Document:

Exhibit101

Exhibit 10.1

FOURTH AMENDMENT 
TO 
THE SECOND AMENDED AND RESTATED
RECEIVABLES PURCHASE AGREEMENT
This FOURTH AMENDMENT TO THE SECOND AMENDED AND RESTATED RECEIVABLES PURCHASE AGREEMENT (this “Amendment”), dated as of November 14, 2012, is entered into by and among the following parties:
		
	(i)
	ANR RECEIVABLES FUNDING, LLC, a Delaware limited liability company (the “Seller”);

		
	(ii)
	ALPHA NATURAL RESOURCES, LLC, a Delaware limited liability company, as Servicer (the “Servicer”);

		
	(iii)
	WELLS FARGO BANK, NATIONAL ASSOCIATION, as a Related Committed Purchaser, as an LC Participant and as a Purchaser Agent;

		
	(iv)
	MARKET STREET FUNDING LLC, a Delaware limited liability company, as a Related Committed Purchaser and as a Conduit Purchaser; and

		
	(v)
	PNC BANK, NATIONAL ASSOCIATION, as LC Bank, as an LC Participant, as a Purchaser Agent and as Administrator.

Capitalized terms used but not otherwise defined herein (including such terms used in the foregoing preamble) have the respective meanings assigned thereto in the Receivables Purchase Agreement defined below.
BACKGROUND
1.The parties hereto have entered into that certain Second Amended and Restated Receivables Purchase Agreement, dated as of October 19, 2011 (as amended, restated, supplemented or otherwise modified through the date hereof, the “Receivables Purchase Agreement”).
2.    The parties hereto desire to amend the Receivables Purchase Agreement as set forth herein.
NOW THEREFORE, for good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the parties hereto hereby agree as follows:
SECTION 1.Amendments to the Receivables Purchase Agreement.  The Receivables Purchase Agreement is hereby amended as follows:

1

1.1    The following new defined terms and definitions thereof are hereby added to Exhibit I of the Receivables Purchase Agreement in appropriate alphabetical order:
“Article 5 of UCC” means Article 5 of the Uniform Commercial Code as from time to time in effect in the State of New York.
“Eligible Bank” means each of (i) PNC, (ii) US Bank National Association, (iii) Wells and (iv) any other bank or financial institution from time to time approved in writing by the Administrator and each Purchaser Agent (any such approval to be at such Person’s sole discretion).
“Eligible LC Receivable” means, at any time, a Pool Receivable that satisfies the following criteria:
(a)    the related Obligor has caused a bank to issue a documentary letter of credit to be drawn upon in payment of such Pool Receivable;
(b)    the related letter of credit constitutes a “letter of credit” (as defined in Article 5 of UCC);
(c)    an Eligible Bank has confirmed such letter of credit and such Eligible Bank (the “Confirming Bank”) constitutes a “confirmer” (as defined in Article 5 of UCC) with respect to such letter of credit;
(d)    the amount available to be drawn under the related letter of credit is equal to or greater than the Outstanding Balance of such Pool Receivable;
(e)    the “beneficiary” (as defined in Article 5 of UCC) of such letter of credit is the Originator;
(f)    the beneficiary of such letter of credit has delivered a letter of instruction (which is in full force and effect) to the Confirming Bank that directs the Confirming Bank to remit payment in respect of such confirmation to a Lock-Box Account;
(g)    (I) such letter of credit (i) is enforceable by the beneficiary against the issuer of such letter of credit, (ii) is irrevocable, (iii) requires the consent of the beneficiary of such letter of credit for any amendment or cancellation and (iv) has not been “dishonored” (as defined in Article 5 of UCC) or cancelled and (II) such confirmation is enforceable against the Confirming Bank by the beneficiary of the related letter of credit; 
(h)    for which “presentation” (as defined in the Uniform Customs and Practice for Documentary Credits (2007 Revision), International Chamber of Commerce Publication No. 600, as amended) of all documents required to be delivered with respect to such Pool Receivable under such letter of credit has occurred to the Confirming Bank and the Servicer or the Originator has received written notice 

2

(delivered in accordance with the standard practices of the Confirming Bank) from the Confirming Bank that it has examined all such documents and determined that such documents presented conform to the requirements of such letter of credit and do not contain any discrepancies;
(i)    the Confirming Bank has agreed to make payment in respect of such confirmation no more than sixty (60) days from the date the Servicer or the Originator has received such written notice (delivered in accordance with the standard practices of the Confirming Bank) from the Confirming Bank as to conformity of the documents presented; and
(j)    for which no further obligations or conditions (including, without limitation, the presentation of any documents to the Confirming Bank) are required to be performed or satisfied by any Person with respect to such Pool Receivable under such letter of credit or any other document or agreement prior to the Confirming Bank being obligated to make payment under such confirmation (other than the passage of time (which in no event is more than sixty (60) days)).  
1.2    The definition of “Eligible Foreign Obligor” set forth in Exhibit I of the Receivables Purchase Agreement is hereby replaced in its entirety with the following:
“Eligible Foreign Obligor” means an Obligor which is a resident of (i) any country (other than the United States of America, Canada or any Eurozone Country) that has both (a) a foreign currency rating of at least “AAA” by Standard & Poor’s and “Aaa” by Moody’s and (b) a transfer and convertibility assessment of at least “A” by Standard & Poor’s, (ii) a territory of the United States of America or (iii) any Eurozone Country that has both (a) a foreign currency rating of at least “A” by Standard & Poor’s and “A2” by Moody’s and (b) a transfer and convertibility assessment of at least “A” by Standard & Poor’s.
1.3    The definition of “Eligible Receivable” set forth in Exhibit I of the Receivables Purchase Agreement is hereby amended by replacing clauses (a) and (h) thereof with the following:
 (a)    (i) either (x) that is an Eligible LC Receivable or (y) the Obligor of which is a United States resident, a Canadian resident or an Eligible Foreign Obligor; provided that with respect to any Receivable the Obligor of which is a Canadian resident or an Eligible Foreign Obligor, the Seller shall have taken all actions, at its own expense, and shall have delivered (or caused to be delivered) to the Administrator all further instruments, opinions and documents, that may be necessary or desirable in the sole determination of the Administrator, as the Administrator may reasonably request, to perfect, protect or more fully evidence such Receivable and the security interest granted therein and in the Related Security and Collections with respect thereto, or to enable the Administrator, any Purchaser Agent or any Purchaser to exercise and enforce their respective rights and remedies under this Agreement, (ii) the Obligor of which is not a federal governmental subdivision or department, affiliate, agency or other entity; provided, that TVA shall 

3

not be subject to the restriction set forth in this sub-clause (ii), (iii) the Obligor of which is not subject to any action of the type described in paragraph (f) of Exhibit V to this Agreement and (iv) the Obligor of which is not an Affiliate of ANR or any Affiliate of ANR;
(h)    that satisfies all applicable requirements of the applicable Credit and Collection Policy and the Obligor of which (and if applicable, the confirmer of the related letter of credit) is neither a Sanctioned Person nor organized under the laws of a Sanctioned Country; 
1.4    The definition of “Excess Concentration” set forth in Exhibit I of the Receivables Purchase Agreement is amended by (i) replacing the period (“.”) at the end of clause (c)  thereof with “; plus” and (ii) inserting the following new clause (d) immediately following clause (c) thereof:
(d)    the amount by which the aggregate Outstanding Balance of all Eligible Receivables then in the Receivables Pool that are Eligible LC Receivables exceeds 15.0% of the aggregate Outstanding Balance of all Eligible Receivables then in the Receivables Pool.
1.5    Clause (d) of the definition of “Related Security” set forth in Exhibit I of the Receivables Purchase Agreement is replaced in its entirety with the following:
(d)    solely to the extent applicable to such Receivable, all of the Seller’s, the Originator’s and each Transferor’s rights, interests and claims under the Contracts relating to such Receivable, and all guaranties, indemnities, insurance, letter-of-credit rights, all rights under any confirmations, advisements, notices or other writings received from any confirming or issuing bank with respect to any letter of credit (including, without limitation, notices and other writings related to letters of credit supporting such Receivable) and other agreements (including the related Contract) or arrangements of whatever character from time to time supporting or securing payment of such Receivable or otherwise relating to such Receivable, whether pursuant to the Contract related to such Receivable or otherwise, and 
SECTION 2.    Representations and Warranties.  Each of the Seller and the Servicer hereby represents and warrants to the Administrator, each Purchaser and each Purchaser Agent as follows:
(a)    Representations and Warranties.  Both before and immediately after giving effect to this Amendment, the representations and warranties made by such Person under the Transaction Documents are true and correct as of the date hereof (unless stated to relate solely to an earlier date, in which case such representations or warranties were true and correct as of such earlier date).
(b)    Enforceability.  The execution and delivery by such Person of this Amendment, and the performance of each of its obligations under this Amendment and the other Transaction Documents to which such Person is a party, as amended hereby, are within each of its organizational powers and have been duly authorized by all necessary organizational action on its 

4

part.  This Amendment and the other Transaction Documents to which such Person is a party, as amended hereby, are such Person’s valid and legally binding obligations, enforceable in accordance with its terms.
(c)    No Default. Both before and immediately after giving effect to this Amendment and the transactions contemplated hereby, (i) no Termination Event or Unmatured Termination Event exists or shall exist and (ii) the Purchase and Sale Termination Date (as defined in the Purchase and Sale Agreement) has not occurred.
SECTION 3.    Effect of Amendment.  All provisions of the Receivables Purchase Agreement, as expressly amended and modified by this Amendment, shall remain in full force and effect. After this Amendment becomes effective, all references in the Receivables Purchase Agreement (or in any other Transaction Document) to “this Agreement”, “hereof”, “herein” or words of similar effect referring to the Receivables Purchase Agreement shall be deemed to be references to the Receivables Purchase Agreement as amended by this Amendment. This Amendment shall not be deemed, either expressly or impliedly, to waive, amend or supplement any provision of the Receivables Purchase Agreement or any other Transaction Document other than as set forth herein.
SECTION 4.    Costs and Expenses.  The Seller agrees to pay on demand all costs and expenses of the Administrator, each Purchaser and each Purchaser Agent (including, without limitation, counsel fees and expenses) incurred in connection with the preparation, execution and delivery of this Amendment and the transactions contemplated hereby.
SECTION 5.    Amendment is a Transaction Document.  For the avoidance of doubt, this Amendment shall constitute a Transaction Document for all purposes.
SECTION 6.    Effectiveness.  This Amendment shall become effective as of the date hereof, upon receipt by the Administrator of:
(a)    counterparts of  this Amendment (including facsimile or electronic copies) duly executed by each of the parties hereto;
(b)    counterparts of  that certain Amendment Fee Letter (the “Amendment Fee Letter”) being entered into as of the date hereof among the Seller, the Servicer, the Administrator and the Purchaser Agreement in connection with this Amendment (including facsimile or electronic copies) duly executed by each of the parties thereto; and
(c)    confirmation that the fees payable by the Seller on the date hereof pursuant to the Amendment Fee Letter have been paid in full.
SECTION 7.    Counterparts.  This Amendment may be executed in any number of counterparts and by different parties on separate counterparts, each of which when so executed shall be deemed to be an original and all of which when taken together shall constitute but one and the same instrument.  Delivery by facsimile or email of an executed signature page of this Amendment shall be effective as delivery of an executed counterpart hereof.

5

SECTION 8.    Governing Law.  THIS AMENDMENT SHALL BE GOVERNED BY, AND CONSTRUED IN ACCORDANCE WITH, THE LAWS OF THE STATE OF NEW YORK WITHOUT REGARD TO ANY OTHERWISE APPLICABLE CONFLICTS OF LAW PRINCIPLES (OTHER THAN SECTIONS 5-1401 AND 5-1402 OF THE GENERAL OBLIGATIONS LAW OF THE STATE OF NEW YORK).
SECTION 9.    Section Headings.  The various headings of this Amendment are included for convenience only and shall not affect the meaning or interpretation of this Amendment, the Receivables Purchase Agreement, any other Transaction Document or any provision hereof or thereof.
SECTION 10.    Consent.  Each of the parties hereto hereby consents to the filing, by or on behalf of the Servicer, of the UCC-3 financing statement amendment substantially in the form attached hereto as Exhibit A.

[SIGNATURE PAGES FOLLOW.]

6

IN WITNESS WHEREOF, the parties have executed this Amendment as of the date first written above.
ANR RECEIVABLES FUNDING, LLC, as Seller
By: /s/ VAUGHN R. GROVES
Name:  Vaughn R. Groves
Title:  Senior Vice President and Secretary

7

ALPHA NATURAL RESOURCES, LLC, as Servicer
By: /s/ FRANK J. WOOD
Name:  Frank J. Wood
Title:  Executive Vice President and Chief Financial Officer
 

8

WELLS FARGO BANK, NATIONAL ASSOCIATION, as a Related Committed Purchaser, as an LC Participant and as a Purchaser Agent 

By: /s/ WILLIAM P. RUTKOWSKI
Name:  William P. Rutkowski
Title:  Vice President

9

MARKET STREET FUNDING LLC, 
as a Related Committed Purchaser and as a Conduit Purchaser

By: /s/ DORIS J. HEARN
Name: Doris J. Hearn
Title: Vice President

10

PNC BANK, NATIONAL ASSOCIATION, as Administrator
By: /s/ WILLIAM FALCON
Name:  William Falcon
Title:  Vice President

PNC BANK, NATIONAL ASSOCIATION, as the LC Bank and as an LC Participant
By: /s/ MARK FALCIONE
Name:  Mark Falcione
Title:  Vice President    

PNC BANK, NATIONAL ASSOCIATION, as Purchaser Agent for the Market Street Purchaser Group
By: /s/ WILLIAM FALCON
Name:  William Falcon
Title:  Vice President

 

11

Acknowledged and Agreed to by:

ALPHA NATURAL RESOURCES, INC., a Delaware corporation, as Performance Guarantor under that certain Second Amended and Restated Performance Guaranty, dated as of October 19, 2011

By: /s/ FRANK J. WOOD
Name:  Frank J. Wood
Title:  Executive Vice President, Chief Financial Officer, Treasurer and Assistant Secretary

12

Acknowledged and Agreed to by:

ALPHA COAL SALES CO., LLC 

By: /s/ G. SCOTT COLE
Name:  G. Scott Cole
Title:  Treasurer

13EX-4.2 - DPS - 2020 Global Note

Exhibit 4.2

THIS NOTE IS A GLOBAL SECURITY WITHIN THE MEANING OF THE INDENTURE HEREINAFTER REFERRED TO AND IS REGISTERED IN THE NAME OF A DEPOSITORY OR A NOMINEE THEREOF. THIS NOTE MAY NOT BE EXCHANGED IN WHOLE OR IN PART FOR A NOTE REGISTERED, AND NO TRANSFER OF THIS SECURITY IN WHOLE OR IN PART MAY BE REGISTERED, IN THE NAME OF ANY PERSON OTHER THAN SUCH DEPOSITORY OR A NOMINEE THEREOF, EXCEPT IN THE LIMITED CIRCUMSTANCES DESCRIBED IN THE INDENTURE.
UNLESS THIS CERTIFICATE IS PRESENTED BY AN AUTHORIZED REPRESENTATIVE OF THE DEPOSITORY TRUST COMPANY TO THE ISSUER OR ITS AGENT FOR REGISTRATION OF TRANSFER, EXCHANGE OR PAYMENT, AND ANY CERTIFICATE ISSUED IS REGISTERED IN THE NAME OF CEDE & CO., OR SUCH OTHER NAME AS REQUESTED BY AN AUTHORIZED REPRESENTATIVE OF THE DEPOSITORY TRUST COMPANY AND ANY PAYMENT HEREON IS MADE TO CEDE & CO., ANY TRANSFER, PLEDGE OR OTHER USE HEREOF FOR VALUE OR OTHERWISE BY OR TO ANY PERSON IS WRONGFUL SINCE THE REGISTERED OWNER HEREOF, CEDE & CO., HAS AN INTEREST HEREIN.
CUSIP NO. 26138E AQ2
DR PEPPER SNAPPLE GROUP, INC.
2.000% SENIOR NOTE DUE 2020
	
		
	$250,000,000
	No.: R-1

                    
DR PEPPER SNAPPLE GROUP, INC., a Delaware corporation (herein called the “Company”), for value received, hereby promises to pay to CEDE & CO., or registered assigns, the principal sum of TWO HUNDRED FIFTY MILLION DOLLARS or such other Principal Amount as shall be set forth on Schedule I hereto on January 15, 2020 and to pay interest thereon at the rate of 2.000% per annum from and including November 20, 2012, or from the most recent Interest Payment Date to which interest has been paid or duly provided for, on January 15 and July 15 of each year, commencing July 15, 2013 (each an “Interest Payment Date”), until the principal hereof is paid or made available for payment.
The interest so payable, and punctually paid or duly provided for, on any Interest Payment Date will, except as provided in the Indenture hereinafter referred to, be paid to the Person in whose name this Note (or one or more Predecessor Notes) is registered at the close of business on the regular record date for such interest, which will be the January 1 and July 1, as the case may be (each, a “Regular Record Date”), immediately preceding each Interest Payment Date.  Any such interest not so punctually paid or duly provided for shall forthwith cease to be payable to the Holder on such Regular Record Date and either may be paid to the Person in whose name this Note (or one or more Predecessor Notes) is registered at the close of business on a Special Record Date for the payment of such defaulted interest to be fixed by the Trustee, notice whereof shall be given to the Holders not less than ten days prior to such Special Record Date, or may be paid at any time in any other lawful manner, all as more fully provided in the Indenture. Payment of the principal of and interest on this Note will be made at the office or agency of the Company maintained for that purpose pursuant to the Indenture (initially the principal corporate trust office of the Trustee in Dallas, Texas (the “Corporate Trust Office”)), in 

such coin or currency of the United States of America as at the time of payment is legal tender for payment of public and private debts; provided, however, that payment of interest may be made at the option of the Company (i) by check mailed to the address of the Person entitled thereto as such address shall appear in the Security Register or (ii) by wire transfer to an account maintained by the Person entitled thereto as specified in the Security Register. Payments of principal and interest at maturity will be made against presentation of this Note at the Corporate Trust Office (or such other office as may be established pursuant to the Indenture), by check or wire transfer.
Reference is hereby made to the further provisions of this Note set forth on the reverse side hereof, which further provisions shall for all purposes have the same effect as though fully set forth at this place.
Unless the Certificate of Authentication hereon has been executed by the Trustee or an authenticating agent under the Indenture referred to on the reverse hereof by the manual signature of one of its authorized officers, this Note shall not be entitled to any benefit under the Indenture or be valid or obligatory for any purpose.
[Signature Pages Follow]

F-2

IN WITNESS WHEREOF, the Company has caused this Note to be signed in its name by the manual or facsimile signature of its Chief Executive Officer, its President or one of its Vice Presidents and attested by the manual or facsimile signature of its Secretary or one of its Assistant Secretaries. 
Date: November 20, 2012

	
			
	DR PEPPER SNAPPLE GROUP, INC.

	By:
	 
	  /s/ Martin M. Ellen

	 
	Name:
	Martin M. Ellen

	 
	Title:
	Executive Vice President & Chief Financial Officer

	
			
	

	ATTEST:

	  /s/ James L. Baldwin

	Secretary

	 
	 

Trustee’s Certificate of Authentication
This is one of the Securities of the series designated therein referred to in the within-mentioned Indenture. 
Dated: November 20, 2012
	
			
	WELLS FARGO BANK, N.A.,

	as Trustee

	By:
	  /s/ John C. Stohlmann

	 
	Authorized Officer

	 
	 

(Reverse of Note)
DR PEPPER SNAPPLE GROUP, INC.
2.000% SENIOR NOTE DUE 2020
1.    This Note is one of a duly authorized issue of securities of the Company designated as its 2.000% Senior Notes due 2020 (the “Notes”) limited in aggregate principal amount to $250,000,000 issued and to be issued under an indenture, dated as of December 15, 2009, between the Company and Wells Fargo Bank, N.A., as trustee (herein called the “Trustee,” which term includes any successor Trustee under the Indenture), and the fourth supplemental indenture, dated as of November 20, 2012 (the “Base Indenture,” as so supplemented and as it may be further supplemented or amended from time to time, is herein referred to as the “Indenture”), between the Company, the guarantors named therein and the Trustee.  Reference is hereby made to the Indenture for a statement of the respective rights thereunder of the Company, the Trustee and the Holders of the Notes, and the terms upon which the Notes are, and are to be, authenticated and delivered. The indebtedness of the Company evidenced by the Notes, including the principal thereof and interest thereon (including post-default interest), will constitute unsecured and unsubordinated indebtedness of the Company and will rank equally in right of payment with all of the Company's current and future unsecured and unsubordinated indebtedness.
2.    The Notes are subject to redemption at any time or from time to time, in whole or in part, at the Company’s option at a redemption price equal to the greater of:
(i)    100% of the principal amount of the Notes to be redeemed, and
(ii)    the sum of the present values of the Remaining Scheduled Payments of the Notes to be redeemed, discounted to the date of redemption on a semi-annual basis (assuming a 360-day year consisting of twelve 30-day months) at the Treasury Rate plus 20 basis points,
plus, in each case, accrued and unpaid interest thereon to the redemption date.
“Comparable Treasury Issue” means the U.S. Treasury security selected by an Independent Investment Banker as having a maturity comparable to the remaining term of the Notes to be redeemed that would be utilized, at the time of selection and in accordance with customary financial practice, in pricing new issues of corporate debt securities of comparable maturity to the remaining term of the Notes to be redeemed.
“Comparable Treasury Price” means, with respect to any redemption date (1) the average of the Reference Treasury Dealer Quotations for such redemption date, after excluding the highest and lowest of the Reference Treasury Dealer Quotations, or (2) if the Independent 

Investment Banker obtains fewer than four Reference Treasury Dealer Quotations, the average of all of these quotations.
“Independent Investment Banker” means one of the Reference Treasury Dealers appointed by the Company.
“Reference Treasury Dealer” means (i) each of Merrill Lynch, Pierce, Fenner & Smith Incorporated and J.P. Morgan Securities LLC (or their respective affiliates that are primary U.S. Government securities dealers), and their respective successors, or if at any time any of the above is not a primary U.S. Government securities dealer, another nationally recognized investment banking firm selected by the Company that is a primary U.S. Government securities dealer and (ii) two other primary U.S. Government securities dealers selected by us.
“Reference Treasury Dealer Quotations” means, with respect to each Reference Treasury Dealer and any redemption date, the average, as determined by the Independent Investment Banker, of the bid and asked prices for the Comparable Treasury Issue (expressed in each case as a percentage of its principal amount) quoted in writing to the Independent Investment Banker by such Reference Treasury Dealer at 5:00 p.m., New York City time, on the third business day preceding such redemption date.
“Remaining Scheduled Payments” means, with respect to each Note to be redeemed, the remaining scheduled payments of the principal thereof and interest thereon that would be due after the related redemption date for such redemption; provided, however, that, if such redemption date is not an interest payment date with respect to such Note, the amount of the next succeeding scheduled interest payment thereon will be reduced by the amount of interest accrued thereon to such redemption date.
“Treasury Rate” means, for any redemption date, the rate per annum equal to the semi-annual equivalent yield to maturity, computed as the second business day immediately preceding that redemption date, of the Comparable Treasury Issue, assuming a price for the Comparable Treasury Issue (expressed as a percentage of its principal amount) equal to the Comparable Treasury Price for that redemption date.
Any notice to Holders of Notes of a redemption pursuant to this paragraph 2 hereof will include, among other things set forth in the Indenture, the redemption date, the redemption price, the amount of accrued and unpaid interest to the redemption date, and the name and address of the Paying Agent.
3.    Upon the occurrence of a Change of Control Triggering Event, unless all Notes have been called for redemption pursuant to paragraph 2 of this Note, each Holder of the Notes shall have the right to require the Company to repurchase all or any part (equal to an integral multiple of $1,000) of such Holder’s Notes at an offer price in cash equal to 101% of the aggregate principal amount of such Notes plus accrued and unpaid interest thereon, if any, to the date of repurchase. “Change of Control Triggering Event” means the occurrence of both a Change of Control and a Rating Event, as such terms are defined in the Indenture. The Change of Control Offer will be made in accordance with the terms specified in the Indenture.
4.    The payment of the principal of and interest on the Notes will be unconditionally guaranteed by the Guarantors, if any, on the terms set forth in the Indenture.

R-2

5.    If an Event of Default with respect to the Notes shall occur and be continuing, the principal of the Notes may be declared due and payable in the manner and with the effect provided in the Indenture.
6.    The Indenture permits, with certain exceptions as therein provided, the amendment thereof and the modification of the rights and obligations of the Company and the rights of the Holders of Notes under the Indenture at any time by the Company and the Trustee with the consent of the Holders of a majority in aggregate principal amount of Notes at the time outstanding. The Indenture also contains provisions permitting the Holders of a majority in aggregate principal amount of Notes at the time outstanding, on behalf of the Holders of all Notes, to waive compliance by the Company with certain provisions of the Indenture and certain past defaults under the Indenture and their consequences. Any such consent or waiver by the Holder of this Note shall be conclusive and binding upon such Holder and upon all future Holders of this Note and of any Note issued upon the registration of transfer hereof or in exchange therefor or in lieu hereof, whether or not notation of such consent or waiver is made upon this Note.
7.    No reference herein to the Indenture and no provisions of this Note or of the Indenture shall alter or impair the obligation of the Company, which is absolute and unconditional, to pay the principal of and interest on this Note at the times, places and rate, and in the coin or currency, herein prescribed.
8.    As provided in the Indenture and subject to certain limitations therein set forth, the transfer of this Note may be registered on the Security Register of the Company, upon surrender of this Note for registration of transfer at the Corporate Trust Office, duly endorsed by, or accompanied by a written instrument of transfer in form satisfactory to the Company, and duly executed by the Holder hereof or such Holder’s attorney duly authorized in writing, and thereupon one or more new Notes, of authorized denominations and for the same aggregate principal amount, will be issued to the designated transferee or transferees.
9.    The Notes are issuable only in fully registered form, without coupons, in denominations of $2,000 or any amount in excess thereof which is an integral multiple of $1,000. As provided in the Indenture, and subject to certain limitations therein set forth, the Notes are exchangeable for a like aggregate principal amount of Notes in authorized denominations, as requested by the Holder surrendering the same.
10.    No service charge shall be made for any such registration of transfer or exchange, but the Company may require payment of a sum sufficient to cover any tax or other governmental charge payable in connection therewith.
11.    Prior to the due presentment of this Note for registration of transfer or exchange, the Company, the Trustee and any agent of the Company or the Trustee may treat the Person in whose name this Note is registered as the owner hereof for all purposes, whether or not this Note be overdue, and neither the Company, the Trustee, nor any such agent shall be affected by notice to the contrary.
12.    Interest on the Notes shall be computed on the basis of a 360-day year of twelve 30-day months. Interest shall be payable to and excluding any Interest Payment Date.

R-3

13.    The Trustee, in its individual or any other capacity, may make loans to, accept deposits from, and perform services for the Company or its Affiliates, and may otherwise deal with the Company or its Affiliates, as if it were not the Trustee.
14.    No past, present or future director, officer, employee, incorporator or stockholder of the Company or any Guarantor, as such, shall have any liability for any obligations of  the Company or of the Guarantors under the Notes, the Indenture, the Securities Guarantees or for any claim based on, in respect of, or by reason of, such obligations or their creation. Each Holder of Notes by accepting a Note waives and releases all such liability. The waiver and release are part of the consideration for issuance of the Notes. The waiver and release may not be effective to waive or release liabilities under the federal securities laws.
15.    This Note shall not be valid until authenticated by the manual signature of the Trustee or an authenticating agent.
16.    Customary abbreviations may be used in the name of a Holder or an assignee, such as: TEN COM (= tenants in common), TEN ENT (= tenants by the entireties), JT TEN (= joint tenants with right of survivorship and not as tenants in common), CUT (= Custodian), and U/G/M/A (= Uniform Gifts to Minors Act).
17.    Each Holder of this Note covenants and agrees by such Holder’s acceptance thereof to comply with and be bound by the foregoing provisions.
18.    THIS NOTE SHALL BE GOVERNED BY, AND CONSTRUED IN ACCORDANCE WITH, THE LAWS OF THE STATE OF NEW YORK.
19.    All capitalized terms used in this Note which are defined in the Indenture shall have the meanings assigned to them in the Indenture.

R-4

ASSIGNMENT FORM
FOR VALUE RECEIVED, the undersigned hereby sell(s), assign(s) and transfer(s) unto
PLEASE INSERT SOCIAL SECURITY OR 
OTHER IDENTIFYING NUMBER OF ASSIGNEE
	
		
	 
	 

PLEASE PRINT OR TYPEWRITE NAME AND ADDRESS INCLUDING POSTAL ZIP CODE OF ASSIGNEE
______________________________________
______________________________________
______________________________________
the within Security and all rights thereunder, hereby irrevocably constituting and appointing ______ _____________________________ attorney to transfer said Security on the books of the Company, with full power of substitution in the premises.

Dated:     __________________________

Signature: ____________________________

		
	NOTICE:
	THE SIGNATURE TO THIS ASSIGNMENT MUST CORRESPOND WITH THE NAME AS WRITTEN UPON THE FACE OF THE WITHIN INSTRUMENT IN EVERY PARTICULAR, WITHOUT ALTERATION OR ENLARGEMENT OR ANY CHANGE WHATEVER.

Signature Guarantee:
SIGNATURE GUARANTEE
Signatures must be guaranteed by an “eligible guarantor institution” meeting the requirements of the Registrar, which requirements include membership or participation in the Security Transfer Agent Medallion Program (“STAMP”) or such other “signature guarantee program” as may be determined by the Registrar in addition to, or in substitution for, STAMP, all in accordance with the Securities Exchange Act of 1934, as amended.

Schedule I

SCHEDULE OF TRANSFERS AND EXCHANGES

The following increases or decreases in Principal Amount of this Global Security have been made:
	
									
	Date of Exchange
	 
	Amount of Decrease in Principal Amount of this Global Security
	 
	Amount of Increase in Principal Amount of this Global Security
	 
	Principal Amount of this Global Security following such Decrease or Increase
	 
	Signature of Authorized Signatory of trustee or Custodian

Source: [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00210-of-00352.parquet"}, [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00210-of-00352.parquet"}]]