities, as the case may be,
issued in such transaction; or (z) to the owners of the non-surviving entity in connection with any merger in which the Company is the surviving corporation, the amount of consideration therefor shall be deemed to be the fair value of such
portion of the net assets and business of the non-surviving entity as is attributable to such Common Units, Options or Convertible Securities, as the case may be, issued to such owners. The net amount of any cash consideration and the fair value of
any consideration other than cash or marketable securities shall be determined in good faith jointly by the Board and the Holder. 
 (b)
Splits, Subdivisions, Reclassifications or Combinations. If the Company shall (i) declare and pay a dividend or make a distribution on its Common Units in Common Units or units of any other capital securities of the Company,
(ii) subdivide or reclassify the outstanding Common Units into a greater number of units or (iii) combine or reclassify the outstanding Common Units into a smaller number of units, the number of Warrant Units issuable upon exercise of this
Warrant at the time of the record date for such dividend or distribution or the effective date of such subdivision, combination or reclassification shall be proportionately adjusted so that a Warrant Holder after such date shall be entitled to
purchase the aggregate number and kind of capital securities which such Holder would have owned or been entitled to receive in respect of Common Units subject to this Warrant after such date had this Warrant been exercised immediately prior to such
date. In such event, the Exercise Price in effect at the time of the record date for such dividend or distribution or the effective date of such subdivision, combination or reclassification shall be adjusted to the number obtained by dividing
(x) the product of (1) the number of Warrant Units issuable upon the exercise of this Warrant before such adjustment and (2) the Exercise Price in effect immediately prior to the record or effective date, as the case may be, for the
dividend, distribution, subdivision, combination or reclassification giving rise to this adjustment by (y) the new number of Warrant Units issuable upon exercise of the Warrant determined pursuant to the immediately preceding sentence. 

(c) Business Combinations. In case of any Business Combination or reclassification of Common Units, the Holder’s right to receive
Warrant Units upon exercise of this Warrant shall be 

  
 10 

 
converted into the right to exercise this Warrant to acquire the number of units or other securities or property (including cash) which the Common Unit issuable (at the time of such Business
Combination or reclassification) upon exercise of this Warrant immediately prior to such Business Combination or reclassification would have been entitled to receive upon consummation of such Business Combination or reclassification; and in any such
case, if necessary, the provisions set forth herein with respect to the rights and interests thereafter of the Holder shall be appropriately adjusted so as to be applicable, as nearly as may reasonably be, to the Holder’s right to exercise this
Warrant in exchange for any shares of stock or other securities or property pursuant to this paragraph. In determining the kind and amount of units, securities or the property receivable upon exercise of this Warrant following the consummation of
such Business Combination, if the holders of Common Units have the right to elect the kind or amount of consideration receivable upon consummation of such Business Combination, then the consideration that the Holder shall be entitled to receive upon
exercise shall be deemed to be the types and amounts of consideration received by the majority of all holders of Common Units that affirmatively make an election (or of all such holders if none make an election). 

(d) Rounding of Calculations; Minimum Adjustments. All calculations under this Section 8 shall be made to the nearest
one-tenth (1/10th) of a cent or to the nearest one hundredth (1/100th) of a unit, as the case may be. Any provision of this Section 8 to the contrary notwithstanding, no adjustment in the number of Warrant Units shall be made
if the amount of such adjustment would be less than one-tenth (1/10th) of a Common Unit, but any such amount shall be carried forward and an adjustment with respect thereto shall be made at the time of and together with any subsequent
adjustment which, together with such amount and any other amount or amounts so carried forward, shall aggregate 1/10th of a Common Unit or more. 

(e) Timing of Issuance of Additional Common Units upon Certain Adjustments. In any case in which the provisions of this
Section 8 shall require that an adjustment shall become effective immediately after a record date for an event, the Company may defer until the occurrence of such event (i) issuing to the holder of this Warrant exercised after such
record date and before the occurrence of such event the additional Common Units issuable upon such exercise by reason of the adjustment required by such event over and above the Common Units issuable upon such exercise before giving effect to such
adjustment and (ii) paying to such holder any amount of cash in lieu of fractional Common Units; provided, however, that the Company upon request shall deliver to such holder a due bill or other appropriate instrument evidencing
such holder’s right to receive such additional units, and such cash, upon the occurrence of the event requiring such adjustment. 
 (f)
Statement Regarding Adjustments. Whenever the number of Warrant Units into which this Warrant is exercisable shall be adjusted as provided in this Section 8, the Company shall forthwith file at the principal office of the
Company a statement showing in reasonable detail the facts requiring such adjustment and the number of Warrant Units into which Warrants shall be exercisable after such adjustment, and the Company shall also cause a copy of such statement to be sent
to the Holder. 
 (g) Proceedings Prior to Any Action Requiring Adjustment. As a condition precedent to the taking of any action
which would require an adjustment pursuant to this Section 8, the Company shall take any action which may be necessary, including obtaining regulatory, or member approvals or exemptions, in order that the Company may thereafter validly
and legally issue as fully paid and nonassessable all Warrant Units issuable pursuant to the Warrants. 
 (h) Adjustment Rules. Any
adjustments pursuant to this Section 8 shall be made successively whenever an event referred to herein shall occur. 

  
 11 

 Section 9. Lost, Stolen, Mutilated or Destroyed Warrant. If this Warrant is lost,
stolen, mutilated or destroyed, the Company shall promptly, on receipt of an indemnification undertaking by the Holder (or in the case of a mutilated Warrant, the Warrant), issue a new Warrant of like denomination and tenor as this Warrant so lost,
stolen, mutilated or destroyed. 
 Section 10. Tax Treatment. For federal, state and local income tax purposes, the Company and
the Holder agree that (i) the Warrants will be treated as an option to acquire Common Units, (ii) the Warrants will not be treated as currently outstanding Common Units or other currently outstanding equity interest in the Company,
(iii) the Warrant is a “non-compensatory option” as defined in Treasury Regulation Section 1.721-2(f) that will be subject to the rules set forth in Treasury Regulation Section 1.721-2(a)(1) and Treasury Regulation
Section 1.704-1(b)(2)(iv)(d)(4) and (s) at the time the Warrant is exercised and (iv) the fair market value of this Warrant is $0.35 per Warrant Unit. The Company and the Holder agree to report the Warrants consistent with this
agreement for all federal, state and local tax purposes and the Company and the Holder agree to notify each other and consult with each other if such tax treatment is challenged by any taxing authority. 

Section 11. Notice. Any notices, consents, waivers or other communications required or permitted to be given under the terms of
this Warrant must be in writing and will be deemed to have been delivered: (i) upon receipt, when delivered personally; (ii) upon receipt, when sent by facsimile (provided confirmation of transmission is mechanically or electronically
generated and kept on file by the sending party); or (iii) one (1) Business Day after deposit with a nationally recognized overnight delivery service, in each case properly addressed to the party to receive the same. The addresses and
facsimile numbers for such communications shall be: 
 If to the Company: 

Atlas Energy Group, LLC 
 Park
Place Corporate Center One 
 1000 Commerce Drive, Suite 410 

Pittsburgh, PA 15275 

Telephone: (412) 489-0006 

Facsimile: (412) 262-2820 

Attention: Chief Legal Officer 

With copy to: 
 Paul Hastings
LLP 
 600 Travis Street, 58th Floor 

Houston, TX 77002 
 Telephone:
(713) 860-7300 
 Facsimile: (713) 353-3100 

Attention: Douglas V. Getten 

                R. William Burns 

If to the Holder: 

  
 12 

 [●] 

[●] 
 [●] 

[●] 
 Fax: [●] 

Attn: [●] 

Section 12. Termination. This Warrant, in all events, shall be wholly void and of no effect after 5:00 P.M., New York City
time, on the Expiration Date, except that notwithstanding any other provisions hereof, the provisions of Section 7 shall continue in full force and effect after such date as to any Warrant Units or other securities issued upon the
exercise of this Warrant. 
 Section 13. Amendment and Waiver. This Warrant may be amended and the Company may take any action
herein prohibited, or omit to perform any act herein required to be performed by it, only with the written consent of the Holder; provided, however, that the Company may, without the consent of the Holder, amend or supplement this Warrant to
cure defects or inconsistencies. 
 Section 14. Descriptive Headings; Governing Law. The descriptive headings of the several
sections and paragraphs of this Warrant are inserted for convenience only and do not constitute a part of this Warrant. All questions concerning the construction, validity, enforcement and interpretation of this Warrant shall be governed by the
internal laws of the State of New York, without giving effect to any choice of law or conflict of law provision or rule (whether of the State of New York or any other jurisdiction) that would cause the application of the laws of any
jurisdiction other than the State of New York. 
 Section 15. Rules of Construction. Unless the context otherwise requires,
(a) all references to Sections, Schedules or Exhibits are to Sections, Schedules or Exhibits contained in or attached to this Warrant, (b) each accounting term not otherwise defined in this Warrant has the meaning assigned to it in
accordance with accounting principles generally accepted in the United States, (c) words in the singular or plural include the singular and plural and pronouns stated in either the masculine, the feminine or neuter gender shall include the
masculine, feminine and neuter and (d) the use of the word “including” in this Warrant shall be by way of example rather than limitation. 

* * * * * * 

  
 13 

 IN WITNESS WHEREOF, the Company has caused this Warrant to be executed as of the date
first written above. 
  

			
	ATLAS ENERGY GROUP, LLC
		
	By:	 	  

	Name:	 	Jeffrey M. Slotterback
	Title:	 	Chief Financial Officer

  
 [Signature Page to ATLS
Common Unit Warrant] 

 EXHIBIT A 

EXERCISE NOTICE 
 TO BE
EXECUTED BY THE REGISTERED HOLDER TO EXERCISE THIS WARRANT 
 ATLAS ENERGY GROUP, LLC 

The undersigned holder hereby exercises the right to purchase
                     Common Units (“Warrant Units”) of Atlas Energy Group, LLC, a Delaware limited liability company (the
“Company”), pursuant to the Warrant registered in the name of the undersigned (the “Warrant”) on the books and records of the Company. Capitalized terms used herein and not otherwise defined shall have the
respective meanings set forth in the Warrant. 
 1. Warrant Exercise. The holder intends to exercise the Warrant with respect to
            Warrant Units. 
 2. Payment of Aggregate Exercise Price. 

Check one: 
  

	 	 ̈	The Holder shall pay the Aggregate Exercise Price in the sum of $             to the Company in accordance Section 2(b)(i). 

 

	 	 ̈	The Holder elects to have the Company withhold Warrant Units to satisfy the Aggregate Exercise             Price in accordance with
Section 2(b)(ii). 

 3. Delivery of Warrant Units. The Company shall deliver Warrant Units in accordance with the
terms of the Warrant in the following name and to the following address: 
  

	
	 Issue to:
                                         
                                         
                                         
                                         
                                         
                         

	
	 Facsimile Number:
                                         
                                         
                                         
                                         
                                         
     

	
	 Account Number (if electronic book entry transfer):
                                         
                                         
                                         
                        

 Date:                  ,
             
 Name of Registered Holder 

 

			
	            By:	 	  

 Name: 
 Title: 

 ACKNOWLEDGMENT 

The Company hereby acknowledges this Exercise Notice and hereby agrees to direct [TRANSFER AGENT] to issue the applicable number of Common Units in accordance
with the Transfer Agent Instructions dated                 , 20        from the Company and acknowledged and agreed to by
[TRANSFER AGENT]. 
  

			
	ATLAS ENERGY GROUP, LLC
		
	By:	 	  

	Name:	 	  

	Title:	 	  

 EXHIBIT B 

FORM OF ASSIGNMENT 

For value received, the undersigned hereby sells, assigns and transfer all of the rights of the undersigned under the within Warrant, unto:

  

			
	 Name of Assignee
	  	Address                                    
                                

 In connection with any transfer or exchange of any of the Warrants evidenced by this certificate, the
undersigned confirms that such Warrants are being transferred: 
 CHECK ONE BOX BELOW: 

 

					
	(1)	 	 ̈	 	to the Company; or
	(2)	 	 ̈	 	pursuant to an effective registration statement under the Securities Act of 1933; or
	(3)	 	 ̈	 	to a person who the undersigned reasonably believes is a “qualified institutional buyer” (as defined in Rule 144A under the Securities Act of 1933) that is purchasing for its own account or for the account of
a qualified institutional buyer to whom notice is given that such transfer is being made in compliance with Rule 144A, in each case pursuant to and in compliance with Rule 144A under the Securities Act of 1933; or
	(4)	 	 ̈	 	outside the United States in an offshore transaction within the meaning of Regulation S under the Securities Act in compliance with Rule 904 under the Securities Act of 1933; or
	(5)	 	 ̈	 	pursuant to another available exemption from the registration requirements of the Securities Act of 1933.

 Unless one of the boxes is checked, the Company will refuse to register any of the Warrants evidenced by this
certificate in the name of any person other than Holder; provided, however, that if box (5) is checked, the Company may require, prior to registering any such transfer of the Warrants, in its sole discretion, such legal opinions,
certifications and other information as the Company may reasonably request to confirm that such transfer is being made pursuant to an exemption from, or in a transaction not subject to, the registration requirements of the Securities Act
of 1933, such as the exemption provided by Rule 144. 
  

					
	 Date:             ,
        
	 		  	Name:
                                         
                          
		 		  	(Print)
			
		 		  	                                    
                                         
    
		 		  	(Signature)
			
		 		  	Address:

Source: [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00257-of-00352.parquet"}, [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00257-of-00352.parquet"}]]