Document:

LeCroy Corporation Amended & Restated 2007 Stock Appreciation Right Plan

 Exhibit 10.46 
 LECROY CORPORATION 
 AMENDED AND RESTATED 
 2007 STOCK APPRECIATION RIGHT PLAN 
  

	1.	Purposes of the SAR Plan. 

 The purposes of this
Amended and Restated Stock Appreciation Right Plan (the “SAR Plan”) of LeCroy Corporation (the “Company”) are to promote the interests of the Company and its stockholders by strengthening the Company’s ability
to attract, motivate, and retain employees of exceptional ability, to ensure that the compensation provided to selected employees is competitive with the market peers of such selected employees and to provide an additional competitive long-term
incentive value to those key employees of the Company upon whose judgment, initiative, and efforts the financial success and growth of the business of the Company largely depend. 
  

	2.	Definitions. 

 (a) “Beneficial
Ownership” means beneficial ownership as defined in Securities and Exchange Commission Rule 13d-3 under the Exchange Act. 
 (b)
“Board” means the Board of Directors of the Company. 
 (c) “Code” means the Internal Revenue of 1986, as
amended, including any successor law thereto, and the rules and regulations promulgated thereunder. 
 (d) “Committee” means
a committee appointed by the Board consisting of at least two members of the Board. 
 (e) “Change in Control” means a
change in ownership or control of the Company effected through either of the following transactions: 
 (i) any person or
related group of persons (other than the Company or a person that directly or indirectly controls, is controlled by, or is under common control with the Company) directly or indirectly acquires Beneficial Ownership of securities possessing more than
50% of the total fair market value or total voting power of the Company’s outstanding securities, or 
 (ii) over a
period of 12 consecutive months or less, there is a change in the composition of the Board such that a majority of the Board members (rounded up to the next whole number, if a fraction) is replaced by directors whose election is not endorsed by a
majority of the members of the Company’s Board before the date of the election. 
 Solely with respect to any grant that is subject to Section 409A
of the Code and that is payable upon a Change of Control, and to the extent that the above definition does not comply with Section 409A, such definition shall be modified, to the extent required to ensure that this definition complies with the
requirements of Section 409A of the Code, as set forth in regulations or other regulatory guidance issued under Section 409A of the Code by the appropriate governmental authority and the Plan shall be operated in accordance with the above
definition of Change in Control as modified to the extent necessary to ensure that the above definition complies with the definition prescribed in such regulations or other regulatory guidance. 
 (f) “Common Stock” means the authorized common stock of the Company, par value $0.01. 
 (g) “Company” means LeCroy Corporation. 
 (h) “Date of Grant” means the effective date of the grant of a Stock Appreciation Right as set forth in the Grant Document. 
 (i) “Eligible Employee” means any person who is, at the time of the grant of a Stock Appreciation Right, an employee of the Company or
any Subsidiary. 

 (j) “Exchange Act” means the Securities Exchange Act of 1934, as amended and in effect
from time to time. 
 (k) “Fair Market Value” means the value of a share of Common Stock on any relevant date as determined
in accordance with the following provisions: 
 (i) If the Common Stock is at the time listed on the Nasdaq Stock Market, then the Fair
Market Value shall be the closing selling price per share of Common Stock on the relevant date, as such price is reported by the National Association of Securities Dealers on the Nasdaq Stock Market and published in The Wall Street Journal. If there
is no closing selling price for Common Stock on the relevant date, then the Fair Market Value shall be the closing selling price on the last preceding date for which such closing selling price exists. 
 (ii) If the Common Stock is at the time listed on any stock exchange, then the Fair Market Value shall be the closing selling price per share of Common
Stock on the relevant date on the stock exchange determined by the Committee to be the primary market for the Common Stock, as such price is officially quoted in the composite tape of transactions on such exchange and published in the Wall Street
Journal. If there is no closing selling price for the Common Stock on the relevant date, then the Fair Market Value shall be the closing selling price on the last preceding date for which such closing selling price exists. 
 (iii) If the Common Stock is at the time neither listed on any stock exchange nor the Nasdaq Stock Market, then the Fair Market Value shall be a value
determined by the Committee, in its sole discretion, by the reasonable application of a reasonable valuation method taking into consideration all available information material to the value of the Company. 
 Notwithstanding anything in this Plan, to the extent that the above definition does not comply with Section 409A, such definition shall be modified, to the extent
required to ensure that this definition complies with the requirements of Section 409A of the Code, as set forth in regulations or other regulatory guidance issued under Section 409A of the Code by the appropriate governmental authority
and the Plan shall be operated in accordance with the above definition of Fair Market Value as modified to the extent necessary to ensure that the above definition complies with the definition prescribed in such regulations or other regulatory
guidance. 
 (l) “Grant Document” means the written agreement, notice of grant or other documentation governing the grant of
a Stock Appreciation Right under the SAR Plan, in a form approved by the Committee, which shall contain terms and conditions not inconsistent with the SAR Plan and which shall incorporate the SAR Plan by reference. 
 (m) “Participant” means an Eligible Employee selected to receive a Stock Appreciation Right pursuant to the SAR Plan. 
 (n) “SAR Plan” means this 2007 Stock Appreciation Right Plan as set forth herein and as amended and/or restated from time to time.

 (o) “Stock Appreciation Right” means a contractual right granted to a Participant, pursuant to the SAR Plan, to receive
the value of the appreciation of the specified number of shares of Common Stock that were granted over the specified period of time, less the applicable withholding taxes. Such value will be determined by the following formula: ((Fair Market Value
– exercise price) X number of shares) – withholding taxes)), as determined in accordance with the SAR Plan and subject to such other terms and condition as are set forth in the SAR Plan and in the applicable Grant Document. The value will
be provided to Participant in cash, Common Stock or a combination thereof, at the discretion of the Company, and as provided in the Grant Document. 
 (p) “Subsidiary” means a “subsidiary corporation” of the Company within the meaning of Section 424(f) of the Code. 
  

	3.	Administration of the SAR Plan. 

 (a) The SAR Plan
will be governed by and interpreted and construed in accordance with the internal laws of the State of Delaware (without reference to principles of conflicts or choice of law). The captions of sections of the SAR Plan are for reference only and will
not affect the interpretation or construction of the SAR Plan. 
  

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 (b) The SAR Plan will be administered by the Committee. The Committee has and may exercise such powers
and authority of the Board as may be necessary or appropriate for the Committee to carry out its functions as described in the SAR Plan. The Committee shall determine the Eligible Employees to whom, and the time or times at which, a Stock
Appreciation Right may be granted and the number of shares subject to each Stock Appreciation Right. The Committee also has authority (i) to interpret the SAR Plan, (ii) to determine the terms and provisions of the Stock Appreciate Right
and the Grant Document, and (iii) to make all other determinations necessary or advisable for SAR Plan administration. The Committee has authority to prescribe, amend, and rescind rules and regulations relating to the SAR Plan. All
interpretations, determinations, and actions by the Committee will be final, conclusive, and binding upon all parties. 
 (c) No member of
the Committee will be liable for any action taken or determination made in good faith by the Committee with respect to the SAR Plan or any Stock Appreciation Right. 
  

	4.	Grants. 

 The Committee shall determine and
designate from time to time those Eligible Employees who are to be granted a Stock Appreciation Right and the applicable terms, which shall be consistent with the SAR Plan and which shall include, without limitation, the number of shares of the
Stock Appreciation Right, the exercise price and the vesting terms. Each grant of a Stock Appreciation Right will be evidenced by a Grant Document. 
  

	5.	Terms and Conditions of a Stock Appreciation Right. 

 (a) The exercise price of a Stock Appreciation Right shall not be less than 100% of the Fair Market Value of a share of Common Stock on the Date of Grant of such Stock Appreciation Right and such exercise price of any Stock Appreciation
Right may not be reduced after the Date of Grant. 
 (b) A Stock Appreciation Right shall be exercisable at such time and for such numbers of
shares as set forth in the Grant Document. 
 (c) In order to vest in any portion of a Stock Appreciation Right, a Participant must be
employed by the Company or a Subsidiary on the date the Stock Appreciation Right is scheduled to vest. 
 (d) Unless otherwise set forth in
the Grant Document, a Stock Appreciation Right shall vest in a series of 4 equal yearly installments on each anniversary date of the Grant Date, 25% to vest on the first anniversary, 25% to vest on the second anniversary, 25% to vest on the third
anniversary and the final 25% to vest on the fourth anniversary (each date a “Vest Date”). As a Stock Appreciation Right becomes exercisable for an installment, that installment shall remain exercisable as to that vested amount
until the fourth anniversary of the applicable Vest Date. Upon each fourth anniversary date of each Vest Date, that applicable vested portion of a Stock Appreciation Right that has not been exercised by Participant shall expire. The installments
that become exercisable shall not accumulate for any reason, including to remain exercisable. 
 (e) Should a Participant’s employment
with the Company or a Subsidiary be terminated for any reason, then the vested portion, if any, of a Stock Appreciation Right shall remain exercisable for a three month period measured from Participant’s last day of employment with the Company
or a Subsidiary, except in the event that such termination is due to death or disability, the vested portion, if any, of a Stock Appreciation Right shall remain exercisable for a twelve month period measured from the last day of employment. At
midnight on the date at the end of the applicable period any vested portion of a Stock Appreciation Right that has not been exercised by Participant shall expire. 
 (f) No additional vesting will occur after the date of Participant’s last day of employment and the unvested portion, if any, of a Stock Appreciation Right shall immediately terminate, subject to Section 6
(a) and below. 
 (g) A Participant cannot exercise any portion of a Stock Appreciation Right except during an open trading period for
directors, officers and certain other employees designated under the Stock Trading Policy adopted by the Board, a copy of which is attached to this Plan and incorporated by this reference. 
  

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	6.	Adjustment Provisions. 

 (a) The Committee shall
have discretion to provide for the acceleration of any Stock Appreciation Right held by a Participant upon the occurrence of a Change in Control of the Company. Such accelerated vesting may be conditioned on the subsequent termination of the
affected Participant’s employment. Any Stock Appreciation Right accelerated in connection with a Change in Control shall remain fully exercisable until the expiration or sooner termination of the Stock Appreciation Right. 
 (b) The Committee shall have discretion to: (i) cancel a Stock Appreciation Right previously granted and give the Participant notice and opportunity
to exercise any vested portion of a Stock Appreciation Right for 30 days prior to such cancellation or; (ii) to cancel the Stock Appreciation Right and to deliver to the Participant the value of the Stock Appreciation Right in cash or common
share or combination thereof, which the Committee shall determine in its sole discretion, subject to the terms of the SAR Plan. 
 (c) Each
Stock Appreciation Right that is assumed in connection with a Change in Control, or is otherwise to continue in effect subsequent to such Change in Control, shall be appropriately adjusted so as to preserve, without increasing, the value of such
Stock Appreciation Right. 
 (d) Adjustments under this section will be made by the Committee in accordance with the terms of the SAR Plan,
whose determination as to what adjustments, if any, are made will be final, binding, and conclusive. 
  

	7.	General Provisions. 

 (a) Nothing in the SAR Plan or
in any instrument executed pursuant to the SAR Plan will confer upon any Participant any right to continue in the employ of the Company or any of its Subsidiaries or affect the right of the Company or any Subsidiary to terminate the employment of
any Participant at any time and for any reason or no reason, with or without cause and without notice. 
 (b) No shares of Common Stock will
be issued or transferred pursuant to either the grant or vesting of a Stock Appreciation Right and no Participant and no beneficiary or other person claiming under or through such Participant will have any right or title in or to any shares of
Common Stock due to grant or vesting. 
 (c) No right under the SAR Plan, contingent or otherwise, will be transferable or assignable or
subject to any encumbrance, pledge, or charge of any nature except that, under such rules and regulations as the Committee may establish pursuant to the terms of the SAR Plan, a beneficiary may be designated with respect to a Stock Appreciation
Right in the event of death of a Participant. If such beneficiary is the executor or administrator of the estate of the Participant, any rights with respect to such Stock Appreciation Right may be transferred to the person or persons or entity
(including a trust) entitled thereto under the will of the holder of such Stock Appreciation Right. 
 (d) The Grant Document may contain
such other provisions as the Committee may deem advisable. Without limiting the foregoing, and if so authorized by the Committee, the Company may, with the consent of the Participant and at any time or from time to time, cancel all or a portion of
any Stock Appreciation Right granted under the SAR Plan then subject to exercise and discharge its obligation with respect to the Stock Appreciation Right by payment to the Participant of the applicable value amount, either by providing a cash
payment, Common Shares or a combination thereof, at the discretion of the Company. 
 (e) It is the intention of the Company that all grants
by Plan Committee be in compliance with Section 409A of the Code in all respects and the Plan shall be so construed; provided, however that the Participant shall be solely responsible for and liable for any tax consequences (including but not
limited to any interest or penalties) as a result of participation in the Plan. Neither the Board, nor the Company nor the Committee makes any commitment or guarantee that any federal, state or local tax treatment will apply or be available to any
person participating or eligible to participate hereunder and assumes no liability whatsoever for the tax consequences to the Participants. Notwithstanding anything herein to the contrary, if any amounts payable hereunder are reasonably determined
by the Committee to be “nonqualified deferred compensation” payable to a “specified employee” upon “separation 

  

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from service” (within the meaning of section 409A of the Code) then such amounts that would otherwise be payable upon separation from service shall be
held and not be paid by the Company upon separation from service, but shall be paid as soon as administratively feasible following the earlier of: (1) the first day that is six months following the Participant’s separation from service; or
(2) Participant’s date of death. Such amounts that would otherwise be payable in installments commencing on separation from service shall be accumulated and paid in a lump sum on the date that is the earlier of (1) or (2) above
and shall be paid in installments thereafter. 
  

	8.	Amendment and Termination. 

 (a) The Board shall
have the power, in its sole discretion, to amend, modify, suspend, or terminate the SAR Plan at any time, subject to the rights of a holder of a Stock Appreciation Right on the date of such action. 
 (b) The Committee may, with the consent of Participant, make such modifications in the terms and conditions of a Stock Appreciation Right then
currently-held by such Participant as it deems advisable. 
 (c) No amendment, suspension or termination of the SAR Plan will, without the
consent of Participant, adversely affect any right or obligation under a Stock Appreciation Right then currently held by to such Participant under the SAR Plan. 
  

	9.	Effective Date of SAR Plan and Duration of SAR Plan. 

 The SAR Plan shall become effective upon its adoption by the Board on September 8, 2008. The SAR Plan will terminate on August 20, 2017. 
  

 5United States Department of the Treasury Lending Agreement

 Exhibit 10.1 
 UNITED STATES DEPARTMENT OF THE TREASURY 
 LENDING AGREEMENT 
 CREDIT AND SECURITY TERMS 
 1.0 SCOPE 
 1.1 This Agreement sets forth the terms under which an entity may, in accordance with the Housing and Economic Recovery Act of 2008, borrow from and pledge
Collateral to the United States Department of the Treasury (Treasury). 
 2.0 DEFINED TERMS 
 Account means the account described in section 3.2 of this Agreement. 
 Adverse Claim has the meaning set forth in Section 9.1(d). 
 Application Package means the Application Package, substantially in
the form of Appendix I, which the Borrower submitted in connection with its agreement to this Agreement. 
 Borrower means an entity that incurs an
Obligation to the Treasury. 
 Borrower-in-Custody or BIC Arrangement means an arrangement whereby the Treasury authorizes a Borrower, or an affiliate
of the Borrower, to retain possession of the Collateral, as described in Section 7 of this Agreement. 
 Business Day means any day the Federal
Reserve Bank of New York is open for conducting all or substantially all its banking functions. 
 Certificate means the certificate, substantially in
the form set forth in the appropriate Application Package, provided to the Treasury by the Borrower. 
 Collateral means: 
 (i) all the Borrower’s rights, title, and interest in property as described in section 7.0 (and any other property agreed to by Treasury) that is (a) identified
on a Collateral Schedule, (b) identified on the books or records of a Reserve Bank as pledged to, or subject to a security interest in favor of, the Treasury or (c) in the possession or control of, or maintained with, the Treasury
including; 
 (ii) all documents, books and records, including programs, tapes, and related electronic data processing software, evidencing or relating
to any or all of the foregoing; and 
 (iii) to the extent not otherwise included, all proceeds and products of any and all of the foregoing and all
supporting obligations given by any person with respect to any of the foregoing, including but not limited to interest, dividends, insurance, rents and refunds. 
 Collateral Schedule means the written, electronic or other statement(s) listing Collateral in effect at any time. Each statement of Collateral shall be in the form required by the Treasury and shall identify the items of Collateral
with the specificity required by the Treasury. The removal of an item from a statement of Collateral will not be effective and will not affect the Treasury’s security interest in the item unless such removal is made in accordance with this
Agreement and the Treasury’s procedures, including prior Treasury approval or authorization. 

 Event of Default means any of the following: 
 (i) the Borrower fails to repay or satisfy any Obligation when due; 
 (ii) the Borrower fails to perform or observe any of
its obligations or agreements under the Lending Agreement or under any other instrument or agreement delivered or executed in connection with the Lending Agreement; 
 (iii) any representation or warranty made or deemed to be made by the Borrower under or in connection with the Lending Agreement, or that is contained in any certificate, document, or financial or other statement
delivered by it or in connection with the Lending Agreement, is inaccurate in any material respect on or as of the date made or deemed made; 
 (iv) the
Insolvency of the Borrower; 
 (v) the Lending Agreement or any other agreement delivered or executed in connection with the Lending Agreement ceases,
for any reason, to be in full force and effect, or the Borrower so asserts or any security interest or lien created hereby ceases to be enforceable or have the same effect and priority purported to be created hereby; 
 (vi) the creation of an encumbrance upon Collateral, or placement of a levy, judicial seizure of, or an attachment upon Collateral; 
 (vii) whenever the Secretary of the Treasury determines that Treasury’s position is insecure with respect to the financial condition of the Borrower or the
Borrower’s ability to perform its Obligations. 
 Federal Reserve Bank means any one of the Federal Reserve Banks. 
 Insolvency means: 
 (i) the condition of insolvency; 
 (ii) that a proceeding relating to bankruptcy, insolvency, reorganization or relief of debtors, seeking to adjudicate an entity bankrupt or insolvent or seeking
reorganization, adjustment, dissolution, liquidation or other relief with respect to the Borrower or the Borrower’s debt is commenced; 
 (iii) that an assignment for the benefit of the Borrower’s creditors occurs; 
 (iv) that a receiver, custodian, conservator, or the
like is appointed for the Borrower or for any of its United States or foreign branches or agencies; 
 (v) that the Borrower has been closed by order of
its supervisory authorities, or a public officer has been appointed to take over such entity; 
 (vi) that the Borrower ceases or refuses to make
payments in the ordinary course of business, or admits in a record its inability to pay its debt as they become due; 
 (vii) the Borrower’s
business is suspended, or any party has presented or filed a petition for winding-up or liquidating the Borrower; or 
 (viii) any other circumstances
that evince the Borrower’s inability to pay its debts when due. 
 Lending Agreement means this Agreement, any Collateral Schedule, each document
in the Application Package executed or furnished to the Treasury by the Borrower, and any other agreement or document executed by the Borrower in connection with this Agreement, in each case as the same may be amended, supplemented or otherwise
modified from time to time. 
 Lending Documents has the meaning set forth in Section 8 of this Agreement 

 Letter of Agreement means the Letter of Agreement, substantially in the form found in Appendix I pursuant to which
the Borrower agrees to be bound by the terms of this Agreement. 
 Loan means an extension of credit to the Borrower. 
 Loan Repayment Amount means the amount of a Loan, plus all accrued and unpaid interest thereon. 
 Obligation, whether now existing or hereafter incurred, means: 
 (i) Loan Repayment Amounts; 
 (ii) any other liabilities of the Borrower to the Treasury; and 
 (iv) any expense the Treasury or its designee(s) may incur to: 
 a. obtain, preserve and/or enforce the Lending Agreement or the
Treasury’s security interest in Collateral and the Borrower’s Obligations under the Lending Agreement, 
 b. collect any or all of the foregoing,
or 
 c. assemble, transport, maintain or preserve Collateral (including, without limitation, taxes, assessments, insurance premiums, repairs, reasonable
attorneys’ fees, rent, transportation, storage costs, and expenses of sale). 
 Treasury means the United States Department of the Treasury. For
operational purposes, the term “Treasury” includes a Federal Reserve Bank acting as fiscal agent to the Treasury. 
 UCC means the Uniform
Commercial Code. 
 3.0 LOANS 
 3.1 A request for a
Loan shall be made to the Treasury in a form and time acceptable to the Treasury. A Loan must be secured by Collateral acceptable to the Treasury. Upon Treasury’s request, the Borrower shall submit a written application for a Loan. 

3.2 The Treasury’s approval of a request for a Loan shall be evidenced by, and the Loan shall be deemed made at the time of, the Treasury’s record of
the credit of the amount of the Loan to an Account agreed upon by the Borrower and the Treasury. 
 3.3 Loans to the Federal Home Loan Banks (FHLBs)
or any FHLB under this Agreement shall be joint and several obligations of all the FHLBs, issued under Section 11(a) of the Federal Home Loan Bank Act, 12 U.S.C. § 1431(a), through the Office of Finance as agent of the FHLBs, and therefore
are consolidated obligations issued pursuant to part 966 of the rules of the Federal Housing Finance Board, in continuing force and effect under Section 1312 of the Housing and Economic Recovery Act of 2008, and any successor rule of the
Federal Housing Finance Agency. 
 4.0 INTEREST 
 4.1 The interest rate applicable to a Loan shall be the rate, as from time to time established by the Treasury. Interest on a Loan shall accrue from the day the Loan is credited to the Account and shall be payable at the applicable
rate in effect on that day, except that if the interest rate changes while a Loan is outstanding, the new rate shall apply as of the day on which the rate change is effective. Interest shall be computed on the basis of 365 days in a year.

 4.2 If all or any portion of a Loan Repayment Amount is not paid when due (whether by acceleration or otherwise),
interest on the unpaid portion of the Loan Repayment Amount shall be calculated at a rate 500 basis points higher than the applicable rate then in effect until the unpaid Loan Repayment Amount is paid in full. 
 5.0 REPAYMENT OF LOAN 
 5.1 The Borrower promises to pay a Loan
Repayment Amount when due in actually and finally collected funds. A Loan Repayment Amount is immediately due and payable 
 (a) on demand; 

(b) without any demand, notice or other action on the due date and time specified by the Treasury in writing (provided that if such date falls on a day that is
not a Business Day, the due date shall be extended to the next Business Day) or upon the occurrence of any Event of Default described in clause (iv), (v) or (vii) of the definition of such term. 
 5.2 The Borrower waives any right to presentment, notice of dishonor, protest, and any other notice of any kind except as expressly provided for herein.

 5.3 Upon notice to the Treasury at least 2 days in advance, the Borrower may prepay a Loan Repayment Amount, in whole or in part, without penalty.

 5.4 The appropriate Federal Reserve Bank, acting on behalf of the Treasury, will debit the Borrower’s Account for the Loan Repayment Amount
and all other Obligations when due. 
 6.0 GRANT OF SECURITY INTEREST 
 For value received and in consideration of the Treasury permitting the Borrower to obtain Loans, the Borrower hereby transfers and assigns to the Treasury and grants to the Treasury a continuing security interest in
and lien on the Collateral as collateral security for the timely and complete payment and performance when due (whether at stated maturity, by acceleration or otherwise) of all Obligations. 
 7.0 COLLATERAL 
 7.1 The Borrower shall ensure that the
Collateral meets the requirements set forth in this section or as the Treasury may otherwise from time to time prescribe. 
 7.2 Acceptable Collateral
consists of Federal Home Loan Bank advances to member financial institutions that have been collateralized in accordance with Federal Home Loan Bank standards (FHLB advances) and mortgage backed securities issued by the Federal National Mortgage
Association or the Federal Home Loan Mortgage Corporation. 
 7.3 Acceptable FHLB advances shall be valued with a 13% haircut applied to the
outstanding principal amount of the asset on the balance sheet of the Federal Home Loan Bank. Haircuts may also be applied to the value of mortgage backed securities as determined by Treasury. 
 7.4 FHLB advances pledged as Collateral under this Agreement may be held under a BIC Arrangement subject to section 7.10 herein. FHLB advances must be
prepositioned, in an amount acceptable to the Treasury, before a Federal Home Loan Bank is eligible to receive a Loan under this Agreement. MBS pledged as Collateral under this Agreement must be held in a custodial National Book 

 
Entry System account established through the Federal Reserve Bank of New York. MBS pledged hereunder may be repositioned from an investment account into the
custodial account on a same-day basis. 
 7.5 On a weekly basis, Borrower must submit to the Federal Reserve Bank of New York acting as fiscal agent
of the Treasury, a Collateral Schedule listing the Collateral pledged to Treasury under this Agreement, including the outstanding principal amount of any FHLB advances. 
 7.6 The Treasury may at any time request the Borrower to replace any item of Collateral or to grant a lien and security interest in additional assets of a type and in an amount acceptable to the Treasury, and
the Borrower shall promptly do so. 
 7.7 Unless otherwise specified by the Treasury in writing, the Borrower shall promptly withdraw from the
Collateral Schedule: 
 (a) any Collateral that has a payment of principal or interest past due, in whole or in part, for more than 30 days; 

(b) any Collateral that has been paid in full by the obligor; or 
 (c) any Collateral if the obligor on such Collateral becomes insolvent, or if a receiver, custodian, or the like is appointed for the obligor. 
 Prior to such withdrawal, however, the Borrower shall update any relevant Collateral Schedule and pledge substitute Collateral acceptable to the Treasury by submitting an updated Collateral Schedule or otherwise pledging such Collateral to
the Treasury. 
 7.8 The Treasury has no duty to collect any income accruing on Collateral or to preserve any rights relating to Collateral.

 7.9 The Borrower hereby: 
 (a) authorizes the Treasury
at any time to file or record in any filing office in any jurisdiction which the Treasury determines appropriate to perfect the security interests set forth hereunder, financing statements, and any amendments or continuation statements related
thereto without the signature of the Borrower therein that describes the Collateral and the Borrower shall, promptly at the Treasury’s request, provide any additional information required by Article 9 of the UCC, as in effect in any relevant
jurisdiction, for the sufficiency or acceptability of any financing statement; 
 (b) ratifies its authorization for the Treasury to have filed any
financing statement, including any amendment or continuation statement related thereto, in any jurisdiction, where the same has been filed prior to the date on which the Letter of Agreement is signed by the Borrower; 
 (c) authorizes the Treasury at any time, to take any and all other actions that may be necessary or, in the Treasury’s sole discretion, desirable to obtain,
preserve, perfect or enforce the Treasury’s security interest in the Collateral; 
 (d) authorizes the Treasury to endorse or assign as the
Borrower’s agent any item of Collateral, to inspect Collateral held by the Borrower, and copy any relevant records and/or documents. 
 7.10
Treasury will keep all information regarding the identity of borrowers identified in any collateral documentation confidential and such information will not be disclosed except as authorized or necessary to effectuate the terms of this Agreement.

 7.11 If the Treasury approves, the Borrower may hold certain Collateral in a BIC Arrangement (“BIC-held
Collateral”) subject to the following: 
 (a) BIC-held Collateral shall be prominently identified as Pledged to the Treasury and subject
exclusively to the Treasury’s written instructions. At the Treasury’s request, the Borrower shall, without delay, prominently and conspicuously affix a legend to items of BIC-held Collateral indicating that such items are subject to a
security interest in favor of the Treasury. 
 (b) The Borrower shall mark its records to show that BIC-held Collateral has been pledged to the Treasury and
is subject exclusively to the Treasury’s written instructions. Any computer generated list or report containing BIC-held Collateral must incorporate a legend indicating that such Collateral is pledged to the Treasury. 
 (c) Upon the Treasury’s request, the Borrower shall at all times segregate BIC-held Collateral from its own assets or the assets of any other party and shall hold
Collateral in such location(s) approved by the Treasury. BIC-held Collateral shall not be removed from such location(s) without the prior written approval of the Treasury. 
 (d) The Borrower may withdraw or replace BIC-held Collateral only with the approval of the Treasury and on terms acceptable to the Treasury. 
 (e) The Treasury may from time to time notify Borrower of additional requirements on BIC-held Collateral. The Borrower’s failure to comply with such requirements may disqualify the Borrower from participation in
the BIC Arrangement. 
 7.12 With respect to any item of Collateral not delivered or transferred to the Treasury or its agent or custodian, including
BIC-held Collateral, the Borrower shall hold such item of Collateral in trust for the Treasury until the Collateral is delivered or transferred in accordance with the Treasury’s instructions. The Borrower bears the risk of loss for any
Collateral held in the Borrower’s possession, at any custodian, maintained in an account at a securities intermediary other than a Reserve Bank, or in transit to or from the Reserve Bank. The Borrower also bears the risk of any accidental loss
or damage to Collateral in the possession of the Treasury or its agent to the extent the Treasury exercised reasonable care. 
 7.13 Unless an Event
of Default occurs or the Treasury expressly directs otherwise, any proceeds, dividend, interest, rent, proceeds of redemption, and/or any other payment received by the Borrower regarding any Collateral may be retained by the Borrower. If the
Treasury directs that any of the foregoing be paid to the Treasury, the Borrower shall remit those payments, or cause such payments to be remitted, promptly to the Treasury and, until receipt by the Treasury, such payments are deemed to be held in
trust for the Treasury. 
 7.14 The Treasury is under no obligation to allow for the withdrawal of any item of Collateral from the pledge to the
Treasury, or to allow the removal of any item of Collateral from the Collateral Schedule or otherwise release its security interest in any item of Collateral unless: 
 (a) the Borrower has provided substitute Collateral acceptable to the Treasury; or 
 (b) the Treasury has
verified, in accordance with its normal customs and procedures, that all Obligations have been unconditionally repaid in full and that the Borrower is not currently in default under another agreement with the Treasury. 
 7.15 Borrower shall submit a written certification to Treasury including the following information and attestations: (i) the location of all supporting
documentation or records; (ii) a statement that all supporting documentation or records are complete, controlled, and 

 protected; (iii) a description of the Borrower’s asset valuation criteria; (iv) a description of the
Borrower’s internal loan-rating system; (v) a description of how Collateral is marked as pledged to the Treasury; and (vi) where applicable, a statement that Borrower’s Financial Statement including its portfolio of FHLB advances
is audited in accordance with applicable auditing standards. This certification is only required on a one-time basis; however, Borrower shall notify Treasury if any of the information contained in the certification changes or is no longer accurate.

 8.0 MAINTENANCE OF LENDING DOCUMENTS 
 The documents
specified below must be maintained continuously as official records of the Borrower. The documents listed in subparagraph (a) shall at all times be kept together in one place, while the document listed in subparagraph (b) may be kept in
any accessible and secure location on the Borrower’s premises. 
 (a) a copy of the Lending Agreement; and 
 (b) a current statement of outstanding Loans. 
 9.0 REPRESENTATIONS
AND WARRANTIES 
 9.1 The Borrower represents and warrants that: 
 (a) (i) the Borrower has the power and authority, and the legal right, to make, deliver and perform the Lending Agreement and to obtain a Loan; (ii) the Borrower has taken all necessary organizational action
to authorize the execution, delivery and performance of the Lending Agreement and to authorize the obtaining of a Loan on the terms and conditions of the Lending Agreement; (iii) no consent or authorization of, filing with, notice to or other
act by or in respect of, any governmental authority or any other person is required in connection with the obtaining of Loans hereunder or with the execution, delivery, performance, validity or enforceability of the Lending Agreement; and
(iv) the Lending Agreement has been duly executed and delivered on behalf of the Borrower; 
 (b) the Borrower is duly organized, validly existing
and in good standing under the laws of the jurisdiction of its organization and is not in violation of any laws or regulations in any respect which could have any adverse effect whatsoever upon the validity, performance or enforceability of any of
the terms of the Lending Agreement; 
 (c) the Lending Agreement constitutes a legal, valid and binding obligation of the Borrower, enforceable against
the Borrower in accordance with its terms; 
 (d) the Borrower has rights in Collateral sufficient to grant an enforceable security interest to the
Treasury and its rights in Collateral are free of any assertion of a property right that would adversely affect the Treasury’s right to Collateral, including but not limited to any claim, lien, security interest, encumbrance, preference or
priority arrangement or restriction on the transfer or pledge of Collateral (an “Adverse Claim”), except as created by, or otherwise permitted under, the Lending Agreement or by the Treasury; 
 (e) all information set forth on the Certificate is accurate and complete and there has been no change in such information since the date of the Certificate;

 (f) (i) the Lending Agreement is effective to create in favor of the Treasury a legal, valid, and enforceable security interest in the
Collateral described in the Lending Agreement and proceeds thereof; (ii) when financing statements are filed in the state filing offices located in the jurisdictions specified on the Certificate, those security interests shall constitute a
fully and validly perfected lien on, and security interest in, all rights, title and interest of the Borrower in such Collateral as to which perfection can be obtained by filing, as security for the Obligations, in each case prior and superior in
right to any other person (except for liens that arise by operation of law); and (iii) no financing statement or other public notice with respect to all or any part of the Collateral is on file or of record in 

 any public office, except such as have been filed in favor of the Treasury pursuant to the Lending Agreement, is
permitted by the Lending Agreement, or are otherwise permitted by the Treasury; 
 9.2 Each time the Borrower requests a Loan or grants a security
interest in any Collateral to Treasury, the Borrower is deemed to make all of the foregoing representations and warranties on and as of the date such Loan is incurred or security granted. Such representations and warranties shall be true on and as
of such date and shall remain true and correct so long as the Lending Agreement remains in effect, any Obligation remains outstanding, or any other amount is owing to the Treasury. 
 10.0 COVENANTS 
 The Borrower covenants that so long as the Lending Agreement remains in effect or any Obligation
remains outstanding or any other amount is owing to the Treasury: 
 (a) except for the security interest herein granted or otherwise permitted
hereunder or by the Treasury, the Borrower shall have rights in the Collateral free from any Adverse Claim, and shall maintain the security interest created hereby with the priority set forth in Section 9.1(f) and shall take all actions
necessary or prudent to defend against Adverse Claims; 
 (b) except as otherwise permitted hereunder or by the Treasury, the Borrower shall not
(i) sell or otherwise dispose of, or offer to sell or otherwise dispose of, the Collateral or any interest therein, or (ii) pledge, mortgage, or create, or permit the existence of any right of any person in or claim to, the Collateral
other than the security interest granted herein; 
 (c) the Borrower shall not perform any act with respect to any Collateral that would impair the
Treasury’s rights or interests therein, nor will the Borrower fail to perform any act that would reasonably be expected to prevent such impairment or that is necessary to preserve the Treasury’s rights; 
 (d) the Borrower shall promptly notify the Treasury if the Borrower fails or is about to fail to meet the capital requirements required by regulations applicable to
the Borrower. 
 (e) the Borrower shall renew or keep in full force and effect its organizational existence or take all reasonable action to maintain
all rights, privileges, licenses and franchises necessary or desirable in the normal conduct of its business; 
 (f) in any BIC Arrangement, the
Borrower shall provide for periodic audits of BIC-held Collateral pledged to the Treasury, shall notify the Treasury immediately of any irregularities discovered during any audits, and shall certify periodically, as determined by the Treasury, that
it is complying with the requirements of the BIC Arrangement; 
 (g) without providing at least 30 days’ prior written notice to the Treasury and
submitting an updated Certificate to the Treasury, the Borrower shall not cause or permit any of the information provided in the Certificate, including its jurisdiction of organization, to become untrue; 
 (h) the Borrower shall promptly notify the Treasury of the occurrence or impending occurrence of any Event of Default; and 
 (i) the Borrower shall promptly notify the Treasury of any change in applicable law, the regulations or policies of its chartering and/or licensing authority, or
its charter, bylaws, or other governing documents, or any legal or regulatory process asserted against the Borrower, that materially affects or may materially affect the Borrower’s authority or ability to lawfully perform its obligations under
the Lending Agreement. 

 11.0 WAIVER OF IMMUNITY; SUBMISSION TO JURISDICTION 
 11.1 If the Borrower or its property is now, or in the future becomes, entitled to any immunity, whether characterized as sovereign or otherwise (including, without limitation, immunity from set-off, from
service of process, from jurisdiction of any court or tribunal, from attachment in aid of execution, from attachment prior to the entry of a judgment, or from execution upon a judgment) in any legal proceeding in Federal or State court then the
Borrower expressly and irrevocably waives, to the maximum extent permitted by law, any such immunity. To the extent the Borrower receives any such entitlement in the future, the Borrower shall promptly notify the Treasury of such entitlement.

 11.2 The Borrower submits in any legal action or proceeding relating to or arising out of the Lending Agreement, or the conduct of any party with
respect therefor or for recognition and enforcement of any judgment in respect thereof, to the nonexclusive general jurisdiction of the Federal District Court for the District of Columbia and any appellate court thereof. The Borrower agrees that
service of process in any such action or proceeding may be effected by mailing a copy thereof by registered or certified mail (or any substantially similar form of mail), postage prepaid, to the address provided in the Letter of Agreement; and
agrees that nothing herein shall affect the right to effect service of process in any other manner permitted by law or shall limit the right to sue in any other jurisdiction. The Borrower irrevocably waives, to the fullest extent permitted by law,
any objection which it may now or hereafter have to the venue of any such suit, action, or proceeding brought in any such court and any claim that any such suit, action or proceeding brought in such a court has been brought in an inconvenient forum.
The Borrower also agrees that a final judgment in any such suit, action, or proceeding brought in such court shall be conclusive and binding upon the Borrower. The foregoing does not diminish or otherwise affect any rights the Treasury may have
under law. 
 12.0 REMEDIES UPON DEFAULT 
 12.1
Upon the occurrence of, and at any time during the continuance of, an Event of Default, the Treasury may pursue any of the following remedies, separately, successively, or concurrently: 
 (a) cause the Borrower’s Account to be debited in an amount up to the Borrower’s unpaid Obligations; 
 (b) set off any Obligation against any amount owed by the Treasury to the Borrower, whether or not such amount owed is then due and payable; 
 (c) exercise any right of set-off or banker’s lien provided by applicable law against the Borrower’s property in the possession or control of, or maintained with, the Treasury, including but not limited to items in process of
collection and their proceeds and any balance to the credit of the Borrower with the Treasury; 
 (d) take possession of any Collateral not already in
Treasury’s possession, without demand and without legal process. Upon the Treasury’s demand, the Borrower shall assemble and make Collateral available to the Treasury as the Treasury directs. The Borrower grants to the Treasury the right,
for this purpose to enter into or on any premises where Collateral may be located; and 
 (e) pursue any other remedy available to collect, enforce, or
satisfy any Obligation, including exercising its rights as a secured creditor to collect income on the Collateral, or to sell, assign, transfer, lease or otherwise dispose of Collateral whether or not Collateral is in the Treasury’s possession,
or to take action against any other property or assets of the Borrower whether or not pledged to Treasury as Collateral. 
 Where the Borrower is an FHLB,
pursue any and all remedies available to collect, enforce, or satisfy any Loan Repayment Amount against any other FHLB on the basis that the Loan Repayment Amount is a consolidated obligation as described in section 3.3.. 

 In the event that an FHLB other than the Borrower satisfies a Loan Repayment Amount owed by the Borrower pursuant to this
subsection, Treasury will release any collateral remaining upon satisfaction of all Obligations of the Borrower in accordance with instructions provided by the Office of Finance. 
 12.2 If the Treasury exercises its rights in Collateral upon an Event of Default: 
 (a) the Treasury may sell,
assign, transfer, and deliver, at the Treasury’s option, all or any part of Collateral at private or public sale, at such prices as the Treasury may, in good faith, deem best, without advertisement, and the Borrower waives notice of the time
and place of the sale, except any notice that is required by law and may not be waived; 
 (b) the Treasury has no obligation to prepare Collateral for
sale, and the Treasury may sell Collateral and disclaim any warranties without adversely affecting the commercial reasonableness of the sale; 
 (c) the
Treasury has no obligation to collect from any third party or to marshal any assets in favor of the Borrower to satisfy any Obligation; and 
 (d) the
Treasury may purchase any or all of Collateral and pay for it by applying the purchase price to reduce amounts owed by the Borrower to the Treasury. 
 12.3 The Borrower appoints the Treasury with full power of substitution, as its true and lawful attorney-in-fact with full irrevocable power and authority in the place and stead of the Borrower, to endorse, assign, transfer, and
deliver Collateral to any party, and to take any action deemed necessary or advisable by the Treasury either to protect the Treasury’s interests or exercise its rights under the Lending Agreement, including taking any action to perfect or
maintain the Treasury’s security interest (including but not limited to recording an assignment of a mortgage or filing a financing statement). This power of attorney is coupled with an interest and as such is irrevocable and full power of
substitution is granted to the assignee or holder. As attorney-in-fact, the Treasury may take any lawful action to collect all sums due in connection with Collateral, the Treasury may release any Collateral, instruments or agreements securing or
evidencing the Obligations as fully as the Borrower could do if acting for itself, and the Treasury may take any action set forth in Section 7.9, but the Treasury has no obligation to take any such actions or any other action in respect of the
Collateral. 
 12.4 The proceeds realized by the Treasury upon selling or disposing of Collateral, to the extent actually received in cash by the
Treasury will be applied toward satisfaction of the Obligations. The Treasury shall apply such proceeds first to any fees, other charges, penalties, indemnities, and costs and expenses of, collection, or realizing on interests in Collateral
(including reasonable attorneys’ fees), next to accrued but unpaid interest, and last to the unpaid principal balance. The Treasury will account to the Borrower for any surplus amount realized upon such sale or other disposition, and the
Borrower shall remain liable for any deficiency. 
 12.5 No delay or failure by the Treasury to exercise any right or remedy accruing upon an Event of
Default shall impair any right or remedy, waive any default or operate as an acquiescence to the Event of Default, or affect any subsequent Event of Default of the same or of a different nature. 
 12.6 On complying with the provisions of the Lending Agreement and applicable law, the Treasury is fully discharged from any liability or responsibility to any
person regarding Collateral. 

 13.0 INDEMNIFICATION 
 13.1 The Borrower shall indemnify the Treasury and its officers, directors, employees and agents (each, an “Indemnified Party”) for any loss, claim, damage, liability, and expense (including, without limitation, reasonable
attorneys’ fees, court costs and expenses of litigation) incurred by an Indemnified Party in the course of or arising out of the performance of the Lending Agreement, any action related to Collateral, or any action to which an Indemnified Party
may become subject in connection with the Treasury’s exercise, enforcement or preservation of any right or remedy granted to it under the Lending Agreement, except to the extent that such loss, claim, damage, liability, or expense results, as
determined by a court, from the Treasury’s gross negligence or willful misconduct. 
 13.2 The Treasury will give the Borrower written notice of
any claim that the Treasury or any other person may have under this indemnity. The Borrower is not liable for any claim that is compromised or settled by the Treasury or such persons without the Borrower’s prior written consent, provided that
the Borrower responded promptly and in the Treasury’s judgment, adequately, to the Treasury’s notice of such claim. This indemnity remains an obligation of the Borrower notwithstanding termination of the Lending Agreement, and is binding
on the Borrower’s successors and assigns. Upon written demand from the Treasury, the Borrower shall pay promptly amounts owed under this indemnity, free and clear of any right of offset, counterclaim or other deduction, and the Treasury’s
reasonable determination of amounts owing hereunder is binding. If not promptly paid by the Borrower, such obligation becomes an Obligation secured under the Lending Agreement. 
 14.0 MISCELLANEOUS 
 14.1 The Treasury is not obligated by the Lending Agreement or otherwise to make,
increase, renew, or extend any Loan to the Borrower. 
 14.2 The Borrower’s obligations under the Lending Agreement shall be performed by it at
its own cost and expense. 
 14.3 Unless expressly agreed otherwise by the Treasury, Eastern Time shall be used to determine any deadline hereunder,
including the time a Loan Repayment Amount is due and payable. 
 14.4 The Treasury or a Federal Reserve Bank acting on behalf of the Treasury may
record telephone communications with the Borrower and such recordings may be submitted in evidence to any court or in any proceeding for the purpose of establishing any matters pertinent to the Lending Agreement. 
 14.5 The Treasury’s rights and remedies under the Lending Agreement are in addition to any others agreed to by the Borrower or that may exist at law or in
equity. 
 14.6 Any provision of the Lending Agreement that is unenforceable or invalid under any law in any jurisdiction is ineffective to the extent
of such unenforceability or invalidity without affecting the enforceability or validity of any other provision, and any such unenforceability or invalidity shall not invalidate or render unenforceable such provision in any other jurisdiction.

 14.7 The Lending Agreement is binding on the receivers, administrators, permitted assignees and successors, and
legal representatives of the Borrower and inures to the benefit of the Treasury, its assignees and successors. 
 14.8 The Borrower may not assign its
rights or obligations hereunder. 
 14.9 The Treasury is not required to provide a written advice to the Borrower for any Loan or Loan Repayment
Amount. 
 14.10 The Treasury has no liability for acting in reliance upon any communication (including a fax, telex, electronic communication, or
similar communication) reasonably believed by the Treasury to be genuine or to be sent by an individual acting on behalf of the Borrower. 
 14.11 The
Section headings used herein are for convenience only and are not to affect the construction hereof or be taken into consideration in the construction hereof. 
 15.0 AMENDMENT 
 The Treasury, in its sole discretion, may amend the Lending Agreement without prior notice at any time. The Treasury shall
notify the Borrower of any such amendment and, thereafter, any pledge of Collateral, request for any Loan or incurrence of any other Obligation shall constitute the Borrower’s agreement to such amendment as of the effective date of such
amendment. An amendment does not modify the terms of an outstanding Loan. 
 16.0 NOTICE 
 16.1 Any and all notices, statements, demands or other communications hereunder may be given by a party to the other by mail, facsimile, telegraph, messenger or otherwise to the address specified in Appendix I
hereto, or so sent to such party at any other place specified in a notice of change of address hereafter received by the other. All notices, demands and requests hereunder may be made orally, to be confirmed promptly in writing, or by other
communication as specified in the preceding sentence. 
 16.2 If sent to the Treasury, the notice must be addressed as specified by the Treasury.

 17.0 TERMINATION 
 17.1 The Lending Agreement
shall terminate on December 31, 2009, but shall remain in effect as to any Loan outstanding on that date. Notwithstanding any other provision of this Agreement, the Borrower may terminate its consent to be bound by the Lending Agreement prior
to that time by giving written notice to the Treasury in the manner specified by Treasury, so long as no Loan is then outstanding. Termination does not release the Borrower or affect the Treasury’s rights, remedies, powers, security interests
or liens against Collateral in existence prior to the termination or to Treasury’s receipt of the notice of termination, nor does termination affect any provision of the Lending Agreement which by its terms survives termination of the Lending
Agreement. 
 17.2 Upon termination, the Treasury may retain Collateral until the Treasury has had a reasonable opportunity to verify, in accordance
with its normal customs and procedures, that all of the Borrower’s Obligations, contingent or otherwise, to the Treasury have been fully satisfied and discharged. 

 18.0 GOVERNING LAW 
 The Lending Agreement, including any Loan or any other transaction entered into pursuant thereto, is governed by federal law or to the extent no applicable federal law exists by the laws of the State of New York. The Lending Agreement is a
security agreement for purposes of the UCC, as in effect in any relevant jurisdiction, and other applicable law. 
 19.0 WAIVER OF JURY TRIAL

 THE BORROWER AND THE TREASURY EACH HEREBY UNCONDITIONALLY AND IRREVOCABLY WAIVE ANY AND ALL RIGHT TO TRIAL BY JURY IN ANY ACTION, SUIT, COUNTERCLAIM,
OR CROSS CLAIM ARISING IN CONNECTION WITH, OUT OF, OR OTHERWISE RELATING TO THE LENDING AGREEMENT, THE COLLATERAL, OR ANY TRANSACTION OR AGREEMENT ARISING THEREFROM OR RELATED THERETO. 

 APPENDIX I: APPLICATION PACKAGE FOR BORROWERS 
 Borrowers desiring capacity to request to borrow funds from the Treasury should submit the following documents, forms of which are included in this appendix. 
  

	1.	Letter of Agreement 

  

	2.	Certificate 

  

	3.	Authorizing Resolutions 

  

	4.	Authorization List 

 FORM OF LETTER OF AGREEMENT 
 [Letterhead of the Borrower] 
 Date:
                     
 Gary Grippo 
 Deputy Assistant Secretary for Fiscal Operations and Policy 
 U.S. Department
of the Treasury 
 Domestic Finance 
 Room 2112, 1500 Pennsylvania
Avenue NW 
 Washington, DC 20220 
 Fax Number: 202-622-0962

 Attention: 
 In consideration of being able to request Loans
from you and in consideration of your making Loans to us we agree to the provisions of your Lending Agreement, as amended and supplemented from time to time (capitalized terms used but not defined herein shall have the meaning specified in the
Lending Agreement). 
 [Enclosed are (1) certified copies of the Certificate, (2) certified
copies of the resolutions that you requested and (3) documents(s) containing the name, title, and signature of those persons authorized to request Loans from and to pledge our assets to you.]1 
 Any notices required under the Lending Agreement may be directed to the following
department(s): [list department(s) and address(es)]. 
  
  

					
	  
 Full Legal Name of
Borrower

			
	By:	 	  
	 	2

					
	Authorized signature(s)	 	
	  
	 	
	Name(s)	 		 	
	  
	 	
	Title(s)	 		 	

  
  

	 1
	 Each Borrower should contact the Treasury for instructions as to whether this paragraph and the referenced documents,
forms of which are provided as part of this Appendix I, must be submitted. 

	 2
	 The signatory or signatories should be authorized to sign documents on behalf of the Borrower as provided in the
Authorizing Resolutions for Borrowers required by the Lending Agreement. 

 SCHEDULE A 
 To Letter of Agreement 
 FORM OF CERTIFICATE
1 
  

	
	 The undersigned, the
                                         
          and
                                         
          of
                                         
         

	                                        
                    (Title)                    
                        
(Title)                                    (Name of
Borrower)

 (the “Borrower”) hereby certifies, with reference to Treasury Lending Agreement, as amended or
supplemented from time to time (terms used but not defined herein have the meaning specified therein), as agreed to by the Borrower by Letter of Agreement dated
                     to the Treasury as follows: 
 (a) attached hereto are true, correct and complete, as of the date of this Certificate, copies of the official document that specifies the official name or names of the Borrower in its jurisdiction of organization (“Organizational
Document”). 
 (b) The information listed below is true and correct as of the date of this certificate: 
  

	1.	Borrower’s current mailing address is: 

  

	 2.
	 Borrower’s jurisdiction of organization is2: 

  

	3.	Borrower’s Organizational number is (indicate n/a if not applicable): 

  

	4.	Borrower’s ABA number is: 

  

	
	 IN WITNESS WHEREOF, the undersigned has signed this Certificate
on                          .

	         (Date)

			
		
		 	 3

	  
 Name:
	 	
	 Title:
	 	
		 	 4

	  
 Name:
	 	
	 Title:
	 	

  
  

	 1
	 Borrowers that have previously provided the documents and information requested in this Certificate need only certify
that the previously provided documents and information have not changed. 

	 2
	 Borrowers operating under a Federal charter (e.g., national banks or Federal savings banks or associations)
(see 12 U.S.C. §§ 22 and 1464(a), and 12 C.F.R. § 552.3), please specify the State of the Borrower’s main office or home office. 

	 3
	 One signatory should be someone authorized to sign documents on behalf of the Borrower as provided in the Authorizing
Resolutions for Borrowers required by the Lending Agreement. 

	 4
	 The other signatory should be in-house or outside counsel to the Borrower. 

 FORM OF AUTHORIZING RESOLUTIONS FOR BORROWERS 
 As evidenced by my signature below, I certify that the following are correct and complete copies of the
resolutions duly adopted on                          at a meeting5
 of
                                         
                                         
           
 (Date) (Type of governing body, e.g. board of directors) 
 of the
                                        
(“Borrower”), duly established and operating under the laws of
                                , with its head office located at
                                 in accordance with applicable law and the
Borrower’s chartering documents. I also certify that the resolutions have not been modified, remain in effect, are not in conflict with any provisions of the Borrower’s certificate of incorporation, bylaws, or chartering and/or licensing
statutes or requirements, and are reflected in the minutes of the meeting at which these resolutions were approved: 
 1. RESOLVED, that the Borrower is
authorized to request advance(s) from and pledge and grant a security interest in the Borrower’s property, whether now owned or hereafter acquired, to the United States Department of the Treasury (Treasury). 
 2. RESOLVED, that the persons with the following titles: 
  
  
 (Exact titles of authorized persons) 
 and each of their successors in office, any of whom is/are authorized to: (1) take each of the actions listed
in paragraphs (a)-(e) immediately below and (2) send the names, titles, and signatures of individuals authorized to take such actions in the name and on behalf of the Borrower:6 
 (a) to borrow money from the Treasury on the terms and security that the Treasury
requires; 
 (b) to discount, rediscount, or sell (with or without the Borrower’s agreement to repurchase) and, for any of those purposes, to endorse
and assign notes, drafts, bills of exchange, acceptances, other bills receivable, evidences of indebtedness, and securities, now or hereafter acquired by the Borrower; 
 (c) to make, execute, and deliver any application, note, agreement, certificate, power of attorney, and any other document that the Treasury requires in connection with any transaction authorized by this resolution;

 (d) to grant, assign, pledge, and transfer to the Treasury security interests in any or all property of the Borrower, whether now owned or hereafter
acquired, and to endorse, assign, deliver, deposit, and/or pledge any of such property to the Treasury as collateral to secure payment or performance of any obligation of the Borrower to the Treasury; and 
 (e) to do any and all other acts and things that may be necessary or incidental to any transaction authorized by the relevant resolution, or that may be designed or
intended to carry out the purpose of such resolution. 
 3. RESOLVED, that the Treasury making an extension of credit to the Borrower is appointed as the
Borrower’s attorney-in-fact for it and in its place and stead, to endorse, assign, transfer and sell, set over and deliver collateral pledged to such Treasury, and to take any other action deemed necessary or advisable by the Treasury to
exercise its rights with respect to any loan owed by the Borrower, in its capacity as secured party, including but not limited to accepting and endorsing payments on loans, preparing and/or filing of any 

 documents necessary to perfect, protect, preserve, or release the interest of the Treasury or the Borrower in such
collateral, or compromising disputes or handling insurance issues related to such collateral. The power of attorney is coupled with an interest and as such is irrevocable, and full power of substitution is granted to the assignee or holder. The
Borrower ratifies any and all action authorized herein and taken by the Treasury as the Borrower’s attorney-in-fact. The rights, powers, and authority of the attorney-in-fact to perform any and all act(s) whatsoever necessary remains in full
force and effect and binds the Borrower, its legal representatives, successors, and assigns until all indebtedness of the Borrower to the Treasury has been fully satisfied and discharged. 
 4. RESOLVED, that we approve and consent to be bound by the provisions of the Treasury Lending Agreement, as amended and supplemented from time to time thereafter.

 5. RESOLVED, that the Borrower is authorized and approved to use any record (as such term is used in the Lending Agreement to endorse or pledge to the
Treasury the notes and other obligations offered as collateral to secure payment or performance of any obligations of the Borrower to the Treasury. The record will have the full force and effect of a manual endorsement. 
 6. RESOLVED, that these resolutions and the powers and authorizations granted or confirmed by them continue in effect until written notice of revocation is received by
the Treasury which has relied or is relying on such resolutions and the Borrower shall continue to be bound with respect to any outstanding obligations and pledges to the Treasury at the time the notice of revocation is received by the Treasury.

 7. RESOLVED, that a duly certified copy of these resolutions be furnished to each Reserve Bank to which the Borrower applies for an advance or has an
account. 
 IN WITNESS WHEREOF, I have hereunto subscribed my name. 
  

	
	  
 Signature of certifying official7

	
	  
 Name and Title

	
	  
 Date

  
  

	 5
	 The language of this certification should be modified if the resolutions were adopted by written consent or otherwise.

	 6
	 If certain persons are authorized to undertake only some of these activities, e.g., to borrow, but not to pledge on
behalf of the Borrower, this resolution should be split to so specifically identify who is authorized to undertake which activit(y)(ies). 

	 7
	 The certifying official must be the secretary of the Borrower or another person authorized to certify the statements in
this document and, in any case, may not be a person authorized in Paragraph 2. 

 AUTHORIZATION LIST 
  

			
	Routing (ABA)
No.                             	 	This supersedes our previous Authorization
	Page      of     	 	List (circle:) YES or NO
		 	If neither is circled, previous list will also remain in effect.

  

			
	 Name of Borrower:
  
	  	 Date:
  

	 Street Address:
  
	  	 Telephone:
  

 To the Treasury: Below are the names, titles and signatures of the individuals authorized to pledge
collateral to/ request to borrow money from the Treasury on behalf of the Borrower identified above. 
  

									
	Name and Title	 	Telephone No. and Email
Address	 	Signature	 	Borrow1	 	Pledge
	 	 	 	 		 	 	 	 
	 	 	 	 	 
	 	 	 	 	 	 	 	 	 
	 	 		 	 
	 	 	 	 	 	 	 	 	 

 Authorizing Officer (must be identified by title in Borrower’s Authorizing Resolutions): 

 

					
	Signature:                                      
                                         
     	 	 	  	State of
	__________________________________________________	 		  	______________________________________________ )
	(Printed Name and Title)	 		  	County of
	__________________________________________________	 		  	______________________________________________ )
	(Telephone)	 		  	Subscribed and sworn to before me on
	__________________________________________________	 		  	                            ,
	(E-Mail Address)	 		  	20    ,
	 	 		  	by
                                         
                                         
   .
	 	 		  	______________________________________________
	 	 		  	Notary Public
	 	 	 	  	(Notary Seal)
		 		  	
	Secretary’s Certification:	 	 	  	State of
	I,
                                         
           , Secretary (or Assistant	 		  	______________________________________________ )
	Secretary) of the above Borrower do hereby certify that	 		  	County of
	                                       
                                         
         is a	 		  	______________________________________________ )
	                                       
      of such Borrower.	 		  	Subscribed and sworn to before me on
	Signature:	 		  	                                    
,
	____________________________________	 		  	20    ,
	_______________________________________________	 		  	by
                                         
                                         
   .
	(Printed Name and Title)	 		  	______________________________________________
	 	 		  	Notary Public
	 	 	 	  	(Notary Seal)

  

	 1
	 Check as appropriate. For instance, check both if authorized to pledge and to make borrowing requests on behalf of the
borrower.

Source: [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00147-of-00352.parquet"}, [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00147-of-00352.parquet"}]]