Document:

Exhibit 10(a)

FIRST
AMENDMENT TO AMENDED AND RESTATED CREDIT AGREEMENT,

AND REAFFIRMATION OF GUARANTIES

This FIRST AMENDMENT TO AMENDED AND RESTATED CREDIT AGREEMENT AND
REAFFIRMATION OF GUARANTIES, dated as of December 1, 2006 (the “First Amendment”),
is entered into by and between QUIXOTE CORPORATION, a Delaware corporation (the
“Borrower”), whose address is Thirty Five East Wacker Drive, Chicago, Illinois
60601, and QUIXOTE TRANSPORTATION SAFETY, INC., TRANSAFE CORPORATION,
ENERGY ABSORPTION SYSTEMS, INC., ENERGY ABSORPTION SYSTEMS (AL) LLC, SURFACE
SYSTEMS, INC., NU-METRICS, INC., HIGHWAY INFORMATION SYSTEMS, INC., U.S.
TRAFFIC CORPORATION (formerly known as Green Light Acquisition Corporation),
PEEK TRAFFIC CORPORATION, (formerly known as Vision Acquisition Corporation),
as Subsidiary Guarantors, each
being referred to herein as a “Guarantor” and collectively referred to herein
as the “Guarantors”), and LASALLE BANK NATIONAL ASSOCIATION, a national banking
association (the “Bank”), whose address is 135 South LaSalle Street, Chicago,
Illinois 60603.

R E C I T A L S:

A.            The
Borrower and the Bank entered into that certain Amended and Restated Credit
Agreement, dated as of April 20, 2005, as modified and amended (collectively,
the “Loan Agreement”), pursuant to which Loan Agreement the Bank has made a
Revolving Loan to the Borrower evidenced by that certain Revolving Note, dated
as of April 20, 2005, in the maximum principal amount of $30,000,000, executed
by Borrower and made payable to the order of the Bank.

B.            In
connection with the Loan Agreement, the Guarantors executed and delivered to
the Bank that certain Guaranty, dated as of May 16, 2003 in favor of the Bank,
as amended by that Reaffirmation and Amendment of Subsidiary Guaranty, dated as
of April 20, 2005.

C.            At
the present time the Borrower, the Guarantors and the Bank request (i) that the
definition of “Letter of Credit be amended to permit on Borrower’s request, by
application, and the Bank’s issuance of commercial, documentary or trade
Letters of Credit in addition to standby Letters of Credit, and (ii) the Bank’s
consent to the consummation of the Quixote Transportation Technologies, Inc.’s
(“QTI”) acquisition of the Mobile IR Sensor product line of Control Products,
Inc. (“CPI”) pursuant to the Asset Purchase Agreement, dated as of November 10,
2006, between QTI and CPI, pursuant to the terms and conditions hereinafter set
forth.

NOW THEREFORE, in consideration of the premises and
other good and valuable consideration, the receipt and adequacy of which are
hereby acknowledged, the Borrower, and the Guarantors and the Bank hereby agree
as follows:

A G R E E M E N T S:

1.             RECITALS.  The foregoing Recitals are hereby made a part
of this First Amendment.

2.             DEFINITIONS.  Capitalized words and phrases used herein
without definition shall have the respective meanings ascribed to such words
and phrases in the Loan Agreement.

3.             AMENDMENTS
TO THE LOAN AGREEMENT.

3.1           Revolving
Loan Commitment.  The definition of “Letters
of Credit” in Section 1.1 of the Loan Agreement is hereby amended in its
entirety to read as follows:

“Letters of Credit” 
means standby, trade, commercial or documentary letters of credit (i) to
be issued by the Lender, as Lender pursuant to Section 3.1 hereof or (ii)
deemed issued by the Lender pursuant to Section 3.2 hereof.

3.2           Section
3 of Loan Agreement.  Section 3.7(C)
is hereby amended by inserting after standby the following “commercial,
documentary or trade (as applicable)”.

3.3           Consent
to Acquisition.  The Bank hereby
consents to the acquisition by Quixote Transportation Technologies, Inc. (“QTI”)
of the Mobile IR Sensor product line pursuant to the terms of that Asset
Purchase Agreement, dated November 10, 2006, between QTI and Control Products,
Inc., for a purchase price consisting of (i) a cash payment in the amount of
$450,000 at closing, (ii) payment of an earn-out equal to 8% of the net sales
price for products sold by QTI for a four year period after closing; and (iii)
QTI’s assumption of certain Assumed Liabilities, as defined therein.

3.4           Release
of Spin-Cast Plastics, Inc.  Borrower
warrants that the assets of Spin-Cast Plastics, Inc. (“Spin-Cast”) have been
sold and it has been merged into Energy Absorption Systems, Inc.  Spin-Cast is a Guarantor under that certain
Guaranty, dated as of May 16, 2003, as amended by that Reaffirmation and
Amendment of Subsidiary Guaranty, dated as of April 20, 2005.  The Bank hereby fully and forever releases,
withdraws, waives and discharges any and all claims, rights, demands, security
interests, mortgages, liens, damages, causes of action, judgments or
liabilities which the Bank has, had or may have ever had against Spin-Cast,
including but not limited to any claims under the Guaranty.

4.             REAFFIRMATION
OF GUARANTIES.  Each of the
Guarantors hereby expressly (a) consents to the execution by the Borrower and
the Bank of this First Amendment, (b) acknowledges that the “Guaranteed Debt”
(as defined in each of the Guaranties) includes all of the obligations and
liabilities owing from the Borrower to the Bank, including, but not limited to,
the obligations and liabilities of the Borrower to the Bank under and pursuant
to the Loan Agreement, as amended from time to time, and as evidenced by the
Revolving Note, as modified, extended and/or replaced from time to time, (c)
reaffirms, assumes and binds themselves in all respects to all of the
obligations, liabilities, duties, covenants, terms and 

 2
 

conditions that are contained in their respective Guaranty, (d) agrees
that all such obligations and liabilities under their respective Guaranty shall
continue in full force and effect and shall not be discharged, limited,
impaired or affected in any manner whatsoever, and (e) represents and warrants
that each of the representations and warranties made by such Guarantor in any
of the documents executed in connection with the Loans remain true and correct
as of the date hereof.

5.             REPRESENTATIONS
AND WARRANTIES.  To induce the Bank
to enter into this First Amendment, the Borrower hereby certifies, represents
and warrants to the Bank that:

5.1           Organization.  The Borrower is a corporation duly organized,
existing and in good standing under the laws of the State of Delaware with full
and adequate corporate power to carry on and conduct its business as presently
conducted.  The Borrower is duly licensed
or qualified in all foreign jurisdictions wherein the nature of its activities
require such qualification or licensing. The Articles of Incorporation and
Bylaws, Borrowing Resolutions and Incumbency Certificate of the Borrower have
not been changed or amended since the most recent date that certified copies
thereof were delivered to the Bank, except as amended (i) to increase the
number of directors and to provide for certificated and uncertificated shares,
as incorporated in the By-Laws, and (ii) to increase the number of authorized
shares, as incorporated in the Articles of Incorporation, both of which are
delivered by Borrower hereunder.  The
Borrower’s state issued organizational identification number is ________ [state
“None” if the Borrower’s state of organization does not issue such a
number].  The exact legal name of the
Borrower is as set forth in the preamble of this First Amendment, and the
Borrower currently does not conduct, nor has it during the last five (5) years
conducted, business under any other name or trade name.  The Borrower will not change its name, its
organizational identification number, if it has one, its type of organization,
its jurisdiction of organization or other legal structure.

5.2           Authorization.  The Borrower is duly authorized to execute
and deliver this First Amendment and is and will continue to be duly authorized
to borrow monies under the Loan Agreement, as amended hereby, and to perform
its obligations under the Loan Agreement, as amended hereby.

5.3           No
Conflicts.  The execution and
delivery of this First Amendment and the performance by the Borrower of its
obligations under the Loan Agreement, as amended hereby, do not and will not
conflict with any provision of law or of the articles of incorporation or
bylaws of the Borrower or of any agreement binding upon the Borrower.

5.4           Validity
and Binding Effect.  The Loan
Agreement, as amended hereby, is a legal, valid and binding obligation of the
Borrower, enforceable against the Borrower in accordance with its terms, except
as enforceability may be limited by bankruptcy, insolvency or other similar
laws of general application affecting the enforcement of creditors’ rights or
by general principles of equity limiting the availability of equitable
remedies.

5.5           Compliance
with Loan Agreement.  The
representation and warranties set forth in Section VI of the Loan Agreement, as
amended hereby, are true and correct with the same effect as if such
representations and warranties had been made on the date hereof, with the 

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exception that all references to the financial statements shall mean
the financial statements most recently delivered to the Bank and except for
such changes as are specifically permitted under the Loan Agreement.  In addition, the Borrower has complied with
and is in compliance with all of the covenants set forth in the Loan Agreement,
as amended hereby, including, but not limited to, those set forth in Section
VII thereof.

5.6           No
Event of Default.  As of the date
hereof, no Event of Default under Section VIII of the Loan Agreement, as
amended hereby, or event or condition which, with the giving of notice or the
passage of time, or both, would constitute an Event of Default, has occurred or
is continuing.

5.7           No
Subordinated Debt Default.  As of the
date hereof, no default under any of the documents evidencing or securing any
of the Junior Debt, or event or condition which, with the giving of notice or
the passage of time, or both, would constitute a default under any of the
documents evidencing or securing any of the Subordinated Debt, has occurred or
is continuing.

6.             CONDITIONS
PRECEDENT.  This First Amendment
shall become effective as of the date above first written after receipt by the
Bank of the following documents:

6.1           First
Amendment.  This First Amendment executed
by the Borrower, the Guarantors, and the Bank.

6.2           By-Laws
and Certificate of Incorporation. Copies of By-Laws and Certificate of
Incorporation of Borrower, which Borrower certifies are true, complete and in
full force and effect as of the date hereof, it being understood that the Bank
may conclusively rely on each such document until formally advised by Borrower
of any changes therein.

6.3           Other
Documents.  Such other documents,
certificates and/or opinions of counsel as the Bank may request.

7.             GENERAL.

7.1           Governing
Law; Severability.  This First
Amendment shall be construed in accordance with and governed by the laws of
Illinois.  Wherever possible each
provision of the Loan Agreement and this First Amendment shall be interpreted
in such manner as to be effective and valid under applicable law, but if any
provision of the Loan Agreement and this First Amendment shall be prohibited by
or invalid under such law, such provision shall be ineffective to the extent of
such prohibition or invalidity, without invalidating the remainder of such
provision or the remaining provisions of the Loan Agreement and this First
Amendment.

7.2           Successors
and Assigns.  This First Amendment
shall be binding upon the Borrower, the Guarantors, and the Bank and their
respective successors and assigns, and shall inure to the benefit of the
Borrower, the Guarantors, and the Bank and the successors and assigns of the
Bank.

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7.3           Continuing
Force and Effect of Loan Documents and Guaranty.  Except as specifically modified or amended by
the terms of this First Amendment, all other terms and provisions of the Loan
Agreement and the other Loan Documents are incorporated by reference herein,
and in all respects, shall continue in full force and effect.  The Borrower, by execution of this First
Amendment, hereby reaffirms, assumes and binds itself to all of the
obligations, duties, rights, covenants, terms and conditions that are contained
in the Loan Agreement and the other Loan Documents.  Each of the Guarantors, by execution of this
First Amendment, hereby reaffirms, assumes and binds itself to all of the
obligations, duties, rights, covenants, terms and conditions that are contained
in Guaranty.

7.4           Financing
Statements.  The Borrower hereby
irrevocably authorizes the Bank at any time and from time to time to file in
any jurisdiction any initial UCC financing statements and/or amendments thereto
that (a) describe the Collateral, and (b) contain any other information
required by part 5 of Article 9 of the UCC for the sufficiency or filing office
acceptance of any financing statement or amendment.

7.5           References
to Loan Agreement.  Each reference in
the Loan Agreement to “this Agreement”, “hereunder”, “hereof”, or words of like
import, and each reference to the Loan Agreement in any and all instruments or
documents delivered in connection therewith, shall be deemed to refer to the
Loan Agreement, as amended hereby.

7.6           Expenses.  The Borrower shall pay all costs and expenses
in connection with the preparation of this First Amendment and other related
loan documents, including, without limitation, reasonable attorneys’ fees and
time charges of attorneys who may be employees of the Bank or any affiliate or
parent of the Bank.  The Borrower shall
pay any and all stamp and other taxes, UCC search fees, filing fees and other
costs and expenses in connection with the execution and delivery of this First
Amendment and the other instruments and documents to be delivered hereunder,
and agrees to save the Bank harmless from and against any and all liabilities
with respect to or resulting from any delay in paying or omission to pay such
costs and expenses.

7.7           Counterparts.  This First Amendment may be executed in any
number of counterparts, all of which shall constitute one and the same
agreement.

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IN WITNESS WHEREOF, the parties hereto have executed
this First Amendment to Amended and Restated Credit Agreement and Reaffirmation
of Guaranties as of the date first above written.

	
  

  	
  QUIXOTE CORPORATION

  
	
   

  	
  a Delaware corporation, as Borrower

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
  By:

  	
  /s/ Daniel P. Gorey

  
	
   

  	
  Name:

  	
  Daniel P. Gorey

  
	
   

  	
  Title:

  	
  Vice President, Chief Financial Officer

  
	
   

  	
   

  	
  and Treasurer

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
  QUIXOTE TRANSPORTATION SAFETY, INC.

  
	
   

  	
  TRANSAFE CORPORATION

  
	
   

  	
  ENERGY ABSORPTION SYSTEMS, INC.

  
	
   

  	
  ENERGY ABSORPTION SYSTEMS (AL) LLC

  
	
   

  	
  SURFACE SYSTEMS, INC.

  
	
   

  	
  NU-METRICS, INC.

  
	
   

  	
  HIGHWAY INFORMATION SYSTEMS, INC.

  
	
   

  	
  U.S. TRAFFIC CORPORATION

  
	
   

  	
  (formerly known as Green Light Acquisition

  Corporation)

  
	
   

  	
  PEEK TRAFFIC CORPORATION, (formerly

  known as Vision Acquisition Corporation), as

  Subsidiary Guarantors

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
  Name:

  	
  Daniel P. Gorey

  
	
   

  	
  Title:

  	
  Vice President and Treasurer

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
  LASALLE BANK NATIONAL ASSOCIATION,

  
	
   

  	
  a national banking association

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
  By:

  	
  /s/ Loran Backofen

  
	
   

  	
  Name:

  	
  Lora Backofen

  
	
   

  	
  Title:

  	
  Senior Vice President

  
					

 

 6Exhibit 4.01

LEHMAN BROTHERS HOLDINGS INC.

Capped Inverse Return
Leveraged Notes Linked to the iShares® Dow Jones 

U.S. Real Estate Index Fund Due February 13, 2009

 

	
  Number R-1

  	
   

  	
  $13,943,000

  
	
  ISIN US524908UP33

  	
   

  	
  CUSIP 524908UP3

  

 

See Reverse for Certain Definitions

THIS
SECURITY (THIS “SECURITY”) IS A GLOBAL SECURITY WITHIN THE MEANING OF
THE INDENTURE HEREINAFTER REFERRED TO AND IS REGISTERED IN THE NAME OF A
DEPOSITORY OR A NOMINEE THEREOF.  UNLESS
AND UNTIL IT IS EXCHANGED IN WHOLE OR IN PART FOR SECURITIES IN CERTIFICATED
FORM, THIS SECURITY MAY NOT BE TRANSFERRED EXCEPT AS A WHOLE BY THE DEPOSITORY
TO A NOMINEE OF THE DEPOSITORY OR BY A NOMINEE OF THE DEPOSITORY TO SUCH
DEPOSITORY OR ANOTHER NOMINEE OF THE DEPOSITORY OR BY THE DEPOSITORY OR ANY
SUCH NOMINEE TO A SUCCESSOR DEPOSITORY OR A NOMINEE OF SUCH SUCCESSOR
DEPOSITORY.  UNLESS THIS SECURITY IS
PRESENTED BY AN AUTHORIZED REPRESENTATIVE OF THE DEPOSITORY TO LEHMAN BROTHERS
HOLDINGS INC. OR ITS AGENT FOR REGISTRATION OF TRANSFER, EXCHANGE OR PAYMENT,
AND ANY SECURITY ISSUED IS REGISTERED IN THE NAME OF CEDE & CO. OR IN
SUCH OTHER NAME AS REQUESTED BY AN AUTHORIZED REPRESENTATIVE OF THE DEPOSITORY
(AND ANY PAYMENT IS MADE TO CEDE & CO. OR TO SUCH OTHER ENTITY AS IS
REQUESTED BY AN AUTHORIZED REPRESENTATIVE OF THE DEPOSITORY), 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.

LEHMAN BROTHERS HOLDINGS
INC., a corporation duly organized and existing under the laws of the State of
Delaware (hereinafter called the “Company”), for value received, hereby
promises to pay to CEDE & CO. or registered assigns, at the office or
agency of the Company in the Borough of Manhattan, The City of New York, on the
Maturity Date, in such coin or currency of the United States of America at the
time of payment shall be legal tender for the payment of public and private
debts, for each $1,000 principal amount of the Securities represented hereby,
an amount equal to the Payment at Maturity or Payment upon a Knock-Out Event,
if applicable. THE SECURITIES REPRESENTED HEREBY SHALL NOT BEAR ANY INTEREST.

Any
amount payable on the Maturity Date or upon an automatic call upon the
occurrence of a Knock-Out Event, if applicable, hereon will be paid only upon
presentation and surrender of this Security.

REFERENCE IS HEREBY MADE
TO THE FURTHER PROVISIONS OF THIS SECURITY SET FORTH ON THE REVERSE HEREOF
WHICH FURTHER PROVISIONS SHALL FOR ALL PURPOSES HAVE THE SAME EFFECT AS IF SET
FORTH AT THIS PLACE.

“iShares” is a registered
mark of Barclays Global Investors, N.A. (“BGI”).  BGI has licensed certain trademarks and trade
names of BGI to the Company.  The
Securities, linked to the performance of the iShares® Dow Jones U.S. Real
Estate Index Fund, are not sponsored, endorsed, sold or promoted by BGI and BGI
makes no representations or warranties to the owners of the Securities or any
member of the public regarding the advisability of investing in the Securities.  BGI has no obligation or liability in
connection with the operation, marketing, trading or sale of the
Securities.  This Security shall not be
valid or become obligatory for any purpose until the certificate of
authentication hereon shall have been signed by the Trustee under the Indenture
referred to on the reverse hereof.

 2
 

IN WITNESS WHEREOF, Lehman
Brothers Holdings Inc. has caused this instrument to be signed by its Chairman
of the Board, its President, its Vice Chairman, its Chief Financial Officer,
one of its Vice Presidents or its Treasurer, by manual or facsimile signature
under its corporate seal, attested by its Secretary or one of its Assistant
Secretaries by manual or facsimile signature.

Dated:    February 13, 2007

	
  [SEAL]

  	
   

  	
  LEHMAN BROTHERS HOLDINGS INC.

  
	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
  By:

  	
   

  
	
   

  	
   

  	
   

  	
  Vice President

  
	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
  Attest:

  	
   

  
	
   

  	
   

  	
   

  	
  Assistant Secretary

  

 

TRUSTEE’S CERTIFICATE OF
AUTHENTICATION

This is one of the
Securities of the series designated therein referred to in the within-mentioned
Indenture.

CITIBANK, N.A.
  as Trustee

	
  By:

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
  Authorized Officer

  	
   

  

 

 3

Reverse of Security

This Security is one of a
duly authorized series of Securities of the Company designated as Capped
Inverse Return Leveraged Notes Linked to the iShares® Dow Jones
U.S. Real Estate Index Fund Due February 13, 2009 (herein called the “Securities”).  The Company may, without the consent of the
holders of the Securities, create and issue additional notes ranking equally
with the Securities and otherwise similar in all respects so that such further
notes shall be consolidated and form a single series with the Securities;
provided that no additional notes can be issued if an Event of Default has
occurred with respect to the Securities. 
This series of Securities is one of an indefinite number of series of
debt securities of the Company, issued and to be issued under an indenture,
dated as of September 1, 1987, as amended (herein called the “Indenture”),
duly executed and delivered by the Company and Citibank N.A., as trustee
(herein called the “Trustee”, which term includes any successor trustee
under the Indenture), to which Indenture and all indentures supplemental
thereto reference is hereby made for a description of the rights, limitations
of rights, obligations, duties and immunities thereunder of the Company, the
Trustee and the Holders of the Securities.

The Payment at Maturity or
Payment upon a Knock-Out Event, if applicable, at the request of the Trustee,
shall be determined by the Calculation Agent pursuant to the Calculation Agency
Agreement.  The Trustee shall fully rely
on the determination by the Calculation Agent of the Payment at Maturity or
Payment upon a Knock-Out Event, if applicable, and shall have no duty to make
any such determination.  The Calculation
Agent will provide written notice to the Trustee at its New York office, on
which notice the Trustee may conclusively rely, of the Payment at Maturity or
Payment upon a Knock-Out Event, if applicable, on or prior to 11:00 a.m. on the
Business Day preceding the Maturity Date or the second Business Day after the
Knock-Out Determination Date, respectively.

All calculations with respect to
the Initial Share Price, any Price or Closing Price of one share of the Index
Fund, the Share Adjustment Factor, the Final Share Price, the Share Return; the
Knock-Out Share Price; the Knock-Out Share Return and the applicable USD LIBOR,
if applicable, will be rounded to the nearest one hundred-thousandth, with five
one-millionths rounded upward (e.g.,
..876545 would be rounded to .87655); all dollar amounts related to
determination of the Present Value of $1,000 upon an automatic call upon the
occurrence of a Knock-Out Event, if applicable, and the payment per $1,000
principal amount Security, if any, at maturity or upon an automatic call upon
the occurrence of a Knock-Out Event, if applicable, will be rounded to the
nearest ten-thousandth, with five one hundred-thousandths rounded upward (e.g., .76545 would be rounded up to
..7655); and all dollar amounts paid on the aggregate principal amount of
Securities per Holder will be rounded to the nearest cent, with one-half cent
rounded upward.

This Security is not subject
to any sinking fund.

If an Event of Default with
respect to the Securities shall occur and be continuing, the amounts payable on
all of the Securities may be declared due and payable in the manner and with
the effect provided in the Indenture. 
The amount payable to the Holder hereof upon any acceleration permitted
under the Indenture will be equal to the Payment at Maturity calculated as
though the date of acceleration were the Observation Date.  If the maturity of the Securities is
accelerated because of an Event of Default, the Company shall, or shall cause
the Calculation Agent to, provide written notice to the Trustee at its New York
office, on which notice the Trustee may conclusively rely, and to The
Depository Trust Company of the cash amount due

with respect to the
Securities as promptly as possible and in no event later than two Business Days
after the date of acceleration.

The Indenture contains
provisions permitting the Company and the Trustee, with the consent of the
holders of not less than 662¤3% in aggregate
principal amount of each series of Securities at the time Outstanding to be
affected (each series voting as a class), evidenced as in the Indenture
provided, to execute supplemental indentures adding any provisions to, or
changing in any manner or eliminating any of the provisions of the Indenture or
of any supplemental indenture or modifying in any manner the rights of the
holders of the Securities of all such series; provided, however,
that no such supplemental indenture shall, among other things, (i) change the
fixed maturity of any Security, or reduce the principal amount thereof, or
reduce the rate or extend the time of payment of interest thereon, if any, or
reduce any premium payable on redemption, or make the principal thereof, or
premium, if any, or interest thereon, if any, payable in any coin or currency
other than that hereinabove provided, without the consent of the holder of each
Security so affected, or (ii) change the place of payment on any Security, or
impair the right to institute suit for payment on any Security, or reduce the
aforesaid percentage of Securities, the holders of which are required to
consent to any such supplemental indenture, without the consent of the holders
of each Security so affected.  It is also
provided in the Indenture that, prior to any declaration accelerating the
maturity of any series of Securities, the holders of a majority in aggregate
principal amount of the Securities of such series Outstanding may on behalf of
the holders of all the Securities of such series waive any past default or
Event of Default under the Indenture with respect to such series and its
consequences, except a default in the payment of interest, if any, or the
principal of, or premium, if any, on any of the Securities of such series, or
in the payment of any sinking fund installment or analogous obligation with
respect to Securities of such series. 
Any such consent or waiver by the Holder of this Security shall be
conclusive and binding upon such Holder and upon all future holders and owners
of this Security and any Securities which may be issued in exchange or
substitution hereof, irrespective of whether or not any notation thereof is
made upon this Security or such other Securities.

No reference herein to the
Indenture and no provision of this Security or of the Indenture shall alter or
impair the obligation of the Company, which is absolute and unconditional, to
pay the Payment at Maturity or Payment upon a Knock-Out Event, if applicable,
with respect to this Security.

The Securities are issuable
in denominations of $1,000 and any whole multiples of $1,000.

The Company, the Trustee,
and any agent of the Company or of the Trustee may deem and treat the registered
holder (the “Holder”) hereof as the absolute owner of this Security
(whether or not this Security shall be overdue and notwithstanding any notation
of ownership or other writing hereon), for the purpose of receiving payment
hereof, or on account hereof, and for all other purposes and neither the
Company nor the Trustee nor any agent of the Company or of the Trustee shall be
affected by any notice to the contrary. 
All such payments made to or upon the order of such registered holder
shall, to the extent of the sum or sums paid, effectually satisfy and discharge
liability for moneys payable on this Security.

No recourse for the payment
of the principal of, premium, if any, or interest on this Security, or for any
claim based hereon or otherwise in respect hereof, and no recourse under or
upon any obligation, covenant or agreement of the Company in the Indenture or
any indenture supplemental thereto or in any Security, or because of the
creation of any indebtedness

 2
 

represented thereby, shall
be had against any incorporator, stockholder, officer or director, as such,
past, present or future, of the Company or of any successor corporation, either
directly or through the Company or any successor corporation, whether by virtue
of any constitution, statute or rule of law or by the enforcement of any
assessment or penalty or otherwise, all such liability being, by the acceptance
hereof and as part of the consideration for the issue hereof, expressly waived
and released.

As provided in the Indenture
and subject to certain limitations therein set forth, the transfer of this
Security is registrable in the Security Register, upon surrender of this
Security for registration of transfer at the Corporate Trust Office or agency
in a Place of Payment for this Security, duly endorsed by, or accompanied by a
written instrument of transfer in form satisfactory to the Company and the
Security Registrar duly executed by, the Holder hereof or such Holder’s
attorney duly authorized in writing, and thereupon one or more new Securities
of this series or of like tenor and of authorized denominations and for the
same aggregate principal amount, will be issued to the designated transferee or
transferees.

The Company intends to treat, and by purchasing this Security, the
Holder agrees to treat, for all tax purposes, this Security as a cash-settled
financial contract giving rise to capital gain or loss, rather than as a debt
instrument.

THE INDENTURE AND THIS SECURITY
SHALL BE GOVERNED BY AND CONSTRUED IN ACCORDANCE WITH THE LAWS OF THE STATE OF
NEW YORK.

Definitions

Set forth below are
definitions of the terms used in this Security.

“Business Day”, notwithstanding any provision in the Indenture,
shall mean any day that is not a Saturday or Sunday and that is not a day on
which banking institutions in the City of New York are authorized or obligated
by law to close.

“Calculation Agency
Agreement” shall mean the Calculation Agency Agreement, dated as of
December 21, 2006 between the Company and the Calculation Agent, as amended
from time to time, or any successor calculation agency agreement.

“Calculation Agent”
shall mean the person that has entered into an agreement with the Company
providing for, among other things, the determination of the Payment at
Maturity, which term shall, unless the context otherwise requires, include its
successors and assigns.  The initial
Calculation Agent shall be Lehman Brothers Inc.

“Closing Price” of one share of the Index Fund (or any Successor
Index Fund) or one unit of any other security for which a Closing Price must be
determined) on any Trading Day means:

·                  if the Index Fund (or any
such Successor Index Fund or such other security) is listed or admitted to
trading on a national securities exchange, the last reported sale price,
regular way, of the principal trading session on such day on the principal
United States securities exchange registered under the Securities Exchange Act
of 1934, as amended (the “Exchange Act”), on which

 3
 

the Index Fund (or any such Successor Index Fund or such other
security) is listed or admitted to trading;

·                  if the Index Fund (or any
such Successor Index Fund or such other security) is listed or admitted to
trading on any national securities exchange but the last reported sale price is
not available pursuant to the preceding bullet point, the last reported sale
price of the principal trading session on the over-the-counter market as
reported on the Nasdaq National Market or the OTC Bulletin Board Service (the “OTC
Bulletin Board”) operated by the NASD on such day;

·                  if the Index Fund (or any
such Successor Index Fund or such other security) is not listed or admitted to
trading on any national securities exchange but is included in the OTC Bulletin
Board, the last reported sale price of the principal trading session on the OTC
Bulletin Board on such day;

·                  if the Index Fund (or any
such Successor Index Fund) is de-listed, liquidated or otherwise terminated,
the Closing Price calculated pursuant to the alternative methods of calculation
of Price described below under “Alternate Calculation of Price and Closing
Price”; or

·                  if, because of a Market
Disruption Event or otherwise, the last reported sale price for the Index Fund
(or any such Successor Index Fund or such other security) is not available
pursuant to the preceding bullet points, the mean, as determined by the
Calculation Agent, of the bid prices for the shares of the Index Fund (or any
such Successor Index Fund or such other security) obtained from as many
recognized dealers in such security, but not exceeding three, as will make such
bid prices available to the Calculation Agent. 
Bids of any of our affiliates may be included in the calculation of such
mean, but only to the extent that any such bid is not the highest or the lowest
of the bids obtained,

in each case subject to the provisions of “Alternate Calculation of Price and Closing
Price” below.  The term OTC Bulletin
Board will include any successor service thereto.

“Company” shall have the meaning set forth on the face of this
Security.

“Final
Share Price” shall equal the Closing Price of one share of the Index Fund
on the Observation Date, times the Share Adjustment Factor.

“Holder”
shall have the meaning set forth on the reverse of this Security.

“Indenture”
shall have the meaning set forth on the reverse of this Security.

“Index
Fund” shall mean the iShares® Dow Jones
U.S. Real Estate Index Fund.

“Initial Share Price” shall equal $93.01, the Closing Price of
one share of the Index Fund on the Pricing Date; provided that for
purposes of determining whether a Knock-Out Event has occurred, the Initial
Share Price shall equal the Closing Price of one share of the Index Fund on the
Pricing Date divided by the Share Adjustment Factor.

 4
 

“Knock-Out
Determination Date” shall mean the Trading Day upon which a Knock-Out Event
occurred.

A “Knock-Out Event” occurs if at any time during the Monitoring
Period the Price of one share of the Index Fund is above the Knock-Out
Level.  Upon the occurrence of a
Knock-Out Event, the Securities will be automatically called for a cash payment
described below under “Payment upon a Knock-Out Event” on the third Business
Day after the Knock-Out Determination Date.

“Knock-Out Level”
shall equal $186.02, the U.S. dollar amount calculated by multiplying 200% by
the Initial Share Price.

“Knock-Out Share Price”
shall equal the Closing Price of one share of the Index Fund on the first
scheduled Trading Day after the Knock-Out Determination Date, times the Share
Adjustment Factor.

If there is one or
more Market Disruption Events on the first scheduled Trading Day after the
Knock-Out Determination Date, the applicable date for determining the Knock-Out
Share Price will be postponed to the immediately succeeding Trading Day during
which no Market Disruption Event shall have occurred or is continuing; provided that the Knock-Out Share
Price will not be determined on a date later than the eighth scheduled Trading
Day after the first scheduled Trading Day after the Knock-Out Determination
Date, and if such day is not a Trading Day or if there is a Market Disruption Event
on such date, the Knock-Out Share Price shall be deemed to be the Closing Price
of one share of the Index Fund last in effect prior to the commencement of the
Market Disruption event (or prior to the non-Trading Day).  The Present Value of $1,000 shall be
calculated on the same date that the Knock-Out Share Price is determined.

“Knock-Out Share Return”,
as calculated by the Calculation Agent, is calculated as follows:

Knock-Out Share Price — Initial Share Price

Initial Share Price

“Leverage Factor”
shall equal 200%.

“Loss Reduction Factor”
shall equal 15%.

“Market Disruption Event”,
with respect to the Index Fund (or any Successor
Index Fund or other security for which a Closing Price must be determined)
shall mean any of the following events has occurred on any day as determined by
the Calculation Agent:

(1)(A)  the occurrence or existence of a suspension,
absence or material limitation of trading of the shares of the Index Fund (or
such Successor Index Fund or such other security) on the primary market for
such shares (or such Successor Index Fund or such other security) at any time
during the one hour period preceding the close of the principal trading session
in such market; or

(B)  a breakdown or failure in the price and trade
reporting systems of the primary market for the shares of the Index Fund (or
such Successor Index Fund or such other security) as a result of which the
reported trading prices for such shares (or such Successor Index Fund or

 5
 

such other security) during
the last one hour preceding the close of the principal trading session in such
market are materially inaccurate; or

(C)  the occurrence or existence of a suspension,
absence or material limitation of trading on the primary market for trading in
futures or options contracts related to the shares of the Index Fund (or such
Successor Index Fund or such other security), if available, during the last one
hour period preceding the close of the principal trading session in the
applicable market; or

(2)(A)  the occurrence or existence of a suspension,
absence or material limitation of trading of stocks then constituting 20% or
more of the level of the Underlying Index (or the underlying index related to
the Successor Index Fund) on the Relevant Exchanges for such stocks at any time
during the one hour period preceding the close of the principal trading session
on such Relevant Exchange; or

(B)  a breakdown or failure in the price and trade
reporting systems of the primary market of any Relevant Exchange as a result of
which the reported trading prices for stocks then constituting 20% or more of
the level of the Underlying Index (or the underlying index related to the
Successor Index Fund) at any time during the one hour period preceding the
close of the principal trading session on such Relevant Exchange are materially
inaccurate; or

(3)  the occurrence or existence of a suspension,
absence or material limitation of trading on any major securities exchange for
trading in futures or options contracts related to the Underlying Index (or the
underlying index related to the Successor Index Fund) or shares of the Index
Fund (or such Successor Index Fund or such other security) at any time during
the one hour period preceding the close of the principal trading session on
such exchange; or

(4)  a decision to permanently discontinue trading
in the relevant futures or options contracts;

in each case, as determined by the Calculation Agent
in its sole discretion.

For the purpose of determining whether a Market
Disruption Event exists at any time, if trading in a security included in the
Underlying Index (or the underlying index related to the Successor Index Fund)
is materially suspended or materially limited at that time, then the relevant
percentage contribution of that security to the level of the Underlying Index
(or the underlying index related to the Successor Index Fund) shall be based on
a comparison of:

·                  the
portion of the level of the Underlying Index (or the underlying index related
to the Successor Index Fund) attributable to that
security relative to

·                  the
overall level of the Underlying Index (or the underlying index related to the
Successor Index Fund),

in each case immediately before that suspension or
limitation.

For purposes of determining whether a Market
Disruption Event has occurred:

(1)            a limitation on the hours or number
of days of trading will not constitute a Market Disruption Event if it results
from an announced change in the regular business hours of the Relevant Exchange
or market;

 6
 

(2)            limitations pursuant to the rules of
any Relevant Exchange similar to NYSE Rule 80B (or any applicable rule or
regulation enacted or promulgated by any other self-regulatory organization or
any government agency of scope similar to NYSE Rule 80B as determined by the
Calculation Agent in its sole discretion) on trading during significant market
fluctuations will constitute a suspension, absence or material limitation of
trading;

(3)            a suspension of trading in futures
or options contracts on the Underlying Index (or the underlying index related
to the Successor Index Fund) or shares of the Index Fund (or such Successor
Index Fund or such other security) by the primary securities market trading in
such contracts by reason of:

·                  a price
change exceeding limits set by such exchange or market,

·                  an
imbalance of orders relating to such contracts, or

·                  a
disparity in bid and ask quotes relating to such contracts

will, in each such case, constitute a suspension, absence
or material limitation of trading in futures or options contracts related to
the Underlying Index (or the underlying index related to the Successor Index
Fund) or the shares of the Index Fund (or such Successor Index Fund or such
other security); and

(4)            a “suspension, absence or material
limitation of trading” on any Relevant Exchange or on the primary market on
which futures or options contracts related to the Underlying Index (or the
underlying index related to the Successor Index Fund) or the shares of the
Index Fund (or such Successor Index Fund or such other security) are traded
will not include any time when such market is itself closed for trading under
ordinary circumstances.

“Maturity Date” shall mean February 13, 2009, unless that day is
not a Business Day, in which case the amount equal to the Payment at Maturity
will be made on the next succeeding Business Day following February 13, 2009; provided,
that if due to a non-Trading Day or a Market Disruption Event, the Observation Date is postponed so that it falls
less than three Business Days prior to the scheduled Maturity Date, the Maturity
Date will be the third Business Day following the Observation Date, as
postponed.

“Maximum
Total Return” shall equal 40%.

“Monitoring
Period” shall mean the period from, but excluding, the Pricing Date to, but
excluding, the Observation Date.

“NYSE”
shall mean The New York Stock Exchange, Inc.

“Observation Date” shall mean February 6, 2009, provided,
that if an Observation Date is not a Trading Day or if
there is a Market Disruption Event on such day, the applicable Observation Date
will be postponed to the immediately succeeding Trading Day during which no
Market Disruption Event shall have occurred or is continuing; provided, however,
that the Final Share Price will not be determined on a date later than the
eighth scheduled Trading Day after the originally scheduled Observation Date,
and if such day is not a Trading Day, or if there is a Market Disruption Event
on such date, the Final Share Price shall be deemed to be the Closing

 7
 

Price of one share of the Index Fund last in effect prior
to the commencement of the Market Disruption Event (or prior to the non-Trading
Day).

“Payment at Maturity”, as calculated by the Calculation Agent
and to the extent that the Securities are not subject to an automatic call upon
the occurrence of a Knock-Out Event, for each $1,000 principal amount Security
shall equal:

·                  If the Final Share Price is below the Initial Share Price and the absolute value of the
Share Return multiplied by the Leverage Factor exceeds the
Maximum Total Return, $1,000 + ($1,000 x Maximum Total Return).

·                  If the Final Share Price is below the Initial Share Price and the absolute value of the
Share Return multiplied by the Leverage Factor is equal to or
below  the Maximum Total
Return, $1,000 + ($1,000 x absolute value of Share Return x Leverage Factor).

·                  If the Final Share Price is equal to or above the Initial Share Price and equal to or below the Threshold Level, $1,000.

·                  If the Final Share Price is above the Threshold Level, $1,000 — ($1,000 x (Share Return —
Loss Reduction Factor));

provided, however,
that in no event shall the Holder owe any amount to the Company.

“Payment upon a Knock-Out Event”, as calculated by the
Calculation Agent, per $1,000 principal amount Security paid upon an
automatic call upon the occurrence of a Knock-Out Event shall equal:

Present Value of $1,000 — ($1,000 x (Knock-Out Share Return — Loss
Reduction Factor));

provided, however,
that in no event shall the Holder owe any amount to the Company.  The “Present Value” of $1,000, as determined
by the Calculation Agent, will be the Present Value of $1,000 calculated as of
the first scheduled Trading Day after the Knock-Out Determination Date (subject
to postponement in the event of one or more Market Disruption Events), computed
using a discount rate equal to the USD LIBOR in effect on such scheduled
Trading Day with a designated maturity that corresponds most closely to the
period from, and including, such scheduled Trading Day to, but excluding, the
Maturity Date.

“Place of Payment” shall mean the place or places where the
Payment at Maturity or amount due upon an automatic call upon the occurrence of
a Knock-Out Event, if applicable, on the Securities is payable.

“Present Value” shall be as defined under “Payment upon a
Knock-Out Event.”

“Price” of one share of the Index Fund (or any Successor Index
Fund or one unit of any other security for which a Price must be determined) on
any Trading Day means:

·                  if the Index Fund (or any
such Successor Index Fund or such other security) is listed or admitted to
trading on a national securities exchange, the highest

 8
 

intraday bid price on such day on the principal United States
securities exchange registered under the Exchange Act, on which the Index Fund
(or any such Successor Index Fund or such other security) is listed or admitted
to trading;

·                  if the Index Fund (or any
such Successor Index Fund or such other security) is not listed or admitted to
trading on any national securities exchange but is included in the OTC Bulletin
Board, the highest reported bid price reported on the OTC Bulletin Board on
such day;

·                  if the Index Fund (or any
such Successor Index Fund) is de-listed, liquidated or otherwise terminated,
the price calculated pursuant to the alternative methods of calculation of
price described below under “Alternate Calculation of Price and Closing Price”;
or

·                  if a bid price is not
available pursuant to the preceding bullet points, the mean, as determined by
the Calculation Agent, of the bid prices for the shares of the Index Fund (or
any such Successor Index Fund or such other security) obtained from as many
recognized dealers in such security, but not exceeding three, as will make such
bid prices available to the Calculation Agent. Bids of any of our affiliates
may be included in the calculation of such mean, but only to the extent that
any such bid is not the highest of the bids obtained,

in each case subject to the
provisions of “Alternate Calculation of Price and Closing Price” below.  The term OTC Bulletin Board will include any
successor service thereto.

“Pricing Date” shall
mean February 6, 2007.

“Relevant Exchange” shall mean the primary exchange,
quotation system (which includes bulletin board services) or other market of
trading for the shares of the Index Fund (or any Successor Index Fund) or any
security (or any combination thereof) then included in the Underlying Index (or
any underlying index related to the Successor Index Fund).

“Securities” shall have the meaning
set forth on the reverse of this Security.

“Security” shall have the meaning set
forth on the face of this Security.

“Share
Adjustment Factor” shall initially equal 1.0, subject to adjustment as
described under “Anti-Dilution Adjustments” below.

“Share Return”, as
calculated by the Calculation Agent, is calculated as follows:

Final Share Price — Initial Share Price

Initial Share Price

 “Successor Index Fund” shall have the
meaning specified under “Alternate Calculation of
Price and Closing Price.”

“Threshold
Level” shall equal $106.9615, the U.S. dollar amount calculated by
multiplying 115% by the Initial Share Price.

 9

“Trading
Day” means a day, asdetermined by the Calculation Agent, on which trading is generally conducted on the
NYSE, the American Stock Exchange, the Nasdaq Global Select Market, the Nasdaq
Global Market, the Chicago Mercantile Inc., the Chicago Board Options Exchange,
Incorporated and in the over-the-counter market for equity securities in the
United States.

“Trustee”
shall have the meaning set forth on the reverse of this Security.

“Underlying Index”
shall mean the Dow Jones U.S. Real Estate Index.

All terms used but not
defined in this Security are used herein as defined in the Calculation Agency
Agreement or the Indenture.

Calculation Agent

The Calculation Agent
will determine, among other things, the Initial Share Price, the Price or
Closing Price, as applicable, of one share of the Index Fund with respect to
each Trading Day during the Monitoring Period for the purposes of determining
whether a Knock-Out Event has occurred, the Share Adjustment Factor and
anti-dilution adjustments, if any, the Final Share Price, the Share Return, the
Knock-Out Share Price, the Knock-Out Share Return, the applicable USD LIBOR, if
applicable, the Present Value of $1,000 upon an automatic call upon the
occurrence of a Knock-Out Event, if applicable, the Payment at Maturity, if
any, or the Payment upon a Knock-Out Event, if applicable.  The Calculation Agent will also be
responsible for determining, among other things, whether a Market Disruption
Event has occurred, which
exchange traded fund will be substituted for the Index Fund (or Successor Index
Fund, if applicable) if the Index Fund (or Successor Index Fund, if applicable)
is de-listed, liquidated or otherwise terminated, whether the Underlying Index
(or the underlying index related to a Successor Index Fund) has been changed in
a material respect, and whether the Index Fund (or Successor Index Fund, if
applicable) has been modified so that the Index Fund (or Successor Index Fund,
if applicable) does not, in the opinion of the Calculation Agent, fairly
represent the price of the Index Fund (or Successor Index Fund, if applicable)
had those modifications not been made.  
All calculations, determinations and adjustments made by the Calculation Agent
will be at the sole discretion of the Calculation Agent and will, in the absence
of manifest error, be conclusive for all purposes and binding on Holders and on
the Company.  The Company may appoint a
different Calculation Agent from time to time after the date of the original
issue of the Securities without the Holders’ consent and without notifying
Holders.

Anti-Dilution Adjustments

Share Splits and Reverse Share
Splits

If the shares of the Index
Fund are subject to a share split or reverse share split, then once such split
has become effective, the Share Adjustment Factor will be adjusted so that the
new Share Adjustment Factor shall equal the product of:

·                  the prior Share Adjustment Factor, and
·                  the number of shares which a holder of one share of the Index Fund before the effective date of the share split or reverse share split would have owned or been entitled to receive immediate following the applicable effective date.

 10
 

 

Share Dividends or Distributions

If the Index Fund is subject
to a (i) share dividend, i.e., an
issuance of additional shares of the Index Fund that is given ratably to all or
substantially all holders of shares of the Index Fund or (ii) distribution of
shares of the Index Fund as a result of the triggering of any provision of the
corporate charter of the Index Fund, then, once the dividend or distribution has
become effective and the shares of the Index Fund are trading ex-dividend, the
Share Adjustment Factor will be adjusted so that the new Share Adjustment
Factor shall equal the prior Share Adjustment Factor plus the product of:

·                  the prior Share Adjustment Factor, and
·                  the number of additional shares issued in the share dividend or distribution with respect to one share of the Index Fund.

Non-cash Distributions

If the Index Fund distributes shares of
capital stock, evidences of indebtedness or other assets or property of the
Index Fund to all or substantially all holders of shares of the Index Fund
(other than (i) share dividends or distributions referred to under “—Share
Dividends or Distributions” above and (ii) cash dividends referred under “—Cash
Dividends or Distributions” below), then, once the distribution has become
effective and the shares of the Index Fund are trading ex-dividend, the Share
Adjustment Factor will be adjusted so that the new Share Adjustment Factor
shall equal the product of:

·                  the prior Share Adjustment Factor, and
·                  a fraction, the numerator of which is the Current Market Price of one share of the Index Fund and the denominator of which is the amount by which such Current Market Price exceeds the Fair Market Value of such distribution.

The “Current Market Price” of the Index Fund
means the arithmetic average of the Closing Prices of one share of the Index
Fund for the ten Trading Days prior to the Trading Day immediately preceding
the ex-dividend date of the distribution requiring an adjustment to the Share
Adjustment Factor.

The “ex-dividend date” shall mean the first
Trading Day on which transactions in the shares of the Index Fund trade on the
Relevant Exchange without the right to receive that dividend or distribution.

The “Fair Market Value” of any such
distribution means the value of such distribution on the ex-dividend date for
such distribution, as determined by the Calculation Agent. If such distribution
consists of property traded on the ex-dividend date on a U.S. national
securities exchange, the Fair Market Value will equal the closing price of such
distributed property on such ex-dividend date.

Cash Dividends or Distributions

If the issuer of any shares of the Index Fund
pays dividends or makes other distributions consisting exclusively of cash to
all or substantially all holders of shares of the

 11
 

Index Fund during any fiscal quarter during the term of the Securities,
in an aggregate amount that, together with other such dividends or
distributions made during such quarterly fiscal period, exceeds the Dividend
Threshold, then, once the dividend or distribution has become effective and the
shares of the Index Fund are trading ex-dividend, the Share Adjustment Factor
will be adjusted so that the new Share Adjustment Factor shall equal the
product of:

·                  the prior Share Adjustment Factor, and
·                  a fraction, the numerator of which is the Current Market Price of one share of the Index Fund and the denominator of which is the amount by which such Current Market Price exceeds the amount in cash per share the Index Fund distributes to holders of shares of the Index Fund in excess of the Dividend Threshold.

“Dividend Threshold” shall mean the amount of
any cash dividend or cash distribution distributed per share of the Index Fund
that exceeds the immediately preceding cash dividend or other cash
distribution, if any, per share of the Index Fund by more than 10% of the
Closing Price of the Index Fund on the Trading Day immediately preceding the
ex-dividend date.

The Calculation Agent will provide
information as to any adjustments to the Share Adjustment Factor upon written
request by any Holder.

Alternate Calculation of
Price and Closing Price

If the Index Fund (or a Successor Index Fund (as defined herein) is
de-listed from the NYSE (or any
other Relevant Exchange), liquidated or otherwise terminated, the Calculation
Agent will substitute an exchange traded fund that the Calculation Agent
determines, in its sole discretion, is comparable to the discontinued Index
Fund (or such successor index fund) (such index fund being referred to herein
as a “Successor Index Fund”).  If the
Index Fund (or a Successor Index Fund) is de-listed, liquidated or otherwise
terminated and the Calculation Agent determines that no Successor Index Fund is
available, then the Calculation Agent will, in its sole discretion, calculate
the appropriate Price or Closing Price, as applicable, of the shares of the
Index Fund (or a Successor Index Fund) by a computation methodology that the
Calculation Agent determines will as closely as reasonably possible replicate
the Index Fund (or a Successor Index Fund). 
If a Successor Index Fund is selected or the Calculation Agent
calculates a Price or Closing Price, as applicable, by a computation
methodology that the Calculation Agent determines will as closely as reasonably
possible replicate the Index Fund (or a Successor Index Fund), that Successor
Index Fund or Price or Closing Price, as applicable, will be substituted for
the Index Fund (or such Successor Index Fund) for all purposes of the
Securities.

If at any time:

·                  the Underlying Index (or the underlying index related to a Successor Index Fund) is changed in a material respect, or
·                  the Index Fund (or a Successor Index Fund) in any other way is modified so that it does not, in the opinion of the Calculation Agent, fairly represent the Price of the shares of the Index Fund (or such Successor Index Fund) had those changes or modifications not been made,

 12
 

then, from and after that
time, the Calculation Agent will make those calculations and adjustments as, in
the good faith judgment of the Calculation Agent, may be necessary in order to
arrive at a Price or Closing Price, as applicable, of an exchange traded fund
comparable to the Index Fund (or such Successor Index Fund) as if those changes
or modifications had not been made, and calculate the Price or Closing Price
with reference to the shares of the Index Fund (or such Successor Index Fund),
as adjusted. The Calculation Agent also may determine that no adjustment is
required by the modification of the method of calculation.

The Calculation Agent will provide information as to the method of
calculating the Price or Closing Price, as applicable, of the shares of the
Index Fund (or such Successor Index Fund) upon written request by any Holder.

 13
 

The following
abbreviations, when used in the inscription on the face of the within Security,
shall be construed as though they were written out in full according to
applicable laws or regulations:

	
  TEN COM -

  	
   

  	
  as tenants in common

  	
   

  	
  UNIF GIFT MIN ACT - 

  	
   

  	
  Custodian

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
  (Cust)

  	
   

  	
  (Minor)

  
	
  TEN ENT -

  	
   

  	
  as tenants by the entireties

  	
   

  	
  under Uniform Gifts to Minors

  
	
  JT TEN —

  	
   

  	
  as joint tenants with right of

  	
   

  	
  Act 

  	
   

  
	
   

  	
   

  	
  Survivorship and not as tenants in 

  	
   

  	
   

  	
  (State)

  
	
   

  	
   

  	
  common

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  
									

Additional abbreviations may
also be used though not in the above list.

________________________________

FOR VALUE RECEIVED, the
undersigned hereby sells, assigns and transfers unto

PLEASE INSERT SOCIAL
SECURITY OR OTHER

IDENTIFYING NUMBER OF ASSIGNEE

	
  

  	
   

  
	
   

  	
   

  

 

 

	
  

  
	
  (Name and Address of
  Assignee, including zip code, must be printed or typewritten.)

  
	
   

  
	
   

  
	
  the within
  Security, and all rights thereunder, hereby irrevocably constituting and
  appointing

  
	
   

  
	
   

  
	
  to transfer the
  said Security on the books of the Company, with full power of substitution in
  the premises.

  
	
   

  

Dated:

_________________________________________

NOTICE:  The signature to this assignment must
correspond with the name as it appears upon the face of the within Security in
every particular, without alteration or enlargement or any change whatever.

Signature(s) Guaranteed:

___________________________

THE
SIGNATURE(S) SHOULD BE GUARANTEED BY AN ELIGIBLE GUARANTOR INSTITUTION (BANKS,
STOCKBROKERS, SAVINGS AND LOAN ASSOCIATIONS AND CREDIT UNIONS WITH MEMBERSHIP
IN AN APPROVED MEDALLION SIGNATURE GUARANTEE PROGRAM), PURSUANT TO S.E.C. RULE
17Ad-15.

 

 14

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