Document:

2007 Equity Incentive Plan

 Exhibit 10.6 
 BIGBAND NETWORKS, INC. 
 2007 EQUITY INCENTIVE PLAN 
 1. Purposes of the Plan. The purposes of this Plan are: 
  

	 	•	 	 to attract and retain the best available personnel for positions of substantial responsibility, 

  

	 	•	 	 to provide additional incentive to Employees, Directors and Consultants, and 

  

	 	•	 	 to promote the success of the Company’s business. 

 The Plan permits the grant of Incentive Stock Options, Nonstatutory Stock Options, Restricted Stock, Restricted Stock Units, Stock Appreciation Rights, Performance Units and Performance Shares. 
 2. Definitions. As used herein, the following definitions will apply: 
 (a) “Administrator” means the Board or any of its Committees as will be administering the Plan, in accordance with Section 4 of the
Plan. 
 (b) “Applicable Laws” means the requirements relating to the administration of equity-based awards under U.S. state
corporate laws, U.S. federal and state securities laws, the Code, any stock exchange or quotation system on which the Common Stock is listed or quoted and the applicable laws of any foreign country or jurisdiction where Awards are, or will be,
granted under the Plan. 
 (c) “Award” means, individually or collectively, a grant under the Plan of Options, Stock
Appreciation Rights, Restricted Stock, Restricted Stock Units, Performance Units or Performance Shares. 
 (d) “Award
Agreement” means the written or electronic agreement setting forth the terms and provisions applicable to each Award granted under the Plan. The Award Agreement is subject to the terms and conditions of the Plan. 
 (e) “Board” means the Board of Directors of the Company. 
 (f) “Change in Control” means the occurrence of any of the following events: 
 (i) Any
“person” (as such term is used in Sections 13(d) and 14(d) of the Exchange Act) becomes the “beneficial owner” (as defined in Rule 13d-3 of the Exchange Act), directly or indirectly, of securities of the Company representing
fifty percent (50%) or more of the total voting power represented by the Company’s then outstanding voting securities; 
  

 (ii) The consummation of the sale or disposition by the Company of all or substantially all of the
Company’s assets; 
 (iii) A change in the composition of the Board occurring within a two (2)-year period, as a result of which fewer
than a majority of the directors are Incumbent Directors. “Incumbent Directors” means directors who either (A) are Directors as of the effective date of the Plan, or (B) are elected, or nominated for election, to the Board with
the affirmative votes of at least a majority of the Incumbent Directors at the time of such election or nomination (but will not include an individual whose election or nomination is in connection with an actual or threatened proxy contest relating
to the election of directors to the Company); or 
 (iv) The consummation of a merger or consolidation of the Company with any other
corporation, other than a merger or consolidation which would result in the voting securities of the Company outstanding immediately prior thereto continuing to represent (either by remaining outstanding or by being converted into voting securities
of the surviving entity or its parent) at least fifty percent (50%) of the total voting power represented by the voting securities of the Company or such surviving entity or its parent outstanding immediately after such merger or consolidation.

 (g) “Code” means the Internal Revenue Code of 1986, as amended. Any reference to a section of the Code herein will be a
reference to any successor or amended section of the Code. 
 (h) “Committee” means a committee of Directors or of other
individuals satisfying Applicable Laws appointed by the Board in accordance with Section 4 hereof. 
 (i) “Common
Stock” means the common stock of the Company. 
 (j) “Company” means BigBand Networks, Inc., a Delaware
corporation, or any successor thereto. 
 (k) “Consultant” means any person, including an advisor, engaged by the Company or
a Parent or Subsidiary to render services to such entity. 
 (l) “Director” means a member of the Board. 
 (m) “Disability” means total and permanent disability as defined in Section 22(e)(3) of the Code, provided that in the case of
Awards other than Incentive Stock Options, the Administrator in its discretion may determine whether a permanent and total disability exists in accordance with uniform and non-discriminatory standards adopted by the Administrator from time to time.

 (n) “Employee” means any person, including Officers and Directors, employed by the Company or any Parent or Subsidiary of
the Company. Neither service as a Director nor payment of a director’s fee by the Company will be sufficient to constitute “employment” by the Company. 
 (o) “Exchange Act” means the Securities Exchange Act of 1934, as amended. 
  

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 (p) “Exchange Program” means a program under which (i) outstanding Awards are
surrendered or cancelled in exchange for Awards of the same type (which may have lower exercise prices and different terms), Awards of a different type, and/or cash, (ii) Participants would have the opportunity to transfer any outstanding
Awards to a financial institution or other person or entity selected by the Administrator, and/or (iii) the exercise price of an outstanding Award is reduced. The Administrator will determine the terms and conditions of any Exchange Program in
its sole discretion. 
 (q) “Fair Market Value” means, as of any date, the value of Common Stock determined as follows:

 (i) If the Common Stock is listed on any established stock exchange or a national market system, including without limitation the Nasdaq
Global Market or The Nasdaq SmallCap Market of The Nasdaq Stock Market, its Fair Market Value will be the closing sales price for such stock (or the closing bid, if no sales were reported) as quoted on such exchange or system on the day of
determination, as reported in The Wall Street Journal or such other source as the Administrator deems reliable; 
 (ii) If the Common
Stock is regularly quoted by a recognized securities dealer but selling prices are not reported, the Fair Market Value of a Share will be the mean between the high bid and low asked prices for the Common Stock on the day of determination, as
reported in The Wall Street Journal or such other source as the Administrator deems reliable; 
 (iii) For purposes of any Awards
granted on the Registration Date, the Fair Market Value will be the initial price to the public as set forth in the final prospectus included within the registration statement in Form S-1 filed with the Securities and Exchange Commission for the
initial public offering of the Company’s Common Stock; or 
 (iv) In the absence of an established market for the Common Stock, the
Fair Market Value will be determined in good faith by the Administrator. 
 (r) “Fiscal Year” means the fiscal year of the
Company. 
 (s) “Incentive Stock Option” means an Option intended to qualify as an incentive stock option within the meaning
of Section 422 of the Code and the regulations promulgated thereunder. 
 (t) “Inside Director” means a Director who is
an Employee. 
 (u) “Nonstatutory Stock Option” means an Option that by its terms does not qualify or is not intended to
qualify as an Incentive Stock Option. 
 (v) “Officer” means a person who is an officer of the Company within the meaning of
Section 16 of the Exchange Act and the rules and regulations promulgated thereunder. 
 (w) “Option” means a stock
option granted pursuant to the Plan. 
 (x) “Outside Director” means a Director who is not an Employee. 
  

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 (y) “Parent” means a “parent corporation,” whether now or hereafter existing,
as defined in Section 424(e) of the Code. 
 (z) “Participant” means the holder of an outstanding Award. 
 (aa) “Performance Share” means an Award denominated in Shares which may be earned in whole or in part upon attainment of performance
goals or other vesting criteria as the Administrator may determine pursuant to Section 10. 
 (bb) “Performance Unit”
means an Award which may be earned in whole or in part upon attainment of performance goals or other vesting criteria as the Administrator may determine and which may be settled for cash, Shares or other securities or a combination of the foregoing
pursuant to Section 10. 
 (cc) “Period of Restriction” means the period during which the transfer of Shares of
Restricted Stock are subject to restrictions and therefore, the Shares are subject to a substantial risk of forfeiture. Such restrictions may be based on the passage of time, the achievement of target levels of performance, or the occurrence of
other events as determined by the Administrator. 
 (dd) “Plan” means this 2007 Equity Incentive Plan. 
 (ee) “Registration Date” means the effective date of the first registration statement that is filed by the Company and declared
effective pursuant to Section 12(g) of the Exchange Act, with respect to any class of the Company’s securities. 
 (ff)
“Restricted Stock” means Shares issued pursuant to a Restricted Stock award under Section 7 of the Plan, or issued pursuant to the early exercise of an Option. 
 (gg) “Restricted Stock Unit” means a bookkeeping entry representing an amount equal to the Fair Market Value of one Share, granted
pursuant to Section 8. Each Restricted Stock Unit represents an unfunded and unsecured obligation of the Company. 
 (hh) “Rule
16b-3” means Rule 16b-3 of the Exchange Act or any successor to Rule 16b-3, as in effect when discretion is being exercised with respect to the Plan. 
 (ii) “Section 16(b)” means Section 16(b) of the Exchange Act. 
 (jj)
“Service Provider” means an Employee, Director or Consultant. 
 (kk) “Share” means a share of the Common
Stock, as adjusted in accordance with Section 13 of the Plan. 
 (ll) “Stock Appreciation Right” means an Award,
granted alone or in connection with an Option, that pursuant to Section 9 is designated as a Stock Appreciation Right. 
 (mm)
“Subsidiary” means a “subsidiary corporation”, whether now or hereafter existing, as defined in Section 424(f) of the Code. 
  

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 3. Stock Subject to the Plan. 
 (a) Stock Subject to the Plan. Subject to the provisions of Section 13 of the Plan, the maximum aggregate number of
Shares that may be issued under the Plan is 6,000,000 Shares, plus (i) any Shares that, as of the Registration Date, have been reserved but not issued pursuant to any awards granted under the Company’s 1999 Share Option and Incentive Plan,
2001 Share Option and Incentive Plan and 2003 Share Option and Incentive Plan (individually the “1999 Plan,” the “2001 Plan,” and the “2003 Plan,” respectively, and collectively the “1999, 2001 and 2003
Plans”) and are not subject to any awards granted thereunder, and (ii) any Shares subject to stock options or similar awards granted under the 1999, 2001 and 2003 Plans that expire or otherwise terminate without having been exercised in
full and Shares issued pursuant to awards granted under the 1999, 2001 and 2003 Plans that are forfeited to or repurchased by the Company, with the maximum number of Shares to be added to the Plan pursuant to clauses (i) and (ii) equal to
20,005,559 Shares. The Shares may be authorized, but unissued, or reacquired Common Stock. 
 (b) Automatic Share Reserve Increase.
The number of Shares available for issuance under the Plan shall be increased on the first day of each Fiscal Year beginning with the 2008 Fiscal Year, in an amount equal to the least of (A) 6,000,000 Shares, (B) five percent (5%) of
the outstanding Shares on the last day of the immediately preceding Fiscal Year or (C) such number of Shares determined by the Board. 
 (c) Lapsed Awards. If an Award expires or becomes unexercisable without having been exercised in full, is surrendered pursuant to an Exchange Program, or, with respect to Restricted Stock, Restricted Stock Units, Performance Units or
Performance Shares, is forfeited to or repurchased by the Company due to failure to vest, the unpurchased Shares (or for Awards other than Options or Stock Appreciation Rights the forfeited or repurchased Shares) which were subject thereto will
become available for future grant or sale under the Plan (unless the Plan has terminated). With respect to Stock Appreciation Rights, only Shares actually issued pursuant to a Stock Appreciation Right will cease to be available under the Plan; all
remaining Shares under Stock Appreciation Rights will remain available for future grant or sale under the Plan (unless the Plan has terminated). Shares that have actually been issued under the Plan under any Award will not be returned to the Plan
and will not become available for future distribution under the Plan; provided, however, that if Shares issued pursuant to Awards of Restricted Stock, Restricted Stock Units, Performance Shares or Performance Units are repurchased by the Company or
are forfeited to the Company, such Shares will become available for future grant under the Plan. Shares used to pay the exercise price of an Award or to satisfy the tax withholding obligations related to an Award will become available for future
grant or sale under the Plan. To the extent an Award under the Plan is paid out in cash rather than Shares, such cash payment will not result in reducing the number of Shares available for issuance under the Plan. Notwithstanding the foregoing and,
subject to adjustment as provided in Section 13, the maximum number of Shares that may be issued upon the exercise of Incentive Stock Options shall equal the aggregate Share number stated in Section 3(a), plus, to the extent allowable
under Section 422 of the Code and the Treasury Regulations promulgated thereunder, any Shares that become available for issuance under the Plan pursuant to Section 3(c). 
  

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 (d) Share Reserve. The Company, during the term of this Plan, will at all times reserve and keep
available such number of Shares as will be sufficient to satisfy the requirements of the Plan. 
 4. Administration of the Plan.

 (a) Procedure. 
 (i)
Multiple Administrative Bodies. Different Committees with respect to different groups of Service Providers may administer the Plan. 
 (ii) Section 162(m). To the extent that the Administrator determines it to be desirable to qualify Options granted hereunder as “performance-based compensation” within the meaning of Section 162(m) of the Code,
the Plan will be administered by a Committee of two (2) or more “outside directors” within the meaning of Section 162(m) of the Code. 
 (iii) Rule 16b-3. To the extent desirable to qualify transactions hereunder as exempt under Rule 16b-3, the transactions contemplated hereunder will be structured to satisfy the requirements for exemption under
Rule 16b-3. 
 (iv) Other Administration. Other than as provided above, the Plan will be administered by (A) the Board or
(B) a Committee, which committee will be constituted to satisfy Applicable Laws. 
 (b) Powers of the Administrator. Subject to
the provisions of the Plan, and in the case of a Committee, subject to the specific duties delegated by the Board to such Committee, the Administrator will have the authority, in its discretion: 
 (i) to determine the Fair Market Value; 
 (ii) to select the Service Providers to whom Awards may be granted hereunder; 
 (iii) to determine the number of Shares to be
covered by each Award granted hereunder; 
 (iv) to approve forms of Award Agreements for use under the Plan; 
 (v) to determine the terms and conditions, not inconsistent with the terms of the Plan, of any Award granted hereunder. Such terms and conditions
include, but are not limited to, the exercise price, the time or times when Awards may be exercised (which may be based on performance criteria), any vesting acceleration or waiver of forfeiture restrictions, and any restriction or limitation
regarding any Award or the Shares relating thereto, based in each case on such factors as the Administrator will determine; 
 (vi) to
determine the terms and conditions of any, and to institute any Exchange Program; 
  

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 (vii) to construe and interpret the terms of the Plan and Awards granted pursuant to the Plan;

 (viii) to prescribe, amend and rescind rules and regulations relating to the Plan, including rules and regulations relating to sub-plans
established for the purpose of satisfying applicable foreign laws; 
 (ix) to modify or amend each Award (subject to Section 18(c) of
the Plan), including the discretionary authority to extend the post-termination exercisability period of Awards; 
 (x) to allow
Participants to satisfy withholding tax obligations in such manner as prescribed in Section 14; 
 (xi) to authorize any person to
execute on behalf of the Company any instrument required to effect the grant of an Award previously granted by the Administrator; 
 (xii)
to allow a Participant to defer the receipt of the payment of cash or the delivery of Shares that would otherwise be due to such Participant under an Award; and 
 (xiii) to make all other determinations deemed necessary or advisable for administering the Plan. 
 (c)
Effect of Administrator’s Decision. The Administrator’s decisions, determinations and interpretations will be final and binding on all Participants and any other holders of Awards. 
 5. Eligibility. Nonstatutory Stock Options, Stock Appreciation Rights, Restricted Stock, Restricted Stock Units, Performance Shares and
Performance Units may be granted to Service Providers. Incentive Stock Options may be granted only to Employees. 
 6. Stock Options.

 (a) Limitations. Each Option will be designated in the Award Agreement as either an Incentive Stock Option or a Nonstatutory Stock
Option. However, notwithstanding such designation, to the extent that the aggregate Fair Market Value of the Shares with respect to which Incentive Stock Options are exercisable for the first time by the Participant during any calendar year (under
all plans of the Company and any Parent or Subsidiary) exceeds one hundred thousand dollars ($100,000), such Options will be treated as Nonstatutory Stock Options. For purposes of this Section 6(a), Incentive Stock Options will be taken into
account in the order in which they were granted. The Fair Market Value of the Shares will be determined as of the time the Option with respect to such Shares is granted. 
 (b) Term of Option. The term of each Option will be stated in the Award Agreement. In the case of an Incentive Stock Option, the term will be ten (10) years from the date of grant or such shorter term as
may be provided in the Award Agreement. Moreover, in the case of an Incentive Stock Option granted to a Participant who, at the time the Incentive Stock Option is granted, owns stock representing more than ten percent (10%) of the total
combined voting power of all classes of stock of the Company or any Parent or Subsidiary, the term of the Incentive Stock 

  

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Option will be five (5) years from the date of grant or such shorter term as may be provided in the Award Agreement. 
 (c) Option Exercise Price and Consideration. 
 (i) Exercise Price. The per share exercise price for the Shares to be issued pursuant to exercise of an Option will be determined by the Administrator, subject to the following: 
 (1) In the case of an Incentive Stock Option 
 a) granted to an Employee who, at the time the Incentive Stock Option is granted, owns stock representing more than ten percent (10%) of the voting power of all classes of stock of the Company or any Parent or Subsidiary, the per Share
exercise price will be no less than one hundred ten percent (110%) of the Fair Market Value per Share on the date of grant. 
 b)
granted to any Employee other than an Employee described in paragraph (A) immediately above, the per Share exercise price will be no less than one hundred percent (100%) of the Fair Market Value per Share on the date of grant. 

(2) In the case of a Nonstatutory Stock Option, the per Share exercise price will be no less than one hundred percent (100%) of the Fair Market
Value per Share on the date of grant. 
 (3) Notwithstanding the foregoing, Options may be granted with a per Share exercise price of less
than one hundred percent (100%) of the Fair Market Value per Share on the date of grant pursuant to a transaction described in, and in a manner consistent with, Section 424(a) of the Code. 
 (ii) Waiting Period and Exercise Dates. At the time an Option is granted, the Administrator will fix the period within which the Option may be
exercised and will determine any conditions that must be satisfied before the Option may be exercised. 
 (iii) Form of
Consideration. The Administrator will determine the acceptable form of consideration for exercising an Option, including the method of payment. In the case of an Incentive Stock Option, the Administrator will determine the acceptable form of
consideration at the time of grant. Such consideration may consist entirely of: (1) cash; (2) check; (3) promissory note, (4) other Shares, provided Shares acquired directly or indirectly from the Company, (A) have been
owned by the Participant and not subject to substantial risk of forfeiture for more than six months on the date of surrender, and (B) have a Fair Market Value on the date of surrender equal to the aggregate exercise price of the Shares as to
which said Option will be exercised; (5) consideration received by the Company under a broker-assisted (or other) cashless exercise program implemented by the Company in connection with the Plan; (6) any combination of the foregoing
methods of payment; or (7) such other consideration and method of payment for the issuance of Shares to the extent permitted by Applicable Laws. 
  

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 (d) Exercise of Option. 
 (i) Procedure for Exercise; Rights as a Stockholder. Any Option granted hereunder will be exercisable according to the terms of the Plan and at
such times and under such conditions as determined by the Administrator and set forth in the Award Agreement. An Option may not be exercised for a fraction of a Share. 
 An Option will be deemed exercised when the Company receives: (i) notice of exercise (in such form as the Administrator specify from time to time) from the person entitled to exercise the Option, and
(ii) full payment for the Shares with respect to which the Option is exercised (together with applicable withholding taxes). Full payment may consist of any consideration and method of payment authorized by the Administrator and permitted by
the Award Agreement and the Plan. Shares issued upon exercise of an Option will be issued in the name of the Participant or, if requested by the Participant, in the name of the Participant and his or her spouse. Until the Shares are issued (as
evidenced by the appropriate entry on the books of the Company or of a duly authorized transfer agent of the Company), no right to vote or receive dividends or any other rights as a stockholder will exist with respect to the Shares subject to an
Option, notwithstanding the exercise of the Option. The Company will issue (or cause to be issued) such Shares promptly after the Option is exercised. No adjustment will be made for a dividend or other right for which the record date is prior to the
date the Shares are issued, except as provided in Section 13 of the Plan. 
 Exercising an Option in any manner will decrease the
number of Shares thereafter available, both for purposes of the Plan and for sale under the Option, by the number of Shares as to which the Option is exercised. 
 (ii) Termination of Relationship as a Service Provider. If a Participant ceases to be a Service Provider, other than upon the Participant’s death or Disability, the Participant may exercise his or her
Option within such period of time as is specified in the Award Agreement to the extent that the Option is vested on the date of termination (but in no event later than the expiration of the term of such Option as set forth in the Award Agreement).
In the absence of a specified time in the Award Agreement, the Option will remain exercisable for three (3) months following the Participant’s termination. Unless otherwise provided by the Administrator, if on the date of termination the
Participant is not vested as to his or her entire Option, the Shares covered by the unvested portion of the Option will revert to the Plan. If after termination the Participant does not exercise his or her Option within the time specified by the
Administrator, the Option will terminate, and the Shares covered by such Option will revert to the Plan. 
 (iii) Disability of
Participant. If a Participant ceases to be a Service Provider as a result of the Participant’s Disability, the Participant may exercise his or her Option within such period of time as is specified in the Award Agreement to the extent the
Option is vested on the date of termination (but in no event later than the expiration of the term of such Option as set forth in the Award Agreement). In the absence of a specified time in the Award Agreement, the Option will remain exercisable for
twelve (12) months following the Participant’s termination. Unless otherwise provided by the Administrator, if on the date of termination the Participant is not vested as to his or her entire Option, the Shares covered by the unvested
portion of the Option will revert to the Plan. If after termination the Participant does not exercise his or her Option within the 

  

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time specified herein, the Option will terminate, and the Shares covered by such Option will revert to the Plan. 
 (iv) Death of Participant. If a Participant dies while a Service Provider, the Option may be exercised following the Participant’s death
within such period of time as is specified in the Award Agreement to the extent that the Option is vested on the date of death (but in no event may the option be exercised later than the expiration of the term of such Option as set forth in the
Award Agreement), by the Participant’s designated beneficiary, provided such beneficiary has been designated prior to Participant’s death in a form acceptable to the Administrator. If no such beneficiary has been designated by the
Participant, then such Option may be exercised by the personal representative of the Participant’s estate or by the person(s) to whom the Option is transferred pursuant to the Participant’s will or in accordance with the laws of descent
and distribution. In the absence of a specified time in the Award Agreement, the Option will remain exercisable for twelve (12) months following Participant’s death. Unless otherwise provided by the Administrator, if at the time of death
Participant is not vested as to his or her entire Option, the Shares covered by the unvested portion of the Option will immediately revert to the Plan. If the Option is not so exercised within the time specified herein, the Option will terminate,
and the Shares covered by such Option will revert to the Plan. 
 7. Restricted Stock. 
 (a) Grant of Restricted Stock. Subject to the terms and provisions of the Plan, the Administrator, at any time and from time to time, may grant
Shares of Restricted Stock to Service Providers in such amounts as the Administrator, in its sole discretion, will determine. 
 (b)
Restricted Stock Agreement. Each Award of Restricted Stock will be evidenced by an Award Agreement that will specify the Period of Restriction, the number of Shares granted, and such other terms and conditions as the Administrator, in its
sole discretion, will determine. Unless the Administrator determines otherwise, the Company as escrow agent will hold Shares of Restricted Stock until the restrictions on such Shares have lapsed. 
 (c) Transferability. Except as provided in this Section 7, Shares of Restricted Stock may not be sold, transferred, pledged, assigned, or
otherwise alienated or hypothecated until the end of the applicable Period of Restriction. 
 (d) Other Restrictions. The
Administrator, in its sole discretion, may impose such other restrictions on Shares of Restricted Stock as it may deem advisable or appropriate. 
 (e) Removal of Restrictions. Except as otherwise provided in this Section 7, Shares of Restricted Stock covered by each Restricted Stock grant made under the Plan will be released from escrow as soon as practicable after the
last day of the Period of Restriction or at such other time as the Administrator may determine. The Administrator, in its discretion, may accelerate the time at which any restrictions will lapse or be removed. 
 (f) Voting Rights. During the Period of Restriction, Service Providers holding Shares of Restricted Stock granted hereunder may exercise full
voting rights with respect to those Shares, unless the Administrator determines otherwise. 
  

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 (g) Dividends and Other Distributions. During the Period of Restriction, Service Providers holding
Shares of Restricted Stock will be entitled to receive all dividends and other distributions paid with respect to such Shares, unless the Administrator provides otherwise. If any such dividends or distributions are paid in Shares, the Shares will be
subject to the same restrictions on transferability and forfeitability as the Shares of Restricted Stock with respect to which they were paid. 
 (h) Return of Restricted Stock to Company. On the date set forth in the Award Agreement, the Restricted Stock for which restrictions have not lapsed will revert to the Company and again will become available for grant under the Plan.

 8. Restricted Stock Units. 
 (a) Grant. Restricted Stock Units may be granted at any time and from time to time as determined by the Administrator. After the Administrator determines that it will grant Restricted Stock Units under the Plan, it shall advise the
Participant in an Award Agreement of the terms, conditions, and restrictions related to the grant, including the number of Restricted Stock Units. 
 (b) Vesting Criteria and Other Terms. The Administrator shall set vesting criteria in its discretion, which, depending on the extent to which the criteria are met, will determine the number of Restricted Stock Units that will be paid
out to the Participant. The Administrator may set vesting criteria based upon the achievement of Company-wide, business unit, or individual goals (including, but not limited to, continued employment), or any other basis determined by the
Administrator in its discretion. 
 (c) Earning Restricted Stock Units. Upon meeting the applicable vesting criteria, the Participant
shall be entitled to receive a payout as determined by the Administrator. Notwithstanding the foregoing, at any time after the grant of Restricted Stock Units, the Administrator, in its sole discretion, may reduce or waive any vesting criteria that
must be met to receive a payout. 
 (d) Form and Timing of Payment. Payment of earned Restricted Stock Units shall be made as soon as
practicable after the date(s) determined by the Administrator and set forth in the Award Agreement. The Administrator, in its sole discretion, may only settle earned Restricted Stock Units in cash, Shares, or a combination of both. 
 (e) Cancellation. On the date set forth in the Award Agreement, all unearned Restricted Stock Units shall be forfeited to the Company. 

9. Stock Appreciation Rights. 
 (a) Grant of Stock Appreciation Rights. Subject to the terms and conditions of the Plan, a Stock Appreciation Right may be granted to Service Providers at any time and from time to time as will be determined by the Administrator, in
its sole discretion. 
 (b) Number of Shares. The Administrator will have complete discretion to determine the number of Stock
Appreciation Rights granted to any Service Provider. 
  

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 (c) Exercise Price and Other Terms. The per share exercise price for the Shares to be issued
pursuant to exercise of a Stock Appreciation Right shall be determined by the Administrator and shall be no less than one hundred percent (100%) of the Fair Market Value per share on the date of grant. Otherwise, subject to Section 6(a) of
the Plan, the Administrator, subject to the provisions of the Plan, shall have complete discretion to determine the terms and conditions of Stock Appreciation Rights granted under the Plan. 
 (d) Stock Appreciation Right Agreement. Each Stock Appreciation Right grant will be evidenced by an Award Agreement that will specify the exercise
price, the term of the Stock Appreciation Right, the conditions of exercise, and such other terms and conditions as the Administrator, in its sole discretion, will determine. 
 (e) Expiration of Stock Appreciation Rights. A Stock Appreciation Right granted under the Plan will expire upon the date determined by the
Administrator, in its sole discretion, and set forth in the Award Agreement. Notwithstanding the foregoing, the rules of Section 6(d) also will apply to Stock Appreciation Rights. 
 (f) Payment of Stock Appreciation Right Amount. Upon exercise of a Stock Appreciation Right, a Participant will be entitled to receive payment
from the Company in an amount determined by multiplying: 
 (i) The difference between the Fair Market Value of a Share on the date of
exercise over the exercise price; times 
 (ii) The number of Shares with respect to which the Stock Appreciation Right is exercised.

 At the discretion of the Administrator, the payment upon Stock Appreciation Right exercise may be in cash, in Shares of equivalent value,
or in some combination thereof. 
 10. Performance Units and Performance Shares. 
 (a) Grant of Performance Units/Shares. Performance Units and Performance Shares may be granted to Service Providers at any time and from time to
time, as will be determined by the Administrator, in its sole discretion. The Administrator will have complete discretion in determining the number of Performance Units and Performance Shares granted to each Participant. 
 (b) Value of Performance Units/Shares. Each Performance Unit will have an initial value that is established by the Administrator on or before the
date of grant. Each Performance Share will have an initial value equal to the Fair Market Value of a Share on the date of grant. 
 (c)
Performance Objectives and Other Terms. The Administrator will set performance objectives or other vesting provisions (including, without limitation, continued status as a Service Provider) in its discretion which, depending on the extent to
which they are met, will determine the number or value of Performance Units/Shares that will be paid out to the Service Providers. The time period during which the performance objectives or other vesting provisions must be met will be called the
“Performance Period.” Each Award of Performance Units/Shares will 

  

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be evidenced by an Award Agreement that will specify the Performance Period, and such other terms and conditions as the Administrator, in its sole
discretion, will determine. The Administrator may set performance objectives based upon the achievement of Company-wide, divisional, or individual goals, applicable federal or state securities laws, or any other basis determined by the Administrator
in its discretion. 
 (d) Earning of Performance Units/Shares. After the applicable Performance Period has ended, the holder of
Performance Units/Shares will be entitled to receive a payout of the number of Performance Units/Shares earned by the Participant over the Performance Period, to be determined as a function of the extent to which the corresponding performance
objectives or other vesting provisions have been achieved. After the grant of a Performance Unit/Share, the Administrator, in its sole discretion, may reduce or waive any performance objectives or other vesting provisions for such Performance
Unit/Share. 
 (e) Form and Timing of Payment of Performance Units/Shares. Payment of earned Performance Units/Shares will be made as
soon as practicable after the expiration of the applicable Performance Period. The Administrator, in its sole discretion, may pay earned Performance Units/Shares in the form of cash, in Shares (which have an aggregate Fair Market Value equal to the
value of the earned Performance Units/Shares at the close of the applicable Performance Period) or in a combination thereof. 
 (f)
Cancellation of Performance Units/Shares. On the date set forth in the Award Agreement, all unearned or unvested Performance Units/Shares will be forfeited to the Company, and again will be available for grant under the Plan. 
 11. Leaves of Absence/Transfer Between Locations. Unless the Administrator provides
otherwise, vesting of Awards granted hereunder will be suspended during any unpaid leave of absence. A Service Provider will not cease to be an Employee in the case of (i) any leave of absence approved by the Company or (ii) transfers
between locations of the Company or between the Company, its Parent, or any Subsidiary. For purposes of Incentive Stock Options, no such leave may exceed ninety (90) days, unless reemployment upon expiration of such leave is guaranteed by
statute or contract. If reemployment upon expiration of a leave of absence approved by the Company is not so guaranteed, then three (3) months following the ninety-first (91st) day of such leave any Incentive Stock Option held by the Participant will cease to be treated as an Incentive Stock Option and will be treated for tax
purposes as a Nonstatutory Stock Option. 
 12. Transferability of Awards. Unless determined otherwise by the Administrator, an Award
may not be sold, pledged, assigned, hypothecated, transferred, or disposed of in any manner other than by will or by the laws of descent or distribution and may be exercised, during the lifetime of the Participant, only by the Participant. If the
Administrator makes an Award transferable, such Award will contain such additional terms and conditions as the Administrator deems appropriate. 
 13. Adjustments; Dissolution or Liquidation; Merger or Change in Control. 
 (a) Adjustments. In the event that any
dividend or other distribution (whether in the form of cash, Shares, other securities, or other property), recapitalization, stock split, reverse stock split, reorganization, merger, consolidation, split-up, spin-off, combination, repurchase, or

  

 13 

 
exchange of Shares or other securities of the Company, or other change in the corporate structure of the Company affecting the Shares occurs, the
Administrator, in order to prevent diminution or enlargement of the benefits or potential benefits intended to be made available under the Plan, may (in its sole discretion) adjust the number and class of Shares that may be delivered under the Plan
and/or the number, class, and price of Shares covered by each outstanding Award, the numerical Share limits in Section 3 of the Plan. 
 (b) Dissolution or Liquidation. In the event of the proposed dissolution or liquidation of the Company, the Administrator will notify each Participant as soon as practicable prior to the effective date of such proposed transaction.
To the extent it has not been previously exercised, an Award will terminate immediately prior to the consummation of such proposed action. 
 (c) Change in Control. In the event of a merger or Change in Control, each outstanding Award will be treated as the Administrator determines, including, without limitation, that each Award be assumed or an equivalent option or right
substituted by the successor corporation or a Parent or Subsidiary of the successor corporation. The Administrator shall not be required to treat all Awards similarly in the transaction. 
 In the event that the successor corporation does not assume or substitute for the Award, the Participant will fully vest in and have the right to
exercise all of his or her outstanding Options and Stock Appreciation Rights, including Shares as to which such Awards would not otherwise be vested or exercisable, all restrictions on Restricted Stock and Restricted Stock Units will lapse, and,
with respect to Awards with performance-based vesting, all performance goals or other vesting criteria will be deemed achieved at one hundred percent (100%) of target levels and all other terms and conditions met. In addition, if an Option or
Stock Appreciation Right is not assumed or substituted in the event of a Change in Control, the Administrator will notify the Participant in writing or electronically that the Option or Stock Appreciation Right will be exercisable for a period of
time determined by the Administrator in its sole discretion, and the Option or Stock Appreciation Right will terminate upon the expiration of such period. 
 For the purposes of this subsection (c), an Award will be considered assumed if, following the Change in Control, the Award confers the right to purchase or receive, for each Share subject to the Award immediately
prior to the Change in Control, the consideration (whether stock, cash, or other securities or property) received in the Change in Control by holders of Common Stock for each Share held on the effective date of the transaction (and if holders were
offered a choice of consideration, the type of consideration chosen by the holders of a majority of the outstanding Shares); provided, however, that if such consideration received in the Change in Control is not solely common stock of the successor
corporation or its Parent, the Administrator may, with the consent of the successor corporation, provide for the consideration to be received upon the exercise of an Option or Stock Appreciation Right or upon the payout of a Restricted Stock Unit,
Performance Unit or Performance Share, for each Share subject to such Award, to be solely common stock of the successor corporation or its Parent equal in fair market value to the per share consideration received by holders of Common Stock in the
Change in Control. 
 Notwithstanding anything in this Section 13(c) to the contrary, an Award that vests, is earned or paid-out upon
the satisfaction of one or more performance goals will not be considered assumed if the Company or its successor modifies any of such performance goals without the 

  

 14 

 
Participant’s consent; provided, however, a modification to such performance goals only to reflect the successor corporation’s post-Change in
Control corporate structure will not be deemed to invalidate an otherwise valid Award assumption. 
 (d) Outside Director Awards. With
respect to Awards granted to an Outside Director that are assumed or substituted for, if on the date of or following such assumption or substitution the Participant’s status as a Director or a director of the successor corporation, as
applicable, is terminated other than upon a voluntary resignation by the Participant (unless such resignation is at the request of the acquirer), then the Participant will fully vest in and have the right to exercise Options and/or Stock
Appreciation Rights as to all of the Shares underlying such Award, including those Shares which would not otherwise be vested or exercisable, all restrictions on Restricted Stock and Restricted Stock Units will lapse, and, with respect to
Performance Units and Performance Shares, all performance goals or other vesting criteria will be deemed achieved at one hundred percent (100%) of target levels and all other terms and conditions met. 
 14. Tax Withholding. 
 (a)
Withholding Requirements. Prior to the delivery of any Shares or cash pursuant to an Award (or exercise thereof), the Company will have the power and the right to deduct or withhold, or require a Participant to remit to the Company, an amount
sufficient to satisfy federal, state, local, foreign or other taxes (including the Participant’s FICA obligation) required to be withheld with respect to such Award (or exercise thereof). 
 (b) Withholding Arrangements. The Administrator, in its sole discretion and pursuant to such procedures as it may specify from time to time, may
permit a Participant to satisfy such tax withholding obligation, in whole or in part by (without limitation) (a) paying cash, (b) electing to have the Company withhold otherwise deliverable cash or Shares having a Fair Market Value equal
to the minimum statutory amount required to be withheld, or (c) delivering to the Company already-owned Shares having a Fair Market Value equal to the minimum statutory amount required to be withheld. The Fair Market Value of the Shares to be
withheld or delivered will be determined as of the date that the taxes are required to be withheld. 
 15. No Effect on Employment or
Service. Neither the Plan nor any Award will confer upon a Participant any right with respect to continuing the Participant’s relationship as a Service Provider with the Company, nor will they interfere in any way with the
Participant’s right or the Company’s right to terminate such relationship at any time, with or without cause, to the extent permitted by Applicable Laws. 
 16. Date of Grant. The date of grant of an Award will be, for all purposes, the date on which the Administrator makes the determination granting such Award, or such other later date as is determined by the
Administrator. Notice of the determination will be provided to each Participant within a reasonable time after the date of such grant. 
  

 15 

 17. Term of Plan. Subject to Section 21 of the Plan, the Plan will become effective upon its
adoption by the Board. It will continue in effect for a term of ten (10) years from the date adopted by the Board, unless terminated earlier under Section 18 of the Plan. 
 18. Amendment and Termination of the Plan. 
 (a) Amendment and Termination. The Board may at any time amend, alter, suspend or terminate the Plan. 
 (b) Stockholder
Approval. The Company will obtain stockholder approval of any Plan amendment to the extent necessary and desirable to comply with Applicable Laws. 
 (c) Effect of Amendment or Termination. No amendment, alteration, suspension or termination of the Plan will impair the rights of any Participant, unless mutually agreed otherwise between the Participant and
the Administrator, which agreement must be in writing and signed by the Participant and the Company. Termination of the Plan will not affect the Administrator’s ability to exercise the powers granted to it hereunder with respect to Awards
granted under the Plan prior to the date of such termination. 
 19. Conditions Upon Issuance of Shares. 
 (a) Legal Compliance. Shares will not be issued pursuant to the exercise of an Award unless the exercise of such Award and the issuance and
delivery of such Shares will comply with Applicable Laws and will be further subject to the approval of counsel for the Company with respect to such compliance. 
 (b) Investment Representations. As a condition to the exercise of an Award, the Company may require the person exercising such Award to represent and warrant at the time of any such exercise that the Shares are
being purchased only for investment and without any present intention to sell or distribute such Shares if, in the opinion of counsel for the Company, such a representation is required. 
 20. Inability to Obtain Authority. The inability of the Company to obtain authority from any regulatory body having jurisdiction, which authority
is deemed by the Company’s counsel to be necessary to the lawful issuance and sale of any Shares hereunder, will relieve the Company of any liability in respect of the failure to issue or sell such Shares as to which such requisite authority
will not have been obtained. 
 21. Stockholder Approval. The Plan will be subject to approval by the stockholders of the Company
within twelve (12) months after the date the Plan is adopted by the Board. Such stockholder approval will be obtained in the manner and to the degree required under Applicable Laws. 
  

 16Exhibit 4.1

The confidential portions of this
exhibit have been filed separately with the Securities and Exchange Commission
pursuant to a confidential treatment request in accordance with Rule 24b-2 of
the Securities and Exchange Act of 1934, as amended.  The location of each
omitted portion is indicated by a series of three asterisks in brackets
(“[***]”).

AMENDMENT NO. 1 TO AMENDED AND RESTATED CREDIT AGREEMENT

                    This Amendment No. 1 to the Amended and Restated Credit Agreement, dated as of March 1, 2007 (this “Amendment”), among U.S. Concrete, Inc., a Delaware corporation (the “Borrower”), the Lenders, the Issuers and Citicorp north america, Inc., as agent for the Lenders and the Issuers and as agent for the Secured Parties under the Collateral Documents (in such capacity, the “Administrative Agent”); Bank of America, N.A., in its capacity as syndication agent for the Lenders and the Issuers (the “Syndication Agent”) and JPMorgan Chase Bank, in its capacity as documentation agent for the Lenders and the Issuers (the “Documentation Agent”).

PRELIMINARY STATEMENTS

                    Capitalized terms defined in the Credit Agreement (as defined below) and not otherwise defined in this Amendment are used herein as therein defined.

                    The Borrower, the Lenders, the Issuers, the Administrative Agent, the Syndication Agent and the Documentation Agent are parties to that certain Amended and Restated Credit Agreement dated as of June 30, 2006 (as the same has been amended, supplemented or otherwise modified from time to time until the date hereof, the “Credit Agreement”).

                    The Borrower has requested a Facilities Increase in an aggregate principal amount not to exceed $45 million (the “Increase”).

                    Certain Lenders have committed to participate in the Increase severally, but not jointly, in an aggregate principal amount up to $45 million, upon the terms and subject to the conditions set forth herein.

                    The parties hereto also agree to amend the Credit Agreement upon the terms and subject to the conditions set forth herein.

                    SECTION 1.          Amendments.  Subject to the satisfaction of the conditions precedent set forth in Section 2 hereof, the Credit Agreement is hereby amended as follows:

                    (a)          Section 1.1 (Defined Terms) of the Credit Agreement is hereby amended by (i) inserting the following definitions in the appropriate place to preserve the alphabetical order of the definitions therein:

	
  
 
  	
  

                      “Contingent
Guaranty Obligations” means the obligations of the Borrower pursuant to
that certain Guaranty among Borrower [***] incurred in connection
with the creation and operation of the [***] of a type
customarily incurred in similar transactions, in each case, in scope and amount
reasonably acceptable to the Administrative Agent, not constituting
Indebtedness.
 
	
   
  	
  
 
  
	
  
 
  	
  

                      
“Contingent Pension Obligations” means the obligations of the
Borrower and its Subsidiaries pursuant [***]
 

	
  
 
  	
  
[***]

and (ii) amending and restating the following definitions in their entirety as follows:

	
  
 
  	
  

                      
“Excluded Joint Ventures” means, as of any date of
determination, any joint venture (including (a) any Subsidiary which is a not a
Wholly Owned Subsidiary and (b) any Person that at the time of the initial
creation thereof constituted an Excluded Joint Venture but has since become a
Wholly Owned Subsidiary as to which no election has been made pursuant to the
definition of “Subsidiary” below) in respect of which the aggregate of
all consideration paid in connection with the acquisition or formation of such
joint venture by the Borrower or any of its Subsidiaries (including all assets
contributed to such joint venture by the Borrower or any of its Subsidiaries,
all transaction costs, and all Indebtedness or other obligations (in each case
whether contingent or otherwise, but not including Contingent Pension
Obligations or the Contingent Guaranty Obligations), including any contractually
binding commitment to make future capital contributions, incurred or assumed in
connection therewith does not exceed $40,000,000 (valued at book value and
excluding the value of any goodwill attributable to any such assets so
contributed and net of the aggregate amount of all returns of capital,
dividends, similar distributions to or reimbursements of transaction costs
and/or indemnity claims received by the Borrower or any of its Subsidiaries from
the date of the creation of [***]).
 
	
  
 
  	
  
 
  
	
   
  	
  

                      
“Subsidiary” means, with respect to any Person, any
corporation, partnership, limited liability company or other business entity of
which an aggregate of 50% or more of the outstanding Voting Stock is, at the
time, directly or indirectly, owned or controlled by such Person or one or more
Subsidiaries of such Person; provided, that [***]
shall not be a “Subsidiary”, with respect to any Person unless
the Borrower shall so elect and notify the Administrative Agent
thereof.
 
	
  
 
  	
  
 
  
	
  
 
  	
  
                         “Swing Loan Sublimit” means   $15,000,000.
  

                    (b)          Section
7.12 (Control Accounts; Approved Deposit Accounts) of the Credit Agreement
is hereby amended by amending and restating clause (f) thereof in its
entirety as follows:

	
  
 
  	
  
                         (f)          The provisions   of this Section 7.12 shall not   apply to any Excluded Foreign Subsidiary, Excluded Subsidiary or Excluded   Joint Venture to the extent the same is not otherwise required to become a   Guarantor hereunder.  The Borrower may   maintain a Securities Account with Merrill Lynch which is not a Control   Account for the sole purpose of depositing therein deferred compensation   payments on behalf of its employees and officers in accordance with the   Borrower’s existing incentive plan for which accounts are maintained at   Merrill Lynch (or any of its Affiliates), so long as the aggregate amount from   time to time on deposit therein does not exceed $10,000,000 (the “Merrill   Lynch Account”).
  

2

                   (c)          Section 8.1 (Indebtedness) of the Credit Agreement is hereby amended by replacing the reference to “$10,000,000” with “$25,000,000” in clause (j) thereof.

                    (d)          Section 8.3 (Investments) of the Credit Agreement is hereby amended by amending and restating clause (k) thereof in its entirety as follows:

	
  
 
  	
  

                      
(k)          Investments in
Excluded Joint Ventures; provided that the aggregate outstanding amount
of all such Investments shall not exceed $40,000,000 at the time of the making
of such Investments and net of the aggregate amount of all returns of capital,
dividends, similar distributions to or reimbursements of transaction costs
and/or indemnity claims received by the Borrower or any of its Subsidiaries from
the date of the creation of [***].
 

                    (e)          Section 8.4 (Sale of Assets) of the Credit Agreement is hereby amended by (i) replacing the “; and” at the end of clause (f) thereof with “;”, (ii) replacing the “.” at the end of clause (g) thereof with “; and” and (iii) inserting after clause (g) thereof the following as a new clause (h) thereof:

	
  
 
  	
  

                      
(h)          the sale or
disposition of Inventory and other personal property of the Borrower and its
Subsidiaries to [***]; provided, however, that with
respect to any such Asset Sale pursuant to this clause (h), (i) such
Asset Sale, in the case of Inventory, shall be for Fair Market Value and the
consideration therefore must be received within 120 days after such disposition,
(ii) such Asset Sale, in the case of prepaid assets, shall be valued at the book
value thereof at the time of such disposition (and the amount of such prepaid
assets shall not exceed $1,000,000), and (iii) the aggregate Fair Market Value
or then current book value, as the case may be, of the assets so disposed of
shall not exceed $5,000,000.
 

                    (f)          Section 8.5 (Restricted Payments) of the Credit Agreement is hereby amended by amending and restating clause (d) thereof in its entirety as follows:

	
  
 
  	
  
                         (d)          as long as no   Default or Event of Default has occurred and is then continuing both before   and after giving effect to any such Restricted Payment, Restricted Payments   made by the Borrower in an aggregate amount not to exceed $20,000,000; provided, that the Available Credit   (after giving effect to such proposed Restricted Payment) at such time   exceeds $40,000,000.
  

                    (g)          Section 8.9 (Transactions with Affiliates) of the Credit Agreement is hereby amended and restated in its entirety as follows:

                    The Borrower shall not, nor shall it permit any of its Subsidiaries to, except as otherwise expressly permitted herein, do any of the following: (a) make any Investment in an Affiliate of the Borrower that is not the Borrower or a Subsidiary of the Borrower (other than permitted under Section 8.3 (Investments)), (b) transfer, sell, lease, assign or otherwise dispose of any asset to any Affiliate of the Borrower that is not a Subsidiary of the Borrower (other than Asset Sales permitted under Section 8.4 (Sale of Assets) or Restricted Payments permitted under Section 8.5 (Restricted Payments)), (c) merge into or consolidate with or purchase or acquire assets from any Affiliate of the Borrower that is not the Borrower or a Subsidiary of the Borrower (other than permitted under Section 8.7 (Restriction on
Fundamental Changes; Permitted Acquisitions)) or (d) enter into any other transaction directly or indirectly with or for the benefit of any Affiliate of the Borrower that is not a 

3

Guarantor (including guaranties and assumptions of obligations of any such Affiliate), except for, (i) transactions in the ordinary course of business on a basis no less favorable to the Borrower or, as the case may be, such Subsidiary thereof as would be obtained in a comparable arm’s length transaction with a Person not an Affiliate thereof, (ii) salaries and other director or employee compensation to officers or directors of the Borrower or any of its Subsidiaries commensurate with current compensation levels (or reimbursement of reasonable expenses and advances made in the ordinary course of business), (iii) transactions among the Borrower and its Wholly Owned Subsidiaries and amongst Wholly Owned Subsidiaries, (iv) transactions contemplated pursuant to the agreements listed on Schedule 8.9 and (v) transactions among the Borrower or a Subsidiary of the Borrower and an Affiliate of the Borrower that is not the Borrower or a Subsidiary of the
Borrower on a basis no less favorable to the Borrower or, as the case may be, such Subsidiary thereof, as would be obtained in a comparable arm’s length transaction with a Person not an Affiliate thereof, if otherwise permitted under this Agreement or the other Loan Documents.

                    (h)          On
the Effective Date the Revolving Credit Commitments of the Lenders (including
any New Lenders (as defined below)) shall be as set forth on the schedule
attached hereto as Exhibit A and Schedule 8.9 attached hereto as Exhibit B shall
be attached to the Credit Agreement as a new Schedule 8.9 [***] thereto.  

                    SECTION 2.          Conditions to Effectiveness.  This Amendment and the Increase shall become effective on the date when each of the following conditions precedent have first been satisfied (the “Effective Date”):

                    (a)          Certain Documents.  The Administrative Agent shall have received counterparts of each of the following, each dated the Effective Date (unless otherwise agreed by the Administrative Agent), in form and substance satisfactory to the Administrative Agent:

	
  
 
  	
  
                         (i)          this Amendment   executed by the Borrower, the Administrative Agent, the Requisite Lenders and   each existing Lender participating in the Increase;
  
	
  
 
  	
  
 
  
	
   
  	
  
                         (ii)          a consent and   reaffirmation in respect of this Amendment in the form attached hereto,   executed by each Guarantor;
  
	
  
 
  	
  
 
  
	
  
 
  	
  
                         (iii)          an   assumption agreement by each Eligible Assignee or Affiliate or Approved Fund   participating in the Increase that is not an existing Lender (each a “New Lender”),   in form and substance satisfactory to the Administrative Agent and duly   executed by the Borrower, the Administrative Agent and such New Lender;
  
	
  
 
  	
  
 
  
	
  
 
  	
  
                      (iv)          certified   copies of resolutions of the Board of Directors of each Loan Party approving   the consummation of the Increase and the execution, delivery and performance   of the Amendment and the other documents to be executed in connection   herewith;
  
	
  
 
  	
  
 
  
	
   
  	
  
                         (v)          an opinion of   counsel for the Loan Parties, addressed to the Agents and the Lenders and any   New Lenders and in form and substance and from counsel reasonably satisfactory   to the Administrative Agent; and
  
	
  
 
  	
  
 
  
	
  
 
  	
  
                         (vi)          such other   documents as the Administrative Agent may reasonably request or as any Lender   and any New Lender participating in the Increase may reasonably require as a   condition to its commitment to participate in the Increase.
  

4

	
  
 
  	
  
          (b)          Fees and Expenses Paid.  There shall have been paid to the   Administrative Agent, for the account of the Agents and the Lenders   (including any New Lender), as applicable, all fees and reasonable   out-of-pocket expenses (including reasonable fees and expenses of counsel)   due and payable on or before the Effective Date (including all such fees   described herein).
  
	
   
  	
  
 
  
	
  
 
  	
  
          (c)          Other   Conditions.  (i) The   conditions precedent set forth in Section 3.2 (Conditions Precedent to Each Loan and   Letter of Credit) of the Credit Agreement shall have been   satisfied both before and after giving effect to the Increase, (ii) the   Increase shall be made on the terms and conditions set forth in Section   2.1(b)(i) (Facilities Increase) of the Credit Agreement and   (iii) the Borrower shall be in compliance with Article V (Financial Covenants)   of the Credit Agreement on the Effective Date for the most recently ended   Fiscal Quarter on a pro forma basis both before and after giving effect to   the Increase (as though the Covenant Commencement Date has occurred).
  

                    SECTION 3.          Construction with the Loan Documents.

                    (a)          On and after the Effective Date, each reference in the Credit Agreement to “this Agreement,” “hereunder,” “hereof,” “herein,” or words of like import, and each reference in the other Loan Documents to the Credit Agreement, shall mean and be a reference to the Credit Agreement as amended hereby, and this Amendment and the Credit Agreement shall be read together and construed as a single instrument.  The table of contents, signature pages and list of Exhibits and Schedules of the Credit Agreement shall be deemed modified to reflect the changes made by this Amendment.

                    (b)          Except as expressly amended hereby, all of the terms and provisions of the Credit Agreement and all other Loan Documents are and shall remain in full force and effect and are hereby ratified and confirmed, including the respective guarantees and security interests granted pursuant to the respective Loan Documents.

                    (c)          The execution, delivery and effectiveness of this Amendment shall not, except as expressly provided herein, operate as a waiver of any right, power or remedy of the Lenders, the Issuers, the Arrangers or the Agents under any of the Loan Documents, nor constitute a waiver or amendment of any provision of any of the Loan Documents or for any purpose except as expressly set forth herein.

                    (d)          This Amendment is a Loan Document.

                    (e)          This Amendment shall not extinguish, discharge or release the Lien or priority of any Loan Document or any other security therefor or any guarantee thereof.  The Credit Agreement and each of the other Loan Documents shall remain in full force and effect, except as modified hereby in connection herewith.  

                    SECTION 4.          Governing Law. This Amendment is governed by, and shall be construed in accordance with, the law of the State of New York.

                    SECTION 5.          Representations And Warranties.  The Borrower hereby represents and warrants that each of the representations and warranties made by it in the Credit Agreement, as amended hereby, and the other Loan Documents to which it is a party, shall be true and correct in all material respects on and as of the date hereof (other than representations and warranties in any such Loan Document which expressly speak as of a specific date, which shall have been true and correct in all material respects as of such specific date) and no Default or Event of Default has occurred and is continuing as of the date hereof.

5

                    SECTION 6.          Certain Fees.  As consideration for participation in the Increase, the Borrower and each other Loan Party jointly and severally agree to pay to the Administrative Agent for the account of each Lender participating in the Increase (including any New Lender), a fee equal to 0.10% of the aggregate principal amount of the Increase.  The Administrative Agent shall allocate such funds among the such Lenders (including any New Lender) on a pro rata basis in accordance with their respective commitments with respect to the Increase.

                    SECTION
7.          Release of
Excluded Collateral.  Upon written notice to the Administrative Agent
by the Borrower of the creation of [***] and the
contribution of assets to [***] as contemplated by the
agreements described in Schedule 8.9, the Administrative Agent shall deliver to
the Borrower, at the Borrower’s expense, releases and discharges of
Excluded Collateral in form and substance reasonably requested by the
Borrower.

                    SECTION 8.          Execution in Counterparts.  This Amendment may be executed in any number of counterparts and by different parties in separate counterparts, each of which when so executed shall be deemed to be an original and all of which taken together shall constitute one and the same agreement.  Signature pages may be detached from multiple separate counterparts and attached to a single counterpart so that all signature pages are attached to the same document.  Delivery of an executed counterpart by telecopy shall be effective as delivery of a manually executed counterpart of this Amendment.

[SIGNATURE PAGES FOLLOW]

6

                    IN WITNESS WHEREOF, the parties hereto have caused this Amendment to be executed by their respective officers thereunto duly authorized, as of the date first above written.

	
  
 
  	
  
U.S. CONCRETE, INC.
  
	
  
 
  	
  
as Borrower
  
	
  
 
  	
  
 
  	
  
 
  
	
  
 
  	
  
 
  	
  
 
  
	
  
 
  	
  
By: 
  	
  
/s/ Robert   D. Hardy
  
	
   
  	
  
 
  	
  

  
	
  
 
  	
  
Name:
  	
  
Robert D.   Hardy
  
	
  
 
  	
  
Title:
  	
  
Senior Vice   President and Chief
  
	
  
 
  	
  
 
  	
  
Financial   Officer
  

	
  
 
  	
  
CITICORP NORTH   AMERICA, INC.,
  
	
  
 
  	
  
as Administrative Agent, Swing Loan Lender and Lender
  
	
   
  	
  
 
  
	
  
 
  	
  
 
  
	
  
 
  	
  
By:
  	
  
/s/ Keith R.   Gerding
  
	
  
 
  	
  
 
  	
  

  
	
  
 
  	
  
Name:
  	
  
Keith R.   Gerding
  
	
  
 
  	
  
Title:
  	
  
Vice   President and Director
  
	
  
 
  	
  
 
  	
  
 
  
	
  
 
  	
  
 
  	
  
 
  
	
   
  	
  
BANK  OF   AMERICA, N.A., 
  
	
  
 
  	
  
as   Syndication Agent and Lender
  
	
  
 
  	
  
 
  
	
  
 
  	
  
 
  
	
  
 
  	
  
By:
  	
  
    /s/ Joy L. Bartholomew
  
	
  
 
  	
  
 
  	
  

  
	
  
 
  	
  
Name:
  	
  
 Joy L. Bartholomew
  
	
  
 
  	
  
Title:
  	
  
    Senior Vice President
  

	
  
 
  	
  
JPMORGAN CHASE   BANK, 
  
	
  
 
  	
  
as   Documentation Agent and Lender
  
	  
	  

	
  
 
  	
  
 
  
	
  
 
  	
  
By:
  	
  
/s/ Courtney Jeans
  
	
  
 
  	
  
 
  	
  

  
	
  
 
  	
  
Name:
  	
  
Courtney Jeans
  
	
  
 
  	
  
Title:
  	
  
Vice President
  

	
  
 
  	
  
BRANCH BANKING    AND TRUST CO., 
  
	
  
 
  	
  
as Lender
  
	  
	  

	
  
 
  	
  
 
  
	
  
 
  	
  
By:
  	
  
/s/ Troy R. Weaver
  
	
  
 
  	
  
 
  	
  

  
	
  
 
  	
  
Name:
  	
  
    Troy R. Weaver 
  
	
   
  	
  
Title:
  	
  
 Senior Vice President
  

	
  
 
  	
  
CAPITAL ONE, N.A., 
  
	
  
 
  	
  
  as Lender

	  
	  
	  

	
  
 
  	
  
 
  	
  
 
  
	
  
 
  	
  
By:
  	
  
    /s/ Debra Halling
  
	
  
 
  	
  
 
  	
  

  
	
   
  	
  
Name:
  	
  
Debra Halling
  
	
  
 
  	
  
Title:
  	
  
Senior Vice President
  

	
  
 
  	
  
COMERICA BANK,   
  
	  
	  as Lender

	
  
 
  	
  
 
  	
  
 
  
	
  
 
  	
  
 
  	
  
 
  
	
  
 
  	
  
By:
  	
  
/s/ Charles T. Johnson
  
	
   
  	
  
 
  	
  

  
	
  
 
  	
  
Name:
  	
  
Charles T. Johnson
  
	
  
 
  	
  
Title:
  	
      Vice President
  

CONSENT AND REAFFIRMATION OF GUARANTORS

Dated as of March 1, 2007                    

                    Each of the undersigned, as a Guarantor under the Guaranty dated as of March 12, 2004 (the “Guaranty”), and as a Loan Party under each Collateral Document to which it is a party, hereby consents to that certain Amendment No. 1 to Amended and Restated Credit Agreement dated as of the date hereof and to which this consent and reaffirmation is attached (the “Amendment”) and hereby confirms and agrees that notwithstanding the effectiveness of the Amendment and the Increase thereunder and as defined therein, the Guaranty and all Liens granted by it pursuant to the Collateral Documents are, and shall continue to be, in full force and effect and are hereby ratified and confirmed in all respects, except that, on and after the effectiveness of the Amendment, each reference in the Guaranty and such Collateral Documents to
the “Credit Agreement”, “thereunder”, “thereof” or words of like import shall mean and be a reference to the Credit Agreement, as amended by the Amendment.

	
  
 
  	
  
AMERICAN CONCRETE   PRODUCTS, INC.
  
	
  
 
  	
  
ATLAS-T UCK CONCRETE,   INC.
  
	
  
 
  	
  
B EALL INDUSTRIES, INC.
  
	
  
 
  	
  
B EALL MANAGEMENT, INC.
  
	
  
 
  	
  
C ENTRAL C ONCRETE S UPPLY   CO., INC.
  
	
  
 
  	
  
C ENTRAL P RECAST CONCRETE,   INC.
  
	
   
  	
  
R EADY MIX C ONCRETE C OMPANY    OF KNOXVILLE
  
	
  
 
  	
  
SAN D IEGO P   RECAST CONCRETE, INC.
  
	
  
 
  	
  
S IERRA PRECAST, INC.
  
	
  
 
  	
  
S MITH PRE-CAST,   INC.
  
	
  
 
  	
  
 
  
	
  
 
  	
  
 
  
	
  
 
  	
  
By:
  	
  
/s/ Cesar   Monroy
  
	
   
  	
  
 
  	
  

  
	
  
 
  	
  
Name:
  	
  
Cesar Monroy
  
	
  
 
  	
  
Title:
  	
  
Vice   President
  
	
  
 
  	
  
 
  	
  
 
  
	
  
 
  	
  
 
  	
  
 
  
	
  
 
  	
  
E ASTERN C ONCRETE MATERIALS,   INC.
  
	
  
 
  	
  
K URTZ G RAVEL COMPANY
  
	
  
 
  	
  
S UPERIOR MATERIALS, INC.
  
	
   
  	
  
T ITAN C ONCRETE INDUSTRIES, INC.
  
	
  
 
  	
  
 
  
	
  
 
  	
  
 
  
	
  
 
  	
  
By:
  	
  
/s/ Cesar   Monroy
  
	
  
 
  	
  
 
  	
  

  
	
  
 
  	
  
Name:
  	
  
Cesar Monroy
  
	
  
 
  	
  
Title:
  	
  
Vice   President & Secretary
  

	
  
 
  	
  
USC PAYROLL, INC.
  
	
  
 
  	
  
 
  
	
  
 
  	
  
 
  
	
  
 
  	
  
By:
  	
  
/s/ Cesar Monroy
  
	
  
 
  	
  
 
  	

  

	
  
 
  	
  
Name:
  	
  
Cesar Monroy
  
	
  
 
  	
  
Title:
  	
  
President   & Treasurer
  
	
   
  	
  
 
  	
  
 
  
	
  
 
  	
  
 
  	
  
 
  
	
  
 
  	
  
B EALL C ONCRETE ENTERPRISES, LTD.
  
	
  
 
  	
  
 
  
	
  
 
  	
  
 
  
	
  
 
  	
  
By:
  	
  
B EALL MANAGEMENT, INC.,
  
	
  
 
  	
  
 
  	
  
its General   Partner
  
	
  
 
  	
  
 
  	
  
 
  
	
   
  	
  
 
  	
  
 
  
	
  
 
  	
  
By:
  	
  
/s/ Cesar   Monroy
  
	
  
 
  	
  
 
  	
  

  
	
  
 
  	
  
Name:
  	
  
Cesar Monroy
  
	
  
 
  	
  
Title:
  	
  
Vice   President
  
	
  
 
  	
  
 
  	
  
 
  
	
  
 
  	
  
 
  	
  
 
  
	
  
 
  	
  
A LLIANCE HAULERS, INC.
  
	
   
  	
  
A LBERTA INVESTMENTS, INC.
  
	
  
 
  	
  
B RECKENRIDGE READY-MIX,   INC.
  
	
  
 
  	
  
B UILDERS’ REDI-MIX,   LLC
  
	
  
 
  	
  
BWB, INC.  OF   MICHIGAN
  
	
  
 
  	
  
C ENTRAL C ONCRETE CORP.
  
	
  
 
  	
  
I NGRAM ENTERPRISES, L.P.
  
	
  
 
  	
  
I NGRAM E NTERPRISES MANAGEMENT, INC.
  
	
   
  	
  
REDI-MIX   CONCRETE, L.P.
  
	
  
 
  	
  
REDI-MIX   GP, LLC
  
	
  
 
  	
  
REDI-MIX,   L.P.
  
	
  
 
  	
  
REDI-MIX   MANAGEMENT, INC.
  
	
  
 
  	
  
S UPERIOR C ONCRETE MATERIALS,   INC.
  
	
  
 
  	
  
U.S. C ONCRETE ON-SITE, INC.
  
	
  
 
  	
  
USC GP, INC.
  
	
   
  	
  
 
  
	
  
 
  	
  
 
  
	
  
 
  	
  
By:
  	
  
/s/ Curt   Lindeman
  
	
  
 
  	
  
 
  	
  

  
	
  
 
  	
  
Name:
  	
  
Curt   Lindeman
  
	
  
 
  	
  
Title:
  	
  
Vice   President & Secretary
  

	
  
 
  	
  
C ONCRETE XXXI ACQUISITION, INC.
  
	
   
  	
  
C ONCRETE XXXII ACQUISITION, INC.
  
	
  
 
  	
  
C ONCRETE XXXIII ACQUISITION, INC.
  
	
  
 
  	
  
C ONCRETE XXXIV ACQUISITION, INC.
  
	
  
 
  	
  
C ONCRETE XXXV ACQUISITION, INC.
  
	
  
 
  	
  
C ONCRETE XXXVI ACQUISITION, INC.
  
	
  
 
  	
  
 
  
	
  
 
  	
  
 
  
	
  
 
  	
  
By:
  	
  
/s/ Curt   Lindeman
  
	
   
  	
  
 
  	
  

  
	
  
 
  	
  
Name:
  	
  
Curt   Lindeman
  
	
  
 
  	
  
Title:
  	
  
President
  
	
  
 
  	
  
 
  	
  
 
  
	
  
 
  	
  
 
  	
  
 
  
	
  
 
  	
  
USC ATLANTIC, INC.
  
	
  
 
  	
  
 
  
	
  
 
  	
  
 
  
	
  
 
  	
  
By:
  	
  
/s/ Michael   W. Harlan
  
	
   
  	
  
 
  	
  

  
	
  
 
  	
  
Name:
  	
  
Michael W.   Harlan
  
	
  
 
  	
  
Title:
  	
  
President   & Secretary
  
	
  
 
  	
  
 
  	
  
 
  
	
  
 
  	
  
 
  	
  
 
  
	
  
 
  	
  
USC MICHIGAN, INC.
  
	
  
 
  	
  
 
  
	
  
 
  	
  
 
  
	
  
 
  	
  
By:
  	
  
/s/ Michael   W. Harlan
  
	
   
  	
  
 
  	
  

  
	
  
 
  	
  
Name:
  	
  
Michael W.   Harlan
  
	
  
 
  	
  
Title:
  	
  
Vice   President & Secretary
  
	
  
 
  	
  
 
  	
  
 
  
	
  
 
  	
  
 
  	
  
 
  
	
  
 
  	
  
USC MANAGEMENT CO.,   L.P.
  
	
  
 
  	
  
 
  
	
  
 
  	
  
 
  
	
   
  	
  
By:
  	
  
USC GP, INC., its General   Partner
  
	
  
 
  	
  
 
  	
  
 
  
	
  
 
  	
  
 
  	
  
 
  
	
  
 
  	
  
By:
  	
  
/s/ Curt M.   Lindeman
  
	
  
 
  	
  
 
  	
  

  
	
  
 
  	
  
Name:
  	
  
Curt M.   Lindeman
  
	
  
 
  	
  
Title:
  	
  
Vice   President & Secretary
  
	
  
 
  	
  
 
  	
  
 
  
	
   
  	
  
 
  	
  
 
  
	
  
 
  	
  
WYOMING CONCRETE   INDUSTRIES, LLC
  
	
  
 
  	
  
 
  
	
  
 
  	
  
 
  
	
  
 
  	
  
By:
  	
  
/s/ Eugene   P. Martineau
  
	
  
 
  	
  
 
  	
  

  
	
  
 
  	
  
Name:
  	
  
Eugene P.   Martineau
  
	
  
 
  	
  
Title:
  	
  
Vice   President & Secretary
  

Exhibit A

Schedule I

Commitments

	
  
Lender
  	
   
 	
  
Revolving   Credit Commitment ($)
  	
   
 
	
  

  	
   
 	
   
 	
  

  	
   
 
	
  
Citicorp North America,   Inc.
  	
  
 
  	
  
$
  	
  
28,000,000
  	
  
 
  
	
  Bank of America, N.A.
  	
  
 
  	
  
$
  	
  
28,000,000
  	
  
 
  
	
  
JPMorgan Chase Bank
  	
  
 
  	
  
$
  	
  
28,000,000
  	
  
 
  
	
  
Branch Banking and Trust   Co.
  	
  
 
  	
  
$
  	
  
26,900,000
  	
  
 
  
	
  
Capital One, N.A.
  	
  
 
  	
  
$
  	
  
17,900,000
  	
  
 
  
	
  Comerica Bank
  	
  
 
  	
  
$
  	
  
11,200,000
  	
  
 
  
	
  
Wells Fargo Foothill, N.A.
  	
  
 
  	
  
$
  	
  
10,000,000
  	
  
 
  
	
  
Total
  	
  
 
  	
  
$
  	
  
150,000,000
  	
  
 
  

Exhibit B

Schedule 8.9

[***]

Source: [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00119-of-00352.parquet"}, [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00119-of-00352.parquet"}]]