Document:

Ex 10.1 2013 Equity Plan

Exhibit 10.1
TIPTREE FINANCIAL INC.
2013 OMNIBUS INCENTIVE PLAN
Tiptree Financial Inc. (the "Company"), a Maryland corporation, hereby establishes and adopts the following Tiptree Financial Inc. 2013 Omnibus Incentive Plan (the "Plan").
1.PURPOSE OF THE PLAN
The purpose of the Plan is to assist the Company and its Subsidiaries in attracting and retaining selected individuals to serve as employees, directors and consultants of the Company and its Subsidiaries who are expected to contribute to the Company's success and to achieve long-term objectives which will inure to the benefit of all stockholders of the Company through the additional incentives inherent in the Awards hereunder. 
2.    DEFINITIONS
2.1.    "162(m) Award" means an Award intended to qualify as qualified performance-based compensation under Section 162(m) of the Code.
2.2.    "Affiliate" means, as to any Person, any other Person directly or indirectly controlling, controlled by or under direct or indirect common control with such Person.  For the purposes of this definition, "control," when used with respect to any Person, means the power to direct the management and policies of such Person, directly or indirectly, whether through the ownership of voting securities, by contract or otherwise.  The term "controlling" and "controlled" shall have meanings correlative to the foregoing.
2.3.    "Award" shall mean any Option, Stock Appreciation Right, Restricted Stock Award, Restricted Stock Unit Award, Other Share-Based Award or Performance Award granted pursuant to the provisions of the Plan. 
2.4.    "Award Agreement" shall mean any agreement, contract or other instrument or document evidencing any Award hereunder, whether in writing or through an electronic medium. 
2.5.    "Board" shall mean the board of directors of the Company. 
2.6.    "Code" shall mean the Internal Revenue Code of 1986, as amended from time to time. 
2.7.    "Committee" shall mean the Compensation, Nominating and Governance Committee of the Board or a subcommittee thereof formed by the Compensation, Nominating and Governance Committee to act as the Committee hereunder, or such other committee to address matters under this Plan as may be constituted by the Board from time to time.  To the extent that the Company grants a 162(m) Award, the Committee shall consist of no fewer than 

	
			
	 
	 
	 

two Directors, each of whom is an "outside director" within the meaning of Section 162(m) of the Code.
2.8.    "Covered Employee" shall mean an employee of the Company or its subsidiaries who is a "covered employee" within the meaning of Section 162(m) of the Code to the extent required by such rules.
2.9.    "Director" shall mean a member of the Board who is not an employee of the Company or any of its Subsidiaries. 
2.10.    "Dividend Equivalents" shall have the meaning set forth in Section 12.5.
2.11.    "Employee" shall mean any employee of the Company or any Subsidiary and any prospective employee conditioned upon, and effective not earlier than, such person becoming an employee of the Company or any Subsidiary.  Solely for purposes of the Plan, an Employee shall also mean any consultant who is a natural person and who provides services to the Company or any Subsidiary, so long as such person (i) renders bona fide services that are not in connection with the offer and sale of the Company's securities in a capital-raising transaction and (ii) does not directly or indirectly promote or maintain a market for the Company's securities. 
2.12.    "Exchange Act" shall mean the Securities Exchange Act of 1934, as amended. 
2.13.    "Fair Market Value" shall mean, with respect to any property other than Shares, the market value of such property determined by such methods or procedures as shall be established from time to time by the Committee.  The Fair Market Value of Shares as of any date shall be the per Share closing price of the Shares as reported on the principal securities exchange on which the Shares are traded, and if the Shares are not listed on a securities exchange, the Fair Market Value of Shares shall be determined by the Committee in its sole discretion. 
2.14.    "Limitations" shall have the meaning set forth in Section 10.5.
2.15.    "Option" shall mean any right granted to a Participant under the Plan allowing such Participant to purchase Shares at such price or prices and during such period or periods as the Committee shall determine. 
2.16.    "Other Share-Based Award" shall have the meaning set forth in Section 8.1. 
2.17.    "Participant" shall mean an Employee or Director who is selected by the Committee to receive an Award under the Plan. 
2.18.    "Payee" shall have the meaning set forth in Section 13.1.
2.19.    "Performance Award" shall mean any Award of Performance Cash or Performance Shares granted pursuant to Article 9.

	
			
	 
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2.20.    "Performance Cash" shall mean any cash incentives granted pursuant to Article 9 which will be paid to the Participant upon the achievement of such performance goals as the Committee shall establish.
2.21.    "Performance Period" shall mean the period established by the Committee during which any performance goals specified by the Committee with respect to such Award are to be measured.
2.22.    "Performance Share" shall mean any grant pursuant to Article 9 of a unit valued by reference to a designated number of Shares, which value will be paid to the Participant upon achievement of such performance goals as the Committee shall establish. 
2.23.    "Person" means any individual, corporation, partnership, joint venture, limited liability company, estate, trust, unincorporated association, any federal, state, county or municipal government or any bureau, department or agency thereof and any fiduciary acting in such capacity on behalf of any of the foregoing.
2.24.    "Permitted Assignee" shall have the meaning set forth in Section 12.3.
2.25.    "Restricted Stock" shall mean any Share issued with the restriction that the holder may not sell, transfer, pledge or assign such Share and with such other restrictions as the Committee, in its sole discretion, may impose (including any restriction on the right to vote such Share and the right to receive any dividends), which restrictions may lapse separately or in combination at such time or times, in installments or otherwise, as the Committee may deem appropriate. 
2.26.    "Restricted Stock Award" shall have the meaning set forth in Section 7.1.
2.27.    "Restricted Stock Unit" means an Award that is valued by reference to a Share, which value may be paid to the Participant by delivery of such property as the Committee shall determine, including without limitation, cash or Shares, or any combination thereof, and that has such restrictions as the Committee, in its sole discretion, may impose, including without limitation, any restriction on the right to retain such Awards, to sell, transfer, pledge or assign such Awards, and/or to receive any Dividend Equivalents with respect to such Awards, which restrictions may lapse separately or in combination at such time or times, in installments or otherwise, as the Committee may deem appropriate.
2.28.    "Restricted Stock Unit Award" shall have the meaning set forth in Section 7.1
2.29.    "Shares" shall mean the shares of the Class A common stock of the Company, par value $0.01 per share. 
2.30.    "Stock Appreciation Right" shall mean the right granted to a Participant pursuant to Article 6. 
2.31.    "Subsidiary" shall mean with respect to any Person, any corporation, partnership, limited liability company, association, joint venture or other business entity of which (i) if a 

	
			
	 
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corporation, at least 25% of the total voting power of shares of stock entitled (irrespective of whether, at the time, stock of any other class or classes of such corporation shall have or might have voting power by reason of the happening of any contingency) to vote in the election of directors, managers or trustees thereof is at the time owned or controlled, directly or indirectly, by that Person or one or more of the other Subsidiaries of that Person or a combination thereof, or (ii) if a partnership, limited liability company, association, joint venture or other business entity, at least 25% of the partnership, joint venture or other similar ownership interest thereof is at the time owned or controlled, directly or indirectly, by that Person or one or more Subsidiaries of that Person or a combination thereof.
2.32.    "Substitute Awards" shall mean Awards granted or Shares issued by the Company in assumption of, or in substitution or exchange for, awards previously granted, or the right or obligation to make future awards, in each case by a company acquired by the Company or any Subsidiary or with which the Company or any Subsidiary combines. 
3.    SHARES SUBJECT TO THE PLAN 
3.1.    Number of Shares. (%3) Subject to adjustment as provided in Section 12.2, a total of 2,000,000 Shares shall be authorized for issuance under the Plan. 
(a)    If any Shares subject to an Award are forfeited, expire or otherwise terminate without issuance of such Shares, or any Award is settled for cash or otherwise does not result in the issuance of all or a portion of the Shares subject to such Award (including payment in Shares on exercise of a Stock Appreciation Right), such Shares shall, to the extent of such forfeiture, expiration, termination, cash settlement or non-issuance, again be available for issuance under the Plan.
(b)    In the event that (i) any Option or other Award granted hereunder is exercised through the tendering of Shares (either actually or by attestation) or by the withholding of Shares by the Company, or (ii) withholding tax liabilities arising from such Option or other Award are satisfied by the tendering of Shares (either actually or by attestation) or by the withholding of Shares by the Company, then the Shares so tendered or withheld shall be available for issuance under the Plan.
(c)    Substitute Awards shall not reduce the Shares authorized for grant under the Plan or authorized for grant to a Participant in any calendar year.  Additionally, in the event that a company acquired by the Company or any Subsidiary or with which the Company or any Subsidiary combines has shares available under a pre-existing plan approved by stockholders and not adopted in contemplation of such acquisition or combination, the shares available for grant pursuant to the terms of such pre-existing plan (as adjusted, to the extent appropriate, using the exchange ratio or other adjustment or valuation ratio or formula used in such acquisition or combination to determine the consideration payable to the holders of common stock of the entities party to such acquisition or combination) may be used for Awards under the Plan and shall not reduce the Shares authorized for grant under the Plan; provided that Awards using such available shares shall not be made after the date awards or grants could have been made under 

	
			
	 
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the terms of the pre-existing plan, absent the acquisition or combination, and shall only be made to individuals who were not Employees or Directors prior to such acquisition or combination. 
3.2.    Character of Shares.  Any Shares issued hereunder may consist, in whole or in part, of authorized and unissued shares, treasury shares or shares purchased in the open market or otherwise. 
4.    ELIGIBILITY AND ADMINISTRATION 
4.1.    Eligibility.  Any Employee or Director shall be eligible to be selected as a Participant. 
4.2.    Administration. (%3) The Plan shall be administered by the Committee.  The Committee shall have full power and authority, subject to the provisions of the Plan and subject to such orders or resolutions not inconsistent with the provisions of the Plan as may from time to time be adopted by the Board, to: (i) select the Employees and Directors to whom Awards may from time to time be granted hereunder; (ii) determine the type or types of Awards, not inconsistent with the provisions of the Plan, to be granted to each Participant hereunder; (iii) determine the number of Shares or dollar value to be covered by each Award granted hereunder; (iv) determine the terms and conditions, not inconsistent with the provisions of the Plan, of any Award granted hereunder; (v) determine whether, to what extent and under what circumstances Awards may be settled in cash, Shares or other property; (vi) determine whether, to what extent, and under what circumstances cash, Shares, other property and other amounts payable with respect to an Award made under the Plan shall be deferred either automatically or at the election of the Participant; (vii) determine whether, to what extent and under what circumstances any Award shall be canceled or suspended; (viii) interpret and administer the Plan and any instrument or agreement entered into under or in connection with the Plan, including any Award Agreement; (ix) correct any defect, supply any omission or reconcile any inconsistency in the Plan or any Award in the manner and to the extent that the Committee shall deem desirable to carry it into effect; (x) establish such rules and regulations and appoint such agents as it shall deem appropriate for the proper administration of the Plan; (xi) determine whether any Award, other than an Option or Stock Appreciation Right, will have Dividend Equivalents; and (xii) make any other determination and take any other action that the Committee deems necessary or desirable for administration of the Plan. 
(a)    Decisions of the Committee shall be final, conclusive and binding on all persons or entities, including the Company, any Participant, and any Subsidiary.
(b)    To the extent not inconsistent with applicable law, or the rules and regulations of the principal securities exchange on which the Shares are traded, the Committee may delegate to (i) a committee of one or more directors of the Company any of the authority of the Committee under the Plan, including the right to grant, cancel or suspend Awards and (ii) to the extent permitted by law, one or more executive officers or a committee of executive officers the right to grant Awards to Employees who are not Directors or executive officers of the Company. 

	
			
	 
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5.    OPTIONS
5.1.    Grant of Options.  Options may be granted hereunder to Participants either alone or in addition to other Awards granted under the Plan.  Any Option shall be subject to the terms and conditions of this Article and to such additional terms and conditions, not inconsistent with the provisions of the Plan, as the Committee shall deem desirable. 
5.2.    Award Agreements.  All Options granted pursuant to this Article shall be evidenced by an Award Agreement in such form and containing such terms and conditions as the Committee shall determine which are not inconsistent with the provisions of the Plan.  The terms of Options need not be the same with respect to each Participant.  Granting an Option pursuant to the Plan shall impose no obligation on the recipient to exercise such Option.  Any individual who is granted an Option pursuant to this Article may hold more than one Option granted pursuant to the Plan at the same time. 
5.3.    Option Price.  Other than in connection with Substitute Awards, the option price per each Share purchasable under any Option granted pursuant to this Article shall not be less than 100% of the Fair Market Value of one Share on the date of grant of such Option; provided that the option price of an incentive stock option granted to an employee who, at the time of grant, owns stock possessing more than ten (10) percent of the total combined voting power of all classes of stock of the Company (a "Ten Percent Shareholder") shall be no less than 110% of the Fair Market Value of one Share on the date of grant of such Option. 
5.4.    Option Term.  The term of each Option shall be fixed by the Committee in its sole discretion; provided that no Option shall be exercisable after the expiration of ten (10) years from the date the Option is granted; provided, further that no incentive stock option granted to a Ten Percent Shareholder shall be exercisable after five (5) years from the date the Option is granted.
5.5.    Exercise of Options.  (%3) Options shall be subject to such vesting conditions as may be imposed by the Committee.  Vested Options granted under the Plan shall be exercised by the Participant or by a Permitted Assignee thereof (or by the Participant's executors, administrators, guardian or legal representative, as may be provided in an Award Agreement) as to all or part of the Shares covered thereby, by giving notice of exercise to the Company or its designated agent, specifying the number of Shares to be purchased.  The notice of exercise shall be in such form, made in such manner, and in compliance with such other requirements consistent with the provisions of the Plan as the Committee may prescribe from time to time. 
(a)    Unless otherwise provided in an Award Agreement, full payment of such purchase price shall be made at the time of exercise and shall be made (i) in cash or cash equivalents (including certified check or bank check or wire transfer of immediately available funds), (ii) by tendering previously acquired Shares (either actually or by attestation, valued at their then Fair Market Value), (iii) with the consent of the Committee, by delivery of other consideration having a Fair Market Value on the exercise date equal to the total purchase price, (iv) with the consent of the Committee, by withholding Shares otherwise issuable in connection with the exercise of the Option, (v) through any other method specified in an Award Agreement, 

	
			
	 
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or (vi) any combination of any of the foregoing.  The notice of exercise, accompanied by such payment, shall be delivered to the Company at its principal business office or such other office as the Committee may from time to time direct, and shall be in such form, containing such further provisions consistent with the provisions of the Plan, as the Committee may from time to time prescribe.  In no event may any Option granted hereunder be exercised for a fraction of a Share.  No adjustment shall be made for cash dividends or other rights for which the record date is prior to the date of such issuance. 
(b)    The Award Agreement for an Option shall set forth the extent to which it may be exercised following termination of the Participant's employment with or provision of services to the Company (including service as a director of the Company) and its Subsidiaries. 
5.6.    Form of Settlement.  In its sole discretion, the Committee may provide that the Shares to be issued upon an Option's exercise shall be in the form of Restricted Stock or other similar securities. 
5.7.    Incentive Stock Options.  The Committee may grant Options intended to qualify as "incentive stock options" as defined in Section 422 of the Code, to any employee of the Company or any subsidiary (as defined in Section 422 of the Code), subject to the requirements of Section 422 of the Code.  The aggregate Fair Market Value (determined as of the date an Option is granted) of the Shares for which incentive stock options granted to any employee under this Plan may first become exercisable in any calendar year shall not exceed $100,000.  Solely for purposes of determining whether Shares are available for the grant of "incentive stock options" under the Plan, the maximum aggregate number of Shares that may be issued pursuant to "incentive stock options" granted under the Plan shall be 1,000,000 Shares, subject to adjustment provided in Section 12.2. 
6.    STOCK APPRECIATION RIGHTS 
6.1.    Grant and Exercise.  The Committee may provide Stock Appreciation Rights (a) in conjunction with all or part of any Option granted under the Plan or at any subsequent time during the term of such Option, (b) in conjunction with all or part of any Award (other than an Option) granted under the Plan or at any subsequent time during the term of such Award, or (c) without regard to any Option or other Award, in each case upon such terms and conditions as the Committee may establish in its sole discretion. 
6.2.    Terms and Conditions.  Stock Appreciation Rights shall be subject to such terms and conditions, not inconsistent with the provisions of the Plan, as shall be determined from time to time by the Committee, including the following: 
(a)    Upon the exercise of a Stock Appreciation Right, the holder shall have the right to receive the excess of (i) the Fair Market Value of one Share on the date of exercise over (ii) the grant price of the Stock Appreciation Right on the date of grant, which, except in the case of Substitute Awards or in connection with an adjustment provided in Section 12.2, shall not be less than the Fair Market Value of one Share on such date of grant of the right. 

	
			
	 
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(b)    The Committee shall determine in its sole discretion whether upon the exercise of a Stock Appreciation Right payment shall be made in cash, in whole Shares or other property, or any combination thereof. 
(c)    The provisions of Stock Appreciation Rights need not be the same with respect to each recipient. 
(d)    Stock Appreciation Rights shall be subject to such vesting conditions as may be imposed by the Committee.  The Committee may impose such other conditions or restrictions on the terms of exercise of any Stock Appreciation Right, as it shall deem appropriate.  The Award Agreement for the Stock Appreciation Right shall set forth the extent to which it may be exercised following termination of the Participant's employment with or provision of services to the Company (including service as a director of the Company) and its Subsidiaries. 
(e)    A Stock Appreciation Right shall have (i) a grant price not less than Fair Market Value on the date of grant (subject to the requirements of Section 409A of the Code with respect to a Stock Appreciation Right granted in conjunction with, but subsequent to, an Option), and (ii) a term not greater than ten (10) years. 
(f)    The Committee may impose such terms and conditions on Stock Appreciation Rights granted in conjunction with any Award (other than an Option) as the Committee shall determine in its sole discretion. 
7.    RESTRICTED STOCK AND RESTRICTED STOCK UNITS 
7.1.    Grants.  Awards of Restricted Stock and Restricted Stock Units may be issued hereunder to Participants either alone or in addition to other Awards granted under the Plan (a "Restricted Stock Award" or "Restricted Stock Unit Award" respectively), and such Restricted Stock Awards and Restricted Stock Unit Awards shall also be available as a form of payment of Performance Awards and other earned cash-based incentive compensation.  A Restricted Stock Award or Restricted Stock Unit Award shall be subject to vesting restrictions imposed by the Committee covering a period of time specified by the Committee, unless the Committee applies Article 10 to the Award as provided in Section 10.1.  The Committee has absolute discretion to determine whether any consideration (other than services) is to be received by the Company or any Subsidiary as a condition precedent to the issuance of Restricted Stock or Restricted Stock Units. 
7.2.    Award Agreements.  The terms of any Restricted Stock Award or Restricted Stock Unit Award granted under the Plan shall be set forth in an Award Agreement which shall contain provisions determined by the Committee and not inconsistent with the Plan.  The terms of Restricted Stock Awards and Restricted Stock Unit Awards need not be the same with respect to each Participant. 
7.3.    Rights of Holders of Restricted Stock and Restricted Stock Units.  Unless otherwise provided in the Award Agreement, beginning on the date of grant of the Restricted 

	
			
	 
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Stock Award and subject to execution of the Award Agreement, the Participant shall become a stockholder of the Company with respect to all Shares subject to the Award Agreement and shall have all of the rights of a stockholder, including the right to vote such Shares and the right to receive distributions made with respect to such Shares.  A Participant receiving a Restricted Stock Unit Award shall not possess any rights of a stockholder with respect to such Award. Except as otherwise provided in an Award Agreement any Shares or any other property (including cash) distributed as a dividend or otherwise with respect to any Restricted Stock Award as to which the restrictions have not yet lapsed shall be subject to the same restrictions as such Restricted Stock Award.  Notwithstanding the provisions of this Section, cash dividends with respect to any Restricted Stock Award and any other property distributed as a dividend or otherwise with respect to any Restricted Stock Award or the number of Shares covered by a Restricted Stock Unit Award shall either (i) not be paid or credited or (ii) be accumulated, shall be subject to restrictions and risk of forfeiture to the same extent as the Restricted Stock or Restricted Stock Units with respect to which such cash, Shares or other property has been distributed and shall be paid at the time such restrictions and risk of forfeiture lapse.
7.4.    Effect of Termination of Employment.  The Award Agreement for Restricted Stock Award or Restricted Stock Unit Award shall set forth the extent to which the Participant shall have the right to retain Restricted Stock or Restricted Stock Units following termination of the Participant's employment with or provision of services to the Company (including service as a director of the Company) and its Subsidiaries. 
7.5.    Issuance of Shares.  Any Restricted Stock granted under the Plan may be evidenced in such manner as the Committee may deem appropriate, including book-entry registration or issuance of a stock certificate or certificates, which certificate or certificates shall be held by the Company.  Such certificate or certificates shall be registered in the name of the Participant and shall bear an appropriate legend referring to the restrictions applicable to such Restricted Stock. 
8.    OTHER SHARE-BASED AWARDS 
8.1.    Grants.  Other Awards of Shares and other Awards that are valued in whole or in part by reference to, or are otherwise based on, Shares or other property ("Other Share-Based Awards") may be granted hereunder to Participants either alone or in addition to other Awards granted under the Plan.  Other Share-Based Awards shall also be available as a form of payment of other Awards granted under the Plan and other earned cash-based compensation.  Other Share-Based Awards shall be subject to vesting restrictions imposed by the Committee covering a period of time specified by the Committee, unless the Committee applies Article 10 to the Award as provided in Section 10.1.
8.2.    Award Agreements.  The terms of Other Share-Based Award granted under the Plan shall be set forth in an Award Agreement which shall contain provisions determined by the Committee and not inconsistent with the Plan.  The terms of such Awards need not be the same with respect to each Participant.  Notwithstanding the provisions of this Section, Dividend Equivalents and cash and any property distributed as a dividend or otherwise with respect to the number of Shares covered by a Other Share-Based Award shall be subject to restrictions and risk 

	
			
	 
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of forfeiture to the same extent as the Shares covered by a Other Share-Based Award with respect to which such cash, Shares or other property has been distributed.
8.3.    Effect of Termination of Employment.  The Award Agreement for an Other Share-Based Award shall set forth the extent to the Award will be retained following termination of the Participant's employment with or provision of services to the Company (including service as a director of the Company) and its Subsidiaries.
8.4.    Payment.  Except as may be provided in an Award Agreement, Other Share-Based Awards may be paid in cash, Shares, other property, or any combination thereof, in the sole discretion of the Committee.  Other Share-Based Awards may be paid in a lump sum or in installments or, in accordance with procedures established by the Committee, on a deferred basis subject to the requirements of Section 409A of the Code. 
9.    PERFORMANCE AWARDS 
9.1.    Grants.  Performance Awards in the form of Performance Cash or Performance Shares, as determined by the Committee in its sole discretion, may be granted hereunder to Participants, for no consideration or for such minimum consideration as may be required by applicable law, either alone or in addition to other Awards granted under the Plan.  The performance goals to be achieved for each Performance Period shall be conclusively determined by the Committee and may be based upon criteria set forth in Section 10.2.
9.2.    Award Agreements.  The terms of any Performance Award granted under the Plan shall be set forth in an Award Agreement which shall contain provisions determined by the Committee and not inconsistent with the Plan, including whether such Awards shall have Dividend Equivalents.  The terms of Performance Awards need not be the same with respect to each Participant.
9.3.    Terms and Conditions.  The performance criteria to be achieved during any Performance Period and the length of the Performance Period shall be determined by the Committee upon the grant of each Performance Award.  The amount of the Award to be distributed shall be conclusively determined by the Committee. 
9.4.    Effect of Termination of Employment.  The Award Agreement for Performance Awards shall set forth the extent to which the Participant shall have the right to retain Performance Awards following termination of the Participant's employment with or provision of services to the Company and its Subsidiaries.
9.5.    Payment.  Except as provided in Article 11 or as may be provided in an Award Agreement, Performance Awards will be paid only after the end of the relevant Performance Period. Performance Awards may be paid in cash, Shares, other property, or any combination thereof, in the sole discretion of the Committee.  Performance Awards may be paid in a lump sum or in installments following the close of the Performance Period or, in accordance with procedures established by the Committee, on a deferred basis subject to the requirements of Section 409A of the Code. 

	
			
	 
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10.    CODE SECTION 162(m) PROVISIONS 
10.1.    Covered Employees.  Notwithstanding any other provision of the Plan, if the Committee determines at the time a Restricted Stock Award, a Restricted Stock Unit Award, a Performance Award or an Other Share-Based Award is granted to a Participant who is, or is likely to be, as of the end of the tax year in which the Company would claim a tax deduction in connection with such Award, a Covered Employee and the Committee determines that such Award should qualify as a 162(m) Award, then the Committee may provide that this Article 10 is applicable to such Award. 
10.2.    Performance Criteria.  If the Committee determines that a Restricted Stock Award, a Restricted Stock Unit, a Performance Award or an Other Share-Based Award is intended to be subject to this Article 10, the lapsing of restrictions thereon and the distribution of cash, Shares or other property pursuant thereto, as applicable, shall be subject to the achievement of one or more objective performance goals established by the Committee, which shall be based on the attainment of specified levels of one or any combination of the following: net sales; booking value of contract awards; year-end backlog; days sales outstanding; revenue; revenue growth or product revenue growth; operating income (before or after taxes); pre- or after-tax income (before or after allocation of corporate overhead and bonus); earnings per share; net income (before or after taxes); return on equity; total shareholder return; return on assets or net assets; appreciation in and/or maintenance of the price of the Shares or any other publicly-traded securities of the Company; market share; gross profits; earnings (including earnings before taxes, earnings before interest and taxes or earnings before interest, taxes, depreciation and amortization); economic value-added models or equivalent metrics; comparisons with various stock market indices; reductions in costs; cash flow or cash flow per share (before or after dividends); return on capital (including return on total capital or return on invested capital); cash flow return on investment; improvement in or attainment of expense levels or working capital levels; operating margins, gross margins or cash margin; year-end cash; debt reductions; stockholder equity; market share; regulatory achievements; and implementation, completion or attainment of measurable objectives with respect to research, development, products or projects, production volume levels, acquisitions and divestitures and recruiting and maintaining personnel. Such performance goals also may be based solely by reference to the Company's performance or the performance of a Subsidiary, division, business segment or business unit of the Company, or based upon the relative performance of other companies or upon comparisons of any of the indicators of performance relative to other companies.  The Committee may also exclude charges related to an event or occurrence which the Committee determines should appropriately be excluded, including (a) restructurings, discontinued operations, extraordinary items, and other unusual or non-recurring charges, (b) an event either not directly related to the operations of the Company or not within the reasonable control of the Company's management, or (c) the cumulative effects of tax or accounting changes in accordance with U.S. generally accepted accounting principles. Such performance goals shall be set by the Committee within the time period prescribed by, and shall otherwise comply with the requirements of, Section 162(m) of the Code, and the regulations thereunder. 

	
			
	 
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10.3.    Adjustments.  Notwithstanding any provision of the Plan (other than Article 11), with respect to any Restricted Stock Award, Restricted Stock Unit Award, Performance Award or Other Share-Based Award that is subject to this Section 10, the Committee may adjust downwards, but not upwards, the amount payable pursuant to such Award, and the Committee may not waive the achievement of the applicable performance goals, except in the case of the death or disability of the Participant or as otherwise determined by the Committee in special circumstances. 
10.4.    Restrictions.  The Committee shall have the power to impose such other restrictions on Awards subject to this Article as it may deem necessary or appropriate to ensure that such Awards satisfy all requirements for "performance-based compensation" within the meaning of Section 162(m) of the Code. 
10.5.    Limitations on Grants to Individual Participants.  Subject to adjustment as provided in Section 12.2, no Participant may be granted (i) Options or Stock Appreciation Rights during any 12-month period with respect to more than 500,000 Shares or (ii) Restricted Stock Awards, Restricted Stock Unit Awards, Performance Awards and/or Other Share-Based Awards in any 12-month period that are intended to comply with the performance-based exception under Code Section 162(m) and are denominated in Shares with respect to more than 500,000 Shares (the "Limitations").  In addition to the foregoing, the maximum dollar value that may be earned by any Participant in any 12-month period with respect to Performance Awards that are intended to comply with the performance-based exception under Code Section 162(m) and are denominated in cash is $5,000,000.  If an Award is cancelled, the cancelled Award shall continue to be counted toward the applicable Limitations.
11.    CHANGE IN CONTROL PROVISIONS 
11.1.    Treatment of Awards.  (%3)  Unless otherwise provided in an Award Agreement, in the event of a Change in Control of the Company in which the successor company assumes or replaces an Option, Stock Appreciation Right, Restricted Stock Award, Restricted Stock Unit Award, Performance Award or Other Share-Based Award, (or in which the Company is the ultimate parent corporation and continues the Award), if a Participant's employment with such successor company (or a subsidiary thereof) terminates (other than a termination by the Company for cause (as defined in an Award Agreement) within 24 months following such Change in Control (or such other period set forth in the Award Agreement, including prior thereto if applicable): (i) Options and Stock Appreciation Rights outstanding as of the date of such termination of employment will immediately vest, become fully exercisable, and may thereafter be exercised for 24 months, (ii) restrictions, limitations and other conditions on Restricted Stock and Restricted Stock Units shall lapse and the Restricted Stock and Restricted Stock Units shall become free of all restrictions, limitations and conditions and become fully vested, (iii) all Performance Awards shall be considered to be earned and payable (pro rata based on the portion of Performance Period completed as of the date of the Change in Control), and any other restriction shall lapse and such Performance Awards shall be immediately settled or distributed, and (iv) the restrictions, limitations and other conditions applicable to any Other Share-Based Awards shall lapse, and such Other Share-Based Awards shall become free of all 

	
			
	 
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restrictions, limitations and conditions and become fully vested and transferable to the full extent of the original grant.  For the purposes of this Section 12.1, an Option, Stock Appreciation Right, Restricted Stock Award, Restricted Stock Unit Award, Performance Award or Other Share-Based Award shall be considered assumed or replaced if following the Change in Control the assumed or replacement award confers the right to purchase or receive, for each Share subject to the Option, Stock Appreciation Right, Restricted Stock Award, Restricted Stock Unit Award, Performance Award or Other Share-Based Award immediately prior to the Change in Control, the consideration (whether stock, cash or other securities or property) received in the transaction constituting a Change in Control by holders of Shares for each Share held on the effective date of such transaction (and if holders were offered a choice of consideration, the type of consideration chosen by the holders of a majority of the outstanding shares).  
(a)    Unless otherwise provided in an Award Agreement, in the event of any Change in Control of the Company, to the extent the successor company does not assume or replace an Option, Stock Appreciation Right, Restricted Stock Award, Restricted Stock Unit Award, Performance Award or Other Share-Based Award (or in which the Company is the ultimate parent corporation and does not continue the Award): (i) those Options and Stock Appreciation Rights outstanding as of the date of the Change in Control that are not assumed or replaced shall immediately vest and become fully exercisable, (ii) restrictions, limitations and other conditions applicable to Restricted Stock and Restricted Stock Units that are not assumed or replaced shall lapse and the Restricted Stock and Restricted Stock Units shall become free of all restrictions, limitations and conditions and become fully vested, (iii) all Performance Awards shall be considered to be earned and payable (pro rata based on the portion of Performance Period completed as of the date of the Change in Control), and any other restriction shall lapse and such Performance Awards shall be immediately settled or distributed, and (iv) the restrictions, limitations and other conditions applicable to any Other Share-Based Awards shall lapse, and such Other Share-Based Awards shall become free of all restrictions, limitations and conditions and become fully vested and transferable to the full extent of the original grant.
(b)    Notwithstanding the foregoing, the Committee, in its discretion, may determine that, upon the occurrence of a Change in Control of the Company, each Option and Stock Appreciation Right outstanding shall terminate within a specified number of days after notice to the Participant, and/or that each Option and Stock Appreciation Right shall be cancelled and in consideration for such cancellation each Participant shall receive, with respect to each Share subject to such Option or Stock Appreciation Right, an amount equal to the excess, if any, of the Fair Market Value of such Share immediately prior to the occurrence of such Change in Control over the exercise price per share of such Option and/or Stock Appreciation Right; such amount to be payable in cash, in one or more kinds of stock or property (including the stock or property, if any, payable in the transaction) or in a combination thereof, as the Committee, in its discretion, shall determine; provided, that if the exercise price per share of such Option and/or Stock Appreciation Right equals or exceeds the Fair Market Value of such Share immediately prior to the occurrence of such Change in Control, then such Option and/or Stock Appreciation Right may be cancelled without the payment of consideration. 

	
			
	 
	13

	 

11.2.    Change in Control.  For purposes of the Plan, Change in Control means the occurrence of any of the following events:  (i) sale of all or substantially all of the assets of the Company to any Person or group of Persons which is not Tiptree Financial Partners L.P. or its Affiliate; (ii) any Person or group of Persons (other than a group consisting solely of Tiptree Financial Partners L.P. or its Affiliates) is or shall become the "beneficial owner" (as defined in Rule 13(d)-3 and 13(d)-5 under the Exchange Act), directly or indirectly, of more than 50% of the voting stock of the Company then outstanding or (iii) a merger or consolidation pursuant to which any Person or group of Persons (other than a group consisting solely of Tiptree Financial Partners L.P. or its Affiliates) becomes the "beneficial owner" (as defined in clause (ii) above) of more than 50% of the voting stock of the Company or the surviving or resulting entity immediately following the consummation of such transaction. 
12.    GENERALLY APPLICABLE PROVISIONS 
12.1.    Amendment and Termination of the Plan.  The Board may, from time to time, alter, amend, suspend or terminate the Plan as it shall deem advisable, subject to any requirement for stockholder approval imposed by applicable law, including the rules and regulations of the principal securities market on which the Shares are traded; and further provided that the Board may not, without the approval of the Company's stockholders, amend the Plan to (a) increase the number of Shares that may be the subject of Awards under the Plan (except for adjustments pursuant to Section 12.2), (b) expand the types of awards available under the Plan, (c) materially expand the class of persons eligible to participate in the Plan, (d) amend any provision of Section 5.3 or Section 6.2(f) to eliminate the requirements relating to minimum exercise price, minimum grant price and stockholder approval or (e) increase the maximum permissible term of any Option specified by Section 5.4 or the maximum permissible term of a Stock Appreciation Right specified by Section 6.2(d), or (f) amend any provision of Section 10.5.  Unless required by applicable law, rule or regulation, no amendments to, or suspension or termination of, the Plan shall impair the rights of a Participant in any material respect under any Award previously granted without such Participant's consent. 
12.2.    Adjustments.  In the event of any merger, reorganization, consolidation, recapitalization, dividend or distribution (whether in cash, shares or other property, other than a regular cash dividend), stock split, reverse stock split, spin-off or similar transaction or other change in corporate structure affecting the Shares or the value thereof, such adjustments and other substitutions shall be made to the Plan and to Awards as the Committee deems equitable or appropriate to prevent dilution or enlargement of the rights of Participants under the Plan, taking into consideration the accounting and tax consequences, including such adjustments in the aggregate number, class and kind of securities that may be delivered under the Plan, in the aggregate or to any one Participant, the Limitations, the maximum number of Shares that may be issued as incentive stock options and, in the number, class, kind and option or exercise price of securities subject to outstanding Awards granted under the Plan (including, if the Committee deems appropriate, the substitution of similar options to purchase the shares of, or other awards denominated in the shares of, another company) as the Committee may determine to be appropriate provided, however, that the number of Shares subject to any Award shall always be a whole number. 

	
			
	 
	14

	 

12.3.    Transferability of Awards.  Except as provided below, no Award and no Shares subject to Awards described in Article 8 that have not been issued or as to which any applicable restriction, performance or deferral period has not lapsed, may be sold, assigned, transferred, pledged or otherwise encumbered, other than by will or the laws of descent and distribution, and such Award may be exercised during the life of the Participant only by the Participant or the Participant's guardian or legal representative.  To the extent and under such terms and conditions as determined by the Committee, a Participant may assign or transfer an Award without consideration (each transferee thereof, a "Permitted Assignee") to (i) the Participant's spouse, children or grandchildren (including any adopted and step children or grandchildren), parents, grandparents or siblings, (ii) to a trust for the benefit of one or more of the Participant or the persons referred to in clause (i), (iii) to a partnership, limited liability company or corporation in which the participant or the Persons referred to in clause (i) are the only partners, members or shareholders or (iv) for charitable donations; provided that such Permitted Assignee shall be bound by and subject to all of the terms and conditions of the Plan and the Award Agreement relating to the transferred Award and shall execute an agreement satisfactory to the Company evidencing such obligations; and provided further that such Participant shall remain bound by the terms and conditions of the Plan.  The Company shall cooperate with any Permitted Assignee and the Company's transfer agent in effectuating any transfer permitted under this Section. 
12.4.    Termination of Employment.  The Committee shall determine and set forth in each Award Agreement whether any Awards granted in such Award Agreement will continue to be exercisable, and the terms of such exercise, on and after the date that a Participant ceases to be employed by or to provide services to the Company or any Subsidiary (including as a Director), whether by reason of death, disability, voluntary or involuntary termination of employment or services, or otherwise.  The date of termination of a Participant's employment or services will be determined by the Committee, which determination will be final. 
12.5.    Deferral; Dividend Equivalents.  The Committee shall be authorized to establish procedures pursuant to which the payment of any Award may be deferred.  Subject to the provisions of the Plan and any Award Agreement, the recipient of an Award (including any deferred Award), other than an Option or Stock Appreciation Right, may, if so determined by the Committee, be entitled to receive, currently or on a deferred basis amounts equivalent to cash, stock or other property dividends on Shares ("Dividend Equivalents") with respect to the number of Shares covered by the Award, as determined by the Committee, in its sole discretion.  The Committee may provide the Dividend Equivalents (if any) shall be deemed to have been reinvested in additional Shares or otherwise reinvested and may provide that such amounts and Dividend Equivalents are subject to the same vesting or performance conditions as the underlying Award.  Notwithstanding the foregoing, Dividend Equivalents credited in connection with an Award that vests based on the achievement of performance goals shall be subject to restrictions and risk of forfeiture to the same extent as the Award with respect to which such cash, stock or other property has been distributed.
13.    MISCELLANEOUS 

	
			
	 
	15

	 

13.1.    Tax Withholding.  The Company shall have the right to make all payments or distributions pursuant to the Plan to a Participant (or a Permitted Assignee thereof) (any such person, a "Payee") net of any applicable federal, state and local taxes required to be paid or withheld as a result of (a) the grant of any Award, (b) the exercise of an Option or Stock Appreciation Right, (c) the delivery of Shares or cash, (d) the lapse of any restrictions in connection with any Award or (e) any other event occurring pursuant to the Plan.  The Company or any Subsidiary shall have the right to withhold from wages or other amounts otherwise payable to such Payee such withholding taxes as may be required by law, or to otherwise require the Payee to pay such withholding taxes.  If the Payee shall fail to make such tax payments as are required, the Company or its Subsidiaries shall, to the extent permitted by law, have the right to deduct any such taxes from any payment of any kind otherwise due to such Payee or to take such other action as may be necessary to satisfy such withholding obligations.  The Committee shall be authorized to establish procedures for election by Participants to satisfy such obligation for the payment of such taxes by tendering previously acquired Shares (either actually or by attestation, valued at their then Fair Market Value), or by directing the Company to retain Shares (up to the Participant's minimum required tax withholding rate or such other rate that will not trigger a negative accounting impact) otherwise deliverable in connection with the Award. 
13.2.    Right of Discharge Reserved; Claims to Awards.  Nothing in the Plan nor the grant of an Award hereunder shall confer upon any Employee or Director the right to continue in the employment or service of the Company or any Subsidiary or affect any right that the Company or any Subsidiary may have to terminate the employment or service of (or to demote or to exclude from future Awards under the Plan) any such Employee or Director at any time for any reason.  Except as specifically provided by the Committee, the Company shall not be liable for the loss of existing or potential profit from an Award granted in the event of termination of an employment or other relationship.  No Employee or Participant shall have any claim to be granted any Award under the Plan, and there is no obligation for uniformity of treatment of Employees or Participants under the Plan.
13.3.    Substitute Awards.  Notwithstanding any other provision of the Plan, the terms of Substitute Awards may vary from the terms set forth in the Plan to the extent the Committee deems appropriate to conform, in whole or in part, to the provisions of the awards in substitution for which they are granted.
13.4.    Forfeiture Events. (%3) The Committee may specify in an Award Agreement that the Participant's rights, payments, and benefits with respect to an Award shall be subject to reduction, cancellation, forfeiture, or recoupment upon the occurrence of certain specified events, in addition to any otherwise applicable vesting or performance conditions of an Award. Such events may include, but shall not be limited to, termination of employment for cause, termination of the Participant's provision of services to the Company and/or a Subsidiary, violation of material Company, and/or Subsidiary policies, breach of noncompetition, non-solicitation, confidentiality, or other restrictive covenants that may apply to the Participant, or other conduct by the Participant that is detrimental to the business or reputation of the Company, and/or its Subsidiaries. 

	
			
	 
	16

	 

(a)    If the Company is required to file an accounting restatement due to the material noncompliance of the Company, as a result of misconduct, with any financial reporting requirement under the securities laws, if the Participant knowingly or recklessly engaged in the misconduct, or knowingly or recklessly failed to prevent or report the misconduct, or if the Participant is one of the individuals subject to automatic forfeiture under Section 304 of the Sarbanes-Oxley Act of 2002, the Participant shall reimburse the Company the amount of any payment in settlement of an Award earned or accrued for such period as determined by the Committee following the first public issuance or filing with the United States Securities and Exchange Commission (whichever just occurred) of the financial document reflecting such material noncompliance. 
13.5.    Stop Transfer Orders.  All certificates for Shares delivered under the Plan pursuant to any Award shall be subject to such stop-transfer orders and other restrictions as the Committee may deem advisable under the rules, regulations and other requirements of the Securities and Exchange Commission, any stock exchange upon which the Shares are then listed, and any applicable federal or state securities law, and the Committee may cause a legend or legends to be put on any such certificates to make appropriate reference to such restrictions. 
13.6.    Nature of Payments.  All Awards made pursuant to the Plan are in consideration of services performed or to be performed for the Company or any Subsidiary, division or business unit of the Company.  Any income or gain realized pursuant to Awards under the Plan constitutes a special incentive payment to the Participant and shall not be taken into account, to the extent permissible under applicable law, as compensation for purposes of any of the employee benefit plans of the Company or any Subsidiary except as may be determined by the Committee or by the Board or board of directors of the applicable Subsidiary. 
13.7.    Other Plans.  Nothing contained in the Plan shall prevent the Board from adopting other or additional compensation arrangements, subject to stockholder approval if such approval is required; and such arrangements may be either generally applicable or applicable only in specific cases. 
13.8.    Severability.  If any provision of the Plan shall be held unlawful or otherwise invalid or unenforceable in whole or in part by a court of competent jurisdiction or by reason of a change in law or regulation, such provision shall (a) be deemed limited to the extent that such court of competent jurisdiction deems it lawful, valid and/or enforceable and as so limited shall remain in full force and effect, and (b) not affect any other provision of the Plan or part thereof, each of which shall remain in full force and effect.  If the making of any payment or the provision of any other benefit required under the Plan shall be held unlawful or otherwise invalid or unenforceable by a court of competent jurisdiction, such unlawfulness, invalidity or unenforceability shall not prevent any other payment or benefit from being made or provided under the Plan, and if the making of any payment in full or the provision of any other benefit required under the Plan in full would be unlawful or otherwise invalid or unenforceable, then such unlawfulness, invalidity or unenforceability shall not prevent such payment or benefit from being made or provided in part, to the extent that it would not be unlawful, invalid or 

	
			
	 
	17

	 

unenforceable, and the maximum payment or benefit that would not be unlawful, invalid or unenforceable shall be made or provided under the Plan. 
13.9.    Construction.  As used in the Plan, the words "include" and "including," and variations thereof, shall not be deemed to be terms of limitation, but rather shall be deemed to be followed by the words "without limitation." 
13.10.    Unfunded Status of the Plan.  The Plan is intended to constitute an "unfunded" plan for incentive compensation.  With respect to any payments not yet made to a Participant by the Company, nothing contained herein shall give any such Participant any rights that are greater than those of a general unsecured creditor of the Company.  In its sole discretion, the Committee may authorize the creation of trusts or other arrangements to meet the obligations created under the Plan to deliver the Shares or payments in lieu of or with respect to Awards hereunder; provided, however, that the existence of such trusts or other arrangements is consistent with the unfunded status of the Plan. 
13.11.    Governing Law.  The Plan and all determinations made and actions taken thereunder, to the extent not otherwise governed by the Code or the laws of the United States, shall be governed by the laws of the State of New York, without reference to principles of conflict of laws, and construed accordingly. 
13.12.    Effective Date of Plan; Termination of Plan.  The Plan shall be effective on the date of the approval of the Plan by the Board.  Awards may be granted under the Plan at any time and from time to time on or prior to the tenth anniversary of the effective date of the Plan, on which date the Plan will expire except as to Awards then outstanding under the Plan.  Such outstanding Awards shall remain in effect until they have been exercised or terminated, or have expired. 
13.13.    Compliance with Section 409A of the Code.  This Plan is intended to comply and shall be administered in a manner that is intended to comply with Section 409A of the Code and shall be construed and interpreted in accordance with such intent.  To the extent that an Award or the payment, settlement or deferral thereof is subject to Section 409A of the Code, the Award shall be granted, paid, settled or deferred in a manner that will comply with Section 409A of the Code, including regulations or other guidance issued with respect thereto, except as otherwise determined by the Committee.  Any provision of this Plan that would cause the grant of an Award or the payment, settlement or deferral thereof to fail to satisfy Section 409A of the Code shall be amended to comply with Section 409A of the Code on a timely basis, which may be made on a retroactive basis, in accordance with regulations and other guidance issued under Section 409A of the Code. 
13.14.    No Registration Rights; No Right to Settle in Cash.  The Company has no obligation to register with any governmental body or organization any of (a) the offer or issuance of any Award, (b) any Shares issuable upon the exercise of any Award, or (c) the sale of any Shares issued upon exercise of any Award, regardless of whether the Company in fact undertakes to register any of the foregoing.  In particular, in the event that any of (x) any offer or issuance of any Award, (y) any Shares issuable upon exercise of any Award, or (z) the sale of any Shares 

	
			
	 
	18

	 

issued upon exercise of any Award are not registered with any governmental body or organization, the Company will not under any circumstance be required to settle its obligations, if any, under this Plan in cash.
13.15.    Captions.  The captions in the Plan are for convenience of reference only, and are not intended to narrow, limit or affect the substance or interpretation of the provisions contained herein. 

	
			
	 
	19EX 10.1 Amendment No 3

EXHIBIT 10.1

AMENDMENT NO. 3 TO CREDIT AGREEMENT
This AMENDMENT NO. 3 TO CREDIT AGREEMENT, dated as of October 11, 2013 (this “Amendment”), is entered into by and among EnergySolutions, Inc., a Delaware corporation (“Parent”), EnergySolutions, LLC, a Utah limited liability company (“EnergySolutions”), as the Borrower, the Lenders signatory hereto and JPMorgan Chase Bank, N.A., as the Administrative Agent, and is made with reference to that certain Credit Agreement, dated as of August 13, 2010, as amended by that certain Amendment No. 1, dated as of August 23, 2010, as further amended by that certain Amendment No. 2 and Consent and Waiver, dated as of February 15, 2013 (as further amended, amended and restated, supplemented or otherwise modified from time to time, the “Credit Agreement”), by and among the Parent, EnergySolutions, as the Borrower, the Lenders from time to time party thereto and JPMorgan Chase Bank, N.A., as the Administrative Agent.  Capitalized terms used and not defined herein shall have the meanings assigned to such terms in the Credit Agreement; 
WHEREAS, EnergySolutions has requested, and the Administrative Agent and the Lenders signatory hereto, comprising the Majority Lenders, have agreed, to amend certain provisions of the Credit Agreement as provided for herein; and
WHEREAS, Morgan Stanley Senior Funding, Inc. and J.P. Morgan Securities LLC have agreed to act as lead arrangers and bookrunners with respect to this Amendment.
NOW, THEREFORE, in consideration of the premises and agreements, provisions and covenants contained herein the parties hereto agree, effective as of the Effective Date (as defined below), as follows:
SECTION 1. AMENDMENT 
(a)     Section 1.1 of the Credit Agreement is hereby amended as follows:
(i)    The definition of “Applicable Margin” is hereby amended and restated in its entirety to read as follows:
“Applicable Margin” shall mean, for any date, (a) prior to the Third Amendment Effective Date, (i) with respect to any Term Loan (A) 4.00% per annum, in the case of a Base Rate Loan or (B) 5.00% per annum, in the case of a Eurodollar Loan, and (ii) with respect to any Revolving Loan, (A) 3.50% per annum, in the case of a Base Rate Loan, or (B) 4.50% per annum, in the case of a Eurodollar Loan, and (b) from and after the Third Amendment Effective Date, (i) with respect to any Term Loan (A) 4.50% per annum, in the case of a Base Rate Loan or (B) 5.50% per annum, in the case of a Eurodollar Loan, and (ii) with respect to any Revolving Loan, (A) 4.00% per annum, in the case of a Base Rate Loan, or (B) 5.00% per annum, in the case of a Eurodollar Loan; provided that, in the case of this clause (b) only, (I) if on and as of the date that is 180 days after the Third Amendment Effective Date, the sum of (x) the aggregate outstanding principal amount of Term Loans under this Credit Agreement plus (y) the outstanding principal amount of the Senior Notes (collectively with the Term Loans referred to in clause (x), the “Senior Debt Amount”) exceeds $675,000,000, then such Applicable Margin shall be increased by an additional 0.25%, and (II) notwithstanding the foregoing, at such time as the Senior Debt Amount is reduced to at least $675,000,000 and at all times thereafter,  “Applicable Margin” shall mean (x) with respect to any Term Loan (1) 4.00% per annum, in the case of a Base Rate Loan or (2) 5.00% per annum, in the case of a Eurodollar Loan, and (y) with respect to any Revolving Loan, (1) 3.50% per annum, in the case of a Base Rate Loan, or (2) 4.50% per annum, in the case of a Eurodollar Loan.
 (ii)    The following new term and related definition are hereby inserted in Section 1.1 of the Credit Agreement in the appropriate alphabetical order:
 “Third Amendment Effective Date” shall mean the “Effective Date”, as defined in that certain Amendment No. 3 to Credit Agreement, dated as of October 11, 2013, by and among the Parent, EnergySolutions, the Administrative Agent and the Lenders party thereto.
(b)      The last paragraph of Section 7.1 of the Credit Agreement is hereby amended by deleting the words “150 days after the Second Amendment Effective Date” and inserting the words “270 days after the Third Amendment Effective Date” in lieu thereof.
    

SECTION 2.  AUTHORIZATION TO ENTER INTO THIS AMENDMENT 
    
Each of the Parent, EnergySolutions, the Administrative Agent and the Lenders signatory hereto agrees and acknowledges that the amendments set forth in this Amendment constitute amendments that require pursuant to Section 10.1(a) of the Credit Agreement the consent of the Majority Lenders and that, accordingly, the Parent, EnergySolutions, the Administrative Agent and the Lenders signatory hereto are authorized to execute this Amendment and to cause this Amendment to be binding upon the Parent, EnergySolutions, the Administrative Agent and the Lenders. 
SECTION 3. CONDITIONS TO EFFECTIVENESS

This Amendment shall become binding and effective (and the Credit Agreement shall be deemed to have been modified as provided herein) on the date the following conditions are waived or satisfied (such date, the “Effective Date”):
(a)due execution of this Amendment by each of the Parent, EnergySolutions, the Administrative Agent and Lenders constituting Majority Lenders; 

(b)payment by or on behalf of EnergySolutions to the Administrative Agent, for the account of each Lender that returns to the Administrative Agent its executed counterpart of a signature page to this Amendment no later than 1:00 p.m. (New York time) on Friday, October 11, 2013, of a fee equal to 0.25% of the sum of such Lender’s outstanding Term Loans and Revolving Commitments as of the Effective Date (determined after giving effect to this Amendment); and

(c)the Administrative Agent shall have received from EnergySolutions (or on its behalf) reimbursement of all reasonable and documented fees, charges and disbursements of one legal counsel in connection with the preparation of this Amendment.

SECTION 4. REPRESENTATIONS AND WARRANTIES

Each of the Parent and EnergySolutions hereby represents and warrants that:
(a)      this Amendment has been duly authorized, executed and delivered by it and each of this Amendment and the Credit Agreement constitute its legal, valid and binding obligation, enforceable against it in accordance with its terms, except as may be limited by applicable bankruptcy, insolvency, fraudulent transfer, reorganization, moratorium or similar laws of general applicability relating to or limiting creditors’ rights generally and subject to general principles of equity, regardless of whether considered in a proceeding in equity or at law; and
(b)      as of the Effective Date, after giving effect to this Amendment, there is no Default or Event of Default that is now existing or which would result from the execution of this Amendment.
SECTION 5. EFFECT ON AND RATIFICATION OF LOAN DOCUMENTS

(a)     Except as expressly set forth herein, this Amendment shall not by implication or otherwise limit, impair, constitute a waiver of or otherwise affect the rights and remedies of the Lenders, any Issuing Bank or the Administrative Agent under the Credit Agreement or any other Loan Document, and shall not alter, modify, amend or in any way affect any of the terms, conditions, obligations, covenants or agreements contained in the Credit Agreement or any other Loan Document, all of which are ratified and affirmed in all respects and shall continue in full force and effect.  Nothing herein shall be deemed to entitle any Loan Party to a consent to, or a waiver, amendment, modification or other change of, any of the terms, conditions, obligations, covenants or agreements contained in the Credit Agreement or any other Loan Document in similar or different circumstances.  This Amendment shall apply to and be effective only with respect to the provisions of the Credit Agreement specifically referred to herein.
(b)    On and after the Effective Date, each reference in the Credit Agreement to “this Agreement”, “hereunder”, “hereof”, “herein” or words of like import, and each reference to the Credit Agreement “thereunder”, “thereof”, “therein” or words of like import intended to refer to the Credit Agreement in any other Loan Document, shall be deemed a reference to the Credit Agreement as amended hereby.
(c)    This Amendment shall constitute a Loan Document for all purposes of the Credit Agreement and the other Loan Documents.

SECTION 6. COUNTERPARTS

This Amendment may be executed in any number of counterparts, each of which shall be an original and all of which, when taken together, shall constitute one agreement. Delivery of an executed counterpart of a signature page of this Amendment by facsimile transmission or other electronic imaging shall be effective as delivery of a manually executed counterpart of this Amendment.
SECTION 7. GOVERNING LAW

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

[Remainder of Page Intentionally Left Blank]
 

IN WITNESS WHEREOF, the parties hereto have duly executed this Amendment as of the date first set forth above.
ENERGYSOLUTIONS, INC.

By:_/s/ Gregory S. Wood__________________
Name: Gregory S. Wood
Title: Executive Vice President, CFO    

ENERGYSOLUTIONS, LLC

By:_ /s/ Gregory S. Wood___________________
Name: Gregory S. Wood
Title: Executive Vice President, CFO

 

JPMORGAN CHASE BANK, NA.,
as Administrative Agent

By:_/s/ Peter Christensen________________
Name: Peter Christensen
Title: Vice President

NAME OF INSTITUTION: 

1776 CLO I, Ltd.
by
/s/ Ron Polye ______________
Name: Ron Polye
Title: Authorized Officer

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION: 

Aberdeen Loan Funding, Ltd

By: Highland Capital Management, L.P. As Collateral Manager
by
/s/ Carter Chism ___________
Name: Carter Chism
Title: Authorized Signatory

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION: 

ABS Loans 2007 Limited, a subsidiary of Goldman Sachs Institutional Funds II PLC
    
by
/s/ Simon Fairbank _________
Name: Simon Fairbank
Title: Authorized Signatory

For any Lender requiring a second signature block:

ABS Loans 2007 Limited, a subsidiary of Goldman Sachs Institutional Funds II PLC

by
/s/ Deirdre Fitzpatrick _______
Name: Deirdre Fitzpatrick
Title: Authorized Signatory

NAME OF INSTITUTION: 

ACAS CLO 2007-1, Ltd.

By: American Capital CLO Management, LLC (f/k/a American Capital Leveraged Finance Management, LLC), as Portfolio Manager

by
/s/ Maria Jones ________________
Name: Maria Jones
Title:  Authorized Signatory

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION: 

AEGON Companies Pension Trust

By: AEGON USA Investment Management, LLC, its investment manager
by
/s/ James Rich ______________
Name:  James Rich
Title: Vice President

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION: 

ALM Loan Funding 2010-3, Ltd.

By: Apollo Credit Management (CLO), LLC, as Collateral Manager 
by
/s/ Joe Moroney ________________
Name: Joe Moroney
Title:  Vice President

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION: 

ALM VII (R), Ltd.

By: Apollo Credit Management (CLO), LLC, as Collateral Manager 
by
/s/ Joe Moroney ________________
Name: Joe Moroney
Title:  Vice President

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION: 

ALM VII (R) - 2, Ltd.

By: Apollo Credit Management (CLO), LLC, as Collateral Manager 
by
/s/ Joe Moroney ________________
Name: Joe Moroney
Title:  Vice President

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION: 

Apollo/Palmetto Loan Portfolio, L.P.

By: Apollo Credit Management II, L.P., its investment manager

By: Apollo Credit Management II GP, LLC, its general partner 
by
/s/ Joe Moroney ________________
Name: Joe Moroney
Title:  Vice President

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION: 

Apollo Senior Floating Rate Fund Inc.
 
By: Account 631203

by
/s/ Joe Moroney ________________
Name: Joe Moroney
Title:  Vice President

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION: 

ATRIUM III
by
/s/ Thomas Flannery ________
Name: Thomas Flannery
Title:  Managing Director

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION: 

ATRIUM IV
by
/s/ Thomas Flannery ________
Name: Thomas Flannery
Title:  Managing Director

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION: 

ATRIUM V

By: Credit Suisse Asset Management, LLC, as collateral manager

by
/s/ Thomas Flannery ________
Name: Thomas Flannery
Title:  Managing Director

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION: 

ATRIUM VII

By: Credit Suisse Asset Management, LLC, as portfolio manager

by
/s/ Thomas Flannery ________
Name: Thomas Flannery
Title:  Managing Director

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION: 

AUCARA HEIGHTS INC.

By: Crescent Capital Group LP, its sub-adviser

by
/s/ John Hwang ____________
Name:  John Hwang
Title: Vice President

by
/s/ G. Wayne Hosang ________
Name:  G. Wayne Hosang
Title: Senior Vice President

NAME OF INSTITUTION: 

AUSTRALIANSUPER

By: Credit Suisse Asset Management, LLC, as sub-advisor to Bentham Asset Management Pty Ltd. in its capacity as agent of and investment manager for AustalianSuper Pty Ltd. it its capacity as trustee of AustralianSuper

by
/s/ Thomas Flannery ________
Name: Thomas Flannery
Title:  Managing Director

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION: 

Baker Street Funding CLO 2005-1 Ltd.

By: Seix Investment Advisors LLC, as Collateral Manager

as Lender
by
/s/ George Goudelias _______
Name: George Goudelias
Title:  Managing Director

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION: 

Bank of America, N.A.

by
/s/ Jonathan M Barnes _______
Name: Jonathan M Barnes
Title: Vice President

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION: 

BELL ATLANTIC MASTER TRUST

By: Crescent Capital Group LP, its sub-adviser

by
/s/ John Hwang ____________
Name:  John Hwang
Title: Vice President

by
/s/ G. Wayne Hosang ________
Name:  G. Wayne Hosang
Title: Senior Vice President

NAME OF INSTITUTION: 

BENTHAM WHOLESALE SYNDICATED LOAN FUND

By: Credit Suisse Asset Management, LLC, as agent (sub-advisor) for Challenger Investment Services Limited, the Responsible Entity for Bentham Wholesale Syndicated Loan Fund

by
/s/ Thomas Flannery ________
Name: Thomas Flannery
Title:  Managing Director

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION: 

By: Post Advisory Group, LLC, not in its individual capacity but solely as authorized agent for and on behalf of California State Teachers’ Retirement System
    
/s/ Henry Chyung ____________
Name: Henry Chyung
Title:  Portfolio Manager

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION: 

CANARA SUMMIT CLO LTD.

By: Canaras Capital Management, LLC
As Sub-Investment Adviser

by
/s/ Richard Vratanina ________
Name:  Richard Vratanina
Title: Authorized Signatory

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION: 

CANNINGTON FUNDING LTD.

By: Silvermine Capital Management LLC
As Investment Manager

by
/s/ Jonathan Marks ________
Name: Jonathan Marks
Title: Principal

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION: 

Cedar Funding Ltd.

By: AEGON USA Investment Management, LLC

by
/s/ Emily Chong ___________
Name: Emily Chong
Title: Director

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION: 

Children’s Healthcare of Atlanta Inc.

By: Highland Capital Management, L.P., As Investment Manager
by
/s/ Carter Chism ___________
Name:  Carter Chism
Title: Authorized Signatory

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION: 

COMSTOCK FUNDING LTD.

By: Silvermine Capital Management LLC
As Collateral Manager

by
/s/ Jonathan Marks ________
Name: Jonathan Marks
Title: Principal

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION: 

CONTINENTAL CASUATLY COMPANY

by
/s/ Edward J. Lavin__________
Name: Edward J. Lavin
Title:  Assistant Vice President

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION: 

CORNERSTONE CLO LTD.

By: Apollo Debt Advisors LLC, as its Collateral Manager
 
by
/s/ Joe Moroney ________________
Name: Joe Moroney
Title:  Authorized Signatory

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION: 

CREDIT SUISE AG, CAYMAN ISLANDS BRANCH

by
/s/ Christopher Day _________
Name:  Christopher Day
Title: Authorized Signatory

For any Lender requiring a second signature block:

by
/s/ Michael Spaight __________
Name:  Michael Spaight
Title: Authorized Signatory

NAME OF INSTITUTION: 

CREDIT SUISSE FLOATING RATE HIGH INCOME FUND

By: Credit Suisse Asset Management, LLC, as investment manager

by
/s/ Thomas Flannery ________
Name: Thomas Flannery
Title:  Managing Director

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION: 

CREDIT SUISSE NOVA (LUX)

By: Credit Suisse Asset Management, LLC, or Credit Suisse Asset Management Limited, each as Co-Investment Adviser to Credit Suisse Fund Management S.A., management company for Credit Suisse Nova (Lux)

by
/s/ Thomas Flannery ________
Name: Thomas Flannery
Title:  Managing Director

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION: 

Crescent Capital High Income Fund L.P.
Business Names: Crescent Capital LP High Income Fund

By: Crescent Capital Group LP, its adviser

by
/s/ John Hwang ____________
Name:  John Hwang
Title: Vice President

by
/s/ G. Wayne Hosang ________
Name:  G. Wayne Hosang
Title: Senior Vice President

NAME OF INSTITUTION: 

Crescent Senior Secured Floating Rate Loan Fund, LLC

By: Crescent Capital Group LP, its advisor

by
/s/ John Hwang ____________
Name:  John Hwang
Title: Vice President

by
/s/ G. Wayne Hosang ________
Name:  G. Wayne Hosang
Title: Senior Vice President

NAME OF INSTITUTION: 

Del Mar CLO I, LTD.

By: Allianz Global Investors U.S. LLC-CS Credit Group

by
/s/ James Dudnick _________
Name: James Dudnick
Title: Vice President

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION: 

DOUBLE HAUL TRADING, LLC

By: SunTrust Bank, as manager

by
/s/ Joshua H. Lowe _________
Name:  Joshua H. Lowe
Title: Vice President

NAME OF INSTITUTION: 

Duane Street CLO I, LTD.

By: Napier Park Global Capital, LLC, As Collateral Manager
    
by
/s/ Roger Yee______________
Name:  Roger Yee
Title:  Director

NAME OF INSTITUTION: 

Duane Street CLO II, LTD.

By: Napier Park Global Capital, LLC, As Collateral Manager
    
by
/s/ Roger Yee______________
Name:  Roger Yee
Title:  Director

NAME OF INSTITUTION: 

Duane Street CLO III, LTD.

By: Napier Park Global Capital, LLC, As Collateral Manager

by
/s/ Roger Yee______________
Name:  Roger Yee
Title:  Director

NAME OF INSTITUTION: 
  

Duane Street CLO IV, LTD.

By: Napier Park Global Capital, LLC, As Collateral Manager

by
/s/ Roger Yee______________
Name:  Roger Yee
Title:  Director

       
       NAME OF INSTITUTION:  

Eastland CLO, Ltd.

By: Highland Capital Management, L.P. As Collateral Manager
by
/s/ Carter Chism ___________
Name: Carter Chism
Title: Authorized Signatory

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION: 
 

Falcon Senior Loan Fund Ltd.

By: Apollo Fund Management LLC
As Its Investment Manager 
by
/s/ Joe Moroney ________________
Name: Joe Moroney
Title:  Authorized Signatory

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION: 
  

By: Post Advisory Group, LLC, not in its individual capacity but solely as authorized agent for and on behalf of: Fargo Investments, L.P. 
    
/s/ Jeremy Sagi ____________
Name: Jeremy Sagi 
Title:  Portfolio Manager

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION: 
  

First Trust Senior Floating Rate Income Fund II

By: First Trust Advisors L.P., its investment manger

by
/s/ Scott Fries ______________
Name: Scott Fries
Title: Senior Vice President

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

First Trust Senior Loan Fund

By: First Trust Advisors L.P., its Investment Advisor

by
/s/ Scott Fries ______________
Name: Scott Fries
Title: Senior Vice President

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

First Trust Short Duration High Income Fund

By: First Trust Advisors L.P., its investment manger

by
/s/ Scott Fries ______________
Name: Scott Fries
Title: Senior Vice President

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

First Trust Tactical High Yield ETF

by
/s/ Scott D. Fries ______________
Name: Scott D. Fries
Title: Vice President

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

Fortress Credit Opportunities I LP

By: Fortress Credit Opportunities I GP LLC, its general partner
by
/s/ Glenn Cummins ____________
Name:  Glenn Cummins
Title:  Treasurer

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

By: Post Advisory Group, LLC, not in its individual capacity but solely as authorized agent for and on behalf of: Global Diversified Income Fund
    
/s/ Henry Chyung ____________
Name: Henry Chyung 
Title:  Portfolio Manager

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

Golden Knight II CLO, Ltd.

by
/s/ Jeffrey Lapin ___________
Name: Jeffrey Lapin
Title: Portfolio Manager

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

GOLDMAN SACHS ASSET MANAGEMENT CLO, PUBLIC LIMITED COMPANY

by
/s/ Michelle Latzoni _________
Name:  Michelle Latzoni
Title: Authorized Signatory

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

Goldman Sachs Funds SICAV-SIF for the benefit of Goldman Sachs High Yield Floating Rate Portfolio

By: Goldman Sachs Asset Management, L.P. solely as its investment advisor and not as principal

by
/s/ Michelle Latzoni _________
Name:  Michelle Latzoni
Title: Authorized Signatory

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

Goldman Sachs Trust on behalf of the Goldman Sachs High Yield Floating Rate Fund

By: Goldman Sachs Asset Management, L.P. solely as its investment advisor and not as principal

by
/s/ Michelle Latzoni _________
Name:  Michelle Latzoni
Title: Authorized Signatory

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

Goldman Sachs Lending Partners LLC

by
/s/ Michelle Latzoni _________
Name:  Michelle Latzoni
Title: Authorized Signatory

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

Grayson CLO, Ltd.

By: Highland Capital Management, L.P. As Collateral Manager
by
/s/ Carter Chism ___________
Name: Carter Chism
Title: Authorized Signatory

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

GREYROCK CDO LTD.,

By: Landmark Funds LLC, as Manager

by
/s/ William Lowry _________
Name: William Lowry
Title: Designated Signatory

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

Halcyon Structured Asset Management CLO I Ltd.

Halcyon Loan Investors CLO I, Ltd.

Halcyon Loan Investors CLO II, Ltd.

Halcyon Structured Asset Management Long Secured/Short Unsecured 2007-1 Ltd.

Halcyon Structured Asset Management Long Secured/Short Unsecured 2007-2 Ltd.

Halcyon Loan Advisors Funding 2012-1, Ltd.

Halcyon Loan Advisors Funding 2013-1, Ltd.

Halcyon Loan Advisors Funding 2012-2, Ltd.

Bacchus (U.S.) 2006-1 Ltd.

Halcyon Senior Loan Fund I Master LP

SC Pro Loan II Limited

Swiss Capital Pro Loan III PLC

Swiss Capital Pro Loan IV PLC

by
/s/ David Martino ___________
Name: David Martino
Title: Controller

NAME OF INSTITUTION:  

Hewett’s Island CLO I-R, Ltd.

By: Acis Capital Management, LP, its Collateral Manager
By: Acis Capital Management GP, LLC, its Collateral Manager
by
/s/ Carter Chism ___________
Name: Carter Chism
Title: Authorized Signatory

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

Hewett’s Island CLO IV, Ltd.

By: LCM Asset Management LLC, As Collateral Manager
by
/s/ Alexandra B. Kenna _____
Name:  Alexandra B. Kenna
Title:

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

Highbridge Liquid Loan Opportunities Master Fund, L.P.

By: Highbridge Principal Strategies LLC, its Investment Manager

by
/s/ Jamie Donsky __________
Name:  Jamie Donsky
Title: Senior Vice President

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

Highbridge Loan Management 2012-1, Ltd.

By: Highbridge Principal Strategies LLC, its Investment Manager

by
/s/ Jamie Donsky __________
Name:  Jamie Donsky
Title: Senior Vice President

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

Highland Floating Rate Opportunities Fund

by
/s/ Brian Mitts _____________
Name: Brian Mitts
Title: Senior Fund Analyst

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

Highland Global Allocation Fund

by
/s/ Carter Chism ___________
Name: Carter Chism
Title: Authorized Signatory

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

Highland Loan Master Fund, L.P.

By: Highland Capital Loan GP, LLC, its general partner
By:  Highland Capital Management, L.P., its sole member
By: Strand Advisors Inc., its General Partner

by
/s/ Carter Chism ___________
Name: Carter Chism
Title: Authorized Signatory

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

IBM Personal Pension Plan Trust

By: Apollo Fund Management LLC, its Investment Manager
by
/s/ Joe Moroney ____________
Name:  Joe Moroney
Title: Authorized Signatory

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION: 

ILLINOIS STATE BOARD OF INVESTMENT
By:  Crescent Capital Group LP, its sub-adviser 

by
/s/ John Hwang ____________
Name:  John Hwang
Title: Vice President

by
/s/ G. Wayne Hosang ________
Name:  G. Wayne Hosang
Title: Senior Vice President

NAME OF INSTITUTION:  

JNL/PPM America Floating Rate Income Fund, a series of the JNL Series Trust

/s/ David C. Wagner  ________
By: PPM America, Inc., as sub-adviser 
Name:  David C. Wagner
Title:  Managing Director

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

J.P. Morgan Whitefriars Inc.

by
/s/ Jeffrey L. Panzo         
Name:  Jeffrey L. Panzo
Title:  Attorney - in - Fact    

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION: 

KVK CLO 2012-1, Ltd 

by
/s/ David Cifonelli         
Name:  David Cifonelli
Title:  Vice President

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

KVK CLO 2013-1, Ltd

by
/s/ David Cifonelli         
Name:  David Cifonelli
Title:  Vice President

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

LANDMARK V CDO LIMITED

By:  Landmark Funds LLC, as Manager

by
/s/ William Lowry             
Name:  William Lowry
Title:  Designated Signatory

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

LANDMARK VI CDO LIMITED

By:  Landmark Funds LLC, as Manager

by
/s/ William Lowry             
Name:  William Lowry
Title:  Designated Signatory

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

LANDMARK VII CDO LIMITED

By:  Landmark Funds LLC, as Manager

by
/s/ William Lowry             
Name:  William Lowry
Title:  Designated Signatory

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

LANDMARK VIII CLO LIMITED

By:  Landmark Funds LLC, as Manager

by
/s/ William Lowry             
Name:  William Lowry
Title:  Designated Signatory

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

LCM III, Ltd.

By:  LCM Asset Management LLC
  As Collateral Manager

by
/s/ Alexander B. Kenna     
Name:  Alexander B. Kenna
Title:  LCM Asset Management LLC

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

LCM IV, Ltd.

By:  LCM Asset Management LLC
  As Collateral Manager

by
/s/ Alexander B. Kenna     
Name:  Alexander B. Kenna
Title:  LCM Asset Management LLC

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

LCM IX Limited Partnership

By:  LCM Asset Management LLC
  As Collateral Manager

by
/s/ Alexander B. Kenna     
Name:  Alexander B. Kenna
Title:  LCM Asset Management LLC

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

LCM V, Ltd.

By:  LCM Asset Management LLC
  As Collateral Manager

by
/s/ Alexander B. Kenna     
Name:  Alexander B. Kenna
Title:  LCM Asset Management LLC

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

LCM VI, Ltd.

By:  LCM Asset Management LLC
  As Collateral Manager

by
/s/ Alexander B. Kenna     
Name:  Alexander B. Kenna
Title:  LCM Asset Management LLC

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

LCM X, Limited Partnership

By:  LCM Asset Management LLC
  As Collateral Manager

by
/s/ Alexander B. Kenna     
Name:  Alexander B. Kenna
Title:  LCM Asset Management LLC

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

LCM XI Limited Partnership

By:  LCM Asset Management LLC
  As Collateral Manager

by
/s/ Alexander B. Kenna     
Name:  Alexander B. Kenna
Title:  LCM Asset Management LLC

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

LCM XII Limited Partnership

By:  LCM Asset Management LLC
  As Collateral Manager

by
/s/ Alexander B. Kenna     
Name:  Alexander B. Kenna
Title:  LCM Asset Management LLC

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

LCM XIII Limited Partnership

By:  LCM Asset Management LLC
  As Collateral Manager

by
/s/ Alexander B. Kenna     
Name:  Alexander B. Kenna
Title:  LCM Asset Management LLC

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

LCM XIV Limited Partnership

By:  LCM Asset Management LLC
  As Collateral Manager

by
/s/ Alexander B. Kenna     
Name:  Alexander B. Kenna
Title:  LCM Asset Management LLC

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

LeverageSource III S.a.r.l.

By:  Virtus Group, LP, Attorney-In-Fact

by
/s/ Paul Plant             
Name:  Paul Plant
Title:  Director

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

LFSIGXG LLC

By:  Highbridge Principal Strategies LLC, its
Sub-Advisor

by
/s/ Jamie Donsky             
Name:  Jamie Donsky
Title:  Senior Vice President

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION: 

Liberty CLO, Ltd.

By:  Highland Capital Management L.P., As Collateral Manager 

by
/s/ Carter Chism          
Name:  Carter Chism
Title:  Authorized Signatory

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

Longhorn Credit Funding, LLC

By:  Highland Capital Management, L.P., As Collateral Manager

by
/s/ Carter Chism          
Name:  Carter Chism
Title:  Authorized Signatory

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

Lord Abbett Investment Trust - Lord Abbett Floating Rate Fund

by
/s/ Jeffrey Lapin              
Name:  Jeffrey Lapin
Title:  Portfolio Manager

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION: 

By:  Post Advisory Group, LLC, not in its individual capacity but solely as authorized agent for and on behalf of Los Angeles County Employees Retirement Association 

by
/s/ Henry Chyung             
Name:  Henry Chyung
Title:  Portfolio Manager

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

MAC CAPITAL, LTD.

BY:  TWC-WLA JV Venture LLC, its sub-adviser

by
/s/ John Hwang         
Name:  John Hwang
Title:  Vice President

by
/s/ G. Wayne Hosang         
Name:  G. Wayne Hosang
Title:  Senior Vice President

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

MADISON PARK FUNDING I, LTD.

by
/s/ Thomas Flannery             
Name:  Thomas Flannery
Title:  Managing Director

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

MADISON PARK FUNDING II, LTD.

By:  Credit Suisse Asset Management, LLC, as collateral manager

by
/s/ Thomas Flannery             
Name:  Thomas Flannery
Title:  Managing Director

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

MADISON PARK FUNDING IV, LTD.

By:  Credit Suisse Asset Management, LLC, as collateral manager

by
/s/ Thomas Flannery             
Name:  Thomas Flannery
Title:  Managing Director

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

MADISON PARK FUNDING V, LTD.

By:  Credit Suisse Asset Management, LLC, as collateral manager

by
/s/ Thomas Flannery             
Name:  Thomas Flannery
Title:  Managing Director

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

MADISON PARK FUNDING VI, LTD.

By:  Credit Suisse Asset Management, LLC, as collateral manager

by
/s/ Thomas Flannery             
Name:  Thomas Flannery
Title:  Managing Director

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

MADISON PARK FUNDING VIII, LTD.

By:  Credit Suisse Asset Management, LLC, as collateral manager

by
/s/ Thomas Flannery             
Name:  Thomas Flannery
Title:  Managing Director

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

MALIBU CBNA LOAN FUNDING LLC:

by
/s/ Adam Jacobs         
Name:  Adam Jacobs
Title:  Vice President

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

By:  Post Advisory Group, LLC, not in its individual capacity but solely as authorized agent for and on behalf of Master SIF SICAV - SIF

by
/s/ Jeremy Sagi         
Name:  Jeremy Sagi
Title:  Portfolio Manager

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION: 

MOMENTUM CAPITAL FUND, LTD.

By:  TCW-WLA JV Venture LLC, its sub-adviser 

by
/s/ John Hwang         
Name:  John Hwang
Title:  Vice President

by
/s/ G. Wayne Hosang         
Name:  G. Wayne Hosang
Title:  Senior Vice President

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

Nantucket CLO1 Ltd., as an Existing Lender

By:  Fortis Investment Management USA, Inc.
  As Attorney-in-Fact

by
/s/ Vanessa Ritter         
Name:  Vanessa Ritter
Title:  Vice President

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

NCRAM Loan Trust, as Lender

By: NOMURA CORPORATE RESEARCH AND ASSET MANAGEMENT INC. AS INVESTMENT ADVISOR

by
/s/ Steve Rosenthal         
Name:  Steve Rosenthal
Title:  Executive Director

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

Nomura Bond & Loan Fund, as Lender

By:  Mitsubishi UFJ Trust & Banking Corporation as Trustee
By:  Nomura Corporate Research & Asset Management Inc., Attorney in Fact

by
/s/ Steve Rosenthal         
Name:  Steve Rosenthal
Title:  Executive Director

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

Northrop Grumman Pension Master Trust

By:  Goldman Sachs Asset Management, L.P. solely as its investment advisor and not as principal

by
/s/ Michelle Latzoni         
Name:  Michelle Latzoni
Title:  Authorized Signatory

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

OCEAN TRAILS CLO I

By:  West Gate Horizons Advisors LLC, as Investment Manager

by
/s/ Helen Rhee             
Name:  Helen Rhee
Title:  Senior Analyst

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

OCEAN TRAILS CLO II

By:  West Gate Horizons Advisors LLC, as Investment Manager

by
/s/ Helen Rhee             
Name:  Helen Rhee
Title:  Senior Analyst

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

By:  Post Advisory Group,  LLC, not in its individual capacity but solely as authorized agent for and on behalf of:  Post Global Limited Term High Yield Fund

by
/s/ Jeremy Safi            
Name:  Jeremy Safi
Title:  Portfolio Manager

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

By:  Post Advisory Group,  LLC, not in its individual capacity but solely as authorized agent for and on behalf of:  Post Intermediate Term High Yield Fund II

by
/s/ Jeremy Safi            
Name:  Jeremy Safi
Title:  Portfolio Manager

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

By:  Post Advisory Group,  LLC, not in its individual capacity but solely as authorized agent for and on behalf of:  Post Intermediate Term High Yield Fund, LP

by
/s/ Jeremy Safi            
Name:  Jeremy Safi
Title:  Portfolio Manager

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

By:  Post Advisory Group,  LLC, not in its individual capacity but solely as authorized agent for and on behalf of:  Post Intermediate Term High Yield Fund

by
/s/ Jeremy Safi            
Name:  Jeremy Safi
Title:  Portfolio Manager

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

By:  Post Advisory Group, LLC, not in its individual capacity but solely as authorized agent for and on behalf of:  Post Limited Term High Yield Fund, LP

by
/s/ Jeremy Safi            
Name:  Jeremy Safi
Title:  Portfolio Manager

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

By:  Post Advisory Group, LLC, not in its individual capacity but solely as authorized agent for and on behalf of:  Post Senior Loan Master Fund, L.P.

by
/s/ Henry Chyung        
Name:  Henry Chyung
Title:  Portfolio Manager

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

    
By: Post Advisory Group, LLC, not     in its individual capacity but solely     as authorized agent for and on behalf     of Post Short Duration High Yield     Fund
    

/s/ Jeremy Sagi_________________
Name: Jeremy Sagi
Title: Portfolio Manager

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

By: Post Advisory Group, LLC, not in its individual capacity but solely as authorized agent for and on behalf of the Post Traditional High Yield Fund, L.P

/s/ Henry Chyung______________
Name: Henry Chyung
Title: Portfolio Manager

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

PPM GRAYHAWK CLO, LTD.

/s/ David C. Wagner_____________
By: PPM America, Inc., as Collateral     Manager
    
Name: David C. Wagner 
Title: Managing Director

NAME OF INSTITUTION:  

By: Post Advisory Group, LLC, not     in its individual capacity but solely     as authorized agent for and on behalf     of Public Employees Retirement     System of Ohio

/s/ Henry Chyung______________
Name: Henry Chyung
Title: Portfolio Manager

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

Rampart CLO 2006-1 Ltd.

By: Apollo Debt Advisors LLC
As its Collateral Manager

by
/s/ Joe Moroney________________
Name: Joe Moroney
Title: Authorized Signatory

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

Rampart CLO 2007 Ltd.

By: Apollo Debt Advisors LLC
As its Collateral Manager

by
/s/ Joe Moroney________________
Name: Joe Moroney
Title: Authorized Signatory

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

RAYTHEON MASTER PENSION TRUST

By:  Credit Suisse Asset Management, LLC as investment manager

by
/s/ Thomas Flannery_____________
Name: Thomas Flanner
Title: Managing Director

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

REGATTA FUNDING LTD. 
By: Napier Park Global Capital, LLC,
attorney-in-fact

by
/s/ Roger Yee__________________
Name: Roger Yee
Title: Director

NAME OF INSTITUTION: 

REGATTA II FUNDING LP 
By: Napier Park Global Capital, LLC,
attorney-in-fact

by
/s/ Roger Yee__________________
Name: Roger Yee
Title: Director

RGA REINSURANCE COMPANY
By: Crescent Capital Group LP, its sub-adviser

by
/s/ John Hwang________________
Name: John Hwang
Title: Vice President

by
/s/ G. Wayne Hosang____________
Name: G. Wayne Hosang
Title: Senior Vice President

NAME OF INSTITUTION:  

Rockwall CDO II Ltd.

By: Highland Capital Management, L.P.; As Collateral Manager

by
/s/ Carter Chism________________
Name: Carter Chism
Title: Authorized Signatory

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

Solus Senior High Income Fund LP

By: Solus Alternative Asset Management LP 
Its Investment Advisor

by
/s/ Christopher Pucillo____________
Name: Christopher Pucillo 
Title: President

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

Southfork CLO, Ltd.

By: Highland Capital Management, L.P., As Collateral Manager

by
/s/ Carter Chism_______________
Name: Carter Chism
Title: Authorized Signatory

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

By: Post Advisory Group, LLC, not in its individual capacity but solely as authorized agent for and on behalf of: Stichting Blue Sky Active High Yield Fixed Income USA Fund

/s/ Henry Chyung_______________
Name: Henry Chyung
Title: Portfolio Manager

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

By: Post Advisory Group, LLC, not in its individual capacity but solely as authorized agent for and on behalf of Stichting Pensioenfonds Metaal en Techniek

/s/ Henry Chyung_______________
Name: Henry Chyung
Title: Portfolio Manager

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

Stone Tower CLO IV Ltd.

By: Apollo Debt Advisors LLC, 
As its Collateral Manager

by
/s/ Joe Moroney________________
Name: Joe Moroney
Title: Authorized Signatory

    

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

Stone Tower CLO V Ltd.

By: Apollo Debt Advisors LLC, 
As its Collateral Manager

by
/s/ Joe Moroney________________
Name: Joe Moroney
Title: Authorized Signatory

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

Stratford  CLO, Ltd.

By:  Highland Capital Management, L.P. as Collateral Manager

by
/s/ Carter Chism_______________
Name: Carter Chism
Title: Authorized Signatory

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:
       

      

       NAME OF INSTITUTION:  

TALAMOD MASTER FUND, LP

by
/s/ Andersen Fisher_____________
Name: Andersen Fisher
Title: Managing Member of G.P.

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

TCW SENIOR SECURED LOAN FUND, LP
By: Crescent Capital Group LP, its sub-adviser

by
/s/ John Hwang________________
Name: John Hwang
Title: Vice President

by
/s/ G. Wayne Hosang____________
Name: G. Wayne Hosang
Title: Senior Vice President

NAME OF INSTITUTION:  

By: Post Advisory Group, LLC, not in its individual capacity but solely as authorized agent for and on behalf of the Teamsters Local 639-Employers Pension Trust Fund

/s/ Henry Chyung______________
Name: Henry Chyung
Title: Portfolio Manager
    

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

THE CITY OF NEW YORK GROUP TRUST

By: Credit Suisse Asset Management, LLC, as its manager

by
/s/ Thomas Flannery_____________
Name: Thomas Flannery
Title: Managing Director

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

By: Post Advisory Group, LLC, not in its individual capacity but solely as authorized agent for and on behalf of the The Timken Company Collective Investment Trust for Retirement Trusts

/s/ Henry Chyung______________
Name: Henry Chyung
Title: Portfolio Manager

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

Transamerica Life Insurance Company
BY: AEGON USA Investment Management, LLC, its investment manager

by
/s/ James Rich________________
Name: James Rich
Title: Vice President

NAME OF INSTITUTION: 

Ult Loan Funding 1 LLC

 
by
/s/ Emily Chong____________
Name: Emily Chong
Title: Director

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

Venture IX CDO, Limited

By: its investment advisor, MJX Asset Management, LLC

by
/s/ Martin E. Davey______________
Name: Martin E. Davey
Title: Managing Director

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

Venture V CDO Limited

By: its investment advisor, MJX Asset Management, LLC

by
/s/ Martin E. Davey______________
Name: Martin E. Davey
Title: Managing Director

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

Venture VII CDO, Limited

By: its investment advisor, MJX Asset Management, LLC

by
/s/ Martin E. Davey______________
Name: Martin E. Davey
Title: Managing Director

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

Venture VIII CDO, Limited

By: its investment advisor, MJX Asset Management, LLC

by
/s/ Martin E. Davey______________
Name: Martin E. Davey
Title: Managing Director

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

Venture XI CLO, Limited

By: its investment advisory, MJX Asset Management, LLC

by
/s/ Martin E. Davey______
Name: Martin E. Davey
Title: Senior Portfolio Manager

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

WEST BEND MUTUAL INSURANCE COMPANY
By: Crescent Capital Group LP, its sub-adviser
    

by
/s/ John Hwang________________
Name: John Hwang
Title: Vice President

by
/s/ G. Wayne Hosang___________
Name: G. Wayne Hosang
Title: Senior Vice President

NAME OF INSTITUTION:  

WG HORIZONS CLO I

By: West Gate Horizons Advisors LLC,
as Investment Manager

    
    
by
/s/ Helen Rhee_________________
Name: Helen Rhee
Title: Senior Analyst

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION:  

WhiteHorse III, Ltd.

By: WhiteHorse Capital Partners, L.P.
Title: Collateral Manager
By: WhiteRock Asset Advisors, LLC
Title: General Partner
    
    
by
/s/ Jay Carvell_________________
Name: Jay Carvell
Title: Manager

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION: 

WhiteHorse VI, Ltd.

By: H.I.G. WhiteHorse Capital, LLC
Title: Collateral Manager
    

by
/s/ Richard Siegel ______________
Name: Richard Siegel 
Title: Authorized Officer

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

 

NAME OF INSTITUTION: 

WINTERBERG FUNDING ULC

  

by
/s/ Arlene Arellano                    
Name: ARLENE ARELLANO
Title: Authorized Signatory

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

NAME OF INSTITUTION: Zions Bank

by
/s/ Matthew Johnson                 
Name: Mathew Johnson
Title: Vice President

For any Lender requiring a second signature block:

by
_________________________
Name:
Title:

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