Document:

Exhibit 10.1

 

Execution Version

 

AMENDMENT
NO. 2 TO CREDIT AGREEMENT

 

THIS
AMENDMENT NO. 2 TO CREDIT AGREEMENT (this “Amendment”), dated as of November 8, 2019 (the “Amendment
No. 2 Effective Date”), is entered into by and among ARCHROCK SERVICES, L.P., a Delaware limited partnership (the “Administrative
Borrower”) and ARCHROCK PARTNERS OPERATING LLC, a Delaware limited liability company (collectively, with the Administrative
Borrower, the “Borrowers” and individually a “Borrower”), the other Loan Parties party hereto,
the lenders party hereto (the “Lenders”), and JPMORGAN CHASE BANK, N.A., as Administrative Agent for the Lenders
(in such capacity, the “Administrative Agent”), as an Issuing Bank and as Swingline Lender.

 

WITNESSETH

 

WHEREAS,
the Borrowers, the Loan Parties from time to time party thereto, the Lenders from time to time party thereto and the Administrative
Agent are parties to a Credit Agreement, dated as of March 30, 2017 (as amended, restated, supplemented or otherwise modified
prior to the Amendment No. 2 Effective Date, the “Existing Credit Agreement”, and the Existing Credit Agreement,
as amended by the amendments set forth in Section 2 of this Amendment, the “Credit Agreement”);

 

WHEREAS,
pursuant to the Existing Credit Agreement, the Lenders have made Revolving Loans to the Borrowers;

 

WHEREAS,
the parties hereto desire to amend certain terms of the Existing Credit Agreement as set forth herein to, among other things,
(i) extend the scheduled Maturity Date to November 8, 2024 and (ii) add each of NYCB Specialty Finance Company, LLC and Fifth
Third Bank as a “Lender” (in such capacity, collectively, the “New Lenders”) under the Credit Agreement
with a Commitment in the amount shown opposite its name on the Commitment Schedule (as amended hereby);

 

WHEREAS,
subject to and upon the terms and conditions set forth herein, the Lenders have agreed to enter into this Amendment; and

 

WHEREAS,
the Lenders party hereto have agreed to amend the Existing Credit Agreement on the terms and conditions set forth herein.

 

NOW,
THEREFORE, in consideration of the premises set forth above, the terms and conditions contained herein, and other good and valuable
consideration, the receipt and sufficiency of which are hereby acknowledged, the parties hereto hereby agree as follows:

 

Section
1.                Defined Terms. Capitalized
terms used but not otherwise defined herein shall have the respective meanings assigned to them in the Credit Agreement.

 

Section
2.                Amendments to Existing Credit
Agreement. Subject to the satisfaction of the conditions precedent set forth in Section 3 below, on the Amendment No.
2 Effective Date, the Existing Credit Agreement shall be amended as follows:

 

    1

     

    

 

(a)              
Additional Definitions. Section 1.01 of the Existing Credit Agreement shall be amended to add the following definitions
to such Section in appropriate alphabetical order:

 

(i)                
 “2019 Notes” means those certain 6.875% senior notes, issued by APLP and Archrock Partners Finance due
April 2027.

 

(ii)              
 “Amendment No. 2” means Amendment No. 2 to Credit Agreement dated as of November 8, 2019, among the
Borrowers, the Guarantors party thereto, the Lenders party thereto and the Administrative Agent.

 

(iii)            
 “Amendment No. 2 Effective Date” has the meaning assigned to such term in Amendment No. 2.

 

(iv)             
 “Beneficial Ownership Certification” means a certification regarding beneficial ownership or control
as required by the Beneficial Ownership Regulation.

 

(v)               
 “Beneficial Ownership Regulation” means 31 C.F.R. § 1010.230.

 

(vi)             
 “BHC Act Affiliate” of a party means an “affiliate” (as such term is defined under, and
interpreted in accordance with, 12 U.S.C. 1841(k)) of such party.

 

(vii)           
 “Covered Entity” means any of the following:

 

(a)       a
 “covered entity” as that term is defined in, and interpreted in accordance with, 12 C.F.R. § 252.82(b);

 

(b)       a
 “covered bank” as that term is defined in, and interpreted in accordance with, 12 C.F.R. § 47.3(b); or

 

(c)       a
 “covered FSI” as that term is defined in, and interpreted in accordance with, 12 C.F.R. § 382.2(b).

 

(viii)         
 “Covered Party” has the meaning assigned to it in Section 9.21.

 

(ix)             
 “Default Right” has the meaning assigned to that term in, and shall be interpreted in accordance with,
12 C.F.R. §§ 252.81, 47.2 or 382.1, as applicable.

 

(x)               
 “Dividing Person” has the meaning assigned to it in the definition of “Division.”

 

(xi)             
 “Division” means the division of the assets, liabilities and/or obligations of a Person (the “Dividing
Person”) among two or more Persons (whether pursuant to a “plan of division” or similar arrangement), which
may or may not include the Dividing Person and pursuant to which the Dividing Person may or may not survive.

 

(xii)           
 “Division Successor” means any Person that, upon the consummation of a Division of a Dividing Person,
holds all or any portion of the assets, liabilities and/or obligations previously held by such Dividing Person immediately prior
to the consummation of such Division. A Dividing Person which retains any of its assets, liabilities and/or obligations after
a Division shall be deemed a Division Successor upon the occurrence of such Division.

 

    2

     

    

 

(xiii)         
 “QFC” has the meaning assigned to the term “qualified financial contract” in, and shall
be interpreted in accordance with, 12 U.S.C. 5390(c)(8)(D).

 

(xiv)         
 “QFC Credit Support” has the meaning assigned to it in Section 9.21.

 

(xv)           
 “Supported QFC” has the meaning assigned to it in Section 9.21.

 

(xvi)         
 “U.S. Special Resolution Regime” has the meaning assigned to it in Section 9.21.

 

(b)              
Amended and Restated Definitions. The following definitions contained in Section 1.01 of the Existing Credit Agreement
shall be amended and restated in their entirety to read in full as follows:

 

(i)                
 “Applicable Rate” means, for any day, with respect to any Loan, or with respect to the commitment fees
payable hereunder, as the case may be, the applicable rate per annum set forth below under the caption “ABR and REVLIBOR30
Spread”, “Eurodollar Spread” or “Commitment Fee Rate”, as the case may be, based upon Parent’s
Total Leverage Ratio as of the most recent determination date; provided that, on and after the Amendment No. 2 Effective
Date, the Applicable Rate shall be Category 2 until the delivery to the Administrative Agent, pursuant to Section 5.01(b),
of Parent’s consolidated financial information for the fiscal quarter ending September 30, 2019:

 

	Total
    Leverage Ratio	 	ABR
    and

    REVLIBOR30 

    Spread	 	 	Eurodollar
    

    Spread	 	 	Commitment
    

    Fee Rate	 
	Category
    1
 > 5.00 to 1.0	 	 	1.75	%	 	 	2.75	%	 	 	0.375	%
	Category
    2
 < 5.00 to 1.0 but
 > 4.00 to 1.0	 	 	1.50	%	 	 	2.50	%	 	 	0.375	%
	Category
    3
 < 4.00 to 1.0 but
 > 3.00 to 1.0	 	 	1.25	%	 	 	2.25	%	 	 	0.375	%
	Category
    4
 < 3.00 to 1.0	 	 	1.00	%	 	 	2.00	%	 	 	0.375	%

 

 

    3

     

    

 

For
purposes of the foregoing, (a) the Applicable Rate shall be determined as of the end of each fiscal quarter of Parent
based upon Parent’s annual or quarterly consolidated financial statements delivered pursuant to Section 5.01(a)
and (b) and the related compliance certificate delivered pursuant to Section 5.01(c) and (b) each
change in the Applicable Rate resulting from a change in the Total Leverage Ratio shall be effective during the period
commencing on and including the first (1st) calendar day of the month following the date of delivery to the
Administrative Agent of such consolidated financial statements indicating such change and ending on the date immediately
preceding the effective date of the next such change, provided that the Total Leverage Ratio shall be deemed to be in
Category 1 (A) at any time that an Event of Default has occurred and is continuing or (B) at the option of the
Administrative Agent or at the request of the Required Lenders if the Administrative Borrower fails to deliver the annual or
quarterly consolidated financial statements required to be delivered by it pursuant to Section 5.01, during the period
from the expiration of the time for delivery thereof until such consolidated financial statements are delivered. In the event
that, at any date prior to the Termination Date, any financial statement or compliance certificate delivered pursuant to Section
5.01(a), (b) or (c) is shown to be inaccurate, and such inaccuracy, if corrected, would have led
to the application of a higher Applicable Rate for any period (an “Applicable Period”) than the
Applicable Rate applied for such Applicable Period, and only in such case, then the Administrative Borrower shall promptly
(i) deliver or cause to be delivered to the Administrative Agent a corrected compliance certificate for such Applicable
Period, (ii) determine the Applicable Rate for such Applicable Period based upon the corrected compliance certificate,
and (iii) pay to the Administrative Agent the accrued additional interest owing as a result of such increased Applicable
Rate for such Applicable Period, which payment shall be promptly applied by the Administrative Agent in accordance herewith,
and, if such payment is made, any Default under clause (b) of Article VII that shall have occurred solely
on account of the failure of the Borrowers to pay interest when due as a result of such inaccuracy shall be
automatically waived without any further action by the Administrative Agent and the Lenders. The preceding sentence is in
addition to the rights of the Administrative Agent and Lenders with respect to Section 2.14(e) and Article VII
and other of their respective rights under this Agreement.

 

(ii)              
 “Issuing Bank Sublimits” means, as of the Amendment No. 2 Effective Date, initially, $25,000,000, in
the case of JPMCB, $25,000,000, in the case of WF, and thereafter, amounts as may be agreed between each Issuing Bank and the
Administrative Borrower; provided, however, that no increase to any Issuing Bank’s Issuing Bank Sublimit shall result in
the aggregate LC Exposure to exceed the maximum amount therefor in Section 2.06(b).

 

(iii)            
 “Maturity Date” means, with respect to any Commitments other than Extended Commitments, the earliest
of (i) November 8, 2024, (ii)  June 3, 2022 if any portion of the 2014 Notes remains outstanding at such date and either
(x) has not been repaid as of such date or (y) has not been refinanced with (a) Refinance Indebtedness permitted under Section
6.01 having a final maturity date that is no earlier than one hundred eighty (180) days after the date in clause (i)
hereof or (b) Subordinated Indebtedness and (iii) the date on which the Commitments are reduced to zero or otherwise
terminated pursuant to the terms hereof. With respect to Extended Commitments, the “Maturity Date” means the maturity
date related to the Extension Series of such Extended Commitments.

 

(iv)             
 “Senior Notes” means collectively, the 2014 Notes and
the 2019 Notes.

 

    4

     

    

 

(c)              
Amended Definitions. The definitions of “Aggregate Revolving Commitment”, “Commitment”,
 “Commitment Schedule”, and “Revolving Commitment” contained in Section 1.01 of the
Existing Credit Agreement are hereby amended to replace each reference to “Amendment No. 1 Additional Amendments Effective
Date” therein with “Amendment No. 2 Effective Date” in lieu thereof.

 

(d)              
Deleted Definition. The definition of “2013 Notes” contained in Section 1.01 of the Existing
Credit Agreement is hereby deleted.

 

(e)              
Section 2.15 of the Existing Credit Agreement shall be amended and restated in its entirety to read in full as follows:

 

“Section
2.15Alternate Rate of Interest.

 

(a)              
If prior to the commencement of any Interest Period for a Eurodollar Borrowing:

 

(i)                
the Administrative Agent determines (which determination
shall be conclusive and binding absent manifest error) that adequate and reasonable means do not exist for ascertaining the Adjusted
LIBO Rate or the LIBO Rate, as applicable, (including, without limitation, by means of an Interpolated Rate or because the LIBO
Screen Rate is not available or published on a current basis) for such Interest Period; or

 

(ii)             
the Administrative Agent is advised by the Required Lenders
that the Adjusted LIBO Rate or the LIBO Rate, as applicable, for the applicable Interest Period will not adequately and fairly
reflect the cost to such Lenders of making or maintaining their Loans included in such Borrowing for such Interest Period;

 

then
the Administrative Agent shall give written notice thereof to the Administrative Borrower and the Lenders through Electronic System
as provided in Section 9.01 as promptly as practicable thereafter and, until the Administrative Agent notifies the
Administrative Borrower and the Lenders that the circumstances giving rise to such notice no longer exist, (i) any Interest
Election Request that requests the conversion of any Borrowing to, or continuation of any Borrowing as, a Eurodollar Borrowing
shall be ineffective and any such Eurodollar Borrowing shall be repaid or converted to an ABR Borrowing as on the last day of
the Interest Period applicable thereto, and (ii) if any Borrowing Request requests a Eurodollar Borrowing, such Borrowing
shall be made as an ABR Borrowing.

 

(b)              
If any Lender determines that any Requirement of Law has made it unlawful, or if any Governmental Authority has asserted
that it is unlawful, for any Lender or its applicable lending office to make, maintain, fund or continue any Eurodollar Borrowing,
or any Governmental Authority has imposed material restrictions on the authority of such Lender to purchase or sell, or to take
deposits of, dollars in the London interbank market, then, on notice thereof by such Lender to the Administrative Borrower through
the Administrative Agent, any obligations of such Lender to make, maintain, fund or continue Eurodollar Loans or to convert ABR
Borrowings to Eurodollar Borrowings will be suspended until such Lender notifies the Administrative Agent and the Administrative
Borrower that the circumstances giving rise to such determination no longer exist. Upon receipt of such notice, the Borrowers
will upon demand from such Lender (with a copy to the Administrative Agent), either convert or prepay all Eurodollar Borrowings
of such Lender to ABR Borrowings, either on the last day of the Interest Period therefor, if such Lender may lawfully continue
to maintain such Eurodollar Borrowings to such day, or immediately, if such Lender may not lawfully continue to maintain such
Loans. Upon any such conversion or prepayment, the Borrowers will also pay accrued interest on the amount so converted or prepaid.

 

    5

     

    

 

(c)              
If at any time the Administrative Agent determines (which determination shall be conclusive absent manifest error) that
(i) the circumstances set forth in clause (a)(i) have arisen and such circumstances are unlikely to be temporary or (ii) the circumstances
set forth in clause (a)(i) have not arisen but either (w) the supervisor for the administrator of the LIBO Screen Rate has made
a public statement that the administrator of the LIBO Screen Rate is insolvent (and there is no successor administrator that will
continue publication of the LIBO Screen Rate), (x) the administrator of the LIBO Screen Rate has made a public statement identifying
a specific date after which the LIBO Screen Rate will permanently or indefinitely cease to be published by it (and there is no
successor administrator that will continue publication of the LIBO Screen Rate), (y) the supervisor for the administrator of the
LIBO Screen Rate has made a public statement identifying a specific date after which the LIBO Screen Rate will permanently or
indefinitely cease to be published or (z) the supervisor for the administrator of the LIBO Screen Rate or a Governmental Authority
having jurisdiction over the Administrative Agent has made a public statement identifying a specific date after which the LIBO
Screen Rate may no longer be used for determining interest rates for loans, then the Administrative Agent and the Administrative
Borrower shall endeavor to establish an alternate rate of interest to the LIBO Rate that gives due consideration to the then prevailing
market convention for determining a rate of interest for syndicated loans in the United States at such time, and shall enter into
an amendment to this Agreement to reflect such alternate rate of interest and such other related changes to this Agreement as
may be applicable (but for the avoidance of doubt, such related changes shall not include a change of the Applicable Rate); provided
that, if such alternate rate of interest as so determined would be less than zero, such rate shall be deemed to be zero for the
purposes of this Agreement. Notwithstanding anything to the contrary in Section 9.02, such amendment shall become effective
without any further action or consent of any other party to this Agreement so long as the Administrative Agent shall not have
received, within five Business Days of the date notice of such alternate rate of interest is provided to the Lenders, a written
notice from the Required Lenders stating that such Required Lenders object to such amendment. Until an alternate rate of interest
shall be determined in accordance with this clause (c) (but, in the case of the circumstances described in clause (ii)(w), clause
(ii)(x) or clause (ii)(y) of the first sentence of this clause (c), only to the extent the LIBO Screen Rate for such Interest
Period is not available or published at such time on a current basis), (x) any Interest Election Request that requests the conversion
of any Borrowing to, or continuation of any Borrowing as, a Eurodollar Borrowing shall be ineffective and any such Eurodollar
Borrowing shall be repaid or converted into an ABR Borrowing on the last day of the then current Interest Period applicable thereto,
and (y) if any Borrowing Request requests a Eurodollar Borrowing, such Borrowing shall be made as an ABR Borrowing.”

 

(f)               Section
5.01 of the Existing Credit Agreement shall be amended by (i) deleting the word “and” from the end of clause (j),
(ii) replacing the “.” with “; and” at the end of clause (k), and (iii) inserting the following new clause
(l) after clause (k):

 

    6

     

    

 

“(l)              
promptly following any request therefor, information and documentation reasonably requested by the Administrative Agent or any
Lender for purposes of compliance with applicable “know your customer” and anti-money laundering rules and regulations,
including the USA PATRIOT Act and the Beneficial Ownership Regulation.”

 

(g)              
Section 5.02 of the Existing Credit Agreement shall be amended by (i) deleting the word “and” from the end
of clause (f), (ii) replacing the “.” with “; and” at the end of clause (g), and (iii) inserting the following
new clause (h) after clause (g):

 

“(h)              any
change in the information provided in the Beneficial Ownership Certification delivered to such Lender that would result in a change
to the list of beneficial owners identified in such certification.”

 

(h)              
Section 6.03 of the Existing Credit Agreement shall be amended by inserting the following new clause (e) after clause (d):

 

“(e)              
No Loan Party will, nor will it permit any Restricted Subsidiary to, consummate a Division as the Dividing Person, except (i) to
the extent each Division Successor in such Division complies with the obligations set forth in Section 5.14 and the other further
assurances obligations set forth in the Loan Documents and become a Loan Party under this Agreement and the other Loan Documents
or (ii) the Dividing Person would otherwise be permitted to make an Investment in the Division Successor pursuant to Section
6.04.”

 

(i)                
Section 6.05 of the Existing Credit Agreement shall be amended by amending and restating the introductory paragraph in
its entirety to read in full as follows: “Asset Sales. No Loan Party will, nor will it permit any Restricted Subsidiary
to, sell, transfer, lease or otherwise dispose of any asset (whether effected pursuant to a Division or otherwise), including
any Equity Interest owned by it, nor will Parent permit any Restricted Subsidiary to issue any additional Equity Interest in such
Restricted Subsidiary (other than to Parent or another Restricted Subsidiary in compliance with Section 6.04), except:”.

 

(j)                
Article IX of the Existing Credit Agreement shall be amended by inserting the following new Section 9.21 at the
end thereof:

 

“Section
9.21               Acknowledgement Regarding Any Supported
QFCs. To the extent that the Loan Documents provide support, through a guarantee or otherwise, for Swap Agreements or any
other agreement or instrument that is a QFC (such support “QFC Credit Support” and each such QFC a “Supported
QFC”), the parties acknowledge and agree as follows with respect to the resolution power of the Federal Deposit Insurance
Corporation under the Federal Deposit Insurance Act and Title II of the Dodd-Frank Wall Street Reform and Consumer Protection
Act (together with the regulations promulgated thereunder, the “U.S. Special Resolution Regimes”) in respect
of such Supported QFC and QFC Credit Support (with the provisions below applicable notwithstanding that the Loan Documents and
any Supported QFC may in fact be stated to be governed by the laws of the State of Texas and/or of the United States or any other
state of the United States):

 

    7

     

    

 

In
the event a Covered Entity that is party to a Supported QFC (each, a “Covered Party”) becomes subject to a
proceeding under a U.S. Special Resolution Regime, the transfer of such Supported QFC and the benefit of such QFC Credit Support
(and any interest and obligation in or under such Supported QFC and such QFC Credit Support, and any rights in property securing
such Supported QFC or such QFC Credit Support) from such Covered Party will be effective to the same extent as the transfer would
be effective under the U.S. Special Resolution Regime if the Supported QFC and such QFC Credit Support (and any such interest,
obligation and rights in property) were governed by the laws of the United States or a state of the United States. In the event
a Covered Party or a BHC Act Affiliate of a Covered Party becomes subject to a proceeding under a U.S. Special Resolution Regime,
Default Rights under the Loan Documents that might otherwise apply to such Supported QFC or any QFC Credit Support that may be
exercised against such Covered Party are permitted to be exercised to no greater extent than such Default Rights could be exercised
under the U.S. Special Resolution Regime if the Supported QFC and the Loan Documents were governed by the laws of the United States
or a state of the United States. Without limitation of the foregoing, it is understood and agreed that rights and remedies of
the parties with respect to a Defaulting Lender shall in no event affect the rights of any Covered Party with respect to a Supported
QFC or any QFC Credit Support.”

 

(k)              
The Commitment Schedule shall be replaced in its entirety with the Commitment Schedule set forth on Annex I hereto. 

 

Section
3.                Conditions to Amendment No. 2
Effective Date. The amendments to the Existing Credit Agreement set forth in Section 2 of this Amendment are subject
to the satisfaction of each of the following conditions precedent:

 

(a)              
Counterparts. The Administrative Agent shall have received counterparts of this Amendment (including by facsimile or
other electronic transmission), duly executed by each Loan Party, the Administrative Agent and the Lenders;

 

(b)              
Perfection Certificate. The Administrative Agent shall have received a perfection certificate, substantially in the form
of Exhibit A hereto, duly executed by each Loan Party;

 

(c)              
Fees. The Administrative Agent shall have received all fees required to be paid (including, without limitation, the fees
owing to each Lender that delivers its signature page to this Amendment) and all expenses (including the reasonable and documented
out-of-pocket fees and expenses of legal counsel to the Administrative Agent) for which invoices have been presented at least
two (2) Business Days prior to the Amendment No. 2 Effective Date;

 

(d)              
Beneficial Ownership Certification. The Administrative Agent shall have received, to the extent any Borrower qualifies
as a “legal entity customer” under the Beneficial Ownership Regulation, at least five (5) days prior to the Amendment
No. 2 Effective Date a Beneficial Ownership Certification in relation to such Borrower, for any Lender that has so requested,
in a written notice to the Borrowers at least ten (10) days prior to the Amendment No. 2 Effective Date, (provided that, upon
the execution and delivery by such Lender of its signature page to this Agreement, the condition set forth in this Section
3(d) shall be deemed to be satisfied);

 

    8

     

    

 

(e)              
Legal Opinion. The Administrative Agent shall have received a customary written opinion of Sidley Austin LLP, counsel to
the Loan Parties, addressed to the Administrative Agent, in form and substance reasonably satisfactory to the Administrative Agent
and its counsel;

 

(f)               
Closing Certificates; Certified Certificate of Incorporation; Good Standing Certificates. The Administrative Agent shall
have received (i) a certificate of each Loan Party, dated the Amendment No. 2 Effective Date and executed by its Secretary or
Assistant Secretary, which shall (a) certify the resolutions of its board of directors, members or other body authorizing the
execution, delivery and performance of the Loan Documents to which it will become a party, (b) identify by name and title and
bear the signatures of the officers of such Loan Party authorized to sign the Loan Documents to which it will become a party and
(c) contain copies of the certificate or articles of incorporation or organization of such Loan Party certified by the relevant
authority of the jurisdiction of incorporation, formation or organization of such Loan Party and a true and correct copy of its
by-laws or operating, management or partnership agreement, or other similar organizational or governing documents (provided
that, any Loan Party may certify on such certificate that its organizational documents have not changed since the Effective
Date or Amendment No. 1 Effective Date, as applicable, in lieu of attaching such organizational documents to such certificate),
and (ii) a good standing certificate for each Loan Party, from its jurisdiction of incorporation, formation or organization or
the substantive equivalent available in the jurisdiction of incorporation, formation or organization for such Loan Party from
the appropriate governmental officer in such jurisdiction;

 

(g)              
Lien Searches. The Administrative Agent shall have received the results of a recent lien search in each jurisdiction where
each Loan Party is incorporated or organized and where the assets of each such Loan Party is located, and such search shall reveal
no Liens on any of the assets of the Loan Parties except for Liens permitted by Section 6.02 of the Credit Agreement or
discharged on or prior to the Amendment No. 2 Effective Date pursuant to a pay-off letter or other documentation reasonably satisfactory
to the Administrative Agent; and

 

(h)              
Closing Availability. After giving effect to any Borrowings to be made on the Amendment No. 2 Effective Date, the issuance
of any Letters of Credit on the Amendment No. 2 Effective Date and the payment of all fees and expenses due hereunder, Availability
shall not be less than $150,000,000.

 

Section
4.                Amendment No. 2 Effective Date
Adjustment; New Lenders.

 

(a)              
Upon the occurrence of the Amendment No. 2 Effective Date, (a) each Lender that holds Revolving Loans in an aggregate amount less
than its Applicable Percentage (after giving effect to the Amendment No. 2 Effective Date) of all Revolving Loans shall advance
new Revolving Loans which shall be disbursed to the Administrative Agent and used to repay Revolving Loans outstanding to each
Lender that holds Revolving Loans in an aggregate amount greater than its Applicable Percentage (after giving effect to the Amendment
No. 2 Effective Date) of all Revolving Loans, (b) each Lender’s participation in each Letter of Credit, if any, shall be
automatically adjusted to equal its Applicable Percentage (after giving effect to the Amendment No. 2 Effective Date), (c) such
other adjustments shall be made as the Administrative Agent shall specify so that each Lender’s Revolving Exposure, LC Exposure
and Swingline Exposure equals, in each case, its Applicable Percentage thereof (after giving effect to the Amendment No. 2 Effective
Date) and (d) the Borrowers shall be required to make any break-funding payments required under Section 2.17 of the Credit
Agreement resulting from the Loans and adjustments described in this Section 4(a).

 

    9

     

    

 

(b)              
Each New Lender acknowledges and agrees that none of the Administrative Agent, any lead arranger or any other Lender (i) has made
any representation or warranty and none of them shall have any responsibility with respect to any statements, warranties or representations
made in or in connection with the Credit Agreement or any other Loan Document or the execution, legality, validity, enforceability,
genuineness, sufficiency or value of the Credit Agreement, any other Loan Document or any other instrument or document furnished
pursuant thereto or (ii) has made any representation or warranty and none of them shall have any responsibility with respect to
the financial condition of the Borrower, any Loan Party or any other obligor or the performance or observance by any Borrower,
any Loan Party or any other obligor of any of their respective obligations under the Credit Agreement or any other Loan Document
or any other instrument or document furnished pursuant hereto or thereto. Each New Lender represents and warrants that it is legally
authorized to enter into this Amendment, and each New Lender (A) confirms that it has received a copy of the Existing Credit Agreement,
together with copies of the financial statements most recently delivered pursuant to Section 5.01 of the Existing Credit
Agreement and such other documents and information as it has deemed appropriate to make its own credit analysis and decision to
enter into this Amendment; (B) agrees that it will, independently and without reliance upon the Lenders or the Administrative
Agent and based on such documents and information as it shall deem appropriate at the time, continue to make its own credit decisions
in taking or not taking action under the Credit Agreement, the other Loan Documents or any other instrument or document furnished
pursuant thereto; (C) appoints and authorizes the Administrative Agent to take such action as agent on its behalf and to exercise
such powers and discretion under the Credit Agreement, the other Loan Documents or any other instrument or document furnished
pursuant thereto as are delegated to the Administrative Agent by the terms thereof, together with such powers as are incidental
thereto; and (D) agrees that it will be bound by the provisions of the Credit Agreement, and will perform in accordance with its
terms all the obligations which by the terms of the Credit Agreement are required to be performed by it as a Lender.

 

Section
5.                Representations and Warranties.

 

(a)              
Ratification and Affirmation. Each Loan Party hereto hereby: (i) acknowledges the terms of this Amendment; (ii) ratifies
and affirms its obligations under, and acknowledges, renews and extends its continued liability under, each Loan Document to which
it is a party and agrees that each Loan Document to which it is a party remains in full force and effect, except as expressly
amended hereby, after giving effect to the amendments contained herein; (iii) represents and warrants to the Administrative Agent
and the Lenders that as of the date hereof, after giving effect to the amendments set forth in Section 2 of this Amendment:
(A) each of the representations and warranties in the Loan Documents is true and correct in all material respects (without duplication
of any materiality qualifier contained therein) (it being understood and agreed that any representation or warranty which by its
terms is made as of a specified date shall be required to be true and correct in all material respects only as of such specified
date, without duplication of any materiality qualifier contained therein) and (B) no Default exists, will exist, or would result
therefrom; and (iv) represents and warrants that as of the Amendment No. 2 Effective Date, to its knowledge, the information included
in any Beneficial Ownership Certification provided on or prior to the Amendment No. 2 Effective Date to any Lender in connection
with this Amendment is true and correct in all material respects. It is the intention of the parties hereto that neither this
Amendment nor anything contained herein constitute a novation of the obligations outstanding under the Existing Credit Agreement
or any Collateral securing the same, all of which shall remain in full force and effect after the date hereof, as amended hereby.
If, notwithstanding the intention of the parties set forth in the previous sentence, this Amendment or the transactions contemplated
hereby are deemed to constitute a novation of the obligations outstanding under the Existing Credit Agreement or any Collateral
securing the same, then, as collateral security for the Secured Obligations, each Loan Party hereby grants to the Administrative
Agent for the benefit of the Secured Parties a lien on and security interest in, and right of set-off against, and acknowledges
and agrees that the Administrative Agent has and shall continue to have until the Termination Date for the benefit of the Secured
Parties a continuing lien on and security interest in, and right of set-off against, all right, title, and interest of such Loan
Party, whether now owned or existing or hereafter created, acquired or arising, in and to all of the Collateral.

 

    10

     

    

 

(b)              
Corporate Authority; Enforceability; No Conflicts. Each Loan Party hereto hereby represents and warrants to the Administrative
Agent and the Lenders that (i) it has all necessary power and authority to execute, deliver and perform its obligations under
this Amendment; (ii) the execution, delivery and performance by such Loan Party of this Amendment has been duly authorized by
all necessary action on its part; (iii) this Amendment has been duly executed and delivered by such Loan Party and constitutes
the legal, valid and binding obligation of such Loan Party in accordance with its terms, subject to applicable bankruptcy, insolvency,
reorganization, moratorium or other laws affecting creditors’ rights generally and subject to general principles of equity,
regardless of whether considered in a proceeding in equity or at law; (iv) the execution and delivery of this Amendment by such
Loan Party and the performance of its obligations hereunder require no authorizations, approvals or consents of, or registrations
or filings with, any Governmental Authority, except for those that have been obtained or made and are in effect; and (v) neither
the execution and delivery of this Amendment nor the transactions contemplated hereby will (A) contravene, or result in a breach
of, the organizational documents of such Loan Party, (B) violate any governmental requirement applicable to or binding upon such
Loan Party or any of its properties, except to the extent that any such violation, individually or in the aggregate, would not
reasonably be expected to have a Material Adverse Effect, or (C) violate or result in a default under any agreement or instrument
to which such Loan Party is a party (other than any agreement or instrument the contravention of which or breach of which could
not reasonably be expected to be materially adverse to any Secured Party) or by which it is bound or to which its properties are
subject, except to the extent that any such violation or default, individually or in the aggregate, would not reasonably be expected
to have a Material Adverse Effect.

 

Section
6.                Effect of Amendment. From
and after the Amendment No. 2 Effective Date, each reference in the Existing Credit Agreement to “this Agreement”,
 “hereof”, or “hereunder” or words of like import, and all references to the “Credit Agreement”
in the Loan Documents and any and all other agreements, instruments, documents, notes, certificates, guaranties and other writings
of every kind and nature shall be deemed to mean the Credit Agreement.

 

    11

     

    

 

Section
7.                GOVERNING LAW. THIS AMENDMENT
SHALL BE GOVERNED BY AND CONSTRUED IN ACCORDANCE WITH THE INTERNAL LAWS OF THE STATE OF TEXAS, BUT GIVING EFFECT TO FEDERAL LAWS
APPLICABLE TO NATIONAL BANKS.

 

Section
8.               Headings. Section headings
in this Amendment are included herein for convenience of reference only and shall not constitute a part of this Amendment for
any other purpose.

 

Section
9.                Severability. In the event
any one or more of the provisions contained in this Amendment should be held invalid, illegal, or unenforceable in any respect,
the validity, legality and enforceability of the remaining provisions contained herein, to the full extent permitted by applicable
law, shall not in any way be affected or impaired thereby (it being understood that the invalidity of a particular provision in
a particular jurisdiction shall not in and of itself affect the validity of such provision in any other jurisdiction). The parties
shall endeavor in good-faith negotiations to replace the invalid, illegal, or unenforceable provisions with valid provisions the
economic effect of which comes as close as possible to that of the invalid, illegal, or unenforceable provisions.

 

Section
10.            No Waiver; Loan Document. Except as expressly provided
herein, the execution, delivery and effectiveness of this Amendment (or any provision hereof) shall not operate as a waiver of
any right, power or remedy of the Administrative Agent or the Lenders, nor constitute a waiver of any provision of the Existing
Credit Agreement. This Amendment shall be, and shall be construed and administered as, a Loan Document under the Credit Agreement.

 

Section
11.            Successors and Assigns. All of the terms and provisions
of this Amendment shall bind and inure to the benefit of the parties hereto and their respective successors and assigns.

 

Section
12.            Counterparts; Integration; Effectiveness. This Amendment
may be executed by one or more of the parties hereto in any number of separate counterparts, and all of such counterparts taken
together shall be deemed to constitute one and the same instrument. Delivery of an executed counterpart of a signature page of
this Amendment by telecopy, e-mailed .pdf or any other electronic means that reproduces an image of the actual executed signature
page shall be effective as delivery of a manually executed counterpart of this Agreement. The words “execution,” “signed,”
 “signature,” “delivery,” and words of like import in or relating to any document to be signed in connection
with this Amendment and the transactions contemplated hereby shall be deemed to include Electronic Signatures, deliveries or the
keeping of records in electronic form, each of which shall be of the same legal effect, validity or enforceability as a manually
executed signature, physical delivery thereof or the use of a paper-based recordkeeping system, as the case may be, to the extent
and as provided for in any applicable law, including the Federal Electronic Signatures in Global and National Commerce Act, or
any other applicable state laws based on the Uniform Electronic Transactions Act; provided that nothing herein shall require
the Administrative Agent to accept Electronic Signatures in any form or format without its prior written consent. This
AMENDMENT, the Credit Agreement and the other Loan Documents executed in connection
herewith and therewith represent the final agreement AMONG the parties RELATING to the SUBJECT MATTER HEREOF AND THEREOF and may
not be contradicted by evidence of prior, contemporaneous or unwritten oral agreements of the parties. There are no oral agreements
between the parties. Subject to the terms and conditions set forth herein, this amendment
shall become effective on the amendment no. 2 effective date.

 

[Signature
Pages Follow]

 

    12

     

    

 

IN
WITNESS WHEREOF, this Amendment has been duly executed as of the day and year first above written.

 

 

	 	BORROWERS:
	 	 
	 	ARCHROCK
    PARTNERS OPERATING LLC
	 	ARCHROCK
    SERVICES, L.P.
	 	 
	 	By:
    	/s/
    Douglas S. Aron
	 	Name:
    Douglas S. Aron
	 	Title:
    Senior Vice President and Chief Financial Officer
	 	 
	 	OTHER
    LOAN PARTIES:
	 	 
	 	ARCHROCK,
    INC.
	 	ARCHROCK
    PARTNERS FINANCE CORP.
	 	ARCHROCK
    PARTNERS LEASING LLC
	 	AROC
    CORP.
	 	AROC
    SERVICES GP LLC
	 	AROC
    SERVICES LP LLC
	 	ARCHROCK
    SERVICES LEASING LLC
	 	ARCHROCK
    GP LLC
	 	ARCHROCK
    PARTNERS CORP.
	 	 
	 	By:
    	/s/
    Douglas S. Aron
	 	Name:
    Douglas S. Aron
	 	Title:
    Senior Vice President and Chief Financial Officer

 

Signature
Page to Amendment No. 2 to Credit Agreement

 

    

     

    

 

	 	ARCHROCK
    PARTNERS, L.P.
	 	By:
    	ARCHROCK
    GP LLC, its General Partner
	 	 
	 	By:
    	/s/
    Douglas S. Aron
	 	Name:
    Douglas S. Aron
	 	Title:
    Senior Vice President and Chief Financial Officer
	 	 
	 	ARCHROCK
    GENERAL PARTNER, L.P.
	 	 
	 	By:
    	ARCHROCK
    GP LLC, its General Partner
	 	 
	 	By:
    	/s/
    Douglas S. Aron
	 	Name:
    Douglas S. Aron
	 	Title:
    Senior Vice President and Chief Financial Officer

 

Signature
Page to Amendment No. 2 to Credit Agreement

 

    

     

    

 

	 	ARCHROCK
    GP LP LLC
	 	 
	 	By:
    	/s/
    Pamela Jasinski
	 	Name:
    Pamela Jasinski
	 	Title:
    Manager
	 	 
	 	ARCHROCK
    MLP LP LLC
	 	 
	 	By:
    	/s/
    Pamela Jasinski
	 	Name:
    Pamela Jasinski
	 	Title:
    Manager

 

Signature
Page to Amendment No. 2 to Credit Agreement

 

    

     

    

 

	 	JPMORGAN
                                         CHASE BANK, N.A.,

                                                                          as
                                         Administrative Agent, an Issuing Bank, 

                                         Swingline Lender, and a Lender

	 	 
	 	 
	 	By:
    	/s/
    Anca Loghin
	 	Name:
    	Anca
    Loghin
	 	Title:
    	Authorized
    Officer

 

Signature
Page to Amendment No. 2 to Credit Agreement

 

    

     

    

 

	 	 
	 	WELLS
                                         FARGO BANK, NATIONAL ASSOCIATION,

                                                                          as
                                         a Lender and an Issuing Bank

	 	 
	 	By:
    	/s/
    Corbin M. Womac
	 	Name:
    	Corbin
    M. Womac
	 	Title:
    	Director

 

Signature
Page to Amendment No. 2 to Credit Agreement

 

    

     

    

 

	 	BANK OF AMERICA, N.A.,
	 	as a Lender
	 	 
	 	By: 	/s/ Mark Porter
	 	Name: Mark Porter
	 	Title: Senior Vice President

 

Signature Page to Amendment No. 2
to Credit Agreement

 

    

     

    

 

	 	ROYAL BANK OF CANADA,
	 	as a Lender
	 	 
	 	By: 	/s/ Emilee Scott
	 	Name: Emilee Scott
	 	Title: Authorized Signatory

 

Signature Page to Amendment No. 2
to Credit Agreement

 

    

     

    

 

	 	REGIONS BANK,
	 	as a Lender
	 	 
	 	By: 	/s/ Gregory Garbuz
	 	Name: Gregory Garbuz
	 	Title: Director

 

Signature Page to Amendment No. 2
to Credit Agreement

 

    

     

    

 

	 	THE BANK OF NOVA SCOTIA,
    HOUSTON BRANCH,
	 	as a Lender
	 	 
	 	By: 	/s/ Scott Nickel
	 	Name: Scott Nickel
	 	Title: Director

 

Signature Page to Amendment No. 2
to Credit Agreement

 

    

     

    

 

	 	THE TORONTO-DOMINION BANK,
    NEW YORK BRANCH,
	 	as a Lender
	 	 
	 	By: 	/s/ Brian MacFarlane
	 	Name: Brian MacFarlane
	 	Title: Authorized Signatory

 

Signature Page to Amendment No. 2
to Credit Agreement

 

    

     

    

 

	 	CITIBANK, N.A.,
	 	as a Lender
	 	 
	 	By: 	/s/ Ivan Davey
	 	Name: Ivan Davey
	 	Title: Vice President

 

Signature Page to Amendment No. 2
to Credit Agreement

 

    

     

    

 

	 	 
	 	BRANCH BANKING AND TRUST
    COMPANY,
	 	as a Lender
	 	 
	 	By: 	/s/ DeVon S. Lang
	 	Name: DeVon S. Lang
	 	Title: SVP

 

Signature Page to Amendment No. 2
to Credit Agreement

 

    

     

    

 

	 	SUMITOMO MITSUI BANKING
    CORPORATION,
	 	as a Lender
	 	 
	 	By: 	/s/ Michael Maguire
	 	Name: Michael Maguire
	 	Title: Executive Director

 

Signature Page to Amendment No. 2
to Credit Agreement

 

    

     

    

 

	 	CIT BANK, N.A.,
	 	as a Lender
	 	 
	 	By: 	/s/ Michael A. Robinson
	 	Name: Michael A. Robinson
	 	Title: Vice President

 

Signature Page to Amendment No. 2
to Credit Agreement

 

    

     

    

 

	 	NYCB
    SPECIALTY FINANCE COMPANY, LLC, a wholly owned subsidiary of New York Community Bank, as
    a New Lender
	 	 
	 	By: 	/s/ Willard D. Dickerson, Jr.
	 	Name: Willard D. Dickerson,
    Jr.
	 	Title: Senior Vice President

 

Signature Page to Amendment No. 2
to Credit Agreement

 

    

     

    

 

	 	FIFTH THIRD BANK,
	 	as a New Lender
	 	 
	 	By: 	/s/ Raymond Gore
	 	Name: Raymond Gore
	 	Title: Managing Director

 

Signature Page to Amendment No. 2
to Credit Agreement

 

    

     

    

 

	 	BBVA USA,
	 	as a Lender
	 	 
	 	By: 	/s/ Mark H. Wolf
	 	Name: Mark H. Wolf
	 	Title: Senior Vice President

 

Signature Page to Amendment No. 2
to Credit Agreement

 

    

     

    

 

	 	PNC BANK NATIONAL ASSOCIATION
	 	as a Lender
	 	 
	 	By: 	/s/ Stephen Monto
	 	Name: Stephen Monto
	 	Title: SVP

 

Signature Page to Amendment No. 2
to Credit Agreement

 

    

     

    

 

	 	CATERPILLAR FINANCIAL
    SERVICES CORPORATION,
	 	as a Lender
	 	 
	 	By: 	/s/ Landon Gracey
	 	Name: Landon Gracey
	 	Title: Credit Manager

 

Signature Page to Amendment No. 2
to Credit Agreement

 

    

     

    

 

	 	RAYMOND JAMES BANK N.A.,
	 	as a Lender
	 	 
	 	By: 	/s/ John Harris
	 	Name: John Harris
	 	Title: Managing Director

 

Signature Page to Amendment No. 2
to Credit Agreement

 

    

     

    

 

	 	FIRST HORIZON BANK,
	 	as a Lender
	 	 
	 	By: 	/s/ Michael Shipman
	 	Name: Michael Shipman
	 	Title: Vice President

 

Signature Page to Amendment No. 2
to Credit Agreement

 

    

     

    

 

	 	STERLING NATIONAL BANK,
	 	as a Lender
	 	 
	 	By: 	/s/ Thomas A. Couture
	 	Name: Thomas A. Couture
	 	Title: First Vice President

 

Signature Page to Amendment No. 2
to Credit Agreement

 

    

     

    

 

ANNEX I

 

COMMITMENT SCHEDULE

 

	Lender	 	Revolving

 Commitment	 	 	Percentage	 
	JPMorgan Chase Bank, N.A.	 	$	175,000,000	 	 	 	14	%
	Wells Fargo Bank, National Association	 	$	115,000,000	 	 	 	9.2	%
	Bank of America, N.A.	 	$	95,000,000	 	 	 	7.6	%
	Royal Bank of Canada	 	$	95,000,000	 	 	 	7.6	%
	Regions Bank	 	$	95,000,000	 	 	 	7.6	%
	The Bank of Nova Scotia, Houston Branch	 	$	95,000,000	 	 	 	7.6	%
	The Toronto-Dominion Bank, New York Branch	 	$	95,000,000	 	 	 	7.6	%
	Citibank N.A.	 	$	95,000,000	 	 	 	7.6	%
	Branch Banking and Trust Company	 	$	70,000,000	 	 	 	5.6	%
	Sumitomo Mitsui Banking Corporation	 	$	45,000,000	 	 	 	3.6	%
	CIT Bank N.A.	 	$	40,000,000	 	 	 	3.2	%
	NYCB Specialty Finance Company, LLC	 	$	35,000,000	 	 	 	2.8	%
	Fifth Third Bank	 	$	35,000,000	 	 	 	2.8	%
	BBVA USA	 	$	35,000,000	 	 	 	2.8	%
	PNC Bank, National Association	 	$	30,000,000	 	 	 	2.4	%
	Caterpillar Financial Services Corporation	 	$	30,000,000	 	 	 	2.4	%
	Raymond James Bank, N.A.	 	$	30,000,000	 	 	 	2.4	%
	First Horizon Bank	 	$	20,000,000	 	 	 	1.6	%
	Sterling National Bank	 	$	20,000,000	 	 	 	1.6	%
	Total	 	$	1,250,000,000	 	 	 	100	%

 

Annex I – Commitment
Schedule

 

    

     

    

 

EXHIBIT A

 

PERFECTION CERTIFICATE

 

[see attached]

 

Exhibit A Perfection CertificateEX-4.c.2

 Exhibit
4-c-2 
 Fourth Amendment 

Rockwell Automation 1165(e) Plan 
 The
undersigned, Harry A. Malone, Vice President, Compensation & Benefits, of Rockwell Automation, Inc. (the “Corporation”), pursuant to the authority provided by resolution of the Corporation’s Board of Directors on
December 4, 1996, does hereby approve, for and on behalf of the Corporation, the following amendments to the Rockwell Automation 1165(e) Plan (the “Plan”) (011): 

Premises 
 1. The Corporation established
the Plan effective January 1, 2009 for the benefits of its eligible employees. 
 2. The Corporation has historically provided a fifty percent (50%)
match on the first six percent (6%) of compensation each participant contributes to the Plan for each pay period. 
 3. The Corporation desires to increase
the rate of matching contributions to provide a fifty percent (50%) match on the first seven percent (7%) of compensation each participant contributes to the Plan for each pay period, commencing with compensation paid to participants or after
July 1, 2018, regardless of when the services related to such compensation were performed. 
 4. The Corporation desires to change references from
“Basic” contributions to “Matched” contributions throughout the Plan. 
 5. The Corporation desires to make matching contributions in
the form of cash. 
 Resolutions 
 NOW
THEREFORE BE IT RESOLVED THAT, effective July 1, 2018, the Plan hereby amended as follows: 
 1. Section 2.020, Basic Contributions, is amended in its
entirety to read as follows: 
 Matched Contributions. A Participant may take either or both of the actions described in subsections
(a) and (b) below: 
  

	 	(a)	 elect to defer receipt of an amount equal to 1% through 7% of his regular Base Compensation (such deferral to
be elected in whole percentages), and to instead have that amount paid to the Plan as a Matched Pre-tax Contribution to his Pre-tax Contribution Account;

  

	 	(b)	 authorize having deducted from his regular Base Compensation 1% through 7% (such deduction to be authorized in
whole percentages) and then have the amount of such deduction (as adjusted for all applicable taxes due on that amount) paid to the Plan as a Matched After-tax Contribution to his After-tax Contribution Account; 

  
 1 

 provided, however, that the percentages elected to be deferred or deducted and then made as
Matched Pre-tax and Matched After-tax Contributions may together not exceed 7% of the Participant’s Base Compensation. 

2. Section 2.030, Supplemental Contributions, is amended in its entirety to read as follows: 

Supplemental Contributions. A Participant who has made the elections and/or authorizations described in Section 2.020 will also be
permitted to take either or both of the actions described in subsections (a) and (b) below: 
  

					
	        (a)	  	(1)	  	if he is a non-Highly Compensated Employee, elect to defer receipt of an amount equal to 8% through 50% of his regular Base Compensation (such deferral to be elected in whole percentages), and
to instead have that amount paid to the Plan as a Supplemental Pre-tax Contribution to his Pre-tax Contribution Account;
			
		  	(2)	  	if he is a Highly Compensated Employee, elect to defer receipt of an amount equal to 8% through 16% of his regular Base Compensation (such deferral to be elected in whole percentages), and to instead have that amount paid to the
Plan as a Supplemental Pre-tax Contribution to his Pre-tax Contribution Account;
			
	(b)	  		  	if he is either a non-Highly Compensated Employee or a Highly Compensated Employee, authorize having deducted from his regular Base Compensation 8% through 10% (such deduction to be authorized
in whole percentages) and then have the amount of such deduction (as adjusted for all applicable taxes due on that amount) paid to the Plan as a Supplemental After-tax Contribution to his After-tax Contribution Account;

 provided, however, that the percentages elected to be deferred or deducted and then made as Supplemental Pre-tax and Supplemental After-tax Contributions may together not exceed 43% of the Participant’s Base Compensation if he is a
non-Highly Compensated Employee or 9% of the Participant’s Base Compensation if he is a Highly Compensated Employee. 

Further, notwithstanding the foregoing, the sum of the Matched After-tax Contributions and the
Supplemental After-tax Contributions shall not exceed in any given year 10% percent of the Participant’s Base Compensation for the Plan Year since becoming a Participant. 

  
 2 

 3. Section 2.060, Matching Contribution Formula, is amended in its entirety to read as follows: 

Matching Contribution Formula.
  

	 	(a)	 For pay dates prior to July 1, 2018, the Company will contribute to the Plan on behalf of each Participant
out of its current or accumulated profits Company Matching Contributions equal to fifty percent (50%) of the Participant’s Matched Pre-tax Contributions and Matched
After-tax Contributions (up to 6% of Base Compensation), made pursuant to Section 2.020. Such Company Matching Contributions will be made in the form and subject to the limitations set forth in
Section 2.070. Any forfeiture of Company Matching Contributions occurring during a Plan Year shall be used to reduce Company Matching Contributions for such Plan Year. Notwithstanding the foregoing, effective for pay dates on and after
July 1, 2018, in lieu of the preceding contributions in this Section 2.060(a), the Company will contribute to the Plan on behalf of each Participant out of its current or accumulated profits Company Matching Contributions equal to fifty
percent (50%) of the Participant’s Matched Pre-tax Contributions and Matched After-tax Contributions (calculated by considering only the first 7% of Base
Compensation contributed for such pay date), made pursuant to Section 2.020. 

 4. All references to “Basic” contributions
are changed to “Matched” contributions. 
 5. Section 2.070(b) and (c) are amended in their entirety to read as follows: 

 

	(b)	 Prior to January 1, 2018, Company Matching Contributions will be made in the form of Rockwell Automation
common stock, but may be made, in the discretion of the Board of Directors, in cash or in any combination of cash and Rockwell Automation common stock. Rockwell Automation common stock which is contributed will be valued at the New York Stock
Exchange closing price on the Valuation Date immediately preceding the date on which the contribution is made. Unless a Participant elects a cash distribution, any dividends or other earnings on such common stock or cash will remain in the Rockwell
Automation Stock Fund unless otherwise distributed or transferred pursuant to Article IV or Sections 4.030 or 4.040. On and after January 1, 2018, Company Matching Contributions will be made in the form of cash and will be subject to the
investment elections made by the Participant under Section 4.010. 

  

	6.	 

	The	 first sentence of Section 8.020(b) is amended in its entirety to read as follows: 

The Rockwell Automation Stock Fund will consist of all cash, Rockwell Automation common stock and the proceeds and income from that common stock, which are
attributable to Participant Contributions designated as contributions to the Rockwell Automation Stock Fund and Company Matching Contributions designated as contributions to the Rockwell Automation Stock Fund. 

The foregoing action is taken with the understanding that such action is consistent with the intentions of the Corporation. 

  
 3 

 Date: August 9, 2018 

 

			
		
		 	 /s/ Harry A. Malone

		 	Harry A. Malone

  
 4

Source: [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00301-of-00352.parquet"}, [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00301-of-00352.parquet"}]]