Document:

EX-4.3

 Exhibit 4.3 
 MOHAWK INDUSTRIES, INC., 
 as Issuer 

and 

[                      
                                      ], 

as Trustee 

_____________ 

INDENTURE 
 Dated
as of __________, 20__ 
 _____________ 

 

 TABLE OF CONTENTS 

Page 
  

							
	
	 ARTICLE I
 DEFINITIONS AND INCORPORATION BY REFERENCE
	   

  

			
	 SECTION 1.1.
	  	DEFINITIONS	  	 	1	  
	 SECTION 1.2.
	  	INCORPORATION BY REFERENCE OF TIA	  	 	7	  
	 SECTION 1.3.
	  	RULES OF CONSTRUCTION	  	 	7	  
	
	 ARTICLE II
 SECURITY FORMS 
	   

  

			
	 SECTION 2.1.
	  	FORMS GENERALLY	  	 	8	  
	 SECTION 2.2.
	  	FORM OF SECURITIES	  	 	8	  
	 SECTION 2.3.
	  	GLOBAL SECURITIES	  	 	9	  
	 SECTION 2.4.
	  	FORM OF TRUSTEE’S CERTIFICATE OF AUTHENTICATION	  	 	10	  
	
	 ARTICLE III
 THE SECURITIES 
	   

  

			
	 SECTION 3.1.
	  	AMOUNT UNLIMITED; ISSUABLE IN SERIES	  	 	10	  
	 SECTION 3.2.
	  	DENOMINATIONS	  	 	13	  
	 SECTION 3.3.
	  	EXECUTION, AUTHENTICATION, DELIVERY AND DATING	  	 	13	  
	 SECTION 3.4.
	  	TEMPORARY SECURITIES	  	 	14	  
	 SECTION 3.5.
	  	HOLDER LISTS	  	 	15	  
	 SECTION 3.6.
	  	REGISTRAR, PAYING AGENT AND DEPOSITARY	  	 	15	  
	 SECTION 3.7.
	  	REGISTRATION OF TRANSFER AND EXCHANGE	  	 	15	  
	 SECTION 3.8.
	  	MUTILATED, DESTROYED, LOST AND STOLEN SECURITIES	  	 	17	  
	 SECTION 3.9.
	  	PAYMENT OF INTEREST; INTEREST RIGHTS PRESERVED	  	 	18	  
	 SECTION 3.10.
	  	PAYING AGENT TO HOLD MONEY IN TRUST	  	 	19	  
	 SECTION 3.11.
	  	PERSONS DEEMED OWNERS	  	 	20	  
	 SECTION 3.12.
	  	CANCELLATION	  	 	20	  
	 SECTION 3.13.
	  	COMPUTATION OF INTEREST; USURY	  	 	20	  
	 SECTION 3.14.
	  	CUSIP NUMBERS	  	 	21	  
	
	 ARTICLE IV
 REDEMPTION 
	   

  

			
	 SECTION 4.1.
	  	APPLICABILITY OF ARTICLE	  	 	21	  
	 SECTION 4.2.
	  	ELECTION TO REDEEM; NOTICE TO TRUSTEE	  	 	21	  
	 SECTION 4.3.
	  	SELECTION BY TRUSTEE OF SECURITIES TO BE REDEEMED	  	 	22	  
	 SECTION 4.4.
	  	NOTICE OF REDEMPTION	  	 	23	  
	 SECTION 4.5.
	  	DEPOSIT OF REDEMPTION PRICE	  	 	23	  
	 SECTION 4.6.
	  	SECURITIES PAYABLE ON REDEMPTION DATE	  	 	24	  
	 SECTION 4.7.
	  	SECURITIES REDEEMED IN PART	  	 	24	  

  
 i 

							
	
	 ARTICLE V

SINKING FUNDS
	   

  

			
	 SECTION 5.1.
	  	APPLICABILITY OF ARTICLE	  	 	25	  
	 SECTION 5.2.
	  	SATISFACTION OF SINKING FUND PAYMENTS WITH SECURITIES	  	 	25	  
	 SECTION 5.3.
	  	REDEMPTION OF SECURITIES FOR SINKING FUND	  	 	25	  
	
	 ARTICLE VI

COVENANTS
	   

  

			
	 SECTION 6.1.
	  	PAYMENT OF SECURITIES	  	 	26	  
	 SECTION 6.2.
	  	MAINTENANCE OF OFFICE OR AGENCY	  	 	26	  
	 SECTION 6.3.
	  	CORPORATE EXISTENCE	  	 	27	  
	 SECTION 6.4.
	  	COMPLIANCE CERTIFICATE; NOTICE OF DEFAULT	  	 	27	  
	 SECTION 6.5.
	  	REPORTS	  	 	27	  
	
	 ARTICLE VII

SUCCESSOR CORPORATION
	   

  

			
	 SECTION 7.1.
	  	LIMITATION ON MERGER, SALE OR CONSOLIDATION	  	 	28	  
	 SECTION 7.2.
	  	SUCCESSOR CORPORATION SUBSTITUTED	  	 	28	  
	
	 ARTICLE VIII

EVENTS OF DEFAULT AND REMEDIES
	   

  

			
	 SECTION 8.1.
	  	EVENTS OF DEFAULT	  	 	29	  
	 SECTION 8.2.
	  	ACCELERATION OF MATURITY DATE; RESCISSION AND ANNULMENT	  	 	30	  
	 SECTION 8.3.
	  	COLLECTION OF DEBT AND SUITS FOR ENFORCEMENT BY TRUSTEE	  	 	31	  
	 SECTION 8.4.
	  	TRUSTEE MAY FILE PROOFS OF CLAIM	  	 	31	  
	 SECTION 8.5.
	  	TRUSTEE MAY ENFORCE CLAIMS WITHOUT POSSESSION OF SECURITIES	  	 	32	  
	 SECTION 8.6.
	  	PRIORITIES	  	 	32	  
	 SECTION 8.7.
	  	LIMITATION ON SUITS	  	 	33	  
	 SECTION 8.8.
	  	UNCONDITIONAL RIGHT OF HOLDERS TO RECEIVE PRINCIPAL, PREMIUM AND INTEREST	  	 	34	  
	 SECTION 8.9.
	  	RIGHTS AND REMEDIES CUMULATIVE	  	 	34	  
	 SECTION 8.10.
	  	DELAY OR OMISSION NOT WAIVER	  	 	34	  
	 SECTION 8.11.
	  	CONTROL BY HOLDERS	  	 	34	  
	 SECTION 8.12.
	  	WAIVER OF EXISTING OR PAST DEFAULT	  	 	35	  
	 SECTION 8.13.
	  	UNDERTAKING FOR COSTS	  	 	35	  
	 SECTION 8.14.
	  	RESTORATION OF RIGHTS AND REMEDIES	  	 	36	  

  
 ii 

							
	
	 ARTICLE IX

TRUSTEE
	   

  

			
	 SECTION 9.1.
	  	DUTIES OF TRUSTEE	  	 	36	  
	 SECTION 9.2.
	  	RIGHTS OF TRUSTEE	  	 	37	  
	 SECTION 9.3.
	  	INDIVIDUAL RIGHTS OF TRUSTEE	  	 	39	  
	 SECTION 9.4.
	  	TRUSTEE’S DISCLAIMER	  	 	39	  
	 SECTION 9.5.
	  	NOTICE OF DEFAULT	  	 	39	  
	 SECTION 9.6.
	  	REPORTS BY TRUSTEE TO HOLDERS	  	 	39	  
	 SECTION 9.7.
	  	COMPENSATION AND INDEMNITY	  	 	40	  
	 SECTION 9.8.
	  	REPLACEMENT OF TRUSTEE	  	 	41	  
	 SECTION 9.9.
	  	SUCCESSOR TRUSTEE BY MERGER, ETC.	  	 	42	  
	 SECTION 9.10.
	  	ELIGIBILITY; DISQUALIFICATION	  	 	42	  
	 SECTION 9.11.
	  	PREFERENTIAL COLLECTION OF CLAIMS AGAINST COMPANY.	  	 	42	  
	
	 ARTICLE X

LEGAL DEFEASANCE AND COVENANT DEFEASANCE
	   

  

			
	 SECTION 10.1.
	  	OPTION TO EFFECT LEGAL DEFEASANCE OR COVENANT DEFEASANCE	  	 	42	  
	 SECTION 10.2.
	  	LEGAL DEFEASANCE AND DISCHARGE	  	 	42	  
	 SECTION 10.3.
	  	COVENANT DEFEASANCE	  	 	43	  
	 SECTION 10.4.
	  	CONDITIONS TO LEGAL OR COVENANT DEFEASANCE	  	 	43	  
	 SECTION 10.5.
	  	DEPOSITED CASH AND U.S. GOVERNMENT OBLIGATIONS TO BE HELD IN TRUST; OTHER MISCELLANEOUS PROVISIONS	  	 	45	  
	 SECTION 10.6.
	  	REPAYMENT TO THE COMPANY	  	 	45	  
	 SECTION 10.7.
	  	REINSTATEMENT	  	 	46	  
	
	 ARTICLE XI

AMENDMENTS, SUPPLEMENTS AND WAIVERS
	   

  

			
	 SECTION 11.1.
	  	SUPPLEMENTAL INDENTURES WITHOUT CONSENT OF HOLDERS	  	 	46	  
	 SECTION 11.2.
	  	AMENDMENTS, SUPPLEMENTAL INDENTURES AND WAIVERS WITH CONSENT OF HOLDERS	  	 	48	  
	 SECTION 11.3.
	  	COMPLIANCE WITH TIA	  	 	49	  
	 SECTION 11.4.
	  	REVOCATION AND EFFECT OF CONSENTS	  	 	50	  
	 SECTION 11.5.
	  	NOTATION ON OR EXCHANGE OF SECURITIES	  	 	50	  
	 SECTION 11.6.
	  	TRUSTEE TO SIGN AMENDMENTS, ETC.	  	 	51	  
	
	 ARTICLE XII

MISCELLANEOUS
	   

  

			
	 SECTION 12.1.
	  	TIA CONTROLS	  	 	51	  
	 SECTION 12.2.
	  	FORM OF DOCUMENTS DELIVERED TO TRUSTEE	  	 	51	  

  
 iii

							
	 SECTION 12.3.
	  	ACTS OF HOLDERS; RECORD DATES	  	 	52	  
	 SECTION 12.4.
	  	NOTICES	  	 	54	  
	 SECTION 12.5.
	  	COMMUNICATIONS BY HOLDERS WITH OTHER HOLDERS	  	 	55	  
	 SECTION 12.6.
	  	CERTIFICATE AND OPINION AS TO CONDITIONS PRECEDENT	  	 	55	  
	 SECTION 12.7.
	  	STATEMENTS REQUIRED IN CERTIFICATE OR OPINION	  	 	55	  
	 SECTION 12.8.
	  	RULES BY TRUSTEE, PAYING AGENT, REGISTRAR	  	 	56	  
	 SECTION 12.9.
	  	LEGAL HOLIDAYS	  	 	56	  
	 SECTION 12.10.
	  	GOVERNING LAW	  	 	56	  
	 SECTION 12.11.
	  	NO ADVERSE INTERPRETATION OF OTHER AGREEMENTS	  	 	56	  
	 SECTION 12.12.
	  	NO RECOURSE AGAINST OTHERS	  	 	56	  
	 SECTION 12.13.
	  	SUCCESSORS	  	 	57	  
	 SECTION 12.14.
	  	DUPLICATE ORIGINALS	  	 	57	  
	 SECTION 12.15.
	  	SEVERABILITY	  	 	57	  
	 SECTION 12.16.
	  	TABLE OF CONTENTS, HEADINGS, ETC.	  	 	57	  

  
 iv 

 CROSS-REFERENCE TABLE 

 

							
	 TIA

Section
	  	Indenture
Section	 
	 310
	 	 (a)(1)
	  	 	9.10	  
		 	 (a)(2)
	  	 	9.10	  
		 	 (a)(3)
	  	 	N.A.	  
		 	 (a)(4)
	  	 	N.A.	  
		 	 (a)(5)
	  	 	9.10	  
		 	 (b)
	  	 	9.10	  
		 	 (c)
	  	 	N.A.	  
			
	 311
	 	 (a)
	  	 	9.11	  
		 	 (b)
	  	 	9.11	  
		 	 (c)
	  	 	N.A.	  
			
	 312
	 	 (a)
	  	 	3.5	  
		 	 (b)
	  	 	12.5	  
		 	 (c)
	  	 	12.5	  
			
	 313
	 	 (a)
	  	 	9.6	  
		 	 (b)
	  	 	9.6	  
		 	 (c)
	  	 	9.6	  
		 	 (d)
	  	 	9.6	  
			
	 314
	 	 (a)
	  	 	6.5(a), 6.6	  
		 	 (b)(1)
	  	 	N.A.	  
		 	 (b)(2)
	  	 	N.A.	  
		 	 (c)(1)
	  	 	12.6	  
		 	 (c)(2)
	  	 	12.6	  
		 	 (c)(3)
	  	 	N.A.	  
		 	 (d)
	  	 	N.A.	  
		 	 (e)
	  	 	12.7	  
		 	 (f)
	  	 	N.A.	  
			
	 315
	 	 (a)
	  	 	9.1	  
		 	 (b)
	  	 	9.5	  
		 	 (c)
	  	 	9.1	  
		 	 (d)
	  	 	9.1	  
		 	 (e)
	  	 	8.13	  
			
	 316
	 	 (a)(last sentence)
	  	 	1.1	  
		 	 (a)(1)(A)
	  	 	8.11	  
		 	 (a)(1)(B)
	  	 	N.A.	  
		 	 (a)(2)
	  	 	8.12	  
		 	 (b)
	  	 	8.8	  
		 	 (c)
	  	 	12.3	  

  
 v 

  

							
			
	 317
	 	 (a)(1)
	  	 	8.3	  
		 	 (a)(2)
	  	 	8.4	  
		 	 (b)
	  	 	3.10	  
			
	 318
	 	 (a)
	  	 	12.1	  
		 	 (b)
	  	 	N.A.	  
		 	 (c)
	  	 	12.1	  

  
 N.A.
means Not Applicable 
 Note: This Cross-Reference Table shall not, for any purpose, be deemed to be a part of this Indenture. 

  
 vi 

 INDENTURE, dated as of
                        , 20    , by and between Mohawk Industries, Inc., a Delaware
corporation (the “Company”), and
[                                ], a
                                    , as trustee (the
“Trustee”). 
 The Company has duly authorized the execution and delivery of this Indenture to provide for the
issuance from time to time of its unsecured debentures, notes or other evidences of indebtedness, to be issued in one or more series as in this Indenture provided. 
 All things necessary to make this Indenture a valid agreement of the Company, in accordance with its terms, have been done. 
 NOW, THEREFORE, THIS INDENTURE WITNESSETH: 
 For and in consideration of the
premises and the purchase of the Securities by the Holders thereof, it is mutually agreed, for the equal and proportionate benefit of all Holders of the Securities or of series thereof, as follows: 

ARTICLE I 

DEFINITIONS AND INCORPORATION BY REFERENCE 
  

	SECTION 1.1.	DEFINITIONS 

“Acceleration Notice” shall have the meaning specified in Section 8.2. 

“Act”, when used with respect to any Holder, has the meaning specified in Section 12.3. 

“Affiliate” means any Person directly or indirectly controlling or controlled by or under direct or indirect common
control with the Company or another specified Person. For purposes of this definition, the term “control” means the power to direct the management and policies of a Person, directly or through one or more intermediaries, whether through
the ownership of voting securities, by contract, or otherwise. 
 “Agent” means any Registrar, Paying Agent or
co-Registrar. 
 “Applicable Procedures” of a Depositary means, with respect to any matter at any time, the
policies and procedures of such Depositary, if any, that are applicable to such matter at such time. 
 “Bankruptcy
Law” means Title 11, U.S. Code, or any similar Federal, state or foreign law for the relief of debtors. 

“Beneficial Owner” or “beneficial owner” for purposes of the definition of Affiliate has the meaning
attributed to it in Rules 13d-3 and 13d-5 under the Exchange Act, whether or not applicable; the term “beneficial ownership” shall have a corresponding meaning. 
 “Board of Directors” means either the board of directors of the Company or any duly authorized committee of that board. 

 “Board Resolution” means a copy of a resolution certified by the Secretary
or an Assistant Secretary of the Company to have been duly adopted by the Board of Directors and to be in full force and effect on the date of such certification, and delivered to the Trustee. 

“Business Day”, when used with respect to any Place of Payment, means each Monday, Tuesday, Wednesday, Thursday and
Friday which is not a day on which banking institutions in that Place of Payment are authorized or obligated by law or executive order to close; provided that, when used with respect to any Security, “Business Day” may have such
other meaning, if any, as may be specified for such Security as contemplated by Section 3.1. 
 “Cash” or
“cash” means such coin or currency of the United States of America as at the time of payment shall be legal tender for the payment of public or private debts. 
 “Code” means the Internal Revenue Code of 1986, as amended. 

“Company” means the party named as such in this Indenture until a successor replaces it pursuant to this Indenture, and
thereafter means such successor. 
 “Company Request” or “Company Order” means, respectively,
a written request or order signed in the name of the Company by an Officer and delivered to the Trustee from time to time. 

“Consolidated Subsidiary” means a Subsidiary of the Company whose financial statements are consolidated with those of
the Company in accordance with GAAP. 
 “Corporate Trust Office” means the principal office of the Trustee at
which at any time its corporate trust business shall be administered, which office at the date hereof is located at
[                        ], Attention:
[                        ], or such other address as the Trustee may designate from time to time by notice to the Holders
and the Company, or the principal corporate trust office of any successor Trustee (or such other address as a successor Trustee may designate from time to time by notice to the Holders and the Company). 

“Covenant Defeasance” shall have the meaning specified in Section 10.3. 

“Custodian” means any receiver, trustee, assignee, liquidator, sequestrator or similar official under any Bankruptcy
Law. 
 “Debt” means, at any time, all obligations of the Company and each Consolidated Subsidiary, to the
extent such obligations would appear as a liability upon the consolidated balance sheet of the Company and the Consolidated Subsidiaries, in accordance with GAAP, (1) for borrowed money, (2) evidenced by bonds, debentures, notes or other
similar instruments, and (3) in respect of any letters of credit supporting any Debt of others, and all guarantees by the Company or any Consolidated Subsidiary of Debt or others. 

“Default” means any event that is or with the passage of time or the giving of notice or both would be an Event of
Default. 
 “Defaulted Interest” shall have the meaning specified in Section 3.9. 

  
 2 

 “Depositary” means, with respect to Securities of any series issuable in
whole or in the form of one or more Global Securities, a clearing agency registered under the Exchange Act or other applicable law or regulation that is designated to act as the Depositary for such Securities as contemplated by Section 3.1,
until a successor shall have been appointed and become such pursuant to the applicable provision of this Indenture, and, thereafter, “Depositary” shall mean or include such successor. 

“Event of Default” shall have the meaning specified in Section 8.1. 

“Exchange Act” means the Securities Exchange Act of 1934, as amended, and the rules and regulations of the SEC
promulgated thereunder. 
 “Expiration Date” has the meaning specified in Section 12.3. 

“GAAP” means United States generally accepted accounting principles as in effect from time to time. All ratios and
computations based on GAAP contained in this Indenture shall be computed in conformity with GAAP. 
 “Global
Security” means a Security that evidences all or part of the Securities of any series and bears the legend set forth in Section 2.3 (or such legend as may be specified as contemplated by Section 3.1 for such Securities).

 “Holder” means a Person in whose name a Security is registered in the Security Register. 

“Indenture” means this instrument as originally executed and as it may from time to time be supplemented or amended by
one or more Supplemental Indentures, including, for all purposes of this instrument and any such Supplemental Indenture, the provisions of the Trust Indenture Act that are deemed to be a part of and govern this instrument and any such Supplemental
Indenture, respectively. The term “Indenture” shall also include the terms of particular series of Securities established as contemplated by Section 3.1. 
 “Interest”, when used with respect to an Original Issue Discount Security which by its terms bears interest only after Maturity, means interest payable after Maturity. 

“Interest Payment Date”, when used with respect to any Security, means the stated due date of an installment of interest
on such Security. 
 “Legal Defeasance” shall have the meaning specified in Section 10.2. 

“Lien” means any mortgage, pledge, hypothecation, encumbrance, security interest, statutory or other lien, or
preference, priority or other security or similar agreement or preferential arrangement of any kind or nature whatsoever (including any conditional sale or other title retention agreement having substantially the same economic effect as any of the
foregoing). 
 “Maturity”, when used with respect to any Security, means the date on which the principal of
such Security or an installment of principal becomes due and payable as therein or 

  
 3 

 
herein provided, whether at the Stated Maturity or by declaration of acceleration, call for redemption or otherwise. 
 “Maximum Interest Rate” shall have the meaning specified in Section 3.13. 
 “Officer” means the Chief Executive Officer, the President, any Vice President, the Chief Financial Officer, the Treasurer, the Controller, or the Secretary of the Company. 

“Officers’ Certificate” means a certificate signed by two Officers or by an Officer and an Assistant Secretary of
the Company, delivered to the Trustee from time to time and otherwise complying with the requirements of Sections 12.6 and 12.7, if applicable. 
 “Opinion of Counsel” means a written opinion from legal counsel who is reasonably acceptable to the Trustee and, if applicable, complying with the requirements of Sections 12.6 and 12.7.

 “Original Issue Discount Security” means any Security which provides for an amount less than the principal
amount thereof to be due and payable upon a declaration of acceleration of the Maturity thereof pursuant to Section 8.2. 

“Outstanding”, when used with respect to Securities or Securities of any series, means, as of the date of determination,
all such Securities theretofore authenticated and delivered under this Indenture, except: 
 (1) such Securities theretofore
canceled by the Trustee or delivered to the Trustee for cancellation; 
 (2) such Securities for whose payment or redemption
money in the necessary amount has been theretofore deposited with the Trustee or any Paying Agent (other than the Company) in trust or set aside and segregated in trust by the Company (if the Company shall act as its own Paying Agent) for the
Holders of such Securities; provided that, if such Securities are to be redeemed, notice of such redemption has been duly given pursuant to this Indenture or provision therefor satisfactory to the Trustee has been made; 

(3) such Securities as to which Legal Defeasance has been effected pursuant to Section 10.2; 

(4) such Securities which have been paid pursuant to Section 3.8 or in exchange for or in lieu of which other Securities have been
authenticated and delivered pursuant to this Indenture, other than any such Securities in respect of which there shall have been presented to the Trustee proof satisfactory to it that such Securities are held by a bona fide purchaser in whose hands
such Securities are valid obligations of the Company; and 
 (5) such Securities as to which any property deliverable upon
conversion thereof has been delivered (or such delivery has been duly provided for), or as to which any other particular conditions have been satisfied, in each case as may be provided for such Securities as contemplated in Section 3.1;

  
 4 

 provided, however, that in determining whether the Holders of the requisite principal amount of the
Outstanding Securities have given, made or taken any request, demand, authorization, direction, notice, consent, waiver or other action hereunder as of any date, (A) the principal amount of an Original Issue Discount Security which shall be
deemed to be Outstanding shall be the amount of the principal thereof which would be due and payable as of such date upon acceleration of the Maturity thereof to such date pursuant to Section 8.2, (B) if, as of such date, the principal
amount payable at the Stated Maturity of a Security is not determinable, the principal amount of such Security which shall be deemed to be Outstanding shall be the amount as specified or determined as contemplated by Section 3.1, (C) the
principal amount of a Security denominated in one or more foreign currencies, composite currencies or currency units which shall be deemed to be Outstanding shall be the U.S. dollar equivalent, determined as of such date in the manner provided as
contemplated by Section 3.1, of the principal amount of such Security (or, in the case of a Security described in Clause (A) or (B) above, of the amount determined as provided in such clause), and (D) Securities owned by the
Company or any other obligor upon the Securities or any Affiliate of the Company or of such other obligor shall be disregarded and deemed not to be Outstanding, except that, in determining whether the Trustee shall be protected in relying upon any
such request, demand, authorization, direction, notice, consent, waiver or other action, only Securities which a Trust Officer of the Trustee actually knows to be so owned shall be so disregarded. Securities so owned which have been pledged in good
faith may be regarded as Outstanding if the pledgee establishes to the satisfaction of the Trustee the pledgee’s right so to act with respect to such Securities and that the pledgee is not the Company or any other obligor upon the Securities or
any Affiliate of the Company or of such other obligor. 
 “Paying Agent” shall have the meaning specified in
Section 3.6. 
 “Person” or “person” means any corporation, individual, limited liability
company, joint stock company, joint venture, partnership, unincorporated association, governmental regulatory entity, country, state or political subdivision thereof, trust, municipality or other entity. 

“Place of Payment”, when used with respect to the Securities of any series and subject to Section 6.2, means the
place or places where the principal of and any premium and interest on the Securities of that series are payable as specified as contemplated by Section 3.1. 
 “Predecessor Security” of any particular Security means every previous Security evidencing all or a portion of the same debt as that evidenced by such particular Security; and, for the
purposes of this definition, any Security authenticated and delivered under Section 3.8 in exchange for or in lieu of a mutilated, destroyed, lost or stolen Security shall be deemed to evidence the same debt as the mutilated, destroyed, lost or
stolen Security. 
 “Principal” of any Debt means the principal amount of such Debt as of any date of
determination. 
 “Redemption Date”, when used with respect to any Security to be redeemed, means the date
fixed for such redemption by or pursuant to this Indenture. 
 “Redemption Price”, when used with respect to
any Security to be redeemed, means the price at which it is to be redeemed pursuant to this Indenture. 

  
 5 

 “Registrar” shall have the meaning specified in Section 3.6.

 “Regular Record Date” for the interest payable on any Interest Payment Date on the Securities of any series
means the date specified for that purpose as contemplated by Section 3.1. 
 “Regulation S-X” means
Regulation S-X promulgated under the Securities Act, as it may be amended from time to time, and any successor provision thereto. 
 “SEC” means the Securities and Exchange Commission. 

“Securities” means unsecured debentures, notes or other evidences of indebtedness of any series, as the case may be,
issued by the Company from time to time, and authenticated and delivered under this Indenture. 
 “Securities
Act” means the Securities Act of 1933, as amended, and the rules and regulations of the SEC promulgated thereunder. 

“Securities Custodian” means the Trustee, as custodian with respect to the Global Securities, or any successor entity
thereto. 
 “Security Register” shall have the meaning specified in Section 3.6. 

“Special Record Date” for the payment of any Defaulted Interest means a date fixed by the Trustee pursuant to
Section 3.9. 
 “Stated Maturity”, when used with respect to any Security or any installment of principal
thereof or interest thereon, means the date specified in such Security as the fixed date on which the principal of such Security or such installment of principal or interest is due and payable. 

“Subsidiary” means any Person of which the Company, or the Company and one or more Subsidiaries, or any one or more
Subsidiaries, directly or indirectly own more than 50% of the Voting Stock. 
 “Supplemental Indenture” means
an indenture supplemental to this Indenture, which supplements, amends or modifies this Indenture and is entered into by the parties to this Indenture as provided in Article XI. 

“TIA” means the Trust Indenture Act of 1939, as amended, (15 U.S. Code §§ 77aaa-77bbbb) as in effect on the
date of the execution of this Indenture; provided, however, that if the Trust Indenture Act of 1939 is amended after the date hereof, the term “TIA” shall mean, to the extent required by such amendment, the Trust Indenture Act of
1939 as so amended. 
 “Trust Officer” means, when used with respect to the Trustee, any officer within the
corporate trust department of the Trustee, including any vice president, assistant vice president, assistant secretary, assistant treasurer, trust officer or any other officer of the Trustee who customarily performs functions similar to those
performed by the Persons who at the time shall be such officers, respectively, or to whom any corporate trust matter is referred because of such person’s knowledge of and familiarity with the particular subject. 

  
 6 

 “Trustee” means the Person named as the “Trustee” in the first
paragraph of this instrument until a successor Trustee shall have become such pursuant to the applicable provisions of this Indenture, and thereafter “Trustee” shall mean or include each Person who is then a Trustee hereunder, and if at
any time there is more than one such Person, “Trustee” as used with respect to the Securities of any series shall mean the Trustee with respect to Securities of that series. 

“U.S. Government Obligations” means direct non-callable obligations of, or noncallable obligations guaranteed by, the
United States of America for the payment of which obligation or guarantee the full faith and credit of the United States of America is pledged. 
 “Voting Stock” means outstanding shares of capital stock or similar equity interests having under ordinary circumstances voting power for the election of directors, managers or the
substantial equivalent thereof whether at all times or only so long as no senior class of stock or similar equity interest has such voting power by reason of the happening of any contingency. 

 

	SECTION 1.2.	INCORPORATION BY REFERENCE OF TIA 

Whenever this Indenture refers to a provision of the TIA, such provision is incorporated by reference in and made a part of this
Indenture. The following TIA terms used in this Indenture have the following meanings: 
 “Commission” means the
SEC. 
 “indenture securities” means the Securities. 

“indenture security holder” means a Holder. 
 “indenture to be qualified” means this Indenture. 

“indenture trustee” or “institutional trustee” means the Trustee. 

“obligor” on the indenture securities means the Company and any other obligor on any Security. 

All other terms used in this Indenture that are defined by the TIA, defined by TIA reference to another statute or defined by SEC rule
and not otherwise defined herein have the meanings assigned to them thereby. 
  

	SECTION 1.3.	RULES OF CONSTRUCTION 

 Unless
the context otherwise requires: 
 (1) a term has the meaning assigned to it; 

(2) an accounting term not otherwise defined has the meaning assigned to it in accordance with GAAP; 

(3) “or” is not exclusive; 

  
 7 

 (4) “including” means including, without limitation; 

(5) words in the singular include the plural, and words in the plural include the singular; 

(6) provisions apply to successive events and transactions; 

(7) “herein,” “hereof” and other words of similar import refer to this Indenture as a whole and not to
any particular Article, Section or other subdivision; and 
 (8) references to Sections or Articles means
reference to such Section or Article in this Indenture, unless stated otherwise. 
 ARTICLE II 

SECURITY FORMS 
  

	SECTION 2.1.	FORMS GENERALLY 

 All Securities
shall have such appropriate insertions, omissions, substitutions and other variations as are required or permitted by this Indenture, and may have such letters, numbers or other marks of identification and such legends or endorsements placed thereon
as may be required to comply with the rules of any securities exchange or Depositary therefor or as may, consistently herewith, be determined by the Officers executing such Securities, as evidenced by their execution thereof. The definitive
Securities shall be printed, typewritten, lithographed or engraved or produced by any combination of these methods on any type of paper, or may be produced in any other manner permitted by the rules of any securities exchange all as determined by
the Officers executing such Securities, as evidenced by their execution of such Securities. 
  

	SECTION 2.2.	FORM OF SECURITIES 

 Each
Security in a series shall be in a form approved by or pursuant to a Supplemental Indenture hereto or a Board Resolution or by an Officer or Officers pursuant to authority delegated to that Officer or those Officers pursuant to a Board Resolution.
If the form of the Securities of a series is not prescribed by the Supplemental Indenture relating to that series, upon or prior to the delivery to the Trustee for authentication of the first Security to be issued of that series, the Company shall
deliver to the Trustee, the Board Resolution by or pursuant to which such form of the Security for that series has been approved, which Board Resolution shall have attached thereto a copy of the form of the Security approved, or a certificate of an
Officer, attested to by the Secretary or an Assistant Secretary of the Company, certifying that an Officer, acting pursuant to delegated authority from the Board of Directors, approved the form of the Securities of that series and attaching a copy
of the form of the Security approved and a true and complete copy of the resolutions of the Board of Directors delegating authority to that Officer to approve the form of Securities. If temporary Securities of any series are issued in global form as
permitted by Section 3.4, the form thereof also shall be established as provided in this Section 2.2. 

  
 8 

	SECTION 2.3.	GLOBAL SECURITIES 

 If Securities
of a series are issuable in whole or in part in global form, as specified as contemplated by Section 3.1, then, notwithstanding Section 3.1 and Section 3.2, such Global Security shall represent such of the Outstanding Securities of
that series as shall be specified in such Global Security and may provide that it shall represent the aggregate amount of Outstanding Securities from time to time endorsed thereon and that the aggregate amount of Outstanding Securities represented
thereby may from time to time be reduced or increased to reflect exchanges or partial redemptions or increased to reflect the issuance of additional uncertificated Securities of that series. Any endorsement of a Global Security to reflect the
amount, or any increase or decrease in the amount, of Outstanding Securities of a series represented thereby shall be made in such manner and upon instructions given by such Person or Persons as shall be specified therein or in the Company Order to
be delivered to the Trustee pursuant to Section 3.3. 
 Unless otherwise specified as contemplated by Section 3.1 for
the Securities evidenced thereby, every Global Security authenticated and delivered hereunder shall bear a legend in substantially the following form: 
 THIS SECURITY IS A GLOBAL SECURITY WITHIN THE MEANING OF THE INDENTURE HEREINAFTER REFERRED TO AND IS REGISTERED IN THE NAME OF A DEPOSITARY OR A NOMINEE OF A DEPOSITARY. THIS SECURITY IS EXCHANGEABLE FOR
SECURITIES REGISTERED IN THE NAME OF A PERSON OTHER THAN THE DEPOSITARY OR ITS NOMINEE ONLY IN THE LIMITED CIRCUMSTANCES DESCRIBED IN THE INDENTURE AND MAY NOT BE TRANSFERRED EXCEPT AS A WHOLE BY THE DEPOSITARY TO A NOMINEE OF THE DEPOSITARY OR BY A
NOMINEE OF THE DEPOSITARY TO THE DEPOSITARY OR ANOTHER NOMINEE OF THE DEPOSITARY. 
 UNLESS THIS CERTIFICATE IS
PRESENTED BY AN AUTHORIZED REPRESENTATIVE [OF THE DEPOSITORY TRUST COMPANY, A NEW YORK CORPORATION (“DTC”),] TO THE COMPANY OR ITS AGENT FOR REGISTRATION OF TRANSFER, EXCHANGE OR PAYMENT, AND ANY CERTIFICATE ISSUED IS REGISTERED IN THE
NAME OF [CEDE & CO.] OR IN SUCH OTHER NAME AS IS REQUESTED BY AN AUTHORIZED REPRESENTATIVE [OF DTC] (AND ANY PAYMENT IS TO BE MADE TO [CEDE & CO.] OR TO SUCH OTHER ENTITY AS IS REQUESTED BY AN AUTHORIZED REPRESENTATIVE [OF DTC]),
ANY TRANSFER, PLEDGE OR OTHER USE HEREOF FOR VALUE OR OTHERWISE BY OR TO ANY PERSON IS WRONGFUL INASMUCH AS THE REGISTERED OWNER HEREOF, [CEDE & CO.], HAS AN INTEREST HEREIN. 

  
 9 

	SECTION 2.4.	FORM OF TRUSTEE’S CERTIFICATE OF AUTHENTICATION 

 The Trustee’s certificates of authentication shall be in substantially the following form: 
 This is one of the Securities of the series designated herein and referred to in the within-mentioned Indenture. 
  

 

									
		 		 	
[                         
           ],
 as Trustee

					
	Dated:	 		 		 	By:	 	 
		 		 		 		 	Authorized Signatory

 ARTICLE III 
 THE SECURITIES 
  

	SECTION 3.1.	AMOUNT UNLIMITED; ISSUABLE IN SERIES 

 The aggregate principal amount of Securities which may be authenticated and delivered under this Indenture is unlimited. The Securities may be issued in one or more series. There shall be established in
or pursuant to a Board Resolution and, subject to Section 3.3, set forth, or determined in the manner provided, in an Officers’ Certificate, or established in one or more Supplemental Indentures hereto, prior to the issuance of Securities
of any series, 
 (1) the title of the Securities of the series (which shall distinguish the Securities of the
series from Securities of any other series); 
 (2) any limit upon the aggregate principal amount of the
Securities of the series which may be authenticated and delivered under this Indenture (except for Securities authenticated and delivered upon registration of transfer of, or in exchange for, or in lieu of, other Securities of the series pursuant to
Section 3.4 or 4.7 and except for any Securities which, pursuant to Section 3.3, are deemed never to have been authenticated and delivered hereunder); provided, however, that the authorized aggregate principal amount of such series
may from time to time be increased above such amount by a Board Resolution to such effect; 
 (3) the Person to
whom any interest on a Security of the series shall be payable, if other than the Person in whose name that Security (or one or more Predecessor Securities) is registered at the close of business on the Regular Record Date for such interest;

 (4) the date or dates on which the principal of any Securities of the series is payable or the method by which
such date or dates shall be determined or extended; 

  
 10 

 (5) the rate or rates at which any Securities of the series shall bear
interest, if any, or the method by which such rate or rates shall be determined, the date or dates from which any such interest shall accrue, the Interest Payment Dates on which any such interest shall be payable and the Regular Record Date for any
such interest payable on any Interest Payment Date; 
 (6) the Place of Payment; 

(7) the period or periods within which or the date or dates on which, the price or prices at which and the terms and
conditions upon which any Securities of the series may be redeemed, in whole or in part, at the option of the Company and, if other than by a Board Resolution, the manner in which any election by the Company to redeem the Securities shall be
evidenced; 
 (8) the obligation, if any, of the Company to redeem or purchase any Securities of the series
pursuant to any sinking fund or analogous provisions or at the option of the Holder thereof and the period or periods within which, the price or prices at which and the terms and conditions upon which any Securities of the series shall be redeemed
or purchased, in whole or in part, pursuant to such obligation; 
 (9) if other than denominations of $1,000 and
any multiple thereof, the denominations in which any Securities of the series shall be issuable; 
 (10) if the
amount of principal of or any premium or interest on any Securities of the series may be determined with reference to an index or pursuant to a formula, the manner in which such amounts shall be determined; 

(11) if other than the currency of the United States of America, the currency, currencies, composite currency, composite
currencies or currency units in which the principal of or any premium or interest on any Securities of the series shall be payable and the manner of determining the equivalent thereof in the currency of the United States of America for any purpose,
including for the purposes of making payment in the currency of the United States of America and applying the definition of “Outstanding” in Section 1.1; 

(12) if the principal of or any premium or interest on any Securities of the series is to be payable, at the election of
the Company or the Holder thereof, in one or more currencies, composite currencies or currency units other than that or those in which such Securities are stated to be payable, the currency, currencies, composite currency, composite currencies or
currency units in which the principal of or any premium or interest on such Securities as to which such election is made shall be payable, the periods within which and the terms and conditions upon which such election is to be made and the amount so
payable (or the manner in which such amount shall be determined); 
 (13) if other than the entire principal
amount thereof, the portion of the principal amount of any Securities of the series which shall be payable upon declaration of acceleration of the Maturity thereof pursuant to Section 8.2 or the method by which such portion shall be determined;

  
 11 

 (14) if the principal amount payable at the Stated Maturity of any
Securities of the series will not be determinable as of any one or more dates prior to the Stated Maturity, the amount which shall be deemed to be the principal amount of such Securities as of any such date for any purpose thereunder or hereunder,
including the principal amount thereof which shall be due and payable upon any Maturity other than the Stated Maturity or which shall be deemed to be Outstanding as of any date prior to the Stated Maturity (or, in any such case, the manner in which
such amount deemed to be the principal amount shall be determined); 
 (15) if applicable, that the Securities of
the series, in whole or any specified part, shall be defeasible pursuant to Section 10.2 or Section 10.3 or both such Sections, or pursuant to a manner varying from such Sections, any provisions to permit a pledge of obligations other than
U.S. Government Obligations (or the establishment of other arrangements) to satisfy the requirements of Section 10.4 for defeasance of such Securities and, if other than by a Board Resolution, the manner in which any election by the Company to
defease such Securities shall be evidenced; 
 (16) if applicable, that any Securities of the series shall be
issuable in whole or in part in the form of one or more Global Securities and, in such case, the respective Depositaries for such Global Securities, the form of any legend or legends which shall be borne by any such Global Security in addition to or
in lieu of that set forth in Section 2.3, any addition to, elimination of or other change in the circumstances set forth in clause (2) of the last paragraph of Section 3.7 in which any such Global Security may be exchanged in whole or
in part for Securities registered, and any transfer of such Global Security in whole or in part may be registered, in the name or names of Persons other than the Depositary for such Global Security or a nominee thereof and any other provisions
governing exchanges or transfers of any such Global Security; 
 (17) any addition to, elimination of or other
change in the Events of Default which applies to any Securities of the series and any change in the right of the Trustee or the requisite Holders of such Securities to declare the principal amount thereof due and payable pursuant to
Section 8.2; 
 (18) any addition to, elimination of or other change in the covenants set forth in Article
VI which applies to Securities of the series; 
 (19) any provisions necessary to permit or facilitate the
issuance, payment or conversion of any Securities of the series that may be converted into securities or other property other than Securities of the same series and of like tenor, whether in addition to, or in lieu of, any payment of principal or
other amount and whether at the option of the Company or otherwise; 
 (20) the terms and conditions, if any,
pursuant to which the Securities of the series are secured; 
 (21) any restriction or condition on the
transferability of the Securities of such series; 

  
 12 

 (22) the exchanges, if any, on which the Securities may be listed; and

 (23) any other terms of the series (which terms shall not be inconsistent with the provisions of this
Indenture, except as permitted by Section 11.1(4)). 
 All Securities of any one series shall be substantially identical
except as to denomination and except as may otherwise be provided in or pursuant to the Board Resolution referred to above and (subject to Section 3.3) set forth, or determined in the manner provided, in the Officers’ Certificate referred
to above or in any such Supplemental Indenture hereto. If any of the terms of the series are established by action taken pursuant to a Board Resolution, a copy of an appropriate record of such action shall be certified by the Secretary or an
Assistant Secretary of the Company and delivered to the Trustee at or prior to the delivery of the Officers’ Certificate setting forth the terms of the series. 
  

	SECTION 3.2.	DENOMINATIONS 

 The Securities of
each series shall be issuable only in registered form without coupons and only in such denominations as shall be specified as contemplated by Section 3.1. In the absence of any such specified denomination with respect to the Securities of any
series, the Securities of that series shall be issuable in denominations of $1,000 and any multiple thereof. 
  

	SECTION 3.3.	EXECUTION, AUTHENTICATION, DELIVERY AND DATING 

 The Securities shall be executed on behalf of the Company by two Officers by manual or facsimile signature. 
 Securities bearing the manual or facsimile signatures of individuals who were at any time the proper officers of the Company shall bind the Company, notwithstanding that such individuals or any of them
have ceased to hold such offices prior to the authentication and delivery of such Securities or did not hold such offices at the date of such Securities. 
 At any time and from time to time after the execution and delivery of this Indenture, the Company may deliver Securities of any series executed by the Company to the Trustee for authentication, together
with a Company Order for the authentication and delivery of such Securities, and the Trustee shall, upon receipt of the Company Order, authenticate and deliver such Securities as this Indenture provides and not otherwise. 

If the form or terms of the Securities of the series have been established by or pursuant to one or more Board Resolutions as permitted
by Sections 2.2 and 3.1, in authenticating such Securities, and accepting the additional responsibilities under this Indenture in relation to such Securities, the Trustee shall be entitled to receive, and (subject to Section 9.1) shall be fully
protected in relying upon, an Opinion of Counsel stating, 
 (1) if the form of such Securities has been
established by or pursuant to Board Resolution as permitted by Section 2.2, that such form has been established in conformity with the provisions of this Indenture; 

  
 13 

 (2) if the terms of such Securities have been established by or pursuant to
Board Resolution as permitted by Section 3.1, that such terms have been established in conformity with the provisions of this Indenture; and 
 (3) that such Securities, when authenticated and delivered by the Trustee and issued by the Company in the manner and subject to any conditions specified in such Opinion of Counsel, will constitute valid
and legally binding obligations of the Company enforceable in accordance with their terms, subject to bankruptcy, insolvency, fraudulent transfer, reorganization, moratorium and similar laws of general applicability relating to or affecting
creditors’ rights and to general equity principles. 
 If such form or terms have been so established, the Trustee shall
not be required to authenticate such Securities if the issue of such Securities pursuant to this Indenture will affect the Trustee’s own rights, duties, liabilities or immunities under the Securities and this Indenture or otherwise in a manner
which is not reasonably acceptable to the Trustee. 
 Notwithstanding the provisions of Section 3.1 and of the preceding
paragraph, if all Securities of a series are not to be originally issued at one time, it shall not be necessary to deliver the Board Resolution or the Officers’ Certificate otherwise required pursuant to Section 3.1 or the Company Order
and Opinion of Counsel otherwise required pursuant to such preceding paragraph at or prior to the authentication of each Security of that series if such documents are delivered at or prior to the authentication upon original issuance of the first
Security of that series to be issued. 
 Each Security shall be dated the date of its authentication. 

No Security shall be entitled to any benefit under this Indenture or be valid or obligatory for any purpose unless there appears on such
Security a certificate of authentication substantially in the form provided for herein executed by the Trustee by manual signature, and such certificate upon any Security shall be conclusive evidence, and the only evidence, that such Security has
been duly authenticated and delivered hereunder. Notwithstanding the foregoing, if any Security shall have been authenticated and delivered hereunder but never issued and sold by the Company, and the Company shall deliver such Security to the
Trustee for cancellation as provided in Section 3.12, for all purposes of this Indenture such Security shall be deemed never to have been authenticated and delivered hereunder and shall never be entitled to the benefits of this Indenture.

  

	SECTION 3.4.	TEMPORARY SECURITIES 

 Pending
the preparation of definitive Securities of any series, the Company may execute, and upon Company Order the Trustee shall authenticate and deliver, temporary Securities which are printed, lithographed, typewritten, mimeographed or otherwise
produced, in any authorized denomination, substantially of the tenor of the definitive Securities in lieu of which they are issued and with such appropriate insertions, omissions, substitutions and other variations as the Officers executing such
Securities may determine, as evidenced by their execution of such Securities. 

  
 14 

 If temporary Securities of any series are issued, the Company will cause definitive
Securities of that series to be prepared without unreasonable delay. After the preparation of definitive Securities of that series, the temporary Securities of that series shall be exchangeable for definitive Securities of that series upon surrender
of the temporary Securities of that series at the office or agency of the Company in a Place of Payment for that series, without charge to the Holder. Upon surrender for cancellation of any one or more temporary Securities of any series, the Company
shall execute and the Trustee shall authenticate and deliver in exchange therefor one or more definitive Securities of the same series, of any authorized denominations and of like tenor and aggregate principal amount. Until so exchanged, the
temporary Securities of any series shall in all respects be entitled to the same benefits under this Indenture as definitive Securities of that series and tenor. 
  

	SECTION 3.5.	HOLDER LISTS 

 The Trustee shall
preserve, in as current a form as is reasonably practicable, the most recent list available to it of the names and addresses of all Holders of Securities of each series, by series, and shall otherwise comply with TIA §312(a). If the Trustee is
not the Registrar, the Company shall furnish, or shall cause the Registrar (if other than the Company) to furnish, to the Trustee at least seven Business Days before each Interest Payment Date with respect to a series of Securities and at such other
times as the Trustee may request in writing, a list in such form and as of such date as the Trustee may reasonably require of the names and addresses of the Holders of such series, and the Company shall otherwise comply with TIA §312(a).

  

	SECTION 3.6.	REGISTRAR, PAYING AGENT AND DEPOSITARY 

 The Company shall maintain an office or agency where Securities may be presented for registration of transfer or for exchange (“Registrar”) and an office or agency where Securities may be
presented for payment (“Paying Agent”). The Registrar shall keep a register (the “Security Register”) of each series of Securities and of their transfer and exchange. The Company may appoint one or more
co-registrars and one or more additional paying agents. The term “Registrar” includes any co-registrar and the term “Paying Agent” includes any additional paying agent. The Company may change any Paying Agent or Registrar with
respect to the Securities of any series without notice to any Holder. The Company shall notify the Trustee in writing of the name and address of any Agent not a party to this Indenture. If the Company fails to appoint or maintain an entity other
than the Trustee as either Registrar or Paying Agent for the affected series of Securities, the Trustee shall act as such. The Company or any of its Subsidiaries may act as Paying Agent or Registrar. The Company initially appoints The Depository
Trust Company to act as Depositary with respect to the Global Securities. The Company initially appoints the Trustee to act as Registrar and Paying Agent and to act as Securities Custodian with respect to the Global Securities. 

 

	SECTION 3.7.	REGISTRATION OF TRANSFER AND EXCHANGE 

 Upon surrender for registration of transfer of any Security of a series at the office or agency of the Company in a Place of Payment for that series, the Company shall execute, and the Trustee shall
authenticate and deliver, in the name of the designated transferee or transferees, one 

  
 15 

 
or more new Securities of the same series, of any authorized denominations and of like tenor and aggregate principal amount. 

At the option of the Holder, Securities of any series may be exchanged for other Securities of the same series, of any authorized
denominations and of like tenor and aggregate principal amount, upon surrender of the Securities to be exchanged at such office or agency of the Company. Whenever any Securities are so surrendered for exchange, the Company shall execute, and the
Trustee shall authenticate and deliver, the Securities which the Holder making the exchange is entitled to receive. 
 All
Securities issued upon any registration of transfer or exchange of Securities shall be the valid obligations of the Company, evidencing the same debt, and entitled to the same benefits under this Indenture, as the Securities surrendered upon such
registration of transfer or exchange. 
 Every Security presented or surrendered for registration of transfer or for exchange
shall (if so required by the Company or the Trustee) be duly endorsed, or be accompanied by a written instrument of transfer in form satisfactory to the Company and the Registrar duly executed, by the Holder thereof or his attorney duly authorized
in writing. 
 No service charge shall be made for any registration of transfer or exchange of Securities, but the Company may
require payment of a sum sufficient to cover any tax or other governmental charge that may be imposed in connection with any registration of transfer or exchange of Securities, other than exchanges pursuant to Section 3.4, 3.7 or 11.5 not
involving any transfer. 
 If the Securities of any series (or of any series and specified tenor) are to be redeemed in part,
the Company shall not be required (A) to issue, register the transfer of or exchange any Securities of that series (or of that series and specified tenor, as the case may be) during a period beginning at the opening of business 15 days before
the day of the mailing of a notice of redemption of any such Securities selected for redemption under Section 4.3 and ending at the close of business on the day of such mailing, or (B) to register the transfer of or exchange any Security
so selected for redemption in whole or in part, except the unredeemed portion of any Security being redeemed in part. 
 The
provisions of clauses (1), (2), (3) and (4) below shall apply only to Global Securities: 
 (1) Each
Global Security authenticated under this Indenture shall be registered in the name of the Depositary designated for such Global Security or a nominee thereof and delivered to such Depositary or a nominee thereof or custodian therefor, and each such
Global Security shall constitute a single Security for all purposes of this Indenture. 
 (2) Notwithstanding
any other provision in this Indenture, and subject to such applicable provisions, if any, as may be specified as contemplated by Section 3.1, a Global Security may not be transferred except as a whole by the Depositary to a nominee of the
Depositary, by a nominee of the Depositary to the Depositary or to another nominee of the Depositary, or by the Depositary or any such nominee to a successor Depositary or a nominee of such successor Depositary. All Global Securities will be
exchanged by the Company for other certificated Securities if (i) the Company delivers to 

  
 16 

 
the Trustee written notice from the Depositary that (x) the Depositary is unwilling or unable to continue to act as Depositary for the Global Securities and the Company thereupon fails to
appoint a successor Depositary within 90 days or (y) the Depositary is no longer a clearing agency registered under the Exchange Act, (ii) the Company, in its sole discretion, determines that the Global Securities (in whole but not in
part) should be exchanged for other certificated Global Securities and delivers a written notice to such effect to the Trustee or (iii) upon request of the Trustee or Holders of a majority of the aggregate principal amount of Outstanding
Securities of the applicable series if there shall have occurred and be continuing a Default or Event of Default with respect to such Securities. If the Company designates a successor Depositary as aforesaid, such Global Security shall promptly be
exchanged in whole for one or more other Global Securities registered in the name of the successor Depositary, whereupon such designated successor shall be the Depositary for such successor Global Security or Global Securities and the provisions of
Clauses (1), (2), (3) and (4) of this Section shall continue to apply thereto. 
 (3) Subject to
Clause (2) above and to such applicable provisions, if any, as may be specified as contemplated by Section 3.1, any exchange of a Global Security for other Securities may be made in whole or in part, and all Securities issued in exchange
for a Global Security or any portion thereof shall be registered in such names as the Depositary for such Global Security shall direct. 
 (4) Every Security authenticated and delivered upon registration of transfer of, or in exchange for or in lieu of, a Global Security or any portion thereof, whether pursuant to this Section,
Section 3.4, 3.6, 3.7 or 11.5 or otherwise, shall be authenticated and delivered in the form of, and shall be, a Global Security, unless such Security is registered in the name of a Person other than the Depositary for such Global Security or a
nominee thereof. 
  

	SECTION 3.8.	MUTILATED, DESTROYED, LOST AND STOLEN SECURITIES 

 If any mutilated Security is surrendered to the Trustee together with such security or indemnity as may be required by the Company or the Trustee to save each of them harmless, the Company shall execute
and the Trustee shall authenticate and deliver in exchange therefor a new Security of the same series and of like tenor and principal amount and bearing a number not contemporaneously outstanding. 

If there shall be delivered to the Company and the Trustee (i) evidence to their satisfaction of the destruction, loss or theft of
any Security and (ii) such security or indemnity as may be required by them to save each of them and any agent of either of them harmless, then, in the absence of written notice to the Company or the Trustee that such Security has been acquired
by a bona fide purchaser, the Company shall execute and the Trustee shall authenticate and deliver, in lieu of any such destroyed, lost or stolen Security, a new Security of the same series and of like tenor and principal amount and bearing a number
not contemporaneously outstanding. 

  
 17 

 In case any such mutilated, destroyed, lost or stolen Security has become or is about to
become due and payable, the Company in its discretion may, instead of issuing a new Security, pay such Security. 
 Upon the
issuance of any new Security under this Section, the Company may require the payment of a sum sufficient to cover any tax or other governmental charge that may be imposed in relation thereto and any other expenses (including the fees and expenses of
the Trustee) connected therewith. 
 Every new Security of any series issued pursuant to this Section in lieu of any destroyed,
lost or stolen Security shall constitute an original additional contractual obligation of the Company, whether or not the destroyed, lost or stolen Security shall be at any time enforceable by anyone, and shall be entitled to all the benefits of
this Indenture equally and proportionately with any and all other Securities of that series duly issued hereunder. 
 The
provisions of this Section are exclusive and shall preclude (to the extent lawful) all other rights and remedies with respect to the replacement or payment of mutilated, destroyed, lost or stolen Securities. 

 

	SECTION 3.9.	PAYMENT OF INTEREST; INTEREST RIGHTS PRESERVED 

 Except as otherwise provided as contemplated by Section 3.1 with respect to any Securities of a series, interest on any Security which is payable, and is punctually paid or duly provided for, on any
Interest Payment Date shall be paid to the Person in whose name that Security (or one or more Predecessor Securities) is registered at the close of business on the Regular Record Date for such interest (or, if no business is conducted by the Trustee
at its Corporate Trust Office on such date, at 5:00 P.M. New York City time on such date). 
 Any interest on any Security of
any series which is payable, but is not punctually paid or duly provided for, on any Interest Payment Date (herein called “Defaulted Interest”) shall forthwith cease to be payable to the Holder on the relevant Regular Record Date by
virtue of having been such Holder, and such Defaulted Interest may be paid by the Company, at its election in each case, as provided in Clause (1) or (2) below: 

(1) The Company may elect to make payment of any Defaulted Interest payable on any Securities of a series to the Persons
in whose names such Securities (or their respective Predecessor Securities) are registered at the close of business on a Special Record Date for the payment of such Defaulted Interest, which shall be fixed in the following manner. The Company shall
notify the Trustee in writing of the amount of Defaulted Interest proposed to be paid on each of such Securities and the date of the proposed payment, and at the same time the Company shall deposit with the Trustee an amount of money equal to the
aggregate amount proposed to be paid in respect of such Defaulted Interest or shall make arrangements satisfactory to the Trustee for such deposit prior to the date of the proposed payment, such money when deposited to be held in trust for the
benefit of the Persons entitled to such Defaulted Interest as provided in this clause (1). Thereupon the Trustee shall fix a Special Record Date for the payment of such Defaulted Interest which shall be not more than 15 days and not less than 10
days prior to 

  
 18 

 
the date of the proposed payment and not less than 10 days after the receipt by the Trustee of the notice of the proposed payment. The Trustee shall promptly notify the Company of such Special
Record Date and, in the name and at the expense of the Company, shall cause notice of the proposed payment of such Defaulted Interest and the Special Record Date therefor to be given to each Holder of such Securities in the manner set forth in
Section 12.4, not less than 10 days prior to such Special Record Date. Notice of the proposed payment of such Defaulted Interest and the Special Record Date therefor having been so mailed, such Defaulted Interest shall be paid to the Persons in
whose names such Securities (or their respective Predecessor Securities) are registered at the close of business on such Special Record Date and shall no longer be payable pursuant to the following Clause (2). 

(2) The Company may make payment of any Defaulted Interest on any Securities of a series in any other lawful manner not
inconsistent with the requirements of any securities exchange or automated quotation system on which such Securities may be listed or traded, and upon such notice as may be required by such exchange or automated quotation system, if, after written
notice given by the Company to the Trustee of the proposed payment pursuant to this Clause, such manner of payment shall be deemed practicable by the Trustee. 
 Except as may otherwise be provided in this Section 3.9 or as contemplated in Section 3.1 with respect to any Securities of a series, the Person to whom interest shall be payable on any Security
that first becomes payable on a day that is not an Interest Payment Date shall be the Holder of such Security on the day such interest is paid. 
 Subject to the foregoing provisions of this Section, each Security delivered under this Indenture upon registration of transfer of or in exchange for or in lieu of any other Security shall carry the
rights to interest accrued and unpaid, and to accrue, which were carried by such other Security. 
 In the case of any Security
which is converted after any Regular Record Date and on or prior to the next succeeding Interest Payment Date (other than any Security whose Maturity is prior to such Interest Payment Date), interest whose Stated Maturity is on such Interest Payment
Date shall be payable on such Interest Payment Date notwithstanding such conversion, and such interest (whether or not punctually paid or duly provided for) shall be paid to the Person in whose name that Security (or one or more Predecessor
Securities) is registered at the close of business on such Regular Record Date. Except as otherwise expressly provided in the immediately preceding sentence, in the case of any Security which is converted, interest whose Stated Maturity is after the
date of conversion of such Security shall not be payable. Notwithstanding the foregoing, the terms of any Security that may be converted may provide that the provisions of this paragraph do not apply, or apply with such additions, changes or
omissions as may be provided thereby, to such Security. 
  

	SECTION 3.10.	PAYING AGENT TO HOLD MONEY IN TRUST 

 The Company shall require each Paying Agent other than the Trustee to agree in writing that the Paying Agent will hold in trust for the benefit of Holders of the applicable Securities of

  
 19 

 
any series or the Trustee all money held by the Paying Agent for the payment of principal or any premium or interest on such Securities and will notify the Trustee in writing of any default by
the Company in making any such payment. While any such default continues, the Trustee may require a Paying Agent to pay all money held by it to the Trustee. The Company at any time may require a Paying Agent to pay all money held by it to the
Trustee. Upon payment over to the Trustee, the Paying Agent (if other than the Company or a Subsidiary) shall have no further liability for the money. If the Company or a Subsidiary acts as Paying Agent, it shall segregate and hold in a separate
trust fund for the benefit of the Holders of such Securities all money held by it as Paying Agent with respect to such Securities. Upon any bankruptcy or reorganization proceedings relating to the Company, the Trustee shall serve as Paying Agent for
any Securities. 
  

	SECTION 3.11.	PERSONS DEEMED OWNERS 

 Prior to
due presentment of a Security for registration of transfer, the Company, the Trustee and any agent of the Company or the Trustee may treat the Person in whose name such Security is registered as the owner of such Security for the purpose of
receiving payment of principal of and any premium and (subject to Section 3.9) any interest on such Security and for all other purposes whatsoever, whether or not such Security be overdue, and neither the Company, the Trustee nor any agent of
the Company or the Trustee shall be affected by notice to the contrary. 
  

	SECTION 3.12.	CANCELLATION 

 All Securities
surrendered for payment, redemption, registration of transfer or exchange or conversion or for credit against any sinking fund payment shall, if surrendered to any Person other than the Trustee, be delivered to the Trustee and shall be promptly
cancelled by the Trustee. The Company may at any time deliver to the Trustee for cancellation any Securities previously authenticated and delivered hereunder which the Company may have acquired in any manner whatsoever, and may deliver to the
Trustee (or to any other Person for delivery to the Trustee) for cancellation any Securities previously authenticated hereunder which the Company has not issued and sold, and all Securities so delivered shall be promptly cancelled by the Trustee. No
Securities shall be authenticated in lieu of or in exchange for any Securities cancelled as provided in this Section, except as expressly permitted by this Indenture. All cancelled Securities held by the Trustee shall be disposed of as directed by a
Company Order; provided, however, that the Trustee shall not be required to destroy such cancelled Securities. 
  

	SECTION 3.13.	COMPUTATION OF INTEREST; USURY 

Except as otherwise specified as contemplated by Section 3.1 for Securities of any series, interest on the Securities of each series
shall be computed on the basis of a 360-day year of twelve 30-day months. 
 The amount of interest (or amounts deemed to be
interest under applicable law) payable or paid on any Security shall be limited to an amount which shall not exceed the maximum nonusurious rate of interest allowed by the applicable laws of the State of New York, or any applicable law of the United
States permitting a higher maximum nonusurious rate that preempts such applicable New York law, which could lawfully be contracted for, taken, reserved, charged 

  
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or received (the “Maximum Interest Rate”). If, as a result of any circumstances whatsoever, the Company or any other Person is deemed to have paid interest (or amounts deemed to be
interest under applicable law) or any Holder of a Security is deemed to have contracted for, taken, reserved, charged or received interest (or amounts deemed to be interest under applicable law), in excess of the Maximum Interest Rate, then, ipso
facto, the obligation to be fulfilled shall be reduced to the limit of validity, and if under any such circumstance, the Trustee, acting on behalf of the Holders, or any Holder shall ever receive interest or anything that might be deemed interest
under applicable law that would exceed the Maximum Interest Rate, such amount that would be excessive interest shall be applied to the reduction of the principal amount owing on the applicable Security or Securities and not to the payment of
interest, or if such excessive interest exceeds the unpaid principal balance of any such Security or Securities, such excess shall be refunded to the Company; provided that the Company and not the Trustee shall be responsible for collecting any such
refund from the Holders. In addition, for purposes of determining whether payments in respect of any Security are usurious, all sums paid or agreed to be paid with respect to such Security for the use, forbearance or detention of money shall, to the
extent permitted by applicable law, be amortized, prorated, allocated and spread throughout the full term of such Security. 
  

	SECTION 3.14.	CUSIP NUMBERS 

 The Company in
issuing the Securities may use CUSIP numbers (if then generally in use) and, if so, the Trustee shall use CUSIP numbers in notices of redemption as a convenience to Holders; provided, that any such notice may state that no representation is made as
to the correctness of such numbers either as printed on the Securities or as contained in any notice of redemption and that reliance may be placed only on the other identification numbers printed on the Securities and any such redemption shall not
be affected by any defect in or omission of such numbers. The Company will promptly notify the Trustee in writing of any change in the “CUSIP” numbers. 
 ARTICLE IV 
 REDEMPTION 

 

	SECTION 4.1.	APPLICABILITY OF ARTICLE 

Securities of any series which are redeemable before their Stated Maturity shall be redeemable in accordance with their terms and (except
as otherwise specified as contemplated by Section 3.1 for such Securities) in accordance with this Article. 
  

	SECTION 4.2.	ELECTION TO REDEEM; NOTICE TO TRUSTEE 

 The election of the Company to redeem any Securities shall be established in or pursuant to a Board Resolution or in another manner specified as contemplated by Section 3.1 for such Securities. In
case of any redemption at the election of the Company of less than all the Securities of any series (including any such redemption affecting only a single Security), the Company shall, at least 30 days prior to the Redemption Date fixed by the
Company (unless a shorter notice shall be agreed to in writing by the Trustee), notify the Trustee in writing of such 

  
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Redemption Date, of the principal amount of Securities of that series to be redeemed and, if applicable, of the tenor of the Securities to be redeemed. In the case of any redemption of Securities
(i) prior to the expiration of any restriction on such redemption provided in the terms of such Securities or elsewhere in this Indenture or (ii) pursuant to an election of the Company that is subject to a condition specified in the terms
of those Securities, the Company shall furnish the Trustee with an Officers’ Certificate evidencing compliance with such restriction or condition and if requested by the Trustee under Section 9.2(b) hereof, an Opinion of Counsel.

  

	SECTION 4.3.	SELECTION BY TRUSTEE OF SECURITIES TO BE REDEEMED 

 If less than all the Securities of any series are to be redeemed (unless all the Securities of that series and of a specified tenor are to be redeemed or unless such redemption affects only a single
Security), the particular Securities to be redeemed shall be selected not more than 30 days prior to the Redemption Date by the Trustee, from the Outstanding Securities of that series not previously called for redemption, by such method as the
Trustee shall deem fair and appropriate and which may provide for the selection for redemption of a portion of the principal amount of any Security of that series; provided that the unredeemed portion of the principal amount of any Security shall be
in an authorized denomination (which shall not be less than the minimum authorized denomination) for such Security. If less than all the Securities of that series and of a specified tenor are to be redeemed (unless such redemption affects only a
single Security), the particular Securities to be redeemed shall be selected not more than 30 days prior to the Redemption Date by the Trustee, from the Outstanding Securities of that series and specified tenor not previously called for redemption
in accordance with the preceding sentence. 
 If any Security selected for partial redemption is converted in part before
termination of the conversion right with respect to the portion of the Security so selected, the converted portion of such Security shall be deemed (so far as may be) to be the portion selected for redemption. Securities which have been converted
during a selection of Securities to be redeemed shall be treated by the Trustee as Outstanding for the purpose of such selection. 
 The Trustee shall promptly notify the Company and each Registrar in writing of the Securities selected for redemption as aforesaid and, in case of any Securities selected for partial redemption as
aforesaid, the principal amount thereof to be redeemed. 
 The provisions of the two preceding paragraphs shall not apply with
respect to any redemption affecting only a single Security, whether such Security is to be redeemed in whole or in part. In the case of any such redemption in part, the unredeemed portion of the principal amount of the Security shall be in an
authorized denomination (which shall not be less than the minimum authorized denomination) for such Security. 
 For all
purposes of this Indenture, unless the context otherwise requires, all provisions relating to the redemption of Securities shall relate, in the case of any Securities redeemed or to be redeemed only in part, to the portion of the principal amount of
such Securities which has been or is to be redeemed. 

  
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	SECTION 4.4.	NOTICE OF REDEMPTION 

 Notice of
redemption shall be given by first-class mail, postage prepaid, mailed not less than 30 days nor more than 60 days prior to the Redemption Date, to each Holder of Securities to be redeemed, at such Holder’s current address appearing in the
Security Register. 
 All notices of redemption shall identify the Securities to be redeemed (including CUSIP numbers, if any)
and shall state: 
 (1) the Redemption Date, 

(2) the Redemption Price, 
 (3) if less than all the Outstanding Securities of any series consisting of more than a single Security are to be redeemed, the identification (and, in the case of partial redemption of any such
Securities, the principal amounts) of the particular Securities to be redeemed and, if less than all the Outstanding Securities of any series consisting of a single Security are to be redeemed, the principal amount of the particular Security to be
redeemed, 
 (4) that on the Redemption Date the Redemption Price will become due and payable upon each such
Security to be redeemed and, if applicable, that interest thereon will cease to accrue on and after said date, 

(5) the place or places where each such Security is to be surrendered for payment of the Redemption Price, 

(6) for any Securities that by their terms may be converted, the terms of conversion, the date on which the right to
convert the Security to be redeemed will terminate and the place or places where such Securities may be surrendered for conversion, and 
 (7) that the redemption is for a sinking fund, if such is the case. 
 Notice of
redemption of Securities to be redeemed at the election of the Company shall be given by the Company or, at the Company’s written request, by the Trustee in the name and at the expense of the Company and shall be irrevocable. The failure to
give such notice by mail or any defect in the notice to the Holder of any Security designated for redemption as a whole or in part shall not affect the validity of the proceedings for the redemption of any other Security. 

 

	SECTION 4.5.	DEPOSIT OF REDEMPTION PRICE 

 On
or before 12:00 Noon, New York City time on any Redemption Date, the Company shall deposit with the Trustee or with a Paying Agent (or if the Company is acting as its own Paying Agent, segregate and hold in trust as provided in Section 3.10) an
amount of money sufficient to pay the Redemption Price of, and (except if the Redemption Date shall be an Interest Payment Date) accrued interest on, all the Securities which are to be redeemed on that

  
 23 

 
date, other than any Securities called for redemption on that date which have been converted prior to the date of such deposit. 

If any Security called for redemption is converted, any money deposited with the Trustee or with any Paying Agent or so segregated and
held in trust for the redemption of such Security shall (subject to any right of the Holder of such Security or any Predecessor Security to receive interest as provided in the last paragraph of Section 3.9 or in the terms of such Security) be
paid to the Company upon Company Request or, if then held by the Company, shall be discharged from such trust. 
  

	SECTION 4.6.	SECURITIES PAYABLE ON REDEMPTION DATE 

 Notice of redemption having been given as aforesaid, the Securities so to be redeemed shall, on the Redemption Date, become due and payable at the Redemption Price therein specified, and from and after
such date (unless the Company shall default in the payment of the Redemption Price and accrued interest) such Securities shall cease to bear interest. Upon surrender of any such Security for redemption in accordance with said notice, such Security
shall be paid by the Company at the Redemption Price, together with accrued interest to the Redemption Date; provided, however, that, unless otherwise specified as contemplated by Section 3.1, installments of interest whose Stated
Maturity is on or prior to the Redemption Date will be payable to the Holders of such Securities, or one or more Predecessor Securities, registered as such at the close of business on the relevant Record Dates according to their terms and the
provisions of Section 3.7. 
 If any Security called for redemption shall not be so paid upon surrender thereof for
redemption, the principal and any premium shall, until paid, bear interest from the Redemption Date at the rate prescribed therefor in the Security. 
  

	SECTION 4.7.	SECURITIES REDEEMED IN PART 

 Any
Security which is to be redeemed only in part shall be surrendered at a Place of Payment therefor (with, if the Company or the Trustee so requires, due endorsement by, or a written instrument of transfer in form satisfactory to the Company and the
Trustee duly executed by, the Holder thereof or his attorney duly authorized in writing), and the Company shall execute, and the Trustee shall authenticate and deliver to the Holder of such Security without service charge (other than payment by the
Company of charges previously agreed to by the Company and the Trustee in writing), a new Security or Securities of the same series and of like tenor, of any authorized denomination as requested by such Holder, in aggregate principal amount equal to
and in exchange for the unredeemed portion of the principal of the Security so surrendered. 

  
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 ARTICLE V 
 SINKING FUNDS 
  

	SECTION 5.1.	APPLICABILITY OF ARTICLE 

 The
provisions of this Article shall be applicable to any sinking fund for the retirement of Securities of any series except as otherwise specified as contemplated by Section 3.1 for such Securities. 

The minimum amount of any sinking fund payment provided for by the terms of any Securities is herein referred to as a “mandatory
sinking fund payment”, and any payment in excess of such minimum amount provided for by the terms of such Securities is herein referred to as an “optional sinking fund payment”. If provided for by the terms of any Securities, the cash
amount of any sinking fund payment may be subject to reduction as provided in Section 5.2. Each sinking fund payment shall be applied to the redemption of Securities as provided for by the terms of such Securities. 

 

	SECTION 5.2.	SATISFACTION OF SINKING FUND PAYMENTS WITH SECURITIES 

 The Company (1) may deliver Outstanding Securities of a series (other than any previously called for redemption) and (2) may apply as a credit Securities of a series which have been converted in
accordance with their terms or which have been redeemed either at the election of the Company pursuant to the terms of such Securities or through the application of permitted optional sinking fund payments pursuant to the terms of such Securities,
in each case in satisfaction of all or any part of any sinking fund payment with respect to any Securities of that series required to be made pursuant to the terms of such Securities as and to the extent provided for by the terms of such Securities;
provided that the Securities to be so credited have not been previously so credited. The Securities to be so credited shall be received and credited for such purpose by the Trustee at the Redemption Price, as specified in the Securities so to be
redeemed (or at such other prices as may be specified for such Securities as contemplated in Section 3.1), for redemption through operation of the sinking fund and the amount of such sinking fund payment shall be reduced accordingly.

  

	SECTION 5.3.	REDEMPTION OF SECURITIES FOR SINKING FUND 

 Not less than 90 days (or such shorter period as shall be agreed to in writing by the Trustee) prior to each sinking fund payment date for any Securities, the Company will deliver to the Trustee an
Officers’ Certificate specifying the amount of the next ensuing sinking fund payment for such Securities pursuant to the terms of such Securities, the portion thereof, if any, which is to be satisfied by payment of cash and the portion thereof,
if any, which is to be satisfied by delivering and crediting Securities pursuant to Section 5.2 and will also deliver to the Trustee any Securities to be so delivered. Not less than 30 days prior to each such sinking fund payment date, the
Trustee shall select the Securities to be redeemed upon such sinking fund payment date in the manner specified in Section 4.3 and cause notice of the redemption thereof to be given in the name of and at the expense of the Company in the manner
provided in 

  
 25 

 
Section 4.4. Such notice having been duly given, the redemption of such Securities shall be made upon the terms and in the manner stated in Sections 4.6 and 4.7. 

ARTICLE VI 

COVENANTS 
  

	SECTION 6.1.	PAYMENT OF SECURITIES 

 The
Company shall pay the principal of and any premium and interest on the Securities of any series on the dates and in the manner provided herein and in the applicable Security. An installment of principal of or interest on any Security of any series
shall be considered paid on the date it is due if the Trustee or Paying Agent (other than the Company or an Affiliate of the Company) holds for the benefit of the Holders of such Security (on or before 10:00 a.m. New York City time to the extent
necessary to provide the funds to the Depositary in accordance with the Depositary’s procedures) on that date cash deposited and designated for and sufficient to pay the installment. 

The Company shall pay interest on overdue principal and on overdue installments of interest at the rate specified in the Security of that
series compounded semi-annually, to the extent lawful. 
  

	SECTION 6.2.	MAINTENANCE OF OFFICE OR AGENCY 

The Company shall maintain in each Place of Payment for any series of Securities, an office or agency (which may be an office of the
Trustee, of the Registrar or of an agent of the Trustee or the Registrar) where Securities of that series may be presented or surrendered for payment, where Securities of that series may be surrendered for registration of transfer or exchange and
where notices and demands to or upon the Company in respect of the Securities of that series and this Indenture may be served. The Company shall give prompt written notice to the Trustee of the location, and any change in the location, of such
office or agency. If at any time the Company shall fail to maintain any such required office or agency or shall fail to furnish the Trustee with the address thereof, such presentations, surrenders, notices and demands may be made or served at the
Corporate Trust Office of the Trustee, and the Company hereby appoints the Trustee as its agent to receive all such presentations, surrenders, notices and demands. 
 The Company may also from time to time designate one or more other offices or agencies where the Securities of one or more series may be presented or surrendered for any or all such purposes and may from
time to time rescind such designations; provided, however, that no such designation or rescission shall in any manner relieve the Company of its obligation to maintain an office or agency in each Place of Payment for Securities of any
series for such purposes. The Company shall give prompt written notice to the Trustee of any such designation or rescission and of any change in the location of any such other office or agency. 

With respect to any Global Security, and except as otherwise may be specified for such Global Security as contemplated by
Section 3.1, the Corporate Trust Office of the Trustee shall be the Place of Payment where such Global Security may be presented or surrendered for 

  
 26 

 
payment or for registration of transfer or exchange, or where successor Securities may be delivered in exchange therefor; provided, however, that any such payment, presentation,
surrender or delivery effected pursuant to the Applicable Procedures of the Depositary for such Global Security shall be deemed to have been effected at the Place of Payment for such Global Security in accordance with the provisions of this
Indenture. 
  

	SECTION 6.3.	CORPORATE EXISTENCE 

 Except as
otherwise permitted by Article VII, the Company shall do or cause to be done all things necessary to preserve and keep in full force and effect its corporate existence. 

 

	SECTION 6.4.	COMPLIANCE CERTIFICATE; NOTICE OF DEFAULT 

 (a) The Company shall deliver to the Trustee within 120 days after the end of each fiscal year of the Company an Officers’ Certificate, one of the signers of which shall be the principal executive
officer, principal financial officer or principal accounting officer of the Company, complying with TIA § 314(a)(4) and stating that a review of its activities during the preceding fiscal year has been made under the supervision of the
signing Officers with a view to determining whether the Company has kept, observed, performed and fulfilled its obligations under this Indenture (without regard to notice requirements or grace periods) and further stating, as to each such Officer
signing such certificate, whether or not the signer knows of any failure by the Company to comply with any conditions or covenants in this Indenture and, if such signer does know of such a failure to comply, the certificate shall describe such
failure with particularity. The Officers’ Certificate shall also notify the Trustee in writing should the relevant fiscal year end on any date other than the current fiscal year end date. The Officer’s Certificate need not comply with
Section 12.6 hereof. 
 (b) The Company shall, so long as any Security of any series is Outstanding, deliver to the
Trustee, promptly upon becoming aware of any Default or Event of Default with respect to such series, an Officers’ Certificate specifying such Default or Event of Default and what action the Company is taking or proposes to take with respect
thereto. The Trustee shall not be deemed to have knowledge of any Default, any Event of Default or any such fact unless one of its Trust Officers receives written notice thereof from the Company or any of the Holders. 

 

	SECTION 6.5.	REPORTS 

 So long as any of the
Securities remain Outstanding, the Company shall file with the SEC or, if the Company is not subject to the reporting requirements of Section 13 or 15(d) of the Exchange Act, post on the Company’s website, in either case within the time
periods specified in the SEC’s rules and regulations, including the additional periods provided by Rule 12b-25 under the Exchange Act, annual reports and other reports or statements prepared in accordance with the reporting provisions under
Section 13 or Section 15(d) of the Exchange Act. The Company shall also comply with the provisions of TIA § 314(a). 

  
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 ARTICLE VII 
 SUCCESSOR CORPORATION 
  

	SECTION 7.1.	LIMITATION ON MERGER, SALE OR CONSOLIDATION 

 The Company shall not consolidate or merge with or into, or transfer or lease its assets substantially as an entirety, whether in a single transaction or a series of related transactions, to another
Person, unless: 
 (1) either (a) the Company is the surviving entity or (b) the resulting, surviving
or transferee entity formed by such consolidation or into which the Company is merged or which acquires or leases the Company’s assets is a corporation, partnership, trust or limited liability company organized and existing under the laws of
the United States, any state thereof or the District of Columbia and expressly assumes by a Supplemental Indenture (in form and substance reasonably satisfactory to the Trustee) all of the Company’s obligations in connection with the Securities
and this Indenture; 
 (2) no Default or Event of Default will exist immediately after giving effect to such
transaction (applying Article 11 of Regulation S-X to such transaction as and to the extent applicable); and 

(3) the Company delivers to the Trustee an Officers’ Certificate and an Opinion of Counsel meeting the requirements
of Sections 12.6 and 12.7 hereof. 
 For purposes of the foregoing, the transfer (by lease, assignment, sale or otherwise) of
the assets, substantially as an entirety, of one or more Subsidiaries of the Company, the Company’s interest in which constitutes the Company’s assets substantially as an entirety, shall be deemed to be the transfer of the Company’s
assets substantially as an entirety. 
  

	SECTION 7.2.	SUCCESSOR CORPORATION SUBSTITUTED 

Upon any consolidation or merger or any transfer or lease of the assets of the Company substantially as an entirety in accordance with
Section 7.1, the surviving entity formed by such consolidation or into which the Company is merged or to which such transfer or lease is made shall succeed to and (except in the case of a lease) be substituted for, and may exercise every right
and power of, the Company under this Indenture with the same effect as if such surviving entity had been named herein as the Company, and (except in the case of a lease) when a surviving entity duly assumes all of the obligations of the Company
pursuant hereto and pursuant to the Securities, the Company shall be released from such obligations (except with respect to any obligations that arise from, or are related to, such transaction). 

  
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 ARTICLE VIII 
 EVENTS OF DEFAULT AND REMEDIES 
  

	SECTION 8.1.	EVENTS OF DEFAULT 

 “Event
of Default” with respect to Securities of any series, wherever used herein, means any one of the following events (whatever reason for such Event of Default and whether it shall be caused voluntarily or involuntarily or effected, without
limitation, by operation of law or pursuant to any judgment, decree or order of any court or any order, rule or regulation of any administrative or governmental body): 

(i) the Company’s failure to pay any installment of interest on any Security of that series as and when the same
becomes due and payable and the continuance of any such failure for 30 days; or 
 (ii) the Company’s
failure to pay all or any part of the principal of, or premium, if any, on any Security of that series when and as the same becomes due and payable at maturity, redemption, by acceleration or otherwise; or 

(iii) the Company’s failure to deposit any sinking fund payment, when and as due by the terms of a Security of that
series, and continuance of any such failure for 30 days; or 
 (iv) with respect to the Securities of that
series, the Company’s failure to observe or perform any other covenant or agreement in respect of any Security of that series contained in this Indenture or in such Security (other than a covenant or agreement a default in whose performance is
elsewhere in this Section specifically dealt with or that has been expressly included in this Indenture by means of a Supplemental Indenture solely for the benefit of Securities of a series other than that series) or in the applicable Board
Resolution under which that series is issued as contemplated by Section 3.01 and, the continuance of such failure for a period of 60 days after written notice of such failure, specifying such failure and requiring the same to be remedied, has
been given to the Company by the Trustee or to the Company and the Trustee by the Holders of at least 25% in aggregate principal amount of the Outstanding Securities of that series; or 

(v) a decree, judgment, or order by a court of competent jurisdiction shall have been entered adjudicating the Company as
bankrupt or insolvent, or approving as properly filed a petition seeking reorganization of the Company under any bankruptcy or similar law, and such decree or order shall have continued undischarged and unstayed for a period of 60 days; or a decree,
judgment or order of a court of competent jurisdiction appointing a receiver, liquidator, trustee, or assignee in bankruptcy or insolvency for the Company, or any substantial part of the property of the Company, or for the winding up or liquidation
of the affairs of the Company, shall have been entered, and such decree, judgment, or order shall have remained in force undischarged and unstayed for a period of 60 days; or 

  
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 (vi) the Company shall institute proceedings to be adjudicated a voluntary
bankrupt, or shall consent to the filing of a bankruptcy proceeding against it, or shall file a petition or answer or consent seeking reorganization under any bankruptcy or similar law or similar statute, or shall consent to the filing of any such
petition, or shall consent to the appointment of a custodian, receiver, liquidator, trustee, or assignee in bankruptcy or insolvency of it or any substantial part of its assets or property, or shall make a general assignment for the benefit of
creditors, or shall admit in writing its inability to pay its debts generally as they become due, or take any corporate action in furtherance of any of the foregoing; or 

(vii) any other event or occurrence that is designated to be an Event of Default provided with respect to Securities of
that series in the Supplemental Indenture or Board Resolution that establishes the terms of the Securities of that series. 

Notwithstanding the foregoing provisions of this Section 8.1, if the principal or any premium or interest on any Security is payable
in a currency other than the currency of the United States of America and such currency is not available to the Company for making payment thereof due to the imposition of exchange controls or other circumstances beyond the control of the Company,
the Company will be entitled to satisfy its obligations to Holders of the Securities by making such payment in the currency of the United States of America in an amount equal to the currency of the United States of America equivalent of the amount
payable in such other currency, as determined by the Trustee by reference to the noon buying rate in The City of New York for cable transfers for such currency (the “Exchange Rate”), as such Exchange Rate is reported or otherwise made
available by the Federal Reserve Bank of New York on the date of such payment, or, if such rate is not then available, on the basis of the most recently available Exchange Rate. Notwithstanding the foregoing provisions of this Section 8.1, any
payment made under such circumstances in the currency of the United States of America where the required payment is in a currency other than the currency of the United States of America will not constitute an Event of Default under this Indenture.

  

	SECTION 8.2.	ACCELERATION OF MATURITY DATE; RESCISSION AND ANNULMENT 

 If an Event of Default with respect to Securities of any series at the time Outstanding occurs and is continuing (other than an Event of Default specified in Section 8.1(v) or Section 8.1(vi)),
then in every such case, unless the principal of the Outstanding Securities of that series shall have already become due and payable, either the Trustee or the Holders of at least 25% in aggregate principal amount of the Outstanding Securities of
that series, by notice in writing to the Company specifying the respective Event of Default (and to the Trustee if given by Holders) (an “Acceleration Notice”), may declare all principal, determined as set forth below, and accrued
interest on such series (or, if the Securities of that series are Original Issue Discount Securities, such portion of the principal amount as may be specified in, or determined in accordance with, the terms of that series) to be due and payable
immediately. If an Event of Default specified in Section 8.1(v) or Section 8.1(vi) occurs, all principal and accrued interest on such series (or, in the case of any Security of that series which specifies an amount to be due and payable
thereon upon acceleration of the Maturity thereof, such amount as may be specified by the terms thereof) 

  
 30 

 
will be immediately due and payable on all Outstanding Securities of that series without any declaration or other act on the part of the Trustee or any Holders. 

The Holders of a majority in aggregate principal amount of the Outstanding Securities of any series, by written notice to the Trustee,
may rescind and annul any acceleration and its consequences with respect to the Securities of that series so long as (a) such rescission occurs before a judgment or decree is entered based on such acceleration and (b) all existing Events
of Default, other than the non-payment of the principal of, premium, if any, and interest, if any, on all Securities of that series that have become due solely because of the acceleration, have been cured or waived as provided in Section 8.12.

  

	SECTION 8.3.	COLLECTION OF DEBT AND SUITS FOR ENFORCEMENT BY TRUSTEE 

 The Company covenants that if an Event of Default in payment of principal, premium or interest specified in clause (i) or (ii) of Section 8.1 hereof occurs and is continuing with respect to
Securities of any series, the Company shall, upon demand of the Trustee, pay to it, for the benefit of the Holders of Securities of that series, the whole amount then due and payable on Securities of that series for principal, premium (if any), and
interest, and, to the extent that payment of such interest shall be legally enforceable, interest on any overdue principal (and premium, if any), and on any overdue interest, at the rate borne by such Securities, and, in addition thereto, such
further amount as shall be sufficient to cover the costs and expenses of collection, including reasonable compensation to, and expenses, disbursements and advances of the Trustee and its agents and counsel and all other amounts due the Trustee under
Section 9.7. 
 If the Company fails to pay such amounts forthwith upon such demand, the Trustee, in its own name and as
trustee of an express trust in favor of the Holders of Securities of that series, may institute a judicial proceeding for the collection of the sums so due and unpaid, may prosecute such proceeding to judgment or final decree and may enforce the
same against the Company or any other obligor upon the Securities of that series and collect the moneys adjudged or decreed to be payable in the manner provided by law out of the property of the Company or any other obligor upon such Securities,
wherever situated. 
 If an Event of Default occurs and is continuing, the Trustee may in its discretion proceed to protect and
enforce its rights and the rights of the Holders of Securities of that series by such appropriate judicial proceedings as the Trustee shall deem most effective to protect and enforce any such rights, whether for the specific enforcement of any
covenant or agreement in this Indenture or in aid of the exercise of any power granted herein, or to enforce any other proper remedy. 
  

	SECTION 8.4.	TRUSTEE MAY FILE PROOFS OF CLAIM 

In case of the pendency of any receivership, insolvency, liquidation, bankruptcy, reorganization, arrangement, adjustment, composition or
other judicial proceeding relative to the Company or any other obligor upon the Securities of any series or the property of the Company or of such other obligor or their creditors, the Trustee (irrespective of whether the principal of such
Securities shall then be due and payable as therein expressed or by declaration or otherwise 

  
 31 

 
and irrespective of whether the Trustee shall have made any demand on the Company for the payment of overdue principal, premium, if any, or interest) shall be entitled and empowered, by
intervention in such proceeding or otherwise: 
 (1) to file and prove a claim for the whole amount of principal
(and premium, if any) and interest owing and unpaid in respect of such Securities and to file such other papers or documents as may be necessary or advisable in order to have the claims of the Trustee (including any claim for the reasonable
compensation, expenses, disbursements and advances of the Trustee and its agent and counsel and all other amounts due the Trustee under Section 9.7) and of the Holders of Securities of that series allowed in such judicial proceeding, and

 (2) to collect and receive any moneys or other property payable or deliverable on any such claims and to
distribute the same; 
 and any custodian, receiver, assignee, trustee, liquidator, sequestrator or other similar official in any such judicial
proceeding is hereby authorized by each Holder of a series to make such payments to the Trustee and, in the event that the Trustee shall consent to the making of such payments directly to such Holders, to pay to the Trustee any amount due it for the
reasonable compensation, expenses, disbursements and advances of the Trustee and its agents and counsel, and any other amounts due the Trustee under Section 9.7 hereof. 
 Nothing herein contained shall be deemed to authorize the Trustee to authorize or consent to or accept or adopt on behalf of any Holder of Securities of any series any plan of reorganization, arrangement,
adjustment or composition affecting Securities of that series or the rights of any Holder thereof or to authorize the Trustee to vote in respect of the claim of any such Holder in any such proceeding. 

 

	SECTION 8.5.	TRUSTEE MAY ENFORCE CLAIMS WITHOUT POSSESSION OF SECURITIES 

 All rights of action and claims under this Indenture or the Securities may be prosecuted and enforced by the Trustee without the possession of any of such Securities or the production thereof in any
proceeding relating thereto, and any such proceeding instituted by the Trustee shall be brought in its own name as trustee of an express trust in favor of the Holders of such Securities, and any recovery of judgment shall, after provision for the
payment of compensation to, and expenses, disbursements and advances of the Trustee and its agents and counsel and all other amounts due the Trustee under Section 9.7, be for the ratable benefit of such Holders of such Securities in respect of
which such judgment has been recovered. 
  

	SECTION 8.6.	PRIORITIES 

 Any money collected
by the Trustee pursuant to this Article VIII shall be applied in the following order, at the date or dates fixed by the Trustee and, in case of the distribution of such money on account of principal, premium (if any), or interest, upon presentation
of the Securities of any series and the notation thereon of the payment if only partially paid and upon surrender thereof if fully paid: 

  
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 First: To the Trustee in payment of all amounts due pursuant to Section 9.7 hereof,
including payment of all compensation, expense and liabilities incurred, and all advances made, by the Trustee and the costs and expenses of collection, as provided in such Section; 

Second: To the Holders of such Securities in payment of the amounts then due and unpaid for principal of, premium (if any), and interest
on, such Securities in respect of which or for the benefit of which such money has been collected, ratably, without preference or priority of any kind, according to the amounts due and payable on such Securities for principal, premium (if any), and
interest, respectively; and 
 Third: To the Company or such other Person as may be lawfully entitled thereto, the remainder, if
any, each as their respective interests may appear. 
 The Trustee may, but shall not be obligated to, fix a record date and
payment date for any payment to the Holders under this Section 8.6. 
  

	SECTION 8.7.	LIMITATION ON SUITS 

 No Holder
of any Security of any series shall have any right to institute, or to order or direct the Trustee to institute, any proceeding, judicial or otherwise, with respect to this Indenture, or for the appointment of a receiver or trustee, or for any other
remedy hereunder with respect to such Security, unless: 
 (A) such Holder has previously given written notice to
the Trustee of a continuing Event of Default with respect to the Securities of that series; 
 (B) the Holders of
not less than 25% in aggregate principal amount of the Outstanding Securities of that series shall have made written request to the Trustee to institute proceedings in respect of such Event of Default in its own name as Trustee hereunder;

 (C) such Holder or Holders have offered to the Trustee security or indemnity reasonably satisfactory to it
against the costs, expenses and liabilities to be incurred or reasonably probable to be incurred in compliance with such request; 
 (D) the Trustee for 60 days after its receipt of such notice, request and offer of indemnity has failed to institute any such proceeding; and 

(E) no direction inconsistent with such written request has been given to the Trustee during such 60-day period by the
Holders of a majority in aggregate principal amount of the Outstanding Securities of that series; 
 it being understood and intended that no
one or more Holders of Securities of that series shall have any right in any manner whatsoever by virtue of, or by availing of, any provision of this Indenture to affect, disturb or prejudice the rights of any other Holders of Securities of that
series, or to obtain or to seek to obtain priority or preference over any other such Holders or to enforce any right under this Indenture, except in the manner herein provided and for the equal and ratable benefit of all the Holders of Securities of
that series. 

  
 33 

	SECTION 8.8.	UNCONDITIONAL RIGHT OF HOLDERS TO RECEIVE PRINCIPAL, PREMIUM AND INTEREST 

 Notwithstanding any other provision of this Indenture, the Holder of any Security shall have the right, which is absolute and unconditional, to receive payment of the principal of, and premium (if any),
and (subject to Section 3.9) interest on, such Security on the Maturity Dates of such payments as expressed in such Security (in the case of redemption, the Redemption Price on the applicable Redemption Date), and, if the terms of such Security
so provide, to convert such Security in accordance with its terms, and to institute suit for the enforcement of any such payment after such respective dates, and such rights shall not be impaired without the consent of such Holder. 

 

	SECTION 8.9.	RIGHTS AND REMEDIES CUMULATIVE 

Except as otherwise provided with respect to the replacement or payment of mutilated, destroyed, lost or stolen Securities in
Section 3.8 hereof, no right or remedy herein conferred upon or reserved to the Trustee or to the Holders is intended to be exclusive of any other right or remedy, and every right and remedy shall, to the extent permitted by law, be cumulative
and in addition to every other right and remedy given hereunder or now or hereafter existing at law or in equity or otherwise. The assertion or employment of any right or remedy hereunder, or otherwise, shall not prevent the concurrent assertion or
employment of any other appropriate right or remedy. 
  

	SECTION 8.10.	DELAY OR OMISSION NOT WAIVER 

 No
delay or omission by the Trustee or by any Holder of any Securities to exercise any right or remedy arising upon any Event of Default with respect to such Securities shall impair the exercise of any such right or remedy or constitute a waiver of any
such Event of Default. Every right and remedy given by this Article VIII or by law to the Trustee or to the Holders of any Security may be exercised from time to time, and as often as may be deemed expedient, by the Trustee or by such Holders, as
the case may be. 
  

	SECTION 8.11.	CONTROL BY HOLDERS 

 The Holder
or Holders of a majority in aggregate principal amount of the Outstanding Securities of any series shall have the right to direct the time, method and place of conducting any proceeding for any remedy available to the Trustee or exercising any trust
or power conferred upon the Trustee with respect to the Securities of that series; provided that 
 (1) such
direction shall not be in conflict with any applicable rule of law or with this Indenture; 
 (2) the Trustee
shall not determine that the action so directed would be unduly prejudicial to the Holders not taking part in such direction; and 
 (3) the Trustee may take any other action deemed proper by the Trustee which is not inconsistent with such direction. 

  
 34 

	SECTION 8.12.	WAIVER OF EXISTING OR PAST DEFAULT 

 The Holder or Holders of not less than a majority in aggregate principal amount of the Outstanding Securities of any series may, on behalf of all Holders of all the Securities of that series, waive any
existing or past Default or Event of Default with respect to the Securities of that series and its consequences under this Indenture, except a continuing Default or Event of Default with respect to the Securities of that series: 

(A) in the payment of the principal of, premium, if any, or interest on, any Security of that series as specified in
clauses (i) and (ii) of Section 8.1 hereof and not yet cured; or 
 (B) with respect to any
covenant or provision hereof which, under Article XI, cannot be modified or amended without the consent of the Holder of each Outstanding Security of that series affected. 
 Upon any such waiver, such Default or Event of Default shall cease to exist, and any other Default or Event of Default arising therefrom shall be deemed to have been cured for every purpose of this
Indenture, but no such waiver shall extend to any subsequent or other Default with respect to the Securities of that series or impair the exercise of any right arising therefrom. The Company shall deliver to the Trustee an Officers’ Certificate
stating that the requisite percentage of Holders have consented to such waiver and attaching copies of such consents (or other evidence of such consents as may be reasonably satisfactory to the Trustee). 

This Section 8.12 shall be in lieu of TIA §§ 316(a)(1)(A) and 316(a)(1)(B) and such sections of the TIA are
hereby expressly excluded from this Indenture, as permitted by the TIA. 
  

	SECTION 8.13.	UNDERTAKING FOR COSTS 

 All
parties to this Indenture agree, and each Holder of any Security of any series by his acceptance thereof shall be deemed to have agreed, that in any suit for the enforcement of any right or remedy under this Indenture with respect to the Security of
that series, or in any suit against the Trustee for any action taken, suffered or omitted to be taken by it as Trustee with respect to that series, any court may in its discretion require the filing by any party litigant in such suit of an
undertaking to pay the costs of such suit, and that such court may in its discretion assess reasonable costs, including reasonable attorneys’ fees and expenses, against any party litigant in such suit, having due regard to the merits and good
faith of the claims or defenses made by such party litigant; but the provisions of this Section 8.13 shall not apply to any suit instituted by the Trustee, to any suit instituted by any Holder of the Security of that series, or group of Holders
of the Security of that series, holding in the aggregate more than 10% in aggregate principal amount of the Outstanding Security of that series, or to any suit instituted by any Holder of that series for enforcement of the payment of principal of,
or premium (if any), or interest on, any Security of that series on or after the respective Maturity Date expressed in such Security (including, in the case of redemption, on or after the Redemption Date). 

  
 35 

	SECTION 8.14.	RESTORATION OF RIGHTS AND REMEDIES 

 If the Trustee or any Holder has instituted any proceeding to enforce any right or remedy under this Indenture with respect to any Security of any series and such proceeding has been discontinued or
abandoned for any reason, or has been determined adversely to the Trustee or to such Holder, then and in every case, subject to any determination in such proceeding, the Company, the Trustee and all Holders of the Security of that series shall be
restored severally and respectively to their former positions hereunder and thereafter all rights and remedies of the Trustee and the Holders shall continue as though no such proceeding had been instituted. 

ARTICLE IX 

TRUSTEE 

The Trustee hereby accepts the trust imposed upon it by this Indenture and covenants and agrees to perform the same, as herein expressed,
subject to the terms hereof. 
  

	SECTION 9.1.	DUTIES OF TRUSTEE 

 (a) If an
Event of Default has occurred and is continuing (and has not been cured or waived in accordance with the terms of this Indenture) with respect to Securities of any series, the Trustee shall exercise such of the rights and powers vested in it by this
Indenture with respect to such Securities and use the same degree of care and skill in its exercise as a prudent person would exercise or use under the circumstances in the conduct of his or her own affairs. 

(b) Except during the continuance of an Event of Default with respect to Securities of any series: 

(1) the Trustee need perform only those duties as are specifically set forth in this Indenture and no others; no covenants
or obligations shall be implied in or read into this Indenture which are adverse to the Trustee; and any rights of the Trustee to take any action that is permitted, but not required, to be taken by this Indenture shall not be construed as an
obligation or duty to do so; and 
 (2) in the absence of bad faith on its part, the Trustee may conclusively
rely, as to the truth of the statements and the correctness of the opinions expressed therein, upon certificates or opinions furnished to the Trustee and conforming to the requirements of this Indenture; provided, however, in the case of any
such certificates or opinions which by any provision hereof are specifically required to be furnished to the Trustee, the Trustee shall examine the certificates and opinions to determine whether or not they conform to the requirements of this
Indenture (but need not confirm or investigate the accuracy of mathematical calculations or other facts stated therein). 
 (c)
The Trustee shall not be relieved from liability for its own negligent action, its own negligent failure to act, or its own willful misconduct, except that: 
 (1) this paragraph does not limit the effect of paragraph (b) of this Section 9.1; 

  
 36 

 (2) the Trustee shall not be liable for any error of judgment made in good
faith by a Trust Officer, unless it is proved that the Trustee was negligent in ascertaining the pertinent facts; and 
 (3) the Trustee shall not be liable with respect to any action it takes or omits to take in good faith in accordance with a direction received by it pursuant to Section 8.11 hereof. 

(d) No provision of this Indenture shall require the Trustee to expend or risk its own funds or otherwise incur any financial liability in
the performance of any of its duties hereunder or to take or omit to take any action under this Indenture or at the request, order or direction of the Holders or in the exercise of any of its rights or powers. 

(e) Every provision of this Indenture that in any way relates to the Trustee is subject to paragraphs (a), (b), (c), (d), (f) and
(g) of this Section 9.1. 
 (f) The Trustee shall not be liable for interest on any assets received by it except as the
Trustee may agree in writing with the Company (including without limitation to the extent the Trustee receives funds prior to the interest payment date in order to comply with the provisions of Section 6.1). Assets held in trust by the Trustee
need not be segregated from other assets except to the extent required by law. 
 (g) The Trustee shall not be required to give
any bond or surety with respect to the performance of its duties or the exercise of its powers under this Indenture. 
 (h) Every
provision of this Indenture relating to the conduct or affecting the liability of or affording protection to the Trustee shall be subject to the provisions of this Section and to the provisions of the TIA. 

 

	SECTION 9.2.	RIGHTS OF TRUSTEE 

 Subject to
Section 9.1 hereof, with respect to Securities of any series: 
 (a) The Trustee may conclusively rely on any document
reasonably believed by it to be genuine and to have been signed or presented by the proper Person. The Trustee need not investigate any fact or matter stated in such document. 
 (b) Before the Trustee acts or refrains from acting, it may consult with counsel and may require an Officers’ Certificate or an Opinion of Counsel, which shall conform to Sections 12.6 and 12.7
hereof, except as specifically provided herein. The Trustee shall not be liable for any action it takes or omits to take in good faith in reliance on such certificate or advice of counsel. 

(c) The Trustee may act through its attorneys and agents and shall not be responsible for the misconduct or negligence of any agent
appointed with due care. 

  
 37 

 (d) The Trustee shall not be liable for any action it or its agent takes or omits to take in
good faith which it reasonably believes to be authorized or within its rights or powers conferred upon it by this Indenture. 

(e) The Trustee shall not be bound to make any investigation into the facts or matters stated in any resolution, certificate, statement,
instrument, opinion, notice, request, direction, consent, order, bond, debenture or other paper or document, but the Trustee, in its sole discretion, may make such further inquiry or investigation into such facts or matters as it may see fit.

 (f) The Trustee shall be under no obligation to exercise any of the rights or powers vested in it by this Indenture at the
request, order or direction of any of the Holders, pursuant to the provisions of this Indenture, unless such Holders shall have offered to the Trustee security or indemnity reasonably satisfactory to it against the costs, expenses and liabilities
which may be incurred therein or thereby. 
 (g) Unless otherwise specifically provided for in this Indenture, any demand,
request, direction or notice from the Company shall be sufficient if signed by an Officer of the Company, as applicable. 
 (h)
The Trustee shall have no duty to inquire as to the performance of the Company’s covenants in Article VI hereof or as to the performance by any Agent of its duties hereunder. In addition, the Trustee shall not be deemed to have knowledge of any
Default or Event of Default except any Default or Event of Default of which the Trustee shall have received written notification or obtained actual knowledge of an event which is in fact such a default (and such notice references the Securities and
this Indenture), and in the absence of any such notice or any such actual knowledge, the Trustee may conclusively assume that no Default or Event of Default exists. 
 (i) Whenever in the administration of this Indenture the Trustee shall deem it desirable that a matter be proved or established prior to taking, suffering or omitting any action hereunder, the Trustee
(unless other evidence be herein specifically prescribed) may, in the absence of bad faith on its part, rely upon an Officers’ Certificate, an Opinion of Counsel, or both. 

(j) The Trustee may request that the Issuer or the Company deliver an Officers’ Certificate setting forth the names of individuals
and/or titles of officers authorized at such time to take specified actions pursuant to this Indenture, which Officers’ Certificate may be signed by any person authorized to sign an Officers’ Certificate, including any person specified as
so authorized in any such certificate previously delivered and not superseded. 
 (k) The rights, privileges, protections,
immunities and benefits given to the Trustee, including, without limitation, its right to be indemnified, are extended to, and shall be enforceable by, the Trustee in each of its capacities under this Indenture, and to each Agent, Custodian and
other person employed by the Trustee in furtherance of carrying out its duties under this Indenture. 

  
 38 

	SECTION 9.3.	INDIVIDUAL RIGHTS OF TRUSTEE 

The Trustee, or any of its Affiliates, in its individual or any other capacity may become the owner or pledgee of Securities of any series
and may otherwise deal with the Company, any of its Subsidiaries, or their respective Affiliates with the same rights it would have if it were not Trustee. Any Agent or Custodian may do the same with like rights. However, the Trustee must comply
with Sections 9.10 and 9.11 hereof. 
  

	SECTION 9.4.	TRUSTEE’S DISCLAIMER 

 The
Trustee shall not be responsible for and makes no representation as to the validity or adequacy of this Indenture or the Securities of any series, and it shall not be accountable for the Company’s use of the proceeds from the Securities, and it
shall not be responsible for any statement of the Company in the Indenture or any statement in the Securities of any series (other than the Trustee’s certificate of authentication) or in any prospectus or other disclosure materials distributed
with respect to the Securities of any series (other than information provided by the Trustee concerning the Trustee), or for the use or application of any funds received by a Paying Agent other than the Trustee. 

 

	SECTION 9.5.	NOTICE OF DEFAULT 

 If a Default
or an Event of Default occurs and is continuing with respect to Securities of any series and if it is known to the Trustee as provided in Section 9.2(h) hereof, the Trustee shall mail to each Holder of that series notice of the uncured Default
or Event of Default within 90 days after such Default or Event of Default occurs. Except in the case of a Default in the payment of principal of or interest on any Security (including payments pursuant to the mandatory redemption provisions of any
Security, if any), the Trustee may withhold the notice if and so long as a committee of its Trust Officers in good faith determines that withholding the notice is in the interest of the Holders. 

 

	SECTION 9.6.	REPORTS BY TRUSTEE TO HOLDERS 

Within 60 days after each March 15 beginning with the March 15 following the date of this Indenture, the Trustee shall, if
required by law, mail to each Holder a brief report dated as of such March 15 that complies with TIA § 313(a). The Trustee also shall comply with TIA §§ 313(b) and 313(c). 

The Company shall promptly notify the Trustee in writing if the Securities of any series become listed on any securities exchange or
automated quotation system or of any delisting thereof. 
 A copy of each report at the time of its mailing to Holders shall be
mailed to the Company and filed with the SEC and each securities exchange, if any, on which any Securities are listed. 

  
 39 

	SECTION 9.7.	COMPENSATION AND INDEMNITY 

 The
Company agrees to pay to the Trustee (in its capacity as such) from time to time such reasonable compensation for its services as the Company and the Trustee shall from time to time agree in writing. The Trustee’s compensation shall not be
limited by any law on compensation of a trustee of an express trust. In addition to such compensation for services, the Company shall promptly reimburse the Trustee (and any predecessor Trustee with respect to all matters and events existing or
alleged to exist on or prior to the date such person ceased to be a Trustee) upon request for all reasonable disbursements, expenses (including costs of collection) and advances actually incurred or made by it in accordance with this Indenture or
carrying out its duties hereunder. Such expenses shall include the reasonable compensation, disbursements and expenses of the Trustee’s agents, accountants, experts and counsel. 

The Company agrees to indemnify each of the Trustee (in any capacity under this Indenture including as Trustee, Agent or Securities
Custodian) and each predecessor Trustee and each of its officers, directors, attorneys-in-fact and agents for, and hold it harmless against, any claim, demand, expense (including but not limited to reasonable compensation, disbursements and expenses
of the Trustee’s agents and counsel), loss or liability incurred by it without negligence, willful misconduct or bad faith on the part of the Trustee, arising out of or in connection with the acceptance and the administration of this trust and
its rights or duties hereunder, including, without limitation, the reasonable costs and expenses of defending itself against any investigation, claim or liability (whether asserted by the Company, any Holder or any other person) in connection with
the exercise or performance of any of its powers or duties hereunder. The Trustee shall notify the Company promptly of any claim asserted against the Trustee for which it may seek indemnity; provided, however, that any failure to so
notify the Company shall not relieve the Company of its indemnity obligations hereunder. The Company shall defend the claim and the Trustee shall provide reasonable cooperation at the Company’s expense in the defense. The Trustee may have
separate counsel and the Company shall pay the reasonable fees and expenses of such counsel; provided that the Company will not be required to pay such fees and expenses if they assume the Trustee’s defense and if the Trustee is advised
by its counsel that there is no conflict of interest between the Company and the Trustee in connection with such defense. The Company need not pay for any settlement made without their written consent, which shall not be unreasonably withheld. The
Company need not reimburse any expense or indemnify against any loss or liability to the extent incurred by the Trustee through its negligence, bad faith or willful misconduct. 

When the Trustee incurs expenses or renders services after an Event of Default specified in Section 8.1(v) or (vi) of this
Indenture occurs, the expenses and the compensation for the services are intended to constitute expenses of administration under any Bankruptcy Law. 
 The Company’s obligations under this Section 9.7 shall survive the resignation or removal of the Trustee, the discharge of the Company’s obligations pursuant to Article X of this Indenture
and any rejection or termination of this Indenture under any Bankruptcy Law. 

  
 40 

	SECTION 9.8.	REPLACEMENT OF TRUSTEE 

 The
Trustee may resign by so notifying the Company in writing. The Holder or Holders of a majority in aggregate principal amount of the outstanding Securities of any series may remove the Trustee with respect to that series by so notifying the Company
and the Trustee in writing and may appoint a successor trustee with the Company’s consent. The Company may remove the Trustee with respect to any series of Securities if: 
 (a) the Trustee fails to comply with Section 9.10 hereof; 
 (b) the Trustee is
adjudged bankrupt or insolvent; 
 (c) a receiver, Custodian or other public officer takes charge of the Trustee or its property;
or 
 (d) the Trustee becomes incapable of acting. 
 If the Trustee resigns or is removed or if a vacancy exists in the office of Trustee for any reason with respect to Securities of any series, the Company shall promptly appoint a successor Trustee. Within
one year after the successor Trustee takes office, the Holder or Holders of a majority in principal amount of that series of Securities may appoint a successor Trustee to replace the successor Trustee appointed by the Company. 

A successor Trustee shall deliver a written acceptance of its appointment to the retiring Trustee and to the Company. Immediately after
that and, provided that all sums owing to the retiring Trustee provided for in Section 9.7 hereof have been paid, the retiring Trustee shall transfer all property held by it as trustee to the successor Trustee, the resignation or removal of the
retiring Trustee shall become effective, and the successor Trustee shall have all the rights, powers and duties of the Trustee under this Indenture. A successor Trustee shall mail notice of its succession to each Holder of the affected series at the
current address of each such Holder as set forth in the Security Register. 
 If a successor Trustee does not take office within
60 days after the retiring Trustee resigns or is removed with respect to Securities of any series, the retiring Trustee (at the Company’s cost and expense), the Company or the Holder or Holders of at least 10% in aggregate principal amount of
the outstanding Securities of that series may petition any court of competent jurisdiction for the appointment of a successor Trustee. 
 If the Trustee fails to comply with Section 9.10 hereof, any Holder may petition any court of competent jurisdiction for the removal of the Trustee and the appointment of a successor Trustee.

 Notwithstanding replacement of the Trustee pursuant to this Section 9.8, the Company’s obligations under
Section 9.7 hereof shall continue for the benefit of the retiring Trustee. 

  
 41 

	SECTION 9.9.	SUCCESSOR TRUSTEE BY MERGER, ETC. 

If the Trustee consolidates with, merges or converts into, or transfers all or substantially all of its corporate trust business or assets
to, another corporation or banking association, the resulting, surviving or transferee corporation without any further act shall, if such resulting, surviving or transferee corporation is otherwise eligible hereunder, be the successor Trustee.

  

	SECTION 9.10.	ELIGIBILITY; DISQUALIFICATION 

The Trustee shall at all times satisfy the requirements of TIA § 310(a)(1), (2) and (5). The Trustee shall have a combined
capital and surplus of at least $50,000,000, as set forth in its most recent published annual report of condition. The Trustee shall comply with TIA § 310(b). 

 

	SECTION 9.11.	PREFERENTIAL COLLECTION OF CLAIMS AGAINST COMPANY. 

 The Trustee shall comply with TIA § 311(a), excluding any creditor relationship listed in TIA § 311(b). A Trustee who has resigned or been removed shall be subject to TIA § 311(a) to
the extent indicated. 
 ARTICLE X 
 LEGAL DEFEASANCE AND COVENANT DEFEASANCE 
  

	SECTION 10.1.	OPTION TO EFFECT LEGAL DEFEASANCE OR COVENANT DEFEASANCE 

 The Company, at the Company’s option and at any time, may elect to have Section 10.2 or Section 10.3 of this Indenture applied to all Outstanding Securities of any series upon compliance
with the conditions set forth below in this Article X. 
  

	SECTION 10.2.	LEGAL DEFEASANCE AND DISCHARGE 

Upon the Company’s exercise under Section 10.1 hereof of the option applicable to this Section 10.2 with respect to the
Outstanding Securities of any series, the Company shall be deemed to have been discharged from its obligations with respect to all Outstanding Securities as to which this option provided in Section 10.1 is exercised, on the date the conditions
set forth below are satisfied (hereinafter, “Legal Defeasance”). For this purpose, such Legal Defeasance means that the Company shall be deemed to have paid and discharged the entire indebtedness represented by such Outstanding
Securities, and this Indenture shall cease to be of further effect as to all such Outstanding Securities, except as to be deemed to be Outstanding only for the purposes of the Sections of this Indenture referred to in (a) and (b) below,
and the Company shall be deemed to have satisfied all other of its obligations under such Outstanding Securities and this Indenture with respect to such Securities (and the Trustee, on written demand of and at the expense of the Company, shall
execute proper instruments acknowledging the same), except for the following which shall survive until otherwise terminated or discharged hereunder: (a) the rights of Holders of Outstanding Securities to receive payments in respect of the
principal of, premium, if any, and interest on such Securities when such payments are due from the trust described in Section 10.5, (b) the Company’s obligations with respect to such Securities under

  
 42 

 
Sections 3.4, 3.5, 3.6, 3.7, 3.8, 3.10, 6.2, 10.5, 10.6 and 10.7 hereof, and (c) the rights, powers, trusts, duties and immunities of the Trustee hereunder, and the Company’s
obligations in connection therewith. If the Company exercises its option under this Section 10.2 with respect to the Outstanding Securities of any series, then payment of the Securities of such series may not be accelerated because of an Event
of Default. Subject to compliance with this Article X, the Company may exercise its option under this Section 10.2 notwithstanding the prior exercise of its option under Section 10.3 hereof with respect to such Securities. 

 

	SECTION 10.3.	COVENANT DEFEASANCE 

 Upon the
Company’s exercise under Section 10.1 hereof of the option applicable to this Section 10.3 with respect to the Outstanding Securities of any series, the Company shall be released from its obligations under any covenants provided
pursuant to Section 3.1(18) and the covenants contained in Sections 6.3, 6.4 and 6.5 and Article VII hereof with respect to all Outstanding Securities as to which this option provided in Section 10.1 is exercised, on and after the date the
conditions set forth below are satisfied (hereinafter, “Covenant Defeasance”), and such Outstanding Securities shall thereafter be deemed not Outstanding for the purposes of any direction, waiver, consent or declaration or act of
Holders (and the consequences of any thereof) in connection with such covenants, but shall continue to be deemed Outstanding for all other purposes hereunder. For this purpose, such Covenant Defeasance means that, with respect to the Outstanding
Securities of any series as to which the Covenant Defeasance has occurred, the Company shall not need to comply with and shall have no liability in respect of any term, condition or limitation set forth in any such covenant with respect to such
Securities, whether directly or indirectly, by reason of any reference elsewhere herein to any such covenant or by reason of any reference in any such covenant to any other provision herein or in any other document and such omission to comply shall
not constitute a Default or an Event of Default under Section 8.1(iv) with respect to such Securities, but, except as specified above, the remainder of this Indenture and such Securities shall be unaffected thereby. In addition, if the Company
exercises its option under this Section 10.3 with respect to the Outstanding Securities of any series, then payment of the Securities of such series may not be accelerated because of an Event of Default with respect to such series specified in
Section 8.1(iii) hereof. 
  

	SECTION 10.4.	CONDITIONS TO LEGAL OR COVENANT DEFEASANCE 

 (a) The following shall be the conditions to the application of either Section 10.2 or 10.3 hereof to any Securities or any series of Securities, as the case may be, to be defeased: 

(i) the Company shall irrevocably deposit with the Trustee, in trust, for the benefit of the Holders of the Securities as to which Legal
Defeasance or Covenant Defeasance will occur, U.S. legal tender, U.S. Government Obligations, a combination thereof, or other obligations as may be provided as contemplated by Section 3.1(15) with respect to such Securities, in such amounts as
will be sufficient, in the opinion of a nationally recognized investment bank, appraisal firm or firm of independent public accountants, to pay the principal of, premium, if any, and interest on such Securities on the stated date for payment thereof
or on the redemption date of such principal or installment of principal of, premium, if any, or interest on such Securities, and the Trustee, for the benefit of the 

  
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Holders of such Securities, has a valid and perfected security interest in obligations so deposited; 
 (ii) in the case of Legal Defeasance, the Company shall have delivered to the Trustee an Opinion of Counsel in the United States reasonably acceptable to the Trustee confirming that: (A) the Company
has received from, or there has been published by the Internal Revenue Service, a ruling or (B) since the date of this Indenture, there has been a change in the applicable federal income tax law, in either case to the effect that, and based
thereon such Opinion of Counsel shall confirm that, the Holders of such Securities will not recognize income, gain or loss for federal income tax purposes as a result of such Legal Defeasance and will be subject to federal income tax on the same
amounts, in the same manner and at the same times as would have been the case if such Legal Defeasance had not occurred; 
 (iii)
in the case of Covenant Defeasance, the Company shall have delivered to the Trustee an Opinion of Counsel in the United States reasonably acceptable to such Trustee confirming that the Holders of such Securities will not recognize income, gain or
loss for federal income tax purposes as a result of such Covenant Defeasance and will be subject to federal income tax on the same amounts, in the same manner and at the same times as would have been the case if such Covenant Defeasance had not
occurred; 
 (iv) no Default or Event of Default with respect to such Securities shall have occurred and be continuing on the
date of such deposit (other than a Default or Event of Default resulting from the borrowing of funds to be applied to such deposit) and no Default or Event of Default under Section 8.1(v) or Section 8.1(vi) occurs, at any time in the
period ending on the 91st day after the date of deposit; 
 (v) such Legal Defeasance or Covenant Defeasance shall not result in
a breach or violation of, or constitute a default under any material agreement or instrument (excluding this Indenture) to which the Company or any of its Subsidiaries is a party or by which the Company or any of its Subsidiaries is bound;

 (vi) the Company shall have delivered to the Trustee an Officers’ Certificate stating that the deposit was not made by
the Company with the intent of preferring the Holders of such Securities over any other creditors of the Company or with the intent of defeating, hindering, delaying or defrauding any other creditors of the Company or others; 

(vii) such Legal Defeasance or Covenant Defeasance shall not result in the trust arising from such deposit constituting an investment
company within the meaning of the Investment Company Act of 1940, as amended, unless such trust shall be qualified under such Act or exempt from regulation thereunder; and 
 (viii) the Company shall have delivered to the Trustee an Officers’ Certificate and an Opinion of Counsel, each stating that the conditions precedent provided for in, in the case of the
Officers’ Certificate, (i) through (vi) and, in the case of the Opinion of Counsel, clauses (i) (with respect to the validity and perfection of the security interest), (ii), (iii) and (v) of this paragraph have been
complied with. 

  
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 (b) If the funds deposited with the Trustee to effect Covenant Defeasance are insufficient
to pay the principal of, premium, if any, and interest on the Securities to be so defeased when due, then the obligations of the Company under this Indenture with respect to such Securities will be revived and no such defeasance will be deemed to
have occurred. 
  

	SECTION 10.5.	DEPOSITED CASH AND U.S. GOVERNMENT OBLIGATIONS TO BE HELD IN TRUST; OTHER MISCELLANEOUS PROVISIONS 

Subject to Section 10.6 hereof, all cash and U.S. Government Obligations (including the proceeds thereof) deposited with the Trustee
(or other qualifying trustee, collectively for purposes of this Section 10.5, the “Paying Agent”) pursuant to Section 10.4 hereof in respect of any Securities to be defeased shall be held in trust and applied by the Paying
Agent, in accordance with the provisions of such Securities and this Indenture, to the payment, either directly or through any other Paying Agent as the Trustee may determine, to the Holders of such Securities of all sums due and to become due
thereon in respect of principal, premium, if any, and interest, but such money need not be segregated from other funds except to the extent required by law. 
 The Company shall pay and indemnify the Trustee against any tax, fee or other charge imposed on or assessed against the U.S. Government Obligations deposited pursuant to Section 10.4 or the principal
and interest received in respect thereof other than any such tax, fee or other charge which by law is for the account of the Holders of such Securities. 
  

	SECTION 10.6.	REPAYMENT TO THE COMPANY 

 (a)
Anything in this Article X to the contrary notwithstanding, the Trustee or the Paying Agent shall deliver or pay to the Company from time to time upon the request of the Company any cash or U.S. Government Obligations held by it as provided in
Section 10.4 hereof which, in the opinion of a nationally recognized investment bank, appraisal firm or firm of independent public accountants expressed in a written certification thereof delivered to the Trustee (which may be the opinion
delivered under Section 10.4(a) hereof), are in excess of the amount thereof that would then be required to be deposited to effect an equivalent Legal Defeasance or Covenant Defeasance. 

(b) Any cash and U.S. Government Obligations (including the proceeds thereof) deposited with the Trustee or any Paying Agent, or then
held by the Company, in trust for the payment of the principal of, premium, if any, or interest on any Securities and remaining unclaimed for two years after such principal, and premium, if any, or interest has become due and payable shall be paid
to the Company on its written request; and the Holder of such Security shall thereafter look only to the Company for payment thereof, and all liability of the Trustee or such Paying Agent with respect to such trust money shall thereupon cease;
provided, however, that the Trustee or such Paying Agent, before being required to make any such repayment, may at the expense of the Company cause to be published once, in the New York Times and The Wall Street Journal
(national edition), notice that such money remains unclaimed and that, after a date specified therein, which shall not be less than 30 days from the date of such notification or publication, any unclaimed balance of such money then remaining will be
repaid to the Company. 

  
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	SECTION 10.7.	REINSTATEMENT 

 If the Trustee or
Paying Agent is unable to apply any cash or U.S. Government Obligations in accordance with Section 10.2 or 10.3 hereof, as the case may be, by reason of any order or judgment of any court or governmental authority enjoining, restraining or
otherwise prohibiting such application, then the Company’s obligations under this Indenture with respect to such Securities affected and such Securities shall be revived and reinstated as though no deposit had occurred pursuant to
Section 10.2 or 10.3 hereof until such time as the Trustee or Paying Agent is permitted to apply such money in accordance with Sections 10.2 and 10.3 hereof, as the case may be; provided, however, that, if the Company makes any payment
of principal of, premium, if any, or interest on any such Security following the reinstatement of its obligations, the Company shall be subrogated to the rights of the Holders of such Securities to receive such payment from the cash or U.S.
Government Obligations held by the Trustee or Paying Agent. 
 ARTICLE XI 

AMENDMENTS, SUPPLEMENTS AND WAIVERS 
  

	SECTION 11.1.	SUPPLEMENTAL INDENTURES WITHOUT CONSENT OF HOLDERS 

 Without the consent of any Holder of any Securities, the Company, when authorized by Board Resolutions, and the Trustee, at any time and from time to time, may enter into one or more Supplemental
Indentures hereto, in form satisfactory to the Trustee, for any of the following purposes: 
 (1) to cure any
ambiguity or to correct or supplement any provision contained herein or in any Supplemental Indenture which may be defective or inconsistent with any other provision contained herein or in any Supplemental Indenture or to make any changes hereto or
to any Supplemental Indenture that are required by law; 
 (2) to add to the covenants of the Company such
further covenants, restrictions or conditions for the benefit of the Holders of Securities of all or any series (and if such covenants are to be for the benefit of less than all series of Securities, stating that such covenants are expressly being
included solely for the benefit of that series or those series specified in such Supplemental Indenture), and to make the occurrence, or the occurrence and continuance, of a Default in any such additional covenants, restrictions or conditions a
Default or an Event of Default permitting the enforcement of all or any of the several remedies provided in this Indenture as herein set forth (and if such additional Events of Default are to be for the benefit of less than all series of Securities,
stating that such additional Events of Default are expressly being included solely for the benefit of that series or those series specified in such Supplemental Indenture); provided, however, that in respect of any such additional
covenant, restriction or condition such Supplemental Indenture may provide for a particular period of grace after Default (which period may be shorter or longer than allowed in the case of other Defaults) or may provide for any immediate enforcement
upon such Default or may limit 

  
 46 

 
the remedies available to be exercised by the Trustee in its discretion upon such Default but may not limit the remedies available to be exercised by the Holders; 

(3) to add to or change any of the provisions of this Indenture to such extent as shall be necessary to permit or
facilitate the issuance of Securities in uncertificated form; 
 (4) to add to, change or eliminate any of the
provisions of this Indenture in respect of one or more series of Securities; provided that any such addition, change or elimination (A) shall neither (i) apply to any Security of any series created prior to the execution of such
Supplemental Indenture and entitled to the benefit of such provision nor (ii) modify the rights of the Holder of any such Security with respect to such provision or (B) shall become effective only when there is no such Security
Outstanding; 
 (5) to provide for collateral for or guarantors of the Securities of any series; 

(6) to evidence the succession of another Person to the Company, and the assumption by any such successor of the
obligations of the Company, herein and in the Securities in accordance with Article VII; 
 (7) to modify,
eliminate or add to the provisions of this Indenture to comply with the TIA; 
 (8) to evidence and provide for
the acceptance of appointment hereunder by a successor Trustee with respect to the Securities of one or more series and to add to or change any of the provisions of this Indenture as shall be necessary to provide for or facilitate the administration
of the trusts hereunder by more than one Trustee, pursuant to the requirements of Section 9.8; 
 (9) to
establish the form or terms of Securities of any series as permitted by Section 2.1 and 3.1; 
 (10) to add
to or change any of the provisions of this Indenture with respect to any Securities that by their terms may be converted into securities or other property other than Securities of the same series and of like tenor, in order to permit or facilitate
the issuance, payment or conversion of such Securities; 
 (11) to comply with the rules or regulations of any
securities exchange or automated quotation system on which any of the Securities may be listed or traded; or 

(12) to provide for the payment by the Company of additional amounts in respect of taxes imposed on certain Holders and
for the treatment of such additional amounts as interest and for all matters incidental thereto. 
 Upon the written request of the Company
accompanied by a Board Resolution authorizing the execution of any such Supplemental Indenture, and upon receipt by the Trustee of any Officers’ Certificate or Opinion of Counsel requested under Section 9.2(b) hereof, the Trustee shall
join with the Company in the execution of any Supplemental Indenture authorized or permitted by the 

  
 47 

 
terms of this Indenture and to make any further appropriate agreements and stipulations that may be therein contained, but the Trustee shall not be obligated to (but may in its discretion) enter
into such Supplemental Indenture that affects its own rights, duties, liabilities or immunities under this Indenture or otherwise. 
  

	SECTION 11.2.	AMENDMENTS, SUPPLEMENTAL INDENTURES AND WAIVERS WITH CONSENT OF HOLDERS 

 Subject to Section 8.8 hereof, with the consent of the Holders of not less than a majority in aggregate principal amount of the Outstanding Securities of each series affected thereby (including
consents obtained in connection with a tender offer or exchange offer for such Securities), by written act of said Holders delivered to the Company and the Trustee, the Company, when authorized by Board Resolutions, and the Trustee for Securities of
each such series may amend or supplement this Indenture or enter into one or more Supplemental Indentures for the purpose of adding any provisions to or changing in any manner or eliminating any of the provisions of this Indenture or of modifying in
any manner the rights of the Holders of the Securities of that series under this Indenture or the applicable Securities. Subject to Section 8.8, the Holder or Holders of not less than a majority in aggregate principal amount of the Outstanding
Securities of each series may waive compliance by the Company with any provision of this Indenture or such Securities with respect to such series. Notwithstanding any of the above, however, no such amendment, Supplemental Indenture or waiver shall,
without the consent of the Holder of each Outstanding Security affected thereby: 
 (1) extend the Stated
Maturity of the principal of, or any installment of principal of or interest on, any Security, or reduce the principal amount thereof or the rate of interest thereon or any premium payable upon the redemption thereof, or reduce the amount of the
principal of an Original Issue Discount Security or any other Security which would be due and payable upon a declaration of acceleration of the Maturity thereof pursuant to Section 8.2, or change any Place of Payment where, or the coin or
currency in which, any such Security or any premium or the interest thereon is payable, or impair the right to institute suit for the enforcement of any such payment on or after the Stated Maturity thereof (or, in the case of redemption, on or after
the Redemption Date); or 
 (2) reduce the percentage in principal amount of the Outstanding Securities of any
series, the consent of whose Holders is required for any such amendment, Supplemental Indenture or waiver provided for in this Indenture; 
 (3) modify any of the provisions of this Section 11.2 or Section 8.12, except to increase any required percentage or to provide that certain other provisions of this Indenture cannot be modified
or waived without the consent of the Holder of each outstanding Security affected thereby; provided, however, that this clause shall not be deemed to require the consent of any Holder with respect to changes in the references to “the
Trustee” and concomitant changes in this Section 11.2, or the deletion of this proviso, in accordance with the requirements of Sections 9.8 and 11.1(8); 

  
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 (4) cause such Security to become subordinate in right of payment to any
other Debt, except to the extent provided in the terms of such Security; or 
 (5) if any Security provides that
the Holder may require the Company to repurchase or convert such Security, impair such Holder’s right to require repurchase or conversion of such Security on the terms provided therein. 

A Supplemental Indenture which changes or eliminates any covenant or other provision of this Indenture which has expressly been included
solely for the benefit of one or more particular series of Securities, or which modifies the rights of the Holders of Securities of that series with respect to such covenant or other provision, shall be deemed not to affect the rights under this
Indenture of the Holders of Securities of any other series. 
 Upon the written request of the Company accompanied by a Board
Resolution authorizing the execution of any such amendment or supplement to this Indenture or of any such Supplemental Indenture, and upon the filing with the Trustee of evidence satisfactory to the Trustee of the consent of the Holders as
aforesaid, and upon receipt by the Trustee of any Officers’ Certificate or Opinion of Counsel requested under Section 9.2(b) hereof, the Trustee shall join with the Company in the execution of such amendment or supplement to this Indenture
or of such Supplemental Indenture, but the Trustee shall not be obligated to (but may in its discretion) enter into any such amendment or supplement to this Indenture or any such Supplemental Indenture that affects its own rights, duties,
liabilities or immunities under this Indenture or otherwise. 
 It shall not be necessary for the consent of the Holders under
this Section 11.2 to approve the particular form of any proposed amendment, supplement or waiver, but it shall be sufficient if such consent approves the substance thereof. 

After an amendment, supplement or waiver under this Section becomes effective, the Company shall mail to the Holders affected thereby a
notice briefly describing the amendment, supplement or waiver. Any failure of the Company to mail such notice, or any defect therein, shall not, however, in any way impair or affect the validity of any such Supplemental Indenture or waiver.

 After an amendment, supplement or waiver under this Section 11.2 or under Section 11.4 hereof becomes effective, it
shall bind each Holder. 
 In connection with any amendment, supplement or waiver under this Article XI, the Company may, but
shall not be obligated to, offer to any Holder who consents to such amendment, supplement or waiver, or to all Holders, consideration for such Holder’s consent to such amendment, supplement or waiver. 

 

	SECTION 11.3.	COMPLIANCE WITH TIA 

 Every
amendment, waiver or supplement of this Indenture or the Securities shall comply with the TIA as then in effect. 

  
 49 

	SECTION 11.4.	REVOCATION AND EFFECT OF CONSENTS 

Until an amendment, waiver or supplement becomes effective with respect to any Security of any series, a consent to it by a Holder of that
series is a continuing consent by such Holder and every subsequent Holder of such Security or portion of such Security that evidences the same debt as the consenting Holder’s Security, even if notation of the consent is not made on any such
Security. However, any such Holder or subsequent Holder may revoke the consent as to such Security or portion of such Security by written notice to the Company or the Person designated by the Company as the Person to whom consents should be sent if
such revocation is received by the Company or such Person before the date on which the Trustee receives an Officers’ Certificate certifying that the Holders of the requisite principal amount of the Outstanding Securities affected have consented
(and not theretofore revoked such consent) to the amendment, supplement or waiver. 
 The Company may, but shall not be
obligated to, fix a record date for the purpose of determining the Holders entitled to consent to any amendment, supplement or waiver, which record date shall be the date so fixed by the Company notwithstanding the provisions of the TIA. If a record
date is fixed, then notwithstanding the last sentence of the immediately preceding paragraph, those Persons who were Holders at such record date, and only those Persons (or their duly designated proxies), shall be entitled to revoke any consent
previously given, whether or not such Persons continue to be Holders after such record date. 
 After an amendment, supplement
or waiver becomes effective, it shall bind every Holder of the Security of the affected series, unless it makes a change described in any of clauses (1) through (5) of Section 11.2 hereof, in which case, the amendment, supplement or
waiver shall bind only each Holder of a Security of that series who has consented to it and every subsequent Holder of such Security or portion of such Security that evidences the same debt as the consenting Holder’s Security; provided
that any such waiver shall not impair or affect the right of any Holder of that series to receive payment of principal and premium of and interest on such Security, on or after the respective dates set for such amounts to become due and payable
expressed in such Security, or to bring suit for the enforcement of any such payment on or after such respective dates. 
  

	SECTION 11.5.	NOTATION ON OR EXCHANGE OF SECURITIES 

 Securities of any series authenticated and delivered after the execution of any Supplemental Indenture pursuant to this Article may, and shall if required by the Trustee, bear a notation in form approved
by the Trustee as to any matter provided for in such Supplemental Indenture. If an amendment, supplement or waiver changes the terms of a Security of any series, the Trustee may require such Holder of the Security of that series to deliver it to the
Trustee or require such Holder to put an appropriate notation on such Security. The Trustee may place an appropriate notation on such Security about the changed terms and return it to such Holder. Alternatively, if the Company or the Trustee so
determines, the Company in exchange for the affected Security shall issue and the Trustee shall authenticate a new Security of the same series that reflects the changed terms. Any failure to make the appropriate notation or to issue a new Security
shall not affect the validity of such amendment, supplement or waiver. 

  
 50 

	SECTION 11.6.	TRUSTEE TO SIGN AMENDMENTS, ETC. 

The Trustee shall execute any amendment, supplement or waiver authorized pursuant to this Article XI; provided that the Trustee
may, but shall not be obligated to, execute any such amendment, supplement or waiver which affects the Trustee’s own rights, liabilities, duties or immunities under this Indenture. The Trustee shall be entitled to receive, and shall be fully
protected in relying upon an Officers’ Certificate and an Opinion of Counsel stating that the execution of any amendment, supplement or waiver authorized pursuant to this Article XI is authorized or permitted by this Indenture. 

ARTICLE XII 

MISCELLANEOUS 
  

	SECTION 12.1.	TIA CONTROLS 

 If any provision
of this Indenture limits, qualifies, or conflicts with the duties imposed by operation of the TIA, the imposed duties, upon qualification of this Indenture under the TIA, shall control. If any provision of this Indenture modifies or excludes any
provision of the TIA which may be so modified or excluded, the latter provision shall be deemed to apply to this Indenture as so modified or to be excluded, as the case may be. 

 

	SECTION 12.2.	FORM OF DOCUMENTS DELIVERED TO TRUSTEE 

 In any case where several matters are required to be certified by, or covered by an opinion of, any specified Person, it is not necessary that all such matters be certified by, or covered by the opinion
of, only one such Person, or that they be so certified or covered by only one document, but one such Person may certify or give an opinion with respect to some matters and one or more other such Persons as to other matters, and any such Person may
certify or give an opinion as to such matters in one or several documents. 
 Any certificate or opinion of an officer of the
Company may be based, insofar as it relates to legal matters, upon a certificate or opinion of, or representations by, counsel, unless such officer knows, or in the exercise of reasonable care should know, that the certificate or opinion or
representations with respect to the matters upon which his certificate or opinion is based are erroneous. Any such certificate or opinion of, or representation by, counsel may be based, insofar as it relates to factual matters, upon a certificate or
opinion of, or representations by, an officer or officers of the Company stating that the information with respect to such factual matters is in the possession of the Company, unless such counsel knows, or in the exercise of reasonable care should
know, that the certificate or opinion or representations with respect to such matters are erroneous. 
 Where any Person is
required to make, give or execute two or more applications, requests, consents, certificates, statements, opinions or other instruments under this Indenture, they may, but need not, be consolidated and form one instrument. 

  
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	SECTION 12.3.	ACTS OF HOLDERS; RECORD DATES 

Any request, demand, authorization, direction, notice, consent, waiver or other action provided or permitted by this Indenture to be
given, made or taken by Holders may be embodied in and evidenced by one or more instruments of substantially similar tenor signed by such Holders in person or by agent duly appointed in writing; and, except as herein otherwise expressly provided,
such action shall become effective when such instrument or instruments are delivered to the Trustee and, where it is hereby expressly required, to the Company. Such instrument or instruments (and the action embodied therein and evidenced thereby)
are herein sometimes referred to as the “Act” of the Holders signing such instrument or instruments. Proof of execution of any such instrument or of a writing appointing any such agent shall be sufficient for any purpose of this
Indenture and (subject to Section 9.1) conclusive in favor of the Trustee and the Company, if made in the manner provided in this Section. 
 The fact and date of the execution by any Person of any such instrument or writing may be proved by the affidavit of a witness of such execution or by a certificate of a notary public or other officer
authorized by law to take acknowledgments of deeds, certifying that the individual signing such instrument or writing acknowledged to him the execution thereof. Where such execution is by a signer acting in a capacity other than his individual
capacity, such certificate or affidavit shall also constitute sufficient proof of his authority. The fact and date of the execution of any such instrument or writing, or the authority of the Person executing the same, may also be proved in any other
manner which the Trustee deems sufficient. 
 The ownership of Securities shall be proved by the Security Register. 

Any request, demand, authorization, direction, notice, consent, waiver or other Act of the Holder of any Security shall bind every future
Holder of the same Security and the Holder of every Security issued upon the registration of transfer thereof or in exchange therefor or in lieu thereof in respect of anything done, omitted or suffered to be done by the Trustee or the Company in
reliance thereon, whether or not notation of such action is made upon such Security. 
 The Company may set any day as a record
date for the purpose of determining the Holders of Outstanding Securities of any series entitled to give, make or take any request, demand, authorization, direction, notice, consent, waiver or other action provided or permitted by this Indenture to
be given, made or taken by Holders of Securities of that series; provided that the Company may not set a record date for, and the provisions of this paragraph shall not apply with respect to, the giving or making of any notice, declaration,
request or direction referred to in the next paragraph. If any record date is set pursuant to this paragraph, the Holders of Outstanding Securities of the relevant series on such record date, and no other Holders, shall be entitled to take the
relevant action, whether or not such Holders remain Holders after such record date; provided that no such action shall be effective hereunder unless taken on or prior to the applicable Expiration Date by Holders of the requisite principal
amount of Outstanding Securities of that series on such record date. Nothing in this paragraph shall be construed to prevent the Company from setting a new record date for any action for which a record date has previously been set pursuant to this
paragraph (whereupon the record date previously set shall automatically and with no action by any Person be canceled and of no effect), and nothing in this paragraph shall be construed to render ineffective any action taken by Holders of the
requisite 

  
 52 

 
principal amount of Outstanding Securities of the relevant series on the date such action is taken. Promptly after any record date is set pursuant to this paragraph, the Company, at its own
expense, shall cause notice of such record date, the proposed action by Holders and the applicable Expiration Date to be given to the Trustee in writing and to each Holder of Securities of the relevant series in the manner set forth in
Section 12.4. 
 The Trustee may set any day as a record date for the purpose of determining the Holders of Outstanding
Securities of any series entitled to join in the giving or making of (i) any notice of default pursuant to Section 9.5, (ii) any declaration of acceleration referred to in Section 8.2, (iii) any request to institute
proceedings referred to in Section 8.7(B) or (iv) any direction referred to in Section 8.11, in each case with respect to Securities of that series. If any record date is set pursuant to this paragraph, the Holders of Outstanding
Securities of that series on such record date, and no other Holders, shall be entitled to join in such notice, declaration, request or direction, whether or not such Holders remain Holders after such record date; provided that no such action
shall be effective hereunder unless taken on or prior to the applicable Expiration Date by Holders of the requisite principal amount of Outstanding Securities of that series on such record date. Nothing in this paragraph shall be construed to
prevent the Trustee from setting a new record date for any action for which a record date has previously been set pursuant to this paragraph (whereupon the record date previously set shall automatically and with no action by any Person be canceled
and of no effect), and nothing in this paragraph shall be construed to render ineffective any action taken by Holders of the requisite principal amount of Outstanding Securities of the relevant series on the date such action is taken. Promptly after
any record date is set pursuant to this paragraph, the Trustee, at the Company’s expense, shall cause notice of such record date, the proposed action by Holders and the applicable Expiration Date to be given to the Company in writing and to
each Holder of Securities of the relevant series in the manner set forth in Section 12.4. 
 With respect to any record
date set pursuant to this Section, the party hereto which sets such record dates may designate any day as the “Expiration Date” and from time to time may change the Expiration Date to any earlier or later day; provided that
no such change shall be effective unless notice of the proposed new Expiration Date is given to the other party hereto in writing, and to each Holder of Securities of the relevant series in the manner set forth in Section 12.4, on or prior to
the existing Expiration Date. If an Expiration Date is not designated with respect to any record date set pursuant to this Section, the party hereto which set such record date shall be deemed to have initially designated the 180th day after such
record date as the Expiration Date with respect thereto, subject to its right to change the Expiration Date as provided in this paragraph. Notwithstanding the foregoing, no Expiration Date shall be later than the 180th day after the applicable
record date. 
 Without limiting the foregoing, a Holder entitled hereunder to take any action hereunder with regard to any
particular Security may do so with regard to all or any part of the principal amount of such Security or by one or more duly appointed agents each of which may do so pursuant to such appointment with regard to all or any part of such principal
amount. 

  
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	SECTION 12.4.	NOTICES 

 Any notices or other
communications required or permitted hereunder shall be in writing, and shall be sufficiently given if made by hand delivery, by telex, by telecopier, recognized overnight courier or registered or certified mail, postage prepaid, return receipt
requested, and addressed as follows: 
 if to the Company: 

Mohawk Industries, Inc. 
 160 S. Industrial Blvd. 
 Calhoun, Georgia 30701 

Attention: Treasurer 
 Telecopy: (            )
                             
 with a copy to: 
 Alston & Bird LLP 

One Atlantic Center 
 1201 West Peachtree Street 
 Atlanta, Georgia 30309 

Attention:
                                        

 Telecopy: (            )
                         
 if to the Trustee: 
 _______________ 

_______________ 
 _______________ 
 Attention:
                                         
        
 Telecopy:
(            )
                                 

Any party by notice to each other party may designate additional or different addresses as shall be furnished in writing by such party.
Any notice or communication to any party shall be deemed to have been given or made as of the date so delivered, if personally delivered; when answered back, if telexed; when receipt is acknowledged, if telecopied; the next Business Day after timely
delivery to a recognized overnight courier, if sent by such courier guaranteeing next day delivery; and five Business Days after mailing if sent by registered or certified mail, postage prepaid (except that a notice of change of address shall not be
deemed to have been given until actually received by the addressee). 
 Any notice or communication mailed to a Holder shall be
mailed to it by first class mail or other equivalent means at its address as it appears on the registration books of the Registrar and shall be sufficiently given to such Holder if so mailed within the time prescribed. 

Where this Indenture provides for Notice of any event to a Holder of a Global Security, such notice shall be sufficiently given if given
to the Depositary or its nominee for such Security 

  
 54 

 
(or its designee), pursuant to its Applicable Procedures, not later than the latest date (if any), and not earlier than the earliest date (if any), prescribed for the giving of such notice.

 Failure to mail a notice or communication to a Holder or any defect in it shall not affect its sufficiency with respect to
other Holders. If a notice or communication is mailed in the manner provided above, it is duly given, whether or not the addressee receives it. 
  

	SECTION 12.5.	COMMUNICATIONS BY HOLDERS WITH OTHER HOLDERS 

 Holders of any Security may communicate pursuant to TIA § 312(b) with other Holders of that series with respect to their rights under this Indenture or the applicable Securities. The Company,
the Trustee, the Registrar and any other Person shall have the protection of TIA § 312(c). 
  

	SECTION 12.6.	CERTIFICATE AND OPINION AS TO CONDITIONS PRECEDENT 

 Upon any request or application by the Company to the Trustee to take any action under this Indenture, the Company shall furnish to the Trustee: 

(1) an Officers’ Certificate (in form and substance reasonably satisfactory to the Trustee and which shall include
the statements required by Section 12.7 hereof) stating that, in the opinion of the signers, all conditions precedent, if any, provided for in this Indenture relating to the proposed action have been complied with; and 

(2) an Opinion of Counsel (in form and substance reasonably satisfactory to the Trustee and which shall include the
statements required by Section 12.7 hereof) stating that, in the opinion of such counsel (who may rely on an Officers’ Certificate and certificates of public officials as to matters of fact), all such conditions precedent have been
complied with. 
  

	SECTION 12.7.	STATEMENTS REQUIRED IN CERTIFICATE OR OPINION 

 Each certificate or opinion with respect to compliance with a condition or covenant provided for in this Indenture (other than a certificate provided pursuant to TIA § 314(a)) shall comply
with the provisions of TIA § 314(e) and shall include: 
 (1) a statement that the Person making
such certificate or opinion has read such covenant or condition; 
 (2) a brief statement as to the nature and
scope of the examination or investigation upon which the statements or opinions contained in such certificate or opinion are based; 
 (3) a statement that, in the opinion of such Person, he or she has made such examination or investigation as is necessary to enable him or her to express an informed opinion as to whether or not such
covenant or condition has been complied with; and 

  
 55 

 (4) a statement as to whether or not, in the opinion of each such Person,
such condition or covenant has been complied with; provided, however, that, with respect to matters of fact, an Opinion of Counsel may rely on an Officers’ Certificate or certificates of public officials. 

 

	SECTION 12.8.	RULES BY TRUSTEE, PAYING AGENT, REGISTRAR 

 The Trustee may make reasonable rules for action by or at a meeting of Holders. The Paying Agent or Registrar may make reasonable rules for its functions. 

 

	SECTION 12.9.	LEGAL HOLIDAYS 

 Unless otherwise
provided as contemplated by Section 3.1 with respect to Securities of any series, in any case where any Interest Payment Date, Redemption Date, Maturity of any Security, Stated Maturity or any date on which a Holder has the right to convert his
Security, shall not be a Business Day at any Place of Payment, then (notwithstanding any other provision of this Indenture or of the Securities (other than a provision of any Security which specifically states that such provision shall apply in lieu
of this Section)) payment of interest or principal (and premium, if any), or conversion of such Security need not be made at such Place of Payment on such date, but may be made on the next succeeding Business Day at such Place of Payment with the
same force and effect as if made on the Interest Payment Date or Redemption Date, or at the Maturity or the Stated Maturity, or on such date for conversion, as the case may be and no interest shall accrue for the intervening period. 

 

	SECTION 12.10.	GOVERNING LAW 

 THIS INDENTURE
AND THE SECURITIES SHALL BE GOVERNED BY, AND CONSTRUED IN ACCORDANCE WITH, THE LAWS OF THE STATE OF NEW YORK, AS APPLIED TO CONTRACTS MADE AND PERFORMED WITHIN THE STATE OF NEW YORK, INCLUDING, WITHOUT LIMITATION, SECTIONS 5-1401 AND 5-1402 OF THE
NEW YORK GENERAL OBLIGATIONS LAW AND RULE 327(b) OF THE NEW YORK CIVIL PRACTICE LAWS AND RULES. 
  

	SECTION 12.11.	NO ADVERSE INTERPRETATION OF OTHER AGREEMENTS 

 This Indenture may not be used to interpret another indenture, loan or debt agreement of the Company or any of its Subsidiaries. Any such indenture, loan or debt agreement may not be used to interpret
this Indenture. 
  

	SECTION 12.12.	NO RECOURSE AGAINST OTHERS 

 No
direct or indirect stockholder, employee, officer or director, as such, past, present or future, of the Company, or any successor entity, shall have any personal liability in respect of the obligations of the Company under this Indenture or the
Securities solely by reason of his or its status as such stockholder, employee, officer or director. Each Holder by accepting a Security waives and releases all such liability. The waiver and release are part of the consideration for the issuance of
any Security. 

  
 56 

	SECTION 12.13.	SUCCESSORS 

 All agreements of
the Company in this Indenture and any Security shall bind its successor. All agreements of the Trustee in this Indenture shall bind its successor. 
  

	SECTION 12.14.	DUPLICATE ORIGINALS 

 All parties
may sign any number of copies or counterparts of this Indenture. Each signed copy or counterpart shall be an original, but all of them together shall represent the same agreement. 

 

	SECTION 12.15.	SEVERABILITY 

 In case any one or
more of the provisions in this Indenture or in any Security shall be held invalid, illegal or unenforceable, in any respect for any reason, the validity, legality and enforceability of any such provision in every other respect and of the remaining
provisions shall not in any way be affected or impaired thereby, it being intended that all of the provisions hereof shall be enforceable to the full extent permitted by law. 

 

	SECTION 12.16.	TABLE OF CONTENTS, HEADINGS, ETC. 

The Table of Contents, Cross-Reference Table and headings of the Articles and the Sections of this Indenture have been inserted for
convenience of reference only, are not to be considered a part hereof and shall in no way modify or restrict any of the terms or provisions hereof. 

  
 57 

 SIGNATURES 
 IN WITNESS WHEREOF, the parties hereto have caused this Indenture to be duly executed as of the date first written above. 

 

			
	MOHAWK INDUSTRIES, INC.
		
	By:	 	 
		 	 Name:

Title:

  

			
	
	
[                         
                                         
                  ],

	as Trustee 

  

			
		
	By:	 	 
		 	 Name:

Title:

  
 58Amended and Restated Development and Commercialization Agreement

 EXHIBIT 10.31 

CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN
THIS DOCUMENT, MARKED BY BRACKETS, IS 

FILED WITH THE SECURITIES AND EXCHANGE
COMMISSION PURSUANT TO RULE 24B-2 OF THE 
 SECURITIES EXCHANGE ACT OF 1934, AS AMENDED. 

AMENDED AND RESTATED DEVELOPMENT AND COMMERCIALIZATION 
 AGREEMENT 
 THIS AMENDED AND RESTATED DEVELOPMENT AND
COMMERCIALIZATION AGREEMENT (“Restated Agreement”), dated as of November 7, 2010 (“Restatement Effective Date”), is entered into between XenoPort, Inc., a Delaware corporation having its principal place of
business at 3410 Central Expressway, Santa Clara, CA 95051 (“XenoPort”) and Glaxo Group Limited, a company existing under the laws of England and Wales, having its registered office at Glaxo Wellcome House, Berkeley Avenue,
Greenford, Middlesex, UB6 0NN, England (“GSK”). As of the Restatement Effective Date, this Restated Agreement amends and restates the Development and Commercialization Agreement between XenoPort and GSK, dated as of February 7,
2007, as amended by that certain First Amendment to Development and Commercialization Agreement between XenoPort and GSK, dated as of May 4, 2007 (“First Amendment”), and as further amended by that certain Second Amendment to
Development and Commercialization Agreement between XenoPort and GSK, dated as of February 13, 2009 (“Second Amendment”) (together with the First Amendment and the Second Amendment, the “Original Agreement”).

 BACKGROUND 
 A. XenoPort has developed a Transported ProdrugTM of gabapentin (as further defined below, the “Product”) for the treatment of restless legs syndrome (“RLS”) and the
management of neuropathic pain (which includes post-herpetic neuralgia and diabetic peripheral neuropathy); 

B. The Parties (as hereinafter defined) previously entered into the Original Agreement, pursuant to which XenoPort
granted to GSK certain rights for the Product worldwide except for the Asian Territory (as hereinafter defined), and pursuant to which GSK and XenoPort were to co-develop and, in certain cases, co-commercialize the Product in the United States, all
in accordance with the Original Agreement; and 
 C. The Parties now desire to amend certain terms of the
Original Agreement to provide, among other matters, XenoPort the reversion of all rights for the development and commercialization of the Product in all countries other than the United States and the right to conduct and control activities relating
to the development of the Product for Other Indications (as hereinafter defined) in the United States, all on the terms and conditions set forth in this Restated Agreement; and to restate the Original Agreement in its entirety in this Restated
Agreement. 
 NOW, THEREFORE, in consideration of the foregoing premises and the mutual covenants herein
contained, and for other good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the Parties hereby agree as follows: 

 ARTICLE I 
 DEFINITIONS 
 As used in this Restated Agreement, the
following capitalized terms will have the meanings set forth in this Article 1 when used in this Restated Agreement. 
 1.1 “Affiliate” of a Party shall mean any Person that, directly or indirectly through one or more intermediaries, controls, is controlled by or is under common control with such Party, as
the case may be, for as long as such control exists. As used in this Section 1.1, “control” shall mean: (a) to possess, directly or indirectly, the power to direct the management and policies of such Person, whether
through ownership of voting securities or by contract relating to voting rights or corporate governance; or (b) direct or indirect beneficial ownership of at least fifty percent (50%) (or such lesser percentage that is the maximum allowed
to be owned by a foreign corporation in a particular jurisdiction) of the voting share capital in such Person. A “Controlled Affiliate” is an Affiliate that [... * ...]. 

1.2 “Agreement” shall mean the Original Agreement, as in effect from the Effective Date until the
Restatement Effective Date, together with the Restated Agreement, which pursuant to Section 20.1 below replaces the Original Agreement in its entirety as of the Restatement Effective Date. 

1.3 “Annual Net Sales” shall mean total Net Sales in the Territory in a particular calendar year.

 1.4 “Anti-Kickback Statute” means the Medicare and Medicaid Anti-Kickback Statute set forth
at 42 U.S.C. §1320a-7b(b). 
 1.5 “Applicable Commercial Practices Policies” means the
portions as identified by GSK of the Commercial Practices Policies of GSK applicable (and as applied generally to GSK’s own personnel) to the marketing, sale, promotion and detailing of pharmaceutical products, as amended or supplemented by GSK
from time to time, a copy of which will be delivered to XenoPort prior to XenoPort Co-Promoting and Detailing the Product in the United States and updated copies will thereafter be delivered to XenoPort as and when amended or supplemented.

 1.6 “Applicable Laws” means the applicable provisions of any and all national,
supranational, regional, state and local laws, treaties, statutes, rules, regulations, administrative codes, guidances, ordinances, judgments, decrees, directives, injunctions, orders, permits (including Marketing Approvals) of or from any court,
arbitrator, Regulatory Authority or governmental agency or authority having jurisdiction over or related to the subject item. 
  

 

	 *
	 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS
DOCUMENT, MARKED BY BRACKETS, IS FILED WITH THE SECURITIES AND EXCHANGE
COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934,
AS AMENDED 

  
 - 2 -

 1.7 “Asian Territory” shall mean Indonesia, Japan, Korea,
Philippines, Taiwan and Thailand. 
 1.8 “Astellas” shall mean Astellas Pharma Inc. and its
Affiliates, and any other Third Parties to whom Astellas or XenoPort has granted a right to sell, market, distribute and/or promote a Product in a country in the Asian Territory. To the extent Astellas’ rights in the Asian Territory terminate
and XenoPort grants rights to a Third Party, references herein to Astellas shall be deemed to reference such Third Party. 
 1.9 “Astellas Agreement” shall mean the Distribution and License Agreement, dated December 1, 2005, between XenoPort and Astellas, as amended and in effect from December 1, 2005
until October 31, 2009, together with the Amended and Restated Distribution and License Agreement, dated October 31, 2009, between XenoPort and Astellas. 

1.10 “Astellas Know-How” shall mean any scientific, medical, technical, marketing, regulatory and/or
other information, data and materials (including, preclinical data, clinical data, clinical pharmacology data and regulatory filings and approvals submitted or obtained, together with its supporting data and regulatory correspondence and rights to
reference the same) primarily relating to the Compound and/or any Product, which is Controlled by Astellas as of the Effective Date or during the Term; provided, however, that [... * ...]. 

1.11 “Call” shall mean a face-to-face meeting in an individual, hospital or group setting between a
Sales Representative and one or more members of the Target Audience. 
 1.12 “Change of
Control” shall mean either: (a) a sale of all or substantially all of the assets of a Party in one or a series of integrated transactions not in the ordinary course of business to a Third Party; or (b) the acquisition of a Party
by a Third Party by means of any transaction or series of related transactions to which such Party is a party (including, any stock acquisition, merger or consolidation). For clarity, a Change of Control would not include any transaction or series
of transactions in which the holders of voting securities of a Party outstanding immediately prior to such transaction continue to retain (either by such voting securities remaining outstanding or by such voting securities being converted into
voting securities of the surviving entity), as a result of shares in the Party held by such holders prior to such transaction, fifty percent (50%) or more of the total voting power represented by the voting securities of the acquiring entity
outstanding immediately after such transaction or series of transactions. 
 1.13 “Closing
Date” shall mean March 2, 2007. 
 1.14 “Commercially Reasonable Efforts” shall
mean that level of efforts and resources consistent with the usual practice followed by a Party in the exercise of reasonable business discretion relating to other pharmaceutical products owned by it or to which it has exclusive rights, which is of
similar market potential and at a similar stage in development or product life, taking into 
  

 

	 *
	 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS
DOCUMENT, MARKED BY BRACKETS, IS FILED WITH THE SECURITIES AND EXCHANGE
COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934,
AS AMENDED 

  
 - 3 -

 
account issues of patent coverage, safety and efficacy, product profile, the competitiveness of the marketplace, the proprietary position of the compound or product, the regulatory structure
involved, the profitability of the products (including, without limitation, pricing and reimbursement status achieved), and other relevant factors, including without limitation technical, legal, scientific, and/or medical factors. 

1.15 “Compound” shall mean that certain compound, referred to internally at XenoPort as XP13512, the
structure of which is set forth on Exhibit 1.15, and all esters, hydrates, metabolites [... * ...], salts, solvates, isomers and/or mixtures of isomers thereof. 

1.16 “Control” (including any variations such as “Controlled” and
“Controlling”), in the context of intellectual property rights of a Party, shall mean that such Party or its Controlled Affiliate owns or possesses rights to intellectual property sufficient to grant the applicable license under
this Agreement, without violating the terms of an agreement with a Third Party. 
 1.17
“Co-Promotion” (including any variations such as “Co-Promote”) shall mean those promotional and sales activities undertaken by a pharmaceutical company’s sales force in concert with at least one other
pharmaceutical company’s sales force in a single territory to implement the marketing and/or sales plans with respect to a particular prescription pharmaceutical product under the same trademark in such territory. 

1.18 “Data” shall mean any and all research data, pharmacology data, preclinical data, clinical data
and/or all regulatory documentation, information and submissions pertaining to, or made in association with, an IND, Marketing Approval Application, Marketing Approval or the like for the Product, in each case that are Controlled by a Party or its
Controlled Affiliates as of the Effective Date or during the Term. 
 1.19 “Data Package” for a
clinical trial shall mean the audited and statistically validated data tables, listings and figures from the applicable clinical trial, together with written summaries (including patient accountability, demographics, baseline characteristics and the
primary and second endpoints (including safety)) of the study outcomes of such clinical trial. 
 1.20
“Detail” (including any variations such as “Detailing”) shall mean that part of the activity undertaken by a Sales Representative during a Call whereby a Sales Representative, who has been trained with respect to
the Product in accordance with Section 5.4(c), makes a face-to-face presentation: (a) describing [... * ...] (b) which may also include [... * ...]; and (c) in accordance with the [... *
...]. [... * ...], shall not constitute a Detail. [... * ...] shall not constitute a Detail. [... * ...] As used herein, a [... * ...] in which [... * ...] (as consistent with
industry norms) [... * ...], and a [... * ...] in which [... * ...]  

1.21 [... * ...] shall mean: [... * ...]. 

 
  

	 *
	 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS
DOCUMENT, MARKED BY BRACKETS, IS FILED WITH THE SECURITIES AND EXCHANGE
COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934,
AS AMENDED 

  
 - 4 -

 1.22 “Effective Date” shall mean February 7, 2007, the
effective date of the Original Agreement. 
 1.23 “Existing Phase III Studies” shall mean
those certain Phase III clinical studies being conducted by XenoPort as of the Effective Date and described on Exhibit 4.3(a) as follows: (a) Study No. XP052, “Pivotal Study in RLS”; (b) Study No. XP053, “Pivotal
Study in RLS”; and (c) Study No. XP060, “Maintenance of Effect Study in RLS.” 
 1.24
“FDA” shall mean the United States Food and Drug Administration, or any successor entity thereto performing similar functions. 
 1.25 “FD&C Act” means the federal Food, Drug and Cosmetic Act, as amended, and the regulations promulgated thereunder from time to time. 

1.26 “Field” shall mean the diagnosis, palliation, treatment and/or prevention of any disease or health
condition in humans. 
 1.27 “Filing” of an NDA shall be deemed to occur on the date of receipt
of written notice of acceptance from the FDA in the United States of such NDA for substantive review. 
 1.28
“First Commercial Sale” shall mean, on a Product-by-Product basis, the first bona fide, arm’s length sale of a Product in the Territory following receipt of Marketing Approval of such Product in such country for use or
consumption by the general public of such Product in such country; provided that the First Commercial Sale of the Product in the Territory for a particular indication shall be deemed to occur upon the First Commercial Sale of a Product with labeling
for such indication. Sales of a Product for registration samples, compassionate use sales, named patient use, inter-company transfers to Affiliates of a Party and the like will not constitute a First Commercial Sale. 

1.29 “GSK Know-How” shall mean all scientific, medical, technical, marketing, regulatory and other
information primarily relating to the Product (including Data), which are Controlled by GSK or its Controlled Affiliates during the Term, that are needed by or reasonably useful to XenoPort in order for XenoPort to exercise its rights (including the
conduct of activities directed towards developing Products for commercialization outside the Territory and/or the commercialization of Products outside the Territory) or perform its obligations under this Agreement and the Astellas Agreement;
provided, however, that [... * ...]. 
 1.30 “GSK Trademarks” shall mean the
Trademarks Controlled by GSK or its Controlled Affiliates as of the Effective Date or during the Term, which are used with the Products in the Field in the Territory. 

 
  

	 *
	 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS
DOCUMENT, MARKED BY BRACKETS, IS FILED WITH THE SECURITIES AND EXCHANGE
COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934,
AS AMENDED 

  
 - 5 -

 1.31 “IND” shall mean any Investigational New Drug
Application (including any amendments thereto) filed with the FDA pursuant to 21 C.F.R. §321 before the commencement of clinical trials of a Product, or any comparable filings with any Regulatory Authority in any other jurisdiction.

 1.32 “Major Pharmaceutical Company” shall mean a company that is engaged in the business of
selling pharmaceutical products, whose revenues from such sales (on a consolidated basis in the last full fiscal year prior to the closing of any Change of Control) was in excess of [... * ...]. Any Affiliate of such company shall be
deemed to be a Major Pharmaceutical Company. 
 1.33 “Marketing Approval” shall mean all
approvals, licenses, registrations or authorizations of the Regulatory Authority in a country, necessary for the manufacture, use, storage, import, marketing and sale of a Product in such country. For countries where governmental or other similar
approval of pricing and/or reimbursement is required for marketing in such country, Marketing Approval shall not be deemed to occur until such pricing or reimbursement approval is obtained. Notwithstanding the foregoing, Marketing Approval shall be
deemed to have occurred for a particular indication for a Product in such jurisdiction upon the First Commercial Sale of such Product in such jurisdiction with labeling for such indication. 

1.34 “Marketing Approval Application” (or “MAA”) shall mean a NDA submitted to the FDA
in the United States or a corresponding application for Marketing Approval that has been submitted to a Regulatory Authority in any other country. 
 1.35 “NDA” shall mean a New Drug Application or supplemental New Drug Application as defined in Title 21 of the U.S. Code of Federal Regulations, Section 314.50, et seq., which is
filed with the FDA in order to gain the FDA’s approval to commercialize a pharmaceutical product in the United States for the indications set forth in the New Drug Application or supplemental New Drug Application. 

1.36 “Net Sales” shall mean the gross invoice price by GSK or its Affiliates or Sublicensees, as the
case may be, for all Products sold by GSK, its Affiliates or Sublicensees (“Selling Party”) under this Agreement in the Territory in arm’s length sales to Third Parties less the following deductions that are actually incurred,
allowed, paid, accrued or specifically allocated to the extent that such amounts are deducted from gross invoiced sales amounts as reported by the Selling Party in its financial statements in accordance with the International Financial Reporting
Standards (“IFRS”), applied on a consistent basis: 
 (a) trade, quantity and cash discounts
and allowances; 
 (b) credits, rebates and charge backs or equivalents thereof (including those to managed-care
entities, national, state/provincial, local and other governments, their agencies and purchasers, and to trade customers); 
  

 

	 *
	 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS
DOCUMENT, MARKED BY BRACKETS, IS FILED WITH THE SECURITIES AND EXCHANGE
COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934,
AS AMENDED 

  
 - 6 -

 (c) allowances or credits to customers on account of rejection or returns
(including wholesaler and retailer returns), retroactive price reductions affecting such Product or billing errors; 
 (d) freight, postage and duties, and transportation charges relating to such Product (including handling and insurance thereto) separately identified on the invoice or other documentation maintained in
the ordinary course of business; 
 (e) sales (such as value-added tax or its equivalent) and excise taxes,
other consumption taxes, customs duties and compulsory payments to governmental authorities and any other governmental charges imposed upon the sale of a Product to Third Parties; 

(f) commissions allowed or paid to Third Party wholesalers, or other similar Third Party distributors, in each case who
do not engage in marketing or promotion of the Product; 
 (g) [... * ...] bad debt reported
[... * ...] in which [... * ...] or [... * ...] or [... * ...] in which [... * ...]; and 
 (h) any other items actually deducted from (and therefore not included as) gross invoiced sales amounts in determining revenue, and not otherwise included as an item of income or the like, as reported by
a Selling Party in its financial statements in accordance with the IFRS, applied on a consistent basis. 
 Sales
between GSK and its Affiliates or Sublicensees for resale shall be excluded from the computation of Net Sales, and no payments will be payable on such sales except where such Affiliates or Sublicensees are end users. If a Product is sold or
transferred for consideration other than cash, the Net Sales from such sale or transfer shall be deemed the then fair market value of such Product. [... * ...] 

In the event that [... * ...] the Net Sales [... * ...] shall be [... * ...]
during the applicable reporting period [... * ...] in which [... * ...]. If [... * ...], then Net Sales for purposes of [... * ...] shall be [... * ...] on the [... * ...]
shall not [... * ...]. If [... * ...] as provided in this paragraph, the matter shall be resolved in accordance with Section 18.2 below. 

1.37 “Neuropathic Pain Indication” shall mean an indication for the Product involving [... *
...]. 
 1.38 “Other Indication(s)” shall mean any indication for the Product other than
RLS or PHN, but only to the extent [... * ...]. For clarity, [... * ...] shall be deemed an Other Indication. 
 1.39 “Party” shall mean XenoPort or GSK individually, and “Parties” shall mean XenoPort and GSK collectively. 
  
  

	 *
	 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS
DOCUMENT, MARKED BY BRACKETS, IS FILED WITH THE SECURITIES AND EXCHANGE
COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934,
AS AMENDED 

  
 - 7 -

 1.40 “Patent(s)” shall mean any patents and patent
applications, together with all additions, divisions, continuations, continuations-in-part, substitutions, reissues, re-examinations, extensions, registrations, patent term extensions, supplemental protection certificates and renewals of any of the
foregoing. 
 1.41 “PDMA” means the federal Prescription Drug Marketing Act of 1987, as
amended, and the regulations promulgated thereunder from time to time. 
 1.42 “Person” means
any individual, corporation, partnership, firm, association, joint venture, joint stock company, trust or other entity, or any government or regulatory administrative or political subdivision or agency, department or instrumentality thereof.

 1.43 “Phase I” shall mean a human clinical trial, the principal purpose of which is to
demonstrate safety, tolerability and pharmacokinetics of the Product in volunteer or patient subjects, as further described in 21 C.F.R. §312.21(a) (including, any such clinical study in any country other than the United States). 

1.44 “Phase III” shall mean a human clinical trial, the principal purpose of which is to establish
safety and efficacy of the Product in patients with the disease being studied, as further described in 21 C.F.R. §312.21(c) (including, any such clinical study in any country other than the United States), which is designed and intended to be
of a size and statistical power sufficient to serve as a pivotal study to support the filing of an MAA for the indication being studied. 
 1.45 “Phase IV” shall mean a human clinical trial conducted with respect to a Product: (a) after [... * ...]; (b) within the [... * ...]; and
(c) intended as [... * ...]. Phase IV studies may include, for example, [... * ...], and the like. Except [... * ...], Phase IV studies shall not include any human clinical trials: (i) [... *
...]; and/or (ii) from which [... * ...] for the purposes of: [... * ...] or [... * ...] provided that in the case of paragraph (ii), [... * ...]. 

1.46 “PhRMA Code” means the PhRMA Code on Interactions with Health Care Professionals, as amended.

 1.47 “Product” shall mean any pharmaceutical product containing the Compound, alone or in
combination with one or more other active pharmaceutical ingredients, in any dosage form or formulation. 
 1.48
“Promotional Materials” means all written, printed, video or graphic advertising, promotional, educational and communication materials [... * ...] for marketing, advertising, promotion and sale of the Product for use in
the United States (a) [... * ...]. 
 1.49 “Regulatory Authority” shall mean
the FDA, or a regulatory body with similar regulatory authority in any other jurisdiction. 
  

 

	 *
	 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS
DOCUMENT, MARKED BY BRACKETS, IS FILED WITH THE SECURITIES AND EXCHANGE
COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934,
AS AMENDED 

  
 - 8 -

 1.50 “Regulatory Filing” means all approvals, licenses,
registrations, submissions and authorizations made to or received from a Regulatory Authority in a country necessary for the development, manufacture and/or commercialization of a pharmaceutical product, including any INDs, Marketing Approval
Applications and Marketing Approvals. 
 1.51 “RLS Indication” shall mean an indication for the
Product involving RLS. 
 1.52 “ROW Licensee” shall mean any Third Party to whom XenoPort has
granted a right to sell, market, distribute and/or promote a Product in a country or countries outside the Territory after the Restatement Effective Date. 
 1.53 “Sales Representative” shall mean a professional pharmaceutical sales representative engaged or employed by either Party to conduct sales activities and other promotional efforts
with respect to the Product. 
 1.54 “Samples” shall mean individual physician sample units of
the Product. 
 1.55 “Sublicensee” shall mean a Third Party to whom GSK has granted a right to
sell, market, distribute and/or promote a Product in the Territory pursuant to Section 2.2 and “Sublicense” shall mean an agreement or arrangement between GSK and a Sublicensee granting such rights. As used in this Agreement,
“Sublicensee” shall not include a wholesaler or reseller of a Product who does not market or promote such Product. 
 1.56 “Target Audience” means those health care professionals legally permitted to prescribe the Product, or issue hospital orders for the Product, in each case in the United States, or
those other allied professionals that are part of the treatment team and who are recognized for this purpose in the Co-Promotion Plan. 
 1.57 “Territory” shall mean the United States. 

1.58 “Third Party” shall mean any Person other than XenoPort, GSK and their respective Affiliates.

 1.59 “Trademarks” means registered and unregistered trademarks, including words and logos,
and any applications for registrations thereof, and intellectual property rights residing in such trademarks, including copyrights and design rights. 
 1.60 “United States” or “U.S.” means the fifty (50) states of the United States of America and the District of Columbia and the territories of the United States of
America. 
 1.61 “XenoPort Know-How” shall mean, subject to Section 4.8(b)(iii), all
scientific, medical, technical, regulatory and other information primarily relating to the Compound and the Product (including the Data), which are Controlled by XenoPort or its Controlled Affiliates as of the 

 
  

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COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934,
AS AMENDED 

  
 - 9 -

 
Effective Date or during the Term, that were generated or utilized by XenoPort or its Controlled Affiliates in developing or producing the Product or are otherwise reasonably necessary for GSK to
exercise its rights or perform its obligations under this Agreement; provided, however, that [... * ...]. 
 1.62 “XenoPort Patents” shall mean: (a) the Patents Controlled by XenoPort or its Controlled Affiliates listed on Exhibit 1.62, together with all additions, divisions,
continuations, substitutions, re-issues, re-examinations, extensions, registrations, patent term extensions, supplemental protection certificates and renewals of any such Patents; and (b) all [... * ...], subject to
Section 4.8(b)(iii). 
 1.63 “XenoPort Trademarks” shall mean the Trademarks Controlled by
XenoPort or its Controlled Affiliates and reflected in Exhibit 1.63 hereto, the applications for which have been filed in the name of XenoPort, or another mutually agreed Trademark Controlled by XenoPort or its Affiliates, in each case
for use with the Products in the Field in the Territory. 
 1.64 Additional Definitions. Each of the
following terms shall have the meaning described in the corresponding section of this Agreement indicated below: 

 

  

			
	 Term
	  	 Section

Defined

	 Acquired Party
	  	 9.1(c)

	 [... * ...]
	  	 Exhibit 6.5

	 [... * ...]
	  	 4.4(a)(ii)

	 Additional Post-Approval Trial
	  	 4.4(c)

	 [... * ...]
	  	 5.2(e)

	 Aggregate Loss Carry Forward
	  	 6.5(d)

	 Alliance Manager
	  	 3.7

	 Auditor
	  	 7.4(a) / 7.4(b)

	 Clinical Materials
	  	 10.3(a)

	 [... * ...]
	  	 1.36

	 Commercialization Party
	  	 12.7(a)

	 Commercialization Plan
	  	 5.1(b)

	 Committee
	  	 3.4(a)

	 [... * ...]
	  	 6.2(c)(i)

	 Competitive Compound
	  	 12.3(a)

	 [... * ...]
	  	 6.2(c)(ii)

	 Confidential Information
	  	 11.1

	 Continuing Party
	  	 9.1(c)

	 Controlled Affiliate
	  	 1.1

	 Cooperating Party
	  	 11.5

	 Co-Promotion Agreement
	  	 5.5

  

			
	 Term
	  	 Section

Defined

	 Co-Promotion
 Commencement Date
	  	 5.2(a)

	 Co-Promotion
 Commencement Date Notice
	  	 5.2(a)

	 Co-Promotion Option
	  	 5.2(a)

	 Co-Promotion Plan
	  	 5.2(b)

	 Co-Promotion Year
	  	 5.2(d)(i)

	 [... * ...]
	  	 Exhibit 6.5

	 Damages
	  	 12.4

	 Development Plan
	  	 4.1(a)

	 [... * ...]
	  	 6.2(c)(iii) /
 6.2(c)(iv)

	 [... * ...]
	  	 4.4(e)

	 Dispute
	  	 18.1

	 [... * ...]
	  	 1.37

	 [... * ...]
	  	 3.6

	 Executive Steering
 Committee / ESC
	  	 3.1(a)

	 First Amendment
	  	 Introduction

	 First Profitable Quarter
	  	 6.5(d)

	 Generic Competition
	  	 6.4(c)

	 Generic Product
	  	 6.4(c)

 
 

  
  

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AS AMENDED 

  
 - 10 -

			
	 Term
	  	 Section

Defined

	 GSK
	  	 Introduction

	 GSK Indemnitees
	  	 17.2

	 [... * ...]
	  	 4.8(b)(iii)

	 GSK Operating Expenses
	  	 6.5(c)

	 GSK Prosecuted XP Patents
	  	 12.2(a)

	 IFRS
	  	 1.36

	 [... * ...]
	  	 12.1

	 [... * ...]
	  	 12.1

	 Indemnitee
	  	 17.3

	 Indemnitor
	  	 17.3

	 Independent Trial
	  	 2.4(a)

	 Independent Trial Notice
	  	 2.4(a)

	 [... * ...]
	  	 Exhibit 5

	 Infringement
	  	 12.3(a)

	 Infringement Actions
	  	 12.4

	 Initial Clinical Studies and Activities
	  	 4.3(a)

	 [... * ...]
	  	 6.2(c)(v)

	 JAMS
	  	 18.2

	 Joint Commercialization
 Committee / JCC
	  	 3.3(a)

	 Joint Development Committee / JDC
	  	 3.2(a)

	 Joint P&L
	  	 6.5(c)

	 [... * ...]
	  	 6.2(c)(vi)

	 Liabilities
	  	 17.1

	 [... * ...]
	  	 Exhibit 6.5

	 [... * ...]
	  	 5.2(d)(ii)

	 [... * ...]
	  	 5.2(e)

	 New Technology Election Notice
	  	 12.7(a)

	 [... * ...]
	  	 2.4(a)

	 Operating Profit or Loss
	  	 Exhibit 6.5

	 Operating Profits/Loss Percentage
	  	 6.5(c)

	 Option Exercise Date
	  	 5.2(a)

	 Original Agreement
	  	 Introduction

	 Other Indication NDAs
	  	 4.6(b)

	 Other Indication Regulatory Filings
	  	 4.6(a)(ii)

	 [... * ...]
	  	 Exhibit 6.5

	 Parties
	  	 1.39

	 Payment Report
	  	 6.3(b)

	 Personnel
	  	 5.4(h)

			
	 Term
	  	 Section

Defined

	 Pharmacovigilance Agreement
	  	 4.12(c)

	 [... * ...]
	  	 1.37

	 [... * ...]
	  	 4.4(a)(i)

	 [... * ...]
	  	 6.2(c)(vii)

	 Pre-Co-Promotion Period
	  	 5.2(a)

	 [... * ...]
	  	 1.20

	 Product
	  	 Background

	 Product Materials
	  	 15.2(g)

	 Prosecute and Maintain
	  	 12.2(a)

	 Prosecution and Maintenance
	  	 12.2(a)

	 Requesting Party
	  	 11.5

	 Responsible Party
	  	 4.7(c)

	 Restated Agreement
	  	 Introduction

	 Restatement Effective Date
	  	 Introduction

	 RLS
	  	 Background

	 [... * ...]
	  	 Exhibit 6.5

	 Second Amendment
	  	 Introduction

	 [... * ...]
	  	 1.20

	 Selling Party
	  	 1.36

	 [... * ...]
	  	 3.6

	 Specifications
	  	 10.3(e)

	 Subcommittee
	  	 3.1(c)

	 Sublicense
	  	 1.55

	 Sublicensing Party
	  	 12.7

	 [... * ...]
	  	 14.1

	 Third Party Claim
	  	 17.1

	 [... * ...]
	  	 4.8(b)(iii)

	 Third Party Royalties
	  	 6.4(a)

	 Third Party Technology
	  	 12.7

	 [... * ...]
	  	 10.3(a)

	 [... * ...]
	  	 1.37

	 [... * ...]
	  	 2.4(b)

	 Wind-down Period
	  	 15.2(a)(ii)

	 Withdrawal Notice
	  	 3.4(b)

	 [... * ...]
	  	 6.2(c)(viii)

	 XenoPort
	  	 Introduction

	 XenoPort House Marks
	  	 13.3

	 XenoPort Indemnitees
	  	 17.1

	 XenoPort Operating Expenses
	  	 6.5(c)

	 [... * ...]
	  	 12.2(b)

 
 

  
  

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DOCUMENT, MARKED BY BRACKETS, IS FILED WITH THE SECURITIES AND EXCHANGE
COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934,
AS AMENDED 

  
 - 11 -

  

			
	 Term
	  	 Section

Defined

	 XenoPort Trademarks Option
	  	 13.2

 

 
 

  
 ARTICLE II

 GRANT OF LICENSE 
 2.1 License; Reversion. 
 (a) License. Subject to
the terms and conditions of this Agreement, XenoPort hereby grants to GSK an exclusive license, with the right to grant sublicenses as provided in Section 2.2, under the XenoPort Patents and XenoPort Know-How to develop, use, make, have made,
offer for sale, sell, import, market, distribute and promote the Compound and Products, in each case solely in the Field in the Territory. In addition, XenoPort hereby grants to GSK a non-exclusive license, with the right to sublicense as provided
in Section 2.2, under the XenoPort Patents and XenoPort Know-How to make and have made the Compound and Products in countries outside the Territory, other than the Asian Territory, solely for commercialization, sale and/or use of the Product
within the Territory in the Field. The rights and licenses granted to GSK in the first sentence of this Section 2.1(a) shall be exclusive even as to XenoPort, except that XenoPort retains the right: (i) [... * ...] or,
[... * ...]; (ii) [... * ...]; and (iii) [... * ...]. 
 (b)
Reversion of Rights. It is understood that as of the Effective Date, XenoPort granted to GSK certain licenses and rights to develop and commercialize the Compound and all Products in all countries worldwide except for the Asian Territory
under the Original Agreement. As of the Restatement Effective Date, except as expressly provided in Section 2.1(a) above, all licenses and rights granted by XenoPort to GSK under the Original Agreement (including the licenses and rights granted
by XenoPort to GSK pursuant to Sections 2.1 and 2.2 of the Original Agreement) with respect to the Compound and all Products in all countries other than the United States shall terminate immediately and all such licenses and rights with respect to
the Compound and Product shall revert back to XenoPort. In connection with such termination and reversion, the provisions set forth in Exhibit 2.1 attached to this Agreement are hereby incorporated by reference and shall be deemed to be
part of the body of this Agreement as if such provisions were set forth herein in their entirety. 
  

 

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AS AMENDED 

  
 - 12 -

 2.2 Sublicensees. 

(a) GSK shall have the right to sublicense its rights under this Agreement: (i) in the Territory to its Affiliates;
and (ii) to Third Parties to permit such Third Parties to provide services to and on behalf of GSK relating to the manufacturing or development of the Product; in each case of (i) and (ii), without the consent of XenoPort. GSK may
sublicense its rights as provided in this Section 2.2(a) to such Affiliates solely for so long as such Person remains an Affiliate. 
 (b) Except as otherwise provided in Section 2.2(a), GSK may engage Sublicensees and grant Sublicenses in the Territory [... * ...]. To the extent [... * ...]. In addition,
[... * ...]. Promptly following the execution of each Sublicense as provided in this Section 2.2(b), [... * ...]. 
 2.3 Activities Outside the Territory. 
 (a) GSK agrees that
neither it, nor any of its Controlled Affiliates, will sell or provide the Compound or the Products to any Third Party if GSK or its relevant Controlled Affiliate knows, or has reason to believe, that the Compound and/or the Products, as the case
may be, sold or provided to such Third Party would be sold or transferred, directly or indirectly, for use outside the Territory. 
 (b) XenoPort agrees that it and its Affiliates will not, and that it will use Commercially Reasonable Efforts to exercise its rights under any agreements with Astellas (including the Astellas Agreement)
and any ROW Licensees to cause Astellas and such ROW Licensee(s) not to, sell or provide the Compound or the Product to any Third Party if XenoPort, its relevant Affiliate or Astellas or such ROW Licensee knows, or has reason to believe, that the
Compound and/or the Products, as the case may be, sold or provided to such Third Party would be sold or transferred, directly or indirectly, for use in the Territory; provided, however, that nothing in this Agreement (including this
Section 2.3(b)) shall be deemed [... * ...] 
 (c) Subject to [... * ...] with
respect to [... * ...], XenoPort agrees to keep GSK reasonably informed through the JDC of [... * ...] directed to [... * ...] to the extent XenoPort [... * ...]. 

 

	 2.4
	 Independent Trials. 

 (a) If XenoPort, Astellas and/or any ROW Licensee proposes to conduct a human clinical trial with respect to a Product [... * ...] that is directed to [... * ...] (an
“Independent Trial”), then XenoPort shall [... * ...] to the initiation of such Independent Trial (such notice, an “Independent Trial Notice”) and provide to GSK, together with such Independent Trial
Notice [... * ...] for such Independent Trial. If GSK [... * ...], then GSK may [... * ...]. If GSK delivers to XenoPort such [... * ...], XenoPort, Astellas or such ROW Licensee (respectively)
shall [... * ...]. For clarity, it is understood that [... * ...] shall not apply with respect to [... * ...]. 
  

 

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DOCUMENT, MARKED BY BRACKETS, IS FILED WITH THE SECURITIES AND EXCHANGE
COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934,
AS AMENDED 

  
 - 13 -

 (b) Notwithstanding the foregoing, it is understood and agreed that
[... * ...] shall not apply with respect to any clinical trial to be conducted [... * ...] by XenoPort or [... * ...]. Nonetheless, XenoPort represents to GSK that XenoPort [... * ...]. Subject to
the first sentence of this Section 2.4(b), XenoPort agrees to [... * ...] or the [... * ...]. 
 2.5 No Other Rights. Except for the rights and licenses expressly granted in this Agreement, XenoPort retains all rights under its intellectual property, and no additional rights shall be deemed
granted to GSK by implication, estoppel or otherwise. For clarity, the licenses and rights granted in this Agreement shall not be construed to convey any licenses or rights under the XenoPort Patents with respect to any active pharmaceutical
ingredient other than the Compound. 
 ARTICLE III 

GOVERNANCE 
 3.1 Executive Steering Committee. 
 (a)
Establishment. Within thirty (30) days following the Closing Date, XenoPort and GSK shall establish an Executive Steering Committee (“Executive Steering Committee” or “ESC”) to oversee, review and
coordinate the activities of the Parties under this Agreement, including, the development of the Product for registration, and the marketing, commercialization and distribution of Products, in the Field in the Territory, as set forth in and subject
to the provisions of this Article 3. 
 (b) Duties. The ESC shall: 

(i) Review and approve material changes to the Development Plan; 

(ii) Review and, in the event XenoPort has exercised the Co-Promotion Option as provided in Section 5.2(a), approve
material changes to the Commercialization Plan for the United States; 
 (iii) Intentionally Omitted;

 (iv) Provide a forum for the Parties to exchange information and coordinate their respective activities with
respect to matters pertaining to the development, manufacture, marketing and distribution of the Products for the Territory, and matters pertaining to Regulatory Filings for the Product in the Territory; 

(v) Provide a forum for resolving matters to be decided by the JDC or JCC under this Agreement; 

 
  

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 - 14 -

 (vi) Provide a forum to review with XenoPort decisions by GSK regarding
material development, regulatory, manufacturing and commercial matters pertaining to the Product for the Territory that are not decided by the JDC or the JCC; and 

(vii) Perform such other duties as are specifically assigned to the ESC in this Agreement. 

(c) Subcommittees. From time to time, the ESC may establish subcommittees to oversee particular projects or
activities within the scope of authority of the ESC, as it deems necessary or advisable (each, a “Subcommittee”). Each Subcommittee shall consist of such number of representatives of each Party as the ESC determines is appropriate
from time to time. Each Subcommittee shall meet with such frequency as the ESC shall determine. Each Subcommittee shall operate by unanimous vote in all decisions, with each Party having one (1) vote and with at least one (1)
representative from each Party participating in such vote. If, with respect to a matter that is subject to a Subcommittee’s decision-making authority, the Subcommittee cannot reach unanimity, the matter shall be referred to the ESC, which shall
resolve such matter in accordance with Section 3.6. 
 3.2 Joint Development Committee. 

(a) Establishment. Within thirty (30) days following the Closing Date, GSK and XenoPort shall establish a
joint development committee (“Joint Development Committee” or “JDC”) to plan, oversee and coordinate the conduct of the development activities for the Product in the Territory, as set forth in and subject to the
provisions of this Article 3. 
 (b) Duties. The JDC shall: 

(i) Subject to oversight by the ESC, determine the Development Plan in accordance with Section 4.1; 

(ii) Subject to and within the parameters of the Development Plan: 

(A) Oversee the implementation of the Development Plan, allocate responsibilities to each Party in connection with
executing the Development Plan and review each Party’s execution of its responsibilities under the Development Plan (including review of the clinical trials conducted by each Party pursuant to the Development Plan); and 

(B) Approve certain regulatory matters as provided in Section 4.7 below; 

(iii) Present any proposed revisions or amendments to the Development Plan, and the results of development efforts, to
the ESC as needed, but no less frequently than once each calendar half-year; 
  

 

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 - 15 -

 (iv) Determine [... * ...]; 

(v) Oversee XenoPort’s conduct of the Initial Clinical Studies and Activities and XenoPort’s development
activities for the Product for any Other Indication in the Territory; and 
 (vi) Perform such other duties as
are specifically assigned to the JDC in this Agreement or delegated to the JDC by the ESC. 
 3.3 Joint
Commercialization Committee. 
 (a) Establishment. From and after the Restatement Effective Date, GSK
and XenoPort shall maintain a joint commercialization committee (“Joint Commercialization Committee” or “JCC”) to oversee the conduct of the commercialization, marketing and Co-Promotion activities for Products in
the United States. 
 (b) Duties. The JCC shall: 

(i) Subject to oversight by the ESC, review and approve the Commercialization Plan for the United States developed by
GSK in accordance with Section 5.1(b); 
 (ii) Review and approve the Co-Promotion Plan developed in
accordance with Sections 5.2(b) and 5.2(c); and 
 (iii) Perform such other duties as are specifically assigned
to the JCC in this Agreement or delegated to the JCC by the ESC. 
 3.4 Committee Membership. 

(a) Membership. Subject to Section 3.4(b), the ESC, JDC and JCC (each, a “Committee”) shall
each be composed of an equal number of representatives from each of GSK and XenoPort, selected by such Party. Unless the Parties otherwise agree, the exact number of representatives for each of GSK and XenoPort shall be: (a) with respect to the
ESC, subject to Section 3.4(b), two (2) representatives, at least one (1) of whom shall be [... * ...], or a delegate of such [... * ...] (or representative of [... * ...]; provided that such
delegate shall [... * ...]; and (b) with respect to the JDC and the JCC, three (3) representatives, at least one (1) of whom shall [... * ...], or a delegate of such [... * ...] (or
representative of [... * ...]); provided that such delegate shall be [... * ...]. Either Party may replace its respective Committee representatives at any time with prior written notice to the other Party; provided that the
criteria for composition of each Committee set forth in the preceding sentence continues to be satisfied following any such replacement of a Party’s representative on any such Committee. Each Committee will be chaired by a GSK representative
and GSK may, from time to time and in its sole discretion, change the representative who serves as the chairperson on any Committee with prior written notice to XenoPort. 

 
  

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 - 16 -

 (b) Withdrawal from Committees. At any time during the Term and for
any reason, XenoPort shall have the right to withdraw from participation in the Committees upon written notice to GSK, which notice shall be effective immediately upon receipt (“Withdrawal Notice”). Following the issuance of a
Withdrawal Notice and subject to this Section 3.4(b), XenoPort’s representatives to the Committees shall not participate in any meetings of the Committees, nor shall XenoPort have any right to vote on decisions within the authority of the
Committees. If, at any time, following the issuance of a Withdrawal Notice, XenoPort wishes to resume participation in the Committees, XenoPort shall notify GSK in writing and, thereafter, XenoPort’s representatives to the Committees shall be
entitled to attend any subsequent meeting of the Committees and to participate in the activities of, and decision-making by, the Committees as provided in this Article 3 as if a Withdrawal Notice had not been issued by XenoPort pursuant to this
Section 3.4(b). Following XenoPort’s issuance of a Withdrawal Notice pursuant to this Section 3.4(b), unless and until XenoPort resumes participation in the Committees in accordance with this Section 3.4(b): (i) all meetings
of the Committees shall be held at GSK’s facilities; (ii) GSK shall have the right to make the final decision on all matters within the scope of authority of the Committees [... * ...]; (iii) XenoPort shall have the right
to continue to receive the minutes of Committee meetings, but shall not have the right to approve the minutes for any Committee meeting held after XenoPort’s issuance of a Withdrawal Notice. 

3.5 Committee Meetings. The ESC shall meet at least once each calendar half-year, or more or less often as
otherwise agreed to by the Parties. The JDC and, from and after such time as is appropriate, the JCC shall meet at least once each calendar quarter, or more or less often as otherwise agreed to by the Parties. All Committee meetings may be conducted
by telephone, video-conference or in person as determined by the applicable Committee; provided, however, that each Committee shall meet in person at least twice each calendar year, unless the Parties mutually agree to meet by alternative means.
Unless otherwise agreed by the Parties, all in-person meetings for each Committee shall be held on an alternating basis between XenoPort’s facilities and GSK’s facilities. Each Party shall bear its own personnel and travel costs and
expenses relating to Committee meetings. With the consent of the Parties (not to be unreasonably withheld or delayed), other employee representatives of the Parties may attend any Committee meeting as non-voting observers. Minutes of each Committee
meeting will be prepared by the chairperson and distributed to the members of the applicable Committee for review and comment within twenty (20) days after each meeting of the applicable Committee, and will be approved as the first order of
business at the immediately succeeding Committee meeting. 
 3.6 Decision-Making. Subject to
Section 3.4(b), decisions of each Committee shall be [... * ...]. In the event the JDC or the JCC [... * ...] with respect to a particular matter within its authority, then upon request by either Party, such matter
shall be referred to the ESC for resolution. In the event that the ESC [... * ...] with respect to a particular matter [... * ...] as requested by [... * ...]. The Parties’ [... * ...] to
resolve such matter; provided, however that with respect to [... * ...]. If, [... * ...] are unable to resolve such matter [... * ...]  

 
  

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 - 17 -

 (a) Subject to [... * ...], the [... * ...] and
(ii) subject to sub-clause (i) of clause (b) below, [... * ...]; and 
 (b) the
[... * ...] and (ii) any matter to the extent such matter relates to any issue to be decided by the ESC [... * ...]. For clarity, [... * ...]. 

In each case, [... * ...]. [... * ...]. Notwithstanding the foregoing, [... * ...] under
clause (a) or (b) above in a manner [... * ...]. 
 3.7 Alliance Managers. Within
thirty (30) days following the Closing Date, each Party shall appoint a representative (“Alliance Manager”) to facilitate communications between the Parties (including coordinating the exchange of Data and Know-How of each
Party as required under this Agreement) and to act as a liaison between the Parties with respect to such other matters as the Parties may mutually agree in order to maximize the efficiency of the collaboration. Each Party may replace its Alliance
Manager with an alternative representative satisfying the requirements of this Section 3.7 at any time with prior written notice to the other Party. 
 3.8 Scope of Governance. Notwithstanding the creation of the ESC, JDC and JCC, each Party shall retain the rights, powers and discretion granted to it hereunder, and no Committee shall be delegated
or vested with rights, powers or discretion unless such delegation or vesting is expressly provided herein, or the Parties expressly so agree in writing. No Committee shall have the power to amend or modify this Agreement, and no decision of any
Committee shall be in contravention of any terms and conditions of this Agreement. It is understood and agreed that issues to be formally decided by the ESC, JDC and JCC, as applicable, are only those specific issues that are expressly provided in
this Agreement to be decided by the ESC, JDC and JCC, as applicable. For clarity but in any event [... * ...], it is understood that the ESC, JDC and JCC shall not have authority over activities of XenoPort that are directed to the
development and/or commercialization of the Compound or Products for use outside the Territory or that are conducted pursuant to an agreement with Astellas or an ROW Licensee. 
 ARTICLE IV 
 DEVELOPMENT AND REGULATORY ACTIVITIES 

4.1 Development Plans. 
 (a) Initial Development Plan. An initial development plan for the collaboration as of the Effective Date is attached to this Agreement as Exhibit 4.1 (“Development
Plan”) and sets out separately the development activities to be conducted by each Party under this Agreement. Within [... * ...] the Closing Date, the JDC shall review and finalize the details of the Development Plan, which
shall be consistent with the Development Plan in Exhibit 4.1. 
  

 

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 - 18 -

 (b) Scope of Development Plan Following Restatement Effective Date.
From and after the Restatement Effective Date, the Development Plan will reflect: (i) [... * ...]; and (ii) [... * ...]. 
 (c) Changes to a Development Plan. The JDC shall review the Development Plan on an ongoing basis, and in no event less frequently than [... * ...]. The JDC may propose to the ESC
revisions to the then-current Development Plan; provided, however, the [... * ...]. 
 (d)
Conduct of Activities. Each Party shall conduct those activities allocated to such Party under the Development Plan [... * ...]. On and from the Restatement Effective Date, each Party shall also use Commercially Reasonable
Efforts to comply [... * ...] in conducting activities allocated to it hereunder, [... * ...]; provided that, in any event, XenoPort’s obligations under this Section 4.1(d) [... * ...] shall be
limited to the extent that [... * ...]. 
 4.2 Development Activities of GSK. 

(a) Conduct of Development Activities. Except as provided in Sections 4.3 and 4.4 below, GSK shall, at its
expense, use Commercially Reasonable Efforts to carry out all clinical development and other activities required to obtain Marketing Approvals for the Product in the Territory. GSK shall carry out all such activities for the RLS Indications and the
Undifferentiated PHN Indications in accordance with the then-current Development Plan and the provisions of this Agreement. For the avoidance of doubt and with the exception of providing Clinical Materials as provided in Section 10.3 below,
neither GSK nor any of its Affiliates shall have any obligation under this Agreement to carry out any development activities required to obtain Marketing Approvals for the Product with respect to any Other Indications. 

(b) Diligence. Except as provided in Sections 4.3, 4.4(b) and 4.4(e) below, GSK shall use Commercially
Reasonable Efforts to achieve the goals of the then-current Development Plan in accordance with the timelines specified therein and to realize the commercial opportunity for the Product in other indications. 

4.3 Development Activities of XenoPort. 

(a) Existing Phase III Studies; Initial Clinical Studies and Activities. Except as otherwise mutually agreed,
XenoPort shall, at its expense and with oversight by the JDC, continue to conduct the Existing Phase III Studies and those other clinical studies and activities listed on Exhibit 4.3(a) to this Agreement (collectively, the
“Initial Clinical Studies and Activities”). XenoPort shall make reasonable modifications to the protocols for such Initial Clinical Studies and Activities, as requested by GSK from time to time; provided, however, that [... *
...]. Notwithstanding the foregoing, [... * ...] Existing Phase III Study [... * ...] of such modifications. In addition, XenoPort shall [... * ...] the Initial Clinical Studies and Activities but
excluding the Existing Phase III Studies, [... * ...]. 
  

 

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 (b) Diligence. XenoPort shall use Commercially Reasonable Efforts to
conduct and complete the Initial Clinical Studies and Activities in order to achieve the goals of the then-current Development Plan in accordance with the timelines specified therein. 

4.4 PHN; Other Indications. 

(a) PHN. 
 (i) GSK shall [... * ...]; provided that [... * ...]. Notwithstanding the foregoing, [... * ...]. 

(ii) Notwithstanding Section 4.4(a)(i) above, if: (A) [... * ...] prior to granting Marketing
Approval for the Product for PHN in the United States, or (B) [... * ...], then, [... * ...]. It is understood that, [... * ...]. 

(b) Other Indications. From and after the Restatement Effective Date, XenoPort shall have the right to conduct, at
its expense with oversight of the JDC and pursuant to the Development Plan, any further development and other activities required to obtain Marketing Approvals in the Territory for a Product with respect to any Other Indication(s); provided,
however, that [... * ...]. [... * ...] 
 (c) Certain Additional Post-Approval
Trials. Notwithstanding Section 4.4(b) above, [... * ...] the conduct of any clinical and/or preclinical studies after Marketing Approval of the Product in the United States for PHN or an Other Indication (such as preclinical
studies to establish pediatric dosing and the like) (each, an “Additional Post-Approval Trial”), then the Development Plan shall be amended accordingly pursuant to Section 4.1(c) above and, as between the Parties, GSK shall be
responsible for the conduct of such trials and studies, in accordance with the Development Plan; provided that [... * ...]. 
 (d) Costs of [... * ...] Additional Post-Approval Trials. Notwithstanding [... * ...] Additional Post-Approval Trials shall be [... * ...]
incurred by the Parties in connection with any [... * ...]; provided that [... * ...]. 
 (e) Differentiated Profile Trials. It is understood that XenoPort shall have the right, at its option and expense, to conduct clinical trial(s) directed to establishing a Differentiated Profile for
a Neuropathic Pain Indication. Notwithstanding the foregoing, [... * ...] XenoPort shall [... * ...]. In such case, [... * ...]. For clarity, it is understood that [... * ...]. 

4.5 Change in Formulation. Before [... * ...], GSK shall discuss the proposed [... *
...] with XenoPort at the ESC and [... * ...]. Subject to the foregoing, XenoPort agrees that GSK may [... * ...] that were so discussed [... * ...] by the ESC. 

 
  

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 4.6 Regulatory Matters. 

(a) Assignment of Regulatory Filings. 

(i) At a reasonable time [... * ...], XenoPort shall assign or cause to be assigned to GSK all Regulatory
Filings for the Compound in the Territory; provided, however, that, [... * ...] XenoPort shall maintain [... * ...]. Notwithstanding the foregoing, it is understood that XenoPort may [... * ...] and/or
[... * ...] provided that, [... * ...] For such purposes, [... * ...] at which XenoPort [... * ...]. 
 (ii) Notwithstanding Section 4.6(a)(i) above, at a reasonable time after the Restatement Effective Date, but in any case no later than [... * ...], GSK shall assign (or cause to be
assigned) any and all INDs and/or other Regulatory Filings pertaining to the Product for any Other Indication filed by GSK, or any of its Affiliates or Sublicensees in the Territory (together with any Regulatory Filings filed, or authorized to be
filed, by XenoPort in the Territory with respect to Other Indications collectively, the “Other Indication Regulatory Filings”); provided, however, [... * ...]; and provided further, that [... * ...].
Further, it is understood that, following the Restatement Effective Date: (A) XenoPort may file (or authorize the filing of) additional INDs and other Regulatory Filings to conduct the clinical trials and other activities pertaining to the
Product for any Other Indication set out in the then-current Development Plan, or that XenoPort is otherwise permitted to conduct pursuant to Section 4.4(b) or 2.1(a); and (B) without limiting the last sentence of this
Section 4.6(a)(ii), Section 4.6(b) or Section 4.9 below, GSK shall not be obligated to file (or authorize the filing of) additional INDs or other Regulatory Filings to support the clinical trials and other activities described in the
preceding clause (A). Notwithstanding the foregoing and without limiting Section 4.9 below, GSK shall cooperate with and assist XenoPort (or its designee) and shall take those actions reasonably necessary to allow XenoPort to conduct
clinical trials and other activities in the Territory [... * ...]. 
 (iii) Except to the extent
required or, if agreed to by the Parties [... * ...] useful, for XenoPort to continue to conduct development activities for Other Indications [... * ...], upon GSK’s written request, XenoPort shall assign (or cause to
be assigned) to GSK the Regulatory Filings with respect to an Other Indication in the Territory in connection with the filing of an NDA for the Product for such Other Indication in the Territory in accordance with Section 4.6(b) below.

 (b) Responsibility for Regulatory Filings. Except for [... * ...] or [... *
...], GSK shall be responsible, [... * ...] for publishing, submitting, obtaining, and maintaining all Regulatory Filings (including any Other Indication NDAs for each Other Indication [... * ...]) for the Compound
and Products in the Territory. Notwithstanding the foregoing sentence, [... * ...] for such Other Indication and with respect to any Regulatory Filings or activities [... * ...]. XenoPort shall be responsible for [...
* ...] of each NDA for Other Indications (collectively, the “Other Indication NDAs”) in accordance with [... * ...]. In addition, XenoPort shall be responsible for: [... * ...]. It is understood that
GSK shall have the right to [... * ...], and to file in GSK’s name each Other Indication NDA. After such Other Indication NDA is filed, [... * ...] with respect to such 

 
  

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Other Indication NDA and [... * ...] Other Indication and [... * ...] in the Territory. GSK [... * ...]. [... * ...]. 

4.7 Regulatory Cooperation. [... * ...], GSK shall be responsible for liaising with and managing all
interactions with Regulatory Authorities in the Territory, including with respect to all Regulatory Filings for Product in the Territory, other than [... * ...], and XenoPort shall be entitled to participate in such interactions as
provided in Section 4.7(a) below. With respect to [... * ...], XenoPort shall [... * ...]; provided that [... * ...]. 

(a) Involvement of XenoPort. With respect to those interactions with the Regulatory Authorities in the Territory
[... * ...], and to the extent relating to the Product within the Territory, GSK shall provide XenoPort with: 
 (i) reasonable advanced notice [... * ...] of substantive meetings with [... * ...], that are either scheduled with, or initiated by or under the authority of, GSK or its
Affiliates; 
 (ii) an opportunity to have [... * ...] representatives attend, and [... *
...], all substantive meetings with [... * ...]; and in any case, GSK shall keep the JDC informed as to all material interactions with Regulatory Authorities in the Territory; and 

(iii) a copy of any material documents, information and correspondence submitted to a [... * ...] relating
to Regulatory Filings for the Product in the Territory as soon as reasonably practicable. 
 The JDC shall
approve the overall strategy and positioning of all [... * ...] Regulatory Filings with such [... * ...], based upon reasonably detailed reports and summaries of such submissions and filings presented to the JDC by
GSK. In connection with such review, [... * ...] 
 (b) Involvement by GSK. With respect to
the Regulatory Filings in the Territory maintained by XenoPort under Section 4.6(a), Regulatory Filings relating to the trials permitted to be conducted by XenoPort in the Territory under Section 2.1(a) and Section 4.4 above and any
regulatory matters (including regulatory strategy) within the Territory as described in Section 4.6(b) for which XenoPort is the lead party, XenoPort shall provide GSK with: 

(i) reasonable advanced notice [... * ...] of substantive meetings with a [... * ...] that are
either scheduled with, or initiated by or under the authority of, XenoPort or its Affiliates relating to such Regulatory Filings; 
 (ii) an opportunity to have [... * ...] representatives attend, and [... * ...], all substantive meetings with such [... * ...] relating to such Regulatory Filings;
and in any case, XenoPort shall keep the JDC informed as to all material interactions with such Regulatory Authority relating to such Regulatory Filings in the Territory; and 

 
  

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 (iii) a copy of any material documents, information and correspondence
submitted to such [... * ...] relating to such Regulatory Filings in the Territory as soon as reasonably practicable. 
 (c) Cooperation and Assistance. With respect to those interactions with Regulatory Authorities in the Territory for which a Party (the “Responsible Party”) is primarily
responsible, the other Party will provide reasonable cooperation and assistance to the Responsible Party in the event that the Responsible Party must respond to questions from Regulatory Authorities in the Territory concerning development activities
conducted by or on behalf of the other Party with the Compound or Product. 
 (d) Other Regulatory
Matters. Each Party will promptly provide the other Party with copies of all material documents, information and correspondence received from a Regulatory Authority (including a written summary of any material communications in which such other
Party did not participate) within the Territory and, upon reasonable request, with copies of any other documents, reports and communications from or to any Regulatory Authority within the Territory relating to the Compound, the Product and/or
activities under this Agreement. 
 4.8 Exchange of Data and Know-How. 

(a) By XenoPort. Promptly following the Closing Date, XenoPort will make available to GSK, at no cost or expense
to GSK, all XenoPort Know-How that is necessary, or materially useful, for GSK to develop and/or commercialize the Compound and Products in the Territory, including all Data from any and all clinical trials (including the Initial Clinical Studies
and Activities) and preclinical studies and non-clinical development work for the Compound and Products that have been obtained by XenoPort as of the Effective Date. 

(b) By Either Party. 
 (i) During the Term, each Party shall provide to the other Party all such Party’s Know-How (i.e., in case of XenoPort, XenoPort Know-How, and in the case of GSK, all GSK Know-How) and that has not
previously been provided hereunder, in each case promptly upon request by the other Party. The Party providing such Party’s Know-How shall provide the same in electronic form to the extent the same exists in electronic form, and shall provide
copies as reasonably requested and an opportunity for the other Party or its designee to inspect (and copy) all other materials comprising such Know-How (including for example, original patient report forms and other original source data). The
Parties will cooperate and reasonably agree upon formats and procedures to facilitate the orderly and efficient exchange of the XenoPort Know-How and the GSK Know-How. 

(ii) [... * ...]; provided that [... * ...] or [... * ...] For the avoidance of
doubt, [... * ...]. Accordingly, and consistent with the proviso in the first sentence of this Section 4.8(b)(ii), XenoPort shall [... * ...]. 

 
  

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 (iii) [... * ...], XenoPort may [... * ...] in
accordance with this Section 4.8(b)(iii). [... * ...]; provided that [... * ...]. If requested, [... * ...]. Except as provided in this Section 4.8(b)(iii), [... * ...]. For clarity, it
is understood that [... * ...]. 
 (c) Provision of Data to JDC. Upon request by the JDC,
each Party shall promptly provide the JDC with summaries in reasonable detail of all Data generated or obtained in the course of such Party’s performance of activities under a Development Plan. 

4.9 Sharing of Regulatory Filings. Without limiting Section 4.8 above, each Party shall permit the other to
access, and shall provide the other Party with sufficient rights to reference and use in association with exercising its rights and performing its obligations under this Agreement [... * ...], all of such Party’s, and its
Affiliates’ (and, to the extent it has the right to do so, its Sublicensees’), Data, Regulatory Filings and regulatory communications associated with any submissions of MAAs or other approvals for the Product in the Territory. Without
limiting the foregoing, each Party shall permit the other to access and shall provide such other Party with sufficient rights to reference and use, in support of MAAs filed and Marketing Approvals received by or on behalf of the other Party, any
Regulatory Filings relating to the Compound or a Product in the Territory and/or, upon the other Party’s request, shall obtain from a Regulatory Authority any certificate or other documentation (including, a Certificate of Pharmaceutical
Product) that may be requested or required by a Regulatory Authority for such purposes. Notwithstanding the foregoing, and excluding any Regulatory Filings made available to XenoPort pursuant to Section 2.1(b) and Exhibit 2.1, GSK shall be
obligated to [... * ...]  
 4.10 Inspection Right. 

(a) Inspection by Astellas or ROW Licensee. 

(i) To the extent any Regulatory Authority [... * ...] requests an audit of the clinical trial sites and/or
manufacturing sites in the Territory [... * ...], GSK shall permit such Regulatory Authority and XenoPort [... * ...] to enter the relevant clinical trial sites and, if applicable, manufacturing sites of GSK and its
Affiliates during normal business hours and upon reasonable advance notice to inspect and verify compliance with applicable regulatory requirements. GSK shall, at XenoPort’s expense, provide reasonable assistance for a full and correct carrying
out of the inspection. Such inspection shall not relieve GSK of any of its obligations under this Agreement. 

(ii) Diligence. GSK shall use Commercially Reasonable Efforts to secure the rights set forth in
Section 4.10(a)(i) from GSK’s Sublicensees, trial sites and other contractors for the Product. In the event GSK is unable to secure such inspection rights from any of its Sublicensees, trial sites or contractors, GSK agrees to secure such
rights for itself and, [... * ...] GSK shall exercise such rights [... * ...] and fully report the results thereof to XenoPort and as applicable, Astellas and such ROW Licensee. 

 
  

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 (b) Inspection by GSK. 

(i) To the extent any Regulatory Authority [... * ...] requests an audit of the clinical trial sites and/or
manufacturing sites outside the Territory [... * ...], XenoPort shall permit such Regulatory Authority to enter the relevant clinical trial sites and, if applicable, manufacturing sites of XenoPort and its Affiliates during normal
business hours and upon reasonable advance notice to inspect and verify compliance with applicable regulatory requirements. XenoPort shall, at GSK’s expense, provide reasonable assistance for a full and correct carrying out of the inspection.
Such inspection shall not relieve XenoPort of any of its obligations under this Agreement. 
 (ii)
Diligence. XenoPort shall use Commercially Reasonable Efforts to secure the rights set forth in Section 4.10(b)(i) from ROW Licensees, trial sites and other contractors for the Product. In the event XenoPort is unable to secure such
inspection rights from any of its ROW Licensees, trial sites or contractors, XenoPort agrees to secure such rights for itself and, [... * ...] XenoPort shall exercise such rights [... * ...] and fully report the results
thereof to GSK. 
 4.11 Clinical Trial Register. Notwithstanding anything in this Agreement to the
contrary, including Article XI, GSK shall have the right to publish in its clinical trial register the results or summaries of the results of all clinical trials for the Compound and Products conducted: (a) by either Party in the Territory
pursuant to this Agreement (including any clinical trials conducted by XenoPort to support an application for Marketing Approval in the Territory for the Product for an Other Indication); and (b) by [... * ...] provided, however,
that [... * ...]. The Parties will discuss the process for [... * ...]. Further, notwithstanding anything in this Agreement to contrary, including Article XI, each Party shall have the right to submit and publish
information pertaining to any clinical trials involving the Product as necessary to meet such Party’s obligations under Applicable Law as the sponsor of such clinical trials, including publication of any such clinical studies and the results
thereof on clinicaltrials.gov (or any substitute website established by the FDA or another Regulatory Authority for similar purposes). 
 4.12 Reporting. 
 (a) Initial Pharmacovigilance
Agreement. The Parties acknowledge that certain Safety Data Exchange Agreement, dated May 30, 2007, by and between the Parties, which was entered into pursuant to the terms of Section 4.12(a) of the Original Agreement, and that such
Agreement expired by its terms upon the transfer of all INDs relating to the Compound and the Products from XenoPort to GSK pursuant to Section 4.6(a)(i). 
 (b) Adverse Event Reporting. Effective as of the Restatement Effective Date, as between the Parties: (i) XenoPort shall be responsible for [... * ...] (ii) GSK shall continue
to be responsible for [... * ...] and (iii) GSK shall be responsible for [... * ...]. For the purposes of clarity only, GSK shall be responsible for [... * ...]. 

 
  

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 (c) Pharmacovigilance Agreement. Within ninety (90) days after
the Restatement Effective Date, the Parties shall enter into a pharmacovigilance agreement (the “Pharmacovigilance Agreement”) on terms no less stringent than those required by ICH guidelines, including: (i) providing detailed
procedures regarding the maintenance of core safety information and the exchange of safety data relating to the Compound and the Products within and outside the Territory within appropriate timeframes and in an appropriate format to enable each
Party to meet both its expedited and periodic regulatory reporting requirements; and (ii) ensuring compliance with the reporting requirements of all applicable Regulatory Authorities where XenoPort expects to conduct development activities for
the Product as set forth in Section 4.4 (or other development activities in the Territory pursuant to Section 2.1(a)) for the reporting of safety data in accordance with standards stipulated in the Applicable Law (including FDA and ICH
Guidelines), and all applicable regulatory and legal requirements regarding the management of safety data. Upon request by either Party from time to time, the Parties shall reasonably amend such Pharmacovigilance Agreement to comply with any such
Applicable law, including such regulatory and legal requirements. 
 (d) Global Safety Database. GSK
shall maintain the global safety database with respect to the Product [... * ...] The Parties agree to [... * ...] enable GSK to maintain such global safety database for [... * ...]. 

ARTICLE V 

COMMERCIALIZATION AND PROMOTION 
 5.1 GSK Commercialization of Product. 
 (a) GSK’s
Responsibility. Except as provided below, GSK shall have sole responsibility for the commercialization, distribution, marketing and promotion of the Products in the Field in the Territory. Further, regardless of whether XenoPort exercises the
Co-Promotion Option as provided in Section 5.2 below, during the Term, GSK will have the exclusive right and responsibility in the Territory for the following: 

(i) establishing pricing and reimbursement for Product; 

(ii) managed care contracting for Product; 

(iii) receiving, accepting and filling orders for Product from customers; 

(iv) distributing Product to customers; 

(v) controlling invoicing, order processing and collecting accounts receivable for sales of Product; and 

(vi) recording sales of Product in the Territory in its books of account for sales. 

 
  

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 (b) Commercialization Plan. At least [... * ...], GSK
shall prepare [... * ...] a plan setting forth the strategic plan for the marketing, promotion and commercialization of the Products in [... * ...], which plan shall be in reasonable scope and detail (the
“Commercialization Plan”); provided, however, that the [... * ...]; provided further that [... * ...] with respect thereto, [... * ...]. The Commercialization Plan (and any revisions thereto)
shall be presented by GSK to the ESC or the JCC [... * ...], as applicable. The ESC and the JCC [... * ...] shall review and revise the Commercialization Plan on an ongoing basis, and in no event less frequently than once
each calendar year. Subject to Section 5.2, GSK shall carry out all marketing, promotion and commercialization of the Products in the Territory in accordance with the then-current Commercialization Plan and the provisions of this Agreement.

 5.2 Co-Promotion Option of XenoPort. 

(a) Exercise of Co-Promotion Option. The Parties acknowledge that on April 13, 2009 (the
“Option Exercise Date”), XenoPort exercised its non-sublicensable option to Co-Promote the Product with GSK in the United States (“Co-Promotion Option”) in accordance with the terms and conditions of this
Article 5. Accordingly, XenoPort will have an exclusive right to Co-Promote and Detail the Product with GSK in the United States until [... * ...]. Notwithstanding the foregoing, XenoPort shall have a period of three (3) years
from the date of GSK’s receipt of the first
(1st) Marketing Approval for the Product in the
Territory for the RLS Indication (the “Pre-Co-Promotion Period”) to commence the Co-Promotion and Detailing of the Product with GSK in the Territory as provided herein. XenoPort shall notify GSK in writing [... * ...]
(such written notice, the “Co-Promotion Commencement Date Notice” and such date, the “Co-Promotion Commencement Date”), which Co-Promotion Commencement Date must be prior to the expiration of the Pre- Co-Promotion
Period. In the event that XenoPort does not provide written notice to GSK of the Co-Promotion Commencement Date as provided in this Section 5.2(a) or if XenoPort does not - commence the Co-Promotion and Detailing of the Product in the Territory
as provided herein by the Co-Promotion Commencement Date, XenoPort will have no right to Co-Promote or Detail the Product with GSK in the United States, and GSK will have no further obligation with respect to the Co-Promotion Option. 

(b) Co-Promotion Plan. The Parties acknowledge that, as XenoPort has exercised its Co-Promotion Option on the
Option Exercise Date, [... * ...] consistent with the Commercialization Plan for the United States (“Co-Promotion Plan”),which set out in reasonable detail: (i) [... * ...] in connection with the
Co-Promotion [... * ...] (ii) [... * ...] (iii) [... * ...] and (iv) [... * ...] 
 (c) Changes to the Co-Promotion Plan. After the approval of the initial Co-Promotion Plan, the JCC shall review and amend if necessary the Co-Promotion Plan on an ongoing basis and in no event less
frequently than [... * ...]. 
 (d) Sales Efforts. 

 
  

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 (i) During each Co-Promotion Year, the Parties shall each use Commercially
Reasonable Efforts to Co-Promote and Detail the Product in the United States pursuant to the terms and conditions hereof and the then-current Co-Promotion Plan. The JCC will agree upon and monitor each Party’s Co-Promotion and Detailing
activities for each Co-Promotion Year. “Co-Promotion Year” shall mean, for the calendar year in which the Parties are first engaged in Co-Promotion, the portion of the calendar year remaining after (and including) the Co-Promotion
Commencement Date, and shall mean the relevant January 1 through December 31 calendar year, or pro rata portion thereof, for all subsequent calendar years until the expiration or earlier termination of XenoPort’s right to Co-Promote
the Product as provided herein. 
 (ii) During any Co-Promotion Year, XenoPort shall use Commercially
Reasonable Efforts to [... * ...] the Co-Promotion Plan approved by the JCC [... * ...]. 
 (iii) The Co-Promotion Plan approved by the JCC for each Co-Promotion Year shall: (A) specify [... * ...] to be provided [... * ...] the number of Sales Representatives
[... * ...] (B) [... * ...] in a manner that ensures [... * ...] to be provided [... * ...] and (C) to the extent [... * ...] Sales Representatives that [... *
...]. 
 (e) Sales Efforts of XenoPort. In the event that XenoPort provides a Co-Promotion
Commencement Date Notice to GSK as provided in Section 5.2(a), then together with such Co-Promotion Commencement Date Notice, XenoPort shall notify GSK of the number of Sales Representatives that XenoPort elects to deploy from and after the
Co-Promotion Commencement Date for the Product, provided that [... * ...]. Promptly after the Co-Promotion Commencement Date, XenoPort will [... * ...] of Sales Representatives that XenoPort so elects; provided that upon
written request to GSK by XenoPort, it may take [... * ...] of Sales Representatives to provide Details of the Product in accordance with the Co-Promotion Plan. XenoPort shall, as requested by GSK, within [... * ...]
provided that, subject to [... * ...] Sales Representatives that XenoPort deploys [... * ...]. In the event that XenoPort desires to increase the number of XenoPort Sales Representatives who Detail and Co-Promote Product
[... * ...] in accordance with the Co-Promotion Plan, [... * ...] Co-Promoting and Detailing the Product as provided herein [... * ...]. In the event that GSK does not agree to using such Additional Sales
Representatives in the Co-Promotion and Detailing of the Product, XenoPort will [... * ...]. 
 (f)
Costs of Co-Promotion. The Parties acknowledge that because XenoPort has exercised its Co-Promotion Option on the Option Exercise Date as provided in Section 5.2(a), then as of the Option Exercise Date and continuing until [... *
...], the Parties shall [... * ...], notwithstanding that the Co-Promotion Commencement Date did not occur as of the Option Exercise Date or Restatement Effective Date and may not occur prior to the First Commercial Sale. If
XenoPort commences the Co-Promotion and Detailing of the Product by the Co-Promotion Commencement Date, GSK shall [... * ...] in accordance with the Co-Promotion Plan [... * ...]. Such [... * ...]. 

 
  

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 (g) Co-Promotion Coordination. GSK shall be responsible for
developing the strategies and programs to carry out the Co-Promotion activities, including the assignment of sales activities in accordance with the Commercialization Plan for the United States and Co-Promotion Plan. 

5.3 [Intentionally Omitted.] 
 5.4 XenoPort Sales Representatives. 
 (a)
Qualifications. All XenoPort Sales Representatives Co-Promoting and Detailing Product shall be required to have comparable educational qualifications and experience as GSK requires for its own Sales Representatives. Such XenoPort Sales
Representatives shall be subject to a reasonable proficiency examination relevant to the Product in the same manner as GSK’s Sales Representatives. 
 (b) No Contract Sales Force. XenoPort shall not be permitted to use a contract sales force to fulfill its Co-Promotion and Detailing responsibilities with respect to the Product under this
Agreement. 
 (c) Training. GSK shall provide the same sales training on the Product for XenoPort Sales
Representatives who will be Co-Promoting and Detailing the Product as the training on the Product that GSK provides to its own Sales Representatives who promote and Detail the Product in the United States. XenoPort shall be responsible for causing
its Sales Representatives to attend and successfully complete the GSK training program prior to such Sales Representatives Co-Promoting and Detailing Product in the United States. The Parties acknowledge and agree that in order for a XenoPort Sales
Representative to be deemed to have successfully completed the training, such XenoPort Sales Representative must demonstrate thorough knowledge of the medical and technical aspects of the Product and the Applicable Commercial Practices Policies and
must achieve scores on certifications for the Product at similar rates to those required for GSK sales representatives who are Co-Promoting and Detailing the Product. XenoPort Sales Representatives will be entitled to attend those sections of
national and regional sales or plan of action meetings for GSK Sales Representatives, except [... * ...]. The costs of such sales training for XenoPort Sales Representatives for the Product and attendance at meetings shall be included
as a Marketing Expense; provided, however, that each Party shall [... * ...]. 
 (d) Timing.
XenoPort and GSK shall cooperate to have the XenoPort Sales Representatives hired and trained as provided in this Agreement [... * ...]. 
 (e) Compensation and Bonus System for Sales Representatives. The Parties acknowledge that in order to attract and retain professional Sales Representatives, there may be a degree of discrepancy
between the compensation and bonus incentive structure for GSK’s Sales Representatives and the compensation and bonus incentive structure for XenoPort’s Sales Representatives. To ensure consistency of efforts between the Sales
Representatives of the Parties, 
  
  

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	 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS
DOCUMENT, MARKED BY BRACKETS, IS FILED WITH THE SECURITIES AND EXCHANGE
COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934,
AS AMENDED 

  
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each Party agrees that in designing such Party’s compensation and bonus incentive structure, each Party will give due consideration to the effect that such Party’s compensation and
bonus structure may have on the other Party’s sales force, provided however, that [... * ...]. 
 (f) XenoPort Salaries and Wages. XenoPort acknowledges and agrees that it will be solely responsible for paying all salaries, wages, benefits and other compensation that its employees, including
XenoPort Sales Representatives, may be entitled to receive in connection with providing services under this Agreement. 
 (g) Support. Except as otherwise agreed, XenoPort shall be solely responsible for providing its own equipment, automobiles, offices and fixtures, working facilities, and such other facilities,
services and support as may be required for XenoPort Sales Representatives Co-Promoting and Detailing Product as provided in this Agreement and pursuant to the Co-Promotion Plan. 

(h) No Employment by GSK. For the avoidance of doubt, XenoPort Sales Representatives will not be, and will not be
considered or deemed to be, employees of GSK for any purpose. GSK is engaging XenoPort hereunder, and XenoPort will perform its obligations hereunder, strictly as an “independent contractor.” Sales Representatives and any other employee or
agent that is involved in performing XenoPort’s obligations under this Agreement (collectively, “Personnel”) will not be, and will not be considered or deemed to be, employees of GSK for any purpose. GSK will not have any
responsibility for the hiring, termination, compensation, benefits or other conditions of employment or engagement of the Personnel of XenoPort. 
 (i) GSK Benefit Plans. Personnel of XenoPort are not eligible to participate in any benefit programs offered by GSK to its employees, or in any pension plans, profit sharing plans, insurance plans
or any other employee benefit plans offered from time to time by GSK to its employees. XenoPort acknowledges and agrees that GSK does not, and will not, maintain or procure any workers’ compensation or unemployment compensation insurance for or
on behalf of the XenoPort’s employees, including, without limitation, XenoPort Sales Representatives. 

(j) Management of Sales Representatives. XenoPort will be responsible for supervising its Sales Representatives.
In connection therewith, at all times that XenoPort is Co-Promoting and Detailing the Product, XenoPort will provide a sufficient number of full time employees to serve as district managers. XenoPort may, but will not be obligated to, designate one
(1) or more full time employees to serve as regional directors having the responsibility for supervising a group of its district managers in a particular geographic region of the United States. XenoPort will provide GSK with contact information
for its district managers and regional directors, and will update that information periodically or as requested by GSK from time to time. XenoPort acknowledges and agrees that it will comply with this Section 5.4 in the hiring and employment of
all district managers and regional directors, and that the provisions in this Section 5.4 will apply to all such district managers and regional directors. 
  

 

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	 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS
DOCUMENT, MARKED BY BRACKETS, IS FILED WITH THE SECURITIES AND EXCHANGE
COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934,
AS AMENDED 

  
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 5.5 Co-Promotion Agreement. Promptly following GSK’s receipt of
the Co-Promotion Commencement Date Notice from XenoPort in accordance with Section 5.2(a), for the purposes of permitting GSK to comply with its obligations under Applicable Law, GSK and XenoPort shall enter into a co-promotion agreement
setting out such obligations of XenoPort, including with respect to the activities of its Sales Representatives, in the Co-Promotion and Detailing of the Product and containing terms substantially similar to the terms set out on
Exhibit 5 and which is consistent with the terms and conditions of this Agreement (“Co-Promotion Agreement”). Notwithstanding the foregoing, the obligations imposed on XenoPort, including with respect to the activities
of its Sales Representatives, in the Co-Promotion and Detailing of the Product, including the terms of the Co-Promotion Agreement to be executed by GSK and XenoPort as provided in this Section 5.5, shall be [... * ...]. It is
understood that XenoPort may continue to exercise its rights under this Article 5 pending completion of such Co-Promotion Agreement, provided however, that [... * ...]. 

5.6 Promotional Materials. 

(a) Subject to Article XIII, GSK will own all right, title and interest in and to all Promotional Materials during and
after the Term, including any intellectual property rights (including Trademarks) in the Promotional Materials other than the XenoPort Trademarks. 
 (b) The determination of the content of the Promotional Materials shall be the sole responsibility of GSK. The quantity and method of distribution of the Promotional Materials in the United States for the
XenoPort Sales Representatives shall be as set forth in the Co-Promotion Plan. 
 (c) With respect to the
Co-Promotion of the Product in the Territory, XenoPort will cause its Sales Representatives to utilize only the Promotional Materials relating to Product provided to them by GSK, and will not utilize any other promotional, advertising, educational
or communication materials or other materials relating to or referring to the Product. XenoPort Sales Representatives will conduct only those promotional and other sales activities in the Territory relating to the Product that have been approved in
advance in accordance with the Co-Promotion Plan. XenoPort Sales Representatives shall not modify, change or alter the Promotional Materials provided by GSK in any way whatsoever, without the express prior written consent of GSK. XenoPort Sales
Representatives shall use such Promotional Materials solely for the purpose of performing their obligations under this Agreement. 
 5.7 Reports and Audit Rights. 
 (a) XenoPort will keep
accurate records in sufficient detail of the XenoPort’s Sales Representatives’ Detailing activities relating to the Product to determine the amounts owed by GSK to XenoPort hereunder. XenoPort shall keep such records regarding such Sales
Representatives’ Detailing activities during the period during which XenoPort is Co-Promoting the Product and for a period of [... * ...]. 
  

 

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	 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS
DOCUMENT, MARKED BY BRACKETS, IS FILED WITH THE SECURITIES AND EXCHANGE
COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934,
AS AMENDED 

  
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 (b) During normal business hours and with not less than [... *
...] advance written notice to XenoPort, XenoPort will permit GSK or its authorized representatives to (i) have access to the records of XenoPort Sales Representative Detailing activities maintained by XenoPort for purposes of verifying
the accuracy of the invoices presented by XenoPort hereunder, and (ii) audit such records; provided, however that [... * ...]. Any and all audits undertaken by GSK pursuant to this Section shall be performed [... *
...]. 
 5.8 Reimbursement. Within [... * ...], XenoPort shall submit to GSK a report
containing an accounting of the Sales Representatives deployed by XenoPort in Co-Promoting and Detailing the Product in the United States and [... * ...]. Such reimbursements shall be made to XenoPort [... * ...]. The
amount of such reimbursement shall be as specified in Section 5.2(f). 
 5.9 XenoPort and GSK Right to
Terminate.  
 (a) XenoPort Termination Right. After XenoPort has exercised the Co-Promotion Option,
XenoPort shall have the right to terminate its Co-Promotion of the Product and the sharing of Operating Profit or Loss under Section 6.5 below, upon [... * ...]. 

(b) GSK Termination Right. 

(i) As to the Product. After XenoPort has commenced its Detailing of the Product, GSK shall have the right to
terminate XenoPort’s right to Co-Promote and Detail the Product: (A) [... * ...] in accordance with the Co-Promotion Plan) [... * ...] and/or (B) [... * ...]. 

(ii) [Intentionally Omitted.] 
 (iii) Sole Remedy. GSK’s rights under this Section 5.9(b) to terminate XenoPort’s right to Co-Promote and Detail the Product shall be GSK’s sole remedy with respect to
[... * ...]. In addition, termination of the Co-Promotion Agreement by GSK for XenoPort’s material breach of such agreement will not constitute grounds for GSK to terminate this Agreement pursuant to Section 14.2. 

(c) Intentionally Omitted. 
 (d) Mutual Termination. The Parties may mutually agree to terminate XenoPort’s right to Co-Promote and Detail the Product, respectively, at any time. 

(e) Consequences of Termination of Product. Upon termination of XenoPort’s right to Co-Promote the Product
pursuant to Section 5.9(a), Section 5.9(b)(i), Section 5.9(d) or Section 9.1(a): (i) XenoPort shall [... * ...] (ii) [... * ...] with respect to the Product [... * ...] in
accordance with [... * ...] in accordance with [... * ...] and (iii) XenoPort shall [... * ...] with respect to Product [... * ...]. 
  
  

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	 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS
DOCUMENT, MARKED BY BRACKETS, IS FILED WITH THE SECURITIES AND EXCHANGE
COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934,
AS AMENDED 

  
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 ARTICLE VI 
 PAYMENTS 
 6.1 Initial License Fee. GSK shall pay to
XenoPort an initial license fee in the amount of Seventy Five Million Dollars ($75,000,000) within five (5) days following the Closing Date in accordance with the payment provisions of Article 7. The initial license fee set forth in this
Section shall not be refundable or creditable against any future milestone payments, royalties or other payments by GSK to XenoPort under this Agreement. 
 6.2 Milestone Payments. 
 (a) Milestone Payments. In
addition, GSK shall pay to XenoPort the milestone payments set out below following the first achievement by a Party, or, in the case of GSK, any of its Affiliates or Sublicensees, of the corresponding milestone set out below, in accordance with this
Section 6.2 and the payment provisions in Article 7: 
  

					
	 Milestone Event
	  	Milestone Payment	 
		
	 [... * ...]
	  	$	10,000,000	  
		
	 [... * ...]
	  	$	11,000,000	  
		
	 [... * ...]
	  	$	11,000,000	  
		
	 [... * ...]
	  	$	8,000,000	  
		
	 [... * ...]
	  	$	25,000,000	  
		
	 [... * ...]
	  	$	10,000,000	  
		
	 [... * ...]
	  	$	10,000,000	  
		
	 [... * ...]
	  	$	30,000,000	  
		
	 [... * ...]
	  	 	[... * ...]	  
		
	 [... * ...]
	  	 	[... * ...]	  
		
	 [... * ...]
	  	$	5,000,000	  
		
	 [... * ...]
	  	 	[... * ...]	  
		
	 [... * ...]
	  	 	[... * ...]	  

  

 

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	 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS
DOCUMENT, MARKED BY BRACKETS, IS FILED WITH THE SECURITIES AND EXCHANGE
COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934,
AS AMENDED 

  
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	 Milestone Event
	  	Milestone Payment	 
		
	 [... * ...]
	  	 	[... * ...]	  
		
	 [... * ...]
	  	$	10,000,000	  
		
	 [... * ...]
	  	 	[... * ...]	  
		
	 [... * ...]
	  	 	[... * ...]	  
		
	 [... * ...]
	  	 	[... * ...]	  
		
	 [... * ...]
	  	 	[... * ...]	  
		
	 [... * ...]
	  	 	[... * ...]	  
		
	 [... * ...]
	  	 	[... * ...]	  
		
	 [... * ...]
	  	 	[... * ...]	  

 (b) Certain Terms Regarding Milestone Payments. 

(i) If the first achievement of [... * ...] achievement of [... * ...] shall be [... *
...]. In addition: (A) if the first achievement of [... * ...] shall not [... * ...] achievement of [... * ...] to achievement of [... * ...] Section 6.2 [... * ...]
achievement of [... * ...] shall not [... * ...]. 
 (ii) Subject to
Section 6.2(b)(i), if, upon the [... * ...] set out in Section 6.2(a), the amount corresponding [... * ...] as described in Section 6.2(a)[... * ...]. In addition, if, upon the [... *
...] as described in Section 6.2(a) [... * ...]. 
 (c) Definitions. For
the purposes of the milestone payments due under Section 6.2(a): 
 (i) [... * ...]:
(A) any of the following, [... * ...] in the context of [... * ...] as applicable: [... * ...] mutually agreed by the Parties; provided that, [... * ...] of the [... * ...] as
applicable, and [... * ...] of such [... * ...] and in the event [... * ...] other than [... * ...] this Section 6.2, [... * ...] until the Parties mutually agree [... *
...]. 
 (ii) [... * ...] as provided in [... * ...] shall be [... *
...] of the [... * ...] together with [... * ...]. 
  

 

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	 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS
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COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934,
AS AMENDED 

  
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 (iii) [... * ...] as to [... * ...] above, the
achievement of [... * ...] against which [... * ...] in the [... * ...] and/or [... * ...] that is [... * ...] than such [... * ...]. 

(iv) [... * ...] as to [... * ...] above, receipt [... * ...] the Product
[... * ...] that would [... * ...] that is [... * ...] than such [... * ...]. 
 (v) [... * ...] shall mean [... * ...]. 

(vi) [... * ...] as required by the protocol for such trial, by the [... * ...] in such
[... * ...]. 
 (vii) [... * ...] as provided in [... * ...] above,
shall mean achievement of [... * ...] the Product [... * ...] and/or [... * ...] than such [... * ...] for which [... * ...] by the Parties and will be included in the Development
Plan. 
 (viii) [... * ...] as provided in [... * ...] above, shall mean [... *
...] the Product [... * ...] of the [... * ...]. 
 (d) Reports and
Payments. Except as described below, GSK shall notify XenoPort in writing promptly, but [... * ...] the achievement of [... * ...] provided that, [... * ...] Any milestone payable by GSK pursuant to this
Section 6.2 shall be made no more than once with respect to the achievement of each milestone set out in Section 6.2(a) by GSK, its Affiliates or Sublicensees, and in no event shall the aggregate amount to be paid by GSK under this
Section 6.2 exceed Six Hundred and Two Million Five Hundred Thousand Dollars ($602,500,000.00). For clarity, in no event shall the aggregate amount to be paid by GSK [... * ...]. For the avoidance of doubt, the milestone
payments set forth in this Section 6.2 shall not be refundable and shall not be creditable against future milestone payments, royalties or other payments to XenoPort under this Agreement. 

6.3 Royalty Payments. 
 (a) U.S. Royalty Rate. Subject to the terms and conditions of this Agreement (including Section 6.4), in further consideration of the rights granted to GSK under this Agreement, GSK shall pay
to XenoPort royalties at the rate(s) set out below on Annual Net Sales of Products in the United States in the event that XenoPort shall not elect the Co-Promotion Option in the United States or in the event that XenoPort’s rights to Co-Promote
the Product are terminated for any reason: 
  

			
	 Annual Net Sales of Product in the United States
	  	Royalty Rate
		
	 [... * ...]
	  	[... * ...]
		
	 [... * ...]
	  	[... * ...]

 
  

	 *
	 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS
DOCUMENT, MARKED BY BRACKETS, IS FILED WITH THE SECURITIES AND EXCHANGE
COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934,
AS AMENDED 

  
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	 Annual Net Sales of Product in the United States
	  	Royalty Rate
		
	 [... * ...]
	  	[... * ...]

 (b) Reports and Royalty Payment. Within [... * ...], GSK shall send
to XenoPort a written report with respect to the preceding calendar quarter, stating the gross invoiced sales for Product, a top-line summary of the deductions specified in Section 1.36 taken from gross sales and the Net Sales in the Territory
during such calendar quarter in United States dollars (each, a “Payment Report”). Royalties will be calculated based on the Payment Report. GSK shall pay the appropriate royalties set forth in the Payment Report within [... *
...] 
 (c) No Separate Patent Royalties. It is understood that the royalties to be paid under
this Section 6.3 are in consideration of the XenoPort Know-How, commercial opportunities and other undertakings of XenoPort provided in this Agreement, and that no separate royalty is due with respect to the XenoPort Patents. 

6.4 Certain Reductions to Royalties. 

(a) Third Party Royalties. In the event GSK or its Affiliates pays to a Third Party royalties under agreements for
patent rights that cover the composition of matter or therapeutic use of the Compound, or that cover all feasible methods to manufacture the Compound (“Third Party Royalties”), which GSK reasonably believes [... * ...]
then GSK [... * ...] with respect to the [... * ...] pursuant to [... * ...]. For such purposes, [... * ...]. 

(b) Patent Litigation Expenses. XenoPort acknowledges and agrees that GSK may [... * ...] as provided
in [... * ...] pursuant to [... * ...] (i) [... * ...] as a result of [... * ...] or [... * ...] in connection therewith; and (ii) [... * ...] XenoPort shall
[... * ...]. 
 (c) Generic Competition. On a Product-by-Product basis, if: (A) one or
more Generic Products are being marketed for an approved indication of the Product in the Territory; and (B) such Generic Product(s) represent a total unit volume of [... * ...] in any calendar quarter determined by [... *
...] in such calendar quarter [... * ...] (“Generic Competition”), and GSK reasonably determines that it is not likely to recover such lost market share, then the royalties payable pursuant to Sections 6.3(a)
with respect to such Product sold in the Territory for such quarter shall thereafter be reduced by [... * ...]; provided however that if such Generic Competition continues for a period of [... * ...], then upon the date
that is on the [... * ...] of the initiation of such Generic Competition, GSK shall no longer be required to pay royalties to XenoPort with respect to such Product in the Territory. “Generic Product” shall mean a
[... * ...] being sold hereunder in the Territory [... * ...]. 
 6.5 Cost-Profit
Sharing in the United States. The Parties acknowledge that because XenoPort has exercised the Co-Promotion Option for the Product in the United States as provided in 

 
  

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	 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS
DOCUMENT, MARKED BY BRACKETS, IS FILED WITH THE SECURITIES AND EXCHANGE
COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934,
AS AMENDED 

  
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Section 5.2 on the Option Exercise Date, then in lieu of the royalties specified in Section 6.3(a) with respect to Net Sales in the United States, and notwithstanding that the
Co-Promotion Commencement Date has not occurred as of the Option Exercise Date and the Restatement Effective Date, the Parties shall, subject to Section 6.5(d) below, share Operating Profit or Loss (as defined in Exhibit 6.5) in the
United States as provided in this Section 6.5 as of the Option Exercise Date. The Parties acknowledge that in the event XenoPort’s right to Co-Promote and Detail the Product as provided herein are terminated pursuant to Section 5.2(a)
or 5.9, the Parties shall not share Operating Profit or Loss (as defined in Exhibit 6.5) in the United States and any sales of Product in the Territory by GSK, its Affiliates and Sublicensees shall be subject to royalty payments under
Section 6.3 above. 
 (a) Co-Promotion Expenses. After XenoPort’s exercise of the Co-Promotion
Option, those expenses outlined in Exhibit 6.5 shall be allocated to the Joint P&L calculated under Section 6.5(c). 
 (b) Allocation of Operating Profit or Loss. In consideration for each Party’s efforts pursuant to the Co-Promotion Plan in the United States, for each calendar quarter, GSK shall be entitled
to the following percentage of the Operating Profit or Loss for such quarter and XenoPort shall be entitled to the following percentage of the Operating Profit or Loss for such quarter, such amounts to be distributed to the Parties pursuant to
Section 6.5(c): 
  

					
	 [... * ...]
	  	GSK’s Share of
Operating
Profit or Loss	 	 XenoPort’s
Share of
Operating

Profit or Loss

			
	 [... * ...]
	  	[... * ...]	 	[... * ...]
			
	 [... * ...]
	  	[... * ...]	 	[... * ...]
			
	 [... * ...]
	  	[... * ...]	 	[... * ...]

 (c) Joint P&L. Within [... * ...], XenoPort shall furnish to GSK
a statement setting forth its year-to-date [... * ...] (collectively, “XenoPort Operating Expenses”) for such quarter in the United States, as defined in Exhibit 6.5. Within [... * ...], GSK shall
furnish to XenoPort a statement (the “Joint P&L”) setting forth the year-to-date Net Sales in the United States during such quarter, and GSK’s year to date [... * ...] (collectively, “GSK Operating
Expenses”) for such quarter in the United States, as defined in Exhibit 6.5. Whenever GSK provides XenoPort with a statement of GSK Operating Expenses, or XenoPort provides GSK with a statement of XenoPort Operating Expenses, the
providing Party shall provide such supporting documentation as the receiving Party may reasonably request. Such Joint P&L will also include the amount of the Operating Profits or Loss for the quarter and year-to-date and the percentage of such
Operating Profits or Loss to Net Sales (the “Operating Profits/Loss Percentage”). GSK will calculate each Party’s share of the Operating Profit or Loss as follows: [... * ...] In the event that the calculation

  
  

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	 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS
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COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934,
AS AMENDED 

  
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of XenoPort’s share of the Operating Profits or Loss is a positive number, GSK shall pay to XenoPort, [... * ...] receipt of an invoice therefor from XenoPort as provided in
Section 7.1, the difference between the amount owed to XenoPort under the then-current Joint P&L and any amounts already paid to or received from XenoPort pursuant to this Section 6.5(c) with respect to prior Joint P&Ls for the
same year. In the event that the calculation of XenoPort’s share of the Operating Profits or Loss is a negative number, then subject to Section 6.5(d) below, XenoPort shall, [... * ...] its receipt of an invoice provided by
GSK together with, or after providing, such a Joint P&L, pay to GSK the difference between the amount owed to GSK under the then current Joint P&L and any amounts already paid to or received from GSK pursuant to this Section 6.5(c) with
respect to prior Joint P&Ls for the same year. For clarity, it is understood that XenoPort is [... * ...] with respect to [... * ...] in accordance with [... * ...] Examples of the calculation of each
Party’s share of the Operating Profits or Loss is provided in Exhibit 6.5. In the event that the foregoing procedure does not permit one or both of the Parties to comply with reporting requirements under applicable United States
securities laws, rules and regulations, the JCC will modify the foregoing procedure to permit the Parties to comply with such reporting requirements, consistent with the general approach set forth in this Section 6.5(c). 

(d) Operating Losses. It is understood that the calculation of Marketing Costs shall commence as of the Option
Exercise Date in accordance with Section 5.2(a) above and shall include only those Marketing Costs incurred after such Option Exercise Date. However, XenoPort shall not be required to pay to GSK its portion of any Operating Loss prior to the
calendar quarter immediately following the first full calendar quarter after the First Commercial Sale of the Product in the United States in which the Joint P&L achieves an Operating Profit (“First Profitable Quarter”);
provided that [... * ...]; provided, further, that XenoPort’s portion of any such Operating Loss up to the amount of Ten Million Dollars ($10,000,000) shall be forgiven in full by GSK (i.e., XenoPort shall not be responsible
for any Operating Losses until the share of the Operating Losses that would otherwise be payable by XenoPort exceeds Ten Million Dollars ($10,000,000)). In addition, to the extent that XenoPort’s portion of any Operating Losses incurred
prior to the First Profitable Quarter exceeds Ten Million Dollars ($10,000,000) (such excess amount, the “Aggregate Loss Carry Forward”) shall be carried forward and reimbursed [... * ...]  

(e) Financial Reporting. To facilitate financial reporting, including earnings forecasts, each Party agrees to
keep the other Party fully informed as to its forecasts of Net Sales, Operating Expenses and Operating Profit or Loss. 

ARTICLE VII 
 PAYMENTS; BOOKS AND RECORDS 
 7.1 Payment Method;
Invoices. All milestone payments under this Agreement shall be made by bank wire transfer in immediately available funds to an account designated in an invoice from the Party to which such payments are due, which invoice should include bank
details, the contact name for any issue resolution and be marked for the attention of the Alliance Manager of the 
  

 

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	 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS
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AS AMENDED 

  
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Party to whom such payment is due. Any payments or portions thereof due under this Agreement that are not paid by the date such payments are due under this Agreement shall bear interest at a rate
equal to: (i) the prime rate as reported by Citibank N.A., [... * ...] or (ii) if lower, the maximum rate permitted by law; calculated on the number of days such payment is delinquent, compounded annually and computed on the
basis of a three hundred sixty five (365) day year. This Section 7.1 shall in no way limit any other remedies available to the Parties. All amounts owed by GSK to XenoPort hereunder shall be paid by an entity resident in the United Kingdom
from a bank account located in the United Kingdom. 
 7.2 Currency Conversion. With respect to sales of
the Product invoiced in United States dollars, the Net Sales and the amounts due hereunder will be expressed in United States dollars. With respect to sales of the Product invoiced in a currency other than United States dollars, the Net Sales and
amounts due hereunder will be reported in United States dollars, calculated using the average exchange rates as calculated and utilized by GSK’s group reporting system and published accounts. As of the Effective Date, [... * ...]

 7.3 Withholding Taxes; Taxes Generally. 

(a) If taxes are required under Applicable Law in the United Kingdom to be withheld by GSK on any payment on behalf of
XenoPort, GSK will (a) deduct those taxes from the payment and (b) pay the taxes to the proper taxing authority. In the event such taxing authorities routinely provide a tax receipt upon payment, GSK will procure such receipt for any such
withholding evidencing payment of such taxes, which will be forwarded to XenoPort. XenoPort represents and warrants that it is resident for tax purposes in the United States and that it is entitled to relief from the United Kingdom income tax under
the terms of the double tax agreement between the United Kingdom and the United States. [... * ...] GSK shall [... * ...] GSK shall [... * ...] the United Kingdom and the United States. [... * ...]
withholding tax [... * ...]  
 (b) Each Party shall be responsible for paying taxes imposed by any
taxing authority on any income earned by such Party under this Agreement. 
 7.4 Records; Inspection.

 (a) GSK. GSK shall keep, and require its Affiliates and Sublicensees to keep, complete, true and
accurate books of accounts and records for the purpose of determining the amounts payable to XenoPort pursuant to this Agreement. Such books and records shall be kept for at least [... * ...] following the end of the calendar quarter to
which they pertain and shall be open for inspection and audit by XenoPort during such [... * ...] period on the terms of this Section 7.4(a). Upon not less than [... * ...] prior written notice, GSK shall permit an
independent, certified public accountant selected by XenoPort and reasonably acceptable to GSK, which acceptance will not be unreasonably withheld or delayed (for the purposes of this Section 7.4(a), the “Auditor”), to audit or
inspect those books or records of GSK that relate to Net Sales and Payment Reports, and/or Joint P&L (including the components thereof) for the sole purpose of verifying the: 

 
  

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	 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS
DOCUMENT, MARKED BY BRACKETS, IS FILED WITH THE SECURITIES AND EXCHANGE
COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934,
AS AMENDED 

  
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 (i) royalties and other payments payable hereunder in respect of Net Sales or Operating
Profit or Loss for such annual period under review; (ii) withholding taxes, if any, required by Applicable Law to be deducted as a payment by GSK in respect of such Net Sales; and (iii) exchange rates used in determining the amount of
United States dollars. The Auditor will disclose to XenoPort only the amount and accuracy of payments reported and actually paid or otherwise payable under this Agreement. The Auditor will send a copy of the report to GSK at the same time it is sent
to XenoPort. Such inspections may be made no more than once each calendar year and during normal business hours. Such records for any particular calendar quarter shall be subject to no more than one inspection. The Auditor shall be obligated to
execute a reasonable confidentiality agreement prior to commencing any such inspection. Inspections conducted under this Section 7.4(a) shall be at the expense of XenoPort, unless a variation or error producing an underpayment in amounts
payable exceeding [... * ...] of the amount paid for a period covered by the inspection is established, in which case all reasonable costs relating to the inspection for such period and any unpaid amounts that are discovered shall be
paid by GSK, together with interest on such unpaid amounts at the rate set forth in Section 7.1 above. The Parties will endeavor in such inspection to minimize disruption of GSK’s normal business activities to the extent reasonably
practicable. 
 (b) XenoPort. XenoPort shall keep complete, true and accurate books of accounts and
records for the purpose of determining payments due from GSK pursuant to this Agreement. Such books and records shall be kept for at least [... * ...] following the end of the calendar quarter to which they pertain and shall be open for
inspection and audit by GSK during such [... * ...] period on the terms of this Section 7.4(b). Upon not less than [... * ...] prior written notice, XenoPort shall permit an independent, certified public accountant
selected by GSK and reasonably acceptable to XenoPort, which acceptance will not be unreasonably withheld or delayed (for the purposes of this Section 7.4(b), the “Auditor”), to audit or inspect those books or records of
XenoPort that relate to XenoPort Operating Expenses and Sales Costs, for the sole purpose of verifying the amounts payable hereunder. The Auditor will disclose to GSK only the amount and accuracy of payments reported and actually paid or otherwise
payable under this Agreement. The Auditor will send a copy of the report to XenoPort at the same time it is sent to GSK. Such inspections may be made no more than once each calendar year and during normal business hours. Such records for any
particular calendar quarter shall be subject to no more than one inspection. Auditor shall be obligated to execute a reasonable confidentiality agreement prior to commencing any such inspection. Inspections conducted under this Section 7.4(b)
shall be at the expense of GSK, unless a variation or error producing an overpayment in amounts payable exceeding [... * ...] of the amount paid for a period covered by the inspection is established, in which case all reasonable costs
relating to the inspection for such period and any overpaid amounts that are discovered shall be paid by XenoPort, together with interest on such overpaid amounts at the rate set forth in Section 7.1 above. The Parties will endeavor in such
inspection to minimize disruption of XenoPort’s normal business activities to the extent reasonably practicable. 
  

 

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	 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS
DOCUMENT, MARKED BY BRACKETS, IS FILED WITH THE SECURITIES AND EXCHANGE
COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934,
AS AMENDED 

  
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 ARTICLE VIII 
 CERTAIN COVENANTS 
 8.1 Diligent Efforts of GSK. GSK
shall use Commercially Reasonable Efforts to [... * ...] maximize the sales of at least one (1) Product in the Territory in an expeditious manner. Without limiting the foregoing and excluding [... * ...] GSK agrees to use
Commercially Reasonable Efforts to achieve [... * ...] milestones set forth in section 6.2. 
 8.2
Diligent Efforts of XenoPort. XenoPort shall use Commercially Reasonable Efforts to conduct the Initial Clinical Studies and Activities and all development activities for the Other Indications allocated to XenoPort in the then-current
Development Plan and, in the event that XenoPort Co-Promotes and Details the Product as provided in this Agreement, use Commercially Reasonable Efforts in its Co-Promotion and Detailing of the Product following the Marketing Approval of the Product
in the United States. 
 8.3 General Communications. Each Party shall keep the other Party fully and
promptly informed as to its progress and activities relating to the development, commercialization, marketing and promotion of the Product in the Territory, including with respect to regulatory matters and meetings with Regulatory Authorities, by
way of updates to appropriate Committees at their meetings and as otherwise specified in this Agreement, or as reasonably requested by the other Party. In connection therewith, XenoPort and GSK shall provide each other with such information
regarding such progress and activities under the Development Plan, the Commercialization Plan and/or any Co-Promotion Plan, or otherwise relating to the development of the Product for, or commercialization of the Product in, the Territory, as the
other Party may request from time to time. In order to facilitate the Parties’ exercise of their rights and fulfillment of their obligations hereunder, each Party agrees to give due consideration to any comments provided by the other Party with
respect to such development, commercialization, marketing and promotion of the Compound and/or any Product for the Territory. 
 8.4 Managed Care Contracting. [... * ...] 
 ARTICLE IX

 CHANGE OF CONTROL 
 9.1 Change of Control of XenoPort. XenoPort shall notify GSK in writing within [... * ...] Following any Change of Control of XenoPort: 

(a) During a [... * ...] commencing on [... * ...], and upon at least [... * ...]
days prior written notice to XenoPort, GSK shall have the right to terminate XenoPort’s right to Co-Promote and Detail the Product as provided in Article 5 above if such Change of Control involves a Major Pharmaceutical Company; provided
that [... * ...]  
  
  

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	 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS
DOCUMENT, MARKED BY BRACKETS, IS FILED WITH THE SECURITIES AND EXCHANGE
COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934,
AS AMENDED 

  
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 (b) Any material changes to the Development Plan in effect as of the date of
such notice of a Change of Control of XenoPort [... * ...]; subject to the foregoing, [... * ...]. 
 (c) If as a result of a Change of Control of a Party (the “Acquired Party”), such Acquired Party becomes obligated to divest rights to the Compound and Products in the Territory, such
Party shall notify the other Party (the “Continuing Party”) in writing. Within [... * ...], the Continuing Party shall notify the Acquired Party in writing whether it is interested in acquiring all of the Acquired
Party’s rights to the Compound and Products in the Territory. If the Continuing Party so notifies the Acquired Party, the Parties shall discuss mutually acceptable terms upon which the Continuing Party may acquire all of the Acquired
Party’s rights to the Compound and Products in the Territory. In such case, if the Parties do not agree on such terms then prior to divesting such rights, the Acquired Party shall notify the Continuing Party in writing, together with the full
set of terms and conditions under which the Acquired Party proposes to divest such rights, and the Continuing Party shall have the right, exercisable within [... * ...], to acquire such rights on such terms and conditions. 

(d) For the avoidance of doubt, except as set out in this Section 9.1, a Change of Control of XenoPort shall not
otherwise affect the rights or obligations of the Parties with respect to the Compound and Products in the Territory under this Agreement, and shall not be deemed to modify or expand the scope of GSK’s rights under Section 2.1 or 2.2
above. 
 ARTICLE X 
 MANUFACTURING AND SUPPLY 
 10.1 Transfer of
Manufacturing and Supply Responsibilities. The Parties acknowledge that, pursuant to Section 10.1 of the Original Agreement, XenoPort transitioned the manufacture and supply of the Compound and Products to GSK. Such transition included the
transfer by XenoPort to GSK of the items contained in Exhibit 10.1. 
 10.2 Activities After the
Supply Transition. As between the Parties and subject to the terms and conditions of this Agreement, GSK shall have the exclusive right to manufacture the Compound and the Products for distribution in the Territory; except that [... *
...] the Compound and Products [... * ...] the Territory [... * ...] It is understood that [... * ...] with respect to [... * ...] manufacture of the Compound and Products for distribution
[... * ...] 
 10.3 Supply of Clinical Materials. 

(a) To the extent that XenoPort will conduct any clinical trials, preclinical studies and other research and development
activities involving the Product for any Other Indication as provided in a Development Plan, GSK shall supply XenoPort with such quantities of Compound, Product and matching placebo, in each case, in bulk finished form [... * ...] as
are reasonably requested by XenoPort for it to conduct such clinical trials, preclinical studies and other research and 
  

 

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	 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS
DOCUMENT, MARKED BY BRACKETS, IS FILED WITH THE SECURITIES AND EXCHANGE
COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934,
AS AMENDED 

  
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development activities (“Clinical Materials”) [... * ...]. The price of Clinical Materials supplied by GSK to XenoPort pursuant to this Section 10.3(a) and/or
pursuant to Section 10.3 (b) below shall be [... * ...]; provided, however, that, [... * ...]. If XenoPort orders, and GSK delivers to XenoPort pursuant to this Section 10.3(a), quantities of Clinical
Materials such that [... * ...], XenoPort shall pay to GSK [... * ...]. Any such amounts payable by XenoPort shall be paid [... * ...] in arrears within [... * ...] after XenoPort’s receipt
from GSK of an invoice for the quantities of Clinical Materials delivered by GSK to XenoPort in accordance with this Section 10.3 during such calendar quarter. It is understood and agreed that the Clinical Materials supplied by GSK to XenoPort
pursuant to this Section 10.3(a) or Section 10.3(b) below shall not include [... * ...] for the conduct of such clinical trials, preclinical studies and other research and development activities. 

(b) In the event that XenoPort requests Clinical Materials for use in conducting development activities solely for the
purpose of [... * ...], or otherwise solely for purposes directed to the development of such Product for commercialization, in each case [... * ...], GSK shall supply such Clinical Materials to XenoPort [... *
...]. In the event that XenoPort requests Clinical Materials for use in conducting development activities solely for the purpose of [... * ...], or otherwise solely for purposes directed to the development of such Product for
commercialization, in each case [... * ...], GSK shall supply such Clinical Materials to XenoPort [... * ...]. In the event XenoPort requests [... * ...] for use in the manufacture of Product for [... *
...], GSK shall supply such [... * ...]: (i) [... * ...]; or (ii) [... * ...]. The Parties shall enter into a separate supply agreement, within [... * ...] following a request by
either Party to do so, covering the foregoing supply by GSK to XenoPort of Clinical Materials and/or [... * ...], which agreement shall reflect the terms specified in this Section 10.3(b), and such other terms and conditions as are
reasonable and customary for pharmaceutical supply arrangements. Without limiting the foregoing, [... * ...], GSK shall [... * ...] to cooperate [... * ...]. 

(c) GSK shall deliver to XenoPort Clinical Materials ordered by XenoPort promptly, to the extent that GSK has available
supplies of Product, but in any event, [... * ...]. XenoPort shall provide to GSK, upon GSK’s reasonable request, good faith, non-binding estimates of XenoPort’s anticipated requirements of Clinical Materials [... *
...] and, in any event, XenoPort shall provide to GSK an order for its anticipated requirements of Clinical Materials [... * ...] prior to the commencement of the trial, study or activity in which such Clinical Materials are
intended to be used. 
 (d) Any Clinical Materials provided by GSK to XenoPort pursuant to this
Section 10.3 shall be delivered [... * ...]. Prior to shipment, GSK shall provide to XenoPort a certificate of analysis, in a form reasonably agreed by the Parties, demonstrating that the relevant Clinical Materials to be shipped
conform to the applicable specifications therefor. 
 (e) GSK shall supply to XenoPort the Clinical Materials
ordered by XenoPort pursuant to this Section 10.3 in bulk finished dosage form. The Clinical Materials shall conform to the specifications for the Product included in the NDA for the Product for RLS in the United States 

 
  

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	 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS
DOCUMENT, MARKED BY BRACKETS, IS FILED WITH THE SECURITIES AND EXCHANGE
COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934,
AS AMENDED 

  
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as of the Restatement Effective Date (as amended from time to time as provided in this Section 10.3(e) below, the “Specifications”). GSK shall [... * ...].

 (f) GSK warrants that all Clinical Materials supplied to XenoPort under this Agreement shall: [... *
...] (ii) [... * ...]; (iii) [... * ...]; and (iv) have at least [... * ...] of remaining shelf life at the time of delivery of such Clinical Materials by GSK to XenoPort. 

(g) Subject to Section 10.3(a) above, any amounts payable by XenoPort with respect to Clinical Materials ordered by
XenoPort, and delivered by GSK, in accordance with this Section 10.3 shall be paid quarterly in arrears within [... * ...] after XenoPort’s receipt from GSK of an invoice for the quantities of Clinical Materials delivered by
GSK to XenoPort in accordance with this Section 10.3 during such calendar quarter. 
 ARTICLE XI 

CONFIDENTIALITY 
 11.1 Confidential Information. Except as expressly provided in this Agreement, the Parties agree that the receiving Party shall not publish or otherwise disclose and shall not use for any purpose
any information furnished to it by the other Party hereto pursuant to this Agreement (collectively, “Confidential Information”). Notwithstanding the foregoing, Confidential Information shall not include information that, in each
case as demonstrated by written documentation: 
 (a) was already known to the receiving Party, other than under
an obligation of confidentiality, at the time of disclosure or, as shown by written documentation, was developed by the receiving Party prior to its disclosure by the disclosing Party; 

(b) was generally available to the public or otherwise part of the public domain at the time of its disclosure to the
receiving Party; 
 (c) became generally available to the public or otherwise part of the public domain after
its disclosure and other than through any act or omission of the receiving Party in breach of this Agreement; 

(d) was subsequently lawfully disclosed to the receiving Party by a person other than the disclosing Party, and who did
not directly or indirectly receive such information from disclosing Party; or 
 (e) is developed by the
receiving Party without use of or reference to any Confidential Information disclosed by the disclosing Party. 

11.2 Permitted Disclosures. Notwithstanding the provisions of Section 11.1 above and subject to
Sections 11.3 and 11.4 below, each Party hereto may use and disclose the other Party’s Confidential Information to its Affiliates, licensees, permitted Sublicensees, contractors and any 

 
  

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	 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS
DOCUMENT, MARKED BY BRACKETS, IS FILED WITH THE SECURITIES AND EXCHANGE
COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934,
AS AMENDED 

  
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other Third Parties to the extent such use and/or disclosure is reasonably necessary to exercise the rights granted to it, or reserved by it, under this Agreement, prosecuting or defending
litigation, complying with Applicable Laws, submitting information to tax or other governmental authorities or conducting clinical trials hereunder with respect to any Product. If a Party is required by Applicable Law to make any such disclosure of
the other Party’s Confidential Information, to the extent it may legally do so, it will give reasonable advance notice to the latter Party of such disclosure and, save to the extent inappropriate in the case of patent applications or otherwise,
will use its good faith efforts to secure confidential treatment of such Confidential Information prior to its disclosure (whether through protective orders or otherwise). For any other disclosures of the other Party’s Confidential Information,
including to Affiliates, licensees, permitted Sublicensees, contractors and other Third Parties, a Party shall ensure that the recipient thereof is bound by a written confidentiality agreement as materially protective of such Confidential
Information as this Article 11. 
 11.3 Confidential Terms. Each Party agrees not to disclose to any
Third Party [... * ...] except each Party may disclose [... * ...] (a) [... * ...] or (b) [... * ...] to the extent allowable by Applicable Law, [... * ...] that is required
[... * ...] Notwithstanding the foregoing, [... * ...] of which [... * ...] thereafter, [... * ...] 
 11.4 Publication of Product Information. Prior to its publishing, publicly presenting and/or submitting for written or oral publication a manuscript, abstract or the like in the Territory with
respect to GSK and with respect to XenoPort (to the extent XenoPort has the right to do so) outside the Territory, that includes Data or other information relating to the Compound or any Product that has not previously published, a Party shall
provide the other Party a copy thereof for its clinical review for at least [... * ...] (unless such Party is required by Applicable Law to publish such information sooner). Such Party shall consider in good faith any comments provided
by the other Party during such [... * ...] period. In addition, the publishing Party shall, at the request of the other Party, remove any Confidential Information of the other Party therefrom, except each Party shall have the right to
publicly disclose any information, including Confidential Information, pertaining to safety of a Product that such Party believes in good faith it is obligated or appropriate to disclose. Without limiting the foregoing, it is understood that the
principles to be observed in any disclosures described in this Section 11.4 shall be accuracy, compliance with Applicable Law, reasonable sensitivity to potential negative reactions of the FDA (and its foreign counterparts) and the need to keep
investors informed regarding the publishing Party’s business. Accordingly, any comments provided by the other Party on a disclosure submitted to it by the publishing Party pursuant to this Section and/or any requests for any Confidential
Information to be removed from any such disclosure shall comply with such principles. The contribution of each Party shall be noted in all publications or presentations by acknowledgment or co-authorship, whichever is appropriate. Notwithstanding
the foregoing, XenoPort will not be permitted, without the prior written consent of GSK, which consent will not be unreasonably withheld, to publish, publicly present and/or submit for written or oral publication a manuscript, abstract or the like
in the Territory relating to any clinical studies involving the Product for: [... * ...]; it being understood that the foregoing shall not limit XenoPort’s ability to submit and publish information pertaining to [... *
...] any such 
  
  

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	 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS
DOCUMENT, MARKED BY BRACKETS, IS FILED WITH THE SECURITIES AND EXCHANGE
COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934,
AS AMENDED 

  
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disclosures as described in this Section 11.4. Nothing in this Section 11.4 shall, however, be deemed to limit Astellas’ or a ROW Licensee’s rights to publish, publicly
present and/or submit for publication a manuscript, abstract or the like that includes data or other information relating to the Compound or any Product under development or being commercialized by or under the authority of Astellas or such ROW
Licensee for use outside the Territory. 
 11.5 Publicity Review. The Parties acknowledge the
importance of supporting each other’s efforts to publicly disclose results and significant developments regarding the Product and other activities in connection with this Agreement that may reflect the terms of this Agreement or information
that is not otherwise permitted to be disclosed under this Article 11, beyond what is required by Applicable Law, and each Party may make such disclosures from time to time with the approval of the other Party, which approval shall not be
unreasonably withheld or delayed. Such disclosures may include, without limitation, achievement of milestones, significant events in the development and regulatory process, commercialization activities and the like. When a Party (the
“Requesting Party”) elects to make any such public disclosure under this Section 11.5, it will give the other Party (the “Cooperating Party”) at [... * ...] notice to review and comment on such
statement, it being understood that if the Cooperating Party does not notify the Requesting Party in writing within such [... * ...] period of any reasonable objections, as contemplated in this Section 11.5, such disclosure shall
be deemed approved, and in any event the Cooperating Party shall work diligently and reasonably to agree on the text of any proposed disclosure in an expeditious manner. The principles to be observed in such disclosures shall be accuracy, compliance
with Applicable Law, reasonable sensitivity to potential negative reactions of the FDA (and its foreign counterparts) and the need to keep investors informed regarding the Requesting Party’s business. Accordingly, the Cooperating Party shall
not withhold its approval of a proposed disclosure that complies with such principles. 
 11.6 Prior
Non-Disclosure Agreements. Upon execution of this Restated Agreement, the terms of this Article 11 shall supersede any prior non-disclosure, secrecy or confidentiality agreement between the Parties, including the non-disclosure and
confidentiality obligations of the Parties under Article 11 of the Original Agreement. Any information disclosed under such prior agreements shall be deemed disclosed under this Agreement. 

ARTICLE XII 
 PATENT PROSECUTION AND ENFORCEMENT 
 12.1 Ownership of
Inventions. Title to all inventions and other intellectual property (other than XenoPort Trademarks) made solely by GSK personnel in connection with this Agreement shall be owned by GSK. Title to all inventions and other intellectual property
(other than GSK Trademarks) made solely by XenoPort personnel in connection with this Agreement shall be owned by XenoPort. Title to all inventions and other intellectual property (other than Trademarks) made jointly by personnel of XenoPort and GSK
in connection with this Agreement shall be jointly owned by XenoPort and GSK. Prosecution of any Patent with respect to such jointly-owned inventions and 
  

 

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	 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS
DOCUMENT, MARKED BY BRACKETS, IS FILED WITH THE SECURITIES AND EXCHANGE
COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934,
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intellectual property shall be solely as mutually agreed. Except as expressly provided in this Agreement, it is understood that neither Party shall have any obligation to obtain any approval of,
nor pay a share of the proceeds to, the other Party to practice, enforce, license, assign or otherwise exploit such jointly-owned inventions or intellectual property, and each Party hereby waives any right it may have under the Applicable Laws of
any jurisdiction to require such approval or accounting. GSK hereby grants to XenoPort [... * ...]  
 12.2 Prosecution and Maintenance of XenoPort Patents. 
 (a)
GSK Control of Prosecution. [... * ...] GSK shall have the right, at its expense, to control the Prosecution and Maintenance of Patents in the Territory included in the XenoPort Patents as of the Effective Date, or which may be
filed in the Territory after the Effective Date, to the extent the same are directed to the Compound or any Product, and/or manufacturing and/or use thereof, in the Field in the Territory (such XenoPort Patents, [... * ...], are
referred to below as the “GSK Prosecuted XP Patents”). GSK shall diligently Prosecute and Maintain the GSK Prosecuted XP Patents; shall consult with XenoPort in good faith regarding the Prosecution and Maintenance of such GSK
Prosecuted XP Patents; and shall take into account XenoPort’s reasonable comments related to such matters. If GSK determines not to file any Patent, or to abandon any Patent within the GSK Prosecuted XP Patents, with respect to any subject
matter described in this Section 12.2(a), as applicable, GSK shall provide XenoPort with at least [... * ...] written notice of such decision, prior to the deadline for filing any such Patent or the date on which such abandonment
would become effective. In such event, XenoPort shall have the right, at its option, to control the Prosecution and Maintenance of such Patent. For the purposes of this Section 12.2, “Prosecution and Maintenance” (including
variations such as “Prosecute and Maintain”) shall mean, with respect to a Patent, the preparing, filing, prosecuting and maintenance of such Patent, as well as re-examinations, reissues and requests for Patent term extensions and
the like with respect to such Patent, together with the conduct of interferences, the defense of oppositions and other similar proceedings with respect to a Patent. Also, as used in this Section 12.2, to “abandon” a Patent shall
include deciding not to defend against an opposition, not to defend an interference or similar proceeding or not to pursue an appeal of an adverse decision, in each case with respect to such Patent in the United States Patent & Trademark
Office. 
 (b) XenoPort Prosecuted Patents. XenoPort shall have the right, at its expense, to control the
Prosecution and Maintenance of the XenoPort Patents in the Territory [... * ...] and shall diligently Prosecute and Maintain the XenoPort Prosecuted Patents in the Territory. [... * ...] If XenoPort determines not to file,
or to abandon, any such Patent within such XenoPort Prosecuted Patents, [... * ...] XenoPort shall [... * ...] to the extent of [... * ...] In addition, [... * ...] XenoPort shall [... *
...] 
 (c) XenoPort Patents Outside the Territory. It is understood that as between the Parties,
XenoPort shall control the Prosecution and Maintenance of XenoPort Patents outside the Territory and that Section 12.2(b) above shall not apply to such XenoPort Patents. However, to the extent XenoPort may do so under the Astellas Agreement and
agreements with ROW Licensees, 
  
  

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	 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS
DOCUMENT, MARKED BY BRACKETS, IS FILED WITH THE SECURITIES AND EXCHANGE
COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934,
AS AMENDED 

  
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XenoPort shall consult with GSK in good faith upon request regarding the Prosecution and Maintenance of XenoPort Patents outside the Territory and shall take into account GSK’s reasonable
comments related to such matters. 
 (d) Cooperation. Each Party shall cooperate with the other Party in
connection with all activities relating to the Prosecution and Maintenance of the XenoPort Patents in the Territory undertaken by such other Party pursuant to this Section 12.2, including: (i) making available in a timely manner any
documents or information such other Party reasonably requests to facilitate such other Party’s Prosecution and Maintenance of the XenoPort Patents pursuant to this Section 12.2; and (ii) if and as appropriate, signing (or causing to
have signed) all documents relating to the Prosecution and Maintenance of any XenoPort Patents by such other Party. Each Party shall also promptly provide to the other Party all information reasonably requested by such other Party with regard to
such Party’s activities pursuant to this Section 12.2, and if requested, permit such other Party to participate at its own expense in any opposition, interference, appeal or similar proceeding with respect to a XenoPort Patent in the
Territory, to the extent the same are directed to the Compound or any Product, and/or manufacturing and/or use thereof, in the Field in the Territory. GSK shall hold all information disclosed to it under this Section 12.2 as Confidential
Information. 
 12.3 Enforcement. 

(a) Notice. In the event that XenoPort or GSK becomes aware of actual or threatened infringement or
misappropriation of any XenoPort Patent or XenoPort Know-How by the manufacture, sale or use in the Territory of a product containing a Competitive Compound for the treatment of an indication that competes directly with a Product in the Field in the
Territory, including the filing of an Abbreviated New Drug Application with the FDA (an “Infringement”), that Party shall promptly notify the other Party in writing. “Competitive Compound” shall mean [... *
...] 
 (b) Initiating Enforcement Actions. GSK has the right to initiate infringement proceedings
or take other appropriate actions against an Infringement in the Territory. If Applicable Law in the Territory does not permit an exclusive licensee to initiate such actions (i.e., such action may only be initiated by the owner of the patent being
infringed), GSK would have the right to insist that XenoPort initiates such action on GSK’s behalf and at GSK’s expense. If GSK does not initiate proceedings or take other appropriate action within [... * ...] of receipt of a
request by XenoPort to do so, then XenoPort shall be entitled to initiate infringement proceedings or take other appropriate action against an Infringement at its own expense. The Party conducting such action shall have full control over the conduct
of such action, including settlement thereof; provided, however, that the Party conducting such action may not settle any such action, or make any admissions or assert any position in such action, in a manner that would materially adversely affect
the rights or interests of the other Party (including by making any admission or assertion of any position, that would materially adversely affect the validity, enforceability or scope of any XenoPort Patent within or outside the Territory), without
the prior written consent of the other Party, which shall not be 
  

 

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	 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS
DOCUMENT, MARKED BY BRACKETS, IS FILED WITH THE SECURITIES AND EXCHANGE
COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934,
AS AMENDED 

  
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unreasonably withheld or delayed. The Party conducting such action (except in the case of XenoPort, where XenoPort conducts such action at the request of GSK) will [... * ...]. In
any event, the Parties shall assist one another and cooperate in any such action at the other’s reasonable request. 
 (c) Recovery. GSK and XenoPort shall [... * ...] associated with any litigation against infringers undertaken pursuant to this Section 12.3 above or settlement thereof [...
* ...] to the extent [... * ...]. 
 (d) Cooperation. The Parties shall keep one
another informed of the status of their respective activities regarding any litigation or settlement thereof concerning an Infringement and shall assist one another and cooperate in any such litigation at the other’s reasonable request
(including joining as a party plaintiff to the extent necessary and requested by the other Party). 
 12.4
Third Party Infringement Claims. If the production, sale or use of the Compound or any Product in the Territory pursuant to this Agreement results in a claim, suit or proceeding alleging patent infringement against XenoPort or GSK (or their
respective Affiliates, licensees or Sublicensees) (collectively, “Infringement Actions”), such Party shall promptly notify the other Party hereto in writing. The Party subject to such Infringement Action shall have the first right,
but not the obligation, to direct and control the defense thereof; provided, however, that the other Party may participate in the defense and/or settlement thereof at its own expense with counsel of its choice. In any event, the Party that is
subject to the Infringement Action agrees to keep the other Party hereto reasonably informed of all material developments in connection with any such Infringement Action. The Party who is subject to the Infringement Action agrees not to settle such
Infringement Action, or make any admissions or assert any position in such Infringement Action, in a manner that would adversely affect the Compound or the manufacture, use or sale of the Compound or any Product within or outside the Territory,
without the prior written consent of the other Party, which shall not be unreasonably withheld or delayed. GSK may [... * ...]. As used herein, “Damages” shall mean out-of-pocket costs incurred by GSK, including
reasonable attorney’s fees, damages and other liabilities that are part of any final judgment awarded against GSK, and any amounts paid by GSK in a settlement of the action that is approved by XenoPort, such approval not to be unreasonably
withheld or delayed. The Parties shall assist one another and cooperate in any such action at the other’s reasonable request. 
 12.5 Patent Marking. GSK agrees to mark, and have its Affiliates and Sublicensees mark, all patented Products they sell or distribute pursuant to this Agreement in accordance with the applicable
patent statutes or regulations in the country or countries of sale thereof. 
 12.6 Regulatory Data
Protection 
 (a) To the extent required or permitted by Applicable Law, the Parties will use Commercially
Reasonable Efforts to promptly, accurately and completely list, with the applicable 
  

 

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	 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS
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Regulatory Authorities in the Territory during the Term all applicable XenoPort Patents, and/or any Patents that are Controlled by GSK or its Controlled Affiliates, for any Product and that the
Parties intend, or have begun, to commercialize in the Territory and that have become the subject of an NDA submitted to FDA, such listings to include all so called “Orange Book” listings required under the Hatch-Waxman Act (regardless of
which Party is the sponsor of record of the NDA at such time). 
 (b) In connection with such listings, the
Parties will meet to evaluate and identify all applicable Patents in the Territory that are Controlled by each Party. GSK will retain final decision making authority as to the listing of all applicable Patents in the Territory for any Product
regardless of which Party Controls such Patent. 
 (c) Patent Rights Certifications and Infringement
Suits. Each Party will immediately give notice to the other Party of any certification received under the Hatch-Waxman Act with respect to a Product. Notwithstanding any provision herein to the contrary, the following provisions of this
Section 12.6(c) will apply for certifications in the Territory claiming that any of the XenoPort Patents are invalid, unenforceable or that no infringement will arise from the manufacture, use or sale in the Territory of a Third Party’s
product containing a Competitive Compound (i.e., a Paragraph IV Certification under 21 U.S.C. Section 355 and 21 C.F.R. Part 314). With respect to any such certifications in the Territory, GSK has the first right, but not the obligation to
bring suit against the Third Party that filed the certification. If GSK decides to bring suit, GSK has sole control of all decisions regarding all aspects of such litigation; provided that XenoPort will have the right to participate in
such litigation and to share in recoveries from such litigation in the same manner as set forth in Section 12.3(c) with respect to infringement litigation brought by GSK thereunder. XenoPort will execute such legal papers necessary for the
prosecution of such suit and cooperate with GSK as may be reasonably requested by GSK. If GSK decides not to bring infringement proceedings against the entity making such a certification with respect to any such XenoPort Patents, GSK will give
notice to XenoPort of its decision not to bring suit within [... * ...] after receipt of notice of such certification and XenoPort shall have the right, but not the obligation, to bring suit against the Third Party that filed the
certification, in the same manner that XenoPort has the right to bring actions under Section 12.3(b) if GSK does not exercise its first right to bring suit thereunder. If XenoPort decides to bring suit, XenoPort will have sole control of such
litigation and will, at GSK’s request, execute an agreement confirming that the decision to sue was made despite GSK’s objection and indemnifying GSK for all claims and losses suffered by GSK as a result of such suit. If XenoPort decides
to sue, XenoPort is responsible for all litigation costs and shall have no right to obtain reimbursement for its litigation costs from GSK; provided, however, that [... * ...]. 
  
  

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	 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS
DOCUMENT, MARKED BY BRACKETS, IS FILED WITH THE SECURITIES AND EXCHANGE
COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934,
AS AMENDED 

  
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 ARTICLE XIII 
 TRADEMARKS 
 13.1 Non-Exclusive License. GSK shall
have a non-exclusive, royalty-free license, with the right to grant sublicenses, to use the XenoPort Trademarks solely for market research and other similar activities to determine whether GSK will use the XenoPort Trademarks or GSK Trademarks in
connection with the commercialization and promotion of the Product in the Field in the Territory. 
 13.2
Option for XenoPort Trademarks. For [... * ...] the Closing Date, GSK shall have an exclusive option to obtain an exclusive, royalty-free license, with the right to grant sublicenses, to use the XenoPort Trademarks in each
country in the Territory in connection with the developing, making, having made, use, sale, offering for sale, importation, distributing and promoting of the Product in the Field in the Territory (the “XenoPort Trademarks Option”).
In the event that GSK notifies XenoPort in writing that GSK is exercising the XenoPort Trademarks Option within [... * ...], XenoPort hereby grants to GSK an exclusive, royalty-free license, with the right to grant sublicenses as
provided in Section 2.2, to use the XenoPort Trademarks in the Territory in connection with the developing, making, having made, use, sale, offering for sale, importation, distributing and promoting of the Product in the Field in the Territory.
Such license under the XenoPort Trademarks would include a right to use the XenoPort Trademarks as part of a domain name. In the event that (a) GSK determines not to exercise the XenoPort Trademarks Option, (b) GSK determines to use the
GSK Trademarks in connection with Products in the Field in the Territory, or (c) GSK fails to notify XenoPort that it wishes to exercise the XenoPort Trademarks Option within [... * ...] the Closing Date, GSK’s rights under
the XenoPort Trademarks Option shall terminate and XenoPort shall have no further obligations to GSK under such XenoPort Trademarks Option. 
 13.3 XenoPort House Marks. All packaging, and package inserts for the Product in the Territory shall, along with the GSK brand name and logo, include the XenoPort brand name and logo (such XenoPort
brand name and logo, collectively “XenoPort House Marks”) (in such form as is reasonably requested by XenoPort) in reasonable size and prominence; it being understood that the exact size, placement and prominence of such XenoPort
House Marks shall be determined by GSK in its reasonable discretion, and shall be subject to the approval of the ESC. XenoPort hereby grants to GSK a non-exclusive, royalty-free license, with the right to grant sublicenses as provided in
Section 2.2, to use the XenoPort House Marks in connection with the developing making, having made, use, sale, offering for sale, importation, distributing and promotion of the Product in the Field in the Territory. 

13.4 Use of XenoPort Trademarks. With respect to GSK’s use of the XenoPort House Marks as provided in
Section 13.3 above and GSK’s use the XenoPort Trademarks, if GSK exercises the XenoPort Trademarks Option as provided in Section 13.2 above, the following shall apply, to the extent relevant: 

 
  

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	 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS
DOCUMENT, MARKED BY BRACKETS, IS FILED WITH THE SECURITIES AND EXCHANGE
COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934,
AS AMENDED 

  
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 (a) Restriction on Use. XenoPort agrees that it will not, and will
cause its Affiliates and Astellas not to, use the XenoPort Trademarks or any substantially identical or similar marks in the Territory for any reason without obtaining the prior written consent of GSK, which consent will not be unreasonably
withheld. 
 (b) Display. All final packaging, labels and Promotional Materials for the Product shall
display the XenoPort Trademarks. Further, GSK will clearly indicate on all such final packaging, labels and promotional materials for the Product that the XenoPort Trademarks are owned by XenoPort. The trade dress and style of packaging used for
each Product in the Field in the Territory shall be determined by GSK in a manner that is consistent with GSK’s then current standards for trade dress and style, and as part of GSK’s updates to the ESC, GSK shall keep XenoPort informed of
GSK’s plans with respect to trade dress and style of packaging for the Product. For the avoidance of doubt, GSK may include the GSK logo and trade name on all final packaging, labels and promotional materials for the Product in the Territory.

 (c) Registration of Trade Marks. GSK agrees to file, register and maintain, during the Term and at
GSK’s expense, appropriate trademark registrations for the XenoPort Trademarks in the Territory. Such registrations for the XenoPort Trademarks shall be obtained by GSK in XenoPort’s name, to the extent permitted by Applicable Law in
within the Territory. GSK shall promptly take all steps that may be reasonably necessary to transfer any such registration(s) for the Product Trade Marks in GSK’s name to XenoPort. 

(d) Ownership. As between the Parties, XenoPort shall own, and is hereby assigned, all right, title and interest
in and to the XenoPort Trademarks and the XenoPort House Marks. The ownership and all goodwill from the use of the XenoPort Trademarks and the XenoPort House Marks shall vest in and inure to the benefit of XenoPort. 

(e) Recordation of Licenses. In those countries where a trademark license must be recorded, XenoPort will provide
to GSK, on GSK’s written request, a separate trademark license for the XenoPort Trademarks and, if necessary, XenoPort House Marks on terms that are consistent with, and no broader or more onerous than, the terms of this Agreement and GSK will
arrange for the recordation of such trade mark license with the appropriate governmental authority, at GSK’s expense, promptly following receipt of such license from XenoPort. GSK shall cooperate in the preparation and execution of such
documents. 
 13.5 Approval of Packaging and Promotional Materials. Solely to the extent necessary to
preserve XenoPort’s legal rights in the XenoPort House Marks and, if applicable, the XenoPort Trademarks, GSK shall submit to XenoPort, not less than [... * ...] to XenoPort for XenoPort’s review and approval solely with
respect to GSK’s use of the XenoPort House Marks and XenoPort Trademarks, as applicable, which approval will not be unreasonably withheld or delayed. If XenoPort has not responded within [... * ...] XenoPort’s approval to
GSK’s use of the XenoPort House Marks and XenoPort Trademarks, as applicable, on such promotional materials and packaging and will be deemed to have been received. GSK may make any subsequent changes to 

 
  

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	 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS
DOCUMENT, MARKED BY BRACKETS, IS FILED WITH THE SECURITIES AND EXCHANGE
COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934,
AS AMENDED 

  
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promotional materials and packaging bearing the XenoPort House Marks, or an approved XenoPort Trademark, other than changes to the XenoPort House Marks or XenoPort Trademark, as applicable,
without the subsequent approval from XenoPort. 
 13.6 Enforcement of XenoPort Trademarks. 

(a) Notice. If, after GSK has exercised the XenoPort Trademark Option, XenoPort or GSK becomes aware of actual or
threatened infringement or misappropriation of any XenoPort Trademark in the Territory, that Party shall promptly notify the other Party in writing. 
 (b) Initiating Enforcement Actions. GSK has the right to initiate infringement proceedings or take other appropriate actions against an infringement of the XenoPort Trademark in the Territory. If
Applicable Law in a country in the Territory does not permit an exclusive licensee to initiate such actions (i.e., such action may only be initiated by the owner of the trademark being infringed), GSK would have the right to insist that XenoPort
initiates such action on GSK’s behalf and at GSK’s expense. If GSK does not initiate proceedings or take other appropriate action within [... * ...] then XenoPort shall be entitled to initiate infringement proceedings or take
other appropriate action against an infringement of the XenoPort Trademark at its own expense. The Party conducting such action shall have full control over the conduct of such action, including settlement thereof; provided, however, that the Party
conducting such action may not settle any such action, or make any admissions or assert any position in such action, in a manner that would materially adversely affect the rights or interests of the other Party, without the prior written consent of
the other Party, which shall not be unreasonably withheld or delayed. The Party conducting such action (except in the case of XenoPort, where XenoPort conducts such action at the request of GSK) will [... * ...]. In any event, the
Parties shall assist one another and cooperate in any such action at the other’s reasonable request. 
 (c)
Recovery. GSK and XenoPort shall [... * ...] associated with any litigation against infringers undertaken pursuant to this Section 13.6 or settlement thereof [... * ...] to the extent [... * ...].

 (d) Cooperation. The Parties shall keep one another informed of the status of their respective
activities regarding any litigation or settlement thereof concerning an infringement of the XenoPort Trademark and shall assist one another and cooperate in any such litigation at the other’s reasonable request (including joining as a party
plaintiff to the extent necessary and requested by the other Party). 
 13.7 Enforcement of GSK
Trademarks. 
 (a) Notice. If XenoPort becomes aware of actual or threatened infringement or
misappropriation of any GSK Trademark in the Territory, XenoPort shall promptly notify GSK in writing. 
  

 

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	 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS
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 (b) Initiating Enforcement Actions. GSK has the sole and exclusive
right to initiate infringement proceedings or take other appropriate actions against an infringement of the GSK Trademarks in the Territory. GSK shall have full control over the conduct of such action, including settlement thereof. XenoPort shall
assist GSK and cooperate in any such action at the other’s reasonable request. 
 (c) Recovery. GSK
shall [... * ...]. 
 (d) Cooperation. XenoPort shall provide any necessary assistance and
cooperate in any such litigation concerning the infringement of the GSK Trademarks at GSK’s reasonable request. 
 13.8 Use of Trademarks for Product Outside of the Territory. XenoPort acknowledges and agrees that it [... * ...]. 

ARTICLE XIV 
 TERM AND TERMINATION 
 14.1 Term. This Agreement
shall commence on the Effective Date, and unless terminated earlier as provided in this Article 14, shall continue in full force and effect on a Product-by-Product basis until [... * ...]. Upon expiration (but not an earlier
termination) of this Agreement in the Territory, GSK shall have a perpetual, non-exclusive, fully paid-up, royalty free license under the XenoPort Patents and XenoPort Know-How, and XenoPort Trademarks if GSK exercised the XenoPort Trademarks Option
as provided in Article XIII to make, have made, use, sell, offer for sale and import such Product in the Territory. 
 14.2 Breach. Either Party to this Agreement may terminate this Agreement in the event the other Party shall have materially breached or defaulted in the performance of any of its material
obligations hereunder, and such default shall have continued for ninety(90) days after written notice thereof was provided to the breaching Party by the non-breaching Party. Any such termination shall become effective at the end of such ninety (90)
day period unless the breaching Party has cured any such breach or default prior to the expiration of the ninety (90) day period. 
 14.3 Termination For Convenience. GSK may terminate this Agreement in its entirety for any reason: (a) upon [... * ...] prior written notice to XenoPort prior to [... *
...]; and (b) upon [... * ...] prior written notice to XenoPort following [... * ...]; provided that GSK shall not [... * ...]. 

14.4 Bankruptcy. Either Party may terminate this Agreement in its entirety at any time during the Term by giving
written notice to the other Party if the other Party files in any court or agency pursuant to any statute or regulation of any state or country, a petition in bankruptcy or insolvency or for reorganization or for an arrangement or for the
appointment of a receiver or trustee of the Party or of its assets, or if the other Party is served with an involuntary petition against it, filed 
  

 

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in any insolvency proceeding, and such petition will not be dismissed with [... * ...] after the filing thereof, or if the other Party makes a general assignment for the benefit of
creditors. 
 ARTICLE XV 
 EFFECT OF TERMINATION 
 15.1 Accrued Obligations.
The expiration or termination of this Agreement for any reason shall not release either Party from any liability that, at the time of such expiration or termination, has already accrued to the other Party or that is attributable to a period prior to
such expiration or termination, nor will any termination of this Agreement preclude either Party from pursuing all rights and remedies it may have under this Agreement, or at law or in equity, with respect to breach of this Agreement. 

15.2 Rights on Termination by XenoPort for Breach. This Section 15.2 shall apply upon any termination of
GSK’s rights under this Agreement in its entirety pursuant to Section 14.2 or pursuant to Section 14.3. 
 (a) Wind-down Period. 
 (i) Development. In the
event there are any ongoing clinical trials of any Product in the Territory being conducted by or under the authority of GSK, at XenoPort’s request, following the date a notice of termination has been issued pursuant to Section 14.2 or
14.3, GSK agrees to continue such trials in the normal course until [... * ...]. 
 (ii)
Commercialization. To avoid a disruption in the supply of Product to patients, if the Agreement is terminated after the First Commercial Sale, GSK, its Affiliates and its Sublicensees shall continue to distribute the Product in the Territory,
in accordance with the terms and conditions of this Agreement, until [... * ...] the effective date of any termination of this Agreement (the “Wind-down Period”); provided that [... * ...]. Notwithstanding
any other provision of this Agreement, during the Wind-down Period, GSK’s and its Affiliates’ and Sublicensees’ rights with respect to the Compound and the Products in the Territory shall be non-exclusive and, without limiting the
foregoing, XenoPort shall have the right to engage one or more other distributor(s) and/or licensee(s) of any Product in all or part of the Territory. Any Product sold or disposed by GSK in the Territory during the Wind-down Period shall be subject
to applicable payment obligations under Article 6 above. Within [... * ...] GSK shall notify XenoPort of any quantity of the Products remaining in GSK’s inventory and subject to the last sentence in Section 15.2(c) below,
XenoPort shall have the option, upon notice to GSK, to repurchase any such quantities of the Products from GSK at [... * ...]. 
 (b) Assignment of Regulatory Filings and Marketing Approvals. At XenoPort’s option, which shall be exercised by written notice to GSK, and to the extent permitted under Applicable Law, GSK
shall assign or cause to be assigned to XenoPort or its designee (or to the 
  

 

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	 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS
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extent not so assignable, GSK shall take all reasonable actions to make available to XenoPort or its designee the benefits of) all Regulatory Filings for all Product in the Territory, including
any such Regulatory Filings made or owned by GSK’s Affiliates and/or Sublicensees. In each case, unless otherwise required by any Applicable Law, the foregoing assignment (or availability) shall be made [... * ...] the effective
date of such termination, [... * ...]. In addition, GSK shall promptly provide to XenoPort a copy of all Data and GSK Know-How pertaining to all Products in the Territory to the extent not previously provided to XenoPort and XenoPort
shall have the right to use and disclose all Data and GSK Know How pertaining to such Products following termination of this Agreement. 
 (c) Supply. In addition, GSK shall use Commercially Reasonable Efforts to transition to XenoPort upon XenoPort’s request any arrangement with any contractor from which GSK had arranged to
obtain a supply of the Compound or Products. In the event that such materials are manufactured by GSK, then, upon request by XenoPort, GSK shall continue to provide XenoPort with such materials [... * ...]; provided that XenoPort shall
use Commercially Reasonable Efforts to obtain such alternative source as soon as practicable; provided further that, Section 10.3 shall continue to apply during [... * ...]. In addition, GSK shall promptly provide to XenoPort a
copy of all Data pertaining to the manufacture of the Compound and the Products to the extent not previously provided to XenoPort, during the Term or pursuant to Section 15.2(b), and XenoPort shall have the right to use (and authorize the use
of) and to disclose all such Data following termination of this Agreement. Notwithstanding the foregoing, if the Agreement is terminated by GSK prior to [... * ...], then no later than the effective date of such termination, GSK shall
[... * ...] and shall cooperate fully with XenoPort to [... * ...]. 
 (d)
Transition. Without limiting the foregoing, GSK shall use Commercially Reasonable Efforts to cooperate with XenoPort and/or its designee to effect a smooth and orderly transition in the development, sale and ongoing marketing, promotion and
commercialization of the Products in the Territory during the Wind-down Period. Without limiting the foregoing, GSK shall use Commercially Reasonable Efforts to conduct in an expeditious manner any activities to be conducted under this
Section 15.2. 
 (e) Licenses; Assignment of GSK Trademarks. Effective as of the date of any notice
of termination of this Agreement pursuant to Section 14.2 or 14.3, to the extent requested by XenoPort, XenoPort shall have and is hereby granted by GSK a non-exclusive, worldwide license, with the right to grant sublicenses, under:
(i) any Patents owned or Controlled by GSK that are reasonably necessary, for the purposes of making, having made, using, developing, importing, offering for sale, selling, distributing, marketing, promoting and otherwise exploiting the
Compound and Products; (ii) the GSK Know How to make, have made, use, develop, import, offer for sale, sell, distribute, market, promote and otherwise exploit the Compound and Products ,and (iii) solely to the extent that the Agreement is
terminated after the First Commercial Sale, GSK’s rights (including any copyrights) in the Promotional Materials, to use, reproduce, modify, distribute such Promotional Materials and derivatives thereof (provided that such license shall not
include any rights with respect to the company trade name or logo of GSK and provided that such Promotion Materials would be provided “as is” and without any representations or warranties whatsoever with respect to the use of 

 
  

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	 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS
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COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934,
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such Promotional Materials). In addition, GSK shall assign to XenoPort all right, title and interest to the GSK Trademarks, and all Product-specific domain names, for the Products, including all
registrations thereof. 
 (f) Royalty Back. In the event of a termination by GSK under Section 14.3
after GSK has obtained a Marketing Approval in the Territory for a Neuropathic Pain Indication and commercially launched the Product for such indication in the Territory, XenoPort shall pay to GSK royalties on Net Sales of such Product by XenoPort,
its Affiliates and licenses of such Product in the Territory, as follows: (i) if GSK achieved Annual Net Sales for such Product in a calendar year prior to termination of [... * ...] XenoPort shall pay to GSK a royalty of
[... * ...] of the Net Sales of such Product in the Territory; and (ii) if GSK achieved Annual Net Sales for such Product in a calendar year prior to termination of [... * ...] then in lieu of the royalty specified in
(i) above, XenoPort shall pay to GSK a royalty of [... * ...] of the Net Sales of such Product. Such royalty shall continue for a period of ten years (10) from the date of such termination, or if longer, until the expiration
of the last XenoPort Patent that would be infringed by the unlicensed sale of such Product in the Territory. For such purposes, the provisions of Sections 1.36, 6.3(b) and 6.4, and of Article 7, shall apply mutatis mutandis. 

(g) Return of Materials. Within [... * ...] after the end of the Wind-down Period upon request by
XenoPort, GSK shall use Commercially Reasonable Efforts to either return to XenoPort or destroy all tangible items comprising, bearing or containing trademarks (including the XenoPort Trademarks), trade names, patents, copyrights, designs, drawings,
formulas or other Data, photographs, samples, literature, sales and promotional aids (“Product Materials”) and all Confidential Information of XenoPort, that is in GSK’s possession. Effective upon the end of the Wind-down
Period, GSK shall: (i) cease to use all trademarks and trade names of XenoPort (including the XenoPort Trademarks) in the Territory, and all rights granted to GSK hereunder with respect to the Compound and all Products in the Territory shall
terminate; and (ii) assign to XenoPort all trademarks and trade names of XenoPort (including the XenoPort Trademarks). 
 (h) Sublicensees. Any contracts with Sublicensees of any Product in the Territory engaged by GSK other than GSK’s Affiliates shall be assigned to XenoPort to the extent GSK has the right to do
so and XenoPort so requests. In the event such assignment is not requested by XenoPort or GSK does not have the right to do so, then the rights of such Sublicensees shall terminate upon termination of GSK’s rights with respect to the Product in
the Territory. GSK shall contractually require that its Affiliates and such Sublicensees (if not assigned to XenoPort pursuant to this Section15.2(h)) shall use Commercially Reasonable Efforts to transition all Products back to XenoPort in the
manner set forth in this Section 15.2 as if such Affiliate or Sublicensee were named herein. 
 15.3
Rights Upon Termination for Bankruptcy. Notwithstanding the bankruptcy of XenoPort, or the impairment of performance by XenoPort of its obligations under this Agreement as a result of bankruptcy or insolvency of XenoPort, upon the termination
of this Agreement by GSK pursuant to Section 14.4, GSK will be entitled to retain all rights and licenses granted to GSK by 
  

 

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	 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS
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XenoPort under this Agreement. All rights and licenses granted under or pursuant to this Agreement by XenoPort to GSK are, and will otherwise be deemed to be, for purposes of Article 365(n) of
the Bankruptcy Code, licenses of rights to “intellectual property” as defined under Article 101(52) of the Bankruptcy Code. The Parties agree that GSK, as a licensee of such rights under this Agreement, will retain and may fully exercise
all of its rights and elections under the Bankruptcy Code. The Parties further agree that, in the event of the commencement of a bankruptcy proceeding by or against XenoPort under the Bankruptcy Code, GSK will be entitled to a complete duplicate of
(or complete access to, as appropriate) any such intellectual property and all embodiments of such intellectual property, and the same, if not already in its possession, will be promptly delivered to GSK (i) upon any such commencement of a
bankruptcy proceeding upon written request therefor by GSK, unless XenoPort elects to continue to perform all of its obligations under this Agreement, or (ii) if not delivered under (i) above, upon the rejection of this Agreement by or on
behalf of XenoPort, upon written request therefore by GSK. 
 15.4 Additional Rights. The expiration or
termination of this Agreement for any reason shall not relieve the Parties of any obligation (including any payments) that accrued prior to such expiration or termination. Further, neither Party will be precluded from pursuing all rights and
remedies that it may have hereunder at law or in equity with respect to any breach of this Agreement nor prejudice either Party’s right to obtain performance of any obligation. 

15.5 Survival. Upon the expiration or termination of this Agreement, all rights and obligations of the Parties
under this Agreement shall terminate except those described in the following provisions: [... * ...] In addition: (a) [... * ...] and (b) [... * ...] shall survive with respect to [... *
...]. 
 ARTICLE XVI 
 REPRESENTATIONS, WARRANTIES AND COVENANTS 
 16.1 General
Representations. Each Party hereby represents and warrants to the other Party as of the Effective Date as follows: 
 (a) Duly Organized. Such Party is a corporation duly organized, validly existing and is in good standing under the laws of the jurisdiction of its incorporation, is qualified to do business and is
in good standing as a foreign corporation in each jurisdiction in which the conduct of its business or the ownership of its properties requires such qualification and failure to have such would prevent such Party from performing its obligations
under this Agreement. 
 (b) Due Execution; Binding Agreement. This Agreement is a legal and valid
obligation binding upon such Party and enforceable in accordance with its terms. The execution, delivery and performance of this Agreement by such Party have been duly authorized by all necessary corporate action and do not and will not:
(i) require any consent or approval of its stockholders; (ii) to such Party’s knowledge, violate any Applicable Law, order, writ, judgment, 
  

 

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	 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS
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decree, determination or award of any court, governmental body or administrative or other agency having jurisdiction over such Party; nor (iii) conflict with, or constitute a default under,
any agreement, instrument or understanding, oral or written, to which such Party is a party or by which it is bound. 
 (c) No Other Affiliates. As of the Effective Date, such Party does not have any Affiliates that are not Controlled Affiliates. 

16.2 Representations and Warranties of XenoPort. XenoPort represents, warrants to GSK that, as of the Effective
Date: 
 (a) it has the full right and authority to grant the rights and licenses as provided herein;

 (b) it has not previously granted any right, license or interest in or to the XenoPort Patents or XenoPort
Trademarks, or any portion thereof, that is in conflict with the rights or licenses granted to GSK under this Agreement; 
 (c) to its knowledge, there are no actual, pending, anticipated, alleged or threatened actions, suits, claims, interference or governmental investigations involving the Compound, the XenoPort Patents, the
XenoPort Know-How or the XenoPort Trademarks by or against XenoPort, or any of its Affiliates; provided that no representation or warranty is made with respect to any Patent rights of a Third Party of which GSK is aware as of the Effective Date. In
particular, to its best knowledge, there is no pending or threatened product liability action nor intellectual property right litigation in relation to the Compound; 

(d) subject to Article 19, all necessary consents, approvals and authorizations of all Regulatory Authorities, other
governmental authorities and other persons or entities required to be obtained by XenoPort in order to enter into this Agreement have been obtained; to its knowledge, there is no actual, pending, anticipated, alleged or threatened infringement by a
Third Party of any of the XenoPort Patents, the XenoPort Know-How or the XenoPort Trademarks; 
 (e) to its
knowledge, none of the issued XenoPort Patents or applications or registrations for the XenoPort Trademarks are invalid or unenforceable; 
 (f) it has not, up through and including the Effective Date, knowingly withheld any material information in its possession from GSK in response to GSK’s reasonable inquiries in connection with
GSK’s due diligence relating to the Compound, this Agreement and the underlying transaction, and to the best of its knowledge, the information related to the Compound that XenoPort has provided to GSK prior to the Effective Date is up-to-date
and accurate in all material respects; and 
 (g) [... * ...]  

 
  

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	 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS
DOCUMENT, MARKED BY BRACKETS, IS FILED WITH THE SECURITIES AND EXCHANGE
COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934,
AS AMENDED 

  
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 16.3 Representations and Warranties of GSK. GSK represents and
warrants to XenoPort that, as of the Effective Date: 
 (a) it has the full right and authority to grant the
rights granted herein; 
 (b) subject to Article 19, all necessary consents, approvals and authorizations
of all Regulatory Authorities, other governmental authorities and other persons or entities required to be obtained by GSK in order to enter into this Agreement have been obtained; and 

(c) GSK does not have any knowledge that any of XenoPort’s representations and warranties set forth in
Sections 16.1 and 16.2 above are inaccurate. 
 16.4 DISCLAIMER. EXCEPT AS OTHERWISE EXPRESSLY SET
FORTH IN THIS AGREEMENT, NEITHER PARTY MAKES ANY REPRESENTATION OR EXTENDS ANY WARRANTIES OF ANY KIND EITHER EXPRESS OR IMPLIED, INCLUDING, BUT NOT LIMITED TO, WARRANTIES OF MERCHANTABILITY, FITNESS FOR A PARTICULAR PURPOSE, NONINFRINGEMENT OR
VALIDITY OF ANY PATENTS ISSUED OR PENDING. 
 ARTICLE XVII 

INDEMNIFICATION 
 17.1 Indemnification of XenoPort. GSK shall indemnify and hold harmless each of XenoPort, its Affiliates and the directors, officers, stockholders and employees of such entities and the successors
and assigns of any of the foregoing (the “XenoPort Indemnitees”), from and against any and all liabilities, damages, penalties, fines, costs, expenses (including, reasonable attorneys’ fees and other expenses of litigation)
(“Liabilities”) from any claims, actions, suits or proceedings brought by a Third Party (a “Third Party Claim”) incurred by any XenoPort Indemnitee, arising from, or occurring as a result of: (a) the use,
marketing, distribution, importation or sale of any Product by GSK, its Affiliates or Sublicensees in the Territory; (b) the manufacture of any Compound or Product by or on behalf of GSK, its Affiliates or Sublicensees for use and/or
distribution in the Territory; (c) gross negligence or willful misconduct in the conduct of the research and development activities conducted by GSK, or any of its Affiliates or Sublicensees, related to the Compound and/or any Product; and
(d) any material breach of any representations, warranties or covenants by GSK in Article 16 above; except to the extent such Third Party Claims fall within the scope of XenoPort’s indemnification obligations set forth in
Section 17.2 below or result from the gross negligence or fault of a XenoPort Indemnitee. In the event XenoPort exercises the Co-Promotion Option and is Co-Promoting Product, GSK’s indemnification obligations set forth in this
Section 17.1 shall [... * ...] 
 17.2 Indemnification of GSK. XenoPort shall indemnify
and hold harmless each of GSK, its Affiliates and Sublicensees and the directors, officers and employees of GSK, its Affiliates and Sublicensees and the successors and assigns of any of the foregoing (the “GSK Indemnitees”), from

  
  

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	 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS
DOCUMENT, MARKED BY BRACKETS, IS FILED WITH THE SECURITIES AND EXCHANGE
COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934,
AS AMENDED 

  
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and against any and all Liabilities from any Third Party Claims incurred by any GSK Indemnitee, arising from, or occurring as a result of (a) gross negligence or willful misconduct in the
conduct of the research and development activities conducted by XenoPort or its Affiliates related to Compound and/or any Product, (b) the use, marketing, distribution, or sale of any Product by XenoPort, its Affiliates or licensees outside the
Territory, (c) the manufacture of any Compound or Product by or on behalf of XenoPort, its Affiliates or licensees in the Territory for the purposes of use and/or distribution outside the Territory; or (d) any material breach of any
representations, warranties or covenants by XenoPort in Article 16 above, except to the extent such Third Party Claims fall within the scope of GSK’s indemnification obligations set forth in Section 17.1 above or result from the fault
of an GSK Indemnitee. 
 17.3 Procedure. A Party that intends to claim indemnification under this Article
17 (the “Indemnitee”) shall promptly notify the other Party (the “Indemnitor”) in writing of the assertion or the commencement of Third Party Claim and will provide the Indemnitor such information with respect
thereto that the Indemnitor may reasonably request. The Indemnitor shall be entitled to participate in the defense of any Third Party Claim and, subject to the limitations set forth in this Section 17.3, shall be entitled to control and appoint
lead counsel for such defense, in each case at its expense. If the Indemnitor shall assume the control of the defense of any Third Party Claim in accordance with the provisions of this Section 17.3, the Indemnitor shall obtain the prior written
consent of the Indemnitee (which shall not be unreasonably withheld) before entering into any settlement of such Third Party Claim. The failure to deliver written notice to the Indemnitor within a reasonable time after the commencement of any action
with respect to a Third Party Claim, if prejudicial to its ability to defend such action, shall relieve such Indemnitor of any liability to the Indemnitee under this Section 17.3, but the omission to so deliver written notice to the Indemnitor
shall not relieve the Indemnitor of any liability that it may have to any Indemnitee otherwise than under this Section 17.3. The Indemnitee under this Section 17.3 shall cooperate fully with the Indemnitor and its legal representatives in
the investigation of any action with respect to a Third Party Claim covered by this indemnification. 
 ARTICLE XVIII

 DISPUTE RESOLUTION 
 18.1 Dispute Resolution. The Parties agree that with respect to any disputes that are not within the authority of the ESC, JDC or JCC as provided in Article 3 (all such disputes that are not within
the authority of the ESC, JDC or JCC would include disputes arising with respect to the interpretation, enforcement, termination or invalidity of this Agreement, and for the purposes of this Article 18, each a “Dispute”), the
Dispute shall first be presented to the Chief Executive Officer of XenoPort and the Chief Operating Officer of GSK, or their respective designees for resolution. If the Chief Executive Officers, or their respective designees, cannot resolve the
Dispute within [... * ...] of the request to do so, either Party may initiate legal proceedings with respect thereto. Notwithstanding anything in this Article 18 to the contrary, XenoPort and GSK shall each have the 

 
  

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	 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS
DOCUMENT, MARKED BY BRACKETS, IS FILED WITH THE SECURITIES AND EXCHANGE
COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934,
AS AMENDED 

  
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right to apply to any court of competent jurisdiction for appropriate interim or provisional relief, as necessary to protect the rights or property of that Party. 

18.2 Arbitration of Certain Limited Disputes. If: (i) the Parties do not agree upon [... * ...]
or (ii) the Parties otherwise mutually agree to the resolution of a dispute by binding arbitration; in each case, such dispute shall, upon written notice of either Party to the other, be resolved by final, binding arbitration in accordance with
the provisions of this Section 18.2. The arbitration shall be conducted by the Judicial Arbitration and Mediation Services, Inc. (or any successor entity thereto) (“JAMS”) under its rules of arbitration then in effect, except
as modified in this Agreement. The arbitration shall be conducted in the English language, by a single arbitrator. If the Parties are unable to agree on an arbitrator, the arbitrator shall be selected in accordance with the JAMS rules, or if the
JAMS Rules do not provide for such selection, by the chief executive of JAMS. At his or her election, the arbitrator may engage an independent expert with experience in the subject matter of the Dispute to advise the arbitrator. 

(a) With respect to any dispute to be resolved under this Section 18.2, the Parties and the arbitrator shall use all
reasonable efforts to complete any such arbitration within [... * ...] from the issuance of notice of a referral of any such dispute to arbitration. The arbitrator shall determine what discovery will be permitted, consistent with the
goal of limiting the cost and time that the Parties must expend for discovery; provided that the arbitrator shall permit such discovery as he or she deems necessary to permit an equitable resolution of the Dispute. 

(b) The arbitration under this Section 18.2 with respect to the matter described in (i) above shall [...
* ...] Accordingly, [... * ...] with respect to [... * ...] the arbitrator shall [... * ...]. 
 (c) The Parties agree that the decision of the arbitrator shall be the binding remedy between them regarding the Dispute presented to the arbitrator. Any decision of the arbitrator may be entered in a
court of competent jurisdiction for judicial recognition of the decision and an order of enforcement. The arbitration proceedings and the decision of the arbitrator shall not be made public without the joint consent of the Parties and each Party
shall maintain the confidentiality of such proceedings and decision unless each Party otherwise agrees in writing; provided that either Party may make such disclosures as are permitted for Confidential Information of the other Party under Article 11
above. 
 (d) Unless otherwise mutually agreed upon by the Parties, the arbitration proceedings shall be
conducted in New York, New York. The Parties agree that they shall share equally the cost of the arbitration filing and hearing fees, the cost of the independent expert retained by the arbitrator, and the cost of the arbitrator and administrative
fees of JAMS. Each Party shall bear its own costs and attorneys’ and witnesses’ fees and associated costs and expenses. 
  

 

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	 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS
DOCUMENT, MARKED BY BRACKETS, IS FILED WITH THE SECURITIES AND EXCHANGE
COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934,
AS AMENDED 

  
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 ARTICLE XIX 
 HART-SCOTT-RODINO 
 19.1 HSR Act Compliance.
Notwithstanding anything to the contrary in this Agreement, this Agreement shall be binding upon the Parties as of the Effective Date; however, the provisions of Articles 2-7 shall not take effect, and commencement of the collaboration shall not
occur, until the Closing Date. 
 19.2 Cooperation. 

(a) The Parties shall use their Commercially Reasonable Efforts to obtain prompt clearance required under the HSR Act for
the consummation of this Agreement and the transactions contemplated hereby and shall keep each other apprised of the status of any communications with, and any inquiries or requests for additional information from, the FTC and the DOJ and shall
comply promptly with any such inquiry or request; provided, however, that neither Party shall be required to consent to the divestiture or other disposition of any of its or its Affiliates’ assets or to consent to any other structural or
conduct remedy, and each Party and its Affiliates shall have no obligation to contest, administratively or in court, any ruling, order or other action of the FTC or DOJ or any third party respecting the transactions contemplated by this Agreement.

 (b) The Parties hereto commit to instruct their respective counsel to cooperate with each other and use
Commercially Reasonable Efforts to facilitate and expedite the identification and resolution of any such issues and, consequently, the expiration of the applicable HSR Act waiting period. Said Commercially Reasonable Efforts and cooperation include,
but are not limited to, counsel’s undertaking: (i) to keep each other appropriately informed of communications from and to personnel of the reviewing antitrust authority; and (ii) to confer with each other regarding appropriate
contacts with and response to personnel of the FTC or DOJ. 
 ARTICLE XX 

GENERAL PROVISIONS 
 20.1 Effect of Restatement. It is understood that this Restated Agreement supersedes and replaces the Original Agreement from and after the Restatement Effective Date. Notwithstanding the
foregoing, the terms of the Original Agreement shall continue to apply with respect to matters that occurred prior to the Restatement Effective Date. 
 20.2 Force Majeure. If the performance of any part of this Agreement (except for any payment obligation under this Agreement) by either Party is prevented, restricted, interfered with or delayed by
reason of force majeure (including, fire, flood, embargo, power shortage or failure, acts of war, insurrection, riot, terrorism, strike, lockout or other labor disturbance or acts of God), the Party so affected shall, upon giving written
notice to the other Party, be excused from such 
  

 

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	 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS
DOCUMENT, MARKED BY BRACKETS, IS FILED WITH THE SECURITIES AND EXCHANGE
COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934,
AS AMENDED 

  
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performance to the extent of such prevention, restriction, interference or delay; provided that the affected Party shall use its reasonable efforts to avoid or remove such causes of
non-performance and shall continue performance with the utmost dispatch whenever such causes are removed. 

20.3 Governing Law. This Agreement and all questions regarding its validity or interpretation, or the breach or
performance of this Agreement, shall be governed by, and construed and enforced in accordance with, the laws of the State of Delaware, without reference to conflict of law principles. 

20.4 Waiver of Breach. Except as otherwise expressly provided in this Agreement, any term of this Agreement may be
waived only by a written instrument executed by a duly authorized representative of the Party waiving compliance. The delay or failure of either Party at any time to require performance of any provision of this Agreement shall in no manner affect
such Party’s rights at a later time to enforce the same. No waiver by either Party of any condition or term in any one or more instances shall be construed as a further or continuing waiver of such condition or term or of another condition or
term. 
 20.5 Modification. No amendment or modification of any provision of this Agreement shall be
effective unless in writing signed by a duly authorized representative of each Party. No provision of this Agreement shall be varied, contradicted or explained by any oral agreement, course of dealing or performance or any other matter not set forth
in an agreement in writing and signed by a duly authorized representative of each Party. 
 20.6
Severability. In the event any provision of this Agreement should be held invalid, illegal or unenforceable in any jurisdiction, the Parties shall negotiate in good faith a valid, legal and enforceable substitute provision that most nearly
reflects the original intent of the Parties and all other provisions of this Agreement shall remain in full force and effect in such jurisdiction. Such invalidity, illegality or unenforceability shall not affect the validity, legality or
enforceability of such provision in any other jurisdiction. In the event a Party seeks to avoid a provision of this Agreement by asserting that such provision is invalid, illegal or otherwise unenforceable, the other Party shall have the right to
terminate this Agreement upon [... * ...] prior written notice to the asserting Party, unless such assertion is eliminated and the effect of such assertion cured within such [... * ...] period. Any termination in accordance
with the foregoing shall be deemed a termination pursuant to Section 14.3 if the Party who made the assertion was GSK, and shall be deemed a termination under Section 14.2 by reason of a breach by XenoPort, if XenoPort is the Party who
made such assertion. 
 20.7 Entire Agreement. This Agreement (including the Exhibits attached hereto),
together with the pharmacovigilance agreement specified in Section 4.12(a), the Pharmacovigilance Agreement specified in Section 4.12(b), the Co-Promotion Agreement specified in Section 5.5 and the supply agreement specified in
Section 10.3(b) (from and after the time that each such agreement is executed by the Parties), constitute the entire agreement between the Parties relating to its subject matter and supersede all prior or contemporaneous agreements,
understandings or representations, 
  
  

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	 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS
DOCUMENT, MARKED BY BRACKETS, IS FILED WITH THE SECURITIES AND EXCHANGE
COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934,
AS AMENDED 

  
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either written or oral, between XenoPort and GSK with respect to such subject matter, subject to Section 20.1. 

20.8 Notices. Unless otherwise agreed by the Parties or specified in this Agreement, all communications between
the Parties relating to, and all written documentation to be prepared and provided under, this Agreement shall be in the English language. Any notice required or permitted under this Agreement shall be in writing in the English language:
(a) delivered personally; (b) sent by registered or certified mail (return receipt requested and postage prepaid); (c) sent by express courier service providing evidence of receipt, postage pre-paid where applicable; or (d) sent
by facsimile (receipt verified and a copy promptly sent by another permissible method of providing notice described in paragraphs (b), (c) or (d) above), to the following addresses of the Parties or such other address for a Party as
may be specified by like notice: 
  

			
	 To XenoPort:
  

XenoPort, Inc.

3410 Central Expressway
 Santa Clara, CA 95051
 Telephone: (408) 616-7200

Facsimile: (408) 616-7211
 Attention: Secretary
	  	 To GSK:
  

Glaxo Group Limited
 Glaxo Wellcome House, Berkeley Avenue
 Greenford, Middlesex, UB6 0NN,
England
 Telephone: 44 20 8 047 4501
 Facsimile: 44 20 8 047 6904
 Attention: Company Secretary

  
  

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	 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS
DOCUMENT, MARKED BY BRACKETS, IS FILED WITH THE SECURITIES AND EXCHANGE
COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934,
AS AMENDED 

  
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	 With a copy to:
  

Wilson, Sonsini, Goodrich & Rosati
 650 Page Mill Road
 Palo Alto, CA 94304

Telephone: (650) 493-9300
 Facsimile: (650) 493-6811
 Attention: Kenneth A. Clark
	  	 With a copy to:
  

GlaxoSmithKline

709 Swedeland Road

P.O. Box 1539

King of Prussia, PA 19406-0939 USA
 Telephone: (610) 270-5397
 Facsimile: (610) 270-5880

Attention : Senior Vice President, Worldwide
 Business Development
  
 and
  
 GlaxoSmithKline
 2301 Renaissance Boulevard

Mailcode RN0220

King of Prussia, PA 19406-2772
 Telephone: (610) 787-3626
 Facsimile: (610) 787-7084

Attention: Vice President and Associate General
 Counsel, Business Development Transactions

 Any notice required or permitted to be given concerning this Agreement shall be effective
upon receipt by the Party to whom it is addressed or within seven (7) days of dispatch whichever is earlier. 
 20.9 Assignment. This Agreement shall not be assignable by either Party to any Third Party hereto without the written consent of the other Party hereto; except either Party may assign this
Agreement without the other Party’s consent to an entity that acquires substantially all of the business or assets of the assigning Party, whether by merger, acquisition or otherwise, provided that the Party to whom this Agreement is assigned
assumes this Agreement in writing or by operation of law. In addition, either Party shall have the right to assign this Agreement to an Affiliate upon written notice to the non-assigning Party; provided that the assigning Party guarantees the
performance of this Agreement by such Affiliate; and further provided that if the non-assigning Party reasonably believes such assignment could result in material adverse tax consequences to the non-assigning Party, such assignment shall not be made
without the non-assigning Party’s consent. Subject to the foregoing, this Agreement shall inure to the benefit of each Party, its successors and permitted assigns. Any assignment of this Agreement in contravention of this Section 20.9
shall be null and void. 
 20.10 No Partnership or Joint Venture. Nothing in this Agreement is intended,
or shall be deemed, to establish a joint venture or partnership between XenoPort and GSK. Neither Party to this 
  

 

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	 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS
DOCUMENT, MARKED BY BRACKETS, IS FILED WITH THE SECURITIES AND EXCHANGE
COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934,
AS AMENDED 

  
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Agreement shall have any express or implied right or authority to assume or create any obligations on behalf of, or in the name of, the other Party, or to bind the other Party to any contract,
agreement or undertaking with any Third Party. 
 20.11 Interpretation. The captions to the several
Articles and Sections of this Agreement are not a part of this Agreement, but are included for convenience of reference and shall not affect its meaning or interpretation. In this Agreement: (a) the word “including” shall be deemed to
be followed by the phrase “without limitation” or like expression; (b) the singular shall include the plural and vice versa; and (c) masculine, feminine and neuter pronouns and expressions shall be interchangeable. Each
accounting term used herein that is not specifically defined herein shall have the meaning given to it under International Generally Accepted Accounting Principles. All references to a “business day” or “business days” in this
Agreement means any day other than a day which is a Saturday, a Sunday or any day banks are authorized or required to be closed in the United States or in the United Kingdom. 

20.12 Export Laws. Notwithstanding anything to the contrary contained herein, all obligations of XenoPort and GSK
are subject to prior compliance with the export regulations of the United States, the European Union or any other relevant country and such other laws and regulations in effect in the United States, the European Union or any other relevant country
as may be applicable, and to obtaining all necessary approvals required by the applicable agencies of the governments of the United States, the countries within the European Union and any other relevant countries. XenoPort and GSK shall cooperate
with each other and shall provide assistance to the other as reasonably necessary to obtain any required approvals. 
 20.13 Counterparts. This Agreement may be executed in any number of counterparts, each of which shall be deemed an original, and all of which together shall constitute one and the same instrument.

  
  

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	 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS
DOCUMENT, MARKED BY BRACKETS, IS FILED WITH THE SECURITIES AND EXCHANGE
COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934,
AS AMENDED 

  
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 IN WITNESS WHEREOF, the Parties have executed this Development and
Commercialization Agreement as of the Restatement Effective Date. 
  

			
	 XENOPORT, INC.

		
	 BY:
	 	 /s/ Ronald W. Barrett

		
	 NAME:
	 	 Ronald W. Barrett

		
	 TITLE:
	 	 Chief Executive Officer

	
	 GLAXO GROUP LIMITED

		
	 BY:
	 	 /s/ Rosalind F. Cheetham

		
	 NAME:
	 	 Rosalind F. Cheetham

		
	 TITLE:
	 	 Attorney-In-Fact

  
  

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	 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS
DOCUMENT, MARKED BY BRACKETS, IS FILED WITH THE SECURITIES AND EXCHANGE
COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934,
AS AMENDED 

 EXHIBIT 1.15 
 [... * ...] 
  

 

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	 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS
DOCUMENT, MARKED BY BRACKETS, IS FILED WITH THE SECURITIES AND EXCHANGE
COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934,
AS AMENDED 

 EXHIBIT 1.62 
 XenoPort Patents 
 [... * ...] 

 
  

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	 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS
DOCUMENT, MARKED BY BRACKETS, IS FILED WITH THE SECURITIES AND EXCHANGE
COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934,
AS AMENDED 

 EXHIBIT 1.63 
 XenoPort Trademarks 
 [... * ...] 

 
  

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	 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS
DOCUMENT, MARKED BY BRACKETS, IS FILED WITH THE SECURITIES AND EXCHANGE
COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934,
AS AMENDED 

 EXHIBIT 2.1 
 Reversion of Rights 
 1. Further to Section 2.1(b) of the Restated
Agreement, the Parties hereby agree as follows: 
 (a) To the extent permitted under Applicable Law, GSK shall
assign (or cause to be assigned to) XenoPort all Regulatory Filings for all Products in the ROW Territory (including any such Regulatory Filings made or owned by GSK’s Affiliates), or to the extent not so assignable, GSK shall take all
reasonable actions to make available to XenoPort or its designee the benefits of such Regulatory Filings. In each case, the foregoing assignment (or availability) shall be made [... * ...] 

(b) Effective as of the Restatement Effective Date, [... * ...] to the extent applicable, XenoPort shall
have and is hereby granted by GSK a non-exclusive license, with the right to grant sublicenses, under any Patents owned or Controlled by GSK: (i) for the purposes of making, having made, using, developing, importing, offering for sale, selling,
distributing, marketing, promoting and otherwise exploiting the Compound and Products in the ROW Territory; (ii) [... * ...] of the Agreement, to conduct within the Territory research and development activities that are directed
towards obtaining Marketing Approvals or otherwise developing Products for commercialization outside the Territory; and (iii) to manufacture the Compound and Product within the Territory solely for use in the foregoing research and development
activities and/or solely for development, commercialization and exploitation outside the Territory. 
 (c) From
and after the Restatement Effective Date, GSK shall: (A) cease to use all trademarks and trade names of XenoPort (including the XenoPort Trademarks) in the ROW Territory; and (ii) if applicable, assign to XenoPort all trademarks and trade
names of XenoPort (including the XenoPort Trademarks) in the ROW Territory. 
 As used herein, “ROW Territory” shall
mean all countries in the world other than the United States. 
 2. GSK represents and warrants that, [... * ...] 

  
  

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	 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS
DOCUMENT, MARKED BY BRACKETS, IS FILED WITH THE SECURITIES AND EXCHANGE
COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934,
AS AMENDED 

 EXHIBIT 2.3(b) 

Phase I Activities 
 [... * ...] 
  

 

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	 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS
DOCUMENT, MARKED BY BRACKETS, IS FILED WITH THE SECURITIES AND EXCHANGE
COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934,
AS AMENDED 

 EXHIBIT 2.4(b) 

[... * ...] 
  

 

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	 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS
DOCUMENT, MARKED BY BRACKETS, IS FILED WITH THE SECURITIES AND EXCHANGE
COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934,
AS AMENDED 

 EXHIBIT 4.1 
 Initial Development Plan for Restless Legs Syndrome 
 (See attached.)

  
  

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	 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS
DOCUMENT, MARKED BY BRACKETS, IS FILED WITH THE SECURITIES AND EXCHANGE
COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934,
AS AMENDED 

 EXHIBIT 4.1 (contd.) 
  
 Initial Development Plan for Neuropathic Pain 

[... * ...] 
  

 

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	 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS
DOCUMENT, MARKED BY BRACKETS, IS FILED WITH THE SECURITIES AND EXCHANGE
COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934,
AS AMENDED 

 EXHIBIT 4.1(d) 

GSK Policies 
 [... * ...] 
  

 

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	 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS
DOCUMENT, MARKED BY BRACKETS, IS FILED WITH THE SECURITIES AND EXCHANGE
COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934,
AS AMENDED 

 EXHIBIT 4.3(a) 

Clinical Studies and Activities 
 [... * ...] 
  

 

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	 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS
DOCUMENT, MARKED BY BRACKETS, IS FILED WITH THE SECURITIES AND EXCHANGE
COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934,
AS AMENDED 

 EXHIBIT 5 
 Co-Promotion Agreement Terms 
 [... * ...] 

 
  

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	 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS
DOCUMENT, MARKED BY BRACKETS, IS FILED WITH THE SECURITIES AND EXCHANGE
COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934,
AS AMENDED 

 EXHIBIT 6.5 
 Financial Planning, Accounting and Reporting Methodologies 
 (Operating
Profit or Loss) 
 This Exhibit 6.5 addresses the financial planning, accounting policies and procedures to be
followed under the Agreement in determining sharing of revenue and expenses and related share of Operating Profit or Loss in the United States. Terms not defined in this Exhibit 6.5 shall have the meanings set forth in the Agreement.

 [... * ...] 
  

 

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	 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS
DOCUMENT, MARKED BY BRACKETS, IS FILED WITH THE SECURITIES AND EXCHANGE
COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934,
AS AMENDED 

 EXHIBIT 10.1 
 Supply Transition – Technical Transfer Requirements 
 Documentation
and materials to be supplied by XenoPort as part of technical transfer requirements include, but are not limited to, the follow: 

[... * ...] 
  

 

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	 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS
DOCUMENT, MARKED BY BRACKETS, IS FILED WITH THE SECURITIES AND EXCHANGE
COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934,
AS AMENDED 

 EXHIBIT 11.3 
 Press Release 
 (See publicly filed press release.) 

 
  

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DOCUMENT, MARKED BY BRACKETS, IS FILED WITH THE SECURITIES AND EXCHANGE
COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934,
AS AMENDED 

 EXHIBIT 12.2 
 XenoPort Prosecuted Patents 
 [... * ...] 

 
  

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	 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS
DOCUMENT, MARKED BY BRACKETS, IS FILED WITH THE SECURITIES AND EXCHANGE
COMMISSION PURSUANT TO RULE 24B-2 OF THE SECURITIES EXCHANGE ACT OF 1934,
AS AMENDED

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