Document:

December 31, 2017 Exhibit 10.6

Exhibit 10.6

CONFIDENTIAL

THIRD AMENDMENT TO

CONTRACT ALFALFA PRODUCTION SERVICES AGREEMENT

This Third Amendment to Contract Alfalfa Production Services Agreement (this "Amendment") is made this 21st day of December,
2017, by and between Pioneer Hi-Bred International, Inc., an Iowa corporation ("Pioneer"), and S&W Seed Company, a Nevada corporation
("Contractor"). Pioneer and Contractor are collectively referred to herein as the "Parties" and each individually as a
"Party".

WHEREAS, the Parties entered into that certain Contract Alfalfa Production Services Agreement dated December 31, 2014 (as thereafter amended from time
to time, the "Agreement").

WHEREAS, the Parties now wish to amend the Agreement as provided in this Amendment.

NOW, THEREFORE, for and in consideration of the foregoing and the mutual covenants and agreements contained herein, and intending to be legally bound
hereby, the Parties hereby agree as follows:

1.As used in this Amendment, capitalized terms not defined herein shall have the meanings ascribed to them in the Agreement.

2.Section 15(A) of the Agreement shall be amended by deleting the text therein in its entirety and inserting the following in lieu thereof:

This Agreement shall be effective as of the date first written above and, unless terminated as set forth below in Section 15(B) or Section 15(C), shall
continue until the earlier of (i) the date on which the parties shall execute and close under the Second APSA (as such term is defined in the APSA) or (ii) February 28, 2018;
provided, however, that upon the prior written consent of Contractor and Pioneer, this Agreement may continue until March 31, 2018. Notwithstanding anything herein to the
contrary, the parties acknowledge and agree that from December 31, 2017 through the expiration or earlier termination of this Agreement: (i) Contractor shall only conduct activities to
complete the Production Services (exclusive of any Field Services) with respect to the 2017 Contracted Amounts; provided, that if Contractor and Pioneer agree in writing that this
Agreement may continue until March 31, 2018, Contractor may, to the extent necessary, continue to complete seed treatment, coating and packaging of the 2017 Contracted Amounts (and
no other Production Services without the written consent of Pioneer) through such date; (ii) Contractor shall not further engage in any future production with respect to any Alfalfa Varieties;
(iii) Contractor shall not enter into any new, or amend, modify or terminate any existing Grower Contract or New Grower Contract without the prior written instruction or consent of Pioneer
(including the instruction provided to Contractor pursuant to the letter from Pioneer dated November 13, 2017); (iv) except as expressly set forth in Section 9, no compensation shall
be due and payable by Pioneer with respect to the performance by Contractor of the services under the Agreement during the period commencing January 1, 2018 and ending on the
expiration or earlier termination of this Agreement; and (v) except as expressly set forth in Section 15(D), Contractor shall, in all events, remain liable for, and shall satisfy, pay and
discharge, all amounts due and payable to any grower under any Grower Contract or New Grower Contract, in each case, pursuant to the terms of such agreements.

3.This Amendment shall be effective as of the date first written above.

4.In case of any inconsistencies between the terms and conditions contained in this Amendment and the terms and conditions contained in the Agreement, the
terms and conditions of this Amendment shall control.

5.Except as set forth in this Amendment, (a) all provisions of the Agreement shall remain unmodified and in full force and effect and (b) nothing contained in this
Amendment shall amend, modify or otherwise affect the Agreement or any Party's rights or obligations contained therein.

6.This Amendment shall be governed by the substantive laws of the State of Iowa, without regard to its conflicts of laws principles. Any controversy or claim
arising out of or relating to this Amendment shall be handled in accordance with Section 16 of the Agreement.

7.This Amendment (along with the Agreement and the other Transaction Documents (as such term is defined in the APSA)) supersedes all prior agreements
between the Parties with respect to its subject matter and constitutes a complete and exclusive statement of the terms of the agreement between the Parties with respect to its subject
matter.

8.All of the terms and provisions of this Amendment shall inure to the benefit of and be binding upon the Parties and their respective successors and permitted
assigns .

9.This Amendment may be executed in any number of counterparts (including via facsimile or portable document format (PDF)), each of which shall be deemed
an original, but all of which, when taken together, shall constitute one and the same instrument.

[Signature Page Follows]

   

IN WITNESS WHEREOF, the Parties have executed and delivered this Amendment as of the date first above written.

	

PIONEER HI-BRED

INTERNATIONAL, INC.S&W SEED COMPANY

	

S&W SEED COMPANY

	

By: /s/ Curt Clausen 

Name: Curt Clausen 

Title: Director, Global Forage

	

By: /s/ Matthew Szot 

Name: Matthew Szot 

Title: EVP and CFO

   

   

   

                   [Signature Page to Third Amendment to Contract Alfalfa Production Services Agreement]December 31, 2017 Exhibit 10.7

Exhibit 10.7

CONFIDENTIAL

FIRST AMENDMENT TO RESEARCH AGREEMENT

This First Amendment to Research Agreement (this "Amendment") is made this 21st day of December, 2017, by and between Pioneer
Hi-Bred International, Inc., an Iowa corporation ("Pioneer"), and S&W Seed Company, a Nevada corporation ("Researcher").
Pioneer and Contractor are collectively referred to herein as the "Parties" and each individually as a "Party".

WHEREAS, the Parties entered into that certain Research Agreement dated December 31, 2014 (the "Agreement").

WHEREAS, the Parties now wish to amend the Agreement as provided in this Amendment.

NOW, THEREFORE, for and in consideration of the foregoing and the mutual covenants and agreements contained herein, and intending to be legally bound
hereby, the Parties hereby agree as follows:

1.As used in this Amendment, capitalized terms not defined herein shall have the meanings ascribed to them in the Agreement.

2.Section 3.2 of the Agreement shall be amended by inserting the following immediately after the existing text thereof:
Notwithstanding anything herein to the contrary, the Parties acknowledge and agree that from and after January 1, 2018, (x) the Research Plan in effect as of
December 31, 2017 shall be extended for all purposes under the Agreement until the expiration or earlier termination of this Agreement, and (y) except for those Services specified on the
Research Plan in effect as of December 31, 2017, Researcher shall not, and shall cause its Affiliates not to, perform any Research activities or other Services pursuant to this Agreement
without the prior written consent of Pioneer.

3.Section 8.1 of the Agreement shall be amended by deleting the text therein in its entirety and inserting the following in lieu thereof:
This Agreement shall be effective as of the date first written above and, unless terminated as set forth below in Section 8.2 or Section 8.3, shall
continue until the earlier of (i) the execution and closing under the Second APSA (as such term is defined in the APSA) or (ii) February 28, 2018.

4.This Amendment shall be effective as of the date first written above.

5.In case of any inconsistencies between the terms and conditions contained in this Amendment and the terms and conditions contained in the Agreement, the
terms and conditions of this Amendment shall control.

6.Except as set forth in this Amendment, (a) all provisions of the Agreement shall remain unmodified and in full force and effect and (b) nothing contained in this
Amendment shall amend, modify or otherwise affect the Agreement or any Party's rights or obligations contained therein.

7.This Amendment shall be governed by the substantive laws of the State of Iowa, without regard to its conflicts of laws principles. Any controversy or claim
arising out of or relating to this Amendment shall be handled in accordance with Section 10.2 of the Agreement.

8.This Amendment (along with the Agreement and the other Transaction Documents (as such term is defined in the APSA)) supersedes all prior agreements
between the Parties with respect to its subject matter and constitutes a complete and exclusive statement of the terms of the agreement between the Parties with respect to its subject
matter.

9.All of the terms and provisions of this Amendment shall inure to the benefit of and be binding upon the Parties and their respective successors and permitted
assigns.

10.This Amendment may be executed in any number of counterparts (including via facsimile or portable document format (PDF)), each of which shall be deemed
an original, but all of which, when taken together, shall constitute one and the same instrument.

[Signature Page Follows]

   

   

   

                                                                                 2.

IN WITNESS WHEREOF, the Parties have executed and delivered this Amendment as of the date first above written.

	

PIONEER HI-BRED

INTERNATIONAL, INC.S&W SEED COMPANY

	

S&W SEED COMPANY

	

By: /s/ Curt Clausen 

Name: Curt Clausen 

Title: Director, Global Forage

	

By: /s/ Matthew Szot 

Name: Matthew Szot 

Title: EVP and CFO

   

   

   

                   [Signature Page to First Amendment to Research Agreement]ahfc-ex46_352.htm

Exhibit 4.6

 

 

 

 

 

 

 

 

 

AMERICAN HONDA FINANCE CORPORATION,

Issuer

 

— and —

 

DEUTSCHE BANK TRUST COMPANY AMERICAS,

Trustee

 

____________________________________________________

 

 

FIRST SUPPLEMENTAL INDENTURE

 

Dated as of February 8, 2018

 

to

 

INDENTURE

 

Dated as of September 5, 2013

 

____________________________________________________

 

 

Debt Securities

 

 

 

 

FIRST SUPPLEMENTAL INDENTURE, dated as of February 8, 2018 (the “Supplemental Indenture”), between AMERICAN HONDA FINANCE CORPORATION, a corporation duly organized and existing under the laws of the State of California (the “Company”), having its principal executive office located at 20800 Madrona Avenue, Torrance, California 90503, and DEUTSCHE BANK TRUST COMPANY AMERICAS, a New York banking corporation, as trustee (the “Trustee”).

 

RECITALS

WHEREAS, the Company has executed and delivered to the Trustee, the Indenture, dated as of September 5, 2013 (the “Base Indenture”), to provide for the issuance of the Company’s senior unsecured debentures, notes or other evidences of indebtedness, to be issued in one or more series;

WHEREAS, this Supplemental Indenture is being entered into pursuant to the provisions of Sections 901(10) and 903 of the Base Indenture;

WHEREAS, Section 901(10) of the Base Indenture provides that without the consent of any Holders of the Securities or Coupons, the Company and the Trustee, at any time and from time to time, may enter into one or more indentures supplemental to the Base Indenture to amend or supplement any provision contained in the Base Indenture or in any supplemental indenture or in any Securities (which amendment or supplement may apply to one or more series of Securities or to one or more Securities within any series as specified in such supplemental indenture or indentures), provided that such amendment or supplement does not apply to any Outstanding Security issued prior to the date of such supplemental indenture and entitled to the benefits of such provision;

WHEREAS, the Company desires to amend Sections 101, 1001 and 1105 of the Base Indenture as described in this Supplemental Indenture and the Company, pursuant to the foregoing authority, proposes in and by this Supplemental Indenture to amend the Base Indenture as hereinafter provided but only with respect to Securities which are not Outstanding on the date hereof; 

WHEREAS, the Company has requested that the Trustee execute and deliver this Supplemental Indenture; and

WHEREAS, the Company has duly authorized the execution and delivery of this Supplemental Indenture. All things necessary to make this Supplemental Indenture a legally valid and binding agreement of the Company, in accordance with its terms, have been done.

NOW, THEREFORE, THIS SUPPLEMENTAL INDENTURE WITNESSETH:

For and in consideration of the premises and the purchase of the Securities by the Holders thereof, it is mutually covenanted and agreed, for the equal and proportionate benefit of all Holders of the Securities or of any series thereof and any Coupons (as herein defined) as follows:

ARTICLE ONE
DEFINITIONS

Section 101.(a)For all purposes of this Supplemental Indenture, except as otherwise herein expressly provided or unless the context otherwise requires:

(1)terms used herein in capitalized form and defined in the Base Indenture shall have the meanings specified in the Base Indenture;

1

 

(2)the words “herein,” “hereof” and “hereto” and other words of similar import used in this Supplemental Indenture refer to this Supplemental Indenture as a whole and not to any particular Article, Section or other subdivision of this Supplemental Indenture; and

(3)the terms defined in the Recitals or in Article Two herein shall have the meanings specified therein.

(b)For all purposes of the Base Indenture, except as otherwise expressly provided or unless the context otherwise requires:

(1)the terms defined in this Article and Article Two herein shall have the meanings assigned to them in this Article and Article Two herein, and include the plural, as well as the singular; and

(2)“First Supplemental Indenture” or “this Supplemental Indenture” means this instrument as originally executed or, if amended or supplemented pursuant to the applicable provisions of the Base Indenture, as amended or supplemented. 

ARTICLE TWO
MODIFICATIONS

Section 201.Addition to Section 101 of the Base Indenture.  Section 101 of the Base Indenture is hereby amended to add the following new definition thereto:

“Principal Financial Center” means the capital city of the country issuing the Currency, except, that with respect to Dollars, euros, Australian dollars, Canadian dollars, New Zealand dollars, South African rand and Swiss francs, the “Principal Financial Center” will be The City of New York, Brussels, Sydney, Toronto, Wellington, Johannesburg and Zurich, respectively.

Section 202.  Amendment to Section 1001 of the Base Indenture.  Section 1001 of the Base Indenture is hereby amended by replacing the text “10:00 am New York City time” with the following text: 

“12:00 pm (local time in the Principal Financial Center of the country issuing the Currency)”

Section 203.Amendment to Section 1105 of the Base Indenture.  Section 1105 of the Base Indenture is hereby amended by replacing the text “10:00 am (local time in New York City)” with the following text:

“12:00 pm (local time in the Principal Financial Center of the country issuing the Currency)” 

ARTICLE THREE
MISCELLANEOUS PROVISIONS

Section 301.Effectiveness of Amendments.  Notwithstanding any other provisions hereof, all amendments to the Base Indenture made hereby shall have effect only with respect to Securities which are not Outstanding on the date hereof, and not with respect to Securities which are Outstanding on the date hereof.

2

 

Section 302.Governing Law; Waiver of Jury Trial. This Supplemental Indenture shall be governed by, and construed in accordance with, the laws of the State of New York without regard to conflicts of law provisions of such State other than New York General Obligations Law Section 5-1401. EACH OF THE COMPANY AND THE TRUSTEE HEREBY IRREVOCABLY WAIVES, TO THE FULLEST EXTENT PERMITTED BY APPLICABLE LAW, ANY AND ALL RIGHT TO TRIAL BY JURY IN ANY LEGAL ACTION, SUIT OR PROCEEDING ARISING OUT OF OR IN CONNECTION WITH THIS SUPPLEMENTAL INDENTURE, THE SECURITIES, ANY COUPONS OR THE TRANSACTIONS CONTEMPLATED HEREBY.

Section 303.Effect of Headings.  The Article and Section headings herein are for convenience only and shall not affect the construction hereof.

Section 304.Separability Clause.  In case any provision in this Supplemental Indenture, the Base Indenture, any Security or any Coupon shall be invalid, illegal or unenforceable, the validity, legality and enforceability of the remaining provisions shall not, to the fullest extent permitted by law, in any way be affected or impaired thereby.

Section 305.Ratification of Indenture.  The Base Indenture, as supplemented by this Supplemental Indenture, is in all respects ratified and confirmed, and this Supplemental Indenture shall be deemed part of the Base Indenture in the manner and to the extent herein and therein provided; provided, however, that the provisions of this Supplemental Indenture shall apply solely with respect to Securities which are not Outstanding on the date hereof.

Section 306.Trustee’s Disclaimer.  The Trustee accepts the amendments of the Base Indenture effected by this Supplemental Indenture, but on the terms and conditions set forth in the Base Indenture, including the terms and provisions defining and limiting the liabilities and responsibilities of the Trustee.  The recitals contained herein shall be taken as the statements of the Company and the Trustee does not assume any responsibility for their correctness.  Without limiting the generality of the foregoing, the Trustee makes no representations as to (i) the validity or sufficiency of this Supplemental Indenture (ii) the proper authorization hereof by the Company by action or otherwise, or (iii) the due execution hereof by the Company; provided that the Trustee represents that it is duly authorized to execute and deliver this Supplemental Indenture and perform its obligations hereunder. 

Section 307.Counterparts.  This Supplemental Indenture may be executed in several counterparts, each of which shall be an original and all of which shall constitute but one and the same instrument. The exchange of copies of this Supplemental Indenture and of signature pages by facsimile or PDF transmission shall constitute effective execution and delivery of this Supplemental Indenture as to the parties hereto and may be used in lieu of the original Supplemental Indenture for all purposes. Signatures of the parties hereto transmitted by facsimile or PDF shall be deemed to be their original signatures for all purposes.

Section 308. Continued Effect of Base Indenture.  Except as amended or supplemented by this Supplemental Indenture, the terms, conditions, covenants and agreements set forth in the Base Indenture shall continue in full force and effect.

[Remainder of Page Intentionally Left Blank]

 

 

3

 

IN WITNESS WHEREOF, the parties hereto have caused this First Supplemental Indenture to be duly executed, all as of the day and year first above written.

 

	
 
	
AMERICAN HONDA FINANCE CORPORATION,
as Issuer
 

	
 
	
 

	
 
	
 
	
 

	
 
	
By:
	
/s/ Paul C. Honda

	
 
	
 
	
Name: Paul C. Honda

	
 
	
 
	
Title: Vice President, Assistant Secretary

 

 

 

 

 

 

 

 

 

 

	
 
	
DEUTSCHE BANK TRUST COMPANY AMERICAS, as Trustee

	
 
	
 

	
 
	
 

	
 
	
By:
	
/s/ Carol Ng

	
 
	
 
	
Name: Carol Ng

	
 
	
 
	
Title: Vice President

	
 
	
 
	
 

	
 
	
 
	
 

	
 
	
By:
	
/s/ Scott Dodic

	
 
	
 
	
Name: Scott Dodic

	
 
	
 
	
Title: Assistant Vice President

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